SCHOOL OF ARCHITECTURE

BBD UNIVERSITY

MASTER OF ARCHITECTURE
(GENERAL)

DESSERTATION PART-1
(SYNOPSIS TOPICS)

PASSIVE DESIGN TECHNIQUES FOR RESIDENTIAL

BUILDING (A HOT AND DRY CLIMATE)

LITERATURE REVIEW

PRESENTED BY,
Ar. Mohd. Shahzeb Ansari
M. Arch (General)
2. Literature Review

2.1. Introduction

This chapter focuses on introducing and reviewing the concept of passive design
strategies and the process of decision making in the early design stages. The involvement of
passive design is a major part of understanding sustainability on the whole, which is one of the
primary concerns that the world faces today. Focusing on understanding the relationship between
passive design strategies and the role it plays in early design stages is needed to prevent the
deterioration of the environment. Since a design process can be interpreted in different ways, it’s
vital to respect the steps that each architect takes because of the importance it has in the overall
development of the design.

To make Indian cities sustainable and smart, the energy consumption of buildings must be
reduced [1]. Energy-conscious design requires the integration of climate-responsive design with the
functionality of the building. India has various types of tropical climates due to its large land area,
which spans a wide range of latitudes [2]. According to the Energy conservation building code
(ECBC) (2011) and National Building Code (NBC, 2016), India can be divided into five climate
zones, namely hot and dry, warm and humid, composite, temperate, and cold, in terms of the thermal
design of buildings. The composite zone covers the largest area in India (Figure 1).
Figure 1: Climate zones in India. Source: Appendix E, ECBC, 2011.
2.2. Nature of Design Process

2.2.1. The Conceptual Design Process

In the design phases, the features and design of a building may be influenced by multiple
factors such as functionality, creativity, site knowledge and its environmental impact, resulting in
important moves to be considered during the initial stages. The architectural design process is
highly repetitive and delves from a very conceptual understanding to a detailed understanding [3,
4]. This conceptual or predesign stage is vital to approach a quality solution because this stage
allows for altercations to be done which may have a major effect on the project when the project
is completed. “A sustainable design needs an integrated design process and a more involved
approach than a conventional design process” [5]. Figure 2. shows the period of conceptual
design being a pivotal step to developing a profound design solution. As the knowledge about the
design problem grows, the freedom to change aspects of the design reduces, proving that careful
considerations need to be taken in the conceptual phase of the design.

The determination to provide a probable solution to the design problem is when there is
interaction between abstract ideas, synthesis and analysis [6]. “The concept of design phases is
related to a set of consecutive actions that guides the development process” [5]. Each goal has an
influential role to play that guides the design process forward, making it

Figure 2: shows knowledge vs design freedom during design process [7].

vital to respect each move by a process of prioritization. The conceptual design phase demands the
involvement of design objectives which will be the basis on which the design grows. Since the
conceptual phase delves into predesign affiliated work, it deals with the gathering of information
regards to the project brief [8]. The information gathered is understood as the site information
that has a vital role in the sequence of decisions that are needed. The problem seeking starts with
the site closely affiliated to the majority of the problem, leading to find conceptual solutions at
the predesign stage. “What is called ‘creative part’ usually refers to the schematic design phase
where main concepts of form and space are generated” [8].

Figure 3: shows the layer of design process in the design process [6].

The co-relation between multiple design ideologies can be seen in Figure 3. The structure
of the design process deals with the overall understanding of what needs to be done and who it
involves at particular stages. “The second layer is the design cognition and is concerned with
how architects (or design teams for that matter) treat the information and process it in order to
move from problem descriptions to a design proposal” [6]. The final step delves into the
“selection” of methods to counter the problems the design brief brings. An architect’s
understanding of not only social concerns, but also knowledge regarding environmental issues,
and spatial identification, play a role in determining the strategies involved in the process.

2.2.2. Understanding decision making in early design stages

Decision making might be a major study in the field of engineering but there seems to be
minimal knowledge in the field of architecture. Generally, the design process deals with the idea of
having multiple activities that formulate to create one possible solution out of many. In terms of
process, it is seen as the beginning of a building design until the building is finished; this can be seen
in the description provided by RIBA from a British context [9]. This describes the traditional
structure that is followed by architects from the beginning of a project to its completion. The
importance of this traditional structure is vital because it determines the responsibilities
involved to reach a design solution. Decisions taken during the early design stages allow more
adaptability of new ideas which leads to a higher effect on the desired outcome [10]. During the
handling of each project, it is noted that the information flow is broken, and it is not described well in
drawings and documentation which leads to lower quality of decision making internally [6].

The sequence of decisions goes from ambiguity-through the information collected- to the
idea of absolute certainty, where the final decision is made [11]. There is an argument between
designers whether design should be focused on the process or the final product [12]. Designers are
responsible for production of alternative solutions for a design proposal and might require other
stakeholders (structural engineers, etc.) to help reach that pinnacle. Mulder [13], identifies that
sustainability is not just an “add-on criterion”, but a characteristic that should be met by all designs.

Decision making in a design process is highly dependant on three ideologies: a) knowledge

access, b) idea generation and c) sketching as a way to find a possible solution [14]. It can be noted
that design knowledge can influence the quality of decisions being made regarding the possible
output [15]. Since knowledge is supporting the decision-making process of a designer, the steps
taken are dependant on the designer’s contextual understanding. The utilisation of information
throughout the design process can be two-fold; one set of information originates from the knowledge
and experience generated from the designer’s past and the other set deals with the idea of information
coming from external sources [16]. Decisions involved in the process of idea generation work hand
in hand with the development of creativity. It can be theoretically noted that the creative ideas that
flow through can have lesser quality than some ideas but, it is implied that designers will produce
some creative yet achievable idea which could possibly be the design solution. The protocol of
generating an idea “can be seen as a matter of generating, developing and communicating ideas,
where ‘idea’ is understood as a basic element of thought that can be either visual, concrete or
abstract” [17]. It’s vital to note that the creative thoughts should encompass originality as well as
relevance. The knowledge of experience becomes vital to help develop creative ideas during the
design process [18]. The relationship between idea conception and sketching go together as sketching
is a primary way to show the ideas that an architect is thinking. The importance of sketching as part
of a decision-making process is reinforced by the Van der Lugt, stating that sketching affects the idea
generation process [14]. “Sketching is useful (i.e., leads to more creative results) to those who due to
experience are proficient users of sketching
in design problem solving, in certain types of spatial manipulations of simple forms” [19]. The
usage of sketching is not only for storing possible solutions, but also helps in identifying
conflicts and future possibilities of the design [20]. With the help of sketching, the skill can
provide the much-needed support and reduce the stress on the thinking process since an architect
is able to visually explore the ideas.

A common problem that occurs during the early design stages concerning the quality of
the solution, is that the designers find it difficult to express the creative process going on in the
mind. This is due to the amount of ideas that the creative process generates, and the architect is
not able to fully visualize and provide reasoning for it in the end [8]. Each architect has their own
way of proceeding with the design process which leads to different order of steps in design.
“Some designers may follow the standard order in an organized manner, but some may not” [8].

2.3. Climate comfort and Passive design strategies

“The term “passive design” refers to a series of architectural design strategies used by
the designer to develop a building in order to respond adequately to climatic requirements,
among other contextual necessities” [21]. The usage of passive design strategies aims to harness
the environmental factors and use it so that a building does not rely highly on mechanical loads.
The goal of a “passive” oriented building is to help provide the needed integration with the
nature to increase the thermal comfort inside a building. An important consideration when
considering passive strategies is the informed use during the design stages which helps in reduce
mechanical considerations.

2.3.1. Importance of ventilation

The need of providing natural ventilation into a household is one of the primary ways to
achieve thermal comfort. Air movement is a vital part to help achieve natural ventilation entering the
building and it has to link up with the strategies of building form, orientation and openings which
will be discussed further in the chapter [22]. The usage of passive based strategies was implemented
way before the usage of HVAC’s came into play, proving the importance of passive strategies in
today’s world. “From the earliest times building designers have made use of naturally induced air
movement to address two basic needs in buildings: the removal of foul air and
moisture, and personal thermal comfort” [23]. To compensate for the extra heat that buildings are
absorbing due to climatic circumstances, the usage of air conditioning has increased enormously,
which then increases the maintenance cost. The need to reduce this cost and save on energy by
using the ventilation based passive strategies with the integration of mechanical cooling will help
promote the passive aspect of designing.

Figure 4: shows one of the ways to use ventilation to provide comfort inside.

For obvious reasons, the primary concern of buildings is the comfort (cooling) during the
summer months. To provide sufficient cooling for this season, its vital to have enough air
pressure from an external source to help distribute the air inside the space. In the context of
India, the tropical climate requires a reduction in humidity and also the usage of air when its
temperature drops down to a tolerable level [23]. Winters of some localities causes problems for
the usage of natural ventilation due to the cold draughts that might enter by merely allowing
excess air to enter. The performance of natural ventilation has a direct relationship with the
provision of cross ventilation because it deals with allowing fresh air to enter and exit across a
space for better ventilation as seen in Figure 4.

2.3.2. Importance of courtyard design in an Indian context

“The simple idea of including an open space (like a courtyard) in a building comes to mind
when we need natural lighting, heating, cooling and ventilating in a solid building” [24]. The Indian
traditional architecture has always had a strong relationship between social presence and the
provision of architectural elements. The courtyard has been deeply rooted in Indian culture but due to
many arguments being raised against it in the modern era, the usage of a “courtyard house” seems to
be decreasing. With striving for sustainability being the norm of architects and designers
alike, the need of courtyards could still be useful to act as a social space as well as help in
reducing the carbon footprint [25].

The functionality of the courtyard is highly dependent on the behavioral context of the
user and also the environmental aspect. From the behavior of the user, it can be noted that
different regions have unique ways of using a courtyard [25]. These unique ways range from a
playing scape for children to an area used for washing. The flexibility in the plan recognizes user
activity and with the determination of the space the limitations are set. Sometimes, the courtyard
acts as an informal extension of the living area which is a plausible way to distinguish traditional
courtyard uses from the modern ones. The contemporary courtyards lack the need to create a
space that reminisces the social space a person needs. “The courtyard in a hot dry climate is
usually the heart of the dwelling spatially, socially, and environmentally” [26]. It can be
observed that the courtyard increases thermal benefits and also has the potential to increase the
environmental benefits [27]. As seen in Figure 5. the positional effect of the courtyard is
extremely high and can be dependent on the climatic conditions in which it is being built in.

Figure 5: shows possible forms of the courtyard and its locations in a building [28].

2.3.3. Importance of orientation

One of the primary concerns of buildings, especially in the Indian context, is the
overheating that buildings must deal with during the summer months. Orientational design of a
space is rather important as it delves into the path of understanding the sun and wind movement.
This analysis is extremely vital in guiding the way for orienting a building. Orientational
positioning of spaces allows division of spaces according to the needs and the amount of light it
needs. “Building block orientation governs the passive technologies implementation within the
design” [29]. The adaptation of the right techniques used for orientation governs the right
operation of openings which will in turn affect the overall performance of the building and also
the contextual demand. Orientation is particularly dependent on the contextual usage of the space
as well as the privacy requirements of the space. Some spaces in a residential block require more
solar radiation comparatively which reassures the architects of placement of these spaces. “Well-
designed buildings should be oriented, and the spaces arranged in such a way, that the majority
of rooms face towards the equator” [29].

Figure 6: shows the possibility of orientation according to sun and wind.

As seen in Figure 6, the usage of climatic data of wind and sun movement can help
determine the right orientation of spaces which leads to better comfort standards for the users.
The east and west facades of the building get the highest amount of solar radiation and to prevent
this, its necessary to provide spaces that face towards the equator. Summer and winter sun angles
play a vital role in helping solve the problem of defining spaces as per orientation.
“Consideration of orientation is an important first stage in the integration of passive solar design
concepts at the building and development stages” [30]. During the design stages, the issue of
orientation is solved relatively easily, helping incorporate other difficult passive strategies to
help provide better thermal comfort [30].

2.3.4. Importance of material consideration

The basis on which the importance of material selection for sustainable buildings is built
upon, is the need to consider materials that are locally available which helps in reducing the
overall carbon footprint of a building. Few research groups, talk about the characteristics that
should be considered a criteria for building materials: a) should be locally available (extracted or
manufactured), b) the embodied energy should be as low as possible, c) have minimum effect on
the environment, d) should be procured according to climatic region, and e) should generate low
counts of waste. The impacts of material consideration on ecology can be noted as highly relevant
because of the relationship materials has to the overall sustainability of a building. “Sustainable
technologies” [31] considers the effect it has on the environment and are careful to note the
limitations in which they work. “The first way in which materials selection can contribute to
sustainability is by providing the building blocks for sustainable technologies” [31]. By using the
right selection of materials, maximum performance of the materials is achieved, but consideration
needs to go towards negating the impact it has on the systems around it. Material selection for
product design can be seen in the writings of Van Kesteren, Stappers and Kandachar [32], it is
observed that procedure of selecting materials vary in architecture when compared to product design.
The same ideology for product design cannot be replicated in architecture because the field of
architecture involves the interactions between a building and the user constantly [33].

2.3.5. Prioritization of Passive design strategies

As discussed earlier, the usage of passive design strategies such as the ones discussed above,
are needed to help provide a sustainable solution for a design problem. In helping solve the design
brief, its vital to understand the process through which the strategies should be considered to help
achieve the maximum thermal comfort. Prioritization is largely dependent on the selection process of
strategies that will deem suitable for the design. “The selection of an appropriate passive
( strategy for a building of a particular location is based heavily on the local climatic condition
of that location” [34]. For providing good thermal comfort for the users, it’s important to
consider the factors of temperature and humidity. Hence, climatic conditions are extremely vital
in recognizing the selection of passive strategies. The usage of climatic analysis in the early
design stages helps in the selection of passive design strategies. Each climatic condition requires
different types of passive strategies that help with the cause of thermal comfort.

2.4. Passive design

The concept of using passive design strategies began in Europe which not only ensures
thermal comfort but also energy efficiency in the buildings. The first European passive house was
built in Darmstadt, Germany in 1991. According to Passivhaus primer huge number of buildings
have been constructed until now that works on Passive house principles. German Passive House
Institute provides definition, “A passive house is a building, for which thermal comfort (ISO
7730) can be achieved solely by post-heating or post-cooling of fresh air mass, which is required
to fulfil sufficient indoor air quality conditions (DIN 1946) – without a need for recirculated air.”

Now a days, passive houses are available worldwide where space heating is the dominant
energy demand to maintain thermal comfort. However, there is an increasing interest in passive
houses for warmer climatic zones. A few passive house prototypes have been designed and
constructed in warm climates as shown in the Figure 7.

Figure 7: World climate zones

The use of passive strategies such as pre-heating of inlet air, proper orientation of
windows, thermal mass, night ventilation etc. has not only reduced the total energy demand in
comparison to the standard house in but also provides a comfortable indoor environment as can
be seen in Figure 8.
 Figure 8: Predicted temperatures for one winter week in the passive house.

2.4.1. Elements of Passive design

2.4.1.1. Windows

The placement of windows in designing a house can have a major impact in heat gain and
also to minimize heat loss. The performance of windows also depends upon their inherent
properties. An addition of one or more layers can improve its insulation properties while it also
diminishes the solar gain. Moreover, windows are viewed as the weakest thermal links in a
building. The window frames holding the glass linking them with the walls usually create a
thermal bridge between indoors and outdoors as seen in Figure 9. This is the junction where heat
is lost to the external environment. The use of less conductive materials for windows such as
wood and vinyl can reduce the heat loss from the thermal bridges. It can have substantial impact
on occupant thermal comfort.
 Figure 9: Thermal bridging in window frame shown by the thermal image.

At present, a variety of energy efficient windows are available in the construction market.
Some, of its benefits include reducing heat loss, eliminating draughts and cold spots. In addition,
it also makes the house better insulated against the unwanted outside noise. According to Energy
Saving Trust a double-glazing window reduces the heat disappearing through windows by 50%
in comparison to a single glazed window.

2.4.1.2. Thermal mass

Thermal mass can play a vital role in the efficient performance of the building as it has
ability to store the heat and increases the time lag for heat transfer [35]. In addition, its
performance also depends on its thickness, surface area and thermal properties of the materials
where direct solar gain is used. It is possible to store the energy of the sun and use it later [36]. In
New England colonial houses massive had central masonry chimneys that absorbed and stored
the heat which was then released at night to keep the building warm [37]. The traditional
buildings in India have thick external walls that assisted in maintaining the thermal comfort
inside the buildings. However, in comparison the walls of current buildings being constructed are
thinner than the traditional walls.

The lightweight structures in comparison to heavy structures have relatively quick drops in
temperature and vice-versa. Moreover, the heavy materials inside the insulation have proved to be
more effective [37]. In order to support this Rassam in 2004, explained with the help of figure
which showed the daily heat storage capacity for walls of different thickness and material. As
shown in Figure 10 concrete wall performs the best with thickness nearby 125mm.

Figure 10: Daily heat stored and emitted for walls of different thickness materials.

2.4.1.3. Thermal insulation

In many countries, insulation has traditionally played a vital role in building design for
climate control. Thermal insulation provides hindrance to conductive, convective and/or
radiative heat transfer (ASHRAE 2001). By limiting the heat flow between the interior and
exterior of the building it not only creates a comfortable interior environment but also reduces
the energy consumed by the building. According to Passive Design Toolkit, thermal insulation
has impact on the interior surface temperature of the envelope which in turn directly affects the
thermal comfort. The inside surface temperature must remain high enough to avoid condensation
during the winter. Apart from wall insulation, quality door and window, there is also an impact
on interior rooms depending upon roofs with or without insulation [38].

2.4.1.4. Air tightness

Although very less focus was given to the air tightness of the building in traditional
houses and even most of the modern houses in India, it can play a significant role in reducing the
performance of the building. The unwanted leakage of air may lead to increase in the space
heating requirement of the building. In UK the Passivhaus standard demands an air tightness of
less than or equal to 0.6 ACH/hr @50 Pa.
2.4.1.5. Shading devices

One of the effective ways of improving thermal comfort in buildings is to use appropriate
shading devices depending upon the climate, location and building orientation. A well-designed
shading device can reduce building heat gain and cooling requirements as well as improve the
quality of natural lighting inside the building [39]. Figure 11 shows various kinds of shading
devices while Figure 12 shows winter and summer performance of a horizontal overhang.

Figure 11: Types of shading devices.

Figure 12: Winter and summer performance of a horizontal overhang.

A study executed for evaluating solar passive cooling techniques such as solar shading,
insulation etc. showed a decrease of indoor temperature by about 2.5 to 4.5 °C when apt solar
shading is used [40]. The shading of window is very crucial in the south and west orientations
especially in summer to block the unwanted sunlight entering inside the building. The window
shading by internal devices such as blind can reduce the solar radiation gain by 20% whereas
external devices can reduce the heat gain by up to 80% [41].

Table 1 Heating and cooling loads of typical building with insulated and uninsulated roofs.

CLIMATE ZONES REQUIREMENTS

HOT AND DRY Complete year round shading
WARM AND HUMID Complete year round shading but design
should be made such that ventilation is not
effected

TEMPERATE Complete year round shading but only during

major sunshine hours

COLD AND CLOUDY No shading

COLD AND SUNNY Shading during summer months only
COMPOSITE Shading during summer months only

A various criterion for building shading has been provided for various climatic zones as shown
in Table 1 [42].

2.5. Case studies

As discussed before, India has three major climatic zones: i) Hot-Dry; ii) Warm-
Humid; and Composite. Out of these, we have selected to study two different modern
architectural designs for composite and hot-dry climate. The pros and cons of these designs will
be highlighted and further scope from the point of view of passive designing will be estimated.

2.5.1. For composite climate

A modern architecture of a residential building for a composite climate (northern-central

zone in India) is shown in Figure 13. The design has already targeted the twin aims of allowing
abundant natural light and reducing heat gain in the interiors by using advanced high-performance
glazing solutions. The building has two blocks facing the north–south direction, with a large open-to-
sky court, which allows cross ventilation and deep penetration of daylight into the building. It
is oriented such that it conserves natural areas and trees, which reduces adverse environmental
impact. Other passive design features incorporated in the building for reducing its operational
energy requirements include shaded landscaped areas to reduce the ambient temperature,
insulated walls and double- glass in fenestration to reduce heat transfer, use of recycled and
locally available materials, and a user-friendly built environment.

Figure 13: A modern architecture of a residential building for composite climate.

2.5.2. For hot and dry climate

Figure 14 shows a modern architecture of a residential building people are adopting for
hot-dry climate in India and other countries. The main focus of the design is the entrance lobby
strategically located at the cross junction of two roads, which provides visibility to the building.
The landscape courtyard is the most striking feature of the building, which keeps it cool during
summers because the courtyard walls receive mutual shade and remain cooler than the outside
walls. A reduced overall heat conductance from the envelopes and features such as terrace
gardens, high-performance glazing with optimum visual light transmittance, exterior light
shelves, overhangs on all the windows, efficient lighting, and sufficiently daylit interior spaces
make this design an exemplary energy-efficient building. Other strategies adopted to reduce heat
absorption include suitably orienting the building (north–south orientation).
 Figure 14: A modern architecture of a residential building for hot-dry climate.

2.5.3. Comparison and scope for passive design strategies

Effective design strategies for residential buildings in composite and hot-dry climate are
investigated through a comparative study of two modern architectural designs for residential
buildings. Although some design strategies reduce the lighting load, they increase the heating,
ventilation, and air-conditioning (HVAC) load of the building. Therefore, a linear building may
sometimes exhibit better energy performance than a compact building. This research aims to
determine the most-effective design strategies for reducing the HVAC and lighting energy
consumption in energy-efficient residential buildings in composite and hot-dry climate. The
effective design strategies for buildings in these two climates are as follows:

1. Building envelope: The use of insulated (low U-value) walls, an insulated roof, high-
performance dual-pane glass in fenestrations, and shaded windows can effectively reduce
the HVAC load of buildings in composite and hot-dry climate.
 2. Building plan configuration: Placing service areas with limited openings as thermal buffers
on the west side and minimizing the surface-area-to-volume ratio are some of the strategies
for controlling the heat gain and consequently reducing the cooling load. Moreover, placing
the service core along the facade allows natural ventilation and lighting.
3. Mixed-mode ventilation system: The mixed-mode ventilation system can effectively
reduce the energy consumption for cooling. The effectiveness of ventilation can be
improved using special design elements, such as atriums and landscaped courtyards,
which can increase the penetration of daylight into the plan.

4. Window-to-wall ratio (WWR): A very low WWR reduces the cooling load. However, it
also reduces the availability of natural light inside the building, which increases the
lighting and heating load. The case studies indicate that the cooling and lighting loads of
a building are reduced if the WWR is less than 40% and the maximum plan depth
(between external facades) is 15 m.

2.6. Summary

Throughout the past, the usage of passive design strategies has been presented to provide
thermal comfort for users in the Indian context. It can be understood via these strategies, the
importance of selection plays a vital role depending on the climatic configurations of the site.
The nature of design process is needed to fully understand the multifaceted decision-making
techniques needed to devise a solution for a design proposal. It should be noted that design
decision making, especially in the early design stages, prove to be a vital steppingstone on which
ideologies of sustainability can be built on, helping architects go forward with design solutions to
create a comfortable living standard for the users.

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