The Extended Phenotype of Buildings: Occupant Behavior, Adaptive Strategies, and the Future of Energy-Efficient Built Environments

Abstract

This research report delves into the intricate relationship between buildings and their occupants, moving beyond a purely engineering-focused view of energy efficiency to embrace a holistic understanding of the built environment as an extended phenotype. We argue that buildings, rather than being static entities, are dynamic systems shaped and influenced by the behaviors, adaptations, and cognitive processes of their inhabitants. This perspective necessitates a shift in research and design methodologies, incorporating insights from behavioral science, psychology, sociology, and evolutionary biology to create truly energy-efficient and sustainable built environments. The report explores the limitations of current approaches that often fail to account for the complexities of human behavior, examines the interplay between building design and occupant agency, and proposes a framework for designing adaptive buildings that learn from and respond to their occupants’ needs and preferences. We further discuss the ethical considerations of influencing occupant behavior, emphasizing the importance of transparency, user autonomy, and the pursuit of genuine well-being. Finally, we outline future research directions, including the development of advanced sensing technologies, personalized building control systems, and novel interaction paradigms that foster a symbiotic relationship between humans and their built environments, ultimately driving significant reductions in energy consumption and promoting a more sustainable future.

Many thanks to our sponsor Focus 360 Energy who helped us prepare this research report.

1. Introduction: Beyond the Thermostat – The Building as an Extended Phenotype

The prevailing paradigm in building design and energy management often treats occupants as passive entities, whose behavior is primarily dictated by the physical characteristics of the building and simplified models of human comfort. This approach, while valuable in establishing baseline performance metrics, fundamentally overlooks the dynamic and reciprocal relationship between occupants and their built environment. We propose a more nuanced perspective, viewing buildings as an ‘extended phenotype’ – an external manifestation of the genes and behavior of their inhabitants. This concept, borrowed from evolutionary biology, suggests that an organism’s genes (in this case, the collective preferences and behaviors of building occupants) can influence not only its own phenotype but also the environment around it. In the context of buildings, this means that occupants actively shape the energy performance of their buildings through their daily routines, adaptations, and interactions with building systems.

Traditional approaches to energy efficiency often focus on optimizing building materials, HVAC systems, and lighting controls, with limited consideration for the human element. This can lead to a ‘performance gap,’ where actual energy consumption significantly exceeds predicted values due to unforeseen occupant behavior. Examples include leaving windows open despite air conditioning, overriding automated lighting controls, or using personal space heaters to compensate for perceived thermal discomfort. These behaviors, often driven by individual preferences, perceived control, or lack of understanding of building systems, highlight the limitations of a purely engineering-centric approach.

To overcome this performance gap, a fundamental shift in perspective is required. We need to recognize that buildings are not simply passive containers but rather complex socio-technical systems where human behavior and technological infrastructure are inextricably intertwined. This requires integrating insights from diverse disciplines, including behavioral economics, environmental psychology, sociology, and computer science, to develop a more comprehensive understanding of the factors that influence occupant behavior and their impact on energy consumption.

Many thanks to our sponsor Focus 360 Energy who helped us prepare this research report.

2. The Psychology of Occupant Behavior: Motivations, Perceptions, and Cognitive Biases

Understanding the psychological drivers behind occupant behavior is crucial for designing effective strategies to promote energy conservation. Human behavior is not always rational or predictable; it is often influenced by a complex interplay of motivations, perceptions, and cognitive biases. Several key psychological factors play a significant role in energy-related behaviors:

• Motivation: Individuals are motivated by a variety of factors, including financial incentives, social norms, environmental concerns, and personal comfort. The relative importance of these factors can vary significantly depending on individual characteristics, cultural context, and situational circumstances. Understanding these motivational drivers is essential for tailoring interventions to specific target groups.

• Perception: Occupants’ perceptions of energy consumption and building performance can significantly influence their behavior. For example, if occupants are unaware of how much energy they are consuming, or if they perceive the energy savings from their actions to be insignificant, they are less likely to engage in energy-saving behaviors. Providing clear and timely feedback on energy consumption can help to raise awareness and promote more responsible behavior.

• Cognitive Biases: Human decision-making is often subject to cognitive biases, which can lead to irrational or suboptimal choices. For example, the ‘present bias’ refers to the tendency to prioritize immediate gratification over long-term benefits. This can lead occupants to choose immediate comfort (e.g., turning up the thermostat) over long-term energy savings. Similarly, the ‘status quo bias’ refers to the tendency to stick with familiar behaviors, even if they are not the most efficient. Overcoming these biases requires careful design of interventions that make energy-saving choices more salient and attractive.

• Sense of Control and Agency: Occupants’ perceived sense of control over their environment is a critical determinant of their behavior. When occupants feel they have little control over their thermal comfort, lighting levels, or ventilation rates, they are more likely to resort to individual coping mechanisms, such as using personal space heaters or opening windows, which can undermine overall building energy efficiency. Empowering occupants with greater control over their environment, through personalized building control systems or participatory design processes, can foster a sense of ownership and responsibility, leading to more energy-conscious behavior.

• Social Norms: Human behavior is strongly influenced by social norms, which are unwritten rules that govern behavior within a group or community. If energy conservation is perceived as a social norm, occupants are more likely to adopt energy-saving behaviors to conform to the expectations of their peers. Leveraging social influence through peer-to-peer communication campaigns or public recognition programs can be an effective way to promote energy conservation.

Many thanks to our sponsor Focus 360 Energy who helped us prepare this research report.

3. Building Design and Occupant Agency: Enabling Adaptive and Responsive Environments

The design of buildings plays a crucial role in shaping occupant behavior and influencing energy consumption. Traditional building design approaches often prioritize energy efficiency over occupant comfort and well-being, resulting in environments that are perceived as inflexible, impersonal, and unresponsive to individual needs. This can lead to occupant dissatisfaction and the adoption of counterproductive behaviors that negate the intended energy savings.

To address this challenge, we advocate for a new paradigm of building design that prioritizes occupant agency and enables adaptive and responsive environments. This approach involves designing buildings that are flexible, adaptable, and capable of learning from their occupants. Key design principles include:

• Flexible Spaces: Designing spaces that can be easily reconfigured to accommodate different activities and preferences. This can involve the use of movable partitions, adjustable furniture, and adaptable lighting and HVAC systems.

• Personalized Controls: Providing occupants with personalized control over their environment, including temperature, lighting, and ventilation. This can be achieved through advanced building automation systems, smart thermostats, and mobile apps that allow occupants to customize their settings.

• Adaptive Building Systems: Designing building systems that can learn from occupant behavior and automatically adjust their settings to optimize energy efficiency and comfort. This can involve the use of machine learning algorithms to predict occupant preferences and adapt building systems accordingly.

• Biophilic Design: Incorporating elements of nature into the built environment to promote occupant well-being and productivity. Studies have shown that exposure to natural light, views of nature, and natural materials can improve mood, reduce stress, and enhance cognitive performance.

• Feedback Mechanisms: Providing occupants with clear and timely feedback on their energy consumption and the impact of their actions. This can be achieved through real-time energy dashboards, interactive displays, and personalized reports that highlight energy-saving opportunities.

Furthermore, the concept of ‘nudge architecture’ can be employed. This involves subtly guiding occupants toward more energy-efficient behaviors through the design of the physical environment. Examples include strategically positioning staircases to encourage walking instead of taking the elevator, or designing lighting systems that gradually dim during periods of low occupancy.

Many thanks to our sponsor Focus 360 Energy who helped us prepare this research report.

4. Incentives, Gamification, and Social Influence: Motivating Energy-Conscious Behavior

Incentives, gamification, and social influence are powerful tools for motivating energy-conscious behavior. By leveraging these strategies, building managers and policymakers can create environments that encourage occupants to adopt more sustainable practices.

• Incentives: Financial incentives, such as rebates, discounts, and tax credits, can be effective in encouraging occupants to invest in energy-efficient technologies and adopt energy-saving behaviors. However, the effectiveness of incentives depends on their magnitude, framing, and timing. Incentives that are perceived as too small or that are offered too late may not be effective in motivating behavior change.

• Gamification: Gamification involves incorporating game-like elements into non-game contexts to make activities more engaging and rewarding. In the context of energy conservation, gamification can be used to track energy consumption, award points for energy-saving actions, and create leaderboards to foster competition and social comparison. Studies have shown that gamification can be effective in increasing energy awareness and promoting energy-saving behaviors.

• Social Influence: As mentioned earlier, social norms play a significant role in shaping human behavior. Leveraging social influence can be an effective way to promote energy conservation. This can involve displaying information about the energy consumption of other occupants, creating peer-to-peer communication campaigns, or organizing group competitions to reduce energy consumption.

The success of these strategies depends on careful planning and implementation. It is important to tailor incentives, gamification elements, and social influence tactics to the specific characteristics of the target audience and the context of the building. Furthermore, it is crucial to ensure that these interventions are transparent, fair, and respectful of occupant autonomy.

Many thanks to our sponsor Focus 360 Energy who helped us prepare this research report.

5. Ethical Considerations: Balancing Energy Efficiency with Occupant Well-being and Autonomy

The pursuit of energy efficiency should not come at the expense of occupant well-being and autonomy. It is essential to consider the ethical implications of influencing occupant behavior and to ensure that interventions are designed and implemented in a responsible and transparent manner.

• Informed Consent: Occupants should be fully informed about the purpose, methods, and potential consequences of interventions designed to influence their behavior. They should have the right to opt out of these interventions without penalty.

• Transparency: The rationale behind energy-saving initiatives and the data collected on occupant behavior should be transparent and accessible to all occupants. This helps to build trust and ensures that occupants are aware of how their data is being used.

• Privacy: Data collected on occupant behavior should be protected from unauthorized access and misuse. Privacy policies should be clearly defined and communicated to all occupants.

• Autonomy: Interventions should be designed to respect occupant autonomy and freedom of choice. Occupants should not be coerced or manipulated into adopting energy-saving behaviors.

• Well-being: Energy-saving initiatives should not compromise occupant comfort, health, or productivity. The goal should be to create environments that are both energy-efficient and conducive to human well-being.

Finding the right balance between energy efficiency and occupant well-being requires a nuanced and ethical approach. It is essential to engage occupants in the design and implementation of energy-saving initiatives and to solicit their feedback on the impact of these initiatives on their comfort and productivity.

Many thanks to our sponsor Focus 360 Energy who helped us prepare this research report.

6. Future Directions: Adaptive Buildings, Personalized Environments, and the Symbiotic Human-Building Relationship

The future of energy-efficient built environments lies in the development of adaptive buildings that learn from and respond to their occupants’ needs and preferences. This requires a paradigm shift from static, one-size-fits-all designs to dynamic, personalized environments that foster a symbiotic relationship between humans and their built surroundings.

Several key research directions will drive this transformation:

• Advanced Sensing Technologies: The development of advanced sensing technologies, such as wearable sensors, smart building materials, and IoT devices, will enable the collection of real-time data on occupant behavior, environmental conditions, and building performance. This data can be used to train machine learning algorithms to predict occupant preferences and optimize building systems accordingly.

• Personalized Building Control Systems: Personalized building control systems will allow occupants to customize their environment to their individual needs and preferences. These systems will use data on occupant location, activity, and physiological state to adjust temperature, lighting, ventilation, and other environmental parameters in real-time.

• Predictive Modeling and AI: The application of artificial intelligence (AI) and machine learning to predict occupant behavior and optimize building performance. This includes developing models that can anticipate occupant needs, predict energy consumption patterns, and identify opportunities for energy savings.

• Interactive Building Interfaces: The development of intuitive and engaging interfaces that allow occupants to interact with their building environment. This includes the use of augmented reality, virtual reality, and voice-activated control systems to provide occupants with real-time information and control over their environment.

• Closed-Loop Optimization: The development of closed-loop optimization systems that continuously monitor building performance, learn from occupant behavior, and adjust building systems to optimize energy efficiency and comfort. This requires integrating advanced sensing technologies, machine learning algorithms, and building automation systems into a seamless and self-regulating system.

• Behavioral Interventions and Feedback Systems: Further research into the effectiveness of different behavioral interventions and feedback systems in promoting energy conservation. This includes exploring the use of gamification, social influence, and personalized feedback to motivate occupants to adopt more sustainable practices.

By pursuing these research directions, we can create a future where buildings are not just static structures but rather intelligent and responsive partners that work in harmony with their occupants to create a more sustainable and comfortable built environment. Ultimately the goal is to move beyond ‘smart buildings’ to ‘wise buildings’ that understand, anticipate, and adapt to the complex needs of their inhabitants, promoting both environmental sustainability and human well-being.

Many thanks to our sponsor Focus 360 Energy who helped us prepare this research report.

7. Conclusion

Understanding and influencing occupant behavior is critical for achieving significant energy savings in buildings. This research report has highlighted the limitations of traditional, engineering-centric approaches and advocated for a more holistic perspective that considers the complex interplay between building design, occupant psychology, and social dynamics. By embracing the concept of the building as an extended phenotype, we can move beyond simplified models of human behavior and design adaptive, responsive environments that foster a symbiotic relationship between humans and their built surroundings. The future of energy-efficient built environments lies in the development of advanced sensing technologies, personalized building control systems, and novel interaction paradigms that empower occupants to actively participate in creating a more sustainable and comfortable world. Furthermore, a firm ethical compass is required to ensure that energy saving initiatives are transparent and do not reduce the well-being and autonomy of the occupants.

Many thanks to our sponsor Focus 360 Energy who helped us prepare this research report.

References

• Abrahamse, W., Steg, L., Vlek, C., & Rothengatter, T. (2005). A review of intervention studies aimed at household energy conservation. Journal of Environmental Psychology, 25(3), 273-291.
• Cole, R. J., & Brown, D. (2001). Patterns of space heating and cooling in office buildings. Building and Environment, 36(1), 7-15.
• De Dear, R. J., & Brager, G. S. (2002). Thermal adaptation in the built environment: a literature review. Energy and Buildings, 34(2), 191-204.
• Egan, J. (1998). Rethinking Construction: The Report of the Construction Industry Task Force. Department of the Environment, Transport and the Regions.
• Fawcett, T. (2006). An introduction to ROC analysis. Pattern Recognition Letters, 27(8), 861-874.
• Fogg, B. J. (2003). Persuasive Technology: Using Computers to Change What We Think and Do. Morgan Kaufmann.
• Gifford, R. (2007). Environmental Psychology: Principles and Practice. Allyn & Bacon.
• Loewenstein, G., & Prelec, D. (1992). Anomalies in intertemporal choice: Evidence and an interpretation. The Quarterly Journal of Economics, 107(2), 573-597.
• Lüdtke, M., & Song, B. (2013). Occupant behaviour and energy consumption in buildings: A review. Energy and Buildings, 61, 68-78.
• Midden, C. J. H., Kaiser, F. G., & Biel, A. (2007). Psychological determinants of everyday pro-environmental behavior: Values, beliefs, and norms. Environment and Behavior, 39(6), 779-801.
• Oseland, N. (2009). Office design: A review of the human factors literature. Health and Safety Executive.
• Osmani, M., Glass, J., & Price, A. (2015). What are the barriers to uptake of BIM in the UK? Construction Management and Economics, 33(4), 529-544.
• Peffer, T., Pritoni, M., Deng, W., & Newsham, G. R. (2011). The impact of occupant behavior on building energy performance: An analytical review based on archetype buildings. Energy Efficiency, 4(4), 391-416.
• Schwartz, S. H. (1992). Universals in the content and structure of values: Theoretical advances and empirical tests in 20 countries. Advances in Experimental Social Psychology, 25, 1-65.
• Thaler, R. H., & Sunstein, C. R. (2008). Nudge: Improving Decisions About Health, Wealth, and Happiness. Yale University Press.
• Wilson, E. O. (1975). Sociobiology: The New Synthesis. Belknap Press of Harvard University Press.
• Dawkins, R. (1982). The Extended Phenotype: The Gene as the Unit of Selection. Oxford University Press.