Progress in Suatinable Energy Technologies Vol II

IbrahimDincer AdnanMidilli
HaydarKucuk Editors
Progress in
Sustainable Energy
Technologies Vol II
Creating Sustainable Development
Progress in Sustainable Energy
Technologies Vol II
Ibrahim Dincer Adnan Midilli Haydar Kucuk
Editors
Progress in Sustainable
Energy Technologies Vol II
Creating Sustainable Development
Editors
Ibrahim Dincer Adnan Midilli
Department of Mechanical Engineering Department of Mechanical
University of Ontario Institute Engineering
of Technology Recep Tayyip Erdogan University
Oshawa, ON, Canada Rize, Turkey
Haydar Kucuk
Department of Mechanical Engineering
Faculty of Engineering
Recep Tayyip Erdogan University
Rize, Turkey
ISBN 978-3-319-07976-9 ISBN 978-3-319-07977-6 (eBook)

DOI 10.1007/978-3-319-07977-6
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Springer International Publishing Switzerland 2014

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Preface
A secure supply of energy resources is generally agreed to be a necessary but not

sufficient requirement for development within a society. Furthermore, sustainable
development demands a sustainable supply of energy resources. The implications
of these statements are numerous, and depend on how sustainable is defined. One
important implication of these statements is that sustainable development within a
society requires a supply of energy resources that, in the long term, is readily and
sustainably available at reasonable cost and can be utilized for all required tasks
without causing negative societal impacts.
Energy sources and their utilization are intimately related to sustainable devel-
opment. For societies to attain or try to attain sustainable development, much effort
must be devoted not only to discovering sustainable energy sources but also to
increasing the energy efficiencies of processes utilizing these resources. By increas-
ing the energy efficiencies, society maximizes the benefits it derives from utilizing
its energy resources, while minimizing the negative impacts associated with their
use. This implication acknowledges that all energy resources are to some degree
finite, so that greater efficiency in utilization allows such resources to contribute
to development over a long period of time, i.e., to make development more
sustainable.
Since sustainable energy technologies appear to be a primary path for sustain-
able development, it is a critical area where the conference series on Sustainable
Energy Technologies was initiated and focused. The conference, since 2002, has
been running successfully under the title of International Conference on Sustain-
able Energy technologies (SET). The conference has a multidisciplinary nature
and aims to provide a forum for researchers, scientists, engineers, and practitioners
from all over the world to exchange information, to present high-quality research
results and new developments in the wide domain covered by sustainable energy
technologies, and discuss the future direction and priorities in the field.
This unique volume contains, in addition to some invited contributions, selected
papers from the 11th International Conference on Sustainable Energy technologies
(SET-2012), September 25, 2012, Vancouver, Canada. The primary theme of the
v
vi Preface
book is sustainable development depending on sustainable energy technologies.

It covers a broad range of topics on sustainable energy, sustainable environment,
sustainable buildings, sustainable development, energy and exergy analysis,
entropy generation, energy strategy, energy savings, waste management, hydrogen
production, fuel cells, heat pumps, heat and mass transfer applications, low energy
buildings, etc.
In conclusion, the editors of this volume gratefully acknowledge the assistance
provided by Dr. Ugur Akbulut in reviewing and revising several chapters, checking
for consistency and finalizing them for publication. The editors also register their
sincere appreciation to the authors for their contributions which have made this
unique book possible. Furthermore, Dr. Dincer acknowledges the support provided
by the Turkish Academy of Sciences in Ankara, Turkey.
Oshawa, ON, Canada Ibrahim Dincer

Rize, Turkey Adnan Midilli
Rize, Turkey Haydar Kucuk
Contents
1 Energy and Exergy Analyses of an Active Magnetic

Refrigerator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Hadi Ganjehsarabi, Ibrahim Dincer, and Ali Gungor
2 Evaluation of Sustainable Energy Options for Non-residential
Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Behnaz Rezaie, Ibrahim Dincer, and Ebrahim Esmailzadeh
3 Exergoeconomic and Enviroeconomic Analyses of Hybrid
Electric Vehicle Thermal Management Systems . . . . . . . . . . . . . . . 35
H.S. Hamut, I. Dincer, and G.F. Naterer
4 CFD Analysis of a Shell and Tube Heat Exchanger
Linking a Supercritical Water-Cooled Nuclear Reactor
and a Copper-Chlorine Hydrogen Production Cycle . . . . . . . . . . . 55
Ali H. Abedin, Murat Aydin, and Marc A. Rosen
5 Entropy Generation of Hydrogen Flow in a Curved
Annular Duct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
Haydar Kucuk, Ugur Akbulut, and Adnan Midilli
6 Influence of Turbine Inlet Temperature on the Efficiency
of Externally Fired Gas Turbines . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Paulo Eduardo Batista de Mello, Sergio Scuotto,
Fernando dos Santos Ortega, and Gustavo Henrique
Bolognesi Donato
7 Exergy and Exergo-Economic Based Analysis of a Gas
Turbine Power Generation System . . . . . . . . . . . . . . . . . . . . . . . . . 97
Ali Mousafarash and Pouria Ahmadi
vii
viii Contents
8 Non Repeating Thermal Bridges and the Impact on Overall

Heating Energy Consumption in a Typical UK Home . . . . . . . . . . 109
Hasim Altan and Young Ki Kim
9 An Evaluation of Indoor Environment in Deprived
Community Housing in Yorkshire and the Humber
Region of England, UK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
Hasim Altan and Mohamed Refaee
10 The Application of Phase Change Materials to Improve
the Climate Resilience of a Low-Energy Prototype House . . . . . . . 135
Lucelia Rodrigues, David Tetlow, Mark Gillott,
and Vasileios Sougkakis
11 Green Jubail Industrial City . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 151
Mohammed I.Y. Aleid
12 Design of a Nearly Zero Energy One-Family House
in North-Centre Italy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 165
Enzo Zanchini and Stefano Lazzari
13 Integrative Approach for Desert Sustainable Ecohouse Design . . . . 187
Khaled A. Al-Sallal and Iman K. Al-Sallal
14 Ventilation and Architectural Design Strategies
for Cooling Office Buildings in Different Climates of Chile . . . . . . 203
Waldo Bustamante Gomez, Felipe Encinas Pino,
Sergio Vera Araya, and Francisco Sanchez de la Flor
15 Investigations for the Thermal Influence of Glass Patterns
on the Building Envelope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
Shiang-Jiun Lin, Yong-Cheng Chen, and Po-Tao Sun
16 Choosing the Right Technology: Optimized Design
of Renewable Supply Systems for Residential Houses . . . . . . . . . . . 227
Christian Milan, Mads Pagh Nielsen, and Carsten Bojesen
17 State of the Art Review: Fuel Cell Technologies
in the Domestic Built Environment . . . . . . . . . . . . . . . . . . . . . . . . . 247
Theo Elmer and Saffa B. Riffat
18 Green Lab: A Strategic Design Framework to Develop
Sustainable Research Laboratories . . . . . . . . . . . . . . . . . . . . . . . . . 273
Rosalba Belibani, Elena Gigliarelli, and Jody Patterson
19 Integrated System Concept for Energy Efficient Smart
Buildings and Cities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
Hasan Ufuk Gokce and Kamil Umut Gokce
Contents ix
20 Interoperable ICT Platform for Energy Efficient

Smart Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 299
21 Software Interoperability for Energy Efficient Building
Operations Based on the IFC Data Model Standard . . . . . . . . . . . . 309
22 Virtual Energy Platform for Low Energy Building Operations . . . 319
23 The Studies of Environmental Ionizing Radiation
Curriculum Indicators for Taiwans Elementary
and Junior High School . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333
Chien-kuo Ku and Cheng Da Wu
24 An Energy Strategy in a Liberalized Environment
in Slovakia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
Milena Svitekova, Henrieta Pavolova, and Barbara Hlavnova
25 Towards an Integrated Value Optimizing Ecosystem
in Natural Gas Liquids Operations and Related Facilities . . . . . . . 369
Farayi Musharavati
26 Mass Transfer and Bubble Flow Dynamics in Aqueous
Solutions for Hydrogen Production Cycles . . . . . . . . . . . . . . . . . . . 387
O.A. Jianu, M.A. Rosen, G.F. Naterer, and Z. Wang
27 Numerical Analysis of the Thermo-mechanical Behavior
of Energy Piles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405
Heng Zhao, Ping Cui, Lin Lu, and Zhaohong Fang
28 An Equivalent-Capacitance Approach for Determining
the Performance of a Refrigerant Coil . . . . . . . . . . . . . . . . . . . . . . 421
Chun Kwong Lee and Hong Nam Lam
29 Perspectives on Sustainability in Natural-Gas-Liquids
Operations Through a Cleaner Production Framework . . . . . . . . . 431
Reem Fahd and Farayi Musharavati
30 Energy Savings Through Applications of Lean
Manufacturing Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 453
Roba Salim, Buthaina Ali, and Farayi Musharavati
31 Empirical Formulation of Shear Modulus Functions
for Tubular Pinewood Specimens Under Torsion . . . . . . . . . . . . . . 473
Ezgi Gunay, Cevdet Aygun, and Emre Uludogan
x Contents
32 Robust Control Techniques of ASVC-Based Var Flow

Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 489
Mansour Benyamina and Benyounes Mazari
33 Thermogravimetric Studies on Co-combustion
Characteristics of Mengxi Coal and Poplar . . . . . . . . . . . . . . . . . . 503
Kaiqi Shi, Tao Wu, Jiefeng Yan, Haitao Zhao,
Philip Hall, and Edward Lester
34 High-Performance Recycling System for Waste
Plastics Using Raman Identification . . . . . . . . . . . . . . . . . . . . . . . . 519
Hirofumi Kawazumi, Akihiro Tsuchida, Tomoya Yoshida,
and Yasuo Tsuchida
35 Clean Combustion of Low Quality Fuel in Fluidized
Bed Combustor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 531
Rami S. El-Emam, Farouk M. Okasha, and Salah H. El-Emam
36 Theoretical and Experimental Study of a Novel Film
Evaporation Cooling System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 547
Hooman Golchoobian, Mohamad Hasan Taheri,
Majid Amidpour, and Omid Pourali
37 Environmental Friendly Food Smoking Technologies . . . . . . . . . . . 557
Aydin Killic, Haydar Kucuk, and Adnan Midilli
38 Impact of Shape, Occupation and External Parameters
in the Overall Thermal Performance of Office Buildings
in Santiago, Chile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 577
Claudio Vasquez, Alejandro Prieto, and Carlos Aguirre
39 Multisource Heat Pump System: The Case Study
of a New School Building . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 591
Marco Noro, Renato Lazzarin, and Filippo Busato
40 Application of Heat Pipe System in Data Center Cooling . . . . . . . . 609
Xiaodong Qian, Zhen Li, and Hao Tian
41 Energy and Exergy Analysis of a Trigeneration Facility
with Natural Gas Engine . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 621
Emin Acikkalp, Ozgur Balli, Hasan Yamik, and Haydar Aras
42 Numerical Study of Solidification in Triplex Tube
Heat Exchanger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 637
Abduljalil A. Al-Abidi, Sohif Mat, K. Sopian,
M.Y. Sulaiman, and Abdulrahman Th. Mohammad
Contents xi
43 Computer Simulation of Heat and Mass Transfer

in a Cross Flow Parallel-Plate Liquid Desiccant-Air
Dehumidifier . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 649
Abdulrahman Th. Mohammad, Sohif Bin Mat, M.Y. Sulaiman,
Kamaruzzaman Sopian, and Abduljalil A. Al-abidi
44 Experimental Study of the Heat Transfer Performance
of PCMs Within Metal Finned Containers . . . . . . . . . . . . . . . . . . . 669
Yongcai Li, Shuli Liu, and Yaqin Zhang
45 Simulation of Double Effect Absorption Refrigeration System . . . . 685
Ibrahim Atilgan and Cevdet Aygun
About the Authors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 705
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 707
Chapter 1
Energy and Exergy Analyses of an Active
Magnetic Refrigerator
Hadi Ganjehsarabi, Ibrahim Dincer, and Ali Gungor
Abstract In this paper, a thermodynamic model for predicting the performance of

active magnetic refrigerator (AMR) is developed using energy and exergy analyses.
Through this model, the cooling power, total power consumption, as well as the
coefficient of performance (COP), exergy efficiency and exergy destruction rates of
an AMR are determined. The effects of increasing mass flow rate on the COP,
exergy efficiency and exergy destruction rates of the system are investigated. The
results are presented to show that when mass flow rate increases, the COP and
exergy efficiency curves reach their maximum values and then slightly decreases
with increasing mass flow rate. The rate of exergy destruction increases with
increasing mass flow rate due to the pump power requirements. The numerical
results show that in order to reach optimal performance, mass flow rate must be
adjusted carefully regarding to different operating conditions.
Keywords Active magnetic refrigerator Energy Exergy efficiency Porous

medium
1.1 Introduction
As energy-related environmental concerns, such as acid precipitation, pollution,

stratospheric ozone depletion, and global climate change became major issue in
1980s, interest in magnetic refrigeration, as a new solid state cooling technology
competitive with conventional vapor compression refrigeration system, has been
increasing. This will also address the increasing energy demand [1]. Barclay and
Steyert [2] suggested the concept of an Active Magnetic Regenerator (AMR) which
presents the highly improved performance characteristics of system by utilizing the
H. Ganjehsarabi A. Gungor
Faculty of Engineering, Department of Mechanical Engineering, Ege University,
TR-35100 Bornova, Izmir, Turkey
I. Dincer (*)
Faculty of Engineering and Applied Science, University of Ontario Institute of Technology,
2000 Simcoe Street North, Oshawa, ON, Canada L1H 7K4
e-mail: [email protected]
Springer International Publishing Switzerland 2014 1

I. Dincer et al. (eds.), Progress in Sustainable Energy Technologies Vol II:
Creating Sustainable Development, DOI 10.1007/978-3-319-07977-6_1
2 H. Ganjehsarabi et al.
refrigerant itself as an active regenerator in the refrigeration cycle. Brown [3]

developed a reciprocating magnetic refrigerator near room temperature based on
the Ericsson cycle. Aprea et al. [4] developed a dimensionless numerical model in
order to predict the general behavior of the AMR system. Apera et al. [5] carried out
a practical model for predicting the performance of a cascade AMR system.
Tagliafico et al. [6] performed a 1-D dynamic model of an active reciprocating
magnetic regenerator and a parametric analysis of its behavior. Yu et al. [7]
reviewed research on magnetic refrigerator and heat pump prototypes constructed
before 2010. Moreover, worthwhile operational data of the prototype AMR have
been reported [811].
In this paper, a comprehensively model of a magnetic refrigeration system is
created using a MATLAB software. The studied literature survey shows the lack of
available studies on exergy analysis of magnetic refrigeration systems. In order to
achieve this objective, the following specific analyses are conducted:
To model and simulate an active magnetic regenerator refrigeration.
To perform energy and exergy analyses of the system.
To conduct a parametric study by changing important design parameter and
investigating its effect on the system performance.
1.2 Actve Magnetc Regeneratve Refrgerator
The schematic of AMRR system is shown in Fig. 1.1, which comprises four main
processes. In the magnetization stage, the magnetic field in the bed is applied to the
magnetic material with no fluid flow which caused each particle of bed to warm
up. In the isofield cooling process, the fluid is blown from the cold end to the hot
end while maintaining the magnetic field, absorbs heat from the bed and rejects heat
to the surrounding in the hot heat exchanger. Next in the adiabatic demagnetization
process, the regenerator bed is cooled by the demagnetization effect. Finally, in the
isofield heating stage, the fluid moved through the bed from the hot end to the cold
end and it is cooled by the bed, emerging at a temperature lower then cold end and
removes heat from the cold end [12].
1.3 Analysis
1.3.1 Heat Transfer Modeling
1.3.1.1 Modeling of Magnetization and Demagnetization Processes
A homogeneous ferromagnetic material model has been used in order to character-

ize the thermal and magnetic behaviours. The entropy balance equation for the
1 Energy and Exergy Analyses of an Active Magnetic Refrigerator 3
CHEX HHEX
Magnet
AMR
TC Trej
Qc QH
Tblow TH
Magnet
Fig. 1.1 Schematic of an AMRR system (HHEX: hot heat exchanger, AMR: active magnetic
regenerator, CHEX: cold heat exchanger) [13]
magnetocaloric solid refrigerant and the entrained fluid in the porous matrix is
given as follow:

cs M
ds ms dTs s ms dH mf dsf 1:1
Ts Ts H
In order to study the transient behaviour, the mass of the entrapped fluid
compared with the mass of the magnetic material is ignored. Therefore, the bed
temperature distribution can be calculated by integrating the following differential
equation:

Ts Ts M dH
s 1:2
t cs Ts H dt
1.3.2 Governing equations
The mechanism of heat and mass transfer in a AMR bed is complicated; hence,
some assumptions must be made in order to establish the governing equations. The
several assumptions made in this study are (1) the effect of viscous dissipation on
the energy balance of the fluid flow throughout the bed is neglected; (2) the heat
transfer fluid is incompressible (f constant); (3) the temperature and velocity
profile of heat transfer fluid are uniform during the period of flow blowing; (4) the
axial heat conduction in the regenerator is neglected; (5) heat loss to the environ-
ment in the regenerator is negligible; (6) the properties of magnetic material (except
for the specific heat) are constant in the regenerator.
Based on the above assumptions, the energy-balance expression of the heat
transfer fluid (f) and the magnetic material (s) can be written as
Tf Tf
f cf Ac f cf uAc hasf Ac Ts Tf 1:3
t x
Ts
1 s cs Ac hAc asf Tf Ts 1:4
t
here the subscripts f and s refer to fluid and solid, respectively. Here, is porosity,
Ac is the cross-sectional area of the regenerator, c is the specific heat and asf is the
specific surface area. The heat transfer coefficient is calculated by using a correla-
tion given by Rohsenow et al. [14]:
1=
Nuf 2 1:1Rep 0:6 Prf 3
1:5
here Rep is the particle Reynolds number for a packed sphere regenerator calculated
using particle diameter in a packed sphere and the free flow velocity and Pr is the
Prandtl number of the heat transfer fluid.
1.3.3 Solution Procedure
The set of equations governing the four processes in the regenerator are highly
nonlinear and coupled. In order to solve the governing equations, the equations are
discretized in time and the space. An iterative resolution of the Eqs. (1.21.4)
provides the regime solution utilizing a tentative profile temperature of the bed.
Before the time step was increased, an inner iteration was performed until the
following convergence criterion was satisfied:

Max jTs 0; x TsI t1 t2 t3 t4 , xj106 1:6
1.3.4 Thermodynamic Analyses
In this study, it is aimed to conduct a comprehensive exergy analysis and an

exergetic performance assessment of an active magnetic refrigerator. In order to
accomplish this, the governing equations and numerical procedures used by
MATLAB must be outlined in order to obtain sufficient data for the thermodynamic
assessment. Finally, these procedures are utilized to gain insights on the effective-
ness of the AMR refrigeration system through energy and exergy analyses.
1.3.4.1 Energy Analysis
The cooling capacity, heat rejection and the rate of magnetic work performed on the
regenerator during cyclic steady-state operation are the basic outputs of this model.
The cooling power and heat rejection to the surroundings are numerically computed
through the integrals as follows:
t1 t2 t3 t4

QC _ tcf TC Tf II t; 0dt
m 1:7
t1 t2 t3
t1 t2

QH _ tcf Tf t; L TH dt
m 1:8
t1
The pressure drop in the heat transfer fluid flow can be calculated by using the
Ergun correlation [15]:

P 1 2 f 1 f
180 u 1:8 u 1:9
x dp dp
The power required for moving the heat transfer fluid through the regenerator is
written as
_ tPC PH
m
Wp t2 t4 1:10
p f
The coefficient of performance (COP) of the system can be found as
Q_ C
COP 1:11
_ PW
W _M
1.3.4.2 Exergy Analysis
For overall system, the total exergy destruction rate of the system can be written as
follows [16]:
_ des Ex
Ex _ in Ex
_ out W
_ MW
_ P Ex
_ q 1:12
_ q is the exergetic cooling power as

here Ex

_ q Q_ c TH 1
Ex 1:13
Tc
The exergy efficiency of the system can be calculated as
_ q
Ex
ex 1:14
_ PW
W _M
1.4 Results and Discussion
In this present study, a thermodynamic analysis of an active magnetic refrigerator is

conducted by using energy and exergy analyses. In this regard, COP and exergy
efficiency of the system are examined for performance assessment. The parametric
studies considering variation of significant parameters for designing regenerator
with cooling power, heat rejection, COP, exergy efficiency and exergy destruction
rate are presented accordingly. The parameters reported in Table 1.1 are used to
carry out the simulation.
The effect on cooling power and exergetic cooling power output of varying mass
flow rate is shown in Fig. 1.2. It is evident that an increase in mass flow rate leads to
an increase in cooling power. However, a further increase in the mass flow rate
(>0.2 kg/s) leads to a reduction in the cooling power. It is due to the increase in mass
flow rate which overwhelms the magnetocaloric effect exhibited by the regenerator
bed and, thereafter, the cooling power is decreased. Similarly, the exergetic cooling
power initially increases at lower mass flow rates until it attains its maximum value
and eventually decreases with an increase of fluid mass flow rate.
Variations in heat rejection to the surrounding with respect to mass flow rate is
plotted in Fig. 1.3. It can be observed that as mass flow rate increases the heat
rejection increases up to 495.2 W at 0.25 kg/s and then slightly decreases.
Figure 1.4 shows the effect of mass flow rate on pump work. It is shown that, an
increase in mass flow rate results in increase in pump work.
Figure 1.5 shows the effect of varying mass flow rate on COP. The result shows in
Fig. 1.5. demonstrate that a higher mass flow rate results in a higher pumping work
which leads to a reduction of COP. It is mainly due to the higher viscous losses.
Figure 1.6 presents the effect of the mass flow rate on the overall system
performance. As it is shown, an increase in mass flow rate leads to a decrease in
system exergy efficiency. This is due to the fact that the higher mass flow rate, the
higher pumping work which leads to a reduction of exergy efficiency. On the other
side, an increase in mass flow rate while fixing other design parameters, lead to an
increase in the exergy destruction rate as a result of required pumping power.
Table 1.1 Model parameters Characteristics Values Dimensions

dp 600 m
L 0.2 m
25 %
D 0.01 m
mbd 115 g
m_f 0.025 kg s1
Hlow 0 T
Hhigh 1.5 T
t 1 t3 0.2 s
t 2 t4 0.5 s
TH 295 K
TC 275 K
Fig. 1.2 Effect of mass flow rate on cooling power and exergetic cooling power
Fig. 1.3 Effect of mass flow rate on heat rejection
Fig. 1.4 Effect of mass flow rate on the work of pump

Fig. 1.5 Effect of mass flow rate on COP of the system
Fig. 1.6 Effect of mass flow rate on system exergy efficiency and total exergy destruction rate of
the system
In order to yield optimal performance, the numerical results demonstrate that

the mass flow rate must be carefully adjusted with respect to various operating
conditions.
1.5 Conclusions
In this paper we have sought to determine how design parameter such as mass flow
rate affect the COP, exergy efficiency and exergy destruction rate of the AMR
cycle. An increase in mass flow rate increases the exergy efficiency until pick and
then decrease slightly. An increase in mass flow rate increases the exergy
destruction rate as a result of pumping power requirements. In order to yield

optimal performance, the numerical results show that the mass flow rate must be
adjusted carefully with respect to various operating conditions.
Nomenclature
Ac Cross-sectional area m2
asf Specific surface area m2/m3
c Specific heat J kg K1
COP Coefficient of performance
D Diameter of the regenerator section m
dP Diameter of the particles m
_
Ex Exergy flow rate (W)
h Convection coefficient (W m2 K1)
H Magnetic field A m1
Hmax Maximum magnetic field A m1
k Thermal conductivity W m1 K1
L Length of the regenerator m
m Mass kg
m_ Mass flow rate kg s1
M Magnetic intensity A m1
Nu Nusselt number
Pr Prandtl number
Q_ Heat transfer rate, W
Re Reynolds number dimensionless
s Specific entropy (J kg1 K1)
t Time coordinate s
t1 Magnetization time step (s)
t2 Isofield cooling time step (s)
t3 Demagnetization time step (s)
t4 Isofield heating time step (s)
T Temperature K
u Local velocity m/s
V Volume L
X Axial position m
W _ Work kJ s1
P Pressure drop Pa
Greek Letters
Porosity of the regenerator bed
0 Permeability of free space (m kg s2 A2)
Density kg m3
Efficiency ()
Subscripts
ad Adiabatic
C Cooling
D Demagnetization
des Destruction
ex Exergy
f Fluid
H Rejection
M Magnetic
P Pump
s Solid
References
1. Ganjehsarabi H, Dincer I, Gungor A (2013) Thermodynamic analysis and performance

assessment of a cascade active magnetic regenerative refrigeration system. Int J Air Cond
Ref 21(3):1350016.11350016.10
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3. Brown GV (1976) Magnetic heat pumping near temperature. J Appl Phys 47:36733680
4. Aprea C, Greco A, Maiorino A (2013) A dimensionless numerical analysis for the optimization
of an active magnetic regenerative refrigerant cycle. Int J Energy Res 37:14751487
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cascade system. Int J Energy Res 35:177188
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magnetic regenerator; influence of the main working parameters. Int J Refrig 33(2):286293
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prototypes built before 2010. Int J Refrig 33(6):10291060
8. Arnold DS, Tura A, Ruebsaat-Trott A, Rowe A (2014) Design improvements of a permanent
magnet active magnetic refrigerator. Int J Refrig 37:99105
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AT, Pryds N, Olsen UL (2013) Performance analysis of a rotary active magnetic refrigerator.
Appl Energy 111:669680
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performance of a permanent-magnet rotary refrigerator. Int J Refrig 29:13021306
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design of active magnetic regenerative refrigerators. Adv Cryogenic Eng 41:16531663
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6980
Chapter 2
Evaluation of Sustainable Energy Options
for Non-residential Buildings
Behnaz Rezaie, Ibrahim Dincer, and Ebrahim Esmailzadeh
Abstract The building sector, as the major energy consumers, demands most of
the energy research to assess different energy suppliers from various aspects. In this
study, two non-residential buildings, one being commercial and the other industrial,
are chosen as case studies. For these case studies, two different renewable energy
technologies and one hybrid system are considered for a specified size. The
environmental impact indices, renewable energy indices, and the renewable exergy
indices have been evaluated for every energy options. The results obtained indicate
that the hybrid system (without considering the economics factors) is superior since
having top indices. The importance of the energy consumption patterns in buildings
were proven by the indices. Utilization of the non-fossil fuels is one part of the
solution to environmental hazards while energy conservation being the other. It is
shown that the re-design of the energy resources would be achievable for buildings.
Keywords Sustainability Exergy Renewable energy Energy Industrial

building Environmental impact
2.1 Introduction
Population growth, as well as, modern life style increases the energy demand.
Energy supply and environmental impact are major issues of increasing energy
consumption. Therefore, other sources of energy, which are sustainable, are favor-
able energy resources in our era and due to this reason renewable energy is
receiving much attention. Meanwhile, smart use of energy improves the overall
situation. Knowing the energy consumption of each sector is beneficial to tackle the
sector with highest energy consumption. Global energy consumption in 2010 is
depicted in Fig. 2.1, which shows that building sector allocated the highest energy
consumption. Therefore, an insight to the energy consumption in building sector is
B. Rezaie I. Dincer (*) E. Esmailzadeh

e-mail: [email protected]; [email protected]; [email protected]

12 B. Rezaie et al.
Fig. 2.1 Global energy

consumption in 2010 (Data Others
from IEA) 9%
Industry
28%
Buildings
36%
Transportation
27%
beneficial to unravel the energy issue. Many researches were performed on the
subject of energy consumption in buildings [13].
A trigeneration system with the goal of improving energy utilization efficiency
of buildings was suggested by Huang et al. [4]. Sustainable operations as well as
efficient design were reported as important strategies for buildings [5]. Three
factors to have the environmental friendly buildings, namely, energy efficiency,
energy conservation, and renewable energy were stated by Zaki et al. [6].
Energy efficient buildings also make use of conventional energy sources and rely
mostly on fossil fuels. Over and above the major savings in the energy usage, and
also cutting down on the greenhouse gases GHG, one can say that much attention
has recently been paid on the measurement of energy consumption of buildings.
In this regard, Balta et al. [3] have stated that the energy consumption of a building
is a function of many variables, such as, the building type, construction materials,
occupancy behavior, climatologic conditions, heating and cooling equipment,
domestic hot water, and the lighting. As for buildings, Vivancos et al. [7] presented
the research results for the thermal characterization of brick, and Drochytka [8]
illustrated the role of design for the building envelope to enhance the energy
efficiency. Also, Wan et al. [9] showed the trends of energy consumption for future
buildings under different climates. Balta et al. [10] stated that exergy analysis is
essential for energy system improvement and should be used as a potential tool
for sustainable buildings design. The flows of energy in the building systems are
more tangible if exergy analysis is considered [11, 12]. Thus, exergy analysis shows
possibility of more efficient design by dropping inefficiencies in the system
[13]. Environmental advantages and economics of energy can be detected easier
by an exergy analysis [10]. Furthermore, energy and exergy ratios are defined
and utilized in building sectors for recognizing the buildings energy option
benefits [1418].
The present study is based on a previous research, which sizing various energy
options for different buildings [19]. The focus is placed on the non-residential
buildings while the thermodynamic analysis could be extended to the exergy
investigation. Moreover, the energy considerations and the exergy aspects with
various energy options for several case studies will be analyzed beyond the
2 Evaluation of Sustainable Energy Options for Non-residential Buildings 13
efficiency analysis. The study covers the environmental aspects of different possi-
bilities of energy. Parallel with the present study, another study is performed with
emphasis on residential buildings [20]. Two non-residential buildings are selected,
one a commercial building and the other an industrial building. For every case study
the energy, exergy and the environmental impacts of these renewable energy
options have been assessed. Some indices are proposed in this work as a useful
tool for comparing several energy options from different aspects, including the
energy, exergy, and the environmental impact in a peek period.
2.2 Methodology
Different methods of sizing various energy options, namely, environmental impact,

energy, and exergy aspects will be defined in this section. Furthermore, these
methods will be applied to the previously mentioned case studies.
2.2.1 Sizing Methods
The sizing methods were discussed in detail in the previous study performed by
Rezaie et al. [19]. Here, the proposed methodologies for sizing the solar electricity
and solar thermal system are used respectively.
2.2.2 Environmental Impact Assessment Method
One of the major reasons to use the non-fossil fuel energy supplier is to protect the
environment against the undesirable greenhouse gases (GHGs). To show the per-
formance of each technology, initially, the emitted CO2 by the conventional fuel for
each case study has been estimated. Then the environmental impact index is
calculated for each design. The environmental impact index is expressed as
IE 100 RCO2 =ECO2 2:1
where IE represents the environmental impact index, RCO2 stands for the reduced
CO2 by the design, and ECO2 is the emitted CO2 by the conventional design,
respectively. Note that IE is a dimensionless factor.
It is worth mentioning that the method of estimation of CO2 for electricity
generation should be explained prior to the calculation of the environmental impact
index. Electricity is generated in different plants through using different fuels. In
Canada, these resources are namely, the hydro, thermal, nuclear, combustion
engine, and very limited renewable energies. The resulting pollution due to the
14 B. Rezaie et al.
electricity generation varies depending on the fuel resources. In a report titled

Power Generation in Canada, published by the Canadian Electricity Association,
the electricity generation configuration in the Province of Ontario was [21]:
37 TWh from hydro,
45 TWh from thermal (mainly coal-based power plants),
63 TWh from nuclear and
6.7 TWh from combustion engine sources.
When visiting the website Plug into Green Canada [22] it offers a calculator,
which considers the combination of the above-mentioned sources and presents the
total generated amount of CO2. Alternatively, this calculator can be utilized to
estimate the amount of CO2 from the electricity generation.
To obtain the amount of CO2 from the burning of natural gas, one has to refer to
the report published by the Natural Gas Association [23]. It clearly states that to
obtain 1 GJ of energy by burning natural gas, one would generate the unwanted
amount of 50.3 kg of CO2.
2.2.3 Energy Method
The energy demand for each case is important enough to be measured by having the
index of the estimated renewable energy. The index of renewable energy is defines as:
IRE 100 RE=TE 2:2
where, IRE represents the renewable energy index, RE refers to the renewable
energy, and TE stands for the total energy demand. One should note that IRE is a
dimensionless parameter.
2.2.4 Exergy Method
Exergy is defined as a tool to appraise and develop energy systems, by giving more
meaningful and valuable information than the more conventional energy analysis
[24]. Exergy analysis particularly recognizes the actual thermodynamic losses and
efficiencies. Hence, exergy analysis can help in reducing the thermodynamic losses
in thermal systems. Exergy with the definition of the available energy can be
computed for the two case studies. The exergy for commercial case study and
industrial case study consists of the exergy from the natural gas and the exergy form
the electricity, respectively. Hence, the exergy for electricity determines as [25]:
Ex E R 2:3
where Ex stands for the exergy, E is for the energy, and R stands for the energy
grade function. It can be said that R has different values for various kinds of energy,
e.g., for the electricity R 1.0, and for the natural gas R 0.913.
The exergy of the solar energy is calculated by:

T0
Ex 1 E
Ts
where T0 20 C (environment temperature) and Ts 5,000 C.

Then, the renewable exergy index can be calculated and the index of the
renewable exergy can be defines as
IREx 100 REx=TEx 2:4
where IREx represents the renewable exergy index, REx is the renewable exergy,
and TEx stands for the total exergy demand. Also, note that IREx is a dimensionless
factor.
2.3 Energy Options Considered
Different energy options for non-residential buildings are tested in this study. Here,
the commercial and industrial buildings are categorized as non-residential build-
ings. In the following, one institutional building and one industrial building have
been considered as case studies to assess their energy options.
Ground source energy system, as a source of renewable energy with high
performance (the average coefficient of performance (COP) of a ground source
energy system is 4), is an interesting source of renewable energy. Geothermal
system cost effectively provides energy for heating and cooling of a building.
This system can be a reasonable source of energy for heating and cooling of a
commercial building due to case studies circumstances.
2.3.1 Commercial Building
The commercial case study here is the central public library in Brampton
(in Ontario), having latitude 43.536, and longitude 79.556. In the commercial
buildings, there is a demand for electricity to run several computers, lights and
appliances, and also furnaces to activate the heating systems as well as providing
hot water, and running the air-conditioning system to generate cool air in the
summer. Typically, natural gas is used for heating space and providing hot water
16 B. Rezaie et al.
Fig. 2.2 Electricity usage

distribution in commercial others
building case study Computers 3%
(Brampton Library) 15%
Heating /Cooling
Lightenings
57%
25%
Fig. 2.3 Natural gas Consumption (m3) in Brampton Library, commercial building case study
in commercial buildings. This library is a two-storey building with the residential

area being approximately 1,352 m2, in both stories. There are many lights in the
library, and computers for the use of public and staff. In this case, lightening and
computers consume a considerable portion of energy. Figure 2.2 shows the distri-
bution of energy consumption in the commercial case study and illustrates the
electricity consumption percentage in the central library. The annual natural gas
consumption in this library is 72,748 m3, and the average monthly consumption is
6,062.3 m3. Figure 2.3 illustrates the distribution of the natural gas consumption in
the central library. Electricity consumption in this library is 765,765.00 kWh
(765.8 MWh) per year, and the daily consumption is 2,098.00 kWh for this
commercial building.
2.3.1.1 Option 1
Solar water heaters can be employed for this building to heat the space as well as
provide hot water. The main demand is for heating the space rather than heating the
water, since it is a commercial building. Moreover, there is a large space at the back
of the building and wide roof available for installing the solar collectors panels.
Fig. 2.4 Layout of energy resources for commercial case study when using solar thermal energy
Fig. 2.5 Layout of energy resources for commercial case study when using solar electricity
Figure 2.4 shows the layout of the energy resources for commercial case study.
Solar thermal is the renewable source of energy together with two conventional
sources of energya) grid electricity and b) natural gas. Using the solar thermal
energy will reduce the natural gas consumption considerably.
Energy is calculated by using the calculator available in the WSE technology
[26]; the engine of this calculation is based on deducting the heat loss of the
building by considering the isolation rate as well as the desired temperature, from
the heat resulting from the solar collectors. According to this calculator, for the
desired temperature of 22 C throughout the heating space of 1,352 m2, there is a
need of 58 solar collectors WSE58, which should be installed.
The energy generated by 58 solar collectors WSE58 is 58 2,741,310 156 MJ/h.
By considering 7 h of sun per day as the average for all days in the year, the energy
produced by these solar panels is: 156 7 1,092 MJ/day
Assuming that there are 300 days of sun per year in Ontario, Canada; the energy
produced by the solar collectors is 327600 MJ per year. This energy can be released
from the use of 8,798.4 m3 natural gas (201,600 MJ /37,233,949 J 8798.4). In
other words, the gas consumption is reduced by 8,798.4 m3 every year. In the
25 years life-span of the solar panels, this saving would become as 219,960.5 m3
natural gas.
2.3.1.2 Option 2
The PV panels are the best technology for the commercial case study in order to
generate electricity because this building is located in an urban area, downtown
Brampton.
Figure 2.5 illustrates the layout of resources of energy for the commercial case
study. Solar electricity through PV panels will generate electricity, which reduces
the grid electricity consumption. Grid electricity in smaller amounts and natural gas
18 B. Rezaie et al.
Fig. 2.6 Placing

10 modules in one mount
are both conventional sources of energy for the commercial case study in this
design.
The average daily electricity consumption in the commercial case study is
2,098 kWh, and the average insulation coefficient 3.53 kWh/m2/d in Toronto
area, the electricity consumption by the sun hours per day would be 2,098/
3.53 594 kW 594,000 W (AC).
Hence, 594,000/(CEC 194) 3061 W, and 3,061/(CEC 0.94) 3257,
hence, 3257 is the number of PV panels; PV panels are 210 W each. Before
going further for the arrangement of the array, the availability of the installation
space should be assessed.
The area of each panel is 0.9 1.7 1.53 m3. Roof of the building is the
installation area and the available area on the roof is 13 22 286 m3. For the
ease of maintenance, every 10 panels in the form of 2 5 places on one mount.
Figure 2.5 shows the configuration of 10 modules in one mount.
Then the area of each mount, which contains 10 PV modules, would be
5 3.4 17 m2. From each side 0.2 m will be added for maintenance purposes,
and then the area of each mount comes to 5.4 3.8 20.52 m2. Figure 2.6 illus-
trates a mount dimension and surrounded area.
On the roof with the dimensions of 13 m by 22 m, 10 mounts can be installed,
and each mount contain 10 PV panels. Then 10 10 100 PV modules 215 W will
generate electricity for the library. The layout for the roof design is depicted in
Fig. 2.7.
2.3.1.3 Option 3
The hybrid system can be considered by the solar technologies through combin-
ing the PV panels for generating electricity and the solar water heaters for heating
the space. In hybrid system electricity and natural gas consumption will be reduced
and the reduction will be calculated in the following paragraphs. This hybrid system
Fig. 2.7 Dimensions on a mount. Blue area is considered for maintenance needs
Fig. 2.8 Layout of energy resources for commercial building case study, when using hybrid
system
would be directly dependent on the solar energy. In hybrid system, still grid
electricity and natural gas are in the system as a backup system for the time there
is not quite enough sun in the sky. Figure 2.8 depicts the layout of energy sources in
the commercial building case study.
Hybrid system consists of the solar water heaters (Solar Thermal) and PV panels
(Solar Electricity). Solar water heaters and PV modules were computed in earlier
sections. Based on the previous assessment, the hybrid system is including 58 panels
of WSE58 as solar thermal energy for converting the solar energy to 156 MJ/h, plus
100 panels of PV modules 215 W to generate 68.3 kW per day. The configuration of
PV modules and the angles of panels are described in the previous section.
2.3.2 Industrial Building
Industrial building case study is a plastic injection company in Mississauga, having

latitude 43.640 and longitude 79.622. This building can be categorized as an
industrial building and one of the specifications of industrial buildings is having
high energy consumption. Industrial buildings are high in using electricity over
running the machines and production equipment. These machines produce some
heat as well. There is not a great demand for having hot water running; however
there is great need for heating the building and working space.
20 B. Rezaie et al.
120000
100000
Electricity (kWh)
80000
60000
40000
20000
0
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Fig. 2.9 Electricity consumption (kWh) in injection plastic company, Industrial building case
study (from the actual monthly bills)
Fig. 2.10 Electricity usage

distribution for industrial
building case study
(Industrial building case
study information) Heating/Cooling
24%
Lightenings Machines
8% 64%
others
4%
The area of this industrial unit is 1,900 m2 (30 63.3); there are 100 employees,
some working on shop-floor and some are in office space, they are working 5 days
per week and each day for 16 h. 24 computers are running all the time, and average
load of each computer is 200 W. Lighting load is 10 W/m2, for 100 h/W. For the
12 months electricity usage was 1320 MWh, and then the monthly average elec-
tricity consumption comes down to 110 MWh. Figure 2.9 shows the electricity
usage in this company in each month of year. Since the major electricity users are
machines and the company runs with the same schedule, the electricity consump-
tion would almost be the same in each month.
As the industrial company case study is an industrial building, the energy
consumption pattern is totally different from the prior cases. In this case machines
including computers have the highest portion of electricity consumption.
Figure 2.10 illustrates energy distribution in the industrial building case study.
Also, the natural gas consumption in the last 12 months was 43,000 m3. The
information for monthly usage of natural gas is not available.
Fig. 2.11 Layout of energy resources for industrial building case study, when using solar thermal
energy
2.3.2.1 Option 1
Solar water heater can be used for this industrial building to heat the space as well
as providing hot water. There is a big space on the back of the building and also big
roof available for installing the solar collectors panels. Figure 2.11 shows the
layout of the energy resources for industrial building case study. Solar thermal is the
renewable source of energy beside two conventional sources of energy, i.e., the grid
electricity and the natural gas. Solar thermal caused reduction of the natural gas
consumption.
By using the calculator available in the WSE technology website; for heating the
spaces of this company with the area of 1,900 m2 and for the desired temperature of
22 C, one would know that 75 solar collectors WSE58 are needed.
The Energy generated by 75 solar collectors WSE58 is
75 2,741,310 205.6 MJ/h. By considering 7 h of sun per day as average for
all days in the year, the energy produced by these solar panels would be:
205.6 7 1,439.2 MJ/day.
The assumption is that there are 300 days of sun per year in Ontario, Canada.
Then, the energy produced by the solar collectors is 431,760 MJ per year. This
energy can be released from 11,606 m3 natural gas (431,760 MJ /
37,233,949 J 11606.4), in other word the gas consumption is reduced by
11,606 m3 every year. In 25 years life-span of the solar panels this saving is
290,161 m3 natural gas.
2.3.2.2 Option 2
For the PV the average electricity consumption in industrial building case study is
110,000 kWh, generating this much electricity with the average insulation coeffi-
cient of 3.53 kWh/m2/d for Toronto area resulted in having thousands of PV
modules, which is not a reasonable decision. Because, that many PV panels demand
huge area to stand, this area is not suitable for the injection company. Moreover, the
maintenance of so many PV panels is very costly. Maintenance of the PV modules
includes adjusting the angle of incident towards sun four times per year, plus
cleaning the snow of the panels during the long Canadian winter, though PV
modules will be chosen based on the available space on the roof of the building.
22 B. Rezaie et al.
Fig. 2.12 Layout of energy resources for industrial building case study, when using solar
electricity energy
Fig. 2.13 Configuration of PV modules on the roof of injection plastic company, industrial
building case study
Figure 2.12 illustrates the layout of resources of energy for the industrial
building case study. Solar electricity through PV panels generates electricity,
which reduces the grid electricity consumption. Grid electricity in a smaller amount
and natural gas are the conventional sources of energy for the industrial building
case study in this design.
The area on the roof of this injection company is 30 m 63.3 m. The actual
available area for PV panels is 30 50 1,500 m2. In this scenario, the sizing of the
PV panels is based on the vacant space on the roof.
Every 10 PV panels are placed together on a mount with a dimension of
5 m 3.8 m; considering 0.2 m from each side for maintenance, the actual space
for each mount is 5.4 m 3.8 m. Figure 2.13 depicts a sketch of a mount containing
10 PV panels. The best arrangement of the mounts on the roof is 5 13, which
results into a total of 65 mounts, with each mount containing 10 panels. The total
650 PV panels would then generate electricity for the injection company. The
electricity generating from 650 modules 215 W is roughly 215 650 90 %
3.53 443,985.8 W/day 444 kW/day. Figure 2.13 depicts the configuration of
650 modules on the roof of the injection plastic company.
Fig. 2.14 Layout of energy resources for industrial building case study when using hybrid system
The photovoltaic panels should have the right angle towards sun for getting the
maximum amount of solar energy. The angle for each season is then:
Fall/Spring: Angle Latitude 43.6
Summer: Angle Latitude 15 43.6 15 28.6
Winter: Angle Latitude + 15 43.6 + 15 58.6
As the seasons change, it is strongly recommended that the angle of PV modules
be changed in order to obtain maximum energy from the sun.
2.3.2.3 Option 3
The second hybrid system is defined by the solar technologies through combining
PV panels for generating the electricity and solar water heaters for heating the
space. In the hybrid system, electricity and natural gas consumption is reduced. The
reduction is calculated in the following paragraphs. This hybrid system is directly
dependent on the solar energy. In hybrid system, the grid electricity and natural gas
are still in the system as a backup for the time that there would not be enough
sunshine. Figure 2.14 depicts the layout of energy sources in the industrial building
case study. The hybrid system consists of the solar water heaters (solar thermal) and
PV panels (solar electricity). Solar water heaters and PV modules are discussed in
previous sections. Based on the previous assessments, hybrid system includes
72 panels of WSE58 as the solar thermal energy source to convert the solar energy
to 205.6 MJ/h, plus 650 panels of PV modules of 215 W to generate 444 kW per
day. The configuration of the PV modules and the angles of the panels are described
in earlier section.
2.4 Analysis
The energy options are sized technologically in the previous section. Different
aspects of each option have been assessed in this section. When considering the
importance of environment, one major aspect of the analysis is the environmental
impact of energy as the main purpose of the options. Different design proposals will
be measured individually for each option within every case study. Also, energy
24 B. Rezaie et al.
analysis for each technology options will be performed to show the share of the
renewable energy in the proposed design. Following that exergy, as the quality of
energy for each energy technology will be examined. It can be another tool to
measure capability of different design proposals. The overall analysis of energy
options provides insight for the designers and researchers.
2.4.1 Environmental Impact
It has been explained in the introduction that environment issues are very serious
matters for human being. The main aspect of any design should be the consideration
of the environmental effects of the new design/product/system on the society. To
quantify the environment impact, two case studies as explained in Sect. 2.3, with
varieties of technology options are chosen. As mentioned, one case study is a
commercial building and the other one is an industrial building. The impacts of
the environmental issues on every single energy technology, proposed in the
previous section, for both case studies are examined in the following paragraphs.
2.4.1.1 Commercial Case Study
When the residential building of commercial case study is running with the
conventional energy, say the natural gas and electricity, the volume of the emitted
CO2 is the sum of the emitted CO2 to generate 765,765 kWh of electricity and the
burning of 72,748 m3 of natural gas. By using the available calculator given in
reference [12], one could find that 2,688.7 tons of CO2 has been emitted to the
environment when 765,765 kWh of electricity has been generated. According to the
report published in reference [27], the energy contained in every cubic meter of
natural gas is 36,116.7 kJ. Therefore, the total energy resulted from the natural gas
for the commercial case study is:

72, 748 m3 =year 36, 116:7 kJ 2, 627, 417, 691:6 kJ=year
2, 627:4 GJ=year:
It has been mentioned before that the energy of 1 GJ from burning of the natural
gas is equivalent to the generating of 50.3 kg of CO2, hence:
2, 627:4 GJ=year 50:3 kg of CO2 132, 159:1 kg of CO2 per year

132:2 ton=year:
Therefore, the total amount of CO2 emitted to the environment, when for the
commercial case study the conventional fuel was used, is:
2, 688:7 ton of CO2 =year 132:2 ton of CO2 =year

2, 820:9 ton of CO2 per year:
Option 1
As mentioned before, by releasing energy of 1,054,350 kJ from natural gas, the

mass of 58 kg CO2 emits into the atmosphere. Therefore, by releasing 327,600 MJ
of natural gas, 16.5 Ton of CO2 is emitted into the atmosphere. In other words,
58 panels prevent emitting 16.5 tons of CO2 into the air each year; this is 412.5 tons
of CO2 in the 25 years of the panels life. Figure 2.14 shows the environmental
impact index.
Option 2
Following the previous section the PV panels will generate 2,083 kWh per month in
accordance with the calculator available in the Plug into Green Canada website.
In order to generate 2,083 kWh electricity per month, the mass of 7,312 kg CO2 per
year will be emitted into the atmosphere in Ontario. Figure 2.14 depicts the
environmental impact index for Option 2 energy.
Option 3
With a similar logic, the emission reduction for hybrid system is equal to the
emission reduction by 58 panels of WSE58 which was calculated along with the
emission reduction by 100 PV modules. Then, the quantity of emission reduction by
hybrid system is defined as
16:5 7:3 23:8 tons of CO2 =year
The environmental impact index has been demonstrated in Fig. 2.15.
2.4.1.2 Industrial Case Study
For every day of running of the house, for industrial case study with the conven-
tional energy system being the natural gas and electricity, the volume of the emitted
CO2 can be estimated as the total emitted CO2 for generating 1,320 MWh of
electricity plus the burning of 43,000 m3 of the natural gas. In order to generate
1.320 MWh of electricity it would produce 4,634,664.8 kg of CO2 annually
according to the reports published [26].
26 B. Rezaie et al.
0.9
0.8 0.8
Environmental Impac Index
0.7
0.6
0.6
0.5
0.4
0.3
0.2 0.3
0.1
0.0
Option #1 Option #2 Option #3
Fig. 2.15 Environmental impact index for commercial building case study
Therefore, the consumed natural gas would contain [27]:

43, 000 m3 =year 36, 116:7 kJ 1, 553, 018, 100 kJ=year
1, 553 GJ per year
1, 553 GJ=year 50:3 kg of CO2 78, 116:8 kg of CO2 per year
And the total amount of CO2 emitted for the Industrial case study with the
conventional fuel is:
4, 634, 664:8 kg of CO2 =year 78, 116:8 kg of CO2 =year

4, 712, 781:6 kg of CO2 per year 4, 712:8 ton=year
Option 1
As mentioned earlier, by releasing 1,054,350 kJ of energy from natural gas, the

mass of 53 kg CO2 emits into the atmosphere. Then, by receiving 431,760 MJ of
energy from the natural gas, the mass of 21.7 tons of CO2 emits into the atmosphere.
Figure 2.15 depicts the environmental impact index for Option 1 energy.
Option 2
The energy generated by 650 modules is 13.5 MW/month. This means that the
injection company uses the amount of 13.5 MW less electricity in each month.
These PV modules save the environment from 47,391 kg of CO2 per year, in
accordance with the calculator in the website of Plug into Green Canada.
1.6
1.4 1.5
Environmental Impact Index
1.2
1.0
1.0
0.8
0.6
0.4 0.5
0.2
0.0
Fig. 2.16 Environmental impact index for energy options of industrial building case study
Option 3
Emission reduction for the hybrid system is equal to the emission reduction by
72 panels of WSE58, plus emission reduction by 650 PV modules. Hence, the
quantity of emission reduction by the hybrid system is:
21:7 47:4 69:1 Ton CO2 =year
2.4.2 Energy Aspect
2.4.2.1 Commercial Case Study: Energy Demand
The annual energy requirement of commercial case study is the sum of the natural
gas and the electricity consumptions. The energy value of the natural gas used by
the commercial case study (72,748 m3) was calculated for 2,627.4 GJ per year.
Also, the energy value of 765,765 kWh per year can be estimated as:
765, 765 kWh=year 3:6 MJ=kWh 2, 756, 754 MJ=year

2, 756:8 GJ per year
Then the total energy demand for commercial case study is calculated as
2, 627:4 GJ=year 2, 756:8 GJ=year 5, 384:2 GJ per year

28 B. Rezaie et al.
9.0
8.0
7.0 7.8
Energy Index
6.0
6.1
5.0
4.0
3.0
2.0
1.0 1.7
0.0
Fig. 2.17 Energy impact index for commercial building case study
The energy value of each technology is already defined in the design of Sect. 2.5.
The summary of the energy index are in illustrated in Fig. 2.17. The energy of each
design is presented in Table 2.1.
2.4.2.2 Industrial Case Study: Energy demand
The energy demand for the industrial case study is the total sum of the natural gas
and the electricity consumptions. The energy value of the natural gas, used by
industrial case study (43,000 m3), was determined in Sect. 2.4 as 1,553 GJ per year.
The energy value of 1,320 MWh per year can be computed from:
1, 320 103 kWh=year 3:6 MJ=kWh 4, 752 X 103 MJ per year

4, 752 GJ per year
Therefore, the total energy demand for Industrial case study would be:
1, 553 GJ=year 4, 752 GJ=year 6, 305 GJ per year
Initially, the different technology options were examined and then the energy
value of every technology has been adapted. Hence, the renewable energy index of
every design option is calculated accordingly. The results of the energy for the
industrial case study are summarized in Fig. 2.18. The energy of each design is
listed in Table 2.1.
Table 2.1 Summary of energy, exergy and CO2 reduction of each energy options for both cases
Commercial building case study Industrial building case study
Renewable Energy Energy CO2 Reduction Renewable Energy Energy CO2 Reduction
technology (MJ) (MJ) (tons) technology (MJ) (MJ) (tons)
Option 1 Solar Thermal 58 WSE58 327.6 307.9 16.5 75 WSE58 431.8 405.9 21.7
Option 2 Solar Elec. 100 215 W 90 84.6 7.3 650 215 W 583.2 548.2 47.4
Option 3 Hybrid 58 WSE58 417.6 392.5 23.8 75 WSE58 1015 954.1 69.1
+ 100 215 W + 650 215 W
2 Evaluation of Sustainable Energy Options for Non-residential Buildings
29
30 B. Rezaie et al.
18.0
16.0
16.1
14.0
Energy Index
12.0
10.0
8.0 9.2
6.0 6.8
4.0
2.0
0.0
Fig. 2.18 Energy impact index for energy options of industrial building case study
2.4.3 Exergy Aspect

2.4.3.1 Commercial Case Study
The exergy for the commercial case study can be estimated by using Eq. (2.3).
Hence, the exergy for electricity can be determined as:
Exergy of electricity 2, 756:8 GJ 1 2, 756:8 GJ per year
and the exergy of the natural gas can be calculated as:
Exergy of natural gas 2, 627 GJ 0:913 2, 398:5 GJ per year
Then the total exergy for the commercial case study would be:
2, 756:8 GJ 2, 398:5 GJ 5, 155:3 GJ per year
The renewable exergy index for various technology options considered for the
commercial case study can be calculated by using Eq. (2.4). The calculated results
are presented in Fig. 2.19 and Table 2.1.
2.4.3.2 Industrial Case Study
The exergy for the industrial case study can be estimated using Eq. (2.3). Hence, the
exergy for the electricity can be evaluated as:
Exergy of electricity 6, 305 GJ 1 6, 305 GJ per year

8.0
7.0 7.6
6.0
6.0
Exergy Index
5.0
4.0
3.0
2.0
1.0 1.6
0.0
Fig. 2.19 Exergy impact index for commercial building case study
14.0
12.0
12.4
10.0
Exergy Index
8.0
6.0 7.1
4.0 5.3
2.0
0.0
Fig. 2.20 Exergy impact index for energy options of industrial building case study
and the exergy of the natural gas can be calculated as:
Exergy of natural gas 1, 553 GJ 0:913 1, 417:9 GJ per year
Then the total exergy for the industrial case study would be the sum of them as:
6, 305 GJ 1, 417:9 GJ 7, 722:9 GJ per year
Equation (2.4) is the renewable exergy index for different technology options,
which has been used to compute for the industrial case study. The computed results
of exergy calculations for the industrial case study have been summarized in
Fig. 2.20 and Table 2.1.
32 B. Rezaie et al.
In comparing different renewable energy design options for the commercial and
industrial buildings, the environmental impact, energy, and the exergy, as well as,
the environmental impact indices, renewable energy and the exergy indices have
been computed. Results of those calculations are presented in Figs. 2.14, through
2.19 for the case studies. Comparisons of various options in this study are based on
the environmental impact, energy and the exergy approaches. For the final choice
decision, these various options must be considered depending on the management
priority cost factor.
In analyzing the commercial case study, the hybrid system has the highest
environmental index as illustrated in Fig. 2.14. Since the hybrid systems are formed
as the combination of two renewable technologies, the ranking of the hybrid
systems as the top priority is a sensible choice. Following the hybrid system,
solar heater and PV panels are ranked second and third choices by considering
the environmental index, energy and exergy indices. This prioritization is for this
particular case study (Brampton library). Depending on the project and its specific
situations the design of different energy sources will vary; apparently prioritizations
would vary too.
For assessing the industrial case study, the hybrid system has the highest
environmental index as depicted in Fig. 2.15. For this case study the PV panels
stand as the second choice and the solar heater is the last choice, based on the
environmental, energy and exergy indices. As explained earlier, this prioritization
is only for this specific building with its own stand-alone situation.
The study of proportions shows the importance of energy resources available in
buildings. Using the non-fossil fuels is one part of the solution to the environmental
issues and the energy conservation is another part of the resolution. Re-design of
energy resources model is effective and achievable for buildings. Whenever equipment
is available to use the non-fossil fuel in a building, then the change of energy resources
would greatly beneficial in reducing the environmental impact of the building.
2.6 Conclusions
Two non-residential buildings were chosen to consider different energy options.

Each building was treated as an independent case study, and various renewable
energy and hybrids systems were designed and sized for every one of them. The
environmental impact and the energy and exergy aspects of each design were fully
assessed through the analysis of the environmental impact index, the renewable
energy index and the exergy index. The following important results are obtained
from the computer simulation runs and by evaluating the results for both cases:
The highest environmental impact index belongs to the hybrid system, being 0.8
for the commercial case study and 1.5 for the industrial case study, respectively.
Therefore, it indicates that the hybrid system is a far better option.
The renewable energy indices demonstrate that the hybrid system has a superior
technology by achieving the highest energy index of 7.8 for the commercial case
study and 16.1 for the industrial case study.
The upmost renewable exergy index fits well into the hybrid system, being 7.6
for the commercial case study and 12.4 for the industrial case study. This
reiterates that the hybrid system is an outstanding design choice.
Hybrid systems are ranked as top choices with higher indices since they are
made with the combination of two technologies and hence, exhibit the advan-
tages of both technologies.
The results presented here are only based on the environmental, energy and the
exergy aspects without considering any economic factors. For having a thorough
prioritization, it is recommended that one should also consider carefully the initial
capital costs, annual maintenance fees, and other financial aspects of every design
in order to arrive at an optimum decision. However, if the financial factors taken
into consideration then one could say that hybrid systems would be the most
expensive technologies since they are made of the combination of two renewable
technologies.
Nomenclature
CEC California Energy Commission

COP Coefficient of Performance
E Energy
IE Environmental Impact Indices
RCO2 Reduced CO2
ECO2 Emitted CO2
Ex Exergy
R Energy grade function
RE Renewable Energy
IRE Renewable Energy Index
REx Renewable Exergy
IREx Renewable Exergy Index
TE Total Energy
TEx Total Exergy demand.
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18. Oktay Z, Dincer I (2008) Energetic, exergetic and environmental assessments of the edremit
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Chapter 3
Exergoeconomic and Enviroeconomic
Analyses of Hybrid Electric Vehicle Thermal
Management Systems
H.S. Hamut, I. Dincer, and G.F. Naterer
Abstract Thermal management systems (TMSs) are one of the key components of
hybrid electric vehicles in terms of their impact on vehicle efficiency, as well as the
vehicles overall cost and environmental footprint. In this paper, exergoeconomic
and enviroeconomic (environmental cost) analyses of hybrid electric vehicle ther-
mal management systems are conducted with respect to various system parameters
as well as operating conditions. In the exergy analysis, balance equations are
applied to each system component of the TMS, in order to determine exergy
destruction rates and calculate the exergy efficiencies of the system and its indi-
vidual components. In the economic analysis, investment cost rates are calculated
with respect to equipment costs, which are determined by cost correlations for each
system component, and capital recovery factors. Thus, by combining the two
analyses, an exergoeconomic model is created whereby the exergy streams are
identified, fuel and productsare defined and cost equations are allocated for each
component. The costs from the economic analysis are used to determine the unit
cost of exergy, cost rate of exergy destruction as well as other useful
exergoeconomic variables for each component. Moreover, an enviroeconomical
(environment cost) analysis is also conducted based on the established carbon price
associated with the released CO2 to the environment, corresponding to the indirect
emissions from the electricity used in the TMS under varying carbon prices and
electricity generation mixes.
Keywords Exergy Exergoeconomics Enviroeconomics Hybrid electric vehi-

cle Thermal management
H.S. Hamut I. Dincer (*)

Faculty of Engineering and Applied Science, University of Ontario Institute of Technology
(UOIT), 2000 Simcoe St. North, Oshawa, ON, Canada L1H 7K4
e-mail: [email protected]; [email protected]
G.F. Naterer
Faculty of Engineering and Applied Science, Memorial University of Newfoundland, 240
Prince Phillip Drive, St. Johns, NL, Canada A1B 3X5

36 H.S. Hamut et al.
3.1 Introduction
Thermodynamic analyses of hybrid electric vehicles are essential to improve

energy systems in terms of their efficiencies and performance under various system
parameters and operating conditions. Among these methods, exergy analysis is an
valuable tool to better understand the intrinsic efficiencies of the thermal manage-
ment system components by determining the irreversibilities in each cycle, as well
as the overall system and how nearly the respective performances approach ideal
conditions. By analyzing both the quality (usefulness) and quantity of the energy,
the true magnitude of losses, and their causes and locations are identified by
investigating the sites of exergy destruction in order to make improvements on
the individual components and overall system [1, 2].
Even though exergy analysis can be used to improve the efficiencies of the
components and corresponding systems, the feasibility of applying these improve-
ments is generally constrained by the limitation of financial resources. Moreover, in
many cases, the approaches taken by purely scientific means may not always be cost
effective. Thus, in order to achieve the optimum design for energy systems,
techniques combining scientific disciplines (mainly thermodynamics) with eco-
nomic disciplines (mainly cost accounting) should be utilized. In this paper, a
SPECO method, especially by the CGAM problem [3], will be used to conduct
exergoeconomic analysis of a hybrid electric vehicle TMS.
Exergoeconomics is a branch of Applied Thermodynamics that deals with
second law based process synthesis that can provide information that is useful to
the design and operation of a cost-effective system which cannot be obtained by
conventional energy, exergy or economic analyses [4, 5]. During the past several
decades, exergoeconomic analysis have been carried out for various applications by
many researchers [1, 612].
Even though exergoeconomics have been widely used in past literature, there are
still very limited studies available for air conditioning applications. Wall [13]
presented an application of thermoeconomics to the optimization of a heat-pump.
The author chose the efficiencies of the compressor, condenser, evaporator and
electric motor as the variable to be optimized, created cost relations in terms of their
efficiencies and conducted parametric studies based on the price of electricity and
the temperature of the heat input. DAccadia and Rossi [14] applied
thermoeconomic optimization to a conventional refrigeration plant in order to
minimize the overall operation and amortization costs. The authors used a theory
of exergetic unit costs to evaluate the economic cost of all internal flows and
products. They presented a case study where the overall operation and amortization
costs were reduced 1.8 % with respect to the base case and concluded that a design
configuration not far from the real global optimum can be obtained my means of
sequential, local optimization of the system. This would have acceptable accuracy
when compared to conventional and more complex optimization methods.
Al-Otaibi et al. [15] studied thermoeconomic optimization of vapor compression
refrigeration systems and verified their model with an illustrative example for an
3 Exergoeconomic and Enviroeconomic Analyses of Hybrid Electric Vehicle. . . 37
actual system using R134a as a refrigerant. The authors concluded that increasing
the refrigerant flow rate requires more compressor work input and therefore
increases the corresponding overall cost. Sanaye and Malekmohammadi [16]
presented a thermal and economic optimum design of an air conditioning unit
with a vapour compression refrigeration system that includes a compressor, con-
denser, and evaporator along with centrifugal and axial fans. The authors chose heat
exchanger temperatures, their heating surface areas as well as fan and compressor
powers among the design variables and studied the performance of the system
under various situations, then implemented an optimization procedure. The authors
selected the objective function for optimization as the total cost per unit cooling
load of the system including capital investment for components as well as the
required electricity cost. Sayyaadi and Nejatolahi [17] analyzed a cooling tower
assisted vapor compression refrigeration machine based on two objective functions
including the total exergy destruction of the system (as a thermodynamic criterion)
and the total product cost of the system (as an economic criterion), simultaneously.
The authors obtained three optimized systems (namely single objective thermody-
namic, single objective economic, and multi-objective systems) based on the
objective functions and compared the correspondingresults. Although
exergoeconomic analysis was used in various air conditioning applications, to our
knowledge, there have been no models developed in past literature to analyze
hybrid electric vehicle thermal management systems with respect to
exergoeconomics.
Moreover, an enviroeconomic (environmental cost) analysis will also be
conducted in order to evaluate the systems impact on the environment in terms
of the amount of carbon dioxide released through the electricity consumptionand its
associated cost based on theinternational carbon price (or CO2 emission price). By
assigning a cost to the greenhouse gas emissions, the corresponding economic
impact of the generated CO2 emissions could be tracked and later used as a part
of the exergoeconomic evaluation, which in term can provide incentives to lower
the emissions by altering the design and/or cost structure of the thermal manage-
ment system.
3.2 Energy and Exergy Analyses
A thermal management system of an electric vehicle with liquid battery cooling

will be analyzed in this study. The system is composed of a refrigerant loop to
provide air conditioning for the cabin and a battery coolant loop to keep the electric
battery operating in its ideal temperature range. A description of the system and its
associated components can be found in [18].
The TMS system is initially studied with respect to exergy analysis. Exergy (also
called available energy or availability) of a system is the maximum shaft work that
can be done by the composite of the system and a specified reference environment
[19]. It is based on both the first and second laws of thermodynamics. Thus, the
thermal management system is examined with respect to exergy analysis in order to

better understand the true efficiencies of the components by finding the irrevers-
ibilities in each component, as well as the overall system and how nearly the
respective performance approaches ideal conditions.
In the first step of the exergy analysis, the mass, energy, entropy and exergy
balances are used in order to determine the heat input, rate of entropy generation
and exergy destruction rates as well as the energy and exergy efficiencies. In
general, a balance equation for a quantity in a system may be written as follows;
Input Generation Output Consumption Accumulation 3:1
where input and output terms refer to quantities entering and exiting through the
system, respectively, whereas generation and consumption terms refer to quantities
produced or consumed within the system. The accumulation term refers to a
potential accumulation of the quantity within the system [20].
In steady-state conditions, however, all properties are uniform with time and
therefore, all the accumulation terms become zero. Thus, under the steady-state
assumption, the balance equations for mass, energy, entropy and exergy can be
written as follows;
i m_ i e m_ e 3:2a
i m_ i hi Q_ W
_ e m_ e he 3:2b
i m_ i si S_ gen e m_ e se 3:2c
_ QW
i m_ i exi Ex _ e m_ e exe Ex
_ D 3:2d
where

_ Q 1 T 0 Q_
Ex 3:2e
T
In the first two equations above, m_ and E_ are associated with the mass flow rate
and energy transfer rate. They show that the respective total rates in/out across the
boundary are conserved (neglecting reactions). In the third equation, S_ is the entropy
flow or generation rate. The amount transferred out across the boundary must
exceed the rate in which entropy enters, while the difference is the rate of entropy
generation within the boundary due to associated irreversibilities. Similarly, in
Eq. (3.2d), Ex _ is the exergy flow rate and it shows that exergy transferred across
the boundary must be less than the rate inwhich exergy enters. The difference is the
rate of exergy destruction (or lost work) within the boundary due to associated
_ Q is the exergy transfer by heat at a given
irreversibilities [20]. In addition Ex
temperature (T ). In addition, the specific flow exergy associated with the coolant
medium, for a system at rest, relative to the environment where kinetic and potential
terms can be ignored, is shown below.
Table 3.1 Exergy efficiencies and exergy destruction rates associated with each system
component
Component Exergy efficiency Exergy destruction rate

Compressor _ 2, act Ex
Ex _ 1 =W _ comp _ D, comp T 0 m_ r s2 s1
Ex

Condenser _ _ = Ex
Ex _ 2 Ex
_ 3 _ D, cond T 0 m_ c s14 s13 m_ r s2 s3
Ex
QH

Evaporator _ _ = Ex
Ex _ 4 Ex_ 0 _ D, evap T 0 m_ e s9 m_ r1 s4 s1
Ex
QL 1

Chiller _ _ = Ex
Ex _ 5 Ex_ 00 _ D, ch T 0 m_ cool Cwg lnT 6 =T 7 m_ r2 s5 s1
Ex
Q ch 1
Evaporator _ 4 =Ex
_ 0 _ D, evap, TXV T 0 m_ r1 s4 s3
Ex Ex
TXV 3
Chiller TXV _ 5 =Ex

Ex _ 0 _ D, ch, TXV T 0 m_ r2 s5 s3
Ex
3

Pump _ 8, act Ex
Ex _ 7 =W _ pump _ D, pump T 0 m_ cool Cwg lnT 6 =T 0
Ex

Battery _ _ = Ex
Ex _ 6 Ex
_ 8 _ D, bat T 0 m_ cool Cwg lnT 6 =T 8
Ex
Q bat
excoolant h h0 T 0 s s0 3:3
The exergy rate is determined as
_ mex
Ex _ 3:4
Based on the above balance equations,the energetic coefficient of performance

(COP) for the entire cooling system becomes
Q_ evap Q_ ch
COPen, system 3:5
_ comp W
W _ pump
Actual cooling systems are less efficient than the ideal energy models due to
irreversibilities in the actual systems. Thus, the aim of the exergy analysis is to
determine the system irreversibilities by calculating the exergy destruction rates in
each component and to calculate the associated exergy efficiencies. This method-
ology helps to focus on the parts where the greatest impact can be achieved on the
system since the components with larger exergy destruction rates also have more
potential for improvement [18]. The exergy efficiency and exergy destruction rate
calculations for each component can be observed in Table 3.1.
Based on the work input to the system (in terms of the compressor and pump)
and the associated cooling load (with regards to the evaporator and the chiller)
under the defined boundary conditions, the exergy efficiency of the TMS is also
determined as
ExQ_ ExQ_
system evap ch
3:6
_ comp W
W _ pump
3.3 Exergoeconomic Analysis
3.3.1 Exergoeconomic Model
Design of various thermal management systems is normally performed by conven-

tional methods based on scientific analyses, experimental data and practical expe-
rience. Most of these systems are often operating outside of their optimum
parameters which results in inefficient use of resources, increasing production
costs and adverse environmental impact. The objective of exergoeconomic analysis
is to determine the inefficiencies in the system and calculate the associated costs.
In this section,an exergy costing method (SPECO method) is used for the analysis
[21, 22].
_
In order to conduct an exergoeconomic analysis, a flow cost rate, C$=h, is
defined for each flow in a system, and a cost balance is written for each component
to provide exergy costing asfollows,
X X
C_ q, k C_ i, k Z_ k C_ e, k C_ w, k 3:7
i e
where
C_ j cj Ex
_ j 3:8
Exergy transfer by entering and exiting streams as well as by power and heat
transfer rates are written respectively as follows;
C_ i ci Ex
_ i ci m_ i exi 3:9a
C_ e ce Ex
_ e ce m_ e exe 3:9b
C_ w cw W
_ 3:9c
C_ q cq Ex
_ q 3:9d
However, before the analysis can be conducted, the fuel and product exergies
need to be defined for each component. The product exergy is defined according to
the purpose of owning and operating a component under consideration, while the
fuel represents the resources consumed in generating the product, where both are
expressed in terms of exergy [11]. The fuel and products for each component can
be seen in Table 3.2.
By combining exergy and exergoeconomic balance equations, the following
equation can be obtained;
_ F, k Ex
Ex _ P, k Ex
_ D, k 3:10
The cost rate of exergy destruction is defined as follows:

Table 3.2 Fuel and product Component Fuel Product

definitions with respect to the
system Compressor _ comp
W _ 2 Ex
Ex _ 1
Condenser Ex _ 3
_ 2 Ex _ 14 Ex
Ex _ 13
Evaporator TXV _ 3
Ex _ 4
Ex
Chiller TXV _ 3
Ex _ 5
Ex
Evaporator Ex _ 1
_ 4 Ex _ 9
Ex
Chiller Ex _ 5
_ 1 Ex _ 7 Ex
Ex _ 6
Pump W_ pump _ 8 Ex
Ex _ 7
Battery _ 8
_Ex6 Ex _
W bat
C_ D, k cF, k Ex
_ D, k 3:11
Here, the component exergy destruction costs are determined by evaluating the

exergy destruction rates associated with each component Ex _ D, k with respect to the
exergy balance equations shown in Table 3.1. Moreover, from Eq. (3.7), the steady
state form of te control volume cost balance can be written as shown below. The
cost balances are generally written so that all terms are positive.
X X
_ e c w, k W
ce Ex _ k cq, k Ex
_ q, k _ i Z_ k
ci Ex 3:12
k k
e i
The above equation states that the total cost of the exiting exergy streams equals
the total expenditure to obtain them, namely the cost of the entering exergy streams
plus the capital and other costs [23, 24]. In general, there are ne exergy streams
exiting the component, ne unknowns and only one equation, the cost balance.
Thus, ne 1 auxiliary equations need to be formulated using F and P rules.
The F rule (fuel rule) refers to the removal of exergy from an exergy stream
within the considered component when exergy differences between the inlet and
outlet are considered in the fuel definition for this stream. Thus, this rule states that
the specific cost (cost per exergy unit) associated with this fuel stream exergy
removal must be equal to the average specific cost at which the removed exergy was
supplied to the same stream in upstream components. This provides an auxiliary
equation for each removal of exergy, which equals the number of exiting exergy
streams and ne,F that are associated with the definition of the fuel for each
component. The P rule (product rule) refers to the supply of exergy to an exergy
stream within the component and states that each exergy unit is applied to any
stream associated with the product at the same average cost. Since this corresponds
to an exiting stream, the number of auxiliary equations provided by this rule always
equals ne,P 1 where ne,P is the number of exiting exergy streams that are included
in the product definition. Thus, since each exiting stream is defined as either fuel or
product, the total number of exiting streams is equal to ne,F + ne,P, which provides
ne 1 auxiliary equations [22].
On the economic side, the capital investment can be calculated with respect to
the purchase costof equipment and capital recovery as well as maintenance factor
over the number of operation hours per year as shown below;
Z k CRF
Z_ k 3:13
N
where N is the annual number of operation hours for the unit and is the
maintenance factor, generally taken as 1.06 [11]. CRF is the capital recovery factor
which depends on the interest rate i) and equipment life-time in years (n) as shown
below;
i 1 i n
CRF 3:14
1 in 1
Here Zk is the purchase equipment cost of the thermal management system

components that should be written in terms of design parameters. The correlations
for each component are shown below;

573m_ ref Pcond Pcond
Z comp ln 3:15a
0:8996 s Pevap Pevap
where

Pcond
s 0:85 0:046667 3:15b
Pevap
Here m_ ref is the refrigerant mass flow rate (kg/s) and s is the isentropic efficiency
of a scroll compressor [25],
Zcond 516:621Acond 216:45 3:16

Zevap 309:143Aevap 231:195 3:17
where Acond and Aevap are the heat transfer areas associated with the condenser and
evaporator respectively [26].
_ Cpump
Z pump 308:9W 3:18a
pump
_ pump < 0:3 kW

Cpump 0:25 for 0:02 kW < W 3:18b
_ pump < 20 kW
Cpump 0:45 for 0:3 kW < W 3:18c
_ pump < 200 kW
Cpump 0:84 for 20 kW < W 3:18d
Here W _ pump is the pumping power in kW and Cpump is the pump coefficient with
respect to the corresponding pumping power ranges shown below [27],
Z evap, txv atxv ktxv m_ ref , a 3:19

Zch, txv atxv ktxv m_ ref , b 3:20
where atxv is the annuity factor for the evaporator which is based on an interest rate
of 5 % and depreciation time of 15 years [13] and ktxv is the cost per mass flow
rate of refrigerant which is taken to be $5,000 [15].
Z bat Cbat K bat 3:21
Here Cbat is the typical lithium-ion battery pack costs per kilowatt-hour, taken as
$500 [28] and Kbat is the energy storage capacity of the battery pack in kWh, which
is taken as 16 kWh.
3.3.2 Cost Accounting
Cost balances for each component are needed to be solved in order to estimate the
cost rate of exergy destruction in each component. In the cost balance equations
with more than one inlet or outlet flow, the number of unknown cost parameters
exceed the number of cost balances for that component. Thus, auxiliary
exergoeconomic equations created by F and P rules are used to equate the number
of unknowns with the number of equations [11]. Implementing Eq. (3.12) for each
component together with the auxiliary equations form a system of linear equations
as follows;

_ k ck Z_ k
Ex 3:22
where the equation entails matrixes of exergy rate (from exergy analysis), exergetic
cost vector (to be evaluated) and the vector of Z_ k factors (from economic analysis)
respectively [29]. The matrix form of the equation for each equation can be seen
below.
2 3 2 3 2 3
1 0 C_ 1 Z_ comp
60 1 0 0 0 0 0 0 0 0 _ comp
W 0 0 1 7 6 C 2 7 6 Z cond 7
7 6 _ 7 6 _
6 1 1 0 0 7
60 0 0 0 0 0 0 0 1 0 7 6_ 7 6 0 7
6 _Ex3 Ex
_ 2 0 0 0 0 0 0 0 0 0 0 7 6 C3 7 6 7
60 7 6 7
0 7 6 C_ 4 7 6 6 Z_ etxv 7
6 1 1 0 0 0 0 0 0 0 0 7
_ 4 0
6 Ex _ 1 0 1
0
0 7 6 C_ 5 7 6 Z_ evap 7
6 0 0 Ex 0 0 0 0 0 0 0 7 6 7 6 7
61 0 1 0 0 7 6 C_ 6 7 6 0 7
6 0 0 0 0 0 0 0 0 0 7 6 7 6 7
60 0 1 0 1 0 0 0 0 0 0 0 0 0 7 6 C_ 7 7 6 _ ctxv
Z 7
6 76 76 7
6 1 0 0 0 1 1 1 0 0 0 0 0 0 0 7 6 C_ 8 7 6 Z_ chil 7
6 1 0 7 6 7 6 7
60 0 0 0 0 1 0 0 0 0 0 0 7 6 C_ 9 7 6 7
6 0 0 0 0 0 1 1 0 0 0 _ pump
W 7 6 7 6 0 7
60 _ bat
0 0 7 6 C_ 10 7 6 Z_ pump 7
6 0 0 0 0 0 0 1 0 W 0 0 0 7 6 7 6 7
60 0 7 6 C_ 7 6 _
Z bat 7
6 0 0 0 0 0 0 0 0 0 1 0 0 7 6 11 7 6 7
60 _ comp
_ pump W 0 7 6 C 12 7 6 0:075W comp 7
7 6 _ 7 6 _
6 0 0 0 0 0 0 0 0 0 0 W 7
40 0 5 4 _
C 13 5 4 0 5
0 0 0 0 0 0 0 0 0 0 0 1
0 0 _
C 14 0
_ comp C_ 2
C_ 1 Z_ comp W
C_ 2 C_ 13 Z_ cond C_ 3 C_ 14
_ 3 C_ 3 Ex
C_ 2 Ex _ 2
C_ 3 Z_ etxv C_ 4
C_ 4 Z_ evap C_ 9 C_ 1
_ 1 C_ 1 Ex
C_ 4 Ex _ 4
C_ 3 Z_ ctxv C_ 5
C_ 5 C_ 6 Z_ chil C_ 1 C_ 7
_ 7 C_ 7 Ex
C_ 6 Ex _ 6
_ pump C_ 8
C_ 7 Z_ pump W
C_ 8 Z_ bat C_ 6 W
_ bat
C_ 11 celect W
_ comp
_ pump C_ 12 W
C_ 11 W _ comp
C_ 13 0
Here, celect is the unit cost of electricity, which is taken as 0.075$/kWh. By

solving these equations, the cost rate of each flow can be calculated, which can be
used to determine the cost rate of exergy destruction in each system component.
Moreover, certain additional variables can also provide useful exergoeconomic
evaluation. Among these variables, an exergoeconomic factor is an important
parameter and provides the contribution of non-exergy related costs to the total
cost of a component. It is defined as
Z_ k
fk 3:23
Z_ k cf , k E_ D, k
where cf,k is the unit exergy cost of the fuel of any k component and E_ D, k is the
associated exergy destruction. When a component hasa low exergoeconomic factor
value, cost savings in the entire system might be achieved by improving the
component efficiency even if the capital investment for that component will
increase. On the other hand, a high value might suggest a decrease in the investment
costs at the expense of its exergetic efficiency [30].
3.4 Enviroeconomic (Environmental Cost) Analysis
Most hybrid electric vehicles (HEVs) use electricity from the grid to power the
TMS (thermal management system). The TMS has a significant role in reducing the
associated GHG emissions compared to conventional vehicles. Even though these
vehicles produce virtually zero GHG emissions in all-electric mode during opera-
tion, there may still be indirect emissions associated with the generation of elec-
tricity [31]. These emissions, especially under a high carbon derived electricity
generation mix, can be significantly high (possibly even higher than conventional
vehicles) and therefore the associated CO2 GHG emissions and corresponding
environmental costs should be calculated [18].
For the studied model, various electricity generation mixes are considered from
one that mainly utilizes a natural gas combined cycle to less environmentally
friendly options that primarily use coal and steam [32]. The associated environ-
mental assessment based on the corresponding CO2 emissions can be calculated as
shown below [33]:
_ total ttotal
yCO2 W
xCO2 3:24
106
where xCO2 is the associated CO2 emissions released in a year (tCO2/year) and yCO2
_ total is the
is the corresponding CO2emissions for a coal fired electricity generator, W
total power consumption of the TMS and ttotal is the total working hours of the
system in a year, which is assumed to be 1,460 based on 4 h of daily driving.
In order to conduct an enviroeconomic analysis, a carbon price (or CO2 emis-
sions price) is needed to be established along with calculating the quantity of the
carbon released. The carbon price is an approach imposing a cost on the emission of
greenhouse gases which cause global warming. The international carbon price is
typically between 13 and 16 $/tCO2 based on different carbon scenarios [34]. The
enviroeconomic parameter in terms of CO2 emissions price in a year ($/year) can be
calculated as shown below;
CCO2 cCO2 xCO2 3:25
where cCO2 is the CO2 emissions price per tCO2.

Based on the exergy analysis; theexergetic efficiency and exergy destruction rates are
calculated for each component in the thermal management system. Among these
components, the heat exchangers have the lowest exergy efficiencies with respect to
the high temperature differences and phase change which results in more entropy
generation between the refrigerant and coolants. In the chiller, the low exergy
efficiency occurs as a result of the high exergy destruction from high coolant
temperatures causing the refrigerant to pass through a phase change. In the evapora-
tor, the exergy losses are relatively high since (aside from the frictional losses) only
part of the heat rejection occurs during the phase change process with large temper-
ature differences between the working fluid in the evaporator and the vehicle cabin.
The condenser is calculated to have a lower exergy efficiency than the evaporator and
the chiller,mainly due to the relatively higher temperature difference between the
condenser exit and ambient air (taken at 35 C), when compared to the differences
between the evaporator exit and vehicle cabin temperature as well as the refrigerant
and coolant temperatures. It should be noted that the battery is modeled as a system
and thus the internal efficiencies for the batteryare not considered in this analysis. In
this regard, the battery has high efficiencies within the target operating temperature
range (up to 50 C). However, the associated efficiency would decrease significantly
as the battery is heated up beyond this range. The exergy efficiencies and exergy
destruction rates can be seen in Fig. 3.1.
Among the remaining components, the compressor has a relatively low exergy
efficiency due to the high compression pressure ratio and change in temperature of
the refrigerant passing through the compressor, which contributes to an increase in
exergy destruction. On the other hand, the thermal expansion valves have high
exergy efficiencies since the processes are isenthalpic and have little or no heat loss.
Therefore the exergy losses occur mainly due to a pressure drop in the expansion
valves. These exergy losses in the thermal expansion valves can be reduced by
lowering (or sub-cooling) the temperature of the refrigerant exiting the condenser
even further, which can be achieved by utilizing the refrigerant vapour exiting the
evaporator. The coolant pump also has a relatively higher efficiency since there is
no significant heat loss from the pump.
a 1
b 0.5
Exergy Destruction Rate (kW)
0.9 0.45
0.8 0.4
Exergy Efficiency
0.7 0.35
0.6 0.3
0.5 0.25
0.4 0.2
0.3 0.15
0.2 0.1
0.1 0.05
0 0
m
ste
er
ry
r
or
r
p
V
er
ry
se
r
so
or
or
p
V
um
Sy
se
ill
TX
tte
TX
at
um
ill
TX
tte
TX
en
at
s
es
en
Ch
or
es
Ba
tP
Ch
or
pr
nd
Ba
tP
er
ap
or
pr
nd
er
ap
or
m
an
Co
ill
at
an
Ev
Co
ill
at
Co
Ev
ol
Ch
or
Co
ol
Ch
or
Co
ap
Co
ap
Ev
Ev
Fig. 3.1 (a) Exergy efficiency of TMS and its components. (b) Exergy destruction rate of TMS
and its components
C_ $=h
Table 3.3 Exergy flow rates, _ kW
State Ex c($/kJ)
cost flow rates and the unit
exergy costs associatedwith 1 0.71 0.20 0.14
each state of TMS 2 1.58 0.18 0.28
3 1.27 0.18 0.23
4 1.01 0.20 0.20
5 0.12 0.20 0.02
6 0.02 1.05 0.02
7 0.04 1.05 0.04
8 0.04 1.18 0.05
9 0.36 1.75 0.63
10 0.01 0.03 0.88
11 1.30 0.08 0.10
12 <0.01 0.08 <0.01
13
14 0.07 2.64 0.18
Pump
<0.001 ($/h)
Battery Compressor
Chiller TXV 0.032 ($/h)
0.042 ($/h)
0.003 ($/h)
Condenser
Evaporator 0.044 ($/h)
TXV
0.023 ($/h)
Evaporator
0.060 ($/h)
Chiller
$0.006 ($/h)
Fig. 3.2 Cost rate of exergy destruction for thermal management system components
In this study, the exergy analysis is provided in order to gain a further

understanding of the true efficiencies of each component and corresponding
irreversibilities. However, this does not provide any information regarding the
economic constraints on improving the efficiency of the components or the associ-
ated costs. Thus, an exergoeconomic analysis is also conducted where the cost
formation can be determined for the thermal management system. In Table 3.3, It
can be seen that the highest cost rate is achieved at state 10, which is the exit state of
the electric battery and the lowest cost rate is associated with the pump input. In the
table, state 13 has no value, since it is available ambient air entering the condenser.
Based on the calculated costs, the exergy destruction costs are also determined
for each component. In Fig. 3.2, it can be seen that the evaporator has the highest
cost rate of exergy destruction, followed by the condenser, battery and compressor.
Table 3.4 Cost rate of exergy destruction, exergoeconomic factor, investment cost rate and
investment plus exergy destruction cost associated with the TMS components
Component C_ D, k ($/h) f (%) Z_ k ($/h) Z_ k C_ D, k ($/h)
Compressor 0.03 55.95 0.04 0.07
Condenser 0.04 73.84 0.12 0.17
Evaporator 0.06 57.47 0.08 0.14
Chiller 0.01 59.19 0.01 0.01
Evaporator TXV 0.02 6.28 0.00 0.02
Chiller TXV <0.01 6.28 <0.01 <0.01
Pump <0.01 99.69 0.01 0.01
Battery 0.04 95.27 0.85 0.90
The high exergy destruction cost of the battery is mostly associated with the high
fuel cost for the battery, while the majority of the exergy destruction cost of the
compressor, condenser and evaporator is associated with relatively high exergy
destruction rates for these components.
However, before any remarkscan be made regarding design or investment
changes, the components should be analyzed with respect to their exergoecono-
micsignificance and the impact of improving the component efficiency on the total
capital investment costs. From an exergoeconomic viewpoint, the components that
have the highest priority are the ones that have the highest sum of total capital

investment and exergy destruction cost rate Z_ C_ D . Among these components,
the relationship between the exergy efficiency investment costs of the components
is investigated with the help of the exergoeconomic factor. These values for each
component are provided in Table 3.4.
When the components are analyzed with respect to Z_ C_ D , an electric battery
by far has the highest cost compared to the rest of the components as shown in the
table. Moreover, the battery is also determined to have a significantly high
exergoeconomic factor ( f ), which suggests that the cost effectiveness of the entire
system could be improved by reducing the total capital investment for this compo-
nent. After the battery, the highest sum of total capital investment and cost rate of
exergy destruction aredetermined to be the condenser and evaporator, wherethe
condenserhas a relatively high exergoeconomic factor value. Therefore, methods of
reducing the investment cost on this component should also be investigated at the
expense of their exergetic efficiencies. Moreover, for the compressor and chiller,
the non-exergy related costs and total cost of a component are divided rather
equally, thus the current investment cost for these components are found to be
reasonable. Finally, based on the exergoeconomic analysis, the thermal expansion
valves and exergy related costs are high, thus improving the component efficiency
is suggested even if the capital investment for that component will increase.
However, the thermal expansion valves along with the pump are determined to
have lowerpriorities for the overall system with respect to the exergoeconomic
viewpoint.
a b
9 140
Coal Steam High Carbon Price
8
U.S Average 120
Emissions (g C02-eq/kWh)
Cost of Emissions ($/year)

7 Average Carbon Price
Natural Gas Combined Cycle 100
6 Low Carbon Price
5 80
4 60
3
40
2
20
1
0 0
1 2 3 4 5 1 2 3 4 5
Compressor Work (kW) Compressor Work (kW)
Fig. 3.3 (a) Emissions released with respect to varying compressor work under different elec-
tricity generation mixes (b) Cost of emissions with respect to varying compressor work under
different carbon price values
Furthermore, the indirect amount of CO2 emissions released to the environment

as a result of the electricity consumed from the grid are also calculated with respect
to various electricity generation mixes, includingone that utilizes a natural gas
combined cycle to one that uses primarily coal/steam, with a range of 400 to
1,118 gCO2eq/kWh including life cycle estimates for electricity production. The
associated emissions with respect to various electricity generation mixes can be
seen in Fig. 3.3a. In addition, a carbon price is established and the associated cost of
corresponding CO2 emissions are determined accordingly under various carbon
price ranges are shown in Fig. 3.3b.
3.6 Conclusions
In this paper, mass, energy, entropy and exergy balance equations are applied to
each thermal management system component of hybrid electric vehicles, in order to
determine various work and heat terms as well as exergy destructions rates to
calculate the associated exergy efficiency of the system and its individual compo-
nents. In the economic analysis, investment cost rates are calculated with respect to
purchase equipment costs, which are determined using cost correlations for each
system component, and a capital recovery factor. In the exergoeconomic analysis,
the exergy streams are identified, fuel and products are defined for each component
and cost equations are allocated. In order to solve the cost equations, auxiliary
equations are formulated using fuel and product rules. The costs from the economic
analysis are used as inputs in the cost equation matrix to determine the unit cost of
exergy, cost rate of exergy destruction as well as other useful exergoeconomic
variables includingthe exergoeconomic factor for each component. Moreover, an
enviroeconomical (environmental cost) analysis is also conducted based on
theestablished carbon price associated with thereleased CO2 to the environment
with respect to the indirect emissions from the electricity consumed by the system
under varying carbon prices and electricity generation mixes.
Based on the analyses, the following concluding remarks can be made.
The exergetic performance results indicate that the pump and thermal expansion
valves have very high exergy efficiencies (0.79 and 0.88 respectively), while the
heat exchangers (evaporator, condenser and chiller) have much lower efficien-
cies in the system (0.22, 0.23 and 0.37 respectively), which can be improved by
reducing the mean temperature difference between the working fluids.
The compressor is calculated to have the highest exergy destruction rate with
0.43 kW and it is determined that small improvements in this component can
provide better enhancements in system performance compared to other compo-
nents in the system.
The evaporator is determined to have the largest cost rate of exergy destruction
in the system with 0.06 $/h.
Based on the exergoeconomic analysis, the electric battery is determined to have
the highest exergoeconomic importance based on the total capital investment
and exergy destruction cost rate. Moreover, based on the components
exergoeconomic factor calculations, it is determined that the cost effectiveness
of the entire system could be improved by reducing the total capital investment
for the battery. On the other hand, the pump and thermal expansion valves are
determined to have lower priorities with respect to an exergoeconomic
viewpoint.
Enviroeconomics (Environmental cost) is determined to be a useful tool for
assigning a cost on the greenhouse gas emissions. The corresponding economic
impact of the generated CO2 emissions are able to be tracked. This approach can
later be used as a part of the exergoeconomic evaluation. The cost associated
with emissions for the best and worst case scenarios are calculated to be within
9.9 and 155 $/year with respect to the studied parameter ranges.
Acknowledgements Financial support from Automotive Partnerships Canada (APC) and the
Natural Sciences and Engineering Research Council of Canada (NSERC) is gratefully
acknowledged.
Nomenclature
A Area (m2)
C Cost per unit of exergy ($/kj)
C_ Cost rate associated with exergy ($/h)
CCO2 CO2emissions price per year ($/year)
D Diameter (m)
_
Ex Exergy rate (kW)
f Exergoeconomic factor
h Specific enthalpy (kJ/kg)

k Cost per mass flow rate ($s/kg)
K Energy storage capacity (kW)
m_ Mass flow rate (kg/s or L/min)
N Annual number of operation hours (h)
P Pressure (kg/m s2)
Pr Prandtl number
Q_ Heat transfer rate (kW)
r Relative cost difference
Re Reynolds number
s Specific entropy (kJ/kg K)
t Total working hours per year (h/year)
T Temperature (K or C)
T0 Ambient temperature (K or C)
W _ Work rate or power (kW)
Z Purchase equipment cost ($)
Z_ Cost rate associated with the sum of capital investment ($/h)
Greek Symbols
Change in variable
Maintenance factor
Exergy
Superscripts
n Equipment lifetime (years)
Subscripts
0 Ambient
act Actual
bat Battery
cool Coolant
c cond Condenser
ch Chiller
comp Compressor
D Destruction
e Exit
elect Electricity
en Energy
ex Exergy
evap Evaporator
F Fuel
gen Generation
i In
k Component
P Product
q Heat
ref Refrigerant
s Isentopic
txv Thermal expansion valve
w Work
wg Water/glycol mix
Acronyms
COP Coefficients of performance

CRF Capital recovery factor
EV Electric vehicle
GHG Greenhouse gas
GWP Global warming potential
TMS Thermal management system
TXV Thermal expansion valve
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Chapter 4
CFD Analysis of a Shell and Tube Heat
Exchanger Linking a Supercritical Water-
Cooled Nuclear Reactor and a Copper-
Chlorine Hydrogen Production Cycle
Ali H. Abedin, Murat Aydin, and Marc A. Rosen
Abstract Among various hydrogen production methods, such as steam methane

reforming and thermochemical water splitting, the copper-chlorine thermochemical
cycle is an advanced method to produce hydrogen that can help achieve sustainable
development and clean energy systems. The cycle requires large amounts of heat as
the main energy input, and using nuclear heat is a promising option for reducing
emissions of greenhouse gases and other pollutants. An investigation is reported of
an analysis of an intermediate high-pressure shell and tube heat exchanger using
FLUENT software. The RNG k- turbulence model is adopted for modeling
turbulent flow. In this study, the flow field and the characteristics of a shell and
tube heat exchanger for heat extraction from supercritical water-cooled nuclear
reactors (SCWRs) to the heat transfer fluid that serves as the heating fluid in a
hydrogen production process based on the copper-chlorine thermochemical water
decomposition cycle are investigated. The results show that the heat transfer is
improved by increasing the operating pressure, although higher pressure drops also
occur in the heat exchanger in such instances. Also, the effects of using baffles and
various baffle arrangements are studied.
Keywords Hydrogen production Super-critical water-cooled reactor FLUENT

Computational fluid dynamics
A.H. Abedin (*)

Golder Associates Ltd, 6925 Century Avenue, Suite #100, Mississauga, ON, Canada, L5N 7K2
M. Aydin
Energy Institute, Istanbul Technical University, 34469 Ayazaga Campus,
Maslak, Istanbul, Turkey
M.A. Rosen (*)
2000 Simcoe Street North, Oshawa, ON, Canada, L1H 7K4

56 A.H. Abedin et al.
4.1 Introduction
A worldwide concern is that societal energy demands are increasing while fossil
fuel resources, which dominate most national energy systems, will become scarcer
and more expensive in coming years [1, 2]. Furthermore, there are many environ-
mental concerns related to the global energy consumption like climate change and
atmospheric pollution. Greenhouse gas (GHG) emissions are considered the main
cause of climate change [3]. Therefore, increasing global energy demand and
concern regarding environmental problems is fostering the utilization of cleaner
and more efficient energy systems and technologies.
Hydrogen is an important alternative energy carrier that can contribute to
avoiding environmental problems and increasing the efficiency of energy utiliza-
tion. Hydrogen has widespread potential applications. Hydrogen is a promising
alternative for fossil fuels as an energy carrier because its oxidation does not release
GHG emissions, if it is produced from non-carbon based energy sources.
Several thermochemical water splitting cycles, e.g., sulphur-iodine (S-I) and
copper-chlorine (Cu-Cl), have been examined [4, 5] and scale-up developments are
underway [69]. Among various methods of hydrogen production, many consider
thermochemical hydrogen production cycles to be promising. These cycles utilize
heat as the main energy input to split water. A thermochemical hydrogen produc-
tion cycle includes some endothermic and exothermic physical and chemical
processes. The net result of these processes is the decomposition of water into
hydrogen and oxygen. The endothermic processes always require more heat than
that can be supplied by exothermic processes, so heat from external heat sources
must be supplied. Major processes in the Cu-Cl hydrogen production cycle are
shown in Table 4.1 [10].
The focus of this paper is to examine the heat extraction from external heat
sources, and to design an appropriate heat exchanger for linking a nuclear reactor
and a thermochemical water splitting cycle for hydrogen production. A supercrit-
ical water-cooled nuclear reactor (SCWR) is considered as the heat source and the
heat requirement of a Cu-Cl hydrogen production cycle is considered as the heat
extraction load for the analysis and design. The intermediate heat exchanger for
heat extraction from the SCWR is designed using the LMTD method, and the
design and operating parameters of the heat exchanger are determined. Also, the
flow field and the heat transfer characteristics of a shell and tube heat exchanger are
studied with CFD using FLUENT software and the pressure drop and the variation
of velocity are investigated here for various heat exchanger layouts and operating
pressures.
4 CFD Analysis of a Shell and Tube Heat Exchanger Linking a Supercritical. . . 57
Table 4.1 Major chemical processes of the copper-chlorine cyclea

Step Process and heat flow Major reaction
I Electrolytic hydrogen 2CuCl(s) + 2HCl(aq) + VE H2(g) + 2CuCl2(aq) in aque-
production ous solution, at 30 ~ 100 C
II Drying of cupric chloride CuCl2(aq) + nfH2O(l) + Q CuCl2nhH2O(s) + (nf nh)
(endothermic) H2O, where nf >7.5, nh 0 ~ 4, depending on tempera-
ture. Below 80 C, crystallization; at 100-200 C, spray
drying
III Hydrolysis of cupric chlo- 2CuCl2 nhH2O(s) + H2O(g) + Q CuOCuCl2(s) + 2HCl
ride (endothermic) (g) + nhH2O(g), at 400 C
IV Oxygen production CuOCuCl2(s) + Q 2CuCl(molten) + 0.5O2 (g), at
(endothermic) 530 C
All Summation of all steps H2O(l) H2(g) + O2(g) (net reaction)
a
Symbols: aq aqueous, g gas, l liquid, nf number of free water, nh number of hydrated water,
Q heat, s solid, VE electricity
4.2 Design of the Shell and Tube Heat Exchanger
As stated previously, heat needs to be extracted from an external energy source

(here, the nuclear reactor) and transported to the thermochemical hydrogen plant.
The operation is expected to utilize a heat transfer fluid and a pipeline between the
plants. Solely from a heat transfer perspective, the nuclear reactor coolant can be
directly pumped to the hydrogen plant through a pipeline and used as the heating
fluid for hydrogen production cycles. However, separation of the plants is often
viewed as desirable. So, an intermediate heat exchanger that can transfer heat from
the nuclear reactor coolant to another heat transfer fluid is considered here between
the nuclear power and hydrogen production plants. Haji Abedin et al. [11] previ-
ously studied possible alternatives for heat transfer fluids and demonstrated that,
considering various parameters e.g. thermal properties, transportation over long
distance in a pipeline, and phase change avoidance over large pressure and tem-
perature ranges, helium is a potentially good option as a heat transfer fluid.
The heat exchanger considered here is an intermediate heat exchanger to recover
heat from a process in the Cu-Cl hydrogen production cycle in order to improve the
thermal efficiency of the overall cycle shown in Fig. 4.1. The geometry and
properties of the heat exchanger are as follows:
Supercritical water (tube side):
Inlet conditions: Tt,2 640 C, Pt,2 26 MPa
Helium (shell side):
Inlet conditions: Ts,1 230 C, Ps,1 2 MPa
The results of an analysis show that a shell diameter of 0.73 m with 420 tubes is
needed to achieve a heat transfer rate of 100 MWth [11].
Fig. 4.1 Layout for the heat ows of a nuclear reactor, an intermediate heat exchanger, and a
thermochemical Cu-Cl hydrogen production cycle
4.3 Computational Analysis and Results
In order to analyze computationally the system model and investigate the effects of
varying design parameters on the flow field, a 2-D grid mesh was generated using
the commercial code GAMBIT. The mesh consists of unstructured tetrahedral
elements. The commercial code FLUENT based on the Finite Volume Method is
employed to simulate the flow. The RNG k- turbulence model is used for modeling
turbulent flow and heat transfer in the shell side of the model. Also, the effects are
investigated of varying selected parameters, e.g. utilizing baffles and the arrange-
ments of baffles in the heat exchanger, and the overall operating pressure.
The helium (shell-side heat transfer fluid) at the inlet is specified to have a
temperature of 230 C and a total operating pressure of 2 MPa. The inlet velocity of
the flow is taken as 66 m/s [11]. The shell wall is assumed to be adiabatic. Several
significant results are obtained based on the analysis. These are listed and explained
below, and the implications of each are given:
The effect of utilizing baffles on pressure drop of the shell side is studied.
Figure 4.2 shows the operating pressure contour when there is no baffle inside
the shell. In this case, the pressure drop is 0.01 MPa between the inlet and outlet
of the shell. But when using 40 % cut baffles, the operating pressure drops from
2 MPa to 1.97 MPa. Note that baffle cut refers to the cut of the baffle used inside
of the shell relative to the total diameter of the shell; a 40 % cut means the baffle
height is 40 % of the shell diameter (Fig. 4.3).
The effect of utilizing baffles on the velocity is investigated. Following a similar
format as the previous point, Fig. 4.4 shows the velocity contour when there is no
baffle inside the shell and Fig. 4.5 shows the velocity contour when there are
2.00e+ 06
2.00e+06
2.00e+06
2.00e+06
2.00e+06
2.00e+06
2.00e+06
2.00e+06
2.00e+06
2.00e+06
2.00e+06
2.00e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
Fig. 4.2 Total pressure (in Pascals) contour with no baffle inside the shell
2.00e+06
2.00e+06
2.00e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
1.99e+06
1.98e+06
1.98e+06
1.98e+06
1.98e+06
1.98e+06
1.98e+06
1.98e+06
1.97e+06
1.97e+06
1.97e+06
1.97e+06
Fig. 4.3 Total pressure (in Pascals) contour with 40 % cut baffles inside the shell
3 baffles with 40 % cut inside the shell. The results show that using baffles
increases the velocity at the outlet of the shell.
Another design parameter examined is baffle cut. In the previous figures, 40 %
cut baffles were used. Here, the results are compared to those with 80 % cut
baffles. Figures 4.6 and 4.7 show respectively velocity and pressure contours
with 80 % cut baffles. The results show that increasing baffle cut increases the
velocity at the outlet of the shell and also increases the pressure drop along the
shell.
1.16e+02
1.11e+02
9.58e+01
9.14e+01
8.51e+01
7.98e+01
7.45e+01
6.92e+01
6.38e+01
5.85e+01
5.32e+01
4.79e+01
4.26e+01
3.72e+01
3.19e+01
2.66e+01
2.13e+01
1.60e+01
1.16e+01
5.32e+00
0.10e+00
Fig. 4.4 Velocity (in m/s) contour with no baffle
1.61e+02
1.53e+02
1.45e+02
1.37e+02
1.29e+02
1.21e+02
1.13e+02
1.05e+02
9.68e+01
8.88e+01
8.07e+01
7.27e+01
6.46e+01
5.65e+01
4.85e+01
4.04e+01
3.24e+01
2.43e+01
1.63e+01
8.22e+00
1.71e-01
Fig. 4.5 Velocity (in m/s) contour with 40 % cut baffles
4.4 Conclusions
In this study, a 2-D numerical simulation for a shell and tube heat exchanger with
various baffle configurations is performed. The major conclusions can be listed as
follows:
Increasing the operating pressure improves heat transfer in the shell and tube
heat exchanger, although it increases the pressure drop between the inlet and
outlet of the shell side.
4.12e+02
3.92e+02
3.71e+02
3.51e+02
3.31e+02
3.09e+02
2.89e+02
2.68e+02
2.47e+02
2.27e+02
2.06e+02
1.86e+02
1.65e+02
1.44e+02
1.24e+02
1.03e+02
8.25e+01
6.18e+01
4.12e+01
2.06e+01
0.00e+00
Fig. 4.6 Velocity (in m/s) contour with 80 % cut baffles
2.00e+06
1.99e+06
1.97e+06
1.96e+06
1.94e+06
1.92e+06
1.91e+06
1.89e+06
1.87e+06
1.86e+06
1.84e+06
1.83e+06
1.81e+06
1.79e+06
1.78e+06
1.76e+06
1.74e+06
1.73e+06
1.71e+06
1.70e+06
1.68e+06
Fig. 4.7 Total pressure (in Pascals) contour with 80 % cut baffles
Utilizing baffles in the shell side increases the velocity of the flow inside the
shell and as a result improves heat transfer, but it also increases the pressure drop
in the shell side of the heat exchanger.
Increasing the baffle cut percentage improves heat transfer in the shell side by
increasing the velocity, although it raises the corresponding pressure drop.
Acknowledgement The authors gratefully acknowledge the financial support provided by the
Natural Sciences and Engineering Research Council of Canada.
References
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2. Rahm D (2002) Sustainable energy and the states: essay on politics markets and leadership.
McFarland, North Carolina
3. Fuglestvedt JS, Hailemariam K, Stuber N (2005) Alternatives to the global warming potential
for comparing climate impacts of emissions of greenhouse gases. Clim Chang 68:281302
4. Rosen MA, Naterer GF, Chukwu CC, Sadhankar R, Suppiah S (2012) Nuclear-based hydrogen
production with a thermochemical copper-chlorine cycle and supercritical water reactor:
equipment scale-up and process simulation. Int J Energy Res 36:456465
5. Terada A, Kubo S, Okuda H, Kasahara S, Tanaka N, Iwatsuki J (2007) Development of
hydrogen production technology by thermo-chemical water splitting IS process pilot test plan.
J Nucl Sci Technol 44:477482
6. Naterer GF, Gabriel K, Lu L, Wang ZL, Zhang Y (2009) Recent advances in nuclear based
hydrogen production with the thermochemical copper-chlorine cycle. J Eng Gas Turbines
Power 34:032905
7. Naterer GF, Gabriel K, Wang ZL, Daggupati VN, Gravelsins R (2008) Thermochemical
hydrogen production with copper-chlorine cycle. I: oxygen release from copper oxychloride
decomposition. Int J Hydrog Energy 33:54395450
8. Wang ZL, Naterer GF, Gabriel K (2008) Multiphase reactor scale-up for Cu-Cl thermochem-
ical hydrogen production. Int J Hydrog Energy 33:69346946
9. Wang ZL, Naterer GF, Gabriel K, Gvavelsins R, Daggupati V (2009) New Cu-Cl thermo-
chemical cycle for hydrogen production with reduced excess steam requirements. Int J Green
Energy 6:616626
10. Wang ZL, Naterer GF, Gabriel K (2010) Thermal integration of SCWR nuclear and thermo-
chemical hydrogen plants. Proceedings of the 2nd Canada-China Joint Workshop on Super-
critical Water-Cooled Reactors (CCSC-2010), Toronto, Ontario, Canada, April 2528.
11. Haji Abedin A, Wang ZL, Rosen MA (2011) Heat extraction from supercritical water-cooled
nuclear reactors for hydrogen production plants. Proceedings of the International Conference
on Hydrogen Production, Thessaloniki, Greece, June 19-21, paper 243THE, pp. 110.
Chapter 5
Entropy Generation of Hydrogen Flow
in a Curved Annular Duct
Haydar Kucuk, Ugur Akbulut, and Adnan Midilli
Abstract The main objective of this study is to numerically investigate the entropy
generation of both hydrodynamically and thermally fully developed laminar flow of
hydrogen gas under various operating pressures and temperatures in the concentric
curved annular ducts with rectangular cross section. In this regard, the solutions of
discretized continuity, momentum and energy equations have been obtained using
elliptic Fortran Program based on the SIMPLE algorithm. The solutions have been
achieved for (1) Dean numbers ranging from 2.3 to 202.9, (2) Annulus dimension
ratios of 5.5, (3) Operating pressures of 0.101325, 1, 10, 40, 70 and 100 MPa,
(4) Core wall temperature of 50 and 80 C, (5) Duct wall temperature of 25 C. In
this regard, overall entropy generation in the whole flow field has been analyzed in
detail. Moreover, the effects of Dean number, operating pressure and core wall
temperature on entropy generation arising from the flow and heat transfer have been
investigated. Accordingly, it is concluded that the effect of volumetric entropy
generation that is a result of fluid flow can be neglected as compared with volu-
metric entropy generation due to heat transfer. When Dean number, operating
pressure and core wall temperature increase the total volumetric entropy generation
goes up. Thus, it is expected that this study will contribute to develop the energy
efficient-hydrogen gas heaters for practical applications including hydrogen
exchangers, PEMFC applications, hydrogen gas turbines, chemical mixing pro-
cesses and hydrogen gas dryers in hydrogen industry.
Keywords Entropy generation Hydrogen Curved annular ducts Laminar flow
5.1 Introduction
Recently, efficiently and effectively use of hydrogen and its technologies has been
an important expectation for energy consumers as well as energy producers and
distributors in energy sector. The key factor creating this expectation is to ensure a
H. Kucuk (*) U. Akbulut A. Midilli

Department of Mechanical Engineering, Faculty of Engineering,
Recep Tayyip Erdogan University, 53100 Rize, Turkey
e-mail: [email protected]; [email protected];
[email protected]

64 H. Kucuk et al.
clean and sustainable environment for the future generations by reducing the
economical, environmental and social impacts of fossil fuel consumption. If so,
may hydrogen as an energy carrier and its technologies be a key tool to achieve this
target? In this regard, more and more researchers, investigators and scientists have
focused on the efficiently production and utilization of hydrogen and its technolo-
gies for better economic sustainability of hydrogen. On the other hand, it is clear
that hydrogen has been utilizing in some industrial and commercial applications
such as fuel cells, gas turbines, hydrogen burners, internal combustion engines, etc.
In these hydrogen systems, it is known that hydrogen gas flows through the pipes
and channels whose entropic effects are not first considered. On the other word,
because hydrogen has not been a cost effective fuel and energy carrier in our daily
life, yet, it may not be quite important or the main objective to determine the
thermodynamic behavior of hydrogen gas flowing throughout the pipes and chan-
nels whose shapes are different from each other. However, considering the recent
developments in hydrogen industry, it is obvious that, in the near future, hydrogen
will be used in double-pipe heat exchangers, air conditioning systems, cooling
systems, and drying machineries in addition to the above applications. Particularly,
for these engineering applications, the curved annular ducts may be preferred
because of their contribution to efficiently and effectively heating and/or cooling
processes in hydrogen energy systems [1, 2]. Thus, in case hydrogen gas flows in
the curved annular ducts, the researchers can face to face an important scientific
problem to determine and evaluate thermodynamic behavior of hydrogen gas under
various operating temperatures and pressures. In fact, this problem can be assumed
to be an industrial, technological and scientific problem by taking into consider-
ation the flow types which are laminar and turbulent flows. Therefore, laminar or
turbulent flow of hydrogen gas in the curved annular ducts should be considered for
better understanding its behavior in terms of entropy phenomena. If so, is it possible
to characterize laminar flow of hydrogen gas in a concentric curved annular channel
by the secondary flow created by centrifugal effects in the cross-section? In fact, the
nature of this phenomenon depends upon the Dean number, which is the ratio of the
Reynolds number to the square root of the dimensionless radius of curvature [1,
2]. Also, it is known that the secondary flows passages originate principally from
the interaction between the centrifugal force, the pressure gradient, and the viscous
forces [1, 2]. Thus, in case of hydrogen flow in the ducts, the secondary flow motion
in the flow field of hydrogen gas may enhance heat transfer to hydrogen gas from
the heating element while it may induce pressure drops in flow field, which may be
quite important contribution to improve hydrogen flow system for hydrogen based
heating applications in the future. In the scope of this work, a detailed literature
review has been performed. It is noticed that many works have been mostly
concentrated, and numerically and/or experimentally conducted on the heat transfer
and fluid flow in curved annular duct with rectangular or circular cross section [1
7]. Second law analysis or entropy generation studies have been studied by many
researchers in different shaped-channels in the literature [822]. Moreover, in these
studies, air has been generally used as fluid. However, in this paper, we focused on
entropy generation of both hydrodynamically and thermally fully developed
5 Entropy Generation of Hydrogen Flow in a Curved Annular Duct 65
laminar flow of hydrogen gas under various operating pressures and temperatures in
concentric curved annular ducts with rectangular cross section. This lack of infor-
mation is the motivation for this work. In this regard, the overall entropy generation
in the whole flow field has been analyzed. The effects of Dean number and
operating pressure and temperatures on entropy generated from fluid flow and
heat transfer have been investigated in detail. In terms of the scientific and indus-
trial benefits, this study aims to help
understand the main concepts and issues about entropic behavior of hydrogen
gas in a concentric curved annular ducts with rectangular cross section,
provide the researchers and scientists some detailed information on entropy
generation of hydrogen flow in a concentric curved annular ducts with rectan-
gular cross section due to the irreversibilities caused by fluid flow and heat
transfer,
introduce the effect of operating pressure and temperature on entropy generation
through the hydrogen gas flow in a concentric curved annular ducts with
rectangular cross section,
find out the effect of centrifugal force created by curvature on entropy generation
resulting from fluid flow and heat transfer.
5.2 Modeling
5.2.1 Problem Statement
The problem undertaken in this study is to numerically investigate the entropy

generation of both hydrodynamically and thermally fully developed laminar flow of
hydrogen gas under various operating pressures and temperatures in concentric
curved annular ducts with rectangular cross section. The physical configuration and
the coordinate system of the problem are illustrated in Fig. 5.1.
5.2.1.1 General Assumptions
In order to numerically investigate the entropic behavior of hydrogen gas flow in a

concentric curved annular ducts with rectangular cross section the following gen-
eral assumptions should be taken into consideration.
Steady-state, hydrodynamically and thermally fully developed, compressible
laminar hydrogen gas flow.
The core wall temperature which is hot (Ti Th) and the channel wall temper-
ature which is cold (To Tc) are constant.
Radius of curvature (R) is large compared with the channel dimensions (R
+ x R) [1, 2, 2327].
66 H. Kucuk et al.
y To=Tc
Ti=Th
z
Ti a
b
To x
b
R
Flow
Fig. 5.1 Problem geometry and coordinate system
By taking into consideration the compressibility factor of hydrogen gas, the

physical properties of this gas depending on the operating pressures and tem-
peratures have been computed by taking the data from the Standard Reference
Data Program of National Institute of Standards and Technology (NIST).
5.2.1.2 Governing Equations and Boundary Conditions
The governing equations describing the continuity, momentum and energy equa-
tions, and the required boundary conditions in a concentric curved annular ducts
with rectangular cross section can be concluded as:
Continuity equation describing steady-state, hydrodynamically and thermally
fully developed, compressible laminar flow
u v u
0 5:1
x y Rx
Momentum equations describing steady-state, hydrodynamically and thermally

fully developed, compressible laminar flow
!
2 2
uu vu w2 p u u 1 u u

x y Rx x x2 y2 R x x R x2
5:2
!
2 2
uv vv p v v 1 v
5:3
x y y x2 y2 R x x
uw vw uv R p

x y Rx R x z
!
2 2
w w 1 w w
5:4
x2 y2 R x x R x2
Energy equation describing steady-state, hydrodynamically and thermally fully

developed, compressible laminar flow

cp uT cp vT R cp wT

x y R x z
" #
2 2
kT kT 1 kT
5:5
x2 y2 R x x
The model neglects all terms of the order 1/R and 1/R2, with the exception of the
centrifugal force term [1, 2, 2327]. Considering hydrogen gas flow, the equations
are subjected to the following boundary conditions at the channel and core walls of
the concentric curved annular duct with rectangular cross section:
u v w 0, To Tc and Ti Th 5:6
In the fully developed hydrogen gas flow, the pressure gradient varies only in the
cross-section of the concentric curved annular duct. Therefore, the axial pressure
gradient (P/z) given in Eq. (5.4) remains constant [1, 2, 23, 28, 29, 35, 36]. The
axial temperature gradient (T/z) presented in Eq. (5.5) is assumed to be zero
because of thermally fully developed flow under axially and peripherally constant
wall temperature boundary condition [30, 31, 35, 36]. In order to perform the
numerical solution the physical properties of hydrogen gas under various operating
pressures and temperatures in the concentric curved annular duct with rectangular
cross section have been computed by using Standard Reference Data Program of
National Institute of Standards and Technology (NIST).
5.2.2 Numerical Solution Procedure
The Eqs. (5.1)(5.5) are approximated with finite difference equations by the
control volume-based finite difference method for the dependent variables, u, v,
w and T. The convection and diffusion terms are discretized by using the upwind
scheme and the central difference scheme, respectively. The finite difference
68 H. Kucuk et al.
equations for the dependent variable of interest are solved by ADI (Alternating-
Direction Implicit) method [32]. This method uses the Tri-Diagonal Matrix Algo-
rithm, TDMA, making successive sweeps over the computational field. Because the
pressure-correction equation is a Poisson equation, Alternating-Direction Implicit
solution of the difference equations is replaced by the Stones solution method
[33]. A staggered grid system is employed in this study and the solutions are
obtained by an iterative scheme. Iteration is repeated until the residuals in each
equation are small enough and the relaxation factor is taken 0.5, 0.5, 1, 0.7 and 0.45
for u, v, w, T and P, respectively. To check the validity of the numerical results,
grid-independent study has been performed and a uniform grid system of 100 100
has been chosen for all the cases in this study.
After numerically determining the velocity and the temperature fields during the
hydrogen gas flow in the concentric curved annular duct with rectangular cross
section, the volumetric entropy generation due to the heat transfer irreversibility
00 0 00 0
(ST ) and the fluid frictional irreversibility (SP ) can be calculated by the following
equations [8, 9, 14, 3436]:
000 k
ST jT j2 5:7
T2

000 u v u
SP 5:8
T y x y
Considering Eqs. (5.7) and (5.8), total volumetric entropy generation of hydro-
gen gas in the flow field can be obtained to be
000 000 00 0
Sgen ST SP 5:9
0 00 00 0
According to Bejan [34], the ratio of SP and ST is defined as the irreversibility
distribution ratio, :
000
SP
000 5:10
ST
Bejan number (Be) proposed by Paoletti et al. [37] is a parameter that describes
the contribution of heat transfer entropy generation on overall entropy generation,
which is defined as
00 0
S
Be 000T 5:11
Sgen
The range of Be is from 0 to 1; Be 0 and Be 1 are two limiting cases

representing the irreversibility is dominated by fluid friction and heat transfer,
respectively.
For evaluation of the entropy generation in whole hydrogen gas flow field in the
concentric curved annular duct with rectangular cross section, the average entropy
00 0 0 00 00 0
generation rates, SP;ave , ST;ave , Sgen;ave , are defined by

000 1 000
SP, ave SP dxdy 5:12
A

00 0 1 00 0
ST , ave ST dxdy 5:13
A

00 0 1 000
Sgen, ave Sgen dxdy 5:14
A
Average irreversibility distribution ratio (ave) and average Bejan number

(Beave) are defined in Eqs. (5.15) and (5.16) as fallows,
000
SP, ave
ave 00 0 5:15
ST , ave
000
ST , ave
Beave 000 5:16
Sgen, ave
The average velocity of hydrogen gas is calculated as

1
wave wdxdy 5:17
A
The Reynolds number is given as
wave Dh
Re 5:18

The Dean number is defined as fallows

r
Dh
De Re 5:19
R
The entropy generation of hydrodynamically and thermally fully developed hydro-

gen gas flow in the concentric curved annular duct with rectangular cross section
under various operating temperatures and pressures has been numerically studied
by taking into consideration the above general assumptions. The numerical solu-
tions whose validation was previously presented in the literature [2, 26] have been
70 H. Kucuk et al.
1e4
1e5
1e6 Tcw=50C
1e7
1e8
S'''P,ave[W/(m3.K)]
1e9
1e10
1e11
1e12
1e13 P=0.101325 MPa
1e14 P=1 MPa
1e15 P=10 MPa
1e16 P=40 MPa
1e17 P=70 MPa
1e18 P=100 MPa
1e19
1 10 100 1000
De
Fig. 5.2 The variation of average volumetric entropy generation due to the fluid flow with Dean
number; Tcw 50 C
applied for hydrogen gas flow in this duct. The solutions for hydrogen gas flow have
been performed by taking into account the following parameters: (1) the Dean
number ranging from 2.3 to 202.9, (2) the annulus dimension ratio a/b 5.5, (3) the
radius of curvature of R 10 m, (4) the core wall temperature of 50 and 80 C,
(5) the duct walls temperature of 25 C.
The variation of average volumetric entropy generation resulting from hydrogen
gas flow computed from Eq. (5.12) is given in Figs. 5.2 and 5.3 for 50 C and 80 C
of core wall temperatures depending on Dean number, respectively. It is seen that
the volumetric entropy generation due to hydrogen gas flow is very low in concen-
tric curved annular duct under constant wall temperature boundary condition for
laminar flow of hydrogen gas because of very low gradient of u and v velocities (see
Eq. (5.8)) occurring on the cross-section. At the lowest Dean number, entropy
generation because of hydrogen gas flow is almost zero for each core wall temper-
ature when P 100 MPa. When Dean number increases the entropy generation
resulting from hydrogen gas flow increases because of curvature creating centrif-
ugal force. Centrifugal force causes the secondary flows of hydrogen gas, which are
increasing the friction, in the cross-section of the concentric curved annular duct
[1]. Also, it is observed that when the operating pressure decreases the volumetric
entropy generation due to hydrogen gas flow increases because as operating pres-
sure decreases the density of hydrogen gas decreases and the hydrogen gas mole-
cules rapidly move so the friction increases in the cross-section of the channel.
However, when the core wall temperature increases the volumetric entropy gener-
ation resulting from hydrogen gas flow slightly increases.
The variations of average volumetric entropy generation caused by heat transfer
are shown Figs. 5.4 and 5.5 and distributions of average total volumetric entropy
1e4
1e5
1e6 Tcw=80C
1e7
1e8
S'''P,ave[W/(m3.K)]
1e9
1e10
1e11
1e12
1e13
P=0.101325 MPa
1e14 P= 1 MPa
1e15 P= 10 MPa
1e16 P= 40 MPa
1e17 P= 70 MPa
1e18 P= 100 MPa
1e19
1 10 100 1000
De
Fig. 5.3 The variation of average volumetric entropy generation due to the fluid flow with Dean
number; Tcw 80 C
0.4
P=0.101325 MPa
P=1 MPa
0.3 P=10 MPa
P=40 MPa Tcw=50C
S'''T,ave[W/(m3.K)]
P=70 MPa
P=100 MPa
0.2
0.1
0.0
0 50 100 150 200 250
De
Fig. 5.4 The variation of average volumetric entropy generation due to the heat transfer with
Dean number; Tcw 50 C
generation are presented in Figs. 5.6 and 5.7 for 50 C and 80 C of core wall
temperature, respectively. Total volumetric entropy generation is equal to sum of
volumetric entropy generation resulting from hydrogen gas flow and heat transfer
(see Eq. (5.9)). As entropy generation due to hydrogen gas flow is too small, the
72 H. Kucuk et al.
0 .4
P= 0 .1 0 1 3 2 5 M P a
P= 1 M Pa
P= 10 M Pa
0 .3 P= 40 M Pa
S '''T , a v e [W/(m3.K )]
P= 70 M Pa
P= 100 M Pa
0 .2
Tc w= 80C
0 .1
0 .0
0 50 100 150 200 250
De
Fig. 5.5 The variation of average volumetric entropy generation due to the heat transfer with
Dean number; Tcw 80 C
0 .4
P = 0 .1 0 1 3 2 5 M P a
P=1 M Pa
0 .3 P=10 M Pa Tc w= 50C
S '''g en ,av e[W/(m3.K )]
P=40 M Pa
P=70 M Pa
P=100 M Pa
0 .2
0 .1
0 .0
0 50 100 150 200 250
De
Fig. 5.6 The variation of average total volumetric entropy generation with Dean number;
Tcw 50 C
entropy generation due to heat transfer is almost equal to total entropy generation
(see Figs. 5.4, 5.5, 5.6, and 5.7). Because of high temperature gradient, the entropy
generation resulting from heat transfer creates all entropy generation in the cross-
section of curved annular square channel under constant wall temperature boundary
0.4
P=0.101325 MPa
P=1 MPa
0.3 P=10 MPa
P=40 MPa
S'''gen,ave[W/(m3.K)]
P=70 MPa
P=100 MPa
0.2
Tcw=80C
0.1
0.0
0 50 100 150 200 250
De
Fig. 5.7 The variation of average total volumetric entropy generation with Dean number;
Tcw 80 C
condition for laminar flow of hydrogen gas. As seen in Figs. 5.4, 5.5, 5.6, and 5.7,
both entropy generations increase when Dean number increase because of second-
ary flows of hydrogen gas. Also, it is seen that when the operating pressure
increases total volumetric entropy generation and entropy generation due to heat
transfer highly increases because as the operating pressure increases the thermal
conductivity of hydrogen gas increases (see Eq. (5.7)). Moreover, it seems that
when the temperature of core wall increases the entropy generation due to heat
transfer and total entropy generation highly increases because high temperature
gradient occurs with increasing of hydrogen gas temperature in the cross-section of
curved annular duct.
The variation of average irreversibility distribution ratio is illustrated as in
Figs. 5.8 and 5.9 for 50 C and 80 C of core wall temperatures, respectively.
It is seen that the irreversibility distribution ratio is very low so, the effect of
volumetric entropy generation resulting from hydrogen gas flow can be neglected
as compared with volumetric entropy generation due to heat transfer in concentric
curved annular ducts under constant wall temperature boundary condition for
laminar flow of hydrogen gas. Also, it is observed that irreversibility distribution
ratio increases when Dean number increases. It can be said that the increase of
entropy generation due to hydrogen gas flow is higher than that of entropy gener-
ation due to heat transfer when Dean number increases. Moreover, the rise of
friction with curvature creating centrifugal force is higher than that of heat transfer
in curved annular duct for fully developed laminar flow of hydrogen gas. However,
it is seen that when the operating pressure decreases the irreversibility distribution
74 H. Kucuk et al.
1e+0
1e1
1e2 Tcw=50C
1e3
1e4
1e5
1e6
1e7
ave
1e8
1e9
P=0.101325 MPa
1e10
P=1 MPa
1e11 P=10 MPa
1e12 P=40 MPa
1e13 P=70 MPa
1e14 P=100 MPa
1e15
1 10 100 1000
De
Fig. 5.8 The variation of average irreversibility distribution ratio with Dean number; Tcw 50 C
1e+0
1e1
1e2 Tcw=80C
1e3
1e4
1e5
1e6
1e7
ave
1e8
1e9
P = 0 .1 0 1 3 2 5 M P a
1e10 P=1 M Pa
1e11 P=10 M Pa
1e12 P=40 M Pa
1e13 P=70 M Pa
1e14 P=100 M Pa
1e15
1 10 100 1000
De
Fig. 5.9 The variation of average irreversibility distribution ratio with Dean number; Tcw 80 C
ratio highly increases in the curved annular duct cross-section. Also, as the core
wall temperature increases the irreversibility distribution ratio slightly decreases.
The average Bejan number given in Eq. (5.16) is almost equal to 1 for all annulus
operating pressures and temperatures and Dean numbers. It can be said that the
volumetric entropy generation resulting from heat transfer irreversibility of
hydrogen gas is completely dominant on the cross-section of concentric curved

annular ducts under constant wall temperature boundary condition for laminar flow
of hydrogen gas flow. When Dean number increases and both operating pressure
and core wall temperature decrease the Bejan number decreases.
5.4 Conclusions
The entropy generation of hydrogen gas flow for hydrodynamically and thermally
fully developed, steady, compressible laminar flow in the concentric curved annular
duct was numerically investigated under constant wall temperature boundary
condition.
The effect of hydrogen gas frictional irreversibility is highly lower than heat
transfer irreversibility of hydrogen gas on volumetric entropy generation.
The effect of volumetric entropy generation resulting from hydrogen gas flow
can be neglect as compared with volumetric entropy generation due to heat transfer
in concentric curved annular ducts under constant wall temperature boundary
condition for laminar flow of hydrogen gas.
When Dean number, operating pressure and core wall temperature increases the
total volumetric entropy generation increases. Thus, it is expected that this study
will contribute to develop the energy efficient-hydrogen gas heaters for practical
applications including hydrogen exchangers, PEMFC applications, hydrogen gas
turbines, chemical mixing processes and hydrogen gas dryers in hydrogen industry.
Nomenclature
a Width or height of the curved channel, m

A Duct cross section area, m2
b Width or height of core, m
Be Bejan number
dP/dz Axial pressure gradient, Pa m1
dT/dz Axial temperature gradient, K m1
De Dean number
Dh Hydraulic diameter, m
k Thermal conductivity, W m1 K1
P Pressure, Pa
Re Reynolds number
R Radius of curvature of a curved channel, m
SP
0 00
Volumetric entropy generation rate due to friction, W m3 K1
ST
0 00
Volumetric entropy generation rate due to heat transfer, W m3 K1
0 00
Sgen Total volumetric entropy generation rate, W m3 K1
76 H. Kucuk et al.
T Temperature, K
u, v, w Velocity components in x-, y- and z-directions, m s1
x, y, z Cartesian coordinates, m
Greeks
Thermal diffusivity, m2 s1
Dynamic viscosity, kg m1 s1
Kinematic viscosity, m2 s1
Density, kg m3
Irreversibility distribution ratio
Subscripts
ave Average
c Cold
h Hot
i Inner
o Outer
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Chapter 6
Influence of Turbine Inlet Temperature
on the Efficiency of Externally Fired Gas
Turbines
Paulo Eduardo Batista de Mello, Sergio Scuotto,

Fernando dos Santos Ortega, and Gustavo Henrique Bolognesi Donato
Abstract Many researchers have considered externally fired gas turbines (EFGT)
as an option for the implementation of biomass-fueled power plants. The EFGT
cycle with regeneration or the gas-vapor combined cycle using one EFGT, also
known as externally fired combined cycle (EFCC), could lead to significant effi-
ciency improvements if compared to current technology used for power generation
from biomass. This work presents one improved numerical model used for the
simulation of EFGT cycle. The results were obtained with a numerical model for
the EFGT cycle coupled with a model for the high temperature heat exchanger
(HTHE) that is necessary for the cycle implementation. The model of the heat
exchanger is based in correlations for the Colburn and friction factors, obtained
with CFD simulations. In previous work, the model included only laminar regime
for the heat exchanger. The present work extends the correlations that describe the
behavior of the heat exchanger to turbulent and transitional regimes. The updated
model of the EFGT cycle is used to investigate the influence of the turbine inlet
temperature over the cycle efficiency. The results obtained confirm that the pressure
drop caused by the heat exchanger is one important parameter that influences the
cycle efficiency. The feasibility of the EFGT cycle is discussed taking into consid-
eration that the highest temperature in EFGT cycle is not in the turbine inlet, but in
the high temperature heat exchanger.
Keywords High temperature heat exchangers Turbine inlet temperature EFGT

cycle
P.E.B. de Mello (*) S. Scuotto F.d.S. Ortega G.H.B. Donato

Centro Universitario da FEI, Av. Humberto de Alencar Castelo Branco, 3972,
CEP 09850-901, Sao Bernardo do Campo, SP, Brazil
e-mail: [email protected]; [email protected]; [email protected]; [email protected]

80 P.E.B. de Mello et al.
6.1 Introduction
Externally fired gas turbines (EFGT) cycle has been considered as an option for the
implementation of biomass-fueled power plants. Its implementation, with adequate
efficiency, depends on a high temperature heat exchanger. This component is the
main obstacle for the implementation of EFGT because other components of the
cycle are standard. The components of EFGT cycle can be seen in Fig. 6.1.
The externally fired gas turbine (EFGT cycle) has been implemented experi-
mentally using metallic high temperature heat exchangers [1, 2]. The use of
metallic heat exchangers for the implementation of EFGT cycle introduces a
serious limitation: the turbine inlet temperature (TIT) must be maintained lower
than 750 C. This temperature limitation has negative impact over the cycle
efficiency. Current technology used for manufacturing of metallic high temperature
heat exchangers imposes one superior limitation for the maximum temperature, that
should not exceed 800 C. In Fig. 6.1 is possible to observe that the maximum
temperature in EFGT is not in the turbine inlet, but after the combustion chamber.
As a consequence, the turbine inlet temperature (TIT) should not exceed 750 C
when a metallic heat exchanger is used.
The use of ceramics for the construction of the high temperature heat exchanger
has been considered in the past. More recently, the use of plate and fin or OSF
(offset strip fin) heat exchangers have been proposed as one alternative [3] for the
construction of HTHEs using ceramics. The geometry of these heat exchangers is
considerably different than current geometries used for metallic heat exchangers
and structural integrity is a concern due to the brittle behavior of ceramics com-
bined to its intrinsic microcracks distribution. The thermal design of heat
exchangers depend on correlations for the prediction of heat transfer and pressure
Fig. 6.1 Arrangement of the EFGT components

6 Influence of Turbine Inlet Temperature on the Efficiency of Externally. . . 81
drop, that are not available for the geometries proposed for ceramic HTHEs.
Correlations for the prediction of Colburn and friction factors for one OSF geom-
etry of ceramic heat exchanger have been obtained by Monteiro and de Mello [4]
using CFD simulations in the laminar regime.
Numerical models for the simulation of EFGT cycle are capable of investigating
the influence of some parameters over cycle performance. Turbine inlet tempera-
ture and pressure drop caused by the heat exchanger are investigated numerically by
Kautz and Hansen [5] but without considering that these two parameters are
coupled, for a given heat exchanger. In a recent work [6], one model that predicts
the effectiveness of the heat exchanger and couples it to pressure drop is presented.
This kind of model is capable of linking the thermodynamic model of the cycle with
the HTHE model and gives one good estimative of the heat exchanger dimensions.
Experimental works related to ceramic heat exchangers are rare. A good review
about new technological development in this area is presented by Sommers
et al. [7]. Experiments with one heat exchanger composed of plates can be found
in Alm et al. [8] but the authors were not particularly interested in high temperature
applications. One ceramic heat exchanger for high temperature applications
constructed with plates is investigated experimentally by Kee et al. [9] using one
geometrical configuration that resembles the geometry considered in current study.
However, the dimensions of the fins, channels and the entire heat exchanger are
much higher in current work, due to the application considered. The pressure drop
imposed by the heat exchanger in one EFGT cycle deserves special attention and
requires one geometrical configuration specially developed for the application.
6.2 Objectives
The objective of the present work is to improve a previous HTHE model proposed
by this research group for the simulation of externally fired gas turbines (de Mello
and Monteiro [6]). The model will be improved extending the correlations that
predict heat transfer and pressure drop in the heat exchanger, including the transi-
tional and turbulent regimes. The correlations were obtained using CFD
simulations.
The model for the EFGT cycle, with the detailed model for the ceramic heat
exchanger, is implemented using EESEngineering Equation Solver. The results
obtained with simulations with the improved model show the influence of turbine
inlet temperature (TIT) over the cycle efficiency.
6.3 Thermodynamic Model of the EFGT Cycle
The arrangement of the components considered in the model is presented by

Fig. 6.2. The main simplification conducted is that one single ceramic heat
exchanger is used in the cycle, in contrary to a slightly more complex configuration
presented in Fig. 6.1 that used the ceramic heat exchanger only for the high
temperature part of the system. Only the pressure drop caused by the ceramic
heat exchanger is included in the model. Air standard assumptions are used in the
modeling (air specific heat is not considered as a constant).
Under these assumptions, work consumed by the compressor WC and work
produced by the turbine WT can be obtained from Eqs. (6.1) and (6.2). The heat
supplied in the combustion chamber is obtained from Eq. (6.3). Enthalpy at the
compressor outlet is determined considering its isentropic efficiency, and the same
approach is conducted for the turbine.
W C m_ air h2 h1 6:1
W T m_ air h3 h4 6:2
Qcc m_ exaust h5 h4 6:3
The net electric efficiency is calculated from Eq. (6.4), including the efficiency
of the electric generator.
Fig. 6.2 Arrangement of the EFGT components considered in the simulation

W net EG m_ air h3 h4 h2 h1 EG

el 6:4
Qcc m_ exaust h5 h4
The ceramic heat exchanger has a strong influence over the EFGT cycle and this
influence is considered in the model by the effectiveness and pressure drop in each
side. The effectiveness of the heat exchanger is obtained from its dimensions and
Colburn correlations, discussed in the next section. With the heat exchanger
effectiveness the heat exchanger outlet conditions (temperatures and enthalpies)
can be determined using Eq. (6.5), remembering that the mass flow rates are almost
equal in each side of the heat exchanger.
qact h 3 h2
6:5
qmax h5 h2
The heat exchanger correlations for the friction factor are used for the determi-
nation of pressure drop in each side of the heat exchanger so that Eqs. (6.6) and
(6.7) can be used for the determination of pressure in positions 3 and 5, shown in
Fig. 6.2, remembering that position 6 is opened to atmosphere and pressure in
position 2 can be determined from the pressure ratio produced by the compressor
C .
Phot P5 P6 6:6
Pcold P2 P3 6:7
It is important to note that the pressure drop produced by the ceramic heat
exchanger has the effect of decreasing the pressure ratio in the turbine, for a
given pressure ratio in the compressor. These pressure ratios are defined by
Eqs. (6.8) and (6.9).
P2
C 6:8
P1
P3
T 6:9
P4
Simulations conducted in the current work use data from the commercial micro
gas turbine Turbec T100 (ABB/Volvo). The data is available in Kautz and Hansen
[5] and is repeated herein in Table 6.1. Pressure ratio shown in Table 6.1 is imposed
to the compressor (C 4.5) while turbine pressure ratio is derived from pressure
drop caused by the heat exchanger.
Table 6.1 Design data for Turbec T100 micro gas-turbine, according to [5]
Net electric output 100 kW
Thermal power input 333 kJ/s
Turbine power 282 kW
Compressor power 159 kW
Net electric efficiency 30.0 %
Pressure ratio 4.5
Compressor isentropic efficiency 0.768
Turbine isentropic efficiency 0.826

Gas-temperature turbine inlet (T3 in Fig. 6.2) 950 C

Exhaust-gas temperature (T4 in Fig. 6.2) 650 C

Gas-temperature after recuperator (T6 in Fig. 6.2) 270 C
Mass flow, air 0.7833 kg/s
Mass flow, exhaust-gas 0.79 kg/s
6.4 Model for the High Temperature Heat Exchanger

(HTHE)
Due to the lack of experimental data for the ceramic heat exchanger considered in
current work, CFD simulations were used to obtain its heat transfer and pressure
drop behavior. The configuration is similar to the one proposed by Schulte-
Fischedick et al. [3] and is composed by ceramic plates, as shown in Fig. 6.3.
Each plate presents complex geometry, especially considering that it is made of
ceramics, and requires appropriate manufacturing processes. The typical geometry
of one of the plates if shown in Fig. 6.4 where it is possible to see the many fins used
to enhance heat transfer achieving one more compact heat exchanger.
The most appropriate form to characterize the heat exchanger behavior is the use
of Colburn and friction factor correlations, as a function of Reynolds number, as
proposed by Kays and London [10]. The heat exchanger is not simulated entirely,
but only one small part of it. The symmetry of the flow in the finned region of the
plate is used to limit the extension of the calculation domain and maintain compu-
tational effort at a reasonable level. This approach was used by Monteiro and de
Mello [4], who conducted the validation of the CFD simulations comparing the
numerical results with experimental data for finned flat tubes geometry that present
fluid flow characteristics very similar to the ceramic offset strip fin heat exchanger
proposed by Schulte-Fischedick et al. [3] and used in the current work.
Monteiro and de Mello [4] present one detailed discussion about the CFD
simulations necessary to characterize the behavior of the ceramic heat exchanger
that is not repeated herein. The discussion includes the solution procedure, speci-
fication of boundary conditions, the validation simulations using data for finned flat
tubes, the grid refinement study and geometrical details about the ceramic heat
exchanger. In the present work, the same approach was used, but with the addition
Fig. 6.3 Ceramic heat exchanger composed by plates
Fig. 6.4 One plate of a ceramic OSF (offset strip fins) heat exchanger
of one transitional model available in CFX 12, to extend the correlations to an

increased Reynolds range.
The performance of the transitional model available in CFX 12 was investigated
by Abraham et al. [11], where details about the governing equations can be found.
The performance of the model was investigated for straight pipe geometry using
different boundary conditions: uniform heat flux and uniform wall temperature.
After comparing to many different experiment sources, Abraham et al. [11] con-
cluded that the transitional model is capable of predicting the average heat transfer
with good accuracy, but presents small deviations from experiments (25 %) only in
the local heat transfer of the development region. The transitional model requires
18 % extra computational effort compared to fully turbulent models, for the same
domain and grid, but the grids need to be more refined, in order to obtain y+ as close
as possible to 1 close to the domain walls.
Fig. 6.5 Colburn and friction factor as a function of Reynolds number: correlations obtained for
the laminar (Eqs. (6.10) and (6.11)) and turbulent regimes (Eqs. (6.12) and (6.13)) compared to
CFD simulations
The numerical results obtained with the transitional model for the ceramic heat
exchanger geometry are summarized by Fig. 6.5. In summary, the mass flow rate
and wall temperature are imposed as boundary conditions. The results obtained
with the CFD simulation are the pressure drop and outlet temperature. The process
needed to obtain the Colburn and friction factors from pressure drop and outlet
temperature is describe in detail in Monteiro and de Mello [4] and is not repeated
here.
The results of Fig. 6.5 show a clear transition of regime for Reynolds number
between 2,000 and 3,000. Laminar regime can be well described by Eqs. (6.10) and
(6.11), while turbulent regime is well described by Eqs. (6.12) and (6.13). The
numerical results obtained for Reynolds 2,000 and 3,000 are not in agreement with
the correlations but asymptotically approach the correlations.
jlaminar 0:9109Re0:624 6:10

0:576
f laminar 1:9126Re 6:11
0:265
jturbulent 0:0487Re 6:12
Fig. 6.6 Colburn and friction factor as a function of Reynolds number: correlations (Eqs. (6.14)
and (6.15)) valid for the laminar, turbulent and transitional regimes compared to CFD simulations
f turbulent 0:1388Re0:237 6:13
The implementation of the heat exchanger model in the EFGT cycle is easier if
one unique correlation for the Colburn and friction factors, valid for any Reynolds
regime, is available. The solution for this problem was to use the approach proposed
by Manglik and Bergles [12], that solved this problem with good results. The details
related to procedure needed to obtain the coefficients of the wider Reynolds range
correlation proposed by Manglik and Bergles [12] is not discussed in their work, but
can be deduced with some effort.
The correlations given by Eqs. (6.14) and (6.15) are the final correlations valid
for any Reynolds regime and the coefficients in these correlations are obtained
exclusively from the coefficients of Eqs. (6.10)(6.13), so that no additional curve
fitting is required.
0:1
j 0:9109Re0:624 1 1:7 1013 Re3:6 6:14

3:4 0:1
f 1:9126Re0:576 1 3:9 1012 Re 6:15
The graph of Fig. 6.6 shows that the correlations are capable of reproducing the
Colburn and friction factors obtained with CFD simulations over the entire
Table 6.2 Data of the ceramic heat exchanger geometry

Flow passage hydraulic diameter (4rh) 4.635 mm
Fin length in flow direction 20.0 mm
Fin width 5.0 mm
Plate spacing (and fin height) (b) 5.0 mm
Plate thickness (a) 5.0 mm
Total heat transfer area/volume between plates 431 m2/m3
Fin area/total area 0.424
0.125
108 m2/m3
Reynolds range considered. The highest deviation is observed for the friction factor
in the transitional regime and is lower than 8 % for Re 2,000.
Another point to note from the work of Manglik and Bergles [12] is that their
correlations include geometrical parameters of the offset strip fins. It was possible
to include the geometrical parameters in the correlations because the experimental
data related to offset strip fins was abundant. Of course, it is possible to conduct one
series of CFD simulations and achieve the same results, but we consider that some
experimental validation with the actual ceramic heat exchanger should be
performed in order to guarantee the performance of the CFD simulations first.
The correlation for the friction factor is used to obtain the pressure drop in each
side of the heat exchanger, using Eq. (6.16).

G2 vi vo V vm
P 1 2 1 f 6:16
2 vi Afr vi
Details of the geometry of the fins are needed to obtain parameters (ratio of
total transfer area of one side of exchanger to total exchanger volume) and (ratio
of free-flow to frontal area of one side of exchanger). The same plate design and fin
arrangement is used in both sides of the heat exchanger so that and are equal in
both sides. Table 6.2 presents the parameters related to the heat exchanger geom-
etry simulated.
Methodology proposed by Kays and London [10] is used to define Reynolds
number (Eq. 6.17) and to conduct all the calculations related to the heat exchanger.
G Dh m_ Dh
Re 6:17
Afr
The effectiveness of the heat exchanger is evaluated in a similar way, from the
Colburn factor. In summary, Colburn factor is used to obtain the overall heat
transfer coefficient U, including the effects of thermal resistance of the ceramic
wall and the fin efficiency. For a given heat transfer area and mass flow rate in
the heat exchanger the number of transfer units NTU can be determined.
One appropriate relation, valid for counter-flow configurations, is used to obtain the
effectiveness from the NTU. The details can be found in de Mello and
Monteiro [6].
The highest temperature in EFGT cycle is not in the turbine inlet (position 3, in
Fig. 6.2), but in the high temperature heat exchanger, just after the combustion
chamber (position 5, in Fig. 6.2). For a given ceramic material used for the
construction of the heat exchanger, it is reasonable to consider one maximum
temperature that should not be exceeded in order to maintain structural integrity.
The first round of simulations considers that T5, the highest temperature in the heat
exchanger, is maintained at 1,100 C. At the same time, the finned length of the heat
exchanger L3 (shown in Figs. 6.3 and 6.4) is constant and equal to 1.5 m. The graph
in Fig. 6.7 shows the influence of the heat exchanger frontal area, determined by L1
and L2, over the net electric efficiency of the EFGT cycle and over TIT (T3). The
effectiveness of the heat exchanger increases with its volume (due to higher heat
transfer area), resulting in a higher T3 and higher net electric efficiency.
It is important to note that the increase in efficiency is not produced by higher
TIT only. One careful inspection on the turbine pressure ratio T reveals that the
increase in heat exchanger frontal area reduces pressure drop caused by the heat
exchanger. It can be deduced from Fig. 6.8, which shows that the value of turbine
pressure ratio T approaches C 4.5 when the heat exchanger volume is increased.
It is clear that the pressure drop produced by the heat exchanger has a pronounced
negative effect over the net electric work obtained with EFGT. For the conditions
simulated, the turbine pressure drop is 4.2 or bellow, when the heat exchanger
Reynolds number is higher than 1,300. It is clear that the plate-fin heat exchanger
configuration considered for the implementation of EFGT cycle should be used in
laminar regime. Otherwise, pressure drop caused by the heat exchanger will
compromise EFGT performance.
In EFGT cycle, structural integrity should be a concern for both the ceramic heat
exchanger and the turbine. As a result, turbine inlet temperature may be the main
limitation in certain cases. The second round of simulations considers that T3 (TIT)
should not be higher than 950 C, value that corresponds to operational conditions
of Turbec T100 micro gas-turbine, as shown in Table 6.1. As a consequence,
variations in the heat exchanger effectiveness would result in alteration on the
highest temperature in the heat exchanger T5. Again, the finned length of the heat
exchanger L3 (shown in Figs. 6.3 and 6.4) is constant and equal to 1.5 m.
The results obtained with this second round of simulations are shown in Fig. 6.9.
The increase in frontal area of the heat exchanger maintains the flow under laminar
regime reduces pressure drop imposed to the flow and increases the heat exchanger
effectiveness. The increased heat exchanger effectiveness has the advantage of
Fig. 6.7 Influence of the HTHE dimensions over net electric efficiency and T3 (TIT) when T5 is
fixed at 1,100 C
Fig. 6.8 Influence of the HTHE dimensions over turbine pressure ratio T, net electric work We
and heat input Qin, when T5 is fixed at 1,100 C
Fig. 6.9 Influence of the HTHE dimensions over net electric efficiency and T5 when T3 (TIT) is
fixed at 950 C
reducing the maximum temperature (T5), which contributes to establish less severe
operational conditions.
In previous work, de Mello and Monteiro [6] did not observed significant net
electric efficiency reduction due to pressure drop. In that work, the correlations that
described the heat exchanger behavior were valid for laminar regime only.
6.6 Final Remarks
In the present work we have extended the Reynolds range for the correlations of
friction and Colburn factors for a particular configuration of heat exchanger that
could be manufactured with ceramics, including transitional and turbulent regimes.
These correlations are essential for the performance prediction of the heat
exchanger. The investigation of fins geometry over the performance would be
one interesting result that would require the development of new correlations for
Colburn and friction factors, including geometrical parameters, as conducted by
Manglik and Bergles [12] for offset strip fin configuration. However, there are other
issues that should be investigated in parallel: manufacturing, structural integrity,
cost, durability, etc.
The next step that will be conducted by our research group is to manufacture one
ceramic heat exchanger with the geometry similar to the one shown in Fig. 6.4 and
test it. Preliminary investigation related to manufacturing technology of the heat
exchanger was conducted using one small plate with fins of 5 mm width, as shown
Fig. 6.10 Ceramic plate

constructed with alumina
using gelcasting technique
in Fig. 6.10. This plate was produced using the gelcasting technique and was
constructed with alumina (Al2O3). The tests suggest that careful drying of green
plates is critical in order to minimize warping and cracks. Besides, significant
improvements were achieved using osmotic drying [13]. The investigation has
shown that fins with 5 mm width are feasible and this dimension could be further
reduced in order to achieve higher compactness.
After the production of the plates, they must be joined in order to obtain the heat
exchanger. For this purpose, the surface of the plates must be firstly ground to
reduce their surface roughness and grant a good contact between each pair of plates.
The adhesion must seal completely the contact between each plate to avoid gas
leakage. This may be achieved by applying a thin layer of amorphous colloidal
silica suspension on each plate and heating this arrangement up to 1,200 C. At this
temperature, the silica reacts with alumina to form a layer of mullite, which is
completely bonded to both surfaces. As the silica layer is softened with heating, it
can relieve small strains by viscous flow, before forming mullite. This minimizes
thermomechanical stresses during the heating cycle.
Another serious concern is related to structural integrity against brittle fracture
and thermal fatigue. Since engineering ceramics present randomly oriented
microcracks, porosity and essentially brittle response, accurate characterization of
mechanical properties is mandatory. To better support the HTHE development, a
series of tests in the range 201,000 C are planned to obtain elastic moduli and
ultimate tensile and compressive strength as a function of temperature. All strength
data will be described using Weibull statistics and the weakest link theory, which
will guide design activities imposing low failure probability. The modified
Coulomb-Mohr failure criteria will be employed to properly investigate structural
integrity of the ceramic heat exchangers operating at high temperatures.
The construction of one experimental bench work to test the ceramic heat
exchanger operating at high temperature (around 1,000 C) was already started.
Flow rates in each side of the heat exchanger, ranging between 0.001 and 0.01 kg/s,
will be measured by turbine flow meters. Simulations indicate that one heat
exchanger with dimensions 120 120 350 mm will be sufficient to obtain heat
transfer of 4,000 kJ/s and effectiveness close to 70 %. The results obtained with the
experiments will be used to validate the simulation methodology used during
design stage.
As shown by the simulations presented in Sect. 6.5, the heat exchanger needed to
implement one 100 kWe EFGT is much bigger than the prototype to be tested in our
experimental bench work. We consider that the bench work is one important
intermediate step to validate the design methodology.
The viability of EFGT could also be questioned observing that one heat
exchanger of 1.5 m3 is needed for a system of 100 kWe. We consider that it is
too soon to attest the viability because the thermal performance of the ceramic heat
exchanger could be significantly improved using optimization procedures. In addi-
tion, the ceramic heat exchanger is only necessary for temperatures above 800 C.
Due to this, it is possible to use one more compact metallic heat exchanger in parts
of the cycle where temperature is bellow this limit, to reduce the size of the ceramic
heat exchanger, as shown in Fig. 6.1.
Acknowledgements The authors would like to acknowledge Centro Universitario da FEI and
Fundacao de Amparo a` Pesquisa do Estado de Sao Paulo (FAPESP) for the research support.
Nomenclature
a Plate thickness (m)

Afr Exchanger total frontal area (m2)
b Plate spacing (m)
Dh Hydraulic diameter (m)
f Friction factor
G Exchanger flow stream mass velocity (kg/s m2)
h Enthalpy (kJ/kg)
j Colburn factor
L1 Exchanger external core dimension perpendicular to the flow (m)
L2 Exchanger external core dimension perpendicular to the flow (m)
L3 Exchanger external core dimension in the flow direction (m)
mair Air mass flow (kg/s)
mexaust Exaust mass flow (kg/s)
NTU Number of transfer units
P Pressure (Pa)
q Heat transferred in recuperator (kJ/kg)
Qcc Heat supplied in combustion chamber (kJ/s)
Re Reynolds number
U Overall heat transfer coefficient (W/m2 K)
v Specific volume (m3/kg)
V Volume of the heat exchanger (m3)
We Electric net work output (W)

Wnet Mechanical net work output (W)
Greek Symbols
Ratio of total transfer area of one side of exchanger to total exchanger
volume (m2/m3)
Ratio of total transfer area of one side of exchanger to volume between plates
(m2/m3)
Effectiveness
EG Efficiency of electric generator
el Net electric efficiency
Dynamic viscosity (kg/m s)
C Pressure ration in compressor
T Pressure ration in turbine
Ratio of free-flow to frontal area of one side of exchanger
Subscript and Superscripts

act Actual
c Cold
f Fin
h Hot
max Maximum
min Minimum
References
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powered externally fired gas turbine systems. Renew Energy 35(5):913920
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ature plate-fin heat exchanger for EFCC processes. Appl Therm Eng 27(89):12851294
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exchanger evaluated using CFD simulations. Energy 45:489496
5. Kautz M, Hansen U (2007) The externally-fired gas-turbine (EFGT-cycle) for decentralized
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31:25192524
Chapter 7
Exergy and Exergo-Economic Based Analysis
of a Gas Turbine Power Generation System
Ali Mousafarash and Pouria Ahmadi
Abstract In this research study, energy, exergy and exergo-economic analysis of

Montazer Ghaem gas turbine power plant which is located near Tehran, capital city
of Iran is carried out. The results of this study reveal that the highest exergy
destruction occurs in the combustion chamber (CC), where the large temperature
difference is the major source of the irreversibility. In addition, the effects of the gas
turbine load variations and ambient temperature are investigated to see how system
performance changes: the gas turbine is significantly affected by the ambient
temperature which leads to a decrease in net power output. The results of the load
variation of the gas turbine show that a reduction in gas turbine load results in a
decrease in the exergy efficiency of the cycle as well as all the components. As was
expected, an increase in ambient temperature has a negative effect on the exergy
efficiency of the cycle, so this factor could be countered by using gas turbine air
inlet cooling methods. In addition, an exergo-economic analysis is conducted to
determine the cost of exergy destruction in each component and to determine the
cost of fuel. The results show that combustion chamber has the largest cost of
exergy destruction, which is in line with the exergy analysis.
Keywords Energy Exergy Efficiency Exergy destruction Exergoeconomic
7.1 Introduction
Power generation is a fundamental pillar of infrastructure for other industries and

for industrial growth and development. Rapid growth in demand for electricity in
certain countries is driving heavy investment in new power plants over the short
term. Gas turbine power plants present a prime option in the energy mix. Awareness
A. Mousafarash (*)
Faculty of Mechanical Engineering, Shahid Rajaee Teacher Training University (SRTTU),
Lavizan, Tehran, Iran
P. Ahmadi

98 A. Mousafarash and P. Ahmadi
of limited hydro-carbon resources, environmental and economic concerns, and

ever-increasing demand for electricity necessitate the design of optimal gas turbine
power plants in terms of technical and cost aspects. Exergy analysis is based on the
first and second laws of thermodynamics and makes it possible to characterize the
optimal analysis technique on energy systems as well as to identify energy levels
and thermodynamic adverse processes clearly in a system. This method is used to
describe different energy flows and contributes to reductions in several losses that
may occur in the system. Thermodynamics have been used for almost a century to
model energy systems, including advanced power plants. The first law of thermo-
dynamics is usually used to model a system; it cannot determine the source of
irreversibilities in the system under consideration. In energy systems analysis,
which is essentially based on the first law of thermodynamics, there is no difference
between various energy states. For instance, a thermal energy unit that has been
desorbed by a condenser in a steam turbine power plant is equal to one output work
unit from a turbine in the same power plant.
As a result, an analysis based on energy equilibrium may be misleading due to its
failure to provide information about internal losses in the system. For example,
analysis of energy in adiabatic systems like adiabatic compressors, combustion
chambers and or thermal converters may lead to a hasty conclusion that there is no
energy loss in this equipment. Nevertheless, even without adapting second law
techniques, an experienced designer knows that with respect to their capabilities in
feeding various processes and capacity for conversion into other forms of energy,
they have some different qualities. It is thus obvious that to conduct an efficiency
analysis of energy systems performance criteria must be devised for evaluating
thermodynamic efficiency. One may refer to the thermal efficiency of power cycles
and or yield coefficient of heat exchangers, as examples of performance criteria.
However, like energy analysis, such criteria are mainly based on the first law of
thermodynamics, where downgrade of energy quality is not considered. Similarly,
results obtained by these criteria may be interpreted only within the field of limited
processes, and many pieces of equipment and processes lack criteria of this kind.
For this reason, it seems that a thermodynamic concept in which the second law of
thermodynamics (downgrade of energy quality) is considered could be used with-
out limitation for conducting an effective analysis of all processes of energy
conversion.
The potential for conducting useful mechanical work by means of energy
consumption is the criterion of the exergy method for numerical evaluation of the
quality of different states of energy. A criterion that is formed according to the
second law of thermodynamics may be adapted for all energy conversion systems
and its result could be interpreted independently of the type of equipment. Exergetic
analysis is used to address the magnitude, place, numerical value and the reasons
for occurrence of thermodynamic inefficiencies; based on its results the efficiency
of the consuming systems and energy converter may be improved. In addition, by
adapting this analysis, one may remove the ambiguities that are created due to first
law analyses and criteria. In the next section of this paper, we will explain the
meaning and provide a history of exergy subjects, and detail their concept and
7 Exergy and Exergo-Economic Based Analysis of a Gas Turbine Power. . . 99
computation technique. In the following section, exergy analysis and its relation-
ships with the Montazer Ghaem gas turbine power plant are examined. Although
exergy is a new term, the primary evaluations on the rate of energy convertibility of
a system into work hark back to the time of definition and presentation of the second
law of thermodynamics. By publishing a paper in 1824, Sadi Carnot showed that the
conversion of thermal energy into mechanical work might be limited in thermal
machines. The essay was hailed as the first accurate numerical analysis of the
quality of different energy modes and the ability to convert them into each other.
Work potential and Maximum usable work from a certain amount of energy
was examined after the mathematical formulation of the second law in works by
Clausius, Thomson, Maxwell and especially Gibbs. For the first time, Gouy and
Stodola separately and clearly defined work potential in 1889 and 1898, respec-
tively. During the 1930s, attention was drawn toward the practical dimensions of
this concept, and industrial progress ensued. In the same year, by purposing some
essays, Bosnjakovic documented techniques of the second law of thermodynamics
to analyze energy systems. Subsequently, in 1956, Rant defined the work potential
of energy precisely and employed the term Exergy for the first time in denoting
this quantity. The 1980s and 1990s saw increasing attention and credibility being
lent to exergy analysis, and several conferences were held to support and develop
this field of applied thermodynamics. The continuum of papers inspired by these
conferences led to the documentation of the current forms of exergetic topics.
Many researchers including Kotas [1], Moran and Shapiro [2] conducted exergy
analyses for combined cycle power plants and calculated losses in different parts. In
an essay, Facchini et al. [3] carried out an exergy analysis of a combined cycle
power plant and concluded that the maximum losses occur inside the combustion
chamber, because of the great difference between the flame temperature and
operating fluid, and concluded that exergy analysis was a helpful concept for
comparing performance in gas turbine cycles. Looking at recent studies indicates
that they tried to improve efficiency and output power in these power plants. Bassily
[4] simulated and reduced losses for a triple pressure combined cycle power plant;
he took a recovery boiler with seven pinch points and examined the impact on them
of input temperature inside the gas turbine. His aim was to lower the temperature on
the pinch points. Sung and Kim [5] carried out an exergy analysis of a gas turbine
cycle at different loads and concluded that the chemical reactions that occurred in
the combustion chamber as well as different high temperatures between the flame
and operating fluid, would cause maximum losses in gas turbine cycles. Javadabadi
et al. [6] conducted an exergy analysis of the gas turbine cycle of a 116 MW power
plant and concluded that the impact of rising input temperature in gas turbine
turbines may improve total exergy efficiency of the gas turbine cycle, and would
reduce exergy losses. Similarly, they came to the result that maximum losses will
occur in the combustion chamber in a gas-fired power plant. Ahmadi et al. [7]
carried out an exergy analysis on a gas turbine power plant with input air as coolant
into a compressor (Fog System). Their results showed that although application of a
Fog System led to improvement in output power in the gas cycle, but it would
increase exergetic losses of the cycle. Thus, the importance of exergy analysis is
Fig. 7.1 Schematic of the Montazer Ghaem gas turbine power plant
clear in power production cycles. The present study comprised a comparative

exergy and exergo-economic analysis of the Montazer Ghaem power plant shown
in Fig. 7.1 at different loads and ambient temperatures. In brief, the study consists of
the following elements:
Exergy analysis of a typical GT power plant.
Analysis of system performance at different ambient temperatures and partial
loads.
Exergo-economic analysis of the gas turbine power plant.
7.2 Exergy Analysis
Exergy is the maximum theoretical useful work that may be received from energy
in a system of ideal machines. It is clear that exergy is not stored in a single process,
but may be destroyed due to irreversibility. In this method, it is possible to analyse
each element of the cycle separately and to obtain the share of each one in total loss
of the cycle. Regarding gas turbine power plants, with respect to input fuel or any
input flow into the power plant, one may obtain the maximum capacity of the power
plant by exergy analysis. The exergy of matter flow may be divided into its major
components including kinetic exergy, potential exergy, physical exergy and chem-
ical exergy. In this research paper, due to their dispensable rates, kinetic and
potential terms are ignored. Physical exergy is defined as the maximum theoretical
useful work obtained as a system interacts with an equilibrium state [8]. Chemical
exergy is associated with the departure of the chemical composition of a system
from its chemical equilibrium. Chemical exergy is an important part of exergy in
the combustion process [9]. Applying the first and second laws of thermodynamics,
the following exergy balance is obtained:
X X
_ Q
Ex m_ i exi _ W Ex
m_ e exe Ex _ D 7:1
i e
_ D is the exergy destruction

In this formula ex is the total specific exergy and Ex
rate, other terms in this equation are defined as [10]:

_ Q T0 _
Ex 1 Qi 7:2
Ti
_ W W
Ex _ 7:3
exph h h0 T 0 s s0 7:4
e_ x e_ xph e_ xch 7:5
Where T is the absolute temperature (K) and subscripts i and 0 refer to ambient
conditions. The mixture chemical exergy is obtained by following relations [11]:
" #
X
n X
n
ch
exmix Xi exchi RT 0 Xi LnXi 7:6
i1 i1
The following equation is used to calculate the fuel exergy [12]:
exf =LHV f 7:7
For most of usual gaseous fuels, the ratio of chemical exergy to lower heating
value is usually close to 1. Since the main fuel used in power plants is methane, one
may write [1]:
CH4 1:06 7:8
In this paper, exergy analysis of Montazer Ghaem gas turbine power plant is
conducted. Initially, exergy of different points of the cycle, which are characterized
in Fig. 7.1, were computed and then, exergetic losses and their exergetic efficiency
were calculated by writing down exergetic balance for each element in the gaseous
cycle. In Table 7.1, the exergy destruction rate and exergy efficiency equations for
plant components are given.
7.3 Exergo-Economic Analysis
The goal of conducting thermo-economic investigations of systems is to minimize

the cost of exergy. In exergy costing, a certain cost is determined for each of the
exergetic flows. The cost balance may be considered for the total system, and input
and output exergies to/from the total system may be priced. A cost balance that is
Table 7.1 The exergy destruction rate and exergy efficiency equations for plant components
Component Exergy destruction Exergy efficiency

Compressor _ 1W
Ex _ C Ex
_ 2 Ex
_ D ex, C Ex_ 2 Ex _ 1 =W _C

Combustion chamber _ 3 Ex
_Ex2 Ex _ 4 Ex
_ D _ _
ex, CC Ex4 = Ex2 Ex3 _

Gas turbine _ 4W
Ex _ GT Ex
_ 5 Ex
_ D ex, GT W _ GT = Ex_ 4 Ex
_ 5
recorded for kth element denotes that the sum cost rates in exergies of output flows
are equal to the total cost rates of exergies in input flows plus the cost rate of the
capital investment, operating and maintenance. For each flow line in the system, a
parameter called the flow cost rate ($/s) was defined. Thus, for a system that
receives heat and produces work, the exergetic balance may be written as follows
[13]:
X X
C_ e, k C_ w, k C_ q, k C_ i, k Z_ k 7:9
X X
ce E_ e k cw, k W _ k cq, k E_ q, k ci E_ i k Z_ k 7:10
C_ j cj E_ j 7:11
The exergy product is the partial of the system and is defined as a target for
application of that element in the system. Moreover, the exergy fuel of the system
may be defined as those exergies that are consumed to produce the exergy product
of the given system components, where we indicate them by E_ P , E_ F respectively.
Similarly, the cost rates of fuel and product are indicated by C_ F , C_ P respectively. In
the exergetic balance that is written for an element of a system, there is no term that
directly denotes cost of exergy destruction. For this reason, the cost caused by
exergy destruction is called the latent cost in the elements of the system. Exergy
destruction cost is considered an important parameter in the exergo-economic
analysis.
E_ F, k E_ P, k E_ D, k 7:12
Where E_ F, k represents the fuel exergy rate for kth element, and E_ P, k stands for the
product exergy rate of kth element and E_ D, k is the exergy destruction rate of that
element due to the irreversibilities, respectively. Assuming that the product EP,k is
fixed and that the unit cost of fuel cF,k of the kth component is independent of the
exergy destruction, we can define the cost of exergy destruction by the equation
[11]:
C_ D, k cF, k E_ D, k 7:13
More details of the exergoeconomic analysis, cost balance equations and

exergoeconomic factors are completely discussed in references [12, 14, 15]. Several
methods have been suggested to express the purchase cost of equipment in terms of
design parameters in Eq. (7.9) [9, 11, 16]. In this paper we have used the cost
functions that are suggested by Ahmadi et al. [17]. To convert the capital invest-
ment into cost per unit time one may write:
Z_ k Z k :CRF:=N 3600 7:14
Where Zk is the purchase cost of kth component in U.S dollars, N is the annual
number of operating hours of the unit, 1.06 [17] is the maintenance factor and
the Capital Recovery Factor (CRF) depends on the interest rate as well as estimated
equipment life; CRF is determined using the relation [17]:
i1 in
CRF 7:15
1 in 1
Where i is the interest rate and n is the total operating period of the system in
years. For each component of the Montazer Ghaem gas turbine power plant, the
term C_ D, k Z_ k is calculated to give insight into purchase cost and exergy
destruction cost.
In this section, results of exergy and exergo-economic analysis are presented.

Figures 7.2 and 7.3 show the exergy destruction rate and exergy efficiency of
different elements in the gas turbine cycle of the Montazer Ghaem power plant,
respectively. These figures signify that the combustion chamber has the maximum
rate of exergy destruction and the minimum rate of exergy efficiency among other
elements. This is due to the chemical reactions inside the combustion chamber as
well as high temperature differences between the operating fluid and flame. At the
same time, it is observed that by lowering the irreversibility load, all elements of
this cycle are reduced and thus exergy efficiency is improved.
In Figs. 7.4 and 7.5, it is seen that by raising ambient temperature, exergy
destruction rate is increased in the compressor since the ratio of pressure in the
compressor is the same in three states and with respect to reduction of density of
input air, the compressor needs more consuming work and thus the exergy destruc-
tion of the compressor is increased. However, the exergy destruction rate of the
combustion chamber is reduced by raising the temperature since both discharge of
the input fluid reduces and fuel discharge decreases, whereas fuel exergy is tangibly
reduced so exergy destruction is lowered overall. At the same time, it is observed
that the exergy destruction rate of the turbine is improved by a rise in temperature.
In Figs. 7.6 and 7.7, the exergy efficiency of total gas turbine cycle is given for
different loads and ambient temperatures respectively. From these results, it is seen
Fig. 7.2 Exergy

destruction rates of
components of the power
plant versus load variations
Fig. 7.3 Exergy efficiency

rates of components of the
power plant versus load
variations
Fig. 7.4 Exergy

destruction rates of
components of the power
plant versus various
ambient temperatures
Fig. 7.5 Exergy efficiency

rates of components of
power plant versus various
ambient temperatures
Fig. 7.6 Total power plant

exergy efficiency for
various loads
Fig. 7.7 Total power plant

exergy efficiency for
various ambient
temperatures
that the rate of total exergy destruction in the total gas turbine cycle is improved by
increasing the load and raising ambient temperature. Table 7.2 shows that in
exergo-economic analysis, the combustion chamber is the major component for
C_ D, k Z_ k ($/h)
Table 7.2 Cost of exergy
Component
destruction for each
component of the steam Compressor 286.33
power plant Combustion chamber 2,028.517
Gas turbine 355.42
exergy loss, since cost of exergy destruction is also higher in the combustion
chamber than in other elements. These results suggest total agreement between
the exergy analysis and the exergo-economic analysis.
7.5 Conclusions
In the current paper, exergetic analysis is carried out for a typical gas turbine power
plant at different working conditions. For each element in the power plant, exergy
efficiency and exergy destruction ratio are computed in three loads of 50, 75 and
100 MW for 4 C as ambient temperature as well as 85 MW for 4, 15 and 34 C
ambient temperatures. The exergy efficiency of total cycle was obtained in all
conditions. Results indicate that the combustion chamber may be considered as
the foremost factor for exergy destruction and relatively low efficiency. This is due
to higher fuel exergy and chemical reactions of fuel with air, and heat transfer inside
the combustion chamber.
The other interesting result is that by reducing the load in all elements, the rate of
exergy efficiency is decreased. This point may imply that the power plant achieves
maximum efficiency at its nominal load. Rising temperatures have an opposite
trend against load increase and may cause reductions in the exergy efficiency of all
elements and, hence, the relative efficiency of the whole power plant. Thus, it can
be concluded that the best working conditions considered for the power plant are:
100 MW load at 4 C.
By considering technical conditions, exergo-economic analysis of power plants
may play an effective role in informing the management of technical conditions.
Similarly, this analysis may reflect the importance of paying attention to the exergy
efficiency of power plants and improvements through identifying the price of
exergy destruction proportional to the fuel price and the price of purchasing
elements. The results of this study indicate that the combustion chamber attracts
the maximum cost in terms of exergy destruction and, thus, constitutes the prime
target for optimization efforts. It should be noted that the results that were obtained
from exergo-economic analysis, comply with the results coming from exergy
analysis, and these verify the accuracy and authenticity of both methods.
Nomenclature
C_ Cost per unit of exergy ($/MJ)

C_ D Cost of exergy destruction ($/h)
CRF Capital recovery factor
ex Specific exergy (kJ/kg)
e_ x Specific exergy rate (kW/kg)
_
Ex Exergy flow rate (kW)
LHV Lower heating value (kJ/kg)
m_ Mass flow rate (kg/s)
P Pressure (kPa)
Q_ Heat transfer rate (kW)
R Gas constant (kJ/kg K)
s Specific entropy (kJ/kg K)
T Temperature (K)
W _ Work transfer rate (kW)
_Z Capital cost rate ($/s)
Zk Component purchase cost ($)
Greek Symbols
ex Exergy efficiency
Maintenance factor
Coefficient of fuel chemical exergy

C Compressor
CC Combustion chamber
ch Chemical
D Destruction
e Exit condition
GT Gas turbine
f Fuel
i Inlet Condition
k Component
ph Physical
0 Reference ambient condition
Rate
References
1. Kotas TJ (1985) The exergy method in thermal plant analysis. Butterworths, London
2. Moran MJ, Shapiro HN (2000) Fundamentals of engineering thermodynamics, 4th edn. Wiley,
New York
3. Facchini B, Fiaschi D, Manfrida G (2000) Exergy analysis of combined cycles using latest
generation gas turbine. ASME J Engrg Gas Turbine Power 122:233238
4. Bassily AM (2005) Modeling, numerical optimization, and irreversibility reduction of a triple-
pressure reheat combined cycle. Int J Energy 32(5):778794
5. Song TW, Sohn JL, Kim JH, Kim TS, Ro ST (2002) Exergy-based performance analysis of the
heavy duty gas turbine in part-load operating condition. Int J Exergy 2:105112
6. Ebadi MJ, Gorji-Bandpy M (2005) Exergetic analysis of gas turbine plants. Int J Exergy 2
(4):3139
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on combined cycle power plant output power. 16th Annual (International) Conference on
Mechanical Engineering-ISME. Shahid Bahonar University of Kerman, Iran
8. Dincer I, Rosen MA (1999) Energy environment and sustainable development. Appl Energy
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suggestions for a combined-cycle power plant. Int J Energy Res 30:115126
10. Ahmadi P, Rosen MA, Dincer I (2011) Greenhouse gas emission and exergo environmental
analyses of a trigeneration energy system. Int J Greenh Gas Control 5:15401549
11. Bejan A, Tsatsaronis G, Moran M (1996) Thermal design and optimization. Wiley, New York
12. Ameri M, Ahmadi P, Hamidi A (2009) Energy, exergy and exergoeconomic analysis of a
steam power plant (a case study). Int J Energy Res 33:499512
13. Ameri M, Enadi N (2012) Thermodynamic modeling and second law based performance
analysis of a gas turbine power plant (exergy and exergoeconomic analysis). J Power Technol
92(3):183191
14. Sahoo PK (2008) Exergoeconomic analysis and optimization of a cogeneration system using
evolutionary programming. Appl Therm Eng 28(13):15801588
15. Ahmadi P, Dincer I (2011) Thermodynamic analysis and thermoeconomic optimization of a
dual pressure combined cycle power plant with a supplementary firing unit. Energy Convers
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Chapter 8
Non Repeating Thermal Bridges and the
Impact on Overall Heating Energy
Consumption in a Typical UK Home
Hasim Altan and Young Ki Kim
Abstract A non-repeating thermal bridge occurs at junctions when building

components such as a metal lintel crossing from the buildings interior to exterior
with a little or no intervening insulation, creating a bridge for heat losses through
the external wall. In the UK, when considering a domestic building with standards
of the building regulation 2006, the proportion of heat losses due to non-repeating
thermal bridges is typically 1015 %. This can rise up to 30 % in highly insulated
low energy buildings. Limiting thermal bridging will therefore become increasingly
important as more energy efficient buildings are being built due to more stringent
requirements by the current and future building regulations, and the endorsements
of higher levels by the Code for Sustainable Homes (CfSH) standard. The study has
undertaken dynamic computer simulations to calculate the impact on heating
energy consumption and to provide both cost and CO2 benefit analysis for a typical
four bedroom terraced house with installation of Glass Reinforced Plastic (GRP)
lintels and conventional use of Steel lintels under London climate. Furthermore,
two-dimensional temperature and relative humidity distribution study has been
carried out to investigate the condensation risks, and the results are presented in
this paper based on energy performance where a better insulated home with GRP
lintels showed better performance levels in heating energy consumption, CO2
emissions and overall energy bills. However, the most significant result of the
reductions was achieved by improving the building fabric. Moreover, the reduction
achieved from installation of GRP lintels has provided a further 10 % energy
demand reduction compared with the conventional Steel lintel use in the case
study home. With regard to the condensation risk and the two-dimensional study,
the paper has shown that the GRP lintel use would reduce non-repeating thermal
bridges significantly, particularly around junctions, and at the same time can help
keeping dry the area around the junctions. On the other hand, the Steel lintel use
would have high risks for condensation and again can cause further health impli-
cations with mould growth on surfaces.
H. Altan (*) Y.K. Kim

Faculty of Engineering & IT, The British University in Dubai, Dubai International Academic
City, P.O. Box 345015, Dubai, United Arab Emirates

110 H. Altan and Y.K. Kim
Keywords GRP lintel Condensation risk Heat losses Thermal bridging

Energy efficiency
8.1 Introduction
The Climate Change Act (2008) requires that by 2050 the UKs annual carbon
dioxide (CO2) emissions should be reduced by 80 % compared to 1990 levels.
Home energy use is responsible for over a quarter of UKs CO2 emissions which
currently contribute to Climate Change. Therefore, the main aim is to reduce CO2
emissions from all dwellings by an average of 80 % to help meeting a long term
goal [1].
The UK Government has committed for all new homes from 2016 to be net zero
carbon emitters which would help cutting down any future CO2 emissions caused
by new build homes. On the other hand, considering the existing housing stock, the
government funded energy efficiency schemes in the UK with main objectives to
reduce fuel poverty and to minimise heating energy demand by several energy
efficiency measures such as cavity wall insulation, loft insulation, draught proofing,
and the option to improving a gas central heating system with energy efficiency
boiler replacement [2].
In a 2006 Building Regulation compliant dwelling in the UK (i.e. a representa-
tive 2006 compliant dwelling), the proportion of heat losses due to non-repeating
thermal bridges is typically 1015 %. This can rise up to 30 % in better and highly
insulated low energy buildings [3]. The purpose of this study is to quantify the
impact on heating energy consumption when replacing conventional Steel lintels
with lass Reinforced Plastic (GRP) lintels within a given case study home, in this
case a typical four bedroom terraced house. Moreover, a comparison study has been
compiled with the consideration of various building standards such as 2006
Building Regulation, Best Practice and Worst Case with No Insulation. Fur-
thermore, the paper discusses the benefits with regard to energy bill and CO
emissions and payback analysis when the case of GRP lintels installed as replace-
ment to the common Steel lintels.
8.2 Energy Efficiency of UK Housing
8.2.1 Current Standards in Existing Dwellings
Figure 8.1 shows the average performance of the existing housing stock which is
band E rated (A to G band is based on the Standard Assessment Procedure (SAP)
rating score) [4] and there is still a poorly performing housing stock behind. These
are either F or G rated dwellings and it is where significant CO2 emission cuts can
be made from the domestic building sector. If the UK Governments saving target
8 Non Repeating Thermal Bridges and the Impact on Overall Heating Energy. . . 111
20%
G F E D C B A
percentage of dwellings in the stated range
15%
10%
5%
0%
5 cr 6 to 11 to 16 to 21 to 26 to 31 to 36 to 41 to 46 to 51 to 56 to 61 to 66 to 71 to 76 to 81 to 86 to 91 to 96 to
less 10 15 20 25 30 35 40 45 50 55 60 65 70 75 80 85 90 95 100
SAP range
Fig. 8.1 Performance of the UKs existing housing stock [5]
of overall 80 % cut in CO2 emissions was to be made across the housing stock by
2050, the majority of dwellings will have to be an energy performance rated no
worse than band B, where again CO2 emissions from most existing dwellings would
be no more than around 1.5 tonnes per year. This is estimated from an 80 % cut in
emissions from 160 million tonnes per year to no more than 32 million tonnes per
year, shared by all dwellings that would still be emitting CO2 in 2050 [4, 5]. In a
typical three-bedroom semi-detached house with 88.8 m2 Total Floor Area (TFA),
household consumes 3,423 kWh/year, 3,412 kWh/year, 3,057 kWh/year and
1,314 kWh/year of energy for space heating, hot water, lighting and appliances,
and cooking respectively [5, 6].
Improving thermal properties of building fabric and envelope through tightening
building regulations has been one of the ways forward for the country when tackling
energy efficiency in new build homes in the last 10 years. However, there are still
more to be done to improve energy efficiency in the existing housing stock in order
to meet the overall CO2 emission reduction targets.
8.2.2 Thermal Bridging
Thermal bridges or cold bridges are weak points in the building envelope where
heat losses are worse than through the main building elements. The reason thermal
bridging has become important is very clear today. In the past, thermal bridges were
considered as insignificant causes for losses and therefore were not included in the
building regulations. Today however (and same applies for the past one decade), by
increasing the minimum requirements for the standards of building envelope,
i.e. U-value of building fabrics and the level of insulation through new and
tightened building regulations; thermal bridging has become more relevant and
must be considered. By improving the building fabrics thermal property, the
majority of heat losses from buildings through thermal bridging and ventilation
9.5 C
2
1.5
Fig. 8.2 Common thermal bridges and air infiltration at and around lintels
could be minimised. The Approved Document Part L 2010 points out that those
thermal bridges can account for more heat losses than all the walls put together [7].
To conserve energy and to prevent cold spots where condensation and mould can
form, thermal bridges need to be either completely eliminated or minimised [8]. It is
almost impossible to eliminate all thermal bridges, but the effect can be minimised
with careful detailing design and construction. Figure 8.2 shows thermal bridging
and air infiltration at and around lintels including an Infrared (IR) image of a steel
lintel over a window opening.
8.2.3 Airtightness
Air leakage is defined as the flow of air through gaps and cracks in the building
fabric. Uncontrolled air leakage increases the amount of heat loss as warm air is
displaced through the envelope by colder air from outside [810]. Air leakage of
warm damp air through the building structure can also lead to condensation within
the fabric (interstitial condensation), which reduces insulation performance and
causes fabric deterioration. The air permeability of a building can be determined by
means of a pressure test. In terms of Building Regulation Part L for new dwellings
[11], it is indicated that reasonable provision for airtightness is to achieve a pressure
test result of no worse than 10 m3/(h m2) @ 50 Pa. Current good practice for energy
efficient dwellings includes achieving airtightness of 7 m3/(h m2) @ 50 Pa and best
practice is 4 m3/(h m2) @ 50 Pa with heat recovery unit [11]. Table 8.1 shows the
various air permeability standards. In 1998, the Building Research Establishment
(BRE) carried out air pressure test to obtain the heating season mean background
infiltration rate of a typical UK dwelling and it was 0.65 ach 1. From this study,
replacing old leaky windows with modern sealed windows would reduce the
background infiltration rate by 0.23 ach 1 [12]. Furthermore, replacing windows
while simultaneously changing the existing lintels to GRP lintels together with the
use of airtight tapes around the openings and the lintels would help to improve
airtightness of the dwelling as well as to provide a better thermal envelope.
Table 8.1 Air permeability standards

Maximum air permeability [m3/(h m2) @
Building standards 50 Pa]
AD L1A of Building Regulations (2010) 10 (0.5 ach 1)
EST (naturally ventilated) 7 (0.35 ach 1)
EST (mechanically ventilated with heat recovery 4 (0.2 ach 1)
unit)
The Netherlands 6 (0.3 ach 1)
Germany (air changes per hour at 50 Pa) 1.8 ~ 3.8 (n50 h 1)
PassivHaus <1 (0.1 ach 1)
Super E (Canada) (air changes per hour at 50 Pa) 1.5 (0.075 h 1)
Note: Energy Saving Trust (EST), Approved Document L1A (AD L1A)
Fig. 8.3 GRP lintel profile and exterior
Table 8.2 Thermal characteristics of a GRP lintel

Linear thermal bridge
Heat loss, Psi value
Lintel type CO2 emissions (kg CO2 per kg) U-value (W/m2 K) (W/m K)
Steel Lintel 1.91 2.94a 0.287
GRP Lintel 5.5 0.833 0.04
a
Minimum R-value for the lintel is 0.34 m2 K/W [13]
8.2.4 GRP Lintel
A GRP lintel is made of glass reinforced plastic which makes it high load bearing
yet lightweight and has a profile as shown in Fig. 8.3 and a mass of 5.96 kg/m. It is
suitable for use in external or internal walls of 100 mm brick/block work with a 75
100 mm cavity, and clear openings of between 400 and 1,700 mm, to support walls,
floors, roofs, or a combination of these structures, above window or door
openings [13].
Table 8.2 shows the thermal characteristics of a GRP lintel comparing with a
conventional Steel lintel. GRP lintels have a very low heat transmitter rate. Thus, it
is possible to reduce the effect of thermal bridging by replacing a conventional Steel
Table 8.3 Adopted building standards (U-value and ach 1)

Unit No insulation 2006 Building regulation Best practice Case study home
Wall 2.071 0.35 0.25 0.23
Floor 1.463 0.25 0.15 0.1
Roof 1.54 (flat) 0.25 (flat) 0.15 0.14
2.93 (pitch) 0.16 (pitch)
Window/door 6.121 1.978 1.978 2.26
Air infiltration 1 0.5 0.3 0.5
lintel with a GRP lintel. The thermal profile of a GRP lintel is also adopted further
in energy simulation analysis.
8.3 Methodology
8.3.1 Case Study Home and Building Standards
In order to carry out simulation studies, a four bedroom terraced house with a TFA
of around 140 m2 has been modelled within a dynamic computer software package,
in this case DesignBuilder [14]. The properties are of timber frame construction and
built using off-site manufacturing techniques. The internal panelling consists of a
vapour permeable paper based membrane, wrapped and sealed into door and
window openings with cellulose fibre insulation also for sound reduction in
partitioning wall units. Total external walls are built up to achieve a U-value of
0.21 W/m2 K and a minimum SAP rating of 100 (B rated) [4].
The case study house was adopted with three different building standards which
are as follows: No Insulation, 2006 Building Regulation and Best Practice.
Table 8.3 and Fig. 8.4 provide more details on building fabric (thermal character-
istics) and floor plans.
8.3.2 Energy Bill and Carbon Dioxide Emissions
As part of the computer simulations studies, the DesignBuilder [14] software has
been used for calculations of the heating energy consumption based on a certain
geographical location and climatic data, in this case London. In the simulations,
both the CO2 emissions and the energy bills have been calculated with values of
unit price and CO2 emissions rate referenced from SAP 2009 [4] as shown in
Table 8.4). From the energy bills calculated, the annual savings have been esti-
mated with simplified payback periods for each by also calculating the installation
of GRP lintels through different building standards.
Fig. 8.4 Case study home

(four bedroom terraced
house) floor plans
Bedroom Bedroom
Living Room
Kitchen Bedroom Bedroom
ground-floor first-floor
Table 8.4 Unit price and CO2 emissions from energy sources in SAP 2009 [4]
Unit Unit price (p/kWh) CO2 emissions (kg/kWh)
Gas 3.10 0.198
Fig. 8.5 Heating energy consumption and reduction breakdown
8.4.1 Energy Consumption
Figure 8.5 shows the heating energy consumption compared with the worst
case scenario with GRP lintels installed through different building standards.
Fig. 8.6 Overall energy bill and CO2 savings
The simulation results have indicated that a GRP lintel with a high insulation level
of building standard shows better performance of heating energy consumption
providing better energy efficiency. Using GRP lintels within a non-insulated
house due to thermal bridging through building fabric and junctions reduces heating
energy consumption by 652 kWh/year. However, introducing insulation into the
building fabric would significantly improve the heating energy savings compared
with the worst case scenario, and the savings are estimated as 54,052 kWh/year,
60,147 kWh/year and 62,350 kWh/year for different standards as follows: 2006
Building Regulation with GRP Lintels, Best Practice with GRP Lintels and Case
Study Home with GRP Lintels respectively. In summary, it can be seen that the
majority of the reduction is made by increasing insulation levels in the building
fabric. However, the results also show that increasing thermal properties of the
building fabric with the use of a GRP lintel helps to further improve the heating
energy reduction.
The best case scenario in this case is the Case Study Home with the GRP
lintels, showing savings of a further 10 % of heating energy consumption, which
also provided a clear view on why a highly insulated dwelling should consider
reducing its thermal bridges. Well detailed and constructed buildings would there-
fore result in huge reductions in heating energy consumption with additional
reductions obtainable from eliminating thermal bridges.
8.4.2 Cost and Carbon Dioxide Analysis
Figures 8.6 and 8.7 show the overall energy bills by also using the GRP lintels
together with CO2 emissions from heating energy savings. After introducing insu-
lation into the building fabric, there are significant savings in energy bills as
Fig. 8.7 Energy bill and CO2 savings by GRP lintels
expected that can be made and again reduction in associated CO2 emissions. As
mentioned above, most of the reductions were made by increasing the building
fabrics thermal properties and in addition, the GRP lintel installation has contrib-
uted to further reduction in heating energy bills and associated CO2 emissions as
shown in Fig. 8.7.
Figure 8.7 shows how the impact of GRP lintels on energy bills and CO2
emissions through savings using different building standards. Again, the better
the insulation levels are with GRP lintels the better the performance results are in
terms of overall savings in energy bills and CO2 emissions. However, the savings
between 2006 Building Regulation and Best Practice cases are almost insignif-
icant, and therefore further studies should be undertaken to investigate the likely
reasons behind this.
8.4.3 Payback Analysis
The payback period for the GRP lintel installation has been calculated within the
case study home considering various building standards which was also based on
heating energy bills as shown in Table 8.5. Total length of GRP lintels within a
selected dwelling is about 13.3 m and the unit price of a GRP lintel is provided by
the supplier company [13]. The total difference in unit price between the supply of a
GRP lintel and a Steel lintel is around 400 per house (the price is excluding labour
charge and transportation). Thus, the best payback period is estimated in the case
study home with GRP lintels as around 10.2 years and in the worst case scenario as
almost 20 years. The payback periods shown in Table 8.5 represents the additional
values for installing GRP lintels in new build homes instead of Steel lintels.
Table 8.6 shows typical payback periods for energy efficiency measures in a case
study house. Most of these improvements are allowances received through grants
from either the UK government or energy suppliers, and as a result, the payback
periods are much shorter. However, these measures should not be compared
Table 8.5 Payback periods

Reduction Energy bill Payback period
Case (kWh/year) savings (/year)a (year)b
Worst case scenario with GRP lintels 652 20.2 19.8
2006 Building regulation with GRP lintels 1022 31.7 12.6
Best practice with GRP lintels 1049 32.5 12.3
Case study home with GRP lintels 1267 39.3 10.2
a
Unit price is 3.10 p/kWh for gas [4]
b
Total length of the GRP lintel used is about 13.3 m required for installation in a case study home
and the total price for is around 532 [13]
Table 8.6 Typical payback periods in home improvement (as part of energy efficiency)
Improvement Installation costa Annual savings Payback period
Hot water tank insulation 12 40 5 months
Hot water pipe insulation 10 10 1 year
Loft insulation (270 mm) 199 205 Less than 1 year
Suspended timber floor insulation 90 (DIY) 50 2 years
Cavity wall insulation 149 160 Less than 1 year
Draught proofing 90 (DIY) 30 3 years
Solar PVs 11,700 1,200 Around 10 years
Solar thermal 4,000 650 Around 6 years
a
Costs are average values based on UK government grants [5]
directly with the GRP lintel installation as lintel is more directly related to con-
struction detailing rather than energy efficiency.
8.4.4 Temperature and Humidity Distribution Analysis
Two-dimensional temperature ( C) and relative humidity (%) profiles through the

GRP lintel under winter conditions have been simulated. The boundary conditions
are as follows: Temperatures for internal and external conditions are adopted as
20 C and 5 C; relative humidity levels for internal and external conditions are
adopted as 55 % and 84 % respectively. Figure 8.8 illustrates the results, in this case
temperature distribution as shown on the left and relative humidity distribution as
shown on the right. From the results (see Fig. 8.8d), it can be concluded that filling
the box cavity of a GRP lintel would not be recommended and even a GRP lintel
filled with insulation gives a negative impact on the surface temperature distribu-
tions, it would have no effect on the reduction of thermal bridging. On the other
hand, the Steel lintel shows that heat losses through a Steel lintel are significant and
therefore, there is a very high likely risk of condensation around internal surface of
window frames and also at the attached internal wall surfaces. This also provides
Fig. 8.8 Two-dimensional temperature and humidity distributions. (a) Steel lintel, (b) steel lintel
filled with insulation, (c) GRP lintel, (d) GRP lintel filled with insulation
further impact on the health of occupants and may likely to cause problems due to
mould growth on indoor surfaces.
The red circles show where the thermal bridges occurred and where there are
risks of condensation. An especially high risk of condensation could occur between
a window frame and a lintel where the surface temperature is around 13 C and the
relative humidity level is over 90 %. On the contrary, the window with a GRP lintel
shows better performance as it almost eliminates of thermal bridging. The internal
wall surface temperature is almost the same with room temperatures and humidity
levels that are within an acceptable range without any condensation problems. To
prevent interstitial condensation between the external brick and the cavity insula-
tion layer, vapour barriers should be installed.
8.5 Conclusions
The studies were carried out to investigate the impact of Fulbrook Glass Reinforced
Plastic (GRP) lintel [13] on heating energy consumption. In terms of energy
consumption, a better insulated home with GRP lintels shows a better performance
in terms of heating energy consumption, CO2 emissions and overall energy bills.
However, the most significant result of these reductions would be achieved through
the improvement of building fabrics thermal property. Moreover, the reduction
achieved from the GRP lintel installation should not be ignored, especially as
demonstrated in the best case scenario, i.e. in the case study home with GRP lintels,
which gave a further 10 % energy demand reduction compared with the other
scenario where there was no GRP lintel installation in the case study home as shown
in Fig. 8.9.
Fig. 8.9 Heating energy savings due to GRP lintel incorporated with different building standards
The two-dimensional temperature and humidity distribution studies showed that

the GRP lintel installation could reduce thermal bridges significantly around junc-
tions. In terms of the condensation risk, under typical winter conditions, the Steel
lintel installation would have high risks for condensation and again may cause
further health implications with mould growth on indoor surfaces. On the other
hand, the GRP lintel installation shows better results in terms of minimising heat
losses at and around lintel profiles, and at the same time helps keeping dry the area
around the junctions. Therefore, the condensation risks would be very low, much
lower than a conventional Steel lintel.
The study has undertaken dynamic computer simulations to calculate heating
energy consumption and to provide cost and CO2 analysis for the GRP lintel
installation. The results have given some ideas for energy efficiency as well as
cost benefit analysis for the GRP lintel use by also considering various different
building standards. However, without a post occupancy monitoring of a live project
and a case study home with the GRP installation, it is difficult to cross-check the
results obtained in the simulations and to also validate them. Therefore, further
studies are planned for the near future.
Acknowledgements The authors would like to thank Chris Sullivan (Material Edge Ltd) for
providing information about a GRP lintel (The Litel) and Prof. Dr. Jitka Mohelnikova at Brno
University of Technology Faculty of Civil Engineering (VUT FAST Brno) for her input and
advice. The authors would also like to thank the Building Environments Analysis Unit (BEAU)
Research Centre (20072013) at the University of Sheffield and the British government funding
Engineering and Physical Sciences Research Council (EPSRC) for making this research collab-
oration possible.
References
1. HM Treasury (2006) Pre-budget report 2006, investing in Britains potential: building our
long-term future. HM Treasury, London
2. DECC (2011) Annual report on fuel poverty statistics 2011. National Statistics, Department of
Energy & Climate Change (DECC)
3. LSI. Low carbon housing, learning zone, Leeds Metropolitan University, Leeds Sustainability
Institute (LSI). http://www.leedsmet.ac.uk/teaching/vsite/low_carbon_housing/thermal_bridg
ing/introduction/index.htm. Accessed on 24 Feb 2012
4. BRE (2010) The governments standard assessment procedure for energy rating of dwellings
2009 edition. Building Research Establishment (BRE), Garston, Watford
5. EST (2010) CE317Domestic low and zero carbon technologies: technical and practical
integration in housing. UK. Energy Saving Trust (EST)
6. CLG (2009) English Housing Condition Survey 2007. Annual report, Communities and Local
Government (CLG)
7. NHBC. Approved Document Part L 2010: Special Edition. Technical Extra, September 2011,
Issue 03, National House Building Council (NHBC). http://www.nhbc.co.uk/
NHBCPublications/LiteratureLibrary/Technical/TechnicalExtra/filedownload,44601,en.pdf.
Accessed 24 Feb 2012
8. Government of Ireland (2008) Limiting thermal bridging and air infiltration: acceptable
construction details. Report by Department of the Environment, Community and Local
Government, HomeBond, Sustainable Energy Ireland (SEI), July 2008
9. EST (2005) Guide GPG224improving airtightness in dwellings. Energy Saving Trust (EST)
10. BRE (2006) BRE Information Paper IP 1/06assessing the effects of thermal bridging at
junctions and around openings. Building Research Establishment (BRE), Garston, Watford
11. HM Government (2010) The Building Regulation 2010: conservation of fuel and power in new
dwellings. Approved Document Part L1A. HM Government, London
12. Stephen RK (1998) Airtightness in UK dwellings: BREs test results and their significance.
BRE Report 359. Building Research Establishment, Garston, Watford
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designbuilder.co.uk/. Accessed 24 Feb 2012
Chapter 9
An Evaluation of Indoor Environment
in Deprived Community Housing
in Yorkshire and the Humber Region
of England, UK
Hasim Altan and Mohamed Refaee
Abstract This study has been undertaken as part of the BIG Energy Upgrade
(BEU) a.k.a. Energy Innovation for Deprived Communities (EIDC) project,
which aims to provide a detailed understanding of indoor environment and to
deliver a new approach to energy efficiency and renewable energy projects within
a minimum of ten of the most deprived communities across six Local Authorities in
Yorkshire and the Humber region in the UK. It was important for the success of the
BEU/EIDC project that detailed monitoring and post occupancy evaluation is
performed on a sample of houses before rolling out wider refurbishment. The
data were collected from the indoor monitoring equipment for two houses and
statistically analysed to investigate the indoor thermal condition and air quality. Air
temperature and relative humidity levels within an indoor environment will vary
with the time of year and physical indoor environment. However, increased tem-
perature within a confined space such as an indoor environment can create a more
suitable environment for the growth of unwanted bacteria and fungi. With the
guidelines, it would be reasonable to maintain a temperature of around 2325 C
within a house. Also, if levels of humidity become too dry, i.e. below 40 % can have
adverse effects, some people susceptible to sore throats due to the dryness of the air.
Air temperature, relative humidity and carbon dioxide levels were monitored, and
the results have been compared with the accepted standard guidelines such as
ASHRAE and CIBSE. The results showed that the indoor thermal environment
conditions in the two naturally ventilated homes had a mean air temperature and
relative humidity of 20.5 C and 47 % respectively during autumn season. The
mean CO2 levels were in the range 5201,400 ppm and followed a pattern rising
during morning and evening periods in response to human indoor activity. Detailed
analysis of CO2 at four periods during the day showed that afternoon times
contained lower values of CO2 compared with morning and evening.
H. Altan (*) M. Refaee

Faculty of Engineering & IT, The British University in Dubai, Dubai International Academic
City, P.O. Box 345015, Dubai, United Arab Emirates

124 H. Altan and M. Refaee
Keywords Indoor environment Social housing Energy innovation Post occu-

pancy monitoring
9.1 Introduction
In the United Kingdom, buildings contribute about 45 % of its overall annual

carbon dioxide (CO2) emissions, with more than a quarter coming from the existing
domestic buildings. For the country to meet its 80 % CO2 reduction target by 2050
(from the 1990 baseline), it will need extensive refurbishment of existing buildings
to improve their energy efficiency [1].
A study on determinants of winter indoor temperatures in low income house-
holds in England [24] showed that statistical distribution indicated very low and
wider variation in indoor temperatures due to the efficiency of the heating systems
and insulation. Moreover, the study shows that a clear relationship between tem-
perature and required energy use. In another field study [5], it was found that factors
influencing occupant window opening behaviours are the outdoor air temperature
i.e. the higher the outdoor temperature is the most likely the window is to be opened
by the home residents. In addition, it was illustrated that other factors can motivate
opening of windows such as outdoor relative humidity and wind speed.
An investigation was carried out on different cities in China [6], the main aim of
the study was to investigate the actual conditions of the residential indoor thermal
environment for evaluating thermal comfort and predicting the energy conservation
feasibility for space heating and cooling. Some homes in one area showed that the
winter indoor thermal conditions was at a stable level and maintaining comfort due
to central heating system and relative humidity levels were relatively low. In
another city the indoor air temperature was found relatively low and as a result,
indoor conditions were uncomfortable during winter period, however in summer, it
was found that indoor air temperatures were relatively high.
Indoor thermal condition can be varied within acceptable limits due to casual
heat gains from domestic appliances and indoor human activities [3]. Isakssona and
Karlsson presented some results from their study of indoor climate in low energy
houses by using qualitative and quantitative methods. Their study also indicated
that different dwelling topology can affect the heat gains through common walls
and floors. The indoor environment is an influential factor to environmental quality
[7]. People spend a majority of their time in buildings; the average western person
spends up to 85 % of their life in a building, or in a vehicle conveying them from
one building to another [8].
Increasing the attention to indoor air quality has contributed to the awareness of
poor health associated with a poor indoor environment. Two types of illnesses
related to poor indoor air quality have been identified: Sick Building Syndrome
(SBS) and Building Related Illness (BRI). While the definition of SBS varies
slightly in the literature, SBS can be defined as the discomfort or sickness associ-
ated with poor indoor environments with no clear identification of the source
9 An Evaluation of Indoor Environment in Deprived Community Housing in. . . 125
substance. BRI is defined as a specific recognised disease entity caused by some

known agents that can be identified clinically [9, 10].
This study has been undertaken as part of the BIG Energy Upgrade (BEU), also
known as the Energy Innovation for Deprived Communities (EIDC) project, which
aimed at delivering a new approach to energy efficiency and renewable energy
projects within a minimum of ten of the most deprived communities across six
Local Authorities in Yorkshire and the Humber region in England, UK. The
properties have been assessed by energy efficiency experts and then brought up to
the modern standards with a range of measures including so-called smart electricity
meters, heating system upgrades, boiler replacements, wall and loft insulation,
double glazing, insulated cladding, and even solar panels where appropriate. It
was important for the success of the BEU/EIDC project that detailed monitoring
and post occupancy evaluation was performed on a sample of houses before rolling
out a wider refurbishment (i.e. retrofit). The aim of this study was to investigate
indoor environments of the two deprived community homes (in this case homes
were chosen from Kirklees area in Yorkshire, England UK) before retrofit and to
correlate with energy consumption.
9.2 On-Site Measurements and Monitoring
Indoor air temperatures and relative humidity levels were measured at the two
selected homes using HOBO U12-012 and U10-003 data loggers [11]. Indoor
carbon dioxide levels were also recorded in the two pre-refurbished homes using
Telaire 7001 CO2 meters [12]. Although CO2 is not toxic it is commonly used as an
indicator of air quality. High levels of CO2 indicate inadequate ventilation in an
indoor space. All HOBO U12-012 data loggers and CO2 meters were placed in the
living room in each selected home, specifically in the breathing zone of a person
sitting on a sofa (approximately 1.5 m above the floor), and away from open
windows. In addition, participants were requested to behave as normal within
their homes during the monitoring period in order to obtain realistic data. Again,
HOBO U10-003 data loggers were placed in the bedroom in each selected home.
This particular HOBO data logger is only used for two channel inputs i.e. measuring
two variables, which in this case are indoor air temperature and relative humidity
levels.
The objective of monitoring indoor air quality was to gain an insight into
conditions within deprived communities, i.e. residents homes, and to compare
indoor environmental conditions i.e. air temperature ( C), relative humidity
(RH) and carbon dioxide (CO2) levels with the accepted standards/guidelines.
Average levels of each variable were collected in 15-min intervals over a 24-h
period for periods of 2 weeks. Electric energy consumption was collected via
installed smart meters. Table 9.1 and Fig. 9.1 describe the type of dwelling, age,
tenure, window type, ventilation method, cooker type, and number of occupants,
and their ages of the selected houses within Kirklees area, Yorkshire, UK.
Table 9.1 Description of the two selected dwellings

Description Dwelling K1 Dwelling K2
Type of building Semi-detached Semi-detached
Home age (year) 65 65
Dwellingtenure Rented Owned
Window type Fully double glazed Fully double glazed
Ventilation Naturalat least one window open Naturalat least one window
every day open every
Cooker type Electric Electric
No. of occupants and 4 (67, 65, 38 and 37 years) 3 (60, 57 and 33 years)
ages
Fig. 9.1 Photos of the two semi-detached dwellings (K1 left and K2 right)
To investigate the indoor thermal condition and air quality in the two selected
dwellings, data were collected from the indoor monitoring equipment and then
statistically analysed.
The American Society of Heating, Refrigerating and Air Conditioning Engineers
(ASHRAE) authority recommends that carbon dioxide levels should not exceed
1,000 ppm (parts per million) inside a space [13]. The reason to use ASHRAE as
CO2 standard guideline is that there are no UK CO2 standards for indoor air quality.
However, CO2 is not toxic but it is used as a guide to whether or not a space has a
sufficient quantity of fresh air. Figure 9.2 shows the percentage of CO2 levels for
1 week. It can be seen that in home one (K1), the CO2 reaches a level of 400 ppm of
70 % of the time during the week. Home two (K2) on the other hand, reaches a level
of 600 ppm of 60 % of the time during the week. The levels above the
recommended value (1,000 ppm) occurred about 30 % of the time.
Figure 9.3 shows the indoor CO2 levels of the living rooms in two homes for
1 week. As can be seen that the levels are fluctuating around the recommended
Fig. 9.2 Percentage of CO2 during 1 week in both selected dwellings
Fig. 9.3 Levels of CO2 in the two living rooms for 1 week
value (1,000 ppm) for indoor spaces, in this case for the living rooms. A random day
was chosen (16th September 2011; 16/9/2011) as a snapshot to plot its CO2
concentration against time to investigate the behaviour of carbon dioxide during
that day.
Figure 9.4 indicates that the indoor CO2 levels followed a pattern in the two
homes where the levels were seen to be less than 1,000 ppm during early morning
and throughout day time, later rising at evening and night time due to the increase of
Fig. 9.4 Level of CO2 in the two living rooms for 1 day
Fig. 9.5 Correlation of daily temperature and daily carbon dioxide levels
human activity and the lack of ventilation i.e. not opening windows during evening
and night time.
Daily indoor air temperature and daily CO2 levels were correlated with statisti-
cally significant results (r 0.51, P <0.05). Figure 9.5 shows this direct (positive)
relation. The results indicated that the warmer space has lack of air ventilation rates
Fig. 9.6 Daily mean indoor temperature profile in the living rooms and the bedrooms of the two
selected homes for 1 week
and therefore the CO2 levels are higher as a result, which also reflected on the
dilemma of achieving proper ventilation rates while maintaining indoor thermal
comfort.
The indoor temperature pattern should be maintained between 22 and 23 C
within living room space and between 17 and 19 C within bedroom spaces
[14]. The results have been compared with the published standards and guidelines
which are also the accepted benchmarks, i.e. can be seen as good practice cases.
Figure 9.6 presents the daily mean indoor air temperature ( C) of the living room
and the bedroom in the two selected homes for 1 week (15/9/2011 to 21/9/2011).
The dashed line in Fig. 9.6 is the minimum internal air temperature of 22 C as
recommended for living room space and again of 18 C as recommended for
bedroom space. In comparison with the standard guidelines (i.e. the minimum
and the maximum levels), it is clear that one home (K2) did not perform accord-
ingly within the CIBSE recommendation for the range of internal temperatures
(2223 C) in the living room space while the other home (K1) performed accord-
ingly within the limits of acceptability. On the other hand, the standard guideline of
internal temperatures (1719 C) for the bedroom space has been met within the
bedrooms of the two selected homes.
The limits of acceptability has been evaluated and determined by the
recommended standards and guidelines which in this case, ASHRAE and CIBSE
[13, 14].
Figure 9.7 shows the frequency distribution of different temperature values
occurred per week within the living room and the bedroom spaces of the two
dwellings. The living rooms of K1 and K2 homes have the value of 19 and 23 C
Fig. 9.7 Percentage of indoor temperature for living room and bedroom spaces of the two homes
during 1 week
respectively which are the most often occurred values per week. Again, the
bedrooms of K1 and K2 homes showed the same results as the two separate living
rooms as indicated in Fig. 9.7.
The recommended level of indoor relative humidity should be between 40 and
70 % [13]. If levels of humidity become too dry, i.e. below 40 %, this can have
adverse effects, some people susceptible to sore throats due to the dryness of the air.
Figure 9.8 presents the daily mean indoor relative humidity (RH%) of the living
room and the bedroom in the two selected homes for 1 week (15/9/2011 to 21/9/
2011). The dashed lines in Fig. 9.8 define the comfort zone which is the range of
internal relative humidity levels between 40 and 70 % as recommended for indoor
spaces. In comparison with the standard guidelines (i.e. the comfort zone), it is clear
that both homes (K1 and K2) did perform accordingly within the ASHRAE
recommendation for the range of internal relative humidity levels (4070 %) in
both the living room and the bedroom spaces. On the other hand, the standard
guideline of internal temperatures (1719 C) for the bedroom space has been met
within the bedrooms of the two selected homes.
Figure 9.9 shows the frequency distribution of relative humidity values occurred
per week within the living room and the bedroom spaces of the two dwellings. The
living room of K1 home has the most occurring values ranged from 40 to 50 %
while the bedroom of same home ranged from 45 to 55 % respectively which are the
most often occurred values per week. On the other hand, the living room and the
bedroom of K2 home have values above 60 % as shown in Fig. 9.9.
In summary, the results of the investigation has shown that the measured values
of temperature and relative humidity did meet the recommended standards and
guidelines except the living room indoor conditions for one of the selected homes
Fig. 9.8 Daily mean indoor relative humidity profile in the living rooms and the bedrooms of the
selected homes for 1 week
Fig. 9.9 Percentage of indoor relative humidity for living room and bedroom spaces of the two
homes during 1 week
where the values of temperature were below that of recommendation levels. In

addition, it was found that there was a proportional relation between indoor
temperature and carbon dioxide levels which reflected on the dilemma of achieving
proper ventilation rates while maintaining indoor thermal comfort. The average
relative humidity on the other hand, for the living room and the bedroom agreed
with the standard guidelines for both homes. Moreover, the level of CO2 is
fluctuating around the recommended value of 1,000 ppm for indoor space where
the levels were seen to be below this value during early morning and day time, and
later rising at evenings and night time due to the increase of human activity and the
lack of ventilation indoors.
9.4 Conclusions
This study aimed to investigate indoor environment conditions, particularly air

temperature, relative humidity and carbon dioxide levels, in the two case study
dwellings as representative homes from within the deprived communities of York-
shire region, UK before a major refurbishment programme called the BIG Energy
Upgrade (BEU). To further generalise the results for the deprived communities
across the UK, it would be necessary to do more sampling on a larger population.
Although this study is based on a limited number of samples, in this case two
homes, it is believed that the results are still representative of the similar dwellings
across different regions in the country and therefore it is important to plan ahead
bespoke measures and again innovative solutions for mass retrofit/refurbishment of
the existing social housing.
Acknowledgements This paper is the result of the work undertaken as part of the BIG Energy
Upgrade Programme (BEU). The project has attracted 7 million from the European Regional
Development Fund through the Yorkshire and the Humber ERDF Programme 20072013. The
authors would like to thank the Building Environments Analysis Unit (BEAU) Research Centre
(20072013) at the University of Sheffield for making this research collaboration possible between
both authors.
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investigation. Build Environ 41:16781690
8. Saunders T (2002) The boiled frog syndrome: your health and the built environment. Thomas
Wiley Academy, West Sussex
9. Molhave L (1987) The sick buildingsa sub-population among the problem buildings. In:
Seifert B, Esdorn H, Fischer M (eds) Indoor Air87, vol 2, Proceedings of the IV international
conference on indoor air quality and climate. Institute for Water, Soil and Air Hygiene, Berlin,
pp 469473
10. Burge S, Hedge A, Wilson S (1987) Sick building syndrome: a study of 4373 office workers.
Ann Occup Hyg 31:493504
11. Onset. Onset Hobo Loggers. http://www.onsetcomp.com/products/. Accessed 22 Apr 2014
12. MicroDAQ. Telaire 7001 carbon dioxide monitor. http://www.microdaq.com/telaire/.
Accessed 22 Apr 2014
13. ASHRAE (1992) ASHRAE Standard 62: ventilation for acceptable indoor air quality.
American Society of Heating, Refrigerating and Air Conditioning Engineers (ASHRAE),
Atlanta, GA
14. CIBSE (2006) Environmental design CIBSE guide A. Chartered Institution of Building
Service Engineers, London
Chapter 10
The Application of Phase Change Materials
to Improve the Climate Resilience
of a Low-Energy Prototype House
Lucelia Rodrigues, David Tetlow, Mark Gillott, and Vasileios Sougkakis
Abstract Due to a number of reasons including the effects of climate change and a
shift towards a more widespread use of Modern Methods of Construction (MMC)
for housing development, overheating issues in British homes has become a greater
concern in recent years. Some of the most important advantages of MMC are the
reduced use of materials, reduced construction time (particularly on site), reduced
weather dependency, reduction of waste production, the possibility of reuse and
recycling of components, and the possible lightness of the structure. MMC systems
can deliver highly insulated, almost airtight homes, in line with requirements to
reduce energy use for heating. However, they will generally have lower thermal
mass than traditional construction and hence be less able to passively control
temperature swings in warmer periods. This may contribute to uncomfortably
high temperatures, which can affect the well-being and health of the occupants.
The Mark Group Research House, a super insulated steel frame home, was
designed to test MMC solutions and innovative technologies, and to be highly
energy efficient. In previous work done by the authors, a computer model was used
to investigate the houses potential for overheating in todays weather as well as in
future climate scenarios. The authors have found that the house was generally
comfortable but, despite the addition of mitigating strategies, presented a high
risk of overheating that was aggravated when the future climate was considered.
This risk was partially attributed to the low levels of thermal mass in the house.
The integration of thermal mass, usually obtained through the use of exposed
concrete or brick, can be problematical in MMC dwellings. The use of Phase
Change Materials (PCM) may present a solution to this issue. PCM has been proven
to work in a number of building applications but not much work has been under-
taken investigating its applicability in housing. The work presented in this article
reports on the integration of PCM in the Mark Group Research House as a solution
L. Rodrigues (*) D. Tetlow M. Gillott V. Sougkakis

Faculty of Engineering, University of Nottingham, University Park,
Nottingham NG7 2RD, UK
[email protected]; [email protected]

136 L. Rodrigues et al.
to the overheating problem identified earlier. The results have shown that the PCM
helps to regulate the temperatures in the house even when future climate scenarios
are considered. However, it is only effective when coupled with an efficient
ventilation strategy, which may not be an easy to implement solution because of
its dependency on user behaviour.
Keywords Thermal mass Overheating
10.1 Introduction
Climate change is becoming a serious issue within the UK and many other
worldwide developed economies and overheating in housing has been gaining
increasing attention from the research community, the industry and policy makers
[15]. A large proportion of the countrys people now live in densely populated
urban based environments, this falls in line with the prediction that 60 % world
population will be urban residents within two decades [8]. As a result of the impact
of climate change, the current set of UK government climate scenarios indicates
that increase on the mean daily maximum temperature could reach 9.5 C on
current levels, the highest variation being 12.3 C [9].
As a result of the high population and the limited amount of land available,
house prices in the UK are very high. This has led to an aging housing stock with
low energy efficiency, as mass upgrade is uneconomical. Most UK houses rely
solely on natural ventilation alone for cooling during summer periods [1]. This is
likely to cause problems in the future if the suggested higher temperatures caused
by climate change occur.
In order to rapidly deliver financially affordable houses of better quality, the
British government is prioritising the modernisation of the house building sector.
This will be done through the promotion of Modern Methods of Construction
(MMC). A commitment was given in 2007 to increase the rate of house-building
by providing 240,000 additional homes a year in order to complete two million
dwellings by 2016 [10, 11]. Simultaneously, an ambitious target was set in 2007 to
build all new houses to meet zero carbon dioxide emissions (zero carbon) from
2016. This would mitigate climate change and meet the targets set by the Kyoto
Protocol that came into force in 2005 [12].
An issue is present in the fact that the rising risk of overheating may be a result of
the effort done in previous decades to reduce energy demand for heating. Buildings
have been constructed due to changes in the building regulations, that are highly
sensitive to alterations in energy input, especially in MMC configurations with low
thermal mass [13]. These are thermally responsive in shorter periods of time
(i.e. quickly getting too hot or too cold). A review of existing work has qualified
this [1418] and further discussed in work undertaken by the authors [13, 19]. It is
likely that more home owners will seek to install air-conditioning to deal with the
problem. These systems that are now financially available to occupants, and has
10 The Application of Phase Change Materials to Improve the Climate. . . 137
been suggested that the use of this in the UK is rising by 8 % per year [20], a
situation that could lead to an additional annual six million tonnes of carbon
emissions by 2020.
One technology that has been research extensively to provide lightweight, high
density thermal mass is Phase Change Materials (PCMs) [2125]. PCMs are a
unique technology that store energy in latent form as they change phase from solid
to liquid. This is a favourable property as theoretically the material can absorbed
large quantities of heat in a relatively small magnitude of space, over a small
temperature range. The advantage of this property, in a building application con-
text, is that the technology could be placed into small areas (such as building
materials or services) and theoretically has beneficial impacts on moderation of
temperature. Phase Change Materials have been used widely since the past decade,
despite the fact that their use in buildings was considered since the 1980s [6].
PCMs fall into two categories: inorganic and organic, and due to a number of
technical and chemical disadvantages, only organic types are currently used in
building applications. For the purpose of this report, discussion of these shall not be
elaborated on, however details can be found in the supplied references. It should
be noted, however, that the majority of current commercial PCM systems, used in
static applications, are supplied in microencapsulated form, i.e. microscopic quan-
tities of PCM (620 m) coated in high density polythene (HDPE) [2628]. This
provides a suitable containment medium for the technology, and allows it to be
incorporated into building materials. Without microencapsulation, PCMs would
leach out of the system when it became liquid. The cost of microencapsulation is
high and this is reflected in the materials it is supplied in. A new technology that
could resolve this problem is the use of shape stabilization. This technique involves
containing the PCM inside a microscopic polymer based lattice structure, which
retains the material after melting and prevents leakage. The technology is well
documented and commercial building products utilizing it are now available [29].
Research into PCMs has been done on both active and passive systems. In
relation to the former, this has been done in both air conditioning systems [30],
and central heating systems [3133]. In the latter, PCMs have been included into
wall systems including: brickwork, concrete and plasterboard [23, 3436]. The
main issue with the use of the technology is its cost, and this is a direct result of the
manufacturing implications. This, however, has not prevented a number of UK
institutions from adopting the technology and monitoring its impact. The most
notable of these is the BASF house on the creative Energy Homes site in the
University of Nottingham. This building has plasterboard containing PCM and its
performance has been well documented [13, 19, 37]. In light of the costs associated
with the technology, necessity caused by the effects of climate change could
increase demand for its use. Economically, this would reduce its cost as more
efficient methods of manufacture could be invented and increase in commercial
competition would drive down price.
The previously mentioned Creative Energy Homes (CEH) project on the Uni-
versity of Nottingham campus provides a unique research facility aiming to stim-
ulate sustainable design ideas primarily using MMC and promote new ways of
providing affordable, environmentally sustainable housing [38]. Each CEH dwell-

ing is fully monitored to provide quantitative data on environmental conditions,
energy performance characteristics, micro-generation output and occupancy behav-
iour. Qualitative data has also been collected. The Mark Group Research House is
one of seven dwellings in the CEH. It is an innovative home created to address some
of the challenges facing the construction industry by achieving high efficiency and
fast construction. The construction methods used were steel frame and polystyrene
formwork filled with low carbon concrete. Although the houses design may reduce
energy consumption for heating when compared with conventionally built homes, it
is likely to cause overheating during the summer as the light structure has little
thermal mass and the large glazed areas allow high levels of solar gain to enter.
Nonetheless, the MMC industry states that most framing systems both steel and
concrete have about the same effect on a buildings energy consumption [39].
This article presents a research effort undertaken on this property by incorpo-
rating PCM technology into its existing design and monitoring the impact on
internal temperature. This was done through the use of building simulation using
EDSL TAS, a commercial product that has recently provided users the option to
incorporate PCMs in its facilities. The results in the paper compound previous
research that has already been done on the layout of materials incorporated into the
building [7]. Research methodology is provided, in addition to presentation of
results, discussion, and conclusions.
10.2 House Design
The house is based on a steel frame design that is highly insulated and extremely
airtight. It was filled with mineral wool insulation and externally the frame received
polystyrene panels with rendering. The roof allows roof-mounted renewable energy
systems and is made of structural insulated panels that comprise integral timber
rafters fixed to, and stabilised by, a rigid facing board and filled with polyurethane
foam which is sprayed in the factory. A major feature of the house is the integrated
sunspace that aims to provide free passive solar heating in the winter and high levels
of natural daylight. Windows connect the sunspace to the house and allow warm air
to be directly delivered to its main circulation. The top of the sunspace has a
connection to the heat exchanger so excess heat can be extracted and used for
other purposes. The energy to run the technologies and the houses lighting and
appliances is provided by an array of photovoltaic panels. The four-bedroom house,
constructed over three levels, includes a basement with garage and a roof space.
The total floor area is around 230 m2 (170 m2 of heated space). The main entrance is
located in the sunspace that provides an intermediate area between outdoor and
indoor. Figure 10.1 shows the house plans and section.
The house is designed using passive solar design strategies can have south facing
glazing comprising 50 % to practically 100 % of the total facade area as long as
solar gains are controlled [40]. It presents much larger windows on the south than
Fig. 10.1 The Mark Group artistic perspective and floor plans (Available at www.creative-
energy-homes.co.uk [Accessed on the 10th of August 2009])
any other facade. The windows and external doors (with the exception of those in
the sunspace) are made of a composite of timber and aluminium and triple glazed
with argon filling with a u-value of 0.71 W/m2 K. Integrated internal blinds have
been incorporated in all the south, southeast and southwest windows to provide
controllable solar shading.
Details of the materials the house is constructed from can be found in the
following reference [7, 13]. Phase Change Materials (PCM) have been used in an
attempt to provide a higher level of thermal mass. In this case, around 100 m2 of a
shape-stabilized PCM board, with an operating temperature between 18 and 22 C
has been used. Every square meter of this board absorbs 730 kJ of heat between the
temperatures of 1535 C. Shape stabilized PCM board is a new technology and
only one company currently markets it within the UK. EDSL TAS has recently
included the facility to use this product within its simulation parameters.
The home has a mixed mode hybrid ventilation system which combines natural
ventilation, mechanical ventilation and an Earth-Air Heat Exchanger (EAHE).
EAHEs, also known as ground pipes, work by using the thermal mass of the earth
as a heat sink to condition air that is then delivered to the space. It was installed to
provide the sunspace with cooling during summer days and with pre-heated air in
winter, which can be further heated up by solar radiation. The system currently
installed is made of a single PVC pipe with a diameter of 110 mm and a length of
85 m [41]. The system was buried at a depth of approximately 3 m except when
closer to the house where it followed the foundation depth of approximately 2.5 m.
The house design envisaged complete monitoring system, which was not installed
by the time this work was finished.
10.3 Simulation Model and Methodology
A computer model of the house based on the design was built in EDSL TAS. The
materials of the envelope followed those described in the previous section. A series
of five dynamic simulations were carried out to analyse the internal conditions of
the building in different scenarios and are described in the following section.
Before modifications were made to the materials of the model a base case
scenario (Case 1) was run to assess the performance of the house under current
UK weather conditions. This included strategies to reduce additional gains, includ-
ing shading, ventilation, and use of the EAHE. In the subsequent cases the same
conditions were applied to the house. The following alterations were then made in
the subsequent simulations:
Case 1: Base case simulation
Case 2: one layer of PCM board was applied to the ceiling sections of the roof
and ground floor section of the sunspace.
Case 3: As case 2, except two layers of PCM were applied
Case 4: No PCM was incorporated. Instead all light weight external walls in the
house were replaced with insulated precast concrete.
Case 5: As Case 2, with additional layers of PCM applied to the ceilings of the
bedrooms
The assumptions made within the model were as follows:
Weather and Calendar: Data used was the CIBSE Design Summer Year Weather
Data (DSY) for Nottingham based on the year 2002. It is assumed that summer is
from the 1st of May to the 30th of September and winter is from the 1st of
October to the 30th of April.
Internal Gains: The base case simulated the house with ventilation, internal gains,
and added the benefit of the EAHE. As no guides are available that provide a
suggestion of gains for dwellings [42], the following values were assumed:
Occupants: Four people use the house, a couple in the master bedroom and one in
each single. The sensible heat gain for each person was 70 W and the latent was
50 W. Occupancy in circulation spaces was ignored. The sunspace had no
occupancy.
Lighting: Provided by low-energy compact florescent bulbs resulting in the follow-
ing thermal loads when in use: Kitchen: 75 W, Living and dining rooms: 50 W,
Bedrooms: 50 W, Circulation: 50 W, Toilet and bathroom: 25 W
Equipment gains: a living room TV was used for 3 h in the evenings producing
150 W. The houses service equipment for heating and hot water is located in the
basement causing 10 W for 24 h. In the loft, where the heat exchanger connected
to the solar collectors is located, 3 W of gain was applied for 24 h.
Appliances: all items in the kitchen (fridge, cooker, oven, dishwasher and kettle)
were simulated with a continuous gain of 10 W.
Infiltration: In all simulations it was placed at 0.2 ACH (atmospheric pressure).
Ventilation: Air movement occurred from outside and within the house
(i.e. between the sunspace and circulation zones).
Sunspace external windows (24 h): Set to open automatically when the temperature
reached 24 C and fully opened at 28 C (the design anticipates automation for
these windows). They were set to close should the wind reach 2 m/s or the
external temperature become warmer than the internal. In winter they were set to
open if the circulation zone reached >24 C.
Sunspace internal windows to circulation (24 h): In winter, these would open if the
temperature in the sunspace exceeded 18 C and be fully opened at 21 C. It
would begin to close if the temperature either in the sunspace or in the circula-
tion reached 24 C. In summer they remained closed. The other windows in the
house (living room, kitchen and bedrooms) were set to start opening when
temperatures reached 24 C and fully open (50 % of the area) when it reached
28 C. They were set to close should the wind reach 2 m/s or the external
temperature become warmer than the internal. Those in the bathrooms, walk-in
closet and studio were kept closed as these zones were rarely used.
Comfort Temperature Range: The benchmarks suggested by CIBSE, were used.
The simulation results are illustrated by means of the number of hours in a year
when temperatures in the room go >25 C, >26 C and >28 C.
Heating: Was used during the heating period (1st of October to the 30th of April)
for 12 h (from 5 p.m. to 5 a.m.). The thermostat was set to a lower limit of 18 C
and an upper limit of 21 C and radiators were used as emitters. When this was
active the whole house would be heated (except for the sunspace, loft and
basement).
Cooling: In all cases the EAHE delivering 1 m3/s at 10 C inside the sunspace,
approximately 1.2 kg of air per second. As the volume of it is very large (around
140 m3), this rate is able to provide the space with 25 ACH of fresh air. The
temperature of this was chosen based on the previous monitoring.
The results are presented in three formats, percentage of time the internal temper-
ature of each zone exceeds: 25, 26, and 28 C. These are shown for all cases in
Figs. 10.2, 10.3, and 10.4.
In Case 1 (the base case), overheating is highest in the sunspace areas. The
temperature in the sunspace is on average >25 C for 11 % of the time, >26 C for
8 %, and >28 C for 4 %. If only the habitable sections of the space are taken into
account in the average calculation, these values fall to 8 %, 6 %, and 3 %
respectively. In all other areas the impact of overheating is less prevalent. The
average value of the bedrooms is >25 C for 7 %, >26 C for 6 %, and >26 C for
2 %. The most affected area of these is the master bedroom. In the remaining areas
of the model overheating impact is negligible.
Fig. 10.2 Percentage of time when temperature exceeds 25 C

10.4.1 Application of PCM
With the application of the PCM board in Case 2 the impact reduces, albeit to a
minor extent. The temperature in the sunspace is on average >25 C for 10 % of the
time, >26 C for 7 %, and >28 C for 3 %. In the habitable sunspace areas these
values reduce to: >25 C for 7 %, and >26 C for 5 %, and >28 C for 3 %.
It would be logical to assume that the addition of a further layer of PCM would
enhance the reduction observed in Case 2. However, the results of Case 3 in
Figs. 10.2, 10.3, and 10.4 shows this has not happened as visual inspection indicates
only minor reduction has occurred. In all other areas in Case 3 the quantity of
observable overheating remains the same and there is no improvement over Case 1.
In Case 5, the addition of the PCM board to the bedroom areas has reduced
overheating in the sunspace to the same degree as that shown in Case 2. Additionally
there has also been a reduction in the bedroom areas. In the two smaller bedrooms in
Case 5, overheating >25 C has reduced from 6 % in Case 1 to 5 %, >26 C it has
reduced from 3 % in Case 1 to 2 %, and it has had minor impact with temperatures
>28 C. In the master bedroom in Case 5 overheating >25 C has reduced from 8 %
in Case 1 to 6.5 %, >26 C it has reduced from 5 % in Case 1 to 3 %, and >28 C
has reduced from 2 % in Case 1 to around 1 %.
The results of Case 1 show that overheating above the temperatures specified by
CIBSE occur in percentages ranging from 3 to 16 % of the total annual simulation
time, the size of these depending on the zone location in the simulation. Consider-
ing the range of these percentages, the impact the addition of the PCM could have
on them was limited. It has been shown that these impacts have ranged between
1 and 2 %. Tables 10.1, 10.2, and 10.3 show the numerical values of these
percentages. Additionally, the percentage improvement comparisons over Case
1 have also been included.
When the temperature of the analysis of overheating is increased from 25 to
28 C, the quantity of the percentage of overheating reduces. For example, in the
sunspace ground floor in Case 1, the annual overheating quantity is 3.77 % above
25 C, and this reduces to 1.66 % when the analysis is above 28 C.
The addition of PCM in the various cases has reduced overheating, and the
columns giving the improvement over Case 1 show the improvements range
between 14 and 16 % when analysis is >25 C, and 2430 % when the analysis
is >28 C. Logically this shows that the impact of the PCM board inclusion
becomes more apparent at higher temperature. However, these improvements
should be taken in context as the amount of reduction, over which these improve-
ments are calculated, is over a smaller range at higher temperatures. For example in
the sunspace ground floor, when overheating is analysed >25 C, a reduction of
14 % has occurred as the percentage of overheating time has reduced from 3.77 %
in Case 1 to 3.25 % in Case 2. Comparatively, when overheating is analysed
>28 C, a reduction of 24 % has occurred as the percentage of overheating time
has reduced from 1.66 % in Case 1 to 1.26 % in Case 2.
144
Table 10.1 Percentage of time when temperature is above 25 C and percentage of reduction
Case Case Case Case Case Case 2 reduction Case 3 reduction Case 4 reduction Case 5 reduction
1 (%) 2 (%) 3 (%) 4 (%) 5 (%) over Case 1 (%) over Case 1 (%) over Case 1 (%) over Case 1 (%)
Sunspace 3.77 3.25 3.16 2.16 3.26 14 16 43 13
GF
Sunspace FF 11.96 11.23 11.13 9.55 11.23 6 7 20 6
Sunspace 16.03 15.53 15.16 12.97 15.55 3 5 19 3
loft
Living room 5.22 5.18 5.17 4.39 5.17 1 1 16 1
Bedroom 5.97 5.95 5.91 5.03 5.46 0 1 16 9
south
Bedroom 5.92 5.92 5.91 4.52 5.51 0 0 24 7
north
Bedroom 7.93 7.91 7.91 4.87 6.58 0 0 39 17
master
Studio 2.39 2.28 2.26 0.39 2.27 4 5 84 5
L. Rodrigues et al.
10
Sunspace 3.13 2.61 2.55 1.78 2.64 16 19 43 16
GF
Sunspace FF 9.22 8.34 8.21 6.87 8.36 10 11 25 9
Sunspace 10.98 10.07 9.70 7.71 10.09 8 12 30 8
loft
Living room 2.77 2.76 2.75 1.93 2.74 0 1 30 1
Bedroom 2.57 2.55 2.55 1.28 2.21 1 1 50 14
south
Bedroom 2.26 2.25 2.25 0.81 1.94 1 1 64 14
north
Bedroom 4.78 4.77 4.75 1.88 3.49 0 1 61 27
master
Studio 0.90 0.87 0.86 0.00 0.83 4 5 100 8
The Application of Phase Change Materials to Improve the Climate. . .
145
146
Sunspace 1.66 1.26 1.16 0.73 1.26 24 30 56 24
GF
Sunspace FF 5.03 4.11 3.96 2.99 4.11 18 21 41 18
Sunspace 5.32 4.18 3.82 2.82 4.16 21 28 47 22
loft
Living room 0.65 0.64 0.64 0.21 0.64 2 2 68 2
Bedroom 0.30 0.29 0.29 0.00 0.15 4 4 100 50
south
Bedroom 0.07 0.07 0.07 0.00 0.00 0 0 100 100
north
Bedroom 1.63 1.63 1.61 0.05 0.70 0 1 97 57
master
Studio 0.06 0.06 0.06 0.00 0.06 0 0 100 0
L. Rodrigues et al.
10.4.2 Application of Concrete
In Case 4 the presence of concrete has had more of an impact than the PCM in all
simulated zones. In temperatures >25 C the maximum percentage drop caused by
concrete inclusion as occurred in the Sunspace loft, where 16 % in Case 1 has
reduced to around 12.5 %. Significant reductions have also occurred in all other
areas, most notably the master bedroom. The impact of these reductions is also
noticeable in Figs. 10.3 and 10.4. The percentage improvements can be further
analysed in Table 10.3.
As can be seen the improvements in the table are significant and this would be
expected. Concrete is a very dense material and therefore has a large thermal mass,
and this will have caused the reductions shown in the results. It should be noted that
in the wall construction where the concrete was included, 240 m2 of the material
with a thickness of 100 mm was exposed to the internal environment. However,
considering the amount of additional thermal mass exposed and the reduction it has
caused, the impact of the PCM inclusion has been placed into context.
Relatively comparable reductions can be achieved albeit with lighter materials
on a smaller surface area. The thickness of the PCM layer was 12.5 mm, 12.5 % that
of the concrete (100 mm), and the surface area exposed was approximately 30 m2
(compared to 240 m2 of concrete). This quantity of PCM provided a reduction to
overheating that was around a third of that provided by the concrete in the areas of
the house it was installed in. However, the results of this study have also shown this
effect is limited to small thicknesses of the PCM board, as the results of Case 3 have
shown when a thicker layer of PCM was applied.
10.5 Conclusions
This study has analysed the impact of including PCMs into dynamic simulation in a
building designed through MMC. The application of the PCM materials was limited
to areas where risk of overheating was greater, i.e. the sunspace and bedroom areas.
The results of the base case (Case 1) showed that impacts of the inclusion were
limited to a small range between 3 and 16 % percentage of annual overheating time.
The size of this range was dependant on the zone location within the simulation.
The impact of PCM inclusion was most apparent in the zones where it was installed.
For example, when overheating was analysed >25 C, in the sunspace areas
reductions of 1316 % (on the Case 1 values) occurred with PCM inclusion.
Comparatively, when overheating was analysed in the bedroom areas with PCM
inclusion, reductions in overheating ranging between 9 and 17 % (on the Case
1 values) were achieved. The impact of these reductions increased when tempera-
tures of overheating >26 C and >28 C were analysed. However, these results
should be taken in context as the overheating percentage in the base case (Case 1)
was also reduced.
Inclusion of concrete to the external walls of the building significantly reduced

the amount of overheating in all zones analysed within the study. However, the
impact of the PCM reduction was comparative with that of the thermal mass of the
concrete. Considering the thickness of the PCM layer was 12.5 % that of the
concrete and the exposed surface area of the PCM was 10 % that of the concrete,
the PCM had a considerable impact on the quantity of overheating when the two
materials were directly compared. However, PCM board was not installed in all
zones, and overheating in these areas was not mitigated. Therefore additional board
would have to installed in these areas if a direct comparison were to be carried out
correctly.
This exercise has shown that the inclusion of PCM can be potentially used as a
methodology to mitigate overheating in low thermal mass housing. However,
considering the magnitude of reduction it is likely to achieve, it would be prudent
to use it in conjunction with other methodologies, such as ventilation, as it would
unlikely provide a full solution.
Nomenclature
Acronyms
ACH Air changes per hour
CEH Creative Energy Homes
DSY Design summer year
EAHE Earth-air heat exchanger
FF First floor
GF Ground floor
HDPE High density polythene
MMC Modern methods of construction
PCM Phase change materials
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Chapter 11
Green Jubail Industrial City
Mohammed I.Y. Aleid
Abstract In this study the focus is on reduction of pollution in Jubail Industrial

City (J.I.City), but this could be implemented to any industrial city in general. Its a
fact that the pollution in J.I.City is caused from many sources. Some of them are:
1. Chemical reactors in petrochemical plants.
2. Use of diesel fuel in boilers in petrochemical plants.
3. Use of diesel fuel and Gasoline in power plants/water desalination plant.
4. Use of diesel trucks to transfer the product to port and city.
5. Use of gasoline fuel in personal automobile.
Population and pollution of gasoline automobile in growing continuously and
tremendously in J.I.City since this industrial city has large residential area, J.I.City
therefore has lots of individual vehicles. Beside that there is no public transporta-
tion system currently available except for schools to transport student.
The research recommends Electric Vehicle (EV) as a solution to reduce the
amount of pollution created by internal combustion engine cars which is currently
the only available personal transportation means.
The starting point is rules and legislations to be set by the city council (Royal
Commission for Jubail) to facilitate the solutions and make them possible and
implementable.
The city council will be the starting point for implementation of EV, next stage
will be major companies in the area to implement EV, third stage will be schools
public transportation system, fourth stage will be to establish a new public
transportation system that is operated by EV only. Fifth stage is to establish
electric train to move J.I.City products to port and other cities. Last stage is to
abandon personal internal combustion engines cars from entering J.I.City. The
research is recommending an EV that can be economical and effective for J.I.City
environment.
Keywords Pollution Electric vehicle Green Jubail Industrial city
M.I.Y. Aleid (*)

Royal Commission for Jubail and Yanbu, Jubail Industrial College, Jubail Industrial City,
P O box 10001, Jubail, Eastern Province 31961, KSA

152 M.I.Y. Aleid
11.1 Introduction
Jubail Industrial City (J.I.City) like any other Industrial city suffers from the effects
of pollution in atmosphere, related to the release of CO, CO2 and other gases from
petrochemical industry, power plants and other industries. Simply all these gases
make their way to our environment to pollute air. Human Lungs is the first victim
then animals lungs followed by plants and agriculture and therefore the cycle
continues. Human will be the worst in the whole cycle of pollution since human
breath polluted air, then he eats polluted animals and polluted plants.
Although automobile pollution is part of the problem only but the availability of
pollution gases from cars is very close to human breathing unlike factories and
plants pollution which occasionally only comes down to the level of human
breathing.
In Jubail Industrial city and Saudi Arabia population of environment increase
with a direct proportional relation with the population increasing, and in the same
time population of vehicles, the ratio of people to vehicles can be as bad as every
adult own a car whether old or new i.e. the ratio is one adult to one car (1:1), one
important factor also is that there is no public transportation system another one is
that 1 l of gasoline cost 0.92 Saudi Riyal that is equivalent to 0.25 US dollar which
is effectively cheaper than 1 l of canned water, all the said factors made getting
internal combustion engine car for transportation a matter cant be avoided.
11.2 Methodology
1. Questionnaire to check community awareness.

2. Interview with officials in city council.
3. Analysis of Air Quality Reading Log installed in Jubail Industrial City.
4. Calculation of pollution because of car toxic gases in J.I. City.
5. Possible saving of city council if using Electric Vehicle (EV).
6. Comparison of market EV.
11.3 Questionnaire
Questionnaire was prepared to know the community awareness of environmental

pollution and check the acceptance of community to the Electric Vehicle (EV).
Questionnaire consisted from 13 questions (Appendix) and 318 people partici-
pated in the questionnaire.
Age of participants 44 % range from 20 to 30 years, 42 % those ranging from
31 to 50 years and 14 % was the percentage of people aged more than 51 years
(Fig. 11.1).
11 Green Jubail Industrial City 153
Fig. 11.1 Age of

questionnaire participants
Fig. 11.2 Gender of questionnarie participants
Gender of participants mainly was male participants, with 9 % female partici-

pation (Fig. 11.2).
The highest Percentage of participants was faculty staff members 53 %,
followed by student participation 33.5 % finally 7.2 % of admin staff participation,
2.8 % engineers and 2.8 % technicians see Fig. 11.3.
When we asked whether its known that our environment is contaminated by
other than industrial pollution 91.5 % said yes (Fig. 11.4).
154 M.I.Y. Aleid
Fig. 11.3 The career of participants
Fig. 11.4 Pollution come from source other than industry
When people were asked whether they know that gasoline and diesels produce
sound pollution 89 % of people said yes see Fig. 11.5.
Ninety-six percent of people know that their car pollute environment see
Fig. 11.6.
Eighty-three percent of questionnaire sample know that Electric Vehicle has no
sound and toxic gas pollution see Fig. 11.7.
Fig. 11.5 Majority of

people agreed that Engines
produce noise pollution
Fig. 11.6 People that are

not aware that their car
pollute environment were
4%
Thirty-five percent of people are not aware that natural gas operated engine has a
very low pollution effect (Fig. 11.8).
When people were asked if they support electric or gas public transportation,
87 % agreed (Fig. 11.9).
Nearly 60 % of people agreed to stop every 200 km to charge EV (Fig. 11.10).
Sixty-two percent of community is ready to change their gasoline or diesel car to
EV or gas powered car (Fig. 11.11).
When questionnaire participants were asked, if they are to chose to change their
car what would they chose. Forty-four percent chosen EV and gasoline powered
car, 32 % chosen EV, 17 % chose EV and Gas powered finally only 7 % their choice
was Gas-powered car (Fig. 11.12).
Fig. 11.7 Awareness of
Electric Vehicle
Fig. 11.8 Awareness of

community about Gas Cars
Fig. 11.9 Support for

electrical or gas operated
public transportation
Fig. 11.10 Acceptance of people to EV charging every 200 km
Fig. 11.11 Percentage of

people ready to change their
diesel or gasoline car to EV
11.4 Pollution in J. I. City
Whatever the pollution volume in J. I. CITY our target to decrease this pollution, to
do that we need to prove that there is more pollution because of vehicle emissions.
As shown in Fig. 11.13 there are total nine air quality analyzer units spread
around inside and outside Jubail Industrial city, monitored by environment depart-
ment of city council (Royal Commission for Jubail). Results of these units are
monitored and maintained by environment department, we met Mr. Ali Abdullah
Mubarak and he provided details about positions of the units and also provided us
with 1 week 24 h readings for the whole 9 units.
Typical Engine Combustion [1]:
158 M.I.Y. Aleid
Fig. 11.12 In case people decide to change their car which one they would choose
Fig. 11.13 Total nine air quality analyzer units spread around inside and outside J. I. City
Fuel Air ) Hydrocarbons Nitrogen Oxides Carbon Dioxide

Carbon Monoxide water
We will concentrate here on CO gas emissions

Figure 11.14 show reading of air quality in Jubail town as provided to us from
EPCD department in city council in Jubail, we will notice a peak in reading of CO
Fig. 11.14 Reading of CO gas at Jubail Town on Saturday during 24 h
Fig. 11.15 CO level in Jubail town during weekend
gas at 8:00 a.m. which is just after the morning rush hour during week day
Fig. 11.14.
As shown in Fig. 11.15 below CO reading for whole day on hour basis in the
same location but during the weekend, same trend is noticed that there is a high
level of Carbon monoxide (CO) gas during hour 5 of the day, never the less level of
CO peak generally was lower throughout the day.
160 M.I.Y. Aleid
As we analyze reading in Jubail Industrial City itself we end up with the same
conclusion as the peak of max CO emission occur at 8:30 morning which also rush
time but slightly shifted because of starting time for plant workers which is 6:30 a.
m. to 8:00 a.m.
We can conclude that emissions in Jubail industrial city are effected highly by
vehicle emissions.
11.5 Volume of Pollution Saving
Total population in Jubail industrial city [2] is according to the Seventh Census
Report for Jubail Industrial City, prepared in 2005, gives a resident population of
224,430 [2], not counting visitors who travel from nearby city every day either to
attend colleges, schools and jobs in the city; an early we can calculate a rough figure
of how much pollution we can save. Also considering that this figure is 8 years old
its a good approximate to use the same number 224,430 as number of vehicles in
Jubail Industrial City.
Using www.terrapass.com as a carbon footprint calculator, two samples were
calculated on 15,000 mile per year basis for two car samples:
(a) American car GMC model 2011, Yukun K1500, XL 4WD Carbon footprint was
16,183 lb CO2 per year
(b) Japanese car Nissan model 2011, Pathfinder 4WD, Carbon footprint was
17,135 lb CO2 per year
As a result we can give approximate number of carbon footprint print of CO2 for
the whole city per year:
(a) Based on American Car carbon footprint of CO2 224,430 car 16,183 lb
CO2 3,631,950,690 lb 1,647,425 metric Ton 1.6 Million Ton
(b) Based on Japanese Car carbon footprint of CO2 224,430 car 17,135 lb
CO2 3,845,608,050 lb 1,744,338 metric Ton 1.7 Million Ton
Taking the average Car carbon footprint of CO2 in J.I.City 1.67 Million Ton
CO2 per year.
11.6 Cost of Fuel Per Year
Assuming that global fuel costs $3.333/gallon for regular unleaded gasoline,
$3.575/gallon for premium, KSA cost $ 0.95/Gallon.
(a) Based on American Car (C1500 Yukon Xl 2wd) MPG 17, regular fuel, 1 year
Global Cost $2,904.5, KSA cost $827.9 [3]
(b) Based on Japanese combined MPG 16, premium fuel, 1 year global cost
$3,313.26, KSA cost $880.45 [4]
Taking the average global $3,108.88
Taking the average KSA $854.2
Taking the total average fuel cost in J.I.City (global) 224,430 $3,108.8 $
697.7 M
Taking the total average fuel cost in J.I.City (KSA) 224,430 $854.2 $
191.7 M
Car carbon footprint of CO2 in J.I.City 1.67 Million Ton CO2 per year this
amount of pollution coming only from vehicles in an industrial city noticing that
this amount was calculated for model 2011 cars imagine the pollution for 5 years
old car or more, this amount of pollution also reflected in the CO level at the
beginning and end of business day see Figs. 11.14, 11.15 and 11.16.
We could save $697.7 M $191.7 M $506 M fuel cost, which is the difference
between global fuel price and KSA fuel price, this amount could be used to develop
the city.
Fig. 11.16 CO level in measured in Jubail Industrial City location throughout the day
162 M.I.Y. Aleid
11.8 Conclusions
In conclusion transportations using fossil fuel should be stopped inside J.I.City in

year 2015, electric public transportation should be developed inside the city, City
Council should start using Electric Vehicle, and main industrial companies in the
city should be convinced to do so also.
Car agencies should start selling EV in KSA.
I recommend Nissan Leave EV as suitable 70 mile range equivalent 112 km with
a price $35,200 that sound reasonable, people already tried for 1 year and reported
reasonable feedback [5].
Acknowledgement I here acknowledge all Departments in Royal Commission for Jubail

(RC) for the support to finish this research, starting from Jubail Industrial College, Environment
Department in RC and Roads Department.
Nomenclature
ppm Part per million

EV Electric vehicle
Superscripts
* Reference condition
Appendix
164 M.I.Y. Aleid
References
1. http://www.nutramed.com/environment/carsepa.htm. Accessed 3 July 2012

2. http://en.wikipedia.org/wiki/Jubail. Accessed 3 July 2012
3. http://www.terrapass.com/individuals-families/carbon-footprint-calculator/#air.Accessed3July
2012
4. http://www.mpgbuddy.com/vehicle-profile/30539/2011-nissan-pathfinder-4wd.html. Accessed
3 July 2012
5. http://news.discovery.com/autos/nissan-leaf-one-year-report-120327.html. Accessed 3 July 2012
Chapter 12
Design of a Nearly Zero Energy One-Family
House in North-Centre Italy
Enzo Zanchini and Stefano Lazzari
Abstract The thermal design of a nearly zero energy one-family house, in North-
Centre Italy, is described. The house has a timber frame, a wood-fiber thermal
insulation for the roof and a wood-fiber plus YTONG blocks thermal insulation for
the lateral walls. Forced ventilation with high efficiency heat recovery is employed.
Heating and cooling is provided by an air-to-water heat pump connected to floor
radiant panels. Domestic Hot Water is supplied by a thermal solar collector and a
heat pump for DHW. The electric energy for the heat pumps and for the forced
ventilation system is supplied by PV collectors, which provide also most of the
electric energy for lighting and appliances. The thermal design is based on dynamic
simulations performed through the code TRNSYS 16.
Keywords Nearly zero energy buildings Air-to-water heat pumps Thermal

solar collectors PV collectors Hourly simulation
12.1 Introduction
Improving the energy efficiency of buildings, and possibly reach zero use of fossil
fuels for space heating, cooling and dehumidifying, DHW production, and lighting
is considered nowadays as an important technical target in most countries. In
particular, in the USA, the Energy Independence and Security Act of 2007 (EISA
2007) authorizes the Net-Zero Energy Commercial Building Initiative to support
the goal of net zero energy for all new commercial buildings by 2030. In Europe,
the Directive 2010/31/UE on Energy Performance of Buildings, adopted in May
2010, establishes the nearly zero energy target from 2018 for all the new
buildings owned or occupied by public authorities, and from 2020 for all new
buildings. As a consequence, a broad research activity on the design and monitoring
of nearly zero energy buildings (NZEB), as well as on the methods to assess their
performance, has been developed.
E. Zanchini (*) S. Lazzari

Department of Industrial Engineering, School of Engineering and Architecture,
University of Bologna, Viale Risorgimento 2, 40136 Bologna, Italy

166 E. Zanchini and S. Lazzari
Thiers and Peuportier [1] used life cycle assessment (LCA) to evaluate the
environmental impacts of two high-energy performance buildings, a renovated
multi-family social housing building and two passive attached houses, both located
in North of France. In 2011, Marszal et al. [2] analyzed the existing NZEB
definitions and calculation methodologies in order to facilitate the development
of a consistent NZEB definition and of a widely shared energy assessment method.
Terlizzese and Zanchini [3] analyzed the feasibility of two zero carbon emission
plants for a residential building complex in North-Centre Italy, with respect to a
conventional plant. The zero carbon plants are composed of either air-to-water heat
pumps or ground coupled heat pumps, PV solar collectors, air dehumidifiers,
thermal solar collectors and an auxiliary wood pellet boiler. The results show that
the air-to-water heat pumps yield a shorter payback time, while the ground coupled
heat pumps yield a higher exergy saving during the life cycle.
Gustavsson and Joelsson [4] investigated the primary energy use and the CO2
emission for the production and operation of conventional and low-energy residen-
tial buildings. Different types of energy supply systems are considered. The results
show that the primary energy used and the CO2 emission resulting from production
are lower for wood-framed constructions than for concrete-framed constructions.
Karlsson and Moshfegh [5] reported the results of a study of 20 low-energy
houses situated on the west coast of Sweden. The ventilation performance, the
energy demand, the households perception of the building, the CO2 emissions, the
embodied and the operational energy, and the payback time with respect to ordinary
Swedish buildings are investigated. Citherlet and Defaux [6] compared three
variants of a family house in Switzerland, with standard, high and very high-
energy performance, in order to evaluate the total environmental impacts during
the whole building life cycle.
Relevant examples of NZEBs are described in the website Net Zero Energy
Buildings Database of the International Energy Agency [7]. Among the buildings
described there we can point out the Aldo Leopold Legacy Center, located at
Baraboo, WI (1,100 m2), the Audubon Center at Debs Park, located in Los Angeles,
CA (467 m2), the Challengers Tennis Club for Boys and Girls Los Angeles, CA
(325 m2), the Environmental Technology Center at Sonoma State University
Rohnert Park, CA (204 m2), the Hawaii Gateway Energy Center Kailua-Kona, HI
(334 m2), the Adam Joseph Lewis Center for Environmental StudiesOberlin
College, located at Oberlin, OH (1,260 m2).
In this paper, the energy performance of a nearly zero energy one-family house
under construction in North-Centre Italy, at Casalfiumanese (Bologna), is studied
by dynamic simulations performed through the software TRNSYS 16. After con-
struction, the house will be monitored and the evaluated performance will be
compared with actual measurements.
The house has only one floor, and is composed of two bedrooms, two bathrooms,
a living room and a kitchen. It has a timber frame and a thermal insulation
composed mainly of wood-fiber and YTONG blocks. The hourly energy needs
for heating, cooling, and summer dehumidifying are evaluated by means of
TRNSYS 16; the monthly energy needs for domestic hot water supply are evaluated
12 Design of a Nearly Zero Energy One-Family House in North-Centre Italy 167
according to UNI/TS 11300-2. The plant is composed of an air-to-water heat pump

for heating and cooling, a solar collector and a heat pump for DHW production, a
forced ventilation system with heat recovery, PV collectors designed to meet the
whole electric energy use of the house, including lighting and domestic appliances.
The hourly electric energy use for heating, cooling and dehumidifying is evaluated
by considering the hourly energy need, the plant emission and regulation efficiency,
the COP and EER data of the heat pump, given by the constructor, and the methods
recommended by UNI/TS 11300-4 and UNI/TS 11300-3 to take into account the
reduction of COP or EER due to intermittent operation.
12.2 Description of the Building
A layout of the house is reported in Fig. 12.1, where five thermal zones are
evidenced: Night 1 (bedroom), Bath 1 (bathroom), Day (living room and kitchen),
Night 2 (bedroom), Bath 2 (bathroom). The net heated floor area is 93.2 m2. The
roof has two pitches, with a slope of 14 , and two horizontal overhangs. The
orientations of the main sides of the building, as well as of the roof pitches and
overhangs, are 16 East of North and 16 West of South. The overhang with
orientation 16 East of North has a width of 2.3 m, and has been required by the
householders to have a more comfortable use of the outside space, which, on this
side, faces a nice small lake. The overhang with orientation 16 West of South has a
width of 2.0 m, and has been designed to provide a good shadowing of the windows
facing South. A view of the North side of the house is reported in Fig. 12.2.
The vertical external wall has a thickness of 40 cm, and is composed of YTONG
blocks, wood-fiber insulation, Celenit (fir fiber and mineral binders), OSB (cross-
oriented layers of thin wooden strips, compressed and bonded together with wax
and resin adhesives), air layers, two vapour barriers and a low emissivity layer. The
main characteristics of the vertical external wall, in correspondence of the wood-
fiber insulation (91.3 % of the whole length), are listed in Table 12.1. For the air
layers, the effective thermal conductivity has been reported, evaluated by applying
the standard UNI EN ISO 6946. If one takes into account the internal and external
surface resistances recommended by UNI EN ISO 6946 (0.13 and 0.04 W/(m2 K),
respectively), the wall transmittance is 0.176 W/(m2 K). In correspondence of the
timber pillars (8.7 % of the whole length), the layers 4 and 5 of the Table are
replaced by a timber layer with a thickness of 0.16 m (the pillar) and a thermal
conductivity of 0.13 W/(m K). The transmittance of this part of the wall, according
to UNI EN ISO 6946, is 0.295 W/(m2 K). In TRNSYS, the convection and radiation
heat exchanges are calculated separately and the standard surface resistances are
not employed.
The roof has a thickness of 29 cm (excluding the timber beams, whose thermal
resistance has not been considered), and is composed of a fir layer, a vapour barrier,
Celenit, wood-fiber insulation, a ventilated air layer, OSB, a low emissivity layer
and a steel sheet. The main properties of the layers of the roof, from inside to
Fig. 12.1 Layout of the house
Fig. 12.2 View of the North side of the house (under construction)
Table 12.1 Layers of the vertical external wall, of the roof and of the floor
Mass/area
Layer Thickness (m) (W/(m K)) R (m2 K/W) (kg/m3) (kg/m2)
Wall
1. Cellulose-gypsum 0.012 0.352 0.034 1,150 13.8
board
2. Vapour barrier 0.001 0.071 0.014 40 0.04
3. OSB 0.012 0.143 0.084 630 7.56
4. Wood-fiber 0.14 0.042 3.333 50 7
5. Air 0.02 0.109 0.183 1 0.02
6. OSB 0.012 0.143 0.084 630 7.56
7. Celenit 0.035 0.064 0.547 400 14
8. Low emissivity layer 0.001 0.071 0.014 40 0.04
9. Air 0.046 0.092 0.500 1 0.046
10. Vapour barrier 0.001 0.071 0.014 40 0.04
11. YTONG block 0.115 0.165 0.697 600 69
12. Plaster 0.005 0.9 0.006 1,800 9
Total 0.4 5.510 128.106
Roof
1. Fir 0.025 0.18 0.139 450 11.25
2. Vapour barrier 0.001 0.071 0.014 40 0.04
3. Celenit 0.05 0.062 0.806 360 18
4. Wood-fiber 0.1 0.038 2.632 140 14
5. Wood-fiber 0.04 0.038 1.053 140 5.6
6. Air (ventilated) 0.06 0.000 1 0.06
7. OSB 0.012 0.000 630 7.56
8. Low emissivity layer 0.001 0.000 40 0.04
9. Steel 0.0005 0.000 7,870 3.94
Total 0.290 4.644 60.49
Floor
1. Tiles 0.01 0.000 2,300 23
2. Concrete 0.05 0.000 2,000 100
3. Concrete with tubes 0.05 0.000 2,000 100
4. Isolex 0.12 0.035 3.429 360 43.2
5. Isocal 400 0.27 0.126 2.143 400 108
Total 0.5 5.571 374.2
outside, are reported in Table 12.1, below those of the wall. As prescribed by the
standard UNI EN ISO 6946, the thermal resistances of the ventilated air layer and of
the layers above it have been considered as vanishing. If one takes into account the
internal and external surface resistances recommended by UNI EN ISO 6946 (0.10
and 0.04 W/(m2 K), respectively), the roof transmittance is 0.209 W/(m2 K).
The floor has a thickness of 50 cm, and is composed of tiles, a cement layer, a
second cement layer which contains the tubes of the radiant panel system, two
insulating layers whose principal component is expanded polystyrene. The main
Table 12.2 General properties of the windows

Property Value Unit
Glass transmittance 1.305 W/(m2 K)
Frame transmittance 2.099 W/(m2 K)
Frame thickness 0.06 m
Glass-frame thermal bridge UNI EN ISO 10077-1 0.08 W/(m K)
Additional thermal resistance, Radd 0.26 m2 K/W
Use fraction of Radd 0.6
properties of the layers of the floor, from inside to outside, are reported in the end of
Table 12.1. The thermal resistances of the layers above the tubes of the radiant
panels have been considered as vanishing. The total thermal resistance of the
insulating layers (below the tubes of the radiant panels) is 5.571 (m2 K)/W, and
corresponds to a transmittance of 0.179 W/(m2 K).
To determine the heat exchanges between the house and the ground, the time
evolution of the temperature of the ground, at the interface ground-floor, has been
evaluated by means of a finite element simulation performed through the software
COMSOL Multiphysics. The computational domain considered is a cross section of
the floor and of the soil, with a depth of 16 m from the ground surface and a width of
16 m around the building.
The hourly values of the external air temperature of Bologna, in the typical
meteorological year given by the software Meteonorm Version 5, available in
TRNSYS 16, have been approximated by a sinusoidal function with mean value
14 C and amplitude 12 C. The temperature of the upper surface of the floor has
been set equal to 20 C during the heating period and equal to 26 C during the
cooling period. The obtained time evolution of the temperature at the surface
between ground and floor has been approximated by the interpolating function
gd 16:3 2:3 sin 0:0007173 t 1 12:1
where gd is the temperature of the surface between ground and floor and t is time,
in hours. Equation (12.1) has been employed in the dynamic simulation performed
through TRNSYS.
The windows are double glazed, 4 mm glass16 mm argon4 mm glass, with
a low emissivity layer and a wooden frame. The window sizes, in centimeters, are
the following: 120 100 (2 windows), 120 210 (2 windows), 220 210 (2 win-
dows), 80 100 (2 windows), 50 100 (1 window). The general properties of the
windows are reported in Table 12.2. To insert the properties of the windows in
TRNSYS the following procedure has been adopted. The window ID 13001, Saint
Gobain CLIMAPLUS FUTUR AR 1.4 4/16/4, which has a glass transmittance
of 1.43 W/(m2 K) has been considered. To obtain a glass transmittance of 1.305 W/
(m2 K), an additional thermal resistance equal to 0.067 m2 K/W has been applied to
the glass surface. This resistance has been added to the whole window area, as a
convective thermal resistance, and multiplied by the ratio between glass area and
total area. The 60 % use fraction of the additional thermal resistance Radd due to
closed rolling shutter has been obtained by assuming that shutters are closed from
6 pm to 8 am.
The linear transmittances of the thermal bridges have been evaluated as pre-
scribed by the standard UNI EN ISO 14683. The kinds and linear transmittances
(with reference to the internal length) of the thermal bridges are: intersection of
two vertical walls (C4), 0.10 W/(m K); connection wall-window (W16),
0.15 W/(m K); intersection wall-roof (R10), 0.20 W/(m K); intersection
wall-floor (GF8), 0.20 W/(m K).
12.3 Climatic Data
The climatic data are available in the meteorological files of TRNSYS 16, which
are taken from the software Meteonorm 5. The climatic data for Bologna refer to the
exact values of latitude and longitude (44 300 North, 11 210 East), but to an altitude
of 158 m, very close to that of Casalfiumanese (125 m). Therefore, they can be
employed for Casalfiumanese without corrections. The values of the monthly
averaged temperature of the external air during the Typical Meteorological Year
(TMY) considered in Meteonorm 5, obtained by averaging the hourly data, are
reported in Table 12.3. The simulation code TRNSYS evaluates the radiant energy
incident on a plane with any slope and azimuth angle, during each hour. By
employing the hourly data, we have determined the values of the radiant energy
incident during each month on the PV panels, integrated in the roof pitch oriented
towards South (slope 14 , azimuth 16 ), and on the thermal solar collectors,
oriented towards exact South with a slope of 60 . The results obtained are reported
in Table 12.3. The radiant energy incident in a year on the above mentioned planes
is 1,293 kWh/m2 for the plane with slope 14 and azimuth 16 , and 1,219 kWh/m2
for the plane with slope 60 and azimuth 0 (true South).
12.4 Forced Ventilation with Heat Recovery, Set Point

Conditions and Internal Heat Gains
The volume flow rate of fresh air is evaluated according to the standard UNI EN
15251: 2008, by assuming that the building is a second-class one. During occu-
pancy, the prescribed flow of fresh air is 0.42 l/(s m2), and thus 39.14 l/s for
the apartment. We assume V_ ve 40 l=s 144 m3 =h. During the non-occupancy
period, the prescribed flow rate is between 0.05 and 0.1 l/(s m2). By considering
0.075 l/(s m2) one obtains 6.99 l/s. We assume V_ ve 7 l=s 25:2 m3 =h. Since the
net internal volume of the building is 335 m3, during occupancy one has an air
change rate equal to 0.43 h1. We refer to a 50 % occupancy and consider, for
172
Table 12.3 Climatic data

Monthly averaged temperatures of the external air for Bologna, TMY of Meteonorm 5, C
Jan. Feb. Mar. Apr. May June July Aug. Sept. Oct. Nov. Dec.
1.7 4.3 9.4 13.8 20.2 21.5 24.4 24.1 20.9 14.4 8.4 3.9
Monthly solar radiation per unit area on the planes of the PV and thermal collectors, W/m2
[ ] Jan. Feb. Mar. Apr. May June July Aug. Sept. Oct. Nov. Dec.
14 47.72 55.19 98.04 126.15 156.00 172.91 183.85 165.03 122.87 83.68 44.64 37.29
60 66.87 63.47 102.92 114.00 123.49 132.16 143.37 144.25 123.69 98.23 55.99 50.75
E. Zanchini and S. Lazzari
the evaluation of ventilation heat losses, the average value V_ ve 23:5 l=s
0:0235 m3 =s 84:6 m3 =h. The forced ventilation system is provided with a heat
recovery unit with efficiency hru 0.92.
The lowest value of the internal air temperature has been set equal to 20 C, for
every hour and thermal zone. Similarly, the highest value of the internal air
temperature has been set equal to 26 C. The relative humidity control of the
internal air, at 50 % relative humidity, is performed only during the cooling season
(without winter humidification). In agreement with UNI TS 11300-1, the internal
heat gains are evaluated through the equation
Q_ int 5:924 A f 0:01557 A2f 12:2
where Q_ int is the power of internal gains in W, and Af is the heated floor area in m2.
Since Af 93.2 m2, one has Q_ int 358:2 W.
12.5 Thermal Energy Needs for Heating, Cooling

and Dehumidifying
By employing the data reported in the preceding sections, TRNSYS evaluates

directly the hourly needs of thermal energy for heating, cooling and dehumidifying.
The hourly needs of thermal energy for heating and cooling are illustrated in
Fig. 12.3; the monthly ones are illustrated in Fig. 12.4. The monthly energy needs
for dehumidifying are illustrated in Fig. 12.5. The yearly need of thermal energy is
3,646.8 kWh (i.e. 39.13 kWh/m2) for heating, 1,168.5 kWh for cooling, 368.9 kWh
for dehumidifying.
6
heating
kWh
cooling
5
0
hours
0 2000 4000 6000 8000
Fig. 12.3 Hourly energy needs for heating (red) and cooling (blue)
1200
kWh heating
996.2 cooling
1000
882.7
800 721.9
600
506.7
415.7
400 372.8
318.1
224.3
200
86.9 110.0 100.4 79.5
Fig. 12.4 Monthly energy needs for heating (red) and cooling (blue)
120
109.0 107.8
kWh
100
80
66.2
60 55.4
40
30.5
20
0
May June July Aug. Sept.
Fig. 12.5 Monthly energy needs for dehumidifying
12.6 Thermal Energy Needs for Domestic Hot

Water (DHW)
The monthly energy need of thermal energy for DHW production has been evalu-
ated as prescribed by the standard UNI/TS 11300-2. The thermal energy required in
a month is given by
QDHW c V W SW 0 G 12:3
Table 12.4 Monthly needs of thermal energy for DHW production

Monthly needs of thermal energy for DHW production, kWh
129.6 117.1 129.6 125.4 129.6 125.4 129.6 129.6 125.4 129.6 125.4 129.6
where is the water density, c is the specific heat capacity at constant pressure, VW
is the volume of water supplied in a day, SW is the temperature of the supplied
water, 0 is the temperature of water in waterworks, G is the number of days in the
month.
One assumes, conventionally, SW 40 C and 0 15 C, so that
SW 0 25 C. For residences, the daily DHW use in liters is given by
V W a Af 12:4
where Af is the useful floor area (93.2 m2) and a is a coefficient which, for values of
Af between 51 e 200 m2, is given by the equation
a 4:514 A0:2356
f 12:5
In the case under exam, one has a 1.551 and VW 144.54 l/day. As a conse-
quence, by employing for the density the mean value between 15 and 40 C
(995.7 kg/m3) and for c the conventional value recommended in UNI/TS 11300-2
(1.162 Wh/(kg K)), one obtains the daily need of thermal energy
QDHW 4.181 kWh/day. The monthly needs of thermal energy for DHW produc-
tion are reported in Table 12.4. The annual need of thermal energy for DHW is
1,526 kWh, and corresponds to 41.8 % of that for space heating.
12.7 Description of the Heating, Cooling

and Dehumidifying Plant
Space heating and cooling are accomplished by means of water circulation in floor
radiant panels. The water inlet temperature in the radiant panels is 35 C during
winter and 18 C during summer. The emission, control and distribution efficien-
cies are, respectively: e 0.99 for heating and e 0.97 for cooling; c 0.97;
d 0.998; there is no storage. The total emission, control and distribution effi-
ciency, for heating, is ecd 0.99 0.97 0.998 0.958.
The water at the desired temperature is produced by an air-to-water heat pump
with inverter, with nominal electric power 1.37 kW, nominal heating thermal power
5.80 kW and nominal cooling power 7.0 kW. The humidity control is performed by
a dehumidifier with an absorption of 0.350 kW.
Table 12.5 COP of the heat pump for a water supply temperature of 35 C
% of nominal frequency
e ( C) 100 % 90 % 80 % 70 % 60 % 50 % 40 % 30 % 15 %
10 2.69 2.72 2.75 2.79 2.83 2.86 2.87 2.88 2.88
7 2.86 2.88 2.92 2.96 3.00 3.03 3.05 3.06 3.06
0 2.97 3.00 3.04 3.08 3.12 3.15 3.17 3.18 3.18
2 3.07 3.10 3.14 3.18 3.23 3.26 3.28 3.29 3.29
7 4.20 4.24 4.29 4.35 4.41 4.45 4.48 4.49 4.49
10 4.63 4.67 4.73 4.80 4.86 4.91 4.94 4.95 4.96
20 6.07 6.12 6.20 6.28 6.37 6.43 6.47 6.49 6.49
30 7.50 7.57 7.67 7.77 7.88 7.95 8.00 8.03 8.03
Table 12.6 Heating power of the heat pump for a water supply temperature of 35 C, kW
e ( C) 100 % 90 % 80 % 70 % 60 % 50 % 40 % 30 % 15 %
10 3.02 2.87 2.61 2.27 1.93 1.58 1.24 0.90 0.56
7 3.26 3.09 2.81 2.45 2.08 1.71 1.34 0.97 0.61
0 3.99 3.78 3.44 2.99 2.54 2.09 1.64 1.19 0.74
2 4.20 3.80 3.62 3.15 2.67 2.20 1.72 1.25 0.78
7 5.82 5.52 5.02 4.37 3.71 3.05 2.39 1.73 1.08
10 6.32 5.99 5.45 4.74 4.02 3.31 2.59 1.88 1.18
20 7.98 7.57 6.88 5.99 5.08 4.18 3.28 2.38 1.49
30 9.64 9.15 8.32 7.24 6.14 5.05 3.96 2.87 1.79
Table 12.7 EER of the heat pump for a water supply temperature of 18 C
e ( C) 100 % 90 % 80 % 70 % 60 % 50 % 40 % 30 % 15 %
5 12.87 15.41 19.03
15 10.48 12.55 15.50
25 5.72 6.02 6.27 6.55 7.16 8.57 10.58
35 3.61 3.79 4.04 4.19 4.37 4.69 5.13 6.14 7.58
45 2.64 2.84 2.99 3.10 3.15 3.43 3.74 4.48 5.54
The COP of the heat pump, for a water supply temperature of 35 C, is reported
in Table 12.5, as a function of the external temperature, e, and of the percent of
nominal frequency. The heating thermal power for a water supply temperature of
35 C, is reported in Table 12.6, as a function of the external temperature and of the
percent of nominal frequency.
The EER of the heat pump, for a water supply temperature of 18 C, is reported in
Table 12.7, as a function of the external temperature, e, and of the percent of nominal
frequency. The cooling thermal power for a water supply temperature of 18 C
is reported in Table 12.8, as a function of the external temperature and of the percent
of nominal frequency. The EER of the air dehumidifier is assumed equal to 2.0.
Table 12.8 Cooling power of the heat pump for a water supply temperature of 18 C, kW
e ( C) 100 % 90 % 80 % 70 % 60 % 50 % 40 % 30 % 15 %
5 4.01 2.90 1.75
15 3.66 2.63 1.57
25 6.58 5.82 5.02 4.19 3.30 2.35 1.38
35 7.00 6.57 5.94 5.24 4.52 3.75 2.95 2.08 1.20
45 6.24 5.85 5.25 4.63 3.98 3.29 2.57 1.79 1.00
12.8 Electric Energy Use for Heating
The electric energy used by the heat pump, for heating, is evaluated by considering,
for each hour, the thermal power supplied by the heat pump (i.e., the thermal power
required by the building divided by the total plant efficiency ecd 0.958) and the
external air temperature. This method allows one to determine, for each hour, the
COP of the heat pump and, as a consequence, the use of electric energy for heating.
The data of the COP and of the heating power of the heat pump provided by the
constructor, reported in Tables 12.5 and 12.6, are employed. Through proper
interpolating equations of the COP as a function of the heating power Q_ HP , for
each value of the external air temperature e, one can associate with every pair of
values (e, Q_ HP ) the corresponding COP of the heat pump. When the required
heating power is lower than the minimum power which can be supplied by the heat
pump without intermittence (at 15 % of the nominal frequency), the COP is
evaluated through the expression
COP f COP100 12:6
where COP100 is the COP at 100 % of the nominal frequency at the external
temperature under consideration and f < 1 is a correction coefficient introduced to
take into account the intermittent operation. To determine f, the capacity ratio CR is
introduced, given by
Q_ HP
CR 12:7
Q_ 100
where Q_ 100 is the heating power supplied at 100 % of the nominal frequency at the
external temperature under consideration. Then, the following expression of f,
recommended in [8], is employed
4 CR
f 12:8
0:1 3:6 CR
The values of the monthly use of electric energy for heating are reported in
Table 12.10 (first row). The annual use of electric energy for heating is
1,115.0 kWh, while the annual use of thermal energy (annual energy need for
heating divided by ecd) is 3,806.7 kWh. Thus, the seasonal COP is given by
3806:7
SCOP 3:414 12:9
1115:0
12.9 Electric Energy Use for Cooling and Dehumidifying
In analogy with the prescription of the standard UNI TS 11300-3 for monthly loads,
the effective hourly load of thermal energy for cooling Q_ cr is calculated by adding to
the hourly energy need for cooling, Q_ C, nd , the emission and control losses,
Q_ cr Q_ C, nd Q_ e Q_ c 12:10
The emission losses are given by
1 e
Q_ e Q_ C, nd 12:11
e
where e is the emission efficiency, equal to 0.97 for floor radiant panels. The
control losses are given by
1 c
Q_ c Q_ C, nd Q_ e 12:12
c
where c is the control efficiency, equal to 0.97 (modulating single room temper-
ature control). The values of Q_ C, nd , for each hour, are calculated by TRNSYS.
To determine the EER of the heat pump for each hour, the following method is
employed. For each hour, the partial load factor F is determined, defined as the ratio
between the effective heat load for cooling Q_ cr and the nominal cooling power of
the heat pump, equal to 7 kW (100 % of nominal frequency, external air temper-
ature 35 C, water supplied to the radiant panels at 18 C).
For F > 0.15, the data of the EER and of the cooling power of the heat pump
reported in Tables 12.7 and 12.8 are employed. By proper interpolating equations of
the EER as a function of the cooling power, one for each value of the external air
temperature e, a EER value is associated with every pair (e, Q_ cr ).
For F < 0.15, a coefficient f < 1 of the EER at 15 % of nominal frequency is
introduced, to take into account the intermittent operation. The values of
f recommended by UNI TS 11300-3 are employed, by replacing the tables with
the interpolating function
f 0:245 lnF 1:424 12:13
By an interpolation of the data reported in Table 12.7, the following expression

of the EER at 15 % of the nominal frequency, EER15, as a function of the external
air temperature is determined:
EER15 0:00352e 0:524e 21:859 12:14
Then, the EER is calculated by the expression
EER f EER15 12:15
By this method, the electric energy use for cooling for each hour is determined.
The values of the monthly use of electric energy for cooling are reported in
Table 12.10 (second row). The annual use of electric energy for cooling is equal
to 150.7 kWh; the annual use of thermal energy for cooling (annual need of the
building plus emission and regulation losses) is 1,241.9 kWh. Therefore the mean
seasonal EER is
1241:9
SEER 8:24 12:16
150:7
The use of electric energy for dehumidifying, for each month, is obtained by
dividing the thermal energy need for dehumidifying, reported in Fig. 12.5, by the
EER of the dehumidifier, which is assumed equal to 2. The values of the monthly
use of electric energy for dehumidifying are reported in Table 12.10 (third row).
The annual use of electric energy for dehumidifying is equal to 184.4 kWh, a little
higher than that for cooling.
12.10 Domestic Hot Water Production by a Thermal Solar

Collector
DHW is produced by a thermal solar collector and by an air-to-water heat pump for
DHW. A single-glazed solar collector with selective absorber, having the following
features, is employed: aperture area A 2.29 m2; effective transmittance-
absorptance product at normal incidence 0 0.770; product of the heat removal
factor FR and the overall heat transfer coefficient UL, FR UL 3.494 W/(m2 K). The
overall efficiency for control, distribution and storage of the DHW production plant
is assumed equal to DHW 0.95. The values of the monthly use of thermal energy
for DHW production (monthly need divided by DHW), in kWh, are reported in
Table 12.9 (first row). The annual use of thermal energy is 1,606.3 kWh. The
following additional data are assumed, for the solar DHW production plant: effi-
ciency of the collector/storage heat exchanger 0.7; storage volume 131 kg/m2
180
Table 12.9 Monthly values of the use of thermal energy for DHW production (kWh), of the fraction f supplied by the solar system, of the thermal energy
supplied by the heat pump (kWh), and of the COP of the heat pump
QDHW,mth 136.4 123.2 136.4 132.0 136.4 132.0 136.4 136.4 132.0 136.4 132.0 136.4
f 0.466 0.505 0.763 0.872 0.933 1.000 1.000 1.000 0.959 0.756 0.418 0.333
QHP,mth 72.8 60.9 32.3 16.9 9.1 0.0 0.0 0.0 5.4 33.3 76.9 91.0
COP 1.80 2.01 2.48 2.92 3.61 3.75 4.07 4.04 3.69 2.99 2.38 1.98
(aperture area); collector orientation South with slope 60 . Only one collector is
employed. The monthly values of the fraction f of the heat load supplied by the solar
system are determined by the f-chart method, in agreement with the prescriptions
of the standard UNI 8477-2: 1985, and are reported in Table 12.9 (second row).
The mean value of f during the whole year is fm 0.7518.
12.11 Electric Energy Use for Domestic Hot Water

Production
The monthly use of thermal energy for DHW production not supplied by the
solar system is provided by an air-to-water heat pump for DHW, with highest
electric absorption of 2.1 kW and a 300 l storage. By interpolating the data given by
the constructor, the following expression of the COP of the heat pump as a function
of the external air temperature, for a DHW supply temperature of 40 C, is
determined
COP 0:0000267 3e 0:001759 2e 0:07131 e 1:6738 12:17
Equation (12.17) is employed with reference to the mean monthly values of the
external air temperature. Monthly values of the thermal energy supplied by the heat
pump (QHP,mth) and of the COP are reported in Table 12.9 (third and fourth rows).
Monthly values of the use of electric energy for DHW production are reported in
Table 12.10 (fourth row). The value of the thermal energy supplied by the heat
pump during 1 year is QHP,yr 398.7 kWh, the annual use of electric energy is
183.0 kWh, and the seasonal COP is SCOPDHW 2.18.
12.12 Electric Energy Use for Forced Ventilation
The fan of the forced ventilation system with heat recovery absorbs 80 W during
the occupancy period, when V_ ve 144 m3 =h, and 30 W during the non-occupancy
period, when V_ ve 25:2 m3 =h. Since the two periods have the same duration, one
can consider the mean absorption, equal to 55 W. The values of the monthly use of
electric energy for forced ventilation are reported in Table 12.10 (fifth row).
182
Table 12.10 Monthly use of electric energy for heating, cooling, dehumidifying, DHW, ventilating, and total monthly use, kWh
Heating 317.6 217.8 112.6 31.3 0.0 0.0 0.0 0.0 0.0 27.2 144.5 264.1
Cooling 0.0 0.0 0.0 0.0 14.9 28.7 51.2 42.0 13.8 0.0 0.0 0.0
Dehum. 0.0 0.0 0.0 0.0 15.2 33.1 54.5 53.9 27.7 0.0 0.0 0.0
DHW 40.5 30.3 13.0 5.8 2.5 0.0 0.0 0.0 1.5 11.2 32.3 46.0
Vent. 40.9 37.0 40.9 39.6 40.9 39.6 40.9 40.9 39.6 40.9 39.6 40.9
Total 399.0 285.0 166.5 76.7 73.6 101.5 146.7 136.8 82.6 79.2 216.4 351.1
12.13 Total Use of Electric Energy for Air Conditioning

and Domestic Hot Water
The values of the monthly use of electric energy for heating, cooling,
dehumidifying, DHW production and forced ventilation, as well as the sum of
these values (total monthly use of electric energy for air conditioning and DHW
production) are reported in Table 12.10. The total annual use of electric energy is
2,115.0 kWh; 52.7 % of total use is for heating, 22.8 % for ventilating, 8.7 % for
dehumidifying, 8.7 % for DHW, 7.1 % for cooling.
12.14 Electric Energy Produced by the PV System
To obtain a quasi-zero energy building, completely self-sufficient for heating,

cooling, dehumidifying, DHW production and forced ventilation, and nearly self-
sufficient also for the electric energy use for lighting and appliances (including
electric cooking), a PV system with a peak power of 6 kW is installed in the pitch of
the roof oriented toward South. PV modules with polycrystalline cells having 15 %
conversion efficiency are adopted; hence, the area necessary to obtain a peak power
of 6 kW is 40 m2. Since the modules are slightly ventilated, an overall system
efficiency equal to 0.75 can be considered (UNI TS 11300-4).
For each hour, the electric energy produced by the PV system, per unit area, is
calculated by multiplying the radiant energy incident on the plane of the PV panels,
given by TRNSYS, by the cell conversion efficiency (0.15) and by the overall
system efficiency (0.75). The monthly values of the electric energy produced by
the PV system, with an area of 40 m2, are reported in Fig. 12.6, where they are
compared with the monthly values of the total energy use for air conditioning and
DHW production. The electric energy produced in a year is 5,820 kWh, i.e., about
2.75 times the total energy use for air conditioning and DHW production. There-
fore, the building has zero use of non-renewable energy sources for air conditioning
and DHW production; moreover, the PV system supplies all, or nearly all, the
electric energy for home appliances.
12.15 Energy Rating
The use of thermal energy for heating is Q 3,806.7 kWh; the thermal energy
coming from renewable sources (external air) is 2,691.7 kWh; the remaining part,
1,115 kWh, is PV electric energy. According to the Resolution 1366/2011 of the
Region Emilia Romagna (Italy), the energy performance indicator for heating is
900 electric energy

kWh produced by PV
800 system
electric energy use for
700
air conditioning and
600 DHW
500
827.3
778.1
742.6
400
702.0
567.7
552.9
300
441.2
399.0
376.5
351.1
200
285.0
248.4
216.4
214.7
200.9
167.8
166.5
146.7
101.5
136.8
100
76.7
73.6
82.6
79.2
0
Fig. 12.6 Electric energy produced by PV system and use of electric energy for air conditioning
and DHW
1115
EP 11:96 kWh=m2 12:18
93:2
The part of the thermal energy for DHW production not provided by renewable
sources of thermal energy (thermal solar collectors, external air) is 183 kWh and,
again, is PV electric energy. Thus, the energy performance indicator for DHW is
183
EPDHW 1:96 kWh=m2 12:19
93:2
The total energy performance indicator is
EPTOT EP EPDHW 13:9 kWh=m2 12:20
so that the energy label of the building is A+ (EPTOT < 25 kWh/m2).
12.16 Conclusions
A new nearly zero energy one-family house, in North-Centre Italy, has been
designed and is under construction. The building (energy label A+) has zero use
of non-renewable energy sources for air conditioning and DHW production, and
nearly zero use for lighting and appliances. About 71 % of the thermal energy used
for heating is extracted from the external environment; about 29 % is PV electric
energy. The electric energy used for cooling and dehumidifying (21 % of the
thermal energy extracted from the house) is supplied by PV panels. About 75 %
of the annual energy use for DHW production is supplied by a thermal solar system;
about 13.5 % is extracted from the external environment; about 11.5 % is PV
electric energy.
Nomenclature
A Area (m2)
a Dimensionless coefficient
c Specific heat capacity (J/(kg K))
F Partial load factor
f Dimensionless coefficient
FR Heat removal factor
G Number of days in a month
Q Thermal energy (kWh)
Q_ Thermal power (W)
R Thermal resistance per unit area (m2 K/W)
t Time (s)
U Transmittance (W/(m2 K))
V Volume (m3)
V_ Volume flow rate (m3/s)
Greek Symbols
Efficiency
Temperature ( C)
Thermal conductivity (W/(m K))
Density (kg/m3)
0 Effective transmittance-absorptance product at normal incidence
Slope ( )
Linear transmittance (W/(m K))

add Additional
c Control
C, nd Cooling, need
cr Cooling, real
d Distribution
DHW Domestic hot water
e Emission, external
ecd Emission, control, distribution
f Heated floor
gd Ground
HP Heat pump
hru Heat recovery unit
int Internal
L Overall
mth Month
SW Supplied water
TOT Total
u Useful
ve Ventilation
yr Year
0 Waterworks
100 100 % of nominal frequency
15 15 % of nominal frequency
Acronyms
CR Capacity ratio
EER Energy efficiency ratio
EP Energy performance indicator
SCOP Seasonal COP
SEER Seasonal EER
References
1. Thiers S, Peuportier B (2012) Energy and environmental assessment of two high energy
performance residential buildings. Build Environ 51:276284
2. Marszal AJ, Heiselberg P, Bourrelle JS, Musall E, Voss K, Sartori I, Napolitano A (2011) Zero
energy buildinga review of definitions and calculation methodologies. Energy Buildings
43:971979
3. Terlizzese T, Zanchini E (2011) Economic and exergy analysis of alternative plants for a zero
carbon building complex. Energy Buildings 43:787795
4. Gustavsson L, Joelsson A (2010) Life cycle primary energy analysis of residential buildings.
Energy Buildings 42:210220
5. Karlsson JF, Moshfegh B (2007) A comprehensive investigation of a low-energy building in
Sweden. Renew Energy 32:18301841
6. Citherlet S, Defaux T (2007) Energy and environmental comparison of three variants of a family
house during its whole life span. Build Environ 42:591598
7. International Energy Agency (IEA) (2008) Net zero energy buildings database. http://iea40.
buildinggreen.com/index.cfm
8. Scarpa M (2010) Procedure for the calculation of COP and capacities of heat pumps at any
operating conditions. CTI Internal report, July 2010
Chapter 13
Integrative Approach for Desert Sustainable
Ecohouse Design
Khaled A. Al-Sallal and Iman K. Al-Sallal
Abstract The study presents an integrative approach for desert sustainable

architectural design that could be valuable to building professionals who might
search for sound application models useful in harsh desert conditions. Following an
integrated process of design and performance evaluation, a sustainable eco-friendly
house was designed in light of Estidama guidelines, assessment method, and other
design information documents (building codes, standards, and design guidance).
The traditional courtyard form configuration was adapted and optimized to improve
shading, natural ventilation through the courtyard assisted by wind towers to
promote airflow, and special attention was also given to greenery and landscape
elements to avoid heat and cool the house. All these systems were simulated and
improved in order to achieve optimum energy performance. The design achieved
considerable improvement over a typical Emirati house case; 59 % reduction in the
greenhouse gas emissions and utility bill.
Keywords Sustainable design Eco-house Desert Green roof Landscape

Courtyard
13.1 Introduction
The climate of the UAE is considered to be one of the harshest within the globe;
temperatures can reach up to 50 C during the summer season. Indigenous people
used to withstand such extremity through smart adaptation to the climate, local
materials and architectural design strategies that can tolerate such temperatures.
After oil was discovered in the UAE in the late 1950s, modern building technology
was introduced to the region thus modern architecture was the result. Without
keeping the influence to the environment in mind a lot of wrong practices were
exercised such as the wrong building form and orientation for the climate, neglect
K.A. Al-Sallal (*)

Architectural Engineering Department, UAE University, Al-Ain, UAE
I.K. Al-Sallal
SALA, University of British Columbia, Vancouver, BC, Canada V6T 1Z2

188 K.A. Al-Sallal and I.K. Al-Sallal
of shading and passive systems, plantation with high irrigation needs, and excessive
use of interlock pavement in the outdoors. These wrong practices generate unbear-
able levels of heat inside and outside of buildings; and eventually lead to high
reliance on oversized systems for cooling, lighting, and other services.
Cooling and air conditioning of buildings in Abu Dhabi accounts for 75 % of
electricity consumption in the summer months and is considered the major con-
sumer of electricity [1]. This leads to very high levels of CO2 and other greenhouse
emissions. Landscape effect on heat gain mitigation on buildings has not been
studied in the UAE. With the new policies in the UAE calling for green building
such as Estidama guidelines and other codes, the consideration of landscape
strategies to improve building environmental performance has become significant.
Landscaping is considered as a challenging part due to its high water consumption
and the scarcity of water resources especially in arid regions such as Abu Dhabi. In
this study, the focus is on how landscape design contributes directly in enhancing
the building energy performance; and thus lowering the overall energy consump-
tion. Landscape elements such as green roofs, grass ground cover and greenery next
to external walls were simulated to evaluate how it will integrate with other passive
systems for an Eco-house design in order to achieve optimum energy performance.
Where plants normally take a huge amount of water resources, the suitable plant
types were carefully selected to consume the least amount of water.
13.2 Background
Designing buildings without taking into consideration proper design of building

form, orientation, and envelope can lead to considerable increase in heat gains and
energy use. A previous study on impact of urban patterns of residential buildings on
energy use in Al-Ain city, UAE showed that 40 % of the total cooling energy is
utilized to offset heat gains from walls and roof, and it could reach up to 75 % when
combined with the glazing effect [2]. The area and orientation of glazing had a great
impact on building energy use. Limiting the windows to only two elevations of the
building resulted in a reduction of the total annual energy use by almost 55 %. To
minimize energy use, the percentage of the glazing area per floor should be about
1020 % of the surface area of the two elevations. Among the tested cases,
buildings with perimeters ranging from 80 to 115 m with window to wall ratios
of 1:6 performed better than others. The study also advised to minimize the area of
glazing and shade windows when urban patterns force to use longer elevations on
west and east elevations. Another study in the UAE investigated the thermal
behavior of residential buildings with regard to orientation, shading devices on
windows, walls and roofs, and night ventilation [3]. In terms of orientation, both
north and south orientations performed better from the thermal behavior point of
view. Windows shading reduced room temperature by up to 3 C, while wall and
roof shading caused a reduction of 2 C, and a combination of roof, wall and 80 %
of window shading caused and extra 3 C reduction. Summer night ventilation in a
13 Integrative Approach for Desert Sustainable Ecohouse Design 189
room changing its air volume ten times per hour (10 ACH) resulted in a maximum
room temperature of 37.4 C.
Vegetation can reduce the heat reaching the building and penetrating its enve-
lope by increasing the reflection of solar radiation and by providing shading. It can
achieve evaporative cooling and take the heat away through the process of
transpiration.
Vegetation surfaces and pavement materials heavily influence outdoor thermal
environments. Field measurements performed in Singapore revealed there were
clear effects of hard versus vegetation surfaces on globe temperature and mean
radiant temperature (MRT) [4]. The characteristics of heat and water transfer
processes in porous block pavement, asphalt, grass and ceramic porous pavement
were analyzed using numerical modeling. The model revealed that the surface
temperature of permeable pavement is appreciably lower than that of impermeable
pavement [5]. A filed experiment conducted in Eastern Saudi Arabia found a good
correlation between pavement temperature and air temperature [6]. Other experi-
ments in Singapore showed that granite slab, terracotta bricks and concrete
interlocking blocks provide lower surface temperatures and heat output than con-
ventional asphalt concrete pavements [7]. An empirical study was performed on
five pavements in three areas of Taiwan to study the seasonal influence of pavement
on outdoor thermal environments [8]. The study found that asphalt concrete and
concrete have higher temperature than interlocking blocks or interlocking blocks
with grass infilling, and grass always has the lowest air temperature. The surface
temperature of artificial pavements was 10 C higher than that of vegetation surface
at noon in the summer, but the difference among the various pavement types were
not significant in winter.
Shade trees have great effect in reduction of cooling costs in hot climates.
Akbari et al. [9] quantified the effect of shade trees on the cooling costs of two
similar houses in Sacramento, California and the results showed that the trees
reduced seasonal cooling costs by between 26 and 47 %. The same study modeled
the effect of the trees on both houses using the DOE-2.1E3 simulation program
and found that the model underestimated the energy savings of the trees by as
much as twofold. Another study by Akbari and Taha [10], which used simulation
to study the effect of trees on energy use in four Canadian cities, concluded that
increasing the vegetative cover of a neighborhood by 30 % and increasing the
albedo of houses by 20 % would decrease heating costs by 1020 % and decrease
cooling costs 30100 %. A simulation study by Simpson and McPherson [11]
found that trees shading the west side of houses in California had the biggest
effect on cooling costs and that adding shade trees to a house on the west and east
sides reduced annual cooling costs by 1050 %. Another study by McPherson and
Simpson [12], which used simulation modeling and aerial photography to esti-
mate the energy savings of existing urban trees and new plantings in California
indicated that existing trees could reduce peak energy load by 10 % resulting in
annual savings of $779 million. They estimated that planting an additional
50 million trees on the east and west sides of houses would further reduce peak
load by an average of 4.5 % over the next 15 years, which would result in total
savings for consumers of $3.6 billion or $71 per tree. In a recent study, Donovan
and Butry [13] estimated the effect of shade trees on the summertime electricity
use of 460 single-family homes in Sacramento, California. Results showed that
trees on the west and south sides of a house reduced summertime electricity use by
185 kWh (5.2 %), whereas trees on the north side of a house increased summer-
time electricity use by 55 kWh (1.5 %). Results also showed that a London plane
tree, planted on the west side of a house, can reduce carbon emissions from
summertime electricity use by an average of 31 % over 100 years.
The effect of conventional landscape elements (i.e.; grass cover with shade
trees) can further be improved if combined with a green roof. The term green
roof generally represents vegetation and growing medium planted on the build-
ing rooftop. There are several environmental benefits associated with green roofs
such as energy savings through building envelope thermal regulation, roof mem-
brane protection and thus prolonged buildings life cycle, sound insulation as
green roofs act as an acoustic barrier and finally other benefits at the urban level
such as mitigating urban heat island effect and storm water retention. With
introducing circular no. 171, green roofs and vertical landscaping by Dubai
Municipality (DM) that became effective since July 2009 [14], both building
consultants and contractors have to integrate green roofs into their new buildings
design taking into consideration the selection of proper vegetation type, irrigation
system, insulation materials and roof structural membrane system. Estidama also
encourages applying the concept of green roofs and external landscaping in order
to mitigate heat island effects [1, 15, 24]. NRC-IRC constructed a field roofing
facility at its Ottawa campus to study the performance of garden roofs [16]. This
energy demand was reduced from 6.57 to less than 1.0 kWh/day in the garden
roof, a reduction of over 75 %. The garden roof was more effective in controlling
heat gain than in reducing heat loss because of the various thermal mechanisms
involved, shading, insulation, evapotranspiration and thermal mass. It reduced
heat gain by 95 % and heat loss by 26 %. The study also predicted that in warmer
regions where cooling rather than heating is the main concern, the results could be
more significant. It also showed how garden roofs can lower the temperature and
modify the temperature fluctuations experienced by the roofing membrane, which
results in greater durability and an extended service life for the roof membrane.
Another study [17] evaluated the life cycle environmental impacts of an eight
story residential building, including the addition of a green roof (only 16 % of the
buildings exposed surface area), located in downtown Madrid, Spain using
computer simulation. Due to a lower absorption of solar radiation and lower
thermal conductance, the addition of a green roof was estimated to reduce annual
energy consumption by 1.2 %. This was primarily due to summer cooling load
reductions of over 6 %. For the upper floors, the peak hour cooling load was
reduced by as much as 25 % relative to the common flat roof.
13.3 Design Approach
The developed design symbolizes an oasis stranded in the desert, withstanding

harsh weather and sustaining itself from its difficult conditions. The oasis is
represented by the luscious courtyard, landscape, water elements and the vast
number of openings that are embraced by the house from inside, while the harsh
climate is represented by the desert-like landscape and the image and texture of the
building from the exterior. Amongst several effective strategies, two fundamental
ones were given special attention: minimizing solar heat gain through shading and
proper building envelope and maximizing passive cooling through natural ventila-
tion. The traditional courtyard form configuration was adapted and optimized to
improve shading and natural ventilation and wind towers were used to promote
airflow. Special attention was also given to greenery as effective shading and
passive cooling design elements, yet the plants were selected very carefully to
satisfy the harsh conditions of the desert climate in terms of water scarcity and
excessive heat.
13.3.1 Building Form/Footprint
Careful study is required by Estidama Guidelines (sec. 4.3.3) to arrive at a building

footprint and orientation that work with the building envelope to maximize energy
benefit [1]. It is best to choose a building footprint and shape that works with
requirements for daylighting, cooling, and function. To achieve this, the eco-house
is configured around a central courtyard. This form configuration is deeply rooted in
the traditional architecture of the Arab Gulf house due to social, cultural, and ritual
needs [18]. Using this kind of form in the desert regions is also recommended
according to several studies [1820] due to bioclimatic benefits such as solar
shading and natural cooling (e.g., evaporative cooling and nocturnal night sky).
The courtyard acts as a well into which the cooler air from the roof sinks, and so the
downstairs rooms cool more rapidly during the night [20]. Regarding orientation,
LEED for Homes [21] gives a design requirement in section Innovation and Design
Process, ID-credit 1 Integrated Project Planning, 1.5 Building Orientation for Solar
Design: glazing area on north and south facing walls of the building should be at
least 50 % greater than the sum of the glazing area on the east and west facing walls.
This was considered in the design of the eco-house. Figure 13.1 shows the site plan
and a 3D view of the designed house.
Fig. 13.1 Site showing landscape elements (left) and 3D view (right) of the Eco-House
13.3.2 Passive Systems
The design of the building form has integrated different passive architectural items
derived from the Emirati vernacular architecture. These items are represented
mainly in the design of the courtyard and wind towers, besides other innovative
design features such as the green roof. These features qualify the design to earn
Estidama Credit ADM5: Innovation in Design [15]. This can also qualify to earn
ID-credit 3: Innovative or Regional Design in LEED for Homes [21]. Having a
courtyard is preferred in warm and humid climates especially when the courtyard
can induce ventilation due to the stack effect [22] where the wind direction should
be taken into account. Thus, the central courtyard is located in the middle of the
house mass, the shape consists of two squares joined together and inclined at an
angle, the house surrounds it all but is opened at two sides to allow for movement of
water through, and to welcome the north-west winds that would help a great deal in
passive cooling. At the start and towards the end of the north-south axis are two
wind towers incorporated into the house. These towers confine the winds and cool
the house in return. Wind towers promote passive cooling using natural ventilation
via stack effect. Stack effect works mainly when there is a difference in temperature
where hot air rises at the top of the wind tower and exits the house taking excess
interior heat. In cool days and nights, the wind tower captures cold wind and directs
it into the houses interior.
Regarding the green roof, there are three roof gardens that integrate the house
further with nature and aid in passive cooling. In hot climates, a green roof acts as a
buffer that protects the building from extreme solar radiation, and hence reduces the
net heat gain. Therefore, it helps in cooling the surrounding area, as well as
regulating the internal building temperature and decreasing the amount of energy
required to cool the building structure. Moreover, a green roof reduces the require-
ments for traditional insulation [14]. As for the green roof structure [16, 23], the
whole roof area was 150 mm solid concrete slab, lined with a waterproof membrane
insulated with Polyfoam Roofboard 200 mm thick (2 100 mm), covered with
Polyfoam Slimline membrane. The Slimline membrane was overlaid with a root
Fig. 13.2 Green roof structural elements, adapted from [16]
barrier/moisture reservoir as specified ensuring there were no overlapped gaps and

edges. That was covered with a filtration layer, and growing matter as specified by
Estidama [24] in order to match desert plants. That typical green roof section (see
Fig. 13.2) has a U-value of 0.15 W/m2K without considering the insulation value of
the soil which varies with the water content.
13.3.3 Envelope
The use of construction materials in modern houses is another aspect that is greatly
varied and hence it is difficult to assume one certain type. What was seen as more
important than the type of construction was the U-value of the envelope compo-
nents as specified by building codes. At the time of the study, Abu Dhabi Emirate
did not have a code specifying the envelope U-values, hence the eco-house was
designed to comply with the maximum permissible requirement of the U-value
specified in Resolution 66 of Dubai Municipality (DM) for roofs, walls, and glazing
components [25]. This required implementing the obligatory U-values of DM:
3.28 W/m2K for glazing, 0.57 W/m2K for walls, and 0.44 W/m2K for floor slabs
and roof slabs. By implementing the above U-values, an estimated energy reduction
can reach up to 40 % according to DM resolution 66. To reach these required
U-values, a thorough search in the local building material market was done before
the final design of the walls, roof, and glazing assemblies. To evaluate the perfor-
mance of the improved envelope, another reference case was created to represent
the typical envelope material assemblies in the Emirati house. After this point, the
improved envelope case was used as a baseline case to assess other improvements.
13.3.4 Landscape
Landscape design and location (whether horizontally or vertically) tend to maxi-

mize shading around the house especially near the windows, and minimize the load
due to ground reflected solar radiation by using appropriate ground cover such as
grass. The impact of the grass ground cover along with the shade trees on energy
was evaluated in this eco-house. The exterior shade trees were set to provide only
50 % shading on walls and windows. Where plants normally take a huge amount of
water resources, the suitable plants type was carefully selected. Palm trees, orna-
mental trees and aqueous plants such as Yucca Filamentosa and Yucca Aloifolia
were recommended [14]. These desert plants are suitable for intensive greening, yet
consume the least water. They are normally watered by drip irrigation and consume
from 50 to 60 L/day for palm and ornamental trees, and as little as 1520 L/m2/day
for the aqueous plants. According to Estidama credit (PW-2.1: Exterior Water Use
Reduction: Landscaping) in areas with low rainfall or seasonal droughts, up to 60 %
of total seasonal water usage can be attributed to irrigation [24]. As mentioned
earlier, the main system used for plants irrigation is drip irrigation (mainly for roof
gardens) besides a bioswale for the houses central courtyard. A bioswale is a
densely vegetated open channel designed to attenuate and treat storm water runoff.
It has gentle slopes to allow runoff to be filtered by vegetation planted on the bottom
and sides of the swale (see Fig. 13.1).
13.3.5 Systems
Regarding water reuse in the house, a gray water system is being introduced. In this
essence, it is known that domestic wastewater generated from washing, showering,
cooking etc. is commonly referred to as grey water. A typical family of four
produces about 360 L/day of Gray water 135,000 L/year. Recycling this waste-
water stream can reduce the demand for potable water supply. Grey water can be
collected, treated and used for irrigation, cleaning, fire fighting top up, or for toilet
flushing. That will allow the house to earn Estidama credits: ADW1: Water
Consumption and ADW2: Monitoring of Water Usage [15]. As an appropriate
cooling system for the type and size of the studied building, direct expansion split
system with residential scale ductwork was considered. Since the design from the
beginning adopted the courtyard (with greenery and water) as an optimized form for
hot climate, considering the effect of natural ventilation was seen as an attractive
option. This is considered in the simulation of the design case. Fluorescent lights
with daylight-activated dimmers were also adopted in the design case as a green
approach. These improvements were evaluated against the baseline case.
13.4 Methodology
To evaluate the performance of the proposed solutions, there was a need to create a
case to represent the typical Emirati house. Because the form of the contemporary
Emirati house is vastly varied and does not fit into a specific configuration type, this
reference case was chosen as just a simple square. This was seen reasonable due to
several factors. Firstly, the standard land plot that is given to the Emirati citizen is a
square shape (e.g.; 30 m 30 m in Abu Dhabi). Secondly, Most of the modern
Emirati houses do not give much consideration to the issues of solar or wind
orientation. Hence, a square could be seen as an average case with regard to the
orientation issue. Other design variables such as the total built-up area, the total
height, and the number of floors did not change between the typical and the design
cases. All tested cases were simulated using Enerwin-EC software [26].
Due to lack of actual energy surveys for typical Emirati houses, there was a need
to search for other useful reference values that help to estimate the magnitude of the
problem. Based on the EIA-2005 [27] survey done in the U.S., the energy con-
sumption per household for a single family detached house with five or more
bedrooms, is 160 MBtu/year (46,950 kWh/year). This is equivalent to 33.22 metric
tons of CO2 emissions per household per year. The survey also showed the energy
consumption as 55.1 kBtu/sq.ft (173.8 kWh/m2 year) for a household size of 6+
persons; which is equivalent to 0.123 metric tons of CO2 emissions/m2 year. When
the typical Emirati house case was evaluated, the simulation results showed values
that were double those of the EIA-2005; which gave a clear indication from the
beginning of the magnitude of the problem and the critical need to make the typical
designs more energy-efficient.
Typically at the UAE latitude (24 N), the heat gain through the roof component
is usually the highest; then comes heat gain through the windows and walls; other
building components have usually smaller effect compared to these main compo-
nents. Thus, before improving the house performance to reduce heat gain, it was
necessary to optimize its form design so that distribution of load becomes a bit more
uniform with smaller magnitude at each component, and hence easier to solve. That
was achieved by using a courtyard configuration. The window to wall ratio (WWR)
as 0.20, 0.15, 0.20, and 0.10 for North, East, South, and West facades, respectively,
was used in all cases.
One of the most important and challenging architectural targets in this design
exercise was the proper landscaping. Landscape design went integrated with the
other passive and active design components of the eco-house. Grass ground cover
and greenery next to external walls (LS case) was simulated and considered as the
landscape scenario. The effect of the green roof element was simulated in a separate
scenario (GR case) and the results of both cases were compared against the
reference house (REF case).
Fig. 13.3 Annual heat gain (GJ) by component for the Landscape (LS) case compared to the
reference (REF) case
The simulation cases went through sequential design improvements to improve

performance (see Fig. 13.3). The first step in reducing the energy consumption for
cooling a building is to reduce the highest contributors of the load through design.
13.5.1 Stage 1
Stage 1 examined the potential of the courtyard form against another typically used
square form equal in floor area. To make an accurate and fair comparison, all other
variables related to the site (ground cover and plant shading), the envelope (con-
struction materials and glazing), and systems were equalized. The typical house
yielded load distribution as follows: 25 % for roof, 23.5 % windows solar, walls
20 %, and 30 % for other components. The courtyard configuration (referred to as
the reference house or REF case in this study) helped to distribute the cooling loads
as follows: 24.3 % for roof, 18.1 % for windows solar, 27.4 % for walls, and 30 %
for other components; this helped to decrease the windows solar and roof loads
contributions. This new form configuration helped in reducing the total annual heat
gain by 4.4 %. This resulted in reducing the cooling energy by 4 %, the fan energy
by 2 %, and the lighting and equipment energy by 21 %. It also helped to reduce the
greenhouse gas emissions, the electrical energy use, and the utility bill by 8 %. The
proposed form configuration combined with other passive systems (i.e.; wind
towers and green roofs) could help to earn Estidama credits ADM5: Innovation in
Design, ADIEQ3: Potential for Natural Ventilation and Ventilation Rates and
ADIEQ4: Indoor Air Quality [15].
13.5.2 Stage 2
When the conservation level of the envelope was improved, the total heat gain
dropped down greatly (77 % from the improved form case). This resulted in great
savings in the cooling energy (67 % less) and fan energy (73 % less). It also helped
to reduce the greenhouse gas emissions, the electrical energy use, and the utility bill
by 49 %. This resulted in different load breakdown and accordingly other compo-
nents had to be considered as priority improvements; which is arranged here in
order: lights and equipment (21 %), infiltration-latent (15.8 %), walls (12.4 %),
windows-solar (9.8 %), and thermal mass (9 %). Based on these results, some
design decisions were made as described below. These improvements could help to
earn Estidama credits ADE4: Information on Energy Use and Savings and ADE7
[15]: Cooling and Air Conditioning, whereby insulating the building will help to
downsize the HVAC systems.
13.5.3 Stage 3
An early design decision was made to minimize direct and reflected solar heat gain
by maximizing shading on walls and windows and improve ground cover. This
would help to reduce the walls and windows-solar loads. Landscaping has great
potential to provide these benefits and in the meantime attain other Estidama credits
such as LV-R1: Urban Systems Assessment, LV-R2: Outdoor Thermal Comfort,
RE-1: Improved Energy Performance [24]. This resulted in great reduction of the
windows-solar (63.7 %), windows transmission (22.1 %), walls loads (20.7 %), and
mass effect (16.9 %); and 21.5 % reduction in the total annual cooling load,
compared to the base case (see Fig. 13.3). The energy use of the house (compared
to the REF case) dropped down by 16 % for cooling and 18 % for fan operation (see
Fig. 13.4). It also helped to reduce the greenhouse gas emissions and the electrical
energy use by 9 % (see Fig. 13.5). Another decision made to reduce the high levels
of heat gain through the roof was by adding a green roof. This resulted in great
reduction of the heat gain through the roof (99.6 %), compared to the reference case
(see Fig. 13.6). The energy use of the house (compared to the reference case)
dropped down by 24 % for cooling and 27 % for fan operation (see Fig. 13.7). It also
helped to reduce the greenhouse gas emissions and the electrical energy use by
19 % (see Fig. 13.8).
Fig. 13.4 Annual cooling and fan energy use (Kwh) for the Landscape (LS) case compared to the
Fig. 13.5 Tons of CO2/year for the Landscape (LS) case compared to the reference (REF) case
Fig. 13.6 Annual heat gain (GJ) by component for the Green Roof (GR) case compared to the
Fig. 13.7 Annual cooling and fan energy use (Kwh) for the Green Roof (GR) case compared to
the reference (REF) case
Fig. 13.8 Tons of CO2/year for the Green Roof (GR) case compared to the reference (REF) case
13.5.4 Stage 4
In this stage, a decision was made to reduce the load of thermal mass by natural
ventilation. Stage 4 examined the effect of natural ventilation. If there is a cooling
load and the outdoor air temperature is less than the interior air, natural ventilation
is permitted at the rate of 73.2 L/s/m2. When this was examined, the results showed
a great reduction in heat gain caused by thermal mass (approx. 50 %) and windows-
solar (21.6 %). It also contributed in reducing a great deal of the internal heat gains
generated by buildings occupants (36.9 %) and lights and equipment (21.2 %). The
reduction in the total annual cooling load is 14 %, compared to the improved
envelope case in stage 2. It also helped to reduce the greenhouse gas emissions,
the electrical energy use, and the utility bill by 3 %. It showed a potential in
reducing the cooling energy (compared to the improved envelope case) by 11 %.
These improvements could help to earn Estidama credits ADE1: Reduction of CO2
Emissions, ADE7: Cooling and Air Conditioning, ADIEQ3: Potential for Natural
Ventilation and Ventilation Rates, and ADIEQ4: Indoor Air Quality, whereby
natural ventilation supports well being and comfort of occupants [15].
13.5.5 Stage 5
The load of lights and equipment was reduced by relying more on daylighting;
which was done by installing daylight-activated dimmers on the lighting system.
This resulted in reducing the lights and equipment load by 19.3 % and the total
annual cooling load by 4 %, compared to the improved envelope case in stage 2. It
also helped to reduce the greenhouse gas emissions, the electrical energy use, and
the utility bill by 7 %. It showed a potential in reducing the energy use of the house
by 4 % for cooling, 5 % for fan operation, and 14 % for lighting and equipment.
These improvements could help to earn Estidama credits ADE1: Reduction of CO2
Emissions and ADIEQ1: Indoor Lighting, whereby daylighting improves health
and comfort for building users [15].
13.5.6 Stage 6
The last stage examined the effect of using all previous retrofits together in one
case, as a final optimized design case. The reduction in the total annual cooling load
is 21.8 % compared to the improved envelope case and 74.8 % compared to the
improved form case. The results showed a potential in reducing the energy use of
the house (compared to the improved envelope or the baseline case) by 19 % for
cooling and 13 % for lighting and equipment; and helped to reduce the greenhouse
gas emissions and the utility bill by 12 %. This is considerable improvement over
the square-form house (the typical house) and the basic courtyard house (envelope
not yet improved) with 59 and 55 % reduction in the greenhouse gas emissions and
the utility bill, respectively.
13.6 Conclusions
This study presented a holistic approach to design a sustainable house in the desert
of Abu Dhabi. In a hot climate such as Abu Dhabi for an envelope-dominated
building, most of the heat gain comes through the roof, the windows and the walls
(approximately 70 %). This gave a clear indication about the critical need to
minimize solar gain and improve the thermal conservation level of the building
envelope. Utilizing the courtyard configuration helped in reducing the greenhouse
gas emissions and the utility bill by 8 %. Improving the envelope helped to improve
the performance by 49 %. Reducing the load of thermal mass by natural ventilation
helped to improve the performance by 3 %. Relying more on daylighting helped to
improve the performance by 7 %.
Using greenery to improve the building thermal performance can also result in
other benefits such as improved air quality, visual comfort via daylight uniform
distribution, noise reduction, prolonged building structure (as green roof), outdoor
and indoor thermal comfort, and aesthetics. The use of outdoor landscape (grass
ground cover and shade trees) has made a 9 % improvement of performance over
the base case regarding the electrical energy use and greenhouse gas emissions. The
energy use of the house (compared to the reference case) dropped down by 16 % for
cooling and 18 % for fan operation. With regards to the green roof scenario, a
performance improvement of 19 % over the base case has been achieved. The
energy use of the house dropped down by 24 % for cooling and 27 % for fan
operation. Such strategies and improvement of performance would eventually help
to earn several points in Estidama Pearl Rating System for Villas [24], such as:
LV-R1: Urban systems assessment, LV-R2: Outdoor thermal comfort, LV-9:
Indoor noise, IP-1: Innovative cultural & regional practices, IP-2: Innovating
Practice, IDP-R1: Integrated Development Strategy, IDP-1: Life Cycle Costing,
NS-R1: Natural systems assessment & protection, NS-1: Landscape design &
management plan, NS-2: Landscape enhancement, PW-2.1: Exterior water use
reduction: Landscaping, PW-3: Stormwater management, and RE-1: Improved
Energy Performance.
The design achieved considerable improvement over the typical Emirati house
case; 59 % reduction in the greenhouse gas emissions and the utility bill. Such a
methodology could be valuable to professionals in the UAE who might search for a
clear application model.
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Chapter 14
Ventilation and Architectural Design
Strategies for Cooling Office Buildings
in Different Climates of Chile
Waldo Bustamante Gomez, Felipe Encinas Pino, Sergio Vera Araya,

and Francisco Sanchez de la Flor
Abstract In Office buildings in Chile, cooling energy demand is higher than

heating demand. The climate of the country show important differences between
cities by the ocean and those of interior regions. Main cities of Central Chile are
Santiago and Valparaso, both located at around 33 S. Santiago presents a Medi-
terranean climate, with a high temperature oscillation between day and night during
cooling period. Valparaso, by the coast, shows lower temperature fluctuation
compared with Santiago during identical period. In order to define design strategies
for energy efficiency of office buildings in mentioned cities, a sensitivity study has
been made, considering variables like window to wall ratio, type of windows (clear
and selective glazing, including low e, single and double glazing), use and type
of external solar protection (ESP) and use of nocturnal or diurnal ventilation. In
opaque facades, thermal insulation is considered. In case of walls, in order to
increase thermal inertia external insulation is assumed. The sensitivity analysis is
developed considering a square building containing office rooms on all four orien-
tations. This 10 story building has been specially proposed and designed for this
analysis. Methodology considers an evaluation of heating and cooling demand of
the building in both cities. For this purpose, simulation software under dynamic
conditions has been used (TAS). The lowest cooling energy demand is reached
when using the lowest window to wall ratio (20 %), with ESP in east, west and
W. Bustamante Gomez (*) F. Encinas Pino

School of Architecture, Center for Sustainable Urban Development (CEDEUS),
Pontificia Universidad Catolica de Chile, Av. El Comendador 1916,
Providencia, Santiago, Chile
S. Vera Araya
Department of Construction Engineering and Management, School of Engineering,
Center for Sustainable Urban Development (CEDEUS), Pontificia Universidad Catolica de
Chile, Av. Vicuna Mackenna 4860, Macul, Santiago, Chile
F. Sanchez de la Flor
Escuela Superior de Ingeniera de Cadiz, Calle Chile 1, Cadiz, Spain

204 W. Bustamante Gomez et al.
north oriented glazed areas. In fact, fully glazed facades in both cities are not
recommended. Nocturnal ventilation was highly effective for decreasing cooling
demand in both cities. In the case of Valparaso, due to relatively low temperature
during cooling period (maximum lower than 26 C), diurnal ventilation for cooling
purposes is also effective.
Keywords Office buildings Cooling energy demand Nocturnal ventilation
14.1 Introduction
Chile shows a wide latitudinal variation (from around 17 300 S to 56 000 S), which
generates high NorthSouth climate differences. On the other hand, the presence of
the Pacific Ocean and the Coastal and Andes mountains, generate important climate
variation from East to West. Santiago (located in the foothills of the Andes) is the
governmental capital and also the industrial and financial centre of the country.
Valparaso, the main port of Chile, is located at similar latitude of Santiago but by
the coast.
Climate of Santiago is semiarid, showing high temperatures and solar radiation
during spring and summer. For the warmest month of the year (January), mean value
of maximum temperature is 29.7 C and mean minimum is 13.0 C. Mean temper-
atures of coldest month (July) are: 3.9 C (mean minimum) and 14.9 C (mean
maximum). During summer and intermediate seasons, a high temperature fluctuation
is observed. Climate of Valparaiso is influenced by the Pacific Ocean, showing lower
temperature oscillation than Santiago. Mean value of maximum temperature is
20.8 C and mean minimum is 13.5 C for the warmest month of the year (Jan). For
the coldest month (July), mean minimum is 9.2 C and mean maximum is 14.3 C [1].
In Chile, around 4.73 million of square meters of buildings of the Industry,
Commerce and Financial Institutions sector were constructed during 2008
[2]. 53.2 % was built in Santiago and 6.6 % in Valparaso. In the country there is
no mandatory thermal behaviour requirements for office buildings and most of their
design patterns are brought from developed countries, even if some architectural
strategies, such as double skin, are not suitablefor examplein Central European
countries due to the generation of overheating problems, especially when they are
designed with fully glazed facades [3, 4].
Normally, in the country, office buildings show higher cooling than heating
energy demand. Some studies have been done in order to study the impact of
different architectural strategies on the energy demand [5, 6]. A study performed
in 2004 in London for an office building, showed benefits in energy use if windows
size, solar protection, and internal profit, are optimized. During two representative
weeks, one with hot temperate climate and the other with extreme hot climate,
23 and 40 % of refrigeration energy reduction were respectively obtained, once
previous modifications were applied. On the other hand, when nocturnal ventilation
is applied to the optimized building, an additional reduction of 13 % is reached [7].
14 Ventilation and Architectural Design Strategies for Cooling Office. . . 205
A study performed in 1998 in Sweden (predominantly cold climate), shows how

important are the selection of type of glazing and window to facade ratio for
reducing cooling and heating energy demand. Glass use with low U values and
solar transmittance may mitigate overheating problems but it does not solve it [8].
In order to define architectural design strategies for reaching thermal and visual
comfort with energy efficiency in office buildings of the mentioned citieswith
different climatesa sensibility study has been made. Variables considered are the
following: size of windows (window to wall ratio), type of windows (clear and
selective glazing, including low e, single and double glazing), use and type of solar
protection and use of nocturnal or diurnal ventilation. In opaque facades (walls and
roofs), thermal insulation is considered. In case of walls, in order to increase
thermal inertia and effectiveness of nocturnal ventilation, external insulation is
assumed. This paper will mainly show results of this study related to the effect of
diurnal and nocturnal ventilation on cooling energy demand.
14.2 Methodology
This study aims to analyse the thermal behaviour of an office building, for different
design strategies, during a whole year. For this analysis, simulations are performed
with TAS (www.edsl.net), software under dynamic conditions. The sensitivity
analysis was developed with a 10 story building, specially designed for this
study. Figure 14.1 shows the plan (16 16) building and 3D image. Each story
contains 12 offices of typical dimensions (4 m 4 m 2.8 m height).
14.2.1 The Building
Main specifications of the building are the following:

Walls: Reinforced concrete 150 mm with external EPS 30 mm. U 1.0 W/
m2 C.
Roof: Reinforced concrete 150 mm with EPS 60 mm. U 0.59 W/m2 C
(in Valparaso) and with 80 mm of EPS in Santiago. U 0.40 W/m2 C.
Windows: single glazing, clear. U 5.8 W/m2 C, Lighting transmittance: 0.90
Solar transmittance: 0.87. In the case of windows, this corresponds to the initial
situation. Type of glazing is changed during the sensitivity process. It is neces-
sary to mention that it is still common to find new office buildings with single
glazing in the country.
Fig. 14.1 Plan and 3D image of the building
14.2.2 Internal Gains and Internal Conditions
Internal gains of the buildings considered are the following:

People: 9.38 W/m2 (sensible) 6.88 W/m2 (latent).
Lighting: 11 W/m2.
Equipment: 11.25 W/m2.
Temperature during week days: Maximum of 26 C from 8:00 AM till 19:00 PM
(for cooling demand estimation).
Weekend days: No temperature restrictions.
Infiltration rate: 0.3 ach.
Ventilation rate: 1.0 ach during week days from 8:00 AM till 19:00 PM.
14.2.3 Sensitivity Analysis
For defining cases to be simulated, a factorial design was adopted. This involves a
given number of samples per each input parameter and consequently running the
model for all combination of samples [9]. This method is based on the sampling-
based approach, where the model is repeatedly executed from the combination of
input parameters sampled with some probability distribution. Since the design of
this sensibility analysis consists in 4 input parameters with 3, 3, 4 and 8 parameters
per each one, the total combination of samples gives a complete sample of
288 cases. Table 14.1 presents the different input parameters considered for this
study and their associated variables.
Table 14.1 Input parameters for sensitivity analysis

Number of
Input parameters variables Description of variables
Glazing ratioa 3 20 %
50 %
100 %
Types of solar protection 3 Without solar protection
devices Overhang in N orientation and blinds for E and
W orientations
Blinds in N, E and W orientations
Types of glazing 4 Single glazing, clear
Single glazing, selective
Double glazing, clear
Double glazing, selective
Orientations 8 All orientations (N, NE, E, SE, S, SW, W, NW)
a
Ratio of the glazed area with respect to the total facade area
The 8 orientations correspond to different office rooms showed in Fig. 14.1 (N,
NE, E, SE, S, SW, W and NW). For each one of these office rooms of 6th floor, the
cooling and heating demand was estimated according to variation of type of
glazing, types of solar protection and glazing ratio (see Table 14.1).
Simulations considered the following type of glazing: Clear single glazing clear
(CS, 4 mm) selective single glazing (SS, 6 mm), clear double glazing (DGC) and
selective double glazing (DGS). Properties of these types of glazing are shown in
Table 14.2. LT: Light transmission, ST: Solar transmission.
After obtaining energy demand results and selecting cases with lower heating
and cooling demand, simulations considering low e glazing were made. They
showed a non-significant impact in lowering heating demand in both climates. As
it will be observed, heating demand is significantly lower than cooling demand in
office buildings in Chile. Also, for a selective number of cases, after obtaining the
288 mentioned results, ventilation strategies (diurnal and nocturnal) were studied,
in order to observe their impact on reducing cooling demand in the building.
First of all, we have confirmed that heating energy demand for office buildings is
significantly lower than cooling demand. In the case of Valparaso, with only
diurnal ventilation for maintaining quality of air in different offices, the lower
energy demand was reached with selective double glazing, a WWR of 20 % and
solar protection (Overhang in N orientation and blinds for E and W orientations). In
this case annual cooling demand is 16.3 kWh/m2 year and heating demand reaches
3.2 kWh/m2 year. These values represent the energy demand of all 16 offices of the
Table 14.2 Properties of CS SS DGC DGS

different types of glazing
LT 0.90 0.60 0.82 0.54
ST 0.82 0.50 0.68 0.41
U (W/m2 C) 5.80 5.70 2.78 2.76
6th floor of the building. In the case of Santiago, cooling demand for identical case
is 31.8 kWh/m2 year and 4.5 kWh/m2 year as heating demand. When using
selective and double glazing with low e, cooling demand increases in a 15 % in
the case of Valparaso and around 1 % in the case of Santiago (both with identical
solar protection).
14.3.1 Sensitivity Analysis
Regarding the sensibility study and due to high output variability (cooling energy
demand for each office)as consequence of the input variabilitythe energy
performance of office buildings is highly impacted by their facade glazing ratio.
Differences on annual cooling demand according to window to wall ratio are
significant. See Fig. 14.2 for the case of Valparaso. Identical results were obtained
for the case of Santiago. See Fig. 14.3.
On the contrary, Fig. 14.4 shows as the variability of the output results per
orientation is reduced, which is even more critical regarding to the range of low
cooling demand (cases with low window to wall ratio). Figure 14.4 shows variabil-
ity on energy demand for all office rooms of 6th floor of the building. Very similar
results were observed also in the case of Santiago. According to these results, it is
clear that for any design strategy proposed for new office developments in Valpa-
raiso and Santiago, the ratio of the glazed area with respect to the exposed facade
should be prioritized with respect to orientation.
14.3.2 Ventilation Strategies
As mentioned, in order to decrease cooling energy demand on office buildings in

cities of Santiago and Valparaso, strategies of ventilation were studied. In the case
of Santiago, where we may observe high diurnal temperatures during spring and
summer (higher than 26 C) but relatively low nocturnal temperatures (around
15 C), night ventilation was studied. In the case of Valparaso, where higher
temperatures on spring and summer are commonly lower than 26 C, diurnal
ventilation for cooling was also studied.
Figure 14.5 shows the effect of nocturnal ventilation in cooling demand of office
buildings in Santiago, when using 20 % of window to wall ratio with or without
solar protection (SP). Types of glazing are: Single glazing (SG), double glazing
Fig. 14.2 Cumulative 100%

frequency (%) for cooling
demand with respect to 80%
glazing ratio in the case of
Valparaso
60%
40%
20%
20% 50%
100%
0%
10 30 50 70 90 110 130 150 170 190
Cooling demand [kWh/m2/y]
Fig. 14.3 Cumulative

demand with respect to
glazing ratio, in the case of
Santiago
Fig. 14.4 Cumulative

demand with respect to
orientation in the case of
Valparaiso
selective (DGS). It may be seen that nocturnal ventilation is very effective for
getting energy efficiency in office buildings in Santiago. As we have already
mentioned, envelope wall of the building is externally insulated, providing it higher
Fig. 14.5 Cooling demand of office buildings with respect to nocturnal ventilation rate
Fig. 14.6 Cooling demand of office buildings with respect to nocturnal ventilation rate
thermal inertia. Eight to ten air changes per hour for nocturnal ventilation may be
recommended.
Figure 14.6 shows the case of Valparaso, where identical cases than Santiago
were studied. Nocturnal ventilation is also effective bur in this case diurnal venti-
lation may be recommended. Opening windows when external temperature is lower
than 26 C allow reaching a cooling demand 6.9 kWh/m2 year, which decreases to
3.0 kWh/m2 year when using diurnal and nocturnal ventilation. Both cases suppose
windows with double glazing selective, solar protection and envelope walls with
external insulation.
14.4 Conclusion
First of all, cooling energy demand in office buildings of Santiago and Valparaso is
significantly higher than heating energy demand. Attention on architectural design
strategies for decreasing cooling demand is highly recommended. For lowering
cooling demand, solar protection, size and type of windows and solar protection
have been studied.
Double glazing selective may be recommended for reaching low cooling
demand in both cities. Double glazing clear may also be recommended when
using effective solar protection.
It has been showed that there is a high dependence between size of facade
glazing area and the cooling energy demand on office buildings in both studied
cities. The lower the window to wall ratio is, a better energy performance of the
building is reached. On the contrary, orientation of offices is less relevant for
reaching low cooling energy demand, which is more evident for lower window to
wall ratio.
Finally, nocturnal ventilation is highly effective for reaching low cooling energy
demand in the city of Santiago (with a Mediterranean climate). This strategy is less
effective in the case of Valparaso (with a climate influenced by the ocean).
For energy efficiency in office buildings, in the case of Valparaso, diurnal venti-
lation may also be applied. Nocturnal and diurnal ventilation may be combined with
solar protection on windows and the lower window to floor ratio that may be
possible to be used.
Acknowledgements This research has been carried out as part of the project FONDECYT N
1090602 funded by CONICYT, Chile. The authors also gratefully acknowledge the research
support provided by CEDEUS, CONICYT/FONDAP 15110020.
References
1. Instituto Nacional de Estadsticas (2008) Anuario de Edificacion 2008. Instituto Nacional de

Estadsticas, Santiago de Chile
2. Instituto Nacional de Normalizacion (2008) NCh 1079 of 2008. Arquitectura y construccion
Zonificacion climatico habitacional para Chile y recomendaciones para el diseno
arquitectonico. Instituto Nacional de Normalizacion, Santiago de Chile
3. Manz H, Frank T (2005) Thermal simulation of buildings with double-skin facades. Energ Build
37:11141121
4. Gratia E, De Herde A (2007) Are energy consumption decreased with the addition of a double
skin? Energ Build 39:605619
5. Bustamante W, Encinas F, Otarola R, Pino A (2011) Strategies for improving thermal perfor-
mance and visual comfort in office buildings of Central Chile. In: Bodart M, Evraud A (eds)
Proceedings of passive and low energy architecture, PLEA 2011, Louvain la Neuve, Belgium
6. Pino A, Bustamante W, Escobar R, Encinas F (2012) Thermal and lighting behavior of office
buildings in Santiago of Chile. Energ Build 47:441449
7. Kolokotroni GI, Watkins R (2006) The effect of London heat island summer cooling demand
and night ventilation strategies. Sol Energ 80:383392
8. Bulow-Hube H (1998) The effect of glazing type and size on annual heating and cooling
demand for Swedish offices. Proceedings of renewable energy technologies in cold climate
98. Montreal, Canada
9. Hamby DM (1994) A review of techniques for parameter sensitivity analysis of environmental
models. Environ Monit Assess 32:135154
Chapter 15
Investigations for the Thermal Influence
of Glass Patterns on the Building Envelope
Shiang-Jiun Lin, Yong-Cheng Chen, and Po-Tao Sun
Abstract Indoor thermal distribution is strongly influenced by the transmission of

solar energy. In summer, specifically, the solar energy intensity attains the maxi-
mum, which introduces a great heat load to enter indoors and drastically increases
the temperature that often raises high enough to against the requisition of thermal
comfort. Attempting to attenuate the transmitted radiant energy, this paper con-
siders different types of patterns distributed throughout the surface of window glass
and evaluates their thermal performances by comparing with that for the flat glass.
The modeling results provided by the commercial CFD package, ANSYS
Fluent, indicates that the indoor thermal intensity can be reduced as the solar
radiation passes through the glass patterns. Under identical ambient conditions
and glass characteristics, the glass having the described trapezoidalshaped patterns
is able to dissipate the indoor heat flux from 146 to 134 W/m2. The glass pattern in
triangular shape gives better capacity on the thermal dissipation. Based on the
triangular-shaped glass pattern, the thermal field approaching to the roof window
obtains 1.3 C lower than that for flat glass. Besides the pattern shape varies the
transmitted solar load, the spacing between patterns can also be a parameter to
change the solar effect on the thermal distribution of a building. According to the
modeling results, more thermal reduction can be acquired as the pattern spacing is
smaller.
It is very crucial today to develop skills to reduce the power consumptions in
any occasions. For buildings, there many works have done the studies based on the
S.-J. Lin (*)

National Kaohsiung University of Applied Sciences, 415 Chien-Kung Road,
Kaohsiung 807, Taiwan
Y.-C. Chen
Sanyang Industry Company Ltd., 3 Chung Hua Rd. Hukou, Hsinchu 303, Taiwan
P.-T. Sun
3M Taiwan Limited, 66, 800 Lane, Chung Shang S. Road, Yangmei, Taoyuan 326, Taiwan

214 S.-J. Lin et al.
ventilation and glazing systems. In here, this paper provides investigations for
the glass patterns on the reduction of thermal load in a building and demonstrates
the transmitted solar load indeed can be attenuated if the glass incorporates with
patterns over the surface.
Keywords Patterned glass Building energy saving Modeling simulation
15.1 Introduction
During the last decades, the natural fuels existing on the earth have been over-
developed, which leads a significant decrease in natural energy available for many
of power-demanded facilities. Therefore, as the natural energy rapidly
diminishing and the renewal energy still costing, it is very crucial and urgent to
develop new technologies that are able to give the reduction of energy consump-
tion in any occasions. For buildings, the transmitted solar radiation passing
through window panes or any types of fenestration system can be the primary
source to vary the indoor thermal field and thermal comfort which is straightly
associated with the energy demands. The energy consumption for a building can
gain 10 % or above to attenuate the thermal effect resulting from the solar load. In
summer season, especially, the air conditioning load can even drastically increase
due to the excessive solar radiation. Therefore, many research works provided
solutions to reduce the solar effect on the building envelope. Etzion and Erell [1]
applied a rotatable frame supporting the two transparent and absorptive glazing
components to establish a flexible glazing mechanism. Based on their novel
design, the absorptive glazing with a low shading coefficient can be flexibly
placed on the exterior or interior of the building as solar load changes. Such
glazing system is promising to reduce the energy consumption and provide
comfortable living environment. Chow et al. [2] evaluated the thermal perfor-
mance for a photovoltaic (PV) ventilated window system applied on a small office
room in Hong Kong. Their study reported that the transmittance of a solar cell
obtained in the range of 0.45 and 0.55 could achieve the best energy saving.
Low-emissivity glass with coatings can also alter the solar heat transferred into the
building. Blue and green glasses tend to filter some infrared radiation, which can
be used in warm climate as an outer pane of a double-glazed unit and achieve the
cool daylight [3]. While these solutions perform good capacity on dissipating
the interior heat load, they can be difficult or elaborative. Due to knowledge of the
solar load related to the glass member [4] as well as recognizing the interest
thermal solutions recently emphasizing on the glazing mechanism design, venti-
lation and glass coatings, the authors provide a new study that investigates the
influence of glass patterns on the indoor thermal load, using commercial package
ANSYS Fluent. Furthermore, the relation between glass thermal performance and
pattern shapes is analyzed as well in this work.
15 Investigations for the Thermal Influence of Glass Patterns on the Building. . . 215
15.2 Numerical Analysis and Results
The thermal field inside of a building can be strongly affected by the solar radiation.
Through the heat transfer process, the solar load passing through a window pane
will induce the heat flux entering interior of the building. As the solar radiation
drastically increases in summer season, specifically, the transferred heat flux can be
raised even high enough to against the thermal comfort acquisition and hence
causes the increase in the air conditioning load that often results in great energy
consumptions. Therefore, for buildings, reducing the transmitted radiant energy
becomes a crucial issue to achieve energy savings.
Based on the energy conservation, the solar incident traveling in the ambience
enters a glass pane can be expressed as Eq. (15.1).
Qi Qr Qa Qt 15:1
Where Qi is the solar incident energy, Qr is the reflected radiation, Qa is the

energy absorbed by the glass and Qt is the transmitted energy passing through the
glass pane. According to Eq. (15.1), the glazing energy, the radiant energy entering
a glass pane, can be represented in terms of the absorbed and transmitted energies as
written in Eq. (15.2)
Qglazing Qa Qt 15:2
Where Qglazing is the glazing energy. For a glass with flat surface as shown in
Fig. 15.1a, the glazing energy can be determined as follows
X
5
Qglazing qi 15:3
flat
i1
Where qi is the component of glazing energy. Contrast with the conventional flat
glass of Fig. 15.1a, b shows the glass containing discontinuous surfaces and whose
corresponding glazing energy can be expressed as Eq. (15.4)
Fig. 15.1 Glazing energy for (a) flat and (b) discontinuous surface
Fig. 15.2 The (a) image, (b) schematic graph and (c) analytical model of glass house
X
3 X
2
Qglazing qi qj ; q1 f q4 , cos ; q2 f q5 , cos
discontinuous
i1 j1
15:4
Where qj* is the component of the glazing energy entering the discontinuous
face of the glass pane. Assuming that the glass shown in Fig. 15.1a, b are identical
in dimensions and the type, Eqs. (15.3) and (15.4) give that as of Fig. 15.1b
is greater than zero, the glass pane with discontinuous surface results in less
solar radiation entering the glass, comparing with that for the conventional flat
glass ( 0 ). Consequently, a glass pane having flat surface throughout poten-
tially allows the maximal radiant energy transmitting into the building. Therefore,
this work designs glass patterns, forming the discontinuous surface, over the
glass pane.
The analytical model used in this work refers from the furnished glass house
located in 3 M Taiwan site, whose image and schematic feature are shown in
Fig. 15.2a, b, respectively. The glass house having dimensions of 3,650 mm in
length, 2,400 mm in width and 3,100 mm in height contains a roof window and
twelve floor windows which appear highly glazing space facing on east, west and
south, as can be seen in Fig. 15.2a, b. As the intensity of solar radiation attains
maximum when it is approaching to noon, this research applies glass patterns on the
roof pane. Furthermore, in order to fully investigate the influence of glass patterns
Fig. 15.3 Pattern feature in (a) trapezoidal (b) triangular shape
Table 15.1 Thermal and

Thermal property
radiant properties of roof
glass [5] Heat transfer coefficient (W/m2 K) 4
Radiation property
Absorption Direct visible 0.49
Direct IR 0.49
Diffuse hemispherical 0.49
Transmission Direct visible 0.30
Direct IR 0.30
Diffuse hemispherical 0.32
on the transmitted radiant energy, the analytical model obtained in Fig. 15.2c
presently regards all of the floor windows as walls. Dimensions of the roof glass
are 700 mm long, 1,600 mm wide and 8 mm thick.
To reduce the unpleasant solar radiation entering the interiors of the glass house,
this work imposes glass patterns in trapezoidal and triangular shape over the
exterior surface of the roof pane, respectively, as shown in Fig. 15.3. In addition,
considering that the pattern parameters including the bottom angle and spacing
s between the adjacent patterns as shown in Fig. 15.3 can alter the transmitted solar
load, this work also analyzes the thermal performance for the patterned glass,
varying the feature parameters, and s.
The present study applies commercial package, ANSYS Fluent, to investigate
the thermal behaviors inside of the glass house based on the roof glass with flat
and patterned surfaces, respectively. In the numerical analysis, the solar radiations
including direct, diffuse and ground reflected radiations needed for this work were
determined by the solar calculator based on fair weather conditions, which is
programmed in ANSYS Fluent module. To simulate the summer season in
Taiwan, this work takes the date of July 8th, 2011 and 120 160 degrees in
longitude and 22 160 degrees in latitude. The thermal and radiation properties of
the roof glass employed in this work were carried out from those for the coated
glass provided by Ashrae [5]. Table 15.1 indicates thermal and radiant properties
of roof glass.
Fig. 15.4 Radiation heat flux on the inner face of the roof glass based on varying of trapezoidal-
shaped patterns
Figures 15.4, 15.5, 15.6, and 15.7 obtain the analytical results based on applying
the trapezoidal-shaped patterns throughout the external surface of the roof pane, as
shown in Fig. 15.3. Fixed spacing s of 11 mm between the adjacent patterns,
Fig. 15.4 plots the radiant heat flux on the inner face of the roof glass associated
with the bottom angle , Fig. 15.3. The corresponding thermal fields located
100 mm away from the underneath of roof glass as indicated in Fig. 15.5a are
shown in Fig. 15.5b, e. As obtained in Fig. 15.4, the transferred heat load slightly
decreases as the bottom angle increases; hence there is only slight difference
among the thermal fields shown in Fig. 15.5b, e. Remaining equal to 45 instead,
Figs. 15.6 and 15.7 show the radiation heat flux and indoor thermal results based on
varying the pattern space between 11 and 41 mm. In Fig. 15.6, the heat flux on the
inner face of roof glass reduces from 146 to 138 W/m2 as the pattern space
decreases from 41 to 11 mm. It indicates that the interior heat load resulting from
the transmitted solar radiations can be reduced as the pattern space decreases;
however, due to the slight heat dissipation, the indoor temperature, where is even
approaching to the roof pane shown in Fig. 15.7a, is not drastically decreased while
one applies finer pattern space over the roof glass, as plotted in Fig. 15.7b.
The modeling results obtained in Figs. 15.4, 15.5, 15.6, and 15.7 give that the
transmitted solar load can be attenuated if the glass incorporates trapezoidal-shaped
patterned throughout the exterior surface as shown in Fig. 15.3. Moreover, applying
greater with smaller pattern space, the trapezoidal shaped pattern performs better
capacity on reducing the transmitted solar load passing through the window pane,
although the radiant energy is slightly reduced based on such pattern feature.
b c
38.0 38.0
37.2 37.2
36.4 36.4
35.6 35.6
34.8 34.8
34.0 34.0
33.2 33.2
32.4 32.4
31.6 31.6
30.8 30.8
30.0 30.0
T (c) T (c)
d e 38.0
38.0
37.2 37.2
36.4 36.4
35.6 35.6
34.8 34.8
34.0 34.0
33.2 33.2
32.4 32.4
31.6 31.6
30.8 30.8
30.0 30.0
T (c) T (c)
Fig. 15.5 Indoor temperature field throughout the interest face of (a) based on trapezoidal-shaped
patterns with equal to (b) 0 (c) 30 (d) 45 (e) 60
Besides analyzing the thermal performance for the trapezoidal-shaped patterns,

this work interests the glass patterns in triangular shape as well. Based on the new
finding in Fig. 15.6, it is advantageous to make the pattern space as small as
possible; therefore, the roof glass analyzing here incorporates triangular-shaped
patterns immediately adjacent to each other as shown in Fig. 15.8. Figure 15.9
160
Radiation heat flux (W/m2)

155
150
155
140
135
130
125
120
0 11 22 33 44
Pattern space s (mm)
Fig. 15.6 The radiation heat flux on the inner face of the trapezoidal patterned glass versus pattern
space s
a 100
Roof
Locations A
Locations B
600
Locations C
Locations D
Y
Z X unit: mm
b 40.5
Flat
39.5 s = 11mm
s = 26mm
38.5 s = 41mm
temperature (C)
37.5
Locations
A
36.5
Locations
35.5
B Locations
C Locations
34.5 D
33.5
1 11 21 31 41 51 61 71
Indoor discrete locations
Fig. 15.7 Indoor temperature at discrete locations of (a) based on varying s of trapezoidal-shaped
patterns
Fig. 15.8 Analytical roof glass patterned in triangular shape
Fig. 15.9 Radiation heat flux on the inner face of the roof glass based on varying of triangular-
shaped patterns
shows the transferred heat flux over the inner face of the roof pane related to the
change in the bottom angle from 0 to 60 . Similar to the results obtained in
Fig. 15.4 for the trapezoidal patterns, the transmitted solar radiation reduces as the
triangular-shaped patterns applying greater . When equals 60 , the heat flux
greatly decreases from 146 to 99 W/m2 and which is about 32 % of that for flat
glass, as obtained in Fig. 15.9. Moreover, the thermal distributions inside of the
glass house obtained in Fig. 15.10 also indicate that the triangular-shaped pattern
applying equal to 60 has a great capacity to dissipate heat load existing inside of
the glass house, comparing with that for the flat roof glass, equal to 0 .
Figure 15.11b displays the indoor temperature, located 100 mm vertically away
from the roof pane as shown in Fig. 15.11a. According to Fig. 15.11b, it indicates
that if one applies triangular-shaped patterns with equal to 60 throughout the
surface of the roof glass, the maximum reduction of indoor temperature can attain
about 1.3 C.
Fig. 15.10 Indoor temperature field throughout the interest face of (a) based on triangular-shaped
patterns with equal to (b) 0 (c) 30 (d) 45 (e) 60
15.3 Discussion
The objective of this work is to develop a skill that can perform the capacity to
attenuate the solar load getting into the glass pane. Knowledge of the variation of
transmitted solar radiation dependent on the glass component, this work imposes
Fig. 15.11 Indoor temperature at discrete locations of (a) based on varying of triangular-shaped
patterns
patterns in trapezoidal and triangular shape over the exterior face of the roof glass,
rather than considering the conventional flat surface. Analytical results indicate that
the transmitted solar load indeed can be reduced if one applies the described
patterns on the roof glass, comparing with that for flat glass. The pattern feature
parameters including and pattern space s shown in Fig. 15.3 can vary the thermal
performance of the glass. The glass pattern applying greater results in the more
reduction of heat load due to the glazing radiant energy associated with the function
of cos() as expressed in Eq. (15.4). However, if is approaching or equal to 90 ,
the thermal behavior of the patterned glass will be approximately same as that for
the conventional glass. It results from such patterns appearing nearly flat surface
throughout as the flat glass does, although they distribute discontinuously over the
glass face. The spacing between adjacent patterns provides the flat area, as well, and
where potentially allows the maximal radiant energy penetrating into the glass.
Therefore, applying finer pattern space helps reduce the solar load entering indoors,
as shown in Fig. 15.6.
The thermal performances based on trapezoidal and triangular-shaped patterns
are shown in Figs. 15.4, 15.5, 15.6, 15.7, 15.9, 15.10, and 15.11, respectively.
Under identical solar radiant conditions and glass characteristics, analytical
results indicate that more heat dissipation is acquired by employing triangular-
shaped patterns, comparing with that for the pattern in trapezoidal shape. As
mentioned previously, the transmitted solar load can be attenuated by the pat-
terned glass based on applying smaller s. The absence spacing between adjacent
patterns and the geometric character like vertices for triangle give the triangular-
shaped patterns as shown in Fig. 15.8 without flat areas appearing over the
surface of the roof glass, which results in the significant reduction in the solar
load getting into the glass. Therefore, such triangular-shaped patterned glass
behaves superior capacity on the reduction of transferred heat flux, as can be
seen in Fig. 15.9. If one applies triangular-shaped patterns having 60 for the
bottom angle , for instance, throughout external face of the roof glass, the
radiant heat flux on the inner face of roof pane can be reduced about 32 % of
that for applying the flat glass.
The analytical results provided in this work substantiate the validity of the
described skill for the reduction of glazing radiant energy. While this study empha-
sizes on the roof glass and presently neglects the floor windows in the glass house,
in order to fully understand the thermal performance of the patterned glass, the
authors are confident that applying the described patterns over the floor window
will result in more heat dissipations inside of the glass house.
15.4 Conclusions
Transmitted solar radiation passing through a window can significantly affects the
thermal field and thermal comfort for a building. This work demonstrates that if the
glass incorporates with patterns throughout, the glazing radiant energy indeed can
be attenuated, comparing with that for the conventional flat glass. Moreover, the
heat load existing inside of the glass house can also be reduced, which is straightly
advantageous for the decrease in the air conditioning load, specifically in warm
seasons, and consequently attains the aim of energy savings.
Acknowledgement The authors appreciate the technical department of 3M Taiwan Ltd. for
providing grants to support this work.
Nomenclature
Q Instantaneous radiant energy flux (W/m2)

q The component of instantaneous radiant energy flux (W/m2)
Greek Symbols
Incident angle
References
1. Etzion Y, Erell E (2000) Controlling the transmission of radiant energy through windows: a
novel ventilated reversible glazing system. Build Environ 35:433444
2. Chow TT, Fong KF, He WAL, Chan S (2007) Performance evaluation of a PV ventilated
window applying to office building of Hong Kong. Energ Build 39:643650
3. Schuman J (1992) Cool daylight. Prog Architect 73(4):136141
4. Ismail KAR, Henriquez JR (2003) Modeling and simulation of a simple glass window. Sol
Energ Mater Sol Cell 80:355374
5. ASHRAE (2001) Fundamentals handbook Table 13 of Chapter 30
Chapter 16
Choosing the Right Technology: Optimized
Design of Renewable Supply Systems
for Residential Houses
Christian Milan, Mads Pagh Nielsen, and Carsten Bojesen
Abstract The use of renewable energy sources (RES) has continuously increased
throughout the last decade. In the residential building sector the trend goes towards
energy supply systems based on multiple RES. This is mainly due to political
requirements, governmental subsidies and fuel price development. These systems
not only require an optimal design with respect to the installed capacities but also
the right choice in combining the available technologies assuring a cost-effective
solution.
The aim of this paper is to present an optimization methodology for residential
on-site energy supply systems based on mixed integer linear programming. The
methodology chooses the right combination of technologies and sizes the compo-
nents based on on-site weather data and expected consumption profiles. Through
this approach the fluctuations of RES as well as the user behavior are taken into
account already during the planning process. The methodology allows for specify-
ing a level of Net Zero Energy Building (Net ZEB) performance to investigate cost
reductions when allowing shares of fossil fuel consumption. The outcome is an
optimal supply technology combination and optimal installed capacities in terms of
the overall costs including system installation and operating expenses. The
approach is applied to a case study of a residential single family house under
Danish conditions. It delivers rapidly site-specific solutions and can easily be
used as an extension for common building energy simulation software.
In the case study several levels of Net ZEB performance have been investigated.
The results show that supply systems based solely on renewable sources are still
considerably more expensive than standard solutions and that substantial cost
reductions can be reached by allowing a certain share of primary energy
consumption.
Keywords Net zero energy buildings Renewable energies Linear programming

Investment optimization
C. Milan (*) M.P. Nielsen C. Bojesen

Department of Energy Technology, Aalborg University, Pontoppidanstrde 101,
Aalborg st 9220, Denmark

228 C. Milan et al.
16.1 Introduction
Mitigating climate change is one of the global challenges of the twenty-first

century. To achieve this goal, the worldwide Greenhouse Gas (GHG) emissions
have to be reduced drastically throughout the next decades [1]. The building sector
is one of the major origins of these emissions with e.g. 40 % of the total GHG
discharge in the European Union [2]. Therefore, efforts are being made to reduce
the energy demand and the fossil fuel consumption in buildings.
16.1.1 From Single to Multi Source Supply Systems
Over the past two decades, the use of renewable energy sources (RES) in the
building sector has increased continuously [3]. At first, only a single technology
was installed besides the conventional fossil fuel systems, e.g. a solar thermal
collector for hot water preparation. Lately, political guidelines and subsidies as
well as technical improvements and cost reductions accompanied by the concept of
low energy buildings led to the installation of several technologies in the same
house [4]. The future trend and legislation goes towards residential supply systems,
which are based totally on renewable sources [5]. Systems with several or solely
renewable technologies are much more difficult to design due to the large diversity
of technology options available and the interdependencies of the system compo-
nents. Moreover, all the on-site conditions have to be included in the planning
process. People in different countries have different consumption patterns. Like-
wise, weather conditions and consequently the availability of renewable energy
resources differ considerably dependent on the geographical location.
16.1.2 Site-Specific Solutions but Consistent Methodology

Needed
The above mentioned reasons necessitate a site-specific solution for each building
and eliminate the possibility of applying standardized solutions. To develop these
individual system designs, trial-and-error approaches are most common today in
low energy building planning [68]. These approaches are very labor and cost-
intensive and do not assure that a global optimum design is found. The solution
obtained by these methods can be just a local optimum, since the whole solution
area cannot be evaluated. In contrary, linear problems guarantee a global solution,
since the optimum will always be located in the intersection of some of the
constraints. Therefore, a consistent methodology is needed which allows for a
fast optimum solution based on the specific on-site conditions. The existing energy
analysis programs are mostly focused on regional or national levels and therefore
16 Choosing the Right Technology: Optimized Design of Renewable. . . 229
exclude the investigation of single supply systems or they have only specific
technologies implemented but not a large variety [9]. Several studies have been
conducted on the optimization of energy systems for low energy houses. However,
these works include the design of the whole building and apply genetic algorithms
or involve highly non-linear complex problems [6, 8, 10]. This leads to very
calculation intensive solution procedures, which can require two months on stan-
dard processors for calculating a one year performance of the energy system
[10]. Another important point is that low energy houses often involve by far higher
investment costs compared to standard buildings due to special building materials
and the installation of several renewable energy technologies [4]. Therefore, it
would be desirable to have a tool for investigating the costs for several shares of
renewable energies in the building supply system.
16.1.3 Developing a Ready-to-Use Program
The work presented in this paper attempts to close the gap of applicable models for
residential renewable supply systems. A ready-to-use program is developed, which
allows for identifying and analyzing the cost-optimal combination out of a wide
range of technologies taking the fluctuations of RES and user behavior patterns into
account. The approach is based on a mixed integer linear programming problem to
minimize the computational expenses. It is a further developed and extended
methodology of the work presented in [11]. The objective of the remaining chapters
is to describe the methodology development and features. Firstly, the structure and
mathematical theory will be presented followed by a description of the considered
technologies and the implemented supply models of each technology. The approach
is then used to investigate different cost optimal solutions for a typical Danish low
energy house in a case study. The paper concludes with a discussion on the results
and potential expansions of the model.
16.2 Optimizing Supply System Design
During the design phase of the supply system, several optimization objectives are
possible. An important characteristic of energy conversion technologies applying
RES at residential buildings are the considerably higher investment costs compared
to standard fossil fuel solutions [12]. The objective function chosen in this paper is
therefore to minimize the overall costs of the supply system rather than optimizing
energy efficiency. In future, the methodology could also be extended into a multi-
objective problem including environmental performance or system efficiency.
Nevertheless, this study focusses on a purely financial analysis. In the following
sections, the most important methodology features are described as well as the
structure of the program and the mathematical theory behind is discussed.
230 C. Milan et al.
Table 16.1 Used definition for net zero energy buildings

Type of
supply Renewable energy supply Balancing Balancing
system options period unit Balance border
Connected On-site generation of on-site Annual Consumed Energy related to
to pub- sources and off-site primary 1. Building operation
lic grid sources (biogas) energy and user appliances
2. Embodied energy of
the energy supply
technologies
3. Fossil-fuel
consumption
16.2.1 Methodology Features
The methodology described in this paper is based on mixed integer linear program-
ming and hence delivers fast site-specific solutions. The program uses hourly values
for the consumption profiles and weather data and can easily be coupled with
building engineering tools, such as EnergyPlus. The EnergyPlus software can
calculate hourly energy demands based on the future architecture of the building
and the chosen construction materials [13].
Furthermore, the purpose of the presented approach is to provide a tool for
designers of low energy houses to investigate different cost optimal solutions
towards so called Net Zero Energy Buildings (NetZEB). NetZEBs are houses
which produce on an annual basis as much energy out of renewable sources as
they consume. Currently the term NetZEB is still under development and many
countries use different approaches when measuring net zero energy performance
[14]. Therefore it is important to state the exact chosen definition, when dealing
with NetZEBs. In this paper the definition of the Danish Strategic Research Centre
on Zero Energy Buildings is applied with minor adaptations to the current case
[15]. In Table 16.1 the main characteristics of this definition are listed.
A grid connected building is considered, which has to balance out the consumed
primary energy on a yearly basis by feeding excess electricity to the grid. The
renewable energy supply options include the generation at the building-site of
on-site sources as well as using biogas as an off-site source. In the balance all the
energy related to the building operation (space heating, domestic hot water, elec-
tricity for appliances and lighting), the annual share of the energy consumed during
the manufacturing process of the different supply technologies, e.g. the Photovol-
taic (PV) module, and the primary energy due to fossil fuel consumption are
accounted for.
Based on this definition the program allows the building designer to define a
certain degree of Net ZEB performance. The degree is defined as the share of
allowable primary energy consumption by the building compared to the primary
energy consumption, which a reference system based on a standard solution would
Fig. 16.1 The three basic steps of the optimization methodology
cause. In this case the reference system consists of a natural gas boiler for the heat
supply and grid purchased electricity. This gives the possibility to the designer to
investigate cost reductions by deviating from the Net ZEB performance.
16.2.2 Methodology Structure
The methodology consists of three basic units as depicted in Fig. 16.1. The first part
consists mainly of the input data and constraints set by the building or system
designer. The methodology uses hourly values for on-site weather data and con-
sumption profiles. The second unit consists of the optimization problem itself which
involves balance equations for heat, electricity and primary energy consumption
connected to the objective function representing the overall costs of the system.
The last part consists of the simulation results after the problem has been solved.
The cost optimal combination and installed capacities for each considered technol-
ogy are determined together with the overall system costs including the investment,
operational and decommissioning phase. During the calculation of the optimal
configuration the energy balance equations have been solved for each hour of the
year and therefore the program delivers in addition the expected system
performance data.
16.2.3 Mathematical Formulation of the Optimization

Problem
The methodology uses mixed integer linear programming to find the optimal
system design and is a further development of the model described in [11]. For
the sake of conciseness only the major equations are presented here. For the detailed
232 C. Milan et al.
equations please refer to the earlier mentioned article. The general formulation of
the optimization problem is:

minpx y; PT1
inst ; Pinst ; . . . ; Pinst
T2 Tn
16:1
s.t.
hi(x) 0
gm(x) 0
The objective function p(x) depends on the installed power PTninst of n considered
technologies and the corresponding binary variables, which represent the selection
(y 1) or disregard (y 0) of each technology. The function has to be minimized
subject to hl(x) equality and gm(x) inequality constraints. These constraints are
either due to physical restrictions or defined by the system designer. Minimizing
the overall system costs is the main objective of the presented methodology. The
objective function, shown in Eq. (16.2), represents these costs CSystem
NPC discounted to
the net present costs (NPC), since several expenses occur at later times than the
initial investment.
System grid
px CNPC PT1
inst cNPC Pinst cNPC Pinst cNPC cNPC
T2 T2 T2 Tn Tn
16:2
s.t.
Tj
Pinst 0
Each technology j has its specific cost cTj

NPC , which are multiplied by the installed
Tj
power Pinst to obtain the total system costs. The installed power must not be
grid
negative. The expenses for buying electricity is included at total costs CNPC . The
specific costs cTj Tj
NPC are the sum of the investment costs cinv , the expenses occurring
during operation and maintenance (OM) of the system cTj OM , and the
Tj
decommissioning costs cdec as referred to in Eq. (16.3). Both, the OM and
decommissioning costs are discounted to NPC by the discount rate i. The OM
costs can vary over time due to e.g. rising fuel prices and are for this reason
discounted for each year of the operational lifetime N.
X N Tj
Tj Tj t Tj N
cNPC cinv t1
c ON , t 1 i c dec 1 i 16:3
s.t.
j {1,. . .,n}
The OM costs are calculated according to Eq. (16.4) including the yearly
maintenance costs cTj Tj
ma int plus the fuel price cfuel;t for the period t multiplied by the
specific fuel consumption fTj
t :
Tj Tj Tj Tj
cOM , t f t cfuel, t cmaint 16:4
As mentioned above, the methodology is also intended to enable the investiga-

tion and design of NetZEBs. To be able to measure, if a building is achieving net
zero energy performance, a balancing unit is necessary. In the work presented,
primary energy has been chosen for this purpose in accordance to [15]. The balance
equation is shown in Eq. (16.5).
sT 1 pTinst
1
sT 2 pTinst
2
sT n pinst
Tn
b
N
XtN XtN grid
t0
T1 f T1
t T2 f T2
t Tn f Tn
t e e_
t0 t
16:5
The primary energy consumed during the fabrication process of each supply
device is included in the balance and described by the first term. Tj corresponds to
the specific primary energy of the manufacturing process including installation of
technology Tj. Since this energy only needs to be offset throughout the whole
operational life span N of the system, a share for each year is calculated. The second
term involves the fossil fuel consumption of the system for each technology during
the balancing period, which is multiplied with the corresponding primary energy
factor Tj of each fuel. The last term respects the exchange with the public grid. By
delivering energy to this network, the building can offset the consumed primary
energy. In this case, the summation term is negative, since more energy is fed into
the grid than it was purchased throughout the balancing period. For a NetZEB the
presented primary energy balance has to be zero. In the current methodology it is
possible to investigate different degrees of NetZEBs apart from the 100 % NetZEB
case and therefore the variable b is introduced. This variable defines the allowed
share of primary energy consumption compared to the primary energy consumption
of the reference system, which represents a standard solution based on fossil fuels.
The aim of the next chapter is to give an overview of the technologies considered
in this paper and the used reference system.
16.3 Supply System Components
Before sizing the supply system, the designer has to specify the technologies to
consider in the optimization process. In Fig. 16.2a the flow scheme of the system
with all implemented supply technologies is shown.
In order to cover the heat demand a solar thermal collector, a combined heat and
power unit (CHP) fueled with biogas and a heat pump are investigated as potential
supply technologies. The electricity demand can be covered by a photovoltaic
(PV) module and the biogas CHP. Heat, which cannot be consumed immediately,
is stored in a water tank. The reference system, as depicted in Fig. 16.2b consists of
234 C. Milan et al.
a Biogas b Natural gas
Solar thermal Combined Photovoltaic

Heat and Heat Pump Gas boiler Public grid
collector Power unit module
Public grid
Heat storage Heat storage
Heat demand Electricity demand Heat demand Electricity demand
Fig. 16.2 (a) Flow scheme with all considered supply technologies (b) Flow scheme of the
reference system
a natural gas boiler for the heat supply and a public grid connection for the purchase
of electricity to cover all the energy demands.
16.3.1 Technology Comparison
The most important technical and economical specifications of all the considered
technologies under Danish conditions are shown in Table 16.2. For each technology
an allowed range of the installed capacity is defined to assure that the specifications
are valid, since they refer to that specific range and often change for larger or
smaller capacity scales. The heat storage size is fixed for both the reference system
and the system to be optimized with a capacity of 200 l. The embodied primary
energies are taken from scientific life-cycle analyses [1618].
The investment costs are mainly based on commercial available products and
have been expressed as a function of the installed capacity for the PV module, the
solar-thermal collector and the heat pump, since the prices can vary quite substan-
tially with the capacity [1923]. The removal costs have been estimated as a share
of 20 % for all technologies, except the heat pump, based on [19]. They have stated
this factor only for a PV module and a solar-thermal collector, but since no precise
data was available it was assumed to be in the same range for the Micro-CHP and
the gas boiler. The heat pump removal costs have been assumed to be higher at
around 30 % due to the piping in the soil.
16
Table 16.2 Comparison of considered technologies

PV module ST collector Heat pump (HP) Micro-CHP Boiler Heat storage
Technical parameter
Type Poly-crystalline Glazed flat-plate Water based Recipro-cating Conden-sing boiler Water tank
ground source gas engine
Efficiency [] 0.12 0.79 4.9a 0.63b thermal 0.85b,c 0,995/day
0.26b electric (0.875d)
Max. capacity [kW] 10 10 10 5 15 200 l
Embodied primary energy 6,000 1,172 1,612 883 1,029 kWh 7,637 kWh/m3
(kWh/kW)
Economical parameter
Investment costs [] 2,027+ 1,728+ 12,406+ 2,500 /kWel 4,933 1,126
PPV * 3,661e PST*580e PHP*696e
Operation and 1 % of investment 1 % of investment 267 0,03 /kWh 8.5 % of fuel costs 0
Maintenance costs [] costs costs
Removal costs [% of 20 20 30 20 20 20
investment costs]
a
Annual averaged COP
Choosing the Right Technology: Optimized Design of Renewable. . .
b
Based on upper heating value
c
Including typical standby losses
d
Efficiency of the heat exchangers inside the tank
e
As a function of the installed capacity
235
236 C. Milan et al.
16.3.2 Development of Performance Models
For each technology a performance model has been developed and implemented in
the mixed-integer linear problem. These performance models link the energy output
of each device to the installed capacity. All models applied in this paper are based
upon simplified approaches in order to keep the overall optimization problem
linear. The equations for the PV module, the solar-thermal collector and the
ground-source heat pump are not explicitly mentioned here for the sake of con-
ciseness. For the detailed models please refer to [11]. The implemented equations
for the CHP, the gas boiler and the heat storage are described in the following.
16.3.2.1 CHP
The CHP considered in this methodology represents a reciprocating engine within

ranges of 05 kW. Eqs. (16.6) and (16.7) formulate the electricity and the heat
output per hour dependent on the fuel consumption fCHP t . Besides the efficiency of
the CHP, also a so-called load service rate CHP
lsr is introduced, which accounts for
efficiency reductions due to starts, stops and half load operation of the CHP [24].
e_ tCHP elCHP lsr

CHP
UHV BG f tCHP 16:6
q_ tCHP thCHP lsr
CHP
UHV BG
f tCHP 16:7
The installed electrical power of the CHP is linked to the electricity output by
Eqs. (16.8) and (16.9). The electricity output per hour must not exceed the installed
electrical power as demanded in Eq. (16.8):
PelCHP e_ tCHP 16:8
Equation (16.9) sets a limit to the annual produced electricity. In order to avoid
too many interruptions in the CHP operation a minimum number of full load hours
tfl has been defined as a lower border for the annual electricity production.
X
PelCHP tfl e_ CHP PelCHP tavail
t t
16:9
The upper limit is set by the maximal available hours tavail of the CHP module.
This is due to the fact that CHPs based on reciprocating engines are maintenance
intensive and have to be serviced several times a year. During these times they are
not available for power production [24].
16.3.2.2 Gas Boiler
For the reference case, a gas boiler fueled by natural gas has been implemented in
the methodology. The equation for the hourly heat production is shown in
Eq. (16.10) and is formulated analogously to the heat equation for the CHP.
However, a low service rate is not included, since condensing boilers have very
fast start-up times and in part load operation even higher efficiencies [25]. There-
fore, also only one fixed boiler size is considered, because they can run in a large
power range.
q_ tGB GB UHV NG f tGB 16:10
The installed capacity is, analogue to Eq. (16.8) the limiting factor for the
maximal heat production.
PGB q_ tGB 16:11
Gas boilers need only very little maintenance and therefore no constraints have
been set on the availability of the boiler.
16.3.2.3 Heat Storage
In the current model a water tank is used for heat storage. It is used for short time
storage and has a fixed size of 200 l. Since temperature losses occur when heat is
transferred to the tank or extracted from it, Eq. (16.12) accounts for these losses by
involving the efficiency of the heat exchangers HX to and from the tank.
qtHS, net
q_ tHS 16:12
HX
The calculated net heat qHS;net

t is used to determine the charge level lHSt of the
storage tank as specified in Eq. (16.13). It is added to the heat already available in
the tank from the previous hour. However, the tank has also losses to the surround-
ings, which are considered by the heat loss rate HS.

ltHS lt1
HS
1 HS qHS
t
, net
16:13
To exclude an overcharging of the tank, the following constraint limits the

maximum charge level to the installed capacity of the heat storage, defined in
Eq. (16.14):
238 C. Milan et al.
ltHS Pinst
HS
16:14
16.3.2.4 Backup System
The methodology also accounts for a backup system in case of very large deviations
of weather conditions or user consumption. The backup consists of a security
margin of 10 % of installed electricity and heat production capacities, with which
the system should be oversized. The backup installations are also allocated in a cost
optimal way.
16.4 Case Study
The above presented methodology has been used to investigate a sample case of a
fictitious low energy house under Danish conditions. In the following conducted
simulations are described and the results are presented and discussed.
16.4.1 Description of the Simulations
The above described methodology has been implemented in the GAMS software
platform, which is designed for solving optimization problems [26]. The main
assumptions for the example case are listed in Table 16.3.
Future natural gas and electricity prices have been taken based on the actual
estimations of the Danish Energy Agency [27, 28]. The actual biogas price was
calculated for upgraded biogas, which can be delivered to the natural gas grid, and
relates to the achievable price from an operating Danish biogas plant [29]. For the
future biogas prices an annual increase of 3 % has been assumed. To all the prices
current taxes and fees have been added to obtain the delivery price to a Danish
household. A summary of the results is shown in Table 16.4.
16.4.2 Results and Discussion
The above specified residential building has been investigated by applying the
methodology and solving the problem with the GAMS software. The calculations
have been performed for different degrees of Net ZEB performance as seen in
Fig. 16.3. The installed and the additional backup capacity are depicted for each
technology. The lowest achievable share of Net ZEB performance with the given
renewable energies is 23 %. To achieve even lower shares a technology using fossil
fuels, such as a natural gas boiler, would be needed.
Table 16.3 Main assumptions for the case study

Parameter Value
Building specifications
Type of house Low energy single family house
Number of occupants 2
South facing roof space 85 m2
Economical parameters
Operational life span of supply system 20 years
Discount rate 3%
Security margin in installed capacity 10 %
National energy system
Primary energy factor for grid electricity 2.5 kWhprim/kWhdelivered
Primary energy factor for natural gas 1 kWhprim/kWhdelivered
Table 16.4 Used future energy prices for households

Year Electricity (/kWh) Natural gas (/kWh) Biogas (/kWh)
2012 0.32 0.08 0.11
2015 0.34 0.10 0.12
2020 0.40 0.11 0.14
2025 0.38 0.12 0.16
2030 0.49 0.13 0.18
Fig. 16.3 Installed and backup capacities for each technology and degree of Net ZEB
performance
It can be seen from the figure that very high degrees of ZEBs necessitate large
PV modules to offset the electricity consumed from the grid. With lower shares of
ZEB performance, the size of the PV module declines until it is eventually only
considered as a backup source. The heat production is covered solely by the CHP
plant and the heat pump for buildings close to Net ZEB conditions. A small solar
240 C. Milan et al.
Fig. 16.4 Total supply system net present costs in relation to the degree of Net ZEB performance
thermal collector is intended to function as a backup source in case of large

deviations of heat consumption. When increasing the allowed amount of consum-
able primary energy, the CHP capacity declines and the heat pump size is increased
to cover the heat demand by using grid electricity.
The development of the total system costs as a function of the Net ZEB degree is
depicted in Fig. 16.4. The net present costs decline considerably, if minor shares of
primary energy consumption are allowed. The potential cost reductions become
smaller the lower the Net ZEB degree is.
Investigating the composition of the total system costs, as listed in Table 16.5, it
can be stated that the cost structure for supply systems achieving or being close to
Net ZEB performance is very different to the standard reference solution. The
investment costs prevail for these systems and the operational and maintenance
costs are considerably lower. With increasing the share of primary energy con-
sumption the trend goes towards lower investment costs and higher operational
costs, since the PV module capacity is reduced and electricity is bought from the
grid instead.
From the discussed results it can be concluded that the presented methodology
determines a cost optimal solution based on the desired degree of Net ZEB
performance. However, it should be stated that the considered technologies are
solely using renewable energy sources. In regard to larger shares of allowed
primary consumption higher cost reductions can be achieved by implementing
fossil fuel technologies, such as a gas boiler. This is indicated by the very low
costs of the reference system, which is still more than 20 % lower than the costs for
the lowest Net ZEB performance of 23 %. Furthermore, it should be noted that the
methodology applies continuous variables for the capacities. This might not reflect
16
Table 16.5 Comparison of total costs depending on the degree of NetZEB performance
Reference system 100 % 90 % 80 % 70 % 60 % 50 % 40 % 30 % 23 %
Investment costs [] 6,060 38,023 33,345 28,668 23,990 19,313 18,310 18,264 18,219 18,188
Total net present OM costs [] 36,461 19,601 23,867 28,134 32,400 36,667 36,923 36,625 35,625 35,188
Net present costs for system removal [] 671 4,943 4,425 3,907 3,389 2,871 2,773 2,785 2,797 2,805
Total system net present costs [] 43,192 62,566 61,637 60,708 59,779 58,850 58,006 57,314 56,640 56,180
Choosing the Right Technology: Optimized Design of Renewable. . .
241
242 C. Milan et al.
the market situation and a future improvement would be to implement available

discrete sizes for the capacities. Finally, it has to be stated that the methodology
neglects the control issues, which might arise in practical applications, when
combining several supply technologies, such as a solar thermal collector and a
heat pump. To implement these considerations in the methodology is a recommen-
dation for future research.
16.5 Conclusions
In this paper a methodology was developed, which allows for determining the cost
optimal combination and sizes of selected renewable energy technologies for a
residential building. Furthermore, it compares the system performance to a refer-
ence system based on a standard configuration using a natural gas boiler. It was
shown that by allowing minor shares of primary energy consumption, cost reduc-
tions can be achieved compared to a 100 % Net ZEB. The cost structure for Net
ZEBs is characterized by very high investment costs but involves in return only
little operation and maintenance costs. Finally, recommendations on future devel-
opment of the methodology have been given.
Nomenclature
b Allowed primary energy consumption kWh

e Electricity generation per hour kWh/h
C Total costs
c Specific costs /kW and /m3
f Specific fuel consumption m3/kW
g(x) Inequality constraint
h(x) Equality constraint
l Heat loss rate kWh/h
P Capacity of each technology kW
p(x) Objective function
q Heat generation per hour kWh/h
s.t. Subject to
t Number of hours h
UHV Upper heating value
y Binary variable representing selection (y 1) or neglection (y 0) of a
technology
Greek Letters
Specific primary energy consumption kWh/kW
Primary energy factor
Efficiency
Subscripts
avail Availability
dec Decommissioning
el Electrical
fuel Fuel type
inst Installed capacity kW
inv Investment costs
l Number of equality constraints
lsr Load service rating factor
m Number of inequality constraints
maint Maintenance
NPC Net present costs
OM Operational and maintenance
t Time index
th Thermal
Superscripts
BG Biogas
CHP Combined heat and power unit
GB Gas boiler
grid Public grid
HS Heat exchanger
N Number of total years of operation
n Number of considered technologies
net Net amount
NG Natural gas
System Total supply system
Tj Relevant technology j
References
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groups I, II and III to the fourth assessment report of the intergovernmental panel on climate
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change mitigation. Cambridge University Press, Cambridge, UK
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residential energy supply systems. Energy 48(1):118127
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energy and environmental balances. Renew Energ 2:109130
18. Haas R et al (2010) Mikro-KWK Langfristige Szenarien der gesamtwirtschaftlich optimalen
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Chapter 17
State of the Art Review: Fuel Cell
Technologies in the Domestic Built
Environment
Theo Elmer and Saffa B. Riffat
Abstract The paper provides a state-of-the-art review of fuel cells operating in the
domestic built environment. Fuel cells produce heat when generating electricity,
thus they are of particular interest for combined heat and power (CHP) applications.
As this papers focus is the domestic built environment, only micro-CHP applica-
tions are considered.
The review commences with an examination of micro-CHP in the built envi-
ronment and then appraises domestic fuel cell technology. It concludes with an
assessment of the present development of, and future challenges for, domestic fuel
cells; specifically the operational advantages they offer compared to conventional
micro-CHP technologies. As fuel cells are an emergent technology the paper draws
on a breadth of literature, data and experience, mostly from the UK, Japan, USA
and Australia.
Keywords Fuel cells Domestic buildings Combined heat and power Review
17.1 Introduction
It is now of global importance that greenhouse gas (GHG) emissions associated

with energy production are substantially reduced in order to limit the effects of
climate change. Agreements such as the 1997 Kyoto Protocol have been established
in order to try and mitigate the effects of climate change by reducing the quantities
of GHGs released into the atmosphere. More recently the UK set out in its 2007
Energy White Paper it would commit to an 80 % GHG emission reduction com-
pared to 1990 levels by 2050 [1]. The UKs 2050 target is ambitious; however there
is now a common trend amongst many countries towards aspirations of a low
carbon future. In the 4th Inter-governmental Panel on Climate Change Assessment
the built environment was identified as holding the largest economic potential for
T. Elmer (*) S.B. Riffat

Institute of Sustainable Energy Technology, School of Architecture and Built Environment,
University of Nottingham, Nottingham NG7 2RD, UK

248 T. Elmer and S.B. Riffat
the reduction of CO2 emissions [2]. Currently in the UK, over 30 % of CO2
emissions are associated with the domestic housing sector. This illustrates the
critical importance of decarbonising the domestic built environment if substantial
CO2 emission reductions are to be realised. Fuel cells have been identified as one of
the promising technological options on the route to a zero carbon built
environment [2].
Fuel cells are electrochemical devices which convert hydrogen and oxygen into
water and in the process produce electricity. Invented in 1839, fuel cell technology
is by no means new. However, in the past, fuel cells have struggled to flourish
particularly in terms of commercialisation and market application. This stalled start
has occurred for a variety of reasons; technological reliability, lack of interest, lack
of infrastructure but mainly cost [3]. On the other hand, fuel cells have been used in
bespoke projects. NASA used fuel cells in some of their early space shuttles to
provide electrical power, heat and water. In more recent years fuel cells have started
receiving much more attention with their use in the current major market applica-
tion of automobiles, with cars such as the Honda FCX Clarity [4].
As a result of growing concerns of climate change, ever increasing cost and
scarcity of fuel resources fuel cells have been identified as a key technological
option for improving both building energy efficiency and reducing emissions
[5]. Fuel cells are an attractive option for building applications because of their;
high electrical efficiency (even at part load), low emissions, near silent operation,
flexibility of fuel use and useful heat output. Owing to the variety of fuel cells on the
market and their modularity, fuel cells have the ability to cover a range of building
applications from single family homes to an entire hospital [5]. Ceramic Fuel Cells
Ltd (CFCL) reported that the residential Solid oxide fuel cell (SOFC) market is
around 17,000 kWe installed per annum, a large market potential. E.ON believes
most UK homes are technically suitable for fuel cell micro-CHP, equal to a
potential total installed capacity of 24 GWe [6]. In micro-CHP applications the
heat output of the fuel cell can be used for the heating of water for domestic hot
water (DHW) or space heating. Similarly combined cooling heat and power
(CCHP) applications most commonly utilise the heat output in a heat driven cooling
cycle such as vapour absorption, adsorption or desiccant [4]. Fuel cells are also of
special interest in the built environment on account of their promise as a
decentralised generator (DG). Fuel cells can provide both heat and power from a
single fuel source at the end-point of use [4]. DG applications are of increasing
interest because of; reduced electrical transmission losses, protection against
attacks or damages to centralised plants, increased energy security and the option
to utilise the commonly wasted heat from the power production process, therefore
increasing overall efficiencies.
Fuel cells have been trialled at a variety of scales in CHP and CCHP configu-
rations [2, 710]. However fuel cells in such applications are still not considered a
mature technology with many technical, performance and operational uncertainties
requiring further investigation [5]. However, EneFarm field trials of 1 kWe Proton
exchange membrane fuel cells (PEMFC) in Japanese households has illustrated
annual CO2 emission reductions of 7501,250 kg per annum, demonstrating the
17 State of the Art Review: Fuel Cell Technologies in the Domestic Built. . . 249
potential fuel cells have in assisting decarbonisation of the domestic built environ-
ment [11]. It has been estimated that if 5.6 million homes were to install micro-CHP
fuel cell technology the emission savings would be equivalent to the emissions of
eight 750 MW combined cycle gas turbine (CCGT) power stations [12].
17.2 Micro-CHP in the Built Environment
CHP is defined as the generation of heat and power from a single fuel source, with
the view to using both products. CHP system applications can range in size from
large multi MW centralised power applications to a single kW domestic home.
Domestic micro-CHP is defined by the Carbon Trust as any system size up to
3 kWe. Hawkes et al. [2] define micro-CHP as any system between 3 kWe and
20 kWth. It is suitable to define both the thermal and power output because if the
thermal output of the CHP system is greater than the demands of the building it will
severely limit the operating period of the CHP system, resulting in lower efficien-
cies, greater emissions and longer pay back periods. As Beaussoleil-Morrison [13]
states, if the thermal output of the CHP device cannot be fully utilised, then the CHP
system cannot expect to deliver a net benefit relative to grid electricity and a highly
efficient condensing boiler. Therefore accurate energy load assessments and sizing
of the CHP unit is essential.
17.2.1 Merits of Micro-CHP
The use of micro-CHP operating as a DG in the domestic built environment has

many advantages associated with it compared to traditional centralised energy
generation. These include:
Improved system efficiency, otherwise wasted heat is utilised (heating or
cooling), therefore system efficiency can be elevated from as low as 3050 %
in central power stations to around 7085 % in micro-CHP. Figure 17.1 illus-
trates the energy savings possible when switching from centralised energy
generation to decentralised micro-CHP.
Decentralised micro-CHP eliminates transmission losses which account for 6
24 % in the European Union (EU) transmission network [14].
Improved system efficiency and greater fuel utilisation leads to reduced operat-
ing costs and CO2 emissions.
Electricity is regarded as having an economic value of roughly three times that
of gas. Therefore converting lower cost gas to electricity allows households to
recover cost and reduce energy bills. This is an important factor in the fight
against fuel poverty [15].
79 7
generation grid
losses losses
Combined
Power Heat and Power
121
plant 35
units Electricity Electricity
fuel units 100 System
180 units total units fuel
Boiler 59 Heat 50 Heat

fuel units units
9 losses 15
Power plant & grid losses
with
Boiler
Fig. 17.1 Sankey diagram comparing CHP system efficiency and conventional energy generation
[16]
Centralised decarbonisation of electricity generation in many countries is prob-

lematic on account of opposition to both renewables and nuclear. Micro-CHP in
consumers homes offers an option to assist in both decarbonising electricity
production and providing energy saving benefits directly to the home
owner [15].
17.2.2 Micro-CHP Technologies
Currently there are three main technologies used as micro-CHP prime movers in the
domestic built environment, all at varying levels of commercial and technological
maturity; Internal combustion engine (ICE), Stirling engine (SE) and fuel cells. The
performance and operational characteristics of these three technologies are
summarised in Table 17.1. It is evident that fuel cells have some clear operational
advantages, particularly when operating in the built environment. These include;
higher electrical efficiencies, low heat to power ratios (H:P) and near silent oper-
ation. However, the relative infancy of fuel cells limits their extensive application
and market involvement.
The H:P of a CHP unit is the quantity of heat energy produced per unit of
electricity generated and is an important system characteristic. Conventional CHP
systems are sized to thermal loads and are only operational when the demand for
energy is both electrical and thermal i.e. it will only run when there is demand for
the heat produced when generating electricity. Therefore a CHP system with a high
H:P means the unit is severely limited in its operational period. When there is low
or no heat demand, electricity is imported from the grid. Otherwise, producing
Table 17.1 Domestic micro-CHP technologies [2, 4, 15]

Internal combustion
Parameter engine Stirling engine Fuel cell
Electrical capacity 1 kW+ 1 kW+ 1 kW+
Electrical efficiency 20 % 10 % 3560 %
Overall efficiency 85 % 90 % 85 %
Heat to power ratio 3:1 10:1 1:1
Able to vary output No No Yes
Fuel used Gas, biogas, liquid fuels Gas, biogas, butane Hydrocarbon fuel
Noise Loud Fair Quiet
Maturity High Fair Low
Companies Baxi Whispergen Baxi, Bluegen (CFCL)
producing
electricity when there is no thermal demand means heat has to be dumped, this
severely reduces system efficiency and increases cost. In such a scenario centralised
electricity is likely to be more viable both in terms of cost and CO2 emission
savings.
Table 17.1 shows that fuel cells have high electrical efficiencies, even at part loads
which is a particular advantage for domestic applications because of time varying
electrical demands [5]. High electrical efficiency also means fuel cells have a low
H:P if appropriately designed. A low H:P means a fuel cell micro-CHP system can
operate for a greater period of time per year. Even in the summer when the central
heating is off, the fuel cell can produce electricity and the heat output is such that it
can be stored in a hot water cylinder and used for DHW applications. No dumping
of excess heat is required. As a result, a fuel cell system has a greater potential in
reducing CO2 emissions because they increase access and thus the benefits associated
with generating electricity on site (normally met by the grid). Consequently the CO2
emission and cost reductions achievable with a fuel cell system are such that it
may make micro-CHP viable in a greater proportion of households compared to
technologies with higher H:P such as SEs or ICEs. The Carbon Trust predicts annual
CO2 emission reductions are marginal through the use of conventional micro-CHP
technologies (SE, ICE) and only attainable in the domestic sector in large homes with
high heat demands. This is because these technologies have high H:P. However,
newer more efficient builds, whose heat to power demands are beginning to
align around 1:1 could now become suitable candidates for micro-CHP with the
use of fuel cell technology with its low H:P output.
The micro-CHP technologies summarised in Table 17.1 show differing electrical
efficiencies, but similar total system efficiencies. For the same total system effi-
ciency, each kWh of electricity produced represents the opportunity cost of not
producing 1 kWh of heat, but is worth the avoided cost of buying 1 kWh of
electricity from the grid. On average 1 kWh of micro-CHP electricity costs 3.5p
but is worth 12p. 1 kWh micro CHP electricity costs 0.22 kg CO2 but is worth
Space heating
Space Heating
Hot Water
Power
Total Energy
Hot water and Power ratio ~1:1
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
Fig. 17.2 Annual energy load profile [17]
0.568 kg CO2 [6]. This illustrates the basic rationale for micro-CHP in the domestic
built environment, additionally it demonstrates how best to operate the system
i.e. micro-CHP generates economic value and it is always more cost effective to
produce electricity at the opportunity cost of heat. The above also demonstrates the
even greater benefit fuel cells can bring to micro-CHP economics. Because fuel
cells are usually operated in electrical led mode they can create more value than
conventional heat led technologies such as a SE. Additionally, fuel cells with their
higher electrical efficiencies generate more value due to higher electrical produc-
tion per unit input of fuel. Furthermore it is often stated that a disadvantage of
SOFCs is their inability to effectively modulate electrical output, however when
grid connected, it is of greatest benefit to the consumer to operate at maximum
electrical output to produce greatest benefit.
Figure 17.2 shows a typical European homes annual energy load profile. It
indicates a high space heating load in winter and a low load in summer. However,
the DHW to electrical power demand aligns at around 1:1 throughout the year. A
fuel cell with a H:P of around 1:1 is therefore well suited to such an application. The
fuel cell can run continuously throughout the year and thermal constraints would
not interfere in its operation therefore accessing the benefits associated with
generating electricity on site. In this scenario, the fuel cell would be installed in
addition to a boiler which would supply the space heating load. A SE micro-CHP
unit with a H:P of up to 10:1 would, depending on the operating schedule, have to
be shut off from April to Octoberreducing the systems potential benefit. Other-
wise dumping of excess heat would be required which is not a viable option for both
environmental and economic reasons.
Good quality CHP refers to CHP generation that is energy efficient in operation,
meeting the standards set in the EU CHP Cogeneration directive. Three main
parameters constitute good quality CHP; maximum utilisation of heat i.e. no
dumping, high overall system efficiency (greater than 85 %) and a low H:P (less
than 1.5). Conventional micro-CHP technologies such as ICE and SE struggle to
meet all of the parameters set. For example SEs have H:P far larger than 1.5 and as a
result in the summer heat will most likely be dumped. Fuel cells however have high
system efficiencies and low H:P, therefore even in the summer months heat does not
need to be dumped. Additionally, as a result of a low thermal output, heat utilisation
of a fuel cell system will be high. Further demonstrating the great potential and
additional benefits fuel cells are able to deliver when operating in the domestic built
environment as micro-CHP systems.
This section has served to provide an overview of current and future micro-CHP
technologies operating in the domestic built environment. Limitations of current
technologies have been highlighted and the operational advantages of fuel cell
technology have been presented.
17.3 Fuel Cell Technology
Fuel cells are electrochemical devices operating on the principle of electrolytic

charge exchange between two oppositely charged electrodes, similar to a battery.
However, unlike a battery the fuel and oxidant are not integral parts. Fuel cells
combine a fuel (hydrogen) and oxidant (oxygen) to produce water, electricity and
heat. The fuel and oxidant are supplied as needed to provide the required power,
whilst waste products are continuously removed.
Because fuel cells are electrochemical devices they are not governed by the
thermodynamic laws of a heat engine, thus they can achieve much higher opera-
tional electrical efficiencies (i.e. greater than Carnot) compared to traditional
centralised and decentralised electrical generation devices such as gas turbines or
ICE [3]. Figure 17.3 shows a single fuel cell. A single cell is composed of a
negatively charged anode where fuel is supplied and oxidation takes place, an
electrolyte which conducts ions but not electrons, and a positively charged cathode
where the oxidant is supplied and reduction takes place. An external circuit
connects the anode to the cathode to allow electron flow (current). Cells are
connected together in series to form stacks.
A single cell will generally produce around 0.75 V at 2 Amps, thus generating
around 1.5 W of DC power [19]. Cells are connected in series to form stacks. Stacks
are then connected in parallel to complete the fuel cell module. Cell/stack config-
uration is dependent on the voltage and current characteristics required of the fuel
cell application. Hydrogen is the preferred fuel as it produces higher electrochem-
ical performance and reduced cell degradation. Hydrogen fed in at the anode is
stripped of its electrons, creating ions. The ions then pass through a conductive
electrolyte to combine with oxygen at the cathode. Because a cell potential is
generated, the free electrons create a current in the external circuit as they cannot
Individual Fuel Cell
de
Anode
Electrolyte
Catho
Hydrogen Oxygen
H
O
O
H
H H O
H O
O
H H O
H
H O
O O
H H
H
H
H H O
H
Catalyst
Catalyst
H
O H
H2 H2O
Excess Water
Hydrogen
(for reuse) Electric
Power
Fig. 17.3 Fuel cell basic concept [18]
pass through the electrolyte. Specific reactions are highly dependent upon the type
of fuel cell, however the overall reaction is [20]:
H2 O2 ! H2 O
Fuel cells are often categorised by the type of electrolyte. This is determined by
the type and purity of the fuel, oxidant used and the operating temperature. There
are currently six main types of well-developed fuel cell on the market [21]:
Proton Exchange Membrane Fuel Cell (PEMFC).
Alkaline Fuel Cell (AFC).
Direct Methanol Fuel Cell (DMFC).
Phosphoric Acid Fuel Cell (PAFC).
Molten Carbonate Fuel Cell (MCFC).
Solid Oxide Fuel Cell (SOFC).
The first three fuel cells are classified as low temperature fuel cells (80250 C),
whilst the remaining three are medium to high temperature (2501,000 C). The
operating temperature is often a significant factor when determining which type of
fuel cell should be used in a particular application. This is due to a number of factors
including; heat usability, start-up time and ability to vary output. Of the six fuel cell
Table 17.2 Summary of PEMFC and SOFC characteristics [24, 23]

Parameter PEMFC SOFC

Operating 30100 ( C) 5001,000 ( C)
temperature
Electrical 3545 % 4560 %
efficiency
Electrolyte Solid polymeric membrane Solid, stabilised zirconia ceramic matrix
with free oxide ions
Charge carrier H+ ions O ions
Construction Plastic, metal or carbon Ceramic, high temperature metals
Fuels Hydrocarbons or methanol Natural gas or propane
Contaminants CO, sulphur, NH3 Sulphur
Cell Flat plate Tubular, flat plate, planar
configurations
Applications Automotive, stationery Stationery
Companies Baxi CFCL, Ceres
Advantages Quick start up time, can vary out- High temperature enables internal
put quickly, compact, no corrosive reforming, no liquid electrolyte used,
fluid used useful high temperature heat output can
be used in another cycle
Disadvantages Expensive platinum catalysts Long start up time, expensive heat resis-
required, high purity H2 required tant materials needed
variants listed above, the low temperature PEMFC and the high temperature SOFC
demonstrate the greatest promise for early market application, generally attracting
the most attention and investment in building application projects [3, 5, 22]. The
discussions in this paper pertaining to building integrated fuel cells will focus on
these two variants. Currently it is estimated SOFC developments are 5 years behind
PEMFC. PEMFC and SOFC characteristics are summarised in Table 17.2.
Recent advances in low temperature SOFC technology using ceria-carbonate
two or multi-phase nanocomposite has illustrated that high electrochemical perfor-
mance (1.2 W/cm2) can still be achieved at reduced temperatures (500 C). This is a
clear advantage for the domestic sector where high temperature operation results in
technical complexity and consequently cost that inhibits commercialisation. Fur-
thermore these developments mean SOFC stacks can be manufactured for prices
below 400 /kWe compared to 1,000 /kWe for conventional SOFC systems [24].
17.3.1 Fuel Cell Systems
A fuel cell in principle is very simple, requiring few parts (even less moving)
resulting in near silent operation and little maintenance required. In order to operate
a fuel cell system i.e. a load supplied by a fuel cell, many auxiliary devices and
Fig. 17.4 Fuel cell micro-CHP system [2]
interconnects are needed for both the correct operation of the fuel cell and the
delivery of heat and power to the load. Some of these auxiliary devices have a
power demand, thus they are a parasitic load on the system. The electrical efficiency
of the system can be between a fifth and third less than the quoted stack efficiency
due to the parasitic loads. Auxiliary equipment also contributes to increased noise,
vibrations and maintenance. However, without auxiliary equipment the fuel cell
could not operate. A fuel cell micro-CHP system can expect to produce 055 dB,
whereas an ICE is around 95 dB [2]. Figure 17.4 shows a schematic of a fuel cell
micro-CHP system, with the main auxiliary equipment. When operating as a CCHP
system the fuel cell auxiliary equipment will remain the same as the heat output is
simply used in a heat driven cooling cycle.
The following list provides a brief explanation of the fuel cell system compo-
nents in Fig. 17.4. Of course some of these components will differ from system to
system and type of fuel cell used. It needs to be noted that the system description
below is limited to the fuel cell requirements. For the fuel cell system to operate
within a home as a micro-CHP system it is assumed an existing AC electrical ring
main plus grid connection is present as well as a hot water system with boiler,
storage and heat emitters.
17.3.2 Fuel Cell System Description
The components of a complete fuel cell system are described below.

1. Fuel cell stack. The stack is where electrical power is produced. Individual cells
(anode, electrolyte and cathode) are electrically connected together using bipolar
plates to form a stack. Bipolar plates not only provide the electrical connection
but simultaneously supply fuel and oxidant to the cells and removes waste
products [19].
2. Fuel reformer. Due to the lack of availability of pure hydrogen and supporting
infrastructure, hydrocarbon fuels such as natural gas are most commonly used in
the first generation of fuel cell micro-CHP systems. This is a result of natural
gas availability, well developed transport infrastructure (direct to homes) and
current low cost. When using a hydrocarbon fuel stock, fuel reforming is one of
the largest differences between the PEMFC and SOFC systems. Reforming is
required to convert the fuel into hydrogen with a very low level of contaminants.
PEMFCs require a very pure supply of hydrogen therefore a PEMFCs fuel
reformer is a large and complicated system. Natural gas is most commonly
converted to hydrogen in two stages: stage one; steam reforming owing to its
ability to produce much higher concentrations of hydrogen. Stage two; a water-
gas shift reaction converts any CO in the fuel stream in to hydrogen and CO2. As
a result of SOFCs much higher operating temperatures they are able to inter-
nally reform the hydrocarbon fuel, thus reducing the size and cost of the
reformer; a clear advantage compared to PEMFCs. A SOFCs fuel processor
consists of a de-sulphuriser and can include a pre-reformer. Both PEMFCs and
SOFCs are highly sensitive to sulphur poisoning therefore this needs to be
removed in the reforming stage.
3. Inverter and power electronics. This is used to convert the DC electrical output
of the fuel cell stack into AC power. AC electrical power can then in turn serve
the buildings energy loads or be fed back into the grid. For a 1 kWe domestic
fuel cell, the inverter efficiency will be around 8595 %.
4. Water management. This is required for two processes; one, high purity water is
needed for the steam reforming process. Two, water is required for the hydration
of the electrolyte in the PEMFC to ensure effective ion conduction.
5. Heat Management. Heat recovery from the fuel cell is essential in order to
improve: (a) the system efficiency and (b) the environmental performance
i.e. make it a CHP unit. Heat recovery differs slightly between PEMFC and
SOFC systems. In a PEMFC system, heat recovery is achieved through the
circulating cooling liquid that passes through the cooling plates of the
PEMFC. The cooling liquid leaves the stack at around 80 C, a suitable temper-
ature for DHW or space heating. In a SOFC the heat recovery is more complex
and is obtained using the cathode air flow. Excess air and unconsumed fuel
leaving the stack are combusted in an afterburner, producing heat which serves
the pre-reformer and pre-heats the input reactant streams. Excess heat from this
is then available for DHW or space heating applications. In a PEMFC system an
afterburner can also be employed to create a higher heat output.
6. Reactant delivery system. Domestic micro-CHP systems are not pressurised.
Therefore, a blower is required to supply air, which is the main parasitic load on
the system. The mains gas pressure is sufficient to operate the fuel cell.
7. Afterburner. Used to burn unreacted fuel. This is one way to alter the H:P ratio of
the system depending on the load requirement, allowing the fuel cell system to
operate for extended periods. In extreme scenarios the fuel cell stack could be
by-passed, thus operating in boiler only mode.
8. Control system. Ensures the whole system functions in a safe, efficient manner
for long term operation. The system can be designed to different levels of
sophistication, either; fixed output or varying output responding to demands of
the system.
This section has provided an introduction to the fundamentals of fuel cell
technology, presenting and discussing the roles of the components required in a
fuel cell micro-CHP system.
17.4 Fuel Cell Systems in the Domestic Built Environment
This section will provide an overview of fuel cell systems operating in the domestic
built environment. Maintenance, durability, cost, CO2 emission reductions and
commercially available fuel cell products will be discussed. It is envisaged that
the first generation of fuel cells for the domestic built environment will run on
hydrocarbon fuels such as natural gas (methane) or propane. Following this, the
second generation of fuel cells will run on pure hydrogen [3]. There are two reasons
for the first and second generation stages of fuel use. One, the infrastructure to store,
transport and deliver natural gas to individual homes is already present in both the
UK and most developed countries. Two, currently the production of hydrogen is
very expensive and, depending on the production method, can produce more
emissions than that offset by the use of pure hydrogen. Braun, Klein et al. [25]
ran a SOFC micro-CHP in a residential application under five different system
configurations. When the system was fuelled with hydrogen it did not offer any
efficiency advantages over methane. The transition from the first generation (hydro-
carbon fuels) of fuel cells to the second generation (hydrogen) will offer benefits in
terms of CO2 emission reductions and the ability to use a variety of different types
of fuel cell without onsite reformation.
17.4.1 Maintenance
As a result of the lack of moving parts in a fuel cell, regular maintenance work to
the fuel cell module itself is hoped to be less in comparison to conventional micro-
CHP technologies such as with an ICE or SE. However due to the size and
complexity of the auxiliary equipment in a fuel cell system, this is the source of
the majority of maintenance work. For systems using hydrocarbon fuels, the fuel
processor will need to be changed periodically [2]. CFCL predict the SOFC stack in
their BlueGEN unit will need to be changed once every 5 years and the water/air
filters annually [26].
17.4.2 Durability
Lifetime, reliability and durability of fuel cells are currently one of their largest
limiting factors. Fuel cells need to meet both lifetime and stop-start operating
targets in order for them to become viable as micro-CHP generators in the domestic
built environment. These targets are critical if fuel cells are to compete with both
current centralised generation and DG technologies. It is estimated that both
PEMFC and SOFC stacks lose power at a rate of 05 % per 1,000 operating
hours [2]. Currently the industry holds a target of 40,000 h for stationery applica-
tions. This gives around 10 years of operation if the unit is operated at regular
intervals instead of continuously, which is a more likely scenario for the lower
temperature PEMFC. CFCL with their SOFC BlueGEN unit envisage operation
will be continuous due to long start up and shutdown times of SOFC systems, they
have a target lifetime of 15 years, although this includes stack replacement every
5 years [26]. Laboratory tests of both PEMFC and SOFCs have shown the 40,000 h
target is possible, nonetheless limited data is available regarding actual field data,
and even more so for domestic micro-CHP systems.
In 2008 as part of the Ene-Farm Project, Panasonics home use PEMFC dem-
onstrated durability of 40,000 h with 4,000 start-stop cycles [27]. The latest
Panasonic model, launched in April 2011 now has a quoted system lifetime of
50,000 h [28], showing great promise for the stationary market. SOFC systems have
not been tested on such a large scale as PEMFCs. Limited data beyond 10,000
operational hours has been reported in the literature reviewed. The development of
fuel cell technology has now matured to a point where stack technology is at a level
commensurate with operational targets. It is the other relatively untried components
of the fuel cell micro-CHP system that are causing reliability issues and require
developmental work. However with the introduction of more fuel cell micro-CHP
units to the market and increased volume of both field tests and commercial
applications, it is hoped these teething problems will soon be dealt with.
17.4.3 Cost
Currently there is a lack of standard industry prices for micro-CHP fuel cell
systems. However, they can be expected to be higher than those of conventional
CHP systems because of fuel cells comparable immaturity. As time progresses and
the volume of units produced increases, it is hoped the price of these systems will
decrease. For demonstration projects, a quoted price in 2009 ranged from 10,000
to 100,000 for a 1 kWe demonstration unit [2]. Panasonics EneFarm branded
micro-CHP 1 kWe PEMFC had a retail price of 26,500 in 2009, then in 2011 with
the launch of the new model the price decreased to 21,000 [28]. It is predicted by
2015 the price of this unit will decrease further, by 2015 Panasonic believe they can
offer the unit at a price of 3,500 to energy companies [29]. Again, data regarding
SOFC system cost is limited in comparison to PEMFCs. This is due to the SOFC
technologies less substantial commercial development. CFCL are currently charg-
ing 19,950 for their SOFC BlueGEN unit, however once in mass production the
forecasted cost is around 5,000 [26]. Many commercial developers believe the
future of cheaper fuel cell technology lies with SOFC systems. This is because they
do not need to use expensive platinum catalysts like PEMFCs [29].
17.4.4 CO2 Savings Achievable with Fuel Cell Micro-CHP
The likely contribution domestic fuel cell micro-CHP systems will provide regard-
ing CO2 emissions reduction will now be explored. Gas fed micro-CHP poses a
potential challenge in terms of a transition to a low carbon economy [6]. However,
it is an essential component in optimising the resource present today and ensuring
the arrival at a zero carbon economy. As discussed in Section One, there is currently
a limited bank of available data regarding the benefits of fuel cell technologies in
the built environment; this is a result of the still premature level of implementation
of such technology.
The Annex 42 project [13] has carried out extensive performance assessment
studies of both SOFC and PEMFC technologies operating as micro-CHP units in
single (SFH) and multi-family homes (MFH), comparing them to a reference
system. Beaussoleil-Morrison [13] states that results from the Annex 42 assessment
demonstrate that individual buildings employing co-generation fuel cell technology
could reduce non-renewable primary energy (NRPE) demand compared to a con-
ventional gas boiler system and grid electricity. However reductions are highly
dependent upon the grid electricity generation mix i.e. the kg/CO2/kWh. Key
findings from the study showed that when the reference system utilised centralised
electricity generation from a CCGT and an individual home heat pump, the
electrical efficiency of the micro-CHP fuel cell unit had to be greater than 40 %
(operational) in order for it to be competitive both on a cost and CO2 emission level
basis. In order to obtain maximum system efficiency and CO2 emission reduction at
least 8090 % of the homes annual heat demand needs to be met by the fuel cell.
Furthermore, the way in which the micro-CHP fuel cell unit was operated had a
large impact on the benefits gained. When in heat led mode, the system showed the
best energy efficiency. However, when in electrical led mode, it created the greatest
cost savings. In general, base load sizing offered better energy savings than peak
load sizing.
Field trials of PEMFC micro-CHP units in Japanese homes indicate a reduction
of around 12GJ NRPE demand per annum are achievable when switching from
grid electricity and gas heating to a fuel cell micro-CHP system. Simulations by
Hawkes et al. [2] based upon the UK illustrate fuel cell micro-CHP has the potential
to reduce CO2 emissions by 1.5 tonnes per annum for a high demand home, a figure
which is consistent with previous simulations that predict around 1 tonne per annum
are achievable for an average sized family home [30].
E.ON estimate that the BlueGEN system can achieve CO2 emission reductions
of 4.5 tonnes/house/year [6]. Ceres Power, a manufacturer of an intermediate
temperature wall mountable 1 kWe SOFC, anticipate savings of up to 2.5 tonnes
of CO2 per year and 250 in energy bills are attainable for a UK residence when
switching from grid electricity and gas boiler to their fuel cell unit [17]. Clearly the
estimates made by these two firms are much larger than the other literature
presented, and may be based upon a specific case. There is a danger of manufactures
overselling the benefits of micro-CHP fuel cell systems. This needs to be curtailed
until a sufficient bank of real operational data can be acquired in order to accurately
verify the possible benefits.
From the literature presented in this section it is clear that there is no definitive
set of figures concerning the CO2 emission reductions achievable from fuel cell
micro-CHP technology operating in the built environment. However, what is
apparent is that fuel cell micro-CHP devices are currently providing CO2 emission
reductions. The extent of these reductions is highly dependent upon a large range of
factors including; central electricity mix, homes annual demand and efficiency of
the system. Furthermore, it is expected the CO2 savings in the future will only
improve, with the introduction of renewable biogas or hydrogen. In this case micro-
CHP fuel cells could potentially reach 100 % CO2 emission reductions.
17.4.5 Additional Benefits of Fuel Cell Micro-CHP

Operating in the Domestic Built Environment
The introduction of fuel cell micro-CHP to the domestic built environment will not
only deliver benefits such as reductions in CO2 emissions and operating cost, but,
many other valuable contributions. Two of which are discussed below. Firstly, if it
can be justified investing in micro-CHP in its own right (i.e. the benefits are such
that external support is not necessary), then any additional benefits gained from
operating micro-CHP in the domestic built environment have no marginal cost. The
additional benefits of micro-CHP include; avoided centralised generation and
transmission network capacity deployment. This is a clear advantage to a countries
energy system. E.ON state that the fuel cell micro-CHP generator BlueGEN will
provide a value of around 300 a year to the network through peak shaving in high
demand periods, reduced centralised generation capacity and transmission network
capabilities. However, there will need to be some form of regulatory and infra-
structure change to the energy system in order to permit the management of these
additional advantages, allowing the benefits to be shared with the consumer [6].
Secondly, today in the UK the majority of heat is produced from the burning of
fossil fuels. In the document The Future of Heating: A strategic framework for low
carbon heat in the UK [31], the UK government sets out its aspirations to begin the
decarbonisation of the heating sector. In this document electrical heat pumps are
strongly favoured for individual building scale heat decarbonisation. If all 25 mil-
lion UK homes switched to using heat pumps, electrical demand would increase
enormously, and in response to this there would need to be an increase in
centralised electrical generation and transmission capabilities. If UK electrical
generation is not at a stage commensurate with low carbon electrical generation
i.e. renewable, the carbon emissions associated with the heating sector could
actually increase [6]. The UK should therefore resist increasing centralised electri-
cal generation capacity to decarbonise its heating sector and look to alternatives
such as DG. Fuel cell micro-CHP has the potential to mitigate the effects that heat
pumps will have on the electrical generation network by producing low carbon
onsite heat and power, reducing the required central network capacity.
17.4.6 Commercially Available Domestic Fuel Cell

Micro-CHP Units
In terms of commercialisation, fuel cell micro-CHP in the domestic built environ-

ment is still in its infancy. Currently it is estimated that there are around 11,000
small scale stationary fuel cells in operation globally [12]. Around 7,000 of these
are micro-CHP systems of less than 10 kWe, 80 % PEMFC and 20 % SOFC
[2]. The USA is the largest manufacturer of fuel cell micro-CHP units. However,
due to market uncertainty and lack of incentives, most of these are exported to
Japan. As a result, Japan is currently the leader in terms of fuel cell micro-CHP
technology in the domestic sector. As of 2008 over 3300 PEMFC units were under
demonstration in residential buildings in Japan [32] and as of 2012 that figure is
closer to 6,000 [12].
Most commercial suppliers of fuel cell micro-CHP units assume that they are to
be installed alongside a highly efficient condensing boiler. The fuel cell would
provide the electrical power and DHW. The boiler provides the space heating [6]. It
is intended that a domestic fuel cell unit would operate continuously at a fixed
output; this is to reduce degradation to the cells, and in the case of a SOFC prevent
thermal cycling. Furthermore, constant operation will maximise the benefits gained
from onsite electrical generation. Constant operation of the fuel cell micro-CHP
unit means excess electrical generation may be sold back to the grid. In the UK as of
February 2012 micro-CHP qualifies for the Feed in Tariff (FiT) for generators
2 kWe [33]. E.ON suggest that for the BlueGEN unit (2 kWe), producing
13,000 kWh of electricity per year, the net value per annum is 1,845 with the
FiT and 650 without it [6]. This illustrates that fuel cell micro-CHP does provide
almost immediate economic benefits to the operator, with or without external
support. In this paper two manufacturers of fuel cell micro-CHP units designed
Table 17.3 Baxi Innotech Baxi Innotech GAMMA 1.0

GAMMA 1.0 specification
[36] Fuel cell type Low temperature PEMFC (60 C)
Capacity 1 kWe, 1.7 kWth
Fuel Natural gas
Electrical efficiency 32 %
CHP efficiency 85 %
Operating mode >100 start-stop cycle p/a
Dimensions 600 mm 600 mm 1,600 mm
Operating hours 4,0006,000 p/a
for the domestic housing sector will be discussed, one a PEMFC (Baxi) and the
other a SOFC (BlueGEN).
17.4.6.1 Baxi Innotech: GAMMA 1.0 [34]
Since 2002 Baxi has been developing fuel cell micro-CHP units: Beta series (2002
2005), Beta 1.5 (2005), Beta 1.5 PLUS (2008) and GAMMA 1.0 (20102012). In
each development stage Baxi has been trying to achieve the following; cost
reduction, increased operational performance, gain service and maintenance expe-
rience, field trials of increasing numbers of units and regarding GAMMA 1.0 series
prepare it for market application as of 2013. Extensive demonstrations and field
trials of the GAMMA 1.0 have been carried out in Germany as part of the Callux
project. The Callux project is the largest national field test of fuel cell heating
appliances for homes [35]. The units specification is given in Table 17.3 and a
picture in Fig. 17.5.
The GAMMA 1.0 series consists of three parts; fuel cell, heat storage unit and
energy manager. These components can be adjusted accordingly to best suit load
requirements and generate the optimum savings. Due to the heat storage unit and
integrated auxiliary water heater, the heat energy can be utilised as and when
required. The Baxi GAMMA 1.0 utilises a low temperature (60 C) PEMFC;
making the hot water output ideal for DHW applications. Baxi state that the fuel
cell micro-CHP unit will provide 100 % of the heating demand of a SFH, produce
5,0006,000 kWh of electricity per annum, covering 73 % of the annual electrical
load. Looking forward, Baxi have produced a development road map of where they
believe the GAMMA series technology will progress. By 2013/2014 it is planned
the DELTA will be introduced with electrical efficiency of 35 %, CHP efficiency of
>90 % and a durability of 60,000 h [34].
17.4.6.2 Ceramic Fuel Cells: BlueGEN [26]
The BlueGEN unit produced by CFCL is a fully functioning SOFC micro-CHP unit
that can be connected to a homes natural gas supply to provide heat and power
Fig. 17.5 The Baxi Innotech GAMMA 1.0 [34]
directly to the user. Currently it has the highest electrical efficiency of any fuel cell
system on the market. Consequently the unit has a low heat output. As a result the
unit can operate for longer periods throughout the year, thus increasing the benefit
of adopting micro-CHP [26]. It is estimated that the unit will run continuously,
producing around 13,000 kWh of electricity per annum and 200 l of DHW; space
heating will need to be addressed by an alternative device. CFCL are currently
developing another fuel cell unit that will cover all power and thermal loads
[37]. Table 17.4 details the system performance, whilst Fig. 17.6 shows a picture
of the unit.
From extensive field trials in homes in Australia, CFCL estimate they can
produce a kWh of electricity for around 7 pence (includes the value of heat and
carbon credits). Although this is based upon an Australian study, it does highlight
that these units are not only feasible environmentally, but also economically. CFCL
currently quote a cost of 19,950 for their unit, however once in mass production it
is forecasted to cost around 5,000, with a payback period of 7 years and a useable
life of 15. However, the unit is still not at a level of commercialisation to allow it to
be bought off the shelf by an individual, but is normally sold en mass to larger
organisations such as E.ON. With regards to CO2 emissions, CFCL state the
BlueGEN unit can reduce a homes emissions by up to 75 %. CFCL and E.ON
have now formed a partnership as part of the European Union Fuel Cell and
Hydrogen Joint Undertakings Joint Technology Initiative (JTI) fuel cell demon-
stration programme. The JTI project partners consist of E.ON, CFCL, Ideal Boilers
Limited and HOMA Software BV of The Netherlands [37]. CFCL and E.ON have
made this joint agreement with the aim to demonstrate domestic fuel cells in the
UK. E.ON has placed an order for 45 BlueGEN units as part of a demonstration
Table 17.4 BlueGEN CFCL BlueGEN

performance [26]
Fuel cell type SOFC
Capacity Up to 2 kWe, 1 kWth
Fuel Natural gas
Electrical efficiency 60 % at 1.5 kWe
CHP efficiency 85 %
Power modulation 0100 %
Operating hours Constant
Start-up time 25 h
Noise level <45 dBa
Fig. 17.6 BlueGEN by CFCL [26]
period. After the demonstration period E.ON would, subject to a minimum order of
100,000 units, become the sole UK supplier of CFCL products. The joint partner-
ship with HOMA Software BV is part of the development of a virtual grid. The
proposal is to conglomerate many homes fuel cell micro-CHP capacity and
remotely manage generation in response to utility scale power demands. With
enough combined units, the generation capacity could be equal to several
centralised power plants. However, electrical and system efficiencies would be
much higher [6]. The BlueGEN unit is currently the only fuel cell product on the
market to be certified under the Micro-generation Certification Scheme in the UK,
making it eligible for the micro-CHP FiT. Under this tariff, 10.5p/kWh of electric-
ity produced is paid to the homeowner, with a further 3.1p/kWh paid for surplus
electricity exported [38].
17.4.7 Fuel Cell Micro-CHP Demonstration Projects
Real world demonstrations of fuel cell systems are essential in the development of
efficient, effective and usable systems. Two fuel cell micro-CHP projects are now
discussed, one based upon PEMFC technology and the other SOFC.
EneFarm is a fuel cell research, development and demonstration project based in
Japan, and is the largest of its kind anywhere in the world. The project started in the
1990s and involves many companies including Panasonic, Tokyo Gas Co., Ltd and
Kyocera. The research and development stage began with the production of a
1 kWe PEMFC micro-CHP system that runs on natural gas. Demonstration has
been carried out in three stages. Stage 1; small scale demonstration where 50 units
were installed into homes between 2003 and 2005. Stage 2; large scale demonstra-
tion of 3000 PEMFC micro-CHP units ran until 2009. Stage 3; commercialisation
phase ran from 2009 onwards and it is hoped as of 2012 there will be more than
20,000 units installed with the aid of Japanese government grants [11]. EneFarm
users also benefit from a discounted gas price, further incentifying the use of the
units [39].
The EneFarm project has facilitated the continual improvement of the fuel cell
system and housing integration. As a result the efficiency, cost and size of the units
produced have continued to improve. The fuel cell system developed can be
operated both grid connected or disconnected. The PEMFC system is designed
(due to its operational characteristics) not to run continuously. It is on during the
day when demand is high and hot water can be stored. The system is then turned off
at night when demand is low. However there is now a newly introduced SOFC
system from Kyocera, which has a continuous operating programme, this is to avoid
damage due to temperature variations. The introduction of a SOFC to the
programme has been spearheaded due to its promise of lower capital cost
[29]. EneFarm expected sales are predicted to continue, in 2012 alone it is hoped
20,000 units will be sold, with a sales target of 50,000 by 2015 and 2.5 million by
2030 [39]. With such large volumes of sales it can be anticipated that the cost of
these systems will continue to decrease, hopefully permitting the widespread
uptake of fuel cell technology in the domestic built environment, not only in
Japan but across the world. This widespread use would allow fuel cells to deliver
operational advantages of higher electrical efficiencies, lower emissions and silent
operation.
Highlights for the EneFarm project include; the very first fuel cell micro-CHP
system in the world supplied to the Japanese Prime Ministers residence in April
2005 and the worlds first general launch of household fuel cell micro-CHP systems
in May 2009. It can be concluded that the EneFarm project has facilitated the wider
use of fuel cell technology in the built environment with many valuable lessons
learnt. The project should form a suitable platform on which to base future fuel cell
development programmes on.
Until now the EneFarm project has solely focussed on PEMFC demonstrations.
SOFC demonstration projects are still around 5 years behind those of PEMFC
[2]. However, successful projects have been completed. In terms of SOFC devel-
opment CFCLs BlueGEN unit is one of the market front runners. In Australia
CFCL in conjunction with Ausgrid have been trialling their BlueGEN unit in a
smart home in Sydney. At the 12 month benchmark, promising operational results
show a run time of 8,700 h with an availability of 91 %. The system has been
operating at an average electrical efficiency of 56 %, exporting 10,700 kWh of
electricity and resulting in 7.8 tonnes of carbon savings [40]. BlueGEN has also
been trialled in Germany in a low carbon office building which also incorporates
PV, wind turbine and solar thermal technologies. The demonstration project aims to
understand how BlueGEN interacts with other DG in a single development. Crucial
lessons learnt at the 16 month mark include; constant operation yields better
performance, at a 2 kWe output the system generated 17,500 kWh per annum.
Additionally, optimisation of generators is required in multi-source installations for
best performance [40]. Currently there are 84 BlueGEN demonstration systems
installed in nine countries. Such installations are providing valuable results, not just
for BlueGEN, but the use of SOFCs as micro-CHP systems in the domestic built
environment.
17.5 Conclusions
This paper has served to provide a state-of-the-art review of fuel cell technologies
operating in the domestic built environment. The paper has addressed three funda-
mental areas: micro-CHP in the built environment, fuel cell technology and fuel cell
systems in the domestic built environment. Throughout, up to date specific exam-
ples have been used to highlight the central role fuel cell micro-CHP could have in
the domestic built environment in reducing operational cost and assisting in the
decarbonisation of the sector.
Fuel cells have high electrical efficiencies, resulting in a lower H:P compared to
conventional micro-CHP technologies. A low H:P means the fuel cell can be
operational for greater periods of time throughout the year, therefore increasing
the benefit to the user due to greater onsite electrical generation. Currently there are
many different estimates regarding the extent of carbon savings delivered by fuel
cells operating in the built environment. Discrepancies between estimates can be
attributed to the fact that all projects are different with varying requirements and
user demands. What can be concluded from the literature reviewed is significant
carbon savings are achievable but not constant. Furthermore, there is not currently a
large enough wealth of operational data with regards to the carbon savings achiev-
able with fuel cells. The EneFarm project has however provided in-valuable results
with respect to fuel cells operating in the built environment, and with sales of
20,000 units expected in 2012 alone is the largest project of its kind. Additionally,
with the development and imminent deployment of commercially available fuel
cell units such as the GAMMA 1.0 and BlueGEN, it is hoped more operational data
will be made available, thus solidifying the carbon benefits fuel cells can deliver.
This paper has also highlighted the operational advantages fuel cells offer
compared to conventional micro-CHP technologies, such as; higher electrical
efficiencies, reduced noise and vibrations during operation and flexibility of fuel
use. With regards to the type of fuel cells being used, the low temperature PEMFC
and the intermediate to high temperature SOFC currently show the greatest prom-
ise, with most building integrated projects focussing on these two technological
variants. The PEMFC offers quick start up time, power modulation and useful
direct hot water output, whilst the SOFC provides high electrical efficiency, ability
to internally reform hydrocarbon fuels and a high temperature heat output which
can be utilised in another cycle. Two of the major market players outside of Japan in
fuel cell development for the domestic housing market have been introduced, Baxi
and CFCL, with their respective PEMFC and SOFC products.
If the UK and other countries are serious about their aspirations of a low carbon
future, the built environment and the domestic sector in particular will play a vital
role. In order to create a real transformation, both operational and technological
changes need to occur. Decentralised energy generation from fuel cells in the
domestic built environment will lead to increased energy security, reduced opera-
tional cost for the user and lower total CO2 emissions. All essential objectives for
the future built environment. Nations can no longer rely on technologies of the past
to help arrive at the destination of a low carbon sustainable society.
Fuel cells are a technology of the future, providing a change in the way heat and
power are supplied to end users. Fuel cells could finally provide the means by which
energy generation can transfer from centralised to decentralised locales.
17.5.1 Future Work and Development
This section will identify three specific opportunities for future research and
development work in the use of fuel cells, and specifically how to maximise the
benefits of fuel cells operating in the domestic built environment. Firstly, hydrogen
energy systems (electrolyser, fuel cell and hydrogen store) could be used as an
energy storage option in autonomous renewable energy settings, such as remote
communities [41]. There are little or no standing losses in compressed hydrogen
storage tanks, therefore it can be considered a form of long term inter-seasonal
energy storage [42]. Secondly, continued technological improvements to fuel cells
have facilitated an increased interest in CCHP systems [43]. CCHP fuel cell
systems mean higher levels of overall efficiencies are achievable due to a greater
utilisation of waste heat. Finally, the use of long term (inter-seasonal) thermal
energy storage means that the fuel cell can operate for a greater period of time
per year without having to dump heat. Minimising heat dumping means higher
system efficiency, lower emissions and operating costs are achievable [44].
Nomenclature
Acronym
AC Alternating current
AFC Alkaline fuel cell
CCGT Combined cycle gas turbine
CCHP Combined cooling heat and power
CFCL Ceramic Fuel Cells Ltd.
CHP Combined heat and power
CO Carbon monoxide
CO2 Carbon dioxide
DC Direct current
DG Decentralised generator
DHW Domestic hot water
DMFC Direct methanol fuel cell
EU European Union
GHG Greenhouse gases
H:P Heat to power
ICE Internal combustion engine
MFH Multi-family home
MCFC Molten carbonate fuel cell
NRPE Non-renewable primary energy
PEMFC Proton exchange membrane fuel cell
PAFC Phosphoric acid fuel cell
SE Stirling engine
SFH Single family home
SOFC Sold oxide fuel cell
UK United Kingdom
USA United States of America
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Chapter 18
Green Lab: A Strategic Design Framework
to Develop Sustainable Research
Laboratories
Rosalba Belibani, Elena Gigliarelli, and Jody Patterson
Abstract The aim of this paper is to present a system of design strategies, useful to
technical institutes and universities, that endeavor to create more environmentally
and socially sustainable laboratory spaces.
The Green Lab model is designed to promote sustainable education throughout
the complete life cycle of smart buildings. This requires a critical departure from
traditional practices, starting at the formative stage, as defined by Edward Mazrias
2010 Imperative and 2030 Challenge (http://architecture2030.org/): first the change
required in education, making ecological literacy a central tenet; then the change
enabled in design, required to reduce CO2 emissions by building activity by 50 %.
Green Lab assumes an alternative approach to design education, to deliver different
resultsrendering the education process itself innovative, interactive and sustain-
able, and demanding smart buildings with the same characteristics.
The Green Lab methodology has been developed through teaching and research
experience, providing a forum to apply and test design principles and innovative
construction technologies as well as an occasion to propose a shift in cultural
paradigm, so that university and research institutions themselves become proto-
types in the field of sustainable building and energy technologies. The building
project must constitute an innovation epicenter for the study of sustainable tech-
nologies, representing in itself a testing ground for advanced solutions in progress
which are continually integrated, evaluated and replaced.
The result of this sustainable education model is the design of an architectural
organism conceived according to bioclimatic strategies for minimal environmental
impact, using recycled materials and meeting the highest standards of energy
R. Belibani Ph.D. (*)

Sapienza Universita` di Roma, Roma, Italy
E. Gigliarelli
ITABC, CNR National Research Institute, Bologna, Italy
J. Patterson
University of Waterloo, Waterloo, ON, Canada N2L 3G1

274 R. Belibani et al.
efficiencya Green Lab capable of sustaining itself, generating energy from

renewable sources via its form, surfaces and volumes. The knowledge base of the
design laboratory is in constant expansion, requiring active research contributions
(via dedicated website DiarAmbiente) from all participants: students, professors,
architects, engineers, and national researchers collaborate directly to maintain a
highly dynamic multilateral learning environment, keeping the moving target of
sustainable design in focus. Its outcomes are high-level design projects, demon-
strating increased consciousness and commitment to sustainable building.
Keywords Sustainable education Design studio Research project Green Lab

Adaptive reuse
18.1 Background
The initiative to start a research project within a design studio contextfounded

upon the themes, methodology, content and goals of sustainability education
came after a long process of enhancing ecological literacy in collaboration with
Anna Gadola and Franca Bossalino, and expressed in the research published on the
website DiarAmbiente [1].
In May 2005, American architect Edward Mazria challenged the international
building community to take the lead in combating climate change. In June 2005,
sixteen of the most important institutions worldwide in the field of architectural
education signed the Declaration of Las Vegas, recognizing the great responsibil-
ity that rests on the architectural profession to do everything possible to influence a
significant reduction carbon emissions resulting from construction and the life cycle
of the built environment.
In 2006, Mazria launched Imperative 2010 onlineregarding the change
required in education, whereby ecological literacy must become a central tenet of
design educationalong with the 2030 Challenge [2], to change building design in
order to achieve a 50 % reduction in the level of CO2 emissions produced by the
building industry. The DiarAmbiente site was born thus, with the conviction that we
can develop all of our theories into practical application within the Design Studios
of the Architectural and Urban Design program, held for 2 years, within the 5-year
degree course in Architecture of the EU at the Faculty of Architecture at Sapienza
University of Rome.
18.2 Problem
It was decided to target the entire design studio experienceboth teaching and
learningin order to integrate and develop the complex aspects of sustainability.
The most difficult challenge to approach was to conceive a teaching methodology
18 Green Lab: A Strategic Design Framework to Develop Sustainable Research. . . 275
that could be called sustainable within the context of the teaching tradition,
coexisting with the difficulties inherent to the teaching discipline. The design
exercises to be assigned to students were more easily identified and treated in an
articulated manner:
Ecological literacy education as a central principle in ecological design pro-
ject, aiming to reduce CO2 emissions by 50 %.
Deepening of technological and engineering aspects within an architectural
language where form follows not function, but the evolution of the project.
Analysis of the relationships between the project and its locality.
Technical analysis of the composition process, highlighting the complexity of
the design process wherein practical skills and theory must feed each other.
Attention to all aspects of the environmental sustainability of the project which
inform the architectural solution.
The final design project assigned was a scientific research laboratory facility,
characterized as an artificial lung, with a contemporary and technologically
advanced architectural structure, to be achieved on the site of the National Research
Council of Rome (CNR) in the municipality of Montelibretti: a scientific campus of
70 ha, including 15 institutes and over 500 employees.
To ensure realistic adherence to the aims of the project, the teaching staff was
enhanced with the participation of Arch. Luciano Cessari and Arch. Elena
Gigliarelli, both of CNR-ITABC, and Jody A. Patterson, Visiting Professor at the
Faculty of Architecture, as well as other staff with experience in teaching design,
sustainability and sustainability assessment via LEED and ITACA protocols.
The assignment was to design an architectural organism, incorporating recycla-
ble materials and the latest solutions for reducing energy use and implementing
energy from renewable sources, characterized as a green laboratory: a Green Lab
with low environmental impact, which can sustain itself from an energy standpoint.
The building must be a center for the study of innovative technologies in sustain-
ability, applied to the understanding, conservation and renovation of our built
heritage, representing in itself a prototype in progress for technologically
advanced solutions, to be continuously integrated or replaced.
18.3 Context
Redeveloping an area of the National Research Council site was, therefore, the
issue addressed in the Design Studio, for which students were encouraged to
experiment with the design of new models of buildings for researchers and scien-
tists, utilizing the latest solutions for energy saving and use of energy from
renewable sources.
Teaching goals were established to elaborate a joint project, accomplished
through a complex systems approach, to create new workspaces for scholars and
researchers while at the same time leading to the improvement and enhancement
on an environmental, landscape and architecture basisof this important Italian

Science and Technology Park. The aim of this design project is to improve the
quality of research and sustainability of the entire complex, via a systematic and
coherent set of interventions on existing buildings, open and green spaces, but also
to develop a model for science parks (CNR research area of Rome) that encourages
cooperation between public research universities, public and private industry.
Research laboratories so designed can encourage interaction between scientists
from various disciplines, promote the recruitment of top researchers and facilitate
the association and development of scientific activities. The challenge in designing
a laboratory for scientific research contained in a contemporary and technologically
advanced architectural organism, involved the creation of a self-sustaining
low-impact Green Lab.
18.4 Approach
The design studio, which aims to provide students with the theoretical knowledge
and practical skills necessary for project development, is traditionally organized
into lectures, exercises and design activities in the classroom. Usually, the student is
a passive subject during lessons and intervenes only during reviews, showing the
progress of their project. To transform, therefore, the design studio into an educa-
tional experimentas sustainable as possiblewe attempted to shift the student
into an active role, taking a share in the teaching work from which the student is
traditionally excluded. Sustainable design issues approached during the course
were developed through the following activities:
Three interim hand-ins of maquettes at different scales.
Various tutorials on complex topics agreed with or chosen by the student.
Presentation of systems for assessing the sustainability of a project, both specific
to Italy (ITACA) and international (LEED), applied as an analysis exercise to
projects chosen by the student.
Ongoing reviews to check the progress of individual projects and permit a more
personal relationship between teacher and student.
Students were also required to keep a studio album in which to collect notes,
drawings, thoughts, ideas, sketches, impressions, images, references to other pro-
jects or specific theoretical references.
Two introductory lectures were delivered by Professor Franca Bossalino, long
engaged in a campaign to improve the ecological literacy of architecture students.
Within the Architectural and Urban Design IV studio, which served as a testing
ground for this new approach to sustainability as applied to didactic activity and
content, there are two Training Modules (approximately 30 h each) of Systems
and Technologies, which, in applying a structured model for sustainable educa-
tion, offered substantial contributions to the development of an integrated design
project.
The architectural project was developed during three intense months, taking a
holistic approach and applying bioclimatic design processes governed by effective
elements and best-practice solutions for sustainable design (buffer zones, curtain
walls, green roofs, green walls, use of geothermal energy, appropriate use of
integrated solar panels, etc.) The course website also provided a means to share
the extensive and detailed bibliography and an notable collection of web-links with
important information for project development.
18.5 Methodology
Studio teaching was approached as an experiment to define a design methodology

around innovative and sustainable laboratories, to be implemented at a Science
Park operated by Italys most significant research agency. Choosing the CNR Rome
site for the Studio intervention gives strict boundaries to the development of the
theme, based in thorough analysis of the context and the scale of the intervention
area. An environment of 70 acres at high landscape value, veined with a network of
laboratories and scientific institutions developed in various phases over 40 years,
posed the problem of supporting critical functionality of these headquarters while
enhancing the area as a green and attractive place for research excellence: seeking
an architectural intervention that can begin a process of regeneration of the entire
campus.
The theme of the redevelopment of the site thereby intersected with a teaching
methodology aiming to develop sustainable solutions and models for a new type of
research laboratory, a social incubator that encourages interaction and team-
based research, while providing the flexibility to allow ongoing evolution and
change (Fig. 18.1).
Departing from the classical approach of functional laboratory, the research site
was no longer seen as a machine for the development of techno-scientific processes
but as a place of intellectual work and open and flexible experiments, connected to
social and scientific networks and populated by nomadic workers, operating
within a crowd sourcing framework that foresees the collaboration of many
researchers who via these networks will accomplish a particular joball of this
with obvious reflections on building design and architectural solutions.
It was therefore requested that the proposed project express levels of in-depth
research and design on the following topics:
1. A Green Lab, called LARIS Laboratory for Interactive Research on
Sustainability.
2. A Science Center.
3. The archaeological museum display area of Colle del Forno.
Fig. 18.1 Master plans
18.5.1 LARIS Green Lab
The LARIS Green Lab was thought of as a living laboratory in which researchers
and partners in conservation can carry out research and evaluation on current and
future systems and technologies at a high degree of performance and sustainability.
In this sense LARIS will be used as a platform to test and demonstrate the technical
performance and usability features of their technologies and systems. Product
evaluation (via technical analysis and compatibility testing) performed by an
independent public research entity can reduce the public burden of product devel-
opment and create early market demand. Advanced visualization systems and
simulation technologies will be used to involve all those involved in conservation
efforts for built heritage (architects, restorers, superintendents, manufacturers of
environmentally sustainable materials, etc.) (Fig. 18.1).
18.5.2 Science Center
The architectural organism assigned also had to include a Science Center, able to
promote the dissemination of scientific research findings and discoveries in the very
facility and in the field of sustainability, as well as those developed in other
institutions in the area. This Thematic Center was to open to the public the
contents of discoveries and innovations in this field, proposing itself as a platform
for communication and exchange between the institute and the scientific commu-
nity. To satisfy these needs, a room for multimedia exhibit was also requested for
the display and dissemination of scientific culture: a place to perform interactive
simulations of the performance and use of the building and explore alternative
scenarios with sustainable strategies. This should include: a multimedia theater
featuring advanced visualization (high-quality, high-scale screens to exhibit
graphics and audio) and technologies of interaction with the public; reconfigurable
Fig. 18.2 Archaeological context
screens to maximize flexibility and allow experimentation with this same equip-
ment; fixed seats with LCD touch screen panels wired for interactive participation
and interconnected to a large screen display.
18.5.3 Colle del Forno Archaeological Area
The architectural design was also to include a hypothesis for the linking and
integration of the new complex with the archaeological area called Colle del
Forno, located on the crest of a hill that dominates the area, represented by a
pre-Roman necropolis and currently inaccessible to the public. To relate the
building organism with the necropolis, an open-air museum display area was called
into play to provide a system of trails and facilities for visiting and reading in
experimental ways (Fig. 18.2).
Laboratories constitute a unique challenge for sustainable design because of
their intense energy use, stringent health and safety requirements, and complex
environmental systems. Because of this, growing public awareness of sustainable
design and construction has not gone unnoticed by the scientific community. The
U.S. Green Building Council (USGBC), the Leadership in Energy and Environ-
mental Design (LEED) program and the EPA/DOEs Labs21 were considered as
guides and organizational tools supporting the sustainable design process for this
specific area. From a spatial point of view the building must achieve an appropriate
balance between open and closed type laboratories, developed on one or more
levels, integrating with other agencies and with the surrounding topography, struc-
tured and populated with existing and new vegetation. The results of this Design
Studio have shown a panorama of architectural solutions in which these scientific
buildings were linked to issues of environmental sustainability and energy savings.
18.5.4 Program Requirements
Student projects must include the following components:

Structured spaces for technology labs.
Flexible wireless space for researchers.

Multimedia center for technology simulations, design and science exhibits.
Space for meetings and conferences.
Offices for management of activities.
Common areas.
Toilets, a kitchen etc.
18.5.5 Project Requirements
Students were required to design a building defined by function rather than style,
that can either be characterized as a strong architectural landmarkdistinctive of
the CNR campusor as a compositionally light structure, morphologically and
most of all ecologically. Technologically, the building must be designed as a living
organism, able to generate energy via its own form, mass and volumes, utilizing
primarily passive design strategies and systems. High level sustainability can
include advanced water recycling systems and natural ventilation, favoring daylit
interiors (Fig. 18.3).
18.6 Results
The results achieved by the final projects submitted were all of good quality, with a
notable percentage of high quality, convincing the faculty to proceed with this
teaching method. With regard to the project requirements in terms of sustainability
and energy conservation, it is necessary to state that students have shown them-
selves highly receptive and capable to acquire a new design language, inspired by
the themes proposed by the innovative use of bioclimatic strategies and skilful
application of materials and vegetation. Even the interiors, which required some
degree of design has been developed to the satisfaction of the choices made by the
student.
18.7 Conclusions
This research shows its originality not only in the approach to teaching sustainabil-
ity issues, but, of course, in the strategic content of the Green Lab projects
themselves and especially in the teaching methodology used, unequivocally con-
firmed by the value of its results. All areas of the research support the potential for
future development and areas of application.
Fig. 18.3 Sample of student work
References
1. http://www.diarambiente.it
2. http://architecture2030.org/
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MOBILE-SCHOOL: La Scuola Costruisce la Scuola
Chapter 19
Integrated System Concept for Energy
Efficient Smart Buildings and Cities
Abstract The quality of life in Europes cities states that although quality of life
has improved in many areas, in other areas such as environmental issues and energy
efficiency have deteriorated. In such places, people, companies and public author-
ities experience specific needs and demands regarding domains such as energy
efficiency, environment and transportation services. These domains are increas-
ingly enabled and facilitated by web-based applications, service oriented architec-
tures, ubiquitous sensing infrastructure, advanced information management
applications such as data warehousing and data mining technologies which generate
actionable information for intelligent and predictive control for further optimised
smart buildings and cities.
The engineering and deployment of off-the-grid energy production systems for
buildings addressing the renewable energy technologies (e.g. wind, solar, geother-
mal) and integration of these systems to the city level grid applications with the
ICT-based sub-systems becomes a necessity.
This paper addresses an integrated building concept that operates on energy-
efficient basis while capturing retrofit opportunities that scale from a single building
to multiple buildings at cities level. The proposed concept is developed based on
two research areas; (1) Building energy supply-side (microgrid) management and
(2) Building energy demand-side management complementing with the integrated
energy production from renewable energy sources, building energy diagnostics and
predictive control, ubiquitous wireless sensing technologies, and microgrid power
electronics and power control to exploit the potential for reduction of building
energy consumption, thus addressing the deficit of insufficient tool support.
The research findings will be demonstrated in an appropriately selected building
in Hannover, Germany with EOS Sustainable Energy Solutions GmbH. This will be
achieved by integrating different energy generation systems addressing the renew-
able energy technologies coupled with energy storage systems and building energy
management systems comprising scalable and robust sensing network platforms,
energy performance monitoring and data warehouse technologies.
H.U. Gokce (*) K.U. Gokce

Department of Civil and Environmental Engineering, Faculty of Engineering,
University of Alberta, Edmonton, AB, Canada T6G 2R3

286 H.U. Gokce and K.U. Gokce
Keywords Renewable energy Energy efficiency Smart buildings Artificial

intelligence
19.1 Introduction
Cities all over the world exhibit complex dynamics. As cities grow, planners devise
complex systems to deal with food supplies on an international scale, water
supplies over long distances and local waste disposal, urban traffic management
systems and so on; (. . .) and the quality of all such urban inputs defines the quality
of life of urban dwellers [1].
Notwithstanding the enormous formidable challenges and disadvantages asso-
ciated with urban agglomerations, the world population has been steadily concen-
trating in cities.
In addition, there is a substantial increase in the average size of urban areas. This
has been made possible by a simultaneous upward shift in the urban technological
frontier, so that a city could accommodate more inhabitants. Problems associated
with urban agglomerations have usually been solved by means of creativity, human
capital, cooperation among relevant stakeholders, and bright scientific ideas: in a
nutshell, smart solutions. The label smart city should therefore point to clever
solutions allowing modern cities to thrive, through quantitative and qualitative
improvement in productivity and efficiency.
The concept of smart cities has different meanings. A useful definition is to call a
city smart when investments in human and social capital and traditional (trans-
portation) and modern (ICT-based) infrastructure fuel sustainable economic growth
and a high quality of life, with a wise management of natural resources, through
participatory government [2]. Other definitions identify significant characteristics
such as energy efficiency, environmental issues, productive economy, and define
rankings based on measurable underlying indicators. Smart cities can be also
understood as places generating a particular form of spatial intelligence and inno-
vation, based on sensors, embedded devices, large data sets, and real-time infor-
mation processing and response.
A recent and interesting project conducted by the Centre of Regional Science at
the Vienna University of Technology identifies six main axes (dimensions) along
which a ranking of 70 European middle size cities can be made [3]. These axes are:
a smart economy; smart mobility; a smart environment; smart people; smart living;
and, finally, smart governance. These six axes connect with traditional regional and
neoclassical theories of urban growth and development. In particular, the axes are
basedrespectivelyon theories of regional competitiveness, transport and ICT
economics, natural resources, human and social capital, quality of life, and partic-
ipation of societies in cities.
A report of the European Environmental Agency [4] concerning quality of life in
Europes cities states that although quality of life has improved in many areas, in
other areas such as health, environmental issues and energy efficiency have
19 Integrated System Concept for Energy Efficient Smart Buildings and Cities 287
deteriorated. In such places, people, companies and public authorities experience

specific needs and demands regarding domains such as healthcare, energy effi-
ciency and the environment, as well as safety and public services. These domains
are increasingly enabled and facilitated by web-based applications, service oriented
architectures, ubiquitous sensing infrastructure, advanced information management
applications such as data warehousing and data mining technologies which generate
actionable information for intelligent and predictive control for further optimised
smart cities.
On the basis of on-going research in the area of energy efficiency and legislative
drivers launched by the national and international organizations, the role of inte-
gration concepts, performance monitoring and analysis methodologies and sophis-
ticated control strategies through the seamless integration of people, ICT devices
and computational resources gain significant importance for reducing the energy
consumption and the operational costs for buildings as well as cities. According to
European standard EN 15232 Energy Performance of Buildings-Impact of Build-
ing Automation building operation systems can, depending on building type and
equipment standard, produce the following potential savings of energy: restaurants
31 %, hotels 25 %, offices 39 %, shopping centers 49 %, hospitals 18 %, schools/
universities 34 % and residential 27 % [5, 6]. This is a major contribution to the
Kyoto-Protocol-Process in which the EU outlined the objective to reduce energy
consumption by 20 % by 2020. Also, it is often faster and less costly to integrate
building energy systems than it is to insulate building shells. At the moment
sophisticated building energy management systems are available for facilities
management. Most of the larger non-residential buildings younger than 30 years
are already equipped with wired building automation systems in Europe. However,
their focus on energy performance rating of buildings is at best sporadic often
consisting of an ad hoc combination of off-the-shelf building management systems
(BMS). This ad hoc combination presents many difficulties for building owners in
relation to the management and upgrade of these systems, as the BMS can consist of
a number of components utilizing various information exchange protocols that have
to be integrated within the monitoring and targeting (M&T) software packages. The
optimization of these systems for energy management adds another layer of com-
plexity to the design and management procedures [7]. It requires analyzing the
system, developing new interfaces, replacing devices, and optimizing parameters.
Furthermore the engineering and deployment of efficient energy production sys-
tems for buildings addressing the renewable energy technologies, phase change
materials, energy harvesting facades and integration of these systems with the
ICT-based sub-systems becomes a necessity. Integrated IT tool support for these
activities does not exist; available tools are stand-alone products, often tied to
specific standards, and focus on development from scratch. There is not a procedure
defined which describe information exchange between different domains for dif-
ferent energy generation and management systems. This lack of appropriate
descriptions and tools currently outweighs the benefit of software interoperability.
As this technology gap spans for all application domains, it will likely hamper
further adoption of IT solutions. In this regard, the prospective consequence of the
building behaviour and the needs of the building occupant/operator which would
manage energy production/consumption efficiently would not be predictable with a
single combined information, communication, hardware and tool platform. A
promising approach, to overcome these shortcomings, is the implementation of a
holistic, modular infrastructure for building energy supply and demand sides.
19.2 Approach
The agenda in this research is build on the need of integration structures, holistic
monitoring and analysis methodologies, life-cycle oriented management and deci-
sion support of both facilities and service teams with considering two key research
areas; (1) Building energy supply-side (microgrid) management which addresses
the energy management systems capable of optimal integration and control of
energy production addressing renewable energy technologies such as photovol-
taic/hot water solar panels, geothermal heat pumps, small scale wind turbines,
biomass and the communication and intelligence required to work cooperatively
with local authorities/grid operators and (2) Building energy demand-side manage-
ment which comprises a scalable, robust wireless sensing/actuation network plat-
form that computation and actuation to collect build-use data through advance data
monitoring and data mining technologies which lead to develop optimal control
algorithms that adjust Lighting, Heating, Ventilation, Cooling set points as well as
controlling of appliances to adapt to occupancy, weather loads and their predic-
tions, minimizing total energy consumption and balancing peak demand while
maintaining the indoor environment within user preferred comfort parameters.
The proposed concept depicted in Fig. 19.1 above consists of three parts:
(1) Building Energy Supply (BES) side. This consists of conventional energy
supply from the grid and Off-the-Grid energy generation systems such as photo-
voltaic/hot water solar panels, geothermal heat pumps, small scale wind turbines,
biomass and storage technologies maintains optimal integration and control of off-
the-grid energy generation systems for building energy supply side, (2) Building
Energy Demand (BED) side which consists of HVAC systems, lighting systems and
appliances, (3) Multi Dimensional Energy Monitoring, Analysis and Optimisation
System consisting of wireless sensors/meters/actuators, multi dimensional infor-
mation management platform, intelligent control module and monitoring tools.
19.3 Concept
At present, off the grid energy generation technologies are usually provided by the
companies which solely focus on specific areas such as wind, solar, geothermal,
biomass and storage as there is a very limited number of companies that provide a
total service concept. Therefore, holistic design between various energy
Building Energy Supply Optimisation Building Energy Demand
Off-the-Grid
Solar PV
Solar
DHW Monitoring Tools
HVAC
Wind
Wireless Actuators Systems
Geothermal
Intelligent Control Module Lighting
Biomass Systems
Multi Dimensional
Storage Information Management
System
Appliances
Wireless Sensors Meters

Electricity
Fossil
Fuels
Energy
Hot Water Data
Information
Grid Web Services
Fig. 19.1 A smart building concept integrated with off-the-grid energy generation systems
generation systems hasnt been provided in an expected granularity due to the lack
of integration concepts.
Moreover, the control of energy performance of buildings is often provided by
an ad hoc combination of off-the-shelf building management components, distrib-
uted data metering equipment, glued together by M&T software tools. The absence
of building management systems standardization coupled with competition for
market share results in independent and non-compatible system development. In
this regard BACnetTM was developed to provide an open, non-proprietary protocol
specification that allows building automation controllers of different manufacturers
to communicate with each other [8]. However Building Management Systems/
Energy Management Systems still operate on non-standardized proprietary inter-
faces. Consequently they are becoming more complex over time and are difficult
for the average operator to understand given the educational and experience
[9]. Additional training overhead is required for each new system or system
updates. Moreover [10] states that in the absence of compatible hardware and
communication protocols maintenance can become extremely problematic as
seamlessly integrating these systems is an inefficient overhead.
However, in conjunction with traditional procurement policy it is conceivable
that numerous systems which would provide an integrated system chain enabling
the efficient use of renewable energy resources and energy management systems in
a holistic building-supply and building-demand side energy management concept

complementing with a modular approach should appear, as can be seen in this
research.
In this regard two research concepts are provided by defining: (1) Integration and
optimisation of off-the-grid energy generation systems. (2) Multi Dimensional
Energy Monitoring, Analysis and Optimisation System.
19.3.1 Integration and Optimisation of Off-the-Grid Energy

Generation Systems
Integration and optimisation of off-the-grid energy generation systems involves two

complementing phases (1) the design of small scale house type renewable energy
technologies e.g. wind, solar, geothermal and storage systems for off-the-grid
energy generation and storage in buildings through an integrated structure based
on the requirements analysis including energy demand and grid supply patterns and
(2) the development of an optimisation middleware for energy-supply, in order to
control the various systems in an integrated and optimized way.
19.3.1.1 Off-the-Grid Energy Generation and Storage Systems
Off-the-grid renewable energy technologies for energy generation for buildings

usually addresses individual systems integration, e.g. a wind turbine is combined
with adequate storage devices or energy harvesting facades are combined with
actuators or blind control systems. Several tools supporting the integration of these
components exist with manufacturers having usually their own preferences.
Therefore the definition of optimal processes and interfaces allowing the inte-
gration of different systems e.g. integration of small scale battery charging wind
turbines and photo-voltaic solar cells which feed a common storage system (battery
bank) and control of energy production on the basis of environmental conditions
e.g. wind speed, day light period, etc. can be accepted as one of the prerequisites of
a holistic, modular approach.
In this research, in order to integrate different type of systems in an optimized
way, the requirement and the state-of-the art analysis which would allow optimized
integrations have been obtained with researching the systems given below. This
preliminary state-of-the art analysis will be used to develop the middleware for
building energy supply.
Small Scale Battery Charging Wind Turbines
After examining, different type of home use small scale wind turbines in the
market, 600W 24VDC battery charging wind turbine with 6 Blade type has been
chosen to optimise small scale renewable energy output which is compatible with
our application scenarios. Its cut-in speed is low in order to facilitate continuous
generation and auxiliary energy source. The wind speeds in excess of 150 km/h has
been approved. This type of home use wind turbines generally comprises of a single
axial flux permanent magnet brushless alternator. The six blade design supports a
self-regulating aerodynamic rotor that achieves speed control through blade turbu-
lence, which controls the speed of the rotor with no moving parts and no obtrusive
noise. The diameter is 1.5 m.
Solar Panels Made of Photo-Voltaic Solar Cells
In this research, four major types of Solar Technology Panels have been examined
(1) polycrystalline cells which are the most common and cheapest panels with
conversion efficiency 1315 % (sunlight to electricity), however, under elevated
temperatures of 50 C panel temperature, the efficiency drops by around 20 %,
(2) panels made from monocrystalline cells which are used in high reliability
applications such as telecommunications and remote power with conversion effi-
ciency is typically 1417.5 % (higher than the polycrystalline cells), however, at
elevated temperatures, the efficiency only drops by 1015 % so they are more
consistent in output (3) Panels made from amorphous cells which have been used in
portable items for many years with conversion efficiency of sunlight to electricity is
57 %, about half that of the other panels but unlike the other types, their output
does not decrease in elevated temperatures. Panels made of thin film cell CIGS
technology (Copper, Indium, Gallium, diSelenide) are flexible, durable, and pro-
vide slightly higher efficiency than other flexible solar cells, typical sizes less than
60 W and can be mounted to curved surfaces. The critical item that delivers the
current to charge the batteries is the solar controller. There are 3 major types of
controller: (1) Standard single phase controller, (2) Multistage controller, and
(3) Maximum Power Point Tracking Controller (MPPT). The first 2 controllers
provide roughly 70 % of the panels power to the batteries as they reduce the voltage
of the solar panels but do not increase the current. MPPT Controllers are true State
of the Art technology with 96 % + output. The final critical factor is the location of
the controller, the mounting the controller at the battery end of the solar panel cable
allows batteries fully charged. In summary, the way to compare the relative output
capacity of panels is by the current output charging batteries at around 13.5 V.
In our case with considering the current systems, the high quality polycrystalline
solar panels for home solar power systems and MPPT controllers are used in this
research.
Solar Vacuum-Tube Collectors for Hot Water
In order to heat water using solar energy, a collector, often fastened to a roof or a
wall facing the sun, heats working fluid that is either pumped (active system) or
driven by natural convection (passive system) through it. Residential solar thermal
installations fall into two groups: passive and active systems. Both typically include
an auxiliary energy source (electric heating element or connection to a gas or fuel
oil central heating system) that is activated when the water in the tank falls below a
minimum temperature setting such as 55 C. Hence, hot water is always available.
The combination of solar water heating and using the back-up heat from a wood
stove chimney to heat water can enable a hot water system to work all year round in
cooler climates, without the supplemental heat requirement of a solar water heating
system being met with fossil fuels or electricity. For this research Viessmann
Vitosol 300T type SP 3A Vacuum-tube solar collectors with dry connection heat
tubes have been chosen. The system has gross area of 2.88 m2 and the absorber area
of 2.00 m2.
Geothermal Heat Pumps
A geothermal heat pump, ground source heat pump (GSHP), or ground heat pump is
a central heating and/or cooling system that pumps heat to or from the ground. It
uses the earth as a heat source (in the winter) or a heat sink (in the summer). In a
fridge, heat is transferred from the inside to the outside. With a heat pump, this
happens exactly the other way round. Heat from the air or the ground is transferred
into the living space via the heating system. Vapour from a refrigerant is com-
pressed to increase the temperature, to make it high enough for central heating and
DHW (Domestic Hot Water) heating. For this research, the selected Viessmann
Vitocal 350-G reaches up to 72 C. These heat pumps can therefore also be used for
modernisation as they can provide a sufficiently high flow temperature for central
heating with radiators. The compression process is vital for the efficiency of a heat
pump. To generate heat, for example, heat is extracted from the ambient air and
used to evaporate a refrigerant that boils at low temperature. Getting hotter towards
the centrefrom an initial temperature of between 5 and 18 C, a flow temperature
of up to 72 C is achieved. The gas created is compressed by the scroll compressor,
which causes it to heat up. The gas heated in this way transfers its heat via the
condenser to the heating water or DHW heating system, and thereby condenses
again. Finally, the refrigerant, which is still under pressure, is expanded in an
expansion valve, and the circuit begins again. A heat pump can make use of the
following energy sources: (a) Airpractically unlimited availability; lowest invest-
ment costs (b) Groundvia geothermal collector or geothermal probe. (c) Water
efficiency depends on the water temperature. (d) Waste heatsubject to availabil-
ity, volume and temperature level of the waste heat. In this regard, the best heat
source for each individual case depends on local conditions and the actual heat
demand.
Energy Storage Systems
For energy storage systems two types of batteries have been examined, (1) Lead
Acid Deep Cycle Batteries which are designed to have stored current discharged
between charging sessions, with very heavy non-porous battery plates to withstand
repeated major discharging and charging cycles (deep cycles) and (2) Nickel Alloy
Batteries Nickel Cadmium (NiCad) and Nickel Iron batteries, rather than consisting
of lead plates submerged in a sulfuric acid solution, feature nickel alloy plates in an
alkaline solution.
In this research, we have chosen nickel alloy battery types for our experiments
with considering the facts such as they are well suited for home power use, although
much less common and much more expensive than lead acid types. The nickel alloy
battery can have up to 50 years of useful life, compared to 20 years with a well-
maintained lead acid battery. They can also sit for extended periods of time partially
or fully discharged without suffering damage, unlike lead acid types and they need
lower maintenance. On the other hand a lead acid battery should never be
completely discharged, meaning they need to be more closely monitored. Nickel
alloy batteries operate better at lower temperatures, and can discharge more of their
total amp-hour capacity as useful current.
A battery bank is the main part of the energy storage systems and enables a
constant level of power to the house. Without the battery bank, the entire electrical
system of a house would be limited by the immediate output of renewable energy
resources. A wind turbine would be subject to constant power fluctuations as the
wind speed increased, dropped or disappeared entirely. At night, a solar-run house
would have no electrical power available. Therefore in order to provide a constant
level of power without causing problems for households, a grid connection to the
battery banks would be necessary during non-peak hours, thereby the house-use
power can be available regardless of weather conditions with convenient electricity
prices.
In our case, we designed our system based on three separate battery sections
composed of nickel alloy batteries. The first section is connected with the small
scale battery charging wind turbine, the second section is connected with the high
quality polycrystalline solar panel while the third section connected to the central
electricity grid. Therefore the wind generator and solar panel can deliver power to
the battery bank regardless of current power usage, so excess power can be stored
during low use times (generally the middle of the day and middle of the night) and
be available during high use times (usually morning and evening). In our case an
inventer DCAC which is used to convert the DC power from the battery bank to
AC power for the house power systems, a rectifier ACDC which converts AC grid
power to DC power for the use of battery charging, a control relay which provides a
direct connection between the house and the grid in the event that all stored energy
is depleted or a problem occurs in the battery bank.
19.3.1.2 Optimisation Middleware for Building Energy Supply Systems
This is considered for the integration of off-the-grid power generation systems and
central electricity/gas/water grid and optimal control of these systems on the basis
of occupant needs and environmental factors. In order to provide this, a novel
model-based system development approach is investigated that automates code
development. In the model-based system development approach, we propose to
adopt the software product line paradigm. It starts with requirement engineering for
the envisaged systems specifying the functionality to be implemented. From these
requirements the source codes are individually generated from software modules to
fulfil the requirements and optimally use the system resources. Information about
the implemented functions, requirements, and software function blocks are stored
in the form of Electronic System Descriptions. This repository contains descriptions
of individual systems for integration purposes. Consequently on the basis of
specified descriptions which allow controlling of optimal management of wind
turbines, solar panels, geothermal systems etc. The middleware is designed with
considering the functionalities given below.
The middleware is in control of charging the batteries when out of power from
either the grid or renewable energy systems occurred. It will supply the hot water by
taking into consideration of the occupant requirements and environmental factors.
The middleware also be in control of providing stored power to the house whenever
possible. It is designed for running the system in the most cost effective manner by
considering carbon emissions. It would decide when to charge the batteries and
from which source. The middleware is designed to provide stored power to the
house whenever present and only switch to grid power if all stored power is
depleted. Moreover it provides charging the batteries from the grid power during
non-peak hours and only if the systems could not provide enough power for the
house use.
19.3.2 Multi Dimensional Energy Monitoring, Analysis

and Optimisation System
Multi Dimensional Energy Monitoring, Analysis and Optimisation System is

implemented on the basis of four complementing components as (1) Building
Information Model, (2) wireless sensor/meter/actuator network platform,
(3) multi dimensional information management platform, (4) Intelligent Control
Module and (5) Monitoring tools.
19.3.2.1 Building Information Model (BIM)
In order to simplify the requirement engineering, information about the building

(location, building systems, etc.) can be imported from the systems which support
architectural and building systems design. Architectural designs are typically
developed with the Computer Aided Design (CAD) tools such as Autodesk Revit,
Microstation, ArchiCAD and DDS-CAD. They support standardised, extensible
Building Information Models (BIM) based on product modelling standards such as
IFC (Industrial Foundation Classes).
The concept of a BIM describes an integrated data model that stores all infor-
mation relevant to a building throughout the building life cycle. In our case, it is
envisioned to extend the BIM with the system design, e.g. the number and kind of
wireless sensors and communication devices in order represent deployment in
different rooms and their interaction within each other and with the building itself.
In order to predict and model building energy performance, energy simulation
models should be considered. These models enable the building operator to perform
comparisons between design intent and actual energy performance data. For exam-
ple, in order to perform an energy simulation on the Revit MEP model, the IES
plug-in is used in our simulations to complete BIM Model comprising energy
performance aspect.
19.3.2.2 Wireless Sensor/Meter/Actuator Network Platform
Wireless Sensor Network (WSN) is a wireless network consisting of spatially

distributed autonomous devices using sensors that allow the physical environment
to be monitored at high resolution. These sensors also called motes are installed in
particular locations or can be deployed in a particular zone to gather information
such as temperature, humidity, CO2, lux level, etc. The real functionality of sensors
comes with wireless sensor networks when these sensors start communicating with
each other through wireless protocols. WSN can shuffle the information collected
through the sensors and transfer it to the public internet and or a local area network.
Finally, the information is collected in the data warehouse where it is analysed.
In this project the wireless sensor network architecture is implemented based on
the recently released IETF 6LoWPAN (RFC 4944) open standard for IP commu-
nication over low-power radio linksIEEE 802.15.4 represents one such link.
WSN LoWPAN networks are connected to other IP networks through one or
more border routers forwarding packets between different media including Ether-
net, Wi-Fi or GPRS. The IP architecture offers widespread commercial adoption
and broad interoperability due to its attributes such as openness, flexibility, scal-
ability and manageability. Many industrial standards, including BACNet, LonTalk,
CIP and SCADA, introduced an IP using either TCP/IP or UDP/IP over Ethernet.
In this research the wireless sensors have been chosen to detect and measure
various parameters such as temperature, humidity and water/gas/electricity meter
readings. In our case the motes, mainly consists of 3 components; the sensor
interface which actually measures the physical attributes like humidity level, the
radio interface which communicates with other motes and the CPU which performs
computations and transfers information between the two components. The used
board is equipped with an Atmega1281 MCU and EM2420 radio chip. The platform
includes sensors for monitoring air-temperature, air-humidity and light. Moreover
incorporates electricity meters as well as the interface for controlling (on/off) an
AC load are utilised. The platform runs the recently released b6LoWPAN stack.
Soekris embedded PC boards [11] with Atheros CM9 Wi-Fi cards and a single
IEEE802.15.4 node form a backbone network will be used in all the rooms of the
sample building.
19.3.2.3 Multi Dimensional Information Management System
The objective of the data warehouse development is to provide a multi dimensional

information management platform to store integrate and analyse complex data sets
from multiple information sources such as model editors, energy simulation tools
and performance framework specification tools as well as data streams collected
from wired and wireless sensors and meters in order to analyse building perfor-
mance data and to support decision making process of the stakeholders. The data
extracted from the Building Information Model and from the wireless sensor/meter/
actuator network platform is aggregated in the data warehouse core in order to
provide actionable information to the intelligent control module. Simultaneously
aggregated data is presented through specific Graphical User Interfaces (GUIs)
concerning different stakeholder requirements. The developed system is explained
in detail by [1214].
19.3.2.4 Intelligent Control Module
The actionable information generated by the Multi Dimensional Information Man-

agement System is processed within the intelligent control module for low energy
building operation in order to control and optimise both building energy supply side
and building energy demand side in run time.
The intelligent control module contains algorithms for the defined building
operation scenarios (e.g. heating, cooling, and lighting) and interacts with the
data warehouse core to compute control parameters, which are then passed to the
wireless network for actuation. The detailed description of the intelligent control
module has been provided by [1214].
19.3.2.5 Monitoring Tools
The common goal of the graphical user interfaces is to represent the building
performance information to the end users at the Building Energy Demand (BED)
side and to the grid operators (stakeholders) at the Building Energy Supply (BES)
side concerning their roles and functions. The aim of the proposed systems
monitoring tools is designing and implementing user friendly, customized and
context sensitive Graphical User Interfaces (GUIs) for defined end users and
stakeholders. In order to achieve this, Java and Service Oriented Architecture
(SOA) based interfaces are developed which enables end users automated querying
without dealing with complex SQL statements [1214].
19.4 Conclusions
In this paper an integrated building energy management system composed of

(1) Building energy supply-side and (2) Building energy demand-side management
is described. The proposed concept integrates energy production systems from
renewable energy sources, building energy diagnostics and predictive control,
ubiquitous wireless sensing technologies, and microgrid power electronics and
power control. The research focuses on an innovative model-driven development
approach that integrates systems in building energy supply-side and building
energy demand-side to provide optimized energy production/consumption. The
research findings will be demonstrated in an appropriately selected building in
Hannover, Germany with EOS Sustainable Energy Solutions GmbH [15] integrat-
ing different energy efficient production/consumption systems addressing the
renewable energy technologies, energy storage systems and building energy man-
agement systems comprising scalable and robust sensing network platforms, energy
performance monitoring and data mining technologies. The initial research findings
will be used to extend this research to the smart cities level.
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Chapter 20
Interoperable ICT Platform for Energy
Efficient Smart Buildings
Abstract Europes objective under the 20-20-20 target is to reduce energy con-
sumption by 20 % and increase the renewable energy sources by 20 % in the overall
energy mix. The European Union currently imports two third of its oil and gas
which makes it the worlds leading importer of these fuels. Due to increasing
energy prices and relatively high percentage of building related energy consump-
tion much effort is invested for energy efficient buildings. Apart from meaningful
building insulation measures, the only means of achieving marked improvements in
the energy efficiency of buildings is to make use of efficient building automation
technologies which comprises performance monitoring, analysis and intelligent
control. This research addresses the need for integration concepts, holistic moni-
toring and analysis methodologies, life-cycle oriented decision support and sce-
nario based control strategies through the seamless integration of ubiquitous
sensing infrastructures, simulation tools, Building Information Modelling (BIM)
tools, service oriented architectures and data warehouse technologies. This paper
introduces an interoperable Information and Communication Technologies (ICT)
platform integrating IT systems at design, construction and operation stages of
buildings so that monitoring, analysis and optimization of building energy perfor-
mance can be achieved. The developed prototype has been demonstrated with EOS
Sustainable Energy Solutions GmbH which is Hannover, Germany based R&D
company, on a sample building of Technology Center Hannover within the scope of
Dynamic System Architecture for Energy Efficient Building Operations (DASSEB)
Project.
Keywords Energy efficiency Renewable energy Artificial intelligence Wire-

less embedded devices


20.1 Introduction
As contribution to the legislative drivers such as Kyoto-Protocol, Copenhagen

Summit (COP15) and Durban Summit (COP 17), the European Union
(EU) outlined the objective to reduce energy consumption by 20 % until 2020.
The EU currently imports 82 % of its oil and 57 % of its gas [1]. The EU can have
little influence on external energy markets and energy supply but can influence
domestic energy demand. One possible solution to both the above problems is to
reduce energy consumption by increasing energy efficiency.
In terms of energy efficiency buildings provide significant potential for energy
and energy related CO2 emissions savings since buildings account for 40 % of the
total energy usage and 30 % of total energy related CO2 emissions in Europe [2, 3].
Apart from meaningful building insulation measures, the only means of achiev-
ing marked improvements in the energy efficiency of buildings is to make use of
efficient building automation technologies (VDMA 2008). According to European
standard EN 15232 Energy Performance of Buildings-Impact of Building Auto-
mation building automation systems can, depending on building type and equip-
ment standard, produce the following potential savings of energy: restaurants 31 %,
hotels 25 %, offices 39 %, shopping centres 49 %, hospitals 18 %, schools/
universities 34 % and residential 27 % [4, 5]. Also, it is often faster and less costly
to automate building systems than it is to insulate building shells [6]. Thus, flexible
and easy to handle monitoring and control technologies are essential. Presently,
many sophisticated building services systems are available for facilities manage-
ment. However, their focus on energy performance rating of buildings is at best
sporadic, often comprising an ad hoc combination of off-the-shelf building man-
agement systems (BMS) with some extensions. Such systems provide many prob-
lems to building owners with regard to interoperability. The optimization of these
systems for energy management adds another layer of complexity to the design and
management procedures. It requires analyzing the system, developing new inter-
faces, replacing devices, newly adjusting and optimizing parameters.
In this regard, the prospective consequence of the building behaviour and the
needs of the building occupant/operator which would manage energy consumption
efficiently would not be predictable with a single combined information and
communication platform. A promising approach, to overcome these shortcomings,
is the implementation of an integrated, modular infrastructure.
In order to address this aim, a project named DASSEBDynamic System
Architecture for Energy Efficient Building Operations which is supported by the
Scientific and Technological Research Council was granted in 2010 and the devel-
oped concept has been demonstrated with EOS Sustainable Energy Solutions
GmbH [7] which is Hannover, Germany based R&D company, on a sample
building of Technology Centre Hannover in Germany.
20 Interoperable ICT Platform for Energy Efficient Smart Buildings 301
20.2 System Architecture
The developed system architecture covers the implementation of a modular plat-

form as depicted in Fig. 20.1, that integrates multiple dimensions of building
information such as performance data (e.g. energy consumption, temperature,
lighting level), system data (e.g. status, switch settings) and process data
(e.g. inspection, maintenance, repair) which supports integration concepts, holistic
monitoring and analysis methodologies, life cycle oriented decision support and
information and communication technologies. This is implemented as an extension
to international standards (e.g. IFC 2x3 ISO/PAS 16739).
The proposed system architecture (see Fig. 20.1 above) consists of three appli-
cation layers such as (1) Data Layer, (2) Information Layer, and (3) Tool Layer.
These layers will be explained with their components in the following sections.
20.2.1 Data Layer
Data layer provides data collection from multiple sources such as wireless sensors
and actuators which collects relevant measurements and system status [8]. Since
this data is raw it requires definition data in order to classify and categorise
End User(Stakeholder)
Layer
Tool
Monitoring Tool Intelligent Control Tool
Information Management Platform

Information
Layer
Extraction Transformation
Next Generation BIM Model
Loading Tool
(eeBIM)
(ETL)
Network Protocol
Energy
Layer
Data
Design
Simulation
Tools Wireless Wireless Wireless
Tools
Sensors Meters Actuators
Building
IFC-Industry Foundation Classes
Web Services
Fig. 20.1 Integrated system architecture for energy efficient smart buildings
measurements for analysis purposes. Various Model Editors are required to define
and categorise the sensed data.
Data Layer consists of: (1) Wireless network embedded systems such as wireless
sensors, meters and actuators, (2) Design Tools, and (3) Energy Simulation Tools.
20.2.1.1 Wireless Network Embedded Systems
This consists of wireless sensors and actuators. For this research the applicability of
flexible wireless sensing and actuation infrastructure with novel miniaturised sensor
nodes and actuators that allow long-term embedding into the building fabric is
searched. Also, self-configurable, self-optimised and self-healed wireless sensor
and actuation infrastructures are specified to identify architectural approaches.
Furthermore, the specification of a web-service based Network Protocol is
provided to enable the wireless network embedded devices to interact with the
information management platform via web-service protocols.
20.2.1.2 Design and Energy Simulation Tools
These are required to categorise and classify the raw data collected from the
Network Embedded Systems. Existing off-the-shelf design and energy simulation
tools are examined in order to support 4D design and Energy Simulation Models.
20.2.2 Information Layer
This is the information management layer of the proposed architecture. The data
collected within the data layer is processed, analysed and aggregated within this
layer to provide actionable information for the Tool Layer. Information layer
consists of three components.
These are: (1) Next Generation Building Information Model; Energy Efficient
BIM (eeBIM), (2) Extraction Transformation and Loading (ETL) Tool, and
(3) Information Management Platform (Data Warehouse Services).
20.2.2.1 Next Generation Building Information Model (eeBIM Model)
This is based on Industry Foundation Classes (IFC) for energy efficient building
operations. The BIM specification utilising formal standard definitions (data &
functions) of engineering building components (e.g. pumps, valves), systems
(e.g. air handling units, heat pumps, solar panels) and sensors (temperature, relative
humidity, CO2, VOCs) as specified by professional engineering institutions CIBSE
and ASHRAE is developed based on the Model View Definitions (MVD) Format of
the IFC. The IFC data exchange scenario is developed to provide exchange of BIM
between Design, and Energy Simulation tools and Information Management Plat-
form, for more information see [9].
20.2.2.2 ETL Tool
Data needs to be loaded to the data warehouse regularly. To do this, data from one
or more operational systems needs to be extracted and loaded into the warehouse.
The process of extracting data from source systems and bringing it into the data
warehouse is commonly called ETL, which stands for Extraction, Transformation,
and Loading [10]. For the proposed system the ETL tool is used to populate the fact
data table which stores long term dynamic data such as measurement stream. Also,
ETL Tool can be used to populate Dimensional Tables which stores relatively static
data such as architectural data and building HVAC systems data [1].
The ETL process developed for this research populates fact data table by
performing the following steps:
Extracts data from the current building management system (BMS) comma
separated values (CSV) file archive.
Eliminates inconsistencies such as duplicate rows.
Transforms the CSV file structure to the data warehouse fact data table structure.
Loads the CSV files to the data warehouse fact data table.
Also, the ETL tool is used to populate the dimensional tables. HVAC equipment
dimension, location dimension and sensing device dimension tables can be popu-
lated by extracting the data from the CAD tool. A detailed description of the ETL
tool is provided by [1, 11].
20.2.2.3 Information Management Platform
The information collected from various sources needs to be processed and aggre-
gated for the requirements of the developed tools (e.g. monitoring and intelligent
control tools) and the stakeholders. This requires a multi dimensional information
management platform [1].
Data warehouse systems allow a number of alternative ways to integrate and
query information stored in it. Thus, a data warehouse coupled with On-Line
Analysis Processing (OLAP) enables end-users to creatively approach, analyze
and understand the building performance under different circumstances [1].
The data warehouse stores summarized information instead of operational data.
This summarized information is time-variant and provides effective answers to
queries such as Energy consumption of a particular room in a particular building
when the outside temperature is 21 C [1].
The aim of the data warehouse component of the proposed system is to:
1. Collect dynamic data from different sources such as wired/wireless sensors and
meters.
2. Map the dynamic data with data extracted from CAD tools, energy simulation
tools and performance specification tools.
3. Perform multi-dimensional data aggregation to support decision making
process.
Data Warehouse component consists of three sub-components [1]. These are:
Operational Data Store: ODS is a database designed to integrate current valued
subject oriented, volatile and real time data from multiple sources such as
building management system, wireless sensor network and energy unit prices.
Fact Data and Dimensional Data: This is the main repository for long term
storage of dynamic data. Data collected and temporally stored in the ODS
populates the fact data table.
Aggregated Data: This is the decision support level of the multi-dimensional
data warehouse. Fact data become meaningful when it is associated with the
dimensional data and provides the end user the means to slice and dice data.
A detailed description of the Information management platform tool is provided
by Gokce [1, 11].
20.2.3 Tool Layer
The actionable information provided by the Information Layer is utilised by the

Tool Layer in order to perform various operations such as monitoring and intelli-
gent control. Depending on the stakeholder requirements and application scenarios
different types of tools (i.e. maintenance scheduling) can be developed as a modular
structure. For the proposed system Monitoring and Intelligent Control tools are
developed.
20.2.3.1 Monitoring Tool
The actionable information generated by the information layer is visualized through

context sensitive and user friendly Monitoring Tools; Graphical User Interfaces
(GUIs).
The common goal of the GUIs is to represent the building performance infor-
mation to the end users (stakeholders) concerning their roles and functions. In order
to achieve this, Java and SOA based interfaces are developed which enables end
users automated querying without dealing with complex SQL statements [1].
Stakeholders include any person or organization that may be affected by the
success or failure of the software [12].
Four principle stakeholders identified for the developed system. Their data
requirements and roles are described below [1]:
Building Owner: (a) Reviews the overall energy consumption and CO2 emis-
sions of facilities, (b) Reviews the energy consumption and CO2 emissions of a
particular organization, occupant or zone, (c) Generates consumption bills and
audits the costs of facilities.
Facilities Manager: (a) Monitors and analyses the building performance data
with regards to particular zone, organization/occupant, building system and/or
time interval, (b) Maintains optimum occupant comfort level.
Occupant/Tenant: (a) Monitors relevant energy consumption and CO2 emis-
sions, (b) Views real time energy consumption costs, (c) Requests user comfort.
Building Technician: (a) Compares actual and intended performance of building
systems (HVAC Systems) in order to perform preventive maintenance activities.
20.2.3.2 Intelligent Control Tool
An Intelligent Control module which contains scenario based algorithms interacts

with the defined building operation scenarios (e.g. heating, cooling, and lighting)
and with the DW core to compute control parameters, which are then passed to the
wireless network for actuation [1].
In order to test and validate the proposed system three initial control scenarios
are determined, for more information see [1, 9, 11]. These are:
1. Energy consumption monitoring: Real time energy consumption visualization of
the each energy consuming object in the building.
2. Heating system controlling: Controlling the temperatures of individual zones
(rooms) via controlling wireless controllers/actuators for panel radiators in each
zone (room). For example, Maintain 24 C of room temperature unless occu-
pant leaves the room for longer than X amount of minutes.
3. Lighting system controlling: Controlling the lighting levels (Lux Levels) of
individual zones (rooms) via controlling wireless adjustable lighting switches.
For Example Maintain 500 Lux in the room unless the room is not occupied.
20.3 Validation
In order to validate and test the proposed system in the scope of DASSEB research
project, the first scenario, Data Aggregation and Representation is applied in one of
the buildings of Technology Centre Hannover located in Hannover Germany. The
sample building is a social housing tower block. The building has 12 floors includ-
ing a single basement.
The following steps are undertaken to apply the Data Aggregation and Repre-
sentation scenario:
Fig. 20.2 (a) Setting heating and cooling loads and (b) Setting building element construction
(1) Building and building systems are modelled using Autodesk Revit [13],
(2) Building energy performance is simulated using the energy simulation tool
EIS, (3) Wireless devices and wireless sensor and actuation network (WSAN) are
deployed, and (4) Information Management Platform is implemented in the build-
ing (Fig. 20.2).
20.3.1 Possible Energy Saving Improvements
Based on the deployment of a WSAN and the information provided by the BIM,
results of the case study have demonstrated possible energy saving improvements
that can be applied:
Centralized Heating Plant: On large mixed use developments, as in our case the
diversity which can be applied to heating is as low as 1215 %. For example if
one home required a maximum load of 10 kW heating, then 100 homes would
only require 120150 kW of the central plant, not 1 MW.
Centralized Ventilation: This could be implemented but requires too much
vertical ventilation space. Also, ownership and maintenance issues would
cause complexities.
Heat Recovery: Air to air heat recovery devices can retain up to 75 % of heat.
These devices are not as efficient in summer because of the lower temperature
difference between internal and external air.
Night Purge: This works by allowing cooler night air to naturally enter a space
and remove heat from the building. The very heavy thermal mass of the building
can be utilised for free cooling of buildings in summer. The construction of the
building is already suited to this.
Solar Thermal Heating: The panels on the roof and the shades on south facing
facades could provide a sizable amount of hot water requirements for domestic
washing and cleaning. These panels are economically viable and should also
prove useful in Turkey.
Photovoltaic: This could be utilised for electricity generation in Turkey with
relatively longer sunshine hours and opportunity to sell the surplus energy back
to grid (28 cent per kWh).
20.4 Conclusions
The Interoperable ICT platform for energy efficient smart buildings described in
this research enables a continuous assessment process throughout the BLC by
combining the data from different sources and phases in a single data repository.
A single data warehouse processing geometrical, material, simulated and real time
data provides enhanced decision making capabilities to the stakeholders. Model
editors and simulation tools with industry standardised interoperability capabilities
provide a dynamic information flow for efficient building operations. The case
study demonstrates the potential of the proposed system. Based on initial results, it
enabled continuous building energy analysis from design through building opera-
tion. Also, the results lead to possible energy saving improvements.
As an extension to our current research we are integrating off-the-grid building
energy generating systems (e.g. solar panels) with electricity grids to optimize the
consumption by considering energy usage patterns of the occupants [14]. As a
secondary function It also can feed information to the diagnosis activities regarding
control problems (i.e., the control system is not behaving as expected), as well as
the Maintenance Management System, to request repairs of known faults. The
developed system will be further expanded to predictive control. Through the
implementation of knowledge discovery (KDD) and data mining methodologies,
the data aggregated within the DW core can be used to discover predictive patterns
such as the user preferences and the weather predictions.
References
cient building operation. PhD thesis. National University of Ireland, Cork, Ireland
2. EC-European Commission (2007) New EU energy plan-more security, less pollution. http://ec.
europa.eu/news/energy/070110_1_en.htm. Accessed 21 Sept 2011
3. Itard L, Meijer F, Vrins E, Hoiting H (2008) Building renovation and modernisation in Europe:
state of the art review. ERABUILD. TU Delft, The Netherlands
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http://ec.europa.eu/environment/climat/emission/index_en.htm. Accessed 21 Sept 2011
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Energieeffizienz von Gebauden Einfluss von Gebaudeautomation und Gebaudemanagement,
Deutsche Fassung EN 15232:2007. Berlin, Germany
6. IEA-International Energy Agency (2008) CO2 Emissions from fuel combustion. 2008 Edition
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tions. In: Gudnason G, Scherer R (eds) Proceedings of the 9th European conference of product
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Reykjavik, Iceland, 2012 Taylor & Francis Group, London, 2527 July ISBN 978-0-415-
62128-1
Chapter 21
Software Interoperability for Energy
Efficient Building Operations Based
on the IFC Data Model Standard
Abstract The Industry Foundation Classes (IFC) object model as a standard data
model which has a quite large scope is proposed as a standard approach (ISO-PAS
16730 IFC2x platform specification) to identify the specifications and enables
interoperability between the AEC (Architecture Engineering and Construction)
applications. Currently the majority of AEC software and system developers use
IFC APIs (Application Protocols) that are capable of importing and exporting
IFC/STEP files, however the IFC based applications in the energy efficiency
domain has not yet well articulated. Current BEMS (Building Energy Management
Systems) focus on energy performance rating of buildings is at best sporadic often
consisting of an ad hoc combination of off-the-shelf building energy management
systems. This ad hoc combination presents many difficulties as the BEMS is consist
of a number of components utilizing various information exchange protocols that
have to be integrated within the M&T software packages. However, even though
various solutions have been proposed in the last years, a general approach based on
an acknowledged standard is still missing. In this paper, a new integration meth-
odology is presented, which comply with the data schema of the IFC standard. It
allows for coherent integration of different information, helping to achieve the
interoperability of the involved tools and services in collaborative working envi-
ronments. The essence of the developed interoperability approach is in the consis-
tent definition of partial IFC models for energy efficient building operations which
have been tested in a demonstration test bed in HannoverGermany.
Keywords Energy efficiency Building information model (BIM) Data Ware-

house Technologies Artificial intelligence


21.1 Introduction
Interoperability of the heterogeneous applications in the domain of energy effi-

ciency can be best achieved by using generalized and standardized representations
of the needed product and process data from various services, thereby enabling
optimized and energy efficient building operations [2]. Therefore, in the last years
several IT systems integrating various application domains have been developed to
obtain networked-based environments. Such systems typically combine energy
management systems and services thereby allowing reducing operation costs, and
increasing work efficiency. However, the developed solutions largely lack gener-
ality in terms of data and process interoperability. Integration of product and
process information is based on the specific internal data models of the used
component systems, and not on generally applicable and hence standardized data
models [2]. All this significantly decreases flexibility, multi-dimensional data
analysis, and last but not least holistic system design. In spite of its promising
potential, a standardized Building Information Model (BIM) based on the IFC
product model of the BuildingSMART initiative is still practically unused for
energy efficiency purposes, even though the majority of AEC software developers
already provide IFC APIs that are capable of importing and exporting IFC/STEP
files [3].
Furthermore the engineering and deployment aspects of current systems require
extensive manual work with much trial-and-error in programming devices, com-
posing applications from devices, deploying devices in buildings with complex
radio propagation characteristics, developing data structures for data acquisition,
and analyzing tasks [4] Integrated IT tool support for these activities does not exist;
available tools are stand-alone products, often tied to specific standards. These
existing tools neither support the exchange of information between different appli-
cation stages, nor do they consider the extension of an existing wired or wireless
monitoring and control systems during operation [5]. This lack of appropriate tools
currently outweighs the benefit of software interoperability.
In this regard, a single combined information and communication platform
would not adequately predict the consequences of the building performance behav-
ior and the needs of the building occupant/operator to manage energy consumption
efficiently [6]. In order to avoid these shortcomings, a promising approach is the
implementation of a dynamic modular infrastructure based on the acknowledged
standard models.
21.2 Objectives
In this paper, we address the existing gap between the data provided in the
application domains and services used for energy efficient building operations on
the one side and their association to the BIM data contained in the IFC model on the
21 Software Interoperability for Energy Efficient Building Operations Based. . . 311
other side. In this regard, we propose a new methodology that provides coherent
integration of product and process information based on the IFC data model
standard. This methodology supports the interoperability of the involved tools
and services. The essence of this newly developed approach is in the consistent
definition and use of newly developed IFC Partial Models for energy efficiency that
pulls together the needed product data to provide seamless information flow
through standardized product and process information.
By developing the IFC Partial Models, the management of large-scale complex
networks, services and mobile applications complying with the new network and
management protocols which supports seamless end-to-end network composition
and service operation through sensor hardware can be facilitated [2]. Thereby a
model-driven approach integrating application domains and intelligent services
based on the IFC model which provides monitoring, analysis and control of
performance, with regard to energy usage, at all stages of the buildings lifecycle
can be developed. In order to address this aim, a project namely DASSEB
Dynamic System Architecture for Energy Efficient Building Operations which is
supported by the Scientific and Technological Research Council has been granted
in 2010 and the developed concept has been tested on a sample building in
Hannover Germany.
21.3 Background
In the last decades, various research and development initiatives have examined
heterogeneous integration of software and hardware systems to create user-
sensitive, networked-based environments for inter organizational collaborations
which complement context-based managerial views coupled with the IFC model
data standard. This research initiatives include Process Matrix approach, based on
an extended application of Generic Process Protocol coupled with the dedicated use
of the Unified Modeling Language [7], IFC-compliant integrated AEC systems
using smart objects [8], process oriented information modeling methodology for
IFC model development [9] and the development of product model based processes
and data exchange procedures in the ProIT project, compiling design guidelines
necessary for product modeling and establishing model structures for the re-use of
product libraries [10]. However, the goal of lossless, incremental data flow through
different application systems which would allow seamless system integration is still
not fully articulated. This can be changed by switching to a more structured way of
defining partial models, as suggested in the BLIS project [11]. BLIS developed
concepts allowing to start with the high level IFC classes, such as IfcWall, IfcBeam
etc., which are then detailed step by step to reach the low level classes related to
geometry, material, and various systemic properties. Accordingly, in this approach
a partial model can be defined in two ways: (1) generally, by using an engineering
ontology representing the content of the targeted product data model, and (2) spe-
cifically, by mapping the general view to an existing release of the product data
model e.g. IFC2x3 [12]. A set of diagrams and form sheets are used to improve
comprehensibility and maintenance. However, the definitions developed in such a
way are not directly applicable as data queries.
21.4 Integration Methodology
In order to realize software interoperability for energy efficient building operations

in this research, a principal methodology for creating IFC Partial Models and their
binding to requirements through functional parts have been developed as part of the
Information Delivery Manual (IDM) [13]. Furthermore a comprehensive study of
the current IFC model has been conducted to reveal entities, attributes and relations
covered by IFC with regard to identified information resources. This study iden-
tifies gaps and suggests the associated modifications and re-structuring needs. The
relevancies of the information resources in relation to IFC objects are examined
according to IFC model requirements. This examination provides a mapping
between the information resources and the IFC classes. An information resource
defines one to several partial IFC classes. Usually product model classes cannot be
used as single entities, but they are embedded in a network of classes defined as IFC
Concepts [2].
Overall, the grouping of IFC Concepts enables the implementation of adaptable
IFC Partial Models (Views) that are required for standardized system integration.
The aim in forming a concept is to obtain a clear definition and reuse ideas and
software code [14]. In our approach, IFC Partial Models and IFC Concepts are
defined by using the General Model Subset Definition schema, GMSD [15,
16]. GMSD is a schema which allows a neutral definition format for different
types of data exchange as well as client/server implementations. It has the ability
to define generic views as well as specifically needed model subsets formally.
21.5 Developing an IFC Partial Model for Energy

Efficient Building Operations
In order to identify the basic content of the IFC Partial Models (IFC Views) for
energy efficient building operations based on IFC 2x3 version (IFC 2x3 ISO/PAS
16739), all required attribute values and objects possible relationships have to be
modeled to support the identified requirements. High level requirements mapping
to IFC views are illustrated in Fig. 21.1.
In this regard, each requirement related with the application domains and
services has been considered. These requirements (as primary keys) lead to a
respective structuring of related IFC classes (as foreign keys). The primary key of
the given relational table uniquely identifies each requirement. It is an attribute that
Table 1
Primary Foreign
Key Key
IFC Table 2
Requirements Classes Primary IFC IFC
Key Concepts View
IFC IFC IFC

Classes Concepts Views
Fig. 21.1 Table formalization from requirements to IFC view formalizations
is guaranteed to be unique or it can be generated as a globally unique identifier.

Primary keys consist of a single attribute or multiple attributes in combination. The
foreign key identifies a column or a set of columns in one (referencing) table that
refers to a set of columns in another (referenced) table. The columns in the
referencing table must be the primary key in the referenced table. The values in
one row of the referencing columns must occur in a single row in the referenced
table. In our case, the formulated IFC classes (as primary keys) are brought together
under IFC Concepts. These concepts are gathered to provide the related IFC Partial
Model definitions for energy efficient building operations. Different parts of the
IFC product data model are provided as IFC Concepts. An IFC Concept is a
grouping of an IFC model subset so that one IFC Concept describes an object,
such as a building elements objects, certain specific characteristics or bundled
properties [10].
In this context, IFC Concepts are developed based on the proposed IFC Model
View Definition Format [17] of the BuildingSMART initiative. Based on the
collected IFC classes referenced by the requirements the concepts which are needed
for the realization of the IFC Partial Models for energy efficient building operations
can be provided. Each IFC Concept uses one (1:1) or many (1:n) IFC classes in its
composition. On the other hand, IFC classes can be represented in one (1:1) or
many (1:m) concepts to support different demands. For example in IfcClassi-
fication, arrangement of objects into classes and assignment of classification nota-
tion to objects have to be represented separately.
21.6 Requirement Analysis
The requirements needed for the IFC Partial Models for energy efficient building
operation are examined based on four scenarios: (1) Data Representation and
Aggregation, (2) Building Performance Analysis and Diagnostics, (3) Management
of Maintenance Activities and (4) Intelligent and Predictive Building Control.
These scenarios are proposed based an integrated platform suggested by [2]. The
developed system architecture covers the implementation of a modular platform as
depicted in Fig. 21.1, that integrates multiple dimensions of building information
such as performance data (e.g. energy consumption, temperature, light), system
data (e.g. status, switch settings) and process data (e.g. inspection, maintenance,
repair) which supports integration concepts, holistic monitoring and analysis meth-
odologies, life cycle oriented decision support and information and communication
technologies. This is implemented as an extension to international standards
(e.g. IFC 2x3 ISO/PAS 16739) (Fig. 21.2).
In this paper, the requirements associated with the first scenario Data Represen-
tation and Aggregation, and their mapping to IFC classes will be partially
presented. In this context, the dynamic data collected from the network embedded
systems (sensor & actuation network) and the persistent data extracted from the
BIM tools (design and energy simulation tools) are stored, aggregated and
represented to the stakeholders for performing multi-dimensional analysis of the
building performance. The system extracts sensor data from wireless sensor/meter
network via a developed middleware for WSAN. The proposed Information Man-
agement Platform is composed of: (1) Operational data store, (2) Extraction Trans-
formation and Loading (ETL) tool, and (3) Data Warehouse core. Collected sensor/
meter data is stored in the operational data store for data cleansing and redundancy
Fig. 21.2 Application layers for holistic system architecture

Fig. 21.3 The ETL process for populating the location dimension table
Table 21.1 Requirements mappinglocation dimension to IFC classes (partial representation)

Requirements for location IFC classes referenced by the requirements for location
dimension dimension
IDs *IfcRoot
Building *IfcBuilding, IfcBuildingStorey
Building zones *IfcZone
Building spaces *IfcSpace, IfcSpaceType
check processes. This pre-processed data is loaded to the fact data section of the
data warehouse system via an Extraction, Transformation, and Loading (ETL) tool.
The ETL tool is also used to populate the dimensional tables by extracting data
from the BIM tools as depicted in Fig. 21.3. Loaded fact data and dimensional data
is aggregated with regards to different stakeholder requirements in the data ware-
house core and presented through specific Graphical User Interfaces.
In this case, the IFC Partial Models can be developed based on the requirements
of the dimensions such as location dimension, organization dimension, HVAC
dimension and time dimension developed for complex data queries. In order to
formalize the transition from exchange requirements to an IFC Partial Model
definition, the information defined in these dimensions is examined with regard to
the IFC data model. An established requirement can define one or several IFC
Classes as given in Table 21.1.
An IFC Partial Model contains one to several IFC Classes. These classes are
represented in a network of mutual inter-dependencies that collectively define IFC
Concepts, specified as standard one page description of the new IFC Model View
Definition Format [2]. An IFC Partial Model View comprises several IFC Concepts
which define the complete set of needed IFC Classes as depicted in Table 21.2.
Table 21.2 Mapping of IFC classes to IFC concepts for IFC partial model development (partial
representation)
IFC classes referenced by the IFC concept for
requirements for location location IFC partial model for energy efficient
dimension dimension building operation
*IfcRoot *Location The integration of concepts provides the
*IfcBuilding, concept IFC partial model for energy efficient
IfcBuildingStorey building operations
*IfcZone
*IfcSpace, IfcSpaceType
GMSD is used to formalize the proposed views and to explicate the respective IFC
Subset Content.
21.7 Case Study
This new methodology has been applied in HanoverGermany. The sample

building is an office building. The building has 6 storeys including a basement.
The following steps were undertaken to apply this scenario: (1) Building and
Building systems have been modeled using building information modeling editor
(Autodesk Revit), (2) Building energy performance has been simulated using the
energy simulation tool (IES), (3) Wireless systems have been deployed, and
(4) Data Warehouse services have been implemented based on the developed IFC
Partial Models.
In this context, newly developed IFC Data Extraction Tool as depicted in
Fig. 21.4 extracts the data from a source application (e.g. CAD and Simulation
Tools) and loads the extracted data to the Target Application (in XML file) based on
the developed partial models.
The processes of the tool involve: (1) Information instances (based on developed
dimensions) in the source application (e.g. CAD and Energy Simulation Tools) are
extracted by the translator, (2) Extracted data is assigned to appropriate IFC classes,
(3) the entity instance data are then mapped from IFC classes into a text file format
defined by the ISO-STEP Part 21 (based on developed IFC Concepts), (4) this file is
then received by the other application and interpreted by the receiving applications
translator in terms of the IFC object instances it represents, (5) the translator in the
target application (e.g. XML File) writes the relevant IFC objects into its native data
structure based on the proposed IFC partial models.
The IFC data exchange scenario depicted in Fig. 21.4 is used to provide
exchange of IFC based standard data between Design, Energy Simulation tools
and Data Warehouse Core.
Source
Target File
Application
(XML File)
(CAD TOOL)
Translator
Translator
Export IFC Data Extraction
Import
Tool
Data P-21 Data Exchange P-21 Data

Structure Translator Translator Structure
Part 21
IFC Product
Model View
Fig. 21.4 IFC data extraction tool
21.8 Conclusions
In order to provide exchange of energy related data, based on the IFC data model
standard in this work, a new methodology is proposed to develop IFC Partial
Models for energy efficient building operations, which include minimal set of
new IFC classes, data types and object relations. These IFC Partial Models support
the exchange of energy related information based on defined requirements associ-
ated with dimensions structured in the data warehouse core.
The mapping between dimensions requirements and IFC classes is provided.
These classes are brought together in a network of classes using so called IFC
Concepts. The grouping of IFC Concepts enables the implementation of IFC Partial
Models. This approach leads to the development of an integration methodology for
existing domain applications and intelligent services.
In order to formalize IFC Partial Models, IFC Concepts are developed based on
the IFC View Definition Format of the BuildingSMART initiative. However, due to
the specific requirements of our model, such as the representation of classes in
EXPRESS-G, appropriate modifications are made in the formalizations.
Realization of the IFC Partial Models based on the IFC Concepts is accom-
plished using the General Model Subset Definition Schema (GMSD) method.
Validation of the developed concepts is provided with the help of the GMSD
support tools.
For applications on the field, a sample building in Hanover is used. In this
context, a new IFC Data Extraction Tool is developed to extract the data from
source applications (e.g. CAD and Simulation Tools) and loads the extracted data to
the Target Application.
References
1. Standard: ISO 16730, IFC2x platform specification

2. Gokce KU, Gokce HU, Scherer RJ (2012) eeBIM for energy efficient building operations.
Proceedings of the 14th international conference on computing in civil and building engineer-
ing, 2729 June 2012, Moscow State University of Civil Engineering, Moscow, Russia, ISBN
978-5-93093-881-4
3. Nour M (2007) Manipulating IFC sub-models in collaborative teamwork environments. In:
Rebolj D (ed) W78 24th conference on information technology in construction, Bringing ITC
Knowledge to Work, Maribor, Slovenia
system for energy efficient building operations. J Sustainable Cities Soc 10:16173, Elsevier
Press
cient building operation. Ph.D. thesis, National University of Ireland, Cork, Ireland
6. Gokce HU, Gokce KU, Scherer RJ (2011) Holistic system architecture for low energy building
operations. Proceedings of the 10th international conference in sustainable energy technolo-
gies, Istanbul, Turkey, 47 Sept, ISBN: 978-605-88549-1-8
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process and product model and quality management, Ph.D. thesis, TU Dresden, Germany
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operations. J Sustainable Cities Soc 6:7784, Elsevier Press
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shop, Waiheke Island, Auckland, New Zealand
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uct modelling environments. In: Scherer RJ, Katranuschkov P, Schapke S-E (eds) Proceedings
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Construction Informatics, TU Dresden, Germany
17. Hietanen J (2006) IFC view definition format, Version 1., 2006 IAI International Alliance
for Interoperability. ISO 16793, IFC2x Platform Specification
Chapter 22
Virtual Energy Platform for Low Energy
Building Operations
Abstract In this research, a new Virtual Energy Platform is proposed to represent a

new and affordable ICT platform for energy-intensive systems for low energy
building operations targeting: (1) design and simulation of energy use profiles
addressing energy-intensive systems, building equipments, and services, (2) intelli-
gent and interactive management of energy consumptions via intelligent metering,
monitoring and control, and (3) innovative tools for energy efficiency service
provision providing continuous and accurate information to end-users and decision
makers. The proposed system architecture is composed of three integrated layers:
(1) data, (2) information, and (3) tool layers. For physical applications: (1) inte-
grated design tools, (2) energy simulation tools, (3) wireless sensors and actuators,
(4) wireless sensor networks, (5) middleware technologies, (6) data warehouse
technologies, (7) artificial intelligence based control systems and (8) monitoring
tools are addressed. The system architecture is implemented as an extension to
international standards (e.g. IFC 23 ISO/PAS 16730). The proposed system is
tested in a demonstration test-bed in Hannover, Germany.
Keywords Energy efficiency Artificial intelligence Wireless embedded devices

BIM
22.1 Introduction
At the moment sophisticated Building Energy Management (BEM) systems are

available worldwide. Building Energy Management (BEM) aims at the effective
and efficient usage of energy to maintain high building performance operation
[1]. However, their focus on energy performance rating of buildings is at best
sporadic often consisting of an ad-hoc combination of off-the-shelf building energy
management systems [2]. The absence of compatible hardware and communication

Faculty of Engineering, Department of Civil & Environmental Engineering,

protocols can become extremely problematic as seamlessly integrating these sys-

tems is an inefficient overhead.
Furthermore the engineering and deployment aspects of current systems require
extensive manual work with much trial-and-error in programming devices, com-
posing applications from devices, deploying devices in buildings with complex
radio propagation characteristics, and developing data structures for data acquisi-
tion and analyzing tasks [3]. Integrated IT tool support for these activities does not
exist; available tools are stand-alone products, often tied to specific standards.
These existing tools neither support the exchange of information between different
application stages nor do they consider the extension of an existing wired or
wireless monitoring and control systems during operation. This lack of appropriate
tools currently outweighs the benefit of software interoperability [4].
A promising approach to achieve a consistent structure considers the implemen-
tation of a modular platform that integrates multiple dimensions of building infor-
mation such as performance data (e.g. energy consumption, temperature, light),
system data (e.g., status, switch settings) and process data (e.g. inspection, mainte-
nance, repair) which supports integration concepts, holistic monitoring and analysis
methodologies, life cycle oriented decision support and information and commu-
nication technologies.
22.2 Research Objectives
This research aims to provide a holistic extensible and an integrated model driven
virtual system platform to enhance the management of large-scale complex net-
works, services and tools. In this context new network and management protocols
have been considered to develop frameworks and algorithms in order to support
mixed initiative configurations for energy efficient building operations. This pro-
vides seamless end-to-end network composition and service operation through
sensor and actuator hardware with dynamic features.
In order to address this aim, a project named DASSEB - Dynamic System
Architecture for Energy Efficient Building Operations which is supported by the
Scientific and Technological Research Council of Turkey was granted in 2010 and the
developed concept has been tested in a demonstration test-bed in Hanover-Germany.
22.3 System Architecture
The virtual energy platform proposed for energy-intensive systems is depicted in

Fig. 22.1. The developed system architecture addresses the implementation of a
modular platform composed of ICT building blocks that integrates multiple dimen-
sions of building information such as: performance data, system data and process
data which supports integration concepts, holistic monitoring, analyses and control
22 Virtual Energy Platform for Low Energy Building Operations 321
Fig. 22.1 Application layers for Virtual Energy Platform
methodologies. In the provided platform, the system architecture is implemented as

an extension to international standards (e.g. IFC 23 ISO/PAS 16730), that com-
plement and empower existing tools for design and operation management (FM).
This allows evaluating, simulating and optimizing the energy efficiency of built
facilities and facility components in variations of real life scenarios.
The Virtual Energy Platform is provided in three integrated layers.
22.3.1 Data Layer
22.3.1.1 Network Embedded Systems: Wireless

Sensor and Actuation (SA) Network
(1) Sensors, (2) Actuators.

Network Embedded Systems & SA Network research addresses the develop-
ment of wireless sensing infrastructure with novel miniaturized sensor nodes. The
main aim is to specify self-configurable, self-optimized, and self-healed wireless
sensor infrastructures.
22.3.1.2 Model Editors
(1) Design, (2) Energy Simulation.

The existing off the shelf design and energy simulation tools, are used to provide
4D design, energy simulation models and associated interfaces.
22.3.2 Information Layer
22.3.2.1 eeBIM (Building Information Model for Energy Efficiency)
(1) Building Product Model (IFC), (2) Building Performance Model (IFCExt).
A new product and process partial model specification eeBIM is proposed
utilizing formal standard definitions (data & functions) of engineering building
components (e.g. pumps, valves), systems (e.g. Air handling units, heat pumps,
solar panels) and sensors (temperature, relative humidity, CO2, VOCs) as
specified by professional institutions CIBSE and ASHRAE.
The proposed eeBIM partial model is developed based on an ISO standard data
model (Industry Foundation Classes (IFC) ISO16730) that facilitates seamless
interoperability of the BIM with upstream activities that include information
management platform and downstream activities that include communication
with the design and energy simulation models.
22.3.2.2 Middleware for Sensor and Actuation Network (SA)
A prototype of an embedded web-service based middleware is addressed to

enable the wireless sensor/actuator network to interact with the information
management platform via web-service protocols.
22.3.2.3 Extraction Transformation, Loading Tool
Extraction, Transformation, Loading Tool (ETL) is developed to support inte-

grated system applications. In this research, the proposed ETL Tool can extract,
transform and load required data from heterogeneous models and applications
i.e. sensed data from SA network, 4D building and energy simulation models from
CAD and energy simulation tools to be used in information management platform.
22.3.2.4 Information Management Platform
Data warehouse core is addressed that stores summarized information instead of

operational data. This summarized information is time-variant and provides
effective answers to queries such as Energy consumption of a particular room
in a particular building when the outside temperature is 21 C. [5]. The aim of
the data warehouse component of the proposed system is to: (1) Collect dynamic
data from different sources such as wired/wireless sensors and meters; (2) Map
the dynamic data with data extracted from CAD tools and energy simulation
tools; (3) Perform multi-dimensional data aggregation to support decision mak-
ing process.
22.3.3 Tool Layer
22.3.3.1 Monitoring Tool
A monitoring tool is developed to perform building performance monitoring

enabling more efficient performance analysis. This is achieved based on a Java
based interface which enables end users easy querying without dealing with
complex SQL statements.
22.3.3.2 AI Based Control Tool
An artificial intelligence (AI) based control tool is addressed which optimizes

user comfort and energy efficiency, based on preference-based control system.
The learning algorithms which will be used to estimate the expected occupant
comfort degree based on a database of previous responses is researched.
22.4 System Components
The complexity of the proposed platform requires scenarios. In this context four
scenarios are developed: (1) Data Aggregation and Representation, (2) Building
Performance Analysis and Diagnostics, (3) Management of Maintenance Activi-
ties, and (4) Intelligent Building Control.
In this paper, the details associated with the first scenario, Data Aggregation and
Representation is presented. In this case, the dynamic data collected from the wired/
wireless sensor/meter network and the persistent data extracted from the BIM tools
should be stored, aggregated and represented to the end-users for performing multi-
dimensional analysis of the building performance. The system extracts sensor data
from building management systems and from the wireless sensor/meter network.
Collected sensor/meter data is stored in the operational data store for data cleansing
and redundancy check processes. This pre-processed data is loaded to the fact data
section of the data warehouse system via an Extraction, Transformation, and
Loading (ETL) tool. Simultaneously, data gathered from the building information
model is loaded to the dimensional data section of the data warehouse. Loaded fact
data and dimensional data is aggregated with regards to different stakeholder
requirements in the data warehouse system and presented through specific Graph-
ical User Interfaces [5]
The first scenario addresses: (1) Model Editors (development of eeBIM partial
model), (2) Network Embedded Systems, (3) Wireless Sensor & Actuation Net-
work, (4) Information Management Platform, (Middleware for SA networks, ETL
tool and Data Warehouse Services), and (5) Monitoring Tool.
22.4.1 Model Editors
In this context, two model editors have been considered as: (1) Design Tool to
develop BIM Model, and (2) Energy Simulation Tool to develop Energy Simulation
Model.
22.4.2 Design Tool: Building Information Model
The design tool provides the 3D Building Information Model (BIM) for the energy
simulations and the information management platform. The required information
is formed based on the IFC View for eeBIM (partial IFC model for energy
efficient building operations), (for details see [6]). In our case, four different
Computer Aided Design (CAD) systems have been considered and their capabil-
ities have been analyzed: (1) Autodesk Revit, (2) Microstation, (3) ArchiCAD, and
(4) DDS-CAD. The interoperability of these tools with other software tools has
been examined. In particular the Industry Foundation Classes (IFC) compatibility
is researched. In terms of IFC, all CAD systems are compatible with the latest
version of IFC23. From an interoperability perspective, all CAD systems claim
to offer some form of import/export functions between systems. In this regard,
Autodesk Revit has been chosen which is composed of Revit Architecture and
Revit MEP (Mechanical Electrical and Plumbing). Autodesk Revit Architecture
[7] is a 3D drawing tool which encompasses all the information aspects necessary
to cover the lifecycle of a building. This allows for intelligent, 3D and parametric
object-based design [7]. In this way, Revit provides full bi-directional associative
integration. A change anywhere is a change everywhere, instantly, with no user
interaction to manually update any view. Revit MEP is specialized specifically
for design and documentation of building services [7]. It combines all of the
tools and capabilities of Revit Architecture with realistic and detailed building
services equipment. An important feature of Revit MEP is the availability of
product libraries which contain families of accurate parts and equipment used
for construction [7].
22.4.3 Energy Simulation Tool: Energy Simulation Model
Current Energy Simulation tools can be used to model and predict building energy
performance. With the proposed Virtual Energy Platform in this research, it is
possible to compare the design intent and actual energy performance data which
supports calibration of BIM models. For this purpose, the Integrated Environmental
Solutions (IES) plug-in which provides energy simulations on the Revit MEP
Model has been chosen. IES is an energy simulation software package [8]. IESs
Revit plug-in Toolbar allows Revit Architecture and MEP to import a 3D BIM
model into IESs software and undertake energy and thermal analysis [8]. Informa-
tion is required regarding building type, construction materials, and heating and
cooling system types which are determined in the IFC View for eeBIM model
specified in the information management platform. Once the model is established,
all IES performance analyses are accessible for the model. While Revit has
excellent drafting and 3D modeling properties, and often plays a central role in
projects, it currently does not perform its own energy simulation. Rather, it relies
entirely on IES. Therefore, from an energy simulation point of view, the use of
Revit MEP cannot be justified. In this sense, its only function is to create the
building geometry and properties before exporting to IES [4].
22.4.4 eeBIM: Partial IFC Model for Energy

Efficient Building Operations
The output of 3D BIM and Energy Simulation models combined in eeBIM partial
IFC model. The required data is specified based on the (1) developed energy
management sub-schemas, and (2) dimensions developed in the information man-
agement platform addressing different requirements (for details see [6]). The partial
IFC model omits object classes that are not relevant for the targeted energy
requirements. These requirements defined based on data queries for different
systems and stakeholders complying with the formal standard definitions.
22.4.5 Wireless Sensor and Actuation Network
A Wireless Sensor & Actuation Network (WSAN) consists of spatially distributed

autonomous devices using: (1) sensors and (2) actuators, in order to monitor and
control the physical environment at high resolution. The sensors, also called motes
are installed in particular locations or can be sprayed in a particular zone to gather
information such as temperature, humidity, CO2, and Lux level. The real function-
ality of these sensors and actuators is demonstrated when they start communicating
with each other within wireless sensor & actuation networks. WSAN can shuffle the
information collected through the sensors and transfer it to the public internet and or
a local area network. Finally, the information is collected in the data warehouse
where it is analyzed, are used to manage and control zones with installed actuators
on specific systems, tools, components e.g. on windows, doors, home appliances.
22.4.6 Wireless Sensor Network Design

for Prototype Development
Wireless systems are composed of wireless sensors, meters, and actuators, on top of
which rests a wireless network platform. In this research the wireless sensor
network architecture is developed based on recently released IETF 6LoWPAN
(RFC 4944) open standard for IP communication over low-power radio links
IEEE 802.15.4. LoWPAN networks are connected to other IP networks through one
or more border routers forwarding information packets between different media
including Ethernet, Wi-Fi or GPRS. The IP architecture offers widespread com-
mercial adoption and broad interoperability due to its openness, flexibility, scal-
ability and manageability. A number of industrial standards, including BACNet,
LonTalk and CIP, introduced an IP using either TCP/IP or UDP/IP over Ethernet.
22.4.7 IEEE 802.15.4 Sensor Nodes Forming

6LoWPAN Network
Wireless sensors can be developed to detect and measure various parameters such
as temperature, humidity and water/gas/electricity meter readings. A sensor node in
a network, called a mote, mainly consists of three components: the sensor interface,
which measures the physical attributes such as the humidity level; the radio
interface, which communicates with other motes; and the CPU, which performs
computations and transfers information between the two components. The used
board in our case is equipped with an Atmega1281 MCU and EM2420 radio chip.
The platform includes sensors for monitoring airtemperature, airhumidity and
light. Moreover the platform incorporates electricity meters as well as the interface
for controlling (on/off) an AC load are utilized. The platform runs the recently
released b6LoWPAN stack.
22.4.8 IEEE 802.11 Gateways as 6lowPAN/IPv6 Routers
Soekris embedded PC boards [9] with Atheros CM9 Wi-Fi cards and a single
IEEE802.15.4 node form a backbone network spanning all the rooms of the test
building. Soekris net4521 is a compact, low-power, low-cost computer based on a
133 MHz 486 class processor which supports power over ethernet (PoE). These
features make Soekris an attractive solution when selecting a wireless communi-
cation backbone for the sensor networks. It has also been optimized for use as
wireless router and has been designed for FreeBSD, NetBSD, OpenBSD and Linux.
22.4.9 Middleware for Sensor and Actuation Network (SA)
Middleware is a software layer that lies between the operating system and applica-
tions on each side of a distributed computing system in a network [10]. Middleware
is especially integral to modern information technology based on XML, SOAP,
Web services, and service-oriented architecture. Service-Oriented Architecture
(SOA) is an approach to organize IT resources and data collectively in order to
enable integration between different technologies and allow for standardized data
interaction [11]. SOA focuses on interoperable, robust, reusable, and compassable
services that abstract the application functionality and data of each technology.
Two important aspects of implementing a successful SOA are Web Services and
Ontologies. While Web Services are partially integrated in Building Management
Systems a consistent SOA is still missing [1215]. Modern information manage-
ment technologies allow reducing the parameterization effort, thus capable to
respond to complex query profiles required for sophisticated decision support.
However, the specific content is to be imported from other data sources such as
BIM, WSAN and even existing Building Energy Management Systems for data
analyses to represent the building energy performance data. In our case, a prototype
of an embedded web-service based middleware is addressed to enable the wireless
sensor/actuator network to interact with the information management platform via
web-service protocols. The proposed middleware platform aggregates the required
data via web-service protocols. The integrated model to ensure consistency across
the systems interfaces and middleware services provided.
22.4.10 Extraction Transformation and Loading Tool
Data needs to be loaded to the data warehouse regularly [3]. In order to do this, data
from one or more operational systems needs to be extracted and loaded into the
warehouse. The process of extracting data from source systems and bringing it into
the data warehouse is commonly called ETL, which stands for Extraction, Trans-
formation, and Loading [16]. For the proposed system, the ETL tool is used to
populate the fact data table which stores long term dynamic data such as the
measurement stream. Also, the ETL Tool can be used to populate Dimensional
Tables which stores relatively static data such as architectural data and building
HVAC systems data [5]. The ETL process developed for this research populates the
fact data table [5];
Extracts data from the current building management system (BMS) comma
separated values (CSV) file archive,
Eliminates inconsistencies such as duplicate rows,
Transforms the CSV file structure to the data warehouse fact data table structure,
Loads the CSV files to the data warehouse fact data table.
Also, the ETL tool is used to populate the dimensional tables which can be
populated by extracting data from the CAD tool.
22.4.11 Information Management Platform

(Data Warehouse Services)
The proposed system enables continuous monitoring to tune building systems for
optimal comfort and peak efficiency based on current operational requirements. As
a result, the holistic N-dimensional information management system, which is
supported by data warehouse technology to provide required tools and methods
for building performance monitoring, enables more efficient performance analysis
and dramatic energy savings [5]. In this case, the Information Management Plat-
form is structured based on the Data Warehouse Core.
22.4.12 Data Warehouse Core
Data warehousing systems provide a number of alternative ways to integrate and

query stored information. Thus, a data warehouse coupled with On-Line Analysis
Processing (OLAP) enables end-users to creatively approach, analyze and under-
stand the building performance under different circumstances [5]. The data ware-
house stores summarized information instead of operational data. This summarized
information is time-variant and provides effective answers to queries such as
Energy consumption of a particular room in a particular building when the outside
temperature is 21 C. [5].
The aim of the data warehouse component of the proposed system is to:
Collect dynamic data from different sources such as wired/wireless sensors and
meters.
Map the dynamic data with data extracted from CAD tools, energy simulation
tools and performance specification tools.
Perform N-dimensional data aggregation to support the decision making
process.
The Data Warehouse component consists of three sub-components [5]:
Operational Data Store: ODS is a database designed to integrate current valued
subject oriented, volatile and real time data from multiple sources such as the
building management system, wireless sensor network and energy unit prices.
Fact Data and Dimensional Data: This is the main repository for long term
storage of dynamic data. Data collected and temporally stored in the ODS
populates the fact data table.
Aggregated Data: This is the decision support level of the multi-dimensional

data warehouse. Fact data become meaningful when it is associated with the
dimensional data and provides the end user the means to "slice and dice" data.
22.4.13 Monitoring Tool
The common goal of the Monitoring Tool is to represent the building performance
information to the end users in regards to their roles and functions [2]. The aim is to
design and implement a user friendly Graphical User Interface (GUI). In order to
achieve this, a Java based interface is developed which enables end users to query
without dealing with complex SQL statements. Also, this GUI can represent query
results both in graphical format and/or tabular format according to the end users
preference. There are two main utilization scenarios considered for the system,
performance monitoring and on-site diagnostics, resulting in the application of two
different types of user interfaces: (1) Desktop Application for performance evalu-
ation (2) Mobile Application for facility management and building diagnostics.
22.5 Case Study
The first scenario, Data Representation and Aggregation has been currently in
validation in Hanover Germany. The sample building is an office building. The
building has 5 storeys including a basement. The following steps were undertaken
to apply this scenario: (1) Building and Building systems have been modeled using
building information modeling editor (Autodesk Revit); (2) Building energy per-
formance has been simulated using the energy simulation tool (EIS); (3) Wireless
sensors and actuator have been deployed in two rooms for comparison purposes;
and (4) Data warehouse services have been implemented.
22.6 Possible Energy Saving Improvements
Based on the deployment of a WSAN and the information provided by the BIM,
results of the case study have demonstrated possible energy saving improvements
that can be applied:
Centralised Heating Plant: On large mixed use developments, as in our case the
diversity which can be applied to heating is as low as 1215 %.
Centralised Ventilation: This could be implemented but requires too much
vertical ventilation space. Also, ownership and maintenance issues would
cause complexities.
Heat Recovery: Air to air heat recovery devices can retain up to 75 % of heat.
These devices are not as efficient in summer because of the lower temperature
difference between internal and external air.
Night Purge: This works by allowing cooler night air to naturally enter a space
and remove heat from the building. The very heavy thermal mass of the building
can be utilised for free cooling of buildings in summer. The construction of the
building is already suited to this.
Solar Thermal Heating: The panels on the roof and the shades on south facing
facades could provide a sizable amount of hot water requirements for domestic
washing and cleaning. These panels are economically viable and should also
prove useful in Germany.
Photovoltaic: This could be utilised for electricity generation in Germany with
longer sunshine hours and opportunity to sell the surplus energy back to grid.
22.7 Conclusions
The European directive EPBD (Energy Performance Building Directive 2002/91/

EC-2006/32/EC) requires a dramatic change in the way buildings are analysed
[4]. Current building performance analysis focuses on assessment at earlier stages
of the building life cycle (BLC) with less analysis at the later stages of operation
and maintenance. The Virtual Energy Platform for Energy Efficient Buildings
described in this research enables a continuous assessment process throughout the
Building Life-cycle by combining the data from different sources and phases in a
single data repository. A single data warehouse processing geometrical, material,
simulated and real time data provides enhanced decision making capabilities to the
stakeholders. Model editors and simulation tools with industry standardized inter-
operability capabilities provide a dynamic information flow for efficient building
operations. The test bed demonstrates the potential of the proposed system. Based
on initial results, it enabled continuous building energy analysis from design
through building operation. Also, the results lead to possible energy saving
improvements. Finally, the system maintains the basis for: improving building
performance, developing intelligent control routines, and implementing fault diag-
nosis measures.
References
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McGraw-Hil/Osborne. ISBN-13: 978-0072253511 2004
Chapter 23
The Studies of Environmental Ionizing
Radiation Curriculum Indicators
for Taiwans Elementary and Junior
High School
Chien-kuo Ku and Cheng Da Wu
Abstract This studies aims at constructing environmental ionizing radiation

curriculum indicators for Taiwans elementary and junior high school, and provid-
ing guidelines for schools and education administration to promote ionizing radia-
tion curriculum. This studies utilizes Fuzzy Delphi and Analytical Hierarchy
Process to undertake two stages of questionnaires, compile opinions and views
from 25 experts, in order to construct environmental ionizing radiation curriculum
indicators. Research results shows: (1) Utilizes Fuzzy Delphi and selected 36 eval-
uation indicators under five levels of knowing radiation, the application of
radiation in daily life, the monitor of ionizing radiation, and emergency mea-
sures for nuclear accidents. (2) Utilizes Analytical Hierarchy Process to decide the
priority of the environmental ionizing radiation curriculum indicators.
The structure of ionizing radiation curriculum indicators and opinions made by
experts in questionnaires are referred, and summed up some key elements to imple-
ment. For Taiwan elementary and junior high schools, they can refer to environmen-
tal ionizing radiation curriculum indicators, in order to develop and evaluate the
implementation and effectiveness. The priority can be referred when select the topics.
Keywords Ionizing radiation Curriculum indicators Fuzzy Delphi
C.-k. Ku (*)
Department of Applied of Physics and Chemistry, University of Taipei, Taiwan, No.1,
Ai Kuo West Road, Chung Zheng District, 10048 Taipei, Taiwan
C. Da Wu
Department of Applied of Physics and Chemistry, Ming Zhi Elementary School,
Tai Shan Area, New Taipei, Taiwan

334 C.-k. Ku and C. Da Wu
23.1 Foreword
Since the discovery of X ray, radiation is closely connected with human daily life.
In fact, radiation is always surrounded, but people are just unaware about that, and
we even enjoy some service brought by the radiation.
In March 11, 2011, Japan occurred huge earthquake at local time 1426, which
induced tsunami, and Fukushimas nuclear incidents. As Taiwan is only a few
hundred miles from Japan, it certainly caused panic among Taiwan people toward
ionizing radiation. Therefore, how to plan for the environmental ionizing radiation
education, understanding natural radiation and man-made radiation, increase the
knowledge of prevention and protection of nuclear incidents, integrate into schools
curriculum and provide people with knowledge of ionizing radiation, become an
urgent education task.
Atomic Energy Council, Executive Yuan has indicated radiation prevention and
protection, nuclear safety, radioactive material, nuclear incident emergent mea-
sures, knowing atomic energy law and environmental radiation monitor are the
major education campaign. Taipower Company has also listed items like natural
background radiation, radiation regulations, radioactive emission control, radiation
monitor items and range, radiation monitor results and radiation monitor quality as
important announcement content.
As New Taipei City has located first nuclear plant, second nuclear plant, and
fourth nuclear plant which is going to be operated soon, therefore new Taipei city
government is especially concerned about related prevention and safety mechanism
and educational campaign. Thus, in the official disaster webpage, it introduced
Japan earthquake, tsunami, nuclear disaster related issue Q&A, what to do during
nuclear accidents, and temporary shelter in the education campaign site. It also
established nuclear energy zone, provided the introduction of emergency measures
during nuclear accidents, and nuclear energy Q&A, and even used online link to
provide nuclear education transparent data system, to let the public understand
radiation and nuclear energy related information.
Therefore, the research purpose is to construct the range and learning indicators
of environmental ionizing radiation curriculum, based on the six main factors
promoted by the Energy Atomic Council, Executive Yuan, collect related literature
to construct elementary and high school environmental ionizing radiation curricu-
lum indicators, and provide references for the educational administration in terms
of implementation and goals of implementation.
The main purpose of the research:
Understanding content and implementation factors of local and international
environmental ionizing radiation curriculum indicators.
Constructing the promotion and implementation items of environmental ioniz-
ing radiation curriculum in elementary and high schools.
Exploring the priority relationship between the promotion and implementation
of environmental ionizing radiation curriculum.
23 The Studies of Environmental Ionizing Radiation Curriculum Indicators. . . 335
23.2 Introduction
Since our environment is full of radiation, and affect our life, such as agricultural
products, watches, clocks, smoke detectors and other daily articles, and even
industry application, and environmental protection application [13]. This society
is inevitable with the radiation. Therefore the radiation is existed in the society. The
public should have the right and obligation to know more about radiation. The
topics that contain in local and international environmental ionizing radiation
curriculum are compiled in Table 23.1.
In order to let people understand, the content has to be adjusted. Therefore, this
paper outlined the related indicators from simple to difficult, to construct environ-
mental ionizing radiation curriculum indicators in a systematic way. And below is
the implementation of local and international environmental ionizing radiation
curriculum (Table 23.2).
23.3 Research Method
The research utilizes Fuzzy Delphi and AHP [1316], which consult experts
regarding some topics to make some prediction. At the same time, related literature
is analyzed, school environmental education indicators are referred, and a compi-
lation of the curriculum indicators structure is completed. And the research utilized
Fuzzy Delphi questionnaires to obtain opinions from 25 scholars and experts, and
integrated the first stage of results, and utilizes Analytical Hierarchy Process to
decide the priority and comparative priority of each evaluation indicators. The
research procedure is as follows (Fig. 23.1):
23.4 Research Results and Discussion
Fuzzy Delphi and calibration analysis

The first stage of expert questionnaire is based on Fuzzy Delphi, and also the
concept of triangle fuzzy to select the curriculum indicators of environmental
ionizing radiation indicators, which is a total of 35 indicator items. In the first
stage of questionnaire, there is one to ten selection items according to priority,
and also adding not agree as evaluation item, so that experts opinions should
be more complete. In the first stage of questionnaire, the average score of
disagree opinion is 1, which is 4 % of all experts. The setting of the research
original evaluation indicators are the minimum score for fuzzy value 6.3894,
geometric average score of 8.1787, and maximum score 9.2660, and created a
triangle fuzzy value Wwk (6.3894, 8.1787, 9.2660), and used center of gravity
to turn into single value Sk 7.9447, as the threshold for self evaluation
Table 23.1 Compilation of environmental ionizing education related literature review

Scholars/experts Environmental ionizing radiation curriculum
Bao-Shan, Ong [4] Provide reference and teaching material for Radiation
Application senior course. Radiation education should
include:
1. The measurement and quantity of radiation
2. Biology effectiveness and prevention standard
3. The source of natural radiation
4. The kinds of natural radioactive and radiation
5. The application of natural radiation.
6. The source of medical used radiation.
7. The study of radiation source.
8. Nuclear plants and radiation safety.
9. The industry application of radioisotope.
10. Other application of radioisotope.
11. X-ray camera technique.
12. The concept of neutron camera technique and
industry application.
Tian-ge Wang [5] Topics of books about atomy, nuclear and radiation which
are targeting youngsters are as follows:
1. What forms the world.
2. The mystery of radiation.
3. Mysterious world.
4. Nuclear era.
5. What do you know about radiation.
Shu-Ren, Cheng [6] The application of radioactive elements:
1. The discovery of radioactive elements.
2. The characteristics of radioactive elements
3. The decay of radioactive elements.
4. Man-made radioactive elements.
5. The basic principle of radio isotope application.
6. The application of radioisotope in research studies.
7. The application of radioisotope in transportation
and military.
8. The application of radioisotope in hydrology and
earth science.
9. The application of radioisotope in drugs and food
industry.
10. The application of radioisotope in agriculture and
fish industry.
11. The application of radioisotope in medical industry.
12. The application of radioisotope in industry.
13. The application of radioisotope in nuclear power.
14. The prevention and monitor of radioactive elements.
15. The disposal of nuclear waster.
Zheng-Yi, Lin, Zao-chong, Provide with nuclear power related topics:
Liao, Shao-Pei, Su, Jun-Quan, 1. Knowing nuclear power
Yao, Jin-Yuan, Yu, Hai-Nan, 2. The heart of nuclear plant-nuclear reactor
Xiao [7] 3. Radiation and radiation prevention.
4. The operation and risk of nuclear plant
5. Nuclear safety and emergency plans.
(continued)
Table 23.1 (continued)

Scholars/experts Environmental ionizing radiation curriculum
6. Radiation waste.
7. Environmental protection of nuclear plants.
8. Earthquake prevention of nuclear plants.
9. Nuclear plants are not atomic bombs.
10. The development of international nuclear development.
Atomic Energy Council, O Knowledge about nuclear power are as follows:
Executive Yuan [8] 1. The introduction of nuclear water plants.
2. The safety concept of nuclear power.
3. The control of nuclear safety.
4. The prevention of radiation.
5. The management of radiation waste.
6. Environment protection.
7. The nuclear energy campaign and communication.
8. International cooperation.
9. The peaceful use of atomic energy.
Fuel Cycle and Materials Knowing Radiation Waste
Administration, Atomic 1. Knowing radiation.
Energy Council, Executive 2. The source of radiation waste.
Yuan [9] 3. The characteristic of radiation waste.
4. The classification of radiation.
5. The life of radiation waste.
indicators. The selection principle is that the number of people of assessment

factor is more than 90 %, and the fuzzy priority is more than Sk 7.9447. When
both are met, then they will be listed in the assessment factors (Table 23.3).
The survey of hierarchy analysis and test analysis
The second stage of questionnaire is hierarchy analysis questionnaire. The first
stage of Fuzzy Delphi has sifted five groups of curriculum indicators and
35 curriculum indicators, and has gone through comparative in pairs, to obtain
priority among indicators. This second stage of questionnaire analysis is calcu-
lated based on Expert Choice (11.5version), included major priority, secondary
priority, and unity indicator C.I. After the analysis of statistics, qualitative
research is used to describe environmental ionizing radiation curriculum indi-
cators, as the foundation of environmental ionizing radiation indicators. After
the analysis of experts questionnaire, the local priority of the environmental
ionizing curriculum indicators are described in Table 23.4, in order to under-
stand indicators of the local priority in the same level.
Overall, on the third level of 35 indicators, the first nine priorities are 4-1-1
Taiwans environmental monitor 0.132, 5-1-1How people carry out radiation
prevention and protection0.114, 1-4-1Health effect0.096, 4-1-2 Environmental
radiation monitoring management 0.082, 5-1-2 Radiation safety consultancy
0.062, 3-1-1 characteristic of nuclear power generation0.054, 3-3-3 prevention
of nuclear power generation0.042, 1-3-1general ionizing radiation vol-
ume0.034, 1-5-2prevention of ionizing radiation0.033. For the first nine
Table 23.2 Constructing indicators of environmental ionizing radiation curriculum

Literature source Cases of promotion and content
Environmental protection Group, In order to build up accurate concept about nuclear
Ministry of Education Radiation energy and radiation prevention and protection
and Nuclear Energy [10] for students, the environmental protection group
has outlined nuclear energy and adiation
education teaching mode for the use of schools.
The contents are as below:
1. What is radiation?
2. The radiations application and influence
towards human.
3. The prevention and protection of radiation.
4. The monitor of environmental radiation.
5. The nuclear plants and radiation monitoring.
Japans Ministry of Education, Culture, 1. What is radiation?
Sports, Science and Technology 2. Radiation, what is it for?
Radiation supplementary teaching 3. What will radiate?
material 4. What will happen after radiation is exposed?
Elementary School [11] 5. How to measure radiation?
6. How to protect oneself from radiation?
Tsing-Hua University The content of Science Education Center are as
TEENS [12] follows:
1. Online exhibition of nuclear knowledge.
(a) Knowing nuclear energy
(b) The history of nuclear energy
(c) The safety of nuclear energy
(d) Knowing nuclear power generation.
(e) What is nuclear waste
2. Knowing nuclear power generation-introduce
(a) Chain reaction
(b) Continuous nuclear fission
(c) Types of reactors.
3. Our neighbor-Fubao, introduction of e-comics.
(a) Radiation and radioactive material
(b) The principle of nuclear power generation and
nuclear plants safety
(c) Emergency plan for nuclear plants.
4. Introductions of atomic scientists
indicators, levels of knowing radiation, monitoring environmental radiation,

and the emergency measure of nuclear accidents sweep up seven indicators. This
shows that experts emphasized on those three levels of indicators.
The priority of each indicator can be references to the development of environ-
mental ionizing radiation education or the implementation of certain indicators, in
order to meet the demands of each school. The following is the priority of the third
level of indicators, and it is graded in percentage, please see Table 23.5.
Research motivation and purpose
Literature Review
The implementation cases of

The related literature review of local and
local and international
international environmental ionizing
environmental ionizing
radiation education
radiation curriculum
Determine research scope and method
Outline environmental ionizing radiation curriculum indicators
Fuzzy Delphi Questionnaires and Ensure environmental ionizing radiation curriculum
AHP
Establishing priority of environmental ionizing radiation curriculum indicators
Conclusion and suggestion
Fig. 23.1 Research procedure
Table 23.3 The revised table of environmental ionizing radiation curriculum

First level
of indicator Second level of indicators Third level of indicators
1. Knowing 1-1types of radiation 1-1-1Ionizing radiation.
radiation 1-1-2Non-ionizing radiation.
1-2source of ionizing 1-2-1Natural radiation.
radiation 1-2-2Man-made radiation.
1-3Measurement 1-3-1volume of normal ionizing
of radiation radiation.
1-4The influence 1-4-1Health effect.
of radiation toward
human
1-5The characteristic, 1-5-1The characteristic of radiation
prevention, materials.
protection and 1-5-2The prevention of ionizing
warming of radiation.
radiation. 1-5-3Labels of warning.
(continued)

First level
of indicator Second level of indicators Third level of indicators
2. The application 2-1Medical 2-1-1Medical checkup
of radiation application. 2-1-2Cancer treatment.
in daily life. 2-1-3Volume of medical ionizing
radiation.
2-2Agricultural 2-2-1Plant disease prevention.
application. 2-2-2Improvement of agricultural
products
2-3Industrial application. 2-3-1Examination of X ray
2-3-2Measurement of thickness and
height.
2-3-3Followup leaking.
2-3-4 Sterilization and harden
2-4Research 2-4-1 Measure and decide the year
and fault.
2-4-2Detect the leaking of reservoir
2-5The application 2-5-1The security of police and military
of security 2-5-2Security of airports and custom
2-5-3 Fire and Smoke detector.
3. Radiation and 3-1Nuclear power 3-1-1The characteristic of nuclear power
nuclear plants. generation. generation.
3-2Radioactive waste 3-2-1 Source of radioactive waste
3-2-2The disposal of radioactive waste
3-2-3 The storage of radioactive waste
3-2-4The settling of radioactive waste
3-3Taiwans nuclear 3-3-1 The distribution of nuclear plants
plants 3-3-2 The power generation principle of
nuclear plants
3-3-3 Security of nuclear power
4. The monitor of 4-1the monitor of 4-1-1Taiwan environmental radiation
environmental environmental monitoring.
ionizing radiation. radiation. 4-1-2 The management of environmental
radiation
5. Emergency 5-1The prevention 5-1-1 Publics prevention measures
measures measures of nuclear during nuclear accidents
of nuclear accidents 5-1-2 Radiation safety consultancy
incidents.
23
Table 23.4 Main, secondary and third levels of indicators

Main indicators Priority Order Second level of indicators Priority Order Third level of indicators Priority Order
Knowing priority 0.296 1 Types of radiation 0.131 4 Ionizing radiation 0.090 6
Non-ionizing radiation. 0.036 9
Radiation source 0.170 3 Natural radiation 0.093 5
Man-made radiation. 0.090 6
The measurement of radiation 0.116 5 Average volume of radiation. 0.086 8
The influence of radiation 0.323 1 Health effect 0.209 1
toward human
ChCharacteristic, prevention 0.259 2 Characteristic of radioactive material 0.126 3
and warning labels. Prevention of radiation 0.143 2
Warning label 0.126 3
The application of 0.158 4 Medical application 0.407 1 Medical checkup 0.159 1
radiation in daily life Cancer treatment 0.153 2
The volume of radiation. 0.136 3
Agricultural application 0.103 5 Prevention of plant disease 0.039 10
Improvement of agricultural products. 0.039 10
Industrial application. 0.184 3 Examination of X ray 0.057 7
Measurement of thickness and height. 0.051 8
Traces of leaking 0.034 12
Sterilization and harden 0.043 9
Application of research 0.119 4 Measure and decide the year and fault. 0.027 14
The Studies of Environmental Ionizing Radiation Curriculum Indicators. . .
Detect leaking of reservoir 0.034 12

Application of safe check 0.187 2 Security of airports and custom 0.061 6
Security check of airports and custom 0.080 5
Smoke detector. 0.086 4
(continued)
341
342
Main indicators Priority Order Second level of indicators Priority Order Third level of indicators Priority Order
Radiation and nuclear 0.157 5 Nuclear power generation 0.157 3 the characteristic of nuclear power 0.131 3
plants generation.
Radioactive waste 0.208 2 Source of radioactive waste 0.102 4
The disposal of radioactive waste 0.070 7
The storage of radioactive waste 0.079 6
The settling of radioactive waste 0.054 8
Taiwan nuclear power plants 0.450 1 The distribution of nuclear plants 0.080 5
The power generation principle of 0.158 2
nuclear plants
Security of nuclear power. 0.326 1
Monitor of environ- 0.214 2 environmental radiation 0.616 1 Taiwan environmental radiation 0.569 1
mental ionizing monitoring monitoring
radiation. The monitoring management 0.384 2 The monitoring management of envi- 0.431 2
of environmental radiation ronmental radiation
Emergency of nuclear 0.176 3 Publics prevention measures 0.649 1 Publics prevention measures during 0.710 1
accidents. during nuclear accidents nuclear accidents

Radiation safety consultancy 0.351 2 Radiation safety consultancy 0.290 2
C.-k. Ku and C. Da Wu
Table 23.5 Scores of indicators on the third level

Priority Scores of indicators
Third level of indicators value (A) (A*100 %)
1-1-1Ionizing radiation 0.022 2.20 %
1-1-2Non-ionizing radiation 0.009 0.9 %
1-2-1Natural radiation 0.023 2.3 %
1-2-2Man-man radiation 0.022 2.2 %
1-3-1Volume of general ionizing radiation 0.021 2.1 %
1-4-1Health effect 0.052 5.2 %
1-5-1Characteristic of radioactive material 0.031 3.1 %
1-5-2The prevention of ionizing radiation 0.035 3.5 %
1-5-3Warning label 0.031 3.1 %
2-1-1Medical checkup 0.042 4.2 %
2-1-2Cancer treatment 0.040 4.0 %
2-1-3Volume of medical ionizing radiation 0.036 3.6 %
2-2-1The prevention of plant disease. 0.010 1.0 %
2-2-2Improvement of agricultural products. 0.010 1.0 %
2-3-1Checkup of Xray 0.015 1.5 %
2-3-2Measurement of thickness and height. 0.013 1.3 %
2-3-3Detect leaking. 0.009 0.9 %
2-3-4Sterilization and harden 0.011 1.1 %
2-4-1Trace the year and fault. 0.007 0.7 %
2-4-2Detect the leaking of reservoir 0.009 0.9 %
2-5-1The security of police and military 0.016 1.6 %
2-5-2Security of airports and custom 0.021 2.1 %
2-5-3Fire control and smoke detector 0.023 2.3 %
3-1-1The characteristic of nuclear power generation 0.018 1.8 %
3-2-1Source of radioactive waste 0.014 1.4 %
3-2-2The disposal of radioactive waste 0.010 1.0 %
3-2-3The storage of radioactive waste 0.011 1.1 %
3-2-4The settling of radioactive waste 0.008 0.8 %
3-3-1The distribution of nuclear plants 0.011 1.1 %
3-3-2The principle of nuclear power generation 0.022 2.2 %
3-3-3Security of nuclear power 0.045 4.5 %
4-1-1Taiwan environmental radiation monitoring. 0.077 7.7 %
4-1-2The monitoring management of environmental 0.059 5.9 %
radiation
5-1-1Publics prevention and safety measures during nuclear 0.153 15.3 %
accidents
5-1-2Radiation safety consultancy 0.062 6.2 %
0.998 99.8 %
23.5 Conclusion
This research aims at constructing environmental ionizing radiation curriculum

indicators, based on the environmental ionizing radiation related education and
campaign implemented by Atomic Energy Council, Executive Yuan. The construc-
tion of the indicators is to provide references for each school in promoting envi-
ronmental ionizing radiation curriculum, so that Taiwan elementary and high
school can establish implementation program of the environmental ionizing radia-
tion curriculum, in the mode of environmental education.
This research undertakes questionnaires through Fuzzy Delphi and Analytical
Hierarchy Process, in order to establish the structure of Taiwans elementary and
high school environmental ionizing radiation curriculum. It is hoped that Taiwans
elementary and high school, educational administration institute can refer to the
indicators while promoting environmental ionizing radiation curriculum.
According to the literature, the initial structure is outlined, and sifted through
Fuzzy Delphi questionnaires, to construct environmental ionizing curriculum indi-
cators. There are a total of five main indicators in the first level, knowing
radiation, radiation in daily life application, radiation and nuclear plants,
the monitoring of environmental ionizing radiation, and the emergency mea-
sures of nuclear accidents, and 35 indicators underneath.
Main indicators-the priority of first level of self evaluation : According to the
priority value of the original survey, the priority of self-evaluation indicators
analysis is the level of knowing radiation 0.296, the monitoring of environ-
mental ionizing radiation 0.214, the level of emergency measures of nuclear
accidents 0.176, the application of radiation in daily life 0.158, the level of
radiation and nuclear plants 0.157.
The overall priority of second level to the third level indicators: In 35 self
evaluation indicators, the priorities are 4-1-1 Taiwan environmental radiation
monitoring, 5-1-1 Publics prevention and safety measures during nuclear acci-
dents 0.077, 1-4-1 health effect0.065, 4-1-2 environmental radiation monitor-
ing management unit 0.056, 1-5-2 the prevention of ionizing radiation0.052,
3-3-3the safety and prevention of nuclear power 0.048, 2-1-1medical checkup
0.043, 5-1-2 radiation safety consultancy0.042, and 1-5-3warning
labels0.039.
After reviewing some environmental education, radiation and energy related
literature, and also going through the first stage of fuzzy Delphi questionnaires for
experts, some indicators can be referred to.
Knowing radiation: The first step of implementing environmental ionizing
curriculum is to understand what is radiation, the contents are divided into
the classification of radiation, and where is radiation. Therefore, in the
experts questionnaires, the indicator of the influence of radiation toward
human health has gained the highest recognition. While indicators of ionizing
radiation characteristic, prevention and warning labels, after the detail
introduction and understanding in the courses, and in coordination with the

complete environmental ionizing radiation curriculum, students should deeply
understand that ionizing radiation in daily life is very common, and not a
dreadful monster, should be cautious when facing radiation, but should avoid
being panic due to ignorance.
The application level of radiation: The most important part for construction of
environmental ionizing radiation is the implementation of curriculum and
teaching. It is needed to combine with curriculum, the important element is
to outline school based curriculum, or integrate radiation curriculum indicators
into other courses, or organize environmental ionizing radiation classroom
theme event. Experts hold the same view that the implementation of radiation
course should be based on school-based curriculum for each grade, and integrate
into curriculum, and the principle is not to burden the tasks of teachers and not
necessarily design curriculum for each semester year. The related references are
energy education integrated into each learning fields, medical radiation inte-
grated into health and sport fields, and natural disaster prevention activities in
each semester year.
Radiation and Nuclear Power Plants: The third step of environmental ionizing
radiation curriculum indicators is radiation and nuclear power plants, the
implementation factors are knowing nuclear power plants, and diverse
energy, which aims at allowing students to understand nuclear power plants
are not nuclear weapons, and a way of power generation of reducing CO2, and
the cost is lower than other power generation, and moreover, it has tight safety
prevention. The opinions of expert toward knowing radiation and nuclear power
plants should be emphasized on the basic safety prevention facilities and mech-
anism, and should explain the power generation principle of nuclear power
plants and material in used, so as to differentiate nuclear power plants and
nuclear weapons.
The monitoring of environmental ionizing radiation: The fourth indicator of
environmental ionizing curriculum is the monitoring of environmental ionizing
radiation, which includes monitoring ionizing radiation, real time inquiry,
and monitoring unit. The updated of the monitoring of environmental ionizing
radiation will help to improve peoples confidence toward nuclear plants and other
related radiation facilities, and reduce worries of people on the safety of nuclear
plants and radiation. As not every school has the ability of carry out radiation
monitoring actions, therefore Atomic Energy Council, Executive Yuan and
Taipower Company set up 36 monitoring stations and post real time monitoring
data on the website, allowing people to know the scale of radiation around the
island or the adjoining area of nuclear plants, so that the monitoring data is
transparent to the public. Experts think that in implementing environmental
ionizing radiation monitoring actions, the meaning of monitoring and understand-
ing of executive units should be added, and so, in the item of curriculum indica-
tors, it is added the meaning of executive units and explanation of executive units.
The emergency measures of nuclear accidents: The fifth indicator is the emer-
gency measure of nuclear accidents, which included the public prevention
measures of nuclear accidents, and the safety radiation consultancy. The

professional improvement of teachers will help students understand the preven-
tion of radiation, and guide students to react during nuclear accidents. Thus it is
important to encourage teachers to establish environmental ionizing radiation
teaching groups, or participate in the related education training courses, semi-
nars or workshop, to enhance teachers professional knowledge. Also, it is
advised to introduce expert resources, to help schools in promoting the depth
and scope of environmental ionizing radiation curriculum, and also through the
cooperation and interaction with other schools, it is hoped to provide some
guidelines during implementation. Organizing related teachers empowerment
activities, or in cooperation with Atomic Energy Council to share resources, are
the important resources. Experts think that in promoting nuclear emergency
measure, it should add up detailed explanation steps, and thus in the items of
curriculum indicators, it is listed that how people undergo radiation prevention
and protection during the execution and radiation safety consultancy strategies.
Acknowledgment This research thank for NSC-101-NU-E-133-001-NU support.
References
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Chapter 24
An Energy Strategy in a Liberalized
Environment in Slovakia
Milena Svitekova, Henrieta Pavolova, and Barbara Hlavnova
Abstract The article deals with the state energy policy and strategy in Slovakia
and also compares the basic principles of energy policy in the European Union. The
goal is to outline the objectives of energy policy of the Slovak Republic, the
strategy for reducing energy consumption and increasing energy efficiency. It
also describes the system of financing energy policy measures and highlights the
current state of research and development positions in the energy sector in Slovakia.
It briefly defines the process of liberalization of energy market, restructuring and
privatization in Slovakia. The author also presents a view of an enlarged regional
cooperation that is essential (the Visegrad GroupV4). V4 was established as a
tool for cooperation in several sectors, the group is led by the Presidency, which
varies annually. One of the effects of the gas crisis was the elaboration of V4
+ Budapest Declaration, 24 February 2010, which created a specific framework for
the flagship project of common gas connections of V4 and further development of
this cooperationBratislava Declaration of January 25, the 2011th. Regional
cooperation promoted by the European Commissionthe establishment of the
High Level Group for northsouth connections (countries V4, Croatia, Bulgaria,
Romania) and its integration into strategic documents of European Union. Briefly
stated the key role of nuclear energy in the energy mix in Slovakia. A major source
of energy are renewable sources of energy that are an important part of Slovak
politics of climate change. Also contributing to the economic green growth (job
creation) and security of supply. The goal is 14 % share of renewable energy in
gross final consumption in 2020 and 10 % share of renewable energy in the
transport sector in 2020. It defines the usable potential of renewable resources
(hydropower, biomass, biofuels, biogas, wind energy, geothermal energy) and
also shows the expected evolution of total electricity consumption and maximum
M. Svitekova (*)
Department of Communications, Faculty of Operation and Economics of Transport
and Communications, University of Zilina, Univerzitna 1, 010 26, Zilina, Slovakia, UK
H. Pavolova B. Hlavnova
Faculty of Mining, Ecology, Process Control and Geotechnologies, Technical University
of Kosice, Slovak Republic, Letna 9, 042 00 Kosice, Slovakia, UK

348 M. Svitekova et al.
possible development of electricity generation by 2030. The paper contains a

discussion of in-depth energy audit and energy policy, i.e. In-Depth Review
(IDR), conducted by the International Energy Agency (IEA) in a comparison of
results obtained in selected EU countries. At the end of the article the author
provides a real situation during the liberalization from his point of view in a
selected energy company in Slovakia.
Keywords Energy policy Economic policy Renewable resources
24.1 Introduction
Free market economy is the best way to increase wealth and prosperity for all
citizens. It must be maintained in operation by responsible fiscal policy without
indebtedness, monetary policy ensuring a stable price level, or functioning security
and defense guaranteeing effective access to justice and equality before the law.
The government may not grant privileges to narrow interest groups, because that
would be harming other sectors and consumers. Successful economic policy
focuses on measures aimed at strengthening accountability in the public service
in all areas and remove existing distortions. The common denominator of all
measures is the need for careful analysis of their effects. Economic policy must
motivate to work, to effort and to enterprise. It must not be short-sighted and must
take into account the long-term effects.
For the competitiveness of enterprises is important that the legislative environ-
ment is as stable as possible, and to the future devotement of the conceptual and
predictable.
Direct government intervention should be exceptional and adequately justified,
aimed at meeting the objectives, provision of which is outside the consideration of
market mechanism (for example, removal of regional disparities in the poorest
regions). Their benefits and costs must always be precisely analyzed. Incentives and
tax breaks can deficiencies in the business environment (e.g. lack of motorways)
can be replaced for a short and temporary, and therefore should be continued in the
radical trend of their cushioning. Market-based solutions often yield the best results
even in areas where the state is has a strong positionwhether as to healthcare, the
provision of social services or outsourcing some services for state and public
administration through transparent competition. An important measure to improve
the quality of the business environment was the launching of the project Singapore
by Ministry of Economy of the Slovak Republic. It contains more than one hundred
concrete measures to reduce the administrative burden on business and saving
companies 100 million euros a year. Today is ready more than 200 measures to
eliminate bureaucracy and unnecessary costs on business, so that bureaucracy
costs fell by more than a quarterthat is more important than requested by the
European Union. The three strategic objectives of economic policy for Slovakia are
24 An Energy Strategy in a Liberalized Environment in Slovakia 349
Table 24.1 Expected development of lignite mining in 2030 (m.j.) kt) [1]
Year 2005 2010 2015 2020 2030
Mining of lignite 2,400 2,400 2,100 1,800 900
Table 24.2 Estimated growth of gas consumption upto 2030 (billion m3) [1]
Year 2005 2010 2020 2030
Total consumption of natural gas 6.5 6.9 7.0 7.1
Table 24.3 The available Exploitable potential

potential of renewable
Source PJ GWh
resources (PJPeta
Joules) [1] Hydropower 23.8 6,600
Large-scale hydropower 20.2 5,600
Small hydropower plants 3.6 1,000
Biomass 75.6 21,000
Dendromass 47.0 13,055
Agricultural biomass 28.6 7,945
Biofuels 5.0 1,389
Biogas 6.9 1,917
Wind energy 2.2 600
Geothermal energy 22.7 6,300
Solar energy 18.7 5,200
Total 154.9 43,006
Table 24.4 Estimated Year Consumption Production Difference

evolution of the total
electricity consumption and 2006 29.4 31.0 1.6
maximum possible power 2007 29.7 28.4 1.3
generation (in TWh) [1] 2008 30.1 28.7 1.4
2009 30.5 26.1 4.4
2010 31.0 26.5 4.5
2015 32.9 38.1 5.2
2020 34.8 38.1 3.3
2030 38.0 35.5 2.5
(1) reducing bureaucracy in business and improving the business environment;

(2) continuation of bannering of all relations in the energy sector and improving
the regulatory framework and (3) brand building Slovakia for investors and pro-
moting tourism [1].
24.2 Energy Policy in the Slovak Republic
Energy policy is part of a national economic strategy of the Slovak Republic as to

maximize its economic growth in terms of sustainable development is conditional
on the reliability of supply at optimum cost and adequate protection of the
environment.
Energy policy is the basis for the future direction of development, particularly
electricity, thermal energy, gas, mining, processing and transport of oil, coal and
renewable energies. The aim of the energy policy is to create conditions to ensure
sufficient energy, its efficient use, safe and continuous delivery and maximize
savings on the demand side. By the implementation of energy policy we can
achieve provision of the energy needs of the Slovak Republic, the path to sustained
reduction of energy consumption, creating a competitive environment in the energy
market to reduce costs at all levels and eliminate one-sided dependence on energy
suppliers. At the same time it paves the way for implementation of energy
efficiency [1].
The main objective of energy policy of EU member states are: provide enough
energy to maximize energy savings on the consumption side and ensure safe and
continuous supply of energy in a balanced structure of its components, so that in
case of failure of one energy source that could be replaced by another source. In
recent years in all EU member states is becoming a key issue for diversifying
energy sources and not just by different types of energy sources, but also according
to their geographic area of origin. EU member states at present nearly half of its
energy consumption is covered by imports from the territory of third countries.
Considering expected growth in energy consumption in the future and opportunities
to exploit domestic energy sources to meet growth in consumption can expect
growth in import dependence. The most frequently used source of domestic energy
in the EU countries is coal. Clean coal technologies enable the use of relatively
large reserves of coal with minimal environmental impact. Brown coal provides
mainly domestic mining, the need for coal imports is also provided outside the
territory of EU Member States. The risk for the EU countries is high dependence on
imported oil and its derivatives from third countries because they lack the EU
market, and because of the instability of prices. Although gradually moving away
from electricity and heat production of petroleum products, the overall demand for
these products remains high, mainly due to rising consumption in transport. The
biggest development in the current record consumption of natural gas through its
acceptance of its impact on the environment. The problem is its limited availability
in the common market and its dependence on the price of crude oil prices. Recently,
increasing supply needs of the common market in natural gas supplies from
Algeria, Norway and Russia. About a third of consumed electricity in the EU is
produced in nuclear power plants. Due to the increasing consumption of electricity
and the need to reduce greenhouse gas emissions have recently begun to change the
negative attitude of some EU member states towards nuclear energy. For further
development of its use is to be completed particular the issue of security of their
operations, as well as the issue of spent nuclear waste. To enhance energy inde-
pendence, EU member states put more emphasis on renewable energy sources. To
promote the use of renewable energy has created a number of institutional and
financial instruments and schemes. The biggest boom reaches the use of wind
energy and biomass. Renewable energy sources are an important component of
the structure of energy sources, but their ability to substitute other energy sources in
coming years is limited [1].
The implementation of energy policy for the last 3 years, in accordance with the
direction of energy policy EU, meant the gradual liberalization of energy markets.
In the energy sector after 2000, the big restructuring was conducted, which resulted
in increasing economic efficiency of the sector. The restructuring was accompanied
by the transformation and privatization. Today we can state that the process of
privatization in the energy sector is completed, the result was a change in owner-
ship, which was carried by input out foreign investors into transformed energy
companies. Major foreign investors have entered into a distribution company and
before the end is also the entry of a foreign investor into production of electricity. Is
not considered the privatization of the carrier and distributor of gas and oil carrier or
the privatization of the electricity transmission system. The goal of liberalization
was to create a competitive environment and the existence of natural monopolies
and allow the one hand, consumers of electricity and gas supplier choice and on the
other hand to offer the existence of equal competition between suppliers, gradually
creating a natural pressure to improve economic efficiency. At the energy market
was created free competition on a level of production and supply, supply and trade
in electricity and gas, based on transparent rules without discriminatory or contrary
to favor any of the suppliers. By introduction of new market rules was made a room
for the benefits that may arise in the internal market in electricity and gas in terms of
greater efficiency of operating systems and networks, better levels of service
provision, pressure on cutting prices and greater competitiveness. There remains
room for the implementation of measures aimed at ensuring equal conditions for all
market participants to reduce the risk of a dominant position of market participants
and exploitative behavior, as well as to ensure the application of non-discriminatory
tariff for transmission for distribution of electricity and gas transmission and
distribution and this is on the basis of published tariffs prior to their entry into
force, as well as to safeguard the rights of customers [1].
The liberalization of energy markets requires systemic changes throughout the
business environment not only for businessmen in the energy sector. As the nature
of the operation of energy networks cant introduce full competition, a key role in
this area has a regulation that provides non-discriminatory and transparent perfor-
mance in network industries, application of regulatory measures aimed at reducing
the risk of infringing competition rules, abuse of dominant position in the energy
market and services, protection of consumers, the application of measures to ensure
the reliable, economic and quality of energy supply and provision of related
services. For the purpose of establishing a functioning electricity market and
creating a competitive environment in the energy, conditions are created to allow
rebalancing of prices, respectively tariffs to their differentiation depending on the
type of customer (up sampling) in the context of a general EU practice and

principles specifying that prices and tariffs reflect costs. For the period after 2007
it would appear advisable to implement based on clear and transparent rules for
rebalancing prices, respectively in electricity tariff. European Parliament and
Council adopted Directive. 2003/54/EC concerning common rules for the internal
market in electricity and Directive. 2003/55/EC concerning common rules for the
internal gas market will become the basis for unification of rules necessary for the
functioning of the internal market in electricity and gas and to create a functioning
internal market in all EU countries, not excluding the Slovak Republic. Except
restructuring, implementation of key guidelines governing the ES internal market in
electricity and gas was required by the service providers the introduction of such
rules to allow non-discriminatory and transparent functioning of the competitive
environment in the energy sector. It is necessary to monitor the impact of legislation
on energy market liberalization, to analyze the barriers of real market opening in
electricity and gas take appropriate legislative measures to eliminate these
barriers [1].
24.2.1 The Objectives and Priorities of Energy Policy

of the Slovak Republic Upto 2020 and Outlook to 2030
The SR energy policy in the long term is to ensure that the volume of electricity,
which covers the demand for cost-effective principle, while ensuring maximum
efficiency with safe and reliable supply of all forms of energy in the required
quantity and quality. An important part of energy policy aims of SR is to reduce
the ratio of gross domestic energy consumption to gross domestic productreduc-
ing energy demands. To achieve the objectives of energy policy, the SR provides
the following basic priorities: replace electricity production facilities in order to
ensure the production of electricity, which primarily covers the domestic demand
for cost-effective principle; take measures aimed at saving energy and increasing
energy efficiency on the demand side; reduce dependence on energy supplies from
risk areasDiversification of acquisition of sourcing energy and transport routes;
use of indigenous primary energy sources for electricity and heat on economically
effective principle; to increased use of combined heat and power; use of nuclear
energy as a diversified, economically efficient and environmentally acceptable
option of electricity production; ensure nuclear safety operation of nuclear power
plants; increase the share of renewable energy for electricity and heat to create the
appropriate additional funds needed to cover domestic demand; complete system
and network to be able to ensure safe and reliable transmission, transportation and
distribution of electricity and gas; build a new connecting lines in order to improve
links to the EU internal market as well as third-country markets; encourage use of
alternative fuels in transport [1].
24.2.2 Starting Points to Achieve the Objectives of Energy

Policy: Balance Resources and Needs
The Slovak Republic provides nearly 90 % of primary energy by purchases outside

the territory of the EU internal market. The only significant domestic energy source
is lignite, because the extraction, natural gas and crude oil is insignificant. For this
reason still increase an importance of renewable energy sources (biomass, water,
geothermal, solar, wind). Based on the analyzes we can be expect in the long term
(until 2030) that a major role in satisfying consumption will play a greater use of
nuclear fuel, natural gas and renewable energy. This development assumes that a
tightening of emission limits will decrease consumption of coal. The same scenario
can be expected even if the emission limits sufficiently discourage the use of coal.
Due to the replacement of petroleum constituents biofuels it is expected only a
slight increase in oil consumption especially in transport. Based on long-term
forecasts of gross domestic consumption can be expected following the pattern of
consumption of primary energy sources [1].
24.2.3 Starting Points to Achieve the Objectives of Energy

Policy: Balance Resources and Needs
The Slovak Republic provides nearly 90 % of primary energy by purchases outside

the territory of the EU internal market. The only significant domestic energy source
is lignite, because the extraction, natural gas and crude oil is insignificant. For this
reason still increase an importance of renewable energy sources (biomass, water,
geothermal, solar, wind). Based on the analyzes we can be expect in the long term
(until 2030) that a major role in satisfying consumption will play a greater use of
nuclear fuel, natural gas and renewable energy. This development assumes that a
tightening of emission limits will decrease consumption of coal. The same scenario
can be expected even if the emission limits sufficiently discourage the use of coal.
Due to the replacement of petroleum constituents biofuels it is expected only a
slight increase in oil consumption especially in transport. Based on long-term
forecasts of gross domestic consumption can be expected following the pattern of
consumption of primary energy sources [1].
CoalDomestic brown coal currently accounts for approximately 79 % of the
consumption of brown coal needed to produce electricity and heat. It plays an
important role in ensuring security of electricity supply. Other necessary amount of
brown coal and all coal by imports (Fig. 24.1).
Natural gasAnnual natural gas consumption is about 7 billion m3. This
consumption is domestic mining contributes about 3 %. Other natural gas imported
from Russia [1].
In the next period is expected slight increase in consumption of natural gas
mainly due to consumption growth in industry and in production of electricity and
Fig. 24.1 Development of consumption of primary energy sources [1]
heat. The use of gas is also suitable because of minimal environmental impact. This
assumption is based on the conservation programs of natural gas prices compared to
other primary sources. In the event of a significant change in the price of natural gas
programs we can also expect changes in total consumption [1].
OilSlovakia imports annually about 5.5 million tons of oil. This volume is
guaranteed by long-term international agreement with the Russian Federation.
From the amount of imported oil to meet domestic consumption is used 3.2 million
tons. Domestic extraction is involved in oil consumption of about 2 %. Oil security,
security of oil supplies and related activities at the time of shortage, are addressed in
the legislation of the Slovak Republic. Currently SR does not meets the 90-day
supply of oil and oil products [1].
Nuclear fuelToday, more than 55 % of the electricity produced in nuclear
power plants. Nuclear fuel supply is ensured by long-term contracts from the
Russian Federation. It is useful to support the transition to improved fuel with
better use of nuclear material in nuclear fuel, which results in a reduction of its
consumption per unit of electricity. In connection with Nuclear Power ablactation
V1 in Jaslovske Bohunice (JU V1) decreased supply of nuclear fuel. In connection
with the use of nuclear fuel to generate electricity is a key issue in solving storage of
spent nuclear fuel as well as the question of disposal of decommissioned nuclear
power plants (JEZ). Slovak Republic in resolving these issues will proceed in
accordance with EU policies taking into consideration the maximum safety and
reliability of nuclear energy at all stages of the life cycle of JEZ [1].
RenewableCurrently from renewable energy, including the use of large hydro-
power potential of hydro power produces about 19 % of domestic electricity
consumption. The total exploitable potential of individual types of renewable
energy provides opportunities to increase their share in total production of electric-
ity to 24 % in 2020 and 27 % in 2030. Most promising renewable sources for heat is
biomass, where the total annual potential suitable for energy use is about 75.6
PJ. Biomass is a promising source for production of electricity. Nevertheless, the
most used source remains the use of hydropower potential. As for other renewable
sources (wind energy, geothermal energy, solar energy) their use will be only
additional resources for the safety and reliability of electricity and heat, while an
important factor remains the question of prices of electricity and heat from renew-
able sources [1].
The population living in Slovakia as well as to achieve a comparable level with
the developed EU countries has an impact, inter alia, sufficient electricity at a price
that will not only ensure the competitiveness of the economy, but also its accessi-
bility to citizens. Economic growth in recent years has been also provided by
declining energy intensity as evidenced by the indicator of total electricity con-
sumption, which increased in 2004 compared to 1995 by 6.5 % over the same
period increased HDP at constant prices 1995 by 35.7 %. Further development of
electricity consumption is an important factor for strategic planning at all levels.
Electricity consumption is affected by several factors, of which a key is price.
Expected development of electricity consumption over a longer period of time is
therefore based himself in a high degree of uncertainty. Assuming the development
of overall electricity consumption was based on the annual growth of 1.2 %, this
growth has been taken into account energy saving measures on the demand side. It
refers to the current development of production and for a basis was determined
2001 data, i.e. so maximum production of 32 TWh, which was gradually reduced
each year due to closure of the production of electricity resources. By the end of
2008 this fall amounted to 7.2 TWh. Assuming the development of electricity
generation have been considered and the effects of measures to increase perfor-
mance of production resources as well as measures aimed at construction of new
generating resources [1].
From the estimated power generation potential is obvious that gradually since
2007 and until 2010 production of electricity did not cover the projected electricity
consumption. After weaning, JE V1, despite measures to increase enforcement of
existing capacity will not be possible without the implementation of construction of
new generating capacity to cover the estimated consumption of electricity, even
though it will implement all measures to reduce overall electricity consumption. To
meet the objective of energy policy is necessary to ensure the volume of electricity,
which covers the demand for cost-effective principle and also be necessary to
replace the decommissioned JE V1 reliable source that will be able to provide
electricity production at an economically efficient basis. Due to the termination of
electricity generation in JE V1 will need to address a temporary shortfall between
electricity consumption and electricity production. These can be addressed such as
the purchase of electricity in the internal EC market, buying electricity on third
markets, and/or taking measures to reduce electricity consumption and taking steps
to improve performance of existing production facilities. The key question for
deciding which option will be implemented in particular electricity price and
estimate its future development, the capacity of the transmission system
i.e. ability to make cross-border transmission of electricity efficiency measures to
reduce electricity consumption. It will also be needed to ensure greater use of
renewable energy. It is anticipated that in 2015, after commissioning JE Mochovce
(EMO) 3 and 4 and after the implementation of new plants using renewable energy
sources will be a temporary surplus of electricity in Slovakia. After 2020, due to the
closure of JE V2 after a life of its surplus electricity over. To achieve one of the
main energy policy objectives of ensuring that the volume of electricity, which
covers the demand for cost-effective principle, only be so that there is sufficient
productive resources to produce it. To realize the main objective of energy policy is
possible by increasing the performance of existing production facilities and build-
ing new production facilities. The decision about measures oriented to build new
production facilities will be based on the assumption what kind of role will play in
the future different energy sources in satisfying consumption. Perspective have the
following types of production facilities: hydropowerconstruction of a hydro-
power plant on the river Ipel or on a watercourse; power plants using renewable
sourcese.g. biomass, solar sources, wind; power plants with combined produc-
tion of heat and power; thermal power plant and questionable prospects has the
nuclear power plantthe implementation of the completion of EMO 3 and 4. The
EUR 2.775 bn construction of Mochovce units 3 and 4 is developed by Slovak
power plant 66 % owned by the power company Enel SpA and 34 % by the Slovak
National Property Fund. It is the biggest investment ever undertaken by a private
investor in the history of Slovakia. Once up and running, Mochovce units 3 and
4 along with already operational units 1 and 2 will restore Slovakias energy
independence by meeting around 45 % of the domestic power demand. Video
http://www.youtube.com/watch?v_QBKcVLQ5VE&featureplayer_embedded.
The final determination of the specific measures which will achieve the objectives
of energy policy will take into account the economic efficiency of the proposed
solutions and return on funds spent on implementation [1].
Last years earthquake in Japan which led to the biggest nuclear disaster of
Chernobyl, changing the form of World Energy. After the tragedy in Fukushima
power production from nuclear power started to diverge more advanced Western
countries. Global players redrawn maps and set new strategic economic objectives.
A decision to fall today in the neighboring countries, will help define the future face
Slovakian nuclear power. The development, which directly affects Slovakia is
currently happening in the Czech Republic, where in the first week of July 2012
restarted construction power plant Temeln. Semi-public company CEZ got on the
table now offers companies that are competing for a huge energy contract. Con-
sortia are preparing for the competition, unofficially expect that victory in the
Czech Republic will open their doors to Slovakia. Whether they ever will continue
to consider new nuclear units at Jaslovske Bohunice, it should be clear later this
year. State Nuclear and Decommissioning Company (JAVYS) and CEZ formed a
joint venture nuclear power company Slovakia (JESS) for building new nuclear
power plant. Although it is not yet one hundred percent clear whether the new units
at Bohunice will be built or not. Finally, this year should tell more feasibility study.
Of course, it will have to find a strong company that will be able to power plant
construction as politicians promise a new source should be built without the
participation of the state budget. Of course, it will have to find a strong company
that will be able to invest in power plant construction, as politicians promise that a
new source should be built without the participation of the state budget. This is
quite tight even without such mega projects. CEZ itself to such an investor does not
happen and the construction of power plants in Slovakia will not be able to let
go. Must cope with their own non-critical issues of foreign expansion and seek
funding system Temelin. This process will be closely monitored by the Slovak
energy sector, because it will be like here, where they do not officially think of
funding system. Ambition of applicants to associate business in both countries for
Czech nuclear power plant is not yet confirmed. As in Temelin, also for the
construction at Jaslovske Bohunice, is planned most advanced PWR generation
III/III +. However, it is because as Czech and Slovak nuclear power historically
uses pressurized water technology. Completion of two at least 1,000 MW blocks
should cost around 200 billion crowns (7.8 billion euros). The Czechs want to enter
the construction of power plant to a selected firm by standard procedures. A
probably similar know-how CEZ wants to use in future in Slovakia. In Temelin
contract are interested American Westinghouse from a group of Japanese Toshiba,
the French Areva and russian consortium MIR 1200, which connects
Gazprombank, controlled Czech Skoda JS and firms Gidropress and
Atomstroyexport from Rosatom state portfolio. Who gets the business, it should
be clear at the end of next year and the actual construction should start in 2016. For
all of the companies are contracts in the middle of Europe extremely important,
after the German government and the Italians decided to withdraw from the Nuclear
Energy Future and German energy company RWE and Eon announced withdrawal
from the project Horizont on construction of nuclear power plants in the
UK. Britain itself still wants nuclear plants, so he is looking for a company that
would assume elaborated German project on the islands. Despite the Fukushima
tragedy there are still signed new contracts to build nuclear power plants. All key
business benefit of the Chinese market. All key firms benefit of the Chinese market.
The Russians are building in Vietnam, Iran, India and Turkey, where the power
plants not only build and finance, but are also the end user. New references from
Central or Western Europe would come in handy for all companies that want to
convince that Fukushima was just an episode. And there is no reason for the
business not to grow further. Although not yet know how to deal with spent nuclear
fuel from many reactors worldwide. While developments around the Temelin
power engineers monitor as determining the potential also for future Jaslovske
Bohunice, out of focus is not project the completion of Mochovce. Slovak Power
(SE) have trouble with the completion of two new blocks. Company itself is loath to
admit it and about the construction does not inform, except optimistic statements. In
January they sent a message to agencies that both units will be built in time: the
third block construction work will be completed later this year and the next will
follow in 2013. But last year penetrated the information from Mochovce that is not
an ideal. Control of the whole building in the beginning took the Italian company
Enel Ingegneria & Innovazione (EII) and that has no experience with the construc-
tion of Russias nuclear units. Italians thought that the building would be cheaper
than if they ordered it with a completely different company. Lack of experience had
to prove particularly at a time. At the end of May 2012 SE had already admitted that
the construction has been delayed about a year and the first block will be in
readiness for launch in late 2013 and another 8-month delay. Officially the building
has been delayed for implementation of new safety standards. Builders themselves
have an extremely complicated situation in Mochovce. Nuclear power projects are
from 80 years of the last century. Since then, has not only technology been changed,
but the conditions has tightened for the operation of nuclear power plants.
Fukushima crash shook confidence in the safety nuclear plants, and that operators
and supervisors still want to implement a new security fuse. All this, however,
can be incorporated in Slovakia-Russian projects and in long time ago built
foundations gradually. The actual third and fourth units began to build in 1985,
but just before the separation of Czechoslovakia, in 1992, the construction stopped.
It was restarted in 2008 under the original russian concept of pressurized water
reactors VVER. New Mochovce would deliver after completion supply to the
network twice to 470 MW. Mochovce follows the standard financial tradition of
the most new European nuclear plants. Final accounts properly calculated exceed
the numbers. The planned investment of 2.8 billion. should raise about 200 million
more. After construction, the country of Slovakia will become capable of greater
electricity export [2].
Reducing energy consumption is one of the basic pillars of sustainable devel-
opment. Sustainable development must ensure the current needs of the population
without limitation of the ability of future generations to meet their own needs. To
achieve sustainable development is necessary to change the production technology
for the production and consumption and to alter the procedures and habits on the
production side and on the demand side. To ensure the development of the Slovak
Republic is required that sustainable energy solutions and technologies available
using its own energy resources become part of sustainable development. Influenc-
ing the amount of energy consumption with an aim to reduce the gross domestic
energy consumption can be achieved mainly by favoring those investments that will
ensure greater energy efficiency from measures that are based incurring additional
investments to increase production capacity or measures aimed at disrupting the
supply of energy in cases where preferred investments are more efficient and
economically more favorable solution with regard to their positive impact on the
environment. Reducing energy consumption in the long run will reduce the nega-
tive impacts on the environment, particularly by reducing emissions of greenhouse
gases and this will fulfill the commitments under the Kyoto Protocol. One way of
reducing energy consumption is increasing energy efficiency. Energy efficiency is a
cross-sectional area, which extends to all areas of the economy, covering measures
to ensure energy savings on the production side and on the demand side. Increasing
energy efficiency is the result of many decisions mainly on the state party and
government, third sector, the very consumers and producers appliances, but also on
the production side, particularly the use of new technology available, energy-saving
measures in the transmission, transportation and distribution of energy. Increasing
energy efficiency is ultimately revealed as a total energy savings. By increased
energy efficiency will result in reduction of consumption of primary energy
sources, which results in reducing their dependence on imports, reducing the burden
on the environment and reducing the impact of energy prices on consumers.
Measures aimed for increasing energy efficiency will be as follows: information

campaign to disseminate information on energy consumption; make room for a
comfortable and efficient energy services; the benchmarking of energy efficiency
appliances and support the development and equipment production and innovative
technologies with high energy efficiency [1].
Research and development in the energy sector in any economy is the subject of
priority interest. Currently, the main problem of research and development in the
energy sector is in particular low levels of funding and the fact that in the
management of research and development in energy is not an independent scientific
workplace available. In the past, research focused mainly on the area of nuclear
energy for coal, gas and hydro resources. Research and development in renewable
energy is insufficient. To ensure appropriate development in the area Due to several
forms of these sources is extremely difficult. Comprehensive and successful solu-
tion is hard to imagine without support in this area. Research and development
activity has been poorly funded by the state budget through state research and
development and state orders for research and development. For the energy
sector has been created a national cross-sectional research and development pro-
gram Application of progressive principles of production and transformation of
energy. The priority focus of research and development will be field of energy that
will bring benefit the whole society and will result in the introduction of such
technologies that enhance the competitiveness of the Slovak economy. To support
specific projects for international cooperation to use funds from the Structural
Funds [1].
Providing some of the measures to achieve energy policy objectives in the long
run would be complete without the direct support of funds from public sources. This
requirement is particularly topical in the case of the implementation of measures to
use renewable sources for heat and power production, increasing energy efficiency,
reducing energy intensity and research and development in energy. Possible sources
of funding projects in different areas are: resources of project; resources coming
from EU structural funds; state budget; funds obtained through the implementation
of methods for PublicPrivatePartnerships and obtained by alternative financ-
ingfinancing by third parties. Apart from the question of funding plays a key role
in the use of renewable sources for electricity and heat, also regulator of pricing
policy. Therefore, in the next period the basic aim in this area will create space for
the stability of the regulatory framework, its identification of longer term (over
5 years) so as to ensure a reasonable return on investment. Contractor of individual
measures will have clear rules for the calculation of return on investments [1].
The Visegrad GroupV4 was established as a tool for cooperation in several
sectors, the group is led by the Presidency, which is changed every year. One of the
effects of the gas crisis was the elaboration V4 + Budapest Declaration, 24 February
2010, which created a framework for: flagship project of common gas connections
of V4 countries and further development of this cooperation-Bratislava Declaration
from January 25, the 2011th. It has since the cooperation was expanded, set up the
working group V4 + for sectors of oil, energy security and strategic issues of
EU. Regional cooperation promoted by the European Commissionthe
Fig. 24.2 The cooperation of the Visegrad V4 [3]
establishment of the High Level Group for northsouth connections (V4, Croatia,
Bulgaria, Romania) and its integration into strategic documents: covers all sectors
(electricity, gas, oil); study prepared by a private company and action plan with a
list of projects. Strengthened regional cooperation by ENTSO-G and ENTSO-E,
also supported by Regulation 994/2010 of security of gas supply (common preven-
tive and emergency action plans). As an example, short-term electricity market with
the Czech Republic [3] (Fig. 24.2).
Economic policy of the Slovak Republic from the perspective of low-carbon
economy presents basic pillars of medium-term objectives as follows: reduction of
greenhouse gas emissions by 20 % in 2020 compared with 1990; Slovakia does not
yet have a comprehensive strategy for low-carbon economybut available are from
a number of sectoral strategies, policies and measures, climate change policy;
government prepared a revision of institutional coordinationclimate change pol-
icy and other policies; Slovakia continually meets and exceeds short term goals of
greenhouse gas emission saving; between 1993 and 2010, CO2 emissions per unit of
HDP fell by more than 60 % and reduction of that parameter confirms massive
technological restructuring and the transition from coal to burning oil and gas [3].
National Action Plan for renewable energy set targets for individual sectors and
technologies, planned production and consumption. The total estimate of the share
Fig. 24.3 Target for the production of electricity from renewable energy in 2002 by
technologies GWh [4]
Fig. 24.4 Target for heat production from renewable sources in 2020 by technology (PJ) [4]
of renewables in gross final consumption is 15.3 %. Then it describes existing and

planned systems of support and legislative framework for Slovakia. On Fig. 24.3 is
introduced target of electricity production from renewable energy sources for 2020
by technology [4].
Subsequently Fig. 24.4 presents the historical development of heat production
from renewable energy sources in Slovakia and the forecast for 2020 by technology.
Within the application and use of renewable energy legislative framework

has been modified in practice (Law on the promotion of renewable energy and
high-efficiency cogeneration). Changes in the law on renewable energy sources
development of the sector of photovoltaic (PV) has proved to be unsustainable
particularly for high impact on consumer prices and concerns about land use.
Adjustments in the law were mainly related to support equipment of PV with a
maximum capacity of 100 kW, exclusive installation on the roofs of buildings and
flexible purchase prices reflecting the cost of investors [1].
24.3 System Analysis
2nd In-Depth Review: Report of the Slovak Republic (2011).

Evaluation criteria were based on common goals IEA (Shared Goals en.)
defined 4 June 1993 at a meeting in Paris. The evaluation team conducted working
visits in selected institutions in Slovakia during the 21st26 November 2010.
Composition of the team was as follows: Roman Portuzak (Head)The Ministry
of Industry and Trade CR, representatives of 5 other IEA member countries,
1 European Commission representative, 1 representative of the Agency OECD
for nuclear energy, 4 representatives of the IEA, comments and editorial assis-
tance: other experts IEA Slovakia has a reserve in energy policy, according to the
International Energy Agency (IEA). Slovakia should add the question of strength-
ening of energy security and competitiveness of industry. According to a survey of
energy policy of Slovakia, Slovakia should also continue in diversify energy
resources and deepen regional integration. Strengthening of regional cooperation,
particularly in the gas development and electricity interconnection, represents a
major step to increase energy security and market competition. IEA Report, which
charts the years 20052010, recommends to Slovakias energy efficiency to focus
on implementation, to ensure full utilization of the potential energy savings,
including the modernization of district heating. Slovakia should also aim at
reducing greenhouse gas emissions according to the report. Slovakia should
continue to implement policies that facilitate the transition to a low carbon
economy. Nuclear energy and renewable energy should make this issue a critical
role [5].
24.3.1 SWOT Analysis of the Evaluation Survey
In view of formal aspect is a unique strength of clear and logical structure of the
text under three main headings: Policy Analysis SECTOR ANALYSIS
+ ENERGY TECHNOLOGY. Also consider for the strength the sub-themes
under headings: 3 + 7 + 1 topics within three main areas and a transparent structure
processing individual topics (usually similar for all subjects). Appropriate use of
Fig. 24.5 Some examples of basic summary at the beginning of chapters [4]
graphs, whose aim is to bring Slovakia comparison with other IEA member
countries by selected indicators, we characterize as the last of the strengths of
the formal point of view. Strength is evaluated in terms of content rich statistical
data (including historical data and future expectations of government). In terms of
methodology is evaluated as a weakness selection of respondents, i.e. only 21 insti-
tutions (5 ministries, 2 regulators, 3 other government agencies, 4 academic
institutions, 5 (semi) public companies, 2 business associations). In our view,
should be addressed another big company (SE, MOL, heating companies, etc.).,
DSOs (particularly electricity), more alternative energy suppliers (households,
small commercials, wholesale), the research-oriented companies and institutions
(Geothermal Anywhere, SOVVAa center of excellence stub), Energy analysts
also (ESI, energia.sk). Weakness in terms of data update in mind and accuracy are
unclear Timing of data updates (interviews 2010, references in the textand the
2011 edition of the study: 09/01/2011, Publication: 11/21/2011). Study also does
not reflect many significant changes in 2011 (market opening, sunny boom,
etc.). We evaluate as weakness sometimes confused logic when interpretation of
data, i.e. Lobby for wind and sun (?) causality between OZE and energy
efficiency (?), market coupling vs. flow-based method in the context of the single
energy market, a number of factual inaccuracies: vague definition of regulatory
authorities in the institutional framework (URSO + RADA), CZ-SK intra-day
market coupling 2005, NJF problemslack of income from electricity
customers + NJF defined only descriptively, factual inaccuracies in the report is
unfortunately quite a lot [59] (Fig. 24.5).
24.4 Results and Discussion: Partial Introduction

of Methodology Depth Survey
24.4.1 Conclusions and Recommendations

for the Subsequent Realization of Research
Based on the implemented SWOT analysis we are putting forward proposals for the
implementation of subsequent surveys in the EU economy countries, including
Slovakia. Recommendations: assessment of the development from the last in-depth
review; evaluation of major achievements and not achieved objectives of the
Government of SR from the last in-depth review; use of selected case studies
(case studies) to illustrate the achievement of objectives compared with the previ-
ous in-depth review; deeper analysis of the positions and views of major players in
the energy sector (government, regulator, business, analytical centers); extension of
the respondents and precise definition of data updates [5].
24.4.1.1 Partial View of the Author to the Energy Market in Slovakia
At the energy market, there are anomalies and these are their system of trading with
emission allowances, production support of renewable sources as well as capacity
payments to producers for maintaining power system stability. The original inten-
tion of emissions trading is gone. The trading of emission allowances false market,
because it impossible to predict future developments. When the investor cannot
predict what will be a few years, it is unrealistic to want to invest. From emissions
trading has become a huge business. Emission allowances were allocated free of
charge, but ultimately is still reflected in the price of electricity. By selling emission
allowances, many companies have created huge profits. Market so consequently did
not generate investment incentives, and only a tiny portion of these earnings was
invested in the original intent. Emission allowances should had been used initially
as an investment incentive to build cleaner sources that did need emissions. The
point was completely lost. A market was created that works on political decisions
and not on fundamentals. Emissions trading is clearly influenced by political
decisions. This is related to corruption and cronyism. The current situation is that
the system is the stockpiling by allowances at least till 2015. Another anomaly of
the energy market is guaranteed by the state support of electricity from renewable
sources. In the case of subsidy mechanisms comes to artificial investments that are
not supported by the natural evolution of the market. The guaranteed prices for
15 years ahead of production has become a green clean energy business without any
risk and original noble purpose of manufacturing clean energy has been denied.
During 2010, the return on investment was given for 5 years. For 10 years it is the
net earnings for the investor. Another anomaly is the capacity market payments to
producers for maintaining power system stability. The energy source would have
been able to collect fund an annual basis regardless of whether it actually
manufactures or produces electricity. To stabilize the market by removing the

anomaly becomes necessary. The solution can be integrated intraday (intra-day)
market and change of strategies to promote renewable energy. Doing business
without risk is unthinkable. Alternative energy must therefore become an active
participant in the market [59].
24.4.1.2 Sub-personal View of the Author to the Privatization

of Power Distribution Network Companies
The privatization of energy distribution companies in Slovakia took place from the
first view in a standard way. At the end of 2005 The Slovak Government finally
approved the sale of shares of West Energetics, Inc. (ZSE) Currently owns 40 %
stake of distribution companies ZSE German company E.ON The remaining 10 %
stake FNM sold through the capital market. The European bank for reconstruction
and development (EBOR) owns 9 % shares in ZSE. Ministri of Economy wanted to
do likewise in a case of privatization of Central Slovak Energetics (SSE), Inc. Zilina
and Eastern Slovak Energetics (VSE), Inc. Kosice, where 10 % of shares were
supposed to sell through the capital market. The plan of privatization of other two
energy companies, however, did not take place as originally planned. The minority
49 % stake of shares in the company of the SSEs from October 2002 is owned by
the French company Electricite de France. German energy company RWE Energy
is the owner of 49 % of the shares of VSE Company from 2003. The remaining
51 % stake in both companies is owned by FNM. A contract concluded between the
Fund of National Property of the Slovak Republic, Slovak Republic represented by
the Ministry of Economy and each shareholder of EDF, or EON or RWE were from
at least one reason unsuitable for SR. From the first point of view the minority stake
of EDF company for example becomes redundant with the agreed terms of the
majority occupy managerial positions in the energy distribution company. Any
decision-making powers are clearly in the hands of the French shareholders. So
basically the majority owner holds the decision-making is a quasi-foreign minority
owner. Sapidity is a description of the decisive influence, which means that in
relation to any person or shares, the opportunity directly or indirectly manage or
direct the management of a person or shares through stock ownership, voting rights,
corporate, shareholder or other agreement governing ownership interests, or other-
wise. Logically follows that the majority owner of shares i.e. 51 % of Slovak
shareholder has a decisive influence. But compared with the real distribution
board in the energy distribution company in five members, which the board
representing the Slovak shareholder has only two members of and French share-
holder has three members, has become a very lucrative business for French share-
holders. Is inconceivable that the Slovak shareholder made this situation when with
the full knowledge agreed and sold quasi all the energy sector with a positive lock
for the foreign investor, that can attack the general public in front of media about
the major responsibility of the SR for decisions made in the above energy
distribution companies, which manager representing the Slovak shareholder has no

decisive influence and reach [59].
24.5 Conclusions
The main recommendations for Slovakia from the viewpoint of the authors are
mainly to create a coordinated policy to optimize the environment in key sectors for
market with the priority aim of improving the climate in Slovakia and the EU,
including the specific cap-and-trade. Implement a comprehensive national energy
efficiency of strategy aimed at reducing energy consumption, with an explicit focus
on transport policy and construction industry and exploiting strategic position
between the EU and Ukraine and Russia in terms of the position of the distribu-
torto create the optimal infrastructure necessary to facilitate the supply and
access to markets. One of the major recommendation in carbon capture and storage
(CCS) is to reduce CO2 emissions from electricity generation from fossil fuels,
mainly coal and gas, but CCS can be applied in the CO2-intensive sectors, refiner-
ies, cement production, iron and steel, petrochemicals, oil and gas processing and
elsewhere. The application of carbon technology in the industrial environment
becomes a whole new line of business, thereby creating a new business sector,
which will be beneficial to human health, the environment, rationalize the use of
energy resources, entrepreneurs in this sector will benefit from the expertise of
energy and other industry and economy depend on combustion plant. Recommen-
dations of the international energy agency under research are as follows: The
government of the Slovak Republic should enhance energy security by supporting
infrastructure projects which diversify energy supply sources and routes and con-
tinue to pursue its national energy policy objectives within a regional context,
strengthening regional co-operation, integrating regional energy markets and
supporting increased interconnections. At the next part the government of the
Slovak Republic should step up CO2 emissions reduction efforts, notably in the
transport and buildings sectors, including through the creation of a detailed plan
with specific actions and interim targets and an assessment of the cost-effectiveness
of different mitigation measures, to ensure the national target for non-ETS emis-
sions is achieved and ensure timely implementation of energy efficiency policies
and measures and raise public awareness of energy efficiency improvement options,
given the critical importance of energy efficiency for energy security, climate
change mitigation and economic competitiveness. At the last part the government
of the Slovak Republic should ensure a stable and predictable legislative frame-
work, with an independent and adequately resourced regulator, to encourage
investments in energy projects in accordance with the long-term national energy
strategy [59].
Nomenclature
E Energy (kJ) The joule (J) is a derived unit of energy, work, or amount of heat in
the International System of Units. The petajoule (PJ) is equal to one quadrillion
(1015) joules
E_ Energy flow rate (kW)
E Energy: the terrawatt hour (TWh). The gigawatt hour (GWh)
Acronyms
CCS Carbon capture and storage

CEZ Czech power plants (Ceske energeticke zavody)
CO2 Carbon dioxide
CZ Czech Republic
EBOR The European bank for reconstruction and development
EII Enel Ingegneria & Innovazione
EMO Nuclear power plant (Jadrova elektraren Mochovce)
FNM National property fund
HDP Gross domestic product
IDR In-depth review
IEC International energy agency
JEZ Nuclear power plants
JU V1 Jaslovske Bohunice
MHSR Ministry of Economy of the Slovak Republic
SE Slovak power
SK Slovak Republic
SSE Stredoslovenska energetika a.s.
SWOT Analysis (strengths weaknesses, opportunities, and threats)
URSO Regulatory Office for Network Industries (U rad pre regulaciu sietovych
odvetv)
VSE Vychodoslovenska energetika a.s.
V4 The Visegrad Group
ZSE Zapadoslovenska energetika a.s.
References
1. Internal Document MHSR (2012) The internal material of the ministry of economy of the
Slovak Republic
2. Beer G (2012) Slovak nucleus after Fukushima. J Trend 13362674. ISSN 1336-2674
3. Zakova A (2011) Energy policy of the Slovak Republic, of the ministry of economy. Confer-
ence: common EU energy policy and energy security of Slovakia
4. Portuzak R (2011) Common EU energy policy and energy security of Slovakia. Conference:
common EU energy policy and energy security of Slovakia
5. Portuzak R (2012) The conference: 9th annual energy conference ENKO. Bratislava, Slovensko
6. Website SEAS: http://www.seas.sk/sk/elektrarne/typy-elektrarni/fotovoltika/fotovolticky-sys
tem-mochovce. Accessed 29 June 2011
7. Website SSE: http://www.sse.sk. Accessed 29 June 2012
8. Website ZSE: http://www.zse.sk. Accessed 29 June 2012
9. Website VSE: http://www.vse.sk. Accessed 29 June 2012
Chapter 25
Towards an Integrated Value Optimizing
Ecosystem in Natural Gas Liquids
Operations and Related Facilities
Farayi Musharavati
Abstract Although natural gas is one of the cleanest fuels on earth, natural gas
operations and related facilities are still associated with visible ecological and waste
management problems. While managing regulated waste is a direct cost to opera-
tions, managing unregulated waste is an indirect cost. However, waste becomes
waste when a production operation is totally isolated from the rest of the world.
For example, Natural Gas Liquids (NGL) plants process natural gas into raw natural
gas liquids, lean gas or refinery products. In doing so, a number of losses may take
place along the process system through either leaks and/or process upsets. Such
loses can be considered as wastes due to inefficiencies and ineffectiveness of the
process system. On the other hand, excess gas may be flared or be reinjected to
enrich reservoirs. In such a case, the flared gas is a missed opportunity which also
has negative consequences such CO2 and greenhouse gas emissions. Although
excess gas reinjection is a more responsible alternative, it cannot be guaranteed
that 100 % of the excess gas ear marked for reinjection will be actually reinjected to
enrich the resource. This scenario leads to the issue of depleting finite resources.
Whatever the case may be, any form of waste does not give value to the business,
employees or consumers of the end product. As such, it is important for operations
to look beyond their boundaries for possibilities of creating value out of inevitable
waste. One way of meeting this challenge is to develop an integrated value
optimizing ecosystem that seeks to eliminate waste or at least convert waste
into value. In this paper, it is postulated that value can be created through utilizing
waste by integrating NGL operations and related facilities. In order to allow the
ecosystem to evolve as and when required, a framework for continuously creating,
maintaining and sustaining value in NGL operations and related facilities is pro-
posed. The operational aspects of such a framework are discussed with the aid of an
NGL plant case study. It is shown that in an integrated value optimizing industrial
ecosystem waste can be eliminated or at least be reduced to a minimum while
value to the customer and business operations is increased. This allows operations
F. Musharavati (*)
Department of Mechanical and Industrial Engineering, Qatar University,
Box 2713, Doha, Qatar

370 F. Musharavati
to progressively move towards a closed loop operating system where wastes

become inputs for current, new and future processes.
Keywords Integrated value optimization Industrial ecology Ecosystem Sym-

biosis Closed loop operating system Natural gas liquids (NGL) Natural gas
25.1 Introduction
To date the concepts of green engineering and sustainable operations have been
accepted in most oil and gas processing operations and related facilities. A number
of methods, mechanisms and techniques on emerging technologies and their poten-
tial applications and impact on the oil and gas industry have been discussed for
quite some time [1]. These methods, mechanisms and techniques have: (a) enabled
realizations of improved operating efficiencies; (b) boosted confidence, potential
and possibilities of reducing and/or eliminating waste (solids, liquids and gases);
(c) helped companies to understand and gain mileage on critical issues such as,
extending the life of non-renewable and recoverable resource reserves; (d) helped
companies to be more conscious about the impact of CO2 emissions and greenhouse
gas (GHG) emissions; and (e) helped companies to realize that beyond greening lies
a great challenge and responsibility of sustainable operations, development and
growth. Despite all these efforts, oil and gas processing operations and facilities are
yet to realize leading value indicators of sustainable operations and manufacturing
excellence. There is, therefore, an inherent need to develop new operational
systems that can scale the heights of operational excellence in a sustainable and
cost effective manner.
Managing regulated waste is still an inevitable practice in the oil and gas
industry even though it is clearly known that regulated waste is a direct cost to
operations. On the other hand, managing unregulated waste is an indirect cost
associated with CO2 emissions, GHG emissions, ecological problems and environ-
mental degradation. Managing both regulated and unregulated waste in a complex
system composed of different types of processes, different operations in different
facilities is not an easy task. A possible solution suggested in this paper is to
develop and implement an integrated value optimizing ecosystem that can address
the challenges of optimizing the exploitation of non-renewable resources, maxi-
mizing recovery of recoverable materials and energy, and meeting unexpected
supply and demand targets.
Waste does not give value to the business, employees or consumers of the end
product. As such, it is important for operations to look beyond their boundaries
(plants, companies) for possibilities of creating value out of the inevitable waste.
One way of meeting this challenge is to develop an integrated value optimizing
ecosystem that seeks to increase value and eliminate waste or at least convert
waste into value. For NGL production, value can be created through utilizing
waste by integrating all NGL operations and related facilities. Such an integrated
25 Towards an Integrated Value Optimizing Ecosystem in Natural Gas Liquids. . . 371
approach allows the creation of an industrial ecosystem that evolves as and when
required. This requires transparency, information and data availability, reliable
communication systems, dependable and real-time collaboration and a framework
for continuously creating, maintaining and sustaining value in NGL operations and
related facilities. Such a framework allows operations to progressively move
towards a closed loop operating system where wastes become inputs for current,
new and future processes.
The aim of this paper is to explore, investigate and identify key components for
creating an integrated value optimizing ecosystem in natural gas liquids operations
and related facilities. In natural gas processing operations there are interactions
between people (workers), materials, energy and a number of processes that are
used to covert inputs to desired outputs. For the discussions in this paper the term
related facilities is used to describe all operations, other than the NGL extraction
and production plant, that need products and/or by-products of the NGL production
for direct or indirect use or for further processing into other products. The approach
used in this paper takes a systems view of natural gas processing operations and
related facilities. In this way, the dynamics of the interactions among people,
materials, energy, processing plants and related facilities can be analyzed in order
to identify system parameters and constraints that impact on an optimum match of
system inputs and outputs within the limits of local and global carrying capacity.
25.2 Background
Ideas of industrial ecosystems originated from environmental studies that consid-

ered an ecosystem as a limited space within which living beings interact with
nonliving matter at a high level of interdependence to form an environmental unit
[2]. These ideas were latter conceptualized for applications in industrial settings by
Frosch and Gallopoulos [3]. Since then, many researchers have discussed and
developed concepts for implementing industrial ecosystems. These include:
Allenby and Richards [4]; Hard and Grundel [5]; Gondkar et al. [6]; and Tsvetkova
and Gustafsson [7].
Most researchers, for example [4, 6] discuss and develop industrial ecosystems
based on analogical references to natural ecology. In this view, the various com-
ponents of production operations such as; workers, raw materials, energy, water,
consumers of the products, factory wastes (liquids, solids and gasses); by-products,
recoverables, and consumables are analogous to biological organisms in natural
ecology. As such, most industrial ecosystems research has focused on exchange of
resources, mentioned above, among production-consumption units or a cluster of
companies. Examples of such approaches can be found in [79].
Despite the various efforts and progress in studies of industrial ecosystems a
number of loose ends are yet to be tied. For example, a unified theory that describes
characteristics and behavior of industrial ecosystems is yet to be desired [10]. There-
fore, the actual dynamics of an industrial ecosystem are not known and, therefore,
372 F. Musharavati
not well understood. In addition, the economics and the business side of industrial
ecosystems offer little incentives. Obvious economic advantages of industrial
ecosystems include efficient and effective use of resources. While this advantage
has significant impact on sustainability, its impact on the business side (i.e. reduce
costs and increase benefits) is relatively less. Moreover, the dynamics of how the
costs and benefits will be apportioned among the network of companies in a given
industrial ecosystem are not known beforehand.
Since the concept of industrial ecosystems originated from ecology and biolog-
ical organisms, the issue of evolution in industrial ecosystems cannot be ignored.
Therefore, an important fact that cannot be ignored is how to maintain and/or
sustain (a) a functional industrial ecosystem, (b) environmental benefits, the busi-
ness aspect and the economic advantages of inter-company network in given and
evolving industrial ecosystems. The issues raised above can be partially addressed
by putting in place mechanisms for; effective information flows across the network
of companies, effective cooperative management, and continuous real-time collab-
oration and by developing an inter-company culture that support the continuous and
smooth evolution of the industrial ecosystem.
Discussions in the previous paragraphs have revealed a number of drawbacks in
the establishment of industrial ecosystems. Such drawbacks include: (1) lack of
economic incentives, (2) lack of willingness to invest in technologies that support
industrial ecosystems, (3) lack of efficient information flows to and from the
companies that constitute an industrial ecosystem, (4) lack of cooperative manage-
ment, (5) the need for continuous collaboration and (6) the establishment of a
culture that supports a functional industrial ecosystem. Albeit, the underlying
concept in industrial ecosystems is that one companys products, by-products or
wastes (solids, liquids and gases) can become inputs in other companies within the
industrial ecosystem. This concept requires an understanding of the functional
dynamics of inter-company resource flows and resources exchanges. This concept
also goes beyond exchange of resources to inter-company exchange of by-products
and wastes. Thus, value can be added to by-products and wastes in an industrial
ecosystem. Hence, progressive assessment methods and sustained production opti-
mization are vital tools in any given industrial ecosystem.
The concepts described above are relevant to the oil and gas industry, in
particular natural gas processing and related facilities. A prominent example that
will be used as a case study in this paper is a Natural Gas Processing Complex
(NGPC) consisting of four Natural Gas Liquid (NGL) plants and Storage and
Loading Facilities (SLF). The NGL plants and related facilities in the NGPC
were commissioned at different times and they underwent a number of changes,
upgrades and retrofits over the years. This NGPC processes natural gas into:
(a) products, some of which are sent to SLF for export-these are mainly heavy
hydrocarbons, while some of the products such as lean gas are sent directly to
consumers such as power plants and the industry in general; (b) useful (value
added) intermediate materials such as raw natural gas liquids, which are inputs to
other NGL plants; (c) by-products such as; NGL condensatewhich is sent to SLF,
stabilized condensatewhich is either sent to refineries or exported, and liquid
sulphur which is sent to two different companies in which the liquid sulphur is a raw
material input; and (d) surplus natural gas which is re-injected into natural gas
reservoirs or flared. This description shows that in the NGPC, materials and energy
can be allowed to flow among a network of different companies and related
facilities while by-products and value added intermediaries are exchanged and
thus effectively recycled in a symbiotic manner that, if effectively managed and
coordinated through effective collaboration among the various plants and related
facilities, will result in operations that resemble natural ecosystems. In order for
such a complex industrial ecosystem to function in a manner that is sustainable, an
integrated value optimizing framework is required. Such a framework would
overcome some of the drawbacks mentioned earlier on since the business aspect
(value adding and value optimization) is dynamically incorporated into the various
activities, operations, energy and materials exchange, and cooperative management
through right-time collaborative links among all players (i.e. suppliers of raw
materials inputs, producers of products, intermediaries and by-products as well as
consumers of products, intermediaries and by-products) in the purported industrial
ecosystem.
25.3 Method
25.3.1 Integrated Production Operations
As discussed in [11], process integration and process optimization are crucial

ingredients for sustainability initiatives. While little progress has been achieved
in terms of process integration and process optimization, some of the oil and gas
companies are still falling short of improving plant performance against leading
value indicators of process manufacturing enhancement and operational excellence.
These observations represent some of the inherent challenges associated with
sustainability initiatives through the concept of industrial ecosystems.
An industrial ecosystem can be considered as a network of companies that
interact through exchanging and making use of available resources, materials
and/or energy in order to increase energy efficiency and increase the amount and
types of process outputs that have market value [6]. A number of issues can be
identified from this statement. Creating a network of companies essentially means
connecting the various companies into one system, i.e. an industrial ecosystem,
and ensuring that the companies function together as a system. In order to realize a
functional network of inter-company relationships, the various players must be
willing and must be committed to the development and realization of such an inter-
play. This can be made even easier if all players in the network of inter-companies
will gain either economically, environmentally or both. For smooth interaction to
take place, interfaces and relationships among the companies must be identified
and developed. This calls for transparency, cooperative management and strong
374 F. Musharavati
right-time collaboration. A critical issue in the development of an industrial eco-

system is improving value of inputs and outputs in the network of companies. The
inputs and outputs in an integrated production operation include: products,
by-products, intermediaries and wastes generated in the industrial ecosystem.
Albeit, the interrelationships among players in an industrial ecosystem require a
method for assessing the performance of the ecosystem and a mechanism for
integrated value optimization. The method of assessment allows the players in the
ecosystem to initiate implement and evaluate sustainability performances of
the various operations in terms of environmental benefits and societal behavior of
the industrial ecosystem. On the other hand, value optimization mechanisms are
required to continuously add value and capabilities of interactions among compa-
nies in the ecosystem. In addition, value optimization mechanisms can be used to
evaluate and hence improve the economic performance of an industrial ecosystem.
Moreover, continuous value optimization may become a significant factor in
maintaining interrelationships among players, thereby sustaining the integrated
production operations.
From discussions in the previous paragraphs, three challenges in developing
industrial ecosystems can be identified as follows: (1) how to integrate a number of
production operations/units/facilities in an industrial ecosystem, (2) how to opti-
mize value of products/by-products/intermediaries in an industrial ecosystem, and
(3) how to sustain the integrated production operations. These challenges require
unique production operations models and/or frameworks that address the issues
mentioned above in a sustainable and cost-effective manner.
25.3.2 NGL Case Study
The case study discussed in this paper is a Natural Gas Processing Complex
(NGPC) consisting of natural gas processing operations and related facilities.
Related facilities use the products, by-products and/or intermediary value added
materials. As such natural gas processing offers great potential for the design and
development of industrial ecosystems.
In analyzing natural gas processing (NGP) for industrial ecosystem develop-
ment, it is crucial to ensure that there is a strong link between NGP operations and
natural gas extraction (NGE) operations. This is because the type and quality of the
extracted natural gas will affect the outputs and inputs (i.e. products, by-products
and intermediaries) as well as process performances within the ecosystem. In
addition, disruptions in natural gas supply will affect the whole ecosystem in
terms of economic and environmental benefits. Therefore, natural gas supply
operations must be integrated with natural gas processing operations. On the
other hand, disruptions in downstream processing operations and related facilities
will equally affect the industrial ecosystem. For example, if the demand for NGP
products; by-products and/or intermediaries changes (increase or decrease) for any
reason (e.g. maintenance, shutdown, breakdown malfunctions or malpractices) the
already extracted natural gas has to go somewhere. This excess gas can be stored
(if provision for storage is available) otherwise this gas may have to be re-injected
into predetermine reservoirs (if they exist) or it may have to be flared. While flaring
is an opportunity cost, flaring also contributes to CO2 and GHG emissions. There-
fore, downstream natural gas processing operations and related facilities must be
integrated to NGP and NGE operations. Therefore all extraction, production,
processing and consuming operations/units/facilities must be integrated in order
to function as a system i.e. an industrial ecosystem.
The various players, operations and facilities in the natural gas processing
complex can be summarized as follows: a compendium of natural gas extraction
(CNGE) platforms, i.e. NGE1, NGE2 and NGE3 supply natural gas (associated and
non-associated) to a compendium of natural gas processing (CNGP) plants. In the
CNGP plants, two natural gas processing (NGP) plants i.e. NGP1 and NGP2 receive
natural gas directly from the compendium of natural gas extraction platforms.
NGE1, NGE2 and NGE3 are offshore operations separated from each other. Plants
NGP1, NGP2, NGP3, and NGP4 are physically separated from each other, although
they are located in the same industrial area.
NGP1 plant process natural gas into; products, intermediaries and by-products.
Hydrocarbon products from NGP1 include methane, ethane, propane and butane.
Most of the hydrocarbons are sent to the storage and loading facilities (SLFs) for
export, while ethane is sent to two different companies, company A and company
B. Company A processes ethane to polyethylene and 1-hexene while company B
further processes ethane into products such as ethylene and polyethylene. The other
product from NGP1 is pipeline quality gas which is sent directly to natural gas
consumers (NGCs) of two types i.e. power plants (NGCA) and the industry in
general (NGCB). Intermediaries from NGP1 include richer raw natural gas which
is supplied to NGP3 and NGP4 for further processing. By-products include natural
gas liquid condensate and liquid sulphur. Liquid sulphur is sent to company B
where it is used as feedstock to produce sulphur. Natural gas liquid condensate is
either sent to SLF for export or used as an input in a refinery for crude spiking.
Surplus natural gas from NGP1 is re-injected into a reservoir. This usually happens
when consumer limitations and/or plant process upsets prevail. On the other hand,
the NGP2 plant processes natural gas into hydrocarbon products such as methane,
ethane, propane and butane. Like NGP1, most of the hydrocarbons are sent to the
storage and loading facilities (SLFs) for export, while ethane is sent to companies A
and B for further processing.
NGP3 and NGP4 plants receive relatively richer raw natural gas from NGP1.
NGP3 processes the natural gas into hydrocarbon products, such as propane, butane
and pentane. These are sent to the SLFs for export. Ethane rich gas from NGP3 is
also sent to company A. Another product from NGP3 is natural gas condensate,
which is also sent to the SLFs. On the other hand, NGP4 produces hydrocarbons
such as propane, butane and pentane as well as gasoline. The hydrocarbons are also
sent to the SLFs. Ethane rich gas from NGP4 is sent to companies A and B. It is
obvious, from the summary of operations and facilities described above, that that
there are inherent relationships among the various players. These relationships need
376 F. Musharavati
to be recognized, developed, established, maintained and sustained in order to

initiate, develop, and consolidate the existence of an industrial ecosystem. An
important observation is that there is need for integrating all production operations
and related facilities. Such integration will help in synchronizing the various
activities in the different operations and related facilities.
Achieving inter-company integration requires an understanding of all production
operations, the various production processes and activities in each of the players
that are intended to function as an industrial ecosystem. While this requirement may
be difficult, time consuming and possibly prohibitive, it offers a number of benefits
to all players. Besides economic and environmental benefits, other benefits include
the realization that value should be achieved and maintained along the upstream in
extraction plants and operations through production processing operations to down-
stream operations, production operations and any other related activities.
A number of technologies currently available in most modern oil and gas
processing operations and related facilities can be leveraged to enhance, design
and develop integrated production operations along the supply-production-distri-
bution and consumption value chain. Example of such technologies include: intel-
ligent predictive applications, which reduces reactive decisions and solutions; real-
time collaborative links that allows collaborated decisions and solutions, process
visualizations and visual interactive process simulations that allow a greater level of
total process awareness and understanding; real-time process management and
control, which will allow real-time intervisions to correct, adjust, improve and/or
optimize production operations and processes in cases of disturbances, process
upsets, and supplier-customer limitations across the integrated production chain;
cooperative management, which prevents loss and eliminate or at least reduce
performance problems as and when they surface and thus preventing such problems
from compromising the effectiveness and efficiency of the integrated production
operations. These technologies can also allow improved decision making as well as
reduce risks associated with any operational activities, malpractices and
malfunctions.
While most of the technologies described in the previous paragraph are avail-
able, they need to be assembled into a framework that defines how such technol-
ogies can be implemented in an industrial ecosystem. While multiple process
integration (i.e. system integration of all players in the ecosystem) and process
optimization are key ingredients to the success of an industrial ecosystem, other
issues such as; performance degradation in any one of the players, plant availability,
and variations in supply and demand may result in sub-optimal operations that often
lead to production losses and hence unequitability in terms of economic and
environmental gains and benefits among players in an industrial ecosystem. There-
fore, production optimization must be continuous in order to sustain the relation-
ships, connecting links and interfaces in the industrial ecosystem. A method for
strategizing integrated production operations as a sustainable value optimizing
ecosystem will be discussed in the following sections.
25.3.3 Value Optimizing Ecosystem
Technologies that are required to functionalize an integrated value optimizing

ecosystem include; intelligent monitoring and control, model-based simulation,
automated diagnostics and collaborative technologies. However, what is currently
missing is an operational framework that allows an ecosystem to function as well as
continuously assess and improve value. To realize the benefits of a value optimi-
zation ecosystem, integrated production operations (IPOs) must be functional and
the functionality must be sustained throughout the life span of the ecosystem. Since
the IPOs are composed of different processes that are interrelated and hence
interconnected, total process knowledge and information must be available at the
right time in order to facilitate concurrent process optimization, concurrent process
management and concurrent as well as collaborative decision making across the
IPOs. Since the ecosystem will evolve, optimization parameters for the IPOs are
essentially moving targets that may prove difficult to identify, track and implement
in order to sustain optimization.
The relationships among the players in an industrial ecosystem can be viewed as
consisting of suppliers of inputs (i.e. products, intermediaries and by-products) and
customers of outputs. The suppliers need to understand the type of services they are
offering in the industrial ecosystem. They need to know that they are supplying the
right product, the correct amounts, and the right quality of supplies. This requires
regular discussions with the respective players about the services and solutions that
their unit provides. Such discussions will ensure value and also strengthens the
relationships among the suppliers and customers in the ecosystem. In addition,
regular and continuous dialogue also assures a timely and quality delivery of
supplier-customer services. In order to sustain the ecosystem, it is also necessary
to cooperatively manage and collaboratively improve the value exchange interfaces
of the various services offered.
Besides the challenges of designing and developing an industrial ecosystem
(as discussed in the previous sub-section), operating an industrial ecosystem is
another challenge. As pointed out previously, maintaining and sustaining value in
an ecosystem is vital to the continued existence of the ecosystem. All players in the
ecosystem must continue to realize value. An ecosystem offers a number of benefits
to the players. These benefits include; economic, environmental and societal.
Players in an ecosystem will continue to be engaged and committed as long as
the perceived benefits continue to accrue. This continuity will also help to sustain
IPOs. For the ecosystem to function and continuously generate environmental and
economic benefits, a value optimizing framework is required. A proposed NGL
industrial ecosystem and the value optimizing framework within the industrial
ecosystem will be discussed in the following section.
378 F. Musharavati
25.4 Results and Discussions
An overview of relationships among players in the proposed NGL industrial

ecosystem is shown in Fig. 25.1. Figure 25.1 shows a total of fourteen separate
entities of different sizes and located in different geographic areas within a country.
These entities include: 3 natural gas extraction operations (NGE1, NGE2 and
NGE3); 4 natural gas processing operations (NGP1, NGP2, NGP3, and NGP4);
2 different pipeline quality natural gas consumers (i.e. power plants and industries);
2 different companies (A and B) that use products and by-products from the natural
gas processing complex, 1 storage and loading facility (SLF) which receives
hydrocarbon products from the natural gas processing complex for export; 1 refinery
which uses a by-product from the natural gas processing complex and 1 facility that
distributes gasoline for local consumption.
In Fig. 25.1 it can be observed that one entitys product, value-added interme-
diary, by-product or waste (liquids, solids or gases) is either used as feedstock in
another entitys or is consumed directly. An example of a product from one entity
that becomes feedstock of another entity is the ethane rich gas that is produced from
the entity NGP4. After production the ethane rich gas it is sent two different entities
Lean Gas to Lean Gas to

Industries Power Plants
NGP
GAS CONSUMERS
COMPLEX
Excess Gas Re-Injection
NGP NGL CONDENSATE TO
SLF or REFINERY
1
NGE LIQUID SULPHUR TO A

COMPLEX
ETHANE TO A
NGE
1 NGP
HYDROCARBONS TO SLF
2
NGL CONDENSATE TO SLF
NGE
2
ETHANE TO A
NGP
NGE HYDROCARBONS TO SLF
3
3
NGL CONDENSATE TO SLF
ETHANE TO A and B
NGP
GASOLENE
4
HYDROCARBONS TO SLF
Fig. 25.1 Overview of the natural gas processing complex and related facilities (NGPCRFs)
ecosystem
(companies A and B), where it is used as feedstock for producing different types of
products. Examples of value-added intermediaries produced from entity NGP1 are
raw natural gas liquids (NGLs). The produced raw NGLs are then sent to either
NGP3 or NGP4 as feedstock for producing hydrocarbons that are stored for export
in a SLF. An example of a liquid waste that is produced from the entity NGP1 is
liquid sulphur, which is sent to entity company A where it is used as feedstock to
produce different types of products. The relationships described above illustrate
symbiotic relationships (ecological input and output) that naturally lend itself as a
potential industrial ecosystem.
Table 25.1 shows the inputoutput relationships of the various entities in the
proposed industrial ecosystem. The materials in Table 25.1 exclude the usual
wastes (solids, liquids and gases) and emissions that are associated with natural
gas processing and related facilities. These wastes also represent other opportunities
for intercompany resource exchange in the proposed industrial ecosystem.
25.4.1 Integrated NGL Ecosystem
For the integrated NGL ecosystem to work effectively, a common collaborative

environment that contains all the necessary and critical data and information about
the various processes and operations in all players must be created on a common
platform that is easily accessible by all players. Such an environment must be able
to provide accurate real time data and information which can then be used for
cooperative management and collaborative decision making. The data and infor-
mation should capture both the necessary and critical data in order to enable better
management of the ecosystem in a sustainable and cost effective manner. The real
time collaborative environment will leverage the available technology by providing
decision analysis and decision support; total process monitoring and control across
all players; prediction and optimization capabilities in the integrated NGL ecosys-
tem; total process safety monitoring; error detection and recovery capabilities as
well as maintenance and repair diagnostics. At present these technology are
scattered all over public literature and have been used to manage and control
complex adaptive systems [10]. Such technologies can be easily adapted for use
and implementation to enhance production operations and improve operations
towards manufacturing excellence and leading indicators of industrial ecosystems.
Since the optimization performance of the ecosystem will evolve with time,
software integration of total process models can also be leveraged in real time in
order to track moving optimization targets as the ecosystem evolves. This feature
will resolve any conflicting objectives during the evolution process and can be used
to execute a moving horizon optimization strategy for the integrated NGL ecosys-
tem. Such a strategy will help in sustaining optimization across multiple processes
over the life of the ecosystem. The main production-critical equipment in an
ecosystem requires accurate interpretation and prediction of performance data.
This data can be used for cooperative management and collaborative decision
Table 25.1 Inputoutput symbiotic relationships (intercompany resource exchange) among the various entities in the proposed industrial ecosystem
380
Entity type Typical operations Inputs (supplier) Outputs (receiver) End-use Typical emissions
NGE 1 Natural gas extraction Natural gas extraction Natural gas (NGP complex) NG consumption Flue gases
from field resources and accessories (NGCA & NGCB)
NGE 2 Hydrocarbons (to Insignificant
NGE 3 SLF for export)
NGP 1 Natural gas processing & Raw natural gas from field Raw natural gas Ethane to A & B Flue gases and
recoveries (NGPCRF) operations (NGEC) (to NGP3 & NGP 4) Hydrocarbons, NGL regulated flared
condensate & emissions
NGP 2 Hydrocarbons gasoline to SLF Insignificant
NGP 3 Raw natural gas from NGP 1 NGL condensate
NGP 4 Gasoline (to SLF)
SLF Storage, loading for local Storage and loading Hydrocarbons Consumption Insignificant
and international export resources and facilities Gasoline Exports
NGL condensate (consumers)
Refinery Refining operations Stabilized condensate (NGP NGL condensate (to SLF Export Insignificant
complex) for export)
Gasoline Storage, loading for local Storage and loading Consumption Consumption Flue gases
and international export resources and facilities
NGCA Power plant operations Power plant resources and Consumption Consumption Flue gases and
facilities regulated flared
emissions
NGCB Various industry sectors Industry resources and facilities Consumption Consumption Flue gases and
regulated flared
emissions
A Ethane recovery processing Ethane rich gas (NGP complex) Polyethylene & 1-hexene Consumption Flue gases
B Ethane recovery Ethane rich gas (NGP complex) Ethylene & polyethylene Consumption Flue gases
Processing Liquid sulphur (NGP complex) Sulphur
Sulphur processing
Operations
F. Musharavati
Cooperative and Concurrent Total Process Mangement

of Integrated Production Operations
Natural Natural Pipeline Ethane Gas Hydorcarbons Natural

Gas Gas Quality Gas Processing & Loading & Gas
Extraction Processing Consumers Recovery Storage Condensate
Field Refinery
Real-Time Collaborative Links Through Decision Making

Integration Components
Internet, Intranet, Ethernet with real- Capabilities with
with Hardware-Software
Time Communication Software-Hardware
Interface
Network Interface
Integrated NGL Complex Real-Time Collaborative

Real-Time Collaboration Software
(Processes, Data, Decision Making by Expert
Information and Operations) Environment Profiles
Integrated Multiple Multiple Process Optimization and Multiple Process

Process Models Modeling Performance Predictions
Integrated Automation
(Error Detection &Recovery, Advanced Automated Production Advanced Manufacturing
Repair & MaintanceDiagnostics Operations Enhancement Funtions Support Systems
Integrated Multiple Multiple Process Simulations Real-Time Multiple

Process Modeling Process Verification and
Validation
Integrated Process Control Computer Process Control and Real-Time Process Data
and Monitoring Knowledge (sampling and
Process Monitoring scanning)
Fig. 25.2 Operational framework for an integrated natural gas processing and related facilities
complex
making in bid to avoid reactive management. The software and hardware features
that enables the operations of an integrated NGL ecosystem can be designed to
operate as a closed-loop control system enhanced with advanced automation
functions that provide real time multiple process adaptive control feedback.
Figure 25.2 shows an operational mechanism for deploying functionality in an
integrated NGL ecosystem.
Figure 25.2 shows that there are some feedback loops that are used in a continual
decision making fashion. Closed loop management and control (through collaborated
and cooperative process performance feedbacks) allows the integrated NGL produc-
tion operations to track the moving optimal point targets. The accumulated data will
act as an expert support resource (in addition to human expert profiles) that can be used
382 F. Musharavati
to verify and validate multiple process models and simulations in order to provide
updated data and information. This updated data can be used to optimize the
supply-production-distribution-consumption chain in a collaborative environment.
The central goals of the collaborative environment include; continuous integrated
production enhancement, achieving operational excellence, realizing sustained pro-
duction optimization, reducing operating costs and maximizing return on investments.
25.4.2 Value Optimizing Framework in an NGL Ecosystem
Like sustainability, the move towards an industrial ecosystem usually suffers the
drawback of lack and reluctance to invest in environmental innovations [7]. In order
to realize the move towards industrial ecosystems, innovative value creating mech-
anisms, methods and frameworks that mitigate this drawback need to be developed.
Figure 25.3 shows components of a value optimizing framework for supporting,
maintaining and sustaining value an integrated NGL ecosystem.
The integrated NGL ecosystem has been visualized as consisting of a chain of
suppliers, producers, distributors and consumers of products, value added interme-
diaries, by-products, and wastes. While the underlying concepts of an industrial
ecosystem revolve around economic, environmental and societal benefits, the most
important benefit i.e. economic are not directly realized by all players in the
ecosystem. However, environmental and societal benefits can be directly realized.
Therefore, value creation is critical to the design, development and continuity of an
ecosystem. This requires innovative mechanisms and methods that can assess,
evaluate and derive value from the various interactions within the network of
players in the ecosystem. Continuous creation of value can be done by critically
examining the input output relationships among the network of players. All wastes
(solids, liquids and gases) can be considered as opportunities for continuous value
creation. continuous value creation (tangible, non-tangible) tends to position oper-
ations towards leading value indicators through production enhancements and
operational excellence. It has already been shown that the input output relationships
in an integrated NGL production operations has many products (e.g. hydrocarbons)
intermediaries (e.g. raw natural gas) and by-products (e.g. liquid sulphur) all of
which may act as feedstock in different processes to create a diverse range of
products that are required by distributors, producers, consumers and customers.
Creating value in an integrated NGL production operation would, for example,
involve the production of the right quality and right-first-time hydrocarbons. Since
these hydrocarbons are sold to other players within the network (local, regional or
international) producing high value hydrocarbons would eliminate or at least reduce
the need for multistage recoveries and purification processes on the part of the
producer. This effectively reduces production costs (tangible economic benefit) on
one hand while the producer receives reputation to deliver (intangible benefit) the
right quality, the right offering, at the right price for the right company (i.e. since
the company receiving the hydrocarbons will be part of the ecological ecosystem).
Fig. 25.3 Value optimizing framework for a functional NGL ecosystem
The receiver of the high value and high quality hydrocarbons benefits from using a
good product. If the receiver will further process the high value high quality
hydrocarbons, this will eliminate any pre-processing operations and the emissions
and effluents will be relatively less. On the other hand, innovative ideas to create
value out of, for example, gaseous emissions (i.e. indirect value linked to meeting
stringent environmental regulations and directives) will result in societal benefits.
This can be further improved towards achieving leading environmental indicators
and best practice.
Figure 25.3 shows that in order to optimize value in an ecosystem, a basic step is
to create an integrated inputoutput management process that examines and
account for all forms of inputs and outputs (solids, liquids, gasses, and resources).
This integrated approach helps to organize and execute inputoutput relationships
in an optimal and cost effective manner. Since it will be a collaborated effort
throughout the integrated NGL production operations, efficiency and effectiveness
are guaranteed. The integrated inputoutput management process also ensures that
all players know exactly what services their suppliers and customers require i.e. at
what time in what quantities and for how long. In a typical NGL production
operation, excess gas usually builds up for many reasons one of which is customer
limitations. This often leads to regulated flares with the consequences of GHG
384 F. Musharavati
emissions and related costs. While the related costs may be shouldered to the
limiting customer, frequent customer limitations may be undesirable. In a func-
tional ecosystem, customer limitations can be known in advance through predictive
simulation tools. Details of this limitation can be made available to all players
through a collaborative environment thus reducing the frequency of unexpected
flaring. Integrated inputoutput management also ensures that customers expecta-
tions, perceptions and expected responsiveness are cooperatively understood and
agreed upon beforehand. This will avoid dissatisfaction on the part of suppliers and
producers, thus building trust and cementing the important links within the
ecosystem.
In Fig. 25.3, concurrent process management and control is a function that
assesses, evaluates and matches production-consumption capacities within the
ecosystem. Operational excellence and production enhancements ensures that pro-
cess performance is consistent, will be maintained and hence value in the ecosystem
will be sustained. The logic is that total process awareness and knowledge, coop-
erative management and collaborative real-time decision making can embed and
continuously create value into the integrated process. Collaborated value exchange
finders and analysis will aim to moderate customers perceptions and process
constraints in a transparent and cost-effective manner. For this to be achieved in a
transparent manner it is necessary to define and agree upon value indicators and
expected service levels. Incremental value addition is an important step that ensures
the continued existence of mechanisms for continuously identifying, establishing,
achieving and improving value within the ecosystem. This will help to target and
measure progress towards an integrated value optimizing industrial ecosystem.
25.5 Concluding Remarks
This paper has identified a number of technologies (mature, new, and emerging)
that can leverage production operations into integrated production operations
strategies, management and control. While integrated production operations man-
agement has been accepted as an effective and efficient way of benefiting from
collaborative links and cooperative management, crucial ingredients for realizing
the full benefits of integrated production operations management and control are
still disconnected in most operations. In this paper, the underlying theme has been
that if these technologies, methods and mechanisms are assembled together in an
effective and optimal way, companies can benefit from cooperative management
and cooperative decision making based on real-time data, information, historical
patterns and experience. In order to illustrate this concept the necessary ingredients
for moving towards an integrated value optimizing ecosystem have been discussed
with reference to natural gas processing operations and related facilities.
It has been acknowledged that an ecological inputoutput exchange of materials,
resources and energy can be cast in a way that reveals economic, environmental,
and societal benefits of an ecosystem. While economic benefits may not be directly
realized, the need for optimizing value in an ecosystem has been emphasized.
In this respect, a proposed integrated natural gas processing and related facilities
ecosystem has been discussed. An operational framework that describes the input
output symbiotic relationships among the various players in an ecosystem was
outlined. In addition, a value optimizing mechanism that aims to continuously
search for incremental value addition along the supplier-producer-distributor-con-
sumer-customer chain has been suggested as an alternative way for achieving
integrated value optimization within an NGL production operations ecosystem. In
the proposed ecosystem, symbiotic value adding relationships were identified and
communicated through cooperative management and control of resource flows
through the NGL production network.
Acknowledgements This research was made possible by a UREP award [UREP 09-078-2-021]
from the Qatar National Research Fund (a member of The Qatar Foundation). The statements
made herein are solely the responsibility of the author(s).
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Chapter 26
Mass Transfer and Bubble Flow Dynamics
in Aqueous Solutions for Hydrogen
Production Cycles
O.A. Jianu, M.A. Rosen, G.F. Naterer, and Z. Wang
Abstract The hydrogen economy is one potential avenue to a clean energy system,
and a promising option for hydrogen production is thermochemical water decom-
position. This process involves multiple steps, some consisting of multiphase
reaction systems. Here, the thermodynamics and kinetics of vapour diffusion and
entrainment for ascending bubbles in a vertical column are examined through
experimental studies for various gas production rates. The vapour entrainment is
interpreted in terms of the phase transition rate, and its dependence on such
operating parameters as gas bubble size, liquid depth, temperature, pressure and
concentration is examined. These effects are investigated experimentally, and a
phase transition correlation is developed to analyze these parameters. Also, a
predictive model is developed to simulate the physical processes of bubble trans-
port in a vertical liquid column, as it occurs in water splitting processes such as
oxygen generation in the copper-chlorine thermochemical cycle, as well as hydro-
gen generation in electrolytic and photocatalytic processes.
26.1 Introduction
Due to increasing impacts on ecosystems, the economic costs associated with

climate change and other environmental impacts, engineers, scientists and others
are increasingly pursuing clean energy technologies. A hydrogen economy in which
the two main energy carriers are hydrogen and electricity is one promising
O.A. Jianu (*) M.A. Rosen Z. Wang

2000 Simcoe Street North, Oshawa, ON, Canada
G.F. Naterer
Faculty of Engineering and Applied Science, Memorial University of Newfoundland,
St. Johns, NL, Canada A1B 3X5

388 O.A. Jianu et al.
approach. Hydrogen energy systems can have a significant role in providing

environmental sustainability [1]. Hydrogen production is an important aspect of a
hydrogen economy. Current methods of hydrogen production are often
unsustainable as they are based primarily on fossil fuels such as natural gas or
coal, which release CO2 into the atmosphere. Promising alternatives for sustainable
hydrogen production are thermochemical water decomposition cycles for large-
scale production and electrolytic and photoelectrolytic cycles for smaller scale
production. Thermochemical cycles may prove particularly beneficial for large-
scale hydrogen production. One such cycle that has the advantage of operating at
lower temperatures (below 600 C) is the copper-chlorine thermochemical cycle,
which uses mainly thermal energy to split water into hydrogen and oxygen [2]. This
is achieved by continuously recycling the intermediate compounds (i.e. copper and
chlorine) without releasing pollutants into the environment. A thermochemical
hydrogen production cycle usually involves multiple steps, some consisting of
multiphase reaction systems [3, 4]. To improve efficiency and cost-effectiveness,
it is important to optimize the multiphase system design and the process integration.
Another method of water splitting is conventional water electrolysis, which has
been used for hydrogen production since the early nineteenth century. It yields
hydrogen at about 99.99 % purity compared with 98 % purity obtained from fossil
fuel based methods [5]. Electrolysis produces hydrogen already separated from
oxygen. However, electrolysis is relatively costly compared to other methods such
as steam methane reforming (SMR). In water electrolysis, the water is split into
hydrogen and oxygen using an electric current. The overall efficiency of hydrogen
production through water electrolysis depends on two factors: electricity-to-hydro-
gen efficiency and energy source-to electricity conversion efficiency [6]. Therefore,
the electricity-to-hydrogen performance of electrolytic processes is intrinsically
related to mass transfer effects, which are influenced by hydrodynamics. The
electrical and thermal properties of the electrolyte, diffusive transport of
electroactive species and current density are modified by the dispersed phase
(i.e. gas bubbles) and affect the macroscopic cell performance [7]. Fluid flow in
the cell depends on the release of gas bubbles which depends on the cell design, so
understanding gasliquid flows in electrolytic systems is important for addressing
mass transport, system optimization and efficiency improvement.
The gases released at the electrode surface rise upward due to buoyancy. The
presence of the gas phase at the electrodes can be detrimental to the overall
performance of the process as it blocks the active surface area of the electrodes
and increases the resistance of the electrolyte [8]. The presence of gas bubbles and
their motion has a significant impact on the performance of the electrolytic cell
[9]. Boissonneau and Byrne investigated the velocity field in an electrolytic cell
with vertical electrodes through Laser Doppler Anemometry and Particle Image
Velocimetry (PIV) [8]. Their experiment related the gas evolution to the hydrody-
namics of electrolyte flow through a narrow vertical channel. Although the flow was
laminar, the bubbles induce local turbulence which causes velocity fluctuations due
to the interactions with the continuous phase.
26 Mass Transfer and Bubble Flow Dynamics in Aqueous Solutions. . . 389
Ali and Pushpavanam [10] studied the effects of gas evolution on hydrodynam-
ics of water electrolysis in a partitioned electrolytic system using PIV. Their
research was conducted for various electrode designs and different operating
conditions such as voltage and concentration. As a result, they determined that
the optimum condition for mixing was based on liquid circulation. Circulation was
computed as a measure of irrotationality or irreversibility in the system. The results
were verified further quantitatively by analyzing time averaged velocity profiles
along a line. The temporal variation of liquid velocity at a point was also analyzed.
It was found that velocity components exhibit turbulent fluctuations about a mean
value [10].
Photoelectrolysis uses solar irradiance to decompose water into hydrogen and
oxygen. The process may use two doped semiconductor materials. A p-type and
n-type are brought together forming a pn junction [6, 10]. A permanent electric
field is formed at the junction when the charges in the n-type material rearrange.
When a photon with energy greater than the semiconductor materials bandgap is
absorbed at the junction, an electron is released and a hole is formed [11]. The hole
and electron are forced to move in opposite directions due to the electric field. As a
result, an electric current is created when an external load is connected [12].
Similarly, in photoelectrolysis, water is decomposed into hydrogen and oxygen
when a photocathode, p-type material with excess holes, or a photoanode, n-type of
material with excess electrons, is immersed in an aqueous electrolyte [6, 12,
13]. Holladay et al. [11] summarized the process in four steps. First, a photon
with greater energy than the bandgap strikes the anode, creating an electron-hole
pair. Second, the holes decompose water at the anodes front surface to form
hydrogen ions and gaseous oxygen, while the electrons flow through the back of
the anode, which is electrically connected to the cathode. Third, the hydrogen ions
pass through the electrolyte and react with the electrons at the cathode to form
hydrogen gas. In the last step, the oxygen and hydrogen gases are separated by the
use of a semi-permeable membrane. The separated gases are then processed and
stored [11].
The efficiency is directly related to the semiconductor band gap, which limits the
usage of different wavelengths. This is the energy difference between the bottom of
the conduction band and the top of the valence band. Efficiency is also related to the
band edge alignments, since the material or device must have sufficient energy to
split water [11]. In order to increase the efficiency of the system, electron transfer
catalysts may be used. However, these can minimize the surface over-potentials in
relation to the water and facilitate the reaction kinetics, decreasing the electricity
losses in the system [11]. As a result, appropriate surface catalysts for the systems
are being sought. Such catalysts must remain active for as many as 108 redox
reaction cycles, which is the equivalent of 20 years of operation [6]. Researchers
also suggested the use of suspended metal complexes in solution as the photochem-
ical catalysts [14]. Typically, nano-particles of ZnO, Nb2O5 and TiO2 have been
used [11, 15].
Gas bubbles exist in gas-liquid, gas-solid, and gas-liquid-solid systems such as
the prior systems. The formation of bubbles through nozzles or orifices submerged
in viscous liquids represents an important process in gasliquid flow contacting

equipment such as bubble columns, sieve plate columns, and sparged vessels. In
general, particulate systems are classified on the basis of the state of the particle
present as gas bubbles, liquid drops, or solid particles/agglomerates [16]. The
prediction of gas-liquid contact through bubbles is complex. To understand the
process of gas bubbling in a liquid pool, it is necessary to understand the process of
bubble formation. The process of bubble formation is governed by many operating
parameters (i.e., gas flow rate through the orifice, mode of operation, flow condition
of the liquid), system properties (dependent on orifice dimensions, orifice chamber
volume), and also the physicochemical properties, such as liquid viscosity, liquid
density, and nature of the liquid (i.e., polar or nonpolar), which affect the mode of
bubble formation and subsequently bubble size. The main forces acting on a
moving bubble are gravity, buoyancy, drag, viscous forces, added mass force, and
the lift force. In many cases, the gas-liquid properties, orifice dimensions and the
type of fluid govern these forces. The flow rate of gas through an orifice and orifice
dimensions mainly affect the bubble frequency and thus the detachment time.
Similarly, the orifice chamber volume affects the back pressure on the bubble and
hence bubble sizes in general [16].
Studies by Clift at al. [17] and Duineveld [18] reported that bubbles with
diameters less than 1 mm rise through water and retain their spherical shape due
to surface tension. Also, the trajectory follows a nearly straight line. However, this
is not the case for larger bubbles. Researchers reported deformations due to the
increase in hydrostatic and dynamic pressures over a bubbles surface [19,
20]. Therefore, large bubbles first deform into oblate spheroids, then become
ellipsoidal, and with further increase in size, switch into a spherical or ellipsoidal
cap shape [21]. The gas-phase density can be increased by increasing the pressure
or using a higher molecular weight gas. As a result of increased gas density, the
difference between the densities of two phases decreases, resulting in smaller sized
bubbles and also a reduction in the buoyancy force [16]. According to this model,
the bubble volume at the end of detachment remains the same for all bubbles
generated from all holes on a porous plate [22]. Since the sizes of bubbles after
its formation and its wake affect the rise velocity and direction of rise, i.e.,
trajectory in the liquid, they influence the above-mentioned dynamic processes,
overall turbulence in the system and performance of the equipment to some extent
[16, 23, 24].
With rising bubbles, past studies have shown a rectilinear path becomes a zigzag
or spiral pattern, then quasi-rectilinear as the bubble size increases until it becomes
a spherical cap. This has been observed in liquids of small Morton number
[21]. However, the bubble size does not affect the trajectory in large Morton
numbers as a rectilinear path is observed regardless of diameter [25]. Researchers
also observed rocking motions for different Reynolds numbers [26]. Ohta et al. [23]
discussed the trajectory of a larger bubble consisting of primary and secondary
structures. The primary structure is defined as the structure where the bubble begins
to oscillate and rise in a zigzag motion as soon as the bubble is released and reaches
the terminal velocity. The secondary structure follows soon after when the bubble
attains a special shape at terminal velocity.
In this paper, both experimental and modeling studies are performed to examine
the dynamics of bubble flows and kinetics of water vapour transfer, particularly
related to processes of hydrogen production at a liquid-solid interface. The solid
could be a electrode, catalyst, or reactant. Experimental data are obtained and
correlated with non-dimensional parameters involving the bubble diameter, veloc-
ity and trajectories such that the water vapour transfer rate can be quantified under
different operating conditions for various hydrogen production methods.
26.2 Experimental Setup
In an electrolytic step of a conventional hydrogen production cycle, water is split to

produce hydrogen by means of an electric current. Hydrogen gas is produced on the
cathode of the electrolyzer, whereas oxygen gas is produced on the anode. The gas
bubbles rise to the surface, carrying a certain amount of moisture from the water.
Furthermore, in the decomposition step of the Cu-Cl cycle, oxygen gas rises
through the molten salt (i.e. molten CuCl). Due to the motion of oxygen, CuCl mass
is transferred across the interfacial boundary. The temperature out of the reactor
quickly decreases, causing the molten salt to solidify which ultimately may clog the
outlet of the reactor. Additionally, unreacted solid particles of Cu2OCl2 are
descending as the oxygen bubbles are rising. These solid particles affect the motion
of the oxygen bubbles, which in turn may affect the reaction rate. Modeling of the
multiphase flow is needed to better understand the processes and develop methods
that prevent pipe clogging. An experimental loop was designed and built at the
University of Ontario Institute of Technology (UOIT) in the Clean Energy Research
Laboratory (CERL) to facilitate better understanding of the physics of gas-liquid
systems and to quantify the mass transferred across the boundaries of the bubbles in
multiphase flows.
The apparatus consists of a 270.8 mm high, 203 mm diameter, clear PVC
vertical column filled with liquid. Nitrogen gas is supplied and bubbles are gener-
ated through a porous surface. The size and number of bubbles varies with the
nitrogen flow rate such that less bubbles with bigger diameters are formed for lower
flow rates, while more bubbles with smaller diameters are formed for higher flow
rates. The flow rate of nitrogen is set manually using rotameters. Bubbles flowing
through the porous surface rise up through the water. Due to the motion of a bubble
through water, some of the water molecules from the liquid diffuse across the
boundary of the bubble and they are carried out of the water column. In order to
determine the amount of water carried to the surface, a humidity analyzer was
installed at the gas exit. Type T thermocouples have also been installed at five
different locations in order to record the temperature of the water as well as the
temperature of the gas. LabVIEW software was used to view and record the data
Fig. 26.1 Schematic of experimental setup
captured by the humidity sensor and thermocouples. A schematic of the experi-

mental setup is presented in Fig. 26.1.
In order to better understand the flows with bubble generation and dynamics, it is
important to map the bubble size, bubble number, and bubble velocity as bubbles
rise through the liquid. Hence, DynamicStudio Shadow Sizer was employed to
measure the bubble dynamics. The particles rising through the medium are backlit
with an LED light source with a trigger frequency of 400 Hz, pulse of 100 s and
delay of 10 s. A glass diffuser is used in order to obtain an even light sheet so that
the camera can acquire a shadow image of the moving particles. A FlowSense 2ME
camera with an effective sensor size of 1,600 by 300 pixels was used to capture
images. Images were captured in single frame mode with a trigger frequency of
91 Hz, delay to open of 3.5 s, delay to close of 10,920 s and exposure time of
95 s. The particle in motion was frozen with the aid of a short light flash and a
sychronization device. The timer box for imaging applications started automati-
cally so that the camera and LED light array were synchronized at the start of the
acquisition process. The camera and light system were set up as shown in Fig. 26.1.
The stands were custom built so that images can be taken at precise specified
heights from the gas exit.
26.3 Bubble Flow Model
26.3.1 Assumptions
Various assumptions similar to past studies [16] were adopted. It was assumed that
the wall does not significantly influence the ascending gas bubbles. Since the
volume of the liquid within the column was much larger than the volume of the
bubbles formed, it was assumed that the liquid is a semi-infinite medium in
comparison to bubble volume. Also, viscous effects were neglected on the change
of bubble size. It was assumed that the gas followed ideal gas and incompressible
flow. Since the gas injection rate was constant, it was assumed that the bubble
velocity was proportional to the flow rate with no allowance for a change in bubble
cross-section during ascension. Additionally, the motion of the bubble was not
affected by the presence of another bubble immediately above it. During motion,
the gas-liquid interface was acted on by a pressure difference between the gas and
liquid and by surface tension forces, which are constant and uniform. The gas
bubbles were assumed to be spherical.
26.3.2 Dimensionless Parameters
This subsection presents a new predictive model involving the mass transfer across
the boundary of the gas bubble with respect to its size, shape, velocity and height
traveled. The trajectories of bubbles are strongly influenced by bubble deformations
and the surrounding liquid flow [19]. Past studies have shown that the Reynolds
(Re), Eotvos (Eo) and Morton (Mo) numbers are useful for describing a rising
bubble motion because the shape and terminal velocity of the bubble are influenced
by these three dimensionless parameters [23]. In order to better understand how the
three numbers describe the bubbles motion, it is necessary to determine their
values. The Reynolds number is the ratio of inertia forces to viscous forces in the
fluid:
VLc VLc
Re 26:1

where V is the bubbles velocity in m/s, Lc is the diameter of the bubble in units of
m, is the dynamic viscosity of the fluid in units of Pa s, is the density of the fluid
in units of kg/m3 and is the kinematic viscosity of the fluid in units of m2/s.
The Eotvos number characterizes the shape of the bubble and it is proportional to
the buoyancy force divided by the surface tension force:
gL2c
Eo 26:2

where is the density change of the two phases and is the surface tension in
units of N/m. The Morton number is used together with the Eo number in order to
characterize the bubbles shape:
g4
Mo 26:3
2c 3
When a drop deforms, its surface area increases with respect to a spherical drop
of the same volume. Mass transfer between a droplet and a liquid is proportional to
the surface area of the droplet [27].
26.3.3 Mass Transfer in Bubbles
Mass transfer between a droplet and a fluid has been extensively studied in the past.
Theoretical models for mass transfer rate predictions from rising bubbles have been
developed. Some of these models have been used for non-Newtonian fluids
[2831], whereas others for different Reynolds numbers [2729, 3236]. Analogous
to heat transfer, mass transfer occurs due to diffusion and convection. The rate of
mass diffusion of a chemical species A in a stationary medium in the direction of
x is proportional to the concentration gradient dC/dx in that direction and it is
expressed by Ficks law of diffusion [27]:
dCA
m_ diff DAB 26:4
dx
where DAB is the molecular diffusion coefficient in units of m2/s and CA is the
concentration of species in the mixture at that location in units of kg/m3.
Different types of diffusion have been reported in the past [37]. Diffusion takes
place when the primary driving mechanism is a concentration gradient. Thermal
diffusion takes place as a result of temperature gradients. Forced diffusion occurs
when an external force field such as electric or magnetic field is applied to the
mixture in order to separate molecules from the mixture. Knudsen diffusion refers
to diffusion between a porous solid with pores smaller than the mean free path of a
gas molecule. Also, surface diffusion results when the size of gas molecules is
comparable to the pore size and molecules are absorbed along the pore walls. All of
these diffusion processes occur when the two mediums are stationary. A different
type of mass transfer occurs when the media are in motion. Convection mass
transfer refers to the transfer of mass between a surface and a moving medium as
a result of both mass diffusion and bulk fluid motion [37]. Similar to heat transfer,
mass transfer is influenced by surface geometry, flow velocity, flow regime, fluid
properties and composition. Due to the processes that arise as a result of fluid
motion and its properties, mass transfer is determined based on experimental data.
Therefore, the relative magnitude of molecular momentum and mass diffusion in
the velocity and concentration boundary layers are expressed by the dimensionless
Schmidt number defined as follows [37]:

Sc 26:5
DAB
In heat transfer analysis, it is convenient to express the heat transfer coefficient

in terms of the dimensionless Nusselt number. Likewise, in mass transfer, the mass
transfer coefficient is expressed in terms of the dimensionless Sherwood number
[37]:
hmass Lc
Sh 26:6
DAB
where hmass is the mass transfer coefficient in units of m/s primarily indicating the
convective contribution, and DAB is the molecular diffusivity in units of m2/s
indicating the diffusive contribution.
Considering external flow with a free stream condition, wA,1, the mass transfer
condition at the surface can be expressed as [37]:

wA
jA, i DAB hmass wA, i wA, 1 26:7
y y0
where jA,i is the mass transfer flux in kg/s m2, wA,s is the mass or mole fraction of
medium A at the surface, depends on the units of mass transfer flux. This paper will
adopt mass fraction.
For an internal flow and using bulk motion properties, the above relation can be
rewritten as:

dwA wA, i =wA, 1 wA, i hmass Lc
Sh 26:8
dy=Lc y0 DAB
Another method to determine the Sherwood number is given in terms of the

Reynolds and Schmidt numbers. The expression is given as follows [38]:
Sh cRe1=2 Sc1=3 26:9
where c is a constant. This expression is used when the bubble can be assumed to be
rigid and non-deforming.
Table 26.1 Various parameters influencing the mass transfer

Variable Description SI units Dimension
hmass Mass transfer coefficient m/s LT1
Lc Diameter of gas bubble m L
l Density of liquid kg/m3 ML3
g Density of gas within bubble kg/m3 ML3
l Dynamic viscosity of liquid Pa s ML1 T1
g Dynamic viscosity of gas Pa s ML1 T1
Dlg Diffusivity of liquid into gas m2/s L2T1
Dgl Diffusivity of gas into liquid m2/s L2T1
Surface tension kg/s2 MT2
V Velocity m/s LT1
26.3.4 Non-dimensional Correlations
The non-dimensional correlation will have the following form [39, 40]:
y C0 tC1 1 tC2 2 . . . tCn n 26:10
where values of t are the various independent parameters influencing the mass
transfer and C are the coefficients. A dimensional analysis is necessary in order to
determine relations among physical quantities governing the mass transfer coeffi-
cient and obtain a general empirical equation. Mass transfer across the boundary of
a gas bubble is dependent on different variables such as the velocity of the rising
bubble, size and shape of the bubble, distance it travels and the temperature of the
surrounding fluid. Table 26.1 lists the key parameters needed for the analysis of
mass transfer across the interface, their units and dimensions in terms of mass (M),
length (L), time (T) and temperature (K).
The Buckingham theorem was used for the purpose of non-dimensional
groups. An equation expressing the mass transfer coefficient as a function of the
mass transfer parameters can be written as follows:

hmass f Lc ; l ; g ; l ; g ; DAB ; DBA ; V 26:11
After investigating the dimensions, three dimensionless terms were deter-

mined. The terms are expressed in Table 26.2.
The following equation was obtained based on the above dimensional analysis:
1 f 2 ; 3 26:12
Equation 26.13 can be represented in terms of the dimensionless groups as:
Sh cRen1 Eon2 26:13

Table 26.2 Correlations of terms Dimensionless group Name

terms
1 hmass Lc
DAB
Sherwood number
2 VLc Reynolds number

3 gL2c Eotvos number

Fig. 26.2 Aquired image for 2 L/min
where n1 and n2 are coefficients to be determined. In order to determine the

coefficients in Eq. (26.13), experimental data were utilized. Diameters of gas
bubbles were obtained using DynamicStudio using the steps described in the
previous section.
DynamicStudio software, an advanced edge detection algorithm to extract the

bubble shape information, was used to acquire and process the images. The
shadow sizer processing method was used to extract information such as size,
position, shape and velocity of bubbles. Prior to image processing, a set of calibra-
tion images was acquired. This step was necessary because it enables the measure-
ment of a scale factor. The scale factor was used to determine the conversion of
pixel units into metric units. Figure 26.2 depicts the acquired image at a flow rate of
2 L/min)
It can be seen that the gas bubbles are irregular in shape and their diameters are
different. Each bubble carries a different amount of moisture. Due to their iregular
shape, more mass is transferred across the boundary compared to spherical bubbles.
The size of the bubbles also affects the amount of mass transferred across the
boundary; more moisture is carried by the larger diameter bubbles. It is important to
note that bubbles rise up in a spiral motion which enhances the mass transfer across
the interface. After aquiring the images, they were processed using the Shadow
Image module of DynamicStudio. In order to ensure that all gas bubbles were
analyzed by the software, a grey level profile of the bubbles was determined.
Fig. 26.3 Processed image

for 2 L/min
The images were then processed in order to obtain useful information such as
diameter, area, shape, position and velocity of the bubbles. The velocity informa-
tion was extracted by combining a correlation algorithm and measuring displace-
ment between two successive images via a dedicated particle-tracking algorithm.
Figure 26.3 depicts the processed image with velocity vectors.
All bubbles from the acquired image were analyzed by the software due to the
choice in the grey level profile. The results obtained after analyzing the image are
listed in Table 26.3.
These results have been used to calculate the Sherwood, Reynolds and Eotvos
numbers in order to develop correlations that determine the amount of mass transfer
across the interface of the gas bubble as it rises through the liquid. Diffusive mass
transfer occurs across the interfacial boundaries of the gas bubbles. In order to
determine the amount of mass transferred and carried out of the column, a humidity
sensor was used to measure the change in relative humidity. The change in relative
humidity is shown in Fig. 26.4.
Since a change in relative humidity was observed, it was necessary to develop a
correlation relating the change in relative humidity (i.e. mass transfer) to the
parameters causing this change. A set of 165 data points was compiled and used
for analysis. Once the diameters of different size gas bubbles were obtained using
DynamicStudio, it was possible to calculate the three dimensionless groups
represented in Table 26.2. The dimensionless groups were calculated using
MATLAB. Equations (26.1), (26.2) and (26.9) were used to calculate the Reynolds
number, Eotvos number and Sherwood number, respectively. The constant c in
Eq. (26.9) was chosen to be the change in relative humidity. Scatter plots were then
generated using MS Excel. The plotted data were then analyzed using a log-log
scale as seen in Fig. 26.5.
The slope of the log-log regression obtained from the equation of the line
provides the coefficient for the associated scatter plot. From the equation of the
line, a slope of 0.435 was obtained, therefore, the coefficient n1 in Eq. (26.13)
becomes n1 0.435. The statistical R2 value of 0.908 is an indication that data
correlate at this point. The next step was to determine the coefficient of the Eotvos
number. The effect of Re is included in the second plot. Figure 26.6 depicts the
scatter plot of Eo versus the other terms.
From the equation of the line, a slope of 0.279 was obtained. This becomes the
coefficient of the Eo number such that n2 0.279. The R2 value of 0.993 is also a
26
Table 26.3 Results with DynamicStudio for 2 L/min

Centroid Xa Centroid Ya Area Perimeter Equivalent Major axisb Minor axisc X-direction Y-direction
(mm) (mm) (mm2) (mm) diameter (mm) (mm) (mm) velocity (m/s) velocity (m/s)
27.18 19.87 166.70 18.30 5.69 4.28 1.90 0.00 0.30
38.49 18.68 38.59 9.30 2.74 2.30 0.82 -0.03 0.31
40.19 35.89 110.11 15.10 4.62 3.66 1.49 0.12 0.32
53.20 15.62 40.87 8.69 2.82 2.10 0.96 0.16 0.37
57.60 31.77 31.26 7.63 2.46 1.80 0.86 0.16 0.36
63.25 27.98 50.33 9.76 3.13 2.22 1.11 -0.06 0.28
67.83 8.42 46.21 9.61 3.00 2.35 0.97 0.01 0.30
68.77 27.81 36.76 8.24 2.67 1.97 0.92 0.18 0.32
80.72 15.78 53.23 9.15 3.21 2.06 1.28 0.21 0.21
a
Measured with reference to the frame of the image
b
X-direction axis
Mass Transfer and Bubble Flow Dynamics in Aqueous Solutions. . .
c
Y-direction axis
399
Fig. 26.4 Change in humidity for different flow rates
Sh vs. Re
Fitted curve
Sh
101
101.1 101.3 101.5 101.7

Re
Fig. 26.5 Scatter plot and linear regression for Re versus Sh

Sh/Re^0.435 vs Eo
100.7 Fitted curve
100.6
Sh /Re0.435
100.5
100.4
103
Eo
Fig. 26.6 Scatter plot of Sh/Re0.435 versus Eo
good indication that the data correlates. Thus, a correlation has been attained as
follows:
Sh Re0:435 Eo0:279 26:14
This experimental data and correlation provide useful information for better
understanding of diffusive mass transfer through bubbles, particularly for applica-
tions related to hydrogen production.
26.5 Conclusions
Relations between the flow dynamics and mass transfer kinetics of multiphase flows
involving gas bubbles and the amount of water vapour entrained by the vapour
phase have been examined. Experimental data were obtained for the change of
bubble moisture and velocity to simulate the hydrogen and oxygen bubbles rising in
a quiescent liquid. A new correlation was developed to relate the bubble dynamics
and water vapour generation rate with Reynolds and Sherwood numbers particu-
larly involving the amount of mass transferred across the interfacial boundary. The
experimental data and model presented in this paper can provide a better under-
standing of the gas bubble dynamics and water vapour generation kinetics related to
hydrogen production.
Acknowledgements Financial support from the Ontario Research Excellence Fund and Atomic
Energy of Canada Limited (AECL) is gratefully acknowledged.
Nomenclature
C Concentration kg/m3
D Diffusivity m2/s
Eo Eotvos number
hmass Mass transfer coefficient m/s
jA,i Diffusive mass flux kg/s m2
Lc Diameter of the bubble m
Mo Morton number
Re Reynolds number
Sc Schmidt number
Sh Sherwood number
V Bubble velocity m/s
w Mass mole fraction
Greek Letters
Dynamic viscosity of the fluid Pa s
Density kg/m3
Surface tension kg/s2
Subscripts
A Species A
B Species B
g Gas
l Surrounding liquid
i Interface
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Chapter 27
Numerical Analysis of the Thermo-
mechanical Behavior of Energy Piles
Heng Zhao, Ping Cui, Lin Lu, and Zhaohong Fang
Abstract A finite element model is developed to investigate the thermo-

mechanical behavior of the energy pile in detail. In the model, soil is regarded as
a kind of thermo-elastic-perfectly plastic material, and the interaction between the
pile and soil is modeled by contact elements. In order to save the computing time,
the U-tubes in the energy pile are simulated by line elements, which are proved to
be suitable for calculating the temperature of the pile. To deal with the thermo-
mechanical multi-field problem, the sequential coupling method is utilized. The
simulation results show that the thermally induced stress and deformation in the pile
can be significantly influenced by the properties of the soil, the applied mechanical
load and the restraint condition at the pile head. Long-time simulations of the
energy pile with cyclic heat injections and extractions indicate that the thermal
cycles would induce an unrecoverable settlement of the pile, and the ultimate
bearing capacity of the energy pile may need to be redefined in view of its long-
time performance.
Keywords Energy pile Thermo-mechanical behavior Numerical analysis

U-tube Load
H. Zhao
Postdoctoral Workstation, Shandong Fangya GSHP Technology Co., Ltd., Jinan, China
P. Cui
Shandong Key Laboratory of Building Energy Saving Technologies, Shandong Jianzhu
University, Jinan, China
L. Lu
Department of Building Service Engineering, Hong Kong Polytechnic University, Hong Kong,
China
Z. Fang (*)
Postdoctoral Workstation, Shandong Fangya GSHP Technology Co., Ltd., Jinan, China
Shandong Key Laboratory of Building Energy Saving Technologies, Shandong Jianzhu
University, Jinan, China

406 H. Zhao et al.
27.1 Introduction
The Ground-Coupled Heat Pump (GCHP) technology now has been widely utilized
for space heating and cooling due to its high energy efficiency and environmental
friendliness [1]. In this technology, the ground heat exchangers (GHEs) for absorb-
ing and transporting thermal energy from ground are traditionally consisted of
vertically or horizontally buried high-density polyethylene tubes with circulated
anti-freezing fluid inside. As the traditional GHEs especially for the ones consisted
of vertically buried tubes often require a higher initial cost and a large plot of land, a
new kind of GHEs named energy piles, in which the tubes are buried in the piles,
has become a better choice recently [24].
Different from the traditional pile mainly used to support the upper structure, the
energy pile has to work as a GHE with temperature changing in the entire pile
foundation. As a result, thermal strain and stress would be generated in the pile and
surrounding soil, and influence the piles mechanical behavior. This thermo-
mechanical behavior of the energy pile has been noted by many researchers, and
some preliminary studies have been carried out. The results from two in-situ tests
indicated that the increase of compressive stress or the total tensile stress could get
up to 2 MPa with a temperature change of 20 C in the pile [5, 6], implying that it is
possible for the pile to fail. Moreover, a centrifuge model test indicated that the
temperate change even has a significant effect on the piles ultimate bearing
capacity due to the change of contact pressure on the pilesoil interface [7, 8]. A
few models have been present to analyze the energy piles thermo-mechanical
behavior, such as the finite element model [9], the revised load transfer method
[10]. In these studies there are more or less some factors presumed not to be
considered but without knowledge on that to what extent they can be neglected,
such as the soils thermal deformation, the cyclic thermal load, and etc. More
importantly, there is almost no study on the long-time behavior of energy piles.
In this paper, a finite element model is developed to investigate the thermo-
mechanical behavior of energy pile in detail, including the thermally induced stress
and displacement in the pile and the piles bearing capacity. With parametric
analysis, the influence of soils properties and the applied mechanical load is
analyzed. Based on the long-time thermo-mechanical coupling simulations, the
influence of cyclic thermal loadings is studied.
In this paper, the positive value of stress, if not noted, represents compression,
and the piles displacement is defined as positive when it is in the up direction.
27.2 Model Development and Verifications
The commercial software ANSYS is employed to operate the numerical analysis,

with the sequential coupling method utilized to deal with the thermo-mechanical
multi-field problem. To reasonably simulate the energy pile, there are some key
27 Numerical Analysis of the Thermo-mechanical Behavior of Energy Piles 407
points including the constitutive laws of the soil and pile, the simulation of the pile
soil interface, the modeling of U-tubs and the initial and boundary conditions.
27.2.1 Materials Constitutive Laws
The thermo-mechanical behavior of soil is very complex, for which several

advanced but complicated constitutive models have been developed. Here we
employ a simple thermo-elastic-perfectly plastic constitutive model based on
Drucker-Prager failure criteria. In this model, the behavior of soil is divided into
two stages: the thermo-elastic stage and the perfectly plastic stage. In the thermo-
elastic stage, the relation between the soils strain and stress can be expressed as
ije Dijkl kl Tij 27:1
where eij is the thermo-elastic strain tensor, kl the stress tensor, Dijkl the compli-
ance tensor, ij the Kronecher delta, the coefficient of thermal expansion, and T
is the temperature change. In the perfectly plastic stage, the stress satisfies
2 sin 6c cos
f p I , 1 I , 2 p 0 27:2
33 sin 33 sin
where I,1 and I,2 are the first and second invariants of the stress tensor respec-
tively, and c are the soils internal friction angle and cohesion respectively. In this
stage, the plastic strain pij would occur. With an associate flow rule it satisfies
dijp df = ij 27:3
where dpij is the increment tensor of plastic strain, and d is a non-negative scalar.
The total strain of the soil ij is the sum of the thermo-elastic strain and the plastic
strain, i.e.,
ij ije ijp 27:4
The material of the energy pile is regarded to be isotropic and thermo-elastic. Its
modulus Ep can be estimated by the proportions of its cross section as
Ep Ac Ec As Es =Ap 27:5
where Ec and Es are the elastic modulus of concrete and steel respectively, Ac and As
are the corresponding area, and Ap is the total area of the cross section. Actually, Ep
in Eq. (27.5) is the piles vertical elastic modulus, but very near to the modulus in
other directions.
408 H. Zhao et al.
27.2.2 PileSoil Interface
The pilesoil interface is used to transfer the interacting force between the pile and
soil. To correctly simulating the piles behavior, the model of the pilesoil interface
is very important. Here we employ the contact elements which describe the
interface as rigid-perfectly plastic. To account for the strength loss on the interface,
the friction coefficient and cohesion are set to be 2/3 times the soils corresponding
value. Contact elements are also applied under the pile toe, which implies that there
will be no tensile stress at the pile toe. For the energy pile which is often long,
during the construction it is usual difficult to clean the base of the drilling hole
completely. So it is reasonable to think that the residual gravel and soil would make
the pile toe unbearable to any tensile force.
In order to verify the contact elements, a simulation of a published in-situ pile
test [11] is made. In the test, a traditional pile was constructed near the University of
California, Berkeley campus. The diameter of the pile was 0.76 m and the length
was 5.8 m. Unconfined compression tests showed that the un-drained shear strength
of the soil is 84kPa. Compared with the results from the in-situ test, the simulated
load-displacement curve is illustrated in Fig. 27.1. It can be seen that the contact
elements can model the pilesoil interface well.
27.2.3 U-Tubes
In the finite element model, as the temperature gradient near the U-tube is very
steep, a fine mesh is often required. It obviously will increase the calculation time
and memory consumption. However, for the thermo-mechanical behavior analysis
of the energy pile which mainly focuses on the total temperature change in the
whole pile, the domain near U-tubes can be meshed coarsely with the U-tubes
modeled by line elements, as illustrated in Fig. 27.2a. Even so, it should be noted
that as the line elements neglect the diameter of the tubes, the calculated U-tube
temperature will be totally different from the actual value, regardless of the mesh
size in the nearby domain.
To make sure that the line elements are suitable, a more accurate finite element
model is also built in which the U-tubes are model as real tubes by solid elements,
as shown in Fig. 27.2b. Using these two different models, the heat transfer process
of an energy pile with 4 U-tubes is simulated, in which the pile keeps injecting heat
into the ground at a constant power W 1 kW. Their calculated average temper-
ature changes in the pile are illustrated in Fig. 27.3, which shows that the two
models give almost the same results.
Fig. 27.1 Calculated load-

displacement curve by the
contact elements
Fig. 27.2 Mesh of the energy pile with U-tubes modeled by (a) line elements; (b) solid elements
Fig. 27.3 Comparison of

the piles calculated average
temperature using two
different models in which
U-tubes modeled by
different kinds of elements
410 H. Zhao et al.
27.2.4 Initial/Boundary Conditions
The initial temperature of the pile and soil is assumed to be uniform. The initial
stress in the soil due to the gravity is calculated first by the numerical model, and
then applied in the model without strain. The outer boundary of the numerical
model should be determined with consideration of the influence domain of the
energy piles from both the heat transfer and mechanical aspects. In this model, as
simulations of many years heat transfer process will be carried out, the horizontal
outer boundary mainly depends on the thermal influence domain. Considering the
mechanical influence depth of the pile, the vertical outer boundary is set to be 0.5
times the pile length.
The reaction of upper structure on the energy pile is represented by the mechan-
ical load applied on the pile head. To apply the thermal load, the inlet and outlet of
the U-tubes are connected above the pile head, and the thermal load is applied at the
connecting point, as shown in Fig. 27.2a. In the U-tubes, the forced convection heat
transfer of the water flow with the heat conduction is considered.
27.3 Simulating Results and Discussion
A typical two-layer soil model is built to investigate the energy piles thermo-
mechanical behavior, as illustrated in Fig. 27.4. The two soil layers, labeled as 1#
and 2#, are interfaced at the pile toe. The length of the pile is 30 m, and the diameter
is 0.6 m. In the pile there are 8 U-tubes distributed uniformly at a distance of 0.25 m
from the pile center. A mechanical load P is applied on the pile head. The horizontal
outer boundary of the model is 50 m far from the pile center. In order to analyze the
influence of soil properties on the piles thermo-mechanical behavior, different
elastic modulus and thermal expansion coefficients are assigned to each layer of
soil. The values of the pile and soils parameters are listed in Table 27.1.
Fig. 27.4 Two layers

of soil and energy pile
Table 27.1 Parameters of the pile and soil

Soil
Mechanical parameters 1# 2# Pile
Elastic modulus E (MPa) 13, 26, 52 26, 2.1 104
260, 26,000
Poissons ratio v 0.35 0.35 0.2
Coefficient of thermal expansion 0, 1 105, 1 105 1 105
( C1) 5 105
Internal friction angle (o) 30.5 30.5
Cohesion c (kPa) 20 20
Thermal conductivity (W m1 C1) 1.2 1.2 2.0
Specific heat capacity cs (J kg1 C1) 1 103 1 103 0.97 103
Fig. 27.5 Simplified

annual thermal load
27.3.1 Temperature Change in the Pile
The thermal load applied to the energy pile is assumed to be the same annually. To
save the computing time, the annual thermal load is divided into six constant power
periods as illustrated in Fig. 27.5. With the thermal load, a 2-year heat transfer
process is simulated, and the corresponding temperature change on the middle cross
section of the energy pile is shown in Fig. 27.6. It can be seen that the difference
between the temperature changes at the pile center and edge is minor. Moreover, as
the size of the length of the pile is much larger than its diameter, the temperature
distribution along the length is almost uniform. So for the thermo-mechanical
analysis, the temperature distribution in the pile can be regarded as uniform, and
the effect caused by its variation in space can be neglected.
27.3.2 Thermal Stress and Deformation
In Fig. 27.6, two time points A and B, when the temperature in the pile reaches its
highest or lowest value respectively, are chosen to represent the worst conditions
for the piles mechanical behavior. Assuming a reference condition that the layers
412 H. Zhao et al.
Fig. 27.6 Temperature

changes at the center and
edge on the middle cross
section of the pile
Fig. 27.7 Distribution of the axial compressive stress in the pile before the thermal loading and at
(a) time point A, (b) time point B
of soil 1# and 2# have the same properties, for which E1 E2 26 MPa,

1 2 1 105 C1, P 1,960 kN, the distribution of the axial compressive
stress in the pile before thermal loading and at time points A and B are calculated.
For comparison, two kinds of restraint at the pile head are considered, i.e., being
free or fixed by the upper structure completely. The results shown in Fig. 27.7
indicate that the restraint condition at the pile head has large influence on the
thermally induced stress. If the pile head is fixed completely, the change of stress
at the pile head can reach 23 MPa, which obviously can make the pile fail when the
initial stress caused by the mechanical load is close to the concrete strength.
However, here we assume the pile head to be free, and mainly focus on the
influence of soil properties and the applied mechanical load to the thermally
induced stress and deformation in the pile. It may be argued that the pile head is
linked to the upper structure and cannot be regarded as free. But in fact, for a
common condition that the upper structure is totally supported by a group of similar
energy piles, all the pile heads would have nearly equal displacements along with
Fig. 27.8 For different modulus of the surrounding soil E1, the piles displacement and the change
of axial stress at (a) time point A, (b) time point B
the bottom of the upper structure and actually can move freely. Moreover, if the pile
head is really restrained in some conditions, such as in the case when the upper
structure is partly supported by traditional piles, then, it is difficult to determine the
degree of the restraint for a single pile, i.e., the relation between the restraint force
and the displacement of pile head. For these conditions, a feasible way is to build
the structurepilesoil interaction model, for which the detailed investigation of
pilesoil interaction without upper structure restraint is the foundation.
27.3.2.1 Influence of the Properties of the Soil Surrounding the Shaft
As energy piles are often long, the soil surrounding the shaft (layer 1# in Fig. 27.4)
plays an important part to support the upper structure, and also can influence the
thermally induced stress and deformation significantly. For different modulus of the
surrounding soil E1, with other parametric values identical to those of the reference
condition, the thermally induced stress and pile displacement are illustrated in
Fig. 27.8. For different coefficient of thermal expansion 1, the results are shown
in Fig. 27.9.
The calculated results show that with the parameter values in reasonable ranges
the modulus can affect the piles thermo-mechanical behavior more than the coef-
ficient of thermal expansion. In fact, during the cooling period, the coefficient of
thermal expansion almost has no influence. That is because the temperature varia-
tion in the soil diminishes quickly as the distance from the pile center increases. For
an energy pile group, if the spacing of the piles is not very small, as a conservative
result the surrounding soils coefficient of thermal expansion can be set to zero.
414 H. Zhao et al.
Fig. 27.9 For different coefficient of thermal expansion 1, the piles displacement and the
change of axial stress at (a) time point A, (b) time point B
From Figs. 27.8 and 27.9, it can be seen that the change of axial stress during the
heating pile period is larger than that during the cooling pile period, and the piles
displacement is just the opposite. During the heating pile period, the stress increases
in the entire pile, and the fixed-point, where the piles displacement is zero and the
change of stress reaches its largest value, is located near the midpoint. During the
cooling pile period, the stress increases in the upper part of the pile and decreases in
the lower part, with fixed-point located near the pile toe. The reason for the increase
of stress in the upper part is that the shaft shear stress near the pile head often
reaches its ultimate value, and the ultimate value will decrease during the cooling
pile period as the normal compressive stress on pilesoil interface becomes smaller
due to the contraction of the pile.
In general, when the modulus of surrounding soil increases or its coefficient of
thermal expansion decreases, the thermally induced stress in the pile will become
larger, and the piles displacement will become smaller.
27.3.2.2 Influence of the Properties of the Soil Under the Pile Toe
The soil under the pile toe provides the tip resistance, and also can be regarded as a
restraint at the pile toe. The degree of the restraint mainly depends on the modulus
of the soil. For different soil modulus E2, with other parametric values identical to
those in the reference condition, the thermally induced stress and piles displace-
ment are calculated as shown in Fig. 27.10. In general, as the modulus increases, the
change of stress will become larger with the displacement smaller, and the fixed-
Fig. 27.10 For different modulus of the soil under the pile toe E2, the piles displacement and the
point will move downward. If the pile toe is located on the rock stratum, such as
E2 2,600 MPa, during the heating pile period the stress near the pile toe will
increase significantly. During the cooling pile period, the stress changes in the
upper part of the pile are almost the same, for which the reason is similar to the
reason for the stress increase in the upper part described above.
27.3.2.3 Influence of the Applied Mechanical Load
With different mechanical loads P, the thermally induced displacement of the pile
and the change of stress are calculated as illustrated in Fig. 27.11. The results show
that when the mechanical load increases, the displacement will become larger, the
change of stress will become smaller, and the fixed-point will move upward in the
heating pile period and move download in the cooling pile period.
The influence of the mechanical load on the piles thermo-mechanical behavior
is due to the nonlinear behavior of the pilesoil interface. As the temperature
changes, the increased shaft shear stress will make part of the pilesoil interface
be in plastic stage, which weakens the restraint of surrounding soil. The larger the
mechanical load, the more the part of interface is in the plastic stage. During
the heating pile period, the plastic part of the interface is mainly on the lower
part of the shaft, where the ultimate shear stress is larger than a certain value, so
only the mechanical load large enough can have influence. During the cooling pile
period, the plastic part of the interface is near the pile head, where the ultimate shear
stress is small, thus, the mechanical load of any value can have influence.
416 H. Zhao et al.
Fig. 27.11 For different modulus of the soil under the pile toe E2, the piles displacement and the
27.3.3 Bearing Capacity
Since the soil is a type of cohesive-frictional material, the ultimate shaft resistance
on the pilesoil interface is related to the normal compressive stress on it. When the
pile contracts or expands during the heating or cooling pile period, the normal
compressive stress will increase or decrease, as shown in Fig. 27.12. Then the piles
bearing capacity, which is comprised of the ultimate shaft resistance and the
ultimate tip resistance, will also change. Assuming the applied mechanical load
P 1,960 kN, with other parametric value same to those in the reference condition
mentioned above, the load-displacement curves for the pile at time points A and
B are calculated and compared to the original load-displacement curve before
thermal loading, as illustrated in Fig. 27.13. With these curves, the ultimate bearing
capacity can be determined by the point at which the curve slope decreases
suddenly. The result shows that for this simulated condition the piles bearing
capacity can have a variation of nearly 10 %, which seems to be not significant.
But in fact the variation will increase if the piles diameter become larger or the
surrounding soil becomes stronger.
27.3.4 Long-Time Behavior
In the long-time operation, the energy pile will bear the cyclic thermal load. As a
result, the pile will cyclically move up and down. During the cyclical relative
Fig. 27.12 Distribution of

normal stress on the pile
soil interface before and
during thermal loading
Fig. 27.13 Load-

displacement curves of the
pile with the corresponding
ultimate bearing capacity
before and during thermal
loading
movement between the pile and soil, if part of the pilesoil interface is in the plastic
stage, the piles permanent displacement may be generated. To investigate the
piles displacement induced by the cyclic thermal load, the tong-time simulations
of the pile with different mechanical loads are carried out. Using the average value
of the maximum and minimum displacements in a thermal cycle to represent the
average displacement of this cycle, the pile heads average displacement is illus-
trated in Fig. 27.14. It can be seen that the cyclic thermal load causes the pile to
subside permanently, and the settlement will increase with the number of cycles
until it converges to a stable value. The final settlement and the number of cycles for
it to be stable will increase as the mechanical load becomes larger.
418 H. Zhao et al.
Fig. 27.14 Average

displacement of the pile
head induced by the cyclic
thermal load
But if the mechanical load is large enough, it seems that the settlement will not
turn stable, such as in the case of P 2,940 kN in Fig. 27.14. It is supposed that
there may be a threshold value for the mechanical load, above which the settlement
will not cease increasing as the thermal cycle continues, and then, the pile will fail
certainly. Obviously, the threshold value is less than the ultimate bearing capacity,
as the piles bearing capacity is 3,420 kN shown in Fig. 27.13, which implies that
for energy piles the ultimate bearing capacity should be redefined in view of its
long-time performance.
In fact, the results shown in Fig. 27.14 underestimate, more or less, the effect of
thermal cycles with the elastic-perfectly plastic model employed for soil. In this
model, plastic deformation can be generated only when the shear stress on the shaft
reaches its ultimate value. Actually, plastic deformation can be generated as long as
the soil is to be deformed.
27.4 Conclusions
The use of energy piles and other thermo-active ground structures as GHEs has
become promising in the GCHP industry recently. However, the influence of
temperature change on the structures mechanical behavior has not been well
understood. In this paper, based on numerical simulations, the energy piles
thermo-mechanical behavior has been investigated in detail. In the numerical
model, the soil is modeled as a kind of thermo-elastic-perfectly plastic material,
and the pilesoil interface is simulated by contact elements. The reliability of
contact elements has been verified by an in-situ test. To save the computing time,
the U-tubes in the pile are modeled by line elements, which are proved to be
suitable for calculating the temperature in the pile.
The influence of soil properties and the applied mechanical load on the energy
piles thermo-mechanical behavior has been investigated through parametric anal-
ysis. The results show that the restraint condition at the pile head, the modulus of
the soil and the mechanical load can significantly affect the thermally induced stress
and the displacement in the pile. In a general condition, the thermal deformation of
the surrounding soil can be neglected. Because of the decease of contact stress on
the pilesoil interface during the cooling pile period, the change of stress is
generally smaller than that during the heating pile period, but the corresponding
displacement is larger. In general, when the soil is strong or the applied mechanical
load is small, the thermally induced stress will be large, and the displacement will
be small.
For the reference condition defined in this paper, the bearing capacity of the
energy pile can vary 10 % due to the temperature change. As the variation can be
enhanced by a larger diameter pile or stronger soil, the bearing capacity need to be
further studied.
The long-time simulation of the energy piles thermo-mechanical behavior
indicates that the cyclic thermal load can induce a permanent settlement of the
pile, and the final settlement is related to the applied mechanical load. More
importantly, the results imply that there may be a threshold value for the mechan-
ical load, above which the settlement will not cease increasing when the thermal
cycle continues. Obviously, for energy piles, this threshold value is more suitable to
be regarded as the piles ultimate bearing capacity.
Acknowledgments The research is supported jointly by a grant from National Natural Science
Foundation (Project No. 51208286) and a grant from 12th Five-Year National Science and
Technology Support Program (2012BAJ06B03-01).
Nomenclature
a Area m2
c Cohesion Pa
cs Specific heat J/kg C
d Compliance Pa1
e Elastic modulus Pa
t Temperature C
Greek Letters
Coefficient of thermal expansion C1
Strain unit
Thermal conductivity W/m C
v Poissons ratio unit
Stress Pa
420 H. Zhao et al.
Internal friction angle

Density kg/m3
Subscripts
p Pile
s Steel
Superscripts
e Elastic
p Plastic
References
1. Spitler JD (2005) Ground-source heat pump system research past, present and future.
HVAC&R Res 11(2):165167
2. Brandl H (2006) Energy foundations and other thermo-active ground structures. Geotechnique
56(2):81122
3. Wood CJ, Liu H, Riffat SB (2009) Use of energy piles in a residential building, and effects on
ground temperature and heat pump efficiency. Geotechnique 59(3):287290
4. Moel M, Bach P, Bouazza A (2010) Technological advances and applications of geothermal
energy pile foundations and their feasibility in Australia. Renew Sustain Energ Rev 14:2683
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echangeur de chaleur. Can Geotech J 40(2):388402
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geotechnical and thermodynamics aspects of pile response to heat cycles. Geotechnique 59
(3):237248
7. Rosenberg JE (2010) Centrifuge modeling of soil structure interaction in thermo-active
foundations. University of Colorado at Boulder, M.S. thesis
8. McCartney JS, Rosenberg JE (2011) Impact of heat exchanger on slide shear in thermo-active
foundations. Geo-Frontiers 2011, ASCE
9. Laloui L, Nuth M, Vulliet L (2006) Experimental and numerical investigations of the behav-
iour of a heat exchanger pile. Int J Numer Anal Meth Geomech 30:763781
10. Knellwolf C, Peron H, Laloui L (2011) Geotechnical analysis of heat exchanger piles. J
Geotech Geoenviron Eng 137(10):890902
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17th ASCE engineering mechanics conference, Newark, DE
Chapter 28
An Equivalent-Capacitance Approach
for Determining the Performance
of a Refrigerant Coil
Chun Kwong Lee and Hong Nam Lam
Abstract An equivalent-capacitance approach (ECA) was proposed to determine

the performance of a heat exchanger with a change in the physical state of one of the
working fluids. The new methodology was an alternative form of the popular
log-mean-temperature-difference approach (LMTDA) which could avoid the
often troublesome iterative computations involving natural logarithms. Sample
simulations were made using both methods for a refrigerant condenser and an
evaporator. It was found that whenever convergence was achieved, both methods
gave very similar results. However, the iteration stability of the ECA was much
better, especially when the heat transfer value (UA) of the heat exchanger was large.
Consequently, the ECA was considered to be a better alternative to the LMTDA in
determining the performance of a refrigerant coil.
Keywords Heat exchanger Temperature effectiveness Log-mean-temperature

difference Overall heat transfer value Capacitance rate
28.1 Introduction
Heat exchangers are commonly used in HVAC systems, particularly those in which
there is a change in the physical state of one of the working fluids. They can appear
as standalone devices or components of an item of air-conditioning equipment such
as the condenser and the evaporator of a conventional vapour-compression chiller
as well as the generator and absorber of an absorption refrigeration system. Hence,
the determination of the performance of such kinds of heat exchangers is important
in the modelling of a HVAC system. For a refrigerant coil used to exchange heat
with a fluid, the simplest approach [14] assumes that the change in the physical
state of the refrigerant proceeds at a constant temperature. Consequently, a
C.K. Lee (*) H.N. Lam

Department of Mechanical Engineering, University of Hong Kong,
Pokfulam Road, Hong Kong, China

422 C.K. Lee and H.N. Lam
temperature effectiveness () can be defined and the capacity of the heat exchanger
(Q) can be found as follows:
UA
1e C f and Q Cf T f , i T rs 28:1
Here, the temperature effectiveness depends on the average overall heat transfer
value of the coil (UA) and the capacitance rate of the fluid (Cf). The difference
between the fluid inlet temperature (Tf,i) and the refrigerant saturation temperature
(Trs) is considered to be the maximum temperature change allowed for the fluid.
The outlet conditions of the coil are then calculated directly from:
Q
Tf , o Tf , i 28:2
Cf
Q
hr , o hr , i 28:3
mr
The main advantage of the temperature-effectiveness approach (TEA) is that the

performance of the refrigerant coil is determined explicitly through Eqs. (28.1)
(28.3). However, it has one drawback. While the calculated fluid leaving temper-
ature (Tf,o) is safeguarded by the temperature effectiveness so that it will not go
beyond the feasible limit, there is no such guarantee on the refrigerant side. In
actual practice, the refrigerant enters a condenser as a superheated gas and may
leave the condenser as a sub-cooled liquid, while the refrigerant is usually a
saturated mixture at the evaporator inlet and becomes a superheated gas when it
leaves the evaporator. Figure 28.1 depicts the temperature variation inside a
counter-flow (CF) condenser and an evaporator where 1 and 2 denote the two
ends of the heat exchangers. As the mass flow rate of the refrigerant is usually
much smaller than that of the other fluid, the temperature change of the refrigerant
outside the saturated region can be very large. The situation is especially significant
for the superheated refrigerant gas. Hence, if the enthalpy change of the refrigerant
across the coil is high, the refrigerant may leave the coil at a temperature (Tr,o)
which falls beyond the feasible limit. This can happen when UA is large or the
difference between the fluid inlet temperature and the refrigerant saturation tem-
perature is large. Another possible situation in which the said condition can occur is
when the refrigerant mass flow rate is low. This occurs for a variable-speed vapour-
compression system when the compressor is running at a low speed during the part-
load operation.
To solve the problem, the log-mean-temperature-difference approach
(LMTDA), was employed [57] as shown below:
28 An Equivalent-Capacitance Approach for Determining the Performance of a. . . 423
Fig. 28.1 Variation of temperature inside a counter-flow (a) condenser and (b) evaporator

T f , 2 T r, 2 T f , 1 T r, 1
T m 28:4
T T
ln T ff ,, 21 T rr,, 21
Q UAT m 28:5
Here, a log-mean-temperature difference (Tm) is defined to calculate the

capacity of the coil based on the temperatures of both fluids at the two ends of
the coil. This methodology was also adopted in modelling the performance of the
absorber and the regenerator in an absorption refrigeration system [810]. For a
counter-flow design, Eq. (28.5) becomes

T f , o T r, i T f , i T r, o
T m 28:6
T T
ln T ff ,, oi T rr,,oi
The corresponding formulation for a parallel-flow (PF) design is

T f , o T r, o T f , i T r, i
T m 28:7
T T
ln Tff,,oi T rr,, oi
Again, Eqs. (28.2) and (28.3) are used to determine the outlet conditions of the
coil. However, unlike the TEA, the solution for the LMTDA has to be solved
iteratively. This can be troublesome when calculating Tm, as there is a natural
logarithm in the denominator which limits the feasible combinations for the tem-
peratures during the iteration. To overcome this problem, various limiting condi-
tions have to be set. In case the refrigerant lies outside the saturated region at the
coil outlet, Tr,o may approach Tf,i. In these circumstances, the imposed limiting
conditions will affect the convergence of the iteration and results in a long compu-
tation time. The final solution may also be incorrect. To solve the problem, an
equivalent-capacitance approach (ECA) is proposed in this study which avoids the
calculation of the natural logarithm, and thus no limiting conditions are required.
The results and the iteration cycles based on the ECA and LMTDA are compared to
assess the validity and strength of the ECA.
28.2 Mathematical Formulations
By defining an equivalent capacitance rate (Cr, Cf) for the refrigerant and the other
fluid, Eq. (28.6) can be re-written as
Q T f , o T f , i T r, o T r, i CQ CQr
f
UA T T T T
ln T ff ,, oi T rr,,oi ln T ff ,, oi T rr,,oi

1 1 T f , o T r, i
UA ln 28:8
Cr Cf T f , i T r, o
By denoting the left-hand side of Eq. (28.8) as ,

!
T f , o T f , i T f , i T r, i CQh T i
ln ln
T f , i T r, i T r, i T r, o T i CQc
where Ti Tf,i Tr,i

Q Q
e T i T i
Cr Cf
T i 1 e
Q e
28:9
Cf Cr
1
The refrigerant leaving temperature is determined from
Q
T r, o T r, i 28:10
Cr
The performance of the heat exchanger can then be calculated by using

Eqs. (28.2) and (28.10) if Cr and Cf are known. Hence, the key issue is how the
equivalent-capacitances are defined. For the refrigerant,
hr , o hr , i
Cr mr 28:11
T r, o T r, i
In case the refrigerant lies within the saturated region at a constant temperature,
1/Cr can be taken as zero. In this circumstance, Q can still be calculated. Equation
(28.11) is also applicable to any other fluid with a change in the physical state in the
exchanger such as the liquid desiccant in the generator of an absorption chiller. For
the other fluid without a change in the physical state,
Cf mf cf 28:12
Again, the performance of the heat exchanger is determined by solving

Eqs. (28.2), (28.9)(28.12) using an iterative approach. As no natural logarithm
needs to be calculated, no limiting conditions are required. Equation (28.9) fails
when Cf Cr although it rarely happens. To solve the problem, as Cf ! Cr,
! 0 and e 1 + . Hence, Eq. (28.9) can be re-written as
T i T i T i UACr
Q 28:13
Cf C r
1 1 UA Cr UA Cr
Equation (28.13) is the same as the one derived based on the TEA when the
capacitance ratio is unity. For a PF heat exchanger, the same manipulation applied
to Eq. (28.7) yields

T i 1 e T i UA e 1
Q 28:14
Cf Cr
1 1
where

1 1
UA 28:15
Cf Cr
Unlike Eq. (28.9) for a CF design, Eq. (28.14) is valid for all capacitance ratios.
With the formulation for the ECA established, comparisons of the calculated heat
exchanger performances were made with those based on the LMTDA when applied
to a refrigerant condenser and an evaporator using the commercial software EES
[11] at different values for UA. EES offered many built-in functions for calculating
the properties of numerous refrigerants. R134a was chosen in this study and water
was employed to exchange heat with the refrigerant. Both the PF and CF
Table 28.1 Entering conditions of water and refrigerant

Condenser Evaporator
Water mass flow rate (kg/s) 1.0 1.0
Water temperature ( C) 30.0 10.0
Refrigerant mass flow rate (kg/s) 0.2 0.2
Refrigerant pressure (kPa) 1,100 250
Degree of superheat of refrigerant at inlet ( C) 30.0 Not applicable
Quality of refrigerant at inlet Not applicable 0.2
Table 28.2 Simulated performance of a condenser based on different modelling approaches

LMTDA/ECA/TEA
Type UA (kW/K) Tf,o ( C) Tr,o ( C) nit
CF 2.0 39.39/39.39/34.91 40.28/40.27/42.95 299/34/NAa
4.0 40.00/40.00/37.96 31.66/31.66/42.95 88/28/NAa
6.0 40.09/40.09/39.86 30.32/30.32/33.67 41/27/NAa
8.0 40.09/40.11/41.03 30.30/30.07/16.37 500/26/NAa
10.0 40.11/40.11/41.76 30.01/30.01/5.213 500/26/NAa
PF 2.0 38.25/38.25/34.91 42.95/42.95/42.95 500/157/NAa
4.0 39.41/39.41/37.96 39.99/39.99/42.95 79/28/NAa
6.0 39.44/39.44/39.86 39.65/39.51/33.67 500/27/NAa
8.0 39.80/39.45/41.03 39.81/39.45/16.37 500/27/NAa
10.0 40.11/39.45/41.76 40.12/39.45/5.213 500/27/NAa
a
NA not applicable
configurations were investigated. Table 28.1 summarised the design entering con-
ditions for the water and the refrigerant when used in the condenser and the
evaporator. The specific heat capacity of water was taken as 4.19 kJ/kg K.
Various limiting conditions were set for the refrigerant leaving temperature
when applying the LMTDA which depended on the flow configuration and the
function of the coil as shown below:
1. For a PF condenser, Tr,o Tf,o 0.01 C.
2. For a PF evaporator, Tr,o Tf,o 0.01 C.
3. For a CF condenser, Tr,o Tf,i 0.01 C.
4. For a CF evaporator, Tr,o Tf,i 0.01 C.
Table 28.2 compared the simulated performances of the PF and CF condenser at
different values of UA based on various modeling approaches including the TEA.
Here, nit was the number of iterations required with a maximum of 500 set in the
simulation models. It could be observed that in all cases, the iterations converged
readily when the ECA was used. On the other hand, convergence might fail when
using the LMTDA, especially when UA was large and nit reached 500. In fact, the
simulated performance of the PF condenser oscillated when UA was large. In all the
cases when convergence was met, the simulated results obtained by using the ECA
Table 28.3 Simulated performance of an evaporator based on different modelling approaches

LMTDA/ECA/TEA
Type UA (kW/K) Tf,o ( C) Tr,o ( C) nit
CF 2.0 4.579/4.571/4.571 4.302/4.302/4.302 500/78/NAa
4.0 2.128/2.127/1.203 0.377/0.378/21.79 189/25/NAa
6.0 1.909/1.909/0.886 4.875/4.875/70.13 101/16/NAa
8.0 1.815/1.815/2.183 7.135/7.135/98.54 67/12/NAa
10.0 1.768/1.768/2.987 8.280/8.281/115.6 49/10/NAa
PF 2.0 4.579/4.571/4.571 4.302/4.302/4.302 500/78/NAa
4.0 2.192/2.193/1.203 1.925/1.923/21.79 160/20/NAa
6.0 2.083/2.082/0.886 0.701/0.700/70.13 76/14/NAa
8.0 2.049/2.048/2.183 1.526/1.525/98.54 45/14/NAa
10.0 2.060/2.035/2.987 1.249/1.825/115.6 500/14/NAa
a
NA not applicable
were basically the same as those based on the LTMDA. In this respect, the ECA was
considered to be a better alternative to the LMTDA in determining the performance
of a heat exchanger. With a CF design, the fluid leaving temperature can be even
higher than the refrigerant leaving temperature, and a higher heat transfer rate could
be achieved as compared to a PF design. This explained why a CF heat exchanger
was more common than a PF one. From Table 28.2, the calculated Tr,o based on the
TEA fell below Tf,i or 30 C when UA was more than 6.0 kW/K. Moreover, Tr,o was
higher than Tf,o for a PF design when UA was over 4.0 kW/K. Both situations were
infeasible. This highlighted the weakness of the TEA as already mentioned in the
introduction. On the other hand, both the LMTDA and the ECA guaranteed that the
calculated coil performance was feasible. As the TEA assumed a constant refrig-
erant temperature inside the heat exchanger, the simulated coil performance was the
same regardless of a CF or a PF design.
Table 28.3 showed the corresponding results for an evaporator. When UA was
2.0 kW/K, the refrigerant still lay in the saturated region when it left the evaporator.
Hence, the three approaches basically yielded the same results. Moreover, the coil
performance was the same between a CF and a PF design. When UA was increased
to 4.0 kW/K and higher, the refrigerant became a superheated gas at the evaporator
outlet, and the differences in the simulated results between those based on the
LMTDA/ECA and those using the TEA became significant. The calculated Tr,o was
much higher than Tf,i or 10 C when the TEA was employed. Again, this was
impossible. For the CF design, contrary to the situations for the condenser, the
simulated Tr,o at the evaporator outlet had not yet reached the limiting condition
with the use of the LMTDA/ECA even if UA was up to 10.0 kW/K. This could be
explained by the much higher difference between the entering fluid and refrigerant
temperatures for the condenser. If a smaller degree of superheat for the refrigerant
was employed at the condenser inlet, a similar trend could be obtained. Neverthe-
less, non-convergence or oscillation in the simulated results could still be observed
for the PF evaporator with UA taken as 10.0 kW/K when using the LMTDA.
Meanwhile, a monotonic trend could be obtained when employing the ECA.
28.4 Conclusions
A better modelling methodology, namely the equivalent-capacitance approach

(ECA), was developed to determine the performance of a heat exchanger in
which at least one of the working fluids experienced a change in the physical
state. An equivalent capacitance rate was defined based on the enthalpy and
temperature changes across the heat exchanger. The new method was an alternative
form of the log-mean-temperature-difference approach (LMTDA). Both methods
required iterative calculations but guaranteed that feasible results could always be
obtained as opposed to the simple explicit temperature-effectiveness approach
(TEA). By avoiding the calculation of a natural logarithm as required in the
LMTDA, no limiting conditions needed to be set in the ECA. This could improve
the convergence of the iterations and reduce the computation time.
Sample comparisons were made on the simulated results obtained using the three
approaches for a refrigerant condenser and an evaporator under different flow
configurations and overall heat transfer values (UA). It was found that whenever
convergence was achieved, both the LMTDA and the ECA generated very similar
results. However, the ECA offered a much better iteration stability, especially when
UA was large. In fact, oscillation in the iteration could be observed for a parallel-
flow design when using the LMTDA based on a large UA. Meanwhile, infeasible
results could arise when using the TEA. In view of all the above-mentioned
advantages in comparison with the disadvantages of LMTDA, the ECA should be
a better choice for determining the performance of a refrigerant coil.
Acknowledgement The authors would like to gratefully acknowledge the funding support
provided to this research work by the Research Grants Council of Hong Kong under the General
Research Fund for Project Number 713710.
Nomenclature
C Capacitance rate (kW/K)

c Specific heat capacity (kJ/kg K)
m Mass flow rate (kg/s)
nit Number of iterations
Q Heat exchanger capacity (kW)
T Temperature (K)
UA Overall heat transfer value (kW/K)
Greek Symbols

UA C1c C1h

UA C1c C1h
Ti Temperature difference between the entering fluid and refrigerant ( C)

Tm Log-mean-temperature difference ( C)

f Fluid
i Inlet
o Outlet
r Refrigerant
rs Refrigerant at saturated state
1,2 Two ends of a heat exchanger
Acronyms
CF Counter-flow
ECA Equivalent-capacitance approach
LMTDA Log-mean-temperature-difference approach
TEA Temperature-effectiveness approach
PF Parallel-flow
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6. Yu FW, Chan KT (2007) Part load performance of air-cooled centrifugal chillers with variable
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11. EES (2001) Engineering equation solver. F-Chart Software
Chapter 29
Perspectives on Sustainability in Natural-
Gas-Liquids Operations Through a Cleaner
Production Framework
Reem Fahd and Farayi Musharavati
Abstract Sustainability in design and operation of industrial processes has become

a global issue in process engineering. Of late, there has been keen interest in
operationalizing sustainability particularly in the oil and gas processing industries.
One way of operationalizing sustainability is to combine process integration and
process optimization in a framework that allows engineers to significantly
improve operating efficiencies. In this study, methods, mechanisms and perspec-
tives for integrating waste minimization and process parameter optimization in
order to improve operating efficiencies in natural-gas-liquids (NGL) process sys-
tems are discussed. The aim of the analysis is to provide a basis for; reducing
wastes, increasing the efficiency of materials processing, as well as optimize the
consumption of natural gas in NGL operations and processing facilities. The
solution trajectory for operationalizing sustainability was developed by creating
an innovative cleaner-production-based framework that addresses sustainability
concepts through process system optimization and implementation of optimal
production operation strategies. To this end, opportunities for cleaner production
assessments in NGL operations and processing systems were investigated. Cleaner
production alternatives were examined and evaluated with respect to in-place
environmental management systems. An adapted cleaner production model that
dynamically incorporates; (a) process integration, (b) process optimization,
(c) optimal production operation strategies, and (d) operational excellence in a
bid to deploy sustainability concepts in NGL plants was developed. The applica-
bility of the proposed model was illustrated through a case study of an existing NGL
plant in Qatar. It was concluded that innovative cleaner production models that take
cognizance of existing environmental management systems can quickly reveal
sustainability initiatives in NGL process systems.
Keywords Sustainability Cleaner production Process integration Process

optimization Natural gas liquids (NGL) Natural gas
R. Fahd F. Musharavati (*)


432 R. Fahd and F. Musharavati
29.1 Introduction
Oil and gas production industries deal with the global processes of; exploration,
extraction, refining, storage, transporting, and marketing of oil and gas products.
The largest volume products of this industry are fuel oil and gasoline. Part of the oil
and gas products are used as raw materials for many chemical products including;
pharmaceuticals, solvents, fertilizers, pesticides, and plastics. Therefore, the impor-
tance of the oil and gas production industry can never be over emphasized.
In the State of Qatar, a number of companies play a vital role in global oil and
gas processing. This includes; exploration, storage, distribution and exportation of
oil and gas products. Over the years, companies in Qatar have gained the experience
and expertise in the upstream, midstream and downstream aspects of the oil and gas
industry. Some of these companies produce crude oil that is partially fed to
refineries for crude oil products. Other companies produce natural gas that is further
processed to produce; pipeline quality gas, liquid petroleum gas, and natural gas
liquids (NGL) for local use as well as for export.
Natural gas is a mixture of hydrocarbons and is often found in the ground
together with petroleum. Natural gas is burnt directly to produce energy. In
comparison to fossil fuels, natural gas burns with a cleaner blue flame and therefore
causes relatively less pollution problems. Uses of natural gas include producing
electricity for cooking and heating in buildings. Natural gas is also used as fuel for
cars as well as to make fertilizers and plastic products. Many vehicles such as
trucks, boats, cars, excavators, big rigs, and airplanes use natural gas as a fuel.
Therefore, the supply and demand channels for natural gas in midstream and
downstream operations are limitless. Such channels can be used to diversify, and
hence optimize, the use of extracted natural gas with the added advantage of
improved environmental performance.
Today, natural gas is highly demanded world-wide to cope with human activities
and meet the needs of life in many forms. Although natural gas is considered to be
one of the cleanest fuels, natural gas from different gas fields often contains harmful
substances such as: mercury (Hg), Carbon Dioxide (CO2), Hydrogen Sulfide (H2S),
Mercaptan Compounds (RSH) and Carbonyl Sulfide (COS). As a result, natural gas
processing operations and facilities are often associated with; purification pro-
cesses, filtrations, recovery units and waste management as well as waste disposal
units. Such associations are end-of-pipe approaches that act as prominent indicators
for the need for improving the sustainability of operations. These indicators are
often measured in terms of effluent emissions. Therefore, the sustainability of an
industrial process depends on minimizing these effluents. A better status and hence
improvement in sustainability of operations would be to implement cleaner pro-
duction options that aim at reducing and/or preventing waste generation at the
source rather than end-of-pipe approaches.
Besides the visible environmental degradation and potential ecological problems
associated with oil and gas processing plants, another major indicator for the need
for sustainable operations is the rapid consumption of the natural gas resources. In
29 Perspectives on Sustainability in Natural-Gas-Liquids Operations Through a. . . 433
this context, end-of-pipe approaches mentioned above do very little in terms of

matching or limiting the extraction or consumptions of natural gas to the correct
and/or required levels. This often leads to extracting and consuming more than is
required thus resulting in over consumptions of the natural gas reserves. Over
consumption of natural gas reserves is often measured in terms of matching the
resource intake to operations requirements. The correct balance is usually obtained
by improving operating efficiencies, particularly fine tuning process parameters
towards optimal design values.
The discussions in this study take inspiration from the two forms of sustainabil-
ity indicators described above, namely; (a) minimization of waste generation
(i.e. solid, liquid and gaseous wastes), and (b) optimization of resource intake.
These two indicators form the basis for sustainability concepts discussed in this
study. The logic lies in that minimization of waste generation and optimization of
resource intake have a direct impact on the sustainability of industrial processes. In
the public literature, two key concepts that support sustainable process design and
synthesis have been identified, namely; (1) process integration, and (2) process
optimization [1]. Process optimization involves adjusting process parameters so as
to maximize operating efficiencies. When operating efficiencies are maximized, it
is easier to match resource intake to operations-resource optimization. On the other
hand, process integration implies a systems view of process operations in which
unit operations aim to achieve targeted values with optimized energy consumption
(i.e. reducing energy wastes) and increased efficiency of materials processing. Both
process optimization and process integration have a direct impact on improving the
sustainability of industrial processes. For example, process integration provides a
basis for integrating the generation of waste along the process system while process
parameter optimization sets the platform for improving operating efficiencies in
natural gas processing systems. In the analysis the two, i.e. process integration and
process optimization, provide a basis for reducing waste in the process system and
thus optimizing the consumption of natural gas. A key methodology that shares
similar concepts is cleaner production.
Cleaner production is a preventive methodology for minimizing waste and
emissions in industrial processes through source reduction strategies. The general
aim in implementing cleaner production concepts is to produce clean products
that perform the same function but produce them without waste. Since cleaner
production models share similar concepts in terms of reducing process wastes and
optimizing resource usage and resource consumption, the approach proposed in this
work is to deploy the concepts of process integration and process optimization
through a cleaner production framework. Therefore, the goal of this study is to
explore, examine and investigate the roles of process integration and process
optimization as the agents of change for sustainability in natural gas processing
operations and facilities. The underlying logic is that a cleaner production model
that is configured to deploy specific aspects of process integration and process
optimization can go a long way in operationalizing sustainability in natural gas
processing operations and facilities. The issues and methodology related to the
application of cleaner production at the level of industrial production systems and
their corresponding unit operation and materials will be examined. The investiga-
tion will be illustrated through a case study of a natural gas processing operation.
The case study will focus on macro-level and meso-level for natural gas liquids
(NGL) processing plants.
29.2 Literature Review
Natural gas processing and production systems consist of processes that change raw
materials into useful products by removing impurities. In order to reach the desired
product, a number of operations such as heating, cooling, moving, separation,
mixing, and chemical reactions are carried out. These operations need to be
investigated thoroughly in a bid to identify opportunities for improving
sustainability.
In order to extract natural gas from the ground, industries use sophisticated
technology. With further and continued development of natural gas process system
technologies, the natural gas processing industry has been facilitated with more
efficient, safe and environmental conscious technologies and techniques. To date,
the process of technology improvements focused on availing environmentally
friendly technologies is continuously proceeding. Therefore, analytical process
system investigations that identify opportunities for improving sustainability are,
in most cases, complimentary and/or supplementary to the quest for more environ-
mentally friendly process system technologies.
Most modern oil and gas processing operations are equipped with the best
available technologies (BATs) and techniques. The amount and efforts for contin-
uous process system changes for improved environmental performance demon-
strate that the concept of greening has been widely accepted in natural gas
processing operations. Traditionally, such changes have been implemented through
recommendations from existing environmental management systems (EMSs).
However, BATs constitutes moving targets on practices, since developing societal
values and advancing techniques may change what is currently regarded as best
available [2]. This is evident from the fact that the oil and gas processing industry
is still associated with upgrades in terms of; purification processes, recovery
processes, pollution control measure and waste minimization measures, in a bid
to meet recent stringent industrial emissions directives. In addition, this industry
is also associated with process system changes and upgrades that are entirely driven
by environmental parameters. Hence, process integration, process optimization and
cleaner production initiatives are important to the sustainable growth of the oil and
gas processing industry.
29.2.1 Process Integration
Early perspectives on process integration were geared towards heat integration

[3]. Since then, process integration concepts were discussed and utilized in heat
exchanger networks, and pinch analysis [4]. A more general definition of process
integration has been stated as: systematic and general methods for designing
integrated production systems ranging from individual processes to total sites and
with special emphasis on the efficient use of energy and reducing environmental
effects [5]. Since inception, process integration has been regarded as a family of
methodologies for combining several processes in order to reduce consumption of
resources or reduce waste [1].
Process integration methods have been applied in various industries including:
fluid catalytic cracking process in petrochemicals; energy integration of a hospital
complex; sunflower oil production; and whisky distillery [1]. In most of the cited
works, process integration is used as a methodology for solving various kinds of
problems along the process system. In this study, process integration will be used as
a concept that is integrated into a cleaner production methodology.
29.2.2 Process Optimization
In some applications, process optimization is used as a methodology for sustainable

process design and synthesis. Process optimization is used as a means of formulat-
ing sustainability tasks as optimization problems. In this view, a number of opti-
mization models have been utilized successfully as detailed in [1]. In this study,
process optimization is used as a concept within a cleaner production methodology.
Process optimization is used to capture the interactions and connections among the
various inputs and outputs along the process system. This feature is key in mini-
mizing resource demands and deciding which design parameters and operating
policies are suitable for reducing environmental impacts.
29.2.3 Cleaner Production
Generally, the cleaner production method can be implemented through different

alternatives [6]. These alternatives can be implemented individually or simulta-
neously depending on the situation. Successful implementation usually depends on
the practicality of the solutions and the economic and technical feasibility of the
available alternatives. In the public literature, Berkel [7] defined cleaner production
as a proactive and preventive approach to industrial environmental management
which aims for process and product integrated solutions that are both environmen-
tally and economically efficient. As such, cleaner production is a strategy that
provides continuous preventive improvement of environmental performance of

organizations. The goal of cleaner production is to prevent the pollution at the
source rather than treat it after being created [8]. The link between cleaner produc-
tion and process integration is quite evident from the definition given above. In a
cleaner production framework, the concept of integration goes beyond the process
system to include the product in the analysis.
Cleaner production aims at progressive reductions of environmental impacts of
processes, products and services through preventative approaches rather than con-
trol and management of pollutants and waste after they have been produced. For
processes, cleaner production aims to thoroughly conserve raw materials and
energy, eliminate toxic raw materials, and decrease the quantity and toxicity of
all releases and waste before processing. In the case of products, cleaner production
aims at reducing the environmental impact along the life cycle of a product,
i.e. from raw materials extraction to its final disposal. For services, cleaner produc-
tion entails the incorporation of environmental concerns into designing and deliv-
ering services. Ultimately, cleaner production requires a change in attitudes,
responsible environmental management and evaluation of technology options.
This leads to the goal of zero waste [8].
From the discussions above, it can be observed that the cleaner production
concept is dynamic. The older cleaner production approaches focused on waste
minimization, pollution prevention and reduction in the use of toxins. On the other
hand, modern preventive approaches in cleaner production aims at reducing the
environmental impact through life cycle assessment of a process, product or
service.
In [7], the engineering or assessment of cleaner production was classified into
three levels, namely; macro scale; meso-scale and micro scale. The macro-scale
level investigates the flow of materials from natural resources drawing out to
consumer product discarding. The opportunities of improvement in the macro-
level are implemented in areas like dematerialization, design for reuse, design for
recycling, substitution of toxic and scarce materials , reuse of waste streams from
one process to use it as input to another process.
The second scale level is the meso scale level which is concerned with the
chemicals of the process. The area of improvements here can be done through
process optimization, substitution of process technology, substitution of equipment,
implementation of better operational and maintenance practices. The last level is
the micro-scale level that deals with molecular interactions which is achieved by
means of alternative catalyst systems, alternative process chemistry and use of
alternative feedstock for processes. The discussions in this study focus on the macro
and meso-scale levels.
When fuels are burned up, gases such as carbon dioxide and acids are produced.
These gases cause global warming, which has terrible consequences on the envi-
ronment worldwide. For NGL plants, emissions will come from gas sweetening
units when acid waste gas is burned or incinerated. Most frequently, the acid waste
gas is used as a feedstock in sulphur recovery units or in sulphuric acid plants.
While flaring is often expected in NGL plants, the major poison and pollutant of
concern is SO2. Most plants employ elevated smokeless flares or gas incinerators
for combustion of all waste gas constituent, including tail gas incinerator in which
H2S is oxidized to SO2. Such practices are not sustainable. Cleaner production can
be implemented to reduce and/or eliminate gas flaring or incinerations from NGL
plants.
29.3 Methodology
A number of methods and models were used for analyzing data collected from the
case study. Input/output models were used to summarize the materials flow. The
input/output models were appropriately used to provide quick answers based on a
pre-determined set of input parameters. The input/output models were also used as
a tool to determine feed materials, outputs and different streams such as
by-products, flares or any other stream released by the process.
In using the materials balance model, the flows and compositions of each
material were identified and, the balances over each individual process in the
NGL plant were conducted. The mass conservation law implies that the mass of
an input to several processes should be equivalent to the mass of the output of that
process [9]. The material balance procedure used in the case study was based on the
discussions in [10].
29.3.1 Cleaner Production Method
The case study is a modern NGL plant. The NGL case study was both ISO 9000 and
ISO 14000 certified and a number of programs were in place to check measure and
monitor the requirements for these certifications. Therefore, an active environmen-
tal management system (EMS) was in place. Within the EMS framework, the case
study plant was implementing environmental reporting and pollution control
methods. In comparison to the cleaner production concepts, the technical issues
of ISO 14000 share commonalities with cleaner production. The environmental
management system determines the environmental position and performance of the
organization and their continuous improvements. The environmental management
tools and systems are covered by ISO 14000 series which provide specifications and
guidance for an environmental management system. The EMS does not help in
defining the significance of environmental impact, so the organization itself has to
set rules, procedures and policies to measure the significance. In addition, the case
study plant used best available technologies (BATs) as and when required. The
BATs were usually sought after and implemented in response to the need for
continuously improving the organizations environmental performance. Aspects
of cleaner production considered were: (1) process technology, (2) operational
practices, and (3) waste and emissions.
29.3.1.1 Process Technology
The cleaner production framework advocates examining current process technol-

ogy change for equipment improvements and improved process control. For such
changes to be both effective and efficient in operations a systems view of the
production process is required. The production process systems view should
include both the process and product issues. This can be ensured by observing
both process and product integration concepts in the assessment and analysis for
process technology change. While this is sufficient, an optimization perspective
must be used in order to avoid implementing process changes that results in
sub-optimal operations. Thus, the process technology changes should not affect
the economic performance of the production system in addition to improving the
environmental performance of the production system. Hence, process integration
and process optimization concepts are fundamental to a successful process tech-
nology change in a cleaner production framework. Process technology changes may
include: implementing new technology (which may be BATs at that particular
period); equipment modifications i.e. modify the existing production equipment
and utilities in order to run the processes at higher efficiency and at lower waste and
emission generation rates; improved processing conditions in order to run the
processes more efficiently and at lower waste and emission generation rates.
Other aspects of process technology change include: retrofitting, automation, and
improved process control.
29.3.1.2 Operational Practice
The cleaner production framework advocates improved operations management

and practices. For the NGL process, this includes effectively managing process
upsets, preventing leaks and spills and enforcing good operational instructions. The
basic idea is to achieve or benchmark best practice, improve operating efficiencies
and practice efficient production planning. Other aspects of good operating prac-
tices include: effective energy management such as avoiding high-peak energy
consumption and preventing unnecessary power consumption. Other additional
aspects include; effective maintenance engineering and management, and
implementing proper working instructions and procedures. In the case study
plant, the later aspects of good operational practice were adequately covered
through an active environmental management system.
29.3.1.3 Waste and Emissions
The cleaner production framework advocates elimination or at least minimization

of waste and emissions. In the case study plant, waste accumulates along the
process system and is sometimes taken out of the system through flaring or
collected either for disposal or for reprocessing in other companies. As such, an

integrated treatment of waste and emissions was necessary. Based on the various
cleaner production methods discussed above, an appropriate cleaner production
assessment model was developed for implementation in the case study plant.
29.3.1.4 Cleaner Production Assessment
Due to the strong presence of a well-defined EMS backed by an active ISO 14000
certification, the general cleaner production model had to be modified to acknowl-
edge case study efforts on environmental issues based on the implemented envi-
ronmental management system [11]. In the case study, for example, issues to do
with housekeeping were thoroughly covered under an updated environmental
management system. In addition, process/technology changes had also been made
in a bid to meet changes in acceptable emission levels as stipulated by the local
environmental authorities. A modified cleaner production model suitable for the
case study is shown in Fig. 29.1.
The model shown in Fig. 29.1 indicates that the first step when thinking about
implementing cleaner production within an environmental management system
framework that uses best available technologies in order to improve the organiza-
tions environmental performance is to evaluate the current environmental perfor-
mance as-is. This evaluation is facilitated by procedures and systems within the
ISO 14000 standard and any other environment initiatives based on the existing
EMS. These initiatives may include environmental reporting and pollution control
measures. This initial step is important because there are some commonalities in
cleaner production, EMS and ISO 14000 implementations. Assessing the current
performance will help to define the level at which cleaner production initiatives can
begin.
By identifying weak areas that need improvements along the process system,
cleaner production opportunities may be availed. Solutions can then be generated to
address the weaknesses. This has a dual benefit of improving operational efficien-
cies and reducing wastes in the process systems. From the identified alternatives,
cleaner production initiatives with the highest impact may be implemented first.
Other solutions may be addressed during cleaner production continuous improve-
ments. After implementation, the performance should be measured and compared
to the previous performance in terms of amount of wastes, flaring and different
types of emissions. This will then lead to cleaner production benchmarking.
Benchmarking with organization which has implemented the Best Available Tech-
nologies (BATs) comes into the picture as part of the implementation cycle. By
benchmarking with those organizations that are implementing cleaner production it
is possible to close the cleaner production gaps gradually.
Continuous improvement is also required since cleaner production concepts are
implemented in incremental iterations towards zero waste and emission. However,
assessment of waste and emissions are usually related to the technology being
implemented. Therefore, a best available technology consideration is important for
Fig. 29.1 Modified cleaner production model for NGL case study plant
cleaner production initiatives. In addition, best practices and implementation of

optimum parameters have a significant contribution to cleaner production imple-
mentation. The cleaner production continuous improvement part of the proposed
model is important since operating parameters need to be monitored and a cleaner
production culture needs to be developed.
29.3.2 Case Study Process System
After analyzing the NGL process system in the case study, the research efforts were
focused on: sulphur, carbon dioxide and water removal processes. Process analysis
showed that the natural gas feed contains significant quantities of hydrogen sulfide
(H2S) and carbon dioxide (CO2). Hydrogen sulfide (H2S) is a dangerous and acidic
element in oil and natural gas which must be separated from the hydrocarbons
Sulfur
Recovery Liquid
Unit Sulphur
Raw NGL
to
Plant X 1
Acid Gas Mole NGL
Removal sleves Extraction
Unit Adsorber Unit Raw NGL
to
Plant X 2
Surplus Gas
to Re-
Injection
Gas
Gas Feed Reception Lean Gas
Line Unit Booster Compressors to
Industries
Lean Gas
to
Power
Sour Gas Compressor Plants
Condensate NF
Un-stabilized Stabilizer NFC to
Reception Stabilized
Condensate Unit Refinery
Unit Condensate
Fig. 29.2 Simplified sketch of the case study plant showing gas feed, processing units and plant
outputs
before the natural gas is supplied to the customer. Hydrogen sulfides are usually
removed in a mid-stream gas processing facility by iron sponges. Depending on the
downstream processing steps and the concentration of the sour gas components, it
may be necessary to eliminate H2S and CO2 from the natural gas. Amine solutions
are usually used to eliminate the hydrogen sulfidesweetening process. Further-
more, a glycol dehydration unit that uses a liquid desiccant is used to eliminate
water from the natural gas and natural gas liquids (NGLs). The main reasons for
dehydrating natural gas are: the natural gas can join with liquid or free water to form
undesirable solid hydrates; water can pack-in in the pipeline causing slug flow and
probable erosion and corrosion; water vapor raises the amount and reduces the
heating rate of the gas; dehydrating permits operation of cryogenic and refrigerated
absorption plants without freeze-ups and , if not isolated from the produced water,
the natural gas is corrosive mainly due to the presents of CO2 and/or
H2S. Figure 29.2 shows a simplified sketch of the case study plant.
The feed stream is sweetened in the Acid Gas Removal Unit. The sweetened gas
is dehydrated in the Mole Sieves Adsorbers. After dehydration, the dried gas is sent
to NGL Extraction Unit. In NGL Extraction Unit, lean gas is extracted and
distributed to various gas consumers. Surplus gas is injected into a reservoir.
Figure 29.2 shows that the NGL case study process system consists of various
operations. In the Acid Gas Removal Unit, sulphur will be absorbed by a solvent.
Once the sulphur has been absorbed, the sulphur is taken to the Sulphur Recovery
Unit while the raw liquid gas is sent to the moisture removal (glycol) unit in which
it is passed through a glycol contactor.
The case study NGL plant shown in Fig. 29.2 consists of a number of unit
operations, namely: Acid Gas Removal Unit (AGRU), Sulphur Recovery Unit
(SRU), and the Glycol Dehydration Unit (GDU). An input/output model for
AGRU revealed that there are two undesirable streams i.e. sour water and acid
gas flares. These streams constitute cleaner production issues that need to be
addressed in this unit operation. For the GDU, an identified cleaner production
issue was to do with acid gas flare. In the SRU, a cleaner production issue was to do
with sulphur recovery. In addition, a cleaner production issue related to the GDU is
the use of water makeup to compensate for lost water, if any.
To summarize, a common cleaner production issue with the units identified
above is flaring and acid gas incineration. In the AGRU, sulphur is absorbed by a
solvent and then passed onto the SRU. The amount of sulphur that cannot be
recovered is incinerated into the outside surroundings. The incinerated acid gas
contains CO2 and H2S. This effluent acid gas incineration leads to greenhouse gas
emissions, acid rain, and hence contributes to global warming. A materials balance
estimate indicated small amounts of loses along the process system. These include:
carbon dioxide0.001 kg/h, Nitrogen0.001 kg/h, and propane 0.001 kg/h.
Besides materials balance and process assessments other cleaner production
initiatives come from analysis of raw materials, process changes/designs
and redesigns, recycling, reusing, improvements in housekeeping as well parame-
ter optimization that aims at using energy and material resources effectively
and efficiently.
In the analysis, data was collected from the case study for a preliminary
assessment and analysis of cleaner production opportunities and initiatives. Data
collection methods included; interviews with a number of multi-discipline person-
nel working at the case study location and industrial visits and observations of the
operations at the case study.
29.4 Results and Analysis
29.4.1 Raw Materials
The cleaner production concept of raw materials substitution implies effective and
efficient use of raw materials (to minimize losses along the process system) as well
as using different raw materials that will not generate waste during processing.
This concept also further implies re-using materials or using recycled materials.
In an NGL process system, this means: (1) changing the source of raw gas feed
and substituting the feed with a feed that will produce less waste in the process
system; (2) changing chemicals for other chemical reactions in the process by
substituting them with different chemicals that will not generate waste and that
are more environmentally friendly and safe to process or use. This ultimately
translates to reformulating and redesigning products that will be environment
friendly. After the analysis, it was observed that, the concept of raw materials
substitution is insignificant in natural gas process operations since it is difficult to
find a different source of raw gas within the same geographical location.
A possible solution could be using a different field of high purity natural gas.
Although it is well known that the degree of purities differs depending on where
the natural gas is extracted from, the raw materials substitution concept was found
to be of academic relevance.
29.4.2 Process or Technology Change
This concept involves modifications/replacement/retrofitting existing technology/

process in a bid to improve environmental performance and attain operational
excellence. For the NGL case study, this concept has been applied several times
to the various unit operations over a number of years. In particular, the SRU at the
case study was changed several times in the life time of the plant in a bid to meet the
dynamic changes in acceptable emission levels. However, it was noted that this
change was not driven through cleaner production but was a reactive approach that
aimed at meeting the specified acceptable level of emissions as stipulated by local
environment authorities.
29.4.3 Improvements in Housekeeping
Improvement in housekeeping can be considered as a cleaner production initiative.

The logic is that operating, utilization, efficiency, and maintenance decisions are
daily practices which must be set correctly. For the case study, operating systems,
procedures and standard documents have been developed. The behavior of the
process, normal performance and limits for the performance has been specified
and are monitored automatically. Maintenance strategies and routine maintenance
procedures were in place. However, what was lacking in the NGL plant case study
was a cleaner production culture and personnel awareness of cleaner production
concepts. Otherwise, most of the issues on housekeeping were observed through
ISO 14000 and an active EMS.
One of the major cleaner production issues in the case study was gas flaring.
Although flaring was done in accordance with standards set by the local environ-
ment authorities, flaring has no part in any cleaner production framework. To
control air pollution for flue gas from heaters and flares in the NGL case study,
measurements of the amount of various SOX and NOX were conducted. Since the
case study was implementing an EMS, the measured results would, from time to
time, be compared with the requirements of the ministry of environment. Besides
flaring, other less harmful liquid and solid wastes from the case study were
discharged into the sea water in different quantities.
29.4.4 Opportunities for Cleaner Production
If an organization is already implementing an EMS, environmental reporting can

reveal areas along the natural gas process system where cleaner production assess-
ments can be carried out. For example, the sustainability concept component in an
existing environmental management system can be considered as an opportunity for
introducing cleaner production assessments since the sustainability concept is
concerned with the use of resources and reservation of those resources for future
generation. In addition, consumption of resources, i.e. natural gas in the case study,
must not exceed the earth carrying capacity (both local and global). For clarifica-
tion, in a typical process which has inputs and outputs, during the processing there
may be some leaks and loses of materials and energy. These leaks and losses are in
conflict with sustainability issues. However, cleaner production methods can be
implemented to eliminate such losses thereby reducing the consumption of
non-renewable resources. This is an example demonstration of the complimentary
or supplementary effect of cleaner production in an EMS framework.
Alternatively, looking at the resources which are being used to process the raw
materials and the end product will give an insight about other types of losses that
cannot be eliminated unless certain changes e.g. process system redesign, are done.
The mere presence of by-products e.g. waste water, acid gas flares, fugitive emissions
and excess natural gas, means more resources are being consumed than what is
needed. This implies that consumption is exceeding the need. The energy losses,
the heat loses; the flares which are discharged are all signs of inefficiency in distrib-
uting and balancing the natural resources. In the case study, a number of projects have
been executed that were purely environment driven through the existing EMS. In
addition, a considerable number of in-house studies and process retrofits were made in
bid to meet changing and stringent environmental regulations implemented through
the existing EMS. Such project constitutes potential cleaner production opportunities.
A prominent environmental action in the case study was the introduction of the
SRU that deals with acid gas (rich with H2S) removal by producing sulphur.
Although this was a good move, the implemented sulphur recovery unit was the
best available technology in those days. With the continued changes in stringent
and stiffer environmental regulations, the existing sulphur recovery unit had under-
gone several upgrades and updates. After sometime, the unit could no longer meet
new acceptable emission levels. Thus, it was necessary throughout the life of the
NGL plant, to scout for more efficient sulphur recovery units in response to new
emission levels and directives as published from time to time by the local authorities.
The major limitation in sulphur recovery was due to the fact that the recovered
stream consisted of 65 % of CO2, and 35 % of H2S. If richer with H2S, then
recovery should theoretically increase. The specific recommendation made for
this issue were as follows: (1) to inject the acid gas after liquefaction in deep
geological formation into natural gas reservoir, (2) to separate the CO2 from the
feed so that it is rich in H2S while CO2 is being injected to the gas reservoir, (3) to
separate the CO2 from the feed before entering the recovery unit in order to enhance
the recovery. A viable solution to the CO2 issue in the case study would be to utilize
it as a feed stock for methanol production in another facility.
The process system re-designs for improved environmental performance illus-
trate one of the major weaknesses of EMSs that lack input from cleaner production
concepts. Firstly, process system re-designs or changes for improved environmental
performance are only made in response to changes in acceptable emission levels,
mostly at national/local level. Therefore, if a companys philosophy is to address
environmental issues based on published acceptable emission levels, then the
number of process system re-design changes will be proportional to the number
of changes in acceptable emission levels and the availability of more advanced
technology or BATs. Such process system redesigns and changes are also costly
and may be uneconomic when compared to a one-time-change based on cleaner
production assessments. The logic is that since cleaner production advocates zero
emissions, process redesign for zero emission will meet even the most stringent
environmental regulation for the life time of plant operations. Although the initial
investment may be high, it may in the long run, offset the budget and hustles
associated with a series of plant redesigns, plant updates and plant upgrades in order
to meet continuously changing acceptable emission levels.
A second weakness of process changes in response to published acceptable
emission levels is that vendors of process system technologies that aim at improv-
ing the environmental performance of process plant technologies may tailor their so
called BATs in line with expected acceptable emission levels. This will damage
technology innovativeness and creativity as well as tie operations to the then BATs.
Hence, what is best currently may not be the best tomorrow. Consequently,
greenhouse gas emissions and wastes will continue to damage the natural environ-
ment despite any measures taken.
The cited changes in the previous paragraphs are just a few examples of process
system re-designs for improved environmental performance. Such and similar pro-
jects constitute many opportunities for cleaner production assessments in modern oil
and gas processing operations. More potential cleaner production actions can be
identified along the natural gas processing line at those points where unit operations
such as purification, recycling and waste treatment have been installed based on
recommendations from an existing EMS. Another opportunity for cleaner produc-
tion initiatives in the case study was the process parameter optimization that aims to
determine the optimum environmental performance of natural gas processing plants.
Of course, this must be synchronized with operational excellence.
Table 29.1 Environmental performance levels of selected components in the case study versus
permissible local limits
Case study emissions
Effluent components Emission limits (mg/L) (EMS) (mg/L) CP ideals
Chlorine residual (CI2) 0.05 0.05 Near zero
Mercury (Hg) 0.001 0.001 Near zero
Oil and grease 15 10 Near zero
Total suspended solids (TSS) 10 10 Near zero
Biochemical oxygen demand 10 10 Near zero
Chemical oxygen demand 150 150 Near zero
Free residual chlorine Cl2 0.1 0.1 Near zero
29.4.5 Environmental Performance of the Case Study Plant
After studying and analyzing data from the case study plant, it was observed that
among many, sustainability issues can be operationalized under two aspects,
namely; flaring and recovery. In the case study plant a lot of recovery techniques
were in place, including: gas recovery systems for Ethane, Propane and Butane;
Liquid recovery systems in vessels for storing feed gas and liquid off specification
products that are consequences of process upset, and sulphur recovery systems.
A number of gas incineration and acid gas flaring were part of the practice.
For assessing potential sustainability improvements in the case study, environ-
mental performance was limited to feed gas utilizations, sulphur recovery and
flaring. In the operations, the feed gas was found to be heavier than anticipated
thus causing problems associated with feed gas utilization i.e. less gas was being
utilized than was extracted. In addition, flaring was necessary due to the buildup of
excess gas from process upsets, storage of feed streams and customer limitations.
The excess gas was being flared through a controlled flaring procedure. Improve-
ments in the flaring technologies and techniques also resulted in emission reduc-
tions. Acid gas flaring was also practiced whenever there was process upset or
process malfunctions. Table 29.1 shows that the EMS in the case study plant was
active. However, the last column shows the ultimate goal in implementing a cleaner
production (CP) framework since CP ambitiously advocates zero emissions.
The relative differences between emissions in the case study (EMS) and those
advocated by CP implementation (CP ideals) indicate the potentials for sustain-
ability improvements in the case study. Figure 29.3 shows a relative comparison of
flared emissions reductions in an EMS framework and a cleaner production
(CP) framework. It can be observed from Fig. 29.3 that the relative reductions
under a cleaner production framework are slightly better than those under an EMS
framework. The relative differences between emissions reductions under an EMS
framework and the reductions under a cleaner production framework indicate the
potentials for sustainability improvements in the case study plant.
Fig. 29.3 Relative comparison of total emissions reductions under an environmental management
system (EMS) and cleaner production (CP) framework
A comparison of sustainability initiatives in an EMS framework and cleaner

production framework is shown in Table 29.2. Values for the CP framework were
derived from the fact that CP advocates the following: (a) extraction of the correct
levels of resources required, (b) full utilization of extracted resources,
(c) operations at plant design specifications, (d) implementations of the BATs for
best material recoveries and (e) optimum production operations and optimized plant
parameter values. Although the values for the CP framework are theoretical, they
serve to indicate potential movements of plant design and operations towards
sustainability. The iterations in Table 29.2 represent historical changes discussed
in this paper which are raised through the in place environmental management
system. As can be observed from Table 29.2, for some time the case study plant
under performed due to extraction unit problems which were later rectified to allow
optimum resource extraction. The case study plant also chose to operate for some
time with low carbon recovery equipment. In a cleaner production framework, this
low recovery equipment could have been replaced earlier on to avoid losses and
consequences. The same can be said for the design production.
As for sulphur recovery, the case study chose to implement a sulphur recovery
technology that was capable of meeting the stipulated emission levels at that
time. This was in response to EMS indicators based on local allowable limits.
Although the technology for better recovery could have been available, the 85 %
recovery equipment sufficed at that time. However, as is always the case with EMS
framework, when the emission targets change, the technology has to be upgraded
again. On the other hand, the best available technology could have been
implemented the first time (if available) in a cleaner production framework since
448
Table 29.2 Relative comparison of feed gas utilization, hydrocarbon recovery and sulphur recovery under an EMS framework and a CP framework
EMS framework Cleaner production (CP) framework
Plant NGL extraction C2 recovery Sulphur NGL extraction C2 recovery Sulphur
iterations throughput (%) Production recovery (%) throughput (%) Production recovery (%)
1 780 38 2,800 85 1,023 85 4,500 93
2 1,023 38 3,700 85 1,023 85 4,500 93
3 1,023 85 4,500 85 1,023 85 4,500 93
4 1,023 85 4,500 85 1,023 85 4,500 93
5 1,023 85 4,200 85 1,023 85 4,500 94
6 1,023 85 4,200 85 1,023 85 4,500 94
7 1,023 85 4,300 85 1,023 85 4,500 94
8 1,023 85 4,300 85 1,023 85 4,500 99
9 1,023 85 4,500 85 1,023 85 4,500 99
10 1,023 85 4,500 85 1,023 85 4,500 99
11 1,023 85 4,500 99.5 1,023 85 4,500 99
R. Fahd and F. Musharavati
the cleaner production target (though ideal) is not the acceptable sulphur recover
level but 100 % recovery.
29.5 Concluding Remarks
In this study, perspectives on how to operationalize sustainability through a cleaner

production methodology have been discussed. Sustainability initiatives were
exposed through cleaner production assessments in an existing NGL plant. The
concepts of process integration and process parameter optimization were used to
cast sustainability issues by focusing on natural gas resource intake, utilization and
consumption as well as the flaring practices and recovery processes along the
process system. The combination of process integration and process optimiza-
tion in a cleaner production framework was found to be useful in casting sustain-
ability transmission in a manner that does not result in sub-optimal process
operations. Methods, mechanisms, techniques and perspectives for integrating
waste minimization and process parameter optimization in order to improve oper-
ating efficiencies in natural-gas-liquids (NGL) process systems have been
discussed.
A platform for reducing wastes, increasing the efficiency of materials processing
as well as optimize the utilization and consumption of natural gas in NGL opera-
tions and processing facilities was also outlined. It was observed that the proposed
cleaner production method is applicable in NGL plants. However, the extent of
applicability depends on the types of the production process, process system
technology as well as the raw materials and nature of the product being produced
in a given plant. Opportunities for implementing cleaner production were revealed
through (a) analyzing materials flows in the process system, (b) conducting mate-
rials balance calculations, and (c) focusing on issues raised in an existing EMS.
This study acknowledges the valuable input of existing EMSs and BATs into
cleaner production assessments, opportunities, initiatives and implementations. It
was observed that implementing cleaner production concepts and techniques is
complimentary and/or supplementary to an existing EMS depending on how effec-
tive the existing EMS is and how committed the organization is to the existing
EMS. This relationship bears the marks of commonalities between continuously
updated EMSs and cleaner production initiatives both of which are significant
inputs into sustainability of process operations.
A modified cleaner production model for typical NGL plants was implemented.
Cleaner production alternatives were examined and evaluated qualitatively based
on: (a) NGL case study plant feed streams analysis for potential substitutions with
cleaner raw materials, and (b) alternative NGL plant process systems design
and/or systems re-design for improved plant environmental performance. Due to
the nature and limitations in alternative sources of raw natural gas, the cleaner
production concept of raw materials substitutions, in particular alternative feed
streams for NGL process plants, was found to be less applicable. However,
materials substitution issues based on the green chemistry concept may be feasible
and applicable in some unit operations where chemical inputs are required in
auxiliary sub-processes. The most technically applicable cleaner production con-
cept was found to be the issue of process systems design and/or redesign for
improved environmental performance. To this end, the environmental effects of
the natural gas extraction units, acid gas removal unit and the sulphur recovery unit
were discussed. Based on this case study, it was concluded that integrating an
in-place EMS with cleaner production concepts has a complimentary benefit that
significantly contributes towards meeting stringent legal international environmen-
tal compliance.
Acknowledgement This research was made possible by a UREP award [UREP 09-078-2-021]
from the Qatar National Research Fund (a member of The Qatar Foundation). The statements
made herein are solely the responsibility of the author.
Nomenclature
Hg Mercury
CO2 Carbon dioxide
H 2S Hydrogen sulphide
RSH Mercaptan compounds
COS Carbonyl sulphide
CO Carbon monoxide
CH4 Methane
VOC Volatile organic compounds
SO2 Sulphur dioxide
Cl2 Residual chlorine
SOx Sulphur oxides
NOx Nitrogen oxides
Acronyms
NGL Natural gas liquids
BATs Best available technologies
EMS Environmental management systems
CP Cleaner production
AGRU Acid gas removal unit
SRU Sulphur recovery unit
GDU Glycol dehydration unit
References
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6. Rivera A, Gonzalez J, Carrillo R, Martinez J (2009) Operational change as a profitable cleaner
production tool for a brewery. J Cleaner Prod 17:137142
7. Berkel RV (2000) Overview of the cleaner production concept and relation with other
environmental management strategies, cleaner production for process industries, pp 114,
www.p2pays.org/ref/13/12031.pdf
8. Kjaerheim G (2005) Cleaner production and sustainability. J Cleaner Prod 13:329339
9. Himmelblau M (1967) Basic principles and calculations in chemical engineering, 2nd edn.
Prentice-Hall, Englewood Cliffs, NJ
10. Morris, A. E., Geiger, G. and Fine, H. A. (2011) Fundamentals of Material Balances with
Applications to Non-Reacting Systems, in Handbook on Material and Energy Balance Calcu-
lations in Material Processing, Third Edition, John Wiley & Sons, Inc., Hoboken, NJ, USA
11. Musharavati F (2012) Cleaner Production Opportunities for Natural-Gas-Liquids Operations
That Implement BATs Within an Environmental Management Framework, In Abdelwahab
Aroussi and Farid Benyahia (eds) Proceedings of the 3rd Gas Processing Symposium, Volume
3 in Advances in Gas Processing Pages 5057
Chapter 30
Energy Savings Through Applications
of Lean Manufacturing Principles
Roba Salim, Buthaina Ali, and Farayi Musharavati
Abstract This study explores and investigates the applicability of lean

manufacturing principles and concepts in Dual Purpose Water and Electricity
(DPWE) production plants. An existing DPWE production plant in the State of
Qatar was used as a case study. The aim of the investigation was to identify
opportunities for energy savings by analyzing plant energy use through Lean
Value Stream Mapping. To this end, lean principles were employed to investigate
energy wastes in the power and water production chains. Lean deadly wastes were
used to identify potential wastes along the DPWE production system. Tools and
techniques for analyzing, evaluating, and assessing energy use in the DPWE
production plant were developed. Areas of energy wastes along the process system
were identified and lean concepts were applied to reveal quick, non-capital energy
saving opportunities. Energy assessments were carried out through the value stream
mapping method that helped in the identification and detection of energy and
operating efficiency improvement opportunities. The multi-stage flash distillation
process was identified as the section that consumed relatively the largest energy.
Other energy efficiency opportunities were revealed by virtually reconfiguring the
DPWE production plant in the framework of lean principles and concepts. Results
of the case study shows that a number of energy saving opportunities and energy
efficiency initiatives exist in the various sections of the DPWE production plant.
Therefore, lean principles are powerful concepts that can help in identifying energy
saving opportunities and energy efficiency initiatives in DPWE production plants.
Such opportunities and initiatives can be implemented to improve operating effi-
ciencies and reduce production costs with the added advantage of improved envi-
ronmental performance.
Keywords Lean principles Energy use Energy saving Energy efficiency

Value stream mapping Dual purpose water and electricity (DPWE) production
plants
R. Salim B. Ali F. Musharavati (*)


454 R. Salim et al.
30.1 Introduction
Lean manufacturing is a competitive strategy that has been adopted by many

successful organizations worldwide [13]. Companies involved in lean manufactur-
ing do so to improve overall company performance in terms of; productivity,
profitability, efficiency and reducing operations and maintenance costs. In this
study, lean principles, concepts and techniques are used to reveal energy saving
opportunities in a dual purpose water and electricity (DPWE) production plant. A
case study of an existing DPWE production plant, herein after referred to as the
generating company, was used to illustrate the merits and demerits of using lean
principles for identifying energy wastes (and hence energy savings) along the
DPWE production system. The DPWE production system consists of two chains;
(a) the power production chain and (b) the water production chain. This study
focused on operational performance improvements related to elimination of wastes
(energy and materials) along these two process chains through application of lean
principles and concepts. The logic behind the undertaking was that operational
performance improvements may lead to significant reductions in operating and
production costs thereby reducing the unit cost of freshwater and electricity.
Lean thinking involves defining value for the customer, focusing on adding
value, driving out wastes, reducing cycle times and ensuring smooth flow of work
at the pull of the customer [4]. While this comprehensive perspective is usually
desired in all implementations of lean, the nature of the plant under study may not
accommodate implementations of the whole spectrum of lean. In such a case, a
study usually focuses on those parts of the lean framework that are applicable in a
given situation. This is usually true for new and unfamiliar applications of lean in
environments that exhibit operational and design variations in comparison to the
parent domain from which lean principles were derived; i.e. discrete parts
manufacturing.
A review of research on the applications of lean principles shows that although
lean principles were initially introduced in manufacturing operations, lean princi-
ples have been successfully implemented in other industrial sectors such as bank-
ing, insurance, finance, sales, marketing, customer service, product development,
and healthcare systems [5, 6]. However, very little research is available in the
public literature on lean implementations in power generating and/or water desali-
nation plants. This study focuses on the perspectives of implementing lean in
DPWE production plants.
As has been the case in other earlier ventures on lean implementations in new
and unfamiliar areas, the actual system dynamics of lean implementations in
DPWE production plants are not known. Neither are these dynamics well under-
stood before hand. This gap presents a challenge that will be addressed in this
investigation on the application and implementation of lean principles in DPWE
production plants. Unlike the commonly used thermodynamic efficiency approach,
this study focuses on improving the efficiency of installed capacity. The underlying
argument in this investigation is that wasteful processes and resources increase
30 Energy Savings Through Applications of Lean Manufacturing Principles 455
production costs while maximization of resource usage improves the operating

efficiencies of an organization. Consequently, the analysis in this paper focuses
more on dealing with minimization of wastes (i.e. materials and energy) in pro-
cesses and systems and maximization of resource capabilities through improve-
ments in the operations of a DPWE production plant.
Key energy savings, operating efficiency improvements and optimization initia-
tives of installed capacity in the generating company were identified through
applications of lean principles and techniques. Since improving the energy effi-
ciency of installations eliminates energy wastes, the analysis for energy efficiency
of installed capacity naturally fits into the lean manufacturing philosophy
[7]. Therefore, lean principles were employed to improve the overall operating
efficiency of installed capacity by eliminating unnecessary actions and activities in
the power and water production chains. Moreover, by reconfiguring the power and
water plant processes in the framework of lean concepts and principles, opportuni-
ties arise for making additional changes to improve energy use efficiency at lower
marginal costs.
Energy conservation measures provide opportunities for saving energy. Energy
conservation measures discussed in this paper include; maintenance, operation and
process improvement measures. Most of the process improvement measures are
analyzed through the lean framework. The main applications for conservation
opportunities that will be discussed in this study include: boilers, waste heat
recovery and cogeneration. Cogeneration in this case implies the power production
chain and water production chain.
The goal of the study is to identify possible operational and design modifications
for energy savings opportunities and optimization initiatives in the generating
company. In order to achieve the mentioned goal, the following specific objectives
will be addressed:
To identify the link between energy efficiency and lean principles in a bid to
leverage costs and energy efficiency benefits.
To critically examine and assess operational activities in the generating com-
pany through a lean framework.
To carryout energy use assessments in order to reveal areas of energy wastes
(or energy savings) along the process system through application of the value
stream mapping method.
The remainder of the study is organized as follows: initially, a background on
lean concepts is provided followed by a description of the various methods used in
this paper. The results of the study are then presented and discussed and finally
concluding remarks are given.
456 R. Salim et al.
30.2 Background
30.2.1 Lean Principles
The details and description of the classical lean manufacturing philosophy and tools
are well documented by some of the early researchers of the lean system [8, 9]. A
recent review on lean manufacturing can be found in [10]. Analytical approaches to
study lean manufacturing systems include the work in [11] in which a group of
qualitative and quantitative rules to implement lean manufacturing were presented.
The approach in [11] focused more on how to change the mass production operation
of industries to a lean operation. An approach based on queuing theory was
proposed in [12]. In [12] the researchers investigated the necessary and sufficient
conditions for the optimality of a single control point as well as multiple control
points in a multi-stage system. Axiomatic design principles based on lean concepts
were applied in [13] to design lean manufacturing systems with a focus on line
segmentation. In [13] the authors showed that integrating axiomatic design rules
with lean management improved the design and performance of manufacturing
systems. In spite of large volumes of lean and lean implementations, some of which
are cited above, fewer works have been presented to provide guidelines for
implementing lean in DPWE production plants. This study contributes to reducing
this gap by proposing methods for lean implementation in DPWE production
plants.
A number of lean methodologies have been discussed in the public literature. In
the present study, a lean system is perceived to be a system that focuses on creating
value and removing waste [14]. The fundamental logic is that all work that people
perform is the sum of value-adding activities and waste activities. A common trait
in the lean philosophy is to eliminate non-value adding actions or at least reduce
them to a minimum.
Historically, the term lean has been used to describe an approach that was
observed as the Toyota Motor Company endeavored to eliminate process waste and
to improve operational efficiency. To this end, five basic lean principles have been
identified in the public literature [15]: namely;
1. Specify valuevalue can only be defined by the ultimate customer. It is spec-
ified in terms of satisfying customers needs by providing products and/or
services with desired capabilities at a competitive price and lead time.
2. Identify the value streamthis is a set of all actions required to bring a product
through problem-solving, information management, and physical transformation
tasks. Here, value refers to the nature of activity being carried out. The value
stream is the set of actions that transform a product or service.
3. Make the value flowby reducing cycle times and batch sizes to the absolute
minimum, ensuring each operation is visible, defined, and has a visible status to
eliminate possible stoppages in the production process.
4. Let the customer pullprocesses or products are to be produced and delivered

on-demand from the customers.
5. Pursue perfectioneven if the other four lean principles are followed, if the
mindset for pursuing perfection has not been developed across the enterprise,
any improvement will only deliver a one-off benefit.
The case study in which lean was implemented is described in the following
sub-section.
30.2.2 Case Study
The case study plant is a dual purpose water and electricity production plant.
Electricity is generated by using natural gas as the primary fuel. Therefore, the
power production chain starts with natural gas feed which is burnt to release
chemical energy which in turn is converted into mechanical energy that turns a
turbine which is connected to an electricity generator. The generated electricity is
then send to a distribution company (separate from the generating company) that is
responsible for distributing electricity to consumers in the State of Qatar. Simulta-
neously, water is produced through multi-stage flash desalination of sea water.
Exhaust gases from the gas turbines are used in the heat recovery boilers to produce
steam which is passed through a heat recovery section and then enters the heat
rejection section were heat is absorbed by sea water, through the cross flow
principle. The distillate is then send to the water treatment plant before it is pumped
to the distribution company. Figure 30.1 shows a simplified process flow descrip-
tion of the generating plant.
The case study plant (the generating company) owns and operates electricity
generation and water desalination stations. The relationship between the generating
company and the distribution company is shown in the Fig. 30.2.
In line with the five lean principles mentioned earlier on, the transmission and
distribution company is the customer of the generating company while consumers
of both water and electricity are customers of the transmission and distribution
company. As such, value with respect to the transmission and distribution company
simply means providing water and electricity capacities that are commensurate
with the general needs of water and electricity consumers in the State of Qatar.
Although the generating company is not in direct contact with the ultimate cus-
tomer, the generating company has an obligation to keep pace with Qatars ever
increasing requirements for electricity and water. Therefore, achieving operational
excellence through improving operating and energy use efficiencies in power and
water production chains can effectively increase the capabilities of the generating
company to provide adequate water and electricity at relatively favorable rates.
The generating company uses natural gas as primary energy for driving the
DPWE production plant. Therefore, the value stream for the generating company
consists of the nature of all activities carried out in the water and electricity
458
Fig. 30.1 Simplified schematic of the dual purpose water and electricity production plant
R. Salim et al.
Fig. 30.2 Relationships between the generating company, the transmission and distribution
company and the consumers of water and electricity
production chains. This set of actions start from natural gas feed, the primary fuel,
up to the production of the water and electricity capacities as required by the
transmission and distribution company. The natural gas, used as the primary fuel,
is a non-renewable resource. Therefore, improving operating efficiencies is impor-
tant since it translate to reductions in natural gas consumption, which in turn is a
fundamental achievement in the journey towards sustainability.
Other lean principles highlighted in the five basic lean principles mentioned
earlier on are; value flow, customer pull and the pursuance of perfection. Smooth
flow of value in the generating company has been assured by effective maintenance
strategies based on accumulated experience with plant operations. In order to
eliminate the possibility of stoppages, duplicate lines and standby capacity were
included in the design of the generating company facilities. On the other hand,
customer pull (i.e. on demand delivery) is catered for by observing and maintaining
a specific level of sea water reservoir at the generating company. The basic idea is
that all things being equal, observing and maintaining a specific sea water reservoir
level of a dedicated reservoir of sea water, the capacities for both electricity and
water are satisfied simultaneously. While the issue of pursuing perfection is an
important principle of lean, it can however, be satisfied by developing a lean culture
in the generating company, which ensures the perpetual undertaking of continuous
improvement actions in the operations of the DPWE production plant.
30.3 Plant Energy Assessment Methods
Based on the discussions in the previous sections, the analysis in this study focuses
more on the first two lean principles; i.e. specifying value and identifying the value
stream. To this end, the value stream mapping tool was used in the preliminary
energy assessments while energy audits and other energy use efficiency techniques
were used to provide more focused and more detailed energy assessments in areas
of concern as revealed by the value stream mapping. The general energy assessment
460 R. Salim et al.
methodology applied to the case study was as follows: (a) case study plant energy
assessments were carried out by collecting and analyzing available energy utilities
related process data in order to establish energy requirements of the DPWE
production plant, and (b) component-based energy efficiency optimization oppor-
tunities were identified from an operating cost point of view. The various energy
assessment methods used and techniques implemented are outlined in the following
sub-sections.
30.3.1 Energy Audit
Energy audit refers to energy use studies of a plant through either a quick walk-
through of a facility to identify major problem areas or a comprehensive analysis of
energy use evaluation and assessments [16]. Two phases of energy audit methods
were used in the case study. These included; (1) a preliminary audit phase, and (2) a
general audit phase. The preliminary audit was implemented through leans value
stream mapping tool. This involved minimal interviews with site operating person-
nel, a brief review of facility utility bills and other operating data, and a structured
virtual walk-through of the case study facility. The virtual walk-through of the
plant was facilitated by studying process simulations of the case study. The data
collected through these activities were then used as inputs to the values stream
mapping. The general audit phase involved collecting more detailed information
about facility operation and performing a more detailed evaluation of energy
conservation measures. The following steps were used in the general energy audit
phase:
Interviews with key facility personnel.
More detailed virtual tours of the facility by studying the process system
simulations.
Case study document reviews.
Facility inspection with a focus on the major energy consuming processes and
energy equipment.
Staff interviews (as a follow up to preliminary audit phase investigations).
Utility analysis, which involved a detailed review of energy use and energy
sources.
Identification and evaluation of feasible energy saving areas and energy conser-
vation measures.
Although the energy audit method is usually given first preference in energy use
analysis and assessments, auditing energy may not be effective enough since energy
audit is the study of energy end uses and performance of a facility as a whole that
one may not really know which process or process step uses the most energy
[7]. Therefore, conventional energy audit methods were supplemented by appro-
priate lean techniques. In the actual implementation, activities on lean methodology
and the energy audit method were done simultaneously whenever possible.
A unique approach used in this work was to use the lean values stream mapping
method as the preliminary energy audit phase while conventional energy audits
were used in the general energy audit sessions. In this way, the results of lean value
stream mapping were used to identify those areas in the process system were more
detailed energy assessments were required. Such areas became the focal point of the
general energy audit phase.
The preliminary energy audit phase indicated that relatively more loses were
taking place on the following equipment; heat recovery boilers, auxiliary boilers,
turbine sections, compressor sections, and the distillation sections of the process
system. Typical loses on boiler sections included: dry gas loses, non-burned
combustibles, losses due to moisture formed by hydrogen combustion, loses
due to moisture in the fuel and loses due to moisture in the air. Typical loses on
the turbine section included: heat rejected with cycle, heat rejected due to turbine
cylinder problems and terminal parameters, losses due to pressure and temperature
differences in feed, losses due to pressure and temperature changes in condensing
system. Typical losses in the compressor sections included: exhaust gas losses,
engine cooling losses, mechanical friction losses, heat leaks and loses due to
pressure drops.
30.3.2 Lean Methods
Lean methodology is the concept of streamlining processes and eliminating waste

in order to keep costs low, while maintaining high quality products and or services
[17]. The lean methodology was used to identify optimization initiatives for
increasing operating efficiency and reducing production costs. The underlying
theme in applying the lean methodology was to develop and analyze lean aspects
related to the case study and provide recommendations that if put in place would
save time and money. Thus, by reducing waste (materials and energy), the case
study plant will be able to reduce their overhead expenses and by saving time the
case study plant would produce more in the same (or less) amount of time. Such
changes would lead to general improvements in operating efficiencies and, there-
fore, will contribute to achieving operational excellence. Lean thinking uses a wide
variety of powerful tools for standardization and simplification [18]. In order to
critically examine and assess operational activities through a lean framework, the
following lean tools were used: (a) leans deadly wastes, and (b) the value stream
mapping tool.
30.3.2.1 Energy Wastes in Relation to Leans Deadly Wastes
The core philosophy in lean applications is to continuously improve a process by

removing non-value added steps or waste. In the lean framework, waste has been
defined as all elements of production that only increase cost without adding value
462 R. Salim et al.
that customers are willing to purchase [14]. In most implementation, all lean
initiatives begin by identifying, along the process chain, what creates value for
the customer. In general, any operation or process consist of value adding and
non-value adding activities. In the lean framework, all non-value adding activities
are considered as waste. Since not all non-value adding activities can be eliminated
in a given process lean operates with two types of waste, namely; Type 1 and Type
2. Type 1 wastes are activities that do not add value for the customer but that
currently are necessary to maintain operations, for example by assisting manage-
ment to control and run the business. As such, Type 1 waste is easy to add in a
process but difficult to remove since it is fundamental to the realization of trans-
formation activities along the process system. As a guideline, it has been suggested
that the amount of necessary but non-value adding activities should be kept at a
minimum and is normally reduced by simplifying the process. Type 2 waste creates
no value for any stakeholder and should be eliminated completely. Lean has
identified seven deadly wastes in an organization. These can be summarized as
waste of; overproduction, waiting, motion, inventory, transportation, defects and
extra processing. Environmental and energy wastes are not explicitly included in
the seven deadly wastes of lean discussed above. This is because energy and
environmental wastes are embedded in, or related to, the seven deadly wastes.
For the case study plant, some of the seven deadly wastes are not directly relevant.
Therefore, in the analysis only relevant wastes were included.
30.3.2.2 Value Stream Mapping
Value stream mapping is a lean process-mapping method for understanding the

sequence of activities used to produce a product in order to identify sources of
non-value added time or materials; identify opportunities to increase efficiency; and
develop a plan for implementing improvements [19]. Value stream maps serve as a
critical tool during the review process and can reveal substantial opportunities to
reduce costs, improve production flow, save time, reduce inventory, and has the
added advantage of improving the environmental performance of an organization
[20]. A current state value stream map was developed for the case study plant. More
detailed energy uses assessments were then based on the results of the value
stream map.
30.3.2.3 Examining Energy Use Through Value Stream Mapping
In general, conventional value stream maps can overlook environmental wastes such
as energy, water, or raw materials used in excess of what is needed to meet the needs.
To avoid this, an effective way that was used to understand energy use in the case
study was to integrate energy analysis into the lean value stream mapping process.
This approach was found suitable for identifying areas where the largest sources of
waste exist in the value stream and hence prioritize process-improvement efforts.
The approach taken was to integrate a materials line in the value stream mapping in
addition to the time line. In this way, the integrated materials line would focus on
mapping the resources consumed and waste generated in the production of power
and water. Incorporating energy use data directly into the current state value stream
mapping made it easier to spot key energy saving opportunities in the context of
other improvement opportunities. Since value stream mapping takes a systems
approach i.e. views the plant processes as a system, conventional energy use
assessments and energy audits were used to evaluate and assess energy wastes in
those actual areas that were identified through value stream mapping as key energy
saving opportunities. In addition, the energy audit was used as a crucial step in
assessing and improving energy use efficiency on the process flow by identifying
ways of providing more output with less energy input. In order to analyze energy use
in the case study plant through value stream mapping, the following activities were
carried out:
1. Understanding of the combined process of generating water and electricity at the
plant. Figure 30.1 shows a simplified illustration of the process plant with inputs
and outputs.
2. Data about energy use for individual process steps along the process system were
collected.
3. Data was collected for the materials line (a variation of a time line used in
conventional value stream mapping).
4. Collected data was then mapped using a lean value stream mapping tool.
5. The largest sources of waste were identified.
The results of the analyses based on the methods described in this section are
presented in the following section.
30.4 Results and Discussions
Lean manufacturing principles were applied in the case study plant to assess energy
use. Strategies and techniques for understanding how energy in the plant should be
used will be discussed in this section. Opportunities for reducing energy wastes and
costs were identified and are discussed in the following sub-sections.
30.4.1 Lean Deadly Wastes in the Case Study
Lean deadly wastes identified in the case study included:

1. Overproduction: i.e. producing more than needed. For the case study plant, this
was interpreted to mean producing more electricity and water than is required by
the distribution company. This also lead to the waste of inventory.
464 R. Salim et al.
2. Waiting: i.e. idle operator or machine time. For the case study, this may mean
just-in-case standby capacities, duplicate water and power production lines and
energy equipment.
3. Motion: i.e. movement of people or machine that does not add value. This
includes start and stop characteristics of production equipment during mainte-
nance, shut downs or switching over to standby capacity of duplicate
production line.
4. Inventory: i.e. any supply in excess of required quantities (demand for water or
electricity). For the water production chain, it was noticed that the generating
company has an inventory reservoir which in lean thinking can be considered as
a waste.
5. Transportation: i.e. any material movement that does not directly support value
added operations. In a DPWE production plant, a number of movements that do
not add value to the power and water chains can be observed. For the water
production chain these include: flow of sea water from sea up to the sea water
intake at the plant, flow of brine discharge, flow of distillate product from
distillers to the treatment plant, flow of steam from the boilers to the heat
input section as well as pumping of desalinated water to the distribution.
Although these can be considered as wastes of motion in the lean framework,
more specifically they are Type 1 wastes i.e. activities that are necessary to
maintain and complete the transformation process. For the power production
chain, Type 1 wastes of motion include: flow of compressed air into the
combustion chamber, transportation of natural gas from its source to the com-
bustion chamber, movement of exhaust gases from turbines to heat recovery
boilers, and transmission of generated power to the distribution company.
6. Defects: i.e. making defective parts/product. Since there are mechanisms along
the DPWE production plant to ensure the right quality of water and electricity,
this type of waste is relatively less applicable in the DPWE production plant.
However, efforts made in say enforcing water treatment prior to sending to the
distribution company can also be classified under this type of waste. In the case
study plant no such efforts were encountered.
7. Extra processing: i.e. any process that does not add value to the product. This
type of waste is also less applicable in the power and water production chains of
DPWE production plants.
The listing presented above reveal a number of aspects related to the applica-
bility of lean principles to DPWE production plants. For example the analysis
shows that water is produced in excess. According to lean deadly wastes, this is a
waste of overproduction. In addition, the reserve capacity in the case study was
found to be too large than may be required (unless of course if the size of the
reservoir was meant to provide cushions in the whole life stages of the plant). This
reserve capacity is actually viewed as waste of inventory in the lean framework.
However, these comments are made within the scope of the case study which in this
case supplies only a fraction of the water required in the State of Qatar. In addition,
the demand was based on estimates of how much of the population is actually
supplied by water produced from the case study plant. The reserve capacity may
also have been designed to support other water supply stations when there is
maintenance or a breakdown. Therefore, an analysis that considers all plants that
supply water and electricity would provide more information for decision making
and developing an optimal production policy.
It was also noted that the case study plant operates with a duplicate power and
water production plant. In addition there is a lot of redundancy in the form of
standby equipment. In a lean framework, the duplicate line and the redundancy are
classified as wastes. However, reliability concepts tell us that critical plants such as
those that provide water and electricity should always have some built-in redun-
dancy. However, this redundancy must be optimized at the design stage.
30.4.2 Value Stream Map
Figure 30.3 shows the result of the energy map obtained through the lean value
stream mapping method. Figure 30.3 shows that there are differences in the values
of energy used and energy needed along the process system of the case study plant.
Figure 30.4 summarizes the differences between the total energy actually used and
the total energy needed for the various sections along the process system.
Figure 30.4 shows that there is a potential of 10 % energy savings by providing
and using the exact amount of energy required by the various energy equipment
considered in the value stream mapping.
Figure 30.5 shows the relative energy consumption of the various energy
equipment. Figure 30.6 shows the potential savings (differences in the used and
needed values) from each sections of the case study plant. In the lean framework,
this situation is classified as a waste i.e. supplying more energy than is needed.
Therefore, the relative differences in the various amounts of energy used and
energy supplied can be used as a starting point for a detailed thermodynamic or
thermo-economic analysis that targets at find optimal solutions in each of these
energy components.
Simple operational suggestions for solving the identified non-capital energy
problems include:
Provide the correct amount of energy needed by each energy equipment or unit
process.
Review maintenance schedules to upkeep equipment so as to reduce inefficien-
cies that often result in over estimations of energy required.
Review energy equipment and benchmark with the best available technology. If
necessary replace or retrofit and integrate best available technologies.
It can also be observed that a large amount of energy is wasted in the distillation
process, particularly in the distillers. This gives an indication that this process step
is the most inefficient step and hence it requires a more comprehensive thermody-
namic analysis.
466
Fig. 30.3 Value stream map for the case study process system
R. Salim et al.
Fig. 30.4 Summary of total energy actually used and total energy needed
650
Used Needed
600
550
500
450
Energy Used GWh
400
350
300
250
200
150
100
50
0
Compressors Combustion Gas Heat Auxiliary Distiller Treatment Forward
Chamber Turbine Recovery Boiler Plant Pump
Boilers House
(HRB)
Fig. 30.5 Comparison of energy used and energy needed for the various equipment in the case
study plant
The significant result from lean tool analysis is that the highest energy waste is
in the distillers followed by the gas turbine, combustion chamber, and the com-
pressors. Besides the distillers, the greater percentage of wasted energy in the gas
turbine, compressors and combustion chamber (i.e. power chain) are most probably
due to limitations in the installed technology. The relatively large percentage
energy saving in the distillation process was somewhat expected since literature
review had indicated that the desalination process is energy intensive. This means
that a number of opportunities for energy savings and improvements in operational
efficiencies exist in the distillation process. Because the desalination process is
468 R. Salim et al.
Forward Pump House
Treatment Plant
Distiller
Auxiliary Boiler
Heat Recovery Boilers (HRB)
Gas Turbine
Combustion Chamber
Compressors
0 5 10 15 20 25 30 35 40 45
Fig. 30.6 Potential percentage energy savings for the various sections of the plant
energy intensive, care must be taken to reduce energy consumption which will in
turn reduce production costs thereby lowering the unit cost of fresh water.
30.4.3 Multi-stage Flash Distillation Energy Consumption
A relative comparison of the thermal and electrical energy of the MSF desalination
process in the case study with that of its nearest rival (MSF with a back pressure
steam turbine to drive the brine recirculation pump) is shown in Fig. 30.7.
Figure 30.7 shows that a significant amount of energy can be saved by replacing
the MSF in the case study with an MSF that implements a back pressure turbine. An
alternative way of reducing the energy consumption of the MSF is to review the
design and operating parameters of distillers. The MSF process requires both
thermal and mechanical energy. The former is required for heating recycled brine
in the heat input section while the latter is required for driving pumps. Energy
consumption of the MSF distillers can be reduced by increasing the performance
ratio. The performance ratio is usually defined based on the top brine temperature
(TBT). Thus, an Increase in TBT increases the flash range which will simulta-
neously increase distillate production and thermal performance.
The MSF plant in the case study operates with a TBT range of 90112 C
[22]. This range can be increased by acid dosing which removes bicarbonate from
seawater feed and allows evaporators to operate at an increased top temperature of
120 C. Notable approaches for pre-treatment of seawater include using nano-
filtration membrane which opens the possibility of increasing the TBT above
120 C. This achievement may significantly reduce energy consumption.
4.5
4
Electrical Energy Consumption (kWh/m^3)
3.5
2.5
1.5
0.5
0
MSF (with back pressure turbine) MSF
Fig. 30.7 Comparison of relative consumption of electrical energy by case study MSF and MSF
in which the drive of the brine recirculation pump is a back-pressure steam turbine [21]
Retrofit options include increasing the number of stages thereby increasing the
performance ratio. Other operational issues include frequently acid cleaning to
ensure clean heat transfer surfaces and to restore the design performance ratio.
Thermo-economic analysis of the hybrid cycles have revealed that the production
cost of water could be reduced by as much as 30 % [23].
30.5 Conclusion
Dual purpose water and electricity (DPWE) production plants are a cost effective
way of producing power and water in arid and semi-arid regions of the world. Over
the years, these plants have become the conventional way of providing electricity
and water in the gulf region. In this study, a case study of an existing DPWE
production plant was used to illustrate how optimization initiatives for reducing
energy consumptions and for conserving energy can be identified through applica-
tions of lean manufacturing principles and concepts. The discussions presented in
this study have shown how a combination of lean principles and energy efficiency
techniques can be used to leverage operating efficiencies and improve energy use
efficiencies in DPWE production plants. Investigations based on lean manufactur-
ing principles (value stream mapping) revealed that the highest energy waste in the
case study plant was found in the distillation process. Therefore, improvements in
the operating characteristics and operating modes of the desalination unit can result
in significant energy savings. This may translate to reductions in the production
470 R. Salim et al.
costs of water and electricity. The results also show that a number of optimization
initiatives existed in the case study plant. For example differences in the energy
actually used and energy needed can be reduced through non-capital intensive
projects thus resulting in a series of energy savings on the various sections consid-
ered. Suggestions on how to improve the energy efficiency and to reduce the energy
consumption of the distillation process were outlined.
The investigation also showed how lean tools such as value stream mapping can
be an effective tool when extending it to analyze energy or material use and wastes.
The lean value stream mapping tool was used to provide a broad overview of the
energy profile for a DPWE production plant. The main purpose of this tool (as used
in this study) was to point the user to further resources and tools for energy savings,
energy conservation and improvements in operating performances. In this regard,
lean tools can be used as a road map that helps the user understand the facilitys
current energy situation and provides directions for exploring more targeted ways
of saving and conserving energy.
Acknowledgement This paper was made possible by a UREP award [UREP09-076-2-020] from
the Qatar National Research Fund (a member of The Qatar Foundation). The statements made
herein are solely the responsibility of the author[s].
Nomenclature
Acronyms
DPWE Dual purpose water and electricity
HRB Heat recovery boilers
MSF Multistage flash
TBT Top brine temperature
FBH Forwarding board house
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Chapter 31
Empirical Formulation of Shear Modulus
Functions for Tubular Pinewood Specimens
Under Torsion
Ezgi Gunay, Cevdet Aygun, and Emre Uludogan
Abstract In this study, tubular pinewood (Pinus Sylvestris L.) specimens are
tested and shear strain measurements are performed by applying torsion in
z-direction. Strain gauge measurements are performed for the maximum shear
stresses which develop on the tubular specimen, along the radial r (rin, rout),
circumferential (in, out) and z directions, in a point-wise (pw) manner. The
data is gathered and examined for the determination of the local variations of
empirical shear modulus functions on transversely isotropic surfaces of the speci-
mens. The coordinate dependent shear modulus functions of Gz(r), Gz(),
Gz(z) are derived for Gz(r, , z) as the function of r, and z, respectively, by
analyzing the gathered data. It is proposed to represent the shear modulus functions,
Gz() and Gz(z) with the parabolic polynomials, and, to represent the shear
modulus function Gz(r) with a linear equation.
Keywords Wood Torsion loading Strain measurements Stress variation

Shear modulus Composite material
31.1 Introduction
It is a current trend today that completely wooden houses, apart from the houses
with wood components, are gaining ground all over the residential districts of the
worlds metropolitan areas. In todays world, structural elements which require
extra strength and robustness and are directly taken from nature such as trees and
bamboos are being rediscovered for the usage in the construction of the buildings
and the residential facilities as well as in the manufacture of the new echelon
furniture and other household goods. Many parts of the world are just beginning
to tap the wind which is clean, renewable and widely distributed. In this sense, a
much greener alternative for the structures of the wind turbine towers are being
E. Gunay (*) C. Aygun E. Uludogan

Faculty of Engineering, Mechanical Engineering Department, Gazi University,
06570 Maltepe, Ankara, Turkey

474 E. Gunay et al.
offered. Engineered wood is an ideal material for these towers since they are
carbon-neutral, renewable, as well as strong and durable and cost-competitive
compared to steel and concrete. Wood components are still being used in boat,
yacht and small tonnage ship building industries, in many of worlds developed and
developing countries. As raw material abundantly available in the nature, wood is
still being used to manufacture carriages and other transport means by peoples of
developing world. In addition, wood is used widely to make most of the sports
equipment. As the areas of usage for wood requiring strength and endurance is quite
wide, assurance of safety carries weight with usage of all kinds of goods made up of
wood. On the other hand, it is known that wood material is made up of either
general orthotropic or transversely isotropic material which closely resembles
composite material. Physical conclusions deducted from this study will equally
be applicable to materials with similar physical properties, such as wood plastic
composites (WPC) and other sorts of composites.
Wood is modeled as a fiber composite material of transversely isotropic type.
The elastic material constants of fiber composites changes on the surface of each
cross-section along the radial and circumferential directions but it remains same
along the fiber directions. It is known that; the wood material behaves like a
nonlinearly elastic composite structure under torsion loading. However, in addition
to this phenomenon, it also exhibits visco-elastic properties. Transversely isotropic
structure of wood is related to the natural growth of a tree. Annual rings of the wood
form fairly regular concentric circles in nature, giving the wood cylindrically
symmetric structure.
Coordinate dependent material elastic constants which were represented with
mathematical equations, were studied analytically by scientists [15]. A new
relationship to calculate the shear modulus G12 in terms of off-axis modulus of
elasticity E0 of orthotropic specimens such as wood-based panels was proposed
[4]. An extensive body of experimental data according to the variation of in-plane
shear modulus G(), and the variation of Youngs modulus E() of plywood panels
were gathered and analyzed, in this sense. The mathematical relations between
elastic properties of fiber and matrix structure and the wood polymer elastic
constants in micromechanical level were studied [5]. The verification of shear
modulus transformation rules to obtain basic engineering constants that agrees
with reliable test data and the anisotropic elasticity theory was performed
[6]. The shear stress versus shear strain expressions of transversely isotropic
cylindrical bar under torsion, having a finite length, was described in terms of
partial differential equations [7, 8]. Shear properties of clear softwood from Norway
spruce were investigated by means of the Arcan shear test [9]. Bilinear and Voce
adaptation of experimental shear stressstrain curve on principal coordinate
system LR.
In the current study, two coordinate systems were used to define the coordinate
dependent strain variations of pinewood specimens under torque, applied in
z-direction. The results which were obtained by performing pw incremental mea-
surements were illustrated as curves of shear stress (z)pw versus shear strain
(z)pw, along the principal directions at the gauge locations. The torque loading
31 Empirical Formulation of Shear Modulus Functions for Tubular Pinewood. . . 475
was applied to the specimen in the (r ) plane at one end, while the other end was
fixed. The related data which was gathered from all these points was shown as
separate curves for each test case. The purpose was to show the variations of the
Gz(r, , z) as functions of r, , z [1012]. Consequently, these curves were formu-
lated as empirical mathematical equations. In each test case, the coordinate depen-
dent variations of the shear modulus functions Gz(r), Gz() and Gz(z) along the
r, , z directions, resp., were generated on the all surfaces of the tubular specimen.
31.2 Experiment and Method
Test instruments and specimens are explained in this section. Tubular pinewood
specimens were used in this study. In order to specify the test conditions different
equipment was used. The average moisture content of the material was measured by
using a Delmhorst Instrument BD-10 moisture meter [13]. Value of the moisture
was measured as 67 %. All experiments were performed in room temperature by
making use of uniaxial and triaxial rosette gauges KFG-5-120-C1-1, KFG-10-120-
C1-1, KFG-10-120-D17 [14]. These gauges were bonded onto the specimens. The
geometry of the specimens was formed by taking fillet depths equal to the radius of
the outer portion of the wood shaft. Thus, it became possible to minimize stress
concentrations (Fig. 31.1a). In order to minimize the deviations in the test results;
these specimens were manufactured from a single tree trunk. The forming proce-
dure was performed on the wood specimens in such a way that their fibers lay
longitudinally parallel to the trunk. However, there were intrinsic structural differ-
ences stemming from the number and radii of annual rings in the part of the trunk
from which the specimen was taken out.
The experimental set-up was displayed as a schematic diagram in Fig. 31.2. The
torsion loading was applied by using a TQSM-21 [15] torsion testing machine. Data
was collected by employing specialized units [16, 17]. As a first step, the normal
strain values were obtained by reading the voltage differences Vo from the display
of the unit, and as a second step, these normal strains were converted into shear
strains by using Mohrs circle [18].
The set-up included torsion test machine and two different data acquisition
systems. The generated coordinate dependent pw shear strain data z generated
! !
by the applied torque ( T Tz k ) was simultaneously stored in terms of output
voltage (Vo). The torsion load was applied on the transverse plane (r plane,
!
Fig. 31.1b) which had a unit normal vector k along the z-direction.
476 E. Gunay et al.
a 40 190 40
157
r
76
28
35
z
R18
270
b : normal vector // radius
tangent plane (r) to a specimen at each MA

MA
90 fiber 45
rotated unit cube with
fiber principal stresses on
fixed 1 z plane
0 2
2
1
z 45
z Applied shear stress

T = Tz k

r z plane
Fig. 31.1 (a) Geometrical dimensions of tubular wood specimen (mm). (b) In this figure, MA
stands for measurement axis which is taken at 45 from fiber direction on the tangent plane. The
first coordinate system was the cylindrical coordinate system with r, , z coordinates (global
system). The second coordinate system was fiber oriented principal axes system,
1 2 3 or (LRT). (c) The specimen was modeled by employing two different coordinate systems
Fig. 31.1 (continued)
III) Store:
Counter
number Simultaneous data
USB Serial port saving sub-steps
II) Store:
Torque Wood test
Specimen
I) Store:
Time-
seconds SM21-
CoDABUS
Torsion
Communicator testing
machine
(*)
TDG-A18a- Data
ALMEMO-2290-8 Aquisition System
Data Aquisition (8-channels) DATA
System
(9-channels) Strain
(*) 9-Strain measurement connectivity cables guages
Fig. 31.2 Schematic diagram of the experimental test set-up with data acquisition systems,
cables, tubular specimen with strain gauges on it. Additionally, sequences of the experimental
operations were also shown
478 E. Gunay et al.
31.3 Measurements
In the consideration of the resultant curves (z z)pw, different failure stresses

were established at the forward and backward rotation directions. Directions of
forward and backward torque loadings, + ref or ref, indicated the fiber angles
[11]. Only the forward loading case was considered in the empirical formulation of
this study. Results of the experimental studies were analyzed mainly in two steps.
Firstly, specific locations were defined along the r, , z directions on the specimens
and shear stress versus strain (z z)pw curves were obtained for each location.
Secondly, the variations of pw shear modulus values of each specimen were shown
as shear modulii Gz(r), Gz(), Gz(z) versus r, , z directions [10]. Subscripts of
shear modulus z represent the cross-sectional surface; on which the torque was
applied. On the other hand, circumferential surface is represented by using sub-
scripts (r ). Strain gauges, on which measurements were taken, were installed
along the z axis (Fig. 31.1c). At the following step of the experiment; exponential
and quadratic equations of the variations were tabulated.
Measurements were performed by considering two reference coordinate systems in
order to explain the wood specimen behaviour: global cylindrical coordinate system
(r, , z) and local coordinate system (wood fiber arrangement based on principal
material directions; 1, 2, 3) (Fig. 31.1c). The local and global coordinate systems
were used together for the definition of MA (measurement axis). MA served as a
variable of wood fiber direction (0o ref 15o). The angular positions of the strain
gauges on the circumferential surface relative to z-axis, were aligned with respect to
maximum shear stress. The maximum shear stress was the stress formed around
MA. These angular positions were denoted as MAA (Measurement Axis Angle) and
they were taken as MAA ref + 45o. Each MA lies on the 13 principal planes which
correspond to r plane (Fig. 31.1c). Measurement axis angle (MAA ref + 45o) is
relatively different from the geometrical central axis angle . MAA was defined on the
13 principal material planes which were attached on the surface of the cylinder. The
first strain gauge was attached with + 45o angle in the principal material axis-1. All
other gauges were also located along this direction (Figs. 31.1bc). Application of
gauges in rin, rout, in, out locations were repeated in similar way. In the rest of the
study, z axis was rotated to be z0 such that it coincided with MA.
Invariants I1, I2, I3 remain constant with respect to coordinate transformations.
Stress and strain components were coupled along the principal directions for 2p1
0o and 2p1 90o . Only along the principal directions, stress and strain values of
the isotropic materials coincided with the values of fiber composite materials
[19]. Thus, it became easier to understand the behaviour of the wood material
under torsion and to compare it with that of the isotropic material. Accordingly, the
shear modulus functions were derived along the MA directions for the
corresponding principal stresses and strains.
The torque value T was measured incrementally. Variation of (z z)pw were
plotted by using the inner or outer shear stresses z and their corresponding
principal shear strains. Consequently, shear modulus functions for the principal
shear strains and corresponding shear stresses were expressed in terms of r, , z in

Eq. (31.1) and Table 31.2.

Gz r MA ref 45o ,
Gz MA ref 45 ,
o
31:1
Gz zMA ref 45o
Experimental results were discussed in the following section.
Empirical shear modulus functions and related plots are presented in this section.
Average and equivalent mechanical properties of shear modulus values Gavg
corresponding to the average shear stresses z for different types of wood (pine,
oak, chestnut, hornbeam) were measured and results were listed in Table 31.1.
These measurements were performed without using strain gauges and the related
data was obtained from the second form of the nonlinear exact trilinear curve
(z z). In the application direction of torsion loading; since the resultant curves
(z z) were affected, different failure values were formed. Applied loading
directions + ref or ref, represent the backward and forward loadings of torque,
respectively. Forward loading applications yield higher failure values than the
backward ones (Table 31.1).
Table 31.1 Average shear modulus values of typical wood types obtained without using strain
gauges (0o ref 15o)
Shear modulus
(GPa) Forward (+) and backward Average shear
Gavg () torque directions modulus values Standard
Types of (test#1/test#2/ (test#1/test#2/test#3/ (GPa) deviation
specimens test#3/test#4) test#4) Gavg (Sy)
Pine (tube) 0.29/0.46/ //+/+ 0.34 0.085
0.27/0.32
Pine 0.35/0.46/ //+/+ 0.35 0.080
(solid) 0.27/0.32
Hornbeam 0.46/0.46/0.40 +/+/+ 0.44 0.035
(tube)
Hornbeam 0.38/0.43/0.39 +/+/+ 0.40 0.026
(solid)
Oak (tube) 0.32/0.36/ +/+/+/+ 0.38 0.048
0.40/0.43
Oak (solid) 0.47/0.43/0.3 +/+/+ 0.40 0.089
Chestnut 0.45/0.47/0.41 +/+/+ 0.44 0.031
(tube)
Chestnut 0.31/0.31/0.36 +/+/+ 0.33 0.029
(solid)
480
Table 31.2 Empirical shear modulus functions of pinewood specimens

Fiber angle Quadratic expressions (Pa) Exponential expressions (Pa)
MAA Gz (r) Gz () Gz (z) Gz (r) Gz () Gz (z)
o 8 11
45 G 4 10 r G 3 10
(inner/outer) 8 109 e0:345 r
45o G 4:3 103 z2 G 2 108
(outer) 4 106 z 4 107 e0:0062z
45o G 9:9 104 2 G 7 109
(outer) 2 107 8 109 e0:0009
45o G 2 1010 r G 8 1014
(inner/outer) 3 1011 e0:6607 r
E. Gunay et al.
Gauges-outer
2.5E+09 Measured generated

Gauges-inner
strain
accumulation
2.1E+09 at loaded outer
surface is higher
than inner
1.7E+09 surface
1.3E+09
G
8.5E+08
4.5E+08
5.0E+07
0 50 100 150 200 250 300
f
Fig. 31.3 Plots of Gz () versus at z 200 mm (Gauges are located at 0o, 120o, 240o)
The empirical equations of Gr(), Gz(z) and Gz(r) were expressed in terms
of various functions and were listed in Table 31.2. The descriptions of the results
were explained according to the relative differences of slopes in shear stressstrain
(z z)pw and their corresponding Gz(r), Gz(), Gz(z) versus r, , z curves
for forward loading applications.
Figure 31.3 presents Gz() versus distribution of data obtained from six
gauges at 0o, 120o, 240o for the tubular specimen. This distribution is obtained
through the specified coordinates of MAA at the outer and/or inner surfaces of
specimens (see Fig. 31.1c). In the figure, the outer and inner surface Gz()
reactions due to the shear stressstrain distributions were formed in reverse orders
at the measurement point (z 200 mm). Through the circumferential direction,
Gz() forms an convex curve at the inner surface and Gz() forms a concave
curve at the outer surface.
Figure 31.4 presents Gz(z) versus z distribution from 4 gauges at z 65,
157, 177, and 200 mm. for the tubular specimen. Variation of Gz(z), shows
parabolic distribution. It is concluded that Gz(z) at the loaded end is bigger than
Gz(z) at the fixed end.
Figure 31.5 presents Gz(r) versus r distribution at 0o/120o/240o for the data
obtained from six gauges at z 200 mm. Figure 31.5 demonstrate dependency of
Gz(r) versus r on the MA angles . In these tests, gauges were located on both inner
and outer surfaces with 0o, 120o, 240o. At these locations of , the variations of
Gz(r) from inner to outer surface decrease. Hence, it is concluded that;
1. Gz(r) versus r varies linearly on the cross-sectional surface. This is a conse-
quence of Gz(r) values on the inner surface are being bigger than Gz(r) values
on the outer surface.
482 E. Gunay et al.
1.7E+09
1.5E+09
1.3E+09
1.1E+09
8.5E+08
G
6.5E+08
4.5E+08
2.5E+08
5.0E+07
50 100 150 200 250
Z
Fig. 31.4 Plots of Gz (z) versus z (Gauges are located at z 65, 177, 157, and 200 mm)
Fig. 31.5 Plots of Gz (r) versus r at z 200 mm
2. Shear stresses formed on the outer surface are smaller than the shear stresses
formed on the inner surface because shear stresses on the inner surface accumulate
densely and shear stresses on the outer surface do not accumulate that densely.
Empirical expressions of Gz(), Gz(z) and Gz(r) were obtained for
tubular specimens (Fig. 31.6) by statistically evaluating the coefficients Aavg,
Bavg, Cavg from the related experimental data and these coefficients were tabu-
lated in Table 31.3 in five groups (GPa) with their statistical parameters.
(a) Coefficients of the linear Gz(r) expression were found to be Aavg 0.24,
Bavg 5.1, and the coefficients of the exponential Gz(r) expression were
found to be Aavg 83.1, Bavg 0.1876.
Fig. 31.6 Tubular pinewood specimens with strain gauges on them
(b) Coefficients of the parabolic Gz() expression were found to be

Aavg 2.35 104, Bavg 1.76 106 and Cavg 6.2 108, and the coef-
ficients of the exponential expression Gz() were found to be Aavg 1.19,
Bavg 0.0004.
(c) Coefficients of the parabolic Gz() expression on the inner surface were
found to be Aavg 3.78 104, Bavg 2.65 106, Cavg 6.875 108 and
the coefficients of the exponential expression Gz() on the inner surface
were found to be Aavg 10.13, Bavg 0.000175.
(d) Coefficients of the parabolic Gz() expression on the outer surface were
found to be Aavg 0.72 104, Bavg 0.74 106, Cavg 5.43 108 and
the coefficients of the exponential expression Gz() on the outer surface
were found to be Aavg 13.75, Bavg 0.000613.
(e) Coefficients of the parabolic expression Gz(z) on the outer surface were
found to be Aavg 0.5 104, Bavg 3.65 106 and Cavg 14.3 108,
and the coefficients of the exponential expression Gz(z) on the outer
surface were found to be Aavg 0.21, Bavg 0.0075.
31.5 Conclusions
In this study, variations of the shear modulus of transversely isotropic pinewood

specimens under torsion were examined. The set of equations of shear modulus in
z and r planes along the principal directions were formulated. All mea-
surements were performed in terms of local coordinate system.
As an extension of the current study, it is suggested to calculate the additional
shear modulus functions and the related coefficients by performing the experiments
of the other types of loadings on other types of woods in a future experimental
study. It is known that the elastic constants matrix Cij appearing in the Hookes
general law, is used to define the elastic constants of the materials. In this matrix,
484
Table 31.3 Empirical shear modulus functions for tubular specimens including the statistical values of coefficients (GPa)
Linear function Exponential function
Groups of average shear modulus functions Gz(r) Aavgr + Bavg Gz r Aavg eBavg r
(Group I) (exp) : 18 Aavg Bavg Cavg (exp) : 11 Aavg Bavg Cavg
Gz(r)outer c.v. (%) 136.3 80.9 c.v. (%) 137.1 85.6
SY 3.31 4.65 SY 30.69 0.11
Mean (Pa) 0.24 109 5.74 109 Mean (Pa) 22.4 109 0.13 109
Parabolic function Exponential function
Gz() Aavg2 + Bavg + Cavg Gz Aavg eBavg
(Group II) (exp) : 15 Aavg Bavg Cavg (exp) : 16 Aavg Bavg Cavg
Gz()outer c.v. (%) 187.39 751.4 70.1 c.v. (%) 137.1 363.03
SY 4.41 13.21 4.35 SY 1.64 0.0014
Mean (Pa) 2.35 104 1.76 106 6.2 108 Mean (Pa) 1.19 109 0.000394
Gz()inner Aavg2 + Bavg + Cavg Gz inner Aavg eBavg
(Group III) (exp) : 8 Aavg Bavg Cavg (exp) : 8 Aavg Bavg Cavg
Gz()inner c.v. (%) 145.46 681.87 82.07 c.v. (%) 64.97 795.17
SY 5.51 18.08 5.64 SY 6.58 0.00139
Mean (Pa) 3.78 104 2.65 106 6.88 108 Mean (Pa) 10.1 104 0.000175
Gz()outer Aavg2 + Bavg + Cavg Gz outer Aavg eBavg
E. Gunay et al.
31
(Group IV) (exp) : 7 Aavg Bavg Cavg (exp) : 7 Aavg Bavg Cavg
Gz()outer c.v. (%) 285.64 654.06 43.66 c.v. (%) 166.33 249.36
SY 2.06 4.81 2.37 SY 22.87 0.00152
Mean (Pa) 0.72 104 0.74 106 5.43 108 Mean (Pa) 13.75 104 0.000613
Grz(z) Aavgz2 + Bavgz + Cavg Gz z Aavg eBavg z
(Group V) (exp) : 8 Aavg Bavg Cavg (exp) : 7 Aavg Bavg Cavg
Gz(z)outer c.v. (%) 1,005 279.21 157.2 c.v. (%) 49.89 36.31
SY 5.03 10.19 22.48 SY 1.07 0.0027
Mean (Pa) 0.5 104 3.65 106 14.3 108 Mean (Pa) 0.21 109 0.0075
Empirical Formulation of Shear Modulus Functions for Tubular Pinewood. . .
485
486 E. Gunay et al.
it will be possible to define these constants in the form of the mathematical

functions by replacing Gz(r), Gz() and Gz(z) with G13, G23, and G21, for
the wood material.
The results were summarized as follows;
1. It was shown that z and r can be written in terms of z(r, , z) and r(r, , z)
and they can be calculated by writing Hookes general law as
z C14r + C24 + C34z + C44z + C45rz + C46r and r C16r + C26 +
C36z + C46z + C56rz + C66r and substituting the values of the normal strain
components r, , z and the shear strain terms r , z , r z in these equations.
2. It was concluded that, Gz(z) values at z 200 mm are greater than the
Gz(z) values at z 70 mm
Similarly, Gz()outer values are smaller than the Gz()inner values, and,
Gz(r) values at z 200 mm are larger than Gz(r) values at z 70 mm. Here,
z 70 and 200 mm represents two different locations at which measurements
were taken.
3. It was shown that, the obtained shear modulus values along the (0 ) fibers are
larger than the other two (45 and 90 ) directed measurements with triaxial
rosette gauges. Results of the measurements along the 0 MA directions yield
very small positive or negative shear strain values. Forward or backward load-
ings cause extension or contraction along the fibers and in turn, this generates
positive or negative shear strains.
The negative shear strains which develop at the measurement points as a
consequence of applying the forward loading can be explained as the contraction
of the material along the fibers. In other words, shear strains are defined with
respect to coordinate system. Thus, behaviour of the shear strains are dependent
upon arrangement of fibers and the direction of applied loading (Table 31.3).
4. It was concluded from the measurements along the MA directions 0o, 45o, 90o
with triaxial rosette gauges that the relative shear strain changes between
0o 45o and 45o 90o angles are not equal to each other. The difference of
shear strains between the 0o 45o directions is smaller than the one between
45o 90o directions.
In order to further understand the complex wood behaviour under torsion
loading, it is planned to perform additional experiments. The phenomenon of the
stress accumulations which develop at the critical points along the wood fibers
will be supported by a new experimental study.
Acknowledgement The authors acknowledge gratefully the support of the work by the Gazi
University Scientific Research Projects Department_Research Foundation (BAP) under contract
6/2003-21.
Nomenclature
Aavg, Bavg, Average coefficients of parabolic equation

Cavg
c.v. Spread of data (coefficient of variation)
Cij Matrix of elastic constants
Deg Degree
Gz(r), Shear modulus functions generated in the r planes along the
Gz() r, and z-directions as
Gz(z) Modes of function
Gavg Average shear modulus (GPa)
pw Point-wise
MA Measurement axis
MAA Measurement axis angle
Mean Average
rin, rout Inner and outer radiuses of tubular wood (m)
SY Standard deviation
!
Applied z-directional torsion moment (N. m) and its vector
Tz , T
notation
Vo Output voltage (Volt)
Greek Symbols
ref Grain angle of wood specimen on the surface of the cylindrical
wood bar which is measured from the main axis-z (degree)
Rotation angle on (r) plane of the specimen (rad)
in, out Inner and outer circumferential angles of tubular wood specimen
(degree)
(exp) Total number of experiments
(z z)pw Applied shear stress and developing shear strain distribution along
point-wise direction
rz, z, r Shear stress components (MPa)
r , , z Normal strain components
rz, z, r Shear strain components (radian)
, out, in Average shear strain, shear strains at outer and inner surfaces of the
specimen (radian)
References
1. Bozorth RM (1951) Ferromagnetism. Van Nostrand, New York, NY

2. Wooster WA (1949) A textbook on crystal physics. Cambridge University Press, London
3. Turley J, Sines G (1971) The anisotropy of Youngs modulus shear modulus and Poissons
ratio in cubic materials. J Phys D Appl Phys 4:264271
488 E. Gunay et al.
4. Saliklis EP, Falk RH (2000) Correlating off-axis tension tests to shear modulus of wood-based
panels. J Struct Eng 126(5):621625
5. Salmen L (2004) Micromechanical understanding of the cell-wall structure. CR Biologies
327:873880
6. Liu JY, Ross RJ (2005) Relationship between radial compressive modulus of elasticity and
shear modulus of wood. Wood Fiber Sci 37(2):201206
7. Gunay E, Konakl S (2004) The new formed shear modulus formulations for the transversely
isotropic fiber composite bars under torsion loading. J Fac Eng Arch Gazi Univ 19(1):112
8. Gunay E, Konakl S (2006) Formation of shear stress equations for transversely isotropic finite
length bar under torsion. Sci Eng Compos Mater 13:255269
9. Dalh KB, Malo KA (2009) Nonlinear shear properties of spruce softwood: experimental
results. Wood Sci Technol 43:539558
10. Uludogan E (2005) Coordinate dependent experimental determination of shear modulus for
transversely isotropic composites by using wood torsion specimens. M.Sc. Thesis, Gazi
University, Institute of Science and Technology, Ankara
11. Gunay E, Orcan Y (2007) Experimental investigation of the mechanical behavior of solid and
tubular wood species under torsional loading. Turkish J Eng Env Sci 31:89118
12. Gunay E, Uludogan E (2007) Experimental determination of shear modulii variation of typical
transversely isotropic wood specimens. J Mach Des Manuf 9:6787
13. http://www.delmhorst.com/, Delmhorst Instr. Co., 51 Indian Lane East, Towaco, NJ 07082-
1025, USA
14. http://www.kyowa-ei.co.jp/eng, Kyowa Electronic Instruments Co. Ltd., Tokyo
15. http://www.tecquipment.com/, TQSM21, Torsion testing machine manual, TecQuipment Ltd.,
Bonsall Street Long Eaton, Nottingham NG10 2AN, UK
16. http://www.teknikdestek.com.tr/, TDG-AI8a_Data Acquisition System, Ankara, Turkey
17. http://www.ahlborn.com/. ALMEMO_Datalogger Unit. Manual V5 AHLBORN Mess-und
Regelungstechnik GmbH, Berlin: Medewitzer Strae14 02633 Gaussig
18. Inan M (1970) Strength of materials. Ofset Printing Ltd., Istanbul
19. Gibson RF (1994) Principles of composite material mechanics. McGraw-Hill Inc., Singapore
Chapter 32
Robust Control Techniques of ASVC-Based
Var Flow Compensation
Mansour Benyamina and Benyounes Mazari
Abstract Advanced Static Var Compensators (ASVCs) are high power electronics
based devices used to provide fast variable reactive power compensation to power
networks. They should be properly controlled to ensure fast and continuous reactive
power to meet a certain fluctuating load demand and enhance the transient stability
of the power system. The effectiveness of these compensators depends on the
choice of the control strategy.
In this paper, we deal with the application of the Internal Model Control
technique (IMC) and the State Feedback Control (SFC) concept to adjust the
ASVC Var flow with the ac transmission network. These controllers are evaluated
under a variety of operating conditions where performances and robustness have
been analyzed and compared to a conventional PI controller.
Simulation results in the case of a non linear model show that SFC and IMC
controllers, suitable for real time implementation, lead to improved transient
response and hence provide fast reactive power compensation to ac transmission
networks.
Keywords FACTS ASVC IMC control State feedback control
32.1 Introduction
The configurations of static compensators of reactive power based on switched

inverters are today the most used in electric current transmission systems. The
apparition of high-powered electronic devises in the design of power electronic
converters has resulted in a solid-state Var source with a more simple structure
namely the Advanced Static Var Compensator (ASVC) [4, 6]. The ASVC uses a
M. Benyamina
Electrical Engineering Department, University of Mostaganem, BP. 227 route Belhacel,
27000 Mostaganem, Algeria
B. Mazari (*)
Laboratory of Electrical Drives LDEE, Faculty of Electrical Engineering, University of
Sciences and Technology of OranUSTO, B.P 1505, EL-Mnaouer, 31000 Oran, Algeria

490 M. Benyamina and B. Mazari
PWM controlled dc/ac Voltage-Source Inverter (VSI) with a capacitor as a dc

power storage device.
The ASVC is connected in derivation that can operate in networks of transport as
well as of distribution to generate or absorb reactive power, without using bank of
condensers or inductors, in order to provide fast variable and continuous reactive
power compensation following large, fluctuating load demands.
Power transmission performances with higher long line transmission capacity
and transient stability are achieved by controlling the reactive current injected or
absorbed from the transmission line. The effectiveness of these compensators
depends mainly on the choice of the control strategy which allows greater control
of the power flow in real time taking into account network condition changes
and responding almost instantaneously to stability problems. Various control
approaches have been proposed in the literature [1, 2, 5, 8] where conventional
voltage regulation loops used are based principally on a proportional-integral
(PI) controller. These produce satisfactory performance only for limited operating
range conditions. In this paper, we consider the application of the Internal Model
Control technique (IMC) and the State Feedback Control (SFC) concept to adjust
the ASVC Var flow with the ac system. The performances of the closed loop control
systems are analysed and the effectiveness of the ASVC proposed controllers under
a variety of operating conditions are demonstrated and compared to a conventional
PI controller.
32.2 Overview and Modeling of the ASVC
The basic ASVC scheme is illustrated in Fig. 32.1. The ASVC circuit consists of
six-pulse VSI with a dc capacitor and a PWM modulator. Connection of the ASVC
to the transmission line is via a coupling transformer where Rs and Ls are the
coupling transformer active losses and leakage respectively as shown in the three-
phase equivalent circuit of the ASVC connected to a transmission line of Fig. 32.2.
Basically, the ASVC supplies reactive power to the ac transmission system if the
magnitude of the inverter voltage is greater than the ac terminal voltage. It draws
reactive power from the ac transmission system if the magnitude of the ac terminal
voltage is greater to the inverter voltage. Var exchange is zero when the two
voltages are equal [7].
It is assumed that the source is a balanced sinusoidal three-phase voltage supply
with frequency .
Applying d-q transform to the ac circuit and combining the dc circuit equation,
the ASVC model is obtained as:
32 Robust Control Techniques of ASVC-Based Var Flow Compensation 491
Source
S1 S3 S5
Is
Rs Ls Ica
Vs Cs
S4 S6 S2
IL
6 Gating
Signals
Load
PWM Control
Fig. 32.1 Circuit diagram of the ASVC
Fig. 32.2 Three-phase Vsa Rs Ls Ica Voa 1

equivalent circuit of the
ASVC. aThree-phase Idc
0
source voltage, bcoupling Vsb Rs Ls Icb Vob 1
transformer, cPWM
voltage source inverter, d Cs Vdc
0
DC-side capacitor
Vsc Rs Ls Icc Voc
1
0
a b c d
2 3
Rs
6 Ls 0 7
2 3 6 7 2 3 2 3
i 6 7 iq sin
d4 q 5 6 Rs m7 V
6 7 4 id 5 4 cos 5
s
id 6 32:1
dt 6 Ls Ls 7
7 Ls
Vdc 6 7 Vdc 0
4 0 m
0 5
Cs
The modulation index (MI) relates the maximum phase voltage to the dc link
voltage.
r
2 V0 peak
MI m 32:2
3 Vdc
The state equation is non-linear with respect to the control variable which is
related to the phase difference between the source voltage and inverter output
voltage. In the range of small values of (|| < 5 ), the small signal equivalent state
equations are expressed as:
2 3
Rs
6 Ls 0 7
2 3 6 7 2 3 2 3
iq 6 7 iq 1
d4 6 Rs m7 V
id 5 6
6
7 4 id 5 s 4 0 5 32:3
dt 6 Ls Ls 7
7 Vdc Ls
Vdc 6 7 0
4 0 m
0 5
Cs
The system input is the control variable deviation and the output is the
generated reactive power given by:
Qc Vs 0 0 32:4
Hence the system transfer function is given by:

h2 2
i
Qc s V2s Ls s RLss s Lm2 C
s
s 32:5
s s 2s
3 2 Rs
2
2 Rs 2 m2
s m2 Rs
Ls Ls Ls C s L s 2 Cs
32.3 Control Scheme of the ASVC
32.3.1 Internal Model Controller
The overall closed loop control system is pictured in Fig. 32.3 and the basic
architecture of a classical IMC is illustrated by Fig. 32.4 [3]. A system model is
placed in parallel with the actual system. The difference is used to adjust the
command signal. An attractive feature of IMC is that it produces an offset-free
response even when the system is subjected to a constant disturbance.
With reference to Fig. 32.4, the control and output signal are expressed as:

z f1 C0 zGz Gm zg1 C z Q z Dz

Qc z G z f1 C0 zGz Gm zg1 C z Q z Dz D z
If a perfect model is assumed (G(z) Gm(z)) then the closed loop system is
stable if the controller C(z) and the system are stable. However under mismatch
conditions (G(z) 6 Gm(z)), a low pass filter is introduced in the feedback loop to
improve the controller robustness with respect to modeling errors.
The design filter has the following transfer function
1 z
F z 0<<1 32:6
z
Fig. 32.3 ASVC closed Vs

loop control system
P
L
L
Vo
+ t
PWM
Inverter
+
Cs
Vdc
IMC
Q* + Qc
D +
Q* + Qc
C0 (z) G(z)
+
Gm (z)
+
Fig. 32.4 Basic IMC structure
In what follows has been fixed to 0.002.

Since the controller is the inverse of the system model (i.e. C0(z) Gm(z)1)
then Qc(z) Q*(z) and consequently the inverse system model should be stable.
Furthermore if C0(1) Gm(1)1 the controller produces an offset-free response.
With Ts 0.005 s, the discrete-time transfer function of the system is obtained as:
2202 0:3441z2 0:3819z 0:2207

G z 32:7
z3 0:269z2 0:187z 0:1353
By taking Gm(z) G(z) then the poles and zeroes of Gm(z) are
p1,2 0.407 j0.2943, p3 0.5404, and z1,2 0.5549 j0.5775.
Then, the controller transfer function is given by:

1 z3 0:269z2 0:187z 0:1353
C0 z 32:8
2202 0:9467z3
Fig. 32.5 ASVC closed Vs

loop control system
P
L
L
Vo
+ t
PWM
Inverter
+
Cs
Vdc

K iabc / idq
+
k1/ S
Qc
Q* +
Fig. 32.6 Basic state

r + +
feedback control structure k1/s Process
y
32.3.2 State Feedback Controller
The overall closed loop control system with SFC control technique is shown in
Fig. 32.5 and the cascade control system of the state-feedback configuration is
given in Fig. 32.6 [3]. The controlled variable y is compared with the set-point
value r and the control error is fed back to an integrator. The former feedforward
gain k1 is now the gain of the integrator. This configuration shows that the gain K in
the internal closed-loop is a feedback parameter.
The basic principle of the designed system is to insert an integrator in the feed
forward path between the error comparator and the process as shown in Fig. 32.7.
From this diagram we obtain:
x_ A x B u 32:9
yCx 32:10
u K x k1 32:11
_ r y r Cx 32:12
.
r + + u +
1/S k1 B 1/S C
_ _
y
A
Fig. 32.7 Type 1 servo system where the plant has an integrator
We assume that the plant given by Eq. 32.9 is completely state controllable. The
transfer function of the plant can be given by:
GPs C sI A 1B 32:13
The system dynamics can be described by an equation that is combination of

Eqs. 32.9 and 32.12.

x_ t A 0 x t B 0
u t rt 32:14
_ t C 0 t 0 1

x t
y C 0 32:15
t
Where

x t
u K k1 32:16
t
We shall design an asymptotically stable system such that x(1), (1), and u(1)
_
approach constant values, respectively. Then, at steady state (1) 0, and we get y
(1) r.
Where

^ A 0 ^ B
A B 32:17
C 0 0
32.4 State Space Method Control Applied

to the ASVC System
The state space representation of the system becomes:
x_ A x B u 32:18
Qc C x 32:19
Where
2 3
Rs
6 Ls 0 7
6 7 2 3
6 7 1
6 Rs m7 Vs 4
A6
6
7 B 0 5 C Vs 0 0
6 Ls Ls 7
7 Ls
6 7 0
4 0 m
0 5
Cs
Hence
2 3 2 3
200 314 0 44000
A 4 314 200 129:3 5 B 4 0 5 C 220 0 0
0 1293:3 0 0
The poles selected for a good dynamic response of the closed loop system are
determined by the Ackermann algorithm where:
p1 500; p2 600; p3 700; p4 750.
Hence
2 3 2 3
200 314 0 0 44000
^ 6 314 200 129:3 07 ^ 6 0 7
A6
4 0
7 ; B6 7
1293:3 0 05 4 0 5
220 0 0 0 0
We shall determine the necessary state feedback gain matrix K using the pole
placement technique, where:
^ K
K k1 0:0489 0:0537 0:0241 0:0973
Simulations were performed under Matlab/Simulink environment with the follow-

ing ASVC parameters:
Rs 1 Ls 5:10 3 H Cs 500:106 F Vs 220 V

m 0:646 100 rad=s
104
1 with SFC control

with IMC control
with PI control
Reactive power [Var]
0.5
0.5
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4

time [sec]
Fig. 32.8 Reactive power response under step change from inductive to capacitive with the
non-linear model
The PI parameters are obtained using root locus design for a damping factor of
0.7 where the following controller gains are obtained:
Kp 7.5 10 6 Ki 2.5 10 3.
The IMC and SFC controllers were evaluated under more realistic simulation
condition when the ASVC devices were controlled by PWM control circuit.
Figure 32.8 shows the transient response in the case of IMC and SFC controllers
based on the non-linear model of the ASVC. The Var command was varied from
10 Kvar (inductive) to 10 Kvar (capacitive) to swing the system from leading to
lagging mode at time 0.2 s.
The results obtained show that by the IMC and the SFC controller lead to a faster
transient response with a shorter settling time and with no overshoot. It can be
observed also that the SFC control produces a better performance than IMC and PI
control which demonstrates its robustness under model mismatch situations.
Figures 32.9 and 32.10 show the reactive power responses under IMC and SFC
controllers compared to a PI controller and Figs. 32.11 and 32.12 show the current
waveforms behavior. It is observed from Fig. 32.11 how the current injected into
the transmission line swings instantaneously in response to a capacitive Var
demand.
Figures 32.13 and 32.14 show the transient response of the dc-side voltage Vdc,
and Id, Iq ac current components respectively with IMC and SFC controllers. We
notice that the response is faster and smooth in tw case of SFC control.
104
1.5
with IMC control
with PI control
1
0.5
0.5
1.5
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
time [sec]
Fig. 32.9 Reactive power transient response under a step change from 10 Kvar leading to 10 Kvar
lagging
104
1.5
with SFC control
with PI control
1
0.5
0.5
1.5
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
time [sec]
Fig. 32.10 Reactive power transient response under a step change from 10 Kvar leading to
10 Kvar lagging
50 with IMC control

40 with PI control
30
20
Current Isa [A]
10
0
10
20
30
40
50
0.18 0.19 0.2 0.21 0.22 0.23 0.24 0.25 0.26 0.27
time [sec]
Fig. 32.11 Phase current response with IMC control
50 with SFC control

40 with PI control
30
20
Current Isa [A]
10
0
10
20
30
40
50
0.18 0.19 0.2 0.21 0.22 0.23 0.24 0.25 0.26 0.27
time [sec]
Fig. 32.12 Phase current response with SFC control
32.6 Conclusion
Internal Model Control and State Feedback Control techniques applied to an

advanced static var compensator were presented in this work. Performance and
robustness of IMC and SFC have been evaluated and compared to a conventional PI
controller.
DC-side voltage Vdc [V] & d-q components of

700
Vdc
600 Iq
Id
500
ASVC current Id Iq [A]
400
300
200
100
100
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
time [sec]
Fig. 32.13 DC-side voltage Vdc, and Id Iq ac current components with IMC control
DC-side voltage Vdc [V] & d-q components of
700
Vdc
600 Iq
Id
500
ASVC current Id Iq [A]
400
300
200
100
100
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
time [sec]
Fig. 32.14 DC-side voltage Vdc, and Id Iq ac current components with SFC control
Simulation results demonstrate that the proposed strategy is feasible, it can be

concluded that SFC and IMC control lead to improved transient response and hence
provide fast reactive power compensation to the ac transmission network. Also the
SFC controller is better than the IMC controller and can be easily tuned and very
suitable for real time experimental implementation.
Nomenclature
Acronyms
ASVC Advanced static Var compensator
IMC Internal model controller
MI Modulation index
SFC State feedback controller

Supply frequency
A n n constant matrix
B n l constant matrix
C l n constant matrix
Co(z) Controller transfer function
Cs Source capacitor
F(z) Filter transfer function
G(z) Discrete-time transfer function
Ica Icb, Icc ASVC currents
Is IL Source and load currents
K Gain matrix K
Kp Ki PI parameters
Ls Source inductance
r Reference input signal (step function scalar)
Rs Source resistor
s Laplace operator
u Control signal (scalar)
Vdc Idc dc-side voltage and current
Vsa Vsb, Vsc Source voltages
x State vector of the plant (n-vector)
y Output signal (scalar)
Greek Symbols
Control variable
Control variable deviation
State variable
References
1. Abbasian M (2009) Robust control of STATCOM based on sliding mode technique. Interna-
tional Conference on renewable energies and power
2. Benyamina M, Mazari B, Tahri A (2007) A comparative study of robust control for an ASVC-
based Var flow compensation. Int Rev Electric Eng 2(5):681686
3. Bouhamida M (2005) Power system stabilizer design based on robust control techniques. ACSE
Journal of Automatic Control and System Engineering. 5(3)
4. Grunbaum R (1999) FACTS: les syste`mes performants pour le transport flexible de lenergie
electrique. Revue ABB review 4:417
5. Morari M, Zafiriou E (1989) Robust process control. Prentice Hall, Englewood Cliffs, NJ
6. Qader MR (2006) Optimal location of advanced static VAR compensator (ASVC) applied to
non-linear load model. Energy 31:17611768
7. Trabelsi M (2008) Modelisation et commande directe dun convertisseur multi-niveau
monophase. Congres jeunes chercheurs en genie electrique, France 08
8. Sato Y, Kataoka T (1993) State feedback control of current-type PWM AC-to-DC converters.
IEEE Trans. on Industry Application 29(6):10901097
Chapter 33
Thermogravimetric Studies
on Co-combustion Characteristics
of Mengxi Coal and Poplar
Kaiqi Shi, Tao Wu, Jiefeng Yan, Haitao Zhao, Philip Hall,
and Edward Lester
Abstract In this paper, co-combustion characteristics of Mengxi coal (MC) and

poplar (PP) blends and the effects of biomass ash on co-combustion process were
investigated. A model poplar (mPP) was prepared with pure cellulose, hemicel-
lulose and lignin basing on the lignocellulosic contents of PP. Thermogravimetric
analyses were performed on MC, PP, mPP, MC/PP blends with 10, 30, 50 % (wt%)
of poplar, MC/mPP blends with 10, 30, 50 % (wt%) mPP samples. The devolati-
lization temperature, ignition temperature, peak temperature and burnout temper-
ature were used to evaluate the co-combustion behaviour of different samples.
Activation energy and pre-exponential facts for different processes were deter-
mined. It is evident that the combination between components in PP and ash of PP
has marked impacts on devolatilization process of coal/biomass blends. It is also
clear that poplar ash has a catalytic effect on the co-combustion process which
makes the ignition of blends with higher biomass blending level takes place easily
at lower temperatures. The ash matter in poplar lowers the decomposing rate of
cellulose in biomass and the highest decomposing rate is observed at a lower
temperature. Furthermore, poplar ash also affects weight loss rates of blends during
combustion process. Impacts on burnout temperature of the blends are not signif-
icantly affected by blending poplar at low level. From data of active energy and
pre-exponential factor, the ash in biomass reduces the reactivity of the blends at
lower temperatures between 200 and 400 C, but makes major co-combustion
process at temperature 400600 C easily take place at lower biomass ratio.
K. Shi T. Wu (*) J. Yan H. Zhao P. Hall

Division of Engineering, The University of Nottingham Ningbo China, No.199 Taikang East
Road, Ningbo 315100, China
e-mail: [email protected]; [email protected]; jiefeng.yan@nottingham.
edu.cn; [email protected]; [email protected]
E. Lester
School of Chemical and Environmental Engineering, The University of Nottingham,
Nottingham NG7 2RD, UK

504 K. Shi et al.
Keywords Thermogravimetric analysis Co-combustion Coal Biomass

Kinetics
33.1 Introduction
Biomass is one of the renewable energy sources, which has a great potential in
meeting the worlds increasing energy demand. Fossil fuels, such as coal and crude
oil, are non-renewable and their reserves are limited. It is therefore vital to find
some alternative energy sources to replace a proportion of coal and subsequently
reduce the fossil fuel usage in energy sector [1]. The co-firing of biomass with coal
in conventional coal-fired utility boilers is an attractive option for biomass utiliza-
tion in the power generation [2], which has been proved to be one of the most
economic technologies for the significant reduction of greenhouse gases emissions
[3]. Currently, more than 150 coal-fired power plants had experience with co-firing
of coal with biomass or waste [2]. There has been a considerably rapid progress
over the past decade in the development of technologies for the co-utilization of
biomass and coal.
Although coal was formed from biomass hundreds of millions years ago, the
combustion characteristics of coal are significantly different from those of biomass.
The understanding of how biomass addition affects the overall combustion charac-
teristics of the blends is of particular importance for utility boiler operators due to
its potential impacts on the safe operation of the boilers. Significant synergistic
effects were observed between biomass and lignite blends [1, 4]. Effects were also
made to understand the reactivity of the blends by the determination of
pre-exponential factor and activation energy of the reaction assuming that the
combustion process is a single step process [57]. In addition, it is found that the
ash in the blends does not have any significant impacts on deposition and corrosion
problems in boilers compared with coal combustion only [8].
Although a number of studies on co-combustion with TGA have been reported
[1, 3, 5, 7, 912], very few attempts were made to understand the impact of ash on
co-combustion process [8, 13]. Little information is available on the effects of
biomass ash on the co-combustion of coal/biomass blends and its kinetics. In this
study, model biomass samples were prepared basing on the lignocellulosic contents
of real biomass with pure cellulose, hemicellulose and lignin [14], which are
ash-free. TGA was employed to compare the co-combustion characteristics of
poplar/coal blends and model poplar/coal blends. Combustion kinetics of blends
were studied to understand how the co-combustion processes are affected by
biomass blending. The synergistic effect during the course of co-combustion was
also studied via the comparison of major combustion characteristics among coal,
biomass and their blends together with the model biomass/coal blends.
33 Thermogravimetric Studies on Co-combustion Characteristics of Mengxi Coal. . . 505
33.2 Experimental
A Chinese coal, Mengxi coal (MC), and biomass, poplar (PP), were used for this
study. MC and PP samples were prepared following the standard [15]. Approximate
1 kg of each sample was ground to a particle size <212 m for future use.
The moisture, volatile, fixed carbon and ash contents were determined using
TGA (EXSTAR TG/DTA 6300, Japan) following the procedures adopted else-
where [16]. Approximately 5 mg of air-dried sample was used in each test which
was manually ground prior to testing to eliminating possible diffusion effects. The
heating program started at 30105 C at 10 C/min under 200 mL/min N2 purging.
After holding for 20 min at 105 C, the temperature was then further increased to
900 C at 20 C/min with 200 mL/min N2, holding for 120 min. Further, the
temperature was cooled to 850 C and the gas was switched to air at 200 mL/
min, holding for 60 min. The proximate contents were calculated with weigh loss
percentage.
The carbon (C), hydrogen (H), nitrogen (N) and sulphur (S) contents in coal and
biomass samples were determined using the CHNS/O Element Analyzer
(PE2400II, USA). Approximately 2.0 mg of dried fine powder sample was used
for each test. The oxygen (O) content was calculated by difference on ash and
moisture free base.
The cellulose, hemicellulose and lignin contents of biomass were determined via
acid detergent fiber (ADF), neutral detergent fiber (NDF) and acid detergent lignin
(ADL) methods analyses respectively [17]. Around 1.00 g dried biomass sample
was transferred into a round bottomed flask with condensing device and then added
with 100 mL preheated neutral detergent solution (30 g sodium lauryl sulphate,
18.61 g EDTA disodium salt, 6.81 g sodium borate decahydrate, 4.56 g disodium
hydrogen phosphate, and 10 mL 2-ethoxy ethanol dissolved in 1-L distilled water).
The mixture was heated at its boiling temperature for 1 h. The solution was cooled
and then filtered. The residue was washed three times with hot distilled water, and
then three times with acetone and vacuum dried afterwards. Further drying was
carried out at 105 C over for 3 h. The initial and final weight difference was
recorded as NDF. The ADF analysis is similar to that of NDF except for the
different detergent solution called acid detergent solution (20 g cetyl trimethy-
lammonium bromide was dissolved in 700 mL distilled water. 27.56 mL of 96.7 %
acid sulphuric was then added to the solution and the topped up to 1 L with distilled
water). The ADL analysis was started by covering the residues from ADF analysis
with 72 % H2SO4 (15 C) solution and stirred three times at an hourly intervals. The
mixture was then filtered, washed with hot water and then dried in 105 C oven for
3 h and then cooled. The residue was ignited in 500 C furnace for 2 h. The still hot
crucibles were transferred into oven a 100 C for an hour before cooled in
desiccators and then weighed. The initial and final weight difference of this analysis
was recorded as ADL. The percentages of cellulose, hemicelluloses and lignin of
the biomass were then calculated using the relationships shown as the Eqs. (33.1,
33.2, and 33.3):
506 K. Shi et al.
Cellulose % ADF ADL 33:1

Hemi-cellulose % NDF ADF 33:2
Lignin % ADL 33:3
Basing on lignocellulosic contents, model poplar (mPP) was prepared by mixing

pure cellulose (microgranular, Sigma, CAS9004-34-6), xylan (Poly(-D-
xylopyranose(1-4)), Sigma, CAS9014-63-5) and lignin (alkali lignin, Sigma, CAS
8068-05-1) together to represent the biomass sample without ash. Poplar and model
poplar were then mixed with Mengxi coal at 10, 30, 50 wt% of biomass respectively
to produce blends for testing.
Combustion characteristics of MC, PP, mPP, cellulose, xylan, lignin, MC/PP
and MC/mPP blends were measured using EXSTAR TG/DTA 6300. The obtained
thermogravimetric (TG) and derivative thermogravimetric (DTG) data were used to
determine combustion characteristics.
Approximately 5.0 mg of sample was used for the testing. The sample is firstly
heated from 35 to 900 C at a heating rate of 20 C/min and is held at 900 C for
30 min. Then the sample is cooled down from 900 to 850 C with a cooling rate of
20 C/min and held for 30 min. The whole process is carried out in air with an air
flowrate of 200 mL/min.
The TG and DTG profiles were then analyzed to show the characteristics of
combustion, such as devolatilization temperature [12], ignition temperature [11],
peak temperature and, burnout temperature [18].
Activation energy (E) and pre-exponential factors (A) are studied to evaluate the
difficulty and intensity of thermal chemistry reactions for the different fuels, under
the same combustion conditions. The devolatilization and combustion kinetics and
weight loss rate can be expressed as Eqs. (33.4) and (33.5):
k AeE=RT 33:4
dm
ka 33:5
dT
where k is the decomposition rate, A is the pre-exponential factor, E is the

activation energy, R is the universal gas constant, T is absolute temperature, and
a is the remaining quota of residuals.
The proximate and ultimate analyses of MC and PP are shown in Table 33.1
together with lignocellulosic analysis data. The fixed carbon content of MC
(45.5 %) is considerably higher than that of PP. The volatile content is 77.4 % for
PP, much higher than that of MC, which is around 34.2 %. Both MC and PP have
similar moisture content and ash content. In ultimate analysis, carbon content of
Table 33.1 Properties of Properties MC PP

Mengxi coal and poplar
Moisture content (wt%) 4.2 4.3
Proximate analysis (wt%)a
Volatile matter 34.2 77.4
Fixed carbon 45.5 1.4
Ash 20.3 21.2
Ultimate analysis (wt%)a, b
C 87.5 45.3
H 6.5 5.3
Oc 3.5 46.4
N 1.0 1.4
S 1.5 1.6
Lignocellulosic content (wt%)a
Cellulose 33.1
Hemicellulose 12.3
Lignin 10.8
a
Dry basis
b
Ash free basis
c
By difference
MC is 87.5 %, which is nearly twice as that of PP. PP has higher O content than
MC. The total lignocellulosic content of PP was only 56.2 % because PP has higher
ash content (21.2 %) and other organic constituents such as tannin, ester and so on
[19, 20].
Figure 33.1 shows the TG and DTG curves of PP and pure lignocellulosic
constituents, i.e. cellulose, xylan and lignin. The weight loss rates of cellulose,
xylan and lignin reach the highest value of 72.0, 10.7 and 28.5 %/min at 350, 278
and 504 C respectively. Compared with the decomposition of pure lignocellulosic
constituents, the three major peaks of DTG curve of PP are at 320, 349, and 488 C.
These are attributed to the decomposition of hemicellulose, cellulose and lignin
respectively as shown in Table 33.2.
Ignition temperature, peak temperature and burnout temperature of PP, cellu-
lose, xylan and lignin are shown in Table 33.2. Comparing the ignition tempera-
tures of PP and pure lignocelluloses constituents, it is obvious that the xylan start to
burn at a lower temperature of 247 C. The ignition temperatures of cellulose and
lignin are 341 and 458 C respectively which are higher than that of xylan. The
ignition temperature of PP is higher than that of pure xylan mainly because
breaking the linkage between hemicellulose and cellulose needs more energy
input. The burnout temperature of PP is 515 C, which is higher than that of pure
cellulose and xylan, but lower than that of pure lignin. During the combustion
process, hemicelluloses and cellulose in PP burn first, and heat therefore generated
would accelerate the burning of lignin in PP, which leads to a lower burnout
temperature of PP compared with that of pure lignin. Therefore, the characteristic
combustion parameters of PP are different to the pure lignocelluloses to a certain
508 K. Shi et al.
Fig. 33.1 Decomposition

TG curve (a) and DTG
curve (b) of PP and
lignocelluloses
Table 33.2 Characteristics of TG and DTG profiles

Ignition temperature Peak temperature ( C) Burnout temperature
( C) Hemicellulose Cellulose Lignin ( C)
PP 297 320 349 488 515
Xylan 247 278 384
Cellulose 341 350 402
Lignin 458 504 533
Fig. 33.2 Effect of

blending on volatile release
temperature
extent. The speculated reason for such deviation is that minerals in PP might have
some catalytic effects.
Devolatilization usually takes place before ignition. As shown in Fig. 33.2,
devolatilization of PP and mPP starts at 188 and 139 C respectively. Both of
them have much lower devolatilization temperature than MC because of higher
volatile content of biomass and more easily decomposed constituents like cellulose
and hemicelluloses in biomass [3]. With biomass blending ratio increasing, the
devolatilization temperature decreases and levels off when the biomass content is
greater than 50 %. Blends of PP and mPP almost have the same devolatilization
temperature when biomass contents are smaller than 30 %. Once the biomass
content in blends is greater than 30 %, the blends with model biomass have much
lower devolatilization temperature compared with the blends with actual PP. The
main difference between actual PP and model PP is their mineral contents. It is very
likely that some minerals in actual PP have some catalytic effects on the devolati-
lization process. This catalytic effect becomes more obvious when more than 50 %
of actual PP is added in the blends, which raises the mineral content to a critical
level.
Table 33.3 shows the TG and DTG curves of MC/PP and MC/mPP blends. From
Table 33.3, it is clear that there are four stages of weight loss observed from TG and
DTG profiles. The first stage corresponds to the moisture removal. The
decomposing and combustion of cellulose and hemicellulose in blends is observed
in the second stage. In the third stage, char and lignin combustion occurs, whilst at a
temperature around 700 C, the non-lignocellulose compound starts to burn, which
is the fourth stage of the whole combustion process. However, there are three stages
during co-combustion of MC, mPP and MC/mPP blends, which are as the same as
the first three stages of the co-combustion of MC, PP and MC/PP blends. Compar-
ing DTG curves of MC/PP blends with that of MC/mPP blends, it is evident that
decomposing rate of MC/PP blends during co-firing process is lower than that of
MC/mPP blend. This is likely due to the ash in actual biomass.
The findings reveal that devolatilization of actual PP takes place at a temperature
(188 C) higher than that of mPP, but lower than that of MC. However, both the
510
Table 33.3 TG and DTG curves of the co-combustion of MC/PP blends and MC/mPP blends
TG/DTG TG/DTG
MC 20 MC
100 100
30
80 15 80
60 20
60 10
40
40 10
5 20
Weight loss (%)

dm/dT (%/min)
dm/dT (%/min)
Weight loss (%)

20
0 0
0
0 0 200 400 600 800
0 200 400 600 800 Temperature (degree C)
Temperature (degree C)
MC/PP blends PP 10 % 20 MC/mPP blends mPP 10 %

100 100 30
80 15 80
20
60 10 60
40 40 10
5
dm/dT (%/min)
dm/dT (%/min)
20
Weight loss (%)
20
Weight loss (%)

0 0
0 0
0 200 400 600 800
0 200 400 600 800
Temperature (degree C) Temperature (degree C)
PP 30 % 20 mPP 30 %
100 100 30
80 15 80
60 20
60 10
40
40 10
5 20
Weight loss (%)
dm/dT (%/min)
20
dm/dT (%/min)
Weight loss (%)

0
0 0
0 0 200 400 600 800
0 200 400 600 800
PP 50 % 20 mPP 50 %
100 100
30
80 15 80
60 20
60 10
40 40
5 10
dm/dT (%/min)
20
Weight loss (%)
20
Weight loss (%)

dm/dT (%/min)
0 0 0 0
0 200 400 600 800 0 200 400 600 800
K. Shi et al.
33
20
PP 100 mPP 100
30
80 15 80
60 20
60 10
40 40
10
5
dm/dT (%/min)
20
Weight loss (%)

dm/dT (%/min)
20
Weight loss (%)

0 0
0 0
0 200 400 600 800
0 200 400 600 800
Thermogravimetric Studies on Co-combustion Characteristics of Mengxi Coal. . .
511
512 K. Shi et al.
Fig. 33.3 TG curve (a) and DTG curve (b) of MC, PP, and mPP
Table 33.4 Characteristics of TG and DTG profiles
Volatile release Ignition Peak temperature ( C) Burnout

temperature ( C) temperature ( C) Peak 1 Peak 2 Peak 3 temperature ( C)
MC 268 403 487 566
PP 188 297 349 488 718 515
mPP 139 333 364 484 508
ignition temperature and peak temperature of PP are lower than those of mPP and
MC (as shown in Fig. 33.3a and Table 33.4). The MC starts burning at a temper-
ature around 403 C, which is higher than that of the actual biomass, which
indicates that the combustion of coal and biomass does not take place simulta-
neously. From Fig. 33.3b, it is clear that the weight loss rate of MC reaches a peak
of 12.2 wt%/min at a higher temperature of 487 C. The highest weight loss rate of
PP (18.8 %/min) occurs at 350 C. At 488 C, lignin of PP reaches its highest
decomposition rate, which is very similar as that of the MC.
Compared the combustion of model biomass with actual biomass, it can be seen
that ash in actual biomass has some catalytic effects on its combustion. It is shown
in Fig. 33.3b and Table 33.4 that the peak temperature of mPP is 364 C due to the
decomposition of cellulose, which is higher than that of PP with a peak temperature
around 350 C. The other peak temperature for both mPP and PP is around 480 C.
The exact peak of hemicellulose in mPP or PP is not distinguishable because the
decomposition of hemicellulose and cellulose occurs simultaneously. The highest
weight loss rate of mPP (39.4 %/min) is higher than the rate of actual PP (18.8 %/
min). Therefore, it is speculated that the ash matter in PP lowers the decomposition
rate of cellulose. Furthermore, ash matter in actual PP also decreases the ignition
temperature, peak temperature and burnout temperature of actual PP.
The ignition temperatures of MC/PP blends and MC/mPP show different trends
with the increase in the biomass contents as shown in Fig. 33.4. When blending
ratio is smaller than 30 %, the ignition temperatures of MC and actual PP blends
change slightly around 400 C, whilst the ignition temperatures of MC and model
PP decrease from 400 to 330 C. When the blending ratio is greater than 30 %, there
Fig. 33.4 Effect of

blending on ignition
temperature
Table 33.5 Peak temperatures of the combustion of MC/PP blends and MC/mPP blends
MC blends
PP mPP
10 % 30 % 50 % 10 % 30 % 50 %

Peak temperature ( C) 354 354 353 356 362 365
(cellulose + hemicellulose)
Weight loss rate (%/min) 3.9 7.7 11.8 4.1 12.2 19.1
(cellulose + hemicellulose)
Peak temperature ( C) 481 492 492 475 470 489
(lignin + MC)
Weight loss rate (%/min) 14.7 12.5 11.2 11.0 12.3 11.5
(lignin + MC)
Peak temperature ( C) 706 718 716
(non-lignocellulosic compound)
Weight loss rate (%/min) 0.7 1.5 2.5
(non-lignocellulosic compound)
is a significant decrease in ignition temperature of blends with actual PP. However,

the ignition temperatures of blends of MC with model PP level off at around 330 C.
It is obvious that more actual PP blended with coal helps to initiate the ignition of
the blends. Furthermore, with higher blend ratio than 30 %, blends with PP have
lower ignition temperatures than blends with model biomass. Since ash in actual PP
may have a catalytic effect on the combustion process which makes the ignition of
blends with higher biomass blending level take place easily at lower temperatures.
The peak temperatures of different blends are listed in Table 33.5. The peaks of
DTG curves are found around 360, 480, and 710 C, which correspond to the
decomposition of cellulose & hemicellulose, lignin & MC and non-lignocellulosic
compound respectively. With the increasing actual PP or model PP contents of the
blends, the weight loss rate of cellulose and hemicellulose increases from 3.9 % to
11.8 %/min for MC/PP blends and from 4.1 % to 19.1 %/min for MC/mPP blends
separately. The weight loss rate of cellulose and hemicellulose in MC/mPP blends
is higher than the rate of MC/PP blends in similar biomass blending level. However,
514 K. Shi et al.
Fig. 33.5 Effect of

blending on burnout
temperature
Table 33.6 Kinetic parameters of TGA analysis

MC blends Region 1 Region 2 Region 3
PP or mPP MC E A E A E A
ratio ratio (kJ/mol) (min1) (kJ/mol) (min1) (kJ/mol) (min1)
0 100 % 74.04 2.6836E6
PP 10 % 90 % 126.26 4.6744E12 72.27 2.5201E6 320.60 1.1439E18
PP 30 % 70 % 110.70 1.9067E11 80.53 9.2048E6 277.84 5.9234E15
PP 50 % 50 % 96.77 1.2409E10 80.686 9.3221E6 294.09 5.9138E16
PP 100 % 0 81.44 4.5992E8 74.61 3.8248E6 279.87 2.2589E16
mPP 10 % 90 % 93.22 4.5409E9 77.25 4.9093E6
mPP 30 % 70 % 92.94 3.9621E9 81.53 8.9519E6
mPP 50 % 50 % 87.54 1.1774E9 89.89 3.2486E7
mPP 100 % 0 77.50 2.0532E8 153.60 2.4600E12
the weight loss rate of lignin & MC in MC/PP blends decreases when the content of
actual PP in MC/PP blends varies from 10 to 50 %. The weight loss rate of lignin &
MC in MC and model PP blends firstly increases from 11.2 to 12.3 % and then
decreases to 11.5 % as the content of mPP in MC/mPP blends increases from 10 to
50 %. There is no obvious difference in terms of peak temperatures regardless of the
type and percentage of the biomass in the blends.
As shown in Fig. 33.5, the burnout temperature of the blends at low blending
level is almost the same as that of the coal. However, the burnout temperature of
MC/PP blends decreases from 570 to 515 C when PP ratio increases from 50 to
100 %. When mPP ratio in the blends is greater than 50 %, the burnout temperature
of the blend decreases rapidly from 570 to 500 C. Therefore, it seems that at low
blending level, the burnout temperature is not affected by the type of biomass being
blended in the mixture, which is different from the work of Biagini et al. [21].
The values of E and A of the combustion of coal and biomass blends are
calculated following the methods described elsewhere [5, 6]. The results are listed
in Table 33.6.
The combustion of MC takes place between 230 and 630 C so that there is only
one region for MC. For PP, mPP and MC/mPP blends, there are two main regions
due to the decomposition of cellulose and the simultaneous burning of lignin and
coal, which are between 410560 C and 560750 C for PP, 190390 C and 390
500 C for mPP, 205390 C and 370600 C for MC/mPP blends, respectively.
MC/PP blends has three stages during co-combustion, which are approximate190
380 C (Region 1), 370625 C (Region 2) and 600775 C (Region 3) dependent
on the ratio of biomass in blends.
At lower temperatures, the values of E and A in region 1 decrease with the
increasing percentage of PP or mPP in the blends. It is generally the case that blends
with higher biomass ratio are more easily to realise volatiles and start to burn. In
region 1, E and A of the blends with actual PP are higher than those of the blends
with mPP at same blending level, which indicates that the ash in PP reduces the
reactivity of the blends at lower temperature range due to ash inhibition effect
[22]. However in main combustion region 2, blends with PP have lower E than
blends with mPP at same blending level. Co-combustion of blends with actual PP
takes place more easily than blends with mPP. Therefore, ash in PP lowers the E of
combustion of MC/PP blends. The blends with PP has region 3 at higher temper-
ature due to the stable non-lignocellulose compound in PP. These improvements in
this section highlight the influence of PP ash on co-combustion with MC, which
gives a favourable guide to practical application.
33.4 Conclusions
During the combustion of PP process, the weight loss rates of hemicellulose,

cellulose and lignin components reach the highest value, at the temperature of
320, 349, and 488 C, respectively.
Minerals in actual PP have some catalytic effects on the devolatilization process.
Ash in actual biomass raises decomposing rate of MC/PP blends during co-firing
process compared with that of MC/mPP blends.
Ash matter in actual PP also decreases the ignition temperature and peak
temperature of actual PP.
Ash in actual PP may have a catalytic effect on the combustion process which
makes the ignition of blends with higher biomass blending level take place easily
at lower temperatures.
There is no obvious difference in terms of peak temperatures regardless of the
type and percentage of the biomass in the blends.
Burnout temperature is not affected by the PP blending at low blending level
which is very much helpful to co-firing application.
In main combustion during 370625 C, blends with PP have lower E than
blends with mPP at same blending level. Co-combustion of blends with actual
PP takes place more easily than blends with mPP since catalytic effect of ash in
PP lowers the E of combustion of MC/PP blends.
516 K. Shi et al.
Acknowledgment Ministry of Science and Technology of China (Grant No. 2008DFA61600),

Bureau of Science and Technology of Ningbo City (Grant No. 2008B10048) and Ningbo Munic-
ipal Innovation Team on WEEE Recycling Technologies (Grant No. 2012B82011) are acknowl-
edged for the financial support to this study. The University of Nottingham Ningbo China is also
appreciated for providing Scholarship to Ph.D. students involved in this work.
Nomenclature
A Pre-exponential factor (min1)

A Remaining quota of residuals (%)
E Activation energy (kJ/mol)
K Decomposition rate (%/min)
R Universal gas constant (8.314 kJ/K/mol)
T Absolute temperature (K)
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Chapter 34
High-Performance Recycling System
for Waste Plastics Using Raman
Identification
Hirofumi Kawazumi, Akihiro Tsuchida, Tomoya Yoshida,

and Yasuo Tsuchida
Abstract Raman spectroscopy has potential for application to waste plastic

recycling when large-scale, accurate sorting processes are required. We developed
a high-speed Raman identifier with a 3-ms measuring time. This identifier was
successfully integrated with an on-line sorting system in a shredded plastic
recycling plant. A practical-scale (200600 kg/h) demonstration facility was
constructed with 50 Raman apparatuses on a 30-cm-wide conveyor (speed:
100 m/min). This facility included preprocessing using specific gravity classifica-
tion and putty removal. The Raman identification system was used to control air jets
to sort polypropylene, polystyrene and acrylonitrile-butadiene-styrene copolymer
with high accuracy from shredded plastics from post-consumer electrical appli-
ances. Raman plastic identification can also provide solutions to problems at
recycling sites such as the detection of brominated flame-retardants and the iden-
tification of black plastics.
Keywords Waste plastic sorting Raman spectroscopy Closed loop recycling
34.1 Introduction
Globally, plastic recycling is an important issue because the basic resource for most
plastics is petroleum. Recycling can save oil resources and reduce emissions of
carbon dioxide. There are several approaches to plastic recycling, e.g., thermal,
chemical and mechanical. Among these, mechanical recycling is the most effective
in reducing the environmental burden [1]. Mechanical recycling is categorized into
two processes: open- and closed-loop recycling. Open-loop recycling is currently
H. Kawazumi (*)
School of Industrial Technology, Kinki University, Iizuka, Fukuoka 820-8555, Japan
A. Tsuchida T. Yoshida Y. Tsuchida
Saimu Corporation, Keisen, Fukuoka 820-0609, Japan

520 H. Kawazumi et al.
Electronic products
Post-consumer
electronics
Closed loop
Re-pellet recycling
plastic waste
Sorted plastics
Open recycling
downgrade plastic
products
Fig. 34.1 Mechanical recycling of plastics in home electric appliances
the most commonly applied and produces low-grade plastic commodities from
low-purity and mixed plastic pellets. Closed-loop recycling is an innovative
recycling procedure that has recently been developed. Highly purified post-
consumer plastic pieces are transformed into regenerated products related to the
original products by using well-designed collection schemes and state-of-the-art
sorting and refining technology, as shown in Fig. 34.1. In Japan, the law encourages
the recycling of resources from post-consumer electrical appliances and states that
air-conditioners, refrigerators, TVs and washing machines must be collected by
their distributors and sent to recycling plants operated by electronics companies. In
total, 0.64 million tons of appliances were collected in 2009. In such legally
mandated recycling, the types of waste plastics involved are relatively few and
their chemical composition is relatively uniform [2, 3]. Therefore, there is a high
demand for closed-loop recycling.
Currently, a major sorting technique is floatsink and/or pneumatic classification
based on density differences. However, these approaches do not offer adequate
performance for closed-loop recycling. The homogeneity of the collected plastics
should be more than 95 % to maintain the characteristics of virgin plastics. To
increase the purity of sorted plastic waste, some optical identification techniques
are required. In this paper, we demonstrate the applicability of Raman spectroscopy
to industrial-scale waste plastic recycling that requires high-speed, on-line technol-
ogy. We developed a compact, rapid and viable Raman identifier with specifica-
tions suitable for post-consumer plastics recycling sites. This identifier also has
potential to solve the problems of detecting brominated flame retardants and
identifying black plastics. These are serious problems at plastic recycling sites
because some brominated compounds are regulated pollutants as defined in the
Restriction of the Use of Certain Hazardous Substances in Electrical and Electronic
Equipment (RoHS) directive of the European Union, and no practical identification
technique exists for sorting black or deeply colored plastics. The Raman technique,
34 High-Performance Recycling System for Waste Plastics Using Raman. . . 521
which is based on vibrational spectroscopy, can identify the components in plastics

and can therefore detect brominated compounds at the time of sorting. Our compact
apparatus was able to obtain Raman spectra from black plastics to facilitate plastic
sorting.
34.2 Raman Spectroscopy for Plastic Recycling
The currently available optical techniques for automatic plastic identification are
summarized in Table 34.1. Vibrational spectroscopy, including infrared absorption
(IR), near-infrared diffuse reflectance (NIR) and Raman scattering measurements,
is one of the most sophisticated candidates in terms of reliability because it provides
molecular structural information. Laser-induced plasma spectroscopy has recently
been announced as a key technology in a portable identifier [4]. X-ray fluorescence
analysis is commonly used to detect metal pieces in the food industry and haloge-
nated compounds in plastics recycling.
The spectra of polystyrene (PS) obtained using the standard measuring instru-
ments of the three vibrational spectroscopy methods are compared in Fig. 34.2. In
laboratories, IR measurement is a standard method for analyzing molecular struc-
tures and to identify various kinds of plastics. Raman scattering measurement
provides similar information about molecular structures. Although the sensitivity
and sample handling are improved by using Fourier-transform infrared spectros-
copy (FT-IR), the severe limitations of IR outlined in Table 34.1 are evident when it
is used for large-scale waste plastic sorting. NIR is used in sorting systems in both
large [5] and portable identification apparatuses [6] because light near the visible
region can be rapidly detected with great sensitivity and at reasonable cost.
Table 34.1 Comparison of optical plastic identification techniques

Technique Features Limitations
Raman Reliable identification for a wide range of Weak Raman scattering intensity.
plastics with sharp peak appearances Less popularity and know-how for the
plastic sorting
IR Reliable identification for a wide range of Difficulties of non-contact measure-
plastics with accumulated database and ments for solid polymers
know-how Necessity of reference signal
Sensitive to roughness and wetness of
the surface
NIR Fast identification for major plastics. Low accuracy due to broad spectra.
Time-tested performance to massive Not able to identify dark color plastics
sorting for plastics and paper
LIPS Rapid characterization for the components No performance and accuracy test in
of the plastics including halogen elements practical applications
Necessity of pulsed high-power laser
XRF Commonly used to detect bromine in any Only for bromine detection, not for
plastics plastic identification
Fig. 34.2 Spectra of PS in various spectroscopies. IR; Shimadzu IRPrestige-21 with Ge ATR
prism. RAMAN; Thermo Scientific DXR Smart Raman. NIR; Jasco UVVIS-NIR spectropho-
tometer V-670
However, NIR identification is less accurate because of its broad spectrum, as

shown in Fig. 34.2. Furthermore, strong water absorption at 1.4 and 1.9 m
obscures the NIR spectrum.
Raman spectroscopy is used with microscopes for local analysis in biological
and materials research because of the high spatial resolution of laser excitation
compared with IR spectroscopy. In addition, Raman spectroscopy has other advan-
tages for practical application in the sorting of post-consumer plastics. These
advantages are:
1. Raman spectra present sharp peaks, making identification more accurate, easier
and faster.
2. Signal intensity is proportional to the excitation light intensity. Although Raman
scattering is known as a small probability phenomenon, high-power-laser irra-
diation provides adequate signal intensity even with short measuring times.
3. The Raman scattering phenomenon is less sensitive to the direction of the
detector and to the sample surface condition such as its roughness.
4. Even black plastics provide a scattering signal that can be used for identification.
Non-contact measurement is practicable for plastic chips moving on a conveyor.
In contrast, tight contact measurement using the attenuated total reflection
(ATR) method is essential in FT-IR, and no reflectance signal occurs from
black surfaces in NIR.
5. The Raman technique requires no reference signal.

6. Raman spectra are not disturbed by water or CO2 absorption.
A few papers and patents were found that discuss the application of Raman
spectroscopy to plastic identification [7, 8]. However, Raman identification is
currently less popular than NIR for plastic sorting. Recently, compact, low-cost
Raman apparatuses have been commercialized as a result of improvements in
optical communication devices such as solid-state lasers and optical filters. These
improvements encouraged us to develop a Raman-based plastic identification and
sorting system for industrial use.
34.3 Raman Plastic Identifier
We developed two types of specialized Raman identifier for application to waste

plastic recycling. One is a thin box unit (32 cm 55 cm 4 cm) for fast, on-line
identification. Its thin shape makes it possible to set up a battery of Raman
spectrometers above a conveyer to improve the throughput. The other unit is a
portable apparatus (23 cm 35 cm 12 cm) for precise identification in off-line
use. The basic optical configuration is the same for the two types of identifier. The
excitation laser is focused on the surface of the plastics and the scattered light is
collected coaxially by the same lens (focal length: 30 mm, N.A.: 0.22). A sufficient
Raman signal was obtained even at a distance of 1050 mm from the plastic
surface.
The Raman identifier consists of a 785-nm high-power diode laser operated at
2 W and a back-thinned FFT-CCD detector (Hamamatsu Photonics S7030, Hama-
matsu, Japan) with 1,024 pixels corresponding to a Raman shift of 2002,500/cm.
The accumulated charges produced by photons in the 58 longitudinal pixels are
binned further into the last pixel line to improve sensitivity. The optical system was
designed to achieve high optical throughput at the appropriate resolution of
20/cm. The laser focusing can detect shredded plastic pieces of less than 1 cm in
diameter. A data analysis system is embedded in a field programmable gate array
circuit (FPGA) that is used instead of a CPU to reduce the signal processing time.
Consequently, the Raman shift in the spectrum shows in the pixel number of the
CCD detector.
34.4.1 Industrial-Scale Plastic Sorting
Over 3 years, Saimu Corporation constructed a demonstration facility in Osaka,

Japan, featuring an automatic identification and sorting system for shredded plastics
Fig. 34.3 Schematic diagram of massive plastic sorting system
from post-consumer electric appliances. The shredded plastics are produced within
a recycling facility where large plastic and metal components are dismantled and
collected. The shredded plastic pieces from refrigerators, washing machines and
air-conditioners are mostly white and consist of three major plastics, polypropylene
(PP), polystyrene (PS) and acrylonitrilebutadienestyrene copolymer (ABS), and
other plastics such as polyvinylchloride (PVC), styrene foam, wiring, rubber and
putty. For closed-loop recycling, plastic compound companies require the sorted
plastics to have greater than 95 % homogeneity.
Figure 34.3 shows the schematic of the large-scale plastic sorting system includ-
ing 50 on-line Raman apparatuses above a 30-cm-wide conveyor (speed; 100 m/
min); in Fig. 34.3, only three Raman units are shown. The overall sorting process is
as follows: styrene foam, dust and wiring are removed using a pneumatic separator;
ferromagnetic metal is removed using a magnetic separator; and putty is removed
using our proprietary remover equipped with needles. Then, the plastic mixture is
roughly classified into PP and PS/ABS fractions in a water tank based on the
differences in specific gravity. Next, PVC and other heavy plastics are separated
from PS/ABS. Finally, the plastic pieces are fed to the system that uses the Raman
identifiers to improve the purity of PP or to classify PS and ABS. At the end of
the conveyor an array of pulsed air blasts directs the selected plastics into
24x103
23
Light Intensity / A.U.
22 ABS resin (ABS)
21 Polystyrene (PS)
20 Polypropylene (PP)
0 100 200 300 400 500

Raman Shift Value / pixel
1000 1500 2000

Raman Shift / cm1
Fig. 34.4 Raman spectra of plastics in 3-ms measurement; the sample is moving on conveyer at
100 m/min
the appropriate container. The 50 Raman identifiers work in parallel on one

conveyor lane for shredded plastic pieces 520 mm in diameter and can process
200600 kg/h.
This large-scale, accurate sorting system requires the acquisition of Raman
spectra with adequate signal-to-noise ratios in a short measuring time, as shown
in Fig. 34.4. The spectra of the three major plastics exhibit distinctive peaks in the
3-ms measurement. The plastic pieces are moving on the conveyer at a speed of
100 m/min. The peak at 2,200/cm differentiates ABS from PS; these two plastics
have similar spectra and are in the same specific gravity fraction, and so are difficult
to separate.
Figure 34.5 shows an example of the performance of our shredded plastic sorting
system. The upper charts show the breakdown percentages before and after sorting
for the suspended plastic fraction in the specific-gravity-separation water tank, and
the lower charts show the same for the settled fraction. A final plastic purity of 98 %
was obtained, and the main cause of the 2 % debasement was the air blasts missing
their targets. The collected ABS was tested for its mechanical strength. Table 34.2
shows the physical properties of the collected (recycled) and virgin ABS test
specimens. Strength deteriorates appreciably if new components are fabricated
using waste plastics alone. However, the formability of recycled ABS as adequate
to regenerate parts for electrical appliances, as shown in Fig. 34.6. Currently, two
plastic compound companies add our sorted plastics to virgin material to reduce
their raw material costs.
Suspending Sample
Other Other
Wire
13% 2%
8%
PS
7% SORT
PVC PP
PP
ABS 1% 69%
98%
2%
Wire
Other Settling Sample
19% Other
Metal 5%
Others 2%
9%
1%
PP
SORT
3%
PS
PVC PS
98%
14% 38%
ABS
11%
Fig. 34.5 Performance of the waste plastic sorting system based on Raman spectroscopy; samples
from the specific gravity classification with water
Table 34.2 Physical properties of ABS test specimens

Collected ABS Virgin ABS
Dynstat impact test (Kg cm/cm2) 10.3 65.6
Tensile strength (MPa) 37.40 49.14
Deformation at break (%) 58.4 141.8
Flexural strength (Mpa) 59.08 73.12
Fig. 34.6 Formability

of the recycled plastics
Fig. 34.7 Raman spectra of PP containing DeBDE; the arrow indicates a peak assigned bromine
compound
34.4.2 Precise Identification
The large-scale sorting system that we have developed can currently be applied to
white shredded plastics. However, the recycling sites of post-consumer plastics
need more precise identification of a broader range of plastics. The most pressing
requirement is the detection of plastics containing brominated flame retardants
because of the RoHS directive. A sorting technology based on X-ray absorption
is being developed for the detection of bromine in plastics [9]. Our portable Raman
identifier can distinguish the components of the plastics and so can detect bromi-
nated compounds at the same time. Figure 34.7 shows the Raman spectra of PP
containing decabromodiphenyl ether (DeBDE) with a measurement time of 100 ms.
A clear peak of DeBDE appears among the peaks of PP. More than 3 wt% of
DeBDE was detected. This level of sensitivity is sufficient for plastic sorting
because brominated flame retardants are added to products at up to about 10 wt%
to resist heat and fire.
This Raman technique might be useful for the identification of black plastics. The
only other available technique of ATR infrared spectroscopy is not appropriate for
plastic sorting because of the large laboratory-oriented equipment and the necessity
of close contact to the ATR prism. Figure 34.8 shows the Raman spectra of black PP,
PS and ABS with a measurement time of 0.5 s. These plastics contained 0.5 %
carbon black. The background in the spectra increases in the whole region with
decreasing scattering intensity, and a broad peak at around 500 pixels appears from
the amorphous carbon black. However, we were able to distinguish some charac-
teristic peaks for plastic identification, and we successfully developed a smart
identification algorithm for use with the portable Raman apparatus.
Fig. 34.8 Raman spectra of black-colored plastics included 0.5 % carbon black
34.5 Conclusions
In this paper we successfully demonstrated the applicability of Raman spectroscopy to

industrial-scale post-consumer plastic sorting with acceptable performance for com-
mercial application. The demonstration facility was operated stably for 1 year. We
perform suitable pre-treatments for the Raman identification system for any standard
of waste plastics and have accumulated much practical knowledge for application to
waste plastic sorting. This identification technique based on Raman scattering could
be applied to waste plastics not only from electrical appliances but also from Infor-
mation and Communication Technology equipment and automobiles. Large-scale
recycling of these plastics will save vast amounts of resources and energy.
Acknowledgements This work was supported by Grant-in-Aid for Scientific Research

(B) 22510092. The authors have received financial support from The Ministry of Economy,
Trade and Industry of Japan.
References
1. Lazarevica D, Aoustin E, Buclet N, Brandt N (2010) Plastic waste management in the context of
a European recycling society: comparing results and uncertainties in a life cycle perspective.
Resour Conservat Recycl 55:246259
2. Dodbiba G, Takahashi K, Sadaki J, Fujita T (2006) The recycling of plastic wastes from
discarded TV sets: comparing energy recovery with mechanical recycling in the context of
life cycle assessment. J Clean Prod 16:458470
3. Qu X, Stuart Williams JA, Grant ER (2006) Viable plastics recycling from end-of-life elec-
tronics. IEEE Trans Electron Packag Manuf 29:2531
4. Anzano J, Casanova ME, Bermudez MS, Lasheras RJ (2006) Rapid characterization of plastics
using laser-induced plasma spectroscopy. Polymer Test 25:623627
5. http://www.pellencst.com/en/21/les-systemes-de-detection. Accessed 25 Jun 2012
6. http://www.iosys-seidel.de/en/mirogun.html. Accessed 25 Jun 2012
7. Allen V, Kalivas JH, Rodriguez R (1999) Post-consumer plastic identification using Raman
spectroscopy. Appl Spectrosc 53:672681
8. Sommer EJ, Rich JT (2001) Application of Raman spectroscopy to identification and sorting of
post-consumer plastics for recycling. US Patent 6,313,423
9. Naka J, Tanimura J, Hirano N, Kinugawa M, Sirouzu T (2008) Detection method of Br in
polymers and sorting apparatus. Japan Patent JP-A-2008-126892
Chapter 35
Clean Combustion of Low Quality Fuel
in Fluidized Bed Combustor
Rami S. El-Emam, Farouk M. Okasha, and Salah H. El-Emam
Abstract Combustion characteristics for rice straw and mazut in a fluidized bed
combustor have been investigated. Rice straw has been prepared as pellets in order
to increase its bulk density and control feeding flow rate. Rice straw pellets have
been burnt in bubbling fluidized combustor operating at atmospheric pressure.
Over-bed fuel feeding of fuel is applied to provide steady condition of performance.
Mazut combustion in the fluidized bed has been also investigated. In-situ desulfur-
ization is considered for the case of mazut combustion. It is concluded that post-
combustion of volatiles in the fluidized bed combustor results in a peak temperature
values in the freeboard zone. The peak temperature value and position shifts based
on the operating condition of the fluidized bed. Carbon monoxide and nitrogen
oxides emissions are measured for the presented cases of fuel combustion. Nitrogen
oxides emission measurements are reported as 175270 ppm which is considered
relatively low. The effect of fluidization velocity, static bed height and excess air on
emissions of carbon monoxide and nitrogen oxides is also investigated. Improve-
ment in combustion of mazut is achieved with the increase in bed temperature,
static bed height, and with excess air. Adding limestone particles to the fuel caused
sulfur retention up to 90 %.
Keywords Fluidized bed Biomass Rice straw Mazut Emissions
35.1 Introduction
Abundance of agriculture waste and residues are burnt haphazardly in Egypt,

without energy recovery, causing severe pollution levels in the environment, espe-
cially after rice harvesting season which is the second most cultivated crop in Egypt.
R.S. El-Emam (*)

Oshawa, Canada
Department of Mechanical Power Engineering, Mansoura University, Mansoura, Egypt
F.M. Okasha S.H. El-Emam
Department of Mechanical Power Engineering, Mansoura University, Mansoura, Egypt

532 R.S. El-Emam et al.
Alternatively, utilizing agriculture waste as biomass driven fuel preserves the

diminishing conventional fossil fuels and alleviates the growing waste disposal
problem and results in a remarkable reduction in the emissions that have negative
impact on the environment. According to the Egyptian Agriculture Engineering
Researches Institute, the annual potential of agriculture wastes in Egypt is about
22.5 million ton. About 35 % of them are utilized as animal feeding and fertilizer and
65 % are available for energy production which is 7 million ton oil equivalent (TOE).
Due to their simplicity, fuel flexibility and higher efficiency, fluidized bed
combustors are good candidates for handling agricultural residues and biomass
driven fuel into useful energy. It is also a good candidate for heavy liquid fuel.
Fluidized bed combustors operate at relatively low temperature values, compared
with other combustion (FBC) technologies, which helps in minimizing the emis-
sions for nitrogen oxides. A detailed case study provides insights to the technical
specifications of the various equipment, systems and cost economics of fluidized
bed combustion technology for cogeneration systems have been reported [1].
Co-generation through fluidized bed combustion boiler using biomass is considered
a renewable clean technology which can also help in mitigation of greenhouse gas
emissions.
Under similar operating condition, combustion process of rice straw is not
experiencing different emissions and operating issues compared with wheat straw
and rice husk. Pretreatment of biomass fuel is utilized to enhance the fuel proper-
ties. The two fundamental properties of rice straw analyzed by Kargbo et al. [2] are
calorific and density values. They tested sizing and compression as utilized as
pretreatment technologies. Results show that both physical and chemical properties
of rice straw are improved significantly by the pretreatment technologies.
Srinath et al. [3] studied the combustion characteristics of rice husk in a
rectangular fluidized bed and reported that maximum carbon monoxide concentra-
tion occurs at active combustion zone. Based on CO emission and unburned carbon
content in fly ash, the combustion efficiency of the fluidized bed combustor was
calculated for the rice husk fired under different operating conditions. The maxi-
mum combustion efficiency of the rice husk is found to be 95 %. Effect of adding
rice straw to wood fuel on the combustion and emission characteristics is investi-
gated by Thy et al. [4]. They reported that there is experimental evidence that the
addition of straw to conventional biomass boiler fuels in some instances may reduce
potassium fouling. Naik et al. [5] carried out an investigation to highlight the
common biomass available in Canada such as wheat straw, barley straw, flax
straw, timothy grass and pinewood. They studied the calorific values, ash, cellulose
and hemicellulose contents in the studied samples. Their analyses showed that
pinewood, wheat and flax have greater potential for bioenergy production.
Liquid biofuel combustion in fluidized bed is investigated experimentally by
Miccio et al. [6]. They performed combustion of biodiesel and sunflower oil in a
lab-scale internal circulating fluidized bed reactor (ICFB) for co-gasification of
biomass and waste fuels or incineration of liquid wastes. The combustion of fuel
vapors was managed to occur with a limited residence time by feeding the fuel the
riser. They investigated the occurrence of the micro-explosive behaviour that was
35 Clean Combustion of Low Quality Fuel in Fluidized Bed Combustor 533
observed in the combustion process. Combustion efficiency and carbon monoxide

emissions were observed to be a little different between biodiesel and sunflower oil.
A new possibility is envisaged for applications in which the released heat is directed
at producing high temperature, high pressure fluid streams, taking advantage of the
extremely high heat transfer coefficients in fluidized bed [7].
As rice straw represents a challenging issue of agriculture wastes in Egypt, the
current study is concerned with investigating the combustion of rice straw in
fluidized bed. It also presents combustion of mazut, as common heavy oil utilized
in Egypt, in fluidized bed combustor. Mazut has relatively high sulfur content, as
listed in Table 35.1, which causes negative environmental impact when combusted
in conventional combustor. Hence, alternative combustion technologies should be
implemented to limit the emissions level. The main objectives of this study are
preparation of rice straw in adequate form of pellets, and assessment of FBC at
different operating conditions with observation of the emissions of carbon monox-
ide and nitrogen oxides. Also sulfur retention is considered with adding calcium
(limestone) when combustion of mazut is investigated.
35.2 Experimental Work
Atmospheric bubbling fluidized bed is considered in the proposed work. Figure 35.1
shows a schematic of the experimental test system. A detailed description of the test
system, auxiliary components and pellets preparation can be found elsewhere [8, 9].
The combustor is a cylindrical column of 300 mm inner diameter and 3300 mm
height. Primary air, which serves in fluidizing bed materials and burning fuel,
provided through a nozzle type distributer. Continuous over-bed feeding is
achieved using a paddle shaft which is driven by variable speed electric motor. A
hopper on top of the combustor column is used for feeding the fluidized bed with
sand particles. Flue gases pass through a cyclone to collect the entrained particu-
lates. All parts of the fluidized bed column are insulated using blankets of thermal
Table 35.1 Fuel analysis Rice straw Mazut

and properties
Ultimate analysis (dry basis, %)
Carbon 42.04 84.8
Hydrogen 6.26 11.59
Oxygen 39
Sulfur 0.64 3.21
Nitrogen 1.23
Ash 10.83 0.07
Properties
Density, kg/m3 0.9 (pellet) 946.1 (15.5 C)
LHV, MJ/kg 19.441 40.820
Moisture 8.9 % 0.2 %
Fig. 35.1 Diagram of the test system equipped for pellets or mazut combustion
wool. Silica sand with of 0.250.5 mm is considered as bed material, which has
minimum fluidization velocity of 5.6 cm/s at 850 C. Pellets of rice straw are
prepared by pressing chopped straw under 200 bar inside a die. The pellet are
produced in 12 mm diameter and 10 mm length of cylindrical shape with bulk
density of 0.9 g/cm3 compared with 0.05 g/cm3 as initial bulk density.
When liquid fuel is injected into a fluidized bed, residence time experienced with
the fuel is short due to immediate evaporation. Consequently, rapid mixing of
droplets and air is important. The fuel injector is fixed at the bottom of the
combustor. It passes through the centerlines of the plenum chamber and the
distributor plate to reach the fluidized bed. A detailed description of the mazut
injector can be found elsewhere [10]. Analysis and properties of the used rice straw
and mazut fuels are listed in Table 35.1. Calcium based sorbent is utilized with the
combustion of mazut to facilitate the removal of sulfur dioxide from the combus-
tion emissions. This is one of the advantages of using fluidized bed instead of
conventional combustion technologies. Limestone particles with size of 0.5
0.8 mm are utilized in different molar ratios described by Ca/S ratio.
The experimental measurements and results of combustion of rice straw pellets and
mazut are illustrated in this section. The temperature profiles through the fluidized
bed height at different cases are also presented. Emissions and combustion effi-
ciency are also presented. Effects of varying fluidization velocity, static bed height
and excess air ratio on the combustion process are studied. A comparative analysis
of combustion of both fuels is introduced based on the efficiency and emissions at
different operating conditions.
35.3.1 Combustion of Rice Straw Pellets
The results representing the axial temperature profile show a uniform temperature
through the bed zone. The temperature then starts increasing till a peak temperature
is reaching in the freeboard zone. The position and degree of overheating is
controlled by the operating parameters of the fluidized bed combustor. It is noticed
that part of the volatile get into complete combustion in the freeboard zone where
occurrence of flame is observed. This may have occurred because of lack of mixing
with oxygen. In the following subsections, studies on effect of fluidized bed
operating parameters are performed. When effect of one parameter is investigated,
other parameters are kept as in the base case condition.
It is also noticed in the presented results that nitrogen oxides are relatively low.
Through the combustion process, carbon monoxide reacts with the formed nitrogen
monoxide forming elemental nitrogen. At the same time, with proceeding in the
combustion process, the reduction of nitrogen oxide through reacting with char is
getting lower [11, 12]. The results also report fixed carbon losses which is calcu-
lated as the rate of collected carbon, using the cyclone, to the total rate of fixed
carbon feed in the fuel.
35.3.1.1 Effect of Fluidization Velocity
The effect of varying the fluidization velocity on temperature profile, emissions and
combustion performance is presented in Figs. 35.2, 35.3, and 35.4. The results in
Fig. 35.2 discuss the effect of fluidization velocity on the axial temperature profile
of rice straw pellets combustion. It is noticed that at higher velocity, a more uniform
temperature profile is achieved through bed and splashing zones. This is because of
the higher rigorous bed particles mixing. The overheating is reported as 47.8, 68.9
and 87.120C at 0.3, 0.5, 0.7 m/s, respectively. From the temperature profiles, a shift
in the peak temperature along freeboard zone height is noticed with increasing the
velocity. The shorted gas residence time with higher velocity is probably respon-
sible for this shift.
Fig. 35.2 Effect of

fluidization velocity on the
axial temperature profile for
straw pellets combustion
Fig. 35.3 Carbon monoxide and nitrogen oxides emissions of straw pellets combustion at
different fluidization velocity values
Fluidization velocity has a noticeable effect on carbon monoxide emissions as

seen in Fig. 35.3. At lower fluidization velocity, better combustion occurs where the
mass transfer between the two phases, i.e.; bubble and emulsion, is enhanced with
Fig. 35.4 Effect on fluidization velocity on straw pellets combustion efficiency and carbon loss
percentage
the smaller bubbled produced at lower rising velocity. Also the residence time in
bed and freeboard zone is longer with slower fluidization, this result in more
reduction of carbon monoxide to form carbon dioxide. The results in Fig. 35.3
also show the change in nitrogen oxides with fluidization velocity. Nitrogen oxides
are supposed to decrease with increasing the fluidization velocity as the more
carbon monoxide formation, the more nitrogen oxides reduction. However, as a
result of the less time available for the reduction reaction at high velocity, it appears
that nitrogen oxides increase. Figure 35.4 shows the effect of fluidization velocity
on the combustion efficiency and carbon loss. Efficiency values drop at higher
velocity where more carbon loss is indicated where coarser particulates are dragged
with the flue gases at higher velocity.
35.3.1.2 Effect of Excess Air Ratio
Results in Figs. 35.5, 35.6, and 35.7 show the influence of changing the excess air
ratio over the combustion performance of rice straw pellets in the fluidized bed.
Figure 35.5 illustrates the effect of excess air on the axial temperature profile. Three
different excess air ratios are considered. Increasing the available oxygen with more
excess air, results in a higher combustion reaction rate. This means that most of
the combustion occurs inside the bed zone at higher excess air ratio. The results
agree with this as peak temperature value is achieved closed to the bed zone with
higher excess air. It can also be noticed that the lower the air, the hotter the gases at
the end of the fluidized bed height. The reason for this is the combustion of volatiles
that escape to the freeboard zone at low excess air ratio, causing more heat release
along the combustor height by the extended flame of combustion.
Fig. 35.5 Effect of excess

air on the axial temperature
profile for straw pellets
combustion
different excess air ratios
Figure 35.6 elucidates that for excess air less that 20 %, carbon monoxide in the
flue gases seems to be really high where it reaches 1,550 ppm at 10 % of excess air.
It also shows that increase of excess air over 25 % doesnt produce more impact on
carbon monoxide concentration reduction. With regards to nitrogen monoxide
Fig. 35.7 Effect on excess air on straw pellets combustion efficiency and carbon loss percentage
concentration, excess air increases the chances of nitrogen oxides formation as it

increases from 175 to 276 ppm with increase of excess air from 10 to 30 %. Also,
the enhancement of combustion process with the increase of excess air, causes
lower nitrogen oxides reduction reactions rates. Results in Fig. 35.7 show the
increase of combustion efficiency and reduction of carbon loss with increasing
excess air. This is a result of the lower carbon monoxide formation which means
enhanced combustion.
35.3.1.3 Effect of Static Bed Height
Static bed height influences the fluidized bed combustor performance. Figure 35.8,
35.9, and 35.10 shows these effects on the axial temperature profile, carbon
monoxide and nitrogen oxides emissions. Also changes in efficiency and carbon
loss are investigated. The results presented in Fig. 35.8 show that at higher bed
height, the peak temperature value shifts more into the freeboard zone where more
volatiles escape the bed zone without combustion. It is also noticed that the
freeboard zone temperature decreases with the bed height increase as overheating
with changing the static bed height from 20, 30 to 40 cm is measured as 94.5, 71.7
and 47.1 C, respectively.
Increasing static bed height results in a longer residence time in the bed zone.
This cause a slightly enhancement in the combustion which appeases in the limited
reduction in carbon monoxide in Fig. 35.9, which is accompanied by an increase in
nitrogen oxides from 210 to 250 ppm. The improvement in combustion process can
be seen in Fig. 35.10 as well as the efficiency slightly increase with the increase of
static bed height.
Fig. 35.8 Effect of static

bed height on the axial
temperature profile for
straw pellets combustion
different static bed height values
Fig. 35.10 Effect on static bed height on straw pellets combustion efficiency and carbon loss
percentage
35.3.2 Combustion of Mazut
The performance of mazut combustion in fluidized bed combustor is presented in

comparative form with rice straw pellets combustion. Mazut is utilized with
preheated temperature of 100oC. Figure 35.11 shows a comparison of the temper-
ature profile through the fluidized bed column with bed temperature of 850oC and
static bed height of 50 cm. Mazut flow rate is 10 kg/h with fluidization velocity of
1 m/s is considered for the presented results. Occurrence of post combustion in the
freeboard zone is observed with a peak temperature that is also reported to vary in
value and position with the operating and fluidization conditions.
Carbon monoxide and nitrogen oxides of mazut combustion and rice straw are
presented Table 35.2 and 35.3 considering the effect of static bed height and excess
air ratio on the emission levels measured in ppm. Two static bed heights are
considered and three different excess air ratios are tested. Also the calculated
combustion efficiency values are presented for both fuels. Generally, bed height
and excess air causes have a positive effect on reducing of carbon monoxide and
nitrogen oxides emissions.
From the results presented in Fig. 35.12, it is clear that increasing the temper-
ature cause a noticeable reduction in carbon monoxide formation as it is can be seen
in Fig. 35.12a. This is because of the increase in reaction rate of combustion and the
enhancement of gases diffusion at higher temperature values. However, for rice
straw pellets, reduction in carbon monoxide from 850 to 900 C is insignificant.
These results are reflected on the nitrogen oxides formation and combustion
efficiency as indicated in Fig. 35.12c and d, respectively. For combustion of
mazut, generally, lower emissions are shown compared with combustion of rice
Fig. 35.11 Comparative

analysis of axial
temperature profile
Table 35.2 Effect of static Straw pellets Mazut

bed height on combustion
emissions and efficiency Static bed height 40 cm
Carbon monoxide 181.7 ppm 430.5 ppm
Nitrogen oxides 250.0 ppm 101.9 ppm
Combustion efficiency 98.4 % 99.0 %
Static bed height 30 cm
Carbon monoxide 245.8 ppm 1070 ppm
straw. The performance enhancement with increasing the bed temperature is sig-
nificant at with stepping up from 750 to 850oC. Limited improvement is achieved
with increasing the temperature from 850 to 900oC.
The results in Fig. 35.13 show the concentration of sulfur dioxide in the
emissions of mazut combustion case considering no attempt of sulfur retention
with limestone addition. The effect of excess air on sulfur dioxide is shown. Excess
air causes lower emissions of sulfur dioxide, It can be seen from this figure that
sulfur dioxide in flue gases is reduced from 2017 ppm to 1686 ppm by increasing
excess air from 10 % to 30 %. In Fig. 35.14 and 35.15, sulfur retention with
limestone addition is presented. Five different mole ratios of calcium to sulfur are
Table 35.3 Effect of excess Straw pellets Mazut

air ratio over the combustion
emissions and efficiency 10 % Excess air
20 % Excess air
Carbon monoxide 262.1 ppm 419 ppm
30 % Excess air
Fig. 35.12 Comparison between straw pellets and mazut combustion in fluidized bed (a) carbon
monoxide emissions, (b) nitrogen oxides emissions, (c) combustion efficiency
Fig. 35.13 Sulfur dioxide emissions of mazut combustion with no added calcium (limestone) at
different excess air ratios
tested, presented in 5 steps from no limestone addition to 1, 2, 3, 4, and 5 of Ca/S

molar ratios. Sulfur retention in Fig. 35.14 is presented as percentage of steps of
Ca/S ratio, so it shows the enhancement achieved in sulfur retention by increasing
Ca/S with respect to the previous step. Results in Fig. 35.15 show sulfur retention
for each step of Ca/S as percentage of no limestone addition case. It can be noticed
that the effect of step one results in about 4048 % reduction in sulfur retention,
where sulfur dioxide is reduced to 1210, 961 and 872 ppm for 10, 20 and 30 %
excess air. The enhancement in retention decreases with higher Ca/S ratios. How-
ever, sulfur dioxide emission is reduced to 282, 202 and 151 ppm for 10, 20 and
30 % excess air when adding Ca/S of ratio 5. This gives around 87 to 91 % of sulfur
retention as can be seen in Fig. 35.15. These results also show a better sulfur
retention with higher excess air.
35.4 Conclusions
Rice straw and mazut are successfully burned in a bubbling fluidized bed. Different
operating conditions are tested and their effect on the temperature profile and
combustion emissions are investigated. Sulfur retention for the case of mazut
combustion is also considered. The following conclusions of the presented work
can be drawn:
Fig. 35.14 Sulfur retention percentage calculated per step of calcium (limestone) ratio for mazut
combustion at different excess air ratios
Fig. 35.15 Sulfur retention in mazut combustion, calculated as percentage of zero-added

limestone case
Post-combustion of volatiles is observed and it causes peak temperature values

in the freeboard zone. The peak temperature value and location are dependent on
operating and fluidization conditions.
High combustion efficiency over a wide range of operating conditions is

achieved. Combustion efficiency increase with increasing bed temperature,
static bed height and excess air ratio.
Increase of excess air and static bed height cause improvement in the efficiency
of rice straw combustion with reduction in carbon loss, however, fluidization
velocity has a negative impact on combustion efficiency.
The Nitrogen oxides emissions from 175 to 270 ppm are measured for combus-
tion of rice straw.
Combustion of mazut achieved combustion efficiency of up to 99.8 %. Bed
temperature, static bed height and excess air causes an increase in the combus-
tion efficiency.
Excess air helps in sulfur retention in mazut combustion.
Sulphur retention is enhanced by adding limestone. Reduction of sulfur dioxide
to 151 ppm at excess air of 30 % is achieved compared with 1667 ppm when no
limestone is added.
References
1. UNEP-DT IE Energy Branch. Technical study report: biomass fired fluidized bed combustion
boiler technology for cogeneration. http://www.unep.fr/energy
2. Kargbo FR, Xing J, Zang Y (2010) Property analysis and pretreatment of rice straw for energy
in grain drying: a review. Agric Biol J N Am 1(3):195200
3. Srinath S, Reddy GV (2011) Combustion and emission characteristics of rice husk in a
rectangular fluidized bed combustor. 2nd international conference on environmental science
and technology IPCBEE, vol.6.
4. Thy P, Jenkins BM, Williams RB, Lesher CE (2004) Slag formation and potassium volatili-
zation from rice straw blended wood fuel. Am Chem Soc Div Fuel Chem 49(1):89
5. Naik S, Goud VV, Rout PK, Jacobson K, Dalai AK (2010) Characterization of Canadian
biomass for alternative renewable biofuel. Renew Energy 35(8):16241631
6. Miccio F, Kalisz S, Baxter D, Svoboda K (2008) Combustion of liquid bio-fuels in an internal
circulating fluidized bed. Chem Eng J 143:172179
7. Miccio M, Miccio F (2010) Fluidized combustion of liquid fuels: pioneering works past
applications, todays knowledge and opportunities. Proceedings of the 20th international
conference on fluidized bed combustion, 7182
8. Shaaban W (2010) Fluidized bed combustion of rice straw and bitumen pellets. MSc Thesis,
Mansoura University, Egypt
9. Zaater G (2006) Utilization of agriculture waste in energy production using fluidized bed
furnaces. MSc Thesis, Mansoura University, Egypt
10. Okasha FM, El-Emam SH, Mostafa HK (2003) The fluidized bed combustion of a heavy liquid
fuel. Exp Therm Fluid Sci 27:473480
11. Tillman DA (1991) The combustion of solid fuels and wastes. Academic, San Diego, CA
12. Looffler G, Andahazy D, Wartha C, Winter F, Hofbauer H (2001) NOx and N2O formation
mechanismsa detailed chemical kinetic modeling study on a single fuel particle in a
stationary fluidized bed, 16th International FBC Conference, FBC01-0068, Reno Nevada
Chapter 36
Theoretical and Experimental Study
of a Novel Film Evaporation Cooling System
Hooman Golchoobian, Mohamad Hasan Taheri, Majid Amidpour,

and Omid Pourali
Abstract A novel cogeneration cooler is presented in this paper. The entered air
cools in two streams. In the first stream, air goes into the channels and cooling
happens without increasing humidity. The second stream is the air flow that goes out
of the channels on the water film and cooling happens with increasing of humidity.
Both of the two cooled air is useful, but for different places in one building. The film
evaporation cogeneration cooler with its two new idea can save considerable
amount of energy. Production of cooled air with evaporation of water film from
surface of aluminum channels and production of humid and non-humid cooled air in
this cooler are two helpful ideas that theoretical and experimental calculations
approve the practicability of ideas. The results show that this novel cooler has
high COP and in the cases that both of its cooled air production can be useful, it
has so high performance and can conserve much energy.
Keywords Film evaporation Indirect cooling Humid and non-humid air
36.1 Introduction
The liquid film evaporation in air exists in different industrial applications like
chemical industries, distillation, cooling tower, air conditioning and drying. Evap-
oration of the pure liquid film has been extensively investigated.
A numerical analysis was carried out by Tsay et al. [1] to study the detailed heat
transfer characteristics for a falling liquid ethanol film by solving the respective
governing equations for the liquid film and the induced gas flow together. Yan and
Lin [2] investigated laminar natural heat and mass transfer in a vertical plate and
channel with pure liquid film evaporation. It is shown that the influence of the liquid
is substantial near the interface. Yan [3] studied the pure liquid film evaporation by
mixed convection of a humid air in a vertical channel. A numerical study of heat
H. Golchoobian (*) M.H. Taheri M. Amidpour O. Pourali

K.N. Toosi University of Technology, Tehran, Iran
e-mail: [email protected]; [email protected]; [email protected];
[email protected]

548 H. Golchoobian et al.
and mass transfer from a falling pure liquid film on isothermal inclined plate was
presented by Agunaoun et al. [4]. The water film cooling over the glass cover of a
solar still including evaporation effects was studied by Bassam et al. [5]. It was
shown that the presence of the cooling film neutralizes the effect of wind speed on
still efficiency. Feddaoui et al. [6] provided a numerical study of the evaporative
cooling of pure liquid film falling down along a vertical tube under mixed gas
convection. An experimental study on an enhanced falling film evaporation air flow
absorption and closed circulation solar still was presented by Zheng Hongfei [7].
36.2 System Description
A novel cogeneration cooler is presented in this paper. In this cooler, inlet air cools
in two streams. In the first stream inlet air goes into the channels and cooling
happens without increasing humidity. The second stream is the air flow that goes
out of the channels on the water film and cooling happens with increasing of
humidity. Both of the two cooled air is useful, but for different places in one
building. The schematic of the cooler is presented in Fig. 36.1. Its clear in the
Fig. 36.1 that 6 aluminium channels are used to drive air. The outside of channels
are covered by water film and 2 fans are used to increase the evaporation rate. There
is another fan for moving the inside air of channels. In the Table 36.1 the dimension
of cooler and characteristics of fan are presented.
The test was done in a laboratory of the university. The ambient temperature was
28C and relative humidity was 30 %. Moreover, two power sources were used for
running the axial fans.
Fig. 36.1 Schematic of film evaporation cooler

36 Theoretical and Experimental Study of a Novel Film Evaporation. . . 549
Table 36.1 Cooler

Number of fans 3
characteristics
Number of channels 6
Channel material Aluminum
Flow rate of fans at 8,200 rpm 9.43 ft3/min
Cooler dimensions 9 cm 20 cm 32 cm
Channel dimensions 0.5 cm 10 cm 23 cm
Table 36.2 Power supply

Input electricity 110/220 V AC and 6 Hz
characteristics
Output current 05 V
Output voltage 030 V
Fig. 36.2 Schematic of

water film on an insulated
plate with air flow
36.3 Description of Experimental Apparatus
Two adjustable power supplies are used in the experiments that the characteristics
of them in Table 36.2.
A prototype for the cooler is designed and manufactured. Two power sources are
used for running the fans. One of the fans that is for the channel inside air runs in its
normal power. But the two other fans voltage change step by step. In each sequence
the air temperature of fan outlets is measured. By this way the produced cooling rate
and COP of the cooler is calculated by the Eqs. (36.18) and (36.19).
_ p T in T out
Qc mC 36:1
Qc
COP 36:2
Qfans
36.4 Mathematical Model
The calculation is done in three stages. In the first stage, we assume that the plate is
insulated on the left side and an air flow is on the right side on the film of water as
its shown in the Fig. 36.2.
For the first stage, heat and mass processes in the water film and gas flow can be
described in detail by the appropriate governing equations and interfacial conditions.
Governing equations and interfacial conditions of the first stage are described
blow. Its the same as Tsay et al. Work [1].
Boundary and interfacial conditions are presented in Eqs. (36.3)(36.6).
At x 0:
T L T L, in0 T G T 10 uG vG 0 wv wv, 1 36:3
At y 0:
T L
uL 0 0 36:4
y
At y ! 1:
uG 0 T G T 1 wv wv, 1 36:5

uL uG
uL, i uG , i T L, i T G, i L G 36:6
y i y i
x-momentum equation for water film is defined as the following.

uL
L g 0 36:7
y L y
Energy equation for water film is defined as Eq. (36.8).

T L T L
L CpL uL L 36:8
x y y
Continuity equation for gas flow can be written as Eq. (36.9).

uG G v G 0 36:9
x G y
X-momentum equation for gas flow is defined as the following.

uG uG uG
G uG vG G 1 g 36:10
x y y G y
Energy equation for gas flow is defined as below.

T G T G T G T G wv
G cpG uG vG G G D cpv cpa 36:11
x y y y y y
Species diffusion equation of water vapour is defined as Eq. (36.12).

wv wv wv
G uG vG G D 36:12
x y y y
36.5 Interfacial Condition
Transverse velocity of gas is defined as below.

D wv
vG, i i 36:13
1 wv y
Mass fraction of water vapour can be calculated by Eq. (36.14).
M v Pv , i
wv, i 36:14
M v P 1 P v, i M v P v, i
Energy balance at the interface is defined by Eq. (36.15).

T L T G
L i G i mv, i hLG 36:15
y y
Evaporation rate can be written as Eq. (36.16).

G D wv
m v, i i 36:16
1 wv y
36.6 Numerical Method
A finite-difference method is used to solve the governing Eqs. (36.7)(36.12). The

axial convection terms are approximated by the backward difference and the
transversal convection and diffusion terms are approximated by the central differ-
ence. The calculations presented here were obtained with a 100 35 grid in x and y
directions.
In the second stage, heat transfer on the left side of the plate is considered too
which is shown in Fig. 36.3. Convection coefficients of the two sides are calculated
as the Eqs. (36.17) and (36.18).
Nusselt number for laminar flow:
Nu 0:664Re0:5 Pr 1=3 36:17

hl
Nu 36:18
k
Fig. 36.3 Schematic of

water film on a metal plate
with air flow on its both
sides
Fig. 36.4 Schematic of water films and air flow on the cooler channels
A coefficient is defined as the fraction of equivalent resistant of the left side to

the right side. This coefficient describes distribution of heat transfer between two
sides of each plate.
Rconv, r By neglecting Rcond, p and Rcond, f CF

CF !
Rconv, l Rcond, p Rcond, f
hleft
36:19
hright
In the last stage, the cooler is considered completely. Calculation for all of
12 plates of the cooler which are shown in Fig. 36.4 is done.
Its concluded from the theoretical calculation that evaporation rate on the outside
of channels increases with air flow rate. Its shown in Fig. 36.5. This water
evaporation from outside of channels will cause air cooling both in outside and
inside of channels.
Fig. 36.5 Evaporation rate of water on the channels with air flow variation
Fig. 36.6 Cooling rate of the cooler with air flow variation
In Fig. 36.6 the changes of produced cooling with air flow is shown. Its the
result of theoretical calculation. Cooling rate.
Temperatures of air flow of inside (channel 2) and outside (channel 1) of
channels are measured and the results are shown in Fig. 36.7. By increasing the
flow rate of channel outside, the channel inside temperature increases and channel
outside temperature decreases at first but for higher air flow, the temperature of
outside channel increases.
Fig. 36.7 Temperatures of air flow of inside and outside of channels (result of experiments)
36.8 Conclusion
The film evaporation cogeneration cooler with its two new idea can save consid-
erable amount of energy. Production of cooled air with evaporation of water film
from surface of aluminum channels and production of humid and non-humid cooled
air in this cooler are two helpful ideas that theoretical and experimental calculations
approve the practicability of ideas. The results show that this novel cooler has high
COP and in the cases that both of its cooled air production can be useful, it has so
high performance and can conserve much energy.
Nomenclature
cp Specific heat, J kg-1 C-1

D Mass diffusivity, m2 s-1
g Gravitational acceleration, m s-2
h Heat transfer coefficient, W m-2 C-1
k Conduction coefficient
l Length, m
m Mass rate, kg s-1
Mv Molecular weight, kg mol-1
Nu Nusselt Number
Pv,i Vapor pressure, Pa
Q External heat flux of wetted wall, W m-2

Re Reynolds number
T Absolute temperature, K
uG Axial velocity, m s-1
vG Transverse velocity, m s-1
w Mass fraction
Greek Symbols
Thermal conductivity of the fluid, W m-1 K-1
Dynamic viscosity of the fluid, kg m-1 s-1
Subscripts
Cond Conduction
Conv Convection
f Surrounding fluid
G Gas flow
L Water film
v Vapor
References
1. Tsay YL, Lin TF, Yan WM (1990) Cooling of a falling liquid film through interfacial heat and
mass transfer. Int J Multiphase Flow 16(5):853865
2. Yan WM, Lin TF (1991) Evaporative cooling of liquid film through interfacial heat and mass
transfer in a vertical channel numerical study. Int J Heat Mass Transfer 34:11241191
3. Yan WM (1992) Effects of film evaporation on laminar mixed heat and mass transfer in a
vertical channel. Int J Heat Mass Transfer 12:34193429
4. Agunaoun A, Daif A, Barriol R, Daguenet M (1994) Evaporation en convection force dun film
mince secoulant en regime permanent laminaire et sans onde sur une surface plane incline. Int J
Heat Mass Transfer 37:29472956
5. Abu-Hijleh BAK, Mousa HA (1997) Water film cooling over the glass cover of a solar still
including evaporation effects. Energy 22:4348
6. Feddaoui M, Belabmidi E, Mir A, Bendou A (2001) Numerical study of the evaporative cooling
liquid film in laminar mixed convection tube flows. Int J Therm Sci 40:10111020
7. Hongfei Z (2001) Experimental study on an enhanced falling film evaporation air flow absorp-
tion and closed circulation solar still. Energy 26:401412
Chapter 37
Environmental Friendly Food Smoking
Technologies
Aydin Killic, Haydar Kucuk, and Adnan Midilli
Abstract This study deals with the development of the food smoking technologies
for environmental friendly unit operations. Smoking process include some different
unit operations such as salting, drying and smoking. In this regard, the last innova-
tive studies on the smoking technologies first defined. Second, the main environ-
mental characteristics of unit operations in smoking process are discussed. Third,
some sustainable strategies for improving the smoking process and minimizing the
environmental impact are developed. Finally, a case study, including the cold air
assisted salting, drying and smoking of the food, is presented by considering some
food quality and safety parameters. Finally, the results show that the best method
reduced environmental impact is the low temperature assisted brining, drying and
liquid smoking. In summary, the low temperature process assisted production
techniques are potential techniques for food smoking industry in order to achieve
better product quality, safety and reduced environmental impact.
Keywords Food Salting Drying Smoking Environment
37.1 Introduction
The impacts of food production systems are an important environmental problem in

food industry. Some of the global issues launch the environmental changes and
reduce the environmental sustainability. Particularly, in order to reduce the envi-
ronmental effects in the food industry, the useful projects, plans, programs, policies,
strategies and technologies should be taken into consideration [1]. In order to
perform these targets, one of the best ways is to develop, first, an acceptable
chain defining well the environmental pollution and its effects. The second way is
A. Killic (*)
Department of Food Engineering, Faculty of Engineering, Recep Tayyip Erdogan University,
Rize 53100, Turkey
H. Kucuk A. Midilli
Energy Division, Department of Mechanical Engineering, Faculty of Engineering,
Recep Tayyip Erdogan University, Rize 53100, Turkey

558 A. Killic et al.
to expose an applicable strategic program indicating the most important steps to

increase the food productivity, safety and quality. The researchers, scientists and
manufacturers dealing with the food productivity, safety and quality should try to
minimize the environmental effects in food industry and, in this regard, develop and
expose some food production technologies to struggle the effects of the environ-
mental change. The food industries require high quality standards for better con-
tributing to the manufacturers, and improving the product quality. This industry
also requires the environmentally friendly production technologies as well as food
smoking technologies.
Smoking is used to the preservation and flavoring of perishable food. This food
process technique is considered one of the oldest preservation methods in food
industry. In order to increase the product quality and minimize the environmental,
the optimal smoking technology and the high quality production method should be
identified. Regarding smoking method, the low temperature process cycle is impor-
tant to take into consideration for fighting the environmental impacts and decreas-
ing the environmental pollution.
Food smoking method include common unite operations such as the salting,
drying and smoking. The applications of these unit operations increase to the shelf-
life of product as a result of the combine effect. The optimization of the individual
unit operations involved in salting, drying, smoking with respect to increased
processing yield is an important factor in food sector [24].
Salting: as a first unit operation of smoking process, salting is one of the oldest
preservation method used to be in food industry. This process is important for the
food safety and sensory characteristics. Biomaterial absorbs salt rapidly in case the
higher temperature of salting process. However, a standard brining in low temper-
ature give a results for product quality and safety. Salting in a cold store is also a
good way to keep brines cool. Brining temperature may be a hazard critical control
point if brining times are over 34 h [5, 25].
Drying: as another unit operation of smoking process, there are four primary
methods used to be in food industry such as hot, cold, spray, vacuum and freeze
[6]. Hot air drying can be applied for the solid foods like vegetables, fruit and
muscle food; Spray drying can be used for liquids and semi-liquids like milk; cold
drying can be used for semi drying process and the most sensitive foods; vacuum
drying process can be used for the liquids and freeze drying process can be applied
to a large variety of foods. It can be said that, during drying, moisture content is
reduced until a safe level in which there is some biochemical, physical and
microbiological quality lost by microorganism, enzymes and other agents. Drying
processes can be conducted at high temperature and short time (HTST), Low
temperature high velocity (LTHV) and at low temperature and long time (LTLT)
[69]. In this regard, many types of dryer providing different air temperature and
velocity can be used. In this study, cyclone type cold air dryer is used as a key study.
In the thermal processes of perishable foods and cooling is employed as one of the
preservation techniques to prevent their spoilage and maintain their quality
[22]. Under all these considerations, it can be explained that food drying is a typical
37 Environmental Friendly Food Smoking Technologies 559
process of heat and moisture transfer which induces changes in biological products
undergoing drying [9, 10].
On the other hand, the smoke is produced by hard wood material burning that has
environmental pollutants such as polycyclic aromatic hydrocarbons (PAH). An
alternative method to smoking is the use of liquid smoke (LS). Ls is a liquid form
of smoke as a food additive. This smoking method is used as a flavorings agent that
has not any environmental emission during food production. This process is made
without any fire, smoke and dust. Soon there will be only one smoke flavor,
artificially produced by a uniform condensation method in which fresh smoke is
condensed in water and then purified. Because of the purification process, the use of
smoke flavoring is considered less of a health concern than the traditional smoking
process [11].
It was presumed that the liquid smoking process, that under controlled burning,
decreases the emissions of pollutants to the environment. The LS system isnt
producing any emission and tars to the environment. LS process could replace the
traditional hot and cold-smoking [11]. Computerized smoking chambers with
external smoke generators, and emission and temperature control systems, have
replaced direct flue gas smoke which used more traditional smoking kilns [11,
12]. From an environmental view point, smoking with pyrolytic flue gases is not
very favorable as it produce polyaromatic hydrocarbon (PAH) emissions to the
environment. PAH are commonly considered to be a risk of carcinoma and, as these
also end up in the finished product after traditional food smoking [11, 13]. The
content of PAH was lower in liquid-smoked fish at 4 C than in traditionally
smoked fish. The use of them has many advantages compared to traditional
smoking techniques. The amount of toxic compounds contents deriving from
burning of hard wood sawdust can be controlled in the smoke flavorings of food
products. In order to produce safe food products, the European Regulation requests
data on the composition and lays down, the maximum permitted concentrations for
PAH. According to the new rules of EU Food Commission, the food flavorings
process is imposed as a liquid smoke without fire [11, 1416].
On the other hand, the product quality and safety of the smoked food is greatly
influenced by smoking conditions. Low temperature process conditions have a
positive influence on the quality of biological materials, which have harmful effects
on quality. For example, cold air drying of fish minimizes fatty acid oxidation and
reduces protein denaturizing because low-temperature drying process gives a lower
nutrient degradation [8]. During low temperature drying, lipid oxidation and anti-
oxidant losses in food material can be reduced by short drying times and low
temperature. In this regard, this type of process aims at minimizing the chemical
degradation reactions can be viewed as the decomposition of a particular chemical
compound [9, 17].
Under these important considerations, the main targets of this chapter is to
investigate the appropriate minimization ways to reduce the effects of the environ-
mental impacts of food smoking process by applying low temperature assisted
salting, drying and smoking process technique. Consequently, in order to minimize
to the environmental impacts and quality lost, the best way is to encourage the use
of the food smoking techniques causing less environmental effects, and to apply the
low temperature process with liquid smoking.
37.2 Environmental Aspects of Food Smoking
37.2.1 Food Smoking Cycle
Some smoked food products as below;

1. Meat products,
2. Poultry products,
3. Seafood,
4. Dairy products,
5. Composite foods,
6. Bakery products,
7. Cereals products
Ls is a liquid form of smoke as a food additive. This smoking method is used as a
flavorings agent that has not any environmental emission during food production.
Liquid smoke is produced by controlled thermal degradation of hard wood sawdust
by the limited oxygen condition [15].
Smoke production cycle include tree step;
1. Pyrolysis of hard wood sawdust,
2. Condensation of wood smoke,
3. Refining of liquid smoke [15].
Every these steps have too many environmental impacts because of the complex
chemicals mixtures [15].
Figure 37.1 presents common food smoking steps.
Figure 37.1 presents the common food smoking cycle that includes industrial
environment. As shown in this figure, all production steps can produce environ-
mental impacts. The emissions including greenhouse gases, liquid and solid pol-
lutants can be produced during the processes. Thus, these emissions can pollute the
land, air and water. After the environmental pollution, a global warming effect and
public health risks can be produced on the industrial environment. Therefore, it is
recommended that emission free unit operations such as low temperature process
and liquid smoking should be utilized in the food smoking cycle in order to decrease
the environmental [1].
Cooling/
Slaughtering Washing Trimming Mixing
Thawing
Washing
Home
preparation
ENVIRONMENT
Salting/
Transporting Brining
Packing/ Filling/
Cooling Smoking Drying
Storage Washing
Fig. 37.1 Common food smoking life cycle (modified from [1])
37.2.2 The Food Smoking Process and Environmental

Pollution
There are two common methods of smoking process such as traditional (Hot
smoking and cold smoking) and mechanical method. The traditional method
involves the food being practiced in smoke cabinet by the slowly smouldering of
hard wood sawdust. The traditional smoking process has high environmental
impacts such as heat and pollutant. On the other hand, the mechanical smoking
process is generated through the use of a hard wood smoke concentrates by turning
smoke into a solid or liquid form.
Wood sawdust contains some hazardous materials such as carbon monoxide,
phenols, and polcyclicaromatic hydrocarbons. The environmental pollution level of
a smoke kiln was investigated in an experimental study. According to this study, by
the drying of 1,000 kg finished product emitted 0.3 kg CO, 0.15 kg inorganic
particle and 0.2 kg carbon. Soot and tar compounds deposited on the chamber
walls the smoking Peru is a strong alkaline funds from which follows a large
consumption of water and high organic load of wastewater [18].
Figure 37.2 shows the environmental pollution impacts of food smoking process.
37.3 Environmental Friendly Fish Smoking: A Case Study
Smoking processes are the oldest process technique and common unit operations in
food industry. Salting is a preliminary operation in some smoking, drying and
marinating processes that have been mostly empirically developed. Optimization
of the individual unit operations are important factor in the food industry [3, 19].
Fish muscle absorbs salt more rapidly at high process temperature. On the
other hand, the standard Lt brining process has a preservative characteristic and
ENVIRONMENTAL IMPACTS OF FOOD SMOKING PROCESS
Hot smoking Cold smoking Liquid smoking
Thermal impacts, Air pollutant, Solid pollutant,

Air pollutant, Solid pollutant, Liquid pollutant,
Solid pollutant, Liquid pollutant,
Liquid pollutant,
ENVIRONMENTAL IMPACTS OF FOOD SMOKING PROCESS
Environmental Effects
Global Warming Global Pollution Global Cooling
Increasing pollution hazard
Decreasing food safety
Fig. 37.2 Environmental pollution effects of food smoking process (modified from [1])
environmental impact technologically. The brining in a cold cabinet is also a good

way to keep brines in a standard low temperature. In addition, a slowly salt transfer
has a positive effect on food quality. In this regard, Lt brining process has tree
positive effect including food quality, food safety and environmental benign
[5]. During this study, a cold process cabinet was used for the salting process like
as an environmental friendly unit operation.
On the other hand, drying is considered a common unit operation in many
processes. The removal of moisture prevents the growth of microorganisms and
minimizes many of the moisture mediated deteriorative reactions in food. There are
four primary methods of drying [6, 9, 20, 21]. During the drying application,
moisture content is decreased until a safe level in which there is a minimum
spoilage caused by microorganism, enzymes and many other agents. Many types
of the dryer providing cold air or hot air can be used for the practical applications.
In this study, a cyclone type cold air dryer is used as an environmental friendly
process. In the thermal processes of perishable foods, cooling is employed as one of
the preservation techniques to prevent their spoilage and maintain their quality as
environmental benign technology [9, 10, 22].
37.3.1 Assumptions
Firstly, it is expected that cold brining (4 C) process will contribute to improve

the total quality of biomaterial.
Second, it is expected that cold drying (4 C) process will contribute to improve
the total quality of biomaterial and decrease environmental thermal impact.
Third, it is expected that liquid smoking (4 C) decrease environmental solid
pollutants.
Finally, it is expected that liquid smoking (4 C) decrease environmental air
pollutants.
37.3.2 Experimental Parameters
In order to investigate process conditions of liquid smoked fish samples and to find
an appropriate practical solution to production parameters for fish quality, all
production steps were performed at 4 C. During the cold drying process, the
constant drying air velocity was 7 m/s. When the each smoking experiment was
performing, the following were measured at every half an hour for each control
point (CP) [1].
1. Temperatures,
2. Air humidity,
3. Drying air velocity
4. Weight loses of the product.
As fish quality indicators, the fallowing parameters are selected;
Common physical and chemical parameters;
1. aw
2. pH
3. Total volatile basic nitrogen (TVB-N)
4. Thiobarbituric acid reactive substances (TBARS)
Microbiological parameters;
1. Total Viable Count (TVC)
2. Total Psychrophilic Count (TPC)
3. Total Yeast and Moluld (TYM) [1].
37.3.3 Materials and Methods
37.3.3.1 Cold Brining (Cb) and Liquid Smoking (Ls) Procedure
Rainbow trout (Oncorhynchus mykiss) Horse Mackerel (Trachurus trachurus),

Striped sea bream (Lithognathus mormyrus) were used as a raw material for Cold
brining (Cb) and Low Temperature (LT) assisted Liquid smoking (Ls) process. The
selected raw fish samples were slaughtered, gutted, trimmed and washed at 4 C.
Then the other fish samples were brined (100 g NaCl-1) for ~8 h at 4 C at a ratio 1:2
(fish:brine) before cold air assisted liquid smoking process. The final salt content of
the fillets was average ~2 g/100 g. During the brining process, fish samples were
individually weighed. The weight of fish fillet was identified to calculate yield at
each hour of the brining process. On the other hand, the total weight changes
(M ), should be equal to the sum of the water and NaCl content as weight changes
(Mw and MNaCl). The total water and NaCl weight changes of brine (M , Mw
and MNaCl, respectively) were calculated. After the fish brining process, all
samples were liquid smoked (Ls) (%3, 20 s.) [2325]. Figure 37.3 presents Ls
fish production flow diagram during the processes.
Experimental setup was constructed in a cold air cabinet. Figure 37.4 presents
low temperature high velocity drying method (LTHV) assisted smoking unit: Cp:
Control point, L: Layer (Modified from [9, 25]).
In order to investigate drying conditions of fish samples and to find an appro-
priate solution to drying problems for quality, Lt drying experiments were
performed at 4 C for constant drying air velocity (7 m/s). Figure 37.4 presents to
the control diagram of Lt smoking process parameters.
The cold-air evaporator, which is one of the most important parts of the
experimental set up, was used as a cooler in the liquid smoking production system.
There were tree separated cupboard for every unit operation including Cb, Ls and Lt
drying (LTHV). Before smoking production, the initial moisture contents of fish
samples were determined as below: an average 10 g of the raw material was put
down in an oven, and kept there at 105 C throughout equilibrium moisture in
percentage. aw values (Water activity) were measured using an Aqua Lab Model
cx2 (Sensitivity 0.003) [9].
The experimental analyses were started and the following methods were
repeated in each study. Fresh fish samples was carefully cleaned, trimmed and
placed as 200 g samples into the middle tray as a 2.5 mm thin layer. The study was
performed as single layer. In this regard, 1st and 2nd trays were left empty so that air
velocity could be homogeneously diffused to the product. In the experiments,
temperature of the evaporator was controlled by a thermostatic sensor. The cold
air was contributed by a radial fan that the air passing through the cooler evaporator.
In the Lt assisted drying, temperature was monitored with a temperature controller
[9]. During each drying experiment, the measured were parameters at every half an
hour as below;
Raw Material
Rainbow Trout (O. mykiss)
Horse Mackerel (T. trachurus)
Striped sea bream (L. mormyrus)
Transportation
Sampling
point (R)*
Trimming and filleting

Sampling
point
Brining
Fish fillets were immersed in liquid brine at
4C for 8 hours
Sampling
point (B)*
Rinsing with fresh water and Liquid smoking process

Water and liquid smoke ratio %3, 20 s
Sampling
point (S)*
LTHV Drying process

Drying at (4C, Average drying loss %10)
Sampling
point
(DLTHV)*
Storage
Sampling point
(0, 10, 20, 30 day) Storage at 4C
Fig. 37.3 Ls Fish production flow diagram: During the processes (*R: Raw material; B: Brined;
Cb; cold brined Ls: Liquid Smoked: DLTHV; LTHV dried) (modified from [25])
1. Relative Humidity: all values of humidity were measured with a METTLER

model digital infrared humidity meter at various control points of the system,
with reading accuracy of 0.01 C), which are cold store humidity (RHs),
evaporator outlet humidity (RH1), dryer inlet humidity (RH2), tray inlet humid-
ity (RH3), tray outlet (RH4) and dryer outlet humidity (RH6). Figure 37.5 shows
the parameter control diagram of cold air assisted thin layer drying unit
(Modified from [9, 25]) (Modified [1, 26]).
Fig. 37.4 Low temperature (Lt) assisted smoking unit: Cp: Control point, L: Layer (Modified
from [9, 25])
Cold air out
Drying
Cooling Cupboard
Unit
Control Points (CP)
Temperature (T), Layer 1
Humidity (RH)
Layer 2
Velocity (V)
Salting Smoking Cold air inlet

Cupboard Cupboard
Radial
Fan
Fig. 37.5 Parameter control diagram of cold air assisted thin layer drying unit (Modified from
[9, 25]) (Modified [1, 26])
2. Cold Drying Temperatures: The temperatures during drying process were iden-
tified with a METTLER model digital infrared thermometer such as;
Cold store temperature (Ts),
Evaporator outlet temperature (T1),
Dryer inlet temperature (T2),
Tray inlet temperature (T3),
Tray outlet temperature (T4),
Dryer outlet temperature (T6).
3. Cold Air Velocity: a TA-2 model automatic digital thermo anemometer was used
to velocity identification at various control points of the drying system, with
reading accuracy of 0.01. The velocities are measured such as;
Evaporator outlet (V1),
Dryer inlet (V2),
Tray inlet (V3),
Tray outlet (V4),
Dryer outlet (V6).
4. Samples Weight Loss: this process parameter was carefully weighed by using
two sensitive digital balance, with reading accuracy of 0.01 C [9].
37.3.3.2 Experimental Procedure
After Lt assisted Ls process, the produced Ls fillets were analyzed to determine the
chemical, microbiological properties as well as quality indicators and shelf stability
[9]. After production process of the product, all fish samples analyzed for the
moisture, crude lipid, protein, ash, pH, salt, Water activity (aw), condition factor,
total volatile basic nitrogen (TVB-N), thiobarbituric acid reactive substance
(TBARS) content, total viable count (TVC and mould (TYM) at the beginning of
cold air drying process. LTHV assisted Cb and Ls samples were stored at 4 C and
analyzed at each 10 day of the storage time (010 to 2030) [25].
37.4.1 Environmental Friendly Strategies Improving

Food Quality and Safety
Food quality and safety are very important to the public health. Therefore, the
negative effects on the raw food materials should be reduced by applying some
environmental friendly food production strategies. Figure 37.6 shows the results of
the increasing pollution and some sustainable strategies for the food quality and
safety.
Effects of Increasing Pollution of Agricultural Ecosystems
Decrease in Raw food Decrease in Food Quality and

Production Safety
Strategies to increase food quality and safety
Industrial Process Required Strategies
Maximize
Common Unit Raw Food Fresh consumption
Operations Material
Maximize local
production
Smoking Cultivation Eating local produced
food
Drying Harvesting
Maximize renewable
energy in process
Cooling Fertilize
Minimize processed
Irrigation food product
Freezing
Minimize
packaged food
Boiling Fertilize
Maximize organic
Frying Trimming production
Maximize organic food
Cooking Digestion consumption
Minimizing food
Pasteurization Separation transport distance
Minimize cold storage

Sterilization Washing
Minimize fossil energy
Packing consumption
Filtration
Fig. 37.6 Increasing pollution and practical sustainable strategies for food production, quality and
safety (modified [27, 28, 29])
37.5 Results of the Case Study
Considering the main advantages of the unit operations of food processing systems,
it can be said that Lt process technology can be assumed as one of the environ-
mental friendly food processing technique. Applying this technology, the following
results have been observed. Variation of temperature at 4 C of cold air drying
temperatures at 7 m/s was recorded during the experimental process. The values
showed a good stability in the cold dryer. In order to determine the effects of thin
layer cold drying on fish quality, the experimental applications were carried out by
using the experimental set-up in the Biology laboratory of Nigde University. In this
regard, before the properties indicating the fish quality were determined and
discussed in detail, the parameters such as weight loss, dimensionless mass loss
and moisture content of fish were identified [24, 25].
37.5.1 Cb Characteristics of Liquid Smoked Ls Fish
As shown in Fig. 37.7, the effect of fish species on the salt diffusion was not
significant (p > 0.05). The salt content of fish fillets was average 2 % at 4 C of 8 h
(10 g-l Na Cl). The differences in the salt contents werent significant in fish species
(p > 0.05) [24]. The NaCl content was 2,1 for trout, 2,2 g/g for mackerel and 2,2 g/g
for bream at the end of the brining process. On the other hand, Gallart-Jornet
et al. [23] found that, the NaCl content of cod and salmon was 0.152 w/w for cod
Lt Brining (4C)
0.24
0.20
0.16
NaCl (wb) (%)
0.12
Trout (Ls)
0.08
Mackerel (Ls)
0.04 Bream (Ls)
0.00
0 5 10
Time (h)
Fig. 37.7 NaCl content of fish fillets as a function at 4 C (modified from [24, 25])
LTHV drying 4C
100
75
Weight loss (%)
50
25 Trout (Ls) Mackerel (Ls) Bream (Ls)
0
0 10 20 30
Time (h)
Fig. 37.8 The weight loss of fish samples versus drying time at 4 C of cold air drying temperatures
for Rainbow Trout, Horse Mackerel, Striped sea bream fillets at 7 m/s (modified from [24, 25])
and 0.106 w/w for salmon at the end of the brining process at 4 C. A clear effect of
brine concentration was found on the fish fillets during the brining [24, 25].
Figure 37.7 presents to the variations of NaCl in fish muscle as a function of
brining time at 4 C [24, 25].
37.5.2 Drying Characteristics of the Lt Assisted Ls Fish
Based on the experimental data, the single layer cold air drying curve equations for
fish samples were found to be [24, 25]:
M t 0:94 exp0:15t for Rainbow Trout O: mykiss at 4 C 37:1
M t 0:95 exp0:13t for Horse Mackerel T: trachurus at 4 C 37:2
M t 0:97 exp0:15t for Striped sea bream L: mormyrus at 4 C: 37:3
Figure 37.8 shows to the weight loss as a function of drying time for Rainbow
Trout, Horse Mackerel, Striped sea bream based on drying air temperatures at 7 m/s.
The corresponding exponential equation showed a good harmony with the exper-
imental results in the cold air dryer. Consequently, it can be said that the drying
curves follow the same trend and show a decrease by the increasing time [24, 25].
The weight of Lt dried samples decreased to ~ %50 at 4 C in a drying time of
28 h. It was mean while observed that the fish fillets were slowly lost their weights
Table 37.1 Quality characteristics of Lt assisted Ls fish 4 C (Modified from [24, 25]
Quality parameters
Experimental groups TVB (mg/100 g) TBA (mg MA/kg) TVC (log cfu/g)
Trout (O. mykiss) R 19 0,7 1,2
Cb 19 0,7 1,9
Ls 19 0,7 1,4
D 19 0,8 2,4
Horse Mackerel (T. trachurus) R 18 0,3 1,7
Cb 19 0,9 1,3
Ls 18 0,5 1,5
D 19 0,6 2,5
Striped sea Bream R 18 0,3 1,7
(L. mormyrus) Cb 19 0,8 1,3
Ls 18 0,5 1,5
D 19 0,6 2,5
R Raw, Cb cold brined, Ls liquid smoked, D dried (n 10)
at drying temperature of 4 C. The other fish species had the almost the same
moisture content at the same drying velocity and drying temperature. A significant
differences werent observed for the other fish species (p > 0.05) [24, 25].
37.5.3 Ls Fish Quality and Safety
Total volatile basic nitrogen (TVB-N) is one of the common chemical quality
parameter that is widely used for evaluation of the indicator of muscle food
spoilage. TVB-N value as quantitative quality indicator of the dried fish samples
was also determined for each experimental fish group. Based on the experimental
data, it was identified that the TVB-N value had a significant results in all fish
group. It was noticed that the fish samples cold smoked and dried at 4 C had the
lowest TVB-N value. The cold air drying process have a positive effect on the dried
fish quality. Table 37.1 shows some quality aspects for Lt assisted Ls fish [24, 25].
Thiobarbituric acid reactive substances (TBARS) value showed significant dif-
ferences between the experimental groups (Table 37.1.). Moreover, it was observed
that the mackerel and bream had the least TBARS value while the TBARS was
higher for trout dried at temperatures of 4 C. Consequently, it can be said that cold
air drying process have a positive effect on the lipid quality of Lt assisted Cb and Ls
fish samples. As another quality indicator, total viable counts (TVC) remained
stable in the experimental fish groups dried at 4 C for 28 h [24, 25].
Figure 37.9 presents the variation of TVC (log cfu/g) content of Lt assisted Ls
trout samples as a function of process steps and storage periods at 4 C. As given in
Fig. 37.9. TVC values of trout samples more stable at 4 C. This differences were
significant statistically (p < 0.05).
Trout LTHV 4C
TVC (log cfu/g) 4
0
R Cb Ls D 0 10 20 30
Process Steps and Storage Time (h)
Fig. 37.9 TVC (log cfu/g) content of Lt assisted Ls trout samples as a function of process steps
and storage periods at 4 C (modified from [24, 25])
4 Mackerel LTHV 25C

TVC (log cfu/g)
0
R Cb Ls D 0 10 20 30
Process Steps and Storage Time (day)
Fig. 37.10 TVC (log cfu/g) content of Lt assisted Ls mackerel samples as a function of process
steps and storage periods at 4 C (modified from [24, 25])
Figure 37.10 present the variation of variation of TVC (log cfu/g) content of
LTHV assisted Cb and Ls mackerel samples as a function of process steps and
brining time (day) at 25 C [24]. As a shown in Fig. 37.10, TVC values of mackerel
samples more stable at 4 C like as trout. This differences were significant statis-
tically (p < 0.05) [24, 25].
Thus, it is said that Lt assisted Ls technique applied at 4 C contributes to
improve the microbiological quality and shelf life of the smoked fish (p < 0.05)
[24, 25]. Figure 37.11 shows TVC (log cfu/g) content of Lt assisted Ls
bream samples as a function of process steps and storage periods (modified
from [24, 25]).
5
Bream LTHV 4C
TVC (log cfu/g) 4
0
R Cb Ls D 0 10 20 30
Process Steps and Storage Time (day)
Fig. 37.11 TVC (log cfu/g) content of Lt assisted Ls bream samples as a function of process steps
and storage periods at 4 C (modified from [24, 25])
37.6 Conclusion
In this study, the required environmental benign low temperature drying, brining
and liquid smoking applications for improving the food quality, safety and sustain-
ability have been presented. In order to experience the advantage of the low
temperature assisted brining, liquid smoking and drying process, a case study
has been investigated. Based on the experimental results, the following conclusions
are drawn;
Considering the results, it can be said that one of the most appropriate technique
for better food quality and sustainability is the Cold brining (Cb),
low-temperature high-velocity (LTHV) drying and liquid smoking (Ls) method.
In this regard, it is recommended that the Cb, LTHV and Ls process methods as
common unit operations to be an environmental friendly food process technique
for food quality, safety and sustainability in practical applications.
As an important result of this technology, although the values of TVB-N,
TBARS and of the fish fillets at 4 C have the low values. Therefore, the better
drying air temperature has been selected to be 4 C because fish samples dried at
this temperature had the lower values for the quality loss.
Final moisture content of fish samples is average 27 % (wb) at 4 C for constant
drying velocity of 7 m/s during cold air drying process.
According to the results of the case study, it can be said that one of the most
appropriate technique for better food quality and sustainability is Cb and
low-temperature high-velocity (LTHV) drying assisted Ls method with the
least environmental impacts.
Finally, it is investigated that the application of cold salting, drying and liquid
smoking can be applied to increase total quality of muscle foods. Accordingly, it is
recommended that the Lt assisted Cb and Ls application should be used in food
industry due to food safety, food quality and environmental benign characteristics.
Moreover, it is expected that the strategies and programs for the food processing
systems will contribute to the food literature.
Acknowledgement The authors acknowledge the support provided by Nigde University in

Turkey.
Nomenclature
LTHV Low Temperature High Velocity

LLTHV Liquid smoke assisted LTHV
Ls Liquid Smoking
Cb Cold Brining
aw Water activity
CP control point
M weight loss, kg
Mt weight of fish at t, kg
Mo weight of fish at t 0, kg
Me weight of fish in equilibrium state, kg
Mt+t moisture content at t + t, kg water/kg dry matter, wb
t time, h
W moisture content, %
v the constant of drying velocity, h-1
F Fresh fish
B Brined fish
C Group control
db Dry Basis
wb Wet Basis
TVC Total viable count
TPC Total psychrophilic count
TLC Total lactic acid bacteria
TYM Total yeast and moluld
TVB-N Total volatile bases nitrogen
TBARS Thiobarbituric acid reactive substance
WPS Water phase salt
MA Malonaldehyde
h hue
db Dry bases
Nd Not defined
wb Wet bases
Ch Chroma
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Chapter 38
Impact of Shape, Occupation and External
Parameters in the Overall Thermal
Performance of Office Buildings
in Santiago, Chile
Claudio Vasquez, Alejandro Prieto, and Carlos Aguirre
Abstract Office buildings in Santiago do not respond adequately to their climate

context, which brings issues of discomfort at indoor spaces or high energy con-
sumption in order to achieve comfortable conditions. The paper intends to establish
certain relationships between several parameters registered on different office
buildings in Santiago in order to address the issue about how different variables
related to design and operation of the buildings impact on its overall performance.
This is carried out via Principal Component Analysis of selected parameters
registered inside several floors within representative office building types present
in the city. Preliminary findings suggest that internal conditions hold no relation
with external parameters due to the reliance on active air-conditioning systems; or
with shape parameters registered on-site. On the other hand it is possible to identify
occupation as a key parameter on workspace thermal performance and overheating
as a relevant issue to consider at design stages.
Keywords Facade Office building Comfort
38.1 Introduction
Since the last decade of the 20th century, the development of office buildings in
Santiago has been growing increasingly promoted by private investors. This issue
has allowed the generation of important processes of technological transfer on
construction methods followed by a consequent sophistication of building compo-
nents. This becomes more apparent by looking the development of facade systems
and solutions. The amount of office buildings that consider curtain-wall as its
principal facade system reaches to 64 % on all the buildings constructed in the
last decade (considering only high-standard office buildings) (Fig. 38.1).
C. Vasquez (*) A. Prieto C. Aguirre

Pontificia Universidad Catolica de Chile, 1916 El Comendador street, Santiago 7530091, Chile

578 C. Vasquez et al.
Fig. 38.1 Facade systems

present on high-standard
offices buildings
constructed in Santiago
from 2003 to 2011
Nevertheless, the high standards of technical aspects of construction in office

buildings are not correlated with high standards on indoor environment conditions
nor the amount of energy required for their operation under comfortable levels.
Mainly, the buildings are characterized as slender shape prisms with high window-
to-wall ratio, low thermal mass and very little use of solar protection on facades,
which does not relate directly with the climate conditions of Santiago.
According to Koppens climatic classification, Santiago has warm temperate
climate with a dry summer, like California, North Africa, the Mediterranean zone
and the Persian Gulf. This means a short period of winter rains and a long dry
season. The thermal oscillation reaches to 13 C between the warmest month
(January) and coldest (July) and 1416 C between daily maximum and minimum.
Moreover the levels of radiation in the horizontal plane are between 1.380 and
1.666 kWh/m2 year, equivalent to Chiles northern desertic coastal zone.
It is established as a hypothesis for the present research that office buildings in
Santiago do not respond adequately to their climate context, which brings issues of
discomfort at indoor spaces or high energy consumption in order to achieve
comfortable conditions. However, there is few information on how does the build-
ings operate in terms of indoor ambient quality and how the different variables
related to the design and operation of the building impact on the overall
performance.
The paper intends to establish certain relationships between several parameters
registered on different office buildings in Santiago, in order to respond the questions
formulated and therefore be able to contribute to a general knowledge associated
with the design and operation of offices buildings in the city.
The analyzed parameters are characterized according to the following groups
(Table 38.1):
External parameters: The knowledge of the climate conditions of a specific
region is basic to understand the phenomenon which should be taken care for in
the design of any building, in order to generate comfortable indoor conditions.
The preliminary analysis considers the study of the thermal environment so it
38 Impact of Shape, Occupation and External Parameters in the Overall Thermal. . . 579
Table 38.1 Analyzed parameters by group

External Internal Int/Ext differential
External Temp (inst) Internal Temp (instantaneous) Temp differential (ext/int)
AVG External Temp last AVG Internal Temp last 8 h Rel. Humidity differential
8h (ext/int)
Solar radiation (inst) Internal Relative Humidity Thermal comfort index (yes/no)
(inst)
AVG Solar radiation last Internal Rel.humidity last 8 h
8h
External rel.humidity (inst)
External rel.humidity last
8h
Occupation Shape Months
2
Day type (workday/weekend) Floor area (m ) October
Internal gains: Occupation (kWh) Exposed facade area (m2) November
Internal gains: Lighting (kWh) Floor height (m) December
Internal gains: Equipment (kWh) Floor volume (m3) January
Internal gains: total (kWh) Floor Shape factor (m2/m3) February
Internal gains: total/floor area (kWh/m2) Facade area/Floor volume (m2/m3) March
comprehends the external parameters related directly with it, such as tempera-
ture, relative humidity and solar radiation.
Internal parameters: For the analysis presented on this paper, only thermal
characteristics of the indoor environment were considered. The measurement
of temperature and relative humidity at offices is being carried accordingly to
international measurement and verification protocols developed by several orga-
nizations such as EVO (Efficiency Valuation Organization) and NREL (National
Renewable Energy Laboratory) [1, 5]. The importance of adequate thermal
indoor conditions has been registered on standards [13, 14], and has been
evaluated specifically on workspaces on several research projects via surveys,
such as the BUS method and PROBE project [9], and the realization of on-site
measurements like the ones conducted under the HOPE project [2] and other
similar studies [4, 10].
External/internal differential parameters: These set of data comprehend param-
eters constructed from the ones described above, to evaluate the difference
between the internal and external conditions and comfort level of the indoor
environment. To achieve this a thermal comfort index is included in the
analysis as a dummy variable. This is a yes/no index that indicates if the
instantaneous temperature and relative humidity are within comfort range.
Occupation parameters: Occupation role in thermal indoor conditions has been
researched on office buildings by several investigators, following the initial
investigations led by Francis Duffy, distinguishing work patterns and their
consequently comfort levels among employees [3, 7]. On the current stage of
analysis of the study cases, internal occupation is considered via internal gains,
trying to relate it to the thermal performance of indoor space. It is distinguished

between occupation, equipment and lighting gains via on-site registry of the
conditions. Also, a dummy variable called day type factor is included on the
analysis. It is a 0/1 value given to the day measured if it correspond to a weekend
or a work day respectively, so it correlates directly to internal gains parameters.
Shape parameters: The buildings were previously characterized as part of the
selection process of the study cases. Some indicators well recognized on previ-
ous studies were utilized such as shape factor, window-to-wall ratio and floor
plan proportion [6, 11, 12]. However, given that analyzed cases correspond to
specific floors within several buildings, shape parameters included in the anal-
ysis refer to formal variables of the selected floors derived from the indicators
described above. For the characterization of the study cases, some general shape
parameters were utilized, such as floor area, volume and height. Also, two
parameters were included, derived from shape factor: A floor shape factor,
considering the relationship between surface area and indoor air volume (includ-
ing floor and ceiling area, not exposed to external variables); and another one
which relates exposed facade area and indoor air volume (thus considering only
exposed surfaces).
Month related parameters: Dummy variables that are included in the analysis to
comprehend any variation or anomaly on the performance of the building due to
external parameters not registered specifically.
38.2 Methodology
38.2.1 Methodology for the Measurement and Gathering

of Data
This paper is part of a general research which main objective is to establish a

baseline of post-occupancy energy consumption and indoor ambient quality of
office buildings in Santiago, Chile.
The methodology considers the continuous monitoring of several floors in four
office buildings for one year. The study cases analyzed were determined by an
extensive study of the buildings in the city which have been used for more than two
years, establishing their main characteristics in order to focus on representative
examples of the typology (Fig. 38.2).
There are three types of data considered that allow an overall assessment of the
performance of each one of the cases: Ambient parameters, energy consumption
and comfort perception. The ambient parameters allow comparing the state of the
exterior and interior space during occupied and unoccupied hours, in order to
understand the conditions under which the building operates, while energy con-
sumption readings and comfort surveys tell how much does this operation cost and
how it is perceived, respectively (Fig. 38.3).
Fig. 38.2 Selected study D

cases: Several floors in four
office buildings,
considering the installation
of a local weather station
A
C
10
15 WEATHER
STATION
23
6
N 2
14
Fig. 38.3 Measurement protocol for the main research. Only ambient thermal parameters are
considered on the first stage of analysis
This paper takes a particular aspect of the general research, showing the prelim-
inary findings at a first stage of analysis of data registered during spring and summer
seasons. The analyzed data consists in internal temperature and relative humidity
readings, gathered since October, 2011 until March, 2012, at intervals of 10 min;
and external temperature, relative humidity and solar radiation, measured by a local
weather station mounted on-site, considering the same sampling rate.
38.2.2 Methodological Aspects of the Analysis
To be able to visualize the relationship between the physical factors measured at the
interior environment of the offices, the external variables, and the operational and
design parameters of the building, the data is analyzed via Principal Component
Analysis. Besides the analytical aspects inherent to the method, it is also useful to
check that measured variables dont repeat information and therefore, they settle in
the dimensions identified in the theoretical framework.
The principal component analysis [8], sets the dimensions whose correlation is
zero on a set of data. In conducting this analysis, it is possible that measured
variables that are related with each other, are sorted and settle on different dimen-
sions which are known as underlying factors. In that sense, the hypothesis is that the
dimensions have a clear relationship between them, identifying the theoretical
dimensions considered on the measurement of the variables (temperature, humid-
ity, aspects related to internal gains, cyclical effects, etc.).
However, given the amount of data registered and the fact that it consisted on
temporal successive series, it was difficult to apply the method to analyze the entire
set. Therefore, as a first stage of results review, the analysis is carried out for cross-
section sets of data (considering temperature lag), in order to establish certain
relationships between the parameters under the same time constant and then
compare the results to evaluate changes through the day.
The analyzed cross-sections were carried out at 9:00 and 18:00, for every day of
spring and summer seasons (October to March). The election of the time frame for
the analysis considers two relevant moments on a typical day, the estimated start
and end of a work schedule. Besides, the conditions between those two moments are
considered via the inclusion of a dummy variable, which illustrates the average
internal temperature and relative humidity and the average values for the external
parameters from the past 8 h. The inclusion of this variable allows the comparison
between occupied and unoccupied moments of the day, as well as day and night
variations, which is a relevant topic considering the climate specific conditions of
Santiago, Chile.
The principal component analysis is conducted at the parameters registered at
9:00 and 18:00 separately, allowing an understanding of the resulting dimensions
and the relationships between the parameters for each time frame, and then compare
the results to evaluate possible changes through the day, in form of quantity and
order of the encountered relationships. Besides, the analysis is conducted separately
for each season in order to compare the results not only daily, but also considering
seasonal variations on the measured parameters (Fig. 38.4)
Fig. 38.4 Analysis methodology for the set of data
The Principal Component Analysis (PCA) conducted for the registered parameters,
shows several issues worth mention, concerning the groups obtained in the process
and the differences seen in the relationships between parameters when comparing
the analysis for each season and time of day: Spring 9:00 (A09), Spring 18:00
(A18), Summer 9:00 (B09), Summer 18:00 (B18).
First, the PCA shows concordance between the groups obtained and the type of
parameter, which means that the parameters are consistent to each other, so they
were measured correctly. Table 38.2 shows the PCA for all four analyzed situations
distinguishing the resulting groups (components) for each one, due to the presence
of coefficients of correlation of 0.5 or higher. The lack of data in one or more
columns means that such group doesnt exist for said situation. The analyzed
parameters are classified according to their type for better understanding of the
measured dimensions.
There are external parameters, measured on the meteorological station; internal
temperature and humidity parameters, measured inside each of the study cases;
parameters that describe the difference between inside and outside; occupation
parameters, such as day type (labour/non-labour) and internal gains; shape param-
eters; and finally, the months on which the study took place, converted on factors in
order to comprehend any variable associated with each month not directly
measured.
The external parameters are distributed on two components (1 & 2). All the
parameters are contained in the first group on spring season, but solar radiation
shows no relevant relationship with the rest (temperature and relative humidity) on
summer, at neither 9:00 nor 18:00, although it is highly related to January and
March, which conforms the second group of external variables.
The third group includes all the occupation parameters; and the fourth and fifth
all shape parameters, divided on two groups according to the different relationships
between them. The sixth and seventh groups include internal temperatures and
relative humidity parameters respectively, but they dont appear for all the analyzed
Table 38.2 PCA results for each model. Values over or below 0.5/ 0.5 are marked
1 COMPONENT 2 COMPONENT 3 COMPONENT 4 COMPONENT 5 COMPONENT 6 COMPONENT 7 COMPONENT 8 COMPONENT
584
(EXTERNAL) (EXTERNAL 02) (OCCUPATION) (SHAPE) (SHAPE 02) (INT TEMPERATURE) (INT HUMIDITY) (MONTHS)
PARAMETERS A09 A18 B09 B18 A09 A18 B09 B18 A09 A18 B09 B18 A09 A18 B09 B18 A09 A18 B09 B18 A09 A18 B09 B18 A09 A18 B09 B18 A09 A18 B09 B18
External Temp (inst) 0,9 1,0 0,9 -0,9 0,3 0,1 0,0 0,0 0,0 0,1 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,3 0,2 0,2 0,2 0,1 0,0 0,1 0,1 -0,1
AVG External Temp last 8 hrs 0,8 0,9 0,9 -0,8 0,0 0,1 0,1 0,0 0,1 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,4 0,2 0,2 0,2 0,1 0,0 0,0 0,2 0,0
Solar radiation (inst) 0,8 0,6 0,2 -0,1 0,9 0,9 -0,1 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 -0,1 0,1 0,1 0,2 0,0 0,3 0,3 0,0 -0,1
AVG Solar radiation last 8 hrs 0,8 0,8 0,1 -0,2 1,0 0,9 0,0 -0,1 0,1 0,0 0,0 0,0 0,0 0,0 0,1 0,0 0,0 0,0 0,1 0,1 0,1 0,1 0,0 0,4 0,2 0,0 0,1
EXTERNAL
External rel.humidity (inst) -0,9 -0,8 0,1 0,9 -0,1 0,1 0,0 0,1 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 -0,1 0,0 0,4 0,5 0,8 0,1 0,0 -0,2 0,1
External rel.humidity last 8 hrs -0,7 -0,9 -0,9 0,9 0,3 0,1 -0,1 0,1 -0,1 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 -0,2 0,1 0,6 0,4 0,2 0,1 0,1 0,1 0,0
Internal Temp (instantaneous) 0,3 0,1 -0,1 0,0 0,1 -0,1 -0,3 -0,9 -0,6 -0,9 -0,1 0,2 0,0 0,2 0,0 0,0 0,1 -0,1 0,8 0,7 -0,1 -0,1 -0,1 0,1 0,0 0,1 0,0
AVG Internal Temp last 8 hrs 0,3 0,2 0,0 0,0 0,0 0,0 0,1 -0,8 0,0 -0,9 0,1 0,0 0,3 0,0 0,2 -0,1 0,3 -0,1 0,8 0,8 0,0 -0,1 -0,2 0,1 0,0 0,1 0,0
Internal Relative Humidity (inst) 0,0 0,0 -0,5 0,5 0,3 0,3 0,1 0,5 0,1 0,6 0,0 -0,1 -0,1 -0,3 0,0 0,0 -0,1 0,1 -0,1 -0,2 1,0 0,8 0,5 0,0 0,0 0,3 0,1
INTERNAL
Internal Rel.humidity last 8 hrs 0,0 0,1 -0,5 0,6 0,3 0,3 0,0 0,5 0,0 0,5 -0,2 0,0 -0,3 -0,2 -0,1 0,1 -0,2 0,1 -0,1 -0,2 0,9 0,8 0,5 0,0 0,0 0,3 0,1
Temp differential (ext/int) -0,9 -0,9 -0,9 0,6 -0,2 -0,1 -0,1 -0,3 -0,3 -0,7 0,0 0,1 0,0 0,1 0,0 0,0 0,0 -0,1 -0,1 0,2 -0,2 -0,2 -0,1 0,0 -0,1 -0,1 0,0
Rel. Humidity differential (ext/int) 1,0 0,9 0,9 -0,7 0,0 0,1 0,0 0,2 0,2 0,4 -0,1 -0,1 0,0 -0,2 0,0 0,0 0,0 0,0 0,1 -0,2 -0,1 0,0 -0,1 -0,1 0,0 -0,1 0,0
INT/ EXT
Thermal comfort index (yes/no) 0,0 -0,1 -0,1 0,0 -0,1 0,0 0,2 0,8 0,3 0,9 -0,1 0,0 0,0 0,1 0,0 0,0 0,0 0,0 -0,4 -0,7 0,0 0,1 0,0 0,0 0,0 0,1 0,0
Day type (workday/weekend) 0,1 0,0 0,1 -0,1 0,0 0,0 0,9 0,9 0,9 1,0 0,1 0,1 0,1 0,1 0,0 0,0 0,0 -0,1 -0,1 -0,2 0,0 0,1 0,0 0,0 0,0 0,0 0,0
Internal gains: Occupation (kWh) 0,0 0,0 0,1 -0,1 0,0 0,0 1,0 0,9 1,0 0,9 0,0 0,0 -0,1 0,0 0,1 0,0 0,1 0,0 -0,1 -0,1 0,1 0,1 0,0 0,0 0,0 0,0 0,0
Internal gains: Lighting (kWh) 0,0 0,0 0,1 -0,1 0,0 0,0 0,9 0,9 0,9 0,9 -0,2 -0,2 -0,2 -0,2 0,1 0,1 0,1 0,1 0,0 -0,1 0,0 0,1 0,0 0,0 0,0 0,0 0,0
Internal gains: Equipment (kWh) 0,0 0,0 0,1 -0,1 0,0 0,0 1,0 0,9 0,9 0,9 -0,1 -0,1 -0,1 -0,1 -0,1 -0,1 -0,1 -0,1 -0,1 -0,1 0,0 0,1 0,0 0,0 0,0 0,0 0,0
OCCUPATION
Internal gains: total (kWh) 0,0 0,0 0,1 -0,1 0,0 0,0 1,0 1,0 1,0 1,0 -0,1 -0,1 -0,2 -0,2 0,1 0,0 0,1 0,0 0,0 -0,1 0,0 0,1 0,0 0,0 0,0 0,0 0,0
Int gains: total/floor area (kWh/m2) 0,0 0,0 0,1 -0,1 0,0 0,0 1,0 1,0 1,0 1,0 0,1 0,1 0,1 0,1 0,0 0,0 0,0 0,0 -0,1 -0,1 0,0 0,1 0,0 0,0 0,0 0,0 0,0
Floor area (m2) 0,0 0,0 0,0 0,0 0,0 0,0 0,1 0,1 0,1 0,1 -1,0 -1,0 -1,0 -1,0 0,1 0,1 0,1 0,1 0,0 -0,1 0,1 0,0 0,0 0,0 0,0 0,0 0,0
Exposed facade area (m2) -0,1 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,4 0,4 0,4 0,4 0,7 0,7 0,7 0,7 0,2 0,2 -0,1 0,0 0,0 0,0 0,0 0,0 0,0
Floor height (m) 0,0 0,0 0,0 0,0 0,0 0,0 -0,1 -0,1 -0,1 -0,1 0,2 0,2 0,2 0,2 -0,9 -0,9 -0,9 -0,9 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0
Floor volume (m3) 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,0 1,0 1,0 1,0 1,0 0,0 0,0 0,0 0,0 -0,1 0,0 0,0 0,0 0,0
Floor Shape factor (m2/m3) 0,0 0,0 0,0 0,0 0,0 0,0 -0,1 -0,1 -0,1 -0,1 0,9 0,9 0,9 0,9 0,4 0,4 0,4 0,4 0,1 0,1 -0,1 0,0 0,0 0,0 0,0 0,0 0,0
SHAPE VARIABLES
Facade area / Floor vol (m2/m3) 0,0 0,0 0,0 0,0 0,0 0,0 -0,1 -0,1 -0,1 -0,1 1,0 1,0 1,0 1,0 -0,1 -0,1 -0,1 -0,1 0,0 0,1 -0,1 0,0 0,0 0,0 0,0 0,0 0,0
October -0,4 -0,5 -0,1 0,0 0,0 0,0 0,0 0,0 -0,3 -0,4 -0,4 -0,6 -0,7
November 0,0 0,1 0,1 0,1 0,0 0,0 0,0 0,0 0,0 -0,3 -0,4 0,9 0,9
December 0,4 0,4 0,0 -0,1 0,0 0,0 0,0 0,0 0,4 0,6 0,8 -0,3 -0,2
January -0,2 0,3 0,9 0,7 0,0 0,0 0,0 0,0 0,0 0,0 -0,1 0,0 -0,3 0,6
MONTHS
February 0,1 -0,1 -0,2 0,2 0,0 0,0 0,0 0,0 0,0 0,0 0,1 -0,1 0,9 -1,0
March 0,1 -0,2 -0,7 -0,9 0,0 0,0 0,0 0,0 0,0 0,0 0,0 0,1 -0,6 0,4
C. Vasquez et al.
A09 Spring season 09:00 h, A18 Spring season 18:00 h, B09 Summer season 09:00 h, B18Summer season 18:00 h
Fig. 38.5 Graph comparing indoor air temperature and outdoor air temperature on a typical
workday for one of the study cases
cases. While internal relative humidity appears to be a phenomenon that doesnt

relate clearly to other parameters (thus, being in its own independent group), in the
case of internal temperature this is true only at 09:00 for both spring and summer,
meaning that air temperature of the offices relates to other parameters as the day
goes by. Finally, the last group includes the type of month previously explained.
Besides the composition of the components, which as it was previously stated,
shows high consistency on the measuring, it seems relevant to discuss a few
conclusions related to the relationships encountered between certain parameters:
(a) Interior/exterior differential holds no relation with internal conditions.
As it was predicted, the difference between internal and external conditions
shows no relationship with the ambient parameters measured inside the build-
ings, particularly in the case of air temperature. In buildings like the ones being
analyzed at the current research (buildings with high window-to-wall ratio, low
thermal mass and high internal gains) the achievement of acceptable indoor
conditions relies on the use of HVAC systems. In the analyzed cases, this
proves to be especially true at warm months, showing high energy consumption
for the extensive use of AC units.
These characteristics, documented via energy consumption bills and inter-
views with the maintenance managers of each building, are reflected directly on
the results obtained on the PCA. Observing the results, it is confirmed that
indoor temperatures hold minimum relation with external temperatures, and
also the differential between interior and exterior is not related to the indoor
measurements. These results show the presence of temperature controlled
interior spaces, in opposition with a high thermal amplitude, characteristic of
the climatic context of Santiago (Fig. 38.5).
The autonomy of indoor temperature becomes more apparent on summer
data, reaching factors as low as 0,07 and 0,03 for 9:00 and 18:00 respec-
tively for the correlation between internal temperatures and the external
component. The fact that there are values closer to zero at 18:00 also proves the
artificial conditions under which the indoor environment operates at work
hours, however, analyzing the minor difference between them, it could be
stated that conditions over night show few variation in terms of temperature
(the air-tightness of the facade system prevent the use of night ventilation or
other strategies that could reduce the heat stored during the day).
The fact that relative humidity appears to be indirectly related to external
factors only on summer season responds to no apparent reason, so it should be
further analyzed on future inquiries.
(b) Shape factors do not relate directly with internal ambient parameters.
At the office buildings analyzed under the present research were found no
relationships between the measured ambient parameters and variables related to
the shape and design of the workspaces. Common shape indicators as floor area,
volume and height, and specific variables such as facade area, shape factor and
facade area per floor volume were included in order to understand its influence on
the interior thermal environment, but there were no relevant correlation found.
The analysis suggests that these issues hold relatively minor importance in
office buildings with the characteristics mentioned before (high window-to-wall
ratio, low thermal mass, high internal gains), if it is compared with occupation
issues, climatic context or technical specifications of facade systems. Neverthe-
less, the similarity of the cases studied at the present research suggests the
necessity of further investigation on a larger amount of more heterogeneous
office buildings in order to address this issue in more conclusive ways.
(c) Overheating and occupation: Key issues in office building design and
maintenance
The necessity of lowering the internal temperatures to achieve comfort is shown
in the PCA analysis. The results show high correlation ( 0,74) for the thermal
comfort index (TCI) at the internal temperature component at 9:00 on summer
season and almost reaches 0,5 on spring ( 0,44). The observed values suggest
that the presence of thermal comfort is related indirectly to the internal temper-
ature measured, or in other words, as the indoor temperature goes higher,
thermal comfort descends, which describes the issue of overheating as a major
design factor to consider in order to achieve indoor comfort.
The correlations addressed are shown only at 9:00 cases, because as it was
said before, at that time internal temperatures are less influenced by the
operation of AC units. On the other hand, comfort issues at 18:00 appears
related to Occupation parameters, which make sense given that 18:00 model
considers the effect of occupation during work hours.
It is noted that Occupation component comprehends not only parameters
related to use and occupation of the office space, but also indoor temperature
and relative humidity values registered during work hours. The fact that internal
ambient conditions appear related to occupation instead of being isolated on its
own component (as may be noticed on 9:00 models), suggest that operation and
use of the workspace has a relevant impact in the indoor conditions and thermal
comfort.
AVERAGE DAILY FLOOR TEMPERATURES

32
30
28
26
24
22
20
1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31 2 4 6 8 10 12 14 16 18 20 22 24 26 28 1 3 5 7 9 11 13 15 17 19 21 23 25 27 29 31
JANUARY FEBRUARY MARCH
EXTERNAL TEMPERATURE B_14 C_60 WEEKEND
Fig. 38.6 AVG daily floor temperatures for summer season
In fact, results show that the thermal comfort index (TCI) is directly related
to internal gains parameters and day type factor. The fact that TCI is directly
related to day type suggests that there are better levels of comfort on work days
than on weekends, which proves to be logical by looking the complete data
series (Fig. 38.6), which show higher temperatures on weekends due to
overheating and lack of ventilation measures.
TCI appears indirectly related to indoor temperature at 18:00 models also,
which confirms the issue of overheating addressed previously. However, if
higher temperatures equal low comfort levels, the resulting relationship
between internal gains and comfort levels apparently should not exist, as
occupation and equipment gains should rise indoor temperatures. The fact
that it does appears on the PCA indicates the distortion produced as a result
of the use of AC units, showing an apparent correlation via an external variable
not analyzed in the present document: energy consumption. By analyzing the
results, it is possible to suggest that as internal gains increase, also increases the
stress of the AC system to generate comfortable thermal conditions, and
therefore lower indoor temperatures. Given that all correlations between these
parameters seem to be stronger on summer (period of greatest demand for the
AC units due to external conditions), it is plausible to defend the stated
hypothesis. However, there is need for further detailed analysis in order to
quantify and measure the correlations visualized in more precise ways, includ-
ing energy consumption as another input to evaluate the performance of AC
system.
38.4 Conclusions
The present document shows preliminary findings from the first stage of analysis of
an on-going investigation, therefore the issues mentioned on this paper are not
presented as conclusive matters. However, the preliminary analysis presented raise
Fig. 38.7 Internal gains distribution in one of the analyzed floors
certain concerns worth mention about the design and operation of office buildings
in Santiago, Chile, which should be addressed in more detail on further analysis and
investigations.
In regard of indoor environment conditions, it shows the presence of overheating
problems inherent on the design of these kinds of buildings, due to high window-to-
wall ratio and low thermal mass. Besides, this issue becomes more relevant
considering high internal gains, characteristic of the occupation of office buildings.
Also, regarding operation of the workspace there are no measures being taken to
reduce the heat stored inside the building, like the use of nocturnal ventilation due
to air-tight facades. Another issue worth mention relates to workstations distribu-
tion on the floor plan. Not only there is high occupation on the study cases, but also
is observed an uneven distribution of it, which may cause discomfort on local zones
given that AC units are mainly controlled centrally (only closed offices have AC
controls attached to the wall) (Fig. 38.7).
The issues exposed on the present document show part of the complexity
associated with indoor conditions actively controlled on several offices buildings
in Santiago, without taking the advantages of a more natural relationship with
external environment, which could improve thermal comfort levels for the occu-
pants, reducing the stress of AC system and energy consumption associated with it.
Acknowledgment This work was done with the support of CONICYT (National Council of
Scientific and Technological Research), Chile, through the project No. 11100143. It has also had
the support of the Center for Sustainable Urban Development (CEDEUS), CONICYT/FONDAP
Project 15110020.
References
1. Barley D et al. (2005) Procedure for measuring and reporting commercial building energy
performance/technical report NREL/TP-550-38601. EE.UU: National Renewable Energy
Laboratory (NREL)
2. Bluyssen P, Aries M, Van Dommelen P (2011) Comfort of workers in office buildings: the
European HOPE Project. Build Environ 46:280288
3. Bodin C (2008) Office type in relation to health, well-being, and job satisfaction among
employees. Environ Behav 40(5):636668
4. Choi J-H, Loftness V, Aziz A (2012) Post-occupancy evaluation of 20 office buildings as basis
for future IEQ standards and guidelines. Energy Buildings 46:167175
5. Cowan J, et al (2002) International performance measurement and verification protocol
(IPMVP) vol II: concepts and practices for improved indoor environmental quality 2nd ed
(2000). Canada: EVO (Efficiency Valuation Organization)
6. Depecker P (2001) Design of buildings shape and energetic consumption. Build Environ
36:627635
7. Duffy F (1998) New environments for working: The re-design of offices and environmental
systems for new ways of working. Construction Research Communications Ltd., UK
8. Hair J, Anderson R (2005) Analisis multivariante. McGraw Hill, Espana
9. Leaman A (2010) BUS occupant survey method: details for licensees. In: http://www.
usablebuildings.co.uk. Accessed on 25 Jan 2012
10. Nicol F, McCartney K (2000) Smart controls and thermal comfort project. Final report
11. Ourghi R et al (2007) A simplified analysis method to predict the impact of shape on annual
energy use for office buildings. Energy Convers Manag 48:300305
12. Rivard H et al (2006) Floor shape optimization for green building design. Adv Eng Inform
20:363378
13. VV.AA (2004) ANSI/ASHRAE Standard 55-2004. Thermal environmental conditions for
human occupancy. EE.UU: ASHRAE
14. VV.AA (2006) ISO 7730:2005: ergonomics of the thermal environmentanalytical determi-
nation and interpretation of thermal comfort using calculation of the PMV and PPD indices and
local thermal comfort criteria. Switzerland: ISO (International Organization for
Standarization)
Chapter 39
Multisource Heat Pump System: The Case
Study of a New School Building
Marco Noro, Renato Lazzarin, and Filippo Busato
Abstract The concept of a low energy building in the temperate climate

(according to the Koppen climate classification) is based on the reduction of heat
losses through a better insulation, the heat recovery on mechanical ventilation and
the use of high efficiency heating/cooling systems integrated with renewables. It is
very difficult to achieve good results in terms of global energy efficiency if one of
these elements is missing. In 2009 a new school building, integrating those three
elements, started its operation in Agordo town, northern Italy. Its main features
concern a well insulated envelope and a space heating and ventilation system driven
by an innovative multisource heat pump system concept. Outdoor air is a common
heat source, whose limits are well known. Heat pump features can take advantage
of better sources than air, as for instance the ground heat, solar heat, and heat
recovery. These sources are those used by the analyzed system. A multisource
system aims to enhance the performances of the heat pump, both in terms of heating
capacity and of efficiency, of the heat pump. The present work shows data moni-
toring and analysis for a real working application, for a period of about two heating
seasons, during which the behavior of the system can be analysed and the eventual
malfunctioning of the plant can be identified. The energy balance indicates that the
integration of different sources not only increases the thermal performance of the
system as a whole but also optimizes the use of each source, thus leading to a lower
stress on the ground and to a higher utilization of the solar system. The results are
then compared to those could have been obtained with the use of a single source
system, i.e. the ground, taking no advantage from the heat recovery and the solar
system.
Keywords Gas absorption heat pump Solar heating Multisource heat pump
School building
M. Noro (*) R. Lazzarin

Department of Management and Engineering, University of Padua,
Stradella San Nicola, 3, 36100 Vicenza, Italy
F. Busato
3F Engineering, via del Giglio 40/A, 35133 Padova

592 M. Noro et al.
39.1 Introduction
To reduce the energy need of the building and the heating and cooling installed
capacity in the temperate climate (according to Koppen climate classification),
good options are:
to design a low energy building envelope with good thermal insulation;
to choose energy effective technologies based on high efficiency generation
system, such as heat pumps;
to integrate them as much as possible with heat recovery devices and renewable
energy sources.
Designed in 200607, the new High School Building of Agordo (province of
Belluno, northern Italy) enclosing the three features above mentioned started its
operations in autumn 2009. The building is operated by the Belluno Province
Administration, appointed for the public education service.
The town of Agordo lays in the geographic area of the Dolomiti mountains in a
valley at 611 m a.s.l., where the climate is severe during wintertime (3,376 degree-
days). The building has a total floor area of 5,680 m2, the outward surface of
13,608 m2 encloses a gross heated volume of 19,644 m3; the envelope is well
insulated, the outer walls and the roof allowing for an average thermal transmit-
tance of about 0.16 W/(m2 K), the floor having a thermal transmittance to the
ground [1] of 0.4 W/(m2 K), the glazing system having a thermal transmission of
1.38 W/(m2 K).
From the architectural and functional point of view, the building is made of two
main wings and a central belt: the south-east wing is on three storeys and houses
teaching rooms, used mainly (but not only) in the morning; the west wing is on two
storeys and houses the laboratories, used mainly (but not only) in the afternoon;
finally the central belt, on three storeys houses the administrative offices manned all
the day and the auditorium, used occasionally.
The school is closed from the middle of June to the end of August, so the
climatization system does not provide summer cooling, but only ventilation and
space heating.
Through dynamic simulation in the TRNSYS environment different solutions
were evaluated with respect to the heating system [2, 3]. A multisource absorption
heat pump system has been designed to fulfil the needs of the building: the sources
are ground, sun, recovery on ventilation. The design of the system in order to
optimize the size of the borehole ground exchangers field and the solar system was
carried out to find the most viable mix [4]. The ratio between the thermal input from
the source and the thermal output is much lower for an absorption heat pump than
for a compression one, that would need a much larger (and much more expensive)
borehole field. This consideration applies only to the heating mode of course.
39 Multisource Heat Pump System: The Case Study of a New School Building 593
39.2 Description of the HVAC Plant
The HVAC system in teaching rooms, laboratories and offices provides space
heating by means of radiant floor and ventilation by means of three independent
AHUs each of those serving a single-duct [5] system. The auditorium is served by
an all-air system. From the design calculations, performed according to the UNI EN
12831:2006 standard, the space heating requires a maximum power of 146 kW and
the ventilation system requires 122 kW of sensible heat, being the design indoor
conditions set to 20 C of air temperature and the ventilation being neutral (air
supplied at 20 C).
Under the ground floor of the south-east wing lays the central heating plant. For
sake of simplicity a reduced functional diagram of the plant is shown in Fig. 39.1;
hydraulic streams and therefore energy flows within the plant can be easily under-
stood, while many hydraulic attachments (hydraulic separators, filters, valves,
pumps) were hidden as well as the secondary circuits of the radiant floor. Table 39.1
reports the main characteristics of the heating generators; the heat pumps were
designed to cover the base load, the condensing boiler to supplement the peak load
as well as to backup an eventual fault of one or more heat pumps.
Fig. 39.1 Simplified functional diagram of the HVAC plant

594 M. Noro et al.
Table 39.1 Heating generators of the central HVAC plant

Rated electric
Component consumption (kW) Rated capacity (kW) Rated efficiency
HP1 + HP2 0.15 74 (B0W60) 1.25 (GUE [6])
HP3 + HP4 0.15 76 (B0W40) 1.40 (GUE [6])
Boiler 0.18 114.4 1.02 (condensing)
Table 39.2 Electric Auxiliary Electric power (kW)

consumption of the auxiliaries
Primary pumps space heating 0.42
Primary pumps ventilation 0.42
Evaporator pumps space heating 0.42
Evaporator pumps ventilation 0.42
Ground borehole pumps heating 0.44
Ground boreholes pumps ventilation 0.42
Solar circuit pump 0.47
Run around coils pumps 0.37
Secondary pumps space heating 1.10
Secondary pumps ventilation 0.80
AHU fans 1.31
The AHUs are equipped with sensible heat recuperators made of cross flow heat
exchangers; they were sized with an efficiency limited to 50 % in order to avoid
frosting problems.
The thermal source for the ventilation heat pumps can be either the ground
(750 m, 6 125 m in a row, of vertical tube heat exchangers) or the exhaust airflow
[7]. By means of a run-around coil (visible in Fig. 39.1, downstream the cross flow
recuperator on the exhaust flow) a total recovery is then produced at the absorption
heat pump evaporator level.
The thermal source for the space heating heat pumps can be either the ground
(960 m, 6 160 in a row, of vertical tube heat exchangers) or a solar section of
50 m2 of flat plate solar collectors (four arrays in parallel, each of those made of five
modules in series) that can also serve directly the radiant floor, by means of the
plate heat exchanger (Fig. 39.1, top right side). In summer the solar system can
re-generate the ground.
Boreholes heat exchangers were designed with double-U pipes with an outer
diameter of 32 mm and a thickness of 2.9 mm.
In the simplified scheme special attention shall be paid to the AHUs since only
two out of four of them (for a global volume flow of 20,600 m3/h out of 25,000 m3/
h) are equipped with the run around coil, while the two left (4,400 m3/h) save
energy only from the cross flow recuperator.
In Table 39.2 the rated electric consumption of the auxiliaries is shown. It is not
worth to list all the pumps in the paper, but it is more straightforward to group them
according to their function.
39.3 Operation of the HVAC Plant: Monitoring
Now the control strategy is explained.

The need for sensible heating of the AHUs depends directly on the outdoor air
temperature and on the volume flow, which is constant for every AHU. The
teaching rooms AHUs are scheduled to work from 6 am to 2 pm, that of the
laboratories from 10 am to 6 pm, and that of the offices from 6 am to 6 pm. HP1,
HP2 and the boiler are activated once the return temperature falls below given
thresholds. The sequence of activation of the HPs is swapped every 2 weeks. The
run around coil is activated when the temperature of the exhaust flow downstream
the cross flow recuperator rises above 10 C that is considered as an upper bound for
the highest temperature that ground could offer.
The need for space heating is determined by the number of active circuits (each
room has its own thermostatic on-off control, according to Italian regulations). The
same scheduling of the AHUs applies to the heating system. HP3, HP4 and the
boiler are activated once the return temperature falls below given thresholds, and
the sequence of activation of the HPs is swapped every 2 weeks. The solar system is
activated according to measured solar radiation I (W/m2).
The efficiency of the solar field can be roughly defined with a first order model
(the reason is explained a few lines below) as
T m T oa
0 a1 39:1
I
where 0 is the zero-loss solar system efficiency, a1 the heat loss coefficient, Tm the
mean temperature of the fluid, Toa the outside air temperature. 0 and a1 can be
calculated from the respective values referred to the single collector, i.e. 0.75 and
4.14 W/(m2 K), multiplied by CF5 which is the series correction factor [8], equal to
0.881 (for the five collectors in series).
Let the threshold radiation IT be defined as follows (the reason to adopt a first
order model to describe the system is due to the need of having a first order equation
between radiation and temperatures):
a1 T m T oa
IT 39:2
0 min
thus being the radiation that provides the minimum acceptable efficiency min given
the solar field characteristics, the minimum average temperature desired Tm and the
outdoor temperature Toa. The desired Tm was set at 5 C and min to 0.01. Whenever
solar radiation on the field I exceeds IT the solar loop pump is activated. If the solar
circuit outlet temperature exceeds 38 C (i.e. the radiant floor supply temperature
increased by 3 C) the solar outlet goes into the plate heat exchanger, otherwise the
exchanger is bypassed. Then the solar outlet feeds the evaporator collectors thus
increasing the evaporation temperature. When theres no need for space heating, the
solar outlet is directed to the borehole heat exchangers.
596 M. Noro et al.
The monitoring of the plant was set-up with the cooperation of the buildings and
the plants controller designer. The interface of the monitoring systems, running on
the PC that controls the plant, has been accessible from any remote terminal via a
virtual private network (VPN, after authentication), from the end of October 2009
to the end of March 2011. During this first phase the remote access was open to
allow the designer to make small adjustments on the control variables of the plant,
after that the access to the control PC was discontinued, as well as the data logging,
and the control of the plant is allowed from inside the building only.
In the period indicated above the following cumulative energy flows (mass flow
times the temperature difference between inlet and outlet, via simple thermal
energy meters) were logged monthly:
Condenser and evaporator of each heat pump (at the collectors);
Ground circuits, the one for ventilation and that for space heating;
Primary circuit of AHU heating coils and run-around coils;
Solar circuit;
Primary circuit of the radiant floor.
All the energy meters are located in the central heating plant, therefore the
energy delivered to each circuit is the gross value including distribution losses.
The previous listed ones and other significant parameters, as for instance inlet-
outlet temperatures for hydraulic circuits and supply-return temperatures in air
ducts, room temperatures, mixing valve positions, on-off state of the heat pumps,
were logged hourly, but presumably due to malfunctions in the monitoring software
the sequence is often broken, so it was necessary to post process the data in order to
fill the gaps. However the hourly data were of a great help to reveal some improper
use in the control of internal temperatures, which will be detailed in a following
paragraph.
The gas consumption was given from the natural gas bills (being the heating/
ventilation plant the only gas consumer in the building) of the season 20092010
and 20102011, respectively 20,832 Sm3 and 22,033 Sm3. The LHV is assumed to
be 9.55 kWh/Sm3 (34.38 MJ/Sm3), since the gas provider only gives the HHV equal
to 38.32 MJ/Sm3.
39.4 Energy Performances 20092011
Once the energy flows of the plant described above are available few assumptions
need to be made in order to complete the analysis.
With respect to the heat pump, the GUE is defined as follows [6]:
EAC
GUE 39:3
Ein
where EAC is the energy delivered to the primary circuit from the heat pump
condenser-absorber, and Ein is the input energy (gas) to the heat pump. Ein is not
measured directly, but since the first law for an absorption heat pumps offers:
EG EE EAC 39:4
with EE the energy supplied to the evaporator from the heat source; the generator is
fired by natural gas, therefore EG Ein G, then GUE becomes:
EAC
GUE 39:5
EAC EE G
where EAC and EE are known.

The same rationale applies to the backup condensing boiler. Italian national
regulations sets the minimum required efficiency for a boiler as 90 % + 2log10 (Pn)
where Pn [kW] is the rated capacity of the burner. For a conservative approach it has
been decided to set the annual average efficiency of the burners (those of the heat
pumps, having a rated efficiency of 97.5 % and that of the condensing boiler, having
a rated efficiency exceeding 100 %) equally to 85 %, in order to account for part
load operation and the several duty cycles.
The electricity consumption of the auxiliaries (pumps, fans) was not measured,
however it has been estimated considering the rated electric consumption of each
and the scheduling of the building described in Sect. 39.3 for primary and second-
ary circuit pumps, and from the on/off time of each with respect to ground, solar,
recovery circuit logged data.
Figure 39.2 illustrates the central heating plant energy distribution between heat
pump, direct solar and boiler. When the balance is made on the whole year 2010, the
solar direct contribution is 8.2 %, exceeding the backup boiler that contributes for
6.1 %. PER is calculated as the ratio between the thermal energy produced and the
primary energy input, including electric auxiliaries of primary, secondary, source
circuits (ground solar circulation pump) and the electric consumption of heat pumps;
the conversion factor from primary to electricity is 0.46, according to Italian
regulation [9]. PER** is the ratio between thermal energy produced and primary
energy input, considering the natural gas consumption only. It is interesting to see
how the PER** rises above PER values in mild months, when the direct solar heating
contribution is a significant fraction of the total delivered energy, since the pumping
energy becomes more relevant compared to the gas demand in the warmer season.
Figure 39.3 depicts the share of solar energy between direct space heating, the
evaporator or the regeneration of the ground. With the exception of few months the
utilization of the solar system exceeds 50 %, even in the coldest months. Figure 39.4
shows the space heating heat pumps efficiency GUE, working on the two different
sources. The solar source influence is really appreciable, since it raises the GUE
from around 1.461.53. Hereinafter the seasonal GUE values will be discussed. In
the whole 2010, the solar energy delivered to the evaporator is equal to the 13 % of
the total energy required at the evaporator level.
598 M. Noro et al.
Fig. 39.2 Monthly space heating share of thermal energy, from boiler, solar direct and heat pumps
(percentage on the right of the stacks). The primary energy ratio for the space heating requirements
is also shown (to be read against the right Y axis). PER** is the ratio between thermal energy
produced and primary energy input, considering the natural gas consumption only
Fig. 39.3 Solar collectors measured energy flows, including collector losses, energy discharged to
the ground, to the evaporator and to direct heating of the radiant floor (percentage on the right of
the stacks). The percentage of solar utilization is shown (to be read against the right Y axis)
Fig. 39.4 Monthly representation of the source used by the heat pump for space heating (ground
or solar, percentage on the right of the stacks), with GUE values associated to each source (to be
read against the right Y axis)
Fig. 39.5 Monthly ventilation share of thermal energy, from boiler, heat pumps and the static
recuperators (percentage on the right of the stacks). The primary energy ratio for the ventilation
purpose and the static recuperator efficiencies are also shown (to be read against the right Y axis)
Figure 39.5 illustrates the energy shares in the ventilation section. Considered
that only return temperature was available to the data logger, the ventilation demand
has been calculated as a first law balance between outlet and return conditions.
600 M. Noro et al.
Fig. 39.6 GUE of ventilation heat pumps by source (percentage on the right of the stacks), with
GUE value associated to each source
The difference between sensible energy demand for ventilation and energy supplied
to the AHU from the central heating plant is the amount of recovered energy on the
static recuperator. Being the ventilation balances (same volume flow supplied and
returned) it was also possible to calculate the efficiency of the recuperator, pictured
in Fig. 39.5 as well. Indeed after that of the heat pumps, the most relevant contribu-
tion is given from the static recuperator, with monthly efficiency ranging from 35 to
50 %. The same rationale for PER and PER** explained for space heating applies to
ventilation (electricity consumption includes the fans).
As it can be seen in Fig. 39.6, ventilation heat pumps GUE is lower than that of
space heating. This is due to the fact that ventilation dedicated heat pumps produce
higher set point temperature water (at a temperature level ranging from 55 to
60 C). Again the effect of the heat recovery by means of the run-around coils is
significant, as in warm months (from April to October) the evaporator is fed mostly
by the run-around coils circuit.
The shape for the GUE ground monthly efficiency trend is quite similar for space
heating and ventilation, since it is basically depending on the on-off duty cycles of
the HPs (higher in milder months); the slight decrease in ventilation HPs GUE
with respect to space heating is due to the fact that the borehole field of space
heating is regenerated in summer.
For the year 2010 it is then possible to look into the Table 39.3 for a detailed
energy balance of the heating plant. The quantity GUE* is the Gas Utilization
Efficiency as it should be calculated according to thermodynamics; as per [6] the
GUE only account for gas consumption, while GUE* includes the electric con-
sumption of the Heat Pump (converted to primary).
39
Table 39.3 Summary of the energy performance of the plant

Space heating Ventilation Global
Energy/ Energy/ Energy/
Quantity performance Unit Quantity performance Unit Quantity performance Unit
Space heating 164,657 kWht Ventilation 184,931 kWht Total energy delivered 349,588 kWht
Solar direct 13,553 kWht Static recuperator 75,222 kWht Total gas consumption 196,141 kWht
HP3 + 4 140,951 kWht HP1 + 2 96,557 kWht
Gas to HP 95,702 kWht Gas to HP 73,020 kWht
Boiler 10,154 kWht Boiler 13,152 kWht
Gas to boiler 11,946 kWht Gas to boiler 15,473 kWht
El cons HP 495 kWhel El cons HP 408 kWhel HP el consumption 903 kWhel
Vent UTA 1,447 kWhel AHU fan consumption 1,447 kWhel
Ground pumps 307 kWhel Recovery pumps 576 kWhel Source pump consumption 3,869 kWhel
Solar pumps 2,922 kWhel Ground pumps 65 kWhel
Evaporator pumps 511 kWhel Evaporator pumps 1,142 kWhel Evaporator pumps 1,653 kWhel
Primary pumps 685 kWhel Primary pumps 1,142 kWhel Primary pumps 1,827 kWhel
Secondary pumps 1,060 kWhel Secondary pumps 1,305 kWhel Secondary pumps 2,365 kWhel
GUE HP3 + 4 1.473 GUE HP1 + 2 1.322
GUE* HP3 + 4 1.456 GUE* HP1 + 2 1.306
PER space heating 1.365 PER ventilation 1.834 PER 1.57
Multisource Heat Pump System: The Case Study of a New School Building
PER CP 1.404 PER CP 1.976 PER CP 1.63

PER w/o electricity 1.530 PER w/o electricity 2.090 PER w/o electricity 1.78
601
602 M. Noro et al.
The PER CP is the Primary Energy Ratio calculated at the Central Heating Plant
excluding the secondary distribution pumps and/or fans, and the PER w/o electric-
ity is the ratio of the delivered thermal energy over the thermal energy consump-
tion. If compared to the PER that is the most important parameter with respect to
primary energy conservation, these figures offer some interesting information about
the weight of the auxiliaries (distribution system) on the global energy consumption
for climatization.
The calculated specific primary energy demand EP [kWh/(m2 year)] is then equal
to 39.1 for 2010. The target value for the building (according to Italian standards, so
allowing standard coefficients for distribution, emission, control efficiency) in the
design phase was 30 kWh/(m2 year). The reasons were then investigated for such a
difference. The analysis on the monitored set-point in the different building wings
and the supply-return temperatures of the AHUs revealed that in the whole building
the air temperature most of the time was set between 23 and 24 C.
Trial calculations have been performed to estimate the EP in standard condi-
tions, so with 20 C internal temperature. The behaviour of the solar system has
been considered equal to that of the real operating conditions, as well as the
efficiency of the sensible recuperator on the AHUs, the need of space heating and
that of ventilation was considered as proportional to the heating degree hours HDH,
according to the procedure described in [10]. Therefore it was assumed:

Esh Esh
39:6
HDH 23:5 C HDH 20 C
the same applying for ventilation as well. The HDH were calculated (with respect to
the on period of the plant) by means of the hourly weather data provided by the
Regional Agency for Environment ARPAV, for the weather station in Agordo
(BL). The GUE of the heat pumps and the boiler efficiency considered equal to
those in real operating conditions. By means of this rough but effective procedure,
the EP in standard conditions is estimated to equal 31.5 kWh/(m2 year), so only 5 %
far from the design value. This method keeps this evaluation on the safe side, since
it doesnt account for solar gains that becomes more and more relevant while
decreasing the temperature difference between inside and outside.
Strong recommendations were then reported to the Belluno Province Adminis-
tration in order to survey the air temperature set-point for the times to come.
39.5 Scenarios Without Multisource
It is now interesting to investigate on how the concept of multisource system

increases the performances of a single source system. Being the HVAC plant
based on water-to-water heat pumps, the main heat source on which the system
relies is the ground; then the ventilation system is supplemented also by the heat
recovery source, and the space heating by the solar source. To determine what
happens if one of the supplementary source is missing, calculations were made to
assess different scenarios.
With respect to ventilation the scenarios are: no run-around coils recovery, no
static recuperator. In this last case two subcases were defined, in the first the heat
pump replaces the heat recovery as well, in the second the boiler replaces the
recovery (the first case cannot be a real option since the capacity of the heat pumps
is insufficient, and it would require further heating capacity). The fan power has
been adjusted to different AHUs configurations.
With respect to space heating two scenarios were evaluated: once the solar is
missing, in the first scenario the HP replaces the solar system, in the second the
boiler replaces the solar system. In both cases the solar is replaced only to heating
purposes, neither ground regeneration is provided in summer.
The GUE of the heat pump was extrapolated by means of a ten parameter
polynomial function (ARI standard) of the ground loop average temperature
(peak load) and supply temperature in the real operating conditions. Then for
each scenario the monthly average ground loop temperatures were estimated by
means of EED software (it was also used during the design phase), finally the
balance illustrated in Table 39.3 was produced.
For sake of brevity the complete balance of each scenario is omitted, though the
synthetic indicators are reported in the following Table 39.4.
The two indicators are important to different considerations. GUE always
decreases in case of single source systems, since the ground is heavily solicited,
both in the ventilation section and in the space heating. The solar system contribu-
tion to the evaporator is less important than that of run-around coil recovery,
however solar system allows summer ground regeneration. From the calculations
performed in EED however it seems that summer regeneration produces less
benefits that those of a lower extraction during wintertime.
The overall PER indicates that the supplementary source gives a greater effect
on the space heating than in the ventilation system. This is of course due to the fact
that solar system also provides for almost free heating effect, while run-around
coils recovery only increases the GUE of the heat pumps with a reasonable cost in
terms of higher fan and pumping consumptions. Moreover, the space heating heat
pumps work at a lower condensation temperature than the ventilation ones.
According to the following [11]:

GUECA, h
T Tc 1
39:7
GUECA, h T
the sensitivity of the GUE to the evaporation temperature increases while temper-
ature lift decreases (T is the difference between condensation and evaporation
temperature). Therefore, since the heating system works at lower condensation
temperature than ventilation, the heating section benefits from the multisource
concept more than the ventilation one.
604
Table 39.4 Performance indicators in the different scenarios

Ventilation Space heating
No run-around HP replaces static Boiler replaces static HP replaces Boiler replaces
Reference coils recuperator recuperator Reference solar solar
GUE HP 1.322 1.285 1.287 1.285 GUE HP 1.473 1.460 1.461
1+2 3+4
PER 1.834 1.832 1.126 0.962 PER 1.365 1.320 1.256
M. Noro et al.
Table 39.5 Comparison between the old and the new buildings
Gross Fuel Specific primary energy
volume (m3) consumption LHV consumption (kWh/m3)
Old 17,715 64,160 l 10.48 kWh/l 37.98
New 19,644 21,432 Sm3 9.55 kWh/Sm3 10.42
39.6 Conclusions
From the calculations reported in Table 39.3 the natural gas consumption in 2010 is
equal to 20,532 Sm3. The average of the two heating seasons 200910 and 201011
is from the natural gas bill equal to 21,432 Sm3/year. The difference (4.2 %) from
the calculated consumption could be ascribed mainly to:
inaccuracy of the energy meters that equipped the hydraulic circuits;
the incorrect evaluation of the yearly average burners efficiency
However the estimation is quite good considered that no gas consumption
measurement was allowed on the single units.
It is interesting to underline that the previous building that housed the same high
school in Agordo enclosed a gross volume of 17,715 m3 and burned Diesel oil for an
amount of 64,160 l in 200607.
Table 39.5 finally shows the comparison between the new and the old buildings
serving the same purpose.
As it can be seen the new building specific primary energy consumption is
almost a fourth of the old one.
Acknowledgement Special thanks are paid to Areatecnica Studio Vigne & partners (designers of
the plant) represented by Gianluca Vigne (C.E.O.), and to Luigino Tonus, head of the General
Service Dept of the Belluno Province Administration.
Nomenclature
E Energy (kWh)
EP Specific primary energy demand for heating (kWh/(m2 y))
GUE Gas utilization efficiency
P Power (kW)
PER Primary energy ratio
T Temperature ( C)
Greek Symbols
Slope of the solar system
Efficiency of solar system
606 M. Noro et al.
Subscript
avg Average
CA Condenser-absorber
E Evaporator
G Generator
gnd Ground
in Input
p Peak
sh Space heating
th Thermal
vent Ventilation
Acronyms
AHU Air handling unit
CF5 Correction factor for a series of 5 solar collectors
CP Central heating plant
HDH Heating degree hours
HHV Higher heating value
HP Heat pump
HVAC Heating, ventilation, air conditioning
LHV Lower heating value
VPN Virtual private network
References
1. UNI EN ISO 13370 (2008) Thermal performance of buildings heat transfer via the ground
calculation methods. UNI (IT)
2. Busato F, Lazzarin R, Noro M, Vigne G (2008) Energetic and environmental analysis of an
integrated multi-source heat pump system for a school building. Proceedings of 46th interna-
tional conference AiCARR, Milano, 2008. pp 879895, ISBN 9788895620046
3. Minchio F (2006) Pompe di calore termiche nella climatizzazione (thermal heat pumps for
climatization). Ph.D. dissertation in energy systems, supervisor prof. Lazzarin R, University of
Padova, Italy
4. Busato F, Lazzarin R, Noro M (2010) Ground or solar source for space heating which is better?
Energetic assessment based on a case history. Proceedings of the Clima 2010 REHVA
conference, Antalya, TK
5. ASHRAE (2008) Air distribution, Ch. 4.10, Ashrae handbook HVAC systems and equip-
ment, ASHRAE Inc., Atlanta, GA
6. UNI EN 12309-1 (2002) Gas-fired absorption and adsorption air-conditioning and/or heat
pump appliances with a net heat input not exceeding 70 kW. UNI (IT)
7. Lazzarin R (2012) Dual source heat pump systems: operation and performance. Energ Build
52: 77-85, http://dx.doi.org/10.1016/j.enbuild.2012.05.026
8. Oonk RL et al (1979) Calculation of performance on N collectors in series from test data on a

single collector. Solar Energy 23:535536
9. AA VV (2008) Delibera EEN 3/08. Italian Authority for Electric Energy & Gas, Milan
10. Busato F, Lazzarin R, Noro M (2011) Ten years history of a real gas driven heat pump plant:
energetic, economic and maintenance issues based on a case study. Appl Therm Eng 31
(10):16481654
11. Lazzarin R, Busato F, Minchio F, Noro M (2011) Le sorgenti termiche delle pompe di calore.
Collana AiCARR vol 18, Delfino, Italy. ISBN 9788897323167
Chapter 40
Application of Heat Pipe System in Data
Center Cooling
Xiaodong Qian, Zhen Li, and Hao Tian
Abstract With the development of global information industry, the scale of data
centers become larger, meanwhile the energy consumption and running cost are
grown rapidly. The energy saving problem of data center has been more and more
concerned around the world. The energy consumption of data centers in Beijing
was studied in this paper. The results show that the energy utilization problem of
cooling systems is especially prominent, and their average energy consumptions
account for 47 % in these data centers. With the proposal of energy saving in
cooling system, heat pipe cooling system is introduced in this paper. As free cooling
utilization device, when the outdoor temperature is lower than the environment set
temperature, the data center can be cooled by the outdoor cold environment through
this system, and the energy consumption of cooling system will be reduced signif-
icantly. At present, this system has been applied in dozens of data centers and
communication base stations in China and the energy saving effects are obvious.
Case studies show that after using the heat pipe cooling systems, the cooling
systems of data center and the communication base station can separately achieve
the energy saving of 38.9 and 55.7 %.
Keywords Data center Free cooling Heat pipe cooling system Energy saving
40.1 Introduction
Data center is a building densely placed a lot of IT equipment, such as servers, storage
devices, network equipment and so on. It is a service platform of data processing,
storage, transmission and exchange. Data center is a typical kind of high energy
buildings. With the uninterrupted operation mode, the using time of data centers are
X. Qian Z. Li (*)
Key Laboratory of Thermal Science and Power Engineering of Ministry of Education,
School of Aerospace, Tsinghua University, Beijing 100084, China
H. Tian
Department of Building Science, Building Energy Research Center, Tsinghua University,
Beijing 100084, China

610 X. Qian et al.
Fig. 40.1 Energy

consumption constitution of
data centers in the survey
three times of commercial buildings. Moreover, because of the IT equipments dense

display mode, the power density of data centers can reach 2003,000 W/m2 and is
100 times of commercial buildings [1]. With the development of global information
industry, the demand for data center is further increased and the energy consumption
is grown rapidly. A statistical report from Lawrence Berkeley National Laboratory in
2007 showed that the data center energy consumption doubled every 5 years [2]. In
recent years, China data center market is also entering a high speed development
period. From 2007 to 2009, the data center investment growth rate is more than 15 %,
and energy consumption will achieve 100 billion kWh in 2015 [3].
To understand the data center energy consumption features in China and find the
breakthrough point of energy saving, a survey of data center energy consumption
was carried out in Beijing. The 2011 energy consumption of data center in Beijing
is nearly eight billion kWh and accounts for 5 % of Beijings total electricity
consumption. Data center consumes energy in the IT equipment, cooling system,
UPS and other systems. Figure 40.1 shows the analysis result of energy consump-
tion constitution of these data centers. Cooling system and IT equipment are the
biggest two parts of energy consumption in data centers. The average energy
consumption of cooling system occupied 47 % and is 4 % more than IT equipment.
The average PUE of data centers in the survey is about 2.3 and has a wide gap with
data centers in developed countries. According to the field survey, it is found that
raised-floor and cold and hot aisles are not commonly used in these data centers. Air
conditionings are all running on cooling mode in the whole year and none of the
energy saving equipment is applied in these data centers. High energy consumption
of cooling system is the common problem of global data centers and is especially
serious in China. Therefore, cooling system energy conservation plays an important
role in high-efficiency energy utilization and energy saving in data centers.
In this paper, free cooling utilization is introduced for the energy saving of data
center cooling system. Based on this idea, heat pipe cooling system (HPCS) is
proposed and the energy saving effect of HPCS energy saving renovations was
analyzed in the case studies.
40 Application of Heat Pipe System in Data Center Cooling 611
40.2 Free Cooling Utilization of Data Center

Cooling System
Data center is usually a sealed room because of the temperature, humidity and
cleanliness requirements by the IT equipment. Meanwhile, the high heat density
makes it need to be cooled all through the year. The uninterrupted operation mode
of cooling system is the main reason for the high energy consumption of data
center. In most parts of the world, especially high latitudes areas contain huge free
cooling resources. When the outdoor temperature is lower than the environment set
temperature, the data center can be cooled by the outdoor cold environment instead
of the air conditionings and the energy consumption of cooling system will be
reduced significantly. This energy saving idea is called free cooling utilization of
data center cooling system.
Cooling systems free cooling utilization is considered as the most effective way
of data center energy saving. Choosing a suitable technology and developing
efficient and reliable equipment is the key to the free cooling utilization. Many
researches have been performed in recent years [46]. Free cooling utilization can
be divided into two categories, direct free cooling utilization and indirect free
cooling utilization. Direct free cooling utilization is a convenient way to use
outdoor environment. The low temperature outdoor air is directly transported into
the data center and cools the IT equipment. With the contribution of outdoor air, the
operation time of air conditionings is greatly reduced and the energy consumption
of cooling system will be also lower. The main defect of this method is that outdoor
air will change the data centers humidity and bring the dust. Humidity and
cleanliness have great impacts on the performance and service life of IT equipment.
So the extra cost needs to be consumed to control the humidity and filter the outdoor
air. Indirect free cooling utilization is a method by using heat exchange equipment
to remove heat from data center to outdoor environment. Because the inside and
outside air will not directly contact with each other, this method can keep the
humidity and cleanliness of data center. The key of indirect free cooling utilization
is to find a high efficient heat exchange technology.
The characteristics of direct and indirect free cooling utilization technologies are
shown in Table 40.1 [69]. The energy saving effect of direct free cooling
Table 40.1 Comparison of free cooling utilization technologies

Ventilation (humidity Air to air heat Heat pipe heat
Technology and dust control) exchanger exchanger
Free cooling utilization method Direct Indirect Indirect
Environmental adaptation Poor Good Good
Cooling effect Good Poor Good
Structure Compact Bulky Compact
Initial investment Low High High
Maintenance cost High Middle Low
612 X. Qian et al.
utilization is bound by the cost of humidity and dust control. Indirect free cooling
utilization is more popular in practical applications because of the good environ-
ment adaptation. The two main technologies of indirect free cooling utilization are
air to air heat exchanger and heat pipe heat exchanger. Because of the low heat
transfer coefficient, the air to air heat exchanger is usually bulky. While Heat pipe is
a highly efficient and reliable heat transfer component. The heat pipe heat
exchanger is compact and the maintenance cost is low. It is a good choice for
free cooling utilization.
40.3 Heat Pipe Cooling System (HPCS)
40.3.1 Working Principle of HPCS
Grover [10] from Los Alamos National Laboratory first invented a heat pipe and
completed the experiment. According to the structure, heat pipe can be divided into
two types: integrated and separated heat pipes. In addition to the high heat transfer
capability, separated heat pipe also has the features of long distance and multi-fluid
heat transfer ability, good adaptability and sealing performance, and flexible area
adjustable between evaporator and condenser [11].
Based on the separate heat pipe, HPCS is proposed in this paper and shown in
Fig. 40.2. This system composed of evaporator, condenser, gas pipe and liquid pipe.
Part inside the data center is the evaporator and its task is absorbing heat and cooing
IT equipment. For ease of installation, evaporator of HPCS has many styles, such as
cabinet type and ceiling type and their photos are shown in Fig. 40.3. Part outside
Fig. 40.2 Schematic of HPCS

Fig. 40.3 Cabinet type and ceiling type evaporators of HPCS
the data center is the condenser and is responsible for providing the cold source and
transport heat to outdoor environment. Evaporator and condenser are connected by
gas pipes and liquid pipes. In the evaporator, the working fluid absorbs heat from
data center and evaporates from liquid state to gaseous state. Then the gaseous
working fluid flows upward into the condenser through the gas pipe. The working
fluid releases heat into outside environment and condenses to the liquid state in the
condenser. Under the action of gravity, the working fluid flows down back to the
evaporator. Through the circulation happening in the HPCS, the heat generated by
IT equipment can efficiently transports from data center to outside environment. In
addition, data center is isolated from the outdoor environment during the heat
transfer process and avoids the impacts of outdoor airs humidity and dust.
HPCS has the good features of high heat transfer capability and low energy
consumption. It belongs to the passive heat transfer device and the temperature
difference between inside and outside of data center is the heat transfer driving
force. The fans of evaporator and condenser are the only energy consumption
component and the power is less than 20 % of the air conditionings. Experimental
result in Fig. 40.4 shows that when the temperature difference is 5 C, the EER of
HPCS is 6. As the temperature difference increasing to 10 C, the EER can reach
15. While the EER of air conditionings used in data center is usually less than 3. By
combined operating with air conditionings, HPCS can be used to cool the data
center instead of the air conditioning when the outdoor temperature is lower than
the set temperature. Because the HPCSs power is much smaller than the air
conditioning, the combined operation mode can significantly reduce the energy
consumption of data center cooling system. In addition, the air conditionings
running time will greatly reduced and maintenance period and service life will be
largely extended.
614 X. Qian et al.
Fig. 40.4 EER of HPCS
40.3.2 Energy Saving Solution of HPCS
In data centers, HPCSs and air conditionings are installed independently and work
dependently. The start working temperature difference of HPCS is 35 C. By
monitoring the temperatures inside and outside of data center, HPCSs and air
conditionings can be automatically controlled. When the temperature difference
satisfies the working requirement of HPCS, like in winter and most time in spring
and autumn, the HPCSs are open and air conditions are turned off. While if the
outside environment temperature is high, like in summer, the data center is cooled
by air conditionings and the HPCSs are turned off.
The average energy consumption of HPCS is less than 20 % of air conditioning,
so this energy saving solutions effect depends on the length of HPCSs working
time. According to the working principle of HPCS, the working hours is mainly
affected by the data center set temperature and its locations climatic condition. The
set temperature of data center is usually 2325 C. Telecommunication base station
is a special type of small data center and its environment requirement is a little
lower than conventional data center. The temperature of telecommunication base
station usually maintained at 2628 C. If the start temperature difference of HPCS
is 5 C, the HPCSs can replace the air conditions when the outside environment
temperature is lower than 18 C for data center and lower than 21 C for telecom-
munication base station. Statistical data in Fig. 40.5 gives the hours of Chinas ten
major cities which dry bulb temperatures are lower than 18 and 21 C. Latitude and
altitude are the two main influence factors of the dry bulb temperature. Higher
latitude and altitude of the place, longer the HPCS can be used throughout the year.
The latitude is increased from south to north in China. Guangzhou is a typical
Fig. 40.5 Annual meteorological statistics of ten major cities in China
Table 40.2 Theoretical energy saving rate

Geographic Telecommunication
City Altitude (m) coordinates Data centers (%) base stations (%)
Guangzhou 41.0 23.17 N 113.33 E 21.6 30.6
Kunming 1,892.4 25.02 N 102.68 E 49.7 67.1
Chongqing 259.1 29.58 N 106.47 E 38.4 47.0
Shanghai 5.5 31.40 N 121.45 E 41.1 49.4
Nanjing 7.1 32.00 N 118.80 E 43.2 51.3
Xian 397.5 34.30 N 108.93 E 47.8 55.8
Jinan 170.3 36.60 N 117.05 E 44.1 50.8
Beijing 31.3 39.80 N 116.47 E 49.4 56.3
Urumqi 935.0 43.78 N 87.65 E 56.9 63.5
Harbin 142.3 45.75 N 126.77 E 60.8 67.2
southern city and its HPCSs working hours is about 30 % of the year. In Harbin, a
typical northern city, the HPCSs working hours is more than 75 % of the year.
Kunming is also a northern city but its altitude is much higher than Guangzhou. So
HPCSs working hours in Kunming is more than twice in Guangzhou. Assume that
HPCSs power is 20 % of air conditioning. Table 40.2 gives the theoretical energy
saving rates of data center and telecommunication base station in these ten cities
after adopting the energy saving solution of HPCS.
616 X. Qian et al.
40.4 Energy Saving Applications of HPCS
A Telecommunication base station in Luoyang was implemented the HPCS energy

saving renovation in 2009. The floor plan is shown in Fig. 40.6. The area of the
telecommunication base station is 27 m2 and the environment set temperature is
28 C. There are seven data racks and the total power of the IT equipment is 4.3 kW.
The telecommunication base station was originally cooled by an air conditioning
and the rated cooling capacity is 7.3 kW. In the energy saving renovation, a HPCS
was installed and displayed in Fig. 40.7. Energy consumption test was conducted
from November 2009 to April 2010 and test results were listed in Table 40.3. The
cooling system energy consumption was decreased from 31.3 kWh per day to
7.8 kWh per day in the test. According to the climatic condition of Luoyang, the
HPCS working hours is 6,505 h per year. By accounting, after adopting the energy
saving solution of HPCS, the full year energy saving rate can reach 55.7 %.
A Beijings data center, which shown in Fig. 40.8, was conducted the HPCS
energy saving renovation in the end of 2009. The area of the data center is 138 m2
and the environment set temperature is 25 C. There are 29 data racks and the total
power of the IT equipment is 30 kW. The data center adopted the underfloor air
supply system and was originally cooled by two air conditionings. The total rated
cooling capacity of them is 45 kW. During the energy saving renovation, three
Fig. 40.6 Floor plan of a

telecommunication base
station in Luoyang
Fig. 40.7 HPCS of the telecommunication base station in Luoyang
Table 40.3 Test result of the telecommunication base station in

Luoyang
Air conditioning HPCS cooling Energy saving
Data cooling(kWh/day) (kWh/day) rate (%)
2009.11 36.3 7.9 78
2009.12 23.5 6.25 73
2010.01 24.3 7.5 69
2010.02 29.3 6.6 77
2010.03 33.6 6.6 80
2010.04 40.9 11.8 71
Average 31.3 7.8 75
Fig. 40.8 Floor plan of a data center in Beijing

618 X. Qian et al.
Fig. 40.9 HPCS of the data center in Beijing
HPCSs were installed and combined worked with the air conditionings. The
evaporators and condensers of HPCSs are shown in Fig. 40.9. Energy consumption
was tested from December 2009 to April 2010. In the test, HPCSs were running
normally and cooling system energy consumption was reduced from 461 kWh per
day to 164 kWh per day. Based on the climatic condition of Beijing, the HPCS
working hour length is 5,414 h per year and the full year energy saving rate can
achieve 38.9 % by using the energy saving solution of HPCS.
HPCS is a kind of excellent free cooling utilization device and its energy saving
solution is a simple and effective way to solve the high energy consumption
problem of cooling system. HPCSs free cooling utilization efficiency is high and
the energy consumption is low. In practical applications, HPCSs are easy to install
in the data centers or telecommunication base stations. It is independent with the air
conditionings on structure. Thus, IT equipment and air conditionings do not need to
turn off during the installation of HPCSs. So far, our team has completed dozens of
HPCS energy saving renovations in China and part of them are list in Table 40.4.
40.5 Conclusions
High energy consumption of cooling system is the common problems of global data
centers and is particularly serious in China. Minimizing the air conditionings
working time by free cooling utilization is one of the most effective ways to reduce
the energy consumption of cooling system. Direct free cooling utilization and
Table 40.4 HPCS energy saving renovations

IT equipment Energy saving
Number Date City Type Area/m2 power/kW rate (%)
1 2009.04 Beijing DC 30 6 37
2 2009.09 Guangzhou TBS 25 3.5 25
3 2009.09 Luoyang TBS 17 4.3 56
4 2009.09 Kunming TBS 15 5.2 39
5 2009.11 Beijing DC 138 40 39
6 2009.12 Hohhot DC 50 10 58
7 2010.01 Beijing DC 40 30 42
8 2010.02 Panjin TBS 24 1.9 36
9 2010.04 Nanchang TBS 28 3.2 57
10 2010.12 Beijing DC 140 60 42
11 2011.04 Hangzhou DC 100 60 40
12 2011.12 Beijing DC 200 90 48
indirection free cooling utilization are compared and the later one is more popular
in practical applications owing to the good environment adaptation. In indirect free
cooling utilization technologies, heat pipe heat exchanger is a good choice because
of the high heat transfer capability and the low maintenance cost.
Based on the separate heat pipe, HPCS is proposed in this paper. It has the
feature of high heat transfer capability, low energy consumption and easy to install.
As free cooling utilization device, when the outdoor temperature is lower than the
set temperature, the data center can be cooled by the outdoor cold environment
through HPCS, and the energy consumption of cooling system will be reduced
significantly. So far, our team has completed dozens of HPCS energy saving
renovations in China and the energy saving effects are obvious. A telecommunica-
tion base station in Luoyang and a data center in Beijing were studied in this paper,
and the full year energy saving rates can respectively achieve 55.7 and 38.9 % by
using the energy saving solution of HPCS.
Acknowledgement The work was supported by the National Natural Science Foundation of
China (51138005, 51376097).
Nomenclature
DC Data center
EER Energy efficiency rate
PUE Power usage effectiveness
TBS Telecommunication base station
t Temperature difference( C)
620 X. Qian et al.
References
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(4):145148
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centers in Japan. 32nd international telecommunications energy conference. pp 15
9. Lui YY (2010) Waterside and airside economizers design considerations for data center
facilities. ASHRAE Transact 116(1):98108
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11. Zhuang J (1989) Heat pipe and heat pipe exchanger. Shanghai Jiao Tong University Press,
Shanghai
Chapter 41
Energy and Exergy Analysis
of a Trigeneration Facility with Natural
Gas Engine
Emin Acikkalp, Ozgur Balli, Hasan Yamik, and Haydar Aras
Abstract Natural gas engine (Wartsila 18VSG) having meanly 5,993 kW

electrical power output and used in a Trigeneration system located in Ankara was
analyzed in terms of energy and exergy. Analysis, which is used actual data, was
made to natural gas engine, heat recovery boiler and absorption chiller, while
trigeneration system on full load operation conditions. Energy loss, energy effi-
ciency, exergy destruction and exergy efficiencies of the trigeneration system was
calculated. The energy and exergy efficiencies of system were determined as 64 and
39 % respectively. FESR (fuel energy saving ratio) and FESxR (fuel exergy saving
ratio) were calculated as 27, 28 % respectively for Trigeneration facility.
Keywords Trigeneration Energy analysis Exergy analysis Exergy destruction

Energy efficiency Exergy efficiency
41.1 Introduction
CHP systems can be defined as systems produce electric and heat together. Simple
kind of these technologies can be shown in early twentieth century. However, this
method gave up in the cheap fuel period and it was started to use again after fuel
crisis between 1973 and 1979. When it is used a simple cycle like, gas turbine or
engine, 30 or 40 % energy convert to electrical power, but 70 or 90 % of inner
E. Acikkalp H. Yamik
Engineering Faculty, Department of Mechanical and Manufacturing Engineering,
Bilecik University, Bilecik, Turkey
O. Balli
First Air Supply and Maintenances Center, TUAF, Eskisehir, Turkey
H. Aras (*)
Engineering and Architecture Faculty, Department of Mechanical Engineering,
Eskisehir Osmangazi University, Eskisehir, Turkey

622 E. Acikkalp et al.
energy can be utilized, by using cogeneration system because of using discharge

heat [1]. In this days not only electrical power and heating energy using in process
produce at CHP systems, but also it is utilized at cooling purposes and it is called
trigeneration. In Turkey CHP systems are tries to become widespread.
An energy systems thermodynamic performance is determined, by analyzing
energy and exergy terms. Energy amount is interpreted with energy analysis and
energy quality with exergy analysis.
In this study a trigeneration system used Wartsila 18VSG with 8.2 MW capacity
natural gas engine is analyzed in terms of energy and exergy and a method is shown
to determine engines actual power analyze. Meanly mechanic power and electrical
power of system are respectively 6,020 kW and 5,993 kW determined by the firm.
41.2 Thermodynamic Analysis
In this section energy and exergy terms was obtained for the trigeneration system
and subsystems.
41.2.1 System Definition and Assumptions
Illustration of system is shown at Fig. 41.1. There, HT is closed loop that cools
engines area at high temperatures such as, engine cylinders, turbocharge and
cylinder heads. LT closed loop cools turbocharge air and engine oil with a heat
exchanger. HT and LT water is cooled through radiator and sent to engine again. At
waste heat boiler, domestic hot water or process water is provided by utilizing
exhaust gas. A portion of hot water produced at waste heat boiler is sent to
absorption chiller to chill climate water.
Assumptions done in this study is listed as follows [1];
Trigeneration system operates at steady state condition.
Air and combustion gasses are ideal gasses.
Combustion is complete.
Kinetic and potential terms in energy and exergy analyze are neglected.
Pressure and temperature of environment are 100 kPa and 298.15 K respectively.
Specific heats of oil are 1,97 kJ(kgK) 1@ 298.15K, 2,03 kJ(kgK) 1@ 336.15K, 2,08
kJ(kgK) 1@ 347.15K and 2,08 kJ(kgK) 1@ 347.42K [2].
41 Energy and Exergy Analysis of a Trigeneration Facility with Natural Gas Engine 623
Fig. 41.1 The schematic of trigeneration system
41.2.2 Energy Analysis of System
Energy analysis for the control volume can describe as following [3];
X X
Q_ W_ E_ Q E_ W E_ o E_ i 41:1
o i
As neglecting magnetic, electrical, nuclear and surface tension energy balance

can be expressed as [4, 5] (Cengel and Boles 2008);
E_ E_ ph E_ ch 41:2
Physical energy for air, combustion gas, water and oil is [4, 5];

E_ ph m_ cPT T cPT o T o m_ hT ho 41:3
Energy of fuel is [6];
E_ ch m_ f LHV 41:4
Composition of natural gas is given in Table 41.1 and its low heat value is
Hu 44661 kJ/kg.
Table 41.1 Composition of natural gas [7, 8]

Low heat
Composition Volume (%) Mass (%) value (kJ/kg)
CH4 93.3401 88.8320 50,000
C2H4 0.2109 0.3760 47,525
C3H8 0.0290 0.1000 46,390
C4H10 0.0124 0.0430 45,775
N2 6.4076 10.6490
Total 100.00 100.00 44,661
Combustion formula is shown as following;
0, 9334CH4 0, 0002109C2 H4 0, 00029C3 H8 0, 000125C4 H10 0, 064077N2

4, 359002 3, 76N2 ! 0, 9351918CO2 1, 8690108H2 O 2, 48923028 O2
16, 453917 N2
41:5
Air fuel mixture is 40. Before combustion process, working fluid is a mixture of
air and natural gas. Molecular weight of this mixture is Mm 28,28 kmol/kg and
gas constant is Rm 0,294 kJ/kgK. After combustion period, gas mass composi-
tion are as 6.7 % CO2, 5.3 % H2O, 13 % O2, 75 % N2. Molecular weight of
combustion gasses was Mg 28.29 kmol/kg and gas constant is Rg 0,294 kJ/
kgK. Air fuel mixtures specific heat at constant pressure was calculated by using
Eq. (41.5) below [6]
And calculated from Eq. (41.5);
0, 65284T 1, 8321T 2 14, 1170T 3 3, 8709T 4

cvm 0, 7910 41:6
103 106 1010 1013
Specific heat constant volume of combustion gas is;
0, 7516T 0, 3840T 2 0, 9829T 3 0, 0995T 4

cvg 0, 4734 41:7
103 106 1010 1013
41.2.3 Energy Efficiencies
Energy efficiency is rate energy output to energy input. Efficiencies for heat
exchangers and chillers [9];
E_ cold, o E_ cold, i
41:8
E_ hot, i E_ hot, o
Efficiency for pump [3];

E_ o E_ i
41:9
W _ Pump
Efficiency of any component of trigeneration system is, [5];
E_ o, j
j 41:10
E_ i, j
Finally efficiency of trigeneration system [10];
E_ products W_ el, net E_ heating, net E_ cooling, net

TRIGEN 41:11
E_ F E_ F, NG
41.2.4 Exergy Terms
Exergy analysis for the control volume can describe as following [3];
X
To _ X X
1 _ W
Q k Ex _ i
Ex _ o Ex
Ex _ D 41:12
Tk i o
As neglecting magnetic, electrical, nuclear and surface tension energy balance

can be expressed as [4, 5];
_ Ex
Ex _ ph Ex
_ ch 41:13
Physical exergy for air, combustion gas [11, 12];

_ ph m_ cPT T T o T o ln T
Ex RT o
P
41:14
To Po
Physical exergy of solids and liquids exergy at constant specific heat [13];

:
_ ph m T0
Ex CpT T T 0 T 0 ln P P0 41:15
T
Physical energy for water [14];
_ ph m_ h ho T o s so
Ex 41:16
Gas hydrocarbon whose formula is CaHb exergy [15];
_ ch, NG
Ex b 0:0698
NG 1:033 0:0169 41:17
m_ NG LHV NG a a
denote exergy grade function. NG is equal to 1.0308 for natural gas.

41.2.5 Exergy Efficiencies
Exergy efficiency is rate energy output to energy input. Exergy efficiencies for heat
exchangers and coolers [9];
_ cold, o Ex
Ex _ cold, i
41:18
_ hot, i Ex
Ex _ hot, o
Exergy efficiency for pump [3];
_ o Ex
Ex _ i
41:19
W_ Pump
Exergy efficiency of any component of trigeneration system is [5];
_ o, j
Ex
j 41:20
_ i, j
Ex
Finally exergy efficiency of trigeneration system [9];
_ products W
Ex _ el, net Ex
_ heating, net Ex
_ cooling, net
TRIGEN 41:21
_ F
Ex _ F, NG
Ex
41.2.6 Other Thermodynamic Performance Parameters
One of the most important parameter is Power to heat ratio (PHRe)[16]. It can be
defined as;
W_ net
PHRe 41:22
E_ Q E_ CW
Another parameter is equivalent electrical efficiency (EEE) [17];
_ net
W
EEE 41:23
E_ E_
E_ TF Q CW
be
A parameter called PURPA (The Public Utility Regulatory Policies Act) can
defined as a scale of recognizing the quality of electrical output to thermal outputs [18].

_ net 0:5 E_ Q E_ CW
W
PURPA 41:24
E_ TF
For the trigeneration system fuel energy saving ratio FESR (Fuel energy saving
ratio) can be defined as [13, 1719].

E_ E_
E_ F, W Q CW E_ F TRIGEN
FESR be
41:25
E_ E_
E_ F, W Q CW
be
Fuel exergy depletion ratio can be defined as [20];
_ C, k
Ex
k 41:26
_ TF
Ex
Relative exergy consumption ratio is calculated from [20];
_ C, k
Ex
k : 41:27
E xTF
The productivity lack ratio for the exergy is [20];
_ C, k
Ex
k 41:28
_ UP
Ex
The exergetic improvement potential can be expressed following [21];
ExIPk 1 ExC, k 41:29
Similar parameters can be defined for energy terms. Fuel energy depletion ratio
can be defined as [8, 22];
E_ L, k
k 41:30
E_ TF
Relative energy loss ratio [8, 22];
E_ L, k
k 41:31
E_ TL
Productivity lack ratio [8, 22];
E_ L, k
k 41:32
E_ UP
Energetic improvement potential [8, 22];

EIPk 1 EL, k 41:33
Finally, power to heat ratio, equivalent electrical efficiency (EEE) and fuel
saving ratio can be written by the exergy terms as follows [13];
W_ net
PHRex 41:34
_ Q Ex
Ex _ CW
Ex _ Q Ex _ CW
EEE 41:35
be

_ F, W Ex_ Q Ex_ CW Ex
Ex _ F
be TRIGEN
FExSR : :
_ CW
41:36
E xQ Ex
E xF, W
be
41.3 Results
In this study a trigeneration system with natural gas engine (Wartsila 18VSG) was
investigated about energy and exergy. Values calculated for engine is shown in
Table 41.2. Pressure, temperature, mass flow, energy and exergy rates are indicated
in Table 41.2.
41.3.1 Energy Analysis Results for Trigeneration Subsystem
Energy input, energy output, energy losses and energy efficiencies for each com-
ponent of trigeneration system is listed in Table 41.3. Energy efficiencies of engine,
waste heat boiler, absorption chiller and radiator are 96, 94, 73, 86 % respectively,
energy efficiencies of HT pump, LT pump, oil pump, compressor and solution
pump are 79, 80, 87, 97, 74 % respectively, energy efficiencies of oil heat
exchanger, generator, absorber, evaporator, condenser, ACH heat exchanger are
77, 70, 87, 89, 37, 89 % respectively.
Maximum energy loss is at radiator (2,774.16 kW). Others are engine, absorp-
tion chiller and waste heat boiler respectively.
41.3.2 Exergy Analysis Results for Trigeneration Subsystem
Exergy input, exergy output, exergy losses and exergy efficiencies for each com-
ponent of trigeneration system is listed in Table 41.4. Exergy efficiencies of engine,
waste heat boiler, absorption chiller, radiator, HT pump, LT pump, oil pump,
compressor, oil heat exchanger, generator, absorber, evaporator, condenser, ACH
Table 41.2 Trigeneration system pressure, temperature, energy rate and exergy rate
Temperature Pressure Mass flow Energy rate Exergy rate

Point Fluid (K) (kPa) (kg/s) (kW) (kW)
0 Air 298.15 100
1 Air 298.15 100 16.385 0 0
2 Natural gas 298.15 300 0.415 18,534.32 19,105.17
0 Water 298.15 100
3 Water 358.15 450 63.06 15,828.70 1,409.95
4 Water 364.15 320 63.06 17,419.57 1,690.37
5 Water 358.08 150 63.06 15,828.70 1,409.95
6 Water 311.15 450 25.65 1,393.41 31.89
7 Water 314.15 350 25.65 1,716.4 46.62
8 Water 321.95 320 25.65 2,551.41 241.93
9 Water 311.08 150 25.65 1,386.9 30.21
0 Oil 298.15 100
10 Oil 347.15 350 36.68 4,944.09 7,188.64
11 Oil 347.42 455 36.68 4,967.71 7,204.62
12 Oil 336.15 450 36.68 4,104.4 5,477.26
13 Gas 662.15 285 16.8 7,872.31 3,915.14
14 Gas 748.78 450 16.8 9,875.14 5,616.78
15 Gas 515 428 16.8 4,588.14 3,100.8
16 Water 373.15 450 34.73 10,912.51 1,184.21
17 Water 393.15 200 25.06 9,995.93 1,327.23
18 Water 393.15 200 9.67 4,871.84 5,12.18
19 Water 373.15 150 25.06 7,874.1 854.49
20 Water 372.15 83 0.67 1,728.65 21.86
21 Water 342.15 83 0.67 126.02 13.92
22 Water 277.65 0.73 0.67 126.02 66.81
23 Water 277.65 0.73 0.67 1,513.56 1,453.85
0a Water-LiBr 298.15 100
(64 %)
24a Water-LiBr 321.35 83 9.53 435.95 158.46
(64 %)
25a Water-LiBr 323.35 83 9.53 473.75 161.20
(64 %)
26a Water-LiBr 362.15 83 9.53 1,064.64 183.82
(64 %)
0v, a Water-LiBr 298.15 100
(59.5 %)
27a Water-LiBr 341.15 83 8.86 440.35 96.94
(59.5 %)
28a Water-LiBr 314.55 83 8.86 286.08 21.92
(59.5 %)
29a Water-LiBr 310.55 0.73 8.86 286.08 130.23
(59.5 %)
(continued)
Temperature Pressure Mass flow Energy rate Exergy rate

Point Fluid (K) (kPa) (kg/s) (kW) (kW)
30 Water 312.55 120 54.9 3,723.192 90.85
31 Water 317.65 80 54.9 4,475.28 142.88
32 Water 285.35 250 54.35 2,608.26 1,692.38
33 Water 279.85 180 54.35 4,168.65 1,187.05
34 Water 302.55 250 72.23 1,323.25 3.35
35 Water 308.15 120 72.23 3,022.83 59.53
a
Li-Br enthalpy and entropy values were taken from [23, 24]
v
represents to forth environment conditions that belong to 59.5 % Li/Br mixture
heat exchanger, solution pump are 74, 73, 39, 75, 54, 17, 59, 11, 98, 14, 7, 1, 20, 30,
6 respectively. Maximum exergy loss is at engine (6,823.2 kW) because of irre-
versibilities in chemical reactions. Others are absorption chiller.
41.3.3 Energy and Exergy Analysis Results

of Trigeneration System
In the study energy and exergy efficiencies were calculated as 64 and 39 %

respectively. Results for overall system can be shown in Tables 41.5 and 41.6.
Total energy and exergy losses of system are 8,113.27, 12,996.72 kW respectively.
41.4 Conclusions
In this study a trigeneration system with Wartsila 18VSGD natural gas engine was
investigated in terms of energy and exergy. Some specific results were listed
following;
Calculated energy and exergy efficiencies of trigeneration system are 64 and
39 %.
Maximum energy loss at a component is at radiator (2,774.16 kW).
Maximum energy loss to environment is 4,588.14 kW.
Maximum exergy consumption is at engine (6,823.2 kW).
Maximum energetic improvement potential in absorber (839.12 kW) and max-
imum exergetic improvement potential is in engine (1,774.03 kW).
According to these results plant owner has an opinion about recovery will be
done. In addition, it is determined how actual power can produce from engine under
certain or mean environment condition and according to this several solutions can
41
Table 41.3 Parameters interested with energy for components

Energy Energy Energy
Component input (kW) output (kW) loss (kW) (%) (%) (%) (%) EIP (kW)
Engine (NGE) 39,860.8 38,312.7 1,548.13 96 8 23 15 61.93
Heat recovery 20,787.7 19,455.9 133.74 94 0.7 2 1.3 8.02
boiler (HRB)
Absorption 2,121.83 1,560.39 561.44 73 3 8.5 5.4 151.6
chiller (AC)
Radiator 19,974.6 17,200.5 2,774.16 86 1.5 41 26 388.38
HT pump (HTP) 24 18.91 5.09 79 0.03 0.08 0.05 1.07
LT pump (LTP) 10 7.95 2.05 80 0.01 0.03 0.02 0.41
Oil pump (OP) 27 23.62 3.38 87 0.02 0.05 0.03 0.44
Oil heat exchanger (OHE) 863.31 835.01 28.3 97 0.15 0.4 0.3 0.85
Compressor (C) 2,600 2,002.83 597.17 77 3 9 6 137.35
Generator 2,121.83 1,475.54 646.29 70 1.02 10 5.4 193.88
Condenser 1,835.63 1,604.14 231.49 87 1.25 3.5 2 30.09
Evaporator 1,560.39 1,387.54 172.85 89 0.9 2.6 1.5 19.01
Absorber 2,110.5 778.56 1,331.94 37 7.2 20 11 839.12
Absorption chiller heat exchanger (ACHE) 590.89 525.45 65.44 89 0.35 0.1 0.5 7.2
Solution pump (SP) 50 37.8 11.8 74 0.07 0.2 0.1 3.39
Energy and Exergy Analysis of a Trigeneration Facility with Natural Gas Engine
631
632
Table 41.4 Parameters interested with exergy for components

Exergy Exergy Exergy
Component input (kW) output (kW) consumption (kW) (%) (%) (%) (%) ExIP (kW)
Engine (NGE) 26,024.3 19,201.1 6,823.2 74 36 59 90 1,774.03
Heat recovery boiler (HRB) 6,800.99 4,940.21 1,860.78 73 9.7 16 25 502.41
Absorption chiller (AC) 1,305.37 505.33 800.04 39 4.2 7 10 488.02
Radiator 1,936.18 1,456.96 479.22 75 2.5 4.1 6.4 119.81
HT pump (HTP) 24 13.05 10.95 54 0.05 0.09 0.15 5.04
LT pump (LTP) 10 1.68 8.32 17 0.04 0.07 0.11 6.91
Oil pump (OP) 27 15.98 11.02 59 0.06 0.1 0.15 4.52
Oil heat exchanger (OHE) 1,727.36 195.31 1,532.05 11 8 13 20 1,363.52
Compressor (C) 2,600 2,515.98 84.02 98 0.4 0.7 1.1 1.68
Generator 472.74 65.02 407.72 14 2.13 3.6 5.5 350.64
Condenser 284.68 20.04 264.64 7 1.4 2.3 3.5 246.12
Evaporator 505.23 4.24 500.99 1 2.6 4.3 6.7 495.98
Absorber 142.27 28.23 114.04 20 0.6 1 1.5 91.23
Absorption chiller heat exchanger (ACHE) 75.09 22.62 52.47 30 0.3 0.5 0.7 36.73
Solution pump (SP) 50 2.74 47.26 6 0.2 0.4 0.6 44.11
E. Acikkalp et al.
Table 41.5 Parameters System data Performance parameters

interested in energy for
Data Unit Value Parameter Unit Value
overall trigeneration system
EF kW 18,534.3 % 64
EW.net kW 6,360.33 W % 34
EQ kW 3,955.26 HEAT % 21
EQ.ACH kW 1,560.39 COOL % 8
ETL kW 6,658.32 PURPA % 49
EF.SHP kW 6,894.56 EEE % 55
be % 80 PHRe % 1.15
FESR % 27
% 36
% 64
EIP kW 2,397
Table 41.6 Parameters System data Performance parameters

interested in exergy for
Data Unit Value Parameter Unit Value
overall trigeneration system
ExF kW 19,105.17 % 39
ExW.net kW 6,360.33 W % 33
ExQ kW 655.2 HEAT % 3.4
ExQ.ACH kW 505.33 CW % 2.6
ExC kW 11,584.31 EEE % 55
ExF.SHP kW 7,600 PHRex % 5.5
be % 15.27 FExSR % 28
% 60
% 39
ExIP kW 7,066.43
be thought. First solution advice is that it can be utilized from the waste heat of HT
and LT loops, by installing heat exchangers to them.
Exergy and energy methodology submitted at this study might be useful, while
designed and improved similar trigeneration systems.
Nomenclature
cP Specific heat capacity at constant pressure (kJkg1)

cv Specific heat capacity at constant volume (kJkg1)
E_ Energy rate (kW)
_
Ex Exergy rate (kW)
_
ExIP Exergetic improvement potential rate (kW)
FESR Fuel energy saving ratio (%)

FExSR Fuel exergy saving ratio (%)
h Enthalpy (kJkg1 K1)
LHV Lower heating value of fuel (kJkg1)
m_ Mass rate (kgs1)
P Pressure (kPa)
Q_ Heat (kW)
PHR Power-to-heat ratio (%)
R Universal gas constant
s Entropy (kJkg1 K1)
T Temperature (K)
u Specific internal energy (kJkg1)
U Internal energy (kJ)
W_ Work (kW)
Abbreviations
ACH Absorption chiller
ACHE Absorption chiller heat exchanger
C Compressor
CHP Combined heat and power
EEE Equivalent electrical efficiency
EGEN Electric generator
HRB Heat recovery boiler
HT High temperature loop
HTP High temperature loop pump
LT Low temperature loop
LTP Low temperature loop pump
NGE Natural gas engine
OHE Oil heat exchanger
OP Oil pump
PURPA Public Utility Regulatory Policies Acts
S Separator
SP Solution pump
Subscripts
be Boiler efficiency
C Consumption
ch Chemical
cw Chilled water
cold Cold side
COOL Cooling
D Destruction
e Energitic
E Engine
ex Exergitic
F Fuel
hot Hot side
i Inputs
j jth component
k Boundary of system
L Loss
m Mixture of natural gas and air
NG Natural gas
o Outputs
ph Physical
Q_ Heat
T Temperature
UP Useful products
TRIGEN Trigeneration
W _ Work
Greek letters
Fuel exergy depletion ratio (%)
Relative exergy loss ratio (%)
Productivity lack ratio based on exergy (%)
Fuel exergy grade function (%)
First law (energy) efficiency (%)
Second law (exergy) efficiency (%)
Fuel energy depletion ratio (%)
Relative energy loss ratio (%)
Productivity lack ratio based on energy (%)
References
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trigeneration TRIGEN system with a gasdiesel engine: part II an application. Energy
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Accessed on May 2011
3. Bejan A, Tsatsaronis G, Moran M (1996) Thermal design and optimization. Wiley, NewYork,
NY
4. Moran MJ, Shapiro HN (1995) Fundamentals of engineering thermodynamics. Wiley,

New York, NY
5. Cengel YA, Boles MA (2008) Thermodynamics: an engineering approach, 6th edn. McGraw-
Hill, NewYork, NY
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7. Balli O, Aras H (2007) Energetic analysis of a combined heat and power system CHP in
Turkey. Energy Explore Exploit 25:3962
8. Balli O, Aras H (2007) Energetic and exergetic performance evaluation of a combined heat and
power system with the micro gas turbine MGTCHP. Int J Energy Res 37:14251440
9. Wark KJ (1995) Advanced Thermodynamics of engineers. McGraw-Hill, New York, NY
10. Rosen MA, Le MN, Dincer I (2005) Efficiency analysis of a cogeneration and district energy
system. Appl Therm Eng 25:147159
11. Kotas TJ (1995) The exergy method of thermal plant analysis. Krieger, Malabar, FL, Reprint edn
12. Ebadi MJ, Gorji-Bandpy M (2005) Exergetics analysis of gas turbine plants. Int J Exerg 2:285
290
13. Balli O, Aras H, Hepbasli A (2010) Thermodynamic and thermoeconomic analyses of a
trigeneration TRIGEN system with a gasdiesel engine: part I methodology. Energy Conserv
Manage 51:22602271
14. Moran MJ, Sciubba E (1994) Exergy analysis: principles and practice. J Eng Gas Turbine
Power 116:285290
15. Moran MJ (1989) Availability analysis: a guide to efficient energy use. ASME, New York, NY
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ceedings of ECOS96, Stockholm, Sweden
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http://www.epa.gov/chp/technologies.html. Accessed on May 2011
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Energy Convers Manag 39:16071609
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in system elaborating mixed-phase flows and a case study in a study in IRSOFC plant. Int J
Energy Res 28:101115
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Pereira C, Soares IMRT, Reis AJPS (eds) Innovation and technology-strategies and policies.
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Chapter 42
Numerical Study of Solidification in Triplex
Tube Heat Exchanger
Abduljalil A. Al-Abidi, Sohif Mat, K. Sopian, M.Y. Sulaiman,

and AbdulrahmanTh. Mohammad
Abstract Thermal energy storage is very important to eradicate the discrepancy

between energy supply and energy demand and to improve the energy efficiency of
solar-energy systems. The latent heat thermal energy storage systems have gained
greater attention recently due to their reliability and high storage density at nearly
constant thermal energy. The present work explores numerically the solidification
process of a phase change material (PCM) in a triplex tube heat exchanger (TTHX)
equipped with internal and external fins to enhance the heat transfer during the
charging and discharging of the PCM. A two-dimension (2D) numerical model is
developed using the Fluent 6.3.26 software program; the pure conduction and
natural convection are considered for the simulation. Experimental and numerical
data were adopted to validate the model from the literature; a good agreement has
been found. Predicted results indicated that the solidification rate time of the TTHX
with internal and external fins was about 50 % of the solidification time of the
TTHX without fins.
Keywords Solidification Triplex tube heat exchanger Phase change material

Fluent
42.1 Introduction
Phase change material (PCM) thermal energy storage is a technique that has been
gotten a greater consideration recently due to their high thermal energy density per
unit volume/mass and their availability for different engineering fields with a wide
temperature range. Since solar energy is considered as an intermittent energy source
that leads to low efficiency of most thermal solar energy applications (TSEA).
Thermal energy storage is very important to eradicate the discrepancy between
energy supply and energy demand and to improve the energy efficiency of solar
A.A. Al-Abidi (*) S. Mat K. Sopian M.Y. Sulaiman A.T. Mohammad

Solar Energy Research Institute, National University of Malaysia, Bangi, Selangor, Malaysia

638 A.A. Al-Abidi et al.
energy systems. In addition, most of the TSEA need a constant or near constant
temperature to work with high efficiency strategies: the using of latent heat thermal
energy storage (LHTES) as thermal energy storage can deliver this constant
temperature, which meets the melting temperature of the PCM.
The using of PCM can be found in different engineering fields such as thermal
storage of a building structure and equipment (roof, wall, ceiling, domestic hot
water, heating and cooling systems), electronic products, drying technology, waste
heat recovery, refrigeration and cold storage, and solar cookers. Most of the PCMs
are known as low thermal conductivity substances that limit the using of these
materials as thermal energy storage, and that lead to a long time for the melting and
solidification process; the heat transfer enhancement technique is the subject of
many researchers to overcome this poor characteristic of PCM. Several researchers
have studied the heat transfer enhancement in PCMs including finned tubes,
insertion of a metal matrix to the PCM, using multi-tubes, using bubble agitation
in PCMs, using PCM dispersed with high conductivity particles, and employing
multiple families of PCMs in LHTES.
Most researchers reported that the increase of the heat transfer area will lead to
improve the heat transfer between the heat transfer fluid and the PCM. The majority
of the heat enhancement techniques have been based on the application of fins
embedded in the PCM; this is probably due to their simplicity, ease in fabrication,
and low cost of construction [1]. There are different fin configurations applied to the
PCM, including external fins, and internal fins (circular, longitudinal, rectangular).
The designing parameters of the thermal energy storage, such as the geometry of the
thermal storage, the fins attached to the heat transfer tubes either internally or
externally, the fin length, the fin thickness and the high thermal conductivity of
metals that are immersed in the PCM, play a key role in the enhancement of the
solidification process of the PCM. Moreover, the effect of the operation parameters,
such as the heat transfer fluid (HTF) inlet temperature and mass flow rate were
found to affect the solidification of the PCM, but the majority of researchers
reported that there is a big influence of the designing parameters in time to complete
the solidification process in contrast to the operation parameters.
Bauer [2] developed an analytical model to investigate the effective utilization
of fins in LHTES; they studied the solidification times of PCM using two geome-
tries; the first geometry is a finned plane wall and the second geometry is a tube
surrounded by the PCM-fin arrangement. Mosaffa et al. [3] presented a
two-dimensional analytical model to study the solidification process of a PCM in
a shell and tube heat exchanger with radial fins; they reported the PCM solidified
more quickly in the cylindrical shell storage than in the rectangular storage, In
addition, the solid fraction of the PCM increases more quickly when the cell aspect
ratio is small. Ismail et al. [4] investigated numerically and experimentally the
effect of fin design parameters such as the fin length, fin thickness, number of fins,
and the aspect ratio of the annular space on the complete solidification, solidified
mass fraction, and the total stored energy of the PCM.
Stritih et al. [5] used a rectangular external fin to enhance the heat transfer during
melting and solidification of a latent heat storage for thermal application in building
42 Numerical Study of Solidification in Triplex Tube Heat Exchanger 639
purposes; they concluded that heat storage (melting) was not a problem during
thermal storage applications, and that the extraction of heat (solidification) can be
effectively enhanced with fins. Bilen et al. [6] investigated experimentally the
melting and solidification characteristics of (CaCl2.6H2O)as a PCM in a vertical
double-concentric pipe energy storage system; different design and operation
parameters were studied such as the numbers of fins inside the PCM, mass flow
rate, and the inlet HTF temperature; they reported that the effect of the designing
parameters are much more than the effect of the operation parameters.
Ismail et al. [7] conducted an experimental and numerical investigation of the
solidification of PCM around a curved cold tube; different operation parameters
such as the Dean number, cooling fluid flow rate and its temperature on the interface
velocity, were studied to determine the effect of these parameters on the time for
complete solidification and the solidified mass. Lipnicki and Weigand [8] studied
experimentally and theoretically the natural convection and solidification of a
vertical annular enclosure; the inner cylinder was cooled down below the solidifi-
cation temperature of the HTF (water), whereas the outer cylinder was kept at a
constant temperature above 0 C. The thermal resistance of the contact layer
between the cooled inner wall and the solidified layer was investigated; they
reported that the influence of the contact layer between the frozen layer and the
cold surface is of significant importance for the solidification process. Sanusi
et al. [9] examined experimentally the effect of graphite nanofibers (GNFs) on
both the thermal storage and solidification time of a PCM that is embedded between
two sets of aluminum fins. They performed the influences of the aspect ratio and
power density of the PCM solidification. The time required for the finished melting
and solidification of PCM is very important to absorb/release energy as much as
possible from solar energy; moreover, the charging process depends on the HTF
mass flow rate and inlet temperature. The inlet HTF temperature fluctuations would
affect the charging process, especially when the charging source depends on solar
energy. Ismail and Moraes [10] studied numerically and experimentally the effect
of the PCM container materials, configuration, and dimensions on the solidification
of various PCMs to obtain the time required for complete solidification.
In the present work, the effects of longitudinal external and internal fins on the
solidification process in Triplex tube heat exchanger (TTHX) are investigated
numerically; the number of fins, fin length, and fin thickness were studied to
improve the performance of the PCM thermal energy storage.
42.2 Physical and Numerical Models
42.2.1 Physical Model
Figure 42.1 shows the physical configuration of the TTHX, the inner tube radius ri is
25.4 mm with 1.2 mm thickness, the middle tube radius rm is 75 mm and the outer
tube radius ro is 100 mm; with 2 mm thickness, all pipes are made from copper to
Fig. 42.1 Schematic

diagram of triplex tubes
heat exchanger unit
Table 42.1 Thermo-physical Property Unit Value

properties of the PCM
Density of PCM, solid, s kg/m3 990
Density of PCM, liquid, l kg/m3 770
Specific heat of PCM, liquid, Cpl, Cps J/kg K 2,000
Latent heat of fusion, L J/kg 176,000
Melting temperature, Tm K 355.15
Thermal conductivity, k W/m K 0.2
Thermal expansion coefficient 1/K 0.001
Dynamic viscosity, Kg/m.s 0.03499
ensure high thermal conductivity, which enhances the heat transfer phenomena
between the PCM and the HTF. There have been different numerical experiments
that were done for different fin lengths of 30, 35, and 42 mm, respectively, fin
thickness of 1,1.5, and 2 mm, and the number of fins (4, 6, 8).
The outer tube and the inner tube are for the HTF, whereas the middle tube is for
the PCM, where the PCM is based on commercially available materials, RT82
(Rubitherm GmbH), with the thermo-physical properties listed in Table 42.1. This
thermal energy storage will be used to deliver the required thermal energy to a liquid
desiccant air-conditioning system and the HTF will be water, so the minimum
temperature required to operate the liquid desiccant air conditioning is about 65 C.
42.2.2 Governing Equation
For the mathematical equations of the solidification process of the PCM inside the
middle tube of the TTHX, the flow is consider as laminar, unsteady, and
incompressible. The thermal resistances of the inner and middle tube are negligible,
and the viscous dissipation is considered negligible. The effect of natural convec-
tion during solidification is considered, whereas the thermo-physical properties of
the HTF and PCMs are independent of the temperature; the viscous incompressible
flow and the temperature distribution are solved using the Navier-Stokes and
thermal energy equation, respectively, the continuity, momentum, and thermal
energy equations can be written as [11]:
Continuity:
t i :ui 0 42:1
Momentum:

t ui i ui uj jj ui i p gi Si 42:2
The energy equation:
t h t H i ui h i ki T 42:3
Where is the density of PCM (RT82), ui is the fluid velocity , is the dynamic
viscosity, p is the pressure, g is the gravity acceleration, k is the thermal conduc-
tivity, and h is the sensible enthalpy. The sensible enthalpy can be expressed as:
T
h href cpT 42:4
Tref
H, can be defined as:
H h H 42:5
Where href is the reference enthalpy at the reference temperature Tref, cp is the
specific heat, H is the latent heat content that may change between zero (solid) and
L (liquid), the latent heat of the PCM, and is the liquid fraction that happens
during the phase change between the solid and liquid state when the temperature is
Tl > T > Ts, so it can be written as:
H=L 42:6
8
<0 if T < Ts
1 if T > Tl 42:7
:
T Ts = Tl Ts if Tl > T > Ts
The source term Si in the momentum equation, Eq. (42.2), is defined as:
ui
Si C1 2 42:8
3
C is a constant reflect of the mushy zone, it is between 104 and 107, so 105 is
considered for this work [12].
42.2.3 Initial and Boundary Conditioning
At the initial time, the PCM was considered in a liquid state, and the initial
temperature of the PCM is about 363.15 K whereas a constant temperature of the
tube wall represented the HTF temperature, which was about 338.15 K, which
reflects the minimum temperature required for liquid desiccant air conditioning
system operation. The boundary conditions of the TTHX can be written as below;
at r ri , ! T THTF 42:9
at r rm ! T THTF 42:10
The initial temperature for the three models will be
at t 0 ! T Tini 42:11
42.2.4 Numerical Modeling
Using the commercial computational program (Fluent 6.3.26), a solidification and

melting model is used to simulate the solidification process of the PCM, two
dimensions(r, ) of the TTHX are drawn and meshed in a geometric modeling
and mesh generation software, Gambit, which is part of the Fluent software; the
boundary layers and zone types are defined, then the mesh is exported to the Fluent
software. Different computational grids are adopted for the different cases to reduce
the time required for simulation. A half-section grid is used for cases with eight fins
and four fins, whereas the full section is used for the six-fin type. The Fluent
software employs the finite volume method as described by [13] and uses the
enthalpyporosity formulation to solve the mass, velocity and energy equations.
The PRESTO scheme is used for the pressure correction equation, and a well-
known Semi-Implicit Pressure-Linked Equation (SIMPLE) algorithm is used for
the pressurevelocity coupling, the under-relaxation value factors for pressure,
velocity, energy, and liquid fraction are 0.3, 0.2, 1, and 0.9, respectively. Different
grid meshing and time steps for the cases have been tested carefully at the primary
calculation for the melt fraction of the TTHX; different time steps; 1 (chosen), 0.5,
and 0.6 were examined for the simulation; also, to check the independency of the
grid size for the numerical solution, three grid sizes were examined: 16,889 cells
(chosen), 19,924 cells, and 25,136 cells. The 16,889-cells grid with a 1 s time step
was found enough to achieve the predetermined convergence of the energy equa-
tion (105), and 103 for the velocities.
42.2.5 Validation of the Model
The validation of the numerical method has been done by comparing the experi-
mental and numerical data reported by [14] for the solidification process of paraffin
(RT60) inside a vertical cylinder with internal longitudinal fins, the outside diam-
eter of the tube is 60 mm and the inner tube diameter is 54 mm, with a cross-shaped
cross-section fin with dimensions of 1.5 mm thickness and 27 mm height welded
from the top and bottom of the tube. The same meshing method and time step were
applied for the model, which led to 1,593 cell grid generation and time step of 1 s,
the boundary conditions of the model were applied for a temperature of 328.15 K,
and a convection heat transfer coefficient of 400 W m2 K1. The verification of this
model work was based on a comparison of four temperature points inside the PCM,
which were plotted as functions of time in Fig. 42.2. It is obvious that the results
obtained by the present model are in good agreement with the experimental and
numerical data reported by [14].
Figure 42.3 shows the melting fraction versus time of the PCM during the
discharging period (solidification) with different numbers of fins (4, 6, 8) and
without fins for comparison; the fin length and thickness are 42 mm and 1 mm,
respectively. One can observe that an increase in the presence of the fins leads to
reducing the solidification time. The time for the complete solidification for eight
fins was about half of that of the configuration without fins, indicating a strong
reduction in time required for releasing their energy to the load.
It can be seen that the solid fraction was increased at the primary time of the
energy being released because the thermal resistance between the inner tube surface
and the PCM was small; as the time progressed, the thermal resistance increased
due to the increase of the solid fraction in the PCM, consequently, the heat-transfer
decreased and the PCM slightly increased to the solid state. The effect of the fin
length on the solidification rate time for eight fins is shown in Fig. 42.4, in which the
melting fraction was plotted versus time. It is clear that the solidification rate time
decreases when the fin length increases, but after a specific length the effect is close
together as shown for a length of 35 and 42 mm. There is not a big difference in the
time for the complete solidification according to the fin length.
Figure 42.5 shows the influence of the fin thickness on the solidification rate of
PCM with a fin length 42 mm and the time required to complete melting; it can be
said that there is little effect from the thickness on the solidification process; their
Fig. 42.2 Comparison results of four temperature points (a) the experimental and numerical
works, (b) present model
1.2
Without fin
Melting Fraction
0.8
4 fins
0.6
6 fins
0.4 8 fins
0.2
0
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 10000
Time, second
Fig. 42.3 Number of fins effect to the solidification rate of the PCM
1.2
0.8
Melting fraction
30 mm
0.6
35 mm
0.4 42 mm
0.2
0
0 500 1000 1500 2000 2500 3000 3500 4000 4500 5000
Time, second
Fig. 42.4 Fin length effect to the solidification rate of the PCM
effect was totally close together when the thickness increased. This is because the
fin content decreases appreciably, while there is a small increase in the heat transfer
area when thin fins are used. Therefore, it is desirable to have thin fins for better
performance in LHTES as reported by [15]. In general it can be conclude that the
solid fraction is significantly accelerated by adding internal and external fins to the
TTHX, this is because the fin extent the heat transfer area and conducted directly to
the PCM surfaces.
1.2
0.8
Melting fraction
1 mm
0.6
1.5 mm
0.4 2 mm
0.2
0
0 500 1000 1500 2000 2500 3000 3500 4000 4500 5000
Time, second
Fig. 42.5 Fin thickness effect to the solidification rate of the PCM
42.4 Conclusion
The using of internal and external fins to accelerate the solidification rate of RT82
as a PCM in triplex tube heat exchangers were investigated numerically; different
design parameters such as the fin length, fin thickness, and number of fins were
analyzed. Based on the simulation results, these parameters have a significant
influence on the time for complete freezing of the PCM; the effect of fin thickness,
and fin length are small compared to the number of fins, which have a strong effect
on the solidification rate time. According to the results, the eight-fin configuration
achieved the complete solidification earlier with respect to other cases. The simu-
lation was validated by adopting experimental and numerical works from the
literature; there was good agreement between the present simulations and previous
works.
Nomenclature
C Mushy zone constant (kg/m3.s)

Cp Specific heat of PCM (J/kg)
Gi Gravity acceleration in the i-direction (m/s2)
h Sensible enthalpy (J/kg)
H Enthalpy (J/kg)
k Thermal conductivity (W/m.K)
L Latent heat fusion (J/kg)
Si Momentum source term in the i-direction (Pa/m)

T Temperature ( C or K)
ui Velocity component (m/s)
Greek Letters
Dynamic Viscosity (kg/m.s)
Liquid fraction
Fluid density(kg/m3)
Subscripts
HTF Heat transfer fluid
i, j Components
ini Initial
L Liquidus of the phase change material
M Melting
Ref Reference
S Solidus of the phase change material
T Time
References
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Renew Sustain Energ Rev 14:615628
2. Bauer T (2012) Approximate analytical solutions for the solidification of PCMs in fin geom-
etries using effective thermophysical properties. Int J Heat Mass Transf 54:49234930
3. Mosaffa AH, Talati F, Basirat Tabrizi H, Rosen MA (2012) Analytical modeling of PCM
solidification in a shell and tube finned thermal storage for air conditioning systems. Energ
Build 49:356361
4. Ismail KAR, Alves CLF, Modesto MS (2001) Numerical and experimental study on the
solidification of PCM around a vertical axially finned isothermal cylinder. Appl Therm Eng
2001(21):5377
5. Stritih U (2004) An experimental study of enhanced heat transfer in rectangular PCM storage.
Int J Heat Mass Transf 47:28412847
6. Blen K, Takgil F, Kaygusuz K (2008) Thermal energy storage behavior of CaCl2.6H2O during
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8. Lipnicki Z, Weigand B (2012) An experimental and theoretical study of solidification in a free-
convection flow inside a vertical annular enclosure. Int J Heat Mass Transf 55:655664
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Heat Mass Transf 52:41954202
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Chapter 43
Computer Simulation of Heat and Mass
Transfer in a Cross Flow Parallel-Plate
Liquid Desiccant-Air Dehumidifier
Abdulrahman Th. Mohammad, Sohif Bin Mat, M.Y. Sulaiman,

Kamaruzzaman Sopian, and Abduljalil A. Al-abidi
Abstract A MATLAB program using finite difference technique is investigated to

predict the distribution of air stream parameters as well as desiccantsolution
parameters inside the parallel plate absorber. The present absorber consists of
14 parallel plates with a surface area per unit volume ratio of 80 m2/m3. Calcium
chloride as a liquid desiccant flows through the top of the plates to the bottom while
the air flows through the gap between the plates making it a cross flow configura-
tion. The model results show the effect of desiccant mass flow rate on the perfor-
mance of the dehumidifier (moisture removal rateand the effectiveness). The results
show that the maximum temperature and humidity ratio differences of the air are
2.56 C and 11 g/Kg with a maximum solution mass flow rate of 160 g/s. The
maximum temperature and minimum concentration differences of solution in the
direction flow of solution are 3.185 C and 0.34 % with a maximum solution mass
flow rate of 160 g/s. The moisture removal rate increases rapidly with solution flow
rate from 1.41 to 2.196 g s1, but the moisture removal stagnates at high desiccant
solution mass flow rates. The effectiveness achieves an increase of 0.390.66 when
the solution mass flow rate increases from 30 to 160 g s1.
Keywords Finite difference Liquid desiccant Moisture removal Effectiveness
A.T. Mohammad (*)

Department of Mechanical Engineering, Baqubah Technical Institute,
Foundation of Technical Education, Baghdad, Iraq
S.B. Mat M.Y. Sulaiman K. Sopian A.A. Al-abidi
Solar Energy Research Institute, University Kebangsaan Malaysia, 43600 Bangi, Selangor,
Malaysia
[email protected]

650 A.T. Mohammad et al.
43.1 Introduction
Many researchers have performed theoretical analysis and computer simulations of

the heat and mass transfer performance of the liquid desiccant dehumidifier, such as
Liu et al. [1], who used a theoretical model to predict the air and solution parameters
inside a cross flow liquid desiccant dehumidifier/regenerator as well as the outlet
parameters; the model used NTU as the input parameter. Xiao-HuaLiu et al. [2]
investigated an analytical solution to give air and desiccant parameters as well as
enthalpy and moisture efficiency in a cross flow dehumidifier. Yin and Zhang [3]
developed an NTU-Le model to determine the characteristics of liquid desiccant
dehumidification. Dai and Zhang [4] built up a mathematical model to predict the
performance of a liquid desiccant air dehumidifier with honeycomb as a packed
bed. Liu et al. [5] estimated the hour-hour performance of the dehumidifier using a
simplified method with empirical correlations.Mohammad et al. [6] proposed an
artificial neural network model (ANN) for predicting the performance of a liquid
desiccant dehumidifier in terms of moisture removal rate and the effectiveness. The
results show that 6-3-3-1 ANN structure was the best model for predicting the
watercondensation rate, where as the 6-6-6-1 was the best model for predicting the
dehumidifier effectiveness. Local volumetric average approach wasusedby-
PengandPan [7] to investigate the transient heat and mass transfer in liquid desic-
cant air-conditioning process at low flow conditions.
From the literature, most of researchers have investigated experiments on the
counter flow liquid desiccant dehumidifiers because their performance tends to be
better than the cross flow dehumidifiers. But, very limited experimental perfor-
mance data is available on this type of dehumidifiers arrangements. Therefore, in
this study, finite difference technique wasused to show the distribution of the air and
the solution parameters: air and solution temperature, humidity ratio of air, and
solution concentration inside a parallel plate liquid desiccant dehumidifier under
the effect of the solution mass flow rate.The moisture removal rate and the dehu-
midifier effectiveness were investigated under the effect of solution flow rate.
43.2 Dehumidifier Design
A parallel plate dehumidifier consists of a number of vertical parallel plates with

polypropylene material. The distance between each two adjacent plates is1 cm. Its
geometry is presented in Fig. 43.1. All parameters in the design of the dehumidifier
and its specifications are summarized in Table 43.1.
43 Computer Simulation of Heat and Mass Transfer in a Cross Flow Parallel. . . 651
Fig. 43.1 Schematic of the cross flow parallel plate dehumidifier
Table 43.1 Dehumidifier parameter design

Dehumidifier dimensions
Length Width Depth
Type (H) (cm) (W) (cm) (L) (cm) Process
Parallel plate with a 75 25 30 Adiabatic
cross flow
Plate dimensions
Number of plates Length Width (L) Thickness Distance between two
(y) (cm) (cm) (t) (cm) plates (w) (cm)
14 60 30 0.4 1
43.3 Mathematical Models
The Z-axis denotes the direction of air flow while the X-axis is the direction of the
solution perpendicular to the air flow, which is in a cross flow configuration. A
theoretical two-dimensional analysis of an adiabatic process was developed based
on the following assumptions: (1) Steady state (2) Two-dimensional flows (3) No
heat transfer from the solution to the plates (4) The interfacial area of heat and mass
transfer are equal (5) No heat and mass transfer to or from the surroundings
(6) Laminar and fully-developed flow (7) The heat and mass transfer coefficients
are uniform throughout the module.
43.3.1 Basic Equation of Heat and Mass Transfer

Coefficients
The rates of heat and mass transfer between the air and solution can be expressed as
overall coefficients, heat transfer coefficient, and mass transfer coefficient; these
coefficients must be known to find the existing conditions for the air and the
solution in a liquid desiccant dehumidifier. Appendix 1 represents the set equations
of all the parameters for calculating heat and mass transfer coefficients, NTU, and
Lewis number.
43.3.2 Energy and Mass Balance Equations
The heat and mass transfer process which takes place in liquid desiccant dehumid-
ifier is the same process in cooling tower. There is little difference between them,
while the cooling tower uses the water as the working liquid, the process only
humidifies, but in liquid desiccant chamber uses a salt-water solution can humidify
or dehumidify the air depending on the operation conditions. The liquid desiccant
chamber is filled with packing material, the solution drips from the top, wetting the
packing material, while air is blows through from the bottom in a counter, parallel,
and cross current arrangement. The heat transfer process occurs because of tem-
perature difference between the air and the solution, while the mass transfer is
driven by a difference between the partial pressure of the water vapor in the air and
the vapor pressure of a liquid.
The schematic for a differential element of a cross-flow liquid desiccant dehu-
midifier is shown in Fig. 43.2. Energy and mass balance equations for differential
element may be written as in Eqs. (43.143.3):
_ a ha 1 m
m _ s hs
0 43:1
H z L x
_ a wa 1 m
m _s
0 43:2
H z L x
_ s 0
d m 43:3
AccordingtoArshad [8] and Stevens et al. [9] the overall heat and mass transfer
and moisture transfer between the air and solution are represented by Eqs. (43.4
43.6):

ha NTU Le 1
he ha Ts 1 we wa 43:4
z L Le
Fig. 43.2 Schematic of the

differential element of the
dehumidifier
Where Ts the vaporization latent heat, Le and NTU are the Lewis number and
number of transfer unitsrepresent in Eqs. (43.23) and (43.24).Gandhidasan
et al. [10], Jain et al. [11] and Chung and Wu [12] predicted that the Lewis number
is equal one. Then Eq. (43.4) becomes:
ha NTU
he ha 43:5
z L
The equation of moisture transfer can be written as:
wa NTU
we wa 43:6
z L
Where we and he are the humidity ratio and enthalpy of air in equilibrium with
CaCL2, respectively (Appendix 2)
43.3.3 Boundary Conditions
The inlet boundary conditions of air and solution are:
T s T s, in , in at x0 43:7
T a T a, in , wa wa, in at z0 43:8
Solving the above equations of heat and mass transfer processes between the air
and liquid desiccant with the boundary conditions in Eqs. (43.7) and (43.8) can give
the distribution of the air and solution parameters inside the dehumidifier, as well as
the air and solution parameters outlet of the dehumidifier.
Fig. 43.3 Meshes in two

dimensions
The phenomena can be represented by M N meshes in a 2-D domain in the x-z

plane as shown in Fig. 43.3. Equations (43.143.6), then become as follows in terms
of an (i, j) mesh.
N
m_ a ha, i1, j ha, i, j m_ s, i, j hs, i, j m_ s, i, j1 hs, i, j1 43:9
M
N
m_ a wa, i, j wa, i1, j m_ s, i, j1 m_ s, i, j 43:10
M
_m s, i, j1 :i:j1 m_ s, i, j1 :i:j 43:11
NTU
ha, i1, j ha, i, j he, i, j ha, i, j 43:12
M
NTU
wa, i1, j wa, i, j we, i, j wa, i, j 43:13
M
43.3.4 The Dehumidification Effectiveness and Moisture

Removal
The rate of water transfer from the air to the liquid desiccant is defined as moisture
removal (dehumidification mass rate), and is given by Yin et al. [13].
Mde m_ a wa, in wa, out 43:14
which can also be described as:

in
Mde m_ s 1 43:15
out
The performance of the dehumidifier is described in terms of dehumidification

effectiveness by Moon et al. [14]
wa, in wa, out

43:16
wa, out we
where wa,in wa,out is the actual change of the humidity ratio, and wa,out we is the
maximum possible change of the humidity ratio.
43.3.5 SolvingProcedures
The steps for solving the air and desiccant states inside and outside the dehumidifier
using a finite difference technique are:
1. Calculate the heat transfer and mass transfer coefficients using Eqs. (43.17
43.22).
2. Calculate the number of transfer units using Eq. (43.24).
3. Assume the Lewis number is equal to one (the Lewis number is the ratio
between the thermal diffusivity to mass diffusivity and in gasmixturesboth-
PrandtlandSchmididtnumbers are of the order of magnitude of unity) as in
Eq. (43.25).
4. Guess the liquid desiccant outlet concentration (40 %).
5. Guess the liquid desiccant outlettemperature (20 C).
6. Calculate the enthalpy and humidity ratio of humid air in equilibrium withthe
liquid desiccant using Eqs. (43.26) and (43.27).
7. From Eqs. (43.12) and (43.13) calculate the enthalpy and humidity ratio of air
in the next mesh (i + 1).
8. Known enthalpy and humidity ratio of air in step 5 and by using air physical
property, calculate the temperature of air in the same mesh (i + 1).
9. Calculate the desiccant outlet mass flow rate and concentration in (j + 1) mesh
using Eqs. (43.10) and (43.11), if the difference between the old and new values
of concentration is less than assumed convergence (1 103), go to the step
12, otherwise go to the step 4.
10. From known of steps 5 and 7 can calculate the outlet enthalpy of desiccant in
mesh (j + 1).
11. Using desiccant physical property, calculate the desiccant temperature in (j
+ 1), since the desiccant enthalpy and concentration are known, if the differ-
ence between the old and new values of temperature is less than assumed
convergence (1 101), go to the step 12, otherwise go to the step 5.
12. Repeat the steps from 4 to 11 on the all meshes till (M, N).
The data which used in simulation is summarized in Table 43.2. The constant
properties of air and calcium chloride that used in program are listed in Table 43.3.
For more explaining of the program, a detailed flow chart is shown as figure in
Appendix 3).
Table 43.2 Data of simulation

Ts (suggested) (suggested)
Parameter y (m) w (m) As (m2m3) M N ( C) (%) Le
Value 0.6 0.01 80 10 15 20 40 1
Table 43.3 Constant Properties Air Calcium chloride

properties of air and calcium
chloride [15] (Kg/m3) 1.11 1394
(Kg/m.s) 1.9 105 1.19 102
Cp (J/Kg.K) 990 2,330
K (W/m.K) 0.0275 0.525
D (m2/s) 2.65 105 2.5 105
The dehumidification performance depends on six input parameters of the air and
liquid desiccant, including air and solution temperature, air and solution mass flow
rate, air humidity ratio and solution concentration. The finite difference technique
model can give the distribution of air temperature and humidity ratio as well as
solution temperature and concentration insidethe liquid desiccant dehumidifier
module. The outlet parameters (moisture removal rate and the effectiveness) can
investigate, which are important for studying the improvement of the heat and mass
transfer in the dehumidifier. The air and desiccant inlet parameters are set as in
Table 43.4.
43.4.1 Effect of Desiccant flow Rate on Air Temperature

and Humidity Ratio Distribution
Figure 43.4 gives the distribution of air temperature and air humidity ratio inside
the dehumidifier under the effect of solution flow rate with the above inlet param-
eters in Table 43.3. In this case, the air is heated and dehumidified along its flow
direction. At the air outlet (Z L), the air at the top has the highest temperature and
lowest humidity ratio, the maximum temperature and humidity ratio differences of
the air are 2.56 C and 11 g/Kg with a maximum solution mass flow rate of 160 g/s,
while the minimum ratio differences are 1.98 C and 8.86 g/Kg with a minimum
solution flow rate of 30 g/s. This may be explained as follows, increasing solution
flow rate ensures well contact between the air and the solution and also increases the
heat and mass transfer coefficients. Therefore, the moisture removed increases
rapidly with solution flow rate, but it stagnates at high desiccant solution flow rate.
Table 43.4 Air and desiccant inlet parameters

m_ a (Kg s1) Ta ( C) wa (KgH2O/Kgdry) m_ a =m_ s Ts ( C) (%)
Input parameters 0.16 30 0.021 0.181 34 40
33
s=30 g/sec
m
s=40 g/sec
m
32.5 s=50 g/sec
m
s=60 g/sec
m
Air Temperature(oC)
32 s=90 g/sec
m
s=160 g/sec
m
31.5
31
30.5
30
29.5
0 5 10 15 20 25 30 35
Dehumidifier Depth (cm)
0.025
s=30 g/sec
m
Air Humidity Ratio (kgH2O/Kg dry)
0.023 s=40 g/sec

m
0.021 s=50 g/sec
m
0.019 s=60 g/sec
m
0.017 s=90 g/sec
m
0.015 s=160 g/sec
m
0.013
0.011
0.009
0.007
0.005
0 5 10 15 20 25 30
Dehumidifier Depth (cm)
Fig. 43.4 The effect of solution mass flow rate on the air temperature and humidity ratio
43.4.2 Effect of Desiccant Flow Rate on the Desiccant

Temperature and Concentration Distribution
At the desiccant outlet (X H) as shown in Fig. 43.5, the maximum temperature

and minimumconcentration differences of solution in the direction flow of solution
are 3.185 C and 0.34 % with a maximum solution mass flow rate of 160 g/s, and the
minimum temperature and maximum concentration differences are 0.924 C and
37.5
s=30 g/sec
m
s=40 g/sec
m
37 s=50 g/sec
m
s=60 g/sec
Solution Temperature (C)
36.5 m
s=90 g/sec
m
s=160 g/sec
m
36
35.5
35
34.5
34
33.5
0 10 20 30 40 50 60 70
Dehumidifier Height (cm)
0.402
0.4
Desiccant Concentration (%)
0.398
0.396
0.394
0.392
s=30 g/sec
m
0.39 s=40 g/sec
m
s=50 g/sec
m
0.388 s=60 g/sec
m
s=90 g/sec
m
0.386 s=160 g/sec
m
0.384
0 10 20 30 40 50 60 70
Dehumidifier Height (cm)
Fig. 43.5 The effect of solution mass flow rate on the solution temperature and concentration
1.14 % with a minimum solution mass flow of 30 g/s. The reason may be explained
as follows. The desiccant contacted the humid air, and more moisture was trans-
ferred from the air to the solution since the mass transfer potential was large there.
Therefore, desiccant temperature increased most and the solution concentration
reduces slightly with the increasing desiccant flow rate.According to the results, the
desiccant concentration differences in the direction of desiccant flow can be
neglected.
43.4.3 Effect of Desiccant Flow Rate on Dehumidifier

Effectiveness and Moisture Removal
Figure 43.6 shows the effect of solution mass flow rate on the dehumidifier
performance; according to the Fig. 43.6the moisture removal rate increases rapidly
with solution flow rate from 1.41 to 2.196 g s1. But the moisture removal stagnates
at high desiccant solution mass flow rates because of the increasing solution mass
flow rate, which increases the mass transfer coefficient between the liquid desiccant
and the air flow, but reduces the contact time. The dehumidifier effectiveness also
shows similar trend as shown in Fig. 43.6. The figure indicates that the effectiveness
achieves an increase of 0.390.66 when the solution mass flow rate increases from
30 to 160 g s1. This increase may beexplained as follows. Increasing solution flow
rate enhances the heat and mass transfer coefficients. The average water vapor
pressure difference between the desiccant and air increased due to the reduced
variation of the surface vapor pressure of the desiccant in the dehumidifier which
maintains a good mass transfer between the air and desiccant.
43.4.4 Validation of the Model Results
The performance of the cross-flow dehumidifier in terms of the moisture removal

rate and the effectiveness in the present study is compared with the other
experimentalstudybyBassuoni [16]. Figure 43.6 shows the trend of the effect of
solution flow rate on the moisture removal rate and the effectiveness of the
dehumidifier. The present work mentions an increasing trend of moisture removal
rate with the solution flow rate. Good agreement between the simulation and
experimental when the solution temperature increasedby 8 C. This can be
explained as follows.The vapor pressure of the solution rises with increasing the
solution temperature, and it reduces the mass transfer potential between the solution
and moisture in the air. The dehumidifier effectiveness increases as the solution
flow rate increases and good agreement between the simulation and experimental at
solution temperature is 42 C. Table 43.5 shows the comparison of the operational
conditions and outlet results between the present study and experiment in literature.
43.5 Conclusions
A MATLAB programusing finite difference is investigated to show the distribution

of the air and the solution parameters inside a parallel plate cross-flow liquid
desiccant-air dehumidifier. The dehumidifier effectiveness and moisture removal
are used as the dehumidifier performance indicators. The results of the present
model led to the following conclusions:
Present study Ts=34 oC Present study Ts=38 oC

Present study Ts=42 oC Bassuoni[16]
1.8
Moisture Removal Rate (g/s) 1.6
1.4
1.2
1
0.8
0.6
0.4
0.2
0
0 10 20 30 40 50 60
Solution Mass Flow Rate (gls)
Bassuoni[16] Present study Ts=42 oC

0.6
Dehumidifier Effectiveness (%)
0.55
0.5
0.45
0.4
0.35
0.3
0.25
0 10 20 30 40 50 60
Solution Mass Flow Rate (g /s)
Fig. 43.6 The effect of solution mass flow rate on the dehumidifier effectiveness and moisture
removal
The maximum temperature and humidity ratio differences of the air are 2.56 C
and 11 g/Kg with a maximum solution mass flow rate of 160 g/s, while the
minimum ratio differences are 1.98 C and 8.86 g/Kg with a minimum solution
flow rate of 30 g/s.
The maximum temperature and minimum concentration differences of solution
in the direction flow of solution are 3.185 C and 0.34 % with a maximum
solution mass flow rate of 160 g/s, and the minimum temperature and maximum
concentration differences are 0.924 C and 1.14 % with a minimum solution
mass flow of 30 g/s.
The moisture removal rate increases rapidly with solution flow rate from 1.41 to
2.196 g s1. But the moisture removal stagnates at high desiccant solution mass
Table 43.5 Comparison of the operational conditions and outlet results between the present study
and experiment in literature
Bassuoni [16] Present study
Liquid desiccant CaCL2 CaCL2
Specific area (m2m3) 390 80
Flow type Cross flow Cross flow
Packing type Structured packing-corrugation Polypropyleneparallel plate
angle of 60
Dimensions (m) 0.35 0.35 0.2 0.75 0.4 0.30
m_ a (Kg s1) 0.144 0.16
Ta ( C) 31 30
wa (KgH2O/Kgdry) 0.018 0.021
m_ s (g s1) 1060 1060
(%) 0.3540.55 0.2850.48
Mde (g/s) 0.430.70 0.6891.61
flow rates because of the increasing solution mass flow rate, which increases the
mass transfer coefficient between the liquid desiccant and the air flow, but
reduces the contact time.
The dehumidifier effectiveness also shows similar trend as shown in Fig. 43.6.
The figure indicates that the effectiveness achieves an increase of 0.39 to 0.66
when the solution mass flow rate increases from 30 to 160 g s1.
Nomenclature
AC A cross flow area between air and solution (m2)

AS Specific area of the plates per unit volume,(m2m3)
cp Specific heat of air (kJ kg1/ C)
D Mass diffusivity (m2 s1)
Dh Hydraulic diameter (m)
H Height of dehumidifier (m)
ha Air enthalpy (kJ kg1)
he Equilibrium enthalpy of air (kJ kg1)
hh Heat transfer coefficient (w m2/K)
hm Mass transfer coefficient (m s1)
hs Solution enthalpy (kJ kg1)
K Conductivity (W m1/K)
L Thickness of dehumidifier (m)
Le Lewis number
M Number of point in solution direction
Mde Moisture removal rate in dehumidifier (g s1)
m_ a Air mass flow rate (kg s1)

m_ s Solution mass flow rate (kg s1)
N Number of point in air direction
NTU Number of transfer units
Nu Nusseltnumber
Pat Atmospheric pressure (bar)
Pw Wetted parameter (m)
Pws Saturation pressure (bar)
Pwz Partial pressure of water vapor in the solution (bar)
Ta Airtemperature ( C)
Ta Solution temperature ( C)
w Width channel between two plates (m)
wa Humidity ratio of air (kgH2O/kgdry)
we Equilibrium humidity ratio of air (kgH2O/kgdry)
y Height of plate (m)
Greek Letters
Solution concentration (%)
s Solution thickness (m)
Dehumidifier effectiveness (%)
Thermal diffusivity (m2 s1)
TS Vaporization latent heat (kJ kg1)
Viscosity (N s m2)
Density (kg m3)
Subscripts
a Air
e Equilibrium
in Inlet
out Outlet
s Solution
Appendix 1: Summary of Calculations Steps of Heat

and Mass Transfer Coefficients, NTU, and Lewis Number
In the following, a brief summary of the calculation heat and mass transfer
coefficients, NTU, and Lewis number in a cross-flow liquid desiccant dehumidifier
are presented.
TheNusseltnumberfor laminar air flow through a duct is 7.54 [17].
Cross flow area between the air and solution is given by
AC y w 2 s 43:17
1=3
4s
s 43:18
s g
Where y is the height of plate, s is the solution film thickness, and w is the
distance between two plates.
Wetted perimeter is represented by:
Pw 2 y 43:19
Therefore, the hydraulic diameter of air is represented as:
4 Ac
Dh 43:20
Pw
The heat transfer coefficient is represented by:
Nu Ka
hh 43:21
Dh
Thermal diffusivity of air is given by:
Ka
/a 43:22
a Cpa
Where Ka is the airconductivity.

Mass transfer coefficient is defined as, [17]
2
hh a 3
hm 43:23
Cpa Da
The number of transfer units, based on unit cross-sectional area of the plates is
given by
h m As L
NTU 43:24
ma
Where As is the specific area of the plates per unit volume 80 m2m3.
Lewis number is given by:
hh
Le 43:25
hm Cpa
Appendix 2: Equilibrium Equations
The humidity ratio and enthalpy of air in equilibrium with CaCL2 solution is
calculate according to these equations
log10 Pws 0:21254 3:13619 102 T 1:22512 104 T 2

43:26
3:6384 107 T 3 5:6707 1010 T 4
Where Pws is the saturation pressure and T is the solution temperature between
(10 C < T < 80 C) Radhwan et al. [18].
The partial pressure of water vapor in the solution CaCL2 is given by
Esayed et al.[19].
Pwz Pws 1:146 1:76 43:27
Then the equilibrium humidity ratio of air is given by:
Pwz
we 0:62185 43:28
Pat Pwz
Where Pat is theatmosphericpressure, Kinsara et al.[20].

From property of air at ws and the solution temperature can calculate the
equilibrium enthalpy of air with the CaCL2 solution.
Appendix 3: Program Algorithm

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Chapter 44
Experimental Study of the Heat Transfer
Performance of PCMs Within Metal Finned
Containers
Yongcai Li, Shuli Liu, and Yaqin Zhang
Abstract Latent heat thermal energy storages (LHTES) are particularly attractive
methods owing to these factors: meet the time shift between energy supply and
demand; provide a high energy storage capacity; store and release heat at a
relatively constant temperature; provide constant comfort thermal environment
without temperature swings when it is applied for space heating or cooling.
Nevertheless, the efficiency of using the LHTES techniques is heavily affected by
the low thermal conductivities of phase change materials (PCMs). This character-
istic of PCMs prolongs the charging and discharging cycle and barriers the widely
practical application of LHTES. Hence, researchers generated a lot of related
technologies, such as metal fines, carbon fibres, metal honeycomb structure, etc,
to overcome this issue and aimed to achieve reasonable thermal conductivities.
The objective of this paper is to study the heat performance of two kinds of
PCMs within three different types of metal finned structures (straight fins, honey-
comb and square finned structure) at the volume ratios of 1.8, 2.7, and 3.6 %,
respectively. Two organic PCMs, paraffin wax RT 25 (phase transform at 25 C)
and RT 42 (phase transform at 42 C) are employed as the heat storage media. The
characteristics of them with the thermal conductivity enhancers (TCEs) during the
melting and solidification process were investigated experimentally. The results
indicate that the heat transfer improvements during the melting process are more
efficiency than the solidification process for all of the three structures and both
PCMs. To be specific, for paraffin RT 25, the heat transfer efficiencies were
increased by 25, 33, and 37 %, in the finned, honeycomb and square cell structured
container during the melting process, and increased by 8, 12, and 17.1 %, respec-
tively for the solidification processes. The similar effect happened for paraffin RT
42, the heat transfer efficiencies were increased by 28, 33, and 40 % during melting
process, and increased by 17, 28, and 35 %, respectively during freezing process.
The performance of the TCEs on the RT 42 is slightly better than that of RT
25, especially during the solidification process due to its higher heat transfer rate
between the PCM and TECs induced by a relative higher melting temperature.
Y. Li S. Liu (*) Y. Zhang

Faculty of Engineering and Computing, Coventry University, JL 127, Coventry CV1 5FB, UK

670 Y. Li et al.
Meanwhile, the efficiencies of the volume ratios of the TECs were examined. The
results show that straight fins have the best efficiency compared to others.
Keywords Phase change material (PCM) Finned metal structures Phase change
Heat transfer enhancement efficiency
44.1 Introduction
Phase change materials (PCMs) are known as excellent candidates for latent heat
thermal energy storages (LHTES) and have been applied in many engineering
applications, since they provide the following advantages: (1) PCMs possess high
heat storage density to store large amounts of latent heat in a small PCM volume,
thereby the heat losses from the system maintains in a reasonable level during the
charging and discharging period [1]; (2) PCMs melt and solidify at a nearly
constant temperature hence, constant comfort thermal environment without tem-
perature swings could be achieved when they applied for space heating or cooling.
Due to the importance of PCMs to the LHTES, a large number of researchers have
been carried out working on PCMs. In 1983 Abhat [2] classified the available
materials into organic, inorganic and eutectic materials. However, the low thermal
conductivity of PCMs limits their application in LHTES. For low temperature
LHTES (normally <200 C), paraffin wax, hydrated salts and eutectics are often
used as heat storage media, whereas the thermal conductivities of them are around
0.20.6 W/m K, which prolongs the charging and discharging period. The phase
change time is the most important design parameter in LHTES applications [3], as
the primary function of a PCM in application is to store as much thermal energy for
as long as possible during the solid to liquid phase transition, and to release the
stored thermal energy as much as possible before next charging-discharging cycle.
As the low thermal conductivity of the PCM is detrimental to the system perfor-
mance, studies about thermal conductivity enhancers have attracted more and more
attention over last decade. Various methods for PCM thermal conductivity
enhancement have been proposed and studied by a number of researchers. Heat
transfer enhancement methods in LTHES can be summarised to the following
categories:
Microencapsulated PCM [1].
Containing dispersed high metal conductivity particles or lessing rings [4].
Graphite or concrete composite material [5].
Extended surfaces such as finned structures or heat pipes [611].
The most common methods among others are the use of finned structures,
dispersing metal particles or rings or carbon fibbers with high conductivity into
PCM. Dispersing high conductivity materials into PCMs is less practical compared
with inserting finned structures into PCMs because of that the substances dispersed
in PCMs usually sink to the bottom or float to the top of the container due to their
44 Experimental Study of the Heat Transfer Performance of PCMs Within Metal. . . 671
different densities from PCMs. As finned metal structures are fixed, non-moving
structures and offer extended surface area for heat transfer, they can maintain high
performance after long period of chargingdischarging cycles. The application of
finned metal structures with different configurations has been reported by various
researchers as an efficient method to improve heat transfer in PCMs.
Huang et al. [7] numerically and experimentally investigated the fin-enhanced
PCM melting process to cool the photovoltaic devices. The research results indicate
that the thermal performance was improved and heat transfer within the PCM was
accelerated by the effect of natural convection within the molten PCM. However,
superabundant of fins would limit the advection within the molten PCM, and
decrease the beneficial effects of natural convection on reducing the thermal
resistance between the hot wall and the PCM solidliquid interface. It means that
fluid motion in the molten PCM was suppressed for cases involving tightly-packed
fins. Eftekhar et al. [12] investigated experimentally a different heat transfer
enhancement method for melting of paraffin by constructing a model that consists
of vertically arranged fins between two isothermal planes which not only provided
additional conduction paths but also promoted natural convection within the molten
PCM. Their photographs of the molten zone indicate that a buoyant flow induced in
the neighbourhood of the vertical fin causes rapid melting of the solid wax.
The honeycomb structure is another type of fins that provides a more effective
heat fin that maybe chose in various thicknesses. A PCM-based thermal container
with a honeycomb structure was designed and investigated by Abhat [13]. De Jong
and Hoogendoorn [14] utilized the aluminium honeycombs to improve the heat
transfer in PCM system. Based on the experimental results, the aluminium honey-
comb structure can apparently reduce the solidification times with a factor up to
7. Compared to the pure PCM, the thermal conductivity of the enhanced PCM was
also apparently increased
The paper mainly focused on the heat transfer characteristics of PCMs with
different TCEs subjected to constant heat flux during the melting process and
natural cooling during the solidification process. In this study, two commercially
available paraffin wax: paraffin RT 25 and paraffin RT 42 were used as PCMs, and
three types of TCEs have been chosen for heat transfer enhancement in PCMs
during charging and discharging period: metal fins, metal honeycomb structure and
metal square cell structure. It is worth noting that introduction of TCEs into PCMs
can enhance the heat transfer whilst has an adverse effect on the heat storage
capacity of the LHESS. The heat storage capacity decreases with the increase of
the volume of the TCEs, thus the enhancement efficiency for each TCE was
evaluated herein.
672 Y. Li et al.
44.2 Experimental Rig Setup and Test Procedures
44.2.1 Materials (PCMs and Metal Structures)
The phase change materials used in this study are paraffin RT 25 and paraffin RT
42, which are commercial organic PCMs. Organic PCMs have many advantages to
be used for low temperature heat storage applications, such as good stability, no
supercooling and anti-corrosion with a storage encapsulation. The commercial
paraffin RT 25 and RT 42 do not have a sharp melting temperature, and their
phase change take place within a temperature range around 25 C and around 41 C,
respectively. The selection of these two PCMs is because that the two PCMs have
similar physical properties and relatively large melting temperature difference,
making them easy to be compared. The relevant thermo-physical properties of the
paraffin RT 25 and RT 42 are listed in Table 44.1.
It is obvious in Table 44.1 that RT25 and RT 42 have low thermal conductivities
which are detrimental to the performance of energy storage system. Particularly
during the solid solidification process, conduction is the mainly heat transfer
mechanism. PCM solidifies on the heat transfer surface and acts as a self-insulator
which is dominated to the whole system performance. It is necessary to add material
with high thermal conductivity into the PCM system to strengthen the heat con-
duction. The use of fins in PCM-based heat storage system is considered as one way
to enhance the thermal conductivity of the PCM. Meanwhile a square cell metal
structure which based on the fins structure and a honeycomb metal structure are
employed in this study. Generally, the small percentage (usually <7 %) of heat
storage loss is reasonable [16], in order to minimize the influence of adding TCEs
on the heat storage capacity, the volume percentages of these three TCEs are within
5 % of the volume of PCM container. The volume percentages of fins, honeycomb
structure and square structure are 1.8, 2.7, and 3.6 %, respectively. These three kind
of metal structures made of steel with a thermal conductivity k 84 kW/mK are
showed in Fig. 44.1.
Table 44.1 Thermo-physical properties of RT25 and RT 42 [15]

Thermo-physical properties Paraffin RT 25 Paraffin RT 42
Melting temperature (K) 273 + 26 273 + 41
Thermal conductivity (kW/mK) Solid: 0.2 Solid: 0.2
Liquid: 0.2 Liquid: 0.2
Heat of fusion (kJ/kg) 147 174
Density () (kJ/m3) Solid: 880 Solid: 880
Liquid: 760 Liquid: 760
Heat capacity (kJ/kg K) Solid: 2.9 Solid: 1.8
Liquid: 2.11 Liquid: 2.4
Fig. 44.1 Three metal structures for heat-transfer enhancement (a) finned structure, (b) square
cell metal structure, and (c) honeycomb structure
44.2.2 Experimental Rig Set-Up
The experimental testing rig was set up in Environment laboratory G38 in Sir John
Laing Building at Coventry University, as shown schematically in Fig. 44.2.
This testing rig consists of three major parts: heat storage unit, heat source
system and data acquisition system. A rectangular container made of stainless
steel with dimensions of 400 400 400 mm, a matte black painted stainless
steel is used as the heat absorber. Inner side walls of the PCM container covered
with rubber strips to avoid ruinous mechanical stress on the storage containers at the
same time maintaining thermal contact with the PCM-cum-heat absorber. The
container filled with paraffin wax RT 25 and RT 42 from Rubitherm Technologies
GmbH, Germany. The styrofoam board with a thermal conductivity of
k 0.041 kW/mK is applied as the thermal insulation material in this study. In
this manner, the effect of lateral heat transfer from the sides can be negligible for
this study and the melting process can be regarded as one dimensional problem. The
temperatures of this system were measured by eleven K-type thermocouples with
accuracy of 0.3 C, three thermocouples were sticked on the absorber plate
shielded by using the styrofoam board in a size of 20 mm 20 mm to avoid
being directly heated by the light source, and one thermocouple was used to
measure the ambient air temperature. Along the vertical direction, seven thermo-
couples were used to measure the PCM temperatures at pre-selected locations.
Three thermocouples were placed at the central part of the container, being 5, 20,
and 40 mm deeply away from the absorber plate respectively, and four thermocou-
ples are placed at different horizontal and vertical positions inside PCM to monitor
the transient temperature variation as well (see Fig. 44.2).
All of the thermocouples were connected to the data acquisition (Labjack U3)
that connected to a PC, and then the temperature variations were automatically
recorded in the computer every 10s for the further data processing. For data
analysis, only the data measured by the four thermocouples placed in the central
674 Y. Li et al.
Data logger
PC for data processing
Absorber plate
Ambient temperature
PCM
() thermocouple
Insulation material
200 mm
20 180 180 20
400 mm
200 mm
400 mm
5m
20m
20m 20m
40m
20m 20m 20m
20mm 180mm 180m 20m
Fig. 44.2 Schematic diagram of the experimental testing rig and the positions of the
thermocouples
part of test container had been used in an attempt to reduce the boundary effect.
A simple small-scale solar simulator used as the heat source to provide a constant
heat flux of 900 W/m2 to melt the PCMs from solid phase to liquid phase, which is a
multiple-lamp system consists of eight 120-W halogen lamps installed in a stag-
gered form in an area of 500 mm by 500 mm.
44.2.3 Measurement Procedures
For melting process, all the experiments were carried out with the same initial
temperature under the same constant heat flux. The melting and solidification
characteristics of pure PCMs were firstly tested. The finned structure, square cell
structure and honeycomb structure were put into the container, respectively. The
heat transfer performances of them were measured under the same constant heat
flux. For the cooling process, all the samples were cooled by natural convection at
the same room temperature.
The aims of this research are to determine the following items:

The temperature profiles during melting and solidification processes.
The melting time and solidification time.
The enhancement effects of the three TCEs on different PCMs during melting
and solidification processes.
Heat transfer in PCM is a very complicated process, it is non-stationary, due to
the phase changes during the charging and discharging processes, and it is
non-homogeneous, because of the adding of TCEs. Therefore, the phase change
process of the PCM inside the container during melting and solidification is a time-
dependent process. The results are presented in two parts: charging and discharging
process.
44.3.1 Melting Process
The melting of the RT 25 without and with fins were investigated firstly, the testing
started at the room temperature 20 C, and then, the solar simulator was turned on to
heat up the PCM container. Figure 44.3, respectively displays the temperature
variations with time of the absorber plate and three thermocouples inside paraffin
RT 25 for pure PCM and PCM with the TCEs. For the pure PCM case, at the
beginning the temperature of the absorber plate increased sharply until the paraffin
676 Y. Li et al.
a 90
b 75
Heater h=5mm h=20mm h=40mm Heater h=5mm h=20mm h=40mm
85 70
80 65
75
70 60
65 55
60 50 paraffin RT25
T (C)
T (C)
55 paraffin RT25
45
50
45 40
40 35
35 30
30 25
25
20 20
15 15
0 720 1440 2160 2880 3600 4320 5040 5760 6480 7200 0 720 1440 2160 2880 3600 4320 5040 5760
t (s) t (s)
c 75 d 75
70 Heater h=5mm h=20mm h=40mm Heater h=5mm h=20mm h=40mm
70
65 65
60 60
55 55
50 50
T (C)
T (C)
45 45
40 paraffin RT 25 40 paraffin RT 25
35 35
30 30
25 25
20 20
15 15
0 720 1440 2160 2880 3600 4320 5040 5760 0 720 1440 2160 2880 3600 4320 5040 5760
t (s) t (s)
Fig. 44.3 Temperature variations with time for RT 25 without and with TCEs: (a) Pure PCM
sample, (b) Straight fins sample, (c) Honeycomb structure sample and (d) Square cell structure
sample
starts melting, and then turned into a moderate rise. During the melting process for
the pure PCM sample, the temperature of PCM climbed slowly because of the low
thermal conductivity of the solid paraffin, as the heat transfer was only dominated
by conduction. When the temperature reached to a plateau, about 25 C, indicating
a phase change process occurred afterwards. Then, it is evident that the temperature
increased suddenly occurd to all three thermocouples where the natural convection
took place and afterward the combined conduction and convection determined the
melting process. Another reason for abrupt transitions was that the input heat
cannot be conducted to the solid paraffin quickly due to the low thermal conduc-
tivity, and most of energy was absorbed by the melted paraffin to a high temperature
rather than transfer in the vertical direction. . However, for the testing with TCEs,
the temperature inside paraffin climbed quickly at the beginning, indicating that the
heat flux can be rapidly conducted to all paraffin with the assistance of the TCEs
even at the solid state, due to the high heat conductivity of the TCEs. TCEs
strengthened the heat transfer from the absorber to the inside of the PCM package
and the temperature rise on the absorber surface is reduced. It can be seen clearly
that with the volume fraction of the TCEs increase, the level of thermal stratifica-
tion was reduced, leading to a more uniform temperature distribution in the PCM.
At the lowest test point (h 40 mm), the temperature suddenly increased
indicating that the phase change has completely finished the transition from solid
to liquid. The melting times were estimated from the temperature-time curves of the
test samples until the temperatures to reach 27 C from the initial temperature
a 110 b
Heater h=5 mm 100
100 h=20 mm h=40 mm Heater h=5 mm
90 h=20 mm h=40 mm
90
80
80
70
paraffin RT 42 paraffin RT42
T (C)
70
T (C)
60
60
50 50
40 40
30 30
20 20
0 1920 3840 5760 7680 9600 1152013440 15360 0 1440 2880 4320 5760 7200 864010080
t (s) t (s)
c 90
d 90
Heater h=5mm 85 Heater h=5mm
80 h=20mm h=40mm 80 h=20mm h=40mm
75
70 70
65
60 60 paraffin RT42
T (C)
T (C)
paraffin RT42
55
50 50
45
40 40
35
30 30
25
20 20
0 1440 2880 4320 5760 7200 8640 10080 0 1440 2880 4320 5760 7200 8640 10080
t (s) t (s)
Fig. 44.4 Temperature variations with time for RT 42 without and with TCEs: (a) Pure PCM
sample, (b) Straight fins sample, (c) Honeycomb structure sample and (d) Square cell structure
sample
(20 C). The whole melting processes for four samples last for about 102, 76, 68,
and 64 min, respectively.
Figure 44.4 shows the temperaturetime profiles of paraffin RT 42 without and
with TCEs, for the test of pure RT 42, the RT 42 exhibited quit different heat
transfer behaviour from RT 25. The temperature inside RT 42 increased quickly
and then reached a plateau around the melting temperature of 38 C. That is because
the temperature of the absorber surface for RT 42 is much higher than that for RT
25, leading to the quicker heat transfer to the solid. The absorber surface temper-
atures for RT 42 samples are all higher than those corresponding to RT 25 samples.
Another different behaviour from RT 25 is that RT 42 sample have more clear
thermal stratification than RT 25 even applying TCEs into PCM. Similarly, adding
TCEs into RT 42 can reduce the absorber surface temperature and the thermal
stratification inside PCM, and consequently achieve more uniform temperature
distribution. After the temperature at h 40 mm reached 43 C, the PCM pack
temperature increased sharply, and then the phase change transition finished. The
melting times for the samples are 240, 172, 160, and 144 min.
678 Y. Li et al.
60
55
50
45
40
35
DT (C)
30
25 h=5mm h=20mm h=40mm
20
solid--without fins
15
hollow--with fins paraffin RT25
10
5
0
0 720 1440 2160 2880 3600 4320 5040 5760 6480 7200
t (s)
Fig. 44.5 Temperature differences with time between RT 25 and absorb plate
44.3.2 Effects of TCEs on Natural Convection
In order to facilitate the understanding of the heat transfer characteristics inside

PCM with TCEs, the transient temperature differences between the heat absorber
and PCM (RT 25) with fins at different locations (5, 20, 40 mm from the absorber
plate, respectively) are investigated and displayed in Fig. 44.5.
It indicated that the transient temperature difference between the RT25 and
absorb plate increased sharply in the solid zone. This can be attributed to the
temperature of the heat absorber increased much quickly than that of PCM at
the beginning of melting process. But it rises slowly when PCM stars melting.
After the PCM completed the transition from the solid to liquid state, the temper-
ature difference lines experience a drop for both of samples, due to the heat transfer
enhancement caused by the natural convection effect. However, From Fig. 44.5, the
temperature difference of the sample with fins is lower than that of without fins.
Lower temperature difference indicates higher heat transfer capability, which is
caused by the high thermal conductivity of metal finned structures embedded in
PCMs. Compared to the results of the pure PCM without fins during charging
process, fins can effectively enhance solid/liquid phase change heat transfer, par-
ticularly at solid zone of PCM. When the PCM starts melting, natural convection
can improves the heat transfer performance, thereby reducing the temperature
difference between the absorber and PCM. It can also be noticed that in liquid
phase zone the sample without fins has a bigger drop than that one with fins,
meaning they have high heat transfer rate than the sample with fins. This is because
that the metal fins suppresses and impairs natural convection in the liquid phase
zone whilst enhances heat conduction in the solid phase zone, but the loss in heat
31
30 pure RT 25
29 paraffin RT 25 with square cell structure

paraffin RT 25 with honeycomb structure
28
paraffin RT 25 with fins
T (C)
27
26
25
24
23
22
0 130 230 450 220 780 550 830 960 1130 1050 1200
t (min)
Fig. 44.6 Temperature variations of RT 25 samples during solidification process (h 40 mm)
convection is not fully offset by the increase in heat conduction. Therefore, adding
TCEs into PCMs leads to a different heat transfer performance in different regions
(solid, solid/liquid and liquid regions). This phenomenon happened to other RT
25 and RT 42 samples. It can be concluded that embedding TCEs into PCMs does
not always improve heat transfer in every phased stage. The optimal design should
be achieved in the practical application for the best thermal performance.
44.3.3 Solidification Process
Most of studies focus on improving the heat transfer during melting stage but
solidification period is equally important as the melting. Very a few published
works were carried out on the effect of TCEs on solidification duration. Hence, the
heat transfer performances of TCEs are investigated in this paper.
All of the solidification tests were cooled down by natural cooling in an
environmental temperature around 20 C. The initial temperatures for the RT
25 and RT 42 samples were 30 and 50 C, respectively. Figures 44.6 and 44.7
present the temperature variations of these two samples with time at the lowest
point (h 40 mm). The reason for selecting those points just because when the
PCMs completely finished the solidification indicates all the PCM inside container
has been in solid state. It is obviously that the general trends of two samples are
similar. The effect of the initial sensible heat diminished after 170 min for the RT
25 samples with whilst 70 min for RT 42 samples. The effect of natural convection
decreased with the superheat became weaken. When the temperature reduced
to around 26.6 C and 44 C for RT 25 and RT 42, the solidification process started.
At the beginning of the freezing process, the heat transfer in PCM dominated
by natural convection and conduction. After the phase change finished, the
680 Y. Li et al.
55
pure paraffin RT 42
50 paraffin RT 42 with fins
paraffin RT 42 with honeycomb cell structure
45 paraffin RT 42 with square cell structure
40
T(C)
35
30
25
20
0 120 240 360 480 600 720 840 960
t (min)
Fig. 44.7 Temperature variations of RT 42 samples during solidification process (h 40 mm)
temperature of the samples with TCEs reduced faster than the pure PCM samples
for both RT 25 and RT 42. The solidification times for RT 25 samples are 20 h
50 min, 19 h 10 min, 18 h 20 min and 17 h 20 min, and for RT 42 samples are 9 h
40 min, 8 h, 7 h and 6 h 20 min. This indicates that TCEs play an important role in
improving heat transfer inside PCMs especially when natural convection does not
take place.
44.3.4 Effects of TCEs on PCMs
The experimental results confirmed that TCEs are capable of influence on both of
melting and freezing process by improving the thermal conductivity of PCM. The
efficiency of the three TCEs on enhancing the heat transfer rate of paraffin RT
25 and RT 42 were studied by comparing the melting and freezing times of PCMs
with enhancers with those without.
tPure tTCE
%
tPure
Where tPure is the melting/solidification time of PCM without TCEs, and tTCE is the
melting/solidification time of PCM with TCEs.
For RT 25 samples, the heat transfer inside PCM improved by 25, 33, and 37 %,
respectively during the melting process, whilst the solidification times were shorten
by 8 %, 12 % 17 % . For RT 42 samples, heat transfer enhancements were increased
by 28, 33, and 40 % during the melting process, and increased by 17, 28, and 35 %,
respectively during the freezing process. These figures can be defined as the
efficiencies of the TCEs for two PCMs.
16
14
12
10
l
RT 25 (melting process)
8 RT 25 (solidification process)
RT 42 (melting process)
6
RT 42 (solidification process)
4
2
1.8 2.7 3.6
Volume fraction (%)
Fig. 44.8 Efficiency-volume ratios for RT 25 and RT 42
It must be noticed that use of metal heat transfer enhancers considerably

increases the weight and decreases the volumetric heat of fusion of the LHTES
system due to the high density and relative low heat storage capability of metal.
Besides, adding TCEs into PCM does not improving the heat transfer rate of PCMs
in the liquid region. For a heat storage system with a given volume, inserting metal
structure into PCMs can enhance the heat transfer whilst influence the heat storage
capabilities. Generally speaking, the heat transfer capacity of the PCM is getting
better along with the increase in mass of metal structure whilst the heat storage
capacity of PCM decreases with the increase of metal structure. In order to make a
balance between the heat transfer enhancement and thermal energy storage capac-
ity, a concept of measurement is presented herein, by introducing a simple equa-
tion: efficiency-volume ratio, which is defined as follow:

volume fraction of the heat transfer enhancer
TCEs volume
%
Total volume of volume
Figure 44.8 shows the efficiency to volume ratios for RT 25 and RT 42 samples
during the melting and solidification process. The efficiency to volume ratio is a
direct indication of the effects of the heat transfer enhancers on the melting or
freezing time. It can be seen clearly that for both of RT 25 and RT 42, these three
TCEs have higher performance on PCMs during the melting process than solidifi-
cation process. The heat transfer enhancement capacities of the TCEs decrease with
the increase in volume fraction of the TCEs during melting process, whilst slightly
682 Y. Li et al.
change with the volume fraction increase during solidification process. The perfor-
mance of the TECs on the RT 42 is just slightly better than that of TCEs on RT
25 during melting process, whilst it is much higher than that of TCEs on RT
25 during solidification process. This due to the higher melting temperature of
RT42, which induces higher heat transfer rate between the PCM and TECs, then
consequently transferred heat to the ambient air.
44.4 Conclusions
Two different kinds of PCMs (paraffin 25 and paraffin 42) were selected to study
the heat transfer performance of PCMs with different heat transfer enhancers under
same conditions. The experimental results showed that all the heat transfer
enhancers can improve the heat transfer performance on PCMs greatly during the
melting and freezing process. To be specific, for paraffin RT 25, the heat transfer
efficiencies were increased by 25, 33, and 37 %, respectively during melting
process, when straight fins, honeycomb and square cell structure were applied to
PCM. For solidification process, the heat transfer efficiencies were increased by
8, 12, 17 %, respectively. Regarding the paraffin RT 42 test samples, the heat
transfer efficiencies were increased by 28, 33, and 40 % during melting process, and
were increased by 17, 28, and 35 %, respectively during freezing process.
For a latent heat thermal energy storage system of a given volume, use of metal
heat transfer enhancers does not always have positive effect on improving the heat
transfer inside PCM. Since the TCEs increase the weight and decreases the volu-
metric heat of fusion of the LHTES system. A new quantity was used to describe the
relationship between the heat transfer efficiencies improved by TCEs and the
volume fractions of them, namely efficiency-volume ratio. The results showed
that the heat transfer enhancement capacities of the TCEs on RT 25 and RT
42 decrease with the increase in volume fraction of the TCEs, and the capacities
for RT 42 are slightly better than those for RT 42 during the melting process, but
inconspicuously increase with the volume fraction increase during the solidification
process. The performance of the TECs on the RT 42 is just slightly better than that
of TCEs on RT 25 during the melting process. Meanwhile the heat transfer
enhancement capacities for the two PCMs increase with the volume fraction
increase, and the performances of TCEs on RT 42 are much higher than those on
RT 25 during the solidification process. Hence, depending on the type of applica-
tion, in where heat transfer might need to be enhanced either for charging,
discharging or both, the optimal design of TCEs should be achieved to realize the
best performance.
Nomenclature
t Time (s)
Greek Symbols
Efficiency
Efficiency-volume ratio
Volume fraction of the heat transfer enhancer

pure PCM without TCEs
TCE PCM with TCEs
Acronyms
LHTES Latent heat thermal energy storages
PCM Phase change materials
TCEs Thermal conductivity enhancers
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Chapter 45
Simulation of Double Effect Absorption
Refrigeration System
Ibrahim Atilgan and Cevdet Aygun
Abstract In this study the Double effect Absorption Refrigeration system (DAR)
is developed and its thermodynamic analysis is performed using different working
fluid pairs. The DAR consists of a high and low temperature generator, high and
low temperature absorbers, condenser, evaporator, expansion valves, mixture and
refrigerant heat exchangers and pumps and it is made up of two cycles.
In the DAR system, NH3/H2O is used as refrigerant/absorbent working pair at
high temperature cycle and NH3/LiNO3 is used a refrigerant/absorbent working pair
at low temperature cycle. This system is called as System I. In order to be able to
compare the effects of using different fluid pairs in these two cycles, a new system
is formed. In this new system, fluid pair at the high temperature cycle remained
same as before (NH3/H2O), but NH3/NaSCN is used at low temperature cycle and
this new system is called as System II. While the selected results of calculations of
both systems were presented in the figures, only the results of analysis of system II
are tabulated in the study.
The analysis of the system is performed at various operation conditions and the
coefficient of performance (COP) and the high temperature circulation ratios (fH)
were calculated and given graphically. Low temperature circulation ratios (fL) were
also calculated but not shown in the study. A computer program is developed in
FORTRAN for the simulation of the DAR and results are given graphically. The
results show that the performance of the NH3/LiNO3 working fluid pair has slightly
better performance than NH3/NaSCN, at low temperature cycle for the same
working conditions. It is also observed that COP of the double effect system is
greater than the COP of single effect system.
In this study, energy and exergy analyses of a two-stage heat pump-drying
system are conducted, and the performance of the overall system is evaluated.
The system has two cycles: a heat pump and a drying cycle. The working fluid of
the heat pump and the drying cycles are R-134A and air, respectively.
Keywords Absorption refrigeration Simulation Double effect Working fluid
I. Atilgan C. Aygun (*)

Department of Mechanical Engineering, Faculty of Engineering,
Gazi University, Ankara, Turkey

686 I. Atilgan and C. Aygun
45.1 Introducton
For the absorption refrigeration systems the selection of the working fluid pairs is
important. The performance of the system and its working conditions depend upon
the thermodynamic properties of the working fluid. In these systems, NH3/H2O and
H2O/LiBr are used frequently. The DAR, which is developed in this study, consists
of two cycles. While one of them is working at high temperatures the other cycle
works at low temperatures. The DAR consists of a condenser, evaporator, circula-
tion pumps expansion valves, the high and low temperature absorbers, the high and
low temperature generators and the heat exchangers. The schematic diagram of the
DAR is shown in Fig. 45.1.
For the first system, NH3/H2O is used at high temperature cycle and NH3/LiNO3
is used at low temperature cycle as working fluid pairs and this system is called as
System I. For the purpose of comparison, while same fluid pair (NH3/H2O) is used
at high temperature cycle, NH3/NaSCN is used at low temperature cycle and this
second system is as called System II.
The working principle of the DAR is as follows: The refrigerant that comes from
the HTG and LTG are mixed at Junction J and enters to the condenser as the
superheated phase at the reference point of 16. The ammonia condenses in the
condenser and leaves the condenser at the Reference point of 17 and enters to the
HE4. The ammonia is cooled to the saturated vapor in the heat exchanger and enters
to the evaporator at the reference point of 19. The saturated ammonia vapor
leaves the evaporator at the reference point of 20 and it is heated up when it
passes through HE4 and comes to the Junction K. The some of the working fluid
flow through the reference point of 22 and enters to the LTA. The ammonia is
absorbed by the NaSCN or LiNO3 that comes from the LTG and the rich mixture of
NH3/NaSCN or NH3/LiNO3 leaves the LTA.
Then, the mixture is pumped to the high pressure through P2, it enters to the HE3
and it is heated up when it passes through HE3. The mixture enters to the LTG
where it is heated. Heat is transferred to the LTG from the HTA by the heat pipes.
The superheated ammonia vapor leaves the LTG at the reference point of 15 and
returns to the Junction J and the low temperature cycle is completed.
The saturated ammonia vapor leaves the evaporator and flows into the Junction
K at the high temperature cycle. Some of the refrigerant leaving Junction K enters
to the HE2 and its temperature increase. The refrigerant that leaves the HE2 end
enters to the HTA through 24. In the HTA the refrigerant and the weak mixture
mix and the rich mixture leaves the HTA at the reference point of 1. The heat
generated in the HTA is transferred to the LTG by means of heat pipes. The
pressure of the rich mixture increases in the pump P1 and a flow through reference
point 2 enters to the HE1. In the HE1 the mixture temperature increases and
enters to the HTG. The mixture is heated externally and ammonia is separated from
the absorbent and leaves the HTG at the reference point of 13. The ammonia
enters to the HE2 and it is cooled down. The cooled ammonia goes into Junction J
and the high temperature cycle is completed.
45 Simulation of Double Effect Absorption Refrigeration System 687
Fig. 45.1 Schematic diagram of the DAR

The irreversibilities of the components of absorption refrigeration system for

NH3/H2O working pair was determined [1]. The dimensionless exergy loss of each
component, the exergetic coefficient of performance, the coefficient of performance
and the circulation ratio are given graphically for each different generator, evapo-
rator, condenser and absorber temperature.
It was determined that for Tamb Tev > 23 C the coefficient of performance of
the NH3-NaSCN system becomes higher than that of the NH3-LiNO3 system
[2]. Thermodynamic analysis of single-stage and two stage ammonia-water absorp-
tion refrigeration systems at various working conditions using second law analysis
is now possible to calculate.
Performance of single-stage absorption refrigeration systems at various working
conditions using NH3/H2O, NH3/NaSCN, and NH3/LiNO3 working pairs can be
compared [3]. The performance of ammonia-sodium thiocyanate cycle is slightly
better than that of the ammonia-lithium nitrate cycle. It is not necessary to use a
rectifier with these two cycles. But the system with ammonia-sodium thiocyanate
working pairs does not work under the 10 C evaporator temperature.
It was showed that at the results of the study for the optimisation of water-
lithium-bromide system is simpler than the ammonia-water systems and operates at
a higher cooling ratio and smaller heat exchange surfaces for the same conditions
[4]. Similarly, it was found that the performance of NH3/NaSCN with solar energy
is better than NH3/H2O absorption refrigeration system [5]. In addition, the NH3/
NaSCN offers lower equipment costs, as it does not require a rectifying column to
prevent the absorbent from being carried over to the condenser.
The thermodynamic equations for the performance evaluation of the
monomethylamine-water vapor absorption refrigeration system have been
obtained, analysed and reported [6]. The equations have been derived from exper-
imental data with a good agreement with the expected values and have been
expressed in polynomial form. These equations were utilized on the energy and
mass balances for obtaining the coefficient of performance (COP) with this pair and
compared with the ammonia-water absorption system. It has been observed that this
refrigerant-absorbent pair has a greater coefficient of performance at low generation
temperatures and moderate condenser, absorber and evaporator temperatures.
The mixtures of lithium bromide and organic salts of sodium and potassium
(formate, acetate and lactate) as alternative absorbents for absorption refrigeration
machines was evaluated [7]. The main objective was to overpass the limitations of
lithium bromide and improve the characteristics and the efficiency of the refriger-
ation cycle. In order to select the mixture that presents better properties for its
employment in absorption refrigeration cycles, thermodynamic analysis have been
done. The density, viscosity, enthalpies of dilution, solubility and vapor pressure
data of the proposed mixtures have been measured. A simulation program has been
developed to evaluate temperatures, heats exchanged in the different sections and
the efficiency of the cycle.
The thermodynamic analysis of the water/lithium bromide absorption refriger-
ation cycle was performed [8]. The influences of operating temperature and effec-
tiveness of heat exchanger on the thermal loads of components, coefficients of
performance (COPc, COP) and efficiency ratio () were investigated. It was con-
cluded that the COPc and COP values increase with increasing generator and
evaporator temperatures but decrease with increasing condenser and absorber
temperatures. The value varies with these temperatures. Also, the effects of
solution and refrigerant heat exchangers on the performance, efficiency ratio of
the system and fluid temperatures were compared. As a result, it was found that the
solution heat exchanger (SHE) has more effect on the investigated parameters than
the refrigerant heat exchanger (RHE). While the SHE increases the COP value up to
a maximum 44 %, the RHE has an effect of only 2.8 %.
45.2 Thermal Properties of Working Fluids
Thermal properties of the working fluids are necessary for the simulation of the
DAR. The equations of state based on those of Schulz has been developed previ-
ously [9]. The temperature range has been extended to 500 K and the pressure range
to 50 bar. Values of specific volume, vapor pressure, enthalpies and equilibrium
constants for mixtures were compared with the experimental data and the results are
presented with enthalpy-concentration diagrams.
Thermodynamic relations for NH3/NaSCN and NH3/LiNO3 mixtures was devel-
oped [10]. Optimum COP value was obtained at evaporator temperature of 10 C,
condenser temperature of 30 C and generator temperature of 90 C for the single
stage absorption refrigeration system using NH3/LiNO3 mixture. In addition, for
NH3/NaSCN mixture optimum COP value was obtained at evaporator temperature
of 10 C, generator temperature of 100 C. The system with NH3/NaSCN mixture
does not work under the evaporator temperature of 10 C. For both systems COP
is 10 % higher than the system with NH3/H2O mixture at the same working
conditions.
Although the single effect absorption refrigeration system using NH3/H2O and
NH3/NaSCN working fluids were simulated [11]. It is not easy to compare the
results. At 30 C condenser, and 110 C generator and 10 C evaporator temper-
atures the COP of the single effect system is 0.29 for NH3/H2O and 0.23 for NH3/
NaSCN working fluid pairs.
At the high temperature cycle of the system, NH3/H2O and at the low temper-
ature cycle, NH3/NaSCN and NH3/LiNO3 were used as refrigerant/absorbent work-
ing pairs for comparison.
Within the pressure limits of 0.369 < p < 112.98 bar and the temperature interval
of 221.42 < T < 405.16 K the saturated pressure of ammonia vapor is given as [12].
3=2
D 1 T^
^ D1 D2 T^ D4 T^ D5 T^ D6
3
ln p 2 3
45:1
T^ T^
Table 45.1 The values of the coefficients in Eq. (45.1)

D1 D2 D3 D4 D5 D6
19.667984 15.54993 11.079219 9.114107 2.152941 1.81269
where p^ and T^ are the dimensionless pressure and temperature respectively. Critical
pressure and temperature are used to obtain these dimensionless parameters. The
values of the coefficients in Eq. (45.1) are given in Table 45.1.
The Gibbs free energy function of the saturated liquid ammonia can be deter-
mined by:
T
c^ p1 ^ a6 p^ 2 p^ 20
g^ 1 a1 a2 T^ ^ ^
d T a3 a4 T a5 T p^ p^ 0
2
45:2
T^ 2
To
Constraints of the T and p of Eq. (45.2) are given as follows; 230 < T < 500 K
temperature range and 0.2 < p < 50 bar pressure range [9]. At the liquid phase and
constant pressure, dimensionless specific heat cp1 of the ammonia is formulated by
c^ p1 b1 b2 T^ b3 T^ 2 45:3
where the dimensionless parameters are given as:
p T cp g
p^ , T^ , c^ p , g^ 45:4
pB TB R RT B
where TB 100 K and pB 10 bar. The relation between specific Gibbs free energy
function and specific enthalpy is given as:

dg=T
h T 2
45:5
dT p
Using Eqs. (45.2), (45.3) in Eq. (45.5) the expression for specific enthalpy in
liquid phase may be obtained.
The relation between specific Gibbs free energy function and specific volume is
given by [9]:

dg
v 45:6
dp T
Using Eq. (45.2) in Eq. (45.6) the specific volume of the saturated liquid ammonia
is written as
TB
vR a3 a4 T^ a5 T^ 2 a6 p^ 45:7
100pB
The relations used for the enthalpy of ammonia within the temperature interval
of at 213.15 < T < 333.15 K saturation and same temperature interval over cooling
and 393.15 K maximum heating condition was suggested in [12].
The specific enthalpy of the saturated liquid ammonia is calculated by:
h1 k1 T L k2 T 2L k3 T 3L 45:8
where TL Td Tc, Td is the saturation temperature and Tc, is the subcooled

temperature difference. The specific enthalpy of saturated ammonia vapour is given as:
hv k4 k5 T d k6 T 2d k7 T 3d 45:9
and the specific enthalpy of superheated ammonia vapour is calculated by:

0 1
1 k8 T s k9 T 2s
hs hv @ k10 T s T d k11 T 2s T d A 45:10
k12 T s T 2d k13 T 2s T d
where Ts is temperature difference between the superheated and saturated phases.
T s T T d 45:11
The unit of the specific enthalpy is J/kg and temperature is in terms of C. The
relation between saturation pressure and temperature of ammonia-water mixture is
given as [11],
N
logp M 45:12
T
where p is in Pa and the temperature is in K. x is mass concentration. The values of

M and N are given respectively, as;
M 10, 44 1, 767x 0, 9823x2 0, 3627x3 45:13

N 2013, 8 2155, 7x 1540, 9x 194, 7x
2 3
45:14
A relation for the Gibbs Free Energy Function in the liquid phase for ammonia-
water mixture is proposed [9].
The saturation pressure of ammonia-sodium thiocyanate mixture is given as [7],
0 1
15, 7266 0, 298628X 0 1
B C
P exp@ 2548, 65 2621, 921 X3 @ 1 AA 45:15
t 273, 16
At the 0 C reference temperature, enthalpy of ammonia-sodium thiocyanate
mixture is given as [10],
T
1X
h 6464 80450, 38X 23972, 57X 2
cp dT 45:16
81, 08
0
The mixture of specific heat is calculated by the following equation [10]:
cp 2,
4081 2, 2814X 7, 9291X 3, 5137X
2 3
0, 0251X 0, 08X2 0, 0612X3 T 45:17

0:0001X 0, 0003X2 0, 0001X3 T 2
The saturation pressure of ammonia-lithium nitrate mixture is given as [10],

(

P exp 16, 29 3, 591 X3
0 19 45:18
1 =
2802 41921 X3 @ A
t 273, 16 ;
At the 0 C reference temperature, enthalpy of ammonia-lithium nitrate mixture

is given as [10],
T
1, 5
h 689X 0:54 215 cp dT 45:19
0
The mixture of specific heat is calculated using the following equation [10]:
cp 1, 15125 3, 382678X
0, 002198 0, 004793XT 45:20
0, 000118XT 2
45.3 Simulation of the System
In this study, a mathematical model was conceived and algorithm of this model
used for developing a computer program in FORTRAN. Consequently, thermody-
namic analysis of the DAR is performed in the various working conditions by using
this computer program. The following assumptions are made in this analysis:
1. The ammonia vapour that leaves from the HTG and LTG is pure and at the
generator temperature.
2. The weak solution that leaves the HTG and LTG is at the generator temperature.
The solution that leaves the HTA and LTA is at the absorber temperature.
3. The ammonia that leaves the condenser is at saturated liquid phase and at the
condenser temperature.
4. The ammonia that leaves evaporator is in saturated vapor phase and at the
evaporator temperature.
5. The ammonia that leaves the generator is pure ammonia therefore rectifier and
distillation column is not needed.
6. The temperature of LTG is 3 C lower than the HTA temperature.
7. The ammonia vapor that leaves the HTA and LTA is superheated vapor.
8. There is no pressure loss at the components of the DAR.
9. The effectiveness of the heat exchangers of the DAR is taken as 0.8 in the
analysis. The values of the working parameters used in the analysis are given in
Table 45.2.
In the analysis, it is assumed that the pressure loss between the HTG and LTG is
equal to [1].
p=p 0:05 45:21
In this relation p is exit pressure of fluid from pipe. The outlet pressure from the
HTG and LTG is:
pA 1:05pY 45:22
Similarly, it is assumed that the pressure loss is equal between evaporator with
HTA and LTA.
p=p 0:075 45:23
Inlet pressures to the HTA and LTA are:
pS pB =1, 075 45:24
The heat exchangers are assumed as counter flow heat exchangers and -NTU
method is used in the analysis of the heat exchangers. The low and high pressure of
DAR are:
pL p19 p20 45:25

pH p17 p18 45:26
Table 45.2 The values of the

Cooling load qE 2 kW
working parameters used in
the analysis Evaporator temperature TE 2010 C
Condenser temperature TC 2428 C
HTA temperature THTA 50100 C
HTG temperature THTG 56200 C
LTG temperature TLTG 4797 C
LTA temperature TLTA 2428 C
The heat load in the condenser is:
qH m_ NH3 h16 h17 45:27
The mass concentrations of the strong and weak solutions (NH3/H2O, NH3/
NaSCN and NH3/LiNO3) are calculated using Regula Falsi method. Mass concen-
tration of mixture in the outlet HTA and mass flow rate is:
x1 x2 x3 45:28
m_ 1 m_ 2 m_ 3 45:29
The mass balance equations for the HTA are written as:
m_ 6 m_ 24 m_ 1 45:30
and
m_ 6 x6 m_ 24 m_ 1 x1 45:31
The energy balance equation for the HTA can be written as:
m_ 6 h6 m_ 24 h24 m_ 1 h1 qHTA 45:32
where qHTA is the heat load that is transferred to LTG from HTA by heat pipes.
qHTA qLTG 45:33
The mass balance equations for the LTA are written as,
m_ 12 m_ 22 m_ 7 45:34
m_ 12 x12 m_ 22 m_ 7 x7 45:35
The energy balance equation for the LTA:
m_ 12 h12 m_ 22 h22 m_ 7 h7 qLTA 45:36
The energy balance equation for the HTG is written as
qHTG m_ 3 h3 m_ 4 h4 m_ 13 h13 45:37
The energy balance equation for the LTG can be written as:
qLTG m_ 9 h9 m_ 10 h10 m_ 15 h15 45:38
At the reference point 1 the mass flow rate of mixture is calculated using
1 x6
m_ 1 m_ 24 45:39
x1 x6
At the reference point of 7 flow rate of mixture is calculated using Eqs. (45.34)
and (45.35).
1 x12
m_ 9 m_ 22 45:40
x7 x12
Similarly, at the reference point of 4 flow rate of mixture is calculated using
1 x3
m_ 4 m_ 13 45:41
x3 x4
At the reference point of 10 flow rate of mixture is calculated using
1 x9
m_ 10 m_ 15 45:42
x9 x10
The mass and energy balance equations for the junction J are written as
respectively:
m_ 14 m_ 15 m_ 16 45:43
m_ 14 h14 m_ 15 h15 m_ 16 h16 45:44
m_ 13 m_ 14 45:45
The mass balance for the junction K is written as:
m_ 21 m_ 22 m_ 23 45:46
m_ 23 m_ 24 45:47
The expression for the mass flow rate at the reference point of 24 of is obtained
as

1x9
x9 x10 h10 h9 h15 h9 m_ 21
m_ 24 45:48
1x1
x1 x6 h 6 h 1 h 24 h 1 1x9
x9 x10 h 10 h 9 h 15 h 9
The coefficient of performance of the DAR can be written as

qE
COP 45:49
qHTG W p1 W p2
The circulation ratio of the high temperature cycle:
m_ 1
fH 45:50
m_ 13
Similarly the circulation ratio of the low temperature cycle:
m_ 7
fL 45:51
m_ 15
In this work, NH3/H2O-NH3/LiNO3 (System I) and NH3/H2O-NH3/NaSCN (Sys-

tem II) are used as refrigerant/absorbent working pairs for the simulation of the
DAR. A computer program is developed for analysis of the DAR. The variation of
the COP with generator, absorber, evaporator, and condenser temperatures are
determined.
Figure 45.2 shows the variation of the COP with the temperature of the HTG,
THTG for condenser temperature, TC 24 C, temperature of HTA, THTA 80 C
and evaporator temperatures, TE 10, 0 and 10 C. It is observed that the System
II (NH3/H2O-NH3/NaSCN) has a lower COP than System I (NH3/H2O-NH3/
LiNO3). The COP of the both systems are lower than 0.9. The COP at the smaller
THTG is lower and increases with THTG. The COP increases exponentially and it
stops at a certain value of THTG.
The COP of the DAR is high at the large TE. The DAR doesnt work when THTG
is less than 105 C. The COP of DAR is almost constant above THTG 180 C.
As it is seen in Fig. 45.3 the COP of the DAR for System I and System II are
similar at the TC 28 C and at THTA 80 C and TE 10, 0, 10 C. For both
Fig. 45.2 Variation of the COP of the DAR with the HTG temperature at different evaporator
temperatures and at THTA 80 C, TC 24 C
Fig. 45.3 Variation of the

COP of the DAR with the
HTG temperature at
different evaporator
temperatures and at
THTA 80 C, TC 28 C

HTG temperature at
temperatures and at
THTA 50 and 60 C,
TC 24 C
systems the COP increases with the evaporator temperature. The System II works at
TE > 0 C for TC 28 C. It is observed that the maximum COP of System II is
decreases 4.1 % and the maximum COP of System I decreases 7.9 % with the
increase of condenser temperature from 24 to 28 C. The DAR doesnt work when
THTG is less than 105 C. The COP of the DAR is almost constant above the
THTG 180 C.
In Fig. 45.4, results are shown for TC 24 C, THTA 50 C and 60 C. The
DAR can work over evaporator temperature of 0 C and the maximum COP of the
DAR rises up to 1.10.
The variation of the COP of the DAR with the temperature of the HTG is given
in Fig. 45.5 at THTA 70 C, TC 24 C and TE 10, 0, 10 C. Both systems can
work at evaporator temperature of 10 C, but the COP of both systems can only
rises up to 0.96.
Variation of the COP of the DAR with the HTG temperature at different
evaporator temperatures of TE 20, 10, 0 and 10 C, condenser temperature
of TC 24 C and THTA 90 C is given in Fig. 45.6. The maximum COP of
System II is 0.86 and for System I it is 0.82. The systems start working above
THTG 114 C and start decreasing beyond THTG 190 C.

HTG temperature at
temperatures and at
THTA 70 C, TC 24 C

HTG temperature at
temperatures and at
THTA 90 C, TC 24 C
Comparison of Figs. 45.5 and 45.6, show that the variation of COP of the DAR
with increasing HTG temperature, tend to decrease as parametric value of THTA
steps up from 70 to 90 C for TE 10, 0, 10 C, but the systems start working at a
lower evaporator temperature of TE 20 C.
For System I, variation of the circulation ratio of the high temperature cycle (fH)
with temperature of HTG is given in Fig. 45.7. It is shown that the fH is 149.6 at
THTG 130 C and fH is 36.4 at THTG 134 C, for TC 24 C, THTA 80 C, and
TE 10 C. The fH of the DAR increases with a decrease of the evaporator
temperature. The fH is 6.088 at TC 24 C, THTA 80 C, THTG 130 C and
TE 10 C; but it rises up to 11.87 at TE 0 C. The trend in Fig. 45.7 also
indicates that the fH of the DAR decreases with an increase of the HTG temperature,
for evaporator temperatures of TE 10.0 and 10 C.
Variations of the COP with evaporator temperature for both systems are given in
Fig. 45.8 for condenser temperature of 24 C, HTA temperature of 80 C, and HTG
temperatures of 140 C. As shown in the figure, the COP increases with evaporator
Fig. 45.7 Variation of the circulation ratio of the DAR at high temperature cycle with the HTG
temperature at different evaporator temperatures and at THTA 80 C, TC 24 C
Fig. 45.8 Variation of the COP of the DAR with the evaporator temperatures at THTA 80 C,
TC 24 and THTG 140 C
temperature. System II has better performance than System I at lower evaporator

temperatures.
The results obtained from the simulation of the DAR are given in Table 45.3 for
Tc 24 C, TE 0 C, THTA 60 C for System II. The performance parameters of
System II at the conditions given in Table 45.3 are given in Table 45.4.
Table 45.3 DARs analysis results at Tc 24 C, Te 0 C, THTA 60 C for system II

Reference point T ( C) h (kJ/kg) X P (bar) m 10+4 (kg/s)
1 60 30.21283 0.4047082 5.820903 65.004146
2 60.09095 31.20637 0.4047082 14.05266 65.004146
3 101.2763 123.6155 0.4047082 14.05266 65.004146
4 120 343.0018 0.2803915 14.05266 53.774291
5 72.67085 88.56872 0.2803915 14.05266 53.774291
6 72.67085 88.56872 0.2803915 5.820903 53.774291
7 24 47.43581 0.2320188 5.820903 64.403161
8 24.29212 46.74849 0.2320188 14.05266 64.403161
9 50.45771 17.85708 0.2320188 14.05266 64.403161
10 57 37.78723 0.2250139 14.05266 63.821033
11 31.12463 56.55319 0.2250139 14.05266 63.821033
12 31.12463 56.55319 0.2250139 5.820903 63.821033
13 120 1,715.708 1 14.05266 11.229857
14 46.31957 1,519.990 1 14.05266 11.229857
15 57 1,549.427 1 14.05266 5.8212620
16 51.495 1,530.040 1 14.05266 17.051119
17 24 113.0889 1 13.38348 17.051119
18 15.77061 75.29613 1 13.38348 17.051119
19 16.10164 75.29613 1 6.257471 17.051119
20 0 1,248.240 1 6.257471 17.051119
21 19.12741 1,487.872 1 6.257471 17.051119
22 19.12741 1,487.872 1 6.257471 5.8212620
23 19.12741 1,487.872 1 6.257471 11.229857
24 98.85603 1,677.352 1 6.257471 11.229857
Table 45.4 The performance parameters for working conditions given at the Table 45.3
Heat load at evaporator (kW), qE 2.00
Heat load at condenser (kW), qC 2.416060
Heat load at LTA (kW), qLTA 7.530428
Heat load at HTA (kW), qHTA 2.163518
Heat load at HTG (kW), qHTG 2.967631
COP 0.6626126
Circulation ratio of high temperature cycle, fH 5.788510
Circulation ratio of low temperature cycle, fL 110.6344
45.5 Conclusions
The performance ranges of the double effect absorption refrigeration systems given
in the literature are different than the DAR of this study. The following conclusions
can be drawn from the simulation of the DAR:
The COP of the DAR grows with the increase of temperature of HTG up to a
certain value of THTG, but afterwards it comes to a stop and it remains constant
onward.
The COP of DAR also grows with the increase of the evaporator temperature TE.
As the temperature of HTA increases, the DAR becomes capable of working at
lower condenser temperatures, TC. However this happens in return for decreasing
COP values. At condenser temperature of 24 C, System II is not capable of
working below HTA temperatures of 80 C. As for System I, it cannot work
below HTA temperatures of 70 C, for condenser temperature of 24 C, when
evaporator temperature TE goes below 0 C.
When the evaporator temperature decreases, the DAR can work at higher HTA
temperatures. As the condenser temperature increases, the DAR can work only at
higher HTG temperatures.
The DAR can work only at higher HTG temperatures as the evaporator temper-
atures decreases.
As the HTG temperature increases, the high temperature circulation ratio fH
becomes smaller and fH grows as condenser temperature and HTA temperature
increase or evaporator temperature decreases.
The COP of System II is less than the COP of the System I at the same operating
conditions. The maximum COP of the DAR is obtained at condenser temperature of
24 C, HTA temperature of 50 C and evaporator temperature of 10 C. The
maximum COP of System I is 1.099 and for System II, it becomes 1.092.
System II has larger low temperature circulation ratio fL than System I.
At condenser temperature of 24 C, The DAR cannot work below the HTG
temperature of 72 C. At condenser temperature of 28 C, it can work neither below
the HTG temperature of 86 C.
Nomenclature
C Heat capacity per unit time (kW/K)

C The heat capacity ratio
CP Specific heat at constant pressure (kJ/kmol K)
D The values
fH The circulation ratio of the high temperature cycle
fL The circulation ratio of the low temperature cycle
h The specific enthalpy (kJ/kg)
hI The specific enthalpy of the saturated liquid ammonia (kJ/kg)
hS The specific enthalpy of superheated ammonia vapour (kJ/kg)
hV The specific enthalpy of saturated ammonia vapour (kJ/kg)
g The specific Gibbs free energy function (kJ/kmol)
m Mass (kg)
m_ Mass flow rate (kg/s)
P Pressure (kPa bar)
pL Low pressure (kPa bar)

pH High pressure (kPa bar)
T Temperature ( C)
TE Evaporator temperature ( C)
TC Condenser temperature ( C)
q Heat load (kW)
qE Heat load at evaporator (kW)
qC Heat load at condenser (kW)
WP Pump energy supplied (kW)
X Mole fraction
x Mass concentration
Acronyms
DAR Double effect absorption refrigeration system
HTA High temperature absorber
HTG High temperature generator
LTA Low temperature absorber
LTG Low temperature generator
HE Heat exchanger
EV Expansion valve
C Condenser
E Evaporator
P Pump
References
1. Ataer O E, Gogus Y (1991) Comparative study of irreversibilities in an aqua-ammonia absorp-

tion refrigeration system. Int J Refrig 4:8792
2. Rogdakis ED, Antonopoulos KA (1995) Thermodynamic cycle, correlation and nomograph
for ammonia-sodium thiocyanate absorption refrigeration systems. Heat Recovery Syst CHP
15:591599
3. Da-Wen S (1998) Comparison of the performances of NH3-H2O. NH3-LiNO3 and NH3-
NaSCN absorption refrigeration system. Energ Convers 39:357368
4. Alizadeh S, Bahar F, Geoola F (1979) Design and optimisation of an absorption refrigeration
system operated by solar energy. Sol Energ 22:149154
5. Swartman RK, Ha V, Swaminathan C (1975) Comparison of ammonia-sodium thiocyanate as
the refrigerant-absorbent in a solar refrigeration system. Sol Energ 17(2):123127
6. Romero RJ, Guillen L, Pilatowsky I (2005) Monomethylamine-water vapor absorption refrig-
eration system. Appl Therm Eng 25:867876
7. Donate M, Rodriguez L, Lucas A (2006) Thermodynamic evaluation of new absorbent
mixtures of lithium bromide and organic salts for absorption refrigeration machines. Int J
Refrig 29:3035
8. Kaynakl O, Klc M (2007) Theoretical study on the effect of operating conditions on

performance of absorption refrigeration system. Energ Convers Manag 48:599607
9. Ziegler B, Trepp C (1984) Equation of state for ammonia-water mixtures. Int J Refrig
7:101106
10. Ferreira I (1984) Thermodynamic and physical property data equations for ammonia-lithium
nitrate and ammonia-sodium thiocyanate solutions. Sol Energ 32:231236
11. Bourseau P, Bugarel R (1986) Refrigeration par cycle a absorption-diffusion: comparison des
performances des systemes NH3-H2O et NH3-NaSCN. Int J Refrig 9:206214
12. Cleland AC (1986) Computer subroutines for rapid evaluation of refrigerant thermodynamic
properties. Int J Refrig 9:346351
About the Authors
Ibrahim Dincer is a full professor of Mechanical Engineering and programs

director in the faculty of Engineering and Applied Science at University of Ontario
Institute of Technology. Renowned for his pioneering works, he has authored and
co-authored many books and book chapters, over 800 refereed journal and confer-
ence papers, and numerous technical reports. He has chaired many national and
international conferences, symposia, workshops, and technical meetings. He is the
founding chair/co chair of various well-established international conferences,
including the International Exergy, Energy, and Environment Symposium. He has
delivered over 200 keynote and invited lectures. He is an active member of various
international scientific organizations and societies, and serves as Editor-In-Chief
for International Journal of Energy Research, International Journal of Exergy, and
International Journal of Global Warming, as well as associate editor, regional
editor, and editorial board member on various prestigious international journals.
He is a recipient of several research, teaching, and service awards, including the
Premiers Research Excellence award in Ontario, Canada, in 2004. He has made
innovative contributions to the understanding and development of exergy analysis
of advanced energy systems for his so-called five main pillars: (1) better efficiency,
(2) better cost-effectiveness, (3) better environment, (4) better sustainability, and
(5) better energy security. He was the chair of a new technical group in ASHRAE
named Exergy Analysis for Sustainable Buildings.
Adnan Midilli is a full professor of Mechanical Engineering in Engineering
Faculty of Recep Tayyip Erdogan University, Rize, Turkey. He is an active member
of various international scientific organizations and societies, and serves as editorial
board member on various prestigious international journals. He is a recipient of
several national research awards. He has been working to be researcher in the
national and international research projects. His research interest includes sustain-
able energy technologies, sustainable development, thermodynamic design and
modeling.

Creating Sustainable Development, DOI 10.1007/978-3-319-07977-6
706 About the Authors
Haydar Kucuk is Associate Professor at Mechanical Engineering Department and

Associate Dean of Engineering Faculty at the Recep Tayyip Erdogan University.
He teaches graduate and undergraduate courses in the fields of thermodynamics,
fluid mechanics and heat transfer. His research interests involve numerical heat
transfer and fluid flow, drying and drying models, energy and exergy analysis,
economic analysis and sustainability and thermodynamics. He serves as referee for
international prestigious journals. He has participated in national and international
research projects as a researcher. He has contributed as technical chair in The Sixth
International Exergy, Energy and Environment Symposium.
Index
A SFC control technique, 494495

Absorption refrigeration system transfer function, 492
DAR (see Double effect absorption three-phase equivalent circuit, 490, 491
refrigeration system (DAR)) AI. See Artificial intelligence
generator and absorber, 421, 423 AI-based Control Tool, 323
NH3/H2O, 689 Air conditioning
single-stage, 686 buildings in Abu Dhabi, 188
working fluid pairs, 686 and DHW, 184
Acid detergent fiber (ADF), 505, 506 use of electric energy, DHW, 183
Active magnetic refrigerator (AMR) Airtightness, 112113
active magnetic regenerative AMR. See Active magnetic
refrigerator (AMRR), 2, 3 refrigerator (AMR)
cooling power and exergetic cooling AMRR. See Active magnetic regenerative
power output, 6 refrigerator (AMRR)
energy and exergy analyses, 6 Artificial intelligence (AI), 323
heat transfer modeling ASVC-based var flow compensation
governing equations, 34 electric current transmission
magnetization and demagnetization systems, 489
processes, 23 Matlab/Simulink environment, 496
solution procedure, 4 non-linear model, 497
thermodynamic analyses, 45 reactive power transient
mass flow rate, 68 response, 497, 498
MATLAB software, 2, 4 switched inverters, reactive
model parameters, 6 power, 489
refrigerant, 12 ASVCs. See Advanced static var
Active magnetic regenerative refrigerator compensators (ASVCs)
(AMRR), 2, 3
Advanced static var compensators (ASVCs)
circuit diagram, 490, 491 B
fast variable and continuous reactive power Baxi Innotech GAMMA 1.0, 263, 264
compensation, 490 BIG Energy Upgrade (BEU), 125, 132
IMC, 492494 Biomass
modulation index (MI), 491 catalytic effects, 512
power transmission performance, 490 cellulose, hemicellulose and lignin
proportional-integral (PI) controller, 490 contents, 505

Creating Sustainable Development, DOI 10.1007/978-3-319-07977-6
708 Index
Biomass (cont.) Cleaner production

combustion boiler, fluidized bed, 532 analysis and assessment, 442
fossil fuel usage, 504 assessment, 439440
off-the-grid energy generation culture and personnel awareness, 443
systems, 288 environmental impacts, 436
renewable energy sources, 353, 504 goal, 436
synergistic effects, 504 industrial production systems, 433434
BLIS project, 311 NGL case study, 437, 440
BRI. See Building Related Illness (BRI) operational practice, 438
Bubble flow model opportunities, 444446
aquired image for 2 L/min, 396397 poison and pollutant, 436437
assumptions, 393 preventive methodology, 433
dimensionless parameters, 393394 process technology, 438
Eotvos number, 393394 second scale level, 436
mass transfer in bubbles successful implementation, 435
diffusion, 394395 waste and emissions, 438439
droplet and fluid, 394 Clear double glazing (DGC), 207
Nusselt number, 395 Clear single glazing clear (CS), 207
parameters, influencing, 395 Climate Change Act (2008), 110
Schmidt number, 395 Closed loop operating system, 371
Sherwood number, 395 Closed loop recycling
Morton number, 394 mechanical recycling, 519
non-dimensional correlations, 396397 oil resources, 519
Reynolds number, 393 Coal
Building Energy Demand blending effect, burnout
(BED) side, 288, 297 temperature, 514
Building Energy Management (BEM), 319 combustion characteristics, 504
Building energy saving. See Patterned energy policy, 350
glass on building envelope kinetic parameters, TGA analysis, 514
Building Energy Supply Co-combustion
(BES) side, 288, 297 derivative thermogravimetric (DTG), 506
Building Information Model (BIM), 324 ignition temperature and peak
Building information model (BIM), 295, temperature, 512
310, 314 MC/PP blends and MC/mPP
Building Related Illness (BRI), 124125 blends, 509511
Building Research Establishment model poplar/coal blends, 504
(BRE), 112 poplar/coal blends, 504
BuildingSMART initiative, 310, 313, 317 thermogravimetric (TG), 506
Cold brining (cb) and liquid smoking
(ls) procedure
C characteristics, Ls fish, 569570
Calibration analysis, 335, 337 drying characteristics, Lt assisted
Callux project, 263 Ls fish, 570571
Capacitance rate drying temperatures, 567
definition, 428 experimental setup, 564
temperature effectiveness, 422 low temperature (Lt), 564, 566
Ceramic fuel cells, 263265 Ls Fish production flow
CFD. See Computational fluid diagram, 564, 565
dynamics (CFD) Ls fish quality and safety, 571573
CHP. See Combined heat LTHV, 564
and power (CHP) parameter control diagram, 564, 566
Clean Energy Research Laboratory samples weight loss and cold
(CERL), 391 air velocity, 567
Index 709
Colle del Forno archaeological area, 279 heat transfer and fluid flow, 64
Combined heat and power (CHP) hydrogen gas flows, 64
biogas, 233 laminar flow of hydrogen gas, 73
installed electrical power, 236
micro-CHP applications
(see Micro-CHP system) D
Combustion, rice straw DASSEB project (Dynamic System
excess air ratio effect, 537539 Architecture for Energy
fluidization velocity effect, 535537 Efficient Building
static bed height effect, 539541 Operations project), 31
Comfort Data center (DC)
central heating system, 124 in China, 610
daylight uniform distribution, 200201 energy buildings, 609610
energy conservation feasibility, 124 energy saving (see Energy saving)
and energy efficiency, 323 free cooling utilization, 611612
internal relative humidity levels, 130 heat transfer driving force, 613
temperature range, 141 investment growth rate, 610
thermal comfort index, 579 PUE, 610
Compendium of natural gas extraction and telecommunication, 615
(CNGE) platforms, 375 underfloor air supply system, 616
Compendium of natural gas processing Data Representation and Aggregation, 329
(CNGP) plants, 375 Data Warehouse Core, 328329
Composite material, 474, 478. Data Warehouse Services, 328
See also Wood Data Ware-house Technologies, 314316
Computational fluid dynamics (CFD) Dehumidifier design, 650, 651
ceramic heat exchanger, 84 Desert sustainable ecohouse design
Colburn and friction factors, 8788 conventional landscape elements,
copper-chlorine cycle, 56, 57 effect, 190
2-D grid mesh, 58 cooling and air conditioning of buildings,
FLUENT, 58 Abu Dhabi, 188
heat transfer and pressure design approach
drop behavior, 84 building form/footprint, 191192
helium, 58 envelope, 193
in laminar regime, 81 landscape, 194
operating pressure contour, 58, 59 passive systems, 192193
pressure drop and outlet temperature, 86 systems, 194
shell and tube heat exchanger, 5758 designing buildings, 188
velocity and pressure contours, 59, 61 field roofing facility, 190
velocity contour, 5860 green roofs and vertical
Condensation risk, 112, 118, 120, 121 landscaping, 190
Cooling energy demand landscaping, 188
cumulative frequency, Santiago/ methodology, 195
Valparaso, 208, 209 results
orientation, Valparaso, 208, 209 stage 1-courtyard configuration,
Courtyard configuration, 196197 196197
Creative Energy Homes (CEH) stage 2-envelope, improvement, 197
project, 137138 stage 6-final optimized
Curriculum indicators, 338, 341343 design case, 200
Curved annular ducts stage 5-lighting system, 200
concentric, 6570, 75 stage 4-natural ventilation, 199
cross-section, 73 stage 3-solar heat gain, 197199
engineering applications, 64 shade trees, effect, 189190
entropy phenomena, 64 vegetation, 189
710 Index
Design studio methods, 558

Green Lab model, 276 osmotic, 92
National Research Council site, parameter control diagram, 566
redevelopment, 275 and smoking, 558
student role, teaching, 276 Dual purpose water and electricity
DiarAmbiente website, 274 (DPWE) production plant
Domestic buildings generating and distribution company,
carbon dioxide (CO2) emissions, 124 457, 459
fuel cells lean value stream mapping tool, 470
commercialisation, micro-CHP maintenance strategies, 459
systems, 262265 power production chain, 454
CO2 savings, 260261 process flow description, 457, 458
cost, 259260 water production chain, 454
durability, 259 DynamicStudio software, 397
electrical heat pumps, 262 Dynamic System Architecture for Energy
fuels, 258 Efficient Building Operations
maintenance, 258259 (DASSEB), 320
micro-CHP demonstration projects,
266267
Domestic hot water (DHW) E
air conditioning, use of electric ECA. See Equivalent-capacitance
energy, 183 approach (ECA)
electric energy use, 181 Eco-house. See Desert sustainable
monthly needs of thermal energy, 175 ecohouse design
monthly use of electric Economic policy in Slovakia
energy, 181, 182 direct government intervention, 348
monthly values of use of thermal electricity consumption and possible
energy, 179, 180 power generation, 349
thermal energy needs, 174175 estimated growth, gas consumption
thermal solar collector, 179181 upto 2030, 349
Double effect absorption refrigeration expected development, lignite mining
system (DAR) in 2030, 349
COP variation, HTG free market economy, 348
temperature, 696, 697 strategic objectives, 348349
diagram, 686, 687 Ecosystem
NH3/H2O working pair, 688 industrial, 371372
performance parameters, 700 integrated NGL ecosystem, 379382
saturated ammonia vapor, 686 NGPCRFs, 378
simulation of system (see Simulation) value optimizing ecosystem, 377
single-stage absorption, 688 eeBIM (Building Information Model
thermal properties, working fluids for Energy Efficiency), 322, 325
(see Working fluids) Effectiveness. See also Liquid desiccant
thermodynamic equations, 688689 AMR refrigeration system, 4
working principle, 686 dehumidifier, 650
Double glazing selective (DGS), 208209 and moisture removal, 654655, 659
DruckerPrager failure criteria, 407 solar protection, 211
Drying solid/liquid phase, 678
fish, 559 temperature, 422
fish quality, 569 thermal conductivity, 167
low temperature, 559 Efficiency
Lt assisted Ls fish, 570571 ambient temperatures, 105
LTHV, 564 band edge alignments, 389
machineries, 64 Building Information Model, 322
Index 711
efficiency-volume ratios, 681 industrial building, 13

energy, 624625 innovation, 123, 125
power plant vs. load variations, 104 method, 14
power plant vs. various ambient non-residential buildings, 1213
temperatures, 105 (see also Sustainability)
UK Housing, energy, 110114 saving improvements, 306307
values, 537 thermal, 173174
various loads, 105 trigeneration system, 12
EFGT cycle. See Externally fired gas UK home, heat consumption, 110114
turbines (EFGT) cycle Energy efficiencies
Electric vehicle (EV). See also Green airtightness, 112113
Jubail Industrial City (J.I.City) building fabric and envelope, thermal
pollution (see Pollution, J. I. City) properties, 111
questionnaire, J.I.City CO2 emissions, 111
age of participants, 152, 153 existing housing stock, 110111
awareness of electric GRP lintel, 113114
vehicle, 154, 156 of installations, 455
career of participants, 153, 154 interoperable ICT platform (see
car pollution, people awareness, Interoperable ICT platform)
154, 155 in power and water production
car selection, 155, 158 chains, 457
diesel/gasoline car to EV, 155, 157 smart buildings and cities
electrical/gas operated public ad hoc combination, BMS, 287
transportation, 155, 156 BACnetTM, 289
engines, noise pollution, 154, 155 Building Energy Demand (BED)
EV charging every 200 km, 155, 157 side, 288
gas cars, community awareness, Building Energy Supply (BES)
155, 156 side, 288
gender of participants, 153 ICT devices and computational
pollution from source, 153, 154 resources, 287
Emissions, combustion Multi Dimensional Energy
excess air ratio, 541, 543 Monitoring, Analysis and
static bed height, 541, 542 Optimisation System, 288
Energy off-the-grid energy generation systems
AMR, exergy analyses, 19 (see Off-the-grid energy
analysis, trigeneration system (see generation systems)
Trigeneration system) smart cities, 286
bill and carbon dioxide emissions, 114115 total service concept, 288
coefficient of performance (COP), 5 Standard Assessment Procedure (SAP),
consumption, 115116 110111
for cooling and dehumidifying, 178179 thermal bridging, 111112
destruction, trigeneration Total Floor Area (TFA), 111
system, 628, 632 trigeneration system (see Trigeneration
Domestic Hot Water (DHW), 175176 system)
efficient buildings, 12 Energy efficiency rate (EER)
electric, for heating, 177178 air dehumidifier, 176
environmental advantages and economics, dehumidifier, 179
12 heat pump, 167, 176
equation, 67 HPCS, 613
generation and storage systems, 290293 Energy efficient building operations
global energy consumption, 1112 BLIS project, 311
GRP lintels, bill and carbon IFC-compliant integrated AEC systems,
dioxide savings, 117 311
712 Index
Energy efficient building operations (cont.) Energy saving improvements

IFC Data Extraction Tool, 316317 centralised heating plant, 329
IFC Partial Model, 312313 centralised ventilation, 329
integration methodology, 312 heat recovery, 330
objectives, 310311 night purge, 330
requirement analysis, 314316 photovoltaic, 330
research and development solar thermal heating, 330
initiatives, 311 Energy savings
Energy Independence and Security air conditionings and HPCSs, 614
Act of 2007 (EISA), 165 annual meteorological statistics, 614, 615
Energy Innovation for Deprived Communities CO2 emissions, 116
(EIDC) project, 123, 125 data center, Beijing
Energy pile floor plan, 616, 617
bearing capacity, 416, 417 HPCS, 616, 618
commercial software ANSYS, 406407 renovations, HPCS, 618, 619
GCHP technology, 406 GRP lintel, 120
initial/boundary conditions, 409, 410 HPCS energy, 610
long-time behavior, 416418 lean manufacturing principles
pilesoil interface, 408, 409 (see Lean principles)
and soil, parameters and layers, 410411 possible improvements, 306307,
temperature change, 411, 412 329330
thermal stress and deformation renewable sources, 275
(see Thermal stress and telecommunication base station, Luoyang
deformation) floor plan, 616
thermo-elastic-perfectly plastic HPCS, 616, 617
constitutive model, 407 test result, 616, 617
U-tubes (see U-tubes) temperature, telecommunication, 614
Energy policy in Slovakia theoretical rate, 615
balance resources and needs trees, 189
coal, 353 Energy storage systems, 293, 639, 672, 682
economic growth, 355 Energy use
electricity production, 355356, 361 vs. energy needed, 465, 467
energy efficiency, 358359 value stream map, 462
funding problems, 359 Enerwin-EC software, 195
heat production target, 361 Entropy generation
hydropower, 356 average Bejan number, 7475
National Action Plan, 360361 average irreversibility distribution
natural gas, 353354 ratio, 7374
nuclear fuel, 354 average volumetric entropy
oil, 354 generation, 7073
reducing energy consumption, 358 Dean number, 6465
renewable energy, 354355 energy consumers, 63
Slovak Power (SE), 357 hydrogen energy systems, 64
Visegrad GroupV4, 359360 numerical solution procedure
coal technologies, 350 Alternating-Direction Implicit
Directive 2003/55/EC, 352 (ADI) method, 68
liberalization, energy markets, 351 average irreversibility distribution
objectives and priorities upto 2020 and ratio, 69
outlook to 2030, 352 Bejan number, 68
partial view, 364365 control volume-based finite difference
renewable energy sources, 351 method, 67
sub-personal view, 365366 Dean number, 69
SWOT analysis, 362363 irreversibility distribution ratio, 68
Index 713
Reynolds number, 69 Equivalent-capacitance approach (ECA)

staggered grid system, 68 entering conditions, water and
volumetric entropy generation, 68 refrigerant, 426
operating pressure and temperature, 65 heat exchangers, 421
problem statement LMTDA, 422424
core wall temperature, 65 mathematical formulations, 424425
energy equation, 67 simulated performance, condenser
geometry and coordinate system, 66 and evaporator, 426427
governing equations, 66 TEA, 421422
laminar hydrogen gas flow, 65 temperature variation inside
momentum equations, 66 counter-flow, 422, 423
pressure gradient, 67 Equivalent electrical efficiency
radius of curvature (R), 65 (EEE), 628
Enviroeconomics European directive EPBD (Energy
electricity generation, 45 Performance Building Directive
GHG emissions, 45 2002/91/EC-2006/32/EC), 320
hybrid electric vehicles (HEVs), 45 Excess air ratio effect
international carbon price, 45 carbon loss percentage, 539
systems impact, 37 carbon monoxide and nitrogen oxides
Environment emissions, 537, 538
Cb characteristics of liquid smoked temperature profile, 537, 538
Ls fish, 569570 Exergoeconomics
drying characteristics, Lt assisted air conditioning applications, 36, 37
Ls fish, 570571 analysis, 105
food smoking cycle, 560, 561 annuity factor, 43
friendly fish smoking capital investment, 42, 103
assumptions, 563 Capital Recovery Factor (CRF), 103
cb and ls procedure, 564567 combining exergy and, 40
drying, 562 component exergy destruction
experimental parameters, 563 costs, 41
experimental procedure, 567 cost accounting, 4345
salting, 561 cost balance, 41, 101102
Ls fish quality and safety, 571573 cost of exergy, 101
and pollution, 561, 562 definition, 36
quality and safety, food, 567, 568 destruction rate, 101102
variation of temperature, 569 efficiency equations, 101102
Environmental impact exergy costing, 40
assessment method, 1314 exergy destruction, cost rate, 4041
cleaner production, 436 exergy fuel of system, 102
conventional energy, 24 factors, 102
conventional fuel, 24 flow cost rate, 102
costs and adverse, 40 fuel and product definitions, 41
emission reduction, hybrid system, 27 fuel exergy rate, 102
food smoking process, 562 fuel rule, 41
hybrid system, emission reduction, 25 interest rate, 103
index, 2527 power and heat transfer rates, 40
industrial case study, 2526 product rule, 41
natural gas, 26 pumping power, 42
negative, 533 purchase equipment cost, 42
PV panels, 25 refrigerant mass flow rate, 42
total energy, 24 SPECO method, 40
Eotvos number, 393 thermal management
Equilibrium equations, 664 systems, 40
714 Index
Exergy thermodynamic model

absolute temperature, 101 ceramic heat exchanger, 83
analysis, trigeneration system components arrangement, 82
(see Trigeneration system) compressor WC, 82
category, 100 friction factor, 83
chemical, 100 net electric efficiency, 82
combined cycle power plants, 99 pressure ratio, 8384
commercial case study, 30 turbine WT, 82
destruction Turbec T100 micro gas-turbine, 89
ambient temperature, 103 turbine inlet temperature (TIT), 80, 81, 89
power plant vs. load variations, 104 turbine pressure ratio, 89
power plant vs. various ambient Extraction, Transformation, Loading (ETL)
temperatures, 104 Tool, 315, 322
efficiency, trigeneration system, 626,
628, 631
fuel, 101 F
gas-fired power plant, 99 Facade
gas turbine cycle, 99 air-tight, 588
gas turbine power plants, 100 nocturnal/diurnal ventilation, 205
industrial case study, 3031 solar gains controll, 138139
Montazer Ghaem gas turbine power Field roofing facility, 190
plant, 100, 101 Film evaporation
physical, 100 cogeneration cooler, 554
thermal management systems cooler and characteristics, fan, 548
available energy, 37 cooling rate, air flow variation, 553
boundary conditions, 39 evaporation rate, air flow variation,
coefficient of performance (COP), 39 552, 553
cooling systems, 39 finite-difference method, 551
efficiencies and destruction rates, 39 industrial applications, 547
input and output terms, 38 interfacial condition, 551
rate determination, 39 liquid ethanol film, 547
rate of entropy generation, 38 mathematical model, 549551
steady-state conditions, 38 numerical method, 551552
thermal management system, 3738 power sources, 548
total specific exergy, 101 temperatures, air flow, 553, 554
usual gaseous fuels, 101 theoretical calculation, 552
Externally fired gas turbines (EFGT) cycle vertical tube, mixed gas
brittle fracture and thermal fatigue, 92 convection., 548
ceramic heat exchangers, 81 water film, insulated plate
ceramic plate, alumina, 9192 with air flow, 549
components arrangement, 80 Finite difference
Engineering Equation Solver (EES), 81 air and desiccant, 655
heat exchanger effectiveness, 89 air and solution parameters, 650
heat exchangers, 80 control volume-based, 67
heat transfer and pressure drop, 81 dependent variables, 67
highest temperature in, 89 MATLAB program, 659
HTHE (see high temperature heat Finned metal structures, 671
exchanger (HTHE)) FLUENT, 56, 58
modified Coulomb-Mohr failure Fluent software
criteria, 92 finite volume method, 642
net electric efficiency, 89 TTHX, 642
simulation, 81 Fluidization velocity effect
structural integrity, 89 and carbon loss, 537
Index 715
carbon monoxide and nitrogen oxides merits, 249250

emissions, 535, 536 technologies, 250253
temperature profile, 535, 536 NASA, 248
Fluidized bed PEMFC and SOFC characteristics,
agriculture waste and residues, 531 248, 255
atmospheric bubbling, 533 single cell, 253, 254
calcium based sorbent, 534 systems
carbon monoxide concentration, 532 auxiliary devices, 255256
combustion boiler, biomass, 532 micro-CHP system, 256
combustion efficiency, 533 types, 254
fuel analysis and properties, 533, 534 Fuel energy saving ratio (FESR), 627, 628
heat transfer coefficients, 533 Fuzzy Delphi, 335, 337
liquid biofuel combustion, 532
pretreatment of biomass fuel, 532
test system, pellets/mazut combustion, G
533, 534 Gas absorption heat pump
ton oil equivalent (TOE), 532 natural gas bills, 596
Food smoking technologies PER, 597
environmental effects (see Environment) Gas turbine power generation system
global issues, 557 energy consumption, 98
liquid smoking process, 559 exergoeconomic analysis
productivity, safety and quality, 558 (see Exergoeconomics)
product quality and safety, 559 exergy (see Exergy)
salting and drying, 559560 exergy analysis, 99
Forced ventilation internal losses, 98
electric energy use, 181182 maximum usable work, 99
with heat recovery, 171, 173 thermal efficiency, 98
set point conditions and internal heat work potential, 99
gains, 171, 173 GCHP. See The Ground-Coupled Heat
Free cooling Pump (GCHP) technology
data center system, 611612 General Model Subset Definition (GMSD)
energy consumption, 618 schema, 312
HPCS, 618 Geothermal heat pumps, 288, 292
utilization, 610 GHEs. See Ground heat exchangers (GHEs)
Free market economy, 348 Glass Reinforced Plastic (GRP) lintel
Fuel cells case study home, 110
cell/stack configuration, 253 energy bill and CO2 savings, 117
components, 256258 heating energy reduction, 116
description, 248, 253 heating energy savings, 120
domestic built environment impact, 117
commercialisation, micro-CHP installation, 109
systems, 262265 non-insulated house, 116
CO2 savings, 260261 non-repeating thermal bridges, 109
cost, 259260 payback period, 117118
durability, 259 profile and exterior, 113
electrical heat pumps, 262 steel lintels replacement, 110
fuels, 258 thermal characteristics, 113
maintenance, 258259 thermal profile, 114
micro-CHP demonstration projects, two-dimensional temperature and relative
266267 humidity, 118, 119
hydrogen fed, 253 UK housing, energy efficiency, 113114
micro-CHP Green Jubail Industrial City (J.I.City)
applications, 248 fuel cost per year, 160161
716 Index
Green Jubail Industrial City (J.I.City) (cont.) energy bill and carbon dioxide
methodology, 152 emissions, 114, 115
pollution in J. I. City, 157160 energy consumption and reduction
pollution saving, volume of, 160 breakdown, 115
questionnaire, 1527 GRP lintels, 116117
results, 161 overall energy bill and CO2 savings, 116
Green Lab model payback analysis, 117118
combating climate change, 274 temperature and humidity distribution
design exercises, students, 275 analysis, 118120
DiarAmbiente website, 274 thermal bridges, 116
methodology Heat pipe cooling system (HPCS)
Colle del Forno archaeological data center, 609610
area, 279 energy consumption constitution, 610
LARIS Green Lab, 278 energy saving (see Energy saving)
master plans, 277, 278 free cooling utilization, 611612
program requirements, 279280 working principle, 612614
project requirements, 280 Heat transfer enhancement efficiency
Science Center, 278279 charging and discharging period, 671
student work, 280, 281 metal structures, 673
studio teaching, 277 in PCMs (see Phase change materials
scientific research laboratory facility, (PCMs))
275, 276 RT 25 and RT 42, 682
student role, teaching, 276 and thermal energy storage, 681
sustainable design issues, 276 HEVs. See Hybrid electric vehicle (HEVs)
teaching staff, 275 High temperature heat exchanger (HTHE)
Green roofs (GR) ceramic heat exchanger, plates, 8485
annual cooling and fan ceramic OSF (offset strip fins) heat
energy use, 199 exchanger, 8485
annual heat gain, 198 CFD simulations, 84, 87
CO2/year, 199 CFX 12, 85
definition, 190 Colburn and friction factor
landscape design, 195 correlations, 84, 8688
structural elements, 193 geometry, 84
The Ground-Coupled Heat Pump (GCHP) heat input, 8990
technology, 406 Laminar regime, 86
Ground heat exchangers (GHEs) net electric efficiency, 8991
energy piles, 406 net electric work, 8990
temperature changes, 411, 412 number of transfer units (NTU), 8889
parameters, heat exchanger geometry, 87
Reynolds number, 8688
H turbine pressure ratio, 8990
Heat and mass transfer coefficients, 662663 Hourly simulation. See Nearly zero energy
Heat exchanger buildings (NZEB), North-Centre
HVAC systems, 421 Italy
performance of, 424 HTHE. See High temperature heat exchanger
temperature effectiveness, 421422 (HTHE)
Heat losses Humid and non-humid air, 547, 554
building fabric (thermal characteristics) HVAC systems
and floor plans, 114, 115 heat exchangers, 421
case study home and building plant
standards, 114 architectural data and building, 303, 327
cost and carbon dioxide analysis, BED, 288
116117 description, 593594
Index 717
design decisions, 197 minimum internal air temperature, 129

operation, 594595 on-site measurements and monitoring,
Hybrid electric vehicle (HEVs) 125126
enviroeconomic (environmental cost) relative humidity (RH), 130131
analysis, 45 residential indoor thermal
exergoeconomic analysis, 36 environment, 124
thermodynamic analyses (see Thermal temperature profile, 128129
management) winter indoor temperatures, 124
Hydrogen Industrial building
concentric curved annular ducts, 65 average electricity consumption, 21
Dean number, 70 electricity consumption, 20
entropic behavior, 65 electricity usage distribution, 20
gas flow, solutions, 70 energy resources, layout, 2123
production, 5561 lighting load, 20
Hydrogen economy. See also Mass transfer natural gas consumption, 20
and bubble flow dynamics, PV modules, configuration, 22
aqueous solutions PV panels, 2123
hydrogen production, 387, 388 resources of energy, layout, 22
thermochemical cycles, 388 second hybrid system, 23
solar water heater, 21
WSE technology website, 21
I Industrial city. See Green Jubail Industrial
IfcBeam (IFC class), 311 City (J.I.City)
IFC-compliant integrated Industrial ecology, 371372
AEC systems, 311 Industrial-scale plastic sorting
IFC Data Extraction Tool, 316317 acquisition, Raman spectra, 525
IFC Partial Models large-scale sorting system, 527
application layers, 314 50 on-line Raman apparatuses, 524
ETL process, 315 Raman spectra, black-colored plastics,
ETL tool, 315 527, 528
IFC Classes, 315316 recycled plastics formability, 525, 526
Information Management Platform, 314 Information Delivery Manual (IDM), 312
requirements mapping, 315 Information Management Platform, 322, 328
scenarios, 314 Integrated Environmental Solutions (IES)
table formalization, 312313 plug-in, 324
View Definition Format, 313 Integrated NGL ecosystem, 379382
IfcWall (IFC class), 311 Integrated production operations (IPOs),
Imperative 2010 online, 274 373374
Indirect cooling Integrated value optimization
data center, 611612 industrial ecosystems, 371372
external factors, 586 inputoutput symbiotic relationships, 380
heat pipe heat exchanger, 619 integrated NGL ecosystem, 379382
Indoor environment integrated production
BEU/EIDC project, 125 operations, 373374
carbon dioxide levels, 126128 NGL case study, 374376
CIBSE recommendation, 129 NGL plants, 372
daily mean indoor air temperature, 129 operational framework, 381
heat gains, from domestic value optimizing ecosystem, 377
appliances and indoor value optimizing framework, 382384
human activities, 124 waste, 370
illnesses types, 124125 Intelligent Building Control, 323
living room and bedroom spaces. indoor Internal circulating fluidized bed reactor
temperature percentage, 130 (ICFB), 532
718 Index
Internal model control technique (IMC) Life cycle assessment (LCA), 166
closed loop control system, 492, 493 Light transmission (LT), 207
phase current response, 497, 499 Linear programming, 229, 231
structure, 492, 493 Liquid desiccant
Interoperable ICT platform absorption chiller, 425
system architecture air conditioning, 640
data layer, 301302 ANN model, 650
information layer, 302304 constant properties, air and calcium, 656
tool layer, 304305 dehumidifier/regenerator, 650
validation design, dehumidifier, 650, 651
possible energy saving improvements, effect, desiccant flow rate
306307 air temperature and humidity ratio
steps, data aggregation and distribution, 656, 657
representation scenario, 305306 dehumidifier effectiveness, 659
Ionizing radiation, environmental temperature and concentration
curriculum table, 339340 distribution, 657658
indicators, 338 validation, 659661
literature review, 336337 mathematical models
main, secondary and third levels of boundary conditions, 653654
indicators, 341342 dehumidification effectiveness and
research method, 335 moisture removal, 654655
research procedure, 339 energy and mass balance equations,
research results, 335, 337338 652653
scores of indicators, 343 heat and mass transfer coefficients, 652
LMTDA. See Log-mean-temperature-
difference approach (LMTDA)
J Load
Jubail Industrial City (J.I.City). See Green displacement curve, contact elements,
Jubail Industrial City (J.I.City) 408, 409
mechanical, 410, 415417
revised transfer method, 406
L thermal, 410412, 416, 417
Laminar flow Log-mean-temperature-difference approach
compressible, 66, 67 (LMTDA)
hydrogen gas, 64, 65, 73 commercial software EES, 425
Nusselt number, 551 description, 422423
Landscape (LS) case, 188, 190, 198 and ECA, 424, 427
LARIS Green Lab, 278 flow configuration and function, coil, 426
Laser Doppler Anemometry, 388 Low energy house case study
Latent heat thermal energy storages (LHTES) assumptions, 239
Lean deadly wastes Net ZEB performance, 238, 239, 241
overproduction, 463 simulations, 238
reserve capacity, 465 total system costs, 240
transportation, 464 used future energy prices, households, 239
Lean principles
analytical approaches, 456
applications, 454 M
axiomatic design principles, 456 Management of Maintenance Activities, 323
description, 456 Mass transfer and bubble flow dynamics,
materials and energy, 455 aqueous solutions
plant energy assessment methods bubble flow model, 393397
value stream mapping, 462463 bubble formation, process, 390
wastes, 461462 bubble size, 390
Index 719
conventional water electrolysis, 388 open-loop recycling, 519

experimental setup sorting and refining technology, 520
apparatus, 391 vibrational spectroscopy, 520521
conventional hydrogen production Mengxi coal (MC) and poplar (PP)
cycle, 391 properties, 507
DynamicStudio Shadow Sizer, 392 TG and DTG profiles characteristics,
flows with bubble generation and 507, 508
dynamics, 392 Micro-CHP system
schematic, 392 annual energy load profile, 252
Type T thermocouples, 391 commercialisation, 262265
gas evolution, hydrodynamics of water CO2 savings, 260261
electrolysis, 389 definition, 249
gas-phase density, 390 demonstration projects, 266267
hydrogen economy, 387 domestic built environment, 261262
hydrogen energy systems in domestic technologies, 250, 251
environmental sustainability, 388 electrical efficiency, 251
photoelectrolysis, steps, 389 fuel cell, 256, 259
primary structure, 390391 heat output, fuel cell, 248
results and discussion heat to power ratios (H:P), 250, 251
diffusive mass transfer, 398 hydrocarbon fuels, 257
humidity, flow rates, 400 merits, 249250
MATLAB. equations, 398 Middleware for Sensor and Actuation
processed image for 2 L/min, 398 Network (SA), 322, 327
results with DynamicStudio for MMC. See Modern Methods of
2 L/min, 399 Construction (MMC)
scale factor, 397 Model Editors, 321, 324
scatter plot, 400 Modeling simulation, 189
scatter plot and linear regression, Modern Methods of Construction (MMC)
Re vs. Sh, 400 building designed, 147
scatter plot, Sh/Re 0.435 vs. Eo, 401 house building sector, 136
Shadow Image module of low thermal mass, 136
DynamicStudio, 397 promotion, 136
shadow sizer processing method, 397 zero carbon dioxide emissions, 136
velocity information, 398 Moisture removal
Mazut combustion and dehumidifier effectiveness, 659, 660
carbon monoxide and nitrogen oxides, 541 (glycol) unit, 442
comparative analysis, axial temperature rate and effectiveness, 650
profile, 541, 542 solution flow rate, 656
excess air ratio, combustion emissions Monitoring Tool, 323
and efficiency, 541, 543 Morton number, 394
static bed height, combustion emissions Multi Dimensional Energy Monitoring,
and efficiency, 541, 542 Analysis and Optimisation System
straw pellets and mazut combustion, BIM, 295
541, 543 components, 294
sulfur dioxide emissions, 542, 544 intelligent control module, 296
sulfur retention percentage calculated per monitoring tools, 297
step, calcium ratio, 542, 544, 545 multi dimensional information
Mechanical recycling management system, 296
chemical composition, 520 WSN, 295296
closed-loop recycling, 519 Multi dimensional information management
flame retardants, 520 system, 296
float-sink/pneumatic classification, 520 Multisource heat pump system
in home electric appliances, 520 Dolomiti mountains, 592
720 Index
Multisource heat pump system (cont.) process integration and optimization, 435
energy performances process/technology change, 443
detailed balance, 600, 601 raw materials, 442443
electricity consumption, 597 sustainability indicators, 433
GUE, 596597 Natural Gas Processing Complex (NGPC),
monthly space heating, 597599 372, 374
monthly ventilation share, 599 Natural gas processing complex and related
PER CP, 602 facilities (NGPCRFs)
solar collectors, 597, 598 ecosystem, 378
trial calculations, 602 Natural Gas Processing (NGP) operations, 374
ventilation heat pumps, GUE, 600 Nearly zero energy buildings (NZEB),
HVAC plant (see HVAC systems, plant) North-Centre Italy
temperate climate, 592 building, description
TRNSYS environment, 592 layout of house, 167, 168
without multisource North side view of house, 167, 168
lower condensation temperature, 603 vertical external wall layers,
old vs. new buildings, 603, 605 roof/floor, 167, 169
performance indicators, 603, 604 windows, properties, 170
space heating, 603 climatic data, 171, 172
ventilation system, 602603 domestic hot water (DHW)
Multi-stage flash distillation energy air conditioning, use of electric
consumption, 468469 energy, 183
electric energy use, 181
monthly needs of thermal
N energy, 175
Natural gas monthly use of electric energy, 181, 182
consumption, 17 monthly values of use of thermal
conventional sources, 22 energy, 179, 180
energy demand, 28 thermal energy needs, 174175
gas consumption, 596 thermal solar collector, 179181
grid electricity, 1718 energy rating, 183184
micro-CHP system, 266 forced ventilation
NGL (see Natural gas liquids (NGL)) electric energy use, 181182
NGP3 and NGP4, 375 with heat recovery, 171, 173
processing operations, 374 set point conditions and internal heat
processing systems, 433 gains, 171, 173
Natural gas consumers (NGCs), 375 heating, cooling and dehumidifying plant
Natural gas extraction (NGE) operations, 374 cooling power of heat pump,
Natural gas liquids (NGL) 176, 177
BATs and techniques, 434 COP of heat pump, 176
case study process system, 440442 description, 175177
cleaner production (see Cleaner EER of heat pump, 176
production) electric energy use, 177179
cleanest fuel, 432 heating power of heat pump, 176
environmental performance hourly energy needs, 173
feed gas utilization, 447, 448 monthly energy needs, 173, 174
sustainability improvements, 446 monthly use of electric energy, DHW,
total emissions reductions, 447 181, 182
hydrocarbons mixture, 432 thermal energy needs, 173174
improvements, housekeeping, 443444 PV collectors, 183, 184
macro-and meso-level, 434 Network Embedded Systems, 321
oil and gas production, 432 Net ZEB. See Net Zero Energy Buildings
processing and production systems, 434 (Net ZEB)
Index 721
Net Zero Energy Buildings (Net ZEB) Off-the-grid energy generation systems
cost structure, 240 optimisation middleware, building energy
definition, 230 supply system, 294
degree of performance, 238241 smart building concept, 289
description, 230 and storage systems, 290293
Net-Zero Energy Commercial Building On-Line Analysis Processing (OLAP), 328
Initiative, 165 Operational Data Store (ODS), 328
Neutral detergent fiber (NDF), 505 Overall heat transfer value
Nocturnal ventilation, 204, 208, 210 and flow configurations, 428
Numerical analysis. See Energy pile temperature effectiveness, 422
Nusselt number, 395 Overheating
analysis, 143
buildings construction, 136
O concrete application, 147
Office building house design, 138139
analyzed parameters, 578580 indoor environment conditions, 588
AVG daily floor temperatures, 587 and occupation, 586
BlueGEN, 267 Phase Change Materials (PCMs)
external parameters, 583 active and passive systems, 137
Facade system, 577, 578 application, 143146
hypothesis, 578 categories, 137
indoor vs. outdoor air temperature microscopic polymer, 137
graph, 585 microscopic quantities, 137
interior/exterior differential, 585586 plasterboard, 137
internal gains distribution, 588 qualitative data, 138
Koppens climatic classification, 578 static applications, 137
measured ambient parameters, 586 store energy, 137
measurement and gathering, wall systems, 137
data, 580581 position and degree, 535
methodological aspects, problems, 204
analysis, 582, 583 risk, 136
overheating and occupation, 586587 simulation model and methodology,
PCA, 583, 584 140141
private investors, 577 thermally responsive, 136
sample building, 329 time percentage and internal temperature,
shape factors, 586 141146
TCI, 587 urban based environments, 136
Office buildings in different climates, Chile
building, specifications, 205
internal gains and internal P
conditions, 206 Particle Image Velocimetry (PIV), 388
plan and 3D image, 206 Patterned glass on building envelope
sensitivity analysis glass house, image/schematic graph/
cumulative frequency for cooling analytical model, 216
demand, 208, 209 glazing energy, 215
glazing, properties, 207, 208 indoor temperature at discrete locations,
input parameters, 207 219221, 223
plan and 3D image of building, indoor temperature field, 218, 219,
206, 208 221, 222
sampling-based approach, 206 radiation heat flux, 218221
ventilation strategies roof glass, thermal and radiant
glazing, types, 208, 210 properties, 217
nocturnal ventilation rate, 208, 210 solar incident energy, 215
722 Index
Patterned glass on building envelope (cont.) Plant energy assessment methods

solar radiation, 215 energy audit, 460461
thermal performance of glass, 223224 lean methodology, 461463
trapezoidal/triangular shape, 217 Pollution, J. I. City
triangular-shaped patterned glass, 219, air quality analyzer units, 157, 158
221, 224 CO gas on Saturday
Phase change during 24 h, 158159
charging and discharging processes, 675 CO level during weekend, 159160
entropy, 46 CO level throughout day, 161
PCMs (see Phase change materials (PCMs)) saving, volume of, 160
solid/liquid, 678 Porous medium, entrained fluid, 3
temperature range, 672 Post occupancy monitoring, 121, 125126
Phase change materials (PCMs) Power to heat ratio (PHRe), 626
active and passive systems, 137 Primary energy ratio (PER)
applications, 143146, 670 calculation, 597
categories, 137 and PER**, 600
engineering fields, 638 PER CP, 602
experimental rig set-up, 673675 supplementary source, 603
fin-enhanced PCM, 671 Process integration
fin length effect, 643, 645 multiphase system design, 388
fin thickness effect, 643, 646 and optimization, 373
heat transfer, 638 parameter optimization, 449
honeycomb structure, 671 pinch analysis, 435
LHTES, 638 Process Matrix approach, 311
measurement procedures, 675 Process optimization
melting fraction vs. time, 643, 644 cleaner production methodology, 435
melting process consumption, natural gas, 433
RT 42 and RT 25, 677 operating efficiencies, 433
solid paraffin, 676 process design and synthesis, 435
temperature-time curves, 676677 and process integration, 449
variations, temperature, 675, 676 sustainability initiatives, 373
and metal structures, 672, 673 Program algorithm, 665666
microscopic polymer, 137 ProIT project, 311
microscopic quantities, 137 PV collectors, 183
plasterboard, 137
qualitative data, 138
rings/carbon fibbers, 670671 R
solidification process, 679680 Raman spectroscopy, plastic recycling
static applications, 137 biological and materials research, 522
store energy, 137 optical identification techniques, 521
TCEs, natural convection, 678679 PS spectra, 521, 522
TCEs on PCMs, 680682 vibrational spectroscopy, 521
thermal energy storage, 637 Reference (REF) case, 196, 198, 199
thermo-physical properties, 640 Refrigerant coil performance.
TSEA, 637 See Equivalent-capacitance
wall systems, 137 approach (ECA)
Photovoltaic (PV) ventilated window Renewable energy
system, 214 commercial and industrial
Pilesoil interface buildings, 32
description, 408 environmental index, 32
in-situ test, 408 grid connected building, 230
load displacement curve, contact elements, hybrid system, 32
408, 409 low energy houses, 229
Index 723
off-the-grid renewable energy Sherwood number, 395

technologies, 290293 Sick Building Syndrome (SBS), 124125
photovoltaic/hot water solar panels, 288 Simulation
Renewable energy sources (RES), 228, 229 assumptions, analysis, 692693
Renewable resources, 349 circulation ratio, 696
Renewable supply systems description, 238
components design and energy tools, 302304
performance models, 236238 EFGT cycle, 81
technology comparison, 234235 energy balance equation, 694695
low energy house case study, 238242 HTG and LTG, 693
optimization mass balance equations, 694
mathematical formulation, 231233 PCMs, 147
methodology features, 230231 shell and tube heat exchanger, 60
structure, 231 and TAS, 205
ready-to-use program, 229 working parameters values, 693
single to multi source, 228 Single glazing (SG), 207, 208
site-specific solutions, 228229 Small scale battery charging
RES. See Renewable energy sources (RES) wind turbines, 291
Research project. See Green Lab model Smart buildings. See Energy efficiencies,
Residential houses, renewable supply systems. smart buildings and cities
See Renewable supply systems Smart cities
Review, fuel cells. See Fuel cells axes, 286
Revit MEP (Mechanical Electrical definition, 286
and Plumbing), 324, 325 quality of life, 286287
Reynolds number, 393 Smoking. See Food smoking technologies
Rice straw, combustion. See Combustion, Social housing, indoor environment.
rice straw See Indoor environment
Solar heating
integrated sunspace, 138
S natural ventilation, 191
Salting. See also Food smoking technologies PER values, 597
environmental friendly unit operation, 562 Solar panels, photo-voltaic solar cells, 291
smoking process, 558 Solar protection (SP), 204, 207, 208,
SBS. See Sick Building Syndrome (SBS) 210211
Schmidt number, 395 Solar transmission (ST), 207
School building. See Multisource heat Solar vacuum-tube collectors, hot water, 292
pump system Solidification. See Triplex tube
Science Center, 278279 heat exchanger
Selective double glazing (DGS), 207 State feedback control (SFC)
Selective single glazing (SS), 207 ASVC system, 495496
Service-Oriented Architecture (SOA) basic state feedback control
approach, 327 structure, 494
Shade trees, effect, 189190 closed loop control system, ASVC, 494
Shear modulus, tubular pinewood specimens phase current response, 497, 499
coordinate dependent material elastic system dynamics, 495
constants, 474 transfer function, plant, 495
coordinate systems, 474 type 1 servo system, 494, 495
mechanical properties, 479 Static bed height effect
pinewood specimens, 480, 481 and carbon loss percentage, 539, 541
statistical values of coefficients (GPa), carbon monoxide and nitrogen oxides
482, 484485 emissions, 539, 540
strain gauges, 482, 483 temperature profile, 539, 540
structural elements, 473 Steam methane reforming (SMR), 388
724 Index
Storage and loading facilities (SLFs), 372, 375 System components, virtual energy platform
Strain measurements Building Performance Analysis and
fiber angles, 478 Diagnostics, 323
strain gauges, 479 Data Aggregation and Representation, 323
torque value, 478 Data Warehouse Core, 328329
Stress variation design tool, 324
parabolic distribution, 481 eeBIM, 325
pinewood specimens, 474 energy simulation tool, 324325
torque value, 478 extraction transformation and loading
Super-critical water-cooled reactor, 5561 tool, 327328
Sustainability IEEE 802.11 Gateways, 326
commercial building IEEE 802.15.4 Sensor Nodes, 326
average daily electricity Information Management Platform, 328
consumption, 18 Intelligent Building Control, 323
electricity usage, 16 Management of Maintenance
energy resources, layout, 19 Activities, 323
grid electricity, 1718 Middleware for Sensor and Actuation
hybrid system, 1819 Network (SA), 327
natural gas consumption, 16 model editors, 324
PV panels, 17, 19 monitoring tool, 328
solar thermal, 17 Wireless Sensor and Actuation Network
solar water heaters, 16, 19 (WSAN), 325
two-storey building, 16 Wireless Sensor Network Design, 326
WSE technology, 17
energy aspect
annual energy requirement, 27 T
commercial building case study, 28 Taiwans plan for environmental ionizing
exergy and CO2 reduction, 29 radiation education. See also
industrial building case study, 30 Ionizing radiation, environmental
industrial case study, energy application level of radiation, 345
demand, 28 emergency measures, nuclear accidents,
natural gas, 27 345346
environmental impact Energy Atomic Councils research, 334
(see Environmental impact) knowing radiation, 344345
hydrogen, 64 main indicators, 344
industrial building monitoring, environmental ionizing
(see Industrial building) radiation, 345
methodology radiation and nuclear power plants, 345
energy method, 14 TEA. See Temperature-effectiveness
environmental impact assessment approach (TEA)
method, 1314 Temperature-effectiveness approach (TEA)
exergy method, 1415 advantages, 422
sizing methods, 13 simulated performance, condenser, 426
NGL (see Natural gas liquids (NGL)) The Public Utility Regulatory Policies Act
renewable energy, 32 (PURPA), 626
Sustainable design. See Desert sustainable Thermal bridging, 111113, 116, 118
ecohouse design Thermal comfort index (TCI)
Sustainable education. See Green internal temperature component, 586
Lab model 18:00 models, 587
System architecture, virtual energy platform Thermal conductivity enhancers (TCEs)
data layer, 321322 heat flux, 671
information layer, 322 heat storage capacity, 672
tool layer, 323 natural convection, 678679
Index 725
on PCMs, 680682 Thermo-mechanical behavior, numerical

temperature variations, 676 analysis. See Energy pile
Thermal management TIT. See Turbine inlet temperature (TIT)
compressor, 46, 49 TMS. See Thermal management
condenser, 46 Torsion loading. See Shear modulus,
coolant pump, 46 tubular pinewood specimens
cooling tower, 37 Trigeneration system
cost flow rates, 47 CHP systems, 621
electricity consumed, 49 energy analysis for control volume,
enviroeconomics (see Enviroeconomics) 623624
exergetic efficiency and exergy energy efficiency, 624625
destruction rates, 46 exergy analysis for control volume, 625
exergoeconomics (see Exergoeconomics) exergy efficiency, 626
exergy destruction rate, 4648 PHRe, 626
exergy efficiency pressure, temperature, energy rate
and components, 46 and exergy rate, 628630
exergy flow rates, 47 system definition and assumptions,
refrigerant and coolants, 46 622, 623
thermal expansion valves, 46 Triplex tube heat exchanger (TTHX)
unit exergy costs, 47 governing equation, 640642
vapour compression refrigeration initial and boundary conditioning, 642
system, 37 numerical modeling, 642643
Thermal management system (TMS). physical configuration, 639, 640
See Thermal management validation, numerical method, 643
Thermal mass. See also Phase Change TRNSYS 16 software, 166
Materials (PCMs) Turbine inlet temperature (TIT)
concrete, 147 efficiency, 89
garden roof, overheating, 190 EFGT cycle, 80
heat gain, 199 Engineering Equation Solver (EES), 81
higher level, 139 HTHE (see High temperature heat
in house, 135 exchanger (HTHE))
integration, 135 metallic heat exchanger, 80
load breakdown and, 197 Typical Meteorological Year (TMY), 171
MMC configurations, 136
Thermal solar collectors, 166, 171, 184
Thermal stress and deformation U
applied mechanical load, 415416 University of Ontario Institute of Technology
axial compressive stress distribution, (UOIT), 391
411, 412 U-tubes
soil surrounding shaft, 413414 comparison, piles calculated average
soil under pile toe, 414415 temperature, 408, 409
temperature changes, 411, 412 description, 408
upper structure, 413 energy pile with, line and solid
Thermo-elastic-perfectly plastic elements, 408, 409
constitutive model, 407
Thermogravimetric analysis (TGA)
blending effect, ignition temperature, V
512, 513 Value optimizing framework
characteristics, 507, 508 integrated inputoutput management
co-combustion, 504 process, 383
decomposition TG curve, 507, 508 integrated NGL ecosystem, 382
devolatilization, 509 operational excellence and production
MC/PP blends and MC/mPP blends, 509 enhancements, 384
726 Index
Value stream mapping Wood

case study process system, applications, 474
465, 466 experimental test set-up, 475, 477
distillation process, 467 fiber arrangement, 478
energy usage vs. energy fiber composite material, 474
needed, 465, 467 geometrical dimensions, 475477
percentage energy savings, 465, 468 nonlinearly elastic composite structure, 474
plant energy assessment Wood plastic composites (WPC), 474
methods, 462463 Working fluids
Virtual energy platform ammonia-lithium nitrate mixture, 692
possible energy saving improvements, ammonia-sodium thiocyanate mixture,
329330 691692
research objectives, 320 evaporator and vehicle cabin, 46
system architecture, 320323 flows, up and down, 613
system components, 323329 Gibbs free energy function, 690
physical state, 421
pressure limits, 689690
W saturated liquid ammonia, 691
Waste plastic sorting thermodynamic relations, 689
petroleum, 519
Raman plastic identifier, 523
Window to wall ratio (WWR), 195 Y
Wire-less embedded devices, 302 YTONG blocks, 166
Wireless sensor and actuation network
(WSAN), 321, 325
Wireless sensor network (WSN) design, Z
295296, 326 Zero carbon plants, 166

Progress in Suatinable Energy Technologies Vol II

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Progress in Suatinable Energy Technologies Vol II

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IbrahimDincer AdnanMidilli

ISBN 978-3-319-07976-9 ISBN 978-3-319-07977-6 (eBook)

Springer International Publishing Switzerland 2014

Printed on acid-free paper

Springer is part of Springer Science+Business Media (www.springer.com)

A secure supply of energy resources is generally agreed to be a necessary but not

book is sustainable development depending on sustainable energy technologies.

Oshawa, ON, Canada Ibrahim Dincer

1 Energy and Exergy Analyses of an Active Magnetic

8 Non Repeating Thermal Bridges and the Impact on Overall

20 Interoperable ICT Platform for Energy Efficient

32 Robust Control Techniques of ASVC-Based Var Flow

43 Computer Simulation of Heat and Mass Transfer

About the Authors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 705

Hadi Ganjehsarabi, Ibrahim Dincer, and Ali Gungor

Abstract In this paper, a thermodynamic model for predicting the performance of

Keywords Active magnetic refrigerator Energy Exergy efficiency Porous

As energy-related environmental concerns, such as acid precipitation, pollution,

Springer International Publishing Switzerland 2014 1

refrigerant itself as an active regenerator in the refrigeration cycle. Brown [3]

1.2 Actve Magnetc Regeneratve Refrgerator

1.3.1 Heat Transfer Modeling

1.3.1.1 Modeling of Magnetization and Demagnetization Processes

A homogeneous ferromagnetic material model has been used in order to character-

1.3.2 Governing equations

1.3.3 Solution Procedure

1.3.4 Thermodynamic Analyses

In this study, it is aimed to conduct a comprehensive exergy analysis and an

1.3.4.1 Energy Analysis

The coefficient of performance (COP) of the system can be found as

1.3.4.2 Exergy Analysis

_ q is the exergetic cooling power as

The exergy efficiency of the system can be calculated as

1.4 Results and Discussion

In this present study, a thermodynamic analysis of an active magnetic refrigerator is

Table 1.1 Model parameters Characteristics Values Dimensions

Fig. 1.3 Effect of mass flow rate on heat rejection

Fig. 1.4 Effect of mass flow rate on the work of pump

Fig. 1.5 Effect of mass flow rate on COP of the system

In order to yield optimal performance, the numerical results demonstrate that

destruction rate as a result of pumping power requirements. In order to yield

1. Ganjehsarabi H, Dincer I, Gungor A (2013) Thermodynamic analysis and performance

Behnaz Rezaie, Ibrahim Dincer, and Ebrahim Esmailzadeh

Keywords Sustainability Exergy Renewable energy Energy Industrial

B. Rezaie I. Dincer (*) E. Esmailzadeh

Springer International Publishing Switzerland 2014 11

Fig. 2.1 Global energy

Different methods of sizing various energy options, namely, environmental impact,

2.2.1 Sizing Methods

2.2.2 Environmental Impact Assessment Method

IE 100 RCO2 =ECO2 2:1

electricity generation varies depending on the fuel resources. In a report titled

2.2.3 Energy Method

IRE 100 RE=TE 2:2

2.2.4 Exergy Method

where T0 20 C (environment temperature) and Ts 5,000 C.

IREx 100 REx=TEx 2:4

2.3 Energy Options Considered

2.3.1 Commercial Building

Fig. 2.2 Electricity usage