This study investigated domestic energy use behaviours in Portugal and ways of reducing energy use. This is important because current energy use in the developed world is considered to be unsustainable. Intervention strategies could play an important role to reduce energy use. While some previous research has demonstrated that certain intervention strategies did, or did not, produce changes in behaviour, they mostly could not sufficiently explain the underlying and impacting determinants, or how change came about and led to the desired adoption, whether short or long-term, of more energy efficient behaviours.
This study therefore aims to explore how the adoption of more energy efficient behaviours at home could be encouraged. With this the research has the objective to better understand the different determinants of energy use at home, the underlying motivations, barriers and potential intervention strategies. To achieve this the study uses an exploratory and iterative multi-method approach consisting of survey questionnaires, followed by qualitative research through focus groups targeted at energy users at home, and also individual in-depth interviews with energy conservation intervention practitioners.
The findings of this research show that if the rate of adoption of more energy efficient behaviours is to increase, then interventions that are focusing on providing information or financial incentives, are unlikely to work for a large proportion of energy users. Instead, the adoption of more energy efficient behaviours at home is seen to depend on the ability of intervention strategies to challenge existing norms, thus creating new understandings, expectations and utilization of energy services that could manifest in the adoption of more energy efficient behaviours. With this findings also suggest that community-based initiatives might be an adequate means to challenge social norms and to bring about change.
2. I
Abstract
This study investigated domestic energy use behaviours in Portugal and ways of reducing energy use. This is
important because current energy use in the developed world is considered to be unsustainable.
Intervention strategies could play an important role to reduce energy use. While some previous research
has demonstrated that certain intervention strategies did, or did not, produce changes in behaviour, they
mostly could not sufficiently explain the underlying and impacting determinants, or how change came
about and led to the desired adoption, whether short or long-term, of more energy efficient behaviours.
This study therefore aims to explore how the adoption of more energy efficient behaviours at home could
be encouraged. With this the research has the objective to better understand the different determinants of
energy use at home, the underlying motivations, barriers and potential intervention strategies. To achieve
this the study uses an exploratory and iterative multi-method approach consisting of survey questionnaires,
followed by qualitative research through focus groups targeted at energy users at home, and also individual
in-depth interviews with energy conservation intervention practitioners.
The findings of this research show that if the rate of adoption of more energy efficient behaviours is to
increase, then interventions that are focusing on providing information or financial incentives, are unlikely
to work for a large proportion of energy users. Instead, the adoption of more energy efficient behaviours at
home is seen to depend on the ability of intervention strategies to challenge existing norms, thus creating
new understandings, expectations and utilization of energy services that could manifest in the adoption of
more energy efficient behaviours. With this findings also suggest that community-based initiatives might be
an adequate means to challenge social norms and to bring about change.
3. II
Declaration
This is to certify that:
The thesis comprises only my original work towards the PhD except where indicated, due
acknowledgements have been made in the text to all other material used, the thesis is less than 100,000
words in length, inclusive of all footnotes, bibliographies and appendices.
_____________
Ana Faria
December 2014
4. III
Acknowledgments
First and foremost I would like to thank my partner in life Andreas for challenging me at first and supporting
me afterwards from the very beginning of my journey until today. I would like to extend my gratitude to my
parents who on their singular way have always supported me throughout these years. My PhD journey
started out of a passion for the area I work in and the vast number of on-going open questions to explore.
Having said that, I would like to thank the Open University and Professor Joaquim Borges Gouveia,
President of the board of Energaia, for the opportunity provided by granting me the right and flexibility to
carry out my PhD work within a joint enterprise / academic partnership. I would like to extend my
acknowledgement to my current and former work colleagues, in particular to the 2 Js (João and José) for
their support, and for all the fruitful talks and companionships.
With regards to the actual body of this work I’d like to express my gratitude to the Entidade Reguladora do
Sector Energético (ERSE) for selecting the Energyprofiler project for funding, which supported my research
at its initial stage. It was within the scope of this project that I had the pleasure to work together with a
highly skilled and motivated team and to learn how to become a researcher through practice. This
collaboration brought up a number of opportunities that would have been difficult to realize otherwise. The
Energyprofiler project provided me with the opportunity to explore the topic on a larger, national scale that
otherwise would have been difficult to achieve. The project also allowed me to work together with Dalila
Antunes and Rui Gaspar, who were that patient to walk me through the initial SPSS steps and with time
became long-term colleagues. I’d also like to express my gratitude to those FG participants and individual
interviewees, who I shall not name, but who worked with me together on my research and dedicated parts
of their time to answer my questions and allowed me to proceed with my research. A special thank you to
André, who took part of this research, and with whom unfortunately I will not be able to share this work.
Last, but not least, I would like to thank Dr Christian Atkins, Dr Nii Amoo and Dr Kieran Mervyn who have
worked as external reviewers and proof readers.
Finally I would like to thank my supervisors, Dr Christine Thomas, Dr Emma Dewberry and initially also
Professor Marylyn Carrigan who supported me in the initial phase, as well as the wider MCT team for the
support and guidance provided to me.
6. V
2.2.5 Income levels and energy poverty ............................................................................................... 26
2.2.6 Demographic trends .................................................................................................................... 27
2.2.7 The role of infrastructure and technological factors in influencing energy use at home ............ 28
2.2.8 The rebound effect and its influence on determining energy use at home ................................. 29
2.3 CONCLUDING REMARKS ............................................................................................................................ 31
3 ENERGY USE BEHAVIOURS: MOTIVATIONS AND BARRIERS ............................................................... 33
3.1 MOTIVATIONS FOR SAVING ENERGY AT HOME ............................................................................................... 33
3.2 PRO-ENVIRONMENTAL CONCERN: A MOTIVATIONAL VARIABLE OR BARRIER TO BEHAVIOUR? ................................... 33
3.3 BARRIERS TO ADOPTING MORE ENERGY EFFICIENT BEHAVIOURS ........................................................................ 37
3.3.1 Monetary focus as a barrier ........................................................................................................ 37
3.3.2 External/macro barriers: policy based, structural and economic barriers ................................... 37
3.3.3 Knowledge based barriers ........................................................................................................... 39
3.3.4 Cultural – normative and social barriers ..................................................................................... 40
3.4 INDIVIDUAL PSYCHOLOGICAL BARRIERS ........................................................................................................ 40
3.4.1 Habits as a barrier ....................................................................................................................... 41
3.4.2 Comfort as a psychological barrier .............................................................................................. 41
3.4.3 Individual beliefs and self-efficacy as a barrier ............................................................................ 42
3.4.4 Resistance and unwillingness to change as a barrier .................................................................. 44
3.5 CONCLUDING REMARKS ............................................................................................................................ 45
4 ENERGY USE AND INTERVENTION STRATEGIES ................................................................................. 48
4.1 ENERGY USE, INTERVENTIONS AND SUPPORTIVE FRAMEWORKS ......................................................................... 49
4.1.1 Potential intervention layers ....................................................................................................... 53
4.2 BEHAVIOURAL CHANGE, COMMUNICATION AND PERSUASION ........................................................................... 54
4.2.1 Persuasion and communication .................................................................................................. 57
4.2.2 Mental models and communication ............................................................................................ 58
4.2.3 Behavioural change, and relevant and supportive communication ............................................ 59
4.3 STRUCTURAL INTERVENTIONS .................................................................................................................... 59
4.3.1 Financial-economic interventions ................................................................................................ 60
4.3.2 Physical/technical interventions .................................................................................................. 60
7. VI
4.3.3 Legal regulation ........................................................................................................................... 60
4.4 PSYCHOLOGICAL INTERVENTIONS ................................................................................................................ 61
4.4.1 Information provision .................................................................................................................. 62
4.4.2 Commitment and goal setting ..................................................................................................... 65
4.4.3 Behavioural intervention through design .................................................................................... 66
4.4.4 Rewards and punishments .......................................................................................................... 67
4.4.5 Learning theories and modelling ................................................................................................. 69
4.4.6 Social learning community based approaches ............................................................................ 70
4.5 COMBINED STRUCTURAL/PSYCHOLOGICAL INTERVENTIONS ............................................................................. 71
4.5.1 Prompting strategies ................................................................................................................... 71
4.5.2 Feedback provision ...................................................................................................................... 72
4.5.3 Monitoring systems and metering ............................................................................................... 73
4.5.4 Social marketing .......................................................................................................................... 74
4.6 CONCLUDING REMARKS ............................................................................................................................ 77
5 RESEARCH METHODOLOGY AND DESIGN .......................................................................................... 79
5.1 LITERATURE REVIEW ON AVAILABLE METHODS ............................................................................................... 80
5.1.1 Inductive or deductive ................................................................................................................. 80
5.1.2 Subjective or objective ................................................................................................................. 81
5.1.3 Positivism or constructivism ........................................................................................................ 81
5.1.4 Qualitative or quantitative .......................................................................................................... 82
5.1.5 Available research instruments ................................................................................................... 84
5.1.5.1 Surveys and survey questionnaires ...................................................................................................... 85
5.1.5.2 Thematic analysis .................................................................................................................................. 85
5.1.5.3 Content analysis ................................................................................................................................... 86
5.1.5.4 Comparative analysis ............................................................................................................................ 86
5.1.5.5 In-depth individual interviews .............................................................................................................. 86
5.1.5.6 Telephone interviews ........................................................................................................................... 86
5.1.5.7 Grounded theory .................................................................................................................................. 87
5.1.5.8 Action research ..................................................................................................................................... 88
5.1.5.9 Focus groups ......................................................................................................................................... 88
8. VII
5.1.5.10 Direct participant observation ............................................................................................................ 89
5.2 METHODS USED ...................................................................................................................................... 90
5.3 SURVEY QUESTIONNAIRE ........................................................................................................................... 93
5.3.1 Survey questionnaire and data analysis methodology ................................................................ 94
5.3.2 Question added for the specific purpose of this research work ................................................... 96
5.4 FOCUS GROUPS ....................................................................................................................................... 98
5.4.1 Focus group objectives ................................................................................................................ 99
5.4.2 Focus group composition ........................................................................................................... 101
5.5 IN-DEPTH INDIVIDUAL INTERVIEWS ............................................................................................................ 104
5.5.1 Interview objectives ................................................................................................................... 104
5.5.2 Sampling of interviewees ........................................................................................................... 105
5.6 SUMMARY OF EMPIRICAL STUDY METHODS ................................................................................................. 106
5.7 QUALITATIVE DATA ANALYSIS: FOCUS GROUP AND IN-DEPTH INDIVIDUAL INTERVIEWS ......................................... 107
5.8 RESEARCH ETHICS .................................................................................................................................. 108
5.9 SUMMARY ........................................................................................................................................... 109
6 EXPLORING DOMESTIC ENERGY USE ............................................................................................... 111
6.1 CHARACTERISTICS OF DOMESTIC ENERGY USE .............................................................................................. 111
6.1.1 Invisibility as a distinctive characteristic of energy use ............................................................. 111
6.1.2 The fundamental role of domestic energy use .......................................................................... 116
6.2 DETERMINANTS OF DOMESTIC ENERGY USE ................................................................................................ 116
6.2.1 Relation of behaviour and energy use ....................................................................................... 117
6.2.2 Building characteristics .............................................................................................................. 121
6.2.3 Growing number of home appliances ........................................................................................ 121
6.2.4 Energy efficient home appliances and overall energy prices ..................................................... 122
6.2.5 The evolution of cultural and social norms ................................................................................ 125
6.3 CONCLUDING REMARKS .......................................................................................................................... 127
7 FACTORS INFLUENCING ENERGY USE AT HOME .............................................................................. 135
7.1 MOTIVATIONAL VARIABLES AND ENERGY EFFICIENT BEHAVIOURS .................................................................... 135
7.1.1 The motivation for saving money .............................................................................................. 135
9. VIII
7.1.2 Pro-environmental behaviour and pro-social motivations ........................................................ 137
7.1.3 Needs and expectations and its relation to motivation for saving energy ................................ 144
7.2 BARRIERS FOR ADOPTING MORE ENERGY EFFICIENT BEHAVIOURS ..................................................................... 144
7.2.1 External/macro barriers: policy based, structural and economic barriers ................................. 145
7.2.2 Knowledge based barriers ......................................................................................................... 147
7.2.3 Cultural-normative-social barriers ............................................................................................. 152
7.3 INDIVIDUAL PSYCHOLOGICAL FACTORS AS A BARRIER ..................................................................................... 154
7.3.1 Habits as an obstacle to the adoption of more energy efficient behaviours ............................. 154
7.3.2 Comfort and convenience .......................................................................................................... 157
7.3.3 Efficacy and outcome expectations ........................................................................................... 158
7.3.4 Resistance to and unwillingness to change ............................................................................... 161
7.4 CONCLUDING REMARKS .......................................................................................................................... 163
8 INTERVENTION STRATEGIES AND PERCEIVED EFFECTIVENESS ......................................................... 170
8.1 COMMUNICATION DESIGN AND PERSUASION .............................................................................................. 171
8.2 STRUCTURAL INTERVENTIONS .................................................................................................................. 173
8.2.1 Rewards and punishments ........................................................................................................ 173
8.2.2 Incentives and samples .............................................................................................................. 174
8.2.3 Labelling .................................................................................................................................... 175
8.2.4 Demonstrating and facilitating ................................................................................................. 177
8.2.5 Intervention through design ...................................................................................................... 178
8.3 PSYCHOLOGICAL INTERVENTIONS .............................................................................................................. 179
8.3.1 Targeted face-to-face information ............................................................................................ 179
8.3.2 Information and communication campaigns ............................................................................ 180
8.3.3 Education interventions ............................................................................................................. 183
8.3.4 Community based interventions ................................................................................................ 184
8.4 COMBINED STRUCTURAL/PSYCHOLOGICAL INTERVENTIONS ............................................................................ 185
8.4.1 Information, feedback and monitoring equipment ................................................................... 185
8.4.2 Smart metering and prompting strategies ................................................................................ 187
8.4.3 Information, feedback and energy bills ..................................................................................... 188
10. IX
8.5 CONCLUDING REMARKS .......................................................................................................................... 188
9 CONCLUSION .................................................................................................................................. 196
9.1 SPECIFIC ANSWERS TO THE RESEARCH QUESTIONS ........................................................................................ 196
9.1.1 RQ1: What explains energy use at home? ................................................................................. 196
9.1.2 RQ2: What influences energy use at home? .............................................................................. 197
9.1.3 RQ3: What is the potential role of intervention strategies on energy use at home? ................ 199
9.2 KEY FINDINGS ....................................................................................................................................... 200
9.2.1 Importance to challenge the understanding of normal ............................................................. 201
9.2.2 Invisibility of energy and its implications ................................................................................... 202
9.2.3 Financial motivations to save energy ........................................................................................ 202
9.2.4 Knowledge, competence and self-efficacy ................................................................................. 203
9.2.5 Energy efficient behaviour and outcome efficacy ...................................................................... 203
9.3 LIMITATIONS OF THE RESEARCH ................................................................................................................ 204
9.4 SUGGESTED FUTURE RESEARCH ................................................................................................................ 204
REFERENCES .......................................................................................................................................... 206
APPENDICES .......................................................................................................................................... 226
APPENDIX I: ENERGYPROFILER SURVEY QUESTIONNAIRE .......................................................................................... 226
APPENDIX II: REDUCED VERSION - FG QUESTIONNAIRE BEFORE DISCUSSION ................................................................ 234
APPENDIX III: CONSUMER INTERVIEW ROADMAP ................................................................................................... 235
APPENDIX IV: PRACTITIONER INTERVIEW ROADMAP ............................................................................................... 238
APPENDIX V: LIST OF ANSWERS FOR QUESTION 6 OF EP SURVEY QUESTIONNAIRE REGARDING ENERGY SAVING REPORTED
BEHAVIOURS .................................................................................................................................................. 240
APPENDIX VI: – LIST OF ANSWERS FOR QUESTION 15 OF EP SURVEY QUESTIONNAIRE REGARDING ENERGY SAVING REPORTED
BEHAVIOURS .................................................................................................................................................. 241
APPENDIX VII: VARIABLES DEFINED DURING ENERGYPROFILER STUDY ......................................................................... 242
APPENDIX VIII: – LIST OF ANSWERS FOR QUESTION Q16 OF EP SURVEY QUESTIONNAIRE (REPORTED BARRIERS AND
CONSTRAINTS) ................................................................................................................................................ 243
APPENDIX IX: – LIST OF IDENTIFIED BARRIERS DURING THE FG ................................................................................. 244
APPENDIX X: – SAMPLE DISTRIBUTION WITH REGARD TO REGION, GENDER, AGE GROUPS AND RURAL/URBAN AREA ............ 245
14. XIII
List of Terminology and Abbreviations
Attitudes: “relatively enduring predisposition to respond favourably or unfavourably” towards something,
(Simons, 1976, p. 80) influencing consumption patterns, recommendation to others, beliefs and intentions”,
(Schiffman & Kanuk, 1999, pp. 199-200)
Attitude-Behaviour Gap: positive attitudes do not necessarily lead to behaviour, (Kollmuss & Agyeman,
2002), a phenomenon also known within pro-environmental behaviours, since general positive pro-
environmental attitudes do not seem to be particular important predictors of environmentally significant
behaviour, (Bamberg, 2003; Poortinga, Steg, & Vlek, 2004; Schultz, Oskamp, & Mainieri, 1995; Thøgersen,
2004).
Behaviour: the result of multiple conscious and unconscious processes as well as internal (psychological
variables such as norms, beliefs or values) and external variables (e.g. social, economic physical), drivers and
constraints, personal capabilities, or habits and routines, (Jackson, 2005; Nye, Whitmarsh, & Foxon, 2010;
Stern, 2000).
Behavioural change intervention: Generic and specific interventions to support a change in behaviour at
the individual and population level. In the environmental context it can be understood as a change in the
patterns of consumption of resources, (Committee on Climate Change [CCC], 2012).
Behaviour-Based Programs: Energy efficiency programs that utilize an understanding of how individuals
interact with energy in order to decrease energy demand, (American Council for an Energy-Efficient
Economy [ACEEE], n.d.).
Beliefs: psychological state in which an individual holds a proposition or premise to be true, (Schwitzgebel,
2010), which in terms of behaviour could be the “salient information, relevant to the behaviour”, (Ajzen,
1991, p. 189).
Biocapacity: the area of land and productive oceans actually available to produce renewable resources and
absorb CO2 emissions, (World Wide Fund for Nature [WWF], 2012). Biocapacity quantifies nature’s capacity
to produce renewable resources, provide land for built-up areas and provide waste absorption services such
as carbon uptake. Biocapacity acts as an ecological benchmark against which the Ecological Footprint can be
15. XIV
compared. Both the Ecological Footprint and biocapacity are expressed in a common unit called a global
hectare, where 1 gha represents a biologically productive hectare with world average productivity.
CID: For the purpose of this research CID stands for ‘Consumer Interview’ meaning the 3 interviews that
were performed to consumers selected from the focus group that had been performed as part of the
empirical study.
Collective efficacy: “sense of collective efficacy” does exist where individuals can solve their problems and
improve their lives through concerted effort, (Bandura, 1986, p. 449).
Comprehensive Home Energy Audits: An assessment of a home’s energy use that includes a visual
inspection, diagnostic testing, analysis, and a list of proposed improvements, ending with guidance to
complete the work, or actual completion of the work, (ACEEE, n.d.).
Concept, conception or construct: abstract object, or a mental representation, e.g. wellbeing, depression,
poverty, achievement, family. They are not only the building blocks of theory, but they also form the link
between theory and empirical research, (Bergman, 2010).
Consumerism: emphasis on or preoccupation with the acquisition of consumer goods, (Oxford University
Press, 2013).
Consumption: the “human transformation of materials and energy”, (Royal Society of London & U.S.
National Academy of Sciences, 1997, p. 684), requiring the “selection, use, disposal, and recycling of goods
and services”, (Campbell, 1995, p. 102).
Curtailment behaviours: behaviours that must be performed frequently, involving repetitive efforts to
reduce energy, and involve more operational day to day habits and routines, such as lowering the
thermostat, turning lights and appliances off, (Abrahamse, Steg, Vlek, & Rothengatter, 2005; Gardner &
Stern, 2002).
Demand-Side Management: The planning, implementation, and monitoring of utility activities designed to
encourage consumers to modify patterns of electricity usage, including the timing and level of electricity
demand, (U.S. Energy Information Agency [EIA], 2013).
16. XV
Descriptive norm: what most people do; the perception individuals hold about what is normal in a given
situation, (Cialdini, Kallgren, & Reno, 1991; Cialdini, Reno, & Kallgren, 1990).
Dwelling: a self-contained unit of accommodation, (Department for Communities and Local Government
[DCLG], 2012).
Ecological Footprint: tracks humanity’s demands on the biosphere by comparing humanity’s consumption
against the Earth’s regenerative capacity, or biocapacity, by calculating the area required to produce the
resources people consume, the area occupied by infrastructure, and the area of forest required for
sequestering CO2 not absorbed by the ocean, (Galli et al., 2007; Kitzes et al., 2009; Wackernagel et al.,
2002).
Efficacy expectations: “the conviction that one can successfully execute the behaviour required to produce
outcomes”, (Bandura, 1977a, p. 193).
Efficiency behaviours: infrequent type of behaviours, like for example one-off actions, which often entail an
investment, such as loft or cavity wall insulation, or buying an energy efficient air conditioner. Commonly
also referred to as ‘efficiency behaviours’ or ‘investment behaviours’, (Abrahamse et al., 2005; Gardner &
Stern, 2002; Kempton, Boster, & Hartley, 1995).
Energy Audit: assessment of a home's energy use. These include a number of different types of surveys,
including (in increasing order of cost and complexity): online audits, in-home home energy surveys,
diagnostic home energy surveys, and comprehensive home energy audits, (ACEEE, n.d.).
Energy Conservation: reduction in the amount of energy consumed in a process or system, or by an
organization or society, through economy, elimination of waste, and rational use, (BusinessDictionary, n.d.).
Saving energy by doing with less or doing without (e.g., setting thermostats lower in winter and higher in
summer; turning off lights; taking shorter showers; turning off air conditioners; etc.), (ACEEE, n.d.).
Energy efficiency: ratio of ‘useful’ outputs to energy inputs for a system. The system in question may be an
individual energy conversion device (e.g. a boiler), a building, an industrial process, a firm, a sector or an
entire economy, (Sorrell, 2007). Percentage of total energy input to a machine or equipment that is
consumed in useful work and not wasted as useless heat, (BusinessDictionary, n.d.).
17. XVI
Energy efficiency gap: difference between the ‘actual energy efficiency’ and the ‘potential efficiency’,
meaning part of the efficiency gain due to technological developments is being ‘taken back’, (Feenstra,
Backhaus, & Heiskanen, 2009).
Energy Efficiency Measure: particular good or practice that provides an energy efficiency benefit. Upgraded
insulation, energy efficient appliances, and adjusting a boiler’s limit control are examples of measures,
(ACEEE, n.d.).
Energy Efficiency Potential: amount of energy savings possible, (ACEEE, n.d.).
Energy Management System: computerized system for fully automatic control of HVAC, lighting,
refrigeration, and other commercial building subsystems in order to accurately manage and monitor indoor
temperature, comfort, and environmental quality. An EMS often saves energy and money by operating
systems only when needed and by allowing time-of-day scheduling and peak load shedding control, (ACEEE,
n.d.).
Energy services: these are the services that people gain from using energy and include warm rooms, hot
water, a well-lit home and refrigerated food, (Environmental Change Institute [ECI], 2005)
Energy Performance Certificate (EPC): The certificate provides a rating for residential and commercial
buildings, showing their energy efficiency based on the performance of the building itself and its services
(such as heating and lighting). EPCs are required whenever a building is built, sold or rented out, (CCC,
2012).
Environmentally Significant Behaviour (ESB): a behaviour that does not “threaten human health, welfare,
or other things people value”, (Stern, 1997, p. 15) and that is characterized by its “positive impact on the
availability of materials or energy from the environment and/or by the extent to which the behaviours
positively alter the structure and dynamics of ecosystems or the biosphere”, (Stern, 2000, p. 408).
EP: For the purpose of this research EP stands for ‘energyprofiler study’ as had been conducted within the
empirical work.
FG: For the purpose of this research FG stands for ‘Focus Group’ as they had been conducted within the
empirical work.
19. XVIII
Personal norms: feelings of strong moral obligation that people experienced to engage in pro-social
behaviour, (Schwartz, 1970, 1977).
PID: For the purpose of this research PID stands for ‘Provider Interview’, meaning the 3 interviews that were
performed to people working for intervention providers within the energy area.
Price elasticity: the percentage change in one variable following a percentage change in another, holding
other variables constant, (Sorrell, 2007).
Rebound effect: also known as ‘take-back effect’, is measured by the difference between the projected and
actual savings due to increased efficiency and is normally expressed as a percentage of the expected energy
savings from an energy efficiency improvement, (Sorrell, 2007).
Self-efficacy: “people’s judgments of their capabilities to organise and execute courses of action required to
attain designated types of performances”, (Bandura, 1986, p. 395).
Single-Action Bias: tendency people have to engage into single corrective actions and therefore ‘doing their
bit’ thus increasing the resistance and decreasing the need of taking additional actions, (Weber, 1997).
Smart Meters: An advanced electricity meter that uses real time sensors to provide information on power
consumption and price, (ACEEE, n.d.).
Social Marketing: the application of marketing principles and tools to achieve socially desirable goals,
(Andreasen, 1995; Kotler & Zaltman, 1971).
Social Norms: unwritten rules and expectations that frame appropriate and inappropriate expectations and
behaviours within a group of individuals, (Lewis, 1969).
Spillover effect: term used to describe the transferability across behaviours and contexts between one kind
of environmental behaviour and another, (Thøgersen & Ølander, 2002).
Subjective norm: individual perception about what other people who are important to him/her think of the
specific behaviour, rather than the individual personal belief about the morality of the given behaviour,
(Ajzen & Fishbein, 1980).
20. XIX
Sustainable development: “the kind of development that meets the needs of the present without
compromising the ability of future generations to meet their own needs”, (United Nations [UN], 1987).
Sustainable consumption: “the use of goods and services that respond to basic needs and bring a better
quality of life, while minimising the use of natural resources, toxic materials and emissions of waste and
pollutants over the life cycle, so as not to jeopardise the needs of future generations”, (Norwegian Ministry
of the Environment, 1994).
Values: Considered by some, as the hardest thing to change, (Andreasen, 1995; Kotler, Roberto, & Roberto,
1989), values might be overall defined as “a desirable trans-situational goal varying in importance, which
serves as a guiding principle in the life of a person or other social entity”, (Schwartz, 1992, p. 21).
21. 1. Introduction
1
1 Introduction
Current energy use in the developed world is considered to be unsustainable with energy consumption and
production patterns undermining sustainable development and the equitable distribution of resources
worldwide, (Intergovernmental Panel on Climate Change, [IPCC], 2007; Stern, 2007). To achieve more
sustainable energy use levels requires a combination of cultural and technological advances and innovation
in the design of social and institutional systems and systems of production and consumption, (Cole, 2011).
However, although such changes at societal level are likely to lead to some reductions in energy use at the
household level, it is recognised that significant change in household energy consumption is unlikely to
occur without changes in individuals’ energy usage behaviours. To achieve the goal of sustainable levels of
household energy use requires a clear understanding of energy use at home and what influences current
energy use behaviours so to adopt more energy efficient behaviours, (Darby, 2006; Janda, 2011). This
research aims to explore how the adoption of more energy efficient behaviours at home could be
encouraged. With this the research has the objective to better understand the different determinants of
energy use at home, the role of motivations and barriers that drive energy use at home, and the potential
role of interventions to promote behavioural change.
This chapter firstly sets the context for the research by describing the need for working towards a more
sustainable society and the important role that energy use plays in this. It then considers the role of
individuals’ energy use behaviours; what motivates them and what barriers they face and how they might
be influenced to reduce domestic energy use. The chapter concludes with the research aims, the research
questions and the structure of the thesis.
1.1 Energy use and sustainability
Energy use underpins most aspects of modern life. It is important in the production of goods, most services
and the way we live. However, many forms of energy, in particular fossil fuels, contribute to environmental
problems, such as climate change and local air pollution, (Organization for Economic Co-operation and
Development, (OECD], 2012). What we desire in a modern lifestyle therefore seems to come at the cost of
undesired environmental problems and this is particularly prevalent for developed countries, (UN, 1987;
22. 1. Introduction
2
IPCC, 2007; Stern, 2007). Recent trends regarding increasing global population, (U.S. Census Bureau, 2011;
UN, 2011) and increasing material consumption, as a consequence of the growing level of perceived needs,
have exacerbated this problem, (The Royal Society, 2012). It has therefore been argued that changes in
current lifestyles will be required to achieve a sustainable level at which the needs of the present are met
without compromising the environment for future generations so as to allow for the long-term use of
natural resources for current as well as future generations, (Backhaus et al., 2012; IUCN, UNEP, & WWF,
1991; UN, 1987). Development should thus be socially and morally just, ethically acceptable and
economically sound, with environmental indicators as important as economic indicators, (Leal Filho, 2011;
UN, 1987). As such, sustainable development implies a balanced intersection of economic, environmental
and social factors, (Elkington, 1997), (Figure 1-1).
Figure 1-1: The three main pillars of sustainable development: economic growth, environmental protection and social
equality, (Kennedy, 2011).
However, evidence suggests that it will become increasingly difficult to meet such expectations and
commitments, (WWF, 2012), within a fast growing human population that has increased from 1.6 billion in
1900 to 7 billion in 2011, (U.S. Census Bureau, 2011) and is forecast to reach just over 9.3 billion by 2050,
(UN, 2007). This rapid and widespread change in the global human population, coupled with unprecedented
levels of consumption, has implications for finite planetary resources and presents a challenge not only to
the environment, but also to human health and wellbeing, (The Royal Society, 2012). What citizens from
developed countries perceive as being a, ‘normal lifestyle’, might not be sustainable in a global context of
population growth and depleting natural resources. This becomes, in particular, apparent when considering
the ecological footprint that measures the demands of humanity on the biosphere by comparing
23. 1. Introduction
3
consumption against the Earth’s regenerative capacity, or biocapacity, (WWF, 2012). The ecological
footprint shows a consistent trend of overconsumption for the few last decades, with a growing biocapacity
deficit. Humanity’s annual demand on the natural world has exceeded what the Earth can annually renew
since the 1970s. In 2008 it exceeded the Earth’s biocapacity by more than 50 per cent, which means it
would take 1.5 years for the Earth to fully regenerate the renewable resources consumed in one year, (Galli
et al., 2007; Kitzes et al., 2009; Poumanyvong & Kaneko, 2010; Wackernagel et al., 2002; OnePlanetLiving,
n.d., WWF, 2012). At the individual human level the ecological footprint is influenced by the choices
individuals make on what they eat, what products they purchase, how they heat/cool their homes and how
they travel, (WWF, 2012). A challenge of our age could thus be seen in decoupling human progress from
resource use and environmental decline, (KPMG, 2012). This is to say decoupling unsustainable human
needs, wants and expectations and rebuilding these in a more sustainable way. As long as this is not
achieved however, there will be a conflict between limitless needs vs. limited resources and the need to
define the boundaries of what is understood as ‘sustainable’, ‘normal’ or ‘socially acceptable’ consumption,
(Norwegian Ministry of the Environment, 1994; UN, 1987, 1992).
Sustainability in relation to energy use can also, “be understood as a continuous learning process that
occurs when a given society acquires the necessary knowledge to reduce its energy consumption without
diminishing its quality of life or creating new social inequalities”, (Tabara et al., 1999, p. 1). Therefore the
focus of fulfilling individual needs in a more sustainable way is a core concept of this thesis; reinforcing that
sustainability in energy terms should not mean losing wellbeing, but rather doing things in a different way.
Part of that different way requires individual behavioural change and an understanding of the motivations
and barriers for change.
1.2 Motivations and barriers to energy use
Motivations are factors encouraging, or influencing, a change in behaviour, or maintaining a current
behaviour and barriers those that obstruct or limit change. Saving money and protecting the environment
are the first and second most frequently reported motivations for saving energy at home, (Eurobarometer,
2011a). However, they are not often fully realized as reduced energy use might be perceived as negatively
impacting comfort or wellbeing. In such an equation the gain and motivation of maintaining old habits can
24. 1. Introduction
4
have a higher priority than that of saving money and protecting the environment. In this situation the gain
and motivation of maintaining old habits constitute a barrier to the adoption of more energy efficient
lifestyles, (Jackson, 2005; Prendergrast, Foley, Menne, & Isaac, 2008). Individuals’ own habits, or their
compliance to existing and commonly accepted standards and social norms, can work as motivations to
maintaining existing behaviours, (EEA, 2013; Shove, 2003). To achieve a change towards energy efficient
behaviour would thus require understanding the respective barriers, (Homans, 1958), as well as the
underlying attitudes and values, (Andreasen, 1995; Homans, 1958; Kotler et al., 1989). This interplay
between barriers and behaviours is depicted in Figure 1-2 and Throne-Holst, Strandbakken, and Stø (2008)
suggest that it consists of six barrier groups. Figure 1-2 highlights the interplay in terms of macro and micro
factors between the individual, surrounding setting and infrastructure that could motivate, enable and
reinforce individual behavioural change as well as illustrate the complexity of such relations.
Figure 1-2: The relation between individual energy related behaviour and barriers to change, (Barenergy, 2011).
In accordance with Throne-Holst et al. (2008), barriers toward the adoption of more energy efficient
behaviours could be grouped as:
(1) Information/knowledge barriers, where people are lacking relevant information regarding energy
efficiency measures that they could adopt.
(2) Physical and structural barriers, where the existing physical structure of dwellings and of society can be
a disincentive and tend to lock people into less sustainable behaviours.
25. 1. Introduction
5
(3) Political barriers, such as laws and regulations that frame and determine the ability to change
individual behaviours.
(4) Cultural-normative barriers, as people do not live in isolation, and social and cultural norms may
restrict engagement in more energy efficient behaviours, even if they hold a positive opinion towards
them.
(5) Economic barriers, since more energy efficient solutions can be expensive, the higher prices may
therefore discourage people from becoming more efficient in their energy use.
(6) Individual-psychological barriers, as a pre-determinant of the adoption of more energy efficient
behaviours. This is the individual willingness to change behaviour that is influenced by individual’s
personal habits and comfort zones, including for instance the concept of self-efficacy, (Bandura, 1986),
or Perceived Behaviour Control, (Ajzen, 1991).
As such, any given motivation might have to face a number of barriers from different barrier groups. To
achieve behavioural change towards the adoption of more energy efficient behaviours therefore would not
only require understanding all of the respective barriers, but also the underlying attitudes and values, and
subsequently means to overcome each of them.
1.3 Energy use and behaviour change
Energy saving can be realized through infrastructural development, increasing technological development
and deployment, the introduction of more energy efficient materials and appliances and also through the
rational and sustainable use of energy at home, based on the adoption of more energy efficient behaviours.
For decades, research has mainly focused on the technical component, such as providing more energy
efficient home appliances or building materials and only more recently has attention been directed to the
non-technical components and to the contribution of how people behave and interact with home
appliances and infrastructures, in terms of energy use at home, (EEA, 2013). The reasons for a focus on
technology might have been that it was expected to be ‘easier’ to influence efficiency behaviours that are
characterized by one-off actions, instead of changing curtailment behaviours, which must be performed
frequently, (Abrahamse et al., 2005; Gardner & Stern, 2002). However, focusing on efficiency behaviours
usually involves the need for an initial investment, which can itself act as a barrier. But even in the event
26. 1. Introduction
6
that those barriers can be overcome and financial savings generated, the energy saved might subsequently
be used for other energy using activity, or to increase the number of home appliances that people have. It
can thus lead to what is known as a ‘rebound-effect’ where the energy saving potential is not realized in
practice, (Khazzoom, 1980). For these reasons the contribution that curtailment behaviours can play should
not be underestimated and interventions that attempt to change behaviours must, ultimately, need to lead
to long-term behaviour change to be successful. The literature shows a diversity of existing intervention
strategies and types that could support and enable behavioural change and can be grouped into two
broader categories: (a), structural and (b), psychological interventions, (Poortinga et al., 2004; Steg, 2003).
Structural interventions aim to change the (social) context in which behavioural decisions take place, based
on the belief that by altering the conditions on which behaviour is based, the behaviour will then change in
accordance. In contrast, psychological interventions aim at changing existing perceptions, knowledge,
attitudes, norms and values, (i.e. individual, micro-level variables). The underlying assumption here is that
by changing these determinants, behaviour will change accordingly. Structural and psychological
interventions have been employed to encourage household energy conservation with varying degrees of
success, (Abrahamse et al., 2005; Geller, Harrington, Rosenfeld, Tanishima, & Unander, 2006; Heiskanen,
Mourik, Feenstra, & Pariag, 2009; Kurz, 2002; Southerton et al., 2011). A number of studies apparently
suggest that success, when it occurs, rarely survives when the change interventions are discontinued,
(Abrahamse et al., 2005; Heiskanen et al., 2009; Kurz, 2002; Lutzenhiser, 2002). Despite the growing body of
existing research and evidence, there appears however still to be no clear evidence within the literature on
the potential long-term effectiveness of change interventions within the field of energy use at home; an
area that this work attempts to explore further.
1.4 Aim of the research
The overall aim of this research is to explore how the adoption of more energy efficient behaviours at home
could be encouraged. Within this, a first objective is to provide an overview of the nature of energy use at
home and the factors that influence energy use, (chapter 2). Subsequently the research investigates
whether the same set of factors and conditions can be found within the empirical study in Portugal,
(chapter 6). Secondly, this research has the objective to advance on the theory of motivating, enabling and
27. 1. Introduction
7
reinforcing factors that could promote the adoption of more energy efficient habitual behaviours and
practices at a household level, (chapter 3), as well as for the Portuguese context, (chapter 7). Thirdly, this
research has the objective to explore the potential effectiveness of change interventions within the field of
energy use at home and the different types of interventions that might be used, (chapter 4) and how those
are perceived and evaluated within the examples of practice in Portugal, (chapter 8).
The reason for the geographic focus of this research was two-fold. Firstly, the researcher was aware of an
apparent scarcity of existing studies that investigated domestic energy use in Portugal and secondly, for
pragmatic reasons, as the researcher is based in Portugal and cognisant of the social context of household
energy use. The geographical scope has been limited to northern Portugal to explore the topic of research
in more depth.
1.5 Research Questions
Based upon the review of the literature as well as driven by the thesis aim and objectives, the following
research questions, (RQ), have been derived:
Research Question 1: What explains energy use at home?
a) What are the characteristics of energy use at home?
b) What are determinants of energy use at home?
c) How do individuals understand their energy use at home?
Research Question 2: What influences energy use at home?
a) What are motivational variables for adopting more energy efficient behaviours?
b) What are the barriers for adopting more energy efficient behaviours?
c) How do individual psychological factors influence energy use?
Research Question 3: What is the potential role of intervention strategies on energy use at home?
a) What are perceived requirements of intervention strategies?
b) What are individual perceptions on the effectiveness of intervention strategies?
28. 1. Introduction
8
1.6 Research process and information flow
This section provides an overview of the research process and information flow.
1.6.1 Research process
To fully explore the research questions, this research uses a mixed methods design, where qualitative and
quantitative methods are combined. The use of both qualitative and quantitative methods was seen to be
necessary to encompass differing aspects of the research, as explained in Chapter 5. Figure 1-3 is a
schematic representation of the research design.
Figure 1-3: Schematic representation of research design.
As can be seen in Figure 1-3, the research starts with a comprehensive literature review of the theoretical
approaches to understanding human behaviour in general and more specifically, those concerned with
more energy efficient lifestyles. To better explore the topic, the literature around energy use and
sustainability was reviewed to locate discussion and identify the reasons why people are expected to use
less energy at home. In addition, the literature within the field of behavioural change, more generally as
well as within an energy context, has been reviewed. Chapter 2 explores the use of energy at a household
29. 1. Introduction
9
level and its relation to sustainability. Chapter 3 reviews the literature on understanding human behaviour
and in particular, of energy related behaviours at home. This section also looks at motivating factors and
barriers related to individual behavioural change within the energy area. Chapter 4 looks at the potential
effectiveness of change interventions within the field of energy use at home and the different types of
interventions that might be applied. This chapter includes a reflection around theories of persuasion and
their role in frameworks for change such as social marketing. Chapter 5 details the research methodologies
adopted and the research design for the empirical phase of this research. Chapter 6, 7 and 8 present and
discuss the findings from the empirical phase of this research. These include the results from the
energyprofiler national survey, exploratory focus groups and in-depth interviews. Finally, chapter 9 presents
the research conclusions, drawing on the theoretical and empirical findings and discusses the contribution
of this research.
1.6.2 Information flow
Figure 1-4 provides a schematic representation of the information and how the respective chapters and
sections inform each other. As can be seen, in Figure 1-4 there are three direct information strings that start
in chapter 1, (sections 1.1, 1.2, 1.3), which are then followed up in the literature review, (chapters 2, 3, and
4) and subsequently looked at empirically, (chapters 6, 7, and 8).
30. 1. Introduction
10
Figure 1-4: Schematic representation of information flow.
Chapter(1(*(Introduction
1.1.#Energy#use#and#
sustainability#
1.2.#Motivations#and#
barriers#to#energy#use
1.3.#Energy#use#and#
behaviour#change
Chapters(2,(3(and(4(*(Literature(Background(
2.#Energy#use#and#
sustainability
3.#Energy#use#behaviours:#
motivations#and#barriers
4.##Energy#use#and#
Intervention#strategies
Chapters(6,(7(and(8(*(Empirical(Work(
6.#Exploring#domestic#
energy#use#in#Portugal
7.#Factors#influencing#
energy#use#at#home
8.#Intervention#strategies#
and#perceived#
effectiveness
Chapter(9(*(Conclusion 9.2.1.#RQ1 9.2.2.#RQ2 9.2.3.#RQ3
RQ1:(What(explains(energy(use(at(home? X
RQ1a.#What#are#the#characteristics#of#energy#
use#at#home?
X
RQ1b.#What#are#determinants#of#energy#use#at#
home?
X
RQ1c.#How#do#individuals#understand#their#
energy#use#at#home?
RQ2:(What(influences(energy(use(at(home? X
RQ2a.#What#are#motivational#variables#for#
adopting#more#energy#efficient#behaviours?
X
RQ2b.#What#are#the#barriers#for#adopting#more#
energy#efficient#behaviours?#
X
RQ2c.#How#do#individual#psychological#factors#
influence#energy#use?
X
RQ3:(What(is(the(potential(role(of(intervention(
strategies(on(energy(use(at(home?
X
RQ3a.#What#are#perceived#requirements#of#
intervention#strategies?
X
RQ3b.#What#are#individual#perceptions#on#the#
effectiveness#of#intervention#strategies?
X
Thesis(information(flow
Relation(between(sections(and(Research(Questions((RQ,(section(1.5.)
Aim(of(the(research((section(1.4)
The#overall#aim#of#the#research#is#to#explore#how#the#adoption#of#more#energy#efficient#behaviours#at#home#could#be#
encouraged.#Chapter#2#aims#to#provide#an#overview#of#the#nature#of#energy#use#at#home#and#the#factors#that#influence#energy#
use#with#Chapter#6#investigating#whether#the#same#set#of#factors#and#conditions#can#be#found#within#the#empirical#study#in#
Portugal.#Chapter#3#aims#to#better#understand#the#motivating,#enabling#and#reinforcing#factors#that#could#promote#the#adoption#
of#energy#efficient#habitual#behaviours#and#practices#at#a#household#level,#while#Chapter#7#examines#if#similar#conditions#can#be#
found#in#the#Portuguese#context.#Chapter#4#explores#the#potential#effectiveness#of#change#interventions#within#the#field#of#
energy#use#at#home#and#the#different#types#of#interventions#that#might#be#used#and#subsequently#within#Chapter#8#how#those#
are#perceived#and#evaluated#within#the#examples#of#practice#in#Portugal.#
31. 1. Introduction
11
1.7 The research within the Portuguese context
Previous research shows that structural psychological interventions can be applied to support and enable
behavioural change of energy use at home, (Poortinga et al., 2004; Steg, 2003), and that such interventions
have been employed with varying degrees of success, (Abrahamse et al., 2005; Geller, Harrington,
Rosenfeld, Tanishima, & Unander, 2006; Heiskanen, Mourik, Feenstra, & Pariag, 2009; Kurz, 2002;
Lutzenhiser, 2002; Southerton et al., 2011). Despite the growing body of existing research and evidence,
there appears to be however a lack of clear evidence within the literature on the potential long-term
effectiveness of such interventions. This is in particular true for studies carried out in Portugal. This lack in
existing studies within Portugal perhaps results from the fact that energy consumption has only recently
become a matter that gained in importance. It thus remains unclear whether the same set of factors and
conditions from such existing studies can also be found within Portugal, and in the case that they could be
found how effective such interventions have been in the long-term.
Having remained relatively unchanged during the period from 2003 to 2008, the gross inland consumption
of energy in Portugal decreased by 5.7 % in 2009, and much of this change is claimed to not be a result of a
structural shift in the pattern of energy consumption, but that it can be attributed to a lower level of
economic activity as a result of the financial and economic crisis, (Eurostat, 2015). Consumption rebounded
in 2010 in most of the Member States — with only Lithuania, Greece, Portugal, Cyprus, Croatia and Spain
recording consecutive contractions in consumption in 2009 and 2010 — possibly reflecting the low level of
economic output and consumer confidence in several of these Member States, (Eurostat, 2015).
Since 2012 this situation did change however and largely impacted by EU wide regulations and initiatives,
(Portuguese Government, 2013). As a result of this the National Energy Efficiency Action Plan (NEEAP) has
been adopted in 2008, and the National Renewable Energy Action Plan (NREAP) in 2010, (Portuguese
Government, 2013). NEEAP and NREAP are both policy instruments aimed at achieving the targets and
international commitments with regard to energy efficiency and the use of energy from renewable sources
that the Portuguese Government had agreed to. NEEAP and NREAP are part of a policy that promotes a
rational and sustainable energy model, without compromising the competitiveness of enterprises or the
quality of life, programs and plans that annually provide strategic guidelines which aim to contribute to
32. 1. Introduction
12
specific objectives and to allow to boost measures at all levels (ADENE, n.d.). NEEAP and NREAP also aim at
identifying existing barriers, to support improvement of energy efficiency, increase in energy derived from
renewable sources and with a view to establishing the most suitable programmes and measures for
complying with the said commitments, without neglecting national situation, (Portuguese Government,
2013).
Based on NEEAP and NREAP policy instruments the Regulatory Authority for Energy Services (ERSE), that is
responsible for the definition of mechanisms to promote energy efficiency, has established a competitive
mechanism to support actions for demand management within the ‘Plan to the Promotion of Efficiency in
Electric Energy Consumption’ (PPEC) program. PPEC aims to promote measures to improve efficiency in
energy consumption through actions undertaken by suppliers, network operators and promotion entities,
and that are targeted at a number of market segments, (Portuguese Government, 2013). Such measures are
divided in tangible and intangible measures and according to the following three market segments: industry
and agriculture; trade and services; and the residential sector. Within the tangible measures there appeared
to be a predominance of lighting measures (including public lighting), consumption management systems,
or for electronic variable speed drives, (ERSE, 2010). Within the intangible type of measures the most
common measures related to the dissemination and information campaigns targeted at a household level
and at final consumers, but also to energy audits, (ERSE, 2010).
The interest in the funding available has been growing over the years with the 2008 call for projects
receiving 131 projects that were presented by 21 promoters and equalling a total amount of approximately
56 million euros of investment; and a final set of 159 projects presented by 48 promoters in 2011-2012 and
equalling a total amount of approximately 57.1 million euros in funding, (ERSE, 2007; ERSE, 2009; ERSE,
2012). From this initial set, a selection process had to take place and for instance, in 2011, 57 measures
were approved and received funding within the national context. Among those, 17 projects were
implemented, in the market segment ‘Domestic Energy’ on three different settings: lighting (5),
consumption management (9), and dissemination (3), (ERSE, n.d.). Two practical examples of such
measures are described in the following:
a) ‘Save Electric Energy’: in 2008 the Portuguese Association for Consumer Protection (DECO)
promoted a national campaign in order to provide information on the meaning of saving electric
33. 1. Introduction
13
energy, in three different main areas: home, work, and school. For this purpose, teams made up of
young graduates were formed – named “carbon brigades”, who acted throughout the country
raising awareness by awarding promotional material (ERSE, 2008);
b) ‘Guide for Energy Efficiency’: launched in 2012 by the Portuguese government, directly supported by
the Portuguese Agency for the Energy (ADENE). This guide provided practical recommendations and
awareness-raising information regarding how to better use electric devices on a rational and
sustainable way, in diverse contexts such as while using household appliances, but also as a guide to
support the introduction of the new European Union Energy Label (ADENE, 2013).
Apart from few exceptions most of the intangible projects do not report on the amount of energy that
could be saved as a result of the project and as such there is no indicator of the success and efficacy of the
intervention.
In addition to those programmes and measures, the Portuguese government, in collaboration with ADENE,
implemented two practical support financing instruments: the Energy Efficiency Fund (FEE) and the Support
Fund for Innovation (FAI). The FEE is a financial instrument that aims to fund programmes and measures
under the NEEAP, to encourage energy efficiency for both enterprises and citizens, to support energy
efficiency projects, and to promote behavioural change in this domain, through cross-oriented actions of
energy efficiency in the areas of behaviour, taxation and incentives, and funding, (FEE, n.d.). The FAI
supports innovation and technological development projects, technology demonstration projects in the
areas of renewable energy and energy efficiency, investment projects in energy efficiency, and partnership
building support services between Portuguese companies and the scientific and technological system, (FAI,
n.d.). With this Portugal is determined to achieve the national energy efficiency general target for 2020 that
aims to reduce primary energy use by 25%, along with a specific target for Public Administration of
achieving a reduction of 30% (European Commission, n.d.). Portugal also aims to reduce the nation’s energy
dependence and safeguard security of supplies, by promoting a balanced energy mix, including the use of
energy from endogenous renewable sources (Portuguese Government, 2013).
The energyprofiler study that supported parts of the empirical study presented in this thesis has been
carried out within exactly this wider context. The energyprofiler study was a collaborative Portuguese
35. 2. Energy use and sustainability
15
2 Energy use and sustainability
This first, of three, literature review chapters provides a brief introduction to the subject of sustainability
and energy use in the home. It explores the literature on sustainability aspects and the characteristics and
determinants of domestic energy use and how lifestyles shape energy use, or negatively impact the
sustainable use of it. Energy is essential for us to live the way we know. Even though improvements in
efficiency could have allowed OECD
1
countries to decouple GDP growth from growth in primary energy
consumption, (Geller et al., 2006), this has not happened and energy consumption is thus still closely linked
to GDP growth, (Sorrell, 2007). This section will provide an overview on energy consumption, the variables
that are influencing energy consumption and opportunities for greater efficiencies within European
households in general, and Portugal in particular.
Chapter 3 further explores what could explain energy use at home, with a particular focus on motivations
and barriers towards the adoption of more energy efficient behaviours. The final literature review, chapter
4, explores how the adoption of more energy efficient behaviours could be potentially encouraged.
2.1 Domestic energy use
The amount of energy consumed by individuals within their homes accounts for a significant share of total
energy consumption
2
and CO2 emissions, (BPIE, 2011; Deutsch, 2010; Gardner & Stern, 2002). In 2009,
European households were responsible for 68 percent of the total final energy use in buildings and 25.4
percent of total final energy was consumed by the residential sector in Europe in 2008, (EEA, 2011;
Eurostat, 2011). Furthermore, in 2008 the residential sector accounted for 27 percent of the end-use
greenhouse gas emissions from energy use in the EU-27 and in the case of Portugal, 16 percent, (EEA,
2011). In residential buildings most of the energy used is required for domestic hot water and space
heating, ventilation, lighting and cooling, with home appliances accounting for approximately one-third of
electricity used, (European Commission, 2010). Space heating is still the most energy intensive end-use in
1
OECD = Organisation for Economic Co-operation and Development
2
Total energy consumption and final energy consumption as defined in, (European Environment Agency [EEA], 2004, 2011; Official
Statistics of Finland [OSF], 2013).
36. 2. Energy use and sustainability
16
EU homes and accounts for around 70 percent of the total final energy use, though it has been decreasing
in comparison to other sources in recent times, (Backhaus et al., 2012; BPIE, 2011). Energy consumption for
water heating, for example, remained unchanged, whereas consumption for electrical appliances and
lighting increased, (Backhaus et al., 2012; BPIE, 2011). Overall, energy consumption in the household sector
continued to rise annually, though with a slower growth rate during the last few years, (European
Environment Agency [EEA], 2008; Odyssee & MURE, 2011), which suggests that households have become,
on average, more energy efficient, either deliberately or due to the economic downturn.
From a geographical perspective a difference appears to exist between northern and southern European
countries, with heating needs in southern countries, such as Portugal, being lower due to milder winters,
(Healy, 2004; WHO, 2012). Southern countries however have a high ‘relative’ energy consumption rate for
two identified reasons: firstly the lack of sufficient thermal envelope insulation
3
in southern European
building stock, and secondly the fact that cooling becomes an important contributor to overall consumption
where homes are, in many cases, equipped with air conditioning systems, (BPIE, 2011).
For Portugal the residential sector similarly shows rising energy demands, which increased from 2.510
kWh/household in 2008, to 2.630 kWh/household in 2009 and to 2.671 kW in 2010, (DGEG, 2010). A more
in-depth analysis of the latest data, (INE, 2011; INE I.P./DGEG, 2011)
4
, on household energy consumption in
Portugal and as depicted within Figure 2-1, shows that electricity emerged as the main source of energy
consumed in households, excluding fuels used in vehicles, representing 42.6 percent of total energy
consumption. Electricity was mainly consumed in kitchen and electrical appliances, amounting to 41
percent and 33 percent of the overall electricity consumption respectively.
3
Insulation of roof, exterior walls and floor.
4
Data report over the reference period from October 2009 to September 2010 unless otherwise stated.
38. 2. Energy use and sustainability
18
Figure 2-2: Distribution of energy consumption in households by use type in 2010, (INE I.P./DGEG, 2011).
Average energy usage per Portuguese household is increasing and is perhaps a result of an increase in
average income, which is known to influence the amount of perceived individual needs, (WWF, 2012). As
can be seen from the data presented in this section, households hold a significant potential for cost
effective savings that could be realized through structural and policy measures. Improving building
requirements or retrofitting opportunities thus hold a great potential for reducing energy consumption.
2.1.1 Invisibility of energy use
One distinct characteristic of energy consumption and in comparison to the consumption of physical goods,
is its “Invisibility”, (Darby, 2006), or “Doubly invisibility”, (Burgess & Nye, 2008). Energy is not used directly
at home, but is rather mediated by the appliances people have and practices people do at home. For
example, people do not simply consume gas or electricity, but rather the services these energy sources
provide, such as cooking, lighting, or washing, (Martiskainen, 2007). As such, energy might be an abstract
concept and it might be difficult to account for its use, or, environmental impact. This distinctive
characteristic might therefore pose an additional barrier towards promoting more energy efficient lifestyles
and poses the question as to whether improving energy visibility could be a way to reduce energy use.
Research suggests this might be the case, or at least partially so. For the case of using information and
feedback provisioning, as a means to make energy use visible, studies found that this had resulted in less
energy use at home, though it appeared to be not enough to promote long-term change, nor were the
realized savings seen as being significant with regards to achieving sustainable energy use levels,
(Abrahamse et al., 2005; Geller, 2002; Martiskainen, 2007; Staats, Wit, & Midden, 1996). As shown from the
21,5%
0,5%
23,5%
39,1%
10,9%
4,5%
Distribution of energy by use type
House heating
House cooling
Water heating
Kitchen
Small domestic appliances, entertainment
and computer equipment
Lighting
40. 2. Energy use and sustainability
20
2007). Some studies suggest that curtailment behaviours could initiate sustainable, long-term behavioural
changes, (Geller, 2002), while others suggest that efficiency behaviours are generally more effective in
obtaining actual energy savings, (Abrahamse et al., 2005; Gardner & Stern, 2008). In addition to this,
curtailment behaviours might be perceived, by individuals, as negligible behaviours when it comes to
energy savings, as individually they would generate only small savings and therefore, in order to produce an
impact would require adoption by many people, (Winter & Koger, 2004,) and/or the adoption of a number
of behaviours by each individual.
2.2 Determinants of energy use at home
The way people use energy in the home is the result of a mixture of socio-economical-techno-cultural
factors that frames needs, opportunities, belief systems and abilities, as illustrated in Figure 2-3.
Figure 2-3: Main factors influencing consumer behaviour and emergence of consumption practices, (EEA, 2013).
Energy use at home is often explained as based on a set of enabling variables and existing conditions. For
instance, the European Environment Agency, (EEA, 2013), suggested a number of factors influencing
consumer behaviours and emerging practices that could support the understanding of energy use at home,
as well as the adoption of more energy efficient behaviours. This section will discuss determinants that had
been identified from the literature as influencing energy use at home, namely, social and cultural
influences, comfort, convenience and needs, norms; technological developments; as well as economic and
demographic trends, (Abrahamse et al., 2005; BPIE, 2011; DGGE/IP-3E, 2004; Goldblatt, 2005; INE
I.P./DGEG, 2011; Lomas, 2010; Spaargaren & van Vliet, 2000; Wilhite & Lutzenhiser, 1999) and that can be
of an internal, external, social, or structural nature, (Abrahamse et al., 2005; Gardner & Stern, 2002;
41. 2. Energy use and sustainability
21
Kempton, Reynolds, Fels, & Hull, 1992; Martiskainen, 2007; Nye et al., 2010; Prendergrast et al., 2008). The
work of Jackson (2005) shows for example that internal determinants might consist of attitudes, beliefs and
norms, while external determinants could constitute regulations. Abrahamse et al. (2005) in contrast shows
that determinants might include wider societal, as well as personal factors, while the work of Dholakia and
Dholakia (1983) shows that determinants could result from a series of nested and interlocking choices, in
which macro-choices delimit and define the scope of micro-choices and where household energy use is
seen to be as not only the result of a choice among behavioural alternatives but where the production of
such alternatives is also viewed as the result of a social choice process. Thus there appears to be a diversity
of macro- and micro- factors. Macro-level factors such as technological development, economic growth,
demographic factors, institutional factors and cultural development appear to influence behaviour at the
broader level, while micro-level factors such as motivation, opportunity and ability appear to shape
behaviour at the individual level, (Darnton, 2008; Jackson, 2005; Nye et al., 2010; Prendergrast et al., 2008;
Stern, 2000). Thus energy use is determined by multiple conscious and unconscious processes, driven by
internal psychological variables, such as norms, beliefs or values, as well as external variables, (e.g. social,
economic physical), drivers and constraints, personal capabilities, or habits and routines, (Jackson, 2005;
Nye et al., 2010; Stern, 2000). As such energy consumption is not a behaviour in itself, but rather a
consequence of particular behaviours, (Becker, Seligman, Fazio, & Darley, 1981). Consequently to
understand and influence behaviours on energy use would require, firstly, an understanding of the
determinants of energy use behaviours.
2.2.1 Social and cultural influences
Social and cultural factors, such as thermal comfort, cleanliness and convenience in the home, or ambient
lighting that impact the amount of energy used at home are influenced both by individual preferences and
common social understandings, (Giddens, 1984; Lewis, 1969). As an example, for Portugal the penetration
rate of refrigerators, washing machines and televisions at home has increased to close to 100 percent,
suggesting that owning these appliances is now considered to be a standard, (INE, 2012). This introduction
of home appliances brings along social practices that evolve over time and develop into social norms that
establish standards that can lock individuals into what is considered to be a ‘normal’ practice. This can lead
to individuals finding it hard to change their domestic routines and behaviours, or to change them in a way