PEM Study Guide Final V2 PDF

Active Energy Efficiency Using Speed Control
Energy University Course Transcript

Slide 1
Welcome to Active Energy Efficiency Using Speed Control.
Slide 2
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Click the Notes tab to read a transcript of the narration.
Slide 3
At the completion of the course, you will be able to:
Identify main motor starting methods
Recognize the frequency converter principle and its advantages
Realize substantial energy savings using speed control
Reduce harmonic distortion generated by frequency converters
Calculate the payback of an investment in a variable speed drive
Slide 4
Many motors only have two settings: on and off. They operate at constant speed. If a motor turning at
constant speed is driving a device or process that requires less output, adjustments are required to achieve
the desired output level. This adjustment is often achieved by letting the motor run at full speed, while using
downstream devices to block part of the output.
For fan applications, we have motors generating a full flow of air, and we use dampers to partially block and
reduce the flow. For pump applications, we have motors generating a full flow of fluid, and we use dampers
to partially block and reduce the flow. Energy is used to generate the output and then it is immediately
thrown away.
2011 Schneider Electric. All rights reserved. All trademarks provided are the property of their respective owners.
Slide 5
This is like driving your car by having one foot fully depressing the accelerator pedal, and the other on the
brake to constantly control the speed. It sounds absurd, but this is still one of the most common control
methods. An estimated 60% of motors are not speed controlled.
The focus of this course is to explore the different ways we can control motor speed efficiently and with
minimal physical stress on equipment. In addition, we'll discuss other advantages such as controlled starting
and regulated torque.
Many types of equipment can benefit from proper speed control - from pumps and fans to compressors and
machines.
Well also talk about energy quality in terms of power factor and well address the issue of harmonic
distortion.
Slide 6
But first, let's see just how dramatic the financial impact of speed control can be. To do this, there are a few
simple physical laws that you need to know. These are called the affinity laws.
Flow is the output from a device such as a fan, pump or compressor, expressed in cubic metres per second,
or cubic feet per minute. It is proportional to the shaft speed of the motor. This means that with half the
shaft speed, you get half the flow.
Pressure is proportional to the shaft speed, squared. So with half the shaft speed, you get a quarter of the
pressure.
Lets say you were getting a pressure of 100 for a shaft speed of 10 (for this example the units of pressure
or speed dont matter). 10 squared is 100. Now lets reduce the shaft speed to 5. 5 squared is 25. Half the
shaft speed, quarter the pressure.
Now is where it gets interesting for us. Power is proportional to the shaft speed, cubed. Half the shaft speed
uses one-eighth of the power. Lets see that calculation. Imagine you have a shaft speed of 10. 10 cubed is
1000: 10 times 10 times 10. Now lets take that speed down to 5. 5 cubed is 125: 5 times 5 times 5. Half
the shaft speed, one-eighth of the power.
So, if you have a fan or a pump that doesnt need to run at 100% flow or pressure output, you can reduce
the shaft speed, and hence the power consumed by the fan. This is an example of an ideal curve of power
compared to flow, based directly on the affinity law. Note that real devices will have curves that are offset or
a different shape - because real devices are not ideal and have varying performance characteristics.
A small reduction in speed can result in a much bigger reduction in power consumption that you might
intuitively expect.
Slide 7
A variable speed drive is more efficient, but there are a number of other benefits to consider. For instance,
with variable speed drives, starting and stopping operations are made smooth and perfectly controlled.
Slow starting also minimizes inrush currents that often accompany a motor suddenly starting. Inrush
currents cause voltage sags that can have damaging effects on the motor and other affected equipment.
Variable speed drives are sometimes called variable frequency drives. This is because the drive receives
AC power at a constant frequency, such as 50 or 60 Hz, and converts it into a variable frequency for supply
to the motor.
They are found in many applications such as elevators, HVAC systems, pumps, fans, cranes and conveyors.
Slide 8
Let's look at the question of how you start the motor.
There are three options associated with starting a motor. They are: Direct-on-line, star/delta and soft starting.
Direct on line starting connects the motor stator windings directly to the mains supply. The motor will start
and accelerate according to its natural
characteristics.
L1 L2 L3
This starting method is suitable for stable
Mains
supplies, mechanically stiff and well
Short circuit
protection
designed shaft systems - and it is the

most common starting method available
Line contactor
on the market. The starting equipment

consists of a main contactor - effectively
an on/off switch which is suitable for the
Thermal overload
protection
required current - and a thermal or

electronic overload relay.
Motor
The disadvantage of a direct-on-line starter is the high inrush current that occurs when the motor starts
turning. It may draw a current
Current
Rough acceleration
not controlled
that is 5 to 7 times the nominal

current until it is up to full speed.
These inrush currents can
generate mechanical shocks that
warrant oversized wiring and
additional surge protection.
Speed
Time
Slide 9
Next is the star/delta starting method. This method needs 3 contactors and a control part to manage the
contactor sequence. Both ends of the motor windings must be accessible. Motor windings are connected in
star formation upon starting. Once the motor torque matches the load torque, the winding connection is
changed to delta connection.
Mains Supply
Short circuit protection
Contactors
Motor
Terminals
LINE
DELTA
STAR
Thermal
Overload
Star/delta provides a softer start than direct-on-line but acceleration is still not controlled. Star/delta is
always used for motors above 10kW to preserve and optimize the electric installation and mechanical parts.
The motor is started with the Y (Star) connection and accelerated as far as possible, then switched to
D(Delta)-connection. Notice how the star/delta connection causes a starting current of about one third the
current associated with direct-on-line starting. This rupture in the star/delta starting current is the result of
the starting current making the switch between star and delta.
Current
Speed
Time
Although this starting method is softer, it requires a motor with 2 extremities of wirings connected to the
terminals (for a mains 380 V: 660 V (star) / 380 V (delta)). When starting in star, the motor nominal voltage,
the peak of current, and the starting torque are divided by 3.
Slide 10
Direct-on-line and star/delta motors are standard. However, at levels over 10 kW, star/delta has traditionally
been more common. At levels over 10 kW, installations and mechanical parts are rarely strong enough to
withstand the associated inrush current.
Motor
Terminals
3 phase Line
Supply
L3
L2
L1
P
r
o
t
e
c
t
i
o
n
Now more than ever, soft starters are used instead of star/delta for levels over 10 kW. Soft starters increase
voltage gradually to generate a smooth, steady acceleration, and are perfectly compatible with direct-on-line
and star/delta motors. Although a soft starter does smoothly and gently start a motor, and bring it up to full
speed in a controlled manner, it does not provide substantial energy savings or variable speed control.
During the starting process, the soft starter progressively increases the motor voltage so that the motor
becomes strong enough to accelerate the load to rated speed without causing torque or current peaks. Soft
Starters can also be used to control the stopping of a process and provide thermal and short circuit
protection for the motor.
Slide 11
Lets summarize some of what weve just learned.
Direct starting methods are inexpensive, but they do not perform as well. Direct-on-line and star/delta
starting methodologies can be stressful on mechanical parts and gear trains. They also draw high inrush
currents.
The soft starter preserves the efficiency of gear trains and mechanical parts, but does nothing to master
speed or torque, which are the main factors to control in a process to make significant energy savings. We
estimate that at least 60% of motors are not speed controlled - so let's discuss the advantages of variable
speed drives next.
Slide 12
Lets first look at mechanical variable speed drives.
Power
Supply Fuse
AC Motor
Gear box
Driven
Gear box or pulley

belt-chain gear drive
The basic concept behind adjustable sheave drives is very similar to the gear changing arrangement used
on many modern bicycles. The speed is varied by adjusting the ratio of the diameter of the drive pulley to
the driven pulley. Historically, electrical VSDs, even DC drives, were complex and expensive and were only
used for the most important or difficult applications. So mechanical devices were developed for insertion
between a fixed speed electric drive motor and the shaft of the driven machine.
Mechanical variable speed drives are still favored by many engineers (mainly mechanical engineers) for
some applications mainly because of simplicity and low cost. But they are not very efficient and reliable and
the speed range is very limited.
Hydraulic VSDs are often favored for conveyor drive applications because of their inherent soft-starting
capability. In hydraulic systems, the motor or the coupling is managed by oil pressure rather than a
magnetic field. It is this pressure regulation and flow control that allows for progressive starting and speed
control. Hydraulic drives also tend to be more efficient than electrical ones in systems that require high
torque in a small space.
Power
Supply Fuse
AC Motor
Hydraulic
Box
Driven
Hydraulic speed drive

They are used in all types of transportation and earthmoving equipment because of their inherently high
starting torque. Both of the common types work on the same basic principle where the prime mover, such as
a fixed speed electric motor or a diesel/petrol engine, drives a hydraulic pump to transfer fluid to a hydraulic
motor. The output speed can be adjusted by controlling the fluid flow rate or pressure.
Eddy Current Drives
Power
Supply Fuse
Eddy Current
Driven
AC Motor Coupling
Eddy current
drives
The electromagnetic or Eddy Current coupling is one of the oldest and simplest of the electrically controlled
variable speed drives and has been used in industrial applications for over 50 years. In a similar
arrangement to hydraulic couplings, eddy current couplings are usually mounted directly onto the flange of a
standard squirrel cage induction motor between the motor and the driven load. Using the principles of
electromagnetic induction, torque is transferred from a rotating drum, mounted onto the shaft of a fixed
speed electric motor, across the air gap to an output drum and shaft, which is coupled to the driven load.
The speed of the output shaft depends on the slip between the input and output drums, which is controlled
by the magnetic field strength.
Slide 13
The Ward-Leonard system comprises a fixed speed 3-phase AC induction motor driving a separately
excited DC generator that, in turn, feeds a variable voltage to a shunt wound DC motor. So this is essentially
a DC variable speed drive - a complex structure that has largely been replaced by electronic devices.
3 Phase
AC
Diode
Rectifier
DC
Link
PWM
Convert
AC
Motor
Driven
Machine
Control Circuits
Since the 1970s, the controlled DC voltage required for DC motor speed control has been more easily
produced from the 3-phase AC supply using a static power electronic AC/DC converter, or sometimes called
a controlled rectifier. Because of its low cost and low maintenance, this type of system has completely
superseded the Ward-Leonard system. However, DC motors are less common now due to technology and
maintenance cost.
DC Motor Drives
In the case of an AC to AC frequency converter, the mains AC supply voltage is converted into a DC voltage
and current through a rectifier. The DC voltage and current are filtered to smooth out the peaks before being
fed into an inverter, where they are converted into a variable AC voltage and frequency. The motor supply is
controlled so that the ratio between voltage and frequency remains constant. This allows an AC motor to
provide its rated torque up to its rated speed.
Slide 14
The variable speed drive is also known as a frequency converter and is known for having very accurate
speed and torque regulation. It has a rectifier bridge followed by an inverter. Both allow voltage amplitude
and frequency to be varied.
The input rectifier converts the 3-phase network supply to DC.
The DC voltage that is obtained is then filtered.
From this DC supply, an inverter rebuilds an AC supply to feed the motor.
Slide 15
Here we see a table comparing different starting methods. As you can see, variable speed drives not only
yield better performance, but have lower operating costs as well. You may download this information by
clicking the paperclip icon in the lower right corner of your screen and downloading the document called,
Starting Methods Compared.
Starting Method
Advantages
Speed/torque control
Preserve Belts and gear
efficiency
Reduce inrush current
Motor protection
Efficiency
Power factor
improvement
Potential for Energy
savings in process
Direct-on-line
Star Delta
no
no
no
Medium
yes
yes
no
yes
yes
yes
yes
yes
95 to 97%
With options With options
Soft Starter
At start and stop
only
99%
99%
97 to 99%
no
no
no
no
no
weak
Variable Speed Drive

yes
Yes if harmonics
filtered
big
Slide 16
Variable speed control has many advantages compared to older technologies. Lets very briefly look at
these advantages and some of their applications.
Slide 17
For a bottle conveyor, the aim is to not break the bottles when the conveyor starts or stops. A speed drive
here will allow for soft customized speed ramps in order to accelerate and decelerate the conveyor without
shaking the bottles.
Slide 18
Load control is important in large installations, but so are peak current and mechanical shock limitations.
Variable speed drives allow electrical and mechanical equipment to be down-sized by limiting the starting
current.
Slide 19
For passenger lifts, movements must not be abrupt and perfect positioning is required independent of load.
A variable speed drive is the most suitable solution to control speed and positioning.
The variable speed drive also ensures braking control, which is synchronized to the movement.
Slide 20
Providing a device with the best adapted power characteristics preserves mechanical parts.
An escalator, with frequent starts and stops tends to stress mechanics. An electronic speed drive ensures
acceleration and deceleration while limiting jerks that can accompany high torque applications.
Slide 21
VSDs feature a user interface for monitoring, diagnostics and control. An LCD screen and pull-down menu
replace the old buttons and potentiometers.
Slide 22
Drives are also communicating devices. They can be managed by a controller using one of the many field
bus protocols available on the market.
Slide 23
Speed control can also contribute to energy savings. For pump and fan installations, this savings can be
upwards of 70%.
In this fan installation, observe the power consumption versus air flow curve. Every device will have its own
characteristic curve for power versus flow. They may not look like the ideal curve that we saw when we
looked at the affinity laws, due to the design of the specific device.
The red line is the power versus air flow curve when the air flow is
controlled with a damper. For 80% air-flow, the motor is operating
at almost 100% of its power.
If the damper is replaced by a variable speed drive, air flow
information is used to adjust the motor to the right speed. When
the fan speed varies, power increases proportionally to the square
of air flow. For 80% air flow, the motor operates at only 50% of its
power. This means power consumption is halved by the use of a
variable speed drive compared to a damper solution.
Slide 24
How is energy wasted in water distribution?
Lets look at an example. In a distribution system, water is moved by a pump. In this simplified irrigation
installation the pump is powered directly by an AC supply and always runs at full speed whatever the
demand. A valve opens and closes to vary the flow. Reducing the flow using a valve causes what are called
load losses. As the valve slows the flow of water, a large part of the power is lost. Providing 80% of the flow
causes the pump to consume 80% of the power. Providing 50% of the flow causes the pump to consume
65% of the power. Remember the affinity laws we saw at the beginning of this course? Power is
proportional to shaft speed, cubed. Although this is an irrigation example, the same principle applies to other
pumping systems.
Slide 25
How can we save up to 50% of the energy in water distribution? Let's replace the direct-on-line starting with
a variable speed drive. The valve is no longer needed since the flow can now be adjusted by variable speed
control of the pump. To vary the flow, the speed reference is adjusted.
The difference between the green curve and the

red curve represents the energy savings.
Providing 80% of the flow the pump only
consumes 50% of the power rather than 80%.
Providing 50% of the flow the pump only
consumes 20% of the power rather than 65%.
Slide 26
Depending on the operating cycle and the average flow, the variable speed drive can create energy savings
of 20% to 50% on a pumping system.
Slide 27
The same is true for ventilation systems. In fact, using speed drives in fan installations brings 20% to 70% in
energy savings. Notice the power consumption versus air flow curve in this fan installation. The blue line is
the power versus air flow curve when the air flow is controlled with an outlet damper. The red line is the
power versus air flow curve when the air flow is controlled with an inlet vane.
The green line shows the power drawn by removing or fully opening the damper and controlling the speed.
Using an output damper to reduce the flow to 80% uses 95% of the motors power. Using an inlet vane to
reduce the flow to 80% still uses 70% of the motors power. And using a speed drive uses only 50% of the
motors power.
Slide 28
A variable speed drive is always more efficient than control using a damper. The question is, will it be
efficient enough to justify the cost?
Devices that only run for a few hours per year may consume little electricity even if they are inefficient. In
this case, the gains from a variable speed drive would not be enough to justify the cost of the project.
Sometimes if the motor driving the device is very old and close to end of life, and is oversized for the
application, it may make more sense to replace it with one which is suitably sized for the purpose. This is
especially true if the application uses constant speed. The motor can be sized for the correct speed and any
dampers used for control can be left fully open. If variable speed is required, a new motor and appropriate
variable speed drive might be the best solution.
Commonly, introducing a variable speed drive is a better solution than buying a new pump or fan. It is
normally less expensive, more flexible, and can bring energy savings of 20 to 50%, compared to the savings
from changing an inefficient pump or fan which tend to be less than 10%.
Note that for constant-speed applications, adjustments to pumps such as trimming or replacing impellers, or
changing pulley sizes on fans may bring significant energy savings and pay for themselves quickly. These
adjustments can take anything from a day to a week or more to carry out, depending on the situation. In
many cases, a VSD can be installed in a few hours. If in doubt, a VSD provides the best flexibility, since it
allows for future speed changes, and can be integrated with a minimum of disruption.
Slide 29
Whether the motor is old or new, if the damper is normally set fully open, the fan or pump will be running at
its nominal efficiency. A variable speed drives advantage lies in its ability to operate the motor at a different
rate. If the damper is hardly used, the variable speed drive will rarely run the fan or pump at a slower rate,
and will, therefore, have little effect.
If energy happens to be very cheap, then even if the variable speed drive saves a great deal of energy, the
saved units may translate into only a small amount of money saved. Compared to the cost of the project,
this may not be enough to justify the purchase.
Local pricing of the project will also affect the feasibility. If the equipment cost is high, then a project that
might be feasible in one country may not be in another.
Customers have different expectations of payback. Some customers may be satisfied by a five year
payback while others may require three years, two years, or even as little as one year. A variable speed
drive generally pays for itself within 1 2.5 years.
Slide 30
Let's look at a short example of these economic factors.
Imagine you have a motor that is nominally rated at 50 hp motor - that would be roughly 35 kilowatts. This
motor runs 12 hours per day 5 days per week, 50 weeks per year. So the annual consumption will be about
105000 kilowatt hours per year.
Lets imagine that you have assessed the fan powered by the motor and determined that if you remove the
outlet damper, the power needs will be reduced by 30%. If energy costs 0.1 per kilowatt-hour, the annual
energy savings of the installation are 3150 per year.
If the speed drive installation costs less than 3150, it will pay for itself in less than 1 year.
However, if the cost of energy is only 0.05 per kWh, then the savings would be only 1575. Depending on
the price of the drive, this project may no longer meet your investment criteria.
If the motor is much smaller, or the operating hours are fewer, these will also impact the savings.
Estimating your savings requires you to know your current energy costs, operating hours of the equipment,
and the power reduction resulting from changing to variable speed.
You may need to consult the specifications of the fan, pump or other equipment to determine the effect on
the power used.
Slide 31
With variable frequency drives, energy savings of up to 70% are achievable, depending on the type of
installation. The highest potential energy savings can be found on pumps, fans and compressors.
To help understand potential energy savings, a couple of new tools are available. The Energy Consumption
Simulator compares a conventional fan application using a mechanical control to a variable speed drive to
control airflow. You control the level of flow by turning the wheel on the throttle and the variable drive to
control the airflow. The simulator then illustrates energy consumption for both options.
Another tool is the ECO2 Energy Calculator. This calculator helps identify the estimated return-oninvestment for a variable speed drive within pump and fan applications. Download and install this calculator
to build a customized report to illustrate energy consumption with or without a drive, the reduction in carbon
footprint and potential payback period for specific applications. This calculator features adjustable variables
to evaluate how duty cycle rebates, installation costs, energy costs and other variables change ROI.
Slide 32
Frequency converters have many advantages but one main disadvantage is that they generate harmonic
distortion in the power network.
Let see with more details what are the problems and the solutions.
Harmonic currents and voltages are generated by non-linear loads connected to the power distribution
system.
Variable speed drives are themselves, non-linear loads and, therefore, increase voltage distortion by
injecting harmonic currents into the main supply.
Instead of a smooth, sinusoidal wave, the wave form starts to be a less regular, more distorted shape. If
harmonic distortion increases it can cause problems. These problems can cause protection devices to trip
and cut off the electricity to some machines, which disrupts production and causes a nuisance. If harmonic
distortion increases above a certain standardized level, it becomes a form of pollution that can cause
problems.
You can learn more about this in our class on "Power factor and harmonics.
Slide 33
Harmonics can overload the rectifier bridge and drive capacitors. Consequently, both users and non-linear
load manufacturers limit them in order to guarantee the quality of the energy of the network.
Harmonics reduction can be achieved either by structural modifications in the drive system, installation
design or by using external filters.
Slide 34
Total harmonic distortion of current or THDi is a measure of the impact of harmonics on the waveform. A
frequency converter with no filter generates a THDi above 100%. This is not acceptable if speed drives
represent a large portion of the installed equipment.
Filters are commonly embedded within the drive, or connected externally to mitigate harmonics at the speed
drive level. They work by eliminating some or all of the harmonic frequencies.
Slide 35
A choke is a reactor installed on the line supply or in the DC bus. It smoothes the shape of the input current
to reduce THDi to about 40%. It is a popular option because of its simplicity and cost effectiveness.
Passive filters are more effective but also more costly and bulky. A passive filter is constructed from
capacitors and chokes, tuned to eliminate harmonics of a particular frequency or a few frequencies. Passive
filters are generally reserved for power levels under 100 kW and have the ability to reduce THDi to
approximately 10%.
C-less drive technology uses a frequency converter with very low capacitance values on the DC supply.
This is because capacitance is the main source of distortion.
However reducing the capacitance also reduces the performance of the motor control, which makes it
suitable for applications such as HVAC where high performance speed drives are not required. THDi can be
reduced to 30%.
Slide 36
A 12 pulses system is a type of drive design that uses 2 rectifier bridges to supply the DC bus. Each rectifier
is supplied by a secondary winding of a specific transformer; each secondary has a de-phasing of 30. The
result on the other side is an attenuation of the 5th and 7th orders of harmonics.
An 18 pulses drives involves the same principal but with 3 rectifier bridges.
There are two main types of active filters. First is the Active Front End (AFE). Here the classical rectifier
bridge is replaced by an inverter controlled in order to draw a sinusoidal current onto the network.
A line active filter is a device installed on the power distribution network that senses harmonics and injects,
in opposite phase, a balancing harmonic to maintain a sinusoidal line current. They are very effective but
can be expensive. They are normally used above 100kW and can reduce THDi to under 5%.
Slide 37
This chart demonstrates the cost versus efficiency of each type of harmonic mitigation technique. The y-axis
indicates the contribution of the cost of mitigation to the cost of the drive, expressed as a percentage and
the number above each of the bars is the corresponding THDI rating. The cost of the drive without harmonic
mitigation is given as 100%. If the cost of mitigation is 50% of the cost of the drive, the y-axis will show
150%.
Slide 38
For the industrial sector, there are no standard total harmonic distortion limits for variable speed drives,
because it is not possible to know the impact a drive will have on the complete installation without knowing
many other things such as the architecture, the loads and so on. However, some industry segments are
more focused on harmonics mitigation than others and require compliance with IEEE or IEC standard
guidelines. These standard guidelines address the harmonic distortion at distribution system level.
The most cost effective solution is to study the complete installation, which often leads to a compromise
solution mixing chokes at the level of the drives, separating linear and non-linear loads in the architecture,
and applying a network-wide solution for passive or active filtering.
However for customers who don't know exactly how their installation may evolve in the future, a more
comfortable solution may be to use "clean drives" with local passive or active filters. Unfortunately using this
approach the cost is quickly doubled.
Slide 39
So how do we optimize a power drive system? You could improve the combination of the motor and gears.
This would save between 5% and 10%. A much greater opportunity; however is to consider a variable
speed drive. Variable speed control can yield savings of 20% to 70%!
Slide 40
When we think of saving energy in the area of lighting, we naturally think of the new generation of energy
efficient bulbs. After all, they reduce consumption by around 80%. If we did the same for motors what we
now do for lighting, we would capitalize on the savings of up to 70% associated with variable speed drive
implementation.
Slide 41
Now, lets summarize some of the information we have covered throughout the course.
Many types of equipment can benefit from proper speed control - from pumps and fans to compressors and
other machines. Due to associated costs, traditional direct-on-line starting is the most common starting
method on the market today. There are many compelling reasons to consider other starting options,
however. These include benefits such as smooth starting and stopping, minimized inrush currents, and
electrical efficiency. While soft starters avoid the mechanical stress associated with direct-on-line starting,
nothing enables mastery of torque and speed the way variable speed drives do. Despite all the advantages
of variable speed drives, at least 60% of all motors are still not speed controlled.
Slide 42
For pumping systems, a variable speed drive can save 20% to 50% depending on the operating cycle and
average flow. Applying variable speed drives to ventilation systems creates 20% to 70% in energy savings!
In fact, a variable speed drive generally pays for itself in 1 to 2.5 years. If dampers are fixed and air or water
flow rarely needs to change, it will be difficult to justify investment in a variable speed drive - A VSDs
advantage lies in its ability to operate the motor at a varying rates.
Variable speed drives are non-linear loads and can therefore create harmonic distortion. Harmonics can
overload the rectifier bridge and drive capacitors. As a result filters are often embedded within the drive or
connected externally in order to mitigate the damage harmonics can cause. The construction, cost, and
effectiveness of harmonics mitigating equipment can vary. Harmonic filtering effectiveness is expressed in
terms of THDi rating.
The savings associated with variable speed drives is as dramatic as upgrading to new generation lighting.
Speed control savings are ready to be realized. Using tools such as Schneider Electrics Energy
Consumption Simulator and ECO2 Energy Calculator can quantify VSD savings before any investments are
made.
Slide 43
Thank you for participating in this course.
Boiler types and opportunities for energy efficiency

Slide 1: Boiler Types and Opportunities for Energy Efficiency
Welcome to Boiler Types and Opportunities for Energy Efficiency
[Boiler images Cleaver Brooks]
Slide 2: Welcome
normal play of the course. Click the Notes tab to read a transcript of the narration.
Slide 3: Objectives
At the completion of this course you will be able to
Discuss the main types of steam and hot-water boilers
Explain the importance of water treatment
Describe the purpose of blowdown and its main methods
List actions that can improve the energy efficiency of boiler systems
Slide 4: Introduction
Modern boilers fall into two categories. The first is fire tube boilers, commonly referred to as shell boilers
and the second is water tube boilers. Most of the boilers that you will find today in industry and buildings
are fire tube boilers.
Domestic boilers fall into the fire-tube category within which there are three sub-categories:
Combination or Combi boilers
System boilers
and Condensing boilers
Slide 5: Energy Flows Through A Steam Boiler
This Sankey diagram illustrates the principal energy flows through a steam boiler. Energy enters through
feedwater, condensate recovery, and primarily fuel. Energy leaves via casing losses, blowdown losses,
stack losses, and steam output. No percentages are shown because they depend very much on specific
design and operating conditions. However, at full load, 70% heat output in the steam would be fairly
representative. We will discuss measures that can be taken to reduce the various losses, and to increase
recovery of the heat in condensate, all of which improve energy efficiency.
Schneider Electric 2012
[picture DDD Ltd]

Slide 6: Energy Flows Through A Steam Boiler
Here we see the principal energy flows through a hot-water boiler. Again no percentages are shown, but at
full load, some types of boiler can achieve conversion efficiencies of well over 90%. We will look at this
shortly.
[picture DDD Ltd]
Slide 7: Fire Tube Boiler Layout
The name fire tube is very descriptive. The fire, or hot flue gases from the burner, is channelled through
tubes that are surrounded by the water that we wish to heat up to create High or Medium temperature Hot
Water or steam. Hot-water boilers are the norm for building heating while steam is generally used for
industrial processes. Fluids other than water are used in some specialised industrial applications but for
simplicity we will describe only hot-water and steam generation.
The body or shell of a fire-tube boiler is the pressure vessel which contains the water that will be circulated
for heating purposes or converted to steam for process use.
Slide 8: Fire Tube Boiler Configurations

Every set of tubes that the flue gas travels through before it makes a turn, is considered a "pass". So
assuming that the burner is at the front, as is usual, a three-pass boiler, which we see here, will have three
sets of tubes with the stack outlet located on the rear of the boiler. A 4-pass boiler will have four sets and
the stack outlet at the front.
Several different combinations of tube layout are used in shell boilers. The different layouts are designed
according to the number of passes the heat from the boiler furnace will usefully make before being
discharged. These boilers are available in single pass, 2 pass, 3 pass and 4 pass patterns. All multi-pass
patterns are available in both Wet-Back and Dry-Back designs. These terms are referring to whether or not
the hot gas reversal chamber is surrounded by a water jacket.
[picture Spirax Sarco]

Slide 9: Typical Fire Tube Boiler Layout

Todays packaged Fire-tube Boilers are available in a wide variety of designs. The basic combustion gas
flow pattern for all designs has the actual combustion occurring in the furnace with hot gases passing
through the full-length banks of firetubes.
[Boiler image Cleaver Brooks]
Slide 10: Typical Fire Tube Boiler Layout
In a fire-tube boiler, the steam is contained in the large outer vessel, which puts a limit on the pressure
purely because of the mechanical strength of the vessel walls. Steam output is also constrained because
evaporation can only occur off the surface of the water in the vessel, which is limited in area.
You will see later that the situation is different for water-tube boilers.
[Boiler image Cleaver Brooks]

Slide 11: Fire Tube Boilers
Advantages of fire-tube boilers are that they are relatively inexpensive, easy to clean, and compact in size.
It is easy to replace their tubes because they run straight between the end plates. They are well suited for
space heating and industrial process applications
For the reasons we discussed earlier, disadvantages of fire tube Boilers include their unsuitability for high
pressure applications - for example, above 17 bar, approx 250 pounds per square inch and over. They also
have limited steam generation capacity.
[pictures www.waratahautomation.com.au www.mi-installations.co.uk ]
Slide 12: Typical Water Tube Boiler Design

Water-tube boilers differ from shell type boilers in that the water is circulated inside the tubes, with the heat
source surrounding them. The tube diameter is significantly smaller, and much higher pressures can be
tolerated for the same stress.
This fundamental difference between fire tube and water tube boilers has some key effects. First, the
water/steam interface is very much greater in area, especially if vigorous boiling is allowed in the tubes, and
secondly the pressurised parts - the tubes - have small diameters, which enables them to withstand higher
pressures.
Water-tube boilers are typically used in power station applications that require
a high steam output (up to 500 kg per second, 1,100 pounds per second,
high pressure steam up to 160 bar or 2,300 psi)
and high output temperatures with superheated steam up to 550C approximately 1020F or 820 Kelvin.
Slide 13: Water Tube Boiler Design

A water tube design is the exact opposite of a fire tube. Here, the water flows through the tubes, which are
encased in a furnace that the burner fires into.
In a simple case, these tubes run between a pair of cylindrical pressure vessels: a feedwater drum at the
bottom, and a steam drum at the top. The water is heated and steam is produced in the upper drum, whose
bottom half contains water and top half contains steam.
Steam drawn from the top of the steam drum may then pass through further tubes in the hot combustion
gas to raise its temperature further. This is called superheating.

Water-tube boilers typically produce steam for high-temperature industrial process applications, power
generation, ship propulsion, and similar uses.
Slide 14: Water Tube Boiler Advantages

Water-tube boilers are available in sizes that are far greater than the fire tube design, with outputs up to
several million kilograms or pounds per hour of steam. They can run at significantly higher pressures up to
approx 350 bar or 5,000 pounds per square inch. This, combined with their ability to add superheat,
enables them to supply steam at very high temperatures. They have proportionately smaller water content
than fire tube boilers and this in turn enables them to respond far more rapidly to load change and heat
input.
Slide 15: Water Tube Boiler

Disadvantages of the water tube design include their high initial capital cost. Because of their design,
cleaning is more difficult. Tube replacement is particularly difficult because of the complex tube geometries,
the diverse geometries of tubes within a given boiler, and awkward access for welding. Their physical size
can also be a problem.
Lets move on to look at two alternative layouts which work on the same principles as other water-tube
boilers.
Slide 16: Longitudinal Drum Boiler

The first alternative is the longitudinal drum boiler. This was the original type of water-tube boiler that
operated on the thermo-siphon principle. Cooler feed water is fed into a drum, which is placed longitudinally
above the heat source. The cooler water falls down a rear circulation header into several inclined heated
tubes. The water temperature increases as it passes up through the inclined tubes. As the water boils, its
density decreases, this circulates hot water and steam up the inclined tubes into the front circulation header
which feeds back to the drum. In the drum, the steam bubbles separate from the water and the steam can
be taken off.
Slide 17: Cross Drum Boiler

The second alternative to a water tube boiler is the cross drum boiler. This is a variant of the longitudinal
drum boiler in that the drum is placed cross ways to the heat source as shown in this diagram. The cross
drum operates on the same principle as the longitudinal drum except that it achieves a more uniform
temperature across the drum. However, it does risk damage due to faulty circulation at high steam loads; if
the upper tubes become dry, they can overheat and eventually fail.
The cross drum boiler also has the added advantage of being able to serve a larger number of inclined
tubes due to its cross ways position.
Slide 18: Boiler Water Treatment

The quality of the water used to produce the steam in the boiler will have a profound effect on meeting the
objectives of safe operation, maximum combustion and heat transfer efficiency, minimum maintenance, and
a long working life.
Slide 19: Contaminated water types
There are four kinds of common impurities in raw water.
The first is suspended solids. These are substances that exist in water as suspended particles, usually
mineral, or organic in origin. These substances are not generally a problem as they can be filtered out.
The second is dissolved solids. These are substances that will dissolve in water. The principal ones are the
carbonates and sulphates of calcium and magnesium, which are scale-forming when heated.
There are other dissolved solids, which are non-scale forming.
In practice, any salts forming scale within the boiler should be chemically altered so that they produce
suspended solids, or sludge rather than scale; as we have just learned, these are easier to remove.
The third class of contaminant is dissolved gases. Oxygen and carbon dioxide can be readily dissolved in
water, and are aggressive instigators of corrosion.
The fourth and final impurity is substances, usually mineral, that cause foam or scum.
Slide 20: Boiler water treatment
Boilers need to operate under carefully controlled conditions.

First, they should be free from scale. If hardness is present in the feed water and not controlled chemically,
then scaling of the heat transfer surfaces will occur. This reduces heat transfer and boiler efficiency, and
also increases maintenance costs by necessitating more frequent cleaning of the boiler. In extreme cases,
local hot spots can occur, leading to mechanical damage or even boiler tube failure.
Second, they must be free from corrosion and chemical attack. If the water contains dissolved gases,
particularly oxygen, corrosion of the boiler surfaces, piping and other equipment is likely to occur.
Finally the acidity must be right. If the water becomes acidic, with too low a pH value, it will attack metal
surfaces. If the pH value is too high, and the water is alkaline, other problems such as foaming may occur.
Additional problems, like caustic embrittlement or caustic cracking may occur, caused by too high a
concentration of sodium hydroxide and can lead to component failure.
Slide 21: Total Dissolved Solids
When a boiler generates steam, any dissolved impurities will remain in the feed water. When the
concentration of impurities becomes higher, foam is generated and the volume of the boiling water
increases, resulting in more and more low quality wet steam being generated. The concentration of
impurities is often termed total dissolved solids (TDS) and can be estimated in parts per million (ppm) from
the conductivity or density of the boiler water.
This chart shows the typical maximum TDS for various boiler types.
Slide 22: Pretreatment of Boiler Feedwater

Boiler feedwater and make-up water are stored and treated in a boiler feedtank. Condensate is also
returned from the system into this tank. The importance of this step is often underestimated. The boiler
feedwater has to be specially conditioned to avoid problems in the boiler and downstream components.
External pre-treatment may include simple cation exchange in which calcium and magnesium ions are
removed and replaced with sodium ions.
Dissolved oxygen and carbon dioxide are usually removed in a de-aerator vessel. Remaining oxygen can
be removed chemically. Furthermore, feedwater has to be alkalized to a pH of 9 or higher to reduce
oxidation and protect the boiler lining from further corrosion. It is also possible to add antifoaming agents
which reduce the risk of carry-over at higher levels of dissolved solids.
Slide 23: Boiler Blowdown

In spite of feedwater treatment, dissolved solids are still a problem. The purpose of boiler blowdown is to
control the solids in the boiler water.
Blowdown protects boiler internal surfaces and pipes from severe scaling or corrosion problems that can
result otherwise.
Suspended solids tend to either sink to the bottom of the boiler, or accumulate near the surface. Removing
solids from the bottom is called a bottom blowdown. Skimming solids in suspension from the surface is
called a top blowdown or skimmer blowdown. Boilers operating on soft water will require more top or
skimmer blowdown to remove dissolved solids whereas boilers operating on hard water will require more
bottom blowdown to remove the settled solids.
These blowdowns may be continuous or manual.
Slide 24: Manual Boiler Blowdown

Bottom blowdowns are normally manual and are accomplished through tappings at the bottom of the boiler.
These openings allow for the removal of solids that settle at the bottom of the boiler, sometimes referred to
as mud or sludge .
Manual blowdown is also used to keep water level control devices and cutoffs clean of any solids that
would interfere with their operation.
All steam boilers require manual blowdown whether or not they are supplied with continuous blowdowns.
Slide 25: Continuous Boiler Blowdown

Top blowdowns are often continuous. A continuous blowdown uses a calibrated valve and a blowdown tap
near the boiler water surface to draw water from the boiler at a predetermined rate. Only a small proportion
is drawn off.
Slide 26: Automatic Boiler Blowdown

Automatic boiler blowdown systems monitor the build up of contamination in the boilers and initiate a boiler
blowdown when the level of contaminants reaches a preset threshold.
With manual blowdown you do not know exactly how often to blow down, so commonly operators err on the
side of caution.
The advantages of automatic blowdown are: less water, fuel and treatment chemicals are needed; it saves
time which can be spent on other important tasks; it reduces the costs for supply, disposal, treatment and
heating of water; and it results in a cleaner and more energy-efficient boiler.
Minimising energy loss from boiler blowdown can save about 2% of a facilitys total energy use with an
average simple payback of less than one year.
Slide 27: Boiler Carry Over
Carryover is any solid, liquid or vaporous contaminant that leaves a boiler along with the steam and results
from the incomplete separation of steam from the steam/water mixture in the boiler. Many factors, both
mechanical and chemical, contribute to incomplete separation. Mechanical factors include boiler design,
high water levels, load characteristics, method of firing, or inadequate or leaking separating equipment.
Whenever excessive boiler water concentrations cause carryover, an increase in boiler blowdown rate is
normally the simplest and most expedient solution. When high levels of feed-water impurities cause high
concentrations, adjusting or upgrading the external treatment may provide the most economical solution.
Frequently, the cause of a carryover problem cannot be economically corrected through adjustment of
boiler water balances or installation of additional external treatment facilities. In many of these instances,
the use of an effective antifoam agent can reduce carryover tendencies significantly.
Slide 28: Domestic Boilers
Domestic boilers fall into 3 main categories: combination, commonly known as combi boilers; system
boilers; and condensing boilers.
Slide 29: CombiBoiler Schematic
A combination boiler heats water for the central heating in the same way as a conventional boiler but can
also provide the taps with instant hot water. The main difference is that the hot water for the taps is fed
directly from the mains rather than from a hot water storage cylinder. This can also be useful in a small
property where space for a cylinder is at a premium.
Slide 30: System Boilers Domestic
Like conventional boilers, a system boiler can provide central heating and hot water from a cylinder if
required. The key difference with a system boiler is that all the major components are built in to the boiler.
For example the pump, normally installed remotely from the boiler, is built in; so is the expansion vessel,
which replaces the feed/expansion tank often installed in the loft or attic. The safety valve, the automatic air
vent and even the programmer are also included. With these components built in, installation time is
reduced significantly, fewer materials are required, costs are reduced and servicing is simplified. The added
bonus of a "dry loft" removes the worry of any leak or frost damage to tanks and pipe work.
System boilers are often referred to as sealed system boilers because the system is filled to approximately
1 bar pressure and sealed. They are connected to a hot water storage cylinder, usually installed in an airing
cupboard. This type of boiler does not need an expansion tank in the roof. They are particularly good for
homes with more than one bathroom because the combination of boiler and hot water cylinder can deliver
hot water quickly to several outlets simultaneously.
Slide 31: Condensing Boiler Layout
A third type is the condensing boiler. These boilers are known as condensing boilers because the water
from the flue gases 'condenses' in a secondary heat exchanger and drains away at the bottom of the boiler.
Slide 32: Condensing Boiler Layout

A modern condensing boiler is a high efficiency boiler that incorporates an extra heat exchanger so that the
hot exhaust gases lose much of their wasted energy to pre-heat the water in the boiler system. When
working at peak efficiency, the water vapour produced in the combustion process condenses back into a
liquid form, releasing the latent heat of vaporisation. A side effect is that this water, known as condensate,
which is slightly acidic, has to be piped away to a drain or soak away. Typical efficiencies for condensing
boilers are up to 98%, compared to 70% to 80% with system or combi boilers.
This variation is also available for some commercial and industrial applications.
Slide 33: Energy Efficiency Actions
Between 3 and 10% of boiler operational running costs can be saved by ensuring stringent energy
efficiency measures are adopted. These include
Sequence control & firing strategies
Variable speed drives
Boiler cladding and insulation of pipework and fittings
Combustion air pre-heat
Feedwater pre-heat with an economiser
Fuel to air ratio

Steam accumulators
Recovering the residual heat from blowdowns and
Condensate recovery
Typical Sequence Controller
The thermal efficiency of a heating boiler decreases when it is operating under low thermal load due to the
increasing significance of fixed heat losses such as:
radiation and convection losses from the hot boiler casing
draught losses up the flue when the burner is not firing and
purge losses when the burner starts up and/or shuts down
For this reason, energy savings can be obtained in multi-boiler installations by ensuring that only the
minimum number of boilers is allowed to fire at any time. This can be most reliably achieved by installing an
electronic boiler sequence controller to regulate the operation of the plant in line with the prevailing heat
load. Usually, the output from the boiler sequence controller will simply turn the boiler plant on or off
electronically. While this prevents the boiler from firing, hot water will still circulate through the offline plant,
meaning that there will continue to be some standing heat losses.
[sequence controller picture www.hamworthy-heating.com ]
Variable Speed Drives
If the load characteristic of a large boiler plant is variable, then substantial energy savings are possible
using variable speed drives (VSDs)
A VSD system will reproduce the operating characteristics of a fixed speed combustion air fan, as well as
reducing the average electrical demand of the fan motor by approximately 60%.
The use of a VSD system has been shown to be cost effective while at the same time maintaining good
combustion conditions and high boiler efficiency.
Cladding and Insulation
All boilers, piping and valves conveying hot water, steam and condensate should be properly insulated and
weatherproofed, and the supply should be turned off when there is no heat requirement.
Insulating large steam carrying pipework can pay for itself in a matter of weeks.
Please see our courses on insulation for more details.
Combustion Air Preheat
Combustion air preheat is another potential energy saving technique worthy of consideration.
The usual sources for combustion air preheat include:
Heat remaining in flue gases
Higher temperature air drawn from the top of the boiler house and
Heat recovered by drawing air over or through the boiler casing to reduce shell losses.
For more information on a variety of devices used to recover heat and make it available for preheating
combustion air, please take our course entitled Waste Heat Recovery.
Slide 38: Feedwater Pre-Heat with Economizer
In addition to pre-heating the combustion air, we can also pre-heat the feedwater.
The boiler flue gases, having passed through the main boiler and the superheater, will still be hot. The
energy in these flue gases can be used to improve the thermal efficiency of the boiler. To achieve this, the
flue gases are passed through an economiser.
The economiser is a heat exchanger through which the feedwater is pumped. The feedwater consequently
arrives in the boiler at a higher temperature than would be the case if no economiser was fitted. Less
energy is then required to raise the steam. Alternatively, if the same quantity of energy is supplied, then
more steam is raised. This results in a higher efficiency. In broad terms a 10C or 18F increase in
feedwater temperature will give an efficiency improvement of 2%.

Fuel to Air Ratio
To achieve a high thermal efficiency and thereby minimise fuel costs, the amount of combustion air required
should be limited at all times to that necessary to ensure complete combustion of the fuel used.
In practice this means supplying air in excess of that which is theoretically necessary, but keeping the
excess air to a minimum.
The amount of excess air giving the optimum boiler efficiency will depend on the fuel used, the type of
boiler, its state of repair, the method of operation, and the combustion equipment. Boiler efficiencies can be
improved by balancing the fuel to air ratio, and by taking measures that reduce stack temperatures to a
safe minimum.
This topic is covered more fully in a separate class called Combustion Processes.
Steam Accumulators
The most appropriate means of providing clean, dry steam instantaneously to meet a peak demand is to
use a method of storing steam so that it can be 'released' when required. Storing steam as a gas under
pressure is not practical due to the enormous storage volume required at normal boiler pressures.
A steam accumulator is, essentially, an extension of the energy storage capacity of the boiler(s). When
steam demand from the plant is low, and the boiler is capable of generating more steam than is required,
the surplus steam is injected into a mass of water stored under pressure.
Steam Accumulators
The accumulator tank is about half-filled with cold water and steam is blown in from a boiler via a perforated
pipe near the bottom of the drum. Some of the steam condenses and heats the water. The remainder fills
the space above the water level. When the accumulator is fully charged, the condensed steam will have
raised the water level in the drum to about three-quarters full and the temperature and pressure will have
also risen.
Steam can be drawn off as required, either for heating or for process purposes, by opening a steam valve
on top of the drum. The pressure in the drum will fall but the reduced pressure causes more water to boil
and the accumulator can go on supplying steam, while gradually reducing pressure and temperature, for
some time before it has to be re-charged.
Slide 42: Heat Recovery from Blowdown
Water removed from the boiler during blowdown contains a lot of heat. Any boiler with continuous surface
water blowdown exceeding 5 percent of the steam generation rate is a good candidate for blowdown waste
heat recovery. There is very little scope for bottom drawdown as the mud or sludge is too expensive to
treat.
The residual heat in blowdown water can be recovered with a flash tank, a heat exchanger, or the
combination of the two. Water inside the boiler is normally kept in a liquid state by high pressure. A flash
tank allows the water to reach a lower pressure after the blowdown. The pressure change will cause some
or all of the water to rapidly evaporate or flash into steam. Heat recovery can then be applied.
Slide 43: Condensate Return
When steam from the boiler has given up its heat in the process equipment that it supplies, it condenses
back to water. This condensate (as it is called) is released through a steam trap and returns to the boiler
to be converted back into steam.
By maximising the percentage of condensate that is returned, the operator minimises the need to top up
the system with raw water. This saves on water-treatment chemicals, which in turn reduces the amount of
blowdown required as well as saving money. Reducing blowdown reduces energy losses. Furthermore, the
returned condensate contains heat and this saves on energy needed to preheat the boiler feedwater.
Slide 44: Summary
Lets take a moment to review what we have covered in this course:
There are two primary configurations of steam boilers: fire tube and water tube. Boilers for generating hot
water are the firetube type.
Water treatment is vital to prevent scale and corrosion and (in steam boilers) embrittlement and carry-over.
Solids may be removed by top or bottom blowdown.
Bottom and top blowdown can be triggered manually.
Top blowdown can be done by continuously drawing water near the top.
Automatic systems monitor the build up of contamination and initiate blowdown when required.
To reduce the energy consumption of boilers
Match capacity to demand, using a small boiler for periods of low demand, such as in the summer
Use a sequence controller to ensure the minimum number of boilers is fired at any time
Insulate the boiler and all piping and tanks
Maximise the recovery of hot condensate

Supply the correct amount of combustion air
Keep boilers free of fireside fouling and scale by cleaning
Minimise waterside scaling by treating feedwater correctly
Reduce heat loss by keeping blowdown to a minimum
Preheat combustion air using flue gases, air from the top of the boiler house, or air drawn over the boiler
Preheat feedwater using flue gases or heat recovered from top blowdown
Use a variable speed drive on the combustion air fan
If steam demand is irregular with occasional high peaks, consider using a steam accumulator and thereby
enable a smaller boiler to be used.
Consider replacing old inefficient boilers
In domestic and light commercial heating applications, consider a condensing boiler
Ensure boilers and piping are well insulated
Slide 45: Thank You!
Building Controls I: An Introduction to Building Controls

Slide 1
Welcome to Building Controls I: An Introduction to Building Controls. This is the first in a series of Building
Controls courses offered by Energy University. It is recommended that you participate in this course before
taking the other Building Controls courses we offer.
Slide 2
Slide 3
Summarize what a basic control system is
Describe the main types of control loops
Explain the role of input devices, controllers and controlled devices in a control system, and
List the commonly used control technologies and identify their advantages and disadvantages
Slide 4
This class is the first in a sequence that will provide an overview of basic control technology used in
buildings, so that you will understand how it can contribute to energy efficiency. Building controls allow an
operator to maintain a comfortable environment for occupants, and meet requirements for ambient
conditions for industrial processes or storage of materials. Automated controls help to accomplish this with
less labor from the facility team, thus reducing operating costs. Building controls also help to optimize
energy consumption and reduce utility bills.
2011 Schneider Electric. All rights reserved. All trademarks provided are the property of their respective
owners.
If we can control an environmental system (for example - a collection of equipment that maintains the
environment of a building) we can tell equipment:
When to turn on and off
How slow or fast to run
How cool or warm the temperature of the air or water needs to be.
In following classes we will see how a controller can respond to measurements and how controlled devices
change or maintain environmental conditions.
Slide 5
What is a control system at the most basic level? For an environmental control system, or a Building
Automation System to effectively work, three things must take place:
Data must be measured and provided as input to the system
Measured data then can be compared to a set of desired outcomes or instructions
An output is produced based on the measured data to change or maintain the environment
Controls may be manual or automatic. Manual controls are things like light switches or dimmers that a
person has to set. The output then doesnt change until a person changes the setting the person is
actually the controller. Automatic controls rely on technology to perform the controlling.
Slide 6
Input devices are used for measuring data. This is the first step of control. Input devices may be sensors or
contact closures. Sensors are used to repeatedly measure variables, such as temperature, humidity,
pressure or flow rate. Contact closures may be devices such as switches or buttons that provide input to
the system.
owners.
Slide 7
The components that take in that data and process it using logic are called controllers. Controllers collect
needed data from input devices, and then compare those measurements with a set of standards or
instructions. The controller can be a mechanical device such as a pneumatic controller, or mathematical
logic in a microprocessor based system.
Slide 8
In a building, if the conference room is too warm, say 26 degrees C / 79 degrees F, the controller would
receive that input from the sensor.
The controller would have a programmed set point as determined by the design engineer of around 23
degrees C / 74 degrees F. The controller would make a response happen, perhaps to increase airflow to the
space to reduce the space temperature.
Slide 9
An output is the result of a calculation from the controller. A controlled device is a device that changes state
based on the output. The controller activates a controlled device in order to produce a change in the
environment. A controlled device could be an actuator or a relay. They are tied to devices in the
environmental system such as fans or dampers, which are used to control airflow or temperature. A
controlled device could also be a lamp or an alarm, such as a warning lamp or fire alarm.
Slide 10
Inputs and outputs may be digital or analog. A digital input or output has only two states: off or on, which
can be represented by zero (0) or one (1). An analog input or output has variable values within a range, e.g.
from 0% to 100% in 1% increments.
owners.
Slide 11
So lets summarize what a control system is:
It is a system that measures data (such as temperature), then feeds that data to a controller that compares
that measurement to a standard, (such as a targeted temperature set point), and when needed makes a
change with a controlled device.
Slide 12
A simple control loop is defined as one input to a controller housing the control logic, which provides an
output to one controlled device. More complex loops may have multiple inputs and outputs.
A controller typically will contain a collection of control loops used to manage a system such as an air
handling unit, boiler or chiller. There will generally be many controllers combined to form the complete
building system. Building systems can be scaled to manage floors and zones within a single building, or
multiple buildings within a campus.
To learn about what a control system can accomplish, such as adjustments to heating, ventilation, air
conditioning and lighting, please take our classes on Energy Efficiency with Building Automation.
owners.
Slide 13
Lets look at control loops in more detail. There are three types: open, closed, or cascading.
The input signal to the control loop is called the controlling variable. The controller in the control loop
decides what to do, based on the value of the controlling variable. This could be the air temperature in a
room, for example. The controlled variable is whatever is affected by the controlled device. This might be
air flow rate, or water flow rate.
Slide 14
In an open control loop, the output has no effect on the controlling variable. This is sometimes referred to
as a no-feedback control loop. An example would be a simple electric laundry dryer. The dryer is turned on,
and the controlling variable is the drying time set with a dial on the front.
owners.
The output, the controlled variable, tells the dryer to keep rotating and heating the laundry. The dryness of
the laundry has no effect on the timer setting. The dryer will continue running until the end of its preset time,
even if the laundry is already dry.
Slide 15
In a closed control loop, the controlling variable is affected by the actions of the controlled device upon the
controlled variable. This is sometimes referred to as feedback. This is the most common type of loop used
in building control systems. In our laundry example, we might measure the moisture leaving the dryer, and
feed that back into the control loop. When the moisture drops below a certain level, the dryer will stop.
A thermostat is an example of a single device that integrates both a sensor and a controller in a closed
control loop. If the sensor indicates the temperature is too low, the thermostat will issue a control signal to
change the performance of the heating or cooling system to increase the temperature. The sensor will
continue monitoring the temperature and the thermostat will issue another control signal when the desired
temperature is reached. This closes the loop between the control and its effects. Another example would
be a dimmable ballast fitted with a photoelectric sensor to control a lamp. In bright daylight the ballast will
dim the lamp. When the sensor detects lower light levels, the ballast will provide more energy to the lamp
and increase the light supplied.
Slide 16
Cascade control loops are sometimes referred to as reset control loops. With a cascade loop there are two
inputs. Typically, one of the inputs is closed loop and the second is open loop. The open loop input is
typically used to modify the performance of the closed control loop. We generally design closed loop control
owners.
systems for specific design conditions. These design conditions include assumptions for the number of
people, the heating load from equipment, the outside temperature and humidity and so on. Those exact
design conditions may only actually occur infrequently. The rest of the time the system is coping with
conditions that may be slightly different, or very different.
By adding the second input, we can modify the performance of the closed control loop for off design
conditions and achieve more effective and efficient control.
These types of control loops are very helpful in optimizing energy efficiency in buildings. Many buildings are
heated by using fans to blow air over hot water coils. The heat is transferred to the air and then distributed
within the building. When the outside air temperature is higher, less heating may be required. The outside
air temperature would be provided to the controller, to adjust its logic for the hot water temperature. It would
give different instructions to the controlled device, in this case, a valve which controls how hot the water is
that comes from the boiler. The input sensor for hot water temperature closes the loop. In summary, the
controller will:
Use the outside air temperature in its control logic

to determine the output
Set the boiler bypass valve to ensure that the water

is not hotter than required, according to the outside
air temperature, and
Ensure it is still hot enough by processing the input

from the hot water temperature sensor
Slide 17
Control systems vary in their complexity and capabilities. A variety of controller technologies have evolved
including pneumatic, electrical and electronic controls.
owners.
Slide 18
Historically, pneumatic controllers were common, but these are now rarely if ever installed in new buildings.
They were popular because they were the first solution for automatic control at a time when the only
alternative was to have operators control system manually. For their time, pneumatic controls were a costeffective solution. They were reliable, well understood by designers and facility maintenance staff, and
allowed easy implementation of proportional control.
Slide 19
The downside was that pneumatic control combined a variety of physical components to create a control
loop. Consequently they were not flexible, since to change the programming a new piece of equipment
had to be physically connected. They were high maintenance since the controllers tended to drift and
require re-calibration, and the pneumatic systems required care and attention, such as ensuring water did
not contaminate the pneumatic system. They could not be remotely monitored, so operators had to be
present if observation of the equipment was required.
Producing compressed air for pneumatic controls is an energy-intensive process that loses a lot of energy
as heat and is prone to lose compressed air through leaks. Over time, pneumatic controls became less
attractive as more cost-effective and flexible alternatives became available.
Slide 20
Electrical controls are similar to pneumatic in that they are systems built up from physical devices. In this
case the devices are relays and contactors rather than pneumatic components. Some of the advantages
and disadvantages are similar.
The advantages are
Reliable and accurate
Relatively low maintenance, since they should not drift or need to be recalibrated as a pneumatic
system did, although this depends on the sensors that are used
Lower cost than pneumatic systems due to the high cost of compressed air
owners.
A disadvantage was inflexibility, since electronic controls rely on dedicated parts that are not easy to
interchange. These systems dont interface directly to the computer control systems that are more
commonly used today.
Slide 21
There are two primary types of electronic control: direct digital control and enable/disable, which is also
called red-wire (slang).
Slide 22
Direct Digital Control systems use electronic controllers that can support single or multiple control loops. An
electronic board with multiple control loops can control a built up system that has several devices to be
controlled such as an air handling unit serving an entire floor of a commercial building.
These electronic controllers use software based control algorithms created by an application engineer and
as such can deliver very complex and precise control strategies designed to control the human environment
as efficiently as possible.
Slide 23
An advantage of these software based algorithms is that someone with the relevant application engineering
skills can easily change them when required without having to change hardware. In many cases reprogramming for different functions can be done remotely. This makes DDC control flexible. Provided this is
done well, the control system should be low maintenance, since DDC controllers do not experience drift and
dont have to be recalibrated. Once we move above the residential level into commercial and industrial
facilities, the higher cost DDC systems typically have excellent return on investment numbers. Increasing
standardization means that DDC systems can integrate a wide variety of best-in-class components. Since
the controllers are computer based, they can be tied to systems that provide visualization of the building and
tools to analyze the performance of the system.
owners.
However, application engineering skills are required to correctly configure and program these systems.
Since DDC control is entirely automated and often complex, troubleshooting is sometimes difficult. Facility
maintenance staff may require support in the event of changes.
If possible, the system owner should ensure that members of the facility team have skills to allow them to
program the system. Otherwise, they will be obliged to rely on the supplier whenever changes are required.
Here we see a summary that outlines the advantages and disadvantages of DDC systems. Be sure to click
the play button when you are done viewing this summary.
Slide 24
Enable / disable control is another form of electronic control. It simply turns another controller on or off.
One controller will determine when another controller is able to perform its function.
For example, a DDC system may enable the controller dedicated to a chiller. The chiller would then perform
according to the manufacturers programming of its controller. Unless the DDC system had specific inputs, it
would not know anything about the internal functioning of the chiller.
owners.
Another example is that a DDC system might enable a thermostat to control the temperature in a space.
This has been referred to as Red-Wire control by many engineers as in this case the enable / disable
method relied on interrupting the power supply of the thermostat, and typically uses the red power wire.
Slide 25
Lets summarize some of the information that we have discussed in this course.
For an environmental control system to effectively manage the environment in a building, thereby
increasing energy efficiency and occupant comfort, three things must take place:
Data must be measured and provided as input to the system.
Measured data then can be compared to a set of desired outcomes or instructions
A simple control loop is defined as one input to a controller housing the control logic, which provides an
output to one controlled device. Inputs and outputs may be analog or digital.
A controller may contain many control loops, and a control system may contain many controllers
There are three types of control loops
Open
Closed
Cascading
And there are three common control technologies
Pneumatic
Electrical, and
Electronic
Electronic controls may be
Direct Digital Control, called DDC, or
Enable / Disable Control
Slide 26
owners.
Building Controls II: Control Sensors

Energy University Transcript
Slide 1
Welcome to Building Controls II: Control Sensors. This is the second in a series of Building Controls courses
offered by Energy University. It is recommended that you participate in Building Controls I: An Introduction
to Building Controls before taking this course.
Slide 2
Slide 3
At the completion of this course, you will be able to:
Describe the categories and purpose of sensors commonly found in a building control system
List types of devices within each sensor category

o
For example, within temperature, there are sensors for outside air, room or zone
temperature, and equipment temperature
Identify common problems with placement of sensors
Slide 4
Building control systems are important facets in any buildings energy management plan. They help avoid
waste and save money. Sensors are vital components incorporated into building control systems. We must
measure what we wish to control. We need to have a way to make measurements accurately and
repeatedly. Sensors measure the data that the controller uses to make decisions based on its set of
programmed standards and set points. Sensors are the first step of control. This course provides an
overview of the various sensors integrated in a building control system, and looks at the variety of designs
and need for correct placement.
owners.
Slide 5
With closed loop control, sensors have two purposes.
First, they need to measure current conditions to let the control system know when it needs to make a
change.
Second, they need to measure the effect of those changes to tell the control system when it no longer needs
the change, or perhaps reduce the intensity of that change. Sensors tell us how successful the control
system is in making environmental changes.
For instance, when the office is suddenly populated with people, who are introducing heat into their
environment, and turning on lights, computers, copiers and making coffee, the heat increases in that room.
A temperature sensor in that area would detect that and the control system would increase cooling to that
area. Once the temperature is back to the programmed set point, the system, depending on its setup, could
either stop cooling or decrease the amount of cooling going to that area. The control system is always
staying aware of that environment because of that one temperature sensor.
Slide 6
Sensors measure the conditions and provide a check to make sure changes take place. Because of this,
sensors can be a weak link in the chain of control. If the control system is getting a signal from a faulty
sensor, the control system makes wrong decisions. Sensors must be installed in a manner that allows them
to effectively measure the controlling variable; they have to work and they have to be accurate.
Slide 7
Sensors give their measurements to controllers that process that data. How does the signal get from the
sensor to the controller?
The communication from the sensors to the controllers is almost always electrical. It can be a contact
closure, a variable DC voltage (0 to 5 VDC or 0 to 10 VDC), a variable milliamp current (0 to 20 ma or 4 to
20 ma) or a variable resistance. As such, there is an electrical circuit between the sensor and the controller.
owners.
The firmware in the controller is designed to interpret changes in the electrical inputs that it receives from
the sensors.
Slide 8
Since controllers get the data from their sensors from a small change in an electrical signal, too much
distance between the controller and sensor will cause errors in the measured variable. Some errors can be
accommodated by making adjustments in the software, but there will always be specific guidelines on how
far a sensor can be from the controller for accurate control.
Slide 9
For sensing temperature there are two primary types of sensor: thermistors and temperature transmitters.
Thermistors are constructed to produce a variable resistance as a function of temperature. As the
temperature changes, the resistance changes in a non-linear manner. The controller will interpret these
resistance changes to determine the actual temperature. There are many different types of thermistors.
Some increase resistance when the temperature goes up, while others decrease resistance when
temperature increases. This is known as positive or negative temperature coefficient. The range of
resistance around 25C or 77F is important in the selection of the proper thermistor for a building control
system.
They are inexpensive when compared to transmitters.
They are consistent in their performance over time.
They have adequate resolution for commercial applications but they do not deliver the performance
required for critical applications requiring high accuracy.
Temperature transmitters consist of both a temperature measuring component and an electrical circuit
board that converts the temperature reading into a variable DC voltage or milliamp current.
They require a source of power.
They are expensive when compared to thermistors.
They are consistent in their performance over time.
They have excellent resolution and accuracy that allows them to be used where precision control is
required (industrial control loops, labs, etc.)
owners.
Slide 10
For typical building control systems, temperature sensors are used to measure a variety of variables.
Outside air temperature
The occupied space temperature
Various temperatures within the mechanical system (mixed air, supply air, return air, etc.)
The physical design for any given temperature measurement requirement can be unique. Outside air
sensors must be able to withstand outside conditions. Occupied space temperature sensors must be
compatible with the interior design, etc.
Slide 11
For commercial applications, outside air temperature sensors typically use a thermistor. Most will have a
protective guard around it to protect the sensor from the elements. For instance, if ice formed on the
temperature sensor, the sensor would continually register no higher than 0 degrees C / 32 degrees F until
the ice was gone.
Placement and location of the sensor will also be important. We do not want to place the sensor near
exhaust vents, or too near any equipment. The shield protects the sensor from natural elements such as
snow, ice, and rain, but sun is also a factor.
Slide 12
The east and west side of a building have direct sunlight at given points every day. But in the northern
hemisphere, a building in a given year has the least amount of direct sunlight on the north side of the
building. Therefore, for buildings located in the northern hemisphere, the north side of the building is the
best place to locate the sensor. In the southern hemisphere we would use the south side of the building.
The outside air temperature sensor is a vital part of many important energy control schemes. Using outside
air when its the right temperature rather than having to heat or cool interior air provides huge savings.
The outside air temperature sensor allows us to know the extent of heating or cooling we need to perform.
owners.
Slide 13
Room/Zone temperature sensors should not be confused with thermostats. While a thermostat does have a
temperature sensing element, it is more than just a sensor. A thermostat is actually a controller: it processes
data from the temperature sensor and adjusts its outputs accordingly. A temperature sensor sends an
electrical signal to the controller that is indicative of the temperature. The controller is responsible for using
the received value to enable or disable equipment.
Slide 14
In the first Building Controls course, you learned about DDC controllers. Can an existing thermostat still be
tied into a DDC controller? Absolutely. However, the input to the controller is no longer the temperature but
a request to enable or a request to disable. If the controller needs to know the space temperature to
execute its control strategy, then the thermostat must be replaced with a temperature sensor or a
temperature sensor must be installed in addition to the thermostat.
Slide 15
Room temperature sensors can be built into devices that also provide additional information to the controller.
The most common additional information is the desired temperature set point for the space or an override
indication that informs the controller that the occupant desires temperature control when the system is not
running, or both. Visual feedback to the occupant may also be provided in the form of a display that can
show the room temperature, desired set point and in some cases the current outside air temperature.
The ability of the occupant to change the desired temperature set point for the room is typically limited to +/1 to 1.5 degrees C or +/- 2 degrees F to control energy consumption.
The response of the control system to an override request is usually limited to a specific time period of 1 or
2 hours if a response is allowed at all.
owners.
Slide 16
When the mechanical systems for the building are designed and installed, the occupied space is divided up
into multiple control zones. Each control zone is served by a specific mechanical system component that
can be controlled. In a large open office area, twelve office cubes could be served by one terminal unit.
Three exterior offices along one wall might be served by another terminal unit. Each control zone has one
temperature sensor to provide the temperature input to the control algorithm that controls the terminal unit.
For the open office area, the sensor is installed near the center. For the three exterior offices, one office
must be chosen as the location for the temperature sensor. An engineering assumption has been made
that all three of the offices have the same energy requirements (sun load, people load, computer load, etc.).
In essence, their requirements for heating or cooling are identical. The control system measures the
temperature in the office with the sensor and adjusts heating and cooling capacity accordingly. If the
engineering assumptions turn out to be wrong, the offices without the temperature sensor will be poorly
controlled and there is nothing the control system can do about it. A mechanical system modification would
be the only solution.
Slide 17
To get a true reading of the environment to be measured, we need to be careful where we locate our zone
temperature sensors. We must consider equipment. For instance, we do not want the temperature sensor
next to the supply vent or near any equipment that would heat or cool the temperature sensor unreasonably.
If a room has a door opening to the outside, the temperature sensor should not be installed right by the door.
The key is to observe any heating or cooling impacts to the room, and then place the temperature sensor
where its most likely to get the truest reading.
owners.
Slide 18
Weve looked at sensors for the temperature of outside and inside spaces. Now lets look at how we would
get temperature data about equipment in the building such as the heating or ventilation equipment.
Equipment temperature sensors have three sub-categories: strap-on or bulb-type sensors, immersion
sensors, and duct sensors. In general, strap on or bulb-type sensors are used to find temperatures of metal
pipes that would be close to the fluid in the pipe, and immersion sensors are used for finding the actual
temperatures inside pipes. Duct sensors are used for air temperatures inside ducts.
Slide 19
Some of the measurements needed to effectively control a system are temperatures of chilled or hot water
inside pipes.
Because a costly amount of energy has been used to cool or heat up this fluid, the energy in that fluid is
preserved by insulating that pipe. To place a sensor for monitoring the pipe temperature, which is close to
the fluid in the pipe, we must first get past the insulation.
owners.
The strap-on sensor would be strapped on directly to the pipe under the insulation, and insulation would be
placed back over the sensor to cover it and prevent it from sensing the ambient temperature. It is important
when using a strap-on sensor that non-silicon grease or conductive paste be used between the sensor and
the pipe for maximum transfer of temperature. However, an immersion sensor would be more accurate.
This requires drilling through the piping to insert a well, sometimes called a pocket. A well is inserted into the
fluid; then conductive paste is used on the immersion sensor when it is placed into the well. An immersion
sensor is more accurate because the actual fluid surrounds the well, and the transfer of temperature is all
around the sensor. In comparison versus the strap-on sensor has only one point of contact through a metal
pipe.
Typically, in new builds an immersion sensor is used. For retrofits on existing equipment a strap-on sensor
is a cheaper, less invasive method.
Slide 20
Duct sensors are used to measure air temperature in HVAC equipment. Duct sensors have a single point
element for sensing temperature. Some ducts can easily be 2m x 2m or 6ft x 6ft in size. Duct temperature
sensors are generally not more than 46 centimeters or 18 inches long. There could be quite a bit of variance
in the pressure and speed that air is travelling, causing a wide variance in temperature that a duct
temperature sensor might not detect.
owners.
Slide 21
An averaging temperature sensor considers the entire cross sectional area of that duct, as the sensor is the
entire length of copper tubing. The increase or decrease in resistance is felt across the entire run of the
element as the temperature changes it. The controller can therefore interpret this change in resistance as a
temperature. Rather than having a temperature at just one point in the cross sectional area, we are getting a
good measure over the entire area of the duct.
Slide 22
Humidity sensors measure the relative level of moisture in the air. Relative humidity sensors, like
temperature transmitters, produce an electrical signal that is proportional to the level of relative humidity (0
to 10 VDC or 4 to 20 milliamps).
Relative humidity is typically measured for one of two reasons:
For use in energy analysis of cooling systems.
For control purposes in more critical environments where we need to control the relative humidity.
For energy calculations, moist air is more expensive to cool than dry air, so moisture data is essential for
analysis of cooling system performance.
Libraries, labs and data centers are examples of critical environments where it is important to control the
relative humidity to avoid damage to books or to prevent build up of static electricity.
Slide 23
For systems requiring humidity control or in geographical areas of high outdoor relative humidity, the design
and selection of mechanical systems will be different when compared to systems that do not require
humidity control or systems in dry climates.
owners.
Relative humidity can also affect human comfort even in non-critical spaces. 30 to 50% is considered very
good and 20 to 60% is considered acceptable. Very high values can lead to mold and bacteria growth while
very low values can lead to dry skin and a build up of static electricity. Either extreme will contribute to
occupant discomfort and a loss of productivity.
Slide 24
Relative humidity sensors are specifically designed for different locations to include the outside air, the
occupied space and within the mechanical system. Relative humidity sensors do not hold their accuracy
over time: their performance degrades rapidly and they are maintenance intensive. Often elements within
the sensor must be replaced to ensure accuracy. Numerous vendors provide replacement elements, but in
many cases the entire humidity sensor is replaced every two years. Quality sensors, a clean sensor
environment and a strong periodic sensor maintenance program are essential if energy calculations are to
be accurate and control of critical environments is to be maintained.
Slide 25
Pressure sensors measure static pressure in a variety of locations or differential pressure in a flowing
stream of air or water. When you hear static pressure, think the pressure in a balloon. The greater the
pressure, the more the balloon expands. Movement of the air in the balloon is not an issue.
When you hear differential pressure think of the difference between two values.
Slide 26
We can measure the static pressure at two different locations within a system or building, subtract one
reading from the other and we have a differential pressure. If you have ever tried to enter a building where it
is difficult to pull the door open you have experienced differential pressure.
When the outside air static pressure is higher than the inside air static pressure it is difficult to pull the door
open. There is a differential pressure across the door.
owners.
Slide 27
When an airstream is not moving the total pressure of the air is its static pressure. When the wind is blowing,
so to speak, the pressure of the air is made up of the static pressure plus additional pressure associated
with the speed of the air. We can measure the total pressure of a moving airstream and we can isolate the
static component. If we subtract the static number from the total number, we can calculate the pressure
caused by the wind speed. A differential pressure sensor measures the total component and the static
component and does the subtraction. In essence the sensor measures the pressure associated with the
wind speed. From this value we can calculate how fast the wind is blowing. Airplanes use this technology to
determine aircraft speed. We use this to determine how fast air is moving in air ducts or how fast water is
flowing in pipes.
Slide 28
Where might we measure static pressure? Typical locations include the outside air, the controlled space,
stairwells, air ducts and water pipes. For a quality environment in most cases, the indoor static pressure
must be slightly higher than the outdoor static pressure. Otherwise unconditioned air will tend to enter the
building from outside, and if the difference is extreme enough it can be difficult to open exterior doors.
However, in environments where it is extremely cold outside, it can be better to maintain a slightly lower
indoor static pressure. Otherwise, if condensation forms inside the building, it can be forced into walls if the
indoor static pressure is higher, and this can lead to conditions favorable for mold growth.
Pressure control in stairwells is a smoke control issue. Static pressure in ducts or pipes is typically used to
control the speed of fans or pumps.
Typical locations to measure differential pressure include across fans, across pumps, across filters, in
flowing airstreams and in flowing water streams. The differential pressure across a fan or pump tells us if it
is functional and how hard it is working. Differential pressure across a filter tells us how dirty the filter is.
Differential pressure in a flowing airstream or flowing water stream can be used to calculate the flow rate of
the air or water.
owners.
Slide 29
Pressure sensors are comparable to temperature transmitters in that they are designed to produce either a
0 to 10 VDC signal or a 0 to 20 milliamp signal that will be sent to the controller.
It is important to select the right type of sensor for the application, and with the correct range. To measure
pressure up to 1 bar or 10 PSIG, dont select a sensor that works up to 10 bars or 100 PSIG.
Proper sensor location is also critical to good control system performance. Wind can affect the readings
from an outdoor pressure sensor. A sensor installed too close to an elbow in an air duct system will deliver
erroneous numbers.
Compared to temperature control, pressure control in a building control system is much more difficult and is
a common problem area.
Slide 30
Flow meters are used to measure the volume or mass of air or liquids flowing within a pipe. This may be
relevant to know the amount of air being supplied to a zone, or the amount of chilled water being supplied
from a chiller.
In general there are two ways of determining the flow. The first is to discover the velocity, and multiply that
by the cross-section area of the pipe to determine the flow rate. This is the volumetric flow what volume of
fluid is flowing. To obtain the mass flow, you need to know the density of the gas or fluid in addition to the
volume.
There are four main types of flow meters, each of which measure flow in a different way
Differential Pressure
Positive Displacement
Velocity
Mass Flow
owners.
There are also meters for measuring flow in open channels: but these have little application in building
control. Manufacturers will state the maximum and minimum flow that can be measured by each type of
device.
Flowmeter images courtesy of Spirax Sarco

Slide 31
A differential pressure flow meter obstructs the flow, and measures the pressure drop across the obstruction.
This can be achieved in a number of ways, for example with an orifice plate or a flow nozzle. Another
example is a Pitot tube. This is a tube positioned to point directly into the fluid flow. Fluid will enter the tube
and create pressure. This pressure reading is compared with the static pressure to calculate the velocity.
Slide 32
The positive displacement flowmeter contains precisely engineered rotors which turn with the flow. With
each turn of the rotors, a specific volume of fluid passes. The rotations are counted and the volume and
flow rate are calculated. These devices are very accurate and can handle a wide range of flow rates.
Slide 33
A velocity flowmeter measures the speed of the flow and uses the cross-sectional area to calculate the
volume that has passed through. An example is a turbine flowmeter. Similar to the positive displacement
flowmeter, the turbine blades will turn in an airflow. The flow is calculated from the rate of spin.
owners.
Another example is a calorimetric flowmeter. This uses two temperature sensors. One of the two sensors
is constantly heated, but as the fluid flows over it, the sensor is cooled. The difference between the sensors
is used to calculate the flowrate. If no fluid is flowing the difference between the two sensors will be
constant. If the flow increases, the heated sensor will be cooled and the difference between the two
sensors will be decreased. From this the flow rate is calculated.
Slide 34
Mass meters measure the mass flow rate directly instead of calculating it from the velocity. They can work
even if the density, pressure and viscosity is changing. Thermal mass flowmeters introduce heat into the
flow and use a sensor to measure how much heat the flow stream is conducting away. Coriolis flowmeters
rely on the Coriolis effect. The fluid flows through specially shaped tubes, which vibrate when there is mass
flow. Twisting forces cause vibration which can be measured and used to determine the mass flow rate.
Slide 35
Electrical sensors have a wide range of applications. They measure the status, or level of electrical current
in a wire. The three most common are current sensing relays, current transducers, and kW transducers.
Slide 36
Current sensing relays are simplest. The relay monitors the amount of current flowing through a wire and
when the level rises above a specific threshold, a set of electrical contacts are closed. When the level of
current measured falls below another specific threshold, the contacts are opened. The status of the contacts
is monitored by the DDC controller and as such the system knows if the system is under load or not. The
threshold values can be fixed or adjustable based on type of current sensing relay purchased. For a more
sophisticated DDC system, purchasing current sensing relay with adjustable thresholds can be valuable. An
interesting example would be a fan with a broken fan belt. The motor will draw a small amount of current but
the fan is not under load. The contact closure threshold would be set to a value higher than the free
spinning current level. Typical DDC control strategies compare the start stop command to a device with the
status of the current sensing relay. If the command has been on for a period of time and the current sensing
relay contacts remain open, an alarm is initiated. Current sensing relays are considered to be digital inputs
to a DDC system.
owners.
Slide 37
A current transducer is similar to a temperature transmitter in that it measures the amount of current flowing
in a wire and produces a linear signal of 0 to 10 VDC or 4 to 20 milliamps. The DDC system receives the
linear electrical signal and translates that into the amount of current flowing. This type of sensor may be
used on a large mechanical system like a chiller or on the electrical service to a building. If we know the
voltage generating the current and the number of phases of the electrical service, knowing the amperage
allows us to calculate power and energy consumption.
Slide 38
More sophisticated transducers can also measure voltage along with the current and can be configured to
measure power or kilowatt hours. The sensor will translate the kW value into a linear electrical signal of 0 to
10 VDC or 4 to 20 milliamps for input to the DDC system.
The system can track kW over time and produce energy consumption values (kWh). As the system tracks
kW over time, it can determine trends and predict the anticipated level of kW in the future, say 30 minutes
from the current time. With this information decisions can be made to lower the demand of the building to
avoid expensive surcharges by the utility company. This is called demand control.
Slide 39
In most industrialized regions, there are mandates for human protection on levels of various gases. Some
gases are lethal quite quickly, and others while not lethal in low doses can contribute to a sluggish work
environment and may still result in dangerous conditions.
The purpose of gas sensors is to measure the presence or level of lethal gases in an environment, for
example refrigerant leaking from a chiller, carbon monoxide, carbon dioxide, smoke, radon, or hydrogen
sulfide. Oxygen may also be measured. Carbon monoxide and carbon dioxide measures are commonly
critical, especially in buildings pursuing energy conservation.
Slide 40
Carbon monoxide is a by-product of combustion. It is odorless and colorless, so it is not readily detected
and can cause fatality or serious injury.
owners.
Exposure is commonly caused by combustion exhaust gases leaking back into a room. These leaks can be
exacerbated by back drafts or blockages in the chimney or flue pipe where these gases are supposed to
escape. Another common place these gases will come from is automobile exhaust.
Slide 41
Carbon-dioxide is breathed out every time you exhale. It is also odorless and colorless. High levels of
carbon-dioxide are usually due to improper ventilation, or unqualified ventilation. Some larger rooms can
have a wide range of occupancy load, or people present in that room. When a room is heavily loaded with
people, it makes sense that this room will more quickly have a higher level of carbon dioxide. In this case,
the room would need a higher level of ventilation to dilute the level of carbon dioxide in the space.
Slide 42
These gases may be chlorofluorocarbons, also known as CFCs, hydrochlorofluorocarbons, known as
HCFCs, or hydrofluorocarbons, known as HFCs. CFCs are often known by the DuPont trade name Freon.
They are very stable in the atmosphere, but are being phased out by the Montreal Protocol because they
contribute to ozone depletion. HCFCs tend to break down more quickly in the lower atmosphere, and HFCs
break down more quickly again. This is desirable, since if the compounds break down in the lower
atmosphere, they are not present in the higher atmosphere to damage the ozone layer.
The toxic and pollutant effects of refrigerant gases vary depending on the gas. In general, refrigerant leaks
must be prevented to avoid atmospheric pollution. In a building environment, if a chiller leaks the
refrigerant; the gas tends to push the air out of the room and dilute it to a very thin mixture. If the quantity of
refrigerant is large enough, there may not be enough oxygen left to support respiration. Thus, a non-vented
leak can be harmful or fatal to humans due to asphyxiation. Refrigerant gases can also lead to formation of
lethal phosgene gas if exposed to high temperatures.
Slide 43
Carbon monoxide is lethal at levels far lower than carbon-dioxide. Low levels of carbon-monoxide cause
fatigue in healthy people and chest pain in people with heart conditions. High levels cause headaches,
dizziness, confusion, vision impairment, nausea, and can cause death.
owners.
With carbon-dioxide, usually increased heart-rate occurs first as the body attempts to pump blood faster to
deliver what little oxygen it can as quickly as possible. Shortly after, shortness of breath and dizziness will
occur.
These levels are shown in percentages but they are often stated as parts-per-million. Mathematically, 1million parts per million would be complete saturation. Most countries define guidelines for acceptable
levels.
Slide 44
Both carbon monoxide and carbon dioxide can be measured with the same type of sensor technology, just
calibrated differently for the sensor purchased for the application. These sensors are called non-dispersive
infrared sensors (NDIR). These rely on the different light-absorbing properties of the gases to detect their
concentration.
These sensors often have lifetimes of 5,000 to 10,000 hours before the infrared lamp fails.
owners.
In general for building automation, gas sensors are used for indoor air quality, places where there are
combustion or gas-burning processes, greenhouse farming, enclosed parking garages, and gas leak
detection.
Specifically carbon monoxide sensors should be installed wherever there are combustion processes present.
Carbon-dioxide sensors should be used wherever there might be wide variations of people in a space. They
can also be used as an energy saving measure to dynamically change how much outside air is pulled into a
building. If temperature or humidity renders the outside air unfavorable, the system can scale back how
much is brought in, as long as carbon-dioxide levels stay within safety limits.
Slide 45
The next topic we are going to discuss is switches. Here we are looking at automatic switches, not manually
operated ones.
The purpose of a switch is to detect the presence or level of a substance and make or break a circuit
accordingly. For instance, if pressure gets too high in duct work, a pressure switch will detect the level of
pressure is too high and break the power. Likewise, a smoke detector would detect the presence of smoke
and disable a fan from operation.
Switches are often used for safety purposes. They are also used for other purposes. Many flow switches
are used as an indication of status on fans. Many pressure switches are used as indication of flow of
pumped fluid.
A switch does not necessarily, if ever, respond to a command from a controller. The most common are
smoke, high and low limit, flow, and pressure.
Slide 46
Smoke Switches are typically used to enable an alarm and/or a sprinkler system to extinguish any fire.
owners.
Slide 47
High and Low Limit Switches are used to make or break a process. For instance, one type of high
temperature limit switch is flame roll-out switch. If this sensor detects flame outside of the burner cavity, this
safety switch will turn off the gas valve, thus stopping the flow of fuel to the flame.
Another example is a low-temperature cutout, sometimes known by a slang name of freeze stat. Imagine a
situation where outside air has to be brought into the building to maintain good indoor air quality. This
outside air may pass over a cooling coil, which provides cooling in summer. The cooling coil is still present
in the winter, with water inside it but not circulating. In the winter, if the outside air has a very low
temperature, it could freeze the water in the cooling coils. If the water freezes, it will rupture the pipes coil.
There are a variety of ways the system might be set up to prevent this, but one example is using the lowtemperature cut-out switch to enable pre-heating the air.
Slide 48
Flow Switches are found in electrical heating applications. For example, an electrical heat coil may heat air
that is distributed throughout a space. First, the fan must be blowing air across that coil for the heat to kick
on. If the fan was not blowing air and the heating coils came on, a fire could ensue. The flow switch must
be enabled to allow the heating element to be enabled.
Slide 49
Pressure Switches are used in boilers to prevent overly high pressure, which can cause catastrophic failure
resulting in building destruction and death.
Slide 50
Occupancy sensors detect the presence of people in an area. That area may be inside a room for
conditioning and lighting or outside for security. An occupancy sensor can be as simple as a push button
when you walk into a room. At the simplest level, an occupancy sensor gives recognition that someone is in
the room. Once presence in the room is detected, then a control system can decide what that person gets.
For instance, a building may shut down its primary cooling after 6pm. However, between the hours of 6pm
and 11pm, it may offer a certain duration of cooling to someone that triggers the occupancy sensor.
owners.
Then after 11pm, if the building is scheduled this way, the occupancy sensor may allow nothing to happen
no matter if the occupancy sensor is triggered or not. Therefore, an occupancy sensor doesnt guarantee a
response from the control system; it simply alerts the control system that the area is occupied.
These occupancy sensors now come in all sorts of shapes and sizes, but the two primary technologies that
drive these are infrared and ultrasonic sensors.
Slide 51
The infrared technology uses sight recognition. If a room and most objects in it are around 22-24oC / 7275oF, the human body, being 37oC / 98.6oF, will stand out in a thermal comparison. Infrared technology
uses thermal imaging. When motion is detected, especially motion tuned to a warmer range matching the
human body, the sensor will detect that the room is occupied. At that point, the controller decides what to
do now that the room is occupied.
Slide 52
An ultrasonic sensor does not use sight but sends out a signal and then listens for the signal to bounce back
to it. Its a signal thats far out of the human range of hearing. When the position of something in the room
changes, or if something new is introduced, the sound wave going back to the sensor is different. Because
this is not a line of sight device, like the infrared sensor, the ultrasonic sensor can also see around corners.
However, a sudden change in temperature can change the property of the way sound travels in air, and thus
can trigger an ultrasonic sensor to think someone is present. Many times, the ultrasonic and infrared sensor
are combined into one sensor, and then both the infrared and the ultrasonic have to recognize motion for
the sensor to trigger positive recognition of occupancy or a presence in the room.
New technologies are emerging constantly in this area. As these sensors are used to detect a presence,
they also have a wide use for security as well, which can be incorporated into a building automation system.
owners.
Slide 53
Sensors measure the data that the controller uses to make decisions based on its set of programmed
standards and set points. Sensors are the first step of control. The communication from the sensors to the
controllers is almost always electrical. The firmware in the controller is designed to interpret changes in the
electrical inputs that it receives from the sensors. Sensors must not be too far away from their controller, or
losses due to electrical resistance will cause measurement errors
Today we talked about many different types of sensors; each suits a different purpose within an energy
efficient building control plan.
Temperature sensors
Relative humidity sensors
Pressure sensors
Flow meters
Electrical sensors
Gas sensors
Switches
Occupancy sensors
Sensors must be correctly positioned, e.g. outside temperature sensors should not be positioned in full sun.
Slide 54
owners.
Building Controls III

Slide 1
Welcome to Building Controls III: Introduction to Control Loops. This is third course in the building controls series. If
you have not already done so, please participate in Building Controls one and two prior to taking this course.
Slide 2
For best viewing results, we recommend that you maximize your browser window now. The screen controls allow you
to navigate through the eLearning experience. Using your browser controls may disrupt the normal play of the course.
Slide 3
Identify the five controller loop responses, and you will be able to
Review the terms associated with controller loop responses
Slide 4
This class is one of a sequence that will provide you with an overview of basic control technology used in buildings,
so that you can see how it can contribute to energy efficiency.
If we can control an environmental system (an environmental system is a collection of equipment that maintains the
environment of a building) we can tell equipment
When to turn on and off
How slow or fast to run, and
How cool or warm the temperature of the air or water needs to be
Slide 5
For an environmental control system, or a Building Automation System to effectively work, three things must take
place:
Data must be measured and provided as input to the system
Measured data then can be compared to a set of desired outcomes or instructions, and lastly
In this section of the class we will
Examine the five controller loop responses and review the terms associated with building controls.
Lets begin with an explanation of controllers.
Slide 6
Controllers are the components of this system that take in the data from the input devicessuch as sensors or
pushbuttonsand process them using programmed logic. Programmed logic can be thought of as the controllers set
of standards or instructions for what zone and equipment conditions, such as temperature, are supposed to beand
the mathematical calculations to make the changes to keep zones and equipment conditions at those standards.
Sensors get the measurements, the controller takes those measurements and compares them with its onboard logic,
and then it sends a message to a controlled device. The method with which the controller interacts with the controlled
device is called the control loop response.
Slide 7
The control loop response refers to how the controller responds.
As we just discussed, when the controller takes in a measurement from a sensor, the controller internally compares
that reading with a set of instructions or standards. For instance, if the temperature in a room is 26 degrees
Celsius/79 degrees Fahrenheit, and the controller has an onboard set of instructions or standards that say this room
is supposed to be at 23 degrees Celsius/74 degrees Fahrenheit, the controller would set out to make a change.
The controller might be connected to a zone damper- which is a type of device that looks a bit like a louver and is
used to control the amount of air entering a space. The method by which the controller controls that device is the
control loop response.
Slide 8
There are five ways that a controller can make a response to the system:
A two-position response
A floating response
A proportional response (also called by its initial P)
Proportional plus integral (or PI), and
Proportional plus integral plus derivative (also called PID response)
These five responses can be divided into two broader states: digital and analog. Lets look at each one of these
responses in more depthbeginning with the two-position response.
Slide 9
Two-position always produces a digital response where the end device is either in an on state or off state. The
controlled device is also digital.
Slide 10
Floating control is an analog control process. It may be used to control either a tri-state device or an analog device.
Lets look at the tri-state device first. The tri-state device can accept one of three input signals, - clockwise rotation,
counter-clockwise rotation, or stationary.
In effect the controller can tell a tri-state device to do one of three things:
Increase the control output by driving in one of the two directions. For example, this might widen a vent
opening.
Decrease the control output by driving in the other direction. For example, this might narrow a vent opening.
Stay still and maintain the current output conditions. This would keep the vent opening the same size.
Slide 11
The floating control process can also be used to control an analog device. The process will increase or decrease the
control signal to the device based on its current position and its operating range. When floating control is used to
control an analog device, the signal will be a value within a range, for example, between 0% and 100%.
Slide 12
Proportional, PI, and PID responses are also all analog type responses, in other words; they exist in a state at or in
between 0 to 100%. They can be thought of existing in a range between on and off, rather than just on or off.
Slide 13
Before we can look at the five responses in detail, we need to establish some common terms relating to controllers.
The temperature we desire to be at, in this diagram is 23 degrees Celsius or 73.4 degrees Fahrenheit. The value that
we aim to achieve, whether it be temperature, humidity, pressure, or another parameter, is called the set-point.
Slide 14
The actual value of a controlling variable is called the control point. Another term that is often used is offset or error.
Both of these terms can be used interchangeably, and they refer to the distance that the actual value is away from
the set-point. This term needs to be understood with the term stability.
It is common when stability is mentioned to associate this term with set-point. This is not the best way, though, to
define this term. In the graph, it is clear that stability can be obtained at an offset, or with error, from the set-point.
Therefore, stability is not necessarily stable at the set-point, but stable at any given value.
Slide 15
This may be more clearly defined as mechanical stability. This stability is obtained when the mechanics are no longer
having to make changes to bring the system into balance.
The issue most systems have is that they can reach stability, but with a certain offset or error. As long as this offset is
tolerable, thats OK. For temperature in a room, we might not feel the difference of plus or minus a degree.
However, if youre building a sensitive system, the offset might have a tighter tolerance to the set-point.
Bottom-line, the question that needs to be addressed in the design is: Can I reach stability with an acceptable offset
or error from the set-point?
Offset may also be called drift, deviation or control-point shift.
Slide 16
Now lets discuss differentials.
The differential is a characteristic of a two-position controller. It is the difference between the setting at which the
controller operates at one position, and the setting at which it changes to the other position. This is needed to prevent
the controller from rapidly cycling off and on, also known as hunting.
Slide 17
Imagine a controller which is switching the cool air supply off or on. Without a differential, every tiny deviation from
the set point will make it switch the air supply on, and seconds later it will turn it off again.
Slide 18
With the differential, as long as the sensor is reading close enough to the set-point, specified to be within the
differential, the controller will not operate. It will only operate when the difference exceeds the differential.
This diagram illustrates a set point of 23 degrees Celsius with a differential of + or -1 degree Celsius, equivalent to a
73.4 degrees Fahrenheit set point with a + or -1.8 degree Fahrenheit differential. The full differential is a range of 2
degrees Celsius or 3.6 degrees Fahrenheit.
Slide 19
The neutral zone or deadband is a very similar idea, but this is a characteristic of a floating controller, which we will
explore in more detail later in this series of classes.
It defines a range that is acceptable for control purposes. Imagine that now we are controlling not a simple on or off
signal, but the position of a tri-state device. We can tell the device to rotate clockwise to increase a vent opening, or
to rotate counterclockwise to decrease the opening, or to stay still.
When the measured variable is within the range of the neutral zone, the end device is left at its current state or value.
When the measured variable is outside the neutral zone, the device will be commanded to increase or decrease.
The signal will be increased or decreased for a set period of time and then the measured variable will be checked to
see if it has returned to the neutral zone. If not, the process will be repeated.
Slide 20
The throttling range is the amount of change in the controlling variable required to run the actuator of the controlled
device from one end of its stroke to the other end.
In this example, the throttling range is based on a temperature input, and is from 21C to 25C, which is the same as
69.8F to 77F. One end of this range corresponds to 0% travel of the actuator. The other end of this range
corresponds to 100% travel of the actuator. Depending on the input value of the controlling variable, the controller
can set the controlled variable to position the actuator anywhere from 0% to 100%.
If the actual value of the variable is within range, it is under control.
When the variable is outside the range, it is out of control, because the actuator cannot move any further to effect
change.
Slide 21
There is always a range that yields the highest and lowest responses. For a cooling application, if the temperature
was at the top of the throttling range, we would be providing the maximum amount of cold air into the zone.
However, in a heating application, if the temperature was at the top of the throttling range, we would not need more
heating and would be providing the minimum amount of heated air flowing into the zone.
It is important to point out that, just because we have labeled this the maximum of the throttling range, doesnt
mean well have a maximum response at that point. As we just talked about in the heating application, at the top of
our throttling range, we would have a minimum response.
Slide 22
Lets summarize some of the information that we have learned in this course.
Today, we learned that controllers are the components of the system that take in the data from the input devices,
such as sensors or pushbuttons, and process them using programmed logic. The method with which the controller
interacts with the controlled device is called the control loop response. We then identified the five control loop
responses, which are:
A two-position response
A floating response
Proportional response (also called by its initial P)
Proportional plus integral (or P.I.), and
Proportional plus integral plus derivative (also called P.I.D. response)
We also review the terms associated with control loop responses, which included:
Set-point
Offset or errorwhich is sometimes referred to as drift, deviation or control-point shift
Stability
Differential
Neutral zone, and finally
Throttling range
In the next course, well address the two-position and floating responses in more depth.
Slide 23
Building Controls IV
Slide 1
Welcome to Building Controls Part IV: Two Position and Floating Responses. This is fourth course in the building
controls series. If you have not already done so, please participate in Building Controls one, two and three prior to
taking this course.
Slide 2
Slide 3
Describe the twoposition control response
Explain how floating control methods are addressed, and you will be able to
Employ an interactive example which simulates a changing variable air volume box
Slide 4
This class is one of a sequence that will provide you with an overview of basic control technology used in buildings,
so that you will understand how it can contribute to energy efficiency. The purpose of this course is to address the
two-position and floating responses.
Slide 5
A two-position control response is the simplest kind of response that can be made from a controller. When a certain
condition is met, the controller enables a digital output to be turned on. When a second certain condition is met, the
controller disables that digital output, or turns it off. Lets look again at the graph we looked at when discussing
terminology and apply a cooling application to it.
Slide 6
The thermostat in most residences, or homes, is a type of two-position control. When you move a slider or push a
button to change the desired temperature, you are changing the set-point.
Lets say we put that set-point at 23oC or 73.4oF. The thermostat would then have a certain range it operates in. A
common range might be plus or minus one degree. The way two-position control would work is if the temperature
gets above 24oC or 75.2oF, the cooling system would be enabled. It would be turned on.
If the temperature drops below 22oC / 71.6oF, the cooling system would turn off.
Slide 7
The system is designed to operate within a two-degree Celsius differential. In Fahrenheit, that would be a 3.6 degree
differential.
Of course, the temperature sensor only being in one spot for your entire house is not always the best application.
Also, you will notice that there is no adjustment in how quickly or how cold the air is being delivered. It is simply being
delivered, or not, with an allowable differential. For a single-zone system that is fairly stable, this is an acceptable
solution. Other systems give more flexibility and precision, for a higher price of course.
Now lets move on and talk about floating responses.
Slide 8
Floating control needs to be addressed in two ways.
First, we need to understand how floating control is sent from the controller. Secondly, we also need to understand
why this type of control would be used. Lets begin with a discussion of the how.
Slide 9
Floating control with tri-state actuators require two digital outputs from the controller. As you will recall, we learned
previously, that digital means either on or off, 1 or 0, yes, or nonothing in between. Floating control from a
controller will run to two points on a tri-state actuator.
Slide 10
Technically, there are three wires running from the controller to the tri-state actuator. There is one wire from the
controller enabling an actuator to turn clock-wise, and another wire enabling the actuator to turn counter-clockwise,
and there is a third wire that is called the common. Remember, for electricity to travel, you have to have a closed
loop.
Clock wise
Counter Clockwise
Slide 11
So for counter-clockwise direction, the signal travels through this first wire and then through the common to complete
our loop.
For clockwise direction, the signals travel through the second wire, and then again through that same common to
close the loop.
The third possible state for the tri-state controller is stationary.
This takes place when there is no signal through either wire.

Slide 12
For example, an actuator turning clockwise may open a damper allowing more air to pass through, and an actuator
turning back counter-clockwise would begin closing off how much air was allowed through.
Slide 13
Now, let's explore why this floating control method is used. Some applications happen so quickly, that when you
make an adjustmentsuch as speeding up a fan to increase the air pressure inside a ductthat change is felt
everywhere in the duct in 1-2 seconds. Because of this, a sample measurement can be taken every 4-5 seconds.
Slide 14
If our setpoint was set at one specific point, every 4-5 seconds the actuator would move to try to get to that one
specific setpoint, and you would overuse your actuator never allowing it to rest.
For that reason, in floating control, we have what is called a neutral zone where nothing happens. You might also
hear this called the deadband.
Slide 15
This chart illustrates the deadband concept. The x-axis shows the input to the control loop, in other words the
controlling variable, which in this example, is a pressure measurement.
This is measured in centimeters of water column, or inches of water column in the US. Well use centimeters in this
example, but the same logic applies whatever the units.
The y-axis of this chart shows the output of the control loop, also called the controlled variable, which is the position
of an actuator, on a scale from 0% to 100%. 0% represents one extreme of the actuator position, such as fully
anti-clockwise and 100% represents the other extreme, such as fully clockwise.
The system is set up with a setpoint of 5 cm of water column.
Slide 16
The deadband is plus or minus 0.2 cm, from 4.8 to 5.2 cm of water column. In other words, the setpoint is 5 cm and
the deadband is 0.4 cm water column.
If the pressure is measured above 5.2, the controller will respond by instructing the actuator to move. If the pressure
drops below 4.8, the controller will respond by moving the actuator in the opposite direction. However, as long as the
measured pressure is between 4.8 and 5.2, the controller will not change the position of the actuator. Between those
two values, the system is stable. Stability is when the actuator is not moving in response to pressure changes.
Slide 17
The throttling range is the range of inputs that translate into the full range of travel of the actuator.
If the measured pressure is below the bottom of the throttling range, the actuator has already reached 100% and
cannot travel any further. Here the throttling range is from 4.0 to 6.0 cm of water column. The deadband defines the
tolerance to setpoint.
There is an important balance between system stability and the deadband. The deadband needs to be as small as
possible to keep the system close to setpoint, but wide enough to avoid over-reaction or hunting of the system to try
and obtain the desired setpoint.
Slide 18
A summary definition of neutral zone would be the range over which the output of the controller remains constant as
the input varies. In other words, within the neutral zone the controller output does not change, even if the input
changes. The output changes only in response to an input outside the neutral zone range.
Slide 19
The chief benefit of floating control is greater stability in a system. If the value is in an acceptable range, it shouldnt
be touched! Stability is needed to avoid constant changing of equipment. At some point, equipment reaches an
overuse point in which it has to be maintained or replaced. Stability allows for the system to not make adjustments
in an acceptable range. In a fast responding systemmeaning 3 to 5 secondsfloating control is a great way to
reach stability.
Slide 20
In this interactive example, you get to simulate a changing Variable Air Volume box to see what effect you make on
the static air pressure. Now, normally a change in the temperature in the conference room would cause the change in
the VAV damper, but in this example, to simplify things were allowing you to change the VAV damper directly.
Youll notice on the right that the control system is checking the static pressure in the duct work every 4 seconds.
This example measures pressure using inches of water, which is a common unit for static air-pressure measurement
in America. In other countries, millimetres of water or even kilopascals are used, but for the purposes of this example
the units are not important. As long as we are between 1.0 and 1.2 inches of water the control system will default to
satisfactory. However, if you close off the VAV too much, youll see that you may take the air pressure too high or too
low. The controller would then acknowledge this as unsatisfactory, and decrease the fan speed by stepping down the
Variable Frequency Drive (VFD). Go ahead and interact with the up and down arrows next to the VAV damper to see
more clearly how floating control would work in this scenario.
Slide 21
Lets summarize some of the information that we have reviewed in this course. A Two-Position control response is
the simplest kind of response that can be made from a controller. This is simple on off control. When a certain
condition is met, the controller enables a digital output to be turned on. When a second certain condition is met, the
controller disables that digital output, or turns it off. A differential is the difference between the setting at which the
controller operates at one position, and the setting at which it changes to the other position.
Floating control is used to create greater stability in a system. If the value is in an acceptable range, it shouldnt be
touched! Stability is needed to avoid constant changing of equipment. Within the neutral zone, the controller output
does not change, even if the input changes. The output changes only in response to an input outside the neutral
zone range.
In the next section of building controls, well move on to proportional and PID responses.
Building Controls V Proportional and PID Responses

Slide 1
Welcome to Building Controls Part V: Proportional and PID Responses. This is fifth course in the building controls
series. If you have not already done so, please participate in Building Controls one through four, prior to taking this
course.
Slide 2
Slide 3
Define the proportional control response

Explain the addition of integral and derivative terms to form PI (Proportional + Integral) and PID
(Proportional + Integral + Derivative) responses, and you will be able to
Explain the appropriate use of each control response
Slide 4
Proportional control is a simple and widely used method of control for many kinds of systems. Proportional Integral
- Derivative control, also called PID control, is somewhat more complex and may be suitable in certain situations. It is
important to note that P, PI, and PID can be used in different applications and using each one has its advantages.
As we will see, there are cases where using all P+I+D is not the best application.
Slide 5
Proportional control involves giving a response proportional to the stimulus. To say that less technically, the warmer it
gets in a certain range of temperature, the more cool air we put in. So, for instance, looking at this sample
proportional response table for a cooling application, at 22.8oC we might have cool air flowing to a room at 1,360
cubic meters per hour. If the room happens to be in the US, at 73oF we would have 800 cubic feet per minute of cool
air.
However, if the temperature were to increase to 23.3oC or 74oF, I might proportionally adjust my air flow to 1,760
cubic meters per hour or 1,036 cubic feet per minute.
Each of these steps are at 200 cubic meters per hour or 118 cubic feet per minute, so the higher the temperature
gets, the greater my system responds to it, and the more airflow is produced. Drawing this table as a chart shows you
that the response is proportional to temperature.
Slide 6
You can think of proportional control as control that follows one simple rule, e.g. For every degree of temperature
difference from the setpoint, increase the airflow by a certain amount.
This equation represents the rule:
Output = [degrees from setpoint] * [amount of air]
Output equals degrees from setpoint multiplied by amount of air
The controller will apply this rule repeatedly by:
Checking the sensor
Changing the airflow if necessary
Waiting a fixed time, and then
Repeating as necessary
Slide 7
The control can be adapted by adding more terms. You can think of this as adding more rules to follow. When an
integral component is added, there will now be two parts in the control calculation, the proportional part plus the
integral part.
When a derivative component is added, the control calculation will now have three parts.
Slide 8
Simply put; our proportional control term (Output = [degrees from setpoint]*[amount of air]) has more terms added to
it to become this equation:
Output = Pout + I out + D out
Slide 9
We already saw the proportional response it is the simplest to understand. Proportional response is addressing
how far from set-point the variable is.
As already mentioned, the response of the system is proportional with how far the measured variable is from the
desired set-point of that variable. The response increases as the offset increases. The proportional term tells the
system how much change to make to get back to its setpoint.
Hence, the first rule we mentioned before For every degree of temperature difference from the setpoint, increase the
airflow by a certain amount as demonstrated in this equation:
Output = [degrees from setpoint] * [amount of air]
Slide 10
The integral, when included, addresses how long the variable has been away from the setpoint. Simply put, in a
cooling application, if the variable has been above the setpoint too long, more cool air should be delivered than what
the proportional response is telling the control system to perform.
Slide 11
So, with PI control we now have two rules. The new rule which is added to the first one might be For every minute of
time and degrees of difference from the setpoint, adjust the airflow by a certain amount. Which is demonstrated in
this equation
e.g. I out = [time and degrees from setpoint calculation] * [air adjustment]
Combining the P and I gives two rules in one control algorithm:
Output = ([degrees from setpoint] * [amount of air]) +
([time and degrees from setpoint calculation] * [air adjustment])
Slide 12
The [time and degrees from setpoint calculation] is an integral.
The mathematical symbol for it looks like this .
The graph shows you visually how the integral is calculated. It is represented by the yellow filled in area between the
tracking of the temperature and the setpoint. At each of these measurement points, the time duration between
measurements is multiplied by how far the variable is from the setpoint, thus giving us the time and the intensity of
separation between the variable and the setpoint. All of these measurement points are added up and create an
additional load that, when included in calculations, tell the controller that more of a push is needed to get the system
back to setpoint.
Slide 13
The derivative component, when included, addresses how fast the variable is approaching its setpoint. It is
compensating for the speed of response. If we were measuring temperature, this would be how fast the temperature
is falling per second.
The derivative
component
So, with PID control we would have a third rule to add to the first two. Something like If the temperature is rising at 2
degrees per minute, add a certain amount of more airflow. Or If the temperature is falling at 4 degrees per minute,
decrease a certain amount of airflow. A more general way to say that might be For every degree per minute of
change, adjust the air flow by a certain amount.
Here is how it would look in an equation:

Dout = [rate of change calculation] * [another air adjustment]
Slide 14
Combining the P, I and D gives three rules in one control algorithm:
Output = ([degrees from setpoint] * [amount of air]) +
([time and degrees from setpoint calculation] * [air adjustment amount]) +
([rate of change calculation] * [another air adjustment amount]).
Whats the value of adding the derivative? The derivative calculation might notice that the temperature was falling
quickly, and the system is approaching its setpoint, so it would reduce the total to make the change more gradual and
avoid overshooting the setpoint. Avoiding overshoots can be important in a system where only heating or cooling is
enabled.
Slide 15
Imagine that it is the summer, and the heating system for the building is completely turned off. You enter a room that
has been too hot for quite a while. Someone turns the control system on. The proportional and integral terms will
drive a lot of cold air to the zone.
If the zone becomes overcooled due to overshooting the setpoint, you will need to wait for it to heat back up
passively. You will not be able to force the temperature variable upward.
Slide 16
In general, P relates to the present offset, I relates to the accumulation of past offsets, and D predicts future offsets
based on the current rate of change. By tuning the three terms in the P-I-D controller you can provide control actions
that are adapted for the requirements in terms of responsiveness when an offset is detected and the degree to which
the controller overshoots the setpoint.
Slide 17
Adding integral and derivative components is only necessary if there is a need that is calling for it. We need to
analyse what type of control is needed, and then select the relevant response terms, proportional, integral or
derivative, to give the required control of the system.
Lets begin with deciding what kind of control response is needed.
Slide 18
The key component that defines what we need to use is time-in other words; once an adjustment is made, how long
does it take my control system to properly detect the result of the change that has been made. Lets consider three
terms to define the responsiveness of the system being controlled:
Slow, being 1 to 2 minutes,

Moderate, being 20 to 30 seconds, and
Fast, being 3 to 5 seconds.
Slide 19
It is important to point out that when we use the term system in this discussion, it doesn't mean an entire building's
control system. Here we mean one room with a temperature sensor, flow sensor on the VAV, VAV damper actuator,
and variable speed drive controlling a fan. A building control system may have many smaller systems it is controlling.
A slow responding system would be best fit with a proportional response.
A moderate system would be best fit with a proportional + integral or a proportional + integral + derivative response
Lastly, a fast responding system would be best fit with a floating response.
Slide 20
You may have heard that PID control is the most expensive and best solution, but there are good reasons why
floating control should be used for fast responding systems. In our next class, we will look in more detail at slow,
medium and fast responding systems, and see why each is best served by a different control response. In addition,
we will show step-by-step how the three terms of P I D function together and provide you with an interactive example
to help you understand the concepts.
Slide 21
Proportional control is a simple control method that provides a response proportional to the stimulus. It is
calculated from the difference between the actual and set-point. An integral term can be added, which is driven by
the amount of time that the measured variable has been offset from the setpoint. On a graph of actual versus setpoint
over time, it is calculated from the area under the graph. A derivative term can also be added, which is driven by the
rate of change of the measured variable. This is useful to prevent overshoots. On a graph of actual over time, it
is calculated from the slope of the line.
Finally, also we identified which response was appropriate to a slow responding system, which response was
appropriate for a moderate and fast responding system.
Slide 22
Building Controls VI-When to Use Each Response

Slide 1
Welcome to Building Control Part VI: When to Use Each Response. This is sixth course in the building controls series.
If you have not already done so, please participate in Building Controls one through five, prior to taking this course.
Slide 2
Slide 3
Understand how tuning the three terms in a P-I-D (Proportional, Integral, Derivative) response adjust the
control for particular needs
Explain why floating response is more appropriate for fast responding systems, and you will be able to
Identify specific uses for each type of response
Slide 4
Buildings vary widely in the needs that are placed upon control loops. To provide comfort to the occupants in an
efficient way, the control loops must be well designed to meet those needs.
Slide 5
In the previous class, we said that a slow responding system would be best fit with a proportional response. In this
case, proportional response is the simplest and gives good stability as well as reasonable offset.
Slide 6
So how much offset is reasonable? Well, that's defined by the needs. In some cases, plus or minus one degree is
completely fine. However, in some projects, there is a need for plus or minus one-tenth of a degree. If the system is
stable with offset, that means it has stabilized at a certain temperature above the setpoint. As long as it stabilizes with
tolerable offset, that's okay. If it stabilizes with too much offset, more work would be needed to satisfy the
requirements.
Slide 7
But why does the system stabilize with an offset? Why doesnt it stabilize at the setpoint? It has to do with how the
system is tuned. Lets see how tuning adjusts the response for different conditions. These ideas may be difficult to
grasp at first. However, if you study them, and also continue to the next class in the series, which has some useful
examples, you should readily master these concepts.
Slide 8
A system is tuned to best respond to a certain load condition. In the next class, we will see this quite clearly with an
interactive simulation, but for now, lets use an analogy. Imagine a small puppy. The owner can easily control him,
because she has more strength than he does. However, if the puppy grows into a big dog, he will now match his
owner in strength. If the owner opposes him to control him, she will be at a standstill.
Slide 9
Now, think of the owner as the system, and think of the puppy or the dog as the load on the system. This table shows
how we have tuned our example system. For every change of 0.3C, we change the airflow by 200 cubic metres per
hour. For every change of 0.5F, we change the airflow by 118 cubic feet per minute.
Slide 10
If we thought we were dealing with a higher strength load like more people or more equipment in the space - we
would have tuned the proportional system to push back harder, with more airflow for each step in temperature
change. Remember that the way a proportional system works for cooling or heating a room or zone is that for every
rise in a certain temperature, it is programmed to push back with a certain increase or decrease in air-flow.
Tuned for a light load, if the temperature increases a little, it wont push back very hard. If tuned for a heavy load,
push back will be harder with a greater increase or greater decrease in air-flow.
Slide 11
If the system is poorly tuned for a heavy load, when there is an increase in temperature, the system may only push
back a little. If it doesnt push back enough airflow, the temperature may continue to rise. The response will also
continue to rise, sending more and more air, but it will never be enough for the space. This system will never stabilize,
unless the load is reduced.
Slide 12
If the system is perfectly tuned, it will push back just enough to bring the temperature back to the setpoint to satisfy
the needs. But its difficult to accomplish this perfect tuning when the load on the system might change, depending on
how many people are in the space or how much equipment they turn on. If the system is adequately tuned, it will
push back just enough to bring the temperature downclose enough to the setpoint, with some level of offset that is
considered reasonable.
Slide 13
Let's look at our table again, and say that the setpoint is 22.8C or 73F. The steps in our table tuned with 200 CMH
or 118 CFM might be enough to bring the temperature down to 23.1C or 73.5F. It may be that there are just
enough people in the space that their body heat is identical in load to the cooling provided by the airflow. At that point,
we may be supplying just enough air to maintain the temperature, but not enough to reduce it any further. The
temperature will stabilize, even though it is not quite at set-point, but the offset of less than 1 degree is acceptable.
So, proportional response gives us this stability with reasonable offset, again, reasonable being defined by the
customer.
Slide 14
A moderate system would be best fit with a PI or a PID response. How would you choose which? Lets keep going
with temperature control as an example. Integral terms add adjustments for how long the temperature has been away
from the designed set-point.
Derivative terms deal with how fast the temperature is approaching the set-point. First, we will answer the question of
why add the D to be using PID? Then we will answer the question of why add the I, to use PI, instead of just
proportional control.
Slide 15
The main reason one would need derivative added to this calculation is if you were planning on having setpoint
adjustments. If the set-point changes suddenly to a different temperature, the control system with integral alone
would see a lot of area under the curve, and make too big a jump to compensate.
Slide 16
This problem can be addressed in two ways. With a derivative term, the control would notice if the temperature was
changing fast due to overcompensation from the integral. It would slow down the response and prevent an overshoot.
When the derivative is added, though, cost is incurred due to this control response needing a certain amount of hours
of an engineers time to tune.
A second solution would be if the control system sees a call for a set-point change, it forces a slow rise or fall of the
set-point, rather than an immediate jump. This will give the system time to compensate for each small temperature
change that is required.
Slide 17
Now lets look at why it is beneficial to add the I term to the P. What PI responses will give us for moderate responses
is the ability to decrease the gain for stability. What is gain? When you change the gain, you are changing what the
step is up and down for every given temperature change.
Slide 18
For instance, on this table, when the gain decreases, the amount of my response changes. At the first gain setting,
when the temperature increases by 0.3 degrees C, the flow rate increases by 200 cubic meters per hour (CMH).
For half-a-degree Fahrenheit, the flow rate increases by 118 cubic feet per minute (CFM). Decreasing the gain, now
the flow rate only increases by 160 cubic meters per hour (CMH) or 94 cubic feet per minute (CFM). Im no longer
making as drastic a response. This encourages stability to be reached more easily, because smaller changes allow
for more fine adjustments, instead of big steps that are likely to be at first too much, then too little.
Remember, stability is not concerned with set-point, but with a constant value reached so no mechanical equipment
is having to change. Again, mechanical stability is good because it reduces wear-and-tear on the equipment.
In summary, gain may be decreased to allow a proportional response to reach stability.
Slide 19
On this diagram, this system has achieved stability. If nothing changes, the system will continue providing the same
response, and the actual will remain offset from the setpoint. Imagine the system has stabilized at a point where it is
providing 1500 units of air per hour.
Slide 20
Lets go back a few measurement points and see the effect of introducing the integral to reduce my error or offset.
Remember, the integral component gets added to the longer that the system is away from setpoint. If I am above
setpoint, a positive amount gets added. If I am below my setpoint, a negative amount gets added. If the integral
component is positive or negative, it will be combined with the proportional component to increase or decrease the
proportional response. In this case, it is boosting the response to 1750 units of air. Now the system should get closer
to setpoint.
Slide 21
At the next measurement point, the temperature is still the same. We are not providing enough air to effect a change.
The integral term will calculate the area under the graph and notice that it is larger than before. It will increase the
integral term.
At the next measurement point, we are still not affecting the temperature. The integral term will increase again.
Slide 22
At the next measurement point, at last we are starting to see the temperature come down. But we are still above
setpoint, and so the total area under the graph has increased again. The integral term will increase again, but by a
smaller increment.
Slide 23
This will continue until the actual temperature goes below the setpoint. At this point, the integral term is based on the
combination of the positive area above the set point and the negative area under the setpoint. It will be reduced.
Depending on how the system is tuned, the proportional term may also change.
In summary, if the system were to stabilize far from the setpoint, the integral adjustment would increase over time,
and finally would push the system far enough to get closer to the setpoint.
Slide 24
Hence for moderate response systems with stable setpoints, we can decrease the gain of the proportional response
to help achieve stability, and add the integral to minimize the offset. For moderate response systems with unstable
setpoints, the derivative may be added to limit instability after setpoint changes.
The example and simulation in the next class will help this idea to become more clear to you. Now that weve
covered slow and moderate responding systems, lets move on and discuss fast responding systems.
Slide 25
If a change is a fast response, meaning, that a valid reading of true conditions affected by change a controller made
can be felt within 3-5 seconds, floating control is the best option for the sake of stability.
We already saw that floating response allows a deadband where no change is made.
This deadband helps keep the system stable, so that every little difference in the measurement doesn't make the
controller do something else.
In a fast system, even if a P I D response is used, the speed of changes occurring are so quick, that a P I D response
will never stabilize, which means adjustments will always be made to equipment, never allowing it to rest.
Slide 26
We have now discussed all of the proper ways to use different control loops for different needs. Lets address what
this means for some specific uses now. Slow responses are expected when we are controlling the temperature or
humidity in a zone. When a zone has a change in the air that is being delivered to it, it generally does no good to
check more frequently than every 1-2 minutes.
Slide 27
However changes in duct temperatures and humidity are felt more quickly. And this makes sensebecause air
travels through a duct quite quickly. It should not take any more than 20-30 seconds of a change at the air handler
before that change in temperature or humidity is realized later down the line in the duct work.
Slide 28
Duct pressure or flow changes occur even faster. Once the fan has sped up, that air pressure change travels
extremely fast. Typically, for an air system we can expect pressure to change downstream within 3-5 seconds, and in
a liquid system, we can expect pressure to change downstream in 5-7 seconds.
Slide 29
Lets summarize some of the information that we have learned in this course. Today, we learned that a system is
tuned to best respond to a certain load condition. A slow responding system would be best fit with a proportional
response. We discussed why it is beneficial to add the I term to the P. What PI responses will give us for moderate
responses is the ability to decrease the gain for stability. What is gain? When you change the gain, you are changing
what the step is up and down for every temperature change.
We also learned that a derivative term can be beneficial when there are setpoint changes. The term would detect a
rapid change in temperature and moderate the reaction from the integral term. An alternative is to change setpoints
gradually over time. Next, we saw that a floating control is more appropriate for fast responding systems, because
the deadband helps prevent a controller overworking by adjusting to every change. Lastly, we also looked at a
practical example of where each control loop response might be used.
In our next course, youll be presented with an interactive illustration of the PID response.
Slide 30
Building Controls VII

Slide 1
Welcome to Building Controls Part VII: Interactive Illustration of PID Response. This is seventh course in the building
controls series. If you have not already done so, please participate in Building Controls one through six, prior to
taking this course.
Slide 2
Slide 3
See how proportional control may oscillate and stabilize at a point above the setpoint
Show how an integral term helps a control loop to achieve a result closer to the setpoint, and you will be
able to
Illustrate how a derivative term helps to prevent overshoots
Slide 4
In the previous classes, we have explored the definition of each of the terms in a P I D controller. P for proportional
control, to deliver more or less response according to the stimulus. I for integral control, to adjust the response
depending on how long the actual has been away from the setpoint . And D for derivative control, to adjust the
response depending on the rate of change, to help to avoid overshooting the setpoint.
Now well walk through an example and use an interactive simulation to see how these terms combine in a control
loop.
Slide 5
Lets see why proportional control achieves stability with an offset. Imagine a room, where the temperature has
stabilized, and it is the same as the setpoint. The controller is providing 800 units of air per minute. Keeping in mind,
that for the purposes of this example, it doesnt matter what the units are.
Slide 6
Now a group of people enter and start having a meeting. The temperature in the room climbs, so the controller
implements its proportional rule, as shown here, in this equation:
Output = ([degrees from setpoint] * [amount of air])
We can now change the language we use in this rule to use the terms we learned in previous classes, as shown here,
in this equation:
Output = error * gain
As the temperature climbs the error, or offset, also goes up, and the gain setting will cause more air to enter the room.
Let's say the temperature climbs by 2 degrees and amount of air supplied is now 1050 units per minute.
Slide 7
If this increased air supply is enough to stop the temperature increasing any more, the system will now stabilize at
this point, even though it is offset by 2 degrees above the setpoint. The controller will go on providing 1050 units per
minute, and that will only change when some people leave the room or more people come in. If the offset of 2
degrees is acceptable, this system is adequately tuned. But if 2 degrees is not tolerable, this system will not meet
requirements in its current setup.
Slide 8
Lets go back to the point where the people first enter the room. What if we had set the gain differently, so that the 2
degree temperature increase made the controller supply 1200 units per minute? Then the additional air might be
enough to reduce the temperature in the room. When the temperature drops, the supply will also drop, according to
the tuning of the system.
Slide 9
Since the air output has been reduced, the temperature may go up again, and cause another increase in the output.
Slide 10
The output may go up and down for a while, as the temperature in the room is changed by the output, and is fed back
to the system to create a new output level. But as long as the gain is not set too high, it will find stability although
probably at a point which is not the room setpoint. This oscillation is a typical shape for a proportional response over
time.
Slide 11
How does the shape differ when we add integral and derivative terms?
These three curves illustrate the different responses from P, PI and PID control.
The red line shows a proportional response. After 30 minutes, this system is stable. However it has stabilized at an
offset of 2 degrees from the setpoint. You can see the effect of adding the integral term on the blue line. Adding the
integral term allows the system to notice that for 5 minutes the room has been above the setpoint temperature.
The integral term is added to the proportional response and pushes it closer to the setpoint. The oscillation still takes
place, with the amount of airflow changing each time there is a new measurement. You can see on the blue line that
this brings the room back down to its setpoint although this takes about 40 minutes due to the oscillations caused
by the output changing during that period. Adding the derivative term allows the system to notice when the
temperature is falling quickly and back off the output. This makes each of the oscillations smaller. The orange line
shows the setpoint is achieved in around 20 minutes.
Slide 12
In this interactive example, we simulate a conference room that has its temperature sampled for the control system
response every two minutes. We only simulate the two minutes so you dont have to sit and watch it forever. We
have reduced it down to 10 seconds. So. every second that passes, presents 12 seconds that have elapsed.
Slide 13
Now let's go through each feature of the example, then we'll go back and allow you to experiment with the interactive
feature. On the Zone Temperature Reading table, you can see the real time temperature in the room. The control
system only pulls the temperature reading every 10 seconds, or simulated 2 minutes, which you will see registered
on the graph.
Slide 14
The small graphs off to the right show you graphically the linear proportional and the summation integral responses.
Based upon the temperature, on a linear basis, the air flow will increase proportionally.
For every temperature registered, the integral component is added to a build-up graph showing you the net integral
value, because the integral is a summation of all the previous errors.
Slide 15
On the lower Proportional Control Response Loop table, for space and clarity reasons, we are only listing cubic feet
per minute calculations.
The actual response of the system can be seen in the device reading next to the VAV damper in cubic feet per
minute and in cubic meters per hour.
Slide 16
You can see at the start that the system is tuned to a baseline of 800 cubic feet per minute (CFM).
Proportionally, for every temperature step up or down, 125 cubic feet per minute of air is added or subtracted to
adjust the temperature accordingly, causing heat to be more quickly or slowly carried out of the room to decrease or
increase the temperature. For the purposes of this exercise, it really doesn't matter if you think in cubic feet per
minute, or cubic metres per hour.
Slide 17
Here, you can control the type of response that is used. At the beginning of the simulation, the system is stable, but
well see what happens when we introduce change.
Slide 18
So, 800 CFM is the baseline
The second line is the proportional response
and the third line is the integral response, which at present is disabled.
We'll talk about gain in a moment.

Slide 19
The heat elements on this side can be dragged into the conference room during the simulation. They represent heat
sources such as people, lamps, computers and so on. You can see how this affects the temperature and airflow.
Lets run this simulation with a proportional response and see what happens.
Slide 20
Lets begin by dragging two heat elements into the room.
Now, notice the temperature reading increases,
and the system responds by providing more air.
As you can see, now the system has stabilized at 74.4 F, 23.5 C.
The temperature line will stay flat. The system is tuned to provide enough air that the room wont get any hotter, but it
wont get colder either.
Now, let wait until there are six or so temperature readings showing.
This chart is showing you how much integral response has built up. It indicates how long the system has been away
from the baseline value.
It shows you how much correction the integral would have made if it was included.
Now, lets select the integral box.
(Demonstration is time elapsed and approximate.)
Slide 21
The shaded yellow area is the length of time the system has been away from setpoint.
The system will now start to respond to this, and the integral response will now be added to the proportional
response. It turns green in the table to show that it is included. The total response of the system is shown here.
Watch and see what happens.
You can experiment with restarting the simulation, and putting in different numbers of heat sources, or having the
integral component included from the start.
The gain adds a percentage on to how much the proportionaland integral if selectedresponds. The way we
have set up gain to work in this simulation is the baseline which is 800 (in this case), plus the proportional response,
and the integral responseif selectedall multiplied times the gain.
Slide 22
You can adjust the gain on the graph, and then that gain will be used for the next calculation when the control system
processes what the response should be.
If the system stabilizes or stays around a certain value with only proportional control, try increasing the gain.
Note that this system has a maximum response. In theory, we would keep on spinning the fan faster and faster and
faster to deliver more and more cold air if the heating load became too great. However, we capped the maximum fan
speed of 2500 CFM, so the VAV can deliver no more than that.
Slide 23
(To restart the animation, click on "Interactive simulation" from the Outline tab on the left of your screen.)
Feel free to experiment with different settings. When you are ready, press the forward icon to continue with the rest of
the course.
Slide 24
Study of the description of the PID control, together with the example and the interactive simulation, should allow you
to master the PID concept.
To tune such a system in real-life would require a detailed understanding of the system behavior.
Slide 25
Let's summarize some of the information that we have learned in this course.
We saw that proportional control may oscillate and stabilize at a point above the setpoint.
We saw how an integral term will notice that a control loop is oscillating above the setpoint, and will add to or
subtract from the response. This helps a control loop to achieve a result closer to the setpoint.
And finally, also we saw how a derivative term helps to adjust the response when the actual value is changing rapidly,
and help achieve setpoint more quickly.
In the next course we will look at different types of controllers and controlled devices. You can also learn about
some strategies for implementing energy efficiency with building controls in our classes on Energy Efficiency with
Building Automation.
Slide 26
Energy University
Building Envelope Metric Version Transcript
Slide 1: Building Envelope - Metric Units

Welcome to our course on the Building Envelope.
Please note: There are two versions of this course. Formulas and constants are presented in this class
using both SI and US customary units. The calculations that form the examples for this class are solved
using SI units only. To work through the examples in US Customary units, please participate in Building
Envelope (US Customary Units).
Slide 2: Welcome
For best viewing results, we recommend that you maximize your browser window now. The screen
controls allow you to navigate through the eLearning experience. Using your browser controls may disrupt
the normal play of the course.
Click attachments to download supplemental information for this course. Today we will address many
mathematical formulas, and you may find it helpful to have a calculator, a pencil, and some scrap paper on
hand while participating in this course.
Slide 3: Objectives
Define building envelope and building load and the terms thermally light and thermally heavy
Use heat flow equations to calculate transfers by transmission, solar gain, infiltration and ventilation
Identify gains from people and equipment
List and describe methods of minimizing load and losses through the building envelope
The building envelope is a critical component of any facility since it protects the building occupants and
plays a major role in regulating the indoor environment. Consisting of the building's foundation, walls, roof,
windows, partitions, ceilings and doors, the envelope controls the flow of energy between the interior and
exterior of the building. A well designed envelope allows the building to provide comfort for the occupants
and respond efficiently to heating, cooling, ventilating, and natural lighting needs.
Today we will examine the elements of the building envelope and how those elements participate in heat
transfer. We will see some examples of equations used to calculate the heat transfers of a building, and
review actions that can be taken to maximize the effectiveness of the building envelope. However, this
class is only an introduction, and a detailed treatment of all the factors taken into account by professionals
is beyond the scope of this class. Organizations such as ASHRAE and CIBSE and air conditioning
manufacturers such as TRANE and McQuay publish a variety of methods and software for professional
use.
The equations presented in the class are summarized in the downloadable file Heat Transfer Equations.
Click attachments to download this document.
We will begin our discussion with some basic definitions.
Building envelope components separate conditioned spaces from unconditioned spaces or from outside air.
For example, walls and doors between an unheated garage and a living area are part of the building
envelope; walls separating an unheated garage from the outside are not. Think of the building envelope as
the boundary separating the inside from the outside and through which heat is transferred. Areas that have
Energy University
no heating or cooling sources are considered to be outside the building envelope. A space is conditioned if
heating and/or cooling is deliberately supplied to it or is indirectly supplied through un-insulated surfaces of
water or heating equipment or through un-insulated ducts.
Slide 6: Building Envelope
So when we talk about building envelope, we are talking about all of the exterior surfaces of a building that
enclose the interior space. This includes walls, windows, doors, roof, foundation, skylights, dampers,
exposed floors or any other opening. Our goal today is to discuss the reduction of heat transfer through the
building envelope, thereby saving energy and money!
Heat always flows from a hot area to a cold area. You can add heat to a space or remove heat from a
space. Cooling a space requires removal of heat. You cannot add cold to a space.
Some analyses involve a space within a space. For example, if a building is divided into an office area and
a manufacturing space, the two areas may be maintained at different temperatures. Then we might be
concerned by heat flow through interior structures such as partitions, floors and ceilings. In todays class
we will focus on the exterior envelope.
Slide 7: Building Load
When we talk about building load we are talking about the amount of heat required to be removed, or
added, to maintain the internal temperature and humidity of a building at a predetermined set point. This is
usually measured in W (watts) although in the US Btu/hr are used.
Building load is influenced by a number of different effects.
If there is a temperature difference between inside and outside, buildings can lose or gain heat by
transmission through windows, doors, walls, roofs and floors.
Buildings can also incur solar heat gain through glass windows, glazed doors and skylights.
Typically, buildings are ventilated to provide fresh air to the occupants. Outside air may have a
different temperature and humidity. Treating that air to achieve the desired internal temperature
and humidity adds to the heating or cooling load.
Buildings are also subject to infiltration - air that enters due to leakage such as cracks in the
envelope, or doors being opened and closed. Air that enters by infiltration impacts on the internal
temperature and humidity and adds to the building load.
Buildings also gain heat and humidity from the occupants. People in a space contribute body heat
and exhaled moisture.
Heat is contributed by the equipment in the building, including lights, motors and appliances.
Lastly, if the ductwork or piping that supplies heating or cooling to the space passes through any
unconditioned space, it may experience heat gain or loss that has to be included in the total load.
Slide 8: Important Terminology
Exploring a relevant body of specialized words goes a long way in laying an important foundation in the
study of a particular subject. Review important terms related to the Building Envelope by clicking each entry
on the left.
Thermal energy transfer may refer to heat lost from or gained by a building. Heat loss takes place when
we are trying to maintain indoor temperatures that are warmer than outside. Heat gain takes place when
we are trying to maintain indoor temperatures that are cooler than outside.
Design cooling load is the amount of heat energy to be removed from a building by the HVAC equipment to
maintain the building at indoor design temperature when worst case outdoor design conditions are being
experienced.
Energy University
A building is considered thermally light if its heating and cooling requirements are proportional to the
weather driven outside temperatures. This would include most homes, retail buildings, and many
commercial office buildings.
A building is considered thermally heavy if its indoor temperature remains fairly constant in the face of
significant changes in the outdoor temperatures. This would include a facility with hot industrial processes
such as painting or curing, or buildings with a large mass and little influence from the weather.
When we talk about sensible cooling load, we are referring to the dry bulb temperature which is measured
by standard space temperature sensors. Sensible cooling load factors include:
Doors and windows
Sunlight on windows and glass doors
Exterior walls
Partitions
Plenums (which refers to the separate space provided for air circulation for heating, ventilation, and
air-conditioning, typically provided in the space between the structural ceiling and a drop-down
ceiling; may also be under a raised floor)
Roofs
Air infiltration
People
Equipment and appliances
Lights
Ductwork located in unconditioned space
Air ventilation
When we talk about latent cooling load we are talking about the wet bulb temperature, which is related to
humidity. Latent cooling load factors include:
People breathing
Air infiltration due to unconditioned outside air
Enthalpy is the energy from both sensible and latent heat. In the case of air, it includes the heat due to the
temperature, and the heat contained in any evaporated water.
To learn more about enthalpy, sensible and latent heat, please consider taking the course HVAC and the
Characteristics of Air.
Now that we have built a foundation with our definitions, lets move on and discuss some important
formulas. We will talk about losses and gains through the building envelope and overall heat loss. We will
begin by telling the story of the ACME companys building, and we will use ACMEs building throughout this
course when discussing our formulas and examples.
Slide 10: The Story of ACME
The ACME building is a small office building. The only tenant is a call center business where customers of
that tenant can call to get phone support. The space is filled with desks, personal computer equipment and
Energy University
standard office equipment. Here we see a diagram of the floor plan at ACME. Please click ATTACHMENTS
to download a copy of the document labeled FOR COURSE Acme Building Example, as you will need to
have this information readily available to do the calculations throughout this course.
How is ACMEs building affected by heat transfer? Lets see
Slide 11: External Loads
We will look at the external loads first.
When we talk about overall heat transfer, we need to account for four variables. Adding these variables
gives us the overall heat transfer. Those variables are shown here:
Heat transfer through transmission
Heat transfer through solar gain through glass,
Heat transfer due to ventilation, and
Heat transfer due to infiltration.
We will explore these four variables on the following slides.
H = Ht + Hs + Hv + Hi
Where
H = overall heat transfer (W or Btu/hr)
Ht = heat transfer due to transmission through the surfaces of walls, windows, doors, floors and more (W or
Btu/hr)
Hs = heat transfer due to solar gain through glass (W or Btu/hr)
Hv = heat transfer caused by ventilation (W or Btu/hr)
Hi = heat transfer caused by infiltration (W or Btu/hr)
Dont forget that these heat transfers could be a heat loss or a heat gain depending on the climate.
Slide 12: Heat Transfer by Transmission

First, we have the heat transfer by transmission equation. Heat transfer by transmission is heat transmitting
through different surface materials, like windows, walls, doors, or floors. Because different surface
materials are involved, we will see a few different equations here.
First, well look at the basic equation. When the answer to this equation is a positive number, the outdoor
temperature is higher than the indoor temperature, and the result is a heat gain. When the answer to this
equation is a negative number, the outdoor temperature is lower than the indoor temperature, and the result
is a heat loss.
Ht = A U (to - ti)
where
Ht = transmission heat loss (W or Btu/hr)
A = area of exposed surface (m2 or ft2)
U = heat transmission coefficient (W/m2K or Btu/hr ft2 F)
ti = inside air temperature (C or F)
to= outside air temperature (C or F)
You may also see this written as Ht = A U t. t just refers to the difference in the inside and outside air
temperatures.
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Terms like area and temperature are already familiar to us. But what about the U-value? Lets look at that
more closely.
Slide 13: U-Value
When heat passes through a wall, it has to pass through the material that the wall is made of. Naturally,
the type of material has an effect on the heat transfer. Heat will pass through a wooden wall at a different
rate than a paper wall or a concrete wall. The thickness of the wall is also a factor. The heat also has to
pass through a boundary between the surface of the wall and the adjacent air. This boundary also has an
effect on the heat flow. You can think of it as a surface film of air; one on the inside of the wall and one on
the outside of the wall.
U is the Overall Coefficient of Heat Transmission, which represents the rate of heat flow through a unit area
of building envelope material or assembly, including its boundary films, per unit of temperature difference
between the inside and the outside air. The term is commonly called the "U-value". The Overall Coefficient
of Heat Transmission is expressed in watts per square meter per Kelvin (W/m2K) or Btu/hr ft2 F . The U
value will change based on the type of material we are addressing. For example, the U value for a window
will be different than the U value of a door or a wall. U values can be found in widely available tables for
common building materials.
Slide 14: U-Value
Here we can see an example chart defining building elements and heat transfer coefficients. If you wish,
you can click ATTACHMENTS to download a copy of this chart. The lower the U value, the more insulating
the material is. This means we want to aim for a very low U value whenever possible.
Slide 15: U-Value
Curious as to how the U value is calculated? You can see that here:
U = 1 / (1 / fi + x1 / k1 + x2 / k2+ x3 / k3 +..+ 1 / fo)
where
fi = surface conductance for inside wall (W/m2K or Btu/hr ft2 F)
x = thickness of material (m or ft)
k = thermal conductivity of the material (W/m K or Btu/hr ft F)
fo= surface conductance for outside wall (W/m2K or Btu/hr ft2 F)
where the surface conductance and thermal conductivities are found in common lookup tables.
In practice, U-values are calculated and modeled by independent laboratories using computer programs
that account for each material. Then a physical test is performed to confirm the model.
Slide 16: Example Calculation Simple Wall
Now lets try to apply this equation to the ACME case study, by calculating the heat transfer through one of
the side walls of the building, with no doors or windows.
To calculate the heat loss, we need to know the area of the wall. We need to know the U-value, which we
will assume is 0.57 watts per square meter per Kelvin (W/m2K) or 0.1 BTU per hour per square foot per
degrees Fahrenheit (Btu/hr ft2 F). We also need to know the outdoor temperature, and the indoor
temperature. First, try to calculate the answer yourself. When you have finished, click the Play button to
advance to the next slide to check your answer. You can also find all these calculations in the file that you
downloaded.
Slide 17: Example Calculation - Simple Wall (metric)
Now we will calculate the heat transmitted through the far wall. Here we see the metric version of the
transmission equation.
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Ht = (7.6*4.6)* 0.57 * (35-22.2)

Ht = 34.96 * 0.57 * 12.8
Ht = 255.1 W or 0.255 kW
This means that for every hour that the outdoor air temperature is constant, this wall will allow 255
watt-hours to flow through it into the conditioned space.
Click the Solution tab if you wish to view the detailed steps used to solve the equation.
Here we see the detailed steps to solve the equation.
Slide 18: Example Calculation Wall & Door
Lets work through another example from the ACME building. Take the right-facing wall with the door. This
surface is composed of two different materials: the wall and the door. Therefore, heat transmission must be
calculated separately for each. The area of the door must be subtracted from the area of the entire wall to
properly account for the surface area of the wall material. Again, assume that the U-value of the wall is 0.57
W/m2K or 0.1 Btu/ hr ft2 F and the U-value of the door is 3.69 W/m2K or 0.65 Btu/ hr ft2 F.
Slide 19: Example Calculation - Wall & Door (metric)
Here we see the metric version of the equation.
Ht = (((7.6*4.6) - (0.9*2.0)) * 0.57 * (35-22.2)) + ((0.9*2.0) * 3.69 * (35-22.2))
Ht = ((34.96-1.8) * 0.57 * 12.8) + (1.8 * 3.69 * 12.8)
Ht = (33.16 * 0.57 * 12.8) + (1.8 * 3.69 * 12.8)
Ht = 241.9 + 85.0
Ht = 326.9W or 0.327 kW
Slide 20: R-Value
The transmission equation that we have been using can be expressed another way.
You may have heard that insulation has an R value associated with it. Well, R is the resistance to heat flow
through a material and is traditionally measured in units of square meters Kelvin per watt (m2K/W) or hours
square foot degrees Fahrenheit per BTU (hr ft2 F/Btu). The relationship of R to U is quite simple. We see
that here.
U = 1/R = 1/(R1 + R2)
R-values are sometimes given without units, which can be misleading, because an R-value of 3.5 in US
customary units is completely different from the same value in SI units. Make certain the R-value you are
using is in the proper units, whether they be SI units or US Customary.
The conversion of R-value to U-value is especially helpful when U-value is not available. This issue comes
up many times when dealing with materials that do not have a standard thickness or composition, such as
concrete and insulation. You will again need to refer to a reference table for R-values.
The R-value can be approximated for materials using this equation.
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R = t/K
where
t = thickness of the material (m or ft)
K = thermal conductivity of the material (W /m K or Btu /hr ft F)
Thermal conductivity values can be found in reference tables. Click ATTACHMENTS to download a
sample.
Sometimes, thermal conductance is published for material of a given thickness. Then you can obtain R
using this equation
R = 1/C
where
C = thermal conductance of the material in W / m2K or BTU / hr ft2 F
Slide 21: R-Value
Another insulating aspect is surface air film resistance. Recall that the surface air film resistance refers to
the layer of still air near the surface of a material which provides additional insulation against heat transfer.
In conditioned rooms there is usually significant air movement and the thickness of the air layer close to the
wall is very thin. This means that the air layer and thermal resistance of that layer on the inside of the
conditioned room is sometimes ignored. This may also be true for the outside of the wall. However, the
thermal conductivity of the air layer should be taken into account if there is no air movement. Surface film
can be accounted for using the same method as any other surface. Simply add the R-value of the surface
film to the overall R-value of the surface. Note that U-values already include the value of surface films.
Slide 22: Example Calculation Composite Wall & Windows
Lets work through an example where we do not know the U value but we do know the composition of the
material.
Here is our problem
The left facing wall of the ACME building contains two windows with a known U value of 3.97 W/m2K or 0.7
Btu/hr ft2 F. The wall consists of 25mm or 1 inch ply wood, 90 mm or 3 inch of fiberglass insulation and
12.5 mm or inch gypsum board. The gypsum board has conductivity of 0.16 W /m K or 0.095 Btu / hr ft
F. Include surface films for the composite wall surface assuming it is summer. How much heat is gained
through the wall?
Slide 23: Example Calculation - Composite Wall & Windows (metric)
Lets work through the metric version of the equation.
First we find the R value of the gypsum. We have the thickness in millimeters, but the conductivity is given
per meter. So we must express the thickness in millimeters before calculating. 12.5 mm is 0.0125 m.
Now we can calculate the R-value.
Rgypsum = 0.0125/0.16
Rgypsum = 0.078 m2K / W
Then we calculate the U value of the wall
Uwall = 1/(0.04 + 0.12 + 0.35 + 90/25*0.71 + 0.078)
Uwall = 1/(0.04 + 0.12 + 0.35 + 2.556 + 0.078)
Uwall = 1/(3.144)
Uwall = 0.318 W / m2K
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Then we find the heat transfer through the wall without the area of the windows
Htwall = (7.6*4.6-2*(0.6*0.9)) * 0.318 * (35-22.2)
Htwall = 33.88 * 0.318 * 12.8
Htwall = 137.9 W or 0.138 kW
Then we find the heat transfer through the area of the windows
Htwindow = 2 * (0.6*0.9) * 3.97 * (35-22.2)
Htwindow = 2 * 0.54 * 3.97 * 12.8
Htwindow = 54.9 W or 0.0549 kW
Finally we calculate the total
Httotal = 137.9 + 54.9
Httotal = 192.8 W or 0.193 kW
Click Step 5 if you wish to view the detailed steps used to solve the equation.
Slide 24: Foundations
For walls and floors that are against dirt or earth, there are some special rules.
Floors that are directly on the earth (slab on grade) and walls that are 30 cm or one foot below the surface
transmit little or no heat to the conditioned space, therefore no heat gain exists.
Heat loss from a heated space through the foundation does exist.
Equations that rely on ground temperature difference should be modified with the earth temperature, like we
see here:
t = (te - ti)
Where te = earth temperature (C or F)
Some authorities publish tables giving the heat loss depending on the length of the foundation edge and the
outdoor temperature (not earth temperature, since these foundations are at the surface). These factors
include losses downward through the inner area of the slab and around the edges.
Based on the values in these tables we would calculate the heat loss as follows
Hfloor = L * U
where
Hfloor = transmission heat loss (W or Btu/hr)
L = length of exposed surface boundary (m or ft)
U = linear heat transmission coefficient (W/m or Btu/hr ft)
Lets calculate the winter heat loss through the ACME floor. Assume the floor is made of poured concrete.
The R-value of 12 inches of this concrete is 0.98 m2K/W or 5.6 hr ft2 F/BTU. Assume the winter
temperature is -20C or -5F
Slide 25: Example Calculation - Floor (metric)
Here we see the metric calculation for the floor.
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The closest R-value in the table is 0.88. From the row for -20C we see the linear U-value is 38.
Hfloor
Hfloor
Hfloor
Hfloor
W = L m * U W/m
W = [7.6 m + 7.6 m + 7.6 m + 7.6 m] * 38 W/m
W = 30.4 m * 38 W/m
W = 1155.2 W = 1.2 kW
Notice that the value should be treated as a negative since the earth is cooler than the indoor air
temperature. This is a surface where the building is not absorbing heat. Instead, the earth is cooling the
building.
Slide 27: Daily Range Adjustments to the Temperature Difference
Professionals who are involved in calculating heat load for buildings use versions of these equations that
are slightly modified. The temperature difference between indoors and outdoors will vary depending on
the time of day, and so an adjustment may be made to take account of the daily range.
Slide 28: Roofs, Walls & Radiant Heat
The transmission gain through the exposed walls, doors and roof has a component based on conduction
heat transfer but also radiation heat transfer. Sometimes the temperature difference used to calculate
cooling loads includes an adjustment for a temperature time lag due to the storage of the radiant portion of
the heat. Since rooftops are often exposed to more direct sunlight than walls, the adjustments for roofs
can be significant. The adjustments made often follow fairly simple formulas but are outside the scope of
this class.
For the purposes of our ACME case study, assume a gain of 8,800 W or 30,000 BTU / hr through the roof.
Slide 29: Transmission Total - Metric
Now that we have calculated the heat of transmission for each surface of our building, we can combine
them to calculate the total heat of transmission for the building.
From our examples, we know the values of the back or far wall, right wall, left wall, the roof and the floor.
From the diagram, we can see that the front or near wall is solid so lets assume it has the same value as the
back or far wall.
We are analyzing the building using summer temperatures so the heat transfer through the floor is assumed
to be zero.
Here is our solution.
Ht = 0.255*2 + 0.327 + 0.0.193 + 8.8 + 0
Ht = 9.83 kW
Slide 30: Solar Gain Through Glass
Sunlight on windows, skylights and glazed doors can contribute considerable solar heat gain to a building.
Here we see an equation for solar heat gain.
Hs = A * SF * SC
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where
Hs = solar heat gain through glass (W or BTU/hr)
A = area of glass (m2 or ft2)
SF = solar factor (W/m2 or Btu/hr ft2)
SC = shading coefficient
Solar factor is the amount of heat per unit area entering the conditioned space through the glass, minus the
percent of shading done by the structure of the glass.
Shading coefficient is a factor of different types of glass and shading which accounts for the amount of
radiation shaded from the conditioned space.
Solar factors depend on the latitude of the building, the direction the glass is facing, and whether or not the
glass has inside shading. The values for shaded windows are often higher than those for unshaded
windows, due to the storage of radiant heat.
Shading coefficients depend on whether the glass is single or double glazed, reflective coatings or tints in
the glass, and the type of shading and material used, for example, draperies, venetian blinds, roller shades,
in dark, light or heat absorbing materials. Exterior overhangs must also be taken into account. A shading
coefficient of 0 means it passes no heat. A shading coefficient of 1 means it does nothing to reduce heat
transfer.
Lets consider the solar gain through the windows at ACME. Assume the building is at a latitude of 40N
and the windows face due south. They are single glazed, bronze tinted heat absorbing glass and shaded
by a light venetian blind.
Use a solar factor of 391 W / m2 or 124 BTU / hr ft2 (corresponding to noon) and a shading coefficient of
0.52.
Try this calculation and click when you are ready to look at the solution.
Slide 32: Example Calculation - Solar Gain (Metric)
Heres the metric calculation.
Hs = A * SF * SC
Hs = (2 * 0.6 * 0.9) * 391 * 0.52
Hs = 1.08 * 391 * 0.52
Hs = 219.6 W = 0.2 kW
Slide 33: Improvements
Now that we understand how to calculate the heat of transmission, it is easy to deduce that as less heat is
transmitted, mechanical heating and cooling requirements are reduced. So, how do we reduce
transmission? We reduce it through things like insulation, new windows, or window treatments.
Shell improvements, like insulation, are most critical for those buildings that have large exterior surface
areas in comparison to internal volume. Substantially higher energy bills in the winter and summer months
indicate weather dependence and shell insulation may be cost effective for these buildings. Openings in the
building envelope can be sealed and insulation can be added to walls, floors, ceiling and attics to reduce
heat transfer, and make for a more comfortable environment. In commercial buildings where the
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unconditioned attic space is used as a return air plenum, the addition of rigid insulation during a re-roofing
can help maintain return air temperatures thus saving energy.
In most cases the installation of new replacement windows is often too expensive to justify on energy
savings alone. Justification may be easier for those buildings with large single-pane windows which face the
path of the sun, or in the case where a tall building's windows are in poor condition.
Window treatments shades, films, screens can be beneficial for large glass windows facing the path of
the sun. This is especially true in the summer in warmer climates. Window treatments to reduce solar gain
can pay off rapidly but this depends on the treatment used. Aesthetics must also be considered when
choosing a window treatment.
Slide 34: Ventilation
Our next topic is ventilation. When we talk about ventilation, we are addressing the heat transfers that take
place as we ventilate a space. You always have to bring in outdoor air so that you are maintaining a minimal
level of indoor air quality. Often, it is also desirable to maintain slightly positive building pressure to ensure
doors and elevators operate properly. Buildings that have a strongly negative building pressure suck in
outdoor air, which can make it difficult to open doors, and cause drafts and hot or humid spots. However,
in some countries such as the Nordic region a slightly negative building pressure has advantages. In cold
climates, positive building pressure may drive evaporated moisture from inside the building into the walls.
The walls are colder than the building interior, so the moisture will condense, which can encourage growth
of mold. Slightly negative building pressure avoids this.
Because the outdoor air temperature is rarely the temperature we need, air delivered by ventilation requires
energy to condition it! Its important not to over-ventilate and to recover heat from exhaust air whenever
possible. For more information on ventilation, please consider participating in Energy Efficiency with
Building Automation and our HVAC classes.
The amount of heat consumed by ventilation depends on the volume of air and the difference in
temperature and humidity. Sensible heat calculations, such as the ones we saw for transmission, rely on
dry-bulb temperature. If we include latent heat, we need to know the enthalpy of the air, which can be
found from the dry-bulb and wet-bulb temperature and a psychrometric chart.
The volume of air required for ventilation can be determined in a number of ways:
Sometimes there is a requirement for the amount of air per person for example, cubic feet per minute (CFM)
per person or cubic metres per hour (CMH) per person
In some cases, the amount of air per unit area of floor space is specified, such as CFM per square foot or
CMH per square metre
Some building specifications require a certain number of air changes per hour. Then, the amount of air
can be calculated from the volume of the building.
For this class, we will assume that either you know, or are able to calculate the volume of air supplied for
ventilation. You may see other formulas that directly incorporate terms such as air changes, but we will not
cover those here.
Slide 36: Sensible Heat Loss Due to Ventilation - Metric
The sensible heat loss due to ventilation without heat recovery can be expressed as this:
Hv = cp (1/3600) qv (to - ti)
where
Hv = ventilation heat transfer (W)
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cp = specific heat capacity of air (J/kg K)

= density of air (kg/m3)
1/3600 = a value to convert from airflow per hour into joules per second, to obtain the result in watts
qv = air volume flow (m3/hr)
ti = inside air temperature (C)
to = outside air temperature (C)
Specific heat capacity changes with altitude; therefore, at high altitudes, this value will need to be adjusted
but in most cases a constant of 1005 J/kg K can be used. Also, density changes with air temperature, but
we will use 1.20 kg/m3. If the building will operate in temperature extremes, it might be prudent to adjust the
density value used in those calculations.
Slide 37: Heat Recovery
If there is a heat recovery system, multiply the equation times the efficiency of the heat recovery system.
We see that here.
Hvfinal = Hv (1 - )
where
= heat recovery efficiency (%)
A heat recovery efficiency of approximately 50% is common for a normal cross flow heat exchanger. For a
rotating heat exchanger the efficiency may exceed 80%. Note that this equations will give you the
instantaneous heat recovery at the time of the heat flow. Over the period of the year the total recovered
heat may be different, for example due to limits during cold weather to prevent ice building up on exhaust air
side.
Heat recovery systems are commonly found in poorly maintained condition during energy audits. Therefore,
you need to investigate how the heat recovery system is running and verify that it is still operating at that
efficiency.
Slide 38: Example Calculation Ventilation (Sensible Heat)
Ventilation code varies from region to region so for our example, let us assume that code for our example
building requires ventilation of 17 m3/person/hr or 10 ft3/person/min. Our building has 10 occupants. Lets
calculate the sensible heat of ventilation for this space without a heat recovery system.
Slide 39: Example Calculation - Ventilation (metric)
Hv = cp (1/3600) qv (to - ti)
Hv = 1005 * 1.20 * (1/3600) * (17*10) * (35-22.2)
Hv = 1005 * 1.20 * (1/3600) * (170) * (12.8)
Hv = 729 W or 0.73 kW
Slide 40: Infiltration
Infiltration is the uncontrolled movement of unconditioned air into a building through the building envelope.
Its an important topic to cover, as infiltration is something that we want to try our best to mitigate; it costs
money to run HVAC equipment and we want to try to save as much money and energy as we can!
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All buildings leak air. The unconditioned air comes in through doors, or cracks.
What is the impact of infiltration? It can lead to:
Condensation
Inconsistent interior temperatures, for example, if wind hits one side of the building, it can actually create
different temperature zones across the building space
Excessive humidity, because the air is not entering the building through an air handler, it has not been
dehumidified and therefore can contain more humidity than desired
Increased load on HVAC equipment
Indoor Air Quality (IAQ) problems, this can be a problem because it can lead to an environment where micro
organisms flourish
How do we measure air leakage? Lets talk about that next!
Building air leakage is usually measured by pressurizing a building to a given pressure differential and
measuring the flow rate needed to maintain that differential.
There are machines made up of large fans on diesel generators that measure infiltration by blowing air at a
variable rate into the building.
There are electrically powered measuring devices. Here we see one that is placed in front of a double door.
And there are even smaller units that can even measure the infiltration in smaller spaces like your home.
Sometimes, infiltration is derived by estimating the linear feet of cracks in the building, or estimating the
number of times doors are opened per hour.
Once we have an estimate or a measurement of the volume of air that enters due to infiltration, we can use
exactly the same formula that we used for ventilation. However, that formula only applied to sensible heat.
If the air outside is humid, we must also take into account the latent heat. So lets look at that now.
Images supplied courtesy of Infiltec and Building Sciences Ltd
Slide 42: Sensible & Latent Heat Loss for Ventilation or Infiltration - Metric
Here we see the heat transfer equation for ventilation or infiltration including both sensible and latent heat.
Because we are including latent heat, now we need to use enthalpy rather than temperature.
Hi = (1/3600) qv (ho - hi)
where
Hi = heat transfer by infiltration (W)
= density of air (kg/m3)
1/3600 = a value to convert from airflow per hour into joules per second, to obtain the result in watts
qv = air volume flow (m3/hr)
hi = inside air enthalpy (J / kg)
ho = outside air enthalpy (J / kg)
Slide 43: Example Calculation - Sensible & Latent Heat Loss for Ventilation or Infiltration
For our building, assume that infiltration has been measured at 20 m3/hr and 12 ft3/m.
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The outside enthalpy is 100 kJ/kg or 48 BTU/lb.

The inside enthalpy is 43 kJ/kg or 17 BTU/lb.
Slide 44: Sensible & Latent Heat Loss for Ventilation or Infiltration (metric)
Here is the metric version of the equation.
Hi = * (1/3600) qv (ho - hi)
Hi = 1.20 * (1/3600) * 20 * (100,000 40,000)
Hi = 1.20 * (1/3600) * 20 * 60,000
Hi =400 W or 0.4 kW
Slide 45: Infiltration Improvements
Next, lets discuss some infiltration reduction methods.
Create slight positive pressurization, so all the air that is in the building is moving outward and all the air that
is coming into the building is conditioned air (provided that you do not incur condensation problems by
driving moist air into unconditioned wall spaces).
Install new windows
Replace door sweeps, creating a better seal
Caulk holes or gaps in the building envelope
Control outside air dampers, keeping these closed when not in use
Control exhaust fans: turn these off at night so that you dont draw in heat and outside air when the HVAC
system is not running.
Look at door vestibules, and
Utilize air barriers, which prevent air from getting through porous materials like cinder block.
Slide 46: Internal Loads - People
There are two other factors that are considered sources of heat in a building. They are heat load from
people and the heat load from equipment.
People add quite a bit of heat to a space. This is something that can change based on the amount of people
and the activity in the space. For example, 117 W or 400 BTU/hr per person might be for a typical office
building, but in the case of a gym, that number would increase. BTUs/hr will need to be adjusted based on
the activity in the space. These values are typically found in tables as they are very difficult to accurately
measure. For most spaces where the majority of the occupants are sedentary, use the values we provided
here (117 W or 400 BTU/hr ) and multiply by the average number of people in the space.
In our example, our space has 10 occupants so the heat from that source would be:
Hp = 10 * 117 = 1170 W or 1.170 kW
Slide 48: Internal Loads - Equipment
Most equipment located in a space will convert much of its power draw to heat. Tables of typical heat gains
are available for different types of lighting and equipment.
Our example building has 1000 W or 1 kW of heat gain due to equipment. In US units, this would be 3,412
BTU/hr.
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To reduce heat load from equipment, use efficient lighting, recover heat from large industrial machines or
incinerators during cold periods, and ensure that heat from large industrial machines and incinerators is
exhausted during hot periods. Avoid mixing it with the conditioned air.
Slide 49: Pipe & Duct Heat Transfer
Ducts and pipes should be insulated to minimize heat transfers. Professionals estimate a factor for heat
transfers through ducts, but this is outside the scope of this class.
Slide 50: Total Heat Load
Lets review all the heat transfers that we have looked at.
We looked at external loads:
Heat transfer by transmission through the windows, doors, walls, roofs and floors
Solar gain through glass windows, glazed doors and skylights
Heat transfers from ventilation
Heat transfers from infiltration
We also looked at internal loads
Heat transfers from people
Heat transfers from equipment
And lastly duct heat transfers, although we did not provide any values for it
Here we see the overall heat transfer of the ACME building:
H = Ht + Hs + Hv + Hi + Hp + He+ Hd
where
H = overall heat load (W or Btu/hr)
Ht = transmission (W or Btu/hr)
Hv = solar gain (W or Btu/hr)
Hv = ventilation (W or Btu/hr)
Hi = infiltration (W or Btu/hr)
Hp = people (W or Btu/hr)
He = equipment (W or Btu/hr)
Hd = ducts (W or Btu/hr)
This will calculate your total building load, and you need to be sure that your HVAC equipment is sized
appropriately using this figure. This load needs to be less than or equal to the sizing of your HVAC
equipment. You typically want to calculate this as a worst case scenario. For example, use the highest
outdoor air temperature on the most populated day of the year - with the highest number of people
occupying the building space. This will ensure the system can maintain comfort during maximum
occupancy. However, for the sake of efficiency, your system may perform best if it is made up of a few
small units rather than one large one. This ensures that oversized equipment is not running during times of
lower temperatures or occupancy.
We will simply add all of the values we have calculated so far. However, recall that for ventilation, we only
calculated the sensible heat. Since there is a humidity difference, we should take into account the latent
heat as well. So we have recalculated the ventilation heat transfer using the formula for sensible and latent
heat. You can find this in the ACME download if you wish to review it.
Slide 52: Total Heat Load - Metric
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Htotal = Ht + Hs + Hv + Hi + Hp + He
Htotal = 9.830 + 0.220 + 3.400 + 0.400 + 1.170 + 1.000
Htotal = 16.020 kW at the conditions specified in the example
Slide 53: Using Heat Load Information
Having done all this work to determine the heat load of the building, how can you use this information?
For the hottest and coldest times of year, you can check if your HVAC system is sized appropriately. If
your building is undergoing a change - such as installation of new production equipment - you can check if
your HVAC system will still be able to cope.
Slide 54: About This Courses Test
Please be sure to click attachments to download a copy of the document labeled FOR TEST - ACME
Building Diagram, as you will need this document in order to answer the questions on the quiz.
Slide 55: Summary
Let's take a moment to summarize some of the information that we have discussed in this course.
Heat can be transferred to a building from outdoors through transmission, solar gain and infiltration and
ventilation and from indoors by people and equipment. All must be properly balanced out by HVAC
equipment in order to maintain comfortable environments for occupants.
Loads can result from sensible heat flows, which are based on temperature differences, or on latent heat
flows, which can take into account the energy contained in moisture that has evaporated.
A thermally light building has a load that varies directly with the weather. A thermally heavy building is not
affected much by weather.
To minimize the cost of maintaining comfort in a building, improvement and maintenance of the building
envelope is required, particularly:
Insulation
Repairs to openings
Window treatments including shades, films and screens

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Building Envelope US Units Transcript
Slide 1: Building Envelope - US Customary Units

Welcome to our course on the Building Envelope.
Please note: There are two versions of this course. Formulas and constants are presented in this class
using both SI and US customary units. The calculations that form the examples for this class are solved
using US units only. To work through the examples in SI units, please participate in Building Envelope
(Metric Units).
Slide 2: Welcome
Click attachments to download supplemental information for this course. Today we will address many
mathematical formulas, and you may find it helpful to have a calculator, a pencil, and some scrap paper on
hand while participating in this course.
Slide 3: Objectives
Define building envelope and building load and the terms thermally light and thermally heavy
Use heat flow equations to calculate transfers by transmission, solar gain, infiltration and ventilation
Identify gains from people and equipment
List and describe methods of minimizing load and losses through the building envelope
The building envelope is a critical component of any facility since it protects the building occupants and
plays a major role in regulating the indoor environment. Consisting of the building's foundation, walls, roof,
windows, partitions, ceilings and doors, the envelope controls the flow of energy between the interior and
exterior of the building. A well designed envelope allows the building to provide comfort for the occupants
and respond efficiently to heating, cooling, ventilating, and natural lighting needs.
Today we will examine the elements of the building envelope and how those elements participate in heat
transfer. We will see some examples of equations used to calculate the heat transfers of a building, and
review actions that can be taken to maximize the effectiveness of the building envelope. However, this
class is only an introduction, and a detailed treatment of all the factors taken into account by professionals
is beyond the scope of this class. Organizations such as ASHRAE and CIBSE and air conditioning
manufacturers such as TRANE and McQuay publish a variety of methods and software for professional
use.
The equations presented in the class are summarized in the downloadable file Heat Transfer Equations.
Click attachments to download this document.
We will begin our discussion with some basic definitions.
Building envelope components separate conditioned spaces from unconditioned spaces or from outside air.
For example, walls and doors between an unheated garage and a living area are part of the building
envelope; walls separating an unheated garage from the outside are not. Think of the building envelope as
the boundary separating the inside from the outside and through which heat is transferred. Areas that have
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no heating or cooling sources are considered to be outside the building envelope. A space is conditioned if
heating and/or cooling is deliberately supplied to it or is indirectly supplied through un-insulated surfaces of
water or heating equipment or through un-insulated ducts.
Slide 6: Building Envelope
So when we talk about building envelope, we are talking about all of the exterior surfaces of a building that
enclose the interior space. This includes walls, windows, doors, roof, foundation, skylights, dampers,
exposed floors or any other opening. Our goal today is to discuss the reduction of heat transfer through the
building envelope, thereby saving energy and money!
Heat always flows from a hot area to a cold area. You can add heat to a space or remove heat from a
space. Cooling a space requires removal of heat. You cannot add cold to a space.
Slide 7: Building Load
When we talk about building load we are talking about the amount of heat required to be removed, or
added, to maintain the internal temperature and humidity of a building at a predetermined set point. This is
usually measured in W (watts) although in the US Btu/hr are used.
Building load is influenced by a number of different effects.
If there is a temperature difference between inside and outside, buildings can lose or gain heat by
transmission through windows, doors, walls, roofs and floors.
Buildings can also incur solar heat gain through glass windows, glazed doors and skylights.
Typically, buildings are ventilated to provide fresh air to the occupants. Outside air may have a
different temperature and humidity. Treating that air to achieve the desired internal temperature
and humidity adds to the heating or cooling load.
Buildings are also subject to infiltration - air that enters due to leakage such as cracks in the
envelope, or doors being opened and closed. Air that enters by infiltration impacts on the internal
temperature and humidity and adds to the building load.
Buildings also gain heat and humidity from the occupants. People in a space contribute body heat
and exhaled moisture.
Heat is contributed by the equipment in the building, including lights, motors and appliances.
Lastly, if the ductwork or piping that supplies heating or cooling to the space passes through any
unconditioned space, it may experience heat gain or loss that has to be included in the total load.
Exploring a relevant body of specialized words goes a long way in laying an important foundation in the
study of a particular subject. Review important terms related to the Building Envelope by clicking each entry
on the left.
Thermal energy transfer may refer to heat lost from or gained by a building. Heat loss takes place when
we are trying to maintain indoor temperatures that are warmer than outside. Heat gain takes place when
we are trying to maintain indoor temperatures that are cooler than outside.
Design cooling load is the amount of heat energy to be removed from a building by the HVAC equipment to
maintain the building at indoor design temperature when worst case outdoor design conditions are being
experienced.
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A building is considered thermally light if its heating and cooling requirements are proportional to the
weather driven outside temperatures. This would include most homes, retail buildings, and many
commercial office buildings.
A building is considered thermally heavy if its indoor temperature remains fairly constant in the face of
significant changes in the outdoor temperatures. This would include a facility with hot industrial processes
such as painting or curing, or buildings with a large mass and little influence from the weather.
When we talk about sensible cooling load, we are referring to the dry bulb temperature which is measured
by standard space temperature sensors. Sensible cooling load factors include:
Doors and windows
Sunlight on windows and glass doors
Exterior walls
Partitions
Plenums (which refers to the separate space provided for air circulation for heating, ventilation, and
air-conditioning, typically provided in the space between the structural ceiling and a drop-down
ceiling; may also be under a raised floor)
Roofs
Air infiltration
People
Lights
Ductwork located in unconditioned space
Air ventilation
When we talk about latent cooling load we are talking about the wet bulb temperature, which is related to
humidity. Latent cooling load factors include:
People breathing
Air infiltration due to unconditioned outside air
Enthalpy is the energy from both sensible and latent heat. In the case of air, it includes the heat due to the
temperature, and the heat contained in any evaporated water.
To learn more about enthalpy, sensible and latent heat, please consider taking the course HVAC and the
Now that we have built a foundation with our definitions, lets move on and discuss some important
formulas. We will talk about losses and gains through the building envelope and overall heat loss. We will
begin by telling the story of the ACME companys building, and we will use ACMEs building throughout this
course when discussing our formulas and examples.
Slide 10: The Story of ACME
The ACME building is a small office building. The only tenant is a call center business where customers of
that tenant can call to get phone support. The space is filled with desks, personal computer equipment and
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standard office equipment. Here we see a diagram of the floor plan at ACME. Please click ATTACHMENTS
to download a copy of the document labeled FOR COURSE Acme Building Example, as you will need to
have this information readily available to do the calculations throughout this course.
How is ACMEs building affected by heat transfer? Lets see
Slide 11: External Loads
We will look at the external loads first.
When we talk about overall heat transfer, we need to account for four variables. Adding these variables
gives us the overall heat transfer. Those variables are shown here:
Heat transfer through transmission
Heat transfer through solar gain through glass,
Heat transfer due to ventilation, and
Heat transfer due to infiltration.
We will explore these four variables on the following slides.
H = Ht + Hs + Hv + Hi
Where
H = overall heat transfer (W or Btu/hr)
Ht = heat transfer due to transmission through the surfaces of walls, windows, doors, floors and more (W or
Btu/hr)
Hs = heat transfer due to solar gain through glass (W or Btu/hr)
Hv = heat transfer caused by ventilation (W or Btu/hr)
Hi = heat transfer caused by infiltration (W or Btu/hr)
Dont forget that these heat transfers could be a heat loss or a heat gain depending on the climate.
Slide 12: Heat Transfer by Transmission

First, we have the heat transfer by transmission equation. Heat transfer by transmission is heat transmitting
through different surface materials, like windows, walls, doors, or floors. Because different surface
materials are involved, we will see a few different equations here.
First, well look at the basic equation. When the answer to this equation is a positive number, the outdoor
temperature is higher than the indoor temperature, and the result is a heat gain. When the answer to this
equation is a negative number, the outdoor temperature is lower than the indoor temperature, and the result
is a heat loss.
Ht = A U (to - ti)
where
Ht = transmission heat loss (W or Btu/hr)
A = area of exposed surface (m2 or ft2)
U = heat transmission coefficient (W/m2K or Btu/hr ft2 F)
ti = inside air temperature (C or F)
to= outside air temperature (C or F)
You may also see this written as Ht = A U t. t just refers to the difference in the inside and outside air
temperatures.
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Terms like area and temperature are already familiar to us. But what about the U-value? Lets look at that
more closely.
Slide 13: U-Value
When heat passes through a wall, it has to pass through the material that the wall is made of. Naturally,
the type of material has an effect on the heat transfer. Heat will pass through a wooden wall at a different
rate than a paper wall or a concrete wall. The thickness of the wall is also a factor. The heat also has to
pass through a boundary between the surface of the wall and the adjacent air. This boundary also has an
effect on the heat flow. You can think of it as a surface film of air; one on the inside of the wall and one on
the outside of the wall.
U is the Overall Coefficient of Heat Transmission, which represents the rate of heat flow through a unit area
of building envelope material or assembly, including its boundary films, per unit of temperature difference
between the inside and the outside air. The term is commonly called the "U-value". The Overall Coefficient
of Heat Transmission is expressed in watts per square meter per Kelvin (W/m2K) or Btu/hr ft2 F . The U
value will change based on the type of material we are addressing. For example, the U value for a window
will be different than the U value of a door or a wall. U values can be found in widely available tables for
common building materials.
Slide 14: U-Value
Here we can see an example chart defining building elements and heat transfer coefficients. If you wish,
you can click ATTACHMENTS to download a copy of this chart. The lower the U value, the more insulating
the material is. This means we want to aim for a very low U value whenever possible.
Slide 15: U-Value
Curious as to how the U value is calculated? You can see that here:
U = 1 / (1 / fi + x1 / k1 + x2 / k2+ x3 / k3 +..+ 1 / fo)
where
fi = surface conductance for inside wall (W/m2K or Btu/hr ft2 F)
x = thickness of material (m or ft)
k = thermal conductivity of the material (W/m K or Btu/hr ft F)
fo= surface conductance for outside wall (W/m2K or Btu/hr ft2 F)
where the surface conductance and thermal conductivities are found in common lookup tables.
In practice, U-values are calculated and modeled by independent laboratories using computer programs
that account for each material. Then a physical test is performed to confirm the model.
Slide 16: Example Calculation Simple Wall
Now lets try to apply this equation to the ACME case study, by calculating the heat transfer through one of
the side walls of the building, with no doors or windows.
To calculate the heat loss, we need to know the area of the wall. We need to know the U-value, which we
will assume is 0.57 watts per square meter per Kelvin (W/m2K) or 0.1 BTU per hour per square foot per
degrees Fahrenheit (Btu/hr ft2 F). We also need to know the outdoor temperature, and the indoor
temperature. First, try to calculate the answer yourself. When you have finished, click the Play button to
advance to the next slide to check your answer. You can also find all these calculations in the file that you
downloaded.
Slide 17: Example Calculation - Simple Wall (US)
Now we will calculate the heat transmitted through the far wall. Here we see the US Customary version of
the transmission equation.
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Ht = (25*15) * 0.1 * (95-72)

Ht = 375 * 0.1 * 23
Ht = 862.50 Btu/hr
This means that for every hour that the outdoor air temperature is constant, this wall will allow 862.5 Btu to
flow through it into the conditioned space.
Slide 18: Example Calculation Wall & Door
Lets work through another example from the ACME building. Take the right-facing wall with the door. This
surface is composed of two different materials: the wall and the door. Therefore, heat transmission must be
calculated separately for each. The area of the door must be subtracted from the area of the entire wall to
properly account for the surface area of the wall material. Again, assume that the U-value of the wall is 0.57
W/m2K or 0.1 Btu/ hr ft2 F and the U-value of the door is 3.69 W/m2K or 0.65 Btu/ hr ft2 F.
Slide 19: Example Calculation - Wall & Door (US)
Here we see the US Customary version of the equation.
Ht = (((25*15) (3*6.6)) * 0.1 * (95-72)) + ((3*6.6) * 0.65 * (95-72))
Ht = ((375-19.8) * 0.1 * 23) + (19.8 * 0.65 * 23)
Ht = (355.2 * 0.1 * 23) + (19.8 * 0.65 * 23)
Ht = 816.96 + 296.01
Ht = 1112.97 Btu/hr
Slide 20: R-Value
The transmission equation that we have been using can be expressed another way.
You may have heard that insulation has an R value associated with it. Well, R is the resistance to heat flow
through a material and is traditionally measured in units of square meters Kelvin per watt (m2K/W) or hours
square foot degrees Fahrenheit per BTU (hr ft2 F/Btu). The relationship of R to U is quite simple. We see
that here.
U = 1/R = 1/(R1 + R2)
R-values are sometimes given without units, which can be misleading, because an R-value of 3.5 in US
customary units is completely different from the same value in SI units. Make certain the R-value you are
using is in the proper units, whether they be SI units or US Customary.
The conversion of R-value to U-value is especially helpful when U-value is not available. This issue comes
up many times when dealing with materials that do not have a standard thickness or composition, such as
concrete and insulation. You will again need to refer to a reference table for R-values.
The R-value can be approximated for materials using this equation.
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R = t/K
where
t = thickness of the material (m or ft)
K = thermal conductivity of the material (W /m K or Btu /hr ft F)
Thermal conductivity values can be found in reference tables. Click ATTACHMENTS to download a
sample.
Sometimes, thermal conductance is published for material of a given thickness. Then you can obtain R
using this equation
R = 1/C
where
C = thermal conductance of the material in W / m2K or BTU / hr ft2 F
Slide 21: R-Value
Another insulating aspect is surface air film resistance. Recall that the surface air film resistance refers to
the layer of still air near the surface of a material which provides additional insulation against heat transfer.
In conditioned rooms there is usually significant air movement and the thickness of the air layer close to the
wall is very thin. This means that the air layer and thermal resistance of that layer on the inside of the
conditioned room is sometimes ignored. This may also be true for the outside of the wall. However, the
thermal conductivity of the air layer should be taken into account if there is no air movement. Surface film
can be accounted for using the same method as any other surface. Simply add the R-value of the surface
film to the overall R-value of the surface. Note that U-values already include the value of surface films.
Slide 22: Example Calculation Composite Wall & Windows
Lets work through an example where we do not know the U value but we do know the composition of the
material.
Here is our problem
The left facing wall of the ACME building contains two windows with a known U value of 3.97 W/m2K or 0.7
Btu/hr ft2 F. The wall consists of 25mm or 1 inch ply wood, 90 mm or 3 inch of fiberglass insulation and
12.5 mm or inch gypsum board. The gypsum board has conductivity of 0.16 W /m K or 0.095 Btu / hr ft
F. Include surface films for the composite wall surface assuming it is summer. How much heat is gained
through the wall?
Slide 23: Example Calculation - Composite Walls & Windows (US)
Lets work through the US Customary version of the equation.
First we find the R value of the gypsum. We have the thickness in inches, but the conductivity is given per
foot. So we must express the thickness in feet before calculating. inch is 0.0417 ft. Now we can
calculate the R-value.
Rgypsum = 0.0417 / 0.095
Rgypsum = 0.44 hr ft2 F / BTU
Then we calculate the U value of the wall
Uwall = 1/(0.25 + 0.68 + 2.0 + 3.5*4 + 0.44)
Uwall = 1/(0.25 + 0.68 + 2.0 + 14 + 0.44)
Uwall = 1/(17.37)
Uwall = 0.0576 BTU / hr ft2 F
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Then we find the heat transfer through the wall without the area of the windows
Htwall = (25*15-2*(2*3)) * 0.0576 * (95-72)
Htwall = 363 * 0.0576 * 23
Htwall = 480.90 Btu/hr
Then we find the heat transfer through the area of the windows
Htwindow = 2*(2*3) * 0.7 * (95-72)
Htwindow = 2 * 6 * 0.7 * 23
Htwindow = 193.2 Btu/hr
Finally we calculate the total
Httotal = 480.90 + 193.2
Httotal = 674.10 Btu/hr
For walls and floors that are against dirt or earth, there are some special rules.
Floors that are directly on the earth (slab on grade) and walls that are 30 cm or one foot below the surface
transmit little or no heat to the conditioned space, therefore no heat gain exists.
Heat loss from a heated space through the foundation does exist.
Equations that rely on ground temperature difference should be modified with the earth temperature, like we
see here:
t = (te - ti)
Where te = earth temperature (C or F)
Some authorities publish tables giving the heat loss depending on the length of the foundation edge and the
outdoor temperature (not earth temperature, since these foundations are at the surface). These factors
include losses downward through the inner area of the slab and around the edges.
Based on the values in these tables we would calculate the heat loss as follows
Hfloor = L * U
where
Hfloor = transmission heat loss (W or Btu/hr)
L = length of exposed surface boundary (m or ft)
U = linear heat transmission coefficient (W/m or Btu/hr ft)
Lets calculate the winter heat loss through the ACME floor. Assume the floor is made of poured concrete.
The R-value of 12 inches of this concrete is 0.98 m2K/W or 5.6 hr ft2 F/BTU. Assume the winter
temperature is -20C or -5F.
Slide 25: Example Calculation - Floor (US)

Here we see the US Customary version of the calculation for the floor.
The closest R-value in the table is 5.0. From the row for -5F we see the linear U-value is 40.
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Hfloor
Hfloor
Hfloor
Hfloor
BTU/hr = L ft * U BTU/ hr ft
BTU/hr = [ 25 ft + 25 ft + 25 ft + 25 ft ] * 40 BTU/ hr ft
BTU/hr = 100 ft * 40 BTU/ hr ft
BTU/hr = 4000 BTU/hr
Notice that the value should be treated as a negative since the earth is cooler than the indoor air
temperature. This is a surface where the building is not absorbing heat. Instead, the earth is cooling the
building.
Slide 27: Daily Range Adjustments to the Temperature Difference
Professionals who are involved in calculating heat load for buildings use versions of these equations that
are slightly modified. The temperature difference between indoors and outdoors will vary depending on
the time of day, and so an adjustment may be made to take account of the daily range.
Slide 28: Roofs, Walls & Radiant Heat
The transmission gain through the exposed walls, doors and roof has a component based on conduction
heat transfer but also radiation heat transfer. Sometimes the temperature difference used to calculate
cooling loads includes an adjustment for a temperature time lag due to the storage of the radiant portion of
the heat. Since rooftops are often exposed to more direct sunlight than walls, the adjustments for roofs
can be significant. The adjustments made often follow fairly simple formulas but are outside the scope of
this class.
For the purposes of our ACME case study, assume a gain of 8,800 W or 30,000 BTU / hr through the roof.
Slide 29: Transmission Total US Customary
Now that we have calculated the heat of transmission for each surface of our building, we can combine
them to calculate the total heat of transmission for the building.
From our examples, we know the values of the back or far wall, right wall, left wall, the roof and the floor.
From the diagram, we can see that the front or near wall is solid so lets assume it has the same value as the
back or far wall.
We are analyzing the building using summer temperatures so the heat transfer through the floor is assumed
to be zero.
Here is our solution.
Ht = 862.5*2 + 1112.97 + +674.1+30000+0
Ht = 33512 BTU/hr
Sunlight on windows, skylights and glazed doors can contribute considerable solar heat gain to a building.
Here we see an equation for solar heat gain.
Hs = A * SF * SC
where
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Hs = solar heat gain through glass (W or BTU/hr)

A = area of glass (m2 or ft2)
SF = solar factor (W/m2 or Btu/hr ft2)
SC = shading coefficient
Solar factor is the amount of heat per unit area entering the conditioned space through the glass, minus the
percent of shading done by the structure of the glass.
Shading coefficient is a factor of different types of glass and shading which accounts for the amount of
radiation shaded from the conditioned space.
Solar factors depend on the latitude of the building, the direction the glass is facing, and whether or not the
glass has inside shading. The values for shaded windows are often higher than those for unshaded
windows, due to the storage of radiant heat.
Shading coefficients depend on whether the glass is single or double glazed, reflective coatings or tints in
the glass, and the type of shading and material used, for example, draperies, venetian blinds, roller shades,
in dark, light or heat absorbing materials. Exterior overhangs must also be taken into account. A shading
coefficient of 0 means it passes no heat. A shading coefficient of 1 means it does nothing to reduce heat
transfer.
Lets consider the solar gain through the windows at ACME. Assume the building is at a latitude of 40N
and the windows face due south. They are single glazed, bronze tinted heat absorbing glass and shaded
by a light venetian blind.
Use a solar factor of 391 W / m2 or 124 BTU / hr ft2 (corresponding to noon) and a shading coefficient of
0.52.
Try this calculation and click when you are ready to look at the solution.
Slide 32: Example Calculation - Solar Gain (US)
Heres the US Customary calculation.
Hs = A * SF * SC
Hs = (2 * 2 * 3) * 124 * 0.52
Hs = 12 * 124 * 0.52
Hs = 773.8 BTU/hr
Slide 33: Improvements
Now that we understand how to calculate the heat of transmission, it is easy to deduce that as less heat is
transmitted, mechanical heating and cooling requirements are reduced. So, how do we reduce
transmission? We reduce it through things like insulation, new windows, or window treatments.
Shell improvements, like insulation, are most critical for those buildings that have large exterior surface
areas in comparison to internal volume. Substantially higher energy bills in the winter and summer months
indicate weather dependence and shell insulation may be cost effective for these buildings. Openings in the
building envelope can be sealed and insulation can be added to walls, floors, ceiling and attics to reduce
heat transfer, and make for a more comfortable environment. In commercial buildings where the
unconditioned attic space is used as a return air plenum, the addition of rigid insulation during a re-roofing
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can help maintain return air temperatures thus saving energy.

In most cases the installation of new replacement windows is often too expensive to justify on energy
savings alone. Justification may be easier for those buildings with large single-pane windows which face the
path of the sun, or in the case where a tall building's windows are in poor condition.
Window treatments shades, films, screens can be beneficial for large glass windows facing the path of
the sun. This is especially true in the summer in warmer climates. Window treatments to reduce solar gain
can pay off rapidly but this depends on the treatment used. Aesthetics must also be considered when
choosing a window treatment.
Our next topic is ventilation. When we talk about ventilation, we are addressing the heat transfers that take
place as we ventilate a space. You always have to bring in outdoor air so that you are maintaining a minimal
level of indoor air quality. Often, it is also desirable to maintain slightly positive building pressure to ensure
doors and elevators operate properly. Buildings that have a strongly negative building pressure suck in
outdoor air, which can make it difficult to open doors, and cause drafts and hot or humid spots. However,
in some countries such as the Nordic region a slightly negative building pressure has advantages. In cold
climates, positive building pressure may drive evaporated moisture from inside the building into the walls.
The walls are colder than the building interior, so the moisture will condense, which can encourage growth
of mold. Slightly negative building pressure avoids this.
Because the outdoor air temperature is rarely the temperature we need, air delivered by ventilation requires
energy to condition it! Its important not to over-ventilate and to recover heat from exhaust air whenever
possible. For more information on ventilation, please consider participating in Energy Efficiency with
Building Automation and our HVAC classes.
The amount of heat consumed by ventilation depends on the volume of air and the difference in
temperature and humidity. Sensible heat calculations, such as the ones we saw for transmission, rely on
dry-bulb temperature. If we include latent heat, we need to know the enthalpy of the air, which can be
found from the dry-bulb and wet-bulb temperature and a psychrometric chart.
The volume of air required for ventilation can be determined in a number of ways:
Sometimes there is a requirement for the amount of air per person for example, cubic feet per minute (CFM)
per person or cubic metres per hour (CMH) per person
In some cases, the amount of air per unit area of floor space is specified, such as CFM per square foot or
CMH per square metre
Some building specifications require a certain number of air changes per hour. Then, the amount of air
can be calculated from the volume of the building.
For this class, we will assume that either you know, or are able to calculate the volume of air supplied for
ventilation. You may see other formulas that directly incorporate terms such as air changes, but we will not
cover those here.
Slide 36: Sensible Heat Loss Due to Ventilation US Customary
The sensible heat loss due to ventilation without heat recovery can be expressed as this:
Hv = cp 60 qv (to - ti)
where
Hv = ventilation heat transfer (Btu/hr)
cp = specific heat capacity of air ( Btu/lb F)
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= density of air (lb/ft3)

60 = a value to convert from airflow per minute to obtain a result in BTU per hour
qv = air volume flow (ft3/m or CFM)
ti = inside air temperature (F)
to = outside air temperature (F)
Specific heat capacity changes with altitude therefore; at high altitudes, this value will need to be adjusted
but in most cases a constant of 0.241 BTU/lb F can be used. Also, density changes with air temperature,
but we will use 0.075lb/ft3. If the building will operate in temperature extremes, it might be prudent to adjust
the density value used in those calculations.
Based on those constants, this equation is often written like this:
Hv = 1.08 qv (to - ti)
Slide 37: Heat Recovery
If there is a heat recovery system, multiply the equation times the efficiency of the heat recovery system.
We see that here.
Hvfinal = Hv (1 - )
where
= heat recovery efficiency (%)
A heat recovery efficiency of approximately 50% is common for a normal cross flow heat exchanger. For a
rotating heat exchanger the efficiency may exceed 80%. Note that this equations will give you the
instantaneous heat recovery at the time of the heat flow. Over the period of the year the total recovered
heat may be different, for example due to limits during cold weather to prevent ice building up on exhaust air
side.
Heat recovery systems are commonly found in poorly maintained condition during energy audits. Therefore,
you need to investigate how the heat recovery system is running and verify that it is still operating at that
efficiency.
Slide 38: Example Calculation Ventilation (Sensible Heat)
Ventilation code varies from region to region so for our example, let us assume that code for our example
building requires ventilation of 17 m3/person/hr or 10 ft3/person/min. Our building has 10 occupants. Lets
calculate the sensible heat of ventilation for this space without a heat recovery system.
Slide 39: Example Calculation - Ventilation (US)
Hv = 1.08 qv (to - ti)
Hv = 1.08 * (10*10) * (95-72)
Hv = 1.08 * (100) * (23)
Hv = 2484 BTU/hr
Infiltration is the uncontrolled movement of unconditioned air into a building through the building envelope.
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Its an important topic to cover, as infiltration is something that we want to try our best to mitigate; it costs
money to run HVAC equipment and we want to try to save as much money and energy as we can!
All buildings leak air. The unconditioned air comes in through doors, or cracks.
What is the impact of infiltration? It can lead to:
Condensation
Inconsistent interior temperatures, for example, if wind hits one side of the building, it can actually
create different temperature zones across the building space
Excessive humidity, because the air is not entering the building through an air handler, it has not
been dehumidified and therefore can contain more humidity than desired
Increased load on HVAC equipment
Indoor Air Quality (IAQ) problems, this can be a problem because it can lead to an environment
where micro organisms flourish
How do we measure air leakage? Lets talk about that next!

Building air leakage is usually measured by pressurizing a building to a given pressure differential and
measuring the flow rate needed to maintain that differential.
There are machines made up of large fans on diesel generators that measure infiltration by blowing air at a
variable rate into the building.
There are electrically powered measuring devices. Here we see one that is placed in front of a double door.
And there are even smaller units that can even measure the infiltration in smaller spaces like your home.
Sometimes, infiltration is derived by estimating the linear feet of cracks in the building, or estimating the
number of times doors are opened per hour.
Once we have an estimate or a measurement of the volume of air that enters due to infiltration, we can use
exactly the same formula that we used for ventilation. However, that formula only applied to sensible heat.
If the air outside is humid, we must also take into account the latent heat. So lets look at that now.
Images supplied courtesy of Infiltec and Building Sciences Ltd
Slide 42: Sensible & Latent Heat Loss for Ventilation or Infiltration US Customary
Here we see the heat transfer equation for ventilation or infiltration including both sensible and latent heat.
Because we are including latent heat, now we need to use enthalpy rather than temperature.
Hi = 60 qv (ho - hi)
where
Hi = heat transfer by infiltration (BTU / hr)
= density of air (lb/ft3)
60 = a value to convert from airflow per minute to obtain the result in BTU per hour
qv = air volume flow (ft3/min or CFM)
hi = inside air enthalpy (BTU / lb)
ho = outside air enthalpy (BTU / lb)
Energy University
Based on those constants, this equation is often written like this:

Hi = 4.5 qv (ho - hi)
Lets take a look at this in relation to our example building.
Slide 43: Example Calculation - Sensible & Latent Heat Loss for Ventilation or Infiltration
For our building, assume that infiltration has been measured at 20 m3/hr and 12 ft3/m.
The outside enthalpy is 100 kJ/kg or 48 BTU/lb.
The inside enthalpy is 43 kJ/kg or 17 BTU/lb.
Slide 44: Sensible & Latent Heat Loss for Ventilation or Infiltration (US)
Here is the US Customary version of the equation.
Hi = * 60 qv (ho - hi)
Hi = 0.075 * 60 * 12 * (43 17)
Hi = 4.5 * 12 * 26
Hi = 1404 BTU/hr
Slide 45: Infiltration Improvements
Next, lets discuss some infiltration reduction methods.
Create slight positive pressurization, so all the air that is in the building is moving outward and all
the air that is coming into the building is conditioned air (provided that you do not incur
condensation problems by driving moist air into unconditioned wall spaces).
Install new windows
Replace door sweeps, creating a better seal
Caulk holes or gaps in the building envelope
Control outside air dampers, keeping these closed when not in use
Control exhaust fans: turn these off at night so that you dont draw in heat and outside air when the
HVAC system is not running.
Look at door vestibules, and
Utilize air barriers, which prevent air from getting through porous materials like cinder block.

There are two other factors that are considered sources of heat in a building. They are heat load from
people and the heat load from equipment.
People add quite a bit of heat to a space. This is something that can change based on the amount of people
and the activity in the space. For example, 117 W or 400 BTU/hr per person might be for a typical office
building, but in the case of a gym, that number would increase. BTUs/hr will need to be adjusted based on
the activity in the space. These values are typically found in tables as they are very difficult to accurately
measure. For most spaces where the majority of the occupants are sedentary, use the values we provided
here (117 W or 400 BTU/hr ) and multiply by the average number of people in the space.
In our example, our space has 10 occupants so the heat from that source would be:
Energy University
Hp = 10 * 400 = 4000 BTU/hr

Slide 48: Internal Loads - Equipment
Most equipment located in a space will convert much of its power draw to heat. Tables of typical heat gains
are available for different types of lighting and equipment.
Our example building has 1000 W or 1 kW of heat gain due to equipment. In US units, this would be 3,412
BTU/hr.
To reduce heat load from equipment, use efficient lighting, recover heat from large industrial machines or
incinerators during cold periods, and ensure that heat from large industrial machines and incinerators is
exhausted during hot periods. Avoid mixing it with the conditioned air.
Slide 49: Pipe & Duct Heat Transfer
Ducts and pipes should be insulated to minimize heat transfers. Professionals estimate a factor for heat
transfers through ducts, but this is outside the scope of this class.
Lets review all the heat transfers that we have looked at.
We looked at external loads:
Heat transfer by transmission through the windows, doors, walls, roofs and floors
Solar gain through glass windows, glazed doors and skylights
Heat transfers from ventilation
Heat transfers from infiltration
We also looked at internal loads
Heat transfers from people
Heat transfers from equipment
And lastly duct heat transfers, although we did not provide any values for it
Here we see the overall heat transfer of the ACME building:
H = Ht + Hs + Hv + Hi + Hp + He+ Hd
where
H = overall heat load (W or Btu/hr)
Ht = transmission (W or Btu/hr)
Hv = solar gain (W or Btu/hr)
Hv = ventilation (W or Btu/hr)
Hi = infiltration (W or Btu/hr)
Hp = people (W or Btu/hr)
He = equipment (W or Btu/hr)
Hd = ducts (W or Btu/hr)
This will calculate your total building load, and you need to be sure that your HVAC equipment is sized
appropriately using this figure. This load needs to be less than or equal to the sizing of your HVAC
equipment. You typically want to calculate this as a worst case scenario. For example, use the highest
outdoor air temperature on the most populated day of the year - with the highest number of people
occupying the building space. This will ensure the system can maintain comfort during maximum
occupancy. However, for the sake of efficiency, your system may perform best if it is made up of a few
small units rather than one large one. This ensures that oversized equipment is not running during times of
lower temperatures or occupancy.
Energy University
We will simply add all of the values we have calculated so far. However, recall that for ventilation, we only
calculated the sensible heat. Since there is a humidity difference, we should take into account the latent
heat as well. So we have recalculated the ventilation heat transfer using the formula for sensible and latent
heat. You can find this in the ACME download if you wish to review it.
Slide 52: Total Heat Load US Customary
Htotal = Ht + Hs + Hv + Hi + Hp + He
Htotal = 33,512.1 + 773.8 + 11,700.0 + 1,404.0 + 4,000.0 + 3,412.0
Htotal = 54,801.8 BTU/hr at the conditions specified in the example
Slide 53: Using Heat Load Information
Having done all this work to determine the heat load of the building, how can you use this information?
For the hottest and coldest times of year, you can check if your HVAC system is sized appropriately. If
your building is undergoing a change - such as installation of new production equipment - you can check if
your HVAC system will still be able to cope.
Slide 54: About This Courses Test
Please be sure to click attachments to download a copy of the document labeled FOR TEST - ACME
Building Diagram, as you will need this document in order to answer the questions on the quiz.
Slide 55: Summary
Let's take a moment to summarize some of the information that we have discussed in this course.
Heat can be transferred to a building from outdoors through transmission, solar gain and infiltration and
ventilation and from indoors by people and equipment. All must be properly balanced out by HVAC
equipment in order to maintain comfortable environments for occupants.
Loads can result from sensible heat flows, which are based on temperature differences, or on latent heat
flows, which can take into account the energy contained in moisture that has evaporated.
A thermally light building has a load that varies directly with the weather. A thermally heavy building is not
affected much by weather.
To minimize the cost of maintaining comfort in a building, improvement and maintenance of the building
envelope is required, particularly:
Insulation
Repairs to openings
Window treatments including shades, films and screens

Combined Heat and Power

Slide 1
Welcome to Combined Heat and Power.
Slide 2
In order to fully appreciate this topic, you need to understand how energy is billed. Factor such as demand,
demand ratchet and time of use all have an impact on the potential returns from your combined heat and
power strategy. If you do not have knowledge of these topics, please take Energy Rate Structures I and II
first.
Slide 3
Slide 4
Define what cogeneration is along with the primary fuels used in its creation
Identify the different approaches for applying technology to the function of cogeneration, and you
will be able to
Discuss the various factors to consider when evaluating the use of a Combined Heat and Power
(CHP) plant
Slide 5
Cogeneration today is widely used throughout the world for efficient production of heat and power.
Cogeneration is the simultaneous production of heat and power in a single thermodynamic process. The
purpose of this course is to review the different approaches for applying technologies to the function of
cogeneration.
Well also explore the various issues and considerations for deployment of the main types of cogeneration
concepts: "Topping Cycle plants (including Combined Cycle plants) and "Bottoming Cycle" plants. Lets
begin with a brief discussion of why we would want to use cogeneration in our operations today.
Slide 6
Why are we taking a look at cogeneration? Cogeneration has the opportunity to:
Improve system reliability and availabilityespecially when CHP is used as a primary source of
energy and the utility systems are used as reliable back-up sources
Improve system efficiencyas compared to typical power generation without useful heat recovery,
and
Reduce total operating costsas compared to purchasing or generating electricity and heat energy
in separate systems
Slide 7
Cogeneration, goes by several names. It is also known as combined heat and power (CHP), cogen, total
energy, and combined cycle. Its simple definition is the simultaneous production of heat (usually in the form
of hot water and/or steam) and power, utilizing one primary fuel. Cogeneration is the use of a heat engine or
a power station to simultaneously generate both useful mechanical and useful thermal energy. Mechanical
energy is frequently used to turn a generator producing electrical energy. Thermal energy can also be used
to generate coolingfor example in the case of an absorption chiller.
Slide 8
There are four broad categories for cogeneration applications:
Small-scale cogeneration schemes, usually designed to meet space and water heating
requirements in buildingsbased on spark ignition reciprocating engines
Large-scale cogeneration schemes, usually associated with steam raising in industrial and large
building applicationsbased on compression ignition reciprocating engines, steam turbines or gas
turbines
Large scale cogeneration schemes for district heatingbased around a power station or waste
incinerator with heat recovery supplying a local heating network
Cogeneration schemes fuelled by renewable energy sourceswhich may be at any scale
Slide 9
Primary fuels commonly used in cogeneration include natural gas, oil, diesel fuel, propane, coal, wood,
wood-waste, and bio-mass. These "primary" fuels are used in a cycle such as the steam cycle for steam
production in a boiler, the Otto-cycle in a reciprocating engine, or the Brayton cycle in a gas turbine. The
steam produced from a boiler can be used in a Rankine cycle to produce mechanical power which can be
used to make electricity. The Otto and Brayton cycles produce mechanical energy which can be used to
make electricity. Simple cycles do not co-generate but only produce one form of energy like electricity or
mechanical power. This is why electricity created from a simple cycle, when compared on a Btu to Btu or
joule to joule basis, is typically three to four times more expensive than primary fuels such as natural gas.
Lets explore this cogeneration technology a little bit more closely.
Slide 10
A cogeneration plant consists of four basic elements:
Prime mover (engine)
Electricity generator
Heat recovery system, and
Control system
A typical cogeneration system consists of an engine, steam turbine, or combustion turbine that drives an
electric generator. A waste heat exchanger recovers waste heat from the engine and/or exhaust gas to
produce hot water or steam all managed by the control system. Cogeneration produces a given amount of
electric power and process heat with 10% to 30% less fuel than it takes to produce the electricity and
process heat separately.
When it comes to cogeneration, there
are two main concepts: "Topping
Cycle" (including Combined Cycle)
plants, and "Bottoming Cycle" plants,
so lets investigate these concepts
next.
Slide 11
In a typical topping cycle plant, mechanical energy or electricity is produced first and heat is then used for a
useful heating process, or as energy for a different useful cycle such as to make cold water using an
absorption chiller.
There are various types of topping cycle cogeneration systems:
Steam-turbine topping system
Engine-driven electric-generator topping system
Gas-turbine topping system which can also be a combined-cycle topping system when used with a
steam-turbine generator, or other process cycle
Lets discuss each one in more depth.
Slide 12
In a steam topping cycle, steam is produced for a process but is usually generated at a higher pressure than
is needed. The steam is then passed through a let-down steam turbine (such as a Rankine Cycle) to make
mechanical power which can be used to make electricity. Steam exhausting the turbine is then used for
processes heating or cooling.
Another type of topping cycle system consists of an engine-driven electric generator in which the engine
jacket cooling water (the water that absorbs the excess emitted heat from an engine) is run through a heat
recovery system to generate steam or hot water for space heating.
In a combined-cycle process, a gas turbine (such as a Brayton Cycle) can be used to make mechanical
energy or electricity first. Waste heat from the gas turbine exhaust can be used to make steam in a heat
recovery steam generator or HRSG. This steam can be used in a steam turbine (Rankine Cycle) for power
production or the steam may be used in process heating.
Slide 13
A topping cycle cogeneration plant always uses some additional fuel, beyond what is needed for
manufacturing, so there is an operating cost associated with the power production. Facilities that generate
electrical power may produce the electricity for their own use, and then sell any excess power to a utility.
Slide 14
Conversely, bottoming cycle plants are much less common than topping cycle plants. These plants exist in
heavy industries such as glass or metals manufacturing where very high temperature furnaces are used. A
waste heat recovery boiler captures waste heat from a manufacturing process. This waste heat is then used
to produce steam that drives a steam turbine to produce electricity. Since fuel is burned first in the
production process, no extra fuel is required to produce electricity.
Slide 15
An emerging technology that has cogeneration possibilities is the fuel cell. A fuel cell is a device that
converts hydrogen to electricity without combustion. Heat is also produced. Most fuel cells use natural gas
(composed mainly of methane) as the source of hydrogen.
The first commercial availability of fuel cell technology was the phosphoric acid fuel cell, which has been on
the market for a few years.
Slide 16
According to Fuel Cells 2000, more than 2500 fuel cell systems have been installed all over the world, and
with the Kyoto Protocol we expect to see more countries adopting fuel cell technology for the purposes of
cogeneration.
Other fuel cell technologiessuch as molten carbonate and solid oxideare in early stages of development.
Solid oxide fuel cells (SOFCs) may be potential source for cogeneration, due to the high temperature heat
generated by their operation.
Slide 17
While cogeneration provides several environmental benefits by making use of waste heat and waste
products, air pollution is a concern any time fossil fuels or bio-mass are burned. The major regulated
pollutants include particulates, sulfur dioxide (SO2), and nitrous oxides (NOx). Water quality, while a lesser
concern, can also be a problem. New cogeneration plants are typically subject to a state or country level
environmental permit process designed to meet ambient air quality standards established by individual
states and/or countries. Keep in mind that adhering to air quality standards can add significantly to the initial
cost of some cogeneration facilities located in urban areas.
Slide 18
Its important to consider that some cogeneration systems, such as diesel engines, do not capture as much
waste heat as other systems. Others may not be able to use all the thermal energy that they produce. They
are therefore less efficient, and the corresponding environmental benefits are less than they could be.
The environmental impacts of air and water pollution and waste disposal tend to be very site-specific for
cogeneration.
This is a problem for some cogeneration plants because the special equipmentsuch as water treatment,
air scrubbers, etceterarequired to meet environmental regulations adds to the cost of the project.
If, on the other hand, pollution control equipment is required for the primary industrial or commercial process
anyway, cogeneration can be economically attractive.
Now lets move on and discuss the various considerations for applying CHP plants.
Slide 19
As electricity demands rise worldwide and as steam and utility systems in industrial plants age and require
repair and replacement, opportunities present themselves for the use of CHP plants that can serve the
industrial complex. These CHP plants can provide electricity use economically and in an environmentally
friendly manner.
In evaluating the use of a CHP plant, there are several factors to keep in consideration including:
Capital utilization / productivity
Local electricity rates
Efficiency gains versus fuel prices
Steam load versus electric load
Reliability requirements (steam and electric)
Fuel availability and selection, as well as any
Staffing and training needed
Lets explore each of these in more depth.

Slide 20
A concept to consider in evaluating CHP is fuel chargeable to power. Fuel chargeable to power (FCP) is
actually an inverse of efficiency in terms of heat rate expressed in the units Btu/kWh or in SI units, this
energy flow is referred to as kJ/kWh. The heat in the steam to process is credited to the fuel to determine
the remaining fuel that is allocated to power. The formula is as follows:
The cost of the fuel chargeable to power is taken into account along with other costs when the system is
evaluated.
Slide 21
Another cost consideration is the capital productivity of the plant. This factor considers the cost of the plant
construction compared to the average thermal and electric output of the plant. This factor is decreased by
reducing capital costs, increasing the capacity factor, or fully utilizing the plant.
Capacity factor is defined as the average load over a defined time period divided by the design capacity of
the plant. A CHP plant with a capacity factor of 40% has a capital productivity factor double that of a plant
with an average capacity factor of 80%.
Slide 22
A plant designed for a load with significant variability of steam and electricity not only suffers from thermal
inefficiencies, but also results in a higher cost of capital on each unit of currency per energy unit
basis. Once again, economic considerations are the drivers towards designing the plant to meet average
loads for lowest capital cost and utilizing secondary sources to meet remaining demands.
Slide 23
Several factors influence design decisions of a CHP plant. Aspects to weigh include:
The cost of electricity
The cost of fuel
Any backup electric sources needed, as well as
Excess electric generating capabilities
Of all of these, the cost of local electricity rates will have the biggest influence. The costs of electricity must
be evaluated taking into account the demand and energy portion of the electric rates. Some electric utility
companies have electric tariff rate structures that deter the development of CHP plants by their customers.
Slide 24
These are often called cogen buster rates, and add sizable complications to making CHP plants
economically feasible when remaining tied to the electric utility for supplemental or backup services.
To successfully calculate the all in costs of electricity with the CHP plant it is necessary to have a through
grasp of the following:
Electric load profile of the load it is serving
Expected generating capabilities of the plant
Its relationship to steam loads, as well as the
Utility rates available from the local utility for supplemental power and backup power
Slide 25
Due to the fact that cogeneration is the generation of both electric and steam, CHP plants are best suited to
serve loads where the electric and steam loads are closely related. The CHP plant will generate a fixed
amount of electricity when meeting a given steam demand, or the plant will provide heat to generate a fixed
steam supply when generating a given electric load.
Slide 26
If it is incorporated in the initial design, supplemental fuel can be combined to generate additional steam
without increasing electric output.
If the CHP plant includes a condensing steam turbine generator, supplemental electricity can be generated
by condensing steam at a loss in CHP efficiency.
In cases where electric loads and steam loads are not closely related, the CHP plant performance is often
inefficient and the plant is underutilized due to supplemental electric purchases and supplemental fuel use.
Slide 27
The all in cost of electricity is shown in this equation:
The cost to produce electricity from the CHP plant is determined based on the fuel charged to power as
discussed previously.
The capacity of the CHP plant may vary seasonally or daily due to ambient conditions or based on the
process steam demands. The plant design will drive capacity. Expected supplemental electricity and
excess electricity can be determined by overlaying the CHP plant electric supply profile with the process
plant electricity demand.
Slide 28
The electricity demand seen by the utility must be evaluated considering peak requirements and variations
in the electricity supply capacity.
As we learned in the Energy Rate Structures courses, electricity utility companies often will have demand
ratchets built into their rate structure. Once the increased demand is recorded at the meter, the customer is
then billed for that demand for a defined period.
This can become quite costly to the customer, as the demand ratchetwhich is a new, more costly rateis
billed whether or not the meter sees that demand for the remainder of the ratchet time period.
Slide 29
The utility supplier of additional electricity defines the cost of this supplemental power. It will also determine
the utility credits (which may translate into a revenue stream for the customer) for any excess electricity sold
to the utility grid. The local utility company will typically have stringent requirements for operating a
generator in parallel with its electric service and for interconnecting to the utility grid. If the CHP plant
encounters reliability issues, the plant will result in backup electricity costs due to forced outages. Backup
charges can be very costly. When considering CHP plant installation it is imperative to have a clear
understanding of the cost impact as well as the potential of these external sales and purchases.
Slide 30
The high efficiencies, reduced emissions, and fuel use are attractive enticements to switch to cogeneration
from traditional paths. However, fuel source is a significant cost driver even with the large efficiency
gains. Replacement of a retiring coal-fired steam plant with a new state-of-the-art, gas-fired CHP plant may
not be the most cost-effective approach. Even with a reduction in fuel usage of 30%for the same thermal
output, the price for natural gas compared to coal is even more significant. The result can be a greater total
fuel cost with CHP. The economic analysis of the plant must include a full comparison of costs for electricity
and steam. Volatility of fuel prices and electric prices can make the analysis difficult. Capital project needs,
existing system reliability, and other drivers often influence the final decisions to implement a CHP plant.
Slide 31
In defining a CHP plant, it is important to understand the steam and electricity demands of the plant. Our
goal is to balance the demands and variability of the steam supply with the demands and variability of the
electricity generation from an economic perspective. The optimum matchfrom an efficiency
considerationis to match electricity generation with the process steam demand. In this case, the steam
turbine is fully utilized as it produces electricity in an efficient cogeneration cycle.
Slide 32
When considering a steam generator or boiler to supply steam to a steam turbine electric generator, the
best efficiency is realized if all of the steam supplied to the turbine is used for a useful heating
process. Exhaust steam from the turbine going to a surface condenser instead of a heating process is not
efficient cogeneration.
Slide 33
In the case of a gas turbine / Heat Recovery System Generator (HRSG) plant, the exhaust gas stream from
the gas turbine when operating at its rated capacity for electric generation is supplied to a HRSG to convert
the heat from the gas into steam for process use. Additional steam can be produced by the addition of heat
to the gas turbine exhaust through the use of duct burners. Duct burners are an efficient means of
increasing the output of steam from the HRSG to optimize efficiency.
Slide 34
In both of these cases, electricity and steam loads must match the chosen equipment configuration. If the
equipment produces less than the full needs of the facility, a second source of electricity or steam is
necessary to meet the required demand. A surplus of power or steam requires a sinksuch as the
electrical utility grid or a second steam customer.
Slide 35
It is relatively easy to optimize a CHP system design for a given steam and electrical demand. The difficulty,
however, comes with the variability of steam and electrical demand and is even more difficult when those
variations are not closely correlated.
Because of this, it may be more cost effective to design the CHP plant for an optimumtypically lower
match of steam and electric, and use secondary sources of steam and electricity to meet surplus demand.
Slide 36
Steam and electricity load reliability requirements must be factored into any design basis for a CHP
plant. Because a CHP combines both steam and electricity production from one plant, the loss of
production of one commodity can also mean the loss of the other.
Simply put, a mechanical failure resulting in the loss of steam production can also mean a loss in electric
supply capability. The length of any allowable interruption must also be consideredbecause for some
process plantsa short 15-minute interruption in steam or electricity may result in weeks or months of lost
production to the host process plant.
Slide 37
Depending on the level of criticality (meaning how critical the use of the steam is) either a redundant source
is kept on-line in parallel with the CHP or a redundant, stand-by CHP system is installed in parallel. Keep in
mind that a redundant CHP plant usually results in plant inefficienciesas previously discussed. Moreover,
redundant CHP plants are extremely expensive to build. Electricity usually requires an instantaneous backup source. The most reliable and stable source of backup is typically the local utility grid. Alternatives, such
as redundant CHP units in parallel are feasible, but the economics and reliability (of a parallel plant) will still
usually lean the developers in favor of the utility grid.
Slide 38
While almost any fuel is suitable for cogeneration, in practice, fossil fuelsespecially natural gas
predominate. This is due to economical and environmental factors. However, municipal solid waste, certain
industrial gases and bio-mass may also be considered as viable fuels. In fact, over time bio-mass and
derived gases are likely to take the place that natural gas occupies now, as the technology becomes more
available and cheaper and as environmental concerns increase.
Slide 39
For example, installations may be designed to accept more than one fuel as they are in Turkey, where LPG
or naphtha are used as stand-by fuels in case the gas supply is cut-off. Another example, in the UK (United
Kingdom), is dual-fuel gas/fuel oil burning, where natural gas is bought at the lower-rate interruptible tariff
and is replaced with fuel oil when gas supply is interrupted during periods of peak demand.
Slide 40
In some cases, cogeneration may be engineered to accept three or more different types of fuelsthis
allows the operator to select the cheapest fuel. Key factors in the choice of fuel are possible incentives
offered for their consumption and the quality of the fuel.
Some countries offer incentives for the use of better quality fuels, such as natural gas, bio-mass or bio-gas.
Low-quality fuels are sometimes cheapalthough this varies for country to countrybut they incur
significant extra costs (on-costs) for handling and burning and to meet environmental regulations. Good
quality fuels are more expensive but have fewer or no on-costs.
Slide 41
Fuels may be solid, liquid or gaseous, and either "commercial" or "waste". Commercial fuels are fossil fuels
that are extracted and treated or refined and sold nationwide. Waste fuels are by-products or adjuncts of
processing. Renewable energy fuels are not normally traded commercially so are usually only economically
available in specific locations.
Slide 42
The complex and interdisciplinary issues involved in cogeneration projects require qualified staff for
operationsto not only bring the plant on linebut to also oversee the daily operations and maintenance.
These activities usually require a high level of experience and skills, which may not be found in the ranks of
an industrial companys existing staff. Staffing and training is an additional factor that is best considered
upfront rather than just before start-up of the new facility. As we discussed previously, incurring reliability
deficits can be extremely costly to a company. The likelihood of underperformance occurring dramatically
increases when employing under skilled workers in a CHP plant.
Slide 43
An alternative approach is to implement a CHP plant through a third party energy service provider. By using
an outsourcing approach you can accelerate the learning curve. Staff can acquire the necessary skills
through the training provided by an energy service provider with experience in CHP systems and
equipment. A qualified energy partner may also be able to provide services in:
The design and construction of the CHP plant, as well as
Operations and maintenance services
Financing, and possible
Ownership or lease back of the plant
Slide 44
It is important to point out that regardless of the approach to operations and maintenance, it is important to
consider:
The change in required skill sets
Available talent, and
Costs to successfully meet the energy demands of the host site with a new CHP plant
On-going training should also focus on areas of strategic importance such as:
Cost reduction
Improved reliability, availability and maintainability
Materials
High temperature thermal barrier coatings
Life duration
Fuels
Emissions control, as well as
Measurement and verification
Slide 45
Here we see a comparison of the different CHP technologies provided by the US Department of Energy.
Now, lets wrap up with a brief summary.
Slide 46
Today, we defined cogeneration as the simultaneous production of heat and power in a single
thermodynamic process. We also discussed and compared the primary fuels used in its creation which
include natural gas, oil, diesel fuel, propane, coal, wood, wood-waste and bio-mass.
Time was also spent identifying the different approaches for applying technology to the function of
cogeneration, specifically, "Topping Cycle" (including Combined Cycle) plants, and "Bottoming
Cycle" plants. We also had an in depth discussion on the various factors to consider when
evaluating the use of a Combined Heat and Power (CHP) plant including:
Capital utilization / productivity
Local electricity rates
Efficiency gains versus fuel prices
Steam load versus electric load
Reliability requirements
Fuel availability and selection, as well as any
Staffing and training needed
Finally, we reviewed a comparison chart of the different CHP technologies discussed.

Slide 47
Combustion Processes
Slide 1: Combustion Processes
Welcome to Combustion Processes.
Slide 2: Helpful Items to Have on Hand
This course contains calculations, and you may find it helpful to have a calculator, some scrap paper and a pencil on
hand while viewing.
Slide 3: Welcome
to navigate through the eLearning experience. Click on the attachments to download supplemental information for
this course. Using your browser controls may disrupt the normal play of the course. Click the Notes tab to read a
transcript of the narration.
Slide 4: Objectives
Define 'combustion efficiency' and why it differs from overall boiler efficiency
Describe the effects of insufficient air and excess air on efficiency
Detail the effect of exhaust gas temperature on efficiency and identify causes of high temperature
State what measurements are typically made when testing combustion efficiency
Explain why boilers are less efficient at low loads, and you will be able to
Improve maintenance specifications to minimize combustion losses
Combustion is an almost universal process in energy use, and it usually offers opportunities for modest but
worthwhile energy savings through good management. Conversely, it carries a significant risk of avoidable energy
waste.
In this course; you will learn the basics of combustion chemistry, how avoidable losses arise, and how they are
measured. Particular attention will be paid to burners fitted in heating boilers but the basic principles are applicable to
any kind of combustion plant.
Slide 6: Chemistry of Combustion
Fuels such as coal, oil, gas, or wood contain two chemical elements carbon and hydrogen which release heat
when they react with oxygen. Combustion is the process of mixing the fuel intimately with air, and igniting the mixture.
The heat released after ignition then sustains the reactionand by feeding in more fuel and more aira continuous
intense release of heat occurs in what everyone would recognise as a flame.
Tiny proportions of other chemical elements such as sulphur may be present in some fuels, and some fuels also
already contain a little oxygen of their own. But by far the most important elements are the carbon and hydrogen and
for our purposes we can assume that only carbon and hydrogen are present.

Air, meanwhile, contains not only the oxygen required for combustion but also nitrogen, which accounts for 79% of its
volume. Nitrogen is relatively inert and we can assume for now that it plays no part in the combustion process. We
can also ignore the other minor constituents of air such as carbon dioxide.
When fuel and air are combined during combustion the exhaust gas contains water (H2O), carbon dioxide (CO2), as
well as the nitrogen (N2) that was present in the air supply. The fuel in this example is methane (CH4): the main
constituent of natural gas.
Slide 9: Complete Combustion

One molecule of methane needs two molecules of oxygen for complete combustion. It yields one molecule of carbon
dioxide and two of water.
Slide 10: Incomplete Combustion

To get efficient combustion, it is important to mix the right quantity of air with the fuel that we are burning. If there is
insufficient air, the process will be starved of oxygen and some of the carbon will not be completely converted to
carbon dioxide. It may only be converted to carbon monoxide (CO).
This represents a loss, because carbon monoxide would release more heat if it had any oxygen left to react with.
Carbon monoxide is undesirable in the exhaust gas not only because it is poisonous but because it may damage the
appliance internals near the base of the chimney.
With more extreme air starvation, some of the carbon in the fuel may not react at all, but form soot and smoke
instead. This represents both a loss of energy and a nuisance, and if sustained, will coat the boiler internals and
impede heat transfer with a further loss of energy efficiency.

Slide 12: Stack Temperature
The air passing through the boiler, most of which is nitrogen anyway and plays no useful part, leaves up the chimney
or stack at an elevated temperature.
The exhaust gas in the stack thus contains heat which is lost.
Typically the exhaust gas temperature will be on the order of 200C or approximately 400F and it will need to be
maintained at a certain temperature for two reasons. One is to reduce its density, making it buoyant enough to rise
up the stack of its own accord without needing fan assistance. And the other is to ensure that the water present, as a
product of combustion remains in the vapour phase, and does not condense--causing corrosion.
Slide 13: Excess Air
This means there is a problem with supplying excess air.
does not contribute any additional heat.
The extra oxygen is not consumed by combustion, so it
In fact, the unused oxygen and the associated nitrogen absorb heat from the combustion and escape up the chimney.
In order to maintain the exhaust temperature at the required level while still achieving the same useful heat transfer,
a burner using excess air will therefore need more fuel. Hence providing more oxygen that is necessary for complete
combustion will increase fuel costs.
Slide 14: Excess Air
Air/fuel ratios can be checked by sampling the exhaust gas leaving the appliance. If soot or carbon monoxide are
present, the mixture is fuel rich and the burner needs adjusting to increase the amount of air supplied.
If oxygen is detected in the exhaust, as indicated here:
The problem is excess air and the air supply needs to be reduced. Note, that in practice perfect mixing of fuel and air
does not occur, so it is usually necessary to tolerate a small amount of excess air in order to guarantee complete
combustion.
Also note that there is an alternative to testing the oxygen concentration in the exhaust gases. It is also possible to
test for the concentration of carbon dioxide. The higher the concentration, the more efficient was the process of
combustion. Each fuel type has a different maximum achievable exhaust CO2 concentration.
Slide 15: Ensuring Complete Combustion
Even with a perfect balance of fuel and air, three key things are needed in order to achieve complete combustion:
temperature, turbulence and time. Flame chilling will quench parts of the flame and allow unburned fuel to escape
even if oxygen is available. A lack of turbulence will mean that some of the fuel and oxygen never physically meet,
and will therefore not react.
And without enough time, the fuel-air mixture will pass through the combustion chamber before the reactions are
complete. To reduce the residence time needed, it is usual to atomise liquid fuels and mill or grind solid fuels into
small particles.
Slide 16: Products of Combustion
This chart summarises what you can expect to see with not enough or too much air.
With ideal consumption, shown in the middle of the chart, most of the flue gas is water and carbon dioxide products
of combustion. Oxygen, hydrogen and carbon monoxide are at a minimum.
With excess air, oxygen starts to form an increasing proportion of the flue gas.
lower percentage, because the oxygen takes up part of the volume.
Water and carbon dioxide form a
In the case of an air deficiency, carbon monoxide and even hydrogen may be present evidence that the combustion
process was starved of oxygen and could not form water or carbon dioxide. At severe deficiencies, unburned fuel
may also be present.
Normally, high levels of both oxygen and carbon monoxide (or soot) will not occur simultaneously. If they do, it is an
indication of incomplete combustion. This may be because the 'time, temperature, turbulence' criteria have not been
met.
Slide 18: Reducing Stack Temperature
Energy can also be saved by taking measures to reduce the exhaust gas temperature. If the fuel contains no
sulphur at all, an exhaust gas temperature as low as 60C or 140F will avoid condensation. Condensation will
occur at higher temperatures when sulphur is present, because sulphurous acid (H2SO3) will have formed in the
exhaust gases. This poses a serious risk of corrosion if allowed to condense. Sulphur is often present in oil and solid
fuels.
Later in this course, we will examine the benefits of deliberately allowing condensation to occur. But the important
point is that operating at excessively-high exhaust temperatures wastes energy.

Slide 19: Reducing Stack Temperature
A combustion test therefore always includes a measurement of exhaust gas temperature, relative to the local air
supply temperature.
High exhaust temperatures usually have one of two causes. One possibility is that the boiler internals are fouled,
inhibiting the transfer of heat from the flame and combustion products to the water that is being heated in the boiler.
The other possibility is that the burner is oversized, meaning that there is insufficient heat transfer surface to capture
all the heat that is released.
There are various options for reducing stack temperature. Fouling can be counteracted by effective cleaning during
maintenance, while limiting the burner output by de-rating the burner is a low-cost option for improving
efficiencyeven if the burner is not oversized. In some cases, a redesign of the internal pathways by means of
retrofit baffles will improve heat transfer.
Slide 20: Combustion Charts
These charts present the relationship between the flue gases, excess air and the temperature difference between the
stack and ambient air. For example, if measurements indicate 3% of the flue gas is oxygen, we can find the point
where this measurement intersects with the curve on the gas portion of the chart. Extrapolating from this point
reaches an intersection with the curves of temperature. If the temperature rise has been measured at 350C
/660F, we can find the line that corresponds and extrapolate again to the combustion efficiency axis. This
indicates an efficiency of about 76.2%.
If the temperature rise is lowered to 150C/ 300F, we can see that the line now extrapolates to about 84.2%
efficiency a significant improvement that would potentially represent a substantial cost savings.
Charts of this type have largely been replaced by up-to-date combustion analysis devices pre-programmed with
these relationships. These devices can tell you the efficiency directly from the measurements.
Slide 21: The Boiler Energy Balance
It is a fundamental law of physics that energy cannot be created or destroyed: only converted from one form to
another. In a burner, all the chemical energy in the fuel which is converted into heat has to come out somewhere. In
this diagram,
F represents the chemical energy in the fuel, and S represents the heat lost in the gases leaving the chimney.
C represents the heat loss from the casing and fittings of the boiler by virtue of it being hotter than its surroundings.

U represents the boilers useful heat output. It is the total energy input of F, minus the sum of the stack (S) and
casing (C) losses.
Slide 22: Energy Consumed By Excess Air
Lets see these three losses combined and use them to review what we learned about excess air.
The useful heat, stack loss and casing loss adds up to the energy value of the fuel.
In an efficient combustion process, the losses are minimized and the useful heat is at its maximum.
When excess air is incorporated, it does not contribute to combustion, so the energy value of the fuel remains the
same. But the extra air takes heat out of the boiler and increases the stack loss. This leaves a deficit of useful
heat which needs to be made up by supplying more fuel.

Slide 23: The Boiler Energy Balance:
Combustion Efficiency
The combustion efficiency is the output energy not lost up the chimney (F-S) divided by the input energy (F).
Slide 24: Combustion Efficiency

Different burners can achieve different efficiencies, but a figure of about 80% - 85% would be typical in a heating
boiler. By contrast, a burner on a high-temperature process would usually be much less efficient because of the high
temperature at which heat is exhausted up the chimney.

Slide 25: Combustion Efficiency in Condensing Boilers
In simple terms, a condensing boiler differs in having more heat transfer area just before the chimney, allowing more
heat to be extracted from the products of combustion before they leave the appliance.
The burner in a condensing boiler can achieve close to 100% combustion efficiency.
In part this is because the exhaust gas is discharged at low temperature, with more heat having been extracted from
it.
The other reason is that the boiler recovers latent heat by condensing the water vapour in the exhaust.
It is important to note that the condensing effect will only occur if the products of combustion are cooled below their
dew-point temperature. With natural gas, for example, the exhaust needs to be cooled to 59C/138F or below, which
is only possible if the system return water temperature is sufficiently low.
Condensing economisers can be fitted to large conventional boilers to achieve the same effect. In the example
shown, the exhaust gases are reheated after the condensing section to ensure that they are sufficiently buoyant on
leaving the chimney top. This is economical because the amount of latent heat recovered significantly exceeds the
sensible heat needed for reheating.
Slide 26: The Boiler Energy Balance:
Boiler Efficiency
The boiler efficiency is useful heat output U divided by energy input F, or (F-S-C)/F). It differs from combustion
efficiency by taking the casing heat loss into account.

Slide 27: Variation of Boiler Efficiency with Loading
The casing loss is constant, but if the combustion efficiency is also constant it follows that the stack loss will vary
proportionately with output.

The overall efficiency of the boiler is highest at high output, but tails off at lower output as the fixed casing loss
becomes a bigger proportion of total losses.

If it's not obvious to you how the fixed casing loss affects efficiency at low loads, click on the Attachments to
download an exercise illustrating this fact.

This illustration assumes a combustion efficiency of 80% at all firing rates, and a fixed casing loss equivalent to 3% of
peak output.
This phenomenon is important where you have two or more boilers sharing a heat load.
It is more efficient to supply heat with the minimum number of boilers, operating them at close to full load.
It is less efficient to operate several boilers at low load.
Spare boilers should be turned off, isolated, and allowed to cool down.
Modern, high-efficiency heating boilers respond quickly when called to fire, so bringing them back into service from
cold standby is not usually an issue. In building heating systems it is often the case that there is only one daily
change in demand pattern, between the preheat boost period when full capacity is required, and daytime operation
when a fraction of full output is usually sufficient. In other situations a sequence control algorithm can be
programmed to optimise the scheduling of boilers and prevent excessively frequent stops and starts.

Slide 32: Impact of Efficiency on Fuel Cost
Here is the formula to calculate the impact of combustion efficiency on fuel cost.
Lets see an example: A burner was adjusted so that the efficiency increased from 78.2% to 80.5%.
800,000 per year. What are the projected fuel savings?
Fuel costs
Try working out the answer, and then click Play to compare your results.
Slide 33: Impact of Efficiency on Fuel Cost
The result is a 3% reduction in fuel costs, amounting to 24,000
How would you go about obtaining that improvement?
Lets see:
Slide 34: Checking Efficiency

When a maintenance technician checks the combustion conditions, his or her test equipment measures the flue gas
temperature relative to ambient temperature, and its oxygen and carbon monoxide concentrations.
Sometimes carbon dioxide is also measured.
A built-in formula converts this data into a direct readout of combustion efficiency.
The test can only check the combustion efficiency, not the total boiler efficiency, because this device has no way of
measuring the casing loss.
Slide 35: Benchmarking Boiler Efficiencies
The combustion test reports are valuable to the energy manager and allow certain important questions to be asked:
Is the measured efficiency of each individual boiler as high as it was on the best previous occasion?
In a given boilerhouse, what are the relative efficiencies of the installed boilers?
If there are wide variations between identical boilers within a given installation, the owner may conclude that one or
more boilers have not been as well maintained or adjusted as the others.
If differences still remain after thorough tuning, cleaning and adjustment, the owner can choose to run the most
efficient boiler in preference as the lead unit and minimise the running hours of the less-efficient ones.
Likewise, if the efficiency of a given unit is less than has been previously recorded, this also may indicate that

cleaning and adjustments have not been done as thoroughly as they should have been.
On the other hand, if combustion efficiency is higher than previously recorded, the new performance becomes the
yardstick for future maintenance.
Slide 38: Savings From Good Maintenance
Effective burner adjustment and boiler cleaning will reduce energy loss by ensuring optimum air-fuel ratio and
minimum exhaust gas temperature. Although the savings may be small perhaps less than 5 percent they should
be achievable at no cost because what is suggested is nothing more than good maintenance practice. However,
without measurement and active management, good practice will not necessarily be achieved.
Slide 39: Combustion Efficiency in the Maintenance Specification
Owners and operators of large installations, or large numbers of installations, would do well to carry out their own
independent combustion tests as a cross-check on the work of the maintenance contractors.
For example, if the average daily stack temperatures were to increase slowly over a period of months, this could be
an indication of fouling of the boiler internals, as illustrated here.
Fouling, which can arise because of soot or ash deposits, prevents heat from being transferred to the boiler water,
and that heat will be vented up the stack. More common is a change in the air-fuel ratio away from the optimum.
This can be caused by wear or blockage of burner heads, mechanical faults with air dampers and the linkages which
operate them, or bad maintenance.

Slide 40: Combustion Efficiency in the Maintenance Specification
Operators should also consider writing the target combustion efficiencies--for every burner--into the boiler
maintenance specification schedule.
A good starting point for such a schedule would be to take the best combustion efficiencies previously achieved on
each unit. If that requires too much work, the most recently reported efficiency is a second-best option. However, the
contract should allow for the schedule to be updated dynamically so that target efficiencies can be ratcheted
upwards.
Slide 41: Summary
Lets summarize some of the information that we have reviewed in this course.
We examined the opportunity to save money and reduce environmental impact through improvements in combustion
efficiency, a universal process which carries a risk of avoidable energy losses. Every energy user can save energy by
paying attention to combustion efficiency, and that diligent maintenance should yield savings at no cost to the owner.
Large users could consider improving their maintenance contract schedules and their management of contractors.
We learned that efficient combustion requires complete burning of fuels, maximizing the heat output and minimizing
stack losses, production of soot, carbon monoxide or unburned oxygen.
Combustion efficiency is calculated from the fuel input and stack losses
This differs from overall boiler efficiency, because the overall efficiency of the boiler must also take into account the
loss of heat through the casing, which is not a combustion factor.
Combustion efficiency tests require measurement of the stack temperature, ambient temperature, oxygen or carbon
dioxide concentrations, and sometimes carbon monoxide concentration.
Maximize efficiency by providing the right amount of air. We learned that excess air increases fuel costs. Not
enough air creates soot and smoke, which is a nuisance and wastes energy. Extreme air deficiencies can result in
waste of unburned fuel. If natural draft is not sufficient, airflow can be increased by using a forced draft burner with
a fan.
You may also maximize efficiency if you:
Consider a turbulator to improve mixing of fuel with air
Consider burners designed to operate with low excess air
Avoid operating at low loads, since boilers do not operate efficiently at low loads due to the casing loss.
Ensure proper maintenance and adjustment, and if necessary replace faulty burner components
Reduce the exhaust gas temperature, as long as it is not reduced to the point where corrosion from
sulphurous acid would occur.
And finally, we learned that exhaust gas temperature can be managed by effective boiler cleaning, and if
necessary de-rating the burner
Commissioning for Energy Efficiency

Slide 1
Welcome to Commissioning For Energy Efficiency.
Slide 2
Slide 3
Explain the purpose and benefits of commissioning, and how it relates to energy efficiency
Define new construction commissioning, retro-commissioning, re-commissioning, continuous

commissioning, and monitoring-based commissioning
Explain key success factors for commissioning
Explain the role of energy monitoring systems in supporting effective continuous commissioning
Slide 4
Building performance problems are pervasive. Deficiencies such as design flaws, construction defects,
malfunctioning equipment, and deferred maintenance have a host of ramifications, ranging from equipment
failure, to compromised indoor air quality and comfort, to unnecessarily elevated energy use or underperformance of energy efficiency strategies.
Even green buildings, and buildings with high-tech systems for building control, heating, ventilation, and air
conditioning are prone to have problems in systems that have drifted from their original performance, or
which may never have been correctly set up in the first place.
Fortunately, an emerging form of quality assurance, known as building commissioning, can detect and
remedy most deficiencies.
Slide 5
In this course, we will learn about this activity, which has the potential to find savings of up to 30%, and in
some cases even 50%, with paybacks of three years or less, often much less.
Slide 6
The American Society of Heating, Refrigerating and Air-Conditioning Engineers (ASHRAE) was one of the
first organizations to begin publishing commissioning guidelines. It defines Commissioning as a qualityoriented process for achieving, verifying, and documenting that the performance of facilities, systems, and
assemblies meets defined objectives and criteria. This begins with planning, and includes design,
construction, start-up, acceptance and training, and can be applied throughout the life of the building.
Slide 7
Commissioning need not be a one-time-only activity. The California Commissioning Collaborative identifies
a number of types of commissioning, including:
New-construction commissioning: Single-instance commissioning of the systems in a newly constructed
building (or major building addition), applied from project inception to initial occupancy.
Retro-commissioning (RCx) [or existing-buildings commissioning]: Single-instance commissioning of
systems in an existing building. This may be needed when buildings are adapted, additions are made and/or
considerable time has passed. It may resolve problems that occurred during design or construction and
bring the building back to its original or desired performance.
[Haasl and Heinemeier 2008a; 2008b]
Slide 8
Re-commissioning: Periodic commissioning of systems in an existing building to ensure that systems are
operating as intended. Ideally recommissioning is planned for in the original commissioning of the building,
or when it is retro-commissioned.
Continuous Commissioning (CCx): Texas A&M University (TAMU) has registered this term as an ongoing
process to resolve operating problems, improve comfort, optimize energy use and identify retrofits for
existing commercial and institutional buildings and central plant facilities. Specific commissioning protocols
are also associated with the term. This is sometimes called real-time commissioning.
Monitoring-Based Commissioning (MBCx): This refers to an approach that involves three elements: 1)
Energy Information Systems/Building Diagnostics; 2) Retro-commissioning; and 3) Ongoing commissioning
and measurement-based savings accounting using the metered and monitored data.
Slide 9
How does commissioning a new building differ from construction project management? How does
commissioning an existing building differ from maintenance?
Commissioning, in effect, is a type of quality assurance and risk management applied to construction project
management and maintenance. It is discussed as something special because it is so often lacking in the
normal processes of construction and maintenance. Today, in ordinary buildings there is very often little or
no effort to coordinate between designers or installers of different systems. Building construction projects
often fail to have enough quality control checks on fitness for purpose in the design phases, resulting in
buildings that are a poor answer to the needs of the occupants. During construction, there should be clear
processes to verify that implementation matches the specifications and validate that both meets the needs
of occupants. In reality, these processes are often lacking and can result in buildings including systems that
have never been set up correctly, which may even be actively working in opposition to each other.
Once a building is occupied, maintenance SHOULD be checking that the building is both meeting the
specified conditions, and that the specified conditions are satisfying the needs of occupants. Often,
maintenance is just "keeping the system running" without checking if the building meets specified conditions
or maintenance checks the building meets the conditions, but due to changes in use or occupancy, those
conditions are no longer valid. In short, maintenance typically asks Is that fan working and does not ask
Should that fan be on or off?.
For more information on maintenance, please consider participating in the course, Maintenance Best
Practices for Energy-Efficient Facilities.
Slide 10
Here are some examples of problems that occur in buildings, that would typically be avoided or eliminated
by commissioning:
For existing buildings
Unnecessary lengths of duct or piping
Inaccurate or failed sensors, or sensors that are obscured by other equipment
Economizers or variable speed drives either stuck or on override, potentially with other equipment
working overtime to counteract the effect
Heating and cooling on at the same time
For new construction:
Oversized equipment
Ventilation blocked by construction debris
Incorrect set points or control sequences
Sensors that are too sensitive or not sensitive enough, or that are poorly located
Slide 11
These charts show core results from a study compiled by Lawrence Berkeley National Laboratory. The
buildings in the study achieved a range of energy savings with the upper and lower twenty-fifth percentile
ranging from under 10% to over 30%. The median was 16% for existing buildings and 13% for new
buildings. More than a quarter of the buildings saved over 30%. Savings of up to 50% were observed
naturally those buildings had serious problems when the process was started, but its clear that higher levels
of savings correlated with the breadth of the commissioning activity.
What did these projects cost? In existing buildings the median cost of commissioning was $0.30 per square
foot year, and $1.16 per square foot for new construction. Typically commissioning adds between 1 and
2% to the cost of construction.
In comparison, the median savings were $0.29 per square foot year for existing buildings and $0.18/ft2 per
year for new construction.
(Charts Reference: Building Commissioning : A Golden Opportunity for Reducing Energy Costs and Greenhouse Gas Emissions,
Lawrence Berkeley National Laboratory, July 21, 2009)
Slide 12
This yields median payback times in existing buildings of 1.1 years, and median payback of 4.2 years in new
construction. Another way of looking at the results is using the cash-on-cash return. This is the first-year
cost savings from the project divided by project cost, expressed as a percentage. The higher the
percentage the faster the investment is paid back. If the return is equal to or greater than alternative
investment returns (e.g., 10%) then the project can be considered cost-effective. Existing buildings achieved
median returns of 91% and new buildings achieved 23%. These returns indicate that commissioning is a
highly cost effective process.
(Chart Reference: from Building Commissioning : A Golden Opportunity for Reducing Energy Costs and Greenhouse Gas Emissions,
Slide 13
Commissioning typically brings benefits beyond the scope of energy efficiency. In fact, many
commissioning projects are not started with energy efficiency as the primary goal. Occupant comfort or
productivity are often the prime movers for a project, and customers may be surprised to learn that energy
savings were achieved. Here we see a study of 20 projects, showing the outlay on the commissioning
project, and the non-energy related results. As you can see, most projects made substantial savings in nonenergy related areas and in many cases these non-energy savings were enough to pay back all the
commissioning costs, even without taking any energy savings into account.
(Chart Reference: Costs and Benefits of Commissioning New and Existing Commercial Buildings, Building a Sustainable Campus
Community, U.C. Santa Cruz, June 21, 2005, Evan Mills, Norman Bourassa, and Mary Ann Piette, Lawrence Berkeley National
Laboratory, Hannah Friedman and Tudi Haasl, Portland Energy Conservation, Inc., David Claridge and Tehesia Powell, Texas A&M
University - Energy Systems Lab)
Slide 14
The non-energy related benefits range from extended equipment life, reduced change orders and warranty
claims and ongoing labor costs, to occupancy benefits in thermal comfort and indoor air quality. A number of
projects were studied and the cases of benefits in each category were counted. These charts show you
how often each type of impact was reported. Note that they are not weighted for the financial impact, only
the frequency of occurrence.
(Chart reference: Costs and Benefits of Commissioning New and Existing

Commercial Buildings, Building a Sustainable Campus Community, U.C. Santa
Cruz, June 21, 2005, Evan Mills, Norman Bourassa, and Mary Ann Piette,
Lawrence Berkeley National Laboratory, Hannah Friedman and Tudi Haasl,
Portland Energy Conservation, Inc., David Claridge and Tehesia Powell, Texas
A&M University - Energy Systems Lab)
Slide 15
These two studies show that a wide range of buildings can benefit from commissioning. Schools, retailers,
and hotels tend to be less energy-intensive in their consumption. Payback periods for these types of
building are still very attractive, averaging between 1 and 4 years. But there are often huge savings to be
made in offices and especially high-tech energy-intensive facilities such as hospitals, laboratories, clean
rooms and data centers.
(Reference for charts: Building

Commissioning : A Golden Opportunity
for Reducing Energy Costs and
Greenhouse Gas Emissions, Lawrence
Berkeley National Laboratory, July 21,
2009)
Slide 16
Commissioning is one of the most cost-effective means of improving energy efficiency in buildings. While
not a universal remedy, it can play a strategically important role in accomplishing energy savings goals. The
ultimate impact of energy efficiency programs lies in no small part in the extent to which they are coupled
with cost-effective quality assurance.
Developing a commissioning strategy means that you have:
A building that is easier to manage
A building with a lower cost of operation
Slide 17
Commissioning is an underutilized strategy for saving energy and money while managing related risks.
So, if commissioning is such a great way to obtain these benefits, why is it applied so rarely?
There are a variety of barriers:
Widespread lack of awareness of need and value on the part of prospective customers
Insufficient professionalism within the trades
Splintered activities and competition among a growing number of trade groups and certification
programs
Misperception that it is not cost-effective in smaller buildings
The absence of commissioning-like requirements in most building codes
Omission or obfuscation of the strategy in most energy-efficiency potentials studies
Tension between standardization and recognition that each building is unique and must be
approached with an open mind.
(Barriers Reference: Building Commissioning : A Golden Opportunity for Reducing Energy Costs and Greenhouse Gas Emissions,
Slide 18
So what does it take to succeed with commissioning.
Shipbuilding is the source for the term commissioning. Ships that are commissioned are ready for service.
To accomplish this, several milestones must be passed. The equipment is installed and tested, issues are
identified and resolved, and the crew are comprehensively trained.
Building commissioning takes the same approach to new buildings. At the time of initial commissioning an
intensive quality assurance process begins during design and continues through construction, occupancy,
and operations. Commissioning ensures that the new building operates initially as the owner intended and
that occupants of the building correctly use its features, while building staff are equipped to operate and
maintain its systems.
Some key success factors include:
Leadership
Process
Involvement
Documentation
Awareness
Monitoring
Lets take a look at each of these.

Slide 19
Leadership is essential. Since commissioning deals with the interplay of the various building systems, it is
always a team effort. The team will typically include designers, engineers, contractors, onsite operations and
maintenance staff, and, ideally, building owners. This team will have diverse skills and concerns, and its
members may never have experienced the type of collaboration a commissioning project requires.
Concerns over tradeoffs, fears of increased cost, insufficient paybacks, and missed schedule deadlines
mean that tempers may run high. A competent and experienced leader A competent and experienced
leader is therefore essential, to facilitate effective dialogue, maintain discipline and foster rational choices
Slide 20
A well organized project will follow a well defined commissioning process, like these examples. Planning for
these tasks at the outset will ensure that roles and responsibilities are clear within the team, that the right
people are involved soon enough, and stay with the project long enough.
Commissioning Process Overview
Select a commissioning load

Pre design phase commissioning meeting
Begin developing owners project requirements
Develop initial commissioning plan outline
Design phase commissioning meeting

Perform commissioning focused design review
Update commissioning plan
Develop commissioning requirements for the
specification
Begin planning for verification checklists,
functional tests, systems manual, and training
requirements
Construction phase kick off meeting

Review submittals, monitor development of shop and
coordination drawings
Review O&M manuals
Perform ongoing construction observation
Perform verification checks
Perform diagnostic monitoring
Perform functional testing
Develop commissioning report and systems manual
Develop re-commissioning plan
Verify and review training of owners staff
Resolve outstanding commissioning issues
Perform seasonal/deferred testing
Perform near warranty end review
Retro-Commissioning Process Overview
Select the project

Set project objectives & obtain support
Select a commissioning lead
Document the current operating requirements
Perform an initial site walk through
Develop the retro-commissioning plan
Assemble the retro-commissioning team
Hold a project kick off meeting
Review facility documentation

Perform diagnostic monitoring
Perform functional tests
Perform simple tests
Perform simple repairs
Develop master list of findings
Prioritize & select operational improvements
Develop implementation plan

Implement selected operational improvements
Verify results
Develop final report

Compile a systems manual
Develop re-commissioning plan
Provide training
Hold close out meeting
Implement persistence strategies
(Reference for processes: Building Commissioning : A Golden Opportunity for Reducing Energy Costs and Greenhouse Gas
Emissions, Lawrence Berkeley National Laboratory, July 21, 2009)
Slide 21
Commissioning relies on involvement to prevent and solve problems. Conventional projects do not provide
any opportunity for the people who will maintain the facility to provide input or feedback. Commissioning
ensures this involvement is built in during design, and also ensures a better training plan and a smoother
transition to operational use. Also, the concerns of installers can be discovered at the design phase, instead
of during the construction phase when the issues may be many times more costly to address. The process
also ensures that designers and contractors remain engaged during the handover and tuning of the building.
Without commissioning, they are typically absent during the period when the building is actually set to work
and becomes functional. Their absence means that problems that might be easily addressed can be ignored
in the rush to achieve schedule deadlines.
Slide 22
The documentation set should include:
Clearly specified requirements, designs and specifications for the systems to be constructed, or the
as-is systems for an existing building
Commissioning plans
Records of settings, tests, results and modifications
Processes to ensure designs and specifications are updated with as built or as modified details
A full systems manual for operational use, including how the systems will be monitored and
corrected over time. Since commissioning is a soft process, ensuring persistence of the results is
a concern.
A full maintenance manual, including the methods, frequency and tools to be used
Slide 23
Awareness is a key success factor because without it the commissioning process will not receive adequate
support. As we have seen, commissioning does not happen by itself due to a variety of barriers. Managers
have to make it happen.
The team-oriented approach of commissioning means that its main costs are time and labor, not materials
and equipment. Decision makers must be cognizant of this during budget reviews.
Especially in new construction, the stakes can be high regarding total equipment and material cost, and
completion deadlines. Awareness that investing in commissioning now prevents delays and expense later is
essential to maintaining wise decision making under pressure. Successful commissioning ensures a smooth
handover. An absence of commissioning virtually guarantees problems later on. The building owner in
particular must keep this in mind. The project participants may not have the same risks or rewards at stake
and the project leader must manage this. The increasing complexity of building systems means that time for
tuning is a necessity. Awareness of this is an asset during schedule reviews.
It returns to the roots of the needs for the building instead of asking how can we make this equipment
more efficient, it will ask is this equipment even necessary? This will require owners and specifiers to
clarify their expectations, and designers, installers and maintainers to challenge pre-conceived ideas.
Awareness of this will foster the enquiring mindset necessary for commissioning to succeed.
Slide 24
Lastly, monitoring is a success factor for commissioning because it allows the commissioning team to:
Benchmark the site consumption against other sites
Identify normal patterns of consumption, or patterns that correspond to the building's optimum
setup, and to identify promptly when some change occurs. That change could be due to a fault in
the system, to someone overriding a setting and not returning it to its original value, to some other
change like new equipment being brought in, or to an increase or decrease in the occupancy.
Whatever the cause, an energy monitoring system would show the facility manager that there is a
deviation from the expected energy performance and allow him to investigate, discover and solve
the problem much more quickly
Provide data that can be analyzed to determine if a change to a setting had a positive or negative
effect on energy consumption
If modeling is supported, provide a "what if" analysis that may help the facility manager anticipate the
influence of changes in drivers such as production level or occupancy
We learned earlier that commissioning projects can produce considerable savings but savings can be lost if
monitoring is not in place. Lets take a look at how monitoring can affect the savings in an active energy
efficiency plan.
Slide 25
An energy efficiency program could save you up to 30% - maybe more in some cases. Often around 10 to
15% of consumption can be saved with passive energy efficiency measures dealing with efficient devices
and installation. You could take that further with automation and regulation to optimize the usage of those
devices another 5 to 15%. Then, your monitoring program could bring another 2 8%, by noticing
patterns and allowing you to optimize them.
However, you can lose these savings quickly if you dont keep your monitoring and maintenance program in
place. Automated systems can drift away from optimal performance as small adjustments are made over
time. People can slip back into energy-wasting behavior if deviations are undetected and expectations are
not reinforced. Power reliability is also an important contributor energy efficiency gains can be lost quickly
if there are unplanned, unmanaged shutdowns of equipment and processes. Without proper monitoring,
each year 8% of savings can be lost.
Slide 26
The role that monitoring can play is clearly illustrated in this chart from Lawrence Berkeley National Labs.
(Reference for chart: Building Commissioning : A Golden Opportunity for Reducing Energy Costs and Greenhouse Gas
Emissions, Lawrence Berkeley National Laboratory, July 21, 2009)
Here the top line of the chart shows the business-as-usual situation faced by a building operator. The load
is gradually increasing and so are the costs.
This red area shows the benefits that conventional recommissioning can bring. Periodically, the systems of
the building are adjusted and savings are made, but those savings start to leak away again over time.
The green area shows additional savings resulting from bringing in monitoring-based commissioning.
Notice that the line is still a sawtooth, but each tooth is much smaller, since the monitoring activity notices
deviations and corrects them faster.
The use of monitoring itself during the commissioning activity helps to find new areas where savings can be
made, shown in gold.
And as time goes on, the monitoring will tend to find more and more opportunities, shown in blue.
Slide 27
In conclusion, the purpose of existing building commissioning is to:
Ensure that the building operates in a safe, comfortable, efficient manner
A properly commissioned building will:
Save energy and operating costs
Increase tenant satisfaction
Extend equipment life-cycle
Ensure the persistence of improvements over the buildings life.
Assist in achieving LEED, BREEAM, HQE or other green building standards
Improve the buildings energy rating in programs such as ENERGY STAR
Contribute to meeting carbon footprint goals
Slide 28
Commissioning a new building (and systems within a building) helps ensure that:
The owners project requirements are complete, feasible and well-documented.
The design teams solutions adequately address the owners requirements.
Construction is complete and of appropriate quality.
The owner receives the training and project documentation to successfully operate the building.
Slide 29
Commissioning is the quality-oriented process for achieving, verifying, and documenting that the
performance of facilities, systems, and assemblies meets defined objectives and criteria. This begins with
planning, and includes design, construction, start-up, acceptance and training, and the operational life of the
building
Commissioning ensures that all building systems meet performance objectives, including indoor air quality,
thermal comfort conditions, and lighting levels
The commissioning process reduces operating costs and can produce savings of up to 30% of total building
energy costs, with a simple payback from energy savings alone averaging in just over one year in existing
buildings
Energy monitoring systems are an important part of any active energy efficiency program
In a commissioning project, they ensure savings are sustained over time, and help to find more savings
Slide 30
Compressed Air I An Introduction

Slide 1
Welcome to Compressed Air Systems I: An Introduction! This is the first in a series of compressed air system
courses offered by Energy University. In this course, we will discuss the key factors that influence the efficiency of a
compressed air system. In following courses, we will look at compressor types and control methods in more detail,
study the supply and demand side components, and learn how to manage a compressed air system for best
efficiency.
Slide 2
Slide 3
Explain basic compressed air terms and concepts
Describe the relative inefficiency of compressed air as a power source
Define the supply and demand sides of a compressed air system and
Identify the components of a compressed air system and explain what they do
Slide 4
Compressed air is widely used throughout industry. It is sometimes called the fourth utility, after electricity, gas and
water. From mining, lumber and paper mills, petroleum, chemical, textile and glass production to small manufacturing
plants and hotels, compressed air provides critical services and can often represent the majority of the facility energy
costs. It powers pneumatic tools, conveyors, hoists, pumps and machines. In processes, it is used for aeration,
filtration, dehydration, oxidation and fractionation.
Slide 5
Since many facilities cannot function without compressed air, reliability is paramount, but given that sound operating
practices can reduce energy consumption by 20% to 50%, efficiency is high on the agenda. Compressed air is a
utility. It is normally the most expensive utility in manufacturing environments and many times not managed for low
cost. Since it is not normally hazardous, it is often overlooked as a source for savings.
Slide 6
Compressed air systems can be divided into a supply side and a demand side.
The supply side deals with how compressed air of the required quality should be efficiently produced.
The demand side focuses on how compressed air is distributed and utilized for productive use.
Slide 7
Why is compressed air so popular? Tools that are powered with air are usually smaller and lighter than ones driven
by electric motors. They also have a full range of speed and torque settings and achieve the required speed and
torque quickly. Safety is also a factor air tools do not produce sparks and dont make much heat.
So whats the downside? Unfortunately, compressed air is a very inefficient method of doing work. A great deal of
energy is consumed to generate compressed air and to treat it to achieve the desired temperature and dryness.
Some of that energy is then lost in the process of distribution to friction and normal pressure drop. Compressed air is
also prone to be misused. But the major inefficiency of compressed air energy is rejected in the form of HEAT. 60 to
80% of the power consumed by the prime mover is converted into heat, which is normally unusable in the
compressed air system. Taking all the losses into account, only about 10% of the power consumed by a compressed
air system arrives at the point of use!
Slide 8
Lets take some time now to investigate an example of the relative inefficiency of compressed air.
METRIC EXAMPLE:
Here we can see the relationship between an electric motor and an air motor. Consider a process such as paint
mixing. In our example, an air compressor is providing compressed air to an air motor to perform the mixing process.
The example above shows the performance of the air motor. To provide an output of 0.75 kW the motor must be
supplied with 50 CMH of air.
Now lets think about the motor inside the air compressor. The motor of our air compressor needs 11 kW of power to
make 100 CMH of compressed air. We only need 50 CMH, so lets do a simple conversion!
50 CMH / 100 CMH = 0.5 hundred CMH
Now we can put this number in a simple equation:
0.5 (100 CMH) * 11 (kW/100 CMH) = 5.5 kW
To make 50 CFM of compressed air, the compressor requires 5.5 kW of power at the compressor shaft.
But remember our information - with 50 CMH input the air motor is providing an output of 0.75 kW.
Electrical Power
5.5 kW
Compressed Air
50 CMH
Power for Paint Mixing
0.75 kW
This is around 5.5 kW compressor power for 0.75 kW of power at the point of use. Over 7 times as much power is
applied at the compressor as is supplied by the air motor. In this case, only about 14% of the power input to the
compressor is available at the point of use.
US CUSTOMARY EXAMPLE:
Here we see the relationship between an electric motor and an air motor. Consider a process such as paint mixing.
In our example, an air compressor is providing compressed air to an air motor to perform the mixing process. The
example above shows the performance of the air motor. To provide an output of 1 hp the motor must be supplied
with 30 CFM of air.
Now lets think about the motor inside the air compressor. The motor of our air compressor needs 25 hp of power to
make 100 CFM of compressed air. We only need 30 CFM, so lets do a simple conversion.
30 CFM / 100 CFM = 0.3 hundred CFM.
Now we can put this number in a simple equation
0.3 (100 CMH) * 25 (hp/100 CMH) = 7.5 hp
To make 30 CFM of compressed air, the compressor requires 7.5 hp of power at the compressor shaft.
But remember our information - with 30 CFM input the air motor is providing an output of 1 hp.
Electrical Power
7.5 hp
Compressed Air
30 CFM
Power for Paint Mixing
1.0 hp
This is over 7.5 hp compressor horsepower for 1 horsepower at the point of use. Over 7 times as much power is
applied at the compressor as is supplied by the air motor. In this case, only about 14% of the power input to the
compressor is available at the point of use.
Illustrating the results
In the example we just reviewed, only about 14% of the power input to the compressor was available at the point of
use. As you can see on this chart, the rest is lost to heat and other inefficiencies. However, simple cost effective
measures can address many of these inefficiencies to obtain savings of 30% or more.
Slide 9
Optimization of compressed air systems represents one of the largest industrial energy efficiency opportunities.
Lack of information has been a primary barrier to realizing substantial improvements in the efficiency, reliability, and
productivity of industrial compressed air systems. The efficiency of compressed air systems typically receives little
attention for a number of reasons:
Systems are not well understood by plant operations staff
Modifying a system is perceived as a risk to production
Vendors compete in a market where equipment is typically sold on a lowest first bid, without regard for the
cost of operation

Slide 10
Lets look at costs. The energy and operating costs of a compressed air system are far higher than the cost of the
compressor itself. Over the lifetime of a compressed air system, approximately 80% of the total cost of ownership is
electricity. This can represent hundreds of thousands of euros or dollars. Initial capital costs are just 9%. In a typical
water-cooled system, water runs at about 8% and maintenance at 3%.
Compressed Air System TCO

8%
3%
9%
80%
Energy
Water
Maintenance
Capital
Often, system improvements can result in electricity savings of 20 to 50%. Evidently, there is far more benefit in good
management of the system, than there is in focusing on the initial purchase price of compressors and equipment.
Other benefits of a well managed system include reduced maintenance, less downtime, increased production and
improved product quality.
Slide 11
Air compressors, blowers and fans are all types of equipment that interact with air or other gases. How do they differ?
A fan moves large amounts of gas with low increase in pressure generally up to 0.4 bar g or 5 psig
A blower is a machine for moving volumes of a gas with moderate increase of pressure up to 1 bar g or 15
psig.
A compressor is a machine for raising a gas - a compressible fluid - to a higher level of pressure greater
than 1bar g or 15 psig.
Slide 12
To understand how to optimize the compressed air system, there are some basic terms and concepts that we need
to learn.
Pressure is measured in bars or kilopascals in SI units, and pounds per square inch or PSI in US units. 1
bar is 100 kPa. Pressure can be measured from two different base points.
Absolute pressure is measured from the datum of a perfect vacuum. It is indicated by adding an a to the
unit of measurement - bar a or psia. A perfect vacuum has a pressure of 0 bar a or 0 psia.
Gauge pressure is the pressure measured from the datum of the atmospheric pressure. Although in reality
the atmospheric pressure will depend upon the climate and the height above sea level, a generally accepted
value of 1.013 bar a or 14.7 psia is often used, and is defined as 1 atmosphere. This is the average
pressure exerted by the air of the earth's atmosphere at sea level.
So effectively gauge pressure is shown on a standard gauge and indicates the pressure above atmospheric pressure.
It is measured in bars g in SI units, or psig in US units.
It follows that Gauge pressure = Absolute pressure - Atmospheric pressure

Slide 13
In terms of volume, air is typically measured in cubic meters in SI units, and cubic feet in US units. When air is
pressurized, it is squeezed into a smaller volume. This relationship between pressure and volume is fundamental. A
standard volume of air is an important concept to understand.
A standard cubic meter of air is a cubic meter of air under specific conditions of temperature, pressure and humidity.
For Standard Air, The Compressed Air & Gas Institute and PNEUROP have adopted the definition used in ISO
standards. This is air at 1 bar, 20 degrees C and dry (0% relative humidity).
If we take this standard volume and compress it to one-eighth, its volume is smaller and pressure has increased. In
this case however, it is still a standard volume of air when referenced back to standard pressure, and temperature
since moisture has not been added or removed.
For example atmospheric pressure is 1 bar a. When we compress that same volume of air to 7 bar g or 8 bar a, the
actual volume is reduced significantly during compression. It is now one-eighth (0.125) of a cubic meter in actual
volume. Note that it is still a standard cubic meter volume of air, since air has neither been added nor removed.
Although the actual volume is smaller when compressed, the standard volume of both these cubes of air at standard
conditions is the same.
US CUSTOMARY EXAMPLE:
A standard cubic foot of air is a cubic foot of air under specific conditions of temperature, pressure and humidity.
For Standard Air, The Compressed Air & Gas Institute and PNEUROP have adopted the definition used in ISO
standards. This is air at 14.5 psia, 68 degrees F, and dry (0% relative humidity).
If we take this standard volume and compress it to one-eighth, its volume is smaller and pressure has increased. In
this case however, it is still a standard volume of air when referenced back to standard pressure, and temperature
since moisture has not been added or removed.
For example atmospheric pressure is 14.7 psia. When we compress that same volume of air to 100 psig or 114.7
psia, the actual volume is reduced significantly during compression. It is now one-eighth (0.125) of a cubic foot in
actual volume. Note that it is still a standard cubic foot volume of air, since air has neither been added nor removed.
Although the actual volume is smaller when compressed, the standard volume of both these cubes of air at standard
conditions is the same.
Slide 14
There are a number of terms that are used to describe volume flow.
Inlet flow is volume flow referenced from the conditions at the compressor inlet.
Actual flow is volume flow referenced from the actual conditions of flow wherever it is measured, for
example within the compressor or in the compressed air system. The actual conditions of flow within the
compressor and system will have higher pressure than the inlet.
FAD or free air delivered is volume flow delivered by the compressor referenced to the ambient air
conditions.

Slide 15
Standard flow is flow related to standard conditions. Those standard conditions are:
1 bar a, 20C, and 0% relative humidity in SI units
The equivalent in US units is 14.5 psia, 68F, and 0% relative humidity.
Note that inlet standard flow may be more than supplied standard flow due to losses at the seals, and intercooler
losses. These different flows may be expressed in a variety of units, and with a variety of acronyms, depending on
the country. In metric units you may see cubic metres per minute or per hour. It might be written like this m3/m,
written like this m3/h or abbreviated to CMM or CMH. You may also see centimetres or decimetres used instead of
metres. You may also occasionally see litres used.
In US customary units you will often see cubic feet per minute, abbreviated to CFM. You may also see hundreds of
CFM used as a convenient unit, written 100 CFM.
In acronyms, S is for Standard, A is for Actual and I is for Inlet. So SCMM is standard cubic metres per minute. ICFM
is inlet cubic feet per minute.
Slide 16
Capacity is a term used to describe the full rated volume of flow of air. Capacity is the volume of flow of compressed
air delivered by the compressor at full load according to the designer specifications. FAD is reduced by aging, poor
maintenance, fouled filters, heat exchangers. Energy loss is approximately the percentage deviation between actual
FAD and original FAD per the designed capacity.
Slide 17
The cost of operating a compressor at full load is proportional primarily to the volume (mass) of air that is
compressed, and the operating pressure ratio of compression. Compressed air volume flow is represented by a V
with a dot above. The pressure ratio is given by bar a at exit divided by bar a at inlet. In US units this would be psia at
exit divided by psia at inlet.
Slide 18
Dew point is the temperature at which condensation begins to occur.
Pressure dew point is the temperature at which condensation will begin to occur at a given pressure.
A given mass of an air mixture will have a different dew point at different pressures.
Slide 19
The amount of compressed air and the pressure it is delivered at are two important factors in selecting the supply
side components of the system. However there are other quality attributes of proper compressed air which are
essential to the productivity of the plant and end-use requirements of its output. Requirements will vary depending on
the end-use of the air. For example, air used in a food manufacturing plant, or for filling diving tanks, must meet
higher standards than air used to spray paint or to drive a hydraulic tool.
Compressed air must meet requirements for:
Cleanliness, which means it must be free of particulates and contaminants;
Dryness - dryness is related to the pressure-dew point of the delivered air; and
Oil content - depending on the type of compressor, lubricant mist may pass from the compressor along the
compressed air, which may be unwelcome on the demand side.
Slide 20
The supply-side of the system produces compressed air of the required quality. The demand-side distributes
compressed air to the point of use, and includes the air tools themselves.
1. On the supply-side the first component is the intake filter. This removes particulates and water from the
incoming ambient air. If not removed, dirt and moisture will flow downstream causing maintenance problems,
product rejects, and costly downtime.
2. The intake filter leads to the compressor, which compresses atmospheric air into a useful and versatile utility.
Depending on the design of the compressor, lubricants such as oil may be added to keep moving parts
working smoothly. The compressor is driven by a prime mover, typically an electrical motor, equipped with a
motor starter. The air that leaves the compressor will contain ambient moisture that was not trapped by the
intake filter, and traces of lubricant.
3. Following the compressor is the after cooler. When the air is compressed, its temperature increases. The
after cooler cools the air to a suitable temperature. When the air temperature is reduced, moisture will
condense out. Up to 70% of the moisture in the air is removed by the after cooler.
4. A separator is installed after the aftercooler to complete the separation of the condensed liquids from the air
5. and deliver the condensate to an automatic drain.
6. The air leaves the separator and enters the primary receiver. This is storage for the compressed air supply.
The air in this receiver has been cooled, and any moisture that condensed out has been removed, but this
air still contains a lot of moisture in vapor form in fact the air is saturated with moisture, which still has to
be removed.
7. When required, the compressed air passes through a prefilter. This improves performance, reliability and
service life of the dryer.
8. The dryer condenses and removes moisture. Without this step, moisture would condense in the distribution
piping and at the point of use, which could cause corrosion and quality problems.
9. Following the dryer a device called a cold coalescer condenses and removes oil vapors. This is the most
efficient location for this step of the process.
10. After that, an adsorber removes leftover traces of oil and water vapors and
11. An afterfilter removes any leftover particles.
12. If used, a Control Receiver and Pressure Flow Controller can provide fine pressure regulation at minimum
pressure to minimize leakage losses and improve productivity.
From this point the air enters the demand side.
13. It travels through the distribution piping to end uses.
14. Secondary receivers provide storage for short-tem intermittent demand loads in the plant.
15. After the secondary receiver the air may pass through filters, lubricators, and regulators to provide final
filtering, lubrication and pressure control before reaching the point of use.
16. A well designed system will deliver compressed air of the appropriate quality to the points of use.
Slide 21
Lets summarize some of the information that weve discussed in this course.
This course introduced you to basic compressed air terms and concepts. We learned that compressed air as a
source of power is relatively inefficient. However, it can be very useful and necessary at times; compressed air
systems are normally broken down into supply and demand side components; and you should now be able to identify
basic components of a compressed air system and explain what they do.
In the following courses in this series well focus on the compressor itself. Then well look at other supply and
demand side equipment in more detail, and action plans for best efficiency.
Slide 22
Compressed Air Systems II - Compressor Types

Transcript
Slide 1: Compressed Air Systems II: Compressor Types
Welcome to Compressed Air Systems II: Compressor Types.
This is the second in a series of compressed air system courses offered by Energy University. If you have not
already done so, it is recommended that you participate in Compressed Air Systems I: An Introduction before
taking this course.
Compressor imagery used with permission from Atlas Copco Group
Slide 2: Many Thanks to the US Department of Energy & the Compressed Air Challenge
This course was produced using material from the US Department of Energys Improving Compressed Air
System Performance. The source book is free and available for download from the Compressed Air
Challenge website: www.compressedairchallenge.org.
Slide 3: Welcome
normal play of the course. Click ATTACHMENTS to download important supplemental information for this
course. Click the Notes tab to read a transcript of the narration.
Slide 4: Objectives
List the main types of compressors and identify the differences in their function
Compare the capacity and efficiency of different types of compressors
Identify appropriate compressor types for an application
Compressed air is one of the most expensive utilities. There are many different types and designs of air
compressors. Each is suited for different applications in buildings and industry. In this course, we will
explore the main types of compressors and identify their differences, compare the capacity and efficiency of
different types of compressors and we will identify appropriate compressor types for an application.
Lets continue our investigation into the supply side system. Here we see some of the main components of
the supply-side of the system: Compressors; Receivers; Dryers; and Filters. Also depicted are some of the
typical demand-side components of the system such as distribution piping, hoses, and end use filters,
regulators, lubricators, and tools. In this class, well focus on the compressor itself.

Transcript
Diagram used with permission from the US Department of Energy and the Compressed Air Challenge
Slide 7: Two Compressor Types
There are two basic compressor types: positive-displacement and dynamic.
In positive-displacement types, a given quantity of air or gas is trapped in a compression chamber and the
volume it occupies is mechanically reduced, causing a corresponding rise in pressure prior to discharge. At
constant speed, the average air flow remains essentially constant with some minor pulsing or variations in
discharge pressure.
Dynamic compressors impart velocity energy to continuously flowing air or gas by means of impellers rotating
at very high speeds. The velocity energy is changed into static-pressure energy in the impeller and in
discharge diffusers and volutes. In the centrifugal-type dynamic compressors, the shape of the impeller
blades determines the relationship between air flow and pressure. Pressure is referred to as head.
Slide 8: Selection Criteria
Selecting the right compressor depends on requirements for:
Capacity;
Pressure;

Transcript
Efficiency at full, partial and no load;
Noise level;
Physical size;
Oil carry-over;
Vibration; and
Maintenance
The choice of the type of compressor, whether axial, centrifugal, reciprocating, or rotary, depends primarily on
the required flow to be compressed, the compression ratio, and the duty which has to be performed.
Slide 9: Positive Displacement Compressors
There are two basic sub-types of positive displacement compressors:
Reciprocating; and
Rotary, which includes
Liquid Ring
Sliding Vane
Rotary Screw
Lobe Type
Slide 10: Reciprocating Compressors
Reciprocating compressors resemble a bicycle pump or piston, driven by a rod from a crankshaft. They may
be air-cooled or liquid-cooled. Air-cooled versions rely on fins, and fans to blow air over the fins to reject
heat of compression. Liquid cooled versions have a jacket around the cylinder and heads, and a heat
exchanger to reject heat of compression. These compressors may require lubricants within the compression
chamber and the piston rings, or sometimes are designed to exclude lubricant from the compression
chamber, and instead use non-lubricated components.
Slide 11: Operating Cycle of a Reciprocating Compressor
The operating cycle of a reciprocating compressor takes place in four stages as shown in this
Pressure-Volume indicator cycle:
Suction occurs as the piston withdraws, increasing the available volume in the compression chamber and
bringing in air from the inlet. The inlet valve closes.
Compression takes place as the piston drives inward, decreasing the available volume in the compression
chamber and compressing the captured air. This increases the pressure in the chamber.
Discharge takes place when the outlet valve opens. This will happen when the pressure in the cylinder is
slightly greater than the pressure in the receiver. The piston continues to drive inward and the compressed air
is expelled from the chamber above the immediate downstream pressure. The pressure remains constant as
this takes place.

Transcript
As the piston moves back, the outlet valve closes when the pressure starts to fall and the piston returns to its
original position. Clearance expansion takes place as the residual air expands and the pressure in the
chamber drops. When the pressure in the chamber falls below atmospheric pressure, the pressure
difference will make the inlet valve open, and the cycle repeats.
Slide 12: Heat of Compression

As air is compressed heat results due to the compression ratio between suction pressure and discharge
pressure. This can be damaging to compressor components. To improve compressor efficiency and limit
internal temperature, the compressor package may contain more than one stage of compression. Air may be
compressed in stages to reach the final required pressure with cooling between stages to remove heat,
moisture, and improve efficiency.
Slide 13: Two Stage Compressor
This chart shows the compression cycle broken into two stages. If this was done as one stage, the process
would start with suction, at G, and proceed through the rest of the cycle to C, B, and F1. The system would
then reset to G for the next cycle .
With the cycle in two stages, the first stage will proceed G, C, A to F.
The second stage will take over at G1, and proceed through C1, A1 to F1.
Because the compression second stage is presented with air that is already compressed to G1, and cooled,
the piston in the second stage receives cooled, dried, air at an intermediate pressure at its suction.
Therefore at the end of suction it is at stage C1 and it can accomplish the compression with less work. The
energy saved is represented by the area of A B A1 C1, which is the difference in profile between the

Transcript
single compression cycle and the two-stage approach.
Slide 14: Multi Stage Savings

Air pressures at or above 10 bar g or 150 psig usually dictate the use of two stages of compression inter-cooling is economical for savings and also to extend the life of the compressor components.
Click to view the US customary version or the Metric version of a corresponding chart.
This chart shows power and savings of two-stage and three-stage compression compared to single-stage of
compression at various discharge pressures.
Slide 15: Double Acting Compressor
Reciprocating compressors may be single acting, or double acting. Double acting means that both sides of
the piston are used for compression, giving twice the capacity for a given cylinder size. These images show
various images of small single-stage and multi-stage, single-acting and double acting reciprocating
compressors.

Transcript
Diagrams adapted from compressionjobs.com

Slide 16: Rotary Compressor
Lets move on to rotary compressors. These are positive displacement devices which rely on rotating
positive-displacement components rather than a piston arrangement.
The liquid ring compressor is one of several types. The impeller rotates within the casing, and water is fed into
the space. The water is subject to centrifugal forces and forms a moving cylinder around the inside of the
casing. The liquid layer seals the space between the impeller blades, creating a series of pockets that trap the
air. The impeller is not centered in the casing, but is offset. As a result as the impeller turns, the blades are
dipped further into the water layer. The air pockets are compressed, and the compressed air is discharged
from the cylinder.
Liquid ring compressor with elongated casing and schematic section at inlet and discharge sectors

Transcript
Adapted from Nash Engineering Company, Norwalk, CT
Slide 17: Sliding Vane Compressor
The sliding vane compressor has a rotor with blades that fit inside radial slots. The rotor is fitted within the
casing at an offset. When the rotor turns the blades slide in and out of the slots but remain in contact with the
cylinder wall. Air is trapped in the space between the blades and the wall. Since the rotor is offset, as the
rotor turns, the blades slide into the slots and the air pocket volume gets smaller. The air trapped in the
volume is thus compressed.
Imagery credit: James Parker

Slide 18: Screw Compressor
A screw compressor uses a pair of meshed helical screws to force the gas into a smaller space. Air is first
drawn in by suction to the lobe spaces between the screws. As the screw rotates, the lobe spaces are cut off
from the suction port. The lobe on one screw fits into a groove in the other screw and so the spaces are
reduced as the air is forced down the screw; this creates the compression. This continues until the lobe
space becomes exposed to the discharge port. Then the compressed air flows smoothly out of the
compressor.
Slide 19: Oil Lubricated Screw Compressor
Oil-lubricated screw compressors have complicated oil filtering, cooling, injection and removal systems
included on the compressor package. This depiction shows how oil passes through the compressor and is
removed in the air-oil separator immediately before the compressor discharge to the compressor after cooler.

Transcript
Complete oil-lubricated compressor packages look like those shown in these images.
Diagrams and compressor imagery used with permission from Atlas Copco Group
Slide 20: Lobe Compressor
The rotary lobe blower is another rotating positive-displacement machine. It incorporates two or more
lobes that trap air and carry it around to the discharge end of the blower and then exhausts the air to the
system. This unit is referred to as a blower rather than a compressor because technically it moves volumes
of a gas with moderate increase in pressure.
Imagery used with permission from Atlas Copco Group
Slide 21: Dynamic Compressors
The other predominant type of compressor is the dynamic compressor. This category is sub-divided into
centrifugal blowers and compressors, and axial compressors.
Slide 22: Centrifugal Compressor
Centrifugal machines include single-stage and multi-stage blowers and compressors. Centrifugal
compressors use one or more spinning impellers to transfer kinetic energy to a continuously flowing air
stream. Speeds can exceed 50,000 revolutions per minute. About 50% of the pressure energy comes from
the impeller and the rest results from the velocity energy changing into pressure energy when the air exits the
chamber and enters a space known as a volute.
Centrifugal compressors may have one to four stages (or more for high pressure applications). Each stage
further compresses the air from the previous stage. Between each stage there is an intercooler and separator
to reduce the air temperature back to ambient levels and eliminate condensation before passing to the next
stage.

Transcript
Slide 23: Regenerative Blower
Regenerative blowers are a type of dynamic centrifugal blower that can be very useful at times for
point-of-use savings. The impeller blades draw air into the chamber through the inlet port. Centrifugal forces
accelerate the air forward and outward. The air is reflected, or regenerated, by the wall of the chamber and
directed to the base of subsequent impeller blades, where it is again projected outward. With each
regeneration the air is pressurized more. There may be one or two impellers.
A stripper section is designed into the shape of the chamber. In this area the wall fits closely around the
impeller blades, and the air is directed out of the blower. (It is located between the inlet and the outlet where
the annulus is reduced in size to fit closely to the sides and tips of the impeller blades.)
Slide 24: Axial Compressor
Axial compressors contain a rotor and a motionless stator with airfoils that work together to raise air pressure
through each stage of compression. The rotor has multiple airfoil blades, while the stator has rows of
stationary airfoil vanes.
As the rotor turns, the airfoil blades accelerate the air, giving it kinetic energy. Air enters one rotor stage
gaining kinetic energy as it is pushed along the through the compressor. This air is then funneled into the
subsequent stator blades which convert the kinetic energy back into pressure energy. This process repeats
in the next stage - combination of rotor blades then stator blades. Eventually, air passes along the full length
of the rotor through all stages and is discharged from the compressor.
Axial compressors generally have multiple stages (without inter-cooling at each stage). The first few stages
may or may not have variable geometry enabling some capacity control. This means that the pitch or angle
of the stator blades can be adjusted to capture smaller or larger volumes of air. These compressors are
normally used for very high-volume high-power applications in refineries, and wind tunnels.
Reference for photography: Boyce, M. P. 2006.
http://www.netl.doe.gov/technologies/coalpower/turbines/refshelf/handbook/2.0.pdf
Reference for drawing : Falck, N. 2008.
http://www.tpe.energy.lth.se/fileadmin/tpe/Axial_Flow_Compressor_Mean_Line_Design.pdf
Animated axial compressor image source: http://www.grc.nasa.gov/WWW/K-12/airplane/caxial.html
Slide 25: Compressor Comparison
Click Attachments for a detailed comparison of the advantages and disadvantages of each compressor type.
This chart shows the most common ranges of compressors by type and size. Single acting reciprocating

Transcript
compressors cover a wide range of sizes, but do not normally cover the largest applications. Double acting
reciprocating compressors cover an even wider range. Normally the smallest ones are one stage, with the
medium and large applications covered by two stage designs. Rotary compressors are generally rotary screw
types, although at the smaller end of the scale lobe types are also found. Dynamic compressors are usually
only manufactured for larger applications.
Slide 27: Compressor Specific Efficiency
The most practical way to express compressor efficiency is the specific power consumption. This is the kW
or horsepower per volume flow rate. This allows us to compare different compressors that would provide
identical duty.
Slide 28: Comparing Lubricated & Oil Free Compressors
These charts show how different sizes of compressors perform at full-rated load. The x axis is a logarithmic
scale of the rated power of the compressor. The y axis is a linear scale of the power per unit volume at full
load.

Transcript
Click to explore the Metric versions and the US Customary versions.
Slide 29: Metric Lubricated Graph
For example, here is the profile for a single-stage, single acting reciprocating compressor. It is only
designed for use in the range up to approximately 25 kW. This means that it will absorb approximately 25
kW at the motor shaft when at full load. The y-axis shows you the efficiency of making compressed air at
that power consumption. 100 CMH will require 11 to 13 kW.
The profile for a two-stage double-acting reciprocating compressor is more efficient than a single-stage
single-acting compressor.
You can see this because the line for the two stage compressor is lower down the chart. It uses fewer kW to
make 100 CMH of air. It also has a wider range.
In the 400kW range, the only lubricated compressors typically available are two-stage double-acting
reciprocating compressors and rotary screw compressors.
Slide 30: Metric Oil-Free Graph

Oil free compressors have similar profiles comparing available compressors but now we can see centrifugal
compressors as well. Notice that centrifugal compressors are normally seen in high volume applications.
Axial fan compressors are normally seen in very high volume applications that are beyond our scope and not
shown on this chart.
A centrifugal compressor may be somewhat more efficient than a lubricated, single stage single-acting
reciprocating compressor. However the centrifugal compressor would not be able to operate at the lower
volumes that the single stage compressor can support.

Transcript
Click to explore the US Customary versions or click Continue.

Slide 31: US Customary Lubricated Graph
For example, here is the profile for a single-stage, single acting reciprocating compressor. It is only
designed for use in the range up to 30 hp. This means that it will absorb 30 hp at the motor shaft when at full
load. The y-axis shows you the efficiency of making compressed air at that power consumption. 100 CFM
will require 25 to 30 horsepower.
The profile for a two-stage double-acting reciprocating compressor is more efficient than a single-stage
single-acting compressor.
You can see this because the line for the two stage compressor is lower down the chart. It uses less
horsepower to make 100 CFM of air. It also has a wider range.
In the 500 hp range, the only lubricated compressors typically available are two-stage double-acting
reciprocating compressors and rotary screw compressors.

Transcript
Slide 32: US Customary Oil-Free Graph

Oil free compressors have similar profiles comparing available compressors but now we can see centrifugal
compressors as well. Notice that centrifugal compressors are normally seen in high volume applications.
Axial fan compressors are normally seen in very high volume applications that are beyond our scope and not
shown on this chart.
A centrifugal compressor may be somewhat more efficient than a lubricated, single stage single-acting
reciprocating compressor. However the centrifugal compressor would not be able to operate at the lower
volumes that the single stage compressor can support.
Click to explore the Metric versions or click Continue.


Transcript
For the purposes of normal compressed air applications, specific power consumption is a suitable
comparison between compressors and systems. Example efficiency performance numbers include kW per
100 CMH, and kW per CFM.
For practical analysis, energy used per air produced is most important to the end user. There are other
measures of compressor efficiency: volumetric efficiency, adiabatic efficiency, isothermal efficiency and
mechanical efficiency. These measures are not practical for the average consumer and beyond the scope of
this training class.
Slide 34: Summary
In this class, you learned the main types of compressors and identified the differences in their functions. We
discussed comparisons of the capacity and efficiency of different types of compressors, and we identified
appropriate compressor types for an application.
In the following classes in this series well look at compressor control methods, other supply-side and
demand-side equipment in more detail, and action plans for best efficiency.
Compressed Air III - Transcript

Slide 1: Compressed Air III Control Methods
Welcome to Compressed Air IIIControl Methods. If you have not already done so, please participate in
Compressed Air I and II, prior to taking this course.
Slide 2: Welcome
Slide 3: Objectives
Identify methods to control air compressor capacity
Compare the efficiency of the various methods on a simple chart, and you will be able to
Evaluate the various control options and select methods to meet your system air demand efficiently
In previous classes, we have seen that compressed air is an extremely expensive utility. Therefore, efficient control
methods can have a big impact on the energy costs of the system. The purpose of this course is to explain these
methods so that you will be able to specify the ones that best meet your system air requirements.
Slide 5: Ways of Varying Compressor Air Flow
Now let's look at ways of varying the air flow supplied by the compressor.
The most effective way to run an air compressor is at full-load.
control is simply turning the compressor on and off.
Hence the most simple and effective method of
However, one cannot turn off large compressors and re-start them often as this can prematurely cause electric motor
failure. As a result, compressors may need to operate for extended periods.
To maintain stable system pressure while the compressor is operating, most manufacturers use capacity controls to
limit airflow into the system to that needed by the end uses. Providing compressed air at the lowest pressure
required by the system and with the fewest number of operating compressors can save a great deal of energy.
Well start by looking at methods that are commonly used to control the flow of air into the compressed air system.
Then well look at some methods that control the loading of the compressor itself.
Compressed Air III Control Methods

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Common methods of controlling flow of air into the compressed air system from the compressors include:
Modulating Inlet Valves also known as throttling
Unloader Valves
Variable Volume Ratio, and
Discharge Blow-off or Venting
The particular method employed will depend on the type and style of compressor you are using.
of these methods, beginning with inlet valves.
Let's look at each
Slide 8: Inlet Valve Operation

Inlet valves change position to modulate the airflow.
Commonly used on lubricated screw compressors or centrifugal compressors, this method throttles inlet air reducing
the air pressure and increasing its specific volume. Discharge pressure remains essentially constant, so with lower
air pressure at the inlet and the same pressure at the discharge, the pressure ratio increases dramatically.
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This results in poor compressor performance at part load even though the compressor passes less air mass. The
inlet throttling valves provide very good flow and pressure control for the system, but the cost is efficiency.
Slide 9: Inlet Vanes on Centrifugal Compressors
In centrifugal compressors the inlet valve can be fitted with vanes which pre-rotate the air in the same direction as the
impeller rotation. This is somewhat more efficient than the inlet valve, but it is still wasteful of energy. This
approach is only found on the first stage of compression. Axial compressors can make use of a similar approach
with adjustable inlet stator blades on the first few stages.
Slide 10: Inlet Valve Operation
Reciprocating compressors cannot use inlet valves due to the high pressure ratio and high temperature issues.
Lubricant-free rotary screw compressors can only make limited use of inlet valves for the same reasons.
On these compressors, when loaded, the inlet valves are wide open. When unloaded the inlet valves are almost
completely closed, just enough to allow a minimum airflow into the compressor. The valves in this case are not
contributing much in the way of capacity control.
Slide 11: Unloader Valve

Unloader valves are another method. They are commonly used on reciprocating compressors to manage airflow.
Unloaders hold open the inlet valves allowing air to pass into the compressor and back out the way it came - through
the inlet. When unloaded, the compressor provides no air from that particular stage the air is drawn in but passes
back out the same way without being compressed. Due to friction losses and heat build-up, there is a limit to the
amount of time a compressor can operate unloaded before it needs to flow air again but compressors with this
method of control generally unload very efficiently.

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Slide 12: Variable Volume Ratio

Variable volume ratio is another technique to save money. Many older oil-filled rotary compressors have a fixed
volume-ratio. They compress air to a fixed reduced volume before an exhaust valve or port opens to discharge the
air. To modulate airflow, these older compressors typically use suction throttling using inlet valves to reduce capacity
of the compressor. This is inefficient.
Using a variable-volume ratio is more efficient. Variable volume ratio is achieved in lubricated rotary compressors
by adding ports, or slide valves, to enable some inlet air to by-pass the compression process. This efficiently
compresses a reduced volume to the pressure needed by the system at part load. In effect, the internal size of the
compressor is changed. This provides an efficient method of variable capacity control.
Slide 13: Discharge Blowoff

Now well look at discharge blowoff. In centrifugal compressors, the quantity of airflow through the compressor can
only be controlled by modulating the inlet air valve over a relatively small range. When flow declines below this
range, the flow becomes unstable in a surge condition. To avoid surge, centrifugal compressors may discharge
compressed air to the atmosphere to control compressed air output to the system. Blow-off control is the least
efficient method of controlling compressed air output, since input power remains high and constant as the
compressed air supply to the system decreases.
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Slide 14: Common Compressor Controls

Now that we have finished looking at the various ways of controlling the physical flow of air in the compressor, we'll
move on and look at the ways of controlling the compressor itself by controlling the energy supplied. We will look at:
Automatic Start-Stop
Constant Speed with variable displacement and step-control, unloaders, inlet modulation, or variable volume
ratio
Variable speed which provides variable capacity using speed control
Dual which combines manual selection of start-stop with constant speed control
Automatic Dual with constant speed base load, along with automatic start-stop function, and
Modified Control which combines inlet modulation or speed drives with load-unload
Slide 15: Automatic Start-Stop
Automatic Start-Stop control is the simplest. Small reciprocating and rotary screw compressors can use this
method. This control is generally not used on larger compressors since the strain of starting and stopping may
damage mechanical and electrical components on a larger machine. Usually, a simple pressure switch is used to
detect the pressure at the discharge outlet of the machine. When the pressure exceeds the preset maximum level,
the motor or the compressor is turned off. When the pressure drops below a minimum level, the compressor is
turned on again.
Slide 16: Automatic Start-Stop
We can see this graphically on a chart.
The x-axis shows the percentage of capacity in other words, the output from the compressor.
the power it is consuming, as a percentage of full load.
The y-axis shows
Start-stop has only two points on the chart

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either the compressor is off, supplying zero air and using zero power,
or it is on, supplying 100% of its air capacity and using 100% of its rated load.
We can draw a line between those two points, but it's a dashed line because the compressor is not actually capable
of operating between these two extreme points. For this scheme to work, the compressor has to make enough
pressure to allow air to be taken from the receiver while the compressor is stopped. Strictly speaking operating either
at full load or off is the most efficient way to run an air compressor. The benefit is that power is only used when the
compressor is running. However, most AC electric motors tolerate only a limited number of starts over a given time
for reasons of heat build up. This limits the application of automatic start/stop, especially for motors larger than 7.5 to
20 kW, approximately 10 to 25 hp. Hence, this method is used with fairly small compressors and where duty cycles
are low.
Slide 17: Constant Speed Control
Constant speed control is commonly used for larger compressors. The motor keeps running all the time, but the
compressor is unloaded once adequate pressure is reached.
The benefit is that there is less strain on the motor
since start-stop is avoided, but the disadvantage is that the motor will consume energy even when the compressor is
unloaded. Since constant speed control keeps the motor running, and doesnt change its speed to meet varying
demand, it is generally combined with some of the airflow control methods that we have just learned about, in a
variety of strategies. Lets look at them now.
Slide 18: Load-Unload Two-Step Control
Load-Unload Two-Step Control is the first method of constant speed control that we'll look at.
Here (blue line). we can see the scheme for load/unload on a reciprocating compressor. Once again, there are only
two real operating points, but now the compressor will still consume approximately 10% of power even when
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supplying zero air. This is because the motor is still running when the compressor is unloaded. A rotary
compressor (grey line) can also use this scheme, but is less efficient, consuming approximately 20% of power even
when supplying zero air. This is representative of the performance of an oil-free compressor or an oil-lubricated
compressor that incorporates an air-oil separator sump blowdown.
Slide 19: Load-Unload Two-Step Control
What is blowdown? In oil flooded rotary screw air compressors, blowdown saves electricity when unloaded. When an
oil flooded rotary compressor unloads, the suction valve is closed to stop the production of air, and the check valve to
the system closes to prevent system air from backflowing into the compressor.
Pressure inside the compressor is still high, so while the compressor is unloaded the components are still working
against a backpressure which is similar to the system pressure. Using blowdown, the air/oil separator is vented to
atmosphere, reducing backpressure on the compressor.
In effect, it results in a compressor discharge pressure which is close to atmospheric pressure instead of system
pressure.
This saves power during the period while the compressor is unloaded.
need to build up discharge pressure back to the required level.
When the compressor is next loaded, it will
In older designs [orange line] there was no blowdown to relieve the backpressure.
Hence. when unloaded the old

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machine still had to discharge against system pressure and consumed 50% of power at no flow.
Slide 20: Variable Displacement and Step-Control
Variable displacement and step-control is another method of constant speed control. For reciprocating
compressors, it provides pre-set steps, e.g. a three-step scheme on a single cylinder twostage compressor would
allow the compressor to operate at 0, 50, or 100% load.
A five-step scheme on a two-stage four-cylinder double-acting compressor would allow 0, 25, 50, 75 or 100% load.
This method can use unloader valves or clearance pockets to turn on and off cylinders to provide variable
displacement. Here we can see the plot of a reciprocating compressor, with valves that allow it to function at five
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different load levels.

On an oil-flooded rotary compressor, variable volume ratio adjustments can be (dashed green line) used and the flow
modulation does not occur in steps but is (green line) smooth and continuous.
Slide 21: Inlet Modulation
Inlet modulation is a third approach and involves the application of modulating inlet valves, or suction throttling,
together with the constant speed approach.
This (red line) is an example of a typical profile, and you can see it is not very efficient.
Suction throttling still uses 70% of the power even when the compressor is supplying zero air.
This is because throttling at the inlet causes a very low compressor inlet pressure, which makes a high pressure
differential between suction and discharge, which the compressor must work against.
However it does have the advantage that the compressor can operate across the full capacity range, as indicated by
the solid line.
It is not limited to fixed points like the other methods we already saw.
Slide 22: Variable Speed Control
Variable speed control is an efficient approach with rotary screw compressors and can be used with caution with
centrifugal and axial compressors as well.
Variable frequency drives (green line) continuously and efficiently adjust the motor speed to match variable demand
requirements. Since the machine is not throttled, and the speed is adjusted by varying the frequency, it consumes
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less energy at part loads and operates more efficiently across the range.
Here (black line) we can see that at 60% load, variable speed control is consuming just over 60% of full load power.
Inlet modulation at the same capacity would be consuming over 85% of full load power.
Variable speed control is typically the most energy efficient method of control to meet variable loads.
It can provide accurate pressure control down to very low flow. It is normally difficult to retro-fit drives into existing
compressors but variable speed drives are readily available on most manufacturers new compressors.
Slide 23: Variable Speed Control
If combined with a receiver, (grey lines) on-off control methods (like start-stop and load-unload) are able to meet
loads in between the on off extremes, and may be able to approach the efficiency of a variable speed drive.

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In this case, the compressor may actually work at full load only some of the time but stores up compressed air in the
receiver to answer both demands that arrive while the compressor is off and also demands that might be more than
100% of the compressor capacity can provide in real time.
Slide 24: Dual Control
There are a variety of controls which are combinations of the methods we have seen, the first one is dual control.
Dual control is available on small compressors, and combines manual selection of inlet modulation or load-unload
constant speed control. In effect the compressor will automatically supply air to the system at a modulating flow or
it can load then unload over a high and low set pressure range. The operator can manually turn it off or on when
required.
Slide 25: Automatic Dual
The other one well discuss is the automatic dual control. Automatic dual controls are available on lubricant-injected
rotary compressors. This provides constant speed load/unload control or upper-range modulation and adds an
automatic start-stop function that takes over if the compressor has been running unloaded for an extended period.
For example, if the compressor has been unloaded for twenty minutes or more, the compressor will assume that it is
better to save energy by turning itself off, rather than waiting in the unloaded state.
Slide 26: Modified Control
Modified Control combines inlet modulation or variable volume-ratio control in the upper-range of flow, with
load-unload control at the low end. This provides excellent pressure flow control but in the case of inlet-modulation,
suffers from poor efficiency in the upper-range of modulation. Here (red lines) you can see the profile of a modified
inlet modulation control. In the upper range the inlet modulation applies, while in the lower range the dotted line show
the modification to unload the compressor below 40%. Here (yellow lines) is an example of a modified variable
volume ratio control. Both (blue line) these examples are somewhat less efficient than the average profile of
load-unload control with very large storage in the system. However their advantage is they provide smooth
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pressure control, whereas load-unload is either no-flow or full-flow, so pressure will fluctuate
Slide 27: Control Method Profiles

Lets review some of the control methods we just looked at and compare them in the same chart.
Remember that these profiles are just examples, and the specific compressors will vary.
Inlet modulation (red line) also known as suction throttle for oil-flooded rotary compressors is the least efficient.
Upper-range inlet modulation (orange line) modified with tank blowdown is more efficient.
Variable volume ratio (yellow line) modified with tank blowdown is much more efficient.
It comes close to the optimum load-unload (blue dotted line) with very large receiver capacity for lubricated screw
compressors or for dry-screw and centrifugal compressors).
The most efficient approach (green line) for variable loads is the variable speed drive modified to load-unload at low
flow.
For reference, an Ideal Compressor performance line (black line) is depicted where power is exactly proportional to
flow delivered.

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Slide 28: Control Methods for High-Flow Applications

What control methods are you likely to see on the compressors most commonly used for high-flow applications?
Centrifugal and axial fan compressors can be throttled to some extent but they are usually limited in the amount of
turn-down that can be accomplished before another method is needed.
Turn-down is the ratio of full load to minimum load. Dynamic compressor part-load performance is dictated by
aerodynamics. These compressors are usually designated for a certain duty and any deviation from this design
should be carefully understood.
There is a point called surge limit, which is a flow where aerodynamic instabilities occur and the compressor cannot
overcome the pressure rise required for the duty served. The compressor cannot be operated at flow approaching or
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below its surge limit because of the risk of unstable flow and the potential for damage to the compressor. Therefore,
when the compressor approaches the surge limit it has to be unloaded somehow and this is usually by completely
unloading it, or by opening a discharge vent valve to atmosphere in order to keep compressor airflow high enough for
stable operation.
Slide 29: Centrifugal Turndown and Discharge
Some centrifugal compressors may be able to use load-unload to a certain point after throttling the inlet toward the
surge line. This type of control can be fairly efficient as long as adequate storage capacity exists in the form of
receiver capacity or large volume contained in system piping. This can be seen in the (green) lower dashed (or
hashed) lines in the right curve. Some types of centrifugal compressors cannot, or do not hold up well in service
using load-unload control. Centrifugal compressors that do not have load-unload must blow-off or waste
discharge air to ensure that the compressor runs smoothly. Blow-off is a very expensive method of capacity control
because the energy used to compress blow-off air is wasted. This can be seen in the discharge (orange) line in this
chart.
Slide 30: Axial Turndown and Discharge

Axial fan compressors are usually limited to some inlet modulation, using variable inlet stator blades, but rely on
discharge blow-off for low-flow loads.
Axial fan compressors are rare, and are normally used in very special, high-volume applications.
Slide 31: Typical Compressors and Controls
Here we see a table of which control methods are commonly used on which types of compressors.
Remember that reciprocating compressors tend to be used for small medium capacity applications, rotary
compressors for medium applications, centrifugal for large capacities and axial for very large applications.

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Slide 32: Sequencing

Sequencing is a strategy that can be employed when multiple compressors are available. This can be an efficient
approach especially when demand is seasonal, or occurs with extended periods of high and low demand.
Usually one compressor, identified as the lead compressor, fulfills the base load requirements while other
compressors are used for trim air production.
The on-board microprocessor controllers of the other compressors are networked to the master compressor. The
master control makes decisions to stop, start, load or unload, modulate or vary volume ratio or speed, in order to
most efficiently meet the demands at the time.
The objective is to match the demand with a combination of compressors operated at or near their maximum
efficiency levels.

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Slide 33: Sequencing

Compare this to using a single large compressor to meet all loads.
the large compressor will operate inefficiently most of the time.
If the peak demands are relatively short-lived,
Slide 34: Multiple Compressor Control Methods

The control methods typically used for multiple compressors are:
Cascaded Pressure Band Control

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Network Control
System Master Control, and
Multiple Controls with Variable Speed Drives
Lets look briefly at each one, beginning with cascaded pressure band control
Slide 35: Cascaded Pressure Band Control
Cascaded Pressure Band Control is the simplest method of coordinating multiple compressors. With this control
strategy the local compressor pressure switch controls are arranged in an overlapping or cascaded pattern. This
method of control will unload and/or load compressors at varying system pressures as the load decreases or
increases.
The cascaded control method results in higher than necessary system pressures during partial loads which causes
higher than required energy consumption.
Also, as the number of coordinated compressors increases, it becomes more and more difficult to achieve accurate
compressor control without exceeding the pressure rating of the connected compressors at low loads or experiencing
low system pressure at high loads.
Slide 36: Network Control
Network Control uses the optional feature of the local compressor control to communicate with other compressors to
form a chain of command that makes decisions to stop/start, load/unload, modulate, and vary speed. One
compressor generally assumes the primary lead with the others being secondary to the instructions from this
compressor. This type of control can accommodate many compressors while maintaining system pressure within a
single lower pressure band for all flow conditions. Typically these types of controls can only interconnect
compressors of the same manufacturer.
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Slide 37: System Master Control

System Master Controls are also called automatic sequencers. Similar to network controls these externally installed
controls interface with the local compressor controller to ensure system pressure remains within a single more
efficient lower pressure band.
Most system master controls can accommodate different manufacturers and types of compressors in the same
system. Some newer system master controls have many extra capabilities, including the ability to monitor and control
important parameters in the system.
Slide 38: Multiple Controls with VSDs
Lastly, multiple controls with Variable Speed Drives (VSD) is a method that incorporates one or more VSD
compressor(s) in one of the compressor control strategies previously described. In doing so, it is important to ensure
that the variable capacity is equal to or larger than the largest fixed speed compressor or a control gap will result.
A control gap is where, under certain conditions, neither the base capacity nor the VSD will satisfy system loading.
This control gap will cause the base and VSD compressors to fight for lead position and will lower system efficiency.
A detailed description of this is outside the scope of this class.
Your compressor provider can assist you with properly sizing your VSD compressors.
Slide 39: Air Receiver Storage Volume
To benefit from multiple compressor control, the appropriate amount of air receiver storage volume needs to be
installed to slow system pressure changes and allow time to start and stop compressors. Storage is most important
for load/unload control but is also required for systems using VSD compressors.
Slide 40: Summary
Lets review what we learned in this class. We saw some common methods of controlling airflow including:
Modulating inlet valves also known as throttling.

Inlet vanes may be used as a modulating approach on centrifugal compressors
Adjustable inlet stator blades may be used on axial compressors
Unloader Valves
Variable Volume Ratio, and
Discharge Blow-off or Venting
We compared the efficiency of capacity control methods including:
Automatic Start-Stop
Constant Speed with variable displacement and step-control, unloaders, inlet modulation, or variable volume
ratio
Variable speed which provides variable capacity using speed control
Page 18
Dual which combines manual selection of start-stop with constant speed control
Automatic Dual with constant speed base load with automatic start-stop function, as well as
Modified Control which combines inlet modulation or speed drives with load-unload
Although automatic start-stop is theoretically the most efficient, it puts strain on motors and so can only be used on
small compressors. The most energy efficient solution to meet variable loads is typically variable speed control.
Sequencing can be used when multiple compressors are available. The objective is to match system demand with
compressors operated at or near maximum efficiency levels. Methods can include:
Cascaded Pressure Band Control

Network Control
System Master Control, and
Multiple Controls with Variable Speed Drives
In the following classes, well look at other supply and demand side equipment in more detail, as well as action plans
for best efficiency.

Page 19
Compressed Air Systems IV Supply Side Components Transcript
Slide 1: Compressed Air Systems IV- Supply Side Components

Welcome to Compressed Air Systems IV: Supply Side Components.
This is the fourth in a series of compressed air system courses offered by Energy University. If you have
not already done so, it is recommended that you participate in the first three compressed air courses
before taking this course.
Slide 2: Many Thanks to the US Department of Energy & the Compressed Air Challenge
This course was produced using material from the US Department of Energys Improving Compressed
Air System Performance. The source book is free and available for download from the Compressed Air
Challenge website: www.compressedairchallenge.org.
Slide 3: Welcome
the normal play of the course. Click attachments to download supplemental information for this course.
Slide 4: Objectives
Identify the components of a compressed air system on the supply side, and understand what they do;
Explain why compressed air has to be cooled and dried, and how this is achieved;
Compare the operation, benefits and drawbacks of different types of dryers;
Identify the purpose of receivers and how they contribute to energy efficiency;
Explain the purpose of filters and pressure control valves; and
Describe how a pressure/flow controller can provide stable, low pressure to the process to minimize unregulated air loss.
Compressed air system components can usually identified by the major function that they provide
whether the function is related to compression, conditioning, filtration, distribution, and some nature of
end use. Most systems have a supply-side and a demand-side. The supply-side is normally where
ambient air is processed into a pressurized, dry, clean form that can be used for many useful tasks. The
demand side is the portion of the plant where air is distributed, final-filtered, regulated, and perhaps
lubricated for a productive end use. The images in this slide depict both the supply-side and demand side
of a typical industrial compressed air system.
Slide 6: Review
In previous classes, we learned some basic compressed air concepts, and focused on the types of
compressor and how they are controlled. However, there is much more to a compressed air system than
just the compressor. In this course, we will learn about other components on the supply side of the
system. The following components may be found as part of the supply-side of a compressed air system:
Air Inlet Filter: Filters particulate and water of incoming ambient air.
Compressor: Discussed in Compressed Air Systems II Compressor Types and Selection. They compress
atmospheric air into a useful and versatile utility. During the process, lubricants could be present.
After-Cooler: Cools compressor discharge air and condenses up to 70% of the moisture drawn into the
2012SchneiderElectric.Allrightsreserved.Alltrademarksprovidedarethepropertyoftheirrespectiveowners.

compressor.
Separator: Separates condensed liquids leaving the after-cooler.
Automatic Drain: Automatically drains condensate out of the separator and other conditioning devices.
Primary Receiver: Provides storage for compressed air supply in case a compressor fails. This can give
time for an additional compressor to start up with little pressure loss and no interruption in production.
Pre-filter: Improves performance, reliability, and service life of the dryer.
Dryer: Condenses and removes moisture that was not removed by the after-cooler.
Cold-Coalescer: Condenses and removes oil vapors at the most efficient location.
Adsorber: Removes leftover traces of oil and water vapors.
After-filter: Removes leftover particles.
Dry Receiver and Pressure Flow Controller: If used can provide final pressure regulation for the system.
Diagram used with permission from the US Department of Energy and the Compressed Air Challenge
Slide 7: Moisture Removal
Lets now discuss water in compressed air systems. To deliver air of the required quality we need to
manage its temperature and moisture content. Equipment such as inter-coolers, after-coolers, and dryers
perform valuable moisture removal functions.
Pressure dew point and frost point are important quantities when managing compressed air. These are
the temperatures at which condensation or frost will first occur in piping. Condensation is the formation of
liquid; frost is the formation of ice crystals in piping.
Typically, compressed air must be dried, because the equipment that relies on compressed air needs it to
be moisture free. Moisture free can have many definitions but generally the actual requirement is to
have no droplets or frost in the compressed air piping.
The actual dew point requirement normally depends on the minimum temperature that the compressed
air piping will be exposed to, but there can be process requirements for dry air too.
The level of dryness required has a direct impact on the cost of purchasing drying equipment, and the
cost of drying the air.
Throttling the air pressure through a reducing valve will result in a new lower pressure dew point of that
air stream.
Slide 8: Intercooler & Aftercooler
In a multi-stage compressor, there will typically be an intercooler between each stage. This is a heat
exchanger that removes the heat of compression before the air enters the next stage. As the air is
cooled, the airstream may fall to its pressure dew point and any additional cooling causes water vapor to
condense out. Condensate is separated from the compressed air and drained out of the system.
An aftercooler cools air leaving the compressor. Sometimes it is an integral part of the compressor
package, but sometimes it is a separate heat exchanger.
Slide 9: Intercooler & Aftercooler
Intercoolers and aftercoolers can use ambient air or water for cooling. Cooling water circulates through a
series of coils. Hot moist compressed air passes through the heat exchanger, heat is exchanged from
the air to the chilled water. As this compressed air is cooled, the pressure dew point is reached, and
water vapor condenses in the heat exchanger and is drained away through a condensate trap.

The cooling water passing through the coils, is now warmed after capturing heat from the hot compressed
air. The cooling water exits the exchanger and carries heat for rejection to a cooling tower, or to a chiller.
Potentially this waste heat may be recovered; since more than 80% of the electrical energy used by the
compressor is changed into heat, this can be a valuable resource for energy and cost savings. If chilled
water is used for cooling, energy savings potential is significant. See our class on waste heat recovery
for more on this topic.
Slide 10: Moisture Separators
A moisture separator installed following each intercooler or aftercooler is used to remove condensate
created by cooling air below its pressure dew point.
Separators may contain baffles that force the air to change direction. The water drops have greater mass
and inertia and tend to collect on the baffles. Impingement separators are similar. They are shaped so as
to collect the moisture on their surfaces. Baffle and impingement types are 80 90% efficient.
Another type is shaped to force the air into a cyclone and throw off the free water. Cyclone types are 90
to 95% efficient.
Finally some more complex types incorporate a centrifugal action, and are the most efficient with
performance over 95% and sometimes even over 99%.
Over 20 liters of water may be removed each day from a compressor making 170 SCMH of compressed
air at approx 7 bar when the pressure dew point is reduced from 38C to 2C. This would be equivalent
to over 6 gallons of water from a compressor making 100 SCFM of compressed air at approx 100 psia
when the pressure dew point is reduced from 100F to 35F. Without after-coolers, separators, and
dryers, much of this water would end up down the piping system causing corrosion and damage to
system components.
Diagrams courtesy of Spirax Sarco
Slide 11: Traps
Liquids collected at intercoolers and after coolers need to be drained out of the system. Traps are used
to trap expensive compressed air while allowing condensate and perhaps oil to be safely and efficiently
drained away. Liquid condensate traps and a proper piping arrangement are shown in these images.
Always:
Check for proper size
Conduct leak checks & repair leaks
Check for blockage
Manual valves are sometimes used but their use is discouraged. The disadvantage is that they must be
opened and closed by an operator. The valve may be left open to allow condensate to drain, allowing
compressed air to continually escape into the atmosphere.
Float-type traps do not waste air but they often have demanding requirements for maintenance and are
prone to blocking by sediment.
An electrically operated solenoid valve can be used with an adjustable timer, but setting the timer
correctly can be an issue the valve may open more often than needed and waste air, or not often
enough and fail to provide adequate drainage.

Zero-air loss traps with reservoirs incorporate float or level sensors and electric or pneumatic signals to
open valves. The reservoir must be drained periodically to avoid fouling.
Imagery courtesy of Spirax Sarco
Slide 12: Oil-Water Separators
Oil-water separators may be required by local waste water authorities on drains if the air compressor is a
design that uses lubrication. The liquid condensate from the aftercoolers will also contain oil. Most
countries have laws that forbid dumping this oily water on the ground, into waterways, or into sewers.
Failing to comply with these requirements can be very costly.
Slide 13: Receivers
Receivers are vessels used to store compressed air until it is required. There will typically be a primary
receiver on the supply side and another on the demand side.
Air compressors work efficiently when they are operated at full rated-load. When operated under partial
load, they will use more energy per unit of airflow. This means that if there are intermittent peaks in the
demand for compressed air, the compressor will work efficiently during these brief peak periods, and
inefficiently all the rest of the time.
A receiver provides a reservoir of compressed air. The receiver acts as storage and can serve out
compressed air over a prescribed range of pressures to meet intermittent peak loads. If short-term peak
air demand can be served from air stored in the receiver, its not necessary for a large compressor to be
turned on. This saves energy and perhaps eliminates the need for extra compressor investment. Or, a
smaller compressor can be used it may work more hours of the day in order to store up the required air,
but it will operate at higher efficiency than a large compressor that is only part loaded operating for short
time periods.
Slide 14: Receivers
This is the formula for calculating the volume of a receiver
It can be rearranged like this
where v is the volume of the receiver tank
t is the time for the receiver to go from upper to lower pressure limits
C is the free air needed
pa is atmospheric pressure, 1.013 bar or 14.7 psia
p1 is the maximum tank pressure and
p2 is the minimum tank pressure
Heres the formula showing metric units
and with US customary units
Slide 15: Receiver Sizing Best Practice

In the past when energy was of little concern, system receiver capacity was sized for about 2.2 litres per

SCMH (standard cubic metre per hour) or approx 1 gallon per SCFM (standard cubic feet per minute),
based on compressor capacity. Applying that rule the recommended volumes would be shown in these
tables.
It is important to note that receiver capacity is inexpensive and improves system performance. For
efficient operation, rotary screw compressors operating under load-unload control should be sized with:
between 11 and 22 litres of receiver capacity per SCMH (standard cubic metre per hour)
or
between 5 and 10 gallons per SCFM (standard cubic feet per hour)
This guideline would result in the following sizing recommendations.
Remember, piping volume counts as receiver capacitance too and large pipe results in good pressure
flow distribution through the system for energy savings!
Slide 16: Dryers

Lets discuss dryers now. After passing through the aftercooler and separator, the air is still saturated. If
this air is delivered to the plant as-is, moisture will condense as it cools further, and potentially corrode
equipment, or interfere with processes. Therefore, we need to dry the air before it is passed on to the
plant. Dryers are used for this.
Deliquescent absorption dryers are rare but can be found in certain locations. They use a medium to
absorb the moisture. Over time the medium changes from a solid to a liquid which is drained away and
eventually has to be replaced. The medium may be sodium, potassium or calcium salts, or based on
urea. The liquid must be properly disposed of according to environmental regulations.
These dryers suppress the dew point temperature an amount below what it was when it entered the
dryer. Performance values yield air dried to an extent equivalent to 11 to 14C or 20 to 25F change in
dew point.
Slide 17: Refrigerant Dryers
Refrigerant dryers are more common than deliquescent dryers. Like the compressor aftercooler, it works
by cooling the air with refrigeration so that the vapor condenses. We may not want to send cool air to the
plant, so most dryers have a heat recovery exchanger to improve dryer performance, reduce electrical
consumption, and to warm the dried air before sending it out to the plant.
Most refrigerant dryers can be classified into cycling and non-cycling types:
Cycling dryers cool compressed air indirectly through an intermediate substance. The air is exposed to a
thermal storage medium, like refrigerant or chilled water in coils, or even masses of aluminum granules or
bronze ribbon. The medium is chilled, and then the compressed air gives up heat to the medium. The
dryer is controlled by one or two thermostats that turns off the refrigeration when it is not needed. This
allows the dryer to cycle depending on the demand of the system.
Here we can see an example of a non-cycling dryer. It cools the air directly using direct-expansion
processes. There is no cold medium removing the heat from the air. Instead, the warm, moist
compressed air passes through two heat exchangers; one exchanger to pre-cool incoming hot moist
compressed air while re-heating cold refrigerant-dried compressed air ready to be supplied to the plant.
The second heat exchanger is a refrigerant-to-air exchanger (using a vapor-compression refrigeration
cycle for cooling) used to further reduce the compressed air temperature down just above freezing so
more moisture can be condensed out of the air stream. Again, this cold air is re-heated in the first heat
exchange as it passes through, precooling the moist warm incoming air stream.

These dryers can dry the air to an extent equivalent to 20C or 35F pressure dew point temperature.
Slide 18: Desiccant Dryers

Another type of dryer relies on desiccant materials to adsorb moisture, like the packets of silica gel that
you find in some consumer goods. The air entering the dryer must be free from oil. The air passes
through a tower of desiccant granules, and the substance captures the moisture in its pores.
Desiccant material can hold only so much moisture and periodically it must be taken off-line and
regenerated so it can again be used for the drying process. Generally, there are two towers, so that one
can be in service while the other one regenerates. The dryer may have a built-in regeneration cycle to
change from the spent active tower to the newly regenerated tower.

The regeneration cycle can be done in a number of ways. We will look at the least efficient method first
and progress to the most efficient method.
The Pressure-Swing Heatless Method is achieved by reducing the pressure in the container and passing
previously dried compressed purge air through the material. This uses a lot of valuable compressed air
during tower cycling and by using dried compressed air for purge air.
Heated Exhaust Purge includes a heated tower bed or heated dried compressed purge air flow for drying.
This also wastes some compressed air during purge and tower cycling but less of it then the heatless
method.
The Heated Blower Purge method uses ambient air that may be produced by a blower. It may be heated
within the dryer or externally to reduce the amount of purge air required. This is more efficient than
compressed air purge air methods of regeneration but some compressed air waste occurs when the
tower de-pressurizes to start the regeneration process.
Heat of Compression dryers may be used in certain applications. Very hot air leaves the compressor
without any aftercooling, and is passed through the regenerating tower to drive off moisture from the
desiccant using the heat in the air. The air enters an intercooler which is used to cool the very warm and
now moist airstream and condense much of the moisture it contains. When the air exits the intercooler, it
then passes through the active desiccant tower to be final dried to a very low pressure dew point.
Another version uses a heat wheel type of arrangement, diverting discharge air into two separate air
streams through the desiccant.
Here we can see air stream A [green arrow], which is cold saturated air coming from the aftercooler. This
passes through the desiccant and exits as dry air [blue arrow]. Over time the desiccant needs to be
regenerated. The drum of desiccant rotates so that gradually the used desiccant passes into air stream
B. Air stream B is hot unsaturated air [orange arrow] coming from the compressor outlet before the
aftercooler. This may be further heated to produce even hotter air [red arrow]. The hot purge air passes
through the desiccant and regenerates it. As the air passes through, it picks up moisture from the
desiccant and exits as hot saturated air [yellow arrow]. The purge air stream is then cooled and passes

back through the wheel to be dried.
Desiccant dryers can achieve dew points well below the freezing point of water. Because of these
extremely low dew points, the entire air stream does not have to be dried. This can greatly reduce
operating costs.
Desiccant is not very effective if the inlet conditions are above 60C or 140F (except for heat of
compression dryers which need hot compressor discharge air to function).
Slide 21: Operating Cost
The cost of operating each type of dryer can vary considerably:
Deliquescent dryers are the least costly to run, but they do not dry as well achieving relatively high
pressure dew points of about 15C or 60F. Normally, lower pressure dew points are needed and other
more costly dryers are required.
Refrigerant dryers are economical to operate and are suitable for most applications.
Desiccant dryers provide very dry air for cold or critical applications. Pressure swing desiccant are least
expensive but cost the most in energy. Heated purge and blower purge improve on the economics of
operation at a higher initial cost.
Heat of compression desiccant dryers provide operating costs that are relatively low and also can serve
up very low dew point. The disadvantage is that the capital costs of this type may be significantly higher
and this type of dryer is not suitable for all compressor applications.
Be sure to evaluate the total cost of ownership when choosing dryer equipment.
A tool to help with this can be downloaded from the Attachments to this class. It provides typical values
of the electrical load of different types of dryer. You can adjust the pink cells to reflect the size of your
system, the total operating hours per year, the currency that you use and the unit cost of energy. There
are two tabs, one for SI countries, which expresses the air volume in cubic metres per hour, and one for
the US with the air volume in cubic feet per minute. The tool will give you an approximate indication of
the relative cost of the different methods. More accurate comparisons should be done by an expert and
may need to take into account impact on peak demand charges as well as energy charges.
Slide 22: Filters
A compressed air system includes a variety of filters. Filters appear at the air inlet to remove particles
and moisture before they enter the compressor. They are also located within the compressed air system
to protect equipment downstream of the compressor. Cleaning and replacing filters is an important part
of the system maintenance to preserve its efficiency.
Particulate filters remove debris. Many compressed air systems also include filters to remove odors. Air
line filters may be located on the demand side to provide additional protection if required by some
equipment.
Coalescing filters have a very fine mesh that removes lubricant oil from the compressed air. The element
of a coalescing filter is often made of glass fibers. The oil vapor coalesces onto these fibers and drips
down into a filter bowl.
An adsorption filter may also be used to remove any last traces of oil. Adsorption is a process whereby
oil molecules adhere to a surface of adsorbent material. It is a surface phenomenon, and so it differs
from absorption, in which the material becomes permeated. The material is typically a type of activated
carbon. Adsorption filters are also known as vapor filters.

Slide 23: Air Quality
Air quality requirements of the process dictate the level of solids, dew point, and oil content for various
ISO Quality Classifications. Up to date copies of this standard are available from ISO.
Slide 24: Pressure/Flow Controllers
Pressure/Flow Controllers are devices that separate the supply side from the demand side influences.
These are comprised of custom-engineered components including a dry-receiver and a pressure/flow
control valve(s), and a control system (see the receiver and control valve in the green hashed oval in the
slide). The flow controller manages the flow of air from the dry receiver on the supply side into the
distribution system.
With a flow controller, you can precisely control the demand-side pressure to a set point less than a
normal system would be set to. This reduces air lost through un-regulated leaks and loads.
The dry receiver contains air, usually between half and one atmosphere (0.3 to 0.7 bar ) higher than the
downstream system pressure thats approx 5 psi to 10 psi higher. This volume of air is available for
release during short periods to serve intermittent plant loads without starting another compressor.
Any pressure variations that occur on the supply side are confined away from the demand side. Without
a pressure/flow controller, pressure swings transmitted to unregulated end use devices can result in
added air loss waste.
Slide 25: Pressure/Flow Controllers
Stable pressure control can be seen in the graph depicted in the slide.
The upper line represents output from the plant air compressors. The lower line is the precise pressure
output from the Pressure/Flow Controller.
The main function of a PFC is to separate the demand side of the system from the supply side and to
allow pressure to the distribution system to be maintained at a steady level sufficient to meet end use
requirements. Primary dry receiver volume upstream of the controller is essential to ensure the required
flow to the system.
The main advantage seen here is that supply to the distribution system can be maintained at around 6
bar or 90 psig or less with small variations of +/- 0.05 bar or +/- 1 psi. This provides a constant system
pressure and minimizes artificial demand from unregulated uses and leaks. Some systems can operate
safely down to 4 bar or 60 psig.
If installed, it is very important that plant maintenance staff understand the operation of this system and
keep it maintained properly in service. A normal failure mode of the controller is to move to a full-open
position resulting in no savings at all to the owner.
Slide 26: Summary
We identified the components of a compressed air system, including filters, the compressor itself,
intercoolers and aftercoolers, separators and drains, receivers, dryers and cleaning devices such as the
cold-coaslescer, adsorber and after filter.
We learned that dry air is important to prevent damage to equipment and interference with processes.
We learned about
deliquescent absorption dryers which are low cost but do not dry as well as some other types

refrigerant dryers which are economical and suitable for most applications
desiccant dryers which are expensive but provide very dry air, and
heat of absorption dryers which are economical and can also provide very dry air, but at higher capital
cost
We saw that receivers provide air storage that prevents running a large compressor for short peak
periods. Using a smaller compressor to store up air is more energy efficient.
We saw that a pressure / flow controller separates the supply and demand sides of the system to provide
stable, low pressure to the process. This minimizes un-regulated air loss.
Demand Response and the Smart Grid

Slide 1
Welcome to Demand Response and the Smart Grid.
Slide 2
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Slide 3
At the completion of this course, you will be able to

Define the challenges of electrical supply and demand
Explain what demand response is and the role of traders and aggregators
Identify how to use demand response to avoid investment in peak capacity
List the benefits and costs of participating in a demand response program
Identify the opportunity to use demand response payments to make energy
efficiency investments in an office or factory
Describe the impact of regulations on demand response
Discuss the concept of the smart grid
Slide 4
Electricity has become a critical element in modern human life. City, State, and country
governments worry about significant power disruptions especially during extreme
weather conditions because it can truly impact whether some people live or die.
Meanwhile, investment in electrical infrastructure has struggled to keep up with
increased demand. We have seen demand become so strong that it has triggered
network failures.
For example, in August of 2003 tens of millions of people from Canada and the
Northeastern United States lost power. The scale of the blackout was tremendous and
added to the growing discussion about how to solve our energy problems.
As a result, the energy industry has become one of the most regulated industries in the
world.
Slide 5
Demand response programs provide a simple way for facility managers to get paid for
reducing consumption and relieving load on the power grid when it is stressed. In
effect they are returning capacity to the grid and being paid for that asset.
The modern demand response market began with a pilot program at ISO (Independent
System Operator) New England in 2000. ISO New England is responsible for managing
the power grid for 7 Northeastern US states. In other countries, these entities are often
referred to as TSOs, Transmission System Operators. Since that pilot program in 2000,
robust markets have developed at several ISOs and pilot projects are underway at other
ISOs and utilities.
During that period, the US government and various other organizations responsible for
the electrical grid repeatedly indicated their desire and support for more demand
response. Their reasoning was based on the fact that DR can improve grid efficiency
and temper radical price swings. This need for change has been embraced by the
United States government as well as the UK, Denmark, Finland, Sweden, France, Canada,
Australia, and others, and they are implementing policies to enact this change.
Slide 6
Demand response is an electricity market mechanism by which consumers reduce
consumption in response to energy price fluctuations, demand charges, or a direct
request to reduce demand when the power grid reaches critical levels. With demand
response, facility managers have the ability to manage their electricity consumption as
an asset instead of an expense that must be paid every month.
A good way to understand this is to think of a plane. Imagine that a plane can hold 70
people but is overbooked so 80 people show up for the flight. The airline will offer ten
people free flight vouchers if they are willing to take a later flight.
Now, compare the plane that carries 70 people to a power grid that has 70 MW of
power. The people, the consumers on the power grid in this scenario, are asking for 80
MW of power. In this case, the power grid will pay consumers to reduce 10MW in order
to balance the supply and demand.
Although this is not a perfect analogy, it provides an easy way to understand the
general idea of demand response.
Slide 7
Currently, there is a challenge to electric commodity suppliers in being able to supply
the required amount of electricity at any given time. For example, in the summertime,
there are many places that get extremely hot, prompting consumers to increase their
electricity use for cooling devices. This increase creates a spike in the need for
electricity. The electricity company has to be able to provide enough electricity for
these spikes and must build the necessary infrastructure to do so.
Essentially this means that even though the electric commodity supplier will only need
to supply this increased amount of electricity for a relatively short period of time, the
equipment needed to do it is present year round. The suppliers, therefore, incur the
expense of owning and maintaining this equipment. The cost of this is passed onto
consumers and increases their monthly charges.
Slide 8
Demand response programs provide an alternative. When a spike period is detected,
participants in the program receive a curtailment request (1) which generally comes
from the Independent System Operator (also known as Transmission System Operator).
The request will be based on a previously agreed contract and will specify how much
load has to be reduced and for how long. The format of the curtailment request varies:
it may be an email, a phone call, a pager message or an automatic signal direct to the
building management system.
(2) The participants evaluate the request and decide whether to accept it. Some
programs include only voluntary requests, where the participant has the option to
accept or refuse any curtailment. Other programs include mandatory requests, where
the participant is obliged by contract to comply.
Slide 9
(3) The participants turn off non-essential loads, and bring down the height of the spike
to a level that the electricity company can provide.
(4) Finally the participants communicate back to the ISO to confirm a successful
curtailment.
In this way the electricity company avoids the investment required for peaking power
plant. The most common type of equipment used for peak power is a natural gas
combustion turbine. These are powerful generators that can start up on a moments
notice. However, they tend to cost about $800/kW to build, whereas a similarly robust
demand response solution can be built for less than $400/kW. This translates into
lower charges for customers.
In addition, given that the demand response solution is, at its core, power reduction
instead of power generation, it is a zero emission generator, the cleanest power
possible.
Slide 10
Demand response aggregators can be the electricity supplier or third party, outside of
the supplier and customer, sometimes called a Curtailment Service Provider (CSP).
Aggregators provide demand response products from which customers can choose.
The aggregator monitors energy usage on the electric grid and can reduce usage
during peak periods of demand by calling on participants to switch off non-essential
loads.
A demand response aggregator can be responsible for all the necessary administrative
duties including setting up the required metering and ensuring that wholesale power
market and/or utility regulations are followed. Due to the activities of these third parties,
the utility company can focus on what they do well and do not necessarily have to be
involved. In this was they can avoid getting bogged down with the extra work.
The aggregator makes money from the Wholesale Power Market and/or the utility for
achieving the required reduction at peak times. In turn, the aggregator pays the
participants for helping achieve the required reduction.
Slide 11
As we have seen, the idea behind demand response is for customers to get paid to
manage their energy.
By reducing consumption and relieving load on the power grid when it is stressed,
participants return capacity to the grid. In effect each curtailment is an asset that has a
financial value.
Slide 12
Program participants can expect to earn back 5-25% of their annual energy costs. The
earnings vary based on speed, location, and willingness to participate. For example, the
ability to curtail consumption in Manhattan may have much greater value than in
another city. These factors can mean the difference in hundreds of thousands versus
tens of thousands of dollars in savings.
The revenue generated from demand response participation is often used for capital
investments such as equipment upgrades. Therefore demand response can be a way to
fund other improvements such as lighting or HVAC control, which further increases the
total savings gained from energy efficiency.
Now lets look at what it takes to participate effectively.
Slide 13
Obviously, to participate in a demand response program, you must have ways of

reducing your load in answer to a curtailment request. Curtailment requests can vary
greatly in their timing and duration, from a few minutes to a few hours. In general you
can expect the total curtailment hours in a year to be from 20 hours to 100 hours
depending on the chosen demand response product.
One way to achieve curtailment is to turn off any non-essential equipment. This could
include any lighting that is surplus to minimum requirements or which is purely
decorative, and pumps that are driving water features such as fountains. Any facility
which has air conditioning may be able to temporarily change the set points to reduce
consumption while still keeping comfort at an acceptable level. Facilities with multiple
elevators or escalators may be able to turn some of them off and direct users to the
ones which are still active.
Slide 14
Other actions can involve shifting the load to a different time of day. Dishwashing,
laundry and ice production can be rescheduled after the curtailment period is over. So
can battery charging, compacting scrap and waste, and baling. Environments that
incorporate batch production may be able to delay manufacture of the next batch and
turn off any pumps that are not currently essential.
Slide 15
Another strategy uses on-site generation to provide energy to allow equipment to
continue functioning during the curtailment period. This is feasible provided the
rewards of participating in the curtailment outweigh the fuel and operating costs of the
on-site generator. If the generator is already required on site to provide emergency
power, this may be a way to obtain more benefits from that asset. However in some
areas there may be restrictions, such as emissions regulations, that have impact on the
fuels that can be used and the duration of generating periods.
One more approach can be feasible if the participant has multiple locations under their
control; for example, a data center may be able to move some load to another data
center in an area not affected by the curtailment.
Slide 16
In a study of Energy Systems Integration for Demand Response performed by the
California Energy Commission the importance of communications and controls in
successful demand response programs is highlighted.
Demand response requires monitoring and communication of real time pricing to the
aggregators and customers. Modern communication systems, like the internet, make it
easy for consumers to obtain wholesale energy pricing in real time. There are also
software tools that correlate the wholesale electric price with the consumers real time
electric consumption. These tools enable the consumer to decide if they should
continue consuming electricity or reduce their consumption and sell it back to the
power market.
Slide 17
The issue of controls is a very important one in the consideration of demand response.
While demand response can work if a participating building is manually responding,
controls have been shown to improve performance when monitoring the ebb and flow
of electricity coming into and going out of a building. In many cases, automated
systems for shedding load can improve participation levels and yield greater financial
benefit. It reduces effort compared to manually turning off loads in a building or
factory. Another key benefit is that automation can be done with fine precision so that
it limits the impact on building occupants. It can be akin to the difference of an on/off
light switch and a dimmer switch.
Slide 18
This figure is a scatter plot of the average percent load shed for 75 participants in one
of the Pacific Gas & Electricity demand response programs during 2007. 16 of those
participants had automatic controls and 59 did not. Across a variety of different
building types, and in different locations, the sites that were enabled with automatic
control equipment tended to yield a higher average load reduction. The average shed
for automated customers was 8.1% while the average shed for non-automated
customers was -0.93%. This analysis provides strong evidence to support the theory
that automation improves the performance of demand response program participants.
Slide 19
Since the US is the first country where demand response schemes have emerged, lets
look at how the market has been influenced and regulated there.
In 2005, the US Congress stated the following:

It is the policy of the United States that time-based pricing and other forms of DR
[Demand Response], whereby electricity customers are provided with electricity price
signals and the ability to benefit by responding to them, shall be encouraged, the
deployment of such technology and devices that enable electricity customers to
participate in such pricing and DR systems shall be facilitated, and unnecessary barriers
to DR participation in energy, capacity and ancillary service markets shall be

eliminated. [EPACT 2005] (review of US DR Opportunities)
This means that in areas where an Independent System Operator or ISO exists, any
consumer can sell demand response to the wholesale market, essentially bypassing the
utility, unless the state Public Utilities Commission (PUC) or Legislature specifically
prohibits it. This would be unlikely because it would potentially have negative political
implications.
Slide 20
Order 890 from US Government essentially gives demand response the same weight as
other resources used for reliability, efficiency, and the expansion of electrical
transmission systems. It is believed by the Peak Load Management Alliance that this
order will give demand response the backing it needs in order to be more widely
implemented in the United States.
This order requires ISOs to allow demand response to bid into the wholesale market for
every service that a generator can bid into today. This makes demand response as
valuable as a generator. It also means that it is possible for demand response to sell into
higher value wholesale products and opens the market in more parts of the country.
Slide 21
With individual states continually increasing their required renewable energy portfolio
standards (RPS), which require states to supply a percentage of their energy through
renewable resources, there is a strong reliance on renewable energy to be available and
reliable when necessary. Because we are at the mercy of the elements for renewable
energy sources such as wind and solar power, the consistency of the energy supplied
through these resources cannot always be relied upon. Therefore, it is necessary to
have some sort of reliable back up for these in the event that there is a large gap in
meeting the demand for energy at a given time. The options for filling this gap are to
either supply the energy through use of non-renewable resources or through
implementing demand response programs.
Now that we have a better understanding of some of the demands on demand
response, let take a look at the Smart Grid.
Slide 22
In order to understand why the smart grid is beneficial, we need to understand how it
works. The energy market or local electric utility closely follows the market conditions
and then based on that information, they will dispatch a virtual green generator. The
virtual green generator is triggered to start when a signal is sent to the control boxes
inside buildings participating in the smart grid program. The Building Automation
System and Electrical Distribution systems in the participating buildings have predesigned routines they will follow in the event that they receive one of these signals.
Following these routines will work to reduce electrical demands.
Demand Response is the primary driver for the Smart Grid. The Smart Grid has been set
up to self optimize as well as restore itself automatically. The grid could be utilized in a
number of ways including for Demand Side Management/Real Time Pricing (RTP).
Another benefit of the SmartGrid is that it has the ability to provide some information
to the utility companies including real time data.
Slide 23
The Smart Grid is all about presenting the information to the right people at the right
time. In terms of demand response, this means letting consumers know the price for
power relative to their consumption in real time. This gives the information that has
previously been kept private and that most have not seen before. This information
allows them to decide if they should continue to consume or not. In general, most
automatic metering business cases will say that simply providing this information will
make about 60% of their case. The other 40% of their value proposition comes from
transmission and distribution management
Finally, some of the impacts that can be seen from SmartGrid implementation are
potentially reduced overall costs, more energy efficiency and better alignment with
green initiatives, higher reliability, and the opportunity to have more information
regarding your electrical service.
Slide 24
Lets review what we have covered in this course.
Demand Response Programs are a simple way to get paid for reducing consumption.
These programs relieve the load on a grid when it is stressed.
Demand fluctuates from season to season and even hour to hour. Regardless of how
much demand there is at any given time, the utility companies must be prepared to
meet peak demands at all times, which is very costly. This cost gets passed on to
customers.
Demand response provides an opportunity for participating customers to make a
choice about whether they want to reduce their electricity consumption in times of
peak demand in order to return energy to the utility. The customer is notified by the
utility provider that there is a need for energy and then decides whether or not they are
able to curtail their energy consumption at that time. Once the participant turns off any
non-essential load they notify the ISO to confirm that they have curtailed their usage.
In order to keep track of demand response, utilities would need to track a lot of
information which would take them away from focusing on providing the utility. Rather
than do this, utilities use Demand Response Aggregators as a third party curtailment
provider.
There are a number of benefits to customers for using demand response including
earning back 5-25% of their annual energy costs
Implementing DR requires monitoring and communication. While demand response can
be done manually, it is better to use the available software tools to ensure optimal
demand response.
Regulatory Impact on DR gives it the same weight as other resources as well as the
backing for wider implementation.
The Smart Grid is when an energy market or local electric utility closely follows the
market conditions and then based on that information, they dispatch a virtual green
generator that is triggered to start when a signal is sent to the control boxes inside
buildings participating in the smart grid program.
Demand Response is the primary driver for the Smart Grid. Some of the impacts that
can be seen from SmartGrid implementation are potentially reduced overall costs, more
energy efficiency and better alignment with green initiatives, higher reliability, and the
opportunity to have more information regarding your electric service.
Slide 25
Slide 26
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Important Point! The Knowledge Checkpoint link is located under BROWSE CATALOG
on the left side of the page.
Slide 27
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Distributed Generation
Slide 1
Welcome to Distributed Generation.
Slide 2
In order to fully appreciate this topic, you need to understand how energy is billed. Factors such as demand,
demand ratchet and time of use all have an impact on the potential returns from your distributed generation
strategy. If you do not have a thorough knowledge of these topics, please take Energy Rate Structures I
and II first.
Slide 3
Slide 4
Identify important drivers for why distributed generation is gaining popularity as a source of energy
Describe the primary categories of technology used to generate small-scale electricity; and you will
be able to
Discuss the main benefits and issues for each technology
Slide 5
Most industrial economies rely on very large central station power plants for electricity production. Such
plants are fueled with natural gas, oil, coal, nuclear, and hydropower.
Large central station power plants benefit from economies of scale to deliver high production efficiencies
and/or at low production costs. However, they are usually located in remote areas and need to transmit
electricity over long distances to end users located throughout a region. Transporting electricity over long
distances over transmission wires results in lost energy.
Slide 6
Distributed generation reduces energy losses by bringing energy production closer to the end user,
sometimes even in the same physical building or campus. Distributed generation reduces the number and
size of transmission and distribution wiring needed to serve modern-day energy needs.
Slide 7
Capacity margin is the amount of unused available capability of an electric power system at peak load as a
percentage of capacity resources. Due to significant growth, capacity margins are declining to alarming
values. In many countries, the quality of electric power is poor in terms of frequent power interruptions, unscheduled power reductions, voltage variations, frequency fluctuations, presence of harmonics, and other
system instabilities.
Slide 8
In almost all cases, the price of electricity is steadily increasing. The cost of fuel is pushed up by increasing
global demand, and the cost of production is impacted by requirements to meet more stringent emissions
regulations.
Many times, there are very few options that an end user can choose from for alternate sources of energy.
They are captive to the existing electric grid.
Slide 9
Recent electricity market deregulation, greater emphasis on environmental quality, and on-going concerns
related to the high cost of electricity is resulting in a renewed interest for distributed generation throughout
the world.
Distributed generation provides an alternative to, or an enhancement of the traditional electric power system.
The purpose of this course is to discuss various small-scale generation technologies that exist today. We
will then move on with a discussion of the major benefits and issues of distributed generation.
Lets begin with a discussion on the definition of distributed generation.
Slide 10
Distributed generation (DG) is known by several different names including:
On-site Generation
Dispersed Power
Decentralized Energy or Decentralized Generation
Distributed Energy Resource or Distributed Resources
Slide 11
Dispersed power is the use of small-scale power generation technologies located close to the load being
served. In most cases, dispersed power with energy recovery provides multiple streams of energycleanly
and efficiently.
Combined-cycle using clean natural gas can be used for power production and district heating near
populated areas. This type of power plant uses multiple cycles to increase efficiency - for example, using a
generator to produce electricity, and taking the waste heat to make steam to generate more electricity.
Renewables such as solar energy, wind power, and in some cases geothermal offer potential for energy
production near populated areas as well.
Battery storage and automotive application of electric vehicles are also being developed. These
technologies can be used as electric energy sources on-demand when plugged into the grid.
Distributed energy resources are any of these technologies introduced and include small-scale power
generation technologies (typically in the range of 3 kW to 10,000 kW) used to provide an alternative to or an
enhancement of the traditional electric power system.
Slide 12
Deregulation of electric markets and environmental concerns can be cited as the two main drivers for why
distributed generation has gained popularity in recent years. Lets look at the deregulation of electric
markets as the first driver.
Slide 13
Were seeing an increased interest by electricity suppliers in distributed generation because they see it as a
tool that will help them to fill in niches in a deregulated market.
In deregulated markets, customers look for the electricity service best suited for them.
Naturally, different customers will attach different weights to features of the electricity supply. Distributed
generation technologies can help electricity suppliers deliver the type of electricity service their customer
prefers.
Distributed generation allows competitors in the electricity sector to respond in a flexible way to changing
market conditions.
Slide 14
In deregulated markets, it is important to adapt to the changing economic environment in the most flexible
way.
Distributed generation technologies generally provide this flexibility because of their small size and the short
construction lead times compared to larger central power plants.
It should be noted that the lead time reduction is not always realized due to difficulty obtaining permits as
well as other factors, and a fair amount of public resistance may still exist with regards to very large wind
energy generators.
Slide 15
As distributed generation becomes more prevalent throughout the world, we can expect to see increased
interest in peak use capacity (peak shaving) and other demand response opportunities. There will be
significant technical emphasis in areas related to standby capacity, reliability, and power quality.
There are also opportunities and concerns related to alternative expansion of use of the local grid network,
and increased demand for grid support.
Slide 16
Environmental policies and concerns are also a growing driving force behind demand for distributed
generation.
Environmental regulations force participants in the electricity market to look for cleaner energy, and in turn,
more cost-efficient solutions. Distributed generation can play a role here, as it allows for optimizing energy
consumption of firms that have significant requirements for both electricity and heat.
Now lets move on and discuss engine types.
Slide 17
Internal combustion engines are available in spark ignition or compression ignition types. Compression
ignition engines are commonly available in two-stroke and four-stroke cycles. Four-stroke engines are
available in medium-speed and high-speed versions. Reciprocating engines may be fueled by diesel or
natural gas, and have varying emission outputs.
Slide 18
Lets look at one form of distributed generation - engine generator sets.
Reciprocating engines were developed more than 100 years ago. These were among the first examples of
distributed generation technologies. Both the spark ignition and the diesel cycle (also called compression
ignition) engines have gained widespread acceptance in almost every sector of the economy. They are
used on many scales, with applications ranging from fractional horsepower units that power small tools to
enormous 60 MW base load electric power plants.
Smaller engines are primarily designed for transportation and can usually be converted to power generation
with little modification. Larger engines are more frequently designed for power generation, mechanical drive,
or marine propulsion.
Slide 19
Most engines used for power generation are four-stroke and operate in four cycles:
Intake (Induction)
Compression
Combustion (Ignition), and
Exhaust
Slide 20
The process begins with fuel and air being mixed. In turbocharged applications, the air is compressed
before mixing with fuel.
The fuel/air mixture is introduced into the engine cylinder, compressed and ignited with a spark.
For diesel units, the air and fuel are introduced separately with fuel being injected after the air is
compressed ignition is accomplished through heat-of-compression.
Reciprocating engines are currently available from many manufacturers in many size ranges. They are
typically used for either continuous power or backup emergency power.
Cogeneration configurations are available with heat recovery engine cooling, and from hot engine exhaust
gas.
A significant amount of energy from an engine generator is available for low-temperature heating processes
which are shown in the pie chart as heat rejected losses.
Slide 21
The slow-speed diesel engine, with its flat fuel consumption curve over a wide load range (50%-100%),
compares very favorably over other prime movers such as medium speed diesel engines, steam turbines
and gas turbines.
With the arrival of modern, high efficiency turbochargers, it is possible to use an exhaust gas driven turbine
generator to further increase the engines rated output. The net result is lower fuel consumption per kWh
and an increase in overall thermal efficiency.
Slide 22
Another form of distributed generation is microturbine generators.
A class of small-scale distributed power generation in the 30-400 kW size range is emerging as
microturbines. The basic technology for a microturbine is drawn from from:
Automotive designs
Aircraft auxiliary power systems, and
Diesel engine turbochargers
A number of companies are currently field-testing demonstration units, and several commercial units are
available for purchase. A simple internet search will yield the name of companies in your area.
Slide 23
Microturbines consist of a generator, compressor, combustor, and turbine. The compressors and turbines
are typically radial-flow designs, and resemble automotive engine turbochargers.
Most designs are single-shaft and use a high-speed permanent magnet generator producing variable
voltage, variable frequency alternating current (AC) power. Most microturbine units are designed for
continuous-duty operation and many are recuperated to reduce fuel consumption. A recuperated unit is fitted
with a heat exchanger to recover some of the heat from the exhaust. This is used to pre-heat the incoming
air, boosting the fuel efficiency, but leaving less heat available for recovery for other uses.
Slide 24
Another form of distributed generation includes larger combustion turbine generator sets.
Combustion turbines range in size from simple cycle units starting at about 1 MW to several hundred MW
when configured as a combined cycle power plant. Units from 1-15 MW are generally referred to as
industrial turbines or sometimes as miniturbines. This differentiates them both from larger utility grade
turbines and smaller microturbines.
Industrial turbines are currently available from numerous manufacturers. Historically, they were developed
as aero derivatives - spawned from engines used for aircraft propulsion.
Slide 25
Some, however, are designed specifically for stationary power generation or compression applications in the
oil and gas industries. Multi-stage axial compressors and complex turbine geometries differentiate these
sophisticated machines from the smaller micro-turbines described previously.
Combustion turbines have relatively low emissions, low installation costs, and infrequent maintenance
requirements. However, their low efficiency has limited turbines to serving peaking unit and combined heat
and power (CHP) applications. Cogeneration distributed generation installations are especially beneficial
when a continuous supply of steam or hot water is desired.
Slide 26
Steam turbine generator sets can also be a form of distributed generation.
For years, steam turbines have been used as prime movers for industrial cogeneration systems. Highpressure steam raised in a conventional boiler is expanded within the turbine to produce mechanical energy,
which may then be used to drive an electric generator.
The power produced depends on how much the steam pressure can be reduced through the turbine before
being required to meet the site heat energy needs.
A steam turbine will generate less electrical energy per unit of fuel than a gas turbine or reciprocating
engine-driven cogeneration system, although its overall efficiency may be up to 84% higher - because it is
generating both heat and electricity (based on fuel gross calorific value).
Slide 27
For viable power generation, the steam input must be at a high pressure and corresponding temperature.
Sometimes, the residual heat output is relatively low grade.
The higher the turbine inlet pressure, the greater the power output. Higher steam pressures entails
progressively greater boiler capital and running costs.
Optimum pressure will depend on the size of the plant along with the required process steam pressures.
Steam cycles have an immense advantage in that the associated boiler plant can be designed to operate on
virtually any fuel, including:
Coal
Gas
Heavy fuel oil (HFO)
Residues and municipal or other wastes,
and are often capable of operating on more than just one fuel.
Slide 28
A high-pressure boiler is required to produce steam at pressures and temperatures needed to make power
generation economical. This type of power plant is very capital intensive to construct.
An existing site supplied by low pressure boilers will normally need to replace the existing boilers with highpressure equipment. It may be desired to retain the original equipment as stand-by.
Steam cycles normally consume a large amount of energy compared with the electrical output. Steam
turbine plants also have high equipment and installation costs.
Slide 29
Integrating an incineratorburning waste fuels, such as clinical waste, farm wastes or municipal solid
wastewith a steam turbine based cogeneration unit, can become cost-effectivewith power outputs of
greater than 500 kW electric.
However, incineration typically raises concerns over the production of undesirable emissions.
As an alternative, some types of waste can be gasified and the resultant gas used to fuel a gas turbine
installationor possibly even a gas engine.
Slide 30
Steam turbines fall into two types, according to exit pressure of the steam from the turbine:
Back-pressure turbines
o
The exit pressure is greater than atmospheric pressure, and
Condensing turbines
o
Where the exit pressure is lower than atmospheric pressure and a surface condenser is
required
The simplest arrangement is the back-pressure turbine in which all the steam flows through the machine
and is exhausted from the turbine at a single, relatively low pressuresuitable for use on-site.
Using the exhausted steam for process or other heating makes a contribution to the overall efficiency of the
site. However, if this exhaust is not used, the energy contained within it is wasted. In a moment, we'll see
how the second type of turbine handles this.
Slide 31
Here's a diagram illustrating how a back pressure steam turbine supplies power and also steam to meet site
or process heat demand.
The site heat load requirements dictate the amount of steam produced. The steam passes through the
turbine and contributes to power generation, and then exits the turbine to satisfy the heating requirements.
Hence the power output is dependent on site heat load. When more heat is required by the site, more
steam is produced, and more power is produced as well.
Where more than one grade of heat is required, the higher grade is served by extraction steam at the
appropriate pressure part-way along the turbine. Taking steam out of the turbine means there is less
energy available for making electricity, but if the extracted steam can be used for useful process heat that
can lead to higher overall cycle efficiency.
Slide 32
As we just saw, the first type of turbine exhausts steam at relatively low pressure - but still above
atmospheric pressure. In a fully condensing turbine, instead of making that low pressure steam available for
heating, the turbine design captures as much of that energy as possible for power generation.
To achieve this, the steam expands through the turbine down to a very low pressure, which is actually a
vacuum, below atmospheric pressure, and exhausts to a surface condenser. This means the turbine gets
as much energy as possible out of the steam. The surface condenser captures the water that condenses
out of the steam and returns it to the boiler. Some energy does escape from the turbine and passes through
the condenser during the process of condensation. However this is generally not recoverable, and is
usually rejected to the environmentas heat or waterand is lost.
Slide 33
Let's look at an application. District heat is a system for distributing heat generated in a centralized location
to a group of residences and/or commercial buildings to provide heating requirements such as space
heating and water heating. Instead of each house or business having their own boiler, there is one central
heating system which they all use.
In district heat designs that include cogeneration, the system deals with production of power as well as heat.
The steam turbine is used to produce power, but is set up with the turbine condenser operating near or even
above atmospheric pressure. In effect, this is deliberately running the turbine to produce less power, so that
the steam which leaves the turbine and enters the condenser still contains considerable energy. This
guarantees that the condenser cooling water picks up enough heat to supply the district heating circuit.
Slide 34
Wind turbines are a form of distributed generation.
Wind turbines are packaged systems that include the rotor, generator, turbine blades, and drive or coupling
device. As wind blows through the blades, the air exerts aerodynamic forces that cause the blades to turn
the rotor. As the rotor turns, its speed is altered to match the operating speed of the generator.
Slide 35
Most systems have a gearbox and generator in a single unit behind the turbine blades. As with photovoltaic
(PV) systems, the output of the generator is processed by an inverter that changes the electricity from DC to
AC so that the electricity can be used locally, or on the electric grid.
Slide 36
Windmills have been used for many years to harness wind energy for mechanical work like pumping water.
Before a centralized supply of electric power became the norm, many rural areas were using windmills to
produce various forms of energy.
Advances are also being made into vertical-axis wind turbines, which are seen as an alternate to traditional
propeller designs.
Slide 37
During the 1970s energy crisis, wind energy became a significant focus for research and development as a
potential renewable energy source. Wind turbines, basically windmills dedicated to producing electricity,
were considered the most economically viable choice within the renewable energy portfolio.
Slide 38
Attention continues to remain focused on this technology as an environmentally sound and convenient
alternative to fossil fuels. Wind turbines produce electricity without requiring additional investments in
infrastructure such as new transmission lines, and are commonly employed for remote power applications.
Theyre currently available from many manufacturers and improvements in installed cost and efficiency
continue.
Slide 39
Solar power is a form of distributed generation.
Photovoltaics were first discovered in 1839, by the French physicist Edmund Becquerel. He discovered that
certain materials produced small electric currents when exposed to light.
Slide 40
His early experiments were about 1 to 2 percent efficient in converting light to electricity and led to research
into these photovoltaic effects. The science surrounding photovaltacis continued to evolve. In 1954, Bell
Labs was able to develop a silicon photovoltaic cell that increased the light to electricity conversion
efficiency to 4 percent.
Slide 41
Photovoltaic systems are commonly known as solar panels. PV (Photovoltaic) solar panels are made up of
discrete cells connected together that convert light radiation into electricity.
PV cells produce direct-current (DC) electricity, which must then be inverted for use in an AC system. Today,
PV units have efficiencies of 24% in the lab and 10% in actual use, which is far below the 30% maximum
theoretical efficiency that can be attained by a PV cell.
Slide 42
Insolation is a term used to describe available solar energy that can be converted to electricity. The factors
that affect insolation are the intensity of the light and the operating temperature of the PV cells. Light
intensity is dependent on the local latitude and climate and generally increases as the PV site gets closer to
the equator.
Slide 43
The main benefits of photovoltaic systems are that they produce no emissions, are reliable, and require
minimum maintenance to operate. They are currently available from a number of manufacturers for both
residential and commercial applications, and manufacturers continue to reduce installed costs as well as
increase efficiency. Applications for using them as a remote power source are quite common.
Slide 44
Now, lets discuss some emerging technologies in distributed generation. First, lets look at fuel cells.
Slide 45
The first fuel cell was developed in 1839 by Sir William Grove. Fuel cells were not put to practical use until
the 1960s when NASA installed this technology to generate electricity on the Gemini and Apollo spacecrafts.
Slide 46
There currently are many types of fuel cells under development in the 5-1000+ kW range size, including:
Direct methanol
Proton exchange membrane
Solid oxide
Molten carbonate
Alkaline, and
Phosphoric acid
The first systems demonstrated were 200-kW phosphoric acid units from International Fuel Cells
(International Fuel Cells - also known as ONSI, UTC Fuel Cells). A number of companies are close to
commercializing proton exchange membrane fuel cells, with marketplace introductions expected soon.
Slide 47
While the numerous types of fuel cells differ in their electrolytic material, they all use the same basic theory:
A fuel cell consists of two electrodes separated by an electrolyte
Hydrogen fuel is fed into the anode of the fuel cell
Oxygen (or air) enters the fuel cell through the cathode
With the aid of a catalyst, the hydrogen atom splits into a proton (H+) and an electron
The proton passes through the electrolyte to the cathode and then the electrons travel in an
external circuit
As the electrons flow through an external circuit, connected as a load, they create a DC current
At the cathode, protons combine with hydrogen and oxygen, producing water and heat
Fuel cells have very low levels of nitric oxide and carbon dioxide emissions because the power
conversion is an electrochemical process
The part of a fuel cell that contains the electrodes and electrolytic material is called the "stack," and
is a major contributor to the total cost of the system
Stack replacement is very costly but becomes necessary when efficiency degrades over time
Slide 48
Fuel cells require hydrogen for operation, but it is generally impractical to use hydrogen as a direct fuel
source. Instead, it must be extracted from hydrogen-rich sources such as gasoline, propane, or natural gas.
Efficient, cost effective fuel reformers that convert various fuels to hydrogen are necessary to enable fuel
cells to have increased flexibility necessary for commercial feasibility.
Slide 49
Now lets move on and discuss Stirling engines.
The Stirling engine has been around for over 60 years. This engine is an external combustion device and as
a result, differs substantially from the conventional combustion plant where the fuel burns inside the
machine.
Heat is supplied to the Stirling engine by an external source, such as a burning gas, waste heat, or solar
energy. This makes a working fluid - for example - helium, expand and causes one of the two pistons to
move inside a cylinder. This is known as the working piston.
Slide 50
A second piston, known as a displacer, then relocates the gas to a cool zone where it is recompressed by
the working piston. The displacer then moves the compressed gas or air to the hot region and the cycle
continues.
Slide 51
The Stirling engine has fewer moving parts than conventional engines, and no valves, tappets, fuel injectors
or spark ignition systems. As a result, it is quieter than normal engines. The low noise levels in a Stirling
engine is also attributed to the continuous, rather than pulsed, combustion of fuel.
Slide 52
Stirling engines also require little maintenance. Emissions of particulates, nitrogen oxides, and unburned
hydrocarbons are low. The efficiency of these machines is potentially greater than that of internal
combustion or gas turbine devices.
Slide 53
The advantages of the Stirling engine are: fewer moving parts and low friction, no need for an extra boiler,
no internal burner chamber, high theoretical efficiency and very well suited for mass production.
The external burner or heat source allows for a very clean exhaust and gives the possibility of controlling the
electrical output of the engine by reducing the temperature of the hot side. So there is the possibility of
varying the electrical production regardless of the need for thermal heat demand.
Slide 54
As we discussed, each technology has advantages and disadvantages. Its important to weigh these
advantages and disadvantages prior to selecting a distributed generation technology. To assist you with
weighing these issues, weve attached a downloadable table that lists out the basic advantages and
disadvantages of each technology. Weve also included some additional resource information that
addresses the topic of distributed generation in more depth.
Slide 55
And finally, weve also included a chart comparison of each technology with regards to size, installed cost,
electrical efficiency, overall efficiency, total maintenance costs, footprint and emissions. To download a copy
of all of these charts, just click the paperclip icon. (Located in the lower right hand corner.)
Slide 56
Lets conclude with a brief summary. Today we identified deregulation of electric markets and environmental
concerns as the major drivers for why distributed generation is gaining popularity as a source of energy. We
described the major categories of technology used to generate small scale electricity, including:
Reciprocating engines
Microturbines
Combustion gas turbines
Steam turbines
Wind turbines
Photovoltaics, as well as the
Emerging technologies
Lastly, we discussed the major benefits and issues for each of these technologies.
Slide 57
Slide 58
To test your knowledge of the course material, click the Knowledge Checkpoint link on your personal
homepage. The Knowledge Checkpoint link is located under BROWSE CATALOG on the left side of the
page.
Slide 59
We are dedicated to providing you with relevant, cutting edge education on topics pertinent to energy
efficiency. Please take our brief survey and tell us how were doing. How do you begin? Its easy! 1) Click
on the Home icon, located in the upper right hand corner of your screen. 2) Click on the Course Surveys"
link on the left side of the screen found below Browse Courses. 3) Select the course title you have just
completed and take our brief survey.
Efficient Motor Control with Power Drives Systems

Slide 1: Efficient Motor Control With Power Drives Systems

Welcome to Efficient Motor Control with Power Drives Systems.
Slide 2: Welcome
to navigate through the eLearning experience. Using your browser controls may disrupt the normal play of the
Slide 3: Objectives
Define the components of a Power Drive System
Review the different types of motors
Identify opportunities for motor efficiency
Review the different types of gears and transmissions
Identify opportunities for gears and transmissions efficiency
This course continues in our module on 'Active Energy Efficiency with Motor Speed Control' where we'll learn about
the great potential for energy savings in power drive systems through controlling the motor speed. Variable speed
control can yield from 20% to 70% savings depending upon application type. But first, let's learn about other ways of
improving efficiency.
Slide 4: Power Drive System (PDS)
A power drive system (PDS) consists of a few major components.
First, it includes the motor and its sensors. The purpose of the motor is to transform energy into mechanical power..
The gear, or transmission, conveys that power from the motor, to the machine that is performing the work.
The variable speed drive module controls the speed of the motor and supports smooth startup. As we just
mentioned, our class on Active Speed Control will go into more details about variable speed drives.
Process control collects input data from sensors, and provides outputs to the power drive system to regulate the use
of the machine: for example, to turn it off when the process is complete.
Now, lets turn our focus to motors and gears.

Slide 5: Energy Efficiency in Motors
Motor driven systems account for 60 - 70% of the electricity consumed by industry in regions as diverse as Europe,
the US and China.
They are used in many applications like pumps, conveyors, refrigeration equipment, material handling and many
other processes. There is a huge potential for energy savings, because many of these motors are oversized, not
speed controlled and not regularly maintained. Inefficient or poorly maintained power drive systems can lead to great
waste of energy, downtime, and safety issues. For example, in a conventional pumping system, around 70% of the
energy consumed is wasted. An efficient system uses less than half the energy to do the same work. (Source: De
Keulenaer, H., 2004. Energy Efficient Motor Driven Systems, Energy & Environment).
Slide 6: Why Focus on Power Drive Systems?

The US Department of Energy estimates that industrial motor energy use could be reduced by 11 to 18 percent if
facilities managers undertook all cost-effective applications of mature proven technologies and practices.

Investments in efficient components such as variable speed drives and high-efficiency motors can yield rapid
payback. On average, 97% of the life cycle cost of purchasing and operating a motor is energy-related. Yet too
often the only factor considered when selecting a motor is the initial purchase price. Reducing the consumption
of a motor by 10% can save enough to buy three more motors.
This gives us three compelling reasons to focus on power drive systems.
Motors are everywhere and consume a high proportion of total energy (60% - 70% of industrial use)
Many are oversized and inefficiently controlled
Since 97% of the cost of ownership is energy, it makes sense to focus on operating costs more than initial purchase
price
Reference: Motor U.S. Department of Energy Tip Sheet #10 June 2008
Slide 7: Motors
About 95% of todays motors are AC induction. These motors have become popular because they are reliable and
low cost compared to other technologies like DC motors and synchronous permanent magnet ones.
Fewer than 5% of motors are DC. These motors are easy to control in speed and have very good performances in
torque and speed precision. But they require a fair amount of manufacturing and maintenance cost, and they need a
DC supply. For these reasons, they are less prevalent.
Slide 8: Permanent Magnet Motors

A smaller subset of motors is called permanent magnet or PM synchronous motors. In this design, the rotor is fitted
with rare earth magnets in order to achieve increased field strength in a small volume. Due to their cost they are
reserved for high performance applications (like fast-cycle machines). However, as their energy consumption is less
than induction motors, they come up more and more in some applications like lifts and extruders.
Slide 9: Asynchronous Motor
Asynchronous motors are the most commonly used motors today.
They can be found throughout industry, infrastructures and buildings.
They are very simple, robust and low cost
Their main drawbacks are :
A high starting current (5 to 7 times the rated load)
They have uncontrolled acceleration
Their speed decreases slightly with the load - This is a called, slip. Well talk about this more in a moment.
And they feature losses due to slip, stator resistance and magnetic coupling
Basic Principle
Here is the operating principle of an asynchronous motor.
The two most important parts of a motor are the stator and the rotor. The rotor is a cylindrical component which fits
within the stator.
Basic Principle
The stator is equipped with three-phase windings, positioned at 120 degree intervals.
As the electrical current rises and falls in each of the phases, a rotating magnetic field is created. This field causes
electrical currents in the rotor. Electromagnetic interactions, between the rotor currents and the rotating magnetic
field creates torque, causing the rotor to turn. This then rotates the motor shaft.
The rotor follows the rotating field but rotates a little bit slower. This is referred to as slip between the stator rotating
field and the rotor. This slip generates the torque which moves the rotor. The slip also increases with torque. This
means that the speed of an asynchronous motor decreases slightly with load.

Squirrel cage type
The most common and most cost effective motor technology is the so called Squirrel-cage motor.
The squirrel cages rotor is comprised of metal bars short-circuited at their extremities by conducting rings.
Depending on the supply voltage, the winding can be connected in different ways.
By Star coupling, where one end of the stator coils are linked to a common node and the other ends to one of the
phases of the power supply.
Or by Delta coupling, where the windings are connected to form a triangle and each corner is connected to a phase
of the supply; there is no common node.
Rating plate
It is critical to know how to read the rating plate of an asynchronous motor - Particularly when using variable speed
drives or soft starters because these parameters have to be entered before starting.
On this nameplate, the different lines give the rated specification for the chosen winding coupling (star or delta). On
this nameplate, the different possible windings are shown here, and here.

Rating plate
The rating plate includes the motors
Rated voltage
Rated supply frequency
Rated speed, which is the speed of the rotor under rated load, i.e. the synchronising speed minus slip
Rated mechanical power, which is the power available at the shaft. Note that on this nameplate the power is given
in kilowatts. On this one, it is given in horsepower.
The cosine of phi, which is the motor power factor
And the rated current at rated voltage and rated load

Motor Sizing
A motors maximum efficiency is obtained when operating at 60% to 100% of full load. Too often, electrical motors
are oversized. Typically the designers of motor applications oversize the motor because they are not very concerned
about energy efficiency - They want to ensure that there is no chance of the motor being overloaded. When energy
is cheap, this approach is a low-cost trade off against overload risk. But as energy costs rise, this oversizing rapidly
becomes a wasteful and expensive answer to this design issue.
Significantly over sizing a motor increases the capital cost, decreases the functional motor efficiency, and can
increase the motors operating speed, and therefore, the motors energy consumption.
Slide 16: Motor Efficiency Classifications
The International Electrotechnical Commission or IEC has defined 4 grades of efficiency for low-voltage cageinduction motors up to 375 kW. Standards are in progress for other motors up to 800 kW and 600 kV. In Europe,
these standards are replacing the EFF standards. In other regions, local standards may apply, but usually show
good alignment to the IEC standards.
Most countries are engaged in programs to drive higher standards for minimum energy performance standards. In
Europe, the IE2 standard is already in effect. From January 1, 2015 only IE3 motors will be acceptable for direct
connection in the range 7.5 kW to < 375 kW.
Starting on January 1, 2017 this will be extended to small motors down to 0.75 kW. IE2 motors will only be accepted
when managed by speed drives.
In the USA and Canada, the Epact standards that define standard efficiency and high efficiency motors will give way
to the NEMA Premium Efficiency standard already in effect. In China, India and Brazil, standards will continue to
evolve.
Motors of a higher efficiency class are more complex to design and produce, and contain more metal, different
metals, or higher grade metals to provide conductors with lower losses. The motor price will increase accordingly. In
relation to the motor lifetime the purchase price is only a few percentage points and, due to the saved energy cost,
the pay-back period is short.
To learn more about how to calculate the savings from improved efficiency, take our class on Motors: Loads, Losses
and Operating Costs.
Click here to learn more about the IEC standard. Click here to learn more about the NEMA standards.
Slide 17: Efficiency Gains With IEC Standards
The efficiency gains from investing in a premium efficiency motor can be considerable. For smaller motors the
difference between IE2 high efficiency and IE3 premium efficiency is around 3%. Between IE1 and IE2 the
improvement can be as high as 10%. The efficiency improvement tends to be smaller in larger motors, but with the
higher energy consumption, improvements of just 1% can rapidly pay for themselves.
Slide 18: Efficiency Gains With NEMA Standards

The efficiency gains from investing in a premium efficiency motor can be considerable. For smaller motors the
difference between standard efficiency and NEMA premium efficiency is around 3%. The efficiency improvement
tends to be smaller in larger motors, but with the higher energy consumption, improvements of just 1% can rapidly
pay for themselves.
100.0
95.0
90.0
85.0
80.0
75.0
1
10
100
1000

Motor Efficiency
Electrical motor efficiency () is the ratio between the mechanical shaft output power and the electrical input power.
Internal losses include electrical, mechanical, and magnetic losses.
If you have details such as input voltage, current and power factor of the motor, you can determine the electrical input
power using this equation. The electrical power is equal to the square root of three multiplied by the three phase
voltage, current and power factor.
The mechanical power output by the motor can be found by multiplying the electrical input power by the efficiency of
the motor.
Also note that the mechanical power is the product of the torque and the angular speed of the motor.
Slide 20: When to Replace Motors
All motors will eventually need to be replaced or rewound. In general, a motor should be run until it fails. An exception
to this rule is cases where a motor is only working at about a quarter of its capacity, and therefore less optimal to
begin with. It might also make sense to replace a motor if federally-backed incentives emerge.
Slide 21: When to Rewind Motors
Motors can "burn out" if they are overloaded or if they experience abnormal input voltages. When the electrical
winding of the stator overheats, the insulation can be damaged and then electricity will pass between the damaged
sections. The motor can be repaired by rewinding it. However, this may not be a good plan.
Rewinding motors generally costs about 60% of the cost to replace them. Its important to note that when motors are
rewound, their efficiency drops slightly. The best policy might be to rewind highly efficient motors, and sell or salvage
those that are not.
Lets now move on to discuss gears and transmission.
Slide 22: Gear Purposes
Gears have three purposes: Transmission of power, reducing speed, and increasing torque.
The objective is to transmit power efficiently. As we will see, there are a variety of gear designs, with different levels
of efficiency.
Reducing speed is often necessary because standard motors operate at specific standard speeds, such as 850
RPM. If the machine powered by the motor requires only 120 RPM, then a gear will be used to reduce the
speed.
Torque is rotational force. It is the product of the force and the distance from the center of the shaft
If the radius is 20 cm, and the force is 2 Newtons, the resulting torque is 2.0 N x 0.2 m = 0.4 Nm (Newton-meters).
If the radius is 6 inches, or half a foot and the force is 4 pounds, the resulting torque is 4 lb x 0.5 ft = 2.0 ft-lb (foot
pounds).
In torque amplification, gear sets are specifically configured to enable the motor to perform more force at low speed.
Most of this work is achieved through gear ratios. This is the output gear size versus the input gear size. A gear ratio
can be determined through a comparison count of the number of gear teeth or simply a measurement of each gear
radius. The gear ratio is:
The output speed can be controlled very simply in the following manner. If the input gear with 20 teeth rotates at 10
revolutions per minute (rpm) and its connected to an output gear containing 100 teeth, that output gear will rotate at
2 revolutions per minute. The gear ratio in this example is 100:20 or 5:1
So the formula for speed is:
output speed = input speed
gear ratio
What if we wanted to control torque using gear ratios? The formula for this action is: input torque X gear ratio =
output torque
Lets say the input torque is 8 Newton-metres (N-m), or 6 foot-pounds (ft-lb). Using the same gear configuration as in
our speed control example, that would be:
8 N-m X 5 = 40 N-m
6 ft-lb X 5 = 30 ft-lb
Another factor to consider is inertia adaptation.
Some machines include heavy rotating parts, for example, large conveyors or flywheels. Due to inertia, these loads
take more power to start and accelerate than they do to keep running once started. That would require more torque.

If the inertia ratio between load and motor is too high, such as greater than 10:1, there can be a mismatch which
leads to system oscillations during acceleration and deceleration. This can be a problem on fast cycle machines. It
can be managed by using larger motors, so that the inertia ratio is reduced, or by changing gear ratios, or by
reducing the control gain.
Slide 25: Gear Trains
Some common gear trains are pulley, planetary and axial. Each is configured differently and has a different purpose.
In a pulley configuration, a motor spins one gear, which has a pulley belt wrapped around it. The belt is also wrapped
around another gear known as the pulley wheel. This second gear is, usually different in size, in order to create
different torque or speed. The pulley gear train is commonly used in fan driven applications. Its a low cost solution
but not able to transmit very high torque, the belt ages quickly and overall dimension is big. For more torque and
reliability its more common to see pinion chain transmissions. These transmissions resemble the sprocket and chain
on a bicycle.
Slide 26: Gear Trains
Another common gear train is called planetary for its resemblance to the planets in our solar system. This gear train
is best used for applications where a gear ratio must be achieved along with the output gear travelling in the same
direction as the input gear.
This instance is most often found in an electric screwdriver, where it is critical to increase torque and have the axis of
the input gear the same as that of the output gear.
This illustration is an axial gear train. The quintessential application for this gear train is the differential or rear axle of
an automobile. It allows for a 90 degree torque transition.
Lets move on to discuss gear efficiency, the most efficient gear trains, and how to calculate gear efficiency.
Slide 27: Gear Efficiency
With regard to motors, the greatest determinant of gear efficiency lies in how efficiently various speed reducers drive
a load from the input power. Efficiency is determined primarily by the manner in which the gears intersect. For
example, a very widely used gear train, called a worm drive, is comprised of a worm wheel positioned at a right angle
to the drive shaft. The shaft is known as a worm gear and is a gear in the form of a screw. This results in a relatively
large area of contact. This contact area can be larger or smaller depending on the speed reducing requirements.

If the same gear train were arranged such that the input shaft turned a helical gear before turning the worm gear, this
would take some pressure off the worm gear that would otherwise be handling 100% of the friction. In a helical gear
the leading edges of the teeth are set at an angle, which makes the shape of the tooth to be a segment of a helix.
The angled teeth run more smoothly and quietly, because they engage more gradually.
Replacing the worm gear with a helical bevel is a more costly arrangement, but in terms of efficiency, is a wise choice
as it reduces friction and therefore facilitates rotation using less power.
Selecting the most appropriate gear set requires evaluation of a few factors:
Determine the torque or power required at the input shaft of the machine
Determine service factors to be applied to the gear
Determine the efficiency of the gear
The torque or power required by the machine at its input shaft has to be determined first.
There may then be a need to compensate for various conditions. Conditions such as frequent stops, temperature
and other environmental and usage factors can impact performance of the gear used for speed reduction.
The service factor is a multiplier, which is applied to the known load, which redefines the reducer ratings in
accordance with the drive conditions at which the reducer will be used. The service factor varies with the type of
application in which the reducer is to be used, the kind of prime mover involved and duty cycle. The factors are
used with gears only, and should not be applied to the selection of the motor.
For our example, lets consider a requirement for 0.75 kW or 1 hp on the driven equipment shaft. If the equipment
starts and stops more than 10 times per hour, and operates 24 hours per day with uniform load, the service
factor for that might be 1.25.
Rating required = 0.75 kW * 1.25 = 0.94 kW
Rating required = 1.00 hp * 1.25 = 1.25 hp
Notice how the requirement for frequent starts increases the required rating of the gear. This factor is only used when
determining the rating of the gear to be used. It is not used to choose the motor.
Once the gear has been selected taking into account the service factor, we can consider the efficiency of the gear.
Efficiency may not be published in the gear specifications, but it can be calculated if the manufacturer has published
the input power, torque or wattage along with output values.
Efficiency is always output divided by input.
So if the spec gives examples of input and output power, calculate efficiency using
Efficiency = example output power/example input power

If you need to convert power between kW and horsepower, use the conversion 1 horsepower = 0.746 kW.
Many types of gears are efficient in the range 98% 99%. Some have lower efficiencies down as far as just 20%. A
more efficient gear will waste less power and cost you less to operate. Of course, the total efficiency of the system
will also depend on the efficiency of the motor and other components, not just the gear.
Slide 30: Optimizing Gears
Fine-tuning gear and belt designs is cost effective from the standpoint of efficiency. Selecting the correct drive
components can also increase a drives capacity. A few factors influence drive efficiency. They are speed, load
capacity, belt resistance, belt tension and pulley size. For a belt-driven design, it may be tempting to choose belts
that have more than the required capacity. Overbelting can be detrimental to drive efficiency as they are less
flexible around pulleys, thereby creating more resistance. Contrariwise, underbelting may lead to excessive slip or
may stretch too much, leading to periods of downtime.
Originally, motor belts were made of leather and had a flat profile. Today, most standard belts are V-belts which have
a cross-section shaped like a trapezium. It is the sides of the trapezium that provide the drive surface - not the
bottom of the belt. This shape matches the shape of the pulley, so it can't slip off, and provides better traction, but it
doesn't curve well and tends to flex downward as it leaves the sheave.
Cogged and synchronous belts are refinements of the standard belt. Cogged belts have notches cut into them as well
as the V-shape. These notches provide curve around the pulley more effectively so that less energy is devoted to
flexing and lost as heat. Switching from V-belts to cogged belts is easy and can yield an efficiency gain of up to 2 3%.
Synchronous belts, also called timing belts, also have notches, which fit into matching teeth in the sheave. They
provide more efficiency, but they have to be carefully engineered to match the belt and sheave with the application.
Switching from cogged V-belts to a synchronous belt can gain an additional 2% of efficiency. However they are not a
good choice for machinery that can easily become clogged, like a rock crusher or a trash pump dealing with debris in
the fluid. This is because in the event of a blockage that prevents the cog turning, the motor is directly coupled to the
machinery and there is no possibility of the belt slipping. The risk is that the motor will burn out.
Slide 31: Optimizing Gears
Types of gears, and how they connect with one another, are just as critical to efficiency. Gear ratios can greatly
impact the amount of work a motor needs to perform. The motor will also operate more efficiently by using gears that
minimize friction, thereby decreasing the amount of work the motor must perform. If we lower the gear ratio, we
decrease friction. The result is a decrease in the losses associated with the drive. The ideal situation would be to use
no gears, but low speed high torque motors are not standard, very expensive and bulky.
The challenge, therefore, is to find the balance between the motor speed-torque capability and the machine speedtorque needs in order to minimize the ratio.
Slide 32: Gear Maintenance
Gears require almost no maintenance. They merely need to be well-lubricated, and then replaced as age causes a
drop in efficiency.
Pulley-belts need to be checked regularly for alignment, slip, belt tension and aging.

Slide 33: Conventional Versus Gearless Systems
Conventional motors run at high speeds requiring drastic speed reductions using high torque gear trains. The load
transmitted by the gear trains will be high, leading to losses and mechanical stress on the shafts and gears.
A solution studied more and more is the gearless configuration, which can be found in applications such as elevators
and extruders. Some advantages of gearless systems include a reduction of mechanical parts, reduction of space
required, energy savings, and noise reduction.
There are some drawbacks, however. Gearless systems require specific motors such as multi-poles, and
synchronous motors with permanent magnets. Speed control is mandatory as gearless systems require very good
motor control.
Slide 34: Summary
So how can we make a drive system more efficient? We start by selecting the correct motor.
Motors are responsible for 60% - 70% of the industrial electricity consumed. The lifetime cost of a motor is 97%
energy, and only 3% initial purchase price and maintenance
AC induction motors are used more for their simplicity and low cost but the standard ones are not the best in terms of
efficiency
New systems using an efficient motor can yield substantial energy savings - and the payback can be less than 1 year
IEC standards have been defined for motors. For smaller motors the difference between IE2 high efficiency and IE3
premium efficiency is around 3%. Between IE1 and IE2 the improvement can be as high as 10%
Under NEMA standards for smaller motors the difference between standard efficiency and NEMA premium efficiency
is around 3%
The efficiency improvement tends to be smaller in larger motors, but with the higher energy consumption,
improvements of just 1% can rapidly pay for themselves
Slide 35: Summary
Other countries have similar standards
Motors are most efficient when operated between 60% and 100% of full load
Optimizing the motor size ensures that the motor does not operate under 60% of its full load
Next, we need to select the correct gear train
Be sure to select an efficient gear
Choose the correct ratio
Be sure to maintain belts taking note of tension and aging. Consider cogged or synchronous belts
Lastly a big potential for energy savings in power drive systems is in controlling the motor speed. Variable speed
control can yield from 20% to 70% savings depending upon application type. Learn more about this opportunity on
our module on 'Active Energy Efficiency with Motor Speed Control.
Electrical Concepts
Slide 1: Electrical Concepts

Welcome to Electrical Concepts
Slide 2: Welcome
course. Click the paperclip icon to download supplemental information for this course. Click the Notes tab to read a
Slide 3: Objectives
At the completion of this course, you should be able to
Describe major electrical units
Explore concepts of single and three phase power supply
Explain Ohms Law for resistance and power
Distinguish between real and reactive power
Define load factor for a building
Calculate motor input and output power using the electric motor efficiency formula
This course provides a summary or refresher on some major electrical concepts that you will encounter when
working on energy efficiency. It assumes that you have a general background knowledge of simple physics. Another
pre-requisite for this course is a fundamental knowledge of the units of energy and the concepts of energy versus
power. If you do not have this knowledge, please first complete our class on Fuels and energy value analysis.
Slide 5: Energy Versus Power
The first concept well examine, is energy versus power.
Energy is the ability to do work. For example, if I move a rock a distance of three feet, or one metre, I used a certain
amount of energy to do that work.
In countries using the US customary measures, energy is often expressed in British Thermal Units. A BTU is the
amount of heat required to raise the temperature of one pound of liquid water from 60 to 61 degrees Fahrenheit at a
constant pressure of one atmosphere. Its about the same amount of energy as you get from burning a wooden
match.
Because the BTU is a small amount of energy, multipliers such as MBTU or MMBTU are used to express energy at
higher levels. The letter M is the Roman numeral for 1,000, so one MBTU is equal to 1,000 BTU of energy.
1,000,000 BTU is expressed as MMBTU a thousand times a thousand. However, you have to take care, because
in the standard international system, M means mega and is a multiplier of 1,000,000. So you may run into cases

where M means one thousand (as in MBTU) or where it means one million (as in Megawatts). Check to be sure.
The standard international system chiefly uses joules to measure energy. A joule is about the amount of energy
needed to lift an apple to a height of 1 metre. Again, thats not very much energy, so measures such as kilojoules (kj)
and Megajoules (Mj) are common.
1 BTU is equivalent to fractionally more than 1.055 kilojoules.
Slide 6: Energy Versus Power
Power is how fast work gets done. It is the rate at which energy is consumed. Moving one rock per minute uses a
certain amount of energy and hence power. Moving 10 rocks per minute will use more energy and hence more
power. Lets say I move 200 rocks in 15 minutes. How much energy does that use, and how much power? Lets
assume it takes 10 BTUs to move one rock
Power = work done / time required
The energy needed for 200 rocks is 200 rocks x 10 BTUs per rock = 2000 BTUs.
That's the work done. To achieve that in 15 minutes I will need power of 2000 BTUs divided by 15 minutes.
2000 divided by 15 is 133 BTUs per minute.
So the energy needed is 2000 BTUs, but the power needed is 133 BTUs per minute.
Slide 7: Energy is Comprised of WAGES
To fully account for energy use, you must consider all types of energy including water, air, gas, electric and steam.
An easy way to remember these is using the acronym, W.A.G.E.S.
These different forms may be measured in different ways:
Measures of the energy content of the fuel (such as BTUs or joules)
Measures of the mass of the fuel (such as pounds or kilograms)
Measures of the volume of the fuel (such as gallons, litres, cubic feet and cubic metres)
Lets explore these further.
Water includes:
Domestic potable water
Domestic hot water
Heating hot water
Chilled water
Waste water
Typically water is measured by volume. In the US, the customary measure is by gallon. In countries using the
standard international system litres are used.

Air refers to compressed air. This is treated as a type of energy, because compressed air has the ability to do work,
for example, by powering pneumatic tools. Compressed air is generally measured in standard cubic feet per minute
(SCFM) or cubic metres per second (m s-). That air would be at a defined pressure, usually set in pounds per
square inch (PSI) or kilopascals (kPa).
Gas refers to natural gas. Natural gas is a primary energy source. This means that it is a fuel that contains energy
that has not undergone any conversion. A primary energy source can be converted to a secondary energy source
such as electricity. Under the G for Gas in the WAGES acronym, we also include other forms of primary energy, such
as coal, oil, gasoline and ethanol. It also includes gasses used in manufacturing processes such as oxygen, argon,
CO2 and nitrogen.
Gas is often measured by volume, in cubic feet (ft) or cubic metres (m).
You may also see Ccf. This means 100 ft
The first C is the Roman numeral for 100, and cf is cubic feet.
Similarly, an Mcf is 1000 ft.
Liquid fuels like oil and gasoline may also be measured by volume, using gallons or litres. Crude oil is sold in barrels.
A barrel of oil is 42 US gallons or approximately 159 litres.
Coal is generally sold by mass. In the US customary measure system, a ton is equal to 2000 lb. However, a metric
tonne is 1000 kg. A US ton is a little over 0.9 of a metric tonne.
Sometimes these fuels may be measured not by their mass or volume, but by their energy content. Gas for example
may be sold in therms. A therm is 10 to the 5th power or 100,000 British Thermal Units, or BTUs.
So when you buy a therm of natural gas, you are getting an amount of gas that has an energy content of 100,000
BTUs. What volume of gas would that be? Well, one cubic foot of gas contains about 1,000 BTUs. So a therm of
natural gas would have a volume of about 100 cubic feet.
Looking at using standard international units, a volume of 1 cubic metre of natural gas contains 37,257 kJ.
Other fuels like oil and gasoline contain energy to varying degrees. The download sheet gives examples.
How do we know how much energy is contained in different fuel types? Fuel tables are published giving the values.
But we have to be careful, because there are different ways of determining the energy content. The energy content
may be expressed as Higher Heating Value, or Lower Heating Value.
Higher heating value (HHV) is found by burning a small sample of fuel in an oxygen environment and recording the
heat released. Combustion of the fuel usually results in some water vapor formed in the hydrogen and oxygen.
Higher heating values include the energy contained in that water vapor.
Lower heating value subtracts the heat associated with the water changing state, since in practice, you generally

cant access that energy when you burn the fuel.
In some countries, such as the US, higher heating values are normally used, while in other regions such as Europe
its more common to use the lower heating value.
Electricity is measured by energy content. In both the US and SI systems, electrical power is typically measured in
watts, or more commonly kilowatts. A watt is equivalent to 1 joule / second.
.
Remember that Power = work done (or energy) / time required
1 kilowatt is 1000 joules or work performed in a period of 1 second; or more simply, 1000 joules per second
kilowatt-hours (kWh) are a measure of electrical energy consumption.
Lets say you have an electrical motor rated to draw 50 kW, and it runs for half an hour. How much energy does it
consume?
Power = Energy/Time. Therefore, Energy = Power x Time
Therefore the energy consumed = 50 kW x 0.5 hours = 25 kWh.
If the same motor runs for 2 hours then the energy consumed is 50kW x 2.0 hours = 100 kWh.
1 kWh = 3412 BTU.
Lastly, steam is generally measured by its heat content in therms, or kilojoules.
Slide 14: Efficiency
We have seen a variety of units used to measure fuels and energy.
Unfortunately, when energy gets used, its not quite so simple. Remember when we discussed gas, we were
speaking of primary energy sources. When you use that gas to heat your building or perform work, some of the
energy is typically lost as it is converted from the primary source to the end use energy. Thats also true of electricity
the amount of energy that an electrical motor consumes will not all be output as motion. Some is lost as heat. This
is why its important to be aware of the efficiency of your machines and processes. A useful equation is:
efficiency = output energy/input energy
If you are converting gas into energy, for example in an engine, and the input energy is 100 BTUs per minute, while
the output of the engine is 80 BTUs per minute, then your engine is 80% efficient.
Typically, mechanical devices are rated in terms of maximum power output. Electrical devices are usually rated by
the maximum power input.
Lets move on to discuss some commonly-used electrical terms.
Slide 15: Energy Units
Some of electricitys basic concepts include current, voltage, resistance and power. Lets explore these terms now. In
order to illustrate these concepts, we will use a garden hose as an illustration.

Water will flow through the hose at a slow rate, or a fast rate, depending on how far the faucet is opened. Current
flows through a wire or conductor like water through a garden hose. Always flowing from negative to positive, current
is measured in amperes or amps (A). Voltage is the difference in electrical potential between two points in a circuit. It
is the pressure behind a currents flow through a circuit, and is measured in volts (V).
Current is controlled by the faucet position. The faucet is either more open or less open at any given time. The
current can also be controlled by an increase or loss of water pressure (voltage). The amount of water that moves
through a hose in gallons, or litres, per second can be compared to the quantity of electrons that flow per second
through a conductor as measured in amperes.
Slide 16: Energy Units
Resistance determines how much current will flow through a component. Resistors are used to control voltage and
current levels. A very high resistance allows a small amount of current to flow. A very low resistance allows a large
amount of current to flow. Resistance is measured in ohms.
Our garden hose analogy can also help to explain resistance. Consider a garden hose which is partially restricted by
a large rock. The weight of the rock will slow the flow of water in the garden hose. We can say that the restricted
garden hose has more resistance to water flow than does an unrestricted garden hose. If we want to get more water
out of the hose, we would need to turn up the water pressure at the faucet. The same is true of electricity. Materials
with low resistance let electricity flow easily. Materials with higher resistance require more voltage to make the
electricity flow.
Slide 17: Ohms Law
Omega is used as the symbol for Ohm. Ohm's Law defines the relationships between voltage, current, and
resistance. One ohm is the resistance value through which one volt will maintain a current of one ampere.
More simply, Ohms Law means:
A steady increase in voltage, in a circuit with constant resistance, produces a constant linear rise in current
A steady increase in resistance, in a circuit with constant voltage, produces a progressively weaker current
Here are the three ways to mathematically express this relationship. I is the current in amperes travelling through the
resistance. The V is the potential difference across the resistance in volts, and R is the conductors resistance in
Ohms.
Slide 18: The Power Equation
The power equation for electricity is P (watts) = V (volts) x I (amps)
Therefore P also = I R, and P = V/ R
Slide 19: Power Distribution
Alternating current electrical power is distributed in phases. Two common methods to transmit power are singlephase and three-phase. Single-phase power refers to a system in which all voltages operate at the same frequency.
Single phase power produces a sine wave like the one illustrated here.
In a three-phase system, three circuit conductors carry three currents of the same frequency. The difference is that
the three currents experience their peaks at different times. An advantage three-phase power has is it gives constant
power transfer over each current cycle. It also enables a rotating magnetic field to occur in an electric motor. This is
the sine wave associated with three-phase power.
Slide 20: Utility Charges
Understanding the difference between electrical power versus electrical consumption is important as you learn more
about different types of equipment in your building or facility, and how they can be optimized to reduce your electrical
bill.
Utilities will charge not only for consumption, but also for peak power, known as peak demand.
Consumption is the total amount of energy used during a period such as a week or month, measured in kWh.
Peak demand is the peak energy consumption during any single demand interval during that period. For example, if
the demand interval is 15 minutes, and the consumption in that period was 2000 kWh
Power = energy/time = 2000 kWh/0.25 h = 8000 kW of demand in that interval
These are two separate charges on the bill, and demand charges can be hefty, with an impact that lasts for many
billing cycles. You can learn more about how consumption and demand are factored into the bill in our courses on
Energy Rate Structures.

Slide 21: Real and Reactive Power
In addition to charging for peak demand, some utilities charge for kvars. What are kvars? They are a measurement of
the reactive power used. The letters VA stand for volt-amps and the R stands for reactive. Remember the power
equation P (watts) = V (volts) x I (amps). When we apply this equation to reactive power, we dont use watts, we use
volt-amps as the unit instead.
Some types of equipment need reactive power as well as the usual, real power. Real power is used by the
equipment to do work. Reactive power may be required to provide a magnetic field.
Slide 22: Power Factor
A site that uses a lot of kvars is sometimes described as having a low power factor.
Utility companies typically only track a sites power factor if they are using somewhere over 500kW of real power,
though this may change from city to city dependent upon how maxed out that areas power grid is.
Power factor is a number between 0 and 1 that indicates how efficiently power is being used. A good power factor is
0.9 to 1. 1 is a perfect power factor and while ideal, it rarely occurs. Utility companies can penalize if power factor is
lower than their ideal standard (typically lower than 85% or 90%). Any power factor less than 1 can incur a penalty.
Kvars are used to reflect a power factor penalty in a utility bill.
Slide 23: The Power Triangle
This is the power triangle. It shows the relationship of the three components.
KVA is sometimes called apparent power. The formula for this is the square root of kilowatts squared plus kvar
squared
kW is sometimes called real power. The formula for real power is kVA times the cosine of the angle
And KVAR is called reactive power. The formula for kvar is kVA times the sin of the angle.
The representation you see here is called a phasor or vector diagram. Its used to represent the phase this way to
aide in understanding. The phasor length is proportional to the magnitude and the angle represents the phase
relative to the current passing through the resistor.
To understand power factor, visualize a person pulling a railroad car down a railroad track. Because the railroad ties
are uneven, the person must pull the car from the side of the track. This causes the person to pull the car at an angle

to the direction of the cars travel. The power required to move the car down the track is the working (real) power.
The effort of the person pulling is the total (apparent) power.
Because of the angle of pull, not all of the persons effort is used to move the car down the track. The car will not
move sideways; therefore, the sideways pull of is wasted effort or nonworking (reactive) power.
The angle of the persons pull is related to power factor, which is defined as the ratio of real (working) power to
apparent (total) power.
If the person is closer to the center of the track, the angle of side pull decreases and the real power approaches the
value of the apparent power.
Therefore, the ratio of real power to apparent power (the power factor) approaches 1. As the power factor
approaches 1, the reactive (nonworking) power approaches 0.
Slide 24: What Causes Low Power Factor?
Lets try to see whats going on electrically to cause low power factor.
In an electrical system, volts and amps both ideally have a sinusoidal waveform. If the current and voltage
waveforms are aligned, and reach their maximum amplitude at the same time, the current is said to be in phase
with the voltage and no kvars are present.
However if the voltage reaches its maximum amplitude before the current, kvars are said to be lagging. On the
other hand, if the current reaches its maximum amplitude before the voltage, kvars are said to be leading.
Slide 25: What Causes Low Power Factor?
These leading and lagging cases are based on a phase angle shift between the current and voltage due to an
inductive load such as motors or transformers, or a capacitive load such as capacitors or a synchronous motor.
Sites can install equipment locally to provide all the kvars that are required. However if they dont do this, the utility
will charge penalties for providing the kvars to the site.
There are two types of power factor. They are:
Displacement power factor
Total (True) power factor
Displacement Power Factor is equal to the displacement angle between the current flowing in the load and the supply
voltage. It is equal to the cosine of Phi. Capacitors can correct displacement power factor effects.
Total power factor is a measure of kW divided by kVA and includes the effects of distortions known as harmonics. Its
important to note that capacitors can only correct displacement not total power factor. You can learn more about
this in our course on Power Factor & Harmonics.
Slide 27: Calculating Power Usage
Here are some useful equations that will help you calculate the power usage for single and 3 phase power.

The formula associated with single phase power is P = V x I x PF. For 3-phase power, the formula is P = 3 x V x I x
PF.
To download a diagram of the power triangle with the formulas we just discussed, please click the paperclip icon in
the lower right corner of your browser.
Slide 28: Load Factor
Now we are going to learn about load factor.
Load factor is the ratio of the actual consumption of a building or factory to its consumption if peak demand had been

constant through the period.
Load factor = Actual consumption for period / Consumption at peak demand for period
If you imagine the energy use of the building over a period of a month, the load factor would be the blue area, divided
by the green area. A high load factor means that the building has a smooth usage profile, without unusual spikes in
demand. If all the equipment in the building was turned on and never turned off, the load factor would be 1, or 100%.
A low load factor means that occasionally the power usage is very high but at other times it is very low. This building
had a big spike. This makes the green area big, and will result in a low load factor.
For the utility provider, this results in inefficient use of plant and capital, since they have to maintain generation
capacity to deal with the occasional peaks, even though most of the year that capacity may not be required.
Load factor can be calculated using this formula.
Well consider a month, although the formula can easily be changed to apply to a year.
Lets try an example. What would be the load factor of a building that consumed 780,000kWh during September,
with peak demand of 1,900 kW? Try doing the calculation, and then click play to see the answer.
Slide 29: Load Factor
Your calculation should result in a load factor of 57%.
Slide 30: Electric Motor Efficiency
Lets move on to look at motors.
Typically, mechanical devices are rated in terms of maximum power output. Electrical devices are usually rated by
the maximum power input.
In the standard international system, the power output of motors is rated in kW, but in the US customary
measurement its more often horsepower. This unit of measurement was originally used to express the output power
of steam engines with the power of draft horses. Note that there are several definitions of the unit of horsepower,
including the electrical horsepower, mechanical horsepower, metric horsepower, and boiler horsepower. In Energy
University, when we discuss the output power of an electric motor in SI units, we use kilowatts, and when we are
using US customary units or inch-pound units, we use the electrical horsepower, where one horsepower is equal to
746 watts.
If you have the voltage, current rating, and power factor of the motor from the nameplate, you can find the input
power with the formula P in kW = (V * I * PF * 3)/1000. This applies to three-phase motors.
Slide 31: Electric Motor Efficiency
If you know the output rating in kilowatts or horsepower, the efficiency, and load factor of the motor, you can find the
input power with the following formula. Efficiency deals with how effectively the device converts input power to output
power.

Efficiency = output power/input power
Therefore input power = output power/efficiency
If you have the output power in horsepower you will need to convert that into kW.
Hence: input power = HP * 0.746/efficiency
However this only applies if the motor is operating at full power. The load factor deals with whether the device is fully
loaded, and operating at its maximum capability, or if it is only partly loaded.
Load factor = actual loading of the motor/full load of the motor
Hence: Inout power = (output power * load factor) / efficiency
Input power = (HP * 0.746 * LF) / efficiency
Be sure to download these formulas by clicking the paperclip icon in the lower right corner of your browser.
Slide 32: Degree Days
Another concept that you will find when dealing with energy measurement and benchmarking, and HVAC systems, is
that of degree days.
Degree day measurement is an absolute value difference of the daily mean temperature from a base temperature
value. A higher value of degree days means that the weather was more severe (either hot or cold), and, more
importantly, that more cooling or heating was probably needed to keep a space comfortable for its occupants.
The base temperature used varies depending on the country and the agency performing the measurement. In the
US 65F (18.3C ) is a common base for both heating and cooling degree day computations. In the UK 15.5 C (60
F) is often used.
A days degree day value is the difference between the days mean temperature and the base value. The mean
temperature is defined as the average of the maximum temperature and the minimum temperature. Days where the
mean daily temperature is below the base temperature are said to have heating degree days (HDD). That means it
was colder than the base, and heating was needed.
Days where the mean daily temperature is above the base temperature are said to have cooling degree days (CDD).
No single day can have non-zero values for both HDD and CDD (it has to be hotter or colder : it cant be both on the
same day). HDD and CDD values are always expressed as positive values (or zero).
In addition to using them as individual daily values, degree day values of each type may be summed over a period of
days, such as a week or month, to represent the cumulative weather during that period.
If we consider a single day, and the temperature difference was 5 degrees above base, that is 5 cooling degree days.

If we consider a week, and on each day, there was a temperature difference of 3 degrees above base, that would be
7 x 3 = 21 cooling degree days.
Slide 33: Managing Units During Calculations
As you work in energy efficiency, you will need to be able to combine formulas and convert between units. One
method to avoid making errors while doing this is to set out all the terms in the equation, and ensure that when like
terms are cancelled, the results on both sides of the equation are what you expected.
Here's a simple example
1 kWh of electricity = 3412 BTUs
1 therm of gas = 100,000 BTUs
How many kWh in 1 therm of gas?
BTUs cancel with BTUs, giving a result of 29.3, with kWh on the top, and therms on the bottom. 29.3 kWh per therm
of gas. If we had made a mistake with the conversions, the BTUs would not have cancelled out, or we would have
ended up with therms on the top and kWh on the bottom, which was not what we were looking for. We would have
been able to detect the problem and correct it before moving on.
Slide 34: Managing Units During Calculations

Here's a more advanced example:
Consider a motor with the following details on the nameplate:

The output on the motor shaft reads 200 HP. It is a three-phase motor running at 460 volts and 228 amps. The
nameplate efficiency is 93% at a full load, which would be 100%.
We need to determine the power factor, given these conversions and formulas:
1 HP equals 0.746 kW
Input power equals the product of horsepower times 0.746 times the load factor divided by the efficiency
In a single phase system, power in Watts equals Volts (V) times amps (I).
In a three phase system, the power in Watts equals 3 x volts times amps times the power factor
With the conversion and formulas shown, we know HP, LF, efficiency, V and I from the information given, so we have
everything we need to find the power factor. Here's our basic formula for motors. Here's the formula that replaces
input power. Rearranging the terms allow us to calculate the power factor. Since we are given the motor parameters
in volts, but the motor power equation is in kW, we need to ensure the volts are converted into kilovolts during the
calculation
Here's how the equation looks with the details added from the problem. HP is 200 HP. Efficiency is 0.93. The motor
is at full load, so load factor is 1. We have 460 volts and 228 amps.
Laying out the formula like this we can see that horsepower cancels with HP when we convert to kW, volts cancels
with volts, and kilowatts cancels with kilovolts times amps. Cancelling all like terms and multiplying brings us to a
power factor of 0.88.
Slide 35: Running Cost Example
Heres another example. Consider a 100 HP air compressor that runs continuously 24 hours per day. This machine is
90% efficient and is loaded at 70%. Assume that the facility is paying $80 per kW per year and $0.05 per kWh.
The output on the motors shaft is 100 HP. Again, this motor is 460 volts and 228 amps. Lets determine the annual
cost of operating the compressor. We already know that 1 HP is equal to 0.746 kW and that efficiency equals the
output power in kW divided by the input power in kW. Therefore, it can be said that the input power is equal to the
output power divided by the efficiency. For a motor loaded less than 100% this equation would need to be multiplied
by the load factor. This would provide us with the power drawn. So to calculate the running costs, we would multiply
the power drawn by the demand charges and add that to the power drawn times hours used times the consumption
charges. The running cost equation can therefore be expressed as you see here. Cancelling like terms leaves us with
our answer: $30,055.51 per year.
Slide 36: Summary
Now, lets summarize some of the information we have covered throughout this course.
Voltage, current and resistance are related by Ohms Law V = RI
Single-phase power refers to a system in which all voltages operate at the same frequency
Three-phase power offsets the peak voltage and current waveforms across three circuit conductors providing
constant power transfer over each current cycle
Reactive power is required by some equipment to provide a magnetic field
Power factor is a number between 0 and 1 that indicates how efficiently power is being used

The two types of power factor are: Displacement power factor Total (True) power factor
Displacement Power Factor is equal to the displacement angle between the current flowing in the load and the supply
voltage
Total power factor is a measure of real power kW divided by apparent power kVA and includes the effects of
harmonics
The power triangle shows the relationship between apparent power, real power, and reactive power
Slide 37: Summary
Load factor is the ratio of the actual consumption of a building or factory to its consumption if peak demand had been
constant through the period
Single phase P kW = V x I x PF
Three-phase power P kW = 3 x V x I x PF
A degree day is a quantitative index that reflects demand for energy to heat or cool homes and businesses
Slide 38: Thank you!
Energy Audits
Slide 1: Energy Audits
Welcome to Energy Audits.
Slide 2: Welcome
Slide 3: Objectives
Define the information obtained by performing an energy audit
Characterize the different types of audits
Prepare data for an audit
List the activities and steps in an energy audit
There are opportunities to bring energy efficiency everywhere. On the supply side, more efficient generation and
distribution, as well as cleaner energy sources. On the demand side, in every segment there are technologies that
can be applied today to increase efficiency and reduce cost. And in the middle there are programs to more effectively
coordinate supply and demand. Today we will see how energy audits help determine priorities with good return on
investment in the second and third of those areas.
Slide 5: Introduction: The Energy Efficiency Cycle
Energy efficiency needs a structured and persistent approach. Through an energy audit you will find many
opportunities to bring energy efficiency to your organization. But its important to recognize that you wont fully
optimize your results unless you also automate and regulate the consumption. Monitoring is the key to maintaining
the savings.
Energy Audits
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An Energy Management Program should follow this cycle and an Energy Audit is a great way to start.
Energy audits are comprehensive evaluations of the actual performance of a facilitys:
Energy using systems and equipmentcompared against the designed performance level or the industry
best practice, and
Energy-managing systems
The purpose of this course is to review the different types of energy audits; as well as the overall auditing process in
order to successfully prepare and participate in the energy audit process. Lets begin with a discussion of what
energy audits tell us.
Slide 7: Energy Audits Tell Us
An Energy Audit should tell you three things: It will tell you about your current energy consumption. It will tell you
about your potential to save energy. And it will help you to prioritize your actions. Let's look at each in turn. The
energy audit should give you clear visibility on energy consumption and cost. This means it should provide you with
a simple, comprehensive overview of all the types of energy that you are using, and their cost. It should also break
out the energy consumption by users so that you know where and when the energy is being used. Secondly, it
should identify your energy conservation opportunities. It does this by telling you how energy is used and wasted,
and describing the energy saving alternatives that could be adopted. Thirdly, the audit will also provide an energy
management plan including recommendations with cost-benefit analysis as well as prioritization of best practices,
quick wins and easily implemented solutions.
Slide 8: Common Audit Opportunities
Throughout your facility there could be many opportunities for energy savings. Typical audits uncover deficiencies in
Energy Consuming Systems, such as:
Pumping
Ventilation
Lighting
Compressed Air
Steam
Refrigeration
HVAC
Vacuum
Process Machinery
In many industrial facilities, the largest energy wasters are failed steam traps and compressed air leaks.
In commercial buildings, HVAC systems and lighting can be the largest energy wasters.
Other areas that have an influence on energy use will also be evaluated, including:
Controls
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Operations and maintenance as well as

Employee Awareness

Energy audits tell us that:
Low consumption devices and efficient installation can lead to energy efficiency gains of 10 to 15% of total
consumption. This is what we call passive energy efficiency. Low consumption devices and efficient installation could
be things like well insulated buildings, high efficiency motors, and more efficient lamps. Secondly, optimized usage of
installation and devices will net a 5 to 15% increase in energy efficiency. For example: up to 40% of the potential
savings for a motor system is realized by the drive and automation, and up to 30% of the potential savings in a
building lighting system can be realized via the lighting control. Thirdly, a permanent monitoring and maintenance
program will garner efficiency of an additional 2 to 8%. This would require you to implement continuous
measurement and to react in case of deviations. Automation and permanent monitoring are examples of active
energy efficiency.
Energy Audits also tell us that savings can be quickly lost due to various factors.
Unplanned, unmanaged shutdowns of equipment and processes can be costly in terms of energy.
Additionally, a lack of automation and regulation of areas such as motors and heating can lose up to 12% per year
Lastly, without a monitoring and maintenance program to preserve continuity of behaviors, up to 8% per year is lost
Lets move on and discuss the different types of Energy Audits.

Energy Audits
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Slide 11: Types of Energy Audits
The first type of audit we will examine is a walkthrough. A walkthrough is a light audit that consists of a relatively brief
inspection of the facility to identify maintenance, operational or deficient equipment issues and to identify areas which
need further evaluation. Some quick-wins can be identified and some estimated financial calculations can be done at
this step.
Another, more detailed type of audit is the comprehensive audit. This would be a thorough audit, evaluating the
energy consuming systems of the building or plant in detail. It may include performing specific monitoring, metering
or testing to identify actual energy consumption and losses. It will also include an economic evaluation of the
identified opportunities, including cost and benefit.
Comprehensive audits may be enhanced by including more detailed refinements. Examples would include:
Computer modeling to determine the year round energy consumption and/or savings
Additional financial analysis to support investment decisions
This would also include evaluating risks within the economic calculations. This type of audit may be needed to obtain
funding for the projects identified--and is sometimes known as "investment grade audit".
Information such as code compliance, maintenance schedule development, and equipment inventories
Slide 12: Determining Which Audit to Select
So which type of energy audit is best for you? That answer is dependent on many different factors, including:
Funding available for the audit
Cost and potential of the Energy Conservation Opportunity (ECO)
Required accuracy for the audit information
Type of facility
Function of facility
Processes within the facility
Energy audits can be self-assessments conducted by company staff, external audits obtained through energy service
professionals, or a combination of both.
Regardless of the type of audit, it is recommended that the audit team represent varied expertise, including: process
engineers, maintenance experts, systems managers, energy specialists, etcetera.
Support from outside your company can be extremely helpful and provide an external point of view for the site as well
as professional expertise in many areas.
Slide 13: Audit Activities
An auditor basically performs four activities. These activities include:
Understanding the site and gathering the data
Measuring/Monitoring/Testing
Assessing the situation, and
Proposing an action plan
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Lets explore each of these audit activities in more depth.
Slide 14: Understand the Site and Gather the Data
Successful auditors take steps to ensure that they understand the site and are able to gather the appropriate data.
Employing well-written questionnaires and conducting site visits guarantees the auditor has a clear understanding of
the operating conditions.
Examples of items to review would be the process, including the identification of the main steps and energy
requirements, the facilities and utilities such as compressors, HVAC, Electrical Network, Building Envelope, and so
on. Additionally, the review will include the Building Management Systemssuch as HVAC control and lighting
control as well as the energy awareness and behavior of the people at the site.
Slide 15: Measuring/Monitoring/Testing
The second activity involves measuring, monitoring, and testing. In order to successfully perform this activity, the
auditor will need to perform a variety of tests, for example, to verify that a sensor is working correctly. These tests
provide key data about the equipment or information to show if certain types of improvements are feasible.
Additionally, if pre-existing data is not available or not sufficient, the auditor may also need to measure and monitor
the energy profile and load in order to identify energy losses.
The length, frequency and the number of points to be measured or tested can vary depending on the type of audit
and the application to be investigated. It could range from snapshot measurement or a test for a walkthrough up to
detailed measurement and test including monitoring over a significant period for the comprehensive type of audit.
Larger buildings and factories contain complex systems. Optimizing the performance of systems such as variable
air volume HVAC systems requires continuous monitoring and control adjustments. Therefore, large sites and
complex systems must be evaluated and treated as a dynamic, not static user of energy. The measuring and
monitoring period must take account of this.
Slide 16: Assess the Situation
In the third activity, the auditor will assess the situation. This is done by:
Checking and analyzing all of the data collected
Looking for Energy Conservation Opportunitieswhich may also involve conducting a study of their feasibility, as
well as
Performing cost-benefit calculations
Slide 17: Propose an Action Plan
Finally, the auditor will propose an action plan. The output of the audit is the proposed action plan.
will:
Provide ways to manage and control power consumption and costs, as well as
Propose energy savings solutions
An action plan
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Slide 18: Preparing for the Energy Audit
The key to performing these activities successfully is being thoroughly prepared, so lets spend some time
addressing what is involved in preparing for the audit.
There are two areas to focus on when preparing for an energy audit :
Commonly required data
Planning the audit activities to include participation of the necessary people from the facility
Let's look at the data requirements first.
Commonly required data will encompass things like company background.
The company background would include knowing the company's perspective on energy efficiency: the organizations
energy goals, and financial rulesfor example; minimum payback periods required for actions.
The auditor will also need information on energies/fluids consumption examples of relevant "fluids" are fuel oil or
water and this information will be found in the bills from energy suppliersboth monthly and annual billsas well as
in the energy tariff details.
At least 24 months of consumption should be evaluated for each energy source.
Be sure to provide the auditor with a copy of the site layoutincluding a layout with dimensions indicating the
location of different processes and energy utility rooms.
Additional data to gather for the audit includes a site operating profile.
This is based on the load profile of the site, which analyzes the consumption daily, weekly, monthly and annually to
identify the patterns. This is coupled with the facility operating profile, which describes how the site is used.
For example, is the site normally open during only office hours, or also at other times? For an industrial site, how
many shifts are running each day, do they work at the weekend, and do some shifts use fewer production lines than
others? This information allows the auditor to analyze rate options, such as time-of-use tariffs that may help reduce
the energy cost.
It's important to provide information about specific equipment as well as the site as a whole. An equipment
inventory supported by data on the equipment characteristics helps the auditor to understand the site and plan where
to spend time during the audit. For major pieces of equipment, the operating hours and load profile (if available) will
be useful to understand the consumption at a more detailed level, and start to identify potential opportunities.
Where might all this information be found? Here are some possibilities to investigate:
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Data from energy supplierssuch as tariff structure, or machine supplierssuch as pump characteristic
curves
Data from facility specification documentssuch as site layout, chilled-water distribution schema, etcetera
Data from the operating schedule and utilization or occupancy data of the plant for correlation with the
energy consumption
Manually collected datafor examplefrom meters or extracted from other systems (Monthly electricity
consumption, production quantities, etcetera)
Facilities may capture this type of information in a spreadsheet program or database (such as Microsoft
Excel or Access)
Temporary meters may be used to record values that are not normally monitored but that are useful
specifically for the audit analysis, and finally
Historical data recorded in the Energy Management Systemthis will encompass things like the loading
profile, the power factor, the energy curve, and the temperature curve

The data will be more accurate, and hence more accurate audit results, if they are
Recent
Recorded over a long period, and involve
Real-time monitoring data
The data will be more helpful if they are in an easy-to-be analyzed format such as a spreadsheet or graphic curve.
The key to success is to have the maximum amount of data prepared and ready before the audit takes place,
especially if the audit is conducted by an external company or expert. The key facts should be reviewed by the
auditor in order to plan the audit approachfor example, who is involved, how much time will be needed, etcetera.
The full set of data should be prepared for the audit days, since these documents are essential to understand the site
and spend less time on data gathering and more time on site evaluation.
As well as preparing the data for the audit, the audit activities have to be planned, including participation of people
from the site who have valuable perspectives.
Lets move on and describe different components for an energy audit.
Slide 24: Energy Audit: Main Steps
The energy audit commonly includes four distinctive components, (and this is especially true if the audit is performed
by external company):
Kick-off meeting
On-site inspection
Data analysis, and
Results restitution
Let's explore each of these audit components in more depth.
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Slide 25: Energy Audit: Kick-Off Meeting
Typically the walkthrough or audit begins with a kick-off meeting. In this meeting its a good opportunity to have all
of the people that are involved around the table. This would normally include the facility manager, energy manager,
maintenance supervisor, and the internal or external auditors. Depending on the scope of the audit and the
structure of the organization, it might also include the production manager, financial department manager, or other
roles. During this meeting, take the time to explain the audit purposes, review the global plan for the audit and go
into more details on task plans. It is also during this meeting that you will provide the auditor with the information
that has been prepared, as well as giving them the opportunity to ask for more information about processes, energy,
and the modernization plan for the facility.
Slide 26: Energy Audit: On-Site Inspection
After the kick-off meeting, the on-site inspection will start.
This step consists of making visits to the workshop, substation, warehouse, and offices to understand the process
and how energy is consumed. The maintenance technician responsible for the area being visited should
accompany the auditor throughout that part of the audit. The auditor may also have questions for the maintenance
supervisor, equipment/area operators and other facility staff to understand the building and the process operation
performance problems. Those questions can normally be answered by short interviews, although complex
discussions may take longer. A key success factor while planning the audit is to ensure the necessary people are
aware of the audit and available on the day. The auditor will also take measurements during the visits these
measurements may be snapshot measures, or the auditor may leave a temporary meter in place for a few hours or
days to record data if required. The on-site inspection should be closed by a wrap-up meeting with the same
attendees as the kick-off meeting to announce the first results of the inspection as well as making a final agreement
on the deliverable content and a restitution date.
Slide 27: Energy Audit: Data Analysis
The next component is data analysis. This step consists of:
Performing engineering calculations
Running simulations and tools if necessary
Contacting solution suppliers to find the cost of the solution and then performing cost-benefit calculations,
and
Writing the deliverables--this will include a presentation and/or report
Slide 28: Energy Audit: Results Restitution
The results restitution is the output of an energy audit. The restitution supports are commonly a written report. The
report should be adapted to the audience. The readers can range from the company president to the head of
maintenance. Using a simple, direct writing style will ensure the report is clear, understandable and readable.
Slide 29: Audit Report
Every audit will culminate with an audit report. At a minimum, the report should include:
Executive Summary
Energy Cost Analysis
Energy Management Recommendations, and a
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Proposition of Energy Action Plan
Lets discuss each of these in more detail.

Slide 30: Audit Report: Executive Summary
The executive summary is the first thing the reader will see and it will set the tone for the rest of the report. The
summary should be short, concise and to the point. The executive summary will also list the recommended energy
conservation measures and shows the implementation cost as well as financial savings amount. This section is
intended for readers who only want to see the bottom line.
Slide 31: Audit Report: Energy Cost Analysis
Your report will also provide information on the operation of the facility that relates to its energy costs. This could
include:
Energy bill analysis--such as comments on charges and penalties
Energy consumption break-out, as well as the
Demand curve
Slide 32: Audit Report: Recommendations
The recommendations section lists the areas that were evaluated in the scope of the audit, and contains a discussion
of each of the energy management opportunities that have been determined to be cost effective, and aligned with the
financial evaluation criteria collected before the audit. Each energy management recommendation addressed in the
executive summary will be described in-depth in this section.
Each recommendation should summarize the energy demand and cost savings, the implementation cost and the
return on investment using the customer's financial criteria. Frequently, a simple payback period is used to
evaluate ROI. There should also be a brief narrative detailing the background information regarding the
recommended action and an explanation of how it should be implemented at the facility.
For each recommendation, the method used to arrive at the savings estimate should be referenced or explained
here.
Slide 33: Audit Report: Energy Action Plan
The report should suggest an Energy Action Plan. This plan will detail the recommended actions and the
implementation schedule. Quick-wins and short pay backs should be implemented first, so savings can be generated
rapidly and provide money to pay for high investment solutions. The plan will also propose a monitoring system for
following up on the performance and for driving continual improvement.
Slide 34: Energy Audit: Next Steps
The audit is the first step for starting an Energy Management Program. Follow-up actions are necessary to benefit
from the audits and drive continuous improvements for the site. These follow-up actions will require you to:
Validate the energy action plan and the implementation schedule

Define the energy saving goals
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Implement the action plan

Establish indicators for measuring the fulfillment of the goals
Set a baseline and compare the performance over time, as well as
Seek additional opportunities for continuous improvement
You will be able to find supplemental information for these topics in the Energy University course on Measurement
and Benchmarking. Additionally, Energy University also offers a course on Financing, Measurement and
Verification. These courses will provide you with the details regarding protocols for verifying savings.
Now, lets review a case study which will allow us to take a look at an example of an energy audit that provided some
real return on investment (ROI).
Slide 35: Case Study

Our case study involves a metal and plastics assembly line processing plant located in Central Europe. The
surface area of the plant is 27,000 square meters which includes 24,000 square meters for production and 3000
square meters for the offices. Annual turnover amounts to 24 million euros. The energy consumptions of the
plant are five giga-watt-hours of electricity, 904 tons of coal and 26,000 cubic meters of water. A standard,
comprehensive audit was performed.
Here we see the executive summary. A matrix of benefit versus cost has been created, and the colored areas
show the ROI thresholds. The solutions are then categorized into different application families.
As you can see from the results, several opportunities for potential energy savings were uncovered. The ROI for
these investments expressed as simple payback period ranged from less than a year to less than 10 years.
These were further categorized according to the customer's investment criteria:
Quick wins were projects with simple payback ROI of less than 1 year and an investment less than 5000. This
amounted to 5.1 % or 19,000 of total savings. Other savings were calculated from the projects having simple
payback ROI less than 3 years. This amounted to a further 20%, or 73,000. The total estimation of projects that
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met the customer's investment criteria was 25.1 % savings, equal to 92,000
To review how payback periods are calculated please participate in the Energy University course: Economics of
Energy Efficiency.
The second part of the executive summary lists the recommended energy conservation measures and shows the
implementation cost and financial savings amount. This section is intended for readers who only want to see the
bottom line. A thorough energy audit will bring you visibility of the cost of a recommendation and the forecast
savings.

The auditor will analyze the energy cost by different type of energies and by different energy consumers.
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It will help the plant having a clear visibility about the energy consumption and cost as well as identifying the weight
of energy consumption by different users.
In parallel with discovering energy savings opportunities, the audit revealed the plants strong and weak points, as
well as the consistency in its current approach of energy management. In order to perform this analysis, three main
fields were investigated:
People commitment
Measures and controls, as well as
Assessments

The audit recommendations were described in full detail on solution sheets including:
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Description of the current situation

Description of the solution
Evaluation of the investments
Evaluation of the savings, and the
Return on the Investment (ROI)
A couple of examples of different audit report formats are shown here.

Now that we've covered energy audits in detail, let review our learning with a brief summary.
Slide 41: Summary
Today, we looked at the information obtained by performing an energy audit: which includes details of current energy
consumption, potential to save energy and particulars to help to prioritize actions. We saw that in many industrial
facilities, the largest energy wasters are failed steam traps and compressed air leaks, while in commercial buildings,
HVAC systems and lighting can be the problem areas. We looked at the difference between a walkthrough and a
comprehensive audit.
We saw the four main activities performed by an auditor:
Understanding site and gathering data
Measuring and testing
Assessing the situation
Proposing an action plan
Since larger buildings and factories contain complex systems, they must be evaluated and treated as a dynamic, not
static users of energy. The measuring and monitoring period must take account of this. Typically at least 24 months
of consumption should be evaluated for each energy source.
We also reviewed the two main ways a customer can help make an audit successful:
By preparing relevant information
By ensuring access to the right people
Finally, we saw the four steps of an audit:
Kick-off
On-site inspection
Data analysis
Results restitution
Energy Audits
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Energy Audits Instrumentation I: Electrical, lighting, temperature and humidity

measurement
Slide 1
Welcome to Energy Audits Instrumentation I: Electrical, lighting, temperature and humidity measurement.
Slide 2
Slide 3
Identify the appropriate instruments for measuring the various systems included in an energy audit
Describe specific requirements for using energy audit instruments, and you will be able to
Employ the proper technique to obtain correct measurements, for example: the proper positioning of probes
Slide 4
Energy audits are comprehensive evaluations of the actual performance of a plants energy using systems
and equipment compared against the designed performance level or the industry best practice. The
difference between observed performance and best practice is the potential for energy and cost savings.
The purpose of this course is to review the electrical, lighting, temperature and humidity measurement
instruments typically used in energy audits in order to select and employ an appropriate instrument for your
auditing needs.
Slide 5
An energy audit will comprise taking measurements with a variety of instruments. These include measuring
devices for electrical, lighting, temperature and humidity. Click on each icon to learn more.
Slide 6
Click on each icon to learn more.
Slide 7
One of the main things to measure in the audit is electricity. Electrical parameter measurements may be
captured with:
Ammeter (A)
Voltmeter (V)
Power Factor Meter (PF)
Power Meter (Watts, Vars, VA, PF)
Lets review the specific requirements for using and obtaining correct measurements for each of these
instruments.
Slide 8
A portable hand-held clamp-on ammeter is a common measuring instrument used to measure the electric
current in a circuit. This tool is generally used for maintenance of industrial and commercial electrical
equipment, and is temporarily clipped over a wire to measure current. To measure current, the ammeter
needs to be placed in series with the element (resistor, bulb, battery) that we are measuring.
Slide 9
A voltmeter is an instrument used for measuring the electrical potential difference between two points in an
electric circuit.
When working with a voltmeter:
Attach the alligator clips to the probes before you turn on the meter
These are useful for hands-free operation and keep fingers out of dangerous areas.
A battery is good if the reading is within 20 percent of the rating on the battery or appliance
In other words, a reading of 7.2 or higher means a 9-volt battery is acceptable.
Don't use a meter with a cracked housing or probes with bare wires showing
Never use the ohm setting on a multi-meter on live voltage. You will damage the meter
Use a voltage probe or test light if you just want to check if a circuit is active
Slide 10
During your audit you will need to determine the power factor of the power system. To determine the power
factor, you will use an instrument called a power factor meter to tell you what the power factor istypically
a number between 0 and 1, and the apparent powerwhich can be figured by taking a voltmeter reading in
volts and multiplying by an ammeter reading in amps.
Slide 11
Harmonics, voltage fluctuations, transient over-voltage conditions and other power anomalies can wreak
havoc on equipment and processes. It is essential to fully understand the quality of the power that is being
delivered throughout the facility. Today's advanced electronic metering products can provide you with
accurate, real-time system values, capture waveforms and system eventsincluding transients, flicker,
other voltage disturbances and harmonic distortion. A Power Meter (Watts, Vars, VA, PF) will allow you to:
Identify harmonic distortion patterns and sources of voltage harmonics
Identify dominant load types in circuits
Identify linear and nonlinear loads
Locate sources of harmonic current
Track down overloaded or unbalanced circuits
Reduce system overloads
Measure output frequency of adjustable speed drive controllers
Slide 12
Please Note: Using electrical parameter measuring instruments can be dangerous and should only be used
by a trained and certified professional.
Slide 13
Areas can have too little light and they can have too much light. For example, the amount of light
appropriate for an office situation is not going to be acceptable in a surgical situation. Conversely, if the
office situation, were to adopt the same usage standard as the surgical situation they would be "over
lamped". With an Illuminance Meteralso known as a Luxmeter, it is relatively easy to determine the light
level by area.
However, it is important to be careful where you take the measurements, because the reading should be
based on the light levels at each task site, as opposed to overall or general ambient light levels in the room.
Slide 14
Measurements should be taken to ascertain that lighting conditions are adequate for the space. Use of a
light meter to measure lux (foot-candles) should be conducted at the working surface in a horizontal plane
76.2 centimeters (30 inches) above the floor. Since the objective is to measure the task illuminant, daylight
should be excluded. Thus, in an occupied area with windows, readings should be taken with the full use of
interior shading (blinds or draperies) to reduce direct solar gain.
When measurements are taken, the reflections from other strong light sources should be minimized. Light
meters are generally sensitive to ambient temperatures, and should be only operated according to the
temperature range recommended by the manufacturer. Calibration is as important for light meters as it is for
temperature and humidity measuring instruments.
To learn more about lighting basics, please participate in the Energy University courses on lighting. These
courses may be found in the Energy University course catalog.
Slide 15
Temperature is an important variable in manufacturing, quality control, and maintenance processes.
Monitoring the temperature insures that processes are operating consistently under optimum conditions.
Ensuring optimal conditions results in improved product quality, increased productivity, and reduced
downtime. Temperature can be measured using a wide variety of sensor types, lets discuss some of the
commonly used ones now.
Slide 16
The first temperature measurement instrument well discuss is the mechanical thermometer. One of the
most common is the dual bimetal thermometer.
A dual bimetal thermometer provides readings in both Celsius and Fahrenheit. It is the type of thermometer
you are probably most familiar with, in that it is used in a wide variety of settings including:
Indoor/outdoor wall thermometerfor checking ambient air temperature
Food service thermometerfor checking the temperatures of refrigerators, walk-in coolers and
ovens
Surface thermometersfor verifying oven temperatures
HVAC thermostatfor checking HVAC systems
You may you may have the opportunity to use any one of these types of dual bimetal thermometers
throughout the audit process.
Slide 17
Another temperature measurement instrument is the electrical thermometer. These encompass:
Thermocouples and
Resistive temperature devices (RTD)
Thermocouples are very simple and durable temperature sensors. They are comprised of two different
materials joined at one end and separated at the other. The separated ends are considered the output, and
they generate voltage which is proportional to the heat they are measuring or monitoring.
That is, the hotter the temperature, the higher the voltage. Two common applications of thermocouples are
measuring room temperature and monitoring the presence of a pilot light.
Slide 18
Thermocouples are easy to use; however, the simplicity of the thermocouple may be deceiving. Many
factors can affect the accuracy of the system. Care needs to be taken when terminating the thermocouple at
the measuring device so that no errors are introduced at that point. The voltage at the thermocouple
terminals is proportional to the temperature of the junction so that when using a thermocouple, it is very
important that the junction of the thermocouple be in very close contact with the object that is being
measured.
Since the thermocouple is an electrically conducting wire, care must be taken so that there is no possibility
of contacting other exposed electrical conductors. Finally, over time the insulation between the two wires of
the thermocouple can breakdown and cause errors in the temperature reading, so be sure to verify the
accuracy periodically.
Slide 19
Moving on, we see the resistive temperature devicealso known as an RTD.
RTD sensors measure temperature by measuring the change in electrical resistance across the metal wire.
The resistance value is then measured and interpreted by a RTD thermometer, and displayed for a user to
view. While an RTD wire can be made of any metal, platinum is the metal of choice due to its excellent
repeatability, stability and resistance to corrosion and chemicals.
Slide 20
All objects emit infrared energy, and the hotter an object is, the more active its molecules are, and the more
infrared energy it emits. Which brings us to the third temperature measurement instrument well discuss: the
surface pyrometer.
Commonly used surface pyrometers include the:
Infrared temperature gun, and
Infrared camera
In either of these examples, their infrared thermometers sense emitted, reflected, and transmitted energy
from an object and translate this information into a temperature reading.
Slide 21
Energy passes through the infrared thermometers optical system and is converted to an electrical signal,
which is then converted and displayed as a temperature reading.
Infrared thermometers offer some distinct advantages over contact thermometers, since they can measure
temperature without physically touching the object. Infrared temperature measurement is ideal for
measuring objects that:
Are too far or too difficult to reach
Require non-contamination from one reading to the next
Are moving, rotating or vibrating
Are too time consuming for contact sensors and require quick temperature measurements
Have high temperatures up to 1,650 degrees Celsius or 3,000 degrees Fahrenheit
Can be scratched or damaged by physical contact
Have curved, distorted or varying surface conditions
Are too thin or soft for contact sensors
Are too hot to touch or approach, and/or
Are electrically active and too dangerous to touch
Slide 22
Sometimes you may need to track temperatures over a given period of time. For this type of temperature
measurement you will employ a recording thermometer. Temperature recorders can be paper or digital.
The recording thermometer tracks temperature changes at regular intervals to provide a complete and
accurate record of temperature changes for an entire week.
A good regulated temperature recorder must take accurate readings on a reliable schedule. It should also
be sturdy and usable under a variety of conditions. The data must be stored in a secure environment,
making it impervious to alterations. The recorder should also be easy to install, use and move.
Slide 23
Maintaining proper humidity is important because uncontrolled humidity levels in a building can adversely
impact occupant comfort and health. Besides the effect on comfort and health, high indoor humidity levels
can damage a buildings furnishings and mechanical systemseven its structureleaving the owner with
considerable maintenance or renovation expense. Additionally, low humidity will cause static electricity
problemswreaking havoc on sensitive computer systems.
Slide 24
Hygrometers are instruments used for measuring relative humidity. These are the ones you may employ
during the audit:
Psychrometer
Hair tension hygrometer
Electronic hygrometer
Humidity recorder
General instructions for employing the use of these items include being sure that the meter is located away
from direct sunlight or near a supply air outlet, or other heating/cooling sources. Always refer to the
manufacturer recommendations for the time needed to stabilize the reading, and maintain the frequency of
calibration.
Lets investigate each of these humidity measuring instruments in more depth.
Slide 25
A psychrometer is an instrument commonly used in laboratories to measure relative humidity. It is also
referred to as a wet- and dry-bulb thermometer.
This instrument consists of two similar thermometers that are mounted side by side. The dry bulb has its
bulb exposed to the air. The wet bulb is wrapped in an absorbent material such as muslin, which is
immersed in water and serves as a wick.
When the web bulb is taken out of the water, it cools by evaporation of the water. If the bulb is whirled
around to hasten evaporation, it is called a sling psychrometer. There are also digital psychrometers. If the
air is forced past the bulb, it is referred to as an aspirated or ventilated psychrometer. The amount of
evaporation, and consequent cooling of the thermometer, depends on the humidity of the atmospherethe
drier the atmosphere, the faster the water evaporates. In order to achieve the most accurate results, it is
important to protect the thermometers from radiant heat and ensure a sufficiently high speed of airflow over
the wet bulb.
Slide 26
In a simple mechanical type of hygrometer the sensing element is usually an organic material which
expands and contracts with the changes in the moisture in the surrounding air or gas. The material used
most is human hair.
The hair hygrometer uses hair under tension to measure humidity. When the relative humidity increases, the
hair becomes longer, and when it drops, the hair becomes shorter. This instrument uses strands of human
or horse hair attached to levers that magnify small changes in length.
Here we see a hair tension hygrometer with recording capabilities called a hydrograph. This instrument
consists of an ink pen and a rotating cylinder. It records humidity variations throughout the day.
It must be pointed out that hair hygrometers are not as accurate as their counterparts and register significant
errors at very high and very low relative humidity.
Slide 27
Modern instruments use electronic means of recording the information.
"Cooled mirror dew point hygrometers" are the most precise electronic hygrometer instruments available.
They use a chilled mirror and optoelectronic mechanism to detect condensation on the mirror surface. The
temperature of the mirror is controlled by electronic feedback to maintain a dynamic equilibrium between
evaporation and condensation on the mirror, thus closely measuring the dew point temperature.
Why select a Chilled Mirror Hygrometer?
The chilled mirror hygrometer (CMH) dew point has several distinct advantages over other water vapor
sensing technologies. A CMH provides one of the few truly direct physical measurements of humidity. It is
recognized as the most precise method of determining the water vapor content of a gas above 5% RH
(Relative Humidity). So use this device when you need maximum precision of measurement.
The CMH's optical sensor is a totally inert device. The sample gas contacts glass and non-reactive metals.
Thus, it can be easily cleaned and can last indefinitely. Use it when the gas sample contains contaminants
and particulates, which would damage other types of humidity sensors.
Unlike polymer relative humidity sensors, lithium chloride dew cells, and other chemically-based sensors, a
CM sensor does not lose its calibration. So it is an ideal device when you need long-term calibration stability.
Slide 28
A humidity recorder tracks the level of humidity in a given location for a defined period of time. There are
several types of recorders including:
Flatbed
Vertical
Circular
Paperless, and
Dataloggers
Lets investigate each of these in more depth.
Slide 29
Flatbed Recorders are designed for easy transportability.
Use them on the bench top to perform short-term monitoring
Vertical Recorders feature multiple recording channels, wall-mount capabilities, and paper spools.
They are ideal for long-term monitoring in industrial settings
Circular Recorders allow you to record data on a single sheet of chart paper.
Recorders typically record for a specific amount of time such as one hour, 24 hours, one day, or
seven days
Paperless Recorders represent the latest in data recording technology.
View, analyze, and manipulate graphs and other representations of your data as it is being
recorded
Paper records are replaced by onscreen trending and the data is stored in a memory card
Dataloggers are a paperless alternative to chart recorders with better resolution and accuracy.
They're ideal for logging data in remote locations for extended periods of time, and you will be able
to
Download the stored data to a computer for easy analysis
Slide 30
Lets wrap up with a brief summary.
Today, we discussed the appropriate instruments for measuring electrical, lighting, temperature and
humidity during an energy audit. We also reviewed the specific requirements for using these instruments in
order to obtain correct measurements. By selecting and employing the appropriate instrument for your
auditing needs you will be able to successfully participate in the energy audit processand bring a greater
amount of energy efficiency to your organization.
Slide 31
Energy Audits Instrumentation II: Pressure, air flow, water flow, combustion
testing, revolutions per minute (RPM), compressed air leak detection, and
general audit tools
Slide 1
Welcome to Energy Audits Instrumentation II: Pressure, air flow, water flow, combustion testing, revolutions
per minute (RPM), compressed air leak detection, as well as the general audit tools used to take
measurements. This course is a continuation of Energy Audits Instrumentation I. If you have not already
done so, please participate in Energy Audits Instrumentation I, prior to proceeding with this course.
Slide 2
Slide 3
Identify the appropriate instruments for measuring the various systems included in an energy audit
Describe specific requirements for using instruments, and you will be able to
Employ the proper technique to obtain correct measurements
Slide 4
Energy audits are comprehensive evaluations of the actual performance of a plants energy using systems
and equipment compared against the designed performance level or the industry best practice. The
difference between observed performance and best practice is the potential for energy and cost savings.
The purpose of this course is to review the instruments typically used in energy audits in order to select and
employ an appropriate instrument for your auditing needs.
Slide 5 & 6
An energy audit will comprise taking measurements with a variety of instruments. These include measuring
devices for pressure, air flow, water flow, combustion testing, revolutions per minute (RPM), and
compressed air leak detection. Well also take a moment and review the general audit tools used in an audit.
Click on each icon to learn more.
Slide 7
Many techniques have been developed for the measurement of pressure. Lets discuss the instruments
used to measure pressure.
The manometer, draft gauge and Bourdon* gauge are the instruments you will typically use to measure
pressure. Lets discuss each one of these instruments in more detail.
*(In 1849 the Bourdon tube pressure gauge was patented in France by Eugene Bourdon.)
Slide 8
A manometer is a device to measure pressure. A common, simple manometer consists of a U shaped tube
of glass filled with some liquid. Typically the liquid is mercury because of its high density and low vapor
pressure. Most manometers are designed to only work at a particular angle and orientation.
There are also digital manometers. These digital manometers provide readings that are far more accurate
than analog gauges, and are easier to use.
Slide 9
All process and space heating systems are engineered and designed by the manufacturers to operate with
very specific ranges of excess combustion air, carbon monoxide, draft, and stack temperature readings.
A draft reading only measures the difference in the pressure between the inside and outside of the vent. To
check a draft, a inclined manometer or (digital/mechanical) draft gauge is necessary.
Slide 10
While it is of utmost importance to follow the equipment manufacturers recommended draft readings, this
chart denotes the generally acceptable draft measurements in water column millimeters.
Slide 11
And this chart denotes the generally acceptable draft measurements in water column inches. To download
a copy of these charts, click the paperclip icon. (Located in the lower right hand corner of your toolbar.)
Slide 12
The third type of pressure measuring instrument well be discussing is called a Bourdon gauge. The
Bourdon gauge uses a coiled tube, whichas it expands due to pressure increasescause a rotation of an
arm connected to the tube.
The pressure sensing element is a closed coiled tube connected to the chamber or pipe in which pressure is
to be sensed. As the gauge pressure increases, the tube will tend to uncoil, while a reduced gauge pressure
will cause the tube to coil more tightly. This motion is transferred through a linkage to a gear train
connected to an indicating needle.
Slide 13
The needle is presented in front of a card face inscribed with the pressure indications associated with
particular needle deflections. In a barometer, the Bourdon tube is sealed at both ends and the absolute
pressure of the ambient atmosphere is sensed. Differential Bourdon gauges use two Bourdon tubes and a
mechanical linkage that compares the readings.
Now lets review air flow measuring instruments, or return to the main menu list to select another option.
Slide 14
Air measurements are a critical concern for a wide range of applications. Facility managers have long
recognized the value of air readings in ensuring the balance, efficiency, and effectiveness of a facilitys
heating, cooling, and ventilation systems. Air flow, temperature, and humidity affect occupant comfort,
productivity, and physical health in hospitals, schools, commercial, and industrial facilities. Indoor Air Quality
(IAQ) and thermal comfort have become increasingly important in promoting healthy and comfortable work
environments in todays workplace.
Air flow measurements are typically captured with the help of:
Anemometers
Velometers
Pitot Tubes
Flow Hoods
Draft Gauges and/or
Chemical Smoke
Lets discuss each of these in more depth.
Slide 15
An anemometer is a device that is used for measuring wind speed. Well be discussing two types; vaneoriented and thermo-anemometers.
Slide 16
A vane-oriented anemometer uses two to six propeller blades, which rotate about a horizontal shaft. The
primary application for these instruments is the measurement of grille velocities on heating, cooling, and
ventilating installations. Before using an anemometer, it is important to determine how it should be
positioned and what component of the total velocity its measurements represent. To determine this, consult
the device user manual.
Slide 17
Thermo-anemometers, also known as hot wire anemometers, operate on the principle of heat transfer. (A
sensor is heated above room temperature by passing current through an electrical resistance and the
energy is converted to heat). Hot wire anemometers use a very fine wire (on the order of several
micrometers) heated up to some temperature above the ambient. Air flowing past the wire has a cooling
effect on the wire. A relationship can be obtained between the resistance of the wire and the flow velocity.
This is due to the fact that the electrical resistance of most metals is dependent upon the temperature of the
metal (with tungsten being a popular choice for hot-wires) which is then translated into an air flow
measurement.
Thermal anemometers accurately measure a wide range of velocities, anywhere from .05 to 51 meters per
second or 10 to 10,000 feet per minute. Their small probe diameters allow them to be placed in tight areas,
such as measuring air velocity in between circuit boards in a computer or in small ducts. Thermoanemometers have air temperature limitations. Most units have a maximum temperature of approximately
82 to 93C or 180 to 200Fwhich generally limits their use to ambient conditions.
Slide 18
While extremely delicate, hot-wire anemometers have extremely high frequency-response and fine spatial
resolution compared to other measurement methods, and are such; almost universally employed for the
detailed study of turbulent flows, or any flow in which rapid velocity fluctuations are of interest.
They are commonly used to measure velocity in paint spray booths, laminar flow hoods, air flow system
balancing and duct traverses, pharmaceutical manufacturing areas, clean-room biological safety cabinets
and fume hood testing, as well as room air currents, and draft measurements.
Slide 19
A velometer is especially adaptable to audit work because of its portability, wide scale range, and
instantaneous reading features. Its accuracy is suitable for most air velocity and static pressure readings.
Since velometers are made by several manufacturers, the instruction sheets for any instrument should be
thoroughly understood before attempting to use it. A functional velometer set consists of the basic meter
with hoses and accessories as shown here.
Slide 20
Airflow in large ductwork can be estimated by measuring air velocity using a pitot tube with a differential
pressure gauge or an anemometer. A pitot tube is a small bent tube which measures velocity pressure by
means of the differential pressure between total and static pressure.
Pitot tubes are double-walled tubes typically fabricated from stainless steel. The inner tube senses the total
pressureat the stagnation point, and the outer tube senses the static pressure. The difference between
the total pressure and the static pressure is referred to as the velocity pressure, which can be converted to
velocity in meters per second or feet per minute. Measuring velocity pressure using a pitot tube is
accomplished by connecting rubber hoses from the total and static pressure legs of the pitot tube, to the
positive and negative ports of the manometer, respectively.
Slide 21
The pitot tube is a simple, rugged probe and, if properly constructed, requires no calibration. However, it
must be properly maintained. A small buildup of dirt around the static holes can cause instrument errors in
both directions. Small leaks in the tubing connection or in the tube itself can also cause substantial errors.
The pitot tube is also subject to error due to the angle of attack and yaw, so its use is generally limited to
reading velocities inside ducts, where the direction of air flow is relatively well controlled.
Slide 22
Flow hoodsalso known as belometers or capture hoodsare used to measure the supply and return grille
airflows in HVAC systems. Depending on hood accuracy, these measurements can be used to determine if
individual rooms/spaces receive adequate airflow for heating and cooling. They are also used to identify
flow imbalances between different building spaces; to estimate total air handler flow and supply/return
imbalances; as well as to assess duct air leakage. Flow hoods measure airflow in cubic feet per minute or in
meters per second at a diffuser or grille.
Slide 23
Flow hoods are designed to measure airflow through an opening (for example: at supply air diffusers or
return air grilles, outdoor air intake) by placing the face of the flow hood over the opening and reading the
computed airflow volume.
Flow hoods contain an airspeed integrating manifold which averages the velocity across the opening and
reads out the airflow volume. These hoods are typically made of nylon fabric supported by an aluminum
frame. The instrument is lightweight and easy to hold up against an air vent. The lip of the hood must fit
snugly around the opening to assure that all the air volume is measured. The flow hood must completely
cover the opening. Both supply and exhaust airflow can be measured.
An advantage of employing a flow hood in your audit, is that it will show the airflow in an easier, quicker, and
more consistent manner than using a series of pitot tubes or anemometer readings.
Slide 24
As you will recall, we previously discussed how a draft gauge was used to measure pressure, it is also used
to measure air movement by measuring air pressure differences. Liquid draft gauges and magnetic dry draft
gauges are two types of these draft gauges. These instruments are typically used to measure the amount of
draft in a boiler.
Slide 25
Chemical smoke is useful in diagnosing mass airflow in large manufacturing settings to assess general air
movements, and can be helpful in evaluating HVAC systems, tracking air and pollutant movement, as well
as identifying pressure differentials. Chemical smoke moves from areas of higher pressure to areas of lower
pressure if there is an opening between them (e.g., door, utility penetration).
Because it is the same temperature as the surrounding air, chemical smoke is extremely sensitive to air
currents. Auditors can learn about airflow patterns by observing the direction and speed of smoke
movement.
Slide 26
For example, smoke released near outdoor air intakes will indicate whether air is being drawn into the intake.
Puffs of smoke released at the shell of the building (by doors, windows, or gaps) will indicate whether the
HVAC systems are maintaining interior spaces under positive pressure relative to the outdoors.
Rooms can be positively or negatively pressurized when compared to the spaces surrounding it. These
spaces include another room, a corridor, or the outdoors. To determine whether a room is positively or
negatively pressurized, or neutral, release puffs of smoke near the top and bottom of a slightly opened door
or window, and observe the direction of flow. For example: If the smoke flows inward at both the top and
bottom of a slightly opened door, the room is negatively pressurized when compared to the space on the
other side of the door.
This may be an issue necessary to address after the audit, because negative pressurization may cause
problems with natural draft combustion appliances, or cause outdoor pollutants such as pollens or vehicle
exhaust in loading docks to be drawn into the building through openings.
Slide 27
Chemical smoke is available with various dispensing mechanisms, including smoke "bottles, "guns,
candles, pens, "pencils, or "tubes. The dispenser allows smoke to be released in controlled quantities
and directed at specific locations. It is often more informative to use a number of small puffs of smoke as
you move along an air pathway rather than releasing a large amount in a single puff.
A note of caution: Chemical smoke devices use titanium tetrachloride to produce smoke. While the
chemicals forming the smoke normally are not hazardous in the small quantities produced during testing,
avoid inhaling smoke from smoke devices. Concentrated fumes from smoke devices are very corrosive.
Now lets review water flow measuring instruments, or click on the arrow to return to the main menu list for
additional options.
Slide 28
Accurately tracking the flow of water is a critical need in many audits. The instruments commonly used
include: differential pressure flow meters, flow measuring valves, and single dial meters. Lets discuss each
one in more depth.
Slide 29
The most common devices for measuring water flow in use today are called differential pressure flow
meters. More than fifty percent of all liquid flow measurement applications use this type of unit.
Differential pressure flow meters have two main elements. The primary element causes a change in kinetic
energy that causes the differential pressure in the conduit. The secondary element measures the differential
pressure and provides the signal or read-out that is converted to the actual flow value.
Slide 30
Differential pressure flow meters use Bernoulli's equation* to measure the flow of fluid in a pipe. Differential
pressure flow meters introduce a constriction in the pipe that creates a pressure drop. When the flow
increases, more pressure drop is created.
(*Bernoulli's equation states that the pressure drop across the constriction is proportional to the square of
the flow rate.)
Slide 31
Depending on the different measurements needed, differential pressure flow meters employ different
geometries. These include: orifice plates, flow nozzles, venturi tubes, pitot tubes and flow valves.
Slide 32
A flow measuring valve may also be used during your energy audit. If you have input into the selection, be
sure to choose flow-sensing devices that provide precise, repeatable measurements. Flow measurement
options run the gamut from simple, economical paddle wheels to sophisticated high-accuracy devices.
Slide 33
Here is an example of a flow measuring valve placed on a chilled water loop. Proper installation is critical to
ensure accurate readings, so the audit should verify proper installation. For example, if the manufacturer
states that a minimum of 5 pipe diameters of uninterrupted flow are required both upstream and
downstream of the sensing device, then make sure that the piping layout complies. Regardless of where the
bypass line is situated, the control valve must react quickly to changes in the system flow, a flow measuring
valve will verify this is happening.
Slide 34
Many older factories and buildings will have single dial meters to measure the water flow. Single dial meters
are also used for sub-metering, for example, in a managed property situation. If your audit requires you to
address a single dial meter situation, it is a fairly straightforward method to measurement.
First find the meter itself (it may be located adjacent to the propertyin a concrete boxor in the
basement/subbasement of the building). The first thing you will notice is that there are numbers in boxes,
similar to a car odometer. You will read and record these numbers from left to right. The last number, 0, is
fixed and not in a box. To find this number, read and record the number that the needle is on (as shown just
beyond the number 8 in this example). If the needle is between two numbers, record the lower number.
Some dials have a small triangle. This is your leak detector. This triangle will move at the slightest
movement of water through the meter. If you have every source of running water (faucets, toilets, water
fountains, hoses) turned off (and you have verified there is no water running) and this triangle is still moving,
you have a leak. Denote the leak on your audit report and encourage repair as soon as possible to avoid
high water usage and cost.
Slide 35
To perform the audit measurement:
Record the meter reading
Read and record the meter readings again one week laterand be sure its at the same time
Subtract the first reading from the second reading. This gives you the total amount of water (in
gallons or liters) you used during that week
Divide the number by seven and you will have your average daily consumption
Now lets review the combustion testing instruments, or click on the arrow to return to the main menu list for
additional options.
Slide 36
Combustion testing is yet another part of the audit you will need to complete. The measurement of oxygen,
carbon dioxide, carbon monoxide, nitric oxides and sulfur oxides round out the dynamics of assuring
efficient combustion. Controlling fuel, flame temperature, excess air and draft are essential to maximize
efficiency without sacrificing safety.
Slide 37
The combustion testing instruments typically include a flue gas analyzer, stack thermometer, oxygen
reading gauge, and a quarter inch/6mm draft gauge, lets discuss these in more depth.
Slide 38
A flue gas analyzer is an electronic instrument for measuring the levels of pollutants in the chimney or stack
from a burning process. Generally, the flue gas analyzer will be fitted with electrochemical sensors or
possibly infrared sensors to measure the concentration of a number of pollutant gases.
There are many general types in use, but there will be a pump for extraction of the sample from the stack
and a bank of sensors in the flue gas analyzer to measure the necessary components. Measurement of gas
and ambient temperature are also needed to calculate the combustion parameters in the flue gas analyzer.
Slide 39
Checking stack temperature is one of the simplest and least expensive methods to use to verify whether the
boiler/burner unit is operating efficiently and within its rated capacity. To employ a stack thermometer, just
place it in the small holeusually present in the stackand take the reading.
Slide 40
An oxygen reading gauge is essentially an oxygen analyzer intended for use in measuring the residual
oxygen remaining in the flue gases from any combustion process including:
Boilers
Process Heaters
Recovery Boilers
Reheat Furnaces and/or
Kilns
The probe inserts directly into a flue gas duct to measure the oxygen in the combustion processes. The
oxygen measurement will help us to know the percentage of excess air and hence, optimize the combustion
efficiency.
Slide 41
Once again, we see the versatile audit instrument; the draft gauge. The draft gauge is basically a
manometer used for checking the differential pressure between the flue gas pressure and the ambient
pressure. The probe inserts directly into a flue gas duct to measure the pressure differential.
Now lets review RPM measuring instruments, or click on the arrow to return to the main menu list for
additional options.
Slide 42
RPM (revolutions per minute) reading instruments include:
Direct/non contact mechanical counters
Manual counters, and the
Photo electric tachometer
Lets investigate each one in more depth beginning with the direct/non contact mechanical counter.
Slide 43
A direct/non contact mechanical counter may already be installed on the equipment you are auditing, or you
may decide to install one as a part of your audit process. These type of counters are typically employed to
track production in a manufacturing process.
Most have a "zeroing" out mechanism to reset the count to zero. If your audit requires you to record how
many units are being produced in say a shift, reset the counter (or record the number if the counter is not
able to be reset) at the beginning of the shift and check it again at the end of the shift to record your findings.
Slide 44
A manual counter is just as it sounds, a device that you operate manuallyusually by pressing a button to
signal input into the device. This type of counter may be used when you want to track the number of
personnel entering or exiting a specific locationto correlate temperature swings/drops in pressure for a
given location.
A photo electric tachometer is used to measure rotating equipment such as motor shafts, engines, and
gears and will alert you to over speed or under-speed conditions in these items. Be sure to follow the
device instructions to obtain precise measurements.
Now lets review compressed air leak detector instruments, or click on the arrow to return to the main menu
list for additional options.
Slide 45
Compressed air is one of the most costly utilities in a facility today. To effectively detect compressed air
leaks, you will need to employ an ultrasonic detector.
Before you perform this audit, try to determine the best route for inspection. If possible, take a print of the
compressed air piping system, or make a simple sketch. These graphics will help you identify the leaks and
make it easier to find them for repair. Use an ultrasonic detector to scan for leaks. For increased accuracy,
be sure to wear your headphones. If you have difficulty determining direction, reduce your sensitivity. Follow
the sound to the loudest point. For consistency, start at the compressor/supply side and work your way to
the use side. When you begin your inspection, create a series of inspection "zones".
This will help organize your approach and prevent the possibility of overlooking a section and missing some
leaks. Move from one "zone" to the next in a planned, organized manner. Tag all leaks.
The tag will make it easy to spot the leaks for repair. Test all leaks after they have been repaired, as
sometimes leaks can be repaired and a new one may be inadvertently created.
Now lets review general audit tools, or click on the arrow to return to the main menu list for additional
options.
Slide 46
Youll also want to have on hand the following items throughout your audit:
Hand toolssuch as screw drivers, pliers, wrenches, etcetera
Flashlight
Calculator
Watch
Tape measure
Camera, and a
Tape recorder
Now that weve reviewed the energy audit instruments, lets conclude with a brief summary, or click the
arrow to return to the main menu list for additional options.
Slide 47
Today, we discussed the appropriate energy audit instruments for measuring pressure, air flow, water flow,
combustion testing, revolutions per minute, and compressed air leak detection, as well as the general audit
tools used in an audit. We also reviewed the specific requirements for using instruments to obtain correct
measurements. By selecting and employing the appropriate instrument for your auditing needs you will be
able to successfully participate in the energy audit processand bring a greater amount of energy efficiency
to your organization.
Slide 48
Energy Efficiency Fundamentals

Slide 1
Welcome to Energy Efficiency Fundamentals
Slide 2
Slide 3
List the three simple reasons why energy is important
Frame the energy dilemma and explain why energy efficiency is the best answer
Define the four simple steps of an effective energy efficiency program
Define passive and active energy efficiency
List common and effective actions to improve energy efficiency in buildings, industry and
residences
Slide 4
Energy consumption and energy costs have been on the rise during the last 25 years. World energy
consumption has risen 45% since 1980. It is predicted that by the year 2100, global energy consumption will
reach 27.3 gigatons. Emerging markets like China and India will soon be consuming more energy than
developed nations such as the US and Western Europe. These emerging markets account for more than
75% of new demand placing new pressures on global resources and aging infrastructure. This pressure will
push up prices and create threats to the security of supply. While renewable energy supplies will increase,
fossil fuel sources will grow even faster, and dependence on oil, gas and coal will still be strong.
Carbon dioxide in the atmosphere has risen more than 33% since the industrial revolution and is now rising
faster than ever before.
Slide 5
In summary, there are three simple reasons why energy consumption cannot continue following current
trends:
1. There are not enough readily available energy sources to meet the expected growth in demand
and new sources and infrastructure will not be ready in time.
2. Fossil fuels cause pollution, which is damaging to the health of people, plants and animals. Just
one example - in China, acid rain is estimated to cost the economy $13.3 billion US per year,
according to joint research by the Chinese Institute of Environmental Science and the prestigious
Qinghua University.
3. Fossil fuels also lead to climate change that has the potential to disrupt weather patterns, bringing
droughts and floods to new areas with consequential hardship for inhabitants.
Slide 6
So the energy dilemma is both very simple and very complex to solve.
At minimum, energy consumption, including electricity and other sources, will double in the next 40 years.
Electricity will double by 2030.
At the same time, climate specialists tell us we should divide emissions by 2 to avoid serious climatic
changes.
A dilemma is a situation where the evident courses of action are all unattractive. We cant allow energy
demand to continue to rise unchecked the impact on our security, costs and planet dont allow that.
Simultaneously we cant just cut all our activity in half. Countries will not agree to that impact on their
economies and standards of living. So whats the way out?
Slide 7
To do both, the world needs to improve its carbon intensity by a factor of 4. The world needs to do more,
with less. We cant wait for new technologies to clean up generation and meet increased demand, and we
dont have to, because energy efficiency solutions are available now, and they work.
Energy efficiency is the way out of the dilemma. It allows users to still achieve their required levels of
productivity and comfort, at lower cost, and with less pressure on infrastructure and resources.
Slide 8
So if energy efficiency is the answer, where should we focus? If you look to the media, we hear a lot about
the need for hybrid cars and less air travel. Transportation is often top of the agenda.
Slide 9
But the reality is that the biggest part of our energy consumption is not when we travel. Its where we live,
work, shop and study.
Industry, including industrial buildings, is responsible for 33% of all energy use. This is followed by
transportation at 28%, residential at 21% and buildings at 18%. When you add industry, residential and
commercial buildings, such as offices, schools, hospitals, and shops, you have 72% of all energy
consumption. Thats almost three times as much as transportation. The main energy consumed in industry
and buildings is used for heating, cooling, motors, lighting, electronics and appliances, and there are many
solutions available to improve the efficiency of those applications.
Returning to transportation for a moment, one of the developing areas for reducing emissions and improving
fuel efficiency is via hybrids and electric cars. Battery charging will increase needs for electrical energy and
place more demand on already overstretched electrical distribution networks. If we have to construct new
power plants to support electric cars, much of the benefit will be lost. Energy efficiency in industry, buildings
and residences will be a key enabler for energy efficiency in transportation.
Slide 10
Mature markets, including North America and Europe, with increased demand and limited resources, will
continue legislation to reduce demand, shift to alternatives, and improve energy security. This realization,
couched with a shift in public opinion on climate change, will influence an acceleration of action in adapting
and managing energy consumption, costs and pollution both voluntarily and through legislation.
For these reasons, the drivers we have seen for the past 25 years have crossed a cost and political
threshold. This is accelerating the action we must take - we must learn to adapt and manage energy
consumption, costs, and pollutants.
When energy was cheap, conserving it was unimportant. Now the growing cost of energy means its not
just an overhead any more. For many building owners, energy costs have become second only to
healthcare costs. Its a growing part of the budget for industrials and data centers too. Today, energy is
more than expensiveits a liability. Its fluctuating cost, and your reliance on it, is putting the future of your
business at risk. The good news: you can reduce future risk, and control that cost, through energy efficiency.
* IBM Global survey Nov 2007
Slide 11
A significant proof of this commitment is the stimulus packages.
Governments are responding with an unprecedented mobilisation of funds to boost the worldwide economy.
At the end of 2009, global packages totalled 2.4 trillion US dollars. Thats about 3% of the annual world
Gross Domestic Product - GDP)
On average 20% of these packages are dedicated to green measures, such as clean energy generation
sources, infrastructures, and energy efficiency. In China, the proportion rises up to 38%, in the European
Union, 60%.
Slide 12
Facing the energy dilemma by using energy more efficiently has many advantages. First of all, energy
efficiency reduces greenhouse gases. Through a combination of different energy efficiency actions, up to
30% efficiency can be achieved immediately. Compared to any other solution, efficiency is a cheaper,
quicker and cleaner option.
Slide 13
Generation efficiency and clean fuel technology are key but end use avoidance yields greater benefits. Due
to losses in the generation and transmission of electrical energy, saving one unit on the demand side saves
3 units on the supply side in the form of the oil or coal necessary to produce that electricity. For that reason,
saving one unit of electricity at the end user is more effective than building a power plant that is twice as
efficient as todays plants.
Renewable energy sources can be volatile. Wind and sun are not available 24 hours per day, 365 days per
year. This means the energy grid of the future will have to be adaptable to variations, and energy efficiency
at the point of use has to be part of that strategy.
Slide 14
Energy efficiency does not mean ineffectiveness, reduced production or reduced comfort.
Energy conservation is the practice of decreasing the quantity of energy used. It may be achieved by
reduced consumption of energy, which implies doing less in order to obtain the saving, or through energy
efficiency, in which case energy use is decreased while achieving a similar outcome.
For example:
If you switch off a light bulb, you saved energy because you reduced your consumption. But the outcome is
not the same, because the room is now dark.
If you replace the light bulb with a more efficient one, you also saved energy. And the outcome is the same
because the room is illuminated.
If there was no need for the light to be on in the room, it is better to turn the light off, because the energy is
being wasted. But if the light is needed, it is better to use an energy-efficient bulb.
Slide 15
We are in tough economic times, so it would be easy to say that now is not the time to invest in energy
efficiency. The reverse is true. We need the cost savings that energy efficiency will bring us.
If your business has an energy bill of 60M per year, a 10% reduction would yield around 6M per year in
lower costs.
Lets imagine that instead of going for cost reduction, you try to increase sales instead. If your pre-tax
earnings margin is 15%, then you would have to increase sales by 40 million per year to get the same
impact.
And how would you do it? Most of the time you cant be certain that the actions you would take to boost
sales will deliver the expected results. You might be left with expensive advertising campaigns and new
product development, and insufficient payback.
Energy saving projects are low risk. The solutions are proven in practice so you can invest with a high
degree of confidence in obtaining the expected return. Often there are actions you can take for nothing, and
short payback projects that totally make sense at this time.
Slide 16
You cant avoid the cost of energy efficiency by doing nothing. If your site is wasting 20% of its energy,
youre paying for that, every single day. Its like a tax and theres never a rebate. If you start to invest in
energy efficiency, one day you can stop paying the tax.
Slide 17
But the longer you wait, the more you waste. When you put off energy projects, you keep on paying year
after year for energy that was inefficiently used. Energy costs themselves continue to increase, and projects
become more expensive due to rising prices. On the other hand, if you invest immediately, energy savings
can compound over time if you re-invest them in further improvements.
This analysis shows an example building with an annual utility bill of $600,000. The cost to the owner of
delaying the energy project is shown by the blue line, If the owner delays for 5 years, the costs of delay
from continuing to pay for inefficient energy use, and the increased project cost, amount to over $2 million
dollars.
Slide 18
Energy upgrades are among the best investments you can make. A study of The Investment Risk in Whole
Buildings Energy-Efficiency Upgrade Projects by the American Council for an Energy Efficient Economy
found that energy efficiency projects have significantly better payback and lower risk than many stock
market investments.
Slide 19
You can see the effect on this chart. Energy efficiency programs consistently outperform other popular
investments.
Slide 20
And since energy costs continue to increase, paybacks continue to improve. Consider a commercial
building having an energy saving project costing $1M. Electricity savings is anticipated to be 3500MWh.
Even with project cost and energy savings fixed, payback time has decreased 30% over 5 years due to
increase in energy prices.
Slide 21
Where should we seek to make the savings? To fully account for energy use in a facility you must consider
all types of energy including water, air, gas, electric and steam, commonly known as WAGES.
Slide 22
There are nine major systems that consume energy in buildings and industry. They are:
Building envelope
HVAC systems
Electrical supply systems
Lighting
Boiler and steam systems
Domestic hot water systems
Compressed air systems
Motors (including those used to drive elevators and lifts)
Special purpose process equipment
Slide 23
Most buildings, like residences, use energy for environmental conditioning - air conditioning, space heating
and ventilation. They also, unlike residences, have high consumption for lighting and plug loads, such as
computers, copiers, and other things you plug into the wall. If a building has a dining area, significant energy
may go into food preparation, refrigeration and dishwashing. An athletic facility requires considerable energy
to make hot water for showers. In certain types of facilities the typical energy users are completely
overshadowed by the energy required for process based activities. Examples would be data processing
centers and industrial plants.
Lighting, heating and cooling are by far the largest energy expense and therefore may be the first place to
find savings. However, the energy use profile will vary greatly depending on the facility.
Slide 24
In industry, over 60% of electricity is consumed by motors. 25% savings in this area would save 7% of the
worlds electricity.
In data centers, computer servers consume large amounts of power and also have tremendous needs for
cooling the equipment.
In buildings, heating, ventilation and air conditioning is a big energy consumer. Products are available to
improve the efficiency of these systems, and also building management systems that can control heating
and air conditioning to keep the building comfortable, and at the same time minimize the energy used.
Lighting is another major area of cost where efficiency can make a difference.
At home, lighting, heating and cooling are responsible for most of the energy bill.
Here, too, products are available that can have an impact on these costs.
Now, lets discuss some basic energy topics and measurements as a foundation for a good understanding
of energy principles.
Slide 25
There are two distinct approaches to energy efficiency. Both have their place in your program.
Passive energy efficiency depends on devices and materials that intrinsically use less energy to perform
their function. Examples include replacing existing equipment with lower consumption devices, fixing leaks
and adding insulation. Oftentimes energy efficient lighting upgrades are among the first projects undertaken,
largely because of their quick return on investment. Also, adding insulation in major heat loss areas is one of
the easiest and most effective areas for improvement. These actions are called passive because once
implemented, they silently save energy as they are used.
By itself, passive energy efficiency can generate savings of 10% and 15%, but there is more to do. An
energy efficient light bulb will still waste energy if it is left switched on when it is not needed. Insulation will
not save money if people open the windows and let heat out during the winter, or let cold air out during the
summer. Active energy efficiency is needed to maximize and sustain the gains from passive energy
efficiency, and bring additional savings too.
Slide 26
Active energy efficiency seeks to use energy more intelligently, to achieve the same results with less.
Through automation and regulation you can ensure that equipment only works as hard as it needs to and
not more. Many of these measures are relatively easy to implement and pay back in less than 2 years. Lots
of energy efficiency programs start by improving employee awareness and behaviour such as shutting
down production equipment and lighting when not in use to reduce energy. Thats a good way to start at
little or no cost, but it leaves you vulnerable to human errors. Automation reduces that risk, turning off
devices when not needed and regulating motors or heating at the optimized level. A permanent monitoring
and maintenance program locks in the savings. Monitoring also gives you the information you need to find
more savings.
Slide 27
We can see the effects of combining these approaches here. You could save 10 to 15% of your
consumption with passive energy efficiency measures dealing with efficient devices and installation. You
could take that further with automation and regulation to optimize the usage of those devices another 5 to
15%. Then, your monitoring program could bring another 2 8%, by noticing deviations and allowing you to
correct them quickly. Depending on your facility, you could readily save 30%.
However, you can lose these savings quickly if you dont keep your monitoring and maintenance program in
place. Automated systems can drift away from optimal performance as small adjustments are made over
time. People can slip back into energy-wasting behavior if deviations are undetected and expectations are
not reinforced. Power reliability is also an important contributor efficiency gains can be lost quickly if there
are unplanned, unmanaged shutdowns of equipment and processes. Without proper monitoring, each year
8% of savings can be lost.
Slide 28
Energy efficiency is not a one-time project; its a continuous cycle. And thats good, because it means we
can approach the problem gradually and phase our actions according to our available budget.
You need to start from a firm foundation. Beginning with an energy audit allows you to prioritize
your actions effectively. At the beginning simple data from the utility bill and some expert
observations can discover a lot. If you have more detailed measurements available, that can
increase confidence in the choices that you make. Temporary measurements may be enough to
kick-start your program.
Generally, your energy audit will identify some low-hanging fruit in the area of passive energy
efficiency. Fix the basics like mending air leaks, or insulating steam pipes. Passive energy
efficiency would also include things such as high-efficiency motors, but those actions tend to
require greater investments and cause more disruption when they are implemented. This may be
hard to justify if the equipment to be replaced is relatively new. When the equipment approaches
end-of-life, analysis of the total cost of ownership can help support replacement with high-efficiency
equipment.
When you have fixed all the basics that make sense at the time, more low hanging fruit can be
found in active energy efficiency. Optimise through automation and regulation. Lock in your
savings by not relying on people.
Monitoring and maintenance are how you will save more. As you learn about how and when
energy is consumed in the plant, you will find new ways to adjust practices to save more. This
gives you the inputs for the next turn of the cycle.
Lets examine the solutions that would be be included at each step in more detail.
Slide 29
Taking a systematic approach maximizes savings and avoids unnecessary cost. It ensures you create utility
savings without compromising facility reliability, comfort or safety.
A facility audit will provide you with a comprehensive energy analysis. Experts examine the energy usage
patterns and demands of a facility and identify the best opportunities to improve energy efficiency. Projects
are then prioritized based on the initial cost and expected payback period, and those with the greatest
potential savings and quickest payback should be among the first to be undertaken. Without this, you may
select the wrong project and make expensive mistakes.
A critical input to your energy program is energy data. You may be able to get started with analysis from
utility bills, but quickly you will find they lack the detail crucial to effective analysis and decision making.
Investment in meters now can prevent errors later.
Slide 30
Once the audit has identified the low-hanging fruit, the next step is to fix the basics. Examples of this are
employing energy efficient light bulbs and fixtures with lighting retrofits, high-efficiency motors, adding
insulation, and replacing windows. It is also important to address power quality and power reliability issues.
Low power factor may be impacting your bill, and the effective utilization of the capacity of your electrical
network. Harmonics may put you at risk of unexpected shutdowns, and shorten the life of your equipment.
Slide 31
Its good to have low consumption devices, but that doesnt mean you have to leave them on all day!
Good resolutions to shut off HVAC systems and lights when you leave a room or office tend to fade away
when distraction intervene - hence the need for automation. Some examples of automation include:
Building Management Systems
Lighting Control Systems
Motor control systems
Home control systems
These systems can ensure that equipment is only on when it needs to be on. And sometimes, you can save
on cost by changing when you use energy. These systems can schedule consumption at times of day when
cost is lower.
Slide 32
If you never maintain your car, it will consume more and more fuel. The same is true for your electrical
installation, HVAC system, boilers, process heating equipment and automation systems. Continuous
commissioning practices, such as monitoring and improvement, ensure that the results achieved are here to
stay and that your new installation is profitable and sustainable. Energy management software or remote
monitoring systems are critical you cant manage what you dont measure. Further investment in metering
will reveal more detail to help you continue the improvement cycle.
Lets move on to look at how to get the ball rolling.
Slide 33
An energy program cannot succeed without effective leadership. Success starts with a commitment from
executive management and a powerful indication of that commitment is appointing a champion of energy
efficiency. This person will be the driving force behind the project, the person who will consistently monitor
and maintain progress.
Executive management must formulate, communicate, and embrace an energy management policy. The
champion, then, is the person committed and responsible for achieving the results
Collecting, analysing, and reporting energy information
Prioritizing projects, securing approval and driving implementation
Ensuring that energy considerations are integrated into decision making for new facilities and
purchases
Obtaining ideas and feedback from building occupants or employees, and sharing celebration of
the success
Slide 34
Getting approval to undertake energy efficiency projects is not always an easy task. Find out ahead of time
what financial model is used to make investment decisions in your company, then present projects within
that framework. Be sure to include any rebates or incentives that you may be eligible for. Also be sure to
explain other advantages such as reduced maintenance costs, increased comfort, and indoor air quality.
It may be easy to get approval if there is an existing goal to reduce energy consumption. But if there isnt,
you might need to get a little more creative. For example, a company might have a mandate to reduce error
rate by x percent. If that company is considering a lighting retrofit, a potential side benefit is a reduced error
rate due to a higher quality of light. You should be sure to articulate that this proposed project will reduce
energy consumption AND help meet production error rate goals.
You should also translate proposed savings into environmental goals such as potential greenhouse gas
(GHG) reductions.
Dont forget to show that energy efficiency is considered a safer investment with higher returns than most
financial options. Documenting these side benefits increases your chances of getting approval for energy
efficiency projects and services.
Slide 35
Financial models are used to make investment decisions. Return on investment and simple payback are
typical industry measurements. Simple ROI is calculated by dividing annual savings by the initial investment
and is represented by a percentage. It is the inverse of simple payback which shows how long it will take for
an investment to begin making money. Internal rate of return (IRR) compares the net present value to the
initial cost of the project. IRR is usually calculated using financial tables and takes into account the effects of
inflation and interest rates. A hurdle rate is a companys minimum acceptable IRR for a project. Expanding
your vernacular to include financial models is essential when presenting projects that relate to energy costs.
Slide 36
Schneider Electrics mission is to be the global specialist in energy management. We do this by delivering
active energy efficiency products and comprehensive energy management solutions. As energy manager,
we offer metering, monitoring, control solutions and cost optimization services. As energy expert we offer
consultative services, technical and behavioral energy action plans and implementation services.
Slide 37
Lets summarize what we have learned today.
Energy is important because
Ever-increasing energy demand impacts price and security
Renewables will not replace fossil fuels in time to prevent environmental disaster,
including pollution and climate change. These issues have tangible costs
The energy dilemma requires us to meet a doubled demand for energy but with half of the
greenhouse gas emissions
Energy efficiency is the answer. Energy efficiency is the act of reducing consumption while
achieving the same results
We saw the four simple steps of an effective energy efficiency program, and the common and
effective actions to improve energy efficiency in buildings, industry and residences
And we learned the difference between passive and active energy efficiency
Slide 38
72% of energy consumption comes from industry, residences and tertiary buildings.
Energy efficiency is the cleanest and quickest solution to the energy dilemma. Cleanest because the
greenest unit of energy is the energy you didn't need to use. Quickest because with solutions that are
available today, you can save up to 30%.
Slide 39
Thank you for participating in this Energy University course.
Energy Efficiency with Building Automation Systems I

Slide 1
Welcome to Energy Efficiency with Building Automation Systems Part 1. This is the first course in a two part
series. Once you have completed this course please move on to take Energy Efficiency with Building
Automation Systems Part 2.
Slide 2
normal play of the course. Click the notes tab to read a transcript of the narration.
Slide 3
Define what a building automation system is
Review the main terminology and components of a Building Automation System and HVAC system
List the most common HVAC strategies that may be controlled by a Building Automation System
Slide 4
A building automation system, also referred to as a BAS can be set up to automate a building to make work
more efficient for facility managers and more effective for occupants. An Energy Management System, or
EMS, is a subset of that. It performs like a Building Automation System but it also focuses to automate the
building to run as energy efficiently as possible. The energy conservation measures implemented bring
utility bill savings without compromising the comfort or safety of building occupants. It will still optimize
Indoor Air Quality, Temperature Control, and Lighting.
The amount of global Energy used in 2004 was approximately 447 Quadrillion BTU. That equates to almost
80 million barrels of oil per day. Global energy consumption is expected to double in the next 25 years. The
World Business Council for Sustainable Development says that buildings today account for 40 percent of
energy consumption in developed countries. Their goal by the year 2050 is for new buildings to be built that
will consume zero net energy and produce zero net carbon dioxide emissions, and an overall reduction of
buildings carbon footprint.
They also report that global energy consumption for buildings is expected to grow 45% from 2002 to 2025,
and global carbon emissions is expected to increase 92%.
The WBCSD shows by modeling that energy use in buildings can be cut 60% by 2050. To make that
happen, they are suggesting the following.
First, to Strengthen building codes and energy labeling for increased transparency. Second, to encourage
integrated design approaches and innovations. And third, to develop and use advanced technology to
enable energy-saving behavior.
Its a common misconception that energy conservation measures wont generate much savings on a
building that already has a building automation system. However, just because a building has a building
automation system does not guarantee that it is running efficiently.
In this course we will focus on what a building automation system (BAS) is as well as some of the commonly
used terminology. We will also look at some of the HVAC strategies used in building automation systems. In
part 2 of this series, we will focus on some of the energy conservation measures (ECM) used within a BAS.
Slide 5
A building automation system is a type of control system. The goal of a BAS incorporating energy
management is to maintain comfort and safety, while minimizing energy consumption and facility
management effort.
Control systems are composed of three basic types of components:
Something to measure data
Something to take those measurements and compare them with defined parameters, and
Something causing an action to bring about a change
In a building some examples of parameters that might be measured are temperature, humidity, pressure, or
flow rate. Once these measurements are taken and processed, an adjustment may need to be made.
Examples of devices which could be used to make those adjustments are fans and pumps within the HVAC
system.
Building automation systems can be scalable to control specific floors or zones within a building. They can
manage single buildings or entire campuses sharing the same equipment, such as a chiller or boiler.
Slide 6
Now that we understand what a BAS system is, lets talk about its functions.
Building Automation Systems can be applied in various ways.
The most well-known function of a BAS is to adjust lighting and HVAC equipment for occupant comfort. An
Energy Management System or EMS is a more focused version of a BAS in that it looks at occupant comfort
and energy efficiency. Well see a variety of techniques in part 2 of this series, including demand limiting,
resets and schedules.
Another function is monitoring and surveillance. A Building Automation System can be used to support
security functions such as access control. This can be linked to other functions, for example, using
occupancy sensors to detect when someone is in a room and adjusting HVAC accordingly. The system
knows who is where and can use that information to automate the building based upon where people are.
Maintenance can also be supported by a control system. Maintenance schedules can be supported by
reminder alarms from the system, or highlighting declining equipment performance to trigger maintenance
actions.
Finally, generating records is a great proactive application that can be implemented with a control system. If
there is a zone that is suspected to have problems or subject to occupant complaints, a record could be
started to record readings on several sensors within that zone. This is a great way to begin trouble-shooting
efforts to find a solution.
Slide 7
Lets discuss the parts of the BAS.
A BAS measures data such as temperature, feeds that to a controller that compares the measurement to a
standard, such as a targeted temperature set-point, and when needed makes any necessary changes with a
controlled device.
Because data flows into the component that processes it, the devices used for measuring data are called
inputs, or sensors. This is the first step of control. You need to measure what you wish to control. When you
make changes to a system, there has to be some kind of feedback loop that tells you how successful the
changes are. Sensors repeatedly measure variables such as temperature, and feed that information to a
component that processes it.
The components that take in that data and process it, called controllers, contain the logic of the control
system. Controllers collect needed data that has been measured by the sensors, and then they compare
those measurements with a set of standards or instructions.
Slide 8
Typically a buildings automation system would have a central computer for overall monitoring and control of
settings which would be supported by other controllers throughout the building or campus. Lets say a
conference room in a building got up to 79F/26C. The controller would sense that reading and, based on
a previously programmed set-point, it would respond and bring the temperature back to that set-point.
The components that the controller activates to cause some change in the system are called outputs, or
controlled devices. Controlled Devices bring about some kind of change in the environmental system like
speeding up a fan, or an actuator opening a damper to let more air through.
To learn more about these components and how they function, see our course titled Introduction to Building
Controls.
Slide 9
In order to have a clear understanding of building automation systems, lets review some of the terminology
used to explain these systems.
Slide 10
A set point is simply the target value that the control system will try to reach, for example, the desired
interior temperature.
Slide 11
The Outside air or makeup air is air drawn from outside the building to ensure that sufficient fresh air is
provided through the ventilation system. This is done to guarantee that CO2 and contaminant levels are
acceptable.
Supply air is conditioned air that is being provided to the space within the building.
Return air is air that is drawn from the space within the building back into the HVAC system.
The Exhaust air is the air that is ventilated from the building to the outside.
Lets move on to discuss HVAC Equipment.
Slide 12
To explain how a BAS makes a building more efficient, lets start with an overview of the equipment in the
building related to HVAC.
If you would like more information about how the HVAC equipment functions and how it can be optimized
please take our course entitled HVAC equipment and optimization.
Slide 13
The Air Handling Unit, or AHU, conditions the air that will go to the building occupants. Conditioning air can
have a variety of meanings, but the three things that are almost always done in the conditioning process are
cooling, heating, and filtering.
An AHU is usually a metal box that contains a blower fan to move the air, filters to clean it, heating and
cooling elements, and potentially a humidifier to add moisture content if required. The AHU often connects
to ductwork that moves the air to locations inside the building and returns it to the AHU, but in some spaces
the AHU may vent directly into the space. It may include a mixing chamber to combine air from the building
with fresh outside air, devices for heat recovery to minimize heat loss to the outside, and control
components to connect to the building automation system.
Chilled water pipes enter the air handler and wind through a set of fins which are sheets of metal. When the
fan blows air across those fins, the air rejects its heat energy to the cooler fins. When air is blown across
heated coils, the air is heated. Filtering reduces contaminants that are either coming from occupants or the
outside air. A building may have several air handling units.
Slide 14
In larger facilities or campuses, a chiller may be used to provide cooling. Working through processes of heat
rejection, the chiller system functionally removes heat from the building and rejects it to the atmosphere.
Heat rejection is accomplished through three main loops: the chilled water loop, the refrigerant loop, and the
condenser water loop.
Air is circulated through the building by the HVAC system. During periods when cooling is required, warm
air will be returned from rooms through return vents to the air handler. That warm energy in the returned air
is then transferred from the air into the chilled water loop at the heat exchanging cooling coils.
As energy always moves from a hotter mass to a cooler mass, the heat energy in the air moves to the
cooling coils.
Slide 15
When the chilled water loop reenters the chiller (or the evaporator tank), the chilled water rejects its heat to
the cooler refrigerant loop.
This again is done through a heat exchanging process. Usually in a chiller, chilled water is pushed through
tubes with refrigerant in the shell around it to protect the two liquids from mixing.
Since the refrigerant has quite a low boiling point, the refrigerant turns into a vapor. The near vapor portion
of the refrigerant, having never left the chiller, is sucked through a compressor and under pressure goes
back to a very hot liquid into the condenser tank which rejects its heat to the cooler condenser water loop.
That condenser water leaves the condenser tank and heads to the cooling tower. Finally, it rejects its heat to
the cooler atmosphere.
Slide 16
The Cooling Tower works with the chiller as a method of heat rejection for the condenser water leaving the
condenser tank of the chiller. In most cases, water is sprayed out of nozzles at the top of the cooling tower
and trickles down over fins. As air falls down, more air is brought in at the bottom of the Cooling Tower and
blown out the top. This introduces cooler air which cools the condenser water trickling down over the fins
and also causes some of that water to evaporate, taking further energy from the water. The cooler
condenser water returns to the condenser tank of the chiller to remove more heat energy from the
refrigerant.
Slide 17
As we will see, some HVAC strategies depend on supplying varying amount of air to the space. In this case
a flow controller or flow station will be fitted in the ductwork. This will include a sensor in the ductwork to
detect the velocity and volume (cubic-feet-per-minute or cubic-meters-per-second) of air, and a connection
to the temperature sensor in the room. Based on the inputs from the sensors, the flow controller adjusts the
position of a damper to allow the proper volumetric flow rate (CFM cubic feet per minute / CMS cubic
meters per second)
A damper is typically a swiveling plate whose angle can be adjusted to partially block the duct and thus
allow more or less air through.
Slide 18
In large campus/building cases, it is better to transfer heat energy through steam. In these cases, a boiler is
used to heat water up into steam, and that steam is then put into a pressurized system. When the steam
cools at the end use devices, it turns back into water as energy is pulled out of the steam. That condensed
water, called condensate, is still quite hot, so it is transferred back to the boiler to turn back into steam.
Now that we have an understanding of the terminology, lets talk about some of the HVAC strategies used in
building automation systems.
Slide 19
To understand how a BAS can function to improve efficiency, we need to understand some of the different
strategies that may be employed. Lets move on to talk about that now.
Slide 20
Some older HVAC systems use parallel heating and cooling surfaces, called hot and cold decks. The
heating and cooling systems are run simultaneously and the air is supplied thorough separate ducts for hot
and cold air. The air provided in these dual duct systems is mixed in a plenum or mixing box to achieve the
desired temperature and then supplied to the room. Running both heating and cooling simultaneously is
inefficient and these systems are now banned by many building codes.
Slide 21
The constant volume/Variable temperature system keeps the same amount of air flowing all the time, but
changes the temperature according to the needs. If the space has to be cooled considerably, the system will
supply very cold air, until the temperature approaches the set-point. Then the system will continue supplying
air, but at a warmer temperature, so as not to over-cool the space.
Slide 22
Variable Air Volume provides air at a constant temperature, but provides more of it when cooling or heating
needs are present. For example in cooling mode, the air coming into the room will typically be at a
temperature of 55 F (13 C). The air gradually replaces the existing air, and achieves the required
temperature level. When the setpoint is achieved, the volume of supplied air is reduced.
Slide 23
There are some different HVAC strategies where a BAS can have an impact. Lets define terminal reheat,
also known as variable air volume. Some HVAC systems work by cooling all the air supplied to the space in
the building to manage the humidity. The quantity of air supplied is varied in order to control temperature. If
a room is too warm, more cold air is supplied until the required temperature is reached. If some zones in the
space have requirements for warmer air, the cold air is heated by reheat coils in a plenum or by a duct in the
plenum just before it is supplied to the space. This is called terminal reheat. Clearly this is inefficient
because the air is being cooled and then reheated. We will look at some methods of minimizing inefficiency
in part 2 of this series.
Slide 24
Lets take a moment to review what we have covered throughout this course.
Building Automation Systems automate a building for better

Efficiency for facility managers and
Effectiveness for occupants
An Energy Management System is a sub section of the BAS that focuses to automate the building
to run as energy efficiently as possible
The goal of an EMS is to maintain comfort and safety while minimizing energy consumption
There are three basic types of components in control systems
Something to measure data
Something to compare measurements to a standard
Something to enact any necessary change based on those measurements
A BAS can be used for many purposes including lighting and HVAC adjustments
BASs usually have a central computer for overall monitoring and control of settings in a building or
campus; other controllers may be distributed throughout the building
We looked at some key terminology for understanding the operation of a BAS
A set point which is the target value that a control system is trying to reach
Outside or Make-up air which is fresh air being brought into a building from the outside
Supply air which has been conditioned and is supplied into the space inside a building
Return air which is the air that is drawn from the space in the building and returned to the
HVAC system and
Exhaust air which is the air that is expelled from the building HVAC system back outside
We briefly looked at some of the key components used to maintain occupant comfort in an HVAC
system including air handling units, chillers, cooling towers, flow controllers, and boilers
There are a number of different HVAC strategies that can be used with a BAS: Some of these are
Dual duct - also known as hot deck / cold deck
Constant volume / variable temperature
Variable air volume
Variable air volume with terminal reheat
Slide 25
Energy Efficiency with Building Automation Systems II

Slide 1
Welcome to Energy Efficiency with Building Automation Systems part 2.
This is the second course in a two part series on this topic. If you have not already done so, please
participate in Energy Efficiency with Building Automation Systems part 1 before taking this course.
Slide 2
Slide 3
Recognize the benefits of a Building Automation System
Identify common Energy Conservation Measures for
Lighting
HVAC
Boilers and Water Heaters
Maintenance
Slide 4
A building automation system, also referred to as a BAS can be set up to automate a building to make work
more efficient for facility managers and more effective for occupants. An Energy Management System is a
subset of that, in that while it performs like a Building Automation System, it also focuses to automate the
building to run as energy efficiently as possible. The energy conservation measures implemented bring
utility bill savings without compromising the comfort or safety of the building occupants. It will still optimize
Indoor air quality, temperature control, and lighting.
As discussed in part 1, the World Business Council for Sustainable Development (WBCSD) says that
buildings today account for 40 percent of energy consumption in developed countries. The WBCSD shows
by modeling that energy use in buildings can be cut by 60% by the year 2050. To make that happen, they
are suggesting the following.
First, to strengthen building codes and energy labeling for increased transparency. Second, to encourage
integrated design approaches and innovations. And third, to develop and use advanced technology to
enable energy-saving behavior.
Its a common misconception that energy conservation measures wont generate much savings on a
building that already has a building automation system. However, just because a building has a building
automation system does not guarantee that it is running efficiently.
In part one of this course we discussed what a building automation system is as well as some of the
terminology used and some of the HVAC strategies used. In this course, we will focus on the energy
conservation measures that can be used with these systems.
Slide 5
The best way to save on energy is to turn off what is not needed. The weekly schedule for a building
automation system is the common day-to-day schedule. Each day stands alone and any range of time can
be scheduled for equipment to be turned on or off. The holiday schedules are the exceptions that will
override the weekly schedule. The weekly schedule is the same every week of the year. In an event, such
as New Years Day, a building may have no occupants. The holiday schedule would then deactivate the
equipment on those days.
Slide 6
Special events are yet another set of exceptions that would override both holiday and weekly schedules.
The holiday schedule might have been set to deactivate cooling equipment due to the fact that the building
would be empty. If, however there was a parade that day and the building was going to be used for some
period of time, a special event could be scheduled that would override the holiday schedule for the time the
occupants would be in the building. Scheduling is usually set up zone by zone, not for the entire building.
So, for special exceptions or even normal occurrences, the needed equipment can be planned to activate
and deactivate based on where building occupants would be.
Slide 7
The energy used for lighting varies according to the country, type of facility and of course the type of lighting
installed. But to give you an idea of the significance of this topic, lighting is responsible for about 35% of a
commercial buildings electrical use, according to a study by the US government. It is about 14% of total US
energy consumption.
Slide 8
The technology for lighting is continually improving, creating greater efficiency. Here are some important
things to consider. Our Energy University classes on lighting describe a variety of ways that lighting can be
made more efficient, by providing the right level of light with the right method. Building automation systems
contribute to effective control through schedule control. As well as overall schedule control of lighting, the
building automation system can control other active energy efficiency measures, such as daylight
harvesting. This uses a photo-electric sensor to detect levels of daylight entering through windows or
skylights, and dims lights to ensure the space is not over-illuminated. Occupancy sensors turn off lights
when there is no movement for a specified period of time. They may be standalone sensors that control the
lights directly, or may be integrated into an overall building automation system.
Slide 9
Even though completely shutting off your equipment is the best energy saving measure, it is not always a
viable option. For instance, shutting off all equipment in the evening could cause damage to equipment and
undesirable effects to the facility such as humidity and temperature lag in the mornings. In order to avoid
these undesirable effects, many facility directors leave their equipment running all night. But, leaving your
equipment running is not a cost-effective option. The setup/setback ECM addresses this issue by
simultaneously saving energy and maintaining a temperature appropriate for the buildings current condition.
Slide 10
The human comfort range is typically 72-75 F/22-24 C.
However, the building has a much broader operational range, typically from 55-85 F/13-29 C. This
range varies from building to building and based upon what the building is designed to do and what kind of
equipment it houses. Setup is how high you can allow you temperature to climb in an unoccupied building,
and setback is how low you can allow your temperature to drop in an unoccupied building. On a cold
evening when the building would have no occupants, setback can be used. The building might be able to
not have heating as long as temperatures remained above 55 F/13C.
The building would then have a schedule to heat the building back up to say, 72 F/22 C around 5 in the
morning to be ready for occupants. Typically, for optimized energy efficiency, a building should not be
allowed to get any colder than the point at which you could return your building within an hour to around 72
F /22 C.
Slide 11
In a warm climate, when the building would have no occupants, setup can be used. In a warm, humid
environment, care needs to be taken to monitor ventilation when allowing a building to have a setup
temperature. If the air in the building is allowed to warm up, that warmer air has the potential to hold more
moisture. If the building allows outside air to enter, the air can become too humid. Then when the air is
cooled back down, water will condense on surfaces inside the building. This can cause damage to
equipment and can cause mold conditions.
As long as you keep these precautions in mind, nights, holidays, and weekends can be targeted as proper
times to use setup/setback.
Slide 12
Equipment often has a set start time to ensure that a building is at appropriate levels by the time people
arrive. However, variables other than time can be taken into account. Optimal Start can also take into
account outside conditions, interior conditions, and thermal inertia which is the amount of time it takes to
heat up or cool down an area per degree of temperature. For example, in mild outside conditions, the
system can be delayed and still ramp up fast enough for when people get there.
Slide 13
Optimal Stop can shut off equipment so that the building can coast until the end of the day. This would
need to be determined by outside conditions, and occupancy load meaning the number of people in the
building. Ventilation equipment would still need to be run to comply with minimum ventilation standards to
ensure the oxygen and CO2 balance remains at the proper levels.
To setup optimal start and stop, the BAS would have to be able to account for the buildings thermal inertia
and know how many people are in the building.
Slide 14
When a building is occupied, a certain amount of outside air is required to ensure adequate ventilation and
removal of contaminants such as carbon dioxide. If the building is not occupied, outside air is not required
which can provide an energy efficiency opportunity. For example, if the building has been unheated
overnight, the inside temperature may have fallen below the required level. The air in the building needs to
be heated to prepare it for the arrival of the occupants. But if the outside temperature is even lower, as may
happen in cold climates or during winter months, bringing that cold outside air in will make the building take
longer to reach the required temperature.
Since the building is unoccupied, that air is not required for ventilation, so the building automation system
can ensure that outside air is not brought in during the warm-up period. When the building is occupied, the
BAS ensures that normal ventilation resumes. This same principle applies to cooling the building in the
summer or in a hot climate.
Slide 15
Economizer control, also called free cooling, is the use of cool outside air to augment or replace mechanical
cooling. The BAS compares the outside conditions, either dry bulb temperature or enthalpy, with the return
air conditions. Enthalpy takes into account the humidity of the air, while dry bulb temperature takes into
account temperature only.
When outside air will benefit cooling, the outside air dampers are opened to their maximum position, and the
return air dampers are closed. However, care must be taken to avoid freezing coils, especially if the outside
air temperature suddenly drops. Freeze stats can be used within the air handling units for protection. These
are switches that are placed inside AHU's to protect the coils against freezing temperatures. If the
temperature of the outside air gets below or close to freezing the freeze stat will trip, closing the OA
dampers in order to keep the water within the coils from freezing.
Economizer control works best with cool, dry air. By using an enthalpy measurement, which takes into
account the moisture content of the air, in lieu of dry bulb temperature, the total heat content of the outside
air can be compared to return air. This allows for an exact determination of free cooling. To learn more
about humidity, enthalpy, and the effect of total heat content, please take our course titled HVAC and the
Slide 16
Night Ventilation Purge (NVP) is primarily used in dry climates with a high nighttime temperature drop. Night
Ventilation Purge involves purging, or flushing, of the building with cool outside air in the early hours before
occupancy. This reduces the cooling load of the building during the morning, and saves energy.
Night Ventilation Purge only works when the fan energy used is less than the cooling energy saved. If a fan
uses more energy to push cooler air through the building than the energy saved from that cooler air going
through the building, there really isnt any saved energy. A positive net energy needs to be realized for this
ECM to make sense.
Slide 17
Demand control ventilation, or Outside Air Reduction, reduces the amount of outside air, referred to as OA,
being introduced into the building while simultaneously ensuring OA requirements are being met. Outside air
is not always at a convenient temperature to be introduced into the building. However, a certain amount of
OA is generally necessary.
Therefore, by reducing the amount of OA to the minimum required, which is determined by building codes,
energy savings can be realized. However, care must be taken to ensure that proper ventilation is provided.
Slide 18
In this example you can see that the OA dampers are divided into both minimum OA dampers and
maximum OA dampers. When reducing OA, the maximum dampers can be closed while the minimum
dampers stay open to ensure OA requirements are being met.
In theaters and other high-density areas, the level of carbon dioxide (CO2) in the air can be used as an
indicator of the ventilation demand. This is called Demand Response Ventilation (DRV) or Demand Control
Ventilation. As the number of occupants increases, CO2 levels rise, and the outside air dampers are opened
to maintain the level of CO2 permitted within the space by local codes.
Other ways to reduce unnecessary outside air include: Shutting VAV box dampers when a space is known
to be unoccupied by using occupancy sensors or schedules, or Reducing the outside air damper position in
VAV systems as the supply airflow increases, to maintain a constant volume of outside air provided to the
space.
Slide 19
Flow controllers or flow stations may be part of the HVAC system and are usually coupled with VAV boxes,
to manage the comfort of occupants. In the duct work, a sensor detects the velocity and volume (in cubic
meters per second or cubic-feet-per-minute) of air. If the temperature sensor in the room is not "happy" and
says it needs more, that VAV box opens its damper to let more air through. The station for that zone is not
detecting duct work temperature, just temperature in the zone and how fast the air is going into the room.
It's called cascading control for this reason: change itcheck itchange itcheck itchange itcheck it.
Note that the flow controller here is not performing any energy saving actions. Its only controlling the
amount of air entering the room for the comfort of the occupants. Also, each flow controller functions
independently. The BAS does not control them centrally.
Slide 20
To enhance energy efficiency, a Building Automation System may be tied in to watching the damper
positions of all the flow controllers If all of the dampers are closing, a Variable Frequency Drive might slow
down the fan providing conditioned air. This is a measure known as Variable Air Volume Pressure/Flow
Control, and also known as static pressure reset.
A VAV system is based on similar principles, but the VAV boxes that manage the flow of air into spaces are
centrally controlled by the BAS. They are not independent flow controllers.
Slide 21
A VAV system is designed to save energy by reducing the overall amount of air flow as the cooling need
decreases. For example, if an office was at 72 F or 22 C, but had a set-point of 74 F or 23 C, the VAV
box in the room would throttle back the amount of air being allowed into the area.
Static pressure reset functions here in a similar way. As the individual VAV room controllers throttle back
the air flow to their respective spaces in response to the reduced cooling needs, the fan speeds need to be
reduced. This is normally done using Variable Frequency Drives (VFDs). The energy to the fan can be
reduced further by tightening the control parameters so that the fan is slowed down to the point where only
one VAV box is at 100% of its design flow, or that only one VAV box is calling for full cooling.
Slide 22
Now lets say for the conference room with the set-point of 74 F or 23 C the room is actually at 77 F or
25 C, which is three degrees above the set-point. With the office area already satisfied, the VAV in the
conference room would open and the fan speed would adjust to the cooling need for that space.
For the 2nd floor to remain at its set-point, the 2nd floor VAV box would throttle back how much air it was
allowing through by closing off its damper. If pressure within the ductwork increases beyond the highpressure cut-off switch guarding against ductwork rupture, the VFD would then reduce the fan speed to
balance the system. Most buildings will have a VAV System which has more than just two VAV boxes. This
will allow for the required airflow to be based on the average of the worst three zones, instead of just using
one sensor. This strategy helps guard against an errant zone affecting the whole system.
Slide 23
The purpose of the Supply Air Reset ECM is to raise the supply air temperature set-point as the need for
cooling decreases. For example, if a building space is not calling for as much cooling, then the BAS would
increase the supply air set-point. This will reduce energy costs because the chiller will not have to work as
hard to deliver the supply air needed to properly cool the space.
This ECM is even more advantageous in buildings that use terminal reheat, because it eliminates double
efforts. For example, a chiller has to work to produce a supply air of 55 F/12 C. If the supply air then
needs to be reheated because the space no longer needs 55 F/ 12 C air, energy is wasted. It does not
make sense to provide cool air to a space that is going to need to be reheated. In this example, it would
make the most sense to reset the supply air return based on the worst space temperature in order to
minimize the double effort of first cooling and then warming the space.
Slide 24
The reset strategy can be based on outside air temperature. Lower outside air temperature allows you to
have a higher supply air temperature set-point. The lower the outside air temperature, the easier it will be to
cool the specific space because the building will not absorb as much heat. Therefore, the supply air
temperature setpoint can be set at a higher temperature while still meeting the desired room temperature
setpoint.
Greater savings are possible if the reset can be based on indicators of actual load conditions. Possible
indicators could be the cooling coil valve position which tells you how much chilled water the Air Handling
Unit is actually calling for, or terminal damper position which tells us how much air the room is asking for.
If there are multiple zones, the supply air temperature is adjusted upward until only one valve or damper is
in the full open position. That means that the zone with the greatest need is being met, but not exceeded.
Or, to guard against an errant zone affecting the entire system, the reset can be based on the average of
the worst three to four zones.
Slide 25
Where there is an existing dual duct HVAC system, building automation can be used to optimize the existing
system as far as possible. This is done by establishing the minimum hot and cold deck temperature
differential to meet the requirements. Temperature sensors determine which zone has the greatest heating
needs and sets the hot deck temperature accordingly. They also determine which zone has the greatest
cooling need, and set the cold deck temperature accordingly. The opposition of the two systems is
minimized as far as possible. The zone that needs the most cooling should be receiving no hot air, and the
zone that needs the most heating should be receiving no cold air. Without this, all parts of the building will
be provided with a mix of hot and cold air, and the hot air will be heated higher than required, only to be
cooled with cold air from the opposing system.
Slide 26
Some HVAC systems work by cooling all the air supplied to the space in the building to a set temperature. If
some zones in the space have requirements for warmer air, the cold air is heated by reheat coils in a
plenum just before it is supplied to the space. This is called terminal reheat. Clearly this is inefficient
because energy is being used to cool the air only to have energy being used again to heat it back up. If the
supply air temperature is set too low, every zone in the building may be doing reheating.
Supply air reset changes the chilled water temperature in the air handling unit so that the air supplied to the
building is not as cold. This reduces the amount of terminal reheat required in the zones. The demand of
each zone is measured and the supply air temperature is increased to minimize the amount of reheat
required.
In the above case, zone A will be the zone that dictates the supply air temperature. Zones B, C and D will
still need to reheat the supply air - but not as much.
This contributes to energy saving in two ways. Less energy is required in cooling the air as it enters the
building (depending on the outside air temperature), and less energy is required to cool return air. Secondly,
because the reheat coils have less work to do, energy is saved there as well. Sometimes supply air reset is
combined with other adaptations to the system, including introduction of VAV boxes and dampers. These
can then be used to modify the quantity of cold air that is supplied, and reduce the reheat requirements in
that way. In this case the reheat coils can be completely removed and this can save a lot of energy.
Slide 27
Demand charges, on an industrial level, can make up for 40% of a utility bill. A BAS can monitor and control
peak demand. For Load Shedding to work well, you need to have loads that can truly be shed.
If you have a budget that must be adhered to under all circumstances, demand limiting should be
considered. When approaching a peak, the BAS can start reducing electrical demand. This can either be
done directly, by shutting down non-essential equipment such as reducing light levels, or indirectly, by not
allowing major systems to load up further, relaxing temperature set-points. A BAS can be setup to have a
Global Temperature Adjustment often referred to as a GTA. These can be done manually or automatically.
Slide 28
After a loss of power or at the beginning of a day, the BAS can have preprogrammed staggered start times
to bring needed systems back online. Many fans and pumps take considerably more power to start than to
run. Starting everything at once can cause an enormous spike in demanded power.
There is another way we can shed demand. It can be quite pricy, but it is often a cost-effective or a
preferred solution. The possibility of shifting blocks of demand from peak usage times to times of low
demand would provide a great savings opportunity.
One way to accomplish this is through ice storage. Instead of running your chiller to meet cooling needs
during the day, you make ice, often during the cooler evening or night, and use that to store up cooling
capacity that you can draw upon when required. If your normal demand is during the day, you might even
see a second benefit. The first benefit is that the production of cooling can be done during a low peak time,
so that you save on demand peaks during high performance hours. The second potential benefit is that it is
usually cooler in evenings and at night; the cooler outside air could be used as an advantage in making ice.
Slide 29
In most facilities the entire central chilled water system, including the associated pumps and tower fans, can
be locked out below a certain outside air temperature, if the characteristics of the building cooling load will
allow. Some buildings have such a high internal heat gain year-round that they require cooling even in
winter months. The entire boiler system, including associated pumps, can be locked out above a certain
outside air temperature, or when building heating requirements are below a minimum level. These general
lockouts help to ensure that a sudden, brief call for heat in the summer, or cooling in the winter, does not
result in the entire central system starting up.
Slide 30
Direct expansion (DX) compressor cooling should also be locked out below a certain outside air
temperature, for the same reasons. Likewise, it is imperative to avoid simultaneous heating and cooling
within dual-duct systems, VAV systems, and terminal reheat systems. This is done in dual duct systems by
raising cold deck set-points and lowering hot deck set-points. In VAV Systems and terminal reheat systems
this is done by maintaining wide temperature dead-bands between heating and cooling.
Slide 31
Duty cycling turns off equipment for short periods during normal operating hours according to an established
schedule. It can be a tactic for demand limiting, or for reducing consumption when equipment is oversized
for the requirements. Ideally, duty cycling does not impact occupants, but if the demand or consumption
reduction is an imperative, comfort may be temporarily sacrificed.
Slide 32
If it is cooler outside or the cooling need of the building is reduced, then the temperature of the chilled water
that is supplied to air handler units can be increased. This is different from supply air reset. Supply Air Reset
saves on energy not by directly changing the temperature of the chilled water supply, but by decreasing the
amount of chilled water the air handler needs.
Slide 33
Lets look at an example in which this would be accomplished using the 3-way chilled water valve. Assume
we are sending 45F/7C water to the air handler and the chilled water valve is 100% open allowing the air
handler to send 55F/12C air to the building's occupants. Because all of the chilled water is going through
the heat exchanger (the chilled water coils), the temperature of the chilled water return is increased to
57/14C. If the Supply Air Reset ECM changes the supply air temperature to 60F/16C, the chilled water
supply temperature would stay the same, but the amount of chilled water into the heat exchanger would be
reduced by closing off the 3-way valve therefore causing the chilled water supply to mix with the chilled
water return.
Slide 34
As some of this chilled water is now skipping over the heat exchanger, the return chilled water is going to be
cooler. The risk in this scenario is that by mixing the chilled water supply and return, the delta T, which is the
temperature difference between supply and return, will fall outside the chiller's designed range, reducing the
chiller's capacity. In order to avoid the problems that occur with a low delta T, assuming the customer does
not have the funding to redesign from a constant to a variable speed pumping system, the chilled water
supply temperature set-point needs to be increased so that the air handling units are not "rejecting" as much
chilled water supply.
The chiller uses less energy as the chilled water supply temperature increases. For this reason, operating a
chiller at a constant year-round temperature is wasteful when warmer water temperatures will suffice.
Chilled Water Reset involves raising the supply temperature of the chilled water system as the cooling load
of the building is reduced.
Slide 35
One simplistic way to determine when to reset the chilled water supply is by using outside air temperature
as an indirect indicator of building load. Building load can be more accurately determined by monitoring the
chilled water coil valve positions of each air handling unit within the building. The chilled water supply
temperature can be adjusted upwards until only one valve within the building is fully open. An errant valve
position, which would affect the whole system, can be avoided by having the reset based on the average of
three chilled water valve positions.
It is important to note that in some cases space humidity control requirements may dictate that the chilled
water temperature remain at a lower setting in order to ensure moisture is removed from the building. This
will be determined on a case by case basis.
Slide 36
The purpose of the Condenser Water Reset ECM is to lower the temperature of the condenser water
entering the chiller's condenser. In order to reduce energy by minimizing the chiller's required lift. Resetting
the condenser water entering the chiller to a lower value will lead to increased chiller efficiency. Often, the
condenser water set-point is set at a fixed value, around 80F/27C. Less frequently, it is set at a lower
value such as 70F (21C). Neither fixed setting is efficient. The higher setting does not take advantage of
outside conditions during which the cooling tower can easily make cooler water. The lower setting runs the
risk of wasting cooling tower fan energy in its effort to make 70F/21C water when outside conditions will
not allow it.
Slide 37
Lift is the temperature difference between chilled water supply, which is the water going to the building, and
cooling tower supply. The higher the cooling tower (condenser water) supply the greater the lift. In this
example, the refrigerant is surrounding the chilled water and condenser water tubes as seen.
In an actual chiller or refrigeration application the refrigerant would be changing states between that of a
liquid and a vapor. We will not cover these in depth here. For further information please see our course
entitled HVAC Equipment and Optimization Strategies.
Slide 38
The compressor is responsible for taking the gaseous refrigerant and increasing its pressure in turn raising
its temperature. This increase in temperature allows heat to transfer from the refrigerant to the condenser
water loop, which will remove the heat from the building and place it into the OA via the cooling tower. The
higher the Condenser Water Supply temperature, the higher the temperature of the refrigerant will have to
be in order to transfer heat. In this first example the temperature of the CW entering the Chiller is 85 F or
29 C. The compressor increases the pressure of the refrigerant changing its temperature from 55 F or 12
C in the evaporator to 120 F or 48 C in the condenser.
This allows heat to transfer to the CW creating an exit temperature of 95 F or 35 C. If, however, we
decreased the CW Temperature entering the Chiller to 75 F or 24 C then the compressor, theoretically,
would only have to be lifted to 110 F or 43 C in order for heat transfer to take place. Because the
compressor does not have to work as hard to lift the temperature of the refrigerant, less energy is used and
more money is saved.
Slide 39
Since a cooling tower is based on evaporative cooling, the maximum cooling tower efficiency is limited by
the wet bulb temperature of the cooling air. The wet bulb temperature is a measure of how much water
vapor the atmosphere can hold at current weather conditions. A low wet bulb temperature means the air is
drier and can hold more water vapor than when the wet bulb temperature is high. A useful rule of thumb is
that an evaporative cooling tower can generally provide cooling water at 5-7 higher than the current wet
bulb temperature. This temperature difference is called the approach.
Given this rule of thumb, if the OA wet-bulb temperature that is being drawn through the Cooling Tower is
78 F or 26 C, then no matter how hard the CT Fan works it will only be able to supply 85 F or 29 C
water to the chiller. Knowing this, the CT Fan speed can be reduced once a temperature of 5-7 above OA
wet-bulb has been achieved, since continued fan operation results in negligible further reductions in cold
water temperature.
Slide 40
While there are many ways to optimize the efficiency of your chilled water plant, two helpful optimization
measures are Chiller Staging and Secondary Chilled Water Loop Pressure Reset. The optimization of these
will depend on the particular system in use. Chillers run most efficiently when they are operating near full
capacity. For facilities with multiple chillers, the BAS can stage the chillers for maximum efficiency. This is
done by determining the total cooling load on the system, comparing the part load efficiencies and
capabilities of all the available chillers, and then calculating the most efficient mix of chillers to have running.
Slide 41
Normally a chiller will be brought to full capacity before another chiller is added - one chiller running at 100%
capacity is more efficient than three chillers running at 33% capacity. For Secondary Chilled Water Loop
Pressure Reset, if your building uses a primary/secondary pumping system for Chilled Water, the differential
pressure controlling the speed of your secondary pump or pumps can be decreased as the cooling load
decreases.
This can be done in lieu of controlling the secondary chilled water loop to a fixed differential pressure under
all conditions. Similar to the chilled water reset strategy, cooling load can be determined by monitoring the
chilled water coil valve positions, and for example, adjusting the pressure set-point down until only one valve
is fully open. A Variable Frequency Drive (VFD) is used to modulate the chilled water pump to maintain the
set-point.
Slide 42
Boiler staging is a type of central plant optimization involving multiple boilers. Like chiller sequencing, boiler
staging determines when a particular boiler should be used and the order the boilers should be brought on
line. Boilers frequently cycling on and off or operating at partial rated capacity waste energy. For instance,
losses occurring with just one boiler would increase with multiple boilers operating at partial capacity. For
example, combustion exhaust heat is lost through boiler breeching: the pipe that conveys the exhaust gas to
the stack. Warm-up/cool-down time requires extra fuel when boilers are cycling.
When a boiler is idling, standby and radiation losses waste fuel and energy. For facilities with multiple
boilers, the BAS can stage the boilers for maximum efficiency. By calculating the real-time heating system
load, the BAS can determine the optimal combination of boilers needed to meet the load.
Slide 43
In using a hot-water application, if the worst-case zone is heated sufficiently, the temperature of the hot
water being delivered can be scaled down. This is much easier to understand than a cooling application. If
less heat transfer is needed to a room, you can scale back how much heat you are transferring into the
water, so you can use less fuel or electricity to heat it. This could also be combined with reducing the fan
speed to transfer a smaller volume of air. In this picture it looks quite simple for just one handler, but usually
you will be supplying your energy carrying liquid, be it chilled water, hot water, or steam, to multiple airhandlers. If Air-Handler 1&2 are satisfied, with Air-Handler 3 also being satisfied but slightly closer to the
set-point, you could reset your hot water supply temperature to make sure that Air-Handler 3, the worst case
zone, gets hot enough water.
Slide 44
One easy way of saving on energy is to reduce the amount of energy needed to raise the temperature of
domestic hot water. If there is no dish washing equipment, temperature can be lowered to about 120F/
50C. Dishwashing requires 140F/ 60C. Boosters can be installed near dishwashing equipment to only
boost the temperature of the water that is going to the dishwasher.
Slide 45
If equipment is not in use over weekends or holidays, there is no need to keep a hot water tank at it is
operational temperature during times of non-use.
It must be ensured that it will not take more energy to heat the water back up to an operational temperature
than the amount of energy that is saved. Even considering this, the hot water set-points can at least be
reduced to some level less than their operational levels.
Other energy saving opportunities also exist outside of controlling the equipment. Make sure the storage
tanks and pipes are properly insulated. Consider downsizing the storage tank if its capacity is never used.
Also consider using a tankless water heating system. Both electrical and gas fired tankless water heating
systems are now available.
Slide 46
In addition to strategies already mentioned for efficient boiler control, the building automation system may
be used for remote monitoring and supervision of boilers. For example, critical operating parameters such
as low water cut-out alarms, water temperature, flue gas temperature, firing rate, and water conductivity
may be added to the BAS. Automatic sequences can be programmed to monitor critical alarms and shut
down the boiler plant. This improves safety and increases maintenance efficiency.
The BAS can also record operational trend logs to assist the engineering staff in diagnosing and resolving
operational problems before they compromise plant reliability.
Slide 47
A building automation system can improve maintenance efficiency by providing the maintenance schedule
and optimizing it based on the running time of equipment or other physical parameters. This allows
implementation of condition-based maintenance rather then schedule-based maintenance. The result is that
equipment that needs maintenance sooner gets attention when required, helping maintain equipment
efficiency and prolonging its life. Equipment that has been little used and does not need maintenance can
be deferred, ensuring that maintenance effort is used where it is most needed. For instance, a filter may
have been checked once a month just to make sure a change-out was not needed. However, now pressure
sensors could detect when a filter was restricting too much flow and needs a change out. When those
pressure sensors fall below a critical level, an alarm could alert maintenance staff to make a change instead
of a guess and check scheduling method.
Slide 48
Lets take a moment to review what we have covered throughout this course. There are a number of
different strategies we have discussed which can be used to reduce energy consumption. They include
Air Side Focused strategies including
Warm Up/Cool Down Ventilation and Recirculation
Use of economizers
Night ventilation purge
Static pressure resets
Supply air resets
Hot deck/cold deck temperature resets and
Reheat/coil reset
We also discussed Chilled Water Side Focused strategies including

Chilled water reset
Condenser reset
Chiller sequencing
Additionally, we talked about Hot Water/Boiler Side Focused strategies including

Boiler staging
Hot water reset
Domestic hot water control
And
Remote boiler monitoring and supervision
We discussed Controls Implemented strategies including

Scheduled start/stop
Lighting controls
Unoccupied set back
Start/stop optimization
Demand control ventilation
Demand limiting
Heating/cooling equipment lockout
Duty cycling
Maintenance and management
Using these energy conservation measures will result in increased energy savings to any facility.
Slide 49
Energy Rate Structures I: Concepts and Unit Pricing

Slide 1
Welcome to Energy Rate Structures part 1: Concepts and Unit Pricing. This is the first course of a two part
series. Once you have completed this course, please take part 2 of this series, Energy Rate Structures Part
2: Understanding Your Bill.
Slide 2
This course contains some basic energy rate calculations and you may find it helpful to have a calculator,
some scrap paper and a pencil on hand while viewing.
Slide 3
Define and recognize the difference between consumption and demand
Identify different forms of energy pricing including
flat rates, block rates, seasonal pricing, time of use rates, and real time pricing.
Slide 4
There are many different sources of energy such as Electricity, Gas, Water, and Steam. An industrial facility
may have multiple energy bills, with each commodity billed separately under a different rate.
Understanding the forms of energy used at a facility, and the rate structure for each, is key to understanding
energy costs and implementing an energy efficiency program. By understanding what you are paying for
energy, and how the rate structure controls your bill, you can adopt different strategies for reducing your
energy costs. You may even be able to move to a different rate structure that is more cost effective for you.
In this course, we will focus primarily on gas and electricity concepts and unit pricing. However, many of the
forms of energy pricing are applicable to water, steam, and other commodities as well.
In part two of this series, we also look at how energy rates are calculated and ways you can shift your
energy load in order to reduce your electricity costs. Once you have completed this course, please move on
to take our course entitled Energy Rate Structures Part 2: Understanding Your Bill.
Slide 5
In order to have a clear understanding of rate structures and your bill, it is essential to understand the
difference between energy and demand. Lets use electricity as an example.
Demand, or Power, is a rate, analogous to speed. Energy, or consumption, is a measurable quantity
analogous to distance. Demand is how fast you are using energy at any point in time. Consumption is the
total energy that you use over time.
Electrical demand is usually measured in kilowatts. Electrical consumption is measured in kilowatt-hours.
Slide 6
Another way to look at this is to imagine a kilowatt is a person. Each person can do the same amount of
work. 10 people working at one time creates a demand of 10 kilowatts. 20 people working at the same time
creates a demand of 20 kilowatts and so on.
Consider the amount of time that these people work. If you have ten people working for 1 hour, that would
be the equivalent of 10 kilowatts for one hour of work or 10 kilowatts-hours.
If you have one person working for ten hours the result would also be 10 kilowatts-hours. The ten kilowattshours represents the consumption. In both of these instances, the consumption is the same. The difference
is the demand, or the rate at which the work gets done, with the first example having ten people and the
second example having just one person.
Slide 7
Lets work through at an example to help better understand energy and demand.
A customer has a 100 kilowatt motor in a pumping facility. If the pump runs for 30 minutes:
What is the demand?
What is the energy usage?
The demand is 100 kilowatts. To calculate the energy, multiply the demand by the number of hours the
pump was running, in this case a half hour. So the energy usage is 50 kilowatts-hours.
Lets assume that the pump runs for two hours. What would the demand and energy usage be?
Demand again is 100 kilowatts
Energy usage is 100 kilowatts multiplied by 2 hours, or 200 kilowatts-hours.
Slide 8
Lets take a look at the different factors that make up an energy bill.
In this course, well look at the type of pricing that is applied to your energy bill. You may be paying more or
less for a unit of energy depending on the time of day or the time of year, or whether you use a little or a lot
overall. Well look at each of the ways that energy is priced.
In Energy Rate Structures Part 2, well look at the components of your bill in order to understand what all of
the different charges are that you may be paying.
Slide 9
There are a number of different forms of energy pricing. Two which you may already be familiar with are Flat
Rates and Block Rates.
The simplest is the Flat Rate where a customer pays a single price per unit for all energy consumed during
the month. For example, 7 cents per kilowatt-hour of electricity, 10 Euros per kW demand, 20 cents per
cubic metre of gas or $1.20 per Therm.
Flat rates are applied to a single value, such as total energy or peak demand, for a billing month.
Lets look at an example for calculating an energy charge under a flat rate.
Say a utility charges 20 cents per cubic metre of gas. A facilitys usage for the month was 12,000 cubic
metres. What is the energy charge for gas? To find the answer, multiply:
12,000 cubic metres x 20 cents = $2,400
For more information regarding billing units, please take our course entitled Energy Units and Concepts.
Slide 10
Another common form of energy pricing is block rates, also known as tiered or step rates. Under block rate
schedules, the price per unit changes at different levels of consumption or demand.
The block pricing rate for electricity might look something like this:
The first 30,000 kWh per month are charged at 3 cents per kWh,
All remaining kWh are charged at 5 cents per kWh.
Lets work through an example using this rate. If a facility's energy usage for the month was 7,000 kWh,
what would the energy charge be?
Since all of the energy falls into the first block, the energy charge is simply 7,000 times 3 cents = $210.
What if the facility's usage was 70,000 kWh?
First, multiply 30,000 times 3 cents to get $900. Next, multiply the remaining energy (40,000 kWh) times 5
cents to get $2,000. Add these together for a total energy cost of $2,900.
Slide 11
Block rates can either be declining, meaning that the cost goes down with each incremental block, or
inverted, meaning that the cost goes up with each incremental block.
Declining block rates are implemented when the marginal cost of providing electricity goes down. Utilities
will tend to use these rates when they want to win business from large energy consumers. Inverted block
rates are implemented when the cost of building new facilities and infrastructure to provide energy is
significantly higher than the cost of old facilities. Utilities will tend to use these rates when they need to
discourage consumers from using more.
Block sizes can be fixed or variable, also referred to as adjustable. Fixed blocks will remain the same every
month, for example 3,000 kWh. Variable block sizes depend on the peak demand for the month for example
300 kWh per kW of peak demand. Block sizes are usually applied to the total monthly values (total energy
consumption, or monthly peak demand). However, in some cases, especially for gas rates, the block sizes
are defined as daily values.
If you would like to work through examples to calculate both variable and block rates, please see the
examples below.
Variable example:
Variable block pricing is seen in energy charges for electricity rates. These rates are sometimes referred to
as hours of use. Variable block sizes are typically defined as a certain number of kilowatt-hours per
kilowatt of peak demand.
For example, take the following rate:
The first 200 kWh per kW of peak demand are charged at 7 cents per kWh
All remaining kWh are charged at 4 cents per kWh
Calculate the energy charge using the following scenario:
A facilitys monthly peak demand is 550 kW
The total energy usage for the month is 160,000 kWh
What is the size of the first block of energy, which is charged at 7 cents per kWh?
Now calculate the energy charge using the scenario above.
Variable example answers:

What is the size of the first block of energy, which is charged at 7 cents per kWh?
Multiply the peak demand times the block size in the rate to find the block size.
550 kW x 200 kWh = 110,000 kWh
Now calculate the energy charge using the scenario above.
Multiply the energy in the first times 7 cents per kWh.
110,000 x $ .07 = $7,700
Multiply the remaining kWh times 4 cents per kWh.
50,000 x $.04 = $2,000
Add the two together and $7,700 + $2,000 = $ 9,700 energy charge.
$7,700 + $2,000 = $9,700
Daily example:
Look at the following example of a rate with block sizes defined in cubic meters per day:
The first 100 cubic meters per day are charged at 20 cents per cubic meter
The next 200 cubic meters per day are charged at 15 cents per cubic meter
The next 700 cubic meters per day are charged at 10 cents per cubic meter
The next 2,000 cubic meters per day are charged at 7.5 cents per cubic meter
The next 5,000 cubic meters per day are charged at 4.5 cents per cubic meter
All remaining volume is charged at 2.5 cents per cubic meter
Assume a facility has a total consumption of 80,000 cubic meters over a 30 day billing period.
How would you calculate the energy charge?
Daily example answer:
First, calculate the block sizes by multiplying the sizes in the rate times 30 days in the billing period. This
gives you the following pricing schedule:
The first 3,000 cubic meters at 20 cents per cubic meter
The next 6,000 cubic meters at 15 cents per cubic meter
The next 21,000 cubic meters at 10 cents per cubic meter, and so on
Next, calculate the price for each block, adding the costs together, until you have reached the total
consumption value, much as we did in the electricity example.
3,000 cubic meters x $.20 cents = $600
6,000 cubic meters x $.15 cents = $900
21,000 cubic meters x $.10 cents = $2,100
The next block size is 60,000 cubic meters, but since our total is 80,000 cubic meters and we have already
applied 30,000 in the previous blocks, our final block charge is
50,000 cubic meters x $.075 cents = $3,750
Total energy charge is
$600 + $900 + $2,100 + $3,750 = $7,350
Slide 12
Prices may vary depending upon the time of year. This is referred to as seasonal pricing. In their simplest
form, seasonal rates will have one set of prices during the summer and a different set of prices during the
winter.
For example, an electric rate may charge 9.1 cents per kilowatt-hour in the summer and 8.5 cents per
kilowatt-hour in the winter.
A gas rate may charge a winter price of 70 cents per ccf (100 cubic feet), and a Summer price of 63 cents
per ccf.
Some utilities have higher prices in the summer and lower in the winter. Other utilities will have higher prices
in the winter and lower in the summer. This variability from utility to utility (location to location) in seasonal
pricing is caused by whether system peaks occur during summer months due to cooling loads which is
common for electric utilities, or winter months due to heating loads which is common for gas utilities.
In addition to prices, the number of blocks or block sizes may have seasonal differences.
Next lets look at another form of pricing that is common for electricity: Time of Use rates
Slide 13
Rates with prices that vary depending on the time of day and the day of the week when the energy is
consumed are called Time of Use (TOU) or Time of Day rates. These time periods are usually referred to
as On-Peak and Off-Peak.
The typical definition of Time of Use periods might look something like this:
On-peak hours are 10am 8pm, Monday through Friday excluding holidays.
Off Peak hours are all remaining hours
(which would be 8pm-10am weekdays, all day Saturday, Sunday, and Holidays).
The most common type is a 2-part time-of-use definition (On-Peak and Off-Peak), though many rates have
a third TOU period often called Shoulder, Intermediate, Mid-Peak, or Partial-Peak.
Slide 14
On-Peak refers to periods of relatively high system demand. These periods often occur in daily, weekly, and
seasonal patterns. These on-peak periods differ for each individual electric utility.
Off-Peak represents periods of relatively low system demands, usually evenings, weekends, and holidays.
Shoulder or mid peek periods are the times between On-Peak and Off-Peak periods, and exist to allow
more pricing options. Here is an example of a three part time of use schedule with prices:
On-Peak hours are from 1pm to 9pm Monday through Friday except holidays. Energy consumed
during these hours is billed at 5 cents / kWh.
Shoulder hours are 7am to 1pm and 9pm to 11pm Monday through Friday except holidays. Energy
consumed during these hours is billed at 3.5 cents / kWh.
And Off-Peak hours are all remaining: 11pm to 7am M-F, all day Saturday, Sunday and holidays.
Energy consumed during these hours is billed at 2.5 cents / kWh.
In a time-of-use rate structure, high prices are charged during utility peak-load times and lower prices are
charged during off-peak periods. Such rates can provide an incentive for consumers to curb power use
during peak times. These rates require metering equipment capable of recording demand and energy
consumed during each TOU period.
Slide 15
Time-of-Use definitions can have seasonal differences in both prices, and in the definition of time periods.
For example, a summer peaking utility may have additional TOU peak periods in the summer, as well as
higher prices, especially demand prices.
Lets take a look at an example to get a better idea of what this means. This chart provides a visual example
of how seasonal pricing would be determined.
As seen in this chart, there are two seasons- Summer and Winter. Summer service is from May through
October and Winter service from November through April. Note that Summer has three Time-of-Use periods,
and Winter has two Time-Of-Use periods. In addition, summer prices are more expensive than the winter
prices.
Slide 16
Now lets walk through a sample calculation of the energy charges under this rate. As the chart shows, this
rate has demand and energy charges. For this example, we will just focus on the energy charge.
Assume a facilitys energy usage during the month of May was as follows:
Peak Period: 100,000 kWh
Shoulder/Partial/ or Mid-Peak Period: 75,000 kWh
Off Peak Period: 250,000 kWh
Lets look at what their total energy charge would be.
First, note that the charge is for the month of May, so we are dealing with the Summer season. Next,
calculate the cost for each time of use period by multiplying the usage during the TOU period by the
appropriate price.
100,000 kWh * 15 cents = 15,000 Euros
75,000 kWh * 10 cents = 7,500 Euros
250,000 kWh * 8 cents = 20,000 Euros
Add the three together for a total energy cost of 42,500 Euros
Slide 17
Real Time Pricing, also called RTP, is the interval pricing of electricity based on the real cost of available
electricity at the time it is demanded by the customer. Typically, real time pricing is based on hourly market
prices and hourly energy usage, though some pricing structures use smaller intervals such as 15- or 30minute pricing.
Prices are often linked to what is going on in the market, called spot market pricing, and are typically
published a day ahead. RTP rates, compared to a fixed rate, will be more expensive during times of peak
system demand, and less expensive during times of decreased system demand. Therefore, customers
whose usage tends to be lower, or who have the ability to reduce their load during the peak (more
expensive) time periods could benefit from being on an RTP rate.
Often Real Time Pricing rates include a Customer Baseline component, where the baseline load is set up to
a year in advance. The baseline load will be charged at standard rates, and a customers usage above or
below those rates will be charged or credited based on some percentage of market prices.
RTP rates require metering equipment capable of recording interval energy usage.
Slide 18
There are other pricing structures in addition to what we have already discussed including utility interruptible
and curtailable rates. These provide customers financial incentives if the customer agrees to reduce their
demand on the utility system upon request. These incentives can be in the form of lower rates than the
standard tariffs or credits for curtailed load. In addition, there are often severe penalties if load is not
curtailed as requested.
Interrupt and curtailment requests can be voluntary, where the customer may choose whether or not to
participate, or mandatory. Depending on the program, requests are typically made anywhere from a few
minutes to a day in advance.
Some other forms of pricing are standby or supplemental service, service level adjustments such as
discounts for service at primary, distribution, or transmission voltage levels, special facilities charges, or
other discounts.
Slide 19
Understanding a facility's energy use allows for adopting cost reduction strategies and the
possibility of moving to a different rate structure
When talking about energy it is important to understand that demand is how fast you are
using energy at any point in time and consumption is the total energy that you use over
time
An energy bill is made up of Energy pricing including
o Flat rates, Block rates, Time of Use rates, Seasonal Pricing, Real time pricing,
Interruptible and Curtailment rates
Flat rates are applied to a single value, such as total energy or peak demand, for a billing
month
Under block rate schedules, the price per unit changes at different levels of consumption
or demand
In time-of-use rate structures, higher prices are charged during utility peak-load times and
lower prices are charged during off-peak periods
Time-of-Use definitions can have seasonal differences in both prices, and in the definition
of time periods
Real Time Pricing is the interval pricing of electricity based on the real cost of available
electricity at the time it is demanded by the customer
Additional pricing includes utility interruptible and curtailable rates. These provide
customers financial incentives if the customer agrees to reduce demand on the utility
system upon request
Now that you have a clear understanding of the concepts and unit pricing for energy rate structures, please
take part two in this series:
Energy Rate Structures Part 2: Understanding Your Bill. In this class you will learn about other charges that
may appear on your energy bill, and some strategies to minimize them.
Slide 20
Energy Rate Structures II: Understanding and Reducing Your Bill

Slide 1
Welcome to Energy Rate Structures part 2: Understanding and Reducing Your Bill. This is the second
course in this series.
If you have not already done so, please take Energy Rate Structures Part 1 Concepts and Unit Pricing prior
to taking Part 2.
Slide 2
This course contains some basic energy rate calculations and you may find it helpful to have a calculator,
some scrap paper and a pencil on hand while viewing. Also, please take a moment now to download the
attachment which contains all of the calculations covered within this course along with the answers to those
calculations.
Slide 3
Identify common components of an electric bill such as customer cost, energy cost, demand cost,
and power factor.
Calculate a monthly electric bill using rate structure, consumption, and demand data
Explain the effect of a demand charge and demand ratchet on an electric bill and
Discuss the actions needed to take advantage of particular elements of a rate structure; including
minimizing demand and energy charges
In this course, we will focus primarily on electricity pricing and rate calculations along with ways to shift your
energy load in order to reduce your electricity costs. Keep in mind that many of the forms of energy pricing
are applicable to gas, water, steam, and other commodities as well.
Slide 4
There are many different sources of energy such as Electricity, Gas, Water, and Steam. An industrial facility
may have multiple energy bills, with each commodity billed separately under a different rate.
Understanding the forms of energy used at a facility, and the rate structure for each, is key to understanding
energy costs and implementing an energy efficiency program. By understanding what you are paying for
energy, and how the rate structure controls your bill, you can adopt different strategies for reducing your
energy costs. You may even be able to move to a different rate structure that is more cost effective for you.
Slide 5
In Energy Rate Structures Part 1, we focused on Energy Pricing. Now lets look at the components of your
bill.
There are a number of components that make up a bill. We will focus on six main types of charges that are
typically found in electric or gas rates.
Slide 6
The first component is Customer Service Charge. The Customer Service Charge is usually a fixed monthly
cost and is independent of the amount of energy used. For example, $50 per month.
Sometimes the fee will be charged per meter or per day. This charge is based on the costs associated with
connecting a customer to the company's distribution system, including the service connection and metering
equipment, reading the meter, billing, accounting, and other administrative costs.
Slide 7
The Energy Charge is the portion of the customers bill based on the total amount of energy (kWh)
consumed during the billing month, and calculated under the applicable rate schedule.
As we saw during our discussion of energy pricing in part one of this series, energy charge structures can
range from simple, flat or block rates to complex, seasonal, time of use (TOU), or real time pricing (RTP)
rates.
Slide 8
In part one of this series, we focused on energy charges. However, a major component of an energy bill is
the Demand Charge.
Utilities must have the capacity and infrastructure to support the demand on their system at any time. There
are a number of large capital investments that utility companies make to improve their infrastructure. Some
of the things they will invest in are power plants, power poles, transformers, distribution lines, and
communication systems. The utility companies recover these costs from their customers. For smaller
customers, a utility will sometimes include the demand costs in with the energy charge. This means a
customer would be paying a single rate for kWh which accounts for both energy consumption and demand.
But for larger customers who use the most power, these costs are captured through the demand charge.
Slide 9
Utility companies charge for the peak power during the month rather than the average power during a month
because they must have enough capacity to supply the peak load amount of power required by the
customer at any time during the entire month. Consider the example we used from part one where a kW
was equivalent to a person. Imagine the utility company had to supply 200 people for 1 hour at a moments
notice, but for the rest of the month they only had to supply 10 people. What would the other 190 people do
for the rest of the month? The utility has to keep them on staff because they might be needed at any time.
The utilities charge customers for the cost of keeping this reserve available. Instead of people, the reserve is
made up of equipment for producing and transmitting the energy, including the capital and operating costs.
Electricity demand charges typically look at the highest 15- or 30-minute average kW for the billing month or
a specific time of use period in the billing month. Gas and steam demand charges usually bill on the highest
daily total usage.
Slide 10
Demand charge structures can range from simple flat or block rates to complex seasonal, time of use
structures. While energy charges tend to be straightforward to calculate, demand charge calculations often
have more complex rules.
Lets work through a simple example of a demand charge for electricity. This is the portion of the customers
bill based on the maximum kW or kVA value in the billing month, and calculated under the applicable rate
schedule.
The monthly peak demand is registered as the rate of energy consumed over a specific interval of time,
generally ranging from five to 60-minute intervals. The most typical demand billing intervals are 15, 30, and
60 minutes respectively. This charge is independent of the energy consumed.
Slide 11
Assume the following rate definition:
The demand charge is based on the maximum 30-minute average demand in kVA. Tariff charges are
subject to a minimum of 100 kVA of chargeable demand. The demand price is 43.10 Euro / kVA
Assume a monthly maximum demand of 380 kVA
What is the demand charge?

The demand charge can be found by multiplying 380 kVA * 43.10 to get 16,378.00 Euro
Slide 12
Now lets work through a simple example of demand charge for gas.
Billing Demand is defined as the highest daily usage during the current month.
The demand rate is $2.035 per 100 cubic feet or Ccf of billing demand .
Assume a site uses 20,000 ccf of gas during a month, with a peak daily usage of 800 ccf.
What is the Demand Charge?
Multiply 800 times $2.035 to get $1,628.00
Now that we have a clearer understanding of demand charge, lets move on to discuss billing demand.
Slide 13
Unlike energy charges, which almost always bill strictly on the actual kWh consumed during the month,
demand charges often use a more complicated definition of the billing demand. Instead of simply using the
peak demand for the month, billing demand may be defined to only use the peak during a specific TOU
period. Or it may be adjusted based on a negotiated customer Contract demand, also called a Contract
Firm level, Subscribed Power, or Hired Power. It can be subject to a rate minimum demand level defined in
the tariff. It could be adjusted for a Ratchet, which is the highest demand in the previous year, or for a
power factor adjustment. We will discuss both of these components a little later in the course.
Slide 14
Here is an example of a more typical demand charge definition:
Billing demand is defined as the maximum demand during the On-Peak period in the month for which the bill
is rendered, but not less than 50% of the customers contract demand and not less than 1,000 kW.
Lets work through an example using this definition.
Assume a rate defines the Demand Charge as the sum of
On-Peak Demand Charge which is
$11.90 per kW For the first 2000 kW of Billing Demand per month
$10.90 per kW For the next 3000 kW of Billing Demand per month
$ 9.90 per kW For all over 5000 kW of Billing Demand per month
Plus
Excess Demand Charge of $ 0.95 per kW of Excess Demand
Excess Demand is the maximum demand during the month for which the bill is rendered which is in excess
of the Billing Demand.
Assume for a billing month of July, On-Peak period demand is 4,500 kW. Monthly peak demand is 4,820
kW. Contract demand is 5,000 kW. What is the demand charge?
Slide 15
First, calculate the Billing Demand. 50% of contract demand would be 2,500 kW, which is less than the
measured on-peak demand of 4,500 kW, so this clause doesnt kick in. The rate minimum of 1,000 kW is
also lower than the measured demand. So the billing demand is the metered on-peak demand of 4,500 kW.
Take the first 2,000 kW of billing demand and multiply it by $11.90 to get $23,800; Subtract 2,000 from
4,500 to get 2,500 and multiply by $10.90 to get a total of $27,250. Add that to the $23,800 to get $51,050.
The excess demand charge equals the monthly peak in excess of On-Peak which is 4820-4500 = 320 kW.
Multiply this by $ 0.95 per kW for a total of $304.
Add them all together to get a total demand charge of $51,354.
Next, lets discuss demand ratchet.
Slide 16
In order for utility companies to recoup some of the costs of providing electrical power, they will charge a
Demand Ratchet. This ensures that the customer is sharing a reasonable amount of the cost to provide
them with power.
The period for a demand ratchet varies depending on the supplier, but a common definition for a demand
ratchet is the highest demand recorded in the previous 12 months, including the current billing month. The
ratchet can be based on a specified percentage of the highest demand in the previous months. For
example, the greater of 60% of the highest demand in the previous 11 months and the current billing
months peak demand. There can also be seasonal clauses, for example, the peak demand recorded during
the months of June through September in the previous 11 months.
Slide 17
Lets look at an example:
Lets say that the demand ratchet is the highest demand in a 12 month period.
In month one, the peak demand was 20 kW and the billing demand was for 20 kW.
In month two the peak demand was 50 kW and the billing demand was for 50 kW.
In month three, the peak demand was 20 kW but the billing demand is still 50 kW. Because of the
ratchet, the demand charge will not go back down until twelve months have passed. This is why
avoiding setting a new peak is so important. When you set a new peak, you might be paying for it
for the next twelve months.
Slide 18
Demand Ratchets are meant to capture costs from customers who place a large demand on the system for
a short time during the year but do not sustain a consistent load throughout all twelve months. Utility
companies justify the demand ratchet charge because they have invested a large capital cost in the
infrastructure necessary to serve the customers peak load regardless of how frequently the customer
demands that load throughout the year. If we carry on with our example of people being kW, in this context,
the utility company is saying that they need to maintain the ability to deploy those 200 people at a moments
notice. The cost to the company is incurred all the time for the salaries and benefits and so must be passed
on to the customer.
We will work through an example of the actual cost of demand ratchet a little later on the course. Lets
move on to talk about Power Factor charges.
Slide 19
There are three types of power:
Real power (S) expressed in kW which is doing the work
Reactive power (Q) expressed in kVAR is not doing work, but is producing a magnetic field
Apparent power (P) is the combination of the two expressed in kVA
The relationship between the three is called the Power Triangle which is shown here.
Power Factor is the ratio of real power (kW) which does the work, to apparent power (kVA). Power factor is
a number between 0 and 1, usually expressed in percent, which is used to measure how effectively power is
being used.
If you would like a more in depth look at power factor, please take our course entitled Power Factor and
Harmonics.
Slide 20
The closer the Power Factor is to 1, or 100%, the more efficiently power is being used. A site with a power
factor of 1 has no reactive power therefore kW = kVA. The lower the power factor, the more reactive power
is being used.
Reactive power is used by induction motors, fluorescent light ballasts, transformers, and induction heaters.
If the utility is providing the reactive power, this creates inefficiency in their distribution network. The
alternative is for a customer to implement power factor correction at their site. Then the utility is not
providing as much reactive power.
Lets move on to take a look at Power factor charges and credits.
Slide 21
Utilities must supply apparent power. Simply charging a demand charge based on kW will not capture all of
the costs associated with the reactive energy. Any power factor less than 1.00 can incur a charge. Typically
though, rates will define penalties for a power factor of less than a specified percentage, say 85 or 90%.
Some rates will provide a credit for power factor above a specified target.
Reactive power charges or credits can be a separate charge item on a bill. For example, the rate may define
a charge of $0.76 per kVAR for peak kVAR in a month.
Slide 22
Lets look at another example:
There is a Reactive Energy charge for all kVARh in excess of 33% of kWh. The Rate is 2.5 cents per kVARh
for all excess kVARh
Assume the monthly metered energy is 100,000 kWh, and the monthly metered reactive energy is 50,000
kVARh
The Reactive energy charge is:
50,000 (100,000 * 0.33) = 17,000 kVARh. Then multiply that by 0.025 = $425
Slide 23
Another option would be to adjust the billing demand. For example, the rate may adjust billing demand when
the power factor is less than 80%. The billing demand will be the metered peak demand multiplied by 80
and divided by the average power factor expressed in percent.
Here is an Example:
The Monthly peak demand is 1,400 kW
The Power Factor for the month is 76%
What is the Billing Demand?
The Billing Demand would be 1400 * (80/76) = 1,473.68 kW
Lets move on to talk about fuel costs.
Slide 24
As would be expected, fuel costs vary tremendously over time. Utility companies are permitted to pass this
cost onto their customers without any additional mark up. The fuel costs are made up of the charges for
fossil fuels along with the costs for bringing the power into the utilities distribution system.
Generally, consumers will see the fuel costs reflected in the price per kWh with the title of fuel cost
adjustment. This charge is usually only a fraction of a cent. There are also times when the fuel cost will
show as a credit rather than a charge. This is reflective of those times when the cost of the fuel is lower than
the rate that is built in. Fuel costs, unlike general rate structures, will usually vary on a monthly basis.
Slide 25
Unless a customer is tax-exempt, most energy bills are subject to country, state, municipal, and sometimes
gross receipts taxes.
Slide 26
Now that we have a clear understanding of energy pricing and the components of an electric bill, lets look at
how to calculate an electric bill.
If you would like to work through this example on paper, please click the paperclip icon to download the
necessary information before moving on.
A large office building receives services from its electric utility at the general service rate structure shown
here.
Basic Service Charge:
1.10 Euro per day
Demand Charge: 15.30 Euro per kW
Energy Charge: 4.75 cents per kWh
Fuel adjustment 0.025 cents per kWh
Taxes
19% of entire bill
For billing purposes, the kW demand used in this rate schedule shall be the greater of the following:
1. The average kW supplied during the 15-minute period of maximum use during the month, as determined
from readings of the Companys meter.
2. 80% of the highest kW measured during the six (6) summer billing months (May-October) of the twelve
(12) months ending with the current month.
3. The minimum kW specified in the agreement for service or individual contract.
The electricity usage and contract values for this company for the month of November:
Energy Consumption:
150,000 kWh
Metered demand:
290 kW
Contract demand:
300 kW
Previous summer highest kW: 320 kW
If you would like to work through this example on paper, please click the paperclip icon to download the
necessary information before moving on.
Slide 27
To calculate the bill follow these steps:
Basic Service Charge: The month of November has 30 days, so multiply 1.10 Euro by 30 days to get 33.00
Euro.
Demand Charge: First, calculate the billing demand. 80% of the highest summer reading (80% * 320 kW) is
256 kW, which is less than the current month. However, the contract demand of 300 kW is higher than the
monthly metered value of 290 kW. So the billing demand is 300 kW.
Multiply the demand price by the billing demand: 15.30 Euro * 300 kW = 4,590.00 Euro
Energy cost: Multiply the energy consumption by the energy cost: 150,000 kWh x 4.75 c = 7,125.00 Euro
Fuel adjustment: Multiply the energy consumption by the fuel adjustment: 150,000 kWh x .025 c = 37.50
Euro
Add all the components together: 33 Euro + 4,590.00 Euro + 7,125.00 Euro + 37.50 Euro = 11,785.50 Euro
Add 19% tax of 2,239.25 Euro to get a total bill of 14,024.75 Euro
Slide 28
Lets work through another example which we will then use to calculate the cost of setting a new peak
demand. Assume the rate structure shown here:
Customer charge $123.25 per month
Demand charge applicable to all kw of Billing Demand
Summer $14.25 per kW
Winter $5.50 per kW
Billing Demand is defined as the maximum demand measured during the billing month, or 65% of the
maximum integrated thirty-minute demand during the billing months of June-September within the previous
12 months including the billing month, whichever is greater.
Energy charge:
Summer
first 20,000 kWh 5.8 /kWh
all kWh over 20,000
6.7 /kWh
Winter
first 40,000 kWh 5.8 /kWh
all kWh over 40,000
6.7 /kWh
Definition of seasons:
Summer season: June through September
Winter season: October through May
Power factor clause:
when the customers average power factor is less than 80%, the billing demand shall be determined by
multiplying the metered demand by 80 and dividing by the average monthly power factor expressed in
percent.
The fuel cost adjustment has a published rate that varies per month
Slide 29
Using the rate information and the usage and billing information we have outlined here, lets calculate the bill
for September.
Actual demand
220 kW
Consumption
100,000 kWh
Previous high billed demand (June) 300 kW
Power factor
75%
Sales tax
8%
Fuel adjustment
0.65 /kWh
First lets find the demand charge. Billing demand in this tariff is the maximum of the month, with a
correction for low power factor, or 65% of a previous peak. Lets see which is greater.
Demand corrected for power factor = (actual demand) x (80/PF) = 220 kW x (80/75)= 235 kW
The previous peak was 300 kW. (300 kW) x (0.65)= 195 kW
Billing Demand = the maximum of the two, so 235 kW for the month of September.
In order to find the demand charge, keeping in mind that this is the Summer season, you would need to
multiply the billed demand by the applicable demand charge. 235 kW * $14.25 = $3,348.75
Slide 30
Next, find the energy charge by multiplying the consumption for the month by the block energy rates,
keeping in mind we are looking at the summer block sizes and prices:
20,000 kWh * five point eight cents which is equivalent to point zero five eight dollars plus the remainder
(80,000 kWh) * six point seven cents which is equivalent to point zero six seven dollars= $6,520.00
For the fuel adjustment, multiply the total consumption for the month by the fuel adjustment rate for the
month:
100,000 kWh * point six five cents which is equivalent to point zero zero six five dollars = $650.00
The customer charge is a flat fee of $123.25 a month.
The total charges before taxes are found by adding the demand charge, the energy charge, the fuel cost
adjustment, and the customer charge.
$ 3,348.75 + $6,520.00 + $650.00 + $ 123.25 = $10,642.00.
The sales tax of 8% would add $851.36 for a total bill of $11,493.36.
Lets move on to look at how the demand charge and demand ratchet affect an electric bill.
Slide 31
It is important to understand what effect setting a new peak demand can have on electric bills. It can affect
not only the demand charge for the month the peak is set, but in the case of ratchet demand, the electric
bills for the following year.
Lets look at an example of the money associated with setting a peak. We will build off of the previous
example. Table 1 shows a normal year. Lets say their maximum peak demand ranges from about 200 kW
during the winter months to 300 kW in the summer months. Calculate the missing values for June in cells
one through four.
In the first row, the demand corrected for power factor is 300 kW x (80/75)= 320 kW and goes in cell 1
65% of the previous peak is only 195 kW, so 320 kW is the larger value and goes in cell 2.
The summer demand charge is $14.25 per kW, so 320 x 14.25 = $4,560 and goes in cell 3.
With tax of 8% the value in cell 4 is $4924.80.
Now calculate the charges for January, and add up the total demand charge for the year.
Slide 32
Your table should now look like this, with a final total of $26,821.80.
If you dont have this number, go back and check how you calculated the charge for January. In this month,
the demand even once corrected for power factor was lower than 65% of the previous peak. So the billed
demand was 195 kW. Also, remember that this is the winter, so the demand charge is now $5.50 per kW.
Slide 33
Lets look at this table again with a different scenario. In June, an operator mistakenly started a large
machine during peak hours, setting a 500 kW peak. What was the effect of setting this peak?
For one, this peak increased the demand charge for that month. Recalculate the demand charge for June.
How much is the difference?
Slide 34
Corrected for power factor the actual demand was 533. That pushed the bill for the month up to $8,208.00
an increase of $3,283.20 caused by a few minutes of operator error.
But the damage doesnt end there. Now recalculate the demand charge for January. How much is the
difference?
Slide 35
Your table should look like this, with a January charge of $1,930.50. The effect of the 500 kW peak in June
is that each month, the demand charge is fixed by the ratchet. In January, that cost $772.20 in additional
fees.
If you add up the effects over the full year the difference is $11,835.45.
So although the immediate cost in June was an increase of little over $3,000, the total impact is more than
$11,000. The demand charges for the year went up by about 44%
This is why it is so important to avoid setting peaks if your tariff includes a demand ratchet.
Slide 36
It is important to look at how the right rate can be selected based on the usage pattern to keep energy costs
low. For example, a facility with energy usage during off-peak hours might benefit from being on a Time of
Use rate.
We have shown how reducing demand or refraining from setting a new peak can significantly impact electric
bills, especially when looking at the cases of ratchet charges.
Here are some other potential cost reduction opportunities that can be considered.
Slide 37
If you are on a Time-of-Use rate and have some flexibility in your hours of usage, you may be able to reduce
energy costs by shifting load from On-Peak to Off-Peak hours. Lets look at an example of potential
savings.
Suppose the TOU rate has a demand price of $18 per kW of On-Peak demand, and energy prices of
$0.15/kWh during On-Peak period. The On-Peak period covers 6 hours (2pm-8pm) on weekdays. The OffPeak energy price is $0.08/kWh during Off-Peak hours. Lets see how shifting 500 kW of load from on-peak
to off-peak would help with monthly savings.
Slide 38
Shifting the load will reduce your On-Peak demand value by 500 kW. The savings associated with this is
500 kW times the demand price of $18 per kW, so a monthly savings of $9,000.
Shifting will also reduce your energy costs. Say there are 20 weekdays in your billing month. The amount
of energy shifted from On-Peak to Off-Peak would be 500 kW times 6 hours per weekday times 20
weekdays, so a total of 60,000 kWh per month.
The difference in the energy price between On-peak and Off-peak periods is 7 cents per kWh. Multiply this
by the 60,000 kWh shifted from On-Peak to Off-peak period to get your energy savings of $4,200 per month.
The potential savings of shifting 500 kW of load from On-Peak to Off-Peak hours would be $13,200 per
month.
Slide 39
For rates with Power Factor charges, taking steps to correct power factor to get it closer to 1.00, and at least
over the percentage threshold where any penalties are charged, can provide monthly savings.
Lets look at an example. A site with energy-intensive production has a peak demand of 50 MW. The tariff
says that billed demand is adjusted for power factor below 80%.
With a Power Factor of 75%, and a Demand price of $14.25/kW lets calculate the cost.
The Adjusted Billing Demand can be found by multiplying the actual demand by (80/PF).
So multiply 50 MW x (80/75)= 53.33 MW
This tells us that the site is paying for 53.33 MW of billed demand, but their real demand is 50 MW. The
difference is found by subtracting 50 MW from 53.33 MW to get = 3.33 MW.
If they raised their power factor to at least 80%, they would not have to have that adjustment.
$14.25 per kW * 3.33 MW * 1000 kW (which equals one MW)= $47,453.00 per month
You can see why large sites with energy-intensive processes take care to manage demand and power
factor!
Slide 40
Lets talk about choosing the right contract demand or Subscribed Power values.
Subscribed or hired power is an annual contract kW value, often one per TOU period. The Power Cost, or
demand charge, is calculated based on subscribed power and price. You will be charged for your contract
demand value, even if your monthly peak demand is less than the contract demand. However, there are
often penalties associated with monthly peak or even interval demand values that exceed the subscribed
power.
If a facility is frequently exceeding its subscribed power and incurring penalties, you can investigate the
possibility of negotiating new contract values. Since monthly demand charges are calculated using
subscribed power instead of peak demand, you wouldnt want to set these too high.
Say your monthly demand price is 10 Euros per kW of subscribed power. If you have excess power
penalties of 400 Euro for each of the four winter months, you are paying 1,600 Euro per year in penalties. If
you can offset these penalties by increasing your subscribed power by 10 kW, you will pay an additional 100
Euro per month in demand charges (1,200 Euro per year), but have a savings of 400 Euro over the year.
Slide 41
Finally, lets discuss Real Time Pricing Response with Generation
Similar to the TOU rate example discussed previously, customers on RTP rates have the potential for
considerable savings if they can move energy from high price periods to low price periods, or reduce energy
use during high price periods. One way that customers can accomplish this is through on-site generation.
When notified that the market price will exceed the cost of power generation, switching to generated power
during the high price periods can offset the energy costs during these times.
Lets look at an example.
In California, the cost of energy varies dramatically from season to season, even from day to day, because
of the different temperatures. As with any other locations, when it gets hot, more people will run their air
conditioners and fans. This increase in use heavily loads the electric grid. In order to try to avoid overloading
the grid, suppliers increase the cost of power as a way of encouraging customers to either turn off their nonessential equipment or to use other sources of electricity.
For this example, we will use a customer who has a generator on site. The current price of energy under
normal conditions is around $60 per MWh. The cost of utilizing the generator is $120 per MWh. Therefore, if
the company were to run their generator to supply their power under normal circumstances at this time it
would cost them more money.
But, if there is an increase in the temperature causing a heat wave, this would cause the cost of energy from
the utility company to go up. If the cost for energy went up to $450 per MWh, the total cost to the company
would increase dramatically. The power available through their generator, however, stays the same, so it
makes sense to switch to on-site generation.
Note however, that there may be local emissions regulations that restrict the number of hours per year that
on-site generation can be operated.
Slide 42
Lets take a moment to review what we have covered in this course.
Understanding facilities energy use allows for adopting cost reduction strategies and provides the
possibility of moving to a different rate structure
An electricity bill is made up of a number of different components.
The customer service charge is a fixed monthly charge that is based on costs for service
connections, metering equipment, meter reading, billing accounting and other administrative costs
The energy charge is based on total energy consumed in the billing month and calculated under
applicable rate schedules with rate structures ranging from simple, flat, or block to complex
seasonal, TOU, or RTP rates
Demand charge is what utilities use in order to recoup the costs of maintaining necessary capacity
as well as ongoing infrastructure costs
The billing demand is a more complicated form of calculating a bill that may be defined to only use
the peak during a specific TOU period or it may be adjusted based on a negotiated customer
Contract demand, also called a Contract Firm level, Subscribed Power, or Hired Power
Demand ratchet is the practice of billing each month for the highest demand set in a previous
period, which may be up to a year
Setting a new peak demand can affect not only the demand charge for the month the peak is set,
but in the case of ratchet demand, the electric bills for the following year
Utilities may bill for low power factor, since if the utility is providing the reactive power this creates
inefficiency in their distribution network. Reactive power charges or credits can be a separate
charge item on a bill. The alternative is for a customer to implement power factor correction at their
site to get power factor closer to 1.00, and at least over the percentage threshold where any
penalties are charged. Then the utility is not providing as much reactive power, and the consumer
obtains monthly savings
Unless a customer is tax-exempt, most energy bills are subject to country, state, municipal, and
sometimes gross receipts taxes.
It is also important to look at how the right rate can be selected based on the usage pattern to keep
energy costs low. If you are on a Time-of-Use rate and have some flexibility in your hours of usage,
you may be able to reduce energy costs by shifting load from On-Peak to Off-Peak hours. For rates
with Power Factor charges, taking steps to correct power factor to get it closer to 1.00, and at least
over the percentage threshold where any penalties are charged, can provide monthly savings.
Customers on RTP rates have the potential for considerable savings if they can move energy from
high price periods to low price periods, or reduce energy use during high price periods. One way
that customers can accomplish this is through on-site generation
Slide 43
Thank you for participating in this course..
Energy Procurement I
Slide 1
Welcome to Energy Procurement I: Options in Regulated and Deregulated Markets
Slide 2
This module was produced with the support of Viking Energy Management.
Slide 3
This class gives a general overview of the supply chain and the characteristics of the markets. The
specifics in a particular country or state can be very different, and cannot all be described in a class of this
length. This class will ground you in the topic, and enable you to better understand the information
published by the suppliers, regulators or government covering your specific region.
This course continues in Energy Procurement II, which covers strategies for minimizing price variance
through hedging in deregulated markets.
Slide 4
Slide 5
Define the roles of the main players in the energy supply chain
Explain the major differences in regulated and deregulated markets, and you will be able to
List the main options available for optimizing energy procurement
Slide 6
The procurement of energy such as electricity, natural gas, fuel oil, coal, etcetera is becoming a major part
of the energy managers job. Unprecedented volatility in todays energy markets has wreaked havoc on the
profit margins and bottom lines of many industrial companies.
Just as prudent companies manage and hedge foreign exchange and interest rate exposure, in todays
unpredictable energy markets, diligent companies pay equal attention to energy price exposure. The
purpose of this course is to raise awareness of the available options for energy procurement.
Slide 7
A building or industrial facility may use several different types of energy. Two of the most common are
electricity and natural gas.
Other possibilities include coal, and oil-based fuels, such as gasoline, diesel, and fuel oil (#2 or bunker oil).
Steam and compressed air are also considered as types of energy, based on their ability to do work by
providing heat or motive power.
In this course, we will focus on purchasing of electricity and natural gas.

Slide 8
Whether you are buying gas or electricity, the supply chain is broken down into four major components
Production, Transmission, Distribution and Supply
Slide 9
In the case of Gas
A producer for gas is a well owner who brings gas to the surface as well as cleans/prepares it for
transportation in a pipeline
Transmission is performed by pipeline operators pipeline companies which are usually regulated
by country government
o They provide tariff based services for the movement of natural gas from the point of
production to the city gate
The local distribution company (LDC) brings gas from the interconnection of the long distance
transmission pipeline to your gas meter
The supplier actually sells the gas to you

o They take care of buying the gas from a producer, organizing transmission and
distribution contracts, as well as billing you for the gas
Slide 10
As we will see, some of these roles may be performed by the same entity. Your gas supplier may be a local
distribution company that owns the local storage facilities and gas distribution network. They buy the gas,
deliver it and bill you for it.
On the other hand, your gas supplier may be an independent, unregulated vendor who buys gas at any
point along the chain (production, pipeline or at the city gate) and has it delivered to your meter via the LDC.
Then your supplier and the local distributor are not the same entity.
Slide 11
The case of electricity is similar:
A producer now is a generator of electric power; for example: a coal, oil or gas fired power station,
or a wind or solar farm
Transmission is performed by a transmission system operator who supports and manages the long
distance high voltage transmission grid, typically down as far as the primary substation
The local distribution company manages the medium voltage network from the primary substation through
secondary substations and finally to the incomers of residences, buildings and industrial sites
The supplier actually sells the electricity to you
-They take care of paying the generator to produce the electricity, paying the transmission and distribution
operators to ensure power is available at your location, and billing you accordingly
Slide 12
In some countries, the same entity performs all of these functions generating power, transmission,
distribution, and retail sale. In other cases, these roles are performed by different entities, so your supplier
could be an independent power supplier who buys power on the open market and has it delivered to your
meter via the transmission network and local distribution network.
Slide 13
The natural gas and power markets can be divided into two categories, regulated and deregulated.
In a regulated market, a utility service provider of gas, power, etcetera is granted a monopoly right to serve.
The production, transmission, distribution and supply may all be the same company, and there is only one in
the region. This monopoly right is subject to the requirement that all customers be served at prices based
on the standard rate class, regardless of the cost to serve. In other words, the utility cannot cherry-pick
customers. This monopoly is overseen by a Board of Regulators who set allowable rates of return for the
service provider.
Slide 14
Deregulated markets are ones that have been opened to competitive supply. Examples of countries with
deregulated markets include the United States, Great Britain, Norway, Sweden and Denmark. In a
deregulated market, the major components in the supply chain are independent companies. A wholesale
producer generates power or extracts gas that is bought by a marketer.
Slide 15
In a deregulated market, the marketer sells the power or gas to a consumer, however there are multiple
marketers to choose from, so a consumer can shop around. The transmission network or gas pipeline is
managed by a separate company, and so is the local distribution network. The marketer sets up a contract
to have the electricity or gas delivered over the transmission network or pipeline and then the local
distribution network to finally reach the customer facility.
Slide 16
When we speak of deregulated markets, effectively, there are two markets for energy, wholesale and retail.
The wholesale market is where producers sell their energy commodity. The buyers may be speculators,
very large energy consumers, or suppliers who buy energy for resale in the retail market.
The retail market is where most consumers buy their energy.
Slide 17
Its possible for the wholesale market to be deregulated, while the retail market is still under regulation. In
this case, your local electricity or gas supplier would buy power or gas on an open wholesale market. If the
retail market is still regulated, when they sell the electricity or gas to you, they would be the monopoly retail
supplier. A regulator would provide oversight to protect you from their monopoly position.
On the other hand, the retail market may be deregulated as well. In that case, you have the ability to shop
around among suppliers.
Slide 18
If a market is deregulated, how can suppliers get power or gas to the consumer? No-one can afford to build
new transmission or distribution infrastructure in parallel with the existing ones and even if they could,
planning permission to route new power and gas lines would be impossible.
In a deregulated wholesale market, the transmission system operators must allow equal access to the
transmission lines for all electric generators, not just the generation produced by their affiliated generating
companies. The same is true for gas. Pipeline operators must allow access to all producers. Generally this
is overseen by country (federal) government.
If the retail market is deregulated, the local distribution operators are generally overseen by the country,
state, region or province.
Slide 19
What drives deregulation?
Technically, deregulation is a misnomer. Governments are not abandoning their authority and throwing
consumers into a Caveat Emptor (Let The Buyer Beware) situation in purchasing utility service. The more
proper description is market restructuring. However, the term deregulation has taken hold in our
nomenclature, and so we will use it in this course.
Slide 20
Historically, electricity prices have varied by a factor of two to one or greater, depending upon where in the
country the power is purchased. These major differences even occur in utility jurisdictions that are adjacent.
Consumers who are physically next door to each other, but separated by the boundary and supplied by
different utility companies, may receive energy at totally different prices. The cost of power has varied
because of several factors, some of which are under the utilities control and some that are not, such as:
Decisions on projected load growth
The type of generation
Fuel selections
Cost of labor and taxes, and
The regulatory climate
Slide 21
All of these factors contribute to the range of pricing. Customers have been clamoring for the right to choose
the supplier and gain access to cheaper power and gas for quite some time. This has driven legislators to
impose utility deregulation, often with opposition from the incumbent utilities. Many believe that electric
deregulation will even out the differences and bring down the total average price through competition.
Slide 22
There are others that do not share that opinion. Most utilities are already taking actions to reduce costs.
Consolidations, layoffs, and mergers are occurring with increased frequency. As part of the transition to
deregulation, many utilities are requesting and receiving rate freezes and reductions in exchange for
stranded costs. Stranded costs are costs that utilities incurred to build assets to serve regulated customers.
They believe they should be able to recoup these costs, even if they are now priced above market. In
deregulation, states establish a new regulatory framework for the retail sale of energy, covering, among
other things, the method of coordinating the production of power, the availability of operating reserves, the
alternatives offered to retail customers by marketers, and the transporting utilities.
Slide 23
How does a regulated market work?
Under a regulated market structure, the service provider is typically in a monopoly position. To prevent the
provider from overcharging customers, he is not free to set his own price. Instead, he is allowed to earn a
defined rate of return on the company assets such as generators, power plants, transmission lines,
etcetera.
Slide 24
The service provider is held to the rate of return (or RoR) by the regulator. The revenues are based on rates
incorporating the cost of service plus margin to obtain the RoR. The cost of the commodity (the gas
supplied, or the fuel used to generate electricity) is then added to the published rate as a fuel adjustment.
The utility has an obligation to be prudent and make efforts to buy fuel wisely and manage price risk, but in
general, price increases and decreases flow through to the end user.
Slide 25
Any incremental cost associated with serving new customers, new transmission lines or lateral gas pipelines
are added to the rate base and the utility is allowed to earn a return on that incremental investment.
Essentially, everybody in the rate base helps pay for the expansion of the utilitys infrastructure. There may
be exemptions for major, customer specific construction projects where the customer is directly billed for the
equipment, for example, the installation of substations
Slide 26
Regulators seek to discourage the volatility of prices, oversee the regulated suppliers rate of return and
costs allowed into the rate base. If the utility fails to operate prudently, for example if they fail to buy fuel
wisely or pursue risky strategies, the regulator may step in and force the utility to absorb some of the costs
incurred, instead of passing all the cost to the consumer.
Regulators include the Australian Energy Market Commission in Australia, the Energy Market Authority in
Singapore, the Energy Community in Europe, and the Nordic Energy Market for Nordic countries. In the
United States, the large investor owned utilities are regulated by a Public Utility Commission or Public
Service Commission.
Slide 27
In the unregulated market, as we saw previously, the roles of supplier, local distribution, transmission and
production are performed by different entities. The transmission and distribution operators are still in a
monopoly position because its not feasible to construct competing networks. So their service prices are still
subject to regulation.
However the consumer is free to shop around for the power or gas itself.
Slide 28
The customer may have two contracts and receive two bills. One bill will be from the commodity supplier for
the fuel or power and transmission to the point of delivery to the local distribution company. The second bill
will be from the local distribution company for transporting the commodity over the local network.
For the convenience of the consumer, some suppliers may put all of these charges on one bill. The amount
paid covers the supplier to pay for the commodity as well as to make payments to the transmission and
distribution companies for the service provided, plus his own margin.
Note that that the distributor role in the supply chain essentially earns the same amount of money in an
open or closed market they make their money on the transport of commodity, not the commodity itself.
Slide 29
The key difference is in the regulation of energy price. In a regulated market, we saw that if the utility fails to
operate prudently, the regulator may step in and force the utility to absorb some of the high cost energy
commodity. There is a protection mechanism to prevent consumers paying for any failure on the part of the
utility to manage their purchasing.
In a deregulated market, consumers can choose to buy their energy from multiple providers, and so they are
not at the mercy of a single utility. Hence the regulator does not protect them. If the price of gas goes to
100, customers buying spot gas will pay 100. The regulator will not step in and provide regulatory relief or
protection.
Slide 30
In a regulated marketwhether youre talking about natural gas or electricitytariffs help to manage the
utility risk; drive customer behavior; and optimize utility profitability. You have no choice of supplier, but what
you can do is ensure that you are buying under the tariff that is most appropriate to you.
Slide 31
When purchasing gas from a regulated utility, the contract and tariff will address the following:
Firm or interruptible service
Balancing and shortage
Fuel
Storage and distribution charges
Lets investigate each one in more depth.
Slide 32
With firm or interruptible service, the LDC benefits from having customers who can tolerate interruptions,
because it gives them some flexibility in handling peaks of demand. Interruptible service customers may
qualify for a discounted rate. You may be able to define a minimum daily quantity that you can still take
even during an interruption. The disadvantage is that you must have non-critical loads that you can turn off
during an interruption. If you take more gas than agreed, you may be penalized by a higher rate during the
interruption period.
Slide 33
When it comes to the issue of balancing and shortage, the LDC has to buy enough gas to maintain pressure
in their distribution network. They like predictable loads, because then they can organize sufficient
purchasing well ahead of time.
Customers who unpredictably use a lot of gas on rare occasions create difficulties, because the LDC may
have to buy gas at spot prices to keep up the pressure and meet supply requirements.
The price of gas changes every day, anddepending on the spot pricethis can be very expensive.
Slide 34
Customers who use more gas on high priced days and less gas on lower priced days may be subject to
penalties. The utility may balance on a daily or monthly basis with different customers being required to
meet different balancing thresholds depending on the size of the gas load. The tariff will include terms and
conditions dealing with the load patterns. Customers with even, predictable loads may benefit from lower
rates.
Slide 35
Fuel usually means the amount of gas the utility will bleed off to run their compressors and keep the system
pressure up. It is normally a volumetric percentage of the bill.
Storage and distribution charges are fixed by the regulator.
Slide 36
When looking for an electricity tariff, you should consider elements such as subscribed power, peak demand
charges, demand ratchets, real time rates, time of use rates, interruptible rates, power factor charges and so
on. These all deal with similar issues as gas supply.
Note that in the regulated markets, users are typically charged separately for energy consumption and
demand. Deregulated users may be charged on an energy-only rate. Then the demand is factored into the
price per kWh.
See our classes on Energy Rate Structures I and II in order to learn more about these concepts.
Please Note: Utilities may have several rates and it can be difficult to understand exactly how they might
affect your energy bills. Energy advisory services can help show you the pros and cons of each rate.
Slide 37
In a deregulated market delivery service and energy supply are unbundled. You have options for the service
provided by the local distributor, as we just discussed when we looked at tariffs in a regulated market. You
can choose between firm and interruptible service. In addition, you have more options for buying energy,
and can decide whether to buy at a firm price, or a more potentially risky floating price.
Slide 38
Your options will be governed by:
What type of fuel you want to buy. Can you switch between types to optimize costs such as natural gas and
heating oil? When you want to buy. Market prices vary dynamically. Placing your contracts ahead of time
will affect the price you can obtain. How much you want to buy. Typically larger purchasers can negotiate
better rates. If you have multiple sites, you may be able to aggregate their purchasing power. And finally,
who you buy from will also govern your overall options.
In a deregulated market that could be:
Local distributors / utility
LDC marketing department
Gas/power marketers or brokers
Aggregators
Power pool/exchanges
Slide 39
In addition you have the option to generate your own electricity using fuels such as diesel or natural gas as
well as the option of using solar or wind power, depending on your location."
Also, depending on the fuel and local regulations, you may be limited by emissions regulations in the total
number of hours that you can run your own generation. But it can be especially useful if you select a timeof-use rate for power, since at high-cost times of day, you can use your own generator instead of power from
the utility.
Slide 40
Lets look at each of these supplier options in turn
Your first option is with the local distributor. The LDCs main purpose is distribution of gas or electricity in
the region, and since the market is deregulated, they can make contracts to move energy with any supplier.
They may also act as a supplier selling energy under a number of rates.
In effect you are then buying a bundled service under a published tariff, which may be firm or interruptible.
The advantage of this is simplicity. The disadvantage is that you have no influence over the price. The LDC
will purchase power or gas for their collective customer base and individual consumers have no bearing on
the purchasing activity.
Slide 41
Gas or power marketers are independent suppliers who buy energy on the wholesale market and sell it to
consumers. Here independent means they are independent from the transmission and distribution
organization. They may be producers, or entities spun off from transmission companies.
They sell you the energy and organize the transmission and distribution of energy with the pipeline/grid
companies and LDC. The advantage of this approach is that you can control your purchasing strategy to
balance risk with price. For example, you can choose to buy some or all of your requirements at the
prevailing market spot price. Or you can buy ahead of time at a fixed price.
The disadvantage is that if the marketer ultimately cannot deliver, for example due to an unexpected, large
upward price swing, he may default on the contract.
Slide 42
Brokers, are in effect, middlemen who bring together a marketer and a consumer. They do not buy or sell
energy themselves.
Be aware that marketers or brokers are not under any obligation to obtain the best price for you. Marketers
make their money from margin on the commodity that they sell to you and therefore, their interest is to
lock you in at the longest contract that you will accept at the highest price.
Slide 43
Another option is the LDC marketing department. The same companies that own local distribution assets,
also may have a marketing department which can buy energy and sell it to individual consumers, in the
same way as independent gas or power marketers.
In countries where this is permitted, they are typically required by law to have an arms length relationship
separating the marketing activity from the LDC operations.
They have to be competitive with other energy marketers and they must not get any special treatment from
the LDC. Since they do not have any preferential position for buying, transmitting or distributing energy,
they often cannot procure the commodity any more cheaply than other marketers. The perceived
advantage is the familiar relationship with the LDC.
Slide 44
An aggregator is a type of marketer who combines the gas or power needs of multiple consumers to obtain
buying power. They then sell the purchased energy with terms and conditions that are more favorable than
can be achieved by the individual contracts.
Slide 45
Power pools and exchange operators provide an energy product sourced from a variety of generators.
Generators offer their power into the pool, and compete on price to have their generation purchased.
Unlike a power marketer, a power pool operator stands between the generator and the consumer
guaranteeing the performance of the power pool. By contrast, a power marketer represents a purely
bilateral transaction in other words a simple sale where the marketer is the seller and the consumer is the
buyer. The marketer does not guarantee performance.
Slide 46
Here is a chart that summarizes the supplier options.
Slide 47
If you are a very large gas consumer, you may have a transportation option that is not typically available to
the average customer.
Generally speaking, there are only two ways to get gas from the pipeline to your meter you must either
pay a tariff to the LDC or you could connect directly to the pipeline.
Depending on the country, it may be possible for a consumer to contract for gas supply transportation
service and become a registered shipper.
Slide 48
In this case, the consumer buys gas from a specified market hub, requests transportation capacity on an
intra- or inter-state pipeline, and manages the movement of gas on the pipeline for delivery to the city gate.
From that point, the consumer takes ownership of the gas and moves it on their own pipeline to their facility.
Slide 49
In this way, the consumer can make savings by cutting out the middleman : the gas can be purchased
directly from the producer on the open market, and the LDC is not used. Only the pipeline company has to
be paid for the transmission service, and the consumers own pipeline has to be maintained. However, the
disadvantages are that the consumer has to manage the complexities of the transportation arrangements.
Slide 50
When you buy energy in a deregulated market, there are a variety of common pitfalls. These include:
Exposure to energy price volatility that has not been identified or quantified
Energy that is managed locally with no corporate oversight
Procurement decisions that are made by personnel without knowledge of the energy market
Contracts renewed based on expiration, not market conditions
Contract renewals that embed long term risk premiums to vendors
A conviction that hedging is speculative in nature
Slide 51
Energy markets are among the most volatile commodities traded anywhere. Electricity and gas prices
change by the minute, and can be bought or sold on the open market for immediate delivery or for future
terms, from one day to as far forward as someone is willing to trade.
Slide 52
In order to successfully manage costs in this market, it is critical to apply commodity-based market
purchasing strategiesor as it is commonly known in the industry: hedging. Energy price risk
management and hedging programs quantify exposure to adverse events and mitigate the impact of those
events on financial results.
Slide 53
The immediate inclination of most new participants is to seek the lowest price. However, this target implies
that the most risk must be taken in hopes of achieving a price at a market low point. In many organizations,
when goals are evaluated it becomes clear that the true goal is to have acceptable and reliable prices at
low/moderate risk.
In Energy Procurement II, well look in more detail at hedging, and see how it helps avoid the pitfall of the
lowest price at the highest risk.
Slide 54
Lets wrap up with a brief summary.
Today, we defined the roles of the main players in the energy supply chain: production, transmission,
distribution, consumption and supply.
We explained the major differences in regulated and deregulated markets:
In regulated markets, power and gas suppliers are allowed to earn a specified rate of return on
their assets
They buy energy commodity and pass the cost through to the consumer
In deregulated markets, transmission, distribution and supply are unbundled
Consumers can buy energy from independent suppliers
Transmission and distribution companies must allow equal access to their networks
And we listed the main options available for optimizing energy procurement:
In a regulated market, take care to select the correct tariff
In a deregulated market, take care to establish your goals and implement a purchasing strategy to
match
Please join us for Energy Procurement II, which covers strategies for minimizing price variance through
hedging in deregulated markets.
Slide 55
Energy Procurement Part II: Introduction to Hedging in Deregulated Markets

Slide 1
Welcome to Energy Procurement Part II: Introduction to Hedging in Deregulated Markets. If you have not already done so,
please take Energy Procurement I: Options in Regulated and Deregulated Markets. This course covers the players in the
energy supply chain that you will need to know in order to get the most from this class.
Slide 2
Slide 3
For best viewing results, we recommend that you maximize your browser window now. The screen controls allow you to
navigate through the eLearning experience. Using your browser controls may disrupt the normal play of the course. Click
the Notes tab to read a transcript of the narration.
Slide 4
Explain the difference between spot and forward markets
Describe how hedging reduces your risk, and you will be able to
Define the meaning of fixed and index-based contracts
Slide 5
Since the early 1990s, gas and electric markets have been deregulated in many areas, and that trend is continuing. In
deregulated areas, commodity markets for energy have evolved. These markets are among the most volatile
commodities traded anywhere. Electricity and gas prices change by the minute, and can be bought or sold on the open
market for immediate delivery or for future terms, from one day to as far forward as someone is willing to trade.
Slide 6
Power can actually be purchased by the hour. Prices in the spot market can range from close to zero up to thousand of
dollars or Euros per MWh. The forward market experiences less price volatility. Changes in price here are not so
dramatic however, since a contract is a long term commitment, the cumulative effect of the price over the whole contract
period can be much greater. Three to five years tends to be the practical limit for most fixed-price arrangements.
Slide 7
Energy prices touch all aspects of a business. Manufacturing expenses embed energy costs. Inbound and outbound
freight costs are directly affected by the price of fuel. Raw materials, feedstocks and bought-in components are impacted
by the cost of energy to extract, provide or produce them. Selling, general and administrative charges (SG&A) are also
affected by the energy required to furnish the workplace or used in travel.
Slide 8
The procurement of energy is becoming a major part of the energy managers job. Unprecedented volatility in todays
energy markets has wreaked havoc on the profit margins and bottom lines of many industrial companies. Just as prudent
companies manage and hedge foreign exchange as well as interest rate exposure, in todays unpredictable energy
markets, diligent companies pay equal attention to energy price exposure. Prudent corporate management dictates that
risks be identified, quantified and mitigated. An on-going Energy Risk Management program can provide for more
predictable budgeting and insulate future earnings from the unpredictable effects of volatile energy prices.
Slide 9
When you buy energy in a deregulated market, there are a variety of common pitfalls. These include:
Exposure to energy price volatility that has not been identified or quantified
Energy that is managed locally with no corporate oversight
Procurement decisions that are made by personnel without knowledge of the energy market
Contracts renewed based on expiration, not market conditions
Contract renewals that embed long term risk premiums to vendors, as well as
A conviction that hedging is speculative in nature

Slide 10
To remedy these common errors, prudent energy managers:
Analyse the impact of energy price on the bottom line of their businesses, and know the impact of price changes of
5, 10, 25 or 50 percent. For example, during 2007 in some countries petrol prices varied by over 50 percent.
They will implement a corporate policy for energy purchasing to avoid local decisions with sub-optimal results
Invest in understanding of the drivers of the energy market and the common range of price variation
They will only issue contracts after evaluating the best options available in the market
They understand the effect of long term risk on contracts, and they
Use hedging to reduce risk in line with corporate goals

Slide 11
Where is energy bought and sold? There are a variety of commodity exchanges worldwide. The New York Mercantile
Exchange (NYMEX) is the worlds largest. In Asia, the Singapore Commodity Exchange (SICOM) is well known. The
former International Petroleum Exchange (IPE) based in London is now part of Intercontinental Exchange (ICE). There
are also over the counter or OTC markets, where energy is traded in a dealer network, as opposed to a centralized
exchange.
Slide 12
An energy buyer has two primary options:
Buy on the spot market, or
Buy on the forward market
Buying on the spot market means that you have buy at the current market price for delivery immediately, or in the very
near future, typically one month or less. Buying in this way, you may secure a very low price, or a very high price, or
somewhere in between. This is a risky approach to energy purchasing. You can watch the market and try to buy when
the price is low, but if you cant delay your purchase any longer, you may have to buy when the price is high. Buying on
the forward market means that you establish a contract for future delivery of the commodityat a price which may be
fixed or index-based.
Slide 13
A fixed price contract is just what it sounds like. For example: Today I commit to buy 5000 decatherms for delivery in
October 2014 at a price of $5.26 per decatherm. This is a take or pay contract. This means if the spot price changes,
you cant change your mind and switch over to buy on the spot market. You are committed to the purchase and
regardless of whats happening in the spot market at that time, you must take delivery and pay for the gas under the
agreed terms, or pay a penalty. An index-based contract is a bit more complex. For example: I commit to buy 5000
decatherms for delivery in October 2014 at the index price + 3 cents per decatherm.
Slide 14
Typically, marketers will offer fixed price contracts or market index-priced contracts over a number of years. The indexpriced contracts typically offer a discount to the fixed price contract. In rising markets, fixed price contracts are more
popular. Buyers think they will avoid future price increases by locking in a fixed price. In stable or falling markets,
indexed price contracts tend to be favored. Buyers think they will take advantage of lower prices in the future by building
in a floating price.
Slide 15
An example of an index is the Gas Daily daily price index. Gas Daily is a trade paper that publishes natural gas prices
for each day of trading for approximately 70 locations across the United States and Canada. Alternatively, an index might
be based on the trading during the last few days of a month. You can think of a home mortgage as a way to understand
fixed price versus index-based purchase contracts. If you have a fixed rate 15 year mortgage, you know exactly what your
interest rate is going to be throughout those 15 years. Its low risk. You might not be getting the lowest interest rate, but
you know what you are getting and you can plan your budget accordingly. The same is true with a fixed price energy
contract.
Slide 16
If you have an adjustable rate 15 year mortgage, your interest rate will vary depending on the base rate in the country. If
interest rates are low, you could be paying less than on a fixed rate mortgage. But if the interest rate goes up, you will
have to pay the difference. The same is true with index linked purchase contracts. If you have an index-linked contract to
buy gas, your price will change periodically depending on the price of the index.
Slide 17
In this case you have locked in delivery terms and can be confident that you will have the quantity of energy that you
require, but you have not locked in the price. Although you are subject to these price changes, choosing your index
wisely will typically protect you from brief weather-related spikes in price. And as we will see, hedging can offer you
further risk reduction.
Slide 18
The price you pay covers transmission, distribution as well as the cost of the commodity plus swing. "Swing" is the price
paid for building in flexibility to the contract : for example the possibility to vary the amount of commodity taken within
minimum and maximum limits.
What portion of your total energy costs are actually derived from the wholesale commodity energy markets? What portion
is derived from regulated cost components such as transmission and distribution services? In gas, approximately 60% 2011 Schneider Electric. All rights reserved. All trademarks provided are the property of their respective owners.
75% of delivered costs are directly related to commodity prices while electric costs tend to be 65% - 75% based on
commodity market levels.
Slide 19
In order to successfully manage costs in this market, it is critical to apply commodity-based market purchasing
strategiesor as it is commonly known in the industry: hedging. Energy price risk management and hedging programs
quantify exposure to adverse events and mitigate the impact of those events on financial results.
Slide 20
When defining your energy purchasing strategy, you should carefully evaluate your goals. Which of the following is more
important to you:
Cost stability meeting the desired average pricefor example, over a year
Lowest cost, or
Tolerance for variance during budget periods by avoiding high and low swings during financial reporting periodsfor
example, during a quarter
With this you can identify where you fall on the hedging spectrum, from fully hedged to un-hedged. Once that is
determined, an effective commodity strategy can be developed, implemented, and periodically reviewed.
Slide 21
The immediate inclination of most new participants is to seek the lowest price. This target implies that the most risk must
be taken with the hope of achieving a price at a market low point. In other words, if your energy purchases are strictly
focused on the lowest price at a specific time, you might find yourself with a great price in the near term but extremely
high prices in the event of an adverse market move.
Slide 22
Over a period of years, the highs and lows will balance out, so spot purchasing can result in the lowest overall cost in the
long run. However if your business operates with an annual budget, a short-term disaster can cause financial stress that
may not be survivable.
Slide 23
At the other end of the scale, you can contract at a fully fixed price. This will give you absolute cost control but you are
likely to end up paying more than market price for that level of security. Between these two extremes is a more balanced
approachknown as hedgingthat spreads risk out over time.
Upon careful examination, many consumers find some form of hedging attractive. Hedging is desirable because while it is
often likely that consistent spot market purchasing will result in the lowest overall cost over the long-run, short-term cost
swings can be dramatic and unacceptable. Hedging tempers the effect of short-term swings while still providing
opportunities to take advantage of lower prices.
Slide 24
Hedging is a technique designed to reduce or eliminate risk. Hedging strategies involve taking two positions that will
offset each other if prices change. For example, if you own an ice-cream store, bad weather would have a negative effect
on your profits. If you also own an umbrella store, then bad weather would tend to improve the umbrella sales, and offset
the downturn in ice cream.
Hedging in energy markets relates to distributing your purchasing positions across:
What type of fuel you buy,
When you buy,
How much you buy, and
Who you buy from
Slide 25
To implement hedging, you avoid the spot market and use the forward market. Fixed-price energy contracts are based on
forward market pricing. You may also hear about the futures market. A futures contract is a type of forward contract
but not all forward contracts are futures contracts. A forward contract for energy might be a futures contract traded at a
commodity exchange, or it could be a long term forward bilateral contract traded in an over-the-counter (OTC) market.
Bilateral here simply means there are two parties in the contract the buyer and seller.
Slide 26
A futures contract is often a purely financial arrangement, with no physical delivery of gas or electricity. The person who
is selling has committed to provide energy at a certain price when the time comes to settle the contract. However, at the
time that they make the contract, they may not have the power or gas production to supply the commodity.
Instead, they intend that when the time comes to settle, that they have bought another contract to supply the energy that
fulfils the sale obligation. This is known as flattening a position. In this way, their contracts effectively cancel out, and
they can close the contracts and make money on the deal.
Slide 27
For the consumer, the actual final trade for physical delivery then will take place on the spot market, therefore in the end,
the forward commitment sets the price for the gas that is delivered from the spot market. We will see an example of how
you can use this to implement a financial hedge shortly.
While futures contracts are often purely financial, forward contracts are more likely to go to physical delivery, but they too
can be traded. A marketer holding a contract to sell a certain amount of gas at a certain price on a certain date may
engage in another contract to buy gas with different terms. The permutations of the trades are nearly infinite: except that
when the contract expires, and all positions are flattened, any imbalances must be delivered.
Slide 28
Lets look at a simple example.
Imagine that today it is May. You want to buy gas for delivery in November, and youd be happy at a price of $6 per
decatherm. Today, the cash price for gas is $5.50. So if you could buy today, you would be extra happy. You would be
getting the gas for 50c less than your budget. But you cant buy now on the spot market, because that would require you
to take delivery in June, and you need this gas in November. But by November the price might be different. So, although
you hope that the price will stay low, you HEDGE that it will rise.
Slide 29
You hedge by looking on the forward market. You find a marketer who sells a forward contract at $6.00 per decatherm.
Time passes, and now its October. Time to buy your energy and secure the delivery in November.
You take a look at the spot market. Oooh, thats bad.
In the spot market the price has gone to $6.20. Youre going to be 20c over budget with every decatherm. But wait how
does the forward market look? Forward prices for November are now at $6.20 because when the delivery date is only
one month away, the forward price and the spot price are more or less the same. People are buying November gas for
$6.20 per decatherm. And youre holding a forward contract to buy at gas $6.00. So you make a second contract to sell
gas at $6.20, and make 20c per decatherm.
Your two contracts cancel out and leave you with a profit of 20c per decatherm. That cancels out the over-budget
situation for your spot (cash) purchase.
Slide 30
You dont physically handle gas in the forward market. The contracts eventually settle out in the spot market, where the
final producer will deliver his gas contracts to the specified hub, and the final purchaser will take delivery of his gas from
the specified hub.
Slide 31
What if things had gone the other way? Lets say the cash price went down to $5.10. Youre now a winner in the spot
market, getting the gas for 90c less than your budget. But if the spot price has stayed low, chances are that your nearforward market is also low. You have your forward contract for $6.00, but the forward price is now $5.10. You have to
close out your position on the forward market, so you make a second contract to sell gas at $5.10 per decatherm. You
take a loss of 90c per decatherm but thats not so bad, because you made 90c on the spot market, and the net result is
you are on budget
Slide 32
This is the fundamental concept of hedging. If the spot price falls, youll take a loss on your forward contracts, but you
offset that because the energy that you want to actually buy is cheap. If the spot price rises, youll make a gain on your
forward contracts, but you dont get to keep all your gains because you still have to buy your energy at a higher cost.
What this does is shaves off the extremes, and gives you predictability. You dont get the full benefit of a really low price,
but you never have to suffer the full pain of an unexpectedly really high price either.
Slide 33
Lets look at the last example again. What if the spot market had risen even more dramatically and had gone to $8.00
per decatherm. You would be $2.00 over budget for every decatherm. But on the other hand, you would be holding a
futures contract to buy at $6.00, and would probably be able to obtain a contract to sell at $8.00. Whatever you make on
that contract over $6.00 will help offset the $2.00 hit in the cash market. You might still end up over budget, but not as
much over budget.
This is an important concept to understand, so feel free to go back and study the examples until you are confident you
understand them.
Slide 34
You dont have to take an all-or-nothing approach to hedging. There are a variety of methods that can be used in forward
markets or fixed-price contracts to mitigate risk. For example:
Full requirements fixed-price
Partial fixed-price
Partial spot market
Staggered fixed-price commitments, etcetera
In Energy Procurement Part III, well look at how you can develop a balanced hedging strategy that aligns your energy
purchasing with your desired commitment term, tolerable price levels, and other goals.
Slide 35
Lets wrap up with a brief summary. During this course, we saw the difference between spot and forward markets. Spot
markets are for transactions where the commodity will be delivered immediately or in the very near future, generally within
the balance of the current month. Forward markets, are for transactions where the commodity is to be delivered at some
future date.
We reviewed the meaning of fixed price contracts, and index-based contracts which float with the market price.
We saw that hedging reduces your risk by allowing you to structure your contracts based on realistic pricing targets that
support profitable operations, not looking for market bottoms. In other words:
Mitigate dont speculate
Buy the longer dated commodity; avoid the prompt months where speculators and unexpected events can cause wild
price swings and allow the market to set prices that adversely impact your business
Slide 36
Energy Procurement III: Balanced Hedging Strategies

Slide 1
Welcome to Energy Procurement III: Balanced Hedging Strategies
In Energy Procurement I, we identified the players in the energy supply chain. In part two, we provided a short
introduction to commodity markets for energy, and the concept of hedging. Please ensure you are familiar with
these topics before taking this course.
Slide 2
Slide 3
For best viewing results, we recommend that you maximize your browser window now. The screen controls allow
you to navigate through the eLearning experience. Using your browser controls may disrupt the normal play of
the course. Click the Notes tab to read a transcript of the narration.
Slide 4
Describe a variety of balanced hedging strategies
List the main drivers of energy price, and you will be able to
Describe how commodity markets function to support energy trading
Slide 5
In Energy Procurement II, we saw how hedging allows you to use the forward market to avoid price swings in
energy commodities.
Specifically, we learned that you dont have to take an all-or-nothing approach to hedgingand that there are a
variety of methods that can be used in forward markets or fixed-price contracts to mitigate risk. For example:
Full requirements fixed-price
Partial fixed-price
Partial spot market
Staggered fixed-price commitments, etcetera
Lets look at each of these in more depth.
Slide 6
In the full requirements fixed price scenario, lets say that you need to buy 170,000 decatherms of gas per year,
and youre content with a price of $5.80 for it. You could buy a forward contract for the full quantity, at the
desired $5.80. Then, if the market ends up pricing below or above that point, your losses and wins will cancel
out and you will have the price that you planned on. If predictability is your main goal, you will be well satisfied.
This would be 100% hedging.
Slide 7
On the other hand, perhaps you are more ambitious. You would be content with $5.80, but youd like to see if
you can get $5.00. In this case, if you employ 100% hedging, and the price then falls, you will be dissatisfied,
because you will be saying to yourself Look at that low price! If I had not hedged 100%, I could have bought
some of my gas more cheaply!
Slide 8
By looking at the market prices at the moment, and the variations that have happened in the past, you may arrive
at the view that theres a fair chance the market will go lower.
So perhaps you buy a forward contract now for 50% of your needs at $5.80. You hold off on making a decision
with the remaining 50% of your needs. Maybe in three months time youll hedge some of that with a different
forward contract at a different price. Maybe you will keep 10% or 20% of your needs for buying on the spot
market.
Slide 9
However, all means of utilizing these markets requires you to determine:
Commitment term
Tolerable price levels
Range of tolerable cost fluctuation and
Minimum/maximum time horizons for making the next commitment
Additionally, youll also want to develop a
Specific plan of action for when prices rapidly changein order to mitigate damage
Both upside and downside plans are required
Slide 10
The corporate risk tolerance will define supply parameters. By using a portfolio approach you can evaluate all
facilities collectively. Then you can begin to establish a hedge ratio.
Your hedge ratio is the ratio of hedged to unhedged purchases. For example, if you decide to buy 60 million of
your energy bill through hedging, and 30 million on the spot market, your hedge ratio is 66%.
Slide 11
If the company decides to accept all market price moves, the risk and reward may be great or smallbut
typically is unknown and the organisation is considered to be un-hedged/speculative.
If the corporate tolerance risk is to optimize exposure by hedgingthen the risk and reward will be balanced, and
the firm is considered to be actively hedging.
At the other end of the spectrum, a corporation may decide to take out disaster insurance, whereby the risk is
removed and the reward is minimized. In this case, the entity is totally hedged.
Slide 12
Risk tolerance defines price risk management and in order to define your organisation's risk tolerance you need
to evaluate the following:
Valuation Analysis What does my energy portfolio look like now?
Market Volatility Analysis How might the portfolio change in the future?
Risk-Reward Appetite What do we want the portfolio to look like?
Active Risk Management How do we attain and maintain the desired portfolio? As well as
Budget to Actual Variance Have we achieved our portfolio objective?
Slide 13
These tolerances are directly related to the characteristics of the business. For example, consider two
companies. Both spend around 125 million annually on energy.
The first business has net incomes each year of approximately 250 million.
The second has net incomes of 15 billion.
Clearly, the first business is much more vulnerable to energy pricing, and will therefore define their risk
tolerances very differently to the second.
Slide 14
The idea of riverbanks can help illustrate the different ways you might go about defining a hedge ratio and
strategy.
Imagine the riverbank with the water level about half way up. Half way up is equivalent to an energy price that
you can live with. Youd prefer to pay less, and youd like to avoid paying more. The water level of the river bank
may go up or down the same as the price in the market may go up or down. If the water level drops, you can
buy energy more cheaply. Or you can wait to see if it falls even further. However, if you wait, other consumers
may buy that cheap energy, and the price may start to rise again.
If the water level rises, you may decide to defer buying, hoping that the level will come back down later on. But if
the water keeps on going up and up, you will get to a point where it could be prudent to place your contracts
even if they are at a higher price than you like, at least having those contracts protects you from the water getting
higher and higher.
Having an energy purchasing strategy means that for a variety of water levels on the riverbank, you already
know what you will do, so that you are not making spur of the moment decisions.
Slide 15
Examples of hedge ratio and energy purchasing strategies could include the following:
We always complete buying our energy at least 6 months before we need it to be delivered
When the price is $5.80 we will buy 50% of our needs for the next 12 months
That leaves 50% where we might get a lower price
If the price falls to $5.00 we will buy another 25%
That would leave 25% where we might get an even lower price
If the price falls to $4.20 we will buy the last 25%
Well be happy to have gotten some cheap energy, and we wont risk losing that deal by waiting for the
price to go lower
On the other hand, if the price rises to $7.00, we will buy 25% of our needs for at least a three month
period
We dont really want to pay that much, but we dont want to risk having to buy 50% of our gas at above
$7.00
If the price keeps rising and goes over $8.00 we will buy the last 25% of our needs for at least a three
month period
We would not want to leave that last 25% floating and perhaps have to pay a really high price for it
Slide 16
"This chart illustrates how a riverbank strategy can be combined with an ongoing energy purchasing program.
Here, the business has defined rolling purchasing levels for future years. For example, for the current year, they
have already purchased 100% of requirements. They are currently buying between 70% and 100% of the
quarter 1 requirements of the following year, and between 50% and 100% of the quarter 4 requirements. The
solid green line shows their nominal purchase level, and the dotted lines show the purchasing levels they will
move to depending on their low and high price thresholds.
Slide 17
You may also find it useful to know a little about how the commodity exchanges function. The commodity
exchanges, such as NYMEX (New York Mercantile Exchange), ICE (Intercontinental Exchange) and SICOM
(Singapore Commodity Exchange) provide a physical or electronic space where trading takes place. Each
company that trades sends its own brokers. Exchange employees record the details of the trades that take place
and ensure that accounts are updated and prices are published at the end of each trading day.
Slide 18
Commodity exchanges are typically regulated by an agency of the government in the country where they are
located. The regulators seek to protect the users of the exchangeand the public in generalfrom fraud and
market manipulation. Users of the exchange must post a performance bond or a margin deposit, typically 5
15% of the contracts value, depending on the volatility of the commodity. A clearing house provides a guarantee
of each trade.
In effect, the clearing house becomes the buyer to each seller, and the seller to each buyer. The goods can
therefore be traded as pure commodities, without a user having to check the trustworthiness or reliability of the
other party in the transaction. For example, NYMEX is regulated by the Commodity Futures Trading
Commission.
Slide 19
To engage in commodity purchasing there are some terms and mechanisms you will find it useful to know.
These terms include:
The short position which means you are agreeing to sell
The long position which means you are agreeing to buy
The price of the contract
The daily account adjustment
The final settle price, and
The strip
Lets imagine that you have a forward contract with a power producer requiring 10,000 MWh of power to be
delivered at 50.00 per MWh.
The producer, who has agreed to deliver the commodity, has taken what is known as a short position in the
power market.
The consumer has taken a long position.
The price of the contract is 10,000 MWh x 50.00 per MWh = 500,000.00
The profits and losses of the contract depend on the market movements.
Slide 20
Profits and losses are calculated every day. So, if the day after this contract was made, the price of power goes
to 51.00 per MWh, the producer has lost 1.00 per MWh, because the selling price just increased from the
price at which he is contracted to sell his power. The consumer, on the other hand, has profited by 1.00 per
MWh.
On the day this change takes place, the producers account at the commodity change is marked with the new
position to market, and in effect is 10,000 worse, while the consumers account is 10,000 better. The account
holders' line of credit will only be affected if the position is changed to the extent that the exchange believes there
is a risk that the account holder would not be able to meet their financial obligations. If the position is severely
negative, they may request an account holder to deposit more money with the exchange.
Slide 21
So, all the price changes are reflected on your account's overall position on a daily basis. Eventually, the
contracts are either sold or they go to settlement. As we saw when we looked at an example of a hedged energy
purchase in the previous class, most transactions in the futures market are ultimately settled in cash, and the
actual physical commodity is bought or sold in the spot market.
Pricing in the spot market and future market tends therefore to move in paralleland when the contracts
expirethe prices merge into one price.
Slide 22
Contracts trade by delivery months and trading in the contract expires before the start of the actual delivery
month.
As the contract is about to expire, the exchange will evaluate the trading prices for the period just prior to
expiration and then publish what is known as the final settle price for the contractfor example, the weighted
average during the last 30 minutes of trading of the month.
This final settle price then becomes a benchmark for a large number of gas purchases and sales during the
following delivery month.
For example, natural gas that is sold/purchased under index-linked contracts could be based upon the final
settlement price of a NYMEX contract. For example, in January of 2010 a natural gas producer may agree to
sell the natural gas he will produce in June 2010, at a price of NYMEX Final Settle + $0.25.
Slide 23
A strip of gas or power is typically a contract for three or more months. Each month will likely have a different
price, and the strip takes the average of those prices. Examples could be a calendar strip or a 12 month strip.
Note that if you decide not to engage in hedging, this does not mean that you have avoided risk.
Slide 24
Lets say your business has committed to manufacture 1000 units of product in November. That means that you
will need energy in November to fulfil that commitment. In effect, you have just taken a short position on your
own product.
If you decide not to hedge, you will end up buying that energy on the spot market which we have seen is
volatile and carries risks of winning or losing.
If you hedge, you are driving towards a particular price and have taken actions to achieve it. Not hedging means
that in effect, you have decided to gamble on the spot market, instead of strategically buying on the forward
market.
Slide 25
Now lets move on to a new subject: the drivers of energy prices.
The success of your hedging strategy will depend on your ability to predict where the market will be at the future
date, compared to your desired goals. The onus is on the energy managerand his or her advisorsto try and
predict where prices will go, and when to float with the market or when to lock-in a fixed price. This requires
you to understand the market drivers, or to work with a knowledgeable service provider.
Slide 26
The drivers of the energy price include a number of factors. Some are related to supplysuch as production
level and existing stocksmeaning, if supply exceeds demand the price will fall, and vice versa.
Lets see an example from just one region. Following Hurricane Katrina in 2005, the price of gas and power in
the US greatly increased due to storm damage to natural gas production, and, in the longer term, failure to find
significant new natural gas supplies in the Gulf of Mexico.
This made fixed price contracts increasingly popular in most North American markets. In the case of gas,
quantities that are already in storage can be a factor.
Slide 27
Electricity on the other hand cannot be stored.
But even though both are commodities, there are other factors as wellsuch as location and pipeline or grid
capacity.
Gas is typically delivered through market hubs. These are specific physical locations for the delivery of gas. The
price will vary depending on which market hub you buy from and the availability of the pipeline to transport the
gas. Electricity is generated by power plants or renewable sources and does not travel well. Balancing the
supplies on the grid is a key price driver.
Slide 28
The difference between the commodity price of the energy, and pricetaking into account location and
distribution issues, is called the basis differential.
Demand will tend to push up prices, and is linked to other underlying factors
For example, cold weather increases the demand for gas for heating, while hot weather increases electricity
demand for cooling.
A booming economy increases the demand for energy for manufacturing
Seasonality tends to impact both supply and demand
For example, cold weather is more likely in the winter months, while in the summer months gas storage may be
more of an issue.
Another issue is that the market is continually interpreting news and rumors and deciding how factors such as
technology, legislation, environmental pressure or political instability might affect the future
Lastly, speculators drive energy prices through the impact of their market dealings
Its important to understand the difference between a speculator and a trader, so lets spend a little time defining
what a speculator isas opposed to a trader.
Slide 29
A trader is someone who has energy to sell (a producer), or needs to buy energy to fulfil their business needs (a
consumer). A speculator is someone who is buying or selling energy in the forward market, but in fact has no
energy to sell and no real needs to fulfil. He is making trades purely with the intention to eventually flatten his
position at a profit.
Now that weve covered the drivers of energy prices, lets move on and discuss commodity risk analytics.
Slide 30
Gas and power marketers in general, have much better information about the market, than the average energy
manager. It is not a level playing fieldand they are not there to help you manage your risk. They benefit from
locking you in to the highest price possiblefor the longest period.
Commodity risk analytics can assist in evaluating the probabilities of a commodity reaching a particular price in a
particular month.
This can help you when negotiating with marketers and selecting a fixed or index priced contract. You can
develop your own analysis, by collecting data on market prices and correlating to the various drivers.
Slide 31
Based on your predictions of future drivers, the analysis can extrapolate what the price ranges may be at that
time. If you dont have time to do that type of analysis, search for a service provider who can support you.
Ensure that they are independent of the market, and are not compensated according to what you buy.
Compensation should be based on your assessment of the value provided in stabilizing your energy bills.
Slide 32
It is important to recognize that purchasing in commodity energy markets is an ongoing process that never stops
until you are no longer in business, or no longer require that commodity.
Consecutive contracts are not independent of others, but rather merely limit risk to a point defined in the
commodity strategy for a limited time.
Since forward markets can fluctuate on an annual basisby an amount greater than the average spot market,
the strategy you employ should consider price levels related to term commitment to help control costs as well.
For example:
As markets rise, as well as when
Term commitments are shortened/lengthened
We saw this during our discussion of the riverbank metaphor.
Slide 33
The spot market has relatively little to do with the level of the forward market at any given point. Spot markets
are the meeting of real supply and demand for a given commodity at the time of use.
By definition, the market is cleared and the commodity is either consumed or stored for future usewhereas
electricity cannot be stored and this limitation leads to more price volatility than is seen in other commodities.
Slide 34
On the other hand, forward markets are based on what various parties are willing to pay now for the purchase or
sale of a commodity at a defined future time. While these markets are not directly linked, they are obviously
related.
There are many nuances to energy contracts and regional differences that add complexity, but with some
fundamental guidelines based on risk levels and time horizons, you can develop and implement a clear hedging
strategy to effectively control energy costs in commodity energy environments.
Please note: if you are an organisation with large energy exposures, you should carefully evaluate your approach
to these markets and clearly define your goals as well as risk limits relative to energy.
Slide 35
Part of your commodity risk analysis would include examination of the forward curve as a tool for price
forecasting. The futures and the OTC markets indicate todays price for future deliveries; but they dont usually
forecast where the spot price will actually settle.
The forward markets just tell you where people will transact today, for delivery in the future. Odds are very good
that spot prices at the time of delivery will be significantly different from the forward price. Each contract month
has a unique price, and linking sequential contracts and months creates what the industry refers to as the
forward curve.
Slide 36
The forward curve shows you how the prices of a futures contract will vary with the length of the term. Here we
see an example. On this chart the spot price is 15. A one-year futures contract is priced at 25. A six-month
futures contract is 22.50. The slope of forward curve shows a normal market.
For most commodities, the future price is larger than the spot price, because there is a perceived benefit in not
having to take immediate delivery. For example, you dont have to store the commodity until you want to use it,
you dont have to manage the risk of producing it in time for delivery.
Slide 37
Other shapes of curve are possible. For example, in an inverted market, the future price less than the spot price.
This happens when there is a perceived benefit in owning the product. For example, it might be an asset that
generates a regular dividend payment to the holder. Tracking the prices of various contracts to produce this type
of curve and taking into account your evaluation of the drivers can enable you to forecast the likely spot price
during the month when you actually want to take delivery.
Slide 38
The reliability of your forecast will depend on your ability to evaluate the market drivers. The probability curve
shows a range of possible spot prices in your target month. Some are more likely to occur than others the
probability of an extremely low or extremely high price is typically low, and in-between there are prices with a
higher probability.
If you have a lot of uncertainty, this curve will typically be wide and flat you dont have a good theory about
what the price may be, so almost any price is equally likely. If you are more certain in your evaluation of the
drivers, the curve will be more narrow and often assume a bell shape. Then you have a theory which leads you
to a most likely price, with other possible prices close to it.
Slide 39
Here we see an example where $5.67 is the current forward price. The range of future possibilities have been
evaluated, and it has been determined that $3.44 is the lowest likely price, in the 5% likely range, and $9.01 is
the worst likely price, also about 5% likely but at the other end of the curve. This prediction is slightly
asymmetrical. You can see there is a greater area under the curve to the right of the $5.67 line, so higher prices
are more likely than lower ones.
Slide 40
Lets see the effect of hedge ratio on a nominal purchase of 100,000 decatherms with three different buyers.
Ms. A is very conservative. She opts for 100% hedged, and so secures the price of $5.67. She has a 100%
certainty of $5.67 and 0% chance of a lower or higher price.
On the other extreme, Mr. B is willing to take a lot of risk and adopts a hedge ratio of 0%. He is completely
exposed to the spot market price. He has a 5% chance of being able to buy all his gas at just $3.44 per
decatherm. But, he also has a 5% chance of having to buy all at $9.01 per decatherm.
Mrs. C is willing to take some risk in the hope of the price falling on the spot market. She decides to hedge 75%
of purchasing, and allow 25% to float with the spot market.
Buying 75% of gas at a fixed forward price of $5.67 yields a cost of $425,250. If the spot price rises to the worst
case scenario of $9.01, the remaining 25% will cost $225,250. Adding those two values together, gives a total
energy bill of $650,500 and an average cost per decatherm of $6.51. At the other end of the spectrum, in the
best case scenario the price could fall to $3.44. In this situation the remaining 25% will cost $86,000. The total
energy bill will be $511,250 and the average cost per decatherm will be $5.11.
Slide 41
If we take another look at the probability curve that we discussed earlierand superimposed these values on it
we can see the effect of selecting the 75% hedge ratio with this probability curve. The best case gain is that Mrs.
C will achieve an average price of $5.11, while the worst case is limited to $6.50.
In this way, Mrs. C has eliminated the extremes that Mr. B is exposed to. She has given up the possibility that if
the market falls very low, she would be able to buy all her gas at $3.44 or any other price under $5.11. She has
also made certain that she will not have to buy all of her gas at any price between $6.50 and $9.01
If Mrs. C doesnt like those numbers, she can adjust the hedge ratio until she arrives at a scenario she is
comfortable with. And, as we have seen earlier, she can split her purchasing at different times with different
hedge prices in order to optimize her risk.
Slide 42
Naturally, all of this analysis depends on the reliability of the prediction. If the prediction is wrong and the worst
case price actually goes to $17.00, then Mrs. Cs worst case scenario would become a lot worse.
But, as we saw when we discussed riverbanks, she can protect herself from this by adopting a strategy that if the
price blows past $9.00 she will buy the floating 25% right then, and avoid having to pay any more than that.
Slide 43
Remember, price alone should not be the only consideration in purchasing natural gas. Dependability and
service have a definite value. One should always keep this in mind when buying gas supplies.
At first glance, buying the cheapest gas might seem like the perfect solution, but quickly turns out to be an
expensive fix if you have agreed to an interruptible contract and then are unable to get it delivered.
Slide 44
Delivery issues might be caused by weather or other problems that make supply scarce. In that instance, even if
the supplier could provide the gas, if he has a contract that allows him to interrupt your supply he may exercise
that in order to temporarily sell gas at a higher price elsewhere.
This is not commonly a problem for power.
Slide 45
For best practices, your energy procurement approach will be most effective if it integrates data, risk
management and procurement on a continual basis, and employs:
Data driven decisions because better data leads to improved decision making and tighter pricing
A management approach that identifies and quantifies risk before managing it
A procurement optimisation process when it comes to operations meaning you will only buy what is needed,
need what is bought, and align delivery conditions with your needs. For example: dont buy interruptible gas if
you cant turn some of your processes off.
Slide 46
Lets wrap up with a brief summary. During this course we saw that hedging strategies can be balanced between
fixed, index and spot price contracts, and spread out over time.
Remember that hedging functions to reduce your risk. It eliminates your negative risk of the market price rising,
but at the same time it eliminates your positive risk, your opportunity to benefit if the market falls. In the long run,
you are unlikely to beat the average price of the spot market. But if you have to meet quarterly or annual
forecasts, you may not be able to tolerate swings in the spot market. It all depends on your
Commitment term
Tolerable price levels
Range of tolerable cost fluctuation and
Minimum/maximum time horizons for making the next commitment
We also saw how selecting a hedge ratio and using best case and worst case price forecasts allows you to
identify an upside and downside scenario for your average energy price. We also looked at the idea of riverbanks
as a way to trigger elements in your buying plan.
We looked at the main drivers of energy price
Supply considerations such as production level and existing stocks, location and pipeline or grid
capacity and quality
Demand considerations such as economic booms
Seasonality
News and rumors relating to technology, legislation, environmental pressure or political instability, and
Speculation
We explored how commodity markets such as NYMEX, ICE and SICOM function to support energy trading, by
providing the physical or electronic environment, recording transactions, posting prices, and providing a clearing
house which effectively guarantees performance.
We saw that hedging reduces your risk by allowing you to structure your contracts so that market priced
components are readily identified, and based on realistic pricing targets that support profitable operationsnot
looking for market bottoms.
In other words:
Mitigate dont speculate.
Buy longer dated commodity; avoid the prompt months where speculators and unexpected events can
cause wild price swings and allow the market to set prices that adversely impact your business
Base decisions on sound analytics not emotional reactions to market movement
Make time an ally not an adversary
Slide 47
European Codes and Standards: New Horizons for Buildings

Slide 1
Welcome to European Codes and Standards: New Horizons for Buildings.
Slide 2
normal play of the course. Click the paperclip icon, to download supplemental information for this course.
Slide 3
Identify the main drivers of improved energy efficiency in Europe
Describe the difference between an energy code and an energy standard
Give some examples of the requirements of the energy performance of buildings directive
Recognize the various energy labels and certifications of buildings
Define White Certificates and their impact on energy supplier obligations
List the different types of incentives available to promote energy efficiency
Slide 4
Curbing climate change and global warming will be one of the major challenges of the 21st Century. The
very survival of our society could be at stake. Greenhouse gases, including CO2, have been identified as
the culprits and the vast majority of industrialised countries have agreed to cut emissions drastically over the
coming decades. Buildings account for nearly 40% of the energy used in most countries. They are
responsible for a similar level of global CO2 emissions. Therefore, energy efficiency in buildings is one of
the keys to reducing greenhouse emissions. The main driving force to achieve the ambitious goals that have
been set for the reduction of greenhouse gases will come from energy efficiency regulations, building codes,
standards, labels, certifications, obligations, and incentives, all of which have been multiplying steadily over
recent decades.
Slide 5
International institutions are rolling out energy efficiency directives and standards that set minimum
performance requirements for buildings. These directives are gradually being taken into account in national
regulations and building codes. Today, most energy efficiency regulations concern building design. They
hardly touch on Energy Management aspects that can generate major operational gains with relatively low
investments and quick payback. Beyond regulations that focus on minimum requirements, environmental
performance labels use building rating criteria that can take energy efficiency much further. They offer a
practical way of assigning value to energy efficiency and in this way represent powerful market drivers.
Moreover, the important benefits of Energy Management can be easily integrated into the rating criteria of
these far-reaching methods. Indeed, through effective building measurement, monitoring and control
systems, Energy Management is one of the keys to rapidly reducing carbon emissions and achieving
climate change targets.
Slide 6
In the past, building codes and standards were implemented at a country, regional, or local level to ensure
construction safety, fire safety, and a healthy environment for occupants. Prior to the 1973/74 oil crisis,
energy efficiency regulations existed mainly in the building regulations of the northern countries and dealt
essentially with insulation levels.
Since then, energy efficiency measures have been included in the building codes and standards of most
developed nations. This has been done to either reduce energy consumption or to reduce CO2 emissions in
response to the Kyoto Protocol or other targets often set by international directives or standards. Today
such regulations are being increasingly implemented in developing countries, in particular India and China,
to increase comfort or reduce energy consumption.
Slide 7
Some countries favour the integration of energy efficiency in general building codes, others prefer to place
them in separate energy standards and others prefer a combination of the two. In all cases, these
regulations stimulate the development and marketing of new products and techniques which are used by
builders in their projects.
Unfortunately, few countries have yet set up the necessary inspection means to ensure that energy
efficiency regulations are complied with. This is true for building design aspects intended to reduce energy
losses, such as improved insulation, and glazing, and even more for Energy Management measures aimed
at reducing energy consumption through measurement, monitoring and control of energy usage.
This course seeks to define the difference between an energy code, an energy standard, and a European
directive and explores specific energy efficiency European directives.
Slide 8
The meaning of the terms "code" and "standard" may vary from country to country.
For this training, we define a code as follows: Codes specify how buildings must be constructed or perform
and are written in mandatory, enforceable language. States or local governments adopt and enforce energy
codes for their jurisdictions. In some countries, "building codes" may be known by other names, such as
"building regulations". What's key is that they are enforced by law.
We define a standard as follows: Standards describe how buildings shall be constructed to save energy cost
effectively. They are not mandatory, but serve as national recommendations, with some variation for
regional climate. Standards become mandatory when state and local jurisdictions adopt them as their
energy code. State and local government often use energy standards as the technical basis for developing
their energy codes. Some energy standards are written in mandatory enforceable language making it easy
for jurisdictions to incorporate the provision of energy standards directly into their laws and regulations.
Standards are published by national, regional and international organizations. Here are some examples
from around the world.
Slide 9
ASHRAE is the American Society of Heating, Refrigerating and Air-Conditioning Engineers. Although the
group has American in the title, it is an organization with international influence. They publish a variety of
standards, including standards for commercial and residential buildings widely adopted by states in the US
as building codes.
IESNA is the Illuminating Engineering Society of North America who provide standards for lighting levels in
that region.
The ICC is the International Code Council which publish the International Energy Conservation Code (IECC)
to provide a model for other authorities to define their codes. It encourages energy conservation through
efficiency in envelope design, mechanical systems, lighting systems and the use of new materials and
techniques. It defines different climate zones to allow the model to be well adapted to the locality, which
may be further adapted by state and local governments to reflect regional building practices.
In Europe, the European Committee for Standardization known as CEN is a major provider of standards and
technical specifications. It is the only recognized European organization according to Directive 98/34/EC for
the planning, drafting and adoption of European Standards in all areas of economic activity with the
exception of electrotechnology (which falls under the responsibility of CENELEC) and telecommunication
(the responsibility of ETSI-European Telecommunications Standards Institute). CEN has an agreement for
technical co-operation with the International Organization for Standardization (ISO), whereas CENELEC has
one with International Electrotechnical Commission (IEC). CENELEC's (European Committee for
Electrotechnical Standardization) mission is to prepare voluntary electrotechnical standards that help
develop the Single European Market/European Economic Area for electrical and electronic goods and
services.
Any CEN/CENELEC European standard (EN- European -French: Norme, German: Norm) automatically
becomes a national standard in the member countries, as soon as the barriers such as translation of the
standards in the national language (CEN standards are written in English), and national conflicting
standards are removed.
Lets talk a bit more about energy legislation and how it has influenced the creation of codes.
Slide 10
Lets discuss directives.
EU directives lay down certain end results that must be achieved in every Member State. National
authorities have to adapt their laws to meet these goals, but are free to decide how to do so. Directives may
concern one or more EU countries, or all of them. The directives are, by nature, measures that bind the
Member States in terms of the results to be achieved.
The directives are used to bring different national laws into line with each other, and are particularly
common in matters that affect the operation of the single market, for example, product safety standards.
Each directive specifies the date by which the national laws must be adapted. This gives national authorities
the room to manoeuvre within the deadlines necessary to take account of differing national situations.
To do so, the Member States have a deadline within which they must transpose the directives. It is entirely
up to them to do so in accordance with Article 10 of the EC Treaty.
Slide 11
Here is an example for the Energy Performance of Building Directive (EPBD). The directive was published
in the official Journal in January 2003. Article 15 of this directive stated that the Member States shall bring
into force the laws, regulations and administrative provisions necessary to comply with this Directive at the
latest on 4 January 2006.
The Member States are, on the other hand, free to choose the form and means of achieving this result.
There are, however, procedures to encourage Member States to transpose Directives correctly and on time.
Additionally, they are monitored and penalised for incorrect or late transposition by means of the following:
* infringement proceedings as provided for in Article 226 of the EC Treaty under which the Commission
may take legal action before the Court of Justice against Member States for late or incorrect transposition;
and
* the regular publication of the transposition records of Member States in the Internal Market Scoreboard.
Lets take a quick look at what has led to the new energy efficiency directives in Europe.
Slide 12
In the 1990s, gradual acceptance of the need to reduce greenhouse gases as a way of avoiding global
warming and ratification of the Kyoto Protocol by many countries put energy efficiency on the agenda for
inclusion in building codes and dedicated standards. This was done in much the same way as building
safety and occupant health had been implemented.
Slide 13
As we mentioned before, it is widely accepted that commercial and residential buildings account for about
40% of the worlds energy consumption and a similar level of global CO2 emissions. The Fourth
Intergovernmental Panel for Climate Change Assessment Report identified buildings as having the highest
greenhouse gas mitigation potential of all economic sectors reviewed.
This illustration shows the McKinsey reports global cost curve for greenhouse gas abatement. It plots the
potential size of each abatement measure versus the cost of that measure. The vertical axis shows the cost
of each abatement measure, in euros per ton of avoided greenhouse gas emissions, and the horizontal axis
shows the amount of CO2-equivalents that can be avoided by that abatement measure, in gigatons of
emissions per year. Note that solutions concerning buildings all have a negative cost, i.e. the resulting
savings over the period considered cover the required investments.(Source: McKinsey for Vattenfall, 2007)
Over and above the present economic uncertainties in everything from energy prices to investment
opportunities, a number of factors act as barriers to energy efficiency improvements. Examples include
conflicting interests, lack of information, and lack of incentive. Another factor is policy distortions. In many
regions, energy subsidies directly discourage efficient energy use for example fuel subsidies in Middle East,
Venezuela and Mexico; residential gas or electricity subsidies in Russia, India and elsewhere; and a range
of energy subsidies offered to state-owned enterprises. There are also cultural factors such as energy
consumption. Energy consumption may be regarded by some as a status symbol, implying a desirable
lifestyle.
Moreover present directives and most regulations focus on building design aspects and omit the gains that
can be achieved throughout the operational life of the building by improved Energy Management. Note that
the required measurement, monitoring and control systems call for relatively low investments and offer a
quick payback.
Slide 14
The main drivers that lead the way to improved energy efficiency are:
Regulations including national building codes and standards along with European directives and
standards that drive and harmonise their national counterparts
Energy labels and certifications for low energy and green buildings
White certificates and legal obligations placed on energy suppliers
Other incentives including loan support, grants or direct subsidies and fiscal measures such as tax
reductions
Lets take a closer look at each of these drivers to assess their present status, the degree to which they take
energy management into account and their perspectives for the future.
Slide 15
The European Union began an Emission Trading Scheme in 2005, the first concrete action taken towards
achieving the greenhouse gas emission caps for the 2008-2012 period set by the Kyoto Protocol.
In 2006, he European Union has adopted a framework for energy end-use efficiency and energy services
(ESD directive). Among other things, this includes an indicative energy savings target for the Member
States, obligations on national public authorities as regards energy savings and energy efficient
procurement, and measures to promote energy efficiency and energy services. It requires EU Member
States to submit national energy efficiency action plans (NEEAPs) to the European Commission:
o a first EEAP not later than 30 June 2007;
o a second EEAP not later than 30 June 2011;
o a third EEAP not later than 30 June 2014
These plans are to outline how Member States are to achieve the nine percent indicative energy savings
target laid out in the directive by 2016.
The ESD also requires Member States to place obligations on energy suppliers to offer and promote either
competitively priced energy services, energy audits or other energy efficiency improvement measures to
their final customers excluding those covered by the EU-ETS. This has led in Italy and France to the
creation of the white certificate scheme.
If you would like to take a look at the firsts 27 NEEAPs they are available at this link
http://ec.europa.eu/energy/efficiency/end-use_en.htm.
Slide 16
As we just mentioned, the directive on the energy performance of buildings (EPBD 2002/91/EC) is the most
important directive for energy efficiency in buildings, and was published in 2002. Apart from the 2002 EPBD,
there are a number of other complementary directives dealing with energy aspects in the buildings context
or relevant provisions on buildings.
Eco-design of Energy-using Products Directives should improve the energy performance of products, which
will in turn contribute to reaching the targets set by the ESD.
Although these Directives and others are not explicitly mentioned in the 2002 EPBD, they are an
inseparable part of a mix of tools to promote sustainable construction and use of the EU buildings stock.
Slide 17
The energy efficiency action plan (2007-2012) outlines a framework of policies and measures which provide
the means to cut energy consumption by 20% by 2020.
The EU has set itself three main climate goals to achieve by 2020: to reduce emissions by 20% from 1990
levels, source 20% of its energy from renewables and increase energy efficiency by 20%. While the first two
are binding, the energy efficiency goal only sets voluntary commitments for member states.
In particular, this plan called for the recast of the EPBD directive, and this recast is as of 19th of May
entered into force. Well come back later to this recast.
First lets describe the 2002 EPBD.
Slide 18
The directive on the energy performance of buildings (EPBD 2002/91/EC) is the most important directive for
energy efficiency in buildings. The main objective of the 2002 EPBD is to define a holistic approach to
promote cost effective improvement of the overall energy performance of buildings.
Slide 19
The 2002 EPBD sets three types of requirements that must be implemented by EU Member States. Those
types of requirements were:
Minimum energy performance requirements for new buildings and for large existing ones (greater than
1000m2) that undergo major renovations with the aim of achieving improved energy performance, thermal
comfort, and lower energy bills.
Energy performance certification that provides information on the energy needs of a building and on what
can be improved. It should be presented to potential buyers/tenants so that they have an independent
assessment of the energy-use aspects of the buildings, enabling them to make informed decisions. An
energy performance certificate is required only when buildings are newly constructed, sold or rented out,
and is valid for a maximum of 10 years.
Inspection of medium- and large-size heating and air-conditioning systems at regular intervals so that their
energy performance can be monitored and optimised. This inspection includes an assessment of the system
efficiency and sizing compared to the heating / cooling requirements of the building. On that basis, advice is
provided to the users on the replacement of the boilers, and other modifications to the heating system, and
on alternative solutions.
Slide 20
The 2002 EPBD specifies the various aspects that must be taken into account by the methods used to
calculate the energy performance. The Directive allows Member States to develop their own national
calculation methods covering these aspects. They concern mainly the design of the building and do not take
into account performance improvements that can be achieved through the operational life of the building
through Energy Management measures such as measurement, control and monitoring systems.
The EPBD requires member states to update their building regulations every 5 years.
Slide 21
To facilitate this task for the Member States, a package of more than 40 standards for calculating the energy
characteristics and performance of buildings has been prepared by the CEN, acting on a mandate given by
the European Commission.
In Europe, the standards put out by the EPBD play a role which, in the US, is largely met by ASHRAE
standard 90.1 for commercial buildings and 90.2 for residential buildings.
Slide 22
There are a number of CEN committees involved in the EPBD.
CEN Committee and Review Process
TC89 produces product related standards on building elements and buildings
TC156 produces product related standards of importance describing system performances such as chilled
ceilings, displacement ventilation, ATD/ATU, and Heat Recovery
TC169 produces product standards on lighting
TC 228 produces product related standards on heating systems like HP-driven heating systems, electric
heating, and embedded systems and
TC247 produces product standards on controls
The Technical Committees of CEN that were involved in the preparation of the EPBD standards are
comprised of the following:
CEN/TC 89 which looks at thermal performance of buildings and building components; including EN 13790
Energy performance of buildings Which provides the calculation of energy use for space heating and
cooling.
CEN/TC 156 Ventilation for buildings with the main standard: EN 15251 Indoor environmental input
parameters for design and assessment of energy performance of buildings addressing indoor air quality,
thermal environment, lighting, and acoustics.
CEN/TC 169 Light and lighting which is comprised of EN 15193 Energy performance of buildings and
Energy requirements for lighting;
CEN/TC 228 Heating systems in buildings comprised of EN 15316 series Heating systems in buildings. This
includes the method for calculation of system energy requirements and system efficiencies.
CEN/TC 247 Building automation, controls and building management with the main standard: EN 15232
Energy performance of buildings which addresses the impact of Building Automation, Controls and Building
Management.
The drafting of the standard is made by appointed experts from national standard bodies. The experts
participate in the drafting of the standard in CEN working groups as seen on the attachment mentioned.
Appointed experts are members of their national "mirror" committees and, with other experts, work through
the draft making comments along the way. This is done during the draft enquiry phase.
Then, after considering the comments from the CEN enquiry, the final draft is issued by the CEN Technical
Committee. Each EN is published identically by the standard bodies in participating countries and conflicting
national standards are withdrawn.
It could take as much as 3 years to published an EN.
Slide 23
The EPBD was passed by the European Parliament in 2002 and gave Member States until 2006 to
transpose the Directive into national law. Since then, the EU Commission has decided to recast the 2002
directive to clarify it and strengthen certain requirements, while redefining minimum thresholds for the
implementation of the directive.
Slide 24
Here are some of the new measures included in the recast directive.
All new buildings are to be nearly zero energy by the beginning of 2021, or 2020 for buildings
owned and occupied by public authorities. Nearly zero energy building is defined as a building that
has a very high energy performance, and where the nearly zero or very low amount of energy
required should be covered to a very significant extent by energy from renewable sources,
including energy from renewable sources produced on-site or nearby.
Member states are to make a plan on how to increase the share of the nearly zero energy buildings
in the national building stock. Well discuss what zero energy means later in the course.
For all new buildings the following things need to be considered:
Member States shall take the necessary measures to ensure that minimum energy performance
requirements for buildings or building units are set with a view to achieving cost-optimal levels.
Member States shall ensure that, before construction starts, the technical, environmental and economic
feasibility of high-efficiency alternative systems such as those listed below, if available, is considered and
taken into account:
(a) Decentralised energy supply systems based on energy from renewable sources;
(b) Cogeneration to optimise production of heat and power;
(c) District or block heating or cooling, particularly where it is based entirely or partially on energy from
renewable sources;
(d) Heat pumps
Heat Pumps are seen as a replacement of electrical heating. Effectively a heat pump is an air conditioner
running in reverse. They are attractive because of their high Coefficient of Performance, known as COP,
that can be from 3 to 3.5.
Slide 25
Enhanced requirements for existing buildings when undergoing major renovations including new
minimum energy performance requirements, replacement of building components and technical
building systems such as boilers or air conditioning systems and installations of smart meters
Extends the scope of the provision requiring Member States to set up minimum energy
performance requirements when a major renovation is to be carried out (no 1000m2 floor area
threshold anymore).
A number of new measures favouring active control systems such as automation, control and
monitoring systems and intelligent metering systems.
The new provisions are expected to reduce EU energy consumption by 6 to 8% by the year 2020 and
reduce CO2 emissions similarly.
Slide 26
Energy labels and certificates encourage the use of best practices and the development of energy efficiency
solutions that go beyond the minimum requirements stipulated by standards and regulations. The various
energy efficiency labels that already exist for buildings correspond to different levels of energy efficiency
performance.
A Standard Building is constructed to meet only minimum building energy efficiency requirements.
Lets take a look at the different types of building labels and discuss what they mean.
Slide 27
Although definitions or interpretations vary among European countries, Low Energy Buildings generally offer
better energy performance than a standard or typical new building. In other words, they do significantly
better than what is required by national building regulations. In many countries, support for the development
of Low Energy Buildings is provided by incentives such as loans with low interest rates offered by
governments or private investment organisations. Other possibilities include tax breaks or the introduction of
CO2 taxes.
Additionally, mandatory certification schemes are expected to promote very Low Energy Buildings in some
countries by introducing grades or classes restricted to buildings with very high energy performance.
Requirements for Low Energy Building labels such as the BBC-Effinergie low consumption building label in
France, enhance the energy performance of buildings against regulations. They are often good indicators of
upcoming building regulations. They represent quality marks for building companies and are used in the
French HQE green building assessment methods. It remains to be seen how the benefits of measurement,
monitoring, and control systems can be tangibly incorporated in these schemes. This is especially true given
that the latter are often defined with respect to the requirements of building regulations which, for the time
being, do not take Energy Management into account to any great extent.
Slide 28
While no common term or definition exists for these, Zero, Positive and Plus Energy buildings as well as
Energy Neutral and Zero Carbon buildings must generally produce more energy than they use in a year.
Buildings use the grid for storing excess electricity generated by photovoltaic and micro wind turbines
(among other things) and are said to be nearly net-zero (or nearly zero) on a yearly basis.This means that
each building will produce its own energy on-site or nearby, either to use or to sell to the grid, and have
maximised energy efficiency. By the start of 2021, all new buildings in the European Union will be required
to be Nearly Zero Energy. A number of nations have already established targets for such buildings. Energy
management through measurement, monitoring and control systems should play an important role in
reaching these targets.
Slide 29
Green buildings, also referred to as intelligent, sustainable or reduced ecological footprint buildings, all
satisfy a number of environmental performance criteria. These, of course, involve increased energy
efficiency, but also reductions in water consumption, use of materials and impact on health and the
environment. Other criteria such as resources, indoor air quality and the use of local materials may be
considered as well.
The definition for Green buildings therefore, varies around the world but some countries have set up
standards that are used to assess the environmental performance of buildings and award labels, certificates
or ratings. They assess buildings by considering a wide range of environmental and sustainability criteria.
Slide 30
The US-LEED, UK-BREEAM and FR-HQE are all voluntary environmental certification schemes.
They are applicable to all type of buildings, and cover from design, to construction and up to the operation
(in-use) stages of a building life-cycle. They all provide reference guides to follow, albeit differences exist
within the guides to suit particular types of buildings, e.g. offices, schools, healthcare, and retailers.
Third party assessment is required for BREEAM and HQE, where BRE delivers the accreditation to licensed
assessors for BREEAM and Certiva (accredited organization -CSTB subsidiary) delivers accredited
auditors for HQE. LEED proposes to project members the accreditation role of LEED-AP through the Green
Building Certification Institute (LEED certification organization GBCI).
One or more points or credits are assigned when specific levels of performance are achieved and the total
score determines the rating, ranging for example from Pass to Outstanding for BREEAM, Certified to
Platinum for LEED or Basic to somewhat less exciting Very High for HQE. The different rating systems are
based on different standards and regulations and have been designed to take into account the needs of
different climates, supply chains and resource bases, depending on their country of origin.
Slide 31
Different versions are available for different types of buildings. To work towards providing transparency
between these building assessment rating systems while at the same time recognising the need for genuine
regional and national differences, the SB Alliance was founded jointly in 2008 by a number of organisations
including UNEP-SBCI, BRE (UK), CSTB/ QUALITEL (France), CNR-ITC (Italy), VTT (Finland), FCAV
(Brazil) and USGBC (United States). The objective is to develop a framework that will allow comparisons
between the different systems that exist, providing the basis for mutual recognition of the corresponding
organisations. Because they are based on tangible rating systems, such certification schemes represent a
practical way of assigning value to the environmental performance of buildings. In this way, building energy
efficiency may be starting to influence real estate prices, an important source of motivation to all building
stakeholders including designers, builders and owners. This fills a gap with respect to building code energy
efficiency regulations that cover only minimum requirements and are in most cases extremely difficult to
verify once the building has been constructed.
Slide 32
These rating schemes ensure that the perceived greenness of the building is not limited to clearly visible
elements such as solar panels, but also includes the less visible elements such as measurement,
monitoring and control systems that can make just as big a contribution to energy efficiency and thus
environmental performance.
For instance, in some schemes, lighting control systems based on available daylight, building occupancy,
and time programming, can earn points towards higher ratings, especially when associated with the addition
of sensors. The same is true for HVAC control systems. Other schemes assign extra points for submetering
and trend-logging systems that make it possible to analyse energy use in different rooms, departments or
tenants. The possibilities for taking Energy Management benefits into account in these rating systems are
virtually endless and will hopefully be increasingly integrated in all such schemes.
Slide 33
Efforts to create low energy, nearly zero energy, and green buildings must still take into account the existing
standards for the comfort of occupants. Requirements for indoor air quality and thermal conditions must still
be achieved. For example, the standard EN 15251 deals with Indoor environmental input parameters for
design and assessment of energy performance of buildings addressing indoor air quality, thermal
environment, lighting and acoustics. In the US there are several standards dealing with similar topics. One
example is ASHRAE standard 62.1, which addresses ventilation for acceptable indoor air quality.
Slide 34
EN15251 defines minimum ventilation requirements, minimum and maximum indoor temperatures that can
be used for energy calculation, assessment and certification. It is different than prescribed standards
because it makes a difference between mechanically ventilated systems and naturally ventilated systems.
For buildings without mechanical ventilation or cooling, alternative methods are proposed.
Slide 35
The scope of EN 15251 specifies the indoor environmental parameters which have an impact on the energy
performance of buildings. The standard identifies parameters to be used by monitoring and displaying the
indoor environment in existing buildings. Its applicable to the following building types: single family houses,
apartment buildings, offices, educational buildings, hospitals, hotels and restaurants, sports facilities, and
wholesale and retail trade service buildings.
The standard specifies how different categories of criteria for the indoor environment can be used, but does
not require certain criteria to be used. This is up to national regulations or individual project specifications.
The recommended criteria in this standard can also be used in national calculation methods, which may be
different to the methods referred to in this standard.
The standard does not prescribe design methods, but gives input parameters to the design of buildings,
heating, cooling, ventilation and lighting systems.
Criteria for local thermal discomfort such as draught, radiant temperature asymmetry, vertical air
temperature differences and floor surface temperatures shall also be taken into account for the design of
building and HVAC systems. These criteria are not included in this standard; but can be found in EN ISO
7730 or national codes.
Slide 36
EN ISO 7730, a standard for thermal comfort, is based on Fangers Predicted Mean Vote (PMV), which
predicts the mean thermal sensation of a group of people, and the Predicted Percentage of people
Dissatisfied with the environment (PPD).
Another example of this is ASHRAE 55, which defines conditions that are considered satisfactory for a
specific percentage of users, including calculation methodologies for thermal comfort based on PMV/PPD.
Now lets look at White Certificates and Energy Supplier Obligations.
Slide 37
White certificates and other measures aimed at energy suppliers stimulate energy efficiency by obliging
energy companies to improve the way their end customers use the energy. This is most often done through
tradable certificates or straight-forward obligations. White certificates place a legal obligation on energy
suppliers, retailers and/or distributors to encourage investments that will produce energy savings on their
customers premises.
Slide 38
Here is an example from France.
The French White Certificates, referred to as CEEs (certificat dconomie dnergie) were set up in July
2006 to implement the new French energy policy law passed in July 2005. It places an obligation on
suppliers of electricity, gas, domestic fuel (except for transport), LPG, cooling and heat to produce energy
savings in their own installations or those of users in their residential and commercial markets. Over the
period of July 2006 to June 2009, there was a national target of 54 TWh (tera-watt hour) life time savings of
final energy. The target is shared out between the obliged energy suppliers and can be reached either by
implementing end use energy savings or by buying energy saving certificates from others. If the target is not
met, a penalty of 2 eurocents must be paid for each missing kWh of lifetime savings.
Note that many of the measures considered to produce energy savings involve heating and lighting control
systems. Hopefully other Energy Management measures will be added in the future.
Slide 39
In most countries, various incentives, generally of a financial nature, exist to encourage investments that
reduce building energy consumption and CO2 emissions. They apply to energy efficiency measures such as
improving insulation, replacing equipment with more energy efficient equipment, installing renewable energy
products and installing monitoring, measurement, and control systems. The financial aid can take a variety
of forms including tax reductions, grants, soft loans or the avoidance of penalties. Depending on the country,
its areas of greatest potential for energy savings, as well as government funding structures, certain solutions
may be given priority.
For example, solar water heaters are one of the priority targets in Spain. In France, starting in 2010, tax
cuts will be available for the purchase of homes that consume less than 50 kWh/m/year. Once again, it is
important that such incentives increasingly apply to Energy Management measures that can contribute
widely and at a relatively low cost to higher energy efficiency and lower CO2 emissions.
Slide 40
Energy efficiency in buildings is clearly one of the keys to reducing greenhouse emissions, a major
challenge that we must meet and beat to avoid the catastrophic consequences of climate change
and global warming. Over and above rising energy costs and growing public awareness, the main
drivers that will help us achieve bold emission reduction targets are energy efficiency regulations,
building codes, standards, labels, certifications, obligations and financial incentives. We have seen
how international energy efficiency directives and standards are multiplying and are gradually
being taken into account in national regulations and building codes, not only in Europe but
increasingly around the world.
We have also looked at the wide variety of labels, certificates, obligations, and financial incentives
that exist in different countries.
The targeted giant leap forward in energy efficiency in buildings will require concerted action on
two fronts corresponding to Building Design and operational Energy Management through building
measurement, monitoring, and control.
Although many of the drivers focus on Building Design, relatively few touch on Energy
Management aspects that can produce major operational gains with relatively low investments and
quick payback.
Slide 41
Fan Systems I Introduction to Fan Performance

Slide 1
Welcome to Fan Systems I: Introduction to Fan Performance
Slide 2
This course was produced including content from the U S Department of Energy publication Improving Fan System
Performance: A Sourcebook for Industry and with the support of Air Movement and Control Association International.
Slide 3
Slide 4
Review the factors that should be considered when fans are selected
Interpret a fan performance curve and
Explain the best efficiency point on a performance curve
Slide 5
This course is part of a series. In the next course, we will look at the different fan types available.
Slide 6
Fans are machines for moving air and air-borne materials, and are widely used in industrial and commercial
applications. From shop ventilation to material handling to boiler applications, fans are critical for process support and
human health. In the manufacturing sector, fans use billions of kilowatt-hours of energy each year a significant
percentage of all the energy used by motors. Similarly, in the commercial sector, the electricity needed to operate fan
motors composes a large portion of the energy costs for space conditioning.
Slide 7
In manufacturing, fan reliability is critical to plant operation. For example, where fans serve material handling
applications, fan failure will immediately create a process stoppage. In industrial ventilation applications, fan failure
will often force a process to be shut down (although there is often enough time to bring the process to an orderly
stoppage). Even in heating and cooling applications, fan operation is essential to maintain a productive work
environment. Fan failure leads to conditions in which worker productivity and product quality declines. This is
especially true for some production applications in which air cleanliness is critical to minimizing production defects
(for example, plastics injection molding and electronic component manufacturing).
Slide 8
Because fan operation has such a significant impact on plant production, the importance of fan reliability often
causes system designers to design fan systems conservatively. Concerned about being responsible for under2011 Schneider Electric. All rights reserved. All trademarks provided are the property of their respective owners.
performing systems, designers tend to compensate for uncertainties in the design process by adding capacity to
fans. Unfortunately, oversizing fan systems creates problems that can increase system operating costs while
paradoxically decreasing fan reliability.
Slide 9
Fans that are oversized for their service requirements do not operate at their best efficiency points. In severe cases,
these fans may operate in an unstable manner because of the point of operation on the fan airflow-pressure curve.
Oversized fans generate excess flow energy, resulting in high airflow noise and increased stress on the fan and the
system. Consequently, oversized fans not only cost more to purchase and to operate, they create avoidable system
performance problems.
Slide 10
A fan does not function in isolation. It is part of a system of supply and demand. The use of a system approach will
typically yield a quieter, more efficient, and more reliable system.
In this course, we will focus on systems using air pressures of less than 1 bar, just over 1,000 centimeters of water
column. In US units we are speaking of less than approximately 15 PSIG, around 415 inches of water column. For
higher-pressure applications, please see our courses on compressed air.
Slide 11
Fan selection is a complex process that is based on calculating the airflow and pressure requirements of a system,
then finding a fan of the right design and materials to meet these requirements. Temperatures, airstream properties,
and system layout all contribute to the decision. These factors are usually not constant. They tend to vary over a
period of time. This uncertainty is combined with the possibility that fan efficiency may decline due to fouling effects
from accumulation of particulate matter or the possibility of capacity expansion.
Slide 12
Designers tend to protect against being responsible for inadequate system performance by overspecifying which
increases the specified size of a fan/motor assembly. In effect, they choose one size up. Other considerations, such
as cost, efficiency, operating life, maintenance, speed, material type and space constraints further complicate fan
selection.
Slide 13
Fans are usually selected from a range of models and sizes, rather than designed specifically for a particular
application. Often, a fan type is chosen for nontechnical reasons, such as price, delivery, availability, or designer or
operator familiarity with a fan model. However, an oversized fan/motor assembly creates a different set of operating
problems, including inefficient fan operation, excess airflow noise, poor reliability, and pipe/duct vibrations.
Slide 14
If noise levels, energy costs, maintenance requirements, system reliability, or fan performance are worse than
expected, then the issue of whether the appropriate fan type and size was initially selected should be revisited.
If you are familiar with the problems and costs associated with poor fan selection, you will be able to aim for improved
fan system performance through better fan selection and improved operating and maintenance practices.
There are a number of considerations to keep in mind when selecting a fan. Lets first talk about noise.
Slide 15
In industrial ventilation applications, noise can be a significant concern. High acoustic levels promote worker fatigue.
The noise generated by a fan depends on the fan type, airflow rate, and pressure. Inefficient fan operation is often
indicated by a comparatively high noise level for a particular fan type.
If high fan noise levels are unavoidable, then ways to attenuate the acoustic energy should be considered. Noise
reduction can be accomplished by several methods such as insulating the duct. The fan can be mounted on a soft
material, such as rubber or suitable spring isolator as required to limit the amount of transmitted vibration energy.
Sound dampening material or baffles can also be installed to absorb noise energy.
Lets move on to talk about rotational speed.
Slide 16
The speed of rotation of the fan relates directly to its performance in terms of airflow, pressure and power consumed.
Different designs of fans generate different levels of airflow for the speed. An accurate understanding of the system
requirements is needed to select a fan with the correct rotational speed.
Now lets talk about airstream.
Slide 17
Moisture and particulate content are important considerations in selecting fan type. Contaminant build-up on fan
blades can cause severe performance degradation and fan imbalance.
Depending on the design of the fan blades, the fan may be susceptible to contaminant build-up and therefore only
suitable for use in clean environments. Other designs operate so that airflow across the blade surfaces minimizes
build-up. These fans are used in dirty airstreams and in material handling applications.
Slide 18
Corrosive airstreams require materials that can withstand corrosive attack, such as alloys, fiberglass-reinforced
plastic or resistant coatings. Leakage into ambient spaces may be a concern, requiring the fan to be equipped with a
shaft seal to prevent or limit leakage from around the region where the drive shaft penetrates the fan housing.
Motors may be required to be sealed to protect them from particulates. In flammable environments, spark-resistant
materials may be needed, along with proper grounding to minimize sparking from static discharge.
Next, lets look at temperature range.
Slide 19
To a large degree, temperature range determines fan type and material selection. In high-temperature environments,
many materials lose mechanical strength. The stresses on rotating components increase as the fans operating
speed increases. Consequently, for high-temperature applications, the fan type that requires the lowest operating
speed for a particular service is often recommended.

There may also be variations in operating conditions. Lets look at that now.
Slide 20
Applications that have widely fluctuating operating requirements should not be served by fans that have unstable
operating regions near any of the expected operating conditions. This may rule out certain designs of fan unless
additional devices are included in the design.
Slide 21
Another consideration is space constraints. Cost of floor space often motivates designers and architects to fit fan
systems within a tight space envelope. This can lead to using small-radius elbows and small ducts, and very compact
fan assemblies. Doing this can save space but increase operating costs and make maintenance access more
difficult. These factors should be taken into account to assess the trade-off between space and total cost of
ownership.
Slide 22
Lets see how fan performance is defined and drawn graphically. This will help us understand the different fan types
which we will cover in part II of this series.
Slide 23
A fan performance curve is a graphic representation of the performance of a fan. Usually, it covers the entire range
from free delivery (no obstruction to airflow) to no delivery which is an airtight system with no air flowing. One, or
more, of the following characteristics may be plotted against volume airflow (Q).
Fan Static Pressure Ps which is pressure caused by compression
Fan Total Pressure Pt which is caused by compression and motion
Fan Power H which is the power absorbed by the fan from the motor.
You may also see Fan static efficiency, denoted as s, or Fan total efficiency, denoted as t
The fan efficiency is the ratio between power transferred to the airflow and the power used by the fan. Static
efficiency takes into account compression effects only. Total efficiency also takes into account kinetic energy.
Slide 24
In SI units, pressure in fan systems is usually measured in millimetres or centimetres of water column (written as mm
w or cm w). This pressure measurement is based on the idea that a column of water of a specific height and
temperature will exert a certain pressure per unit cross-section.
In US customary units, inches of water (in w) are generally used. In both measurement systems, you may see a g
added after the w to indicate that it is gauge pressure. Gauge pressure means pressure relative to atmospheric
pressure. The other measurement, absolute pressure, is the pressure relative to an absolute vacuum.
Airflow in SI units is usually expressed as cubic metres per hour or CMH, although you may also see litres per hour
(LPH). In US units cubic feet per minute or CFM is commonly used.
Air density (), fan size (D), and fan rotational speed (N) are usually constant for the entire curve and must be
stated.
Slide 25
Here we can see two fan curves, one in metric units and one in US units. What this shows is that when pressure or
resistance to airflow is high, the airflow is low. When the pressure or resistance to airflow is low, airflow is high.
The line shows you the relationship between pressure and airflow for this fan, at a particular speed. This relationship
is not linear, and as shown on this curve, the line can slope so that in some regions, airflow can increase with
pressure.
If you need a fan that can operate under pressure of 80 mm wg to produce airflow of 22 CMH per minute, this fan
will not work for you. Similarly if you need a fan to operate under pressure of 3 in wg to produce airflow of 14 CFM,
this will not be a suitable fan. You will need to choose a different fan, or operate this fan at a different speed, which
will have a different curve.
Lets move on to talk about system curve.

Slide 26
An air system may consist simply of a fan with ducting connected to either the inlet or the outlet or to both. A more
complicated system may include:
a fan
ductwork
air control dampers, which are plates or other obstructions in the airflow to provide control
cooling and heating coils
filters
sound attenuation
Slide 27
Every system has a combined resistance to airflow that is usually different from every other system, and is
dependent upon the individual components of that particular system. The determination of the "pressure loss" or
"resistance to airflow," for the individual components can be obtained from the component manufacturers. The
determination of pressure losses for ductwork design is well documented in standard handbooks.
Slide 28
At a fixed airflow through a given air system a corresponding pressure loss, or resistance to this airflow, will exist. If
the airflow is changed, the resulting pressure loss, or resistance to airflow, will also change. The system curve of a
"fixed system" plots the resistance to flow versus volume airflow. Here we have illustrated three different systems (A,
B, and C).
For a fixed system, an increase or decrease in airflow results in an increase or decrease in the system resistance
along the given system curve only. Also, as the components in the system change, the system curve changes. Here,
system A is designed for a specific volume of airflow.
Slide 29
The point of intersection of the system curve and the fan performance curve determines the actual airflow. Here we
see that System Curve A has been plotted with a fan performance curve that intersects with the system design point.
This fan and this system will be well matched and work well together.
If we take this fan out and insert it in system B, a different operating point on the fan curve is at the intersection. The
fan will produce less airflow in system B.
System A and system B may actually have the same components. The difference in the system resistance can be
caused by changing the position of dampers or using mixing boxes. This is how airflow is controlled in many systems.
Slide 30
Increasing or decreasing the fan rotational speed will also alter the airflow through a system. There are simple
mechanical laws for this relationship, called the fan laws, or affinity laws.
Flow is proportional to the rotational speed. This means that with half the rotational speed, you get half the flow.
Pressure is proportional to the speed, squared. So with half the speed, you get a quarter of the pressure.
Power is proportional to the shaft speed, cubed. Half the shaft speed, uses one-eighth of the power
Slide 31
These relationships are easily expressed to evaluate the effect of changing speed.
Airflow1 is the current airflow, obtained at Speed1. Airflow2 is the new airflow obtained at Speed2.
It follows that for pressure the relationship looks like this
And for power it looks like this
Slide 32
You may also see these formulas with airflow represented by a Q, speed by N, pressure by P and power by H.
Slide 33
Lets look at an example using these calculations and see how reducing speed has a larger effect on pressure and
power than you might expect.
For this example the units of flow, power, pressure or speed dont matter.
Imagine a hypothetical fan running at a speed of 10. The fan is achieving a flow rate of 8, a pressure of 40, and is
consuming 240 units of power.
What is the effect of halving the speed?
Well, we know that flow is proportional to speed, and heres the equation that expresses that. When we apply this
expression to the example values, we see that the airflow is halved, and the result is 4. So, half the speed, half the
flow. Simple so far. Now lets look at pressure. Heres the equation.
When we put in our example numbers, we have to remember that the speed terms are squared.This calculates to a
quarter, and the result is 10. So, half the speed gives just quarter the pressure.
Now lets do power. Heres the equation.
When we put in our values, now the speed terms are cubed. A half times a half times a half is an eighth, and the
result is 30.
So with half the speed, we use just one eighth of the power!
Slide 34
The relationship of speed reduction to power reduction is shown on this chart and data table.
Note that these theoretical savings are not always achieved in practice, because the motor may be less efficient at
part load and the components that provide the speed reduction themselves consume energy. We will discuss this
further and provide some tools for efficiency calculation in part III of this series.
Slide 35
The effect of increasing the speed can be plotted on a second fan curve. Here we see the first curve showing the
pressures and airflows achieved with a speed of N. The second curve shows the pressures and airflows achieved
when N is increased by 10%, to 1.1 * N. Since the components did not change, system curve A remains the same.
With the increased airflow, the system resistance is also increased to the point of intersection with the new fan curve.
Lets move on to look at the best fan efficiency point.

Slide 36
Fan efficiency is the ratio of the power imparted to the airstream to the power delivered by the motor. Like all
efficiencies, this is effectively power output divided by power input.
For a fan, the power of the airflow is the product of the pressure and the flow, corrected for units consistency. The
equation for total efficiency is as shown in metric units and shown here for US customary units.
Notice that both of these equations are based on the power absorbed by the fan, in other words, the power output
from the motor. This is not necessarily the same as the power drawn by the motor. Motors have their own efficiency
factors, so they will draw more power than they put out.
Slide 37
An important aspect of a fan performance curve is the best efficiency point or BEP. This is where a fan operates
most cost-effectively in terms of both energy efficiency and maintenance considerations.
Operating a fan near its BEP improves its performance and reduces wear, allowing longer intervals between repairs.
Moving a fans operating point away from its BEP increases bearing loads and noise.
Lets move on to take a brief look at the region of instability.
Slide 38
In general, fan curves arc downward from the zero flow condition. In other words, when there is less backpressure on
the fan, there is more airflow. Most fans have an operating region in which their fan performance curve slopes in the
same direction as the system resistance curve. This means that there is a certain range where, instead of less
pressure producing more airflow, the reverse is true. For that small range less pressure would produce less airflow,
due to quirks in the design of the fan blades.
Slide 39
A fan operating in this region can have unstable operation. Here you can see a fan curve with a potential region of
instability, and three system curves. Notice that the slope lines for the region of instability and the system curves are
parallel. Instability will result when the fan curve intersects the system curve at more than one point.
A fan operating in this region can have unstable operation.
Instability results from the fans interaction with the system; the fan attempts to generate more airflow, which causes
the system pressure to increase, reducing the generated airflow. As airflow decreases, the system pressure also
decreases, and the fan responds by generating more airflow. This cyclic behavior results in a searching action that
creates a sound similar to breathing. This operating instability promotes poor fan efficiency and increases wear on
the fan components.
You can see that for these reasons it is important to think of the fan as part of the system. Simply selecting a smaller
fan or turning it down to a slower speed may not have the desired results.
Slide 40
Start-up refers to two different issues in the fan industry. Initial fan start-up is the commissioning of the fan and the
process of ensuring proper installation. This event is important for several reasons. Poor fan installation can cause
early failure, which can be costly both in terms of the fan itself and in production losses. Like other rotating
machinery, proper fan operation usually requires correct drive alignment, adequate foundation characteristics, and
true fit-up to connecting ductwork.
Slide 41
Fan start-up is also the acceleration of a fan from rest to normal operating speed. Many fans, particularly centrifugal
types, have a large rotational inertia meaning they require significant torque to reach operating speed. The air mass
moved by the fan also adds to the start-up torque requirements on the motor. This may not be a problem in HVAC
systems, but it can be an issue in large industrial applications. Proper motor selection is essential to ensure the fan
can be brought to operating speed, and once there, that it operates efficiently. High efficiency motors and devices
such as soft starters to avoid large start-up currents should be considered. For more information on this topic, please
take our available courses.
Lets move on to take a look at system effects.
Slide 42
The system effect is the change in system performance that results from the interaction of system components. We
have seen examples of system curves. Typically, during design, the system curve is calculated by adding the losses
of each system component (dampers, ducts, baffles, filters, tees, wyes, elbows, grills, louvers, etc.)
The system curve assumes all components display pressure loss characteristics according to their loss coefficients.
However, in reality, non-uniform airflow profiles that are created as the airstream develops swirls and vortices cause
system components to exhibit losses that are higher than their loss coefficients. The overall effect of these added
losses is to move the system curve up, as shown by the corrected system curve in this figure.
Slide 43
The system effect can be minimized by configuring the system so that the flow profile remains as uniform as
possible. However, if space constraints prevent an ideal system layout, then system effect consequences should be
incorporated into the fan selection process.
Slide 44
Lets take a moment to review what we have covered throughout this course:
The correct choice of fan depends on the airflow and pressure requirements which are directly related to the
speed of rotation. Other factors in fan selection include noise, moisture and particulate content in the
airstream, temperature range, variations in operating conditions, and space constraints
The performance of a fan is shown graphically on a fan curve
The components of the air system including the ductwork, dampers, filters, cooling and heating coils all
contribute resistance to airflow and is shown graphically on a system curve
The intersection of the fan and system curves determines the actual airflow generated by the fan
Operating a fan near its best efficiency point improves its performance and reduces wear, allowing longer
intervals between repairs
Designers may oversize fans due to concerns about underperformance and reliability
The effects of oversizing are:
High capital costs, since large fans tend to cost more than small ones, and also require larger and more
costly motors
High energy costs, because the fan may not be operated near its best efficiency point, or because it
generates more airflow than necessary
Poor performance, such as inefficient or unstable operation
Increased bearing loads, reduced reliability and frequent maintenance, especially if the fan is operated far
from its best efficiency point
Noise and vibration, which workers may adapt to and not complain about, but which nevertheless
contributes to fatigue and reduced productivity
Slide 45
Flow is directly proportional to rotational speed.
Pressure is proportional to the speed, squared.
Power is proportional to the speed, cubed.
Hence fan energy consumption is very sensitive to changes in speed.
In part II of this series, we will look at the different types of fans available.
Slide 46
Fans Systems II: Fan Types

Slide 1
Welcome to Fan Systems II: Fan Types. This is the second course in the fan series. If you have not already done so,
please take Fan Systems I before taking this course.
Slide 2
This course was produced including content from the U S Department of Energy publication Improving Fan System
Slide 3
course. Click on attachments to download supplemental information for this course. Click the Notes tab to read a
Slide 4
List the different types of fans
Understand appropriate applications for multiple fan installations
Slide 5
Key impacts that determine which fan type is the most appropriate include technical and nontechnical attributes.
Technical considerations include pressure, airflow rate, efficiency, space constraints, noise generation, drive
configuration, temperature range, variations in operating conditions, and tolerance to corrosive or particulate-laden
airstreams. Nontechnical reasons include cost, delivery time, availability, and designer/operator familiarity with a fan
model.
Understanding the principles of fan selection can be helpful in correcting poor system performance, especially during
retrofit or upgrade opportunities. If noise levels, energy costs, maintenance requirements, or fan performance do not
meet expectations, then a different type of fan may need to be considered.
This course is part of a series. In the next course, we will look at how airflow is controlled in fan systems.
Slide 6
There are two primary types of fans: axial and centrifugal.
Adapted from AMCA Publication 201-02, Fans and Systems, with written permission from Air Movement and Control
Association International, Inc
Slide 7
Axial fans act like propellers, generating airflow along the direction of the fans axis.
Slide 8
Centrifugal fans generate airflow by accelerating the airstream radially and converting the kinetic energy into
pressure.
Slide 9
The fan contains a wheel that supports the fan blades. The wheel turns on a driveshaft. It resembles a waterwheel,
except instead of the water turning the wheel, this wheel is turning the air.
Axial and centrifugal fans have overlapping capabilities in terms of pressure, airflow, and efficiency; however, usually
they are not interchangeable.
Fan drawings adapted from AMCA Publication 201-02, Fans and Systems, with written permission from Air
Movement and Control Association International, Inc
Slide 10
Centrifugal fans are the most commonly used type of industrial fan. They are capable of generating high pressures
with high efficiencies, and can be constructed to accommodate harsh operating conditions. Centrifugal fans have
several types of blade shapes, including forward curved, radial-blade, radial-tip, backward-inclined, backward-curved,
and airfoil. Some centrifugal fan types are capable of serving widely varying operating conditions, which can be a
significant advantage.
Images used courtesy of Greenheck Fan Corporation
Slide 11
Forward-curved blades curve in the direction of rotation. This fan type is typically used in applications that require low
to medium air volumes at low pressure. It is characterized by relatively low efficiency (between 55 and 65 percent).
This fan type is relatively small, and can operate at relatively low speeds, which translates to low levels of noise,
suitable for residential HVAC. Usually they are only used in clean applications. Fan output can be hard to adjust.
Note how the fan curve is somewhat horizontal, so they are not used when close control is required.
Slide 12
Radial-Blade fans have a flat blade shape which limits material build-up. Consequently, these fans are capable of
handling high-particulate airstreams, including dust, wood chips, and metal scrap. They are commonly used in
applications with low to medium airflow rates at high pressures.
Slide 13
Radial-Tip fans fill the gap between clean-air fans and the more rugged radial-blade fans. Radial-tip fans are
characterized by a low angle of attack between the blades and the incoming air, which promotes low turbulence.
They have many of the characteristics of radial-blade fans and are well-suited for use with airstreams that have small
particulates at moderate concentrations and airstreams with high moisture contents. Radial-tip fans can have
efficiencies up to 75 percent. These fans are commonly used in airborne-solids handling services because they have
large running clearances.

Slide 14
Backward-Inclined Fans have blades that tilt away from the direction of rotation. Within backward-inclined fans are
three different blade shapes: flat, curved, and airfoil. Flat blade types are more robust. Curved-blade fans tend to be
more efficient. Airfoil blades are the most efficient of all, capable of achieving efficiencies exceeding 85 percent.
Because airfoil blades rely on the lift created by each blade, this fan type is highly susceptible to unstable operation
due to stall.
Flat
Curved
Air Foil
Slide 15
A consequence of backward-incline blade orientation is a low angle of impingement with the airstream. This
promotes the accumulation of particulates on the fan blades, which can create performance problems. Thin airfoil
blades are more efficient than the other blade types because of their lower rotating mass. However, this thin walled
characteristic makes this fan type highly susceptible to problems with erosion. Loss of blade wall thickness can lead
to cavity formation in the blades, which can severely interfere with fan performance.

Slide 16
The key advantages of axial airflow fans are that they are compact, low cost, and light weight. Axial fans are
frequently used in exhaust applications where airborne particulate size is small, such as dust streams, smoke, and
steam. Axial fans are also useful in ventilation applications that require the ability to generate reverse airflow.
Although the fans are typically designed to generate flow in one direction, they can operate in the reverse direction.
This characteristic is useful when a space may require contaminated air to be exhausted or fresh air to be supplied.
Slide 17
Axial fans have a severe stall region that makes them particularly unsuitable for systems with widely varying
operating conditions. In this stall region, airflow is insufficient to fill the blades, causing the fan to operate unstably.
The consequences of unstable operation include annoying noise patterns, inefficient performance and accelerated
drivetrain wear. This problem of stall can be solved in many axial fans by selecting a fan with an anti-stall device.
These devices alter the airflow patterns around the fan blades, allowing stable fan operation over the entire range of
airflow and pressure.
Fan images provided courtesy of Twin City Fan Companies Ltd

Slide 18
Axial fans must rotate faster than comparable centrifugal fans to achieve the same airflow capacity. This
characteristic makes them noisier than comparable centrifugal fans; however, the noise signature is dominated by
higher frequencies, which are easier to attenuate.
Slide 19
The simplest version of an axial fan is the propeller type. Propeller fans generate high airflow rates at low pressures.
Because propeller fans do not generate much pressure, they are usually not combined with extensive ductwork.
Propeller fans tend to have relatively low efficiencies, but they are inexpensive because of their simple construction.
Propeller fans tend to be comparatively noisy, reflecting their inefficient operation.
The power requirements of propeller fans decrease with increases in airflow. They achieve maximum efficiency,
near-free delivery, and are often used in rooftop ventilation applications.
Slide 20
A more complex version of a propeller fan is the tubeaxial fan. This type is essentially a propeller fan placed inside a
cylinder. By improving the airflow characteristics, tubeaxial fans achieve higher pressures and better operating
efficiencies than propeller fans.
Tubeaxial fans are used in medium-pressure, high airflow rate applications and are well-suited for ducted HVAC
installations. The airflow profile downstream of the fan is uneven, with a large rotational component. This airflow
characteristic is accompanied by moderate airflow noise. Tubeaxial fan drawing adapted from AMCA Publication
201-02, Fans and Systems, with written permission from Air Movement and Control Association International, Inc
Slide 21
Tubeaxial fans are frequently used in exhaust applications because they create sufficient pressure to overcome duct
losses and are relatively space efficient. Also, because of their low rotating mass, they can quickly accelerate to rated
speed, which is useful in many ventilation applications.
Slide 22
A further refinement of the axial fan is the vaneaxial fan. This is essentially a tubeaxial fan with outlet vanes that
improve the airflow pattern, converting the airstreams kinetic energy to pressure.
These vanes create an airflow profile that is comparatively uniform.
Vaneaxial fans are typically used in medium- to high-pressure applications, such as induced draft service for a boiler
exhaust. Like tubeaxial fans, vaneaxial fans tend to have a low rotating mass, which allows them to achieve
operating speed relatively quickly. This characteristic is useful in emergency ventilation applications where quick air
removal or supply is required. Also, like other axial fans, vaneaxial fans can generate flow in reverse direction, which
is also helpful in ventilation applications. Depending on the circumstances, these applications may require the supply
of fresh air or the removal of contaminated air.

Vaneaxial Fan drawing adapted from AMCA Publication 201-02, Fans and Systems, with written permission from Air
Movement and Control Association International, Inc
Slide 23
Vaneaxial fans are often equipped with variable pitch blades, which can be adjusted to change the angle of attack to
the incoming airstream. Variable pitch blades can change the load on the fan, providing an effective and efficient
method of airflow control.
If you would like to download a copy of a chart showing the different fan types, please click on Attachments and
download the document titled Fan Types Chart. This chart has been provided by AMCA.
Slide 24
Fans can be combined in series or in parallel as an alternative to using single large fans. In many cases, two smaller
fans are less expensive and offer better performance than one relatively large one. Some advantages of fans in
series are:
Lower average duct pressure
Lower noise generation
Lower structural and electrical support requirements
Advantages of fans in parallel include:
High efficiency across wide variations in system demand where each fan can be operated close to its BEP.
Redundancy where if one fan incurs downtime due to failure or unexpected maintenance, the others can still
work
Slide 25
However, caution should be used to ensure that one fan does not dominate another. Ideally, all fans should be the
same type and size; however, differences in the duct configuration can cause one fan to operate against a higher
backpressure. In severe cases, one fan will force another fan to operate far away from its BEP. Often, fans placed in
parallel are the same model so that there is balanced load sharing during periods when all the fans are operating.
Another issue can be instability that results from the combined performance curve of two or more fans.

Slide 26
Lets summarize some of the information that we have covered in this course.
The two primary types of fans are axial and centrifugal.

The shapes of the fan blades determine the performance of a fan, such as capability in dirty airstreams.
Multiple fans may be a more flexible and energy-efficient alternative to large fans.
This course is part of a series. In the next course, we will look at how to save energy by efficient control of
airflow. Airflow control provides opportunities to avoid oversizing and operate fans more efficiently with less
energy consumption across a wider range of airflows.
Slide 27
Fan Systems III: Improving System Efficiency

Slide 1
Welcome to Fan Systems III: Improving System Efficiency. It is recommended that you participate in Fan Systems I
and II before taking this course.
Slide 2
This class was produced including content from the U S Department of Energy publication Improving Fan System
Slide 3
Slide 4
At the completion of this course, you will be able to describe the ways that airflow is controlled in fan systems, and
youll also be able to discuss how overall cost and energy efficiency is affected by various fan system approaches.
Slide 5
Fan systems are vital to the operation of many industries and buildings. Fans often serve over a wide range of
operating conditions because of changes in ambient conditions, occupancy, and production demands. The
importance of fans often causes system designers to be concerned about under-performing systems. Designers
tend to compensate for uncertainties by adding capacity. However, peak requirements may only occur for a few days
or weeks each year, and normal operating conditions could be well below the design conditions. Although your fan
may be the right size some of the time, it may be the wrong size most of the time. An oversized fan operates below
its most efficient point and creates problems such as high capital costs, high energy costs, decreased reliability, high
system pressures and flow noise.
A recent study revealed that within building fan systems, almost 60 percent of the fans were oversized, and almost
10 percent of the fans were oversized by 60 percent (ref US EPA).
To improve the performance of fan systems, we must understand the interplay of the system components. Lets
discuss that!
Slide 6
Most industrial fans are driven by AC motors. Motor efficiency directly impacts fan energy consumption. The cost of
energy over the lifetime of the motor may be more than twenty times its initial purchase price. A premium efficiency
motor may be a very wise investment.
There are two principal types of drives to connect the motor to the fan: direct drive and belt drive. Gear drives are
also used but are less common.
Slide 7
In direct drive systems the fan is attached to the motor shaft. This is simple and efficient but not very flexible in terms
of speed. Multi-speed motors or adjustable speed drives can be added to allow for a range of speeds. Multiple-speed
motors are usually selected during the initial design process rather than retrofitted into an existing system.
In belt drive systems, the fan speed can be changed by changing the size of the sheave or pulley. Generally, the
adjustable pulley allows adjustment of fan performance from 10 to 15%. The bottom portion of the pulley is
connected to the motor shaft and the top portion is threaded. Changing the adjustment of the thread changes the
effective size of the sheave, and hence the speed of the fan. There are also different types of belts that may be used
that can improve efficiency up to 4%. This is covered in our class on Efficient Motor Control with Power Drive
Systems.
Slide 8
For most fan systems, air flows through ducts or pipes. In general, ducts are made of sheet metal and used in
low-pressure systems, while pipes are sturdier and used in higher-pressure applications.
If a fan pulls directly from a ventilated space on one side and discharges directly to an external space (like a
wall-mounted propeller fan), duct losses are not significant. However, in most applications, ducts are used on one or
both sides of a fan and have a critical impact on fan performance. Friction between the airstream and the duct
surface is usually significant.
Slide 9
As a rule, larger ducts create lower airflow resistance than smaller ducts. Although larger ducts have higher initial
costs in terms of material and installation, lower friction helps reduce energy cost and offsets some of the initial costs.
Other considerations include duct shape and leakage class.
Round ducts have less surface area per unit cross sectional area than rectangular ducts and so have less leakage.
Depending on the length of the duct system, leakage can account for a significant portion of a fans capacity. This is
especially true in systems with rectangular ducts that have unsealed joints. In hot or cool airstreams, duct surface
area also influences the amount of heat transferred to the environment.
Slide 10
The design of ductwork at the fan inlet or outlet makes a tremendous difference to the system efficiency. Many
problems can be avoided by designing the system so that the inlet and outlet ducts to and from the fan are as straight
as possible within the physical constraints of the available space.
For example, swirls in the airflow at the inlet can reduce or increase the load on the fan impeller. This shifts the
performance curve. These swirls can result from locating elbows too close to a fan inlet. If possible, there should be
enough distance from the closest bend for the airflow to straighten out. Because space constraints often do not allow
ideal configuration, an airflow straightener, such as turning vanes, can improve fan performance.
Slide 11
To accommodate demand changes, flow is controlled by three principal methods:
Inlet vanes and dampers,
Outlet dampers, and
Fan speed control
Some of these improve the efficiency of a fan, others throttle its output which can be a costly and wasteful
approach.
Slide 12
Each method has advantages and drawbacks in terms of initial cost, flow control effectiveness, and energy efficiency.
In fan systems that are used relatively infrequently - for example, less than 500 hours annually - initial cost may be
the dominant factor. In many industrial applications, fans must operate for extended periods and operating efficiency
is higher priority. If the initial purchase price of the fan is 5% or less of its lifetime cost of ownership, then addressing
the 95% derived from energy consumption is clearly a priority.
Slide 13
Often, flow control devices are inefficient, yet the costs associated with their performance are not recognized.
The relative efficiencies of the flow control options are shown in this figure. Note that the scale on this chart goes up
to 120 percent of full power. This is because the motors used on most fans have a 1.15 service factor, so although
the motor is rated to produce 75 kW or 100 bhp of output power, the motor may be operated up to 86.25 kW or 115
bhp. However, motor efficiency drops slightly above the rated load, and increased heat developed in the windings
may shorten the life of the motor. For 60% of full flow, speed control uses around 40 % of the full load power. A disc
throttle at the same flow is using around 70 % of full load power, and outlet vanes are using significantly more power
again. Although these flow control options are available for new fans, not all of them can be retrofit into existing fans.
For example, controllable-pitch blades are typically not considered for retrofits.
Slide 14
Inlet vanes and inlet box dampers are more commonly used with centrifugal fans than axial fans. Inlet vanes create
swirls that rotate in the same direction as a fan impeller. These pre-rotating swirls lower the load on the fan, change
the fan curve and improve fan efficiency. Inlet vanes are particularly cost effective when the airflow demand varies
between 80 and 100 percent of full flow. At lower rates, they are less efficient.
Inlet vanes and dampers may alternatively work by restricting the amount of air entering the fan. Inlet vanes provide
better power savings at part load, as opposed to inlet box dampers.
Slide 15
Outlet dampers provide flow control by changing the restriction in the path of the airstream and throttling the air
leaving the fan. As dampers close, they reduce the amount of flow and increase pressure on their upstream side.
Because they do not change air entry conditions, outlet dampers do not generally offer energy savings.
Slide 16
Dampers can also be used to control airflow in branches of a system or at points of delivery. When an outlet damper
is used for controlling airflow, it usually has opposed-blade design for better flow distribution on the discharge side of
the fan. If the outlet damper is used for open / close service or for isolating the fan, a parallel-blade discharge damper
may be used.
Proper use of dampers can be more efficient than some old-fashioned system designs, especially in HVAC systems.
In variable-air volume (VAV) systems, dampers are effective at rerouting airflow and at controlling the amount of air
delivered to a particular workspace. Before VAV systems were common, HVAC systems provided constant volumes
of air, and sometimes would have separate supplies of hot and cold air that were mixed to create the necessary
temperature. These systems were not efficient, and so a VAV system using dampers is an improvement.
Slide 17
However, in many applications, dampers decrease efficiency. If the fan is generating airflow, and then the damper is
used to choke it off, thats a bit like driving your car with your foot down on the accelerator, and using the brake to
control the speed. Dampers decrease total fan output by increasing backpressure, which forces the operating point of
a fan to shift to the left along its performance curve. This will tend to increase bearing loads and noise. Hence a large
fan throttled by a damper is more likely to break down than a fan correctly sized for the load. Paradoxically, the desire
to avoid under-performance can lead to poor reliability. Also, as the fan operating point moves to the left along its
curve, it operates less efficiently and, in some cases, may perform in an unstable manner. Unstable fan operation is
the result of an aerodynamic phenomenon in which there is insufficient air moving across the fan blades. The airflow
rate surges back and forth resulting in inefficient performance, annoying noise characteristics, and accelerated wear
on the fan drive system.
Slide 18
Variable-pitch blades are an option with some types of axial fans. Here we control fan output by tilting the fan blade
angle of attack with respect to the incoming airstream. This allows the fan to increase or decrease its load in
response to system demand. This method is similar to inlet vanes, which adjust the angle of attack of the entering
airstream by creating a swirl in the airflow pattern. Variable pitch fans are a highly efficient means of matching fan
output to system demand. The average operating efficiencies of controllable pitch fans can equal or exceed those
achieved by VFD-powered fans. Consequently, an application that requires an axial fan to meet a peak load while
normally operating under much smaller load conditions may be an attractive opportunity because it uses
controllable-pitch blades.
Slide 19
These fans have performance advantages.
Because they maintain their normal operating speed, they avoid resonance problems.
Variable-pitch blades can operate from no-flow to full-flow condition without stalling.
During start-up, the fan blades can be shifted to a low angle of attack, reducing the torque required to accelerate to
normal operating speed and providing constant motor speed operation.
Disadvantages of this flow-control option include:
Higher initial cost,
Potential fouling problems because of contaminant accumulation in the mechanical actuator that controls the blades,
and
Motor effects. Because motor efficiency and power factor degrade significantly at loads below 50 percent of rated
capacity, operating at low loads for long periods may not provide efficiency advantages and can incur a low power
factor charge from the utility.
Slide 20
Disc Throttles are used in some centrifugal fan designs, where the generated airflow can be controlled by changing
the effective width of the impeller using a sliding throttle plate. As the plate moves, it changes the amount of impeller
width that is exposed to the airstream. Although this fan design characteristic is not common, its simple design may
be feasible in some applications.
Slide 21
Fan rotational speed adjustments are the most efficient means of controlling flow.
There are effects on the motor. Most motors operate at relatively consistent efficiencies above 50 percent of full load,
with some efficiency loss above full load rating. However, below 40 percent of load, efficiency declines. This
efficiency loss should be included in any economic analysis. If necessary a smaller motor should be considered.
Power factor is also affected. At relatively low loads, the power factor for a motor tends to decrease. Low power
factors are detrimental to a motor and its power supply. Utilities often charge penalties to industrial facilities that have
low power factors. The costs of reducing the motors power factor should be included in the economic analysis and
may provide an incentive to switch to a smaller motor or ensure that capacitor banks on site can address the effects.
Slide 22
There are two primary devices used to control fan rotational speed: multiple-speed motors and adjustable speed
drives (ASDs). ASDs, particularly variable frequency drives (VFDs) are commonly used as retrofit solutions because
they can work with existing motors.
Slowing or speeding up a fan adjusts its output to match system demand. Recalling the affinity laws, speed has a
third-order relationship with power. Hence fan power consumption is highly sensitive to fan speed: a 10% reduction
in speed theoretically gives a 27% reduction in power.
Slide 23
Multiple-speed motors have discrete speeds, such as high, medium, and low. Although these motors tend to be
somewhat less efficient than single speed motors, they offer simplicity, flexibility, relatively compact size, and
significant energy savings for highly variable loads. Depending on the application, switching between settings may
provide sufficient speed control. Although more expensive than single-speed motors, they may avoid the need for
multiple fans.
Slide 24
Adjustable speed drives allow adjustments over a continuous range, avoiding the need to jump from speed to speed
as required by multiple-speed motors. ASDs include different types of mechanical and electrical systems. Mechanical
ASDs include hydraulic clutches, fluid couplings, and adjustable belts and pulleys. Electrical ASDs include eddy
current clutches, wound rotor motor controllers, and variable frequency drives (VFDs). VFDs are by far the most
popular type of ASD, largely because of their proven effectiveness in reducing energy costs.
Slide 25
VFDs control the frequency of the power supplied to a motor to vary its speed with more precise fan output than a
multiple speed motor or changing pulley diameters.
Here are some tools to help illustrate the effects. The links are active so you can feel free to click to access these
tools, but dont forget to come on back to finish the course!
The Energy Consumption Simulator compares a conventional mechanical airflow control to a variable speed drive.
You control the flow by turning the wheel on the throttle and the drive. The simulator shows the energy consumption
for both options.
You can also download the ECO2 Energy Calculator to build a customized report to illustrate energy consumption
with or without a drive, the reduction in carbon footprint and potential cost savings.
Slide 26
A primary reason for selecting a VFD is effective and easy flow control, with flexibility that provides accurate
matching between fan output and the flow and pressure requirements of the system.
Another primary reason is efficiency gains. Firstly, as the system demand changes, the VFD adjusts fan speed to
meet this demand, and the dampers can be left open. Less energy is lost across the dampers or wasted in excess
airflow. VFDs offer substantial savings with respect to the cost-per-unit volume of air moved. Secondly, when fan
speed decreases, the curves for fan performance and power move toward the origin. Fan efficiency shifts to the left,
providing an essential cost advantage during periods of low system demand. Keeping fan efficiency as high as
possible across variations in the flow requirements reduces fan operating costs.
Slide 27
Other benefits include:
The ability to retrofit to existing motors, and
Compact space advantages.
VFDs dont suffer from the fouling problems associated with mechanical devices.
maintenance costs, especially in dirty airstreams.
VFDs help lower airflow noise. Excess fluid energy is primarily dissipated as noise; so operating a fan at
high capacity and then throttling the airflow tends to generate high noise levels. This contributes to ambient
noise in a workplace, and in many systems is high enough to require ear protection.
Another benefit is soft-start capability. During start-up, most motors experience in-rush currents that are 5 to
6 times higher than normal operating currents. VFDs start the motor with a lower current (usually about 1.5
times the normal operating current), thus reducing wear on the motor windings and the controller. Soft
starting also benefits the electrical distribution system. Large start-up currents can create voltage sags that
affect the performance of sensitive equipment, such as controllers. VFDs can reduce these power quality
problems.
This reduces
Lastly, VFDs tend to operate at unity power factors, which can reduce problems and costs associated with reactive
power loads.
Slide 28
VFDs are not appropriate for all applications. Decreasing the speed too much risks unstable operation, especially
with axial fans and some centrifugal fans, such as backward-inclined airfoil and forward-curved types. With these
fans, careful review of the performance curves should be done before choosing a VFD.
Fans, like most rotating machinery, are susceptible to resonance, in which the natural frequency of some component
coincides with the frequency set up by the rotation. Fans are usually designed so that their normal operating speeds
are not near one of these resonant speeds. However, decreasing the speed increases the chances of hitting a
resonant speed. The vibrations cause a range of problems, from annoying noise to destructive failure. VFDs should
be programmed to avoid operating near resonant speeds.
Slide 29
Another concern is the effect of reducing fan speed in a system with high static pressure. When a fans speed is
reduced, less pressure is generated. In many systems, duct outlets are equipped with normally closed dampers that
need a certain amount of static pressure to open them. If a VFD slows the fan so that not enough pressure is
generated, the damper will stay closed and no airflow will be permitted.
Slide 30
Power quality can also be a concern. VFDs operate by varying the frequency of the electric power supplied to the
motor. This can create voltage spikes that increase motor winding temperatures, accelerating the rate of insulation
degradation. Conventional motors usually must be de-rated by 5 to 10 percent when used with VFDs. Inverter duty
motors have been developed to improve the matching with VFDs. VFDs can also generate electrical noise that
interferes with the electrical supply. These problems can typically be corrected with filters. For more on this, please
consider participating in our classes on Active Energy Efficiency with Speed Control and Power Factor Correction
and Harmonics. Systems that are sensitive to minor power supply disturbances should be served separately from the
VFD power supply.
Slide 31
Finally, the VFD itself consumes energy to operate, which must be taken into account when calculating the expected
energy savings. Although at full capacity VFDs can achieve efficiencies of 98 percent, their efficiency at partloads
may be lower. For a belt-driven application where the fan load is relatively constant, using a VFD simply to slow the
fan may be less cost-effective than using a sheave change-out.
Slide 32
Other equipment includes devices like heat exchangers and filters, which are used to condition the airstream.
Conditioning equipment influences fan performance by providing flow resistance and, in some cases, by changing air
density.
Heat exchangers heat or cool an airstream to achieve a particular temperature or to remove moisture. The effects
of heating and cooling coils on fan system performance depend largely on where in the system the heat exchangers
are located, the extent of the temperature change, and how they are constructed. Where there are large changes in
airstream temperature, fan performance can change as the air density changes. Heat exchangers that have closely
spaced fins can accumulate particulates and moisture that not only impact heat transfer properties, but also increase
pressure losses.
Slide 33
Filters remove unwanted particles or gases. Cyclone filters rapidly alter the direction of the airflow so that heavy
particulates, unable to change direction quickly, get trapped. Although cyclone filters are less effective than mesh
filters, they tend to require less maintenance and have more stable pressure-drop characteristics. Mesh-type filters
create increasingly large pressure drops as they accumulate particles. In many systems, poor performance is a direct
result of inadequate attention to filter cleanliness.
Slide 34
A well-designed system can avoid higher-than-necessary operating costs. Using a life-cycle cost perspective can
provide both lower operating costs and improved system reliability. For fan applications, the dominant components of
lifecycle cost include initial equipment cost, energy consumption, maintenance, and decommissioning. A highly
efficient fan system is not merely a system with an energy-efficient motor. Overall system efficiency is the key to
maximum cost savings. Often, users are only concerned with initial cost, accepting the lowest bid for a component,
while ignoring system efficiency. To achieve optimum fan system economics, users should select equipment based
on life-cycle economics and operate and maintain the equipment for peak performance.
Slide 35
Motor and drive efficiency directly impact on fan energy consumption. The cost of energy over the lifetime of
the motor may be more than twenty times its initial purchase price.
Ductwork should be designed to avoid interfering with airflow, especially at fan inlets and outlets. Airflow
straighteners may be used to improve airflow.
Airflow is chiefly controlled by:
o Inlet vanes and dampers,
o Outlet dampers, and
o Fan speed control
Disc Throttles are used with some centrifugal fans, and variable-pitch blades are an option with some axial
fans.
Speed control is the most efficient means of controlling airflow.
Multiple speed motors provide fixed speed settings.
Adjustable speed drives provide a continuous range of settings.
VFDs are the most popular type of ASD.
Slide 36
Fan Systems IV: Improving System Efficiency

Slide 1
Welcome to Fans and Ventilation IV: Improving System Efficiency. It is recommended that you participate in
Fan Systems I, II and III before taking this course.
Slide 2
This course was produced including content from the U S Department of Energy publication Improving Fan
System Performance: A Sourcebook for Industry and with the support of Air Movement and Control
Association International.
Slide 3
Slide 4
Define the main opportunities to improve performance in fan systems
List common fan system problems
Slide 5
There are three principal opportunities in the life-cycle of a system that can be used to improve fan system
performance:
During initial system design and fan selection
During troubleshooting to solve a system problem
During a system capacity modification
During initial selection, knowledge of system operating conditions is essential. This includes:
Air properties such as moisture content, temperature, density, and contaminant level,
Airflow rate and pressure, and
System layout
Awareness of this helps you choose the right type and size of fan.
Slide 6
If you are experiencing problems such as unusually high operating and maintenance costs, poor airflow
delivery, surges or noise or wear on the electrical components of the fans, consider setting up a system
assessment. These are all issues that can be caused by oversized fans, poor system design, poor
balancing or leakage, or wasteful airflow control practices.
Slide 7
When a system has to be modified or upgraded, an assessment of the available fan capacity should be
performed. Unless the existing fan is considerably oversized, added capacity will require a larger fan or an
additional fan. Changing the fan speed can also be considered, and sometimes can be done by changing
the sizes of the sheaves, if the fan is driven by a belt drive. If the system is being reduced in size, the effects
on motor efficiency should be considered, because many motors do not operate efficiently when below half
rated load. A variable speed drive may be required.
Slide 8
Common fan system problems include:
Belt drives, which lose tension and become inefficient as they wear
Worn bearings, which are noisy and can seize up
Motors, which have a finite life even if well maintained. Winding insulation eventually breaks down
and this happens more quickly in motors where the winding temperatures exceed rated values
Contaminants, which can build up on some types of fan blades and affect performance
Fan degradation as blades are abraded or corroded by gases or particles in the airstream
Slide 9
Design or change issues such as on-site modifications to duct work that result in high system effect factors,
improper choice of fan rotational speed and incorrect fan rotation. Insufficient delivery is often due to poor
system configuration such as duct layouts. Operators may attempt to overpower this with additional fan
capacity, but this results in higher operating costs and increased airflow noise. Often a more effective
solution is to address the fundamental cause to configure the system to improve airflow and use flow
straighteners where appropriate.
Many fan systems are designed to support the highest expected operating loads. Because systems are
frequently not re-adjusted during periods of low demand, higher-than-necessary operating costs can result.
Slide 10
Noise that impairs worker comfort and productivity.
Leakage in systems with poor joint integrity not only wastes the power consumed by the fan to move the
leaking air, but also any energy used to heat or cool it.
Unstable operation can result from operating certain types of fans at low airflow rates and from the
interaction of multiple fans in parallel.
Slide 11
Many of these common problems can be addressed by maintenance. Maintenance costs can be a
significant portion of a fan systems total operating costs. There are two principal types of maintenance:
preventive and predictive. Both are intended to improve system reliability, reduce the risk of unplanned
downtime, and avoid expensive failures. Preventive maintenance generally refers to the use of a schedule
to perform inspections and replacement tasks. Predictive maintenance uses diagnostic tools to evaluate
machinery condition, allowing effective planning of repair or replacement tasks.
Slide 12
Maintenance should include:
Inspecting and replacing belts,
Listening for noises that indicate excessive bearing wear,
Measuring bearing operating temperature, or using techniques like vibration analysis
Lubricating bearings
Cleaning components susceptible to contaminant build-up
Checking for ductwork leakage
Testing integrity of motor winding insulation
Replacing motors at end of life with high-efficiency motors
Replacing degraded impellers
Defining operating procedures for different times of year or demand periods
Slide 13
As already mentioned, conservative engineering practices often result in fans that exceed system
requirements. Engineers often include a margin of safety which results in oversizing fans to compensate for
uncertainties in the design process. Anticipated system capacity expansions and potential fouling effects
add to the tendency to specify fans that are one size greater than those that meet the system requirements.
The effects of this are:
High capital costs, since large fans tend to cost more than small ones, and also require larger and
more costly motors.
High energy costs, because the fan may not be operated near its best efficiency point, or because
it generates more airflow than necessary.
Poor performance, such as inefficient or unstable operation.
Frequent maintenance, especially if the fan is operated far from its best efficiency point.
Noise and vibration, which workers may adapt to and not complain about, but which nevertheless
contributes to fatigue and reduced productivity.
Effects such as
Excessive noise and vibration
Frequent maintenance
Unstable operation
are indicators that you can look for.
You can also check the settings of system airflow control devices. If vanes and dampers are closed so often
that they are rusted or locked shut, it indicates that the system continually operates against an unnecessary
load.
Analyse the fan load factor the percentage of the fans full capacity at which it operates. This may be
different at different times, and unless operators maintain good records or are familiar with the equipment,
this may be difficult to determine.
Slide 14
Because they often directly support production processes, many fans operate continuously. These long run
times translate into significant energy consumption and substantial annual operating costs.
The operating costs of large fans are often high enough that improving fan system efficiency can offer a
quick payback. In spite of this, facility personnel often do not know the annual operating costs of an
industrial fan, or how much money they could save by improving fan system performance.
Slide 15
Lets learn about corrective measures for oversized fans:
Replace Entire Fan/Motor button:
Replace entire fan/motor assembly with a smaller one.
Replace Fan button:
Replace with a more appropriate fan type or use an axial fan with controllable pitch blades.
Decrease Fan Speed button:
Decrease fan speed using different motor and fan sheave sizes, which adjust the ratio of the pully
diameters.
Adjust Fan Speed button:
Adjust fan speed using a variable speed drive.
Using Multiple Fans button:
Using multiple fans
The choice depends on:
The system
The indicator of the oversized fan problem
The cost of the solution compared to the savings
Slide 16
A well-designed system can avoid higher-than-necessary operating costs. Using a life-cycle cost
perspective can provide both lower operating costs and improved system reliability. For fan applications, the
dominant components of lifecycle cost include initial equipment cost, energy consumption, maintenance,
and decommissioning. A highly efficient fan system is not merely a system with an energy-efficient motor.
Overall system efficiency is the key to maximum cost savings. Often, users are only concerned with initial
cost, accepting the lowest bid for a component, while ignoring system efficiency. To achieve optimum fan
system economics, users should select equipment based on life-cycle economics and operate and maintain
the equipment for peak performance.
Slide 17
Maintenance is essential to avoid the effects of wear and fouling on motors, fans, ductwork, filters and heat
exchangers.
Oversized fans may be detected by:
Excessive noise and vibration
Frequent maintenance
Unstable operation
Vanes and dampers that are normally closed and may be rusted in place, and by
Low fan load factors
Corrective measures for oversized fans include:
Replacement with a smaller fan
Using a more appropriate fan type or an axial fan with controllable pitch blades
Decreasing fan speed using different sheave sizes
Adjustable speed commonly using a variable speed drive
Using multiple fans
Slide 18

Financial Analysis of Projects I
Slide 1: Financial Analysis of Projects I
Welcome to Financial Analysis of Projects I
Slide 2: Welcome
course. Click the attachments link to download supplemental information for this course. Click the Notes tab to read a
This course explores various calculations involved in a financial analysis. Practice equations are included in this
course and we provide examples in Excel. A basic understanding of creating tables in Excel is required. You may
also find it useful to have a calculator, paper and pencil accessible.
Slide 3: Objectives
At the completion of this course you should be able to:
Use simple financial terminology when presenting projects for approval
Determine simple return on investment and payback period of a project
Construct a cash flow table and obtain the discounted payback, net present value and internal rate of return of a
project
Explain the importance of lifecycle costing
Rising energy prices, dwindling resources and environmental impacts are headline news for todays business
owners. Energy efficiency projects have been shown to be low risk, high return investments.
Financial analysis is key to getting your project approved by decision makers. If your project is presented using the
language and terms they recognize, you will be off to a good start.
Therefore energy managers require a thorough grasp of how economic analysis is used to evaluate return on
investment. This enables you to compare and prioritize projects, and gain management approval.
Slide 5: How Does a CFO Make Decisions?
Very often you will need to obtain project approval from a chief financial officer, or CFO.
How does a CFO make a decision?
CFOs fiscal accountability is very high so they need to be approached from the financial angle.
They want to see a true value proposition that is quantifiable
They want to see critical financial metrics when evaluating investment. So we need to know these metrics well.
They often like to have those metrics presented in spreadsheet form, showing assumptions, so that they can test
additional scenarios as required.
They prefer professional-looking presentations to gain their attention, and that they can use to communicate
internally

They like to have practical information to be able to validate value claims
CFOs look for unbiased, independent perspectives before putting full trust in the analysis. Providing a few wellchosen case studies or references helps to build their confidence that the project value can be derived in the real
world.
CFOs will invest in what they determine to be sound investments. We must help them make the right decisions.
Slide 6: Financial Analysis
Financial analysis is not comprised of just a single component. Instead, it is a collection of methods, skills, tools,
activities, and ideas. They can be combined and used in many different ways to assess the relative value of an
investment over time. Applying this collection in a particular situation requires making choices among the ideas and
methods available and conducting an analysis appropriate to the decision at hand.
In most cases we want to compare the benefits realized to the investment made. The investment, or costs, can be
items like new controls, new equipment, or new lighting. The return, or benefits, can be described as energy savings,
increased occupancy, increased revenue, or increased efficiency. Lets talk a bit more about the benefits realized
from energy efficiency.
Slide 7: Benefits
The primary benefit that is evaluated in a financial analysis is savings resulting from the project, especially the energy
savings. But, in fact, a wide range of benefits can be realized from energy efficiency projects.
The benefits can include:
Energy savings
Savings in raw materials
Reduction in labor effort
Time savings
Improvement in occupant comfort and satisfaction
Reduction in occupant complaints
Increased property value
Increased equipment life
Avoiding lost business, and
Avoiding increases in utility rates
Increased productivity, and
Goodwill
Although you may not be able to put a financial value on all these benefits, it can be useful to include them in your
project presentation.
Slide 8: Process for Financial Analysis
As we will see, there are a number of different ways of evaluating the financial worth of a project. During the process
of financial analysis we have to:
Determine which financial metric is used to analyze investments
Determine the acceptable threshold for that metric
Obtain all the costs of the project
List all the benefits, and

Determine the total impact, not just of the energy savings, but of all the benefits we just discussed
Slide 9: Financial Terms
It is important to have a solid understanding of the most common financial terms used during financial analysis in
order to be able to use them and explain all of them clearly when presenting the case for your project.
The financial terms well define in this section include:
CAPEX and OPEX
Return on investment
Cash Flow
Payback Period
Cost of Capital
Present Value
Discounted Payback
Net Present Value
Internal Rate of Return
Hurdle Rate
Life Cycle Costing
Salvage Value
Please click these terms in order, starting with CAPEX and OPEX. When youve learned about each of them, feel
free to review any of them before clicking the continue arrow to move on.
Slide 12: CAPEX and OPEX
What is CAPEX and OPEX?
CAPEX is an abbreviation for capital expenditure. This is money that a company spends to buy or upgrade physical
assets such as property, buildings or equipment.
OPEX is an abbreviation for operating expenditure. These are the ongoing costs of running the business, such as
energy bills, salaries, and raw materials.
Slide 13: Return on Investment (ROI)
Return on investment, or ROI, is a measure of the return, or benefit, realized on the project compared to the
investment made. It is usually expressed as a percentage. There is an easy formula to calculate simple ROI.
Simple ROI = Gains Costs / Costs
Lets see an example. Anand is evaluating the addition of a cooling tower. The investment is 50,000 over 5 years.
He expects the project will save 70,000 during that 5 year period.
ROI = 70,000 50,000 / 50,000
This gives us an ROI of 40%

An ROI above 0 indicates that the investment returns more than it costs. Higher percentages indicate higher returns.
The simple ROI method is simple to calculate and understand and it is commonly-used.
However:
It does not indicate how long it may take to obtain the return on investment. Its important to clearly state the period
used for the ROI calculation
It also ignores issues such as the value of money over time. As we will see, other financial measures take time
value of money into account and provide a more sophisticated view of the investment
Slide 14: Cash Flow
What do we mean by cash flow?
For projects, cash flow is defined as the net cash coming in or going out each year. Cash received represents
positive cash flow, and cash paid out is negative cash flow. Cash flow is not the same as profitability. It measures the
cash (i.e. money) being received or paid out by the company at different times.
A Cash In example would be revenue, or savings that we expect to receive.
Examples of Cash Out include:
Up-front cost or investment in other words capital expenditure or CAPEX
Additional investments required in the future also CAPEX
Operating expenditures or OPEX
The difference is net cash.
In a typical investment, the initial cash flow is negative (representing the cash out figure), with an expectation of a
future positive cash flow (or cash in) due to the benefits of doing the project.
Slide 15: Janets Project
Lets see an example. You can download Janets project from the Attachments link at the top of your page.
Janet plans to invest 15,000 on variable speed drive controls for fans in her facility. She has calculated the
expected savings from the project, and they are 7,000 in year 1, 6,000 in year 2. However, in year 3 a different
manufacturing process will be launched and those fans will not be used as much, so she has calculated the savings
will be 3,000 in years 3 and 4. In year 5, the product will be obsolete and the production line will close down, so she
has decided there will be no more savings after that.
We can make a Cash Flow table for Janets project. You can see it in the Excel file that we provided, and you can
also see it here. At the outset we expect a negative cash flow of 15,000. We will put that in year zero. Then, the
savings that we expect to receive are listed for each year.
The cash flow for the year is the total of column B and A.

The last column in this table is a running total for the project which shows the sum of previous years.
Slide 16: Payback Period

The payback period answers the question:
When exactly do we get our money back?
In other words, when does our project break even?
If you look at our cash flow table, our running total becomes positive in the third year. But how far into the year?
Figuring this is easy. Using your calculator simply divide the last negative balance in the running total by the cash
flow from the break even year.
This is when we will break even in the final year.
What does this mean? We broke even 2/3 of the way through the 3rd year. The total time required to pay back the
money we borrowed was 2.67 years.
We did the calculation in this example using the cash flow table because the savings are estimated to be different
each year. If you estimate that the project will have the same savings every year, there is a simple formula:
Payback period = Initial cost / Annual savings
This is sometimes called simple payback.
What are the advantages of the payback period method?
It is simple to calculate and understand. It is therefore convenient for simple internal rules of thumb for making quick
decisions to either reject a proposal or take the analysis further.
It is also commonly-used
Often, company guidelines are that simple payback must be less than a certain number of years for a project to be
considered.
What are the disadvantages of the payback period method?

It ignores benefits after the end of the payback period. The payback period only considers the time it takes to
recover the initial investment. It doesnt measure the total benefit of the investment at all. It could lead to rejecting
projects with high total savings and accepting ones that pay for themselves faster but deliver less total benefit.
It may be complicated to calculate for recurring investments. The calculation can be more complicated if there are
other investments in later years and/or year-by-year variations in the project returns or savings.
It does not take into account the time value of money, and this is the biggest disadvantage of the payback period as
a decision tool.
To address these limitations, discounted payback can be used, which has cost of capital and time value of money
built in.
Slide 17: Cost of Capital
The Cost of Capital is the required return necessary to make a capital investment project worthwhile. It is the rate of
return that the firm would get if it invested the same amount of money elsewhere with similar risk. If the project return
is less than the cost of capital, it is not worth doing the company would get a better return by investing somewhere
else. Typically, companies compare investments using a normal market interest rate of 8%.
There are two parts to Cost of Capital:
The Cost of Debt is the interest rate that the customer is being charged if they fund the project with a loan or bond.
This is the effective rate a company pays on its current debt.
The Cost of Equity represents the compensation that the market demands in exchange for bearing the risk of
ownership. It is the return stockholders require for a company.
Slide 18: Present Value
The time value of money is related to the notion that money now is more valuable than money in the future.
For example, would you prefer to have $100 now, or $100 in a years time?
Its better to have $100 now, because in a years time $100 will not be worth as much.
If you assumed that your money could earn 10% interest in a year, $100 paid now would have the same value as
$110 paid a year from now. Your $100 has a future value of $110. Conversely, $110 in a year has a present value
of $100.
You can calculate the present value of a future amount using this formula:
PV = FV/(1 + i)n
PV is the present value of the cash flow
FV is the future value of the cash flow
i is the interest rate. This can also be called the discount rate, rate of return (ROR) or minimum attractive rate of
return (MARR). Cost of capital may be used as the interest rate, or a higher value may be used to take account of
risks.
n is the time in years when the future cash flow occurs

Over a period of years, you would receive compound interest interest earned on the interest from previous years.
This is covered by the power of n in the equation.
Present value may also be called discounted present value.
Try calculating the discounted cash flow in our example for the flow of 6000 that comes in year 2.
Let's say the interest rate is 10%. Click here when you are ready to check your calculation.
Slide 19: Discounted Present Value
The future value is 6,000. The interest rate I is 0.1. And n is 2 years. So our calculation looks like this:
PV = 6000/(1 + 0.1)2 = 6000/(1.1)2 = 6000/1.21 = 4958.68
At this rate of interest, 6,000 in year 2 is worth a bit less than 5,000 today.
Slide 20: Discounted Present Value
For each year the calculation will be different, because the number of years is different, and the future value is
different. The interest rate each year can be different too then the formula looks like this.
PV = FV/(1 + i1) (1 + i2) (1 + i3)(1 + in)
Each value of i is the interest rate for a different year.
Slide 21: Discounted Payback
Discounted payback is similar to the payback calculation we performed earlier, except you first discount your future
cash flows to obtain their present value. Why? Because it is money you will get in the future, and will be less valuable
than money today. In doing this, we are now accounting for the time value of money.
Lets see how this impacts on Janets project. We have added a column for the discounted cash flows. You can
explore this in the Excel file on the discounted payback tab, and you can also see it here. Each row was calculated
using the present value formula that we just learned about, and an interest rate of 10%. If you like, calculate them
yourself to check that you understand where the numbers came from.
When we take the cost of capital into account, we can see that our project does not pay for itself as quickly as we first
thought.
We actually break even sometime in the 4th year But when in the 4th year?
Lets look at our equation: Negative balance / Cash flow from the break even year = When we will break even in the
final year
So, break even during final year = Last negative balance / Cash flow from break even year
1,423.74 / 2,049.04 = 0.69
Using the discounted payback method, we break even after 3.69 years.

Slide 22: Net Present Value (NPV)
Once you understand discounted payback, Net Present Value (NPV) is easy! The NPV is the sum of the present
value of all the cash flows. It is the final running total number. In the example we see here, the NPV is 625.30. This
means that taking the whole project into consideration, including its costs and returns, it is worth 625 in todays
money.
The NPV is affected by how many years are included in the analysis. Remember Janet? She has just been told that
the production line will be needed for another 2 years. So she has added two more rows to her table.
Now that she can include two more years of savings in the calculation, the NPV of her project just went up to
4,181.48. Note that there is no change to the discounted payback period. The project still breaks even in 3.69 years.
This is why using payback period can fail to take into account the full value of a project.
Slide 23: Net Present Value (NPV)

Basically, the NPV and discounted payback apply the same idea, with slightly different answers. The discounted
payback is a period of time, and the NPV is the total value of the project attained by adding all the discounted cash
flows together.
If the NPV is positive, then the project should be approved. It shows that more money is being made on the
investment, than is being spent on the Cost of Capital. If the NPV is negative, then the project should not be
approved because more is being paid in interest on the borrowed money, than is being made from the project.
Generally speaking, the better the project, the higher the NPV. But high NPV projects may rely on a long period of
future cash flows and a high initial investment. This may make project decision makers choose projects with lower
NPVs and shorter paybacks.
What are the advantages of using the NPV method?
It takes into account the time value of money
It is easy to compute even when cash flows vary from year to year
You can use a simple table in Excel
Please note: To calculate the NPV, you need to find out from the project decision maker what is the internal cost of
capital that they use. This is the value that you will use as the interest rate, i, that is used in the calculation. The
actual value used is an internal decision and convention chosen by the financial department. Note that it is generally

not the interest rate that is currently prevailing in the external credit market. It is usually higher.
Slide 24: Internal Rate of Return (IRR)
The Internal Rate of Return (IRR) method is another way that project decision makers can decide whether to approve
a project. It is another method that allows you to consider the time value of money. It represents the return a
company would get if it invested in itself, rather than elsewhere. Essentially, it allows you to find the interest rate that
is equivalent to the monetary returns you expect from your project. Once you know the rate, you can compare it to
the rates you could earn by investing your money in other projects or investments. The IRR is the interest rate that
makes NPV equal zero.
There are two ways that you can find the IRR for our example project.
The first way is trial and error. Change the value of the interest rate used in the calculation until the final value in the
running total is zero. If you had to calculate all the cash flows by hand, that would be time consuming. But in Excel
you can just change the interest rate value until the NPV is close to zero. Note that when you do this you are not
changing the real interest rate or the real NPV of your project. Youre just finding the interest rate which is equivalent
to the project returns.
You can look on the Internal Rate of Return tab in the Excel file and experiment with changing the interest rate to try
to find the IRR. When the NPV after 6 years is close to zero, that interest rate is equal to the internal rate of return.
Well visit this again in part II of this class, where we will build up an Excel analysis together.
Excel includes a function to calculate IRR using an iterative technique.
Taking 6 years of savings into account, Janets project has an IRR of 21%. Thats significantly higher than the cost of
capital at 10%.
If the original projections of 4 years were in effect, the IRR would be 12%. 12% is still better than 10%, so the project
might still be attractive, but its not quite as likely to get approved.
Slide 25: Internal Rate of Return
If the internal rate of return is less than the cost of borrowing used to fund your project, the project will clearly be a
money-loser. However, usually a business owner will insist that in order to be acceptable, a project must be expected
to earn an IRR that is at least several percentage points higher than the cost of borrowing, to compensate the
company for its risk, time, and trouble associated with the project.
The advantage of IRR is that it accounts for the time value of money.
What are the disadvantages of IRR?
It doesnt take into account the size of the initial investment
In some cases it could bias decisions towards smaller projects with high IRRs, rather than larger projects with lower
IRR percentages but higher NPVs
The calculation can sometimes give a wrong result in some cases of large investments later in the project (such that
the net cash flow changes sign). This is a technical issue with the way the IRR is calculated
Slide 26: Hurdle Rate

The hurdle rate is the minimum rate of return that must be met for a company to undertake a particular project. The
hurdle rate is usually determined by evaluating existing opportunities in operations expansion, rate of return for
investments, and other factors deemed relevant by management. A risk premium can also be attached to the hurdle
rate if management feels that specific opportunities inherently contain more risk than others that could be pursued
with the same resources. A large problem with using a hurdle rate is that profitable projects will be turned down. In
addition, a hurdle rate that is too large will create a bias in favor of short-term projects over long-term projects. Thus,
a common method for evaluating a hurdle rate is to apply the discounted cash flow method to the project and then
compare that figure against returns that would be available if the same resources were invested in securities.
Slide 27: Life Cycle Costing
Life cycle costing is a method of analysis that ensures all the costs of owning an asset are included. Sometimes this
is called TCO, or Total Cost of Ownership.
Lets look at another example project. Pascal is planning to replace an air compressor in the plant. He has narrowed
down the choice to two quotations.
The first unit costs $25,000. The second costs $30,000. Which will Pascal choose?
If Pascal focuses only on initial cost, he will choose the first unit. But the life cycle cost approach would require
Pascal to think about other costs such as:
Cost to install the unit
Energy consumed by the unit
Spare parts
Labor required to operate the unit, including training
Labor required to maintain the unit, including training
Lifetime of the unit how long before it has to be replaced
Cost to dispose of the unit at end of life. This is especially significant for equipment that includes hazardous
materials, such as mercury
Many types of equipment, from lamps to motors, consume several times their initial cost in energy during their
lifetime. Spending a little more on a high efficiency unit at the outset can yield a rapid payback when the energy costs
are taken into account over the life of the unit.
When Pascal takes into account the energy efficiency of the two compressors, and the impact on labor, he realizes
that the first one has a life cycle cost of $250,000 over 10 years. The second one is more energy efficient and easier
to operate. Its life cycle cost is just $200,000.
Life cycle cost analysis can incorporate the time value of money. In effect it is the net present value analysis,
ensuring that all the relevant factors are taken into account.
Slide 28: Salvage Value
Salvage value is the value of the equipment at the end of the project. Sometimes the salvage value is positive, for
example, if the equipment can be sold, reused, or has scrap value. Sometimes it is negative, for example, if there is a
cost for decommissioning or disposal.
Salvage value can be an additional positive or negative cash flow that comes at the end of a project. Lets look at

Janets project one more time. She has determined that at the end of year 6, it will cost 2,000 to decommission the
equipment. When she adds this negative flow to her table, the IRR drops from 21% to 19% and the NPV falls from
4,181 to 1,189.
Slide 29: Using Interest Tables

Most financial evaluations incorporate 4 items
The initial investment, sometimes denoted by P
The annual return denoted by A
The interest rate (i)
The lifetime of the project (n)
If you know any three of these values, you can obtain the fourth one.
Calculating discounted cash flows by hand for a project with a long lifetime is an arduous process. The discounted
cash flow for each year has to be calculated separately, and then added up. We have been doing the calculations in
Excel tables, so Excel has been doing the hard work for us.
Historically, financial analysts used interest tables to save time when solving financial analysis questions. These are
tables with pre-calculated factors relating P to A for a given value of i and n. Some people still use this method.
If you see financial notes that include terms like P/A, or present value factor, that indicates the use of an interest
table.
Lets imagine a boiler economizer where the initial investment is $26,000.
The minimum attractive rate of return is 15%.
The lifetime of the project is 5 years.
How much does the annual return from the project have to be to make it worthwhile?
If you were using an interest table, you would first find the table for interest rates of 15%.
You are looking for A, the annual return, so you would look for the column that says To find A given P or (P|A, i%,
n), and the row for 5 years.
The number at the intersection is 0.2983. This number is a conversion factor that allows calculation of present value.

A = P * conversion factor.
So in this case, A = 26,000 * 0.2983 = 7755.80
The savings for each year must be at least $7755.80 to achieve a rate of return of 15% on the initial investment.
Now that we have spreadsheet programs such as Excel, it is easy to construct tables of discounted cash flow and it
is not necessary to use interest tables. But they are still commonly used by many people.
Slide 30: Obtain Approval

The purpose of all this analysis is to equip you to present energy efficiency projects to financial decision makers and
obtain approval.
Sometimes the project will be approved as long as it passes certain criteria. Those criteria could be simple payback,
net present value, or internal rate of return.
Often, the project will be compared to other projects and the ones with the most attractive financial profile will be
approved. If available capital is limited, as is often the case, even projects that pass the minimum standard may not
gain approval if there are other, stronger projects. These other possibilities may have nothing to do with energy
management. The company may be deciding whether to complete an energy efficiency project or something entirely
different such as renovating the company cafeteria.
Slide 31: Obtain Approval
To increase the likelihood that your project will be approved:
Make sure you understand the capital budgeting process at your company. When is the capital budget created? If
you submit your project when the capital budgeting process has just been closed, you may need to wait for several
months or even a year before another opportunity arises.

Find out from the financial controller the key numbers that you should use such as what the company uses as its
cost of capital.
Also, find out what decision criteria and thresholds are used for project approval by decision makers do they want
to see simple payback, NPV or IRR, and what are the minimum required values?
Ensure that you include the life cycle costs.
Include a summary of non-financial benefits.
Investigate if there are any utility rebates or other incentives available that can improve the financial analysis. Utility
rebates can be substantial, in the area of 30% or more of project costs. In Part II of this course, we will look at tax
credits.
Even if your project cant be approved now, keep a copy of the financial analysis handy. If other projects are
cancelled or delayed, capital budget may become available. Towards the end of the year a use it or lose it situation
may prevail. You may be able to quickly secure approval if you are ready to make use of the investment
immediately.
You may download this list by clicking the attachments link at the top of your screen.
Slide 32: Summary
Now, lets summarize what we have learned today.
Financial analysis is key to getting your project approved by decision makers. If your project is presented using the
language and terms they recognize, you will be off to a good start.
The return on investment or ROI is the ratio of the return, or benefit, realized, to the investment made
Common steps in a financial analysis include
Creating a cash flow table which allows for the calculation of the payback period
Calculating the discounted cash flows (or present value of each cash flow) allows for the calculation of net present
value (NPV) and calculating the Internal Rate of Return (IRR)
The final step is to make a decision based on the analysis
The final decision can depend on many other elements besides those listed here. Depending on the company, not all
these steps may be required to gain approval.
Simple payback is easy to calculate and widely used but it does not take into account the total savings from the
project.
The advantage of NPV and IRR is that they take into account the time value of money
Lifecycle costing includes all the costs of ownership, including the initial purchase price, the cost of energy,
maintenance and operations.

Slide 33: Financial Analysis of Projects II
In the next class in this series we will look at some common pitfalls when estimating project savings. Well also see
how to construct formulas in Excel for NPV, IRR and other financial values, plus how to include depreciation and tax
credits to obtain the after tax cash flows that can make your project more attractive.
Financial Analysis of Energy Efficiency Projects II

Transcript
Slide 1: Financial Analysis of Energy Efficiency Projects Part II
Welcome to Financial Analysis of Energy Efficiency Projects Part II
Slide 2: Welcome
Click the paperclip icon to download supplemental information for this course. Click the Notes tab to read a transcript
of the narration.
This course explores various calculations involved in a financial analysis. Practice equations are included in this
course and we provide examples in Excel. A basic understanding of creating tables in Excel is required. You may
also find it useful to have a calculator, paper and pencil accessible.
Slide 3: Objectives
Identify why marginal cost of energy must be used in calculating savings
Identify why blended rates are a pitfall when calculating savings
Construct formulas in Excel for various financial calculations
Include depreciation and tax credits to obtain after tax cash flows
In part I of this class, we learned some of the basic financial language and skills that we need to talk to decision makers
and gain approval for projects.
Many country and state governments are providing financial incentives for energy efficiency projects in the form of tax
credits. Building the value of these credits into your financial analysis can help you to win approval for your projects.
However, our financial analysis is only as good as the data that we put in. There are some common pitfalls that we
should take care to avoid. Lets start by looking at those.
Slide 5: Marginal Cost of Energy
A sound understanding of energy rate structures is required to estimate the savings from a project. Those savings will
depend on factors such as:
The change in efficiency implemented by the project
The operating hours per year
The cost of energy depending on the time of day and time of year
The marginal cost of energy should always be used when estimating consumption savings. The marginal cost refers
to the cost of the last unit of energy consumed. This becomes important in tiered rate structures where successive
blocks of power or energy are less expensive. For example. If a measure saves 10,000 kWh, the savings should be
based upon the cost of the last 10,000 kWh consumed, not an average cost.
Slide 6: Blended Rates

For large consumers, energy bills may be made up of a number of different charges, for example, demand as well as
consumption. Demand refers to the rate of using energy and is analogous to litres per second or gallons per second.
Consumption would be analogous to the total quantity used, in litres or gallons. There may be other charges as well,
such as power factor.
Estimates of savings should take into account the effects on the various charges that go into the bill. Sometimes, a
blended rate is calculated for convenience when looking at trends in the overall cost of energy. A blended rate is the
total energy cost divided by the total consumption.
For example, a bill may contain 1,000,000 kWh of energy at a cost of $0.07 (7 cents) per kWh. The energy charge will
be $70,000.
However there are other charges on the bill, such as a connection fee and a demand charge that total $20,000.
The total bill is therefore $90,000.
A blended rate calculation would determine that the average cost of a kWh was $90,000 / 1,000,000 = $0.09 per kWh (9
cents per kWh).
The problem arises when this blended rate is used to make calculations of energy savings.
Lets imagine a project which can save 10,000 kWh per month. It has no effect on peak demand or power factor.
If the savings are calculated using the blended rate, they will appear to be 10,000 times $0.09, which is $900.
However, the project might impact the energy consumption only, and might not affect the other charges on the bill.
Calculating the savings using only the energy charge would be $700 a significant difference.
Therefore you should be very careful when using average or blended rates for savings calculations.
Slide 7: Depreciation and After Tax Cash Flows
You might be asked to provide the impact of the project after taxes.
To do that we need to know a little about depreciation.
When a business buys equipment, the cost of the purchase is added to the total assets of the company. As the
equipment gets older, it is worth less. The company declares this progressive loss of value as depreciation, stated on
its accounts each year.
Lets look at this in a cash flow table. Youll find it in the After tax cash flows file, which you can download from the
Attachments link at the top of your screen.
You are buying a thermal energy storage system that will last 8 years
It will cost 160,000 and will save you 45,000 per year before taxes.
The salvage value is 0. What is the after tax cash flow each year if your tax rate is 20%?
Look at the tab marked Depreciation.

The first few columns with the before tax cash flows are the same as we have seen before. A new column is for
depreciation. If you need to do an analysis that includes depreciation, the financial controller in your company will be
able to tell you what rules to apply. In this case, we are going to use straight line depreciation, over the eight year life
of the equipment.
It is a simple calculation: Depreciation = initial cost/depreciation period
That depreciation can be used as a deduction, which reduces the taxable income from the project each year.
The information we are given tells us that the tax rate is 20%. This allows us to calculate the tax.
The tax is subtracted from the before tax cash flow to obtain the after tax cash flow.
Once we have the after tax cash flow, we can apply the same discounting process as we did before. However the
minimum acceptable rate of return will be different. Your financial controller will be able to tell you what it should be.
Year Cash Out (A)
Cash In (B)
-160,000.00
Before Tax Cash Deductions

Flow (C=A+B)
(Depreciation)
(D = initial
cost/life
Taxable
income
(E=C+D)
Tax (F=E*tax
rate)
-160,000.00
After Tax Cash

Flow (C+F)
Discounted
After Tax Cash
Flow
Running Total
-160,000.00
-160,000.00
-160,000.00
45,000.00
45,000.00
-20,000.00
25,000.00
-5,000.00
40,000.00
33,333.33
-126,666.67
45,000.00
45,000.00
-20,000.00
25,000.00
-5,000.00
40,000.00
27,777,78
-98,888.89
45,000.00
45,000.00
-20,000.00
25,000.00
-5,000.00
40,000.00
23,148.15
-75,740.74
45,000.00
45,000.00
-20,000.00
25,000.00
-5,000.00
40,000.00
19,290.12
-56,450.62
45,000.00
45,000.00
-20,000.00
25,000.00
-5,000.00
40,000.00
16,075.10
-40,375.51
45,000.00
45,000.00
-20,000.00
25,000.00
-5,000.00
40,000.00
13,395.92
-26,979.60
45,000.00
45,000.00
-20,000.00
25,000.00
-5,000.00
40,000.00
11,163.27
-15,816.33
45,000.00
45,000.00
-20,000.00
25,000.00
-5,000.00
40,000.00
9,302.72
-6,513.61
Slide 8: Tax Credits

A further impact on your financial analysis may come from tax credits. This typically affects a financial analysis much
more than depreciation. Tax credits reduce the tax to be paid. They do not reduce the taxable income.
Tax credits affect the depreciation basis. Normally the amount you can depreciate is reduced by half the tax credit.
So if you bought equipment for $100,000 and have a 20% tax credit, the total amount for depreciation will become
$90,000.
Depreciation basis = initial cost (Tax credit % * initial cost)/2
Year Cash Out (A)
Cash In (B)
-160,000.00
Before Tax Cash Deductions

Flow (C=A+B)
(Depreciation)
(D = initial
cost/life
Taxable
income
(E=C+D)
-160,000.00
Tax (F=E*tax
rate)
After Tax Cash

Flow (C+F)
Discounted
After Tax Cash
Flow
Running Total
48,000.00
-112,000.00
-112,000.00
-112,000.00
45,000.00
45,000.00
-17,000.00
28,000.00
-5,600.00
39,400.00
32,833.33
-79,166.67
45,000.00
45,000.00
-17,000.00
28,000.00
-5,600.00
39,400.00
27,361.11
-51,805.56
45,000.00
45,000.00
-17,000.00
28,000.00
-5,600.00
39,400.00
22,800.93
-29,004.63
45,000.00
45,000.00
-17,000.00
28,000.00
-5,600.00
39,400.00
19,000.77
-10,003.86
45,000.00
45,000.00
-17,000.00
28,000.00
-5,600.00
39,400.00
15,833.98
5,830.12
45,000.00
45,000.00
-17,000.00
28,000.00
-5,600.00
39,400.00
13,194.98
19,025.10
45,000.00
45,000.00
-17,000.00
28,000.00
-5,600.00
39,400.00
10,995.82
30,020.92
45,000.00
45,000.00
-17,000.00
28,000.00
-5,600.00
39,400.00
9,163.18
39,184.10

Look at the tab Tax credit to see an example.
In this case the tax credit is 30%. When the depreciation basis is adjusted for half the tax credit, the result is 136,000.
As a result, the amount depreciated each year is recalculated at 17,000. Now look at the spreadsheet.
The depreciation column has been adjusted for half the tax credit.
The line for year zero now shows the value of the tax credit, 30% of the purchase price. However, sometimes you
cannot claim the full amount of the tax credit, because of the reduction in the depreciation basis. Your financial
controller will be able to tell you the rules to follow in your region.
If we compare the project with and without the tax credit:
Assuming an after tax minimum attractive rate of return of 20%,
The after tax NPV of the project without the tax credit is -6,513.
The after tax NPV of the project with the tax credit is 39,184
A tax credit can change the decision on a project from no to yes.
Slide 11: The New System
Lets work through some examples so that you will be able to construct your own calculations using Excel. Download
the Practice questions file from the attachments link at the top of your screen. Go the first tab, marked Empty table.
Slide 12: The New System
A proposed new system is expected to save $60,000US annually and cost $8,000US per year additional in labor and
maintenance expenses.
The system installed cost is $200,000 and it has a projected life of 15 years
If the minimum corporate rate of return is 17%, what is the NPV of the proposed system?
To solve this question, we will construct a discounted cash flow table. The framework of an empty table is provided for
you in the file.

There will be 15 years in our analysis, so start by copying the Year 1 row of the table so that you have a table for years
1 to 15. It is important to copy and paste the Year 1 row so that you get the formulas that we have built into the table.
Enter the initial project investment in the row for year zero under Cash Out (A). Remember to make it a negative
number.
Enter the annual savings for each year 1 through 15 under Cash In (B)
The project description says that there are $8,000 of additional costs each year. Enter those in the Cash Out (A)
column for each year 1 through 15. Remember to make them negative.
Enter the interest rate in the yellow shaded cell.
When you are happy with your table, click Play to continue
Slide 13: The New System - Solution
Your table should now look like the one on the Complete table tab of the Practice questions Excel file.
The NPV of the system is the last row in the Running total column : $76,857.74
Slide 14: Recreating Formulas
Lets look a bit more closely at the formulas in this Excel file so that you can recreate them if necessary.
The formulas in the Cash Flow column are simple addition of Cash Out and Cash In.
The formula for Discounted Cash Flow is this equation:
And here is how it is coded in Excel
The Running total column is a simple addition.

Excel includes some useful formulas for determining financial values.
Lets stay with the same example, and calculate the Internal Rate of Return.
Remember, the IRR is the interest rate that results in a NPV of zero.
The IRR should be more than the minimum attractive rate of return for the business.
You can find the IRR by trial and error. Try changing the interest rate of the project to different values, until you reach
one where the final running total is nearly zero.
Click play when you are ready to continue.

You should find that 25.1% is the closest value.
Excel also includes an IRR formula.
It looks like this
=IRR(values)
The formula needs to be provided with the list of values that represent your non-discounted cash flows. At least one of
them must be negative for the formula to work.
Pick an empty cell in the worksheet and enter
=IRR(D22:D37)
This will give you a value of 25.1%. You may need to format the cell to show you the decimal place.
What if the length of the project was 10 years rather than 15?
Simply select the range of values that correspond to the 10 year period, including year 0.
=IRR(D22:D32)
Slide 17: Net Present Value

There is also a formula for NPV. It looks like this:
=NPV(rate, values)+initial investment
The NPV formula in Excel assumes that all of the cash flows take place at the end of each period. Since our initial
investment takes place at the start of the period, we have to add it to the NPV value. As long as the investment is
added as a negative number this will work. Try it!
Stay on the tab with the table you created. Pick an empty cell in the worksheet and enter =NPV(B17,D23:D37)+D22
Make sure cell B17 is set with the interest rate given in the problem: 17%.
You should get the same result as the last figure in the Running Total column. The formulas for IRR and NPV that we
just looked at are also implemented on the tab NPV and IRR for your reference.
Slide 18: Annual Return

The last Excel formula we will look at is for obtaining the annual return. Look at the Annual return tab In the Practice
questions worksheet.
An HVAC economizer will cost 20,000 installed.
How much will it have to save each year to return 10%, if its life is 7 years?
How much must it save each year to return 14%?
You could consult a table of conversion values to answer this question, but the PMT formula in Excel can solve this for
you. It looks like this:
=PMT(rate, years, investment)
Choose an empty cell and try entering this:
=PMT(10%, 7, -20000)
You should get an answer of 4,108.11
To confirm this is correct, construct the cash flow table using this sum as the annual return. You should find that the
NPV of the project is zero.
You can view the worked answer in the tab Annual return 10%. Note that in this tab we use cells to contain the data,
and reference those cells in the PMT formula

=PMT(B17,B15,B22)
Now can you work out how much must it save each year to return 14%?
Press Play to continue
Slide 19: Annual Return

Did you change the PMT formula? You can view the worked answer in the tab Annual return 14%
Press Play when you are ready to continue
Slide 20: More Practice

There are some more practice questions in the file that you can work through to be confident with these calculations.
Slide 21: Summary
Lets summarize what we have learned today.
The marginal cost of energy refers to the cost of the last unit of energy consumed. This should always be used when
estimating consumption savings.
Blended rates are the average cost of a unit of energy. They should generally not be used for calculating energy
savings. Energy projects can affect multiple factors within the rate in different ways. Consumption might be affected
but not demand, or vice versa. A blended rate may overstate the total value of the savings.
Depreciation and tax credits are elements that you may have to include to produce an after tax cash flow. The interest
rate used to discount after tax will be different.
Financing and Performance Contracting for Energy Efficient Projects

Slide 1
Welcome to Financing and Performance Contracting for Energy Efficiency Projects.
Slide 2
Slide 3
List the main ways to pay for energy efficiency projects, and define the main characteristics of each
Explain the concept of performance contracting and describe different ways of structuring the
approach, and you will be able to
Explain the importance of measurement and verification to performance contracting
Slide 4
Increasing energy costs are making saving energy more and more attractive. Customers want to implement
energy efficiency projects, but are concerned about the risks. What if the investment that you make doesnt
perform as expected? How can you invest with confidence? And where will you find the money? The
economy is tight and banks are becoming more and more cautious with regards to lending.
The good news is that you have a variety of options!
The purpose of this course is to discuss general funding alternatives including ways that you can share the
risk and increase your confidence through performance contracting.
Lets begin with a discussion of the four basic ways to fund a project.
Slide 5
There are four basic ways to fund a project, these include:
Cash
Borrow
Lease
And Rebates / Grants / Stimulus which are all types of free money.
Performance contracting can potentially be combined with any of these funding methods to reduce your risk.
The exact situation will depend on the specific project.
Lets discuss each one of these in more depth, beginning with cash.
Slide 6
Cash is the simplest way to pay for an energy efficiency project, and is often the most profitable, since the
company keeps all the revenue from savings without diverting any funds towards interest.
However, many companies are simply not in a position to exercise this option for anything but small projects,
typically because their cash reserves are in short supply or they cannot justify the result on their cash flow.
Slide 7
Borrowing is an alternative to using cash. The return using this option may not be as attractive as interest
has to be paid. Its preferable for the borrowing rate to be less than the return on the investmentin which
case, well make money on the net return of the borrowed money. However, the advantages of this option
are that well save our in-house cash for other purposes and the interest on our loan is tax deductible.
If you do choose to borrow, take a moment to consider how much time you are prepared to spend in
financial planning and making your case to someone else to secure funding.
Slide 8
Leasing is another popular way to provide funding for your energy efficiency projects. The advantage of a
lease is that you dont have to find money up-front. Leases generally fall into two types:
A true Lebyasealso referred to as a rentalis tax deductible, however you wont own the asset at the
end of the lease. That can be an advantage, because you do not have to commit to the full purchase price
of the equipment. Another advantage is that a true lease can be declared as part of your operating
expenses. It therefore, would not appear in analysis of your return on capital employed.
The other type is a Capital Lease whereby you declare the asset on your balance sheet, and apply
depreciation. You have the option of purchasing the leased item at the end of the term. This type of lease
is also called rent to own.
Note that true leases are typically subject to strict financial regulations, which will likely require that the
equipment is a temporary installation, and place limits on the total lease length and value. Financial
auditors may require any lease that does not meet regulations to be re-stated as a capital lease.
Slide 9
The fourth way to fund a project is through rebates, grants and stimulus programs. Numerous sources of
funding for energy efficiency and green buildings are available at the national/state/local levels for
homeowners, industry, government organizations and nonprofits.
Most rebates and grants are connected to a specific project and require an application process and some
level of reporting of actual results.
You can often find information regarding rebates and grants by conducting an online search.
Slide 10
It is important to understand that funding options like cash, borrowing, and leasing are almost always
available, but that rebates, grants and stimulus funding are not.
Rebates, grants and stimulus funding options are typically only available for a short time and applicants
compete for the funding, making them more difficult to acquire.
Slide 11
Rebates, grants and stimulus funding can reduce the amount of money you need to find to implement your
project. Whether you finance the remainder using cash, borrowing or leasing can dramatically affect your
life cycle costs (LCC) and after tax cash flow. For example, borrowing has tax implications, and tax
advantages exist with true leases and with municipal bonds (where appropriate).
A financial professional should assist you in comparing your options and determining the most effective
approach for life cycle cost and tax.
Slide 12
We have seen that there are a variety of ways that you could pay for an energy efficiency project. Each of
these methods has their advantages and disadvantages. But in each case, you are typically in the driving
seat regarding the risks and the rewards. If the project works well, you get the savings. If the project
doesnt work; well, you bear the loss.
If youre not comfortable with that, performance contracting could be a solution to manage your risk.
Slide 13
What is Energy Performance Contracting? It is a construction vehicle and financial tool which uses the cash
flow from energy savings to pay for the improvements.
Simply put, you enter into a agreement with a private energy service companyalso commonly referred to
as an ESCO. An ESCO can be a utility company, a manufacturer, or an independent contractor.
The ESCO agrees to research, design, build & support capital improvements which are expected to save
utility and operational costs. The improvements can range from new lighting technologies to boilers and
chillers, to energy management controls, just to name a few.
Slide 14
The owner pays the ESCO for those improvements from the savings obtained during the contract period.
The ESCO must "perform and deliver energy and operational savings or write a check for the shortfall. The
ESCO will identify and evaluate energy-saving opportunities through an investment grade audit and then
design a turn-key package of improvements to be paid for through savings it generates.
Note that the ESCO may perform routine maintenance via an agreed upon maintenance contract or you
may opt to handle maintenance separately. In either case, be sure to record the details and responsibility
prior to entering into the contract.
Slide 15
As with any venture, there are benefits and there are risks. Lets take a look at these from the owners
perspective versus cash.
The main benefit is that neutral or positive cash flow will be generated. For many owners, performance
contracting is the only way they can afford to implement a capital improvement plan. Instead of having to
find capital, performance contracting allows you to obtain necessary upgrades using your operational
budget. There is also a strong incentive for contractor performance, and long-term maintenance provides
added value.
Conversely, the main risks of performance contracting include an unfamiliar process and a long-term
commitment.
Slide 16
Performance contracts are often attractive to owners who lack the cash to pay for projects. The ESCO is
frequently paid upfront by a third party lender: then the owner pays the lender back from the savings
realized throughout the contract period.
The ESCO may also assist the owner with obtaining financing, whether from a lender or from grant or
stimulus packages.
Slide 17
There are four classic structures for performance contracting. These are:
Guaranteed Savingswith this structure, energy savings are guaranteed. The project is structured so that
the savings provide a sufficient income stream to pay for the improvements. Most state or country laws
require the ESCO to guarantee project savings meet or exceed annual payments to cover all project costsusually over a contract term of 10 to 20 years (depending on state law). If savings don't materialize, the
ESCO pays the difference, not you. If there are surplus savings, they are kept by the customer.
Next we have Shared Savingswhereby the savings are documented but not guaranteed and the client
shares some pre-determined portion of the savings with (pays) the ESCO. This is now a very rare option
and has been largely superseded by guaranteed savings contracts.
Theres also the option of Vendor Financing. With this structure, a vendor may be willing to finance the
project because the majority of the improvements will be items manufactured by that vendor. Similar to
Guaranteed Savings, however, it typically does not involve a comprehensive energy retrofit. These are also
becoming rare.
And the fourth classic structure is Chauffage, also known as managed utilities. This is a type of contract
most often found in Europe. The ESCO assumes responsibility for providing an agreed set of energy
services; for example space heat and comfort, illumination or lighting, etcetera. It is, in effect, utility outsourcing with the ESCO assuming responsibility for procuring utilities in addition to savings; the ESCO may
also become the facilities manager and operator in a chauffage contract.
Since Guaranteed Savings is the most common variant, we will use it as the basis for the rest of our
discussion.
Slide 18
The Performance Contracting Process involves:
Initial business case
Planning
Project approval
Implementation and commissioning
Measurement and verification of performance
Settlements and reconciliations
And finally, the end of the contract
Lets take a look at each of these points in more depth, beginning with the business case.
Slide 19
The initial business case step is used to determine if sufficient opportunity and mutual interest exists to
proceed with developing a more detail proposal.
To create the business case the ESCO will usually collect benchmark data from the owner and conduct a
site walkthrough. A brief evaluation of likely opportunities, costs and benefits is discussed. If the business
case meets the criteria of the ESCO and the owner, the project will proceed to the next stepwhich is
planning, so lets discuss that next.
Slide 20
The purpose of planning is to fully describe the project so that it can be approved, and subsequently
achieves its goals. There are several topics to address:
Scope, benefits and risks, so that both the owner and ESCO are clear on what is included and not
included
Short term and long term payback, any hazards that are present and their possible consequences
Measurement and verification must be planned so that it is clear how the project performance will
be monitored and evaluated
This also allocates the risks between the customer and supplier
Commissioning should be described to establish what actions and documentation are needed to
achieve a working project, especially documentation of properly installed/configured systems
Typically, the ESCO will lead the preparation of the plans, and work with the customer to collect information
and preferences. A customer who is familiar with the content of a strong plan will be able to participate
effectively and maximize the likelihood of project success. So lets take a look at each of these planning
aspects in turn.
Slide 21
When the project is scoped, the ESCO will perform a detailed audit to identify:
Equipment condition and efficiency
Operation and maintenance practices
Baseline energy consumption
Factors that affect the energy use of the facility, including:
Occupancy
Schedules
Weather
Production levels
Set points, etcetera
Slide 22
The ESCO will develop a package of energy conservation measures (ECMs) including not only equipment
upgrades but also improvements to operations or maintenance if required. For each measure the ESCO will
estimate the costs, energy impact and potential savings as well as risks of each measure, taking into
account future energy costs. Those measures should be clearly prioritized with payback period or other
financial criteria required by the owner.
Slide 23
Another key aspect of the planning process is to develop a measurement and verification (M & V) plan. A
well developed M & V plan will be based on a recognized standard such as the International Performance
Measurement and Verification Protocol (IPMVP) and will include:
Definition of the measurement boundary for each ECM
Identification of interactions between ECMs
Description of how the ECMs will be measured and evaluated, including what measurements will
be taken, by whom, how often, and how they will be used
Slide 24
Here are some questions to answer while you are planning measurement and verification :
Will the project save demand, energyor both?
Are there cost avoidance measures that are not conservation measures?
Have performance tests been performed?
How accurate does the measurement and verification need to be?
What time length should the performance be measured?
Will the expenses of longer measurement and verification yield sustained performance?
Will the performance deteriorate with no measurement and verification?
Will there be an expense of meter installation?
Can I meter the entire facility or do I need to know the effect of each ECM (energy conservation
measure)?
Are new meters of benefit; can they serve an additional purpose?

What about tenant billing or
Utility billing verification?
What effect will rates have on measurement and verification?
Is the company changing operations, facilities or re-organizing?
Take the class Measurement and Verification with IPMVP for additional guidance on how to effectively
organize this important activity.
Slide 25
The next step is project approval and signing the contract.
How can the ESCO and the energy manager for the owner maximize the chances of project approval?
Heres how:
Know who is the decision maker for the project
If they use particular methods for financial evaluation, ensure the paybacks in the plan use the
same methods
Ensure the plan provides an executive summary of the energy conservation measures in order of
priority, with clear description of financial impact
That would include the short term and long term paybacks as well as the risks
As far as possible, ensure the risk profile corresponds to a risk level the decision maker will be
willing to accept
Ensure the executive summary provides a precise explanation of the measurement and verification
plan
Be sure to detail the commissioning steps briefly and clearly, listing the responsibilities on both
sides
Slide 26
Once the project is approved, the implementation and commissioning phase of the project can begin.
Implementation is the installation of the required equipment or adjustments to existing equipment.
Commissioning in its fullest sense is the process of ensuring that systems are designed, installed,
functionally tested and capable of being operated and maintained to perform in conformity with the design
intent. It ensures that the customers operational needs are met, and that a facility performs efficiently,
including proper training for the building operators. Ideally, commissioning starts during design, and
continues throughout the life of the facility, to ensure that the facility is maintained to continue meeting the
needs of its occupants. Changing needs are identified and the facility systems are adapted accordingly.
Slide 27
In the context of performance contracting, commissioning ensures that the implementation meets the
definitions that were set out in the performance contract. Some important things to keep in mind include:
Energy/utility savings begin when implementation of an energy conservation measure is complete
However, implementation complete does not necessarily mean that the measure is providing
peak performance or providing an adequate level of comfort
Commissioning ensures full completion of the measure, including any additional tuning that may be
necessary to improve the performance/comfort/response of the measure
For this reason, its important to manage the measurement and verification process during commissioning.
Slide 28
Put very simply, measurement and verification shows where you are and reduces your risk. Not only that,
but in order to qualify for performance contracting financing, the law or the lender may require that energy
savings be measured and verified.
Measurement of performance is simply measuring the change in energy and quantifying the savings with
the energy conservation measure (ECM) in operation as agreed upon in the approved measurement and
verification plan. The savings are expressed in both the units of energy and the financial impact of the
savings.
Slide 29
Savings cannot be measured directly, because factors that affect energy consumption change over time, as
seen in this equation:
Savings = (Baseline Period Use Reporting Period Use)
Adjustments
Where savings are equal to the difference between the baseline energy use, measured before the
improvements, and the post-retrofit energy usage, with adjustment for changes in the operating conditions.
The adjusted baseline is what the energy costs would have been if the retrofit had not been implemented.
Slide 30
What do we mean by adjustment? Adjustments bring energy use in the two periods to the same set of
conditions.
Lets imagine the performance contract was targeting improvements in HVAC. Simply measuring the
energy consumption of the HVAC system will not give you the full story. For example, if the weather has
been unusually hot or unusually cold, the HVAC system will be using more energy.
Slide 31
The question is, how much would it have used if you had not done anything? Adjusting the baseline
provides a method to compare the energy use while taking into account other variables that affect the
energy consumption of a facility.
The methods of making those adjustments must be described in the agreed measurement and verification
plan. This is one reason why the measurement and verification plan is so important. If the plan is poorly
defined, you will have difficulty establishing if the contract is meeting your expectations.
Slide 32
Conditions commonly affecting energy use are:
Weather
Occupancy
Plant throughput
Renovations or additions to facilities
Changes in use of facilities
Adding or removing equipment, and
Equipment operations required by these conditions
Its extremely important to be clear on how information will be gathered and processed as well as how it will
be interpreted and evaluated, because in many cases thousandsif not millions in compensation are at
stake.
See our class on Measurement and Verification with IPMVP to learn more about this important topic.
Slide 33
Reconciliation is the process of qualifying and reviewing the savings and finalizing the financial impact of the
project. It is the step at which the fruit of the contract becomes tangible. As a customer, your objective in
engaging in a performance contract is to obtain energy efficiency savings while sharing the risks.
Slide 34
The reconciliation step combines these elements:
In a guaranteed savings contract, if the savings are less than the guaranteed level, the ESCO and client
finalize the amount of the shortfall check. As a customer, this means that if the contract did not achieve
expectations, the ESCO pays you so that you still get the minimum guaranteed amount.
Slide 35
Measurement and verification, as well as settlement and reconciliation continue until the contract period
ends. This cycle may be annually, quarterly or monthly, depending on the contract, but a very common
arrangement is monthly analysis of measurements, a quarterly status report, and annual settlement and
reconciliation.
Slide 36
Lets take a moment and bring everything weve discussed today together by comparing the different ways
of paying for an energy efficiency project.
Our first option is to pay with cash. This option often provides the best ROI since no funds have to be used
to pay interest. However, lack of cash reserves and effects on cash flow mean that many companies can
only pay for small projects using cash.
Borrowing from a lender may not be as attractive as interest has to be paid. However, the advantages of
this option are well save our in-house cash for other purposes and the interest on the loan is tax deductible.
Leasing is the next approach. Leases may offer some tax benefits, and allow us to avoid long-term
investment. However that means the lessor is providing us that additional flexibility, and so typically the
total lifecycle costs are greater than when using cash.
Finally any rebate, grant or stimulus payment will simply act as a down payment in any of the other
scenarios using cash, borrowing or leasing. One reminder: free money often comes with strings attached,
so be sure you are able to comply with any reporting requirements.
Slide 37
Performance Contracting can, and often does, include several of the financing options weve just
discussedin fact, Performance Contracting can be just about anything the ESCO and you desire.
Performance contracting is often a goodif not the onlyoption when you cant raise funds through other
methods.
Slide 38
Whether or not a project is given the green light often comes down to the issue of financial considerations.
Here are some basic financial considerations to assess prior to embarking on any project:
If you can borrow for a lower interest rate than you are earning on your fund balance, you should
borrow
o Liquidity is king, so don't tie up cash if you can access cheap money
Project ROI or annual rate of return is often better than earnings on fund balanceso always look
at the big picture
The longer the payback: the more improvements you can make
You must consider your debt ceiling, you may not be able to add more debt to your balance sheet
Your financing should be less than or equal to the average life of the project
Large capital items justify longer financing terms
Savings projects (Performance Contracting) allow you to raise "Capital Dollars" from your
"Operational Budget"
Don't just look at the interest rates, you also need to consider: closing costs, first payment due date,
pre-payment penalty, etcetera
Think about your Project Goalits typically either to maximize payback or maximize
improvements
Slide 39
There are some characteristics that affect which option is best for you. These include things like your
company characteristicsavailability of rebates or grants/stimulus money; tax status (tax free; low interest
bonds); paybacks and discount rate requirements, company strategy (support for maintenance, desire to
concentrate on core objectives, support of energy manager); and cash flow status.
The best option will also be affected by the project characteristics. Things like project risk; depth and
breadth of skills required; project needs for management and maintenance; equipment life and time horizon
of need are all part of the project characteristics and both company as well as project characteristics must
be carefully considered prior to making a decision.
Slide 40
Lets end our discussion with a brief summary. Today we listed the main ways to pay for energy efficiency
projects, and defined the main characteristics of each. Weve reviewed the concept of performance
contracting, described the different ways of structuring the approach, and explored the process from
planning through to reconciliation.
Slide 41
Fuels I: Energy Sources and Trend

Slide 1: Fuels Part I
Energy Sources and Trends
Welcome to Fuels Part I: Energy Sources and Trends. This is the first course in a two part series. Once you
have completed this course, please move on to take Fuels Part II Energy Value Analysis.
Slide 2: Welcome
Slide 3: Objectives
List the energy sources chiefly used by buildings and industry
Define primary, secondary, and end use energy
Describe renewable and non-renewable energy sources
Summarize predicted trends in fuel consumption
As never before, energy drives our world. Understanding fuels is fundamental to energy management,
since trends in production, supply, and demand all affect pricing and availability, with critical effects on
business results. Choosing between alternate fuels requires a sound knowledge of energy values and
conversion calculations.
Lets start by reviewing the fuels commonly found in buildings and industry.
Slide 5: Primary, Secondary and End Use Energy
Primary energy is embodied in natural resources that have not undergone artificial conversion or
transformation. Examples are coal, sunlight, and uranium.
Secondary energy, or derived energy, is obtained from the transformation of primary energy sources. For
instance, the energy from coal can be transformed into electricity. Crude oil can be refined into various
grades of fuel oil.
End use energy refers to energy consumed by final users, such as a computer in your office or a process in
a factory. Fuel oil may be burned to release its energy. In that process, some of the energy is likely to be
lost to inefficiencies such as heat loss. Electricity has to be transmitted from the power station via
transmission and distribution lines.
Slide 6: Changes in Energy Value During Transformation

Let's take a look at electricity production to illustrate the difference in the energy values.
100 units of coal at a power plant result in
35 units of secondary electrical energy at the power plant and
33 units of end use energy after transmission and distribution to the point of use.
It's important to understand these differences when evaluating fuel types. End use electricity is a very high
quality energy source. It has already been refined and costs a lot more than secondary sources like gas.
It can be applied directly to devices such as motors. Primary and secondary sources like gas and coal cost
less, but they are lower quality sources and are much less efficient when they are used.
In part II of this series, we will look at how to take the unit cost and efficiency into account when
determining which fuel is the most cost effective.
Slide 7: Electrical Generation

The electrical energy produced by a power plant is also subject to seasonal variations. The generating
capacity of an electrical power plant is often noted as a single rating (in Megawatts). The output capability
of the plant actually varies with temperature extremes. At elevated temperatures the process of generating
and transmitting electricity becomes less efficient. Rejecting heat from the thermal process is more difficult
and other system losses contribute to overall lower ratings during higher summer temperatures.
Slide 8: Electrical Generation
For example, keeping all generating sources in consideration, in the US the summer net capacity rating for
electrical plants has been estimated at approximately 3.7% lower than the winter rating.
(Information provided by US Energy Information Administration)

Not only is the generating capacity lower in the summer, but the demand on the network can be extremely
high due to cooling needs. Therefore, in countries with this type of seasonal variation, the probability of a
power shortage (or outage) is more likely during the summer. Contingencies to handle these situations as
part of a strategic energy plan can be helpful to an energy manager.
Slide 9: Interpreting Consumption Data
Primary, secondary, and end-use energy make a big difference when interpreting consumption data. If a
building is using 150 kWh per square metre, is that calculation based on the primary energy from coal or oil
used to generate the electricity, or the end use energy recorded at the meter?
Lets move on to look in more detail at where energy comes from.
Slide 10: Non-Renewable and Renewable Energy Sources
Energy sources are divided into two groups: renewable and non-renewable energy sources.
Slide 11: Non-Renewable Energy
Non-renewable energy comes from any source that could be completely used up and that is not
replenished quickly enough for our use to be sustainable.
Slide 12: Non-Renewable Energy- Fossil Fuels
Fossil fuels are the most commonly discussed non-renewable energy source and they are generally an
inexpensive and easy way to obtain energy. Coal, oil and natural gas are the three main forms of fossil
fuels. All three can be burned to generate electricity or heat, or provide energy for industrial processes.
Slide 13: Non-Renewable Energy Conventional Oil
Conventional oil refers to oil extracted using methods depending upon its own pressure, physical lift, water
flooding, and pressure from water or natural gas. These methods are sometimes called primary and
secondary recovery.
Most of the oil produced today is crude oil. Crude oil is refined into derivatives such as petrol or gasoline,
diesel or fuel oil, and other fuels. You may hear classifications of different oils, such as #2 fuel oil, which is
basically diesel, or #6 fuel oil, which is a more heavy residual oil.
Liquid supply diagram information courtesy of World Energy Outlook
Slide 14: Non-Renewable Energy Conventional Oil

Light tight oil is a form of light crude oil found in low permeability rocks typically called shale. It has been
known for many years but extraction only recently became economically viable through new technology
and higher prices. These methods include horizontal wells and hydraulic fracturing. Hydraulic fracturing
involves pumping large volumes of water, mixed with sand and chemicals, into shale formations to fracture
the rock and stimulate the flow of hydrocarbons into wells. Concerns have been raised about the supply of
the large quantities of water required and the possible contamination of the water table, however the
industry maintains the processes are safe.
Natural gas liquids are light hydrocarbons that are contained in natural gas. This includes ethane, propane,
butane and condensates. Condensates are light liquid hydrocarbons.
Slide 15: Non-Renewable Energy Unconventional Oil
Unconventional oil includes extra-heavy oil, natural bitumen, also called oil sands, kerogen oil and other
forms. Historically these sources were regarded as uneconomical to develop. Extracting oil from these
sources requires new, special processes, which tend to require more capital investment, time or energy,
and as a consequence are more expensive. Technological improvements, advances in geological
knowledge, and price changes have opened up areas that were previously considered uneconomical.
Mining oil sands may require strip mining, crushing, heating with steam, and caustic soda processing.
Gas to liquids (GTL) is a refinery process that converts natural gas or other gaseous hydrocarbons into
fuels such as gasoline or diesel. Coal may also be liquefied to produce liquid fuels, using solvents at high
temperature and pressure, or using gases and catalysts to produce the required products.
Kerogen is a solid organic compound found in oil shale, which yields kerogen oil when industrial heat
processes are applied.
Slide 16: Non-Renewable Energy Natural Gas
Natural gas is another fossil fuel which is widely found worldwide, but which has recently become even
more available as technology and prices have evolved. The same type of shale oil formations that are
drilled to obtain light tight oil may also include natural gas, which can be accessed with horizontal wells and
hydraulic fracturing.
Slide 17: Non-Renewable Energy - Nuclear
Nuclear energy is extracted from uranium atoms inside a nuclear reactor. Uranium is a fairly common
element, approximately as common as tin, but is, nevertheless, a non-renewable energy source. Nuclear
power generates a large amount of electricity rather inexpensively, but incidents have created concerns
about operating safety and long-term disposal or storage of radioactive waste materials.
Now that we have discussed non-renewable energy sources, lets take a look at renewable sources.
Slide 18: Renewable energy
Renewable energy comes from any source that we can use over and over again, and that can be replaced
naturally in a sustainable period of time.
These sources include
Hydroelectric
Geothermal
Solar
Wind
Biomass
Landfill gas
Biogas
Hydrogen fuel cells
Tidal power
Lets look at each in turn.
Slide 19: Renewable Energy - Hydroelctric
Hydroelectric power uses flowing water to spin a turbine that generates electricity. This is a clean and safe
method but it can have significant impact on the areas surrounding the site. Some hydropower schemes
rely on dams to create a reservoir of water, so that water can be released to generate more electricity when
needed. People are displaced and natural habitats are destroyed by the flooding to create the reservoir.
Slide 20: Renewable Energy - Geothermal
Geothermal power comes from heat energy that is embedded in the ground the same energy that
provides natural hot springs. Holes are drilled deep into the surface, and water is pumped in and recovered
as steam. The steam can be used to provide heating or to power a turbine to make electricity. The earth
has huge reservoirs of heat, but development and maintenance costs for geothermal plants can be high.
Geothermal power is generated in over 20 countries including Iceland, the United States, Italy, Germany,
Turkey, France, New Zealand, Mexico, Costa Rica, Russia, Indonesia, the Peoples Republic of China, and
Japan. On a smaller scale, similar methods can be used for providing heat or cooling to individual
residences or buildings at much greater efficiency than conventional heating and cooling systems.
Slide 21: Renewable Energy - Solar
Solar power is generated by harnessing the power of the sun but the availability of this type of energy
depends on the quantity of sunlight. Its also called photovoltaic power or PV.
Slide 22: Renewable Energy - Wind
Wind power uses large windmills to turn a turbine to produce electricity. It creates no pollution but is only
available intermittently and requires space for the windmills.
Slide 23: Renewable Energy - Biomass
Biomass, which includes wood, garbage and agricultural waste, can be burned to produce energy. It can
also be converted into fuels like ethanol, which can be mixed with gasoline. An advantage of biomass is
that it is usually home-grown, and so helps to reduce dependence on energy imports. However it does
result in air pollution from carbon monoxide and other contaminants. It also yields greenhouse gas and
contributes to carbon dioxide emissions. Some say biomass can be carbon neutral. For example, there are
claims that trees grown to provide biomass absorb more carbon dioxide during their lifecycle than they
release when burned. However others dispute this. Production of fuels such as ethanol is controversial
because large areas of land required for growing the plants are changed from producing food to producing
fuels. Significant fossil fuels may also be used during planting and harvesting.
Slide 24: Renewable Energy - Gas
Landfill gas is a combination of methane, carbon dioxide and trace contaminants produced as a byproduct
of decomposition of waste in landfills. Although landfill gas is a greenhouse gas, and causes pollution
when burned, using it for electricity production or as an energy source does save use of other fossil fuels
such as coal. Some people dispute that landfill gas is a renewable form of energy, since it relies on
municipal waste which may not be a sustainable source.
Slide 25: Renewable Energy - Biogas
Biogas also contains methane, which is produced by the decomposition of animal wastes. The waste is
collected and decomposed in tanks to collect the methane.
Slide 26: Renewable Energy Hydrogen Fuel Cells
Hydrogen fuel cells resemble batteries and use hydrogen to produce electricity, heat and water. Fuel cells
produce no emissions and are therefore very clean. However, the hydrogen used to power the fuel cell is
usually made by applying heat to natural gas, and therefore is traceable to non-renewable fossil fuels. If the
hydrogen is produced by electrolysis of water powered from a renewable energy source it would qualify as
a renewable source.
Slide 27: Renewable Energy - Tidal
Tidal power uses the earths ocean tides to generate electricity. So far, tidal schemes have been expensive
and few locations have been suitable for tide mills. However as the technology improves these schemes
may become significant sources of energy for coastal regions.
Now that we have looked at renewable fuels, lets move on and look at current trends in energy
consumption.
Slide 28: Growth in energy consumption
Despite the interest in curtailing carbon emissions, energy consumption continues to rise. In November
2011, the International Energy Agency (IEA) published their analysis of likely growth in energy demand,
considering three different scenarios:
Slide 29: Growth in Energy Consumption
The Current Policies Scenario is a projection based on the government policies and measures that were
enacted or adopted by mid-2011.
The New Policies Scenario is a projection based on broad policy commitments and plans announced
around the world to tackle energy challenges, even when the specific measures to implement the
commitments have not been announced.
The 450 Scenario sets a path consistent with a 50% chance of limiting the increase in average global
temperature to 2C, which is equivalent to 3.6F, compared to pre-industrial levels. According to climate
experts, achieving this will require limiting greenhouse gases in the atmosphere to 450 parts per million.

As you can see the Current Policies Scenario projects a growth of 51% by 2035 compared with 2009. In
the New Policies Scenario the growth is still 40% and 23% in the 450 Scenario. So whichever projection is
considered more likely, significant energy growth remains a factor in all of them.
Graph courtesy of World Energy Outlook

Despite the interest in renewable sources, fossil fuels are not going away any time soon. This chart shows
the New Policies Scenario projection for fuel demand. Here is the 2009 demand. Here is the additional
demand expected by 2035.
Notice that although nuclear power, hydro, biomass and other renewables are projected to increase, so too
are coal, oil and gas.
If the Current Policies Scenario is added to this chart, the projection is that non-fossil fuels will not grow as
much, while use of oil, gas, and especially coal will be much higher.
The 450 Scenario is based on assumptions that strong policy decisions will drive down use of fossil fuels,
and drive up nuclear and renewable energy use. However many new government agreements would be
needed for this scenario to become likely.

Therefore through the decades approaching 2035, we can expect that fossil fuels will continue to be
anything from approximately 60% to 80% of worldwide energy consumption.

Although major economic events have had an impact on short-term energy trends, they have done little to
quench the worlds thirst for energy in the long term. If economic growth is weak in the short term, it could
be expected to put downward pressure on energy prices. However, a slowdown might well be followed by a
period of more rapid growth.
Much of the anticipated increase in energy consumption is forecast from new economies, particularly China
and India.
Graph courtesy of EIA
Slide 34: Growth in Energy Consumption - Oil

Lets look specifically at oil.
So far, global recession and high prices had only a relatively small impact on demand for oil and it is likely
to be temporary. Oil demand continues to grow and the global economy relies on it more than any other
fuel. Supply and demand projections indicate that even a significant reduction in demand would only result
in flat pricing, with other scenarios showing prices continuing to rise.
Slide 35: Growth in Energy Consumption - Oil

Proved reserves are those quantities of petroleum which, by analysis of geological and engineering data,
can be estimated with a high degree of confidence to be commercially recoverable from a given date
forward, from known reservoirs and under current economic conditions. However, some of these estimates
have not been verified by audits and are therefore open to question.
Overall, the bulk of reserves are located in the Middle East. Venezuela has substantial reserves but much
of it is extra-heavy oil with high sulphur content, and oil production has been in decline due to lack of
investment and national policies. Canada is in the top three of oil reserves, but much of it is unconventional
oil, such as oil sands.
Graph courtesy of CIA World Factbook, values as of January
2011
Slide 36: Growth in energy Consumption - Oil
In the new policies scenario, sources of oil which have yet to be found, are yet to be developed, or are
unconventional sources, form a large part of the expected future supply.
Slide 37: Growth in energy Consumption - Gas

Now well move on to look at gas.
Absolute growth in global gas demand continues to exceed that of all other fuels. It is the only fossil fuel for
which demand rises in all three of the IEA scenarios. Economic growth and energy policies in non-OECD
countries will be the key determinants of future production.
Slide 38: Growth in Energy Consumption - Gas

The worlds remaining resources of natural gas can comfortably meet the projections of global demand to
2035 and well beyond. Russia has the largest reserves of any single country.
Like oil, many gas deposits were historically regarded as uneconomical to develop. Shale rocks were
regarded as problematic, but now hydraulic fracturing is being used to access these deposits. This has led
to an abundance of inexpensive natural gas in the United States, and growing interest in applying the
processes in other countries.
Graph courtesy of CIA World Factbook, values as of January 2011
Slide 39: Growth in Renewable Energy - Coal
The third major fossil fuel well look at is coal.
Global coal demand over the last decade has been driven overwhelmingly by China, but India and other
new economies are driving forces as well. This is expected to continue in the future evolution of coal
demand.
Slide 40: Growth in Renewable Energy - Coal

At the end of 2009, world coal reserves that were estimated to be economically exploitable with current
technology, amounted to 150 years of global coal output. Total coal resources are many times greater, and
may become exploitable over time as technology improves.
Graph courtesy of IEA World Energy Outlook 2011 (2009 data)
Slide 41: Combined Energy Reserves

Due to its large coal reserves, combined with gas and oil, the US has the largest overall energy resources
in the world.
Slide 42: Imports

The distribution of fossil fuels that we have looked at leads to the global energy trade.
The major economies of the world, including the US, Europe, China, India and Japan import a large
proportion of their oil from other countries. The chief exporters are the Middle East and Russia.
The picture is slightly different for natural gas, but many countries still rely on natural gas imports.
Any dependency on imported fuels is at risk of interruption by security issues. Users can minimize this risk
if they are able to switch to different fuels, or can use local fuel sources especially renewable sources.
Graphs courtesy of World Energy Outlook
Slide 43: Summary

Lets review what we have covered in this course.
We learned that primary energy is embodied in natural resources that have not undergone artificial
conversion or transformation. Secondary energy, or derived energy, is obtained from the transformation of
primary energy sources. End use energy refers to energy consumed by final users.
Non-renewable energy comes from any source that could be completely used up and that is not
replenished quickly enough for our use to be sustainable. This includes fossil fuels such as coal, oil and
natural gas, as well as nuclear energy.
Renewable energy comes from any source that we can use over and over again, and that can be replaced
naturally in a sustainable period of time. These sources include
Hydroelectric
Geothermal
Solar
Wind
Biomass
Landfill gas
Biogas
Hydrogen fuel cells
Tidal power
We saw that energy consumption is predicted to rise between 23% and 51% by 2035 compared with 2009,
and that, although renewables will likely grow to be a larger share, fossil fuels will continue to dominate for
the foreseeable future.
Consumption will rise particularly in countries such as India and China. Countries and regions such as the
US, EU, China, Japan and India import much of their energy needs. The largest reserves of oil are found in
the Middle East, with the largest reserves of gas in Russia, and coal in the United States. Those coal
reserves mean the United States has the largest total energy reserve in the world.
Now that you have completed part one of this series, please take the opportunity to move onto part two,
Fuels part II: Energy Value Analysis
Fuels II Energy Value Analysis

Slide 1: Fuels II
Welcome to Fuels II Energy Value Analysis. This is the second course in a two part series. If you have not
already done so, please take Fuels I Energy Sources and Trends before taking this course.
Slide 2: Welcome
normal play of the course. Click on attachments to download supplemental information for this course. Click
the Notes tab to read a transcript of the narration.
Slide 3: Objectives
List the advantages and implications of alternate fuels and
Evaluate the energy value and cost of fuels
As we discussed in part one of this series, understanding fuels is fundamental to energy management,
since trends in production, supply, and demand all affect pricing and availability, with critical effects on
business results. Choosing between alternate fuels requires a sound knowledge of energy values and
conversion calculations.
Slide 5: Alternate Fuels
Let's begin by looking at alternate fuels. An alternate fuel is any fuel that you can use instead of your
primary fuel.
It could be using propane instead of electricity.
It could be using diesel or fuel oil instead of natural gas.
So, why are alternate fuels a useful part of your energy strategy? There are two main reasons.
First, if the supply of the primary fuel is curtailed or interrupted, you can switch to the alternate fuel.
Secondly, having an alternate may give you leverage with the utility company to obtain better rates.
Slide 6: Switching
The switch-over to an alternate fuel may be triggered in one of two ways:
Periodically for example a monthly analysis to switch for the coming period.
Ad hoc where switching is triggered based on a specific event.
Slide 7: Implications
There are a variety of implications.
Environmental and regulatory issues may limit the number of hours that the site can burn an alternate fuel.
Physical issues include storage and delivery of alternate fuels, and equipment capable of making use of
them.
Supply implications affect agreements with utilities.
Suppliers of the primary fuel must be able to switch to the alternate fuel, or additional suppliers may be
required.
Contractual language must provide for the possibility of switching.
Deadlines for the utility must be understood by the analyst and decision-makers.
Slide 8: Measuring Fuels
These different forms may be measured in different ways:
Measures of the energy content of the fuel (such as BTUs or joules)
Measures of the mass of the fuel (such as pounds or kilograms)
Measures of the volume of the fuel (such as gallons, litres, cubic feet and cubic metres)
Slide 9: Energy Mass and Volume
Let's explore these further. Click here to view this discussion in SI units. Click here to view it in US
customary units.
Slide 10: Energy Mass and Volume - SI Units
Energy is the ability to do work. For example, if I move a rock a distance of one metre, I used a certain
The standard international system chiefly uses joules to measure energy. A joule is about the amount of
energy needed to lift an apple to a height of 1 metre. That's not very much energy, so measures such as
kilojoules (kj) equal to 1,000 joules, and Megajoules (Mj) equal to a million joules are common. You may
also see gigajoules, equal to one billion joules, where a billion is a thousand million or 10 to the power of 9
(109)
Kilowatt-hours and calories or Calories are sometimes also used.
A kWh is 3,600,000 joules.
A calorie is 4.184 joules.
A Calorie with a capital c is 1,000 calories.
Gas is often measured by volume, such as in cubic metres (m).

Liquid fuels like oil and gasoline may also be measured by volume, using litres.
Crude oil is sold in barrels. A barrel of oil is 42 US gallons, approximately 159 litres. However this is a
historical artifact used only as a unit of measure, since a physical oil barrel today is normally 55 gallons.
Coal is generally sold by mass. A metric tonne is 1000 kg.
Slide 11: Energy Mass and Volume
US Customary Units
Energy is the ability to do work. For example, if I move a rock a distance of three feet, I used a certain
In countries using the US customary measures, energy is often expressed in British Thermal Units. A BTU
is the amount of heat required to raise the temperature of one pound of liquid water from 60 to 61 degrees
Fahrenheit at a constant pressure of one atmosphere. Its about the same amount of energy as you get
from burning a wooden match.
Because the BTU is a small amount of energy, multipliers such as MBTU or MMBTU are used to express
energy at higher levels. The letter M is the Roman numeral for 1,000, so one MBTU is equal to 1,000 BTU
of energy. 1,000,000 BTU is expressed as MMBTU a thousand times a thousand. However, you have to
take care, because in the standard international system, M means mega and is a multiplier of 1,000,000.
So you may run into cases where M means one thousand (as in MBTU) or where it means one million (as
in Megawatts). Check to be sure.
Kilowatt-hours are also sometimes used. A kWh is 3412 BTUs.
Gas may be measured by volume in cubic feet (ft). You may also see ccf. This means 100 ft The first C
is the Roman numeral for 100, and cf is cubic feet. Similarly, an Mcf is 1000 ft.
Gas may also be sold by energy content, in therms. A therm is 10 to the 5th power or 100,000 British
Thermal Units, or BTUs.
So when you buy a therm of natural gas, you are getting an amount of gas that has an energy content of
100,000 BTUs. What volume of gas would that be? Well, one cubic foot of gas contains about 1,000
BTUs. So a therm of natural gas would have a volume of about 100 cubic feet.
Liquid fuels like oil and gasoline may also be measured by volume, using gallons. Crude oil is sold in
barrels. A barrel of oil is 42 US gallons. However this is a historical artifact used only as a unit of
measurement, since a physical oil barrel today is normally 55 gallons.
Coal is generally sold by mass. In the US customary measure system, a ton is equal to 2000 lb.
Slide 12: Higher and Lower Heating Values
Fuels like natural gas, oil and gasoline contain differing amounts of energy. The attachment titled Energy
Units and Fuel Values gives examples of these.
How do we know how much energy is contained in different fuel types? Fuel tables are published giving the
values. But we have to be careful, because there are different ways of determining the energy content.
The energy content may be expressed as Higher Heating Value, or Lower Heating Value.
Higher heating value (HHV) is found by burning a small sample of fuel in an oxygen environment and
recording the heat released. Combustion of the fuel usually results in some water vapor formed from the
hydrogen and oxygen. Higher heating values include the energy contained in that water vapor.
Lower heating value (LHV) subtracts the heat associated with the water changing state, since in practice,
you generally cant access that energy when you burn the fuel.
Slide 13: Higher and Lower Heating Values
In some countries, such as the US, higher heating values are normally used, while in other regions such as
Europe its more common to use the lower heating value.
If we look in the download sheet, we can see that:
A litre of ethanol contains 21 MJ per litre when measured with lower heating value and 24 MJ per litre when
measured with higher heating value.
In US units, a gallon of ethanol contains 76,330 BTUs when measured with lower heating value, and
84,820 when measured with higher heating value.
So it is important to know which heating value has been used in any calculation.
Slide 14: Energy and Power
Power is how fast work gets done. It is the rate at which energy is consumed. Moving one rock per minute
uses a certain amount of energy and hence power. Moving 10 rocks per minute will use more energy and
hence more power. Lets say I move 200 rocks in 15 minutes. How much energy does that use, and how
much power?
Click here to discuss this in SI units and here to discuss this in US customary units:
Slide 15: Energy and Power SI Units
Lets assume it takes 45 joules to move one rock
Here is the formula that we will use, power equals the work done divided by the time required.
The energy needed for 200 rocks is 45 joules x 200 rocks = 9000 joules. That's the work done.
15 minutes is equivalent to 900 seconds. This is the time required.
To achieve this work in 15 minutes I will need power of 9000 joules divided by 900 seconds.
9000 divided by 900 is 10 joules per second.
So the energy needed is 9000 joules, but the power needed is 10 joules per second.
Power is often expressed in watts. A watt is equal to 1 joule per second. So this would be 10 watts of
power.
Slide 16: Energy and Power US Customary Units
Lets assume it takes 15 BTUs to move one rock
Here is the formula that we will use, power equals the work done divided by the time required.
The energy needed for 200 rocks is 200 rocks x 15 BTUs per rock = 3000 BTUs. That's the work done.
15 minutes is equivalent to 900 seconds. That is the time required.
To achieve that in 15 minutes I will need power of 3000 BTUs divided by 900 seconds.
3000 divided by 900 is 3.3 BTUs per second.
So the energy needed is 3000 BTUs, but the power needed is 3.3 BTUs per second.
Slide 17: Energy and Power US Customary Units

Power is often expressed in watts. A BTU is equivalent to 1055 joules, and 1 joule per second is a watt. So
we can convert this result as shown to get a result of just over 3,516 watts of power needed for this task.
Power may also be expressed in horsepower. One horsepower is approximately 0.7 BTU / sec. Hence this
is also 4.7 horsepower.
Slide 18: Electricity
Electricity is measured by energy content. In both the US and SI systems, electrical power is typically
measured in watts, or more commonly kilowatts.
Remember that Power = work done (or energy) / time required
A watt is equivalent to 1 joule / second.
1 kilowatt is 1000 joules of work performed in a period of 1 second; or more simply, 1000 joules per second
kilowatt-hours (kWh) are a measure of electrical energy consumption.
Lets say you have an electrical motor rated to draw 50 kW, and it runs for half an hour. How much energy
does it consume?
Power = Energy divided by Time. Therefore, Energy = Power multiplied by Time
Therefore the energy consumed = 50 kW x 0.5 hours = 25 kWh.
If the same motor runs for 2 hours then the energy consumed is 50kW x 2.0 hours = 100 kWh.
1 kWh = 3412 BTU.
Slide 19: Conversions of Alternate Fuels
To evaluate the implications of switching between fuels, we must be able convert the prices of the
alternates to compare them to the primary.
Click here to do this section in SI units. Click here to do it in US customary units.
Slide 20: Conversion of Alternate Fuels SI Units
As you work in energy efficiency, you will need to be able to combine formulas and convert between units.
One convenient method of doing these conversions is to lay out all the terms like fractions, showing the
units above and below the line. You can then ensure that when like terms are cancelled, the results on
both sides of the equation are what you expected. Youre less likely to make a mistake multiplying when
you should divide or vice versa, or to accidentally leave out a conversion.
Slide 21: Conversion of Alternate Fuels SI Units

1 kWh of electricity = 3.6 megajoules
1 litre of gasoline contains 32 megajoules
What is the energy contained in gasoline in kWh per litre?
We can lay out the problem like this:
MJs cancel with MJs, giving a result of 8.9, with kWh on the top, and litres on the bottom. 8.9 kWh per litre
of gasoline.
If we had made a mistake with the conversions, the MJs would not have cancelled out, or we would have
ended up with litres on the top and kWh on the bottom, which was not what we were looking for. We would
have been able to detect the problem and correct it before moving on.
Slide 22: Initial Energy Cost

Meet Darlene. Darlene has to figure out which of the following is the most economical:
Natural gas at 20c per cubic metre
Conventional diesel at 40c per litre
Electricity at 3.5c per kWh.
These are not so easy to compare because all of the units are different. Additionally, all these fuels have
different energy values.
A simple method is to convert all the fuel costs to a common unit of measure, for example megajoules or
gigajoules.
Lets try doing that now, using the lower heating values from the attachment called Energy Units and Fuel
Values.
When we look at this file, we see that natural gas has an LHV of 37 MJ per cubic metre.
Starting from the cost, we know that gas is 20c per cubic metre, and can be written like this:
And we know that there are 37 MJ per cubic metre. We can write this like so:
But it's actually more useful to turn that upside down and add it to our equation like this:
The m3 units above and below cancel out, to give us euros per MJ. However, 0.2 divided by 37 is a really
small number, so it would be more convenient to use GJ. There are 1,000 MJ per GJ, so let's add that
conversion:
And the result of this calculation is:
That a gigajoule of natural gas costs 5.41 euros.
Now try to do the same calculation for conventional diesel and electricity using the numbers from the
attachment. Remember that 1 kWh of electricity is 3.6 MJ.
Click the play button to compare your results with the answers.
So, based on the initial cost of each fuel, natural gas is the least expensive option.
Slide 25: Conversion Efficiency

Unfortunately, not all fuels are equal when they are consumed. Remember that when energy is converted
from primary to secondary to end use energy, some of the energy is typically lost at each stage of the
conversion.
For example lets think about an electric motor. If we use electricity from the supply transformer to power
the motor, theres no need to convert it to a different energy source. 100% of the electricity can be
transmitted to the motor.
On the other hand, if we decide to generate electricity on-site using a diesel powered generator, some of
the energy contained in the diesel fuel will be lost in heat and will not be converted to electricity.
The efficiency of any conversion can be expressed as a percentage, and calculated as the output energy
divided by the input energy.
So if we put 100 joules into a conversion and get 80 out, the efficiency is 80%.

This means that Darlene is now not so sure if natural gas is the best option after all. She finds out what the
conversion efficiency of each fuel would be for her application.
Natural gas has 80% conversion efficiency for this application.
Diesel has 67% and electricity has 100%.
She needs to factor in these efficiencies.
We already know the cost per unit of input energy from our last set of calculations. And the efficiencies tell
us the ratio of output to input energy. So we can use the input and output energy figures to find the cost
per unit of output energy like this:
Or we can put the efficiency in the equation like this:

So for natural gas, our calculation looks like this:
The result is that at 80% conversion efficiency, a gigajoule of energy derived from natural gas costs 6.76,
whereas a gigajoule before conversion cost only 5.41.
Now do the same calculation for the other energy types. Click the play button to compare your results with
the answers.
The answer is that natural gas is still Darlenes lowest cost option for this application.
Slide 30: Conversion of Alternate Fuels
US Customary Units
As you work in energy efficiency, you will need to be able to combine formulas and convert between units.
One convenient method of doing these conversions is to lay out all the terms like fractions, showing the
units above and below the line. You can then ensure that when like terms are cancelled, the results on
both sides of the equation are what you expected. Youre less likely to make a mistake multiplying when
you should divide or vice versa, or to accidentally leave out a conversion.
Slide 31: Conversion of Alternate Fuels

US Customary Units
1 kWh of electricity = 3412 BTU
1 gallon of gasoline contains 124,340 BTU
What is the energy contained in gasoline in kWh per gallon?

We can lay out the problem like this:
BTUs cancel with BTUs, giving a result of 36.4, with kWh on the top, and gallons on the bottom. 36.4 kWh
per gallon of gasoline.
If we had made a mistake with the conversions, the BTUs would not have cancelled out, or we would have
ended up with gallons on the top and kWh on the bottom, which was not what we were looking for. We
would have been able to detect the problem and correct it before moving on.
Meet Darlene. Darlene has to figure out which of the following is the most economical:
Natural gas at 65c per therm
Conventional diesel at $1.80 per gallon
Electricity at 3.5c per kWh.
These are not so easy to compare. All of the units are different. Plus all these fuels have different energy
values.
A simple method is to convert all the fuel costs to a common unit of measure, for example BTUs or
MMBTUs.
Lets try doing that now using the higher heating values from the file available from the attachments tab.
When we look at this file, we see that diesel has an HHV of 137,380 BTU per gallon. That will be useful in
a moment.
Starting from the cost, we know that gas is 65c per therm, so we can write that like this:
And by definition, there are 100,000 BTU per therm. We can write this like so:
But its actually more useful to turn that upside down and add it to our equation like this:
The therm units above and below cancel out, to give us dollars per BTU. However, 0.65 divided by
100,000 is a really small number, so it would be more convenient to use MMBTU. There are 1,000,000
BTU per MMBTU, so lets add that conversion:
And the result of this calculation is:
That a MMBTU of natural gas costs $6.50.
Now try to do the same calculation for conventional diesel and electricity using the numbers from the
attachment.
Click the play button to compare your results with the answers.
So, based on the initial cost of each fuel, natural gas is the least expensive.
Unfortunately, not all fuels are equal when they are consumed. Remember that when energy is converted
from primary to secondary to end use energy, some of the energy is typically lost at each stage of
conversion.
For example lets think about an electric motor. If we use electricity from the supply transformer to power
the motor, theres no need to convert it to a different energy source. 100% of the electricity can be
transmitted to the motor.
On the other hand, if we decide to generate electricity on-site using a diesel powered generator, some of
the energy contained in the diesel fuel will be lost in heat and will not be converted to electricity.
The efficiency of any conversion can be expressed as a percentage, and calculated as the output energy
divided by the input energy.
So if we put 100 BTU into a conversion and get 80 out, the efficiency is 80%.
This means that Darlene is now not so sure if natural gas is the best option after all. She finds out what the
conversion efficiency of each fuel would be for her application.
Natural gas has 80% conversion efficiency for this application.
Diesel has 67% and electricity has 100%.
She needs to factor in these efficiencies.
We already know the cost per unit of input energy from our last set of calculations. And the efficiencies tell
us the ratio of output to input energy. So we can use the input and output energy figures to find the cost
per unit of output energy like this.
Or we can put the efficiency in the equation like this:

So for natural gas, our calculation looks like this:
The result is that at 80% conversion efficiency, a gigajoule of energy derived from natural gas costs $7.22,
whereas a gigajoule before conversion cost only $6.50.
Now do the same calculation for the other energy types using the information from the attachment. Click
the play button to compare your results with the answers.
The answer is that natural gas is still Darlenes lowest cost option for this application.
Slide 42: Summary
An alternate fuel is any fuel that you can use instead of your primary fuel. The advantages lie in ability to
cope with curtailment or interruption, and price negotiations. Implications include environmental and
regulatory issues, physical issues, and supply impacts.
We learned about the main units of energy, mass and volume.
We also examined the difference between energy and power.
We saw the the energy value of a fuel may be expressed with Higher Heating Value or Lower Heating
Value.
And we learned how to convert between different fuels to evaluate their energy value and costs, including
conversion efficiencies.
Going Green with Leadership in Energy and Environmental Design

Slide 1
Welcome to Going Green with Leadership in Energy and Environmental Design.
Slide 2
Slide 3
At the completion of the course you will be able to:
Define the characteristics of green buildings
Explain the mission of the US Green Building Council
Identify the rating system for Leadership in Energy and Environmental Design, know as LEED
and
Describe Schneider Electric products and services that satisfy LEED requirements
Slide 4
The agenda for this course is as follows. We will begin with an
Introduction and then discuss the
Impacts of US Buildings on the Environment
Advantages of building green
Review the Mission of the US Green Building Council
We will discuss the LEED rating system for both existing and new builds
Next we will discuss Schneider Electric products and services that satisfy LEED requirements
Then we will look at the following Case Studies
Great River Energy Headquarters
Genzyme Corporation and
Duke University
Followed by a Summary of the course
You will then be given the opportunity to complete an
Assessment
Survey
Slide 5
The US Green Building Council is a non profit organization that focuses on the design criteria and building
practices for high performance green buildings. They are the place to go to have a building reviewed for
green building compliance and to achieve LEED certification. Much of the information referenced within this
course is based on the information provided by the US Green Build Council and we will be referencing their
information throughout the course. For additional details regarding the USGBC and the most current specific
requirements for certifying a building, please visit their website www.usgbc.org.
Slide 6
The Leadership in Energy and Environmental Design, known as LEED, is a third-party certification program
to be used by building owners and operators who are looking to have their buildings follow appropriate
green guidelines.
The rating system is based on points allotted for certain aspects of a building and the site it is situated on.
In addition, the LEED guidelines provide engineers and builders with the design criteria needed to increase
building performance and reduce any negative impact on the environment.
Slide 7
In order to understand the LEED requirements you must first understand what a green building is. So what
is a green building?
When buildings use resources with increased efficiency it is called Green Building. Examples of these
resources are energy, water and materials. The benefits of Green Building include the positive impact on
human health and the environment. Additional benefits are efficient use of the previously mentioned
resources and reduction of waste and pollution.
Slide 8
The US Green Building Council, also called the USGBC, states that the LEED rating system was designed
for the following reasons:
Transform the building market
Raise consumer awareness of green building benefits
Promote integrated, whole-building design practices
Demonstrate corporate or individual commitment
Stimulate green competition and recognize environmental leadership in the building industry
Define green building by establishing a common standard of measurement and prevent
greenwashing (Greenwashing is the concept that consumers are being misled by companies as
to the benefits of their environmental practices in an effort to obtain business)
And to
Facilitate positive results for the environment, occupant health and financial return.
Slide 9
The LEED team is cross functional and comprised of the developer or building owner, architect, engineers,
operations and maintenance teams, building occupants and many other people including property managers
and custodial teams.
Slide 10
LEED addresses the complete lifecycle of buildings from design to construction to operations. It is utilized in
many settings including homes, commercial buildings, schools and more.
Slide 11
There are currently nine different LEED Rating Systems. They are as follows:
New Construction which includes not just new construction but projects classified as major
reconstructions.
Existing Buildings: Operations and Management which provides benchmarks for building
stakeholders to measure the buildings operations, improvements and maintenance.
Commercial Interiors which provides a benchmark for tenants to make choices about the
sustainability and reducing the environmental impact of their space within that building. This is
useful for tenants who cannot make changes to an entire building but want to have impact on the
space they occupy.
Core and Shell Rating is for anyone looking to implement green build to the design for the new or
core shell project they are working on.
Schools: This rating system is unique to the considerations necessary to this environment.
Retail: This too addresses the unique needs for the retail environment and addresses those needs
Healthcare: As with the schools and retail sites, healthcare facilities are a unique environment. The
rating system for healthcare promotes sustainable planning, design and construction for these
facilities.
Homes: The rating system for homes assists in creating green homes through design and
construction.
And
9. Neighborhood Development: This program is new and addresses the need for integrating green
building into the way neighborhoods are designed.
Slide 12
There are a number of reasons for the creation of the LEED system. The continual demand for Green
Building in homes was a catalyst along with the introduction of new government initiatives and the
engineering of numerous recycled and reusable resources.
Lets begin by looking at the Impacts of US buildings on the environment.
Slide 13
In order to understand why Green Building is so important it is helpful to look at the impacts that our
buildings have on our environment. As stated by the Environmental Information Administration, 40% of our
primary energy is consumed by our buildings as is 72% of our electricity and 39% of carbon dioxide
emissions. The US Geological Association states that 13.6% of all potable water consumption is from US
buildings.
Lets look at how the demand for Green Buildings is predicted to increase.
Slide 14
More and more we are seeing a demand for green buildings. In a report entitled SmartMarket Trends put out
by McGraw-Hill Construction in 2008, it was stated that green building is a $12 billion industry and is
projected to be a $60 billion industry by the year 2010.
Slide 15
There are a number of areas where Green Buildings can make a positive impact. As the USGBC discusses,
it is believed that Operating Costs can decrease between 8% and 9%, and building value can increase
approximately 7.5%. There is a perceived return on investment of 6.6% and that occupancy ratio will
increase 3.5%.
Additionally, based on research performed by three different groups, it is estimated that energy use could be
reduced between 24% and 50%, CO2 Emissions could be reduced by 33% to 39%, Water use reduced by
40% and Solid waste reduced by 70%.
Slide 16
As researched by McGraw-Hill and cited by the USGBC, by 2010, it is estimated that approximately 10% of
new commercial construction will be green. In an article titled Greening of Corporate America SmartMarket
Report put out by McGraw Hill Construction, By 2009, 82% of corporate America is expected to be
greening at least 16% of their real estate portfolios; of these corporations, 18% will be greening more than
60% of their real estate portfolios.
There is an expectation of a tremendous amount of growth in green build for both health and educational
facilities as well as in the government, industry, Office, Hospitality, and retail sectors.
Considering these estimations, it is easy to comprehend why there is such a focus on green building.
Slide 17
So how will the next generations perspective increase green building? A study done by the USGBC states
that an estimated 89% of people will choose brands which are aligned with social causes. 74% will listen to
brands aligned with social causes; 69% will shop for brands aligned with social causes and 66% will
recommend brands aligned with social causes.
Lets move on to talk about the Mission of the US Green Building Council.
Slide 18
As stated by the US Green Building Council, their mission is:
To transform the way buildings and communities are designed, built and operated, enabling an
environmentally and socially responsible, healthy and prosperous environment that improves the quality of
life.
Slide 19
The USGBC has approximately 70 local chapters, affiliates and organizations throughout the US and is
gaining popularity outside the US as well. They have a large reach that is able to connect all parties
interested in green buildings from company CEOs to construction managers. It is a powerful resource
available to help with ensuring that a new construction or existing building revamp has the necessary
information to make their project as green as possible.
Slide 20
The Green Building Certification Institute, also called GBCI, manages the professional accreditation
associated with LEED.
This certification ensures that building professionals are knowledgeable in the areas required to certify a
green building. They will incorporate the practices and standards put forth by the USGBC when they are
working on any LEED projects. This accreditation became available in 2001 and there are over 75,000
credentialed professionals today.
It is important to distinguish that buildings are certified while people are accredited.
For more information regarding LEED Professional Accreditation, you can visit the U.S. Green Building
website.
Now that we have a better understanding of the USGBC and their mission, lets move on to take a more in
depth look at the LEED Rating SystemTM.
Slide 21
The LEED Rating System is set up to address all facets of building construction and operation from homes
to commercial interiors, to buildings, schools, healthcare facilities and retail sites. The rating system
addresses both existing building remodels as well as new construction. It also covers building lifecycles from
design to construction and construction phase to ongoing site operations and maintenance.
There are 4 levels of LEED certification.
Slide 22
They are :
1. Certified
2. Silver
3. Gold
4. Platinum
There are also six credit categories.
Slide 23
The six credits categories within the certification are as follows:
Sustainables Sites (SS) is the first category which looks at selecting buildings that incorporate
sustainable practices in design, construction, operations, and maintenance.
Water Efficiency (WE) focuses on the use of water on the interior and exterior of the building.
Energy and Atmosphere (EA) refers to the energy used within the building as well as the buildings
impact on the atmosphere.
Materials and Resources (MR) focuses on the materials used in the construction and the
conservation of resources during the project.
Indoor Environment Quality (EQ) focuses on the impact of the buildings environment on its
occupants.
Innovation in Operations (IO) which takes into consideration anything additional above and beyond
the required categories
Each category includes a series of required prerequisites and optional credits. These vary by project type.
Credits are added up in order to achieve a minimum level of points: certified through platinum.
If you are involved in a LEED project you might be asked to provide information in order to comply with
LEED documentation requirements on the regional procurement of project equipment and recycled content
in the Materials & Resources category. However, these credits apply only to CSI divisions 2-10 and
specifically excludes all plumbing, mechanical and electrical equipment.
Lets look at the steps involved to obtain a LEED certification.
Slide 24
Before you begin your green build project, there are number of steps you will need to address. They are as
follows:
In the start phase you must first
Set your Goals
Determine Preliminary LEED Score you are hoping to obtain next
Register your Project
Identify Partners
Apply for Incentives
Determine Green Building Practices
Begin your Documentation Process
Once these steps have been addressed, the project can begin. In the Design phase you will need to
assemble the Design Phase Documentation and then submit that documentation to the US Green Building
Council for their review. Following your submission, you will receive notification that the project certification
is either Anticipated or Declined.
Assuming your project has been labeled as anticipated, construction is ready to begin. Again, as with the
Design phase, you will need to assemble the proper documentation, submit that documentation, and the
USGBC will review what you have submitted. Finally, you will be notified of the projects status as either
Achieved or Denied depending on the findings of the council.
For a full list of the requirements to obtain a LEED certification for a project, go to the US Green Builds
website at www.usgbc.org and select the LEED section and then LEED Rating System. Here you will find
specific information for your particular project.
Lets take a moment to look at what a sample checklist for a new building construction might look like.
Slide 25
Here we can see a registered project checklist for a Registered New Project as found on the USGBC
website. At the top of the form we can see the number of points necessary for each level of certification.
Next, we see a list of possible points awarded for SS, or the Sustainable Sites. For this project, the
maximum number of points could be 14. Although the final decision for point allocation is up to the reviewing
committee, this checklist can assist in making decisions when designing and building a project intended to
obtain LEED Certification.
Slide 26
Again, for comprehensive LEED certification information please visit the US Green Build Councils website
at www.usgbc.org. Because this is an ever evolving process, the associated information changes on a
regular basis. The USGBC website is always kept up to date with the most recent information and should be
consulted at the onset of a project as well as along the way.
Slide 27
Now that we have a firm understanding of what the LEED rating system is and how to work towards it, lets
move on to discuss how the family of Schneider Electric products and services can help in obtaining LEED
certification.
Slide 28
Schneider Electric has multiple product and service solutions which can assist you in maximizing your LEED
points. Schneider Electric brings together the best brands from APC, Juno Lighting Group, Square D, TAC
and Xantrex, providing a number of solutions including Energy Services, Monitoring and Verification of
energy use, Renewable Energy Systems, Building Automation and Control, Energy Efficiency lighting,
Lighting and Motor and controls.
Slide 29
TAC by Schneider Electric offers complete building solutions which integrate HVAC, power, lighting and
electrical distribution to maximize energy savings and occupant comfort. TACs Energy services offerings,
Energy Solutions and EnergyEdge, include utility audits, performance contracts, project financing, remote
monitoring and control, and ongoing support and service.
Slide 30
APC by Schneider Electric offers Efficiency Enterprise solutions providing integrated power, cooling and
management in data center and network applications. This solution specifically addresses losses from
energy-guzzling components and lack of heat containment
Slide 31
Square Ds Engineering Services can reduce energy costs and optimize equipment utilization while
improving system reliability and safety. Additionally, they can mitigate harmonics and improve power quality.
Other offerings include automatic transfer schemes for alternative power sources and load shedding
solutions for automated demand response.
Slide 32
Square D offers Field Services for electrical equipment refurbishment & replacement services to optimize
existing equipment. They have a nationwide network of qualified project management and engineering
experts who offer schedules, budgets and performance as a part of a complete turnkey program.
Additionally, the C5 Reconditioned Program is a cost effective way to renew your power circuit breakers
without the expense and material waste of buying new equipment.
Slide 33
For lighting and lighting controls, both Juno and Square D offer solutions to help with LEED projects.
Juno Lighting offers innovative, energy efficient lighting solutions for businesses incorporating features of
efficient fixture design, optimized lighting power densities and reduced luminance at site boundaries.
Additionally, they offer IC energy saving compact fluorescent down lights, LED exit lamps and
environmentally sensitive outdoor lighting fixtures approved by the Dark Sky Association.
Lighting controls are essential to any LEED project and Square D solutions go far beyond meeting the basic
requirements for occupancy and schedule based lighting control. Some offerings include reduced light
levels, and switch lights operated according to automated adjustments for sunset/sunrise schedules.
Slide 34
Power monitoring is another critical consideration for green building. Square D by Schneider Electric
PowerLogic Energy and Power Management Systems offer the following:
Advanced Metering Requirements This allows you to benchmark the energy efficiency of your
existing building and its systems to verify that new designs meet minimum energy performance
reductions per ASHRAE 90.1 standards.
Optimize Energy Performance - Use your PowerLogic system to monitor all utilities and help you
decide when to switch to alternative sources of power, shed loads or net meter power back to the
utility.
And Water Efficiency Easy integration of data from water meters enables a PowerLogic system
to measure and validate the results of water conservation efforts.
Slide 35
Square D also offers Motor Control services which increase energy savings and energy efficient operation
while ensuring a more precise thermal system regulation. Additionally, they can manage energy intensive
applications such as ventilation, pumping and compressed air installations.
Slide 36
Xantrex offers a number of products for renewable Energy systems. Some of the products offered are
inverters, chargers, and accessories in solar and wind energy systems. These products offer high-quality,
reliable, "green" electricity as an alternative to centralized power generation or combustion generators.
Xantrex also offers grid-tie systems for use in conjunction with utility power and off-grid systems for
complete freedom from the utility grid.
Slide 37
This table represents some of the different categories for LEED certification where Schneider Electrics
family of companies offer solutions. It is also possible to get additional credit in the Innovation in Design
category which awards design teams and projects for exceptional performance above the requirements set
by the LEED rating system.
Lets take a moment to look at a few case studies in order to understand the application of products and
services offered.
Slide 38
As part of LEED Platinum certification, all achievable points toward certification must be documented and
verified. To perform this at Great River Energy in Maple Grove, Minnesota, the new buildings renewable
energy sources, including a 200KW wind turbine and photovoltaic cells are all monitored by Square D
PowerLogic System Manager software. The System Manager software is integrated with 38 Square D
PowerLogic CM4000T circuit monitors, which efficiently monitor and measure power usage on 100 main
devices, such as generators and Uninterruptible Power Supplies (UPSs), within the building. Additionally,
overall building electric use is monitored and the information on energy savings will be included in the LEED
application.
Using data collected from the monitors, PowerLogic System Manager software provides Great River
Energy with a verification and reporting system to help meet LEED requirements, as well as ensure power
reliability for its data center application. Schneider Electric also provided much of the building electrical
distribution equipment, including switchgear, panelboards and circuit breakers. Much of the monitored
information will be viewed in interactive kiosks in the buildings lobby, which will show real-time and
historical information about the facilitys energy use.
Slide 39
Genzyme Corporation, a world leader in biotechnology, is a green facility powered by renewable energy
sources and controlled by a $2.3 million integrated building automation system (BAS) from TAC.
The design of the 12-story, 350,000-square-foot Genzyme Center, located in Cambridge, Massachusetts,
focused on not only lowering operational, maintenance and energy costs, but also on providing a work
environment that catered to the human need for fresh air and natural light.
The Continuum system is fully programmable and leverages a Windows NT front-end workstation
connected directly to Genzymes Ethernet virtual private network (VPN). This configuration enables
Genzyme to monitor and manage a wide range of operations from HVAC equipment, chiller and boiler
interfaces, carbon monoxide/carbon dioxide levels, and rainwater collection to artificial lighting,
opening/closing windows and blinds, door controls, and building/tenant metering.
Genzymes efforts have already earned the building Platinum certification, the highest LEED rating
available.
Slide 40
Duke University in Durham, NC has Achieved LEED Platinum certification for homes featuring a variety of
eco-friendly and high-tech elements. The design team utilized Square D lighting controls to meet ASHRAE
90.1-2004 requirements.
Web controls are used to perform functions such as schedule based lighting controls and automatic shut-off
of HVAC systems and dampers.
Slide 41
At our own facilities in North America Schneider Electric is pursuing LEED certifications. Our goal is to build
a more sustainable world with solutions that
facilitate efficient access to energy and successfully manage and reduce energy consumption and CO2
emissions.
We have a Corporate Commitment to Sustainability and to improve our planet through programs for people,
communities and the environment. Our goals are to improve lives of people, improve communities and the
environment, and encourage others to behave in the same manner. We use a barometer of 10 main
indicators to track progress and commitment to these values.
Slide 42
Buildings represent a large impact on our environment. Following the LEED guidelines will ensure
that a building will have a smaller environmental footprint by reducing energy consumption,
electricity consumption, and carbon emissions
The demand for Green building is increasing exponentially as companies see the positive impacts
it has on the environment as well as the bottom line.
The USGBC was formed as a third party entity to standardize green building and to create a
resource for people in order to identify what they need to do in order to implement these guidelines.
Additionally, the USGBC offers the opportunity to apply for certification of a building
The level of certification awarded to a building depends on the number of points obtained during
the review process
The more green building practices implemented, the higher the potential rating for that building
In addition to offering a building certification, the USGBC also offers an accreditation to
professionals wishing to be known in their industry as following green practices
The LEED Rating System is set up to address all facets of building construction and operation from
homes to commercial interiors, to buildings, schools, healthcare facilities and retail sites
The rating system addresses both existing building remodels as well as new construction
It also covers building lifecycles from design to construction and construction phase to ongoing site
operations and maintenance.
Schneider Electric has multiple product and service solutions which can assist you in maximizing
your LEED points. Schneider Electric brings together the best brands from APC, Juno Lighting
Group, Square D, TAC and Xantrex, providing a number of solutions including Energy Services,
Monitoring and Verification of energy use, Renewable Energy Systems, Building Automation and
Control, Energy Efficiency lighting, lighting and motor controls
Slide 43
HVAC and Characteristics of Air

Slide 1
Welcome to HVAC and the Characteristics of Air. Today, we will introduce some basic HVAC terms and
calculations that will be useful when looking at the efficiency of an HVAC system.
Slide 2
normal play of the course. Click the paperclip icon to download supplemental information for this course,
which includes a helpful glossary of terms. Click the Notes tab to read a transcript of the narration.
This course contains some basic HVAC calculations and you may find it helpful to have a calculator, some
scrap paper and a pencil on hand when taking this course.
Slide 3
Define sensible and latent heat, and enthalpy
Calculate the heat flow in an HVAC system given input parameters
Define wet-bulb and dry-bulb temperature, and dew point, and understand their relevance to
management of humidity in HVAC systems
Slide 4
The human body continually generates its own heat. Metabolism is the rate at which the body uses energy
to support all basic functions essential to sustain life, plus all energy requirements for additional activity and
digestive processes. In short, humans are sources of heat.
To feel comfortable, our bodies have to get rid of surplus heat. If we are rejecting our heat too quickly we
feel cold. If we are rejecting our heat too slowly we feel hot.
Part of the purpose of air conditioning is to provide human comfort. To achieve this, the system manipulates
the properties of the air in the conditioned space to regulate a desirable rate of heat transfer. There are two
main targets. The first is temperature, and the second is humidity.
Slide 5
The internal temperature of the body is 37C / 98.6F. If the body was not able to reject surplus heat, the
internal temperature would rise until permanent damage took place to our internal organs and chemical
processes. How does the body lose heat?
Heat flows from a higher temperature to a lower temperature. When room temperature is less than body
temperature, heat flows from the body to the room, partly through the skin, and partly through moistureladen warm air that is breathed out. If the room temperature is high, not much heat is flowing from our body
to the room, and that makes us feel hot. This is why temperature is the first property that an HVAC system
controls.
When moisture evaporates, it takes heat with it. Perspiration forms on the skin and cools the body as it
evaporates. If the air in the room is humid and already contains a lot of moisture, evaporation will slow
down. Less heat will be leaving the body and that also can make us feel hot. This is why humidity is the
second property that an HVAC system controls.
Humidity also has to be controlled due to the effects of moisture and condensation on equipment,
furnishings and the structure of the building. And, of course, HVAC systems also control ventilation to keep
air relatively free of contaminants and meet standards for indoor air quality. This course will explore the
various calculations for heating and cooling. We will begin with some basic definitions.
Slide 6
Sensible heat, sometimes referred to as simple heat, is the heat absorbed or evolved by a substance during
a change of temperature that is not accompanied by a change of state. This is based on the temperature of
the air, which can be measured with a typical thermometer. As we just saw, in theory, cooler air causes heat
to transfer more quickly from the body.
Slide 7
Latent heat is contained in the moisture content in the air. Latent means hidden. Lets talk about what we
mean by that. When we boil water, it evaporates into steam. The energy used to boil the water and make it
change state into steam is now hidden in the steam. Latent heat is the energy required to make a
substance change state.
Slide 8
Most people feel comfortable in a controlled environment with temperatures ranging between 68 and 74
degrees F (20 and 23 degrees C) and relative humidity levels ranging from 40% to 60%. Its apparent that
air conditioning equipment and control strategies need to address both sensible and latent heat levels for
human comfort. Thats why its important for us to understand the properties of air.
Slide 9
Enthalpy is often referred to as Total Heat
It is the heat energy content of moist air
It represents the total heat contained in a sample of air; in other words, the enthalpy is the sensible
heat plus the latent heat
It takes into account both temperature and humidity levels
Enthalpy is represented by a capital H, while specific enthalpy is represented by lowercase h
Enthalpy is given in (SI) joules per kilogram of air or BTU per pound of dry air.
Lets move on now and take a look at sensible heat formulas.
Slide 10
We can do calculations of the flow of sensible heat using simple formulas. The United States customary
system version of the formula looks like this:
Q = 1.08 * v * t
Where
Q = heat transferred (Btu/h)
1.08 = a constant for sensible heat equations
v = volume of airflow (cfm)
t = air temperature difference (F)
And the metric version of the formula looks like this:
Q = 0.34 * v * t
Where
Q = heat transferred (watts = joules / second)
v = volume of airflow (m3/hr)
t = air temperature difference (C)
Lets take a look at some real world examples, using both United States customary system and metric
versions of the formula. Click the corresponding arrow to view examples of each.
Slide 11
Lets look at a US customary system problem.
A sensible heat recovery system operates as part of an air conditioning system. In an air handling unit, the
heat exchanger is where the outside air and buildings return air meet and become mixed together. The
outside air temperature is 45F and the exhaust air temperature is 75F. The system operates at 72%
efficiency and processes 30,000 cfm.
To approach this equation, we use the formula we saw before. But this system doesn't recover all the heat,
only 72%. So we need to add the efficiency to the equation:
Q = 1.08 * v * t * n
where n is the efficiency
Lets figure out the BTU/hr using the information we have been given. Here we see the equation:
Q = 1.08 x 30,000 cfm x (75oF 45oF) x 0.72
Q = 1.08 x 30,000 cfm x 30 F x 0.72
Q = 699,840 BTU/hr
Now lets see how this heat recovery system translates into a financial benefit. We will ask: If this heat
recovery system runs 8 hours per day all year, how much is it saving if electricity costs 8c per kWh?
To do this calculation, we have to manage a few conversions. We know the heat recovery in BTU/hr. We
need to convert that into kWh, to be able to calculate the cost. And we need to calculate how much that
amounts to over a year. Here's a way to formulate that calculation. We multiply by 8 hours per day, and
365 days per year. 1 kWh is equal to 3412 BTUs, so we show that conversion next and we know the cost of
energy. To check our work, we can cancel out units from above and below the line. BTUs cancels with
BTUs. Hours cancel with hours and days cancel with days. kWh cancel with kWh. What's left is $ per year,
and it's simple arithmetic to do the calculation. The result is $47,914.02 per year. This method is
sometimes called "railroad track calculation", because the lines separating the terms look like a railroad
track, and it can be a useful way for you to keep your calculations straight when you are converting between
units.
Now you can either choose to view the Metric version of the equation or click to continue to the next topic.
Make your selection by clicking the appropriate arrow.
Slide 12
Here is the metric version of the sensible heat recovery formula.
Q = 0.34 * v * t * n
Lets look at our example.
A sensible heat recovery system operates as part of an air conditioning system. In an air handling unit, the
heat exchanger is where the outside air and buildings return air meet and become mixed together. The
outside air temperature is 7.22C and the exhaust air temperature is 23.89C. The system operates at 72%
efficiency and processes 50,976 m3/hr.
Lets figure out the W using the information we have been given. To approach this equation, we use the
formula we saw before. But this system doesn't recover all the heat, only 72%. So we need to add the
efficiency to the equation. Here we see the equation:
Q = 0.34 x 50,976 m3/hr x (23.89oC 7.22oC) x 0.72
Q = 0.34 x 50,976 m3/hr x 16.67 C x 0.72
Q = 208,024 W
Now we will once again see how this heat recovery system translates into a financial benefit. We will ask: If
this heat recovery system runs 8 hours per day all year, how much is it saving if electricity costs 8c per
kWh?
If you have looked at the US version of the calculation you will notice that this calculation is a bit simpler
than the US version, because we already know the heat recovery in watts, so all we need to do is convert
that into kWh, and calculate how much that amounts to over a year using 8 hours per day and 365 days per
year. Finally we know the price of energy. The units cancel above and below the line, watts cancels with
watts to convert into kWh, kW cancels with the kW part of kW hours and hours cancels with the hours part
of kWh. Days cancel with days leaving us with $48,594.41 per year.
If you viewed both versions of the calculation, you may have noticed that the numbers for the metric version
of the calculation do not exactly match the US customary version of this equation. There is a slight
difference in the results depending upon which units and formula are used. This is due to rounding in the
constants. The formulas give results which are "close enough for general use. Engineers doing a design
that required greater accuracy would use simulation software to obtain the required results.
Make your selection by clicking the appropriate arrow.
Slide 13
These examples only looked at sensible heat. Lets look at total heat, which includes both sensible and
latent heat.
Here we see the US Customary formula for calculating the latent or total heat.
Q = 4.5 * v * h
Where
Q = total heat transferred in BTU/h
4.5 = a constant for total heat equations
v = volume of airflow in cfm
h = enthalpy difference (BTU / lb)
And here we see the Metric version of the formula.
Q = 1.201 * v * h
Where
Q = total heat transferred in kW
v = volume of airflow in m3/s
h = enthalpy difference (kJ / kg)
Go ahead now and click the corresponding arrow to view examples of each.
Slide 14
Lets look at a US customary system problem.
A total heat recovery system operates on an airflow of 37,000 cfm. The incoming air enthalpy before the
heat exchanger is 29.3 Btu/lb. After the heat exchanger the air has enthalpy of 37.2 Btu/lb. How much heat
is recovered by this system?
The total heat-recovery can be expressed like this:
Q = 4.5 x 37,000 ft3/m x (37.2 BTU/lb 29.3 BTU/lb)
Q = 4.5 x 37,000 ft3/m x 7.9
Q = 1,315,350 BTU/h
Slide 15
Lets look at the metric version of the formula.
A total heat recovery system operates on an airflow of 17.46 m3/s. The incoming air enthalpy before the heat
exchanger is 68.09 kJ/kg. After the heat exchanger the air has enthalpy of 86.44 kJ/kg. How much heat is
recovered by this system?
Here we see the equation.
Q = 1.201 x 17.46 m3/s x (86.44 kJ/kg 68.09 kJ/kg)
Q = 1.201 x 17.46 m3/s x 18.35
Q = 385 kJ/s
Q = 385 kW
Slide 16
Once again these equations give slightly different results due to rounding, but the agreement is close
enough for our purposes. To measure enthalpy in an audit situation, a psychrometer would be used. To
learn more about this topic, please consider participating in the Energy University course: Energy Audits
Instrumentation. Next, lets look at some properties of heating and cooling and how they relate to
temperature and humidity.
Slide 17
Would you like to try a couple of these equations on your own? Please reference the Appendix for
equations followed by answers.
Slide 18
Dry-bulb temperature is the commonly measured temperature from a thermometer. It is called dry-bulb
because the sensing tip of the thermometer is dry. This variable gives us a good representation of the level
of sensible heat in a sample of air.
Slide 19
Wet-bulb temperature is determined when air is circulated past a wet sensing tip. Wet-bulb temperature
(WBT) is that of an air sample after it has passed through a constant-pressure, ideal, adiabatic saturation
process, that is, after the air has passed over a large surface of liquid water in an insulated channel. In
practice, this is the reading of a thermometer whose sensing bulb is covered with a wet sock evaporating
into a rapid stream of the sample air.
It measures the temperature at which water evaporates from the wet tip. Using the wet-bulb and dry-bulb
temperature, the moisture content and latent heat of air can be calculated or determined from a
psychrometric chart. At normal atmospheric pressure, water can evaporate at any temperature greater than
32F or 0C. Thats why puddles on the road dry out.
Slide 20
Air does not really hold moisture. Water vapor exists independently of the air, but often humidity is
described as the moisture content of the air. Absolute humidity is the quantity of water in a particular volume
of air. It could be expressed in grams per cubic meter, or pounds per cubic foot. Grains per cubic foot may
also be used - An example is one pound of water is 7000 grains.
Slide 21
Notice that moisture content is expressed in terms of the water in the volume of air. You may see the term
specific volume which is also called inverse density. This is the volume per unit mass of the air sample.
The SI units are cubic meters per kilogram of dry air; other units are cubic feet per pound of dry air. Specific
volume indicates the space occupied by the air. It asks How much space does 1 lb of dry air occupy? An
example would be 13.5 cu ft per pound of dry air.
Slide 22
Relative humidity is a measure of the water content in the air compared to the maximum it could hold at that
temperature. RH is dimensionless, and is usually expressed as a percentage.
It is represented by the actual amount of water vapor in the air x 100%, over the amount of water vapor
required to saturate the air at that temperature.
Imagine a bag made of stretchable elastic material that can hold up to 110 tennis balls. At the moment the
bag contains 55 balls, so it is 50% full. Now imagine that the bag is actually a pound of dry 70F, or 21C
air, occupying 13.5 cubic feet, and the tennis balls are grains of moisture. The air has the capacity to hold
110 grains of moisture and because there are 55 grains of moisture the relative humidity level is 50%.
Now imagine that the dry-bulb temperature rises to 85F, or 30C. As the temperature changes, the ability
of the bag to hold tennis balls changes. As the temperature rises, it becomes more pliable and vice versa.
In other words, as the temperature changes, the ability of air to hold moisture changes. So lets say the bag
could now hold as many as 185 tennis balls, but, in fact, there are just the original 55 balls. So now if you
once again imagine that the bag is actually a pound of air, the relative humidity would be 55 / 185 = 30%.
Slide 23
Dew Point Temperature is the temperature at which the air can no longer contain all its moisture, and water
will begin to condense out of the air. A cold glass of water on a humid summer day sweats. This is
because the surface temperature of the glass is less than the dew point of the air surrounding it.
Lets take an example of air at 70F (21C), containing 44 grains of water per pound of air (around 6 grams
per kilo). That would be relative humidity of 40%. If the air cools to 60F (15C), the relative humidity
increases to 55%. And if the air cools to 45F or 7C, the relative humidity goes up to 100%. Relative
humidity cant be more than 100%, so if the temperature falls any further, the water will condense out of the
air. Thats the dew point.
The pressure of the air also is a factor in how much moisture it can contain, and where the dew point falls.
This is how a conventional AC unit removes moisture from the air by using the properties of pressure,
temperature and humidity together.
Slide 24
Now, lets put these concepts together. Remember our analogy of the stretchable bag and the tennis balls.
Assuming that no additional moisture is put into the air, when the dry-bulb temperature goes up, relative
humidity goes down.
Of course, the reverse is true. When dry-bulb temperature goes down, relative humidity goes up.
Slide 25
Now lets see how humidity and wet-bulb temperature are related.
You can think of wet-bulb temperature as the temperature at which water evaporates.
Lets look once again at our stretchable bag and tennis ball analogy. If the bag is quite empty, its easy to
put another tennis ball in the bag. A bag that is quite empty is analogous to low relative humidity, and
consequently the temperature at which evaporation occurs will be low (i.e. a low wet-bulb temperature).
Now imagine that the stretchable bag is nearly full of tennis balls. Thats equivalent to a high relative
humidity. Now its not so easy to push another tennis ball into the bag. You have to push harder and thats
reflected by a high wet-bulb temperature, meaning the temperature at which water will evaporate is higher.
So when relative humidity goes up, wet-bulb temperature goes up. When relative humidity goes down, so
does the wet-bulb temperature.
Slide 26
What about the dew point temperature? You can think of the dew point temperature as the condensation
point. As our stretchable bag contracts, its the point at which there are more balls than the bag can contain,
and, in that scenario, the tennis balls start popping out.
Slide 27
Lets review and put these three temperature concepts together.
Dry-bulb temperature is normally the highest, and at any given temperature, there is a maximum level of
moisture that the air can hold. Cooler air can contain less moisture than warmer air. As dry-bulb temperature
goes up, relative humidity goes down. If more moisture is added to the air, relative humidity goes up.
Wet-bulb temperature is usually lower than dry-bulb, and is the evaporation point. As relative humidity goes
up, so does the wet-bulb temperature.
Dew-point temperature is normally the lowest of the three, and is the condensation point. If the dry-bulb
temperature falls to the dew point, moisture condenses out of the air.
Slide 28
There is a point at which all three temperatures would be the same. That point exists where relative
humidity is 100%.
Imagine that the dry-bulb temperature is falling.
When dry-bulb temperature falls, our metaphorical bag gets less stretchable, and fills up with tennis balls.
Relative humidity begins to rise. When RH rises, so does the wet-bulb temperature. RH will eventually
reach 100%. RH cannot be more than 100%. Therefore, once 100% RH is attained, no more moisture can
evaporate, and the wet-bulb temperature cannot increase any more. Therefore at 100% RH the dry-bulb
and wet-bulb temperature are the same.
Dew point is the condensation point, where our stretchable bag is 100% full and tennis balls start to pop out
of it. If RH has reached 100%, then the dry-bulb temperature will have reached the dew point.
Thus at 100% RH, dry-bulb, wet-bulb and dew-point temperature have the same value.
Slide 29
Factors such as the dry-bulb, wet-bulb temperature, and the relative humidity are relevant when making
calculations of the energy that will be consumed by an HVAC system under certain conditions. These
relationships are complex and normally represented on a diagram we call a psychrometric chart. For more
information on psychrometrics, please consider participating in the Energy University course: HVAC and
Psychrometric Charts.
Slide 30
An HVAC system manipulates the properties of the air in the conditioned space to regulate a
desirable rate of heat transfer.
Sensible heat, sometimes referred to as simple heat, is based on the temperature of the air,
which can be measured with a typical thermometer
Latent heat refers to heat contained in the moisture content in the air.
The wet-bulb temperature reading can be used with other data to calculate the moisture content of
the air, and hence the latent heat.
Enthalpy is often referred to as Total Heat and is the heat energy content of moist air, including
both the sensible and latent heat.
Relative Humidity is the ratio of the amount of water vapor in the air at a specific temperature to the
maximum amount that the air could hold at that temperature, expressed as a percentage.
Dew Point Temperature is the temperature at which the air can no longer contain all its moisture
and water will begin to condense out of the air.
Slide 31
Appendix
Sensible heat calculations - US customary units
The amount of heat transferred can be expressed as
Q = 1.08 * v * t
Where
v = airflow (cfm)
Example problem
A sensible heat recovery system operates as part of an air conditioning system.
The outside air temperature is 50F and the exhaust air temperature is 70F. The system operates at 70% efficiency
and processes 45,000 cfm.
To approach this problem we use the formula above. But this system doesn't recover all the heat, only 70%. So we
need to add that to the equation:
Q = 1.08 * v * t * n
Financial expression
If this heat recovery system runs 6 hours per day all year, Monday - Saturday, how much is it saving if electricity
costs 7.5c per kWh?
Sensible heat calculations - metric units

Q = 0.34 * v * t
Where
v = airflow (m3/hr)
Example problem
The outside air temperature is 10C and the exhaust air temperature is 21.11C. The system operates at 70%
efficiency and processes 76,464 cubic meters of air per hour.
To approach this problem we use the formula above. But this system doesn't recover all the heat, only 70%. So we
need to add that to the equation:
Q = 0.34 * v * t * n
If this heat recovery system runs 6 hours per day all year, Monday - Saturday, how much is it saving if electricity
costs 7.5c per kWh?
Total heat calculations - US customary units

Q = 4.5 * v * h
where
Q = total heat transferred (BTU/h)
v = airflow (cfm)
Example problem
A total heat recovery system operates on an airflow of 30,000 cfm.
How much heat is recovered by this system?
Q = 4.5 * v * h * n
The incoming air enthalpy before the heat exchanger is 26.5 Btu/lb. After the heat exchanger the air has
enthalpy of 34.0 Btu/lb. The efficiency of the heat exchanger is 84%
To approach this problem we use the formula above. But this system doesn't recover all the heat,
only 84%. So we need to add that to the equation:
Q = 4.5 * v * h * n
Total heat calculations - metric units

Q = 1.201 * v * h
where
Q = total heat transferred (kW)
v = airflow (m3/s)
Example problem
A total heat recovery system operates on an airflow of 14.16 m3/s.
Q = 1.201 * v * h * n
The incoming air enthalpy before the heat exchanger is 61.58 kJ/kg. After the heat exchanger the air
has enthalpy of 79.01 kJ/kg. The efficiency of the heat exchanger is 84%
To approach this problem we use the formula above. But this system doesn't recover all the heat, only
84%. So we need to add that to the equation:
Q = 1.201 * v * h * n
Sensible heat calculations answers - US customary units

Q = 1.08 * v * t
Where
v = airflow (cfm)
Example problem
The outside air temperature is 50F and the exhaust air temperature is 70F. The system operates at 70%
efficiency and processes 45,000 cfm.
To approach this problem we use the formula above. But this system doesn't recover all the heat, only 70%.
So we need to add that to the equation:
Q = 1.08 * v * t * n
Q=
1.08 X
45,000
cfm
x(
70
F
50
F)
x
0.7
=
1.08
x
45,000
cfm
X
20
F x
0.7
=
680,400
BTU
Hr
If this heat recovery system runs 6 hours per day all year, Monday - Saturday, how much is it saving if
electricity costs 7.5c per kWh?
680
27,
,40 BT
day
kW
0.0
997
0
U
x
6
h
x
312 s
x
1
h
x
75 $
=
.70 $
h
Day
year
3412
BTU
kWh
year
Sensible heat calculations answers - metric units

Q = 0.34 * v * t
Where
v = airflow (m3/hr)
Example problem
The outside air temperature is 10C and the exhaust air temperature is 21.11C. The system operates at
70% efficiency and processes 76,464 cubic meters of air per hour.
To approach this problem we use the formula above. But this system doesn't recover all the heat, only 70%.
So we need to add that to the equation:
Q = 0.34 * v * t * n
76,464
21.1
Q=
0.34 X
m3
x(
1
C
Hr
=
0.34
x
76,464
m3
x
Hr
=
202,185
10.0
0
11.11
C)
x
x
0.7
0.7
If this heat recovery system runs 6 hours per day all year, Monday - Saturday, how much is it saving if
electricity costs 7.5c per kWh?
202
28,
,18
day
0.0
386
5
W
x
1
kW x
6
h
x
312 s
x
75 $
=
.77 $
1000
W
day
year
kWh
year
Total heat calculations answers - US customary units

Q = 4.5 * v * h
where
Q = total heat transferred (BTU/h)
v = airflow (cfm)
Example problem
A total heat recovery system operates on an airflow of 30,000 cfm.
Q = 4.5 * v * h * n
Q = 4.5 x 30,000 ft3 x ( 34.0 BTU - 26.5 BTU ) x 0.84
m lb lb
= 4.5 x 30,000 ft3 x 7.5 x
m
= BTU
h
8 50,500
The incoming air enthalpy before the heat exchanger is 26.5 Btu/lb. After the heat exchanger the air has
enthalpy of 34.0 Btu/lb. The efficiency of the heat exchanger is 84%
To approach this problem we use the formula above. But this system doesn't recover all the heat,
only 84%. So we need to add that to the equation:
0.84
Total heat calculations answers - metric units

Q = 1.201 * v * h
where
v = airflow (m3/s)
Example problem
A total heat recovery system operates on an airflow of 14.16 m3/s.
Q = 1.201 * v * h * n
Q = 1.201 x 14.16 m3 x ( 79.01 kJ - 61.58 kJ ) x 0.84
s kg kg
= 1.201 x 14.16 m3 x 17.43 x
s
= 249 kJ
s
= 249 kW
The incoming air enthalpy before the heat exchanger is 61.58 kJ/kg. After the heat exchanger the air
has enthalpy of 79.01 kJ/kg. The efficiency of the heat exchanger is 84%
To approach this problem we use the formula above. But this system doesn't recover all the heat, only
84%. So we need to add that to the equation:
0.84
HVAC Geothermal Heat Pumps

Slide 1
Welcome to HVAC Geothermal Heat Pumps!
Slide 2
This class was produced with the support of Carolina Consulting Group and the Institute of Energy Professionals.
Slide 3
Slide 4
Explain what a geothermal heat pump is, and how it differs from conventional equipment
List the benefits of geothermal heat pumps
Describe the different types of geothermal heat pump installations, and the advantages and disadvantages
in each case
Slide 5
Geothermal heat pumps are fast becoming the leading technology for heating and cooling in energy efficient
buildings. Buildings that use geothermal heat pumps for heating can realize efficiency savings of 50% to 70% in
comparison to other types of heating systems. A 20% to 40% savings in efficiency can be realized when using a
geothermal heat pump system for cooling. Better yet, these savings do not require complicated or difficult to operate
systems. Geothermal heat pumps rely on off-the-shelf components that are familiar in conventional air conditioning.
The underground components typically have a 50 year warranty.
Source: International Ground Source Heat Pump Association
Imagery credit: Janet F. Reeder/IGSHPA
Slide 6
Components that you may find in your HVAC system can be split into 4 categories.
Source components to provide primary heating and cooling effects:
Distribution components that transport heating and cooling effects from the source to the conditioned space
Delivery components to introduce the heating or cooling effect into conditioned spaces
Control components that regulate the operation of equipment and systems for comfort, process, safety and
energy efficiency
In this class we will focus on a source component for heating and cooling the geothermal heat pump.
Slide 7
Heat pumps transfer heat extracted from one medium, such as air or water, to another medium via the
vapor-compression refrigeration cycle. When used for heating, it can be thought of as a refrigerator running in
reverse. You can learn about the vapor-compression cycle in our class HVAC Source Equipment for Cooling I.
Heat pumps can tap into various sources of heat, including air, water, ground and heat reclaim systems. Heat
naturally flows from hot or warm areas to cold or cool ones. Heat pumps can force heat against the normal direction
of flow, which is how they remove heat from a warm building when the temperatures outside are even higher. Heat
pumps can also enhance the natural flow of heat from hot to cold.
Slide 8
Geothermal heat pumps are also known as ground-source heat pumps, earth-coupled heat pumps, and ground-water
heat pumps. Geothermal heat pumps are increasingly being used in green buildings because of their high efficiency.
They are one of the fastest growing applications of renewable resources.
Below a certain depth, underground temperatures in a particular place are the same all year round. The surface air
becomes hotter than the earth in summer, and colder than the earth in winter, but the belowground temperature stays
the same. Geothermal heat pump systems use the stable temperature of the ground or ground water as a heat
source or heat sink. Depending on latitude, the range of source temperatures is typically from 7C to 24C:
equivalent to 45F to 75F.
Another potential heat source for heat pumps is building exhaust air. This resource is often used after it has first been
used to temper ventilation air in a heat exchanger cooled with outdoor air intakes
Slide 9
The nature of the building should be considered when selecting heat pumps. For example, in large buildings, the
perimeter-to-floor area ratio is relatively small compared to that in small buildings. Consequently internal gains from
lights, computers, occupants and other heat sources are high, compared to transmission losses. During unoccupied
periods, the building electrical capacity that normally serves lighting and plug loads is available for perimeter heating
by heat pumps supplemented with electric resistance heat.
Heat pumps need not meet 100% of the heating requirements of a building. Frequently, it is practical to use heat
pumps only for those areas that they can easily serve. Supplemental loop or point-of-use heat from another
medium (electrical resistance or gas) could be used for other areas such as entrance vestibules.
Slide 10
The chief benefit of geothermal heat pumps is low heating and cooling costs.
Heating efficiencies are 50% to 70% higher than other heating systems and cooling efficiencies are 20% to 40%
higher than conventional air conditioners.
(Source: International Ground Source Heat Pump Association)
The efficiency of a heat pump can be expressed by its coefficient of performance, or COP.
COP is the heating capacity of a unit divided by its electrical input.
In metric units, both the capacity and the electrical power are expressed in kW.
to be in BTU per hour.
In US customary units, they need
Slide 11
Another measure applied in the US is the energy efficiency ratio, or EER. EER is similar to COP in that it is a ratio of
capacity to input power, but the units are different. Capacity in BTU per hour is divided by electrical power in watts.
In both cases, higher numbers indicate a more efficient heat pump. A unit with an EER of 7 costs about twice as
much to operate as a unit with an EER of 14.
Typical air-source heat pumps such as those used for air conditioning have COP in the range 2.5 to 3.0 and EER in
the range 13 to 20. In comparison, depending on the selected design geothermal heat pumps have COP in the range
3.3 to 3.6 or more and EER in the range 12.1 to 16.2 or more. The best available units exceed this performance
considerably. This chart shows the recommendations of the US Department of Energy. Other recommendations may
be available from the authorities in your country.
Source EERE FEMP How to Buy an Energy Efficient Ground-Source Heat Pump
Slide 12
What impact can this have on bills? Heres an example from an office building with 25,000 square feet of space,
which is 2,322 square metres. Its located in Washington, DC, USA, where summer cooling needs predominate.
Even conservatively using a lifetime of 15 years, the estimated lifetime savings are $17,000 compared to a
conventional air source air conditioner.
The modeled 2.7 COP heating efficiency of the air source heat pump is half way between the cold weather (17
degrees F) and standard mild weather (47 degrees F) rating conditions of a new high efficiency
(FEMP-recommended) model. Likewise, the modeled cooling efficiency of the air source heat pump, gas furnace,
and air source air conditioner all represent models that just meet the FEMP recommended levels.
b) Its important to note, lifetime Energy Cost is the sum of the discounted (present) value of the annual energy costs
based on the average usage and assumed equipment life of 15 years. (GSHPs generally last longer than this but 15
years is used since this is the expected life of the air source equipment.) The assumed electricity and gas prices are
6 cents/kWh and 40 cents/therm. Future energy price trends and a discount rate of 3.3% are based on federal
guidelines (effective from April 2001 to March 2002).
GSHP Cost-Effectiveness Example
(25,000 sq ft office building, Washington DC)
Performance
Air source heat pump
Gas furnace, AC
source AC
Recommended
level GSHP
Best available GSHP
Heating / cooling
efficiency
10.1 EER /
2.7 COPa
10.3 EER /
90% AFUE
14.1 EER /
3.3 COP
25.8 EER /
4.9 COP
Annual cooling
energy use
41,100 kWh
40,300 kWh
31,200 kWh
22,200 kWh
Annual heating
energy use
31,300 kWh
1,970 therms
12,000 kWh
11,400 kWh
Annual energy cost
$4,350
$3,200
$2,600
$2,050
Lifetime energy costb
$43,000
$32,000
$26,000
$20,000
Lifetime energy cost

savings
---
$11,000
$17,000
$23,000
Source EERE FEMP How to Buy an Energy Efficient Ground-Source Heat Pump
Slide 13
There are several other benefits of geothermal heat pumps.
They provide level seasonal electrical demand. Facilities in climates that need heating in winter and cooling in
summer often use fuels such as gas for winter heating and electricity for summer air conditioning. As a consequence
the facility has an unbalanced electrical demand profile, with high peak demand in the summer months and low
demand during the rest of the year. A geothermal heat pump which is used for both heating and cooling will tend to
create a demand profile with less seasonal variation, and the higher efficiency of the system will reduce the summer
peak demand.
Unlike a furnace or boiler, there is no on-site combustion and therefore no on-site emissions or safety issues related
to fuel storage or flames.
Slide 14
Geothermal heat pumps have longer life expectancy than standard air source heat pumps and split-system air
conditioners. The underground pipe typically has a warranty of fifty years.
They occupy less mechanical space in the facility, because the heating or cooling effect is displaced to the
underground components.
They are low maintenance. All the components are either inside the facility or buried underground, which protects
them from outside conditions. They have fewer moving parts compared to air source heat pumps.
Geothermal heat pump units are very quiet. Conventional air-source heat pumps locate the condenser outdoors and
often use a noisy fan unit to pass air over it to increase the heat exchange. Geothermal heat pumps dont rely on this
type of arrangement.
Slide 15
Since geothermal heat pumps use less energy to provide the cooling and heating effects, they reduce the emissions
associated with electrical generation from dirty fuels. However if the electricity is from a clean renewable source, it is
already free from emissions and this would not be a factor. Renewable energy is still relatively expensive to produce,
so it is sensible to make this energy go further by coupling it to efficient units such as geothermal heat pumps.
Typically, a geothermal heat pump requires a greater initial capital investment than a comparable conventional
system. However the investment can be recouped in as little as three years. With financed systems, cash flow is
positive, since the savings generally outweigh the payments. Often the local or country government offers rebates or
incentives that can bring down the costs.
Slide 16
Geothermal heat pumps are not a new idea. The first patent for a geothermal heat pump was issued in Switzerland in
1912.
Data for the number and capacity of heat pumps installed varies widely, but whats clear is that this technology is
growing rapidly, driven by increased energy awareness and financial incentives in some countries. The worldwide
installed capacity has shown steady increase in growth for more than thirty years.
Through the 1990s heat pump installations are estimated to have increased annually by around 10%. In 2001 the
Geo-Heat Center estimated around half a million (500,000) units had been installed worldwide. Approximately
two-thirds of these installations were in the USA.
The Growth of Worldwide Installed

Capacity
10000
5000
0
19751980
1985
1990 1995
2000 2005
Source: World Geothermal Generation in 2007, Ruggero Bertani, Enel
Austria, 19,000
4%
Finland, 10,000
Canada,
2%
30,000
Germany, 18,000
6%
4%
Australia, 2,000
2%
Other, 3,578
0%
Poland 4,000
1%
Sweden 55,000
11%
USA, 350,000
67%
Switzerland,
21,000
4%
Heat Pump Installations
Source : Geothermal Heat Pumps An Overview, John W Lund
Slide 17
By 2004 the installed base was nearly twice the 2001 analysis, and the number of installations continues to grow.
Next we will talk about how geothermal heat pumps work!
600,000
500,000
400,000
300,000
200,000
2001
100,000
2004
Sources : Geothermal Heat Pumps An Overview, John W Lund and Geothermal (Ground-Source) Heat
Pumps: A World Overview, Lund et al
Slide 18
Lets discuss operating principles!
How does a geothermal heat pump work? Geothermal heat pumps employ off-the-shelf components. The
vapor-compression cycle employs a compressor, condenser, expansion valve and evaporator, which may be
packaged together in a single enclosure.
Geothermal heat pump in the heating cycle (source: Oklahoma State University)
Slide 19
When employed in heating mode, the refrigerant is compressed to high pressure and temperature by the compressor.
The hot refrigerant enters the condenser heat exchanger. Air passes over the heat exchanger and is warmed. Fans
distribute this warm air to heat the facility.
The refrigerant is now cooler, and passes through an expansion valve to become even cooler refrigerant at low
pressure. It enters the evaporator heat exchanger. The evaporator heat exchanger is connected to the ground source.
The cold refrigerant picks up heat and re-enters the compressor to repeat the cycle.
A refrigerant reversing valve is incorporated so that the system can be reversed to provide cooling in summer.
A desuperheater is often incorporated at the compressor outlet. This is a type of heat exchanger, that removes heat
from the compressed refrigerant before it enters the condenser. In this way hot water for domestic purposes is
produced from the same equipment, with no need for a separate boiler.
Slide 20
How are the cooling effects of the ground source accessed? Water or glycol circulates through the heat exchanger,
and through pipes that are buried underground or submerged in a pond or lake.
During winter months when heating is required, the temperature a few metres or feet below ground or below a lake
surface remains very constant, and is higher than the outside air temperature. The water or glycol picks up heat from
the ground or lake, and that heat is transferred to the facility via the heat exchanger.
During summer months when cooling is required, outside air temperatures are high, but the below-ground or
sub-surface temperature is still the same and is now significantly lower than the outside air temperature. The water or
glycol will pick up heat from the facility via the heat exchanger, and that heat is transferred to the ground or lake. Cool
water or glycol is returned to the facility heat exchanger to repeat the process.
Slide 21
Local conditions make a big difference to a geothermal heat pump installation.
Lets talk about thermal resistivity of the soil.
Thermal resistance is analogous to electrical resistance. Materials with high thermal resistance do not pass heat as
effectively as those with low thermal resistance.
Resistivity is simply the resistance per C-cm/watt F-in-hr/BTU.
The type of soil and the amount of water content create different thermal properties. Lighter, silty or sandy soils have
low thermal resistivity. This means that it is relatively easy to move heat into and out of those soils.
Heavier peat or clay soils tend to have higher thermal resistivity. These soils have more insulating properties and it is
harder to move heat into and out of them.
All soils have lower thermal resistivity when they are wet and higher thermal resistivity when they are dry.
work to move heat in and out of water than the solids in the soil.
It is less
Slide 22
Another important topic to address is the local climate.
The local climate determines what the groundwater temperature will be. At depths over six metres or twenty feet
there is no significant seasonal change in temperature. However the temperature will still vary from place to place.
The earth temperature is maintained at approximately the average annual air temperature plus about 1C or 2 F to
a depth of about 60 metres or 200 feet.
Here we can see that at the southern tip of Florida, the mean groundwater temperature is about 25C or 77F.
Surface temperatures in this area vary between average lows in January of 16C or 60F and average highs in
August of 33C or 91F
Further north in the Boston area, the mean groundwater temperature is about 8C or 47F. Surface temperatures
there vary between average lows in January of -6C or 22F and average highs in August of 28C or 82F.
source weather.com
Clearly, the difference between Boston and Miami will have an impact on the heat pump but in both cases, the
groundwater temperature is cooler than the surface temperature in summer, and warmer in winter. A geothermal
heat pump will be effective in either location.
Imagery credit: ENO scientific
Slide 23
Geothermal heat pumps may be
Closed loop
Open loop
In a closed loop system, water or glycol circulates through plastic pipes buried in the earth or submerged in a lake or
pond. The pipes are continuous so the same water or glycol is circulating constantly.
In an open loop system, the pipes discharge into the ground or lake, and the inlet brings in new water from the
source. This required an underground aquifer or large body of surface water. Glycol is not used in open loop systems,
since it would contaminate the ground water or lake water.
The type of installation selected will depend on the available land, and the soil or rock type. This means that each
installation is site specific, and every application is different.
Slide 24
First, we are going to address the open loop system.
There are three types of open-loop systems:
Single well open loop
Double well open loop, and
Surface water open loop
Single and double well applications are generally used for residential applications. Surface water applications tend to
serve commercial or district applications.
Click to explore each type.
Single well open loop
In a single well open loop system, a borehole is drilled to access the groundwater as a heat source or sink. The
water is drawn through a screen to filter debris and pumped to the surface, where it either gives up heat to the
vapor-compression cycle, or absorbs heat from it. The water is then discharged, for example to a storm drain, or a
body of water such as a creek, stream or lake. These systems are seldom used today due to concerns about
depleting the aquifer. In some cases the water may be returned through the same well that it came from.
Double well open loop
If there is no convenient body of water for discharge, a double well open loop system may be employed. In this
case two boreholes are drilled. One is used as a supply well in the same way as the single well approach. The
second is used as an injection well to return the used water to the ground source.
Surface water open loop
A surface water open-loop system requires a large body of water with relatively stable temperature.
water is drawn from the source, filtered, and returned to the same source.
In this case,
Slide 25
Open loop systems have a number of advantages.
The design is simple
Less drilling is required than for a closed loop system
Potentially, better thermodynamic performance can be achieved because of direct heat transfer from the
medium (water), instead of using an intermediate fluid.
Typically this is the lowest cost design
The well for the heat pump can be combined with a well for supply for potable water
There are some disadvantages with open loop systems.
These systems have to comply with local, state or country codes and regulations for clean water.
The water flow requirements can be large for example around 11 litres per minute, equivalent to 3 gallons
per minute.
If the water quality is poor the heat exchangers in the system can be fouled or corroded.
Potentially, the pumping costs can be higher depending on how much water has to be pumped and over
what distance
Water disposal requirements can substantially increase the system cost if a re-injection well is required.
Now that we have looked at open loop systems in detail, we are going to move on to closed loop systems!
Slide 26
The loops that carry the water or glycol can be installed in five ways:
Horizontal closed loop, also referred to as horizontal heat exchanger or HHE
Spiral closed loop
Vertical closed loop, also referred to as borehole heat exchanger or BHE
Submerged closed loop
Direct expansion closed loop
Click to explore each type.
Horizontal closed loop
In a horizontal closed loop design, pipes are buried in trenches commonly 1.5 to 2 metres or 5 to 6 feet underground.
There may be a single winding pipe or multiple branches that could be organized in layers.
The advantage of this approach is that digging trenches costs less than drilling wells. Trenches can be dug with
simple equipment such as a digger or backhoe, rather than specialized drilling equipment. Installation options are
more flexible, because of the various ways the pipe can be laid out.
However there are several disadvantages:

A large ground area is required
Because the pipes are relatively close to the surface, the ground temperature is subject to seasonal
variations, with an annual swing of from 10 to 14 C or 18 to 26 F
Not only does the ground temperature vary, but the thermal properties of the soil as a heat transfer medium
also fluctuate with the seasons.
Horizontal heat exchangers require more lengths of pipe than vertical or borehole heat exchangers.
When the trenches are backfilled, there is potential for damage to the piping.
Generally the efficiency of the system is lower
For a commercial application, typically the ground required makes a horizontal installation impractical.
this approach is commonly found in residential applications.
Therefore
Spiral closed loop
A spiral closed loop is similar to a horizontal heat exchanger, but the surface area for heat exchange is increased by
looping the pipe within the trench.
An advantage is that less ground surface area and less trenching is needed.
than other horizontal system designs.
Installation costs are sometimes less
The disadvantages are:

This approach requires more total pipe length than other designs
A relatively large ground area is still required
Ground temperature is subject to seasonal variations
When the trenches are backfilled, there is potential for damage to the piping.
More energy will be required for pumping than for other horizontal systems, due to the increased resistance
to flow offered by the coils of pipe.
Since this issues for spiral systems are similar to those for horizontal systems, the application focus is similar as well
typically a spiral installation is not practical in a commercial case, but they are found in residential applications.
Vertical closed loop
In a vertical closed loop, boreholes are drilled so that the pipes descend to a depth of between 25 and 150 metres, or
75 to 500 feet.
The advantages are:
This approach requires less ground surface area than the other types of closed loop system.
It also uses the least amount of pumping energy of the closed loop systems and
At depths over six metres or twenty feet there is no significant seasonal change in temperature. Therefore a
vertical loop benefits from conditions which are cooler in summer, and warmer in winter, and requires less
total pipe length.
Boreholes must be drilled to accommodate the pipes
The cost of this is frequently higher than horizontal trenching
There is also some potential for long-term heat build-up underground. If heat is not dispersed within the
aquifer, eventually the effectiveness of the system will be compromised.
This design is the one most often applied in commercial applications.
In a submerged closed loop design, instead of burying the cables underground, they are located in a body of water
such as a lake.
Few commercial or residential facilities have access to a convenient body of water, so very often this design is not
practical.
Direct expansion
In all the systems discussed so far, water or glycol has circulated through the buried or submerged piping in a
separate cooling loop. Heat exchange with the facility is accomplished by passing the cooling loop through a heat
exchanger which also incorporates a separate loop for the refrigerant used in the vapor compression cycle.
In a direct expansion system, there is no separate cooling loop. Instead the water body itself becomes the heat
exchanger for the vapor compression system. Refrigerant circulates in copper tubing and gives up or absorbs its heat
directly. Therefore in summer, when cooling is required, the ground loop is used as a condenser, and in winter when
heating is necessary, the ground loop plays the role of evaporator.
Direct expansion systems have a number of theoretical advantages:
They have higher system efficiency
No circulating pump is required
There is no need for an intermediate heat transfer fluid
However their disadvantages mean that these designs are rarely practical:
Like other submerged systems, these designs require a large body of water with relatively stable
temperature, which is not readily to hand in most cases.
They have high initial costs for refrigerant and copper piping
The copper coils can be subject to stray voltages and corrosion

Any leakage of refrigerant would have environmental implications
The compressor in a vapor-compression system may introduce oil to the refrigerant. Conventional systems
handle this by various means of recovery from the condenser. In a ground-source system, where the
condenser is now a large array of buried copper pipes, oil return could be a problem.
Slide 27
Geothermal heat pump systems can be adapted to make use of other components.
For example, there are multiple systems.
In large facilities multiple heat pumps may be installed to manage the different requirements of different areas.
These may share a single ground loop.
Slide 28
And we have cooling towers
Some systems are supplemented by a cooling tower. Water or another fluid circulates in a cooling loop. Water or
coolant exiting the facility gives up heat to the cooling loop via a heat exchanger before passing through the ground
source.
Slide 29
Then there is solar-assisted systems
In a solar assisted system, solar energy is used to heat water or another fluid. This circulates in its own coil through a
heat exchanger. Water coming from the ground source picks up additional heat from the solar loop before entering
the facility.
Slide 30
At times, desuperheaters are used for domestic hot water. As mentioned during the review of the components of a
heat pump system, a desuperheater is often incorporated at the compressor outlet. This is a type of heat
exchanger, that removes heat from the compressed refrigerant before it enters the condenser. In this way hot
water for domestic purposes is produced from the same equipment, with no need for a separate boiler. During the
summer, when the system is in cooling mode, hot water is produced for free as a byproduct of the thermal process
using heat rejected from the facility. In the summer, when heating mode is in effect the desuperheater uses some
of the heat from the pump to heat some or all the domestic water.
Slide 31
Heat pumps transfer heat extracted from one medium, such as air or water, to another medium via the
vapor-compression refrigeration cycle.
They may be used for heating or cooling.
Geothermal heat pumps use the stable temperature of the ground or ground water as a heat source or heat
sink.
The chief benefit of geothermal heat pumps is low heating and cooling costs. Heating efficiencies are 50%
to 70% higher than other heating systems and cooling efficiencies are 20% to 40% higher than conventional
air conditioners.
Systems may be closed loop or open loop.
Open loop systems may rely on a single well, a double well, or surface water.
Closed loop systems may be

Horizontal closed loop, also referred to as horizontal heat exchanger or HHE
Spiral closed loop
Vertical closed loop, also referred to as borehole heat exchanger or BHE
Direct expansion closed loop
Slide 32
HVAC & Psychrometric Charts US Version

Slide 1
Welcome to HVAC and Psychrometric Charts. Today, we will introduce the concept of Psychrometrics, while
discussing how Psychrometric Charts are utilized to drive HVAC sizing and evaluation. Please note: This
course uses US customary units. There is a separate course for the international system of units (SI units).
This course is one in a series of HVAC courses offered by Energy University. Before taking this course, it is
recommended that you first participate in HVAC and the Characteristics of Air.
Slide 2
This course contains practice examples, and you will need to use the paperclip icon to download the
psychrometric chart to complete these exercises. Click the Notes tab to read a transcript of the narration.
Slide 3
Define psychrometrics
Read a Psychrometric Chart
State the benefits of using a Psychrometric Chart, and
Show various HVAC processes on a Psychrometric Chart
Slide 4
Psychrometrics is the study of the thermodynamic properties of moist air and its effect on materials and
human comfort. Psychrometrics applies the well understood relationships between humidity and
temperature in the air to practical problems. Commonly used psychrometric variables are temperature,
relative humidity and dew point. There are less common variables that we will also discuss.
owners.
HVAC system designers use these factors to model the HVAC requirements depending on the location of
the building and the needs of the occupants or processes within it. In the next section, well see in a simple
way how those factors are used to ensure an effective HVAC system.
Slide 5
A psychrometric chart is a graph of the physical properties of moist air at a constant pressure. It is often
equated to an elevation relative to sea level. The chart we will be using in this course is for sea level. The
chart graphically expresses how various properties relate to each other, and is thus a graphical equation of
state.
owners.
The thermophysical properties found on a psychrometric chart are:

Dry-Bulb Temperature
Humidity Ratio, also called Specific Humidity
Wet-Bulb Temperature
owners.
Dew Point
Specific Volume
owners.
Relative Humidity
Enthalpy
Vapor Pressure
owners.
Lets take a look at our chart.

Slide 6
As you can see, the chart looks like a shoe.
The versatility of the psychrometric chart lies in the fact that by knowing three independent properties of
moist air (one of which is the pressure), the other properties can be determined. Changes in state, such as
when two air streams mix, can be modeled easily and somewhat graphically using the correct psychrometric
chart for the location's air pressure or elevation relative to sea level. For locations at or below 2000 ft, a
common assumption is to use the sea level psychrometric chart.
Lets take a look at all of the various thermophysical properties and how they are plotted on the chart.
Slide 7
Dry-bulb temperature (DBT) is the temperature of an air sample, as determined by an ordinary thermometer.
The thermometer's bulb is dry. It is typically the x-axis, or the horizontal axis, of the graph. The US
Customary Units are Fahrenheit. Dry-Bulb temperatures are graduated from left to right along the sole.
owners.
Slide 8
Dry-Bulb readings are plotted vertically.
Slide 9
Humidity ratio (also known as moisture content or mixing ratio) is the proportion of mass of water vapor per
unit mass of dry air at the given conditions (DBT, WBT, DPT, RH, etc.). It is typically the y-axis, the vertical
axis, of the graph. For a given DBT there will be a particular humidity ratio for which the air sample is at
100% relative humidity: the relationship reflects the physics of water and air and must be measured.
Humidity ratio is dimensionless, but is sometimes expressed as grains of water per pound of air (7000
grains equal 1 pound). Specific humidity is closely related to humidity ratio but always lower in value as it
expresses the proportion of the mass of water vapor per unit mass of the dry air and the water vapor.
owners.
Humidity values are graduated, bottom to top, along the heel. This chart has grains/pound and vapor
pressure.
The heel also shows vapor pressure. Vapor Pressure is the pressure exerted by the water vapor in air, and
it varies with temperature since the water "holding" capacity of air changes with temperature. It is given in
inches of mercury.
Slide 10
Humidity readings are plotted horizontally.
owners.
Slide 11
The values are graduated from the toe to the top. These values represent Dew Point and Wet-Bulb. This is
also known as the saturation line.
Slide 12
Wet-Bulb readings are plotted from the inseam diagonally, down and right. They follow the roughly 45
degree angle lines.
owners.
Slide 13
Dew Point readings are plotted horizontally. Its hard to read on the inseam so there is a handy easy to read
scale on the outside of the heel. (Here, we see it shown as 61 degrees.)
Slide 14
Specific Volume is in the body of the shoe. The lines are diagonal and steeper than the Wet-Bulb lines.
owners.
Slide 15
Relative Humidity (RH) is in the body of the shoe. The lines are swooped and range from 10% to 100% at
the inseam. Notice that 100% is the inseam.
Slide 16
Enthalpy values are provided all around the outside of the shoe. Enthalpy readings are plotted diagonally,
almost exactly at the same angle as the Wet-Bulb lines.
Slide 17
A sample of air can be plotted if any two of the 7 variables are known. This is assuming the pressures are
the same.
A sling psychrometer is a measuring tool that can be used to determine Dry-Bulb and Wet-Bulb readings.
This device contains two thermometers, and one has a wet sock on the tip. The person taking the readings
owners.
would just sling it around for a minute and take the two readings. Electronic ones are available at
reasonable prices.
Lets practice plotting points.
Slide 18
Lets pretend we have a Dry-Bulb reading of 75 degrees. Find 75 along the sole and draw a vertical line
from that value. Take the DB line all the way to the saturation line.
owners.
Slide 19
Lets pretend we have a Wet-Bulb reading of 64 degrees. Find 64 along the inseam and draw a diagonal
line along the Wet-Bulb line. Draw a point where the two lines intersect.
Now that we have plotted two of our values, lets find the remaining variables.
Slide 20
Draw a horizontal line directly through the point.
What is the Dew Point?
58 degrees
What is the Humidity Ratio?
71 gr/lb
What is the Vapor Pressure?
.49 inHg
owners.
Slide 21
Lets estimate the percentage of Relative Humidity (RH).
It looks like its roughly 55%.
Theres another way to calculate RH as well:
Take the Dry-Bulb to the saturation line
Go right to determine the gr/lb at saturation
Slide 22
At saturation, Wet-Bulb and Dew Point are the same as the Dry-Bulb. At saturation, the humidity of 75
degree air is 131 gr/lb.
owners.
Remember our sample humidity was 71 gr/lb. Divide that by 131 gr/lb.
Thats 71/131 = 54.2%
Slide 23
Draw a line directly through the point and parallel to the Enthalpy lines. You may have to line up the
readings through the point.
What is the Enthalpy? Looks like it is approximately 29.4 Btu/lb.

Slide 24
Specific Volume (SV) can be estimated. It can be calculated, but it isnt really necessary. For this example,
we estimate this to be 13.7 cu ft/ lb dry air.
owners.
Slide 25
Now take out a clean chart. You can download one right from this presentation by clicking on the paperclip
icon. Plot the following air sample with a Dry-Bulb reading of 85 degrees F and a Relative Humidity reading
of 60%.
Find the remaining values:
What is the Wet-Bulb?
What is the Enthalpy?
What is the Specific Volume?
Slide 26
When you are done, your chart should look something like this.
owners.
Slide 27
Here are your answers.
110 gr/lb
.74 inHg
74.1 degrees
Just under 70 degrees
37.6 Btu/lb
Approximately 14.1 cu.ft/lb
Slide 28
Lets apply all that to an example.
A factory process requires air at 100 degrees F (Dry-Bulb) and 40% relative humidity.
The intake air is 50 degrees F (Dry-Bulb) and 60% relative humidity.
The process consumes 7000 cubic feet of air per minute.
How many BTU/hr is required to supply this process with the air requirements?
Here we see our formula.
Q = 4.5 * v * h
Where
Q = total heat transferred in BTU/h
v = volume of airflow in cfm
h = enthalpy difference (BTU/lb)
Using the psychrometric chart, please calculate the answer.
owners.
Slide 29
To solve the problem, first we need to determine the Enthalpy of the air samples. On the psychrometric
chart, find 100 degrees (Dry-Bulb) and take it up to the 40% RH line. Find the 50 degrees (Dry-Bulb) and
take that up to 60% RH line. From the point where your Dry-Bulb lines meet the RH line, draw a line parallel
to the Enthalpy lines.
For the 100 degree air sample, we find an Enthalpy of 43. For the 50 degree air sample, we find an Enthalpy
of 17.
Here we see the correct answer.
Q = 4.5 * v * h
Q = 4.5 x 7000cfm x (43 17)
Q = 4.5 x 7000cfm x 26
Q = 819,000 BTUs/hr
Lets work through another exercise.
owners.
Slide 30
How many tons of air conditioning are required to cool 1000 cfm of air that is 90 degrees F with a 60%
relative humidity to 60 degrees F and a 60% relative humidity? To solve the problem, first we need to
determine the Enthalpy of the air samples. On the psychrometric chart, find 60 degrees (Dry-Bulb) and take
it up to the 60% RH line. Find the 90 degrees (Dry-Bulb) and take that up to 60% RH line. From the point
where your Dry-Bulb lines meet the RH line, draw a line parallel to the Enthalpy lines.
For the 60 degree air sample, we find an Enthalpy of 21.5. For the 90 degree air sample, we find an
Enthalpy of 43.
Slide 31
Next, we need to find BTUs required. Lets look at our formula.
Q = 4.5 * v * h
Here we see the required BTUs.
Q= 4.5 * 1,000 cfm * (43 21.5)
Q= 4.5 * 1000 cfm * 21.5
Q= 96,750 BTUs required
And finally, we need to calculate the tons.
owners.
There are 12,000 BTUs per ton of air conditioning.

Tons = 96,750 BTUs/12,000 BTUs = 8.06 Tons
And here we have our answer: A little over 8 Tons.
Slide 32
Lets summarize what we have learned in this course.
human comfort.
Dry-bulb temperature
Humidity ratio
Vapor pressure
Wet-bulb temperature
Dew Point
Specific Volume
Relative Humidity
Enthalpy
Assuming the pressures are the same, a sample of air can be plotted if any two of the 7 variables are
known.
the building and the needs of the occupants or processes within it.
Slide 33
owners.
HVAC & Psychrometric Charts SI Version

Slide 1
Welcome to HVAC and Psychrometric Charts. Today, we will introduce the concept of Psychrometrics, while
discussing how Psychrometric Charts are utilized to drive HVAC sizing and evaluation. Please note: This
course uses the international system of units (SI units). There is a separate course for US customary units.
This course is one in a series of HVAC courses offered by Energy University. Before taking this course, it is
recommended that you first participate in HVAC and the Characteristics of Air.
Slide 2
This course contains practice examples, and you will need to use the paperclip icon to download the
psychrometric chart to complete these exercises. Click the Notes tab to read a transcript of the narration.
Slide 3
Define psychrometrics
Read a Psychrometric Chart
State the benefits of using a Psychrometric Chart, and
Show various HVAC processes on a Psychrometric Chart
Slide 4
human comfort. Psychrometrics applies the well understood relationships between humidity and
temperature in the air to practical problems. Commonly used psychrometric variables are temperature,
relative humidity and dew point. There are less common variables that we will also discuss.
the building and the needs of the occupants or processes within it. In the next section, well see in a simple
way how those factors are used to ensure an effective HVAC system.
Slide 5
A psychrometric chart is a graph of the physical properties of moist air at a constant pressure. It is often
equated to an elevation relative to sea level. The chart we will be using in this course is for sea level. The
chart graphically expresses how various properties relate to each other, and is thus a graphical equation of
state.
Dry-Bulb Temperature
Humidity Ratio, also called Specific Humidity
Wet-Bulb Temperature
Dew Point
Specific Volume
Relative Humidity
Enthalpy, and
Vapor Pressure
Lets take a look at our chart.

Slide 6
As you can see, the chart looks like a shoe.
The versatility of the psychrometric chart lies in the fact that by knowing three independent properties of
moist air (one of which is the pressure), the other properties can be determined. Changes in state, such as
when two air streams mix, can be modeled easily and somewhat graphically using the correct psychrometric
chart for the location's air pressure or elevation relative to sea level. For locations at or below 600 m, a
common assumption is to use the sea level psychrometric chart.
Lets take a look at all of the various thermophysical properties and how they are plotted on the chart.
Slide 7
Dry-bulb temperature (DBT) is the temperature of an air sample, as determined by an ordinary thermometer.
The thermometer's bulb is dry. It is typically the x-axis, or the horizontal axis, of the graph. The Metric Units
are Celsius.
Dry-Bulb temperatures are graduated from left to right along the sole.
Slide 8
Dry-Bulb readings are plotted vertically.
Slide 9
Humidity ratio (also known as moisture content or mixing ratio) is the proportion of mass of water vapor per
unit mass of dry air at the given conditions (DBT, WBT, DPT, RH, etc.). It is typically the y-axis, the vertical
axis, of the graph. For a given DBT there will be a particular humidity ratio for which the air sample is at
100% relative humidity: the relationship reflects the physics of water and air and must be measured.
Humidity ratio is dimensionless, but is sometimes expressed as grams of water per kilogram of dry air.
Specific humidity is closely related to humidity ratio but always lower in value as it expresses the proportion
of the mass of water vapor per unit mass of the dry air and the water vapor.
Humidity values are graduated, bottom to top, along the heel. This chart has grams of water per kilogram of
dry air.
The heel also shows vapor pressure. Vapor Pressure is the pressure exerted by the water vapor in air, and
it varies with temperature since the water "holding" capacity of air changes with temperature. It is given in
millimetres of mercury.
Slide 10
Humidity readings are plotted horizontally.
Slide 11
The values are graduated from the toe to the top. These values represent Dew Point and Wet-Bulb. This is
also known as the saturation line.
Slide 12
Wet-Bulb readings are plotted from the inseam diagonally, down and right. They follow the roughly 45
degree angle lines.
Slide 13
Dew Point readings are plotted horizontally. Its hard to read on the inseam so there is a handy easy to read
scale on the outside of the heel. Here, we see it shown as 16 degrees Celsius.
Slide 14
Specific Volume is in the body of the shoe. The lines are diagonal and steeper than the Wet-Bulb lines.
Slide 15
Relative Humidity (RH) is in the body of the shoe. The lines are swooped and range from 10% to 100% at
the inseam. Notice that 100% is the inseam.
Slide 16
Enthalpy values are provided all around the outside of the shoe. Enthalpy readings are plotted diagonally,
almost exactly at the same angle as the Wet-Bulb lines.
Slide 17
A sample of air can be plotted if any two of the 7 variables are known. This is assuming the pressures are
the same.
A sling psychrometer is a measuring tool that can be used to determine Dry-Bulb and Wet-Bulb readings.
This device contains two thermometers, and one has a wet sock on the tip. The person taking the readings
would just sling it around for a minute and take the two readings. Electronic ones are available at
reasonable prices.
Lets practice plotting points.
Slide 18
Lets pretend we have a Dry-Bulb reading of 25 degrees Celsius. Find 25 along the sole and draw a vertical
line from that value. Take the DB line all the way to the saturation line.
Slide 19
Lets pretend we have a Wet-Bulb reading of 18 degrees Celsius. Find 18 along the inseam and draw a
diagonal line along the Wet-Bulb line. Draw a point where the two lines intersect.
Now that we have plotted two of our values, lets find the remaining variables.
Slide 20
Draw a horizontal line directly through the point.
14.2C
10.1 grams moisture per kilogram dry air
12.0 mmHg
Slide 21
Lets estimate the percentage of Relative Humidity (RH).
It looks like its roughly 50%.
Theres another way to calculate RH as well:

Take the Dry-Bulb to the saturation line
Go right to determine the grams moisture per kilogram dry air at saturation
Slide 22
At saturation, Wet-Bulb and Dew Point are the same as the Dry-Bulb. At saturation, the humidity ratio of 25
degree air is 20 g/kg.
Remember our sample humidity ratio was 10.1 g/kg. Divide that by 20 g/kg.
Thats 10.1/20 = 50.5%
Slide 23
Draw a line directly through the point and parallel to the Enthalpy lines. You may have to line up the
readings through the point.
What is the Enthalpy? Looks like it is approximately 51 kJ per kg of dry air.

Slide 24
Specific Volume (SV) can be estimated. It can be calculated, but it isnt really necessary. For this example,
we estimate this to be 0.85 m3/kg dry air.
Slide 25
Now take out a clean chart. You can download one right from this presentation by clicking on the paperclip
icon. Plot the following air sample with a Dry-Bulb reading of 30C and a Relative Humidity reading of 60%.
Find the remaining values:
Slide 26
When you are done, your chart should look something like this.
Slide 27
Here are your answers.
16.0 g/kg
18.8 mmHg
23.7C
Just over 21C
71 kJ/kg
Approximately 0.87 m3/kg
Slide 28
Lets apply all that to an example.
A factory process requires air at 38 degrees C (Dry-Bulb) and 40% relative humidity
The intake air is 10 degrees C (Dry-Bulb) and 60% relative humidity.
The process consumes 200 cubic meters of air per minute.
How many kW is required to supply this process with the air requirements?
Here we see our formula.
Q = 1.201 * v * h
where
v = airflow (m3/s)
Using the psychrometric chart, please calculate the answer.
Slide 29
To solve the problem, first we need to determine the Enthalpy of the air samples. On the psychrometric
chart, find 38 degrees C (Dry-Bulb) and take it up to the 40% RH line. Find the 10 degrees C (Dry-Bulb) and
take that up to 60% RH line. From the point where your Dry-Bulb lines meet the RH line, draw a line parallel
to the Enthalpy lines.
For the 38 degrees C air sample, we find an Enthalpy of 83. For the 10 degrees C air sample, we find an
Enthalpy of 23.
Here we see the correct answer.
Q = 1.201 * v * h
Q = 1.201 * 200 m3/min * (83 -23)
Q = 1.201 * 3.33 m3/s * 60
Q = 240 kW
Lets work through another exercise.

Slide 30
How many kW of air conditioning are required to cool 30 cubic meters per minute of air that is 32 degrees C
with a 60% relative humidity to 16 degrees C and a 60% relative humidity? To solve the problem, first we
need to determine the Enthalpy of the air samples. On the psychrometric chart, find 16 degrees (Dry-Bulb)
and take it up to the 60% RH line. Find the 32 degrees (Dry-Bulb) and take that up to 60% RH line. From the
point where your Dry-Bulb lines meet the RH line, draw a line parallel to the Enthalpy lines.
For the 16 degree air sample, we find an Enthalpy of 33 kJ/kg. For the 32 degree air sample, we find an
Enthalpy of 78.
Slide 31
Next, we need to find kW required. Lets look at our formula.
Q = 1.201 * v * h
Here we see the required kW.
Q = 1.201 * v * h
Q= 1.201 * 30 m3/min * (78 33)
Q= 1.201 * 0.5 m3/s * 45
Q= 27 kW
Slide 32
Lets summarize what we have learned in this course.
human comfort.
Dry-bulb temperature
Humidity ratio
Vapor pressure
Wet-bulb temperature
Dew Point
Specific Volume
Relative Humidity
Enthalpy
Assuming the pressures are the same, a sample of air can be plotted if any two of the 7 variables are known.
the building and the needs of the occupants or processes within it.
Slide 33
HVAC Source Equipment for Cooling I

Course Transcript
Slide 1: Welcome
Welcome to the course HVAC Source Equipment for Cooling I.
Slide 2: ASHRAE
This course was produced with the support of the American Society of Heating,
Refrigerating, and Air-Conditioning Engineers, or ASHRAE.
Slide 3: How to use this course

Slide 4: Objectives
List the five refrigeration processes.
Explain the operation of the vapor-compression cycle.
And, identify the impact on energy consumption of adjusting the thermal lift.
Slide 5: HVAC Courses

This course is part of a series. In the following course, you will look at alternatives to the
vapor-compression cycle and auxiliary cooling equipment.
To obtain the full benefit of this course, you need to be familiar with basic
thermodynamic properties and states. If you would like a refresher on those topics,
please see our course on Thermodynamic States.
Components that you may find in your HVAC system can be split into four categories:
Source components to provide primary heating and cooling effects.

Distribution components that transport heating and cooling effects from the
source to the conditioned space.
Delivery components to introduce the heating or cooling effect into conditioned

spaces.
Control components that regulate the operation of equipment and systems for
comfort, process, safety and energy efficiency.
In this series of courses, you will focus on the source components for cooling.
Slide 7: Refrigeration Systems

A refrigeration system removes energy from a refrigerated space and transfers that
energy to the atmosphere. In these illustrations, the color red represents hot and the
color blue represents cold.
Click the steps below to learn more about this process.
Step 1:
Thermal energy always flows from hot to cold. You cannot cool a space by adding cold
to it. You can only cool it by taking heat out.
At the interface between the refrigeration system and the refrigerated space, the
temperature of the refrigeration system is less than the temperature of the space.
Step 2:
This allows energy to transfer from the space to the system.
Step 3:
The energy absorbed by the refrigeration system from the refrigerated space is
transferred to the atmosphere. At the interface between the refrigeration system and the

atmosphere, the temperature of the refrigeration system is greater than then

temperature of the atmosphere.
Step 4:
This temperature difference allows energy to transfer from the refrigeration system to the
atmosphere.
Slide 8: Types of Refrigeration Systems

There are five types of refrigeration systems:
Vapor-compression
Air cycle
Absorption
Thermoelectric
Evaporative cooling
You will learn more about each type in turn. For now, you are going to focus on vaporcompression systems.
Slide 9: Vapor-Compression Cycle

The most commonly used source of building cooling is the vapor-compression
refrigeration thermodynamic cycle.
This cycle uses a refrigerant that passes though four basic components in sequence:
Evaporator
Compressor
Condenser
Expansion device

Since the fluid circulates through the system, returning to its original position, it is
referred to as a cycle.

Slide 10: Vapor-Compression Cycles

Click the arrows to learn how the vapor-compression cycle works.
Step 1:
The expansion device and the compressor divide the system into a high pressure side
and a low pressure side.
Step 2:
In this animation, the color red represents hot and the color blue represents cold.
Transparency represents refrigerant vapor and opacity represents liquid refrigerant.
The compressor draws in low pressure refrigerant vapor and discharges high pressure
vapor to the condenser. The compressor requires power to perform this function. Energy
from this power is transferred to the compressed refrigerant, thus increasing its
temperature and pressure.
The refrigerant vapor leaving the compressor and entering the condenser is hotter than
the environment surrounding the condenser.
Step 3:
This temperature difference drives the heat transfer from the condenser to the
surrounding environment. As the refrigerant vapor loses heat, it condenses from a vapor
to a liquid at the same temperature. The refrigerant then exits the condenser as a liquid.
Step 4:
The liquid refrigerant then enters the expansion device. The expansion device restricts
and regulates the refrigerant flow. By restricting the flow, the expansion device reduces

the pressure of the refrigerant flowing through it. This pressure drop causes a low
pressure, low temperature mixture of liquid and vapor refrigerant to form at the exit of the
expansion device. The expansion device controls the flow of refrigerant so that it is
guaranteed that by the time the refrigerant leaves the evaporator it has all been
vaporized.
Step 5:
The low pressure, low temperature mixture of liquid and vapor refrigerant leaving the
expansion device and entering the evaporator is colder than the refrigerated space
surrounding the evaporator. This temperature difference drives the heat transfer from the
refrigerated space to the evaporator.
Step 6:
As the refrigerant liquid vapor mixture absorbs heat, the liquid portion evaporates to form
all vapor at the same temperature. The refrigerant then exits the evaporator and enters
the compressor as a vapor.
Slide 11: Vapor-Compression Cycle

This process is how an air conditioner can take heat out of a warm interior space, and
reject the heat to the outdoors, even when the outdoor environment is hot. Heat always
flows from the higher to the lower temperature.
By compressing the refrigerant, the system forces it up to a higher temperature than the
outdoors.
The heat in the refrigerant flows to the outdoor atmosphere, and the compressed
refrigerant cools somewhat.

When the refrigerant is allowed to expand, it cools even further, and is ready to absorb
more heat from the space.
Slide 12: Refrigeration Process

We can see the process of refrigeration on a p-h diagram. On this chart, the y-axis is
pressure, and the x-axis is enthalpy, represented by the letter h. Enthalpy is the total
energy contained in the refrigerant liquid or gas.
The cycle starts with compression (1 to 2). Compression increases the pressure
of the refrigerant. It also increases its energy, because the force applied by the
piston is transmitted to the molecules of refrigerant.
While in the condenser, the pressure remains constant, but the refrigerant loses
energy as it cools (2 to 3).
The refrigerant is then expanded (3 to 4) to a lower pressure.
In the evaporator, it picks up energy (4 to 1) and the cycle repeats.

Slide 13: Saturation Curve

We can superimpose a saturation curve on this chart to view the relationship among
pressure, enthalpy, and state.
Click each area to learn more.
Sub-cooled:
A substance with pressure and enthalpy plotted in this area is below the saturation point
for that pressure. It exists as a liquid.
Saturated:
A substance with pressure and enthalpy plotted in this area will be part liquid, part gas.
Superheated:
A substance plotted in this area will be a vapor at a temperature above the saturation
point.
Slide 14: Pressure, Enthalpy, and State Relationship

If you superimpose this curve on the process chart plotted earlier, you can see that the
states correspond to what you previously learned.
The cycle starts with the refrigerant as a saturated vapor (1).
Compression increases the pressure and energy of the refrigerant and it

becomes superheated (1 to 2).
While in the condenser, the refrigerant loses energy as it cools (2 to 3) and

condenses to a saturated liquid.
The refrigerant is then expanded (3 to 4) to a lower pressure, and is a saturated

mixture of vapor and liquid.

In the evaporator, it picks up energy and evaporates (4 to 1) and the cycle

repeats.

Slide 15: Two-Stage Cycle

In some applications, where the evaporating temperature is very low, it may be
necessary to incorporate two stages of compression to achieve the required condensing
temperature. The two-stage system incorporates two compressors, while the one-stage
process we saw before has only one. The two-stage cycle also incorporates a flash tank,
which is not found in the single-stage system.
The flash tank operates at an intermediate pressure and contains saturated liquid
refrigerant and saturated vapor refrigerant. These refrigerants come from both the
condenser and the boost compressor. The flash tank supplies saturated liquid refrigerant
to the evaporator and saturated vapor refrigerant to the high-stage compressor.
Slide 16: Two-Stage Cycle Process

Click the arrows to learn more about the two-stage cycle process.
Slide 1

10
In the two-stage vapor compression cycle, high pressure saturated liquid refrigerant exits
the condenser at location 5.
Slide 2
The liquid refrigerant is then expanded through a float valve and enters the intermediate
pressure flash tank, which is at a lower pressure than the condenser. At the lower
pressure, the liquid will have a different boiling point temperature. Since the liquid is now
at a pressure and temperature where it is boiling some of the liquid will evaporate, which
is also called flashing to vapor. This results in a mixture of saturated liquid and vapor at
an intermediate pressure at location 6.
Slide 3
The float valve controls the level of saturated liquid refrigerant in the flash tank. If the
liquid level in the flash tank drops below a preset threshold, the float valve opens,
allowing refrigerant to flow from the condenser into the flash vessel. As the liquid level
increases, the float valve eventually closes, thus stopping the flow of refrigerant into the
flash vessel.
Slide 4
Vapor from location 2 enters the flash tank through a submerged tube and is cooled by
liquid in the tank. A small portion of liquid evaporates and joins the flash gas from
location 6 and exits at location 3.
Slide 5
There is both saturated liquid and saturated vapor in the flash tank. Saturated vapor
refrigerant at the intermediate pressure exits from the top of the flash tank at location 3.
Slide 6
The saturated liquid refrigerant at the intermediate pressure exits from the bottom of the
flash tank at location 7.

11
The saturated liquid passes through the expansion valve. The flashing phenomenon is
repeated, and some of the liquid refrigerant flashes to vapor.
Slide 7
The result is a mixture of saturated liquid and saturated vapor at low pressure at location
8. The low pressure saturated liquid and vapor refrigerant then passes through the
evaporator, where it absorbs energy from the space being cooled. The remaining liquid
refrigerant vaporizes.
Slide 8
The refrigerant then exits the evaporator as low pressure saturated vapor at location 1.
Slide 9
The refrigerant is superheated in location 2. The superheated refrigerant at intermediate
pressure then enters the flash tank.
The booster compressor receives the low pressure saturated vapor from the evaporator
and compresses it to the intermediate pressure.
Slide 10
The vapor joins with the flash gas from location 6 and exits from the top of the flash tank
at location 3 at the intermediate pressure to enter the high-stage compressor.
Slide 11
The high-stage compressor compresses the refrigerant to high pressure, at which point
the refrigerant is superheated at location 4.
Slide 12
The refrigerant passes through the condenser, gives up heat, and exits as a high
pressure saturated liquid at location 5, thus completing the cycle.

12
Slide 17: Advantages of a Two-Stage Cycle

The two-stage vapor compression cycle has several advantages over the single-stage
cycle.
The flash gas formed at location 6 is sent to the high-stage compressor, rather than to
the evaporator. The flash gas is a hot vapor and will not effectively absorb heat in the
evaporator. Separating out this flash gas increases the overall refrigerant effect, since
the liquid entering the evaporator is more effective.
Since this flash gas bypasses the booster compressor, power consumption is reduced.
The flash tank provides cooling of the vapor which is discharged from the booster
compressor. This can help prevent the breakdown of lubricating oil, which may occur at
high temperatures.

13

The advantages can be seen when we compare the two cycles side-by-side and on the
same diagram.
Removing the flash gas in the two-stage cycle increases the refrigerant effect. The line
from 8 to 1 is longer than the line from 4 [4 prime] to 1. This means a well-designed unit
will provide more cooling capacity for the same power input, and therefore be more
efficient.

The second effect comes from the two stages of compression.
The line from 1 to 2 [2 prime] represents just one stage of compression to increase the
pressure from low to high.
You can see that the enthalpy at location 2 is much greater than that which occurs at
location 4 in the two-stage cycle. This is the effect of the intercooling. Without
intercooling, discharge temperatures can become very high, which can cause the
lubricating oil to deteriorate, especially if ammonia is the refrigerant.

14
Slide 21: Flash Tank as a Sub-cooler

A variation of this approach is to use the flash tank as a sub-cooler rather than an
intercooler. High-pressure liquid from the condenser is passed through a coil submerged
in the liquid in the vessel.

15
Slide 22: Flash Tank as a Sub-cooler: p-h Effects

The p-h diagrams that we have looked at are idealized. The actual performance would
differ due to a variety of effects, such as a pressure drop in the condenser and
evaporator, sub-cooling of liquid leaving the condenser, and superheating of the vapor
entering the compressor.
Slide 23: Cascade Refrigeration Cycle

A cascade refrigeration cycle consists of a series of independent single-stage vapor
compression refrigeration cycles, connected by heat exchangers. The refrigerant in each
circuit does not mix with the others, so different refrigerants can be used in each circuit.
Refrigerants that better match the high and low temperatures and pressures can be
employed.
The circuits are connected by heat exchangers or a cascade condenser that serves
simultaneously as the condenser for the low temperature circuit and the evaporator for
the high-temperature circuit.

16
A disadvantage is that to ensure that the temperature difference in the cascade

condenser causes the correct heat flow, the condensing temperature on the low
temperature side must be higher than the evaporating temperature on the high
temperature side. A penalty in compression power accompanies this needed
temperature difference.
Slide 24: Refrigerant Supply Type

How the refrigerant is metered to the evaporator defines the type of system.
Click each tab to learn more.
Direct expansion systems:

Direct expansion systems use a special device consisting of an orifice through which
the liquid refrigerant from the condenser must pass. The pressure drop causes a fraction
of the liquid to flash to vapor, which reduces the temperature of the mixture. The mixture

17
enters the evaporator, and absorbs heat, which causes it to evaporate. The
responsibility of the expansion device is to regulate the refrigerant flow so that all the
liquid evaporates and the vapor leaving the evaporator is superheated. This diagram
shows a sensor at the evaporator outlet, connected to the expansion valve to allow a
pre-set quantity of superheat to be maintained. Compared to the other methods, this one
is the least expensive. However it is not suitable for low temperature applications.
Flooded system:
Another type of system is called the flooded system. Refrigerant is stored in a surge
drum and is supplied to the evaporator at a rate dependent on the rate of evaporation. A
mixture of liquid and vapor returns to the surge drum. This type of system performs
better in low temperature applications, but it is a complex solution.
Recirculation system:
The third type is the recirculation system. Like the flooded system, only liquid is
supplied to the evaporator, but the liquid is forced into the evaporator with a pump or
with high-pressure vapor from the system. More liquid enters the evaporator than can
vaporize. A receiver is required at the evaporator outlet to separate the vapor from the
liquid before entering the compressor. There are a variety of advantages, including
greater efficiency, but initial capital and ongoing operating costs may be higher. For a
large industrial refrigeration system, the advantages of the liquid recirculation system
generally overcome the disadvantages.
Slide 25: How Air- or Water-Based Cooling

Vapor-compression systems may either achieve cooling directly by blowing air over the
evaporator and condenser components, or use water as an intermediate medium. In the
next section well see variations of the evaporator:
DX systems and

18
Chilled-water systems
And variations of the condenser
Air cooled or
Water cooled, such as with a cooling tower
Slide 26: DX Systems

Air-conditioning systems that cool air directly are called DX, for direct expansion. Direct
expansion refers to the expansion valve controlling the flow of refrigerant to the
evaporator.

19
Here we see a schematic of a system that is entirely air-cooled. The indoor air is cooled
by contact with the coils of the evaporator. Cooled air from a DX system is conducted to
conditioned spaces via air ducts.
Slide 27: Unitary or Packaged Systems

DX systems can be packaged units that contain all the components, located at ground
level or mounted on the roof.
Slide 28: Split Systems

Split systems are DX systems with the evaporator and condenser separated and placed
at different locations. Often, the compressor and condenser are located on the ground
next to the building or may be on the roof. The evaporators and one or more air handlers
are inside the building, usually in a mechanical room. In a unitary system, the evaporator
and condenser are packaged in the same container.

20
The upper practical limit for the total distance between the evaporator and condenser is
about 90 meters or 300 feet, but the only true limit is based on a careful design of the
interconnecting piping.
In practice, off-the-shelf, predesigned split systems are typically restructured to

substantially shorten separation distances.
The upper limit for vertical lift in site-built systems is about 20 meters, just over 60 feet.
Slide 29: Chilled-Water Systems

Instead of a DX system using the evaporator coil to cool the air, a chilled-water
system can be used instead. The equipment used to make chilled water is called a
chiller.
Here we see a schematic of a simple, air cooled DX system. Air blows over the
condenser fins to move heat outside. Air blows over the evaporator coil to move
heat from the conditioned space to the refrigerant.
In a chilled water system the water is cooled by contact with the coils of the
evaporator. That chilled water is conducted to water-filled cooling coils. Air is blown
over those coils by a fan to obtain the cooling effect indirectly. The air gives up its
heat to the chilled water, and the water returns to the chiller to be cooled.
Slide 30: Compressors

Depending on the air-conditioning system capacity, different types of compressors are
used. You can learn more about these types of machines in our classes on compressed
air.

21
Reciprocating, rotary, or scroll compressors:

Reciprocating, rotary, or scroll compressors are used for small capacities. Reciprocating
compressors for air-conditioning applications consume approximately 0.3 kW per kW[r],
or 1 kW per ton.
Screw compressors:
Screw compressors are frequently employed in medium-size units.
Centrifugal compressors:
Centrifugal compressors are used for large units, above 260 kW[r] or 75 tons,
consuming as little as 150 W per kW[r] or 0.52 kW per ton.
Pronunciation notes: 0.3 kW per kW[r] = Zero point three kilowatts per kilowatt of
refrigeration
260 kW[r] = 260 kilowatts of refrigeration
150 W per kW[r] = 150 watts per kilowatts of refrigeration
Slide 31: Compressor Controls

The most effective way to run a compressor is to alternate between full load and off.
However, large compressors can't be turned off and restarted frequently because this
can prematurely cause the motor to fail. As a result large compressors need to have

22
capacity controls, to allow them to operate at reduced capacity during periods of low and
moderate demand.
There are a variety of methods. You can learn more about these control methods in our
classes on compressed air.
Modulating inlet valves also known as throttling, which choke off the flow to
the compressor. This provides good flow and pressure control but poor
efficiency.
In centrifugal compressors, the inlet can be fitted with inlet guide vanes which
pre-rotate the flow in the same direction as the impeller rotation. This is
somewhat more efficient than the case of the using an inlet valve, but it is still
wasteful of energy.
Unloader valves hold open the inlet of one stage of compression, so that no
compression is provided from that stage.
Variable volume ratio uses ports or side-valves to enable some refrigerant to

bypass without being compressed.
Automatic start-stop can be used on small compressors, which turns the motor
off when there is no requirement. Load-unload control is similar, but it keeps the
motor running even when the system is unloaded. This can be used on small
reciprocating and rotary compressors to reduce the stress on the motor of
starting and stopping.
Variable speed is a method which provides variable capacity using speed

control to run the motor faster or slower as required. This is typically the most
energy efficient method of control to meet variable loads.

23
Some controls combine various methods, e.g. dual control combines manual
selection of start-stop with constant speed control, or modified Control which
combines inlet modulation or speed drives with load-unload.
Centrifugal compressors do not work well when they are operated below 70%
capacity. For situations where there are widely varying (swing) loads, a screw
compressor will be more effective, using variable speed or variable volume ratio.
Some of these methods may be combined with a hot-gas bypass function,

which introduces a portion of high pressure, high temperature gas to the
evaporator. This is intended to raise the temperature and pressure in the
evaporator and prevent freezing during low load conditions.
Slide 32: Compressor Controls (Cont.)

Fundamentally, the principles used in producing comfort cooling are the same in both
cases. A window air conditioner using a small reciprocating compressor relies on the
same thermodynamic effects as a multi-stage centrifugal chiller.
Slide 33: Condensers

The condenser may also be either air or water-cooled. An air cooled condenser has fins
and may be fan-assisted to transmit heat to the outside air.
A water cooled condenser has pipes to connect it to components such as cooling towers
to assist cooling. Water cooled equipment is more efficient than air-cooled equipment.
Well see different types of condensers and cooling towers in our next class when we
look at heat exchange equipment.
In the air cooled version, air blows over the fins of the condenser to move heat outside.

24
A water cooled condenser gives up its heat to water in a condenser water loop. The
condenser water is pumped to a cooling tower where it gives up its heat to the
atmosphere. The water returns to the condenser to repeat the cycle.
Air cooled equipment tends to have lower maintenance, and packaged systems, with
better low ambient operation. Water cooled equipment has greater efficiency and tends
to have longer equipment life.
Slide 34: Thermal Lift Adjustments

A refrigeration system works against thermal lift, which is the difference between the
condensing temperature and the evaporating temperature. Reducing the required
thermal lift improves energy efficiency.
This table indicates example supply and return temperatures for condenser and chilledwater loops in a typical refrigeration system.
In this example, for the chilled water loop, water is provided to the building at 6.5C/44F.
It picks up heat from the building and returns to the chiller at 13.0C/56F, in order to
give up its heat to the evaporator.

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Slide 35: Thermal Lift Adjustments (Cont.)

The energy consumed by the chilled water loop is a combination of:
Energy used by the chiller to make cold water.
Energy used by the pump to move the water through the chiller, cooling coils and
bypass pipes.
The cooling effect supplied to the building is a function of:
The chilled water temperature, because the air supplied will be colder if the
chilled water is colder.
And the amount of chilled water provided, because the air will be colder if the
chilled water is passing rapidly through the loop. When there is more water
passing through the loop heat is carried away faster.
The chilled water temperature is normally fixed by the operator and infrequently changed.
The cooling effect is managed in real-time by automatic control of a pump and valve that
varies the amount of water supplied.
In many systems, the pump circulates water constantly through the chiller. If the outside
air is fairly cool and not much cooling is needed, the system may control the valve to
limit the amount of cold water passing through the cooling coils. This helps to avoid
overcooling the air entering the building, but is wasteful since the chiller has made water
at a colder temperature than necessary
The options are in effect:
Make very cold water and pump it relatively slowly through the coil, or
Make water that is not so cold, and pump it faster through the coil.
For energy efficiency, it is usually better to make water that is not so cold and pump it
faster through the coil.

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Slide 36: Thermal Lift Adjustments (Cont.)

Raising the chilled water temperature by 0.5C or 1F can reduce the energy used for
refrigeration by approximately 1.75 percent. This is somewhat offset because the pump
may need to circulate more water through the cooling coils to obtain the required effect
so there will be an optimum balance between cooling energy and pumping energy
where maximum efficiency occurs. Generally speaking, more energy is saved in the
chiller than is lost in the pumps. A chilled-water reset schedule can be established to
adjust the chilled water temperature as the outside air temperature changes during the
season.
The condenser-water loop is another opportunity . In this example, water leaves the
cooling tower and is supplied to the condenser at 29.5C 85F. Once it has picked up
heat from the condenser, it is returned to the cooling tower at 35.0C/95F.
A greater temperature differential can reduce pumping power requirements. Lowering

the condensing temperature by 1% produces approximately 0.875% energy reduction.
Generally speaking, the temperature of the water leaving the cooling tower should have
its setpoint as low as the chiller manufacturer will allow for water entering the condenser.
The actual temperature achieved leaving the cooling tower will depend on the ambient
conditions, specifically the wet bulb temperature.
Slide 37: Receivers

A receiver should be included between the condenser and evaporator.
The receiver is a horizontal tank that allows separation of refrigerant gas and liquid. It
serves as a reservoir for the refrigerant and accommodates changes in inventory in the
refrigerant loop under different operating conditions.
Alternatively, it may be possible to hold refrigerant in the condenser.

27
Its good practice to design the receiver to store the entire refrigerant charge, at 80% full,
allowing 20% for vapor expansion. This allows the receivers to handle a winter shutdown
or a situation when the high side components are removed for repair. This also obviates
the need to vent refrigerant, which is unacceptable because of the expense and harmful
effects on the environment.
Slide 38: Refrigerants

There are a variety of refrigerants which may be used. Some are being phased out as a
result of international treaties that aim to reduce the use of chlorofluorocarbons (CFCs)
in order to protect the ozone layer of atmosphere.
Slide 39: Summary

In todays course, you learned the following:
Thermal energy always flows from hot to cold. You cannot cool a space by adding cold
to it. You can only cool it by taking heat out.
There are five types of refrigeration systems:
Vapor-compression.
Air cycle.
Absorption.
Thermoelectric.
Evaporative cooling.
There are four basic components in a vapor-compression cycle:
Evaporator.
Compressor.
Condenser.

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Expansion device.
Two-stage cycles are more efficient, because they remove flash gas which increases
the refrigerant effect, and use two stages of compression which benefit from intercooling
and develop less heat.
A cascade refrigeration cycle consists of a series of independent single-stage vapor

compression refrigeration cycles, connected by heat exchangers. The refrigerant in each
circuit does not mix with the others, so different refrigerants can be used in each circuit.
Refrigerants that better match the high and low temperatures and pressures can be
employed.
The method of metering refrigerant to the evaporator may be known as:
Direct expansion.
Flooded system.
Recirculating system.
Reciprocating, rotary or scroll compressors are used for small capacities. Screw
compressors are frequently employed in medium size units. Centrifugal compressors
are used for large DX or chiller units and have better efficiency in large applications.
Centrifugal compressors do not work well when they are operated below 70% capacity.
For situations where there are widely varying (swing) loads, a screw compressor will be
more effective, using variable speed or variable volume ratio.
The vapor-compression system in a building may either cool air directly, known as a
DX or direct expansion system after the method of metering the refrigerant, or be used
to cool water as an intermediate medium, known as a chiller.
The condenser may be air cooled or water cooled. Water cooled equipment is more
efficient. Reducing the required thermal lift improves energy efficiency.

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Slide 37
This chart demonstrates the cost versus efficiency of each type of harmonic mitigation
technique. The y-axis indicates the contribution of the cost of mitigation to the cost of the
drive, expressed as a percentage and the number above each of the bars is the
corresponding THDI rating. The cost of the drive without harmonic mitigation is given as
100%. If the cost of mitigation is 50% of the cost of the drive, the y-axis will show 150%.

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Slide 38
For the industrial sector, there are no standard total harmonic distortion limits for variable
speed drives, because it is not possible to know the impact a drive will have on the
complete installation without knowing many other things such as the architecture, the
loads and so on. However, some industry segments are more focused on harmonics
mitigation than others and require compliance with IEEE or IEC standard guidelines.
These standard guidelines address the harmonic distortion at distribution system level.
The most cost effective solution is to study the complete installation, which often leads to
a compromise solution mixing chokes at the level of the drives, separating linear and
non-linear loads in the architecture, and applying a network-wide solution for passive or
active filtering.
However for customers who don't know exactly how their installation may evolve in the
future, a more comfortable solution may be to use "clean drives" with local passive or
active filters. Unfortunately using this approach the cost is quickly doubled.

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Slide 39
So how do we optimize a power drive system? You could improve the combination of the
motor and gears. This would save between 5% and 10%. A much greater opportunity;
however is to consider a variable speed drive. Variable speed control can yield savings
of 20% to 70%!
Slide 40
When we think of saving energy in the area of lighting, we naturally think of the new
generation of energy efficient bulbs. After all, they reduce consumption by around 80%.
If we did the same for motors what we now do for lighting, we would capitalize on the
savings of up to 70% associated with variable speed drive implementation.
Slide 41
Many types of equipment can benefit from proper speed control - from pumps and fans
to compressors and other machines. Due to associated costs, traditional direct-on-line
starting is the most common starting method on the market today. There are many
compelling reasons to consider other starting options, however. These include benefits
such as smooth starting and stopping, minimized inrush currents, and electrical
efficiency. While soft starters avoid the mechanical stress associated with direct-on-line
starting, nothing enables mastery of torque and speed the way variable speed drives do.
Despite all the advantages of variable speed drives, at least 60% of all motors are still
not speed controlled.
Slide 42
For pumping systems, a variable speed drive can save 20% to 50% depending on the
operating cycle and average flow. Applying variable speed drives to ventilation systems
creates 20% to 70% in energy savings! In fact, a variable speed drive generally pays for
itself in 1 to 2.5 years. If dampers are fixed and air or water

32
flow rarely needs to change, it will be difficult to justify investment in a variable speed
drive - A VSDs advantage lies in its ability to operate the motor at a varying rates.
Variable speed drives are non-linear loads and can therefore create harmonic distortion.
Harmonics can overload the rectifier bridge and drive capacitors. As a result filters are
often embedded within the drive or connected externally in order to mitigate the damage
harmonics can cause. The construction, cost, and effectiveness of harmonics mitigating
equipment can vary. Harmonic filtering effectiveness is expressed in terms of THDi
rating.
The savings associated with variable speed drives is as dramatic as upgrading to new
generation lighting. Speed control savings are ready to be realized. Using tools such as
Schneider Electrics Energy Consumption Simulator and ECO2 Energy Calculator can
quantify VSD savings before any investments are made.
Slide 43

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HVAC Source Equipment for Cooling II

Course Transcript
Slide 1: Welcome
Welcome to the course HVAC Source Equipment for Cooling II.
Slide 2: ASHRAE
This course was produced with the support of the American Society of Heating,
Refrigerating, and Air-Conditioning Engineers, or ASHRAE.
Slide 3: How to use this course

Slide 4: Objectives
Summarize the air-cycle and thermoelectric systems
Explain the operation of the absorption refrigerator
Explain the operation of evaporative cooling
Identify various types of heat exchange equipment
Slide 5: HVAC Courses

In the previous class we learned there are five types of refrigeration systems
Vapor-compression
Air cycle
Absorption
Thermoelectric
Evaporative cooling

We have looked at vapor-compression in the last class, so now we will continue to look
at some of the other types, starting with the air cycle.
Components that you may find in your HVAC system can be split into four categories:
Source components to provide primary heating and cooling effects.
Distribution components that transport heating and cooling effects from the
source to the conditioned space.
Delivery components to introduce the heating or cooling effect into conditioned

spaces.
Control components that regulate the operation of equipment and systems for
comfort, process, safety and energy efficiency.
In this series of courses, you will focus on the source components for cooling.
Slide 7: Air-Cycle System

The air-cycle system is different from the vapor-compression system. In this case the
refrigerant is air, and it does not undergo the conversion from vapor to liquid and back
again. In this system, air from the refrigerated space enters a compressor that increases
its pressure and temperature. The air then passes through a heat exchanger, which
cools the high pressure air to a temperature near the outside ambient temperature. Next,
the air moves through an expansion device that reduces the air pressure to that of the
refrigerated space. That expansion also reduces the temperature to a value lower than
that of the refrigerated space. Finally the chilled air is allowed to enter the space where it
mixes with warmer air, reducing its temperature.
This method can be found in aircraft air conditioners.

Slide 8: Absorption Refrigeration

The absorption refrigeration cycle is primarily employed in large capacity applications
where a motive force other than electricity is readily available, such as steam or waste
heat.
This method is similar to the vapor-compression system in several ways. First, a

refrigerant fluid sequentially moves through the components of the system. Second, the
refrigerant moves though a condenser, expansion device and evaporator, similar to the
vapor-compression cycle. The difference lies in how the low pressure, low temperature
refrigerant vapor is changed to a high pressure, high temperature vapor. In the
absorption cycle, the vapor leaving the evaporator is absorbed by a liquid solution in a
vessel called an absorber. The vapor is often ammonia, and the liquid that absorbs the
vapor is often water.

A pump increases the pressure of the liquid solution to the condensing pressure. The
liquid solution then enters another vessel called a generator. Heat is added to the
generator, driving out the refrigerant vapor from the solution. At this point, the refrigerant
enters the condenser where the energy absorbed by the refrigerant is transferred to the
atmosphere. The refrigerant then passes through an expansion device, thus lowering its
temperature and pressure. Finally, the low temperature, low pressure refrigerant enters
the evaporator, thus completing the cycle.
A significant quantity of heat at a moderate temperature is needed to operate the

absorption system along with a relatively small amount of electrical power to operate the
pump. This, when waste heat is available from a source such as a steam boiler, an
absorption system may be employed to provide low-cost refrigeration.
Water and ammonia are commonly paired in these systems, with ammonia serving as
the refrigerant. Lithium bromide may also be used.

Slide 9: Advantages and Disadvantages of Absorption Refrigeration
The advantages of absorption refrigeration are:
Absorption machines may incur lower energy costs, because most air
conditioning load occurs during the summer months, and gas utilities may have
more economical rates during the summer.
Absorption machines do not use any CFCs. They have been promoted as a
green alternative to mechanical refrigeration.
Absorption chillers can be quieter than vapor-compression machines and

produce less vibration.
They require few electric auxiliaries
They can make use of waste heat or heat from renewable sources.
The initial cost of absorption refrigeration is higher than vapor-compression,

unless subsidies or incentives for absorption systems are available. However the
cost of the two approaches are usually within 15% to 20% of each other.
At the point of use, the coefficient of performance of a vapor-compression system

will be substantially more than that of an absorption refrigeration system, CoPs
for absorption systems are typically less than 1.0. The definition of CoP is
covered in our class on HVAC efficiency. The higher the CoP, the more effective
the device is at using energy to transfer heat outside. Therefore absorption
systems are not very efficient however they make sense if they are operated
using waste heat, because the energy source is then effectively free.

Absorption systems reject more heat (generally 9,300 kJ/kW or 31,000 BTU/ton)
as compared to compression systems (4,500 kJ/kW 15,000 BTU/ton or less).
Therefore the cooling towers, condenser water pumps and other auxiliaries are
larger and more expensive.
Slide 10: Thermoelectric Systems

In the 1960s, semiconductor materials were developed that could support commercial
refrigeration. They depend on the Peltier effect, which states that when an electric
current passes through junctions of two dissimilar materials, the flow of charge carriers
will tend to generate heat at one junction and produce a cold surface at the other
junction. Consequently a cold surface is generated where heat may be absorbed.

Slide 11: Evaporative Cooling

Evaporative coolers are sometimes called swamp coolers or desert coolers. They use
the same principle as perspiration. As water evaporates it takes heat from the air in
order to change state. The air is thus cooled.
The use of evaporative coolers has decreased since the 1950, because of an emphasis
on low initial purchase cost over operating or lifecycle cost.
Depending on a buildings operating hours and location, evaporative cooling can often
be applied effectively from both a cost and performance perspective. This is true in
locations such as:
Places where low outdoor wet-bulb temperatures are prevalent, such as southwest United States
Places where the wet-bulb temperatures are below approximately 12 to 16

Celsius, 55 to 60 Fahrenheit, for a substantial number of hours
Buildings that have to be air conditioned at night and where there is a fairly wide
diurnal temperature swing.
Direct evaporative cooling requires 100% outdoor air and exhaust capability. Therefore
the cost of space for equipment, filter capacity, air delivery and so on must be
considered when comparing the overall savings of evaporative cooling against
refrigeration based cooling.
Indirect evaporative cooling broadens the application range into other zones and
occupancies.

Slide 12: Direct Evaporative Cooling

There are two general types of direct evaporative cooling equipment:
Spray type air washers
Wetted media type coolers
Spray-type air washers are versatile. They can use chilled water from a refrigeration
system when the outdoor air wet-bulb temperature is high. They can also provide cooling
without chilled water when the outdoor air is suitable for conventional evaporative
cooling.
The full open spray washer may be 7 or 11 feet long in the direction of airflow. Air
passes though the device through a spray of water. The contact with the water droplets
provides efficient heat exchange.
A short coil washer consists of a convention extended finned coil bank, placed in a
casing with a deep water pan and an opposing spray bank. It requires only 4 ft of length.
When the outdoor air wet-bulb temperature is not conducive to evaporative cooling,
chilled water coils provide cooling. When the outdoor air wet bulb temperature is
sufficiently low, the chilled-water coils are shut off and a spray of water over the
extended surface of the coil fins provides the cooling effect.
The closed circuit chilled water loop requires less chilled water pumping energy than a
full open device. But the short coil washer has a lower spray capacity and lower
adiabatic efficiency, so it requires more hours of active refrigeration operation.
Water reservoirs require constant maintenance to prevent corrosion and buildup of

bacteria and fungi. Without this contaminants can get dispersed into the airstream.

The wetted media cooler is a box with perforated sides containing a water supply and a
blower fan. Each side of the box is lined with a wetted pad of material. The blower fan
draws air into the box through the wetted media. The warm air gives up heat to the water
in the pad, and cool air is provided to the space.
Wetted media coolers use non-refrigerated water. Therefore they are suitable only in
climate zones with very low ambient wet-bulb temperatures all year. In potentially difficult
climates such as Phoenix Arizona, a dual air conditioning system might be used
wetted media for 10 months and compression refrigeration during the two month humid
season. The extremely low operating cost of the wetted-media evaporative cooler often
justifies the higher initial investment for two systems.
The systems described so far are direct evaporative coolers. Water is injected into the
primary airstream to provide the cooling effect. Now lets look at indirect evaporative
coolers.
Slide 13: Indirect Evaporative Cooling

In indirect evaporative coolers, secondary air (outdoor air or exhaust air) is cooled by
evaporation on one side of a heat exchanger. The primary (supply) air is on the other
side of the heat exchanger and is indirectly cooled through the heat exchanger walls. As
a result no moisture is added to the primary air, although it is sensibly cooled.
The leaving dry-bulb temperature of the primary air cannot be lower than the entering
wet-bulb temperature of the secondary air.
An indirect evaporative cooler can be arranged as a precooler, and system exhaust can
be used to enhance the effectiveness of a condenser coil.

Slide 14: Desiccant Systems

Desiccant systems form part of the cooling equipment in order to manage humidity.
Desiccant systems dry air by exposure to water absorbing materials. One example uses
a rotating drum of solid desiccant. Humid air enters and dry air exits on the other side.
Over time, the desiccant becomes unable to absorb any more moisture, and needs to be
regenerated. This is done by heating air and passing it through a portion of the desiccant.
The drum of desiccant continually rotates so that while most of it is actively drying air, a
portion is passing through the hot airstream and being regenerated.

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Slide 15: Prime Movers

Induction electric motors are the predominant prime mover for refrigeration compressors.
A combination of gas turbine-driven or steam turbine-driven centrifugal compression and

absorption refrigeration is sometimes used where natural gas is relatively cheap
(seasonally or throughout the year). This is referred to as a piggyback system and is
used particularly for large buildings.
Steam is generated in a boiler and first sent to a back-pressure turbine
This steam drives a centrifugal chiller
The exhaust from the steam turbine becomes the thermal output to an absorption
chiller
When a gas turbine drivers the compressor, its exhaust gases generate steam
for the absorption unit in a heat recovery boiler,
Generally the steam turbine driven compressor has half the capacity of the absorption
unit.
There is increasing interest in the use of cogeneration systems, which are also known as
combined heat and power systems. These systems produce electricity on site and
provide a consistent source of waste heat that can be used to drive a prime mover.
Considerable energy may be consumed by fans. See our classes on Active Energy with
Speed Control and Fan Systems to learn more about minimizing this consumption. In
particular, variable speed drives are a highly effective solution for fan control and
reduced energy consumption.

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Slide 16: Plate Heat Exchangers

A plate-type heat exchanger consists of a series of gasketed, embossed metal plates
held between two rigid end frames by threaded rods and spanner nuts. The alternating
plates create a heat exchanger with a cold medium on one side of the plate and a warm
medium on the other side. Heat transfer rates are very high due to the large surface area.
This type of heat exchanger may be used in a number of different ways to improve
energy efficiency:
It can be used to cool chilled water directly with cooling tower water in winter or
whenever the temperature of the tower water is less than that of the chilled water
return.
It can be used in place of some types of condenser or evaporator.
Solar thermal collector systems requiring heat exchange between glycol and
water can use this type of heat exchanger.
It can also be used for heat exchange between thermal storage systems (hot or
cold) and circulating hot-water or chilled-water streams.
Lastly, there are often numerous opportunities for heat reclaim between various
flow streams in a typical building. For example it might be used to reclaim heat
from the hot refrigerant gas exiting the compressor. That heat might be usable for
other processes in the building. This application is known as a de-superheater.
Slide 17: Condensers and Evaporators

Condensers and evaporators are components of an air-conditioning system that are
used to transfer heat.
These components may be air cooled or water cooled.

12
Air cooled equipment tends to be smaller, because water-cooled equipment is more

effective in producing a larger refrigeration effect. Air cooled equipment relies on fins to
provide surface area for heat transfer. Fans may be used to increase the airflow over the
fins.
Water cooled equipment tends to be used for larger applications. Water cooled
equipment relies on heat transfer through pipe walls. To increase the surface area, a
shell and tube condenser contains many small pipes passing through an enclosing shell.
Large buildings generally require large-diameter condenser water pipes, which are both
expensive and occupy a large volume of space.
Slide 18: Heat Wheel

Another way to accomplish exhaust air energy recovery is with a heat wheel or energy
recovery ventilator. The exhaust airflow and incoming air flows are arranged side by side
and each flow through half the wheel. The wheel contains a fill which absorbs sensible
or total heat from the exiting airflow.
1. Warm air flows through half the wheel.

2. Cold air flows through the other half.
3. The fill absorbs heat from the exhaust air.
4. As the wheel turns the warmed area moves into the other duct.
5. Cool air flows through the wheel and picks up heat. Thus heat is transferred to
the incoming airflow.
The wheel keeps turning between the two airflows.
In a plate and frame heat exchanger, the warm and cool media are completely
separated. Heat flow occurs over the heat exchange area, which is fixed in place.

13
In a heat wheel, the heat exchange area moves between the two airflows. There is
therefore a risk that contaminants can be transferred between the flows due to air
leaking between the flows or molecules attached to the wheel.
Slide 19: Heat Pipes

Heat pipes are another type of heat exchanger used for waste heat recovery. These are
capillary tubes used for liquids and gases at all temperatures and are often bundled with
air conditioning ducts. In colder climates, they have excellent payback.
Thermal energy applied to the surface at one end, causes fluid near the surface to
evaporateabsorbing the latent heat of vaporisation. At the other end of the pipe,
thermal energy is removedcausing vapour to liquefygiving up latent heat.
A heat pipe can transfer up to 100 times more thermal energy than copper, the bestknown conductor. Additionally, the heat pipe is a thermal energy absorbing and
transferring systemhaving no moving partsand hence requires minimal maintenance.
The heat pipe is made up of three elements:
A sealed container
A capillary wick structure and
Working fluid
The capillary wick structure is fabricated integrally into the inner surface of the container
tube, and sealed under a vacuum. Thermal energy applied to the external surface of the
heat pipe is in equilibrium with its own vapouras the container tube is sealed under
vacuum.

14
Slide 20: Heat Pipes (Cont.)

Thermal energyapplied to the external surface of the heat pipecauses the working
fluid near the surface to evaporate immediately. Vapour thus formed absorbs the latent
heat of vaporization, and this part of the heat pipe becomes an evaporator region. The
vapour then travels to the other end the pipewhere the thermal energy is isolated
causing the vapour to condense into liquid againand in so doinggiving up the latent
heat of the condensation. This part of the heat pipe works as the condenser region. The
condensed liquid then flows back to the evaporated region.
Slide 21: Earth Tubes

Earth tubes are a form of ground-coupled heat exchanger. Below approx 6 metres or 20
feet, underground temperatures in a particular place are the same all year round. The
surface air becomes hotter than the earth in summer, and colder than the earth in winter,
but the belowground temperature stays the same. Earth tube systems use the stable
temperature of the ground or ground water as a heat source or heat sink. In winter, cold
outdoor air passes through buried pipes and is pre-warmed by the earth before entering
the HVAC system. In summer, hot outdoor air passes through the pipes and is precooled.
Depending on latitude, the range of source temperatures is typically from 7C to 24C:

equivalent to 45F to 75F.
Earth tubes do not work so well in very warm climates such as Florida or South East
Asia, where the earth temperature approaches the ambient environmental temperature
desired for human comfort. But in other regions, earth tube systems can be very
effective.
Slide 22: Geothermal Heat Pumps

A geothermal heat pump is another form of ground-coupled heat exchanger. Heating
efficiencies are 50% to 70% higher than other heating systems and cooling efficiencies

15
are 20% to 40% higher than conventional air conditioners. See our class on geothermal
heat pumps to learn more.
Slide 23: Cooling Coils

Cooling coils are used to exchange sensible heat and latent heat between an airflow and
water or refrigerant. They are usually selected to perform within certain limits.
Slide 24: Cooling Towers

A cooling tower is a particular type of big indirect evaporative cooler.
Cooling towers are an integral part of a condenser water system. They reject heat from a
refrigeration condenser to the outdoor air.
Vertical counterflow cooling towers are the type most commonly used in larger building
applications.
Crossflow tower configurations are also available.

16

Natural draft towers rely on natural airflow. The cooling performance and consistency of
operation under various weather conditions can be greatly improved by using a fan to
either drive or draw the air through the cooling tower. Driving the air through is known as
forced draft, and drawing the air through is called induced draft. Adding the fan
increases the speed of the air flowing through the tower and smaller water drops may
become entrained in the air stream. These drops, if allowed to escape would be wasted
water and could cause wetting of nearby buildings or vehicles. Therefore an array of
sheets, called drift eliminators is included to catch the drops and return the water to the
spray area.
In the open cooling tower, the condenser water is exposed, or open to the air, and it will
collect dirt from the atmosphere. Strainers will remove the larger particles but some
contamination is inevitable. This can result in continuous scaling and corrosion, which
leads to pressure drops and high fouling factors that will increase with time.
Contamination can be avoided by using a closed cooling tower. Here the fluid to be
cooled is contained in a coil of pipe in place of the fill. This figure shows water in the
closed coil. Alternatively, refrigerant can be passed through the coil and then the
refrigerant pipe loop in the tower is the refrigerant circuit condenser.

In a typical cooling tower at full load, the closed circuit fluid, water or refrigerant, can be
cooled 16-20C or 30-35F cooler than with an air-cooled coil. This substantially
increases the performance of the refrigeration system.

17
There are a number of factors to remember when installing a cooling tower:
The tower should be sized to avoid windage drift or tower carryover. The drifting
moisture might fall on adjacent buildings or parked cars, damaging the surfaces.
Water treatment and makeup systems should be provided to replace the water
that evaporates. Water meters that permit deduction of makeup water from
sanitary sewer charges based upon tower water consumption should be included.
The tower should be winterized to allow for ready availability for freeze protection
in the event of a sudden change in weather.
The water that is evaporated leaves behind any dissolved chemicals and
contaminants. Since the water is warm and full of nutrients it is an ideal site for
bacterial growth, Legionella in particular. It is thus critical that the tower is
regularly cleaned of dirt buildup and treated to prevent biological growth.
Problems with contamination have caused some countries to define strict codes
for the use of cooling towers.
Cooling towers should be placed away from outdoor air intakes. This prevents
excessive entering air wet-bulb temperatures and potential bacterial
contamination of intake air, such as Legionella contamination.
Cooling towers should not be placed near the building faade. This prevents
staining and entry of noise into occupied spaces.
Roof mounted cooling towers should be located away from the property
boundary to reduce the impact of fan noise.

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Slide 28: Evaporative Condensers

Evaporative condensers are used to reject heat to the outdoor air by means of the
evaporation of water. Water is sprayed on the condenser coils and the resultant heat of
vaporizations, combined with any sensible heat effect, cools the fluid inside the coils.
The residual spray water is usually recirculated.
An evaporative condenser uses much less makeup water than a cooling tower in a
conventional water-cooled condenser environment.
Evaporative condensers are used primarily as refrigeration system condensers. In such

applications they should be located as close a possible to the refrigeration machinery, to
keep the refrigerant lines short. In the winter, the water can often be shut off, with the dry
coil providing adequate heat rejection.
Evaporative condensers are also used to cool recirculating water in closed-loop watersource heat pump systems.
There are two types of evaporative condenser: blow-through and draw-through

configurations. They can use city water, well water or river makeup water. City water is
pressurized and so a pump is usually not needed. For well or river water a pump may be
required.
Evaporative condensers have little storage capacity so a receiver will be needed

downstream to hold the refrigerant until required by the system.
Slide 29: Summary

Let's summarize what we learned in this class. An air-cycle system uses air instead
of refrigerant. The air is compressed and cooled in a heat exchanger, before

19
expanding back to ambient pressure. It does not undergo the conversion from vapor
to liquid and back again.
The absorption refrigeration cycle is primarily employed in large capacity applications

where a motive force other than electricity is readily available, such as steam or
waste heat. Heat and a special liquid solution is used to drive refrigerant vapor into
the condenser, in order to achieve cooling.
Absorption systems may have lower energy costs if they use summer gas or waste
heat. They do not use CFCs that can be damaging to the environment. But their
initial cost is typically higher, they have a low coefficient of performance, and require
larger cooling towers and other auxiliary equipment to deal with waste heat.
Thermoelectric systems rely on semiconductor materials to generate a cooling effect.
Evaporative cooling can be cost effective in locations with appropriate humidity and
temperature. The cooling medium is water.
Energy for providing cooling effects primarily is used to drive induction electric
motors to power the compressor. A piggyback system may combine gas or steam
compression with an absorption chiller.
Heat transfer equipment is a critical component of the system.
Examples include shell and tube heat exchangers, plate heat exchangers, cooling
coils, heat wheels, heat pipes and earth tubes.
Cooling towers can provide an increased refrigerant effect, but must be correctly
maintained to eliminate bacterial growth.
Evaporative condensers may be an alternative to a cooling tower.

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Slide 30: Thank You


21
HVAC Systems I: Introduction to HVAC Systems

Slide 1: HVAC Systems I
Welcome to the course HVAC Systems I: Introduction to HVAC Systems.
Slide 2: ASHRAE
This course was produced with the support of the American Society of Heating, Refrigerating, and
Air-Conditioning Engineers, or ASHRAE.
Slide 3: How to Use This Course

For the best viewing results, we recommend you maximize your browser window now. The
screen controls allow you to navigate through the e-learning experience. Using your browser
controls may disrupt the play of the normal course.
Click each button to learn more about the course navigation, or if you are already familiar with this
interface, you may click the Next button (at the bottom of the screen) to advance to the next
screen.
Slide 4: Objectives
This course is the first in a series of three courses: HVAC Systems I through III.
At the completion of this course, you will be able to list the seven HVAC processes, list the main
types of components in an HVAC system, identify the three main types of HVAC systems,
describe the difference between central and unitary systems, identify the advantages and
disadvantages of all-air systems, list the three main types of duct configuration in all-air systems,
and describe a simple single-duct, single-zone HVAC system.
In the courses that follow, you will look at the impact of various temperature control strategies and
designs in all-air systems, and look at alternatives incorporating water as the thermal medium.
Heating, ventilation, and air conditioning are critical for maintaining a comfortable, productive
environment. In residences and schools; retail stores, malls, and offices; and hospitals and
factories, people and equipment need to be not too warm and not too cold, not too dry and not
too humid, and perhaps most importantly, free from contaminants. Owners wish for all of this to
happen with the best combination of initial and lifecycle cost.
Slide 6: HVAC Processes
The scope of HVAC includes seven processes.
Click each tab to find out more.
Heating: Heating is the process of adding thermal energy to the conditioned space for the
purpose of raising or maintaining the temperature of the space.
Cooling: Cooling is the process of removing thermal energy from the conditioned space for the
purpose of lowering or maintaining the temperature of the space.
Humidifying: Humidifying is the process of adding water vapor to the air in the conditioned space
for the purposes of raising or maintaining the moisture content of the air.
Dehumidifying: Dehumidifying is the process of removing water vapor from the air in the
conditioned space for the purposes of lowering or maintaining the moisture content of the air.
Cleaning: Cleaning is the process of removing particulates (such as dust) and biological
contaminants (such as insects or pollen) from the air delivered to the conditioned space for the
purpose of improving or maintaining air quality.
Ventilating: Ventilating is the process of exchanging air between the outdoors and the
conditioned space for the purpose of diluting the gaseous contaminants in the air, and improving
or maintaining the air quality, composition, and freshness.
Air movement: Air movement is the process of circulating and mixing air through conditioned
spaces in the building for the purposes of achieving the proper ventilation and facilitating the
thermal energy transfer.
Slide 7: Climate and Time of Year
The requirements and importance of each of the seven HVAC processes varies depending on the
climate and time of year. Dry desert climates may not need any dehumidification. Hot climates
may not require any heating.
The term air conditioning is sometimes used in a narrow sense to mean cooling, perhaps with
some dehumidification, filtering, and ventilation. Note that if heating is required during the year, it
is still part of the total air conditioning system for the space, even if it is a completely separate
subsystem with no shared components.
Slide 8: Components Within the HVAC System

The permutations of components and configurations to constitute an HVAC system are virtually
endless. In this course, you will look at the main types of HVAC systems that you are likely to find.
You will examine how they work, including their advantages and disadvantages in terms of
energy efficiency.
Slide 9: HVAC Components: Four Categories
Components that you may find in your HVAC system can be split into four categories.
Source components:
Source components provide primary heating and cooling effects. Such as:
Furnaces for making hot air.
Direct expansion coils for making cold air.
Boilers for making hot water or steam. The hot water or steam is distributed within the facility to
heat the air.
Chillers for making cold water. The cold water may be distributed within the facility to provide
cooling for air, or may be used to cool air at a central entry point, which is then distributed within
the space.
And, cooling towers to help reject heat from the facility to the outdoors.
Distribution components:
Distribution components transport heating and cooling effects from the source to the conditioned
space. Such as:
Pumps, pipes, coils, and valves for distributing cold water, hot water, or steam.
Fans, ducts, and dampers for distributing cool or warm air.
Delivery components:
Delivery components introduce the heating or cooling effect into conditioned spaces. These
components include the following:
Diffusers.
Baseboard radiators.
Fan-coil units.
And, a range of other terminal devices
Control components:
Control components regulate the operation of equipment and systems for comfort, process,
safety, and energy efficiency. These include:
Input devices such as sensors and pushbuttons.
Controllers.
And, controlled devices, such as actuators connected to valves or dampers.
Some controls may be manual, while others could be automatic. They may be tied together into a
building management system to optimize comfort, energy, and facility management labor.
Slide 10: HVAC Systems: Three Categories
There are three categories of HVAC systems that you will look at. They are classified by the types
of mediums they use for distributing heating and cooling effects. These three systems include allair systems, air-and-water systems, and all-water systems.
Slide 11: Central vs. Unitary Systems
HVAC systems and their related source components can be organized either as central systems,
which are systems with a collection of plants that provide service to a widespread area, or unitary
systems, which are local systems with packaged equipment that serve a particular area.
Central systems:
In "central systems," the major source components tend to be centralized in a machine room, and
provide support for an entire building or campus. Distribution, delivery, and control components
are dispersed throughout the building space.
Unitary systems:
In "unitary systems" or "local systems," components may be packaged together into a single
enclosure, such as air handling units that package multiple components including the air inlet,
filter, heating and cooling coils, humidifier, and fans. That local system would service a particular
space.
Slide 12: Comparing Central and Unitary Systems

In summary, HVAC systems may be organized as local systems, with packaged equipment that
serves a particular area. Or they may be organized as central systems with a collection of plants
that provide service to a widespread area.
A general advantage of a central system is that major equipment is centrally located in dedicated
service spaces. Maintenance can take place in unoccupied areas.
Another plus is that noisy equipment is located in an area that can be acoustically isolated.
Thirdly, piping to remove condensation that may form in systems that rely on water and HVAC
power wiring are not required in occupied areas. By comparison, unitary or local systems and fancoil systems that combine air and water require in-room condensate drain piping and HVAC
power wiring.
Slide 13: Interaction of Components
In this course, you will focus on overviews of how components work together in the HVAC system.
You can learn more detail about how each component functions and the energy-efficiency related
issues in Energy University courses dedicated to those components.
To achieve an understanding of these systems, it will be useful for you to understand terms which
you can learn in related Energy University courses.
For example, the course HVAC and Characteristics of Air deals with topics such as sensible and
latent heat, enthalpy, and relative humidity.
And the course HVAC Thermodynamic States deals with basic pressure, volume, and
temperature relationships.
If you prefer, you can continue with this course without taking the others, but some of the insights
presented may not be as easy to understand.
To continue in this course, you will start now by looking at all-air systems.
Slide 14: All-Air Systems
All-air systems provide sensible and latent cooling solely through cold supply air delivered to the
conditioned space. These systems do not provide supplemental cooling by refrigeration sources
within the zones or supply chilled water to the zones. Heating may be achieved by the same
supply airstream, with the heat source located in the central system equipment, or in a terminal
device serving a zone. Youll see more about terminal devices later in this series.
Slide 15: Advantages and Disadvantages of All-Air Systems
There are advantages and disadvantages of all-air systems.

Some advantages of all-air systems include the following:
They are well-suited to economical use and heat recovery.
They can support winter humidification and large-volume outdoor air requirements.
They are the best choice for close control of zone temperature and humidity.
They are a good choice where indoor air quality is a key concern.
They are suitable for smoke-control systems.
They are capable of simple seasonal changeover.
They are capable of simultaneous heating and cooling in different zones.
There are disadvantages as well:

A lot of energy is spent on moving air instead of heating or coolingabout 40% of the energy
use is consumed by fans.
Ductwork space requirements may add to building height.
Air balancing may be difficult. Air balancing is the process of ensuring adequate distribution of
air to all parts of the space.
Providing comfort in locations with low outdoor temperatures and typical building envelope
performance is difficult when warm air is used for perimeter heating.
Close coordination between mechanical designers, architectural designers, and structural
designers is required to provide ready maintenance accessibility to terminal devices.
Slide 16: Duct Configurations
There are many different ways of configuring an all-air system. Some examples include singleduct systems, dual-duct systems, and multizone systems. You will look at single-duct systems
first.
Slide 17: Zoning
Before you look at the all-air system configurations, ensure you know what zones are.
Zones may be defined within a building to identify spaces expected to have similar thermal loads.
In single-duct and dual-duct systems, there may be a single zone, or there may be several. If
there is more than one zone, a terminal unit will be used to fine-tune the temperature control for
that space. You will learn more about this later.
Slide 18: Single-Duct Single-Zone Systems

Examine how one of the simpler configurations works. The example on this page is a single-duct,
single-zone, all-air system. These systems are typically served by packaged air conditioning units
with multiple components included in a single enclosure, often called air handling units.
Note that there are many variations on this approach. For example, in Nordic countries, most air
handling systems do not use return air. Instead, a heat recovery system is used to recover heat
from exhaust air and uses it to preheat outside air.
Navigate through this guided diagram with the arrows in the upper right.
Outside Air
Outside air enters the system (1) usually through a louver that prevents drawing rain into the
system.
Conditioned Space
The outside air is mixed with air returned from the conditioned space (2), is filtered, and, if
necessary, is preheated so that a humidifier can work effectively.
Cooling Coil
The outside air then passes over a cooling coil. Cooling is usually achieved with a coil containing
cold water or a refrigerant unit. If the air is too warm, it will give up heat to the cooling coil before
entering the space. This cooling coil may be inactive at some times of year.
Optional Preheat Coil
The preheat coil may also be used when the outside air is very cold to warm the air before it
passes over the cooling coil. The cooling coil may still contain water even when the chiller is
inactive, and very cold air could freeze the water in the coil and cause it to rupture. Pre-heating
the air prevents that from happening.
Heating Coil
If heating is incorporated in the system, a heating coil may also be present. The heating coil may
use electrical energy, gas, water, or steam. A temperature sensor provides input to the control
system for control of the heating and cooling coils.
Supply Fan
A supply fan moves the air into room (3).
Return Fan
A return vents air from the space (4). Optionally, a return fan may assist air to leave the space for
ventilation purposes. Return air from washrooms and other specific places like kitchens or certain
types of industrial spaces will be exhausted directly to the outside.
Mixed Air
Some of the remaining return air (5) may be mixed with outside air (6) and fed back into the
space. This is economical, since the return air has already been conditioned and may require less
energy to treat than outside air.
Slide 19: Pressure Balancing Outdoor Air

Recall that the previous page discussed four types of air in the single-duct, single-zone all-air
system.
A certain amount of outside air must be brought in for ventilation to dilute gaseous
contaminants, such as carbon dioxide.
Supply air is air that has been treated and is provided to the conditioned space.
Return air is removed from the space and may be mixed with outdoor air and recirculated
to the space.
And, relief air or exhaust air is vented to the outside.
Because outdoor air is brought in, there must be an equal quantity of total exhaust air to keep the
total amount of the air in the building constant. The relief air plus the washroom exhaust and
other exhaust air must be approximately equal to outside air that is brought in.
Slide 20: Pressure Balancing Exhaust Air
The reverse also applies. An exhaust system which is taking air out of the space should be
complemented with a make-up air system. If air is exhausted without adequate make-up air to
replace it, the pressure inside the building will become lower than the pressure outside. This
negative pressure can make it difficult and even unsafe when opening doors to the building. It
also encourages infiltration of air from the outside directly into the building space through any
cracks or gaps in the building envelope. This infiltration of unconditioned air can create drafts as
well as chilly or hot spots.
Hence in many countries, it is desirable to maintain a slightly positive pressure within the building.
There are exceptionsfor example, in Nordic countries most buildings are designed to have a
low negative pressure. This prevents indoor humidity from being driven into outer walls and
condensing, which can lead to mold growth.
Slide 21: Dampers

A damper is a controllable louver used to control airflow. It is important for these dampers to be
well designed for good mixing.
It is common to link the outside air damper, the return-air damper, and relief-air damper and use a
single device called an actuator to move them in unison. When the system is off, the outside and
relief dampers are fully closed and the return damper is fully open. As the system is brought
online, the outside and relief dampers open as the return closes.
Slide 22: Relief Air Fans

The use of relief air fans instead of return air fans is gaining acceptance. Relief air fans
accomplish pressure relief with less energy use, because they handle smaller volumes of exhaust
air, instead of all the return air. There are some complications associated with their use, which
are the domain of the HVAC professional.
Slide 23: Unitary Systems
A unitary system is a packaged unit that contains all of the components in one casing, except for
ductwork and water piping if it is necessary. Typically, these incorporate the refrigeration unit and
do not connect to a chiller.
Slide 24: Contents of a Unitary System
Examine the image to see the items that are contained in a single-packaged unit.
The contents include a refrigeration compressor, which may be air or water cooled; a condenser,
expansion valve, and evaporator; refrigerator piping; a fan or blower and a motor; a filter; controls;
and in many cases, a heating coil that is run on electricity or gas.
Unitary systems may be located on the ground next to a building or on the roof. Multiple units
may be used for large buildings. Air ducts penetrate the roof or walls to bring air into the space.
If gas or electricity is used to provide the heating and cooling power, those connections will be
required for the unit. In the case of cooling, the unit would then contain a refrigerant unit
comprising a compressor, condenser, expansion valve, and evaporator. You can learn about
what each of these parts does and how this unit works in the course on source cooling equipment.
If hot water or steam is used for heating, the unit will be connected by pipes to the boiler.
If cold water is used to provide cooling via a coil, the unit will be connected by pipes to a chiller
and will not contain a compressor, condenser, expansion valve, and evaporator.
Slide 25: Split Systems

In a split system, the compressor and condenser are located on the ground next to the building or
may be on the roof. The evaporators and one or more air handlers are inside the building, usually
in a mechanical room. In this case, refrigerant piping is required to penetrate through the building
envelope. This may be smaller than the ductwork needed for a unitary system. Those systems
tend to be used in smaller buildings.
Slide 26: Packaged Systems

You should know both the advantages and disadvantages of packaged units.
Advantages:
The advantages of packaged units include:
Relatively low initial cost.
Ease of installation.
No machinery room, which brings more cost savings.
No loss of rentable floor space.
Prepackaged units with guaranteed performance simplify the system designcontractors can
order from a catalog.
Small tenants can own and operate their own units.
Managing several small units independently may be more energy efficient than a large central
unit that has to run even when only a small part of the space needs cooling.
Disadvantages:
If there is no air-return or relief fan, then the building code requirements for exhaust air in the
event of a fire may not be met.
Choosing the right unit size will be critical for energy efficiency. Oversizing a unit is not
desirable.
Packaged equipment may employ step controls, which only have a few possible settings, and
can limit the quality of temperature and humidity control.
Air intakes should be far from air exhausts and plumbing vents, which may not be possible if
the unit is mounted on a small roof.
Access walkways are required to prevent damage and water leaks caused by walking on the
roof.
Water coils in the units must be protected from freezing.
Direct expansion (DX) refrigeration equipment cycles off and on when it is partially loaded,
which can cause swings in space humidity without proper control. The DX cooling coil retains
water removed from the air; when the refrigeration is off, the moisture is re-entrained into the
warm airstream passing over the cooling coil.
Slide 27: Summary
That concludes the course HVAC Systems I: Introduction to HVAC Systems. Take a moment to
review what you have learned.
The seven HVAC processes include heating, cooling, humidifying, dehumidifying, cleaning,
ventilating, and air movement.
The components of an HVAC systems include source equipment such as chillers or boilers,
distribution components such as ducts and pipes, delivery components such as radiators and
other terminal devices, and control components such as sensors and actuators.
Recall that most HVAC systems are based on all-air, all-water, or a combination of both.
Additionally, systems may be central systems, unitary systems, or packaged systems. Systems
can be split with some components inside and some outside a building.
Finally, all-air systems may be single-duct, dual-duct, or multizone.

HVAC Systems II: All-Air Systems and Temperature Control

Slide 1: HVAC Systems II
Welcome to the course HVAC Systems II: All-Air Systems and Temperature Control.
Slide 2: ASHRAE
interface, you may click the Next button to advance to the next screen.
Slide 4: Objectives
This course is the second in a series of three courses: HVAC Systems I-III. In the first course, you
learned the processes included in HVAC and examined a simple type of all-air system.
At the completion of this course, you will be able to explain the impact of constant volume,
variable air volume (VAV), and reheat on the energy efficiency of all-air systems; describe
methods for implementing zones in single-duct systems; explain the purpose of independent
perimeter systems; describe an economizer cycle and its benefits; describe a simple dual-duct
all-air system and its impact on energy efficiency; and describe a simple multizone all-air system
and its impact on energy efficiency.
In the following courses, you will look at some other configurations for all-air systems and look at
alternatives for incorporating water as the thermal medium.
Heating, ventilation, and air conditioning systems are essential to maintain a comfortable and
productive environment. One of the primary determinants of comfort in an environment is the
temperature. Therefore, effective energy-efficient temperature control is a high priority in HVAC
systems.
Slide 6: Temperature Control
In the previous course, you began looking at all-air systems. In all-air systems, temperature
control is provided by varying either the quantity or the temperature of the supplied air through the
use of constant flow volume, variable air volume, reheat, face and bypass dampers, or a
combination of these.
Click each tab to learn more about these temperature control methods.
Constant Flow Volume:
In the constant flow volume method, the same volume of air is continually supplied, but at higher
or lower temperatures. Flow control of the heating or cooling source medium is used to vary the
air temperature, for example by supplying more or less refrigerant, or chilled or hot water.
VAV:
In the VAV method, the temperature of the supplied air is kept constant, but the amount of air is
increased or decreased in order to manage the temperature in the zone.
Reheat:
In the reheat method, the air is cooled to remove humidity, and then reheated according to the
sensible heat load required in the building. Using this method is restricted by some building codes
because of its poor energy efficiency.
Face and Bypass Dampers:
In the face and bypass dampers method, part of the airflow is cooled to remove humidity, and
then blended with bypassed air to match sensible load.
Slide 7: Constant Volume
Take a look at the constant volume approach. In the single-duct, single-zone system you looked
at in the first course in this series, temperature control could be achieved by changing the supply
air temperature. In this case, the supply fan will run constantly, always supplying the same
volume of air to the space.
When the space needs more cooling, more cold water will be sent to the cooling coil. Because
more water is moving through the coil, it will pick up heat from the airstream more quickly and the
air will be colder. Notice that more cold water is being sent to remove the heat, not colder water,
which still results in colder air.
When the space needs more heating, more hot water, or steam will be sent to the heating coil.
Constant volume systems tend to have poor energy efficiency because fans run continuously.
Slide 8: Single-Duct, Zoned Reheat, Constant Volume

The approach you saw in HVAC Systems I for a single-duct, single zone system is not very
flexible.
The reheat system is a modification that permits the space to be divided into different zones.
Zone control is achieved by reheating the cool airflow to the temperature required for a particular
zone.
Take a look at the schematic diagram for a typical primary air reheat system. As implied by the
word reheat, heat is applied as a secondary process to centrally cooled air. The heating medium
may be hot water, steam, or electricity.
Slide 9: Terminal Units

Terminal units are added to the distribution system to provide localized control for each zone.
Terminal units in reheat systems are located either under a window or in the overhead ductwork
system.
These units are designed to permit heating of primary air from the supply duct or secondary air
that is induced from the conditioned space. The conditioned air is supplied from a central unit at a
fixed cold air temperature designed to offset the maximum cooling load in any zone supplied by
the air handling unit.
A zone thermostat controls the amount of reheat required for the zone.
Reheat systems, when permitted, are used in a variety of locations, including hospital laboratories,
office buildings, spaces with wide load variations, spaces with high latent loads, and process or
comfort applications where close thermal control of space conditions is required.
Slide 10: Advantages and Disadvantages of Reheat Systems

Reheat systems can provide excellent control over space humidity. However, using them should
generally be avoided, due to their high energy consumption and operating costs.
Lets take a closer look of the advantages and disadvantages of these systems.
The advantages of reheat systems are:
They permit simple zone control for areas with unequal loads.
They provide simultaneous heating or cooling of perimeter areas with different
exposures.
They maintain very close control over space humidity.
Generally, they can accomplish dehumidification independently of sensible cooling,
which other systems cannot.
They offer the designer infinite zoning capabilities during design.
And, they allow zones to be easily revised during construction or occupancy. Changes
require only the addition of a heating coil or terminal unit, and a thermostat.
The disadvantages of reheat systems are:
They have high energy consumption if not properly designed and controlled.
They are generally considered the least efficient approach and many energy codes
severely restrict their use.
They function by adding heat to cooled air to provide zone temperature control. This
basically wastes energy and is therefore uneconomical.
They require heating coils with piping or electrical supply for every zone.
Slide 11: Improving Reheat Energy Efficiency

The economic problems of reheat systems can be reduced by certain methods.
Vary Supply Air Volume:
Varying supply air volume using a VAV approach is something you will look at in more detail
shortly. A constant volume system results in maximum reheat energy usage. Allowing the airflow
volume to decrease as the space load decreases will eliminate reheat until a minimum airflow is
reached. The minimum airflow is generally limited by the number of occupants, who will require a
certain amount of fresh air to maintain indoor air quality, or by humidity control. This approach
results in a VAV reheat system.
Reset Supply Air Temperature:
Resetting the supply air temperature is another approach. If it is cooler outside, or not as sunny,
the system could provide cool air but at a slightly warmer supply temperature. Then reheat is less
likely to be needed in most zones. Discriminating controls can be used to accomplish this
adjustment automatically.
Heat Recovery:
A third approach is using heat recovery; for example, using heat rejected from the refrigeration
cycle of another internal heat source. However, note that the air handler in a reheat system
initially cools air more than necessary to meet building loads. This results in a waste of
refrigeration that is not mitigated by the use of heat recovery.
Slide 12: Variable Air Volume (VAV)
Variable air volume can be used to achieve full heating or cooling flexibility in a much more
energy-efficient way than comparable constant-volume systems. This air distribution method is
generally considered to be the most efficient. It can be combined with reheat, and applied in dualduct systems as well.
In these systems, the supply air temperature is kept constant and the airflow is adjusted. During
cooling season, the space is provided with cool air to counteract the heat loads of the space.
Spaces with greater heat loads are provided with more air.
Slide 13: Single-Duct, Single-Zone VAV

A single duct, single zone VAV all-air system may be a local system where the system is within
the zone and does not require much ductwork. Or it may be a central system where major
components are at a distance from the zone and the air is distributed by a network of ducts.
These systems are often used in:
Small department stores.

Small individual stores in a shopping center.
Individual classrooms in a school.
Computer rooms.
Hospital operating rooms.
And, large open areas such as gymnasiums, atriums, and warehouses.
Slide 14: Methods of Varying Supply Air Volume

A simple VAV system is used in cooling-only applications where simultaneous heating and
cooling in different zones is not required. An example is the interior of an office building with
varying cooling loads and no heat loss.
There are several methods of varying the system supply air volume in response to loads. These
methods include:
Speed control with variable drive.

Dumping excess air.
And, using a fan bypass.
Speed control is preferred because Variable Frequency Drives (VFDs) are reliable, relatively
inexpensive, and the most energy-efficient VAV option. Less energy is used when fan operation
is slowed to match reduced airflow needs. This assumes that there are varying loads that would
result in reduced airflow needs from time to time. This is discussed in more detail in the courses
on fans.
Dumping excess supply air is a method that keeps the fan speed and volume or air supply
constant, but diverts excess air into a return air ceiling plenum or directly into the return air ducts.
A drawback is overcooling under low load conditions due to air leakage through the ceiling and
radiant cooling from the ceiling surface. Another drawback is if supply air is used for system
balancing, there may not be enough air. Lastly, this is not an energy-efficient approach.
Using a fan bypass to reduce the supply air volume is a third approach; but again, this is not
energy efficient.
Slide 15: Advantages and Disadvantages of a Single-Zone VAV System

The advantages of single-zone VAV systems include:
They can closely and effectively maintain temperature and humidity.

They can be shut down when required without affecting other areas.
They are fairly energy efficient.
They are easy to control.
And, they can be adapted to economizer cycles using more or less outside air, according
to what is best for energy efficiency.
The disadvantages of single-zone VAV systems include:
They only provide one zone.

They respond to only one set of space conditions, and as a result, they are only suitable
when:
Variations are approximately uniform throughout the building or area served.
The load is stable, such as an interior room.
Costs are a constraint, such as in a single-family residence.
Slide 16: Single-Duct Zoned VAV

Single-duct zoned VAV systems seek to overcome some of the flexibility disadvantages of a
single-zone system. Zones are served by VAV boxes, which change the volume flow of air into
the zone under the control of a zone temperature sensor. The VAV box is generally more
sophisticated than a simple damper. Air from the main duct is at a relatively high and variable
pressure compared with the outlet to the room. The pressure drop creates noise, especially at low
supply volume. The box has a liner to attenuate the sound. The pressure variations also make the
flow varyindependent of the thermostat demandsif a simple damper is used. Instead, a
pressure independent box is required, containing an airflow sensor that maintains a constant
airflow through the box until it is reset to a new value by the temperature requirements.
Slide 17: Throttling and Reheat
For a single-duct zoned VAV to be efficient, the distribution of airflow is throttled down until the
highest load zone has just enough air at the maximum opening. The other zones throttle down
the airflow as needed to their minimum set flow rate. If this cooling rate is still too much, the
supply air can be reheated by a terminal unit at the point of entering the space, or blended with
unconditioned room return air.
VAV reheat or VAV dual-duct can be applied to both interior and perimeter spaces.
A VAV system with reheat allows for control of both temperature and humidity within a space.
Slide 18: Humidity Control
In a single-duct system:
Without reheat, temperature and humidity control offers sensible cooling flexibility, but
cannot provide humidity control independent of temperature.
With reheat, there is flexibility for both temperature and humidity control by using a
cooling coil to cool supply air to the desired humidity, and a reheat coil to raise the dry-
bulb temperature to the desired value. A VAV system with reheat allows for control of
both temperature and humidity within a space.
Slide 19: Pressure Distribution

Air distribution is very important in VAV systems because supply air volumes are continually
changing. In many countries, one basic design goal is to size supply and return fans along with
the distribution system to maintain a slight positive pressure in the building spaces. Alternatively,
such as in Nordic countries, there may be a goal to maintain a slight negative pressure.
A problem is that the positions of zone control dampers in VAV systems are constantly changing.
Consequently, a single combination of supply fan, return fan, and air distribution system
parameters cannot meet the pressure requirements at all operating conditions.
The best solution is to control the fan pressure via a variable frequency drive. This has the added
advantage of energy conservation. For example, here is an illustration of a typical pressure
distribution. Reducing the capacity will cause a drop in pressure at points A and B. The resulting
pressure can be monitored and the VFD can change the speed to ensure that the deviation from
the desired zone pressure is minimal.
Slide 20: Independent Perimeter Systems

Some VAV systems incorporate an independent perimeter system.
A VAV system serves the interior spaces and handles the building envelope solar gains. This
provides only cooling throughout the year.
A second independent system serves the perimeter non-solar loads. This could be a water-based
heating system that functions only in winter or an electric baseboard radiation system. It could
also be a separate constant-volume air system, using an outdoor or indoor temperature schedule
and constant-volume air supply to offset gains or losses from heat flowing by conduction or
convection at the envelope.
Slide 21: Independent Perimeter Systems

Since the VAV system takes care of the internal zone load variations and all outdoor air
ventilation requirements, the perimeter system does not require zone control (except to make it
more economical) or an outdoor air component.
The electric or water-based heating-only systems would function only in the winter, and are the
preferred envelope isolation system for cold climates.
Coordination between the two systems will be important to ensure overall energy efficiency.
Also, note that envelope isolation systems are not generally required in buildings with energyefficient envelope assemblies, especially high-performance glazing.
Slide 22: Fan-Powered Terminals
Fan-powered terminals provide a minimum or constant airflow to a particular zone, while the
volume of conditioned primary air that is supplied is varied. The airflow is kept constant by
recirculating return air and keeping the sum of the primary air that meets the load and the
recirculated air constant.
Heating elements can be included in the terminal.
They are commonly used in zones with large variations in internal load, such as conference
rooms or occupied spaces during periods of reduced cooling load, in order to ensure good air
circulation.
Slide 23: Air-Side Economizer Cycle
An air-side economizer cycle is used when the total heat content, including both sensible heat
and latent heat from the humidity of the outdoor air, is lower than the return air. Or you might say
simply when it is colder and/or drier outside than inside.
Conventional air conditioning has to bring in some outdoor air in order to ventilate the space and
reduce contaminants. Since the outdoor air may be hot and require energy to be cooled, the
system brings in as little outdoor air as possible. It recirculates indoor air which has already been
cooled once. However, if the outside air is actually cooler or drier than the inside air, this
approach wastes energy. When outside air is cooler or drier, we want to bring it into the building
for free cooling.
The economizer reduces the energy used for cooling by taking in more cool outdoor air than is
required for ventilation, and releasing the excess warm return air to the outdoors. This can save a
lot of energy. When it is hot outside, the minimum amount of warm outdoor air needed for
ventilation is brought in to keep the maximum of conditioned air inside the space and minimize
the amount of conditioning that has to be done.
The economizer requires a large outdoor air intake and relief of exhaust components, which are
not justified if favorable conditions rarely occur.
Slide 24: Advantages and Disadvantages of Zoned VAV Systems

In summary, the advantages of zoned VAV systems include:
They are easy to control and allow good zone control.

They can be highly energy efficient.
They can adapt to an economizer cycle.

They have good flexibility for zone changes.
And, they are suitable for offices, classrooms, and other applications.
All of these advantages make them the system of choice for most commercial and institutional
buildings.
However, there are disadvantages of zoned VAV systems as well, such as:
Humidity control under widely varying latent load can be difficult.

There is a possibility of poor ventilation, which may result in unacceptable indoor air
quality, particularly under low zone loads.
And, control coordination with heating systems can be complex.
Slide 25: Dual-Duct All-Air Systems

Let's move on from the single-duct systems and examine another approach.
Dual-duct systems distribute air from a central air handler to the conditioned spaces through two
parallel ducts. Zone control is achieved by mixing air from the two air streams in a terminal mixing
box.
In multizone systems, which you will look at next, the requirements of the different zones of a
building are achieved by mixing cold air and warm air and using dampers at the central airhandling unit in response to zone thermostats.
Slide 26: Advantages and Disadvantages of Dual-Duct All-Air Systems

The advantages of dual-duct all-air systems include:
They do a good job of controlling temperature and humidity.

They can accommodate a variety of zone loads.
They facilitate adding zones or subdividing existing zones.
And, they can be adapted to constant or variable volume.
The disadvantages of dual-duct all-air systems include:
Energy consumption is relatively high.

Substantial space is required to accommodate two sets of ducts running throughout the
building.
Ductwork not only takes up space, but is extensive and expensive.
A large number of terminal mixing boxes are required, which are expensive and may
require maintenance.
And, these systems hinder the implementation of economizer cycles.
Slide 27: Application

Dual-duct all-air systems were extensively used in office buildings in the 1950s and 1960s.
They can produce good results in moderately humid climates where the outdoor design
conditions do not exceed 25C or 78F wet bulb and 35C or 95F dry bulb, and the minimum
outdoor air is not more than 35 to 40 percent of total air.
These systems are less popular because of their high energy consumption and high initial cost.
The energy consumption can be reduced by applying VAV control to reduce total supply air
during periods of reduced cooling and heating loads.
Slide 28: Using VAV to Reduce Energy Consumption
This illustration shows that VAV controls can be employed in the summer cooling mode. It also
shows reheat in the terminal unit. In a dual-duct system, this would be replaced by hot duct air.
Understand that there are many variations of the dual-duct system, some with two supply fans,
and some with a single supply fan and terminal reheat applied from heat recovery, instead of
heating at the point of entry.
Click the glowing markers to learn more about VAV controls.
In Summer
In summer, cold air supply should be kept just low enough to meet the space cooling and
dehumidification (dew point) requirements. This is usually around 10C to 13C or 50F to 55F
with the air nearly saturated. Warm air temperature is governed by the return air from the
conditioned spaces. The hot duct temperature will always be higher than the average return air
temperature, even if no heat is added by the heating coil. The higher temperature is due to the
heat contributed by outdoor air, fan energy, and recessed lighting fixtures.
In Winter
In winter, cold air temperature is sometimes reset 3C to 6C or 5F to 10F higher for economy
of operation. If internal loads are small, outdoor air may be used for the cold duct supply,
permitting shutdown of the chiller. Maintaining the cold air during the heating season at 13C to
16C or 55F to 60F and raising the warm air temperature as the outdoor temperature decreases
permits better humidity control and better air balancing between the hot and cold ducts. However,
this increases the energy consumption. The warm air temperature can be adjusted based on the
outdoor temperature.
When the cold air temperature is lower than it needs to be in order to satisfy the cooling
requirement of the warmest zone, an energy penalty results. Conversely, when the warm air
temperature is higher than it needs to be in order to satisfy the heating requirement of the
coldest zone, this also imposes an energy penalty.
Slide 29: Multizone Systems
A multizone system is a specific type of HVAC system. It doesnt mean any system arrangement
with more than one zone. These systems have been successfully applied to small- and mediumsize commercial buildings, and to larger buildings with relatively few zones.
You should understand how the requirements of the different zones of a building are met in a
multizone system. Navigate through this guided diagram with the arrows in the upper right.
Mixing Dampers
Cold air and warm air produced at the air handling unit are mixed to provide appropriate supply
air temperatures, using dampers at the air handling unit.
Thermostats
The dampers are controlled by zone thermostats.
Ducts
The mixed conditioned air is distributed to specific zones throughout a building by a system of
multiple single-zone ducts. The distribution system downstream of the air handler is a collection
of zone-dedicated ducts. There will be as many ducts as there are zones, to a typical maximum of
about 12 zones.
Return Air
Return air is usually handled in a conventional manner by combining the return air from all zones.
Slide 30: Advantages/Disadvantages of Multizone Systems
Examine the advantages and disadvantages of multizone systems.
Advantages:
The advantages of multizone systems include the following:
They provide good control over temperature.

Only ducts and diffusers, plus thermostats, are located outside the mechanical room.
They provide easy system control.
Disadvantages:
The disadvantages of multizone systems include the following:
They require many individual ducts, which limits the number of zones.
They can have high energy consumption.

Temperature control of the hot deck is a concern.
Implementing an economizer cycle is difficult.
Slide 31: Variations

Two-fan arrangements for VAV control are not common with multizone systems due to higher first
costs, lack of packaged equipment with such variations, and the ability of the basic system to
provide reasonable humidity control. When VAV approaches are used, they are seldom applied to
an entire distribution system, except for television studios and other noise-critical applications.
Slide 32: Similarity to Dual-Duct
The multizone system is conceptually similar to the dual-duct system in many respects. Multizone
systems using a variety of packaged equipment can provide a small building with some of the
advantages of dual-duct systems at a lower first cost. Most packaged air handling units, however,
lack the sophisticated control for comfort and operating economy that can be built into dual-duct
systems.
Slide 33: Summary

That concludes the course HVAC Systems II: All-Air Systems and Temperature Control. Take a
moment to review what you have learned.
Temperature control may be achieved by constant volume with variable temperature, variable air
volume, reheat, face and bypass dampers, or a combination of methods.
Constant volume systems tend to have poor energy efficiency because of the continual fan
operation.
Reheat functions by adding heat to cooled air to provide zone temperature control. This is
basically wasteful of energy and therefore considered to be the least efficient and most
uneconomical approach.
Variable air volume is more energy efficient, especially when variable speed is used to control
airflow.
Systems may support a single zone or be divided into multiple zones. Single-duct and dual-duct
systems can support multiple zones through terminal units or VAV boxes.
An independent perimeter system may be used to take care of heat loads at the building
envelope.
An economizer cycle can be used in a single-duct system to take advantage of relatively cool and
dry outside air for cooling the building.
Dual-duct systems tend to be inefficient because separate airflows are heated and cooled, and
then mixed at the point of entry to the space.
Multizone systems can also have high energy consumption because they produce both cold and
warm air at the air handling unit, and then mix the air and distribute it to multiple single-zone
ducts.
And finally, compared to constant volume, reheat, dual duct, and multizone systems, variable air
volume is the most efficient approach.

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HVAC Thermodynamic States Transcript
Slide 1: HVAC Thermodynamic States

Welcome to the course HVAC Thermodynamic States.
Slide 2: ASHRAE
This course was produced with the support of the American Society of Heating, Refrigerating, and AirConditioning Engineers, or ASHRAE.
For the best viewing results, we recommend you maximize your browser window now. The screen
controls allow you to navigate through the e-learning experience. Using your browser controls may disrupt
the play of the normal course.
interface, you may click the Next button (at the bottom of the screen) to advance to the next screen.
Slide 4: Objectives
At the completion of this course, you will be able to define common thermodynamic properties, describe
the three thermal states, and plot states and processes on a thermodynamic chart.
All refrigeration systems involve the movement or transport of heat from a cold region to a warm region.
The subject of thermodynamics describes how these heat transports may occur.
Thermodynamics is a branch of physical science that deals with the relationship between heat and other
forms of energy such as mechanical, electrical, or chemical energy and by extension, the relationships
and interconvertibility of all forms of energy. Thermo means heat, and dynamic refers to energy and
change.
In cooling applications, the focus is in managing heat, energy, and change. Therefore, a knowledge of
basic thermodynamics will help you to grasp the processes that are taking place, for example, in an air
conditioner.
Slide 8: Thermal States
The thermodynamic state of a simple fluid is fixed when two properties are specified. Once you know two
properties, all the other thermodynamic properties at that state may be obtained.
Slide 9: Thermodynamic Properties
Refrigerant fluids are used in many cooling systems. These refrigerants cannot be solid because they
must maintain the ability to move through the system. Therefore, the refrigerant is a liquid, a vapor, or a
mixture of liquid and vapor.
A variety of properties are used when describing the state of a fluid. We'll look at a few examples now.
Some of these properties may already be familiar to you.
Pressure
Pressure (p) is the force acting over a unit area. It represents the tendency to burst a vessel or pipe. It is
measured in bars, pascals, kilograms per square centimeter, or pounds per square inch (psi). It may also
be measured in inches or centimeters of water column. You may see gauge pressure, denoted by a g, or
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absolute pressure, denoted by an a.
Absolute pressure is measured from the datum of a vacuum. So, in the vacuum of space, absolute
pressure is zero. At sea level, the atmosphere creates pressure. Absolute atmospheric pressure at sea
level is usually given as about 1 kilogram per square centimeter or 14.7 pounds per square inch. Gauge
pressure is measured from the datum of atmospheric pressure. So if the system is at atmospheric
pressure, gauge pressure will be zero.
Absolute pressure = Atmospheric pressure + Gauge pressure.
Temperature
Temperature (t) is measured by a thermometer and represents the average motion of the molecules
comprising the substance. It is generally measured in degrees Celsius, degrees Fahrenheit, or Kelvin.
Volume
Volume (v) is the geometrical size of the space occupied by the refrigerant. It is measured in cubic
meters, or cubic feet.
Mass
Mass (m) is the quantity of the substance present and is measured in kilograms or pounds.
Combination
Other properties may be formed by combination such as density, which is the quotient of mass divided by
volume.
mass = density
volume
For example, kilos per cubic meter or pounds per cubic foot.
Related to density is the idea of specific volume. It is the reciprocal of the density:
1 = specific volume
density
Specific volume is the volume that a unit mass occupies, e.g. cubic meters per kilo of air, or cubic feet per
pound of water.
Slide 10: Heat and Energy
There are various terms for expressing heat and energy.
Specific Heat
Specific heat is the energy needed to increase the temperature of a unit mass of a substance by one
degree of temperature, such as joules per kilogram per degree Celsius, or British thermal unit (BTU) per
pound per degree Fahrenheit.
or
J
Kg C
BTU
lb F
Sensible Heat
Sensible heat is the energy absorbed to increase the temperature of a substance without changing its
state. When a liquid is heated from a lower to a higher temperature, but is not boiled, it gains sensible
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heat.
Latent Heat
Latent heat is the energy absorbed when a substance changes its state. When a liquid is heated that is
already at a boiling point, so that it changes to a gas, it gains latent heat.
Enthalpy
Enthalpy is the total of sensible and latent heat. It therefore includes energy due to the temperature of the
substance, and energy due to its state, such as energy absorbed when changing to a gas.
Slide 11: Extensive and Intensive Properties
All these properties can be classed into one of two categories:
Extensive properties depend on the total size of the system. They include volume, mass and energy.
Intensive properties don't depend on the total size of the system. They include pressure, temperature,
and density.
A larger system typically has greater volume or mass than a small one. But a small system and a large
one can easily have the same temperature or density.
To specify the thermodynamic state of a simple fluid system, two independent intensive properties must
be known. From two independent intensive properties, all the other thermodynamic properties at that
state may be obtained.
Slide 12: Equilibrium
A liquid and vapor in contact with each other where all the other properties remain constant with time is
said to be in equilibrium. Under this special condition, the mixture of liquid and vapor is saturated.
Slide 13: T-v Diagram
On this and the following pages, you will be given an example to better understand the terms in this
course. This example will be plotted on a chart, with temperature on the Y axis and specific volume on the
X axis. This is called a T-v diagram.
Slide 14: T-v Diagram

The T-v diagram is divided into three regions: the sub-cooled liquid region, the saturated region, and the
superheated region.
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Slide 15: T-v Case Study

When a pan of water boils, energy is being absorbed by the water to change the state from liquid to gas.
This change of state happens at sea level at 100C or 212F. Although the water is absorbing energy, its
temperature remains the same.
On the next few pages, you will see a practical example that shows the transition of a substance from
liquid phase to vapor phase.
Slide 16: Sub-Cooled State
Imagine that there is a vessel that is completely full of 1 kilogram of water at 80C or 176F at
atmospheric pressure. The temperature and specific volume of the water can be plotted on the T-v chart.
At this point, the water is in the sub-cooled region because it is a liquid below its boiling point.
Slide 17: Apply Sensible Heat

Now the water is heated. This applies sensible heat and the temperature will rise.
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Slide 18: Pressure Relief

The water remains liquid as the temperature rises. The pressure relief valve ensures the pressure
remains at atmospheric pressure. The water will expand as it is heated, so to maintain the pressure some
of the liquid will be released from the vessel.
Slide 19: Initial Vaporization

When the water reaches 100C or 212F, it begins to vaporize. The blue dot on the saturated liquid line is
the point at which water vapor begins to form.
Slide 20: Saturated State

In order to maintain the internal pressure, some of the vapor will be released from the vessel. The liquid
level inside the vessel drops and the space above the water is filled with water vapor.
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At this point, the liquid in the vessel is considered saturated liquid and the vapor is considered
saturated vapor. If heating was stopped, the liquid and vapor would remain in contact under equilibrium
conditions. Both are at the same temperature and pressure.
Slide 21: Latent Heat

As the heating of the vessel continues, the temperature of the saturated water remains at 100C or 212F
until the last drop is boiled. Notice the line on the chart is horizontal because the temperature is the same
throughout this process. The water is gaining latent heat to change state.
Slide 22: Final Evaporation

The third dot, where the process intersects with the saturated vapor line, represents the last drop of liquid
being vaporized.
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Slide 23: Superheated Vapor
If the vessel is heated further at constant pressure, the temperature of the vapor will increase, and can be
referred to as superheated vapor. The vapor is now gaining sensible heat as its temperature rises.
The temperature elevation above saturation is called the degree of superheat.
Slide 24: Recap

The boiling water example has illustrated the transition of a substance from its liquid phase, through
saturation, to its vapor phase.
In the example, the pressure was kept constant. If the pressure is allowed to change, then the blue line
would have a different shape. There is a unique relationship between the pressure and temperature. In
other words, for any particular substance, given a saturation temperature or boiling point, there is one
and only one saturation pressure, and vice versa.
Recall that thermodynamic properties include quantities such as temperature, pressure, specific volumes,
and enthalpy, among others.
Remember, a thermodynamic state is specified by two independent thermodynamic properties, such as
temperature and specific volume, as was seen on the chart in the example.
Slide 25: Pressure-Enthalpy Diagram

Common thermodynamic diagrams include the temperature-specific volume diagram, or T-v diagram that
was seen previously, and the pressure-enthalpy or p-h diagram.
If you have a pencil and paper with you, see if you can plot the process that you just looked at on a
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pressure-enthalpy chart. Or try to visualize it in your head. Click the image to see the answer when you
are ready.
Slide 26: Pressure-Enthalpy Diagram

It will look something like this. The pressure relief valve keeps the pressure constant throughout. As the
water is heated, its enthalpy increases with the addition of sensible heat until it reaches the saturated
liquid line. Enthalpy will continue to increase with the addition of latent heat while the water progresses
through the saturated zone until it has all been vaporized. Once it reaches the saturated vapor line, the
water vapor will acquire more sensible heat to continue increasing enthalpy and become superheated.
Slide 27: Summary

Thermodynamic properties include quantities such as temperature, pressure, specific volumes, and
enthalpy and entropy, among others.
A thermodynamic state is specified by two independent thermodynamic properties, such as temperature
and specific volume.
Once you know two properties, all the other thermodynamic properties at that state may be obtained.
A simple fluid may exist in one of three states: sub-cooled, saturated, or superheated.
A thermodynamic process is a sequence of thermodynamic states that can be plotted on a
thermodynamic diagram.
Common thermodynamic diagrams include the T-v diagram and the p-h diagram.
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HVAC Systems III: Air-and-Water and All-Water Systems

Slide 1: HVAC Systems III
Welcome to the course HVAC Systems III: Air-and-Water and All-Water Systems.
Slide 2: ASHRAE

interface, you may click the Next button to advance to the next screen.
Slide 4: Objectives
This course is the third in a series of three courses: HVAC Systems I-III. In earlier courses, you
learned the processes included in HVAC and examined various approaches to all air systems.
Explain the functions of an air-and-water system
Explain the functions of an all-water system
HVAC systems may use different mediums to distribute heating and cooling effects. Some rely
entirely on air, while others may combine air and water, or use water only.
Slide 6: Air-and-Water Systems
Air-and-water systems are used primarily for perimeter building spaces with high sensible loads.
They are also used in buildings where close control of humidity is not a primary concern. These
systems work well in offices, hospitals, schools, and apartments.
Slide 7: How Air-and-Water Systems Work
In a typical air-and-water system, the primary air is often cooled by chilled water produced by a
chiller.
Cooling Coil:
In smaller systems, a direct expansion cooling coil may be used. Primary air is either all outdoor
air, or may be a mixture of outdoor air and a small percentage of air returned from the conditioned
space.
Preheat Coil:
If outdoor temperatures are freezing, a pre-heater may be required at the air handler. Otherwise,
freezing air would pass over the cooling coil and may freeze water inside it, which would cause
pipes to burst.
Slide 8:Terminal Units
Terminal units are located in each room, supplied by a water system connected to a chiller and to
a boiler. Depending on the needs, hot or cold water is supplied to the terminal units.
In a fan-coil terminal unit, air is cooled or heated to a primary temperature and then moved by a
fan through the units, and is heated or cooled to its final temperature as required. A separate
heating coil is sometimes provided for dehumidification. Alternatively, radiant panels may be used
for heating.
Induction terminal units are similar but do not contain a fan. Induction units rely on air pressure
from the primary air system.
Slide 9: Heating, Cooling, and Ventilation

In air-and-water systems, most of the heating or cooling is achieved by the water. The air system
is dealing only with ventilation needs, and therefore, there will be less airflow, and hence reduced
dilution of space contaminants. Its therefore important for the central system filters to be of higher
efficiency than those typically used in all-air systems to compensate for this.
Slide 10: Air-and-Water System Zones

In each zone, there may be a separate terminal unit with its own outdoor air intake.
Alternatively, the ceiling may contain an insulated space in which cooled and dehumidified
outdoor air is circulated. The zone terminal units would then draw some air from the corridor
plenum, mix it with return air from the room, further condition it, and then discharge the
conditioned mixture into the room.
Sometimes if the zone is large, the water terminal unit may be some distance away, and air will
be conveyed to supplemental room supply terminals through ductwork.
Slide 11: Controls

Click the glowing markers to learn more about air-and-water system controls.
Hot outdoor air temperature:
The controls in air-and-water systems are usually arranged so that when cooling is needed, such
as during the summer months, primary air is supplied at less than room temperature, and
chilled water is supplied to the terminal units.
Transitional outdoor air temperature:
In transitional months such as spring and autumn, the primary air is heated to room temperature
and chilled water is still circulated through the terminal units. This allows for compromises at
times when temperature is changeable, and some of the time heating may be required,
sometimes cooling.
Cold outdoor air temperature:
In cold weather, the primary air is switched to cold air and the chilled water is switched to hot
water. This switch from hot to cold water is called the system changeover.
Slide 12: Mechanical Cooling
In all-air systems, there are outdoor temperatures at which mechanical cooling is no longer
needed, usually around 10C to 13C or 50F to 55F. At that point, cooling requirements can be
met by using outdoor air only, which describes an economizer operation. At even lower
temperatures, all-air systems will need heating rather than cooling.
An air-and-water system involves considerably less airflow. This type of system cannot take
advantage of low outdoor air temperatures for cooling. All the cooling has to come from the water
system, and so these systems may require mechanical cooling well below an outdoor
temperature of 10C or 50F.
Slide 13: Heat Gain
Some large buildings have core areas, such as computer rooms, that dont naturally lose heat.
Instead, they may gain heat. These areas may require cooling all year round. Instead of rejecting
heat from these areas to the atmosphere, this heat could be used as a heat source for a system
serving the perimeter of the building.
Slide 14: Piping Configurations
There are a variety of possible piping configurations.
Two-Pipe Systems:
Two-pipe systems use one pipe to supply water, and one pipe to return it. Depending on the
season it will go to the boiler for re-heating or the chiller for re-cooling.
Two-pipe systems are frequently used and the least expensive to install. However, they are not
as good at handling wide variations in loads, changeover is cumbersome, and they have high
operating costs.
Some two pipe systems can be made a bit more flexible if the piping can be divided into zones.
Then, in effect, some parts of the building are connected to the heating while others are
connected to the cooling.
Three-Pipe Systems:
Three-pipe systems have a common return for both hot and cold water, but are rarely installed
because of their wasteful energy performance.
Four-Pipe Systems:
Four-pipe systems have one set of supply and return pipes for cold water and another set of
supply and return pipes for hot water.
This can allow more flexibility.

Efficiency is higher.
Operating costs are lower.
Operation is simpler.
Changeover is not required.
But installation costs are higher.
Considerations:
In any system, standby water pumps and heat exchangers should be considered if loss of heating
would be unacceptable.
Slide 15: Advantages and Disadvantages of Air-and-Water Systems
The advantages of air-and-water systems are:
Water has a higher specific heat and density than air. Therefore, piping has a much
smaller cross-sectional area than ductwork of comparable capacity. Because the main
heating and cooling load is handled by the water part of the system, the overall duct
distribution requirements in an air-and-water system are smaller than an all-air system.
This saves building space.
A return air system can be eliminated if the system is designed so that the primary air
supply is equal to the ventilation requirement or if the primary air supply balances the
exhaust.
The air-handling system is smaller than an all-air system, yet positive ventilation is
ensured.
Numerous zones can be individually controlled and their cooling and heating demands
satisfied independently and simultaneously.
Space heating can be provided by operating only the water side of the system without
the air system, when appropriate, such as unoccupied hours.
And, when all primary air is taken from outdoors, cross-contamination between rooms
can be reasonably controlled.
The disadvantages of air-and-water systems include:
Changeover operation between seasons can be difficult and requires a knowledgeable

staff. Design for intermediate season operation is critical.
Controls are more complex than all-air systems and humidity cannot be as tightly
controlled.
And, induction and fan-coil terminal units require frequent in-space maintenance.
Slide 16: All-Water Systems

Finally, you are going to learn about all-water systems.
All-water systems use water as the medium for providing heating and cooling throughout a
building. A boiler provides hot water or steam for heating, and a chiller provides cold water for
cooling. This is distributed via steam pressure or by pumps via a pipe system to terminal units in
the conditioned space.

All-water systems rely on convection from terminal units to provide heating or cooling. Ventilation
can be combined with those terminal units or managed separately.
Ventilation arrangements may include damper-controlled openings in the building wall, exhaust
fans, and opening windows.
The inherent pitfall is that the level of ventilation is not assured. Exhaust fans require makeup air
to be provided, and damper-controlled openings and windows may not be opened sufficiently.
These openings can interfere with heating and cooling loads, may not be adequately filtered, and
contribute to a noisy environment. If the ventilation supplies preconditioned air from a central
location, then the system becomes an air-water system, rather than an all-water system.
Slide 18: Advantages and Disadvantages of All-Water Systems

Click each tab to learn the advantages and disadvantages of all-water systems.
Advantages:
The major advantages of all-water systems include:
Because water is a more efficient medium than air for heat transfer, less building space
is required for the distribution elements.
They are well suited for retrofit applications because of this distribution efficiency.
They dont require space for an air handler.
They can provide individual room control with little or no cross-contamination of air
between rooms.
They are well suited for solar heating and heat recovery applications because they can
use low-temperature water for heating.
And, they are normally the most efficient.

Disadvantages:
The disadvantages of all-water systems include:
Their maintenance demands can be high.

Maintenance must be performed on terminals in occupied spaces.
Condensate drain pans and drain systems are required at terminals and must be
cleaned periodically.
They do not provide or control ventilation centrally. Acceptable indoor air quality can be a
serious concern.
And, they may produce high relative humidity in spaces during summer.
Slide 19: Summary

Air-and-water systems rely on chilled water for cooling, and on hot water or radiant panels for
heating. The water is supplied to induction or fan-coil units in the zone. Airflow is provided for
ventilation, but not for heating or cooling.
All-water systems use water as the heating and cooling medium, and do not provide any central
support for ventilation.
Industrial Insulation I: Materials and Systems

Slide 1
Welcome to Industrial Insulation I: Materials and Systems. This is the first in a series on the topic of
industrial insulation and will mainly focus on the industrial insulation materials and systems used in the
industry today. Our focus will include illustrative examples of standards based on the USA. Other standards
and supporting organizations may be available for your country, and can generally be found with a simple
internet search.
Slide 2
Slide 3
Discuss design objectives and design considerations for industrial insulation
Identify the various categories of insulation materials, and the different finishes as well as the
various methods to secure industrial insulation, and you will be able to
Refer to the special installation considerations employed when installing industrial insulation
Slide 4
Most engineers, architects, and end users are familiar with the use of insulation to reduce heating and
cooling loads as well as to control noise in building envelopes. However, insulation used for pipes, ducts,
tanks, and equipment may not be as well-known. The installed cost of these materials is usually a small part
of the total cost of a project. As a consequence, mechanical insulation often goes overlooked, undervalued,
or improperly specified and maintained in commercial and industrial construction projects. The purpose of
this course is to review the different types of industrial insulation applications for a given application. Lets
begin with a discussion of why we insulate.
Slide 5
To properly insulate a building, we must first identify the design objectives. In order to do this, we must ask
ourselves why are we insulating? In other words, are we trying to:
Control condensation to avoid unwanted moisture and minimize the potential for mold growth by
keeping surface temperatures above the dew point of surrounding air?
Protect something from fire by protecting critical building elements and slowing the spread of fire in
buildings?
Protect something from freezing by minimizing energy required for heat tracing systems and/or
extending the time to freezing in the event of a system failure?
Protect our personnel by controlling surface temperatures to avoid contact burns (hot or cold)?
Control process by minimizing temperature change in processes where close control is needed?
Reduce noise by reducing/controlling noise in mechanical systems? Or are we trying to
Conserve energy by minimizing unwanted heat loss/gain from systems?
There are three primary reasons to conserve:
Energy: minimizing the use of scarce natural resources
Economics: maximizing return on investment and minimizing the life cycle cost, as well as
Environment: minimizing the emissions associated with energy usage of projects
The answers to these questions will formulate your design objectives, so be sure to give them careful
deliberation. In turn, the design objectives will affect the design considerations, so lets discuss these next.
Slide 6
In addition to the design objectives we just discussed, there are a number of design considerations that may
require attention when designing a mechanical insulation system. These include:
Maintainability
Service Life
Abuse resistance
Corrosion under insulation
Indoor Air Quality
Regulatory considerations
Location
Properly designing an insulation system can be quite complicated. As we just discussed, insulation systems
are meant to satisfy a number of design objectivesand in some projectsmultiple design objectives must
be satisfied simultaneously.
Slide 7
For example, the design objectives may be to protect from freezing and to avoid surface condensation on a
chilled water line for a data center. The chilled water line may pass through various spaces within the
structure.
In view of the fact that various areas may have differing humidity and temperature conditions, it is expected
that various insulation materials, thickness, and coverings may be required for a single line. Given that a
project may involve many lines operating at various service temperatures in various environmental
conditions, it is evident that a systematic approach will be essential for all but the simplest of projects.
Now lets discuss the various materials and systems used in industrial insulation.
Slide 8
The list of available materials and systems change continuously as existing products are adapted and
updated, new products are developed, and other products are phased out. The challenge for the insulation
system designer is to select the products or combination of products that will satisfy the design
requirementsat the lowest total cost over the life of the project. This task is not easy. In most cases, the
designer will find there are a number of products or systems that will work, and the final choice will be
dependent upon cost, availability, or other considerations.
Slide 9 and 10
Lets explore the wide range of diversity among industrial insulation materials, facings, and accessory
products that are available today for use on mechanical systems.
Click on an icon to learn more about:
Categories of insulation materials
Finishes
Securing methods as well as
Special installation considerations
Slide 11
There are five major types of insulation materials used in the industry today. These are:
Cellular
Fibrous
Flake
Granular, and
Reflective
Lets discuss each of these in more depth, beginning with cellular.
Slide 12
Cellular insulations are composed of small individual cells. This type of insulation is often additionally
classified as either:
Open cellmeaning the cells are interconnecting, or
Closed cellmeaning the cells are sealed from each other
Generally, materials that have 90% or greater closed cell content are considered to be closed cell
materials
The base material for cellular insulation may be comprised of plastics, glass, and/or rubber.
Slide 13
Fibrous insulations are composed of small diameter fibers that finely divide the air space. These fibers may
be natural or artificial and they are typicallybut not alwaysheld together by a binder. Conventional
inorganic fibers include glass, rock wool, slag wool, and alumina silica.
Fibrous insulations are classified additionally as either wool or textile-based insulations. An example of a
textile-based insulation would be one that is composed of woven and non-woven fibers and yarns. The
fibers and yarns may be natural or man-made. These materials may also have coatings or composites
applied to them for specific propertiesfor example; weather proofing, resistance to chemical corrosion,
reflectivity, etcetera.
Slide 14
Flake insulations are composed of small particles or flakes which finely divide the air space. These flakes
may or may not be joined together. Examples of flake insulation would be vermiculite, or expanded mica.
Slide 15
Granular insulations are comprised of minute nodules that contain voids or hollow spaces. Sometimes you
will hear these materials referred to as open cell materials. This is due to the fact that gases can be
transferred between the individual spaces. Examples of granular insulation include calcium silicate and
molded perlite.
Slide 16
To reduce radiant heat transfer, reflective insulations and treatments may be added to surfaces of the
insulation materials. A reflective insulation system will typically consist of multiple parallel thin sheetsor
foilspaced to minimize convective heat transfer. Low discharge jackets and facings are often used in
combination with other insulation materials.
You may also come across something called thermal insulating coatings or thermal insulating paint.
These products have been marketed for use on pipes, ducts, and tanks. However, these coatings/paints
have not been extensively tested so additional research is needed to confirm or deny their performance.
Now lets review finishes, or click on the arrow to return to the main menu list for additional options.
Slide 17
Weather, mechanical abuse, water vapor condensation, chemical attack, and fire are all potential sources of
damage. The primary reason for a finish is to protect the insulation from damage. A covering or finish
material is required for most mechanical insulation systems. Various terms have been used to describe their
functionsdepending on the location and applicationand may be referred to as any of the following:
Hygienic coverings
Mechanical abuse coverings
Condensate barriers
Weather barriers, and
Vapor retarders
Additionally, appearance coverings may be employed over the insulation to provide desired cosmetic
improvements. Now lets review securing methods, or click on the arrow to return to the main menu list for
additional options.
Slide 18
Depending on the application, the materials involved, and the environment, mechanical insulation can be
installed in a multitude of ways. The installation method chosen can have a direct impact on the
performance of the insulation system. One concern with all methods is to diminish the existence of thermal
short circuits which can result in a disproportionate heat loss for hot systems and extreme heat gain as well
as possible condensation problems for cold systems.
Frequent sources of thermal short circuits are metallic supports, hangers and fastenersso care should be
used when employing them in any installation. For systems involving large temperature disparity, multiple
layers of insulation allow for the opportunity to stagger jointsthereby minimizing thermal shorts at through
joints.
Slide 19
There are several types of securing methods used in the industry today, depending on the application,
including ones that are suitable for:
Pipe and tubing
Insulating pipe hangers
Tanks, vessels and equipment, as well as
Ducts
Lets discuss each one in more depth, beginning with pipe and tubing.
Slide 20
Insulation for pipe and tubing is currently a topic of interest in the industry. Until recently, there was only one
reason why anyone would go to the troubleand expenseof insulating pipes: to keep them from freezing.
But, as the cost of thermal energy has ballooned, there's been a real business case for conservation
measuresand one of the "newly discovered" ways to save energy and money is to install pipe insulation.
Slide 21
Larger pipes can be insulated with flexible material or with curved, flat segmented or cylindrical half, third, or
quarter sections of rigid insulation. Small pipe and tubing may be insulated with cylindrical half-sections of
rigid insulation or with preformed flexible material. Fittingsvalves, tees, crosses, and elbowsmay use
insulating cements, fabricated fitting insulation, preformed fitting insulation, or individual pieces cut from
sectional straight-pipe insulation. A key point to keep in mind is that fitting insulations should be equal in
thermal performance to the insulation used for the pipe.
Slide 22
The type of insulation, size of pipe, form and weight of insulation, and type of jacketingmeaning field- or
factory-appliedwill affect the securing method. For example, insulation with factory-applied jacketing can
be secured on small piping by utilizing the overlapping jacket, which usually includes an integral sealing
tapecommonly called SSL for Self Sealing Lap.
Conversely, large piping may require supplemental wiring or banding. In the case, where insulation on large
piping requires separate jacketing, it may be wired or banded in place, and then the jacket is cemented,
wired, or banded, depending on the type. Insulation with factory-applied metal, membrane, or PVC jacketing
is secured by specific design of the jacket and its joint closure system.
Slide 23
All piping is held in place by hangers or supports, and this brings us to the next securing method for
insulating pipe hangers.
The thermal performance of an insulation system can be positively or negatively impacted by the selection
and treatment of pipe hangers and supports. Furthermore, the hanger selection can influence the ability to
seal the vapor retarder on cold systems. The insulation contractor must review the specifications and
drawings in order to understand which hangers will be used. Additionally, the insulation contractor must
verify that sufficient physical space is preserved to allow for the required thickness of insulation.
Slide 24
A ring or line size hanger is illustrated here. This type of hanger is typically used on above-ambient lines at
moderate temperature. Additionally, it is not recommended for cold systems, because it provides a thermal
short circuit through the insulation, and the penetration is difficult to seal effectively against water vapor.
Slide 25
Pipe shoes are used for hot piping of large diameter pipesthey are also used in heavy weight piping and
where significant pipe movement is expected. The design allows for pipe movement without damage to the
insulation or the finish. Because of the thermal short circuit and difficulty in vapor sealing, this design is not
recommended for below-ambient applications.
Slide 26
The Manufacturers Standardization Society (MSS) of the Valve and Fittings Industry (a non-profit technical
association organized for development and improvement of industry, national and international codes and
standards for: valves, valve actuators, pipe fittings, valve modification, flanges, pipe hangers, and
associated seals) suggest using an oversizedas opposed to line-sizedclevis hanger. These oversized
clevis hangers are sized to allow clearance for the specified thickness of insulation, and avoid the thermal
short circuit associated with ring and shoe hangers.
Shieldsalso called saddlesspread the load from the pipe, its contents, and the insulation material over
an area sufficient to support the system without significantly compressing the insulation material. The
appropriate saddle length will depend on the weight of the pipe and contents. Additionally, suitable highdensity inserts are often required to prevent the weight from crushing the insulation.
Slide 27
For vertical piping, MSS advises that welded or bolted-on support rings will often be required. Depending on
the service temperature requirements and insulation materials specified; allowances for contraction or
expansion may be required.
Additionally, flanges and valves in piping runs require either removable, reusable fabricated fitting covers or
over sizing in the field.
Slide 28
Heat tracing is often specified where piping must be protected from freezing, or where process piping must
be maintained at a minimum temperature. Tracing may be either electrical cables or tape wrapped around
the pipe, or in some cases; tubing for carrying steam which runs down the length of the pipe. This may
require over sizing the pipe insulation to accommodate the tracing.
Slide 29
Flat, curved, and irregular surfacesfor example; tanks, vessels, boilers, and breechingsare normally
insulated with flexible or semi-rigid sheets or boards or rigid insulation blocks fabricated to fit the specific
application.
As per the ASTM (American Society for Testing and Materials: an international standards organization that
develops and publishes voluntary consensus technical standards for a wide range of materials, products,
systems, and services ) International Standard C450; tank and vessel head segments may be curved or flat
and cut to fit in single piece or segments. Head segments must be cut to eliminate voids at the head section,
however it is important to cut a minimum number of pieces in order to minimize joints.
Prefabricated flat head sections should be installed in the same number of layers and thickness as the
vessel walls, and void areas behind the flat head should be filled with packable insulation. In general, the
curved segments are built to fit the contour of the vessel surface in equal pieces to go around the vessel
with a minimum number of joints. Because no general procedure can apply to all materials and conditions,
manufacturers' specifications and instructions must be followed for specific applications.
Slide 30
Insulations may be secured in various wayscontingent on the contour of the surface to be insulated and
the form of insulation used. Flexible insulations can be adhered to vessels, tanks, and equipment using
pressure-sensitive adhesives, contact adhesive, as well as other systems recommended by their respective
manufacturers. Rigid or semi-rigid insulations on small-diameter, cylindrical vessels can be prefabricated
and adhered or mechanically attached, as appropriate. For larger cylindrical vessels, angle iron insulation
support rings can enhance banding. For horizontal tanks, run a slotted angle iron lengthwise on the cylinder.
Be sure to secure at intervals around the circumference and avoid an excessive length of banding.
Expansion springs are recommended where tanks are subject to major expansion and contraction. Rigid
and semi-rigid insulations can be fastened on large flat and cylindrical surfaces by banding or wiring. This
may be supplemented by fastening with various welded studs with speed washers at frequent intervals.
Slide 31
Adhesive, supplemental pins and clips, wiring or banding may be used to attach flexible duct or exterior rigid
insulation. Flexible duct wraps normally do not require attachment unless the bottom duct panels are more
than 61 centimetres/24 inches wide. However, for larger ducts, place the pins no more than 61
centimetres/24 inches apart. Be sure to contact individual manufacturers of these materials to determine
specific installation requirements. Internal liners are attached with adhesive and pins, in accordance with
industry standards. Now lets review special installation considerations, or click on the arrow to return to the
main menu list for additional options.
Slide 32
Depending on the project, there are a number of special installation considerations you may need to take
into account. These include:
Access for inspection
Adequate space for insulation thickness
Mechanical protection
Startup precautions
Fire resistant assemblies
Lets discuss each one of these in more depth, beginning with access for inspection.
Slide 33
Access for periodic inspection may be required for some critical systems. In these situations, removable
insulation covers or inspection ports are specified, especially at flanges, valves, and fittings where leakage
is most likely to occur.
Slide 34
Many installations will have an issue with adequate space allowances for insulation. This is a design issue
and should be dealt with at the design phase of the project.
Slide 35
While often overlooked, the insulation system design should also address protecting the insulation from
physical abuse. The design team should denote locations where high traffic or activities could damage
insulation and determine whether additional protection; such as metal jacketing, PVC jacketing, and/or
walkwaysare warranted.
Slide 36
Some insulation materials will require specific procedures for the start-up of a project. This could
encompass things like a heat-up schedule for high temperature applications. There may also be
requirements for specific personal protective equipment due to the potential for out-gassing. Out-gassing is
the slow release of a gas that was trapped, frozen, absorbed or adsorbed in some material. Consult the
respective Material Safety Data Sheets for specific precautions.
Slide 37
Some specificationsfor example grease duct insulationswill require fire resistant ratings, usually in the
form of "hourly ratings" for wall, ceiling, or through penetrations. These fire resistant ratings commonly refer
to listed assemblies which have been tested by nationally recognized testing laboratories. Compliance with
the hourly rating will depend on installing per the requirements of the listing. It is also important to
understand that the insulation used in these assemblies is only one of many components in the assembly.
Lets conclude with a brief summary, or click the arrow to return to the main menu list for additional options.
Slide 38
Today we discussed the requirements for properly designing an insulation system as well as the challenges
in ensuring a systematic approach to the design. We reviewed the various design objectives for mechanical
insulation as well as their respective design considerations. We then identified the various categories of
insulation materials and their respective securing methods. Finally, we also talked about the special
installation considerations for the project.
By ensuring the mechanical insulation is not overlooked, undervalued, or improperly specified and
maintained, the full value of the insulation investment will be considered throughout the life of the project.
Please join us for Industrial Insulation II: Design Data Calculations, where well discuss how to evaluate the
value provided by the insulation.
Slide 39
Industrial Insulation II: Design Data Calculations

Slide 1
Welcome to Industrial Insulation II: Design Data Calculations.
Slide 2
This is the second course in a series on the topic of industrial insulation and will mainly center on the design
data calculations used in the industry today. If you have not already done so, please participate in Industrial
Insulation I, prior to continuing with this course.
Our focus will include illustrative examples of standards based on the USA. Other standards and supporting
organizations may be available for your country, and can generally be found with a simple internet search.
This course contains some design data calculations, and you may find it helpful to have a calculator, some
scrap paper and a pencil on hand while viewing.
Slide 3
Slide 4
Calculate the requirements/impact of industrial insulation for
o Heat Flow and Surface Temperature
o Cylindrical Geometry Heat Transfer
o Combination Heat Transfer
o Controlling Surface Temperatures
o Contact or Interface Resistance
o Overall Resistance and Heat Transfer Coefficient, and you will be able to
Employ reference tools to properly perform calculations
Slide 5
Many people commit the costly mistake of overlooking the importance of insulation. Good insulation not only
prevents personal injuries and damage caused by fire, it also substantially contributes to the prevention of
heat loss. This basic technology has a proven economic advantage, and provides a quick paybackin fact,
some estimates by the National Insulation Association have predicted that insulation in U.S. industry alone
saves approximately 200 million barrels of oil every year.
Additionally, industrial insulation provides the following benefits, it:
Controls condensation and corrosion
Controls noise
Reduces the CO emissions and hence effectively reduces global warming
Protects personnel and equipment by limiting surface temperature
Prevents the loss of heat and cold as well as enabling all kind of industries to run their processes under
optimum conditions
Insulation is the simplest energy saving solutionand it works!

Slide 6
While placing the actual insulation onto the mechanicssuch as a pipe, tank or vesselis fairly easy;
determining what type of insulation to use and how muchis not so easy. As we learned in Industrial
Insulation I, insulation is available in nearly any material imaginable, with the most important characteristics
of any insulation material being a low thermal conductivity, low tendency toward absorbing water, and of
course, being cost effective.
Slide 7
The pipes and installations in industrial plants often carry heated materials. These materials need to be kept
at a certain temperature for an optimal production process. To achieve this, the materials are heated in
different phases of the production process. Unless the pipes and installations are properly insulated, heat
loss will occur. Typically, when dealing with insulations, we are concerned with rate of heat flow in linear
heat loss or heat loss per unit length.
The focus of Industrial Insulation II will be on the process of performing calculations in order to determine
the requirements/impact of industrial insulation.
Lets review some simple formulas that show the calculation of heat flow and surface temperatures. As
denoted previously, you may want to have some paper, a pencil and a calculator on hand so you can follow
along. You may also download a copy of the equations used in this course, by clicking the paperclip icon.
Slide 8
A phenomenon known as conduction heat transfer, states that when there exists a temperature gradient
within a body, heat energy will flow from the region of high temperature to the region of low temperature.
Lets take for example, ice in a glass of water. The waters heat will flow to the ice, and the icebeing
colder than the waterwill absorb the heat.
Slide 9
This is further described by Fouriers law which is shown here:
q = kAdT/dx
Where:
q equals the rate of heat flow, in Watts or in Joules per second
A equals the cross sectional area normal to heat flow, in meters squared
k equals the thermal conductivity of the insulation material, in watts per meter Kelvin, and
dT over dx equals the temperature gradient, in Kelvin temperature per meters of insulation material
This simply means that the rate of heat flow in Watts equals the negative thermal conductivity of the
insulation material in Watts per meters times Kelvin, multiplied by the cross sectional area normal to heat
flow in meters squared, times the temperature gradient in degrees Kelvin per meter. This derives the rate of
heat flow in Watts.
Slide 10
The equation is adjusted for certain geometries.
For flat geometry of finite thickness, the equation reduces to this equation:
q = k A (T1T2)/X
Where:
T1 and T2 equals the temperature on either side of the insulating material
X equals the thickness of the insulation, in meters.
Slide 11
Now, lets work on an example to demonstrate how the formula works.
Consider a concrete wall that is 10 meters long, 3 meters tall, and 0.1 meter thick with a thermal conductivity
of 0.42 Watts per meters Kelvin. One side of the wall is maintained at a temperature of 298 degrees Kelvin,
and the other is kept at 293 degrees Kelvin. How much heat transfer takes place? By plugging in our
numbers to our equation, we see that:
k equals 0.42 Watts per meters Kelvin
A equals 10 x 3 which equals 30 meters squared
The first temperature (T1) remains at 298 degrees Kelvin
The second temperature (T2) is 293 degrees Kelvin
X equals the thickness of our insulation, which is 0.1 meters
Our inputs are computed thusly:
q = (0.42) (30) (298-293) / (0.1)

q = 630 Watts
And we see that these parameters result in a rate of heat flow of 630 Watts.
Slide 12
If these conditions are in a continual for 365 days per year, and electricity is used to maintain the
temperature at a cost of 7.5 cents per kWh, what is the cost of the heat loss?
Lets take a look at our equation:
Cost/year = q n H CE
where:
q is the rate of heat flow, in Watts
n is the conversion factor for kilowatts per watt
H equals the hours per year of operation, and
CE equals the cost of electricity
Therefore, if we plug in our numbers, we see that:
q equals 630 Watts
n equals the sum of 1 kilowatt divided by 1000 Watts
H equals 8,760 hours per year, and
CE equals $0.075 per kilowatt hour
Again, were just plugging in our numbers to perform the calculation:
Cost per year = (630)(1/1000)(8,760)(0.075)
And we see that it provides us with a total sum cost per year of $413.91
Slide 13
For cylindrical geometry, the equation is stated as this equation:
q = kA2(T1T2)/(r2ln (r2/r1))
Where:
r2 equals the outer radius, in meters
r1 equals the inner radius, in meters, and
A2 equals the area of outer surface, in meters squared
The term r2 times the natural log of r2 divided by r1 is sometimes called the "equivalent thickness" of the
insulation layer. Equivalent thickness is that thickness of insulation, which, if installed on a flat surface,
would yield a heat flux equal to that at the outer surface of the cylindrical geometry.
Slide 14
Now lets work on an example to demonstrate how the formula works.
There are pipes running through a facility transporting product at 352 degrees Kelvin. Polyethylene
insulation having a thermal conductivity of 0.42 Watts per meter Kelvin is already installed on the pipes but it
needs to be replaced. The outside diameter of the pipe is 0.4 meters with the inside diameter at 0.36 meters
and the length of the pipe is 1 meter. The average surface temperature of the pipe is 324 degrees Kelvin
and the ambient air temperature is 305 degrees Kelvin. How much energy is being lost through the pipe?
Slide 15
Lets take a look at our equation:
q = kA2(T1T2)/(r2in (r2/r1))
Where:
k is the thermal conductivity of the insulation material, in watts per meter Kelvin
A2 is area of the outer surface, in meters squared
r2 is the outer radius, in meters
r1 is the inner radius, in meters
T1 is the surface temperature, in degrees Kelvin and
T2 is the ambient air temperature, in degrees Kelvin
Therefore, if we plug in our numbers, we see that:
k equals 0.42 Watts per meters Kelvin
A2 equals 1.25 meters squared
r2 equals 0.2 meters
r1 equals 0.18 meters
T1 equals 324 degrees Kelvin, and
T2 equals 305 degrees Kelvin
q = (0.42)(1.25)(324-305)
(0.2in (0.2 / 0.18))
q = 473.4 W
These parameters result in a rate of heat flow of 473.4 Watts
Slide 16
Earlier we discussed the phenomenon knows as conduction heat transfer. Now we will look at the
combination of convection which is the flow of heat through fluidliquid or gas, and radiation heat transfer
which is the heat transfer by electromagnetic waves or photons such as the sun or on a stove top.
Heat transfer from surfaces is a combination of convection and radiation. Usually, it is assumed that these
modes are additive, and therefore a combined surface coefficient can be used to estimate the heat flow
to/from a surface as in this equation:
hs = hc + hr
Where:
hs equals the combined surface coefficient, in watts per meter squared Kelvin
hc equals the convection coefficient, in watts per meter squared Kelvin
hr equals the radiation coefficient, in watts per meter squared Kelvin

Assuming the radiant environment is equal to the temperature of the ambient air, the heat loss/gain at a
surface can be calculated as this equation states:
q = hsA(TsurfTamb)
Where:
Heat transfer equals the combined surface coefficient, multiplied by the area, multiplied by the difference of
the surface temperature and the ambient temperature.
In other words, this simply means that the rate of heat flow in Watts equals the combined surface coefficient
in Watts per squared meters times Kelvin, multiplied by the cross sectional area normal to heat flow in
meters squared, times the difference in surface and ambient temperature in degrees Kelvin.
Slide 17
It is important to note that the radiation coefficient is usually estimated as this equation:
hr = (T4surf T4amb) / (TsurfTamb)
Where:
equals emittance of the surfaces
equals the Stephen-Boltzmann constant (=5.6710-8 W/ m2 K4) and
Tx equals Temperature, in Kelvin
This means that the radiation coefficient in Watts per squared meter times Kelvin equals the emittance of
the surface multiplied by the Stephen-Boltzmann constant in Watts per squared meter times Kelvin to the
power of four multiplied by the difference in surface and ambient temperatures to the power of four in
degrees Kelvin divided by the difference in surface and ambient temperatures in degrees Kelvin. This
derives the radiation coefficient in Watts per squared meters times Kelvin. Emittance Data of Commonly
Used Materials is available by clicking the paperclip icon located in the lower right hand corner.
American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc.

Slide 18
Now lets work on an example to demonstrate how these formulas work.
For our next example, there is a chiller used for various processes necessary in making a product. The
surface of the pipes connected to the chiller are un-insulatedtherefore they are cold. The surface area of
un-insulated pipes around the chiller is five square meters. The average surface temperature of the pipes is
283 degrees Kelvin and the ambient air temperature is 305 degrees Kelvin. The pipes are made of steel and
have an emittance of 0.8 and a convection heat transfer coefficient of 11.3 Watts per meters squared Kelvin.
Lets refer back to our equation and plug in the numbers.
hr = (0.8)(5.67 x 10-8)( 305K4 283K4) / (305K-283K)
This reduces down as shown here:
hr = 4.6 W/ m K
hs = 11.3 + 4.6
hs = 15.9 W/ m K
And is further computed as shown here:
q = (15.9) (5) (305-283)
Which provides us with a final computation as shown:
q = 1,749 Watts
Given the above parameters, the rate of heat flow is 1,749 Watts.
Now lets move on and discuss controlling surface temperatures.
Slide 19
A common calculation associated with mechanical insulation systems involves determining the thickness of
insulation required to control the surface temperature to a certain value given the operating temperature of
the process and the ambient temperature.
For example, it may be desired to calculate the thickness of tank insulation required to keep the outside
surface temperature at or below 60 degrees Celsius (333 degrees Kelvin) when the fluid in the tank is 232
degrees Celsius (505 degrees Kelvin) and the ambient temperature is 27 degrees Celsius (300 degrees
Kelvin).
At steady state, the heat flow through the insulation to the outside surface equals the heat flow from the
surface to the ambient air. This is how it looks in equation form:
qins = qsurf
Or it may also be properly stated as in this equation:
(k/X)A(ThotTsurf) = hA(TsurfTamb)
By rearranging, this equation yields the following:
X = (k/h)[(ThotTsurf)/(TsurfTamb)]
Where,
x equals the thickness of insulation, in meters
k equals the thermal conductivity of the insulation material, in Watts per meter Kelvin, and
h equals the surface coefficient, in Watts per squared meter Kelvin
Since the ratio of temperature differences is known, the required thickness in meters can be calculated by
multiplying by the ratio of the insulation material conductivity in Watts per meter times Kelvin to the surface
coefficient in Watts per square meters times Kelvin multiplied by the difference in fluid and surface
temperatures in degrees Kelvin then dividing the difference in the surface and the ambient temperatures in
degrees Kelvin.
Slide 20
Now using the example we just discussed, lets calculate the estimated insulation thickness using the
following parameters. It is desired to keep the outside surface temperature of the tank at or below 60
degrees Celsius (333 degrees Kelvin) when the fluid in the tank is 232 degrees Celsius (505 degrees Kelvin)
and the ambient temperature is 27 degrees Celsius (300 degrees Kelvin). The surface coefficient used is
2.0 Watts per meter squared Kelvin and the conductivity of the insulation to be used is 0.75 Watts per meter
Kelvin.
If we plug in our numbers to our equation, the required thickness can then be estimated as:
X = (0.75/2.0) [(505K-333K)/(333K-300K)] = 1.95 meters
This estimated thickness would then be rounded up to the next available size, and in this case that size
would be 2 meters.
For radial heat flow, the thickness calculated would represent the equivalent thickness; the actual thickness
(r2-r1) would be less.
This simple procedure can be used as a first-order estimate. In reality, the surface coefficient is not constant,
but varies as a function of surface temperature, air velocity, orientation, and surface.
Slide 21
Now lets discuss Contact or Interface Resistance. In this case, heat flow through two layers encounters two
conduction resistances as shown in this equation:
L1/k1A and L2/k2A and is illustrated as shown here in this equation:
q = T / Rcont/A = hcont A t
At the interface between two layers are gaps across which heat is transferred by a combination of
conduction at contact points and convection and radiation across gaps.
This multimode heat transfer process is usually characterized using a contact resistance coefficient (Rcont)
or contact conductance (hcont).
Where delta T is the temperature drop across the interface. The contact conductance (hcont) indicates the
ability to conduct heat between two bodies in contact. It is measured in Watts per meters squared multiplied
by Kelvin. The contact resistance coefficient (Rcont) is the inverse of the conductance. It is measured in
meters squared times Kelvin, divided by Watts
The contact or interface resistance is shown in this equation:
Rcont = Rcont /A = 1/hcontA
and the resistance of the two layers combined is the sum of the resistance of the two layers and the contact
resistance. (In other words: the resistance of layer 1, plus the resistance of layer 2, plus the contact
resistance, equals the combined resistance)
Contact resistance can be reduced by lowering surface roughness, increasing contact pressure, or using a
conductive grease or paste to fill the gaps.
Slide 22
Now lets discuss Overall Resistance and Heat Transfer Coefficient.
Imagine a warm liquid contained in a pipe. Heat transfer rates are equal from the warm liquid to the solid
surface of the pipe wall, through the solid wall, and then to the cool gas of the space surrounding the pipe.
Temperature drops across each part of the heat flow path are related to the resistances much like voltage
drops are in an electrical circuit, and are demonstrated with these equations.
tf1 t1 = qR1
t1 t2 = qR2
t2 tf2 = qR3
The steady-state heat transfer rates and resistances for:
a hollow a slab of constant cross-sectional area
cylinder with negligible heat transfer, and
a hollow sphere
are shown here.
Slide 23
In the equations for conduction in a slab, the radiation heat transfer rate between two surfaces, and
convective heat transfer rate from a surface; the heat transfer rate is expressed as a temperature difference
divided by a thermal resistance.
Using the electrical resistance analogy we just discussed, with the temperature difference and the heat
transfer rate instead of potential difference and current, respectively, the same tools for solving series
electrical resistance circuits can also be applied to heat transfer circuits.
Slide 24
For example, consider the heat transfer rate from a liquid to the surrounding gas separated by a constant
cross-sectional area solid, as shown in this diagram. The heat transfer rate from the fluid to the adjacent
surface is by convection, then across the solid body by conduction, and finally from the solid surface to the
surroundings by both convection and radiation. A circuit using the equation for both resistances in either
mode is also shown. From the circuit, the heat transfer rate is shown here in this equation:
q = (tf1-tf2) / R1 + R2 + R3
Where:
tf1 equals the initial temperature of the liquid
tf2 equals the temperature of the surrounding gas
Each R respectively stands for the convection resistance, the conduction resistance and the combined
convection and radiation resistances.
And are computed with these equations respectively:

R1=1/hA
R2=L/kA
R3= (1/hcA) (1/hrA) / (1/hcA) (1/hrA)
Where
hcA equals the convection heat transfer coefficient multiplied by the area, and
hr A equals the radiation heat transfer coefficient multiplied by the area
The third resistance equation (R3) is the parallel combination of the convection and radiation resistances on
the right-hand surface, (1/hcA and 1/hrA). Equally, the third resistance equation could also be stated as this:
R3 = 1/hrcA
Where hrc on the air side is the sum of the convection and radiation heat transfer coefficients, as shown in
this equation:
hrc = hc + hr
The heat transfer rate can also be written as this:
q = UA ( tf1-tf2 )
Where U is the overall heat transfer coefficient that accounts for all the resistances involved.
Slide 25
It is important to note that in this equation:
tf1-tf2 /q = 1/UA = R1 + R2 +R3
The product UA is overall conductance, the reciprocal of overall resistance. The surface area A on which U
is based, is not always constantas in this example, and should always be specified when referring to U.
Slide 26
For mechanical insulation systems, it is also important to realize that the thermal conductivity (k) of most
insulation products varies significantly with temperature. The literature from the manufacturer will usually
provide curves or tabulations of conductivity versus temperature. When performing heat transfer
calculations, it is important to utilize the "effective thermal conductivity", which can be obtained by
integration of the conductivity versus temperature curve, or (as an approximation) utilizing the conductivity
evaluated at the mean temperature across the insulation layer.
Slide 27
When performing these calculations, it is important to use the actual dimensions for the pipe and tubing
insulation. Manybut not allpipe and tubing insulation products conform to dimensional standards
originally published by the military in MIL-I-2781 and have since been adopted by other organizations,
including ASTM (American Society for Testing and Materials).
To assist you in future design calculations, we have included the following items for your reference:
Standard pipe and insulation dimensions
Standard tubing and insulation dimensions
Standard heat loss for copper tubing
Standard heat loss for steel piping
Corresponding dimensional data for flexible closed cell insulations
These items may also be downloaded by clicking on the paperclip icon located in the lower right hand
corner.
Slide 28
In addition to performing hand calculations, there are electronic formats available. ASTM C 680 provides the
algorithms and calculation methodologies for incorporating these equations in computer programs.
These complications are readily handled for a variety of boundary conditions using available computer
programs, such as the NAIMA 3E Plus program.
The NAIMA 3E Plus program may be accessed through the Department of Energys Industrial Technology
Program website, as shown here: http://www1.eere.energy.gov/industry/bestpractices/software.html.
Slide 29
Here is an example of a print out from the NAIMA 3E Plus program. To learn more about the NAIMA 3E
Plus program please visit this website: (www.pipeinsulation.org).
Slide 30
Lets conclude with a brief summary. There are many factors to consider when thinking about
insulation. Insulation saves money for certain, but it can also be effective as a safety and process control
device. By employing the various reference tools and proper techniques to accurately calculate the
requirements/impact of industrial insulation; you can be sure the insulation you deploy can be counted on to
regulate process temperatures, protect workers from serious injury, and save thousands of dollars in energy
costs.
Slide 31
Industrial Insulation III

Slide 1
Welcome to Industrial Insulation III: Inspection and Maintenance.
Slide 2
This is the third course in the Industrial Insulation series. If you have not already done so, please participate in
Industrial Insulation I: Materials and Systems as well as Industrial Insulation II: Design Data Calculations, prior to
proceeding with this course. Our focus will include illustrative examples of common standards. Other standards
and supporting organizations may be available for your country, and can generally be found with a simple internet
search.
Slide 3
the course. Click the paperclip icon to download supplemental information for this course. Click the Notes tab to
read a transcript of the narration.
Slide 4
Describe the proper procedures for inspection and maintenance of industrial insulation
Evaluate the current condition of previously installed mechanical insulation by employing a maintenance
check list
Initiate a risk assessment discussion in order to advocate for timely and effective maintenance of
mechanical insulation, and you will be able to
Outline the repair guidelines for above and below ambient insulation systems
Slide 5
Insulation systems, like all mechanical systems, require a schedule of regular inspection and maintenance.
Despite the well known fact that inspection and maintenance are the responsibility of the owner, the reality is that
most insulation systems are frequently ignored.
Over time, insulation systems can also become damaged due to a variety of reasonsand if not repaired or
replacedcan be rendered useless. The purpose of this course is to discuss the proper process of inspection
and maintenance for industrial insulation.
Slide 6
Failure to perform inspection and timely maintenance bears a number of penalties. For hot systems, the missing
insulation consequence is increased heat loss. This can render significant financial losses over time. For outdoor
systems, damaged or missing weather barriers allow for water entry, which can adversely affect the effectiveness
of the insulation system.
Slide 7
Conversely, for cold systems, a damaged vapor retarder can lead to increased water vapor intrusion, which can
diminish insulation effectiveness, amplify rates of corrosion and intensify the potential for mold growth. If an
inspection reveals missing or damaged insulation, repairs should be scheduled as soon as possible. This is
especially true for cold systems where water vapor intrusion can quickly spread.
Slide 8
Insulation contractors are a key player in the role in facilitating regular inspection and maintenance programs. A
thorough inspection of insulated areas should be conducted at least once a year. Inspection of the external
surface should include signs of corrosion, cracking, damage, distortion, evidence of ice build-up on lowtemperature systems or hot spots on high-temperature systems or condensation.
When possible, the external finish should always be removed to enable a complete inspection of the insulation
and attachments. Additionally, infrared video cameras have been found to be effective for inspection and should
be considered for both post startup inspection and ongoing insulation maintenance.
Slide 9
When removal and replacement is indicated, re-insulation should be performed in the same manner as the
original installation unless first, the nature of the damage indicates that the system was improperly insulated or
secondly, the materials originally used are now outdated.
The following steps should be taken for removal and replacement:
Damaged insulation should be torn back to undamaged material
Care should be taken in removal of existing insulation to minimize damage, and
Temporary protection for adjacent insulation may be required to prevent damage while repairs are
underway
A "Check List" and "Risk Assessment Discussion" has been designed for the mechanical insulation applications
as defined in the National Institute of Building Sciences (NIBS) Mechanical Insulation Design Guide (MIDG), so
lets discuss that next.
Slide 10
This "Check List" is being provided as a simple guide for individuals evaluating the condition of an installed
mechanical insulation system. It is not intended to be all inclusive and or provide sufficient information to act as a
stand alone document that would allow anyone, experienced or inexperienced, to function as an inspector of
mechanical insulation systems.
Slide 11
To properly maintain your mechanical insulation system assess if:
(Please note: this listing does not appear in any particular order of importance or priority.)
Insulation is missing for whatever reason
Insulation has been removed and not yet replaced
Damage to or wearing of the outer jacketing - finish of the insulation system
Damage could be caused by mechanical abuse; negligence; weather or simply occur over time
Insulation supports are failing or appear not to be working correctly
Condensation appears to be occurring
The insulation system appears to be wet
Ice, mold, mildew on/in the insulation system
"Hot Spots" in the insulation system
Penetrations to the insulation system are not sealed
Discoloration of the insulation system, other than by dirt
"Fish mouthing" of the outer jacketing seams
Insulation system securements are becoming loose or missing
Sagging or pulling away of the insulation system
Joints in the insulation system appear to be opening
Expansion or contraction joints appear to be not functioning correctly, or an
Insulation system that is being used in an environment or service which is different from the original
design for the insulation system
Upon observing any of the these conditions a maintenance request / action plan should be implemented to
assess the degree of damage and repair and or replace the damaged area of the insulation systems to prevent
further damage and to avoid further risk.
To download a copy of this checklist, click the paperclip icon.

Slide 12
There are risks associated with not maintaining a mechanical insulation system in a timely and effective manner.
Those risks, and their severity, will vary depending upon the use - service temperature of the operating system
on which the insulation is installed; the surrounding environment; ambient conditions; the extent of any damage
to the insulation system; the insulation system design; quality of the installation; the time line of correcting any
damage and other occurrences that may be unique to the area in question.
Slide 13
The following list depicts the type of risk that could occur without timely and effective maintenance of a
mechanical insulation system. However, as previously mentioned they may not apply to all situations and multiple
risks could occur simultaneously or in varying order of events:
Increased "life cycle" cost
Increased energy cost
Increase in the emissions of greenhouse gases
Estimates for Return on Investment (ROI) are not obtained
Mold or mildew could potentially develop
Corrosion Under Insulation (CUI) could occur
Condensation and or ice, depending upon the service temperature, could develop
Personnel safety could be affected
Personnel productivity could suffer
Process - production quality could suffer and cost increase
Objectives for sustainability are not obtained
Time and focus could be taken away from other initiatives
Shorter equipment life
Operational efficiency of equipment in the area could be negatively affected, and
Expectations for facility appearance could be at risk
To download a copy of this list, click the paperclip icon.
Slide 14
Each company and individual has their own level of risk tolerance. However, the risk of not timely and correctly
maintaining a mechanical insulation system is real and should not be overlooked or underestimated.
Now lets move on and discuss the general guidelines for the repair of an insulation system after substrate
inspection.
Slide 15
In order to assist you with facilitating a proper insulation system repair, lets review some general guidelines.
Well also make specific comments for below ambient insulation systems.
Slide 16
The physical penetration of an intact below or above ambient insulation system is viewed as "destructive" and
should be avoided if possible. Specific guidelines have been developed for a "non destructive" testing procedure
of the substrate beneath insulation systems operating below ambient temperature. While this same procedure
may also apply to other areas in need of repair; this guideline does not apply to cryogenic applications.
Other forms of non-invasive inspection that do not require penetration of the insulation system should always be
investigated prior to proceeding with any procedure that requires penetrationand thus resulting in a
compromised insulation system.
Slide 17
Significant thought should be given to the potential need of penetrating the insulation system for substrate
inspection during the insulation system design phase. It is also during the design phase that the location of the
inspection points are identified. Accommodations for the vapor stopswhich will be applied on either side of the
area to be penetratedmust be provided for as well in the blueprint of the design plans.
Additionally, its a good idea to contact the manufacturer of the insulation material and vapor retarder/weather
barrier or protective covering manufacturers in order to seek their recommendations for this procedure.
Slide 18
Your number one priority is to ensure a minimally invasive inspection by implementing a careful plan of action
prior to penetrating the system and insulation removal.
For below ambient insulation systems, the initial step to this process is contacting the insulation and vapor
retarder manufacturer for specific repair recommendations.
For above ambient insulation systems, the initial step to this process is contacting the insulation and weather
barrier or protective covering manufacturers for specific repair recommendations.
Be sure to provide the representative with the relevant specifics for the insulation system as well as the operating
conditions involved.
Slide 19
For below ambient insulation systems, if the system is in use during the inspection process "water stops" should
be installed the moment the insulation is removed. This is to ensure moisture/condensation does not run into the
inside dimension (ID) of the remaining insulation. Water stops can be accomplished by several measures. These
include:
Wrapping the insulation with foam tape around the pipe, thus sealing off the inner dimension (ID) of
remaining insulation; or
Adhering the remaining insulation to the substrate
Regardless of which method you adopt for water stops, the procedure should be confirmed with the respective
insulation manufacturer for applicability and sustainability.
Slide 20
If at all possible, the insulation should be removed just priorfor example less than 15 minutesto when the
inspection and the repair procedure begins. This means that directly after the area of inspection is complete,
repairs should dealt with as soon as possible.
In order to facilitate an immediate repair, the proper tools, supplies, and sufficient replacement materials must be
on hand, so be sure to have all of these items on hand prior to commencing with your inspection.
Its also important to remember that all repairs to the system should be made using the same materials and
insulation thickness that was used in the original systemthis is to ensure the same level of performance
remains in place throughout the life of the equipment.
Slide 21
For below ambient insulation systems, if the system operates below 0C (32F) many times a de-icersuch as
methanolmay be needed to remove ice build-up if the repair is not done immediately. In addition to methanol,
propylene glycol, or ethylene glycol, can also be used to remove or potentially prevent the formation of ice for a
brief period of time.
Methanol
Propylene Glycol
Ethylene Glycol
Each one of these materials has various health, safety and environmental issues that should be considered prior
to implementation. When employing any of these materials, be sure to minimize any contact with the remaining
insulation system. Immediately following the inspection, an experienced insulation contractor should complete all
repairs to the insulation system.
Slide 22
Take care to avoid penetration of the insulation system when inclement weather is expected before the repair can
be completed.
If feasible, penetration and repairs should be made while the operating system problem area is not in service.
Repairs made while the system is in operation are difficult and may not yield the expected long term results.
Slide 23
Penetration of the insulation system could render the insulation system useless or invalidate any material
warranties, written or implied. The insulation contractor and material manufacturers should be contacted before
proceeding with any invasive inspection process.
In addition, failure to follow the recommended repair guidelines of the contractor, material manufacturers etcetera
could also cancel any and all insulation system warrantiesimplied or written.
Slide 24
Penetrating an insulation systemswithout the proper and timely repair of the areacould create damage to an
extended area of the insulation system. This would in turn, result in shortening the life of the insulation system
and create many others of concern such as, but not limited to, substrate corrosion, condensation, as well as
safety related issues, etcetera. All penetrations should be made on the bottom 180 degrees of all horizontal
surfaces, and ideally, on the bottom if possible.
Slide 25
An experienced insulation contractor should complete the insulation removal from the area to be inspected.
In order to avoid damaging the insulation system beyond that which is required for the inspection, extreme care
must be exercised during the insulation removal process. Additionally, extra caution must be exercised in the
event that the original material is made of asbestos. If the insulation is made of asbestos, do not disturb it, and
contact a qualified asbestos abatement company to properly remove it.
Slide 26
The insulation system should be removed to the first insulation system joint, if possible. This course of action is
more easily accomplished if the system is not in operation. Be sure to process cut or sand the exposed edges of
the insulation to create a clean edge, if this has not already been completed during the removal process.
Slide 27
When the insulation system involves multiple layers of insulation, be sure to work outward and remove an
additional 5 centimeters/2 inches wide strip of insulation from consecutive insulation layers from around the
perimeter of the inspection area, so that the repair joints will be staggered when the insulation is replaced.
Slide 28
Here is a step-by-step break-down of the repair process:
Measure the exposed area and cut replacement insulation to fit the exposed area
The insulation should be tightly installed, and friction fit where ever viable
Just prior to replacement of the insulation, wipe the exposed area down with a dry cloth to remove as
much condensation as possible
If the substrate has iced up, apply an approved de-icer to remove the ice
For a mechanically attached below ambient system:

Replace the insulation and seal the joints using a sealant recommended by the respective manufacturer
For a completely adhered below ambient system:

Replace the insulation and seal the joints using the adhesive recommended by the respective
manufacturer
For multi-layer below ambient systems:

Replace the inner layers without joint sealant and seal the joints of the outer layer using a sealant
recommended by the manufacturer
If appropriate, replace insulation finish with materials that match those used for the original installation
and in a manner recommended by the finish manufacturer
To download a copy of the repair process, click the paperclip icon.

Slide 29
Lets summarize the information that we have learned in this course. Today, we discussed the importance of
maintaining a regular inspection schedule for insulation systems in your facility. We reviewed the penalties for
failure to perform insulation system inspection along with the consequences for failing to implement timely
maintenance. We reviewed the importance of conducting non-invasive inspections and the proper procedures for
doing so. We went on to discuss what should transpire if an inspection reveals missing or damaged insulation
and covered the general guidelines for the repair of a below/above ambient insulation system. We then identified
the importance of making all repairs as soon as possible; all the while emphasizing the importance of employing
a qualified insulation contractor to ensure the proper and timely completion of all insulation system repairs. By a
following a schedule of regular inspection and maintenance you can ensure that the insulation system you have
invested in will continue to provide a strong return on investment (ROI) for the life of its operation.
Slide 30
Lighting I: Lighting Your Way Course Transcript

Slide 1
Welcome to the course Lighting Your Way: Four Principles for Efficiency.
Slide 2
This course is intended to be easy to use. You will encounter a few different screen types. Some
screens will auto-advance, and others will require you to take action to proceed. Please take a
few moments to familiarize yourself with the course layout, including the various tabs or virtual
buttons you should access and explore. When you are ready, click the next button to continue.
Slide 3
List the four principles for efficient lighting design.
Discuss the importance of recommended light levels.
Identify the four basic lamp families.
List a variety of opportunities to improve energy efficiency through upgrades in lighting
and controls.
Slide 4
Lighting is considered a quick hit by many building owners and managers looking to save
energy and reduce costs.
To meet European building standards for energy consumption, lighting efficiency is a key area of
attention.
According to the National Lighting Bureaus 2003 study, only 17 percent of US commercial
buildings built before 1980 have retrofitted their lighting systems. That means more than 2.2
million US buildings could benefit just by updating their lighting systems! It is important to note,
however, that these figures also have some significant exclusions; the report did not include
shopping centers, strip malls, or industrial facilities.
Throughout the world, lighting offers opportunities to reduce consumption while maintaining
comfort and style.
Slide 5
How much energy is used for lighting? Here are some common commercial building types and
the percentage of the facilitys total energy usage consumed by lighting. It can be as much as 37
percent.
Slide 5
There are four principles of efficient lighting:
Determine how much light is needed, the appropriate quality, and where is it needed
amount, quality, and distribution. This will vary with the spaces orientation and availability
of daylight, the tasks and activities performed in the space, and the ages and visual
comfort requirements of the occupants of the space.
Use efficient luminaires designed to satisfy these criteria. The luminaire includes the lamp
and its housing, along with other components such as reflectors and diffusers.
Use lighting controls to automate the amount, distribution, and scheduling for the
luminaires.
Lastly, commission the lighting system to ensure proper operation and maintain the
system through periodic audits and maintenance.
Slide 6
Lastly, commission the lighting system to ensure proper operation and maintain the system
through periodic audits and maintenance.
Slide 6
There are four principles of efficient lighting:
Determine how much light is needed, the appropriate quality, and where is it needed
amount, quality, and distribution. This will vary with the spaces orientation and availability
of daylight, the tasks and activities performed in the space, and the ages and visual
comfort requirements of the occupants of the space.
Use efficient luminaires designed to satisfy these criteria. The luminaire includes the lamp
and its housing, along with other components such as reflectors and diffusers.
Use lighting controls to automate the amount, distribution, and scheduling for the
luminaires.
Lastly, commission the lighting system to ensure proper operation and maintain the system
through periodic audits and maintenance.
Slide 7
Whether new construction or retrofit, determining the appropriate amount, quality, and distribution
of light is the first step in providing an efficient lighting system.
Over-lighting can be as detrimental to safety, productivity, and visual comfort as under-lighting.
Slide 8
How do we measure light?
We measure the power of light in lumens, and we measure illuminance in lumens per unit area.
The SI unit of illuminance is lux, and is equal to one lumen spread evenly over one
square meter.
The US customary unit for illuminance is the footcandle, or fc, and is equal to one lumen
spread evenly over one square foot.
Illuminance is a measure of light density. It is measured with a calibrated light meter.
Lux or footcandle recommendations are meant as a guideline for lighting density, not as the only
criteria for appropriate lighting. Equally important criteria are uniformity, object reflectivity, and
glare.
Slide 9
Natural light levels vary tremendously, from the dim light of the moon to the intense light of a
sunny day.
Lighting requirements based on artificial light have a narrower range. The values shown are
general recommendations for illuminance, in lux and footcandles.
Slide 10
Some questions to ask when faced with a lighting project:
How much light do I need?
Appropriate amounts of light based on tasks and environment are published by lighting
engineering societies or government agencies and can vary by country or region.
Examples of these are the EN standards in Europe, the Illuminating Engineering Society
of North Americas, or IESNA, Handbook and Australia and New Zealands Standard
AS1680.
Where do I need the light?
Again, the reference for this will vary depending on your country.
Some applications, such as a classroom whiteboard, require light to be distributed on a

vertical surface, as opposed to reading a magazine, which may require light to be
distributed on a horizontal or angled surface.
Distribution can also describe the uniformity of light required for a particular task or
application. Uniform lighting is desirable in classrooms, offices, and parking lots, but to
create drama and draw an occupants attention to an object or area of interest, uneven
light levels provide a cue to the human brain that says look at me!
What quality of light do I need?

Color temperature in Kelvin (K) indicates the warmth or coolness of a light source.
CRI (1-100 scale) is a measurement of how true colors appear under a particular light
source using the standard incandescent light bulb as the standard at 100.
What is the age of the user?
Another factor to consider is the age of the occupants or users of the space. The older
the user, the more light that is required to achieve the same visual acuity as a younger
individual.
Slide 11
Color temperature is an indication of the hue of a specific type of light source. Higher
temperatures indicate whiter, "cooler" colors, while lower temperatures indicate yellower,
"warmer" colors. Notice the difference in these two scenes, lit with sources of different color
temperature. This chart shows you some examples of common light sources on a scale of color
temperatures.
Halogen
3150k
Warm White
Fluorescent
2900k
Cool White
Fluorescent
4100k
Daylight
5100k
Incandescent
2700k
Metal Halide
5000k
High Pressure
Sodium 1700k
Slide 12
The color rendering index (CRI) is a measure from 0 to 100 of how faithfully the light source
illuminates colors when compared to an incandescent source. Here you see the same scene,
illuminated by different light sources. To effectively compare the CRI of different light sources, the
color temperature, or K, should be the same.
A source with a low color rendering index will tend to make colors look unnatural. In some
environments, like car parking lots, that might be okay. But in environments where seeing colors
correctly is important, this would have a big impact on the choice of the light source.
Slide 13
Raw light output, or lamp lumens for any light source will depreciate over time, as the lamp ages.
In other words, older lamps typically produce less light than brand new ones. We already saw that
a lumen is the measurement of light emitted from a source. Lamp manufacturers publish intial
lumens and mean lumens, based on lumen maintenance, the percent of lumens remaining at
mid life. These data vary with the light source and will be discussed in more detail in the second
class in this series: Defining Light.
Slide 14
In addition to lamp lumen depreciation, there are other effects over time on the luminaire
operating system and environment that can reduce light levels. Light Loss Factors that an expert
will consider include:
Room surface depreciation
Luminaire surface depreciation
Luminaire Ambient Temperature (LAT)
Ballast Factor (BF)
Voltage Variation (VV)

Room Surface Depreciation
Accounts for the changes in reflectivity of room surfaces as they age.
Luminaire Surface Depreciation
Accounts for loss of fixture light output due to luminaire reflector or lens deterioration. Some
conditions that influence this light loss factor are dirt accumulation or UV damage.
The temperature in which a luminaire is operated is often different than the temperature in which
the luminaire was tested. These temperature differences can increase or decrease the light
output of the fixture.
Ballast Factor (BF)
This is a multiplier which takes into account the differences between real life operation, and
component testing, which happens under controlled laboratory conditions. Ballast factor
specifically addresses potential losses when using a specific ballast/lamp combination. We'll learn
more about ballasts later in the class.
Voltage fluctuations can cause a luminaire to burn more or less brightly and can affect ballast and
lamp life.
Slide 15
Here are some general guidelines for good lighting:
Give what is needed, not what is asked for.
Use your regions official guidelines and recommended practices, and consult local codes.
Increase levels for workers over the age of 40 or dark room surfaces.
Industrial applications have seen greater emphasis on increasing maintained light levels over
system life. This provides increased safety for hazardous environments.
Commercial light levels have been dropping over the decades. Much of this change has been
driven by computer-use. Lower ambient levels of 300 or 400 lux, equal to 30 to 40 fc respectively,
are common in todays computer-based office, as compared to 1000 lux, equal to 100 fc, which
was the norm in the 1970s; or to 700 lux equal to 70 fc, which was the norm in the 1980s.
Slide 16
Not all the required lighting has to come from ceiling mounted luminaires.
Click each area of the office space to learn more.
For horizontal surfaces, general room lighting can be supplemented by task lighting
mounted close to task level. This can be more efficient because it applies the lighting
where it is most required, rather than illuminating the whole space to the same degree.
In environments where there is intensive use of visual display terminals, there is often a
preference for lower ambient light levels.
Lighting vertical room surfaces eliminates the cave effect, visually raising the ceiling and
creating a more open, vibrant space.
Examples of vertical task surfaces are shelving, white boards and retail displays.
Slide 17
There are, of course, many other factors to consider when planning lighting or a lighting retrofit for
any type of facility:
Safety and security: Is additional lighting needed to address unique safety or security
concerns?
Worker performance: Studies have shown that people feel better and perform better
under white light compared to yellow or orange light. In a facility where, for example, a
decision between a more efficient High Pressure Sodium system and a more workerfriendly fluorescent or metal halide system needs to be made, where does worker
performance or comfort fit into your calculations? Is it measurable?
System Maintenance/Life Cycle: How difficult or time-consuming is it to change out lamps?
Would you consider paying more for a system that required less maintenance?
Environmental Factors: Do the products under consideration require recycling at end of
life? What provisions are in place in your region for recycling?
Economic Considerations: Both initial cost and life cycle cost need to be considered.
Regulatory Compliance: Does the lighting system under consideration meet all of your
regions regulations? For example, does your region require RoHS compliance?
Professional Standards: In addition to meeting light level standards as determined by the
authority with jurisdiction in your region, are there other recommendations, possibly set
forth by an industry organization, specific to the type of facility you are lighting? For
example, automobile manufacturers have recommendations for different light levels
depending on the vehicle paint color, which are not part of the IES recommended
practices.
Slide 18
Think about the lighting in your facility. If you have access to a light meter, take a few readings,
but be careful where you take the measurements, because the recommendations are based on
task, as opposed to overall or general ambient light levels in the room. You can download some
examples of lighting standards for offices from the Attachments tab. How do the levels youve
measured for your facility compare with the standards for your region?
Slide 19
The second principle is to select efficient luminaires.
The luminaire is the light source in a fixture, and includes all of the auxiliary gear that helps it do
its job. Reflectors, diffusers, current regulating devices, and mounting hardware are all part of the
luminaire.
Think of the luminaire as a car and the lamp as its engine. Choosing an appropriate luminaire,
placing it correctly, and controlling it are the foundation of any lighting project. In a quality lighting
design, luminaires are part of a system that delivers an appropriate amount of light where and
when it is needed, without over- or under-illuminating or lighting unoccupied spaces.
Slide 20
For new construction and remodeling projects that affect 50 percent or more of the designed
space, using efficient luminaires, for example, lamps, fixtures, and ballasts, is no longer optional
in many parts of the world. Although the codes and standards rarely exclude inefficient
technologies, they have become impractical for a code compliant strategy that still meets
recommended light levels.
Slide 21
Today, lighting energy codes and standards often are based on lighting power density (LPD), or
watts per unit area. Maximum lighting power density can be based on building type and footprint,
or the individual spaces within a building.
EN15193 calls for lighting power density of office spaces in European buildings to be from 15 to
25 watts per square meter, and specifies benchmarks for lighting power density in three grades.
One star represents basic fulfillment of requirements, two stars represent good fulfillment of
requirements, and three stars represent comprehensive fulfillment of requirements. In the US,
the ANSI/IES/ASHRAE 90.1 standard calls for LPDs from 1.1 to 1.3 watts per square foot,
depending on the tasks performed in the office.
Generally, in an office building, corridors, conference rooms, and restrooms would each have a
prescribed maximum lighting power density, based on that particular space. Hospitals, schools,
and industrial spaces will have their own standards.
Specific standards will vary by country and global region. You can see some more examples of
recommended lighting levels and LPD in a space in a downloadable file available on the
Attachments tab.
Slide 22
The basic light source family members include: incandescent, low-pressure discharge, highintensity discharge, and Light Emitting Diode (LED).
Incandescent lamps have a tungsten filament, and are resistive in nature, which produces mostly
heat. They are available in various shapes. The A shape is the familiar elongated globe.
Reflector bulbs have a reflective coating inside the bulb, to direct the light. PAR bulbs, or
parabolic aluminized reflector bulbs, direct the light more precisely. Halogen lamps are a type of
incandescent lamp. Many countries are progressively outlawing incandescent lamps due to their
poor energy efficiency.
Gas discharge lamps work by sending an electrical discharge through an ionized gas. Examples
of these lamps where the gas is under low pressure include fluorescent and low pressure sodium.
Fluorescent lamps include the long tubes often used for office lighting and also compact
fluorescent lamps. You may have seen low-pressure sodium lamps in street lighting or in parking
lots. It is one of the most efficient lamps, but it gives a yellow light, which means it cant be used
for most applications
High-intensity discharge lamps are a family that includes mercury vapor lamps, metal halide
lamps, and high pressure sodium lamps. These lamps have a wide range of applications, and are
often found where high levels of light are required over a large area. Mercury vapor lamps are
virtually obsolete, and have been replaced by metal halide lamps. The light output of both these
types of lamps tends to decline significantly over time.
Light-emitting diodes, or LEDs, are a newer form of lighting which you may have seen on exit
signs or traffic control signals, but are becoming increasingly available for interior and exterior
commercial and residential lighting in retrofit and new construction products.
Slide 23
The choice of the right lamps will depend on factors such as the color rendering index and
temperature that we saw in our earlier discussion. It will also depend on factors such as:
Lamp life
Efficacy
Cost
Suitability for the operating conditions
Lets look at some of those now. Click each factor to learn more.
Published Lamp Life

Some lamps last longer than others. Lamp testing begins with 100 lamps. Incandescent lamps
are burned continuously, which means that field performance will always be shorter if cycled on
and off. Fluorescent lamps are cycled off for 20 minutes every three hours, which means that field
performance will usually be longer in a commercial application, where 12 hour cycles are
common. High pressure sodium and metal halide lamps have a longer, more realistic 10 hour
cycle, but are tested with magnetic ballasts, not indicating the extended life obtained with todays
electronic ballasts. Rather than published hourly life, consumers and facility owners are
concerned about calendar life. A control strategy that regulates the length and frequency of
lighting cycles increases lamp calendar life and improves energy savings by eliminating wasted
burning hours.
Lastly, because lamp life is determined when the 50th lamp burns out, theoretically half of the
lamps produced will burn out before their rated life is reached, and half the lamps will exceed their
rated life.
LED Life
The industry ideal for LED luminaires is 70 percent lumen maintenance at 50,000 hours. Since
LEDs do not fail catastrophically, they might continue to perform at diminishing levels for up to
100,000 hours, but 30 percent lumen depreciation is considered the end of useful life. This ideal
can only be achieved with high-quality components and adequate heat dissipation. The popularity
of LEDs has resulted in a plethora of inferior products. Always choose LED products tested to the
Illuminating Engineering Societys LM-80 standard.
Because the standard was initiated in 2009, there are no LED luminaires that have burned long
enough to ensure the tests accuracy, but LM-80 testing is one way to screen for manufacturers
that are committed to quality products, and willing to back them up.
Lamp Efficacy
At the heart of energy efficient lighting performance is the concept of efficacy. Lumens are used
when discussing the total light output from an omnidirectional source, such as fluorescent.
Efficacy is the ratio of lumens per watt, analogous to miles per gallon to describe fuel efficiency.
Lamps with high efficacy help us to lower lighting power density (LPD), while lamps with low
efficacy generally increase LPD.
In most of the world, you will see lumens per watt abbreviated as lm/W. In the US you may see
LPW.
Slide 24
Lets see how some different factors might influence the choice of a lamp.
The initial price and lifetime of the lamps are factors with a direct bearing on cost. Heres an
example based on US dollars, but it holds true in other countries as well. Costs are in kilo-lumens
or per thousand lumens of light output.
Initial cost shows incandescent as the clear winnerfar lower cost than the alternatives.
Slide 25
Life cycle costs show a different story. Efficacy is a measure of the efficiency of the light source.
How much light does it generate per watt of power consumed? This impacts the lifecycle cost of
the lighting system. Lamps that are cheap to buy may ultimately be expensive if they use a lot of
electricity and need frequent replacement.
Slide 26
Finally, the operating conditions can have an impact. There are a variety of environmental
conditions that affect the life and output of different lamp and luminaire types.
Among them: dirt, heat and cold, vibration, corrosive atmospheres, underground burial, lamp
position or orientation, and on-off cycling.
Slide 27
Lets look at some of the most common opportunities for improving the efficiency of lamps, which
include:
Incandescent upgrades
Fluorescent upgrades
HID upgrades
To learn about the lamp families and the advantages and disadvantages in more detail in each
case, see Lighting 3 Basic Lamp Families.
Slide 25
Life cycle costs show a different story. Efficacy is a measure of the efficiency of the light source.
How much light does it generate per watt of power consumed? This impacts the lifecycle cost of
the lighting system. Lamps that are cheap to buy may ultimately be expensive if they use a lot of
electricity and need frequent replacement.
Slide 26
Finally, the operating conditions can have an impact. There are a variety of environmental
conditions that affect the life and output of different lamp and luminaire types.
Among them: dirt, heat and cold, vibration, corrosive atmospheres, underground burial, lamp
position or orientation, and on-off cycling.
Slide 27
Lets look at some of the most common opportunities for improving the efficiency of lamps, which
include:
Incandescent upgrades
Fluorescent upgrades
HID upgrades
To learn about the lamp families and the advantages and disadvantages in more detail in each
case, see Lighting 3 Basic Lamp Families.
Slide 28
Incandescent lamps, which include halogen lamps, are comparatively inefficient. Halogen lamps
are more efficient than incandescent, but they still generate a lot of heat and not a lot of light
when compared to their power consumption. Where a 100 CRI dimmable light source is required,
low voltage halogen can be applied sparingly. Instant on and inexpensive dimming are practical
features that add to halogen lamp utility with control systems, and lengthen their life.
Compact fluorescent lamps are a possible alternative to incandescent lamps. Here we see an
example in dollars. In real situations you may encounter different prices, but the same general
principles will still apply. This table illustrates the potential savings from just one lamp. Although
the CFL may cost over five times more initially, it lasts ten times as long and pays for itself in just
a few months.
Caution should be exercised when selecting retrofit screw-in replacement options for A lamps.
Operating position is critical, and enclosing these units (such as in a recessed downlight) will
often cause them to overheat and greatly shorten the manufacturers estimated lamp life. In
addition, screw-in retrofits that can easily be returned to their A lamp configuration generally do
not comply with energy saving code regulations. This phenomenon is called snap-back.
Retrofit options that utilize pin-based compact fluorescent lamps are a better option and will
ensure that a less efficient lamp cannot be installed at end of life.
Slide 29
While they are a considerable cost upgrade, code requirements for reduced lighting power
density in retail environments have made low-wattage ceramic metal halide the technology of
choice to replace directional halogen sources. Improved CRI, 34 times the life of halogen, and
wattage reductions greater than 50 percent are significant advantages over halogen.
Directional LED sources that replace multi-faceted reflector (MR) and parabolic aluminized
reflector (PAR) halogen sources cost more than metal halide, but don't require expensive lamp
changes over their 50,000-hour useful life. Instant on and practical dimming options are LED
features, not available with metal halide, that help simulate halogen performance and facilitate
control strategies.
Slide 30
Fluorescent lamps come in different shapes and sizes. You may hear lamps referred to as T8, or
T12. What does that mean? It is based on the diameter of the lamp in eighths of an inch. So a T8
lamp is 1 inch in diameter, equivalent to 2.54cm. T12 lamps are fatter and T5 lamps are thinner.
Compared with incandescent lamps, fluorescent lamps use less power for the same amount of
light and generally last longer, but they are bulkier, more complex, and require recycling because
they contain mercury.
Generally speaking, the thinner the lamp, the more efficient it is. T12 lamps are big, old, and
inefficient, so if you see them, they may represent a good opportunity to upgrade to newer
fluorescent lamps. T8 lamps are often chosen because they have the same length and pins, so
they can fit in the same fixtures, although new ballasts may be required. Some other lamps may
not be the same size. The final choice of replacement with T8, T5, or even thinner lamps will
depend on factors such as ambient temperature, existing fixtures, and willingness to replace
fixtures if necessary.
Slide 31
HID lamps have similar efficacy to fluorescent lamps, and much better efficacy than incandescent
lamps. The color of the lamps and the effect on color rendering varies depending on which type is
selected.
Older HID lamps may have poorer efficiency, which would make them candidates for upgrading
to newer lamps that produce more light per watt. In a factory or warehouse, if you look up and
see large round lamps, its worth checking how old the installation is. If it is more than 10 years
old, it may be a candidate for upgrade. Most importantly, newer technology gives us much higher
maintained light levels throughout the lamps life cycle.
One disadvantage of HID lamps is that the cold start-up time typically takes 210 minutes, and
restarting, referred to as a hot restrike, after a shutdown or power interruption takes 715 minutes.
This means they are not suitable for applications where they need to be turned off frequently.
Most importantly, if power is lost, then restored, a backup emergency lighting system is required,
so as not to keep people in the dark for an additional 10 minutes after power is restored, waiting
for a hot restrike.
Another issue is that the color of metal halide lamps shifts as they age and when they are
dimmed. In addition, metal halide units produce high levels of UV (ultraviolet) radiation that must
be shielded by glass in the lamp or fixture, or the outer jacket. Another hazard is arc tube rupture,
which produces hot glass that can cause fires and injuries. This is prevented by using a
protected arc tube or an appropriately enclosed fixture, which may be required by the local
electrical code. This is an important retrofit issue, since older, non-lensed fixtures will accept
non-protected lamps, and it is the responsibility of the installer to take the appropriate precautions.
Because of these issues, plus energy efficiency, linear fluorescent lamp usage in warehouse and
manufacturing applications has dramatically increased.
Slide 32
Lets turn our attention to the fixtures themselves: The fixture is what holds the light source and its
power connections. The design of the fixture influences efficiency because it impacts how the
light is dispersed from the lamp.
Manufacturers specification sheets publish the results of luminaire testing and include Total
Luminaire Efficiency.
Efficiency is the percentage of luminaire lumens relative to bare lamp lumens. The amount of light
emitted by the luminaire will always be less than published light output for the lamp.
An example of high luminaire efficiency may be a keyless porcelain socket with an A lamp. This
luminaire could be considered 100 percent efficient, as all of the lamp lumens escape from the
fixture, but what drawbacks does this high efficiency produce?
High efficiency often translates as glare in the installed environment. It is critical to observe a
luminaire in action to properly evaluate the light output and visual comfort.
Slide 33
Finally, lets consider ballasts. A ballast is required by all the gas discharge lamps we have
mentioned so far, including fluorescent lamps and HID lamps.
It usually does three things:
Gets the lamp ready to start by warming up the electrodes
Starts the lamp by injecting a high voltage to initiate the gas discharge
Regulates the current and voltage to the required level until the lamp is turned off
There are various types of ballast, used according to how fast the lamp has to start, and how
often it is switched off and on each day. If there is a need to dim the lights, a special type of
ballast is required.
In fluorescent ballast systems, the main efficiency opportunity is changing from magnetic to
electronic ballasts. Magnetic ballasts are an older technology and not as efficient as electronic
ballasts. The newer electronic ballasts significantly outperform the older magnetic ballasts.
However the lamp and ballast need to be considered together when efficiency improvements are
made.
Slide 34
You now know that the type of light source makes an enormous difference in energy usage.
Incandescent light bulbs have an efficiency of 5 percent as compared to fluorescent lights with an
efficiency of 45 percent. Clearly you will save money every time you replace an incandescent
lamp with a fluorescent lamp. However, all lights of the same type are not the same in terms of
efficiency.
With discharge lamps such as fluorescent and HID, the type of ballast and design of the fixture is
very important.
So what type of savings can you get when you put efficient lamps, ballasts and fixtures together?
Lets see two examples.
Slide 35
This case study is based on a manufacturer that sought a retrofit lighting solution that would
result in significant annual energy savings for the company and to research any tax breaks that
may come with the installation.
The existing manufacturing facility was lit with 534 high-pressure sodium fixtures.
This application was retrofitted with T8 lamps and electronic ballasts.
This generated 51 percent annual energy savings of US$55,600, and the company qualified for a
tax deduction of US$58,000.
Even though there was 40 percent less light, surveys showed that the workers thought that the
light level was increased. One reason is that human physiology is affected by whiter light,
resulting in greater visual acuity and depth of field. This can be perceived as more light.
Slide 36
Heres another example, implemented at 18 Schneider Electric facilities in North America.
Over 10,500 new light fixtures were installed resulting in more than a 50 percent reduction of
electrical consumption in some facilities, increasing light quality and reducing heat output. This
action alone has resulted in over US$1.1 million per year in electrical savings and tax benefits of
over US$300,000.
Increasing lighting efficiency is one of the fastest ways to decrease energy costs.
Slide 37
The third principle is efficient control. A high efficacy fluorescent lamp still wastes energy if it is
left on when it is not required. Let's look at some opportunities, which include:
Switches
Occupancy sensors
Timers
Keycard controls
Scheduling
Centralized control
Dimmers
Daylight harvesting
Twilight switch
Slide 38
The simplest lighting control device is the on/off switch! Unfortunately, they rely on people to use
them. Automatic control of lighting is more reliable.
One simple solution is occupancy sensors, also called movement sensors or presence detectors.
These devices detect motion or heat when a person is in the space and turn lights on
automatically. After a period where no occupancy is detected, the lights are turned off. They can
be mounted on walls or ceilings. Wall-mounted presence detectors are ideal for situations where
occupancy is variable in relatively small spaces, such as individual offices, classrooms, storage
cupboards, and restrooms. Ceiling-mounted occupancy sensors can be useful in larger
conference rooms, open-plan offices, or warehouses where occupancy sensors can be used aisle
by aisle, to only illuminate the areas that are in use.
Slide 39
Timer switches are another simple solution. Here, the person initiates turning the light on, and it
turns off automatically after a certain period. These are suitable where occupancy is variable and
typically for only short periods, such as corridors and restrooms.
Slide 40
Keycard controls are a popular solution for hotel rooms. The lights and other electrical sockets in
the room are controlled by a master switch near the door. The user has to place their keycard in
the receptacle for the electricity in the room to be enabled. When the user leaves the room, he
takes the keycard with him, and the lights and sockets are turned off. This avoids the waste
associated with hotel guests leaving lights and TVs on when they are not in their rooms.
Slide 41
Scheduling can be used to provide time-based control for a space. It can be implemented by
room-level controllers, or by programmable breakers at the switchboard, by dedicated lighting
control solutions based on networks such as DALI or KNX, or by a full building automation system.
Scheduling ensures that lights are turned on before occupants are expected to arrive, and turned
off after they leave. In spaces where occupancy sensors are impractical but there are clearly
defined times of use, this can make large savings on wasted energy.
Slide 42
Dedicated lighting control solutions and building automation systems also allow centralized
control thats not automated. From a control panel an operator can turn on lights in any part of the
building, and turn them off again later. That can be useful for security, and for efficient lighting
control in sites where the occupancy times are variable and cant be scheduled. The operator can
turn off all lights in the building when the last person signs out, without having to walk around and
do it manually.
Slide 43
A dimmer is a device used to vary the level of lighting from one level of output to another.
Dimming is used when the maximum light output from the lighting is not required at all times. That
can be useful in auditoriums and meeting rooms, for comfort and ambience as well as efficiency.
Not all dimmers and light sources operate effectively from 0100 percent, but often a specific
range of output can be regulated. They can be manually or automatically controlled as part of a
daylight harvesting strategy. Additionally, not all light sources can be dimmed, and some sources
might be costly and impractical to dim.
Slide 44
Daylight harvesting applies when the space is partially lit with natural light through windows or
skylights. A photo-electric sensor is used to detect the level of light in the space. If the light level
exceeds requirements, lamps are dimmed until the desired level is obtained. Normally this
requires the lights to be electrically organized on separate circuits, so that the lamps that are
nearest the window are dimmed the most or turned off entirely, while lamps that are within the
body of the room remain on.
Some movement sensors are combined with photo-electric sensors to combine the benefits of
both technologies in one product. As the sensor detects occupancy, it also checks the light level
before turning on the lights.
Outdoor light
Internal dimming
Lighting
level
Lux
Slide 45
A similar solution to daylight harvesting is the twilight switch, often applied to exterior lighting. The
sensor detects the outside light levels and switches on when the light is not sufficient, off when
the light increases. This saves energy by ensuring those lights are not on in the day when they
are not required, and improves comfort and security because people do not have to find a switch
in the darkness. However it may not be optimal if the lights are not required the whole time from
dusk until dawn. In such a case, a combination of twilight sensing and a timer, other scheduler, or
movement detector would be more efficient.
Retrofit of lighting control solutions can be made more complicated by the existing wiring of the
plant. If many lights are on the same circuit, it may not be possible to control the desired zones.
Slide 46
Lamps with a long start and restrike time, such as the HID lamp family, are not suitable for
lighting control applications that save energy by turning lights off and on frequently. Sensors are
available for HID systems to reduce light levels to 50% when areas are unoccupied, so they can
be rapidly ramped up without any strike time. However fluorescent lights would be more
appropriate.
Doesnt turning lamps off and on frequently shorten their life?
Yes, increased switching will shorten the overall lifetime of the lamp in operating hours. However,
it usually increases the total calendar life, and the energy savings can often considerably
outweigh the lamp costs.
Slide 47
To estimate the savings from a lighting retrofit, we need the following information:
First we need to estimate the existing operating hours of the system. We may be able to get this
from the operating schedule of the building, but this is not always reliable, unless there is some
way to confirm that the lights are reliably turned off when the building is unoccupied.
A simple way to check is with a lighting logger. This is a temporary device that can be mounted
on the ceiling of the room. It records motion in the space and whether the lights are off or on.
Here we see an example output. We can see that on Tuesday, the lights stayed on all night, even
though no-one was present. We can also see significant period during Thursday where lights
were on but no occupancy was sensed. Based on this type of data, we can reach conclusions
about the true operating hours that exist today, and what might be achievable with lighting control.
Measuring the actual lighting level and comparing it to the required level will allow us to determine
if the space is over illuminated, and estimate the potential savings from de-lamping.
Finally, auditing the existing lighting system for the rating and total number of lamps and ballasts
will allow us to calculate the total consumption of the lighting system today, and how much it
might be reduced with new lamps and ballasts.
You can learn more about the calculations used to estimate the savings in other classes in our
lighting series.
For now, note that each of these factors is interrelated. For example, if actions are taken to
remove lamps or retrofit new, more efficient lamps, that has to be taken into account when
calculating the impact of lighting control. At the new efficiency level, it may take a long time for an
occupancy sensor to pay for itself.
Saturday
Lit
Occ
Sunday
Lit
Occ
Monday
Lit
Occ
Tuesday
Lit
Occ
Wednesday
Lit
Occ
Thursday
Lit
Occ
Slide 48
Another factor that can be taken into account in the calculations is the impact that lighting has on
heating and cooling. Lights generate heat, so they help to warm a space during the winter, but
tend to increase the cooling requirements during the summer. When efficiency is improved, those
impacts are reduced: less warming in winter, less cooling need in summer.
You may think that over a period of a year, those two factors would balance out. This is not
necessarily the case. Some climates are biased towards greater heating or cooling needs.
Secondly, heating often relies on gas, while cooling relies on electricity and can be much more
expensive. Thirdly, many buildings contain so many heat sources such as people, equipment,
and lights, that they require cooling all year round.
Slide 49
Congratulations! You have completed your first energy efficient lighting project. All of the
luminaires and controls have been installed and energy bills should be reduced, right?
The job is not completed until the systems have been commissioned and a plan formulated for
continued maintenance. This is the fourth principle for efficient lighting.
One of the most common reasons that building owners do not realize the predicted savings is that
they or the building occupants do not understand the system. How many times is an occupancy
sensor disabled by a building occupant because it turns the lights off when they are in the space?
How often is a time clock over-ridden for a unique, one-time circumstance and never reset?
Slide 50
Part of the overall project is the commissioning of the system. This simply means that all
equipment is calibrated and functioning as the system was intended. This prevents user
tampering due to distracting light changes during business hours.
Heres an example: Its a beautiful summers day and the office building is flooded with natural
sunlight. A cloud momentarily passes over the sun and all of the office fixtures suddenly turn to
full on. The sun emerges at full brightness 20 seconds later, and the office lights quickly turn off
or dim down. This sudden and drastic change in artificial light can prove distracting in an office
environment and may result in a user taking action to disable the system.
Proper commissioning would calculate a time delay to accommodate such common occurrences
and would incorporate a gradual ramp up/ramp down of the light levels so as not to be a
distraction to workers.
Slide 51
Keeping lamps and fixtures clean and replacing burned-out lamps are important tasks to maintain
the efficiency of an installation. However, maintenance effort can be costly, so using it wisely will
help to manage the operating expenses.
One potential method is group relamping. We already heard that lamps have an average rated
life, and also lose efficacy over time. Knowing the average rated life means you can calculate, on
average, how many lamps in your installation will require replacement each year.
Number of Annual Replacements = Number of fixtures Lamps per fixture Operating hours /
Average rated lamp life.
Consider a building with 2,000 fixtures, each containing three lamps, that is open from 7 am7
pm, MondayFriday.
The average rated lamp life is given as 25,000 hours.
Operating hours = 12 hours per day 5 days per week 52 weeks per year = 3,120 hours.
Number of annual replacements = 2,000 x 3 x 3120 / 25,000 = 749 replacements per year.
Slide 52
It can be quite costly in terms of effort if each time an individual lamp burns out, the maintenance
staff are called out to replace it, because each replacement requires the staff to locate the fixture,
gain access, remove the lamp, fit the new one, and dispose of the old one correctly. The
overhead of effort in each replacement is quite high. Also, older lamps that have declined in
efficacy will be consuming energy in your installation and not providing much light. An alternative
is group relamping.
Slide 53
A group relamping strategy does not wait for lamps to burn out before replacing them. Instead, all
the lamps are replaced at one time, when they have reached some percentage of their rated life.
70 percent is recommended by the United States Environmental Protection Agency. This reduces
the loss of light due to lamp failure, and the time, effort and complaints associated with spot
replacement of lamps. The few lamps that fail between group relamping cycles can be spotreplaced as needed.
Here is how to calculate the group relamping interval:
Group relamping interval = Average rated lamp life Threshold percentage / Annual operating
hours
= 25,000 70% / 3,120
= 5.6 years
Slide 54
Okay, lets round that down to five years. Based on a five-year relamping interval, on average,
you will be replacing 6,000 lamps / 5 years = 1,200 lamps per year.
Lets see what difference that makes to the maintenance budget. These figures for material and
labor cost are taken from a US Environmental Protection Agency study of lighting maintenance
published in 1995. Current values are likely higher, but the same principles apply.
Labor per lamp is much higher for spot relamping because of the effort to organize and perform
individual lamp replacements. Group relamping costs less per lamp because many lamps are
replaced at one time.
This example shows group relamping has the potential to reduce the maintenance effort in this
case by 65 percent.
Group relamping is also an opportune time to clean luminaire reflectors and lenses, which will
help maximize light output and improve their appearance.
Slide 55
Today, we explored the four principles for efficient lighting design:
Determine how much light is needed
Use efficient luminaires
Use lighting controls
Commission the system to ensure proper automation
We discussed required lighting levels as a factor in evaluating over-illumination. We identified the
basic lamp families, and listed opportunities to upgrade lamps, ballasts and fixtures. We saw a
variety of possibilities for improving efficiency with lighting control. We looked at the impact of
lighting upgrades on HVAC, and ended by exploring the benefits of group relamping as a way to
reduce maintenance effort.
By familiarizing ourselves with these items, we can now begin to look at the lighting in our
buildings in an informed way. By taking the necessary steps to increase the lighting efficiency in
our buildings we can quickly decrease the related energy costs.
To learn more about efficient lighting practices, please consider participating in the other courses
in our Lighting series.
Slide 56
Lighting II: Defining Light Course Transcript

Slide 1
Welcome to the course Lighting II: Defining Light.
Slide 2
This course is intended to be easy to use. You will encounter a couple of different screen types.
Some screens will auto advanced and others will require you to take action to proceed. Please
take a few moments to familiarize yourself with the course layout. Including the various tabs or
buttons, you should explore. When you are ready, click the next button to continue.
Slide 3
By the end of this class you will be able to:
Define the relationship between white light and the combination of colors of the visible
spectrum.
Explain terms used to define the perceived quality of light.
Understand the units of measurement applied to light.
Explain terms related to the distribution of light in a space.
Slide 4
We all know what light is. Yet most of us would find it difficult to define or describe it.
Slide 5
Knowledge of natural and artificial light sources improves our ability to create quality interior
environments and control them.
Slide 6
Light is a narrow band of energy at the middle of the known electromagnetic spectrum. Light itself
is invisible, yet without it, we see nothing.
Visible Spectrum
Slide 7
Wavelengths of light stimulate our visual system. As human beings, over 80 percent of our
sensory input comes from combinations of sensations we call vision.
Lighting practitioners must also be aware of invisible energies that may accompany a light source
as well, and can include ultraviolet (UV) and infrared or heat energy.
Just as natural sunlight can damage sensitive objects or overheat a space, the radiant heat or UV
given off by the artificial light source we select may produce unwanted results.
Slide 8
There is no strict definition of white light. Natural daylight has different characteristics depending
on season, exposures, and time of day.
In the natural world, sunlight is actually a combination of all the visible colors, as demonstrated by
a prism. This graph, called a spectral power distribution, shows the relative amounts of color
energy in three forms of daylight. Note that this spectral power distribution has a very smooth,
continuous curve, without gaps or deep valleys, indicating perfect color rendering. The K stands
for Kelvin, a temperature scale that describes the warmth or coolness of the white light's color.
Slide 9
Natural daylight and incandescent sources contain all the colors of the visible spectrum, but their
combination results in the sensation of white light.
Fluorescent, metal halide, and some LEDs trick the eye into seeing white light, by using only
lights primary colors: Red, green, and blue.
Typically, these abbreviated versions of white light will render color less naturally than daylight
or an incandescent source.
By manipulating the relative amounts of red, green and blue energy in an artificial light source, we
can control its whiteness, or color temperature, defined by Kelvin. More red produces a warmer
quality; conversely, more blue and green energy in a white light source results in a cooler
appearance.
Slide 10
Next, we will discuss two standard units of measure that allows us to discuss lights effect on
object color:
Color temperature and color rendition.
Color temperature defines whiteness.
Color rendition defines color accuracy.
Slide 11
The conventional way to describe the quality of whiteness of a light source is in Kelvin, a
temperature scale like Centigrade or Fahrenheit. A higher color temperature means hotter and
bluer; a lower Kelvin means cooler and yellower, correlating with the temperature and color of an
incandescent tungsten filament. Think of a golden yellow candle flame that is not nearly as hot as
the blue flame of a gas stove.
When we use Kelvin to describe the color of any non-incandescent light source, we call this
correlated color temperature (CCT), and refer to higher Kelvins as cooler and lower Kelvins as
warmer, because of their appearance, not their physical temperature.
Slide 12
Notice the difference in these two scenes, lit .with sources of different color temperature.
Slide 13
A higher temperature aids fine task work, such as reading or sewing, but may feel institutional.
Industrial facilities tend to use around 4100K for good rendition of detail, and in hospitals light of
4100K provides a clean appearance. Offices and schools generally use around 3500K. Retailers
tend to use lower color temperatures in low traffic areas, and higher color temperatures where
there is more traffic.
Commercial Facility Type
Typical Color Temperatures
Industrial
4100K for better detail
Hospital
4100K looks cleaner
Office or School
3500K is typical
Retail
Low traffic/lower K
High traffic/higher K
Slide 14
The combination of light source quality and illuminance level has psychological implications in
every culture. Although subjective, human perception is the determinant of lighting quality, with
specifications used as a guideline for illuminance and code compliance.
Slide 15
The Color Rendering Index (CRI) indicates color accuracy on a 0 to 100 scale.
We say that sunlight and tungsten filament lamps are 100 CRI because they are both
incandescent sources, exhibiting smooth, continuous spectral power distributions. Because nonincandescent sources usually use some form of RGB or phosphor conversion, their rendition of
color appears less natural than under daylight conditions with the same Kelvin temperature.
CRI values above 80 are considered high and are used for more color-critical environments, such
as art, displays, and retail environments. Higher CRI sources always carry a premium price. It
may be said that we choose the Kelvin, but we pay for the CRI.
Less color-critical environments, such as general office or industrial environments generally
operate in the 70s, and historically even lower, if efficacy is the primary criterion.
Color rendition is meaningful only relative to its color temperature. The same room will look
dramatically different on a cloudy day than lit with candles at night, yet both are 100 CRI
incandescent sources. Although color is a sensation and subjective in nature, most people prefer
high CRI surroundings.
Slide 16
Color rendering requirements depend on the task and environment. Color-critical applications
usually call for the highest CRI available, adding significant cost, yet are considered part of the
price of doing business. This table describes common applications and types of lighting for
various CRI levels.
Slide 17
CRI does not indicate what any specific color will look like because it is a composite score. Eight
different colors rendered by the tested source are compared to their rendering under a tungsten
reference source. Some colors might be rendered very well, others poorly, but the end result is a
single numberan average.
Slide 18
Although we define these characteristics numerically, their effects are subjective and highly
emotive. Color quality is equally as important as lights measured amount. Imagine going to an
upscale gourmet restaurant lit with Cool White fluorescent, or a pharmacy lit like a neighborhood
tavern. Light informs and communicates at many levels.
Slide 19
Next well continue with the language of light. These terms and their definitions allow us to
communicate very effectively and specifically about something elusive and intangible. You may
also use the Glossary of Terms provided at the top of the screen.
Slide 20
Lamps, also called light bulbs, light sources, and light globes, produce visible light and invisible
infrared energy known as heat. Additionally, some lamps produce considerable amounts of
ultraviolet energy; others very little. Lamps consume a specific wattage at a specific voltage or
range of voltages.
The lamp is the key determinant of the amount, quality, and distribution of light within the space.
Slide 21
The luminaire is the lamp in a fixture, and all the auxiliary gear that helps it do its job. Reflectors,
diffusers, current regulating devices, and mounting hardware are all part of the luminaire. Think of
the luminaire as a car and the lamp as its engine. Choosing an appropriate luminaire, placing it
correctly, and controlling it are the basis of any lighting project.
Slide 22
Luminous flux is the flow rate of light, similar to gallons or litres per minute. Luminous flux is raw
volume, indicating nothing about quality or distribution, just as water volume per minute tells us
nothing about pressure or its quality.
Slide 23
Luminous flux is measured in lumens. The technical definition of a lumen incorporates some
complex terms related to the geometry of a sphere. A simple way to think about it is to imagine a
candle that emits light in all directions. That candle emits about 12.5 lumens.
It may be difficult to imagine lumens flowing from a light source, but lumens are very useful for
comparisons. We can use a lamp manufacturers catalog to compare the lumen output of one
lamp to another, or compare the ratios of lumens per watt for different lamps. This ratio of lumens
per watt is called efficacy, analogous to miles per gallon or kilometers per liter. Efficacy is not a
unit of measure. It is the ratio of two different units of measure to each other.
Slide 24
Intensity is how we describe lights directional force, similar to water pressure coming from a hose.
In addition to luminous flux, intensity also affects how much light arrives at a surface.
Slide 25
Candelas are the units that we use to measure lights intensity. Like the lumen, the candela is
based on the output of a candle flame. Lamp manufacturers publish Center Beam Candle Power,
or CBCP, indicating the directional force of lamps with integral reflectors. As we deviate from the
aiming axis of the lamp, the candelas, or candlepower, decrease. Center Beam Candle Power
indicates the intensity at its maximum point, and like lumens, can be useful for lamp to lamp
comparisons.
Slide 26
If both sources produce the same lumens, which would have greater intensity? The lamp on the
left, of course. With the same amount of lumens crowded into a tighter beam, directional force will
increase, just as pressure increases when the same amount of water is forced through a much
smaller pipe.
Slide 27
Illuminance is light arriving at a surface. If we think of lumens as particles of light, instead of the
time/rate flow of these particles, then we can visualize illuminance as lumens landing on a
surface. Illuminance cannot be seen, only measured.
Slide 28
The measurement of illuminance in SI units is the lux. Using our lumen as particle analogy, the
occurrence of one lumen arriving on one square meter is termed 1 lux. Five lumens arriving on
one square meter would give us 5 lux. One might also say, illuminance per unit area, without
indicating US or international systems.
Slide 29
The measurement of illuminance in the US is the footcandle. Using our lumen as particle
analogy, the occurrence of one lumen arriving on one square foot is termed a footcandle. Five
lumens arriving on one square foot would give us 5 footcandles. Typical conversion for
footcandles is lux divided by 10, but the exact calculation should be lux divided by 10.76.
Slide 30
So, how do all of these measurements relate? Looking at the illustration, imagine the clouds as
luminaires. Lumens fall like raindrops from the clouds, sometimes with the intensity of a
downpour, others times like a mild shower. The intensity of the rainfall determines the amount of
raindrops landing on the pavement. Light density, measured in lux or footcandles, is analogous to
the depth of the puddles.
Slide 31
Lets assume that both of these lamps produce the same amount of lumens. But the one on the
left has greater directional force, applying more light to a horizontal surface, per unit area. One
might choose a narrow distribution with high intensity for task or accent lighting, as depicted on
the left, or a broader distribution with lower intensity for a cafeteria, as shown on the right.
Slide 32
Most commercial lighting designs require a certain amount of footcandles or lux on a surface, and
we use lumens and candelas to solve the equation. Lighting calculations will be covered later in
this series of classes, but understand that lumen and candela values are supplied by the lamp
and/or the luminaire manufacturer.
Slide 33
A key concept in lighting calculations, lamp, and fixture design, reflectance occurs all around us
in a lamp or fixture, and on a larger scale among the objects and surfaces of a room. Reflectance
is not related to lighting quality. It indicates only the percent of light that bounces off a surface.
Slide 34
Put simply, reflectance is the ratio of lumens arriving at a surface to lumens leaving that surface.
Although the measured footcandle or lux value for light arriving on a black rubber stair covering
and a white marble stair might be the same, the reflected light from the rubber may only be 8
percent compared to 80 percent for the marble; a possible safety issue for a user. This is why
lighting practitioners must have a thorough knowledge of the materials and surfaces in the
designed environment. The study of lighting calculations will show that room surface reflectances
have a dramatic impact on the amount of light delivered to critical surfaces.
Slide 35
Here are some examples of standard defaults for reflectances in commercial interiors in North
America. They are 80/50/20 for ceiling, walls, and floor, respectively. In other countries, these
standards may differ. Any calculation summary should state the reflectance values provided or
the default values used, as these are a major determinant in the results. It is always best not to
assume.
Slide 36
Luminance is the directional intensity of light exiting a surface, per unit area. Unlike reflectance,
which states the percentage of light that leaves a surface, luminance accounts for intensity and
angle of view, which are critical for determining issues with glare.
Slide 37
Luminance values are measured in candela per square meter, in both SI units and US customary
units. These values are difficult to measure in the field, but are typically part of a photometric
report, indicating relative brightness of a luminaire at different viewing angles.
Degrees
Average
Luminance
45
26,500
55
1,530
65
75
85
Slide 38
Reflectance tells us about the property of an object, whereas luminance describes the intensity of
light coming from an object viewed at a specific angle.
Slide 39
Brightness is a human sensation generated from the brains response to luminance. Like all
sensations, it is subjective, and there is no measurement for it. Brightness is affected by an
objects relative size in the visual field, its contrast with its surroundings, and the eyes state of
adaptation over time.
Slide 40
When brightness is excessive, we experience glare. Luminance expressed in candelas per
square meter is our best indication of glare, but the human context is missing. It does not account
for surroundings, object size, or the eyes state of adaptation. There are three types of glare:
discomfort, disability, and veiling reflection.
Slide 41
Discomfort glare could be described as a visual annoyance, such as the occasional flash of light
from an exposed lamp if viewed from a specific angle. Disability glare is more severe and
constant, often the result of uncontrolled daylight and a poor viewing angle.
Veiling reflection could be light reflected from a shiny magazine page that prevents us from
reading the print. You could change the angle of the magazine to redirect the unwanted reflection
away from your eyes. During the 1990s, lensed fluorescent luminaires reflected in CRT screens
caused new recommendations to be written and followed by manufacturers and professional
lighting practitioners.
Slide 42
Glare might also be defined as excessive contrast between an object, often the luminaire, and its
surroundings. This excessive contrast might be caused by direct sunlight, exposed lamps,
improper luminaire selection, poor luminaire location, or poor viewing angle.
Slide 43
Practical solutions to glare can include window treatments, diffuse or darker finish reflectors and
indirect lighting. With todays emphasis on integrating daylight into interior environments, sensors
and controls are needed now more than ever to prevent glare and overheating at certain times of
day.
Slide 44
In this course, we saw that natural daylight and non-incandescent light sources contain all the
colors of the visible spectrum, but their combination results in the sensation of white light.
Specifically, we reviewed:
The impact of non-incandescent light sources, which can trick the eye into seeing white
light by combining primary colors.
Color temperature defines whiteness of a light source.
Color rendering Index indicates color accuracy.
Key terms, including lamp, luminaire, luminous flux, illuminance, reflectance, luminance,
brightness, and glare.
Slide 45
Lighting III: Lamp Families: Incandescent and Low Pressure Discharge Course Transcript
Slide 1
Welcome to the Lighting III: Lamp Families: Incandescent and Low Pressure Discharge class.
Slide 2
For the best viewing results we recommend that you maximize your browser window now. The
controls may disrupt the normal play of the course. Click the notes tab to read a transcript of the
narration.
Slide 3
By the end of this class you will be able to:
Identify the main characteristics of incandescent lamps, including halogen lamps.
Identify the main characteristics of low-pressure discharge lamps, especially fluorescent
lamps.
Explain the function of a ballast and the impact of the ballast factor.
Identify the importance of the power factor in lighting systems.
Slide 4
At the heart of lighting performance is the lamp or light source. Lamps are the key determinant in
the amount, quality, and distribution of light from a luminaire. Additionally, power consumption,
maintenance and life cycle are lamp characteristics a facility owner will live with long after the
initial purchase is made.
Slide 5
The four basic lamp families are:
Incandescent: The mainstay of residential lighting includes the popular "A" lamp, as well
as line voltage and low voltage halogen lamps
Low pressure discharge: This category includes linear and compact fluorescent, low
pressure sodium, and induction lamps
High intensity discharge (HID): This class includes high pressure sodium (HPS), metal
halide (MH), and Mercury Vapor lamps often used in industrial and exterior lighting.
Light-emitting diode (LED): This tiny, light-emitting semi-conductor is the future of energyefficient lighting.
We will review each of these families for appropriate selection, operating characteristics, and
efficiency.
Slide 6
When we speak of lighting performance, we typically mean its amount, quality and distribution.
When we speak of lighting cost issues, we consider the wattage and the operating hours to obtain
the kilowatt hours used, as well as the lamp's useful life, which determine operational costs and
maintenance cycle.
kilowatt-hours
Slide 7
Raw light output, or lamp lumens for any light source will depreciate over time. Lamp
manufacturers publish initial lumens and mean lumens, based on "lumen maintenance," the
percent of lumens remaining at approximately mid life. Depending on the type of lamp "mid-life"
might be defined as 40 percent or 50 percent of rated lamp life.
LEDs are evaluated differently, with 30 percent lumen depreciation considered to be the end of
useful life.
Slide 8
Another way to reference light losses over time is "lumen depreciation", the opposite of lumen
maintenance. What percentage of lumens have we lost by mid-life? Often, mean lumens
determine if a system is worthwhile. Since lamp wattage remains constant, the consumer gets
less light per watt as the system ages.
Additionally, depreciating light levels can have serious safety consequences in an industrial
environment if mean lumens are not factored into the design. Newer technologies, like
programmed start fluorescent, pulse start metal halide, and LEDs have much better lumen
maintenance and mortality data than their predecessors.
Slide 9
These are lumen maintenance curves for today's prevailing lamp technologies. While not
representative of any specific lamp type, the data represent the general trend for each lamp
category. Rather than using lumen maintenance as a sole criterion for source selection, the mean
lumens should be used to refine one's search after an appropriate technology has been selected.
Slide 10
Like any published performance data, lamp performance data is collected under ideal laboratory
conditions, and often doesn't reflect real field conditions. But because there are well-established
standards for collecting and publishing lamp performance data, it is fairly easy to compare the
performance of similar lamps tested under the same conditions.
Slide 11
The following protocol is used by lamp manufacturers around the world, although there may be
some exceptions. Lamp testing begins with 100 lamps. The lamp life trend is 50% of the lamps
will fail before the published life, and 50% will last longer.
Incandescent lamps are burned continuously, which means that field performance will
always be shorter if cycled on and off.
Fluorescent lamps are cycled off for 20 minutes every 3 hours, which means that field
performance will usually be longer in a commercial application, where 12-hour cycles are
common.
High pressure sodium and metal halide lamps have a longer, more realistic 10-hour cycle,
but are tested with magnetic ballasts, not indicating the extended life obtained with
today's electronic ballasts.
Type of Lamp
Cycle Frequency
Result of Testing
Incandescent
Continuous burning
Field performance will

always be shorter if
cycled on and off
High Pressure sodium

and metal halide
10-hour cycle
Tested with magnetic

ballasts, not indicating
the extended life
obtained with todays
electronic ballasts
Slide 12
Lamp life is determined when the 50th lamp burns out. So theoretically, in the field half the lamps
will burn out before the rated life is reached, and half the lamps will exceed the rated life.
Slide 13
Rather than published hourly life, consumers and facility owners are concerned about calendar
life. A control strategy that regulates the length and frequency of lighting cycles increases lamp
calendar life and improves energy savings by eliminating wasted burning hours.
Slide 14
The industry ideal for LED luminaires is 70 percent lumen maintenance at 50,000 hours. Since
LEDs do not fail catastrophically, they might continue to perform at diminishing levels for up to
100,000 hours, but 30 percent lumen depreciation is considered the end of useful life. This ideal
can only be achieved with high quality components and adequate heat dissipation. The popularity
of LEDs has resulted in a plethora of inferior products. Always choose LED products tested to
standards such as those of the International Electrotechnical Commission (IEC) or the

Illuminating Engineering Society's LM-80 standard.
Because the standards are recent, for example, the IES standard was initiated in 2009, no LED
luminaires have burned long enough to ensure the test's accuracy, but these standards are one
way to screen for manufacturers that are committed to quality products, and are willing to back
them up.
Slide 15
Lamp efficacy, or lumens per watt, is useful when comparing different light sources. It is
analogous to miles per gallon or kilometres per litre of fuel. How much light output is available
relative to power consumption?
Slide 16
This chart compares the efficacy of some commonly used lamp families. However, it is best to
compare light sources with similar characteristics when comparing efficacy. For example, the
efficacy of a compact fluorescent should never be compared with that of a halogen reflector lamp.
The halogen lamp gives more intensity on a limited area, versus the Compact Fluorescent Lamp,
or CFL, which gives broad coverage with very low intensity. Each has its own application.
Slide 17
Essentially, all lighting energy codes and standards are based on lighting power density, or LPD,
referencing watts per square foot or metre. Generally, higher efficacy lamps help reduce the
lighting power density, while lower efficacy lamps will increase the LPD. But that's not the whole
story.
Slide 18
Luminaire efficiency tells us the percent of lumens that actually leave the fixture. Remember that
the luminaire is a system. Like lumen depreciation, luminaire efficiency is another multiplier that
helps us determine the amount of useful lumens we get. Beware of very high efficiency numbers.
Broader apertures and exposed lamps without shielding exhibit high efficiency, similar to an
exposed A-lamp, which is 100 percent efficient. If the lighting system is glary or unpleasant,
workers will be less productive, resulting in a net increase in operational costs per square foot.
Well-designed luminaires strike a balance between efficiency and control.
Slide 19
Let's look at each of the lamp families in turn, starting with incandescent.
When an electrical current is applied to the finely coiled tungsten filament of an incandescent
lamp, resistance produces some visible light but mostly heat. Think of the glowing wires in your
toaster!
Slide 20
Notice that the spectral power distribution of incandescent light is similar to daylight, containing all
colors. While very smooth and continuous, it is very unbalanced and lacks the emphasis on short
wavelength blue energy that we see in daylight. Tungsten filament sources can vary in Kelvins,
from 2700 for low wattage incandescent, to 3200 for high wattage halogen, but all will decline in
color temperature as they are dimmed, unlike any ballasted source.
Slide 21
All lamp measurements are based on one-eighth-inch increments. Generally watts are stated first,
followed by shape, and then size in eighths of an inch. The measurement is taken across the
widest diameter of the lamp. In this case, the widest diameter is 19 eighths across the glass bulb
of this A lamp.
Slide 22
Reflector lamps come in various sizes and wattages. They have very basic optical systems that
push light forward and are usually available in spot or flood distributions, indicating narrow or
wide beams, respectively. The BR30 lamp is a very popular residential lamp that is often replaced
with a PAR30 halogen lamp.
Slide 23
While efficacy is poor, incandescent lamps have multiple advantages and it is hard to beat them
for sheer versatility. Different wattages and shapes can screw into the same socket to address
changing application requirements. Their initial cost is low, and they have excellent color rendition.
They can be easily and inexpensively dimmed, which increases lamp life. Lamps dimmed to 90
percent of their rated voltage will yield 30 percent less light at almost four times the life.
These lamps are not temperature sensitive so they can be used in cold and warm environments.
They turn on instantly and are a popular light source for residential use.
Slide 24
But short life and high cost of ownership make incandescent impractical for commercial
applications, where long burning hours would increase maintenance, watts per unit area, energy
and air conditioning costs. As we saw, these lamps generate mostly heat, and hence have low
efficacy. Some countries are prohibiting the sale of these lamps in order to promote more efficient
alternatives. They are also sensitive to vibration, which makes them a poor choice in industrial
settings.
Slide 25
Because halogen uses a coiled tungsten filament, it is considered part of the incandescent family.
The filament is encapsulated by an envelope filled with a halogen gas. Its small quartz glass
envelope holds heat in, causing the filament to burn hotter, whiter, and brighter. The result is a
smaller, higher efficacy lamp with better optical control, due to the decreased filament size.
Slide 26
Halogen's longer life, up to 6000 hours for some low-voltage types, can be attributed to a
molecular "self-cleaning" mechanism within the capsule. Tungsten atoms boil off the filament,
bond with halogen molecules that return them to the filament. Typical halogen life is 2,0003,000
hours, which is improved with dimming.
Slide 27
The halogen PAR or parabolic aluminized reflector is a popular halogen lamp. The smaller
halogen capsule is placed inside a weather-proof envelope that incorporates a reflector and
diffuser. Halogen PAR lamps are available in a wider variety of sizes, wattages, and beam
spreads than incandescent reflector lamps. Besides higher efficacy, the halogen PAR's smaller
filament and more sophisticated optical system make it more "optically efficient" than
incandescent, that is, they put more light on the target.
Slide 28
Here are three common PAR lamp sizes, at 20, 30, and 38 eighths of an inch in diameter.
Slide 29
T style halogens with exposed tubes should never be touched or installed with bare fingers.
Finger prints leave oils that cause early burnout. These lamps operate in fixtures that incorporate
a protective lens, in the rare event that the high pressure capsule should explode, injuring
occupants or starting a fire.
Slide 30
Optical efficiency is maximized in low voltage halogen, which features tiny filaments, some with
very sophisticated reflectors. Nothing can match the pinpoint accuracy of low voltage halogen
lamps for dramatic accent or task applications that require light only on the target without overspill.
Like line voltage halogen, the filament capsule, while often covered, should never be touched or
exposed.
Slide 31
Compared to non-halogen incandescent, halogen offers some distinct advantages:
Higher efficacy than non-halogen incandescent
Better optical control due to a smaller "coiled coil" filament design
Longer life due to the halogen regenerative cycle
Smaller
Whiter light
However, the disadvantages are the same as for regular incandescent lamps. Although efficacy
and life are improved, they are still far from ideal.
When compared to standard incandescent, these lamps are much more expensive. Because of
their higher burning temperature and smaller quartz envelope, surface temperatures of the
capsule and luminaire are very high, increasing air conditioning costs in retail settings, where they
are often used in great quantity.
Halogen lamps are used primarily in residential, theatrical, and sparingly in high-end retail
applications, codes permitting.
Slide 32
Now let's move on to the next lamp family, the fluorescent lamps.
Fluorescent lamps use phosphor conversion to create red, green and blue light. In fluorescent
technology, a low pressure mercury arc produces invisible ultra violet energy. Phosphor
conversion takes place when rare earth phosphors applied to the inside of the bulb are stimulated
by ultraviolet light to produce visible light.
Slide 33
The visible light produced by the phosphors peaks at red, green and blue wavelengths.
Depending on the selection and relative amount of each different rare earth phosphor, many
variations of white light can be produced.
Phosphor
Visible Light
Ultraviolet
Radiation
Cathode
Arc Discharge
Mercury Atom
Slide 34
Here we see the spectral power distribution of Cool White fluorescent. Note that its distribution
has large peaks and valleys, as opposed to the continuous curves of daylight and incandescent.
It is the deep valleys, particularly the lack of red above 650 nanometres, that renders colors dull
and cold.
Slide 35
Fluorescent lamps require a current-regulating ballast, which converts the line voltage to the
proper voltage, frequency and current for a specific lamp. Fluorescent systems offer a wide range
of color temperaturesmeasured in Kelvinsand Color Rendering Index, or CRI. Long life, high
efficacy and high lumen maintenance make fluorescent the most popular lamp source for
commercial projects, worldwide. Fluorescent lamps are sensitive to ambient temperatures, and
some may not be usable in cold environments. While higher CRI requirements always add cost,
understand that most high CRI fluorescents also offer higher efficacies.
Slide 36
While fluorescent luminaires come in almost as many varieties as there are applications, never
assume it to be a cure-all or automatic substitution. Many environments require a point source for
well defined shadows, from fine dining to paint inspection, such as metal halide, halogen or LED.
Being diffuse by nature, fluorescent washes out shadows that show minor textural variations. This
"flatness" epitomizes the grim stereotype of environments that feel "institutional."
Slide 37
Fluorescent color nomenclature is based on a three-digit numerical code, the first digit indicates
CRI8 for CRI in the 80s, 9 for CRI in the 90s, etc. The second two digits indicate the color
temperature: 30 for 3000 Kelvin, 41 for 4100 Kelvin, etc. Lamp manufacturers sometimes use
variations of this system.
Slide 38
The identifier of a fluorescent lamp is made up of several parts:
Type of lamp + rated nominal wattage + shape + diameter.
The type of lamp is F, for fluorescent.
Like other glass lamp "bulbs", fluorescent tubes are indicated by T for tube.
The diameter is given in eighths of an inch.
For example, an F30T12 lamp is a fluorescent lamp, rated at 30 watts, with a tubular shape, and
12 eighths of an inch in diameter.
There may be other letters at the end of the identifier to indicate the color and mode of starting.
We'll see more about starting later.
Unfortunately, these rules are not always followed exactly. For example, there is a lamp identified
as F96T12HO, which is 96 inches long but uses 110 watts. So it's best to check the specification
to be certain.
Slide 39
Because the lamp size and base must match the fixture, lamps usually cannot be installed in a
fixture with incompatible ballasts.
Slide 40
Sometimes more energy efficient lamps are manufactured for compatibility with existing ballasts.
But in the case of T5 and T5HO lamps, their smaller diameter, metric length, and different base
prohibit retrofits in older generation fixtures.
Slide 41
Compact fluorescent lamps, or CFLs, have become today's replacement for incandescent A
lamps for most commercial applications. The length has shortened and the number of tubes has
increased to duplicate higher wattage lamps that can be concealed effectively in a round,
recessed aperture or in smaller decorative fixtures.
A 60-watt A lamp can be replaced by an 18-watt CFL, a 100-watt A lamp can be replaced with a
26-watt CFL, and a 150-watt A lamp can be replaced with a 32-watt CFL. "Smart" electronic
ballasts can power interchangeable 26-, 32-, and 42-watt CFLs at 120277 volts, improving
luminaire versatility. While CFLs cannot compete with linear tubes in efficacy, dimming ballast
options and high CRI provide a less institutional, high efficacy source for hotel and hospitality
areas, hallways, boardrooms, or wherever A lamps might be appropriate, but practicality prohibits
their use.
Slide 42
Despite its two-foot length, the high lumen biax is still considered "compact," because all
electrical contacts are at one end. Recessed two by two foot, two lamp, high-lumen biax fixtures
offer greater design flexibility than their two by four foot linear counterparts.
Slide 43
While screw-base CFLs do save energy, they are misused more often than not. Their medium
bases allow for use in fixtures intended for directional lamps and many other inappropriate
applications. Full life and light output are usually attained in open air, rather than an enclosure.
Base-up burning in an enclosure will reduce life and lumen output, because lamp heat rising to
the integral electronic ballast affects longevity and performance. Competitive pricing and a
broader range of color temperatures is available, making them an acceptable residential
alternative to A lamps, where low maintenance and energy saving is desired. Screw-based retrofit
lamps of any kind are usually not "code compliant" for commercial applications and generally do
not qualify for rebates or tax incentives that may be offered in various countries.
Slide 44
Spent fluorescents should be disposed of properly because they contain small amounts of
mercury. Although the amount of mercury has been reduced drastically over the years, most
fluorescent lamps should be recycled.
Slide 45
As previously stated, fluorescent is a system that requires a current-regulating device called a
ballast. The ballast starts the lamp with a high voltage pulse, and then regulates the current while
the system idles. Originally, all ballasts were of the electromagnetic type, also called magnetic.
This is the familiar heavy, bricklike component that gave fluorescent its stereotypical flicker and
hum. Today, most fluorescent fixtures use more compact electronic ballasts that cycle up to
60,000 times a second instead of 50 or 60, eliminating flicker and hum.
Slide 46
While magnetic ballasts are still used extensively in the HID market, energy code restrictions
have virtually eliminated magnetic fluorescent ballasts from commercial use. Their size, weight,
heat and higher wattage are disadvantages, which are sometimes overlooked because of low
initial cost.
Slide 47
Continuous improvement, energy savings, longer life and greater versatility have made
fluorescent electronic ballasts the industry standard. "Smart" technology enables one ballast to
drive lamps with different wattages, over a range of voltages, reducing component quantities for
manufacturers, distributors, and service providers.
Slide 48
A ballast can use three different starting methods to start the fluorescent lamp: Rapid Start,
Instant Start, and Programmed Start.
Fluorescent lamp starting circuits are of concern because they affect power consumption, lamp
life, and lamp lumen depreciation. Keep in mind that lamp life is less of a concern for continuous
burn or long cycles.
Phosphor
Visible Light
Ultraviolet
Radiation
Cathode
Arc Discharge Mercury Atom
Slide 49
Rapid Start is an older ballast technology, popular with T12 fluorescent lamps. A conference
room full of linear fluorescent luminaires that all start at slightly different times is an example of
Rapid Start ballasts. They consume an additional watt per socket, because cathodes, filamentlike starting coils at each end of the lamp, are continuously heated, rather than pulsed on and off
with each start. Rapid Start lamps have been promoted for occupancy-sensing systems with
frequent short cycles, but newer, more efficient alternatives exist.
Slide 50
Instant Start is a popular alternative with non-flickering starts and a savings of 2 watts per lamp,
compared to Rapid Start, as well as lower manufacturing costs. While Instant Start is harder on
the cathodes, 12-hour cycles diminish the wear compared to 3-hour testing cycles. Overall, lamp
life is 35 percent lower at 3 hours per start and 20 percent lower at 12 hours per start, compared
to the same lamps on a Programmed Start ballast.
Slide 51
Electronic Programmed Start is a "softer" start compared to Instant Start, resulting in less cathode
wear. While Programmed Start ballasts cost more than Instant Start, less cathode wear improves
lumen maintenance and increases lamp life. It is by far the most popular ballast type in Europe,
due to the prevalence of T5 lamps. Programmed Start lamps take longer to reach full output than
Instant Start.
In some countries, such as Australia and New Zealand, pre-heat starter circuits with a separate
glow-discharge starter or electronic starters are typical.
Slide 52
The ballast factor is the percentage of light output from a fluorescent lamp, compared to its
published lumens. Think of the ballast factor as you would luminaire efficiency. The fixture lumens
are always lower than the bare lamp lumens. Similarly, because fluorescent lamp testing is done
under ideal conditions with a hand-made reference ballast, the ballast factor for published lamp
lumens is always 1.0. In almost every case, lumens from a production ballast will be less,
sometimes considerably less, as in competitively priced home center products for residential use,
which could be as low as 0.7. A ballast factor of 0.7 means that both the published lumen output
and the wattage of the lamp would be reduced by 30 percent.
Typically, the ballast factor for commercial fluorescent is 0.88 for a four-foot linear fluorescent and
higher, up to 0.95 for four-pin CFLs and linear T5s. The ballast factor is obtained from the ballast
manufacturer catalog, which publishes system wattage for a specific ballast and lamp type. A
whole science has developed around the manipulation of four-foot fluorescent systems,
combining different wattages and lumen packages with different ballast factors to yield specific
output and lamp life, depending on the application. This information is highly detailed and will not
be addressed at this time.
The lamp and its ballast must always be considered together when calculating the lumen output
of the lamp.
Slide 53
Let's study a typical example of ballast factor. Imagine a two-lamp fluorescent system comprising
F32T8 lamps with an electronic Instant Start ballast.
From the lamp type "F32", we know that these are rated as 32-watt lamps.
The manufacturer data tells us the lamps are rated at 2,850 lumens.
The ballast factor is given as 0.88 and this particular ballast consumes 3 watts.
How many lumens will each lamp produce?
The formula for determining the number of lumens each lamp produces is:
Rated lumens per lamp * ballast factor = produced lumens per lamp.
Therefore,
2,850 lumens per lamp * 0.88 = 2,500 lumens per lamp.
The two lamps together were rated at 5,700 lumens, but taking the ballast factor into account,
they will produce 5,000 lumens, which is 700 fewer initial lumens than published for the pair.
What is the power consumption of the system?
These two lamps were rated at 32 watts a piece, so you would expect them to consume 64 watts.
With the 0.88 ballast factor, two 32-watt T8 Instant Start lamps use only 56 watts, with an
additional 3 watts consumed by the ballast, for a total of 59 watts.
What can lighting practitioners do to accommodate for ballast factor?
While fixture manufacturers publish luminaire efficiency, it is up to the lighting practitioner to
appropriately de-rate for this inherent loss. Ballast factor has little effect on luminous efficacy,
which stays relatively constant with the input wattage. The lamp will produce fewer lumens, but
the same lumens per watt.
What is the impact of using a lamp with a higher ballast factor?
Sometimes, fluorescent lamps might be overdriven by design with a higher ballast factor. The
same pair of 32-watt T8 lamps would then yield 6,840 lumens, compared to a typical 5,000
lumens with a production ballast, but with a system wattage of 73.
Slide 54
The Luminaire Efficacy Rating, or LER takes into account the system losses, showing a realistic
number for initial lumens. After deducting for ballast factor and fixture efficiency losses, the
remaining lumens are divided by the system wattage. LER helps us to evaluate system efficacy
for comparable luminaire types, but tells us nothing about lighting quality or distribution.
Luminaire Efficacy = Lamp lumens x BF x efficiency

Rating
Total system watts
System lumens per watt
Slide 55
Power factor is a concept in the supply of electrical power. You can learn more about it in our
class on Power Factor and Harmonics. Real power does work, such as moving the parts of an
engine or supplying energy to a lamp. It is measured in watts. Reactive power is required to
maintain magnetic fields. Apparent power is the combination of the two. It is measured in voltamps, also called VA.
If your building contains a lot of equipment that requires reactive power, then the total power
supplied by the power company will be greater. A power factor of 1 indicates that there is no
reactive power consumption. Power factors less than 0.9 indicate reactive power consumption at
a significant level, and may attract penalties from the power company in the form of additional
charges on the energy bill.
Slide 56
Electronic ballasts typically have a power factor rated as HPF, or high power factor, of 0.9 or
greater.
Cheaper, low-wattage magnetic ballasts typically have power factors rated as normal power
factor, or NPF, between 0.4 and 0.6, or low power factors, or LPF, which can be as low as 0.25.
The apparent power consumption is given by real power divided by the power factor.
A 16-watt device with a power factor of 1 consumes 16 VA of apparent power. There is no
increase in the apparent power due to the power factor.
However, if the power factor is 0.25, the apparent power consumption will be 16/0.25 = 64 VA.
Slide 57
The power factor of the ballasts in a building will combine with that of all the other equipment in
the building to yield the total power factor of the site. So if lighting is a small consumer, its power
factor may not matter very much. But on sites with considerable lighting loads, or multiple pieces
of equipment with a low power factor, the total power factor matters because it may result in utility
penalties of non-compliance with energy codes.
Also, with a high power factor, more luminaires can be added to a single circuit breaker. Lower
power factors are more likely to lead to nuisance tripping, where the circuit breaker breaks the
circuit in response to a detected condition on the power line.
Slide 58
Fluorescent lighting is the most popular commercial light source for a very good reason.
Continuous research and development have made today's fluorescent systems competitive with a
high intensity discharge in life and efficacy, without delays for warm-up and hot restrikes. Unlike
incandescent sources, they produce comparatively little heat, and are available in a wide range of
correlated color temperatures and CRIs. With energy codes trending toward lower watts per unit
area, fluorescent is an attractive choice for many interior commercial environments, especially
considering its relatively low initial cost.
Slide 59
Fluorescent has very few drawbacks, but sensitivity to heat and cold is one. Ambient temperature
can affect light output significantly, and luminaire durability in a heavy industrial environment is
questionable. Fluorescent luminaires are best used in controlled interior environments.
Slide 60
You may also hear about induction lamps. They are a type of fluorescent lamp without electrodes.
They are composed of a glass enclosure containing gases and phosphor coating, a highfrequency power generator, and a coupling device to produce a magnetic field. Its main
advantages are long lamp life (because of the absence of the electrodes) and a relatively
compact package that generates a substantial amount of light for its size. The chief drawback is
the high installation cost. However, if maintenance costs are high, this type of lighting can be
cost-effective.
High-wattage induction lamps (55 to 165 watts) offer very long life (up to 100,000 hours)
and therefore may be a good choice when relamping is costly, difficult, or hazardous,
such as for high-ceilinged spaces like mall atriums and for roadways such as bridges,
tunnels, and underpasses, as well as for signs.
Low-wattage induction lamps (20 and 23 watts) may be used as direct replacements for
medium-base incandescent and compact fluorescent lamps. They offer efficacies of
about 50 lumens per watt, CRIs in the 80s, and an expected life of 15,000 hours.
Slide 61
Low pressure sodium, or LPS, is another lamp in the low pressure discharge family. It offers the
highest initial efficacy of all lamps in the market today, ranging from 100 to 180 lumens per watt. It
also has the longest lamp life. However, because all of the LPS output is in the yellow portion of
the visible spectrum, it produces extremely poor and unattractive color rendition. Control of this
source is more difficult than HID sources because of the large size of the arc tube. The average
life of low pressure sodium lamps is 18,000 hours. It is available in ratings of 35180 W.
While lumen maintenance through life is good with LPS, there is an offsetting increase in lamp
watts that reduces the efficiency of this lamp type with use. It is mostly used for outdoor lighting
sites, such as highways, harbors, and marshalling yards. Specialty applications of low pressure
sodium include lighting around observatories, where "sky glow" of a specific frequency is easily
filtered out for better visibility. Additionally, it is common practice to use LPS in natural coastal
areas where metal halide will attract sea turtle hatchlings toward the roadway instead of the
ocean.
Slide 62
Lets review what we have learned in this class
The four lamp families are:
Incandescent
Low pressure discharge lamps
High pressure discharge lamps
And LEDs
The incandescent lamps also include halogen lamps.
Low pressure discharge lamps include fluorescent and low pressure sodium.
When selecting lamps we should consider:
The amount of needed light

The quality of needed light, defined by color temperature and color rendering index
The required distribution of light, focused or diffuse
The energy consumption
The life of the lamps, in terms of lamp failure, or lumen maintenance
We looked at the efficacy of lamps, defined in lumens per watt and also considered luminaire
efficiency.
We looked at the function of a ballast and the impact of ballast factor and power factor.
We studied the characteristics of incandescent lamps and low pressure discharge lamps, such as
fluorescent.
Incandescent lamps have low efficacy and are generally candidates for replacement by
compact fluorescent or metal halide lamps.
Older fluorescent lamps are less efficient and may be candidates for replacement with
newer, higher efficiency fluorescent lamps.
Slide 63
Lighting IV: Basic Lamp Families: High-Intensity Discharge

Course Transcript
Slide 1
Welcome to the Lighting IV: Basic Lamp Families: High-Intensity Discharge and LED class.
Slide 2
For the best viewing results we recommend that you maximize your browser window now. The
controls may disrupt the normal play of the course. Click the notes tab to read a transcript of the
narration.
.
Slide 3
At the heart of lighting performance is the lamp or light source. Lamps are the key determinant in
the amount, quality, and distribution of light from a luminaire. Additionally, power consumption,
maintenance, and life cycle are lamp characteristics a facility owner will live with long after the
initial purchase is made.
By the end of this class, you will be able to:
Identify the main characteristics of high-pressure lamps, especially Metal Halide lamps.
Identify the main characteristics of light-emitting diodes, or LEDs.
List the different methods of starting high-pressure discharge lamps, and the
disadvantages of long strike and re-strike times.
Slide 4
Let's start with a recap of the four basic lamp families. They are:
incandescent lamps, which includes halogen
low pressure discharge lamps, which includes fluorescent
high intensity discharge, which we will look at next,
and LEDs.
Slide 5
The next family is HID, or High-Intensity Discharge. This family includes Metal Halide, HighPressure Sodium lamps, and Mercury Vapor lamps.
High-Intensity Discharge is similar to linear fluorescent in that both require a ballast and deliver
high lumens per watt. Historically, HID lamps have been manufactured in high wattages for sports
stadiums, interior industrial facilities, and roadway and site lighting. More recently, smaller,
electronically ballasted versions with higher color rendering have made Metal Halide a viable
code-compliant replacement for halogen in todays retail sector. Unlike fluorescent, HID lamps
are a point source, creating shadows and rendering details that are washed out by fluorescent.
Slide 6
Mercury Vapor was invented in the late 1930s, just prior to fluorescent. A poor CRI of 17,
greenish color, and very high lumen depreciation, coupled with ever-increasing energy
restrictions have made this source obsolete for commercial applications.
Slide 7
In the 1960s, High-Pressure Sodium was introduced as the modern alternative to Mercury. Very
high efficacy, long life, and very good lumen maintenance made HPS the mainstay of commercial
and roadway lighting through the 1990s, but poor color rendering with a distinctly yellow light, and
human factors of diminished visual acuity and depth of field have caused a general trend toward
Metal Halide.
Slide 8
Besides roadway lighting, site lighting, and interior industrial environments, Metal Halide now
competes with fluorescent and halogen in high-end commercial and retail interiors.
Slide 9
A Metal Halide lamp uses a high-pressure mercury arc to vaporize salts, called halides. The
vaporized halides produce energy peaking in the red, green, and blue portions of the visible
spectrum. Just as daylight produces a full spectrum of colors that our brain interprets as white
light, the combined red, green, and blue energies from Metal Halide produce white light.
Sometimes only one halide is used to create a single saturated color for special applications.
Slide 10
Metal Halide offers the widest variety of sizes, shapes, wattages, color temperature choices and
CRI of any high-intensity discharge source.
Slide 11
Metal Halide systems can be classed into three technologies: those using magnetic probe start,
those using magnetic pulse start, and those using electronic start.
Slide 12
First well look at probe start. These systems are typically 450 watts, and composed of a 400watt lamp and a 50-watt ballast.
Originally, all Metal Halide systems over 150 watts used an older technology called probe start.
Probe start is characteristically slow starting; the lamp takes time to warm up and reach 90
percent of full output, which is known as the strike time. It can be as long as 15 minutes.
Additionally, when the lamp is turned off, it cannot be turned on again right away. It has to cool
first. The time for this to happen is known as the restrike time. Probe start systems are also
known for having a long restrike of 15 minutes or more. This makes them unsuitable for use with
occupancy sensors, and can require a backup lighting system in order to provide lighting
following brief power outages. If the lamp is started while its still hot, it can sometimes result in
nuisance tripping of circuit breakers, because of a high starting current. This effect can be
reduced by using fewer fixtures per circuit.
Poor lumen maintenance caused many facility owners to bypass newer Metal Halide systems and
replace it with fluorescent. While still popular in some countries because of the lower cost, some
energy codes prohibit its manufacture or import, allowing for only the relamping of existing
systems.
Magnetic Probe Start Metal Halide systems are worth thinking about because of the enormous
retrofit opportunities with newer pulse start or linear fluorescent systems.
Slide 13
Lumen depreciation is very high for probe start systems, because tungsten boil-off from the
starting electrodes occurs on every start.
Slide 14
With higher initial and maintained lumens, and better color characteristics than its probe start
predecessors, Pulse Start Metal Halide is todays alternative for high-output, point source
applications.
Like probe start, these systems are typically 450 watts, and composed of a 400-watt lamp and a
50-watt ballast.
A separate igniter component, absent from probe start systems, starts or restrikes a hot lamp
more quickly than a probe start system, without an increased current draw. Warm-up times can
be as low as 24 minutes and hot restrike times are reduced to 412 minutes. Variation occurs
with lamp type, wattage, and luminaire. Because tungsten boil-off occurs only under hot restrike
conditions, arc tube blackening that causes lumen depreciation is greatly reduced.
Slide 15
Although higher initial costs can be prohibitive, Electronic Pulse Start Metal Halide systems offer
tremendous advantages over Magnetic Pulse Start systems, particularly where lamp-to-lamp
color consistency and high CRI are desirable traits. Big box retail stores also benefit from the
quiet, high-frequency ballasts. Electronic pulse start systems are also very popular for lowwattage interior architectural and retail applications, where a lumen package much higher than
CFL can be achieved in a small recessed or adjustable luminaire.
Electronic pulse start incorporates an integral igniter. These lamps have faster warm up and hot
restrike.
At the end of lamp life, a component in an electronic pulse start ballast operates on the three
strikes rule. If the ballast attempts to strike the lamp three times unsuccessfully, then the ballast
shuts off the luminaire until the lamp is replaced to protect the ballast and prevent damage.
Older system types continue to attempt lamp strike, resulting in periodic cycling of the lamp,
which makes it difficult for maintenance personnel to spot burnouts. This periodic cycling can be
damaging to the ballast and can produce explosive end-of-life scenarios that are dangerous to
people and property.
Slide 16
Using a 400-W lamp for a baseline system comparison, electronic pulse start uses 35 watts less
per fixture, because the ballast is now just 15 watts instead of 50 watts. With much higher lumen
maintenance, fewer fixtures per job are required, and with field lamp life exceeding that published
with a magnetic ballast, maintenance is less frequent.
Slide 17
This is a lumen maintenance comparison for lamps typically used in industrial and warehouse
facilities. Although deceiving, because 100 percent represents a different lumen output for each
source, lumen maintenance tells the story of Metal Halide. The lowest yellow line represents
Probe Start Metal Halide, with almost 60 percent lumen depreciation over its rated life and then
improved with pulse start technology shown in blue, and electronic pulse start technology is
shown in red.
Slide 18
Arc tube rupture is a very uncommon occurrence in Metal Halide lamps, yet must be prevented.
The arc tube can explode, shattering the lamps outside jacket and projecting hot shards of glass
that could harm people or start fires. For this reason, some electrical codes prohibit unprotected
arc tubes in luminaires without protective enclosures to prevent this.
Slide 19
Here we see a protected arc tube on the left, with a quartz shroud surrounding the ceramic arc
tube to contain a rupture. On the right is a more traditional unprotected quartz arc tube that is still
found in older installations of open fixtures. Occasionally, a lamps outer jacket might break away
with the arc tube still burning intact. This is also a concern, because dangerous ultraviolet energy
from a bare arc tube can cause severe sunburn and permanent eye damage.
Slide 20
To prevent the insertion of an unprotected lamp in an open fixture, fixture manufacturers use a
pink socket with a recessed bottom contact, shielded by a raised ceramic stop. Only the extended
contact on the protected lamp will make proper contact and ignite the lamp. This socket is
required for open, that is, non-lensed fixtures where required by code.
Slide 21
Non-Protected Metal Halide lamps use a flatter contact, which cannot bypass the ceramic stop,
inhibiting lamp operation. Unprotected lamps can be physically screwed into these sockets and
are often thought to be defective, or the ballast inoperative.
Note that an unprotected socket can accommodate both protected and unprotected lamps.
Slide 22
Outside of safety issues, arc tube type will determine the lamps CRI. The ceramic arc tube on the
left typically has CRIs in the 80s or higher, with superior light output and color stability when
driven by an electronic pulse start ballast. The traditional quartz probe start arc tube in the center
usually has a CRI around 60, and the molded quartz arc tube on the right will typically have CRIs
in the 70s. An owner must decide if color quality is critical, desirable, or unimportant for the
activities in the facility, possibly affecting retail sales, color matching, or sorting activities.
Slide 23
Next, we will review some of the common Metal Halide shapes and sizes. Perhaps the most
common Metal Halide lamp is the 400-watt BT37. This lamp is typically used in industrial high
bay lighting, parking lot luminaires, and faade lighting applications. The bulge measures 37
eighths of an inch across its widest point.
Slide 24
The lower wattage ED17 lamp is approximately the size of a 100-watt A lamp, lending itself to
many updated luminaires that once used incandescent lamps. It is 17 eighths of an inch in
diameter and has a dimple or indentation in the top that is used to support the arc tube
mounting hardware. Some versions without the dimple are cataloged as E17, and both shapes
can be used interchangeably.
Slide 25
Metal Halide Parabolic Aluminized Reflector, or PAR, lamps were the first to incorporate high-CRI
ceramic arc tubes. Because their shape and size exactly match their halogen counterparts, these
lamps easily transitioned to retrofit into ballasted versions of familiar recessed and adjustable
luminaires. The hard glass envelope provides the required protection against arc tube rupture.
Easy maintenance with standard screw bases also can cause confusion: incorrect wattage, beam
spread, or substitution with halogen lamps are common maintenance mistakes, unless facility
management provides backup stock of the correct lamps.
Slide 26
Because the retail market was dominated by halogen for decades, there is a profusion of very
small low-wattage Metal Halide lamps in various shapes and sizes designed for PAR and MR16
applications. These are todays high-efficacy substitutions for the strict energy budget, and codedriven installations that require low watts per unit area.
Slide 27
In summary, Metal Halide is a mercury-based, high-pressure gaseous system, with halides
providing the essential red, green, and blue components in contrast to fluorescents low-pressure
mercury arc with RGB provided by phosphors.
It requires a ballast.
Metal Halide is todays highest efficacy point source, with high color rendering available for a
price. Large architectural spaces can be rendered accurately with appropriate detail and contrast,
compared with the flat, low-contrast environment that fluorescent creates. Temperature sensitivity
does not prohibit its use in interior or exterior environments.
Slide 28
While lamp and luminaire manufactures have taken the proper precautions to protect people from
exposed or ruptured arc tubes, an awareness of the dangers is important to the facility owner and
maintenance staff. Because Metal Halide contains mercury, proper disposal is required, as with
fluorescent. All lower wattage lamps and all ceramic arc lamps are pulse start. Many
electronically ballasted lamps with high color rendering are used for upscale commercial and
architectural installations. Because Metal Halide lamps have relatively long warm-up and hot
restrike times, occupancy sensors are not a practical strategy. While dimming is available, it is
expensive and not practical for most installations. If exterior parking controls are required by code,
then selective cycling with timers or daylight sensors is the typical strategy.
Slide 29
The last lamp family is light emitting diodes, or LEDs.
The heart of the LED is a miniature chip or semiconductor, commonly known as a die. LED chips
vary in size, and though larger LEDs are emerging as the technology develops, they are still often
very small, less than 1 square mm and less than a thousandth of a square inch.
A single LED die is smaller than a pepper flake!
Look at a single LED die placed next to a pepper flake on a U.S. dime, which is smaller than a
one yuan coin and a little bigger than 1 euro cent. It's hard to imagine that something this small
holds the key to future lighting technology.
Let's look at the construction of an LED die.
Slide 30
A die consists of positively and negatively charged layers of crystalline material deposited onto an
inert substrateusually sapphirein a laboratory process known as epitaxy. Miniature traces are
screened onto each layer to distribute electrical current across the die.
Slide 31
As the electricity flows between the negatively charged N layer and the positively charged P
layer, energy is released in the form of visible light, known as photons.
The color of the light produced depends on many factors including the amount of energy released
by the photons and the chemical composition of the crystalline materials forming the layers.
.
Slide 32
The photons emitted from a LED die are a monochromatic red, amber, yellow, green, or blue
color. It is important to understand that there is no such thing as a white LED die.
Slide 33
Because LED die can only produce monochromatic colored light, it needs to be converted to
white light for use in general lighting applications. The two most common methods for producing
white light are Red-Green-Blue Additive Color Mixing and Phosphor Conversion using blue LED
die.
Slide 34
Additive Color Mixing is most simply accomplished using red, green, and blue LEDs, which, when
combined, produce white light.
The main advantage of RGB Additive Color Mixing is the ability to create an infinite range of
colors by controlling the relative intensity of each color LED.
While ideally suited to color-changing applications, RGB is generally not practical for white light
architectural applications.
The red, green, and blue color spikes have a limited color spectrum that typically produces a low
color rendering index of below 50.
The relatively low efficacy of green LEDs limits the overall efficacy of an RGB package.
And, RGB systems are generally more costly and prone to greater color shift and lumen
depreciation as compared to phosphor conversion LED packages.
Slide 35
Today, Phosphor Conversion is the most efficient, cost-effective, and widely used method for
producing white light from LEDs.
Phosphor Conversion utilizes a highly efficient blue or ultraviolet die to excite a phosphor
coating to produce visible white light. This is done in much the same way that a fluorescent lamp
utilizes the ultraviolet radiation from an arc to excite the phosphor coating on the glass tube to
create visible white light.
Slide 36
Depending on the mix of phosphors used, different color temperatures can be achieved ranging
from a warm incandescent quality to a very cool daylight look. Because the LED die is blue,
cooler color temperature LEDs are inherently more efficient than warmer color temperature LEDs,
as less of the raw lumens from the die need to be converted by the phosphors.
Slide 37
As weve seen, Phosphor Conversion has advantages for white light applications when compared
to RGB Additive Color Mixing:
Phosphor Conversion produces higher color rendering.
Because blue LED die are more efficient than green, Phosphor Conversion is more
efficient at producing white light than RGB.
Phosphor Conversion is more cost-effective, as color mixing controls and extra wiring are
not required.
Color shift and lumen depreciation are not as severe as with RGB Additive Color Mixing
because using a single blue die eliminates the variability in these factors caused by the
different thermal and aging characteristics of red, green, and blue die.
One disadvantage compared to RGB is that both the color and the color temperature of the LED
is fixed.
Binning, or sorting, has become the most controversial aspect of the white LED market. Color
consistency, CRI, and light output can vary within a single wafer, so most phosphor-based, highpower white LEDs on the market today show significant color variations from one white LED to
another. The Lighting Research Centre comments that In side-by-side applications, such as wall
washers or in an LED array, this color variation may be noticeable and unpleasing. As white
LEDs make their way into the general illumination market, color consistency becomes critical for
acceptance.
Rather than changing LED manufacturing processes, color binning (i.e., sorting by color
appearance) is a more cost-effective option for creating white LED arrays with consistent color.
End users pay a premium cost for LEDs binned for consistency of their characteristics. But then
the question becomes: How much color variation can there be between similar white LEDs?
Standards have to define criteria for specifications to be meaningful.
Slide 38
To be useful, the LED die needs to be inserted into a package to allow it to receive electricity, to
draw heat away from it, and to efficiently gather and direct light through the phosphor coating to
allow it to produce white light. The package also helps to protect the die from the outside
environment.
Slide 39
There are a wide variety of LED package designs optimized for general lighting applications.
Each LED manufacturer uses different techniques to optimize efficiency, thermal conductivity,
longevity and manufacturing costs for various end-use applications.
Slide 40
The finished LED is typically mounted onto a printed circuit board, singularly or in an array, so it
can be integrated into a finished luminaire.
Slide 41
LEDs vary in energy efficiency:
Warm White currently on the market has 1550 lumens per watt.
High-quality white LEDs typically produce between 30 and 60 lumens per watt, equivalent
to CFLs.
Over 120 lumens per watt LEDs are created in laboratories.
The theoretical efficacy is 340 lumens per watt.
200
150
Luminous
Efficiency
(lumens/wa
tt) 100
LED
White
LED
Fluorescent
Reflector
50
Halogen
Incandescent
0
1920
1940
1960
1980
2000
2020
Slide 42
LEDs have very long lifefor example 50,000 hours or even 100,000 hours. Their failure is
predictable; typically, individual LEDs do not fail, but they gradually become dimmer over time.
The lifetime rating is based on the percentage of light output. When the output falls to 70 percent
of the initial level, its considered the end of useful life. Their actual lifetime depends on the
temperature.
Slide 43
The rating of an LEDs life may be based on the junction temperature, which is the LEDs hottest
point, or the board temperature, or ambient temperature.
Slide 44
LEDs have many advantages.
They turn on instantly, and cycling from on to off does not shorten their life, although they
last longer when they are turned off.
They are extremely controllable.
They contain no mercury or lead, which is an environmental advantage.
They are capable of starting in cold environments, as low as -40 F or -40 C.
Slide 45
LEDs do have disadvantages.
Their life is shortened by heat.
They have a high cost per lumen.
They require direct current (DC) power.
The market for LEDs is still emerging, with bad data, inflated claims, and poor public
understanding.
Slide 46
Although, at the moment, the LED market is confused, it is a very interesting future lighting
technology.
Theoretical efficiencies of LEDs predict that 340 lumens per watt is possible.
Phosphor developments are underway to get tighter control of color and better CRI.
Thermal management is being developed to help eliminate heat from the diode, and optical
management is under development to maximize light from the LED.
Istockphoto.com: 15850183, http://www.istockphoto.com/stock-photo-15850183laboratory.php?st=3201186
Slide 47
There are many applications for LED lighting, including home, commercial, architecture, and
entertainment, among others.
Click the Next button to view each item in the slide show.
Slide 48
Lets recap what we learned in this class.
High intensity discharge lamps include mercury vapor, high pressure sodium and metal halide.
For environmental and light quality reasons, metal halide lamps are now preferred to mercury and
high pressure sodium.
We studied three Metal Halide systems:
While Probe Start is still used in some regions, it has long warm-up and strike times and
very poor lumen maintenance. These systems make very good retrofit opportunities.
Magnetic pulse start systems have faster starts and hot restrikes, with higher lumen
output and better lumen maintenance.
Electronic pulse start systems have a higher efficacy, because of reduced ballast wattage,
integral ignitors, automatic end-of-life shutdown, much longer lamp life, and superior
lumen maintenance. Lower wattage, high CRI Electronic Metal Halide is used extensively
in todays retail and architectural markets to replace halogen.
While many older Probe Start Metal Halide systems are being replaced with fluorescent,
Pulse Start Metal Halide systems are still better for heavy industrial environments. Lamps
are not temperature sensitive, and luminaires are more durable and easier to clean and
maintain than fluorescent.
We also discussed LEDs
LEDs are part of the semi-conductor industry, and create light when direct current is
passed from a negative layer to a positive layer, releasing photons of a specific color.
These highly saturated colored LEDs are used extensively in architectural and theatrical
applications.
There is no such thing as a white LED. White light is created by combining red, green,
and blue LEDs, or through Phosphor Conversion, where phosphor is applied over a blue
LED.
High-quality white LEDs typically produce between 30 and 60 lumens per watt, equivalent
to CFLs.
While LEDs have generated much excitement because of their long life, smaller size, and
unique color-changing abilities, today, only environments with long burning hours justify
their high initial cost.
Slide 49
Lighting V - Economics
Transcript
Slide 1: Lighting V
Economics
Welcome to Lighting V - Economics
Slide 2: Welcome
course. Click the attachments link to download supplemental information for this course. Click the Notes tab to read a
Slide 3: Objectives
Describe the four principles for energy efficient lighting
Identify the two lighting design methods
Define the Fundamental Law of Illumination
Lighting is frequently a large proportion of the energy consumption in buildings and can be a significant cost in
industrial spaces too.
Projects to improve the energy efficiency of lighting are among some of the lowest risk, highest payback projects that
an energy manager can select. To select and justify those projects, energy managers need to be able to show how
the changes will impact the consumption and present the financial benefits. In this class well see a number of ways
to make simple evaluations of lighting projects.
Before you take this class, you will need a basic understanding of electrical fundamentals such as demand, power
and energy. You will also need to understand energy rate structures. Please see our classes on these topics if you
need them as pre-requisites.
Slide 5: Principles for Energy Efficient Lighting
Lets revisit the four principles for energy efficient lighting that we learned about in the first Lighting class
Determine the appropriate Amount, Quality and Distribution of light
Select efficient luminaires
Commission and maintain systems properly
Slide 6: Light Amount, Quality, & Distribution
In the previous classes, we learned that an energy efficient space needs the right amount, quality, and distribution of
light.

Energy efficiency means that we accomplish the required results with the use of less energy. It does not mean that
we compromise needs in order to save kilowatt hours.
The right amount is important not only because too much light will consume more energy than necessary, but also
because over-lighting can be as detrimental to safety, productivity and visual comfort as under-lighting.
The quality of light is also important. An operating theater will have different needs than an intimate restaurant. A
design studio, office, art gallery, retail boutique, or school will all have different requirements to be met, regarding the
trueness of colors and the warmth or coolness of the light.
Lastly, the distribution of light considers whether we are lighting horizontal surfaces such as desks in a schoolroom,
or vertical surfaces such as walls in an exhibition center. It also considers whether the distribution should be even or
uneven. Parking lots and warehouses tend to require even, uniform lighting. In stores or restaurants, areas of high
and low light provide highlights of products and intimacy within a space.
Slide 7: Select Efficient Luminaires
The first principle is closely linked to the second principle, which is select efficient luminaires. The luminaire is the
light source in a fixture, and includes all of the auxiliary gear that helps it do its job. Reflectors, diffusers, current
regulating devices, and mounting hardware are all part of the luminaire.
The required quality and distribution of light drives the selection of the right light source and luminaire. Within the
choices available to satisfy these requirements, some will be more efficient than others, as we saw when we learned
about different lamp families.
Choosing the luminaire and light source in turn affects calculating the number of luminaires that will be required to
provide the right amount of light.
There are two lighting design methods to determine the lighting levels in a room.
The first is the lumen method which is a fairly simple method that assumes the lighting is evenly distributed
throughout the room. Its sometimes called the zonal capacity method. This method is described in full in our class
Lighting VI: Calculating How Many Lamps with the Lumen Method.
The second is the point method, which analyses the illuminance, usually from a single fixture, at a specific point on a
horizontal surface. Nowadays, lighting designs incorporating multiple fixtures with the point method are generally
done with the support of computer programs.
The point method depends on the fundamental law of illumination, which is also called the inverse square law of
lighting.
Click here to learn more about this law in SI units. Click here to learn in US units.

This law can be expressed by this formula:
E = I/d2
where:
E is the illuminance in lux
I is the luminous intensity of the light source in lumens
d is the distance from the light source to the surface in metres
This chart shows how varying the distance from a light source of 100 lumens affects the illuminance of a surface.
You can see the inverse square relationship very clearly if we change the distance, the light level does not vary
linearly.
Lets explore this further.

Use the formula to calculate the illuminance of a light source providing 100 lumens at a distance of 3 metres. Then
calculate the result for a distance of 1.5 metres. Click here when you are ready.
Here are the two calculations:
At a distance of 3 metres, the light source provides 11 lux. If that distance is halved, reduced to 1.5 metres, the
illuminance is multiplied by 4, to 44 lux.
This law can be expressed by this formula:

E = I/d2
where:
E is the illuminance in footcandles
I is the luminous intensity of the light source in lumens
d is the distance from the light source to the surface in feet
This chart shows how varying the distance from a light source of 100 lumens affects the illuminance of a surface.
You can see the inverse square relationship very clearly if we change the distance, the light level does not vary
linearly.
Lets explore this further.

Use the formula to calculate the illuminance of a light source providing 100 lumens at a distance of 10 feet. Then
calculate the result for a distance of 5 feet. Click here when you are ready.
Here are the two calculations:
Notice that at a distance of 10 feet, the light source provides 1 footcandle. If that distance is halved, the illuminance
is multiplied by 4, to 4 footcandles.
This is why in environments with high ceilings, lowering the height of fixtures can provide the same level of lighting
with fewer lamps and much less energy consumption. Another option is to provide a general level of background

lighting at the room level and supplement it with task lighting on workbenches or desks.
In environments that are over-lit it may be possible to reduce consumption by removing some lamps. Take care that
the distribution of light in the space is not adversely affected.
Light levels can be determined by taking readings with a simple light meter. Note that light level readings should be
taken at task level, typically 100 cm or 36 in above floor level. Readings should be taken from several places around
the room and combined by averaging them.
In situations where new fixtures can be installed, the efficiency of the fixture should form part of the overall
evaluation. Even when fixtures cant be replaced, it might be possible to improve their efficiency by retrofitting
reflectors.
Advanced reflector technology ensures a greater amount of light directly from a fitting. You can literally use half the
number of fluorescent tubes in a fixture to get the same lighting result. Efficient reflectors are based on two ideas.
The first is using highly reflective materials. Painted surfaces scatter and absorb light. Efficient reflectors incorporate
materials that reflect with little light loss.
The second element is the shape of the reflector. Within an inefficient fixture, as much as 70% of the light from a
fluorescent tube is directed sideways and upwards within the fitting. Efficient reflector designs are shaped to direct
the maximum amount of light downwards.

With a more efficient fixture, it may be possible to use fewer lamps, or lamps with a lower light output. As lighting

technology improves, it may be possible to replace older lamps and ballasts with newer ones that have higher
efficacy.
Incandescent lamps may be candidates for replacement with compact fluorescent lamps or metal halide
Older fluorescent lamps may be upgraded to newer ones.
Magnetic ballasts may be upgraded to electronic ballasts.
Older metal halide lamps, especially probe start, may be upgraded to newer ones.
LEDs may be used in areas with very long burning times or in areas that are inconvenient to access
Lets ensure that we can make good estimates of the savings that might result from a lighting project that depends on
a lower wattage installation.
Slide 19: Calculate the Savings
A building with 1,700 four-lamp electromagnetically-ballasted fluorescent fixtures with 34 watt lamps is to be
renovated with an equivalent number of similar fixtures with T-8 lamps and electronic ballasts. Given the following
information what would be the annual savings.
Existing fixture input power = 144 W
New fixture input power = 112 W
Operating duration = 3400 hours per year
Here are the details of the marginal cost of electricity. Demand is charged at 9 per kW and energy is charged at
0.05 per kWh. There is a local utility tax of 5%.
Can you calculate the savings from this project? Try it now. Click here if you need a hint. When you are ready,
download the worked solution from the attachments tab.
Hint:
Calculate the demand reduction in kW
Calculate the energy reduction in kWh
Calculate the annual value of those savings before tax
Calculate and add the tax
Slide 20: Calculate the Savings
Calculate the demand reduction in kW
Calculate the energy reduction in kWh
Calculate the annual value of those savings before tax
Calculate and add the tax
Slide 21: Lower Wattage Example
The demand reduction can be found by taking the number of fixtures, times the difference between existing power
demand and new power demand, and converting into kilowatts.
The energy savings are equal to the demand reduction multiplied by the annual hours of operation.
Then we can use the tariff data to calculate the annual value of those savings. This is in two parts the cost of

demand, and the cost of energy.
Finally we can add on the tax.
Notice that these calculations used the marginal cost of energy. This is the cost of the last unit of energy on the tariff
which is important in block rate structures where the first block of energy consumed has a different price than the
last block of energy.
Also, this analysis assumes that you can take advantage of a reduction in peak demand. This is often the case, since
lighting tends to be on at the same time as other equipment that contributes to peak demand. In this chart, the green
area relates to demand from other equipment. The red area is the demand from lighting that will still exist after the
project, and the yellow area is the demand reduction. You can see that there is a reduction in the overall peak
demand.
However, if for some reason some other equipment sets a peak at a different time of day or month, which is higher
than the contribution of the lighting, the project will not gain the estimated savings in peak demand. We see this here
even when the yellow area is removed from the chart, the green area is still a higher peak.
Slide 24: Use Lighting Controls

As we saw in Lighting I, lighting controls provide a number of ways of reducing the number of hours that lights are on,
consuming energy. Dimming is another way that consumption can be reduced. Lets work through a couple of
examples.
There are a range of solutions to help ensure lights are turned off when not in use:
The manual on-off switch works, but relies on people remembering to use it. Automated methods are more reliable.
Occupancy sensors detect presence and turn lamps off and on automatically. In offices, the savings are often from
25% to 50%. In rest rooms, conference rooms and storage areas the savings can be 75% or more.
Timers can turn lights on and off according to a schedule, or they can be turned on by a user and turned off
automatically by the timer.
Keycard controls can turn off lights after a guest leaves a hotel room.
Twilight switches can turn lights on at dusk and off at dawn.
Daylight harvesting can be applied to vary artificial lighting levels to benefit from available natural light.
Building management systems can handle complex lighting schedules and incorporate the other solutions already
mentioned.
A storage room with three two-lamp fluorescent fixtures each drawing 56W is studied to determine the occupancy
patterns.
It is found that each day, the room is accessed four times, and half the time the lights are accidentally left on.

A vendor proposes to install an occupancy sensor and estimates that the operating hours for the lamps in the storage
room will be reduced by an average of 3 hours per day. How much will this save annually, if the facility operates 5
days per week and pays 6c per kilowatt hour?
Can you calculate the savings from this project? Try it now. When you are ready, look at the worked solution in the
file you downloaded from the attachments link at the top of your screen.
Slide 27: Storage Room Lighting
To answer this question we need to calculate the annual reduction in operating hours, like this.
Then we can determine the annual energy savings.
Finally we can calculate the value of the savings.
Occupancy sensors, twilight switches and timers can thus provide substantial savings at low cost and risk. Consider
the lighting for a parking lot. If each day the operator misjudges when to turn it on and off by one hour, the
opportunity for saving that energy is clear.
Dimmers are often used for setting the mood, but they can save money too. Some spaces do not need to be lit at full
brightness all the time, and quite simply, whenever you dim a lamp youre using less energy to run it.
Not all lamps can be dimmed, so it will depend on the type of lamp and ballast that is installed.
Imagine an auditorium that needs full lighting for cleaning but also uses dimmers to make the space more
aesthetically pleasing. The space has 3000 watts of lighting, which is in use 6 hours per day, five days per week,
excluding the cleaning time. When in general use the lighting can be dimmed by 60%. What would the savings be if
the site pays 8.5 per kilowatt hour?
Try to solve this problem yourself, then click to proceed when you are ready.
Slide 30: Auditorium Savings
To answer this question we need to calculate the annual operating hours at the dimmed level, like this.
Then we can determine the annual energy savings.
Finally, we can calculate the value of the savings.
Slide 31: Commission & Maintain Systems Properly
The fourth principle is to commission and maintain systems properly.
The savings from a lighting project may not be realized if the owner, facility operations team or the building occupants
do not understand the system. Users may override timers for one-time reasons and then forget to remove the
override. A poorly installed occupancy sensor may be annoying and may be disabled by the user, rather than

corrected. Proper commissioning and maintenance prevents this.
A practice that can help to reduce maintenance costs is group relamping. Instead of replacing lamps as they burn
out, one at a time, group relamping calculates an interval for replacing all the lamps, usually at 70% of life. The labor
savings from organizing the replacement of all the lamps together is typically much more than the cost of discarding
some lamps prematurely. In Lighting I we showed how to calculate the benefits of this.
Cleaning is also important to ensure that dirt does not compromise the performance of a luminaire.
Slide 32: Summary
Now, lets review some of the information that we have covered throughout this course:
The four principles for energy efficient lighting are:
Determine the appropriate Amount, Quality and Distribution of light
Select efficient luminaires
Commission and maintain systems properly
The amount, quality and distribution of light controls the choice of a suitable lighting technology.
Within that technology, efficient luminaires should be selected. The choice of luminaire then affects the number of
luminaires required to provide the right amount of light.
There are two lighting design methods:
Lumen method, also called zonal cavity method, which assumes that lighting is evenly distributed throughout a room.
Point method, which deals with illuminance, usually from a specific fixture, at a specific point on a horizontal surface.
Slide 33: Summary
The Fundamental Law of Illumination says that the illuminance of a light source depends on the luminous intensity
and the inverse square of the distance from the light source to the surface.
E = I/d2
Reducing distance by lowering fixtures or providing task lighting can reduce energy costs.
Over-lit areas may be able to save energy by removing some lamps.
Light level readings should be taken at the work plane level in several places in a space and combined.
Reflectors improve the efficiency of luminaires and may be a retrofit option.
Slide 34: Summary
Lower wattage lamps and ballasts should be considered.

Incandescent lamps may be candidates for replacement with compact fluorescent lamps or metal halide
Older fluorescent lamps may be upgraded to newer ones.
Magnetic ballasts may be upgraded to electronic ballasts.
Older metal halide lamps, especially probe start, may be upgraded to newer ones.
LEDs may be used in areas with very long burning times or in areas that are inconvenient to access
Lighting controls include
Occupancy sensors
Timers
Keycard controls
Twilight switches
Daylight harvesting, and
Building management systems
Slide 35: Summary
Remember when calculating savings to use the marginal cost of energy, and analyse if there is a reduction in peak
demand.
Group relamping is a method to make savings during maintenance.
Thank you for participating in this course!
Slide 37: Slide 37

Lighting VI - Transcript
Slide 1: Lighting VI Calculating Required Lamps with the Lumen Method-US Units
Welcome to Lighting VI Calculating Required Lamps with the Lumen Method-US Units.
This is the sixth course in the lighting series. If you have not already done so, please participate in Lighting I - V, prior
to taking this course.
Slide 2: Welcome
Slide 3: Objectives
At the conclusion of this course, you will be able to
Name the factors which can affect light levels in a space
Employ the lumen method of lighting calculation, and you will be able to
Describe how to appropriately measure the light levels in a space
Slide 4: Lumen Method Calculations
a.k.a. Zonal Cavity Method
The lumen method of lighting calculation determines the average illuminance in a given space as opposed to the
Point Method which determines the light level at a specific point within a space.
Slide 5: What It Does
The Lumen Method calculates illuminance on a horizontal surface.
Slide 6: What It Does NOT Do
The Lumen Method does not calculate illuminance on a vertical or a slanted surface.
Slide 7: Effect of Surface Orientation
Since illumination is an expression of density, and light is directional in nature, it follows that the position and
orientation of a surface has a great deal to do with the illuminance level it receives.
When comparing diagrams A and B, the surfaces have different orientations. Surface area and distance from light
source to the center of the surface are the same, however, diagram surface A intercepts more light rays, and
therefore, higher footcandle levels. When comparing diagrams A and C, the surfaces have same area and orientation
but the distance from light source is different. Diagram surface A intercepts more light rays, and therefore, higher
footcandle levels.
Page1
Lighting VIUS Lumen Method

Slide 9: The Work Plane
In order to begin calculating the number of fixtures required to appropriately light a space, one must first determine
the work plane. In this simple illustration, we show a typical room with 4 walls, a floor and a ceiling. The work
plane could be the floor. An example of an area where the work plane is the floor might be an office hallway or hotel
hallway.
The work plane might be at desk height in an office or classroom. Wherever the work plane is, it is the imaginary
plane on which the work in the area takes place.
The total lumens which reach the work plane is dependent upon:
Fixture efficiency and candlepower distribution
Room proportion
Surface reflectance
Fixture mounting height above the work plane
We will discuss each of these factors in this course.
Slide 11: Measuring Light Levels
If you are measuring the actual light levels in a space, the measurements should be taken at the work plane level in
several places, and the result calculated as an average. Here the arrows indicate examples of the light meter position
and orientation.
Slide 12: Room Cavities
Lets define the various areas and geometries of a room so that we can use the results in our calculations. For our
purposes, we must determine the room cavity. The room shown with luminaires recessed above the ceiling, and the
floor as the work plane, is described as a room with a single cavity.
The light must travel the entire height of the
room in order to reach the work plane.
In a room with luminaires recessed above the ceiling in which the work plane is at desk height, the room is said to
have two cavities: the room cavity and the floor cavity. The room cavity is the area that the light must travel to the
work plane.
In a room with luminaires suspended from the ceiling in which the work plane is at desk height, the room is said to
have three cavities: the ceiling cavity, the room cavity and the floor cavity. Again, the room cavity is the area that
the light must travel to the work plane.
Slide 15: Lumen Method Calculation Worksheet
Now that we have an understanding of some room terminology, lets walk through the lumen method procedure.
This process will allow you to estimate the number of fixtures required to provide a particular light level in a space.
Please download the Lumen Method Calculation Worksheet by clicking on the Attachments tab. We will work
Page2

through the form to complete the steps.
Slide 16: Section 1 Project Information
Section 1 is Project Information.
Fill in the Project Name and the type of activity that will take place in the room. For our example, we will be
illuminating a commercial office area with an open office plan. Workers in this area use computers as well as
performing paper based tasks.
Slide 17: Section 1 Target Light Level
Next, we will determine the recommended light level for the type of facility and activity which takes place in the space.
For this step, we will need to reference the authority in the country for which the project is being designed. In North
America, the Illuminating Engineering Society publishes recommended lux and footcandle levels. We will use them
in this class. In your country, different guides may apply, but once you have determined the target light level, the
rest of the lumen method would still apply.
Slide 18: Section 1 - IES Selection Procedure
The IESNA Lighting Handbook 9th Edition Design Guides implemented a formal system for incorporating various
criteria into the illuminance level selection process instead of simply designating a range of lux or footcandle levels
for a particular application.
Scrolling through the Commercial Interior Design Guides shows a myriad of different facility types and the types of
activities that may occur within those facilities.
If we select the section for Offices, we will see a variety of tasks performed in commercial offices.
is a reference of specific criteria, color coded based on importance, for each area.
With each task
For our example, we will use Intermittent VDT use. For this task, the very important criteria are the occurrence
of direct glare, the luminance of room surfaces, and reflected glare.
Direct glare is light traveling from the source, directly to the eye. An example of this would be looking directly at
the sun. Reflected glare is just that: glare that is reflected off of a surface and into the eye. Computer monitors,
especially those with shiny screens, reflect the light from natural or man-made light sources into the users eyes.
Luminance of Room Surfaces can affect the perceived brightness of a space. For example, white walls and light
colored furniture give the impression of brightness in a room.
For a workplace environment, highlighting Points of Interest is considered unimportant.
The chart then displays (2) "Category of Value" designations.
Slide 19: Illuminance Recommendations
The chart also makes reference to this Category of Value in Lux for both horizontal and vertical surfaces within this
space. Referencing the IESNA Illuminance Recommendations, we find that Category of Value E is a
recommendation of 500 lux or 50 footcandles for the horizontal surface, and Category of Value B is a
Page3

recommendation of 50 lux or 5 footcandles for the vertical surfaces.
Although there are many variables which may cause a lighting designer to select an illumination value different than
this (for example: specific task requirements, age of workers, color scheme of the area, secondary tasks performed,
etc) we will use the recommended light level of 500 lux/50 footcandles for our example.
Well need to add this information to our worksheet.
Slide 21: Section 1 Select Fixture
Next, identify a light fixture to be used to illuminate the space. For our example, we have selected an 8 diameter
recessed downlight with a single, 42W, triple tube, compact fluorescent lamp, in the vertical position.
Slide 22: Section 1 Gather Fixture Data
By viewing the specification sheet for this fixture, we can find the remaining data required for Step One of our Lumen
Method calculation. This information is generally found on the reverse side of a fixture specification sheet.
Slide 23: Worksheet Step 1-Complete
Okay, that completes the worksheet section one, now lets move on to the second section.
Slide 24: Step 2 Gather Room Data
Worksheet section 2 is about room data.
Slide 25: Room Surfaces
Remember, the Lumen Method of light level calculation is only used for square or rectangular areas.
The surfaces of these room types are grouped this way:
Ceiling
Floor, and
Walls as a single surface
Slide 26: Reflectance of Room Surfaces
Now, we need to determine the reflectances for room surfaces.
Each surface group can have a single reflectance value.
Here are some examples of common reflectance values.
surface would be 1.00 or 100% reflective.
They are percentage values.
The most reflective
Paint manufacturers often publish the reflective value of their paints.

A copy of this chart (Gather Room DataCommon Reflectance Values) is available for download by clicking on the
attachments tab.
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The types of wall surface in a room will affect the reflectance for that room.
wall surfaces, just average the reflectances.
If you have a room that has different

For a commercial office, the values most often used are 80/50/20, as percentages, and are most always referred to in
the order shown, ceiling, wall and floor.
For our example, we will use these standard reflectance's.
Slide 30: Room Area
Next, we calculate the area of the room or workplane.
For our example, our room is 40 feet x 20 feet, or 800 square feet.
Once we have entered the dimensions and selected the units, step 2 is complete.
Slide 32: Step 3 Calculate RCR
Now we move on to step three, calculate the room cavity ratioor RCR. The RCR takes into account room
proportions and the location of the lighting fixtures in relation to the work plane.
To Calculate RCR (Room Cavity Ratio) you need the following information:
The height of the room cavity (hRC)
The height of the ceiling cavity (hCC), and
The height of the floor cavity (hFC)
Slide 34: Defining the Workplane
At the beginning of this course, we discussed how room cavities are determined when we defined the term
workplane. In our commercial office example, we will consider desk height to be the workplane. This height is 30
above finished floor.
Slide 35: Recessed Lighting Fixtures
Our example is using recessed lighting fixtures to light the area. This area has a wall height of 10 feet. With these
figures we can calculate the room cavities.
The formula used to determine the cavity height for a room with recessed fixtures is shown. Ceiling height minus the
work surface height equals the cavity height.
Slide 37: Suspended Lighting Fixtures
If the fixtures in this room are not recessed, we must also take into account the height of the ceiling cavity by
Page5

adjusting the formula as shown.
Ceiling height minus the ceiling cavity height minus the floor cavity height equals the cavity height.
Lets go back to the room in our example, and with these figures, perform the simple calculation shown to determine
the Room Cavity Ratio (RCR). Five times the Cavity Height of 7.5 multiplied by the sum of the room length and width,
divided by the rooms area. Generally speaking, lighting calculations are taken to 2 points past the decimal point.
Slide 39: Step 4 Calculate the CU
Now its time for step four calculate the coefficient of utilizationalso known as CU.
Slide 40: What is CU?
What exactly is CU?
There is a way to determine the total number of lumens that get to the workplane:
Accounting for direct light from the luminaires
Accounting for inter-reflected light from walls, ceiling, and floor
A Coefficient of Utilization CU - is the calculation bundled into one number.
CU is based upon the photometric output of a specific fixture. The optics of each fixture distribute the light
differently and an individual fixtures CU table reflects those differences.
You can obtain the CU table for a given fixture from the fixture manufacturer.
the back of the fixture specification sheet.
Most often, the data is published on
The table will look much like this one for the 42w compact fluorescent fixture we have selected for our example.
This table provides data for a variety of Ceiling Reflectances and Wall Reflectances.
single Floor Reflectance value, generally 20%.
Most CU tables only offer a
In our example, we determined that the reflectances are the commercial standard 80/50/20.
First, locate the 80% Ceiling Reflectance indicator in the table row marked: CC
rho, denoting reflectance).
(the symbol is the Greek letter
Within this column in the row directly below the Ceiling reflectance value marked W, locate the sub-column with the
Wall Reflectance of 50%.
With these values, along with the previously calculated RCR of 2.81, we can narrow the Coefficient of Utilization
down to a range of 57 to 61%.
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We then need to extrapolate the range to calculate more precisely:
Fill in the blanks with the figures from the CU table:
On the table, the lower RCR range value is 2, with a Coefficient of Utilization of 0.61
On the table, the higher RCR range value is 3, with a Coefficient of Utilization of 0.57
Our calculated RCR value is 2.81, and we need to find the Coefficient of Utilization that lies between 61% &
57%
Do the math as shown with the numbers from the table and these formulas:
Divide the value of the actual RCR, (minus the value of the Low RCR) by the value of the High RCR, minus the value
of the Low RCR, to equal X
Then, subtract the value of CU2 from the value of CU1 to equal Y
Finally, subtract the value of X times Y from the value of CU1 to get the actual CU of our example with a RCR of 2.81
The answer for our example is 57.75% or .5775.
Slide 43: Step 5 Determine Light Loss Factors
Now, lets proceed on to step 5 light loss factors.
There are eight factors in this sectionbut after we complete step 5we are at the final step of our calculations.
Slide 44: Fixture Testing
Fixture testing is performed according to standards set by governing bodies to make sure that fixtures can be
compared on an apples to apples basis.
Testing standards do not always replicate reality
Real-life operating conditions are not static
The performance of a fixture in an actual installation may be different due to variations in operating conditions.
These variations fall into two categories:
Recoverable
Non-recoverable
Slide 45: Recoverable Factors
Recoverable factors are those which decrease the output of the light system over time due to such things as dirt
accumulation and a decrease in lamp output.
These factors include:
Luminaire Dirt Depreciation (LDD)
Room Surface Dirt Depreciation (RSDD)
Lamp Lumen Depreciation (LLD), and
Lamp Burn Out (LBO)
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Recoverable factors can be overcome by an effective maintenance program.
Slide 46: Non-Recoverable Factors
Loss factors that are due to the fixture design are considered to be non-recoverable.
Luminaire Surface Depreciation (LSD), and
Ballast Factor (BF)
Slide 47: Defining and Calculating Factors
We will define all the Recoverable and Non-Recoverable factors then we will describe how to calculate each one.
Let's start with the non-recoverable factors.
Slide 48: LLF: Luminaire Ambient Temperature
Luminaire Ambient Temperature is a non-recoverable factor.
Photometric tests of indoor luminaires are carried out in an open space with still air at 25 degrees Celsius or 77
degrees Fahrenheit. Actual installation conditions may be quite different. Fluorescent fixtures are directly affected by
ambient temperature. This factor should be considered for linear and compact fluorescent installations in spaces with
unusual temperature conditions. For our example, we will assume that there are no unusual temperature conditions
and therefore, record our value as 1.0
Slide 49: LLF: Voltage Variation
Voltage Variation is another non-recoverable factor. The voltage supplied to a fixture may vary considerably in most
commercial installations. A 1% voltage variation can cause approximately 3% lumen output variation in incandescent
sources. Unless the potential voltage variation can be determined and assumed to be constant, voltage variation is
usually assumed to be one.
Slide 50: LLF: Luminaire Surface Depreciation
Luminaire Surface Depreciation (LSD) is the next factor well look at. Changes in the characteristics of fixture optical
components cause light loss over the life of a fixture. A good example of this effect is the yellowing of polycarbonate
lenses due to the UV output of light sources. As our selected fixture does not have any surfaces that may be prone to
permanent depreciation, we will input a value of 1.0
Slide 51: LLF: Ballast Factor
The ballast factor represents the ratio of the light output produced by a commercial manufacturers ballast to that
produced by a reference ballast used in a photometric test of the fixture. Real ballasts may produce less light than
the test ballast. The ballast factor is given on the specification sheets for fluorescent lighting fixtures. For HID fixtures,
the ballast factor is 1. Our spec sheet states that the ballast factor for our fixture operating at 120v is 0.98.
Now lets examine the recoverable factors.
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Recoverable factors include:
Lamp Burn Out (LBO)
Slide 53: LLF: Luminaire/Room Surface Dirt Depreciation
The first recoverable factor were going to discuss is Luminaire Dirt Depreciation (LDD). Fixture light output can
decrease significantly due to dirt accumulation on the lamps, reflector and transmitting surfaces of the Luminaire.
This effect is dependent on the amount of dirt particulate in a space. Typically, air in commercial office buildings may
be clean, while manufacturing areas may be relatively dirty. Another factor is Room Surface Dirt Depreciation. This
also depends on the environment. Room surfaces such as painted walls or acoustic ceiling tiles lose their initial
reflective properties due to dirt accumulation.
Slide 54: Types of Environments
This chart published by the Illuminating Engineering Society of North America describes various types of
environments and how they should be classified based upon generated dirt, ambient dirt, removal or filtration and
adhesion. Examples of each environment are listed. Since the environment we are considering for our sample
calculation is a commercial office, we will select a CLEAN environment. A copy of this chart (Determine LLF-Type of
Environment) is available for download by clicking on the attachments tab.
Slide 55: Maintenance Category
From this chart, also published by the Illuminating Engineering Society of North America, select a Maintenance
Category based upon the type of Luminaire. The luminaire we have selected for our example is a recessed downlight
with an open aperture making this fixture a Maintenance Category: IV. A copy of this chart (Determine
LLF-Maintenance Category) is available for download by clicking on the attachments tab.
Slide 56: Frequency of Maintenance
To complete the determination, we need to know the frequency of periodic maintenance (in months). The length of
the interval between luminaire maintenance can have a significant effect on the efficiency of a lighting system. Basic
maintenance includes cleaning the luminaires, as well as replacing burned out lamps or lamps nearing end of life.
This is based on client preference, but the best recommendation for periodic maintenance will be based upon the
average life of the light source. We recommend to group re-lamp all fixtures at approximately 80% of their rated
life.
In our example, the rated life for a 42w triple tube compact fluorescent is 16,000 hours. 80% lamp life is 12,800
hours. If the user burns these fixtures for 20 hours per day, 6 days per week, assuming 4 weeks per month, that
gives us a total of 480 hours per month.
The lamps will have reached 80% of their expected life at around 26.6 months of operation.
We will use a maintenance period of 27 months.
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Slide 58: Combining the Data
Now we can use charts to determine the total factor for LLD (Luminaire Dirt Depreciation).
All we need to do is apply the values determined for:
Type of Environment, (we selected a clean (C) environment
Maintenance Category of the fixture (we selected a maintenance category IV), and
Schedule of periodic maintenance in months (and we determined a 27 month interval of periodic
maintenance)
Slide 59: Luminaire Dirt Depreciation Charts
These are the charts for the six maintenance categories. Select the Luminaire Dirt Depreciation (LDD) factor from the
appropriate curve. A copy of this chart (Determine LLFLLD Charts) is available for download by clicking on the
attachments tab.
Weve selected the chart representing Maintenance Category IV as previously determined by our calculations. We
then select a 27 month cleaning period and follow the line upward until it meets the environmental category selected
CLEAN (C). Follow that intersection to vertical axis to find the value, in this case 0.78.
Slide 61: LLF: Luminaire Dirt Depreciation
Add the value 0.78 to the worksheet as shown.
Slide 62: LLF: Room Surface Dirt Depreciation
The next factor is Room Surface Dirt Depreciation (RSDD). This factor accounts for dirt accumulation on room
surfaces. This increases over time. As dust accumulation increases surface reflectance decreases. Less
inter-reflection results in less light falling on the workplane.
To find the Room Surface Dirt Depreciation (RSDD), we need to use the percentage of expected dirt depreciation
based on the type of environment and the cleaning interval already selected.
Slide 64: Room Surface Dirt Depreciation Chart
Here we are using another chart published by the Illuminating Engineering Society of North America.
We already calculated the RCR as 2.81
We are using a direct fixture. If we look up this type of fixture in the IES Handbook, the Expected Fixture Dirt
Depreciation will be 0.88 dirt depreciation or 12%.
Now we can find the Room Surface Dirt Depreciation Value based upon those values: We are in between values, so
use your best judgment. For our example, we will use a factor of 0.97
Add this to the worksheet.
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Slide 66: LLF: Lamp Lumen Depreciation
Lamp Lumen Depreciation (LLD) is our next factor.
A light source starts with an initial lumen output. As the lamp ages, lumen output decreases. A lamp lumen
depreciation factor takes into account this lumen decrease. Refer to the lamp manufacturers data for specific
information. In this case, the initial lumen output of a 42W Triple Tube compact fluorescent lamp is 3200 lumens.
The Design Lumens or the output at 40% of lamp life is 2720. This indicates a15% depreciation.
In this formula, all the multipliers are based on the percentage of light remaining, so the depreciation value we will
enter is 85%, or 0.85. Technically, this is lumen maintenance, rather than depreciation. One is the inverse of the
other.
Slide 68: LLF: Lamp Burn Out
Our last factor is the lamp burn out rate. Lamp Burn Out (LBO) predicts the number of lamps that will burn out before
the time of scheduled replacement.
For our example calculation, we will assume that 2% of lamps will fail before the 27 month initial maintenance period.
Enter 0.98 for Lamp Burn Out.
Slide 69: Total Light Loss Factor
Multiply all factors together to determine the total Light Loss Factor for the sample fixture in this sample environment.
The correct Total Light Loss Factor is 0.6176 rounded up to 0.62
That was step 5.
Slide 70: Step 6 Calculate
At last, we have all of the data necessary to calculate the number of fixtures required to provide the required
illumination at the work plane.
Using the formula shown, we can calculate the number of fixtures required.
Heres the calculation. The result is 34.91 fixtures?!?!?!
Obviously, some rounding of this figure will be necessary! Well round up to 36. Enter this on the sheet.
Non-prime numbers are preferable since it is easier to lay out the lamps. By following these six steps, you can
calculate the number of lamps and fixtures required to illuminate a space to particular requirements.
This enables you to calculate the cost of replacing existing lamps with newer, more efficient or better quality lamps. If
a designer is making this calculation for you, this knowledge will enable you to understand and review his or her
findings.
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Lastly, by adjusting the calculation, if you know the number of fixtures in the area, you can calculate the light level at
the workplane. This lighting scheme should provide average illumination of 51.56 footcandles at the workplane.
This compares favorably with the target of 50 footcandles.
Slide 73: Summary
Lets summarize what we learned today:
The lumen method is for determining the number of fixtures required for providing an average luminance level to
horizontal surfaces. It is not used for vertical or slanted surfaces, or environments where point sources create pools
of light. To measure actual light levels in the space, the measurements should be taken at the work plane level in
several places, and the result calculated as an average.
The six steps in the lumen method are:
Step 1: Identify the target light level from a reference and select the fixture to be analysed
Step 2: Identify the room data, including the reflectance of the surfaces and the area of the room
Step 3: Determine the room cavity ratio, taking into account the work plane and whether fixtures are
recessed or suspended
Step 4: Determine the coefficient of utilization, which determine the total number of lumens that get to the
workplane:
Step 5: Determine the various light loss factors, and
Step 6: Calculate the required number of fixtures
Lamp Burn Out (LBO)
Non-recoverable factors are due to the fixture design.
Ballast Factor (BF)
Page12
Transcript Lighting VI--SI -Version

Slide 1: Lighting VI Calculating Required Lamps with the Lumen Method-SI Units
Welcome to Lighting VI Calculating Required Lamps with the Lumen Method-SI Units.
This is the sixth course in the lighting series. If you have not already done so, please participate in Lighting I - V, prior
to taking this course.
Slide 2: Welcome
Click on the attachments to download supplemental information for this course. Click the Notes tab to read a
Slide 3: Objectives
At the conclusion of this course, you will be able to
Name the factors which can affect light levels in a space
Employ the lumen method of lighting calculation, and you will be able to
Describe how to appropriately measure the light levels in a space
Slide 4: Lumen Method Calculations
a.k.a. Zonal Cavity Method
The lumen method of lighting calculation determines the average illuminance in a given space as opposed to the
Point Method which determines the light level at a specific point within a space.
Lighting VI SI Version
Slide 5: What It Does
The Lumen Method calculates illuminance on a horizontal surface.

Slide 6: What It Does NOT Do
The Lumen Method does not calculate illuminance on a vertical or a slanted surface.
Since illumination is an expression of density, and light is directional in nature, it follows that the position and
orientation of a surface has a great deal to do with the illuminance level it receives.
When comparing diagrams A and B, the surfaces have different orientations.

Surface area and distance from light source to the center of the surface are the same, however, diagram surface A
intercepts more light rays, and therefore, higher lux levels.

When comparing diagrams A and C, the surfaces have same area and orientation but the distance from light source
is different.
Diagram surface A intercepts more light rays, and therefore, higher lux levels.
In order to begin calculating the number of fixtures required to appropriately light a space, one must first determine
the work plane.
In this simple illustration, we show a typical room with 4 walls, a floor and a ceiling. The work plane could be the
floor.
An example of an area where the work plane is the floor might be an office hallway or hotel hallway.

The work plane might be at desk height in an office or classroom.
Wherever the work plane is, it is the imaginary plane on which the work in the area takes place.
The total lumens which reach the work plane is dependent upon:
Fixture efficiency and candlepower distribution
Room proportion
Surface reflectance
Fixture mounting height above the work plane
We will discuss each of these factors in this course.
Slide 11: Measuring Light Levels
If you are measuring the actual light levels in a space, the measurements should be taken at the work plane level in
several places, and the result calculated as an average. Here the arrows indicate examples of the light meter position
and orientation.
Lets define the various areas and geometries of a room so that we can use the results in our calculations. For our
purposes, we must determine the room cavity. The room shown with luminaires recessed above the ceiling, and the
floor as the work plane, is described as a room with a single cavity. The light must travel the entire height of the
room in order to reach the work plane.

In a room with luminaires recessed above the ceiling in which the work plane is at desk height, the room is said to
have two cavities: the room cavity and the floor cavity.
The room cavity is the area that the light must travel to the work plane.
In a room with luminaires suspended from the ceiling in which the work plane is at desk height, the room is said to
have three cavities: the ceiling cavity, the room cavity and the floor cavity.
Again, the room cavity is the area that the light must travel to the work plane.
Slide 15: Lumen Method Calculation Worksheet
Now that we have an understanding of some room terminology, lets walk through the lumen method procedure.
This process will allow you to estimate the number of fixtures required to provide a particular light level in a space.
Please refer to the Lumen Method Calculation Worksheet . We will work through the form to complete the steps.
Slide 16: Section 1 Project Information
Section 1 is Project Information.
Fill in the Project Name and the type of activity that will take place in the room.
For our example, we will be illuminating a commercial office area with an open office plan. Workers in this area use
computers as well as performing paper based tasks.
Slide 17: Section 1 Target Light Level

Next, we will determine the recommended light level for the type of facility and activity which takes place in the
space.
For this step, we will need to reference the authority in the country for which the project is being designed. In North
America, the Illuminating Engineering Society publishes recommended lux and footcandle levels. We will use them
in this class. In your country, different guides may apply, but once you have determined the target light level, the
rest of the lumen method would still apply.
Slide 18: Section 1 - IES Selection Procedure
The IESNA Lighting Handbook 9th Edition Design Guides implemented a formal system for incorporating various
criteria into the illuminance level selection process instead of simply designating a range of lux or footcandle levels
for a particular application.
Scrolling through the Commercial Interior Design Guides shows a myriad of different facility types and the types of
activities that may occur within those facilities. If we select the section for Offices, we will see a variety of tasks
performed in commercial offices. With each task is a reference of specific criteria, color coded based on
importance, for each area. For our example, we will use Intermittent VDT use. For this task, the very important
criteria are the occurrence of direct glare, the luminance of room surfaces, and reflected glare. Direct glare is light
traveling from the source, directly to the eye. An example of this would be looking directly at the sun.
Reflected glare is just that: glare that is reflected off of a surface and into the eye. Computer monitors,
especially those with shiny screens, reflect the light from natural or man-made light sources into the users eyes.
Luminance of Room Surfaces can affect the perceived brightness of a space. For example, white walls and light
colored furniture give the impression of brightness in a room. For a workplace environment, highlighting Points of
Interest is considered unimportant. The chart then displays (2) "Category of Value" designations.
The chart also makes reference to this Category of Value in Lux for both horizontal and vertical surfaces within this
space. Referencing the IESNA Illuminance Recommendations, we find that Category of Value E is a
recommendation of 500 lux or 50 footcandles for the horizontal surface, and Category of Value B is a
recommendation of 50 lux or 5 footcandles for the vertical surfaces. Although there are many variables which may
cause a lighting designer to select an illumination value different than this (for example: specific task requirements,
age of workers, color scheme of the area, secondary tasks performed, etc) we will use the recommended light
level of 500 lux/50 footcandles for our example.
Well need to add this information to our worksheet.
Slide 21: Section 1 Select Fixture

Next, identify a light fixture to be used to illuminate the space.
For our example, we have selected a 20 cm diameter recessed downlight with a single 42W triple tube compact
fluorescent lamp in the vertical position.
Slide 22: Section 1 Gather Fixture Data
By viewing the specification sheet for this fixture, we can find the remaining data required for Step One of our Lumen
Method calculation. This information is generally found on the reverse side of a fixture specification sheet.
Okay, that completes the worksheet section one, now lets move on to the second section.
Slide 24: Step 2 Gather Room Data

Worksheet section 2 is about room data.
Slide 25: Room Surfaces

Remember, the Lumen Method of light level calculation is only used for square or rectangular areas.
The surfaces of these room types are grouped this way:
Ceiling
Floor, and
Walls as a single surface
Now, we need to determine the reflectances for room surfaces. Each surface group can have a single reflectance
value.
Here are some examples of common reflectance values. They are percentage values. The most reflective
surface would be 1.00 or 100% reflective. Paint manufacturers often publish the reflective value of their paints.

The types of wall surface in a room will affect the reflectance for that room. If you have a room that has different
wall surfaces, just average the reflectances.
For a commercial office, the values most often used are 80/50/20, as percentages, and are most always referred to in
the order shown, ceiling, wall and floor.
For our example, we will use these standard reflectances.

Slide 30: Room Area
Next, we calculate the area of the room or workplane.
10
For our example, our room is 12 metres x 6 metres, or 72 square metres.

Once we have entered the dimensions and selected the units, step 2 is complete.
Now we move on to step three, calculate the room cavity ratioor RCR. The RCR takes into account room
proportions and the location of the lighting fixtures in relation to the work plane.

To Calculate RCR (Room Cavity Ratio) you need the following information:
The height of the room cavity (hRC)
The height of the ceiling cavity (hCC), and
The height of the floor cavity (hFC)
11
Slide 34: Defining the Workplane

At the beginning of this lesson, we discussed how room cavities are determined when we defined the term
workplane.
In our commercial office example, we will consider desk height to be the workplane. This height is 0.8m above the
finished floor.
Slide 35: Recessed Lighting Fixtures
Our example is using recessed light fixtures to light the area.
This area has a wall height of 3 meters
12
With these figures we can calculate the room cavities.

The formula used to determine the cavity height for a room with recessed fixtures is shown.
Ceiling height minus the work surface height equals the cavity height.
Slide 37: Suspended Lighting Fixtures
If the fixtures in this room are not recessed, we must also take into account the height of the ceiling cavity by
adjusting the formula as shown.
Ceiling height minus the ceiling cavity height minus the floor cavity height equals the cavity height.
13

With these figures, perform the simple calculation shown to determine the Room Cavity Ratio (RCR)
Five times the Cavity Height of 2.2 multiplied by the sum of the room length and width, divided by the rooms area.
Generally speaking, lighting calculations are carried out two decimal places.
That was step three, now lets move on to step four.

Now its time for step four calculate the coefficient of utilizationalso known as CU.
Slide 40: What is CU?

What exactly is CU?
There is a way to determine the total number of lumens that get to the workplane:
A Coefficient of Utilization CU - is the calculation bundled into one number.
14

CU is based upon the photometric output of a specific fixture. The optics of each fixture distribute the light
differently and an individual fixtures CU table reflects those differences.
You can obtain the CU table for a given fixture from the fixture manufacturer. Most often, the data is published on
the back of the fixture specification sheet.
The table will look much like this one for the 42w compact fluorescent fixture we have selected for our example. This
table provides data for a variety of Ceiling Reflectances and Wall Reflectances.
Most CU tables only offer a single Floor Reflectance value, generally 20%. In our example, we determined that the
reflectances are the commercial standard 80/50/20.
First, locate the 80% Ceiling Reflectance indicator in the table row marked: CC (the symbol is the Greek letter
rho, denoting reflectance). Within this column in the row directly below the Ceiling reflectance value marked W,
locate the sub-column with the Wall Reflectance of 50%. With these values, along with the previously calculated RCR
of 2.75, we can narrow the Coefficient of Utilization down to a range of 57 to 61%.
We then need to extrapolate the range to calculate more precisely: Fill in the blanks with the figures from the CU
table:
On the table, the lower RCR range value is 2, with a Coefficient of Utilization of 0.61
On the table, the higher RCR range value is 3, with a Coefficient of Utilization of 0.57
Our calculated RCR value is 2.75, and we need to find the Coefficient of Utilization that lies between 61% &
57%
Do the math as shown with the numbers from the table and these formulas:
15
Divide the value of the actual RCR, (minus the value of the Low RCR) by the value of the High RCR, minus
the value of the Low RCR, to equal X
Then, subtract the value of CU2 from the value of CU1 to equal Y
Finally, subtract the value of X times Y from the value of CU1 to get the actual CU of our example with a
RCR of 2.75
The answer for our example is 58% or 0.58
Slide 43: Step 5 Determine Light Loss Factors

Now, lets proceed on to step 5 light loss factors.
There are eight factors in this sectionbut after we complete step 5we are at the final step of our calculations.
Slide 44: Fixture Testing

Fixture testing is performed according to standards set by governing bodies to make sure that fixtures can be
compared on an apples to apples basis.
Testing standards do not always replicate reality
Real-life operating conditions are not static
16
The performance of a fixture in an actual installation may be different due to variations in operating conditions.
These variations fall into two categories:
Recoverable
Non-recoverable
Lamp Burn Out (LBO)
Recoverable factors can be overcome by an effective maintenance program.
Slide 46: Non-Recoverable Factors
Loss factors that are due to the fixture design are considered to be non-recoverable.
Ballast Factor (BF)
Slide 47: Defining and Calculating Factors
We will define all the Recoverable and Non-Recoverable factors then we will describe how to calculate each one.
Let's start with the non-recoverable factors.
Slide 48: LLF: Luminaire Ambient Temperature
Luminaire Ambient Temperature is a non-recoverable factor. Photometric tests of indoor luminaires are carried out in
an open space with still air at 25 degrees Celsius or 77 degrees Fahrenheit. Actual installation conditions may be
quite different. Fluorescent fixtures are directly affected by ambient temperature. This factor should be considered for
linear and compact fluorescent installations in spaces with unusual temperature conditions. For our example, we will
assume that there are no unusual temperature conditions and therefore, record our value as 1.0
Slide 49: LLF: Voltage Variation
Voltage Variation is another non-recoverable factor. The voltage supplied to a fixture may vary considerably in most
commercial installations. A 1% voltage variation can cause approximately 3% lumen output variation in incandescent
sources.Unless the potential voltage variation can be determined and assumed to be constant, voltage variation is
usually assumed to be one.
Slide 50: LLF: Luminaire Surface Depreciation
Luminaire Surface Depreciation (LSD) is the next factor well look at. Changes in the characteristics of fixture optical
components cause light loss over the life of a fixture. A good example of this effect is the yellowing of polycarbonate
17
lenses due to the UV output of light sources. As our selected fixture does not have any surfaces that may be prone to
permanent depreciation, we will input a value of 1.0
Slide 51: LLF: Ballast Factor
The ballast factor represents the ratio of the light output produced by a commercial manufacturers ballast to that
produced by a reference ballast used in a photometric test of the fixture. Real ballasts may produce less light than
the test ballast. The ballast factor is given on the specification sheets for fluorescent lighting fixtures. For HID fixtures,
the ballast factor is 1. Our spec sheet states that the ballast factor for our fixture operating at 120v is 0.98.
Now lets examine the recoverable factors.

Recoverable factors include:
Lamp Burn Out (LBO)
Slide 53: LLF: Luminaire/Room Surface Dirt Depreciation
The first recoverable factor were going to discuss is Luminaire Dirt Depreciation (LDD).
Fixture light output can decrease significantly due to dirt accumulation on the lamps, reflector
and transmitting surfaces of the Luminaire. This effect is dependent on the amount of dirt particulate in a space.
Typically, air in commercial office buildings may be clean, while manufacturing areas may be relatively dirty.
Another factor is Room Surface Dirt Depreciation. This also depends on the environment.
Room surfaces such as painted walls or acoustic ceiling tiles lose their initial reflective properties due to dirt
accumulation.
18
Slide 54: Types of Environments

This chart published by the Illuminating Engineering Society of North America describes various types of
environments and how they should be classified based upon generated dirt, ambient dirt, removal or filtration and
adhesion.
Examples of each environment are listed.
Since the environment we are considering for our sample calculation is a commercial office, we will select a CLEAN
environment.
Slide 55: Maintenance Category

From this chart, also published by the Illuminating Engineering Society of North America, select a Maintenance
Category based upon the type of Luminaire.
The luminaire we have selected for our example is a recessed downlight with an open aperture making this fixture a
Maintenance Category: IV.
19

To complete the determination, we need to know the frequency of periodic maintenance (in months). The length of
the interval between luminaire maintenance can have a significant effect on the efficiency of a lighting system. Basic
maintenance includes cleaning the luminaires, as well as replacing burned out lamps or lamps nearing end of life.
This is based on client preference, but the best recommendation for periodic maintenance will be based upon the
average life of the light source. We recommend to group re-lamp all fixtures at approximately 80% of their rated
life.
In our example, the rated life for a 42w triple tube compact fluorescent is 16,000 hours. 80% lamp life is 12,800
hours. If the user burns these fixtures for 20 hours per day, 6 days per week, assuming 4 weeks per month, that
gives us a total of 480 hours per month. The lamps will have reached 80% of their expected life at around 26.6
months of operation. We will use a maintenance period of 27 months.
Slide 58: Combining the Data
Now we can use charts to determine the total factor for LLD (Luminaire Dirt Depreciation).
All we need to do is apply the values determined for:
Type of Environment, (we selected a clean (C) environment
Maintenance Category of the fixture (we selected a maintenance category IV), and
Schedule of periodic maintenance in months (and we determined a 27 month interval of periodic
maintenance)
20

These are the charts for the six maintenance categories. Select the Luminaire Dirt Depreciation (LDD) factor from the
appropriate curve.

Weve selected the chart representing Maintenance Category IV as previously determined by our calculations.
We then select a 27 month cleaning period and follow the line upward until it meets the environmental category
selected CLEAN (C). Follow that intersection to vertical axis to find the value, in this case 0.78.
Slide 61: LLF: Luminaire Dirt Depreciation
Add the value 0.78 to the worksheet as shown.
21

The next factor is Room Surface Dirt Depreciation (RSDD). This factor accounts for dirt accumulation on room
surfaces. This increases over time. As dust accumulation increases surface reflectance decreases. Less
inter-reflection results in less light falling on the workplane.
To find the Room Surface Dirt Depreciation (RSDD), we need to use the percentage of expected dirt depreciation
based on the type of environment and the cleaning interval already selected.
Slide 64: Room Surface Dirt Depreciation Chart
Here we are using another chart published by the Illuminating Engineering Society of North America.
We already calculated the RCR as 2.75. We are using a direct fixture. If we look up this type of fixture in the IES
Handbook, the Expected Fixture Dirt Depreciation will be 0.88 dirt depreciation or 12%. Now we can find the Room
22
Surface Dirt Depreciation Value based upon those values: We are in between values, so use your best judgment.
For our example, we will use a factor of 0.97.
Add this to the worksheet.

Lamp Lumen Depreciation (LLD) is our next factor. A light source starts with an initial lumen output. As the lamp ages,
lumen output decreases. A lamp lumen depreciation factor takes into account this lumen decrease. Refer to the
lamp manufacturers data for specific information. In this case, the initial lumen output of a 42W Triple Tube compact
fluorescent lamp is 3200 lumens. The Design Lumens or the output at 40% of lamp life is 2720. This indicates a
15% depreciation.
In this formula, all the multipliers are based on the percentage of light remaining, so the depreciation value we will
enter is 85%, or 0.85. Technically, this is lumen maintenance, rather than depreciation. One is the inverse of the
other.
Slide 68: LLF: Lamp Burn Out

Our last factor is the lamp burn out rate. Lamp Burn Out (LBO) predicts the number of lamps that will burn out before
the time of scheduled replacement.
For our example calculation, we will assume that 2% of lamps will fail before the 27 month initial maintenance period.
23
Enter 0.98 for Lamp Burn Out.

Slide 69: Total Light Loss Factor
Multiply all factors together to determine the total Light Loss Factor for the sample fixture in this sample environment.
The correct Total Light Loss Factor is 0.6176 rounded up to 0.62
That was step 5.

At last, we have all of the data necessary to calculate the number of fixtures required to provide the required
illumination at the work plane.
Using the formula shown, we can calculate the number of fixtures required.

Heres the calculation.
24
The result is 34.91 fixtures?!?!?!

Obviously, some rounding of this figure will be necessary! Well round up to 36. Enter this on the sheet.
Non-prime numbers are preferable since it is easier to lay out the lamps. By following these six steps, you can
calculate the number of lamps and fixtures required to illuminate a space to particular requirements. This enables you
to calculate the cost of replacing existing lamps with newer, more efficient or better quality lamps. If a designer is
making this calculation for you, this knowledge will enable you to understand and review his or her findings.
Lastly, by adjusting the calculation, if you know the number of fixtures in the area, you can calculate the light level at
the workplane.
This lighting scheme should provide an average illumination of 511.43 lux at the workplane. This compares
favorably with the target of 500 lux.
Slide 73: Summary
Lets summarize what we learned today:
The lumen method is for determining the number of fixtures required for providing an average luminance level to
horizontal surfaces.
It is not used for vertical or slanted surfaces, or environments where point sources create pools of light.
To measure actual light levels in the space, the measurements should be taken at the work plane level in several
places, and the result calculated as an average.
The six steps in the lumen method are:
Step 1: Identify the target light level from a reference and select the fixture to be analysed
Step 2: Identify the room data, including the reflectance of the surfaces and the area of the room
Step 3: Determine the room cavity ratio, taking into account the work plane and whether fixtures are
recessed or suspended
Step 4: Determine the coefficient of utilization, which determine the total number of lumens that get to the
workplane:
Step 5: Determine the various light loss factors, and
Step 6: Calculate the required number of fixtures
25
Lamp Burn Out (LBO)
Non-recoverable factors are due to the fixture design.
Ballast Factor (BF)
26
Energy University
Maintenance Best Practices for Energy Efficient Facilities
Course Transcript
Slide 1
Welcome to Maintenance Best Practices for Energy-Efficient Facilities.
Slide 2
This module was produced with the support of Spirax Sarco.
Slide 3
For best viewing results, we recommend that you maximize your browser window now. The
screen controls allow you to navigate through the eLearning experience. Using your browser
controls may disrupt the normal play of the course. Click the paperclip icon to download important
supplemental information for this course. Click the Notes tab to read a transcript of the narration.
This course contains many formulas and equations and you may find it helpful to have a
calculator, a pencil and some scrap paper on hand while participating in this course.
Slide 4
List organizational problems that lead to inadequate maintenance

Identify the characteristics of an effective maintenance system
List examples of energy efficiency costs caused by insufficient maintenance
Calculate the energy costs associated with various types of maintenance failure, for example, in
compressed air, or steam systems, and
Identify simple ways that infrared, vibration analysis, and ultrasonic surveys can contribute to
identifying maintenance needs
Slide 5
What is maintenance and why is it performed? The dictionary defines maintenance as the
upkeep of property or equipment. So maintenance should be carried out to prevent a device or
component from failing or to keep it in proper working order.
That makes sense
Energy University
Course Transcript
Unfortunately, many facilities do not apply the essential resources to maintain equipment in
proper working order. Rather, they use reactive maintenance, where they wait for equipment
failure to occur and then take whatever actions are necessary to repair or replace the equipment.
This leads to wasteWaste of time! Waste of capital! Waste of energy!
Slide 6
Good maintenance saves energy costs! Properly maintained facilities and equipment produce
quality products, reduce downtime and have lower energy costs. This adds up to real money!
This course will address the importance of maintenance in facilities, discuss the savings proper
maintenance can contribute, and identify techniques that can lead to the energy efficient
maintenance of facilities.
Slide 7
Why is it that facility managers use a reactive maintenance plan, instead of being proactive and
maintaining their facility and equipment BEFORE a mishap occurs?
Common maintenance problem areas include:

Lack of work order system
Poor reporting of work orders or problems
Poor analysis of work orders
Inadequate preventative maintenance program
Inadequate maintenance training
Poor control of maintenance efforts
Lack of management attention
Slide 8
So what are the characteristics of an effective maintenance system, and what does that look like?
Good maintenance systems provide the definitive tools, assign responsibility, evaluate results,
and reinforce best practice.
Effective maintenance systems use practices that bring discipline to the maintenance process by
ensuring
Definition of responsibilities
Energy University
Course Transcript
Analysis of work orders: A facility should know and understand the top 10 most frequent work
orders, the causes of those top 10 most frequent work orders, and the action plan for remedying
those top 10 most frequent work orders.
Adequate training
Sufficient tools and equipment
Clear procedures, including evaluation of results, and an emphasis on identifying and reinforcing
best practices
These systems can be simple, manual arrangements, or they can include capability for work
orders to be generated by sensor inputs providing data such as temperature of equipment,
vibration readings, and differential pressure on filters. In either case, there are basic requirements
for a work order system, work order analysis, generation of maintenance orders, and
performance records of equipment.
Now lets look at some examples of systems where effective maintenance practices make a big
difference to energy efficiency. Specifically, we will talk about steam traps, compressed air
systems, lighting and motors.
Slide 9
The steam system maintenance should include:
Steam trap survey and repair

Leak repair, and
Insulation repair
Lets take a look at each of these.
Slide 10
Steam is used to provide heat. Steam contains water, and its possible for water to condense
inside the pipes that convey steam from the boiler to the location where the heat is required. The
solution to this is a steam trap. Steam traps discharge condensate, and potentially air and other
gases, while minimizing the loss of steam.
Energy University
Course Transcript
A steam trap can be blocked or can leak. Blockages can increase production times and reduce
performance, steam leaks will lose energy and jeopardize safety.
Maintaining steam traps is important, because creating steam costs money, and losing steam
wastes money.
Your maintenance program should include recommended testing intervals dependant on the
pressure associated with the steam system. For high-pressure, the trap should be tested weekly
to monthly; for medium-pressure, the trap should be tested monthly to quarterly; and for lowpressure the trap should be tested annually.
Source for steam trap images: Spirax Sarco
Slide 11
How much will it cost you if you dont have an effective maintenance program? That depends on
the number and size of leaks, and your cost of steam.
In order to get the most accurate cost of steam, you can make a direct calculation based on fuel
consumption compared to steam flow. This requires steam flow measurements to be available.
Another method is to use a formula that incorporates the cost of fuel with the efficiency of your
boiler.
For the most accurate result, you should determine your boiler efficiency at your plant. Many
factors go into this calculation, including fuel type, unit fuel cost, age of boiler, feed water
temperature, and steam pressure.
An even more accurate calculation would need to include the cost of water treatment (chemicals),
labor, maintenance, and electrical power.
This makes it is rather difficult to provide a standard number for the cost of steam. Some
resources simply use the combustion efficiency of the relevant fuel. While the combustion
efficiency is an important number it does not reflect the actual boiler efficiency and should not be
used to calculate steam cost.
Energy University
Course Transcript
For example if we were to have a combustion efficiency of 81.7% firing natural gas and there was
a hole in the boiler venting steam the actual efficiency of the boiler will be much lower.
In fact there are almost always several holes in a boiler - the continuous blowdown and the
bottom or mud blowdown. These blowdown processes periodically remove the boiler contents in
order to limit the buildup of scale and other solids. The losses associated with these processes
and other losses due to radiation usually combine with the inefficiencies inherent in combustion to
give us an average boiler efficiency of 75%. In general for the fuels we most commonly encounter
i.e. natural gas, or fuel oil a boiler efficiency of 75% is a good average number.
Lets look at an example of calculating the cost of steam. To view the US Customary version of
the equation, click the paperclip icon to download Cost of Steam US Customary Example. To
view the Metric version of the equation, click the paperclip icon to download Cost of Steam
Metric Example. You will see that you can also download blank versions of these worksheets as
well.
Next we will provide a detailed explanation of the documents you have just downloaded. Click US
Customary to view that version. Click Metric to view that version of the explanation.
Energy University
Course Transcript
Slide 12
Lets calculate the cost of steam in US Customary units. Please be sure that you have
downloaded Cost of Steam US Customary Example as you will need this document to follow
along with this example.
In this example, the boiler pressure is 150 psi and the temperature of the water entering the boiler
is 180F. The fuel used is heavy fuel oil at a price of 0.64 per gallon. The boiler efficiency is
known to be 80%.
We will use a step by step calculation to determine the cost of steam. This calculation is also
shown in a downloadable worksheet. To use this worksheet for your own situation, simply
replace with your local currency and other values.
The first step is to determine the energy required to raise a pound of steam. In Table 1 on the
document you downloaded, find the row for boiler pressure of 150 psi, and the column for water
temperature 180F. This tells us that 1049 BTUs are required for every pound of steam. We
enter this as the first value.
A pound of steam is not very much, so typically we work in thousands of pounds. So the next
step multiplies by 1000 to get the heat for one thousand pounds of steam.
Now we need to determine how much fuel it takes to deliver that much heat. They are using
heavy fuel oil, so we look up the calorific value of that fuel in Table 2 on the document you
downloaded. Its given as 18,300. This is entered as the next value.
The total heat divided by the fuel calorific value gives us the pounds of coal or oil or the therms of
gas needed to heat that much steam. However, because the boiler is not 100% efficient, well
need to supply extra fuel to compensate for that inefficiency. Weve been told the boiler efficiency
is 80%, so that means the fuel required will be increased by a factor of 1 divided by 80 percent which means we need to multiply by 1.25.
That gives us the actual fuel needed in pounds or therms.
Energy University
Course Transcript
If youre using coal you would need to convert this into tons to get the cost of that much fuel. If
youre using oil youll need to convert into gallons. Lets do this next.
The specific gravity of the heavy oil is given as 9.7 in table 2. Dividing by this factor converts
from pounds to gallons. We were told that they pay 0.64 per gallon. Multiplying by this number
gives us 4.72 .
Now we know the cost of steam. To make one thousand pounds weight of steam, the fuel cost
would be four pounds and seventy-two pence.
Click metric to view that version of the calculation, or click continue.
Slide 13
Lets calculate the cost of steam in Metric units. Please be sure that you have downloaded Cost
of Steam Metric Example as you will need this document to follow along with this example.
In this example, the boiler pressure is 10 bar g and the temperature of the water entering the
boiler is 80C. The fuel used is heavy fuel oil at a price of 0.14 per litre. The boiler efficiency is
known to be 80%.
We will use a step by step calculation to determine the cost of steam. This calculation is also
shown in a downloadable worksheet. To use this worksheet for your own situation, simply
replace with your local currency and other values.
The first step is to determine the energy required to raise a kilogram of steam. In Table 1 on the
document you downloaded, find the row for boiler pressure of 10 bar g, and the column for water
temperature 80C. This tells us that 2445 kJ/kg are required for every pound of steam. We enter
this as the first value.
A kilo of steam is not very much, so typically we work in thousands of kilos. So the next step
multiplies by 1000 to get the heat for one thousand kg of steam.
Energy University
Course Transcript
Now we need to determine how much fuel it takes to deliver that much heat. They are using
heavy fuel oil, so we look up the calorific value of that fuel in Table 2 on the document you
downloaded. Its given as 42,500. This is entered as the next value.
The total heat divided by the fuel calorific value gives us the kg of coal or oil or the therms of gas
needed to heat that much steam (D). However, because the boiler is not 100% efficient, well
need to supply extra fuel to compensate for that inefficiency. Weve been told the boiler efficiency
is 80%, so that means the fuel required will be increased by a factor of 1 divided by 80 percent which means we need to multiply by 1.25.
That gives us the actual fuel needed in kg or therms.
If youre using coal you need to convert this into tonnes to get the cost of that much fuel. If youre
using oil youll need to convert into liters. Lets do this next.
The specific gravity of the heavy oil is given as 0.97 in table 2. Dividing by this factor converts
from kg to liters. We were told that they pay 0.14 per liter. Multiplying by this number gives us
10.38 (ten pounds and thirty-eight pence)
Now we know the cost of steam. To make one thousand kilos of steam, the fuel cost would be
ten pounds and thirty-eight pence
Click US customary to view that version of the calculation, or click continue.
Slide 14
Next lets calculate steam loss.
Now we know the financial cost of making steam. But how much steam could we be losing?
Steam can be lost from steam traps that failed to open, and from other holes in the distribution
system. The quantity of steam that is lost will depend on the size of the leaking orifice, and the
pressure of the system.
Energy University
Course Transcript
Lets look at an example. To see this example using US customary units, click here. To see this
example using metric units, click here.
Slide 15
In this case we are going to look at just one steam trap that has failed. The cost to generate
steam is $8.00/1000lbs and the system operates 24 hrs per day, 5 days a week. The diameter
of the leak is 1/4" and the operating pressure is 100 psig. What is the annual cost of the lost
steam?
In this case we are looking at only one trap and we know it has a leak. So A is 1 and B is 100%,
giving C as 1.
Now find the loss of steam from a sharp edged orifice. Find the curve for inch on the chart. On
the X-axis, find the line for 100 PSI steam. Find the point where these lines intersect, and read
on the Y-axis the corresponding value. Notice that the Y-axis is a logarithmic scale. So our
example loses steam at 190 lb/hr (pounds per hour). This is (D).
The next step uses a factor to reduce the calculated steam losses for the following reasons:
Not all steam traps are going to fail fully open.
We need to consider the effects of geometry, dirt and partial blockages.
The fluid will be 2 phase (mixture of flashing condensate and steam).
Some steam traps will be downstream of control valves.
If condensate is being returned to the boiler house, a percentage of live steam will increase the
temperature of the returning condensate, or could be injected back into the feed tank.
So the amount of steam actually being lost is approximately 50% of the amount lost through a
sharp, clean orifice. This gives us the value in E.
F is the total hours per year that the system operates - 24 hours per day times 5 days per week
times 52 weeks per year - is 6,240 hours per year.
C times E times F is 592,800 pounds per year.
We have been given the cost of steam at $8.00 per 1000 lbs. And thats H.
Energy University
Course Transcript
G divided by one thousand times H = $4,742.40 per year.
Remember this example deals with only one trap and a hole which is just quarter of an inch. You
can see that if you have many leaking steam traps that the cost could be very high!
In a real example, you might also have an estimated cost of production losses that you could add
on row J to obtain a final total in K.
Click Metric to see that version of the calculation, or click Continue.
Energy University
Course Transcript
Slide 16
In this case we are going to look at just one steam trap that has failed. The cost to generate
steam is 5 / 453 kg and the system operates 24 hrs per day, 5 days a week. The diameter of
the leak is 6 mm and the operating pressure is 7 bar. What is the annual cost of lost steam?
In this case we are looking at only one trap and we know it has a leak. So A is 1 and B is 100%,
giving C as 1.
Now find the loss of steam from a sharp edged orifice. Find the curve for 6 mm on the chart. On
the X-axis, find the line for 7 bar steam. Find the point where these lines intersect, and read on
the Y-axis the corresponding value. Notice that the Y-axis is a logarithmic scale. So our example
loses steam at 80 kg/hr (kg per hour). This is (D).
The next step uses a factor used to reduce the calculated steam losses for the following reasons:
Not all steam traps are going to fail fully open.
We need to consider the affects of geometry, dirt and partial blockages.
The fluid will be 2 phase (mixture of flashing condensate and steam).
Some steam traps will be downstream of control valves.
If condensate is being returned to the boiler house, a percentage of live steam will increase the
temperature of the returning condensate, or could be injected back into the feed tank.
So the amount of steam actually being lost is approximately 50% of the amount lost through a
sharp, clean orifice. This gives us the value in E.
F is the total hours per year that the system operates

24 hours per day times 5 days per week times 52 weeks per year is 6,240 hours per year.
C times E times F is 249,600 kg per year.
We have been given the cost of steam at 5 per 1000kg. Thats H.
G divided by 453 times H = 1248 per year.
Energy University
Course Transcript
Remember this example deals with only one trap and a hole which is just quarter of an inch. You
can see that if you have many leaking steam traps that the cost could be very high!
In a real example, you might also have an estimated cost of production losses that you could add
on row J to obtain a final total in K.
Click US Customary to see that version of the calculation, or click Continue.
Slide 17
And, finally, we need to look at insulation repair. Here we see a chart that shows us the heat loss
per 100 feet of un-insulated steam line in US customary units.
And here is the same information in metric units for 30 meters of un-insulated line. Both of these
tables are available for download (Heat Loss Charts) by clicking the paperclip icon in the lower
right had n corner of your screen.
The steam system piping and associated equipment, containing this high heat energy source
(steam) will constantly be a source of radiation losses. A simple but often overlooked energy
savings is to insulate all piping, steam and condensate, and all heat exchange equipment that
can be insulated.
How much could this energy loss be costing you? Well, that depends on how many hours per
year your system operates, and what your cost of steam is. However, if your cost of steam was
$6.00 per 1000 lbs a 750 foot section of 4 inch pipe conveying steam at 100 PSI could be costing
you $35,233 per year. In metric terms, a cost of 4.30 per 1000 kg with a 230 meter section of
100 mm pipe operating at 6.9 bar could be costing you 25,166 per year.
You can see these costs are potentially very substantial.
Slide 18
Some general guidance for insulation is:
Always insulate uninsulated surfaces. Make sure to include insulation at flanges, fittings, and
valves.
Energy University
Course Transcript
Always repair damaged insulation.
In general terms it is not economical to increase insulation thickness unless insulation is
damaged or missing.
For more information on this topic of Insulation or Steam Systems, please consider participating
in the Energy University courses on those subjects.
Next well move on to Compressed Air Systems.
Slide 19
The compressed air system maintenance should include:
Leak Survey and Repair

System Pressure Setting Audit
Well take a look at each of these, but to understand the importance first well examine the cost of
compressed air.
To estimate your annual operating cost is a simple calculation. You will need to know, measure,
or estimate the following:
Input Power: Horsepower or kW, from the compressor nameplate
Operating Hours: The number of hours the compressor is energized (turned on) each year
Cost per kWh: The local cost of electricity per kWh
Operating Time: The percentage of time the compressor is actually generating compressed air.
Most compressors cycle through loaded periods, when they are generating compressed air, and
unloaded periods, when there is enough pressurized air in the system.
Load: The load when the compressor is generating compressed air. If the need for compressed
air is not very high, or if the compressor is oversized for the needs, then the compressor will
operate at less than 100% load. Loading is normally shown by a gauge on the compressor, and
can be estimated by sampling it over a number of loaded periods.
Motor Efficiency: The motor efficiency is generally 90 % to 95% depending on motor and motor
size.
The basic formula is:
Energy University
Course Transcript
Annual operating cost = (input power * operating hours * cost of energy * operating time * load) /
motor efficiency
To see how to do this using US customary units, click here. To see how to do this using metric
units, click here.
Slide 20
Lets calculate the cost of compressed air in US Customary units.
To calculate the cost of compressed air we must first calculate the operating cost. For this
example, we will simply calculate the cost without including the cost of maintenance since this is
a minor cost.
In US units, power is normally given in horsepower, hp, so we will need to add a conversion to
our formula to convert from horsepower to kilowatts.
Here is the equation. Notice how canceling the units across the formula results in dollars per
year, which is the annual operating cost.
Try this example.
The input Power is 135 hp, and the conversion is 0.746 hp per kW.
This compressor is turned on 24 hours per day, 365 days per year
Electricity is $0.10 per kWh.
The compressor operates 100% of the time at 100% load.
The motor is 95% efficient.
Try calculating the annual cost yourself now. When you are ready, click Play to see the answer.
Slide 21
The annual cost for operating this compressor is $92,865 per year.
Energy University
Course Transcript
This tells us the total cost. Now we need to find out how much compressed air we are making, to
be able to calculate unit cost.
Slide 22
Lets calculate the volume of compressed air produced in US Customary units.
To calculate the volume of compressed air we need to know the output of an average compressor
in cfm/hp.
Note for a screw compressor an average value is 4.6 scfm/hp. (scfm = standard cubic feet per
minute)
A double acting reciprocating compressor averages 5.3 scfm/hp.
A centrifugal compressor averages 4.7 scfm/hp.
Note that these are averages at full load. Different machines and different loading would have
different performance levels.
Here is the equation. Notice how canceling out the units results in cft / year, which is the annual
output volume.
Our example has a screw compressor. The operating hours, operating time and motor efficiency
are the same as in the previous exercise. Can you calculate the annual output? Click Play when
you are ready.
Slide 23
In this example, for a 135 hp screw compressor running fully loaded year round the annual
volume of compressed air is 343,576,421 cft per year.
Slide 24
Putting these two calculations together, we divide the operating cost by the total air volume to get
the cost per unit volume. In this case, the answer is $0.27 per thousand standard cubic feet.
Notice this answer is given in cost per 1000 cubic feet. This is customary practice.
Slide 25
Energy University
Course Transcript
Leak rates vary from 5% of demand to 50% of demand, and since we have calculated the cost of
compressed air, lets look a table that can help determine the cost of individual leaks.
Slide 26
Here we see the costs associated with air leaks based on 100 PSIG accounting for 8760 hours
per year which is round the clock operation. These financial losses are based on a compressed
air cost of $0.18/thousand cubic feet.
We can see that if you have just one air leak of 1/8 diameter, that can cost over $2400 per year
on a 100 PSI system that runs 24/7 with a cost of 18c per thousand cubic feet.
Given that many plants have lots of air leaks, the cost can quickly run into tens of thousands of
dollars or euros per year.
An efficient maintenance program for a compressed air system must include a regularly
scheduled ultrasonic leak survey for air leaks.
Slide 27
Your system may operate at a pressure higher or lower than this example. Here is a chart
showing discharge rates for various pressures and orifice sizes.
Click metric to view that version of the calculation, or click continue.
Slide 28
Lets calculate the cost of compressed air in Metric units.
To calculate the cost of compressed air we must first calculate the operating cost. For this
example, we will simply calculate the cost without including the cost of maintenance since this is
a minor cost.
Here is the equation. Notice how canceling the units across the formula results in euros per year,
which is the annual operating cost.
Try this example:
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The input power is 100kW

This compressor is turned on 24 hours per day, 365 days per year
Electricity is 0.08 per kWh
The compressor operates 100% of the time at 100% load
The motor is 95% efficient
Try calculating the cost yourself now. When you are ready, click Play to see the answer.
Slide 29
In this example, we know that the annual cost for operating this compressor is 73,768 per year.
This tells us the total cost. Now we need to find out how much compressed air we are making, to
be able to calculate unit cost.
Slide 30
Lets calculate the volume of compressed air produced in metric units. Here is the equation.
To calculate the volume of compressed air we need to know the output of an average compressor
in litres/kW.
Note for a screw compressor an average value is 175 litres/kW.
A double acting reciprocating compressor averages 200 litres/kW.
A centrifugal compressor averages 178 litres/kW.
Note that these are averages at full load. Different machines and different loading would have
different performance levels.
Our example has a screw compressor. Can you calculate the annual output? You will get a big
number. Divide by 1,000,000 to get the result in millions of liters. Click Play when you are ready.
Slide 31
In this example, for a 100 kW screw compressor running fully loaded year round the annual
volume of compressed air is 9,682,105,263 litres per year, or 9,682 Mlitres (megaliters).
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Slide 32
Putting these two calculations together, we divide the operating cost by the total air volume to get
the cost per unit volume. In this case, the answer is 7.62 per Mlitre.
Slide 33
Leak rates vary from 5% of demand to 50% of demand, and since we have calculated the cost of
compressed air, lets look at a table that can help determine the cost of individual leaks.
Slide 34
Here we see the costs associated with air leaks based on 6.89 bar accounting for 8760 hours per
year which is round the clock operation. These financial losses are based on a compressed air
cost of 4.55 per million liters.
We can see that if you have just one air leak of 3mm diameter, that can cost over 1500 per year
on a 6.89 bar system that runs 24/7 with a cost of 4.55 per million liters.
Given that many plants have lots of air leaks, the cost can quickly run into tens of thousands of
dollars or euros per year.
An efficient maintenance program for a compressed air system must include a regularly
scheduled ultrasonic leak survey for air leaks.
Slide 35
Your system may operate at a pressure higher or lower than this example. Here is a chart
showing discharge rates for various pressures and orifice sizes.
Click US Customary to view that version of the calculation, or click continue.
Slide 36
Compressed air system pressure is often set at a convenient pressure. Common convenient
pressures include:
100 PSI
10 BAR
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A maintenance team may have set the compressed air system pressure unnecessarily high. This
ensures that there are never any complaints about a lack of compressed air but it translates
into higher running costs.
The system should be assessed to determine the existing pressure setting, and the critical
pressure setting.
What is the critical pressure ? The pressure below which machinery or a machine can not operate.
There is an easy way to find out the critical pressure setting. Simply ask the staff What machine
stops first when the compressor stops? The operating settings of that machine are the critical
pressure setting for the compressed air system.
Slide 37
2 psi (0.13 bar) pressure reduction will save 1% in operating costs.
Set the operating pressure close to the critical pressure and/or identify critical pressure end use
and modify it to operate at a lower pressure.
Note that even a 2 psi (0.13 bar) pressure reduction can result in savings at no capital cost.
Next, well move on to lighting systems.
Slide 38
When we talk about lighting, first and foremost its important to define an efficient solution
designed for your lighting needs including use of standard lighting levels, efficient light sources,
and effective control. Your control approach will likely have some behavioral elements, such as
requiring Supervisors, Fire / Security Watch and Custodial staff to turn off lights in unoccupied
areas, but is likely to be maximally effective if it includes some automation, for example with
scheduling control, or occupancy sensors. Please consider participating in Energy Universitys
courses on lighting for more details.
Once your lighting solution is defined, your maintenance program should cover:
Cleaning
Relamping
Monitoring and revising lighting schedule as needed
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Maintaining light levels in compliance with local standards
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Slide 39
Lets look at relamping in a little more detail.
One potential method is group relamping. Lamps have an average rated life. Knowing the
average rated life means you can calculate how many lamps in your installation will require
replacement each year.
Here we see that equation:

Number of annual replacements = Number of fixtures x Lamps per fixture x Operating hours /
average rated lamp life
Consider a building with 2,000 fixtures, each containing 3 lamps, that is open from 7 AM to 7 PM,
Monday Friday
The average rated lamp life is given as 25,000 hours
Operating hours = 12 hours per day x 5 days per week x 52 weeks per year = 3120 hours.
Number of annual replacements = 2,000 x 3 x 3120 / 25,000 = 749 replacements per year
Slide 40
If each time an individual lamp burns out, the maintenance staff are called out to replace it, that
can be quite costly in terms of effort, because each replacement requires the staff to locate the
fixture, gain access, remove the lamp, fit the new one, and dispose of the old one correctly. The
overhead of effort in each replacement is quite high. Also, older lamps that have declined in
efficacy will be consuming energy in your installation and not providing much light. An alternative
is group relamping.
A group relamping strategy does not wait for lamps to burn out before replacing them. Instead,
all the lamps are replaced at one time, when they have reached some percentage of their rated
life. 70% is recommended by the United States Environmental Protection Agency. This reduces
the loss of light due to lamp failure, and the time, effort and complaints associated with spot
replacement of lamps. The few lamps that fail between group relamping cycles can be spotreplaced as needed.
Using our previous example building, here is how to calculate the group relamping interval:
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Group relamping interval = Average rated lamp life x threshold percentage / annual operating
hours
= 25,000 x 70% / 3120
= 5.6 years
Slide 41
Okay, lets round that down to 5 years. Based on a 5 year relamping interval, on average, you
will be replacing 6000 lamps / 5 years = 1200 lamps per year.
Lets see what difference that makes to the maintenance budget. These figures for material and
labor cost are taken from a US Environmental Protection Agency study of lighting maintenance
published in 1995. Current values are likely higher but the same principles apply. The estimate of
$7.50 of labor cost per lamp replacement may sound surprising at first. However, remember that
fully loaded labor rates include all the overheads of a business (building rental, energy,
equipment, insurance, healthcare, etc, not just salary). Of course these costs will vary depending
on local conditions. Also these lamps may not be easy to reach - high bay lighting can be
mounted in excess of 7 meters or 25 feet up which brings with it access and safety considerations
that add time to the procedure.
Labor per lamp is much higher for spot relamping because of the effort to organize and perform
individual lamp replacements. Group relamping costs less per lamp because many lamps are
replaced at one time.
This example shows group relamping has the potential to reduce the maintenance effort in this
case by 65%.
Adapted from EPA Green Lights Program, Lighting Update Manual, January 1995. EPA 430-B95-009
Next, lets move on to discuss motors!
Slide 42
Just as we discussed with lighting, its important to define an approach that is designed for your
specific motor needs, including use of premium Energy Efficient motors where possible,
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particularly for replacement of failed motors and Variable Speed or Variable Frequency drives
(when applicable). Please consider participating in Energy Universitys courses on power drive
systems for more details.
During the lifetime of a motor, an effective maintenance program will need to deal with:
Replacement of belts, which offers the opportunity to use cogged or synchronous belts. In
general, the standard V belt is changed annually, the cogged belt is changed every 12 18
months, and the synchronous belt every 5 years. Actual replacement schedule will depend on
the application.
Shaft alignment, using laser alignment tools for both direct drive and belt drives. This step is
crucial to extend motor life. Ensure motor bases are designed for easy adjustment, have sufficient
mass and are sufficiently rigid. Alignment is only required when the motor is replaced or changed,
the drive coupling is replaced or when the belt is replaced. Good motor base design and proper
installation will create a long lasting, stable alignment. Energy losses due to poor alignment are
very hard to quantify; estimates are generally in the 1 - 2 % range, but sufficient data is not
available to confirm this.
In the last section of this class, we will look at some specific tools and techniques and see how
they can be usefully applied to the energy-efficiency maintenance of the systems we have been
discussing. We will look at the simple ways that ultrasonic, infrared, vibration analysis surveys
can contribute to identifying maintenance needs.
Slide 43
Ultrasonic leak detectors sense high frequency sounds produced by leaks in the types of systems
and equipment we have covered in this course. It electronically translates these signals to an
audible range so that the user can hear them through a headset, and see them as intensity
increments on a meter. This yields an easy to use (and understand!) device that can be used in
the noisiest of environments.
Here are some helpful hints to consider when using ultrasonic leak detectors.
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When using ultrasonic leak detectors for air leaks, it is important to survey during full production
periods. This is contrary to the popular belief that air leak testing must be scheduled for off
production hours. The ultrasonic detector will filter out other noise.
When using ultrasonic leak detectors for steam traps, it is important to survey steam traps during
winter heating season. The steam systems should be at or near full flow for best results.
Ultrasonic leak detectors are ideal for:

Specialty gas leaks, especially for high cost gases like Nitrogen, Argon, Carbon Dioxide
Vacuum system leaks
Duct work leakage, particularly insulated duct work
Induced draft (ID) and forced draft (FD) fan duct leakage, particularly behind insulation blankets
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Slide 44
Infrared inspection services are widely available and are astonishingly cheap! Although the cost
will vary by country, we have seen costs in the US on the order of $75 per hour. Infrared
inspection can provide a quick return on investment through energy or product recovery, reduced
downtimes, and protection of adjacent equipment.
Infrared inspection is ideal for:

Electrical gear inspection
Insulation hot spots
Building envelope including roof inspections. For example, aerial infrared inspection is a cheap,
effective method of built up roof inspection especially in identifying leak points and saturated
insulation
Boiler lagging and flue gas leaks, as infrared inspection can determine the point where the leak
starts.
Slide 45
Using vibration analysis on rotating machinery enables the early detection of faults before
breakdown. This will reduce economical losses to production and equipment, saving the industry
millions of dollars in machine down time!
Vibration analysis is ideal for motors and bearings!

Its important to note that motor and drive bases should have a mass that is 3 times the mass of
the rotating element. Concrete is a cheap method of adding mass.
Vibration analysis is ideal for fans!

Always be sure to dynamically balance fans in place upon installation. Although fans are
balanced at the factory, it is common for fans to become damaged and or out of balance during
shipment or installation.
Vibration analysis is ideal for production machinery!

In dealing with vibration problems in production machinery, one of three solutions is usually
effective: Increase mass of the machinery, increase rigidity of the machinery, or dynamically
balance the rotating element. Any, or all, of these methods can be used to reduce or control
vibration.
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Vibration analysis is ideal for large rotating machinery, which often include vibration sensors for
continuous condition monitoring.
Slide 46
Properly maintained facilities and equipment produce quality products, reduce downtime and
have lower energy costs.
Good maintenance systems provide definitive tools, assign responsibility, evaluate results, and
reinforce best practice.
Some examples of systems where effective maintenance practices make a big difference to
energy efficiency include:
Steam Trap
Compressed Air
Lighting
Motors
Ultrasonic, infrared, and vibration analysis surveys can contribute to identifying maintenance
needs.
Slide 47
Slide 48
To test your knowledge of the course material, click the Knowledge Checkpoint link on your
personal homepage.
Important Point! The Knowledge Checkpoint link is located under BROWSE CATALOG on the left
side of the page.
Slide 49
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We are dedicated to providing you with relevant, cutting edge education on topics pertinent to
energy efficiency. Please take our brief survey and tell us how were doing.
How do you begin? Its easy! 1) Click on the Home icon, located in the right corner of your
screen. 2) Click on the Course Surveys" link on the left side of the screen under Browse
Catalog. 3) Select the course title you have just completed and take our brief survey.
Measurement and Verification with IPMVP

Slide 1
Welcome to Measurement and Verification: Including IPMVP (International Performance Measurement and
Verification Protocol).
Slide 2
Slide 3
Explain the principle of measurement against an adjusted baseline
Describe different approaches to measurement and verification and identify suitable cases for
using each one
Explain the role of guidelines such as IPMVP, and those from the US Department of Energy and
ASHRAE
Slide 4
Measuring energy efficiency is an exercise in quantifying whats not there. Savings are the lack of energy
use and we cant measure what we did not use. We can measure what we DID use, and calculate the
change in usage. But unfortunately change does not equal savings.
Slide 5
An energy efficiency project may be performed at the same time as a major change in production level, or a
change in the weather. How much of the measured change in use was due to the energy efficiency project,
and how much was due to the changes in production or weather? How can you be sure that your project is
delivering expected results and return on investment? Increasingly, senior managers want good answers to
these questions. And, if you intend to borrow money to fund your energy efficiency equipment purchases,
lending institutions may be reluctant to provide funds unless you can clearly show how you will measure and
verify energy savings.
Slide 6
Measurement and verification can be defined as the process of measurement to determine the actual
savings created by an energy management program or energy conservation improvements. The savings
are expressed in both units of energy and the financial impact of the savings.
Slide 7
Why are we interested in measurement and verification?
Measurement and verification make sense for many reasons:
It provides accurate feedback over time to ensure savings are sustained and not lost and highlights
opportunities for improvement
It aids facility managers in ensuring efficient maintenance and operations to minimize utility
expenditures
It documents the financial aspects of energy conservation improvements, which is commonly of
value internally, but also Provides the credibility to improve the prospects of acquiring financing for energy conservation
projects and may even allow for financing projects that may not meet the company standards for
payback
It provides the ability to weigh and reduce risk of performance contracts
It can also be of assistance for utility budgeting and
May be required when reporting energy savings for regulatory compliance, or to participate in
emissions trading
Slide 8
The fundamental principles of good measurement and verification include the following, (in alphabetical
order):
Measurement and verification reports should be as accurate as the budget will allow
The reporting of energy savings should consider all effects of a project
Where judgments are made about uncertain quantities, measurement and verification procedures
should be conservative
The reporting of a projects energy impact should be consistent over time, repeatable, and
duplicate-able
However, consistent does not mean identicalmeasurement and verification requires judgments
which may not be made identically by all reporters
Relevantthe determination of savings should measure the performance parameters of concern,
while other less critical or predictable parameters may be estimated and finally,
Transparentmeasurement and verification activities, estimates, etcetera should always be
disclosed
Slide 9
The Efficiency Valuation Organization or EVO, (formerly the IPMVP committee) has published an
International Performance Measurement and Verification Protocol. EVO originated as a committee under a
United States Department of Energy initiative. It is now a non-profit US corporation with worldwide
membership and influence.
In addition to the measurement and verification protocol, they have also developed the International Energy
Efficiency Financing Protocol (IEEFP). Through this protocol, EVO educates local financing institutions on
how energy savings can generate cash flow to repay energy efficiency loans. Measurement and verification
is key to the forecast of the cash flow. IPMVP guidelines and up-to-date information are available from their
website: http://www.evo-world.org.
Slide 10
Its important to note: that IPMVP is not intended to prescribe contractual terms between buyers and sellers
of efficiency services, but rather to help in the selection of a measurement and verification approach that
best matches the project costs and savings magnitude, technology specific requirements, and risk allocation
between the buyer and seller.
To download more information on IPMVP, click the paperclip icon. (Located in the lower right hand corner of
your toolbar.)
Slide 11
Worldwide, many organizations have adopted IPMVP, or in some cases, defined their own guidelines. The
European Committee for Standardization participates with the EVO-World on IPMVP revisions.
Numerous European countries are members of the European Committee for Standardizationalso known
as CEN, and you can find more information at their website:
http://www.cen.eu/cenorm/homepage.htm
Additionally, the Australian Energy Performance Contracting Association has published a Best Practice
Guideline that refers to the IPMVP. Here is their website for more information:
http://www.aepca.asn.au
Slide 12
The U.S. (United States) Department of Energy's Federal Energy Management Program (FEMP) has
published Measurement and Verification Guidelines for Federal Energy Projects. This guideline was
updated in April of 2008.
The FEMP guidelines are mostly consistent with the IPMVP guidelines, but are focused on and required for
U.S. federal government projects. You may obtain a copy of the publication via the Federal Energy
Management Program website. (http://www1.eere.energy.gov/femp/)
Slide 13
ASHRAE also provides measurement and verification guidelines in their Guideline 14, 2002 publication:
Measurement of Energy and Demand Savings. This publication is highly technical, and is available for
purchase via the ASHRAE website: www.ashrae.org.
ASHRAE is the American Society of Heating, Refrigerating and Air-Conditioning Engineers. Although the
group has American in the title, it is an influential international organization. The ASHRAE standard and
IPMVP are fully complementary and many of the authors of both documents were the same. In fact, the
IPMVP refers to ASHRAE Guideline 14. Although IPMVP uses some different names for the options, in a
nutshell; IPMVP requires you to have a measurement and verification planfollowing a set of best practices.
So, if you used the ASHRAE guideline to fulfill those best practices, that would be acceptable under IPMVP.
Slide 14
We are going to dig further into IPMVP. Energy Managers for large scale facilitieslike universities and
manufacturing complexesuse the principles found in IPMVP to forecast budgets and verify effective facility
operation.
They need to be able to report if budget variances are caused by operation, weather, production levels, or
utility rates. And, they need to be able to forecast what the utility budget will look like if, for example, the
weather is severe or mild.
Slide 15
IPMVP compliant M & V is frequently required by the financier of a performance contract. In the case of a
performance contract, the measurement is primarily focused on determination of savings from energy or
water conservation as well as efficiency programs, and alternative energy projects.
The measurement and verification plan helps to identify areas of risk associated with these programs.
These risks are defined in the contract between participants. Energy conservation and efficiency projects,
as well as alternative energy projects have two elements: performance and operation.
Slide 16
In this context, performance of the project is related to its efficiency, defined with a metric: such as
improvements in lumens per watt or in tons of cooling per kilowatt of demand.
Operation of the project is related to its actual usage, defined by operating hours, tons hours, etcetera and
can be associated with conservation.
Because conservation involves the frugal or careful use of resources. An easy way to think about it is Doing
Less to Use Less.
Such as turning the lights out when we leave a room
Efficiency, on the other hand, refers to using fewer resources for the same resultor Doing More With
Less.
Such as replacing an old, inefficient chiller with a new, high-efficiency chiller
The measurement and verification plan should identify the variables that affect energy use, consumption,
and costs before the project is implemented. Variables controlled by the energy service companyor
ESCOinclude retrofit design and performance; and owner-controlled variables include facility
characteristics and operations. ESCO and/or owner-controlled variables include maintenance. Variables that
are outside of either partys control include the weather, energy prices, and natural disasters.
Slide 17
Whats the purpose of identifying those variables? It is so that they can be used to correctly adjust the
baseline. Savings cannot be measured directly. Savings are equal to the baseline energy use, measured
before the improvements, minus the post-retrofit energy usage, with adjustments. The baseline is what the
energy costs would have been if the retro-fit had not been implemented.
How do you know what the energy costs would have been without the retrofit? By analyzing the relationship
between the energy use and the variables, and adjusting the baseline during the reporting period. ASHRAE
Guideline 14 provides in depth technical information about these calculations.
The fundamental equation for savings in IPMVP is
Savings = (Baseline Period Use or Demand Reporting Period Use or Demand) Adjustments
Lets look at this further.
Slide 18
Here is an example showing a static baseline the energy consumption that was measured during the
baseline period of 2008. During most of 2009, the site consumed more energy. Has the energy
conservation measure failed?
Heres some additional information that may be relevant: the heating degree days for each month.
Heating degree days are based on the difference between the average actual outside air temperature and
the threshold at which heating is required. For example, if one day the average outside temperature is 5
below that threshold, that would be five heating-degree-days. If for 10 days the average temperature was
7 below that threshold, that would be 70 degree-days.
It should be noted that, globally, there are many ways to calculate heating and cooling degree days; but the
idea of what they measure or indicate is consistent. The measurement and verification plan should indicate
how these calculations will be performed.
Note that several months of 2009 were colder and had greater heating needs than 2008. Thats interesting,
but how do we use that information to adjust the baseline?
Slide 19
One method of modeling or calculating the baseline is by a regression analysis. Here, each dot represents
an actual measurement from the baseline year. For example, this dot is an actual measurement of a week
where a certain number of heating degree days were measured, and a certain energy consumption was
noted. The line is the best fit through the dots.
In this case, its a linear relationship as expressed by this equation: y = mx + c

Where
y is the energy consumed
m is the angle of the line
x is the heating degree days, and
c is the axis intercept
These models are not always linear, but can be curves or other shapes. This model showed a simple
relationship between two factors: energy use and heating degree days. Keep in mind that models may also
include multiple factors.
Slide 20
How do we use this to make an adjustment to the baseline? Lets analyze a single point. For January 2009,
we know how many heating degree days there were. Thats our first input. Using our analysis, we can
determine how much energy would have been required to provide that much heating. Thats the output from
the model analysis, which gives us our adjusted baseline. We can compare this to the second input, which
is the actual consumption in January 2009. The difference between the two is the resulting energy savings.
Slide 21
The adjusted baseline determined from the analysis is the energy consumption that would have resulted if
no energy retrofits had taken place, based on the 2008 performance data and 2009 heating conditions. We
can see here the effect of the colder weather. The adjusted baseline shows the building would have
consumed more energy. Due to the efficiency improvements, 2009 performance was actually better than
previous years.
Slide 22
Adjustments typically fall into two categories: routine and non-routine. Routine adjustments are adjustments
for changes in parameters that can be expected to happen throughout the post-retrofit period, and for which,
a relationship with the energy use/demand can be identified. These are often seasonal or cyclical.
Slide 23
Non-routine adjustments are adjustments for changes in parameters which cannot be predicted and for
which a measurable impact on energy use/demand is expected. For example, the addition of a new
production line, or opening up new space in a facility.
Slide 24
Are there occasions where measurement and verification may not be required? There are, and in this case,
the alternative to measurement is stipulated savings. Stipulation is, technically, not a form of measurement
and verification. Stipulation may be used in a contract between a customer and an energy service company
when the magnitude of the savings is sufficiently small or the performance parameters are well known to all
parties, and it doesnt make sense to pay for measurement and verification. The savings are agreed upon
by both parties prior to the project based on engineering calculations, measurements and assumptions. The
savings are stipulated in the contract and no measurement and verification is performed. Stipulated savings
are not guaranteed. If the project is small, this may be an acceptable optionand while there is no cost, the
owner assumes all of the risk for the savings with this approach.
Slide 25
There are a few different ways to approach measurement and verification. Lets look at those included in
IPMVP. There are basically two approaches: Retrofit isolation and whole facility. Retrofit isolation is used
when measurements can be taken from a specific device or system. It requires you to define a
measurement boundary for the specific energy conservation measure. Whole facility approaches are used
when there many energy saving measures that interact or affect multiple systems. How do you choose the
right method for you? Decide what you are concerned about. If you want to manage your total energy use,
select the whole facility method. If you want to assess a particular retrofit, select the retrofit isolation method.
Lets talk a little more about these methods.
Slide 26
There are different options for each method, which allows flexibility for various situations.
Option A is retrofit isolation with key parameter measurement

Option B is retrofit isolation with all parameters measurement
Option C is whole facility measurement
Option D is calibrated simulation which can be applied to a whole facility or to a specific device or
system
Because each of these have best fit applications, lets take a look at the suitability for each approach.
Slide 27
Option A, retrofit isolation with key parameter measurement, determines the savings by measuring key
parameters of the energy saving action. The measurements are taken at a boundary that isolates the
retrofit that you are trying to measure from other systems. The key parameters that are selected are the
ones that drive the energy use of the affected systems. Parameters that are not selected for measurement
may be estimated.
Slide 28
For example, if a lighting project is being evaluated with this method, you might measure the power
consumed by the lighting fixtures before and after the retrofit. You might estimate how many hours per year
the lights will be operated, by collecting the data about the opening hours of the building. Based on this, the
energy quantities can be calculatedand you will use this to define the baselineand the energy used
during the reporting period, to identify the savings.
Slide 29
How do you know which parameters to measure and which to estimate? Using option A, you measure the
parameters for which you dont have good data. For example, if the power consumption of the lights is well
known, but the operating hours are not well known; Option A would require you to measure the operating
hours, since you do not have the data to be able to estimate them. This helps to make option A costeffective; you only spend on measurement for the factors that are uncertain. Parameters that are well
known can be estimated at a lower cost than measurement. Option A is well suited to cases where the
measurement boundary can be clearly defined and uncertainty created by the estimates is acceptable to the
owner.
Slide 30
Option B, retrofit isolation with all parameter measurement requires measurement of all the energy
quantities, or all the parameters needed to calculate energy. In other words, it does not allow for the
estimation of any factor that significantly affects the energy consumption. Again, a measurement boundary
is defined to keep the retrofit in isolation from other devices or systems. Measuring devices are put in place
for the baseline period and capture energy use or other parameters.
The measuring devices either remain in place or are brought back periodically during the reporting period
and capture the ongoing energy use and parameters for comparison with the baseline.
Slide 31
Option B is generally more expensive than option A, because now any relevant parameter has to be
measured, not estimated. The complexity of the metering required can be greatly increased. However, if
the energy consumption of the device or system varies a lot due to unpredictable factors, like weather, or
variable operating hours, option B will tend to provide more certain results. It is important to note that
improving the certainty or accuracy of the savings calculations results in increased cost.
Slide 32
Option B is well suited:
When the measurement boundary can be clearly defined
When the meters for measurement can also be used for tenant billing or feedback to operators
When the risks of errors due to estimation are high and,
When measuring all the parameters is less expensive than computer simulation
Slide 33
Both option A and B may make use of spot measurements, as well as use continuous measurements. Spot
measurement works well for loads that are constant, such as lighting, and electric motor replacements.
With a constant load you can take just one measure, and be confident that the load will use the same
amount of energy whenever it is powered on. Spot measurement also tends to be used for small projects
where measurement and verification costs are difficult to justify and at times when the most important thing
is to confirm if an installation has been done or not. Over a period of time, savings extrapolated from a spot
measurement will be less accurate than those monitored with continuous measurement. This measurement
technique therefore requires the owner to be willing to assume more risk on the savings.
Slide 34
Its a good idea to select a continuous measurement option when you have a variable load, for example
HVAC. Continuous measurement is well suited for large projects meaning those where the stakes are
high and the measurement and verification costs are both justified, and can be absorbed. Continuous
measurement is a better option for an owner who is not willing to assume the savings risk. Because
continuous measurement must be conducted over a period of time, this option is used when there is time
available for a baseline measurement.
Slide 35
This approach measures the energy use or other parameter continuously for as long as necessary to
establish a baseline. The measurement period should be no less than one cycle of the facility. This may be
one year for a seasonal cycle; or it may be a single shift if the facility is a manufacturing plant and the
greatest energy effect is productionnot weather. The measurement then remains in place during the
reporting period, for comparison to the baseline. An example of continuous measurement would be metering
on an HVAC fan using a variable speed drive. The meter would be put in place for a baseline period to
determine how much energy the fan uses without the drive. Once the drive is in place, the meter continues
measuring and shows how much energy the fan is consuming following the retrofit.
Slide 36
Lets make sure we understand the difference between option A and B. Heres an example of a 200 kW
motor, which runs 8 hours per day, 200 days per year. Its replaced by a new 130 kW motor. In option A,
spot measurement was used to record the power drawn by the motor before it was replaced. After the
retrofit, another spot measure was taken to confirm the new power draw. The utilization was well known, so
it was estimated rather than measured, and calculated to be 1,600 hours per year. The total energy savings
are therefore equal to the reduced power consumption times the operating hours, and add up to 112,000
kWh.
Another factory faced the same situation, replacing a 200 kW motor with a 130 kW alternative. But the
motor runs intermittently, and they are not sure how many hours it runs per year. However, they do have a
year of sub-meter data, so they know the total consumption over the previous year was 320,000 kW, and
they take this as the baseline measurement. After the motor is replaced, they continued to monitor the
consumption with the meter. Over the next year, the meter assessed a consumption of 208,000 kWh. The
calculated savings were therefore once again 112,000 kWh.
Note that these examples are rather simple, because no adjustments were needed to the baseline.
Slide 37
If the energy conservation measures are highly interactive and affect multiple systemslike HVAC
improvements combined with building management systems, it may be very difficult to isolate systems for
measurement using option A or B. Option C is an approach that determines savings at the level of the
whole facility, or a major section if a boundary can be established.
This approach typically relies on continuous measurement using the facility main meter. Although energy
data may be collected from the utility bills, there are some pitfalls. Utility bills may include estimated data
that can introduce errors into the M & V process.
Slide 38
Since this approach is measuring a whole building, it will generally be less sensitive than measurement
using retrofit isolation. For this reason, the expected savings should be more than 10% when the reporting
period is less than two years. This approach is well suited for the owner who is not willing to assume all of
the savings risk, however this approach does not allow for performance tracking of individual energy
conservation measures (ECM).
Slide 39
A calibrated simulation is another method available when there are multiple or interactive improvements. It
can be used for any energy conservation measure, but is generally only used when one of the other options
are not feasible. A computer model is used to simulate the consumption of the building. This model is
calibrated by comparing the results of the model to a set of data including energy measurements,
independent variables (such as production level or temperature) and static factors (which are variables that
typically change slowly if at all, such as occupancy). After that the model is used to provide both the
baseline and the post-retrofit energy usage. This approach is best applied when there is no available
metered data, but the project is large enough to justify and absorb the simulation costs. Since this method
relies on the modeland not the measurementthe owner has to be willing to assume the risks that the
real savings may not match the model.
Slide 40
Lets take a moment and review the four basic options of measurement and verification:
Retrofit Isolation with Key Parameter Measurement: Savings are determined by field measurement
of the key parameters that define the energy use of the system to which an ECM was applied
separate from the energy use of the rest of the facility. Other parameters are estimated.
Retrofit Isolation with All Parameter Measurement: Savings are determined by field measurement
of the energy use of the system to which the ECM was appliedseparate from the energy use of
the rest of the facility. There is no estimation.
Whole Facility: Savings are determined by measuring energy use at the whole facility level or subfacility level and finally,
Calibrated Simulation: Savings are determined through simulation of the energy use of the whole
facility or of a sub-facility
Slide 41
Choose the most reasonable method for measuring the equipment/facilitythe goal of measurement and
verification is to produce information that is more valuable than the cost to obtain it. For the purpose of
isolating and quantifying energy conservation measure payback, energy conservation measures with short
paybacks should require less measurement and verification.
Slide 42
The method should be
Fair to both parties
Agreed upon by both parties
Accurate, and
Fully understood by both parties
At a minimum, the method should monitor energy consumption to verify the energy conservation measure is
operating and reducing consumption or costsas best shown through a rolling summary chart.
Slide 43
One thing we need to keep in mind, is that the measurement and verification cost directly affects the project
economics. Its a fine line we need to walk between cost and accuracy. We need to answer the question:
How much measurement and verification is actually worthwhile?
Slide 44
IPMVP recommends spending no more than 10% of the savings on measurement and verification.
However, please be aware that if the M & V activity is part of a performance contract, the contract may
include other components in addition to M & V, such as technical support, maintenance services, monitoring
contractual compliance, etcetera. The cost of all these activities may aggregate to more than 10% of
savings.
Slide 45
In addition to measuring and verifying energy savings, other activities are required to get the full savings
picture. The financial value of your savings will depend on how much you pay for energy, and how those
payments are calculated.
To forecast or express the energy savings in financial terms, youll also need to consider:
Evaluation of rate structure
Tariff options, and
Price stability to support the project over the long term
Furthermore, an energy saving project may also bring non-energy or operational savings. For example,
some lighting retrofits reduce the need for maintenance time on changing lamps. If you wish to include
those types of savings you will need to consider how to evaluate them. Note that in some regions it is not
legal to include operational savings in a performance contract.
Slide 46
Lets end our discussion with a brief summary. Today we explained the principle of measurement against an
adjusted baseline. We looked at four different approaches to measurement and verification and identified
suitable cases for using each one. We looked at the IPMVP guidelines, and also looked at the role of other
guidelines such as those published by the US Department of Energy and ASHRAE.
Slide 47
Measuring and Benchmarking Energy Performance

Slide 1
Welcome to Energy Efficiency Measuring and Benchmarking Energy Performance.
For best viewing results, we recommend that you maximize your browser window now.
Slide 2
At the completion of this course, you should be able to:
Describe what energy accounting is
Describe energy use index and energy cost index
Explain the concept of load factor for a facility
Describe the equipment and methods needed to perform energy measurement and benchmarking
List examples of efficiency opportunities that can be found using meter interval data
List the common methods for benchmarking
Describe methods to verify energy savings.
Slide 3
Energy efficiency needs a structured and persistent approach. Finding the opportunities and fixing the
basics is the first step. This can include installing low consumption devices, insulation material, and power
factor correction. Optimized results come when consumption is automated and regulated by implementing
HVAC control, lighting control and variable speed drives. Monitoring through meters, monitoring services
and efficiency analysis is the key to maintaining the savings.
Measurement and benchmarking appears in two key stages in this improvement cycle. Before starting an
improvement program, measurement and benchmarking helps determine where and to what degree energy
is wasted. It also provides a baseline for future comparison. Measurement during the monitoring stage
helps identify deviations that need to be corrected, in order to sustain the savings.
Slide 4
Savings can be lost quickly with unplanned, unmanaged equipment shutdowns and processes, with lack of
automation and regulation of motors and heating, and when efficient behaviors cease. Measurement and
benchmarking forms a key part of a monitoring and maintenance program. Without a monitoring and
maintenance program, up to 8% savings per year can be lost. Up to 12% per year can be lost without
regulation and control systems.
Slide 5
Energy accounting is the practice of collecting, recording, and analyzing energy data. Its purpose is to make
energy data available in a format that supports energy management and business decision making.
Slide 6
Energy accounting requires a few different abilities. Its necessary to know the various types of energy used
in the facility. Obvious examples include electricity and gas. It may be less obvious that steam and
compressed air may also be purchased and are types of energy themselves. Analysing energy also requires
one to understand the units of measurement, and how to convert between them.
Slide 7
Why is energy accounting useful? Because you cant manage what you dont measure. Depending on the
information that you collect and analyse, energy accounting enables you to:
Uncover opportunities to make savings
Verify the effects of your energy efficiency program
Ensure that you are billed accurately for what you really use
Allocate costs to your tenants or managers to drive responsible behaviour regarding energy use
Predict energy consumption, resulting in budgeting for those expenses
Compare your energy efficiency performance to industry standards, regulatory compliance, and
corporate KPI targets
Slide 8
Well see how you obtain each of those benefits as the course unfolds.
How can you obtain the inputs you need for energy accounting?
A simple way to begin energy accounting for a facility is to analyse the energy bills for the previous twelve or
twenty four months. By doing this you can learn:
How much am I spending on each type of energy as a percentage of the whole?
How does my spending vary with the time of year?

Are there some immediate indications of improvement areas? Examples could be charges for
reactive power or penalties for low power factor, high demand charges indicated by a low load
factor, or penalties for exceeding subscribed power. To understand more about your energy bill
and how you can interpret it, see our module on Energy rate structures
And finally, are there other areas that would be beneficial to understand in greater detail?
Discussing these questions with people who are knowledgeable about the sites utilities and processes can
start to yield interesting areas to focus on.
Slide 9
Knowing your total energy bill can help you set some fundamental expectations for improvements. Clearly,
you will not be able to save more than the total of the bills. Also, if you have a percentage saving goal, and
payback period criteria for investing in energy saving projects, that can help you with a ballpark estimate of
your needed budget:
Total bill * Percentage saving targets * Payback in years = Budget approximation
Of course, your actual budgetary needs may be more or less than this estimate. You may find that there are
many actions you can do for free, such as training operators in more efficient use of equipment, or by
adjusting existing control settings. Those would tend to reduce your budget needs. On the other hand, if
your facility has relatively few quick wins, you may find that the projects you need to do to save more energy
have longer payback periods, and the investment necessary to reach your percentage savings target
exceeds this quick calculation.
Slide 10
Although analyzing utility bill data is a good start, you will quickly find that bills do not provide fine detail.
They may cover the entire facility, and periods of a month are common. You may have a billing rate that
shows you how much energy you used at peak times rather than off-peak times, but even so, you cant tell
accurately WHEN the energy was consumed or WHERE it was consumed (by which equipment or process).
Data about WHEN energy was consumed is called interval data. This is because it is measured at intervals,
which might be hourly, or every fifteen minutes, or some other frequency. To know more about WHEN the
energy was consumed you have a couple of choices:
Sometimes your utility supplier will provide you with interval data in a spreadsheet.
Or, you can install your own main meter, and capture the data from it at your desired interval. The
advantage of this is that you can read the data as often as you like you dont have to wait for the utility to
send you a file. Plus, it can be a way of double-checking your bills and ensuring that the utility meter is
accurate.
Data about WHERE the energy was consumed can be captured by sub-metering. Metering architectures
typically monitor electrical distribution feeders and branch electrical substations. You can also put additional
meters in different areas of your facility to monitor specific equipment.
You may choose to install permanent meters, which means that you plan to leave them there indefinitely. Or,
if you are only interested in a short-term investigation of a particular load, you could put in a temporary
meter and just capture data for a few weeks.
Slide 11
Energy consumption data can be analyzed using one of four different options.
You could collect the data yourself and analyse it in a simple, spreadsheet application. You could design
this yourself or buy one. This option can be low cost, but may be high effort.
Another option is subscribing to a remote monitoring service that collects meter data on your behalf,
allowing you to access online tools to view, manipulate and present the data. This may require some
investment to set up the communications to remotely collect the data, but the advantage is that once in
place, the data is collected for you, and the tools are generally easy to get started with.
However, you may find that the tools provided with remote monitoring services dont provide the flexibility
and depth of analysis that you require. You may also have real-time monitoring needs that go beyond what
a remote monitoring service can provide you. If so you may be better served by an energy management
application installed locally at your site.
The last option is an analysis service that collects the data AND provides the results along with commentary
on areas to investigate. These can be useful especially if you lack skills in-house to analyse the data. The
downside is that some opportunities may be missed since the person performing the analysis may lack
insight into your facility.
Regardless of option, the aim of each method is to provide insight into a facilitys energy use profile.
Slide 12
OK, we have briefly discussed the benefits of energy accounting, how you can collect energy data from
utility bills, meters or submeters, and a range of options for analyzing the data.
Now we will look at a few basic measures of a facilitys performance, that could get you started in finding
saving opportunities.
Slide 13
One of the elements you may find on your utility bill is a demand charge. Unlike the consumption charge,
which bills you for the total energy consumed during the month, this is a charge based on your peak energy
consumption during any single demand interval. Its effect may be emphasized by a demand ratchet. To
understand this concept in more detail, see our course on energy rate structures.
Avoiding demand charges is one way of reducing your utility bill. But how can you know if your demand
charge is on the high side? Load factor is a quick check.
Slide 14
Load factor is total consumption during a designated period compared to the peak load occurring in that
period. If your consumption is relatively even, and doesnt vary much during the period, your load factor will
be high. If your consumption is lumpy, and includes some high peaks compared to the average, your load
factor will be low.
Generally, utilities prefer customers who have high load factors, because their consumption is steady.
Customers who have sudden demands for large amounts of energy require the utility to keep spare capacity
available on standby to satisfy these sudden demands. Utilities penalize customers with peak demand
charges.
Slide 15
Calculate the load factor for your facility using a year as the designated period. This will require you to add
up all the kWh consumed from 12 months worth of bills, and to identify the highest peak demand in kW
recorded during that period.
Load factor = kWh used in billing period / peak demand in kW X hours in billing period
Alternatively, calculate the load factor for each month separately. This will help you see if you have specific
peaks, such as those caused by air conditioning loads during the cooling season.
If your load factor is less than 70-80%, you have some significantly high periods of electrical usage. By
discussing with the facility manager or production manager, you may find they already have a good idea
which equipment is responsible for those peaks and when they happen. If not, you can install metering to
discover when and where the peaks occur. To reduce your demand charge, you may be able to reschedule
some of the loads to times where they will not cause a peak. Also, some utilities require that a high load
factor is maintained during certain months in order to qualify for a potentially favorable time of use rate.
Slide 16
Another basic measure of facility performance is energy use index (EUI).
It expresses the energy used annually per square foot or square meter of conditioned space.
BTU / sq ft in countries using Imperial or US customary measurement
kWh / sq m in countries using metric measurement
To calculate the EUI of your facility

List all the forms of energy used in the facility
Identify the consumption of each energy form
Convert them into common units such as BTU or kWh and add them together
Determine the total square feet or square meters of conditioned space
The Energy Use Index is the total energy used per year divided by the total number of square feet or meters
of conditioned space.
Slide 17
Heres an example of how we might calculate energy use index: A building has 5,000 square feet or 465
square meters of space. This building uses electricity and gas. First, we convert the gas from kilograms to
kWh by finding the appropriate conversion factor (in this case, 10.5). By multiplying the number of kilograms
by 10.5, we arrive at kilowatt hours. Now that the two different types of energy are in the same terms,
everything is added to reach a total of 75,158 kilowatt hours. The energy use index is calculated by dividing
this total by the square footage or the square meters of the building. The result is an EUI of 15 kWh per
square foot or 162 kWh per square meter.
The energy use index has some fairly obvious limitations. One is that buildings with apparently similar use
and design, such as offices in buildings of the same age, can vary a lot in their EUI depending on the
equipment and processes that live within them. For example an office that contains its own data center may
have quite a different EUI than one with its data center hosted elsewhere. Another example is schools with
swimming pools. Or think of a factory with a large production space and a small office space. If the office is
the only part that is conditioned, that will have a different EUI than a factory where the whole plant is
conditioned. To interpret the data correctly you need insight into these issues. Or you can split the building
into zones and calculate EUI separately for each.
Another is that EUI mixes electricity and other fuels. Electrical energy is of higher quality than oil or gas.
What this means is that it is versatile, and relatively easy to transform into useful work at the point of use. Oil
and gas on the other hand have to go through conversion processes to release the useful energy, such as
being burned in a furnace. Some energy will be lost during the conversion process.
However, the process of generating and transmitting electrical energy is also inefficient. For each unit of
electrical energy used in the facility, 3 equivalent energy units were consumed at the power plant. Therefore
evaluations of EUI based on primary sources can be very different from evaluations based on point of use
energy.
Slide 18
The Energy Cost Index is sometimes used as an alternative measure of energy efficiency.
To reach the Energy Cost Index, the total of all energy costs are divided by the total square feet or meters of
conditioned space.
Since electrical energy is much higher quality than oil or gas, it costs about three times as much per end use
unit. The ECI therefore takes into account the inequality of different types of energy via the price. If you are
interested in comparing cost-effectiveness of buildings energy usage, the ECI is a more accurate way to do
it. However you should bear in mind that energy costs can vary considerably between different countries,
so a different ECI may reflect a different cost base rather than a different efficiency level.
Slide 19
Here is a simple example on calculating energy cost index. For the same 5,000 square foot, or 465 square
meter office building from our previous example, the cost of electricity is $7,550 per year, and the cost of
gas is $2,450 per year. The ECI would then be $10,000 divided by 5,000 square feet for an ECI of $2.00 per
square foot per year or $10,000 divided by 465 square meters for an ECI of $21.51 per square meter per
year.
Slide 20
Energy benchmarking uses your energy data to compare sites or processes. Its a way to identify the worst
sites in your portfolio and seek to improve them. Its also a way to identify the best sites and collect best
practices from them.
We already saw some examples such as energy use index and energy cost index as a way to compare
whole-building energy use relative to a set of similar buildings. You may find that other measures are also
useful for benchmarking. For example, you may want to benchmark the production of different facilities
depending on what they make (kWh per item produced, or kWh per ton of output, or kWh per $ value
added).
You may also want to benchmark at a process or system level, instead of at the level of the whole site. Then
measures such as kWh per liter of paint applied, or kWh per weight of plastic molded might be useful.
Slide 21
Benchmarking audits are a way to use these comparisons as a first filtering of the sites most in need of
attention. The energy data is collected and analysed, and some basic facts about each facility are gathered.
Comparing the buildings to a known standard can help identify if there is likely to be improvement potential
at the site. If the site benchmarks poorly, a site audit will likely find many improvement areas. Conversely if
the site is already close to best in class, the likelihood of an audit finding many improvement areas is low.
Slide 22
Benchmarks are a useful communication tool in many situations. Energy service companies and
performance contractors can discuss energy savings potential with clients using typical and best-practice
benchmarks. When new buildings or retrofits are specified, benchmarks can form part of the evaluation of
the efficiency of the design. Building owners may use energy benchmarks to attract new tenants and
producers of consumer goods may use them to demonstrate their green credentials to purchasers.
Comparing energy performance with others can also be a method of encouraging energy-aware behaviour
among occupants. Corporations, schools and government agencies with multiple facilities may use
benchmarking in this way.
Slide 23
Your approach to benchmarking might be internal or external.
If you opt for internal, you will benchmark your sites against each other.
If you opt for external, you will benchmark your sites against data collected by an organization such as the
Environmental Protection Agency in the US or the Carbon Trust in the UK. Those organizations sometimes
provide benchmarking tools for capturing your data and recommending the most relevant basis for
comparison (such as EPAs Portfolio Manager).
Slide 24
Energy monitoring, targeting and reporting or MT&R leverages energy data to track performance versus
objectives and ensure that savings are sustained. It treats energy consumption as a variable that can be
managed, rather than a fixed cost that is not controlled.
Energy monitoring is the regular collection and analysis of information on energy use. Its purpose is to:
Define the basis for energy management

Identify when energy consumption is deviating from the expected pattern
Provide information for further investigation and action
Targeting identifies the energy consumption goals for the organization, facility or process
Reporting ensures relevant information is provided to managers, operators and occupants to support
appropriate behaviour and decision making
Slide 25
To set up an MT&R process you will need to:
Measure the energy consumption over time
Measure other variables that influence energy consumption (weather, production, occupancy) over
corresponding time intervals and investigate the correlation between energy consumption and the
variables. The result of this is an energy performance model, also known as a dynamic baseline.
Well explore this in more detail in a moment
The next step is to monitor performance versus the baseline and identify variations. Variations
should be investigated, since they are caused by some underlying change in the performance due
to some factor. Understanding those factors provides input into the improvement program
Once the baseline has been defined, reduction targets can be set
From that point the energy performance model provides a basis for comparing actual consumption
to targets
Slide 26
Why go to all this effort? There are multiple benefits that well look at it in more detail. They include:
Revealing the true energy savings from your improvement program
Promptly detecting changes so that they can be corrected before they cause significant losses
Improved forecasting of energy consumption and budget
More accurate costing of products and services
Allocating cost so that managers or tenants pay for what they actually use
Verifying bills to ensure that you do not overpay for energy
Avoiding peak demand to eliminate penalties from your bill
Reviewing consumption patterns to detect waste
Slide 27
Creating the energy performance model is one of the early steps in MT&R. The model supports several of
the key benefits.
Why do you need an energy model? Because you want to detect important performance changes, and you
cant detect them by monitoring consumption alone. Energy consumption in a building or facility may go up
and down every day due to factors that you cant control. On a hot day, more energy will be consumed in air
conditioning than on a mild day. Thats normal and to be expected. But what if you just made improvements
to the air conditioning system? Youre expecting consumption to go down but due to an unusually hot
period its gone up. Without your improvements, it probably would have gone up more but how much
more?
This is the value of an energy model. A static baseline just compares one month or year to another e.g.
2008 compared to 2009. But what if summer 2009 was hotter than 2008? Or if you made more units? A
static baseline will not adjust for that. It will just show you that consumption increased. An energy model
provides a dynamic baseline. It adjusts for factors such as weather and production. For given weather
conditions and production levels, it tells you what the consumption would have been, based on the historical
performance. You can compare the actual consumption with the model. The difference is the true change in
performance.
Slide 28
To produce the energy model, you need to measure the energy consumption over a period of time, and you
also need to capture the factors that drive that consumption.
Measurements of weather could be degree days, or actual temperature and humidity measurements.
Degree days are a measure of the outside temperature for a given period and can be used to predict the
amount of heating and cooling a building requires. Please see the course: Energy Units and Concepts for
more explanation of what a degree day is. Its important to treat cooling and heating degree days separately.
Often cooling will rely more on electricity while heating will rely on other fuels such as gas. The systems will
have different efficiency and will impact the model in different ways.
Operating hours or occupancy could be another relevant factor. In offices, hospitals, schools, retail stores,
warehouses, dormitories and apartments, weather is often the first driver of consumption (due to heating
and cooling systems). Often the second most important factor is patterns of use such as operating hours
and occupancy.
Production level is another important factor in manufacturing and industrial facilities. This variable could be
collected from the facilitys output, in tons, number of items produced, or some other appropriate unit.
Slide 29
The model is produced by regression analysis of the input data. Each consumption measure is correlated to
the prevailing factors at the time of measurement. You can think of it as a scatter chart. The model is the
line that best fits the data.
Depending on the facility or system being studied, the complexity of the model will vary. Here are some
different examples:
Mean or Constant Model
Two Parameter
Three Parameter
Four Parameter used in refrigeration models
Five Parameter used for HVAC systems with variable speed fan systems
Slide 30
The mean or constant model is used to monitor constant energy use over a given period. Usage patterns in
this model are independent of weather. Buildings that might use the mean or constant model are those on
district heating or cooling. Because they obtain their heating and cooling from municipal suppliers, their
energy bills dont go up or down with the weather. As this chart demonstrates, there is no relationship
between energy usage and weather-related energy drivers.
Slide 31
A two parameter energy model is applicable to a building exposed to year round heating or cooling with an
HVAC system featuring constant controls that operate continuously. Examples of two parameter sites would
be those with:
Outside air pre-heating in arctic conditions
Outside air pre-cooling in near tropical climates
Dual duct, single-fan, constant volume systems without economizers
Constant use, domestic water heating loads
This chart is an example of a two parameter model. We see a strong linear relationship between energy
usage and energy drivers.
Slide 32
The three parameter energy model is appropriate for a wide variety of building types. Comprised of two
distinct modeling algorithms one for heating and one for cooling. In addition to the strong linear
relationship between energy usage and energy drivers, the three parameter features a change point after
which heating is no longer used. In cooling terms, the change point is the point after which cooling is used.
Slide 33
How do you use the model once you have created it?
Collect the energy consumption data for a new period
Collect the driver data for the period
Feed this data into the model and determine what the consumption should have been
Compare the result from the model to the actual consumption data
Determine the reason for any difference between the two. A difference may be caused by
something you did deliberately for example, if you installed a new air conditioning unit with better
energy efficiency, you should be able to see the amount of improvement, and thus reveal the true
savings resulting from your investment. Or the cause may be something that was not done
deliberately. Perhaps an operator has wrongly adjusted a control setting, or failed to turn off a
piece of equipment at the end of shift. Uncovering the reason for the difference allows you to
correct the situation and prevent it from happening again.
Slide 34
You can model specific pieces of equipment or subsystems as well as whole buildings. For instance,
Schneider Electric has a customer who has modeled chiller consumption (kWh) against a temperature driver
and the dew point, which is an indication of relative humidity. The correlation is very good and hence the
model provides a very accurate portrayal of what they expect to consume for any given hourly interval
depending on the prevailing temperature and relative humidity at the time. By using a trend analysis tool, the
company is able to follow the actual versus expected consumption. They can quickly detect when overconsumption is occurring and react to it. The chiller tends to become more inefficient when it is due for
maintenance. The model promptly identifies when maintenance is needed, and thus helps the energy
manager avoid wasting energy.
Energy models also support improved forecasting of energy consumption and budget. If you make a model
based on occupancy or production level, the future occupancy or production forecasts can be used as
parameters to obtain an estimate of the associated energy consumption that will be required. This can then
be factored into the future budget.
Another benefit is more accurate costing of products and services. Modeling allows an energy manager to
know how much energy is required to manufacture a product, and to examine the effects of batch size on
the product cost. Some products may have large energy overheads for example in warming up equipment at
the start of a batch. In this case it would be wise to optimize production to avoid small batches. Knowing the
energy consumption required to manufacture different products can allow the energy cost to be more
accurately reflected in the cost and profitability analysis of each one, instead of averaged across them all.
For more on measurement and verification of savings, please see our course: Measurement and
Verification Including IPMVP
Now, lets turn our focus to cost allocation and its important role in measuring and benchmarking.
Slide 35
Cost allocation is a billing method that charges people for what they actually use. By setting up energy cost
centers (ECCs) and accurately monitoring the consumption of each ECC with a submeter, the cost of the
energy used can be allocated to a specific department manager or tenant. Without cost allocation, energy
bills may be divided arbitrarily, or allocated according to occupied space rather than true consumption.
Cost allocation is more fair and can be useful to attract tenants to shared facilities as they can be confident
they wont be overpaying. In organizations with multiple departments, cost allocation is good for accounting
purposes especially cost recovery. And when costs are allocated, awareness increases, driving
accountability which, in turn, modifies behavior. People who are not paying for the energy they use may not
care very much about it. When they have a financial incentive, they are more likely to behave responsibly.
Slide 36
There are three different types of cost allocation. They are: Basic blended rates, blended rate +, and
complex rates.
A basic blended rate is a simple energy commodity charge such as euros per kilowatt hour, dollars per
Therm, or pesos per gallon.
Blended rate + includes fixed charges such as those per the meter, plus allocation of common area usage,
such as parking lot lighting. In addition, it includes allocation of distribution losses related to electrical,
heating, cooling and steam.
A complex rate is one where rates change based upon demand over the course of a given day. An example
of this a time-of-use or (TOU) rate. With time-of-use, electricity is priced at two or more levels, depending
on the time of day. Prices are lower during off-peak hours and higher during on-peak hours. Switching to
this price plan rewards customers who can shift their usage to off-peak hours.
Another similar allocation methodology is called coincident demand. This is the practice of determining
demand patterns for a given customer or class of customers and using this information to determine how
much each customer contributes to the peaks. Costs are then allocated accordingly.
Slide 37
Another reason for collecting and analyzing energy data is to verify that the bill you receive is accurate. The
utility companies that charge customers for energy send monthly statements. The wise consumer knows
how to read these statements and knows what to expect in terms of cost even before the bill arrives. Lets
look at how and why to examine energy bills, and how to handle billing discrepancies.
Billing errors are more common than one might think. In fact typical savings resulting from error detection &
reconciliation are 3% - 10%.
So where do these errors come from?
Many discrepancies between a bills expected amount and its actual amount stems from errors on the side
of the utility company. Utility-side errors can occur from something as simple as meter readings. Meters can
be misread or estimated incorrectly. Errors can also result from incorrect meter setup or billing software
errors.
One of the simplest checks you can make is to compare the metered consumption for a period to the
consumption shown on the bill. Values such as peak demand and power factor can also be checked. If
there is a discrepancy of more than 3%, further investigation may be warranted.
Slide 38
Monitoring can allow for quick action to avert charges before they happen.
Utilities will charge not only for consumption, but also for peak demand. Consumption is the total amount of
energy used during a period such as a week or month. Peak demand is the peak energy consumption
during any single demand interval during that period. These are two separate charges on the bill, and
demand charges can be hefty, with an impact that lasts for many billing cycles.
Another impact on energy costs is time of use rates. These rates tend to be higher at certain times of year
and day, such as summer afternoons when the electrical network is delivering a lot of power for air
conditioning. Utilities will tend to charge more for power at such times, to encourage users to reschedule
their consumption and thus relieve the strain on the network.
To find out more, see our class on Energy Rate Structures.
To avoid demand charges or high time-of use rates, real-time monitoring can be used to detect conditions
and react to them.
Slide 39
In peak demand avoidance, the monitoring system tracks the demand versus a threshold defined by the
plant. When the demand exceeds the threshold, an alarm is activated to notify the risk of setting a new peak,
and therefore incurring a higher demand charge on the next bill.
In a situation involving time of use rates, the monitoring system can track the cost of energy and determine
the point at which it is more economical to use local generation rather than electricity from the utility supplier.
The facility can react to this in a number of ways. Some facilities opt to put into place a monitoring and
control system connected to a generator powered by a fuel such as diesel. The generator is controlled via
an automated transfer switch (ATS). When the system detects an impending peak or a high time of use rate,
the generator is started and power is instantly diverted from the utility to the generator. This technique is
called peak shaving` because the peak of the consumption is shaved off the utility and displaced to the
generator.
In addition to saving money on energy, this configuration enhances safety and minimizes losses when a
utility source fails. Because the generator can instantly pick up the load, this configuration is ideally suited to
facilities with critical power requirements. It is also dynamic and configurable to allow for changes in the
process facilities.
However, depending on the type of fuel used by the generator, there may be local restrictions governing
how many hours it can be used for in a given year, to avoid pollution from the engine.
Slide 40
If a facility has some non-critical loads, a technique called load shifting or load shedding can be
implemented. Based on the availability of the generator, specific more critical loads are maintained while
other, less critical loads are turned off, or shed. This process of adding and shedding loads is
predetermined through system configuration. This type of configuration is eligible for a special tariff rate in
some areas as it is considered by the utility to be a form of demand control that they wish to encourage.
This is called load shifting because typically the work done by those loads is rescheduled or shifted to
another time of day.
Load preservation systems are extremely sophisticated fast-acting advanced power reliability solutions
ideally suited for facilities with critical power requirements. Load preservation controls scan system
constantly, knowing exactly how much power is being consumed by each breaker. Non-critical loads are
armed in advance to be shed in as little as 9 cycles. The system is dynamic, taking into account minute to
minute changes in plant load.
Quickly and accurately identifying wasteful activity in an energy consumption report is critical to the facility
managers role. Lets look at some examples of usage reports to uncover areas for improvement.
Slide 41
The normal pattern for equipment usage has an ebb and flow such that weekday activity is higher than
weekend activity. Best performing sites can most easily be determined by averaging the minimum and
maximum usage percentage.
Site D is best performing because during non-production periods, on average, they are only consuming 28%
of their consumption when full production is in place during the week. Compare that to site C. During nonproduction periods they use, on average, 72% of the energy they use when production is occurring. That
seems high and may mean that during non-production periods, equipment is being left on unnecessarily.
Slide 42
Through charts like this one, anomalous loads can easily be identified. Notice the difference betweens a site
where air compressors are running on Sundays versus one where they have been properly shut down.
An example of this is when a facilities worker accidentally left a chiller in maintenance mode. This is also
known as free run mode, where no set point or schedule control is activated. A software application called
ION EEM quickly observed that an over-consumption was occurring, and the problem was corrected.
Without the aid of the software, that problem may not have been noticed until the next maintenance check,
with many dollars wasted.
Slide 43
This is another example where analysis highlights a situation that may benefit from further investigation. On
this chart, chiller usage remains high or even climbed in some cases, in spite of the fact that cooling degree
days declined. The reason for this is not known, but uncovering the reason may yield a savings opportunity.
Slide 44
Many chillers do not run efficiently at low load levels. Knowing the efficiency profile of the chiller and the
load profile can identify an opportunity to use a smaller chiller at some times. To be cost effective, generally
the smaller chiller must already be installed. In other words, optimize existing equipment, rather than
replacing it.
Slide 45
Lets look at an example from an actual Schneider Electric facility. In this chart, we see the blue line showing
the model prediction, and the red line showing the actual consumption. The yellow line is tracking our
accumulated savings. For the first half of the chart, the actual consumption follows the model pretty closely,
and especially at weekends we have lower than expected consumption, due to the optimizations made to
the HVAC. However after a while the red line shows that we start consuming more energy than predicted by
the model, and the yellow line shows that our hard-won savings are being lost. This sparked the following
questions:
When did our energy usage pattern change?
Where did the change occur?
How much was the change?
And why did our savings disappear?
Slide 46
There are dozens of loads in the overall total. In an ideal world, youd be able to model consumption at the
sub-meter level, but in this example we have a model for production, and a model for the entire building.
Production showed a sharp increase in energy usage on February 9th. Production is a big department, can
we narrow it down? In our Schneider Electric example, there happen to be eight panels feeding the
production floor, each with a meter, lets take a look.
Slide 47
Here, we can see the consumption increase according to panel S starting on February 9th.
Slide 48
And here is alternative view showing the same change in panel S.
Slide 49
In this graphical representation of the data, we can see just how dramatic the jump in electrical consumption
was.
Slide 50
So heres what we know so far:
There was a change in our historic energy usage patterns
The change occurred on February 9th
The change occurred on panel S in Production
The change was roughly double
What we dont know is the specific load or loads that are causing the new energy usage pattern. We also
dont know why this change occurred.
Slide 51
The first step in our investigation should be to talk to the Facilities Manager and find panel S:
What loads are on the panel?
What equipment changes might have occurred?
Is the production floor running differently?
What is the maintenance history of the equipment on panel S?
Slide 52
In talking with the Facilities Manager for the Schneider Electric facility we learn a few things.
We purchased a large screw-type compressor to take over from aging reciprocating compressors. The
screw-type compressor was chosen because of its more efficient Variable Speed Drive (VSD)
Around the same time, the following occurred:
Some air powered, lead fume handling equipment was no longer needed
Overall Production demand for compressed air was reduced and this left the new compressor
lightly loaded
And in the area of regulatory compliance, the company began to adhere to the new Restriction of
Hazardous Substances Directive (RoHS) from the European Union
Slide 53
At this time, the lightly loaded compressor revealed a firmware bug which caused it to shut itself off after
reporting a spurious fault.
A temporary workaround was to simply increase the load on the compressor. The manner in which this was
done was to open a bleed valve a tiny bit with a muffler to create a deliberate air leak.
The recorded energy consumption on panel S, prior to the spike on Feb 9th, was the result of operating the
compressor with the bleed valve partly open.
Slide 54
Large compressors of this type require routine maintenance in order to remain dependable. The compressor
was shut off for maintenance on the weekend of Feb 7th and 8th. The service technician, knowing of the
problem and the workaround, re-opened the bleed valve after hed finished servicing the big compressor,
but the bleed valve was opened too far.
Once this problem was identified it was easily solved with a slight adjustment of the bleed valve.
Slide 55
This chart illustrates the energy spike that occurred on February 9th and the subsequent energy use
reduction after talking with the facilities manager.
Slide 56
In this example, we saw a model of energy consumption. In the model, systemic deviation was illustrated by
tracking the actual versus expected energy usage. We reviewed the data, and spoke to the facility manager.
The identified fix yielded savings of $2,000 per year. An important learning point here is not to dismiss small
improvements. Maximum savings can be achieved through the aggregation of many small savings.
Looking at chart data can reveal areas ripe for waste reduction. If data suggests an issue that might be
equipment-related, check to be sure equipment has been correctly maintained. It may help to hire an energy
auditor to examine equipment and make recommendations. Walk around the site at night and make sure
everything that should be off is off and then use that to monitor in the future.
Slide 57
Without a monitoring and maintenance program, up to 8% savings per year can be lost.
Energy accounting is the practice of collecting, recording, and analyzing energy data. Its purpose is
to make energy data available in a format that supports energy management and business
decision making.
Energy Use Index (EUI) expresses the energy used annually per square foot or square meter of
conditioned space.
The Energy Cost Index (ECI) is sometimes used as an alternative measure of energy efficiency.
This is often thought of as more representative of cost-effectiveness because it takes into account
the price of different energy types.
Energy benchmarking uses your energy data to compare sites or processes. Its a way to identify
the worst sites in your portfolio and seek to improve them. Its also a way to identify the best
sites and collect best practices from them.
Benchmarking might be internal or external.
Slide 58
Creating an energy model helps to detect important performance changes undetectable by
monitoring consumption alone.
Cost allocation is a good practice for accounting purposes, and driving accountability, and may
help attract tenants to shared facilities.
Demand avoidance, the practice of avoiding using energy during peak times in order to save
money, is achieved through peak shaving and load shifting.
Slide 59
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Motors: A Performance Opportunity Roadmap Transcript
Slide 1: Motors - A Performance Opportunity Roadmap

Welcome to Motors: A Performance Opportunity Roadmap.
Slide 2: Many Thanks to the US Department of Energy & the UK Carbon Trust
This class was produced using content from the US Department of Energy publication Improving Motor
and Drive System Performance and from the UK Carbon Trust.
Slide 3: Welcome
the normal play of the course. Click attachments to download supplemental information for this course.
Slide 4: Objectives
Describe best practices for assessing, managing and maintaining motors
List options for dealing with oversized motors and variable loads
Identify the effects of electrical distribution and power quality issues on motors
Electric motors, taken together, make up the single largest end use of electricity in many developed
countries.
In many developed countries, in industrial applications, electric motors account for roughly 60% of
electricity consumption; in the process industries, electric motors can account for more than 70% of
electricity use.
The cost of running a motor can be as much as ten times to the purchasing cost of a motor. Therefore
operation of motors represents a huge potential for energy savings.
Slide 6: Energy Saving Opportunities

Fortunately, there are also multiple ways that motors can be optimized to save energy.
Assess your motors as the first step
Have a motor management program covering rewinds, purchasing and spares.
Attend to maintenance
Choose the right motor
Use speed control
Fix electrical distribution and power quality issues, including voltage imbalances and voltage drops
Lastly, select a good repair center
Lets look at each of these actions
Slide 7: Assess Your Motors

A large industrial facility can contain thousands of motors, so it is usually not practical to evaluate every
motor system in a plant individually. In many facilities, however, most of the energy used by motors is
consumed by just a few systems, and these few systems are often essential to production. Energy projects
involving essential motor systems typically provide the shortest paybacks. Therefore, you can usually find
the most cost-effective motor improvement projects by first screening all the motors to identify those that
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are essential and that consume the most energy.
Slide 8: Industry Profile

Different industries have different motor requirements. But in general, the largest motor system energy
consumers can be found in industries that make frequent use of pumps, fans, material handling systems,
and air compressors.
Slide 9: Review Plant Processes
Staff in each facility should review plant processes to identify the most energy-intensive motor systems. A
walk-through inspection of the larger motor systems, paying particular attention to how their operation is
controlled, can help staff get started.
Slide 10: Size & Annual Operating Hours

Screen the motors by size and annual operating hours to find the best opportunities. Large motors that
operate for long periods are usually the best candidates for improvements. It can be difficult to justify
improvements to small motors or motors that run infrequently.
Slide 11: Metering & Analysis
After identifying the most energy-intensive motors, you can start collecting operating data on the ones
slated for improvements. Data can be acquired by measuring the electrical power supplied to the motor
and, in some fluid systems, by measuring the fluid power generated by a pump or fan.
A load duty cycle is helpful in evaluating improvement opportunities. In many systems, loads vary
significantly, depending on weather, production demand, seasons, and product mix. Likewise, some motors
normally operate near full-load rating, while others normally operate at low loads. Load duty cycles plot the
load over time, as shown here, and should be developed for large motors.
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Slide 12: Recordkeeping

An inventory of energy-intensive (more than 35 kW or approx 50 hp) or production-critical motors helps
make maintenance schedules and track motor life and performance.
Maintaining a history of motors and their load duty cycles facilitates identification of improvement
opportunities and performance trends.
These records can also be used to determine whether maintenance schedule adjustments are required.
Slide 13: Motor Management Program
Lets move on to look at putting in place a motor management program.
The benefits include greater motor reliability, improved overall system performance, and lower energy
costs.
Slide 14: Repair/Replace Policy
When a motor fails, getting it back in service is often a priority, especially if the motor is essential to
production. A repair / replace policy can ensure that the correct approach is taken.
An industrial user has two options when an electric motor fails:
replace the existing motor with a new motor, or
repair the motor at a qualified service shop.
How to decide between these options? One factor is whether a motor is meeting the plants current needs.
If the system has changed as a result of capacity expansions, product redesigns, advances in technology,
and so on, the motor requirements may also have changed. A motor failure can be an opportunity to buy a
replacement of a more appropriate type or size.
Slide 15: Repair/Replace Policy

When the initial costs of repair versus replacement are compared, repair is usually less expensive.
However, instead of making a decision based solely on the initial cost, users should do a life-cycle cost
analysis. This considers two important factors hours of operation and electricity costsas well as
purchase and repair costs.
Many motor repairs involve rewinds, replacing burned out wiring and insulation with new windings. In
some industries more than half the motors have been rewound. Careful rewinding can maintain motor
efficiency at previous levels, but flawed rewinds result in efficiency losses.
Motors less than 30 kW or 40 HP in size and more than 15 years old (especially previously rewound motors)
often have efficiencies significantly lower than currently available energy-efficient models. It is usually best
to replace them. It is almost always best to replace non-specialty motors under 10 kW or 15 HP.
If the rewind cost exceeds 50% to 65% of a new energy-efficient motor price, buy the new motor. Increased
reliability and efficiency should quickly recover the price premium. This is especially true for high-use
motors. You can quickly calculate the operating costs of the rewound motor versus the new one to see
how long the new motor would take to pay for itself.
The impact of rewinding on motor efficiency and power factor can be easily assessed if the no-load losses
of a motor are known before and after rewinding. Information on no-load losses and no-load speed can be
found in documentation of motors obtained at the time of purchase. An indicator of the success of rewinding
is the comparison of no load current and stator resistance per phase of a rewound motor with the original
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no-load current and stator resistance at the same voltage.

Slide 16: Instituting a Purchasing Policy
A motor purchasing policy has several objectives:
Consistency in procurement
Choosing the most appropriate, cost-effective motor
Streamlining the approval process
Supporting decisions based on life-cycle costs
Slide 17: Evaluating Motor Repair Facilities
The benefits of repairing an existing motor usually can be realized only if the repair results in a slight
deviation, or none at all, from the motors original specifications. This can be assured by evaluating repair
facilities using similar quality control techniques as for other vendors. However, if you have to evaluate and
choose a facility while a motor is waiting to be repaired the result is a costly loss of production time. Its
better to evaluate repair facilities in advance.
Slide 18: Maintenance
Proper maintenance provides benefits such as extended operating life, increased reliability, lower life-cycle
costs, and better use of assets. Motors are often essential to industrial facility operations, so a failure can
cause costly production delays. Effective maintenance programs minimize unplanned downtime and avoid
disruptions in production.
Breakdown maintenance is a reactive approach where maintenance is only carried out in the event of a
breakdown. There is a higher risk of production downtime while fixing the breakdown.
Planned preventive maintenance is a proactive approach where all critical systems including motors are
regularly checked for issues and maintained regardless of whether faults have occurred. This ensures that
production downtime is minimal and also yields energy savings.
Predictive maintenance is sometimes called condition monitoring. It uses data to adapt the maintenance
schedule for example deciding when lubricant requires replacing by analysis, instead of doing it every
three months whether needed or not. Predictive maintenance reduces maintenance cost and increases
reliability. It identifies problems that are developing but have not yet created a failure, and improves the
engineers ability to plan the repair effectively.
Slide 19: Preventative Maintenance

Preventative maintenance includes a variety of inspections and tests.
For inspections and cleaning, inspections should be based on factors like run time, environmental
conditions, and consequences of failure.
Often, these inspections can and should be combined with cleaning to remove contaminants from the
motor. Moisture and/or contaminated oil on windings accelerates wear by reducing the life of the insulation.
Moisture directly reduces the dielectric strength of insulation, increasing the risk of sudden failure.
Contaminated oil also degrades the dielectric strength and encourages the accumulation of contaminants.
Windings shift around in reaction to thermal and magnetic forces, and contaminants on the insulation create
abrasive wear that can lead to early insulation failure.
Insulation failure usually results in a fault, such as a ground or a short between different winding turns on the
same phase or coil. Even under normal conditions, insulation ages over time; however, heat accelerates
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this, and may be caused by:

current overload
low voltage conditions
high motor loads
high voltages that exceed the dielectric strength of the insulation.
conditions that impair the dissipation of heat such as poor ventilation, blocked cooling ducts and
contaminants on windings and motor surfaces
For every 10C or 18F increase in operating temperature over the recommended peak, the time to
rewinding is halved.
Slide 20: Insulation Resistance Checks
Measuring the motor winding insulation resistance can indicate cleanliness and moisture levels and help to
determine the potential for insulation failure. This test is performed by applying a voltage (typically 500 or
1000 V) to the windings and measuring the resistance from the insulation to ground. Expected resistances
should be on the order of megohms. Megohmmeter checks are commonly done on in-service motors,
motors that have been idle for awhile, and motors that might be wet. Wet insulation is a common cause of
low insulation resistance. Energizing motors with weak or wet insulation can lead to catastrophic failure of
the motor. Therefore, a low resistance reading should be investigated further. Then, the insulation
resistance should be remeasured to see if moisture was the problem or if the insulation itself is weak.
Slide 21: Insulation Resistance Checks

The insulation should be checked before more extreme measurement methods are used, such as a
high-potential (hi-pot) test. Since high-potential tests expose the insulation to much higher voltages, an
insulation resistance check can indicate whether such a measurement will cause insulation damage. When
the insulation has been exposed to moisture, an insulation resistance check can indicate the need to dry the
equipment before conducting additional tests.
A high-potential test measures the dielectric strength of insulation to look for weakness that may cause
failure when the motor is operating. The test typically applies more than 1000 V to the windings for new
motors, and 60% of this value for used motors. Generally, this is used on new motors, but it may be
recommended for motors that have been idle for long periods. Since the test itself can damage the
insulation, the manufacturers guidelines should be carefully followed.
Slide 22: Balance & Alignment Checks

Motors can be seriously affected by balance problems. The causes include overhung loads, poor alignment
between the motor and the driven equipment, shaft deflection, an imbalance in the driven equipment that
transfers to the motor, and weight imbalance on the motor fan or shaft.
Many initial alignment problems are due to the installation sequence. A motor might be correctly aligned to
a pump before the system piping is connected. However, when the piping does not line up exactly with the
pump flanges, installing mechanics often force-fit the connection. This can cause misalignment with the
shaft system. Likewise, welding distorts foundations unless sequenced to limit this distortion. Machinery
alignments should be checked after welding is completed.
Problems can be caused by the driven equipment. For example, a ventilation fan that operates in a
corrosive environment can become unbalanced as the materials in the fan blade degrade. In some
applications, the motor fan itself can degrade, causing a damaging imbalance condition.
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Slide 23: Balance & Alignment Checks

Misalignment does not affect the motor efficiency, but it does affect the transfer of power to the driven
equipment. It also produces excessive vibration, noise, coupling and bearing temperature increases, and
premature bearing or coupling failure.
Motor/foundation interfaces that develop soft-foot problems can also have balance and alignment
problems. Soft foot refers to the gaps that develop between a motors mounting foot and the foundation. As
the motor or drive flexes on its soft foot, the resulting misalignment can produce bearing problems. The
condition of the mounting feet should be periodically inspected. If the grout is damaged or if the shims or
mounting bolts have come loose, it should be connected and the motor/drive alignment rechecked.
Slide 24: Belt Checks
About a third of motors use belt drives and the majority of those are V-belts. V-belt drives can have a peak
efficiency of 95% to 98% at the time of installation. Efficiency is also dependent on pulley size, driven
torque, under or over-belting, and belt design and construction. However efficiency deteriorates by as much
as 5% (to a nominal efficiency of 93%) over time if slippage occurs because the belt is not periodically
re-tensioned.
Slide 25: Predictive Maintenance & Condition Monitoring
Now lets look at predictive maintenance and condition monitoring.
Vibration analysis: Commercial vibration analyzers read and evaluate the vibration signature of a motor or
other rotating machinery. Recording the vibration characteristics at different points in a motors operating
life can reveal trends that indicate developing problems.
Slide 26: Lubricant Analysis
Lubricant analysis can indicate bearing problems as well as whether the lubricant should be replaced.
Lubricants are usually changed permanently by heat. This is useful in detecting problems, especially
intermittent ones. A bearing problem that develops under infrequent operating conditions may not be
detected by conventional methods unless that load condition happens to occur during the measurement.
Slide 27: Infrared Scanning
Infrared (IR) scanning (thermography) is an effective method of determining the condition of insulation and
the integrity of a connection. Bearings that begin to run hot or connections that become weak and create
more resistance will show as hot spots on an IR scan. In motors, weakened insulation may show as a
high-temperature area on the stator. Measuring the temperature of a motor at intervals helps to identify
trends. Misaligned or unbalanced couplings will also show as hot during an IR scan. To avoid false
positives, IR scanning should be performed by someone trained in thermography.
Slide 28: Electrical Motor Diagnostics
Electrical motor diagnostics (EMD) are a variety of techniques to check the condition of the electric motor
circuit, including data about the winding and ground insulation system, and analysis of current in order to
detect rotor, air-gap, and load-related faults.
Slide 29: Maintenance of Stored or Idle Motors
Lastly, what about stored or idle motors? They need maintenance too. Motors that operate infrequently,
such as those in backup applications, should be activated periodically to keep the bearing surfaces
lubricated and to prevent problems. To prevent bearing problems in motors that are stored, the shaft
should be rotated periodically.
Slide 30: The Right Motor & Transmission
Choosing a motor relies on the principal operating characteristics, which are power, speed, and torque.
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Other important considerations include efficiency, power supply, motor enclosure, slip, power factor, and
operating temperature.
Slide 31: Choosing Efficient Motors
Motors with special classifications for excellent efficiency and premium efficiency have been designed
specifically to increase operating efficiency compared to standard motors. Design improvements focus on
reducing intrinsic motor losses.
Some examples of these motors are described in our class on Efficient Motor Control with Power Drive
Systems, and should be considered for new motor procurements and when specifying motor-driven
equipment. They should also be considered when repairing or rewinding failed standard efficiency motors
or as replacements for older, operable lower-efficiency motors particularly when the existing motor has
been rewound or is oversized and underloaded. Such motors are particularly cost-effective when annual
operation exceeds 2,000 hours, where utility rates are high, when motor repair costs are a significant
fraction of the price of a replacement motor, or where electric utility motor rebates or other conservation
incentives are available. They may cost 10% to 15% more than others. The higher cost will often be paid
back rapidly through reduced operating costs, particularly in new applications or end-of-life motor
replacements.
Annual energy savings are dependent upon operating profile, duty cycle, and efficiency gain.
Slide 32: Choosing Efficient Motors

What is a 1% improvement in energy efficiency worth? It can be significant over the lifetimes of the motor
even for quite small motors as small as 18 kW or 25 horsepower. This chart is available for download, and
you can enter your own currency and electricity rate.
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Slide 33: Causes of Oversizing

The efficiency of a motor is closely related to its load. Under-loading increases motor losses and reduces
motor efficiency. This is probably the most common cause of inefficiencies for several reasons:
Machine and equipment manufacturers tend to use a large safety factor when selecting the motor.
Equipment is often under-utilized. For example, machine tool equipment manufacturers provide for a motor
rated for the full capacity load of the equipment. In practice, the user may rarely need this full capacity,
resulting in under-loaded operation most of the time.
Large motors are selected to enable the output to be maintained at the desired level even when input
voltages are abnormally low.
Large motors are selected for applications requiring a high starting torque but where a smaller motor that is
designed for high torque would have been more suitable.
Hence motor size should be selected based on careful evaluation of the load.
Slide 34: Replacing Oversized Motors
What to do if you already have motors and need to decide if they should be replaced? It depends:
When replacing an oversized motor with a smaller motor, it is important to consider the potential efficiency
gain. Larger motors have inherently higher rated efficiencies than smaller motors. Therefore, replacement
of motors operating at 60 70% of capacity or higher is generally not recommended. On the other hand
there are no rigid rules governing motor selection and the savings potential needs to be evaluated on a
case-by-case basis. For example, if a smaller motor is an energy efficient motor and the existing motor is
not, then the efficiency could improve.
If the motor is significantly oversized and underloaded, at <50% of rated load, analysis may show that it is
more cost effective to replace them with properly sized models, and to take the opportunity to buy a more
efficient motor at the same time.
If the motor is moderately oversized and underloaded, at 50-60% of rated load, it is less likely to make
economic sense to replace them now. Instead, replace them with more efficient, properly sized models
when they fail.
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Lastly, for motors which are properly sized at 60 100% of rated load, but so-so efficiency, in general they
should be replaced when they fail with units with better energy efficiency.
Slide 35: Changing from Delta to Star Mode

For motors consistently operated at loads below 40% of capacity, an inexpensive and effective measure is
to electrically downsize the motor by reconfiguring the wiring, changing from standard delta operation to
star mode. This involves re-configuring wiring of the three phases of power input at the terminal box. Star
and delta mode are described in our class on Efficient motor control. Please note that star mode is
sometimes referred to as wye (Y) mode.
Operating in star mode leads to reduced speed and voltage. Voltage is reduced by factor 3.
Performance characteristics as a function of load remain unchanged. Thus, motors in star mode have a
higher efficiency and power factor when in full-load operation than partial load operation in the delta mode.
However, motor operation in the star mode is possible only for applications where the torque - to - speed
requirement is lower at reduced load. Rated torque and acapacity is reduced by a third when connected in
star mode. In addition, conversion to star mode should be avoided if the motor is connected to a production
facility with an output that is related to the motor speed (as the motor speed reduces in star mode). For
applications with high initial torque and low running torque requirements, Delta-Star starters are also
available, which help to overcome high initial torque.
Slide 36: Sizing for Variable Load
But how do you choose the right motor if the load varies?
Motor selection based on the highest anticipated load makes the motor more expensive as the motor would
operate at full capacity for short periods only, and it carries the risk of motor under-loading.
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Using the load duration curve of a particular application is a better alternative. This means that the selected
motor rating is slightly lower than the highest anticipated load and would occasionally overload for a short
period of time. This is possible as manufacturers design motors with a service factor (usually 15% above
the rated load) to ensure that running motors above the rated load once in a while will not cause significant
damage.
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Slide 37: Sizing for Variable Load

The biggest risk is overheating, which adversely affects motor life and efficiency and increases operating
costs. Overheating can occur with:
Extreme load changes, such as frequent starts / stops, or high initial loads
Frequent and/or long periods of overloading
Limited ability for the motor to cool down, for example at high altitudes, in hot environments or when motors
are enclosed or dirty
A criteria in selecting the motor rating is therefore that the weighted average temperature rise over the
actual operating cycle should not be greater than the temperature rise under continuous full-load operation
(100%).
Where loads vary substantially with time, speed control methods can be applied in addition to proper motor
sizing
Slide 38: Choosing Belts

About one-third of the electric motors in the industrial and commercial sectors use belt drives. Belt drives
provide flexibility in the positioning of the motor relative to the load. Pulleys (sheaves) of varying diameters
allow the speed of the driven equipment to be increased or decreased.
In our class on Efficient Motor Control with Power Drive Systems the effect of pulley size and belts is
discussed in more detail, including choosing cogged or synchronous belts to improve efficiency.
Slide 39: Speed Control

Speed control is covered in depth in our classes on Active Energy Efficiency with Speed Control and its
impact in particular systems such as fans, pumps and air compressors are covered in the classes on those
topics.
Motors in machines are often ignored by staff members. Whenever possible machines should be turned
off when not in use, especially during work breaks, halts in production and job changes. If the motors are
needed at specific times, timer switches will be helpful.
Slide 40: Electrical Distribution & Power Quality
Our next topic is electrical distribution and power quality. The consequences range from reduced
performance characteristics to motor damage to complete motor failure. Sophisticated motor systems
employ technologies such as soft-starters, drives, and stepper motors along with programmable logic
controllers (PLCs). These motor systems and others nearby are often sensitive to and affected by poor
power quality.
Slide 41: Electrical Distribution & Power Quality
Power quality is a growing concern in industry as more processes are being automated and more
computers are being used to control and monitor equipment. Since digital equipment often must be reset or
resynchronized after a power disturbance, power problems can be quite costly. For example, in plastics
extrusion processes plastics or resins might solidify in production equipment during a process interruption.
Clearing the equipment of solidified plastics can be costly and time-consuming. In pharmaceutical and other
mixing or time-sensitive processes, expensive batches can be lost if a power quality problem strikes at the
wrong time.
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These are the primary problems associated with in-plant electric distribution systems and power quality:
Voltage problems, including unbalances, outages, sags, transients and surges, harmonics, and other
signal distortions
Poor power factor
Electromagnetic interference
PET bottling pictures used with permission from Atlas Copco Group
Slide 42: Voltage Problems
Voltage problems are basically any deviations in a normal waveform.
Interruptions or Outages. Interruptions or outages, the most noticeable problem, are momentary power
losses caused by faults from either internal or external events.
Sags. A voltage sag is a decrease in the magnitude of voltage from 10% to 90% that lasts anywhere from
half a cycle up to one minute. Voltage sags can cause protective devices such as relays to de-energize, and
can also create problems with process control equipment and VFDs.
Overvoltage and Undervoltage. Motors are designed to operate with +/ 10% of their rated voltage.
However, even within this range, changes in the voltage supplied can affect a motors performance,
efficiency, and power factor. Ideally, deviations in the voltage supplied to a motor system should be less
than +/ 2%. Changes in the voltage supplied to induction motors can affect their performance significantly.
For example, a decrease in the voltage supplied can decrease torque while increasing slip and increasing
the current drawn. Many motors are equipped with an undervoltage relay that de-energizes the motor
under low voltage conditions to prevent damage from the high current draw. Conversely, increasing the
motors voltage can improve torque and increase efficiency of a fully loaded motor but decrease efficiency
of a part loaded motor.
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Sizing motors to operate at 80% voltage is a major cause of oversizing.

Transients and Surges. Transients and surges are often the result of a large switching activity, such as
energizing capacitor banks. In areas with large inductive loads, utilities will energize capacitor banks to
increase the power factor, improve voltage, and reduce the system stresses that accompany large reactive
loads. Unfortunately, energizing these capacitor banks can create transient voltage surges that affect
sensitive equipment. Lightning is another common cause of transients. The enormous amount of energy in
a lightning strike can destroy controllers and equipment. Proper system grounding is essential to minimize
the risk of equipment damage; however, sensitive equipment such as computers and automated control
systems usually require additional protection. Dedicated transient voltage surge suppression (TVSS)
devices are recommended for highly sensitive equipment.
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So what causes these voltage problems?
The voltage problems mentioned so far can be caused by utility system events such as:
Equipment failure
Lightning
Power line contact with trees or vehicles
They can also often caused by in-plant events or activities:
Changes in loads associated with daytime, nighttime, and seasonal operation
Motors with high starting currents
Improperly sized transformers
Undersized conductors
Poor connections
Sources of low power factor in the distribution system
Activities at a neighboring facility that pull large currents
Another voltage problem is unbalances. Three-phase electrical systems should have three vectors, each of
equal magnitude and out of phase by 120. An unbalanced system has differences between any two of the
three phases. A voltage unbalance results in a current unbalance, which can significantly reduce the
efficiency of a motor. An unbalance will also reduce the life of the motor because of the excess heat
generated in the stator and rotor assembly.
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Voltage unbalance can be caused by factors such as:

The power supplier
A nonsymmetrical distribution of single-phase loads, in which a disproportionate share of single-phase
loads is placed on one of the three phases
An open circuit on one phase
Different-sized cables carrying the three phases
Selection of the wrong taps on the distribution transformer
Single phase loads that create low power factors

When a voltage unbalance reaches 5%, the phase currents can differ by as much as 40%, and temperature
increases of as much as 40C or 72F can occur. This can quickly lead to motor damage or failure.
Therefore, phase voltages in a plant should be monitored, and if the unbalance exceeds 1%, corrective
action should be taken.
Methods for correcting unbalanced voltages include:
Balance single phase loads equally among all phases
Segregate single phase loads which disturb the load balance and feed them from a separate line or
transformer
Have the utility correct any supply voltage unbalance

Harmonics are a form of signal distortion superimposed on the supply waveform. This creates a jagged
appearance to the sine wave.
Harmonics negatively affect the performance of inductive machines, such as transformers and induction
motors. They increase the amount of heat generated in motor windings for a particular load. Harmonics also
interfere with the accuracy of sensitive control and communication equipment.
Electrical equipment is often rated to handle a certain amount of total harmonic distortion (a common value
is 5%). Harmonics are created by large nonlinear loads such as welders and variable frequency drives. To
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minimize the effect of harmonics, many facilities install filtering devices and isolation transformers with
VFDs. As a rule of thumb, the line length between a VFD and a motor should be as short as possible.
Power factor is covered in our Energy University class on Power Factor and Harmonics. Many electric
utility companies charge additional fees (power factor penalties) if the power factor of the plant falls below
0.90. Since a typical induction motor operates at around 85% power factor, many facilities with large motor
systems and low power factors face stiff penalties on the bill if it is not corrected. Low power factor can also
be caused by idling or lightly loaded motors and by operating equipment at above the rated voltage.
Low power factor can be corrected by installing capacitors at a particular motor, at a motor control center for
a series of motors, or at the utility point of delivery, whichever is more appropriate. However, capacitors
should never be installed directly at the motor terminals, where the capacitors are switched on and off with
the motor contactor. This can lead to surges that damage the windings. In some facilities, large
synchronous motors are used to add a leading power factor component to the distribution system.
The capacitors do not improve the power factor of the motors, but correct the effects. The benefits include:
reduced kVA demand, and hence reduced utility demand charges
reduced line currents and hence lower heat losses in cables upstream of the capacitor, providing reduced
energy charges
reduced voltage drop in the cables leading to improved voltage regulation, and
an increase in the overall efficiency of the plant electrical system
Slide 49: Electromagnetic Interference
Pulse width modulated VFDs can generate significant levels of electromagnetic interference (EMI), or
noise, that is both radiated from the drive and conducted in conduit, cable tray, and ground wires. This noise
is generated by high-frequency switching of the voltage. Because the switching is so rapid, the noise can be
in the megahertz range. At these high frequencies, noise couples easily into grounding conductors. The
noise can cause failures in electronic circuits such as computers, control circuits, and communications.
There are several ways to mitigate this noise. One is to use a common choke mode or filter on the output of
the drive. Another is to enclose the entire motor feeder in metal conduit, from the drive to the motor.
Slide 50: Solutions
Facilities that have problems with equipment overheating, controllers that operate poorly, frequent sags,
and so on should perform a power quality review. This helps to locate the causes and find cost-effective
solutions. Hand-held power quality monitoring devices are becoming quite inexpensive. Many hand-held
devices can record voltage and current waveforms that can be played back later on a personal computer for
further analysis. Special power meters can be installed to permanently monitor the electrical system and
provide early warning of impending problems and store data for future evaluation.
Soft-Starting Devices can be used to limit the starting current. Types of soft-starters include special motor
controllers and most VFDs, which can usually limit starting currents to one and one-half to two times the
motors rated operating current.
Slide 51: Solutions

Transient voltage surge suppressors (TVSSs) are designed to prevent sudden voltage surges from
damaging sensitive equipment such as computers, numerically controlled equipment, controllers, and
instrumentation. These devices usually contain metal oxide varistors (MOVs) configured to provide a path
for current to flow away from the equipment during a transient event, both highly damaging voltage surges
and less noticeable transients that do not cause an immediate equipment failure but increase the
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cumulative wear on equipment and shorten life.
Slide 52: Solutions

Isolation Transformers are used to filter damaging signal surges, noise, and harmonics to prevent them
from reaching sensitive equipment. These devices are almost always used with VFDs over 750 kW (1,000
hp), but are also used with smaller applications. The drawbacks include slight efficiency losses, the
introduction of another possible failure mode, and additional maintenance required for the transformer.
In facilities using VFDs sophisticated filters can be used to prevent high-frequency harmonics from entering
the power supply and disturbing other sensitive equipment. Also, keep the distance from the drive to the
motor to within 15 metres or 50 feet. If a longer distance is required, consider using output filters to reduce
potential overvoltage transients. Separate input power, output power, and communication cables by at least
30 cm or 12 inches to minimize the EMI to control circuits. Install input, output power, and controls in
separate metal conduit or use metal shielding between them if they are in adjacent cable trays. If there are
trips due to momentary high or low voltage, check with the manufacturer to determine if the trip settings
bandwidth can be increased. Consider automatic restart (flying restart) to mitigate trips caused by
overvoltage or undervoltage, if an automatic restart is appropriate for the end-use and can be done safely.
Slide 53: Solutions

What are some other solutions?
Uninterruptible Power Supply Systems (UPS) should be considered for plants in which voltage sags or
power interruptions can be particularly costly.
On-Site Power Generation can be used for cogeneration and to provide backup, standby, and emergency
power.
System Monitoring Software is available to continuously evaluate power quality and support the engineer or
operator to make better decisions regarding the type of equipment required to correct the power quality
problem.
Slide 54: Evaluating a Repair Center

When a motor breaks down the owner has two options repair or replace.
If a repair is called for, its beneficial to already have a repair center lined up. This reduces the time needed
to choose a repair center when the motor is waiting for repair, and increases the likelihood of good service.
Slide 55: Evaluating a Repair Center

Some factors to consider when evaluating the repair center include:
Is it their primary market? Do they do a significant amount of work on motors of the type and size that you
are likely to submit? For example, a plant that uses small induction motors should avoid a service center
whose bread and butter is locomotive motor-generator sets. If you use a wide range of motor types select
two or more appropriate, qualified repair service centers, as needed.
Do they have the relevant tools and facilities? It is difficult to conduct thorough diagnostics and verify repairs
without having equipment like surge testers and a well-regulated power supply. The service center must be
able to handle the largest motors you expect to submit. For example, the winding heads must be able to
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duplicate the original winding patterns.

Repair materials should be well stocked, such as electrical insulation materials and wires in various sizes.
Or they should be able to obtain the sizes needed quickly in order to meet your turnaround requirements.
Is the staff stable, knowledgeable, experienced, and well-trained?
Recordkeeping is important since a record of past problems and remedies can be invaluable for diagnosing
or preventing new problems and resolving warranty issues. Some use computer systems and many service
centers keep good records on job cards.
Cleanliness is almost intuitively associated with good quality management. This is more than a matter of
aesthetics, because most of the materials and supplies used in a motor service center need to be protected
from contamination, and tools need to be well kept and calibrated.
Finally, it is important for the center to maintain high levels of quality. Ideally, this includes a formal quality
management system involving third-party inspections and certification. Service center managers should be
able to point to documents that provide standards, operating procedures, and important records.
Slide 56: Summary
Seven key steps on the path to energy efficiency motor systems are:
Assess your motors as the first step
Have a motor management program covering rewinds, purchasing and spares
Attend to maintenance: including cleaning, checking insulation and shaft alignment
Choose the right motor: this includes premium efficiency motors, avoiding oversizing, and sizing for variable
loads
Use speed control
Fix electrical distribution and power quality issues, including voltage imbalances and voltage drops
Lastly, select a good repair center

Power Factor and Harmonics Transcript

Slide 1
Welcome to Power Factor and Harmonics.
Slide 2
For best viewing results, we recommend that you maximize your browser window
now. The screen controls allow you to navigate through the eLearning
experience. Using your browser controls may disrupt the normal play of the
course. Click the paperclip icon to download supplemental information for this
course. Here, you will find a Schneider Electric White Paper, which offers
additional information on the topic we will discuss today. Click the Notes tab to
Slide 3
List examples of power factor and harmonics phenomena, the common causes
and the common negative physical and financial impacts
List methods of preventing or mitigating power factor and harmonics problems
and describe their suitability for particular situations
Perform power triangle calculations, and size the required power factor correction
solution for a given level of correction
List possible locations of mitigation solutions within an electrical network, and
identify the pros and cons associated with each location
Slide 4
As a member of the Electrical Department staff of your company, you may have
asked some of the following questions:
How can we reduce the electricity bill without disruption of electricity supply?
Why is our electrical installation victim of nuisance tripping or unexplained
disturbances of control systems?
Should we worry about the influence of electronic equipment such as adjustable
speed drives, uninterruptible power supplies, induction ovens, fluorescent
lighting, and IT equipment?
What is the origin of those transformer vibrations?
Why did we experience untimely tripping of overload relays of power factor
correction capacitors?
How can we avoid neutral conductor overheating?
Should we complain to the utility about light flicker?
If you have asked any of these questions, then this course should be very helpful
by providing explanations and solutions. All these questions are basically linked
to the control of Power Factor and Harmonics.
Slide 5
Low power factor and harmonics are a frustration for electrical installations like
curves and bumps are a nuisance for the motorist. On the road, this means that
fuel mileage and reliability are not optimal, resulting in an increased gas bill and
maintenance cost. In electrical installations, this means additional power losses
and reduced energy reliability.
In the context of increasing concern about energy efficiency and energy
management, power factor and harmonics are important issues to consider for
the management of electrical installations. Power factor correction and harmonic
mitigation provide immediate benefit in terms of reduced power losses, reduced
electricity bill, and the possibility to use the total system capacity.
Accounting for these problems upfront yields a plethora of significant benefits,
including:
Reduction of electricity bill by 5 to 10% typically,

Reduction of power losses which helps to prevent transformers and panels
from overheating,
Reduction of cable size, bringing reduced cost and easier implementation,
Compliance with harmonic emission limits requested by utilities prior to
connection,
Improvement in process quality. For example, spot welding for car body
assembly is sensitive to voltage fluctuations linked to poor power factor.
Improvement of system availability and reliability. Harmonics can cause
protection devices to trip, disrupting production and causing nuisance.
Improvement in business performance: Optimized use of electricity, no disruption
of operation and longer equipment life expectation.
Slide 6
The presence of harmonics in electrical systems means that current and voltage
are distorted and deviate from sinusoidal waveforms. Harmonics are
superimposed waves, whose frequencies are multiples of the power frequency.
The multiplying factor is called "harmonic order".
Harmonic currents are caused by nonlinear loads connected to the distribution
system. A load is said to be nonlinear when the current it draws does not have
the same waveform as the supply voltage. The flow of harmonic currents through
system impedances in turn creates voltage harmonics, which distort the supply
voltage. This results in disturbances of sensitive equipment, mainly related to the
circulation of currents in the grounding connections.
Equipment comprising power electronics circuits are typical nonlinear loads.
Such loads are increasingly frequent in all industrial, commercial and even
residential installations and their percentage in overall electrical consumption is
growing steadily.
Examples include:
Industrial equipment (welding machines, arc and induction furnaces, battery
chargers),
Variable Speed Drives for AC or DC motors,
Uninterruptible Power Supplies,
Office equipment (PCs, printers, servers),
Household appliances (TV sets, microwave ovens, fluorescent lighting, light
dimmers).
Slide 7
Voltage fluctuation is a systematic variation of the voltage waveform or a series
of random voltage changes of small dimensions, namely 95 to 105% of nominal
at a low frequency. The usual origin of voltage fluctuation disturbances are motor
start-up and spot welding. An example of a possible impact of voltage fluctuation
disturbances is a light flicker.
Voltage fluctuations are the consequences of variable voltage drop along the
distribution lines and across transformer windings. This voltage drop is mainly the
consequence of the circulation of reactive energy absorbed by loads such as
motors. The advantages of reactive energy compensation or "power factor
correction" will be shown later in this course; but first, lets talk a bit about power
factor.
Slide 8
What is power factor?
The active power P (kW) is the real power transmitted to loads such as motors,
lamps, heaters and computers. The electrical active power is transformed into
mechanical power, heat or light. In a circuit where the applied rms voltage is Vrms
and the circulating rms current is Irms, the apparent power S (kVA) is the product:
Vrms x Irms. The apparent power is the basis for electrical equipment rating. The
Power Factor () is the ratio of the active power P (kW) to the apparent power S
(kVA).
Slide 9
For sinusoidal (undistorted) voltage and current, a vector representation is
possible and helpful. For most electrical loads like motors, the current I is lagging
behind the voltage V by an angle phi.
The current vector I can be split into 2 components:
Ia is called the "active" component of the current, and
Ir is called the "reactive" component of the current.
For sinusoidal voltage and current with a phase angle, the Power Factor is equal
to cos of the angle, called Displacement Power Factor (DPF).
The diagram drawn up for currents also applies to powers, by multiplying each
current by a common voltage V.
Thus, we define apparent power, active power and reactive power, as you see
here.
Apparent power: S = V x l (kVA)
Active power: P = V x la = V x I x cos phi (kW)
Reactive power: Q = V x lr = V x I x sin phi (kvar)
Its important to note however, in a three phase system, these equations change
just a bit. And we see that here. Apparent power: S = 3 x U x I (kVA)
Active power: P = 3 x U x I x cos phi (kW)
Reactive power: Q = 3 x U x I x sin phi (kvar)
Here, U is the phase to phase voltage.

Slide 10
It is important to know how to size the required power factor correction (PFC)
solution for a given level of correction. This can be accomplished by working
through the power triangle calculation.
Here are some power triangle calculations:
kVA2 = kW2 + kvar2
kvar2 = kVA2 kW2
kvar = (kVA2 kW2)
Lets look at the power triangle in more depth.
Slide 11
The power triangle shown here is the simplest way to understand the effects of
reactive power. The figure illustrates the relationship of active (real) and reactive
(imaginary or magnetizing) power. The active power (represented by the
horizontal leg) is the actual power, or watts that produce real work. This
component is the energy transfer component, which represents fuel burned at
the power plant. The reactive power or magnetizing power, (represented by the
vertical leg of the triangle) is the power required to produce the magnetic fields to
enable the real work to be done. Magnetizing power is inherently present in
transformers and motors. Reactive power is normally supplied by generators,
capacitors and synchronous motors.
The longest leg of the triangle, labeled apparent power, represents the vector
sum of the reactive power and the real power components. Mathematically, this
is equal to: kVA = (kW2 + kVAR2).
As the apparent power is the basis for electrical equipment rating, there is a big
benefit to reduce the reactive power, for a given amount of active power
transferred to the loads. Thats why utilities are generally applying penalties on
reactive power, in order to influence customers to lower the reactive power
consumption.
Here we see the typical value of Power Factor for different kinds of electrical
equipment.
Motor (0.8)
Incandescent lamp (1)
Compact fluorescent lamp (0.5)
Discharge lamp (0.6)
Resistance oven (1)
Computer (0.65)
Lets move on now and do a couple of example exercises.
Slide 12
A facility is operating with a demand of 4000 kW. The 5000 kVA transformer is
fully loaded. How many kvar are required to bring the power factor back to unity?
Looking at the information we have been given it makes the most sense to use
the power triangle formula:
kvar2 = kVA2 kW2
And here we see our solution:
kvar2 = (5000)2 (4000)2
kvar2 = 25,000,000 16,000,000
kvar2 = 9,000,000
kvar = 9,000,000
kvar = 3,000 kvar

Lets look at another example.
Slide 13
Consider a 200 HP electric motor that has the following information on the name
plate:
460 volts
228 amps
Three phase
93% efficient
All at full load
What is the power factor of this motor?
Remember the power factor ratio:
PF = kW / kVA = active power / apparent power
First calculate the kW rating of the motor from the horsepower using the formula.
Remember that the horsepower given on the nameplate is the output power on
the shaft. Therefore you must not only convert from horsepower to kW, but must
also calculate the input power from the output power.
In countries using metric units, the nameplate would normally give the output
power in kW and you would be able to skip the horsepower conversion step.
1 HP = 0.746 kW
Efficiency = Output power / Input power
And so
Input power in kW = HP x 0.746 kW x Load factor / Efficiency
The data given told us that the motor is at full load, so that is 100% or 1.
The efficiency is 93% or 0.93.
kW = 200 HP x 0.746 kW x 1 /0.93
If we do that calculation, we'll see that we come out to 160.4 kW.
Now, calculate the kVA.
In a three phase system, kVA = 3 x U x I (and remember - U is the phase to
phase voltage)
kVA = 1.73 x 460/1000 x 228
kVA = 181.7
Take that one step further
PF = 160.4/181.7 = 0.88h
Slide 14
For many types of electrical equipment the difference between apparent power
(VA) and active or real power (W) is very slight and can be ignored. However, for
some equipment such as computers and compact fluorescent lamps, the
difference is very large and important.
Many desktop personal computers present a nonlinear load to the AC supply.
This is inherent to the power supply design known as "capacitor input, switch
mode power supply". In a study done by PC Magazine, it was found that typical
personal computer systems exhibit a power factor of .65 which means that the
apparent power (VA) was 50% larger than the active power (W)!
Information Technology equipment including servers, routers, hubs, and storage
systems almost universally use a different power supply design known as "Power
Factor Corrected". These devices present a very linear load to the AC supply
and do not generate harmonic currents. In fact they are one of the cleanest loads
on the power grid and generate less harmonic current than many other devices
such as fluorescent lighting or variable speed motors. Ten years ago, these
devices were nonlinear loads like personal computers, but today all of these
loads are subject to international regulation IEC 1000-3-2 which require them to
be made with the "Power Factor Corrected" design.
Lets move forward and discuss how power factor and harmonics relate to energy
efficiency.
Slide 15
The maximum active power is transmitted to a load when voltage and current are
undistorted and in phase.
When voltage and current are phase-shifted, the instantaneous power (P = V x I)
is negative when the signal signs are opposite. The average power is then
reduced.
With a distorted current, the instantaneous power is negative or close to zero
during a significant period of time. The average power is then also reduced.
Slide 16
Let's compare three different situations.
In the first, ideal situation, voltage and current are purely sinusoidal curves, and
in phase. For a given transferred active power, the rms current is equal to I.
In the second situation, voltage and current are purely sinusoidal curves, but
phase-shifted by an angle phi. With displacement power factor (abbreviated to
DPF) = cos phi = 0.7, the rms current is equal to 1.43 x I, so it is increased by
more than 40% for the same active power.
In the third situation, the current is distorted, such that the Total Harmonic
Distortion (THDi) is equal to 100%. THDi is an indicator of the amount of
distortion on the signal. Then, by using calculations not detailed in this course,
the resulting rms current is equal to 1.41 x I, so again increased by more than
40% for the same active power.
Slide 17
The higher current means additional losses, more CO2 emissions, premature
aging of equipment, higher electricity cost, nuisance tripping of over-current
detection relays, higher equipment cost, and possible voltage fluctuations. The
circulation of harmonic currents through the system impedance creates voltage
harmonics resulting in voltage distortion.
That is why power factor correction (PFC) and proper harmonic mitigation
contribute to improve competitiveness of companies in different ways:
Reduced overloading on the electrical system, thereby releasing useable
capacity. This could avoid the installation of an additional transformer in case of
extension of the installation,
Reduced system losses and demand power,
Reduced risks of outage, and
Extended equipment lifetime.
Lets take a closer look at the benefits of power factor correction and harmonic
mitigation.
Slide 18
Some of the benefits include:
Reduced overloading on the electrical system, thereby releasing useable

capacity
This could avoid the installation of an additional transformer in case of extension

of the installation
Reduced demand power
Reduced risks of outage, and
Extended equipment lifetime
Other benefits include:
Reduced electricity bill
Low power factor and harmonics are resulting in increased power demand and
reactive energy consumption. Both aspects are part of the electricity bill paid to
the Electricity utility.
Reduced power losses
Low power factor and harmonics are responsible for increased current for a given
active power and for additional losses.
Reduced cable size
The cable size is determined according to the electrical current requirements, so

reduced current means less expensive and easier-to-install cables.
Slide 19
Improved process quality
Process quality or machine operation may be impaired by voltage fluctuations

linked to variations of reactive energy. The same problems may be produced by
a high level of distortion, producing disturbances of sensitive equipment
(computer management system, sensors)
Improved business performance
Capex is reduced by lower cost of equipment such as transformer, cables, and

switchgear.
Opex is reduced by reduction of power losses, reduction of subscribed power,
and elimination of reactive energy penalties.
System availability and reliability are improved.
Now that we have discussed the benefits of power factor correction and
harmonic mitigation, lets talk about how best to mitigate those problems.
Slide 20
Lets look at diagnostics and solutions!
Monitoring is the best diagnostics tool! It provides:
An early warning of impending problems which may appear after a change of
circuit configuration
Determination of the nature and origin of a disturbance. For example,
monitoring can indicate whether the disturbance originates inside or outside the
installation
Validation of quality contract compliance
Some examples of Monitoring Equipment include:
Power monitors and circuit monitors: PowerLogic PM, CM, and ION Series
Protection relays: Sepam
Trip units: Micrologic
Some examples of solutions include:

Capacitor banks: Varset
Transient-free capacitor switching: Varset Fast
Harmonic filters: Accusine, Sinewave
Fast reactive energy compensators: Accusine, Sinewave
Lets discuss these solutions in further detail.
Slide 21
Capacitor banks are the basic solution for power factor correction. The main
objective is to avoid reactive energy penalties charged by the utility. Equipment
may be connected at different levels in the installation: MV substation, LV main
switchboard, LV secondary switchboard, and machine terminals.
Compensation of an installation is determined in 4 steps:
1. Calculation of reactive power
2. Selection of compensation mode (global, by sector, local)
3. Selection of compensation type (fixed, by steps, dynamic)
4. Consideration of harmonics
Slide 22
The first step is calculation of reactive power. The objective is to calculate the
reactive power Qc (kvar) to be installed to increase the cos phi to the targeted
value. This is based on the formula we see here: Qc = P (tan phi tan phi')
Lets look at an example. A facility has a demand of 3500 kW and a power factor
of 0.78. What size of capacitor would be required to improve the power factor to
0.9?
As we learned earlier in this course, DPF is equal to cos phi. Here we see that is
0.78, and the tan phi is 0.8.
The improved cos phi' is 0.9, which means tan phi' equals 0.48.
Looking at our formula, the reactive power to be installed is Qc = 3500 * (0.80 0.48) = 1120 kvar
Slide 23
The second step is selection of compensation mode (global, by sector, local).
When looking at global compensation, the capacitor bank is connected at the
supply end of the installation. This is ideal for stable and continuous loads.
When looking at compensation by sectors, the capacitor bank is connected at the
supply end of the sector to be compensated. This is ideal for extended
installations including workshops with varying load systems.
When looking at individual (or local) compensation, the capacitor bank is directly
connected to the terminals of the machine (generally motors). This is the best
technical solution because reactive energy is supplied where it is needed.
Slide 24
The third step is selection of compensation type (fixed, automatic by steps, or
dynamic)
Different types of compensation shall be adopted depending on the performance
requirements and complexity of control:
Fixed, by connection of a fixed-value capacitor bank,
Automatic, by connection of different number of steps, allowing the adjustment of

the reactive energy to the requested value,
Dynamic, for compensation of highly fluctuating loads.
First, well talk about fixed compensation.
This arrangement uses one or more capacitor(s) to provide a constant level of
compensation. Control may be either:
Manual: by circuit-breaker or load-break switch,
Semi-automatic: by contactor,
Direct connection to an appliance and switched with it.
These capacitors are applied:
At the terminals of inductive loads (mainly motors),
At busbars supplying numerous small motors and inductive appliances for which
individual compensation would be too costly,
In cases where the load factor is reasonably constant.
Now well discuss automatic compensation.
This kind of compensation provides automatic control and adapts the quantity of
reactive power to the variations of the installation in order to maintain the
targeted cos phi. The equipment is applied at points in an installation where the
active power and/or reactive power variations are relatively large, for example:
At the busbars of a main distribution switch-board,
At the terminals of a heavily-loaded feeder cable.
Where the kvar rating of the capacitors is less than, or equal to 15% of the supply
transformer rating, a fixed value of compensation is appropriate. Above the 15%
level, it is advisable to install an automatically-controlled bank of capacitors.
Control is usually provided by contactors. For compensation of highly fluctuating
loads, fast and highly repetitive connection of capacitors is necessary, and static
switches must be used.
And finally well discuss dynamic compensation.
This kind of compensation is requested when fluctuating loads are present, and
voltage fluctuations should be avoided. The principle of dynamic compensation is
to associate a fixed capacitor bank and an electronic var compensator, providing
either leading or lagging reactive currents. The result is a continuously varying
and fast compensation, perfectly suitable for loads such as lifts, crushers, and
spot welding.
Slide 25
Now lets look at the final step: Consideration of harmonics.
When capacitor banks are installed in the presence of harmonics, two
parameters shall be considered:
Gh: Total power of the nonlinear loads
Sn: Rated power of the supply transformer
Different types of equipment must be selected depending on the level of the
network harmonic emission. The selection is based on the value of the Gh/Sn
ratio, as illustrated here.
Oversized capacitors must be selected when Gh/Sn exceeds 15% because
harmonic currents will be responsible for increased stress. When Gh/Sn exceeds
25%, a series reactor is necessary to limit the circulation of harmonic currents,
harmful to the capacitors. This is called a detuned reactor because capacitors
and reactor are set up in a resonant circuit configuration, not tuned to the
frequency of any harmonic order. Passive filters are implemented when power
factor correction is requested with a high level of existing harmonic distortion.
They consist of reactors and capacitors set up in a resonant circuit configuration,

tuned to the frequency of the harmonic order to be eliminated. A system may be
composed of a number of filters to eliminate several harmonic orders.
Here we have discussed consideration of harmonics when selecting a capacitor
bank for power factor correction. But what if you need to mitigate harmonics in
the rest of your site? Lets move on now and discuss the various forms of filters.
Slide 26
First, we have active filters. Active filters are systems employing power
electronics, to provide the harmonic currents required by nonlinear loads and
thereby avoiding distortion on the power system. The active filter injects, in
opposite phase, the harmonics drawn by the load, such that the line current
remains sinusoidal.
Slide 27
Then there are hybrid filters. Hybrid filters are systems including a passive filter
and an active filter in a single unit. They cumulate the advantages of both
technologies, providing a high performance and cost effective solution.
Slide 28
Active or hybrid filters are also capable of compensating the fluctuations of
reactive energy. In this mode of operation, they are also known as "Static Var
Compensators" (SVC) or "Hybrid Var Compensators" (HVC).
Lets move on now to discuss mitigating variable speed drive (VSD) power
problems.
Slide 29
Capacitor-less (C-less) technology, combined with an advanced control

algorithm, decreases the THDi by 50% compared to traditional technology. This
solution, which is dedicated to centrifugal pumps, fans and HVAC machines, has
been adopted by leading manufacturers.
Slide 30
AC-Line or DC-link reactors (chokes) are commonly used with drives up to about
500 kW unit power in order to smooth the line current and so reduce the
distortion. When a large number of drives are present within an installation, the
use of AC-line or DC-link chokes for each individual drive is recommended. This
measure increases the lifetime of the drives and enables use of cost effective
mitigation solutions at installation level, such as active filters for example.
Slide 31
A special configuration called "Multi-pulse arrangement" is usually used for drives
above 400 kW. Precondition is a dedicated transformer directly supplied from the
MV network, with a 3-winding arrangement. This limits the harmonic emission
considerably and usually no further mitigation is necessary. Multi-pulse solutions
are the most efficient in terms of power losses. Compliance to the most stringent
of standards is also easily achievable.
Slide 32
The best performing solution concerning harmonic mitigation with drives is an
electronically controlled circuitry, called "Active Front End" (AFE), limiting the
THDi below 5%. All the applicable standard requirements can be met. No
detailed system evaluation is necessary, making this solution the easiest to
implement. In addition to harmonic mitigation, power regeneration and power
factor correction are inherent.
Slide 33
As we conclude lets review how appropriate design affects energy efficiency.

In electrical installations three different aspects should be considered:
Energy savings: reduction of energy consumption,
Energy cost optimization: reduction of the cost of energy paid to the utility, and
Availability and reliability: minimize the risk of outage, and also sustain an
efficient equipment operation.
Power factor correction and Harmonic mitigation have an impact on all 3 aspects,
since these allow:
Reduction of the power losses in transformers, cables, switchgear, motors,
capacitors, up to 5%,
Eliminate utility charges for reactive energy (kvarh)
Reduction of the demand power (in MVA), resulting in lower tariffs,
Use of the total system capacity, without risk of overload, nuisance tripping or
premature aging of equipment.
Slide 34
To summarize lets review some of the information that we have covered
throughout this course.
Power factor and harmonic phenomena include power losses, overloading

of the electrical system, light flickers, disturbance of sensitive equipment,
and nuisance tripping of circuit breakers
The impacts of these phenomena include increased utility bills for reactive
power and power losses, inability to use the full electrical system capacity,
loss of production due to power outage, and reduced equipment lifetime
Common causes of low power factor include motors, fluorescent lamps,

discharge lamps, personal computers
Common causes of harmonics include variable speed drives, welding

equipment, and fluorescent lamps
Power factor and harmonic phenomena may be mitigated by capacitor

banks, detuned reactors, passive, active or hybrid filters
Use the power triangle calculations to know how to size the required
power factor correction solution for a given level of correction
kVA2 = kW2 + kvar2
kvar2 = kVA2 kW2
kvar = (kVA2 kW2)
Capacitor banks may be located at the medium voltage substation, low

voltage main switchboard, secondary switchboard, or machine terminals
Slide 35
Slide 36
To test your knowledge of the course material, click the Knowledge Checkpoint
link on your personal homepage.
Important Point! The Knowledge Checkpoint link is located under BROWSE
CATALOG on the left side of the page.
Slide 37
pertinent to energy efficiency. Please take our brief survey and tell us how were
doing.
How do you begin? Its easy! 1) Click on the Home icon, located in the right
corner of your screen. 2) Click on the Course Surveys" link on the left side of the
screen under Browse Catalog. 3) Select the course title you have just
Pumping Systems I: Pump Types and Performance

Slide 1: Pumping Systems I
Welcome to Pumping Systems I: Pump Types and Performance
Slide 2: Produced with the support of the US Department of Energy
This course was produced including content from the US Department of Energy publication Improving Pumping
System Performance: a sourcebook for industry.
Slide 3: Objectives
By the end of this course you should be able to:
List the components of a pumping system
Identify different types of pumps
List the factors that should be considered when pumps are selected
Interpret a pump performance curve and explain the best efficiency point
This class is part of a series. In the next class, we will look at the overall performance of a pumping system, including
the opportunities to save energy.
Slide 4: Pumps
Pumps are used widely in industry to provide cooling and lubrication services, to transfer fluids for processing, and to
provide the motive force in hydraulic systems. In fact, most manufacturing plants, commercial buildings, and
municipalities rely on pumping systems for their daily operation. According to some estimates, in the manufacturing
sector, pumps represent 27% of the electricity used by industrial systems. In the commercial sector, pumps are used
primarily in heating, ventilation, and air-conditioning (HVAC) systems to provide water for heat transfer. Municipalities
use pumps for water and wastewater transfer and treatment and for land drainage. Since they serve such diverse
needs, pumps range widely in size.
Pump reliability is importantoften critically so. In cooling systems, pump failure can result in equipment overheating
and catastrophic damage. In lubrication systems, inadequate pump performance can destroy equipment. In many
petrochemical and power plants, pump downtime can cause a substantial loss in productivity.
Therefore, pumps are essential to the daily operation of many facilities. This tends to promote the practice of sizing
pumps conservatively to ensure that the needs of the system will be met under all conditions. Intent on ensuring that
the pumps are large enough to meet system needs, engineers often overlook the cost of oversizing pumps and err on
the side of safety by adding more pump capacity. Unfortunately, this practice results in higher-than-necessary system
operating costs. In addition, oversized pumps typically require more frequent maintenance than properly sized pumps.
Excess flow energy increases the wear and tear on system components, resulting in valve damage, piping stress,
and excess system operation noise. A pump does not function in isolation: it is part of a system of supply and
demand. The use of a systems approach will typically yield a quieter, more efficient, and more reliable system.
Slide 5: Pump Components
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Typical pumping systems contain five basic components: pumps, prime movers, piping, valves, and end-use
equipment (e.g., heat exchangers, tanks, and hydraulic equipment).
Slide 6: Pumps
Although pumps are available in a wide range of types, sizes, and materials, they can be broadly classified into two
categories positive displacement and centrifugal. Although axial-flow pumps are frequently classified as a
separate type, they have essentially the same operating principles as centrifugal pumps.
These categories relate to the manner in which the pumps add energy to the working fluid.
Positive displacement pumps pressurize fluid with a collapsing volume action, essentially squeezing an amount of
fluid equal to the displacement volume of the system with each piston stroke or shaft rotation.
Centrifugal pumps work by adding kinetic energy to a fluid using a spinning impeller. As the fluid slows in the diffuser
section of the pump, the kinetic energy of the fluid is converted into pressure.
Slide 7: Pumps
Although many applications can be served by both positive displacement and centrifugal pumps, centrifugal pumps
are more common because they are simple and safe to operate, require minimal maintenance, and have
characteristically long operating lives. Centrifugal pumps typically suffer less wear and require fewer part
replacements than positive displacement pumps. Although the packing or mechanical seals must be replaced
periodically, these tasks usually require only a minor amount of downtime. Centrifugal pumps can also operate under
a broad range of conditions. The risk of catastrophic damage due to improper valve positioning is low, if precautions
are taken.
Positive displacement pumps have operating advantages that make them more practical for certain applications.
They are generally used whenever pump efficiency is highly valued.
In particular they are more effective than centrifugal pumps in moving highly viscous fluids
They are also more effective in generating high-pressure in low-flow applications. Although centrifugal pumps can
be designed to generate high pressures, usually through the use of multiple stages, these special pumps tend to be
comparatively expensive.
If the flow must be metered or precisely controlled a positive displacement pump has the advantage because each
stroke or revolution generates a certain amount of flow.
Some of these designs of pump (diaphragm and peristaltic types) do not require seals and thus do not leak. In
systems that handle corrosive or hazardous fluids, eliminating the need for seal maintenance can yield substantial
cost savings.
Lastly, positive displacement pumps are normally used when the pump must be self-priming. Priming is the
process of filling a pump with fluid so that it can start working. Positive displacement pumps can operate when
there are gases in the suction line. This allows the pump to be placed above the fluid level, which can simplify
system layout. In contrast, centrifugal pumps often require special system equipment to remove gases and
surround the impeller with fluid.
Slide 8: Pumps
These pumps do have a number of disadvantages:
Unfortunately, these pumps tend to have higher maintenance requirements.
They also include a relatively high number of moving parts and this may require a larger inventory of spares.
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Positive displacement pumps typically have pulsating flow characteristics, which can create vibration problems which
may create loads on piping welds, piping supports and mechanical joints. Accumulators can be used to absorb some
of the vibrational energy.
Another disadvantage is that positive displacement pumps typically require more system safeguards, such as relief
valves. A positive displacement pump can potentially overpressurize system piping and components. For example, if
all the valves downstream of a pump are closeda condition known as deadheadingsystem pressure will build
until a relief valve lifts, a pipe or fitting ruptures, or the pump motor stalls. Although relief valves are installed to
protect against such damage, this adds periodic testing and maintenance requirements, and relying on these devices
adds an element of risk. In addition, relief valves often relieve pressure by venting system fluid, which may be a
problem for systems with harmful or dangerous system fluids.
Slide 9: Prime Movers
Most pumps are driven by electric motors. Although some pumps are driven by direct current (DC) motors, the low
cost and high reliability of alternating current (AC) motors make them the most common type of pump prime mover.
In recent years, the efficiencies of many types of AC motors have improved. Many countries now set minimum
efficiency standards for most common types of industrial motors.
In high-run-time applications, improved motor efficiencies can significantly reduce operating costs. However, it is
often more effective to take a systems approach that uses proper component sizing and effective maintenance
practices to avoid unnecessary energy consumption.
A subcomponent of a pump motor is the motor controller. The motor controller is the switchgear that receives signals
from low-power circuits, such as an on-off switch, and connects or disconnects the high-power circuits to the primary
power supply from the motor. In DC motors, the motor controller also contains a sequence of switches that gradually
builds up the motor current during start-ups.
In special applications, such as emergency lubricating oil pumps for large machinery, some pumps are driven by an
air system or directly from the shaft of the machine. In the event of a power failure, these pumps can still supply oil to
the bearings long enough for the machine to coast to a stop. For this same reason, many fire service pumps are
driven by diesel engines to allow them to operate during a power outage.
Slide 10: Piping
Piping is used to contain the fluid and carry it from the pump to the point of use. The critical aspects of piping are its
dimensions, material type, and cost. Since all three aspects are interrelated, pipe sizing is an iterative process. The
flow resistance at a specified flow rate of a pipe decreases as the pipe diameter gets larger; however, larger pipes
are heavier, take up more floor space, and cost more than smaller pipe. Similarly, in systems that operate at high
pressures (for example, hydraulic systems), small-diameter pipes can have thinner walls than large-diameter pipes
and are easier to route and install.
Small-diameter pipes restrict flow, however, and this can be especially problematic in systems with surging flow
characteristics. Smaller pipes also operate at higher liquid velocity, increasing erosion effects, wear, and friction head.
Increased friction head affects the energy required for pumping.
Slide 11: Valves
The flow in a pumping system may be controlled by valves. Some valves have distinct positions, either shut or open,
while others can be used to throttle flow. There are many different types of valves; selecting the correct valve for an
application depends on a number of factors, such as ease of maintenance, reliability, leakage tendencies, cost, and
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the frequency with which the valve will be open and shut.
Valves can be used to isolate equipment or regulate flow. Isolation valves are designed to seal off a part of a system
for operating purposes or maintenance. Flow-regulating valves either restrict flow through a system branch (throttle
valve) or allow flow around it (bypass valve). A throttle valve controls flow by increasing or decreasing the flow
resistance across it. In contrast, a bypass valve allows flow to go around a system component by increasing or
decreasing the flow resistance in a bypass line. A check valve allows fluid to move in only one direction, thus
protecting equipment from being pressurized from the wrong direction and helping to keep fluids flowing in the right
direction. Check valves are used at the discharge of many pumps to prevent flow reversal when the pump is stopped.
Slide 12: End-Use Equipment
Heat Exchangers, Tanks, and Hydraulic Equipment
The essential purpose of a pumping system may be to provide cooling, to supply or drain a tank or reservoir, or to
provide hydraulic power to a machine. Therefore, the nature of the end-use equipment is a key design consideration
in determining how the piping and valves should be configured. There are many different types of end-use
equipment; the fluid pressurization needs and pressure drops across this equipment vary widely. For heat
exchangers, flow is the critical performance characteristic; for hydraulic machinery, pressure is the key system need.
Pumps and pumping system components must be sized and configured according to the needs of the end-use
processes.
Slide 13: Pumping System Principles
To understand the main ways that energy efficiency can be improved in pumping systems, there are a few principles
that we need to understand.
Fluid system designs are usually developed to support the needs of other systems. For example, in cooling system
applications, the heat transfer requirements determine how many heat exchangers are needed, how large each heat
exchanger should be, and how much flow is required. Pump capabilities are then calculated based on the system
layout and equipment characteristics. In other applications, such as municipal wastewater removal, pump capabilities
are determined by the amount of water that must be moved and the height and pressure to which it must be pumped.
The pumps are sized and configured according to the flow rate and pressure requirements of the system or service.
After the service needs of a pumping system are identified, the pump/motor combination, layout, and valve
requirements must be engineered. Selecting the appropriate type of pump and its speed and power characteristics
requires an understanding of its operating principles.
The most challenging aspect of the design process is cost-effectively matching the pump and motor characteristics to
the needs of the system. This process is often complicated by wide variations in flow and pressure requirements.
Ensuring that system needs are met during worst-case conditions can cause designers to specify equipment that is
oversized for normal operation. In addition, specifying larger than necessary pumps increases material, installation,
and operating costs. Designing a system with larger piping diameters might reduce pumping energy costs, however.
Pump requirements are directly affected by fluid energy requirements. For practical pump applications, the energy of
a fluid is commonly measured in terms of head. Head is usually expressed in feet or meters, which refers to the
height of a column of system fluid that has an equivalent amount of potential energy.
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Slide 16: Total Head
The total head of a fluid system consists of four terms or measurements: static pressure (gauge pressure), height (or
potential energy), velocity head (or kinetic energy) and frictional head. Click on each of the terms for a more in-depth
explanation.
Static pressure, as the name indicates, is the pressure of the fluid in the system. It is the quantity measured by
conventional pressure gauges.
The height of the fluid level has a substantial impact on the static pressure in a system, but it is itself a distinct
measurement of fluid energy. For example, a pressure gauge on a vented tank reads atmospheric pressure. If this
tank is located 15 meters (m) or 50 feet (ft) above the pump, however, the pump would have to generate at least 15
m or 50 ft of static pressure to push water into the tank. For tap water, the gauge would have to read 1.5 bar or
21.7 pounds per square inch [psi]
Velocity head (also known as dynamic head) is a measure of a fluids kinetic energy. In most systems, the velocity
head is small in comparison to the static head. For example, the flow velocity in cooling systems does not typically
exceed 4.5 m or 15 ft per second, which is roughly equivalent to 1.1 m or 3.5 ft of head. If the system fluid is water,
this velocity head translates to about 0.1 bar gauge or 1.5 psi gauge [psig]). The velocity head of a fluid must be
considered when siting pressure gauges, when designing a system, and when evaluating a reading from a pressure
gauge, especially when the system has varying pipe sizes. A pressure gauge downstream of a pipe reduction will
read lower than one upstream of the reduction, although the distance may only be a few inches.
Frictional head is a measure of the head that must be supplied to overcome the frictional loss caused by the flow of
fluid through the piping system. For example, if the frictional head losses due to piping, valves or other fittings is 1.1
m or 3.5 ft of head, the pump design must include this head to overcome the losses.
Slide 17: Fluid Characteristics
Pump requirements are influenced greatly by fluid characteristics such as viscosity, density, particulate content, and
vapor pressure. Viscosity is a property that measures the shear resistance of a fluid. A highly viscous liquid
consumes more energy during flow because its shear resistance creates heat. Some fluids, such as cold lubricating
oil (at less than 15C or 60F), are sufficiently viscous that centrifugal pumps cannot move them effectively. As a
result, the range of fluid viscosities over the operating temperatures of a system is a key system design factor. A
pump/motor combination that is appropriately sized for oil at a temperature of 27C or 80F may be undersized for
operation at 15C or 60F.
The quantities and properties of particulates in a system fluid also affect pump design and selection. Some pumps
cannot tolerate much debris. The performance of some multistage centrifugal pumps degrades significantly if seals
between stages become eroded. Other pumps are designed for use with high-particulate-content fluids. Because of
the way they operate, centrifugal pumps are often used to move fluids with high particulate content, such as coal
slurries or wastewater influent without grit removal.
The difference between the vapor pressure of a fluid and the system pressure is another fundamental factor in pump
design and selection. Accelerating a fluid to high velocities a characteristic of centrifugal pumps creates a drop
in static pressure. This drop can lower the fluid pressure to the fluids vapor pressure or below. At this point, the fluid
boils, changing from a liquid to a vapor. Known as cavitation, this effect can severely impact a pumps performance.
As the fluid changes phase during cavitation, tiny bubbles form. Since vapor takes up considerably more volume than
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fluid, these bubbles decrease flow through the pump.
The damaging aspect of cavitation occurs when these vapor bubbles return to liquid phase in a violent collapse.
During this collapse, high-velocity water jets impinge onto surrounding surfaces. The force of this often exceeds the
strength of the surface, which leads to damage. Over time, cavitation can create severe erosion problems in pumps,
valves, and pipes. To prevent cavitation, centrifugal pumps must operate with a certain amount of pressure at the
inlet.
Other problems that cause similar damage are suction and discharge recirculation. Suction recirculation is the
formation of damaging flow patterns that result in cavitation-like damage in the suction region of an impeller. Similarly,
discharge recirculation is the formation of damaging flow patterns in the outer region of an impeller. These
recirculation effects usually result from operating a pump at a flow rate that is too low. To avoid this type of damage,
many pumps are listed with a minimum flow rating.
Slide 19: System Types
Like pumps, pumping system characteristics and needs range widely, but they can be classified in general as either
closed-loop or open-loop systems. A closed-loop system recirculates fluid around a path with common beginning and
end points. An open-loop system has an input and an output, as fluid is transferred from one point to another. Pumps
that serve closed-loop systems, such as a cooling water system, typically do not have to contend with static head
loads unless there are vented tanks at different elevations. In closed-loop systems, the frictional losses of system
piping and equipment are the predominant pump load.
In contrast, open-loop systems often require pumps to overcome static head requirements as a result of elevation
and tank pressurization needs. A mine dewatering system is one example; it uses pumps to move water from the
bottom of a mine up to the surface. In this case, static head is often the dominant pump load.
Slide 20: Pump Efficiency Curves
Positive displacement pumps have a fixed displacement volume. Consequently, every stroke or rotation will push the
same volume of fluid, and so the flow rates they generate are directly proportional to their speed. The pressures they
generate are determined by the systems resistance to this flow.
In contrast, centrifugal pumps have a variable flow/pressure relationship. A centrifugal pump uses an impeller, which
is basically a rotating wheel, to add energy to a fluid. The high-velocity fluid coming off the impeller tip is sent into a
diffuser. This is a chamber which feeds the discharge piping. The fluid slows down as it enters the diffuser and
some of its kinetic energy converts to higher pressure. A centrifugal pump acting against a high system pressure
generates less flow than it does when acting against a low system pressure.
A centrifugal pumps flow/pressure relationship is described by a performance curve that plots the flow rate as a
function of head (pressure). To see an example of this in SI units, click here. To see it in US customary units, click
here.
The curve shows the pressure generated by the pump, measured in head, on the y axis, across a range of flow rates
on the x-axis. What this shows is that when pressure, or resistance to fluid flow is high the flow is low. When the
pressure or resistance to fluid flow is low flow is high. If you need a pump that can operate with a head of 50 to
produce a flow of 1200, this pump will not be well suited.
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The curve shows the pressure generated by the pump, measured in head, on the y axis, across a range of flow rates
on the x-axis. What this shows is that when pressure, or resistance to fluid flow is high the flow is low. When the
pressure or resistance to fluid flow is low flow is high. If you need a pump that can operate with a head of 120 to
produce a flow of 150, this pump will not be well suited.
Understanding this relationship is essential to properly sizing a pump and designing a system that performs efficiently.
The graph also shows curves for efficiency and pump shaft power. The efficiency is the ratio of the pumps fluid
power to the pump shaft power.
An important characteristic is the best efficiency point (BEP). At the BEP, the pump operates most cost-effectively in
terms of both energy efficiency and maintenance. The BEP depends on the inlet configuration, impeller design,
casing design and pumping speed. At the BEP, hydraulic efficiency is at maximum, and fluid enters the impeller
vanes and leaves the pump in a shockless manner. Most centrifugal pumps are equipped with roller or ball bearings.
Radial bearing loads are at their lowest at the BEP. Operating the pump close to its BEP significantly extends the
interval between bearing replacements, and helps keep down maintenance costs.
Efficiencies range widely, from 35% to more than 90%.
In summary, operating a pump at a point well away from its BEP uses more energy and may accelerate wear in
bearings, mechanical seals, and other parts. In practice, it is difficult to keep a pump operating consistently at this
point because systems usually have changing demands. However, keeping a pump operating within a reasonable
range of its BEP lowers overall system operating costs.
The reasonable range near the BEP is called the preferred operating region (POR). The allowable operating region
(AOR) defines the precise limits for minimum and maximum flow in a pump.
Selecting the right pump requires the system designer to know the system flow demands and resistance curve. Every
system has a combined resistance to flow that is usually different from every other system, and is dependent upon
the individual components of the system. The total pipe length, pipe size, number of elbows, tees, fitting and valves
all contribute resistance to flow. The determination of the "pressure loss" or "resistance to flow," for the individual
components can be obtained from the component manufacturers. This data is combined into a curve of flow versus
resistance and is plotted as the system curve.
The point where the system curve and the pump curve intersect determines the actual pressure that will be
experienced by the pump and the flow that it will generate, shown by this black dot. As long as this point is close to
the BEP of the pump, the pump and the system will be well matched and work effectively together.
Slide 27: Coverage Chart
Manufacturers use a coverage chart to describe the performance characteristics of a family of pumps. This type of
chart is useful in selecting the appropriate pump size for a particular application. The pump designation numbers in
the chart refer to the pump inlet size, the pump outlet size, and the impeller size, respectively. There is significant
overlap among these various pump sizes, which is attributable to the availability of different impeller sizes within a
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particular pump size.
Once a pump has been selected as roughly meeting the needs of the system, the specific performance curve for that
pump must be evaluated. Often, impellers of several different sizes can be installed with it, and each impeller has a
separate, unique performance curve. This chart displays performance curves for each size of impeller. Also
illustrated are iso-efficiency lines, which indicate how efficient the various impellers are at different flow conditions.
Sizing the impeller and the pump motor is an iterative process that uses the curves shown to determine pump
efficiency and performance over its anticipated operating range. The system designer must also consider cavitation,
and pump speed. To prevent cavitation, centrifugal pumps must operate with a certain amount of pressure at the
inlet.
In addition to different stock impeller sizes, an impeller can be trimmed to further fine tune a pumps performance.
The complexity of pump selection has motivated most pump manufacturers to develop electronic selection catalogs.
Using specific system requirements, these catalogs help designers identify pumps capable of meeting the end users
service needs.
Slide 29: Summary
Pumping systems are comprised of:

o Pumps
o Prime movers (motors)
o Piping
o Valves, and
End use equipment such as heat exchangers and tanks
There are two types of pumps
o Positive displacement pumps
o Centrifugal pumps
Fluid energy requirements are expressed in feet or metres of head, which refers to a column of fluid with
equivalent potential energy.
Total head is composed of static pressure, height, velocity head and frictional head.
Slide 30: Summary

Choosing the right pump is a complex iterative process that depends on factors such as:
The fluid energy requirements including flow and pressure or head.
Properties of the fluid such as viscosity, density, particulate content and vapor pressure
Operating considerations such as efficiency, priming, and resistance to corrosion
Pumping systems may be closed loop or open loop.
The flow / pressure relationship of a centrifugal pump is expressed on a performance curve.
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Every pump has a best efficiency point, where it operates most cost-effectively in terms of both energy and
maintenance.
The intersection of the pump and system curves determines the actual flow generated by the pump.
Pumps may be fitted with different sizes of impeller to fine-tune the performance.

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Pumping Systems II
Slide 1
Welcome to Pumping Systems IIEfficient Flow Control. This is the second course in the Pumping Systems series.
If you have not already done so, please participate in Pumping Systems I, prior to taking this course.
This class includes content from the US Department of Energy publication Improving Pumping System Performance:
A Sourcebook for Industry
Slide 2
Slide 3
Define the different methods of flow control in pump systems and their impact on energy efficiency, and you
will be able to
Calculate the impact of speed reduction on flow, pressure and power
Slide 4
Pumping systems have a wide range of flow needs. In many applications, there is a large difference between the flow
required during normal system operation and that required during peak load conditions. For example, some cooling
system and rainwater collection applications require a relatively low flow rate. Occasionally, however, a heavy storm
or a large heat load caused by a sudden increase in production demand creates a need for greater pumping
capacity.
Because flow may have to be increased or decreased depending on demand, flow control is essential to system
performance. Sufficient flow ensures that equipment is properly cooled and that tanks are drained or filled quickly.
Sufficient pressure and flow must be guaranteed to satisfy system requirements. This creates a tendency to
oversize pumps and the motors that run them.
Slide 5
If pumps are sized to handle peak flow or worst-case conditions, they could operate at substantially less efficient
levels for long periods. Oversized pumps in applications like these tend to waste energy, and they require frequent
maintenance because they operate far from their best efficiency points.
Also, because systems are designed with flow control devices to regulate temperature and protect equipment from
overpressurization, oversizing system pumps can burden these flow control devices with high energy dissipation
loads.
Slide 6: Flow Control

There are four primary methods for controlling flow through a system or its branches. These include:
Throttle valves
Bypass valves
Pump speed control and
Multiple pump arrangements
The appropriate method depends on the system size and layout, fluid properties, the shape of the pump power curve,
the system load, and the system's sensitivity to flow rate changes. And, as we shall see, some are more efficient
than others.
Slide 7
A throttle valve chokes fluid flow so that less fluid can move through the valve, creating a pressure drop across it.
Throttle valves are usually more efficient than bypass valves, because as they are shut, they maintain upstream
pressure that can help push fluid through parallel branches of the system. But they are inefficient in general
because the pump is working to move fluid and the valve is then stopping that fluid from moving. The effect is
similar to driving a car with the accelerator pedal fully depressed and using the brake to achieve the desired speed.
Slide 8
Throttle valves also increase the head on the pump, which may push it away from the best efficiency point (BEP) and
make it less efficient.
This diagram illustrates the effect of throttling on the system curve, and the consequential loss of fluid energy.
Pump System Curves with Throttling, Example only not illustrative of a particular pump.
Slide 9
Bypass valves and lines allow fluid to flow around a system component. A major drawback is their detrimental impact
on system efficiency. The power used to pump the bypassed fluid is wasted.
In static-head-dominated systems, however, bypass valves could be more efficient than throttle valves or systems
with adjustable speed drives (ASDs). Why? Because the system is mostly working against friction resistance to
flow, and the bypass valve will reduce the friction. If the bypass was closed, there would be more head on the
pump and it may be pushed away from its best efficiency point.
Pump System Curves with Bypass, Example only not illustrative of a particular pump.
Slide 10
Pump speed control includes both mechanical and electrical methods. Adjustable speed drives (ASDs),
multiple-speed pumps, and multiple pump configurations are usually the most efficient flow control options, especially
in systems that are dominated by friction head, because the amount of fluid energy added by the pumps is
determined directly from the system demand. Speed control is especially appropriate for systems in which a friction
head predominates.
Both ASDs and multiple-speed motors provide efficient operation by driving pumps at different speedsaccording to
system needs. During a period of low system demand, the pump is operated at low speeds.
Slide 11
In a system with low static head, variable speed allows the pump to run near its best efficiency point for a given head
or flow. However, in applications with high static head, slowing a pump could induce vibrations and create
performance problems similar to those when a pump is operated with not enough inlet pressure. In these cases, it's
best to consult with the manufacturer.
The primary functional difference between ASDs and multiple-speed motors is the degree of speed control available.
ASDs typically modify the speed of a single-speed motor through mechanical or electrical methods, while
multiple-speed motors contain a different set of windings for each speed.
Slide 12
ASDs are practical for applications in which flow demands change continuously. Mechanical ASDs include hydraulic
clutches, fluid couplings, as well as adjustable belts and pulleys. Electrical ASDs include eddy current clutches,
wound-rotor motor controllers, and variable frequency drives (VFDs). VFDs adjust the electrical frequency of the
power supplied to a motor to change the motors rotational speed. VFDs are by far the most popular type of ASD.
See our class on Active Energy Efficiency with Speed Control for more details.
Slide 13
There are simple laws for the relationship between impeller speed and flow, pressure and power, called the affinity
laws. To learn more about affinity laws, click on each icon.
Flow Shaft Speed
Flow is proportional to shaft speed.

Half the shaft speed gives you half the flow. In other words: Flow is proportional to the rotational speed. This
means that with half the rotational speed, you get half the flow.
Flow Shaft Speed
Pressure Shaft Speed Squared
Pressure or head is proportional to the square of the shaft speed. Half the shaft speed gives you a quarter the
pressure. Pressure is proportional to the speed, squared. So with half the speed, you get a quarter of the pressure.
Pressure Shaft Speed Squared
Power Shaft Speed Cubed
Power is proportional to the cube of shaft speed.

Half the shaft speed uses one-eighth of the power. Hence half the flow uses one-eighth of the power.
Power Shaft Speed Cubed
Next Steps
Now that we've reviewed the affinity laws, let's look at some examples.
Slide 14
These relationships are easily expressed to evaluate the effect of changing speed.
Flow1 is the current flow, obtained at Speed1.
Flow2 is the new flow obtained at Speed2.
It follows that for pressure, the relationship looks like this:

And for power, it looks like this:
For a copy of these equations click on the attachment icon and download the document titled Pump Equations and
Example Calculations.
Slide 15
You may also see these formulas with flow represented by a Q, speed by N, pressure by P and power by H.
Slide 16
Lets look at an example using these calculations and see how reducing speed has a larger effect on pressure and
power than you might expect.
For this example the units of flow, power, pressure or speed dont matter.
Imagine a hypothetical pump running at a speed of 10. The pump is achieving a flow rate of 8, a pressure of 40, and
is consuming 240 units of power. What is the effect of halving the speed? Well, we know that flow is proportional to
speed, and heres the equation that expresses that.
When we apply this expression to the example values, we see that the flow is halved, and the result is 4. So, half the
speed, half the flow. Simple so far. Now lets look at pressure.
Heres the equation. When we put in our example numbers, we have to remember that the speed terms are squared.
This calculates to a quarter, and the result is 10.
So, half the speed gives just quarter the pressure.
Now lets do power.
Heres the equation.
When we put in our values, now the speed terms are cubed. A half times a half times a half is an eighth, and the
result is 30. So with half the speed, we use just one eighth of the power!
Slide 17
This chart illustrates the three relationships.
Line A shows the linear relationship between percentage speed on the x-axis, and percentage flow on the y-axis.
Line B shows the relationship for pressure. 50% of full speed yields 25% of the pressure.
Pressure versus Speed Curves for VFD, Example only not illustrative of a particular pump.
Slide 18
Line C shows the relationship for power.
50% of full speed uses 12.5% of the power consumed at full speed.
Power versus Speed Curves for VFD, Example only not illustrative of a particular pump.
Slide 19
So if you have a pump which is throttled back to 90% of the nominal flow, you could reduce the speed, fully open the
valve instead, and make a nominal saving of 27% of the power. Note that these theoretical savings are not always
achieved in practice, because the motor may be less efficient at part load and the speed drive itself requires power to
do its job. However the efficiency gains can often be considerable.
Pump versus Speed Curves for VFD, Example only not illustrative of a particular pump.
Slide 20
You can download the ECO2 Energy Calculator to build a customized report to illustrate energy consumption with or
without a drive, the reduction in carbon footprint and potential cost savings. (To download the calculator, just click on
the attachments icon.)
http://shoppingkiosk.schneider-electric.com/list_documents.aspx?navid=7589&nodeid=4248
Slide 21
For many systems, VFDs can help to improve efficiency despite changes in operating conditions, as shown on these
curves.
When a VFD slows a pump, its head/flow and power (bhp) curves drop down and to the left, and its efficiency curve
shifts to the left. This response provides an essential cost advantage; keeping the efficiency as high as possible
across variations in the flow demand can reduce the energy and maintenance costs of the pump significantly. VFDs
can also be used with positive displacement pumps.
Pump Curve changes due to VFD Speed Reduction, Example only not illustrative of a particular pump.
Slide 22
Although VFDs can provide operating cost reductions by increasing a pump's efficiency, the majority of savings
derive from reduced frictional or bypass flow losses.
By slowing down the pump and reducing the amount of fluid energy imparted to the system when it is not needed,
VFDs offer substantial savings with respect to the cost per unit of liquid pumped.
Another benefit is that VFDs provide a soft-start capability. During start-up, most motors experience in-rush currents
that are 5 to 6 times higher than normal operating currents. This high current fades when the motor achieves normal
speed.
VFDs start the motor with a lower start-up currentusually only about 1.5 times the normal operating current. This
reduces wear on the motor and its controller.
Since it is another component, the VFD itself requires maintenance.
However in many applications this can be offset against lower maintenance needs for the pump, piping and
components.
The pump will operate with reduced load and the pipes and piping supports will be under less stress.
Slide 23
Multiple-speed motors are practical for systems in which the flow demands change between distinct, discrete levels
that feature lengthy periods of operation. One drawback is the added cost. Since each speed has its own set of motor
windings, multiple-speed motors are more expensive than single-speed motors. Also, they are slightly less efficient.
Multiple-speed pumps are also space-savers; their compact operating package avoids the additional piping and
valves required for parallel pumps, which we will look at next.
Pump Curve changes due to VFD Speed Reduction, Example only not illustrative of a particular pump.
Slide 24
If there are wide variations in system demand this may preclude a single pump from consistently operating close to
its best efficiency point (BEP). As we have seen, operating a pump away from its BEP can result in higher operating
and maintenance costs.
In some systems, especially those with high static head requirements, energizing or de-energizing multiple pumps to
meet demand changes allows each pump to operate more efficiently, improving overall system efficiency.
However, this advantage depends on the pump curves, the system curve, and the demand change that is being met.
In systems with high-friction components, alternatives such as adjustable speed tend to be more efficient solutions to
variable demand.
Slide 25
Multiple pump arrangements typically consist of pumps placed in parallel in one of two basic configurations:
A large pump/small pump configuration, whereby the smaller pump is called a pony pump
Or a set of identical pumpscalled parallel pumps.
Lets begin with a discussion of pony pumps.
Slide 26
In the large pump/small pump case, the small pump, (often called the pony pump, as we just discussed) operates
during normal conditions. The large pump is used during periods of high demand. Because the pony pump is sized
for normal system operation, this configuration operates more efficiently than using the large pump to handle loads
far below its optimum capacity.
Slide 27
For example, in applications such as sewage treatment plants, the normal demands on pumps may be relatively low.
The pony pumps will handle these normal conditions and thus avoid high friction losses and maintenance problems
that accompany continuous operation or frequent starts of oversized pumps.
During storms, however, the amount of fluid that must be drained from holding ponds or tanks increases dramatically.
So pumps that maintain holding pond levels must be able to handle storm conditions.
These large pumps would be used occasionally only to handle severe load conditions, providing considerable cost
savings.
Slide 28
When is a pony pump required?
When you have intermittent pump operation, or excessive flow noise, cavitation, and piping vibrations that disappear
during heavy demand periods. If these conditions persist, then the primary pump may need to be downsized.
Intermittent pump operation is caused by unbalanced system flows. For example, a pumps high flow rate drains a
tank or reservoir to the point where a low-level switch turns off the pump. When the fluid level in the tank rises and
activates the high-level switch, the pump is turned back on to drain the tank.
Slide 29
Repeatedly stopping and restarting a pump wears out the motor controllers and dynamic surfaces in the pump/motor
assembly, and can lead to unreliable pump operation. This is especially severe for large pumps, because of their
high starting currents. Each repeated closing and opening of high-voltage contacts also creates a danger of sparking
that can damage the contact surfaces. Furthermore, discontinuous loading of the transformers and switchgear often
shortens their operating lives. So a smaller pump with lower capital cost is a good solution. Additionally, some
pump/motor assemblies are specially designed to handle repeated starting and stopping. For such applications, this
more expensive equipment should be specified.
Slide 30
Many pumps do not respond well to start-ups and shutdowns. The mechanical seals used often rely on a lubricating
film of system fluid. This film requires a revolution or two to develop and, over time, repeated start-ups accelerate
seal wear. Similarly, bearings that are subjected to cyclical loading tend to have shorter operating lives than those in
constant-use applications.
Now lets move on and discuss parallel pumps.
Slide 31
With a set of identical pumps placed in parallel, the number of operating pumps can be changed according to system
demands. Multiple pumps are usually combinations of the same pump model.
Placing an additional pump on line, adds flow to the system and shifts the operating point to the right along the
system curve. Multiple pumps in parallel are well suited for systems with high static head.
Parallel pumps are usually identical to provide balanced load-sharing when all the pumps are operating at the same
time. Because the pumps are the same size they can operate together, serving the same discharge header.
Pump Curve changes due to Multiple Pumps, Example only not illustrative of a particular pump.
Slide 32
If the pumps were different sizes, the larger pumps would tend to dominate the smaller pumpsforcing them to
operate below minimum flow ratings. If the proper pumps are selected, each pump can operate closer to its highest
efficiency point. An added flow control benefit is that the system curve remains the same whether one or several
pumps are operating; what changes is the operating point along this system curve.
If different-sized pumps must be configured in parallel, their performance curves should be carefully reviewed to
ensure that no pump operates below its minimum flow requirement.
Slide 33
There are many advantages to using combinations of smaller pumps rather than a single large one. These
advantages include operating flexibility, redundancy in case of a pump failure, lower maintenance requirements, and
higher efficiency.
Operating Flexibility is achieved because using several pumps in parallel broadens the range of flow that can be
delivered to the system. Operators should ensure that the minimum flow requirement is met for each pump.
Redundancy is increased because with multiple pumps, one can be repaired while others continue to serve the
system. Thus, the failure of one unit does not shut down the entire system.
Maintenance is reduced because each pump can be operated close to its BEP (for systems with flat curves), which
reduces bearing wear and permits the pumps to run more smoothly.
Pump Curve changes due to Multiple Pumps, Example only not illustrative of a particular pump.
Slide 34
Higher overall efficiency is gained because using a single, large pump for low demand conditions forces the excess
flow to be throttled or bypassed. Throttling the flow wears the throttle valves and creates energy losses. Bypassing
the flow is highly inefficient, since all the energy used to push the excess flow through the bypass lines is wasted.
In a multiple-pump configuration, overall efficiency will be higher, since energy-dissipating flow control options need
not be used, and each pump can operate close to its BEP (for systems with flat curves). A single pump would have
to operate over a larger range, and thus farther away from its BEP at times.
Slide 35
At a given head and flow, high-speed pumps tend to be more efficient than low-speed pumps. Pumps with specific
speed values greater than 3,000 RPM are the exception; they tend to be less efficient at higher speeds. However,
this is not typical of most pumps.
Since smaller pumps require smaller motors, the use of multiple high-speed pumps can provide an efficiency
advantage over a single, low-speed pump.
However, this efficiency advantage should be balanced against the tendency of high-speed machines to require more
maintenance.
Slide 36
Let's summarize what we learned in this class.
The main methods of flow control are:
Throttle valves
Bypass valves
Pump speed control, and
Multiple pump arrangements
Energy-dissipating flow control methods such as throttle valves and bypass valves are inherently inefficient. Pump
speed control and multiple pump arrangements can deliver significant efficiency improvements and other operating
benefits.
Multiple speed motors provide fixed speed settings
Adjustable speed drives provide a continuous range of settings.
VFDs are the most popular type of ASDs.
Multiple pump arrangements may be:

A large pump and a smaller pony pump or
A set of identical pumps in parallel
In the next class in this series, we will review some other methods of improving pumping system efficiency.
Slide 37
Pumping Systems III

Slide 1
Welcome to Pumping Systems IIIImproving System Efficiency. This is the third course in the Pumping Systems
series. If you have not already done so, please participate in Pumping Systems I and II, prior to taking this course.
This class includes content from the US Department of Energy publication Improving Pumping System Performance:
A Sourcebook for Industry
Slide 2
Slide 3
Calculate the effect of impeller trimming
Describe how energy efficiency is affected by piping configurations, and you will be able to
Explain how to detect oversized pumps
Slide 4
Pumping systems support essential processes in buildings, manufacturing and water treatment. A pump does not
function in isolation: it is a part of a system of supply and demand. The use of a systems approach will typically yield
a quieter, more efficient, and more reliable system. Fine-tuning a pumps performance helps to render it more
suitable for the system, while appropriate design of piping configurations helps to reduce energy losses. Well also
recap how you can detect oversized pumps in your pumping system.
Slide 5
Impeller trimming is the process of machining the diameter of an impeller to reduce the energy added to the system
fluid. It can be a useful correction to pumps that are oversized for their application. Trimming an impeller is fine tuning
and has less impact than buying a smaller impeller from the pump manufacturer. In many cases, an impeller at the
next smaller size than the original would be too small for the pump load. In some cases, smaller impellers might not
be available for the pump, so trimming is the only practical alternative short of replacing the entire pump.
Trimming an impeller can be considered when:
Many bypass valves are open, indicating that there is excess flow
Excessive throttling is needed to control flow
High levels of noise or vibration indicate excessive flow
A pump is operating far from its design point
Slide 6
Impeller trimming reduces tip speed, which in turn directly reduces the amount of energy imparted to the system fluid
and lowers both the flow and pressure generated by the pump.
Pump Curve changes due to Impeller Trimming, Example only not illustrative of a particular pump.
Slide 7
We can adapt the affinity laws to define the relationship between impeller size and pump output (assuming constant
pump speed), as shown in these equations:
Where D equals diameter of the impeller.

In each case, the subscript 1 refers to the original pump, and subscript 2 refers to the pump after impeller trimming.
In practice, these relationships are not strictly accurate because of nonlinearities in flow; however, the fundamental
effect on flow, head, and power holds. For example, a 2% reduction in the impeller diameter creates roughly a 2%
reduction in flow, a 4% reduction in head, and an 8% reduction in power. This relationship should be used as an
approximation for small changes. The final result of trimming depends on the system curve and pump performance
changes.
Slide 8
A principal benefit of reducing the size of the impeller is a decrease in operating and maintenance costs. Less fluid
energy is wasted in bypass lines and across throttle valves, or dissipated as noise and vibrations. Energy savings are
roughly proportional to the cube of the diameter reduction, although the motor power required to generate this fluid
power is higher because of motor and pump inefficiencies. In addition to energy savings, impeller trimming also
reduces wear on piping, valves, and piping supports. Flow-induced piping vibrations tend to fatigue pipe welds and
mechanical joints. Over time, welds crack and joints loosen, causing leaks and downtime for repairs.
Slide 9
Excessive fluid energy is also not desirable from a design perspective. Pipe supports are usually spaced and sized to
withstand static loads from the weight of the pipe and the fluid, pressure loads from the internal system pressure,
andin thermally dynamic applicationsexpansion caused by changes in temperature. The vibrations caused by
excessive fluid energy provide a load that the system is not designed to handle and lead to leaks, downtime, as well
as additional maintenance.
Slide 10
However, there are limitations. Trimming an impeller changes its operating efficiency, and the nonlinearities of the
affinity laws with respect to impeller machining complicate predictions of a pumps performance. Consequently,
impeller diameters are rarely reduced below 70% of their original size. In some pumps, impeller trimming increases
the pumps required net positive suction head (NPSHR). To prevent cavitation, a centrifugal pump must operate with
a certain amount of pressure at its inlet, the NPSHR. To reduce the risk of cavitation, the effect of impeller trimming
on NPSHR should be evaluated using the manufacturers data over the full range of operating conditions.
Slide 11
Weve seen that for reliability and possible expansion of systems, there is a tendency to source pumps that are one
size up from those that meet requirements. The cost of over sizing pumps extends beyond energy bills. Excess
fluid power must be dissipated by a valve, a pressure-regulating device, or the system piping itself, which increases
wear and maintenance costs. Valve seat wear, which results from throttling excess flow and from cavitation, creates
a significant maintenance problem and can shorten the interval between valve overhauls. Similarly, the noise and
vibration caused by excessive flow creates stress on pipe welds and piping supports; in severe cases, this can erode
pipe walls. Note that, when designers try to improve a pumping systems reliability by over sizing equipment, usually
the unanticipated result is less system reliability. This is caused by both the additional wear on the equipment and
low-efficiency operation.
Slide 12
We've looked at three key methods of reducing the inefficiencies from oversized pumps. These include:
Using an adjustable speed drive to control the pump if flow rates are variable
Using a pony pump to reduce intermittent operation of the existing pump, and
Trimming the impeller of the existing pump
Slide 13
However, there are two other options:
If a lot of trimming is required, you could just replace the impeller of the existing pump with a smaller
impeller
And of course you could just downsize the pump/motor assembly
However this is costly and may not be feasible in all situations
If you do explore downsizing, dont forget to explore the savings you might gain from specifying a higher-efficiency
motor.
Slide 14
But how would you know if you have oversized pumps?
There are five common indications that a pump is oversized. These include:
Excessive flow noise
Highly throttled flow control valves
Heavy use of bypass lines
Frequent replacements of bearings and seals, as well as
Intermittent pump operation
Let's explore each one in more depth, beginning with excessive flow noise.
Slide 15
Excessive noise is frequently disregarded as the operators simply get used to the systems acoustic levels. Unless
the noise worsens, the system is assumed to be performing normally. However, the cumulative damage that results
from flow-induced pipe vibrations can significantly accelerate system wear. Pipe vibrations tend to loosen flanged
connections and other mechanical joints. These vibrations also create fatigue loads on welds in both the pipes and
piping supports.
Slide 16
Highly throttled flow control valves indicate over sizing, since if the pump was not oversized, it would not need to be
throttled. Many control valves are oversized to ensure adequate flow. Unknowns such as pump performance, pipeline
fouling and scaling, as well as future production rates all tend to create a bias toward over sizing. Furthermore, many
control valves normally operate at less than 50% open. Appropriate valve characterization is often not applied. This
results in a high degree of nonlinearity and thus inconsistent control performance.
Slide 17
Highly throttled control valves can also impact process control loops. Control valve backlash and stiction, or static
friction, are major contributors to process variability. The tendency to oversize the control valve also exacerbates
these negative impacts. Proper sizing of the pump and control valve provides a more uniform response to flow
changes and reduces process variability.

Slide 18
Bypass lines prevent the buildup of damaging pressure differentials, and are used for temperature control in many
heat exchangers. Bypass lines may allow pump(s) to operate closer to the BEP and improve reliability, but the
energy needed to push fluid through bypass lines is wasted. When a system normally operates with a large number
of open bypass valves, this indicates that the system is performing inefficiently because of improper balancing,
oversized pumps, or both.
Slide 19
The penalties for excess system flow can extend beyond high energy costs to include frequent replacement of
bearings and seals. Since oversized pumps generate high backpressures, they often operate far to the left of their
BEP and tend to experience greater bearing and seal wear. The higher back-pressure caused by increased flow
velocity creates high radial-bearing and thrust-bearing loads, and it exerts greater pressure on mechanical seals as
well as packing glands.
Slide 20
Lastly, intermittent pump operation can occur if a pump is oversized. Pumps are often used to maintain fluid levels in
tanks, either by filling or draining them, as needed. Many systems rely on a level control system to activate the
pumps automatically. An oversized pump will drain the tank very fast and then shut off. This will happen repeatedly.
A right-sized pump will drain the tank more gradually and work more continuously. The cumulative effect of
energizing and de-energizing a pump shortens the lives of the motor controller and the pump assembly.In addition,
an oversized pump generates higher friction losses during operation, because it pushes fluid through the piping at
higher velocities.
Slide 21
Pumping system performance relies not only on the correct selection of pumps, but also on the configuration of the
entire system. There are several steps to optimize the configuration of a pumping system. These include finding the
proper pipe size, designing a piping layout that minimizes pressure drops, and selecting low-loss components. To
determine the proper pipe size, designers must balance the initial cost of the pipe against the cost of pushing fluid
through it. Larger pipes create less friction loss for a given flow rate; however, larger pipes also have higher material
and installation costs. Unfortunately, designers often overlook the energy costs of using small piping and focus on the
initial cost when sizing system piping.
Slide 22
Likewise, system piping should be configured with an awareness of the energy costs associated with poor flow
profiles. Although piping layouts are usually dictated by space constraints, there are often opportunities to minimize
unnecessary pressure drops by avoiding sharp bends, expansions, and contractions and by keeping piping as
straight as possible. For example, orienting valves and system equipment so that they are in line with the pipe run is
one useful rule of thumb.
Slide 23
Since centrifugal pumps operate most effectively when the inlet flow has a uniform profile, systems should be
designed to avoid non-uniform flow at the pump inlet. In centrifugal pumps, as fluid moves from the suction piping
into the eye of the impeller, it gets caught by an impeller vane and then accelerates to the tip. If the flow into the eye
is uneven, the impeller will transfer energy to the fluid less efficiently. In addition, uneven flow at the pump suction
promotes excessive vibrations, which shorten pump life and weaken pipe welds as well as the mechanical joints.
Slide 24
An improper flow profile, vapor collection, and vortex formation are three common pipe configuration problems that
result in poor performance. So lets investigate each of these problems in more detail, beginning with an improper
flow profile.
Slide 25
Piping configurations often promote uneven flow. Elbows and valves that are placed just before the pump disrupt fluid
flow and degrade pump performance. This problem is especially significant when the flow velocity is high and the
suction pressure is low. Under these conditions, a dramatic redirection in flowcommonly created by a small-radius
elbow or globe valveresults in a highly turbulent flow that diminishes pump performance.
Slide 26
Vapor entrapment can be caused by a poor piping layout. If the suction piping leading to the pump does not have a
constant slope, vapor can collect at the high points. Vapor pockets limit flow through the pipe and cause pressure
pulsations that degrade the pumps performance.
Slide 27
In tank applications, if a fluid surface drops close to the suction inlet, a vortex can form, potentially creating a loss of
suction head or allowing air into the pump. In severe cases, the pump will lose its prime, which can cause severe
degradations in performance and even damage to the pump. A centrifugal pump is not designed to run without fluid;
mechanical seals, packing, and impeller wearing rings are susceptible to damage if they are not lubricated. Most
centrifugal pumps are not self-priming; if a pump loses its prime, it must be filled and vented to be restarted. The
centrifugal pumps that are self-priming tend to be less efficient than conventional centrifugal pumps and should be
used only when necessary.
Slide 28
There are two primary rules of thumb for improving pipe configurations. First, to establish a uniform-velocity flow
profile upstream of the pump, the operator should make sure that a straight run of pipe leads into the pump inlet. If
space constraints require an elbow just upstream of the pump, a long radius elbow should be selected.
In some cases, a flow straightener, such as a baffle plate or a set of turning vanes, should be installed with an elbow
to correct any disruption in flow. By smoothing out the flow, a flow straightener creates a more even velocity profile.
Care must be taken, however, to ensure that the pressure drop across the straightener does not cause cavitation.
In addition, installers should make sure that transition pieces and joints between pipes or fittings are kept as smooth
as possible. Burrs or misaligned pipes create trip points that disrupt flow.
Slide 29
Let's summarize what we have learned in this class.
Impeller trimming is a method of fine tuning pump performance. The diameter of the impeller is machined to reduce
the energy added to the system fluid. Energy savings are roughly proportional to the cube of the diameter reduction.
Oversized pumps may be detected by:

Excessive flow noise
Highly throttled flow control valves
Heavy use of bypass lines
Frequent replacements of bearings and seals, as well as
Intermittent pump operation
Corrective measures for oversized pumps include:
Using an adjustable speed drive to control the pump if flow rates are variable
Using a pony pump to reduce intermittent operation of the existing pump
Trimming the impeller
Replacing the impeller with a smaller one
Downsizing the pump/motor assembly
Piping should be designed to avoid interfering with flow. Flow straighteners may be used to improve flow.
Slide 30
Steam Systems I: Advantages and Basics of Steam

Slide 1
Welcome to Steam Systems Part I: Advantages and Basics of Steam.
Slide 2
Slide 3
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browser controls may disrupt the normal play of the course. Click the paperclip icon, to
download supplemental information for this course. Click the Notes tab to read a
Slide 4
List the advantages of steam
Describe the formation of steam
Understand the relationship between pressure, temperature, and energy
Slide 5
Steam has come a long way from its traditional associations with locomotives and the
Industrial Revolution. Today, it serves as an integral and essential part of modern
technology. Without it, our food, textile, chemical, medical, power, heating and
transport industries could not exist or perform as they do.
Steam provides a means of transporting controllable amounts of energy from a central,
automated boiler house, where it can be efficiently and economically generated, to the
point of use. Therefore, as steam moves around a plant, it can be considered to be both
the transport and provision of energy.
For many reasons, steam is one of the most widely used commodities for conveying
heat energy. Its use is popular throughout industry for a broad range of tasks from
mechanical power production to space heating and process applications.
Slide 6
Steam is efficient and economic to generate. Water is plentiful and inexpensive. It is
non-hazardous to health and environmentally sound. In its gaseous form, it is a safe and
efficient energy carrier. Additionally, steam can hold five or six times as much potential
energy as an equivalent mass of water.
Slide 7
Modern shell boilers are compact and efficient in their design, using multiple passes and
efficient burner technology to transfer a very high proportion of the energy contained
in the fuel to the water, with minimum emissions.
The boiler fuel may be chosen from a variety of options, including combustible waste.
This makes the steam boiler an environmentally sound option amongst the choices
available for providing heat. Centralised boiler plants can take advantage of low
interruptible gas tariffs because any suitable standby fuel can be stored for use when
the gas supply is interrupted.
Slide 8
Highly effective heat recovery systems can virtually eliminate the costs associated with
blowdown, return valuable condensate to the boiler house, and add to the overall
efficiency of the steam and condensate loop.
The increasing popularity of Combined Heat and Power systems, known as CHP,
demonstrates the high regard for steam systems in today's environment and energyconscious industries.
Slide 9
Steam can easily and cost effectively be distributed to the point of use. It is one of the
most widely used methods of conveying heat over distances. Because steam flows in
response to the pressure drop along the line, expensive circulating pumps are not
needed.
Overall, the lower capital and running costs of steam systems mean that many users
choose to install new steam over other energy media, such as gas fired, hot water,
electric and thermal oil systems.
Slide 10
Another advantage is that steam is easy to control. There is a direct relationship
between the pressure and temperature of saturated steam. Therefore, the amount of
energy input to the process is easy to control by controlling the saturated steam
pressure. Modern steam controls are designed to respond very rapidly to process
changes.
Energy is easily transferred to the process because steam provides excellent heat
transfer. When the steam reaches the plant, the condensation process efficiently
transfers the heat to the product being heated.
Slide 11
Steam can surround or be injected into the product being heated. It can fill any space at
a uniform temperature and will supply heat by condensing at a constant temperature.
This eliminates temperature gradients which may be found along any heat transfer
surface. This is a problem which is frequently a feature of high temperature oils or hot
water heating, and may result in quality problems, such as distortion of the materials
being dried.
Slide 12
Because the heat transfer properties of steam are so high, the required heat transfer
area is relatively small. This enables the use of a more compact plant, which is easier to
install and takes up less space in the premises.
Slide 13
A modern packaged unit for steam heated hot water, rated to 1200 kW (4.1 million
BTU/hour) and incorporating a steam plate heat exchanger and all the controls,
requires only 1 m (10 sq. ft)of floor space. In comparison, a packaged unit
incorporating a shell and tube heat exchanger would typically cover an area of two to
three times that size.
Slide 14
The modern steam plant is easy to manage. Industrial energy users are increasingly
looking to maximise energy efficiency and minimise production costs and overheads. In
today's competitive markets, the organisation with the lowest costs can often achieve
an important advantage over rivals. Production costs can mean the difference between
survival and failure in the marketplace.
Ways of increasing energy efficiency include monitoring and charging energy
consumption to relevant departments. This builds an awareness of costs and focuses
management on meeting targets. Variable overhead costs can also be minimised by
ensuring planned, systematic maintenance; this will maximise process efficiency,
improve quality, and cut downtime.
Slide 15
Most steam controls are able to interface with modern networked instrumentation and
control systems to allow centralised control, such as in the case of a Supervisory Control
and Data Acquisition, known as SCADA, system or a Building/Energy Management
System. If the user wishes, the components of the steam system can also operate
independently (standalone).
Steam is flexible, sterile and intrinsically safe. Not only is it an excellent carrier of heat, it
is also sterile, and thus popular for process use in the food, pharmaceutical and health
industries. Additionally, it is widely used in hospitals for sterilisation purposes.
Slide 16
The industries in which steam is used range from huge oil and petrochemical plants to
small local laundries. Further uses include the production of paper, textiles, brewing,
food production, curing rubber, and heating and humidification of buildings.
Many users find it convenient to use steam as the same working fluid for both space
heating and for process applications. For example, in the brewing industry, steam is
used in a variety of ways during different stages of the process, from direct injection to
coil heating.
Steam is also intrinsically safe. It cannot cause sparks and presents no fire risk. Many
petrochemical plants utilise steam fire-extinguishing systems. It is therefore ideal for
use in hazardous areas or explosive atmospheres.
The alternatives to steam include water and thermal fluids such as high temperature oil.
Each method has its advantages and disadvantages, and will be best suited to certain
applications or temperature bands.
Slide 17
Compared to steam, water has a lower potential to carry heat, consequently large
amounts of water must be pumped around the system to satisfy process or space
heating requirements. However, water is popular for general space heating applications
and for low temperature processes (up to 120C)/248F) where some temperature
variations can be tolerated.
Thermal fluids, such as mineral oils, may be used where high temperatures (up to
400C/752F) are required, but where steam cannot be used. An example would
include the heating of certain chemicals in batch processes. However, thermal fluids are
expensive, and need replacing every few years. They are not suited to large systems.
They are also very 'searching and high quality connections and joints are essential to
avoid leakage.
Slide 18
Generally speaking, for commercial heating and ventilation, and industrial systems,
steam remains the most practical and economic choice.
As a brief review, the advantages of steam are that it is
Efficient and economic to generate
Easy to distribute and control
Highly effective in the transfer of energy to process and
Sterile and intrinsically safe
Slide 19
Like many other substances, water can exist in the form of either a solid, liquid, or gas.
We will focus largely on liquid and gas phases and the changes that occur during the
transition between these two phases. Steam is the vaporized state of water, which
contains heat energy intended for transfer into a variety of processes from air heating
to vaporizing liquids in the refining process.
Lets move on to define some of the basic terminology that will be used in this course.
Slide 20
In SI units, the basic unit of measurement for heat energy is a joule. This refers to the
work done when the application point of a one Newton force moves one metre in the
direction of the application. It is roughly equivalent to the energy required to lift a small
apple one metre straight up.
In US customary units, heat energy is measured using the British Thermal Unit or BTU.
Specifically, it is the amount of heat energy necessary to raise the temperature of one
pound of water up by one degree Fahrenheit.
Slide 21
Temperature is the degree of hot or cold measured on a definite scale. For all practical
purposes a measurement from a known starting point to a known ending point.
Saturation is the point where a substance can hold no more energy without changing
phase or physical state.
Enthalpy is the term given for the total energy, measured in joules or BTUs, due to both
pressure and temperature of a fluid or vapor, at any given time or condition.
Slide 22
Absolute Pressure is the pressure measured from the datum of a perfect vacuum. This
is measured in bars or kilopascals (kPa) in SI units and pounds per square inch (PSIA) in
US customary units. An a is added to indicate that it is absolute pressure. In other
words, a perfect vacuum has a pressure of 0 bar a and 0 PSIA.
Gauge Pressure is the pressure measured from the datum of the atmospheric pressure.
Although in reality the atmospheric pressure will depend upon the climate and the
height above sea level, a generally accepted value of 1.01325 bar a (1 atmosphere) is
often used. This is the average pressure exerted by the air of the earth's atmosphere at
sea level.
So effectively, gauge pressure is shown on a standard gauge and indicating the

pressure above atmospheric pressure. It is measured in bars or kilopascals in SI units
and pounds per square inch in US units.
A g is added to indicate that it is gauge pressure.
Gauge pressure = Absolute pressure - Atmospheric pressure

Differential pressure is simply the difference between two pressures. When specifying a
differential pressure, it is not necessary to use the suffixes 'g' or 'a' to denote either
gauge pressure or absolute pressure respectively, as the pressure datum point
becomes irrelevant.
Slide 23
Sensible Heat (hf) is the heat energy that raises the water temperature from a freezing
point. The maximum amount of sensible heat the water can absorb is determined by
the pressure of the liquid.
Latent Heat (hfg) is the enthalpy of evaporation. The heat input produces a change of
water from liquid to gas.
Total Heat is the sum of sensible heat combined with latent heat (ht=hf+hfg).
If you would like to download a copy of these definitions please click the paperclip icon
and select the document titled Steam Systems Part 1 Definitions.
Now that we have an understanding of the definitions we need for this course, lets take
a look at how steam is created.
Slide 24
Steam is created from boiling water. As heat energy (BTUs or joules) is added to water,
the temperature rises accordingly. When water reaches its saturation point, it begins to
change from a liquid to a gas. Lets investigate how this happens by placing a
thermometer in one kilogram or one pound of water at a temperature of 0C or 32F,
the coldest temperature water can exist at atmospheric pressure before changing from
liquid to a solid.
Lets put this water into a pan on top of our stove and turn on the burner. Heat energy
from the burner will be transferred through the pan into the water, causing the waters
temperature to rise.
Slide 25
We can actually monitor the heat energy transfer by watching the thermometer level
rise. 4.19 kJ of energy are required to heat one kilogram (just over two lbs) of water by
one degree Celsius. As we discussed previously, one BTU of heat energy will raise one
pound of water by one degree Fahrenheit. Each degree of temperature rise registered
on the thermometer, can be read as the addition of or 4.19kJ per degree Celsius or 1
BTU per degree Fahrenheit.
Eventually, the water temperature will rise to its boiling point at atmospheric pressure,
100C or 212F at sea level. This is also known as the saturation temperature, because
the water is saturated with heat energy. Any additional heat energy that we add at this
point will cause the water to begin changing state (phase) from a liquid to a gas
(steam).
Slide 26
At atmospheric pressure (0 bar g / PSIA) and at sea level we have added 419 kJ to one
kilogram of water or 180 BTUs to our pound of water, changing the water temperature
from 0C or 32F to 100C or 212F (212-32=180). This enthalpy is known as Sensible
Heat, measured in joules per kilogram or BTU per pound. If we continue to add heat
energy to the water via the burner, we will notice that the thermometer will not change,
but the water will begin to evaporate into steam.
Slide 27
The heat energy that causes the waters change of phase from liquid to gas is known as
Latent Heat. This latent heat content is the sole reason steam is generated. Latent heat,
also measured in joules per kilogram or BTU per pound, has a very high heat content
that transfers to colder products or processes very rapidly without losing any
temperature. As steam gives up its latent heat, it condenses and the water becomes the
same temperature as the steam. The water only cools when it loses sensible heat. The
sum of the two heat contents, sensible and latent, are known as the Total Heat.
Slide 28
A very interesting thing happens when we go through this exercise. We see the change
in volume that the gas (steam) occupies versus the volume that the water occupied.
One kilogram (just over two pounds for comparison) of water at atmospheric pressure
occupies only 0.001 m3, but when we convert this water into steam at the same
pressure, the steam occupies 1.7 m3 for the same kg.
One pound of water at atmospheric pressure occupies only 0.016 cubic feet but when
we convert this water into steam at the same pressure, the steam occupies 26.8 cubic
feet for the same one pound.
The steam that we have just created on our stove at home will provide humidification to
the surrounding air space along with some temperature rise. Steam is also meant to be
a flexible energy carrier to other types of processes. In order to make steam flow from
its generation point to another point at which it will be utilized, there must be a
difference in pressure.
Slide 29
Therefore, our pan type steam generator will not create any significant force to move
the steam. A boiler, for all practical purposes, is a pan with a lid. There are many types
of boilers that are subjects of other courses. We will simply refer to them as boilers in
this course. Lets discuss how a boiler makes steam.
If we contain the steam within a boiler, pressure will begin to rise with the change of
volume from liquid to gas. At atmospheric pressure the saturation temperature is
100C or 212F. However, if the pressure is increased, this will allow the addition of
more heat and an increase in temperature without a change of phase. In other words, as
this pressure rises, the boiling point of the water inside also rises. If the pressure of
saturated steam is known, the temperature is also known. Therefore, increasing the
pressure effectively increases both the enthalpy of water, and the saturation
temperature, allowing us to use steam at temperatures well over 100C or 212F. The
relationship between the saturation temperature and the pressure is known as the
steam saturation curve.
Slide 30
Here we can see the curve measured in SI units: bars g of pressure and degrees Celsius
Heres the same curve in US customary units, with pressure measured in pounds per
square inch, and temperature in degrees Fahrenheit.
Slide 31
Water and steam can coexist at any pressure on this curve, both being at the saturation
temperature. Steam, at a condition above the saturation curve, is known as superheated
steam. The temperature above the saturation temperature is called the degree of
superheat of the steam. The water at a condition below the curve is called subsaturated water.
Saturated steam tables provide data relating pressure to temperature, heat energy and
volume of the steam. These tables are available for download from the paperclip icon.
To download a copy of these tables, please click the paperclip icon and select the
document titled Saturated Steam Tables.
Slide 32
Another thing that happens when steam is created in a boiler is that the gas (steam) is
compressed into a smaller volume (m3 per kg or ft3 per pound). This is because the
non-compressible liquid (water) is now a compressible gas. The higher the pressure, the
higher the temperature. The lower the latent heat content of the steam, the smaller the
volume the steam occupies. This allows the plant to generate steam at high pressures
and distribute that steam in smaller piping to the point of usage in the plant. This higher
pressure in the boiler provides for more driving force to make the steam flow.
The need for optimum efficiency increases with every rise in fuel costs. Steam and
condensate systems must be carefully designed and maintained to ensure that
unnecessary energy waste is kept at a minimum. For this reason, this series of classes
will deal with the practical aspects of energy conservation in steam systems, as we go
through the system. In the next class, we'll look briefly at boilers and their efficiency
before moving on to steam distribution.
Slide 33
Steam is the vaporized state of water which contains heat energy intended for transfer
into a variety of processes from air heating to vaporizing liquids in the refining process.
Generally speaking, for commercial heating and ventilation, and industrial systems,
steam remains the most practical and economic choice.
the advantages of steam are that it is
Efficient and economic to generate
Easy to distribute and control
Highly effective in the transfer of energy to process and
Sterile and intrinsically safe
Heat is measured in joules using SI units or BTUs using US units
Steam is created by boiling water- as heat energy is added to the water, the
temperature rises accordingly
4.19 kJ of energy are required to heat one kilogram of water by one

degree Celsius
One BTU of heat energy will raise one pound of water by one degree
Fahrenheit
A boiler acts like a pan with a lid by containing the steam within the boiler,
causing the pressure to rise as the liquid changes to a gas
Gas is also compressed into a smaller volume when steam is created
Slide 34
Slide 35
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your personal homepage.
The Knowledge Checkpoint link is located under BROWSE CATALOG on the left side of
the page.
Slide 36
How do you begin? Its easy! Click on the Home icon, located in the right corner of
your screen. Click on the Course Surveys" link on the left side of the screen under
Browse Catalog. Select the course title you have just completed and take our brief
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Steam Systems II: Impact of Boiler Sizing,

Pressure and Velocity
Slide 1
Welcome to Steam Systems Part II: Impact of Boiler Sizing, Pressure, and Velocity.
Slide 2
Slide 3
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browser controls may disrupt the normal play of the course. Click the paperclip icon, to
download supplemental information for this course. Click the Notes tab to read a
Slide 4
Describe a useful measure of boiler efficiency and the impact of boiler size on
efficiency
Discuss the effect of working pressure on efficiency
Express the benefits of the correct choice of steam velocity
Describe the impact of air and non-condensable gases in the steam system
Slide 5
Steam has come a long way from its traditional associations with locomotives and the
Industrial Revolution. Today, it serves as an integral and essential part of modern
technology. Without it, our food, textile, chemical, medical, power, heating and
transport industries could not exist or perform as they do.
Steam provides a means of transporting controllable amounts of energy from a central,

automated boiler house, where it can be efficiently and economically generated, to the
point of use. Therefore, as steam moves around a plant, it can be considered to be both
the transport and provision of energy.
For many reasons, steam is one of the most widely used commodities for conveying
heat energy. Its use is popular throughout industry for a broad range of tasks from
mechanical power production to space heating and process applications.
Slide 6
Boilers and all associated firing equipment should be designed and sized for maximum
efficiency. Boiler manufacturers have improved their equipment designs to provide this
maximum efficiency, when the equipment is new, sized correctly for the load conditions,
and the firing equipment is properly tuned.
Slide 7
There are many different efficiencies that are claimed when discussing boilers but the
only true measure of a boilers efficiency is the fuel-to-steam efficiency. Fuel-to-steam
efficiency is calculated using one of two methods.
The first method is input-output. This is the ratio of kJ or BTU output divided by kJ or
BTU being input, multiplied by 100.
The second method is heat balance. This method considers stack temperature and
losses, excess air levels, and radiation and convection losses. Therefore, the heat
balance calculation for fuel-to-steam efficiency is 100 minus the total percent stack
loss and the percent radiation and convection losses.
Slide 8
The sizing of a boiler for a particular application is not a simple task. Steam usages vary
based upon the percentage of boiler load that is used for heating versus process and
then combining those loads. These potentially wide load variations are generally
overcome by installing not just one large boiler but possibly two smaller units or a large
and a small boiler to accommodate the load variations.
Slide 9
Boiler turndown is a ratio of the capacity at full fire as compared to its lowest firing
point before shut-down. Old boilers may have only two firing positions, low and high.
Newer boilers fire over a wider range of capacities. Depending on the controls, there
may be fixed setting points or fully variable settings. If a 1,200 kW or 4.1 million BTU/hr
boiler can fire as low as 120 kW or 410,000 BTUs/hr, then it has a 10:1 turndown ratio.
Turndown ratios are important for boilers that must operate over a wide range of
capacities/demands. In general, from an efficiency standpoint it is best to have the
boiler sized to match the load. Boilers that have a wide turn-down ratio are therefore
typically more efficient at meeting variable loads. Boiler manufacturers will usually
recommend that the turndown ratio from maximum load to low load not exceed 4:1.
Turndown ratios exceeding 4:1 will increase the firing cycles and decrease efficiency.
Slide 10
Boilers must run a purge cycle at the start of each on-cycle to assure that there is no
accumulation of explosive gases in the fire box. Depending on the local code, air must
be blown through the boiler to perform a multiple air exchange of the fire box. This cold
air also removes heat from the boiler. Flames tend to be the most unstable and
radiation heat transfer is at its lowest at start-up. Therefore, boilers are the least
efficient at the start of the on-cycle.
Reducing the number of on-cycles should therefore increase boiler efficiency over a
longer period of operating time. Boiler cycling also affects emissions. A boiler operating
at low load conditions can cycle as frequently as 12 times per hour, or 288 times a day.
With each cycle, pre- and post-purge air flow removes heat from the boiler and sends it
out the stack. This energy loss can be eliminated by keeping the boiler on at low firing
rates.
Note that every time the boiler cycles off, the start-up requires about one to two
minutes to place the boiler back on line. And, if theres a sudden load demand, the startup sequence cannot be accelerated. Keeping the boiler on line assures the quickest
response to load changes. Frequent cycling also accelerates wear of boiler components.
Maintenance is increased and, more importantly, the chance of component failure
increases.
Slide 11
Once the boiler or boilers have been sized for their steam output, with either joules or
BTUs or kg/hr or lb/hr, then the operating pressures have to be determined. Boiler
operating pressures are generally determined by the system needs as to
product/process temperatures needed and/or the pressure losses in transmission of the
steam in distribution throughout the facility.
The steam distribution system is an important link between the steam source and the
steam user. It must supply good quality steam at the required rate and at the right
pressure. It must do this with a minimum of heat loss, and be economical in capital cost.
Slide 12
The pressure at which the steam is to be distributed is determined by the point of
usage in the plant needing the highest pressure. We must remember however, that as
the steam passes through the distribution pipe work, it will lose some of its pressure
due to resistance to flow. Additionally, some of it will condense due to loss of heat from
the piping. Therefore, allowance should be made for this pressure loss when deciding
upon the initial distribution pressure.
So when operating pressure is determined, the following is taken into account:
Pressure level required at the point of usage

The degree of pressure drop along the pipe due to resistance of flow (friction) and
Pipe heat losses
Slide 13
It is a recommended practice to select a boiler operating pressure greater than that
actually required. However, selecting a boiler with a much greater operating pressure
than is required, and then operating it at a lower pressure will cause a loss in efficiency
for the boiler.
The better strategy is for steam to be generated at a pressure as close as possible to
the boilers design, even if this is higher than needed for the plant.
Pressure reduction to the levels needed by the steam using equipment can then take
place through pressure reduction stations close to the steam users themselves. The
individual reducing valves will be smaller in size, will tend to give tighter control of
reduced pressures, and will emit less noise. Problems of having a whole plant dependent
on a single reducing station are avoided, and the effects on the steam users of pressure
drops through the pipe work (which change with varying loads) will disappear.
Slide 14
So, why does a boiler operated at lower pressures lose efficiency? The efficiency loss
comes from increased radiation and convection losses. Another area of efficiency loss
comes from the lower quality (dryness) of the steam produced due to increased water
level in the boiler and the increased steam bubble size because of the lower operating
pressures internally. The reasoning behind this is clear when consideration is given to
what happens in the water and steam space in the boiler. Energy flows into the boiler
water through the outer surface of the tubes and if the water is already at saturation
temperature, bubbles of steam are produced. These bubbles then rise to the surface
and break, releasing steam into the steam space.
Foaming occurs when steam bubbles arrive at the surface faster than they can burst,
and accumulate as foam.
Slide 15
The volume of a given weight of steam contained in the bubbles depends directly on
the pressure at which the boiler is operating. If this pressure is lower than the design
pressure, the volume in the bubbles is greater. It follows that as this volume increases,
the apparent water level is raised. The volume of the steam space above the water level
is thereby reduced. There is increased turbulence as the greater volume of bubbles
break the surface and less room for separation of water droplets is available above the
surface. Further, the steam moving towards the crown or steam take-off valve must
move at greater velocity with a higher volume moving across a smaller space. All of
these factors tend to encourage carryover of water droplets with the steam.
Priming occurs when the volume of the steam space is decreased and the speed of
steam across the surface increases, drawing foam and water droplets to the steam
outlet. A sudden increase in steam demand can then cause a slug of boiler water to
enter the steam outlet. This is priming.
Slide 16
There are a number of reasons that favor carrying the steam close to the points of use
at a high pressure, near to that of the boiler. The use of such pressure means that the
size of the distribution mains is reduced. The smaller mains have smaller heat losses and
better quality steam at the steam users is the likely result.
It is always recommended to operate the boiler at or as close to the maximum

operating pressure that the vessel was designed for. The boilers operating pressure has
a definite impact on the potential of priming or foaming and carryover which can cause
serious problems not only for the system but for the boiler also.
Slide 17
Many of the boiler manufacturers today design their equipment to provide 99.5% dry
saturated steam to be generated and admitted into the distribution system. This means
that less than 1/2 of 1% of the volume exiting the boiler will be water, not steam. In
practice, steam often carries tiny droplets of water with it which cannot be described as
dry saturated steam. Steam quality is described by its dryness fraction, the portion of
completely dry steam present in the steam being considered. The steam becomes wet
if water droplets in suspension are present in the steam space, carrying no latent heat
content.
For example, the latent heat energy of 7 bars g or about 100 PSIG steam is 2048 kJ/kg
or 882 BTUs per pound (assuming 99.5% dryness) but, if this steam is only 95% dry,
then the heat content of this steam is only 0.95 X 2048 = 1946 kJ/kg or 0.95 X 882 =
838 BTUs per pound. The small droplets of water in wet steam have weight but occupy
negligible space. The volume of wet steam is less than that of dry saturated steam.
Therefore, steam separators are used at boiler off takes to ensure dry quality steam.
Slide 18
The velocity of the steam flow out of the boiler, at designed operating pressure, is
established by the outlet nozzle of the boiler itself. Target velocities of 30 meters per
second or 6,000 feet per minute (fpm) or less have become commonplace as design
criteria. These lower velocities provide for less noise, reduced pressure losses, more
efficient condensate drainage, reduced waterhammer potential, and less piping erosion.
Slide 19
Steam is generated and distributed throughout the system and, because of
temperature differences in the surroundings and the insulation losses, the steam gives
up its heat and condenses. Although it may not travel as fast as the steam, the
condensate (water) is still going to erode the bottom of the pipe. This erosion is
accelerated with the velocity of the steam, therefore the lower the steam velocity, the
less erosion will take place.
Slide 20
Waterhammer occurs when a slug of water, pushed by steam pressure along a pipe
rather than draining away at the low points, is suddenly stopped by impact on a valve or
fitting such as a pipe bend or tee. The velocities that such slugs of water can achieve
are not often appreciated. They can be much higher than the normal steam velocity in
the pipe, especially when the waterhammer is occurring at startup.
When these velocities are destroyed, the kinetic energy in the water is converted into
pressure energy and a pressure shock is applied to the obstruction. In mild cases, there
is noise and perhaps movement of the pipe. More severe cases lead to fracture of the
pipe or fittings with almost explosive effect, and consequent escape of the steam at the
fracture.
Slide 21
Waterhammer is avoided completely if steps are taken to ensure that water is drained
away before it accumulates in a sufficient quantity to be picked up by the steam.
Careful consideration of steam main drainage can help in avoiding damage to the
steam main and possible injury or even loss of life. Steam main drainage offers a better
alternative than acceptance of waterhammer and containment attempts by choice of
materials, or pressure rating of equipment.
We will discuss removal of condensate in another class in this series.
Slide 22
As a review, it is important that the steam velocity, the piping and the nozzle sizing, be
considered when selecting the boiler operating pressure required.
The appropriately sized pipe must be chosen to carry the required amount of steam at
the local pressure. An undersized pipe means high pressure drops and velocities, noise,
and erosion. An oversized pipe is unnecessarily expensive to install and heat losses from
it will be greater than they need to be.
Slide 23
Steam pipes may be sized so that the pressure drop along them is below an acceptable
limit, or so that velocities along them are not too high. In saturated steam lines,
reasonable maximum velocities are often taken between 24 and 36 meters per second
or 4,800 and 7,200 ft per minute. These velocities should only be exceeded where the
pipes are carrying dry gas.
Here is an exercise for you to try using the chart. Steam flow is 450 kg/h. Find pipe
size for a system operating at 7 bars g. Or if you prefer to work in US units, steam flow
is 1,000 lb/h. Find pipe size for a system operating at 100 psig. The answer is given in
the document titled Steam Velocity Chart Example, which you can download from the
paperclip icon.
Slide 24
The steam system piping and associated equipment, containing this high heat energy
source (steam), will constantly be a source of radiation losses. A simple but often
overlooked energy savings is to insulate all the piping, steam and condensate, and all
heat exchange equipment that can be insulated.
A single meter of 80 mm pipe with 7 bars g steam in it exposed to an ambient
temperature of 15C will radiate about 2700 KJ per hour of operation. The latent heat
energy content of 7 bars g steam is 2048 KJ/kg.
In US units, a single foot of 3 pipe with 100 psig steam in it exposed to an ambient
temperature of 60 F will radiate 778 BTUs per hour of operation. The latent heat
energy content of 100 PSI steam is 882 BTU/lb."
Nearly 1.5 kg of steam per hour per metre of pipe is condensed just in distributing this
valuable energy supply to the point of usage. This is equivalent to nearly a pound of
steam per hour per foot of pipe. Flanges, valves, strainers and equipment will waste
much more energy than a single foot of pipe. The net effect is the consumption of
more fuel to produce this lost energy.
For more information about this, please click the paperclip icon and download the
document titled Heat Loss Chart.
Slide 25
Lets look at air and non-condensable gases in the steam system.
We know that when steam comes into contact with a cooler surface, it gives up its
latent heat and condenses. As condensation takes place, the condensate begins to form
a film of water. It is a fact that water has a surprisingly high resistance to heat transfer.
A film of water only 0.25mm or 1/100 of an inch thick offers the same resistance to
heat transfer as a 12.5 mm or 1/2 inch thick layer of iron or a 127 mm or 5 inch thick
layer of copper. The air and other non-condensable gases in the steam cause a variety
of problems to steam systems. Foremost is the reduction of area to deliver the steam.
Air is a simple bi-product of steam generation. It is in all steam systems and should be
dealt with accordingly. The problem occurs when the air collects in the system.
Slide 26
Air and other non-condensable gases are released when steam is generated and passed
down the distribution with the steam. It will collect in areas of high steam consumption
such as heat exchangers, but will also collect at high points and at the end of the steam
piping. If a steam line feeds a series of heat exchangers, such as cooking kettles the air
collects at the end of the main line. The last kettle, therefore, would be fed with a
mixture of steam and non-condensable gases.
Slide 27
Air cannot hold the temperature or latent heat of steam. It will, therefore, initially cause
a reduction in temperature. Keep in mind that air is an insulator. It is generally
accepted that a thin layer of air only 1.0 mm or 1/25th of an inch thick can offer the
same resistance to the flow of heat as a layer of water 25 mm or 1 inch thick. Even a
small amount of air in a steam system will cause fairly drastic temperature losses. Lets
look at an example of this. 7 bars g or 100 PSIG of saturated steam has a temperature
of 170C/338F. If, in this steam, there existed a 10% by volume mixture of air, the
equivalent temperature of this mixture would be 166C/331F, or the steam
temperature of 6 bars g or 90 PSIG not 7 bars g or 100 PSIG.
Another major problem with air in the steam system is that it will be absorbed into the
condensate. This reduces the pH of the condensate and creates a substance known as
carbonic acid. The acidity of the condensate will then attack the piping, heat exchange
equipment, or any other part of the steam system that it comes into contact with.
Slide 28
The use of Thermostatic Air Vents will help remove the accumulating air and rid the
system of the adverse effects. Air Vents are nothing more than thermostaticallyactuated steam traps positioned in the system where the air will collect. Proper design
procedures require air vents to be located at high points, at the end of the steam main
piping, and on all heat exchange equipment.
We will see more about the effective distribution of steam in the next class in this
series.
Slide 29
Lets take a moment to review what we have covered in this course
All equipment should be designed and sized appropriately for maximum

efficiency
The only true measure of a boilers efficiency is the fuel-to-steam

efficiency
This is calculated using either the input-output method or the heat

balance method
Turndown ratios are important for boilers that must operate over a wide
range of capacities/demands
Once a boiler is appropriately sized, operating pressures need to be

determined
Running a purge cycle at the beginning of each on-cycle is important to rid the
system of accumulation of explosive gases in the fire box
An over-sized boiler will turn off and on many times per day, and every purge
cycle will cause a loss of efficiency
The pressure at which steam is to be distributed is determined by

Pressure required at point of usage needing the highest pressure
Pressure drop along pipe due to resistance of flow (friction)
Pipe heat losses
Slide 30
It is a best practice for steam to be generated at pressure as close as possible to

boilers design, even if higher than required
A boiler operating at lower pressure
Loses efficiency due to increased radiation and convection losses
It also produces lower quality, wet steam due to carryover and is at risk
of priming
It is best to carry steam at high pressure to the point of usage- allowing for
smaller distribution mains with lower capital cost and less heat loss
Temperature differences in the system cause steam to give up its heat and
condense
Condensation causes erosion of pipes
This erosion is accelerated at higher steam velocity
Lower steam velocities result in less erosion, less pressure loss, better
drainage, and reduced waterhammer potential
A simple solution to reduce heat loss is to insulate all piping
Waterhammer, caused by a slug of water caught in a valve or fitting, can be

avoided if steps are taken to ensure water is drained away before accumulating
Air and other non-condensable gases are released when steam is generated and
passed down the distribution with the steam
Air causes reduction in temperature and increases the acidity of condensate
Thermostatic air vents will help remove accumulating air and rid the system of adverse
effects
Slide 31
Slide 32
To test your knowledge of the course material, click the Knowledge Checkpoint
link on your personal homepage.
The Knowledge Checkpoint link is located under BROWSE CATALOG on the left
side of the page.
Slide 33
How do you begin? Its easy! Click on the Home icon, located in the right corner of
your screen. Click on the Course Surveys" link on the left side of the screen under
Browse Catalog. Select the course title you have just completed and take our brief
survey.
SystemsPartIII:Distribution,Control&RegulationofSteam
Transcript
Slide1
WelcometoSteamSystemsPartIII:Distribution,Control&RegulationofSteam.Thiscourseis
thethirdintheSteamSeriesofcourses.ItisrecommendedthatyoutakeSteamIandSteamII
beforetakingthiscourse.
Slide2
ThismodulewasproducedwiththesupportofSpiraxSarco.
Slide3
Forbestviewingresults,werecommendthatyoumaximizeyourbrowserwindownow.The
screencontrolsallowyoutonavigatethroughtheeLearningexperience.Usingyourbrowser
controlsmaydisruptthenormalplayofthecourse.ClicktheNotestabtoreadatranscriptof
thenarration.
Slide4
Atthecompletionofthiscourseyouwillbeableto:
Describethebasicsteamcircuit
Explainwhyadequatedrainageisimportant
Listthebenefitsofsteamandcondensatemetering
Namethemaincomponentsusedincontrollingandregulatingsteam
Explaintwotypicalapplicationsandtwotypicalmethodsoftracing
Identifythebenefitsofsteamandcondensatemanifolds
Slide5
Steamisoneoftheoldestandmostwidelyusedformsofenergyinindustry.Difficultiesinthe
energymanagementofsteamarisefromthefactthatitisoftenatotallyunmeasuredservice.
Thedistribution,controlandregulationofsteamiscrucialbecauseinefficiencytranslatesinto
additionaloperatingcosts.Thiscoursewillreviewthechiefcomponentsofsteamsystemsfor
controlofpressureandtemperature,andsystemaccessviamanifolds.Wewillalsoexaminethe
benefitsassociatedwithmeasuringsteamandapplicationsoftracing.
Slide6
Fromtheoutset,anunderstandingofthebasicsteamcircuit,steamandcondensateloopis
required.Thesteamflowinacircuitisduetothecondensationofsteamwhichcausesa
pressuredrop.Thisinducestheflowofsteamthroughthepiping.
Thesteamgeneratedintheboilermustbeconveyedthroughpipeworktothepointwhereits
heatenergyisrequired.Initially,therewillbeoneormoremainpipesorsteammainswhich
carrythesteamfromtheboilerinthedirectionofthesteamusingequipment.Smallerbranch
pipescanthencarrythesteamtotheindividualpiecesofequipment.
Transcript
ImagescourtesyofSpiraxSarco
Side7
Whentheboilercrownvalveisopenedadmittingthesteamintothedistributionpipingnetwork,
thereimmediatelybeginsaprocessofheatloss.Theselossesofenergyareintheheatingupof
thepipingnetworktothesteamtemperatureandnaturallossestotheambientairconditions.
Theresultingcondensatefallstothebottomofthepipingandiscarriedalongwiththesteam
flowalongthesteammain.Thiscondensatemustbedrainedfromthispipingorseveredamage
willresult.
Whenthevalvesservingtheindividualpiecesofequipmentcallforsteam,theflowintothe
heatexchangeequipmentbeginsagaincausingcondensationandtheresultantpressuredrop
whichinducesevenmoreflow.
Slide8
Sincewehavealreadyestablishedthatsteamsprincipaljobistogiveupitslatentheatenergy
andrecondensetowater,wecanassumethatitwilldosoanywhereandeverywherebecause
allheatflowisfromhottocold.Whenthesteamisadmittedintothedistributionpiping
network,thesteamimmediatelybeginstoheatthepiping.Thistransferofheatenergycreates
condensate,orifthepipingisalreadyatthesametemperatureasthesteam,therearestill
lossestotheambientairconditions,evenwheninsulated.Thisliquidcondensatewould
continuetobuilduptothepointofblockingallofthesteampipingifitisnotproperlyremoved.
Abuildupofwatercanleadtowaterhammer,capableoffracturingpipesandfittings.When
carriedintothesteamspacesofheatexchangers,itsimplyaddstothethicknessofthe
condensatefilmandreducesheattransfer.Inadequatedrainageleadstoleakingjoints,andisa
potentialcauseofwiredrawingofcontrolvalveseats.
Slide9
Wiredrawingcanoccurwhenavalveisoperatedforextendedperiodsclosetoitsshutoffpoint.
Waterflowerodesorscoresapathwayintheseatingmaterial.Thiserosionorgougeremains
openwhenthevalveisclosedtoitsoffposition.Smallflowsandpressurecreepcanoccur.
Periodicallyinasteamdistributionmainpipingnetwork,condensatedripstationsneedtobe
installedtoremovethiscondensatefromthesystem.Thesepocketsshouldbedesignedwithas
muchcareaspossible.Thisallowsthecondensatealowpointinwhichtodropoutofthesteam
Transcript
flowandberemovedbysteamtraps.WewilllearnmoreaboutthisinpartsIVandVofthis
seriesofclasses:includingtheenergyefficiencyvalueofrecoveringthecondensate!
Slide10
Aswesaidearlier,difficultiesintheenergymanagementofsteamarisefromthefactthatitis
oftenatotallyunmeasuredservice.Meteringstartingintheboilerhouse,isessentialifsavings
aretobevalidated.Althoughfuelconsumptionisfairlyeasytomonitor,measurementofsteam
isabitmoredifficult.Asteammetermustcompensateforqualityaswellaspressure,specific
volumeandtemperature.
Slide11
Performanceofdifferenttypesofmeterswhenusedonsteamwillvaryandthemeasurement
maynotalwaysbeaccurate.Mostmetersdependonameasurementofvolume.Sincevolume
dependsonpressure,measurementsneedtobetakenataconstantpressuretothemeteror
elsespecificcorrectionshavetobeapplied.Readingstakenunderfluctuatingpressure
conditionsareinaccurateunlessthemetercanautomaticallycompensate.
Steammeteringshouldbedonedownstreamofagoodqualityreducingvalvewhichmaintainsa
constantpressure.Readingsshouldbeinterpretedusingthemeterfactorandthemeter
calibrationshouldbecheckedfromtimetotime.
Slide12
Althoughsteammeteringismostoftencarriedoutintheboilerhouse,itisalsoimportantin
ordertodetermine:
1.Custodytransfer.Tomeasuresteamusageandthusdeterminesteamcost:
a)Centrallyattheboilerhouse
b)Atallmajorsteamusingareas
2.Equipmentefficiency.Identifyingmajorsteamusers,whenloadedtocapacityoridle;also
peakloadtimes,plantdeteriorationandcleaningrequirements.
3.Processcontrol.Metersindicatethatthecorrectsteamrequirementandquantityissupplied
toaprocess,whenbypasslinesareopened;andwhenvalvesandsteamtrapsneedattention.
4.Energyefficiency.Comparetheefficiencyofoneprocessareawithanother;monitorthe
resultsofplantimprovementsandsteamsavingprograms.
Transcript
Slide13
Steamisstillthemostwidelyusedheatcarryingmediumintheworld.Itisusedintheprocesses
thatmakemanyofthefoodweeat,theclotheswewear,componentsofthecarsthatweridein
andthefurniturethatweuse.Itisusedinhospitalsforsterilizationofinstrumentsandsurgical
packs,intherefiningprocessforcrudeoilbasedproducts,inchemicalproduction,andinthe
laundrythatcleansourclothes.
Despitethis,itiscommonlyregardedasanalmostfreeserviceeasilyavailable.Veryfew
attempttomonitoritsusageandcosts,astheywouldforotherrawmaterialsintheprocess.
Slide14
"Butasteammeterwon'tsaveenergy''.Thisstatementissometimesusedasareasonfornot
installingsteammeters.Itcannotbearguedagainstifsteammetersareevaluatedinthesame
wayasotherpiecesofenergysavingequipmentorschemes.
Astatement,suchastheonequotedhere,doeslittletoeasethefrustrationoftheEnergy
ManagerorFactoryManagertryingtoestablishwheresteamisbeingused,howmuchisbeing
usedandwhetheritisbeingusedwiselyandeffectively.
Slide15
Alltoooften,whentheneedforasteammeterisaccepted,onlycentralmonitoringi.e.inthe
BoilerHouseoramajorPlantRoomiscarriedout.Monitoringatbranchmainsorateachplant
room,asectionoftheprocessormajorpiecesofsteamusingequipment,arenotconsidered.
Whilecentralmonitoringwillestablishoverallsteamflowfigures(andthus,
costs),departmental'monitoringwillgivedatawhichismuchmoreuseful.Suchsteammeters
willenablecheckstobekeptonindividualplantperformance.Costscanbeanalyzedforeach
partoftheprocessandpayback'recordscanbeestablishedfollowingtheimplementationof
energysavingmeasures.
Wearededicatedtoprovidingyouwithrelevant,cuttingedgeeducationontopicspertinentto
energyefficiency.Pleasetakeourbriefsurveyandtellushowweredoing.
Howdoyoubegin?Itseasy!ClickontheHomeicon,locatedintherightcornerofyour
screen.ClickontheCourseSurveys"linkontheleftsideofthescreenunderBrowseCatalog.
Selectthecoursetitleyouhavejustcompletedandtakeourbriefsurvey.
Transcript
Slide16
Thesteammeteristhefirstbasictoolingoodsteamhousekeepingitprovidestheknowledge
ofsteamusageandcostwhichisvitaltoanefficientlyoperatedplantorbuilding.Themain
reasonsforusingasteammeterare:
PlantEfficiency
EnergyEfficiency
ProcessControl
CostingandCustodyTransfer
Clickeachofthesetoexplorethetopicsfurther.
Slide17
PlantEfficiency:Asteammeterwillindicateprocessefficiency.Forexample,whetheridle
machineryisswitchedoff;whethertheplantisloadedtocapacityandwhetherworking
practicesaresatisfactory.Itwillalsoshowthedeteriorationoftheplantovertime,allowing
optimalplantcleaningorevenreplacement,tobecalculated.Further,itcanestablishpeak
steamusagetimesoridentifysectionsoritemsofplantwhicharemajorsteamusers.Thismay
leadtoachangeinproductionmethodstoevenoutsteamusageandeasethepeakload
problemsontheboilerplant.
Slide18
EnergyEfficiency:Steammeterscanbeusedtomonitortheresultsofenergysavingschemes
andtocomparetheefficiencyofonepieceofplantwithanother.
Slide19
ProcessControl:Steammeterscanindicatethatthecorrectquantityofsteamisbeingsupplied
toaprocessandthatitisatthecorrecttemperatureandpressure.
Slide20
CostingandCustodyTransfer:Steammeterscanmeasuresteamusageandthussteamcost.
(a)Centrally
(b)Atmajorsteamusingcenters.
Steamcanbecostedasa'rawmaterial'atvariousstagesoftheproductionprocessthus
allowingthetruecostofindividualproductlinestobecalculated.
Slide21
Thepropercontrolandregulationofsteameitherinregardstosteampressureforequipment
orfortheflowofthisvaluableheatenergysourcetoheattransferequipmentismandatoryfor
Transcript
todaysindustrialandHVACsteamusersforefficientusageofthisenergysource.Thecontrolof
heatflowtoproducttemperaturesinprocessequipmentismandatory,otherwiseproduction
wastagebecomesintolerable,whichmeanslostprofits.
Thecontrolofsteampressuresandtheregulationofsteamflowtoheatexchangersis
accomplishedbyseveraldifferenttypesofvalves.
Slide22
Moststeamboilersaredesignedtoworkatrelativelyhighpressures,generallyabovethesteam
pressurerequiredinequipment,andshouldnotbeoperatedatlowerpressures.Operationat
loweredpressurescausesreducedefficienciesandincreasedpotentialforboilercarryover.For
thisreason,thehighestefficiencyismaintainedbygeneratinganddistributingthehighest
steampressuresthattheboileriscapableofproducing.Toproducelowerpressuresteamatthe
pointofuse,abuildingpressurereducingvalveshouldbeused.
Slide23
Thissystemdesignallowsformuchsmallerdistributionpiping,reducingthecostsandreducing
heatlossesfromthesepipes.Alsoeverypieceofsteamusingequipmenthasamaximumsafe
workingpressurewhichcannotbeexceededinoperation.Anotherenergyefficiencyreasonfor
reducingsteampressuresisthelatentheatcontentwhichisgreaterinlowerpressuresteam.
Moreheatcontentperpoundmeanslesspoundsofsteamtodothework.Thesearenotthe
onlyreasonsforreducingsteampressure.Sincethetemperatureofsaturatedsteamis
determinedbyitspressure,controlofpressureisasimplebuteffectivemethodofaccurate
temperaturecontrol.Thisfactisusedinapplicationssuchassterilizersandcontrolofsurface
temperaturesoncontactdryers.Reducingsteampressurewillalsocutdownonthelossesof
flashsteamfromventedcondensatereturnreceivers.
Slide24
Mostpressurereducingvalvescurrentlyavailablecanbedividedintothreegroups,organizedby
theiroperation:
DirectActingControlValves
PilotOperatedValves
PneumaticallyOperatedValves
Slide25
Transcript
Thedirectactingvalveisthesimplestdesign.Thistypeofvalvehastwomaindrawbacksinthat
itallowsgreaterfluctuationofthedownstreampressure,underunstableloaddemands,and
thesevalveshaverelativelylowcapacityfortheirsize.Itisneverthelessperfectlyadequatefora
wholerangeofsimpleapplicationswhereaccuratecontrolisnotessentialandwherethesteam
flowisfairlysmallandreasonablyconstant.
Slide26
Whereaccuratecontrolofpressureorlargecapacityisrequired,apilotoperatedreducingvalve
shouldbeused.Thepilotoperateddesignoffersanumberofadvantagesoverthedirectacting
valve.Onlyverysmallchangesindownstreampressurearenecessarytoproducelargechanges
inflow.Theresultisavalvewhichgivesclosecontrolofdownstreampressureregardlessof
variationsontheupstreamsides.
Slide27
Pneumaticallyoperatedcontrolvalves,withactuatorsandpositionersbeingpilotedby
controllers,willprovidepressurereductionwithevenmoreaccuratecontrol.Industry
sophisticationandcontrolneedsaredemandingcloserandmoreaccuratecontrolofsystem
pressures,makingPneumaticcontrolvalvesmuchmorepopulartoday.
Slide28
Oversizing,acommonindustrypractice,shouldbeavoidedatallcostsregardlessofthetypeof
controlvalveselected.Avalvethatistoolargeincapacitycapabilitieswilltendtobeerodedand
almostalwaysallowmoreorlessflowthroughthevalvethanwasactuallyneededcausing
largerpressurefluctuationsdownstream.
Asmaller,correctlysizedreducingvalvewillbelesspronetowearandwillgivemoreaccurate
control.Whereitisnecessarytomakebiggerreductionsinpressureortocopewithwide
fluctuationsinloads,itisrecommendedtousetwoormorevalvesinseriesorparallelto
improvecontrollabilityandthelifeexpectancyofthevalves.
Slide29
Althoughreliabilityandaccuracydependoncorrectselectionandsizing,theyalsodependon
correctinstallation.
Sincethemajorityofreducingvalveproblemsarecausedbythepresenceofwetsteamand/or
dirt,asteamseparatorandstrainerwithafinemeshscreenisfittedbeforethevalve.Asapart
ofaPreventativeMaintenanceProgramallstrainersshouldbeinstalledwithblowdownvalves
forregulardirtremoval.
Transcript
Ifthedownstreamequipmentisnotcapableofwithstandingthefullupstreamsteampressure,
thenasafetyreliefvalvemustbefittedeitheronthedownstreampipingorthespecificpieceof
equipmenttobeprotectedfromoverpressurizationincaseofavalvefailure.Thissafetyrelief
valvemustbesizedtohandlethemaximumsteamflowofthereducingvalveatthedesiredset
reliefpressure.
Slide30
Mosttypesofsteamequipmentneedtoutilizesomeformoftemperaturecontrolsystem.In
processequipment,productqualityisoftendependentuponaccuratetemperaturecontrol,
whileheatingsystemsneedtobethermostaticallycontrolledinordertomaintainoptimum
comfortconditions.Fromanenergysavingsandqualitypointofview,controllingthesteam
energysupplytoaprocesspieceofequipmenttomaintainthedesiredproducttemperature,
whetherairoranyproduct,ismandatory.Ifprocesssystemsarenotcontrolledtothedesired
temperatures,thenthesystemwillrunwildeithernotprovidingtherequiredheatenergyor
overheatingtheproducttounacceptablelevels.
Slide31
Temperaturecontrolcanbeaccomplishedbyseveralmethodsandvalves:
ManualControlValves
SelfActingControlValves
PilotOperatedControlValves
PneumaticControlValves
Slide32
Manualvalvescanbeappliedtoapieceofequipmenttocontroltheenergysuppliedtothe
processassimplyastheyareusedtoregulatetheflowofotherfluids.Themajordrawbackof
manualvalvestocontroltemperaturesisthatthesevalveswillundoubtedlyneedfrequent
adjustmentsandmonitoringtomaintainjustthecorrecttemperaturesunderconstantly
changingloadconditions,whichisthecaseofmostpiecesofprocessequipment.
Slide33
Transcript
SelfActingControlValvesareoperatedbyasensorsystemthatsensestheproduct
temperatures.Theycanbesettoanytemperaturebetweentheupperandlowerlimitsby
meansofanadjustmentknob.
Slide34
PilotOperatedTemperatureControlValvescontrolasmallpilotdevicewhich,inturn,operates
themainvalveforthrottlingofthesteamflow.Thesensingsystemismuchsmallerinphysical
size.Thesesystemstendtocontroltherequiredtemperaturesmuchclosertothedesiredlevels
andifandwhenaloadchangerequirementoccurs,thepilotoperatedvalvesareableto
respondtothesechangesmuchmorerapidly.
Slide35
PneumaticControlValvesrelyoncontrolsignalsfromanexternalsensingsystem,converting
thistemperaturesignalintoeitheracompressedairsignaltoactuate(throttle)thevalveorfrom
atemperaturesignaltoanelectricalsignal(4to20mA).Sensitivityandresponsetimeto
changesofloadconditionareenhancedwiththistypeofvalvesystem.Anotherbenefitofusing
thisarrangementofcontrolsystemistheabilitytoobservethevalvesopeningposition
externallybyeitheranindicatoronthevalvestemorbythecompressedairsignalappliedto
theactuator.
Slide36
Thedecidingfactorsfortheselectionofthepropercontrolvalvesystemforaspecific
applicationiscertainlythedegreeofaccuracyrequiredontheproductstemperatureandthe
responsetimetoloadchangesifthereareany.
Wehavelookedathowsteamisdistributedthroughatypicalsystem.Anotherinterestinguse
ofsteamistracing.
Therearetwotypicalapplicationsoftracing.Theyaretypicallyreferredtoaseitherprocessfluid
(critical)orfreezeprotection(noncritical)tracing.Therearedifferentrequirementsforeachas
farasheatisconcerned,sowewillseparatetheirrequirementspriortodiscussinghowto
attachtracingtotheapplication.
Tracingisasitsnameimplies,apipeortubefollowingeitherprocessfluidlinesorlineswhereit
isdesirabletopreventfreezingduringthewintermonths.Steamtracingisthedistributionof
steamthroughsmallboretubingorpipeswhichbasicallytransferheattoalargerpipetokeep
fluidsfrombecomingviscous,solidifyingorfreezing.
Transcript
Transcript
Slide37
Typically,processfluidsarealreadyatashighatemperatureasdesired.Theyhavepassed
throughheatexchangeequipmentandabsorbedasmuchheatasnecessarytokeepthe
viscositytoalevelthattheyflowsmoothlythroughthepiping.Tracingisinstalledrunningalong
thefluidlinesmainlytokeeptheproductatthespecifictemperatureitalreadyhas.Itis,
therefore,aheatmaintainer,andnotaheatexchanger.Becauseofthis,theconsumptionofthe
steamisusuallyverylow.Infact,itisoneofthesmalleststeamconsumersinagivenplant.The
factishowever,thatinsomeplants(suchasHydrocarbonProcessingfacilities),theyaccountfor
asmuchas70%ofthesteamusinglocations.Thefactthattheyconsumeverylittlesteamis
thenovershadowedbythesheernumberoflines.
Slide38
Inareaswherefreezingconditionsprevailduringthewintermonths,manydifferenttypesof
systemsrequireprotectionfromfreezeup.Obviously,theselinesarewaterlinesorperhaps
meteringequipmentthatusewaterinsensortubestodetectflowofgases,etc.Tracinglines
keepthewaterfromfreezingwhichwillinturnpossiblyrupturepiping,tubingorequipment.
Sometimes,liquidsthatwillnotnecessarilyfreezebecomeverythickifnotheatedandkept
heatedthroughouttheirprocessing.
Therearemanydifferentwaysofattachingtracingandtherearemanydifferenttypesor
methodsofusingthetracingconcept.Typically,tracingiscoppertubingattachedtoapipefilled
withsometypeoffluid.Anotherpopularmethodoftracingistheuseofjacketedpipe.This
methodoftracingisusedparticularlywhenthereisaneedtokeepafluid(suchassulphur)
fromsolidifyinginthepipes.
Slide39
Theeasiestmethodoftracingisbyattachingcoppertubingtothepipe.Itisusedmostly
becauseoftheabundanceofcoppertubingandthecostwhichisrelativelylow.Thetubingis
attachedinthelowerquadrantofthepipebeingtraced.Anotherimportantconsiderationin
tracingistoopposethetwoflows,fluidsintheprocesspipingandsteaminthetracertubes.
Thismaynotalwaysbepracticed,buttherearesomesolidreasonswhyyouwouldwantto
considerdoingthis.Thinkaboutwhatthetracerjobismaintainheatalreadyabsorbedbythe
processfluid.AsittransfersfrompointAtopointBintheplant,heatwillnaturallybelost
throughtheinsulation.Thejobofthetracerthenistoallowtransferoftheheatofthesteam
intotheflowingfluidsasitislosttotheatmosphere.
Slide40
Transcript
Thetracerlinethenshouldalsobeinstalledrunninginastraightlineasfartowardthebottom
ofthepipingaspossible.Thetracerishousedinsidetheinsulationwrappingonthepipe,and
wegainmuchbenefitfromattachingitinthismanner.Heat,whichyoumayrecall,rises
naturallyandsurroundsthepipingallowingforasmuchnaturalconductionofjoulesorBTUsas
possible.Thisheatbarrieralsoreducestheheatlossesfromtheprocessfluids.
Slide41
Onsomeoccasions,theamountofheatavailableandtemperatureofthesteamissuchthat
spacersareusedtopreventburningtheliquidsontheinsideoftheprocesslines.Thiscould
causecoking(burning)ofthelinesandalsorestrictflowoftheprocess.Whenspacersareused,
itisimportantthattheinsulationbesizedtoallowfortheextraspacerequired.Itmayalsobe
advisabletolabeltheoutsideoftheinsulationwithinformationsuchastracedandmaybe
eventhenumberoftracerlinesattachedalongwiththepressuresbeingused.Thismayhelpin
futuremaintenanceofthesystem.
Slide42
Theremaybetimeswhenthenumberoftracerlinesbeingusedcanbereduced.Forexample,a
processpipeduringthewintermonthsmayrequiremultipletracerlinestoensurethatthe
fluidsremainatthepropertemperature.However,duringthesummermonths,thenumbersof
tracerlinesmaybereducedbecauseoflessheatlossthroughtheinsulation.Someplantslist
thesteammanifoldheadernumberwheretheon/offvalvesmaybefoundtohelpwithreducing
theamountofsteambeingconsumedunnecessarily.
Slide43
Jacketedpipemaybeanalternativemethodoftracingusedwhentheprocessfluidsrequirea
hightemperaturetostayflowingwiththeleastamountofresistance.Theseliquidlinesare
usuallyfluidsthatsetupatveryhightemperaturessuchassulfur.Theyareveryspecialized
tracerlinesasthesteamjacketcompletelyencirclestheprocessfluidline.Thispipewithina
piperequiresspecialattentionandwillrequirespecializedtrapstoensureproperdrainage.
Jacketedpipeobviouslytransfersalotofheatincomparisontosteamtracerlinesmadeof
copperorstainlesssteel.
Slide44
Thistypeoftracerlineusuallyisusedwhenthetemperatureoftheprocessfluidisaboutthe
sametemperatureasthesteambeingused.Thelinesareusuallyflangefittedandthepassingof
steamfromonelinetothenextrequiressteamflowtoensurethepassageofsteamondown
thelines.Thischartwillhelpinsizingthesteamconnectionlineforthesizeofjacketedpipe
beingused.Eachjacketedlinehasaconnectionatthebottomonthedownstreamlinethatis
usedtodraineachsectionindividually.Thisisimportantbecausethisparticulartypeof
Transcript
specializedtraceristrulyactinglikeaheatexchanger.Thesteamconsumptionofthistypeof
tracingmaybemuchhigherthanthesmallertubingtypetracersusedinplants.
Slide45
Steammanifoldsaremosthelpfulinrunningthesteamtothesystem.Manifoldsareeasily
maintainedandlocatedasopposedtoindividuallyvalvingareasofaplant.Acentralizedlocation
formanifoldsensuresoperatorsofturningonandoffthecorrectvalvesfortracing.Manifolds
shouldbefittedwithatagthatidentifieswhatlinesaretracedandhowmanylinesaregoingto
thatparticularprocessline.Otherconsiderationsformanifoldingsteamlinesistheabilityto
controlautomaticvalvesonandoff.Ifthetracingonaparticularmanifoldisusedforfreeze
protection,ambientsensorsoncontrolvalveswillautomaticallyturnthesteamonwhen
needed.Thisensuresthatthesteamisturnedonandoffproperly.Theimportantwordhereis
off.
Slide46
Itisnotunusualtoseesteamlinesturnedonduringaparticulartimeofyear.Theconditions
maychangeatanygiventimeandthesteammaynotberequired.Ifthesteamisalwayson,
thenitisalwaysusedeveninsmallquantities.Thisiswastefulandshouldbeavoided.Asthis
coursehasmentioned,itisimportanttoconservethispreciousandcostlycommoditycalled
steam.Eventhoughtracingsystemsindividuallyusesmallamountsofsteam,rememberthe
sheernumbersoflinesthatmaybeinvolved.
Slide47
Condensatemanifoldsarealsoveryusefulinanytypicalplantthatusestracing.Thecondensate
manifolditselflocatestrapsandtracersinasmallgivenarea.Thecondensatefromthetracer
linesisusuallyveryhighqualitycondensateandshouldbecollectedandreturnedtotheboiler.
Thereisnormallynocrosscontaminationofproductfluidlinestotracerlines.Condensate
manifoldsalsomakeitveryeasytofindandmonitorthetracingtrapsbeingused.Eachtrap
stationonamanifoldshouldbetaggedwithanumberthatidentifiesthetrap,size,pressure,
etc.sothatamaintenanceprogramcanhelpdeterminethecorrectnessofeitherthetraps
beingselectedorsizeoftrapbeingused.Thesemanifoldscanbeeitherhorizontallyorvertically
designeddependingonthespaceavailableandthespecificationofanygivenplant.Wewill
learnmoreaboutcondensateintheotherclassesinthesteamseries.
Slide48
Letstakeamomenttoreviewwhatwehavecoveredthroughoutthiscourse.
Transcript
TheBasicsteamcircuitisasteamandcondensateloopwherethesteamsjobistogiveupits
latentheatenergyandrecondensetowater.
Itisimportanttometerandremoveanycondensatethattheheatfromsteampipescancreate.
Thebenefitsofmeasuringsteamincludeimprovementsinthefollowingareas:
PlantEfficiency
EnergyEfficiency
ProcessControl
CostingandCustodyTransfer
Controllingandregulatingsteamisnecessarytoavoidwaste.Thiscanbedonethrough:
PressureReducingValves
DirectActingControlValves
PilotOperatedValves
PneumaticallyOperatedValves
TemperatureControlValves
ManualControlValves
SelfActingControlValves
PilotOperatedControlValves
PneumaticControlValves
TwotypicalapplicationsofTracinginclude:
Process(Critical)Tracing
FreezeProtection(NonCritical)Tracing
TwotypicalmethodsofTracingare:
Coppertubing
JacketedPipe
SteamManifoldsaremosthelpfulinrunningthesteamtothesystem.Theyareeasily
maintainedandlocatedasopposedtoindividuallyvalvingareasofaplant.
CondensateManifoldsareveryusefulinanytypicalplantthatusestracing.Theselocatetraps
andtracersinasmallgivenarea.
Slide49
Thankyouforparticipatinginthiscourse.
Transcript
Slide50
Totestyourknowledgeofthecoursematerial,clicktheKnowledgeCheckpointlinkonyour
personalhomepage.
TheKnowledgeCheckpointlinkislocatedunderBROWSECATALOGontheleftsideofthepage.
Slide51
Wearededicatedtoprovidingyouwithrelevant,cuttingedgeeducationontopicspertinentto
energyefficiency.Pleasetakeourbriefsurveyandtellushowweredoing.
Howdoyoubegin?Itseasy!ClickontheHomeicon,locatedintherightcornerofyour
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Steam Systems IV: Condensate RemovalPrevent your energy from going down the drain
Slide 1: Steam Systems IV
Condensate RemovalPrevent your energy from going down the drain
Welcome to Steam Systems IV: Condensate RemovalPrevent your energy from going down the drain. This is the
fourth course in the Steam Systems series. If you have not already done so, please complete Steam Systems part
one, two, and three, prior to continuing with this course.
Slide 2: Thanks to Spirax Sarco for Their Support
Slide 3: Welcome
Slide 4: Objectives
Review the importance of condensate removal
Make simple calculations of the value of condensate, and you will be able to
Identify the different designs of Steam Traps
In the previous courses, we saw that steam condenses in the distribution pipes, and condensate has to be removed
to avoid waterhammer. The financial value of condensate has been neglected in the past, but it has a distinct
monetary value which must be recapturedas condensate recovery savings can add up to 25 to 30% of the plants
steam generating costs.
This course will explore why it is far too valuable to merely discard condensate to the ground or a drain. We will
review how to calculate the value of condensate, and explain the different types of steam traps available for
separating steam from condensate.
Slide 6: Condensate Removal
Condensate should be properly disposed of from each of the three possible types of plant locations where it may
form which are Drip, Tracer and Process.
Drip stations are places where liquids that condense in the steam piping are removed.
Tracer is a pipe or tube following process fluid lines or lines where it is desirable to prevent freezing during the winter
months.
Process applications use heat from steam to make products, often supplying the heat via a heat exchanger to the
process equipment.

First of all, condensate is purified water. It is distilled water. It may have some chemical treatment left in itwhich in
of itselfis valuable. Most of all, it is hot water. It is fairly obvious that it is less expensive to regenerate hot
condensate back into steamthan it would be to heat cold make up water into steam. Every joule or BTU is
valuableand that which remains in the condensate is no exception.
Chemical treatment imagery courtesy of Spirax Sarco
It is possible to use condensate as hot process water but the best arrangement is to return it to the boiler house,
where it can be re-used as boiler feed water without further treatment, saving preheating fuel, raw water and the
chemicals needed for boiler feed treatment. These savings will be even greater in cases where effluent charges have
to be paid for the discharge of valuable hot condensate down the drain.
One justifiable reason for not returning condensate is the risk of contamination. Perforated coils do exist in process
vessels as well as in heat exchangersso the cross contamination of condensate and process fluids is always a
danger. If there is any possibility that the condensate is contaminated, it must not be returned to the boiler. These
problems have been lessened by the application of sensing systems monitoring the quality of condensate in different
holding areas of a plant to determine condensate quality and providing a means to re-route the condensate if
contaminated.
Boiler and sensing system imagery courtesy of Spirax Sarco
Slide 10: Estimating Available Condensate
In the past, the focus of condensate removal was generally in main steam process areas only. Process applications
consume the vast majority of steam. Heat exchange equipment is used to transfer heat from steam to product,
whether it is fluid or air. Such equipment is designed to consume all heat necessary to perform any particular task.
Condensate from light load locations, such as drip and tracer, has not been widely returned. The loads at a drip
station are low for each location, but when the number of locations are counted, it is shown the amount of returnable
condensate is very high.
Main steam process and heat exchange imagery courtesy of Spirax Sarco
For example, a 150 mm steam main at 7 bars g will generate about 15 kg / hr per 30 m of insulated pipe. In US
units, that would be a six inch steam main at 100 psig generating about 33 lbs per hour per 100 ft of insulated pipe.
This initially does not seem like much, but if there are 100 drip locations, it calculates to approximately 1500 kg per
hour or 3300 lbs. per hour of condensate. Multiply this number by 8760 hours in a year and you will see a substantial
amount of usage, as demonstrated in the calculations shown here.
Another factor to calculate is the monetary value of the condensate. Condensate contains heat, chemicals and water.
It is usually as much as one third of the cost of generating steam. If our example were to assume a steam generation

cost of 5.00 per thousand kg, which is roughly $3.00 for each 1,000 lbs., our example of lost condensate and energy
calculates as shown here.
Another small user in a steam system, where condensate is being created and discharged, is that of the tracer lines.
As mentioned previously, tracers are those lines that follow the flow of process liquids to prevent them from freezing
or solidifying. Tracer lines, however, are not usually meant to be a type of heat exchanger. They merely follow the
path of the process fluids to keep them hot and less viscous.
One of the extreme costs which are hidden in everyday plant production is the cost of pumping liquids from one point
to another. Heavy, viscous liquids are obviously more difficult to pump, so amperage at the electrical pumps rises. As
amperage rises, electrical use rises and so does the amount of money spent on pumping liquids.
Tracer imagery courtesy of Spirax Sarco
If the tracer lines do their job, they allow heat to transfer into the product liquids as heat is lost through the insulation.
If the efficiency of insulation is relatively good, the steam usage would be reasonably low. It would not be unusual for
this type of tracing to generate only about 11 kilos or 25 lbs/hour of condensate.
Again, at first glance, this seems to be only a small user of steamnot worth collecting and returning. However, it
has much of the same characteristics as the drip station condensate in that it is hot, has been chemically treated and
is good quality water. If a plant had 100 tracer lines of this type, the usage would calculate as shown here.
Tracer imagery courtesy of Spirax Sarco
It is easy to see that this is also a substantial amount. Our calculations assume that this type of tracing will be on year
round. Not all tracing is on continuously, however. Some tracing is used primarily for winterizing. This type of tracing
is for freeze protection of liquid lines, instrumentation, etcetera. Different countries usually turn on this type of tracing
at various times, so calculations similar to the ones just discussed, could be used and a modification to the amount of
hours per year should be made.
Slide 16: Steam Traps
How do we get condensate out of the steam main so that we can recover its financial value?
A steam trap is an automatic valve designed to stop the flow of steam so that heat energy can be transferred, and the
condensate and air can be discharged as required. Steam traps can be considered for their effectiveness by:
Air Venting
Thermal Efficiency, and
Reliability
Lets look at each one in more detail, beginning with air venting.

Steam trap imagery courtesy of Spirax Sarco
Unless air is displaced, steam cannot enter the steam space and warming up becomes a lengthy process. Standing
losses increase and plant efficiency falls. Separate air vents may be required on larger/more awkward steam spaces,
but in most cases, air in a system is discharged through the steam traps.
Air vent and steam trap imagery courtesy of Spirax Sarco
Some steam traps hold back condensate until it has cooled to something below saturation temperature. This is
known as subcooling. Provided that the heat is given up in the plant itself, to the space being heated or to the
process, then there is a real savings in steam consumption. Indeed, there is every inducement to discharge
condensate at the lowest possible temperature.
On the other hand, if cool condensate is then returned to a feed tank, which requires preheating, the efficient trap
has done little for the overall efficiency of the steam system.
Reliability means the ability to perform under the prevailing conditions with the minimum of attention.
conditions may include:
Corrosion due to the condition of the condensate or of the surrounding atmosphere.
using particular materials of construction.
These
This can be countered by
Waterhammer, which occurs when a slug of water, pushed by steam pressure along a pipe instead of draining away
at the low points, is suddenly stopped by impact on a valve or fitting such as a pipe bend or tee. The velocities
achieved by such slugs of water can be much higher than the normal steam velocity in the pipe, especially when the
waterhammer is occurring at startup. In mild cases, there is noise and perhaps movement of the pipe. More
severe cases can lead to fracture of the pipe or fittings with almost explosive effect, and consequent escape of the
steam at the fracture. Waterhammer conditions in a steam system damage more than just steam traps and is a very
serious condition which should be resolved.
Dirt is another factor. A trap selected to meet all of the obvious criteria may be less reliable in a system where water
treatment compound carried over from the boiler, or pipe dirt, is allowed to interfere with trap operation.
The prime requirement however is the adequate removal of air and condensate. This requires a clear understanding
of how traps operate, so lets investigate that next.
Corrosion and waterhammer imagery courtesy of Spirax Sarco
Slide 20: Steam Trap Design
In the beginning, steam traps were manually operated valves.
The major problem with this type of condensate drainage system is the variation to changing condensate flows.
Condensate, you will recall, is steam that has given up its enthalpy and reformed into water. The amount of
condensate being created varies in many different ways. A fixed position of a block valve or fixed hole in a drilled

plug cock valve cannot adjust automatically to the varying conditions of condensate load.
Manual valve imagery courtesy of Spirax Sarco
Slide 21: Steam Trap Design
This method of condensate removal would warrant an operator to be present much of the time to correct the setting
of the valve. If condensate was allowed to back up, less heat transfer would take place, causing production to fall off.
If, on the other hand, the condensing load was less, the operator would have to close the valve to the point that the
steam was not continuously being released. Because of the changing nature of condensing loads, this would be a
full-time job. To avoid this, todays steam traps are a kind of automatic valve, in one of the following three
categories:
1. Mechanical or Density
2. Thermostatic or Temperature Controlled
3. Thermodynamic or Velocity
These categories of traps have distinctive operating characteristics and work most efficiently when used for their
designed purpose.
Managing valves imagery courtesy of Spirax Sarco
Slide 22: Mechanical Steam Traps
Lets talk about the different designs, beginning with mechanicalor densitysteam traps. There are two basic
designs of steam traps in this category. They are the Float and Thermostatic as well as the Inverted Bucket
designs. Lets explore the float and thermostatic types more closely.
Mechanical steam trap imagery courtesy of Spirax Sarco
Float and thermostatic traps have a ball type float attached to a lever. The lever is attached to a valve head and pivot
point. When condensate enters the trap, the float rises with the liquid level and mechanically pulls the valve off the
seat to allow condensate to be discharged.
Air is discharged in parallel through the thermostatic vent.
This type of trap has one basic application point, and that is for process purposes. This is due to the fact that this trap
immediately removes air and non-condensables as they enter the trap and discharges condensate in the same
manner, at saturation temperatures.
Float and thermostatic imagery courtesy of Spirax Sarco
The main advantage to this type of trap is its superior air removal capabilities either on start up or during the process
procedure.
It also has a continuous discharge characteristic that follows exactly the forming of condensate. In other words, what
comes in goes out at the same rate. This type of steam trap adjusts automatically to either heavy or light loads of

condensing and is not adversely affected by changes in pressure within their operating range. Condensate removal is
also done at steam temperature, so heat exchange takes place at constant temperatures, ensuring maximum
efficiency use of the energy supply.
Pressure gauge imagery courtesy of Spirax Sarco
A disadvantage is general to all mechanical types of traps and that isthat in practicemechanical traps must have
different sizes of valves and seats for different pressure ranges. This is to ensure that the float and lever combination
has the ability to generate enough energy to lift the valve head off the seat at the design operating pressures. If it
cannot, the trap mechanism is overcome by the steam pressure and the trap fails closed.
Mechanical steam trap imagery courtesy of Spirax Sarco
The second mechanically operated steam trap is the Inverted Bucket type of trap. In this trap, the operating force is
provided by steam entering and being contained within an inverted bucket causing it to float in condensate that
surrounds the bucket itself. The bucket is attached to a lever and pivot point similar to that in the float and
thermostatic. The valve head and seat, however, are located at the top of the trap. It requires water being present
within the body, in order for the bucket to have something in which to float. This is called the prime.
Inverted bucket imagery courtesy of Spirax Sarco
When condensate enters the trap, it flows under the bottom edge of the bucket and completely fills the body of the
trap. The bucket is submerged and sinks, and the valve head is pulled off its seat. Condensate discharges
through the open valve.
When steam is first turned on, air is allowed to flow to the trap. This air is captured within the bucket and causes the
bucket to become buoyant. The bucket rises, and the valve snaps shut. The trap is now closed. The air gradually
flows out through a hole in the top of the bucket known as the vent hole.
Air passes upward through the hole, through the prime, and collects at the top of the trap. The bucket loses buoyancy
and sinks in the surrounding liquid. In doing so, it pulls the valve head off of the valve seat and allows condensate,
and eventually the collected air to discharge. Flow from under the bucket starts again. This allows either more air or
steam to begin to enter the trap body. If it is more air, the sequence is repeated.
Inverted bucket steam trap imagery courtesy of Spirax Sarco
If it is steam, however, the sequence is slightly different. Like air, steam will be captured in the bucket, causing it to
rise and close the valve.
The steam passes through the bucket vent hole to the top of the trap collects at the top of the trap and is condensed
by heat losses from the trap body, in particular the cap or top.
This loss is necessary to keep steam and condensate coming to the trap. As condensate enters under the bucket, it

fills the space and again the bucket loses buoyancy and sinks. The valve opens.
Discharge flow is first downward from under the bucket, and then upward to the discharge orifice.
Inverted bucket steam trap imagery courtesy of Spirax Sarco
The biggest advantage to this type of trap is its ability to withstand high pressures. It has a reasonable degree of
tolerance to waterhammer damage but suffers from freeze damage. In the case of freezing, however, most of the
damage is done to the body of the trap rather than to the mechanism or float.
The disadvantage to this trap type is its limited ability to discharge air and other non-condensable gases. This is due
to the small vent hole and low differential pressure driving the air through it. It is suspect at times to rapid pressure
changes in the system due to the requirement of a prime being maintained internally for proper operation. The
prime water seal is at saturated steam pressure/temperatures and if the steam pressure drops rapidly due to load
changes of equipment, the prime has a tendency to boil off (flash). Without the required prime, this type of trap
fails open.
This type of trap is most appropriately suited for stable, steady load and pressure conditionssuch as one would find
on a steam distribution system.
Mechanical steam trap and inverted bucket imagery courtesy of Spirax Sarco
Slide 31: Thermostatically Controlled Traps
The next family of traps are the thermostatic or temperature controlled traps. The balanced pressure or bellows
type of steam trap was first manufactured with a bellows of copper design. This bellows had a liquid fill which, in the
beginning, was distilled water.
Modern thermostatic type traps still have a liquid fill but it is made up of a distilled water and alcohol mixture and they
are contained within an enclosed capsule rather than a bellows. Alcohol was added to the fill to lower its boiling point.
Thermostatic imagery courtesy of Spirax Sarco
The capsules work by exploiting the difference in the boiling point between the alcohol mixture and the surrounding
condensate. When condensate fills the trap, the valve is open and allows discharge.
As the temperature of the condensate gets closer to steam temperature, the mixture contained within the capsule
gets closer to its boiling pointat a set temperature below that of steam (before steam reaches the trap), the mixture
evaporates. This results in an increase in internal pressure of the capsule, which is greater than that within the trap
bodyso forcing the valve down onto its seat, and preventing the trap from blowing steam.
As the steam condenses back to condensate, and the temperature drops accordingly, the alcohol mixture
re-condenses so relieving the internal pressure of the capsule and thus lifting the valve back off of its seat, allowing
condensate to flow through the trap.

The mixture of distilled water and alcohol in the bellows is the key to the operating temperatures of the balanced
pressure trap. Most manufacturers provide thermostatic traps to operate within within 10 to 20 C, or approximately
20 to 40 F of saturated steam temperatures.
An important point to remember is that all thermostatically operated steam traps will cause condensate to back up in
the system. While the condensate is accumulating, it is also continuing to lose heata phenomenon known as
subcooling. This reduces the energy that can be recovered from the condensate. The amount of backup in the
system is dependent upon the temperature that the trap is designed to operate at, along with the condensate loads
coming into the trap.
Image courtesy of Spirax Sarco
The advantage to this type of trap is its ability to freely and immediately discharge air as well as non-condensables as
soon as they enter the traps body, as in the F & T. These traps have the ability to operate up to 40 bars g, or
approximately 600 psig and provide constant as well as consistent levels of subcooling of the condensate in relation
to the saturated steam pressure/temperature curve. The most modern designs have overcome the earlier models
sensitivities of waterhammer and superheat damage by encapsulating the filling in a much more robust enclosure.
Steam trap image courtesy of Spirax Sarco
The disadvantages of thermostatically operated traps is that there is always a backup of condensate in the system,
which could reduce heat transfer in some applications. These traps also will require a time period to adjust to load
changes in the system. Balanced pressure steam traps are used very commonly in air venting, distribution, main drip
drainage and in tracing applications.
Steam trap diagrams courtesy of Spirax Sarco
In addition to balance pressure, there are a couple of more variations on the thermostatic design, which are:
Liquid Expansion thermostatic trap, and the
Bimetallic thermostatic trap
Lets explore these in more depth, beginning with the liquid expansion thermostatic trap
Now lets discuss liquid expansion steam traps. This type of thermostatic trap is a variantwhich uses mineral oil as
the fill and includes an adjustment nut.

The discharge temperature of this type of trap is adjustable, so it is best used where inexpensive temperature control
is needed. Like the balanced pressure trap, condensate enters the trap and is discharged through the valve, but
when the condensate temperature approaches steam temperature, the capsule forces the valve closed. A primary
application for this type of trap is on hot water or oil storage tanks where the temperature of the stored liquids needs
to be kept below steam temperature of 0 bar or 0 PSIG (100C or 212F).
Storage tank imagery courtesy of Spirax Sarco
The main advantage to this type of steam trap is its ability to adjust a discharge temperature to match that desired in
the storage tank. This effectively reduces the steam consumption on applications where controlled waterlogging can
be tolerated. This trap can and is used also for freeze protection of float and thermostatic steam traps.
The major disadvantages to this trap are the amount of condensate back-up and its inability to respond rapidly to
condensate load changes as well as its sensitivity to dirt.
Now lets move on and discuss bimetallic type trapswhich have shown a lot of variation since their original design.
The modern types of bimetal traps all are commonin that the valve is located on the outlet side of the trap and the
bimetal strips, or disks, are located inside the body. This means that the action of the trap is to pull the valve head
into the valve seat opposing the steam pressure of the system, trying to drive the valve head off of the valve seat.
Bimetal trap imagery courtesy of Spirax Sarco
The bimetal strips or disks are made of two dissimilar metals, usually of 304 and 316 stainless steel. Because they
are dissimilar metals, one expands more than the other at a given temperature. It is said to have different coefficients
of expansion. A characteristic of this differing expansion rate is that the element has to bend or arch. This bending
motion can then be used to open or close a valve accordingly. Steam within the trap causes the strips to flex, forcing
the valve onto its seat. In the presence of condensate the strips flatten allowing the valve off its seat and permitting
condensate to discharge.
Bimetallic imagery courtesy of Spirax Sarco
This type of trap has a very deep subcooling range. This range may be as much as 55C or 100F below the
saturation temperatures, thus causing excessive back up of condensate into the system. Extreme caution must be
taken when applying a bimetal thermostatic trap to equipment so as not to cause equipment damage from this
backup of condensate.
The advantages to this type of trap are its ability to withstand waterhammer and handle fairly large condensate loads
for its small physical size. They do discharge air and non-condensable gases well, but because of their low
temperature sensitivity (subcooling), they may fully close before all of these gases are removed. The trap drains
freely upon drop in temperature or system shutdown, so freeze damage should not be a factor. Its primary use is for
drip stations on superheated steam mains, where superheated steam and condensate cannot coexist. Another

application in which these are used is for non-critical tracing (freeze protection) where energy efficiency is
maximized.
A disadvantage to this type of trap is the lag time required when condensate loads change to open the trap.
Response to changes are very slow. Another disadvantage to this type of trap is that they are highly susceptible to
dirt being caught between the valve head and seat. Also, dirt attaches to the bimetal strips or disks and acts as an
insulator, changing the discharge characteristics.
Slide 44: Thermodynamic Steam Traps
The third family of traps is the thermodynamic type, which uses the kinetic energy from velocity to open and close a
valve. The valve in this type of trap is a free floating disk which sits on two seating surface areas. One area is an inlet
orifice and the other is an area where multiple outlet orifices are located in an adjacent ring.
It is a fairly simple trap to understand. On start-up, the disk is forced upward and off the seating surface rings by the
flow of air and condensate. Condensate and air are discharged from the trap. Condensate force is directed to the
centre, and under the disk chamber, and is exposed to the outlet ring of orifices. It recognizes a lower downstream
pressure within the chamber and flashing of the condensate occurs.
Thermodynamic imagery courtesy of Spirax Sarco
Flashing occurs when condensate at high pressure is released to lower pressure. The condensate contains excess
heat energy and some of the condensate uses this excess heat to re-evaporate into low pressure steam. This
expansion causes an increase in the velocity of flow between the bottom of the disk and the seating surfaces, which
in turn, causes a negative pressure to be sensed on the bottom of the diskbeginning to pull it down onto the
seating surfaces.
Some of the flash steam that is being created flows around the sides of the diskto the top surface of the disk. This
flash steam is trapped between the top of the diskas well as the cap of the trapand pressure develops in this
space, pushing the disk down onto the seating surfaces.
When the pressure in the cap chamber is great enough to overcome the inlet pressure of the condensate on the
bottom of the disk, the trap snaps closed. The trap will remain closed until the pressure in the cap chamber has
dropped to below the inlet pressure. Then the cycle will repeat itself.
The cap chamber pressure drops due to natural heat losses from the cap to the ambient conditions, condensing this
steam. This type of trap operates on a cyclical pattern, either open or closed. Because the trap is closed by flash
steam created from hot condensate, there is a small amount of subcooling of the condensate as well as back up of
condensate in the system. The subcooling ranges between 1 to 5 C or approximately 2 to 10 F below saturated
steam pressure and temperature relationship.

The advantages of this type of trap are they are not damaged by waterhammer or freezing and will work consistently
throughout their pressure range, up to 120 bar g or 1750 psig. They can be utilized on superheated steam systems
without any problems, and they are easily tested, installed and maintained. This is the only type of steam trap that will
give an indication of wear before final its failure occurs. The cycling rate increases with wear and gives a distinct
audible clicking sound (rapid cycling).
The disadvantages to this trap are that it does not operate well at extremely low pressuressuch as those below
0.25 bar g or 3.5 psig or extremely high percentages of back pressure (around 80%). They are also limited in their air
handling capability.
This type of trap is ideally suited for steam main distribution drainage and tracing applications.
Application imagery courtesy of Spirax Sarco
Slide 48: Summary
Today, we reviewed the importance of condensate removalwe learned that condensate has value because it is hot
and has been purified.
It should be properly disposed of from each of the three possible types of plant locations which are Drip, Tracer and
Process.
Next, we practiced calculating how to estimate the condensate available for recovery.
We learned that a steam trap is an automatic valve to stop steam and discharge air as well as condensate. Steam
traps have specific
characteristics for
Air venting
Thermal efficiency
Reliability
Lastly, we spent some time identifying the different designs of steam traps
Mechanical or Density traps which include the float and thermostatic and inverted bucket designs
Thermostatic or Temperature Controlled traps which include the balanced pressure, bimetallic and liquid expansion
designs, and lastly
the Thermodynamic or Velocity trap
In the next class in this series, we will see how to test steam traps to ensure they are functioning correctly, and how
to select them for given
conditions.
Slide 50: Test Your Knowledge!
To test your knowledge of the course material, click the Knowledge Checkpoint link on your personal homepage.

The Knowledge Checkpoint link is located under BROWSE CATALOG on the left side of the page.
Slide 51: We Value Your Opinion!
We are dedicated to providing you with relevant, cutting edge education on topics pertinent to energy efficiency.
Please take our brief survey and tell us how were doing.
How do you begin? Its easy! 1) Click on the Home icon, located in the right corner of your screen. 2) Click on the
Course Surveys" link on the left side of the screen under Browse Catalog. 3) Select the course title you have just
Steam Systems V: Condensate Removal - Maximizing Your Recovery

Slide 1
Welcome to Steam Systems Part V: Condensate Removal - Maximizing Your Recovery. This is the fifth course in
the Steam Systems series. If you have not already done so, please complete Steam Systems Part I, II, III and IV,
prior to continuing with this course.
Slide 2
Slide 3
Slide 4
Identify different methods of steam trap testing

List the downfalls of by-passes around steam traps
Describe the importance of preventative maintenance programs
List the various considerations in selecting a steam trap
List the three components of sizing a steam trap
Describe the impact of waterlogging on systems, and you will be able to
Identify the three methods for lifting of condensate
Slide 5
In Steam Systems part one, we discussed the overall advantages and basics of steam as a source of energy. In
part two, we looked at the impact of boiler sizing, pressure and velocity on overall system efficiency. During part
three, we reviewed the distribution, control and regulation of steam, and in part four we learned how to prevent
energy from going down the drain by implementing proper condensate removal strategies.
Now, we will further explore condensate removal and show you how to maximize your recoverywith
considerations for choosing traps, proper testing and sizing of traps as well as options for how to lift the
condensate. To ensure your steam system enjoys a long and full life cycle, we will summarize a preventative
maintenance program. The downfalls of by-passes, and impact of waterlogging will also be discussed.
Lets begin with a discussion of steam trap testing methods.

Slide 6
There is virtually no point in spending the time and money in creating a highly efficient steam systemand then
failing to maintain it at this same level. However, all too often leaking joints and valve stems are accepted as a
normal operating condition of both steam and condensate systems. Even a 4 mm diameter hole can discharge
as much as 30 kg/hr of steam at 10 bar g. For approximate comparison in US units, a 1/8" diameter hole can
discharge as much as 65 lb/hr of steam at 150 psig. This represents a waste of approximately 27 metric tonnes
or 30 US tons of coal, 18,000 liters or 4,800 gallons of fuel oil or 219,803 kWh, equivalent to 7,500 therms of
natural gas in a year, based on 8,400 hours of operation.
Slide 7
Elimination of visible leaks is obviously reasonably straightforwardhowever, invisible steam leaks through faulty
steam traps present a far more taxing problem. We know that the basic function of a steam trap is to discharge
condensate as well as non-condensable gases in our systems and prevent live steam from escaping. Steam trap
testing has brought about four different methods of testing. Lets look at all four methods and see what each will
tell us about the condition of the steam trap.
Slide 8
The first point that has to be understood when visually testing a steam trap is that it will be a very rare occasion
where the only matter coming out of a steam trap will be water!! Almost always, there will be varying mixtures of
flash steamas well as waterand in some cases, the visual discharge will be all flash steam. So the first thing
to remember, is that we do not want to look for water only, nor do we want to attempt to decide if we are seeing
the appropriate amount of flash steam and water mixture.
Slide 9
Visual testing of steam traps works best on two types of trap operation due to the traps inherent discharge
characteristics. Those two traps are the Inverted Bucket (Density) and Thermodynamic (Kinetic Energy).
These two traps operate in a cyclical manner being fully open, discharging, or fully closed. The open/closed
operation is the key to correct visual testing and what the tester should be looking for to indicate a properly
operating steam trap.
Slide 10
If there is installedin the piping, ahead of the steam trapa wye (Y) strainer with a blowdown valve, opening
the blowdown valve and diverting all of the condensate away from the steam trap allows only steam into the trap.
Any steam trap type should close positively when it senses only steam. This additional step, diverting the
condensate away from the traps inlet, allows the tester to test any type of trap operation and receive 100%
positive answers to the traps condition.

Slide 11
Ultrasonic trap testing began with a screwdriver and has progressed to electronic sensing devices which amplify
vibrations of flow. Flow of waterand steamset up vibrations, which are what we are looking for with ultrasonic
testing. This form of testing works very well on traps that have cyclical discharge characteristics, like the kinetic
energy Thermodynamic and the density operated Inverted Bucket. The open/closed operation provides a very
positive answer to the steam traps operation.
Ultrasonic testing and steam trap imagery courtesy of Spirax Sarco
Slide 12
When testing other traps, like Float & Thermostatic as well as Thermostatic types, which provide continuous
modulating discharge, the tester again has to open the strainer blowdown valve and divert condensate away
from the trap inlet so that the trap sees only steam. Again, if it is a properly operating trap, it will shut off
completely. The ultrasonic testing device must be calibrated to eliminate external piping noises or other steam
traps discharge. When testing traps that are in close proximity, all trapsexcept the one being testedmust be
isolated to remove any false signals from the other traps.
Steam trap and blowdown valve imagery courtesy of Spirax Sarco
Slide 13
The ultrasonic testing method can provide very positive answers to a traps operating condition as long as the
operator doing the test has been trained, has developed some experience with the testing instrument and is able
to identify the type of trap operation by visual inspection.
Ultrasonic testing imagery courtesy of Spirax Sarco
Slide 14
Temperature testing of traps involves measuring the temperature at, or close to, the inlet and outlet of the steam
trap. Pyrometers, temperature sensitive crayons, paint, band-aids and thermocouples all have their advocates.
Unfortunately, these methods are of limited use since the temperatures of condensate and flash steam on the
downstream side of a correctly working steam trap are controlled by the pressure in the condensate return
system.
A very large percentage of steam traps are thought to discharge into 0 bar or psig atmospheric gravity returns,
which means that the maximum temperature that could be expected is 100C or 212F, regardless of the traps
operating condition.
Slide 15
It does not necessarily mean that a trap has failed when an elevated temperature above 100C or 212F is
recorded downstream of a steam trap. More likely, it means that the condensate return line is under a positive
pressure, which means that the pressure/temperature relationship of steam must exist.

Slide 16
Thus, if we were to record a temperature of 110C or 232F on the outlet side of a trap, this tells the tester that
the return system is at 0.5 bar g or 7 psig or saturated steam conditions, even though it was thought to be at a 0
bar or psig return system. There could be a failed open steam trap in the system that is causing this pressure or
it could be purely the fact that the condensate return line was sized for water only and is not able to
accommodate the flash steam volume without becoming pressurized. Temperature testing will identify a failed
closed steam trap due to very low temperatures at the inlet of the steam trap. Temperature testing of traps to
find failed open traps is by far the least accurate of all the testing methods available to users.
Slide 17
A more recent development in trap testing uses the electrical conductivity of condensate. This involves the
installation of a chamber containing an inverted weir upstream of the steam trap shown as follows.
With the trap working normally, condensate flows under this weir and out through the trap. There is a small hole
at the top of the weir that equalizes the pressure on each side. A sensor is inserted in the chamber on the
upstream side which detects the presence of condensate by completing an electrical circuit with the condensate.
A portable indicator is plugged into the sensor and the indicator provides the ability to read a completed circuit on
the sensor.
Steam testing imagery courtesy of Spirax Sarco
Slide 18
If the trap becomes defective and begins blowing steam, equilibrium on either side of the weir becomes
disturbed and the steam pressure on the inlet side of the chamber displaces the condensate below the sensor.
The sensor is no longer surrounded by the conductive condensate and the electrical circuit is broken, providing a
failed signal on the indicator.
Steam trap testing imagery courtesy of Spirax Sarco
Slide 19
A major advantage to this method is the very positive signal which can be interpreted without resorting to
experience or personal judgment.
It is possible to wire a number of sensor chambers to one remote testing point for ease of quickly testing larger
numbers of traps. The latest designs of conductivity testing equipment have added a temperature sensor in the
same chamber that will provide the ability to determine a failed closed trap.
Now lets move on and discuss by-pass valves.
Steam trap testing imagery courtesy of Spirax Sarco

Slide 20
The habitual use of by-pass valves around steam traps can result in significant waste and loss of steam energy.
Although a by-pass can be a very useful emergency device, it should never be regarded as a normal means of
discharging condensate or air. Some trapping points still incorporate by-passes due to the misguided belief that
they are essential to cope with start-up conditions.
The operator may also be tempted to leave the by-pass cracked open during normal running. A valve used in this
way will rapidly become wiredrawn and incapable of giving a tight shut-off. Once this has occurred, greater steam
losses are inevitable. Steam traps are fully automatic devices which should be properly sized so that by-passes
are unnecessary.
By-pass imagery courtesy of Spirax Sarco
Slide 21
In order to ensure that pressure reducing valves, temperature controls, steam traps, etcetera, give long life and
trouble-free service, it is essential to carry out a program of planned preventive maintenance. To download an
example of a Preventive Maintenance Program; click the paper clip icon. (The paperclip icon is located in the
lower right hand corner of your toolbar.)
Imagery and preventive maintenance information is courtesy of Spirax Sarco
Slide 22
The following list contains a number of important questions which should be considered when choosing a steam
trap for a particular application:
1. Will condensate be discharged immediately as it forms?
2. Is there condensate back pressure or a return line higher than the steam heated equipment?
3. Are there waterhammer conditions in the steam supply line?
4. Is there vibration or excessive movement in the equipment?
5. Does the condensate contain corrosive substances?
6. Will the trap be in an exposed position?
7. Is the steam supply super heated, for example, at a temperature above saturation temperature?
8. Is air likely to be present in any quantity?
9. Is steam locking a possibility?
(Note that air binding or steam locking can occur when steam or air or other non-condensable gases such as
carbon dioxide enter the steam trap before the condensate has a chance to enter. The valve of the trap closes
and the condensate cannot be discharged. This is commonly caused by problems in the pipe work near the trap,
or by a mixture of steam and condensate being discharged from equipment. A lock release valve may be
required.) And finally:
10. Is the installation made up of several steam heated units?
We have provided charts to guide you with Steam Trap Selection and Steam Trap Application Requirements.
These are available from the paperclip icon.
Slide 23
The benefits of selecting the best type of steam trap for a given application will be wasted if the trap is not
correctly sized. It is bad practice to choose a 20 mm or 3/4" trap simply because it has to go on a 20mm or 3/4"
drain line. In order to size a steam trap, we obviously need to know the quantity of condensate being handled in
a given time.
The makers of most standard kinds of steam equipment usually supply reliable figures on the condensation rates
of their equipment. If such information is not available, it has to be acquiredeither by calculation or practical
measurement of the condensate produced. A test procedure which will give reasonably accurate results is
provided in the download for Steam Trap Sizing and may be accessed by clicking the paperclip icon. (The
paperclip icon is located in the lower right hand corner of your toolbar.)
Charts courtesy of Spirax Sarco
Slide 24
Traps should be correctly sized with regard to
1. The differential pressure (comparing outlet to inlet)
2. The size of the trap discharge orifice, and
3. The temperature of the condensate
Slide 25
We know that steam will condense most rapidly on the start upwhen the system is cold. It is for this reason that
it is common practice to size traps using a safety factor. The trap selected should be able to handle twice the
normal running load, or as much as 3 times the running load following an automatic temperature control. An
undersized trap will cause waterlogging of the steam space when it can be least afforded.
Slide 26
With most steam heated equipment it is desirable, and very frequently essential, to discharge condensate as
soon as it forms in the steam space. Although sensible heat in the condensate is usable heat, a much greater
rate of heat transfer will be obtained if only the steam is in contact with the heat transfer surface.
Steam traps of the mechanical type should always be chosen for applications which require rapid condensate
removal. Thermostatic type traps cannot release condensate until it has cooled a set number of degrees below
steam temperature, resulting in waterlogging the steam space. There are, however, a number of occasions when
such waterlogging may be perfectly acceptable and even desirable.
Diagram and steam trap imagery courtesy of Spirax Sarco

Slide 27
As an example, let us consider the difference in trapping requirements of a steam radiator and a unit heater. A
steam radiator is an arrangement of pipes supplied with steam. Heat escapes through the exposed surface to
provide space heating. A unit heater is a device in which an electric fan blows air through a coil heated by hot
water, steam or electric resistance. In this case we are considering steam.
Steam radiator and unit heater imagery courtesy of Spirax Sarco
Slide 28
While the steam space of the radiator is great compared with its heating surface, the steam capacity of the unit
heater is small compared with its heat output. The radiator can make good use of the sensible heatin the
condensatebefore it is discharged, but the unit heater cannot. For this reason, the radiator should be fitted with
a thermostatic trap that will hold back condensate until its temperature has dropped a predetermined number of
degrees below that of the steam. On the other hand, the unit heater must be fitted with a trap that will discharge
condensate immediately as it forms. The slightest waterlogging, in this case, would reduce heat outputand
cause the heater to blow cool air. Condensate held back in the unit heater will also promote corrosion and
unnecessarily reduce the life of the heater tubes.
The extent, to which waterlogging of a steam space can be tolerated, is clearly a significant factor in steam trap
selection. The wrong choice of trap is at the root of many instances of poor plant performance.
Steam trap and testing imagery courtesy of Spirax Sarco
Slide 29
Lifting of condensatethe rate at which a steam trap can discharge condensatedepends on the size of the
valve orifice and the differential pressure. Differential pressure is the difference in pressure between the inlet
and the outlet of the trap. If a steam trap discharges to atmosphere, the differential pressure across the trap will
be the same as the upstream steam pressure. The same will be true if the trap discharges into a return line at a
lower levelwhich allows the condensate to gravitate back to the boiler feed tank.
Unfortunately, such an arrangement is often ruled outbecause either the boiler feed tank is higher than the
trapsor the return main has to run at high level to clear obstructions.
Slide 30
In these cases, the condensate must be lifted either directly by steam pressurein the apparatusor by a pump.
Vented open return systems have been utilized for 80 plus yearswhere the condensate is allowed to flow by
gravity to a central collection receiver, and then the use of electrically driven pumps return it to the boiler house
when these receivers are full. Lets investigate the three main ways to lift condensate, beginning with lifting
condensate by steam pressure.

Slide 31
For every 0.1 bar g, equivalent to approximately 1.5 psig of steam pressure at the trap, condensate can be lifted
to a height of approximately 1 metre or 3 feet. In order to lift condensate, the trap must have positive steam
pressure at all times. There are disadvantages to lifting condensate in this manner. In the first place, the
necessary steam pressure may not always be available at the trap inlet. If, for example, the normal operating
pressure is 2 bar g or 30 psig, it is theoretically possible to lift the condensate 20 metres or 65 feet. However, on
a cold start up, the steam pressure mayfor a timedrop to, or even below, zero. Until this pressure builds up,
condensate cannot be removed from the equipment, and will collect in the steam space. This will result in a
greatly extended heat up period.
Slide 32
The condensate will also prevent any air from escaping through the steam trapwhich makes the problem even
worse. If the equipment is temperature controlled, the very action of the control may reduce the steam pressure
below the point at which it can successfully lift condensate to an overhead return line.
Once again the steam space will waterlog until the control valve opens, resulting in poor temperature control and
the possibility of waterhammer as the steam rushes into the waterlogged steam space. Additionally, if the steam
space is a coil, considerable erosion and corrosion may take place.
It must be remembered, that certain types of steam traps are limited as to the amount of back pressure against
which they will satisfactorily operate.
Steam space and steam trap imagery courtesy of Spirax Sarco
Slide 33
Electrically driven pumps have also been used to collect and return condensate. When utilized on radiation
heating applications, condensate usually returns at relatively low temperatures, 71-82C or 160-180F, which
does not provide any great difficulty for the electric pumps. When the condensate temperatures approach 90C
or 200F and above, electrically driven pumps begin to experience a phenomenon known as cavitation.
Electrical pump imagery courtesy of Spirax Sarco
Slide 34
Cavitation is the flashing of higher temperature condensate as it enters the eye of the impeller, where the
pressure drops to below atmospheric pressure. The pump becomes vapor (steam) bound.
This can lead to problems with the mechanical seals of the pumps and ultimately leakage and even motor
damage.
Careful management of the pressure using a throttling valve and pressure gauge can reduce cavitation.
Otherwise, if cavitation problems still exist due to elevated temperatures, the only recourse is to cool the
condensate down to a pumpable temperature.

Slide 35
This sounds like a simple cure (simply cooling down the condensate), but if we look at the oxygen solubility chart,
we see that as condensate cools down, the ability of that water to contain oxygen goes up. The more oxygen
contained in condensate, when it reaches the boiler house, the more chemicals that will have to be added to
remove that oxygen.
Chart courtesy of Spirax Sarco
Slide 36
Sodium sulphite is the chemical added to condensate to remove this dissolved, contained oxygen. Cooling down
the condensate is certainly an answer to pumping problems, but it causes the usage of more chemicals,
increased heat energy to preheat this condensate back up, and certainly will cause decreased life to the
condensate return piping systemdue to the increased corrosion attack.
Corrosion imagery courtesy of Spirax Sarco
Slide 37
Non Electric Pressure Powered Pumps have become the state of art method of condensate pumping in industry
today. This type of pump does not require any electrical connections, has no high speed rotating impellers, no
temperature sensitive mechanical seals or large oversized receivers for storage of condensate. The nonelectrical
pressure powered pump can operate on steam, compressed air or any inert gas with pressures up to approx 20
bar g or 300 psig.
Non electric pressure powered pump imagery courtesy of Spirax Sarco
Slide 38
In open atmospheric systems, there are several benefits to using this pumping system. Receivers are not as
large, condensate does not have to cool down before pumping, the pump can be installed directly below heat
exchange equipment and will handle the condensate at 100C or 212F without any cavitation or mechanical
problems. There is still a need for a small receiver to allow steam traps that are discharging into it to sense a
common pressure of 0 bar or psig, so as not to apply any backpressure to any of the steam traps. The
condensate is then pumped back into the boiler house for re-use.
Open atmospheric system imagery courtesy of Spirax Sarco
Slide 39
Industry requirements for more efficient usage of steam energy is demanding that condensate not only be
returned at the highest possible temperatures, but that there are less and less atmospheric vents allowing flash
steam to be lost. To accommodate this need for efficient usage and the need for increasing equipment life
expectancy of all heat exchange equipment, the closed system of removal and recovery of condensate is
becoming the design criteria. In closed systems condensate is removed, recovered at saturation temperatures
and returned directly back to the deaerator in the boiler house.
Closed system imagery courtesy of Spirax Sarco
Slide 40
The return of saturated temperature condensate in this manner allows the boiler house to reduce the steam
demand to the deaerator to re-heat the condensate, reduces the need for more chemicals to be added to the
condensate, and ensures that the heat exchange equipment is kept dry at all times which eliminates corrosion
attack and potential coil freezing. In the majority of applications, these closed systems are dedicated systems to
a single piece of equipment.
Closed system imagery courtesy of Spirax Sarco
Slide 41
Lets summarize some of the information that we have learned in this course. Today, we identified the different
methods of Steam Trap Testing, including:
Visual Testing
Ultrasonic Trap Testing
Temperature Testing, and
Conductivity Testing
Next, we reviewed the considerations and components to identify when selecting and sizing a steam trap, in
particular:
The differential pressure
The size of the discharge orifice, and
The condensate temperature
We also learned that the habitual use of by-pass valves around steam traps can result in significant waste and
loss of steam energy. Furthermore, we discussed how thermostatic type traps cannot release condensate until it
has cooled a set number of degrees below steam temperature, resulting in waterlogging the steam space. There
are, however, a number of occasions when such waterlogging may be perfectly acceptable and even desirable.
The extent to which waterlogging of a steam space can be tolerated is clearly a significant factor in steam trap
selection, as the wrong choice of trap is at the root of many instances of poor plant performance. Additionally,
we learned there are three methods for lifting condensate. They are lifting by Steam Pressure, Electrically Driven
Pumps, and Non Electric Pressure Powered Pumps. Finally, we learned that there is virtually no point in
spending the time and money in creating a highly efficient steam system and then failing to maintain itas
preventative maintenance is a key component in maximizing the performanceas well as extending the life of
your steam trap system.
Slide 42
Slide 43
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Slide 44
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Steam Systems Part VI Transcript

Slide 1: Steam Systems VI
Welcome to Steam Systems VI: Recovering Energy from Flash Steam.
This is the sixth course in the Steam Systems series. If you have not already done so, please take Steam
Systems one through five before taking this course.
Slide 2: Thanks to Spirax-Sarco for Their Support

Slide 3: Welcome
normal play of the course. Click the paperclip icon, to download supplemental information for this course.
Slide 4: Objectives
Explain how flash steam recovery contributes to energy efficiency
Calculate the quantity of available flash steam
Identify ways to recover flash steam
In this series of courses on steam systems we have reviewed a number of key success factors for efficient
operation of steam systems, including correct boiler sizing, selection of working pressure and pipe sizing,
metering of steam, and removal of condensate. Flash steam is another essential topic for the efficient
management of steam.
Slide 6: Reasons for Managing Condensate

Lets review some of the reasons for managing condensate.
Slide 7: Energy Remains in Condensate

When steam condenses, energy is transferred to the cooler material to be heated. This accounts for only
around 75% of the energy supplied in the boiler to produce the steam. The remainder, about 25%, is still
held by the condensed water.
Slide 8: Use as Boiler Feed Water

In addition to having heat content, the condensate is distilled water, which is ideal for use as boiler feed
water. An efficient installation will collect every drop of condensate it economically can, and either:
return it to the deaerator or boiler feed tank, or
use it in the manufacturing process within the plant.
Slide 9: Useful for Low Pressure Steam

Condensate is discharged through steam traps from a higher to a lower pressure. When hot condensate
under pressure is released to a lower pressure, its temperature must drop very quickly in order to reach the
boiling point of the lower pressure. As a result of this drop in pressure, surplus heat is used by the
condensate as latent heat and some of the condensate will then re-evaporate into steam. This is commonly
referred to as flash steam. It is, in fact, perfectly good usable low-pressure steam.
Slide 10: Flash Steam Recovery for Energy Efficient Systems

About half of the energy contained in the condensate could be lost through flash steam. That would be
about 12.5% of the energy originally used at the boiler.
Flash steam recovery is, therefore, an essential part of achieving an energy efficient system.
The proportion that will flash off differs according to the level of pressure reduction between the steam and
condensate sides of the system, but a figure of 10-15% by mass is typical.
Slide 11: Available Flash Steam

The quantity of flash steam available from each pound of condensate can be calculated using this formula:
Percentage Quantity of Flash Steam
= (Sensible Heat at the Higher Pressure - Sensible Heat at the Lower Pressure) Latent Heat at the Lower
Pressure
These sensible and latent heat values are found in common steam tables. Copies of those charts were
provided in Part I of the Steam Systems course series.
If you would like to download a copy of the steam tables, please click the paperclip icon and download the
attachments titled Steam Saturation Table Metric or Steam Saturation Table US.
Click here to see this in metric and click here to see this in US Customary units.
Slide 12: Available Flash Steam - Metric

To simplify this procedure we can use a chart to read off the percentage of flash steam produced by this
pressure drop.
If we had 7 bar g saturated steam/condensate being discharged from a steam trap to an atmospheric,
gravity flow condensate return system at 0 bar g, the flash percentage of the condensate would be 13.4%
of the volume discharged.
Conversely, if we had 1 bar g saturated steam discharging to the same system at 0 bar g atmospheric,
gravity flow return, the percentage of flash steam would be only 3.8% by volume.
Slide 13: Available Flash Steam US units

If we had 100 psig saturated steam/condensate being discharged from a steam trap to an atmospheric,
gravity flow condensate return system at 0 psig, the flash percentage of the condensate would be 13.3% of
the volume discharged.
Conversely, if we had 15 psig saturated steam discharging to the same system at 0 psig atmospheric,
gravity flow return system, the percentage of flash steam would be only 4% by volume.
Slide 14: Relationship of Pressure Upstream and Downstream to the Trap

These examples clearly show that the amount of flash released depends upon the difference between the
pressures upstream and downstream of the trap and the corresponding temperatures of those pressures in
saturated steam. The higher the initial pressure and the lower the flash recovery pressure, the greater the
quantity of flash steam produced.
It must be noted here that the chart is based upon saturated steam pressure/temperature conditions at the
trap inlet, and that the condensate is discharged as rapidly as it appears at the trap. Steam traps that sub
cool the condensate, such as balanced pressure thermostatic and bimetallic traps, hold condensate back in
the system allowing it to give up sensible heat energy and causing it to cool below the saturated steam
temperature for that pressure. Under those circumstances, we must calculate the percentage of flash
steam produced using the formula we looked at previously, but the amount of sub-cooling, in other words
the condensate temperature, must be known before calculating.
Slide 15: Practical Points of Consideration

Before discussing the ways of recovering flash steam and why we want to recover it, there are some
important practical points, which should be noted.
Slide 16: Flash Steam May Look Like Live Steam

First, 1 kg of steam (which is just over 2 lbs for comparison) has a specific volume of 1.7 m3 at atmospheric
pressure. One pound of steam at atmospheric pressure occupies a volume of 26.8 cuft.
The kilo of steam also contains 2,257 kJ of latent heat energy. In the pound of steam there are 970 BTUs.
Based on the percentages we already saw, if a trap discharges 50 kg/hr (100 lb/hr) of condensate from 7
bar g (100 psig) to the atmosphere, the weight of flash steam released will be around 6.7 kg/hr (13.3 lb/hr).
This will appear to be a very large quantity of steam and may well lead to the erroneous conclusion that the
trap has failed open and is passing live steam.
Slide 17: Loss of Flash Steam

Another factor to be considered is that we have just released 6.7 kg/hr or 13.3 lb/hr of water to the
atmosphere that should have gone back to the boiler house for recycling as boiler feed water. Since we just
wasted it, we now have to provide 6.7 kg/hr or 13.3 lb/hr of mains water to the boiler. This water has been
softened, chemically treated, and preheated to the feedwater systems temperature.
In other words, the loss of flash steam means a loss of purified, heated water.
Slide 18: Sizing of Condensate Return Lines

Additionally, the actual formation of flash steam takes place within and downstream of the steam trap orifice
where pressure drop occurs. From this point onward, the condensate return system must be capable of
carrying this flash steam, as well as condensate. Unfortunately, during the past 80 years, condensate return
lines have been sized using water volume only and did not include the flash steam volume that is present.

The specific volume of water at 0 bar is 0.001 m3/kg (a thousandth of a cubic metre per kilogram). Flash
steam at the same pressure would have a volume of 1.7 m3/kg.
In US units, the specific volume of water at 0 psig is 0.016 cuft/lb, compared to 26.8 cuft/lb for flash steam
at the same pressure.
When the flash steam is formed, it takes up more than 1600 times as much space as the condensate water.

Sizing of condensate return lines from trap discharges based totally on water is a gross error and causes
lines to be drastically undersized for the flash steam. This causes condensate lines to become pressurized,
not atmospheric, which, in turn, causes a backpressure to be applied to the traps discharge causing
equipment failure and flooding. This under sizing explains why the majority of 0 bar /0 psig atmospheric
condensate return systems do not operate at 0 bar /0 psig.
Taking this one step further, for those people who perform temperature tests on steam traps to determine if
the trap has failed, the instant we cause a positive pressure to develop in the condensate return system by
flash steam, the condensate return line must follow the pressure/temperature relationship of saturated
steam. So, trap testing by temperature identifies only that we have a return system at a certain temperature
above 100 C (212 F) 0 bar /(0 psig). We can then determine by that temperature the system pressure at
which the return is operating. Elevated condensate return temperatures do not necessarily mean a trap has
failed.
Slide 21: Flash Steam Utilization

In an efficient and economical steam system, this flash steam will be used on any load that will make use of
low-pressure steam. Sometimes it can simply be piped into a low-pressure distribution main for general
use. The ideal is to have a greater demand for low-pressure steam at all times, rather than an available but
unused supply of flash steam. Only as a last resort should steam be vented to the atmosphere and lost.
Slide 22: Requirements for Flash Steam Recovery

If the flash steam is to be recovered and utilized, it obviously has to be separated from the condensate.
This is best achieved by passing the mixture of flash steam and condensate through what is known as a
flash tank or flash vessel. A typical arrangement is shown here.
The size of the vessel has to be designed to allow for a reduced velocity so that the separation of the flash
steam and condensate can be accomplished adequately, in order to avoid carry-over of condensate out into
the flash steam recovery system. This target velocity is three metres per second or ten feet per second to
ensure proper separation. The condensate drops to the bottom of the flash tank where it is removed by a
float and thermostatic steam trap.
A number of basic requirements and considerations have to be met before flash steam recovery is a viable
and economical proposition. Lets take a look at those requirements now.
Slide 23: Sufficient Condensate Supply

First, it is essential to have a sufficient supply of condensate from loads at sufficiently higher pressures to
ensure that enough flash steam will be released to make recovery economically effective. The steam traps,
and the equipment from which they are draining condensate, must be able to function satisfactorily while
accepting the new backpressure applied to them by the flash recovery system.
Slide 24: Suitable Use

The second requirement is a suitable use for low-pressure flash steam. Ideally, a low-pressure load(s)
requires a supply of steam at all times, which either equals or exceeds the available flash steam supply.
The deficit can then be made up through a pressure reducing valve set. If the supply of flash steam
exceeds the demand for it, the surplus may have to be vented to waste through a backpressure relief valve.
Thus it is possible to utilize the flash steam from process condensate on a space heating installation, but
the savings will only be achieved during the heating season. When heating is not required, the recovery
system becomes ineffective.
Wherever possible, the better arrangement is to use flash steam from process condensate to supply
process loads, and flash steam from heating condensate to supply heating loads. Supply and demand are
then more likely to remain in step.
When all else fails, in many facilities there is always a need for hot water, especially in the boiler house.
This can be supplied via a heat exchanger and the use of flash steam.
Slide 25: Utilization Relatively Close to Source

It is also preferable to select an application for the flash steam that is reasonably close in proximity to the
high-pressure condensate source. Piping for low-pressure steam is inevitably of larger diameter. This
makes it somewhat costly to install. Furthermore, the heat loss from large diameter pipes reduces the
benefits obtained from flash steam recovery and, in the worst cases, could outweigh them.
Flash steam recovery is simplest when being recovered from a single piece of equipment that condenses a
large amount of steam, such as a large steam to water converter or a large air handling coil bank. But we
cannot forget that flash steam recovery systems, by design, will apply a backpressure to the equipment that
is being drained or to the flash steam source.
Slide 26: Boiler Blowdown

Another very common area from which flash steam is recovered is boiler blow down. Dissolved solids that
create the need for boiler blow down drop out and will produce usable flash steam and condensate.
Boiler blow down flash steam recovery is a very efficient method for recovery. It is not only a continuous
supply of valuable heat energy to be utilized, but it is in close proximity to an area of definite need. These
areas of need include the boiler feed or deaerator system that demands a constant source of low pressure
heat energy for preheating the boiler make up water supply. This simple installation is shown here.
Slide 27: Multi-Section Air Heating Coils

Another area that works very well in the utilization of flash steam recovery is large multi-section air heating
coils. Often, flash steam can be supplied to a coil added to the system to maximize use of the flash steam
supplied by the primary coils in the system. We can see an example here. This example clearly fulfills the
basic requirements of having a flash steam recovery system that is in step with demand.
Only when air coils are called upon to supply heat does the flash steam recovery system become available,
and it can then be condensed in the first air coil, which is essentially a pre-heater. This simple arrangement
ensures that higher-pressure traps are not subjected to any backpressure on start up of the system.
Slide 28: Vent Condenser on a Receiver

Another method of flash steam recovery is through a vent condenser on a receiver. Flash steam is allowed
to flow up through the condenser (heat exchanger), which has a supply of fluid flowing through it, to capture
the heat energy contained in the flash steam. This type of system is an atmospheric pressure system,
which allows condensate from the flash steam to flow by gravity back into the original condensate receiver.
This provides the user with recovery of heat energy and the complete recovery of all condensate from that
system. It also enables the user to accomplish this without presenting all of the equipment in that system
with any backpressure.
Slide 29: Summary

Lets take a moment to review what we have covered throughout this course:
Condensate is heated, purified water, and therefore has value that we do not want to lose down the drain
About 25% of the energy imparted at the boiler is present in the condensate
When condensate is released through the steam trap from higher to lower pressure, the pressure drop will
cause some of the condensate to reach boiling point and re-evaporate as flash steam
About half the energy in the condensate could be contained in flash steam therefore, flash steam may
contain 12.5% of the energy supplied to the boiler
The proportion that will flash off depends on the pressure drop and can be simply calculated from steam
table data
Flash steam takes up much more volume than condensate
Condensate return systems are frequently undersized, because designers fail to account for flash steam
Flash steam can be used on any load that requires low pressure steam
It can be separated from condensate with a flash vessel and then simply piped into a low-pressure
distribution main
Process loads, space heating, and water heating are example uses
Basic requirements for economical recovery are:
Enough condensate to produce flash steam
A suitable use, which should exceed the supply of flash steam and have any deficit made up from the main
steam supply
An application that has close proximity and matched periods of demand with the flash steam supply

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Thermal Energy Storage

Slide 1
Welcome to Thermal Energy Storage.
Slide 2
Slide 3
Identify drawbacks of conventional air conditioning operation, and advantages of off-peak operation
Describe off-peak operating strategies
List and identify advantages associated with different thermal storage media
Produce rough estimates of the size of different storage requirements
Slide 4
Thermal energy storage is a means of separating supply and demand. It can apply to heating or cooling, but
is most commonly used for cooling systems, and especially air conditioning.
Many thermal energy storage projects are undertaken in order to reduce costs. It may also allow consumers
to benefit from rebates and incentives in their region, reduce the size and cost of equipment, and improve
reliability. Lets see how:
Slide 5
In seasonal climates needs for air conditioning tend to be highest in the summer months, during the
afternoons. In the tropics, demand may be year round, but will still tend to be higher during afternoons. The
load on a buildings air conditioning system can be many times higher in the afternoon than at 2 AM on the
same day.
Unfortunately, this demand pattern brings problems. The first is peak demand costs, and the second is the
ability of the air conditioning equipment to function.
Slide 6
Unless the facility has its own generation, air conditioning usually runs on electricity provided by a power
utility. These power utilities have to be able to cope with the surge in demand on a hot summer afternoon
when many consumers in office buildings, shopping malls, homes, hospitals and schools are all turning up
their air conditioners at the same time. The power utility has to maintain capacity to generate enough
electricity to cope with that peak. For the cool months of the year, that capacity may be unused yet the
power company still has to buy and maintain the generating equipment. Power companies would therefore
prefer it if their customers would avoid using electricity at those common peak times.
Slide 7
If they can dissuade customers from using energy at peak times, they can avoid having to maintain
equipment to meet the full level of demand. The methods commonly used to deter customers from using
energy at peak times is by peak demand charges, and seasonal or time-of-use rates. This is like a
telephone calling plan with lower rates for calls made during evenings and weekends.
Slide 8
If you are being hit with a higher electrical bill because of an air conditioning peak between noon and six PM,
maybe you would prefer to turn off your air conditioner during these hours. But if you cant, because the
building occupants have to be kept comfortable, thermal energy storage could be an option.
Thermal energy storage allows you a different way to avoid using electricity during the peak period. It
stores up cold that you make during off-peak hours, and allows you to use that cooling during the peak. In
a moment well see how.
Slide 9
So we have seen why demand costs are a problem on a hot afternoon. A second problem that is sometimes
discussed is that when you need your air conditioning most, paradoxically it may be at its least effective.
Air conditioning systems need to deal with the temperature of the outside air, and its humidity. An air
conditioner working in a humid jungle-like environment has to work harder than one in a dry desert-like
environment.
The mechanism by which the an air conditioning system cools a building does not have to be discussed
here, but what is of interest is how the system gets rid of the heat removed from the air. Generally, the
system is trying to push the heat outdoors, using processes such as evaporation the same way water
evaporating from your skin on a hot day makes you feel cooler.
However, it is harder to get rid of that heat when it is hot and humid outdoors. So at exactly the time when
your air conditioner has to work the hardest, outdoor conditions are most against it.
Slide 10
Thermal energy storage shifts the cooling load to off-peak hours. Air conditioning systems that incorporate
thermal energy storage are often called OPAC systems, or Off-Peak Air-Conditioning systems.
The key element of an off peak system is a storage medium, such as water, ice or coolant, thats chilled
using low-cost off-peak power in order to use it at a later time to cool air. In other words, make ice or cold
water at night, then use it for cooling during the day. Water storage is often used in large cooling system
applications along with a cogeneration or district energy system. In smaller applications or retrofits, where
physical space is an issue, such as offices, retail, and medical buildings, water-ice storage is common
because latent heat storage (phase change between water and ice) has a smaller volume.
Slide 11
Storing energy like this can save money in a number of different ways. Obviously, the high-cost peak-time
power usage is avoided. Also, with stored cooling capacity, the cooling system doesnt have to cope with
the hottest part of the day in real-time. It may be possible to install a smaller compressor, pumps and pipes.
This may help reduce the initial purchase cost and operating and maintenance costs.
In theory, the thermal energy storage system is functioning at times of day with less outdoor heat and
humidity. Depending on the climate, it should be somewhat easier for the system to get rid of heat to the
outdoors. However, cooling storage systems yield very minor, if any, efficiency improvements. Any
incremental efficiency improvements are almost always offset by additional pumping costs.
Thermal storage is not for customers with unsophisticated maintenance staff. Stored energy always adds
complexity to a system. If maintenance staff don't understand a system, it will almost always result in
inefficient use. Thermal storage systems need to be designed by a competent engineer, taking into account
the total system, and without bias towards the TES solution.
Slide 12
There are two major strategies for using thermal energy storage for off-peak operation. Lets see how they
would apply to an example. Here you see a typical load profile for a building. In US customary units, air
conditioning output is expressed in tons. In metric, it is expressed in kW of refrigeration. A ton is 12,000
BTUs per hour, which is equivalent to just over 3.5 kW of output. For comparison, residential air conditioning
units tend to range from 1 to 5 tons, or 3.5 to 17.5 kW of refrigeration output.
Here we can see the peak load is from noon until 4 pm, and requires 1,000 tons of air conditioning per hour,
or roughly 3,500 kW. Compare this to the load in the early hours of just 250 tons, around 875 kW.
The total daily load can be calculated by multiplying the load of each period by the number of hours. So for
the first period, we have 8 hours of load, times 250 tons or 875 kW. That gives a total of the period of 2,000
ton-hours, or 7,000 kilowatt hours. Over the period of the entire day the total is 13,000 ton-hours, or 45,500
kWh.
In this example, the utility charges peak rates from noon until 8 PM. In your case, different hours may apply.
Slide 13
The first strategy we could apply is load leveling or peak shaving, also known as partial storage. In this case,
the system is set up to operate at a constant load level. At night, the system will work harder than the initial
scenario, and the surplus cooling will be stored. During the day, the system will work at the same rate as the
night, and any load that goes over this threshold is fulfilled by the thermal energy storage, instead of by
increasing the load on the chillers in the air conditioning system.
For this building, which requires 13,000 ton-hours, or 45,500 kWh of cooling per day, the chillers would be
loaded at 13,000 ton-hours divided by 24 hours, which is approximately 542 tons.
45,500 kWh / 24 hours, gives us approximately 1,900 kW
In essence, we would displace the load over the threshold of 542 tons or 1,900 kW to the night time, a total
of just over 2,600 ton-hours or 9,300 kWh.
Generalizing this gives us three key areas on the chart. The majority of the ice or chilled water is made
during the period from midnight to 8 AM. The rest of the day the chillers are supporting air conditioning load.
Then from noon until 8 PM the stored energy is used for any requirements above the threshold for chiller
operation.
Note that the chiller still operates at a load of 542 tons or 1,900 kW during the peak charging period from
noon until 8. So the peak period costs have been reduced, but not eliminated. The savings will depend on
the difference between the peak-period and night rates. The demand charge will be important as well as the
energy charge. To learn more about how these two charges may be applied on your energy bill, please take
our classes on Energy Rate Structures.
For new construction, this method can be very cost effective as it tends to be less expensive up front, and
requires less physical space. However, this method tends to yield lower savings than the second strategy
that we will examine.
Slide 14
The second strategy is load shifting, also known as full storage. In this case, the system is set up to move
all of the peak-period load to the storage system. The chillers in the air conditioning system will not work at
all during peak hours.
Since peak hours are from noon until 8 PM, it follows that the chillers can only work to make cooling from 8
PM until noon the next day. During these 16 hours the chiller must store enough cooling to supply the
needs of the full day.
For this building, which requires 13,000 ton-hours, or 45,500 kWh of cooling per day, the chillers would be
loaded at
13,000 ton-hours divided by 16 hours, giving us approximately 812 tons.
Or 45,500 kWh divided by 16 hours, giving us approximately 2,850 kW
In essence, we would displace all peak-time load to the rest of the day. A total of 7,000 ton-hours or 24,500
kWh has been shifted
This yields two key periods. One where energy storage is taking place and one where that stored energy is
used up.
Once again the savings will depend on the difference between the peak-period and night rates, and the
combination of demand charges and energy charges.
This type of system, which moves all of the peak-time load to off-peak periods, tends to be more expensive
than the other strategy, which just shaves the top off the peak. Clearly, a system which is able to shift all of
the peak-time load will need to be larger, to be able to store more thermal energy for the day. However it
does yield more savings than the load leveling method.
Slide 15
Returning to the load leveling approach, there are possible refinements. Consider a cooler time of year, in
the early summer. Air conditioning is still required to cool the building in the middle part of the day, but the
needs are not so close to the peak capacity of the system.
A strategy that gives priority to the chiller will use the chiller up to the demand threshold, and only use stored
energy for demands over that threshold.
An alternative approach is to give priority to the use of the ice and to make little or no use of the chillers.
Slide 16
Electrical cost savings from off-peak operation can be difficult to determine because, as mentioned, the
utility may have time-of-day peak rates for energy as well as demand charges.
In this example, let us assume that the load profiles we examined when looking at load leveling and load
shifting strategies are a fair representation of the building operation for the hottest month of the year.
Assume there are 31 days in this month.
To work on this problem in metric units, click here. To work on this problem in US customary units, click
here.
Slide 17
The load profiles we reviewed are all based on refrigerant output. In the US, the relationship between
refrigerant output and power input is usually given in kW/ton.
In this example we will use performance of 1.2 kW/ton. This may seem incorrect. A ton-hour of cooling is
12,000 BTU, equivalent to about 3.5 kWh. How could you get 3.5 kWh of cooling for only 1.2 kWh of
electrical energy? The answer is that the cooling effect comes from thermodynamic processes such as
evaporation. Only part of the effect is from input electrical energy.
Since you know the refrigerant output from the system from the load profiles that we looked at earlier you
can calculate the electrical power and energy that is used.
During the summer, the power supplier operates a tariff with a demand charge during the peak period from
noon to 8 PM of 13. The demand charge during off-peak periods is 0. The energy price during peak
periods is 0.15. During off-peak periods, this falls to 0.08.
With the original building operation, 7,000 ton-hours of refrigerant output per day is consumed during peak
hours from noon until 8 PM, and 6,000 ton-hours during off peak hours. The peak demand of refrigerant
output is 1,000 tons.
With the load leveling strategy, the refrigerant output load is the same all day: 542 tons (rounded slightly).
With the load shifting strategy, the refrigerant output load during off-peak hours is 812 tons (rounded
slightly).
Can you calculate the months savings that could result from the two strategies rounded down to the nearest
10,000? If you understand peak demand and energy charges, with the information provided you should be
able to deduce the required calculations. Try it now. If you need a hint to get started, download the "Hints"
sheet from the paperclip icon. Click on 'Continue' when you are ready.
Slide 18
The load profiles we reviewed are all based on refrigerant output. In many countries the relationship
between refrigerant output and energy input is given by the coefficient of performance, or CoP.
CoP = units of heating or cooling
units of input energy
The CoP for this example is 3. That means that for every kWh of input power, the output is 3 kWh of heating
or cooling - in this case cooling.
This may seem incorrect. How can you get 3 kWh of cooling for only 1 kWh of electrical energy? The
answer is that the cooling effect comes from thermodynamic processes such as evaporation. Only part of
the effect is from input electrical energy.
Since you know the refrigerant output from the system from the load profiles that we looked at earlier and
the CoP for this example is 3, you can calculate the electrical power and energy that is used.
input energy = refrigerant output = refrigerant output
CoP
During the summer, the power supplier operates a tariff with a demand charge during the peak period from
noon to 8 PM of 13. The demand charge during off-peak periods is 0. The energy price during peak
periods is 0.15. During off-peak periods, this falls to 0.08.
With the original building operation, 24,500 kWh of refrigerant output per day is consumed during peak
hours from noon until 8 PM, and 21,000 kWh during off-peak hours. The peak demand of refrigerant output
is 3,500 kW.
With the load leveling strategy, the refrigerant output load is the same all day: 1,900 kW (rounded slightly).
With the load shifting strategy, the refrigerant output load during off-peak hours is 2,850 kW (rounded
slightly).
Can you calculate the months savings that could result from the two strategies rounded down to the nearest
10,000? If you understand peak demand and energy charges, with the information provided you should be
able to deduce the required calculations. Try it now. If you need a hint to get started, download the "Hints"
sheet from the paperclip icon. Click on 'Continue' when you are ready.
Slide 19
You should find that
The conventional strategy costs approximately 70,000 for this month.
The load leveling strategy saves approximately 10,000.
The load shifting strategy saves approximately 30,000.
The savings from load shifting are so dramatic because the utility charges 13 per kW during the peak
hours. The peak demand of this system is over 4 MW, and load shifting moves all this demand to times of
day when the demand charge is zero.
Note that this type of calculation is an approximation. A real evaluation would need to take into account
factors such as thermal losses from the storage tanks and the increased requirements of pumping.
To see a worked example of this calculation, download it from the paperclip icon.
Slide 20
These profiles have illustrated some of the conditions that tend to favor thermal energy storage. They are:
High charges for peak demand or time-of-use consumption
High loads during peak periods
Low charges for off-peak demand or consumption
Low air conditioning loads at night
The primary driver in favor of thermal storage is the cost of peak electrical demand.
Thermal storage may help to keep down the size of some components of the air conditioning system. By
displacing loads from peak times of day, the system can be sized for continuous loads rather than peak
loads.
Another factor may be the need to increase the cooling capacity of the system. If the air-conditioning is
operating at close to capacity during the hottest part of the day, it can be extended using thermal energy
storage, instead of increasing its peak capacity.
So the suitability of a site for thermal energy storage will clearly depend on the actual utility costs and usage
patterns in the building.
Obviously, the decision whether to invest in thermal energy storage depends on the cost of the solution as
well as the savings. The evaluation should take into account the life-cycle costs as well as the initial
purchase costs.
Lets see what some of those solutions are.
Slide 21
Two forms of thermal energy storage systems are currently used. The first type of system uses a material
that changes physical state, usually water into ice. The second type changes the temperature of a material usually water - without changing its state.
Slide 22
Chilled water is a rather simple medium. However, water tanks are large and, therefore, need lots of space 4 to 5 times greater than that of ice storage. Typically, water is stored at around 4C equivalent to roughly
40F.
In a chilled water scenario, tank stratification may be necessary to avoid mixing cold water with the warm
return water. Stratification is effectively maintaining layers in the tank, so that cold water is continually drawn
from the coldest part of the tank. Sometimes multiple tanks are necessary, but at the very least, tanks need
to be 20% bigger to accommodate differing water temperatures.
Tanks store 4.187 kJ of energy per kilogram of water for each C of temperature difference between the
cold stored water and the warmer return water. Technically this is normally expressed in Kelvin rather than
degrees Celsius. In US units that is one BTU per pound of water for each degree Fahrenheit of temperature
difference. The efficiency of the chiller equipment will depend on the water temperature settings. At lower
water temperatures, these systems tend to be about 10% to 15% less efficient. In other words a chiller
supplying water at approximately 4C or 40F is less efficient than one supplying water at 7C or 44F.
The amount of energy the tank can store is therefore dependent on the selected operating temperature for
the stored water and the size of the tank.
How big would a chilled water tank be? Lets build on the load shifting strategy we reviewed earlier. To work
on this in US units, click here. To work on this in metric units, click here.
Slide 23
In the load shifting example, we determined that the system must provide 7,000 ton-hours of cooling to
cover the peak period.
We will make the following assumptions and use the following conversion factors:
To obtain the size of the tank, we need first to calculate the total energy required by 7,000 ton-hours of
cooling.
Then we need to find the mass of water required to store that much energy.
Once we know the mass we can calculate the volume occupied by that mass allowing an additional 20% for
higher water temperatures.
Then normally we would look at a tank catalogue to determine the size of a tank that can contain that
volume. For the purposes of this example, we will assume that we have available a cylindrical tank that is 75
feet in diameter. How deep must the tank be? You can download this example from the paperclip icon.
The energy required will be the load needed converted into BTUs as shown.
The mass of chilled water required can be found from this calculation. We can rearrange it like this so that
you can clearly see the units on the top and the bottom of each fraction. See how they cancel out to give us
pounds mass? Take a moment to look at the equation until you feel comfortable with it, then click Play to
continue.
Slide 24
Then the volume can be found simply by converting from pounds mass into gallons and gallons into cubic
feet, adding our 20% allowance.
Slide 25
The formula for the volume of a cylinder looks like this.
Rearranging we can calculate the height of the tank as 30 feet.
Slide 26
In the load shifting example, we determined that the system must provide 24,500 kWh of cooling to cover
the peak period.
We will make the following assumptions and use the following conversion factors:
To obtain the size of the tank, we need first to calculate the total energy required by 24,500 kWh of cooling.
Then we need to find the mass of water required to store that much energy.
Once we know the mass we can calculate the volume occupied by that mass allowing an additional 20% for
higher water temperatures.
Then normally we would look at a tank catalogue to determine the size of a tank that can contain that
volume. For the purposes of this example, we will assume that we have available a cylindrical tank that is 22
metres in diameter. How deep must the tank be? You can download this example from the paperclip icon.
The energy required will be the load needed converted into kilojoules as shown.
The mass of chilled water required can be found from this calculation. We can rearrange it like this so that
you can clearly see the units on the top and the bottom of each fraction. See how they cancel out to give us
kilograms? Take a moment to look at the equation until you feel comfortable with it, then click Play to
continue.
Slide 27
Then the volume can be found simply by converting from kilos into litres and litres into cubic metres, adding
our 20% allowance.
Slide 28
The formula for the volume of a cylinder looks like this.
Rearranging we can calculate the height of the tank as 10 metres.
Slide 29
Ice is a more complex medium, requiring more complex tanks and auxiliary equipment. Storing ice requires
less space and can provide colder air to the building. Ducts and fans can also be smaller in size.
Slide 30
One kilo of ice at 0C absorbs 333 kJ to become 0C water. One pound of ice at 32F absorbs 144 Btu to
become 32F water. Ice storage systems fall into two categories: static (called ice building systems) and
dynamic systems (called ice harvesting systems). Static systems tend to be more compact and are less
costly to maintain. For these reasons, static systems tend to be more popular.
Slide 31
An ice harvester supplies water to refrigerated plates or tubes that are suspended over a storage tank. As
ice forms on the plates or tubes, it is periodically emptied into the tank. Another dynamic system creates
slush-ice by using a water and glycol solution to refrigerate tubes until water in the storage tank is the
consistency of slush. In this case the ice is stored at around 1 degree Celsius (34 degrees Fahrenheit).
Slide 32
An open ice on coil system is a type of static system. Ice forms on refrigerant or brine-filled pipe coils that
are submerged in a water tank. Another variety is a closed or modular ice storage system. In this
configuration, cold brine flows through polyethylene tubes freezing water in the tank.
Its more complex to calculate the size of an ice tank, since it is very dependent on the manufacturers
system. However in general the tank will be 20% to 30% the size of those required for cold water storage.
Solid ice tanks can be about 10% the size of cold water tanks. Ice systems tend to be more complex to
maintain, and consume more chiller energy. Also, the systems that incorporate glycol have increased
pumping costs and reduced chiller capacity.
Slide 33
Eutectic salt is a material which, like ice, relies on the latent heat associated with freezing and melting. One
pound of eutectic salt absorbs 50 BTU to become liquid. A kilo will require 114 kJ. For comparison, a pound
of ice absorbs 144 BTU to become water. A kilo will require 333 kJ. So although eutectic salt tanks are
larger than ice tanks, they need only 30% to 50% of the space needed for chilled water. Eutectic salt melts
in the range 5C - 8C or 41F - 47F, which means that these salts can be used with standard chillers
operating at around 6C or 44F. We said earlier that chillers are less efficient when operated at low
temperatures. Here the advantage is that the chiller can function at its normal working temperature and the
phase change of the salt happens at a higher temperature than that of ice. Hence the power costs are
similar to those of chilled water systems, and less than required for ice. These systems are complex,
although arguably not much more complex than ice, and are only suitable where the correct maintenance
can be supported.
Slide 34
As a rule, you can expect a chilled water tank to be 0.8 to 1.6 cubic metres in size for every 10 kWh of
refrigeration or 10 to 21 cubic feet in size per ton-hour of cooling. An ice tank would be 0.20 to 0.27 cubic
metres in size for every 10 kWh of refrigeration, or 2.4 to 3.3 cubic feet per ton-hour of cooling. A eutectic
salt tank would be around 0.48 cubic metres in size for every 10 kWh of refrigeration, or around 6 cubic feet
per ton-hour of cooling.
Slide 35
Thermal energy storage may also apply to heating. In this case, heat may be stored in hot water tanks,
thermal bricks, building mass and ground couples such as rock beds. If hot-water storage tanks are used,
they may be the same ones as used for chilled water at other times of year.
These heat storage systems are typically electrically charged and thermally discharged. This is because if
the heat source is a fuel such as gas or oil, it will typically be more efficient to store the fuel until the time the
heat is needed, rather than attempt to store up the heat. Electricity is difficult to store, and therefore subject
to demand charges from the utility supplier. This makes storing electrical energy as thermal energy of
interest, while it may not be of interest when the fuel is gas or oil.
Since heating often relies on fuels such as gas and oil, the incentive to reduce electrical demand charges
may not be a driver. Also, most buildings contain many heat sources, such as people and office equipment,
so cooling tends to be more of a concern than heating. For these reasons thermal energy storage is often
more associated with cooling applications.
Thermal energy storage for heating may be more financially appealing if waste heat can be recovered.
Some methods for this can be found in our class on Waste Heat Recovery.
Slide 36
Lets summarize some of the information weve covered throughout the course.
Conventional air conditioning operation requires the system to work at its hardest during the hottest part of
the day. Since many users all require air conditioning at the same time, this creates demand for electrical
power, and can be the most expensive time for demand or consumption charges.
Thermal energy storage displaces the supply of cooling capacity by using low-cost off-peak power to make
chilled water or ice to fulfill daytime demand.
Specific conditions that warrant thermal energy storage are:
High charges for peak demand or consumption
High loads during peak periods
Low time-of-use charges for off-peak demand or consumption
Low air conditioning loads at night
Another factor may be the need to increase the cooling capacity of the system.
The primary driver in favor of thermal storage is the cost of peak electrical demand. Any incremental
efficiency improvements are almost always offset by additional pumping costs.
Tactics for thermal energy storage may include load leveling / partial storage or load shifting / full storage.
Slide 37
Chilled water systems have rather simple architectures but occupy 4 to 5 times the space of chilled ice.
Care must be taken to minimize the mixing of warm return water with the stored cold water. Multiple tanks
may be required for temperature stratification. These systems are less efficient at lower water temperatures.
Popular ice storage methods include ice harvesters, ice on coil, and ice/water slush. Ice storage systems
only require 20% to 30% of tank space compared with chilled water storage. However, tanks, auxiliary
equipment, and maintenance tends to be more complex and glycol required for these chiller systems
increases pumping costs and reduces chiller capacity. Ice storage systems are less efficient than using a
traditional chilled water system.
Eutectic salts are a third type of storage medium.
Thermal storage is not for customers with unsophisticated maintenance staff. Stored energy always adds
complexity to a system. If maintenance staff doesn't understand a system, it will almost always result in
inefficient use.
Slide 38
Strategic Energy Planning

Slide 1
Welcome to Strategic Energy Planning.
This course was produced with the support of the Institute of Energy Professionals and the Carolina
Consulting Group.
Slide 2
For the best viewing results, we recommend that you maximize your browser window now. The screen
Slide 3
Upon completing this course, you will be able to:
Identify fundamentals of effective energy resource utilization.
And, list components of an effective Strategic Energy Plan.
Slide 4
Growing energy prices have wreaked havoc on the profit margins and bottom lines of many industrial
companies. For many businesses, energy was a simple fixed cost: merely a bill to be paid. Increasingly,
energy is among the top costs of many businesses. Just as prudent companies manage component
purchasing, production processes, and customer satisfaction, in todays environment, diligent companies
must pay attention to energy efficiency. Energy efficiency investments have been shown to be relatively low
risk with a high payback. The purpose of this course is to provide an overview of strategic energy planning.
Slide 5
Strategic energy planning is the development of an overall energy resource plan to:
Ensure that necessary energy resources are available,
Make the most cost effective energy decisions.
And, provide for orderly growth in energy consumption and a transition to new fuels or suppliers
when required.
A strategic energy plan will address short- and long-term actions to improve and sustain the energy
efficiency of the facility, define procurement strategy, and provide contingencies for outages, expansions, or
reductions in production and occupancy.
Slide 6
Developing an effective plan requires you to understand the fundamentals of effective energy resource
utilization. Knowledge is power, and unless you know what you use and what you use it for, you will have
little power to influence or control it.
You should:
Know your energy resources and providers.
Understand how each resource is billed.
Evaluate the quality of data available.
And, secure and maintain employee involvement.
Lets explore each of these areas.

Slide 7
There are some simple questions that you can answer by collecting information from your annual energy
bills:
What are the primary energy resources that you use? These could include electricity,
natural gas, light or heavy oil, steam, liquefied petroleum gas or LPG, and even coal or
methane.
And, do you know the composition of your energy costs? What percentage of your spend
is associated with each major source, such as natural gas?
Slide 8
Some other questions might require investigation. You need to know what the largest energy consumers are
in your facility. Is most of your energy consumed by heating and cooling, by lighting, steam, compressed air,
motors, or other process equipment? One way to find out is by using metered data if you have metering
within your facility. Another method is to make a list of the major equipment in your building and estimate its
annual consumption. This could be done by your facility staff, or by an energy professional as part of an
energy auditwell talk more about audits later in this class.
Slide 9
Another interesting question is: are there alternatives for any of these resources? For example, if you are
using natural gas as a primary fuel, such as for a boiler, having an alternative fuel would provide flexibility if
you are on an interruptible rate or if you lose service for some reason. Having an alternative energy source
would provide a back-up to allow you to maintain operations.
You should identify your energy providers and develop relationships with them. Ensure that you have a
primary contact and a secondary backup contact for each resource. Having a relationship with each energy
supplier can provide a number of benefits. They can expeditiously resolve billing inquiries and questions
regarding your service or the companys operating practices. They can also provide information on service
trends, technologies, anticipated cost increases, or other changes. However, it is most critical that you have
a direct point-of-contact when you have a critical supply or disruption issue. Having a secondary contact will
help avoid losing time or access if the primary contact is unavailable.
Slide 10
Each provider will have their own terms and conditions and their own language for talking about energy. You
can learn many of these terms in Energy University classes, for example:
Flat rates and block rates are different ways of structuring electrical and gas bills, which you can
learn about in our Energy Rate Structures class.
The energy value of fuels may be calculated differently depending on whether the higher or lower
heating value is used. You can learn about this in our Energy Units and Concepts class.
Click each button to learn more about terms and conditions.

Electricity Considerations
For electricity, its not just about how much you use, but how fast and when. You should know the
difference between energy and demand, which is another Energy Units and Concepts topic. If your peak
consumption happens to be at the same time as the utility is incurring its maximum requirements for power,
that will be coincident peak demand, and that could be very costly.
Gas Opportunities
For gas, you may have opportunities to benefit from a deregulated market. Do you know the hub or
commodity market price for your gas, compared to the city gate price? Do you know what transportation
charges are? How about the burner tip pricethe price at your point of use? You can learn more about this
in the Energy Procurement classes.
Oil Grade
For oil, do you know the grades of oil that are available and which you are using? The International
Organization for Standardization (ISO) and the ASTM grades for commercial and industrial use are:
Number 2 fuel oil, which is simple light heating oil also used in homes.
Number 4 fuel oil, which is commercial heating oil for burners without preheaters.
Number 5 fuel oil, which is industrial heating oil that needs to be preheated before burning.
And, number 6 fuel oil, which is high-viscosity oil that requires preheating to higher temperatures
than number 5 oil.
Oil may also be described as low sulphur or high sulphur. The sulphur makes a big difference to corrosion
when the oil is burned.
Slide 11
Its essential to understand how each resource is billed to ensure your strategy will be effective. When you
understand the energy rate structures used by your providers, you will be able to interpret the charges
shown on monthly invoices. Depending on the makeup of your energy bill, and the potential for penalties or
improvement, different actions might make a lot of sense, or no sense at all.
By understanding how each energy source is billed, and by monitoring consumption and checking monthly
invoices, you will be able to readily identify incorrect billing.
Slide 12
As you learn about where your energy goes and what it costs you, ask yourself if the quality of data thats
available to you is acceptable. For example, what level of consumption data is available?
From your utility bills, you know the total consumption in each billing period, but you probably dont know
what time of day that energy was usedand that can make a critical difference especially in electrical costs.
With data from the main meter at your plant, you can develop a load profile that shows the demand at
different times of day. But you still may not know which equipment was drawing most of that power, or using
the most gas or steam.
With submetering, you can accurately determine the energy utilization (of power, gas, steam, and more) and
patterns of consumption of major equipment. The results may surprise you, and highlight opportunities to
save.
You can further refine the quality of your consumption data by combining it with other figures and using it for
benchmarking. For example, in a manufacturing facility, you might look at the energy used per unit made. In
a building, you might look at the kilowatt hour (kWh) per occupant, or kWh per square metre or foot. You
can use this type of information to compare years, or to compare with other sites in your portfolio, nearby
similar buildings, or published standards. Our class on Measuring and Benchmarking can tell you more.
In summary, factors such as the type, quantity required, availability of energy sources, the specific end use
applications, and their contribution to energy costs are all important factors for consideration.
Slide 13
Another fundamental success factor is employee or occupant involvement. Employees or people who use
your building are important for a number of reasons. They may have valuable information or ideas for you.
Their behavior makes a big difference to energy consumption. And they have needs that you will need to
recognize and meet as part of your strategy. If occupants are too hot or cold in your building, or employees
cant get their jobs done effectively, business results will suffer and the energy strategy will have backfired.
To secure and maintain occupants and employee involvement inform, involve, and emphasize.
Inform
Keep occupants and employees informed of your actions regarding energy. Depending on the environment,
you can use newsletters, email-bulletins, group meetings, posters, or social media. As your plans develop,
you could build an energy awareness program to educate occupants and employees about energy
consumption and opportunities. Your energy awareness program can include workshops and training, which
lead to people being more involved.
Involve
Often, many of the first energy actions identified by an audit require zero investment in order to start to
provide savings. If your employees know the cost of starting all the motors in the same 15-minute interval,
they will be more likely to remember not to do it. If occupants understand how they can interact with the
facility staff to achieve a comfortable work setting, they will be less likely to open windows and lose heat or
conditioned air. Simple actions such as labels near switches can be very effective. If people know that you
are actively working to reduce energy bills, they may contribute information or ideas of which you may never
have been aware. Generally speaking, operators and building occupants are an excellent source for energysaving ideas and initiatives
Emphasize
You can add emphasis to employee involvement in a number of ways. Periodic competitions or awards can
be a good idea. For example, give an award for the best energy-saving ideas, or for the college dormitory
with the lowest consumption per student. Your efforts will be reinforced if there are regular updates
describing the progress towards goals and publicizing successes. A recognizable logo or theme for your
energy program can help to unify effort and maintain momentum.
Slide 14
In summary, the fundamentals of effective energy resource utilization are:
Know your energy resource and providers.
Evaluate the quality of data available.
You can use these fundamentals to develop an effective Strategic Energy Plan.
Slide 15
An effective Strategic Energy Plan will include a number of components, particularly:
Responsibilities.
Goals and commitment.
Situation evaluation and benchmarking.
Audits.
Action plans.
Contingency plans.
And, participation plans.
Slide 16
It is essential to assign the responsibility for energy usage to someone. This position is commonly referred
to as the Energy Manager. The Energy Manager should have a thorough understanding of the
requirements of the operation, and a fundamental grasp of energy issues. The Energy Manager does not
have to be an engineer. This position requires a reasonable understanding of technical issues and, above
all, an interest in energy. With these qualities the Energy Manager will be able to manage the overall energy
picture, and draw on deeper knowledge from experts as and when needed.
The Energy Manager should be supported by an Energy Committee. The purpose of the committee is to
assist in the development of the plan, support its implementation, and help with continuing refinement. The
committee members are those who will ensure that necessary actions are carried into all the relevant parts
of the business or building. Therefore, the Energy Committee members should represent all the sectors of
the plant or site, for example, production, maintenance, purchasing, and human resources.
Slide 17
Click each of the commitments required of management and the Energy Committee to learn more.
Define Clear Goals
One of the tasks for the Energy Committee is to define the goals: for example, a 5% annual reduction in
energy costs. The goals set by the Energy Committee can be further refined as more information comes to
light about the potential. It is important to set a realistic and achievable goal for the program. Achieving the
programs goal will establish credibility, on which the Energy Committee can develop other more aggressive
initiatives.
Management Commitment
As with any important process, from quality assurance to health and safety, there is no substitute for
management commitment. Senior management must commit to support the committee, to adequately
resource and fund it to achieve its goals, and to carry out the actions that are required to demonstrate that
commitment. These actions typically include
communicating key messages,
modeling desired behaviors in their own actions or offices, and
reinforcing expectations by setting personal goals, rewards and penalties to align with the energy
objectives.
It is not necessary for senior management to attend Energy Committee meetings in person, provided that
their support is visibly demonstrated.
Clear Policy Development
In particular management should establish a clear policy for evaluating the energy costs of new acquisitions,
including equipment and new buildings. The initial purchase cost isnt the only thing that should be
evaluated. The total cost of ownership including the lifetime energy costs and maintenance costs should
always be evaluated.
Slide 18
Strategic planning should start with an open and honest evaluation of the current situation, which can
include the following:
Consider past energy initiatives, successes and failures. What can be learned from them?
Assess the energy expertise available within the committee and within the company.
Review your grasp of the fundamentals that were explored earlier. Evaluate what
additional expertise may be required, and plan how to develop it. This could include
learning more about key energy-consuming systems in the building, energy rate analysis
and procurement, or how to measure and monitor consumption. Other skills such as
project management will also be of value.
And, address the fundamental of data quality. What data is available to you? Is it reliable?
Is additional data required?
Compile the data that is available, including benchmarks of usage and cost, and define the additional
requirements.
Slide 19
The four simple steps of an energy program start with audit and measurement.
Some organizations prefer to call this an energy assessment, to avoid any negative connotations
from other audit types. The available energy data should be analyzed to identify potential
opportunities. A site audit will thoroughly check the energy-consuming systems of the business or
building. To learn more about what you can expect during an audit, and how to prepare for it to
maximize the benefit, take our Energy Audits class.
This section of the strategic plan should identify the scope and frequency of audits and the overall
approach. For a simple plan involving one building, it would be sufficient to list the systems that will
be or were audited, the date the last audit took place, and the planned date of the next audit; for
example, conducting another audit in three years. The approach will record whether the audit was
carried out by internal staff or contracted to a professional external auditor.
For a larger strategic plan involving a portfolio of sites, an audit schedule should be determined,
identifying which sites will be audited and when. With a three-year rolling schedule, one-third of the
sites will be audited each year.
Following the audit, initially, you should focus on the low hanging fruitthe opportunities that can
be addressed with zero or low cost. These will often be behavioral changes requiring some
education for users, or adjustments to the settings of existing equipment or controls. These types
of actions allow you to achieve success and start to realize savings quickly with minimal costs. This
establishes the credibility of the program and helps to increase the commitment and support for it.
It also begins a virtuous circle, because the first savings can be re-invested and used for other
projects.
Low hanging fruit may often be found in lighting; heating, ventilating, and air conditioning (HVAC)
systems; compressed air systems; and AC motors. Energy University classes on strategies for
your type of business can help to identify where the energy hogs are likely to be in your facility, and
what impact they have on your bottom line. Other classes will help you to recognize the
opportunities in each area, and to prioritize them and select and acquire solutions.
Slide 20
Following an energy audit, the next step is to fix the basics with passive energy efficiency. Passive
energy efficiency involves using materials or equipment that are designed to inherently consume
less energy. They are described as passive because once installed, they function silently to
achieve savings. Examples include:
Improving the efficiency of lighting fixtures.
Improving the efficiency of lamps and electronic ballasts.
Installing efficient motors.
Implementing more efficient HVAC equipment, such as belt drive air handlers.
Switching to cogged belts can save 2 percent to 3 percent of energy. Synchronous
belts can save even more. This applies to other types of motors as well.
Fixing compressed air leaks. Compressed air is a very costly utility. See our
Maintenance for Energy Efficient Facilities class to see examples of the cost of
compressed air leaks.
Fixing insulation, on steam pipes for example.
Eliminating penalties from energy bills. If you are paying penalties for power factor
correction, a capacitor bank may eliminate those charges.
Addressing power quality issues, which can be a general source of inefficiencies.

Harmonics, nuisance tripping, and disruption to the electrical network all contribute
to downtime and lost energy.
And, establishing procurement policies that assure energy efficient products will be
purchased in future.
Slide 21
A well-rounded energy program will not only fix the basics with passive energy efficiency, but will
maximise and sustain savings with active energy efficiency. Active energy efficiency seeks to use
energy more intelligently. A high efficiency lamp is still wasting energy if it is on when its not
needed. Active energy efficiency starts with automation and regulation, such as:
Implementing lighting controls, such as occupancy sensors, timed switches, and

daylight detection.
Adding HVAC controls, such as programmable thermostats and equipment such

as economizers that function to cool or heat the minimum amount of air required.
Reconfiguring HVAC systems, which can reduce the amount of outside air brought
into the building. Outside air is costly because it usually has to be heated, cooled,
or dehumidified. Keeping outside air to the minimum required for adequate
ventilation is a good source of savings, especially during unoccupied periods.
Reducing compressed air pressure to the lowest acceptable level. For every 14
kilopascals (kPa) or 2 pounds per square inch (PSI) reduction in the compressor
discharge pressure, there is a 1 percent saving in power consumption, and
reduced pressure also reduces leaks.
Implementing automatic start-stop controls for air compressors.
Setting variable speed drives for motors, including those running pumps and fans.
And, building automation systems to improve scheduling and monitoring of utilities

such as lighting and HVAC.
Slide 22
Active energy efficiency also requires us to monitor, maintain, and continue to improve. Active
energy efficiency includes:
Performing preventive maintenance such as keeping lights clean, changing filters

when required, and keeping equipment in optimum working order.
Eliminating inappropriate uses of energy, such as using compressed air when low
pressure blowers could be used instead.
Optimizing energy procurement; for example, if you have several facilities within
the same utility service area, you may be able to consolidate accounts to achieve
a better rate.
And, implementing submetering on key energy-using equipment, because you

can't manage what you don't measure. It is essential to monitor the effect of the
actions that are taken and ensure they are sustained over time.
Slide 23
Active energy efficiency also requires us to monitor, maintain, and continue to improve. Active
energy efficiency includes:
Performing preventive maintenance such as keeping lights clean, changing filters

when required, and keeping equipment in optimum working order.
Eliminating inappropriate uses of energy, such as using compressed air when low
pressure blowers could be used instead.
Optimizing energy procurement; for example, if you have several facilities within
the same utility service area, you may be able to consolidate accounts to achieve
a better rate.
And, implementing submetering on key energy-using equipment, because you

can't manage what you don't measure. It is essential to monitor the effect of the
actions that are taken and ensure they are sustained over time.
Slide 24
The role that monitoring can play is clearly illustrated in this chart from Lawrence Berkeley National
Labs.
Here, the top line of the chart shows the business-as-usual situation faced by a building operator.
The load is gradually increasing and so are the costs.
This red area shows the benefits that conventional recommissioning can bring. Periodically, the
systems of the building are adjusted and savings are realized, but those savings start to leak away
again over time.
The green area shows additional savings resulting from bringing in monitoring-based
commissioning. Notice that the line still has a sawtooth shape, but each tooth is much smaller,
since the monitoring activity notices deviations and corrects them faster.
The use of monitoring itself during the commissioning activity helps to find new areas where
savings can be made, shown in gold.
The strategic plan should define the key performance indicators for monitoring energy for the
organization as a whole and for individual sites.
Slide 25
The role that monitoring can play is clearly illustrated in this chart from Lawrence Berkeley National
Labs.
Here, the top line of the chart shows the business-as-usual situation faced by a building operator.
The load is gradually increasing and so are the costs.
This red area shows the benefits that conventional recommissioning can bring. Periodically, the
systems of the building are adjusted and savings are realized, but those savings start to leak away
again over time.
The green area shows additional savings resulting from bringing in monitoring-based
commissioning. Notice that the line still has a sawtooth shape, but each tooth is much smaller,
since the monitoring activity notices deviations and corrects them faster.
The use of monitoring itself during the commissioning activity helps to find new areas where
savings can be made, shown in gold.
The strategic plan should define the key performance indicators for monitoring energy for the
organization as a whole and for individual sites.
Slide 26
The Strategic Energy Plan should deal with contingencies for the situations that are either likely to
arise, or those with a high probability, or situations that will be damaging to business if they do
arise, meaning those with high impact.
Click each of the contingency plans to learn more.
What to do in the event of an energy curtailment. Are there non-critical processes

that can be turned off? Is there standby generation for the critical processes that
must be maintained?
How to manage future energy needs. Are the energy requirements of the plant
expected to remain the same, or are they expected to fall or rise? What would the
impact of a 5 percent increase in price? Ten percent? Twenty percent? What is
your procurement strategy to deal with future energy needs?
Natural disasters. How will your plant function if utility supplies are cut off for days
or weeks rather than hours?
Facility expansions. How would increasing the size of the facility affect its energy
infrastructure? Is there a clear policy for evaluating the energy costs of new
equipment or new structures? The total cost of ownership including the lifetime
energy costs and maintenance costs should always be evaluated; do not include
only the initial purchase cost.
Production or occupancy cutbacks. Is the energy infrastructure scalable? Could

parts of the building be mothballed, or some equipment be shut down? Large
equipment like boilers and chillers do not function efficiently at low load levels. If
your site may have varying needs in the future, it could be wise to have several
smaller units rather than one large one.
Emissions regulations and alternative fuels. Is the plant at risk of penalties if

stricter emissions regulations or carbon tariffs are introduced? What alternative
fuels might be used? What opportunities are available in terms of incentives or
rebates?
Slide 27
One of the fundamentals of effective energy resource utilization is to secure and maintain
employee involvement. The Strategic Energy Plan should describe how this should be achieved,
including plans for:
Energy awareness programs, including initial and continuing communications.
Energy training.
Recognizing and rewarding success.
And, demonstrating senior management commitment.
Slide 28
Documenting the plan is important to ensure continuity and sustainability. The plan should be brief
and simple (ideally less than 10 pages, the shorter the better) and lay out the goals, objectives, and
guidelines. Its not necessary to go into details of employee policies related to energy efficiency.
That detail can be covered elsewhere.
Planning effort will be wasted if the plan is not well executed. Ensure that results are tracked and
reported regularly. The program experiences should be periodically captured by updating the
guidelines.
Periodically, the plan should be revised to take into account changes and new information.
Slide 29
A Strategic Energy Plan is vital to assure long-term energy continuity, optimal use of resources,
and managed energy costs.
The fundamentals of effective energy resource utilization are:
Know your energy resources and providers.
Evaluate the quality of available data.
Using these fundamentals, an effective Strategic Energy Plan can be developed, which will include
sections describing the following:
Responsibilities for the Energy Manager and Energy Committee.
Goals and commitments, in particular to energy-aware purchasing behavior for equipment

based on total cost of ownership and not only initial cost.
Situation evaluations and benchmarking, including the analysis of available energy data.
Specific plans for energy audits or assessments at sites.
Action plans, both low hanging fruit and longer-term capital actions:
Actions to fix the basics with passive energy efficiency, including actions on energy
procurement.
Actions to lock in and increase savings with automation and regulation.
Actions to sustain savings through maintenance and monitoring, including definition of key
performance indicators.
The budget, schedule, and accountability for energy actions.
Cross-functional participation in the Energy Committee and visible management support are key
success factors.
Slide 30
Energy University
Energy Codes and Standards
Transcript
Slide 1
Welcome to US Energy Codes and Standards.
Today, we will discuss the codes and standards that influence and mandate energy usage in the
United States.
Slide 2
For best viewing results, we recommend that you maximize your browser window now. The
screen controls allow you to navigate through the eLearning experience. Using your browser
controls may disrupt the normal play of the course. Click the paperclip icon to download
supplemental information for this course. Click the Notes tab to read a transcript of the narration.
Slide 3
Describe the difference between an energy code and an energy standard

Give some examples of the impact that codes and standards for lighting levels, ventilation and
other areas have on energy efficiency, and
Explain how laws contribute to the creation of codes and encourage energy-efficient investment
and behavior
Slide 4
Energy-efficient buildings and products offer economic and environmental benefits. They diminish
energy expenditures and environmental pollutants caused by consuming fossil fuels. They also
help highlight economic opportunities for business and industry by promoting new energy efficient
technologies.
Unfortunately, the marketplace does not promise energy-efficient design and construction. Short
term strategies tend towards the lowest initial cost, ignoring the long-term energy costs that may
be many times greater. Those who construct buildings and products often do not have to pay the
cost of operating them, and occupants and buyers are not always well informed on the total cost
of ownership.
Slide 5
Energy University
Transcript
Did you know?
Buildings represent 38.9% of U.S. primary energy use (includes fuel input for production) [i]
Buildings are one of the heaviest consumers of natural resources and account for a significant
portion of the greenhouse gas emissions that affect climate change. In the U.S., buildings
account for 38% of all CO2 emissions [ii]
Buildings represent 72% of U.S electricity consumption [iii]
Since high levels of energy consumption contribute to climate change, pollution, and national
security issues, there are good reasons to enforce and promote energy efficiency. Energy codes
and standards play a fundamental role by setting minimum requirements for energy-efficient
design and construction. They provide standardized requirements for new buildings and products
as well as additions and renovations.
This course seeks to define the difference between an energy code and an energy standard, and
explores specific codes and standards for lighting, ventilation and other relevant areas, while
identifying the laws and international codes that govern them.
[i]
Environmental Information Administration (2008). EIA Annual Energy Outlook.
[ii]
Energy Information Administration (2008). Assumptions to the Annual Energy Outlook.
[iii]
Environmental Information Administration (2008). EIA Annual Energy Outlook.
Slide 6
What is a code? Codes specify how buildings must be constructed or perform and are written in
mandatory, enforceable language. States or local governments adopt and enforce energy codes
for their jurisdictions.
What is a standard? Standards describe how buildings shall be constructed to save energy cost
effectively. They are published by national organizations such as the American Society of Heating
Refrigeration and Air-Conditioning Engineers, also known as ASHRAE. They are not mandatory,
but serve as national recommendations, with some variation for regional climate. Standards
become mandatory when state and local jurisdictions adopt them as their energy code.
State and local government often use energy standards as the technical basis for developing their
energy codes. Some energy standards are written in mandatory enforceable language making it
Energy University
Transcript
easy for jurisdictions to incorporate the provision of energy standards directly into their laws or
regulations.
Lets talk a bit more about energy legislation and how it has influenced the creation of codes.
Slide 7
There are several specific laws that define energy efficiency policies. Well start with Energy
Policy Act 1992 (EPACT 92).
The Energy Policy Act 1992 (EPACT 92) addresses energy efficiency, energy conservation and
energy management, natural gas imports and exports, and alternative fuels. It requires certain
federal fleets to acquire alternative fuel vehicles, using electric motors, radioactive waste, coal
power and clean coal, or renewable energy. EPACT 92 is far reaching, impacting electric power
deregulation, building codes and new energy efficient products.
Some provisions of this law include:

Required states to establish more stringent building energy codes
Established minimum efficiency standards for commercial size HVAC equipment, electric motors
and lamps
Requested private sector to establish standards for windows, office equipment, and luminaries. If
they failed to do so, the Department of Energy would impose such standards
Allowed federal agencies to sign long term performance contracts up to 25 years. This was
significant because it allowed Federal Agencies to take a long-term view on energy efficiency and
not be forced into short-term compromises
Required federal facilities to install by January 1, 2005 all energy and water conservation
measures with payback periods less than 10 years
Slide 8
The Energy Policy Act of 2005 (EPACT 2005) updated or suspended many, but not all, of the
requirements of EPACT 1992. (See the US DOE Energy Efficiency and Renewable Energy
(EERE) web resources for full details). In an attempt to combat growing energy problems, this
act changed US energy policy by providing tax incentives and loan guarantees for energy
production of various types. This reduced barriers to investment.
Energy University
Transcript
Some provisions of this law include:
Authorizes loan guarantees for "innovative technologies" that avoid greenhouse gases, which
might include advanced nuclear reactor designs as well as clean coal and renewable energy
Provides tax benefits for those making energy conservation improvements to their homes
Increases the amount of biofuel (usually ethanol) that must be mixed with gasoline sold in the
United States to 4 billion gallons by 2006, 6.1 billion gallons by 2009 and 7.5 billion gallons by
2012
EPACT 2005 and the DOE establish ASHRAE Standard 90.1 as the minimum stringent energy
standard that states must adopt. Well learn more about ASHRAE Standard 90.1 a little later in
this course.
Slide 9
Next, lets address the Energy Independence and Security Act of 2007 (EISA of 2007).
Key provisions for this law in the energy security category include:
Increased Corporate Average Fuel Economy (CAFE) standards. Auto makers are required to
boost fleet-wide gas mileage to 35 mpg (14.8 km/l) by 2020. This applies to all passenger
automobiles, including "light trucks".
Required vehicle technology and transportation electrification. Incentives for the development of
plug-in hybrids.
Taxpayer funding for increased production of biofuels. The total amount of biofuels added to
gasoline is required to increase to 36 billion gallons by 2022, from 4.7 billion gallons in 2007. The
Energy Act further specifies that 21 billion gallons of the 2022 total must be derived from noncornstarch products (e.g. sugar or cellulose).
Slide 10
In the energy savings category:
Includes revised standards for appliances and lighting
Requires roughly 25 percent greater efficiency for light bulbs, phased in from 2012 through 2014.
This effectively bans the sale of most incandescent light bulbs. Various specialty bulbs, including
appliance bulbs, colored lights, and 3-way bulbs, are exempt from these requirements.
Requires roughly 200 percent greater efficiency for light bulbs, or similar energy savings, by 2020
New initiatives for promoting conservation in buildings and industry
Energy University
Transcript
Requires all lighting in Federal buildings to use Energy Star products
New standards and grants for promoting efficiency in government and public institutions. New
and renovated federal buildings must reduce fossil fuel use by 55% (from 2003 levels) by 2010,
and 80% by 2020. All new federal buildings must be carbon-neutral by 2030.
Other provisions include:

Taxpayer funding of research and development of solar energy, geothermal energy, and marine
and hydrokinetic renewable energy technologies
Green jobs Creation of a training program for "Energy Efficiency and Renewable Energy
Workers"
Small business energy programs, offering small business loans toward energy efficiency
improvements
SMART grid Modernization of the electricity grid to improve reliability and efficiency
Sllide 11
The American Recovery and Reinvestment Act of January 2009 (also known as the Recovery
Act) provided more than $25 billion for energy efficiency programs and billions more for potential
energy efficiency projects. All 50 states and six territories are participating in the Recovery Act
program. The act funded five core programs:
Appliance Rebate Program

Energy Efficiency and Conservation and Block Grant Program
State Energy Program
Weatherization Assistance Program
Federal High Performance Green Buildings
Reference:
The Alliance to Save Energy, 2009
http://ase.org/
Slide 12
Of particular interest to codes and standards is the Energy Efficiency and Conservation and Block
Grant Program. This provided $2.7 billion for formula grants to 2300 eligible states, territories,
and local governments for the development and implementation of projects to improve municipal
Energy University
Transcript
energy efficiency and reduce energy consumption. Most common applications include
development of a state or local energy efficiency and conservation strategy, building energy
audits and retrofits, building code development and inspection, and transportation improvements
such as the installation of LED traffic signals and street lights.
As of March 2010, the State Energy Program provided $3.1 billion in grants to support State
Energy Offices carrying out their own renewable energy and energy efficiency programs. This
funding also required each governor to pledge improvements in state building code adoption and
utility incentives for energy efficiency.
$4.5 billion was provided to the General Services Administration (GSA) to convert federal facilities
into High-Performance Green Buildings. GSA will use this funding to reduce water and energy
consumption and install renewable energy in 240 federal buildings in all 50 states, the District of
Columbia and two territories.
Click the paperclip icon to download a copy of a summary based on H.R. 1, the American
Recovery and Reinvestment Act of 2009, as signed into law by President Barack Obama on
February 17, 2009 (Updated 02-25-2009).
Reference:
The Alliance to Save Energy, 2009
http://ase.org/
Slide 13
The American Clean Energy and Security Act of June 2009 (known as ACES) followed the ARRA
act and combines standards and incentives to promote clean energy and energy efficiency
technologies with a firm cap on greenhouse gas emissions. The act has several parts. The
efficiency and renewable electricity standard requires that a percentage of electricity production
from retail electric suppliers that annually sell more than 4,000,000 MWh be met by renewable
sources or offset by efficiency programs. The percentage starts at 6% in 2012, increasing by
3.5% every other year to reach 20% in 2020, and continuing at 20% until 2039. At least three
quarters of that percentage must be from renewable sources, unless the governor of a state (or
the DC mayor) requests that up to two-fifths (40%) of the requirement for production in that state
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be achieved by efficiency programs. Savings achieved due to building codes or mandatory
appliance and equipment efficiency standards could not be counted for this requirement.
The act also requires that from 2012, 6 percent of the federal governments electricity
consumption be generated by renewable resources. This rises gradually to a 20 percent standard
in 2020 and remains at that level through 2049. Clean transportation is also addressed, including
requirements for utilities to develop a plan to support plug-in electric vehicles, a DoE program
providing assistance in state deployment and to automobile manufacturers. In the provisions for
State Energy and Environment Development Accounts, emissions allowances and funds are
defined for a variety of energy efficiency programs related to buildings, renewable energy and the
smart grid.
Slide 14
Other provisions establish national energy efficiency building codes for homes and commercial
buildings, with independent code-setting organizations developing the codes and state and local
governments adopting and enforcing them, with DOE assistance. It sets targets for the codes of
30% savings by one year after enactment, 50% savings by the end of 2014 for residential
buildings and 2015 for commercial buildings, and 5% additional savings every three years
thereafter through 2029 and 2030 respectively, compared to a baseline of the 2006 International
Energy Conservation Code for homes and American Society of Heating, Refrigerating and AirConditioning Engineers Standard 90.1-2004 for commercial buildings. DOE can raise or lower the
targets to achieve the maximum level of energy efficiency that is technically feasible and life-cycle
cost effective. If a code-setting organization such as the International Code Council or ASHRAE
develops a code that meets the target by the deadline, the DOE would adopt it; otherwise the
DOE sets the code. The DOE is to provide technical and financial assistance to the code-setting
organizations.
Slide 15
States are required within one year of a revision of a national code to adopt the national code,
update their building code to achieve at least as much energy savings, or show that local
governments in the state have done so. In any jurisdiction where neither the state nor a local
government has adopted such a code within a year, the national code is made the applicable
energy efficiency building code.
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States or local governments are to implement and enforce the energy codes. States are to
demonstrate within two years after adoption of a code that at least 90% of new and renovated
building space in the state in the preceding year meets the code requirements, including
documentation of the rate of compliance. For seven years after enactment states can document
instead that they are making progress to better compliance, and that at least 50% of covered
building space meets the code requirements.
Further provisions deal with building retrofits, energy efficient manufactured homes, building
energy performance labeling, lighting, and appliance energy efficiency programs.
The act also deals with industrial energy efficiency. It directs the DOE to work with the American
National Standards Institute on the development of and participation in a certification program for
industrial plant energy efficiency. An awards program will be developed for innovative waste heat
recovery programs. Programs to increase awareness and deployment of efficiency motors are
also required.
Slide 16
The American Clean Energy Leadership Act of 2009 (ACELA) is a counterpart bill to the ACES
bill, and deals with similar topics.
Further details on these bills is available from the Alliance to Save Energy. If you wish, you can
click the link to access their site. http://ase.org/content/article/detail/5971
Slide 17
The laws that we just discussed include many provisions that had direct impact on the federal
government.
According to the Alliance to Save Energy, the Federal Government is the nation's largest energy
consumer, with:
1.6% of US energy use
Approximately a $10 billion energy budget, and
44% for buildings and facilities (non mobile)
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The Federal Government is also the single largest product purchaser, with $6 billion spent for
energy using products, vehicles and equipment.
Slide 18
Clearly, the Federal sector has a tremendous opportunity and a clear responsibility to lead by
example.
To support this, the Federal Energy Management Program (FEMP) was created to facilitate the
Federal Government's implementation of sound, cost-effective energy management and
investment practices to enhance the nation's energy security and environmental stewardship.
This is delivered through project transaction services, applied technology services, and decision
support services.
Project transaction services means that the FEMP will help federal agencies to identify, obtain
and implement alternative financing such as performance contracts and power purchasing
agreements. Applied technology services means that they help agencies create and implement
sustainable designs. Decision support services means that they help agencies comply with
relevant regulations and laws.
If you wish, click the paperclip icon for a summary of the major energy bill provisions affecting
Federal Energy Managers. (Reference for download: US Department of Energy,
http://www1.eere.energy.gov/femp/pdfs/epact05_fem_chart.pdf)
Slide 19
Those laws also established tax provisions which are important benefits for businesses and
consumers adopting energy efficiency. Here are just a few.
There are tax credits for:

Residential solar photovoltaic and hot water heating systems
Highly-efficient new homes
Improvements to existing homes, including high efficiency air conditioners and equipment
Residential fuel cell systems
Fuel cell micro turbines used in a business
There are tax deductions for:
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Highly efficient commercial buildings
Did you know? Tax credits and tax deductions are significantly different.
A tax credit is better. It reduces your taxes dollar for dollar. A $5000 tax credit saves you $5000.
A tax deduction comes off the amount you are taxed on, and then you pay tax on the remainder.
The tax rate will determine the actual saving. If the required tax percentage is 35%, you will save
35% of 5000, or $1750.
To learn more about important tax benefits, you can visit the U.S. Department of Energys
website (http://www.energy.gov/taxbreaks.htm)
Slide 20
Now that we have explored the topic of energy legislation, lets move forward and discuss some
specific energy codes and standards. Well discuss:
The International Energy Conservation Code (IECC)
ASHRAE Standard 90.1 (Energy Standard for Buildings Except Low-Rise Residential Buildings)
ASHRAE Standard 62 .1 (Ventilation for Acceptable Indoor Air Quality)
ASHRAE Standard 55 (Thermal Environment Conditions for Human Occupancy)
Its important to be aware of these standards because they demand certain energy-efficiency
practices, but also set performance requirements that limit some energy actions.
Slide 21
First, well review The International Energy Conservation Code (IECC). This is published by the
International Code Council (ICC) to provide a model for other authorities to define their codes. It
encourages energy conservation through efficiency in envelope design, mechanical systems,
lighting systems and the use of new materials and techniques. It defines different climate zones
to allow the model to be well adapted to the locality, which may be further adapted by state and
local governments to reflect regional building practices.
Slide 22
Next, we will talk about ASHRAE 90.1.
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As we learned earlier, ASHRAE stands for American Society of Heating Refrigeration and AirConditioning Engineers, and they publish several standards. Regarding buildings, there are two
of particular importance:
ASHRAE 90.1 for commercial buildings, and
ASHRAE 90.2 for residential buildings
States use ASHRAE 90.1 or the IECC as the basis for the energy component of their building
codes, but use the IECC standard for their residential codes. It is important to note that ASHRAE
90.1 is a standard; it doesn't become a code until it is adopted by a local authority.
For example, the Code of Federal Regulation (10 CFR 435) specifies the requirement for the
Federal sector to use ASHRAE 90.1 as the mandatory standard for new nonresidential federal
buildings.
Slide 23
Lets take a look at ASHRAE Standard 90.1 2007.
This standard deals with a variety of building components and systems that affect energy use.
This includes the building envelope, motors, lighting, water heating, HVAC systems and
equipment, and power. Each is described in a technical section giving general requirements and
mandatory provisions. Some sections also include prescriptive compliance paths.
Here are some examples of the ASHRAE Standard 90.1 content:

Maximum lighting power allowance (W/ft ) for the building is established
Interior and exterior lighting control is required
Minimum insulation requirements are established
Minimum energy efficiency performance of equipment, such as HVAC and service water heating,
is established
Areas are defined where measures are to be taken to prevent air leakage
Slide 24
Standard 90.1 permits building designers to make tradeoffs, and evaluates the effects using a
technique called the Energy Cost Budget Method (ECB). Some requirements of 90.1 are
mandatory, but for some, a designer could implement a measure of lower effectiveness than the
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prescribed requirement, while implementing other measures that exceed the prescribed
requirements (for example, windows versus lighting). To prove that the overall design is just as
energy efficient as a design that does fulfill all the prescribed elements, (i.e. minimum energy
efficiency levels have been met), the design has to be modeled using simulation software.
Programs such as BLAST or DOE-2 meet the minimum requirements for the simulation software
defined by the standard. Next, lets talk about the importance of the management of indoor air
quality.
Slide 25
Why do we need to manage Indoor Air Quality (IAQ)? We manage it:
To ensure that occupants have a comfortable, healthy and productive environment
To manage any risks or corporate liabilities that may result
To comply with codes
To maintain property in good order
And to be sure we achieve all of the above mindful of energy consumption and operating costs
Lets take a look at the ASHRAE Standards related to IAQ.
Slide 26
First, well address ASHRAE Standard 62.1. The purpose of ASHRAE Standard 62.1 is to specify
minimum ventilation rates and indoor air quality that will be acceptable to human occupants and
are intended to minimize the potential for adverse health effects. Air quality can be affected by a
range of contaminants: chemicals from industrial processes or exuded from carpets and
furnishings, physical contaminants such as dust and fibers, and biological contaminants such as
those breathed out by the building occupants.
How does the standard define acceptable indoor air quality? It is air in which there are no known
contaminants at harmful concentrations as determined by cognizant authorities and with which a
substantial majority 80% or more of those exposed do not express dissatisfaction.
What is the scope of ASHRAE Standard 62.1? It applies to all indoor or enclosed spaces that
people may occupy, except where other applicable standards and requirements dictate larger
amounts of ventilation than this standard.
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However, a building may meet the minimum requirements of the standard and still may not
achieve acceptable indoor air quality. Why is that ?
Because of the diversity of sources and contaminants in indoor air
Because of many other factors that may affect perception and acceptance including temperature,
humidity, noise, lighting, and psychological stress, and
Because of the range of susceptibility in the population
There are two alternative procedures that could be used to address IAQ. They are:
Ventilation Rate Procedure (VRP), and
Indoor Air Quality Procedure (IAQP)
Its important to note that only one of these procedures may be used.
Lets address these now.
Slide 27
The first that we will discuss is the Ventilation Rate Procedure (VRP), where acceptable air
quality is achieved by providing ventilation air of the specified quality and at least the specified
quantity to the space.
This procedure sets a standard for outdoor air quality and a procedure for evaluating the outdoor
air to be sure it is acceptable for use in ventilation. If necessary, the outdoor air must be treated
to control the levels of contaminants.
The standard depends on the rate of ventilation. As long as the outdoor air is of sufficient quality,
and enough of it is provided, the standard considers that the results will be acceptable indoor air
quality. Minimum ventilation rates are prescribed for homes, commercial spaces such as offices,
institutions such as schools and hospitals, industrial spaces such as factories and vehicular
spaces such as parking garages. If you wish, you can click the paperclip icon to access the
attachment labeled Table 2.1 to see examples of the prescribed ventilation levels for different
types of occupied space. (Reference for download: US EPA, http://www.epa.gov/iaq/largebldgs/ibeam/text/hvac.html)
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If the space is occupied intermittently, or if occupancy varies, its acceptable to reduce or
eliminate the volume of outdoor air supplied. One way to do this is by scheduling HVAC
operation to correspond to the occupancy schedule for the building. Another way is called
demand control ventilation or DCV.
DCV requires monitoring CO levels and adjusting ventilation accordingly.
To estimate the occupancy in the building, CO levels are measured in the return air ducts, and
depending on the levels, the ventilation level is increased. To do this, the air ducts are fitted with
CO sensors, and the controller adjusts the position of a damper, which is a movable plate or
arrangement of slats that let more or less air through.
Slide 28
Lets look at that in more detail. In the table that you have downloaded, find the line referring to
commercial office spaces.
It prescribes 20 CFM of outside air per person as a minimum. The standard also provides a
guideline for CO levels to be maintained at no more than 700 PPM above ambient. Since
ambient is usually between 300 and 400 PPM that would give a level around 1000 1100 PPM.
Human occupants produce a variety of contaminants collectively known as bioeffluents that can
be responsible for unpleasant odors and a stuffy environment. They can include CO , moisture,
particulates, biological aerosols and volatile organic compounds (VOCs). Note that the CO level
is measured only as a surrogate value to indicate the number of people in the building. It is not a
specific measure of contaminant levels. However, satisfactory comfort regarding human
bioeffluents is likely to be achieved by the ventilation targeted at keeping the indoor CO
concentrations that are no more than 700 PPM above the outdoor air concentration.
What are the VRP energy implications? Use of outdoor air to satisfy ventilation requirements can
significantly increase energy costs during periods of cold or warm humid weather. This is
because cold air has to be warmed, and warm humid air has to be cooled and dried. That costs
energy! One way to reduce the cost associated with the use of outdoor air is to employ heat
recovery devices which precondition the outdoor make up air with the exhaust air. The exhaust
air may be close to the required temperature and humidity, and can be used to bring the outdoor
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air closer to the requirement. Secondly, adjustments to the ventilation rate may save energy if the
space is over-ventilated, but you must take care not to drop below the required rates of outdoor
air.
Next, lets discuss the second alternative procedure: Indoor Air Quality Procedure (IAQP).
Slide 29
The Indoor Air Quality Procedure (IAQP) states that acceptable air quality is achieved within the
space by controlling known and specifiable contaminants. This presents a quite different
challenge than the Ventilation Rate Procedure. The VRP supposes that if the outdoor air quality
is acceptable and the rate of ventilation to the space meets the standard, that the indoor air
quality will be acceptable. This IAQP procedure on the other hand says that you have to prove
that all the known contaminants of concern are restricted to acceptable levels. This burden of
proof means that the IAQP is less used and the VRP is more often selected by designers.
The IAQP is sometimes described as a direct solution, in contrast to the VRP which solves the
problem indirectly by prescribing outdoor air quality and ventilation rates. Implementing IAQP
requires a performance oriented design approach. This means the designers must ensure the
building and its ventilation systems maintain specific contaminants at concentrations no more
than certain limits identified during the building design. Those limits may be defined by specific
quantities but also the subjective evaluation of acceptability perceived by building occupants
and/or visitors.
Please note: If cleaned (filtered) re-circulated air is used to reduce the outdoor air flow rate below
the values used in Table 2 the IAQP procedure must be used.)
Slide 30
ASHRAE Standard 55-2004 is titled Thermal Environment Conditions for Human Occupancy.
The aim of the standard is to achieve conditions that are thermally acceptable to 80% of the
occupants.
The standard addresses environmental factors that include temperature, thermal radiation,
humidity, and air movement. Personal factors are also addressed, specifically clothing and
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activity in the space. Winter and summer conditions are both covered regarding humidity and
temperature.
These thermal comfort conditions must be respected by the energy efficiency program. Although
adjustments to HVAC set points are an important part of energy optimization, its not acceptable
to save energy by compromising on compliance. Building management solutions are very
effective in improving energy efficiency while maintaining required comfort levels for occupants.
Slide 31
Both indoor air quality and thermal comfort are featured in the Leadership in Energy and
Environmental Design (LEED) Green Building rating system as part of the section on Indoor
Environmental Quality (IEQ). This section also deals with other items such as daylight and views.
To learn more about Leadership in Energy and Environmental Design, please consider
participating in Going Green With Leadership in Energy and Environmental Design.
Slide 32
Lets talk about how standards are developed and revised.
Standards 90.1 and 90.2 are developed and revised using the ANSI process for maintenance of
standards, including voluntary consensus and public comment processes. This is a key success
factor in the widespread support for these standards. The requirements established in Standards
90.1 and 90.2 must also be economically feasible. Standards 90.1 and 90.2 are both continually
maintained by their respective Standing Standards Project Committees, and are revised and
published every three years. Those committees include representatives from many interest
groups to ensure balance and they vary in size from 10-60 voting members.
Slide 33
When the committee proposes revisions to the standard, a public review and comment process is
initiated. Consensus is achieved when a majority of the parties substantially agree. Then the
revision is submitted for approval to the ASHRAE Board of Directors. This could be achieved in
two years or may take as long as 10 years. Since the standard is published every three years,
any interim revision that is approved is posted as an addendum on the ASHRAE website. Those
addenda are then included in the next published version of the standard.
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The IECC is revised by a committee that does not utilize the ANSI process. A request for
proposals is made public. The committee considers the proposals and hearings are conducted to
provide for public comment. It is not required to obtain a consensus and the committees decision
is final.
Slide 34
Lets talk a bit about the updating of codes. The Department of Energy (DOE) has the power to
initiate a code revision to improve energy efficiency. Each state then has two years to review its
commercial and residential codes with respect to energy efficiency. They are required to update
their codes to meet or exceed the provisions of ASHRAE 90.1, 90.2 or the IECC standard.
Slide 35
Laws can contribute to energy efficiency by setting mandatory federal requirements and requiring
states to establish codes. Laws can also encourage energy-efficient behavior through tax
incentives and other financial motivators.
Some of the important laws include:

Energy Policy Act 1992 (EPACT 92)
Energy Policy Act 2005 (EPACT 2005)
Energy Independence and Security Act of 2007 (EISA of 2007)
The American Recovery and Reinvestment Act of January 2009
The American Clean Energy and Security Act of June 2009
The American Clean Energy Leadership Act of 2009
Codes specify how buildings must be constructed or perform and are written in mandatory
enforceable language
States or local governments adopt and enforce energy codes for their jurisdictions
Standards describe how buildings shall be constructed to save energy cost effectively.
Standards are not mandatory, but serve as national recommendations, with some variation for
regional climate.
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Standards are not mandatory until adopted as a code by state and local jurisdiction
Some important energy efficiency standards and codes include:

ASHRAE Standard 90.1 (Energy Standard for Buildings Except Low-Rise Residential Buildings)
ASHRAE Standard 62 .1 (Ventilation for Acceptable Indoor Air Quality)
ASHRAE Standard 55 (Thermal Environment Conditions for Human Occupancy)
The International Energy Conservation Code
Slide 36
Slide 37
To test your knowledge of the course material, click the Knowledge Checkpoint link on your
personal homepage.
Important Point! The Knowledge Checkpoint link is located under BROWSE CATALOG on the left
side of the page.
Slide 38
We are dedicated to providing you with relevant, cutting edge education on topics pertinent to
energy efficiency. Please take our brief survey and tell us how were doing.
How do you begin? Its easy! 1) Click on the Home icon, located in the right corner of your
screen. 2) Click on the Course Surveys" link on the left side of the screen under Browse
Catalog. 3) Select the course title you have just completed and take our brief survey.
Waste Heat Recovery

Energy University Transcript
Slide 1
Welcome to Waste Heat Recovery.
Slide 2
This course contains calculations, and you may find it helpful to have a calculator, some scrap paper and a
pencil on hand while viewing.
Slide 3
Slide 4
List the factors that influence the feasibility of waste heat recovery
Identify opportunities to recover waste heat, the temperature ranges of heat recovered and the possible
uses
Perform calculations of waste heat recovery, and you will be able to
Categorize and explain the general operation of the main equipment used to recover waste heat
Slide 5
Waste heat is generated in combustion and in processes in industries and then is typically discharged to the
environment. Waste heat is present in almost all industries and processes.
Opportunities exist to put this waste heat to some use economically and reduce energy consumption.
Many companies that did not find this heat worthwhile to use earlierdue to low fuel costsmay find it
economical now, due to high energy prices. It is critical to identify sources of waste heat and simultaneously find
practical and cost effective usage so that a link between availability and requirement can be established.
Slide 6
The direct benefit of waste heat recovery is:
Reduced energy consumption and consequent increase in energy efficiency
Using waste heat in a boiler, furnace or any process can result in lower fuel consumption and lower
costs
There are also indirect benefits, including:
Lower greenhouse gas emissionssince fuel consumption is reducedgreen house gas emissions will
also be reduced
Reduction in pollution: in cases where toxic combustible waste is disposed of in incinerators the waste
gases may be used for heat recovery and there can be a reduction in the release of pollutants
Reduction in equipment size as flue gases produced are in reduced quantities and consequently result
in reduction in sizes of fans, stacks, ducts, etcetera
This reduction in equipment size also leads to a:

Reduction in auxiliary energy consumptionas smaller fans do not require as much energy to operate
Lastly, enhanced equipment life when the process is properly executed, equipment life will be
extended, for example; some forms of heat recovery can reduce the load on heating and ventilation
systems
Slide 7
In any heat recovery project, it is essential that the heat recovery scenario is viable and economical. Economic
recovery would depend upon following factors:
There must be a suitable use for the recovered heat
The quantity must be adequatemeaning the amount of heat must be enough to make the project
worthwhile
The quality of heat must be sufficient for proper use in the chosen process. Typically, this means the
waste heat has to be a high enough temperature to be adequate
And there must be a cost effective transfer for source to end usewhich often means that the target
process must be close enough to the source to be feasible and the heat must be generated in a timely
manneror the plant must be able to store the heat efficiently and effectively
Slide 8
The cost effective transfer of the waste heat can be impacted by technical considerations, such as selection of a
suitable heat exchanger.
For waste heat recovery to be successful we need to extract the maximum amount of heat from the waste heat
stream and lower its final waste temperature as much as possible.
However there are practical limits, and side effects such as corrosion, fouling or plugging. We will see more
about this later in the course.
Slide 9
Waste heat can be available in many forms from low to high temperature. After chilled water is used for cooling
equipment, it may still be cool enough to be used for pre-cooling in some process which in effectis reverse
heat recovery.
Furnaces or combustion are potential sources of high temperature waste heat. Most often, the quality depends
on the temperature of waste heat available. The higher the temperature, the higher the quality, and hence more
cost effective utilization.
Slide 10
A mathematical calculation of waste heat availability is as given below:
Q=m x CP x T x
Where:
Q is the quantity of heat recovered in kcal/hr or BTU/hr
m is the mass flow rate of the fluid or gas in kg/hr or lb/hr
CP is the specific heat capacity of the fluid or gas in kcal/kg C or BTU/lb F
T is the difference of heat recovered or temperature between inlet and outlet in C or F
the Greek letter eta is the heat recovery factor, expressed as a percentage
Sometimes you might see the mass flow rate composed of two terms V x
Where V is flow rate of substance in m/hr or ft/hr
and is density of flue gas in kg/m or lb/ft
We will see how to apply this equation later in the class.
Slide 11
What are some typical sources of waste heat?
Heat is found in waste gases from high temperature industrial processes, including direct fuel fired processes
such as metal refining or heating furnaces, cement kilns, glass melting, hydrogen plants or solid waste
incinerators.
Temperatures are typically in the range of 650 to 1500 C or 1200 to 2750 F.
Slide 12
The most customary source is combustion flue gas, which is typically a medium temperature source.
Most industries use fuel in boilers, furnaces or kilns and the quantity of flue gases is substantial15 to 20 times
the fuel quantity.
Temperatures are highnormally in the range of 230 to 450 C or 450 to 850 F. The waste heat is readily
available in the plant and so is more convenient to use.
Slide 13
Here are some constraints which must be considered while using flue gases:
Flue gases usually contain gases such as:
o Carbon monoxide (CO), carbon dioxide (CO2), sulphur dioxide (SO2), etcetera Which canin
combination with moisture at lower temperaturesform acids and corrode the metals
Heat exchangers made of special alloys may be necessary
Flue gases contain some contaminants, which may foul the pipes and other passages. Heat exchangers
and other heat transfer equipment tend to result in a drop in pressure, and may need to be
supplemented by external means.
Macrofouling credit: Taprogge GmbH, Germany

Slide 14
Low temperature heat recovery is typically focused on:
Air conditioning and refrigeration, diesel generating sets, baking or curing ovens, air compressors, process steam
condensate, etcetera
Because it is usually difficult to extract heat directly from the source, low temperature heat recovery is useful only
for preheating, and because the heat is relatively low quality, it cant be used in demanding processes, but it
could be used to preheat outside air entering a furnace, or begin to warm substances entering a process.
Slide 15
It is important to note that low temperature heat recovery is more difficult to use, however employing an industrial
heat pump may increase that viability as well as quality. Well see how later on.
Furthermore, absorption refrigeration processes typically can use heat with temperatures approximately between
85 and 200 degrees Celsius (185 to 392 degrees Fahrenheit). Low to medium temperature heat can be used in
economizers. Economizers use the exhaust heat from the boiler as a heat source to pre-heat feed water for the
boiler.
Diagram credit: The Natural Gas Boiler Burner Consortium

Slide 16
Other sources of waste heat include water cooled chillers, as these machines reject a significant amount of heat
energy through cooling towers. This energy is at a very low temperature for direct use.
Slide 17
The waste heat stream may include both sensible and latent heat.
Sensible heat, sometimes referred to as simple heat, is based on the temperature of the air, gas or other
substance, which can be measured with a typical thermometer.
Latent heat is contained in the moisture content in the air or gas. Latent means hidden. For example, when we
boil water, it evaporates into steam. The energy used to boil the water and make it change state into steam is
now hidden in the steam. Latent heat is the energy required to make a substance change state.
The total heat energy content of moist air or gas is referred to as "enthalpy". This takes into account both
temperature (sensible heat) and humidity levels (latent heat).
To learn more about sensible heat, latent heat and enthalpy, see our class on "HVAC and the Characteristics of
Air".
Slide 18
Waste heat can be put to usedepending upon the type of plant and category of heat availableespecially in
relation to temperature and quantity. Lets take a moment and discuss the different ways waste heat can be put
to use, including:
Pre-heating combustion air
Pre-heating boiler feed water
Vapour absorption refrigeration, and
Pre-heating for process requirements
Slide 19
One of the most common uses for waste heat is the pre-heating of combustion air. Using pre heated combustion
air will improve the efficiency of the combustionresulting in the reduction of energy consumption in boilers and
other direct fuel fired equipment.
Slide 20
The second common use for waste heat is through the pre-heating of boiler feed water, and is commonly done in
most boilers. Pre-heating of feed water will reduce the fuel consumption resulting in enhanced energy efficiency.
In the case of closed loop steam systemscondensate water is returned to the boiler and is already at
sufficiently high temperaturethere, pre-heating would be relevant for makeup water added to the system.
Vapour Absorption Refrigeration is the third common use of waste heat. Whilst in conventional refrigeration, input
is mechanical power, in a vapour absorption system, heat is utilised for producing refrigeration. This is the
preferred option in facilities or industries which require a high volume of refrigeration or air conditioning and
simultaneously have waste heat available.
Pre-heating for process requirements include:
Many chemical and other industrial processes that require hot fluids, air or water, or other processes
where
Waste heat can be most appropriately used
Diagram credit: U.S. Department of Energy
Slide 21
There are three basic elements a waste heat recovery system must possess in order for the system to be
developed. These include:
Compatibility
Scheduling, and
Location
Lets discuss each one in more depth.
Slide 22
When it comes to compatibility of waste heat quality, the quality of waste heat energy must be better than, or
equal to the energy required for end use. High temperature usage would require waste heat of matching
temperature. However, low or medium temperature use can be met with high temperature heat.
Slide 23
Scheduling is another consideration in waste heat recovery. For example, quite often, the manufacture of waste
heat may not be continuous. Likewise, usage may also be intermittent. It will then be essential to match the
requirement with availability (where waste heat availability or usage is intermittent). Maximum efficiency of waste
heat utilization would be accomplished when generation and usage correspond.
Case in pointif the boiler flue gases are used for heating combustion air, or feed waterthe arrangement
would be excellent because both are part of the same system and come into use when the boiler is operating.
If the schedule of waste heat generation and utilisation does not correspond, some form of thermal storage
would be necessary. Thermal storage is costly and not a preferred option.
Slide 24
Location is the third consideration in our waste heat recovery equation. Physical proximity between availability of
waste heat and usage is ideal for achieving best efficiency. Long distances for transferring heat in any form
would result in expensive system installation.
Slide 25
Waste heat recovery has been practiced in industries for a long time which has resulted in the development of
many devices to suit the requirements. Lets explore the typical devices.
Slide 26
In recuperators, heat exchange takes place between flue gases and air through metallic or ceramic walls. Ducts
or tubes carry airwhich has to be preheated. The opposite side contains waste heat in the form of flue gases.
Stack losses are reduced by lower gas temperatures and also by discharging diminished quantities of exhausted
gases due to fuel savings.
Heat transfer from hot gases to the inner surface takes place through radiation while heat transfer to cold air
takes place through convection.
Here is a recuperator. It is used for recovering waste heat from flue gases. There are different types of
recuperators, so lets explore those next.
Diagram credit: SEAV
Slide 27
The simplest configuration for a recuperator is the metallic radiation recuperator, which consists of two concentric
lengths of metal tubing as shown here.
The inner tube carries the hot exhaust gases while the external annulus carries the combustion air from the
atmosphere to the air inlets of the furnace burners.
The hot gases are cooled by the incoming combustion air, which immediately carries additional energy into the
combustion chamber. This is energy which does not have to be supplied by the fuel and consequently, less fuel
is burned for a given furnace loading. The savings in fuel also means a decrease in combustion air and as a
result, stack losses are diminishednot only by lowering the stack gas temperaturebut also by discharging
smaller quantities of exhausted gas.
Diagram credit: Harditech Group
Slide 28
The radiation recuperator gets its name from the fact that a substantial portion of the heat transfer from the hot
gases to the surface of the inner tube takes place by radiative heat transfer. The cold air in the annulus, however,
is almost transparent to infrared radiation so that only convection heat transfer takes place to the incoming air.
As shown in the diagram, the two gas flows are usually parallel, although the configuration would be simpler and
the heat transfer would be more efficient if the flows were counter flowing or opposed in direction. The reason
for the use of parallel flow is that recuperators commonly serve an additional function of cooling the duct
carrying away the exhaust gasesand, as a result, extend its service life.
Diagram credit: Harditech Group
Slide 29
The primary limitation on the heat recovery of metal recuperators is the reduced life of the liner at inlet
temperatures exceeding 1100 degrees Celsius (2000 F). As a result, ceramic tube recuperators have been
developed to address the temperature limitations of metal recuperators. Ceramic materials allow operation on the
gas side to be at 1550 degrees Celsius (2800 F) and to be 815 degrees Celsius (1500 F) on the preheated air
side.
The new designs are reported to last two years with air preheat temperature as high as 7000 degrees Celsius
(12600 F), along with much lower leakage rates.
Diagram credit: Department of Coal, India 1985
Slide 30
Another frequent design for recuperators is the convective recuperator as shown here. In this configuration, hot
gases are passed through a number of parallel tubes of small diameter while incoming air passes through the
outer shell surrounding the tubes. The incoming air passes over hot tubes multiple times in direction normal to
the axis of the tubes.
Diagram credit: Reay, D.A. 1996

Slide 31
For maximum heat transfer, a blend of convective and radiation design may also be used. These are termed
hybrid recuperators In this array, a high temperature radiation recuperator is followed by a convective type.
To overcome the limitations of metals (metals typically operate in the range of 1000C or1800F), ceramics are
usedwhich can operate at 1300 degrees Celsius (2400F). These are more expensive than simple metallic
radiation recuperators, but are less cumbersome.
Diagram credit: Reay, D.A. 1996
Slide 32
In the case of boilers, an economizer is used to utilize waste heat from flue gases to pre-heat boiler feed water.
The rule of thumb is that for every 22 degrees Celsius (64F) reduction in flue gas temperatureby passing
through an economizerthere are 1% savings on boiler fuel.
Diagram credit: Bureau of Energy Efficiency

Slide 33
Waste heat boilers are water tube boilerswhere hot exhaust gases from gas turbines, incinerators, etcetera
pass over a number of parallel tubes containing water. Water is evaporated in the tubes and collects in a steam
drum. This is then drawn off for use in heating or process steam.
In gas based power plants, the waste heat boilers are used after gas turbine generation to further operate a
steam turbine to generate power. Thus, the efficiency of a gas based power plant is enhanced by nearly 50%.
Diagram credit: Canada Agriculture and Agri-Food
Slide 34
In the devices discussed previously, heat is transferred from high temperature fluid to a fluid at lower
temperature. After each transformation, energy becomes less and less usable. As a general rule of thumb, a fluid
temperature of 120 degrees Celsius (250F) is considered the limit for heat recovery. However, as fuel costs
continue to rise worldwide, even such fluids can be used economically.
Slide 35
Heat pumps are useful where both heating and cooling are simultaneously required. One such example is in the
plastics industry where water after being used in a cooling injection moulding machine is used to provide space
heating.
Slide 36
It is feasible to reverse the direction of energy flow by means of a heat pump. In this device, after a fluid flows
through an evaporator, it is completely vaporised.
Low temperature vapour is compressed with external energy inputraising its temperature and pressure. The
vapour flows through a condenser releasing its energy to become a liquid. This liquid is expanded through an
expansion valve back to the evaporator. It is something like an air conditioner running in reverse. Heat pumps
have the ability to upgrade heat to a value double that of energy consumed.
Slide 37
A regenerator is a form of thermal energy storage. Imagine a rechargeable battery but containing heat rather
than power. Its ideal for large capacity situations such as glass and steel melting furnaces.
A regenerator is an insulated container containing bricks of metal or ceramic to store heat. The bricks are
heated by exhaust gases or fluids from the process. Eventually, the regenerator is fully charged with heat. The
exhaust gas or return fluids are then shut off, and instead intake air is allowed to flow through the unit. The air is
pre-heated by the regenerator before it goes to the furnace.
Eventually, the heat is discharged from the regenerator and needs to be recharged. Then, the intake airflow is
turned off and the exhaust gases or return fluids are switched back on. This switchover is called a reversal.
Diagram credit: Department of Coal, India, 1985
Slide 38
The size of the regenerator depends upon the period of time between reversals, thickness and conductivity of the
brick, as well as heat storage ratio of the bricks Larger ones have a higher cost. If it is desired to have the
regenerator available continuously, then at least two will be requiredso that their operation can be alternated
one providing heat while the other is recharging.
Diagram credit: U.S. Department of Energy

Slide 39
Heat wheels are used extensively in low to medium temperature heat recovery systems. A disc rotates between
a hot gas duct and a cold air duct which are installed side-by-side. As the disc rotates, the heat is transferred
from the hot gas to the cold air. A drawback of this configuration, is that odors can be an issue for the heat wheel
due, to transferred air or molecules on the wheel.
Diagram Credit: Englehard ICC Corp

Diagram Credit: SADC, 1999
Slide 40
Heat pipes are another type of waste heat recovery. These are capillary tubes used for liquids and gases at all
temperatures and are often bundled with air conditioning ducts. In colder climates, they have excellent payback.
Thermal energy applied to the surface at one end, causes fluid near the surface to evaporateabsorbing the
latent heat of vaporisation. At the other end of the pipe, thermal energy is removedcausing vapour to liquefy
giving up latent heat.
A heat pipe can transfer up to 100 times more thermal energy than copper, the best-known conductor.
Additionally, the heat pipe is a thermal energy absorbing and transferring systemhaving no moving partsand
hence requires minimal maintenance.
Photo Credit: Advanced Cooling Technologies, 2010

Diagram Credit: SADC, 1999
Diagram Credit: B.L. Capehart, et. al., Guide to Energy Management, 5th ed., Fairmont Press, 20003, p. 253
Photo Credit: NASA
Slide 41
The heat pipe is made up of three elements
A sealed container
A capillary wick structure and
Working fluid
The capillary wick structure is fabricated integrally into the inner surface of the container tube, and sealed under
a vacuum. Thermal energy applied to the external surface of the heat pipe is in equilibrium with its own vapour
as the container tube is sealed under vacuum.
Diagram Credit: Chresources, 2008
Slide 42
Thermal energyapplied to the external surface of the heat pipecauses the working fluid near the surface to
evaporate immediately. Vapour thus formed absorbs the latent heat of vaporization, and this part of the heat pipe
becomes an evaporator region. The vapour then travels to the other end the pipewhere the thermal energy is
isolated causing the vapour to condense into liquid againand in so doinggiving up the latent heat of the
condensation. This part of the heat pipe works as the condenser region. The condensed liquid then flows back to
the evaporated region.
Diagram Credit: Energy Spectrum UK

Diagram Credit: Acrolab Ltd.
Slide 43
Additional waste heat recovery equipment that you may encounter includes:
A checkerwork regenerator which is a regenerator with checkerwork brick structure
A combined convective-radiative recuperator which is a combination of recuperators explained earlier
Run-around loops : Run-around loops are similar to a heat pipe exchangerwith intermediate heat transfer fluid
in the coilwhich has its two ends in hot and cold streams respectively
Checkerwork regenerator diagram credit: Society of Glass Technology

Combined convective-radiative recuperator diagram credit: Reay, D.A. 1996
Run-around loop diagram credit: Smith Group
Slide 44
Here is a chart, denoting the typical sources and utilisation of waste heat.
Slide 45
Here is a matrix of the various waste heat recovery devices and applications that we have been discussing. To
download a copy of these items, click the paperclip icon. (The paper clip icon is located in the lower right hand
corner of your toolbar.)
Slide 46
Now lets look at an example of how to calculate waste heat recovery. As we discussed earlier, to determine how
much waste heat is available say from waste hot water, it is advisable to conduct a simple waste heat recovery
calculation. To do this you will need to measure the difference between inlet temperature and outlet temperature
of waste water through the heat recovery device.
Slide 47
Here is a basic equation to determine the available quantity of heat:
Q=m x CP x T x
Where:
Q is the quantity of heat recovered in kcal/hr or BTU/hr
m is the mass flow rate of the fluid or gas in kg/hr or lb/hr
CP is the specific heat capacity of the fluid or gas in kcal/kg C or BTU/lb F
T is the difference of heat recovered or temperature between inlet and outlet in C or F
the Greek letter eta is the heat recovery factor, expressed as a percentage
Sometimes you might see the mass flow rate composed of two terms V x
Where V is flow rate of substance in m/hr or ft/hr
and is density of flue gas in kg/m or lb/ft
Slide 48
The heat recovery factor requires further explanation, so lets delve into that now.
To determine the heat recovery factor take the actual heat transfer to cold fluid and divide it by the maximum
possible heat transfer.
= Actual heat transfer to cold fluid
Maximum possible heat transfer
While maximum possible heat transfer can be calculated from total heat in waste water, actual transfer or
effectiveness will depend on the heat exchanger design, and is usually given in the specifications of the device.
A copy of these equations are available for download by clicking on the paperclip icon. Please do that now,
because well be using these equations in our case study.
Slide 49
It is important to note that:
Effectiveness generally increases with the heat exchanger area
But this does not happen in a linear fashion, and
At some point, a large area increase will only produce a small effectiveness increase
Heat transfer factors typically range between 50% and 90%.
(50% < < 90%)
Slide 50
Now lets take a look at a real life case study example. Well provide these examples using both US customary
units and metric units. Due to rounding during the calculations, you will find that the answers are slightly
differentdepending on the units used. These differences are not significant for the purposes of these exercises.
Slides 51-55 show the Metric unit case study
Slides 56-60 show the U.S. customary unit case study example
Slide 51
A ferrous industry in India identifies an opportunity to save money by recovering heat from hot flue gas. By
performance analysis of a hot air generator, it is understood that the dry flue gas loss of the system is highit is
because of the high temperature flue gas leaving from the hot air generator. High flue gas loss leads to an
inefficiency of the hot air generator and high fuel consumption.
Presently the combustion air is supplied at ambient temperature to the hot air generator. A good rule of thumb to
remember is that for every 18 degrees Celsius rise in combustion air, we will save 1% of fuel consumption.
Recovering the heat of the flue gases will reduce the dry flue gas losses, increase the efficiency of the furnace
and reduce furnace oil consumption. Hence, the owner decides to recover the heat of the flue gases to pre-heat
the combustion air to 180 degrees Celsius.
Slide 52
How much will the owner save in fuel costs by increasing the combustion air temperature from 35 degrees
Celsius to 180 degrees Celsius? Here is some necessary information for you to solve the case study:
The present flue gas temperature=345 degrees Celsius

The present combustion air temperature=35 degrees Celsius
The present annual fuel consumption=250 Kilo Litres
The proposed combustion air temperature=180 degrees Celsius
And the fuel cost=$435 per Kilo Litres
Remember, an increase in combustion temperature of 18C will provide you with 1% savings.
First, we need to figure out the difference in temperature. Take a moment and figure that out now.
Slide 53
Did you take 180C - 35C = 145C ? If so, great job!
Next, we need to figure out our savings. Take a moment and figure out that nowand remember, an increase in
combustion temperature of 18C will provide you with 1% savings.
Slide 54
Did you divide 145C by 18C to get 8%?
If so, you did the calculation correctly!
Now you need to compute the annual cost reduction. Take a moment now and figure it out.
Heres the equation again, in case you need it:
Annual Cost Reduction=
Savings % x fuel(in kl) x (fuel cost $/kl)

Slide 55
Did you take 0.08 and multiply it by 250 kl and multiply that by the sum of ($435/ kl) to get $8,760 ? If so, good
job! Now you can review the same case study in U.S. customary units or proceed to some additional case
studies.
Slide 56
A ferrous industry in India identifies an opportunity to save money by recovering heat from hot flue gas. By
performance analysis of a hot air generator it is understood that the dry flue gas loss of the system is highit is
because of the high temperature flue gas leaving from the hot air generator. High flue gas loss leads to an
inefficiency of the hot air generator and high fuel consumption.
Presently, the combustion air is supplied at ambient temperature to the hot air generator. A good rule of thumb to
remember is that for every 32 degrees Fahrenheit rise in combustion air we will save 1% of fuel consumption.
Recovering the heat of the flue gases will reduce the dry flue gas losses, increase the efficiency of the furnace
and reduce furnace oil consumption. Hence, the owner decides to recover the heat of the flue gases to pre-heat
the combustion air to 350 degrees Fahrenheit.
Slide 57
How much will the owner save in fuel costs by increasing the combustion air temperature from 95F to 350F?
Here is some necessary information for you to solve the case study:
The present flue gas temperature=650F
The present combustion air temperature=95F
The present annual fuel consumption= 60,000 gallons
The proposed combustion air temperature=350F
The fuel cost= $1.81 per gallon
Remember, an increase in combustion temperature of 32F will provide you with 1% savings.
First, we need to figure out the difference in temperature. Take a moment and figure that out now.
Slide 58
Did you calculate the difference in temperature by taking
350F - 95F = 255F?
If so, good job! Now we need to determine the savings. Take a moment and calculate this nowand remember,
an increase in combustion temperature of 32F will provide you with 1% savings.
Slide 59
Did you derive the savings by dividing 255F by 32F to get 8 %?
If so, you are correct!
Now we need to calculate the annual cost reduction. Here is the equation in case you need it:
Annual Cost Reduction=
Savings % x fuel gallons x (fuel cost$/gallon)
Slide 60
Did you take 0.08 and multiply it by 60,000 gallons and then multiply that answer by of $1.81 per gallon to get an
answer of $8,654?
Great job! Now you can review the same case study in metric units or proceed to some additional case studies.
Slide 61
We have also provided you with an additional case study to practice calculating waste heat. This case study
deals with a beer manufacturing company who has identified an opportunity to save money by recovering heat
from hot wort vapour coming from the external wort boiler (EWB). In the present scenario, hot wort vapour of
1560 kg/h at 108C (3440 lb/hr at 226F) is vented to the atmosphere after boiling in the EWB. Rather than
discharging this wort vapour to the atmosphere, three possible methods were identified to use the available heat
energy in the wort vapour:
Preheat the wort before entering the EWB
Raise the temperature of the water in the bottle washer and pasteuriser, or
Increase the temperature of the boiler feed waterresulting in reduced steam and furnace oil
consumption
Click the paperclip icon to work on the case study. (Weve provided a working excel worksheet for you to work
on. Once youve worked out the answers, feel free to take a look at the answer sheet provided to verify your
accuracy.)
Beer Manufacturing Photocredit: Vclaw
Wort Photocredit: Ildar Sagdejev
Slide 62
Now, lets summarize some of the information that we have learned in this course.
Today, we listed the various factors that influence the feasibility of waste heat recovery, including:
Suitable use
Adequate quantity and quality
Cost effective transferwhich takes into account the compatibility of the source and use, scheduling of
heat production, and location
We also identified the various opportunities to recover waste heat, the temperature ranges of heat recovered and
the possible uses for the recovered waste heat including:
Pre-heat combustion air
Pre-heat boiler feed water and
Vapour absorption refrigeration
We then categorized and explained the general operation of the main equipment used to recover waste heat;
including:
Recuperators
Economizers
Waste Heat Boilers
Heat Pumps
Regenerators
Heat Wheels
Heat Pipes, as well as the additional waste heat recovery equipment that you may encounter
Finally, we reviewed the process to calculate waste heat recovery.
Slide 63
Motors--Losses, Loads and Operating CostsSI Units - Transcript

Slide 1: Motors: Losses, Loads and Operating CostsSI Units
Welcome to Motors: Losses, Loads and Operating CostsSI Units
This course is the second course in the motors series. If you have not already done so, please participate in Efficient
Motor Control in Power Drive Systems, prior to taking this course. This course was produced using content from the
US Department of Energy publication Improving Motor and Drive System Performance and from the UK Carbon
Trust.
Slide 2: Welcome
Slide 3: Objectives
Identify the ways that motors lose energy
List the factors that influence energy efficiency of a motor
Determine the loading of a motor, and you will be able to
Calculate the operating costs of motor systems
Electric motors, taken together, make up the single largest end use of electricity in many developed countries. In
these developed countries, in industrial applications, electric motors account for roughly 60% of electricity
consumption; in the process industries, electric motors can account for more than 70% of electricity use. The cost of
running a motor can be as much as ten times to the purchasing cost of a motor. Therefore, operation of motors
represents a huge potential for energy savings.
Slide 5: What is a Motor?
An electric motor can be simply defined as a device for converting electrical energy into kinetic energy. That energy
can be used to power equipment such as fans, pumps, conveyors, machines etc. In our class on Efficient Motor
Control with Power Drive Systems, we introduce motors and look at them together with the gear and transmission.
Motors may run on direct current or alternating current. AC motors are by far the most common in industry, and
well focus on them in this class. In particular well focus on the AC induction motor. In an induction motor the two
most important parts are the stator and the rotor. The rotor is a cylindrical component which fits within the stator.
Slide 7: Rotating Magnetic Field
As the electrical current rises and falls in each of the phases, a rotating magnetic field is created in the stator.
MotorsLosses, Loads and Operating Costs-SI Units

Page 1
Slide 8: Synchronous Motor

In a synchronous motor, slip rings and brushes are used to supply an electrical current to a winding within the rotor.
The magnetic field in the rotor winding locks on to the rotating magnetic field in the stator windings and turns along
with it. This then rotates the motor shaft. These are called synchronous motors because the rotor turns at the
same speed as the magnetic field.
In an asynchronous motor, the rotating field moves at synchronous speed around the rotor, which in turn causes
electrical currents in the rotor via induction. The rotor current produces a second magnetic field, which tries to
oppose the stator magnetic field.
This makes the rotor turn, following the magnetic field, but not as fast. This is why these are called asynchronous
motors the rotor is not synchronized with the rotating magnetic field. The rotor is, then, said to slip in speed
behind the synchronous speed.
Slide 10: Slip
Slip (S) is usually expressed as a percentage and the equation is shown here:
Where:
Ns = synchronous speed in RPM
Nb = base speed in RPM
(RPM = Revolutions Per Minute)
Slide 11: Calculating Synchronous Speed
Lets take some time and look at how to properly calculate synchronous speed.
In the simplest three-phase motor:
There is one set of three windings
In each winding, a magnetic field forms
Each magnetic field has two poles: North and South
So with three windings and two poles per field, there are six magnetic poles altogether, one pair of poles per phase.
This is called a Two Pole Motor since it has two poles per phase.
More commonly, there are two sets of three windings. This would be a Four Pole Motor, since it has four poles
per phase and twelve poles altogether.
The synchronous speed of the rotating magnetic field depends on the frequency of the supply and the number of
pairs of poles.
Page 2

Here is the equation:
Where:
Ns is the synchronous speed of the motor in revolutions per minute (RPM)
is the supply frequency in Hz, and
P is the number of poles per phase
So, for a four pole motor with a 60 Hz supply, there will be four poles per phase, and the equation can be completed
like this
Take care to denote the actual definition, because some authorities present versions of this equation that use the
number of pairs of poles, not the total number of poles. So, be sure to check the definition carefully before following
the equation.
Now lets talk about the effect of slip on motors.
Slide 16: Effects of Slip
As we just saw, the rotor of a synchronous motor turns at the same speed as the magnetic field in the stator. The
rotor of an asynchronous motor turns slightly more slowly. When the motor is unloaded, the slip will be very small.

Page 3

However, as the motor load increases, slip becomes more significant and that impacts energy consumption.
Slide 18: How Motors Lose Energy

Motors convert electrical energy to mechanical energy to serve a certain load. In this process, energy is lost in a
variety of ways. These intrinsic losses can be reduced only by changes in motor design and operating conditions.
Losses can vary from approximately 2 percent to 20 percent.

Types of loss include:
Power losses
Magnetic core losses
Friction and windage losses, as well as
Stray load losses
Let's investigate each of these in more depth, beginning with power losses.
Slide 20: Power Losses
Power losses are the most significant. They are sometimes called copper losses and can be over 50% of the total
losses. These losses are caused when heat is generated from the current flowing in the windings and other electrical
fittings of the motor. About 66% of these losses occur in the stator.
Higher efficiency motors include stators with more copper, to reduce electrical resistance and therefore minimize this
type of loss. Rotor losses are related to the slip of the motor. Higher efficiency motors have rotors with increased
Page 4
conductivity and more mass.

The fact that higher efficiency motors tend to have less slip, and therefore run faster, should be taken into account
when selecting the motor. Motors that run faster consume more energy, so it may be necessary to reduce the
motor speed if a standard motor is replaced by a low-slip motor.
Slide 22: Magnetic Core Losses
Magnetic core losses are sometimes called iron losses. They occur in steel laminations and include hysteresis
effects, magnetic saturation and eddy currents.
Hysteresis is an effect where magnetic materials do not return to zero magnetization when the field is removed.
Magnetic saturation occurs when the material cannot be further magnetized and the field levels off. Eddy currents
are undesired electrical currents induced by the magnetic field. These losses can be minimized by using better
materials, good designs and strong quality control.
Slide 23: Friction and Windage Losses
Friction losses occur in moving parts such as the motor bearings and cooling fan. Windage loss is the friction
acting on the rotor due to air resistance. These are sometimes called mechanical losses
Slide 24: Stray Load Losses
Stray load losses can relate to a variety of effects, including harmonic energy generated when the motor is under
load, losses due to stray fluxes in the windings and conductor bars, as well as leakage in the laminate core of the
rotor.
Slide 25: Losses Vary With Load
Power losses and stray load losses are only incurred when the motor is running under load. Magnetic core losses as
well as friction and windage losses are present even when the motor is running under no load. Power and stray load
losses therefore have more impact on energy efficiency than magnetic core losses as well as friction and windage.
Loading of a motor is typically defined as the amount of work being done as compared to the maximum rated power
output at full load. A motor rated at 120 kW driving 108 kW is said to be 90% loaded.
Page 5
(Load = Mechanical power at actual load/Mechanical power at full load)
Manufacturers design motors to operate at a 50-100% load and to be most efficient at a 75% load. But once the load
drops below 50% the efficiency decreases rapidly as shown in this figure. Operating motors below 50% of rated loads
has a similar, but less significant, impact on the power factor. High motor efficiencies and a power factor close to 1
are desirable for an efficient operation as well as for keeping costs down for the entire plant and not just the motor.
Slide 26: Determining Load
There are three methods to determine the motor load for motors operating individually:
The first is input power measurement. This method calculates the load as the ratio between the input power
(measured with a power analyser) and the rated power at 100 % loading. Well look at this in more detail shortly.
The second is line current measurement. Here, the load is determined by comparing the measured amperage
(measured with a power analyser) with the rated amperage. This method is used when the power factor is not known
and only the amperage value is available. It is also recommended to use this method when the percentage loading is
less than 50%.
For example, a 480 volt three-phase AC induction motor is rated at 35 kW or 47 HP power output. The motor
draws 52.6 amps at full load. A current measurement indicates that the motor is actually drawing 39.7 amps. What is
the approximate loading of the motor?
Page 6
Motor loading = 39.7 A / 52.6 A = 75% load

The third is the slip method. Whereby the load is determined by comparing the slip measured when the motor is
operating with the slip for the motor at full load. The accuracy of this method is limited but it can be used with the use
of a tachometer onlymeaning no power analyser is needed.
Slide 27: Calculating Load From Input Power
The input power measurement is the most common method. There are three steps:
1. Determine the input power at actual load conditions (Pinput)
2. Determine the input power at full load conditions (Pfull)
3. Calculate the load
Slide 28: Calculating Input Power
Here is how we would calculate the actual input power being drawn from the electrical measurements with the power
analyser.
Where:
Pinput = Three phase input power in kW, calculated from measurements taken at actual load conditions
V = RMS (root mean square) voltage in volts, mean line to line of 3 phases
I = RMS current in amps, mean of 3 phases, and
PF = the Power factor as a decimal
Slide 29: Determining Output Power
Heres how we would calculate the power used at full load.
If the nameplate gives mechanical output in horsepower rather than kW, it can be converted by multiplying the
Page 7
horsepower by 0.746.
Then:
HP = The nameplate rated mechanical power output in horsepower
Slide 30: Calculating Load
From this the load of the motor is calculated like this:
Where:
Pinput = Input power in kW, measured at actual load conditions
Pfull = Input power in kW, used at full rated load
Logically, by combining these equations it is also true that load can be calculated as shown:
Where:
Prated = Nameplate rated mechanical power output in kW
= Efficiency at full rated load
Or Prated can be replaced
Nameplate rated mechanical power output in HP multiplied by 0.746
This equation is often presented like this:
With LF standing for Load Factor. If the motor is fully loaded, then the LF term may be left off, since it is 100%.
Page 8

(See this calculation in the addendum at the end of this document)
A 480V three-phase motor is drawing 36A. The motor has a power factor of 85% and is rated at 35 kW or 47 HP
with 91% efficiency at full load. What is the loading?
We start with the equation for input power:
Pinput kW = V * I * PF * 3 /1000
And we calculate as follows:
Which gives us the result:

25.4 kW

Page 9
Then we use the equation for the input power at full rated load. Here we are showing the metric and US versions.
Finally we calculate the load.
Where we find that the answer is 66%.

Page 10
Slide 32: Types of Loads

Motors drive various types of loads. These loads are generally classified according to the relationship between speed,
torque and power. Speed is the rotational speed of the shaft how fast it turns in RPM, for example. Torque is
the rotational force, determined by the speed and the distance from the center of the shaft. Power is the rate at
which energy is consumed to do work, for example, in joules per second.
The classifications of loads are:
Variable torque loads
Constant torque loads, and
Constant power loads
Slide 33: Variable Torque Loads
Variable torque loads include equipment such as fans and pumps. These relationships are studied in more detail in
our classes on fans and pumps.
For these loads, torque varies with speed squared and power varies with speed cubed.
Imagine that at SpeedA we were obtaining TorqueA and PowerA.
If the speed was doubled--the motor will produce 4 times as much torque and eight times as much power.
Take a moment to look at these relationships, press the play icon when you are ready to continue.
Slide 34: Constant Torque Loads
A good example of a constant torque load is a conveyor. For these loads, torque does not vary with speed and
Page 11
power is directly proportional to speed. So when the motor runs faster, the rotational force does not change.
Slide 35: Constant Power Load

Lastly, in a constant power load, torque varies with speed but power is constant. When the motor runs faster there
is less rotational force, and the rate at which energy is consumed is the same. Examples include machine tools and
centre winders.
Slide 36: Factors That Affect Efficiency

There are multiple factors that affect the efficiency of the motor
We have already seen the effect of load. Motors that are run below 50% of their rated load are dramatically less
efficient.
Other factors include:
Age: Motors are more efficient when they are new and decline in efficiency over time. The decline will depend on
how the motor is utilised and how well the motor is maintained. It is not easy to assess the decline in efficiency of a
motor in the field it requires very accurate instruments, such as power meters that can measure accurately at low
power factors when the motor is unloaded.
Capacity: As with most equipment, motor efficiency increases with the rated capacity. So you should not assume
that the same efficiency gains can be made with small motors versus large ones.
Speed: Higher speed motors are usually more efficient
Type: For example, squirrel cage motors are normally more efficient than slip-ring motors
Temperature: Totally-enclosed fan-cooled (TEFC) motors are more efficient than screen-protected drip-proof (SPDP)
motors, and
Condition: Rewinding of motors can result in reduced efficiency
These factors should be remembered when multiple motors are being analysed. For example, it is not reasonable
Page 12
to use an average motor efficiency for an analysis including motors that vary widely in their age, size, or speed.
Slide 38: Understanding Operating Costs
To make sensible decisions about motors, we need to be able to calculate their operating costs and compare the
results of different scenarios.
Slide 39: Operating Costs Fully Loaded Motor-Metric
(After listening to the Introduction, click on each number below, to follow the problem step-by-step.)
For example, what would be the approximate annual operating cost of a 25 kW three-phase AC induction motor
operating continuously (24/7) at full load with rated efficiency of 94%?
The electrical costs are as follows:
Demand - 9.00 / kW
Energy - 0.045 / kWh
Utility sales tax = 6%
You can follow this calculation in the downloadable Excel file (Excel Problem Examples) from the attachments tab.
First, we calculate the annual operating hours, as shown.

Page 13
Then we need to know how much power this motor draws, and how much energy it consumes. From this we can
calculate the demand charges and the energy charges.
The efficiency equation looks like this.

Logically we can rearrange this to calculate the power input to the motor, from the power output and the efficiency
that we were given in the problem.
Now that we know the demand, we can calculate the energy used per year in kWh.
Now we know both the demand and the energy consumption, we can calculate the annual charges.

Page 14
Demand first
Then energy

Page 15
The total cost is the annual demand and energy charges added together, plus tax. Here is the answer.
Notice that we included the demand charges in this calculation. This makes sense when we are considering the
costs of running this motor all by itself. However, if there is other equipment in the factory that has a higher demand,
the equipment with the highest demand and the time of day that the demand occurs will determine the actual demand
charges.
Slide 40: Operating Costs of Partially Loaded Motor - Metric
In the last problem the motor was fully loaded. How would we calculate the cost if the motor was partially loaded?
Lets try:
A 20 kW fan motor is operated at 75% load and has a power factor of 85%. If the motor efficiency is 90%, what would
be the annual cost of energy for the motor given 6,200 hours of annual operation and an average cost of electricity of
0.075 /kWh?
We can apply this equation to calculate the demand drawn by the partially loaded motor, and we see the answer is
16.67 kW.

Page 16
Then we can use this to calculate the energy consumed and the annual cost of that energy.

Page 17
Slide 41: Adequate Data

Be sure to have adequate data for your calculations, especially when analyzing multiple motors.
Changing a motor for a smaller one will only reduce demand charges if the peak demand of the plant is impacted.
The marginal cost of energy should always be used when making calculations of savings for example, the cost of
the last unit of energy consumed. This becomes important in tiered rate structures where successive blocks of power
or energy are less expensive.
For example. If a measure saves 10,000 kWh, the savings should be based upon the cost of the last 10,000 kWh
consumed, and not an average cost. Using a blended rate can also be a problem. A blended rate may be
calculated to combine various charges such as connection fee, demand, energy and power factor into one average
cost of energy.
This can sometimes be convenient for quick calculations, but if the blended rate is used to calculate savings that
reduce energy and not demand, the results will be misleading.
Slide 43: Summary
Today, we learned that an electric motor is a device for converting electrical energy into kinetic energy. Motors
typically run on direct current or alternating current. AC motors are by far the most common type of motor. In
particular we focused on the AC induction motor. In the simplest three-phase motor, there is one set of three
windings. In each winding, a magnetic field forms. Each magnetic field has two poles: North and South.
The two most important parts of an induction motor are the stator and the rotor. Motors convert electrical energy to
mechanical energy to serve a certain load. In this process, energy is lost. Types of loss include:
Power losses
Stray load losses
Page 18
These intrinsic losses can be reduced only by changes in motor design and operating conditions. Losses can vary
from approximately two percent to 20 percent.
The factors that influence the energy efficiency of a motor include age, capacity, speed, type, temperature, and
condition.
torque and power. The classifications of loads are:
Input power measurement
Line current measurement, and
The slip method
We also saw how to calculate annual operating costs. Remember that the efficiency of large motors is different
than small motors, so it is not safe to make general assumptions about efficiency when making calculations. Also
the marginal rate of energy should be used when estimating savings.

Page 19
Load from Input Power
Motor details
Voltage
Power output
Actual current
Power factor
Efficiency rated
Pinput kW
Pfull kW
480 V
35 kW
36.0 A
85%
91%
47 HP
*
1000
PF
480
36.0
*
1000
85%
1.732
25.4 kW
Prated
rated
kW
OR
HP
*
rated
0.746
Load
35
91%
OR
47
38.5
OR
38.5
Pinput
100%
100%
Pfull
25.4
38.5
66%
2012 Schneider Electric. All rights reserved. All trademarks provided are the property of their respective owners
*
91%
0.746
Fully Loaded Cost Metric

Motor details
Motor rated mechanical power
Operating hours
Load
Rated efficiency
25.0
kW
24 hours per day
100%
94%
Electrical tariff
Demand charges
Energy charges
9.00
kW
0.045
kWh
Utility sales tax
Annual operating hours
Since:
Efficiency
365 days per year
6%
24
hours
day
8760
hours
year
Poweroutput
kW
Powerinput
kW
365
days
year
Logically
Demand from motor = Powerinput
Energy used per year
Poweroutput
Efficiency
25.0
94%
kW
26.6
kW
Operating hours
Annual demand charge
Annual energy charge
kW
hours
year
8760 hours
year
26.6
kW
233,016
Demand
26.6
2872.80
Demand
kW
kWh
year
kW
month
Cost
kW
12
months
year
kW
month
9.00
kW
12
months
year
year
Energy
kWh
year
Cost
kWh
233,016
kWh
0.045
year
Total cost
kWh
year
10,485.72
year
year
2,872.80
year
10,485.72
year
13,358.52
year
1.06
14,160.03
year
Sales tax rate
6%
Partially Loaded Cost Metric

Motor details
Operating hours
Load
Rated efficiency
20
kW
6200 hours per year
75%
90%
Electrical tariff
Average energy cost
0.075
Powerinput
Cost
kWh
Poweroutput
Efficiency
kW
20
90%
kW
16.67
kW
Powerinput
kW
Load
75%
Operating hours
hours
year
Cost
kWh
16.67
7750.00
kW
6200
hours
year
$
year
0.075
kWh
Motors--Losses, Loads and Operating CostsUS Units - Transcript

Slide 1: Motors: Losses, Loads and Operating CostsUS Units
Welcome to Motors: Losses, Loads and Operating CostsUS Units
This course is the second course in the motors series. If you have not already done so, please participate in Efficient
Motor Control in Power Drive Systems, prior to taking this course. This course was produced using content from the
US Department of Energy publication Improving Motor and Drive System Performance and from the UK Carbon
Trust.
Slide 2: Welcome
Slide 3: Objectives
Identify the ways that motors lose energy
List the factors that influence energy efficiency of a motor
Determine the loading of a motor, and you will be able to
Calculate the operating costs of motor systems
Electric motors, taken together, make up the single largest end use of electricity in many developed countries. In
these developed countries, in industrial applications, electric motors account for roughly 60% of electricity
consumption; in the process industries, electric motors can account for more than 70% of electricity use. The cost of
running a motor can be as much as ten times to the purchasing cost of a motor. Therefore, operation of motors
represents a huge potential for energy savings.
An electric motor can be simply defined as a device for converting electrical energy into kinetic energy. That energy
can be used to power equipment such as fans, pumps, conveyors, machines etc. In our class on Efficient Motor
Control with Power Drive Systems, we introduce motors and look at them together with the gear and transmission.
Motors may run on direct current or alternating current. AC motors are by far the most common in industry, and
well focus on them in this class. In particular well focus on the AC induction motor. In an induction motor the two
most important parts are the stator and the rotor. The rotor is a cylindrical component which fits within the stator.
Slide 7: Rotating Magnetic Field
As the electrical current rises and falls in each of the phases, a rotating magnetic field is created in the stator.
MotorsLosses, Loads and Operating Costs

Page 1
Slide 8: Synchronous Motor

In a synchronous motor, slip rings and brushes are used to supply an electrical current to a winding within the rotor.
The magnetic field in the rotor winding locks on to the rotating magnetic field in the stator windings and turns along
with it. This then rotates the motor shaft. These are called synchronous motors because the rotor turns at the
same speed as the magnetic field.
In an asynchronous motor, the rotating field moves at synchronous speed around the rotor, which in turn causes
electrical currents in the rotor via induction. The rotor current produces a second magnetic field, which tries to
oppose the stator magnetic field.
This makes the rotor turn, following the magnetic field, but not as fast. This is why these are called asynchronous
motors the rotor is not synchronized with the rotating magnetic field. The rotor is, then, said to slip in speed
behind the synchronous speed.
Slide 10: Slip
Slip (S) is usually expressed as a percentage and the equation is shown here:
Where:
Ns = synchronous speed in RPM
Nb = base speed in RPM
(RPM = Revolutions Per Minute)
Lets take some time and look at how to properly calculate synchronous speed.
In the simplest three-phase motor:
There is one set of three windings
In each winding, a magnetic field forms
Each magnetic field has two poles: North and South
So with three windings and two poles per field, there are six magnetic poles altogether, one pair of poles per phase.
This is called a Two Pole Motor since it has two poles per phase.
More commonly, there are two sets of three windings. This would be a Four Pole Motor, since it has four poles
per phase and twelve poles altogether.
The synchronous speed of the rotating magnetic field depends on the frequency of the supply and the number of
Page 2
pairs of poles.
Here is the equation:
Where:
Ns is the synchronous speed of the motor in revolutions per minute (RPM)
is the supply frequency in Hz, and
P is the number of poles per phase
So, for a four pole motor with a 60 Hz supply, there will be four poles per phase, and the equation can be completed
like this
Take care to denote the actual definition, because some authorities present versions of this equation that use the
number of pairs of poles, not the total number of poles. So, be sure to check the definition carefully before following
the equation.
Now lets talk about the effect of slip on motors.
As we just saw, the rotor of a synchronous motor turns at the same speed as the magnetic field in the stator. The
rotor of an asynchronous motor turns slightly more slowly. When the motor is unloaded, the slip will be very small.

Page 3

However, as the motor load increases, slip becomes more significant and that impacts energy consumption.

Motors convert electrical energy to mechanical energy to serve a certain load. In this process, energy is lost in a
variety of ways. These intrinsic losses can be reduced only by changes in motor design and operating conditions.
Losses can vary from approximately 2 percent to 20 percent.

Types of loss include:
Power losses
Page 4

Stray load losses
Let's investigate each of these in more depth, beginning with power losses.
Power losses are the most significant. They are sometimes called copper losses and can be over 50% of the total
losses. These losses are caused when heat is generated from the current flowing in the windings and other electrical
fittings of the motor. About 66% of these losses occur in the stator.
Higher efficiency motors include stators with more copper, to reduce electrical resistance and therefore minimize this
type of loss. Rotor losses are related to the slip of the motor. Higher efficiency motors have rotors with increased
conductivity and more mass.
The fact that higher efficiency motors tend to have less slip, and therefore run faster, should be taken into account
when selecting the motor. Motors that run faster consume more energy, so it may be necessary to reduce the
motor speed if a standard motor is replaced by a low-slip motor.
Slide 22: Magnetic Core Losses
Magnetic core losses are sometimes called iron losses. They occur in steel laminations and include hysteresis
effects, magnetic saturation and eddy currents.
Hysteresis is an effect where magnetic materials do not return to zero magnetization when the field is removed.
Magnetic saturation occurs when the material cannot be further magnetized and the field levels off. Eddy currents
are undesired electrical currents induced by the magnetic field. These losses can be minimized by using better
materials, good designs and strong quality control.
Slide 23: Friction and Windage Losses
Friction losses occur in moving parts such as the motor bearings and cooling fan.
Windage loss is the friction

Page 5
acting on the rotor due to air resistance. These are sometimes called mechanical losses
Slide 24: Stray Load Losses
Stray load losses can relate to a variety of effects, including harmonic energy generated when the motor is under
load, losses due to stray fluxes in the windings and conductor bars, as well as leakage in the laminate core of the
rotor.
Slide 25: Losses Vary With Load
Power losses and stray load losses are only incurred when the motor is running under load. Magnetic core losses as
well as friction and windage losses are present even when the motor is running under no load. Power and stray load
losses therefore have more impact on energy efficiency than magnetic core losses as well as friction and windage.
Loading of a motor is typically defined as the amount of work being done as compared to the maximum rated power
output at full load. A motor rated at 120 kW driving 108 kW is said to be 90% loaded.
(Load = Mechanical power at actual load/Mechanical power at full load)
Manufacturers design motors to operate at a 50-100% load and to be most efficient at a 75% load. But once the load
drops below 50% the efficiency decreases rapidly as shown in this figure. Operating motors below 50% of rated loads
has a similar, but less significant, impact on the power factor. High motor efficiencies and a power factor close to 1
are desirable for an efficient operation as well as for keeping costs down for the entire plant and not just the motor.
Slide 26: Determining Load
Page 6
The first is input power measurement. This method calculates the load as the ratio between the input power
(measured with a power analyser) and the rated power at 100 % loading. Well look at this in more detail shortly.
The second is line current measurement. Here, the load is determined by comparing the measured amperage
(measured with a power analyser) with the rated amperage. This method is used when the power factor is not known
and only the amperage value is available. It is also recommended to use this method when the percentage loading is
less than 50%.
For example, a 480 volt three-phase AC induction motor is rated at 35 kW or 47 HP power output. The motor
draws 52.6 amps at full load. A current measurement indicates that the motor is actually drawing 39.7 amps. What is
the approximate loading of the motor?
Motor loading = 39.7 A / 52.6 A = 75% load
The third is the slip method. Whereby the load is determined by comparing the slip measured when the motor is
operating with the slip for the motor at full load. The accuracy of this method is limited but it can be used with the use
of a tachometer onlymeaning no power analyser is needed.
The input power measurement is the most common method. There are three steps:
1. Determine the input power at actual load conditions (Pinput)
2. Determine the input power at full load conditions (Pfull)
3. Calculate the load
Slide 28: Calculating Input Power
Here is how we would calculate the actual input power being drawn from the electrical measurements with the power
analyser.
Where:
Pinput = Three phase input power in kW, calculated from measurements taken at actual load conditions
V = RMS (root mean square) voltage in volts, mean line to line of 3 phases
I = RMS current in amps, mean of 3 phases, and
PF = the Power factor as a decimal
Slide 29: Determining Output Power
Heres how we would calculate the power used at full load.
Page 7
If the nameplate gives mechanical output in horsepower rather than kW, it can be converted by multiplying the
horsepower by 0.746.
Then:
HP = The nameplate rated mechanical power output in horsepower
Slide 30: Calculating Load
From this the load of the motor is calculated like this:
Where:
Pfull = Input power in kW, used at full rated load
Logically, by combining these equations it is also true that load can be calculated as shown:
Where:
Prated = Nameplate rated mechanical power output in kW
= Efficiency at full rated load
Or Prated can be replaced
Nameplate rated mechanical power output in HP multiplied by 0.746
This equation is often presented like this:
Page 8
With LF standing for Load Factor. If the motor is fully loaded, then the LF term may be left off, since it is 100%.
A 480V three-phase motor is drawing 36A. The motor has a power factor of 85% and is rated at 35 kW or 47 HP
with 91% efficiency at full load. What is the loading?
We start with the equation for input power:
Pinput kW = V * I * PF * 3 /1000
And we calculate as follows:
Which gives us the result:

25.4 kW
Page 9
Then we use the equation for the input power at full rated load. Here we are showing the metric and US versions.
Finally we calculate the load.
Where we find that the answer is 66%.

Page 10
Slide 32: Types of Loads

torque and power. Speed is the rotational speed of the shaft how fast it turns in RPM, for example. Torque is
the rotational force, determined by the speed and the distance from the center of the shaft. Power is the rate at
which energy is consumed to do work, for example, in joules per second.
The classifications of loads are:
Slide 33: Variable Torque Loads
Variable torque loads include equipment such as fans and pumps. These relationships are studied in more detail in
our classes on fans and pumps.
For these loads, torque varies with speed squared and power varies with speed cubed.
Imagine that at SpeedA we were obtaining TorqueA and PowerA.
If the speed was doubled--the motor will produce 4 times as much torque and eight times as much power.
Take a moment to look at these relationships, press the play icon when you are ready to continue.

Page 11
Slide 34: Constant Torque Loads

A good example of a constant torque load is a conveyor. For these loads, torque does not vary with speed and
power is directly proportional to speed. So when the motor runs faster, the rotational force does not change.
Slide 35: Constant Power Load

Lastly, in a constant power load, torque varies with speed but power is constant. When the motor runs faster there
is less rotational force, and the rate at which energy is consumed is the same. Examples include machine tools and
centre winders.

There are multiple factors that affect the efficiency of the motor
We have already seen the effect of load. Motors that are run below 50% of their rated load are dramatically less
efficient.
Other factors include:
Age: Motors are more efficient when they are new and decline in efficiency over time. The decline will depend on
how the motor is utilised and how well the motor is maintained. It is not easy to assess the decline in efficiency of a
motor in the field it requires very accurate instruments, such as power meters that can measure accurately at low
power factors when the motor is unloaded.
Capacity: As with most equipment, motor efficiency increases with the rated capacity. So you should not assume
that the same efficiency gains can be made with small motors versus large ones.
Speed: Higher speed motors are usually more efficient
Type: For example, squirrel cage motors are normally more efficient than slip-ring motors
Temperature: Totally-enclosed fan-cooled (TEFC) motors are more efficient than screen-protected drip-proof (SPDP)
motors, and
Condition: Rewinding of motors can result in reduced efficiency
Page 12
These factors should be remembered when multiple motors are being analysed. For example, it is not reasonable
to use an average motor efficiency for an analysis including motors that vary widely in their age, size, or speed.
Slide 38: Understanding Operating Costs
To make sensible decisions about motors, we need to be able to calculate their operating costs and compare the
results of different scenarios.
Slide 39: Operating Costs of Fully Loaded Motor-US
(After listening to the Introduction, click on each number below, to follow the problem step-by-step.)
For example, what would be the approximate annual operating cost of a 40 HP three-phase AC induction motor
operating continuously (24/7) at full load with rated efficiency of 94%? The electrical costs are as follows:
40 Horse Power
Demand - $12.60 / kW
Energy - $0.063 / kWh
Utility sales tax = 6%
First we calculate the annual operating hours, as shown.
Then we need to know how much power this motor draws, and how much energy it consumes. From those
numbers, we can calculate the demand charges and the energy charges.
Page 13
The efficiency equation looks like this.
Logically we can rearrange this to calculate the power input to the motor, from the power output and the efficiency
that we were given in the problem.
Now that we know the demand, we can calculate the energy used per year in kWh.

Page 14
Now we know both the demand and the energy consumption, we can calculate the annual charges. Demand first
Then energy.
The total cost is the annual demand and the energy charges added together, plus tax. Here is the answer.

Page 15
Notice that we included the demand charges in this calculation.

This makes sense when we are considering the costs of running this motor all by itself.
However, if there is other equipment in the factory that has a higher demand, the equipment with the highest demand
and the time of day that the demand occurs will determine the actual demand charges.
Slide 40: Operating Costs of Partially Loaded Motor - US
In the last problem the motor was fully loaded. How would we calculate the cost if the motor was partially loaded?
Lets try:
A 25 HP fan motor is operated at 75% load and has a power factor of 85%. If the motor efficiency is 90%, what would
be the annual cost of energy for the motor given 6,200 hours of annual operation and an average cost of electricity of
$0.075US/kWh?
We can apply this equation to calculate the demand drawn by the partially loaded motor, and we see the answer is
15.54 kW.

Page 16
Then we can use this to calculate the energy consumed and the annual cost of that energy.

Be sure to have adequate data for your calculations, especially when analyzing multiple motors.
Changing a motor for a smaller one will only reduce demand charges if the peak demand of the plant is impacted.
The marginal cost of energy should always be used when making calculations of savings for example, the cost of
the last unit of energy consumed. This becomes important in tiered rate structures where successive blocks of power
or energy are less expensive.
Page 17

For example. If a measure saves 10,000 kWh, the savings should be based upon the cost of the last 10,000 kWh
consumed, and not an average cost.
Using a blended rate can also be a problem. A blended rate may be calculated to combine various charges such
as connection fee, demand, energy and power factor into one average cost of energy.
This can sometimes be convenient for quick calculations, but if the blended rate is used to calculate savings that
reduce energy and not demand, the results will be misleading.
Slide 43: Summary
Today, we learned that an electric motor is a device for converting electrical energy into kinetic energy. Motors
typically run on direct current or alternating current. AC motors are by far the most common type of motor. In
particular we focused on the AC induction motor. In the simplest three-phase motor, there is one set of three
windings. In each winding, a magnetic field forms. Each magnetic field has two poles: North and South.
The two most important parts of an induction motor are the stator and the rotor. Motors convert electrical energy to
mechanical energy to serve a certain load. In this process, energy is lost. Types of loss include:
Power losses
Stray load losses
These intrinsic losses can be reduced only by changes in motor design and operating conditions. Losses can vary
from approximately two percent to 20 percent.
The factors that influence the energy efficiency of a motor include age, capacity, speed, type, temperature, and
condition.
torque and power. The classifications of loads are:
Page 18

Input power measurement
Line current measurement, and
The slip method
We also saw how to calculate annual operating costs. Remember that the efficiency of large motors is different
than small motors, so it is not safe to make general assumptions about efficiency when making calculations. Also
the marginal rate of energy should be used when estimating savings.

Page 19
Load From Input Power
Motor details
Voltage
Power output
Actual current
Power factor
Efficiency rated
Pinput kW
Pfull kW
480 V
35 kW
36.0 A
85%
91%
47 HP
*
1000
PF
480
36.0
*
1000
85%
1.732
25.4 kW
Prated
rated
kW
OR
HP
*
rated
0.746
Load
35
91%
OR
47
38.5
OR
38.5
Pinput
100%
100%
Pfull
25.4
38.5
66%
*
91%
0.746
Fully Loaded Cost US

Motor details
Operating hours
Load
Rated efficiency
40
HP
24 hours per day
100%
94%
Electrical tariff
Demand charges
12.60
$
kW
Energy charges
0.063
$
kWh
Utility sales tax
Annual operating hours
Since:
Efficiency
Logically
365 days per year
6%
24
hours
day
8760
hours
year
Poweroutput
kW
Powerinput
kW
365
days
year
Demand from motor = Powerinput
Energy used per year
Poweroutput
Efficiency
kW
40
HP
0.746
hours
year
Demand
8760 hours
year
31.7
kW
29.8
94%
kW
31.7
kW
Operating hours
277,692
Demand
31.7
4793.04
Energy
Poweroutput
kW
HP
HP
1
Efficiency
kW
kWh
year
kW
month
Cost
$
kW
12
months
year
kW
month
12.60
$
kW
12
months
year
Cost
$
kWh
$
year
kWh
year
0.746 kW
HP
1
Efficiency
Total cost
277,692
kWh
year
0.063
17,494.60
$
year
$
kWh
$
year
$
year
4,793.04
$
year
17,494.60
$
year
22,287.64
$
year
1.06
23,624.89
$
year
Sales tax rate
6%
Partially Loaded Cost US

Motor details
Operating hours
Load
Rated efficiency
25
HP
6200 hours per year
75%
90%
Electrical tariff
Average energy cost
0.075
Powerinput
HP
0.746
Efficiency
LF
25
0.746
90%
75%
Cost
$
kWh
15.54
Powerinput
kW
kW
Operating hours
hours
year
Cost
$
kWh
15.54
7226.88
kW
6200
hours
year
$
year
0.075
$
kWh

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Active Energy Efficiency Using Speed Control

Energy University Course Transcript

Identify main motor starting methods

Recognize the frequency converter principle and its advantages

Realize substantial energy savings using speed control

Reduce harmonic distortion generated by frequency converters

Calculate the payback of an investment in a variable speed drive

This starting method is suitable for stable

supplies, mechanically stiff and well

designed shaft systems - and it is the

on the market. The starting equipment

required current - and a thermal or

that is 5 to 7 times the nominal

Gear box or pulley

Hydraulic speed drive

The input rectifier converts the 3-phase network supply to DC.

The DC voltage that is obtained is then filtered.

From this DC supply, an inverter rebuilds an AC supply to feed the motor.

With options With options

Variable Speed Drive

The difference between the green curve and the

Boiler types and opportunities for energy efficiency

Schneider Electric 2012

[picture DDD Ltd]

Schneider Electric 2012

Slide 8: Fire Tube Boiler Configurations

[picture Spirax Sarco]

Slide 9: Typical Fire Tube Boiler Layout

[Boiler image Cleaver Brooks]

Slide 12: Typical Water Tube Boiler Design

Slide 13: Water Tube Boiler Design

gas to raise its temperature further. This is called superheating.

Slide 14: Water Tube Boiler Advantages

Slide 15: Water Tube Boiler

Schneider Electric 2012

Slide 16: Longitudinal Drum Boiler

Slide 17: Cross Drum Boiler

Schneider Electric 2012

Slide 18: Boiler Water Treatment

Boilers need to operate under carefully controlled conditions.

Slide 22: Pretreatment of Boiler Feedwater

Slide 23: Boiler Blowdown

Slide 24: Manual Boiler Blowdown

Slide 25: Continuous Boiler Blowdown

Schneider Electric 2012

Slide 26: Automatic Boiler Blowdown

Schneider Electric 2012

Slide 32: Condensing Boiler Layout

Fuel to air ratio

Schneider Electric 2012

Slide 39: Energy Efficiency Actions

Maximise the recovery of hot condensate

Schneider Electric 2012

Building Controls I: An Introduction to Building Controls

Summarize what a basic control system is

Describe the main types of control loops

When to turn on and off

How slow or fast to run

Data must be measured and provided as input to the system

Measured data then can be compared to a set of desired outcomes or instructions

Use the outside air temperature in its control logic

Set the boiler bypass valve to ensure that the water

Ht = (7.64.6) 0.57 * (35-22.2)

Ht = (2515) 0.1 * (95-72)