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Vision 2001: Energy & Environmental Engineering Ricketts Flanagan, Jana. The Fairmont Press 0881732362 9780881732368 9780585193717 English Power resources, Environmental engineering. 1996 TJ163.2.V57 1996eb 620.042 Power resources, Environmental engineering.
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Vision 2001: Energy & Environmental Engineering Published by The Fairmont Press, Inc. 700 Indian Trail Lilburn, GA 30247
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Vision 2001: Energy & Environmental Engineering ©1996 by The Association of Energy Engineers. All rights reserved. No part of this publication may be reproduced or transmitted m any form or by any means, electronic or mechanical, including photocopy, recording, or any information storage and retrieval system, without prior permission in writing from the publisher. Library of Congress Catalog Card No. 95-061895 Published by THE FAIRMONT PRESS, INC. 700 Indian Trail Lilburn, GA 30247 Printed in the United States of America 10 9 8 7 6 5 4 3 2 1 ISBN 0-88173-236-2 FP ISBN 0-13-244633-2 PH While every effort is made to provide dependable information, the publisher, authors, and editors cannot be held responsible for any errors or omissions. Distributed by Prentice Hall PTR Prentice-Hall, Inc. A Simon & Schuster Company Upper Saddle River, NJ 07458 Prentice-Hall International (UK) Limited, London Prentice-Hall of Australia Pty. Limited, Sydney Prentice-Hall Canada Inc., Toronto Prentice-Hall Hispanoamericana, S.A., Mexico Prentice-Hall of India Private Limited, New Delhi Prentice-Hall of Japan, Inc., Tokyo Simon & Schuster Asia Pte. Ltd., Singapore Editora Prentice-Hall do Brasil, Ltda., Rio de Janeiro
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CONTENTS Introduction Contributors Acknowledgements Section 1: Environmental Managment Chapter 1 -Environmental Compliance through Boiler Operator Training and Certification R.M. DeHart Chapter 2 -The Federal Interagency Working Group on Renewable Energy: A Federal Effort to Stop Global Warming L. Good Chapter 3 -Demystifying Green Buildings through Green Building Issues, Case Studies and Resources L.N. Simon Chapter 4 -An Assessment of the U.S. Occupational Safety and Health Market L.A. Little and R.K. Miller Chapter 5 -Climate Wise and BSR: Partnering with Business to Improve the Environment and the Bottom Line R. Calahan Klein Chapter 6 -Closing the Lid on Greenhouse Gas P.E. Herman Chapter 7 -Implementing Climate Wise at Johnson & Johnson H.A. Kauffman Chapter 8 -Comparison of Energy and Waste Management Costs and Opportunities for Reducing Related Costs in Manufacturing Plants R.J. Jendrucko and J.C. Overly Chapter 9 -Converting Environmental Documentation to Management Information M.J. Larsen and H.J. Frentz Chapter 10 -Remediation of Contaminated Soils and Sediments using Daramend Bioremediation S.M. Burwell, P.G. Bucens and A.G. Seech Chapter 11 -The Evolution of Soft Solutions for Coastal Erosion Control: A Study of the Development of Inflatable Sand & Water-Filled Geotextile Devices J.W. Sample Chapter 12 -Going Offshore: Asia Opportunities for Small U.S. Environmental Technology Firms J.D. Hallet and S. Ganguli
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Section 2: Indoor Air Quality and CFC'S 79 Chapter 13 -Ventilation Assessment of an Infectious Disease Ward Housing TB 81 Patients M.S. Crandall and R.T. Hughes Chapter 14 -Tuberculosis Infection Control Strategies in a Biosafety Level-3 Laboratory89 A.M. Weber and K.F. Martinez Chapter 15 -Practical Approaches for Health Care: Indoor Air Quality Management 99 A.R. Turk and E.M. Poulakos Chapter 16 -Improved Building Operation Through the Use of Continuous Multi-Point 129 Monitoring of Carbon Dioxide and Dew Point D.W. Bearg Chapter 17 -Ventilation or Filtration? The Use of Gas-Phase Air Filtration for 135 Compliance with ASRAE Standard 62 C.O. Muller Chapter 18 -Energy Efficient Strategies for Improved Dehumidification 145 C.C. Downing Chapter 19 -Clean Air Act Amendments Overview and Update 149 W.C. Turner and R.S. Frazier Chapter 20 -Title V - Steps To Obtaining An Operating Permit 159 M.E. Piper Section 3: Water Resource Efficiency 165 Chapter 21 -Estimating Water Resource Conservation Potential at Major Military 167 Installations D.R. Dixon, F.V. DiMassa and Q.K. Fitzpatrick Chapter 22 -Preliminary Water Audit at Ft. Carson Colorado Using the REEP Program 175 R.J. Nemeth, R.J. Scholze and P.G. Stroot Chapter 23 -Storm Water Management for Industrial Activities at U.S. Army 183 Installations R.J. Scholze and P.A. Josephson Section 4: Energy Management Strategies 189 Chapter 24 -Photovoltaics: Clean Energy Now and Into the Future 191 A. Catalano Chapter 25 -Wind Energy as a Significant Source of Electricity 195 R.G. Nix Chapter 26 -Cost-Effective Applications of Photovoltaics 203 J.P. Thornton Chapter 27 -Marketing Energy Services in a Competitive Environment 209 R.B. Mykytyn
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Chapter 28 -Efficient Markets or Efficient Loads?: Impacts From Electric Utility 215 Restructuring W.M. Warwick Chapter 29 -Energy as a Strategic Input to the Productive Process 219 C.D. Whelan Chapter 30 -Energy Management Program: Prince William County Public Schools 225 Manassas, Virginia G.T. Colbert and S.F. McTighe Chapter 31 -Improving Your Competitive Position Through Energy Surveys 229 T.D. Mull Chapter 32 -A Case Study of Energy Savings and Environmental Impact Reduction for 233 a Textile Facility D.K. Mowery and J.D. Risi Chapter 33 -Energy Conservation Opportunities in Eastern Europe 237 J.W. Zellhoeffer Chapter 34 -Writing a Performance Based Specification for ASD Systems 245 D.J. Van Son Chapter 35 -Matching Motors to ASD's 249 T.W. Atkins Chapter 36 -A Proposed Framework for a Comprehensive Energy Management 253 Program for Institutions J. Jones, P. Rojeski, H. Singh Chapter 37 -Walt Disney World's Utility Efficiency Awards and Environmental Circles 259 of Excellence P.J. Allen and W.B. Kivler Chapter 38 -Building Energy Codes: Perspectives from the States 263 L.J. Sandhal and Diana L. Shankle Chapter 39 -Post Implementation Variable Speed Drive Study Findings 269 J. Mont and C. Christenson Chapter 40 -Power Factor Benefits of High Efficiency Motors 277 B.J. Capehart and K.D. Slack Chapter 41 -Cost Effective Conversion of Fort Trucks to Compressed Natural Gas 283 L.J. Fields and S. Wharton Chapter 42 -The Oak Ridge National Laboratory and the New Technology 291 Demonstration Program G.E. Courville and P.W. Adcock Chapter 43 -Identifying New Technologies that Save Energy and Reduce Costs to the 299 Federal Sector: The New Technology Demonstration Program D.M. Hunt, D.R. Conover, M.K. Stockmeyer Chapter 44 -Renewables in Federal Facilities 307 B.K. Thomas Chapter 45 -Fuel Procurement strategies for the New York State Office of Mental 313 Health - A Case Study B.A. Raver
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Chapter 46 -ESP for Finding Opportunities 319 J.R. Puskar Chapter 47 -Integrating Energy, Waste and Productivity in a DOE Industrial 323 Assessment Center, Selected Case Studies E.A. Woodroof, C.D. Christenson, W.C. Turner Chapter 48 -Improvements in Industrial Audit Results by the Use of Alternative 327 Implementation Strategies D.K. Kasten and M.R. Muller Chapter 49 -Industrial Demand Side Management Status Report - Synopsis 333 M.E.F. Hopkins, R.L. Conger, T.J. Foley, J.W. Parker M. Placet, L.J. Sandahl, G.E. Spanner and M.G. Woodruff Chapter 50 -Energy Models for Integrated Process Plants 343 V. Venkatesan Chapter 51 -Management of Compressed Air Systems 353 S.R. Brod and S. Ray Chapter 52 -The Energy Smart Pools Computer Program 363 R. Jones, R. Martin and J. Gunn Chapter 53 -Annual Energy Consumption of Heated Pools in the United States 371 B. Lawson, R. Jones and R. Martin Chapter 54 -Power Marketing and Market Forces 381 L. Weiss Chapter 55 -Retail Wheeling: Analysis of Issues 389 H.G. Nezhad Chapter 56 -The Role of Regional Transmission Associations in Providing Open 393 Transmission Access and Services P.K. Bahl Section 5: Advance in Lighting Efficiency & Applications 401 Chapter 57 -New York State Office of Mental Health Lighting Revitalization Program -403 A Case Study C.P. Henry Chapter 58 -Fluorescent Ballast and Lamp Disposal Issues 411 D.L. Leishman Chapter 59 -A Prescription for Quality Lighting in Hospitals 421 T.A. Damberger Chapter 60 -Lighting Designs for Supermarket Applications 431 C.S. Warren
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Section 6: HVAC Systems 437 Chapter 61 -Central Plant Measurement and Diagnostics 439 D.J. Ellner Chapter 62 -Institutional Project Summary: University of Redlands Direct Fired Gas 449 Absorption Chiller System G.R. Tanner Chapter 63 -An Evaluation of Continuous Emissions Monitoring Systems for 453 Improving Industrial Boiler Efficiency H.M. Eckerlin and R.C. Hall Chapter 64 -Chiller Plant CFC, Energy and Operational Improvements... or, Killing 462 Three Birds with One Stone J.P. Waltz Chapter 65 -Industrial Central Chiller Facility Upgrade for Greater System Capacity 471 and Tighter Process Control E.J. Lizardos Chapter 66 -Heating, Ventilating and Air Conditioning Infrastructure Long Range Plan 477 T.W. Waller Section 7: Financing Energy Projects & Performance Contracting 483 Chapter 67 -Evaluation of Energy Saving Opportunities in a Public Education Facility 485 Via Performance Contracting P.F. Hutchins Chapter 68 -Life Cycle Assessment of Utility Options at a Federal Facility 495 G.L. Toole, R. Muschick, S. Balakrisshnan and R. Crane Chapter 69 -Using Operational Cost Reductions to Fund Energy Conservation 501 J.R. Smith Chapter 70 -Financing Performance Contracting 507 M. Heller and F. Wainwright Chapter 71 -Energy Solutions with Performance Based Contracts 517 C. Kane Chapter 72 -Utilities: Emerging Opportunities in Performance Contracting 525 G.W. Wood Section 8: Federal Energy Management Programs 531 Chapter 73 -New Ways of Doing Business in the Federal Sector: Energy Savings, 533 Performance Contracting and More M. Ginsberg Chapter 74 -Verifications of Savings: The Hunter Heat Pump Analysis 539 S.A. Parker
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Page x Chapter 75 -An Integrated Teamwork Approach to Regional FEMP Project Implementation A. Jhaveri Chapter 76 -Key Targets in Efficient Water and Energy Use C.W. Pike Section 9: Facilities Management Chapter 77 -Maintaining the Solution to Operations and Maintenance Efficiency Improvement R.J. Meador Chapter 78 -Energy Savings in Preventative Maintenance Surveys A.W. Rinne Chapter 79 -Power Quality and Harmonic Instrumentation Selection W.L. Stebbins and P. Golden Chapter 80 -Whatever Happened to the 60 Hertz Power? R.M. Waggoner
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INTRODUCTION The World Energy Engineering Congress for nearly two decades has delivered a high powered conference and exposition for suppliers and buyers of gas and electricity. This comprehensive reference represents the contributions of more than 80 authors who presented their findings at the 1995 World Energy Engineering Congress. This year's WEEC reflects the myriad of changes impacting our industryElectrical & Natural Gas Purchase - The emergence of over 100 power marketing firms and retail competition developments in states such as California, Wisconsin and Michigan are paving the way for a reevaluation of electric power purchase agreements. The WEEC addresses deregulation, the role of regional transmission associations on open access, impact on DSM programs, and end user purchasing strategies. In addition, natural gas issues such as unbundling of services and implementation of FERC order 636 are presented. Energy Management - The WEEC is known for the most extensive lineup on energy management. The US Department of Energy, Office of Federal Energy Management Programs has developed a highly focused program highlighting case studies, new tools for federal agencies and the DePartment of Defense. In addition, specific sessions address lighting efficiency, heating ventilation and air-conditioning, industrial process energy optimization and new developments in controls to reduce utility costs. Facilities Management & Pollution Prevention - The concurrent Environmental Technology Conference and Plant & Facilities conferences addresses a wide range of subjects from maintenance management, improving indoor air quality, process safety, meeting the Clean Air Act, boiler environmental compliance, CFC phaseout and reducing risk of infection in laboratories and health care facilities. We congratulate our cosponsors of the WEEC and ETE The Alliance to Save Energy American Gas Association/American Gas Cooling Center National Association of State Energy Officials U.S. Department of Commerce U.S. Department of Energy: Federal Energy Management Programs U.S. Department of Energy: Office of National Programs. U.S. General Services Administration U.S. Environmental Protection Agency: Region IV U.S. Environmental Protection Agency: Technology Innovation Office National of Environmental Professionals for supporting this program and playing a major role in forecasting technology transfer. We also congratulate the Association of Energy Engineers and its 8,000 members for providing the leadership for the development of the energy and environmental industry. The World Energy Engineering Congress continues to provide the essential forum for the energy industry. The sharing of information is important to the continued growth of the energy engineering profession. AEE is proud to play a major role in sponsoring this vital conference. ALBERT THUMANN EXECUTIVE DIRECTOR ASSOCIATION OF ENERGY ENGINEERS
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CONTRIBUTORS Adcock, Patricia w., Oak Ridge National Laboratory Allen, Paul J., Walt Disney World Atkins, Ted W., Baldor Electric Company Bahl, Prem K., Arizona Corporation Commission Balakrisshnan, S., Synergic Resources Corporation Bearg, David W., Life Energy Associates Brod, Steve R., Industrial Technology Institute Bucens, Paul G., Grace Dearborn, Inc. Burwell, Suzanne M., Grace Dearborn, Inc. Calahan Klein, Rebecca, Business for Social Responsibility Capehart, Barney L., University of Florida Catalano, Anthony, National Renewable Energy Laboratory Christenson, Clint D., Oklahoma State University Colbert, G. Thomas, Prince William County Public Schools Conger, R.L., Pacific Northwest Laboratory Conover, David R., Pacific Northwest Laboratory Courville, George E., Oak Ridge National Laboratory Crandall, Michael S., NIOSH Crane, R., Synergic Resources Corporation Damberger, Thomas A., Kaiser Permanente DeHart, Rita M., Cogentrix Energy, Inc. DiMassa, Frank V., Pacific Northwest Laboratory Dixon, Douglas R., Pacific Northwest Laboratory Downing, Chris C., Georgia Institute of Technology Eckerlin, Herbert M., North Carolina State University Ellner, David J., Engineered Automation Systems, Inc. Fields, Londel J., Oklahoma State University Fitzpatrick, Quinn K., Pacific Northwest Laboratories Foley, T.J., Pacific Northwest Laboratory Frazier, Robert Scott, Oklahoma State University Frentz, Hank J., Tracor Technology Resources, Inc. Ganguli, Swarupa, Sanders International Ginsberg, Mark, U.S. Department of Energy, FEMP Golden, Paul, Dranetz Technologies Good, Larry, AEE National Capital Chapter Gunn, Janet, U.S. Department of Energy Hall, Robert C., North Carolina State University Hallett, Jeffrey D., Sanders International Heller, Matthew, Energy Capital Partners Henry, Carol P., Novus Engineering, P.C. Hopkins, Mary Ellen F., ICF Kaiser, Inc. Hughes, Robert T., NIOSH Hunt, David M., Pacific Northwest Laboratory Hutchins, Paul F., Reynold, Smith and Hills, Inc. Jendrucko, Richard J., University of Tennessee Jhaveri, Arun, U.S. Department of Energy Jones, James R., North Carolina A&T State University Jones, Randy, U.S. Department of Energy Josephson, Paul, US Army Construction Engineering Research Lab Kane, Christopher, ER3 Inc. Kasten, Donald J., Rutgers University Kauffman, Harry A., Johnson & Johnson Kivler, William B., Walt Disney World Larsen, Michael J., Tracor Technology Resources, Inc. Lawson, Brian, U.S. Department of Energy Leishman, David J., Alta Resource Management Services, Inc. Little, Laura A., Future Technology Surveys, Inc. Lizardos, Evans J., Lizardos Engineering Associates
Lizardos, Evans J., Lizardos Engineering Associates Martin, Randy, U.S. Department of Energy Martinez, Kenneth F., NIOSH McTighe, Shaun F., Prince William County Public Schools Meador, Richard J., Pacific Northwest Laboratory Miller, Richard K, Richard K. Miller & Associates Mont, Javier, Oklahoma State University Mowery, David K., Virginia Polytechnic Institute Mull, Thomas D., Carolina Consulting Group, Inc. Muller, Christopher O., Purafil, Inc. Muller, Michael R., Rutgers University Muschick, R., Westinghouse Savannah River Company Mykytyn, Russ B., Utility Promotions Group, Inc. Nemeth, Robert J., US Army Construction Engineering Research Lab Nezhed, Hameed G., Moorhead State University Nix, R. Gerald, National Renewable Energy Laboratory Norland, D., Alliance to Save Energy Overly, J.G., University of Tennessee Parker, Steven A., Pacific Northwest Laboratory Parker, J.W., Pacific Northwest Laboratory Pike, Charles W., California Department of Water Resources Piper, Marie E., Dames & Moore Placer, M., Pacific Northwest Laboratory Poulakos, E. Mike, Landis & Gyr Prue, Virginia W., Kaiser Permanente Puskar, John R., CEC Consultants, Inc. Paver, Bruce A., Novus Engineering, P.C. Ray, Sumit, Industrial Technology Institute Rinne, Allan W., Allen Rinne & Associates Risi, John D., Virginia Polytechnic Institute Rojeski, P., North Carolina A&T State University Sample, Jay W., Eagle's Nest Consulting Sandahl, Linda J., Pacific Northwest Laboratory Scholze, Richard, US Army Construction Engineering Research Lab Seech, Alan G., Grace Dearborn, Inc. Shankle, Diana L., Pacific Northwest Laboratory Simon, Lynn, N., Simon and Associates Singh, H., North Carolina A&T State University Slack, Kevin D., University of Florida Spanner, G.E., Pacific Northwest Laboratory Stebbins, Wayne L., Hoechst Celanese Corporation Stockmeyer, M. Karen, Pacific Northwest Laboratory Shoot, Peter G., US Army Construction Engineering Research Lab Tanner, Glenn R., GRT & Associates, Inc. Thomas, B. Karen, National Renewable Energy Laboratory Thornton, John P., National Renewable Energy Laboratory Toole, G. Loren, Westinghouse Savannah River Company Turk, A. Robert, Landis & Gyr Turner, Wayne C., Oklahoma State University Van Son, Darryl J., Baldor Electric Company Venkatesan, V., Refineria ISLA Waggoner, R.M., Enteg Systems, Inc. Wainwright, Fred, Energy Capital Partners Waller, Thomas W., Columbus Air Force Base Waltz, James P., Energy Resource Associates, Inc. Warren, Carlos S., Reynolds, Smith and Hills, Inc. Warwick, W. Michael, Pacific Northwest Laboratory Weber, Angela M., NIOSH Weiss, Larry, CornPower Group Wharton, Shawn, Oklahoma State University Whelan, Casey D., CENERGY, Inc. Wood, George W., A&C Enercom/TRITECH Woodroof, Eric A., Oklahoma State University Woodruff, Madeline G., Pacific Northwest Laboratory
Woodruff, Madeline G., Pacific Northwest Laboratory Zellhoefer, Jon W., Telos Enterprises, Inc.
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ACKNOWLEDGEMENTS Appreciation is expressed to all those who have contributed their expertise to this volume, to the conference chairmen for their contribution to the 18th World Energy Engineering Congress and 5th Environmental Technology Expo, and to the officers of the Association of Energy Engineers for their help in bringing about this important conference. The outstanding technical program of the 18th WEEC and 5th ETE can be attributed to the efforts of the 1995 Advisory Board, a distinguished group of energy managers, engineers, consultants, producers and manufacturers: William W. Camp, P.E. Hydroscience, Inc. Stephen Cole Environmental Science & Technology Magazine Ted Collins U.S. Department of Energy Keith Davidson Gas Research Institute Mike Davies Earth Observation Magazine Douglas A. Decker Johnson Controls, Inc. Douglas Dixon Pacific Northwest Laboratory Shirley Hansen, Ph.D. Hansen Associates, Inc. Jon R. Haviland, P.E., CEM Criterium Haviland Engineers Tom Keenan Industrial Safety & Hygiene News George A. Kritzler Consolidated Edison Co. of New York MaryAnne Lauderdale, P.E. Energy Investment, Inc. Dilip Limaye Synergic Research Corporation Konstantin K. Lobodovsky Consultant William H. Mashburn, P.E. Virginia Polytechnic Institute Malcolm Maze Abbott Laboratories Richard K. Miller, CEM Richard K. Miller & Associates Harvey Morris Independent Power Producers Martin A. Mozzo, Jr., P.E. Kenetech Energy Management Inc. Graham B. Parker Battelle Pacific Northwest Laboratories Steven Parker, P.E., CEM Battelle Pacific Northwest Laboratories W. Curtis Phillips North Carolina Department of Commerce Patricia Rose U.S. Department of Energy Frank Santangelo Consultant Ron Smith General Motors Walter P. Smith, Jr. Energy Technology Services Consulting Jerry A. Taylor, P.E., CEM Jerry A. Taylor Environmental Albert Thumann, P.E., CEM Association of Energy Engineers Wayne C. Turner, Ph.D., P.E., CEM Oklahoma State University Richard A. Young, P.E. National Registry of Environmental Professionals
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The following organizations have given outstanding support in promoting principles and practices to help achieve savings, greater productivity, and lower operating costs. CORPORATE SUSTAINING MEMBERS Association of Energy Engineers ABB Industrial Systems Abbott Laboratories AirCon Energy, Inc. Alliance to Save Energy American Institute of Plant Engineers Association of Physical Plant Administrators of Universities and Colleges Australian Energy Solutions Broward County Government Center Energy Department CEK, Inc. Climate Control Commonwealth Edison Conservation Services Group Consolidated Edison Company of New York, Inc. CP National/Trident Energy Group CPU Service Corporation Diesal & Gas Turbine Publications DMC Services Electrical & Mechanical Services Department Electronic Ballast Technology E-Mon Corporation Energy Initiatives, Inc. Energy Management Specialists, Inc. Engineers Digest Enron Capital & Trade Resources Florida Power & Light Company General Services Administration GPU Service Group Hanson Energy Management Systems HaVAC Control Systems, Inc. H.F. Lenz Company Honeywell, Inc. International District Energy Association International Energy Society Landis & Gyr Powers MagneTek, Inc. MAMAC Systems, Inc. MBNA America M L Systems Corporation Montana Power Company Mission Energy Company MTI International PEP Division NALMCO (intN'l Assoc.of Lighting Management Companies) National Electrical Contractors Association National Wood Energy Association Naval Energy & Environmental Support Activity Naval Facilities Engineering Command NEOS Corporation Niagara Mohawk Power Corporation Northern Illinois Gas Company Obragas N.V. Old Dominion Electric Cooperative Otter Tail Power Company Pima County Facilities Management PSI Energy Public Service Electric & Gas Company Hagler Bailly Consulting, Inc. Rocky Mountain Institute
Rocky Mountain Institute Shanghai Society of Energy Research Siebe Environmental Controls Solium Inc. Staff Lighting Corporation Suncor Inc, Oil Sands Group SYCOM Enterprises Tennessee State University 3M Company Trinidad and Tobago Electricity Commission Universal Energy Control, Inc. University of Mass/Amherst University of Missouri US Army Construction Engineering Research Laboratory US Army Logistics Evaluation Agency V.E.I. Inc. Verle A. Williams & Associates, Inc. Western Area Power Administration/California Western Area Power Administration/Colorado
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SECTION 1 ENVIRONMENTAL MANAGEMENT
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Chapter 1 Environmental Compliance Through Boiler Operator Training and Certification R.M. DeHart Introduction The power plant for the Opa City Electric Works and Boiler Gasket Emporium1 was having its usual Monday morning supervisors' meeting when someone suggested removing the high pressure feedwater heater from service for the sole purpose of ''getting more megawatts.'' Since the feedwater heater was not considered to be "part of the boiler," it was assumed that removal of the heater would not affect air pollution emissions. Fortunately, the suggestion was shot down when calculations revealed that removal of the heater would result in a 7.5% decrease in the overall boiler efficiency along with a 21 lbm/hr increase in SO2 emissions. This document discusses the interface between sound boiler operating practices and compliance with environmental regulations. Good operating practice is most often a combination of comprehensive training, experience, a strong work ethic, and common sense. We will also explore the various aspects operator certification requirements, with a focus on ASME certification standards for high capacity fossil fuel fired boilers. Operator Training and Environmental Engineering For a new or recently modified facility, operator training is the last important step in the implementation of pollution control technology. This training can consist of one or more forms and occur at various times, including pre-start-up, during start-up, and during normal operation. Training can take the form of classroom instruction, self-study materials, interactive training (such as the simulator), and system walk-throughs. Often, companies require demonstration of technical competence such as written examinations, oral examinations, or certification by a licensing agency outside the company. Key elements that identify a comprehensive training program are: The pretest, which identifies students' level of knowledge; Instructor qualifications should have an operations background; Frequent use of example problems; Combining classroom and on-the-job training; The final training program evaluation. Safety No training program is complete without safety training. Power plants present special hazards that are not often obvious to novice (or sometimes experienced) employees. Superheated steam, hydrogen, sulfuric acid, sodium chloride, and chlorine are noticeable hazards that are common to all power plants. A plant operator's job often requires working in high places, around hot surfaces, and in confined spaces. Federal regulations require documented training in safety subjects and the handling of hazardous materials. Simulator Training Perhaps the most valuable tool for training power plant operators is a full-scale simulator coupled with a competent instructor. In today's increasingly competitive power market where cost effectiveness and environmental compliance are crucial, the simulator can be an effective way to teach heat rates, plant efficiency, and environmental consequences of both proper and improper boiler operation. Simulator instructors must have extensive knowledge in power plant 1 A purely fictitious place, of course!
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theory, operating skills, environmental regulations, and the simulator configuration itself. Self-Study Self-study training provides the power plant academics while accommodating varying work schedules due to shift work, outages, and overtime. Traditional materials consist of printed text that is often augmented by audio- or video-based media. The variety of training material is now being expanded to include computer based interactive educational packages that are constantly being upgraded. Although course content must be at a level that actually exceeds the operator's current job requirements, care must be exercised that the technology of the training medium itself is not overwhelming. Classroom Instruction The most expensive packaged training materials in the world do not replace the seasoned instructor who possesses knowledge in environmental regulations, plant specific equipment, and systems technology; and who has understanding of system interactions. One of the most important functions of the instructor is to answer questions and address specific problems. Classroom training is the best way to bridge the gap between generic training materials and plant specific training requirements. Air Contaminants Associated with Boilers Air contaminants are emitted from a many different sources and exist in a variety of physical states and chemical compositions. Sometimes these (primary) emissions can interact with each other in the atmosphere to form secondary contaminants. The following are some of the primary contaminants which are associated with boilers and the combustion process in general. Carbon Monoxide (Co) Carbon monoxide is a gas formed primarily by the incomplete combustion of carbon-based fuels. It is colorless, odorless and tasteless. The "Three T's" of combustion (time, turbulence, and flame temperature), along with oxygen concentration, are variables that determine the emission concentration. In the body, carbon monoxide is absorbed by the lungs and causes a decrease in the oxygen-carrying capacity of the bloodstream. Depending on the level of concentrations and the exposure time, the effects on the body can include impaired motor skills, drowsiness, impaired vision, and death. Lead Lead is a toxic heavy metal with relative abundance throughout the world. Stationary sources of lead emissions include waste incineration, iron and steel production, and battery manufacturing. Lead has many potential pathways through the human body, therefore, it is considered to be more than an air contaminant. Primary exposure occurs from direct inhalation, and secondary exposure is caused by ingestion. Lead affects the body at subcellular, cellular, and organ system levels to cause anemia, dulled awareness, and symptoms of brain and nervous system disease. Nitrogen Oxides (Nox) Nitric oxide (NO) and nitrogen dioxide (NO2) are the most significant air contaminants of the nitrogen oxide group. Nitric oxide is formed by direct combination of nitrogen and oxygen in a high temperature atmospheric combustion. When sunlight is present, nitric oxide combines with atmospheric oxygen to form nitrogen dioxide. Nitrogen dioxide absorbs light, and can reduce visibility even in areas where there is no particulate matter present. In the body, nitrogen oxides can cause various respiratory disorders. Nitrogen oxides can also cause deterioration of certain fabrics, fading of some dyes, and metal corrosion. Extended exposure can cause damage to vegetation. Particulate Matter Particulate matter refers to solid and liquid matter (both organic and inorganic) that is suspended as a result of stack emissions. Particulate matter can cause reduced visibility, eye irritation, and respiratory problems. The adverse effects of sulfur oxides are increased when combined with particulate matter. Sulfur Oxides (Ox) The primary source for sulfur dioxide (SO2) and sulfur trioxide (SO3) is the combustion of fuels containing sulfur (mainly coal) in the presence of oxygen. When coupled with particulate matter, sulfur oxides can cause irritation of the respiratory system, reduced visibility and corrosion of materials. The major contaminant of sulfur oxides is the formation of sulfuric acid (H2SO4). Sulfuric acid causes corrosion in boiler components and ductwork. Sulfuric acid is also responsible for acid rain, which has a pH less than or equal to 2 and is responsible for the acidification of streams and lakes as well as damage to vegetation. Boiler Operation and Environmental Compliance Years of experience in the plant control room does not always ensure best boiler operation. The good operator must have an understanding of boiler theory along with step-by-step operation. In this section, we will look at three operating scenarios, their adverse effects on the environment, and how training can reduce the occurrence of these mistakes. Feedwater Heater(s) Out of Service Feedwater heaters raise the temperature of incoming feedwater to a level which is close to the temperature of boiler water itself. Removing one or more feedwater heaters from service results in a decrease in the feedwater temperature entering the economizer. Every 10°F rise in
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feedwater temperature, results in an increase in the overall boiler efficiency of approximately 1 percent. The following example illustrates what happens when a high pressure feedwater heater is removed from service: Boiler Steam Flow Stem Temperature Coal Heating Value Feedwater Temperature at Economizer Inlet Boiler Steaming Rate Fuel Consumption Air Flow (3.5% Excess O2)
Heater in Service 265,000 lbm/hr 950°F 13,300 Btu/lbm 405°F 10 1 lbm steam/lbm coal 26,237 lbm/hr 281,000 lbm/hr
Heater Out of Service 265,000 lbm/hr 950°F 13,300 Btu/lbm 330°F 952 lbm steam/lbm coal 27,836 lbm/hr 297,000 lbm/hr
In addition to the reduction in boiler efficiency, operating with the high pressure feedwater heater out of service causes increases in both SO2 and NOx emissions.2 Too Much Excess Air Excess air is air supplied above the theoretical amount required for complete combustion. If too much excess air is supplied, the mixture and burning are lean. Excessive heat is carried out of the boiler, resulting in lower efficiency, and dense, white smoke is usually discharged from the stack. Increasing the excess air has the effect of lowering furnace temperature. Radiant heat transfer is a function of the difference in the fourth power of the temperatures, therefore, furnace heat absorption is greatly reduced, resulting in high exit gas temperatures. Insufficient Excess Air Incomplete combustion occurs when there is insufficient oxygen present, inadequate furnace volume, or lack of turbulence. If insufficient excess air or oxygen is supplied, the mixture is fuel-rich, resulting in a dark smoky fire. Unburned fuel (carbon particles and carbon monoxide) is carried from the boiler, and the flue gas exits the stack as black smoke. Does Training Really Help? Understanding the consequences of the first scenario requires knowledge of Rankine power cycles, heat balances, and basic mathematics, none of which is received by osmosis. Training is necessary. Avoiding errors in scenarios two and three requires knowledge in basic heat transfer, combustion controls, and correct hands-on operating techniques. Again, these skills are attained with training and practice. There is no way for a boiler operator to optimize efficiency and avoid environmental blunders without an understanding of both the theory and hands-on operation of steam and power generation. If an organization really wants to measure the importance of training all it has to do is to abolish its training program and observe the consequences (a crazy idea that is not recommended). The seriousness of the lack of knowledge combined with the absence of standardization is described in the paragraphs which follow. Controversy Surrounding Boilers and the Beginning of Codes and Standards From the mid-19th century until the early 20th, approximately 50,000 Americans died as a result of boiler explosions. During the 1850's, these accidents occurred on average one every four days, and were nearly as commonplace as automobile accidents today. Two particularly notable boiler explosions occurred in the 1800's which brought attention to the need for boiler safety. The first explosion took place in Hartford, Connecticut at the Fales and Gray Car Works, killing 21 employees and injuring 50. Three years after this, a group of business men in Hartford formed the Polytechnic Club with the purpose of improving the understanding of steam technology. The second notable explosion occurred shortly after the Civil War aboard the steamship Sultana in which twelve hundred Union soldiers lost their lives. Within two years, two members of the Polytechnic Club formed the Hartford Steam Boiler Inspection and Insurance Company. In 1880, a group of business-oriented professional folks founded the American Society of Mechanical Engineers. ASME members were basically entrepreneurial men who, although concerned about centralized governmental control of business, believed in good citizenship, community service, and enlightening others regarding problems in engineering (boiler explosions among the worst). In 1884, ASME members met in New York City to discuss boiler performance and subsequently authored the boiler test code. By 1911, the ASME had already published several codes pertaining to boiler inspection and testing, and was ready to form a boiler-code committee for the purpose of standardizing the manufacture of boilers. The Uniform Boiler and Pressure Vessel Laws Society came into existence in 1915 to inform political jurisdictions about the new ASME code and to encourage them to adopt the code's provisions as law. In three years the National Board of Boiler and Pressure Vessel Inspectors would become the vehicle by which the ASME boiler code would be put into practice. The National Board was comprised of the chief boiler inspectors in jurisdictions where the ASME boiler code had been adopted as law. 2 Statistics were taken from an operating unit with the high pressure heater removed for maintenance. Operating with the high pressure feedwater heater out of service for one year results in a 94 ton increase in SO2 and a 45 ton increase in NOx. Source: David M. Krebs, Cogentrix Training Center.
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Today, the ASME is an educational and technical organization with over 100,000 members and a wide variety of programs including publishing, education, government relations, and the development of codes and standards. Recently, the ASME expanded its scope of activity to include the certification of individuals. Certification of Boiler Operators The prestigious history and sound reputation of ASME and its Boiler and Pressure Vessel Code are major reasons why the ASME was selected to develop and manage a nationwide certification program for fossil fuel-fired boiler operators. The ASME has already developed certification programs for municipal waste combustors and medical waste incinerators. Fossil-Fuel-Fired Plant Operator Certification Clean Air Act Requirements and EPA Response. Section 129(d) of the Clean Air Act requires the EPA to develop and promote a model training and certification program for boiler operators. In October 1992, the EPA initiated development of a training program for operators of high-capacity fossil fuel-fired boilers. On October 6, 1993, the EPA published the "Availability of Draft Student Handbook and Statement of Intent to Develop Training and Certification Programs for Operators of High Capacity Fossil Fuel-Fired Plants" in the Federal Register. On October 4, 1994, the EPA published the "Availability of Model State Training and Certification Programs for High Capacity Fossil Fuel-rued Plant Operators" announcing that a model state training program and related materials are available. The following are excerpts from the October 4, 1994 Federal Register notice that are applicable to persons involved in the certification process: The EPA Training Course is of modular design; The EPA recommends different levels or classes of certification; The final decision as to who will give examinations will be the decision of the states; The EPA will allow certification by ASME or another state approved certification program; The EPA recommends that the following classifications be certified lead operator, supervisor, chief engineer or equivalent, possibly outside contractors; All persons who have control over the process that can affect process emissions should be certified; The EPA will revise training materials to conform to the final ASME Standard. ASME QFO Committee and Standard. In August 1992, the EPA requested the American Society of Mechanical Engineers to develop and manage a nationwide certification program for fossil-fuel-fired boiler operators. This ensures at least one appropriate national certification program. In a nutshell, the ASME certification will cover persons who operate fossil fuel (or a derivative) fired boilers with an aggregate heat input of 10,000,000 Btu/hr or greater. In April 1993, the ASME Ad Hoc Committee held its first meeting. Follow-up meetings to draft an initial standard were held in October 1993, November 1993, and March 1994. In June 1994 the ASME Board of Safety Codes & Standards and the Council on Codes & Standards approved the formation of the Committee on Qualification of High Capacity Fossil Fuel-Fired Plant Operators (QFO) to develop the program. During the course of the development of the standard, three major areas of concern have materialized. (1) Boiler Size and Type: There is considerable discussion regarding the 10,000,000 Btu/hr entry level limit for boilers. This was clarified by the October 4, 1994 Federal Register Notice which again defines the 10,000,000 Btu/hr limit. The diversity of the fossil-fuel-fired boiler industry also raises logistics concerns regarding classifications of boilers as to fuel, firing equipment, and number of burners (where applicable). (2) Certification Subject Content and Levels: The EPA recommends more than one certification level. Also, the EPA makes it clear that more than air pollution issues should be covered in the certification program ("safety" is given as the example). (3) Approval of Alternate Certification and Training Programs: There are many concerns regarding the EPA approving company training programs and other licensing agencies in lieu of the ASME certification. The EPA has been approached by certification agencies such as the National Institute for the Uniform Licensing of Power Engineers, Inc. (NIULPE). The EPA has indicated that licensing agencies other than the ASME can be recognized if they can demonstrate equivalency. The standard is currently being written and is expected to be complete in 1996. Boiler Certification Programs. Many states, provincial governments, and municipalities require boiler operators to obtain licenses. Among the state and provincial governments which require licensing of boiler operators are Alaska, Arkansas, District of Columbia, Maine, Maryland, Massachusetts, Minnesota, Montana, New Jersey, Ohio, Alberta, British Columbia, Manitoba, New Brunswick, Newfoundland, Labrador, the Northwest Territories, Nova Scotia, Ontario, Prince Edward Island, Quebec, Saskatchewan, and the Yukon Territory. States without
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licensing requirements often contain municipalities that require certification of boiler operators. NIULPE: Many companies which own boiler plants require some type of operator certification; even in locations where there are no government boiler operator license requirements. This certification may be in-house, or may be granted through an outside agency. One such agency is the National Institute for the Uniform Licensing of Power Engineers, Inc. (NIULPE), a third party licensing agency that acts on a national level to establish standards for plant operators and stationary engineers of all levels. NIULPE also establishes standards for licensing agencies currently existing. NIULPE was incorporated on November 22, 1972, for the purpose of developing a standard set of qualifications in the field of Power Engineering to ensure the safe operation of all types of power generating equipment. NIULPE licenses have reciprocity in California, Connecticut, the District of Columbia, Georgia, Illinois, Iowa, Kansas, Massachusetts, Maryland, Missouri, North Carolina, Nebraska, New Hampshire, Nevada, New York, Ohio, Pennsylvania, Rhode Island, South Carolina, the United States Army Corps of Engineers, Virginia, and Washington. There are five classes of licenses and two commissions offered by NIULPE: Fourth Class Engineer (Fireman) Third Class Engineer Second Class Engineer First Class Engineer Chief Engineer A person holding a valid Chief Engineer license may also be commissioned as an Examiner and/or a Technical Instructor contingent upon recommendation by the National Board of Examiners and passing a written examination. Conclusion The fireman watches the water column on the boiler and adjusts the feed-valve so that the level is nearly constant. To keep the pressure of the steam constant he must move the damper, opening it when the pressure fails, or closing it when it rises. If more steam is required than a boiler is producing, the pressure will gradually fall, and, to prevent this, coal must be burned at a higher rate of combustion. This is accomplished by opening the damper and thus allowing more air to be drawn through the fire, consuming more coal. Should the demand for steam decrease, the steam pressure would rise and the damper would be closed to accommodate the new conditions."3 Times certainly have changed since operating procedures like the one quoted above were published. Duties and responsibilities of today's operators extend far beyond merely maintaining proper water levels, checking and maintaining steam pressures, and performing routine lubrication of rotating equipment. Operators now must monitor and manipulate sophisticated controls, understand and perform heat rate and plant efficiency calculations, troubleshoot and correct abnormal conditions, and be knowledgeable of applicable environmental regulations. Modern training programs must be sufficiently comprehensive to provide knowledge that allows operation within specified parameters. Such training is crucial in boiler plant facilities where safety and sound operating practices are essential to continued operation. References The American Society of Mechanical Engineers, The Why & How of Codes & Standards. The Babcock and Wilcox Company, STEAM/its generation and use, The Babcock and Wilcox Company, Barberton, Ohio, 1992. Corbitt, Robert A., Standard Handbook of Environmental Engineering, McGraw-Hill, Inc., New York, 1990. Keenan, Joseph H., Keyes, Frederick G., Hill, Philip G., and Moore, Joan G., Steam Tables, John Wiley & Sons, New York, 1969. Makanski, Jason, "Powerplant Training: Ensure your team's survival in the trenches." Power, McGraw Hill, New York, January, 1995. National Institute for the Uniform Licensing of Power Engineers, Inc., "Green Book," NIULPE, Inc., Verona, Wisconsin, 1972. Nichols, David, "More Confused than a Cat with a Rubber Mouse," National Board Bulletin, The National Board of Boiler and Pressure Vessel Inspectors, Columbus, Ohio, Summer, 1994. O'Keefe, William, and Elliott, Thomas C., Solving Plant Problems, McGraw-Hill, Inc., New York, 1984. Petrocelly, K. L., Physical Plant Operations Handbook, The Fairmont Press, Liburn, Georgia, 1988. Petrocelly, K. L., Stationary Engineering Handbook, The Fairmont Press, Liburn, Georgia, 1989. Potter, Philip J., Power Plant Theory- and Design, Robert E. Krieger Publishing Company, Malabar, Florida, 1988 United States Environmental Protection Agency, High Capacity- Fossil Fuel Fired Plant Operator Training Program Instructor's Guide, USEPA Industrial Studies Branch/ESD, Office of Air Quality Planning and Standards, Research Triangle Park, North Carolina, 1994. 3 Spangler, H. W., Greene, Arthur M. Jr., Marshall, S. M., Elements of Steam Engineering, John Wiley & Sons, New York, 1903, Reprinted by Lindsay Publications, Bradley, IL, 1984.
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Chapter 2 The Federal Interagency Working Group On Renewable Energy: a Federal Effort To Stop Global Warming L. Good Introduction Executive Order 12902, issued by President Clinton in March, 1994, requires that Federal agencies shall significantly increase their use of solar and other renewable energy resources that are cost-effective. Renewable energy 1) stops global warming, 2) saves domestic reserves of fossil fuels and 3) eliminates the need for imported oil, which now exceeds 50%. Today, cost effective applications for all renewables do, indeed, exist. The US Department of Energy's Federal Energy Management Program (DOE-FEMP) is charged with coordinating efforts among Federal agencies to implement the Executive Order. In mid-1994, FEMP formed the Interagency Renewables Working Group (RWG). What makes it unique and gives it a real chance for success is that it is a partnership of industry, DOE and other Federal agencies. The Association of Energy Engineers (AEE) has a seat on RWG. This paper describes the approach RWG is taking in dealing with barriers and getting projects "in the ground." RWG will measure its success by the number of Federal projects it can get into operation and the number of long-term commitments that agencies make to use renewables. Until the barriers to implementation of renewables are correctly identified and dealt with, however, the rest of the plan can only stumble forward. If the Department of Energy survives as a cabinet-level agency until the end of the decade, its Office of Energy Efficiency & Renewable Energy budget will be strong enough to sustain RWG's activity. Assuming success, this Federal effort will jump start the market. The Government's mass buying power will drive prices down and make renewable technologies affordable and familiar to the public. Results Let's get right to the point! What can we expect from the Interagency Renewable Energy Working Group (RWG)? RWG is divided into four subcommittees. Each includes private-sector members. Each wants results. 1. Barriers Purpose "The purpose of this subcommittee is to identify solutions to institutional impediments that prevent utilization of renewable energy technologies. The work of the Barriers subcommittee includes practical approaches to address identified problem areas. The approaches will be developed and submitted to the RWG." (This and subsequent quotes are taken from the RWG Implementation Plan.) Product The first barrier being tackled is direct internal project costs, or "internalities." By the end of 1995, the barriers subcommittee will have issued an assessment tool in the form of a checklist and spreadsheet. It helps the user quantify hidden costs or benefits that are frequently overlooked in project analyses. It compares renewables side-by-side with their conventional counterparts to achieve fair comparison. Examples may be portability or the avoided cost of extending fuel/utility service to the point of use. The internalities tool shows users how to assign value to these phenomena. It front-ends the NIST BLCC software for life-cycle costing of energy projects. 2. Model Plans Purpose "This subcommittee assists agencies in developing an internal agency strategy to plan and
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implement renewable projects. The committee has prioritized the technologies which are available immediately and are 'easy' for the Federal agencies to adopt. In addition, the committee supports each agency in establishing a long-term commitment to implementing the RWG plan. Initially, two or three Federal agencies will be provided specialized assistance by FEMP." Product Here is where agencies will state their long-term commitments. This subcommittee will issue a model plan to promote use of renewable resources within a Federal agency. RWG members from EPA and USDA are first developing sample plans for their own agencies. From that basis will come the model, expected out by early 1996. In turn, other agencies can use the model to develop their own action plans. 3. Project Criteria Purpose "The purpose of this subcommittee is to identify those technologies most suitable for advancement under the auspices of the executive order. A method will be developed to quantitatively determine the competitiveness of the projects. Industry is leading this effort." Product The output of this subcommittee takes the form of a matrix with technologies on one axis and geographical regions on the other. This device is for the very earliest stage of project consideration. It catches the attention of users and draws them into software developed by the next subcommittee. In its first draft, almost every square in the matrix is checked. To render it useful, the criteria subcommittee needs to adopt tougher standards and screen out less likely squares. Another point is that biomass is underplayed. Facilities personnel need much stronger encouragement to tap its vast potential. The matrix should break out the numerous biomass subtechnologies into separate categories. To supplement the matrix, the criteria subcommittee is also issuing US resource maps and a list of questions to help facility managers determine if a technology makes economic sense. The maps are most useful for establishing first communication and getting people interested. 4. Implementation Purpose "This subcommittee focuses on short term projects that are currently under development or will be developed in the next two years. It is the key subcommittee that identifies industry resource teams and offers project assistance to assist Federal agencies and in identifying 'showcase' projects. The industry teams will help agencies gain knowledge about products and technologies from relationships focused on implementation." Product Two excellent tangible results are emerging from the implementation subgroup: 1. FREScA software and 2. Industry resource teams. Federal agencies can call RWG for qualified explanations of specific renewable technologies. RWG will send a small team of representatives from the requested industry to answer questions and encourage interest. The Federal Renewable Energy Screening Assistant (FREScA) is a software tool to be used by energy auditors to prioritize future studies of potentially costeffective renewable energy applications. It was developed at the National Renewable Energy Lab (NREL) under a FEMP support contract. As a screening tool, it precedes building simulation software by one step. This is the group that ensures the ultimate success of RWG. The implementation subcommittee drives projects to startup and counts the score. If you are a Federal facility manager, you can call Bob Westby, committee chair, at 303-384-7534 and request introductions to key players. If you are a renewable contractor with a specific Federal project possibility, call Westby for direction. The Mandate The Implementation Plan's mandate goes a long way toward explaining why RWG is going to all this trouble: "Executive Order 12902 of March 8, 1994 Energy Efficiency and Water Conservation at Federal Facilities, specifies a series of actions. These actions, specifically outlined in sections 304 and 201, explicitly address the use of renewable energy in Federal facilities. Section 304 states that the goal of the Federal Government is to significantly increase the use of solar and other renewable energy sources that are cost-effective and that the Department of Energy (DOE) shall develop a program for achieving this goal cost-effectively. Section 201 states that DOE shah take the lead in implementing this order through the Federal Energy Management Program (FEMP). Section 306 specifically states that each agency involved in the construction of a new facility that is either owned or leased to the Federal Government shall utilize passive solar design and adopt active solar technologies where they are cost-effective. In addition, the Interagency Energy Policy Committee (656 Committee) and the Interagency Energy Management Task Force (Task Force) shall serve as forums to coordinate issues involved in implementing energy efficiency, water conservation, and solar and other renewable energy in the Federal Sector." How Much Impact? US oil imports just passed the 50% mark at the beginning of this year and are still climbing. Can RWG reverse this trend?
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To impact a situation so massive, RWG cannot just wait for new Federal construction. It has to find a way to retrofit most of 500,000 existing facilities. If efforts succeed in converting 10% of the energy needs from fossil to renewable in 10% of the Federal building stock, the impact is 1%, not noticeable. If, however, RWG can convert 50% of the energy systems in 50% of the buildings, the impact is 25% conversion to renewable. That would make a dent. 25% may be wildly optimistic, even over a decade, but that is what it will take to be worth measuring. The Reality The RWG Implementation Plan's opening statement declares, "The use of cost-effective renewable energy technologies is a keystone in reducing Federal sector energy costs and environmental impacts." Reducing costs may not be the real issue. Renewable technologies can be expensive. Environmental impacts should be the main issue. Some in RWG, including myself, believe that the cost of fossils should not be the baseline for justifying the cost-effectiveness of renewables. Quite the opposite, we think, the environmental impacts of renewables should be the baseline for justifying the continued use of fossils. First, force fossils to be cleaner, then force renewables to be cheaper, not the other way around. Renewable energy is dilute. It does not have the advantage of millions of years of compression and concentration that fossils had. The technologies to process it are generally expensive. It is a wonder that any cost effective opportunities for renewables exist. But they do. The reality of the mandate is that they must cost less in their life cycle than fossil counterparts. RWG is determined to make renewables work in the Federal Government, despite this handicap. Objective "The goal of Executive Order 12902 that this plan addresses is to significantly increase the cost-effective use of renewable energy, energy efficiency and water conservation in the Federal Government Federal agencies, DOE (including FEMP and the DOE Renewable Energy development programs) and the renewable energy industry have worked together to develop a process and set of actions that will result in new opportunities and new deployments of renewable energy. We believe this premise of such a collective process is critical to successful implementation of the Executive Order and to stimulate American renewable energy industry." Changing the entire culture is the only way to make significant increases in renewables. Obviously, changing a culture is a enormous job. A mere three dozen people sitting on the Renewable Working Group can have a serious impact only if they find powerful leveraging tools. Their test of effectiveness will be how well they go back to their home organizations and sell the program. Agencies have to specify, even demand renewables. Associations have to match their constituents up to receptive champions with good Federal projects. On another point, the objective of "significant increases" will never happen without support from the top, from those who set priorities. When these people begin to feel a sense of urgency toward renewables, then they are the ones who will change in the culture a) to value the contribution of renewables, and b) to let privatesector financing of Federal projects flourish. So Many Barriers, So Little Time The entire mission of RWG could be expressed in terms of barriers. Without barriers, we would already have renewable energy everywhere, and RWG would stand for something else. But barriers abound. It is downright difficult to tag the most difficult. Like playing king of the mountain, there is not enough room at the top for all the bad guys. Some point to apathy as the biggest culprit. Mission specialists, not infrastructure specialists, rise to the top of agencies. Naturally, then, missions will gobble the budget dollars and leave the small change for the "lowest first cost" energy equipment. Life cycle equipment costs and sustainablity are not what determine prospectus limits on construction projects. To many decision makers, paying utility bills is an irritation to be delegated downward. Of policy makers, one RWG member said, "Renewable energy is not even a blip on their radar screen." Another form of apathy is toward the environment. Global warming and emissions are "someone else's problem." Except for the smaller half of DOE, reverting to 1990 CO2 levels is not even a low mission priority for any cabinet-level agency. (EPA, despite its Herculean efforts toward this end, does not have a seat at the President's oval table.) Others cry "foul" over cheap energy. Most market prices around the world do not reflect the true cost of fossil fuel. Its vendors are not charged for the consequences of their wares. Most environmental damage and health costs attributable to fuel use are paid by other segments of society and remain external to the energy price structure. Hence, these costs are termed "externalities." If prices reflected the whole cost of energy, we would not need a clean air act, an energy policy act or an executive order. Market forces would rule.
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Although other agencies are already addressing externalities, RWG is deferring this battle. The National Park Service and the army's Construction Engineering Research Labs (CERL) both have programs to quantify and account for external costs. A very real fear of backlash, however, is preventing an offensive on this front by RWG. Members and the agencies they represent are not unanimous in their opinions on externalities. Without overwhelming buy-in, rocking the boat with a tidal wave of externalities could sink the boat. Sunk boats are as useful as dead heros. On the other hand, dealing with internalities (internal project costs) is not a controversy. It is a good starter project that everybody can love. RWG's internalities tool will expand people's thinking to consider what they previously overlooked. As a result, project analyses will be more complete and objective. This should work in favor of renewables. Room For Improvement At the moment, one weakness of RWG is in metrics. The Implementation Plan calls for RWG to establish a measurement policy, but it does not establish one. Agencies need to commit to tangible goals, and I suggest that the time is now. RWG should start counting, one project at a time, until the movement picks up steam. Then transition over to measuring percentage reduction of emissions at Federal facilities. Agree on a schedule, and do whatever it takes to stick to it. Another opportunity for strengthening RWG is to get full participation from the biomass industry. So far there is none. Overtures to this market segment have been weak, and response nil. Biomass fuels, in solid, liquid or gas form, are every bit as powerful in reversing atmospheric CO2 levels as all other forms of renewable energy. In the full cycle of planting and harvesting, the net CO2 accumulation is zero because plants consume as much alive as they produce dead. When displacing fossil fuels for combustion, biomass fuels keep on producing energy, even on the coldest nights, even after the sun has set or the wind has stopped. In terms of kwh or Btus, the biggest potential in renewables may lie with biomass. This merits attention. Plan For Success To meet Federal environmental goals, renewables need to be mainstreamed, not stuck beyond the grid. To summarize its best effort, RWG is determined to change Federal thinking into renewable terms. Training courses and continuing publicity campaigns will do that. Then employees will call on the industry resource teams, the criteria matrix, FREScA, the internalities tool, and the model plan. By the end of the decade, renewable thinking will be mainstreamed, although renewable technologies will still be in the sorter. In the beginning, my greatest fear was that RWG would produce nothing more than a report. My greatest hope was that we would actually turn the trends around in the Federal Government and pave the way for the entire country before the end of the decade. Reality will fall somewhere in between. RWG is leading a Federal effort that the United States can be proud of, and AEE is part of it. If RWG succeeds in budging the country, then oil imports can drop back to 50% and keep dropping. Then CO2 emissions will drop to 1990 levels and keep dropping. Then the pH of April showers will rise to 7 and stop. Then the President should declare a national holiday!
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Chapter 3 Demystifying Green Buildings Through Green Building Issues, Case Studies and Resources L.N. Simon Demystifying Green Buildings Information and research on sustainability, energy and environmental efficiency, and "green" technologies and products is emerging at a rapid rate. Worldwide, organizations are developing green databases, resource guides, standards, specifications, videos, assessment methods, and research tools to educate the building industry, non-profit organizations, governmental agencies, and the general public. Learning what information is available, knowing where to locate the resources, and accessing this information is the first step in designing and building green buildings. The American Society for Testing Materials (ASTM) describes green buildings as residential, industrial and commercial structures that are designed, constructed, renovated, operated, and reused in an environmentally and energy-efficient manner. Specifically, green buildings aim to lessen their global impact through energy and resource efficiency, to provide good indoor environmental and air quality, to assure occupant health and productivity, to encourage efficient modes of transportation, and to improve the site where they are located. These concepts need to be addressed not as a single issue, however, but in an integrated approach. Green designers and builders recognize that a decision made in one area often affects decisions made in others. Ideally, green building concepts are applied throughout the "whole building", and over its entire life cycle. Below is a list of green building resources organized by the life cycle of a green building, beginning with their Significance, and including Site Design, Building Design, Construction Process, Building Management and Operations & Maintenance. The resources include books, newsletters, sourcebooks, government publications, and electronic tools. Significance of Green Buildings Resources The Next American Metropolis, Ecology Community and the American Dream. Peter Calthorpe; Princeton Architectural Press, 1993. Gray World, Green Heart, Technology, Nature and the Sustainable Landscape. Robert L. Thayer, Jr.; John Wiley & Sons, Inc., 1994. State of the World. Lester Brown, A World Watch Institute Report, 1994. Ecology of Commerce. Paul Hawken; Harper Collins Publishers, Inc., 1993. Site Design Resources Energy-Efficiency and Environmental Landscaping. Anne Simon Moffat, Marc Schiler and the Staff of Green Living; Appropriate Solutions Press, 1994. Regenerative Design For Sustainable Development. John Tillman Lyle; John Wiley & Sons Inc., 1994. The Resource Guide to Sustainable Landscape. Wesley A. Groesbeck and Jan Striefel; Environmental Resources Inc., 1994. Building Design Resource Efficient Design & Systems Resources The Energy Design Handbook. Edited by Donald Watson, FAIA; The American Institute of Architects Press, 1993.
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Solar Living Source Book. John Schaeffer & The Real Goods Staff; Chelsea Green Publishing Company, VT., 1994. Indoor Environmental Quality Resources Indoor Air Quality, Solutions and Strategies. Steve M. Hays, Ronald V. Gobbell, Nicholas R. Ganick; McGraw-Hill, Inc., New York., 1995. Designing for Good Indoor Air Quality, An Introduction for Design Professionals. United States Environmental Protection Agency; Office of Air and Radiation, 1993. Materials Resources Environmental Building News. Alex Wilson, Editor; West River Communications, Inc.; Environmental Building News, RR 1 Box 161, Brattleboe, VT, 053019033. Environmental by Design, Professional Edition. Kim LeClair and David Rousseau; 1994, P.O. Box 95016, South Van C.S.C., Vancouver, BC, V6J 4W4. Interior Concerns Resource Guide. Victoria Schomer, ASID; Interior Concerns Publications, 1993, PO Box 2386, Mill Valley, CA 94942. REDI Guide Database, Andy Johnson, Editor, Iris Communications Inc., 258 East 10th Ave., Suite E, Eugene, OR, 97401-3284. Harris Directory: Recycled Content Building Materials, Second Edition, B.J. Harris, Editor, Stafford-Harris, Inc. 1916 Pike Place, #705, Seattle, WA 98101-1056, 206-682-4042. Construction Process Resource A Building Revolution: How Ecology and Health Concerns are Transforming Construction, David Malin Roodman and Nicholas Lenssen, A World Watch Institute Report, 1995. Building Management, Operations & Maintenance Resources Building Commissioning Guidelines, Portland Energy Conservation, Inc., Bonneville Power Administration, and United States Department of Energy, 1992. Building Air Quality, A Guide for Building Owners and Facility Managers. United States Environmental Protection Agency; Office of Air and Radiation, 1991. Protecting the Built Environment: Cleaning for Health. Michael Barry; Tricomm 21st Press, 1994. Additional Resources AIA Environmental Resource Guide; The American Institute of Architects Press, 1992; 1735 New York Ave., NW, Washington, DC, 20006. Environmental Code of Practice for Buildings and Their Services, S.P.Halliday; The Building Services Research and Information Association, 1994; Old Bracknell Lane West, Bracknell, Berkshire, RG12 7AH. A Primer on Sustainable Building, Rocky Mountain Institute, (970) 927-3851. Additional Electronic Tools AIA On-line, 800-864-7753 American Society of Landscape Architects Design Net, 4401 Connecticut Ave, NW, Washington, DC 20008-2369. Internet Environmental Section on Gopher EPA Public Access Gopher Green Building Activities AIA Committee on the Environment Chris Gribbs, Director, Design Practice Development 1735 New York Avenue, NW Washington, DC 20006-5292 (202) 626-7515
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U.S. Green Building Council Tom Cohn, Executive Director 7900 Wisconsin Ave. Suite 404 Bethesda, Maryland 20814 (301) 657-3469 Rocky Mountain Institute Bill Browning, Director of Green Development Services 1739 Snowmass Creek Road Snowmass, CO 81654-9199 (970) 927-3851 End Note: This resource list is not meant to be exhaustive, but merely a starting point. Please do not regard this list as an endorsement of the resources and organizations included, but rather as a bibliographical aid to resources which have been identified as helpful or the best currently available. This information is changing daily as a wealth of new research is completed and as new or existing codes and standards are update to reflect the available data.
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Chapter 4 An Assessment of the U.S. Occupational Safety and Health Market L.A. Little and R.K. Miller To date there is a scarcity of market data in the area of occupational safety and health. According to the only publication we found, Occupational Safety and Industrial Hygiene Markets, (Richard K. Miller & Associates, Inc., 1995), the total estimated U.S. occupational safety and health market is 17.4 billion dollars. Due to the size of this market and the consequent need for information, Future Technology Surveys, Inc. (FTS) undertook a series of surveys focussing on the occupational safety and health industry. Although much of the data is still being compiled and analyzed at the time of this writing, in September, 1995, FTS will have completed a series of 28 market research reports: Industrial Hygiene and Safety Engineering Consulting Services Industrial Hygiene Laboratory Services Industrial Noise Control Vibration Isolators Safety and Health Training Safety Training Materials Software for Industrial Safety and Health Ergonomics IAQ Consulting Services Industrial Medical Surveillance Industrial Audiometric Testing Hearing Protection Eye and Face Protection Head Protection Respiratory Protection Hand and Arm Protection Protective Clothing Foot Protection Toxic Gas Monitors Hazardous Chemical Containment and Storage Equipment Safety Signs, Tags, and Labels Fall Protection Industrial First Aid and Medical Equipment Radon Abatement Lead-Based Paint Abatement Fume Hoods Industrial Air Filtration Eye/Face Washes and Emergency Showers
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Market data resulting from FTS research, covering all of the topics given above, will be presented at the Congress. For the purpose of these Proceedings, however, the following information is excerpted from two recently completed FTS survey reports, Industrial Hygiene and Safety Engineering Consulting Services and Industrial Hygiene Laboratory Services. Within the consulting service industry, the consensus of expert opinion predicts steady growth over the next decade for the U.S. market, provided the trend continues toward an increased attention to quality of service. Increased acquisitions and consolidations give large corporations a marked advantage; however, smaller consulting firms can prosper as well. As a result of corporate downsizing, outsourcing for consulting services has increased. Overwhelmingly FTS panelists indicate regulation as the greatest factor contributing to market growth. Deregulation and a recessionary economy are likewise noted as primary threats to the marketplace. Business management trends include service cost reductions, efforts to lower overhead expenses, and further development of management teams. In short, although the industrial hygiene and safety engineering consulting market is forecast to show greater opportunities for growth, consulting firms need to become ''lean and mean,'' without sacrificing the quality of their work, if they are to survive and succeed over the coming decade. For the industrial hygiene laboratory market, the FTS panel of experts also indicate steady growth throughout the next ten years, but not without reservations. In an increasingly competitive atmosphere, laboratories must provide their clients with the highest quality services at the lowest possible prices, if they are to remain viable in the marketplace. Customer service, with an emphasis on "quicker turnaround times," is a trend predicted to extend will into the next five years. In line with customer service, communication with the client providing consulting as well as testing services is additionally noted as important for maintaining a strong client base. Other important trends include increased computerization and automation, certification of personnel, and a need for a wider range of advertising. Although careful management, particularly in the areas of cost control and customer service, is essential in this ever tightening market, opportunities exist for small as well as large laboratories in such areas as indoor air quality, lead analyses, and bioidentification. Laboratories that survive and succeed will be those managed with an eye to quality as well as cost, technology as well as client need.
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Market Distribution by Client for Industrial Hygiene Laboratory Services
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Chapter 5 Climate Wise and Bsr: Partnering with Business To Improve the Environment and the Bottom Line R. Calahan Klein Abstract American companies consume nearly 50 percent of the nation's energy. These companies, along with the utilities who provide them energy, produce nearly twothirds of the nation's greenhouse gas emissions. Developing and nurturing partnerships among companies, utilities and government agencies, and nonprofit organizations can lead to dramatic increases in the efficiency and productivity of American companies while simultaneously decreasing pollution and greenhouse gas emissions. The Business for Social Responsibility (BSR) Education Fund is a not-for-profit business organization that supports energy efficiency and pollution prevention practices within the business community and serves as a catalyst for change toward more environmentally sustainable development. The BSR Education Fund has joined forces with Climate Wise, a voluntary program of the U.S. Environmental Protection Agency and U.S. Department of Energy, to help companies to improve their environmental and enconomic efficiency by forming partnerships with their local utilities and other business resource providers. Environmental and Economic Sustainability In his book the Ecology of Commerce, business leader Paul Hawken describes his vision of a more sustainable economic system. In this system, a combination of market forces and public policies provide incentives to business to use energy and natural resources efficiently, increase the use of recycled content. make all products easier to disassemble and recycle, and reduce or eliminate the use of persistent toxic materials. Today, however, we are far from Hawken's vision, and the consequences for the environment and the economy are profound. American business, which often serves as the model for commerce around the world, is rapidly using large amounts of natural resources and creating volumes of waste that are quickly outstripping the natural environment's ability to assimilate them. More than 90 percent of the energy consumed in the United States for industrial and residential use, and transportation is produced by burning fossil fuels. Carbon dioxide from fossil fuel energy production and use is the largest contributor to greenhouse gas emissions. Without changes to current patterns of energy consumption, net carbon emissions are projected to grow to more than 1.3 million metric tons by the year 2000. Commercial and industrial companies consume nearly 50 percent of all the energy produced and 65 percent of all of the electricity generated by the U.S. each year. As a result, business activity generates more than 48 percent of the carbon dioxide emissions created each year.
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Businesses generate approximately 13 billion tons of waste per year. Because few products are designed to be disassembled or recycled, 98 percent of the products used in the U.S. are ultimately disposed in landfills or incinerators. The environmental consequences of business as usual can diminish economic competitiveness by generating large amounts of waste which increases production costs, business risks. and future liabilities. As the CEO of a Fortune 500 company recently remarked, "Pollution is a product we can't sell." Innovative companies are learning how to continuously reduce waste and energy use while increasing their productivity and benefits to their bottom line. Opportunities for Business To Benefit the Environment and the Bottom Line Business leaders have identified strategies to reduce waste while benefiting their bottom line. Companies that undertake energy efficiency strategies typically reduce their energy bill by 10 to 30 percent. Partnering with utilities and other technical and financial research providers enables companies to identify and implement process improvements that have significantly improved the efficiency and productivity of their operations. In 1991. one Breyer's Ice Cream plant and Boston Edison designed and implemented an energy efficiency project which cut electricity and water use at the plant by 30 percent. eliminated CDCs at the facility. cut production time for a quart of ice cream from 12 hours to 4 hours. and saved 160 jobs at the plant. The facility went from being one of the most inefficient to the second most productive plant in the Unilever system. (Unilever is Breyer's corporate parent and is the largest manufacturer of ice cream products in the world.) During the past year, the Breyer's plant has increased production and added 40 employees. A partnership between the Sacramento Municipal Utility District and Campbell's Soup Company implemented energy efficiency measures and on-site energy generation to retain 1700 jobs at Campbell's Sacramento plant. The company is now planning a major expansion site. Greenfield Tap and Dye. a manufacturer of tools and molds, worked jointly with Western Massachusetts Electric Company to redesign it's manufacturing process. Throughout this partnership. the company and the utility were able to take steps to reduce energy costs by $90,000 per year, eliminate the creation of hazardous waste at the facility cutting waste disposal costs by $180,000 each year, and improving productivity by reducing production time from 11 days to one. Business Leadership: Climate Wise and Business for Social Responsibility The Business for Social Responsibility (BSR) Education Fund works with the business community to integrate environmental considerations into business decision making and help companies to form partnerships and demonstration projects that benefit the environment and the bottom line. The BSR Education Fund is working with the Climate Wise program to encourage companies to realized the value of voluntary programs and partnerships to spur innovation and efficiency through performance oriented objectives. Climate Wise helps companies to identify opportunities to use new technologies, new processes and best management practices to improve their energy and environmental efficiency. Climate Wise member companies identify specific projects and strategies for reducing greenhouse gas emissions and forming partnerships to improve their economic and environmental performance. Climate Wise member company, DuPont has identified opportunities to reduce their emissions by more than 40 percent by the year 2000, with an annual cost savings of more than 30 million. Innovation Many companies are finding that a commitment to energy and environmental efficiency promotes innovation. Not only are companies appreciating considerable cost savings, energy efficiency and waste reduction, but they are looking far beyond the short term benefits and focusing on designing their products and production processes fight from the start. Quad/Graphics, Inc., a member of both Climate Wise and BSR, has recently developed a new ink jet printer head which can reduce the amount of ink used in the printing process by 50 percent and at the same time recapture 80 to 90 percent of the emissions from ink jet printing. Fetzer Vineyards, another Climate Wise and BSR member, has taken steps to reduce their energy use by 50%, use 100% recycled materials for packaging, and have completely solar powered facilities by the year 2015.
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The Opportunities Ahead Businesses are increasingly realizing the benefits of integrating environmental considerations into every aspect of their business, from the design of their products and facilities to the ultimate end use of their product. Business leadership is paving the way for innovation and new partnerships between government agencies, businesses and utility companies. The BSR Education Fund and the Climate Wise program are demonstrating that voluntary partnerships with the business community can lead to significant environmental achievements and spur increased efficiency, innovation and productivity.
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Chapter 6 Closing the Lid On Greenhouse Gas P.E. Herman In June 1992 the United States participated in the Earth Summit at Rio de Janeiro and joined other nations in signing the International Convention on Climate Change. Under the Convention, developed nations agreed to draft action plans for reducing greenhouse gas emissions which are harmful to the environment and may cause global warming. In October 1993, the Clinton administration led participating nations by releasing its Climate Change Action Plan prior to ratification of the convention. The plan articulates the U.S. pledge to reduce greenhouse-gas emissions to 1990 levels by the year 2000. Projects suggest that without the Climate Change Action Plan, net emissions of these gases in the United States will increase by about 7 percent reaching dangerous levels between 1900 and 2000. 1 Environmental onlookers were initially skeptical about the United States' ability to achieve these ambitious goals. In part, the skepticism centered on the fact that the U.S. Climate Change Action Plan, unlike the traditional, command-and-control programs of the past, was founded on the belief that voluntary programs could achieve results by enlisting the creative resources of the business community. Furthermore, the U.S. plan reflects the belief that various levels of government can work cooperatively with citizens, businesses, and industry to achieve results. The Climate Change Action Plan includes more than 47 voluntary initiatives designed to achieve stabilization of greenhouse gases. One Climate Change Action Plan initiative, Climate Wise, is a joint program of the U.S. Environmental Protection Agency (EPA) and the U.S. Department of Energy (DOE) that encourages and rewards voluntary efforts by industry to reduce gas emissions. The program encourages industry to take actions that reduce emissions cost-effectively. Climate Wise participants from industry have voluntarily set performance-improvement targets, identified emissions-reduction actions, and will monitor and report results. The program provides participants with access to technologies and information through workshops, seminars, and case studies that document successful private- and public-sector efforts. The program also gives public recognition to companies for their commitment to the initiative and their actual reductions in emissions. Climate Wise companies have been recognized at two White House conferences in the year since the program's inception. And local and on-site awards presented at such events, along with press releases and journal articles, will continue to highlight and recognize corporate achievements. The Climate Wise program currently enjoys the commitment of 12 companies: DuPont, Lockheed Martin, AT&T, Quad/Graphics, Weyerhauser, Georgia-Pacific Corp., Johnson & Johnson, Fetzer Vineyards, Etta Industries, Majestic Metals, Coors Brewing Co., and General Motors. Collectively, these companies represent approximately four percent of U.S. industrial energy use, and have pledged to eliminate more than five million metric tons of carbon equivalent greenhouse-gas emissions. In addition to reducing greenhouse-gas emissions, companies participating in the Climate Wise program are achieving tremendous cost savings based on more efficient energy use and waste stream reductions. U.S. companies sponsoring programs to reduce greenhouse gases have achieved cost savings on the order of $40,000 annually per facility. By the year 2000, DuPont has pledged to reduce equivalent energy use by 15 percent per unit of production.
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American Ingenuity Climate Wise incorporates four main tenets based on cooperation and voluntary compliance. First, in contrast to traditional regulatory schemes, the program does not use a one-size-fits-all approach to pollution control. Instead, it relies on the people closest to the pollution problems to use their insight to solve them. As president Clinton said in introducing the Climate Change Action Plan, the need for action regarding climate change is "a call, not for more bureaucracy or regulation or unnecessary costs, but instead for American ingenuity and creativity." Climate Wise provides a flexible framework that encourages industries to put their best ideas to work and offers them technical information and assistance. For example, EPA and DOE, along with Climate Wise companies and major utilities, are sponsoring 10 workshops across the country to share ideas and achievements. This type of consultation and peer exchange creates opportunity for continuous improvement. Second, the program reflects an important shift away from the practice of looking at single technology improvements in isolation or regulatory approaches that require investment in end-of-pipe pollution-control technologies. Instead, Climate Wise encourages a holistic, comprehensive approach to pollution prevention. Participants, for instance, are asked to scrutinize their operations in search of pollution prevention and energy efficiency opportunities that pose the most value for the enterprise as a whole. International pharmaceutical company Johnson & Johnson has taken such a holistic approach by pledging to improve equivalent energy efficiency by 10 percent by 1996; reduce office waste by 50 percent by 1996; and reduce production waste by 50 percent for nonhazardous waste and 10 percent for hazardous waste by 2000. Johnson & Johnson is also participating in several other voluntary programs including Green Lights, Waste Wise, and Motor Challenge. Indeed, Climate Wise companies take actions that achieve better environmental performance and yield bottom-line results. These companies are making process improvements that increase their productivity while simultaneously reducing energy and resource use. They are also switching to lower-carbon fuel sources, altering raw materials selections, and increasing their use of renewable energy. DuPont, an international leader in the chemicals industry, was the first company to sign on as a participant in the Climate Wise program and has committed to reducing its facilities' annual emissions below 1990 levels, by 2000. DuPont plans to meet this commitment by improving energy efficiency in their manufacturing operations, essentially eliminating nitrous-oxide emissions through capital projects that will either eliminate these emissions or recapture them for beneficial use 2; and reducing emissions of hydrofluorocarbons and polyfluorocarbons. These actions are producing excellent returns, and in many cases the energy efficiency improvements require no capital investment. DuPont expects to save $30 million this year from their efficiency initiatives. Beyond those initiatives, other Climate Wise participants are looking past their factory door for ways to positively affect greenhouse gas emissions. For instance, some companies - including Georgia-Pacific and Fetzer Vineyards are planting trees to absorb carbon dioxide, encouraging employees to use mass transit or car pool, and adjusting shift schedules to reduce employee commuting. Third, Climate Wise encourages collaboration among the many players involved, including those in industry; federal, state, and local government; financial institutions; and trade associations. For instance, in Colorado, Climate Wise is working with an established group of industrial companies that are members of the Pollution Prevention Partnership. These companies include Lockheed Martin, Coors, Kodak, Hewlett Packard, and AT&T. Partners include Public Service of Colorado and government and public interest groups. In the fall of 1994 this group formed an Energy Efficiency Committee to help member companies develop innovative energy efficiency programs. Climate Wise personnel organized a technical conference on "Industrial Energy Efficiency Opportunities" to bring technical assistance providers together with select employees from the member companies. Companies will be creating energy efficiency plans that include a 1990 energy baseline, metrics, potential efficiency projects, company technical and financial needs, and discussion of barriers and solutions to energy efficiency. Fourth, Climate Wise acknowledges the achievements of participating companies. Recently, companies received plaques at a White House Conference on Environmental Technology, and were also recognized at a White House Conference on Climate Action. This recognition translates into positive perceptions among customers, investors, and other key stakeholders. Fifth, the Climate Wise program provides an "umbrella" under which companies can take part in more than one program. Lockheed Martin, a major defense contractor, is cornmingling its Climate Wise initiatives with several other projects tied into the Climate Change Action Plan. Among these other projects are Green Lights, which involves installation of energy-efficient lighting, Waste Wise, which supports recycling and reduction in waste generation, and Motor Challenge, which supports industry's use of high-efficiency motors.
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Agency officials are confident that the pledges these and other Climate Wise companies make, once carried out, will translate into significant reductions in greenhouse gas emissions. These reductions could play a crucial part in meeting the nation's commitment to cleaner air and a healthier environment. What's more, for most Climate Wise companies these reductions are also making a difference where it matters most in the private sector on the bottom line by boosting their competitiveness and productivity. In summary, a diverse group of U.S. companies have joined the Climate Wise effort. Telecommunications giant AT&T, one of the first companies to participate in the Climate Wise initiative to reduce greenhouse gas emissions, is requiring its business units to develop and implement five-year energy-management plans for each of their facilities. To date, 75 percent of AT&T's business units have completed five-year plans, and the company now expects to offset its greenhouse gas emissions by approximately 170,000 metric tons, and, as a result, save $50 million, by the year 2000. 3 Prior to joining the Climate Wise effort, California-based Fetzer Vineyards was already converting company vehicles to natural gas and/or electric, and encouraging employee mass transit and carpooling. Additionally, Fetzer was increasing its renewable energy use, and making various process improvements to reduce greenhouse gas emissions. As a Climate Wise participant, Fetzer has promised to work toward reducing its energy use by 50 percent by 2005. Fetzer also plans to provide company transportation via electric-powered busses to save on fossil fuel use, and to make its packaging from 100 percent recycled material and non-toxic, environmentally safe inks. Long-term plans include becoming 100 percent solar-powered companywide by 2015. Quad/Graphics, the largest privately held printer in North America, estimates that its participation in Climate Wise will result in a savings of 1.5 million kilowatthours of electricity per year and prevent emissions of 2.25 million grams of nitrogen oxides. Its goal is to reduce energy use by three percent annually while the company expects 50 percent growth. Savings from current energy-efficiency programs will save the company $450,000 each year beginning in 1995. Footnotes: 1. Climate Change Action Plan, copyright 1994, Clinton Administration. 2. DuPont Energy News. Vol. 3 #1 Spring 1994. (DuPont corporate publication) 3. AT&T Personal communication with Jim Walton, AT&T environment and safety engineer. Note: Specific pledge information was taken directly from pledge letters written by officials of the Climate Wise companies mentioned.
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Chapter 7 Implementing Climate Wise at Johnson & Johnson H.A. Kauffman Abstract Johnson & Johnson has had a formal energy program since the early 1970's. A corporate energy department was formed as a result of the disruption of energy supplies and rising energy costs. Johnson & Johnson is a decentralized company with many independent operating companies throughout the world. The corporate energy department cuts across the different levels of management to delivery energy related information to the actual implementers at all of our locations worldwide. Like many other energy programs, Johnson & Johnson's program had highs and lows depending on worldwide energy activities. Unlike many other corporate programs that were disbanded in the late 1980's, our program remained in place, although there was not a high level of interest or attention. In the early 1990's, the link was made between electricity generation and greenhouse gas emissions, initially by the Green Lights program and strongly reinforced by the United Nations agreement (U.N. Framework Convention on Climate Change in June 1992 at the Rio "Earth Summit") and the U.S. Climate Change Action Plan. As a result, our energy program at Johnson & Johnson received renewed attention and a significant effort is now underway to reduce our greenhouse gases through energy reductions. This paper will describe how Johnson & Johnson, a Climate Wise Partner, is undertaking various energy efficient programs and technologies throughout the U.S. to reduce greenhouse gas emissions. Our Pledge As a Climate Wise Partner, Johnson & Johnson committed to efforts to reduce greenhouse gas emissions. The major components of this pledge include: Complete a 10% equivalent (indexed to production, area and climate) energy reduction (1991-1996). Complete commitment to Green Lights (1991-1995). Complete commitment to Waste Wi$e. Participate in Motor Challenge. Eliminate the use of CFC's in our products, processes, refrigeration and chilling equipment (units of less than 5 tons exempted). Reduce office waste by 50% (1991-1996). Reduce production waste by 50% for non-hazardous waste and 10% for hazardous waste (1991-2000). Continue to conduct annual Earth Day in April of each year. Continue to conduct annual Energy Awareness Week in October of each year.
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Our Energy Program I am going to focus on the energy aspects of our pledge since these are the specific areas for which I am responsible. Our environmental group is responsible for the non-energy related components. First, let me cover our energy department. The department is made up of 3-1/2 people reporting to Corporate Engineering Services. The group includes a director, assistant, secretary, and a part-time engineering student. Up until 1992, there were only two people in the department, but with the renewed emphasis on energy, the department was expanded, even during a time of downsizing. This alone highlights the significance of our efforts. The major responsibilities of the department include: Managing Energy Reporting System Increasing Energy Awareness Communication/Technology Transfer Coordinate Joint Programs Act as Internal Consultant Energy Reporting System Although completing reports is a highly undesirable task, we must have an energy reporting system to manage our efforts and track our progress. From a corporate standpoint, we don't try to micro-manage our independent operating companies but rather provide them with the tools that they can use, if they want, to achieve the desired results. One example is a spreadsheet that tracks and graphs energy usage and costs on a monthly basis. This is for their own use only. The reporting requirement to Corporate is only a yearly summary, provided on a single sheet, with options to submit the report in one of several different formats. In addition, energy usage is indexed to production levels. Each individual location develops their unique production index and then their progress is measured against themselves on a year to year basis. The energy report highlights the trademarks of our energy program. We like to think that it is flexible. Numerous options are typically offered so that the appropriate components of the program can be selected for a customized program at the different locations. Awareness To enhance awareness, we conduct a yearly Energy Awareness Week, Worldwide. We attempt to heighten awareness of energy usage and reduction opportunities for the employees at home and in the workplace. A yearly event that stimulates a lot of interest is the Children's Coloring Contest. Competition and recognition occur at each location during energy week, followed by Corporate wide recognition. In 1994, we received entries from 120 Johnson & Johnson companies in 60 countries. In 1995, Energy Week was celebrated the week of October 23 with the theme "Keep the Future Bright: Save Energy". This theme, as well as the previous three themes have enabled us to highlight the link between pollution prevention and energy reduction. Communications/Technology Transfer Communications and technology transfer are enhanced through Regional committees, an Energy Manual, and newsletters. The energy manual includes recommendations for energy practices and technologies as well as Project Summaries of energy related projects completed at our various facilities. Regional committees meet every 1-2 years in Asia/Pacific, North America, Europe, Latin America, Canada and Puerto Rico as well as different geographic regions within the U.S. The real workhorse, though, is our Technical Advisory Council, which meets monthly to explore and test new energy related technologies and communicate the results worldwide. The T.A.C. consists of engineering managers, engineers, and maintenance managers or supervisors from all of our locations in New Jersey and Pennsylvania with voluntary representation from some of our remote sites; i.e., Ohio, California, and Massachusetts. We usually have 15-20 members in attendance at each meeting. The minutes of the T.A.C. meetings and the Regional conferences are distributed via newsletters Worldwide. Other special energy highlights, Green Lights, etc. are also communicated via newsletter. Coordinate Joint Programs The coordinated programs include: fuel purchasing, CFC phaseout, demand side management programs, all of the Climate Change Action Plans (Climate Wise, Green Lights, Motor Challenge, and Energy Star Buildings), and our Worldwide Energy Reduction Goal. The energy reduction goal, which is just one of our Pollution Prevention Goals, is really the umbrella, similar to Climate Wise, for all of our efforts. Using the goal as a basis for action, we offer the operating companies programs and recommended actions from which to select to achieve the goal. For example, while Green Lights is a U.S. program, information is distributed Worldwide. As a result, our Canadian companies used lighting as one of their first steps to
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achieve the goal. The initial energy reduction goal was a 10% reduction goal from 1991-1996. With increased awareness and a higher level of activity, the results have been outstanding. As a result, we have proposed expansion of the goal through the year 2000 to 25% for the U.S., Canada, and Latin America and 15% for Asia/Pacific and Europe. Although these are indexed reductions, if we meet these goals, we should be able to reduce our energy usage to the 1990's levels in actual terms. Internal Consultant As an internal consultant, we act as a clearing house for technical information. We develop and publish energy efficient recommendations for retrofit as well as new construction. We've developed a model for achieving the energy reduction goals to include two strong recommendations: completion of an energy survey and development of an energy profile. The energy profile is simply a breakdown of energy usage by major component and is presented in a pie chart. To complete energy surveys, we have developed national agreements with several companies from which they can choose. In addition, I conduct energy surveys upon request and have actually surveyed 70% of our space in the U.S., as well as 15% internationally. Recent Results Using 1991 as a base year, we have reduced our equivalent energy usage by 9.3% Worldwide with the U.S. achieving a 9.5% reduction. As part of the Green Lights program, we have upgraded 92% of our eligible space or 11.7 million square feet in the U.S. alone. We are participating in 3 Motor Challenge Showcase projects. Three different Johnson & Johnson companies volunteered to participate with projects. The applications include: Oxidizer: Variable Seed Drive, Energy Efficient Motor, Controls. Process Cooling Tower Pumps: Variable Speed Drives Dust Collector: Variable Speed Drive, Energy Efficient Motor, Controls We are presently rolling out the Energy Star Buildings program and have expanded the different stages of upgrades to include successful projects at various Johnson & Johnson locations. Whats in It for Us/You? All of the programs are being positioned under the Climate Wise banner which will allow our facilities to select what is most appropriate for them to achieve their long range energy and cost saving goals. We will continue to link the benefits of energy reduction to pollution prevention and greenhouse gas emission reductions. By making this link and increasing the awareness, we are now in a better position to focus on many readily available cost effective technologies. We are able to package a project that includes additional benefits beyond cost savings to include environmental, employee health, and productivity. We are taking a comprehensive approach, evaluating all of the options in the facility as well as the manufacturing processes. Being a flexible program, Climate Wise fits in perfectly with our decentralized philosophy and the approach that we have used in our energy program. By offering options and various recommendations, the Climate Wise program can enhance our efforts. Within Johnson & Johnson, all of the Climate Change Action Plans have allowed us to focus on energy efficient improvements, more so than since the early 1970's. Information provided by the EPA and the Department of Energy have added validity to manufacturers' claims as well as increased awareness significantly. Beyond this, we are forming a network of Climate Wise Partners to share information which enables us to accelerate our progress. Benchmarking is a natural outcome of this network which can highlight many additional opportunities. Can we or you achieve similar results without participating in these voluntary government programs? Of course, we could. But let me suggest, that in most cases, we would not. Climate Wise, along with other voluntary programs, can act as the catalyst, to stimulate energy reduction efforts, to accelerate them, and to identify additional opportunities. At least at Johnson & Johnson, these programs have moved our energy reduction efforts to the front burner.
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Chapter 8 Comparison of Energy and Waste Management Costs and Opportunities for Reducing Related Costs in Manufacturing Plants R.J. Jendrucko and J.C. Overly Introduction Both energy use and waste generation directly impact profitability in the industrial setting. While it is clearly desirable to reduce both energy use and waste generation, the attention given to these areas varies widely depending principally on managements' attention to these component costs of operation and previous efforts at reducing energy consumption and waste generation. From the early days of the ''energy crisis'' to the more recent case of growing concern with changing environmental regulations, plants have established incentives for the implementation of energy conservation and waste minimization measures based mainly on the payback period for specific recommendations considered and their ultimate effect on the company's profitability. Although most companies give periodic attention to operational costs related to energy use and waste generation, data has not been assembled which demonstrates the cost relationship between energy consumption and waste management for different industries (with a variety of SIC codes). In addition, the relative potential savings related to the undertaking of new measures for energy conservation and waste minimization in the industrial sector has not been clarified. In order to gain some useful insight into the current status of financial incentives for energy conservation and waste minimization in industrial manufacturing plants, actual plant data is required. For this purpose the authors utilized data recently obtained from industrial clients served under the University of Tennessee's Industrial Assessment Center (IAC) Program. The IAC Program, funded by the US Department of Energy, currently supports twenty-two universities to utilize engineering faculty and student teams to perform no-cost one-day assessments for the purpose of recommending measures for energy conservation and waste minimization in regional small- to medium-sized manufacturing plants. Client Plant Characteristics Background and Selected Characteristics Since the inception of The University of Tennessee IAC Program in 1992, 32 clients in a variety of industries have received a no-cost industrial assessment. Among these randomly-solicited participating companies, data analysis and reporting have been completed for 21 plants. The clients in the pool analyzed included companies with manufacturing operations encompassing 11 different two-digit SIC codes. Annual sales for the plants served ranging from $6 to $88 million (with the exception of one plant having sales of $232 million) for an average (excluding the exceptional case) of $34 million per year (see Table 1).
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TABLE 1: Client Pool SIC Codes and Annual Business Sales SIC Code Sales ($M/yr) SIC Code Sales ($M/yr) 22 19 27 30 24 15 28 50 24 36 30 21 25 20 30 52 26 18 32 60 27 8 33 5 27 13 33 65
SIC Code 34 34 37 37 37 37 37
Sales ($M/yr) 6 88 14 28 65 71 232
Methods of Determination of Plant Energy and Waste Management Costs For the client pool, only electricity and natural gas energy forms were used. Total annual energy costs for a recent twelve-month period were calculated directly from historical records of utility billings. This method of summing energy costs did not differentiate between electricity and natural gas use. Also, it should be noted that the yearly total energy use quantity included energy use for all purposes including plant utilities (e.g. steam, hot water, compressed air), lighting, space conditioning, and thus, was not limited solely to manufacturing process energy use.' In contrast to the relatively straightforward accounting for annual energy costs for the analyzed plants, the determination of total waste management costs was considerably more difficult and required several cost element approximations. For all waste streams reported by participating plants, including hazardous and nonhazardous wastes and air and wastewater emissions, total net waste management costs were summed to obtain a total annual cost. Cost categories considered included raw materials replacement, handling labor, administrative labor, and shipping and disposal. The elements of these categorical costs and typical sources of cost estimates are summarized below in Table 2. Distribution of Plant Energy and Waste Management Costs In the client pool annual energy purchase costs ranged from approximately $43,000 to $1.3 million while annual waste management costs ranged from about $60,000 to $1.8 million. The distributions of the ratio of energy to waste management costs for each individual plant was calculated and the ratio values are presented in a descending-magnitude order histogram (Figure 1). While there is a modest range of energy to waste management cost ratios for most small- to medium-sized companies served, these costs were clearly of the same order of magnitude. For the plant data analyzed, the ratio of annual energy costs to annual sales was found to range from 0.3% to 8.4% with an average of 2.1%. The comparative ratio of annual waste management costs to reported annual sales ranged from 0.1% to 11.5% with an average of 2.4%. These results Table 2: Waste Related Cost Sources Cost Category Typical Source Raw material replacementPurchasing records or purchasing officer estimates Handling and labor Plant manager's estimates Record keeping Plant manager's estimates Waste offsite removal Shipping receipts or manifests
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Figure 1: Ratio of Energy Costs/Waste C, vs. Plant SIC Code appear to support the conclusion that energy and waste management costs are typically a relatively small fraction of a plants cost of doing business as reflected in reported sales. Energy Conservation and Waste Minimization Opportunities Identified Based on the in-plant assessments performed for each client in the pool, several energy conservation and waste minimization measures were recommended. A list of energy conservation and waste reduction measures for consideration was obtained based on client preferences, the auditing team's experience and familiarity with a variety of manufacturing systems and the use of a checklist. Energy measures included those related to process equipment, plant utilities, lighting and HVAC equipment. Waste reduction measures included those related to process modification, material substitution, improved operating practices, and recycling and reuse. While energy conservation measures selected for recommendation typically had payback periods of less than three years, waste reduction measures having paybacks of up to five years were recommended occasionally (in the case of a reduction in a regulated waste). For clients in the pool, from 5 to 11 energy conservation measures were recommended with an average of 7 recommendations per plant. Waste reduction recommendations ranged from 2 to 5 per facility and averaged 4. The ratio of the number of energy conservation to waste reduction recommendations ranged from 1.0 to about 2.8 with an average of 1.9. This result suggests that the relative number of opportunities for economically attractive measures favor energy conservation over waste reduction by almost 2:1. This finding may reflect in part (1) the much longer time that The University of Tennessee IAC has performed energy audits (19 years) relative to waste assessments (7 years) (2) the fact that energy use in plants is ubiquitous while significant waste streams tend to be process-specific and (3) environmental regulations for many clients may have resulted in many potential waste reduction measures already having been implemented. Potential Cost Savings from Energy Conservation and Waste Minimization Recommendations The total potential cost savings for all energy conservation measures recommended for all companies in the pool ranged from approximately
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Figure 2: Ratio of Energy Conservation Cost Savings/Waste Reduction Cost vs. Plant SIC Code $6,000/yr to $415,000/yr with an average of about $50,000/yr. For the waste reduction measures recommended, the potential cost savings ranged from approximately $11,000/yr to $1.2 million/yr with an average savings of about $177,000/yr. For the 21 clients represented, the distribution of the ratio of potential energy conservation to waste reduction costs savings is depicted in Figure 2. From the data depicted in Figure 2 it can be seen that the ratio of energy conservation to waste reduction cost savings varied from 0.05 to just over 2.00 for which the average ratio was found to be approximately 0.5. Conclusion The results presented here demonstrate that while plant energy and waste management costs are of a similar percentage of sales, during assessments, about twice as many energy conservation versus waste reduction recommendations are typically made. However, the potential for cost savings achieved following measure implementation for waste reduction is over five times that for energy measures on average. In addition to this relatively greater financial incentive for waste minimization, many industrial plant-managers perceive added incentive in avoided future liability and risk. Liability avoidance alone associated with waste reduction may result in more frequent attention given to waste minimization relative to energy conservation in industrial plants. Fortunately, in many cases, there are direct linkages between waste generation and energy use in manufacturing operations (1) so that even if waste reduction is the primary focus of future process modifications, significant energy will frequently be saved when waste is effectively reduced. References 1. Thomas, T., Jendrucko, R. and J. Peretz. "The Distribution of Industrial Waste Generation and Energy Use Characteristics in Available Federal and State Databases." Proceedings of the 17th World Energy Engineering Congress and the 4th Environmental Technology Conference and Expo, p. 73-79, Atlanta, GA, December 7-9, 1994.
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Chapter 9 Converting Environmental Documentation To Management Information M.J. Larsen and H.J. Frentz Introduction The growth of environmental, health, and safety regulations and their reporting requirements has been extraordinary. Penalties for missteps in environmental documentation also grow more serious. Every major piece of environmental legislation requires facilities to collect data and maintain records, in many cases detailed records for long periods of time, on raw materials, processes, emissions, events, personnel, and many other facets of business operations. Unfortunately, for some organizations, the collection of data that satisfies regulatory requirements is an end in itself. Data acquired in this manner may result in little useful information that managers can use to foster their business goals. For organizations of any appreciable size, the volume of environmental data, in manual form, makes analysis difficult to impossible. For example, in 1993 a Fortune 50 chemical manufacturer with a superior environmental program received a notice from the Center for Disease Control that working with sulfuric acid might carry a risk of occupational cancer. Senior environmental managers posed the question, "Where in our facilities do we use sulfuric acid?" Two industrial hygienists spent six weeks researching the question. When they finished, they could state unequivocally where the material was used, but they could not say how much was being used, or who was routinely or occasionally exposed to the material or at what levels. The information was available, but not accessible and not in a useable format. Too often, data resides in disparate databases, in different locations, and within incompatible information management systems. There are many reasons for this. Perhaps chief among them is the compartmentalization of data that occurs primarily because of our legislator's and regulator's desire to foster environmental compliance in single unit elements, namely, air, water, land, waste, health, safety, and radiation. Thus, organizations develop and maintain individual databases that reflect the reporting requirements of the Clean Air Act, the Resource Conservation and Recovery Act, the Occupational Safety and Health Act, and so on. Each law produces a separate regulatory enforcement structure. Companies are forced to produce separate internal organizations to respond to these distinct regulatory declarations, even though environmental matrices are intimately linked in nature, and even though an organization's production processes are intimately linked within a similar corporate framework. Environmental data also becomes compartmentalized because of industry's inclination to decentralize business components, including environmental issues related to the component's operation. Though there may be a corporate environmental executive overseeing facets of environmental activities for the overall Organization, day-to-day decisions emanate from plant, or even department, environmental staff. This is frequently true of decisions regarding information systems. Individual business entities usually are free to purchase, install, and utilize whatever hardware or software is deemed appropriate to fulfill their unique business and environmental management goals. However, the information a company owns is nothing unless it is readily available in a useable form. Data that exists but cannot be accessed may be worse than no data at all. This simple point is abundantly clear to those companies unfortunate enough to experience an environmental "incident" resulting in extensive media coverage. At times like these, management decisions are
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critically important and must originate from the highest quality data available. The corporate costs associated with less than optimal environmental decisions can be very high in terms of adverse impact on reputation and community relations. The quality of these decisions is based directly on the quality of information available at the time the decision is made. These issues: 1. the compartmentalization of critical data, 2. data that exists on inaccessible computer platforms, and 3. data that cannot be accessed readily and intelligently by decision makers can impede management's ability to function quickly, efficiently, and cost-effectively. And today, the most successful companies make the best possible environmental decisions with the highest quality information available. This paper's central theme is simple. By managing environmental information faster and more efficiently, organizations can, first, manage environmental risk and its associated financial, legal, and public relations liabilities faster and more efficiently; second, create business opportunities not considered even a few years ago; and, third, operate the organization at a competitive advantage. Several tools to allow organization's to convert environmental data to management information, or more importantly, management knowledge, are discussed herein. Levels of Strategic Response An organization's response to environmental matters will take one of three forms: reactive, proactive, or innovative. The reactive organization focuses on achieving compliance with existing regulations. It focuses its environmental budget towards mitigation, remediation, and litigation. Action and direction relating to environmental affairs usually is initiated by low-level managers as a bottoms-up response. These organizations very likely comprise greater than 90 percent of all business enterprises. The proactive organization focuses on anticipating the direction of environmental regulation to minimize long-term compliance costs. This organization factors future environmental costs and risks into basic business decisions. Furthermore, existing environmental exposures are well understood by managers throughout the company. This category probably comprises less than 10 percent of American business organizations. The truly innovative organization uses environmental issues to create market opportunities and a competitive advantage. (Consider the reasoning behind so-called "clear" products for the home, "green" computers, recycled and recyclable packaging.) Senior managers initiate action and direction relating to environmental matters. Furthermore, the organization has clear environmental objectives and priorities, which it constantly integrates into planning, budgets, and performance evaluations. This category may comprise, at most, three to five percent of businesses today. All organizations must acquire environmental data according to the mandates of federal, state, and local statutes. We expect the reactive organization simply to collect, verify, and report data, as required by regulation. The proactive organization not only collects, verifies, and reports but also analyzes and, from this analysis, develops plans to advance distinct business goals. In addition, proactive firms collect data that is not required by regulation. For example, the regulatory agendas published by federal and state regulatory agencies may have a significant impact on the organization and can provide critically important information on pending or future regulatory initiatives. By making optimal use of existing data and by compiling data not required by statute, we can say that the proactive organization has converted data into information. The innovative organization, however, has advanced from the analysis of data, and planning for future needs, to utilization. Meta-data is data derived from data. Multiple data streams are organized in a way to produce new layers of information. For example, if SARA Title III high hazard chemical storage sites are mapped on a geographical information system, they can be compared to census data of adjacent neighborhoods and subsurface hydrogeology. Overlaying air dispersion and ground water flow models results in a planning tool of considerable value. In such instances, the innovative organization has converted information into knowledge. Information Management Tools In the past, many environmental data management tasks were performed manually and with limited corporate resources. Advances in software technology have resulted in significant improvements in data collection, assimilation, and analysis. In our experience, many organizations, even those with sophisticated technical programs, lack an integrated information management plan. This is illustrated by multiple software application programs being used in different parts of the organization. In decentralized companies we have seen inventories maintained on paper,
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spreadsheets, and word processing programs, as well as advanced database management programs. To further complicate matters, we find every possible computer platform and operating system. This patchwork of hardware and software results in manual data manipulation whenever it is necessary to utilize one data set with another. Translation programs are complex and time-consuming to use. Many stand-alone systems are designed with proprietary software and resist efficient consolidation. Furthermore, much of the software used for environmental management was written for character-based operating systems and, hence, does not incorporate the modern graphical user interface techniques that appeal to all levels of users today. A new approach to environmental information management can address and remedy each of the issues described above. The requirement we address is for a comprehensive information management system that utilizes a software architecture that can access all existing environmental, health, and safety data throughout the corporation, access regulatory information from a diverse set of sources, and integrate all environmental search and retrieval, and analysis tasks. The system should have an intuitive, easy-to-use interface, and present current corporate and regulatory information in optimal formats to all authorized members of the organization, thus increasing management efficiency. A migration path to an open systems environmental program can be provided by shifting to fourth generation language programming tools, including distributed client/server computing with object-oriented programming technology. Thus, portability across platforms, graphical user interfaces, relational database management systems, and local area networks are supported. The requirements of interoperability and application integration are driving the development of open standards and component-based reusable software. These open standards address not only the multiple platforms, operating systems, and local area networks in use today, but provide a means to be directly compatible with future platforms and operating systems. Geographical Information Systems All environmental information has a spatial component. In other words, all data is linked to a specific location. Geographical information systems (GIS) provide the ability to couple the data stored in a relational database management system (RDBMS) with software to map the data in formats unique to a single facility or multiple facilities in dispersed geographic locations. The system is infinitely flexible. The geography displayed may be worldwide facilities, or a single building. Categories of data are stored as layers. Table I provides several examples of the data layer options available. Data stored in a RDBMS is available for analysis and presentation to a user in several ways through the GIS. User analysis may be initiated by spatial queries and by logical queries. Spatial queries result in the display of tabular results and logical queries result in the display of spatial information. Additionally, the user may activate analytical tools such as air or groundwater dispersion models to operate on the data stored in a RDBMS. The results of the analysis may be graphically displayed with other spatial data for assessment. The block diagram shown in Figure 1 illustrates the major functional elements of the system. The RDBMS and GIS functions provide the core elements of the system for data storage, access, manipulation, and analysis. The GIS stores spatial data with links into the RDBMS for structure data related to the spatial data. The RDBMS additionally stores tabular data and raw data not directly linked to spatial data. The GIS/RDBMS technologies provide processes to index, store, and retrieve the system data efficiently. In the Data Entry function, the system data is prepared for loading into the RDBMS and the GIS. Data typically consists of diverse items such as floor plans, maps, safety equipment locations, organization charts, photographs, and other graphical and tabular data. The data to be stored in the system is captured, pre-processed, digitized, geocoded, formatted, and post-processed, as appropriate, before it is loaded into the RDBMS and GIS. In an operational system, this function includes the provision for editing, updating, and maintaining the data. The Data Analysis functions provide for user-initiated analytical processing of the stored data. The analysis functions can include simple statistical processing of selected data, creation of analytical data sets from modeling functions, such as air dispersion models, or the graphical intersection of spatial data. The Query Tools function provides the user with graphical interactive techniques for performing queries about the data stored in the system. Spatial queries of geographical data yield graphical and tabular results. Similarly, logical queries result in graphical and tabular results. The User Interface provides the user with a means to interact with the GIS, RDBMS, and other tools with a point-and-click style interface. The interface consists of
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forms, menus, and graphical displays through which the user passes commands and receives information resulting from the commands. The elements of the interface are organized logically and are consistent to promote ease of use. The Information Display consists of both video and hard copy outputs. The video output is the same as used for the user interface. This allows the user to dynamically review and analyze data in the system. Hard copy units are provided to make permanent records for later reference and review, or to produce presentation materials. These units provide for both color graphic plots and tabular reports. Intelligent Databases and On-Line Text Retrieval An intelligent database disseminates corporate policies and procedures to all members of the management team in a manner that permits rapid access to such information. It typically contains an inventory of regulated items, policies, procedures, compliance criteria, definitions, and synonyms, where appropriate. The intelligent database also may contain images, such as Material Safety Data Sheets, standard operating procedures, frequently inspected equipment, such as fire extinguishers, RCRA storage facilities, and critical control devices, plus sufficient geographical data to locate these items. Querying is accomplished using natural language techniques. Additionally, an intelligent database may provide connections to other facility information systems tools, such as metric-driven environmental audit systems and dispersed environmental sensor arrays. An on-line text retrieval system provides the ability to organize large bodies of information, typically regulatory information applicable to a given facility, that can be readily accessed by many levels of users. Searches are accomplished with a variety of natural language query techniques. Natural language querying is an important component of any high resolution environmental information management system. A natural language interface allows users to obtain information not available through specified screens. Users can also retrieve and save information in word processing, spreadsheet, or statistical analysis formats. Since the natural language interface is a very simple tool for users to learn, users are productive after a few hours of training. Figure 2 shows the relationship between a functional intelligent database and an on-line text retrieval system. The intelligent database uses smart agent technology to provide an information filter to the user by means of document prioritization and contextual grouping. The user interacts with the database to tailor and cull the information retrieved by the search. Smart agents, intelligent background processors that are activated by the system to complete an action required to satisfy or further a user request, can support the clustering of documents based on similarity to the terms of the user's query or by inferring a document's relevancy to general subject categories and other retrieved documents. For example, a request for information on toluene, a common solvent, would be recognized by the smart agent as the chemical toluene CAS No. 108-88-3, as a flammable liquid, and as a waste solvent. The information request is processed on all aspects of toluene. Smart agents can also alert the user to new regulations and resolve version conflicts by analyzing effective dates of regulations. Finally, a smart agent supports the extraction and formatting of selected information resulting from a search. The intelligent database gives the user an easy means of navigating through and paring down the potentially enormous amount of material that a search can uncover. This minimizes the need to submit additional refined queries. In Figure 2, the Database Viewer accepts queries from the user. It furnishes details on database items for viewing by the user and it provides a text link to the online text viewer. Furthermore, it provides an important connection to other information management system tools, such as automated data collection devices or auditing systems, which are discussed in the following sections. The On-Line Text Viewer allows text searches in four modes: document/section search, Boolean word search, synonym search, and hypertext links. The Viewer displays selected regulatory, facility, or corporate text. Indirect searches are accomplished using links to the intelligent database or via other information system tools. Expert Auditor An expert auditor program provides a uniform and consistent framework for regulatory self-audits. It fills several important needs. It provides management with a measure of the effectiveness of the environmental, health, and safety program within the company. It also supplies information on the allocation of corporate resources for risk and compliance management purposes. Furthermore, it reduces the need for expensive outside consultants to review operations on a regular basis to provide management with compliance status. The program uses all current information on regulatory and corporate requirements for environmental, health, and safety activities. The auditing function is interactive.
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Audit scoring is done automatically. An expert auditor also builds a history of cumulative scores and provides compliance diagnostics. Managers receive a metric to gauge progress towards regulatory compliance upon completion of an auditing task. For companies involved in quality management programs such as Total Quality Management, or one of the continuous improvement models, this auditing program is only one part of an overall system. On a regular basis, the status of the program must be reviewed by an outside (independent) group to assure the integrity of the data and determine if systematic errors are occurring. Figure 3 provides a functional diagram of an expert auditing system. Note that Figure 3 can be placed within Figure 2 where the link to other information systems tools is specified. The expert auditor contains three system data classes. The first is a database of audit questions, the second is the text of regulatory and corporate requirements, and the third is a database of auditable inventory items. The links with an intelligent database and an on-line text retrieval system are apparent. Each works in concert with the other to provide management with the tools necessary to make informed environmental and business decisions regarding the facility. The expert auditor presents audit questions and, if necessary, audit assistance, to the user. The audit questions may be pre-programmed, based on previous experience or a particular situation at the facility, or the audit questions may be developed and initiated through a link with the intelligent database. The user answers the questions, which the expert auditor accepts and stores as a metric to provide management with an objective measure of compliance. Additionally, the auditor provides a link to the on-line text retrieval system to offer a regulatory basis, including guidance, for the audit question. Operating in the background as a separate system, and collaborating with the other expert systems, is an ancillary routine referred to as a "facilitator". The facilitator works to build the audit question database, build the intelligent database, which may contain the inventory of regulated or auditable items, and maintain regulatory text and corporate policies and procedures. Operating as an audit question builder, the facilitator builds, updates, and allows for the editing of the audit question database. As a database builder, it constructs the links to the audit questions, and the regulatory and corporate text items, and it creates and updates the auditable item inventory. Finally, in its maintenance role, the facilitator can merge regulatory text updates by flagging text differences, and building search and hypertext links. Automated Environmental Sensing Private and public sector organizations have collected data from dispersed sensor arrays for years. In many instances, however, the data collected are only minimally processed. A comprehensive analysis may be dependent on other user-generated activities, such as a comparison with regulatory or community standards. A more useful and efficient program collects and analyzes data in real-time from the dispersed sensor arrays, correlates the results with the appropriate standards, and provides guidance to the user if excursions, or the threat of excursions, exist. Figure 4 provides a functional diagram of an automated data collection, retrieval, and reporting system. Note that, like Figure 3, Figure 4 indicates a link to other information systems tools. The dispersed sensor array continually provides raw data to a central processing unit. User inquiries result in raw or processed data, reports, or compliance statistics, which are generated seamlessly through the link with the information management tools discussed previously. Sensor data is compared, via an intelligent database or a regulatory text retrieval system, to the appropriate regulatory mandates. The system alerts the user if a data excursion occurs. If this happens, the ancillary system links provide immediate information to mitigate non-compliance, either with regulated items or organization standards. The possibilities of such a system span all sensor types with analog output, all environmental media, and all potential events. Examples include environmental noise, wastestream pH, stack emissions, or weather-related events. Note that the system need not be constrained to a single parameter. Primary data can be correlated with subsidiary data from similar sensor arrays. All processing is performed centrally, either in the compilation of raw data or processed information outputs, or after correlation with other facility, community, or regulatory information. Information and Communications Security Environmental data, and the management decisions derived therefrom, are among the most sensitive information possessed by any organization. The executives of many corporations realize, either from personal experience or from viewing the unfortunate situations of their colleagues; that the protection of such data is critical to preserve corporate resources and goodwill. However, with the proliferation of hardware and software that simplifies unauthorized access to
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information of all types residing on any system or platform, the need for electronic protection has increased dramatically. Figure 5 illustrates how information may flow electronically in a typical organization. Not shown here, but equally vulnerable, is data collected and processed by off-site sensors. Unauthorized intrusion into the information stream can occur at any point by persons associated with the organization or by unapproved third parties. Data security is now a paramount concern. Security devices range from the simple to the complex. Passwords allow users to gain access to the system, but only for items under their control, and can limit queries only to those with a need-to-know. Extra passwords can be issued for summary reports or for access to higher level decision support information. Ancillary security may involve sophisticated backup routines that restore files destroyed accidentally or deliberately. High-end data security involves encryption. Encryption can be implemented throughout the entire data and information transfer path shown in Figure 5 via hardware devices or software. Sophisticated codes encrypt data at the point of origin and decrypt it for authorized users at the point of reception. On-site data transfer may use software routines. Off-site receptors may use a combination of hardware and software. Dedicated communications lines are unnecessary. Security is assured whether the transfer is via land-based systems or satellite transfer links. Summary "Information is nothing unless it is available and in usable form." Too often, corporate managers seek to transform minimally processed data into the information necessary to develop a management decision that has important implications for the entire organization. Given the potentially serious legal, financial, and public relations implications attendant with a decision based on poor information, it is essential that all decisions result from an analysis of the best information available. This is a daunting task, especially in the absence of the appropriate data assimilation and analysis tools, and a proactive and supporting corporate culture. In simplest terms, three things are necessary to convert environmental data to management information. The first is a software architecture that accesses all existing data throughout the corporation. Second, managers must have immediate access to the full spectrum of federal, state, and local regulations that affect corporate operations. Finally, there must exist a way to continually integrate all environméntal search, retrieval, and analysis tasks. These are the three integral components of the advanced decision support tools discussed here. The benefits are obvious. First, managers have complete access to all historical databases. There is no need to replace existing systems. Second, the time necessary to search and complete an inquiry is greatly reduced because the linked databases provide quick access to regulatory and corporate information. Third, the tools discussed herein offer single system efficiency. There is no need to log-off of one system to process a query or result on another. Finally, redundant systems are eliminated, thus reducing overhead and increasing competitiveness. Converting environmental data into management information may require, in many cases, a change in corporate culture or attitude. Organizations comfortable in a reactive mode will find little of interest in this paper. Proactive firms, those seeking to anticipate the future direction of environmental legislation to minimize longterm compliance costs, may benefit greatly from these ideas. This is true not only because they may perceive ways to improve an environmental program that appears to be operating efficiently, but also because they will recognize that there are tools available to allow them to factor environmental information into their longer term business decisions. From that point, it is a relatively short journey to the ranks a truly innovative organization where they begin to use their environmental knowledge to create business and market opportunities. Organizations that are the true innovators may use these tools to improve a program that is, or that is close to being, world class. For example, firms with far flung business enterprises each with superlative environmental management programs will be able to view these programs synergistically to affect decisions made worldwide. Managing information faster and more efficiently to control environmental risk and its associated financial liabilities, to create business opportunities, and to operate at a competitive advantage is what we refer to as the power of information engineering.
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Table 1. Examples of GIS Data Layers DATA LAYER DESCRIPTION GIS TYPEDATA LAYER DESCRIPTION FACILITY DATA HEALTH AND SAFETY Aerial Photo Image Exposure Zones Area/Regional Map Line I.H. Monitoring Data Site Map by Division Area Heavy Metal-Based Paint Site Organization Chart Image Training Data Facility Floor Plan Polygonal Inspection Data Occupants by Division Point Asbestos Material Locations Process Flow Charts Image Chemical Lab Locations Audit Findings Image Chemical Hygiene Plans EH&S Cost Tracking Image Standard Op. Procedures Ergonomic Evaluations WASTE MANAGEMENT Repetitive Trauma Air Emissions Heat/Cold Stress Sites Air Emissions Sources Point NRC Licensed Sources Permit Conditions Image Results of Wipe Tests Test and Evaluation Data Image Location of Postings Waste Water Eye Bath Locations Waste Water Discharges Point Emergency Action Plans Waste Water Test Data Image Emergency Exits Sanitary Discharge Points Point Evacuation Routes Hazardous Waste Fire Extinguisher Locations Hazardous Waste Storage Point Individuals Trained Generator Data Image Lifting Devices Locations Waste Characterization Image Hoist/Crane Locations Notice of Registration Image Groundwater FACILITY SENSORS Monitoring Well Location Point Smoke Detector Locations Test and Evaluation Data Image Emergency Alarms Badge Sensors HAZMAT CONTROL HVAC Output Locations Chemical Storage Locations Point Security Camera Locations High Hazard Locations Point Reproductive Hazards Point COMMUNITY RELATIONS MSDS Database Image Remote Sensors UST Locations Point Residential Database UST Permit Conditions Image Complaint Database Leak Test Data Image Land Use Data
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GIS TYPE Polygonal Image Polygonal Image Image Polygonal Polygonal Point Image Point Point Point Point Image Point Point Image Point Line Point Image Point Point
Point Point Point Point Point
Point Polygonal Point Polygonal
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Figure 1. GIS/RDBMS Functional Diagram
Figure 2. Intelligent Database/On-line Text Retrieval Functional Diagram
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Figure 3 Functional Diagram of an Expert Auditing System
Figure 4. Functional Diagram of an Atumated Data Collection, Retrieval, and Reporting System
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Figure 5. Schematic of the Flow of Environment Data in a Typical Organization
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Chapter 10 Remediation of Contaminated Soils and Sediments Using Daramend Bioremediation S.M. Burwell, P.G. Bucens and A.G. Seech Abstract Soils and sediments containing polyaromatic hydrocarbons (PAH), petroleum hydrocarbons, heavy oils, chlorinated phenols, pesticides, herbicides and phthalates, either individually or in combination, have been difficult to remediate in the past. Not only the species of contaminant, but contaminant concentrations were roadblocks to successful use of bioremediation. DaramendTM remediation has removed many of these obstacles through extensive research. Bench-scale, pilot-scale and full-scale demonstrations have been conducted at a variety of industrial sites. At a manufactured gas site, 295 days of Daramend remediation reduced concentrations of chrysene and fluoranthene from 38.9 mg/kg to 5.9 mg/kg and 84.6 mg/kg to 7.8 mg/kg respectively. Elsewhere, the total PAH concentration in a silty soil was reduced from 1,442 mg/kg to 36 mg/kg. Concentrations of even the most refractory PAHs (e.g. pyrene, benzo(a)pyrene) were reduced to below the established clean-up guidelines. Total petroleum hydrocarbons (diesel fuel) have also been reduced from 8,700 mg/kg to 34 mg/kg after 182 days of treatment. Similarly, in a clay soil contaminated by crude oil processing, the concentrations of high molecular weight aliphatic hydrocarbons were rapidly reduced (138 days) to below the remediation criteria. Demonstrations with wood treatment site soils have proven Daramend remediation effective in enhancing the target compound degradation rates. Soils containing 2170 mg PCP/kg were shown to contain only 11 mg PCP/kg after 280 days of Darmend remediation. The issue of toxicity of soil containing increased amounts of pentachlorophenols was solved. Industrial soils containing phthalates have also been shown amenable to Daramend remediation with concentrations being reduced from 4350 mg/kg to 26 mg/kg in 130 days. Pesticide concentrations in soils have been lowered from 680 mg p,p-DDT/kg to 1.9 mg p,p-DDT/kg in 147 days using a cyclic Daramend technology. Daramend products are composed of non-toxic organic materials prepared to soil-specific particle size distribution, nutrient profiles and nutrient-release kinetics. The treatment process is based on the use of the Daramend products, specialized tillage/aeration apparatus, and strict control of soil moisture. Performance data collected during these projects indicate that Daramend remediation provides a cost effective method for clean-up of soils and sediments containing a variety of organic compounds. Introduction Bioremediation of contaminated soils and sediments is a natural process, relatively non-intrusive, cost-effective, and there is no residue to dispose of at the completion of the process. Early bioremediation processes were based on the addition of air, moisture, and inorganic nutrients to the contaminated soil. In general, early bioremediation technologies did not adequately address the difficulties associated with treating soils containing higher
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concentrations of refractory and highly toxic organic compounds, soils containing mixtures of contaminants, or soils having a high clay content. If any of these conditions were present, the required clean-up criteria were, frequently, not attained. In 1988, under the sponsorship of Environment Canada, Grace Dearborn initiated research on the development of an enhanced bioremediation technology which would overcome these limitations, and provide a reliable, technically effective approach to bioremediation. A more detailed understanding of the factors limiting microbial biodegradation of organic pollutants in contaminated soils and sediments was required: once these limiting factors were identified, effective means of addressing them were developed. Over the course of this fundamental research, a wide range of contaminated soils, from a physical, chemical, and microbiological perspective, were examined. The research identified certain physical and chemical conditions common to most contaminated soils and sediments which were limiting the activity of indigenous microorganisms that were capable of degrading the compounds of concern. Much of the research then focused on developing reliable, cost-effective methods of altering these physical and chemical limiting parameters, thereby permitting the native microorganisms to biodegrade the contaminants and bioremediate the soil. Addition of non-indigenous microbes was found to be unnecessary, since most soils contained microorganisms with the ability to degrade the contaminants of concern. The research resulted in the development of a proprietary bioremediation technology, DaramendTM. The technology, which is owned by Environment Canada, and licensed to Grace Dearborn Inc. is applicable to bioremediation of many soils and sediments previously thought to be unsuitable for bioremediation due to the nature or concentrations of the contaminants present, or the need to reduce contaminants to very low levels. Technology Description The core of the technology is alteration of one or more physical or chemical parameters of the soil or sediment to enhance the activity of naturally occurring microorganisms. The key to the success of the technology lies in a combination of theoretical and practical understanding of bioremediation with the use of soilspecific organic amendments. The amendments are solid-phase organic materials which alter the physical structure and chemical properties of contaminated soils and sediments, and enhance bioremediation by increasing the number of biologically active microsites. Implementation of the technology also includes management of soil water content and nutrients to provide an optimum balance of biologically available water, oxygen, and nutrients. Successful application of bioremediation depends on an understanding of how the process works in the soil type, and what factors are limiting microbiological activity. Prior to commencement of field operations, each soil is examined in the laboratory and soil-specific organic amendments are engineered. Factors which can influence bioremediation include soil water relations, the quantity and composition of available nutrients, the types of contaminants present, their concentrations, and soil physical properties. The contaminant concentration reduction required will also affect the approach used. Optimization of the technology prior to its application in the field results in increased certainty of successful results, shorter remediation time, and lower remediation costs. In-situ (without excavation) and ex-situ (after excavation) site remediation are suitable for application of Daramend bioremediation of soil. Treatment cells for excavated soil/sediment are constructed with HDPE liners; the excavated soil or sediment is screened to 4'' and deposited to a depth of 2.5 feet. The soil or sediment is then homogenized with specialized tillage equipment to reduce the variation in physical and chemical characteristics, and the appropriate organic amendments are uniformly distributed through the soil/sediment. Moisture content is maintained within a specific range, to facilitate rapid growth of a large and active microbial population. The soil/sediment is tilled regularly to increase oxygen diffusion to the lower layers to ensure the soil being treated is well aerated and to ensure uniform distribution of moisture, following irrigation. Impermeable covers are constructed to allow facilitate control of soil/sediment moisture content during treatment. In-situ treatment areas are maintained using similar protocols with the exception that no greenhouse type structure or liner system is used. The treatment regime used in both in-situ and ex-situ scenarios is optimized in the laboratory through soil/sediment specific treatability investigations, prior to the commencement of work in the field. Results Wood Preserving Sites Several demonstrations, including a full-scale demonstration audited under the US EPA SITE Demonstration program have been carried out at wood preserving plant sites. These sites had soils containing
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Figure 1. Influence of Daramend Bioremediation on Concentration of High Molecular Weight PAHs chlorophenols (e.g. PCP), creosote (e.g. PAHs), and carrier fuels (e.g. TPH). Development of the technology was based on compounds found in wood preserving soils. Early bench scale successes with soils from wood preserving sites included the reduction of PCP concentrations from 2170 mg/kg to 11 mg/kg in only 280 days. This far surpasses the concentrations of PCP which were previously thought to be too toxic for direct bioremediation. During one field demonstration, the total PAH concentration was reduced from 1,442 mg/kg to 36 mg/kg in 209 days and the concentrations of all target compounds were reduced to below the site remediation criteria (less than 10 mg/kg). During treatment some of the compounds were reduced to non-detectable levels. Figure 1 illustrates the high molecular weight PAH compounds biodegraded during treatment. During the same demonstration total chlorophenol concentrations were reduced from 702 mg/kg to 4 mg/kg in 345 days (Figure 2). The site clean up criteria for each listed chlorophenol is 5 mg/kg. It should be noted here that the time count is continuous, that even days when the soil was too cold for biological activity to occur were counted. Manufactured Gas Plant Sites An ex-situ demonstration was performed using excavated soil from a manufactured gas plant. The soil was monitored for PAH and total petroleum hydrocarbons (TPH). Initially, the average PAH concentration was 659 mg/kg. After 227 days of active Daramend treatment, a 75% reduction in PAHs was observed (from 659 to 167 mg/kg). It is significant to note that the total PAH concentration was reduced to below the 200 mg/kg criteria by the end of the active treatment program. The predominant species after 227 days of active Daramend treatment were some of the more recalcitrant species with 4-6 fused benzene rings. The concentrations of benzo(a)pyrene and benzo(b)fluoranthene for example were reduced from 47 to 19 mg/kg and 39 to 16 mg/kg respectively during the 227 days of active treatment.
Figure 2. Influence of Daramend Bioremediation of Chlorophenol Concentrations in Wood Preserving Site Soils
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The treatment plot was then decommissioned to accommodate other previously scheduled site activities. As a result it was necessary to stockpile the amended soil at another location and to end the active maintenance program. The stockpile was later sampled to determine the residual concentration of PAHs after 68 days of ''passive" treatment. At that time the concentration of total PAHs was 106 mg/kg(Figure 3). The data also indicate that even the more recalcitrant PAHs continued to be degraded after completion of the demonstration program.
Figure 3. Influence of Daramend Bioremediation on the Concentration of Total PAHs in Manufactured Gas Plant Site Soils The initial average total TPH concentration in the soil from the manufactured gas plant site was 4416 mg/kg. After 295 days of treatment, an 89% reduction to 478 mg/kg, was observed. Dredged Harbour Sediment Approximately 90 tonnes of sediment were removed from Hamilton Harbour using a modified Cable-Arm dredging bucket. A silt curtain and containment boom were deployed to contain sediment suspended as a result of the dredging. Data from pilot-scale Daramend bioremediation of dredged sediments from Hamilton harbour is presented in Figure 4. Initial concentration of total PAHs was 1,140 mg/kg. After 312 days of treatment, the total PAH concentration had been reduced to 110 mg/kg. Oil Processing Site The organic amendments are engineered not only for the type and concentration of contaminant(s), but also for the soil texture and characteristics. Clay soils are usually more difficult to remediate as a direct result of their soil structure. Dispersion of air, water and nutrients is affected by the presence of large clay platelets. The use of Daramend amendments has been successful in overcoming this physical barrier. The concentration of heavy hydrocarbons was reduced from 2,372 mg/kg to 226 mg/kg in 154 days in a clay soil (Figure 5).
Figure 4. Influence of Daramend Bioremediation on Total PAHs in Dredged Harbour Sediments. Plastics Manufacturing Site Field-scale operations based on several bench-scale studies expect to be started in 1995, in particular, remediation of a site with soils containing phthalates Soils containing phthalates at concentrations up to 4,350 mg/kg have been remediated during bench-scale optimization work. A concentration of 26 mg phthalates/kg was attained in 130 days (Figure 5).
Figure 5. Influence of Daramend Bioremediation on Phthalate and Petroleum Hydrocarbon Concentrations. Pesticide Manufacturing Site Similarly the feasibility of using Daramend bioremediation on soils containing organochlorine pesticides was investigated. Basic principles were again revisited with regards to the biodegradation of
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pesticides as the bioremediation approaches used in the remediation of soils containing PAHs, PCP and phthalates was not entirely applicable to these highly recalcitrant compounds. Bench-scale microcosm studies using three North American soils, containing (I) Metolachlor, (II) 2,4-D and 2,4,5-T, (III) chlorinated pesticides (including DDT, DDD, DDE and Toxaphene) were conducted. The most effective approach involved successive establishment of anoxic and oxic conditions in the soil. The anoxic/oxic cycling process, controlled by the addition of Daramend organic amendments and other agents, enhanced reductive decomposition of soil contaminants (in the anoxic phase) and contaminant biodegradation (in the oxic phase). Substantial reductions in contaminant concentrations have been observed. Metolachlor concentrations were reduced from 139 to 4 mg/kg, p,p-DDT from 684 to 2 mg/kg, and Toxaphene from 1,045 to 244 mg/kg(Figure 6). A patent on this technology has been granted.
Figure 6. Influence of Daramend Bioremediation on Concentration of Selected Pesticides Explosive Organics Site Soils impacted by explosive organics, including such nitroaromatics as 2,4,6-trinitrotoluene (TNT), due largely to past military activities, are also common. Bench scale treatability optimization investigations resulted in the reduction of TNT concentrations from 7,000 mg/kg to less than 20 mg/kg, in 125 days (see Figure 7). Again the patented cyclic approach of anoxic and oxic conditions was used in the optimal protocol. Soil Toxicity High concentrations of organic pollutants in soil/sediment can result in high toxicity. The effect of Daramend on soil toxicity was evaluated by standard toxicological assays (seed germination and earthworm mortality). The results indicated that soil toxicity had been substantially reduced or eliminated by the bioremediation. Earthworms exposed to the untreated soil from an industrial site historically contaminated with PAHs, chlorophenols and petroleum hydrocarbons died in four days, while worms exposed to the bioremediated soil, or an uncontaminated agricultural soil included as a control, remained healthy, even after 28 days (Figure 8). Seed germination assays provided similar results, indicating that before treatment the soil was very toxic, but after bioremediation the soil was as supportive of seed germination as an uncontaminated agricultural soil (Figure 9).
Figure 7. Influence of Daramend bioremediation on concentration of TNT in soil containing explosive organics.
Figure 8. Influence of Daramend Bioremediation on Soil Toxicity as Measure by Earthworm Mortality Conclusions The development and demonstration of an enhanced bioremediation technology, Daramend, has shown that bioremediation can be a cost-effective method for remediation of soils or sediments containing organic pollutants, even when the compounds are toxic to
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microorganisms and stringent remediation criteria must be attained. The cost range of the technology is from $30 to $150/ton (USD) depending upon the soil type, site conditions, the contaminants present, their concentrations, and the degree to which contaminant concentration must be reduced.
Figure 9. Influence of Daramend Bioremediation of Soil Toxicity as Measured by Seed Germination Daramend is a registered trademark of Grace Dearborn Inc.
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Chapter 11 The Evolution of Soft Solutions for Coastal Erosion Control: a Study of the Development of Inflatable Sand & Water-Filled Geotextile Devices J.W. Sample Abstract The Dutch people are the first known to have employed sand-filled containers in erosion control. The myriad of enormous dikes surrounding Holland provide continuous protection to a nation which is sited largely below sea level. The earliest fabric material used in the containment of sand for the construction of dikes and levees was a burlap type material which had severe limitations. The concept of filling sand bags for erosion control is long time proven. The problem has been primarily related to the inadequacies of the fabric materials containing the sand fill. A comparable analogy exists in the aerospace industry. Incredible achievements in high speed flight which have been accomplished in the last thirty years were previously impossible due to the inadequacies of the aircraft construction materials available in the first half of the twentieth century. The earlier concept of flight speeds exceeding the speed of sound were soundly based. The limiting factors were related to the then existent state of the art in aircraft (and later spacecraft) construction materials. Materials were gradually developed to allow the continual expansion of the known limitations of the flight envelope into outer space. The development of these ''Space Age'' materials were the result of alliances between government and private industry. It is of particular interest to note that many of the "Space Age" materials originally conceived through these initial alliances were later incorporated by entrepreneurs and private industry into applications and products far beyond the initial scope of their creators. The ultra light weight "Voyager" composite aircraft which accomplished the first non-stop flight around the world (without refueling) was designed and constructed by the Rutan brothers and funded through private donations. Developments in synthetic materials during the latter half of this century have also allowed the expansion of the known limitations of the "Flight Envelope" into inner space. The combination of high strength materials such as woven multi-filament dacron thread, extrusion coated with poly vinyl chloride (PVC Plastic) has resulted in the development of heretofore unknown materials known as "Geotextiles". Geotextile materials are high strength fabrics which have been specifically created for use in, on, under and around the earth. They incorporate exceptional strength with unique abrasion, puncture and ultraviolet resistance characteristics previously not available. State of the art geotextiles can even be color coated to match the specific beach sand color within the project area. The application of these space age geotextiles in the field of coastal erosion control has resulted in the development of a multitude of patented sand and water-filled erosion control devices which provide significant levels of storm protection for coastal homes and properties. Their use on sandy recreational beaches has proven to be more "user friendly" than the traditional hard structures such as rock and concrete revetments which prohibit recreational use of these areas. This paper reviews the evolutionary development of sand and water filled geotextile systems for erosion control.
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Introduction The evolution of soft solutions for coastal erosion control has occurred over the past four hundred years since the Dutch first employed small sand-filled fabric containers to shore up their dike and dam structures in the 17th century. The design and construction of coastal protective structures employing sand-filled containers has significantly increased in recent years due to the availability of engineered systems, geotextile developments, and the desire for "softer", more "user-friendly" shore protective structures for recreational beach users on sandy recreational beaches Public and environmental groups have become wary of the traditional "Hard'' erosion control structures such as steel and concrete seawalls and rock revetments within the sandy recreational beach environment. Miles of sand-filled container structures have been constructed along Florida's shorelines since 1981. Projects incorporating more advanced engineering designs and specialized geotextile materials have successfully weathered multiple major storms and hurricanes over many years. North Carolina has prohibited all coastal protective structures, except for the use of sand fill or sand-filled containers. Although severely overtopped, a four row sand-filled geotextile project permitted and constructed in Myrtle Beach, South Carolina survived a direct hit by Hurricane Hugo. A fourteen course sand-filled container project in Vero Beach, Florida weathered a direct hit by Hurricane Felix. Researchers at the Virginia Institute of Marine Sciences have also studied the use of sand-filled containers to protect eroding shorelines along the Chesapeake Bay [Byrne and Anderson, 1978]. The term "sand-filled containers" is used in this text to differentiate between the smaller "sand-bags," whose size limit slope stabilization applications to inland waterway and upland uses, and the much larger sand-filled containers, whose size allows them to be utilized on the open ocean coast. Traditional sand-bags are filled with approximately one cubic foot (0.03 cubic meters) of sand, and weigh approximately 90 pounds (40 kilograms). This allows filling of the small sand-bags from a centralized source, with subsequent placement at remote locations. The larger sand-filled containers must be filled in-situ, i.e. after they have been positioned while empty, in their final design position. The most common "pillow shaped" sand-filled containers are fabricated in various lengths, with a roughly elliptical cross-section of approximately four feet (1.2 meters) in width and one to two feet (0 3 to 0 6 meters) in height. A typical sand-filled container with a length of 20 feet (6 meters) has a dry weight of approximately six tons (six metric tons), with other lengths having proportional weights. One of the earliest of these types of containers was manufactured under the trade name "Dura-Bag", and has been used for emergency erosion control for many years. Sandbags and geotextile containers have also been used to construct harder, more rigid structures by filling them with grout or concrete. In these applications, the primary function of the container material is to provide a temporary form within which the concrete can harden. If the concrete-filled fabric units are joined together utilizing steel or fabric connecting/reinforcing elements, the engineering design and performance of these concrete-filled container structures is similar to that of other concrete structures. If individual units with no connecting elements are employed, their design and performance is similar to other rock or concrete unit rubble-mound structures. Geotextile erosion control structures employing sand or water as the fill material are inherently "softer" and more flexible than the more traditional "hard" rocks, concrete or steel structures. The primary functions of the more advanced sand-filled geotextile container systems is to contain the sand and present a specifically designed shape to the oncoming waves. To accomplish these tasks over time, the materials must be sufficiently strong and durable. Sand-filled containers have been utilized to construct a variety of traditional coastal erosion control structures, including both shore-parallel and shoreperpendicular structures. In recent years, many more shore-parallel structures (such as seawalls, revetments, and sills) have been constructed than the shoreperpendicular structures (such as groins and jetties), due to the potentially adverse effects of the latter to downdrift beaches. The use of sand-filled containers for groins offers the advantages of easy adjustments in lengths and heights by opening the containers and allowing the enclosed sand to enter the littoral system. Hence, groin systems and/or terminal groins for stabilizing beach nourishment projects, may be advantageous applications for sand-filled containers. This paper discusses the engineering designs of structures, principally revetment and sill type configurations. Container Material Evolution The prevailing weakness observed throughout the history of sand-filled containers employed in the coastal environment is the susceptibility of the fabric container materials to the ravages of nature at her worst. When uncovered by storm waves, the container materials may be subjected to high levels of abrasion, puncture and tear by wave borne debris Large storm waves routinely hurl dislodged timbers and pilings like javelins, into the face of ocean front structures. The earliest available fabric materials were unable to withstand even the ultraviolet deterioration resulting from long term sunlight exposure, much less the above onslaught.
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Humiliation and embarrassment can prove to be powerful motivational factors Disastrous experiments in the early 1980's with commercially available fabric containers, sewn together from PVC wipe coated dacron fabrics, resulted in the author's quest for geotextile materials equal to the challenges at the edge of the sea The author found that adequate materials simply did not exist. The majority of the evolutionary developments in specialized geotextile container materials and engineered systems have been accomplished in over a decade of purely empirical research. This ongoing research has resulted in three patents being issued to the author for sand and water filled geotextile erosion control systems. Today's space age geotextile containers are constructed of high strength, multi-stranded dacron threads, individually extrusion coated with proprietary, UV resistant PVC and woven into super strong, heat set fabrics State of the art geotextile containers are color coded to match the beach sand in the project area ProTec-Cell geotextile containers [Patent #4,919,567] are heat sealed together, not sewn, and may be fabricated in one piece over the entire project length. The ProTec-Shield II upper armor layer employs a much stronger, coarser weave material than the inner fabrics which contain the sand or water. This significantly increases resistance to abrasion, puncture, tear and ultraviolet deterioration. It also provides better traction for pedestrian traffic across the containers during exposed periods between storm attack and the post storm sand recovery cycle. Sill & Mound Structures The earliest use of sand-filled container structures for erosion control within the United States has been as a temporary or short term emergency measure, employed before, during or after storm events Smaller sand bags are routinely deployed during storm events in a scattered, random fashion in futile attempts to prevent further erosion. A more effective use of larger sand-filled containers (10' to 20' in length) is in the construction of a shore parallel row of containers along the shoreline. This configuration is referred to as a "sill," and can be further classified by its location as either a nearshore sill or backshore sill. The nearshore sill is placed near the mean high water line to help stabilize the shoreline by "tripping" the waves. The backshore sill is placed further landward and at a higher elevation to provide toe-scour protection for the eroding escarpment or sand dune. To increase the vertical dimension above one container height, two rows of containers with a third row on top are used. This design has been referred to as a "mound" structure, and is also the basic configuration employed in the cross-sectional design of sand-filled container groins or jetty structures. Although the height of the mound structure can be doubled by tripling the number of containers, higher mound structures are seldom utilized due to the exponential increase in cost to achieve an increase in height. Sill structures assist in stabilizing the shoreline by "tripping" incoming waves, causing them to break further seaward, thus reducing the wave action in their lee. Sills can also produce sand accretion through the deposition of the sand carried in suspension by the waves being deposited landward of the sill. Due to the limited "vertical protection window" (vertical dimension) of the sill structures, they are highly susceptible to being undercut and dislodged if the beach is lowered by erosion immediately seaward of the structure. Additionally, sill structures are less effective during storm surge conditions when the water levels and waves attack the shoreline at elevations significantly higher than the structures. These structures have proven to function best in areas with small tide ranges and/or gentle beach slopes, low-energy wave climates, and minimal storm surge susceptibility. The backshore sill, first developed and implemented along the east coast of Florida in 1981 by the author [Patent #4,729,691], has been used extensively along Florida's sandy beaches. The performance of sand-filled backshore sill container structures in Florida has shown that they can assist in providing toe-scour protection for the sand dune in low level storm events, but storms and erosion beyond the design limitations can cause movement and dislodgment of the individual containers. Although overtopping of the sill structures has occurred, the structures still provide some protection by tripping the waves and reducing the wave energy that is attacking the base of the sand dune. The principal vulnerability of the backshore sill configuration is due to the lack of adequate toe penetration, which allows the structures to be undercut. When the beach elevation immediately seaward of the structures drops significantly during an erosion event, the force of gravity causes the containers to slide down the escarpment, thereby being displaced both downward and seaward. The dislodgment of the containers is not generally uniform across the length of the structure, so that a jumbled mass of containers can result in a structure which is not aesthetically pleasing. Furthermore, the reduced elevation of the crest of the displaced structure reduces the level of protection afforded to the upland dune. Filter Cloth Foundations The first efforts to prevent the differential settlement of the sand-filled containers Consisted of underlying the containers with filter cloth foundation to help stabilize the soil supported structure, as is commonly done with rock structures. The filter cloth was also extended seaward of the containers forming a "toe-scour protection apron,"
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[Patent #4,729,691] and was sewn back on itself forming a tube that was filled with sand at the seaward end. This apron is intended to drop down as the beach erodes seaward of the containers, thereby preventing the containers from being undercut. The toe-scour protection apron has proven to function effectively in this manner, resisting undercutting as the beach drops seaward of the containers, thereby extending the effective penetration of the toe of the sill structure as much as three feet (one meter). A drop in beach elevation in excess of this amount, however, can still result in differential settlement and movement of the containers. Strap Restraint Systems Strap restraint systems have been developed to assist in maintaining the overall structural integrity of the sand-filled container structures. The purpose of the straps is to tie the individual containers together, to increase the stability of the overall structure, and to prevent individual containers from being displaced. The first strap system developed by the author employed a single strap tied completely around the cross-section of the containers. This circumferential strap system [Patent #4,729,691] was typically used at five-foot (1.5 meter) intervals along the length of the entire structure. Due to the ability of the individual containers to flex throughout their length, this strap system provided only a minor increase in structural stability. The next strap restraint system developed by the author consisted of a strap that went completed around each individual container, crossing between containers as it also completed encircled the cross-section of the structure. This strap system, referred to as a triple-loop strap [Patent #4,729,691], held the individual containers more securely. Over time and multiple storm events, the author observed a predisposition of the containerized sand to return to a "supersaturated" semi-liquid state during long duration, heavy wave attack. This phenomena allowed the sand to move around inside the containers, and to move away from the strap encircled areas, thereby loosening the straps and allowing individual containers to again be displaced. More recent developments in strap restraint systems utilize PVC pipes placed inside and running the length of each container with the straps tied directly to the internal PVC pipes, rather than around the outside of the sand-filled containers. The PVC pipe within each container is connected by internal straps between each row of the entire structure, and serves as a flexible "spine". The entire strap system is attached to a crest anchor tube that is buried landward of the structure, similar to the dead-man anchors used in seawalls and bulkheads. This state of the art strap restraint system greatly enhances overall structural stability and has proven effective in preventing the individual containers from being dislodged. A unique advantage of this internal strap restraint system is that all of the straps are underneath the containers, preventing them from being damaged by waterborne debris or vandalism. This strap restraint system requires the use of ProTec-Cell sand-filled containers [Patent #4,919,567] which are specifically fabricated to employ the PVC pipes inside the containers. The PVC pipe and the sand-filled containers are filled with sand after being placed in position. This strap restraint system is routinely employed in the "Subsurface Dune Restoration System" [Patent # 4,919,567], a sloped sand-filled container design which will be discussed in more detail in the subsequent section of this paper. Revetment Structures Sandbags and sand-filled containers have been employed to construct both vertical seawall or bulkhead structures and sloped revetment structures with varying degrees of success [U S Army Corps of Engineers, 1981]. The sloped revetment configurations have been more effective than the vertical structures in abating coastal erosion in areas experiencing significant wave climate activity. The sloped revetment type configuration is also the most efficient use of the containers, with a linear relationship between the required number of rows of containers and the vertical height of the structure. In the summer of 1983, the first large scale sand-filled container revetment structure was constructed by the author along the Atlantic coast in Jensen Beach, Florida. The project bridged the 750 foot (230-meter) gap between two existing rock revetments on adjacent coastal properties. This experimental proof of concept project consisted of eight tiers (or rows) of 20' long sand-filled containers, placed atop a filter cloth underlay on a slope of three horizontal to one vertical. The pillow shaped sand-filled containers employed were constructed of single thickness PVC coated dacron fabric manufactured under the trade name "Dura Bags". These containers were originally developed for temporary or emergency use, and were not designed for long term exposure to the elements. No strap restraint systems were employed to hold the containers in place, as they had not yet been developed. The completed sand-filled container structure was covered with beach sand to affect dune restoration and was revegetated with sea oats and other indigenous salt tolerant plant species. The project was partially stripped of sand while being attacked by large waves from an offshore tropical storm in the fall of 1983. The structure naturally recovered with sand which returned to the beach during the post storm recovery cycle. This project was repeatedly stripped of sand, followed by natural sand recovering, many times each year.
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The most notable erosion event to test this proof of concept structure was the November, 1984 "Thanksgiving Day Storm" which caused extensive erosion along the central east coast of Florida. The sand-filled container revetment provided substantial protection to the uplands during that major storm event, allowing only minor erosion of the uplands even though the structure experienced overtopping. Significant damage occurred to the sand-filled containers over the northernmost end of the project, due to puncture and tearing caused by massive wave borne rocks which were dislodged from the neighboring project. The project owners refused to allocate the financial resources necessary to accomplish the needed repairs to the fragile, single layer containers. This financial decision proved to be short sighted and fatal to the long term performance of this initial project. No maintenance of the structure (other than minor repair of puncture holes) or addition of sand to the area was performed during the first five years. During the fall storm erosion season of 1988, a severe drop in the beach elevation fronting the structure occurred. Individual containers in the lower rows were dislodged, allowing the upper rows of containers to slide down due to gravity. The sand-filled containers comprising the revetment project were undermined and displaced throughout the northern 2/3 of the project Eventually, the entire project deteriorated due to neglect and the lack of the required maintenance. Even without the use of a strap restraint system, the sloped sand-filled containers revetments have exhibited better structural stability than the mound or sill type structures. This is primarily due to the increased toe penetration of the revetments which have prevented the structure from being undercut, and the more gentle slope in the frontal area which is subject to direct wave attack. As discussed in the preceding section, the more recent developments in strap restraint systems utilizing PVC pipes inside the containers have provided additional increases in stability. The sloped revetment-type sand-filled container structures have also been utilized as nearshore and backshore sills, using three or four tiers of containers. Even with the same limitations in vertical height as the three-container mound structures, the sloped structures have exhibited better structural stability. The first "Subsurface Dune Restoration System (SDRS)" backshore sill installations using the internal strap restraint system and PVC pipes were constructed by the author in the Lost Tree Village oceanfront development along the Atlantic coast of south Florida during the summer of 1987 [Patent #4,919,567]. A four course SDRS installation, permitted and installed in Myrtle Beach, South Carolina, successfully weathered a direct hit from Hurricane Hugo. The largest installation to date, a 14 course SDRS constructed in Vero Beach, Florida weathered a direct hit by Hurricane Felix. Time and repeated exposure to significant storm events have proven the performance of this state of the art design in providing significant levels of uplands protection against coastal erosion. Emergency Deployable Devices The earliest known emergency deployable sand filled device of massive proportions was the "Longuard Tube", originally developed in Germany. This geotextile tube came in 30" and 70" diameters and could be fabricated in lengths to 300". This concept proved viable and has been installed in both near shore and backshore sill configurations in many areas of the world over the past twenty-five years. The primary disadvantage of the round or ellipse shaped sand-filled tube is that it becomes dynamically unstable when toe scour erosion undercuts the soil or sand foundation upon which it rests. This undercutting is caused by currents in the nearshore configuration and downward wave reflection in the backshore configuration. Differential displacement and profile lowering occurs, thus lowering effective height. In an effort to protect ongoing coastal projects during construction, a form of emergency coastal protection which could be temporarily inflated with water, then deflated for future use, was developed by the author. The first water-filled "ProTecTube" was deployed on the west coast of Florida in 1985. The 5' diameter tube, constructed of PVC coated dacron fabric, measured 300' in length. It could be deployed from the back of a pickup truck and water-filled in several hours with pumps or fire hoses. Although it proved viable in low level storm events, if it was severely overtopped, it's mass could be displaced and cease to function. Additionally, it suffered from the same toe scour vulnerability as the previously mentioned "longuard Tube". Empirical observations caused the author to determine that the primary toe scour problem was caused by the downward wave reflection produced by the round shape. In an effort to overcome those limitations, a triangular device incorporating a series of three connected parallel tubes of increasing diameter was developed by the author in 1987. The wedge-shaped unit measured approximately 17' wide on the base by approximately 5.5' in height at the most landward tube. The first full scale 300' "ProTecTube II" unit was deployed and installed on the beaches of Long Boat Key, Florida in 1988 Two of the 300' units were placed end to end to provide storm protection for a slab supported condominium. The units could be filled with water to effect the desired shape, then the water was displace with a sand water slurry to provide permanent protection. This emergency deployable device was issued Patent #4,966,491 and has continued to provide significant storm protection through multiple storms and hurricane impacts.
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Engineering Design Recommendations The engineering design considerations for sand-filled container revetment structures are similar to those for traditional rock revetments in that they are designed with adequate crest elevations to resist wave runup and overtopping, and with adequate toe penetration to resist undercutting and toe scour. Due to the smaller specific weight of sand compared to rocks, as well as the flexibility of an individual sand-filled container, a more gentle slope is recommended for the sand-filled container structures. The three horizontal to one vertical slope has functioned well in sand-filled container revetments constructed in Florida, compared to the steeper (1.5 or 2 horizontal to 1 vertical) slopes used for rock revetments. Data for performing wave runup calculations on sand-filled container structures are given by Kobayashi and Jacobs (1985), and calculations based on this data agree with field observations of the experimental sand-filled container revetment constructed in Florida in 1983. In comparison, the wave runup calculations for a stepped-face structure based on data in the Shore Protection Manual [U.S. Army Corps of Engineers, 1984] predict wave runup elevations that are overly conservative. Analysis of the stability of sand-filled container structures is more difficult than with rigid units such as rock or concrete, as the sand within the individual containers is free to move around inside the container under sustained wave attack. The use of strap restraint systems to structurally link the containers together also increases the stability, especially when the straps are linked to an upland crest anchor tube as is done in the latest SDRS design. Additional field and wave tank studies are needed for final stability assessments. The determination of the placement of backshore sill structures of limited vertical height is more difficult, as the crest of the structure needs to be at an elevation sufficient to resist erosion during elevated water levels due to storm surge, but the toe of the structure needs to be deep enough to prevent undercutting. The final design elevation is often a gamble as to which type of erosion, overtopping or undercutting, will occur. There are several advantages of the sloped revetment-type design of sand-filled container structures over the mound structures, including: (1) the use of a more gentle slope in the frontal area that is subjected to direct wave attack, which reduces the wave forces and runup on the structure, (2) a more efficient use of the containers with a lower number of containers required, allowing a greater vertical dimension for improved toe penetration and crest elevation, and (3) the allowances for an improved strap restraint system, which includes PVC pipes and hidden straps that are tied back to a crest anchor tube. The sloped revetment-type sand-filled container structures are more difficult to install, and require more technical expertise in engineering design and supervision than the mound-type configuration. Typical costs of the mound-type structures are $40 per linear foot of structure for each row, which is a cost of $120 per linear foot for a typical three-row backshore sill. Typical costs of the revetment-type structures are $50 per linear foot of structure for each row, which is a cost of $150 per linear foot for a typical three-row sill. Due to the exponential increase in the number of rows of containers required to achieve a larger vertical height for the mound-type structure, the revetment type configuration becomes less expensive than the mound or sill type structures for larger vertical heights. Site specific costs such as additional offsite sand fill, heavy equipment, construction access, etc must also be included in the overall cost of a sand-filled container structure. Sand-filled containers have excellent potential for use in conjunction with beach nourishment projects. Terminal groins and/or groin fields may be necessary to retain the beach fill, and may provide ways to lower the required frequency of renourishment. Another potential for sand-filled container structures assisting in beach nourishment is the use of an offshore sill as a submerged breakwater, designed primarily to help hold the beach fill as a "perched beach" landward of the sill. This application also would reduce the required frequency of renourishment, and further, would provide the benefit of keeping the sand landward of the sill, so that valuable offshore natural resources, such as reefs, rock outcroppings, and vegetation, are not buried by the offshore movement of the fill. Summary and Conclusion Sand-filled containers can be successfully used in engineering designs for coastal erosion control. Developments in the designs of these structures, such as improved strap restraint systems, have increased the stability of these structures. The slopped revetment-type designs, employing tiers of containers on a gentle slope, offer more efficient uses of the containers and provide better overall structural stability than the mound-type structures that use a triangular cross-sectional design. The sloped structures can be used in the design of a full revetment structure, with adequate crest elevation to resist overtopping by the design storm, and adequate toe penetration to prevent undercutting by the beach erosion accompanying the design storm. The sloped structures can also be employed in the design of a backshore or nearshore sill structure which may be frequently overtopped by waves and storm surge.
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Sand-filled containers are 'softer" and more "user-friendly" than structures constructed of rock, concrete and steel, making these types of coastal structures more desirable in areas of recreational and natural beach use. The advances in geotextile systems engineering and composite materials technology, including the geotextile materials used for sand-filled containers, has and will continue to extend the strengths and applications of these materials. References U.S. Patent # 4,729,691 - March 8, 1988, Jay W Sample, Inventor. U.S. Patent # 4,919,567 - April 24, 1990, Jay W. Sample, Inventor. U.S. Patent # 4,966,491 - October 30, 1990, Jay W Sample, Inventor. U.S. Army Corps of Engineers. (1993) Technical Letter No 1110-2-353. Byrne, R.K., and Anderson, G.L. (1978) "Application of the perched beach technique in the Chesapeake Bay". Virginia Institute of Marine Sciences, Gloucester Point, Virginia. Hardaway, S., and Anderson, G.L. (1980). "Shoreline erosion in Virginia." Virginia Institute of Marine Sciences, Gloucester Point, Virginia. Harris, L.E. (1987). "Evaluation of sand-filled containers for beach erosion control, an update of the technology." Coastal Zone '87 ASCE, New York, N.Y. Vol. 3, 2479-2487. Kobayashi, N., and Jacobs, B.K. (1985) "Experimental study on sandbag stability and runup." Coastal Zone '85 ASCE, New York, N.Y Vol. 2, 1612-1626. U. S. Army Coastal Engineering Research Center. (1984). Shore Protection Manual. U. S. Government Printing Office, Washington, D.C. Vol. 2. U.S. Army Corps of Engineers (1981) "Final report on the Shoreline Erosion Control Demonstration Program (Section 54)." Low-cost Shore Protection. U.S. Government Printing Office, Washington, D. C.
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United States Patent Sample
[19][11]Patent Number: [45]Date of Patent:
4,729,691 Mar. 8, 1988
BACKSHORE SILL BEACH AND DUNE [54]EROSION CONTROL SYSTEM [76]Inventor: [21]Appl. No.: [22]Filed: [51]Int. Cl.4....................... [52]U.S. Cl.................. [58]Field of Search.......
Jay W. Sample, 7315 S. Indian River Dr., Fort Pierce, Fla. 33482 926,663 Nov. 4, 1986 ................................................E02B 3/06
[56] 752,781 2,301,592 3,374,635 4,420,275
2/1904 11/1942 3/1968 12/1983
.........................................405/21; 405/15 ...............................................405/1519, 405/30-35 References Cited U.S. PATENT DOCUMENTS Kerr............ ......................405/15 Teuber......... ......................405/16 Crandall....... ......................405/18 Ruse............ ..................405/15 X
FOREIGN PATENT DOCUMENTS 2062477 7/1971 Fed. Rep. of Germany 405/16 Primary ExaminerDennis L. Taylor Attorney, Agent, or FirmCharles R. Engle [57] ABSTRACT A backshore sill beach and dune erosion control system including a supporting apron of a permeable fabric spread across a shoreline area of beach and dune being protected and held in place by a toe scour protection tube and further including a plurality of sand-filled geotextile containers which are placed upon the supporting apron in an end to end relationship along the shoreline providing a predesigned soft force absorbative horizontal surface decreasing water velocity upon impact therewith. 9 Claims, 9 Drawing Figures
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Chapter 12 Going Offshore: Asia Opportunities for Small U.S. Environmental Technology Firms J.D. Hallet and S. Ganguli In response to growing environmental crises in the developing world, and to a rare and fortunate meeting of global commercial and environmental interests, the U.S. government has, over the past five years, crafted and implemented a number of innovative programs aimed at encouraging and facilitating U.S. environmental equipment and technology exports. A number of these programs have begun to show significant and measurable results in assisting U.S. environmental technology and service providers in identifying and developing international business opportunities leading to joint ventures, licensing arrangements and export sales of plant and equipment. Sanders International, a Washington, D.C.- based environmental business development firm, has had the opportunity to implement and manage two of these programs for the U.S. Agency for International Development (USAID): the Capital Development Initiative (CDI) for Central and Eastern Europe and the Trade in Environmental Services and Technologies (TEST) program for India. The firm has developed a significant body of experience and evidence that programs like these are providing critical intermediary assistance and support to small U.S. environmental technology and service suppliers in opening and developing overseas markets that would otherwise be beyond their reach. While the programs are proving successful and useful to the beleaguered U.S. environmental industry, the larger question remains how and whether technology trade intermediation can be sustained without federal programs by a needful and under-capitalized U.S. environmental industry whose fortunes are increasingly found in overseas markets. Up to the 1990s, developing country governments, for the most part, considered black smoke from factory stacks as a status symbol evidencing progress away from third world poverty. The U.S. environmental movement was viewed by the developing world largely as a curiosity in a nation that, at the time, controlled far too much of world's wealth and whose people apparently had too much leisure time on their hands to focus on such peripheral issues as industrial pollution. The situation has changed markedly. Megacities around the world are now choked with all types of pollution, creating life-threatening health hazards for their inhabitants. No longer peripheral issues, environmental threats are at the top of the agenda for all industrializing country governments, and their business communities are mobilizing to address today's pollution problems and tomorrow's need for new and cleaner production technologies. The developing world's new focus on environmental issues in Asia, Eastern Europe and Latin America contrasts with the general slowdown observed in the U.S. environmental industry. Therefore, it is clear that tomorrow's U.S. environmental firms will be international firms or they probably won't survive. Those left onshore are and will be scrapping for an ever-smaller and cleaner piece of the market. The U.S. Environmental Industry in Transition In fact, the roots of today's environmental industry shake-out are traceable directly back to the industry's 1970's-1980's salad days when Congress established the new market drivers such as the Resource Conservation and Recovery Act (RCRA) and Superfund. In many cases, no cost was too high to deal with a real or perceived environmental threat. This was good news to the rapidly growing U.S. environmental industry whose market grew
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at double digit rates for almost two decades with talent and capital pouring into hundreds of new companies throughout the country. 5 However, the recession of 1990-91 hit the U.S. environmental industry hard with market growth tapering off to today's relatively modest levels of 3-4%.5 Other factors emerged to re-shape environmental business in the U.S. including: a shift in emphasis from pollution control and waste minimization to pollution prevention; a progressive decline in the net inventory of sites to be remediated; and a growing bottom-line mentality in American industry that has taken every opportunity to eliminate and or re-cycle wastes. With the industry shrinking, large environmental firms have started to consolidate, and the market is beginning to be dominated by a handful of industry winners, mostly large, full service firms and a few niche players. Small companies, who are busy developing innovative, low cost technologies, are learning the bitter lesson that, in the environmental industry, successful companies are market driven rather than technologically driven. Moreover, in a highly distorted, regulations-driven market, new and cheaper environmental technology solutions are not necessarily what the U.S. market is asking for. Asia Beckons As the U.S. environmental industry continues to restructure, its future is being re-created abroad. The greatest opportunities for U.S. firms are in Asia's fast growing markets that have the resources to invest in environmental protection and the public pressures to demand it. Asia's export boom, which began in the early 1980s, forged new middle classes with expanded purchasing power and higher expectations for improved quality of life. Black smoke and fumes were recognized as the health hazards and nuisances they always were rather than symbols of modernization. Greater wealth brought on strengthened democratic institutions which provided a political lever for demands for cleaner air, soil and water. Green candidates appeared on ballots throughout democratic Asia, and mainstream political parties have rushed in to co-opt green issues and mobilize government and industry to address pollution problems and their consequences. Air, water and soil pollution laws have been passed and implemented in almost all Asia-Pacific countries and are being enforced at varying levels of effectiveness throughout the region. In India, the Supreme Court plays a unique role in responding to citizen's demands for environmental improvement. In 1993, prompted by a lawsuit brought by an environmental activist, the Indian Supreme Court took the unprecedented step of ordering foundries in the city of Agra, home to the world famous Taj Mahal, to install adequate air pollution control equipment or face closure. The Court has ordered numerous other closures of polluting firms throughout the Indian sub-continent and is a major force in driving environmental compliance by Indian industry. These economic and political changes, combined with both a growing ability and willingness to pay for pollution control and remediation, have created a new and growing environmental industry in Asia. Out of the $305-billion world-wide environmental market, the Asia-Pacific region (including Japan) amounts to about $55 billion. Moreover, it is estimated that the environmental market in the rest of Asia outside of Japan is growing at 12-14%.2 Taiwan, one of the most densely populated and industrialized economies in the world, has taken the lead in cleaning up the region with a huge public spending program for environmental and infrastructure improvements amounting to US$12 billion over its 1992-1997 five-year plan. 2 Multinational environmental, energy and infrastructure giants have jumped in to take their share of the big-ticket dam, power, highway and big industry projects that have opened up throughout Asia. However, particularly in India's case, the bulk of the untreated industrial pollution problems lie in its huge small-and medium-scale industrial sector and, for the most part, the multinational giants have neither been able nor interested in offering the low cost environmental solutions that countries like India and China are clamoring for. In India, the small-and medium-scale industrial sector is comprised of thousands of small factories dispersed throughout the country in industries like food processing, tanning, spinning and dyeing, pulp and paper mills, alcohol distilleries, metal plating plants and iron foundries. These firms typically do not have the capital to invest in expensive pollution control equipment or clean production technologies. Indian environmental officials face a serious dilemma because, while these industries contribute a disproportionate amount of pollution, they represent huge employment and foreign exchange earnings, and consequently are too important to shut down. The leather industry in India illustrates this dilemma. This industry consists of both export oriented units and a number of manual small scale units producing mainly for the domestic market. Both employment and foreign exchange earnings in this industry are large and growing. In 1993-94, leather exports amounted to $1.3 billion or approximately 7% of total exports. 6 The environmental side of the equation, however, tells a different story. Most of these facilities are primitive and do not meet minimum discharge standards. The release of wastewater and heavy metals often compromises groundwater quality. Toxic solid
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residues and sludge are disposed without treatment often producing noxious gases. This industry, which has not escaped the government's threats of closure, is now desperately looking for low cost wastewater treatment and solid waste recycling technologies. Overall, the tried and true industrialized country approaches to industrial pollution problems will not be accepted in the developing world, or if forced, will not be sustained. Simple economics accounts for most of this phenomenon, i.e. the systems are too expensive too buy, too expensive to operate, or require inputs that are also too expensive or in short supply. Many traditional approaches also fail because they consume too much electricity or require too much water or land to operate. Or, as in a now famous case of a European waste-to-energy incineration system that was constructed outside of New Delhi and still stands there as a silent monument, they do not take into sufficient account the local characteristics and constraints that make a standard approach possible or practical. In the case of the incinerator, the municipal refuse used as fuel could not generate sufficient BTUs because the high calorie items had been picked out by scavengers. Smaller Firms Meeting the Challenge The good news is that the small, the nimble and the aggressive technology-based U.S. environmental firms are finding opportunity and success in emerging environmental markets like India. The size and diversity of India's industrial base (India is one of the top ten industrial producers in the world) has opened up avenues for new approaches to environmental and pollution problems which have not and often can not be tried or adopted in the U.S. Both the severity of the pollution problems faced and the absence of forces opposing new technological approaches to environmental problems have created this atmosphere of possibility. Having built better environmental mousetraps, many U.S. firms are finding it is the Asian markets that are knocking at their doors. The problem, however, is that most of these firms lack both the resources and expertise to develop Asian business opportunities. TEST has been able to identify and work with many companies among this new class of internationally-focussed U.S. environmental firms. The project demonstrates that overseas markets are recognizing the inherent value of many of the environmental technologies the U.S. market has rejected, no longer requires, or has, as yet, failed to embrace. In exploring international market opportunities, U.S. environmental firms face several sets of obstacles for which they usually lack both the resources and expertise to surmount. The first set of obstacles includes the lack of financial resources and know-how to find and evaluate prospective business collaborators and opportunities and to navigate through both U.S. and foreign technical, legal and financial requirements necessary to develop the transaction or linkage. The second set of obstacles revolves around the difficulty in securing funds, authorizations and commitments to adequately demonstrate how and whether given environmental technologies function under various operating conditions in foreign countries. Lacking some external support, most small environmental technology firms do not have the resources to carry through to the closure of a deal. The Role of Federal Programs In the last few years, the U.S. government has developed and executed a number of international environmental business development projects that have demonstrated a remarkable degree of success in promoting and facilitating environmental business linkages. These new federal initiatives for international environmental business and technology development involve diverse agencies like USAID, the Department of Commerce (DOC), Overseas Private Investment Corporation (OPIC), Department of Energy (DOE), and the Environmental Protection Agency (EPA). These initiatives were developed, among other reasons, to meet foreign aid commitments to developing countries, to spur greater cooperation and exchange in environmental technology development and commercialization, to enhance U.S. competitiveness in an important and growing industrial sector, and to contribute to international efforts to address global environmental threats. The TEST program for India represents one of the most refined and, to date, successful projects of this type. Developed to assist India with its industrial pollution problems, TEST has been instrumental in linking U.S. and Indian environmental firms to provide long term and cost-effective solutions to India's critical industrial environmental problems. Programs like TEST are filling a critical gap between the industrializing world's need for appropriate and affordable environmental solutions and the U.S. industry's need for information on the existence and nature of overseas environmental business opportunities. In addition, in India, TEST is helping U.S. firms to find and qualify prospective Indian partners, to define the nature and scope of the environmental or pollution problem and to provide critical technical support in negotiating alternative business relationships and moving both sides to closure of long-term and mutually beneficial business relationships. In the past 18 months, the project has directly contributed to the successful closure of more than a dozen
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environmental business deals between U.S. and Indian firms, including joint ventures for industrial air filter and air pollution control equipment manufacturing, technical licensing agreements for fluidized bed boiler and vapor recovery technology, and distribution agreements for biological treatment products and wastewater treatment equipment. TEST is currently working on an active pipeline of about 20 other potential deals. However, more important than the funding and support provided by the four-year TEST program, is the fact that, with an entirely unexpected momentum, Indian environmental firms are proving their willingness and ability to apply, adapt and market U.S. pollution control, pollution prevention and energy technologies to provide much-needed environmental solutions. In its first year of operation, a joint venture between the Indian firm Kirloskar and the Dallas-based Snyder General for the production of air pollution control equipment that was financed in part by a loan from the TEST program, booked $20 million in sales in the Indian market alone. In some cases, the U.S. technologies are finding applications in industries and settings unique to India and other potential developing country markets. The following examples of completed and ongoing projects further illustrate this important trend and demonstrate the role that government programs can plan in helping small U.S. firms. Enders Process Equipment Corporation Enders Process Equipment, a small Illinois-based environmental engineering company, has adapted and begun to market in India a fluidized-bed incineration and caustic soda recovery technology for paper mill wastes. With financial and technical assistance from the TEST program, Enders is in the final phase of completing its first demonstration unit scheduled to begin operation in October, 1995. While the U.S. market for this technology no longer exists because of the relatively small size of the paper mills for which it is designed, the technology is very appropriate for most Indian paper mills. Out of approximately 300 Indian mills, only 90 have effective systems to treat effluents and recover chemicals for recycling. The remaining 210 mills empty their spent effluent pulping liquors directly into fields and rivers. Most paper mills in India have been unable to install effluent treatment systems due to their high costs. The Enders system is marketable because it costs half as much as the conventional systems currently used in India, recycles a valuable industrial input and indirectly provides major energy savings through foregone production of caustic soda. Upon successful demonstration of the technology, Enders and its Indian partner anticipate numerous follow-on orders. They also plan to pursue further adaptation of the technology to treat effluents from Indian sugar refineries, steel mills, and petrochemical refineries. Intermediary assistance from the TEST program was critical in helping Enders to rapidly identify, conclude and finance its initial demonstration project. Castone International Castone International, a small Tennessee-based firm, has developed a practical, energy-efficient process to make high quality bricks using ash from coal-fired thermal power plants. Castone's brick making equipment employs an innovative, low-energy process that can utilize up to 90 percent ash in the brick-making process. The bricks may be sized and colored to fit local customs and preferences. The technology was developed and commercialized in the 1970s and 1980s, but it has not made any significant headway in the U.S. market. This technology is especially attractive to India, where the poor quality Indian coal (with up to 50 percent ash content) is the principal fuel source for energy production. Fly ash management and disposal remain as tremendous problems for Indian industry and the Castone technology is showing great promise to provide a cost-effective approach to meeting part of the problem. With intermediary assistance from the TEST program in the form of introductions, plant-site visits from prospective Indian partners, and mediation assistance during commercial negotiations, Castone has entered into a distribution agreement with a Bombay-based Indian boiler manufacturer that is developing sales for the Castone equipment. 3i Systems 3i Systems, a New Jersey based technology development firm, is marketing an innovative fixed-film, spiral bio-reactor technology for the small-and medium-scale industrial sector in India. The technology was originally the property of a division of a major U.S. industrial conglomerate. Despite promising bench and pilot-scale data, the firm had no interest in developing the technology for the environmental market and put the division up for sale. TEST learned of the technology and of 3i's interest in developing and adapting it for India and assisted the firm in developing its approach to the Indian market. With support from the TEST program, principals from 3i Systems travelled to India in February 1995, for a series of presentations throughout the country on 3i's technology and other U.S. bio-treatment processes and technologies. 3i received an immediate and enthusiastic response from Indian environmental firms and potential end-users who recognized the technology's potential for widespread and low-cost application to a range of effluent treatment
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problems from Indian distilleries, dye manufacturers, tanneries and pulp and paper mills. The heart of the 3i technology's attractiveness and appropriateness for the Indian market is its comparative low cost, ease of operation and maintenance, and very low energy requirement. The treatment systems will be sold as turn-key, skid-mounted units complete with all necessary tanks, piping, and pumps. For the target market identified in India, in most cases and absent direct cash infusions from organizations like the World Bank, standard treatment technologies (e.g. large, cement aeration ponds and energy-intensive pumping stations) are not affordable or sustainable under current circumstances and infrastructure limitations. Thus, for the pollution problems of India's small and medium-scale industrial sectors, due to lack of adequate space, energy, water and funds, it will either be innovative systems like those being developed by 3i Systems or no treatment at all. Since the latter is not an acceptable long-term option, the potential is great for innovative treatment systems like those offered by 3i in this untapped market. 3i is in the process of establishing a joint venture with a local Indian company to manufacture and produce its bioreactor systems for the Indian market. The TEST program's intermediary assistance was an important factor in helping 3i to identify and define its target market in India and develop its initial approach to the market. TEST is currently working closely with 3i to identify sources of financing for initial demonstration projects. Conclusion: the Middleman's Role For many small and under-capitalized U.S. environmental technology firm, its future is overseas and likely to be in Asia. However, the price of admission is still high and direct sources of support are quite limited and mostly confined to a number of small U.S. government environmental business and technology development programs or private intermediaries whose costs are usually prohibitively high for small firms. Given the current political climate of government cutbacks, federal programs such as these are not sustainable in the long term. Absent government support, the difficult question for policymakers is how and through what mechanisms to encourage small environmental technology firms to pursue international opportunities, drawing upon intermediary services when necessary. While over 60 percent 8 of U.S. exports currently pass through the hands of some kind of intermediary, e.g. a wholesaler, distributor or export management firm, intermediation is not the practice in the U.S. environmental technology or pollution control industry. If the U.S. environmental industry, as exemplified by the small firms that are bringing forth innovative approaches to various pollution problems, is to build upon the kinds of success stories presented in this paper in emerging environmental markets like India, the role of the technology trade intermediary will have to be recognized and reinforced. Despite the important, but overlooked role of trade intermediaries in U.S. exports, the role of trading companies and brokers in the U.S., particularly outside commodity-based industries, is neither widely recognized nor well-respected. In international technology trade, intermediaries can and do perform a variety of critical functions including: establishing, verifying and solidifying linkages established between prospective partners; identifying and acquiring rights to relevant technologies; locating potential projects or end-users, facilitating financing, licensing or investment arrangements, and providing valuable management, technical and cross-cultural advice. Federally-funded programs like TEST are providing these services today and are showing real results in terms of commercial ties between both large and small U.S. and Indian firms and improvements in India's environmental situation. In light of these results, it is worth considering how best to engage both public and private mechanisms to strengthen and support the role of intermediaries in developing and promoting U.S. technology trade in all industrial sectors. References 1. Asian Development Bank. Asian Development Outlook, 1993, Oxford University Press, 1993. 2. ''Asia Weighs Costs of Prosperity'' in Asia Environmental Business Journal, Vol 1, No. 1, March/April, 1995. 3. Banks, D.R., Ditz, D.W., and Heaton Jr., G.R. Missing Links: Technology and Environmental Improvement in the Industrializing World, World Resources Institute, October, 1994. 4. Brandon, C. and Ramankutty, R. "Toward an Environmental Strategy for Asia", World Bank Discussion Papers, The World Bank, Washington, D.C., 1993. 5. "Foundation For The Future" in Environmental Business Journal, Volume VII, No. 4, April, 1994. 6. "Leather: Moving On To The Limelight" in The Economic Times, Databank '95.
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7. Rocco, V. "The Globalization of International Markets", Environmental Business Journal, Volume VIII, No. 1, January, 1995. 8. U.S. Department of Commerce, International Trade Administration. A Profile of United States Exporters, September, 1993.
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SECTION 2 INDOOR AIR QUALITY AND CFC'S
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Chapter 13 Ventilation Assessment of an Infectious Disease Ward Housing Tb Patients M.S. Crandall and R.T. Hughes Abstract The National Institute for Occupational Safety and Health (NIOSH) assisted the National Center for Infectious Diseases and the National Center for Prevention Services, Centers for Disease Control (CDC), in their investigation of nosocomial transmission of tuberculosis (TB) at a Veterans Administration Medical Center. NIOSH was asked to determine whether ventilation requirements expected of TB patient isolation facilities were being met. In the Infectious Disease ward (5B), 24 staff were given a tuberculin skin test (TST) in the summer of 1991. Eleven (46%) were positive then, and 13 were negative. Ten of the 13 testing negative in 1991 were retested within a year, and 5 (50%) converted to a positive TST. NIOSH investigators made ventilation measurements on Ward 5B, an infectious diseases ward housing patients with acquired immune deficiency syndrome (AIDS), two of them with infectious TB, to determine the status of the systems serving the area. Airflow measurements showed that in all the single-patient rooms, exhaust airflow was essentially zero. The average supply airflow varied above and below the designed value. These rooms were all positively pressurized, which would not be recommended for the isolation of infectious patients. Based on the measurements made during this evaluation, it was recommended that a separate isolation facility be constructed in the hospital to house infectious patients. Interim corrective measures for the systems in place were also recommended. Introduction The transmission of tuberculosis is a recognized risk in health-care settings. 1 Several recent outbreaks of tuberculosis (TB) in health-care settings, including outbreaks involving multidrug-resistant strains of Mycobacterium tuberculosis, have heightened concern about nosocomial transmission. In addition, increases in TB cases in many areas are related to the high risk of tuberculosis among persons infected with the human immunodeficiency virus (HIV). Transmission of tuberculosis to persons With HIV infection is of particular concern because they are at high risk of developing active tuberculosis if infected. Health-care workers should be particularly alert to the need for preventing TB transmission in settings in which persons with HIV infection receive care, especially settings in which cough-inducing procedures (e.g., sputum induction and aerosolized pentamidine [AP] treatments) are being performed. An effective TB infection-control program requires early identification, isolation, and treatment of persons who have active TB. The primary emphasis of TB infection-control plans in health-care facilities should be achieving these three goals by the application of a hierarchy of control measures, including a) the use of administrative measures to reduce the risk for exposure to persons who have infectious TB, b) the use of engineering controls to prevent the spread an reduce the concentration of infectious droplet nuclei, and c) the use of personal respiratory protective equipment in areas where there is still a risk for exposure to M. tuberculosis (e.g., TB isolation rooms). The National Institute for Occupational Safety and Health (NIOSH) was requested in June 1992 to provide technical assistance to the National Center for Infectious Diseases and the National Center for Prevention Services, Centers for Disease Control (CDC), Atlanta, Georgia. The CDC asked for technical support during an investigation of nosocomial transmission of tuberculosis (TB) at a Veterans Administration Medical Center (VAMC) in the middle eastern United States. Their request was for NIOSH to determine whether the ventilation requirements expected of TB patient isolation facilities were being met.
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Background The VAMC was constructed in 1953. This 640 bed hospital had a staff of about 2200 workers. The CDC investigators collected preliminary tuberculin skin test (TST) information from the VAMC. A positive TST prevalence of 20 to 25% was expected due to the large number of foreign born staff (mainly from the Philippines), and the fact that many staff come from the Newark/New York City area where the prevalence is high. A 29% positive TST was found among the VA staff who had been tested, 514 of 1768. Among the 270-300 medical doctors on staff, 105 were TST positive (35-39%). Many had not been tested, so this prevalence rate may have been low. Of 604 nursing staff, 476 had been tested and 239 (50.2%) were positive. In the Infectious Disease ward (5B), 24 staff were tested in the summer of 1991. Eleven (46%) were positive then, and 13 were negative. Ten of the 13 testing negative in 1991 were retested within a year, and 5 (50%) had converted to a positive TST. Areas of concern in the hospital were the wards where TB patients were potentially admitted to, and diagnostic and treatment rooms. These areas included wards 5B, 5D, 7B, the Pentamidine administration room (5-196A, on 5B), and the Pulmonary Lab (7-101, on 7A). The ventilation investigation discussed in this report was focussed on Ward 5B. Ward 5B is a residence ward for AIDS patients. During the investigation there were two patients with infectious TB in isolation on 5B. Ward 5B Description Ward 5B is an infectious diseases ward having a capacity of 24 beds. There are 12 single-bed patient rooms and four three-bed patient rooms. The orientation (inset) and layout of the ward can be seen in Figure 1. The HVAC system serving the patient rooms on 5B (system 1-AC1) also served rooms on A-level (below the first floor) and on floors one through 13. This system supplied tempered, 100% outdoor air through 85% efficient filters (ASHRAE dust-spot efficiency) via supply fan 1-SF1. The main air supply duct traverses the length of Ward 5B's main corridors. Smaller branch ducts extend off the main supply and provide outside air to each patient room through wall-mounted rectangular diffusers. Air was exhausted from the patient rooms on 5B through a system which serves floors 1,2,4,5, and 6 (1-EF4). The exhaust air travels through bathroom exhaust grilles (one bathroom for two adjoining patient rooms) to a large duct branch above the main corridor and then to a rooftop stack. This singlepass supply and exhaust system was designed (according to the plans) to provide an equal amount of supply and exhaust airflow for the patient rooms. A fan-coil unit was mounted near the ceiling over the door to each room to temper and recirculate the air within the room. The VAMC's heating, ventilating, and airconditioning (HVAC) systems underwent extensive renovation in the late 1980's.
Figure 1. Orientation and approximate layout of Ward 5B, VAMC
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One patient room (5-190) on this ward was designed to be an isolation room, using a variable supply airflow (20 to 80 cubic feet per minute [cfm]) and a fixed amount of exhaust(50 cfm). In this fashion, either a negative pressure or positive pressure isolation environment could be established. The ability of this system to work as designed was not evaluated, however, it was reported by the VAMC engineering staff that it did not. This room had a fan-coil unit for air tempering. The aerosolized-pentamidine therapy room on 5B had supply air delivered through its fan-coil unit located over the entrance and exhausted air through a dedicated system to the outside. The operation of this system was not evaluated because of maintenance being performed on the fan-coil unit on the day of the survey. There was no local exhaust system for use during AP administration. The corridors for the ward were supplied air from a different HVAC system (1-AC4) than that serving the patient and therapy rooms. This system supplied a mixture of outdoor air and return air from the central core areas of the hospital to the 5B corridors, floor 2, and floors 4-12. Evaluation Methods A walk-through was conducted of the main mechanical unit (1-AC1) supplying air to Ward 5B. The outside air dampers, filters, ductwork, and heat transfer coils in the supply systems were visually inspected. The exhaust system (1-EF4) serving 5B was evaluated from a design standpoint using the mechanical plans. Airflow measurements were made in ten rooms on Ward 5B, seven single-patient, two three-patient rooms, and the day room (5-172). Airflow measurements were made using an airflow capture hood. Using this instrument, airflow through a supply diffuser or exhaust grille can be read directly in cubic feet per minute (cfm). The measured airflows were compared to the design specifications on the mechanical plans and to the CDC, the American Institute of Architects (AIA) and the American Society of Heating, Refrigerating, and Air-Conditioning Engineers (ASHRAE) guidelines. 1,2,3 Airflow measurements were obtained under the following four conditions: 1) with the door to hallway open and the door to bathroom closed; 2) with the door to hallway closed and the door to bathroom closed; 3) with the door to hallway closed and the door to bathroom open; and 4) with both doors open. Smoke tests using chemical smoke tubes were conducted to visually observe the relative pressures of the rooms with respect to the main ward corridor, and the main corridor with the core area of the 5th floor. The direction of smoke, either into or out of the rooms, was observed at the gap between the floor and the bottom of the door, with the door closed, for each of the patient rooms on the ward. Tuberculosis Control The prevention of tuberculosis transmission in health-care settings requires that all of the following basic approaches be used: a) prevention of the generation of infectious airborne particles (droplet nuclei) by early identification and treatment of persons with tuberculous infection and active tuberculosis, b) prevention of the spread of infectious droplet nuclei into the general air circulation by applying source-control methods, c) reduction of the number of infectious droplet nuclei in air contaminated with them, and d) surveillance of health-care-facility personnel for tuberculosis and tuberculous infection. Experience has shown that when inadequate attention is give to any of these approaches, the probability of tuberculosis transmission is increased. Items b) and c) are addressed through the use of ventilation and filtration to isolate infected patients. In high-risk settings, source-control methods can be applied to reduce the spread of infectious droplet nuclei into the general air circulation. These methods trap the droplet nuclei as they are emitted by the patient, or "source." These techniques are especially important during performance of medical procedures likely to generate aerosols containing infectious particles, such as AP administration or sputum induction. Once infectious droplet nuclei have been released into room air, they should be eliminated or reduced in number by ventilation, which may be supplemented by additional measures (high-efficiency particulate air [HEPA] filtration or ultraviolet [UV] irradiation). Health-care facility workers may also reduce the risk of inhaling contaminated air by using personal respirators (PR). The risk of TB transmission in any setting is proportional to the concentration of viable TB bacilli in the air. All suggested control measures may reduce occupational exposure to TB to some extent; however, there are no currently-available methods to quantify the degree of reduction that may be achieved by each control measure. Although ventilation is frequently relied upon to control TB in the health-care setting, ventilation systems sometimes can be complex and difficult to evaluate. Satisfactory performance of ventilation systems requires oversight by engineers or industrial hygienists. Incorrect design applications or inadequate maintenance can, in fact, increase the risk of TB transmission.3,4Consensus guidelines for ventilation and ancillary measures of worker protection have been formulated and are based on what are believed to be the most effective combination of feasible control strategies.1,5,6
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Ventilation Considerations There are two types of ventilation used for control of airborne transmission of TB; general dilution ventilation and local exhaust ventilation. Dilution ventilation provides an exchange of contaminated indoor air with uncontaminated air thereby diluting the airborne concentration of the infectious agent and reducing potential exposures for workers and other susceptible persons (i.e., patients and visitors). Each of these types of ventilation is explained more fully below. General Dilution Ventilation General dilution ventilation performs a variety of functions, including providing sufficient outside air to maintain comfort, controlling the direction of airflow in a facility, controlling airflow patterns within rooms, and diluting and removing contaminated air. ASHRAE recommends a range of 15 to 30 cubic feet per minute (cfm) per person of outdoor air for hospitals. 2,5 ASHRAE and AIA suggest airflow ranging from 4 to 25 air changes per hour (ACH), depending on the functional area of the hospital. 2,3 These guidelines recommend appropriate pressure relationships with respect to adjacent areas, minimum outdoor air and total air changes, exhaust location, and recirculation restrictions. In addition to supplying the specified airflow, ventilation systems should also provide satisfactory anirflow patterns both from area to area and within each room. Air flow should be from "clean" to contaminant source areas, such as from hallways to treatment rooms. This can be accomplished by creating negative (lower) pressure in the area into which flow is desired relative to adjacent areas. Negative pressure is attained by exhausting more air from the area than is being supplied. For large areas this will require careful balancing of the ventilation system. Within a room or small area, a ventilation system should be designed to: 1) circulate air to all areas of the room (prevent stagnation of the air), 2) prevent short circuiting of the supply to the exhaust (i.e., passage of air directly from the supply site to the exhaust point without mixing of room air), and 3) direct the clean air past the worker without recirculation within the room. These conditions are not always achievable but should be attempted to the fullest extent feasible. One way to accomplish this is to supply low velocity air at one end of a room and exhaust it from the opposite end. Another method is to supply low velocity air near the ceiling and exhaust it near the floor. However, air flow patterns are also affected by air temperature, the precise location of supply vents and exhaust vents, diffuser design, the location of furniture, movement of workers, and the physical configuration of the space. Each room or space must be evaluated individually. Ideally, ventilation systems used in areas where Mycobacterium tuberculosis may be present should supply non-contaminated air (a portion should be outside air), discharge exhaust air to the outside, and should not recirculate air back into the facility. Where TB may be present, an area of the hospital should be selected where the ventilation can be optimized or simply rebalanced to provide the desired ventilation parameters. Where this is not possible, less desirable alternative approaches may be used. Rooms connected to recirculating ventilation systems could utilize high efficiency particulate air (HEPA) filtration in the room exhaust or filter the air before it is recirculated. In cases where a room has no ventilation, a HEPA-filtered recirculating duct system for that room might be considered. In no case should a room or area without mechanical exhaust ventilation be used for patients with M. tuberculosis. Recommended ventilation rates in hospitals are frequently expressed in terms of air changes per hour (ACH). An ACH is defined by the theoretical number of times that the air volume of a given space will be replaced in a one-hour period. Assuming perfect mixing, a rate of six ACH would require 46 minutes to remove 99.0% of contaminants from a room.1 Hence, the air is not actually "changed" six times per hour. The amount of air required to maintain six ACH in a smaller room will be less than a larger room. For purposes of general ventilation, all supplied air does not have to be outside air. For example, AIA recommends that operating rooms be ventilated with a minimum of three ACH outside air with a minimum total of fifteen ACH. The remaining twelve air changes only need be "clean" air (often referred to as "transfer air"), not necessarily outside air. It is always advisable, however, to use the most stringent and protective alternative possible. A final function of general ventilation is to provide sufficient exchange of potentially contaminated air with clean air to minimize the risk of infection. The CDC, AIA, and ASHRAE ventilation guidelines for TB (infectious) patient isolation rooms are presented in Table 1.1,2,3 AIA and ASHRAE recommend that hospital infectious isolation rooms should provide six ACH, based on comfort and odor control. 2,3 CDC has recommended that an airflow of 6 ACH be provided to TB isolation and treatment rooms in existing facilities. This airflow rate should be increased to 12 ACH, where feasible, by HVAC adjustment or modification, or by auxiliary means. New or renovated facilities should be designed to provide 12 ACH in these rooms.1 All agree that all air should be exhausted directly to the outside. Exhaust locations should not be near areas that may be populated (e.g., sidewalks or windows that may be opened). Exhaust points should also be away from air intakes, so that exhaust air is not recirculated into the facility.
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Table 1. CDC, AIA and ASHRAE ventilation guidelines for infectious and protective isolation rooms 1,2,3 Air movement Minimum air Minimum total Recirculated by All air relationship to changes per hour air changes per means of room exhausted to adjacent area outside air hour units outside Infectious (TB) Isolation CDC In 6-12 Yes AIA In 1 6 No Yes ASHRAE In 2 6 No Yes Protective Isolation AIA Out 1 6 No ASHRAE Out 2 15 No Yes ASHRAE recommends that two of the six ACH should be outside air and the AIA recommends only one. CDC does not set a minimum outdoor air amount. ASHRAE also recommends a minimum of 25 cubic feet per minute/person (CFM/person) of outside air for patient rooms.5 Infectious isolation rooms should be under negative pressure with respect to adjacent areas.1,2,3,5,7 Local Exhaust Ventilation Local exhaust ventilation captures the infectious agent in the immediate field of an infectious patient (i.e., scavenging booths or tents) without exposing other persons in the area. A negative pressure is always maintained inside the local exhaust device. It is the preferred type of ventilation because the TB organisms are removed before they can disperse throughout the work area. Local exhaust ventilation is used most effectively in a fixed location. The hood portion of a local exhaust system may be of exterior design, where the infection source is near but outside the hood, or enclosing, where the infectious source is within the hood. Enclosures (booths) are available for aerosol-generating activities, such as sputum collection and aerosol therapy. These devices may be exhausted directly to the outside, or they can exhaust through a HEPA filter back into the room. Hiv Patient Considerations Since immunosuppressed patients are highly susceptible to diseases, they require protective isolation conditions. In cases where the patient is immunosuppressed but not contagious, a positive pressure should be maintained between the patient room and adjacent areas. ASHRAE recommends that rooms for AIDS patients (protective isolation) be positively pressurized, and be supplied a minimum of 15 ACH, two of which should be outdoor air (Table 1).2 Filtration of this air should be at the 90% efficiency level or above. ASHRAE also recommends an anteroom which is negative with respect to the patient room. AIA recommendations for protective isolation are similar to theirs for infectious isolation except airflow should be out of the room.3 Both AIA and ASHRAE recommend no recirculation of room air by in-room air-tempering units. Evaluation Results and Discussion During the inspection of HVAC system 1-AC1, we observed that the outdoor air dampers were closed. This situation was corrected. The results of the ventilation measurements on Ward 5B are presented in Table 2. Individual measurements made under the four conditions listed above, the average of these measurements, the room design airflows, and the pressure relationship of the room with the corridor (+/-) are shown for each of the rooms. The single-patient rooms are grouped in the table according to the shared bathroom exhaust. The design plans indicated that the rooms should be neutrally pressurized (equal supply and exhaust airflow). The measurements made under the different conditions in the rooms were quite variable. From the single-patient rooms, exhaust airflow was essentially zero. The average supply airflow varied above and below that specified in the design. The rooms were all positively pressurized, which was good under protective isolation guidelines, but which would not be recommended for the isolation of infectious patients. Based on an average volume of 1250 cubic feet for these rooms the number of ACH ranged from one to three and one-half.
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Page 86 Table 2. Ventilation and pressure relationship measurements, VAMC Configuration Average Room/Area a1 b2 c3 d4 (cfm) 1896 supply 547 19 48 47 42 exhaust 0 0 0 0 0 188 supply 208 ----186 supply 59 50 87 90 72 exhaust 0 0 0 0 0 187 supply -----180 supply 28 25 22 28 26 exhaust 0 0 0 0 0 179 supply 30 28 24 34 29 176 supply -----exhaust 0 0 0 0 0 175 supply 36 59 33 35 41 Three-patient rooms Door open Door closed 172 supply 37 27 32 (Day room) exhaust +25 +48 +37 171D supply 88 68 78 exhaust 0 +43 +22 17lB supply 120 140 130 exhaust +45 +16 +30 1 - Main door open, bathroom door closed 2 - Both doors open 3 - Main door closed, bathroom door open 4 - Both doors closed 5 - Pressure relationship between patient room and corridor 6 - Single-patient rooms are grouped according to a shared bathroom exhaust 7 - Average of three measurements 8 - Estimated airflow, based upon air velocity and diffuser area
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Design (cfm) 20 -40 20 30 -50 20 40 -70 30 30 -60 30
PR5 +/+
50 -50 50 -50 80 -80
+
+ + +
+ + +
+ +
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Most of the single patient rooms had a shared bathroom (only 5-190 had a private bathroom). If the HVAC system were operating as designed a patient using the bathroom would be exposed to any infectious agent from the other room In the current state of operation there will be room to room flow depending on open and closed doors. CDC guidelines suggest that only private rooms be used for TB patient isolation. Two of the rooms with a shared bathroom were being used for TB isolation. The three-patient room measurements were similarly variable with regard to the design specifications. The most remarkable feature in these rooms was that the exhaust airflows in all rooms were measured to be positive, that is, the exhausts were actually supplying air to the rooms. Room 5-171D received 1.75 ACH using only the airflow through the supply diffuser, while 5-17lB received about 2.3 ACH. The evaluation showed that all of the patient rooms measured were positively pressurized but did not meet the AIA or ASHRAE air exchange guidelines for protective isolation. These figures should be compared to six ACH recommended by the AIA and 15 ACH recommended by ASHRAE. The fact that none of the rooms were under negative pressure indicated that the TB isolation guidelines also were not being met. If the exhaust ventilation were repaired and functioning as designed, in concert with the supply system, providing at least 2 ACH with a neutrally pressurized room, the AIA and ASHRAE guidelines will be met for "normal" patient rooms. Corridor supply air measurements were also made but not included in the table. In the single-patient room wing, a total of 280 cfm was measured from two supply diffusers. This figure is within the range of the design specification of 260-320 cfm. The supply diffuser in the three-patient room wing measured 364 cfm (260 cfm design). Smoke tube traces were also used to judge the relationship of Ward 5B to the core area of the hospital. There was a general flow of air from 5B to the core area. In fact, the air flowed through the core area and into the adjacent wing of the hospital (Ward 5C). There were no doors separating these hospital areas. This condition could cause the circulation of infectious agents to the other floors of the hospital served by HVAC 1-AC4. It was observed that 5C also had no exhaust flow as indicated by smoke tube tests at the exhaust grilles. The flow of air into 5C was apparently caused by several open windows in the ward. In addition to the lack of TB-patient isolation on Ward 5B, other practices were observed which were compromising to the healthcare worker's health. Patient rooms on 5B which were marked as isolation rooms did not have closed doors, and respiratory protection other than surgical masks was not being used in these rooms. The first orinasal, single-use (disposable) dust and mist respirators arrived on the ward the afternoon of the NIOSH walk-through. Two of the nurses on 5B attempting to don respirators for the first time (without prior instruction) were unsuccessful in correctly using the respirators. They were instructed in the correct procedure. One nurse disliked the respirator because it chafed her face. No one used these respirators at any other time. Pulmonary Laboratory The Pulmonary Laboratory evaluation consisted only of determining the pressure relationship between it and the corridor. It was strongly positively pressurized. This is indicative of an exhaust flow deficiency similar to 5B. Since bronchoscopy, endotracheal suctioning, sputum induction and other procedures which could generate droplet nuclei take place here, it should be under negative pressure with respect to adjacent areas and the room air should be exhausted directly to the outside. Recommendations Hvac Systems Because of the number, nature, and potential consequences of the problems present at this facility, the ideal solution recommended was to dedicate a hospital wing or floor to be renovated and correctly configured for TB isolation. An alternative solution would be to locate an area in the hospital which had properly operating ventilation systems and room configurations to permit effective isolation. The short-term solution was to correct the problems which existed on 5B and in other areas housing TB patients. 1. The first, and mandatory step, was to correct the faulty exhaust system A systematic inspection of all exhausts connected to 1-EF4 was recommended. Flow rates should be brought up to design specifications or greater in all areas. Minimally they should be increased to a flow rate which provides room negative pressure in all areas with TB patients. Increasing supply air flow, to the extent possible, was also recommended so that a sufficient quantity of outdoor air (the ASHRAE guideline is an example) was supplied to each room, or that the required number of ACH were provided. 2. Performance of the corrections would be based on establishing correct directional corridor and room air flow. Some quantity of corridor supply air should be exhausted through the negative pressure rooms, however, some would still flow out of the wing. Doors should be installed at the ward entrance to help in
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containing the flow and providing some pressurization of the corridor to assist airflow into the negative pressure rooms. 3. As a last resort, failing the establishment of negative pressure using the 1-EF4 system, the use of individual centrifugal-type window fans with HEPA filters may be considered. This alternative must be carefully considered since this will affect the overall HVAC system balance. Other Issues 1. It was recommended that the VAMC use the services of the industrial hygiene staff of the VA to respond to the variety of health and safety problems encountered in the hospital environment. They should routinely interact with local infection control program coordinators and assist in resolving nosocomial infections and exposures to health care workers. 2. Also the VAMC should review current work practices and procedures to assure that they are consistent with current CDC, and other (ASHRAE, AIA, etc.) guidelines regarding isolation procedures, infection control, and medical surveillance of staff and patients. Specifically, isolation room doors should remain closed and health care workers should always wear respiratory protection when entering TB isolation areas. Patients with infectious TB should not be allowed to directly interact with immunocompromised persons (HIV ward patients) or general community environments (day room, corridor areas, or patient visiting lounges). HVAC systems supplying air to rooms occupied by AIDS patients should be HEPA filtered. 1,2 3. Pentamidine administration, sputum induction, and other aerosol producing procedures should be conducted in properly ventilated and designed settings. Ultraviolet lights used in Pentamindine administration rooms should remain on during treatment periods. Patients being administered Pentamindine should remain in the room until all coughing subsides, and only one patient at a time should be treated. 4. VAMC should have a policy for health care workers regarding the use of respiratory protection against potential inhalation hazards when working with known or suspected TB infected patients. A respirator program consistent with the guidelines found in NIOSH Publication No. 87-116, Guide to Industrial Respiratory Protection and the requirements of OSHA standards (29 CFR 1910.134) should be in place at the facility. Surgical masks do not meet these guidelines. For exposure to aerosols containing TB organisms, the respirator offering the highest level of protection should be selected that is consistent and feasible with the tasks to be performed by the workers. The 1994 CDC Guidelines for preventing the transmission of Mycobacterium tuberculosis in healthcare facilities should be referenced for specific respiratory protection guidelines. The use of respiratory protection is required to help minimize the risk of exposure to droplet nuclei for health-care-facility workers performing certain high-risk procedures or entering specific areas in hospitals. References 1. CDC [1994]. Guidelines for preventing the transmission of Mycobacterium tuberculosis in healthcare facilities, 1994. Atlanta, GA: U.S. Department of Health and Human Services, Public Health Service, Centers for Disease Control and Prevention. MMWR 43, No. RR-13, October 28, 1994. 2. ASHRAE [1995]. Health Care Facilities. In: ASHRAE Applications Handbook. Atlanta, GA. American Society of Heating, Refrigerating, and AirConditioning Engineers, Chapter 7. 3. AIA [1993]. Committee on Architecture for Health. Guidelines for construction and equipment of hospital and medical facilities. Waldorf, MD: American Institute of Architects. 4. CDC [1989]. Mycobacterium tuberculosis transmission in a health clinic Florida. Atlanta, GA: U.S. DEPARTMENT of Health and Human Services, Public Health Service, Centers for Disease Control and Prevention. MMWR 38:256-64. 5. ASHRAE [1989]. American Society of Heating, Refrigerating, and Air-Conditioning Engineers (ASHRAE) Standard 62-1989, Ventilation for acceptable indoor air quality. Atlanta, GA: American Society of Heating, Refrigerating, and Air-Conditioning Engineers. 6. Riley RL [1988]. Ultraviolet air disinfection for control of respiratory contagion. In: Kundsin RB, Ed. Architectural design and indoor microbial pollution. New York: Oxford University Press, pp. 175-197. 7. CDC [1983]. Guidelines for isolation precautions in hospitals. Atlanta, GA: U.S. DEPARTMENT of Health and Human Services, Public Health Service, Centers for Disease Control and Prevention. Infection Control, July/August 1983 (Special Supplement); 4(Suppl.): 2245-325.
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Chapter 14 Tuberculosis Infection Control Strategies in a Biosafety Level-3 Laboratory A.M. Weber and K.F. Martinez Abstract The National Institute for Occupational Safety and Health (NIOSH) received a request to conduct an evaluation at a state public health mycobacteriology laboratory. The request concerned the potential for transmission of Mycobacterium tuberculosis (Mtb) in the laboratory resulting from the handling of incoming samples, from the preparation of acid-fast bacilli (AFB) smears, and from culturing clinical specimens potentially containing Mtb. NIOSH representatives evaluated the tuberculin skin testing (TST) program, assessed laboratory practices, reviewed the use of safety equipment, and determined the operational status of the ventilation system. Criteria used for the evaluation consisted of guidelines recommended by the Centers for Disease Control and Prevention (CDC) and the National Institutes of Health (NIH) for biosafety in microbiological and biomedical laboratories. In summary, NIOSH representatives concluded that a health hazard existed for the laboratory employees who may be exposed to infectious aerosols generated in the laboratory. These hazards were present due to deficiencies in the design of the laboratory and operation of the ventilation system, and the lack of appropriate respiratory protection. Exhaust ductwork, located in the ceiling plenum above the ante-room in the TB containment laboratory, was disconnected thereby allowing potentially contaminated air to reach the return air plenum. Perforated ceiling tiles were present throughout the containment laboratory, rather than a ''hardsurfaced'' sealed ceiling which is recommended by CDC and NIH. An attempt had been made to glue the tiles to their aluminum supports to prevent laboratory air from entering the return air plenum. The results of airflow measurements and observation of airflow direction in the three rooms of the containment laboratory were highly dependent on the operation of the biological safety cabinet (BSC). Without the BSC fan operating, the TB laboratory was under positive pressure. The laboratory should be under negative pressure regardless of the operation of the BSC. According to the calculated air changes per hour (ACH), all three rooms were achieving greater than six ACH. Based on the observations and measurements compiled during the evaluation, recommendations regarding the maintenance of the existing ventilation system and the design of the laboratory were provided. Introduction Tuberculosis Tuberculosis (TB) is an infectious disease caused by the bacterium Mycobacterium tuberculosis (Mtb). Mtb is a rod-shaped bacterium and is transmitted by airborne droplets generated when persons with pulmonary or laryngeal TB sneeze, cough, or speak. 1 Due to the small size of the droplet nuclei (less than 5 micrometers in diameter), normal air currents keep them airborne and can spread them throughout a room or building. Infection occurs when a susceptible person inhales Mtb and the bacilli become established in the alveoli of the lungs, where they multiply and spread throughout the body. Two to ten weeks after the initial infection, the body's immune system usually limits further multiplication and spread of the organisms. However, in approximately 1% of newly infected persons, the initial infection rapidly progresses to active TB. Another 5-10% of those infected will develop active TB over a period of months, years, or decades. In 1994, a total of 24,361 cases of TB (9.4 cases per 100,000) were reported to the Centers for Disease Control (CDC). 2 The growing number of TB cases has been accompanied by an increase in the number of clinical samples collected and processed by laboratories. Mtb has been identified as posing a significant risk to laboratory personnel.3,4Studies have shown that the incidence of Mtb infection in those who work with Mtb in the laboratory is 3 to 5 times higher than the incidence among laboratory personnel who do not work with the bacterium. 5-7 The route of
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infection of most laboratory-acquired illnesses has been attributed to the inhalation of aerosols. Some aerosol-generating procedures that have been shown to produce droplet nuclei in the respirable range include: pouring of cultures and supernatant fluids, using fixed volume automatic pipettors, mixing a fluid culture with a pipette, dropping tubes or flasks of cultures, spilling suspensions from pipettes, and breaking tubes during centrifugation 8-10 Additional concerns for microbiologists processing clinical samples include: (1) the increasing numbers of multiple drug resistant (MDR) organisms, and (2) the increasing numbers of individuals who are co-infected with the human immunodeficiency virus (HIV). Background Facility Description The laboratory is located on the second floor of a two-story building which was reportedly built in the early 1950s. The laboratory consists of three offices; a conference room; serology, bacteriology, strep, and mycobacteriology laboratories; incubator, gas chromatography, and refrigeration rooms; and dishwashing and glassware rooms. There are two mechanical heating, ventilating, and air-conditioning (HVAC) systems for the building, each serving a separate floor. The HVAC system serving the laboratory is a variable air volume (VAV) system. A fixed amount of outside air enters the air handling unit (AHU) through dampers, mixes with return air from the occupied spaces, and passes through a bank of pleated fiberglass filters. Although the air from the TB laboratory is not recirculated, air from other areas of the second floor is returned to the AHU. Therefore, a portion of the supply air received by the TB laboratory is recirculated air. Supply air is delivered to the occupied spaces through ceiling diffusers. There are reportedly four dedicated exhaust systems (i.e., 100 percent exhaust to the outside) for the laboratory which serve the following areas or equipment: (1) the chemical fume hood located in the bacteriology laboratory, (2) the biological safety cabinet (BSC), (3) the TB laboratory and (4) the autoclave room and TB preparation room. Supplemental radiant heat is supplied to the area by baseboard radiators. There were no HVAC drawings available for the building, and there were no test and balance reports. The evaluated area of the facility, the containment laboratory, consists of three separate rooms (see Figure 1). Entrance to this laboratory is through an anteroom which leads to a preparation room. The preparation
Figure 1. Tuberculosis Containment Laboratory.
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room is used for assembling materials and equipment prior to the culturing of specimens. The preparation room contains a through-the-wall autoclave for the sterilization of contaminated wastes. The third area, the TB laboratory, contains a BSC which is used for all procedures which may generate aerosols. In addition, the TB laboratory contains centrifuges and incubators for the processing of samples. Static pressure sensors control the quantity of make-up air provided to the laboratory to accommodate the operation of the BSC. When the fan of the BSC is turned on, the ventilation system adjusts the supply airflow via the static pressure sensors to provide a larger quantity of make-up air (Figure 1 indicates the location of the sensors). Laboratory Preparation of Specimens There were 13 laboratory employees, including three clerical staff employees, seven microbiologists (three of whom are involved with tuberculosis; two part-time and one full-time), and three laboratory technicians. Approximately 6,000 to 6,500 suspected Mtb-infected specimens are processed annually by the laboratory with less than one percent resulting in a positive identification of Mtb in the sample. Specimens are received by the laboratory in the main office area either by local courier or in the mail. Samples received by courier are delivered in paper bags, and samples received through the mail are delivered in screw-cap cylinders. When mailing samples, the shipper is responsible for complying with the packaging. and labeling requirements of the U. S. Public Health Service (PHS) 11,12and the U. S. Department of Transportation (DOT).13 Samples are transported to the syphilis laboratory where they are sorted; TB samples are identified by exterior coding on the shipping container. This particular mycobacteriology laboratory performed three types of diagnostic procedures: 1) detect and isolate mycobacteria, 2) identify the isolated species, and 3) test for drug susceptibility. Detailed instructions for culturing and identifying Mtb in clinical specimens are outlined by the CDC. 14 The following is a brief description of the methods used by the laboratory to identify Mtb in sputum samples. Specimens were digested and disinfected by transferring sputum from sample vials to centrifuge tubes with a pipette containing a solution of N-acetyl-L-cysteine and sodium hydroxide. N-acetyl-L-cysteine digests the sputum and the sodium hydroxide decontaminates the sample. The solution was allowed to stand for decontamination to occur, then was diluted and centrifuged. The concentrated sediment was recovered and the supernatant solution was discarded in a glass flask within the BSC. The concentrated sediment was then re-suspended and used to prepare samples for microscopic examination and culture. The initial step in the laboratory diagnosis of TB is the microscopic examination of AFB smears stained by an acid-fast procedure. Smears were prepared on slides within the BSC and placed on an electric slide warmer, located on the open bench, for heat fixing. It should be noted that Mtb organisms are still viable during the heat fixing stage.15 Slides were stained and microscopically examined. A definitive diagnoses of mycobacterial disease is based on standard culture methods. Two different types of media (agar-based 7H-10 plates and egg-based Lowenstein-Jensen slants) were inoculated and placed in CO2 incubators. Three to six weeks are necessary before sufficient growth is obtained to identify organisms. Specific identification is accomplished by using DNA probes and standard biochemical test methods. The remaining, unused sediment was refrigerated for future drug susceptibility testing. A BACTEC system (BACTEC® 460 TB Hood; Becton Dickinson Diagnostic Instrument Systems) was recently purchased by the laboratory; however, the system was not operating at the time of the site visit. The BACTEC system will allow for the identification and testing for drug susceptibility to be completed in approximately one to two weeks. Personal protective equipment worn by the microbiologist during specimen preparation and analysis included a double-strapped surgical mask, latex gloves, and a laboratory gown with a solid front. All potentially infectious laboratory wastes were disinfected in the autoclave located in the preparation room. Autoclaved wastes are collected by a contractor for incineration. Evaluation Methods A microbiologist was observed during the processing of samples to evaluate work practices and procedures. A walk-through survey of the laboratory and a visual assessment of the ventilation system were conducted. Smoke tubes were used to visualize the pressure relationship between the containment laboratory and adjacent areas, as well as between the three rooms of the containment laboratory. The direction of smoke was observed at each cracked doorway. Additionally, quantitative airflow measurements were collected using a Shortridge Instruments, Inc. Flowhood® Model CFM 88. Using this instrument, airflow through supply diffusers and exhaust grilles was read directly in cubic feet per minute (cfm). Measurements were obtained under the following two conditions: (1) when the fan of the BSC was on, and (2) when the fan of the BSC was off. Measurements were taken with all of the doors in the containment laboratory closed in order to simulate a
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"real-use" situation. The measured volumes of supply air were used to calculate the total number of air changes per hour (ACH) in the laboratory. Evaluationguidelines Recommendations for biosafety in microbiological laboratories are provided in the CDC and NIH document: Biosafety in Microbiological and Biomedical Laboratories (BMBL). 3 For laboratories which are handling concentrated cultures of Mtb and testing for drug susceptibility, a Biosafety Level (BSL)-3 laboratory is recommended. CDC and NIH have recommended a hierarchy of controls to prevent TB transmission in mycobacteriology laboratories. Listed in the order of importance, they include: (1) safe work practices, (2) use of containment equipment, and (3) specially-designed laboratory facilities. Utilizing a combination of these methods should reduce exposures to Mtb. These control measures are discussed below. Hierarchyof Control Measures Safe Work Practices Personnel working in laboratories must receive training in laboratory procedures (e.g., use of safety equipment, decontamination procedures, clean-up of spills, use of an autoclave, and waste disposal). The laboratory door should be kept closed at all times during the processing of samples. All activities involving potentially infectious materials must be conducted inside a biological safety cabinet (BSC). The laboratory should also prepare a biosafety manual which identifies hazards associated with processing specimens containing Mtb, and recommends procedures to minimize or eliminate the risks which are involved with these procedures. Personnel should enter the laboratory, only after they have been advised of the potential hazards related to Mtb. A biohazard warning sign should be posted on the door of the TB laboratory. The sign should include the following information: who to contact in case of an emergency, the identity of the infectious organisms present in the laboratory, requirements for the use of personal protective clothing, and any special entry requirements such as tuberculin skin testing. To minimize the transmission of Mtb, early identification and treatment of infected employees, both with and without active disease is necessary. New employees should receive a tuberculin skin test and have a chest roentgenograph performed upon initial employment. Screening for the identification of individuals with tuberculous infection is accomplished using the tuberculin skin test (Mantoux test). There are standardized guidelines for interpreting the test.16 A "two-step" test procedure is recommended by CDC for the first skin test administered to a person being enrolled in a tuberculosis surveillance system. 17 If the first test is negative, a second skin test is given one week later. If the second test is also negative, the person is considered to be free of Mtb infection and can then be enrolled in the periodic screening program (they need only receive a single skin test at each subsequent periodic screening). A formal employee tuberculin screening and follow-up program should be established in accordance with current CDC guidelines.1 In addition to identifying individuals for whom prophylactic treatment is appropriate, routine screening can also serve as a surveillance tool to identify areas where there may be an increased risk of tuberculosis transmission. If a person with a previously negative skin test converts to positive, the test should be followed by a chest x-ray to determine whether active TB has developed. 16 Results of PPD skin testing should be recorded in individual employee health records, as well as in a central file for all PPD test results. Containment Equipment Several activities have been shown to produce aerosols in the mycobacteriology laboratory.18 All culture tube samples should be sealed tightly and placed in centrifuge safety cups (safety carriers) within the BSC. Following centrifugation, the safety cups should be transported to the BSC before opening them. The Orings on the safety cups should be inspected frequently to ensure that there is an adequate seal. All contaminated supplies should be placed in a leak-proof, biohazard container then placed in an autoclave container before removal from the BSC. Biological safety cabinets (BSCs) are enclosed work stations intended to protect both the worker and the biological specimen from contamination. According to the agent summary statement in the BMBL, a Class II cabinet should be used when working with Mtb. Class II cabinets are designed to operate with an inward flow velocity of 75 - 100 linear feet per minute (lfpm) depending on the type (A or B) of BSC. Air is drawn across the cabinet face opening to prevent the escape of microorganisms. Another air stream is HEPA-filtered and moves over the specimens to protect them from external airborne contamination. All air which is exhausted passes through a HEPA filter to protect the environment and to minimize the potential for reentrainment of infectious aerosols. A listing of appropriately designed Class II BSCs, as well as performance standards are available from the National Sanitation Foundation International Standard 49. 19 The BSC should be certified at least annually, and additionally, if the cabinet is moved to another location, or if there are changes to the room's ventilation system.
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Employees should receive training on the appropriate use of the BSC which addresses actions or behaviors that could disturb the airflow patterns within the cabinet and/or at the face of the cabinet. Respiratory Protection Protective clothing should be worn to provide an additional measure of personal protection. Protective laboratory clothing, such as solid-front gowns, should be worn in the laboratory and decontaminated before being laundered. Laboratory gowns protect against splatter and minimize the back-flow of cabinet air that may travel along the arms of the worker. Gloves should be worn when handling infectious materials. Laboratories need to assess their risk of exposure when performing work with Mtb and determine the need for splatter or respiratory protection. Surgical masks and respirators offer different types of protection to the wearer. Surgical masks are designed to block outward discharges of large drops of saliva before they have had an opportunity to evaporate down to droplet nuclei. Masks also protect the face from spattered droplets; however, they are not efficiently designed filters. Surgical masks do not offer appropriate protection from the inhalation of droplet nuclei containing Mtb, due to poor face seal characteristics and potential leakage of small particles through the filter media. Respirators, however, typically afford greater protection, since the filters are more efficient, and can be fit-tested and fit-checked to ensure a tight seal to the wearer's face. A variety of manipulations of fluid suspensions of cultured Mtb in the laboratory produce aerosols in the same size range as when an individual, who has active TB, produces an aerosol by coughing. The risk of infection with Mtb is dependent on the concentration of Mtb bacilli in the culture, the procedure being performed, and the type of culture media (working with liquid cultures poses a greater risk than working with cultures growing on solid media). Recently, the CDC published TB guidelines for protecting health-care workers from TB transmission which recommend performance criteria for respirators. 1 The only class of respirators that (1) currently meet these guidelines and (2) are certified by NIOSH (as required by OSHA) are high-efficiency particulate air (HEPA) respirators.1 Recently, NIOSH published final rules which change the current respirator certification process.20 These changes will allow users of respirators to select from a broader range of certified respirators that meet the performance criteria recommended by CDC for respirators used in health care settings for protection against Mtb. Although the CDC guidelines were based primarily on protecting workers from patients with TB, they are also applicable to protecting microbiologists from specimens containing Mtb which may become aerosolized during laboratory procedures. Whenever respirators are offered to employees, a complete respirator program must be implemented that meets the requirements of the OSHA respiratory protection standard. 21 The minimum requirements for a respiratory protection program include the following components: written standard operating procedures, user instruction and training, cleaning and disinfection, storage, inspection, surveillance of work area conditions, evaluation of the respirator protection program, medical review, and use of certified respirators. Laboratory Facilities BSL-3 laboratories have specific building design criteria as well as ventilation requirements. Personnel access to the laboratory should be through two doors with an air space between them (i.e., anteroom). In order to accommodate decontamination procedures, interior surfaces of walls, floors and ceilings should be sealed and bench tops should be impervious to water, and resistant to acids, alkalis, organic solvents, and moderate heat. Other design criteria include special, footoperated hand washing facilities, automatic door closures, sealed utility penetrations and windows, and an autoclave. General ventilation reduces the concentration of contaminants through dilution and removal of contaminated room air. The supply air should typically pass through one filter bed containing 35 to 60 percent efficient filters as a minimum (according to the ASHRAE estimated dust spot efficiency test).22 A "single pass" system theoretically exhausts all room air to the outside. Exhaust air from the laboratory should be discharged to the outside through a HEPA filter. The outside exhaust must be directed away from occupied areas and air intakes. Ventilation rates are frequently expressed in terms of air changes per hour (ACH). An ACH is defined as the theoretical ratio of the ventilation rate (volume of air entering the room per hour) to the room volume, assuming perfect mixing. Ideally, six to twelve room air changes per hour should be provided so that up to 99% of the airborne particulate matter will be removed per hour.14 This is particularly important in the event that a major aerosol is generated outside the BSC, since personnel will then be able to estimate the amount of time which is needed before they can safely re-enter the laboratory to disinfect the area. In addition to supplying the specified airflow, ventilation systems should also provide satisfactory airflow patterns both from area to area and within each room. Airflow should be from "clean" to "less clean" areas. This can be
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accomplished by creating a negative pressure in the area into which flow is desired relative to adjacent areas. Negative pressure is attained by exhausting more air from the area than is being supplied. The laboratory should be kept under negative pressure at all times regardless of the operational status of the BSC. Results and Discussion A microbiologist was briefly observed during the preparation of specimens. During the procedure, the microbiologist wore a solid front disposable gown over street clothes, a double-strapped surgical mask, and latex gloves. A respiratory protection program meeting OSHA requirements had not been implemented for the laboratory. The fan of the BSC was turned on before sample processing began, and was turned off immediately following sample preparation. A phenol-soaked paper towel was placed on the surface inside the BSC to reduce splatter and aerosol formation which would occur if microbial inocula were dropped or spilled. All of the doors in the containment laboratory were kept closed during the sample preparation. All surfaces were decontaminated at the end of the procedure with a 5% phenol solution, and all potentially infectious wastes were autoclaved. There was no biohazard warning sign posted on the door leading to the TB laboratory. Housekeeping in the laboratory appeared to be very good. All surfaces were visibly clean, and the area was free of waste materials. The BSC is certified semiannually. Although the heat-fixing of AFB smears was not observed during the site visit, it was reported that this procedure was performed on the open counter. As mentioned previously, Mtb has been shown to remain viable during the heat-fixing process. 15 Another issue of concern was the use of a glass flask for the collection of supernatant solutions. The use of glass should be limited in the laboratory, since infectious aerosols may potentially be released into the room environment if the flask was dropped while being transported to the BSC or the autoclave. There is an additional hazard to the microbiologists who may injure themselves while picking up broken glass. The glass could puncture their skin, and therefore, inoculate them with Mtb or other bloodborne pathogens such as the hepatitis B virus (HBV) or HIV which may be present in some of the samples. A biosafety manual had been prepared for the laboratory; however, NIOSH investigators did not review the manual, since it was reportedly being updated at the time of the site visit. Written standard operating procedures were available for the procedures conducted in the laboratory. Tuberculin skin testing (TST) is performed by the TB Control Group of the Anchorage State Health Department. The facility offers skin testing to employees on an annual basis. Microbiologists responsible for preparing Mtb specimens are tested every six months. Employees are notified by the laboratory director of the date when testing will be provided. If the employee is not present on this day, they will not receive testing until the following year. New employees do not receive baseline TSTs upon initial employment. The first TST new employees receive is during the annual testing provided to all employees at the facility. After the result of the skin test is provided to the employee in writing by the AK State Health Department, the employee is instructed to forward the results to the laboratory director. The results are then placed in each employee's personal health records. When several of these records were reviewed, it appeared that some employees had either failed to provide a copy of the results to the laboratory director, or they did not receive an annual TST. There was no central file used for tracking TST results. During the visit, it was noted that the laboratory had recently purchased a BACTEC® system. According to the BACTEC manual, the manufacturer suggests that the system "may be exhausted into a biological safety hood at the laboratory's discretion." However, this may alter the airflow patterns within the cabinet. If this were to be done, the BSC would have to be re-certified. There are two other options which BACTEC suggests: (1) since the BSC contains a HEPA filter in the exhaust port, the air may be exhausted directly into the room, and (2) the exhaust hose may be ducted directly to the outside. The four dedicated exhaust fans are located on the roof, except the fan for the chemical fume hood, which is located in the return air plenum. The exhausts on the roof were located a sufficient distance from outdoor air intakes to minimize the potential for entrainment of contaminated air into the building. The ductwork exhausting air from the anteroom in the containment laboratory was disconnected and opened to the return air plenum. Therefore, if contaminated air were to enter the anteroom, this air would be recirculated and distributed to occupied areas on the second floor through the return air plenum. Ceiling tiles were found throughout the containment laboratory, instead of the recommended "hard-surfaced" ceiling. An attempt had been made to glue the tiles to their aluminum supports in order to prevent laboratory air from entering the return air plenum. Since the laboratory is not properly sealed, a major aerosol release in the laboratory could lead to the dissemination of Mtb bacilli to other parts of the second floor. The walk-through inspection of the mechanical room indicated that the HVAC system was relatively clean. The filters had a rated efficiency of 30 percent according to the ASHRAE estimated dust spot efficiency
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test; however, ASHRAE recommends that filters with a dust spot efficiency of 35 to 60 percent be used in laboratories. The results of airflow measurements and airflow direction tests for the three rooms in the containment laboratory are presented in Figure 1. The anteroom was found to be under positive pressure relative to both the adjacent hallway and the TB preparation room, regardless of the operation of the BSC. However, the pressure relationship in the TB laboratory fluctuated with the operation of the BSC. Without the BSC fan operating, the TB laboratory was under positive pressure. The TB laboratory should be operating under negative pressure regardless of the operation of the BSC. There are two potential contributing factors for this: (1) when the BSC is not exhausting additional air from the TB laboratory, the dedicated exhaust in the room is not removing a sufficient volume of air to ensure that the room is under negative pressure, and (2) the static pressure sensor in the preparation room is not working properly. When the fan of the BSC was turned on, additional make-up air is supposed to be supplied. However, the supply air in the preparation room actually decreased in volume when the BSC was turned on according to the flow measurements collected by the NIOSH investigators. According to the calculated ACHs, all three rooms were theoretically achieving greater than six ACH. Without the fan of the BSC operating, the following ACHs were calculated for the anteroom, the preparation room, and the TB laboratory: 12.9, 11.0, and 16.7, respectively. With the fan of the BSC operating, the following ACHs were calculated for the anteroom, the preparation room, and the TB laboratory: 17.6, 10.4, and 18.1, respectively. As would be expected, all of the ventilation rates increased, except in the preparation room, when the fan was operating. Again, the lower ventilation rate in the preparation room when the fan was on, indicates that there may be a problem with the static pressure sensor in this room. Based upon these results, the fan of the BSC should run continuously in order to maintain negative pressure (air flowing in) in the TB laboratory, until the ventilation system is properly balanced. Recommendations The NIOSH evaluation identified several environmental deficiencies at the laboratory. Based on the results and observations of this evaluation, the following recommendations are offered to the facility. 1. Infection with Mtb usually can be identified through tuberculin skin testing (TST). The Mantoux technique, the preferred test, involves intradermal injection of 0.1 milliliters of purified protein derivative [PPD] containing 5 tuberculin units. 23 If an individual has been infected with Mtb, preventative drug therapy can greatly reduce the chance of developing active TB. All employees should receive a two-step PPD skin test upon initial employment, as recommended by CDC.17 The clinic should establish a formal employee tuberculin screening and follow-up program in accordance with current CDC guidelines. 1 The results of TSTs should be maintained in a central file and should be periodically reviewed to evaluate the effectiveness of the TB control program. Information recorded should include the date tested, testing material used, size of the reaction to the testing in millimeters, and interpretation. In addition to the regularly-scheduled surveillance testing, all employees who have received a potential exposure to Mtb should be retested (unless a negative tuberculin skin test has been documented within the preceding three months). If the initial test is negative, the test should be repeated 12 weeks after exposure. 2. Personal respiratory protection should be worn by all employees in the TB laboratory during aerosol-generating procedures, since no BSC is 100 percent effective. At the minimum, a disposable HEPA respirator should be worn which is consistent with the CDC guidelines for preventing TB transmission in health care workers. CDC will be publishing an update to the current BMBL in the near future which will address the use of respiratory protection (this update will be published in the Morbidity and Mortality Weekly Report). A respiratory protection program which meets the OSHA requirements should be in place at the facility.21 The program should be periodically reevaluated for its effectiveness. 3. The exhaust duct in the ceiling plenum of the anteroom should be sealed or connected to the exhaust in the TB laboratory to prevent recirculation of contaminated air to other parts of the facility. In addition, the ceiling tiles in the containment laboratory should be replaced with a "hard" ceiling in order to prevent air from leaking into the return air plenum. 4. The ventilation system (including the pressure sensors) in the containment laboratory should be fully evaluated to ensure that it is operating properly. Air flow rates should be evaluated to ensure that 6 - 12 ACH are achieved at all times in the TB laboratory. The BSC should run continuously in order to maintain negative pressure in the TB laboratory at all times. The laboratory should consider installing a continuous room pressure
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monitor for the TB laboratory. These monitors are commercially available, and are designed to provide a visual indicator to the person entering the room or laboratory that the area is being maintained under negative pressure. The current filtration is not adequate to prevent dust accumulation in the HVAC system and the occupied areas. Filters with lower efficiency may allow for the contamination of "clean" environments and may adversely affect the operation of laboratory equipment. The most efficient filters the system can handle should be used. A ventilation firm should be consulted to determine the maximum filter efficiency. 5. A firm specializing in ventilation should be consulted to determine the amount of outdoor air currently being provided to the laboratory, and to balance the system. This firm should be experienced in working with laboratory facilities. The facility should develop and implement a written preventive maintenance program for the ventilation components of the facility in consultation with the manufacturers of the equipment. Preventative maintenance activities on the components should be documented. For future reference, blueprints of the HVAC system should be prepared in order to assist in maintaining and repairing the present system. 6. AFB smears should be heat-fixed on the slide warmer within the BSC, since organisms remain viable during this procedure. To further eliminate viable organisms, the phenol-based portion of staining may be completed within the BSC before removing the slides. 7. The glass flask used to collect supernatant fluids should be replaced with a splash-proof, plastic (i.e., polyethylene) waste container which can be autoclaved. 18A one-hole rubber stopper should be placed in the opening of the container through which an aerosol-proof funnel should be placed. The container should have a small amount of disinfectant in it, and the funnel should be rinsed with the disinfectant each time supernatant solution is poured into it. In addition, all items which are removed from the BSC as wastes should first be enclosed in a leak-proof, plastic container which can be autoclaved. 8. Laboratory personnel should be trained to respond to spills. CDC has recommended actions to be taken in the event of an accident.14 The steps to be taken, depend on the concentration of the spill, and the type of ventilation system. 9. A biohazard warning sign should be posted on the door of the TB laboratory. The sign should include the following information: who to contact in case of an emergency, the identity of the infectious organisms present in the laboratory, requirements for the use of personal protective clothing, and any special entry requirements such as tuberculin skin testing. 10. The laboratory should consider upgrading the ventilation system for the containment laboratory. Consideration should be given to installing a constant air volume system; therefore, the pressure differentials in the laboratory will be easier to maintain. References 1. CDC [1994]. Guidelines for preventing the transmission of Mycobacterium tuberculosis in healthcare facilities, 1994. MMWR 43(RR-13):1-132. 2. CDC [1995]. Tuberculosis morbidity-United States, 1994. MMWR 44(20):387-95.2. 3. CDC and NIH [1993]. Biosafety in microbiological and biomedical laboratories, 3rd ed. U.S. Government Printing Office. U.S. Department of Health and Human Services, Public Health Service, Centers for Disease Control and Prevention and National Institutes of Health, DHHS Publication No. (CDC) 93-8395. 4. Pike RM [1976]. Laboratory-associated infections: summary and analysis of 3921 cases. Hlth Lab Sci 13:105-14. 5. Reid DP [1957]. Incidence of tuberculosis among workers in medical laboratories. Brit Med J 2:10-14. 6. Capewell S, Leaker AR, and Leitch AG [1988]. Pulmonary tuberculosis in health service staff - is it still a problem? Tubercle 69(2):113-18. 7. Harrington JM and Shannon HS [1976]. Incidence of tuberculosis, hepatitis, brucellosis, and shigellosis in British medical laboratory workers. Brit Med J 1:759-62. 8. Kenny MT and Sabel FI [1968]. Particle size distribution of Serratia marcescens aerosols created during common laboratory procedures and simulated laboratory accidents. Appl Microbiol 16:1146-50. 9. Stern EI, Johnson JW, Vesley D, Halbert MM, Williams IE, and Blume P [1974]. Aerosol production associated with clinical laboratory procedures. Amer J Clin Path 62:591-600. 10. McKinney RW, Barkley WE, and Wedum AG [1991]. The hazard of infectious agents in microbiological laboratories. In: Disinfection, Sterilization, and Preservation, 4th ed, Chapter 43, pp. 749-56. 11. 42 CFR 72.3 [1972]. Code of Federal Regulations. Washington, DC: U.S. Government Printing Office, Office of the Federal Register. 12. 42 CFR 71.156 [1971]. Code of Federal Regulations. Washington, DC: U.S. Government Printing Office,
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Office of the Federal Register. 13. 49 CFR 173 [1993]. Code of Federal Regulations. Washington, DC: U.S. Government Printing Office, Office of the Federal Register. 14. Kent PT and Kubica GP [1985]. Public health mycobacteriology; a guide for the level III laboratory. Atlanta: U.S. Department of Health and Human Services, Public Health Service, Centers for Disease Control and Prevention. 15. Allen BW [1981]. Survival of tubercle bacilli in heat-fixed sputum smears. J Clin Path 34:719-22. 16. CDC [1990]. The use of preventive therapy for tuberculosis infection in the United States: recommendations of the advisory committee for elimination of tuberculosis. MMWR 39(RR-8):9-12. 17. CDC [1990]. Screening of tuberculosis and tuberculosis infection in high-risk populations: recommendations of the advisory committee for elimination of tuberculosis. MMWR 39(RR-8):1-7. 18. Gilchrest MJR [1994]. Laboratory safety management update: Aerosol-borne microorganisms. Introduction. In: Supplement #1 of the Clinical Microbiology Procedures Handbook. H.D. Isenberg, Ed. American Society for Microbiology, Washington, DC. 19. NSF [1983]. Class II (Laminar Flow) Biohazard Cabinety. National Sanitation Foundation International Standard 49. Ann Arbor, MI. 20. Department of Health and Human Services [1995]. Respiratory protective devices; certification requirements. Public Health Service, 42 CFR Part 84. Federal Register 1995; 60(110):30366-98. 21. Code of Federal Regulations [1992]. OSHA respiratory protection standard. 29 CFR 1910.134. Washington, DC: U.S. Government Printing Office, Federal Register. 22. ASHRAE [1991]. Health facilities. In: ASHRAE Application Handbook. Atlanta, GA: American Society for Heating, Refrigerating, and Air-Conditioning Engineers, Chapter 7. 23. Amercan Thoracic Society/CDC [1990]. Diagnostic standards and classification of tuberculosis. Am Rev Respir Dis 142:725-35.
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Chapter 15 Practical Approaches for Health Care: Indoor Air Quality Management A.R. Turk and E.M. Poulakos Abstract The management of indoor air quality (IAQ) is of interest to building occupants, managers, owners, and regulators alike. Whether by poor design, improper attention, inadequate maintenance or the intent to save energy, many buildings today have significantly degraded IAQ levels. Considering the increase of facilities and occupants in the non-industrial sector of our nations workforce, the consequences of inadequate IAQ, as related to productivity, human wellness and health care costs in the commercial (health care) environment, have become increasingly urgent issues to design professionals, building owners and managers, safety and health professionals, interior product manufacturers, and HVAC control vendors. Acceptable IAQ is defined by the American Society of Heating, Refrigerating, and Air Conditioning Engineers (ASHRAE) in Standard 62-1989 "Ventilation for Acceptable Indoor Air Quality" as "air in which there are no known contaminants at harmful concentrations as determined by cognizant authorities and with which a substantial majority (80 percent or more) of the people exposed do not express dissatisfaction." ASHRAE's definition not only addresses the chemical compounds that may be present in the air, but it also recognizes a need to address both physiological and psychosocial comfort. One must accept that the determination of IAQ is multifaceted, not only in cause and effect but also in solutions. The first step of proper IAQ management is to fully understand the issue of IAQ and to a certain elemental degree, the extent of the problem(s), causes and possible solution applications. This will require input from the individuals affected, their direct supervisors, safety and health professionals, and the facilities/ maintenance departments. One of the most cost-effective mechanisms to solicit this information is through a self-administered questionnaire. The second step is to conduct a performance review of the HVAC systems based on equipment design specifications and guidelines for acceptable IAQ. And the third step is to identify potential chemical, physical and biological sources that are known to contribute to adverse air quality. Upon completion of these three steps, you will able to identify the more significant contributors to IAQ problems and establish applications for prevention and mitigation. Health Care Indoor Air Quality Hospitals tend to be especially prone to IAQ problems due to chemical activities that occur in various areas of a facility and the older age of many buildings and systems. Staff well-being and preventing the spread of infection are of primary concern in a hospital. Health care IAQ assumes a more important role than just the promotion of comfort. In many cases, proper air conditioning is a factor in patient therapy; in some instances, it is the major treatment. Although proper IAQ is helpful in the prevention and treatment of disease, the application of air conditioning to health facilities presents many problems not encountered in the typical commercial ventilation system. The four basic differences between proper heating, ventilating, and air-conditioning (HVAC) for hospitals (and related healthcare facilities) and that for other commercial building types include: (1) the need to restrict air movement in and between the various departments; (2) the specific requirements for ventilation and filtration to dilute and remove Contamination in the form of odor, airborne microorganisms and viruses, and hazardous chemical and radioactive substances; (3) the different temperature and humidity requirements for various areas; and (4) the design sophistication needed to permit accurate control of environmental conditions. Healthcare facility HVAC systems must also provide air virtually free of dust, dirt, odor, and chemical and radioactive pollutants. In some cases, outside air is hazardous to patients suffering from cardiopulmonary, respiratory, pulmonary, or
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immunocompromised conditions. In such instances, systems that intermittently provide maximum allowable recirculated air may need to be considered. Additionally, cross-infection from patient to patient or patient to healthcare worker (HCW) is of great concern. This cross-infection is the result of frequent turnover of patients in rooms', microorganism longevity, and the inability to clean and disinfect surfaces in the room and air supply systems properly. Because patients are present for short stays and are, to differing degrees, already ill (i.e., compromised), exposure to IAQ problems can only confuse diagnosis and treatment protocols used by medical professionals. Procedures such as respiratory therapy, which force room air into the patient's lungs, and invasive procedures that allow airborne pathogens to bypass the normal body defenses, further strain the immune response ability of already compromised patients. Background As stated above IAQ can be defined as an indoor environmental condition that contains the lowest possible levels of a broad scope of air pollutants to satisfy the health, comfort and well-being of the vast majority of occupants in any type of building at any given time. IAQ may be viewed as a dynamic interplay within the internal environment of a building, occurring between the building envelope, systems, furnishings and space used by the occupants, which can be influenced by both occupant activities and ambient conditions. In 1982, the World Health Organization (WHO) established the acronym and term sick building syndrome (SBS). WHO contends that if 20 percent of the occupants of a building complain that the building is causing them one or more physical problems, those problems occur shortly after entering the building, progressing while they are in the building, ceasing to exist shortly after leaving the building, then the building is suspect of being involved and the condition might be rightfully contributed to something in the building. Simply stated, SBS is an IAQ condition which is apparently linked to the building via the time they spend in the building, but no specific cause can be identified. SBS is further characterized as a phenomenon in which occupants experience symptoms that can be alleviated or temporarily disappear when leaving the building or space. This phenomenon is also called Tight Building Syndrome because in many cases building designs are limited in natural/outside ventilation causing containment of emissions from materials used in the building to be implicated as a cause. SBS may include one or more of the following symptoms itching or burning eyes, dry or itchy throat, runny nose or sneezing, headache, burning skin or skin irritation, fatigue, difficulty breathing, dizziness, and nausea. In most cases of suspected SBS a direct cause of the IAQ problem cannot be identified. The symptoms result from any variety of environmental conditions that have an additive or synergistic effect on the IAQ. Further complicating this is the fact that indoor airborne pollutants tend to have an overlapping symptomology with each pollutant causing the same type symptoms. Environmental stressors such as improper lighting, noise, vibration, overcrowding, ergonomic stressors, and job-related psychosocial problems (such as job stress) can produce symptoms that are similar to those associated with poor IAQ. However, one factor that is characteristic SBS is that occupants report that symptoms go away or simply lessen after they leave the workplace. In contrast to SBS, Building-Related Illness (BRI) occurs when symptoms of diagnosable illnesses are identified (e.g., certain allergies or infections) and can be directly attributed to environmental agents in the air. Legionnaire's disease and hypersensitivity pneumonitis are examples of BRI that can have serious, even lifethreatening consequences. In cases of expected BRI, the advice of qualified professionals trained to deal with infectious diseases should be sought. The infamous Legionnaire's disease outbreak in 1976 was the first recognized instance of a BRI. Asbestos, radon and infectious diseases such as tuberculosis are other examples of BRI. One of the most common IAQ complaints is that ''there's a bad smell.'' Odors in the work place are often associated with a perception of poor air quality. In even more cases occupants complain of stuffy air conditions or of the work place being "too hot" or "too cold." Occupant perceptions of the indoor environment can also be influenced by poor housekeeping (i.e., occupants may perceive the IAQ to be poor if the diffusers near them are soiled, or the ceiling tiles closest to the diffusers are stained, or even if the flooring or funiture is dirty and dusty). Often the role of an initial IAQ evaluation is to provide assurance of good air quality, thereby pacifying occupant complaints. This role has led many IAQ consulting companies to provide proactive IAQ monitoring services to the building owner and property management community. Such services are conducted from a quality assurance standpoint to ensure that no IAQ problems exist within the building. Economics According to the EPA, the United States loses tens of billions of dollars each year due to lost productivity, medical costs, lost earnings, sick days and property damage due to IAQ concerns (EPA, 1994). However, the Building Owners and Managers Association (BOMA) contends that the proposed OSHA Rule (59 FR 16968) is treating the symptoms and not the cause of poor IAQ. BOMA claims that much of the hysteria that caused OSHA to propose the rule is fueled by misinformation rather than conclusive scientific debate. According to BOMA, the estimated cost of complying with the rule is $8.1 billion per year or between $0.14 to $0.21 per square foot, directly attributable to building systems operations and maintenance (Building Renovations, Winter 1994). Furthermore, BOMA recommends that the compliance deadline be delayed at least 24 months to establish a plan so building owners are not hit with the unscrupulous business operators that characterized both the asbestos abatement and radon mitigation programs of years past. The impact of the IAQ dilemma in a health care facility can be understood when "nearly every air handling unit inspected showed signs of microbial growth or dust accumulation" such as at a 985-bed facility in central Florida (Gill and Wozniak, 1993). With more than 2,000 identified sources of indoor air contamination, identification and remediation of suspect problems will take an ever increasing share of the maintenance and operations budget dollar in the future.
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Liability As the general public and health care industry becomes more aware of the health risks associated with indoor air pollution, those involved with designing, operating, and controlling buildings face the threat of litigation. This type of litigation is relatively new because significant deterioration in IAQ has occurred most notably within the past decade. The pool of potential plaintiffs is practically limitless, since most Americans spend the majority of their day indoors. Although a specific body of regulations on IAQ is still in the development stage, the proliferation of lawsuits is gaining momentum based on some early plaintiff awards. It is fact that IAQ lawsuits are increasingly showing up in the legal system. The plaintiffs are basing their cases on grounds such as strict liability, misrepresentation, breach of expressed or implied warranties, and negligence. Helen Eisenstein, attorney for the plaintiff in Call vs. Prudential, a landmark commercial lawsuit, states: "In every state, the owner of a commercial or residential structure has a nondelegable duty to provide occupants with a safe and healthful environment" (Berg, 1994). IAQ, unfortunately, is not so easily quantified. In Washington, DC, alone, more than 6,800 reports of inspections relating to fumes or gases that might have been hazardous to employees were reported to OSHA. (EPA, 1994). This is of concern for any facility, particularly with current IAQ issues, which prove difficult to diagnose. Because undiagnosed or unresolved IAQ problems typically spread by rumor and can undermine morale, health consciousness and worker productivity. ASHRAE IAQ Standard 62-1989 is typically being used by both sides in litigation battles. The problem is that, although you can measure airflow and contaminant levels, there are not many guidelines indicating the parameters required. And in variable air volume (VAV) systems, the risk can be even more difficult to manage. The way the ASHRAE standards are written, to minimize litigation, an engineer may need to consider for VAV systems either a dedicated system of conditioned outdoor air delivered at a constant volume to each occupied space, or providing so much outdoor air at the air handler (perhaps 100 percent), that no one could doubt that every occupant has their share of consistent "clean" air. Engineers and other experts are increasingly being hired to test a building's HVAC system, update records and verify system operation to design conditions many years after the original commissioning of the building. Documentation of proper ventilation rates should help keep the building owner out of court. However, additional legislation will only add to the amount of possible litigation. Unfortunately, many building owners don't know whether or not they are in compliance with current standards. Aside from ventilation, there are issues to resolve with such sources as carpeting, formaldehyde, carbon dioxide and other commonly found materials. Even more confusing is how to deal With people who are susceptible to certain chemicals or materials. Ailments, such as multiple chemical sensitivity (MCS), is still debated in both the medical and scientific communities. Negligence Negligence or the failure to exercise due care in designing or maintaining a building can be a strong litigation foundation. If a building owner or manager is not reasonably diligent in preventing injury to his occupants, he can be sued for negligence. For example, a building owner whose facility does not meet ASHRAE Standard 62-1989, the voluntary standard which is the prevailing code for outside air quantities, could be deemed negligent if a occupant suffers any ill effects from this deficiency. One of the first SBS lawsuits, Buckley v. Kruger-Benson-Ziemer (1987), involved a computer programmer in California who claimed that a series of neuromuscular defects that he had suffered were caused by the poor ventilation in the office and the hazardous chemicals and toxins emanating from the air, carpet, tile, and office equipment in the building in which he worked. The suit named as defendants the architects, contractors, mechanical engineers, heating and air conditioning manufacturers, HVAC control companies, distributors, sellers, and installers of air conditioning equipment, carpentry and floor tiles, as well as manufacturers, sellers, and distributors of "certain chemicals commonly used in offices, including but not limited to toners used in duplicating machines." The employee claimed that these parties knew or should reasonably have known of the dangers of these conditions, and were obligated to warn occupants of the health risks involved. This case illustrates not only the vast number of entities that face liability for IAQ, but also the degree of responsibility such parties may be forced to assume for the indoor environment. A case based on negligence, Call v. Prudential Insurance Company of America (1990), was brought forth when occupants of an office building sued the owner and a host of other parties because the new building that the company occupied caused adverse health effects in a number of employees. It was discovered that the air from a section of the building still under construction was being recirculated to occupied offices without proper ventilation to dilute or filter contaminants. The occupants alleged negligence in the defendants' failure to, among other things: (1) properly evaluate, test, and investigate for toxic fumes, chemicals, and other substances that produce SBS; (2) balance the air conditioning system to produce a sufficient outside air/recycled air ratio spread adequately throughout the entire building; and, (3) use building materials that were incapable of off-gassing formaldehyde and other noxious substances. These preventive measures, including the use of properly tested, non-toxic building materials and equipment, could have avoided a lawsuit. The judge in this case also ruled that the HVAC designers, general contractors, HVAC control company, and installers could be held liable for poor IAQ under a strict liability theory if the system proved defective. Strict Liability Strict liability means liability for a defective product, whether the defect occurs in the design or the manufacture of the product. This legal theory focuses on the product alone, and, unlike negligence, does not consider the conduct of the defendant relevant to the case. The majority of IAQ cases involving strict liability initially centered around injuries caused by asbestos. More recently, this theory has been invoked in cases in which the building's HVAC system, or the building itself, is construed as a product. Again, the building owner would not be the sole defendant in the event of a lawsuit, but would probably be named along with virtually anyone involved in the design,
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construction, and installation of the HVAC system including various manufacturers of each HVAC component such as the air filters, humidifier pads, controls and the air-handling unit itself. The theory of strict liability encourages architects, engineers, builders, and manufacturers to design and construct safer buildings and HVAC systems. Breach of Contract Plaintiffs have also invoked fraud/misrepresentation and breach of contract as bases for liability in SBS cases. A building that is marketed as "energy-efficient and safe to occupy," as was the newly constructed building in the Call v. Prudential Insurance Company of America (1990) case, had better have clean indoor air, or be subject to claims of fraud and misrepresentation. A breach of contract occurs when one party (e.g., the building owner) fails to uphold an agreement, whether expressed or implied. If a occupant complains of poor IAQ, the owner must make good on any promises they make to rectify the problem. Breach of contract claims can get muddled in instances in which a occupant vacates a building whose indoor air problems are not solved. If the owner sues the occupant for breaking the lease, the occupant may turn around and counter sue, claiming that the owner breached the contract first by failing to provide a habitable environment in which to work. Americans with Disabilities Act (ADA) The concept of responsibility for providing clean indoor air has recently taken a new legal twist, as plaintiffs' counsel have discovered language in the Americans with Disabilities Act (ADA) that may substantiate claims of discrimination in cases of poor IAQ. The ADA, enacted by Congress in 1989, prevents discriminating against those with a "physical or mental impairment that substantially limits one or more of the major life activities of such individual." In 1993, several individuals from the state of Connecticut filed suit against the McDonalds Restaurant Corporation, alleging that the passive tobacco smoke from the smoking section of the restaurants had such a dangerous effect on their asthma and other medical conditions that it interfered with their breathing, a "major life activity." Thus, the individuals claimed that this environment prohibited them from enjoying the services of the restaurants, in effect discriminating against them. The plaintiffs sued McDonalds to force the company to ban smoking in its restaurants. Whether IAQ lawsuits invoking the ADA will succeed remains to be seen, but this legal development deserves the attention of the business community. Risk Management Providing a habitable indoor environment is, of course, the best way to avoid litigation. It is extremely important to take preventive measures to eliminate actual or potential accumulations of indoor air pollution before it leads to liability lawsuits. Implementing an IAQ management plan may prevent indoor air pollution problems, as well as to serve as evidence of reasonable efforts to guard against poor IAQ. In the event that indoor air pollution problems do occur, responsible parties should act quickly to resolve them. To do so, building owners and operators must ensure that the appropriate employees are well informed on the issue, and have the knowledge and authority to respond to complaints. Legal assistance may be sought in handling owner/occupant relations while responding to a complaint, so that appropriate steps can be taken to protect against liability. Lawsuits involving SBS show no signs of becoming a passing trend. As IAQ issues become better understood, and the public's awareness grows, this type of litigation will only increase. Building owners and managers must therefore become well versed in these issues and take appropriate measures to provide safe indoor environments to avoid liability. Legislation Federal legislation on IAQ issues is driven in part by the increasing attention that IAQ has attracted from journalists as well as scientists and engineers. All too frequently, the U.S. Congress has dealt with the IAQ issue on a chemical-by-chemical basis, using a pollutant-specific approach. The U.S. Environmental Protection Agency (EPA) has increased efforts to address the IAQ problem through a building systems approach. The EPA Office of Research and Development is conducting a multi-disciplinary IAQ research program that encompasses studies of the health effects associated with indoor air pollution exposure, assessments of indoor air pollution sources and control techniques, building studies and investigation methods, risk assessments of indoor air pollutants, and a recently initiated program on biological contaminants. Nevertheless, the pollutant-specific approach remains the primary focus of the EPA as evidenced by the statutory requirements of the asbestos abatement requirements. Meanwhile, after seven years of lobbying, the House Committee on Energy and Commerce has passed its first indoor air bill (HR 2919), known as the U.S. Indoor Air Act of 1994, which was sponsored by Representative Joseph P. Kennedy II (D-Mass). The bill removes many of the mandates that the EPA would have been authorized to enforce, but it also, specifically, directs EPA to: Issue voluntary guidelines to identify, reduce and prevent common, significant, indoor air health risks Establish a voluntary program to certify contractors regularly engaged in identifying common, significant indoor health risks Publish health advisories Conduct indoor air studies Issue grants to support state and local programs The bill has been endorsed by the Clinton Administration and is intended to protect the public from common, significant, indoor air health risks through public education efforts designed to promote voluntary actions. It does not give EPA regulatory authority over indoor air. Standards and Guidelines Air quality standards serve as a basis for regulating the permissible amounts of specific pollutants in the air. There are a number of occupational standards that define permissible short or long term exposure limits for some substances that occur in the indoor air of offices and other non-industrial workplaces. For example, four primary groups in the United States are involved in defining these occupational standards include: Occupational Safety and Health Administration (OSHA) American Conference of Governmental Industrial Hygienists (ACGIH) Environmental Protection Agency (EPA) American Society of Heating, Refrigerating and Air Conditioning Engineers (ASHRAE)
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Typically when such agencies develop occupational standards, several assumptions, which are not typically representable to health care, are made including: Usually the target groups are presumed to be healthy adults; Exposure is limited to eight hours duration over a 40-hour work week; Exposure is voluntary as a function of the chosen occupation; and The limits of exposure are usually a compromise between technical capability and economic feasibility. In 1989, the American Society of Heating, Refrigerating, and Air Conditioning Engineers (ASHRAE) responded to this newly recognized threat to public health by issuing Standard 62-1989, "Ventilation for Acceptable Indoor Air Quality," which sets minimum recommended levels of outside air flow based on the number of occupants in a given amount of space in a building. This guideline, which is currently under review, is a good start, and should be adhered to when designing new buildings or renovating old ones. Ventilation is only one facet of the problem, however. Indoor air pollutants should not only be diluted, but should be controlled, minimized, and eradicated where possible. Contaminants emanate from many sources, namely the synthetic substances used to manufacture building materials, high-tech equipment, and office furnishings, most of which support biological growth under typical indoor ambient conditions and which give off volatile organic compounds (VOCs) in varying degrees. The U.S. EPA and U.S. Congress, among other government agencies, are in the process of formulating a uniform body of laws and regulations to address the dangers of these by-products of modern buildings. In the meantime, occupants of office buildings with poor air quality have already begun to demand remediation measures. Some have proceeded to sue property owners and managers, and every other possible participant in the design, construction, material specification, and maintenance of the buildings, when their grievances are not satisfactorily addressed. Again, generally these lawsuits proceed based on negligence and strict liability. A serious problem with indoor air standard is the complexity of substances covered and the possibility of interactions between substances that can be antagonistic or synergistic in nature. Thus, many researchers prefer the use of guidelines rather than standards. These are less binding and less onerous to adopt than standards and therefore are more likely to gain more widespread acceptance. Before suggesting future guidelines, we can review the current status of existing air quality standards. Public Health Standards Standards are set by several agencies including the EPA National Ambient Air Quality Standards (NAAQS). These standards have been established by the EPA under authority of the Clean Air Act and cover outdoor ambient levels. NAAQS are divided into primary and secondary standards. The primary standards are designed to protect the public health with an adequate margin of safety. Levels are set to protect even sensitive individuals such as asthmatics. No technological limits or economic considerations were allowed to impact the chosen values. The standards were designed to protect against short-term exposures (e.g., one hour) and long-term health effects. The secondary standards were designed to protect the public welfare. These consider comfort factors and protection of crops, animals and property. The NAAQS standards define limits of pollutant concentrations that must not be exceeded. They include carbon monoxide, sulfur dioxide, suspended particulates (PM-10), nitrogen dioxide, ozone, dioxins, and lead. The World Health Organization (WHO) published in 1984 air quality guidelines for 28 substances found in the indoor and outdoor air. These guidelines were proposed to aid European governments in making risk assessment decisions in controlling both indoor and outdoor pollutants. Health affects were the controlling factor in reaching these limits and all classes of the general public, including those with pre-existing conditions such as asthmatics, were considered. As is the case with the NAAQS, both short and long-term exposures were addressed. The occupational standards of OSHA and ACGIH list between 500 and 600 substances. Regulating bodies in other countries also typically have formulated long lists of standards. Some organizations such as ASHRAE, in the absence of other defined limits, recommend reducing the occupational standards by a factor of ten as a safety margin for use with the general public in non-industrial indoor air applications. OHSA Proposed Rule The Occupational Safety and Health Administration (OSHA) recently issued a comprehensive IAQ proposal that could affect as many as 6 million workplaces in the United States. The proposal would establish standards for the nation's "non-industrial work environments" and would ban smoking in buildings or establish separate, enclosed smoking rooms that are exhausted directly to the outside. OSHA defines the term "non-industrial work environment" to mean an indoor or enclosed work space such as, but not limited to offices, educational facilities, commercial establishments and health care facilities. The proposed regulations were published in the April 5, 1994 Federal Register (59 FR 16968), and would require employers to develop a written IAQ plan and implement that plan through a series of documented actions. The proposed OSHA regulations have four basic categories of requirements: 1. Compliance planning. This requires each employer to assemble basic information about their building, including a description of the facility, schematics of major building systems, operating procedures, information on occupant work activities, a written maintenance program with verification of building systems preventive maintenance and a designated employee to implement the plan. 2. Maintenance. It will be necessary to meet the original design specifications. Also, building ventilation requirements will increase, relative humidity must be below 60 percent in occupied spaces, and carbon dioxide must be below 800 parts per million. 3. Remediation. This requires that employees assist in control of contaminants and follow isolation procedures during construction work. Employers will be required to respond to employee complaints and take action to mitigate the problem.
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4. Recordkeeping and notices. Employers will be required to make written compliance plans and all records readily available for inspection and to provide ongoing notice to employees regarding any contaminants in the workplace. Many heating, ventilating and air conditioning (HVAC) designers view ASHRAE Standard 62-1989 as the minimum ventilation standard to meet, regardless of local codes. In fact, most building codes nationally have adopted the standard to one extent or another. The purpose of ASHRAE Standard 62-1989 is to specify minimum ventilation rates and define acceptable IAQ to avoid adverse health effects. The standard attempts to do this by presenting two alternative procedures for providing acceptable IAQ. The ultimate responsibility for interpretation and compliance, however, rests with the individual design professional. Section 6.1 of ASHRAE 62-1989 helps the designer by presenting a prescriptive method for achieving acceptable IAQ. It is very concise and complete for some design issues, but unclear on others. This method is generally called the ventilation rate procedure, and overall it provides a relatively well-defined procedure for designing ventilation systems that deliver acceptable IAQ by diluting contaminants with outdoor air. Section 6.2 of ASHRAE 62-1989 attempts to impart a method for direct control of IAQ. Unfortunately, it presents only a short list of acceptable contaminant levels, includes a post-design evaluation for odors and seems to require ongoing building system vigilance on the part of the designer after the building is designed and operating. This method is generally called the IAQ procedure, but is not likely to be utilized since it fails to provide a well-defined, enforceable path to compliance. Although there are many legislative and regulatory requirements that may impact IAQ issues, facility owners and operators should, at a minimum, be familiar with the Indoor Air Act of 1994, OSHA's IAQ Proposed Rule, and ASHRAE Standard 62-1989. Sources of IAQ Problems To correctly diagnose an IAQ problem, one must be able to identify (hypothesize) potential sources. Doing so requires an understanding of the source or origin of the employees' complaints. There is no greater error than to disregard any source of information during the initial identification phase of an IAQ evaluation. In short, do not jump to assumptions and conclusions when trying to resolve an IAQ issue, as this will exacerbate the employees' concerns, especially if there is no resolution to their satisfaction. To prevent this negative reaction, let's review how to conduct an effective assessment. To better understand this multifaceted concept, the significant categories of sources can be characterized as building generated, management generated, employee generated, and outside (information) generated. Indoor airborne pollutants can originate within the building or be drawn in from outdoors. When determining the source of an IAQ problem, the IAQ investigator should first determine if the problem is related to normal building operating conditions or if complaints are arising from recent or on going renovation/construction activities. Once the determination has been made, the investigator needs to consider the likely origins of the problem within he building system. Sources can arise from within an occupied space, from within the HVAC system, or outside the system. As previously mentioned, identifying potential causes of the IAQ problem within the source categories is the key. The first source category, building generated, is the one from which most causes have their origin. Building systems that generate IAQ problems include heating, ventilation and air-conditioning (HVAC), plumbing, electrical, building construction materials, maintenance, and equipment The building-generated category is very large and diverse and, as such, possesses the greatest potential for specific sources. The management-generated category is perhaps one of the most easily identified but the most unaccepted as it addresses deficiencies in key individuals and the organization itself. Included in this group are typically lack of fulfillment of job responsibilities, lack of recognition, lack of understanding, cost, occupancy rate, insufficient training, and insufficient building maintenance. The next phase is to identify the current status of all building components, as discussed in the section about building-generated sources. It is important to note that these answers will identify the components of building systems that have been shown to impact IAQ. Although all systems must be investigated, HVAC system(s) are the most important cause they are the major cause of IAQ problems. This is particularly true in a hospital where: multiple areas may be on one system additions and ongoing renovations are always occurring health hazards occur in adjacent areas continuous operations take place The following installation, operations, and maintenance listing is of typical deficiencies or issues associated with HVAC system design: Not designed for current use Installation does not meet specification Commissioning not performed according to ASHRAE Renovation requires redesign Operation and maintenance Effectiveness of air mixing and distribution (i.e., balancing) Velocity to heat exchanger ratio Entrainment of package unit combustion gases Constant volume systems Variable air volume systems Building stack effect and effect on building pressures Pressurization Filtration Outdoor air intake placement Percent outdoor air, return air, relief air Operations emergency management system Humidification source Preventive maintenance Not properly balanced Temperature regulation inadequate Air changes per hour-too high/low
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Other building system issues include: Plumbing where deficiencies such as empty drain traps due to insufficient pipe venting, vent pipes separation at joints, or Legionella in hot water systems, cooling towers. Ruptured lighting ballasts containing PCBs. Building materials such as carpets, paints, and furniture that off-gas and sealants. Maintenance or housekeeping items such as cleaners, vacuuming, and pesticide or fertilizer usage. Special building activities and equipment associated with the potential for chemical ambient releases or spills laboratories, radiology, central sterile, pathology/autopsy, and loading docks. Although management-generated sources are seldom the only cause of a problem, they clearly will cause an amplification of the problem and thereby make the problem worse than it really is. Understanding and accepting management deficiencies must be addressed first so that the credibility of those addressing the IAQ problem is maintained by the complainant(s). Employee-generated sources are perhaps the most difficult to address because understanding people and their reasoning is difficult. The sources include: Illness: IAQ and non-IAQ related Lack of understanding of IAQ Insufficient training on job responsibilities Mass psychogenic hysteria Illness clusters Personal comfort issues Labor issues Personality conflicts Experience has shown that providing well documented and factual information from authoritative sources will assist in resolving the majority of employeegenerated problems. In addition, allowing employees to be part of the solution process is extremely beneficial. In short, this means listening to (and hearing) their perceptions of the problem. Outside information or misinformation sources such as media, doctors, legal/workers' compensation, co-workers, and family are often readily accepted by employees as a primer for problems. Occupied Space IAQ problems from within the occupied space often stem from the effects of overcrowding. Overcrowding occurs when noise, heat, or lack of usable space causes discomfort and disrupts work. In many offices, ventilation rates are set to supply outside air at the energy-efficient levels of 5 CFM per occupant. Another typical feature of energy efficient operations is that HVAC systems are shut down by minimum and maximum temperature overrides during unoccupied hours. In addition to the rise in the number of occupants, the amount of office equipment has grown over the years to include a large number of computers, laser printers, and copiers. Furnishings, including such items as carpeting, adhesives, paint, partitions, and furniture, also can contribute pollutants, as can uncontrolled housekeeping and maintenance activities. People represent the first significant source of contamination. Each person sheds literally millions of particles, primarily skin scales and bacteria over the course of a working day. The normal human activities of respiration and perspiration also produce contaminants, including carbon dioxide and several VOCs. The cosmetics that people use, particularly deodorants and perfumes, are a source of VOCs. Occupant work habits also contribute to indoor airborne pollution. For example, papers left stacked collect dust and provide a home for biological activity. When moved, or knocked over, they can contribute added dust and biological contamination to the indoor air. Inks and glues emit VOCs, and laser printers and copiers are known to emit heat and ozone when in use. The use and the improper storage of cleaning materials (i.e., not properly vented) are sources of indoor airborne pollution. In addition to regular housekeeping activities, maintenance activities, such as the use of paint, caulk, adhesive and lubricants, all emit various VOCs into the indoor air. Even the most minor construction or maintenance project (such as lifting ceiling files) will typically release dusts, airborne particulates, and potentially molds and biologicals. Also, applications of pesticides introduce known toxins into the indoor environment. Furnishings and decor items release fibers as well as VOCs. VOC emissions from furnishings are generally highest when the item is new, and tend to decline with age. Emissions from VOCs should, therefore, especially be considered during and directly after renovation/construction activities. Renovation/construction activities can also add dust, fibers, and biological contamination from demolition. Mechanically ventilated buildings are subject to infiltration of various kinds. Soil gas or sewer gas from an unvented line or dry drainage trap can be released into occupied areas. Roof or window leaks, plumbing problems, or over-humidification can lead to moisture build-up in occupied areas. Such damp conditions support biological contaminant proliferation. Indoor Contaminants The presence of indoor contaminants, though normally brought into the occupied space from outdoors, is most significant when there is a greater concentration indoors than outdoors, that is, when they are amplified. Microbial amplification is the most common example of this problem. Ubiquitous fungi, primarily associated with soil and vegetation, commonly enter a building through assorted routes. Individuals carry them on their clothing and on materials brought into the facility. If the indoor relative humidity is permitted to rise above 60 percent, for 8 to 12 hours per day, the microbial contaminants begin normal metabolism, resulting in reproduction and a substantial increase. Unfortunately, many of these organisms are allergenic and in some instances toxigenic, opportunistic or even infectious (Scarry, 1994). Since, in January of 1992, the EPA established secondhand tobacco smoke as carcinogenic, the media has paid considerable attention to the complaints of tobacco smoke contributing to poor IAQ. Environmental tobacco smoke has become the center of legislative agenda in many states. Responding to concerns about secondhand smoke and its effect on children and infants, a number of states have banned or are considering a ban on smoking in all public buildings. Until the legislative activity of
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the past few years, few employers were willing to ban smoking in the workplace for fear of employee complaints by the smoking minority. However, since 1993, the Joint Commission on Accreditation of Healthcare Organizations (JCAHO) has mandated accredited health care facilities to ban smoking in the workplace. This requirement has clearly improved the IAQ of their facility by eliminating the indoor contamination caused by tobacco smoke. Chemical compounds and consituents due to activities and processes will be specifically addressed later in this paper. Ambient (Outdoor) Environment Contaminants IAQ is, in part, a function of outdoor air quality. The air outside (ambient air) that is brought into a building may be polluted. Many major cities in the U.S. are "non-attainment" areas in which pollution levels for certain air contaminants exceed federal standards. Most of the recommended actions for improving IAQ depend on increasing the amount of ambient air drawn into the facility. However, the quality of the outside air must be viewed as a potential contributing factor to poor IAQ. Building design can cause problems with the air that is available for use in a building. Although outdoor air is generally considered ideal for diluting recirculated indoor air, once it is filtered and conditioned, there are times when the outdoor air itself is the cause for poor IAQ. The location of outdoor air intakes is critical. The outdoor intakes may be located too near a source of pollution, such as a major roadway, or even the building's loading dock. Poorly located air intakes can draw contaminants from the exhaust of the same or another air handling unit, resulting in a short circuit of the system. Even when outdoor air intakes are installed as required by code, dangerous odors and fumes may be pulled into the building when pesticides or insecticides are inadvertently used near intakes, when vehicles are parked near intakes with the engines running, when helicopters land and take off near the facility, or when smoke is drawn in from a fire nearby. Air intakes can be placed too close to building exhaust vents or, even worse, located adjacent to cooling towers, which can introduce not only moisture but biological contaminants, such as Legionella, or chemical contaminants. Intakes too close to ground level will draw in greater amounts of harmful bacteria and fungi, along with debris such as leaves, bird feathers and droppings, and other harmful microorganisms. Placing intakes near these sources may be architecturally pleasing or reduce initial capital costs, but the problems posed by introducing contaminants into the outside air far outweigh the initial savings. Consideration must be given to adjacent structures and prevailing winds when assessing the contribution of outdoor contaminants on IAQ. Ambient environmental conditions such as physical structure surrounds can also cause the adverse phenomenon of re-entranment. Microbial Contamination With over 2,000 recognized airborne pathogens, viruses, bacteria, fungi and mildew, the assessment, identification and remediation of airborne microbial contamination becomes a difficult challenge. Visible observation of microbial growth in the form of fungi, mildew and dust accumulation are sure indicators of the potential presence of additional sub-micron size pathogens such as bacteria and viruses. Microbial contaminants can cause infections and various allergic reactions. Bacteria and fungi propagated within the air conditioning systems can be particularly aggressive to patients with immunocompromised systems. Allergic respiratory diseases are typically caused by hypersensitivity response to inhaled particles containing viable microorganisms. Buildings in geographic areas with climates that have extended periods of elevated humidity (60 percent or more) are more likely to have elevated indoor humidities and thus a greater potential for microbial populations. Construction and Furnishings The use of synthetics in construction materials has created a major impact on IAQ in new buildings. Polymers in construction components act as glues, binders and soiling retardants. This brought us formaldehyde (HCHO), which is a ubiquitous component of furniture, fabric, particle board and astic surfaces. These contaminants emerge by "outgassing" or more common "off-gassing" during changes in temperature, humidity and air flow. The high-density, "high-tech" office has a great deal of fabric and fiberboard in the workstations, with ozone, VOCs and submicron respirable particles from printer toner and the office equipment. In addition, the use of carpet is now widespread, even in hospitals, where hard surfaces previously prevailed. The various contaminants in construction materials and furnishings can trigger multiple chemical sensitivity (MCS) in those occupants who may be susceptible. It is important to note that the only mechanism for addressing these kinds of problems is provision of factual/training information to employees. Always expand your investigative approach to include all source categories because both cause and effect are always multifactorial in IAQ. Heating, Ventilating and Air Conditioning (Hvac) Systems Typically, ventilation rates for offices were set to supply outside air at a minimum ventilation rate of 5 CFM per person in an effort to conserve energy. Systems were scheduled to shut down with minimum and maximum temperature overrides during normal occupied hours. These relatively low ventilation rates combined with the build-up of all internally generated pollutants are the most significant causes affecting IAQ. This was recognized by ASHRAE when it revised its ventilation standard in 1989 from a minimum ventilation rate of 5 CFM per person to 20 CFM per person for general office activity. Without adequate ventilation, indoor airbome contaminants will continually recirculate within a building with the heavier dust materials and biologicals settling into the duct linings and onto the mechanical equipment and other interior HVAC surface materials, only to be released back into the occupied areas and/or become amplification sites for the biologicals. However, increased ventilation rates alone is only part of the ventilation concern. Faulty maintenance can lead to dirty ducts and filters, and accumulated, untreated water in condensate pans cause the growth of molds and other contaminants, which become airborne and enter occupied spaces. Even in well-maintained systems, poorly assembled ductwork can leak and allow unfiltered air into the building or create condensation in supply air ducts, inviting the growth of mold and mildew.
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Indications of inadequate ventilation are: carbon dioxide readings greater than 1,000 ppm; still, non-moving air; closed outside air dampers; air systems in automatic off position when temperatures are satisfied; clogged filters; insufficient or non-existent return and/or exhaust systems; improperly balanced supply and/or return systems; and blocked diffusers of return air pathways. The use of inefficient filters and poor system hygiene are also significant causes affecting IAQ. Inefficient filters allow dust particles to be carded into the HVAC system where they are deposited and accumulate until they are later dislodged into the airstream by variations in airflow or vibrations in the system. Poor system hygiene is especially a problem in areas of the HVAC system where dust (a biological food source) and water is present, such as air handling units, cooling coils, insulation materials, ductwork, condensate drain pan areas, and humidifier reservoirs. These areas must be maintained and kept scrupulously clean to prevent biological contamination. The following are examples of poor HVAC system hygiene: torn and shredding insulation poorly draining condensate pans/trays rusting of internal surfaces mold contamination on internal surfaces improperly maintained or broken dampers, or linkages dirty humidifier reservoirs or cooling towers fans and blowers wired incorrectly materials stored within air handling equipment Internally lined ducts present a problem if the fibrous materials from the linings are damaged or worn and fibers are released into the supply air. If moisture accumulates in or on the duct lining the duct can also become contaminated with biological contaminants such as certain species of fungi. If the fungus is allowed to thrive, it will release spores into the air stream, which can be a source of irritation or even infection to exposed persons. For air handling systems located in or near major mechanical rooms, where boilers and chillers are located, special care should be taken to guard against infiltration. Intake and return ducts represent zones of negative pressure. Combustion by-products leaking from a boiler stack, chemicals used in maintenance and repair, or odors from standing water or plumbing work may all become mixed into the airflow if there are leaking ducts. Worse still, it is not unusual to see an airhandling unit left open that is drawing air from a mechanical room where a wide range of contaminants are used and stored. Because ventilation with outdoor air provides dilution of recirculated indoor air, it also should prevent accumulation of excessive levels of carbon dioxide exhaled by building occupants. Without dilution by outdoor air, an occupied space will see a dramatic increase in carbon dioxide, starting at normal outdoor air levels in the morning and peaking near the end of the business day. The idea of "dilution ventilation" or purging contaminated air with outdoor air by designing a specific number of air changes per hour (ACH), is recommended by the Centers for Disease Control and Prevention (CDC) for the prevention and control of tuberculosis (59 FR 54242). An area of concern regarding proper ventilation rates has to do with variable air volume (VAV) systems. When working as designed, the majority of VAV systems installed do not maintain a constant volume of outdoor air. Instead, outdoor air volumes decrease dramatically when the systems throttle back to minimum flow conditions, while building exhaust systems continue to exhaust at a constant volume. While VAV systems may perform well when air balanced at design maximum conditions, entire buildings can become negative with respect to outdoor air when at minimum air flows. The resulting infiltration of unfiltered, unconditioned air may have significant impact on IAQ. Unfortunately, ASHRAE Standard 62-1989 fails to take VAV systems into account when determining minimum airflow requirements. Variable air volume (VAV) systems are also known to cause IAQ problems. VAV dampers that close completely cause air circulation and ventilation to be cutoff in an area when thermal requirements for that area are met. VAVs are also known to result in thermal discomfort. VAV systems that serve both perimeter and interior spaces with the thermostat located in the perimeter office responding to solar load may cause interior occupants to complain that it is too cold. Similarly, it is common for the perimeter occupants to complain that it is too warm when the thermostat is located in the return air plenum. Improper system balancing and poor placement of diffusers can also cause thermal discomfort. Inadequate ventilation tops the list of IAQ complaints. However, if the building's ventilation system begins to provide the means for amplification of contaminants, regardless of the contaminant type, the building is well on its way to having poor IAQ and becoming associated with SBS. Proper ventilation, using air that will not negatively affect IAQ, is essential for successful management. All of these contamination problems can be compounded by ventilation practices that involve frequent starting and stopping of fan systems. Upon every start and stop procedure a fan unit has the capabilities of emitting contaminants that have settled in ducts and on other surfaces each time the unit restarts. Further, IAQ problems can easily surface during modifications to HVAC systems. HVAC system repairs and modifications often require disruption of existing fans, coils, dampers, ducts, or piping. Work may also require that the fan system be shut down and restarted. Again, these activities aggravate existing conditions in HVAC systems and can be an additional cause of IAQ problems. Air-handling equipment that is controlled by a thermostat, allowing the unit to cycle off and on, will have the same effect. This is typical in light commercial applications that use residential heat pump equipment in lieu of commercial-grade equipment. Equipment or controls that are wired incorrectly can create IAQ problems. In some cases, investigators have found exhaust fans that are wired backwards. It is also not uncommon to find loose fan belts, broken fan belts and unattached ductwork which will cause decreased air flow. It, therefore, becomes evident that HVAC systems play an integral role in the quality of air indoors, and understanding their operation is of paramount importance to maintaining a healthy
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indoor environment. With this in mind, the next section highlights the key components of HVAC systems and how IAQ can be affected. Components of Hvac Systems Affecting Indoor Air Quality From an air quality standpoint, all occupied buildings require a supply of outdoor air to dilute internally generated pollutants. Depending on outdoor conditions, the air may need to be heated or cooled before it is distributed into the occupied space. As outdoor air is drawn into the building, indoor air is exhausted or allowed to escape, thus removing air contaminants. Heating, ventilating and air-conditioning (HVAC) systems were introduced into buildings in order to provide occupants with a comfortable indoor environment (as temporal seasons change), as well as to remove contaminants generated within the building. Not all HVAC systems are designed to accomplish all of these functions. Some buildings rely only on natural ventilation. Others lack mechanical cooling equipment, and many function with little or no humidity control. Commercial, especially healthcare, HVAC systems include a wide degree of diversity-the HVAC system for a twenty story office building is completely different from tertiary-care facility system. The comfort requirements of the occupants is just one of several criteria that must be recognized in the analysis of commercial HVAC systems. Additional criteria include: occupant control of individual HVAC equipment installation cost operating cost advanced building environmental controls Although HVAC systems must be installed by code to maintain the minimum heating requirements of the occupants, commercial building owners recognize the importance of HVAC system controls as a selling feature of the building. In the competitive office building market, individual control of individual packaged HVAC systems installed beneath the windows at the building perimeter, normally used for individually partitioned executive offices, is one facet that can be provided to office building occupants. The ability of an HVAC system to offer these "value added" features provides an owner with a building that is an enhanced investment. In many commercial buildings, low installation cost is also an important criterion. Since commercial buildings are built to house one or more businesses, reduced initial cost is part of the entire investment strategy. The use of low efficiency residential-type air filters in commercial class buildings is an example. This reduces the installation cost, but can contribute to contaminant levels in the HVAC system along with compromising the comfort of the occupants. Operating costs for commercial buildings are a driving design criterion. Since most large healthcare buildings are managed by a team of trained individuals as a business investment, lowering the operating costs increases the profit margin. The HVAC system is a major component of the overall utility cost paid by the building management team, which dictates how internal temperature conditions are maintained. For example, most office building leases provide for certain temperature conditions that will be maintained for the leased occupant areas, during normal working hours. When the occupants want to work at night or on weekends, the HVAC system may not provide these same temperature conditions, in an effort to reduce the cost of operation. An alternative is to design the HVAC system so that it is installed on a floor by floor basis- the occupants can then be billed separately for their actual after-hours usage. A final criteria that is taken into account is the complexity and sophistication of the modem equipment and controls. The personal computer revolution has impacted HVAC controls to the extent that many commercial building operators must rely on outside experts to provide competent installation, servicing, and equipment monitoring. Sensors linked to electronic transmitters can send data to building control software which can operate on contemporary personal computers. Use of electronic controls or direct digital controls (DDC) for operating individual HVAC components such as dampers and valves continues to evolve. For example, the benefits of DDC include the ability to better maintain individual occupant temperatures, relative humidity levels and detection of IAQ contaminants (VOC sensors). DDC has also helped popularize daylight harvesting by adjusting lighting intensity on sunny days and by providing occupancy sensitive lighting. Understanding how HVAC systems operate will provide a basis for understanding their critical impact on IAQ. In order to understand how HVAC systems operate, the individual components that comprise the HVAC systems must be understood. This section reviews the basic individual components which are included in many typical commercial HVAC systems. The description of each component includes the purpose of the component along with an explanation of how these components work in combination to provide for the comfort levels of the occupants. Outdoor Air Intake The purpose of the outside air intake is to allow controlled volumes of outdoor air to be introduced into the airhandling system. The most widely accepted intake rate is prescribed in ASHRAE Standard 62-1989 which calls for a minimum air ventilation rate of 20 CFM of outside air per person for office areas. Frequently buildings are designed to operate with far more than the minimum rate, indeed, during periods of mild weather many buildings switch to one hundred percent outdoor air to take advantage of "free cooling." The practice of selectively boosting outdoor intake rates based on mixes of outdoor and return air to achieve maximum energy efficiency is termed an air-side economizer cycle. Outside air intakes must be carefully positioned with regard to prevailing wind directions and wind patterns caused by adjacent structures and the proposed location of exhaust vents from the building. Frequently air intakes are found adjacent to toilet and kitchen exhausts, restaurant and other trash dumpsters, cooling tower spray drifts, toxic gas vents from hospital sterilizing rooms and laboratories, in underground parking garages and at busy street levels. Outside air intakes should be designed to minimize the entry of snow and rainwater and should be sloped to the outside to allow any water that does enter to completely drain away. The intakes should also be louvered or wired or protected in some other way
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to prevent the entry of birds, large insects, small animals and wind blown debris. Air Filters The purpose of air filters is to extract particles and/or gases (if installed) from the mixed airstream. Filter media can be porous materials, electronic devices or solid chemical granules. In the case of particulate filters, efficiencies should always be verified in accordance with the ASHRAE Dust Spot Efficiency Method, described in Standard 52-1976. A minimum of 30 percent but preferably 60 percent efficient filters are recommended for use in commercial office buildings while 95%, 99%, and even 99.97% HEPA filers are required for specific critical care and treatment areas of health care facilities. The three basic types of air filtration include mechanical, electronic, and gas absorption filters. Air filters with anti-microbial protection are now available in the commercial market. However regular inspection and replacement is still an important necessity. Heating Coils The primary purpose of heating and reheat coils is to promote occupant comfort by raising the dry bulb temperature of the airstream. The heat output from a heating coil will depend on the coil size, the inlet and outlet temperatures, the fluid flow rate (or electric resistance), and the airflow rate past the coil. Problems can occur if the heating coil has been set too low in an attempt to reduce energy consumption. Outside air ventilation will either have to be sacrificed to maintain comfortable temperatures or thermal comfort will be sacrificed to maintain sufficient ventilation. Hot water and steam coils should include temperature readers on both inlet and outlet sides to verify the entering and leaving temperatures, as this will allow the operator to quickly determine whether the coil is providing the necessary amount of heating to the airstream. Cooling Coils and Condensate Pans Cooling and dehumidifying the airstream is the function of a cooling coil. Dehumidification can only take place if the chilled fluid is maintained at a cold enough temperature. Chilled water coils should include mercury thermometers on both inlet and outlet sides to verity the entering and leaving temperatures, as this will allow the operator to quickly determine whether the coil is providing the necessary amount of cooling of the airstream. Coatings to reduce build up on coils between regular cleanings are available. A condensate pan is designed to capture and drain away condensed moisture that falls from the overhead cooling coil. Standing water will accumulate if the drain pan system has not been designed to drain completely under all operating conditions (sloped toward the drain and properly trapped). Under these conditions, molds and bacteria will proliferate unless the pan is cleaned frequently. Pan coatings are also available to reduce biofilm attachment in between inspections and cleanings. Supply Air Fan A supply air fan is an air moving device consisting of a wheel or blade, and housing or orifice plate that increases the static pressure of the conditioned - air and propel the air into the supply ductwork. Fan laws have identified the relationship between fan shaft RPM, fan CFM, static pressure and brake horsepower. Squirrel cage fans with integral motors are common in residential and packaged terminal air conditioning units. Centrifugal, axial, tubaxial, and vane-axial fans are available for commercial HVAC systems. Each type of fan has advantages and disadvantages which must be considered in the initial design. The Air Moving and Conditioning Association (AMCA) has produced several high quality technical publications on fan selection and installation. Humidifiers Humidifiers increase the moisture content of the conditioned airflow in order to achieve an elevated relative humidity level in the occupied area. Cold, dry outside air in winter months needs to have warm moisture added to increase the relative humidity level for respiratory comfort as well as patient therapeutic purposes. Humidifiers are used to increase the relative humidity level to the ASHRAE recommended level of 30 percent. For commercial buildings, steam humidifiers using a potable water source provide the best method of safely adding moisture to the supply air, since condensed steam will not contribute to the level of microbiological agents in the air assuming the rest of the system is free from dirt and dust. Residential humidifiers range from potable cold mist ultrasonic models, to duct mounted spray systems. All humidifiers require frequent inspection and cleaning, and should be part of an on-going preventive maintenance (PM) program. Supply Air Duct System Distribution of the conditioned air from a supply fan through a continuously connected passageway to a multitude of occupied areas is the purpose of the supply air ducts. Galvanized sheet metal is typically used for the primary supply air duct systems in most large commercial buildings, due to structural integrity, first cost, ease of fabrication, easy to clean surface, and material longevity. Rigid fibrous glass duct board is common in many smaller commercial, retail, and residential applications. Flexible fibrous glass ducts are typically used to connect rigid supply ducts to the air registers and diffusers. The Sheet Metal and Air Conditioning Contractors National Association is the recognized authority for technical standards and design manuals for all types of air duct systems. There is widespread agreement that building owners and managers should take precautions to prevent dirt, high humidity, or moisture from entering ductwork-there is less agreement at present about when measures to clean ductwork are necessary or how to effectively clean ductwork systems. The North American Duct Cleaners Association (NADCA) has developed standards and guidelines for the cleaning of ducts. Supply Air Terminal Equipment The presence of dust in ductwork does not necessarily indicate a problem-some dust is inherent to all ductwork systems. Problems with dust and other contamination in the ductwork are a function of filtration efficiency, regular HVAC system maintenance, the rate of airflow, and good housekeeping practices in the occupied space. Ductwork contamination can therefore be minimized by paying special attention to these areas. In most cases, the decision of whether or not to clean ductwork systems is left up to building management. Usually
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the decision will be based on the level of contamination in the system and the soiling that is occurring on interior furnishings from this contamination. Effective distribution of the conditioned supply air to the building occupants is the intent of this equipment. This includes powered terminal units and ceiling mounted registers and diffusers. Supply air ductwork from the main supply air fan spreads out like the limbs and branches of a large tree to multiple terminal units. Currently, variable air volume (VAV) boxes are the most commonly installed terminal equipment. VAV boxes contain dampers that modulate the amount of conditioned supply air delivered downstream, in response to a controlling thermostat. Typically, the VAV dampers will decrease the volume of supply air when the temperature in the occupied area is below the thermostat set point. When the temperature increases in the occupied area (due to the addition of people, lights, equipment operation, or thermal transfer from the outside) the VAV dampers open to allow an increase in the amount of cool supply air. The addition of electric or hot water coils for heating the supply air is typically for those VAV boxes that supply air to the perimeter areas of the building. This permits heated air to be delivered to those specific areas that need to be warmed. Flexible round ductwork usually is installed to convey the conditioned air from the terminal units to the ceiling mounted registers and diffusers. Registers can be round or square and contain an internal damper that can be operated to regulate the volume of air delivered to the occupied area. Diffusers can be circular, square, or rectangular and can be installed in long continuous ''strips.'' Diffusers have integral deflecting vanes that are arranged to promote the optimal air mixing. Since diffusers and registers are the visible components that are seen by the occupants, these are the evident links between the occupants and the HVAC system. With this in mind, the supply air registers must be kept clean and periodically inspected. These components are prone to condensation problems and air stratification can cause dirt buildup. This is not only unsightly, but has been shown that microbiological contamination can take a foothold on registers and diffusers and even grow back into the HVAC system (during system shut-down). Return Air Fan and System An air conveyance system is needed for the removal of "used" air from the occupied areas and its transport to the mixing plenum. Most commercial and retail buildings do not use return air ducts directly above the suspended ceiling, but instead allow the air to flow into the ceiling return air plenum-the empty space between the supported architectural ceiling tiles and the underside of the upper concrete slab. Return air flows from this return air ceiling plenum to centrally located vertical return air shafts. A return air fan induces the return airflow from the airshafts into a ducted return air system. Return air fans can be centrifugal, tubeaxial, or vaneaxial design and are always smaller in airflow capacity than the supply air fans. The reason for the smaller capacity of return air fans is to maintain the building in state of positive static pressure. Large supply air systems that have an air side "economizes' to draw outside air into the building to cool the heat that is internally generated, require an exhaust air fan, damper and grille. When in the economizer mode, the exhaust fan is energized after the exhaust dampers are opened to allow building air to be expelled. Exhaust dampers can also be used to modulate the airflow to maintain the building at a slightly positive static air pressure. Exhaust fans can be propeller or centrifugal, depending on the quantity of air exhausted from the building. Building relief fans are typically installed in larger buildings with varying exhaust requirements, to maintain the building in a state of positive air pressure. It is important to note that if more air is exhausted than is introduced through the outdoor air intake then outdoor air will enter the building at any leakage sites in the shell. IAQ problems can occur if the leakage site is a door to a loading dock, parking garage, or some other area associated with pollutants. Exhaust Fans The purpose of an exhaust fan is to propel a specific volume of building air to the outside. Fans used to achieve this function can be axial, propeller, or centrifugal, depending on the amount of air that is necessary to be exhausted and the static pressure that has to be overcome. For example, in commercial buildings, toilet areas are required by mechanical building codes to be exhausted at a rate of 0.5 CFM per square foot. Multistory buildings with numerous toilet rooms would thus need to have large volume exhaust fans. Commercial kitchen exhaust fans are also required to expel the odors from cooking and the products of combustion from natural gas range tops. Some codes allow residential kitchen exhaust fans to expel the air back into the kitchen after it passes through a filter. In some cases, fan powered returns have been installed with proper filtration to remove pollutants and clean the air in lieu of a more costly exhaust system. Automatic Temperature Controls Automatic temperature controls consist of an interconnected series of pneumatic, electric, electronic and/or mechanical components which act in sequence in response to changes in pressure, temperature, humidity, air changes, or other variables to, maintain desired comfort conditions. Their primary purpose is to maintain desired thermal conditions by serving as regulating mechanism for the heating and cooling equipment. This can be accomplished via signals provided by compressed air, electric or electronic devices. In a typical small-scale building, the occupant sets the desired indoor temperature, thus creating the "temperature set point". A wall mounted thermostat senses the ambient indoor air dry bulb temperature, compares this to the thermostat set point, and sends a low voltage signal to the furnace (for heating) or the air conditioning compressor (for cooling). Relative humidity and static pressure are usually not control variables sensed by small-scale control systems. In commercial buildings, automatic temperature controls can link all of the key HVAC components to a central microprocessor for data reporting, analysis of conditions, and to
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initiate the desired response signal (i.e., centralized control). This could include sensors for supply air static pressure, outside and inside air temperature, outside relative humidity, return air temperature, fan discharge temperature, air change rates, and airborne chemical gas and vapor concentrations (i.e., carbon dioxide, VOCs, formaldehyde, etc.) In order to determine whether the controls are correctly operating, it is important to properly measure and regulate the flow of all air and water conveyance systems. Testing and balancing has become an essential component of both initial building commissioning and on-going service. To fully explain the many components, their interactive operation, and benefits of a contemporary controls system would require an entirely separate section of this paper. ASHRAE as well as the control manufactures have on-going series of multi-day professional development seminars specifically on this topic. Water Chillers and Cooling Towers The purpose of water chillers and cooling towers is to provide the steady source of cooling for the chilled watercoils. Many of the centrifugal chillers installed in large buildings require a cooling tower located outdoors with connecting condenser water piping, valves and pumps. The cooling tower rejects heat to the atmosphere to maintain the efficient operation of the chiller. Due to the aeration and cooling of the condenser water in the cooling tower, chemical treatment is a necessary maintenance activity to keep down the levels of microbial growth. The water mist that emanates from the top of the cooling tower can be a source of Legionnella bacteria, which can be deadly if it reaches the lungs of susceptible people. To avert this potential problem, the cooling tower should be installed in a location that will minimize the likelihood the exhaust mist will enter the building (via open windows or outside air intakes). In addition, a reputable water treatment company should be contacted to service the tower on a regular basis. Specialized Healthcare Systems In some instances building activities need specialized HVAC systems. For example, operating rooms, procedure rooms, intensive care units (ICU), critical care areas, and isolation rooms require specific design, operation, and control requirements regarding such variables as temperature, relative humidity, static pressures, and air change rates. To meet these needs, special HVAC systems are available that can provide the conditioned air in these rooms. Hospitals require special HVAC systems to mitigate the spread of airborne infections. For example, operating rooms require multiple banks of filters, some use high efficiency particulate air (HEPA) filters rated at a minimum of 99.95 percent efficiency, to capture airborne bacteria and fungi. Operating rooms, isolation rooms, sterilizing rooms, and all laboratories require complete exhausting of all entering supply air. Pressure Relationships Maintaining air appropriate pressure relationships in specific rooms within hospitals requires constant attention to professional air testing and balancing. Supply and exhaust air duct systems need to be periodically inspected to ensure cleanliness. Table 3 in chapter 7 of ASHRAEs Fundamentals Handbook covers ventilation standards for comfort, asepsis, and odor control in areas of acute care hospitals that directly affect patient care. Table 3 does not necessarily reflect the criteria of the American Institute of Architects (AIA) or any other group. Therefore it is important to note that if specific organizational criteria must be met, refer to that organization's literature. Design of healthcare HVAC systems must as much as possible provide air movement from clean to less clean areas. In critical care areas, constant volume systems should be employed to assure proper pressure relationships and ventilation, except in unoccupied rooms. In non-critical patient care areas and staff rooms, variable air volume (VAV) systems may be considered for energy conservation. When using VAV systems within the hospital. special care should be taken to ensure that minimum ventilation rates (as required by codes) are maintained and that pressure relationships between various departments are maintained. With VAV systems, a method such as air volume tracking between supply, return, and exhaust could be used to control pressure relationships. According to ASHRAE, the number of air changes may be reduced to 25% of the indicated value when the room is unoccupied if provisions are made to ensure that: (1) the number of air changes indicated is reestablished whenever the space is occupied and (2) the pressure relationship with the surrounding rooms is maintained when the air changes are reduced. In areas requiring no continuous directional control (±), ventilation systems may be shut down when the space is unoccupied and ventilation is not otherwise needed. And in rooms having hoods, extra air must be supplied for hood exhaust so that the designated pressure relationship is maintained. Please refer to Chapter 13, Laboratory Systems, in the ASHRAE Fundamentals Handbook for further discussion of laboratory ventilation. Smoke Control As the ventilation design is developed or addressed for IAQ, a proper smoke control strategy must be considered. Passive systems rely on fan shutdown, smoke and fire partitions, and operable windows. Proper treatment of duct penetrations must be observed. Active smoke control systems use the ventilation system to create areas of positive and negative pressures that, along with fire and smoke partitions, limit the spread of smoke. The ventilation system may be used in a smoke removal mode in which the products of combustion are exhausted by mechanical means. As design of active smoke control systems continues to evolve, the engineer and code authority should carefully plan system operation and configuration. Refer National Fire Protection Association (NFPA) Standards 90A, 92A, 99, and 101, Other specialized HVAC systems are available for low temperature rooms (such as food storage lockers), high purity production facilities ("cleanrooms"), and continuous recirculation environments (self-contained and supporting isolation and animal quarantine). Industrial applications are another challenge to balance IAQ and HVAC
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design/construction. The ASHRAE HVAC Systems and Applications Handbook provides further descriptive design criteria for specific system specification and operation. The HVAC system can be the solution or the source of IAQ problems. Some IAQ problems from the HVAC systems may be unnoticed for months, while others can cause almost immediate negative reactions. For example, a clogged condensate drain that is allowing condensate spill onto the fan chamber decking may take an entire season to cause a mold problem. In contrast, an incorrectly positioned thermostat can cause a VAV reheat to activate, when the real need is for occupant cooling, thus causing comfort problems. It should be evident that HVAC system design, installation, operation and maintenance requires experience, vigilance, and dedication. Can simply increasing the inflow of outdoor air to meet the requirements of ASHRAE Standard 62-1989 fully qualify for "acceptable" IAQ? The answer depends on how the following inter-related ventilation system design and operating factors are addressed: Ensuring Ventilation Design The design of a ventilation system must be fully integrated with all aspects of the architectural, mechanical, and interior design of a building. Design strategies to assure a reasonable level of ventilation effectiveness should be fully explored. The need for energy conserving strategies can be balanced by the overall requirement for a healthy ventilation system design. Outdoor air intakes must be designed to be located away from potential sources of contamination, such as truck or garage exhausts, cooling towers, stagnant pools of water, animal and insect infested areas, etc. Ventilation systems must be designed for access for future inspection and maintenance. All design assumptions which relate to the ventilation system(s) must be clearly documented and provided to the facility managers. Delivering Outdoor Air To Breathing Zones The intention of Standard 62-1989 was that proper levels of conditioned outdoor air would reach the occupants' breathing zones. This term refers to the immediate air volume or area surrounding an individual building occupant. If the supply air is summarily reduced or blocked between the outdoor air intake and the supply air register, it does not reach the breathing zone. This can happen for a variety of reasons: closed dampers in the supply air ductwork or at the supply register, pinched or collapsed supply ductwork, closed dampers in the terminal unit, or closed outside air dampers at the air handling unit(s). Providing Proper Room Air Mixing HVAC systems should be designed to provide optimal patterns of airflow within rooms and prevent air stagnation or short-circuiting of air from the supply to the exhaust (i.e., passage of air directly from the air supply to the air exhaust without room mixing). If the conditioned air that flows from the supply register does not interact and mix with the air in the occupied space, insufficient volumes of outdoor air will reach the occupants. This occurs when the supply air does not "blend" with the air in the space, due to improper selection and installation of air supply and return systems and their components. If there is a supply air register that is providing a steady air inflow, but an insufficient way for the existing room air to flow out, improper mixing will occur. This will result in "dead spots" in the space - stagnant areas that can quickly contribute to occupant discomfort. Hospital ventilation systems should always be designed, constructed, and maintained so that designed and balanced so that air flows from less contaminated (i.e., more clean) to more contaminated (less clean) areas. For example, air should flow from corridors (cleaner areas) into TB isolation rooms (less clean areas) to prevent spread of contaminants to other areas. Hospital ventilation can be used for diluting and removing contaminated air, controlling airflow patterns within rooms, and controlling the direction of airflow throughout a facility. To reduce the concentration of contaminants in the air via uncontaminated supply/incoming air mixing with the contaminated room air (i.e., dilution), which is subsequently removed from the room by the exhaust system. To provide optimal airflow patterns, the air supply and exhaust should be located such that clean air first flows to parts of the room where healthcare workers are likely to work, and then flows across the infectious source and into the exhaust. In this way, the healthcare worker is not positioned between the infectious source and the exhaust location. One way to achieve the clean to less clean airflow pattern is to supply air at the side of the room opposite the patient and exhaust it from the side where the patient is located (i.e., duct/grille polarization). Another method, which is most effective when the supply air is cooler than the room air, is to supply air near the ceiling and exhaust it near the floor. Airflow patterns are affected by large air temperature differentials such as: (1) the precise location of the supply and exhausts, (2) the location of furniture, (3) the movement of healthcare workers and patients, and (4) the physical configuration of the space. Adequate air mixing, which requires that an adequate number of ACH be provided to a room, must be ensured to prevent air stagnation within the room. However, the air will not usually be changed the calculated number of times per hour because the airflow patterns in the room may not permit complete mixing of the supply and room air in all parts of the room. This results in an "effective" airflow rate in which the supplied airflow may be less than required for proper ventilation. To account for this variation, a mixing factor (which ranges from 1 for perfect mixing to 10 for poor mixing) is applied as a multiplier to determine the actual supply airflow (i.e., the recommended ACH multiplied by the mixing factor equals the actual required ACH). The room air supply and exhaust system should be designed to achieve the lowest mixing factor possible. The mixing factor is determined most accurately by experimentally testing each space configuration, but this procedure is complex and time-consuming. A reasonably good qualitative measure of mixing can be estimated by an experienced ventilation engineer who releases smoke from smoke tubes at a number of locations in the room and observes the movement of the smoke. Smoke movement in all areas of the room indicates good mixing. Stagnation of air in some areas of the room indicates poor mixing, and movement of the
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supply and exhaust openings or redirection of the supply air is necessary. Providing Quality Filtration Removal of airborne particulates and microbes which can be produced in the occupied areas, in the outdoor air, or in poorly maintained AHUs is a necessity. It is not uncommon for areas in modern offices that use large reproduction equipment to produce significant quantities of paper dust, and dry ink particles. Interior construction renovation work can produce construction-related dusts. Outdoor construction work adjacent to the outdoor air intakes can similarly be a major source of particulate matter. Additional filtration equipment may be required within the building as well as in the air handling units to directly remove particles at their source, particularly if the space air distribution is insufficient. Proper System Hygiene Keeping the components of the ventilation system in a clean and orderly condition will reduce the likelihood of microbiological contamination. There are areas in the air handling unit which can be quite favorable to the growth of bacteria and fungi, with moisture, dirt and a conducive temperature and humidity as the key ingredients for this growth. If not properly removed, bacteria and fungi will propagate and be carried downstream in the supply air system, and eventually reach the occupants' breathing zones. Ventilation system design is becoming more important, and requires that building owners and their facility managers become active participants in early design decisions. The last four of the above factors can and should be constantly monitored by the facility management staff to prevent it from becoming an acute or chronic health problem for the building occupants. A proactive IAQ monitoring and inspection program should become integral to the existing PM program. In summary, there are several key design and operating factors which will determine an acceptable level of good IAQ in commercial building ventilation systems. Attention to these items coupled with sound preventive maintenance measures by the facility management staff can have a positive impact on the indoor environment. Indoor Airborne Pollutants If required, conduct the various levels of air sampling for contaminants as well as a HVAC assessment to confirm airflows/outdoor air for comparison to applicable guidelines, regulations, and codes. Air sampling is conducted to quantify specific airborne contaminants that have the potential to be present and to contribute to health related symptoms. Air sampling and analyses are to be performed in accordance with established OSHA, National Institute for Occupational Safety and Health (NIOSH), and/or EPA methodologies. The types of equipment needed are presented in Table 1 which also presents the various levels of sampling and specific equipment requirements. Virtually everything in the indoors releases particles and/or gases and can likely support microbial (fungi, bacteria) growth. Both common office and medical supplies and equipment have been found to release dangerous chemicals. As reviewed earlier people themselves are also major contributors to indoor air pollution. Literally millions of particles, primarily skin scales, are shed by each person over the course of a day, with the average skin scale carrying with it several bacteria along the way. Clothing, furnishings, draperies, and carpets shed fibers and other particle fragments. Cleaning processes such as sweeping, vacuuming, and dusting normally remove the larger particles, but often increase the airborne concentrations of the smaller particles. Cooking, gas and oil burning and smoking also generate vast numbers of airborne particles and gases. The sources of indoor particles are endless-these particles combined with moisture are the prime ingredients necessary to support biological contamination of buildings. Indoor airborne pollutants can be generically classified as chemical, physical, or biological contaminants. Inorganic Gases This group of gases includes carbon dioxide, which occurs naturally in the atmosphere and is exhaled as a waste product of respiration. This gas is also a byproduct of all forms of combustion in the air. Similarly, carbon monoxide and oxides of nitrogen are by-products of combustion. Ozone, an atmospheric gas that can be produced by electrical discharges such as those that occur in copying machines, laser printers and electrostatic precipitating air cleaners, also falls into this category of inorganic gases. Carbon Dioxide It is not coincidental that reports of IAQ problems escalated in the late 1970's as buildings became more airtight and outside air ventilation rates were cut back in response to fuel shortages and escalating energy costs. The U.S. Department of Energy and many state agencies at that time promulgated techniques to 'lighten" buildings in order to eliminate the intrusion of unheated or non-conditioned outside air. One of the greatest construction booms in U.S. history occurred from the late 1970's through the 1980's. It was dominated by the single-minded focus of well-meaning designers on reducing operating costs, without an adequate understanding of the subsequent negative effect this would have on the quality of life of the people who would occupy these buildings. Carbon dioxide (CO2) is a gas found naturally in the atmosphere. Ambient (outdoor) concentrations normally range from 50 parts per million (ppm) to 400 ppm, depending on generation and utilization sources. Similarly, levels inside buildings vary depending on the number of occupants and sufficiency of fresh outdoor makeup air. Since CO2 is produced by human cellular metabolism and released during respiration, room levels of CO2 will increase if the percentage of fresh outdoor makeup air is not sufficient to dilute the amount of CO2 generated. If indoor CO2 concentrations are more than 1,000 ppm (three to four times the outside level), ventilation is probably inadequate, therefore, occupants may complain of stale and stuffy air, or may even experience SBS symptoms. The CO2 concentration itself is usually not the irritant, but concentrations of CO2 above 1,000 ppm usually indicate that other contaminants in the building will be present in increased concentrations. These pollutants are likely contributors for IAQ complaints.
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Table 1. Indoor Air Quality Surbey Equipment Survey Type Equipment Limited Screen* Standard Comprehensive Equipment Cost Carbon Dioxide Meter/Data Logger x x $3,200 Carbon Monoxide Meter/Data Logger x $600 - $1500 Relative Humidity/Temperature Meter x x x $900 Air Velocity Meter x x x $900 Illumination Meter x x $900 Air Flow Meter (Balometer) x $3,500 Low Flow Air Sampling Pumps x x $500-$600 High Flow Air Sampling Pumps x x $500 - $600 Microbial Impactor x x $3400 - $4500 Detector Tube Pump & Tubes x Optional Optional $250 - CO2, CO, Ozone, etc. Tubes x Optional Optional $30 per box Passive Dosimeters (vapors, HCOH ..) x Optional Optional $15 per badge Smoke Tubes x x x $30 per box Tracer Gas (Miran or Portable GC) x $15,000 BASELINE IAQ AUDIT x x $1,500 - $20,000 *Note: Limited screening surveys are very cursory and are not adequate for the assessment of health issues. Source: Galson Corporation, 1994. ASHRAE has recognized the importance of CO2 as a surrogate indicator of the effectiveness of overall ventilation. ASHRAE adopted a maximum level of CO2 of 1,000 ppm when it raised its overall recommended ventilation rate for office buildings, as per ASHRAE Standard 62-1989. This standard specifies a minimum outdoor air ventilation rate of 15 cubic feet per minute (CFM) per person with a recommended rate for office areas of 20 CFM per minute per person. With normal staffing levels (142 square feet per person), the minimum outside air ventilation rate as specified by ASHRAE will maintain carbon dioxide levels below 1,000 ppm. Depending on concentrations, health effects from exposure to CO2 in excess of ambient concentrations vary from "no effect" to lethargy, headaches, increased respiration, dizziness, and nausea,. Generally, these acute symptoms are exhibited across an entire group of individuals when the level of exposure exceeds an 8hour average of 10,000 ppm. However, chronic effects at lower levels (1,000 to 2,500 ppm 8-hour average) are currently a subject of debate. In addition, the response thresholds of individuals vary considerably among any given population. In addition to the potential health effects from high levels (>5,000 ppm) of CO2 there are also potential health effects from other contaminants that can accumulate in the indoor environment when the fresh outdoor makeup air is insufficient for their adequate dilution or removal. These contaminants typically include (but are not limited to) odors, formaldehyde, VOCs, nitrogen dioxide, respirable particulates and fibers, fungi, and contagion (i.e., viruses and bacteria). These contaminants are present in low concentrations, which makes quantification difficult. Thus, the generally accepted approach to evaluating their presence is to use either the ASHRAE CO2 concentration guideline of 1,000 ppm or OSHAs 800 ppm as an indicator or adequate air quality. Determination of CO2 levels throughout a building generally provides a means to assess the adequacy and effectiveness of the ventilation systems and thereby assists in identifying associated potential problems. There are currently three sets of recommended guidelines for exposure to CO2 as determined by OSHA, ACGIH, and ASHRAE.
Source OSHA ACGIH ASHRAE
Carbon Dioxide Exposure Limits Acceptable Exposure Limit Duration 5,000 ppm 8-Hour Average 5,000 ppm 8-Hour Average 1,000 ppm (Continuous)
Please note that the adequacy of ventilation must not be solely based on this carbon dioxide value since intermittent accumulations of other pollutants, including microbes and VOCs may occur even when carbon dioxide concentrations are below 800 ppm. Carbon Monoxide Indoor carbon monoxide levels should generally mirror those of outdoor background levels, which range from 0 to 1 ppm for rural areas and 2 to 5 ppm for metropolitan areas. Indoor levels should never exceed the 9 ppm limit set by the EPA for prevailing outdoor levels. When indoor levels of carbon
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monoxide exceed 9 ppm, they are usually traced to the ingress of vehicle exhaust fumes or fumes leaking from poorly ventilated areas with combustion sources, such as furnaces, stoves, and boilers in the building. Because contamination from this gas is so insidious due to it being odorless and colorless, the only way to provide assurance that this gas is not present in buildings is through routine or automated monitoring and testing, Volatile Organic Compounds (Vocs) Many of today's building materials, finishes, and furnishings are fabricated from synthetic materials, usually man-made, petroleum-based fibers and plastics. In addition, resins and adhesives are used to bond these various components together. The curing process of many of these jointing compounds involves the evaporation of organic solvents. The chemicals that are released are collectively referred to as VOCs. Some of the common classes of these compounds found in buildings include aromatics, aldehydes, esters, and hydrocarbons. Obviously, VOCs originate from hundreds of different sources, and literally thousands of different chemicals are involved. Fortunately, they are normally present in very dilute concentrations in the air, usually only measurable in parts per million (ppm) or parts per billion (ppb). These VOCs are more likely to be a problem in the typical home environment than the office of health care environment, since concentrations in the home are usually higher mainly due to low air exchange rates. When an office building is new, however, levels will tend to be higher with most compounds off-gassing quickly. The best way to control the level of VOCs within a building is to use low-emitting products and to use exhaust air and pressure principles. These measures combined with appropriate ventilation policy will ensure VOCs are maintained to a level that would generally be considered at or below background levels. Potential sources of VOCs can be carpeting, building materials, laboratories, office supplies, cleaning compounds, human metabolic products, cigarette smoking, office processes such as photocopying and printing, and others. Little is known about the health effects of VOCs at low concentrations typical of non-industrial settings. However, the symptoms range from unpleasant odors and irritation to general effects such as nausea and headaches. At present, there is still uncertainty regarding both "no effect" levels or organic vapors and the role of environmental factors in influencing human response. The range of concentrations producing symptoms and the intensity of symptoms may be influenced by individual sensitivity and the presence of other contaminants. A recent study addressed the relationship between low-level VOC exposures and human health. The study established epidemiological and biological models of human response so that it could compare the results of numerous field investigations and controlled experiments conducted over several years. The study reached the following conclusions: ·The "no effect" level is about 0.2 mg/m3. ·A multi-factorial exposure range exists from 0.2 mg/m3 to 3 mg/m3 in which odor, irritation, and discomfort may appear as a consequence of VOC exposure if other exposures (temperature, humidity, etc.) contribute to the etiology. ·Effects are always expected above 3 mg/m3 and Irritation symptoms have been documented at 5 mg/m3 in controlled exposure experiments. Radon Radon is a naturally occurring, colorless, odorless, and tasteless radioactive gas. It is constantly produced in the earth's crust by the natural radioactive decay or breakdown of the elements uranium and radium. Background levels of radon can therefore be found anywhere in the atmosphere, usually in small amounts. Radon is generated in all soil materials but is present in large amounts where heavy deposits of uranium and radium occur such as shale and granite rock. Larger concentrations can also be found in buildings located on weathered and porous soils. Pollution by radon is far more prevalent in homes than in commercial buildings, primarily because of the lower air exchange rates in residential buildings, and the fact that these structures have a larger area of exposure to soil relative to building volume and soil leakage area. An increased risk of lung cancer is the only health hazard associated with radon exposure. The increased cancer deaths among uranium miners are the basis for this assertion. No other acute or chronic health effects have been found for airborne radon. The National Council on Radiation Protection and Measurements has recommended an action level of 8 pCi/1 (picocuries per liter of air). The U.S. EPA recommends an action level of 4 pCi/l. Four pCi/1 is the average concentration at which some corrective action may be recommended, depending on additional sampling results. The higher the concentration above the 4 pCi/1 level, the greater the potential health risk. The U.S. Department of Energy's Environmental Measurements Laboratory recommends "prompt remedial action" if the radon level exceeds 30 pCi/l. The following paragraphs summarize the relationship between the guidelines and the actual data. It is important to note that the guidelines and health associated with radon exposure are based on continuous average exposure levels. Potential health risks associated with radon are based on all of the following exposure factors: (1) 18 hours of exposure per day, (2) length of exposure based on approximately 70 years, and (3) average concentrations of radon. The 4 pCi/1 concentration was selected by the EPA because it equals one cumulative working level month (WLM) per year, which is considered to be a "safe" exposure level. Therefore, in order to reach a cumulative total of one WLM per year, an individual to have an exposure of 4 pCi/l for 8,500 hours (354.2 days) per year or 8 pCi/l for 4,250 hours (177.1 days) per year. Radon samples can be collected by using the 48-hour passive activated charcoal method, which makes use of the diffusion property of radon gas to enter an open canister of activated charcoal. The canisters are sent to a laboratory for analysis. Total Airborne Particles All indoor air was once outdoor air, and therefore contains fractions of typical atmospheric pollutants, including particles generated by natural sources such as diverse as volcanoes to
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fires, and man-made particles produced from industrial sites, power plants, mining operations, transportation, agricultural processes and construction and occupant activities. The levels of airborne particle contamination inside a building depend on many variable factors. The amount of outdoor air that is brought into the building and the variable amounts of dust contained in the air due to varying outdoor conditions will affect indoor airborne particle contamination. Such factors include weather, traffic density, and nearby construction activities. The building's air supply system also will affect the indoor airborne particle contamination through such varying factors as the type of filtration, amount of recirculated air, and type and condition of air handling equipment including air supply ductwork. Once the supply air enters the receiving areas, indoor airborne particle contamination will vary depending upon the types of activities carried out in an area, the number of people in an area, and whether the area contains a significant amount of textile furnishings. For total airborne particulates (nuisance dusts), ASHRAE recommends using the EPA's National Primary Ambient Air Quality Standards for Outdoor Air, which set 0.26 mg/ml as a maximum concentration for a 24-hour period. Generally speaking, dusts only cause transient irritations and are not the cause of acute or chronic health effects. Absolute standards of air cleanliness can only readily be applied where air of very low particulate content is required and supplied. Such areas include hospital operating rooms, pharmaceutical tilling areas, and special-care procedures or processes areas where high efficiency filters and other airborne dust reducing equipment is used. Thus, these areas require high efficiency particulate air (HEPA) filtration systems to keep airborne particles of all sizes to a minimum. HEPA filters have numerous applications in health care facilites, but for the requirements of commercial buildings this type of filtration can be impractical. Most concern is and should be placed on the particles that have the most impact on the health of the people exposed or the total airborne dusts that are in the size range that can be drawn directly into a person's lungs during normal breathing activity. The nose filters out most of the particles of about 10 to 15 microns and then the cilia in the windpipe and throat capture and expel the particles from about 5 to 10 microns, leaving only the finer particles of 5 microns or less in diameter that can penetrate into the lungs. This fraction of airborne particulate contamination is called Respirable Suspended Particulate (RSP). Filtration systems having minimum efficiency ratings of 30 percent but preferably 60 percent according to the ASHRAE Dust Spot Efficiency Tests are the first line of defense in controlling indoor RSP. In addition to indoor airborne particulate contamination, various fibers that are present in the indoor air such as wool, cotton, and synthetic fibers must be considered the. These fibers are all classified as nuisance dusts or total dusts not containing asbestos. Asbestos Prior to 1973, asbestos was the material of choice for fire-proofing, thermal insulation, and sound insulation. It was used as a spray-on insulation in buildings, as a thermal insulation on pipes, as an abrasion resistant filler in vinyl flooring, and as a bulking material with the best wear characteristic for auto brake pads. Many of these asbestos-containing materials or products are of no health risk whatsoever when used in the normal course of events. If, however, for any reason of wear, abrasion, friability, or water damage, any of the asbestos fibers are released into the air and inhaled into people's lungs, there is a health hazard. The scientific evaluation of all available data provides no evidence for a safe level of airborne asbestos exposure; thus any quantity should be considered potentially dangerous. However, recent data shows no discernible increase in disease with low exposure from asbestos in buildings. Fibrous Glass There are some suggestions that glass fiber fragments will accumulate in the lungs and cause later problems as is the case with asbestos. Regardless of the risk, some fragmentation does occur from fibrous glass insulation materials. This fragmentation is especially noticeable when the loose insulation, popularly used in ceiling voids, is disturbed. Most individuals will experience itching on contact with fibrous glass-dermatitis-type reactions are not infrequent due to airborne fibrous glass particles. Also, these fibers can cause irritation of the eyes, nose and throat and can be especially bothersome to contact lens wearers. Fibrous glass is currently classified as a nuisance dust, but based on its potential as an irritant if airborne, measures should be taken to limit exposure to it. Biological Contaminants Biological contaminants are present in all indoor and outdoor environments and come from a variety of sources, including soil, plants, animals, and people. Biological contaminants can be pathogenic (disease producing) or non-pathogenic. Non-pathogenic biological contaminants do not generally infect human beings but some can invoke allergies or produce toxic by-products. Existing standards and guidelines do not address biological contaminants, yet biological contaminants pose significant IAQ problems and has been shown to be the leading source containment in several studies involving hundreds of sick buildings. Surface sampling for biological contaminants is often difficult to interpret, due to irregularities in surface sampling methodologies. Results from surface or airborne sampling should therefore be judged in a qualitative sense, with excessive numbers of known allergenic species viewed as a potential for risk. Such sampling would view elevated levels of fungal allergens, such as Altemaria, Aspergillus, Cladosporium, and Penicillium species, to be problematic. From a quantitative standpoint, the American Conference of Governmental Industrial Hygienists (ACGIH) suggests that indoor levels of bioaerosols should be less than one-third of outdoor levels where outdoor air is the only source, and should be qualitatively similar. Toxins Some molds/fungi are known to produce toxins. These toxins may induce direct toxic effects as well as immunosuppression. At low concentrations, some toxins produce gastrointestinal illnesses and suppress blood production. The concentration of toxins in the spores of toxigenic fungi is often very high. The effects of these poisons are primarily known from cases of ingestion, but these toxins may have an effect when inhaled in
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high concentrations. Most toxins are associated with agricultural settings, where fungal concentrations tend to be significantly higher. Hypersensitivity pneumonitis, also known as allergic alveolitis or Farmer's Lung Disease, is the most serious form of allergic response that may be related to buildings. This illness is associated with a number of common bacteria, fungi and parasites. Induction usually requires high doses, but once sensitized an individual is vulnerable to low levels of the antigen and continued exposure can result in death. Fungi are unicellular or multi-cellular organisms. Fungi reproduce asexually and often form spores as the reproductive units. Spores can be resistant to long periods of dryness and chemical exposure. In active or vegetative growth stages fungi form hyphae (angel hair) like structures that secrete enzymes to degrade the growth substrate and assimilate nutrients. Fungi can cause allergic reactions and invasive infections in animals and humans. Active fungal growth should not be a part of the normal indoor flora in commercial, institutional or residential structures. However spores are often introduced into buildings by outdoor air, materials, and occupants entering the building. Controlling active fungal growth indoors is multi-factorial. The building structure should be engineered to control moisture, the interior surfaces should be protected against becoming amplification sites, conscientious maintenance and monitoring programs should be in place. Bacteria Bacteria may be divided in two main groups gram-positive and gram-negative. Gram-positive bacteria include staphylococcus (staph) and streptococcus (strep), both notorious for their human infections. Gram-negative bacteria include salmonella and other common strains that cause food poisoning and other infections. Perhaps the best known environmental bacterium is the Legionella bacillus. Legionella Bacteria Legionnaires' disease is a form of pneumonia caused by the bacterium Legionella pneumophila. This illness was first identified during an epidemic at a Legionnaires' convention in a Philadelphia hotel in 1976, which affected 182 persons and caused 29 deaths. Sources of the bacterium include aerosols from cooling towers, evaporative condensers, humidifiers, and even shower heads. Legionnaires' disease is treatable provided early diagnosis is made but can have serious consequences in susceptible populations including the aged and infirmed. Legionella causes two diseases. Legionnaires' disease, the most commonly known of the two diseases, appears as a form of pneumonia. The incubation period may range from 2 to 10 days, but it is usually 3 to 6 days. Clinically, the early symptoms of the disease are characterized by muscle aches, malaise, and headache. Soon after, high fever and shaking chills develop. Most patients suffer from dyspnea (difficulty breathing) and abdominal pain; in addition, gastrointestinal symptoms (vomiting and diarrhea) may occur. Approximately 5 percent of exposed individuals develop the disease, which has a fatality rate of 10 to 15 percent. It is believed that only viable organisms cause Legionnaires' disease. Results from direct culture on media yield colony-forming units per millliter of water (cfu/ml), species, and serogroup. There are known species and 50 serogroups of Legionella. Legionella pneumophila, serogroup 1, is most frequently implicated in causing disease. Therefore, determining species and serogroup is important, especially in the case of a potential outbreak. Legionella bacteria growth can occur in water temperatures between 68° F to 113° F; however, 95° F to 99° F is the optimal growth temperature range. Legionella bacteria can tolerate wide ranges of environmental conditions such as pH from 2.0 to 8.0. To check for Legionella, collect water samples directly into 100 milliliter (ml) sterile propylene bottles. Pack in styrofoam to protect them from extreme changes in temperature and express send to an accredited analytical laboratory. The samples will be analyzed by direct culture on media. Pontiac fever, named after a 1968 building epidemic in Pontiac, Michigan, is caused by the same bacterium that causes Legionnaires' disease. Unlike Legionnaires' disease, however, Pontiac fever is a short-term (two to five days) illness characterized by fever, chills, headache and muscle ache, and sometimes coughing, sore throat, chest pains, nausea or diarrhea. Pontiac fever is not fatal but nearly 100 percent of those exposed to the bacterium get the disease. Saprophytic Bioaerosols Samples for airborne bacteria are collected directly on petridishes containing malt extract agar. In addition to plate counts, samples are collected on malt extract agar plates for identification of predominant taxa of yeasts and molds. The identification procedure further identifies potential allergens and/or pathogens and determines, depending on their airborne concentration, the potential for the manifestation of health effects such as allergic rhinitis, humidifier fever, hypersensitivity pneumonitis, and asthma. Yeasts and molds may be free-floating or attached to particles such as dust, lint, skin, generated aerosols, contagion, and dander. Previously wetted or soiled carpeting also provide a good growth medium and can be a potential amplification source for bacteria, yeasts, and molds introduced into the indoor environment by building occupants and/or ventilation systems. Airborne yeasts and molds can obtain nutrients from decaying organic material (e.g., wet ceiling tiles, carpeting, grass, wood, leaves, dust, etc.). It is important to note that these organic materials are available in both the indoor and outdoor environments. Some species of yeasts and molds can be allergenic and others pathogenic (i.e., they can grow in the lungs, nasal passages, or on the skin). For yeasts, molds, and bacteria to colonize and thrive, there are three primary factors that need to be present. First, there must be suitable substrates to provide organic matter for the organism to feed on. In most outdoor and indoor environments, it is almost impossible to eliminate completely the sources of organic material, but obvious sources can be controlled and minimized. Secondly, the organisms need a source of moisture to sustain and promote growth. Standing water and high relative humidity levels create conditions that can lead to the colonization of organisms. For example, below 30 percent of relative humidity, little interior mold growth occurs except on locally wet surfaces.
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Finally, the temperature range to which the organisms are exposed affects the potential for harboring growth. In areas where seasonal temperatures fall below freezing, a significant decrease in outdoor airborne spore concentrations occurs due to decreased spore production. In its Guidelines for Assessment and Sampling of Saprophytic Bioaerosols in the Indoor Environment, the Bioaerosols Committee of the ACGIH notes that "during the growing season, outdoor fungus (yeast and mold) spore levels routinely range from 1,000/m3 to 100,000/m3 of air. Indoor levels should be less than one-third of outdoor levels where outdoor air is the only source, and should be qualitatively similar." The Occupational Safety and Health Administration (OSHA) does not currently regulate bioaerosols, and there is no established permissible exposure limit (PEL) for yeasts and molds. The OSHA Technical Manual recommends that 1,000 colony-forming units per cubic meter of air (cfu/m3) be used as a "trigger" for evaluating airborne yeasts and molds. Levels in excess of 1,000 cfu/m3 do not necessarily imply that the conditions are unsafe or hazardous, but that the potential for health effects exists based on the type and concentrations of airborne microorganisms. Pathogens Pathogens (infectious agents such as bacteria or viruses) are communicated by airborne transmission, by physical contact or by consuming contaminated food or water. The common cold virus, the tuberculosis bacterium, and the influenza virus are examples of pathogens. Most airborne pathogens are spread directly by person-to-person transmission, but poor ventilation or the presence of airborne irritants can increase infection rates. In these instances, people are the source of the infectious disease. The best controls in the work place are good hygiene (washing hands and surfaces), and isolation-keeping sick people home, and in a few cases, inoculation. Infectious bacteria, which proliferate in humidifiers, cooling towers, air conditioners, and in other building components, have been implicated in epidemics, including outbreaks of Legionnaires' disease and Pontiac Fever. Eliminating accidental water sources, controlling humidity and good systems hygiene can be effective in controlling these organisms. Allergens Allergenic agents provoke an allergic (hypersensitive) reaction in a subset of around 15% to 20% of the population. While some chemicals known as sensitizers can provoke allergic responses, most allergens are biological and include both living organisms and breakdown products. Living organisms that provoke such responses include: molds, fungi, amoebae, algae, and bacteria. Nonviable agents include fecal material of house dust mites, cockroaches and insects, animal dander, nonviable remains of molds and fungi and their spores, dried animal excretions, and pollens. Common allergic illnesses include allergic rhinitis, hay fever, bronchial asthma, and hypersensitivity pneumonitis. Formaldehyde Formaldehyde in its pure form is a colorless gas with a pungent odor. The odor threshold for formaldehyde is approximately 1.0 part per million (ppm). Sources that contain formaldehyde and that may result in potential exposure are urea formaldehyde resinous products, office furnishings, cigarette smoke, laboratories, dialysis, OR suites, permanent press fabrics, vehicular exhaust, cosmetics, shampoo, air fresheners, fungicides, etc. Health effects from formaldehyde are well documented. However, because formaldehyde is a sensitizer, it is important to remember that certain individuals may react differently. Most of the signs and symptoms of formaldehyde exposure are related to irritations of the eyes, throat, and upper respiratory tract. Irritation is characterized by burning eyes, tearing, and itching. The lowest known concentration causing these symptoms is approximately 0.1 ppm; however, it is typically 0.3 ppm. As concentration increases, the irritation spreads to the lower respiratory tract. Exposure to 50 ppm may result in tearing of the eye, pulmonary reactions, pneumonia, bronchial inflammation, and pulmonary edema. Exposure to 100 ppm could result in death after 30 minutes. The carcinogenic potential of formaldehyde in humans has not been proven; however, animal studies have indicated that it is a potential animal carcinogen. The ASHRAE-recommended guideline for acceptable IAQ is based on a World Health Organization guideline and is 0.1 ppm, while the current OSHA permissible exposure limit is 0.75 ppm. Air sampling can be conducted utilizing passive sampling badges when sampling for more than a 4-hour period. The room air is passively adsorbed into the sampling media. Analysis of the badges is conducted in accordance with NIOSH Method 3500. There are currently three sets of recommended guidelines for exposure to formaldehyde as determined by OSHA and ACGIH for industry and by ASHRAE for IAQ: Formaldehyde Exposure Limits Acceptable Source Exposure Limits OSHA 0.75 ppm 0.3 ppm (action level) 2.0 ppm (STEL) ACGIH 1.0 ppm ASHRAE0.1 ppm (Ceiling)
Duration 8-Hour Average 8-Hour Average 15-Minute Average 8-Hour Average Instant
Environmental Tobacco Smoke Again, although the Joint Commission on Accreditation of Healthcare Organizations (JCAHO) has prohibited smoking in healthcare facilities, ETS is typically found via infiltration from inadequately pressurized or segregated smoking areas/lounges. Environmental tobacco smoke (ETS) is produced by a combustion process which like many other burning activities (gas, coal, oil, wood, kerosene, etc.) yields thousands of airborne constituents, some of which are suspect carcinogens. Some studies indicate that ETS has been associated with an increased incidence of lung cancer in nonsmoking adults. Other studies link ETS exposure with an increased risk of lower respiratory tract infections in children and an exacerbation of some pre-exiting conditions such as asthma.
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ETS cannot be measured directly in indoor environments because it is a complex mixture of constituents, many of which may also arise from other sources. As a result, most studies of ETS concentrations have, instead, focused on particular constituents of ETS as proxies for total ETS concentration. These constituents include nicotine, carbon monoxide, and airborne particulates. Pesticides Pesticides commonly found indoors during the Non Occupational Pesticide Exposure Survey (NOPES) conducted in 1986 by the EPA include some what have been banned for years. The active chemicals in some of these pesticides, such as chlordane, have chemical activity half lives of up to 26 years. The study revealed that the dust indoors contains a major portion of the pesticides in the interior space. Contaminated dusts are also brought in from the outside by HVAC systems and on the clothing and shoes of building occupants. The EPA has taken a series of actions that have led to the withdrawal from the marketplace of a family of pesticides, including chlordane, heptachlor, aldrin and dieldrin. Short-term effects from high levels of these pesticides are associated with such symptoms as headaches, dizziness, muscle twitching, weakness, tingling sensations, and nausea. Potential long-term effects include damage to the liver and the central nervous system, as well as increased risk of cancer. It is not possible to list all of the various health effects from exposure to the many pesticides currently on the market. If an exposure is suspected and ill health effects are experienced, the local poison control center should be contacted. Lead Lead is one of the oldest known pollutants and its toxic effects have been recognized for centuries. Lead toxicity continues to be a significant public health problem, especially for children. Lead paint in older facilities is now recognized as a primary high-dose source of lead in children. Children may eat chips from peeling paint or even ingest lead by sucking their fingers after their hands have been in contact with lead contaminated dusts in the window wells. Raising and lowering sash type windows abrades the paint which falls onto the window sills and accumulates in the window wells. Lead is a highly toxic pollutant and lead poisoning is characterized by loss of appetite, muscle pain, constipation, irritability and lethargy. In high doses, lead can cause permanent neurological damage and even death. Chronic exposure to low doses has been found to produce neuro-psychological effects and behavior disorders in children. The discovery of a continuum of health effects from even very low dosages has caused many scientists to conclude that there is no demonstrated safe level of lead. Polychiorinated Biphenyl's (PBCs) PCBs belong to the family of organic compounds known as chlorinated hydrocarbons. PCBs were produced in the U.S. between 1929 and 1977, until the primary U.S. manufacturer voluntarily stopped making them because of mounting public concern over their harmful environmental effects. Most PCBs were sold for use as dielectric fluids (insulating liquids) in electrical transformers and capacitors. Although PCBs are no longer being made in this country for this use, many electrical transformers and capacitors once filled with PCBs are still in service. Today, federal law prohibits the manufacture of PCBs, controls the phaseout of their existing uses, and sees to their safe disposal. Thermal Comfort Thermal comfort is defined as the mindset that expresses satisfaction with the thermal environment. This satisfaction is based on a complex, subjective response to several variables that cause relative degrees of human comfort or discomfort. The design, construction, and use of an occupied space, as well as the design, construction, and operation of its heating and air-conditioning systems, will determine the degree of satisfaction with the thermal environment. Individual preferences regarding the thermal environment vary. The perception of comfort relates to an individual's physical activity, body heat exchange with the surroundings, and physiological characteristics. The heat exchange between an individual and the surroundings is influenced by the following variables: air temperature thermal radiation relative humidity air movement amount of clothing activity level While ideal thermal conditions are complicated to define for any one individual in a particular setting, ASHRAE has produced a consensus standard (ASHRAE 551992 Thermal Environmental Conditions for Human Occupancy) based upon experience and research that specifies conditions (described in the following figure) likely to be acceptable to at least 80 percent of the adult occupants of a space. The temperatures and humidity conditions described are for light sedentary activity (typical office work) with normal levels of seasonal clothing and typical levels of air movement. ASHRAE recommends comfort temperature ranges of 68° F to 75° F for winter (heating season) and 73° F to 79° F for summer (cooling season). The optimum humidity range for offices is generally considered to be between 30 and 60 percent. Relative humidities above 60 percent inhibit evaporation from the skin giving a sticky uncomfortable feeling. Relative humidities above 70 percent can directly lead to condensation problems and result in excessive fungal and mold infestations. Below relative humidities of 20 percent, the mucus membranes of the nasal passages, throat, and eyes begin to dry out, possibly rendering building occupants more susceptible to infections or irritation from other pollutants. According to ASHRAE 55-1981, RH levels should be maintained, whenever possible, between 40 and 55 percent for comfort purposes; however, 30 to 55 percent is tolerable for most individuals. Wide ranges of RH within a building are common, primarily due to temperature differential. This range can be exemplified as follows: if room air contains 8 mg (milligrams) of water per liter of air at 65° F, the RH will be 46 percent; however, if this same space is heated to 78° F, the RH will drop to 34 percent.
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Whenever individual comfort is an issue, there will be a wide range of acceptable limits, depending on, among other things, an individual's age, gender, physical fitness, activities, and clothing. ASHRAE defines acceptable IAQ, which includes RH and temperature, as ''air in which there are no known contaminants at harmful concentrations as determined by cognizant authorities and with which a substantial majority (80 percent or more) of the people exposed do not express dissatisfaction.'' Ventilation HVAC design, operation, and maintenance has been discussed earlier in this paper; but it is important to note that buildings when built or renovated must conform to the code of the municipality in which they are located. Generally, this is the Building Officials and Code Administration (BOCA) Code, which requires a particular total supply airflow based on occupancy classification. Regarding recirculation of air, the BOCA Code states that a maximum of 67 percent of the required ventilation air shall be permitted to be recirculated as long as the average annual concentration of particulates is less than 0.075 milligrams per cubic meter of air (mg/ml). However, all air in excess of the required ventilation air shall be permitted to be recirculated. Finally, a maximum of 85 percent of the required ventilation air may be recirculated when the system is equipped with effective adsorption or filtering equipment such that the air supplied to the space meets the EPA's National Ambient Air Quality Standards. The important point to remember about the BOCA Code is that it does not address concentrations of airborne contaminants generated by occupants or processes, nor does it address the effectiveness of the HVAC system in delivering the fresh air to the occupants' breathing zone. Its greatest flaw is that it does not address these potential health issues. ASHRAE recommends that the rate at which fresh outdoor makeup air is delivered into a room be determined by multiplying the number of occupants normally expected at any one moment by 20 CFM of fresh outdoor makeup air. This outdoor makeup air rate is based on estimated maximum occupancy of 7 people per 1,000 square feet of floor space. For example, 20 occupants × 20 CFM = 400 cubic feet of fresh outdoor makeup air every minutes The goal is to maintain CO2 concentrations at or below 1,000 ppm and to dilute the concentration of micro-contaminants. In smoking lounges, ASHRAE recommends that fresh outdoor makeup air be supplied at 60 CFM per person with local mechanical exhaust and no recirculation. With regards to the exhaust system in restrooms, the BOCA Code recommends sufficient total exhaust volumes to maintain odors at an acceptable level or 75 CFM per water closet or urinal, whichever is greater. However, ASHRAE recommends exhaust volumes of 50 CFM per water closet or urinal. In either case, placement of the exhaust opening in a restroom in relation to the supply air and water closet(s) is more important than the total exhaust volume. Therefore, both issues need to be addressed when making recommendations for corrective action. Refer to ASHRAE Standard 62-1989 and ASHRAE Fundamentals Handbook for recommended airflows, pressure relationships, airchange rates, exhaust and recirculation specifications, and filter application efficiencies for specific use areas. Other Factors Many other physical and psychosocial factors can affect satisfaction with the indoor environment. Lighting quality, noise levels, drafts, personal odors, interpersonal relations and many other conditions interact to affect people's general comfort and their level of satisfaction with the IAQ. All of these different factors can have a combined effect that is greater than the sum of their individual effects. Illumination Stresses from inadequate or poorly-designed lighting (i.e., lighting that produces glare, flicker, or poor illumination of work surfaces) can produce symptoms such as eyestrain and headaches. These complaints are sometimes interpreted as signs of poor IAQ. Lighting problems may be evident in large areas or localized in particular work spaces. Lighting surveys are conducted to identify potential problems associated with the luminaries. These surveys address work object contrast, size of print, or time allowed to do the task, which together with luminance define the visibility of a task. Lumins are measured and compared to the guidelines recommended by the Illuminating Engineering Society (IES) of North America for interior lighting for the minimum task of reading high-contrast or well-printed materials (see Table 2). Noise Noisy surroundings can reduce the ability to concentrate and produce stress-related symptoms such as headaches. Noise can also contribute to job dissatisfaction, particularly if the problem is caused by overcrowding or other factors likely to produce a sense of substandard work conditions. The ear habituates quickly so it is possible for a complaintant to be unaware of a constant or regular sound. Investigators should recognize that noise can be a source of stress, even if it is not reported as a problem. Vibration Low-frequency vibration is another source of stress that may go unreported by building occupants or become confused with pollutant problems. Vibration can be caused by nearby machinery or movement of the building as a whole; motion sickness has been reported in some high rise buildings that sway in the wind. Ergonomics Fatigue, circulation problems, and other physical problems can be produced by furniture that is mismatched to the task, such as chairs that are the wrong height for computer terminals. When investigators inquire about whether new furniture has recently been installed in the problem area (to determine if the furniture could be contributing to increased contaminant levels such as VOCs off-gassing), they should also ask about other changes in the work stations, such as furniture rearrangement, or new office equipment.
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Table 2. Levels of Illumination Currently Recommended by the Illuminating Engineering Society of North America (IES) Foot Candles (FC) Drafting Rooms Detailed drafting and designing cartography - 200 Rough layout drafting - 150 Accounting Offices Auditing, tabulation, bookkeeping, business machine operation, computer operation - 150 General Offices Reading poor reproductions, business machine operation, computer - 150 operation Reading handwriting in hard pencil or on poor paper, reading fair - 100 reproductions, active filing, mail sorting. Reading handwriting in ink or medium pencil on good-quality paper. - 70 Reading high-contrast or well-printed materials - 30 Conferring and interviewing - 40 Conference Rooms Critical seeing tasks - 100 Conferring - 30 Note-taking during projection (variable) - 20 Psychosocial Issues Stresses due to poor labor-management relations, occupant disputes or other interpersonal problems can reduce tolerance for inadequacies in the indoor environment. Psychosocial factors may be suspected as a complication of the lAQ complaint if the investigator is aware of friction over working conditions, lease arrangements, or other issues. Even if interpersonal stresses may be contributing to perceptions of poor lAQ, the investigator should not assume that the occupant's complaints are unfounded. It is possible that psychosocial problems have simply produced heightened sensitivity to substandard environmental conditions. Complaint Diagnostics It is vital that the individual and the health care professional comprise a cooperative diagnostic team in analyzing symptomatic (Table 3), timing (Table 4), and spatial (Table 5) patterns that may provide dues to a complaint's link with indoor air pollution. A diary or log of symptoms correlated with time and place may prove helpful. If an association between symptoms and events or conditions in the home or workplace is not volunteered by the individual, answers to the following questions may be useful, together with the medical history. Having earlier discussed the typical source categories, let's discuss how to identify potential specific causes of the symptoms that employees are exhibiting. You will need to keep an accurate log of these and other findings for problem identification, future reference, and survey documentation. In the first phase, it is important to solicit information on symptoms and other concerns/opinions/input from employees, particularly with regard to types (of occurrences) frequency, and locations. Collecting information related to the employees will help identify patterns that can be used to identify the cause(s) and thereby assist in the investigation. The health professional can investigate further by matching the individual's signs and symptoms to those pollutants with which they may be associated, as detailed in the discussions of various pollutant categories. When did the (symptom or complaint) begin? Does the (symptom or complaint) exist all the time, or does it come and go? That is, is it associated with times of day, days of the week, or seasons of the year? (If so) Are you usually in a particular place at those times? Does the problem abate or cease, either immediately or gradually, when you leave there? Does it recur when you return? What is your work? Have you recently changed employers or assignments, or has your employer recently changed location? (If not) Has the place where you work been redecorated or refinished, or have you recently started working with new or different materials or equipment? (These may include pesticides, cleaning products, craft supplies, et al.) What is the smoking policy at your workplace? Are you exposed to environmental tobacco smoke at work, school, home, etc.? Describe your work area. Have you recently changed your placed residence? (If not) Have you made any recent changes in, or additions to, your home? Have you, or has anyone else in your family, recently started a new hobby or other activity? Have you recently acquired a new pet?
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Table 3. Addressing Potential Symptom Patterns Symptom Patterns Thermal Discomfort
Mitigation Suggestions Check HVAC condition and operation. Measure indoor and outdoor temperature and humidity. See if extreme conditions exceed design capacity of HVAC equipment. Check for drafts and stagnant areas. Check for excessive radiant heat gain or loss. Common Symptom Groups.: Headache, lethargy If onset was acute (sudden and/or severe), arrange for medical evaluation, as the problem may be carbon monoxide poisoning. Check combustion sources for uncontrolled emissions or spillage. Check outdoor air intakes for nearby sources of combustion fumes. Consider evacuation/medical evaluation if problem isn't corrected quickly. Consider other pollutant sources. Check overall ventilation; see if areas of poor ventilation coincide with complaints. Congestion; swelling, itching or irritation of eyes, May be allergic response, if only a small number is nose, or throat; dry throat; may be accompanied by affected; more likely to be irrational response if a nonspecific symptoms (e.g., headache, fatigue, large number is affected. nausea) Urge medical attention for allergies. Check for dust or gross microbial contamination due to sanitation problems, water damage, or contaminated ventilation system. Check outdoor allergen levels (e.g., pollen counts). Check closely for sources of irritating chemicals such as formaldehyde or those found in some solvents. Cough; shortness of breath; fever, chills, and/or May be hypersensitivity pneumonitis or humidifier fatigue after return to the building fever. A medical evaluation can help identify possible causes. Check for gross microbial contamination due to sanitation problems, water damage, or contaminated HVAC system. Diagnosed infection May be Legionnaire's disease, histoplasmosis, or tuberculosis; related to bacteria or fungi found in the environment. Contact your local or State Health Department for guidance. Suspected cluster of rare or serious health problems Contact your local or State Health Department for such as cancer, miscarriages, etc guidance. Other Stressors: Discomfort and/or health complaintsCheck for problems or causes with: that cannot be readily ascribed to air contaminants or Environmental (i.e., lighting, noise space design, etc.) thermal conditions Ergonomics Psychosocial stressors, such as job-related, personal, phobias, etc. Source: EPA, Building Air Quality - A Guide for Building Owners and Facility Managers, 1991. Does anyone else in your home have a similar problem? How about anyone with whom you work (An affirmative reply may suggest either a common source or a communicable condition.) The following distribution of IAQ complaints (investigated as a cause of poor IAQ) was reported by the National Institute for Occupational Safety and Health (Scarry, 1994): Indoor Air Quality Complaints Causes Complaint FacilitiesPercentage Inadequate ventilation 80 53 Indoor contaminants 80 15 Outdoor contaminants 53 10 Microbial contaminants 27 5 Construction and furnishings 21 4 Unknown/Other 68 13
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Table 4. Addressing Potential Timing Patterns Timing Patterns Mitigation Suggestions Symptoms begin and/or are worst at the start of theReview HVAC operating cycles. Emissions from occupied period building materials, or from the HVAC system itself, may build up during unoccupied periods. Symptoms worsen over course of occupied period Consider that ventilation may not be adequate to handle routine activities or operations within the building. Intermittent Symptoms Look for daily, weekly, or seasonal cycles or weatherrelated patterns, and check linkage to other events in and around the building. Single event of symptoms Consider spills, other unrepeated events as sources. Recent onset of symptoms Ask staff and occupants to describe recent changes of events (e.g., remodeling, renovation, redecorating, HVAC system adjustments, leaks, or spills). Symptoms relieved on leaving the building, either Consider that the problem is likely to be buildingimmediately, overnight, or (in some cases after related, through not necessarily due to air quality. extended periods away from the buildings Other stressors (e.g., lighting, noise) may be involved. Symptoms never relieved, even after extended Consider that the problem may not be building-related. absence from building (e.g., vacations) Source: EPA, Building Air Quality - A Guide for Building Owners and Facility Managers, 1991. Methods for Mitigation Although mitigation is the last step in the resolution of an IAQ problem, it is often the most misunderstood. Mitigation should only be conducted after all identification and evaluation of the problem have been properly completed. If this is not the case, mitigation may not be successful and, therefore, resources used to that point may not be effectively spent. There are two general approaches (or a combination) to take for mitigation: engineering and administrative. Engineering Controls Engineering controls initially includes any changes to the physical plant or changes in chemicals used (substitution). These changes are generally considered to be independent of employee interaction; however, that is not entirely correct. Engineering controls include: Balance HVAC system(s) Change outdoor air quantities Increase air changes per hour Adjust temperature and/or relative humidity Change filtration efficiencies Remove microbial growth Clean up surface contamination Perform preventive maintenance on systems Connect piping to plumbing systems Tighten up air distribution ducts Change chemical cleaners Install new exhausts Comply with OSHA IAQ proposed regulation Comply with ASHRAE 62-1989 Implement water treatment (Please note that personal protective equipment that is used in reducing exposures to specific compounds is not an option for IAQ exposures). Administrative Controls Administrative changes are more related to employees and include training and changing responsibilities. In short, these changes require interaction and, as such, may prove to be more difficult to maintain at a high level or performance. Administrative controls include: Educate employees on IAQ Train for specific responsibilities Transfer BRI (building related illness) and MCS (multiple-chemical sensitivity) cases Develop a standard operating procedure (SOP) for proactive IAQ management Meet to discuss the progress To ensure completion of the IAQ project, it will be necessary to evaluate the effectiveness of any implemented control(s). This last step ensures that the employees' needs have been adequately addressed. Conducting a self-assessment to resolve IAQ complaints is not difficult to accomplish in most cases. What is required is sincere and rapid response to an employee problem. Whether a problem is real or perceived can only be determined upon completion of an assessment. The following information provided will provide a good understanding of how to address IAQ problems internally. If there is a need to go to a consultant, the reader will better understand what is being provided.
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Table 5. Addressing Potential Spatial Patterns Spatial Patterns Mitigation Suggestions Widespread, no apparent spatial Check ventilation and temperature control for entire building. pattern Check outdoor air quality. Review sources that are spread throughout building (e.g., cleaning materials). Consider explanations other than air contaminants. Localized (e.g., affecting Check ventilation and temperature control within the complaint areas. individual rooms, zones, or air Review pollutant sources affecting the complaint area. handling systems) Check local HVAC system components that may be acting as sources or distributors of pollutants. Individual(s) Check for drafts, radiant heat (gain or loss), and other localized temperature control or ventilation problems near the affected individual(s). Review local pollutant source(s) near the affected individual(s). Consider that common background sources may affect only susceptible individual(s). Consider the possibility that individual complaints may have different causes that are not necessarily related to the building (particularly if symptoms differ among the individuals). Source: EPA, Building Air Quality - A Guide for Building Owners and Facility Managers, 1991. Baseline Self-Assessment Questionnaire Humanistic Assessment (1) Has a formal complaint documentation system been established and communicated to employees? (2) A specific process/function questionnaire has been distributed to all affected employees. (3) Has the affected employees perceptions of causes of the alleged IAQ problem(s), symptoms of exposure been determined? (not necessarily quantified). (4) Has all the different activities-employee processes and procedures, from shift to shift and worker/worker group been noted? (5) Has the number of employees per area, (e.g., floor, section, department, wing, medical group, etc.) been noted? (6) Has a walk-thru investigation, including interviews and discussions with affected employees, been completed taking into account what the employees perceive as the causative factors(s), i.e., chemicals, management, etc.? (7) Has the observation of tasks being done, with attention to workstation design, been completed? (8) Has the identification of key employees and their involvement in the mitigation project been accomplished? (9) Has the management and labor relationship been identified and its' potential impact on the issue been determined? (10) Has the need for medical input to evaluate each case been assessed? (look for commonalties, clusters. etc). Building-Oriented Assessments Note activities in adjacent areas on same floor and adjacent floor. Also, note airflow to or from these areas (see question 6). (1) Obtain diagram or engineering drawings of floor/room/area layout. (2) Age of building? (3) Is building being used as originally designed? (4) Have population/ workgroup densities increased significantly? (5) Is the area used per its original design, or have renovations taken place? Has ventilation effectiveness been altered by walls, doors, additions? (6) Identify special purpose rooms (darkroom, laboratories, blueprint machines, copier rooms, laboratories) that need exhaust ventilation. (7) Check for placement of exhaust grille, air supply diffusers, and contaminants. Note contaminants. Take airflow measurements. Evaluate the need for additional sampling. (8) Note location of doors and direction of airflows into or out of area of concern. Is the area under positive or negative pressure? Check direction with smoke tubes. NOTE: Ask if any employee in the area has any respiratory problem, e.g., asthma, before using smoke. Check velocity. Obtain door size; note that air movement may vary between top and bottom of doorway. (9) Look for deposits of dirt, etc., on desks, cabinets, under or near air supply diffusers. Ask employees in the area if they notice dirt, etc., on surfaces, especially when they come to work. (10) Note any discoloring or "fanning" of dirt on air supply diffuser (s) and ceiling tile. (11) Note location and height from floor of exhaust openings for contaminant-generating sources. (12) Look for water damage-stains on ceiling tiles and walls. Identify the cause of damage. (13) Obtain MSDSs of products used in HVAC treatment, pesticides, cleaning, and maintenance products, (14) Identify stacks from boilers, incinerators, exhausts, etc., from the building and their relationship to fresh air intake(s). (15) Identify vehicular traffic patterns, parking garages, and loading dock(s). (16) Identify subcontracted work-ventilation maintenance, cleaning, and pesticide application.
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Analytical Sampling-Oriented Assessments (1) Establish the appropriate type of survey or assessment application (Table 1). (2) Sample for CO2 in all areas and at varying heights - also, outdoor air. Pay attention to isolated areas, or at ends of these systems. Note the number of occupants in all areas. (3) Conduct CO2 monitoring in a.m. and p.m. to identify buildup potential. Set up CO2 monitor for 24 hours to get time versus CO2 profile, if justified. Note when occupants enter building. (4) Conduct carbon monoxide monitoring, if needed, inside and outside loading docks-by fresh air intakes, near gas appliances, emergency generators. (5) Take relative humidity and temperature readings in all areas and outdoors. (6) Note noise in the area, type of construction, carpeting, etc. Are surfaces sound reflective or absorbent? (7) It is important to note what your senses indicate (i.e., odors, lighting, noise, air flow, etc.) (8) Evaluate lighting-type, measure illumination (fc), type of work being done (task versus lighting requirements). (9) Evaluate the need for formaldehyde sampling in recently renovated areas, furniture systems, laboratories, OR suites, and dialysis units. (10) Evaluate the need for NOx, SOx, and other gas sampling, especially in areas where combustion products may be present. Check loading docks, gas appliances, and emergency generators. (11) Evaluate the need for microbial sampling, inside and outside, based on evidence of moisture. Sample visible microbial growth on surfaces or in duct work. (12) Conduct total airborne dust or small particle sampling on a polycarbonate filter for particle size distribution, etc. -elemental identifications. (13) Evaluate the need for pesticide sampling. Insect infestation may require an entomologist. (14) Evaluate the need for VOC (total or scan) sampling inside and outdoors. (15) Sample for Legionella in cooling tower water, domestic hot water. (16) Sample for lead in paint-important for older buildings. (17) Identify allergens, (i.e., dust mites, pollen, dander, animal hair, etc.) (18) Conduct PCB sampling (air/wipes) after fires, or when leaking light ballasts are identified. Hvac System Oriented Assessments (1) Obtain engineering drawing(s) of ventilation system(s), including design specification(s). (2) Note activities of all areas and number of people served by each ventilation system. (3) Survey air handling units (AHUs), main units, heat pumps etc., for overall housekeeping, direct connection to outdoor air, or open louvers in the wall. Note damper settings and locations for outdoor air, return air, and relief air. (4) Look inside air handling unit for filter type(s), correct size, humidification units. Note any biological/particulate deposits. (5) Note what is stored in AHU room, (i.e., chemicals, fertilizers, pesticides, etc.) (6) Obtain maintenance documentation of flow checks (if done), system balancing, filter change, and other maintenance. (7) Obtain information on water treatment for cooling towers, chilled water, hot water, boiler water, and steam. (8) Note fan setting (automatic or continuous run.) (9) Determine if AHUs have separate supply air and return air fans. (10) Locate fresh outdoor air (OA) intakes. Note conditions surrounding intakes. Confirm outdoor air connection to HVAC systems. (11) Note activities and industry types surrounding building(s) regarding potential entrainment into fresh air intake. (12) Note location of fresh outdoor air intake in relation to cooling towers, loading docks, or any other building exhaust. (13) Locate air supply diffusers. Make note of location in relation to doors, size and type of diffuser, and velocity. (14) Locate exhaust and return grilles. Note location in relation to supplies (e.g., regarding short-circuiting), size, and velocity (velocity may require cross-sectional measurements). (15) Talk to responsible person to obtain current information on total air volumes, percent of outdoor fresh air. If possible, get direct readings in ducts. (16) Does facility have energy management system (EMS) that will minimize fresh outdoor air intake, duty cycling, HVAC turnback.'? (17) Return air. Note if ducted or open plenum above ceiling or combination. (18) Air conditioning systems. Note cooling towers or air cooling for condensers, condensate drainage, puddling on roof top. (19) Look for blocked-off ducts, air intakes, and exhausts. (20) Identify duct types, construction-fiberglass, metal, etc. (21) Does HVAC system have humidification system? What type and location? (22) Any smoking lounges? Determine exhaust and supply air flow rates. Determine exhaust locations. (23) Identify if HVAC system is constant air volume (CAV) or variable air volume (VAV), and determine minimum damper settings of VAV boxes. (24) Evaluate condition of any insulation material in mix box and ductwork for integrity, dirt, and microbials. (25) Observe heat exchanges for dirt accumulation. (26) Observe condition of drip pan, i.e., water drainage, deposits, biological growth, etc. Designing and Maintaining a Healthy Building A healthy indoor environment is one with which the surroundings contribute to productivity, comfort, and a sense of health and well being; the indoor air is free from significant levels of odors, dust, and contaminants and circulates to prevent stuffiness, without creating drafts; temperature and humidity are appropriate for the season and to the clothing and activity of the building occupants; there is enough light to illuminate work surfaces without creating glare; and noise from building systems does not interfere with occupant activities. A healthy building environment enhances occupant health, comfort, and workplace productivity. Designing a healthy building requires a coordinated effort among architects, engineers, safety and health professionals, and interior designers. Generally, a site plan begins the design process. Identification of major outdoor sources of pollutants in the vicinity of the building site and prevailing winds must be considered to allow for correct placement and orientation of air intakes and exhausts. Outside air intakes should not be
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positioned at ground level or near adverse sources (i.e., loading docks, parking structures, exhausts, or cooling towers). Along with addressing these issues during the site planning phase, architects must also select base building materials. They should examine the manufacturers' material safety data sheets and specify lowemitting products to minimize indoor air pollutants. Interior designers should also examine safety data sheets and request that manufacturers provide information on curing, drying and airing procedures for their products to minimize subsequent emission rates of finish materials. Consideration should be given to the use of materials and products, such as carpets, adhesives, air filters, HVAC coatings, resinous floors, ceiling tiles, paints, manufactured with low toxic anti-microbial inhibitors. Specifying products with a durable, broadspectrum anti-microbial will enhance the quality of the indoor air, however they must be registered for use by the EPA. From "a total systems standpoint," the interior designer should also be concerned with the maintainability and durability of interior finishes as well as be concerned with the effect furniture will have on HVAC distribution. This is necessary so that office partitions do not impede the effectiveness of the ventilation system. Engineers' considerations at the design stage include tappropraite HVAC selection and controls, ventilation quantity and quality, air-filtration specifications, effectiveness of air distribution, and provisions for system maintenance. It is important to note that creativity at the design stage of a building can produce energy savings that easily offset increases in ventilation energy. Improvements in building envelope materials, lighting, HVAC and fan efficiencies, and controls create the opportunity for substantial reductions in energy requirements with little or no increase in initial (first) cost. New technologies for energy recovery are also available, such as the use of heat transfer technology for HVAC systems where energy is reclaimed from exhaust air before it exits and transferred to the supply air. Addressing IAQ issues and integrating them into the design and product systems of a building can have a positive impact on IAQ as long as the maintenance systems are considered. Even a building utilizing proper design and superior interior products; must be maintained by well trained and adequately equipped staff. The commitment to address IAQ problems should also include the building owner and property managers. The building owner and property manager have the authority to see that an IAQ management program is articulated and carried out, the ability to identify staff with skills that enable them to react promptly and effectively to complaints, and the incentive to initiate a program that will prevent indoor air problems in the future. Facilities staff should be integrated into the program via appropriate IAQ training and education for they are in a position to notice malfunctioning equipment or accidental events that could produce IAQ problems. They can play a critical role in identifying problem situations and averting IAQ crises. On the other hand, if staff are not aware of IAQ issues, their activities can also create IAQ problems. In the past the facility staff was often instructed to keep energy costs to a minimum. Changes in building operation, intended to save energy, have sometimes contributed to IAQ problems (for example, reducing the flow of outdoor ventilation air without taking action to maintain the quality of the recirculated air). Attempting to limit operating costs by reducing ventilation or not changing out dirty filters can be a false economy, if it leads to problems such as increased occupant complaints, reduced productivity, and absenteeism. It is important to note that not all buildings suffer from IAQ problems. Often, in fact, complaints about poor IAQ can be attributed to other factors. As reviewed, thermal comfort is among the many factors that affect an individual's perception of the indoor environment. Noise, lighting, ergonomic stressors (work station and task design), and job-related psychosocial stressors also can contribute to the complaints, which are obviously unrelated to the quality of the air. These problems are addressed when a total systems approach is adopted. The final component of a total systems approach is to perform and document regular maintenance activities and preventive maintenance along with conducting an initial investigation or a self-audit of the building for common indoor air pollution problems. The goal of an initial IAQ investigation should be to identify areas that have the most significant impact on IAQ. If potential problems or problems are identified, modifications can be made before they cause occupant discomfort. When faced with an IAQ problem, perhaps the worst thing a building owner or manager can do is nothing. It is important to communicate with occupants and establish an open dialogue with them on IAQ issues. The manager should be responsive to any complaints or concerns that are raised by occupants regarding odors, particulates, room temperature, or overall comfort. Any IAQ complaints should be investigated, and if necessary, a qualified IAQ professional consulted. Complete documentation of action should be kept of any efforts undertaken in responding to the alleged problem. The quality of indoor air reflects directly on the ability of the building management community to compete in the marketplace. Good IAQ is both in demand and close to becoming mandated. Occupants expect the environment to foster productivity by providing comfortable safe surroundings that ehance the healing environment which is the essence of a health care facility. Good IAQ simply assures occupant health and well-being thus fosters productivity, protection, and risk management. References ASHRAE Fundamentals Handbook, Chapter 7. Health Care Facilities. American Society for Heating, refrigeration, and Air-conditioning Engineers, Inc., 1995. ASHRAE Standard 62-1989. Ventilation for Acceptable Indoor Air Quality. American Society for Heating, refrigeration, and Air-conditioning Engineers, Inc., 1989. Berg, Arthur D. The Facility Manager's Proactive Approach to IAQ. AIPE Facilities, Nov./Dec. 1994. Building Air Quality: A Guide for Building Owners and Facility Managers. U.S. Environmental Protection Agency abd the National Institute for Occupational Safety and Health, Dec. 1991.
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Guidelines for Construction and Equipment of Hospital and Medical Facilities, 1992.1993. The American Institute of Architects, U.S. Department of Health and Human Services, The American Institute of Architects Press, 1993. Guidelines for Preventing the Tranmission of Mycobacterium Tuberculosis in Health Care Facilities, 1994. Department of Health and Human Services, Centers for Disease Control and Prevention; Oct. 28, 1994 (59 FR 54242). Gill, Kenneth E., and Wozniak, Alan L. Hospital Gets IAQ Checkup. Heating, Piping, Air Conditioning, Aug. 1993. Indoor Air Pollution: An Introduction for Health Professionals. American Lung Association, American Medical Association, U.S. Consumer Product Safety Commission, U.S. Environmental Protection Agency; United States Government Printing Office, 1994. Indoor Air Pollution - A Health Perspective. J.M. Samet and J.D. Spengler; Johns Hopkins University Press, 1991. Indoor Air Quality and HVAC Systems. David W. Bearg, Lewis Publishers, 1993. Indoor Air Quality Workbook. D. Jeff Burton, IVE Inc., 1990. Introduction to Indoor Air Quality: A Reference Manual U.S. EPA, Office of Air And Remediation, July 1991. Indoor Air Quality: Proposed Rule. Department of Labor-Occupational Safety and Health Adminstration; April 5, 1994 (59 FR 15968). Managing Indoor Air Quality. Shirley J. Hansen. The Farimont Press, Inc., 1991. NFPA 90A-93: Standard for the Installation of Air conditioning and Ventilation Systems. National Fire Protection Agency, Quincy MA; 1993. NFPA 92A-93: Reccomended Practice for Smoke-Control Systems. National Fire Protection Agency, Quincy MA; 1993. NFPA 99-93: Standard for Health care Facilities. National Fire Protection Agency, Quincy MA; 1993. NFPA 101-94: Life Safety Code. National Fire Protection Agency, Quincy MA; 1994. Scarry, Robert L. Looking into Sick Buildings. Heating, Piping, Air Conditioning, July 1994. The Work Environment: Indoor Health Hazards. Doan J. Hanson (Editor), CRC Press, Inc., 1994. Washington State Ventilation and Indoor Air Quality Code, Chapter 51-13 WAC. Washington State Building Code Council. About the Authors A. Robert Turk Robert Turk is a senior industrial hygienist, and currently Manager of Healthcare Regulatory Affairs in the North American corporate office of Landis & Gyr. Robert is responsible for healthcare risk management and regulatory compliance as it relates to health, safety and environmental management. He provides technical, compliance and quality improvement assistance to over 100 field offices as well as 1,200 healthcare facilities across North America. Prior to joining Landis & Gyr, Robert previously served as an Industrial Hygienist for the National Institute for Occupational Safety and Health (NIOSH) in the Division of Respiratory Disease Research where he developed health protocols for clinical respiratory diseases and indoor environmental air quality. He most recently held the position of Director of Environmental Health and Occupational Safety for the American Hospital Association (AHA) and the American Society for Hospital Engineering (ASHE) in Chicago; where he was responsible for the federal legislative and regulatory advocacy efforts. He also advised and provided counsel to member healthcare facilities regarding regulatory requirements, management programs and compliance assurance. Robert works closely with OSHA, EPA, JCAHO, NFPA, ASHRAE, AIHA, ACGIH, NIOSH, and CDC in guideline drafting and regulatory development. He is an active member of such affiliates as the American Industrial Hygiene Association, American Society of Safety Engineers and the American Public Health Association; among other professional societies and technical committees. He has appeared in national video teleconferences concerning legislative and regulatory compliance, authored numerous publications and is a frequent speaker and trainer in the field of healthcare compliance and safety and environmental management. E. Michael Poulakos Mike Poulakos is a Principal Applications Engineer and is currently Landis & Gyr's Applications Consultant for Healthcare in the North American corporate office of Landis & Gyr. Mike provides healthcare application and quality assurance support to more than 100 Landis & Gyr field offices. Mike's experience at Landis & Gyr spans a carreer of over 18 years. He has held numerous technical and management positions in Engineering and Services. He has authored internal Landis & Gyr documents identifying customer needs and regulatory requirements for Healthcare products and services. Most recently, he is managing the development of computerized reports to meet the regulatory requirements of the Healthcare industry. Mike works closely with the OSHA, NFPA, JCAHO and ASHRAE. in standards development. He is an active member of ASHE, among other professional societies and technical committees. Mike's education includes bachelors degrees in Electrical Engineering and Computer Science from the University of Illinois (Champaign-Urbana) and an MBA from DePaul University concentrating on the gathering and analysis of business information.
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Chapter 16 Improved Building Operation Through the Use of Continuous Multi-Point Monitoring of Carbon Dioxide and Dew Point D.W. Bearg Abstract The continuous multi-point monitoring of carbon dioxide and humidity provides information on how a building's ventilation system is actually performing. This information decreases the uncertainty in the operation of the HVAC system, and thereby improves the management of the building. This improved management of the building provides a major step towards the achievement Sustainable Performance, where operational setpoints of performance for the ventilation system can be maintained over time, despite changes that might occur in the use or condition of the building. Historically, the emphasis on performance of HVAC systems has related only to the achievement of temperature control and energy conservation. What is also needed however, is the ability to evaluate and document the performance of HVAC systems in terms of both the effectiveness of moisture control and the amount of ventilation being provided. Introduction One approach for achieving this improved understanding of the performance of HVAC systems is by the use of multi-point monitoring of absolute humidity and carbon dioxide concentrations, as part of a three phase HVAC management plan. The first phase of this plan focuses on the documentation of baseline HVAC performance conditions. It assesses the performance of the HVAC system in terms of adequacy of ventilation quantities in selected zones, and the relationship between occupancy distribution and supply air distribution. This phase can therefore provide identification of system-related problems due to its ability to provide continuous proactive diagnostic information. The second phase of this process includes the design and implementation of a remedial program to address any system deficiencies that were identified in Phase 1. Examples include rebalancing of the supply air allocation to reflect the actual distribution of people in the building, or the correction of pressure imbalances that periodically cause the outdoor air intake to function as a building exhaust. The third and final phase involves the establishment of an interactive IAQ/Energy Program, where the quantities of outdoor air delivered can be controlled to match actual occupancy patterns. This effective management approach can therefore document the achievement of desired quantities of outdoor air ventilation, without incurring unnecessary energy costs due to overventilation. There is currently a need for building operators to more easily know exactly how much outdoor air is actually being delivered to the occupants in a building. There are several reasons why it is difficult to obtain this important information. Some of these reasons are listed by Warden 16, who points out that most current HVAC systems have no provisions for measuring OA intake and depend upon damper position limits set when the building is commissioned. Difficulties with this are:
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The dampers are difficult to set up and to reposition with accuracy; There is no feedback if the dampers fail or are out of adjustment; The correct damper position depends upon supply air volume (a particular problem with VAV systems); and Flow is affected by both wind and stack effect. It should also be noted that actual quantity of outdoor air drawn in at the outdoor air dampers is as much, if not more, a function of the pressure differential across the dampers than it is of the damper setting. I have observed outdoor air dampers that were "closed", yet were providing 20% outdoor because of the combination of leaky dampers and a pressure drop of 250 Pascals (1.0" w.c.). Conversely, I have also observed outdoor air dampers that were fully opened and yet were not drawing in any outdoor air because is was functioning as a building exhaust. This condition was caused by building-wide pressure imbalances and the infiltration of outdoor air at the lower levels of the building. While attempts are being made to continuously quantify the amount of outdoor air being drawn into the HVAC system, either by means of a flow station, or based on the percentage of outdoor air as calculated from an apportionment among temperature or carbon dioxide concentration of the return air, outdoor air, and mixed air streams, none of these approaches addresses the issue of how much of this air actually gets delivered to the building's occupants. The solution to this problem of lack of information on the performance of the ventilation system can be overcome by the use of continuous multi-point monitoring of carbon dioxide concentrations and dew point temperatures. The combination of these two measurements not only can provide for the automated evaluation and control of ventilation systems, they can also provide for the automated evaluation of humidification and dehumidification systems. Because the information generated by this type of system provides a continuous assessment of the performance of the ventilation system, it can be considered as a component in achieving Sustainable Performance for the building. Automated Evaluation of Ventilation There are several components of the ventilation system that can be evaluated from the data generated by a continuous, multi-point carbon dioxide monitoring system. The specific categories of information provided can be summarized as follows: Evaluation of the overall adequacy of the quantity of outdoor air delivered. Evaluation of the adequacy of the outdoor air distribution within the building Evaluation of the duration of the operation of the ventilation system Identification of leakage of outdoor air at the building periphery Identification of leakage of supply air into the return plenum Identification of contamination of outdoor air at the outdoor air intake Generation of historical log of system performance For each of these categories of proactive evaluations, the specific details of their importance are presented and discussed in this section. Adequacy of the Quantity of Outdoor Air Delivered The evaluation of the overall adequacy of the quantity of outdoor air delivered to the building occupants can be determined by examination of the peak values of carbon dioxide (CO2) concentrations measured for the occupied locations. The ability to evaluate the actual amount of ventilation being provided in the occupied zone of the building occupants is incredibly important because it eliminates all of the uncertainty associated with how much outdoor air is drawn into the HVAC system, and how much gets lost due to system inefficiencies. The quantity of outdoor air drawn into the building is a function of both the position of the outdoor air dampers and the pressure differential across these dampers. Another potential ventilation-related problem that can be dealt with very effectively by the use of DCV based controls is for variable air volume (VAV) systems. With VAV systems, the total volume of supply air delivered varies in response to the changes in heating and cooling loads in the building, and therefore the minimum amount of ventilation will correspondingly need to vary as a percentage of this supply air. For instance, a comparison can be made for a building on a sunny
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versus cloudy day. On the very sunny day, the contribution of the solar gain could result in a large cooling load on parts, or most, of the building. This situation could result in a near maximum value for the supply air quantity. Under these conditions, the necessary minimum outdoor air requirement may only need to be 15% of the total supply air quantity. In contrast, on an overcast day, the supply air quantity, would probably throttle way back, perhaps to as little as 50% of that delivered on the sunny day. Under these conditions, the necessary minimum outdoor air requirement would now need to increase to 30% of the total supply air quantity. For this type of situation, DCV provides a straightforward approach for generating the information necessary for achieving the appropriate minimum quantities of outdoor air. Adequacy of the Distribution Within the Building The evaluation of the adequacy of the outdoor air distribution within the building can identify situations where the distribution of the ventilation air does not match the actual distribution of the people within a given HVAC zone. This distribution inefficiency will be reflected in differences in the rate of increase and peak values of the CO2 concentrations. Areas receiving less ventilation air per person than other areas in the building will reflect this fact by exhibiting CO2 plots that rise more steeply and reach higher peaks than the other areas. If a review of several weeks of data indicates that this is a consistent trend in daily plots of CO2 concentrations, then this would suggest the need for system rebalancing. If a decision is made to rebalance this system, then these daily plots could also assess the effectiveness of the efforts performed to eliminate this unequal distribution. This source of evaluation information would therefore indicate when the redistribution efforts were adequate. This feature of continuous monitoring is particularly useful in buildings where there are periodic redeployments of personnel throughout the building. Duration of the Operation of the Ventilation System The duration of operation of a ventilation is important because if it is not operated long enough, it will not have purged the building of the air contaminants from the previous day's occupancy. While there is no requirement as such, it can be argued it represents ''Good Engineering Practice'' for a building's ventilation system to be operated long enough such that the air contaminants from a previous day's occupancy have been completely eliminated by the following day. Checking whether this goal is being achieved is easy by reviewing the daily logs generated by a sophisticated DCV system. That is, if the ventilation system has not been operated sufficiently long enough to have purged the building of the previous days accumulated air contaminants, then the early morning indoor CO2 concentrations will be higher that the simultaneous outdoor values. Conversely, if the duration of ventilation has achieved this goal, then this early morning, preoccupancy values will be the same as the outdoor values. Similarly, if the indoor levels of CO2 have dropped down to be the same as outdoor levels by 10:00 p.m., this would suggest either a leaky building or the possibility that the ventilation system is being operated more than is necessary. Leakage of Outdoor Air at the Building Periphery Buildings can leak in many ways. This type of problem represents a loss of control over the introduction of outdoor air into the building. This problem is especially important in humid climates because the moisture load introduced by this uncontrolled introduction of outdoor air can exceed the dehumidification capacity of the installed HVAC equipment, and can therefore by a major contributing cause of indoor microbial growth in the building. In all climates, this uncontrolled introduction of outdoor air can cause problems due to excess energy costs, or complaints of poor filtration or thermal control. The leakage of outdoor air into a building can occur either where the return plenum comes in contact with the exterior of the building, or at any leakage site in the building envelope. For leakage directly into the return plenum, this can be attributed to the presence of leakage sites in the building envelope, because the return plenum will be at a negative pressure with respect both the occupied spaces and the outdoors. If this condition is occurring, then its existence will be reflected in the data generated by the continuous measurement of CO2 and dew point. Specifically, the CO2 concentration measured in the return air to the air handling unit (AHU) will be less than the average of the spaces it is drawing its return air from. Similarly, the dew point temperature at this location will also reflect the presence of the uncontrolled leakage of the outdoor air into the return plenum. For instance, if it is more humid outdoors than indoors, due to the dehumidification by the HVAC system, then the return air measurement will display a higher dew point temperature than the
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occupied spaces it is serving. If infiltration is occurring at the building's doors and other opening to the outdoors, then the ventilation system is not adequately performing its function of pressurizing the occupied spaces with respect to the outdoors. As with the undesirable situation where there is leakage into the return plenum, the existence of this condition will be reflected in the data generated by the continuous measurement of CO2 and dew point. Specifically, the CO2 concentration measured in the peripheral locations of the building will be less than the concentration in the supply air to those locations Similarly, the dew point temperature at these locations will also reflect the presence of the uncontrolled leakage of the outdoor air into the return plenum. For instance, if it is more humid outdoors than indoors, due to the dehumidification by the HVAC system, then the return air measurements in these locations will display a higher dew point temperature than the other occupied spaces in the building. Pressure imbalances in buildings can be so severe that not only is there infiltration at the lower levels of the building, but the pressure differential across the outdoor air dampers can also be effected. There are some buildings where the control of pressures is so poor that the outdoor air opening is functioning as a building exhaust instead of the source of outdoor air into the building. For this to occur, outdoor air will still be entering the building, just at other locations, typically at penetrations in the building envelope at lower portions of the structure. This situation is not indicative of good management of building ventilation systems. The periodic occurrence of this type of pressure imbalance would become readily apparent in a review of daily CO2 logs because a comparison of supply air and return air values would have the supply air value equal to the return air value, instead of being lower than the return air value. Leakage of Supply Air Into the Return Plenum Another problem related to leakage in building systems is the leakage of supply air directly into the return plenum, without actually getting delivered to the building's occupants. This type of system deficiency can also be identified by comparing the CO2 concentration values in the return air with those of the occupied spaces served by this AHU. In a properly functioning system, the return air CO2 value will represent an average of the values for the spaces it is drawing air from. While this diagnostic indicator will be similar to the situation where there is leakage of outdoor air directly into the return plenum, the presence of the supply air leakage condition will be reflected in a comparison of dew point temperatures. That is, the return plenum absolute humidity will more closely resemble that of the supply air, than that of the occupied spaces it is drawing air from. Contamination at the Outdoor Air Intake Outdoor air intakes, by nature of the fact that they draw outdoor air into buildings, are at risk of drawing in air contaminants of outdoor origin. Also, if these air contaminants are delivered into a building they will persist longer than they would outdoors. Even at a ventilation rate of 1.0 air change per hour, the time required to reduce the concentration by one half, in a well-mixed space, is over 40 minutes. Even after two hours, over 12% of these air contaminants would still be present indoors. A more detailed discussion of this issue is discussed by Ekberg 2, where he mentions the approach of reducing the outdoor air change rate during periods with peak outdoor contaminant concentrations. The ability to evaluate the frequency and magnitude of this type of impact therefore becomes important in terms of sustainable effective building management. This information becomes readily available from the information provided by the continuous, multipoint monitoring of CO2 concentrations at locations including outdoor air intakes. Once again, if a problem is determined to be serious enough to require mitigation, then the effectiveness of these modifications can be assessed by an ongoing review of daily CO2 plots. Generation of Historical Log of System Performance Another benefit of the continuous monitoring of CO2 and dew point is its ability to automatically provide daily records of the these parameters at each of the multiple sampling locations of the building. These daily logs of CO2 concentrations and dew point temperatures permit trend analyses to be performed to establish and document baseline performance characteristics. In the event of a change in system performance, this difference will become readily apparent from a review of the daily ventilation plots. Evaluation and corrective measures can then be undertaken promptly. This scenario differs significantly from the way ventilation problems are usually discovered. More typically, evaluation and mitigation efforts are only mobilized in response to
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complaints from concerned employees or tenants. By the time there are complaints, it can be assumed that there has already been a loss in productivity and morale among the employees. If is far better if any system malfunctions can be identified almost as quickly as they happen, so it is the building operators that know about them first and not last. Automated Control of Ventilation Controlling the minimum quantity of outdoor air delivered to the occupied spaces in a building represents and opportunity to achieve a balance between satisfying the requirements of achieving good indoor air quality as well as minimizing energy consumption. As pointed out by ASHRAE 3, CO2 measurements can be used to control the flow of outdoor air to match the number of occupants in a space. This concept is also referred to as Demand-Controlled Ventilation (DCV). The ability to match the amount of ventilation being provided to the actual number of people present is important for several reasons. In its simplest form, DCV can monitor one component of indoor air, such as carbon dioxide (CO2) concentrations, which it uses as an indicator for occupancy. This information can then be used to automatically export a signal to modulate outdoor air dampers to adjust the amount of ventilation to correspond to the actual occupancy. If just CO: concentrations are used for this control logic, then this approach should only be used in applications where people are the predominant source of air contaminants. This situation will be come more and more commonplace as the efforts of "green architecture" become more effective in reducing and eliminating products that offgas chemicals with odorous and irritating properties. Ultimately, when there are no outdoor sources and both the HVAC system and the furnishings in a building are no longer sources of air contaminants, the only source remaining will be the people in the building. As a note of caution however. it needs to be remembered that the achievement of minimum ventilation rates in a building is a necessary but insufficient condition for the achievement of good IAQ. The presence of strong sources of air contaminants, such as microbial amplification occurring due to standing water in a condensate drain pan or due to interior flooding, will degrade IAQ despite the delivery of what would be considered generous quantities of outdoor air for ventilation. There are two key advantages of a DCV application where the amount of ventilation is based on actual occupancy. This approach can not only automatically provide for the delivery of maximum amounts of ventilation during intervals of maximum occupancy, but it can also achieve energy savings during intervals of reduced, or minimal occupancy, by eliminating costs due to excess ventilation. This approach can be especially useful in buildings or spaces where the number of people present can vary significantly over time. Examples of this type of situation include auditoriums, retail stores, meeting rooms, conference halls, and airports. However, even if the same number of people show up at the same time everyday and leave at the same time everyday, there are still important benefits in using a DCV system. This is because DCV can eliminate the guess work in the establishing the minimum position for the outdoor air damper. Even for this hypothetical building, as it is with most buildings, the positioning of this damper was probably based on someone's guess as to how much of an opening is required to bring in the appropriate quantity of outdoor air in order to achieve the minimum ventilation requirements for how many people might be in the building. Clearly, there is a lot of uncertainty involved in this process. Another compounding variable relates to the fact that the actual quantity of outdoor air drawn into the AHU is a function of the pressure differential across the dampers, as well as the net open area between the dampers. Even in buildings where there is a flow measuring device present, this device will not be able to determine if the quantity of outdoor air drawn into the hvac system is actually delivered to where the people are located. Also, in my experience, flow measuring devices in the outdoor air stream frequently become clogged with dirt and lose their effectiveness over time. In addition, temperaturebased calculations to determine the percentage of outdoor air in the supply air, based on adiabatic mixing of the return air and outdoor air streams have very large errors associated with them. This is because of the difficulty of accurately determining what the mixed air temperature actually is, due to poor mixing between the two airstreams of usually differing densities. The consequence of all these uncertainties in the setting of the minimum outdoor air setting is the risk of poor building management; an incorrect setting could easily result in too little or too much ventilation. The first situation contributes to degraded IAQ, and the second situation causes wasted energy. These potential problems are overcome with DCV because the builds up
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of CO2 concentrations in the occupied spaces are a direct reflection of the interaction between the number of people in the space and the quantity of ventilation air being delivered to those people. Evaluation of Humidification Humidification systems are by their very nature high maintenance systems, with many components that all need to be working perfectly if the desired humidity set points are to be achieved. Typically there is a humidity controller in the return ductwork from the space being humidified. This sensor/controller senses the humidity in the air leaving the space in question and sends a signal to increase or decrease the quantity of moisture added to the supply air to this location, typically in the form of steam. This system may not maintain the desired set point over time because of such problems as the sensor/controller going out of calibration, or a clogging or malfunction of the steam generation system. Conclusions The continuous, multi-point monitoring of carbon dioxide concentrations and dew point temperatures can create a data acquisition and management system that will help achieve improved management of the operation of ventilation systems. This improved management of the building provides a major step towards the achievement Sustainable Performance, where operational set points of performance for the ventilation system can be maintained over time despite changes that might occur in the use or condition of the building, References 1 Warden, D. Outdoor Air: Calculation and Delivery. ASHRAE Journal June 1995, 54-63. 2 Ekberg, Lars E. Outdoor Air Contaminants and Indoor Air Quality under Transient Conditions. Indoor Air, 4(3), 189-196, 1994. 3 American Society of Heating, Refrigerating and Air-Conditioning Engineers, Inc. 1995 ASHRAE HANDBOOK: Heating, Ventilating, and Air Conditioning APPLICATIONS. page 36.16.
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Chapter 17 Ventilation Or Filtration? the Use of Gas-Phase Air Filtration for Compliance with Asrae Standard 62 C.O. Muller Abstract ASHRAE Standard 62, in its current form, employs two procedures to provide acceptable indoor air quality (IAQ) in buildings. These are the Ventilation Rate and Indoor Air Quality (IAQ) Procedures. This standard further endeavors to achieve the necessary balance between IAQ and energy consumption by specifying minimum ventilation rates and IAQ that will be acceptable to human occupants. The Ventilation Rate Procedure provides only an indirect solution for the control of indoor contaminants. While it does allow for the use of cleaned, recirculated air, it does not allow the use of this air to reduce the amount of outdoor air specified in the standard. If this air is to be used to reduce the amount of outdoor air required, or for the implementation of energy conservation measures, the IAQ Procedure must be used. The IAQ Procedure provides a direct solution by reducing and controlling the concentrations of air contaminants, through air cleaning, to specified levels. This procedure allows for both quantitative and subjective evaluation of the effectiveness of the air cleaning method(s) employed. The standard acknowledges that air cleaning, along with recirculation, is an effective means for controlling contaminants when using the IAQ Procedure. Employing this procedure allows the amount of outside ventilation air to be reduced below standard levels if it can be demonstrated that the resulting air quality meets the required criteria. More buildings are using, or will be using, gas-phase air filtration as part of their overall design for providing and maintaining acceptable IAQ. This trend is being seen in retrofit applications as well as new construction. Among the driving forces behind this are the increased awareness of people to their environment and how it may affect their well-being, legislative actions which are in effect or have been proposed, and, of course, that members of the legal community litigating complaints of sick building syndrome (SBS) and building-related illness (BRI). This paper will focus on the use of gas-phase air filtration for compliance with ASHRAE Standard 62 by using the IAQ Procedure. It will cover the requirements of using this procedure, the information required, and will describe several projects where this procedure was successfully used to realize both acceptable IAQ and energy savings. Key Words: adsorption, ASHRAE Standard 62-1989, chemisorption, dry-scrubbing media, energy conservation, gas-phase air filtration, granular activated carbon (GAC), indoor air quality (IAQ), potassium permanganate-impregnated alumina (PIA). Forward The American Society of Heating, Refrigeration and Air-Conditioning Engineers (ASHRAE) first ventilation standard was ASHRAE Standard 62-73. Under the normal five year review cycle the Standard was revised to ASHRAE 62-1981. In the light of rapidly changing technology, ASHRAE 62-1989, "Ventilation for Acceptable Indoor Air Quality" was approved by the ASHRAE Standards Committee on March 1, 1989 and approved by the Board of Directors on June 29, 1989. The purpose of the Standard is to specify minimum ventilation rates and indoor air quality that will be acceptable to human occupants and are intended to override adverse health effects. Introduction It is assumed that the "best" air is that which is of naturally occurring composition in the absence of any effects of man or manmade processes and in the absence of any natural pollutants. Thus, an idealized air pollution control strategy would attempt to achieve the naturally occurring composition of the air and to remove all pollutants. This is not saying that this level of pollution control is necessary, feasible, or even desirable; rather, that if one could achieve this objective, there would be no further way to improve the air quality. 1 Indoor air quality (IAQ) is a function of many parameters - including outdoor air quality and the presence of internal sources of contaminants. Indoor air should not contain contaminants in concentrations known to cause discomfort or adverse health effects to occupants. Such contaminants include various gases, vapors and smoke. These may be present in the makeup air or be introduced through indoor activities, by building materials and furnishings, surface coatings, and even the human occupants themselves.
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An important challenge facing today's engineers is how to improve IAQ while, at the same time, reducing their buildings' energy consumption. 2 Historically, as energy conservation measures have been implemented, and energy consumption has decreased, IAQ has suffered. And with the ever-increasing public awareness to IAQ issues, pending IAQ legislation, and the ever-present threat of litigation3,4 this one-sided trade off is no longer acceptable. Fortunately, ventilation standards and mechanical codes have evolved to the point that those currently in place allow building designers/engineers the opportunity to address both IAQ and energy conservation. Paralleling this evolution, air cleaning technologies have similarly developed to the point that they may be used in conjunction with these standards to provide healthy, comfortable indoor environments while continuing to conserve energy. Ashrae Standard 62-1989 Prior to the 1960's, the primary concern with regards to IAQ was human comfort. Indoor contaminants were mostly occupant-generated (i.e., body odors, tobacco smoke). Since then, building interiors have been equipped with synthetic furnishings and materials which generate various pollutants, especially significant levels of VOCs. This, coupled with the energy conservation measures implemented in the 1970's, created indoor environments that were, at times, hazardous to human health.5 One of the first attempts to establish methods of providing acceptable Indoor Air Quality was ASHRAE's Standard 62-73, "Standard for Natural and Mechanical Ventilation."6 This standard provided a prescriptive approach to ventilation by specifying both minimum and recommended outdoor air flow rates to obtain acceptable Indoor Air Quality for a variety of indoor applications. The revised Standard 62-1981, "Ventilation for Acceptable Indoor Air Quality,"7 recommended outdoor air flow rates for smoking and nonsmoking conditions in most occupied spaces. This standard also offered an alternative air quality procedure to allow for the use of innovative energy conservation practices. This procedure allowed for the use of whatever amount of outside air deemed necessary if it could be shown that the levels of indoor air contaminants could be maintained below recommended limits. The purpose of Standard 62-1981 was "... to specify minimum ventilation rates and indoor air quality which will be acceptable to human occupants and are intended to minimize the potential for adverse health effects." Acceptable air quality was based upon the premise that "... 80% or more of the people exposed do not express dissatisfaction." In addition, acceptable air quality must not contain "known contaminants at harmful concentrations as determined by cognizant authorities." The key words in this definition are "people exposed.'' Whom are the ''people exposed" in a particular situation? Are the occupants of a space transient and what is the duration of the "exposure?" The standard in current form, Standard 62-19898, retains these two procedures for ventilation design, i.e., the Ventilation Rate and the Indoor Air Quality Procedures. This standard endeavors to achieve the necessary balance between energy consumption and Indoor Air Quality by specifying minimum ventilation rates and Indoor Air Quality that will be acceptable to human occupants. The classification section (section 4) describes these two alternative procedures specified for obtaining and maintaining acceptable Indoor Air Quality. These two procedures are the heart of the new Standard. They approach the Indoor Air Quality problem from different perspectives. The Ventilation Rate Procedure defines the rate at which ventilation air must be delivered to a space, as well as various approaches to conditioning that incoming air. By contrast, the Indoor Air Quality Procedure requires the calculation of the concentration of contaminants of concern in the indoor air, and limiting those contaminants to acceptable levels through dilution by ventilation or filtration. The Ventilation Rate Procedure establishes: the minimum outdoor air quality acceptable for use in ventilation systems, outdoor air treatment when necessary, ventilation rates for residential, commercial, institutional, vehicular, and industrial space, criteria for reduction of outdoor air quantities when recirculated air is treated by contaminant removal equipment, criteria for variable ventilation when the air volume In the space can be used as a reservoir to dilute contaminants. It goes on to state that if the outdoor air contaminant levels exceed those listed in the Ambient Air Quality Standards, this air must be treated to control the offending contaminants. For the removal of gases and vapors, appropriate air-cleaning systems should be used. Properly cleaned air may be used for recirculation. The above procedure provides only an indirect solution for the control of indoor contaminants. While it does allow for the use of cleaned, recirculated air, it does not allow using this air to reduce the amount of outdoor air specified in the standard. If this air is to be used to reduce the amount of outdoor air required, or for the implementation of energy conservation measures, the Indoor Air Quality (IAQ) Procedure must be used. The IAQ Procedure provides a direct solution by reducing and controlling the concentrations of contaminants, through air cleaning, to specified acceptable levels. This procedure allows for both quantitative and subjective evaluation of the effectiveness of the air cleaning method(s) employed. The standard acknowledges that air-cleaning, along with recirculation, is an effective means for controlling contaminants when using the IAQ Procedure. Employing this procedure allows the amount of outside ventilation air to be reduced below standard levels if it can be demonstrated that the resulting air quality meets the required criteria. It was stated earlier that this standard tries to achieve a balance between energy consumption and IAQ. Whereas the Ventilation Rate Procedure focuses primarily on assuring acceptable IAQ, the IAQ Procedure is intended to provide a way to reduce HVAC system operating costs while still providing a healthy environment. The public's increased awareness towards IAQ-related issues and their demand to be able to work in a healthy environment, along with building owners and managers desires to keep energy consumption to a minimum, has fostered a growing need for economical and effective solutions. One of these solutions has been the use of air filtration
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systems. This mitigation measure can provide results similar to those expected through ventilation, i.e. the reduction of airborne contaminant levels. Air filtration can be applied for the reduction of particulate matter, gaseous contaminants, or both. It is the use of air filtration systems for the control of gaseous contaminants which will be the primary focus of the rest of this discussion. Air Filtration Technology To understand and appreciate what air filtering systems can and cannot accomplish, one must look at the contaminants to be controlled. Airborne contaminants are divided into three basic types: liquids, solids (particulates), and gases. These contaminants come in a multitude of particle and molecular diameters. Liquid contamination can be most commonly found in the form of vapors and aerosols (i.e.; printing inks, paints, spray cleaners, air fresheners, fungicides, humidifiers), with typical size distribution in the range of 1 to 9 microns. 9 Common solid or particulate contaminants are tobacco smoke, paper and atmospheric dust, asbestos and fibrous particles, and viable particulate matter (e.g.; pollen, bacteria, fungal and plant spores, and viruses). Size distributions for particulate matter typically range from 0.003 to 100 microns. In contrast, gaseous contaminants, such as carbon monoxide and dioxide (CO and CO2 ), nitrogen oxides (NOx), formaldehyde (HCHO), ozone (O3), ammonia (NH3), tobacco smoke components, and volatile organic compounds, typically range in size from 0.003 to 0.006 microns.8 The most common technologies available to deal with the above sources of contamination are particle removal filtration, such as mechanical filters and electronic air cleaners, and gas-phase, or dry-scrubbing, air filtration. Particulate Filtration Filters, made of cellulose, fabric, and glass fiber, are the most common types used for particle removal. However, since a majority of indoor air contaminants are submicron in size, it is not surprising that most particulate filter systems, while able to provide basic cleanliness, are mostly ineffective (with the exception of highefficiency particulate air (HEPA) filtration). Some air cleaners use the principles of electrostatic precipitation which basically charge particles and capture them on oppositely-charged collecting plates. They are fairly efficient against submicron-sized particles but require regular cleaning. Also, these devices, if not installed and maintained properly, may produce ozone, an unwanted and unwelcome chemical irritant.9 Other types of electronic air cleaners use ionization to positively or negatively charge fine airborne particulates, purportedly making them easier to filter by causing agglomeration into larger particles. Gas-Phase Air Filtration The indoor and outdoor environments differ significantly in both the types and levels of gaseous contaminants common to both.10,11,12,13,14,15,16 ,Contaminants with sources predominantly outdoors include sulfur dioxide (SO2), nitrogen dioxide (NO2), ozone (O3), and a number of volatile organic compounds (VOC's). Contaminants generated primarily from indoor sources include CO2, formaldehyde (HCHO), ammonia (NH3), acrolein, and a variety of organic chemicals. Gas-phase air filters based on adsorption and/or chemisorption are available in a variety of commercial designs - usually as packed-bed media filters where the dry, granular gas-phase media is filled in the space between perforated metal or plastic screens. As shown in Figure 1, these include units in which a variety of filter bed types and depths are employed.13 Many of these type systems are used in tandem with particle removal filters for optimal filtration capabilities. These filters can be installed in side or front-access housings or other standardized equipment. They can also be installed in some self-contained air cleaner units. These filters are available as refillable or disposable units.
Figure 1. Gas-Phase Air Filtration Equipment Designs As described previously, dry-scrubbing media can be applied in a number of different configurations. These media, regardless of how installed, utilize two main processes used to remove airborne gaseous contaminants. One, is a reversible physical process known as adsorption. The other, which involves adsorption and irreversible chemical reaction(s), is termed chemisorption. Each of these processes will be described briefly below. The most common form of gas-phase filtration is adsorption, and, by definition, adsorption is the process by which one substance is attracted to and held on the surface of another. Adsorption can occur
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wherever a material has sufficient attractive force to overcome the kinetic energy of a gas molecule. This is evident by the adsorption of cigarette smoke on the interior of an automobile or on a person's clothing. Adsorption is viewed as a surface phenomenon, and it is well to understand the significance of this statement. The removal capacity of an adsorbent is directly related to its total surface area, and in a porous solid adsorbent, the surface extends well into the interior of the solid. Therefore, it is important to develop as large an accessible surface area per unit volume as possible. Granular activated carbons (GAC's) are the most common materials which fulfill this requirement. Other commonly used sorbents include activated aluminas. Because of the relatively weak forces involved, adsorption is (essentially) totally reversible. 17 Thus the net rate of adsorption depends on the rate at which gas molecules reach the surface of the adsorbent, the percent of those making contact which are adsorbed, and the rate of desorption. However, many other factors can affect removal of gaseous contaminants by physical adsorption. Among these are the type of adsorbent, the resistance to airflow (AP), the adsorbent bed depth, the gas velocity, the concentration and characteristics of the contaminant(s) in the space around the adsorbent, the removal efficiency required, and the temperature and relative humidity of the gas stream. Adsorbent materials do not adsorb all contaminant gases equally.18,19,20One way to improve the effectiveness of sorbents for these materials is by the use of various chemical impregnants which react with these "less-adsorbable" gases. These impregnates react (essentially) spontaneously and irreversibly with these gases forming stable chemical compounds which are bound to the media or released into the air as CO2, water vapor, or some material more readily adsorbed by other adsorbents. Therefore, it is not uncommon to have a gas-phase air filtration system which uses a combination of unimpregnated and chemically-impregnated adsorbent medias. In contrast to the reversible process of physical adsorption, chemical adsorption, or chemisorption, is the result of chemical reactions on the surface of the adsorbent. Chemisorption is specific and depends on the chemical nature of both the adsorption media and the contaminants. It is actually a two-stage process. First contaminants are physically adsorbed onto the media. Once adsorbed, they react chemically with the media. The chemical impregnant added to the media makes it more or less specific for a contaminant or group of contaminants. Many of the same factors which affect the removal of gases by physical adsorption also affect their removal by chemisorption. One of the more broad-spectrum chemical impregnants in common use is potassium permanganate (KMnO4) and is typically used as an impregnant on activated alumina. Potassium permanganate-impregnated alumina (PIA) is often used in conjunction with GAC to provide a very broad-spectrum gas-phase air filtration system. Just as with other forms of air filtration, there are certain negative aspects of gas-phase air filtration. Particular gases, most importantly, carbon monoxide and carbon dioxide, are not controlled. There is an increased cost in energy to overcome higher pressure drops. And when the media are spent, they must be replaced. Fortunately, the energy cost savings realized by using effective gas-phase filtration systems for air recirculation can far exceed the additional costs. Control Strategies The three methods of gaseous contaminant control most commonly employed in HVAC systems are source control, ventilation control, and removal control. Source control should always be the first strategy examined. Removing the sources of contaminants prevents them from becoming a problem in the first place. However, the source of gaseous contaminants cannot always be readily identified and, therefore, cannot be removed. Many times the buildings themselves are the greatest sources of gaseous contaminants. When source control is not feasible or practical, ventilation control should be the next option. Ventilation control involves the introduction of clean dilution air into the affected space. Contaminant levels can thus be reduced below acceptable threshold levels. However, as in source control, this may not prove viable in all cases, either. Most ventilation air used for dilution would come from outside the building. The degree to which internally-generated contaminants are diluted depends on the quantity and quality of ventilation air used. The use of outdoor air alone is the simplest means for providing dilution. However, the use of large amounts of outdoor air to reduce contaminant levels is neither energy-efficient nor cost-effective. The National Primary Ambient Air Quality Standards21 (Table 1) represent national goals for permissible outdoor air exposure levels to sulfur dioxide (SO2), total particulates (PM10), carbon monoxide (CO), ozone (O3), oxides of nitrogen (NQ), and lead (Pb). However, in many of our urban environments today, the outside air does not meet this required criteria with regards to gaseous contaminants. Therefore, if this air were to be used for ventilation, one would simply be substituting one (group of) contaminant(s) for another and even possibly increasing the total contaminant load in the space. In such cases, the outdoor air would require cleaning to be suitable for dilution of internally-generated contaminants. TABLE 1. National Primary Ambient-Air Quality Standards for Outdoor Air as Set by the U.S. Environmental Protection Agency Long/short term Contaminant Concentration Averaging hg/m3 ppm Sulfur dioxide 80/365a 0.03/0.14a 1 yr/24 hr Particles (PM10) 50b/150a/1 yr/24 hr Carbon monoxide -/40,000a -/35a -/1 hr arbon monoxide -/10,000a -/9a -/8 hr Oxidants (ozone) -/235c -/0.12c -/1 hr Nitrogen dioxide 100/235 0.055/0.12 I yr/Lead 1.5/-/3 mosd/a Not to be exceed more than once per year. b Arithmetic mean c Standard is attained when expected number of days per calendar year with maximum hourly average concentration above 0.12 ppm (235 mg/m3) is equal to or less than one. d Three-month period is a calendar quarter.
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If it is clear that neither source nor ventilation control will adequately control the levels of gaseous contaminants in the affected space, removal control should be employed. Gas-phase air. filtration systems employing dry-scrubbing filtration media as an integral part of an HVAC system can effectively reduce gaseous contaminants to well below standard levels. The use of gas-phase air filtration in either recirculation or mixed recirculation and outdoor air flows is effective both for controlling the levels of undesirable contaminants and for conserving energy. Modeling Procedure for Cleaned Recirculated Air Section 6.2 and Appendix E of the ASHRAE standard describes the IAQ Procedure and presents the procedure for the use of cleaned recirculated air, respectively. Basically, the amount of outside air specified in Table 2 of the standard - 15 cfm per person in this application - may be reduced by recirculating air from which offending contaminants have been removed or converted to less objectionable forms. The amount of outside air required depends on the contaminant generation in the space, the contaminant concentrations in the indoor and outdoor air, the filter location, the filter efficiency for the contaminants in question, the ventilation effectiveness, the supply air recirculation rate, and the fraction recirculated. Figure 2 shows a representative system employing recirculation and filtration. Filters may be located in the recirculated airstream (position A, most common placement for gas-phase air filters) or in the supply (mixed) airstream (position B, most common for particulate air filters). The ventilation effectiveness will depend on the location of the supply outlet, the return inlet, and the design and performance of the supply diffuser. Figure 2 is a schematic of a typical system with the supply outlet and the return inlet in the ceiling. It is possible for some supply air to flow directly from the supply to the return, bypassing the occupied zone of the room. This reduces the effectiveness of the ventilation supplied to the space.
Figure 2. Recirculation and Filtration V = Volumetric Flow C = Contaminant Concentration E = Filter Efficiency or Effectiveness N = Contaminant Generation Rate R = Recirculation Flow Factor
f = filter o = outdoor r = return s = supply v = ventilation
Variable-air-volume (VAV) systems reduce the circulation rate when the thermal load is satisfied. This is accounted for by an additional term, Fr, the flow reduction factor. VAV systems normally have a constant supply air temperature. Constant-volume systems require a variable supply air temperature. VAV systems may also have a constant or proportional outdoor air flow rate. A mass-balance for the contaminants may be written to determine the space contaminant concentration for the constant-volume system configuration diagramed above. The following equations were taken from Table E-1 of the standard (designated Class II) and are applicable for this system. Their use assumes the following: the gas-phase air filtration system will be in position "A" (Figure 2), a constant volume system, a variable supply air temperature, a constant outdoor air flow rate.
Equation (1) is for calculating the required outdoor air given the allowable space contamination, Equation (2) for calculating the space contaminant concentration when the outdoor air flow rate is specified, and Equation (3) for determining the required recirculation rate. These three equations are shown below. (The standard lists the seven different system configurations accounting for the various permutations of the air-handling and distribution systems. Mass balance equations for the six configurations not discussed here are presented in Table E-1.) Typically, one would want to try and reduce the amount of outdoor air to an allowable minimum to maximize the potential for energy savings. Therefore, Equation 1 would be used with Vo being a value less than that prescribed form the Ventilation Rate Procedure, but, in not in any case, less than 5 cfm/person. Application of the IAQ Procedure using Equation (1) requires the following information. Vo outdoor air ventilation rate, cfm/person - some value between 5 and 15 cfm/person Vr return air, cfm/person - the total system air flow (cfm) minus the total outdoor air flow (cfm) divided by the total occupancy Co contaminant concentration in the outdoor air, mg/ft3 - for those contaminants of concern, i.e., SO2, NO2, and O3 EPA monitoring data for specific locations can provide summaries for outdoor air concentrations of SO2, NO2, O3 and, in some cases, total VOC. The air monitoring data shown below is that which was used for an actual application employing the IAQ Procedure (described more fully in the CASE STUDIES (Meyerland Plaza General Cinema) section which follows).
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TABLE 2. EPA AMBIENT AIR QUALITY MONITORING DATA FOR HOUSTON, TX22 Gas Concentration Location SO2 0.00300 ppm (mean) Croquet Monitoring Station NO2 0.01974 ppm (mean) Avg. for Houston O3 0.02300 ppm (mean) Croquet Monitoring Station TOTAL 0.04574 ppm (mean), used for design CO The total outdoor contaminant concentration, Co, for these monitoring data would be:
Cs total contaminant concentration in supply air, mg/ft3 - for those contaminants of concern; typically includes those from the outdoor air (Co) along with various VOC. In retrofit applications, air monitoring may be required. For new construction applications, appropriate models may be used until actual air monitoring data becomes available. If contaminant generation rates are known, Cs may be calculated directly using Equation (2). These calculated values may be added together and substituted into Equation (1). N contaminant generation rate, rag/day/person - if actual data is not available, various mathematical models may be used to calculate emission rates from people, furnishings, building materials, etc. and may be used for design purposes. TABLE 3. AVERAGE GENERATION RATES OF ORGANIC BIOEFFLUENTS IN A LECTURE CLASS (389 PEOPLE AT 9:30 AM23 Generation Rate mg/day/person Organic Bioeffluent Lecture Class Acetone 50.7 ± 27.3 Acetaldehyde 6.2 ± 4.5 Acetic Acid 19.9 ± 2.3 Ally1 alcohol 3.6 ± 3.6 Amy1 alcohol 21.9 ± 20.8 Butyric acid 44.6 ± 21.5 Diethyl ketone 20.8 ± 11.4 Ethyl acetate 25.4 ± 4.8 Ethyl alcohol 44.7 ± 21.5 Methyl alcohol 74.4 ± 5.0 Phenol 9.5 ± 1.5 Toluene 7.4 ± 4.9 Inorganic Bioeffluent Ammonia 32.2 ± 5.0 Hydrogen sulfide 2.73 ± 1.32 TOTAL 228.61 499.45 (high) (low) Various indoor air contaminants may give rise to odors that are of unacceptable intensity or character or that may irritate the eyes, nose, or throat. One factor which affects levels of organic contaminants in a building space are effluents from the human occupants. Such effluents are released from body openings and surfaces. Studies have been performed to correlate the types and concentrations of these contaminants with the presence of humans 22 (Table 3). Significant effects on organic compound concentrations associated with human occupancy have been reported. Both the number and concentration of organic compounds were observed to increase in the presence of humans. Significant increases were observed for acetone and ethanol, both of which are know to be exhaled in human breath. Outdoor air contributes only 5-20% of the total indoor VOC concentration. Therefore, it is more appropriate to concentrate on internal sources of VOC's.5 If the data from Table 3 is used to determination the generation rate, N, for this particular space, the following value would be obtained (using the "high" value):
Ef efficiency of the (gas-phase) air filter(s) - provided by the filter manufacturer or through independent testing. For typical packed-bed media configuration used most commonly in commercial applications (1" media bed depth, Fig. 1D & 1F), the default value should not be >85% unless specific test data is available. For partial-bypass or impregnated media filters default values should not be >20% unless specific test data is available. Due to the difference in the contaminant makeup of outdoor versus indoor air, one must be assured that the appropriate dry-scrubbing air filtration media are used. As a general rule, the use of two media -granular activated carbon (GAC) and potassium permanganate-impregnated alumina (PIA) - is required to effectively control these contaminants.19,20 Ev ventilation effectiveness - the fraction of the outdoor air delivered to the space that reaches the occupied zone. A value of 1.0 indicates perfect mixing. A default value no higher than 0.65-0.75 should be used unless specific data is available. Filters may be more or less effective against specific contaminants or groups of contaminants. Therefore, when designing a filtration system, consideration must be given to those contaminants for which the system has little or no effectiveness. The amount of outdoor air may only be reduced until some contaminant reaches its maximum acceptable limit. R return air factor - % of recirculation air in return air system. Most commonly expressed as RVr, or recirculated air. Example Using the information data presented above, the following example illustrates how this data may be used to calculate whether a specified (or target) minimum outdoor air requirement can be used for design purposes when using recirculation with filtration.
outdoor air requirement can be used for design purposes when using recirculation with filtration. Design:
8-screen, multiplex theater complex (auditorium #1), seating capacity of 190 persons24 constant air volume
HVAC system: Total supply 2900 cfm air:
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Vo =5 cfm/person (desired outdoor air ventilation rate), 950 cfm total outdoor air volume Vr =10.26 cfm/person (2900 cfm - 950 cfm ÷ 190 persons) Co =1.30 mg/ft3 (using data from Table 2) Cs =To be calculated N = 0.3468 mg/min/person (using data from Table 3) Ef = 0.85 (default for 1" thick packed media filter) Ev =75 (using the high default value) The one value yet to be determined is Cs, the total contaminant concentration in the supply air. Using Equation (2) and substituting the known values, Cs is as follows.
This total space contaminant value is well below any published IAQ action levels by either ASHRAE 8 or OSHA. 25 However, any analysis of the space contaminant concentration should be twofold: first, by the total contaminant concentration for all contaminants of concern (as above), and second, by each individual contaminant. An analysis of Cs by individual gas provides the following: Contaminant Ozone Nitrogen dioxide Sulfur dioxide Acetone Ammonia Hydrogen sulfide Phenol Butyric acid Methyl alcohol
Space Conc., Cs mg/ft3 ppm 0.2246 0.00790 0.1928 0.00680 0.0293 0.00100 0.0037 0.00013 0.0020 0.00007 0.0002 0.00007 0.0005 0.00002 0.0032 0.00010 0.0038 0.00010
Standand Levels ppm 0.120 EPA 0.006 EPA 0.030 EPA 2.950 ASHRAE 0.718 ASHRAE 0.036 ASHRAE 0.026 ASHRAE N.A. N.A.
From the above, it has therefore been shown that using 5 cfm/person of outdoor air can reduce the total space contaminant concentration to levels low enough to be well below the published guidelines for these contaminants and provide acceptable IAQ. (It is not necessary to solve for Vo and RVr in Equations (1) and (3). These are established values used to calculate Cs in Equation (2).) Although organic contaminants are the main sources of odors from humans, carbon dioxide has been widely used as a surrogate indicator of IAQ, due primarily to the fact that it is the contaminant produced by humans in the greatest quantities and it is easily monitored. When using the Ventilation Rate Procedure, keeping the level of indoor carbon dioxide below 1000 ppm has been recommended to satisfy comfort criteria with respect to odors. However, simply controlling the carbon dioxide levels in the space does not guarantee the elimination of IAQ complaints due to odors coming from other contaminants whose sources may be inside or outside the space. By implementing the IAQ Procedure, and using recirculation along with gas-phase air filtration, one can directly control those contaminants which are known to be contributing factors to poor IAQ. In this instance, the levels of carbon dioxide do not have to be monitored. This is because carbon dioxide is used as an IAQ indicator only when the types and concentrations of other offending contaminants are not known. Air monitoring, however, must be performed in order to validate the performance of the gas-phase air filtration system. The Design Documentation Procedures (Section 6.3) of the ASHRAE standard state; "Design criteria and assumptions shall be documented and should be made available for operation of the system within a reasonable time after installation." This means that one may use design data obtained from various modeling techniques or other sources as opposed to having to produce data specific to that application prior to system installation and start-up. Case Studies Three case studies illustrating the use of gas-phase air filtration to clean and recirculate air within a building will be discussed briefly below. The first two are retrofit applications which involve ASHRAE award-winning buildings. Both have yielded substantial savings through the installation of gas-phase air filtration equipment to recirculate cleaned conditioned air within their environments. The third involves a new construction application in which ASHRAE's IAQ Procedure was used on the design phase to reduce the amount of outside air required which, in turn, reduced the size of the HVAC systems. Va Medical Center26 Concerned about rising HVAC operating costs, the Veterans Administration Medical Center in Cincinnati, Ohio embarked on an aggressive energy conservation program. Built in the 1950's, this 10-story facility is divided into three major zones - North, South, and East Wings - each served by dedicated air-handling system. Under the existing system, 100% outside air was used to condition these areas. Having previously proved the effectiveness of gas-phase filtration in an animal laboratory located within the center, the VA pursued this technology further. For this application, the South Wing was chosen to have its exhaust air filtered and recirculated on the basis of several factors; the general system layout (proximity of exhaust air ducts to supply air intakes), energy usage, and zone use characteristics. The 26,000 cfm delivered to this zone is split between patient rooms (70%), general support areas (20%), and restrooms ( 10%). This air was conditioned, circulated, and exhausted at the roof. By cleaning and recirculating 22,000 cfm, or 85 percent of the air previously exhausted, the hospital realized substantial energy savings (Table 4). Today, the conditioned air from this zone is no longer exhausted but is mixed with 4000 cfm of outside supply air and then routed through the gas-phase filtration system. The gas filter system consists of a particulate prefilter stage, a single stage of gas-phase air filtration medium, and a final particulate filter stage. The net effect is improved particulate filtration with the added benefit of gaseous contaminant control. Annual energy operating savings are impressive. Due to the geographic location, the primary benefit is from heating cost saved -almost $48,000 annually. Even adding in the costs of the gas-filter medium and replacement labor, the extra fan energy cost required to overcome the additional pressure drop of the system, (particulate and gas filters), net annual operating savings were projected to be more than $57,000 (Table 4).
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TABLE 4. EXHAUST AIR RECIRCULATION COST/ BENEFIT ANALYSIS, V.A. MEDICAL CENTER, CINCINNATI, OH Exhaust Air Cleaned & Recirculated 22,000 cfm Refrigeration Ton Hours Saved 91,216 ton-hr/yr Heating Fuel Saved 59,923 therms/yr Humidification fuel Saved 10,973 therms/yr Annual Operating Costs and Savings Cooling Cost Saved $4,925.68 Water and Chemical Cost Saved $0.00 Heating Cost Saved $47,938.18 Humidification Cost Saved $8,778.11 Extra Fan Energy Cost -$431.31 Purafil Media & Labor Cost -$3,900.00 Net Operating Cost Savings $57,311.00 Capital Investment Cost and Savings Chiller Capacity Reduction 72 tons Boiler Capacity Reduction 2,163 MBTUH Chiller Cost Savings $0.00 Boiler Cost Savings $0.00 Other Capital Savings $0.00 Purafil Equipment (less media) Cost -$13,000.00 Extra Ductwork Cost o$1,300.00 Extra Controls Cost -$2,600.00 Net Capital Savings (Cost if Negative) -$16,900.00 Simple Payback 0.29 years Since this was a retrofit application, there were no capital equipment savings to realize from downsizing the cooling and heating plant. Up-front capital costs of $16,900 were incurred for the gas-phase filtration system, extra ductwork, and controls. Even with these costs, the projected energy savings indicated the gas-phase filtration system would have a simple payback of 0.29 years. Westin Peachtree Plaza 27 The Westin Peachtree Plaza in Atlanta, Georgia stands 73 stories tall and contains 1,100 guest rooms, nine restaurants and lounges, and two ballrooms. In all, roughly 1,150,000 ft2 of floor space has to be heated and cooled. Heating and cooling costs for a building of this size, as one might suspect, were tremendous. In another retrofit application, hotel management, with the help of several consulting/engineering firms, cut HVAC energy costs by $25,000 per year after installing an energy retrofit system that substitutes a mixture of minimum outside air and heated recirculated air for 100% outside air. In the retrofit, the conditioned air from each individual room is no longer exhausted through the roof, but is now being routed through a gas-phase air filtration air system that removes odors and gaseous contaminants. The system saves more than 14 billion BTU's of energy a year, the equivalent of 100,000 gallons' Of oil, cutting the energy requirements of the original HVAC system by 10 percent. Yearly energy savings due to the operation of this system were calculated to be as follows: Natural gas cost savings Fuel oil cost savings Cooling costs saved Water and chemical cost savings Total annual savings Dry-scrubbing air filtration medium and labor costs Net operating cost savings Simple payback
$ 3,430.00 $13,070.00 $14,020.00 $ 970.00 $31,490.00 -($ 6,000.00) $25,490.00 2.74 years
Additionally, the installation of this energy-managed system qualified for the investment tax credit and earned the hotel some tax relief under the government's energy conservation tax clause. Meyerland Plaza General Cinema24 The HVAC equipment for the Meyerland Plaza General Cinema in Houston, TX, an 8-screen, multiplex theater complex, consists of 14 self-contained rooftop electric cooling units with gas heat and dedicated exhaust fans. Each theater, ticket booth, concession stand, projection area, and lobby has its own dedicated unit. Each projector, restroom, and popcorn hood has dedicated exhaust fans. Air from each theater and lobby unit is returned through gas-phase air filtration systems. The outside air was filtered for particulates only. These systems are designed to induce outside air through dampers located in the HVAC units. Because this was a new construction application, reducing the amount of outside air by using cleaned, recirculated air could offer a significant savings in the purchase of the HVAC equipment. The consulting engineer for this project decided to apply ASHRAE's IAQ Procedure to determine if the amount of outside air could be reduced to 5 cfm per person from the 15 cfm per person for this application if he were to use the Ventilation Rate Procedure. If possible, this alone would effectively reduce the cooling requirements from 370+ tons to a little more than 200 tons. Values for all of the parameters listed above were obtained either by measurement, calculation, or from various references, and the final proposal submitted to the City of Houston for review. The proposal was approved as submitted. Because of this, the Meyerland Plaza General Cinema was able to realize a significant frontend cost avoidance of more than $85,000.00 by downsizing the HVAC equipment. Operating at 5 cfm per person, it was shown that the HVAC systems would cost less initially, and cost less to operate than if the Ventilation Rate Procedure was followed. All this while providing acceptable IAQ to the customers. Summary and Conclusions Improving IAQ is particularly appropriate today. Increased concerns about the quality of indoor air and its economic ramifications are forcing the IAQ issue to be confronted head-on. The possible liabilities of loss of productivity, increased health-related costs, and litigation brought on by poor IAQ have become too great to ignore. Concurrently, engineers are being pressured to conserve energy in light of concerns about rising energy costs and questionable supply reliability, stricter regulations, and the economic environment that demand an ever-increasing attention to the bottom line. As described, a hospital, a hotel, and a multiplex theater complex -each with their own unique HVAC requirements - illustrate how the use of air filtration, and in particular gas-phase air filtration, can be
particular gas-phase air filtration, can be
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successfully applied to improve and maintain IAQ while reducing the operating costs associated with a building's HVAC system. The tools are in place. Industry standards, government regulations, technology, utility companies, and consumer awareness have all come together to provide innovative tools and incentives to those who make acceptable IAQ and energy conservation a joint benefit rather than conflicting goals. ASHRAE Standard 621989 and gas-phase air filtration technology now enable the engineer to improve IAQ while, at the same time, reduce energy consumption due to a number of factors: 28 ASHRAE has exercised jurisdiction over IAQ with Standard 62-1989, the prescriptive ventilation rates employed with the Ventilation Rate Procedure have apparently worked well but with obvious limitations, the IAQ Procedure has theoretical superiority due to its being a contaminant-based procedure, selective use of the IAQ Procedure might provide practical superiority. Additionally, many major utility companies including Consolidated Edison of New York, Boston Edison, Ontario Hydro, and Kansas City Power & Light have established aggressive programs to help large energy users develop conservation programs, and, in most cases, will provide substantial funding to implement these system improvements in existing buildings and new designs. Similar funding is available from building control system suppliers like Honeywell, Johnson Controls, and others. The need, the guidelines, the technology, and the economic justification are present to merge once disparate goals: IAQ and energy conservation. The means now exist to improve our existing building stock and make tomorrow's buildings even more healthy and energy efficient. The benefits of healthy, efficient buildings are reduced operating costs for the building owner/operator and satisfied tenants. References 1. C.O. Muller, 1995, Improving Building IAQ Reduces HVAC Energy Cost, Proceedings of 2nd International Conference on Indoor Air Quality, Ventilation and Energy Conservation in Buildings, Montreal, Quebec, Canada, pp. 739-759. 2. A. DiStefano and C. Gilliard, 1992, Are Improved IAQ and Energy Efficiency Compatible Goals?, Better Buildings, April, 1992. 3. G.V.R. Holness, "Human Comfort and IAQ," Heating/Piping/Air-Conditioning, February 1990. 4. J. Rae-Dupree, "Sick Building Suit is Settled Abruptly," Los Angeles Times, South Bay Edition, Metro Section, Part B, October 10, 1990. 5. Farr Company, 1992, Filtration and Indoor Air Quality: A Two-Step Design Solution, El Segundo, CA. 6. ASHRAE. 1977. ANSI/ASHRAE Standard 62-1973, Standards for Natural and Mechanical Ventilation, Atlanta, GA: American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc. 7. ASHRAE. 1981. ANSI/ASHRAE Standard 62-1981, Ventilation for A cceptable Indoor Air Quality, Atlanta, GA: American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc. 8. ASHRAE. 1989. ANSI/A SHRA E Standard 62-1989, Ventilation for A cceptable Indoor Air Quality. Atlanta, GA, American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc. 9. R.A. Wadden and P.A. Scheft, Indoor Air Pollution: Characterization, Prediction, and Control, John Wiley & Sons, New York, 1983. 10. T. Godish, 1991, Air Quality, Second Edition, Chelsea, MI: Lewis Publishers, pp. 339-385. 11. B.O. Brooks and W.F. Davis, 1992, Understanding Indoor Air Quality, Boca Raton, FL: CRC Press, Inc., pp. 20-34. 12. R.B. Gammage and S.V. Kaye, 1985, Indoor Air and Human Health, Chelsea, MI: Lewis Publishers, pp. 191-203, 259-278, 361-378, 387-414. 13. T. Godish, 1989, Indoor Air Pollution Control, Chelsea, MI: Lewis Publishers, pp. 282-306. 14. J.G. Kay, G.E. Keller, and J.F. Miller, 1991, Indoor Air Pollution - Radon, Bioaerosols, & VOC's, Chelsea, MI: Lewis Publishers, pp. 127-131. 15. National Research Council, Committee on Indoor Pollutants, Board on Toxicology and Environmental Hazards, Assembly of Life Sciences, 1981, Indoor Pollutants, Washington, D.C.: National Academy Press, pp. 30-45. 16. PJ. Walsh, C.S. Dudney, and E.D. Copenhaver, 1984, Indoor Air Quality, Boca Raton, FL: CRC Press, Inc., pp. 15-37. 17. J.W. Hassler, 1974, Purification with Activated Carbon: Industrial, Commercial, Environmental, New York, NY: Chemical Publishing Co., Inc., pp. 363367. 18. Purafil, Inc., 1991. Breakthrough Capacity Test Results (typical) @99.5% Efficiency, Final Report. 19. C.O. Muller, 1994, Gas-Phase Air Filtration: Single Media or Multiple Media Systems. Which Should Be Used for IAQ Applications?, Proceedings of IAQ '94: Engineering Indoor Environments, Atlanta, GA: American Society for Heating, Refrigerating, and Air-Conditioning Engineers, Inc. 20. C.O. Muller and W.G. England, 1995, Achieving your Indoor Air Quality Goals: Which Filtration System Works Best?, ASHRAE Journal, February, pp. 24-32. 21. U.S. Environmental Protection Agency. 1992. National Primary and Secondary Ambient Air Quality Standards. Code of Federal Regulations, Title 40, Part 50 (40CFR 50). 22. Texas Natural Resource Conservation Commission, 1993, Outdoor Air Quality, Texas Air Quality Monitoring Sites, 1993, Austin, TX. 23. T.C. Wang, 1975, A Study of Bioeffluents in a College Classroom, ASHRAE Transactions, 81 (Part I), pp. 32-44. 24. W.D. DeWitt, C.O. Muller, and R.J. Nolan, 1994, Indoor Air Quality Procedure, ASHRAE 62-1989, for New Multiplex Theater, Building Permit Reference, City of Houston Public Works & Engineering Department, Project No. 93106006, Zone 9, August, 1994. 25. U.S. Department of Labor, Occupational Safety and Health Administration. 1994. Indoor Air Quality - Docket No. H-122. Code of Federal Regulations, Title 29, Parts 1910, 1915, 1926, 1928 (29CFR 1900). 26. ASHRAE, 1989, Exhaust Air Recirculation Cost/Benefit Analysis, ASHRAE Awards Category H- Existing (Retrofit) Commercial and Institutional Public Assembly Buildings, Atlanta, GA, American Society of Heating, Refrigerating, and Air-Conditioning Engineers, Inc. 27. Purafil, Inc., 1972, World's Tallest Hotel Enjoys Cleaner Air...Increased Energy Savings, Case Study in Value #19, Atlanta, GA. 28. W.S. Cain, J.M. Samet, and M. Hodgson, 1995, The Quest for Negligible Health Risk from Indoor Air, ASHRAE Journal, July, pp. 38-44.
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Chapter 18 Energy Efficient Strategies for Improved Dehumidification C.C. Downing Abstract A recent article by William L. McGrath on future trends in HVAC design indicated that "the most profound change in our technology will be in the direction of improving functional performance...," specifically improved humidity control. Increased outdoor ventilation rates due to implementation of ASHRAE Standard 621989, and the realization of the need to maintain relative humidities between 30 and 60% indoors for improved indoor air quality, will likely drive improvements and wider application of humidity control in HVAC systems. This is especially true in hot and humid climates where a lack of proper dehumidification can result in unacceptable comfort levels and microbial growth on interior building surfaces. Although not commonly applied, many options to improve dehumidification control do exist. This paper discusses options including fan cycling strategies, coil temperature adjustment, heat pipe heat exchangers, and desiccant airconditioning. Introduction Controlling relative humidity indoors has been widely recognized as an important aspect of achieving good indoor air quality. Nevertheless, most HVAC systems today are primarily designed and controlled to only maintain temperatures within a relatively close range. Humidity levels are generally allowed to fluctuate over a wide range depending on ambient conditions and cooling and heating loads. Support for improving relative humidity control, however, does exist. ASHRAE Standard 62-1989 states that "Relative humidity in habitable spaces preferably should be maintained between 30% and 60%rh." 1 Further, a recent article by William L. McGrath on future trends in HVAC design indicated that "the most profound change in our technology will be in the direction of improving functional performance...," including improved humidity control.2 When humidity is not specifically controlled by the HVAC system, it is not uncommon to observe periods of indoor relative humidity levels as low as 15% during the heating season and as high as 85% during the cooling season, especially under part-load conditions. This lack of humidity control has both comfort and health consequences. High humidity levels above 70%rh can result in the air feeling warmer and stuffier. In addition, high humidity levels increase the likelihood of microbial growth on building surfaces. Airborne viruses also survive much better at both low and high humidity levels. Low humidity levels below 30%rh, tend to dry nasal mucous resulting in an increased incidence of colds and respiratory infections.3 Optimum worker productivity and performance have both shown to correlate with 30-60% rh.4 Of course, humidity control in buildings includes both humidification and dehumidification. Humidification systems such as wetted media, atomizing and steam humidifiers are often employed in building HVAC systems
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in cold climates. Conversely, methods to control dehumidification are implemented rarely, regardless of climate. This in spite of the fact that higher outdoor ventilation rates, implemented to improve indoor air quality, often result in unacceptably high relative humidity levels indoors. It is likely that as concern for indoor air quality and the role which relative humidity plays increases, implementation of dehumidification enhancements to the HVAC system will also increase. The following is a discussion of methods available to improve dehumidification with the HVAC system. Dehumidification Options Conventional air-conditioning systems only provide between 15 and 30% of their total cooling capacity for dehumidification (or latent load) depending on coil design and temperature, and ambient conditions. The remaining capacity is devoted to reducing temperature (sensible load). In hot and humid climates, it is not uncommon for the dehumidification load to exceed 40% of the total cooling load, especially if high outdoor ventilation rates are present. Under these conditions, indoor humidities will rise above the desired limit of 60%rh. The traditional method to adjust the sensible/latent ratio or improve the dehumidification is to implement reheat after the cooling coil. This method works well; however, it is inefficient and expensive to operate since energy has to be expended to both cool and heat the same air stream. As a result, this method is generally only implemented in special needs areas such as computer rooms, libraries, hospitals, and museums. More efficient and cost effective methods to increase dehumidification capability include: fan cycling strategies, face-and-bypass reheating, outdoor air pre-conditioning, heat pipe heat exchangers, and desiccant air-conditioning. Fan Cycling Strategies Changing the fan cycling strategy of primary and outdoor air fans will result in changes in indoor humidity levels. Often primary and outdoor air fans are operated in continuous or constant fan mode regardless of compressor operation. On many systems, this mode of operation will allow humid outdoor air to enter the system and building without being cooled or dehumidified when indoor temperatures are satisfied and the compressor is not operating. By switching to an intermittent fan operation such that fans are only run when the compressor is operating, the dehumidification load is decreased. The dehumidification load is decreased in two ways. First, outdoor air is not drawn into the system without first passing over a cold coil and being dehumidified. Second, the cooling coil and condensate pan are allowed to drain when the fan is off, as opposed to being re-evaporated into the building. In addition, energy use is reduced by reduction in fan and compressor operation as a result of less fan operation and heat, and reduced outdoor ventilation. This strategy (combined with heat pipes in one area) was recently implemented in the Dali Museum in St. Petersburg, Florida resulting in a 1995 ASHRAE Technology Award. 5 Of course, minimum outdoor ventilation requirements should be accounted for based on intermittent versus constant operation. In addition to fan cycling, adjustment of outdoor ventilation flow can also be employed to improve humidity control. Control strategies which control the amount of outdoor ventilation either by damper or outdoor fan adjustment based on outdoor humidity levels can be used to either reduce or increase the moisture load on the HVAC system. This can result in control of humidity within a tighter range during both heating and cooling modes. Again, this strategy must account for minimum outdoor ventilation rates for proper indoor air quality. In addition, the heating and cooling capacity of the system must be accounted for to ensure that temperature control is not jeopardized. In order to minimize energy use by the HVAC system and provide the minimum outdoor ventilation requirements, occupancy and/or carbon dioxide sensors can be employed. In hot and humid climates, adjustment of outdoor ventilation based on occupancy will lower the average dehumidification load. Face-And-Bypass Reheating Another energy efficient method of improving dehumidification capability is face-and-bypass reheating. This method is similar to the traditional reheat method; however, rather than cooling and reheating the entire air flow, only a portion of the recirculation air is cooled with the balance used for reheat as shown in Figure 1. Before reaching the cooling coil, the air stream is split such that a portion flows across the coil face and the balance bypasses the coil. The coil temperature can then be operated at lowered temperatures to increase dehumidification capability. The bypass air is then mixed with the cooled, dehumidified air and then delivered to the occupied space at satisfactory temperature and humidity levels. Both the coil temperature and the amount of bypass air can be adjusted to control the resulting indoor relative humidity. Since the reheating is accomplished with recirculation air,
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no energy is expended for reheat. Lowering coil temperature does however result in additional energy costs. This can be avoided if chilled water or ice storage systems are implemented and operated during off-peak hours with lower electrical rates.
Figure 1 Face & Bypass Reheating Outdoor Air Pre-Conditioning Most HVAC systems do not pre-condition the outdoor ventilation air. Outdoor air is usually first mixed with recirculation air and then cooled or heated as needed. Since, the majority of moisture load on an HVAC system is from outdoor air, pre-conditioning outdoor ventilation air to remove moisture before it mixes with recirculation air will lower the moisture load on the primary cooling coils significantly. This has three benefits. First, the pre-conditioned air can be cooled to achieve the desired moisture level without the need for re-heat. Second, the primary cooling coils can be cycled for accurate temperature control without affecting humidity control. And third, the primary cooling coils can be operated above the dew point or ''dry'', thereby reducing the likelihood for microbial growth within the primary air distribution ducts. Pre-conditioning outdoor air is often the most cost effective method to add latent capacity to an existing HVAC system. As many systems today are upgraded to provide increased amounts of outdoor air to satisfy indoor air requirements, pre-conditioning the outdoor air can often allow the existing system to remain intact. This method was successfully employed in an elementary school which had humidity problems and needed increase outdoor air to meet ASHRAE Standard 621989. 6 Heat Pipe Heat Exchangers Installation of a heat pipe between the entering and leaving air of a cooling coil as shown in Figure 2 can improve the latent performance of the system without additional energy input. A heat pipe is simply a sealed metal tube charged with a refrigerant such as HCFC-22. When one end of the tube is exposed to a warm airstream, the refrigerant inside absorbs heat and evaporates and the vapor moves to the other, cooler end. The refrigerant condenses on the cooler end and rejects it heat. After condensing, the refrigerant circulates back to the warmer side by gravity or capillary action, thereby completing the cycle. A heat pipe installed in the configuration show in Figure 2 will absorb heat from the entering air and transfer it to the leaving air stream. This results in pre-cooling of the entering air and re-heating of the air leaving the cooling coil. This allows the coil to operate at cooler temperatures resulting in more moisture removal. The total cooling capacity is not changed by the heat pipe, only the sensible to latent heat ratio is altered.
Figure 2 Heat Pipe Dehumidification Desiccant Air-Conditioning Desiccants are materials which have an affinity, after heating, for water vapor. They have long been used for dehumidification processes in industry. Today, the
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Figure 3 Desiccant Cooling Arrangement dehumidification capabilities of desiccants are being integrated with evaporative coolers and conventional HVAC systems to reduce cooling costs and improve humidity control. Many designs exist which utilize both liquid and solid desiccants. The most popular methods today utilize a rotating wheel which has a desiccant impregnated into its surface. The desiccant wheel can be located before or after the cooling coil depending on design requirements. A schematic of a dual wheel desiccant system combined with conventional cooling is shown in Figure 3. The conventional cool section can also be replaced by indirect or direct evaporative cooling. This type of system has seen application in supermarket cooling in order to reduce condensing around refrigerated display cases. 7 In order to regenerate or dry the desiccant, systems can use waste heat from the conventional compressor or other waste heat source. Conditions which favor desiccant installations include: high outdoor air requirement, low indoor humidity requirement, available waste heat, and low cost fuel. Desiccant wheels can also be used to help pre-condition outdoor ventilation air using building exhaust air as the regeneration air. Installing a desiccant wheel to exchange energy between the outdoor ventilation air and exhaust air can result in a reduction of both temperature and moisture in the outdoor supply air to the system. Since the exhaust air is relatively drier and cooler than outdoor ventilation air during the cooling season, transferring these conditions through the wheel to the outdoor ventilation air will result in both a lower sensible and latent load on the primary coiling system with corresponding reductions in energy use. During the heating season this type of heat exchanger will increase moisture levels in the incoming outdoor ventilation air, thereby reducing the need for humidification. Summary Many different strategies and equipment exist to improve the dehumidification capability of HVAC systems, from simple to complex. Many of these configurations can reduce overall HVAC system energy use while improving humidity control. The increasing recognition that humidity control plays an important role in indoor air quality combined with the increasing amounts of outdoor ventilation provided by HVAC systems, will likely result in more common application of these and other strategies developed in the future. References 1. ASHRAE 62-1989, Ventilation for Acceptable Indoor Air Quality. 2. McGrath, William L., The Human Habitat of the Future, ASHRAE Journal, June 1995. 3. Lubart, J., The Common Cold and Humidity Imbalance, NYS Journal of Medicine, 1962, pg. 816-819. 4. Hansen, Shirley J., Managing Indoor Air Quality, Fairmont Press, 1991, pg. 167. 5. Shirey, Don B.III, Fan Cycling Strategies and Heat Pipe Heat Exchangers Provide Energy Efficient Dehumidification, ASHRAE Journal, March 1995. 6. Downing, C. and Bayer, C., Indoor Conditions in Schools with Insufficient Humidity Control, Proceeding of IAQ'92, Environments for People Conference, Washington, D.C., ASHRAE, October, 1992. 7. Mahoney, Thomas A., Dehumidification Takes Hold in Commercial, Residential Jobs, Air Conditioning, Heating & Refrigeration News, June 5, 1995, pg. 3.
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Chapter 19 Clean Air Act Amendments Overview and Update W.C. Turner and R.S. Frazier Abstract The new Clean Air Act is rapidly establishing itself as the leading industry effecting environmental legislation of today and perhaps of all time. Numerous developments are occurring daily that can and will impact industry over the next few years. This paper summarizes the 1990 Amendments to the Clean Air Act and attempts to bring the reader "up to date." The paper ends with some management suggestions as to what industry should be doing today. Introduction The original Clean Air Act was signed into law by president Lyndon B. Johnson in 1963. Hailed as the first piece of environmental legislation, the act has continued to grow both in its scope and effectiveness. The act was amended in 1970 and significantly amended again in 1990. The original document started as a series of grants to study air pollution. However, with the 1990 amendments, it has grown to macro-management of the air quality in the United States. The programs implemented by the CAA to improve air quality in the US are diverse and extensive. The different types of pollutants are identified, threshold limits are set for them, and areas of the country are targeted for air quality improvements. In addition, the CAA sets up permitting programs for state-level management and enforcement procedures are outlined. The 1990 amendments to the CAA were extensive. The regulations that industry must now meet regarding its emissions are much more extensive In addition, permitting has become a major undertaking. Fortunately, there are ways to manage the requirements contained within the CAA. With proper management, industry can minimize the cost and the negative process implications accompanying the Clean Air Act. This paper begins by first reviewing the Clean Air Act, bringing the reader up to today's status, It then goes on to outline a series of suggestions for management faced with compliance. Caa Summary1 Overview There exist eleven titles to the 1990 amendments, whereas the CAA previously consisted of three titles. The eleven titles are listed in Table I. TABLE I TITLES OF THE CAA AS AMENDED Title # Coverage Title I Nonattainment Provisions Title II Provisions Relating to Mobile Sources Title III Hazardous Air Pollutants Title IV Acid Deposition Control Title V Permit Provisions Title VI Stratospheric Ozone Protection Title VII Federal Enforcement Provisions Title VIII Miscellaneous Provisions Title IX Clean Air Research Title X Disadvantaged Business Concerns Title XI Clean Air Employment Transition Assistance The following is a discussion concerning the highlights of each title, as well as that title's impact on industry. Title I- Provisions for National Ambient Air Quality Standards (Naaqs) Under the CAA, the entire nation is to be or has been divided into Air Quality Control Regions (AQCRs). Regions that meet NAAQS are classified as "attainment" areas and areas that do not 1 This part of the paper draws heavily from Turner, et al "Clean Air Act Amendments" Proceedings World Energy Engineering Congress, Atlanta, GA, October 1992.
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meet NAAQS are classified as "nonattainment" areas. The six criteria pollutants being monitored for NAAQs purposes are: ozone (smog), carbon monoxide (co), particulate matter (PM10)2, nitrogen oxides (NOx), sulfur dioxide (SO2), and lead. Table Two contains the NAAQs for the criteria pollutants. Any AQCR monitoring a criteria pollutant in excess of the level in this table is classified as a nonattainment area for that pollutant. TABLE II CRITERIA AND THEIR NAAQS Criteria Pollutant Primary Ambient Air Quality Standards Sulfur Dioxide(SO2) 80 µGrams/m3 (.03 p.p.m.) Particulate Matter (PM 10)3 150 µarns/m3 Carbon Monoxide (CO) 9 p.p.m. (10 milligrams/ m3) Ozone 0.12 p.p.m. (235 µgrams/rn3) Nitrogen Dioxide (NO2) 0.053 p.p.m. (100µgrams/m3) Lead (Pb) 1.5 µgrams/m3 Nonattainment areas for three of the criteria pollutants are broken down further. CO and particulate matter nonattainment areas are broken down into two categories, moderate and serious. Ozone nonattainment areas are also broken down, but into five categories. Table three contains the classifications for ozone nonattainment areas. TABLE III: OZONE NONATTAINMENT CATEGORIES Category Level of Ozone Marginal .121-.138 p.p.m. Moderate .138-. 160 p.p.m Serious .160-. 180 p.p.m Severe .180-.280 p.p.m Extreme .280 p.p.m. + Ozone The amended CAA seeks a continuous improvement m ozone non-attainment areas. This is accomplished by requiring all nonattainment areas (except marginal areas) to have a 15% reduction in Volatile Organic Compounds (VOCs)3 by Nov. 15, 1996, and a 3% annual reduction thereafter. The definition of a "major" source of ozone emissions was changed by the 1990 amendments. Previously it was defined to be any source that emitted 100 Tons per Year (TPY) of VOCs or NOx. The new definition of a "major" source is based on the type of nonattainment area where the source is located. The criterion for major sources is listed in Table Four. TABLE IV: MAJOR SOURCES OF OZONE Nonattainment Area Level of Emissions Defining "Major" Extreme 10 TPY of VOC or NOx Severe 25 TPY of VOC or NOx Serious 50 TPY of VOC or NOx Moderate 100 TPY of VOC or NOx Marginal 100 TPY of VOC or NOx These classifications will have a large impact on industry especially those m the more tightly controlled areas Technology Standards for New and Existing Sources Under the provisions of Title I of the Clean Air Act, new and existing sources must implement strategies to curb emissions of the criteria air pollutants. The technology that must be implemented in an emitting facility is contingent upon whether or not the facility is in an area of nonattatinment for the criteria pollutant of concern. If a new facility is to be located in an area of nonattainment, it must implement what the EPA has determined to be the Lowest Available Emission Rate Technology, or LAER. If the facility is to be located in an area of attainment, it must implement the Best Available Control Technology, or BACT-a less expensive technology compared to LAER. These standards, set for new sources, are referred to as New Source Performance Standards (NSPS). A new or modified facility that has the potential to emit a predetermined amount of a listed pollutant, including the criteria pollutants, must fill out a New Source Review (NSR). This information, required under Title I, provides the EPA with compliance information for the facility. In addition, it determines the impact the facility will have on its Air Quality Control Region, as well as the technology requirements that it will be necessary to implement. Existing facilities are not required to meet technology requirements as advanced as new sources, simply because the implementation of any new technology in an existing facility is comparatively higher. Existing facilities in nonattainment areas must implement EPA-determined Reasonably Available Control Technology, or RACT. For an existing source in an attainment area, no technologies are mandated. A summary of the mandated technologies for new and existing sources under Title I is contained in Table IV TABLE V CONTROL TECHNOLOGIES Source Type Nonattainment Technology New LAER Existing; RACT
Attainment Technology BACT None
2 Particulate matter less than 10 microns m diameter 3 VOCs are precursors to ozone
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State Implementation Plans Under Title I of the Clean Air Act, every state must file with the EPA a State Implementation Plan (SIP). This contains the state's plans to meet National Ambient Air Quality Standards. The SIP must include the following: -plans for enforcing emissions limitations -plans for maintaining air quality data -contingency plans for areas that fall out of attainment for any pollutant -compliance schedules for nonattainment areas -controls for interstate air pollution -establishment of a fee system to fund SIP programs The EPA has twelve months to approve SIPs once they are received from a state. If the agency cannot agree to a state's SIP within two years of submission, then the agency can enforce a Federal Implementation Plan (FIP). This has happened to the Chicago AQCR, where the federal government stepped in to enforce air quality measures. Title I Impact On Industry The classification of the Air Quality Control Region (AQCR) in which a facility is located is the major factor for determining the impact of Title I. Since Title I deals mainly with nonattainment problems, facilities in attainment areas are not directly effected. Facilities in attainment areas need to be aware of any problems that arise in their AQCR. If an attainment area is reclassified as non-attainment, a company could have to drastically alter its operating procedures. Basically the idea is to strive for attainment, and once achieved, work to keep it. Industries in nonattainment areas must meet all Title I requirements and should be communicating with the state air regulating board. Facilities in nonattainment areas should conduct comprehensive emissions inventories. Title II-Provisions Relating To Mobile Sources Title II of the Clean Air Act sets new, more stringent standards on one of the largest single pollution sources m the US. Automobile emissions account for 50% of the Ozone pollution and 90% of the carbon monoxide pollution in the nation. This title addresses these problems in two major forms, the reformulating of fuels and the limiting of tailpipe emissions. Clean Fuels, Clean-Fueled Vehicles and Fleets The use of cleaner fuels in vehicles is outlined in several programs within Title II. Reformulated fuels, substitute fuels, clean fueled vehicles and controls on existing fuel quality and contents all aim at reducing levels of CO, Nitrogen Oxides and Hydrocarbons in the atmosphere. The refining of reformulated gasolines, as outlined by Title II, involves increasing the oxygen content in the gas and decreasing the content of heavy metals. Table V contains the specifics for reformulated gasoline. TABLE V REFORMULATED GASOLINE Ingredient Benzene Aromatics (Toluene & Xylene) Oxygen
Limitation
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Automobile Manufacturing Requirements Several programs are outlined by Title II of the Clean Air Act in which attempts are made to reduce automobile emissions through regulations on manufacturers. These programs include the mandating of onboard diagnostic systems and devices for the containment of evaporated fuels, in addition to cold start and emissions specifications. Beginning in 1996, automobiles must include systems to warn of catalytic converter and oxygen-sensor failures. In 1995, a provision mandated 2 year/20,000 mile warranties for pollution prevention devices, and an eight year/80,000 mile warranty for major emission control devices. In addition, Title II of the CAA includes provisions mandating the installation of on-board canisters to capture vapors during refueling. It is required that these canisters be 95% efficient. Emission testing on new cars is significantly tightened by Title II. Automakers are required to reduce hydrocarbon output by 35%, and Nitrogen Oxides by 60%. These reductions were to be made on 40% of the vehicles sold in 1994, 80% of the vehicles sold in 1995, and are to be made on 100% of the vehicles sold in 1996. Additional emissions requirements have been set for cold starts and running during winter months. Title II Impact On Industry The auto and oil industries will be greatly effected by Title II. It is the auto manufacturers who will design and produce cars to meet the new standards. Automakers will have to build clean-fueled vehicles for sale in affected areas and for use by companies that have fleet vehicles. The oil industry, will be responsible for developing and producing reformulated and oxygenated fuels. Overall, Title II will force automakers and oil refiners to redesign their products so that they will comply with the amendments. Industries with fleets in nonattainment areas should be preparing for the fleet rules. Title III-Hazardous Air Pollutants (Neshaps) Title III of the Clean Air Act addresses the emission of substances for which no NAAQS have been set, but are still feared to be harmful to human health and the environment. These substances are known as Hazardous Air Pollutants, and the regulations governing their emissions are referred to as the National Emissions Standards for Hazardous Air Pollutants (NESHAPs). Typical HAPs include carcinogens, mutagens and reproductive toxins. Typical emitters include chemical plants, oil refineries, sewage treatment plants and incinerators. It has been estimated that 2.7 billion pounds of HAPs were emitted in 1987 within the US, although actual emissions could have been two to seven times this amount. Title III of the Clean Air Act addresses HAPs in two ways First, the agency lists HAPs and their National Emissions Standards. Second, the agency identifies emitters of HAPs, classifies them as major or area sources, and then mandates technologies necessary for emission reductions. National Emission Standards for Hazardous Air Pollutants Hazardous Air Pollutants are pollutants for which no NAAQS have been set, but which are feared to pose a threat to human health and/or the environment. First appearing in the 1970 Clean Air Act, National Emissions Standards for Hazardous Air Pollutants (NESHAPS) are regulations governing the emitting of HAPs. The 1990 amendments to the CAA mandated that the EPA promulgate NESHAPS for 189 hazardous air pollutants These are contained in section 112 of the CAA. Through the observance of NESHAPs and subsequent technologies, HAPs are targeted for 75% reduction in the nation's atmosphere. Much of the programming contained in Title III focuses on the application of new technologies to major and area "source" categories. Source Categories Title III of the Clean Air Act divides stationary sources emitting. Hazardous Air Pollutants into two categories; major and area sources. Major sources are those that emit 10 tons per year (tpy) of any one listed HAP, or 25 tpy of any combination of HAPs. Area sources are those that do not reach these emission levels, but are specifically covered by Title III due to the nature of their emissions. Published July 16, 1992 in the Federal Register, were 166 major and 8 area source categories. The real vehicle for Title III implementation is the application of technologies to these sources, similar in concept to the application of technologies to emitters of the criteria pollutants. The technology applied to major and area sources under Title III is referred to as Maximum Achievable Control Technology (MACT). For new sources, MACT standards are defined as the control achieved by the best controlled similar source already operating. The less-stringent MACT definition for existing sources is defined as the technology used by the top 12% or top 5 similar sources. The EPA continues to promulgate technologies for both major and area sources Once a MACT technology has been established for a source type, all sources within that category have a set period of time to implement that technology. However, Title III includes extensions for sources implementing new technology ahead of schedule. Referred to as the Early Reductions Program?? this plan is expected to yield up to a 90% reduction in HAP emissions, as sources can save money by implementing less-expensive technology if done ahead of the mandatory MACT schedule.
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Residual Risk Once MACT standards have been implemented by source categories, an assessment then has to be made regarding the risks that remain to human health. These risks are referred to by Title III as residual risks. If residual risks greater than one in one million remain for a particular source category, then the EPA must promulgate new MACT standards for that category. Extremely Hazardous Substances Under Title III, the EPA has developed a list of extremely hazardous substances (EHSs). EHSs are pollutants that would likely cause death, injury, or require evacuation of the immediate area if an accidental release were to occur. If the threshold amount of a listed EHS is exceeded at a source, then the facility has to meet certain requirements. An engineering analysis of the facility will be done to determine any public health hazards, also, risk management plans (RMP) must be developed A RMP is for worst case release scenarios. The RMP is to contain three sections: (1) a hazardous assessment to evaluate the potential effect of an accidental release of every Section 112(r) EHS over the threshold limit (total quantity in progress), (2) a prevention program to prevent an accidental release, and (3) an emergency release program in the event of an accidental release. These studies and plans are to be made available to the public. The EPA is directed to develop plans to deal with facilities handling EHSs. In addition, reporting requirements will increase beyond the current SARA Title 15 requirements. RMP requirements are developed in 40 CFR. Process Safety Management Plans are also being phased in by OSHA to protect employees (see 29 CFR 1910 119). There is significant overlap in the two lists and the plan requirements. Prudent management will take advantage of this. Title III Impact On Industry Of the eleven titles in the CAA, Title III will likely have the largest impact on industry. MACT technology guidelines must be implemented once established for a source. Risk management and process safety management plans must be completed and filed. In addition, emission levels for listed substances under Title III must be monitored, and threshold quantities observed. The completion of plans and implementation of MACT technology will no-doubt cost industry a large sum. Management will need to pay close attention to Title III as the EPA promulgates new standards, and begins to study residual risks. Title IV-Acid Deposition Control Title IV of the Clean Air Act concerns the emissions of sulfur dioxide (SO2) and nitrogen oxides (NOx) from electric utilities that burn coal for power generation. The SO2 Emissions Reduction Program implements an innovative allowance system in two phases. The Nitrogen Oxides program also works in two phases, concentrating on boiler technology. Title IV should effect a 2.5 million ton reduction m nitrogen oxides emissions, and a 10 million ton reduction in sulfur dioxide emissions. Sulfur Dioxide Emissions Reduction Program (Allowances) Title IV of the Clean Air Act carries out reductions of Sulfur Dioxide emissions from public utilities in two phases Phase I captured the largest utilities in January of 1995, Phase II captures the remaining utilities in the year 2000. Both phases reduce SO2 emissions through the use of a new market based allowance system. Phase I of Title IV required Continuous Emissions Monitoring (CEM) devices be installed in the 110 largest6 utilities in the nation by November of 1994. These devices were/are used to determine the emissions of each utility. Beginning in January of 1995, these utilities were then issued "allowances" for their SO2 emissions. One allowance is the right to emit one ton of SO2 per year. On the average, issued allowances for 1995 were for a 40% reduction in a utility's normal SO2 emissions. This reduction in allowed emissions should yield a drop of 2.8 down to 4.4 million toils of emitted SO2 in the nation by the end of 1995. However, utilities employing the EPA's "Phase I" technology received a two year extension on the allowance program. Phase I technology yields a 90% reduction in a utility's SO2 emissions. Phase II of Title IV captures almost all of the remaining steam-electric utilities in the US. Beginning January 1, 2000, 200 additional utilities are included in the allowance program. Phase III utilities will be given allowances for approximately 65% of their current emissions. There is a cap mandated under Title I for the amount of allowances the EPA can issue per year. By 2010, for all utilities in the nation, only 8.95 million allowances are to be distributed This cap should yield a permanent 10 million ton reduction in SO2 emissions. Out of the total pool of allowances, 2.8% are reserved every year for the EPA to sell in a general auction. Utilities that fear they will exceed their allowances can purchase more at this auction from the EPA or from other utilities that have excess allowances The ability to buy and sell these allowances are the innovative part of Title III. This system makes compliance with regulations a market-driven system. This is predicted to make implementation of new technology a much cheaper alternative when compared to reliance on other's allowances or facing stiff penalties for exceeding allowances. 6 Utilities with output capacity > 25 lbs /mmBtu.
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An additional point that should be made regarding the allowance system is the fact that it should save the EPA regulation costs. It has been estimated that the new system will cost 20-40% less to operate than the old one. Nitrous Oxides Emissions Reductions Program Title IV's NOx program relies on the same two phase schedule exercised in the Sulfur Dioxide reductions program. It has included in it a program intended to effect a permanent two million ton reduction in Nitrous Oxides emissions. The plan sets up a schedule of compliance for technology implementation depending on a utility's boiler type. In addition, New Source Performance Standards have been promulgated for new utilities. Title V Impact On Industry Title V will have a significant impact on almost all of the nations coal-fired utilities by the turn of the century. Management of utilities must continue to reduce their emissions through new technologies in order to compete in the new allowance system Implementation of new technology is expensive, but the allowance system has been designed to make it cheaper than noncompliance. Title V-Permits If a stationary source can be classified as a major stationary source as summarized in Table VI, if it is subject to any New Source Performance Standards, and/or it is regulated under Title IV, it must file for a permit to operate. Permits are the implementation vehicle for many of the Clean Air Act's programs, and a knowing permit violation can result in a $10,000 fine for the facility in violation. Table VI Identification of Major Stationary Sources Emissios Nonattainment Area Threshold above which defines Classification "major" Ozone Extreme 10 tpy precursors Severe 25 tpy Serious 50 tpy Moderate 100 tpy Marginal 100 tpy Carbon Moderate 100 tpy Monoxide Serious 50 tpy Particulate Moderate 100 tpy Matter Serious 70 tpy Permit Structure The permitting structure used by the EPA for the CAA is similar to that of the NPDES program for waste water discharge. It is a state administered program. States must file their program with the EPA for approval. This program is then referred to as the State Implementation Plan (SIP). If a state does not receive approval for its implementation plan, the EPA can then step in and administer a Federal Implementation Program (FIP), such as the one in Chicago. States can be sanctioned by the federal government for failure to implement a permitting program, and can lose federal highway money. Title V allows states to establish a $25/ton of emissions permitting fee to cover the costs of permitting. This is to be a fee imposed by and for the states. Structure of the Permit Application Permit applications submitted by facilities to the state must be a comprehensive outline of the facility's compliance plans, types of emissions In addition, it must cover Clean Air Act regulations the facility is subject to, as well as the monitoring equipment the facility will use to track emissions. The permit application must contain a compliance schedule for the facility. The permit application should include all pertinent information relating to the following CAA programs for which the permit serves as the implementation vehicle: -Title I nonattainment plans; -Title II Air Toxics program; -Alternative limits for early reductions, -residual risk-based limits, -Title IV Acid Rain Program; -New Source Performance Standards; -New Source Review; -State Air Toxics Program; -Any other applicable state-specific programs. The permitting process tinder Title V has received much criticism. In response to complaints from both state agencies and industry, the EPA published in June of 1995 the "white paper". Essentially, the white paper outlines areas of the permitting process that states can streamline. The paper targets unnecessary aspects of the permits, and significantly cuts the detail necessary for others. The white paper appears to merit attention by management, as it should have significant affect on state permitting programs. Management with concerns m states that have not received final approval on their SIP should pay close attention to the white paper and its effects on finalized permit applications. Title V Impact On Industry Initially the responsibility for this program lies with the states Many SIPs are still waiting for approval, after which affected facilities have one year to be in compliance with the plan Industry will have to build on existing record keeping and reporting structures used for other environmental permits In addition, facilities knowing that they will have to apply for a permit in the future must keep abreast of current regulations7, and implement changes prior to filling out the application. 7 The EPAs white paper should be reviewed, and changes in proposed SIPs noted.
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Title VI- Stratospheric Ozone Protection Title VI addresses the problem of ozone depletion in the upper atmosphere. The molecule ozone (03), when in the lower atmosphere, is a pollutant, causing health problems and making skies hazy with "smog". However, ozone is a necessary part of the Earth's stratosphere. Ozone, when it is in this part of the atmosphere, protects the Earth and its occupants from harmful ultraviolet rays. Chemicals developed and used extensively in this century appear to have detrimental effects on the ozone layer of the stratosphere, even producing "holes" in it. Title VI, following guidelines established at the Montreal Protocol, sets up programs that will eventually eliminate the production and use of these chemicals. Title VI sets up two classes of ozone-depleting chemicals. Class I includes chlorofluorocarbons (CFCs), halons, carbon tetrachloride and methyl chloroform. Class II contains the less-damaging HCFCs, or CFCs containing hydrogen. Class I chemicals are to be phased completely out of production in the US by 1995. Class II chemicals are to be phased out of production by 2015, with several exceptions. The year 2030 marks a complete ban on the production of all chemicals governed by Title VI. The knowing release of any of these chemicals is already banned. In addition to restrictions on production, Title VI also places restrictions on those working with these substances. Recycling and recovery equipment must be certified, as must reclaiming devices. Disposal requirements have been set and labels are required on all Class I and Class II containers. In addition, anyone working with Class I and/or Class II substances must be certified. Title VI Impact On Industry Replacements for CFCs used in industry' will have to be found. Manufacturers of CFCs are responding by developing new products. This will likely translate into higher costs for these products. The recycling requirement for all CFC's used in air conditioning is already dramatically affecting industry. Also phase out studies are being conducted including using non-CFC refrigerants, revitalizing absorption systems and going to ammonia systems. Title VII Federal Enforcement The Clean Air Act Amendments of 1990 greatly enhanced the EPA's and indeed, even citizen's powers to bring action against facilities, their employees and owners for noncompliance. Title VII contains the enforcement items of the Clean Air Act. Penalties as high as $1,000,000 are now in place for corporations. Financial penalties as high as $500,000 and jail sentences as long as 15 years are now on the books for individuals. In addition, the 1990 amendments made it much easier for the EPA to issue citations. Title VI made it easier for the EPA to issue a broader range of stiffer penalties. Field citations can now be issued, and can go as high as $5,000 per day. Knowing violations of any Clean Air Act regulation can now be considered a felony. The EPA can now issue subpoenas for compliance data, and their power has been greatly expanded to do the following. -Issue administrative penalty orders; -Issue administrative compliance orders; -Bring civil action; -Seek to initiate criminal action. Under Title VII, second time offenders now face doubled penalties, and the burden of proof is now on the defendant once a violation has been documented. Citizens also are given power to enforce the Clean Air Act. Bounties up to $10,000 can now be granted by the EPA to individuals providing information that leads to a civil or criminal conviction for any CAA violation. In addition, citizens can seek penalties against violators, directly, as long as the EPA is given 60 day notice of the suit. Title VII Impact On Industry Title VII gives the federal government broad powers to enforce these amendments. Individual and corporate liability seems to be clearly defined. One provision that has the potential to cause trouble is the "bounty" provision. If industry complies with these amendments and conducts business in an environmentally responsible manner, these provisions probably will not be exercised. One way for industry to respond to environmental concerns as a whole is to make use of environmental audits to provide a "picture" of their environmental operations. (See management's suggestionsemission inventory). Titles VIII-XI Titles VIII-XI of the Clean Air Act are miscellaneous titles addressing everything from acid rain research to Clean Air Act employment transition. A summary is contained below for each. TITLE VIII deals with continuing acid rain research, energy conservation studies, air quality at the United States and Mexico border, and visibility in National Parks under the PSD program. TITLE IX deals with Clean Air Research to study health affects of long and short term air pollution. The EPA is to conduct a study comparing air pollution control technologies of other industrial countries. The study is to include urban air quality, motor vehicle emission, toxic air emissions (HAPs), and acid deposition and their effect on Human Health and the Environment (HHE).
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TITLE X deals with Disadvantaged Business Entities (DBE). Ten percent of the total federal funding for research programs required under the 1990 amendment must go to DBEs. Under Section 1001, a DBE is 51% owned by one or more socially and economically disadvantaged individuals who are members of the following groups: Black Americans, Hispanic Americans, Native Americans, Asian Americans, Women, and Disabled Americans. TITLE XI, Employment Transition Assistance (ETA) is the final title of the 1990 amendments. This title was sponsored by Senator Robert Byrd of West Virginia. It is to assist coal miners and other eligible dislocated workers who have been terminated or laid off as a consequence of the CAA on industry. Title XI is to provide for training, employment assistance, and needs-related payments to such individuals. Section 1101 (b)(2) addresses grant funds to complete retraining and educational programs for displaced workers. Management Suggestions The goal of this section is to provide a set of management suggestions that will help industry to respond to the CAA in a cost effective manner. Getting into and staying in compliance will be costly and have a negative impact on profits. However, there is no other alternative, short of ceasing to exist. Thus, industry will comply; the goal is to do it cost effectively. Obviously, this is a rapidly changing and individualistic list Some will be helpful to any industry but all will not apply Management must be selective. Also, there are other ideas not developed here. This is a start, not a final product. Management Suggestion 1: ASSIGN THE COMPLETE CLEAN AIR ACT COMPLIANCE SET OF DUTIES TO ONE PERSON (GROUP) IN YOUR PLANT. The Hazardous Organic NESHAP (HON) alone is approximately two inches thick and it's just begun!!! (Federal Register December 31, 1992). Just knowing what the regulations require is going to be a full time job for some plants. Then, research and vendor contacts will have to be done just to identify alternatives. Someone must be m charge. Management Suggestion 2: CONDUCT EMISSIONS INVENTORIES NOW. To understand whether a plant complies or not, requires that management knows what all emissions are and what levels are allowed. MS 2 identifies the requirements, but sometimes knowing present emissions is also quite difficult. Management should identify all possible emitters in the plant and conduct complete inventories of all emissions. Measurements must be taken and often fairly complex calculations performed. These should be done now to ensure the proper data is available when needed. Management Suggestion 3: CONDUCT COMPREHENSIVE CFC REPLACEMENT STUDIES. Almost all industry presently use CFC's as refrigerants. First, these refrigerants are extremely expensive and will become more so leading to an eventual phase out. Alternatives must be found. Prudent management will be conducting replacement studies and will not be bound by existing equipment constraints. For example, some plants might be able to reactivate absorption chillers that were mothballed in recent years due to high energy costs Absorption systems do not use CFC's; but they do carry an energy penalty. Similarly, the once very popular centralized ammonia system will likely become more popular again. The American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) and others have conducted numerous studies on CFC replacements including absorption and ammonia systems. This would be a good place to start; but again, new equipment and/or reactivating old are alternatives that should be considered along with different refrigerants. Going to HCFC replacements only buys tune, they will also be phased out eventually. Management Suggestion 4: CONDUCT LEAK DETECTION AND REPAIR STUDIES FOR REFRIGERANTS AND RECYCLE THEM DURING ANY MAINTENANCE ACTIVITY. CFC's are extremely expensive and rapidly becoming more so. Leak detection repair is presently very cost effective. Recycling is absolutely required for any maintenance work revolving possible rejection into the atmosphere. Management Suggestion 5: CONDUCT CFC REPLACEMENT AND EMISSION MINIMIZATION STUDIES FOR ANY CFC'S USED IN DEGREASING. Vapor degreasers are still very popular in industry and likely there will always be some. Frequently, these degreasers use solvents that are Ozone depletes (e.g 1,1,1,-Trichloroethane). Recently much has been done toward. 1) Reducing emissions by better control, equipment redesign, rack redesign, etc. 2) Using industrial strength surfactants (parts washers) as alternatives to vapor degreasers. 3) Using semi-aqueous solvents (frequently citrus or terpine based products) as alternatives. All of these should be considered in a proper management program. There does not seem to be any universal solution, so each plant should study all alternatives and several chemicals within each alternative to find the best for that plant.
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Management Suggestion 6: STUDY THE STATE'S AIR PERMIT PROGRAM CAREFULLY AND BE PREPARED TO RESPOND AS NEEDED. Each state will likely have a slightly different program so management must be alert as to what that state requires. In addition, the new EPA white paper will likely alter proposed state programs, possibly even approved programs. Fines for permit violations are significant; traveling ''air cops'' will be looking for noncompliance companies. The "bounty" program will likely become a money making endeavor for environmental groups and disgruntled employees. Simply stated, industry will be watched very carefully by a host of parties. Management will have to be up to date. Management Suggestion 7: BECOME FAMILIAR WITH CIVIL AS WELL AS REGULATORY LIABILITY ISSUES. Potential fines were discussed in the main body of this report. They will be significant and early on there will be some fines. Cost effectiveness requires being in compliance. Also, however, management must become more familiar with civil liability issues where all have a responsibility not to harm neighbors. If a plant does harm a neighbor, then they are liable for that damage and could even have their doors closed due to being a "nuisance". This has long been recognized as a problem in dealing with solid or hazardous waste and surface or ground water contamination. The authors predict the CAA will draw much more attention to air contamination which will lead to more civil suits involving air. Management Suggestion 8: IMPLEMENT RISK MANAGEMENT PLANS The Clean Air Act Amendments require risk management plans (RMP) for any industry with threshold quantities of certain chemicals. These plans entail rather comprehensive "fault tree" or "what if" types of analysis. They are not simple and their execution will require expenditure of time and moneys. However, the savings could be truly significant if accidental releases are avoided or minimized. The authors also contend that the methods employed could be used on other chemicals especially those with a propensity to escape into the air and could create significant environmental and/or health problems. Management Suggestion 9: IMPLEMENT FLEET VEHICLE STUDIES. Plants in certain ozone nonattainment areas will be required to examine alternative fuels. As a result, the technology is rapidly maturing in several areas and state tax credits are being offered. For example, several states offer help through tax credits and even rebates (oil overcharge funds) to convert to compressed natural gas (CNG) or electric vehicles. There are locations where these conversions are quite cost effective today. Numerous fleets in Oklahoma, Texas, and other gas producing states are converting or have converted to CNG with significant savings Self Help Gas has made gas inexpensive in many areas. CNG and Electric conversions should be studied by all companies with fleets. Some will find the conversion cost effective today. A check with the local energy office will determine what types of state aid is available. Studies are being conducted as to the true environmental and health impacts of these alternative fuels. Management should stay alert as to these results. Summary and Conclusions The Clean Air Act Amendments of 1990 set ambitious goals and deadlines for the various provisions. How some of these provisions will be transferred into actual regulations, and how effective these regulations will be, remains to be seen Only after several years and after the regulations are tested in both the courts and the work environment, will the true impact of the 1990 amendments be known. These amendments have the potential for a far reaching economical impact, not just now, but for years in the future. Most of these provisions and their resulting regulations will translate into expenses for industry. Ultimately, it will be up to those in industry to implement the CAA 1990 in an environmentally responsible manner. It is impossible for this article (or any other) to be completely up to date. At this very minute, new regulations are being developed and implemented. Industry must keep up with the CAA and this will be no simple task. One goal of this paper was to identify the direction and present status of the Clean Air Act. This was partially achieved but before the print is dry, the information is out of date. Periodically, this will have to be revised. Then the paper developed a list of 9 management suggestions intended to help minimize cost to industry. Some of the suggestions should be applicable to any industry, and are worthy of consideration Obviously, this list is incomplete. Hopefully, the list will plant some ideas that will grow, prosper and lead to other prodigy. The authors hope that the reader will identify other ideas and will share those with other management's and with the authors. Good luck!!! (You will need it).
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References Blattner, J. Wray, Esq., The Clean Air Act Compliance Handbook, Executive Enterprises, New York, NY 1989. Burke, Robert L. Permitting For Clean Air A Guide To Permitting Under Title V of The Clean Air Act Amendments of 1990, Air and Waste Mgmt Assoc., Pittsburgh, PA, 1992. Commerce Clearing House. Clean Air Act, Law and Explanation, Commerce Clearing House, Inc, Chicago Ill., 1990. Doughty, Dennis G.; The New Clean Air Act from the States Perspective; Oklahoma State Dept. of Health, Air Quality Service, Oklahoma City, OK; Oklahoma State University, Engineering Extension, Stillwater, OK; 1991. Eddington, Robert. Clean Air Act Amendments of 1990, Oklahoma State University, Engineering Extension, Stillwater, OK; 1994. Findley, Roger W.; Farber, Daniel A., Environmental Law in a Nutshell; West Publishing Co., St. Paul Mime., 1988. Graves, Michael D.; Jones, Randolph L.; Livingood, Mathew G.; Bentley, Royce H.; The Historical Perspective on the Clean Air Act; Hall, Estill, Gable, Golden, & Nelson, P. C., Tulsa, OK, Oklahoma State University, Engineering Extension, Stillwater, OK; 1991. Graves, Michael D., Jones, Randolph L; Livingood, Mathew G.; Bentley, Royce H.; The (New) Clean Air Amendments. Hall, Estill, Gable, Golden, & Nelson, P C, Tulsa, OK, Oklahoma State University, Engineering Extension, Stillwater, OK; 1991. Hosford, R. Blair, "Clean Air Act Title V Knocking on Your Door", Pollution Engineering, Jan. 15, 1993. Quarles, John; Lewis, William H.; The NEW Clean Air Act, A Guide to the Clean Air Program as Amended in 1990; Morgan, Lewis & Bockius, Washington, D.C., 1990.
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Chapter 20 Title V- Steps To Obtaining an Operating Permit M.E. Piper Abstract This paper presents an approach to obtaining an Operating Permit pursuant to the federal Clean Air Act. Seven steps are described with emphasis on an iterative process and an (Operating Permit) team approach. Key Operating Permit topics include emission inventories, operating scenarios, applicable requirements, emissions units, and compliance demonstration methods. Introduction The Clean Air Act Amendments (CAAA) of 1990 were the first major revision to the Clean Air Act (CAA) since 1977. These amendments represent one of the most sweeping, complex, and potentially expensive environmental laws ever enacted in the United States. Title V of the CAAA mandated that each state develop a comprehensive Operating Permit Program for all major stationary sources of air emissions. On June 29, 1992, the United States Environmental Protection Agency (EPA) promulgated regulations for states to follow in developing their Operating Permit Programs as Part 70 of Chapter I of Title 40 of the Code of Federal Regulations (40 CFR 70). EPA must review and approve each state's program and oversee the implementation of the approved program. EPA must also review proposed permits and veto those permits that do not meet the program requirements. Although one of the original intents of the CAAA was to provide a "level playing field" for facilities located across the country, the final version of the CAAA allowed for states to impose stricter standards and requirements than the federal requirements. Consequently, facility owners and operators must become thoroughly knowledgeable in Title V regulations which apply to each state and local jurisdiction in which they have facilities. In almost all instances, this requires learning an additional permitting system to the repertoire already required. In and of itself, obtaining an Operating Permit under Title V of the CAAA is a lengthy and resourceintensive effort made even more difficult by the differences in interpretation and implementation between states and local jurisdictions. This paper presents an approach to obtaining an Operating Permit in light of the potential for differences between jurisdictions and facilities. The key feature to this approach is to recognize that this is an iterative process and that a team approach is beneficial. Seven key steps are discussed. Figure 1 portrays these steps as they relate to each other and illustrates where the iterative process of this approach occurs. Before embarking on this endeavor, it is essential to assemble an Operating Permit team. This team should include the officer of the company who will sign the application, an Environmental Manager, Plant Operations Manager, environmental air quality consultant, and environmental attorney. In addition to assembling the Operating Permit team, it is important to identify the permit writer from the local or state air quality agency who will be in charge of writing the facility's Operating Permit.- The Operating Permit team should be included early in the process. A few hours spent by the team at the onset will be well worth the time and effort saved later, regardless of whether it is determined that an Operating Permit is required. Step 1 - Assess Applicability In assessing the applicability of the Operating Permit Program to a facility, local, state, and federal regulations must be reviewed and two key definitions must be examined: "major stationary source" and "potential to emit". First, the definition for a stationary source must be applied to the facility under consideration. Most jurisdictions define a stationary source in accordance with the federal Prevention of Significant Deterioration (PSD) regulations in 40 CFR 52.21, where the facility includes all "pollutant-emitting activities which belong to the same industrial grouping, are located on one or more contiguous or adjacent properties, and are under the control of the same person (or persons under common control)." For example, if a facility has a parts manufacturing operation across town from the main manufacturing plant and the parts plant is under the same control as the main manufacturing plant, the two plants
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could be considered as one stationary source for the purpose of Operating Permit applicability. To assist with the "industrial grouping" aspect of this definition, one should consult the Standard Industrial Classification (SIC) Manual, 1972, as amended by the 1977 Supplement (U.S. Government Printing Office stock numbers 4101-0066 and 003-005-00176-0, respectively). Activities and operations with the same first two digit SIC Major Group code are considered to be of the same industrial grouping. Once the industrial grouping issue has been addressed, common control or ownership can be reviewed. An often vague aspect of the stationary source definition concerns "contiguous or adjacent properties." Operations located miles apart can be considered part of the same stationary source if the first two criteria (SIC grouping and common control) are met. Once the stationary source has been defined, the definition of major stationary source can be applied. Under the federal regulations, a major stationary source is one that has the potential to emit: 100 tons per year of any criteria pollutant or, 10 tons per year of any hazardous air pollutant or, 25 tons per year of any combination of hazardous air pollutants. A definition of potential to emit is also found in the federal PSD regulations. "Potential to emit means the maximum capacity of a stationary source to emit a pollutant under its physical and operational design. Any physical or operational limitation on the capacity of the source to emit a pollutant, including air pollution control equipment and restrictions on hours of operation or on the type or amount of material combusted, stored, or processed, shall be treated as part of its design if the limitation or the effect it would have on emissions is federally enforceable." Federally enforceable limits and operating restrictions are those that can be enforced by the Administrator of the EPA. If a state or local jurisdiction's permit program is recognized and incorporated in the State Implementation Plan, then those conditions found in the facility's permit may be considered federally enforceable. Only those limitations and operating restrictions which are federally enforceable can be included with the potential to emit calculations. These restrictions on potential to emit calculations have led to controversy, particularly with those states that did not have a recognized permit program. The Operating Permit team can add valuable information and case history in evaluating the stationary source's true potential to emit. Once this step is completed, it is recommended that the Operating Permit team and the agency permit writer meet to verify applicability and discuss any other requirements that may apply to the stationary source. For example, in those states that do not have a permit program, facilities may be required to obtain a "minor source" permit if an Operating Permit isn't necessary. The meeting should be followed up with a letter documenting the conclusions and action items discussed at the meeting. Step 2 - Inventory Emissions In order to obtain an accurate picture of the facility's air emissions, a comprehensive emission inventory is needed. The inventory should include all potential sources of air emissions, raw materials usage, fuels usage, production outputs, process descriptions, pollution control practices and equipment, monitoring and recordkeeping systems, Operations and Maintenance and Pollution Prevention Plans, and current compliance status with existing permit requirements. Engineering calculations, emission factors, source test data, and production parameters should be used to develop emission rates for all sources. Most facilities prepare an inventory for the most recent year, as these records are usually readily available. once this inventory is completed, a baseline-year inventory can be completed, if required. Each state and local jurisdiction has a different baseline year for which they may require an emission inventory. The baseline year may also vary by pollutant. Consult your agency permit writer or Operating Permit team for the appropriate inventory years. Even for the simplest of facilities, a large amount of data is gathered during the emission inventory process. Evaluate the existing recordkeeping procedures to determine whether they will meet compliance demonstration requirements of the Operating Permit Program. Requirements dictate that the facility enhance current recordkeeping procedures or implement new ones. Many of the available emission database programs are customized for environmental compliance recordkeeping. Often, however, the database and spreadsheet software currently used at the facility may be adequate. During the emission inventory process, test the recordkeeping and analysis tools available at the facility and find a system that is easily implemented and which will reliably meet Operating Permit recordkeeping requirements. Bear in mind that many agencies will require semi-annual compliance demonstration reports, but will have daily or monthly recordkeeping requirements. Compile an emission inventory worksheet and assess the inventory data with respect to existing permit conditions, Operating Permit applicability criteria, and future operating expectations. Step 3 - Define Operating Scenarios How the operating scenarios are defined can greatly impact operating flexibility and recordkeeping ease. Most agencies require a base operating scenario as well as alternate operating scenarios defined by the applicant. one intent of the operating scenario provision is to build operational flexibility into the permit to accommodate potential operation and process changes without requiring a future permit modification and the time-intensive public comment process. The normal timeframe for Operating Permit modifications to be approved is between 12 and 18 months, potentially impeding facility operations if sufficient lead time is not taken into consideration during the planning process. The Operating Permit is valid for 5 years; working to anticipate modifications during this 5 year period and incorporating them into the Operating Permit during the initial application process will ensure a time savings later. Once the emission inventory is compiled, production and operational parameters should be evaluated for operational
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flexibility. Although scenarios with the highest potential to emit offer the greatest flexibility, they may also present the facility with emission rates that exceed regulatory limits or have prohibitively high permitting fees. The optimum scenarios are those that balance flexibility with cost. For example, consider a facility that wants to increase emissions in three years to accommodate a production increase. This increase in emissions will trigger New Source Review (NSR) under the agency's regulations. The applicant recognizes that undertaking the NSR tasks will add to current expenses; however, the cost for NSR analyses will still be there in the third year, and additional costs may be incurred due to potential delays in permit modification approval. To assist with finding the operating scenarios that best describe the facility's next five years of operations, the applicant should develop operating scenarios that fit the definitions of "worst-case" or maximum potential to emit, "actual", and "likely." Use the Operating Permit team to "brainstorm'' for possible operating parameters and scenarios. After defining the potential operating scenarios, compare the associated emission rates to federal, state, and local emission limits and regulations to evaluate whether the scenarios are feasible and in compliance with current requirements. Where possible, minimize the number of operating scenarios to a few broad scenarios that cover the anticipated operations, keeping in mind that recordkeeping requirements will mandate documenting which operating scenario is being used at any particular time. Continue defining operating scenarios and recalculating the emission inventory worksheet until the facility's operations are adequately covered and described in terms of emissions and operating parameters. Step 4 - Evaluate Applicable Requirements The Operating Permit team needs to identify, compile, and review applicable regulatory requirements which may affect air emissions from the facility. The regulations need to be evaluated for federal enforceability, be it through direct federal legislation or through the State Implementation Plan. Some states provide a checklist of all applicable requirements which can help the applicant determine which are applicable to the facility. In most cases, the Operating Permit team and the agency permit writer will work together to develop their own checklist. In reviewing the applicable requirements, note any "special" recordkeeping or limitations associated with the requirement. For example, a New Source Performance Standard (NSPS) may apply to the facility, and housed within that standard is a recordkeeping requirement of which the applicant may never have been aware. Also, consider each operating scenario with respect to each requirement, as different operating scenarios may trigger different requirements. Primary federally enforceable requirements include NSPSs, Maximum Achievable Control Technology (MACT) provisions, Acid Rain (Title IV) provisions, PSD, NSR, and State Implementation Plan provisions. While reviewing the applicable requirements: Review existing permits and summarize existing applicable requirements and limitations; For emission points subject to regulation, identify regulated pollutants, specific emission limits, and other applicable requirements, including monitoring and recordkeeping; Identify and develop a summary of all sources exempt from regulation and document the justification for this exemption; Prepare a summary of all applicable requirements for regulated emissions and current compliance status; Update the emission inventory worksheet to reflect emission limits that may have been overlooked during the inventory process. Be thorough with the applicable requirements evaluation. The applicable requirements section of the permit application constitutes the foundation of the Operating Permit. In addition, if all applicable and non-applicable requirements are identified, the permitting agency can grant a permit shield. If the facility is in compliance with the conditions of the permit, this permit shield offers protection from third-party lawsuits. The applicable requirements section also forms the basis for the compliance demonstration requirements established by the permitting agency in the Operating Permit. Step 5 - Define Emissions Units An emissions unit may be the combination of one or more devices or processes that all emit the same regulated air pollutants, trigger the same applicable requirements, and share the same compliance demonstration method. In grouping devices and processes into an emissions unit, it is necessary to understand how emissions will be quantified and how compliance will be demonstrated. Each emissions unit must have a compliance demonstration method and a compliance demonstration point defined for each applicable requirement. Care should be taken in defining the emissions units, as different emissions unit configurations may trigger different requirements, including compliance monitoring requirements. The following discussion provides four examples of how emissions units can be defined. This discussion is based upon examples provided in Oregon Department of Environmental Quality's Federal Operating Permit Application Guidebook. Example 1: A facility has four boilers. All boilers burn the same fuels, emit the same pollutants, and have the same emissions standards. The boilers share a common stack. The boilers may be grouped as a single emissions unit because a single compliance demonstration method and criteria can be used to demonstrate compliance. Grouping the boilers as a single emissions unit provides the owner/operator flexibility in how steam is produced, as long as the operations remain under the permitted maximum steaming rate. Example 2: A facility has four boilers, each with its own stack. One of the boilers is subject to NSPS but the other
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three are not. If the owner/operator wanted to group all four of the boilers as a single emissions unit, then all four boilers would have to comply with the more stringent NSPS requirements, rather than just the one boiler. An advantage to grouping all four boilers as one emissions unit might be in reducing compliance demonstration work. However, the more stringent NSPS requirements may offset the advantage of less compliance demonstration work. Example 3: A facility has a boiler and an incinerator. Because different applicable requirements apply to the boiler than to the incinerator, they cannot be grouped together as a single emissions unit. Example 4: A facility has two recovery furnaces, two power boilers, a lime kiln, and a smelt dissolving tank vent (SDTV) emitting to a single stack. The kill has a bypass stack; the boilers do not. The boilers are ducted separately to the stack. All of the devices emit Particulate Matter (PM). There is also an opacity limit on the stack. For purposes of the Operating Permit application, the emissions units are defined as follows: All of the devices are grouped as a single emissions unit for opacity, which is monitored continuously at the stack. The lime kiln is one emissions unit for PM because there is a separate applicable requirement for the lime kiln. Compliance with this limit is demonstrated through source testing at the bypass stack. The SDTV has different applicable requirements than the lime kiln, so it is a separate emissions unit for PM. Compliance with this limit is demonstrated through source testing at the duct leading to the main stack. The two recovery furnaces have different applicable requirements than the lime kiln and SDTV, so they are a separate, single emissions unit for PM. Compliance with this limit is demonstrated through testing the main stack simultaneously with the SDTV test. Of the two power boilers, one power boiler idles during the recovery furnace source test, while the other power boiler does not operate. Flow rates from the boiler are accounted for during testing, but the PM emissions from the boiler are considered negligible. Again, the Operating Permit team can "brainstorm" to assist with developing emissions units that meet the criteria of having the same applicable requirements, emitting the same pollutants, and sharing the same compliance demonstration methods. Once the emissions units have been defined, update the emission inventory worksheet and the applicable requirements summary to reflect the groupings chosen. Step 6 - Develop Compliance Demonstration Methods Review the emission inventory worksheet and emissions units to find similarities and differences in emissions quantification and potential compliance demonstration methods. Also review "mandatory" verses "chosen" compliance demonstration techniques, as well as frequency of recordkeeping and reporting requirements. Sources subject to the Operating Program must demonstrate compliance with all applicable requirements during the life of the permit and compliance reports certifying compliance must be submitted annually, at a minimum. Compliance demonstration methods may include Continuous Emission Monitoring Systems (CEMS), source testing, monitoring control system parameters, monitoring process operating parameters, monitoring maintenance procedures, fuel sampling and analysis, and periodic monitoring of emissions, process parameters, or control devices using portable or in situ measurement devices. The type of compliance demonstration method chosen may depend upon the frequency of recordkeeping required and whether a compliance demonstration method is specified within an applicable regulation. For example, in areas of ozone nonattainment, agencies may require hourly or daily tracking of Volatile Organic Compound (VOC) emissions. This frequency of recordkeeping may justify a continuous monitoring system for process parameters rather than a manual log of material usage. Developing compliance demonstration methods is usually the most burdensome aspect of the Operating Permit endeavor, considering that the facility will have to adhere to the recordkeeping and reporting requirements specified, and that most often these requirements are added to those currently in place at the facility. If developing workable compliance demonstration methods is not possible for the defined emissions units, return to Step 5 and redefine the emissions units, keeping in mind the potential effect on the applicable requirements summary, the operating scenario descriptions, and the emission inventory worksheet. Again, "brainstorming" with the Operating Permit team will add valuable information and options to this process. Step 7 - Complete Permit Application Forms Once the compliance demonstration methods have been developed and are found to be workable with respect to the operating scenarios, applicable requirements, and emissions units, the iterative process is finished and the final task of completing the permit application forms remains. At this point, the facility should be well defined by the emission inventory worksheet and operating scenario descriptions, and the regulatory environment should be well defined by the applicable requirements summary and compliance demonstration methods. Completing the forms is now be a matter of "filling-in-the-blanks", albeit many blanks. A draft copy of the application forms should be prepared and submitted to the agency permit writer for review and a meeting should be scheduled for discussion of the draft application. This meeting will provide an opportunity for the agency permit writer to become more familiar with the facility and to address any new
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information which may be pertinent to the facility. The Operating Permit Program is constantly evolving and many changes can be expected between the initial meeting with the agency and this meeting, particularly in the area of compliance demonstration. In addition, this meeting provides an opportunity for the applicant to get a read on whether the compliance demonstration methods selected will be acceptable, and if so, to get a headstart on implementing the new monitoring and recordkeeping systems. Finally, the latest information on applicable requirements and insignificant sources can be obtained and incorporated into the permit application in order to take full advantage of the permit shield. When the final application forms have been completed, they are ready for the signature of a responsible official within the company. A responsible official is defined with section 114(a)(3) of the Clean Air Act and is usually one who has control over the financial and operational aspects of the facility. The certification language which must be signed by the official is often debated among attorneys and agency representatives. Any negotiation of the certification language should take place at the onset of the Operating Permit application process and not as part of this final step. When submitting the application to the agency, an electronic copy may be requested in addition to numerous bound copies. The agency may also be willing to accept the applicant's version of a draft Operating Permit. Often this permit as drafted by the facility can save the agency reviewer time in deciphering the facility operations, emission inventory, and operating scenarios. Check with your agency permit writer and Operating Permit team as to whether submitting a draft permit could be helpful. Once the application is submitted, agency review and approval time may require three to six months, including an opportunity for public comment. Conclusion Obtaining an Operating Permit is an iterative process involving seven key steps and the skills of an Operating Permit team. The seven-step approach is to: Assess applicability Inventory emissions Define operating scenarios Evaluate applicable requirements Define emissions units Develop compliance demonstration methods Complete permit application Working as a team, performing each of these steps and understanding the iterative relationship between the steps will aid in progressing more efficiently and confidently toward obtaining a workable Operating Permit.
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Figure 1
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SECTION 3 WATER RESOURCE EFFICIENCY
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Chapter 21 Estimating Water Resource Conservation Potential at Major Military Installations D.R. Dixon, F.V. DiMassa and Q.K. Fitzpatrick Abstract In response to the requirements of Executive Order 12902 - Energy Efficiency and Water Conservation at Federal Facilities, the U.S. Army Forces Command (FORSCOM) commissioned Pacific Northwest Laboratory (PNL)(a) to initiate a study of the water conservation potential at each of its major installations. This assessment was meant to be a 'first pass" estimate of the water savings potential, which would assist FORSCOM in prioritizing its installations for detailed water audits and water efficiency retrofits. PNL researchers have developed a modular and automated process to integrate the information from the Real Property List (RPL) with facility-specific water utilization indexes (WUIs), actual monthly water and sewer usage data, and empirical data on water end-uses, to estimate the disaggregated water use (e.g., faucets, toilets, urinals, showers, landscape irrigation) at each FORSCOM installation. Data were collected from each site via a water use questionnaire followed by individual phone interviews. A water resource opportunity (WRO) database was assembled from a variety of sources and applied to the disaggregated water use data to estimate the potential for water-use reduction. The WRO database has specific retrofit and replacement technologies for plumbing, processes, landscape irrigation, and other miscellaneous end-uses. Cost data for water, sewer, and energy to heat and pump water were used to estimate the dollar savings associated with the water-use reduction. Summary data were generated for each installation, including the water and cost savings by facility type and end-use. These results were used to rank and prioritize the installations for more detailed water audits where the cost-effectiveness of individual retrofits can be examined. Introduction On March 11, 1994, President Clinton signed Executive Order 12902 - Energy Efficiency and Water Conservation at Federal Facilities. Section 302 of the Executive Order calls for energy and water prioritization surveys of federal facilities to be conducted. The surveys will be used to establish priorities for conducting comprehensive facility audits. In response to the requirements of the Executive Order, the U.S. Army Forces Command (FORSCOM) tasked Pacific Northwest Laboratory (PNL) to initiate a broad study of the water savings potential at each of its major installations. This paper provides a summary of the complete assessment of the water, sewer, energy (for hot water production and pumping), and associated cost savings potential at ten of the major FORSCOM installations. This assessment is meant to be a "first pass" estimate of the water savings potential, to assist FORSCOM in prioritizing installations for detailed water audits and potential water efficient retrofits. In addition, the end uses (toilets, sinks, showerheads, irrigation, etc.) with the greatest water savings potential are identified at each installation. Background PNL has significant experience working at FORSCOM installations performing integrated energy assessments using the Facility Energy Decision Screening (FEDS) analysis approach. The FEDS process provides a comprehensive, top-down approach to integrated resource (energy) planning and acquisition. This approach is being extended to include water and wastewater in the resource assessment. (a) Pacific Northwest Laboratory is operated for the U.S. Department of Energy by Battelle Memorial Institute under Contract DE-AC06-76RLO 1830.
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The methodology for that extension is being developed through this activity with FORSCOM. Because of time and resource limitations, the top ten water users of the 17 major FORSCOM installations were selected for analysis. All ten responded with sufficient information to complete the analysis. The ten installations included in this study are: Fort Bragg Fort Campbell Fort Carson Fort Dix Fort Drum
Fort Hood Fort Lewis Fort Polk Fort Sam Houston Fort Stewart
Technical Approach The principal objective of this study is to estimate the cost savings potential (associated with water, sewer, and energy savings) achievable through efficiency improvements in the end-use systems at the major FORSCOM installations and to prioritize these installations based on savings potential. This prioritization will give direction for an in-depth study of the installation(s) with the highest savings potential. The technical approach employed by PNL to accomplish this objective consists of the following steps: perform a literature review and develop the technical approach; collect data from the selected FORSCOM installations; develop a spreadsheet program to perform numerical analysis; and prepare summary statements. PNL developed a spreadsheet program to accommodate the large volume of data and data-processing requirements of the analysis. The spreadsheet program consists of several interlinked modules, as illustrated in Figure 1. Details on the spreadsheet program and each step of the technical approach are provided in this section. Data Collection A questionnaire was developed by PNL and distributed by the FORSCOM Energy Branch to the utility managers at each installation. The analysis team at PNL followed-up the distribution of the questionnaire with telephone interviews. The general information requested included total monthly water and sewer purchased and/or production volume and cost, monthly population data, and information on metered or estimated reimbursable water use. More specific information was also requested such as central heating and cooling plant water-use logs, information on landscape irrigation practices, and water conservation measure penetration rates. Information on Rate A for water and sewer was also requested from the installations. Rate A, the rate charged to reimbursable government water users, represents all production or purchased water costs to include electrical costs for pumping and all filtration and treatment costs of water and wastewater. Real Properties List (Rpl) Module The RPL database, which is a component of the Integrated Facilities System Mini/Micro (IFS-M) Program, was provided to PNL in electronic form by the US Army Center for Public Works. For several years PNL has made extensive use of the RPL database in its integrated energy assessments at FORSCOM installations and other DoD sites. The RPL database contains installation-specific information on building square footage, age, use, capacity, and utility connections (water, sewer, electrical, etc.). For each FORSCOM installation, the buildings that are listed in the RPL database were categorized into 20 facility types. Each facility type has unique water use characteristics based on end-use equipment and fixtures, hours of operation, and occupancy. The facility types are: Administration Barracks Chapels Commissary Detached Restrooms Dining Education Family Housing Hospital Irrigation
Lab/Clinic Laundry Plant Pool Process Recreation Shop Utility Building Vehicle Wash Warehouse
Facilities Water Use Breakdown Module In this module, the aggregate water use for each facility category is determined. Whenever possible, metered data were used to estimate water use in each facility type. When metered data were not available, calculations were performed to estimate water usage. Calculations relied on water use indexes (WUIs) identified in the literature. The largest single source of WUIs was found in a software program developed for the USCOE Institute for Water Resources by Planning and Management Consultants Ltd., ''Installation Water Resources Analysis and Planning System" (IWRAPS) 1,2, to forecast water consumption at military installations. IWRAPS (1994) used metered data from military installations to develop WUIs that estimate water consumption in building types on an area basis
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Figure 1. Water Usage and Cost Savings Potential Spreadsheet Program Flow Diagram (e.g., gallons/square foot). These WUIs cross checked satisfactorily with the other sources found in the literature 3. These WUIs and Real Property List building types were used to calculate the facility type water consumption. In addition to calculating facility water use, total metered water supply data and sewer data were analyzed to estimate the percentage of water losses and the percentage of total attributable to landscape irrigation. Estimates of water losses are cross checked with values found in the literature or with estimates by personnel at the installation. The facility water use at each installation was summed and reconciled to the actual water supply from the installation. Percentages of water use at each facility type were calculated to determine the largest consumers of water for each installation. The end uses for the facilities with the largest water use were analyzed in the disaggregated end-use module. Information on typical end-use distributions for many of the facility types was found in the literature 4,5. This information was used to disaggregrate the end-uses for each of the facility types. These estimates are not based on military facilities because this information was not found in the literature. Water Resource Opportunity (Wro) Module A list of water efficient technologies and techniques was compiled to determine the water savings potential for each end use 6,7,8. This compilation is referred to as the Water Resource Opportunity (WRO) list. For use in the WRO module, the WRO list is broken down by end use (e.g., toilet, urinal, landscape irrigation) and provides
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several efficiency opportunities for each end use, including conservation retrofit and replacement options. The savings associated with technologies were identified in case studies and manufacturers' data. Savings estimates for some technologies, such as irrigation and cooling processes, are estimated based on engineering estimates. The major categories included in the WRO list are plumbing, processes, and irrigation and landscaping. End-Use Savings Module Water use for each facility type was determined in the facility water use breakdown module. In the disaggregated end-use module, the water use of specific end uses was estimated. In this module, water savings are calculated for those end uses. The water savings are determined by applying the WRO percent savings potential to each water end use. Low, high, and average savings are calculated to represent the range of savings that exist with different water-efficient technologies. Usage and Cost Savings Module Cost savings for water and sewer are derived using the price for water established by Rate A, the rate charged to reimbursable government water users. Rate A, given in the unit of $/Kgal, has two major components: Unit Cost Purchase/Production and Unit Cost Maintenance. Cost of Purchase includes the purchase cost of water (if water service is provided by a municipal water utility or other outside water agency) and any pumping energy/costs for distribution that occur at the installation. Production costs include costs associated with pumping the water from onsite wells or surface waters and with operating the water filtration and treatment plant(s). It is not uncommon for a FORSCOM installation to both purchase and produce water. The Unit Cost Purchase/Production of Rate A for both water and sewer is used directly to establish cost savings in this analysis. The Cost of Maintenance is not in-eluded in this analysis because determining the savings associated with reduced run-time of pumps and subsequent reduction in maintenance requirements would require an in-depth analysis of current maintenance practices, which is beyond the scope of this study. Summary of Results This section summarizes pertinent information calculated on each installation in the analysis. This summary information is used to develop a strategy for prioritizing the sites based on highest savings potential. Table 1 summarizes the following information for each installation: current water consumption, sewer flow, costs associated with water, estimated water savings, wastewater treatment savings, and cost savings. The savings analysis was based on annual water, sewer, and cost figures. Please note, 100% implementation of water efficient technologies was assumed. Although this assumption yields the maximum savings potential at each installation, it provides consistent results for purpose of comparison. The following is a description of each component of Table 1. The Current Water Use is the total annual water consumption of the installation. The Potenial Average Water Savings represents the sum of the average savings calculated in the end-use savings module. The Potential Overall Water Savings is the average savings divided by the total annual water consumption of the installation. The Current Sewer column shows the total annual installation treated water in kilogallons. The Potential Average Sewer Savings represents the savings associated with decreasing the sewer flow by reducing water consumption. This figure includes savings for all end uses that contribute to sewer flow. The Potential Sewer Savings column is the average savings divided by the total annual sewer flow of the installation. The Current Total Cost column shows the total annual cost associated with water (purchased/production), sewer, and energy required to heat water. The Potential Total Cost Savings represents the reduction in cost due to applying the average water savings, average sewer savings, and hot water energy savings. The Potential Overall Cost Savings is the current total cost divided by the total cost savings. The installation with the greatest water savings potential does not necessarily have the greatest cost savings potential. This disparity is the result of different water rates at each installation. Table 2 summarizes the purchase/ production Rate A cost for water and sewer for each installation to assist in revealing the differences in savings. Table 3 shows the percentage of unaccounted water losses for each installation. The unaccounted water losses is the difference between the baseline water consumption and the sewer flow. Irrigation water use is not included in the baseline consumption. The unaccounted water losses may include water consumption in end uses not addressed in this assessment, water consumed in a process or operation, or leaks in the distribution system. The installations with high unaccounted water losses tend to have low overall water savings. This is due in part because leak detection was not investigated in this project. Leak detection requires an indepth onsite study to determine location and extent of leakage; therefore, it is beyond the scope of this initial study. Installations that have large penetration rates of water efficient technologies may have lower water savings
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TABLE 1. INSTALLATION SUMMARY Potential Ave. Potential Overall Potential Ave. Potential Current Total Potential Total Potential Current Water Water Savings Water Savings Current Sewer Savings Sewer Savings Cost ($) Cost Savings ($) Overall Cost Installation Use (Kgal) (Kgal) (%) Sewer (Kgal) (Kgal) (%) Savings (%) Fort Bragg 2,211,338 631,413 29 1,784,353 467,691 26 1,968,881 567,948 29 Fort 1,704,527 197,854 12 1,123,933 197,854 18 1,861,583 340,344 18 Campbell Fort Carson 1,035,028 315,718 31 585,794 207,500 35 3,136,978 999,366 32 Fort Dix 702,000 218,682 35 642,132 202,682 32 3,584,421 1,061,396 30 Fort Drum 736,092 177,786 24 596,556 169,786 28 923,987 413,738 45 Fort Hood 2,270,074 684,856 30 1,466,900 496,133 34 1,829,475 580,715 32 Fort Lewis 2,192,404 484,059 22 932,200 271,188 29 1,294,414 485,302 31 Fort Polk 1,830,561 419,792 23 1,251,816 317,054 25 4,007,822 1,056,354 26 Fort Sam 1,241,167 400,029 32 738,494 180,249 24 2,126,670 661,986 31 Houston Fort Stewart l, 134,803 209,029 21 864,102 170,155 20 1,306,261 349,093 27
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TABLE 2.WATER PURCHASE/PRODUCTION AND SEWER RATE A COST Water Purchase/Production Sewer Purchase/Production Installation Rate A (%/Kgal) Rate A ($/Kgal) Fort Bragg 0.3422 0.2118 Fort 0.4301 0.5407 Campbell Fort Carson 1.8180 1.4226 Fort Dix 1.8091 2.5340 Fort Drum 0.3436 1.1249 Fort Hood 0.2700 0.3200 Fort Lewis 0.2322 0.4472 Fort Polk 0.9177 0.9124 Fort Sam 0.3435 1.4188 Houston Fort Stewart 0.1440 0. 4360 TABLE 3. UNACCOUNTED WATER LOSSES Unaccounted Water Losses (Kgal) Installation % Fort Bragg 1 Fort Campbell 34 Fort Carson 9 Fort Dix 5 Fort Drum 10 Fort Hood 15 Fort Lewis 33 Fort Polk 24 Fort Sam Houston 15 Fort Stewart 3 opportunities because the installation has taken steps to conserve water. For example, Fort Campbell has both a high penetration rate of low flush toilets and a high unaccounted water loss percentage; thus the opportunity for savings is greatly reduced. Figure 2 shows the average annual water savings and associated cost savings for the sites. This graph illustrates the relationship between water and cost savings. For example, an installation with large water savings may not have high cost savings as a result of a low water cost. Strategy So what does this all mean for FORSCOM? The results of this water assessment of FORSCOM installations gives a mixed picture as to the priorities for future work. This first pass gives a quantitative measurement of the water and sewer savings potential in gallons, and the cost savings associated with water, sewer, and energy reduction. Looking at the installations by the conservation potential (water/sewer) results in one rank order, while looking at them strictly based on cost savings results in a different order. What is the right way to look at FORSCOM sites? The answer is really none of the above. A complete lifecycle cost analysis of the water and sewer opportunities needs to be made to determine the magnitude of cost-effective savings at each installation. That is the next step and requires more detailed information on the buildings, occupancy schedules, and water end uses at each site. However, this initial assessment can be used to focus this subsequent analysis on the installations and end uses of greatest potential. If the FORSCOM installations are ranked by their water plus sewer volume reduction potential (kilogallons), the ranking would be as follows: Fort Hood Fort Bragg Fort Lewis Fort Polk Fort Sam Houston
Fort Carson Fort Dix Fort Stewart Fort Campbell Fort Drum
Forts Hood and Bragg have the greatest water conservation potential by a wide margin over the remaining sites.
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Figure 2. Water and Cost Savings If the FORSCOM installations are ranked by the cost savings resulting from the water, sewer, and energy reductions, the ranking would be as follows: Fort Dix Fort Polk Fort Carson Fort Sam Houston Fort Hood
Fort Bragg Fort Lewis Fort Drum Fort Stewart Fort Campbell
Similarly, Forts Dix, Polk, and Carson have the greatest cost savings potential by a wide margin over the remaining sites. These three installations also have the highest cost ($/kilogallon) for water and sewer. Given that the primary driver for water/sewer reduction should be cost savings, and that EO 12902 has no specific quantitative goals for water reduction at the agency or installation levels, the second priority list is more appropriate for FORSCOM. This list would maximize the cost savings to FORSCOM providing that most of the projects that were identified meet the LCC requirements. Forts Dix, Polk, and Carson have some of the highest water and sewer rates within FORSCOM, and this would increase the likelihood that the projects would be cost-effective. In addition to the installations with the greatest cost savings potential, this analysis also revealed which end uses have the greatest potential for water reduction. In almost all cases these end uses were toilets and irrigation. Replacing toilets with ultra low flush models will only be cost-effective in locations with relatively high water and sewer rates. Forts Dix, Polk, Carson. Sam Houston, and Drum are installations where the rates may be high enough. Irrigation improvements may take a lot of different forms including timers, moisture detectors, drip systems, xeriscaping, etc. Several of the installations appear to use 25% to 50% of their water for irrigation, and would benefit greatly from some of these improvements.
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The benefits from a leak-detection program were not addressed in this assessment, but based on the significant amount of unaccounted water losses, this should be a part of any water-reduction program at FORSCOM installations. Recommendations This assessment indicates that FORSCOM should begin to look at specific installations in more detail and identify cost-effective projects that reduce water and sewer costs. Using the cost savings potential as a guide, Forts Dix, Polk, and Carson appear to be the best locations to start. These installations had a significantly higher cost savings potential than the other seven, primarily due to the high cost of their water and sewer services. Fort Dix, for example, has the highest Rate A water/purchase production component of any of the installations that produce their own water. These installations could serve as models in doing detailed water audits that could then be applied to the other installations. The detailed audits would identify cost-effective projects that could be implemented over several years to make a significant reduction in water and sewer costs. Other recommendations include: Data should be collected on the remaining FORSCOM installations (particularly Fort Irwin) to see if there are other locations that would have similar savings potential to the ten in this initial assessment. A leak-detection program should be instituted at all FORSCOM installations. Personnel should be trained in leak-detection methods (possibly by CERL), and initial surveys should be done to identify major sources of water loss. Simple histograms should be developed to indicate if water technologies would be cost-effective at a given location. These histograms would be similar to the ones developed for the Federal Relighting Initiative to quickly assess the life-cycle cost-effectiveness of lighting technologies. The water histograms would vary the cost of water, sewer, and energy for each technology and show how much water would have to be saved in order to be cost-effective. References 1. USCOE Institute for Water Resources by Planning and Management Consultants Ltd. 1994. Installation Water Resources Analysis and Planning System. 2. Dziegielewski, B. ''IWR-Main 6.0: A Tool for Demand Management and Planning," Journal AWWA, p. 24. 3. Bandy, J. T., and R. J. Scholz. August 1993. US Army Corps of Engineers. Distribution of Water Use at Representative Fixed Army Installations (technical report N-157). 4. Bruvold, W. H., and P. R. Patrick. August 1993. "Evaluating the Effect of Residential Water Audits," Journal AWWA, pp. 79-84. 5. Enviro-Management and Research, Inc. 1994. Water Management, A Comprehensive Approach for GSA Facility Manager. 6. Behling, P. J., and N.J. Bartilucci. October 1992. "Potential Impact of Water-Efficient Plumbing Fixtures on Office Water Consumption," Journal AWWA, pp. 74-78. 7. Rocky Mountain Institute. 1991. Water-Efficient Technologies A Catalog for Residential/Light Commercial Sector, Second Edition. 8. Rocky Mountain Institute. November 1991. Water Efficiency - A Resource for Utility Managers, Community Planners, and Other Decisionmakers.
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Chapter 22 Preliminary Water Audit at Ft. Carson Colorado Using the Reep Program R.J. Nemeth, R.J. Scholze and P.G. Stroot Abstract The National Energy Policy Act of 1992 for U.S. government facilities has been an effective added incentive for the efficient use of water by mandating conservation and reuse efforts. It added impetus to existing water reuse/conservation programs already underway to varying degrees at Army installations. USACERL (U.S. Army Construction Engineering Research Laboratories) researchers have historically been leaders in the area of water and energy conservation and were asked to undertake a water conservation opportunity assessment at an Army installation in a semi-arid environment and comprehensively address opportunities for improved water efficiency, reuse and conservation. This paper describes a preliminary study at a military installation which systematically identified water conservation options for in-place water consuming fixtures. This study is intended to be conducted prior to an actual audit and assist in identifying areas for conservation. The different water conservation opportunities are identified and their water savings potential estimated. This is followed by prioritization of the opportunities as projects according to savings to investment ratio and simple payback. The legislation allows a ten-year payback and requires a savings to investment ratio of 1.25. This study will examine one installation covering a variety of building types. Water conservation opprtunities will be described, analyzed, and prioritized. Introduction USACERL was funded to conduct an Energy Engineering Analysis Program (EEAP) study at Ft. Carson, Colorado. The purpose of the study was to assess the current water consumption patterns, trends, and uses at the installation, identify viable projects, and develop an implementation strategy. Prior to conducting this study a preliminary analysis was conducted using the Renewables and Energy Efficiency Planning (REEP) program. This paper describes the preliminary work prior to an actual on-site audit. Ft. Carson is located directly south of Colorado Springs, and is on the eastern (dry) side of the rocky mountains. The climate is semi-arid. Ft. Carson purchases its potable water from the city of Colorado Springs, Colorado. Ft. Carson does own water rights to portions of the flow of two creeks and some ground water rights at certain areas on the installation, but these sources are primarily used for irrigation and are minor uses. Background/Historical Perspective Beginning in 1976 USACERL conducted research at Ft. Carson to characterize where water was being used and develop conservation approaches based on water consumption trends. Thirty-seven meters were installed throughout the installation at various facility types to gain an overview of where water was being consumed. 1 Army policy is generally to meter only tenant activities. Family housing, barracks, administrative, and mission related facilities are typically not metered. Based on 47 months of data collected from October 1978 through August 1982, clear seasonal cycles were identified and usage for various facility types were extrapolated from the meters on different building types. The following data provides a summary of the data collected during this monitoring period.2
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Variations in seasonal consumption were significant. Minimum use occurred during a five month period from November through March. Average use during this time was 2.1 million gallons per day (mgd). Peak usage was from June through August and reached a maximum 5.4 mgd (July 1980). The annual average use was approximately 3.0 mgd. The great fluctuation between summer and winter usage indicates irrigation and other seasonal uses significantly impact annual consumption patterns. Findings showed that on an annual basis, family housing used the most water. The average amount of water billed to Family Housing during Fiscal years 79, 80, and 81 was 977,00 gallons per day (gpd), or about one-third of the installation's total water use. Per capita water use during t the year varied from a low of 72 gpd in January to a high of 238 gpd in July. The high summer usage was speculated to be due to intensive lawn irrigation. The average over the entire year was 177 gallons per capita-day (gpcd). The following 3 pie charts illustrate annual, winter, and summer usage characteristics at Ft. Carson.
Figure 1 Annual Water Distribution - 3 mgd Average Of the 30% of water used for irrigation on an annual basis, 14% can be attributed to family housing, and 16% for other irrigation purposes.
Figure 2 January Water Distribution - 2.1 mgd Average
Figure 3 July Water Use Distribution - 4.7 mgd Average Installation Overview The following tables provide a brief overview of Ft. Carson and associated water data. TABLE 1 INSTALLATION AREA Improved Grounds Unimproved Grounds Tota TABLE 2 INSTALLATION POPULATION Fiscal Year Population 1994 17,072 1993 27,464 1992 54,755 1986 31,115
Acres 9,483 363,063 373,546
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Current water consumption figures for Ft. Carson. TABLE 3 WATER USAGE Fiscal Water Service Water Purchased Year KGal/Yr KGal/Yr 1994 1,504,869 1,504,392 1993 1,004,115 1,001,498 1992 1,113,853 1,060,633 1986 1,209,434 1,200,434 * - Unfiltered Water
Water Filtered KGal/Yr 477 2,617 53,220 8,924*
TABLE 4 WATER UNIT COSTS Fiscal Water Service Water Purchased Year $/KGal $/KGal 1994 1.12 1.12 1993 1.22 1.18 1992 0.95 0.86 1986 1.14 1.12 * - Unfiltered Water
Water Filtered $/KGal 17.48 17.50 2.63 3.81*
TABLE 5 WATER TOTAL COSTS Fiscal Water Service Water Purchased $ Year $ 1994 1,691,600 1,683,260 1993 1,228,587 1,182,778 1992 1,056,020 915,787 1986 1,381,202 1,347,232 * - Unfiltered Water
Water Filtered $ 8,340 45,809 140,233. 33,970*
Current sewage figures for Ft. Carson. TABLE 6 VOLUME OF SEWAGE PROCESSED Fiscal Sewage Purchased Sewage Treated Domestic Year Service Disposal KGal/Yr Sewage KGal/Yr KGal/Yr 1994 809,054 24,7,322 561,732 1993 822,759 113,081 670,582 1992 707,616 81,234 626,382 1986 1,473,949 21,427 1,452,522
Industr'l WasteTrtmnt KGal/Yr 39,096 -
TABLE 7 SEWAGE UNIT COSTS Fiscal Sewage Purchased Sewage Treated Domestic Industr'l Waste Year Service Disposal $/KGal Sewage $/KGal Trtmnt $/KGal $/KGal 1994 0.80 1.22 0.61 1993 0.58 1.25 0.44 0.94 1992 0.35 0.98 0.27 1986 0.28 0.78 0.25 0.42 TABLE 8 SEWAGE TOTAL COSTS Fiscal Sewage Purchasd Sewage Year Service Disposal $ $ 1994 643,980 302,039 1993 475,163 140,801 1992 247,164 79,669 1986 406,569 16,631
Treated Domestic Sewage $ 341,941 297,500 167,495 361,753
Industr'l Waste Trtmnt $ 36,862 -
Interesting to note from all these values is that the population of the installation underwent significant reductions from 1986 to 1994, yet water consumption rose. Conversely, sewage treatment declined. One could speculate that during this time period, irrigation practices increased significantly since water used for irrigation does not show up in sewage treated figures.
does not show up in sewage treated figures. TABLE 9 OVERVIEW OF BUILDING TYPES Building SF (FY93) Type Training 480,000 Maint. & Production 1,452,000 Research Dev. & Test 2,000 Storage 1,023,000 Hospital & Medical 692,000 Administration 1,065,000 Barracks 2,384,000 Community 1,029,000 Family Housing 2,686,000 Other 485,000 Total 11,298,000
% of Total SF 4.25% 12.85% 0.02% 9.05% 6.12% 9.43% 21.10% 9.11% 23.77% 4.29% 100.00%
Family housing and barracks comprise approximately 45% of the total square footage on the installation. What can be inferred from this is that a significant portion of the installation's water consumption (at least that which is not being used for irrigation) is being used for domestic purposes. Water Usage Profile Development of a comprehensive water conservation program would require a thorough identification of water usage profiles of all the various users on the installation. However, determining where water is being consumed on most military installations is difficult due to the absence of meters. There are numerous water consumers on an installation. Some of these uses can be considered static, i.e. their usage patterns don't change or fluctuate much over time. A good example of this would be water usage attributed to persons for everyday use for toilets, bathing, and cooking. Other uses such as irrigation and car washing can be very seasonal and fluctuate significantly
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throughout the year. Likewise, water usage for mission related functions such as tracked-vehicle washing depends on the degree of training activities at any one time. It is obvious from the previous research conducted at Ft. Carson that the seasonal component of water usage is substantial. Of course any comprehensive water conservation strategy would need to address irrigation and warm seasonal uses, but this paper will focus on the potential for water conservation in buildings. Furthermore, industrial process and facilities will also be neglected due to the diverse mix of uses and lack of available data. Opportunity Identification The easiest opportunities to identify for water conservation are those associated with in-place water consuming fixtures. For this study, eight Water Conserving Opportunities (WCOs) for water conservation in buildings and one for water distribution leak repair were examined using the Renewables and Energy Efficiency Planning (REEP) program. The REEP program was developed by USACERL to analyze energy and water conservation opportunities at DoD installations. Table 10 lists the opportunities examined, and also lists to which building types they apply. TABLE 10 WCOs ANALYZED WCO Faucet Aerators Horiz. Axis Washing Mach's Low-flow Shower Heads Ultra-Low Flow Toilets Water Conserving Dishwashers Water Dist Leak Repair Flush Valve - Toilets Flush Valve - Urinals Waterless Urinals
PenetrationBldg Type 45 % Family Housing 0 Family Housing % 45 % Family Housing 0 Family Housing % 0 Family Housing % 20 % Infrastructure 30 % All Bldgs but FH 30 % All Bldgs but FH 0 All Bldgs but FH %
The penetration refers to the estimated existing implementation of the technology at the installation. For example, 45% of the opportunities for implementing Faucet Aerators have been realized. In effect, this factor is used to scale the number of opportunities at a given installation. REEP offers the capability of customizing each penetration factor for each WCO. REEP does not have any technologies dealing with irrigation practices. In order to estimate the number of opportunities for each conservation option, some installation data is required. The installation information used for this study was mostly obtained from the Facilities Engineering and Housing Annual Summary of Operations. 3 The data listed in Table 11 is required to conduct this analysis: TABLE 11 REQUIRED INSTALLATION DATA Description 1 Thousands of gallons of water used 2 Total cost of water service 3 Unit cost of water service 4 Thousands of LF of water dist lines 5 Thousands of gal's of waste water treated 6 Total cost of sewer services 7 Unit cost of sewer services 8 Thousands of SF of training facilities 9 Thousands of SF of maint. facilities 10Thousands of SF of R & D facilities 11Thousands of SF of storage facilities 12Thousands of SF of hospital/medical fac. 13Thousands of SF of administrative fac. 14Thousands of SF of barracks facilities 15Thousands of SF of commercial facilities 16Thousands of SF of family housing fac. 17Location indices to localize const costs 18Marginal elec. cost from utility rate book
Units K Gal $ $/KGal KLF K Gal $ $ KSF KSF KSF KSF KSF KSF KSF KSF KSF $/kwh
Table 12 provides the number of conservation opportunities calculated by REEP. TABLE 12 NUMBER OF CONSERVATION OPPORTUNITIES WCO # of WCOs Faucet Aerators 2,955 Horiz. Axis Washing Machines0 Low-flow Shower Head 985 Ultra Low Flow Toilets 3,581 Water Conserving Dishwashers 0 Water Distribution Leak Repair 224 Flush Valve Toilets 761 Flush Valve Urinals 388 Waterless Urinals 0
The number of opportunities can also be further subdivided into number of opportunities per building type. For example, Table 13 provides a breakout of the flush valve opportunities.
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TABLE 13 WHERE FLUSH VALVE (FV) OPPORTUNITIES EXIST FV- Urines FV- Toilets Administration 64 160 Barracks 172 344 Community Facilities 63 63 Hospital & Medical 32 81 Training 57 113
Figure 4 Where Flush Valve Opportunities Exist The benefit of identifying the number of opportunities in each building type is that if the subsequent economic analysis demonstrates that the particular WCO should be instituted, then those building types with the most opportunities could be targeted for the initial retrofits. Table 14 provides the number of conservation opportunities in family housing. TABLE 14 OPPORTUNITIES IN FH Family, Housing Faucet Aerators Low Flow Shower Head FH Ultra Low Flow Toilets
# of WCOs 2,955 985 3,581
Conservation and Economic Assessment Identifying opportunities for water conservation are much simpler than assessing their conservation and financial aspects. Likewise, analyzing certain conservation options may be simpler than others as will be the degree of confidence in their conservation and economic analysis. Almost any analysis involves having to make estimates for certain variables. For example, replacing a 7 gallon per flush toilet with one that consumes 1.6 gallons per flush saves 5.4 gallons every time the toilet is flushed. For an economic evaluation on whether or not to replace the toilet, the only unknown for which an estimate needs to be made is how often the toilet is used. Everything else has known costs associated With it: the cost of the toilet and labor of installation, and water and sewer costs are all known. The REEP program was also used to analyze the resource savings and financial aspects of water conservation opportunities. Costs for fixtures and labor were taken from Means Estimating Guides. Utility costs were obtained from the Facilities Engineering and Housing Annual Summary of Operations. Characteristics of the fixtures themselves were obtained from manufacturers' information and other research. Table 15 provides the overall results generated using REEP for the entire installation. PEEP estimates that water consumption can be reduced by almost 21 percent if all economically feasible WCOs were to be instituted. TABLE 15 OVERALL RESULTS OF FT. CARSON UNITS Actual Water Consumption Kgal/year Actual Water and Sewer Cost S/year REEP Water Savings Kgal/year REEP Water Savings % REEP Water Cost Savings S/year REEP Water Cost Savings % REEP Total Investment $ Simple Payback years Savings to Investment Ratio -
VALUE 1,113,853 1,565,505 229,250 20.6 356,407 22.8 1,330,892 3.55 3.58
To identify the sources of these water savings, Table 16 provides the estimated water savings potential for each WCO across the installation.
To identify the sources of these water savings, Table 16 provides the estimated water savings potential for each WCO across the installation. TABLE 16 WATER SAVINGS PER WCO CATEGORY WCO Water Savings (KGal/Yr) Flush Valve - Urinals 16,260 Flush Valve- Toilets 24,536 FH Low-flow Shower Head 11,791 FH Faucet Aerators 4,449 Water Distribution Leak Repair 80,197 FH Ultra Low Flow Toilets 92,017 Horiz. Axis Washing Machines 0 Water Conserving Dishwashers 0 Waterless Urinals 0 Totals 229,250 The ultra-low-flow toilets demonstrate the greatest savings potential. PEEP assumes four flushes per day per person and a savings of 4.4 gallons per flush.
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After the resource savings potentials are determined, utility rates are applied to the savings to determine the economics of each WCO. Simple payback and savings to investment ratio are calculated. Figured into the economic calculations are sewer savings for those WCOs that also reduce the waste stream. Table 17 provides the investment cost and dollar savings for each WCO at Ft. Carson. The criteria used to determine whether or not to institute a WCO are that the WCO must have a simple payback of 10 years or less and a Savings to Investment Ratio (SIR) of 1.25 or greater. Those WCOs indicating zero investment and savings did not meet this criteria. Table 17. WCO COSTS AND SAVINGS WCO Total Investment ($) Faucet Aerators Horiz. Axis Washing MachinesLow-flow Shower Head Ultra Low Flow Toilets Water Conserving Dishwashers Water Distribution Leak Repair Flush Valve Toilets Flush Valve Urinals Waterless Urinals Totals
$14,596 $0 $20,541 $1,053,376 $0 $232,015 $6,744 $3,620 $0 $1,330,892
Water + Sewer Savings $8,364 $0 $22,167 $172,992 $0 $76,187 $46,128 $30,569 $0 $356,407
Figure 5 provides a graphic representation of the values in Table 17. It is clear that the investment and potential savings of low-flow toilets dwarf most of the other WCOs, but there are other points of interest here. Observe that the flush valve toilets, urinals, and low-flow showerheads provide a fair amount of savings, but have hardly any investment costs. This leads us into the subject of how to prioritize conservation efforts, i.e. what to do first.
Figure 5 WCO Investment & Annual Dollar Savings Opportunity Prioritization There are different ways to prioritize a project. Projects can be prioritized by how much water they save, by their SIR, cost to implement, etc. The approach used for this project was to prioritize projects based on their SIR. This approach maximizes the effectiveness of available monies, i.e. those projects that demonstrate the greatest financial savings should be executed first. Table 18 ranks WCOs from highest to lowest SIR. Certain conservation efforts pay back in well under one year, while others do not meet economic criteria. TABLE 18 WCO ECONOMICS WCO Flush Valve - Urinals Flush Valve - Toilets Low-flow Shower Head Faucet Aerators Water Distribution Leak Repair Ultra LOw Flow Toilets Horiz. Axis Washing Machines Water Conserving Dishwashers Waterless Urinals
Simple Payback (Years) 0.12 0.15 0.56 1.14 3.05 6.09 0.00 0.00 0.00
SIR 71.69 58.07 16.01 7.89 4.84 2.42 0.00 0.00 0.00
The economics of conservation opportunities can also be broken out by building type. As expected, SIRs vary from one building type to another. This is due to the usage rate attributed to different building types.
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TABLE 19 ECONOMICS OF FLUSH VALVE OPPORTUNITIES AT DIFFERENT FACILITY TYPES SIR for FV UrinalsSIR for FV Toilets Administration 64.08 68.32 Barracks 93.61 31.20 Community Facilities 32.09 85.55 Hospital & Medical 94.81 99.88 Training 44.50 60.06 Similarly, WCOs for family housing can also be prioritized by SIR. TABLE 20 ECONOMICS OF FH WCOs Family SIR Housing Low Flow Shower Head 16.01 Faucet Aerators 7.89 FH Ultra Low Flow Toilets 2.42 Conservation Alternatives For competing conservation alternatives, the REEP program selects the WCO with the highest SIR and shortest payback. Two conservation alternatives that compete against each other are the flush-valve retrofit for urinals and the waterless urinals. As previously indicated, the waterless urinals indicate a zero payback. This is because the retrofit flush-valve urinals had a shorter payback and better SIR. However, this selection process was based on economics', if the selection criterion is changed to amount of water saved, the waterless urinals rank above flush-valve retrofits. Although the waterless urinal may have a longer payback period than the retrofit flush valve urinal, it still meets the economic criteria imposed by the Army. At this point the decision that would need to be made is: what is more important, water savings or economics? Naturally, an important consideration is the availability of funds to implement projects. Table 21 presents the results of these two competing conservation alternatives. There are fewer flush valve retrofit opportunities than waterless urinals since it is assumed that 30% of the existing flush valve urinals have either already been retrofitted, or are low water usage devices. TABLE 21 FT. CARSON - URINAL COMPARISON Flush Valve Waterless Urinals Urinals Number of WCOs 388 555 Penetration Factor 30% 0% Total Investment $3,623 $264,989 Annual Savings $30,561 $63,683 Simple Pay Back 0.12 4.16 SIR 71.62 2.85 Water Cost Savings $30,561 $87,343 Water Savings 16,256 46,459 (kgal/yr) Water Savings 1.46% 4.17% Water Costs Savings 1.95% 5.58% Conclusions This paper has demonstrated that with the REEP program and a marginal amount of installation information, a preliminary study can be conducted that identifies the number of opportunities, where they exist, their savings, and their economics. This type of preliminary study can help focus subsequent on-site audits to examine those areas demonstrating greatest promise. Naturally this type of study would be superseded by on-site data collection and audits', however, it provides a good starting point. Audits and subsequent analysis should provide the final information necessary to develop a comprehensive water conservation program and provide the information necessary to implement projects. This will be the purpose of the EEAP study to be conducted at Ft. Carson. This paper has focused on in-place water consuming fixtures. Considering that Ft. Carson uses approximately 30% of its water for irrigation, this study only addresses a portion of the problem. A comprehensive audit would also need to examine irrigation, and other water consuming functions. This study estimates that it is economically possible to save approximately 21% of Ft. Carson's current water usage by implementing the aforementioned WCOs. Additional savings may be available from irrigation and mission related functions. References 1 Water Usage Profile- Fort Carson, CO., USACERL Interim Report N-34, March 1978. 2 Distribution of Water Use at Representative Fixed Army Installations, USACERL TR-157, August 1983. 3 US Army Engineering and Housing Support Center (USAEHSC), Facilities Engineering and Housing Annual Summary of Operations, Volume III Installations Performance, Fiscal Year 1993 (Office of the Assistant Chief of Engineers, USAEHSC, 1993).
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Chapter 23 Storm Water Management for Industrial Activities at U.S. Army Installations R.J. Scholze and P.A. Josephson Abstract Storm water management has become increasingly important in guaranteeing water quality. In the United States, the Industrial Storm Water Regulations of the Clean Water Act have promulgated many state and federal regulations and require plans which have a goal of improving the quality of the nation's waters by controlling nonpoint or diffuse sources of pollution, the last major water pollutants left in the country. The U.S. Army has been proactively involved in a program of controlling and mitigating industrial sources of pollution through an active storm water runoff pollution prevention program. Pollution prevention is meant in the broadest sense in this paper rather than a program to replace hazardous materials with less hazardous materials in processes. The Army had a centrally coordinated comprehensive program with many facets contributing to an overall Army storm water management program with an ultimate goal of getting the components of the regulations implemented. The U.S. Army in cooperation with other agencies, has developed a program to train responsible storm water coordinators and other individuals at the various types of installations on how to meet the requirements of the legislation. Training sessions were conducted which addressed the types of permits necessary, applicable regulations (highly variable between states), and development of storm water pollution prevention plans to minimize impact on water quality from storm water runoff. A model Storm Water Pollution Prevention Plan was developed and used on a contract basis for hundreds of Army installations. Best Management Practices (BMPs) are at the core of any pollution prevention and diffuse source mitigation/control program. BMPs are defined as actions or structures that prevent storm water runoff from picking up waste or polluted storm water runoff from flowing into the waters of the United States. Army installations are often the size and complexity of a small city (population 50,000). Many others such as the Reserve Centers are several acres in extent. A variety of residential, commercial, and industrial buildings and activities coexist within the boundaries of a typical large installation. Many of these activities are similar to municipalities; however, a number, such as the dozens of large motor pools, are unique to Army installations. Table 1 lists some typical industrial activities at Army installations. Storm Water Regulations Polluted storm water runoff is the last major uncontrolled source of surface water pollution. The National Water Quality Inventory Report to Congress (1988) stated that the leading cause of water use impairment was nonpoint source discharges. The Clean Water Act (CWA) Amendments of 1987 required prevention of storm water pollution and on 16 Nov 1990, the U.S. Environmental Protection Agency (EPA) promulgated phase 1 of the storm water regulations. These regulations impacted defined industrial activities and municipalities with populations over 100,000. Essentially, the regulations required: a National Pollutant Discharge Elimination System (NPDES) permit for Industrial Sources of Storm Water Discharge; a Storm Water Pollution Prevention Plan (SWPPP); and implementation of the SWPPP including implementation of the storm water runoff pollution controls (BMPs) listed in the SWPPP and monitoring for storm water runoff pollution. The regulations have been in a constant state of evolution, with resulting complexity on a national basis. Individual states
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often took their own initiative and had requirements different from the federal requirements. Evolution has continued with current Clean Water Act (1995) legislation corning from the House of Representatives (HR961) considerably more lenient than existing legislation on an national level. Future regulations as currently written by EPA include phase 2 storm water regulations which address smaller municipalities and more activities. Also in the existing program for the future are specific permits for industry, watersheds, and facilities, respectively. Many states have begun implementing parts of these programs. These regulations may also be modified after this paper goes to press. Several other federal and state regulations and programs impact storm water management; however, this paper focuses on the Industrial Storm Water Rule. Impact On Army The Industrial Storm Water Regulation affects 111 Active Army and 100 to 200 Reserve facilities. Compliance program implementation costs for fiscal years 1995 through 2000 are estimated at over $100 million. These costs would be required to: - Build storm water runoff pollution control structures - Train Army personnel - Conduct storm water runoff monitoring. The effects of the recent regulations include: hastening the establishment/improvement of site cleanliness procedures; modifications to facility layouts; and increased tasks for environmental staff at installations and supporting commands and agencies. Army installations have made rapid progress in recent years in implementing environmental awareness and compliance at installations. Environmental funding has been relatively easy to get, especially when compliance is the driver and it is needed to bring the installation into compliance with legislation or regulations. Related requirements such as hazardous materials management have also become ingrained into the culture at many locations. Facility layouts have been modified to comply with requirements to practice storm water runoff pollution prevention; for example, some installations provide centralized fueling points where vehicles must travel to a state-of-the-art facility to receive fuel rather than maintaining fuel pumps at motor pools or other locations around the base. Modifications at individual motor pools include appropriate building structures to conduct all maintenance inside. Approach The approach chosen by the Army to address regulatory requirements was to operate a centralized program as much as possible. The benefits of centralized management were to ensure that applications and SWPPPs were completed on time, minimize installation effort (the Army has been undergoing a down-sizing program and positions are being reduced, but not the workload), and the ability to bring in expert review from a variety of agencies and entities. This approach was followed with the troop installations and Reserve centers. The Army hierarchy is divided into several Major Commands (MACOMs), among them the Training and Doctrine Command (TRADOC), Forces Command (FORSCOM), Reserve Command (USAR) and Army Materiel Command (AMC). MACOMs each command a specific defense function: TRADOC - troop training; FORSCOM - force readiness; USAR - reserve force readiness; and AMC arsenal manufacturing and production. TRADOC and FORSCOM installation are often collectively called troop installations. Initially, the Army approach to complying with federal regulations was to obtain group permits for two categories, the active Army (consisting of troop installations) and the Reserves due to their similarities. The Army Materiel Command (AMC), in general, elected to seek individual permits and each installation proceeded independently as there are not enough similar installations to derive any benefit from a group approach. AMC is the industrial arm of the Army. Its installations include facilities which are ammunition plants, depots, and arsenals. These facilities are often unique and diverse in their capabilities, doing tasks which cannot be performed anywhere else in the country. The troop installations, hereafter also called ''active Army" to distinguish them from Reserve Centers, also may feature industrial processes, but not to the scale of the industrial facilities. For example, an active Army base may have an electroplating line in a maintenance facility versus a tank manufacturing plant at an AMC site. The centralized approach taken by the troop installations began with initiating the group permit process which included obtaining permits for regulated facilities; completing applications, Notices of Intent (NOIs), etc. Following that initial start, adjustments had to be made as several states mandated that individual permits were required, not group permits. The Army Environmental Center (AEC) was designated as the coordinator for the storm water program. AEC was also asked by TRADOC, FORSCOM, and USAR to ensure that each installation received an appropriate Storm Water
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Pollution Prevention Plan (SWPPP). The SWPPP is an installation's road to compliance. It is a fundamental Storm Water Regulation requirement. It identifies industrial activities and their potential sources of storm water runoff pollution along with a risk assessment. Furthermore, it identifies controls for these sources (BMPs) along with responsible parties and implementation schedules. To support the storm water program on this large-scale effort, a consolidated model SWPPP plan was developed jointly by the U.S. Army Construction Engineering Research Laboratories (USACERL), U.S. Geological Survey (USGS), Logistics Management Institute (LMI), and the Army Center for Health Promotion and Preventive Medicine (CHPPM). This model plan has been through several iterations, each attempting to guide the user through the process of developing a detailed site-specific plan for each included activity. The computerized, user-friendly approach facilitates production of a useful plan which is specific to meet the installation's needs. The current version is in a chapter format specific for each activity at an Army installation, i.e., each motor pool would have its own with a master set at the installation environmental office. The model plan was intended to avoid a cookie cutter approach that dealt in generalities but instead focuses on the individual needs of each industrial activity and assures that contractors provide a high quality product. The purpose of the model SWPPP was 1) Learn the resources required to prepare a plan, 2) Gain experience preparing a plan and 3) Guide contractors on format and BMPs that are most effective at Army installations. (including those BMPs developed by the Army (USACERL)). The model plan was used to assist the massive contracting effort required to ensure that all Army installations would comply with the appropriate regulations. To carry out this substantial task, the Mobile District office of the Corps of Engineers (COE) and USGS helped prepare 52 active Army plans and 104 Reserve Army plans. Most of these were done by 12 contractors working for COE Districts and USGS offices around the country. CHPPM and LMI provided quality control review. USACERL handled the ground truthing and site verification visits. Many Reserve Centers underwent preliminary visits to determine if individual facilities should be covered under the regulations for specific states. Many Reserve Centers had no outdoor maintenance activities, no outdoor storage of potentially polluting materials, or storm water that drained into wastewater treatment facilities, often exempting them from coverage. Training Responsible Parties One of the primary dictums of the Industrial Stormwater Regulations is the training of individuals at all levels. The Army's approach was to blend institutional Army knowledge and experience with contractor expertise to provide comprehensive, well rounded service for installation storm water coordinators in a classroom environment. Topics covered all storm water regulatory requirements. Individual state-specific packages were prepared for each attendee plus group leaders described the complete regulatory program by explaining the history of the group permit process through the multi-sector approach. Solutions for Army-specific and general storm water runoff pollution problems were presented and experts were available to assist installations with questions. Topics also covered sampling and monitoring, appropriate best management practices (BMPs), and other areas. This approach also allowed installations to learn from and share experiences with one another. To date, two rounds of well received training sessions have been conducted, five each during the summers of 1993 and 1994. Each session had 120 trainees from MACOMs, installations, Corps Districts, contractors, and other military services. Comprehensive handbooks for installation storm water coordinators and 1383 guidance (the program to get funding for environmental-related activities) were also distributed to installation coordinators who attended training. USACERL has developed additional training guidance and materials. For example, exportable training and visual aids such as videotapes and posters were developed specifically for Army users; It is essential to get to the unit level of the individual soldier or mechanic to change the culture. Many installations already have in place comprehensive environmental training and awareness activities at the unit level and appropriate storm water regulatory guidance can be disseminated during that training, one-on-one or at monthly safety meetings or other venues as deemed suitable. Appropriate guidance for activities such as hazardous materials handling (e.g., disposal of used oil) was also incorporated into the available information base. This type of training also applied to installation material handling personnel to comply with the storm water regulations. Available Support To Installations Since the Storm Water program has matured with the permit acquisition processes and SWPPPs under control, the program responsibility for individual installations will be redirected to them. However, as the Army moves away from the centrally managed focus, it is still essential that a safety net be provided to respond to the installations' needs. For this reason, Mobile District has been designated and funded for installation support in stormwater
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management compliance. They will take calls and provide assistance or contact appropriate additional information sources. USACERL will provide research support and guidance. Additional Guidance Some of the additional guidance which has been developed includes an oil/water separator Engineering Technical Letter to provide guidance for separators meeting the unique needs of Army motor pools. Standard design modifications were also developed such as standard design modifications of maintenance buildings. Several standard designs have been generated by the COE. Modifications to help address the pollution prevention aspects of stormwater runoff management are continually being incorporated. Information and training aids are being published and disseminated. Additional training is provided at the troop unit level on pollution prevention and proper hazardous waste and materials handling procedures. BMPs are at the core of any pollution prevention and diffuse source mitigation/control/treatment program and countless options are available to meet the installations' needs. USACERL's storm water research program has included providing assistance to AEC and installations as well as identification and evaluation of appropriate BMPs for storm water runoff and pollution prevention for regulatory purposes. USACERL products (published and draft) include the following reports: Best Management Practices for Nonpoint Source Pollution; Characterization of Army Installation Stormwater and Problems; Efficiency of BMPs for Priority Pollutant Removal; Feasibility of Constructed Wetlands for Storm Water Management at Army Installations; and New Technologies for Stormwater Runoff Control at Motor Pools, Fueling Areas, and Firing Ranges. Bmps at Selected Industrial Activities Representative Army industrial activities are listed below (Table 1). The following sections provide examples of what types of BMPs are appropriate to practice pollution prevention and mitigate storm water runoff pollution potential. Motor Pools Individual Army motor pools contain acres of paved area with hundreds of tracked and wheeled vehicles, from ''jeep" size, through heavy duty trucks (two and onehalf ton and tractor trailers), to large 60 ton tanks and other tracked vehicles and a variety of specialized equipment. These vehicles may contain several dozen gallons of liquid for transmissions, lubricants, etc. and have been known to TABLE 1 Typical Industrial Activities at Army Installations Manufacturing facilities (exclusively AMc) Hazardous waste treatment/storage/disposal facilities Landfills, land application sites and open dumps receiving industrial wastes Steam electric power generating facilities Motor pools that maintain vehicles Sewage treatment plants over 1 million gallons per day Recycling facilities Construction activities Air fields Open burn/open detonation sites Fuel depots leak. A certain amount of leakage is permissible from the vehicle maintenance point of view before requiring correction. The standard environmental solution is to have drip pans under the vehicle to catch the vehicle fluid drips and prevent them from getting into the stormwater emanating from the site. One vehicle may have several pans under the vehicle catching drips. This can be effective if properly done, but there are also negative aspects. The pans may be run over and crushed or dented accidentally by the vehicles, wind may overturn or blow them away, and rainwater may overflow them, allowing the hydrocarbons to be released to the hardstand or paved area. Innovative solutions include the use of non-destructible pans such as "rubber" hog feeding troughs and use of odd shaped containers. One base has built shallow wooden containers using plywood sheets with a slight edge which have been properly painted and sealed to catch drips and then troops wipe out the hydrocarbons on a regular basis. The edges permit tanks to drive over them without damage and the containers catch all the drips. This particular installation is in a semi-arid region. Material which allows water to pass through while retaining hydrocarbons is another alternative and is becoming more commonly used. Soldiers must empty the drip pans on a regular basis and efforts are made to ensure that practice is carried out safely and easily. For example, the motor pool may centralize the collection point to avoid overly long walks that trigger convenience dumping. The containers are brought to holding tanks with oil/water separators and emptied. Sometimes the holding tanks are secured, requiring the assistance of the motor pool environmental officer to dump the segregated fluids.
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Many installations have aggressive programs for pollution prevention and environmental compliance. Environmental awareness materials such as posters are used to help instruct troops in the proper handling of waste and hazardous materials. Training programs are initiated at the facility level to reinforce appropriate practice, and good housekeeping is encouraged. Inappropriate activity such as dumping a pan of used oil at the nearest fence line or down the closest sewer is discouraged and can be grounds for disciplinary action. Spill cleaning kits and equipment are made readily available and accessible to soldiers at all motor pools, hazardous materials storage areas, and fueling sites. The practice of hosing down maintenance bays and sending the water to a storm water drain is not allowed. The water is either directed to a sanitary or industrial sewer, or the practice not permitted at all. Building sumps have been disconnected to prevent this type of maintenance activity. At many installations, vehicle washing is no longer permitted in motor pools. The troops must take their vehicles to centralized vehicle wash facilities where exterior vehicle cleaning can be done quickly and easily in an environmentally sound manner. At some bases, inspectors make detailed site inspections to check for oil spots on the pavement. Soldiers are then required to clean them up. The environmental awareness ethic has become indoctrinated at one installation where soldiers have drip pans chained to their vehicles and, even if they just run to the store for a short time, they place the drip pan under their vehicles to catch leaks. Fueling Activities Fueling is another area where a variety of measures are used and encouraged to avoid the potential of having fuels pollute storm water runoff. Berms routing storm water runoff, slopes, covered fueling areas, centralized fueling points, signage, automatic shutoff valves, etc. are among the options used to minimize environmental risk. If a tanker truck is in a motor pool, it may be surrounded by sand bags or parked in an appropriately bermed area to mitigate any potential fuel spills. Mentioned earlier was the practice of developing centralized fueling points on installations; this is occurring at a few installations. Drmos and Storage Yards A Defense Reuse and Marketing Organization (DRMO) is a military agency responsible for disposal of reusable materials. DRMOs often cover several acres of paved area or hardstand and feature piles of scrap metals, white goods, used tires, etc. They generally also feature large warehouse buildings which also contain materials for disposal having marketable value. Other storage yards are in areas around motor pools and the shop areas of the Directorate of Public Works (which does all the maintenance on a military installationroads and grounds, utilities) where trucks, heavy equipment, building supplies, etc. are present. Storage yards present a variety of opportunities to use BMPs. Hazardous materials are kept in secured, roofed are. as or buildings. These buildings have additional features such as containment systems and readily available spill kits. They are also bermed with catchments and signed appropriately. Individual sheds and other types of protective structures are common. Batteries may have their own building or portion of a building featuring acid handling capability. Many items are palletized. Tires may be wrapped in plastic when stored outside to also mitigate vectors. Other Activities Coal-fired power plants are among the regulated facilities on installations. Coal pile runoff is collected and treated prior to discharge, often with sophisticated treatment facilities. Open bum/open detonation areas are where excess, over-age and off-specification materials and equipment are destroyed. Conventional practice is to place combustible items in bum pans and ignite them. Residue is collected and landfilled. BMPs include good housekeeping and the use of detention basins as there is often disturbed sediment from munitions or explosives disposal. This option is becoming increasingly regulated in the U.S. For activities such as landfills, and wastewater treatment plants, BMPs mirror those found at municipal facilities. Summary The U.S. Army conducts a comprehensive program of pollution prevention to minimize diffuse source pollution at industrial areas. The technologies and methods are kept relatively simple, if possible, as the goal is to provide the soldier with the appropriate means and mechanisms to practice pollution prevention and to make it convenient to do the job right. Acknowledgement The authors would like to acknowledge the contributions of the USGS, in particular, Robert Aycock and Fred Quinones (retired) of the Tennessee District for their role in helping the Army execute its storm water management program.
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SECTION 4 ENERGY MANAGEMENT STRATEGIES
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Chapter 24 Photovoltaics: Clean Energy Now and Into the Future A. Catalano Abstract The dominant semiconductor technology used today is crystalline silicon, with laboratory cell efficiencies as high as 21.9% and commercial module efficiencies ranging from 10%-15%. Several approaches are being developed to lower the cost of these devices, including thin silicon films. Other materials, such as gallium arsenide, have high efficiencies, especially in multijunction devices coupled with concentrators, but they are expensive and best suited for space applications. Thinfilm semiconductors are one way to lower the cost of photovoltaic devices. Of the three thin films currently being pursuedamorphous silicon, cadmium telluride, and copper indium diselenideonly amorphous silicon is in commercial production at this time. But advances in conversion efficiencies and cost reduction are being made for all three. The most promising, though distant, development in photovoltaics is in the area of organic semiconductors. Introduction Although the effect by which sunlight is directly transformed into electricity was originally discovered by Becquerel in 1839, not until the era of solid-state electronics was the process understood. In 1954, researchers at Bell Laboratories reported the conversion of 6% of the energy in sunlight into electricity using crystalline silicon. In the same year a similar performance was reported for copper sulfide, a relatively unknown material. The former material, as we know today, has entered the mainstream of commerce in solid-state electronic devices, whereas the latter material has faded into obscurity. Although it would be interesting to tell the story of the evolutionary struggle of this technology over the last forty years, it is far more worthwhile to look at what photovoltaic (PV) technology promises now and into the future. The earliest commercial application of PV solar cells for power generation was for space satellite power. In the harsh environment of space, PV cells proved to be a reliable source of electricity, an application they continue to dominate to this day. It was not until the energy crisis of the 1970s that interest in PV became an international priority. Since then, research and development (R&D) has focused on making PV a low-cost alternative for terrestrial energy generation. The reduction of the cost of PV has been the principal goal of R&D, because ultimately the cost of electricity generated by PV must be comparable with conventional fossil and nuclear sources of power to enter mainstream use in the United States. Although environmentally benign, it has typically been difficult to place an economic value on the societal impact of a clean source of power. Although the ultimate goal of PV is to be competitive with conventional, non-renewable sources, the present market for PV lies in remote applications, where connection to the electrical grid is either costly or impossible. In such settings, the low maintenance, extraordinary reliability, and modular nature of commercial products have proven to be compelling arguments for their use. Often, these applications are outside the United States, in locations without a well-established electrical grid. In this paper, we present an overview of the technology to acquaint readers with the present state of the art and anticipate some of the progress we expect in the future. Overview of the Technology It is worthwhile to review the taxonomy of PV systems and components to gain a clear view of the technical issues. All PV systems can be classified into two types: flat plate and concentrators. The former are simply encapsulated arrays of solar cells connected in series and parallel circuits to achieve the necessary operating voltage.
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Each of these encapsulated arrangements of cells is called a module. In a flat-plate system, these components are placed at an angle to the ground which allows the greatest intensity of sunlight. Mechanical trackers are occasionally used to position the module so that it directly faces the sun to increase performance, with an obvious increase in cost. Concentrator systems reduce the need for expensive semiconductor devices by using a lens to concentrate the sunlight on the active device. The ratio of the lens aperture to the spot size is the concentration ratio. Because concentrators usually image the sun onto the solar cell, they require tracking systems to maintain the image during the course of the day and the change in seasons. Such systems require clear, direct sunlight for maximum performance, and hence, are usually limited to specific geographic locations. Generally such systems are best-suited for large-scale power generation. PV systems are used either to charge batteries, where their dc electrical output is sufficient, or to provide ac power for grid-connected or other ac appliances. The non-module portion of a system is usually referred to as the balance of system (BOS) and includes wiring, support structure, battery charge controller, and inverter. Although at present half the cost of a system is contained in modules and the remainder in BOS costs, the bulk of R&D focuses on reducing module costs. The emphasis on module research is because most PV systems are presently used for battery charging. Ac power generation makes up a small portion of the market and the technology is well known. But the economies of scale have not been achieved because the sales of such systems remains low. In contrast, the modules have substantial opportunities for cost reduction which technology development can only address. The dominant semiconductor technology used in commercial products today is crystalline silicon. However, because crystalline silicon is an indirect bandgap material, commercial products use a thick slab of the costly semiconductor, on the order of 200 microns, to achieve high performance. Because the semiconductor represents such a large portion of the cost of the module, thin semiconductor films are seen as an excellent approach for achieving low cost. Status of the Technology In this section we briefly summarize the status and prospects for each of the major semiconductor technologies now being developed and speculate as to the longterm changes we may expect into the next century. Single-crystal materials being developed are silicon and gallium arsenide, while the thin-film semiconductors presently being actively developed are cadmium telluride (CdTe), copper indium diselenide (CIS), and amorphous silicon (a-Si:H). It should be noted that even the single-crystal materials can be fabricated as thin films, as discussed below. Crystalline Silicon The predominant method for fabricating silicon solar cells begins with the growth of either large single "logs" by the Czochralski method or the casting of large multi-crystal "bricks." In either case, these massive slabs are sliced into wafers by special saws, which inevitably wastes a substantial amount of the starting material. Subsequent steps form the pn junction and establish electrical contacts to the front and rear of the device; individual cells are strung together to achieve the desired voltage and current output. These strings are then encapsulated within an ethylene vinyl acetate polymer (EVA) and covered with a Tedlar plastic backsheet to provide protection from the elements and help ensure a product life of more than 20 years. A schematic diagram of the construction of a silicon module is shown in Figure I. Substantial reductions in the cost of the process are envisioned through incremental improvements in this process. Several excellent articles cover in some detail the cost elements and expected improvements 1, 2. Although commercial module efficiencies range from 10%-15%, laboratory cells have been fabricated with sunlight conversion efficiencies as high as 21.9% 3.
Figure 1. Schematic Illustration of the Construction of a Crystalline Silicon Module. Several approaches are being developed to lower the cost of crystalline silicon devices. ASE Americas and Ibara Solar avoid costs associated with slicing to form wafers by growing single- or multiple-crystal sheets of silicon, either by drawing the molten silicon through a die (ASE
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Americas) or using single-crystal dendrites dipped in the molten silicon to form a single crystal web. In principle, such methods could be used to fabricate sheets as thin as 100 microns, further improving material utilization. Another approach invented at Texas Instruments uses single-crystal silicon spheres, embedded in aluminum foil electrodes to form an individual cell. This unique approach led to demonstrated module efficiencies of more than 10%. Unfortunately, efforts to commercialize this process were recently discontinued. Although silicon is an indirect bandgap material, thin-film approaches to cell fabrication have been suggested and are being developed. AstroPower, Inc., has developed a proprietary method of producing films of silicon on ceramic substrates, achieving 11.8% conversion efficiency on 239-cm2 substrates 4, although the thickness of the active film is not reported. Recently, Wenham 55 has suggested a structure comprising multiple, alternating p-and n-doped layers of very-finegrained polycrystalline silicon that are monolithically integrated to form a module. Numerous major technical improvements are required before such a highefficiency device can be realized. GaAs and Other Iii-V Devices Gallium arsenide is a material which, having a direct optical bandgap, can be used to prepare high-efficiency devices using only several microns of semiconductor material. Although polycrystalline thin-film devices have been prepared, most effort has been to develop high-efficiency devices for concentrator applications. Because there are alloys derived from GaAs with higher and lower optical bandgaps, multi junction devices can be prepared. In these devices several semiconductor junctions are constructed, each "tuned" to a specific range of wavelengths. One such device comprising GaAs over lower-bandgap GalnP2 has achieved a conversion efficiency of 30%66. Although the optical properties of the material allow thin-film devices, in practice bulk substrates are required to support the device. As these substrates also require high-cost materials, the principal use for these cells remains in space satellites, where high conversion efficiency and good radiation tolerance are important attributes. Thin-Film Solar Cells: A-Si:H, Cdte, Cis Of the three thin-film materials being actively pursued, only a-Si:H is presently in commercial production. The relatively simple, low-temperature process used to fabricate these cells is one of their most attractive features. Although containing largely silicon and about 10% hydrogen, the lack of long-range atomic order completely changes the properties of the material, yielding a very strong optical absorbance that enables thin-film devices only several thousand angstroms thick to be fabricated. Unfortunately, improved optical absorption comes with the penalty of vastly reduced electrical transport properties and a problem of light-induced instability. This has resulted in devices generally lower in performance than the polycrystalline thin-film alternatives. Much research effort has been devoted to solving these technical problems, and large-area devices with a stable 10% conversion efficiency have been demonstrated. Because amorphous alloys of silicon can also be made with carbon and germanium, which raise and lower the optical bandgap of the materials, respectively, multi-bandgap, multi-junction devices can be prepared, raising the efficiency still higher. Another attractive feature of this and other thin-film approaches is the ability to monolithically integrate individual cells on a single substrate to achieve a desired current-voltage output. Figure 2 shows a cross section of how this is accomplished. First, the front transparent contact is scribed at high speed using a laser; second, the amorphous silicon layer is scribed opening a via down to the front contact. Last, the rear metal contact is deposited, and a laser is used to separate the individual cells, maintaining the interconnections through the apertures in the amorphous silicon layer.
Figure 2. Schematic Illustration of the Monolithic Interconnections in an a-Si:H Module. A Similar Method in other thin-film cells. Cadmium telluride thin-film modules are currently in pilot-scale manufacturing at several organizations worldwide. Laboratory efficiencies as high as 15.8% have been demonstrated on small-area cells, and prototype modules as large as 8 square feet have been demonstrated with over 8% conversion efficiency. Unlike amorphous silicon, no intrinsic mechanism for the degradation of the device has been identified; however, the material is known to be sensitive to moisture. Several methods for preparing high-quality CdTe have been identified, and the process for fabrication appears to be readily scalable. Environmental concerns about the cadmium content of commercial products have been addressed in various tests, and there is general confidence that this will not bar their widespread use.
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Copper indium diselenide and alloys of the material that incorporate either gallium or sulfur show great promise for high-efficiency, low-cost solar cells. Although modules based on CIS are not in commercial production, laboratory devices at NREL have demonstrated conversion efficiencies as high as 17.1%, and four-squarefoot, monolithically integrated modules with a 10% conversion efficiency have been prepared by Siemens Solar Industries. These high conversion efficiencies should dispel the myth that thin-film devices require a compromise between high performance and low cost. At present, further work must be performed to refine the manufacturing process for CIS and to solve problems involving defects that influence module performance and yield. There is every expectation that such problems can be successfully resolved. Of special note, long-term outdoor tests of modules have shown excellent stable performance, unrivaled by crystalline silicon. Prospects for the Future Among the more promising, if perhaps distant, developments we see advancing photovoltaics is the improvements now occurring in organic semiconductors. Early devices such as light-emitting diodes suggest that the electrical properties of organic materials may continue to improve to the level required for solar cells. One such device is the photoelectrochemical device demonstrated by O'Regan and Gratzel, which has demonstrated about 10% conversion efficiency. This structure comprises a layer of porous titanium dioxide impregnated with an organic dye 7. Such results indicate that further work in this vein will prove fruitful. There is good reason to believe that technological innovation will continue to improve the performance and lower the cost of photovoltaic systems and realize the goal of making electricity generated by PV cost-competitive with conventional methods. Furthermore, this technology will permit the world freedom from pollution and carbon dioxide emissions and will provide greater energy security than at any time in the past. References 1. K. W. Mitchell, Progress in Photovoltaics: Research and Applications, Vol. 2, p. 115 (1994). 2. S. Narayanan and J. Wohlgemuth, Progress in Photovoltaics: Research and Applications, Vol. 2, p. 121 (1994). 3. S. R. Wenham et al., Proc. First World Conference on Photovoltaic Energy Conversion, Waikoloa, Hawaii, Nov. 1994, p. 1278. 4. D. H. Ford et al., Proc. First World Conference on Photovoltaic Energy Conversion, Waikoloa, Hawaii, Nov. 1994, p. 1559. 5. S. R. Wenham et al., Proc. First Worm Conference on Photovoltaic Energy Conversion, Waikoloa, Hawaii, Nov. 1994, p. 234. 6. K. A. Bertness et al., Proc. First Worm Conference on Photovoltaic Energy Conversion, Waikoloa, Hawaii, Nov. 1994, p. 1671. 7. B. O'Regan and M. Gratzel, Nature, Vol. 353, p. 73 (1991)
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Chapter 25 Wind Energy as a Significant Source of Electricity R.G. Nix Wind energy is a commercially available renewable energy source, with state-of-the-art wind plants producing electricity at about $0.05 per kWh. However, even at that production cost, wind-generated electricity is not yet fully cost-competitive with coal- or natural-gas-produced electricity for the bulk electricity market. The wind is a proven energy source; it is not resource-limited in the United States, and there are no insolvable technical constraints. This paper describes current and historical technology, characterizes existing trends, and describes the research and development required to reduce the cost of wind-generated electricity to full competitiveness with fossil-fuel-generated electricity for the bulk electricity market. Potential markets are described. The Resource Winds arise because of the uneven heating of the earth's surface by the sun. One way to characterize winds is to use seven classes according to power density: class 1 is the lowest and class 7 is the greatest. The wind power density is proportional to the wind velocity raised to the third power (velocity cubed). For utility applications, class 4 or higher energy classes are usually required. Class 4 winds have an average power density in the range of 320-400 W/m2, which corresponds to a moderate speed of about 5.8 m/s (13 mph) measured at a height of 10 m. Researchers estimate that there is enough wind potential in the United States to displace at least 45 quads of primary energy annually used to generate electricity 1. This is based on "class 4" winds or greater and the judicious use of land. For reference, the United States used about 30 quads of primary energy to generate electricity in 1993 2 . A quad is a quadrillion (1015) BTUs or about equivalent to the energy in 167,000,000 barrels of oil. Figure 1 shows a wind resource map (annual average) for the contiguous United States. Although almost all of the currently installed wind electric generation capacity is in California, the major wind energy resource is virtually untapped in the Great Plains region. About 90% of the wind energy resource in the contiguous United States is contained in 11 Great Plains states. This area ranges from Texas north to Canada, and east from Colorado into Iowa. Expansion of wind energy into this high resource area is just beginning, with promise of significant future implementation. A good description of the wind resource is found in the article by Schwartz 3. Conversion Techniques Wind energy appears to be a conceptually simple technology: a set of turbine blades driven by the wind turns a mechanical shaft coupling to a generator which produces electricity. Figure 2 is a simplified schematic drawing of wind turbines, showing the major components. These include the rotor blades, gearbox, generator, nacelle and tower. It is the reduction of this simple concept to practice which results in significant engineering and materials challenges. The general goals of wind energy engineering are to reduce the cost of the equipment, improve energy capture from the wind, reduce maintenance, increase system and component lifetimes, and increase reliability while at the same time addressing aesthetics and environmental effects. This requires significant efforts in fundamental aerodynamics, materials engineering, structures, fatigue, power electronics, controls, and manufacturing techniques. Modem turbines are either horizonal-axis or vertical-axis machines, Figure 2, that make full use of lift-generating airfoils (older generation windmills relied primarily on drag forces rather than aerodynamic lift forces to turn the rotor). Each type of turbine has advantages and disadvantages. Both types are commercially available although the horizontal-axis turbine is predominant. Horizontal-axis turbines are built with differing numbers of blades, typically two or three. Turbines for utility applications are normally installed in clusters of 5 to 50 MW which are called windplants or wind farms. Modem wind turbines have efficiencies of about 40%, with availabilities typically exceeding 97%. Capacity factor (ratio of annual produced energy to annual nameplate energy) has typical field value
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Figure 1. Wind Electric Potential for the Contiguous United States (Class 4 and Above, 50-M Hub Height)
Figure 2. Basic Wind Turbine Configurations and Componets
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of 20 to 25%. Capacity factor is very site specific because it reflects the fraction of the time that the wind blows. In areas of relatively constant winds, e.g., trade winds, capacity factor can be as great as 60% to 70%. A description of various types of wind turbines is found in Eldridge 4. History More than six million windmills and wind turbines have been installed in the United States in the last 150 years. Most were windmills with a rating of less than 1 hp. The most common windmill application has been water pumping, especially on remote farms and ranches. Wind turbines, usually rated at 1 kW or less, were originally used to supply electricity to remote sites. Typical is the Jacobs turbine, tens of thousands of which were produced from 1930 to 1960. The first large wind turbine was the Smith-Putman unit, which was erected in southern Vermont during World War II. It was rated at 1.25 MW of alternating current (ac) electricity and used a two-bladed metal rotor 53.3 m (175 ft) in diameter. By 1960, the production of wind turbines in the United States had essentially stopped as most of the rural United States had been electrified via a grid of wires carrying electricity from more cost-effective central fossil-fired generating stations. The fuel-oil uncertainties, fuel-price escalations, and heightened environmental awareness of the 1970s brought a flurry of activity to develop cost-effective wind turbines. The U.S. Department of Energy (DOE) and the National Aeronautics and Space Administration (NASA) led the activity by developing large machines rated up to 4.5 MW. These large research and development machines had mechanical and structural problems, and efforts were stopped before the technology reached maturation. Nevertheless, these machines provided valuable experience and proved the value of many technical innovations. None of these large turbines are currently operating in a utility system. Numerous other machines (rated at 50-300 kW) were developed by industry in the 1980s and installed to produce electricity that was fed into the utility grid. Smaller turbines (1-10 kW) were developed for remote applications. All of these turbines were significantly advanced beyond the technology of the older machines, although there were still opportunities for significant improvements. Most of the utility-size turbines (100-300 kW) were installed in California under lucrative power purchase agreements and favorable investment tax credits. The three primary locations are Altamont Pass near San Francisco, Tehachapi near Bakersfield, and San Gorgonio near Palm Springs. Figure 3 shows a typical wind plant. The turbines were of widely differing quality, as were the developers and operators of the wind plants. However, after a sorting-out period, well-managed and well-operated wind plants resulted. Current Status More than 16,000 wind turbines are currently installed in California with a total generating capacity approaching 1700 MW. The turbines in the wind plants are privately owned, with the electricity sold to the local utilities. These turbines generate more than 3 billion kWh of electricity per yearhough electricity to meet the residential requirements of a city of about 1 million people. This combined capacity is equivalent to a medium-sized nuclear plant. About 1% of the electricity used in California is generated from wind. Figure 4 shows a production history for U.S. wind turbines, most of which are located in California. For reference, about 40,000 MW of wind-generated electricity is required to displace 1 quad of primary energy consumption for fossil-fueled power generation.
Figure 3. A Typical Wind Farm - San Gorgonio, California
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DOE, through the National Renewable Energy Laboratory (NREL) and Sandia National Laboratories, has research and development programs to improve or define the turbines of today, tomorrow, and the next century. The approach is to develop a technology base which will enable the private sector to perform the final development necessary to build a viable industry. Much of this research and development is cost-shared, with the industry and utilities typically supplying 30% to 70% of the funding. Current market projections from DOE estimate that 2% of the 2010 U.S. electricity supply will come from wind energy. Costs and Goals Most of the early wind farms in California used early 1980s technology to produce electricity at a cost of $0.07-$0.10 per kWh, depending on the location, design, and operating policy. State-of-the-art plants are being built to produce electricity at a selling price of less than $0.05 per kWh at class 4 or greater wind sites. Around the year 2000, when the innovative next-generation wind turbines begin operating, the cost of wind-generated electricity is estimated to drop to less than $0.04 per kWh 5 at these sites. Still, there are obstacles to widespread commercialization of wind energy. Wind energy technology has made substantial advances, but the competing technologies have also improved and the competitive situation has changed as the available supply of inexpensive natural gas has significantly increased. In addition, there is a potential change in the electric power industry to provide a structure which will result in increased competition. This change will probably enhance electricity generation by independent power producers, with an optimizing criterion being minimum cost of electricity. External costs, such as pollution avoidance and damage, are being discounted or totally ignored. This tends to make it more difficult for wind-generated electricity to effectively compete. Simply put, technical advances will have to cut the cost of wind energy even further for the DOE projections to become reality. The required technical advances appear achievable with sustained research and development. Potential Markets There are 4 major potential markets: 1) domestic utility grids, 2) foreign utility grids, 3) village power systems in developing countries, and 4) domestic remote power systems. These markets vary in size and have different characteristics. The domestic and foreign utility grid-connected applications typically require larger (300-500+ kW) turbines installed in clusters of 5-50+ MW. These are large potential markets, with the foreign markets possibly developing earlier than the domestic market because the electricity often has greater value in the foreign markets. In addition, many of the potential foreign markets are in areas where a significant air quality improvement is required, which does not favor expansion of coal-fired generation plants. The village power market is significant because a large number of people (> 1 billion) live without electricity, often in areas where a large grid construction or expansion is prohibitively costly. The village power market is available now, with an important driving force being the need to stem the flow of individuals from rural areas to already overburdened cities of the third world. In many cases, supplying electricity to rural villages will allow development of a local industrial economy which results in jobs and a lessening of the incentive to migrate to a larger city. Often the power plant of choice for village power applications is a hybrid system, with wind turbines coupled to a diesel engine and often including other renewable energy sources and battery storage. The value of electricity for village power is much greater than that in large grid utilities. Finally, the domestic remote power market is relatively small and specialized. An example is powering remote telecommunication stations. There is significant competition for supplying turbines and turn-key power systems to these markets. The United States must compete with European companies, primarily Danish and German companies. In many cases, a significant factor in choice of supplier will be the availability of a financing package, especially for third world applications. Technical Challenges Advanced wind turbines must be more efficient, more robust, and less costly than current turbines. DOE, its national laboratories, universities, and the wind industry are working together to accomplish these improvements through various research and development programs. Each program is aimed at specific goals ranging from improving the current generation of turbines and components to defining, researching, and testing the innovative turbines of the next century. The technical challenges these programs will have to address include the following: Better Characterization of the Resource This involves taking better measurements of wind characteristics, especially within wind plants. and developing better siting methods. Significant additional wind resource measurements are needed, especially long-term measurements to enable a better understanding of annual variation in the wind energy resource. A better understanding of turbulence within the wind, and how local terrain and other structures generate turbulence, is needed. Turbulence within wind farms is greater than that in open terrain, resulting in structural and fatigue loads which limit turbine component lifetimes or dictate maintenance
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schedules for turbines and components like gearboxes 6]. It appears that there is a coherent structure to some of the turbulent flows generated from upwind turbines and terrain. Research is underway to allow prediction and mitigation of turbulence induced loads 7. Wind forecasting is an important factor to allow the operators to better plan and control operations. Micrositing is important to maximizing wind plant outputproper siting can substantially enhance the income from a wind plant. More Efficient Airfoils NREL has developed airfoils tailored to meet the specific demands of wind turbines 8. This has resulted in greater efficiency of energy capture (10-30%) than was possible with the existing airfoils. Older airfoils, which were based on designs for helicopters, have major problems: a decrease in efficiency when the airfoil's leading edge becomes fouled, and generator bum-out because of excessive energy capture from wind gusts. The NREL airfoils are the first of a new generation of airfoils that will significantly improve performance and make wind energy more competitive in areas with wind power densities lower than class 4. Energy capture gains of up to 30% have been accomplished for stall regulated turbines using the NREL airfoils.
Figure 4. Commercial Wind Energy is A Significant Part of the U.S. Electrical Supply Better Blade Manufacturing Better composite materials, better designs, and more cost effective manufacturing techniques are needed for components such as blades. Blades are usually fiberglass composites or wood laminates, although some of the earlier large machines used aluminum blades. The current technique for manufacturing fiberglass blades is hand lay-up. This technique is labor intensive and quality is difficult to control. Substantial gains can potentially be made by using automated techniques. The life of a utility-quality turbine with good maintenance is about 30 years, with the blades having a projected life of about 15 years, which necessitates a replaycement of blades during the turbine life. A goal is to achieve blade life equivalent to turbine unit life. Better Understanding of Aerodynamics Time-variant, three-dimensional aerodynamic phenomena are significantly more complex than those observed in steady, two-dimensional wind-tunnel tests. NREL researchers are generating better field data to provide an enhanced understanding of the basic phenomena 9. There are significant interactions with universities, industry, and foreign researchers in the area of fundamental aerodynamics. The approach is to perform both wind tunnel and field tests with very sophisticated and rapid data collection systems to understand boundary layer flow over the blade. Dynamic stall is thought to be an important factor determining mechanical loads on a turbine, especially when the blades experience transients in which they go in and out of stall regimes. Objectives include understanding the basic phenomena, and defining and implementing simple mechanical modifications to minimize the resulting structural loads. The result will be better design methods and improved turbines. Development of Theoretical Models and Computer Codes Substantial effort is being devoted to developing computer characterizations of every component in the integrated wind turbine 10. Objectives include understanding basic phenomena, load generation and the load path from the tip of the blades to the turbine foundation, and how to model dynamic loads for the integrated wind turbine. As a result, improved designs of components and systems will give rise to longer lifetimes and will allow cost reductions while meeting the structural requirements of the components. A goal is ''virtual prototyping'' in which validated computer models are used to understand the performance, lifetime, and cost of each component in a proposed design. Iterations to improve the designs will be done on the computer, allowing the first physical prototypes which are constructed to be significantly advanced beyond those which would result if conventional design techniques were used. Better Understanding of Fatigue and Structures Work is under way to better predict fatigue effects on components 11. The goal is more robust and innovative designs. Research includes significant materials and structures testing, in addition to the computer modeling described above. Fatigue is the most important factor in turbine and component lifetime. Turbine components are subject to fluctuating random loads, which are much more difficult to characterize and design for than static loads. Testing is an integral part of blade development.
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Better Turbine Configurations Most utility-scale turbines have been operated at constant speed, with typical rotor speeds from 40 to 60 rpm. This constant input shaft speed is increased through use of a gearbox to give a significantly higher generator speed which results in specified power quality, say 60 Hz. The power quality is closely controlled to ensure wind plant electricity meets utility specifications. A more efficient approach is to allow the rotor to run at varying speed as determined by the wind. This will result in potential energy production gains of about 15%, but necessitates the use of sophisticated power electronics to change the output electricity from time varying characteristics to the required time invariant characteristics. An even more efficient approach is to eliminate the gearbox and to operate with a low-speed generator operated at variable speed. These approaches require that new power electronic control techniques and control equipment be developed, and that new types of generators be designed and developed. Better Control Techniques This involves using power electronics to generate higher quality electricity at a higher efficiency and the use of better control techniques to enhance turbine operational efficiencies. These advances are possible because of the improvements in computers. Some of the techniques being considered include fuzzy logic, neural networks, and other adaptive control schemes. Not only should efficiency be enhanced, but it should be possible to reduce structural loads while ensuring higher quality power. Integration Issues Wind energy is not considered a firm power source by utilities because of the variable nature of the resource. The use of multiple wind plant sites within a region, especially where the correlation between windiness at sites is understood, can potentially result in a situation in which the output of one wind plant can increase when the output of another decreases because of wind fluctuations. Accurate forecasting can significantly enhance the value of wind generated electricitya recent investigation indicates that the value increase can be as much as $0.01 to $0.02/kWh 12. Energy storage is an important technical challenge that could enhance the dispatchability of wind plants. Batteries, pumped hydro, compressed air, and superconducting magnets are candidate storage techniques. A recent investigation indicated that for utility applications, pumped hydro energy storage is most costeffective 13. For smaller applications such as village power, battery storage can be cost-effective. This is especially the case in hybrid systems in which a diesel engine is included and the cost of diesel fuel is very high. When storage is integrated with wind plants, the value of wind-generated electricity will probably be much greater than the current value, which for most utility applications in the United States is presently considered equal to the avoided fuel cost. Transmission access is important, especially in sparsely populated states with very substantial wind resources, such as Montana. If a number of large wind plants were constructed in a sparsely populated area, it would be necessary to transmit the electricity to the distant population centers. If existing transmission lines are available and if they have adequate capacity, the economics will be substantially better than if new lines must be constructed at a typical cost of about $1 million per mile. Wind plant access to transmission lines may actually be enhanced by building fossil-fueled plants nearby to enable maximum utilization of the investment in the transmission lines. Obviously, this is a very location specific situation, but one which is important to the economics of building large wind plants. Environmental Issues Wind energy is environmentally positive. Annual wind generated electricity production in California displaces the energy equivalent of 5 million barrels of oil and avoids the release of 2.6 billion pounds of greenhouse gases per year, in addition to avoiding other emissions such as sulfur and nitrogen oxides which contribute to smog and acid rain. However, some environmental concerns must be addressed. The death of birds by flying into operating turbines is a concern, especially when the birds are raptors such as golden eagles. There are numerous investigations under way to determine the significance of the concern, and to define and validate mitigation techniques. A typical example is the investigation being performed by researchers from the University of California at Santa Cruz 14. Researchers are collecting data to understand the effect of wind turbines on the population of golden eagles in one area of the Altamont Pass wind resource area. The approach is to radio-tag and track a sufficient number of eagles so that the population dynamics can be understood. Other researchers are investigating mitigation techniques such as eliminating tower members suitable for bird perching, using acoustic warning devices, appropriately painting warning colors and patterns on turbine blades, controlling vegetation around the towers to minimize prey availability, and siting turbines more carefully. The avian situation is an emotional issue, with arguments ranging from doomsday to the other extreme that the population is actually increasing because of the wind turbines. While avian problems are not thought to
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be widespread, this is a significant issue which is being addressed in a very serious and scientific manner. Another concern is aesthetics. What is beautiful to an engineer may simply be ugly to others. Therefore, wind plant siting and layout are important. It appears that wind plants that have an orderly layout in rows may be preferable to layouts which follow ridges and flow patterns. In general, use of small wind turbine clusters located at multiple sites may be preferred to one very large plant. Aesthetics is a challenge that can be met by developing and using better siting guidelines and by better educating the public about the value of wind plants. Conclusion Wind energy will be one of the most important, widely applied of the renewable energy forms during the next several decades. There are substantial challenges to be met, but all appear solvable. Successful research and development will potentially result in generation from wind energy of about 10% of the electricity used in the United States. A strong U.S. wind industry will be competitive to supply wind turbines to the rest of the world, along with the significant environmental and societal benefits of wind energy. References 1. Elliott, D.L.; Wendell, L.L.; and Gower, G.L. "U.S. Aerial Wind Resource Estimates Considering Environmental and Land-use Exclusions." Presented at Windpower '90 Conference, Washington, D.C., September 1990. 2. Energy Information Administration. Annual Energy Review, 1993. U.S. Department of Energy, Washington, D.C.: 1994. 3. Schwartz, M.N.; Elliott, D.L. "Aerial Wind Resource Assessment of the United States." Chapt. 17. in Alternative Fuels and the Environment. Boca Raton, FL: Lewis Publishers, 1994. 4. Eldridge, F.R. Wind Machines. New York: van Nostrand Reinhold, 1980. 5. Hock, S.M.; Thresher, R.W.; Williams, T.W. "The Future of Utility-Scale Wind Power." Adv. in Solar Energy, 7, 1992. 6. Veers, P.S. "Three-Dimensional Wind Simulation." Presented at 8th ASME Wind Energy Symposium, January 1989. 7. Kelley, N.D.; Wright, A.D. "A Comparison of Predicted and Observed Turbulent Wind Fields Present in Natural and Internal Wind Park Environments." Presented at Windpower '91 Conference, Palm Springs, CA, September 1991. 8. Tangler, J.; Smith, B.; Jager, D. "SERI Advanced Wind Turbine Blades." Presented at ISES Solar World Congress, Denver, CO, August 1991. 9. Butterfield, C.P.; Simms, D.; Scott, G.; Hansen, A.C.; "Dynamic Stall on Wind Turbine Blades." Presented at Windpower '91 Conference, Palm Springs, CA, September 1991, NREL/TP-257-4510. 10. Wright, A.D.; Thresher, R.W. Prediction of Stochastic Blade Responses Using Measured Wind-speed Data as Input to FLAP. SERI/TP-217-3394. Golden, CO: National Renewable Energy Laboratory. 11. Musial, W.D.; Jenks, M.D.; Osgood, R.M.; Johnson, J.A. Photoelastic Stress Analysis on a Phoenix 7.9-meter Blade. NREL/TP-257-4512. Golden, CO: National Renewable Energy Laboratory. 12. Milligan, M.R.; Miller., A.H.; Chapman, F. "Estimating the Economic Value of Wind Forecasting to Utilities." Presented at Windpower '95 Conference, Washington, D.C., March 1995. 13. Rashkin, S. "Improving California Wind Project Dispatchability and Firm Capacity." Presented at Windpower '91, Palm Springs, CA, September 1991. 14. Hunt, G. A Pilot Golden Eagle Population Project in the Altamont Pass Wind Resource Area, California. Research report prepared by the Predatory Bird Research Group, University of California, Santa Cruz, CA, December 1994.
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Chapter 26 Cost-Effective Applications of Photovoltaics J.P. Thornton Introduction When photovoltaic (PV) cells were first developed at Bell Laboratories in the mid-1950s, their inventors envisioned widespread terrestrial use. However, PV cells were rapidly adopted for space applications, not only because of their reliability, but because they were generally the most cost-effective power sources for satellites in spite of their high cost. Concern over oil supply and price during the 1970s once again turned people's thoughts toward the use of PV cells and other renewable energy technologies to help meet the nation's energy demands. A partnership was developed between the federal government and private industry to drive the cost of PV technologies down to where they could compete in commercial markets. This partnership, which continues today, has been highly successful in achieving its goal. Today's photovoltaic modulesmore efficient and reliable than everhave dropped to about 1/100th of their 1972 prices. 1 From $500 or more per peak watt in those early days, module prices have dropped to about $5 per peak watt. Figure 1 illustrates the expansion of PV into commercial markets as cost (and price) decreases.2 Once cost-effective only in space, military, or consumer (primarily calculators and watches) applications, PV has now penetrated into both international and domestic markets. Currently cost-effective domestic uses, which are the primary subject of this paper, include applications in the residential, municipal, remote, and utility market sectors. The price of an installed PV system now ranges from $7 per watt to as high as $15 or $20 per watt, depending on factors such as the quantity purchased, size of the unit, amount of storage, and whether output is a.c. or d.c. This translates to a life-cycle energy cost of about 25 cents to 40 cents per kilowatt hour (kWh).1 Even at these seemingly high prices, PV technologies are gaining significant penetration into many U.S. markets.
Figure 1. Diffusion Model for Photovoltaics Pv Applications The ever-improving economics of PV are rapidly changing the way U.S. users compare these technologies with more traditional options. Throughout the 1980s, PV systems were always viewed as having higher capital or installed costs than traditional options, with any economic advantages gained over the lifetime of the system due to lower operation and maintenance (O&M) costs. However, recent case studies not only confirm low O&M costs, but also show that PV often has the lowest installed cost when compared with line extensions, diesel generators, and other
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conventional options. 3 In addition, reputable manufacturers and installers offer warranties (20 years or even longer) and maintenance agreements for their systems, further reducing financial risk to users. Remote Applications Photovoltaics are now being used for a wide variety of cost-effective control, communication, and monitoring applications. Two recent examples serve to show how PV is being applied in rural areas. La Plata Electric Association (LPEA) is a nonprofit, customer-owned, rural electric cooperative based in Durango, Colorado, which serves about 21,000 customers in southwestern Colorado and northern New Mexico. In 1992, LPEA was approached by an existing customerthe Lake TV Translator Association, Inc. Lake TV, which provides television service to about 2,500 people, needed to replace a 3,000-m (10,000-ft) extension line that carried power from LPEA to the translator site. The translator, which requires about 200 watts to operate, is located on the top of the 2903-m (9525-ft) Grassy Mountain. Service had been supplied for more than 30 years using central station power supplied by means of a 480-V secondary overhead wire. The power poles and wire had been damaged by rodents, falling trees, and storms. O & M costs were increasing, and reliability was beginning to suffer. LPEA, having an obligation to provide service to its customers, investigated ways to meet Lake TV's needs. As the annual revenue from the sale of electricity to Lake TV is expected to be $360, it was a matter of selecting the option requiring the lowest subsidy. Because the area is heavily used for recreation, environmental constraints such as safety and visibility also had to be met. LPEA investigated five alternatives: (1) construction of a 5.6-km (3.5-mi) single-phase, 7200-V overhead distribution line; (2) construction of a 5.6-km (3.5-mi) single-phase, 7200-V underground line; (3) rebuilding of the original 480-V overhead line; (4) installation of a propane-fired generator; and (5) installation of a PV system. A comparison of the five options is shown in Table 1. It is interesting to look at some of the costs associated with the traditional approaches and how LPEA analyzed each of the options. Construction was practical only during the summer and fall before snowfall made access difficult. LPEA would have preferred to install the high-voltage overhead line (Option 1). The estimated installed cost included poles, conductor, miscellaneous hardware, and TABLE 1 COMPARISON OF FIVE REPOWERING OPTIONS FOR LPEA OptionDescription Installed Cost Annual Cost ($) ($)1 1 Overhead high-voltage line 85,000 11,617 2 Underground high-voltage 324,756 53,519 line 3 Rebuilt low-voltage line 20,000 n/a 4 Propane-fired generator n/a n/a 5 1.44-kW (pk) PV system 47,250 7,383 1 Annual cost includes O & M, taxes, interest, and depreciation. labor at $11,000/km ($18,000/mi). Blasting, tree removal, road construction, and reclamation costs were fixed at about $22,000 for the 5.6-km (3.5-mi) line. The Forest Service did not encourage this approach. Additionally, permitting and environmental assessment would have delayed the project by at least 6 months. The only traditional approach that fully satisfied all parties, including the Forest Service, was the 5.6-km (3.5-mi), 7200-V underground distribution system (Option 2). This was also the most expensive alternative. In addition to an installation cost of nearly $325,000, annual O & M costs were expected to exceed $53,000 because of the rugged terrain. Option 3, the rebuilding of the original 480-V line, would have been the least expensive alternative, costing about $6.50/m ($2/ft) for materials and using volunteer labor. Although a Forest Service permit could be obtained, LPEA rejected this option because of maintenance difficulties, poor reliability, and low efficiency. Because of the low voltage, about 50% of the total energy provided to Lake TV would have been wasted due to line resistance. A propane generator (Option 4) was eliminated because of projected high maintenance costs and difficulty of access during the winter. An emissions permit would also have been required from the Environmental Protection Agency and would have significantly delayed construction. As an alternative, LPEA chose Option 5a 1.44-kW (pk) PV system with battery storageas the most cost-effective, reliable, and least-subsidized alternative. The installed cost of the PV system was $47,250, or about 15% of the estimated cost of the most acceptable line-extension option. Annual O & M costs are expected to be about $480. Taxes, interest, and depreciation account for the rest of the $7,300. The lifetime of the PV system is expected to be
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comparable to the underground line. The second example lies nearer to one of Colorado's metropolitan areas. Power was required for a remotely located entrance station at a campground in the Pueblo State Recreation Area, near Pueblo, about 175 km (109 mi) south of Denver. The monthly load for the Juniper Breaks Entrance Station is about 111 kWh. The surrounding terrain consists of exposed sedimentary rock with steep cliffs. The Colorado Office of Energy Conservation (OEC) investigated three options for obtaining electric service (Table 2). The first alternative was to extend a line from the North Entrance Station, a distance of about 2.6 km (1.6 mi) over grassland and exposed rock. Estimates obtained ranged from $43,345 (Public Service Company of Colorado) to $60,000 (U.S. Bureau of Reclamation). A second, but longer, option was to extend a line more than 4.8 km (3 mi) around a reservoir over cliffs, exposed rock, and ravines. Public Service Company of Colorado estimated the cost of this option to be $78,688. TABLE 2 ELECTRIC SERVICE OPTIONS FOR THE JUNIPER BREAKS ENTRANCE STATION Option Description Distance km (mi) Total Cost ($) 1 Line from No. Entrance 2.6 (1.6) 43,345 to 60,000 Station 2 Line from reservoir 4.8 (3.1) 78,688 3 408-W PV system n/a 15,841 Ultimately, the OEC installed a 408-W (peak) PV hybrid system with a backup propane-fired generator at the entrance station. About 60% of the load is supplied by the PV system. The remainder is supplied by the generator or is obtained from batteries charged by the generator. The total installed cost, including backup generator, was about $15,841, or about 36% of the lowest-cost line-extension estimate. 4 Urban Applications People are often surprised to learn that PV systems are often more cost-effective inside urban areas than in very remote areas. Both land and labor tend to be more expensive in cities. Common urban applications include water pumping, irrigation, communication, traffic control and monitoring, flood monitoring and control, emergency warning systems, and all types of street and area lighting.5 When basic electric services are being installed during new construction, it is usually difficult to justify PV systems unless an intended application is very isolated from the rest of the site. Exceptions can sometimes occur when there is the necessity for very long lines, special transformers, or diesel generators. However, if an already established area needs retrofitting, such as installing new perimeter lights or electrically controlled sprinkler systems in medians, the economics often shift in favor of PV. The material and labor costs associated with extending new electrical services or with trenching through ground, concrete, and asphalt, are often underestimated. The additional feature of low maintenance is also attractive to city crews who are being pushed to provide more services with a smaller staff and lower budgets. City planners have found that cutting streets and trenching soil to install electrical cable can be expensive. Connection to local utility power can cost from $300 to nearly $1,000 depending on the type of hookup. Cost estimates for soil trenching range from $3 to $8/ft ($10 to $26/m). Estimates for cutting and restoring, or for boring under, a typical city street range from $600 to as much as $5,000, depending on the width, number of lanes, and frequency of use. The City of Littleton, Colorado, provides an example of a typical small community that has found widespread uses for photovoltaics. Littleton, with a population of about 33,000 people located just south of Denver, has successfully used PV for controlling traffic, for pumping water in a wildlife refuge, and for controlling park irrigation. Comparisons of the cost of conventional electric service, or line drops, with PV-powered irrigation controllers illustrate the types of economic decisions that face a city planner, and show that when all factors are considered, PV systems often offer the least-cost approach. While well developed, Littleton has many parks and open spaces scattered throughout its established neighborhoods. The semi-arid climate along the Front Range requires that most trees, shrubs, and other vegetation planted in these parks receive irrigation in order to survive. In 1994, Littleton estimated the cost of irrigating several neighborhood parks using a commercially available PV-powered sprinkler controller. An interesting feature of the unit is that it can be remotely monitored and programmed, saving city maintenance crews valuable time. The units can be ordered from a catalog, arrive fully assembled and
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ready to install, and need only to be mounted on metal posts. Table 3 compares estimates for installing the PV-powered controllers with estimates for conventional service. Installed costs only are provided; monthly electricity charges for utility-supplied power are not shown. Installed costs for conventional utility power are broken into four categoriesirrigation controller costs, utility hookup charges, trenching in soil, and street cutting and patchingto illustrate the factors that must be considered. TABLE 3 COMPARATIVE COST OF IRRIGATION CONTROLLERS FOR FOUR PARK PROJECTS Project Installed Cost of Cost of Utility Interconnection ($) No. PV ($) Irrigation Utility Trenching in Street Cut andTotal Equipment Hookup1 Soil Patch 1 1442 598 725 N/A N/A 1323 2 2108 677 725 N/A N/A 1402 3 2181 677 900 600 N/A 2177 4 2181 677 900 600 3300 5477 1 Utility hookup includes cost of permits, meter, and electrician labor. In Project 1, the PV controller was selected even though its installed cost was $184or about 9%higher. Although the PV-powered unit was mounted at the base of the power pole, its slightly higher installed cost was justified when the monthly charges for conventional electric service were considered. Project 2 illustrates the effects that different system configurations can have on project cost. Controlling irrigation with PV units proved to be more costly for this park because of its size and the need for extra valves and actuators. Conventional service was the least expensive approach because the controller was mounted directly at the base of the utility pole. Only a utility connection was necessary; no soil trenching or street work was required. The effects of soil trenching costs are shown in Project 3. Conventional service required about 61 m (200 ft) of trenching at a cost of about $10/m ($3/ft.) When soil trenching is needed, the installed cost of both systems is nearly identical. The solar controller, which is mounted in the center of a grass meadow, was selected because it eliminated monthly electrical service charges. The additional effect of street cutting and patching a typical secondary city street is shown in Project 4. Here, the cost of cutting and patching a street made the conventional tap far more expensive than PV. The cost of the PV-powered controller is less than half the cost of the grid-tied system. The City and County of Denver has had similar experiences, where the economics of PV-powered irrigation control were even more favorable than in Littleton. Units were installed in nine different locations along the medians of two major thoroughfares and would have required 9-12 m (30-40 ft) of street cutting and patching for conventional electric service to each section of the medians. Each ?? remote electrical tap to the medians was estimated to cost $3500-$5000, including hardware, installation, street cutting and restoration, and traffic diversion and control. PV-powered controllers were installed at a fraction of that cost. In addition, the City would also have had to pay monthly electrical service charges for each tap. Both streets are also state highways and would have required special permitting before construction could begin. The use of PV controllers eliminated an expensive, time-consuming permitting processa hard-to-define factor that is usually forgotten in cost comparisons. In conclusion, PV can be a highly cost-effective option for many urban applications. As the above example shows, a planner should carefully consider all of the costs associated with a project, including such factors as permitting and traffic control, when choosing between conventional and PV technologies for urban applications. Summary In conclusion, PV is often the most cost-competitive choice for many rural and urban applications. Planners and architects should carefully consider all costs in a specific project to determine whether PV is an appropriate choice for their application.
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References 1. U.S. Department of Energy, "Photovoltaics Program Plan, FY 1991-1995," DOE/CH10093-92, October 1991. 2. Jennings, C., et. al., "Photovoltaic Research at Pacific Gas and Electric Company," 22nd IEEE Photovoltaic Specialists Conference, Las Vegas, NV, October 7-11, 1991. 3. Eyer, J.M., K. Firor, and D.S. Shugar, "Utility-Owned Distributed Photovoltaic Systems," Pacific Gas and Electric Company, 20th IEEE Photovoltaic Specialists Conference, Las Vegas, NV, September 26-30, 1988. 4. Thornton, J.P., "The Economics of Photovoltaics versus Line Extensions: Selected Case Studies," Proceedings of Solar 94The 1994 American Solar Energy Society Annual Conference, San Jose, CA, June 25-30, 1994, pp. 102-105. 5. Photovoltaics for Municipal Planners, NREL/TP-411-5450, National Renewable Energy Laboratory, Golden, CO, April 1993.
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Chapter 27 Marketing Energy Services in a Competitive Environment R.B. Mykytyn Abstract For nearly six decades electrical utilities have operated in a regulated environment established by the Public Utilities Holding Company Act (PUHCA) of 1935. This legislation granted generators exclusive franchise to market electrical power in a given geographical area in return for the company's commitment to provide safe, reliable and fairly-priced electrical power to all customers within the region. For close to 40 years, this system of regulated monopoly functioned reasonably well to maintain a balance among the varied, and at times competing, interests in the industry. During the 1970s, however, the public argument in favor of competition within the electrical services industry gained momentum. Spiraling energy costs focused the consumer's attention on the need for conservation and inspired a variety of technological developments as well as experiments in cogeneration. Today, the electrical utility industry is poised for great change. Soon, this industry will follow the natural gas, telecommunications, and transportation industries into the uncharted waters of deregulation. The most pressing consequence of moving from a regulated environment to one that is deregulated in other words, a competitive environment is the need to design and implement a completely new form of marketing program. The response among industry marketing managers ranges from confusion and concern to excitement and eager anticipation. Where you fall along this continuum depends on how well you understand competitive marketing practices and the degree to which your company's management group is willing to initiate competitive strategies and tactics now in preparation for the coming competitive marketplace. Review Marketing Basics Information Is Power Ask any marketing expert to describe the fundamentals of a successful marketing plan and your likely to hear the same criteria time and again: Know your customer and his needs Know your products and services Know your competitors Know where your company fits in the marketplace Have a plan and work it! As you can see, most items on the list differ radically when defined in terms of a regulated environment and then again in terms of a competitive environment. Currently, your customers are defined geographically: all homes, commercial and industrial enterprises, and public buildings that use, and therefore choose to purchase, electricity within the confines of your company's service area are your customers. They have no choice there is no competitor from which to purchase power. How about products? For many companies in the electrical utility industry, electrical power is the sole product offered, with perhaps a limited number of support services, such as energy audits, provided free or at a nominal charge. Knowing where your company fits in the marketplace is quite simple: you own it. Now, consider the case of a competitive environment. Customers are no longer defined by geography; instead, you must identify specific targets, identify their particular needs and determine your unique ability to fulfill those needs. If you continue to believe your product is electricity and only electricity, you best think again. Consider the following: Today, no single electrical utility controls more than 3% of the total market for electricity. Outside of your service region, and perhaps a small portion of adjoining regions, virtually no one would recognize your company's name.
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This is true for just about all electrical utility companies. Your current customer base is the group who best knows your name and your marketing messages. Consider how competition affects the price of any product. In a competitive market, if price alone is allowed to be the sole factor influencing a buying decision, the margin on that product will stabilize at the lowest possible level. The price of electricity will be subject to this same dynamic. The electrical utility companies that confront these differences head-on and begin now to develop new, aggressive marketing strategies will be the companies that excel in the coming competitive marketplace for electrical energy and related products and services. Targeting Tomorrow's Customers Defining Profitable Markets When one takes a look at the recent history of marketing tactics, it becomes apparent that global competition, escalating operating cost and shrinking gross margins have forever changed the way industrial and commercial firms behave in competitive markets. Marketing strategies for leading equipment manufacturers and service companies have moved far beyond the "shotgun" approach of sending generalized marketing messages into a large, ill-defined audience hoping to reach and interest potential customers. Instead, these companies employ a highly refined "laser" marketing technique of: Carefully segmenting the overall market into well-defined strategic groups based on common, clearly identifiable and logical criteria Analyzing the needs of each strategic target group and the company's particular ability to meet those needs Identifying the issues important to decision-makers at various levels within each organization Developing marketing messages and strategies that focus on key issues at appropriate management levels within each strategic segment of the overall market. The overriding marketing objective for proactive companies in the electrical utility industry is to deploy marketing tactics that will facilitate a rapid transition from being a leader in a regulated industry to that of an industry leader in a competitive market. To achieve this transition, companies must adopt marketing tactics that have the short-term objectives of conveying a clear, positive image of the company, strengthening customer relationships, and building "brand" loyalty. Longerterm objectives focus on defending the customer base and establishing a foundation for cultivating new business in a competitive marketplace. By aggressively and intelligently expanding the line of energy products and services offered to its targeted customers, a company can effectively erect "entry barriers" that inhibit competitors from entering these targeted markets and generate "exit barriers" that make it hard for a customer to elect another energy services provider. For the planning process, it is important to understand the buying predispositions and influences that exist in each market segment. Two models the Audience Continuum and the Equity Progression Model developed by marketing research groups during the deregulation of the telecommunications industry are useful in better understanding the constituency and mind set of potential audiences during the deregulation process. Audience Continuum
In a competitive market, customer predisposition toward buying products or services from a
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particular supplier varies along the continuum illustrated below. In today's regulated electrical utility industry, the customer has no choice from whom he buys and, therefore, has no positive predisposition about his buying decision. As the industry moves toward deregulation, the purchase of electrical services will fall into the continuum model as customers begin to have choices for ser-vice. By understanding the dynamics inherent in this phenomenon, marketing managers can better tailor marketing communications messages and strategies, and thereby maximize the effectiveness of their marketing expenditures. The continuum also helps direct communications that acknowledge the reasons for those predispositions and target each group of prospects with information that will move them across that continuum to a sale. In applying this model to a regulated industry, it's important to note that, from a customer's perspective, the first thing deregulation means is ''freedom of choice.'' Though all customers will have this freedom, experience in the telecommunications industry indicates that customer response could be categorized roughly as those who retained their existing provider (in this case AT&T) without considering alternatives, those who retained AT&T after exploring alternatives, those who immediately exercised their freedom of choice by changing providers but who would have stayed with AT&T had they been given the right reason, and those who left AT&T without a backward glance. A former vice-president of marketing for AT&T admits that they made their biggest mistake by failing to communicate with their customers during the confusing time of the breakup. Companies in the electrical utility industry can avoid a similar rude awakening by developing marketing messages that address the key issues for each market segment. Equity Progression
The Equity Progression model illustrates the continuum of prospective customer perceptions and the relative time and expense involved in capturing a specified customer. At each point on the continuum, the marketing and sales program must address the customer's unique mind-set in order to move closer to securing a customer-energy services provider relationship. It is clearly evident from this model that securing preferred, existing customers is a quicker and more cost-effective strategy than immediately initiating forays into new markets. These are the segments your competitive marketing campaign should focus on first. Carefully identifying market segments and tailoring communications that address the unique concerns of each is sound marketing that provides the following benefits: An efficient, flexible use of available resources Helps you develop clear, concise and focused marketing messages Matches company strengths with receptive audiences Delivers a higher return on your marketing investment. Corporate Image Capitalize On Inherent Strengths The primary intent of any competitive marketing strategy is to differentiate your company from your competitors, your products and services from theirs. Crucial to the success of any marketing strategy are decisions regarding company image and product mix. At the outset, your company has a crucial advantage over any and all competitors within your current service territory (outside this territory you become their competitor). When asked who they would turn to regarding advice on energy use, safety, economy or similar energy-related topic, virtually all consumers will mention their power company. To current customers, your company is the local energy pro and your marketing strategy should take full advantage of this general perception.
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It is interesting to note that this perception is true whether your company is also perceived as an indifferent monopoly or as a proactive energy services company. However, if your company falls into the former category, you'll want to address this issue immediately in the corporate imaging component of your marketing campaign. Reinventing Product Mix Offering Your Customers Energy Services Earlier, we alluded to the fact that competition will drive down the margin on electrical power To compensate, proactive companies will expand their product mix, to offer customers a range of energy-related value-added products and services. In the short-term, the process of selecting products and services will have the effect of redefining your company. The process will take time and should begin as soon as possible. As the search progresses, keep the following criteria in mind: Will the target audience perceive this product or service as valuable? Consistent with your company's image and revised industry role? Does this product reflect high standards of quality? State of the art technology? Is it up to your standards of quality? Does the product or service represent a long-term marketing opportunity or is it simply a stop-gap? Utility Choice Marketing, Inc. (UCMI) recommends four distinct groups of products and services that combine quality, immediate availability and enduring opportunity for electrical utility companies. These four product categories focus on the residential market, all too often overlooked as the industry focuses on attracting large industrial and commercial customers. We feel the true seed work for future growth will occur in the residential markets. After all, CEOs and facilities managers all have homes and perceptions of their local electrical energy company. The four UCMI categories include: Life-safety products capitalize on your firm's established reputation as an expert in energy products that ensure the safe use of energy or those that safeguard the home are logical product additions and positive influences on corporate image. Home comfort products provide ongoing marketing opportunities through upgrades and product line expansion. Home automation products will set the stage for "smart" homes. Again, a logical fit, advanced technology, and an enduring marketing opportunity. Home security products and services will continue to be in demand. This product line, again capitalizes on your company's reputation as a trustworthy for promoting safety and protection. An ongoing concern, for example, is life-safety. Energy customers are aware of the practical benefits of such products as smoke detectors and carbon monoxide sensors, but the devices are absent from a significant number of homes. If the utility were to offer a package consisting of these products, the public would be more inclined to purchase them for installation in their homes. Through this transaction, the utility would come to be viewed as one that is concerned about the welfare of its customers. This would, therefore, reinforce the company-customer bond by strengthening the public's trust in the company. Know Your Competition Quality and Recognition: a Winning Combination While overcoming marketing obstacles means becoming more customer-focused, it is important not to sacrifice product quality. Promoting inexpensivelymanufactured merchandise may save a company money and maximize profits in the short-term, but a dissolution of the company-customer bond would inevitably result in the long run. In order for a company's product to be perceived as better than that of the competition, it must actually be better. This may entail investing more than the competitor to ensure a maximum payoff in the future. Remember that while you're busy redefining your company, all other electrical utility companies are busy doing just the same thing. Take time to
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study their directions, capabilities, strengths and weaknesses. The knowledge will be invaluable to your competitive stance in the years ahead. Sources of Energy-Related Products and Services Choose a Marketing Relationship That Will Endure Where are all these products and services going to come from, you may well ask. By this time most of you have been approached by at least one independent rep or product manager with an absolutely drop-dead deal on electric something-or-others in quantity. Again, your company has some decisions to make. To secure the products and services your company would like to offer its customers, you have several options. Your company can: purchase the product manufacturing firm, purchase the desired products in bulk and then hire additional staff to handle transshipment of product, storage, paper work and customer service coventure with a product or service provider cultivate a strategic alliance with a firm such as UCMI. Strategic alliances offer several advantages. They require little if any start-up investment, as both parties contribute their special expertise and thus derive long-term benefits. Aside from the expense of purchasing facilities or products, these options also pose regulatory problems in the existing marketplace. On the other hand, a strategic alliance can help establish an immediate profit center, build brand loyalty for your firm and allow you to ease into competitive marketing strategies before the transition to a deregulated environment is complete. Conclusion As the electrical utility industry moves toward deregulation and a competitive marketplace, there are tremendous opportunities for growth. How well any given company adjusts to the new marketing environment will in large part depend on their ability to embrace a new way of thinking about their company's image, their products and services, and the customers they serve. The competitive marketing strategies and tactics that have served so many other industries over the years will play a significant role in helping proactive electrical utility companies achieve a new level of success.
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Chapter 28 Efficient Markets Or Efficient Loads?: Impacts from Electric Utility Restructuring W.M. Warwick Abstract Restructuring of the electric utility industry is underway. This is in response to many influences, including drives to deregulate the industry, new regulatory initiatives, changing power markets, and new technology. The changing utility industry will provide Federal power customers with new opportunities to reduce costs and increase service. However, the instability in the current environment is certain to reduce near-term opportunities to collaborate with local utilities on DSM and other efficiency projects as the economics of these projects are now uncertain. This paper discusses this instability and its impacts on demand side management and other efficiency projects. Historically, electricity services have been provided to consumers through integrated utilities that used their own generation and transmission to distribute power to captive customers as a regulated monopoly. This utility model is not universal. There are municipal and other publicly owned utilities that own no generation or transmission and only distribute power. Similarly, there are publicly owned generation and transmission companies that wholesale power and have no retail customers. Nevertheless, most of the power used in the country is provided by integrated, regulated investor-owned utilities. Competition was introduced in the industry with the Public Utility Regulatory Policy Act of 1976 (PURPA). This legislation opened the door to the development of generation by third parties. The development of third-party generating facilities grew steadily until the mid-1980s' when it finally surpassed utility construction as the norm for new power supplies. The transformation of the power generation business is, in part, a spill over from deregulation of the airline and gas industries. The first resulted in more efficient turbines, which are used for both airplane engines and small generators, and the second resulted in lower natural gas prices, which made gas-fired generation the least cost generating option. Trends in Regulation The influences shaping the restructuring of the industry are diffuse and without clear direction at this stage of the process. Leadership has been provided by the third-party generation industry, utilities themselves, the Federal Energy Regulatory Commission (FERC), individual State regulatory commissions, customer and consumer groups, and new organizations that hope to profit from a more competitive environment, including power marketers and brokers. The diffusion of leadership is due, in part, to the division of jurisdiction over the industry between FERC, State regulators, and Security Exchange Commission (SEC) which oversees utility holding companies. Nevertheless, the trend in deregulation has some common themes: There will be competition for generation. At a minimum, utilities will have to compete with others to build new power plants. Transmission systems will be "open." Third parties will be able to use any transmission system to transfer power to wholesale buyers. This is necessary to create an effective competitive generation market. Independent "system operators" will be designated to manage transmission systems. These may be new entities who just operate transmission systems but don't own them or separate entities within existing utilities who operate the utility grid without knowing whose power they are transmitting.
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Energy services will be unbundled. Typically, power has been traded as a bundled product of power and transmission. The separation of transmission from generation will sever this tie leading to an increase in the variety of power products and transmission services that can be purchased, at least at the wholesale level. This will include services that don't look like traditional generation or transmission products, including dispatching services, voltage control, shaping, and so on. The availability of these services will provide wholesale purchasers with more opportunities to develop their own generation and load management systems. Realization of these trends will take time, especially without major regulatory initiatives at the State level. However, the schedule for some of these developments is already set. FERC Proposed Rulemaking for Open Transmission FERC issued a Notice of Proposed Rulemaking (NOPR) in March 1995 that directed the nation's major integrated utilities to open access to their transmission systems to third-party power suppliers trying to reach wholesale power buyers. This proposed order requires these utilities to provide third-party transmitters with the same information, terms, and conditions as they do themselves. To ensure that this is the case, FERC has proposed that integrated utilities "functionally unbundle" their generation and transmission services in their corporate structure. The ultimate effect of the rule, if implemented as drafted, will be to sever the linkage between generation and distribution. In other words, current integrated utilities will no longer be allowed to use their transmission ownership to isolate their current wholesale customers from competitive power supplies or to use their transmission system as a means to provide their current wholesale customers with unique services or terms. The end result will be a commodity market for generation. Unique, value-added features will have to be added on, rather than inherent. FERC expects its final rule to be adopted within a year. FERC commented in the NOPR and in public statements that its jurisdiction is limited to wholesale, rather than retail, markets. However, it sees its proposed rule as a model for States to follow and extend to open access to competitive power supplies for all customers, retail as well as wholesale. Over 20 states are currently considering direct access or open, competitive markets for all customers. Two states have recently passed laws permitting direct access, or retail wheeling, under certain conditions. California launched a direct access initiative over a year ago. After a series of hearings, two primary proposals emerged: bilateral contracts and the creation of a Poolco. These models are being closely studied by other States and utilities. Some organizations have already endorsed aspects of some of the models. For example, the New England Power Pool intends to adopt elements of the Poolco model to streamline its internal workings. California has delayed action on restructuring but still plans to move ahead within a year. The Bilateral Trading Model he bilateral trading model is an extension of current inter-utility power exchanges to all customers. Any customer would be able to contract with any power supplier for power. The kinds of services they contract for and their price are between the two parties. The supplier, the buyer, or a third party has to make arrangements for transmission. Local delivery would be over existing utility distribution lines. The local utility would read meters and probably bill customers based on information provided by power suppliers, just like the local phone company bills customers for long distance services. As proposed in California, this model includes an independent system operator who schedules and dispatches power plants and runs the transmission grid, although the operator does not own any portion of the grid. The model may also include provisions for the collection of stranded asset costs and the costs of DSM and social programs. The Poolco Model The Poolco model is based on the British model for industry deregulation, which has earned mixed reviews. The distinguishing feature of the Poolco model is the use of a regulated power pool to establish market clearing prices for power and to settle all transactions and any differences. This pool is wedded to the system operation function so that the integration of generation and transmission is seamless. Basically, all power is "sold" into the pool on a bid basis with the bids accepted on a least cost basis until projected demand is met for each hour. If demand exceeds projections and additional power is required to meet it, the pool operator will continue accepting bids from suppliers until resources and loads are balanced. All power suppliers are paid the last bid price for their power regardless of their bid price. All power buyers "pay" the pool the same amount for all of their purchases. The California Poolco proposal offers improvements over the British model. There are two aspects to these proposals. The first is the pool as outlined above. The second is an unregulated contract market for power that strongly resembles the bilateral contracting model except that the presence of a pool provides participants in the contract market with reference data to guide their deals or indices or other mechanisms to hedge their risk. In general, the contract market would be a longterm market based on the hourly performance of the pool. For example, a customer may have a contract for power at 2 cents per kWh. If the
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pool clears at 2.5 cents, they would still only have to pay 2 cents. Similarly, if the pool clears at 1.5 cents, they still have to pay 2 cents. Customers can purchase power directly from the pool or through contracts or from third parties. It is expected that most customers will continue to purchase power from retailers, probably local utilities, rather than negotiate separate contracts or buy direct from the pool. The California Poolco model also assumes retail customers will continue to be charged for stranded assets and costs for DSM and social programs. The bilateral trading model is the easiest to implement of the two. It doesn't require any new institutions to initiate and can be implemented in stages, beginning with one area or the largest customers, to evaluate its success. Because contracts are private, it doesn't lend itself to regulatory oversight. Similarly, keeping prices private frustrates "price discovery." This creates an opportunity for marketers and brokers who are active power buyers and sellers to gain an advantage in the market over consumers. It is expected that they will use this advantage to mark-up their costs and earn larger profits. The Poolco is built around an open market where prices are publicly available. It also incorporates mechanisms for resolving imbalances (between loads and resources) that are not punitive and it minimizes the account settlement process (payments are based on power sold and bought rather than specific contract terms). However, it does require the establishment of the pool, which is a new institution. It also lends itself to central planning and regulation which some organizations fear. Bilateral trading and Poolco are the two most likely models to be used for utility deregulation at the retail level. However there are many variations of each of them, especially the Poolco, that are possible. These include forced divestiture of generation, transmission, and distribution assets; establishment of a public, non-profit transmission entity; and municipalization of all distribution. It is unlikely that each State will adopt the exact same model. In fact, it is likely that each State or region will embrace different versions of these models and will continue to tinker with them for many years. Federal Customers Given these trends, what are the likely consequences for Federal power customers? The line between wholesale and retail will continue to blur. It is likely that large retail customers will demand and get wholesale status. This will put Federal customers at a disadvantage unless they join with these customers in demanding similar treatment. As restructuring unfolds, no single entity will be responsible for providing all of a customer's needs, including connection, load growth, generation, and reliability. Instead, these will have to be procured separately or as individual elements of a new bundle of services. Regional and national markets will emerge for unbundled energy services. Power markets will be regional at a minimum. In the West, that market already extends over 2,000 miles. DSM and load control products and services will be marketed by many vendors, probably on a national brand name basis, like the PowerSmart program today. Utilities will not all fare equally in the new environment. There will be many mergers and some failures. Some utilities will shed their local distribution systems through sales or municipalization. Federal customers will need to be at the table when their current suppliers evolve into new entities in order to obtain the most advantageous terms. Large customers will be much sought as retail consumers of new energy services and new products associated with utility restructuring. In the past, Federal customers may have been viewed as a liability by utilities. In the future, they will be an asset to power suppliers. In addition, many Federal facilities have characteristics that will be assets in the new utility environment, including Federally owned transmission and distribution facilities, rights-of-way, generation, sites for energy facilities, and large loads that can be managed to optimize power market purchases or sales. These assets can be used as bargaining chips in negotiations with power suppliers and local distributors or can be pooled within the Federal sector to extract the most advantageous terms from short-term power markets and pools. In addition to its role as a power consumer, the Federal government has significant investments in power production and transmission facilities that are inaccessible to Federal customers in the current utility environment. These resources, including power from Federal dams, transmission from the Power Marketing Administrations, and resources financed by cooperatively owned utilities with Federal funds, will be within reach of many Federal facilities when the FERC NOPR is implemented. This may offer significant opportunities for cost savings and deficit reduction benefits for the Federal government. Conclusions The changing utility industry will provide Federal power customers with new opportunities to reduce costs and increase service. However, the current environment is unstable and likely to remain so for some time. In an effort to ensure stable revenues after deregulation, many utilities are willing to offer what appear to be cut rate deals on long-term contracts. As attractive as these may seem today, they may not be once open transmission access is available in a year and even less so when retail access is available. These reforms will not come all at once or be uniform across the nation. Instead, they are likely to come in fits and starts and differ from state to state. The instability in
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the current environment is certain to reduce near-term opportunities to collaborate with local utilities on DSM and other efficiency projects as the economics of these projects are now uncertain. Nevertheless, Federal loads are attractive to local utilities and more so to new power suppliers. Federal customers who are well prepared for the new utility future will be able to use the changing environment and their assets to negotiate much more favorable terms than at any time in the past, including long-term investments in facility improvements and DSM services. This will require education and preparation. It will also require new tools and revised contracts.
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Chapter 29 Energy As a Strategic Input To the Productive Process C.D. Whelan Abstract This paper discusses regulatory changes that have transformed the energy industry from one characterized by heavy-handed price and service regulation to an industry increasingly characterized by market forces determining price and service levels. As a result of industry transformation customers now have many more choices and options and service providers tend to be more customer focused. Energy users can now treat energy as a strategic input where they control price structures and the nature of service rather than taking the price and service level provided by a utility under heavy regulation. With energy viewed as a strategic input energy users can craft a plan that conforms to overall corporate objectives as well as specific energy related objectives. This paper identifies general questions and issues that should be addressed in developing an energy strategic plan. Traditional Framework The energy industry, both natural gas and electricity, has traditionally been characterized by heavy handed regulation and control. Heavy handed regulation has its roots in the 1930's and was implemented in response to the disastrous financial condition of utility companies after the crash of 1929. Financial speculators during the 1920's assembled large and complex holding companies comprised of numerous utility operating companies. Theses companies were typically under capitalized, over extended and highly promoted. The industry performed well as long as capital was plentiful and the economy was booming. However, as capital resources began to tighten in the late 1920's and the economy began to slow down some of the highly leveraged holding companies began to experience financial difficulties. Interest on debt was increasingly difficult to pay and cash flow from inflated value properties just didn't cover costs. The industry was setup for a crash and crash it did. Numerous utility holding companies went bankrupt leaving debtors with very little and equity holders with even less. The utility industry crash contributed to the overall weakness in the economy during the early 1930's and depression of the mid to late 1930's The Congress concluded that lack of regulatory intervention during the rise of the utility holding companies during the 1920's allowed the development of unstable financial structures in the energy industry, an industry necessary to the health and safety of American citizens and the health and safety of the American economy. Congress' response to the lack of controls was passage of the Public Utility Holding Act and Natural Gas Act both in the mid 1930's. Most states followed the Federal government's lead and also adopted regulatory legislation controlling price and condition of service. The intent of the legislation was to increase the financial stability of the industry and to insure that prices and condition of service were regulated consistent with the fact that the industry has natural monopoly tendencies. The above mentioned legislation guided the industry for more than the next 40 years. Utilities were aggressively regulated in all parts of their business. Prices and returns were regulated, service areas were regulated, etc. The upside to the legislation was that financial structures were stable and service was very reliable. The downside to the legislation was that customers had limited choice
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as to supplier or service options. Furthermore, because customers had no alternatives suppliers tended to focus more on regulators than on customers. It follows that customer service was not particularly good. The industry gave customers what the industry wanted the customers to have, rather than what the customer wanted. Innovation was also limited as it related to service options and price structures since there were no competitors actively pursuing their customers with innovation offerings.. After more than 40 years of a regulatory stronghold on the industry the Natural Gas Policy Act of 1979 set the stage for a fundamental change in natural gas regulation. Through fits and starts the industry reformed itself over the next thirteen years. The natural gas industry is now subject to competitive forces, customers generally have supplier choices and the industry tends to focus on customers and their needs. The new structure is quite an improvement over the historic structure. Deregulation By Industry Segment The natural gas industry is generally broken down into three industry segments production, interstate transportation and local distribution. Each has followed its own course on the road to a less regulated industry. The production area was the first to become deregulated. Beginning in the early 1980's natural gas prices began to become deregulated. Prices were completely decontrolled in 1989 with passage of the Natural Gas Decontrol Act. With wellhead natural gas prices completely decontrolled, market forces and nothing else determines prices. Customers are free to purchase wellhead natural gas at any price and with any pricing structure that the market will accept. Price decontrol has also allowed for the development of a vigorous natural gas financial market. Today you can hedge future prices, either buying or selling, eighteen months into the future. If you like the price in January of 1996 you can buy that price through a broker on the New York Mercantile Exchange (NYMEX) or a marketer who works through the exchange. This flexibility was not possible when prices were regulated. A working financial market is only possible if regulatory intervention is kept to a minimum. The second industry segment, interstate transportation service, began its road to deregulation in the mid 1980's with the issuance of a series of Federal Energy Regulatory Commission orders that began to let customers have direct access to production and required pipelines to transport the natural gas on open access nondiscriminatory basis. The final F.E.R.C. order (number 636) was implemented in 1993. It required pipelines to provide the same level of service to customers as itself. The net result was that pipelines essentially got out of the business of selling natural gas. Prior to 1985 pipelines essentially sold all gas consumed in the United States. After 1993 pipelines essentially sold no natural gas. The industry was transformed. Another requirement of Order 636 was that pipelines had to give holders of capacity the ability to resell their capacity if they choose. A secondary market for transportation was essentially created. Transportation is now traded daily on the secondary market. I would guess that virtually all holders of capacity now participate in some way in the secondary market as they try to increase value for under utilized capacity. Transportation is not yet a commodity like natural gas is, and probably will never be, however, it looks alot more like a commodity than it did two years ago. The final industry segment is local distribution. Their road to deregulation is slower and less consistent since generally price and service is regulated by each state rather than one body such as the F.E.R.C. Currently, many LDC's have either very restrictive tariff language that make transportation service unattractive or subsidize service to industrial customers which increases costs to other customers and prevents other potential suppliers from competing on a level playing field. For example, some utilities have an arbitrary volume requirement to qualify for transportation service. Often times the volume requirement results in excluding all but a few Companies from having the opportunity to transport gas. Another example is restrictive balancing service. Some utilities have a daily balancing requirement with narrow tolerances and high penalties. Neither of which track or reflect the LDC's potential cost occurrence. We see this changing however. As the fear of deregulation diminishes and the success of Order 636 is increasingly recognized LDC's and State Commissions are loosening the grip on customers and allowing them to choose their supplier under reasonable tariff terms and conditions. There are several examples where local distribution companies are opening up their systems and backing away from the gas sales business similar to how the pipelines exited from the sales business. Two examples come to mind, both of which in the upper Midwest. Midwest Gas Company is piloting a program where marketers will sell gas on an aggregated basis to residential customers. Minnegasco is developing a similar service to be offered to small commercial
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customers. I believe these are positive moves that will benefit all customers. I've rambled on about industry restructuring and regulatory changes. Why? I believe it is important to understand the scope of change in the industry in order to realize that you can and should view energy differently because of these very changes. Energy should be viewed differently than in the past. However, the same type of restructuring that fundamentally altered the natural gas industry is occurring in the electric industry. The Energy Act of 1992 opened the floodgates of deregulation for the electric industry. Soon you will have a choice as to who you purchase your electricity from just as you currently do with natural gas. Energy As a Strategic Input Natural gas is transforming and in certain respects has transformed from a productive input where a customer had to take the price and level of service provided by the LDC, pipeline and producer to a productive input where there are choices as to pricing structures and level of service. As such, natural gas should be viewed as a strategic productive input. As a strategic productive input natural gas is viewed in a much different light than it has been traditionally viewed. As a strategic productive input the following questions begin to be asked: How much price volatility can I handle? Does the market value of my product vary with the market value of natural gas? What alternatives do I have to be taking service from the LDC? Can I take a lower level of service reliability and associated cost savings and not unduly disrupt my productive process? Can I hire someone to manage my energy requirements who has energy as a core competency who can save money and/or increase reliability? How is my competition purchasing energy? How do I compare regionally and nationally to my competition as it relates to energy purchases? What are my objectives as it relates to energy purchases? Do I have an energy strategic plan that ties into my overall corporate strategic plan? How do I know if I have been successful in purchasing my energy? Under the traditional industry structure these questions typically don't get asked because there are no choices or alternatives. Under today's emerging structure these are critical questions that must be asked and answered in order to compete in the increasingly competitive world marketplace. As I mention earlier the electric industry is now following the same course as natural gas, however, with three notable exceptions: First, regulatory changes on the electric side are a couple years behind changes on the natural gas side. Rest assured, though, that the electric industry will go through fundamental change and restructuring. Second, end-use applications are much more numerous and complex on the electric side. This potentially creates more opportunities but also results in solutions being more complex. The final difference is that electricity can be generated on site while natural gas must be produced from a field. The impact of this difference is that current buyers can become net sellers and self-generation creates competitive leverage. Electricity is increasingly becoming a strategic productive input just as natural gas is today. As such, the strategic questions I posed earlier should begin to be posed with respect to electricity. Defining Objectives and Developing a Plan Once the realization is made that energy is a strategic input to the productive process, energy starts to be viewed much differently. No longer do you just take the price and condition of service provided by the local utility. Instead you develop your options, evaluate each against your strategic objectives, then chart a course of action. A first step necessary before options development and evaluation is development of strategic objectives. Before I discuss option development and evaluation let me first discuss strategic objectives. Strategic Objectives -"How do you know if you have arrived if you don't know where you are going." If you haven't identified a set of objectives you want to reach as it relates to energy you don't know and will never know if you optimizing your energy portfolio within the context of your options and overall corporate objectives. Developing your strategic objectives starts with answering two questions. Number 1 - What are my
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corporate objectives? For the moment let's assume that you have a simple corporate objective to make money. I think that fairly will describes the primary corporate objective of most companies. Number 2 - How important is energy in the productive process? If energy is a sizable share of your corporate variable or controllable cost then energy is very important to you strategically and should be given relatively high priority. If on the other hand energy costs relative to your other costs are lost in the rounding then energy should be given a relatively lower priority. For the sake of this discussion let's assume energy is relatively important. Energy is important and my mission is to make money. With that settled there are two more questions that need to be answered. Number 1 - What are my strategic objectives as it relates to energy. Number 2 - How do I achieve them? First, your strategic objectives. Clearly I can't tell you what your objectives should be, however, I can give you questions and considerations that can lead you to clearly defining your strategic objectives. Question one - What are your end-use applications? Is it space heating, process, feedstock, etc.? Certain applications may not deserve much attention. For example, the office area for an industrial plant usually has a couple furnaces, air conditions and water heaters. The energy use tends to be seasonal, relatively insignificant and metered separately from the plant itself. Not much time or effort should be put into evaluating strategic objectives for this end-use. Alternatively, you may have a boiler house that generates steam for your process and bums $5 million of gas annually. This application needs attention. The next set of issues relate to reliability. What level of reliability do I need for each application? Many plants have alternate fuel capability. With alternate fuel capability a lower level of reliability may be possible which can create significant savings. You should only buy as much reliability as you absolutely need since there is direct relationship between price and reliability. Choosing the right level of reliability may not be as easy as it is initially would seem because of the cost of switching fuel. There is a cost whenever a facility must switch to an alternate fuel. The cost comes in two forms. First, the differential cost of replacement fuel. If your replacement fuel is propane your MMBtu cost may double. If your replacement fuel is #6 fuel oil there may be a minimal cost impact. The other cost is the cost to switch. Does an operator need to be diverted from other tasks to make the fuel switch, is there an administrative cost to track the fuel switching and process the bills? More importantly is there productive down time at the plant if fuel switching is required. This can be very costly. One of our customer's continues to remind me that each day they make over $1 million worth of product that is sold as it is made. If energy problems cause a plant shut down or slow down they lose sales that cannot be made up because they're running at capacity. Saving a $.10/MMBtu and giving up reliability is not worth it to this customer. These costs often times are forgotten and can be significant. The next set of issues relate to price. Naturally, you want to have the lowest price consistent with your reliability requirements. Again it's not that simple. If you seriously want to get natural gas at the lowest cost then you should systematically participate in the futures market. That way you can capture lower prices in future months or years when the market is weak. This pricing approach introduces a price risk that many customers are unwilling to take but it is the best way to get the lowest price. Often times buyers state that their objective is to get the lowest cost but what they actually get is the lowest price during bidweek when they are buying for the next month. This example insures that you are buying a market price not at the lowest cost. Your price objective should be a function of how much price risk you are willing to take relative to the prevailing market price. If you are willing to assume price risk relative to the market you may be able to beat the market. Another dimension of price is stability. How important is it to you that prices are stable. For example, if prices jump 30% do you have to explain through several layers at the company why you are over budget. On the other hand, if prices drop 30% does that cost reduction automatically project through to the end of the fiscal year and essentially handcuff you to a 30% overall fuel cost reduction for the rest of the year. If either of these situations occur in your Company you may want to seriously consider fixed pricing. Natural gas price and cost should not be viewed as a single homogeneous commodity, rather, natural gas should be viewed as a bundle of services from the wellhead to the burnertip. The services can and should be unbundled and evaluated separately when it comes to developing strategy and objectives. There are three general cost categories that makeup your natural gas cost - commodity cost of gas, interstate transportation and local distribution. Each cost category should be evaluated separately and a separate strategy developed for each. Your overall objective may be the same for each -
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i.e. minimize cost for a given level of reliability. However, the actual road to get to the overall objective may be different for each. For example, there are literally hundreds of potential natural gas suppliers and a liquid market in most production areas, a handful of ways to transport natural gas to your area and in all likely hood only one local utility that actually serves your plant. The three segments are sufficiently different that separate strategies are required for each. Determining your price objective is very specific to your business. Do you want to take on price risk in order to gain a competitive price advantage compared to your competition, or is it important that your price always be in the market? In all likelihood your probably would not expose your entire energy position to price risk, instead, a portfolio approach is probably more prudent. Whatever approach you choose the industry can deliver. Defining your strategic objectives is really quite simple. First you assess what your end-use applications are. Second, for each end-use application you define the level of reliability required based on a cost assessment of switching to alternate fuel. Finally, a price strategy must be determined generally and then specifically as it relates to each natural gas industry segment. Is the objective to be at the market at all times? Is the objective to be least-cost which means that some forward pricing mechanisms will need to be used. Or is your objective to always be at or near budget. So much for the big picture, now to address the important question: How do I develop options and choose a course of action consistent with my strategic objectives. The first issue is do you go it alone or bring in some help. If you have staff and time on your hands you may want to go it alone. If on the other hand you are like most of us, understaffed and overworked, then you may want to bring in some help. Help can be solicited in many ways. One way is to hire a consultant. Another way that's much less expensive is to use the RFP process to have industry experts tell you how they would reduce your energy costs and give you the level of reliability you need. The RFP approach works very well if you are precise as to what you are looking for. The RFP should require that the respondent specifically discuss how they would reduce costs in all three of the industry segments; commodity cost of gas, interstate transportation and local distribution. Rather than continuing to discuss concepts I will give you an example of what can happen when conceptually you view energy as a strategic input that can be controlled and made to conform to you strategic objectives. The customer I'm going to tell you about is a regional enterprise with nine plants all engaged in agricultural processing. Cenergy began talking to company personnel over a year ago about changes in the industry and how these changes create real opportunities to improve profitability and competitive position. Our first step was to identify options that may have applicability. Then we started slowly. First we began serving one plant with transport gas at a cost less than utility service. Next we evaluated the economy of bypass at two facilities. Bypass essentially replaces local distribution service with pipe owned by the customer or by a third party. The return on investment was over 50% annually. After we shared this information with the local distribution utility they reduced their price to the customer by 50% for a 10 year period. Our next step was to discuss fuel issues with each of the plant managers. At one plant we found out that their coal permit was about to expire and that pursuant to Clean Air Act regulations the permits would only be renewed if expensive upgrades were made. The plant had decided to start burning gas once the permits expired. However, they hadn't yet shared the information with the distribution company. Our suggestion was to commit to a minimum annual gas use with the local utility in exchange for a discounted rate. The utility thinking that it was capturing new load was more than happy to extend the discount, again for a ten-year term. Absent thinking about energy as a strategic input our customer may have simply told the utility that is now needed to bum gas at whatever price the utility wanted to charge. As negotiations with the local distribution companies were going on the overall natural gas market had dropped to three year lows. We advised our customer of that and suggested that a portion of their load be converted to a fixed price. After some discussion the decision was made to have Cenergy serve all plants under a master agreement and for approximately 60% of expected load to be served under a fixed price. Today all nine plants are buying gas at below market. We also did an overall energy evaluation for all plants. At two plants we found that they had low power factors for which they were being penalized by the electric utility. The particular utilities either charged on a KVA basis or charged penalties below a certain power factor level. Cenergy's solution was to install capacitor banks that would reduce KVA utilization relative to Kwh utilization. The payback for the customer investment was 1.5 years. On going activities with this customer include a cogeneration feasibility study at one plant, biomass digestion at another facility and resetting a fixed price at all facilities.
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This customer decided that energy was a strategic input to their process, that energy costs can be controlled and that focusing on energy could improve profits and their competitive position. We have quarterly meetings with the customer where energy strategy and energy options are discussed. The result is that they are aware of emerging technologies and emerging regulatory changes and we are aware their changing needs and requirements. This customer's decision to view energy strategically and to comprehensively evaluate energy options has resulted in several hundred thousand dollars in energy savings, dollars that go directly to the bottom line. Your business can be more profitable if you view energy strategically, develop energy options and implement strategies that conform to your energy objectives and corporate objectives.
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Chapter 30 Energy Management Program: Prince William County Public Schools Manassas, Virginia G.T. Colbert and S.E McTighe I. Introduction Prince William County, Virginia, is located some 25 miles southwest of Washington, D.C. The Prince William County Public School (PWCPS) system includes sixty-four schools (46 elementary schools, 11 middle schools, 7 high schools). Nine schools were built prior to 1960, thirty-eight during the '60s and '70s, and the balance since 1980. Additionally, there are two administrative and support facilities. Total square footage is approximately 5.6 million square feet. Approximately 5,700 employees, including instructors, serve some 46,000 students. The school system's Capital Improvements Plan (CIP) calls for the construction of eleven new schools over the next five years. Enrollment is expected to grow at a rate of 1,000 per year for the next several years. The school division is served by three (3) electric utilities, two (2) natural gas and one (1) LP gas supplier, one (1) heating oil supplier, three (3) water and three (3) sewer companies. Utility expenditures have risen steadily over the years. From fiscal year 1990 through fiscal year 1994 these expenditures rose from 6.7 million dollars to 8.4 million dollars, a 25% increase. Utility costs are projected to rise an additional 28% ($2.6M) through fiscal year 1999. In response to the rising costs cited above, a pilot Energy Conservation & Cost Savings Program was implemented in July of 1993. Six pilot schools were chosen because they were our highest users of energy and, therefore, represented our best opportunity for savings. In order to focus conservation efforts, past utility usage was analyzed to determine the historical distribution of dollars spent for energy. It was determined, not surprisingly, that some 80% of our total energy expenditures were for electricity. The pilot program was predicated solely on the implementation of conservation techniques no funds were to be spent on energy saving technology. A baseline usage figure was established for each utility (for each pilot school) by averaging consumption from fiscal years '90, '91, and '92. A baseline temperature was established in the same manner. Schools which could show cost avoidance (as measured by comparing current performance against the established baseline adjusted for temperature changes) would be entitled to a rebate equal to 50% of cost avoidance. Representatives from the Plant Operations' Energy Office explained the program to the principals at the respective sites. Walk-through energy surveys were conducted at each site. These surveys (which usually included the principal and a representative of the appropriate electric utility) were used to point out energy savings opportunities in a given building. Further, presentations were made to the respective school staffs. Actual cost, consumption, and temperature data were collected quarterly for each school. Baseline usage figures were adjusted for temperature differences. Savings were calculated by subtracting the actual usage from the adjusted baseline usage. The difference was then multiplied by the current unit price of a given utility. ''Savings'' were distributed to schools quarterly. It was understood that these funds could be used at the discretion of the principal. Total cost avoidance for the pilot program (July 1, 1992 through June 30, 1993) was approximately $100,000; half of that amount was paid out to the pilot schools.
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II. Energy Management Plan Development The success of the pilot program prompted consideration of the feasibility of expanding the program to include the entire school division. Prior to launching the pilot program, historical energy usage had been examined and future requirements had been calculated. General information available on the topic of energy management was reviewed. School personnel consulted with public utility officials and energy management experts. This research led to four conclusions which significantly shaped plan development: (A) PWCPS' energy consumption and the associated costs were rising (B) Widespread energy education and awareness would have a significant impact (C) The development and implementation of a formal energy management plan would provide the structure necessary if the program were to succeed (D) Said plan would have to be somewhat flexible in design to allow for modifications deemed necessary during the implementation phase In July of 1994 an Energy Management Plan was approved by the superintendent and the Prince William County school board. Following are the basic tenants of the plan. Mission To conserve energy and reduce costs through the establishment of an Energy Management Plan which will include, but not be limited to energy conservation, energy education and awareness, and improved equipment efficiency Objectives Reduce costs through energy conservation Provide energy education and awareness for all employees Improve efficiency of lighting and heating, ventilation & air conditioning (HVAC) equipment Strategies In addressing objective #1 (conservation), a page was taken from the pilot program: all schools would participate in a shared savings incentive program. As with the pilot program, monthly baseline energy consumption figures would be established based on historical energy usage. While cost avoidance would be split 50-50, the payout schedule was reduced from quarterly to once per year. The intent here was to level out peaks and troughs in consumption encountered during the pilot period. Objective #2 calls for energy education and awareness training for all employees. The strategy: to compile, evaluate, and disseminate appropriate information to all employees, with special emphasis on building administrators, maintenance and operations personnel, custodial staffs, classroom teachers, and central office management. The plan's third stated objective focuses on improving the efficiency of lighting and HVAC equipment. The strategy for the first year was to collect and evaluate information on current building operation, and then formulate recommendations and implementation schedules. Organization The plan's organizational structure consists of four components: an Energy Office, a Building Energy Coordinator at each remote site, an Advisory Council, and a Steering Committee. The Energy Office (consisting of a program coordinator, a utility services technician, and a data entry clerk) has overall responsibility for the ongoing development and implementation of the energy management plan. Building Energy Coordinators are appointed at each school (by the principal) and serve as the Energy Office's point of contact. These coordinators are to maintain an ongoing awareness of sources of energy consumption and expenditures at the respective buildings. The Advisory Council provides technical direction for the energy office. Members represent various sources of expertise external to the school system (public utilities, state and/or local government, colleges and universities, energy managers from other school systems and/or private industry). The Steering Committee, conversely, is an internal mechanism. Members represent a variety of central office disciplines (finance, planning, maintenance, construction, etc.) and the schools (principals, teachers). This committee works to insure that proposed programs are sound from all points of view. III. Implementation During July and August of 1994, meetings were held with school principals. Baseline information was presented, payout procedures were explained, and energy management and conservation techniques were offered. Principals were asked to appoint a Building Energy Coordinator. Principals were also encouraged (with matching funds provided by the central office) to implement low cost conservation projects: up-grade of
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insulation on exterior doors and windows, purchase of task lighting, etc. During the same time frame, presentations providing an overview of the energy management plan were made to cafeteria and custodial managers. In September, the roster of Building Energy Coordinators was compiled. In the ensuing months, representatives from the Energy Office met with these coordinators for the purposes of establishing initial contact, further explaining the program, and performing walk-through energy surveys for each building. The energy surveys were used to focus attention on low-cost, no-cost conservation measures which could be implemented in a given building. Major emphasis was placed on lighting and the building envelope (caulking and weather stripping). The central theme (with regard to lighting) was sounded over and over, loudly: "if the room is unoccupiedturn off the lights!" Where appropriate, de-lamping was recommended. Coordinators were encouraged to learn as much as possible about timers and control systems which regulated the building's heating and air conditioning. It should be noted that, as plan implementation progressed through the first year, energy education and awareness was expanded to include the student population. A considerable amount of material suitable for all grade levels is available from the National Energy Foundation. The NEF, headquartered in Salt Lake City, is a nonprofit organization devoted to the development of energy related instructional materials and teacher training and student programs. The PWCPS Energy Office purchased a representative sampling of NEF posters, teaching manuals and other materials. The materials were made available for review by interested faculty members. If materials were ordered, the Energy Office split the cost with the school. An Energy Banner Design Project provided another avenue for student involvement. Student artists were asked to create a design symbolizing energy conservation. First, second and third place ribbons were awarded for each level (Senior, Middle and Elementary). First place designs were submitted to a commercial artist who fabricated the banners, which, at the end of each school year, will be presented to schools showing a cost avoidance. An Energy Newsletter was published periodically throughout the year. The newsletter was used to focus attention on energy related matters, conservation techniques, special projects, the availability of resource materials, and successful tactics employed at particular schools. Throughout the year, utility usage and cost data were collected and processed using commercially available energy accounting software. Information regarding the school division's organizational structure, as well as specific building information (square footage, utilities used, rate structures, meter ID numbers, etc.), was required for set-up. As invoices were received, entries were made regarding billing period duration, consumption, cost, and daily weather data. Monthly performance reports were issued to building energy coordinators and central office management. Reports included monthly and year-to-date figures for baseline usage, actual usage, temperature adjustments, and avoided cost or overage. Reports lagged some 60-75 days owing to delays in the arrival of utility invoices. IV. Observations, Recommendations & Evaluation The experience gained during the first year of implementation has heightened our awareness on a number of fronts. The following observations are offered in an attempt to help others who may be preparing to launch similar programs. First, a word with regard to front line energy personnel ("building energy coordinators" in our program.) We've found that success at a given building was usually tied, not surprisingly, to the presence of an active, enthusiastic building coordinator. Further, we have found that teachers and assistant principals seem to be the best choice for the position. In general, school energy programs seemed to lack zest when the responsibility was retained by the principal or delegated to, say, the custodial manager. Principals simply have too many other issues requiring attention. Custodians, it would seem, are not in a position to "drum up" student involvement, which we found to be a key ingredient for success. Having said that, it should be noted that the involvement of principals and custodial managers is critical to the success of the program. Principals need to provide active support...custodial staffs must be involved because they have a great deal of control over energy use after hours...but we recommend that someone else run the program. A second key issue is the above referenced student involvement. We've seen that an involved student population will virtually drive the program within a given school. In some cases, art classes designed light switch covers reminding teachers and other students to turn out lights when the class vacates a room. Many schools opted to appoint class "energy captains" who were responsible for turning out lights. One school opted for a student "light brigade" which patrolled the building during lunch and recess periods to insure energy was not wasted. Some
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schools vested a science/ecology club or student government organization with responsibility for running the program, promising these groups a portion of any earned energy rebate. It is worth noting that, thus far, the above strategies have been quite successful with elementary schools, less so with middle schools, and still less so with high schools. We have therefore determined a need to develop (in the coming months) different strategies for secondary schools. The initial meetings with the designated building energy coordinators is a third critical element of the energy management program. Development of a sound rapport between central office and personnel at remote sites is crucial. It is recommended that during these meetings, the energy office representative should (a) review the major points of the energy management plan, (b) describe and provide samples of available classroom resource materials, (c) share success stories from other sites, and (d) accompany the building coordinator on the walk-through of the building for the purpose of identifying low-cost/no-cost energy savings opportunities. Again, during the early stages of plan implementation, most such opportunities will have to do with lighting and the building envelope. More opportunities will arise as the on-site coordinator becomes more familiar with (a) the operating schedule of his/her building and (b) the operation of the building's HVAC time clocks or energy management control system. It is worth noting that, from time to time, inaccuracies were uncovered that prompted us to make changes to the established baseline energy usage figures. Such was the case when changes were made to a particular building. Baselines were altered, for example, to allow for the installation of a new roof, the replacement of an antiquated HVAC system, or the addition/subtraction of portable classroom trailers. Alterations to the baselines were also prompted by the use of the energy accounting software, which brought to the surface a number of historical inaccuracies. Among these were missing bills, bills posted to the wrong month, billings for long disconnected meters, and the application of incorrect rate schedules. As of June 1, 1995, over $18,000 in past billing errors had been detected, called to the attention of the appropriate utility, and corrected. A significant part of the energy education and awareness program for employees included training for the Energy Office Staff. Staff members attended the "Energy Management Series", an intensive three week certificate program co-sponsored by North Carolina State University and Virginia Polytechnic Institute. Further, considerable time was spent with representatives from other school divisions in the region, the local utilities, and the energy accounting software vendor. Information gleaned from these endeavors formed the foundation for our in-house presentations. It is suggested that time and money invested in "training the trainers" are resources well spent. Through March of 1995, twenty-nine schools showed an aggregate cost avoidance of $178,842. Projected cost avoidance for the year is $235,000. We view the program's performance to date a modest success, considering it is our first year of consciously attempting to manage energy consumption. We have a number of goals in mind as we approach year two. Among these: significantly increase faculty and student involvement find ways to improve the response of senior high schools perform more sophisticated building energy surveys search for available grant funding for energy projects focus attention on the need for lighting upgrades in a number of our facilities Finally, a word regarding the focus of energy management programs in school systems or like organizations. Experience to date and our research into the subject matter have led us to the conclusion that those charged with the responsibility of implementing such programs must take the long view. Energy education and awareness efforts must be sustained and continuous. They must be directed at a wide range of personnel: central office management, school administrators, teachers, students, custodial and cafeteria staffs, maintenance and operations personnel. The goal is the creation of a new mindset: we want everyone in the system to be cognizant of the fact that every time a light switch is flicked...every time the sprinkler system is activated...every time an exterior door is left ajar...energy is being consumed, and there is a price tag affixed to that consumption.
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Chapter 31 Improving Your Competitive Position Through Energy Surveys T.D. Mull Downsizing, Re-Engineering, Reorganization These are business terms of the 1990's used to indicate the need for American companies to streamline, so that they can remain competitive. American business and industry no longer hold their once commanding advantage throughout the world. Quality products at low prices have made European and Asian countries major players in today's global market. Therefore, it is essential that American business do everything within its power to improve productivity and reduce its operating costs. Only in this way can it hope to remain viable in the market. Having survived a number of corporate reorganizations and been involved in over one hundred and fifty energy surveys, it has become apparent that many firms are overlooking an area for potential increased profitability; a way to enhance profits and enhance their competitive position. That is through effective utilization of energy resources. Programs to conserve energy in business and industry have been on-going for over twenty years. However, for the past decade, lulled into a state of complacency by stable energy prices, many firms have opted not to invest in Demand Side Management (DSM) or conservation programs. To them energy is a minor factor in their overall cost of operation. I contend that for many businesses and industrial facilities the effective use of energy resources can be a key component to elevating firms to a position of having an advantage over their competition. The effective utilization of any commodity begins with: (1) knowing current consumption patterns, (2) where, how, why it is being used, and (3) understanding the basis on which you are being charged for the commodity. The best way to obtain this information is through a comprehensive energy survey. A comprehensive energy survey can provide all of the required information with which to make informed energy decisions. Surveys provide not only recommendations to improve current energy utilization, but they also can provide insight into methods of minimizing future energy use as well. The survey, however, is only half of the story. The survey report is of little value, if the customer does not implement the recommended measures. Having performed numerous energy surveys, I am still perplexed that customers do not implement more of the measures that are shown to be cost effective. Recommendations as obvious as using energy saving fluorescent lamps are still not being voluntarily implemented by many commercial and industrial customers. On average, less than 25% of the recommended measures are typically implemented. Customers always seem to have a reason why measures are not implemented. Some of the most often quoted reasons include: "We don't have the capital at this time" and "We have to submit this through our budgeting process." Quite often, unless the facility top management is behind the effort, any enthusiasm generated by the initial survey report is lost in the presentation to the management or the budgeting process. The fact is that in today's market there are few valid reasons for not implementation cost effective energy measures. There are any number of ways that worthwhile projects can be implemented. For companies where capital is a concern, energy service companies are becoming more prevalent. Organizations such as Honeywell and General Electric, to mention a couple, have services available to
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assist customers. These include audit services, the procurement of equipment, installation, financing, and in some situations guaranteed savings. Many electric and gas utilities are also providing auditing and other services to assist their customers. In addition, state governmental energy agencies may offer subsidized energy assistance to businesses and industry. So, support services are available. What then is the opportunity? How much can a company expect to save with a comprehensive energy survey? Is it truly worth the effort? The answer to these questions depends on many factors, including: How energy intensive is the facility? What is the operating schedule (single shift vs. three shift)? What are the current energy rates? How efficient is the existing equipment? How are systems currently controlled? Have conservation and/or DSM strategies been previously implemented? What is an acceptable payback or ROI to the customer? TABLE SAVINGS POTENTIAL ANNUAL ELECTRICAL INDUSTRY ENERGY EXPENDITURE Furniture $193,915 Furniture $199,454 Automotive $568,573 Brick $584,689
SURVEY PROJECTED PERCENT SAVING ANNUAL SAVING POTENTIAL $23,458 12.1% $18,113 9.1% $22,501 4.0% $32,289 5.5%
In surveying various commercial and industrial facilities certain patterns seem to develop. It is intuitively obvious that an industrial plant would be more energy intensive than the typical commercial building. Also, a significant portion of the plant's energy would be process related. Therefore, the anticipated savings, on a percentage basis, would be smaller for industrial facilities. In actual practice this hold true. For industrial facilities typical dollar savings may be on the order of 2% to 10%, or more, of the annual energy expenditure. In commercial buildings the potential for saving usually ranges between 5% and 15%, or more. If conservation and DSM options have not been specifically addressed at a facility, the savings could be significantly greater. To illustrate this, the table below notes the dollar saving potential for four moderate size industrial facilities located in the central portion of the country. These plants would be considered typical of the opportunity that is available. It should be noted that all four surveys were restricted to presenting recommendations having a projected simple payback of less than two years. In addition, these savings equate only to electrical energy consumption savings. The results noted above are representative of the level of saving potential that exists in American business today. To achieve these savings we do not have to call upon Star Wars technology. Each of the recommendations in the four referenced reports utilized off-the-shelf proven technology and controls/strategies that have been available for ten years, or more. With greater economic flexibility even further savings could have been possible. It should be noted that these are true savings. Therefore, this could be viewed as increasing sales based upon a firms current profit margin. Hence, the smaller the profit margin an industry has, the greater the net impact.
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Results such as these have shown that it is possible for many businesses to incur substantial savings from energy comprehensive energy survey. Thus, the energy survey becomes a tool of increased profitability. Undoubtedly, in today's global economy anything that increases profitability enhances our market position and competitive position. improvements. The only way in which to accurately evaluate the potential for these savings is through a
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Chapter 32 A Case Study of Energy Savings and Environmental Impact Reduction for a Textile Facility D.K. Mowery and J.D. Risi Introduction The Industrial Energy Center (IEC) is a university-based energy management group dedicated to improving energy efficiency in industrial facilities throughout Virginia, North Carolina and Tennessee. The goal of the IEC is to assist area industries by increasing their cost effectiveness and product quality in terms of energy use in manufacturing. The IEC aspires to become the responsive resource for industries who are seeking a manufacturing advantage, or experiencing problems, related to the usage and management of energy. Fulfilling these goals is accomplished through a combination of energy training and education, on-site surveys of various energy-intensive processes, technical assistance, and applied research. The underlying purpose of all the energy-awareness efforts is to motivate the implementation of a formal, permanent, energy management program as an integral part of the client's operation. The initial survey report is only a partial list of energy-related cost savings opportunities. The IEC will continue to make its services available if more in-depth training or advising is desired to implement an energy management program or the energy conservation measures (ECM) identified in the report, or if, after the facility has acted on the initial recommendations, additional assistance is desired to identify further ECMs. The IEC was invited to performed an energy survey at a textile finishing facility in southwestern Virginia. The remainder of this paper is dedicated to an overview of this energy survey and a discussion of the conservation measures identified. Process Description The facility is dedicated to the printing and dying of fabric for use as bed linens and draperies. The plant produces approximately 2 million yards of treated fabric each week. The printed fabric is used to make linen products for the high end market. The company also produces sheets and pillow cases for industrial, commercial and institutional purposes (hospitals, hotels, prisons, etc.). The fabric arrives from worldwide sources in the form of large rolls and is sent either to storage or directly to processing. All fabric entering the plant must pass through one of two Bleach Ranges. The Bleach Range is essentially a fabric preparation process. The fabrics are pulled through a singeing operation to remove excess fuzz. The fabric is then alternately bleached and washed in order to remove impurities and sizing agents, placed in the fabric during weaving operations. The fabric is stored in Wet Bins before progressing to the Finishing Range. Once again, all incoming fabric must continue through one of two Finishing Ranges. The Finishing Range applies chemical treatments to change the appearance or properties of the fabric. Common finishing processes include fireproofing, waterproofing and brightening. If the fabric is later to be dyed, additional chemicals may be added to assist that process. The finished fabric is dried and straightened before being wound onto a roll. From here the fabric will be sent to storage, fabrication, one of three Print Ranges, or to the Thermasol Range. The Thermasol dye line is used to apply solid colors while the Printing operation applies detailed color patterns to the fabric. The fabric that is processed in the Thermasol dye
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line must be sent back through the Finishing Range before further processing or shipment. Energy Use Summary The major sources of energy at the facility are electricity, natural gas and coal. The maximum (or "peak") demand for electric power is about 3,900 kW with an annual energy use of 24.7 × 106 kWh. The plant has a summer peak. Three coal-fired steam boilers use approximately 14,000 tons of coal per year. The coal has an average heating value of 14,000 Btu/lb with a purchase cost of $50 per ton (approximately $1.79/MMBtu). The facility currently pumps approximately 8 million gallons of water per week from a nearby river and treats it to drinking-water standards before it enters the plant. The estimated cost of pumping and treating the water is approximately $1.40/1,000 gallons of water. Energy Survey The survey team, consisting of undergraduate and graduate students, university faculty, and utility engineers, visited the facility for a period of two days. The following is a list of the conservation opportunities identified by the team. Install a Condensing Stack Heat Exchanger in the Boiler Exhaust Stack To Preheat Boiler Feedwater Recovering the waste heat available from the boiler stacks to preheat the boiler make-up feedwater will save approximately $217,630/yr with a simple payback of 2.3 years. Conduct a Comprehensive Engineering Study for Installing an Internal Combustion Driven Air Compressor To Meet the Plant's Compressed Air Needs A natural gas driven air compressor will offset both energy and demand electrical costs, taking advantage of the lower fuel costs of gas during on-peak electrical hours. Additional savings is realized by recovering waste heat from the compressor and natural gas engine. Total estimated cost savings for this effort is $31,320/yr with a simple payback period of 7.3 years. Implement a Formal Electric Motors Program To Gradually Improve Their Average Efficiency, Durability, and Power Factor The facility's current motor policy is designed to gradually increase average efficiency and reliability of electric motors in service in a cost-effective manner while reducing annual operating and maintenance costs. It was recommended that this motor repair/replacement policy be continued. Recommendations were offered to improve and supplement the current policy. Shift the River Pumping Operation To "Off-Peak" Times with a Time-Of-Use Rate Offered By the Company's Electric Utility This measure recommends the company adopt a new "time-of-use" electrical rate structure for the river pumping station and that the pumping operations be shifted to off-peak electrical time periods. Cost savings for this effort are estimated as $4,740/yr with an immediate payback. Additional General Recommendations for Energy-Related Cost Savings These suggestions include improvements to the use of compressed air through an upgrade program for hand-held blow-guns and conversion of compressed-airpowered vacuum pumps to electric-powered equivalents. Advice on improving the lighting system by adopting energy efficient fluorescent lamps and electronic ballasts was provided. Recommendations concerning infrared heating of production areas were provided, as were suggestions for repairing or replacing defective steam traps. Finally, a note on the application of variable speed drives on the boiler forced-draft and induced-draft fans was presented. Extension of the Energy Survey Company personnel asked the Industrial Energy Center to investigate waste minimization possibilities and determine if alternative disposal solutions exist for the dried sludge produced as a by-product of the plant's processes. The first step to completing this assignment was to study the manufacturing process flow. Having completed this initial task during the energy survey, it was proposed that an extensive investigation be performed by Industrial Energy Center researchers. Research Project Effluent from the various processes within the plant are channeled outside the plant for treatment. Following chemical treatment of the Printing and Thermasol waste in a dissolved air flotation (DAF) unit, all waste streams are consolidated and biologically treated in an aeration lagoon. The waste is digested to a thick sludge before continuing to a belt press. The sludge is then dried in a gas-fired rotary kiln dryer to a moisture content of less than 10 per cent. The dried product is then sent to conventional landfill at a disposal cost of $45 per ton. The facility currently produces approximately 30 tons per week of the dried sludge. The total annual cost of landfilling the by-product approaches $75,000 per year. Additional operating costs (electricity, chemicals, labor, etc.) associated with the waste treatment process total approximately $775,000 per year. Due to the high cost of disposal, as well as increasingly strict environmental regulations, it is hoped that some
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alternative use for the dried sludge product can be found. The primary goal of this project is to minimize the disposal costs associated with the effluent sludge produced by the printing and dying processes at the facility. A secondary goal of the project is to improve the overall environmental impact of this facility. These goals will be accomplished in two steps: problem definition and solution methodology. Problem Definition The nature and source of the waste must be determined before problems with the effluent sludge can be resolved. As a first step, a representative sample of the waste product will be analyzed in detail. One or more unbiased labs will be engaged to perform this analysis. Special attention will be paid to those components which represent an environmental, economic, or regulatory concern. Examples of such problematic components would be any substance which is not suitable for conventional landfill disposal, generates unacceptable emissions when incinerated, etc. Simultaneously, a "waste stream" analysis will be performed at the facility. The path of the effluent streams will be diagrammed from each process source to the aeration basin. The complete waste stream flow diagram, in combination with the process flow diagram which was created for the initial Energy Use Study, will result in an improved understanding of where each constituent originates and the concentrations of various compounds along the stream. This information is vital for the next step, which is concerned with abatement measures. The initial step in identifying abatement measures is to perform a "mass balance" on each process that contributes to the waste stream. Mass flow rates will generally be measured or estimated from process data. The components entering each process will be based largely on up to date Material Safety Data Sheets (MSDS). Chemical analyses of samples taken from various locations in the waste stream will provide information on compounds and elements in the waste stream leaving each process. The release of gaseous materials must also be accounted for in the mass balance, although the control of air pollutants is expected to be outside the scope of this project. Having satisfactorily completed a mass balance on the entire stream, the sources of the various solid waste components will be available. Possible Solutions Once the sources of the problematic components of the effluent stream have been identified, it may be possible to segregate these materials from the nonproblematic wastes. If the problematic components are produced by only a few processes, it may be possible to alter the stream flow route to concentrate these wastes in a separate, much smaller stream. Once concentrated, some form of separation, such as membrane filtration, may be applicable to remove the problematic components from the stream. The problematic and normal wastes can then be dealt with separately. An important concept is to eliminate the problematic materials at their sources. More information is needed to assess the feasibility of this approach. Hopefully, some problematic materials can be eliminated by using alternative materials in washing or dyeing processes. If the majority of the problematic components are coming from a single process, it may be appropriate to simply eliminate the process. It is expected that some form of Hazmat-Cost-Index will be developed to relate the disposal cost of problematic waste materials to specific manufacturing processes. When a problematic-waste-producing process occurs, the direct cost of waste disposal could be reflected in final product pricing. Disposal of an effluent stream with a reduced concentration of problematic materials would be less costly. The sludge may possibly be disposed of in landfills or by incineration. The reuse of these waste materials will also be evaluated. For example, the facility currently sells coal ash to a local cinder block manufacturer. A similar market may be found for other wastes under consideration.
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Chapter 33 Energy Conservation Opportunities in Eastern Europe J.W. Zellhoeffer Today, Eastern Europe and the member countries of the NIS are facing energy shortages and cost increases of a scale never experienced in America. Even during the energy crisis of the 70's, when oil prices tripled over a two year period, our economy was not exposed to the problems now facing this region of the world. This paper covers the challenges and opportunities facing those individuals and companies involved in energy efficiency and other technologies that benefit the environment. Unfortunately, the social and economic stress caused by the five fold average increases in energy costs since 1990 in most Eastern European countries has not been offset by improved living standards, the increased availability of quality goods, or even the ability of citizens to travel freely. In reality, food and raw material costs have gone up so dramatically that most individuals are worse off today than they were six years ago. Compounding this situation is the fact that most school age children have little ambition to continue with their education as a result of the general collapse of most of the more prestigious large industrial and commercial enterprises. Communism and capitalism - The economic dynamos that powered the post war era. The space race, the arms race, the race to develop third world countries, and even the 100 yard dash all had a sense of urgency when it was us against them. Then, seemingly overnight, the game changed. Economic cooperation, the peace dividend, and new markets based on open and freely negotiated agreements was the new order. To some this looked like a great opportunity, including the author. A once-in-a-lifetime economic smorgasbord: Or so it appeared. It takes some time to understand how the former communist system used low energy costs to totally control a country's economy. Many industries were built on non existent business foundations. Only the use of very low cost energy allowed these companies to compete marginally in a few international markets. Western governments knew that the continued mis-application of limited natural resources would eventually cause the downfall of the system and, whenever possible, kept up the competitive pressure to force the production of more and more products. That a collapse would occur was inevitable, however, it was supposed to happen gradually, over a period of time. This would allow global markets to adjust You don't just pull the plug on a economic juggernaut second only to that of the United States. Yet, between the worker revolts and reforms in Poland, the military troubles in Afghanistan and the escalation of the technology race due to the SDI, the system fell apart and did so very quickly. For years those living in the East were envious of the obvious consumption of those in the West. MTV and Hollywood, when combined with satellite broadcasting, gave a picture of Western culture which could at best be misleading and create any number of misconceptions. As was observed when Germany unified, few individuals in Eastern Europe understood or realized that a free market economy requires hard work, efficiency factories, and a great deal of effort to keep it running. On the other hand, the general public here in America knew very little of how well educated, under utilized and under producing most Eastern workers were. Today, while improved, there is still a lot we need to know about each others cultures. Our future business relations will depend on our ability to find and implement viable projects given these new realities.
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Efficiency improvements are made possible by technology advancements, engineers that can match needs and solutions, and skilled technicians that can implement and maintain the systems. All this take place under an umbrella of financial realities. Here in America, we have been making steady improvements in our use of energy as the cost of various forms of this resource have increased. Supporting these advancements have been a long history of payments by individuals and companies which could be used to calculate savings opportunities. At the same time, the energy portion of a product or service could be determined and prices adjusted as appropriate to reflect savings. Due to the very low energy costs in both industry and the private sector in the East, accurate records of energy usage and the impact of energy content in a companies products are not available. Even in private apartments, heating systems were not regulated with any type of thermostat and actual conditions in individual units are not known. Today, residential customers utilizing public heating systems are for the first time being ask to pay for their energy use via a choice of either: A- Installing a meter, at their expense, and paying for the actual energy used. B- Paying a fiat fee per square meter of space heated. Commercial accounts are facing similar conditions with demand meters being installed by the utility providers and bills reflecting both energy and demand. In many regions, the demand billing is based on a clients projected maximum, not the actual use. Severe penalties (up to 30 times the base charge) are imposed on accounts that exceed their stated requirements. Based on the size of an account, either a single demand or a time-of-use demand is recorded. Given these practices, industrial and commercial users typically over state their maximum demand expectations by 20 to 30 percent. With few exceptions energy use is unregulated with peak demands occurring at random. The use of supervisory or demand limiting controls are not common. Industrial output fell throughout Eastern Europe in 1989 and 1990 by fifteen to thirty five percent. Energy consumption dropped off in similar percentages. In 1992, use began to increase at a rate of three to six percent per year. It will be sometime between 1998 and 2002 that usage returns to the historic peak levels. As we have seen in several US markets where demand has dropped off, utility companies are not a the forefront of demand side efficiency programs. As utilities are being broken up and privatize in Eastern Europe, similar management philosophizer in place. For those US firms serving the producers and distributors of energy products the opportunities are better. In the case of electricity production, the power stations are using coal, oil, and gas (with most Countries having at least one nuclear facility). Most power plants are over twenty years old and have little environmental friendly technologies. At present there is a lot of International financial attention being given these facilities. However, improvements in the supply side, while absolutely necessary, will not help most of the firms that are trying to control their costs and retain markets. These are the clients of DSM service providers both in Western Europe and here in America. Under pressure from the World Bank, and Western European governments, energy prices must be deregulated and allowed to float to their market levels by 1997. Without the availability of massive capital reserves, and under tremendous competition for new capital, utility companies will be unable to implement many efficiency improvement and cost controlling technologies by this date. The overwhelming effect of this condition will be the continuation of rapidly increasing energy costs to the users. Over the next five years, this will cause the true cost of energy to increases (over that of the general inflation rate) at a rate of over 50% per year. Businesses that use any amount of energy in their operations, including public facilities such a hospitals and schools, will be financially hard hit and in some cases they will have to be closed. The underlying strategy (author's opinion) by the Western financial institutions is to protect their investments in established markets by limiting new capital infusions into Eastern Europe. This makes it difficult for energy services companies to find clients with adequate investment funds to implement major projects. However, a few projects are being financed and implemented as evidenced by the success of the German Coal Fund being administered by a prominent Hungarian bank. By providing private and public agencies loans for energy retrofit projects, they've clearly demonstrated that there is a real and current market for cost reduction technologies. There are many Western European and some American companies participating in the privatization of both small and large businesses in Poland, Hungary, and the Check Republic. Other Eastern European countries are experiencing far less investment. As companies are acquired, or when joint-ventures are established with a significant portion of the ownership being from the West, the first objective is to capture market share, followed by acquiring new technologies and taking advantage of low labor costs. Improvements to facilities are limited to cosmetic renovations and installing critical equipment
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usually targeted at improving quality or output. Energy related improvements are low priority for several reasons: A- However high gas and electricity prices have escalated since 1991, they are still only one third of the cost of energy in France, Germany, any other modern Western countries. B- Pent-up consumer demand has created immediate markets for everything from cars and VCR's to dog food and candy bars. Satisfying these demands with goods produced in the country of use is very advantageous to brand name manufacturers due to the lower costs of labor, energy, and distribution. Import taxes, value added taxes, and income tax incentives given to foreign investors are also promoting local production. C- Obsolete and energy intensive equipment, when put to use making ''brand name'' or high demand products, adds only several percentage points to the variable cost of a product. The supply of skilled laborers at very low wages ($650 per month compared with $2,800 in existing Western European or American factories) more than offsets the low energy efficiencies. So who is going to be interested in energy efficiency projects now? Due to the large number of out of work or under employed persons on the East side, real growth in wages will be slow. Utility rates can only grow so fast and will be well below those of the West for at least five years. This leaves an excellent window of opportunity for those that can identify profitable markets, modernize their equipment to meet Western efficiency levels, and obtain the investment capital to support these activities. These companies will be associated with food processing textiles, and distributing. Municipalities will also be hard pressed to implement energy effective technologies. Having been given the responsibility for providing for most of the health care, primary education, and government services, local government agencies are actively seeking ways of reducing their operating costs. As energy costs have gone from under 1% of a typical budget in 1987 to over 8% today, municipalities are faced with an uncertain future. As a point of reference, keep in mind that many of the buildings in the East, while full of charm, are older than our country and they are also energy hogs. Windows don't close. Heating systems are unregulated. Lighting is obsolete and in many cases isn't working at all. Water leaks are the norm. Information is rarely available on historical usage's, actual conditions, or performance standards. In the worst cases, cities are facing roaming blackouts, water shortages, and sub-standard heating. And this is better than what one finds in the rural communities. The difficulty a US supplier will find in working with local government agencies is founded on the uncertainty of a clients revenues in the face of recent decreasing economic activities and tax based revenues. With the exception of a few very low cost/high benefit projects, such a street lighting and heating control systems, long term financial contracts are risky. This opens up a market for investors that are interested in high revenues from proven technology based projects. These "Third Party" financing opportunities have been recognized as viable alternatives by a growing number of governments (Hungary allows third party financing enterprises to recover all the value added tax on equipment used in energy retrofit projects). Returns on capital investment of fifty percent are possible on many retrofit projects when reasonable energy cost increases over the next five years are factored in. During the 1970's, a period when US industries undertook many of the measures now being considered in Eastern Europe, savings in the range of 5-15 percent were easy and usually only required simple controls and an energy awareness policy. When a comprehensive program was implemented that involve the judicious use of energy to accomplish prescribed objectives, saving of 30-60 percent were achieved. This is consistent with the results of over 120 projects implemented in Hungary with financing provided by the German Coal Fund. The financial rate of return of 48 of 123 projects was over 40 percent. A description a several of these energy retrofits are noted in appendix A. There are in fact so many opportunities for energy efficiency improvements and environmental remidiations in the former communist countries that it is difficult to know where to focus. For example, Lithuania has no domestic energy sources requiting over 70% of its total import expenditures to be for oil, gas, and electricity. In Romania, over 35% of the total use of energy is devoted to one purpose, the irrigation of crops. In Bulgaria, heavy industries (aluminum, fertilizer, and cement) have been devastated by rising energy prices and many have been closed. In all of these countries, obsolete equipment and poor maintenance practices are typical creating many opportunities for Western technologies and practices. The tough part is finding a company that knows enough about its products and markets that it can put together a business plan that justifies the financial expenditures needed to improve it situation. Keep in mind that most of the traditional markets have gone away.
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How To Find Clients in Eastern Europe The US Department of Commerce publishes two monthly bulletins which provide specific information on companies and individuals interested in working with US firms. The EASTERN EUROPE BUSINESS BULLETIN and Eastern Europe Looks for Partners are published by the Eastern Europe Business Information Center (EEBIC) and may be ordered by calling (202) 482-2645. In addition, a number of "American Business Centers". ABCs have been established. These centers are funded by USAID and exist to help Americans expand their exports. A list of these centers are available from the EEBIC. Due to the difficulties associated with languages and transportation, it is best to select one country to work in and then use established relations between companies to expand your contacts. Ethnic links to a country, no matter how many generations they go back, will help you get off on the right foot. Should a Company Have a Local Partner? Any American business will find it necessary to have a local contact in each country they are considering doing business. Someone that has a car is best, however, this is going to a rare find. Without a local partner, or employee, it will be very difficult to establish, or maintain, a viable business relation. How Does One Find a Good Partner? Whatever your company's area of expertise, you will need someone that understands your products, knows the local business methods and can handle the translating requirements. Depending on the degree of technical skills that are required to promote and install your products, you may need to have several local contacts. The ABC's can provide the name and contact numbers for the Business Universities in each country. By providing a general outline of your company, and what type of person you need, a number of resumes should be available for review. 1 prefer to work with individuals vs. companies as they are less biased for doing business in a particular style. Before doing business in any Eastern European country a visit is essential. This will give your prospective partner a chance to demonstrate their skills and for you to see first hand what the underlying economic conditions are. If prospects look promising you may want to have your contact visit your US facilities to better understand your expectations and business philosophies. You should get to know the officer at the commercial desk of the American embassy as it will be necessary to get an entry visa for your partner. What About the Language and Communications Difficulties? Most countries that offer reasonable business opportunities now have good telecommunications. This makes the FAX machine the most important business tool. EMail is rapidly gaining favor as access to the Worldwide Web expands. However, the electrical systems and video formats are not compatible to those in the US. If your company uses either computer or video based promotion and sales materials be careful. I recommend an IBM format PC with universal voltage input on the hardware, a fax-modem card with a software control package for making calls after business hours (due to an 8 to 10 hour time zone difference), and a system that allows the home office in the US to originate the call. It is always faster and cheaper to call from the States vs. the other way around. Video tapes are very informative and most European VCR players allow NTSC format (USA) tapes to be played. If you intend to use any European format tapes, I recommend the AIWA model HV-MX1 which can be ordered from most major retail electric appliance stores. Are There Tax Advantages and Incentives for American Companies? Every country offers incentive to attract foreign capital and investment. However, laws are continuously changing and by the time a business gets into operation conditions will not be the same as they are today. I recommend doing several small, promotional and educational oriented, projects over the first several years of operation. This will give the country you have selected to work in some time to stabilize their foreign business policies. Import tariffs and value added taxes on energy conservation hardware are the two variables that have the greatest impact on projects. As a rule-of-thumb, import taxes of 10% and a VAT of 20% can be expected. What About Exchange Rates and Currency Conversion? As everyone likes dollars, and you will be given many opportunities to exchange money at numerous sidewalk centers - Don't. Stay with the banks and airport exchange centers. You should expect official exchange rates to devalue the local currency against the dollar at about 15% per year. For this reason, contracts for goods and services should be in dollars. When "shared savings" projects are being evaluated, try using the cost of energy in a Western Country as the basis for the financial calculations.
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Most Eastern banks allow deposits to be held in dollars and wire transfers are common. Banking relations should be established early in a country to avoid the need to carry large sums of money. The more to the East you do business, the more important this is. You will not be able to exchange currencies outside the country so only convert what you need for food and hotel expenses as you go. What Technologies Offer the Best Opportunities? Transportation related fuels and engine efficiency improvements are a great market. With gasoline at $3 to $4 per gallon, small cars and trucks are common, however, many are old and inefficient. Alternative fuels are very attractive. Ethanol and natural gas are the most promising. Monitoring and control systems for industrial and commercial processes are becoming popular. As very little information is available on the actual performance and the energy consumption of specific processes, demand control and time-of-use management methods could save companies up to 15% of their costs. Hospitals would be included in this category. Biomass conversion technologies have been identified as the best opportunity for electricity productions over the next ten years. In many cities, garbage is becoming a big concern as land fills are now filling up and new sites must be investigated for their impact on the environment. Agricultural waste is also a big problem. Industrial modernization with emphasis on heating systems, refrigeration technologies, and conversion efficiencies. The food processing industry is at the top of the list with many needs and opportunities. Control and management of district heating systems offer long term investment opportunities. Improvements to buildings, including insulation and glazing repairs, and the installation of zone temperature controllers are essential. Individuals and small businesses are now installing stand alone heating systems. Energy distribution is limited to many rural and some larger cities. Natural gas, propane, and fuel oils must often be transported by track and in many cases over international borders. Private pipelines and co-generation systems are getting a lot of attention and have been targeted by the EBRD, IBRD, and IFC for investments. A partial list of financing sources, with contacts, is provided in appendix B. Demand side management (DSM) projects involving public facilities and moderate sized businesses and, now that several systems have been installed, are gaining acceptance. These should target heating improvements, lighting retrofits, and refrigeration. The improved use of facilities from a layout and task analysis approach could also save a lot of energy. Throughout the East, the use of facilities and personnel are often based on filling the space available. Consolidation and re-structuring of operations could reduce the amount of energy used by 25% in many government operations. What Countries Offer the Best Opportunities? According to the Commerce Department, Poland and Hungary have the best general economies followed by the Czech Republic and the Baltic Countries of Latvia, Estonia, and Lithuania. Slovakia has recently been making good progress and has been awarded $150 million for the construction of a new power station. This past year, Romania has pulled ahead of Bulgaria in their attractiveness to Western companies. The former parts of Yugoslavia are all in an economic mess. Albania and Moldovia are very small but have unique opportunities in agriculture and energy development. All of these countries have major industries stuck in the most unlikely places as a result of the communist practice of never putting anything of major importance in any one country. As an example, it would be common for food grown in one country to be processes in another country with packaging materials from another country and equipment from yet another country. The end product went back to the USSR for distribution to everywhere. For this reason, a major part of the economic challenge facing an American company in the implementation of energy and environmental technologies is assisting in the rebuilding of a clients markets. Unfortunately, many firms have permanently lost their historic markets and it will take years to develop new products and distribution networks. Companies that depended on raw materials from other countries now have to find new suppliers. While this slow period is an excellent time to implement technology based improvements, the required investment capital is not available to most businesses. Interest rates to businesses are very high, typically at the inflation rate plus 15%. As Poland and Hungary have better relationships with Western markets, I suggest concentrating on one of these two countries. They also have good reputations for quality products and have skilled technicians.
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Are There Any Specific Locations That Offer Strategic Advantages To an Energy Products Or Services Company? In 1992 the United Nations designated several cities in Eastern Europe and the former USSR as Energy Efficiency Demonstration Zones (EE-2000). The main objective of the project is to enhance trade and cooperation in energy efficient environmentally sound technologies and management practices between participating countries, in particular between formerly centrally planned economies and market economies. An up-to-date list of these locations is available through the Energy Efficiency 2000 Project Office, Palais des nations, CH-1211 Geneva 10 or by FAX at 41-22-917-0038. Transportation to a project site should also be given more attention that it would be in the West. Airlines only serve the capital city requiring either a train, bus, or private car to reach a project site. Hotels are not available in all cities, especially those with industrial oriented opportunities At present there is not a permanent exhibit center for American technologies established in any Eastern country. Trade shows relating to energy and other technologies are held on a regular basis in Poland, Hungary, and Bulgaria and space can be obtained through the EEBIC. Companies interested in the formation of, and participation in, a permanent technology center should contact the Commerce Department or the author. What Technologies Are Available in the East for Markets in America? There was a period of time in the mid 1980's when the East made heavy investments in Western technologies. Most of the equipment purchased was from German, Sweden, and Switzerland. This was state-of-the-art machinery and the idea was that this would put the USSR and the East Block in a competitive position. A clever company could put this equipment to use manufacturing products for Asian or South American markets - if they knew what to make. Most companies have found, with the exception of a few craft and specialty products, that it is too expensive to ship finished goods to America. However. there are good prospects for electrical components, metal products, solar and wind power system components, wire, and hardware items. Chemicals for insulating materials are also available. Many of these goods are based on product of, or licensed from, well known Western European companies. Appendix A Selected energy projects completed with financing from the German Coal Fund. Public Street Lighting - Installation of HPS lamps, Cities of Kumagota, Olcsva, Vasarosnarneny, Szentez, Szegvar Hospital Boiler Modernization and Heating Controls -three projects at various locations Installation of an Energy Management System in a Hospital Modernization of a Central Heating System, City of Mot and the City of Nyiregyhazi Lighting Modernization, Private Company doing assembly operations Installation of a gas co-generation system for a private company Conversion of a factory from Central Heating to Stand Alone Heating using gas Installation of a Energy Measuring and Control computer for a private company Modernization of pumps and controls for a sewer processing facility Installation of a wood burning heating system for a private manufacturing company Central heating and control system for the City of Salgotarjan Heating system modernization and control system for public schools - three locations Insulation and window replacement for a hospital Water heating and control system for a private company Heat pump based HVAC system for a private company
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Appendix B Sources of financing for energy related projects The European Bank for Reconstruction and Development (EBRD). One Exchange Square, London EC2A 2EH FAX: 44-71/338-6100 International Finance Corporation (IFC), 1850 I Street, NW, Room 1-9151, Washington, DC 20433 FAX: 202- 676-9593. Overseas Private Investment Corporation (OPIC) 1100 New York Avenue, NW Washington, DC 20527 FAX: 202-408-9866 Environmental Enterprises Assistance Fund (EEAF) 1611 N. Kent Street, Suite 202 Arlington, VA 22209 FAX: 703-522-6450 International Bank for Reconstruction and Development (IBRD) World Bank Washington, DC 20433 FAX: 202-477-3285 The Global Environment Facility (GEF) This is part of the World Bank at the same address as above. FAX 202-522-3256 The International Fund for Renewable Energy and Energy Efficiency (IFREE) 750 First Street, NE, Suite 930 Washington, DC 20002 FAX 202-371-5115 Renewable Energy Pre-Investment Support Fund (REPS) Winrock International 1611 N. Kent Street, Suite 600 Arlington, VA 22209-2134 FAX:703-243-1175 Export-Import Bank of the United States (EXIM) 811 Vermont Avenue, NW Washington, DC 20571 FAX: 202-566-7524 Acknowledgements - The author would like to thank the following individuals for their assistance in the preparation of this paper. Dr. Eva Weores, Managing Director Magyar Hitel Bank RT. Fulop Laszlo Pollack Mihaly Polytechnic Janos Szasz, Training Manager The Energy Center Kovacs Laszlo Arpad Cooperative, Szentez Peter Boda. Technical Director Hungarian Telecommunications Company Dr. Zoltan Toth, Deputy Medical Director Baranya County Hospital Dragon Tibor Batsanyi Janos Gimnazium Jozsef Tuhegyi, Deputy Mayor City of Szeged
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Chapter 34 Writing a Performance Based Specification for Asd Systems D.J. Van Son Abstract The ubiquitous adjustable speed motor drives are changing so rapidly that the specifier finds it daunting to keep up. In laying down the specs for a particular project, it is too easy to use "canned" specifications offered up by vendors. Using these, however, is doing yourself a disservice since none are genetic and most are intended to exclude all others on a detail level. In reality, the detail is irrelevant if the system can do what you want it to do, sometimes even more. This paper is intended to help you develop your own performance based specification that does not limit options and may attract solutions you did not know were possible. Focus On Needs With the vast spread of adjustable speed drives being installed to enhance motor driven processes, it becomes more important than ever that all parties involved fully understand the intent of the project and the performance expectations. A document that outlines the situation, needs and wants will facilitate the communications and increase the probability of installing solutions rather than problems. Drawing up your own "performance based specification" will serve this purpose much better than a collection of manufacturers hardware based specifications or "industry standard" specs that call for features you don't need. The world of power electronics today is extremely dynamic. New technologies and techniques are being introduced every day. Different vendors use different combinations of hardware, software and interface to achieve the same basic goals of cost effective performance, ease and reliability. To specify only one system limits your options. It is best to define your goals and let the vendors bid their best product solutions. Elements of a Performance Based Specification 1. Product goals 2. Audit 3. Define the situation 4. Performance requirements 5. System requirements 6. Bid requirements
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System Diagram
Project Goals List the overall goals of the project. These are typical, but yours can be different. It would be good to prioritize them into "must have" and "would like to have". Improve process control Increase quality - constancy Increase quantity - throughput Reduce energy use Reduce maintenance - down time Economics - payback period Do an Audit Take measurements of the current installation. Measure actual voltage and variations Measure amp draws Estimate true load versus nameplate Operating hours Inertia, torque Ambient temperature Belt or gear ratios Maintenance and repair costs Operating costs Define the Situation Load type - inertia - Variable torque: fan, pump, blower - Constant torque: conveyor - Constant HP: Winder Duty cycle - 1 shift, 2 shifts, continuous - Cyclical load - Number of starts/time - Velocity/torque profile Ratings - Horsepower - Base speed Environment, motor - Clean, dirty, hazardous, outdoor - Ambient temperature/range - Altitude - Location, accessability - Distance from control Environment, control - Control cabinet - NEMA 1 - Stand alone - NEMA 4, washdown - Ambient temperature/range Mechanical - Coupling, belts - Vibration - Maintenance Electrical - Supply volts and phase - Voltage range - Frequency/range - Supply quality - dips, sags, spikes - Feeder amps available - UL, CSA, IEL, VDE, CE, IEEE519 Performance Requirements
Performance Requirements Speed range Minimum speed/maximum speed Overload capacity and time Response time Starting torque Speed regulation as % of base or set speed Power interruption ride-thru requirements Positioning required Dynamics System Requirements Process follower Local or remote control Command type: 0-10V, 4-20mA, digital On board diagnostics Remote read Harmonics limits Overhauling load - Braking resisters - Line regen Interface option Serial communications Human interface System disturbance response
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Reference signals - Ready - At speed - At stop Bid Requirements Manufacturer, origin Control Type: DC, CSI, VVI, PWM, Vector Ratings of each component Power requirements, range Motor type: ODP, TEFC, TENV, TEBC, XPF Enclosure ratings: NEMA, IEC Frame size: NEMA, IEC Recommended options - Process followers - Feedback and type - Line reactors - Active filters - Software mods Documentation - Specifications - Dimensions, drawings, weights - Manuals, troubleshooting Training/support Recommended spare parts Estimated system efficiency Estimated power factor Conclusion This outline is meant to be a beginning. As manufacturing systems get more sophisticated, the details get more complicated. However, to give yourself the benefit of reviewing all possible solutions to your problem, it is best not to limit your options. New approaches, new devices and new control algorithms are capable of delivering better system performance, efficiency, quality and quantity that add up to maximum productivity and reliability. Not every vendor uses the same techniques. Each will present their suggested equipment based on your needs and their prior experience in similar applications. Make use of their expertise, knowledge and design ability to offer their best solutions to your needs. What you have to do is define those needs as honestly and completely as possible. Then pick the one that works best for you. Acknowledgment I would like to acknowledge Al Giesecke and his prior work in this arena on megawatt, utility sized drives. His important earlier efforts have been indispensable in developing this kilowatt sized specification for plant and specifying engineers.
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Chapter 35 Matching Motors To Asd's T.W. Atkins Adjustable speed drives, in the past, were limited to primarily DC. AC controls (inverters) had been invented years ago, however, they were big and very expensive. With the rapid growth of the electronics industry came the development of good, reliable power electronics components that made adjustable speed AC controls practical and within reach of the average electric motor user. At first, these new inverters put out an artificial sine wave that had six steps. The output of the inverter did change both the frequency and voltage to the motor in the correct proportions. Electric motors will deliver their rated torque whether running at half speed, three quarter speed or full voltage speed. The inverter puts out full voltage at 60 hertz and the motor runs at its rated speed, and at 30 HZ, for example, it delivers half the voltage and the motor urns at half speed. For example, a four pole motor's typical rated speed was about 1725 RPM. Lets assume it's connected to 460 volts. When the control is set at half speed, the inverter puts out half the frequency (30 hertz) to the motor and also, it delivers half the voltage. With an AC motor getting half the rated frequency and half its rated voltage, it runs at half its rated speed. The output from the motor however, stays exactly the same. This means that a 10 HP, 1725 RPM motor with a full load (at 1725 RPM) torque rating of 30 lb-ft of torque at half speed of 825 RPM, the torque available from the motor is still 30 lb-ft. Since torque remains the same, the horsepower level drops to approximately half. The 10 HP, 1725 RPM motor is now capable of delivering 5 HP at 825 RPM, (if the control is rated for constant torque applications such as conveyor duty). If the inverter is being applied to a centrifugal pump or a blower, the horsepower of the load drops by the cube of the speed. A 10 HP blower, when running at full speed will drop to about a quarter of the horsepower needed at full speed if it's run at half speed (30 hertz). Some inverter manufacturers quickly recognized an opportunity to gain competitive advantage by offering inverters rated for constant torque for applications like conveyors and they offered variable torque inverters for pump and blower applications. The variable torque inverters did not have as powerful an output section (of the inverter) as did the constant torque rated units. Therefore, they cost less to build and could be sold for less. They did not deliver as much starting power, and pumps and blowers don't generally need much torque to get them started. Both variable and constant torque rated units delivered the right performance for each of its intended applications. Putting inverters into old fixed speed equipment where adjustable speed promised big savings or optimized speed for an application became practical. Especially on pumps anal blowers that were in every air conditioning or power ventilation application. These applications have to be designed around the highest output needs of an application. Most of these applications only need to put out a fraction of their total rated output. A 10 HP blower running at half speed only needs about 3 HP to run the load since the load drops by the cube of the speed.
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Even using a premium efficiency 10 HP motor with 92% efficiency, if the blower isn't slowed down, the motor will still be loaded to about 10 horsepower. With the use of an inverter, it's simple to lower the blower speed thus dropping the horsepower of the load down to only what's needed at that time. Inverter costs are usually recovered in a fairly short period of time and long after the inverter has paid for itself and the savings in both energy costs and energy go on year-after-year. Early six step inverters caused motor problems. Lack of experience with inverters by many users and even control manufacturers themselves, created much dissatisfaction with inverter applications. Motor manufacturers started getting noisy motor complaints. Motors were growling and sounded like they had noisy bearings. When the motors were sent to the service facilities of the motor manufacturers, the noise had gone away. When reinstalled, the motors were again noisy. Lots of inverters were applied using the old existing motor that was left in place. Many of these once quiet motors appeared to get noisy. The motors, either old or new, many times ran hotter than expected by the user and much hotter than before. There was a combination of motor problems using the old AC motors not designed or rated for inverter service being combined with an electronic control that delivered a bumpy sign wave to the motor. The inverters caused a growling magnetic noise out of the motor that was often thought to be a noisy bearing. Also, since the waveform (artificial sine wave) was bumpy and had typically 6 steps (bumps) per cycle feeding into the motor windings, these bumps added an additional heating component not present or even considered by the motor designers when the motors were designed to be used on generated sinewave power delivered by the utilities. Running the motors slower also meant the fan built into the motor also turned slower causing the motor to run with less ventilation. The fan was designed to cool the motor that would be run only at full speed (60 HZ power). A third component in addition to the bumps and reduced fan speed that added both noise and heat to the motor was harmonics. These harmonics came at the motor, hidden in the artificial waveform in multiples of the frequency the inverter delivers to the motor. The harmonics try to excite the motor windings at a speed different from the base speed the inverter is delivering to the motor. Inside the motor, as the rotor cuts through the lines of magnetic flux that allow the motor to develop its torque, the harmonics added additional but weaker lines of flux at multiples of the set frequency. These extra lines of flux added to the heat developed in the motor and at certain speeds, these extra frequency harmonics reacted with the motors own natural frequencies causing even louder noise to be generated, and sometimes even vibration was introduced into the motor driven system. Even with line reactors (which are something like transformers) built into the inverters, along with big capacitors to filter and help smooth out the bumps of the waveform, motors still were noisier than on pure AC power and harmonics still existed. If a load is real stiff and requires lots of starting torque, inverters limit the amount of current that can be delivered to the motor. Only by over sizing the inverter to get the amps high enough to let the motor break the load loose and accelerate the load up to speed could be done to satisfy the adding of an adjustable speed control to the application. This is a pretty expensive solution to get starting torque. As new power electronics were developed and micro processors became available and fairly inexpensive, completely new inverters have been developed. PWM inverters using internal gate bi-polar transistors that can be switched on and off very fast allowed inverter designers to design a pulse width modulated (PWM) output signal that more closely looked like a sine wave. The output sine wave carries in it lots of tiny spikes rather than the smooth sine wave of generated power. Each time the IGBT transistor fires, it puts out a sharp, square edged pulse of power. These pulses are orchestrated to make the artificial sine wave with the rate of firing called the carrier frequency. The first IGBT inverters had a carrier frequency of around 8 kilohertz or 8 thousand ON/OFF cycles per second. Motor noise quieted down, but didn't go away completely and harmonics are still there, but because of the availability of micro processors, circuits have been added that allow the operator to adjust the carrier frequency to skip over noisy harmonics that sound off loudly in the motor. To help eliminate inverter noise out of the motor, most recent inverters have taken advantage of even faster switching speeds of the latest transistors. Now, if noise is a factor in the application, the carrier frequency (PWM) in the inverter can be adjusted up to as high as 20 kilohertz. The human ear can't typically hear above about 14 kilohertz, so the noise is generally not audible. Unfortunately, for the insulation system in the motor, the higher carrier frequencies also bring with them very rapid
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voltage spikes, sometimes measuring over 2000 volts. Because of the very fast ON/OFF switching of the transistors, the rate of rise time of each pulse is so fast that this voltage spike hits the insulation of the motor like a jack hammer. It keeps chipping away at the weakest spots in the insulation until it blows through. This is a continuous process while the motor is running and is similar to the hi-pot test at 2000 volts that motor manufacturers and motor shops do only a couple of times to determine if the motor insulation is acceptable. With an inverter, this is a continuous process. In older (existing) applications with older motors, these spikes can deal a lethal blow to the motor's insulation. Also, in existing and standard motors, the rotor bar designs are not as suitable for use with inverters as the special inverter duty designs of motors that in addition to different rotor bar designs, use high temperature insulation systems and extra heavy phase-to-phase insulation along with additional active material (iron, copper and aluminum) that help the motor run cooler and more efficiently. Also, some special inverter duty motors are designed as non-ventilated motors without cooling fans (TENV). These are in larger frames than normal and have sufficient external surface area to dissipate any heat from the motor when it's applied with an inverter without overheating. Inverter motors in standard frame sizes are also available. These have constant velocity blowers that provide separate cooling. These are connected to separate power circuit. These constant velocity fans deliver adequate cooling air regardless of motor speed. In the inverters, even the high carrier frequency settings won't help the older motors run quietly if they aren't in adequate condition to be used with PWM inverters. Magnetic noise at the base frequency (60 hertz or less, normally) that follows the speed of the motor up and down, may be unacceptable. Noise can come from loose laminations or even fabricated copper or brass rotor bars. Sometimes an extra dip and bake to the stator (and fabricated rotor) can help quiet the motor, but it's strictly a gamble that it may help. The windings may blow after a short period of time or the old motor may just overheat and quit, regardless of what's done to it. It's best to install a new motor that's matched to the inverter to get the best service life out of the drive. The time and trouble to save a few dollars can be eaten up fast when the old motor just won't satisfy the application for one reason or another. Inverter technology has taken another giant step forward in the last few years. By adding some additional electronics to the inverter and installing an encoder or resolver to an inverter duty motor, a vector drive is made. A vector drive is still basically an inverter and the additional components keep the control in constant touch with the motor via the encoder (resolver) telling the vector control exactly what position the rotor is so the vector can control the phase angle of power to the motor. The vector drive effectively sees the stator voltage and current separate from the rotor. On light loads, the vector drops off power to the motor so it will deliver the right amount of torque to the load to keep the load turning at the right speed (it's set to). If the load increases, the control increases power to the motor to keep the set speed, even if it's an overload. Vector drives can deliver torque right out to the pullout (breakdown) torque point of the motor power curve, and can do this right down to the point where the motor shaft is not turning. They can deliver full load torque (or greater) at zero (0) RPM to hold a load at full torque without rotating at all. They can also start very stiff loads and accelerate the load up to speed easily. Vector drives can also position loads or seek a ''home'' point, like a servo motor can, even if it's a 300 HP motor. Where heavy starting loads or precision speed or torque is needed, vector drives deliver the performance of a DC motor and don't have the brushes or commutator to maintain. You are considering using the old AC motors and you can mount an encoder or resolver to the motor's shaft, consider all we have covered in the inverter section of this article. It still all applies and if you are still willing to take the risk, be sure you use a stiff coupling as recommended by a vector drive motor manufacturer. Vector controls must have an exact position signal from the motor without any fluctuation from a less than stiff coupling. Another concern motor manufacturers have is voltage ring up. When inverters are installed close to the motor, there is little concern about voltage increase that occurs when there is some distance between the inverter and the motor. Reports of voltage ring up occurring with as little as 25 or 30 feet between the motor and control with increase in voltage, increases of several hundred additional volts have been reported. The further away the motor is from the inverter, the higher the voltage. This wave of voltage is like the waves of water coming onto shore. The motor is like the shore-line and the waves of power hit the motor windings in a big surge. The first couple of turns in the winding may overheat and fail. The voltage surge is slowly suppressed in the rest of the windings after the initial surge through the motor leads.
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Evidence of this kind of motor failure are burned wires from the leads of the motor into the windings up to several turns. The rest of each coil group looks normal as it originally came. This pattern is found in each phase group of the windings. Some motor manufacturers now void warranty on standard motors installed on PWM inverters since no protection was provided to prevent this from happening. We will not attempt to explain why this happens and just want to warn inverter installers to beware. There is a device to help protect motors form voltage ring up. Line reactors (inductors) of the correct size, installed between the motor and inverter can dampen this ring up before it hits the windings of the motor. It's recommended to use line reactors any time there is any distance between motor and inverter. It is also recommended to install line reactors between the inverter and power source to isolate noise that may be present on the line that could effect inverter performance accuracy, or that may feed noise from the inverter back to the line and could possibly effect computers and other electronic equipment in the facilities. Inverter internal controls have improved greatly over the years. Now, programming can be done without the book. Controls can lead the user through setup and programming and make it easy to learn and use the inverter, even without the book. Preset speeds can be setup if the application needs specific different speeds or commands to the motor for different applications or needs. Inverters now are truly friendly to the operator and make the users job much easier than ever before, this includes mounting keypads remotely, away from the control or motor in a location needed for the operator of the machine to have easy access to. To sum it up, AC adjustable speed drives have come along way and promise to go further as controls become smaller and in the near future, actually become part of the motor packaging and mount right on the motor, ready to operate, right out of the box.
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Chapter 36 A Proposed Framework for a Comprehensive Energy Management Program for Institutions J. Jones, P. Rojeski, H. Singh Abstract Since the energy crisis of the 1970's much interest and effort has been given to energy conservation in buildings. As a result of the oil embargo and the increase in operating costs, many public and private organizations recognized the desirable benefit/cost of implementing energy conservation programs. Large institutions such as universities also developed and implemented conservation strategies. Unfortunately, most of these programs are shortsighted and do not recognize the complexities involved in a comprehensive energy management program. This is particularly true in institutions where the cooperation of the building occupants and maintenance personnel as well as the administration is an important aspect of the conservation program. Therefore, to achieve maximum energy cost savings, all aspects of the conservation program must be addressed. This would include: evaluation of alternative retrofit strategies, evaluation and commissioning of new construction, maximize operation efficiency of building systems, maintenance programs, incentive programs for occupants and employees, establishing lines of communication and support from the administration. As a result of the recognition of the importance of these issues, certain desirable characteristics and relationships can be established. This paper develops these characteristics and relationships through a proposed framework for a comprehensive energy management program for institutions and/or multi-building complexes. Introduction A good energy conservation program concentrates on eliminating waste and inefficiency while maintaining comfort. To meet this objective typically programs are developed that take a systems approach to energy conservation. For example, the responsibility of reducing energy costs are typically given to a facilities manager who is given a small budget to develop and implement strategies for reducing consumption of the lighting system, heating, ventilating, and air-conditioning systems, and heating or cooling plant. There are several reasons why this approach fails to achieve expectations for energy cost savings. For example, often these strategies are implemented sequentially with little or no consideration for the interactions between systems or for the interactions between the system and building occupants. Maximum energy conservation requires a thorough understanding of the building and its systems as well as the impact of the occupants. Also, a systems approach often lacks support mechanisms to evaluate and implement conservation strategies. Typically, facility managers are given a relatively small budget and are asked to upgrade and/or retrofit building systems that are believed to be inefficient. This approach lacks a more holistic viewpoint where the cost/benefit of alternative strategies can be evaluated and the project with shortest payback period or least life-cycle-cost can be implemented. Finally, a systems approach to energy conservation often lacks incentives and performance accountability. Building occupants and maintenance personnel can significantly influence energy consumption. A holistic energy conservation program must recognize this by including incentive and performance accountability programs that promote and reward energy consciousness. These three features: 1) Understanding Buildings, 2) Support, and 3) Incentives and Performance Accountability, are important when developing a framework for a comprehensive energy management program. Understanding Buildings For large building complexes such as universities, two levels of energy conservation are generally identifiable; these include the building and central plant. When implementing an energy conservation program at the building level a thorough understanding of the operation of building systems and occupancy patterns is essential. Buildings vary in their physical and functional characteristics, and for large institutions it would be unrealistic to expect an individual to gain a thorough understanding of a large number of buildings. Therefore it is suggested that a zone energy management approach be
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considered. With this, an energy manager, with sufficient technical background to understand and analyze building systems, would be assigned responsibility for improving energy efficiency for a zone of buildings. For very large buildings a zone might include a single building. For smaller facilities more than one building would be included. Experience at the University of Michigan showed that a zone energy management approach more than paid for the hiring of an energy manager within the first year (Brandle 1988). As the zone energy manager gets a building 'under control' and approaches maximum savings, the zone can be expanded. While the manager's responsibilities would include maintaining the performance of buildings that have been brought up to an efficient operating level, the zone would be expanded to another building that had large savings potential. Ideally zones would be selected based on factors such as proximity, and physical and functional characteristics. Another aspect of the zone energy management approach is that it encourages familiarity between the energy manager and the building occupants. This encourages dialogues that are useful in improving energy efficiency. For example, when the energy manager communicates with the building occupants the scheduling of lighting, HVAC and plant systems can be adjusted to minimize waste while meeting the needs of the people in the building. Spaces with special considerations can be identified. Limits for nighttime setback and other control strategies can be best established with good communication. Understanding not only requires familiarity with building systems and occupants, but an understanding for daily and seasonal variations in energy demand and consumption. Having energy consumption records available for analysis and trending can help increase the energy managers understanding for the patterns of consumption as well as help identify periods when the greatest energy savings can be achieved. Figure 1 combines electrical and gas consumption with variations in weather and building use for a large campus building. Graphs such as this can be used to identify excessively high energy consumption.
Figure 1. Comparison of Electrical and Gas Consumption with Weather Data and Occupancy Schedules. Source:Brandle 1988.
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Support Sullivan and Fuller state that "any successful energy management program requires the dedication of the administration and staff, from the president and board of trustees down through all administrators and departments." This should mean that the program and specifically the energy managers, have support for reducing energy consumption. This support falls mainly into three areas, financial, maintenance, and technical. Financial Support Financial support must include providing the resources to implement the energy conservation measures identified as most cost effective. While this may not be a problem for small projects that require relatively little investment, for large projects the cost of the retrofit can be substantial. For this, funding must be made available from either internal or external sources. External sources might include performance contracting from major controls vendors. If this is a viable option, the mechanisms for allowing performance contracting must be put in place. Internal funding sources might include university initiated loans or funding from savings accrued from past projects that resulted in a reduction in the operating budget. Financing strategies must be evaluated and the most appropriate approach should be implemented and supported by the administration. For public colleges and universities the need for administrative support extends to the state legislature and governor. Unfortunately, all too often publicly elected officials fail to recognize the short and long-term impact on the university's operating budget from increasing utility expenditures. They fail to understand that a dollar invested today in energy conservation measures can pay for itself many times over in future savings. While minimizing first costs might be an acceptable strategy for a private developer, in a situation where one is an owner/operator, such as campus facilities, this approach to funding buildings is shortsighted. As an alternative, funding for public facilities should be based on life-cycle rather than first cost. Legislators must come to understand this, for the greatest energy savings can be achieved as the building is being designed. Maintenance Support Often energy savings in buildings can be achieved by correcting system problems through the maintenance department. Through his/her understanding of the building, the energy manager identifies malfunctioning equipment. The maintenance department is then requested to provide the manpower and hardware necessary to correct the problem. There are at least two important aspects of this. First, the identification of the problem and request for assistance must be done in a nonadversarial way. Care must be taken by the energy manager to not imply blame for a problem, only to request corrective action. Second, the lines of communication must be in place to insure prompt response. Ideally, the maintenance group, similar to the energy manager, will have a zone of responsibility where they become familiar with the buildings and systems within the zone. Technical Support As previously suggested, the zone energy manager must have a technical background sufficient to understand the operation of the building systems. Often, however, this background does not include the expertise to evaluate the interactions of the building, occupants, and systems, or knowledge of the tools necessary for performing detailed cost/benefit analyses. Therefore, it is desirable to have a technical support group that works with all of the energy managers to analyze alternative energy conservation measures. The technical support group would also be accessible to the plant department as well as to the Energy Advisory Board (to be discussed later) who decide on where best to invest the available funds for large energy conservation measures. Incentives and Performance Accountability While the energy manager can achieve significant savings, the impact of the building occupants and maintenance personnel cannot be ignored. Occupants, for example, can adversely impact energy consumption by resetting thermostats, leaving lights on, or leaving the sash open on a fumehood exhaust system. Maintenance personnel, can increase consumption by taking a quick-fix approach where components might be jury-rigged for short-term resolution of a problem or complaint. To avoid the waste associated with these, a program of incentives and performance accountability should be implemented. An incentive program for building occupants might include such things as educational and awareness seminars to bring to light the cost of energy, magnitude of the waste, and possible consequences in areas such as lost of future revenue and jobs due to escalating utility expenditures. Programs aimed at showing occupants what steps they can take to reduce energy consumption can be beneficial. However, studies have shown that people tend to forget quickly and return to old habits (Moyer 1983). Continuous follow-up is needed to maintain a high level of energy awareness. Colleges and departments that participate in the program and encourage energy conscious behavior on the part of the occupants might be given a financial incentive by having a portion of the savings returned to the department to be used at their discretion. Similarly, maintenance personnel might have an incentive program where employees that identify energy savings measures would be rewarded. Zone maintenance groups that contribute toward significant reductions in energy consumption in the buildings served would also be
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rewarded. Practices that increase energy consumption would be identified, and eliminated. Proposed Framework The ideas of Understanding, Support, and Incentive and Performance Accountability can be used when developing the proposed framework for a comprehensive energy management program. Figure 2 shows part of a typical organizational structure for a university. As shown the structure includes two major branches, business affairs and academic affairs. Typically these branches have little or no interaction except at the highest levels. For an energy management program to achieve maximum savings, there must be interaction and established lines of communication at all levels. For example, Figure 3 shows an alternative organizational structure that includes an energy conservation component. There are at least five important differences between the typical organizational structure and the proposed structure, these include: 1) an Energy Advisory Board, 2) a Technical Support Group, 3) Zone Energy Managers, 4) Zone Maintenance Teams, and 5) a College Energy Liaison. Energy Advisory Board While relatively small purchases can be authorized by the energy manager or maintenance supervisor, large building system alterations must be evaluated and approved at a higher level. An Energy Advisory Board (EAB) should be assigned the responsibility of evaluating alternative policies, general operating strategies, alternative financing strategies, and highest and best investment options for large energy related expenditures. Organizationally, the EAB must be at a high enough level to communicate with the Vice Presidents for Business and Academic Affairs, as well as the president or chancellor, and have the authority to influence decisions. The EAB receives input regarding important issues and concerns from the utilities and plant extension departments, the Technical Support Group, and the Deans or their appointed College Energy Liaisons. The EAB in cooperation with the Technical Support Group are also responsible for establishing baseline energy consumption in buildings to determine rewards for the incentive program. The EAB might be composed of representatives from the utilities, plant extension and maintenance departments, Technical Support Group, various colleges, as well as business and academic affairs. Technical Support Group The Technical Support Group (TSG) serves as advisors to the EAB and to the Zone Energy Managers. The TSG has expertise in the areas of energy utilization in buildings and is familiar with analysis tools and procedures. The TSG provides the Energy Advisory Board with the results of cost/benefit studies for alternative energy conservation measures, provides expertise to the energy managers for operating strategies such as advanced HVAC control, as well as provide input to the Utilities Department concerning optimal operation
Figure 2. Typical Organizational Structure for a Large Institution.
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Figure 3. Proposed Organizational Structure. of the central power or steam plant. For example, as part of a TSG, Jones, Brandle, and Verge were able to develop an optimum control strategy for using absorption cooling to reduce electrical demand (Jones 1990). The TSG might include a combination of people from the Engineering Services Department and faculty members that have expertise in energy consumption in buildings. This might include faculty in engineering, architecture, and physics. The Technical Support Group would also be responsible for reviewing proposals and construction documents for new buildings to help prevent energy inefficient designs. Another task associated with the TSG is the development and upkeep of Baseline consumption levels for the targeted building stock. Using available utility records, the TSG provides a means for determining the actual energy savings in a given building after accounting for weather and functional differences. This information can be used as part of an incentive scheme where some of the energy savings cost might be returned to participating units or colleges. The TSG would also be responsible for developing and evaluating tools for the energy managers to efficiently perform record keeping tasks associated with building energy consumption. Finally, the TSG in cooperation with the College Energy Liaisons establish levels of participation from various colleges and determines which buildings are most energy intensive and would benefit from being included in the energy conservation effort. Zone Energy Managers As previously suggested, a holistic energy conservation program requires that the operation of buildings be well understood. For this, Zone Energy Managers (ZEM) provide the necessary link between the building, occupants, and technical support group. The Zone Energy Manager should be a person with sufficient technical background and the ability to analyze building systems. He/she should have good communication skills with the initiative to establish lines of communication between him/herself, the maintenance staff, building occupants, and technical support group. For
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conducting detailed energy audits, the ZEM provides the Technical Support Group with information concerning the details for building systems and daily operating strategies. As previously suggested, experience at the University of Michigan showed that a ZEM reduced annual energy costs from $392,925 in 1984-85 to $186,868 in 198687 (Brandle 1988). Zone Maintenance Teams Another important aspect of a comprehensive energy management program is a responsive maintenance team. Working with the ZEM, Zone Maintenance Teams should be established to quickly respond to maintenance problems. For large institutions, these teams should be responsible for a specific group of buildings, which encourages a detailed understanding for the building systems as well as quick response to problems. The Zone Maintenance Team must have well established lines of communication with the Zone Energy Manager. College Energy Liaisons Each college or large department should have lines of communication to the Energy Advisory board, as well as between the occupants and the energy manager. The College Energy Liaison would be responsible for attending meetings and presenting energy conservation proposals as well as concerns of the college to the Energy Advisory Board. In addition, the CEL would be the primary point of communication between the building occupants and the zone energy manager. Energy related problems and concerns of the occupants would be communicated to the energy manager through the liaison. In cooperation with the Dean, the liaison would also be responsible for working with the Technical Support Group to determine what energy savings opportunities might be cost effective for a particular building. Conclusions This paper has discussed some of the important factors for the development and implementation of a comprehensive energy management program. While each institution has unique characteristics that might require modification of the basic framework, the fundamental aspects of Understanding Buildings, Support, and Incentive and Performance Accountability must be recognized. The incorporation of these considerations as well as establishing lines of communication between the organizational units is essential to the success of the energy management program. References Moyer, R.C. 1983. "Fume Hood Diversity For Reducing Energy Consumption." ASHRAE Journal, September 1983, pp. 50-52. Brandle, Kurt, S. Boonyatikarn, and D. Mandernach 1988. "The Energy Cost Avoidance Project at the University of Michigan." Conference Proceeding Energy An Integrated Approach, Chattanooga, TN, May 1988, pp. 163-170. Jones, J.R., K. Brandle, and W. Verge 1993. "Development of a Control Strategy for Electrical Demand Limiting Using Absorption Cooling." ASHRAE Transactions, Part 1, pp. 223-230. Sullivan, D. and R.H. Fuller 1980. "Ohio State University Energy Management Program." Conference Proceedings - 8th Annual Illinois Energy Conference, November.
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Chapter 37 Walt Disney World's Utility Efficiency Awards and Environmental Circles of Excellence P.J. Allen and W.B. Kivler Abstract This paper describes an innovative approach to energy conservation that has been started at WALT DISNEY WORLD. The program that was established was designed to heighten the awareness of energy usage in our Management and Cast Members, establish a method for recognizing and rewarding positive energy conservation efforts and, most importantly, keeping the effort simple and fun. Two programs work together to meet this goal: Utility Efficiency Awards and the Environmental Circles of Excellence. The Utility Efficiency Awards are given to the top areas that have demonstrated a reduction in utility consumption relative to the same period in prior years. More importantly, a report is generated that shows a best-to-worst ranking. Relying on the idea that "nobody wants to be on the bottom of the list", conservation is enhanced by focusing attention on improving efficiency. To encourage direct cast member involvement in our environmental program, the Environmental Circles of Excellence were created. These groups, made up of hourly and salaried cast members, discuss their location's environmental commitments, set goals and implement programs. This paper describes these initiatives in detail and presents some initial results that have heightened the awareness of energy conservation at WALT DISNEY WORLD. Demand-Side Management Cast members from all parts of WALT DISNEY WORLD have joined together as part of a Demand-Side Management (DSM) Team. The DSM Team focuses on ways to reduce energy by thoroughly studying how we consume electricity. Examples of on-going DSM programs include (1) shift non-essential electrical loads to off-peak periods (2) use more energy efficient equipment (3) turn off equipment when not in use (4) recover or recycle wasted energy and (5) make process changes that require less energy. This paper will not focus the systems/equipment we use to save energy but instead focus on the employee recognition programs that can potentially result in increased employee awareness and interest in energy conservation. The DSM Team established two areas on which to focus: (1) establish an accurate and timely utility reporting system and (2) solicit direct cast involvement by creating Environmental Circles of Excellence. The Meter Program Reedy Creek Energy Services, Inc. (RCES) operates and maintains the following utility systems at the WALT DISNEY WORLD Resort Complex: electric power, high temp hot water, chilled water, compressed air, natural gas/fuel oil, potable water, wastewater, reclaimed water and solid waste. Each month over 4,000 accounts are updated to measure the utility consumption levels. Taking its cue from the philosophy, "If you can measure it, you can manage it", a computer program, called METER, uses RCES utility billing data and transforms it into a user-friendly system to graph and report utility use. The program helps the end-user understand their power bill and how it tracks from month to month. The meter data is provided by RCES in an electronic format. This value-added service by RCES saves a tremendous amount of time and effort since there is no need to re-enter the meter data month after month.
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The METER program is a custom written FOXPRO application. By using FOXPRO, we are able to continuously modify the program to meet requests of the RCES Customers. Furthermore, by compiling the FOXPRO application the program can be distributed royalty-free and installed on individual PC's or PC networks. Utility Efficiency Awards The Utility Efficiency Awards Program was designed to increase the awareness of energy usage in our Management and Cast Members, establish a method for recognizing and rewarding positive energy conservation efforts and, most importantly, to keep energy conservation simple and fun. Since the utility meter information was readily available in the METER Program, the idea was to create a report that could be used to provide feedback on how well each area was doing relative to prior year usage. The DSM Team also wanted to create a spirit of competition by ranking each area based on the percent change from prior year The idea was to make the competition similar to a baseball game. Each month the percent change from prior year would be computed and posted for each area - much like an inning in a baseball game. The score is tallied and each quarter the award winner is the one with the lowest score. Those areas that have reduced the most would rise to the top of this list. Relying on the idea that "nobody wants to be on the bottom of the list", conservation is enhanced by focusing attention on improving efficiency. A "scoreboard" is used at each location to keep track of who is "winning the game''. Each quarter a report is generated to show the award winners (See Table 1). An award is presented to the winning General Manager/Director in each category which can be proudly displayed for the next three months. The annual "winners" become the subject of an article in the Eyes and Ears - the WALT DISNEY WORLD cast newspaper. Initial results have been promising. The competitive sprit of our Management and Cast has created interest in the program. The simplified management reports have resulted in an easy way to focus on efficiency. In one case, a substantial increase in water usage was determined to be the result of a broken irrigation line. Environmental Circles of Excellence The Utility Efficiency Awards provided a means to "recognize the stars of energy conservation". The next important step was to get direct cast member involvement. Our approach was to create "Environmental Circles of Excellence" at each location throughout WALT DISNEY WORLD. The purpose of these groups are to encourage our cast members to become involved in our environmental program. There are presently 16 circles that have formed throughout WALT DISNEY WORLD. One such program at the Contemporary Resort was formed to address the issues of Safety for our guests and cast, Energy Conservation, Environmentality and Security awareness for all (SEES). SEES is one of three sub-committees under the larger All-Contemporary Circle that meet once a month. The other two sub-circles are: Rooms and Related, Food and Beverage. If an issue is too large for the sub-circle level, the issue is brought to the All-Contemporary Circle. Here, the Hotel General Manager and representatives from the other circles sit with cast members to discuss and plan strategies and effect solutions. The SEES Committee is chaired by Bill Kivler, Chief Engineer. Three discipline teams of Safety/Security, Energy and Environmentality (recycling) are sub-chaired by Assistant Engineering Managers. This way everyone is involved at a level where they can contribute, and information is easily exchanged between the groups, allowing team members to gain knowledge in all areas. Once this structure was formed, additional resources were pulled from within the company to support efforts and measure effectiveness. This allowed other divisions to partner with the hotel toward a common goal. A variety of awards are presented by the SEES group within the Contemporary Resort. There are individual awards: CARE cards - Continuous Acknowledgment and Recognition of Excellence and "Environmental Excellence" Pins which can be worn by the Cast member in recognition of their environmental efforts. There are group awards for departments that have shown significant improvements. There are also "non-awards": "Reffy the Refuse Chicken" for not supporting recycling, the ''Burned-out Lightbulb" for wasting energy and the "Busted Crutch" for unsafe or insecure areas. Conclusion These programs are a successful because of the attention given by management, participation by the cast, recognition of a job well done, positive reinforcement of desired behavior, and most importantly because it's a lot of FUN!
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TABLE 1 UTILITY AWARDS REPORT 2ND QUARTER (JAN-MAR) FY 1995 PERCENT CHANGE FROM PRIOR YEAR 2ND QUARTER AVG AREA JAN FEB MAR SCORE DIVISION: PARKS EPCOT CENTER -10.12% -9.03% -2.55% -7.30% STUDIO -1.99 -1.01 3.45 0.10 MAGIC KINGDOM 10.86 13.77 14.67 13.09 DIVISION: RCID MRF -8.65 -0.91 -20.79 -10.82 FIRE STA MK -23.72 0.46 17.82 -5.69 WWTP-BLDG -11.45 14.41 -15.19 -4.34 ENVIR. LAB 17.30 13.01 9.24 13.25 COMPOST PLANT 26.67 53.36 83.25 51.72 DIVISION: RESORT ENTER. TYPHOON LAGOON -12.32 -3.06 -7.90 -8.46 PALM/MAGNOLIA -19.22 29.84 -3.47 -0.10 PLEASURE ISLAND 1.66 0.09 -2.03 -0.08 MARKETPLACE 4.67 -2.29 13.46 5.28 BONNET CREEK 0.09 8.96 13.08 7.35 LBV GOLF COURSE 5.75 11.43 58.68 21.70 DIVISION: RESORTS GRAND FLA -5.66 -7.32 -6.90 -6.61 POLYNESIAN -0.31 -3.33 -2.23 -1.92 YACHT & BEACH 2.51 -2.69 -3.46 -1.28 CARIBBEAN BEACH -0.52 -0.59 -1.86 -1.01 FT. WILDERNESS -1.45 1.51 5.26 1.72 VILLAGE RESORT -4.98 1.94 9.30 1.73 DIXIE LANDINGS -1.16 4.29 2.27 1.77 CONTEMPORARY -1.75 11.29 4.83 4.72 DIVISION: SUPPORT CENTRAL SHOPS -6.94 -16.53 -17.84 -13.87 RIDE & SHOW -10.62 -17.07 6.21 -7.06 MONORAIL BLDG -0.19 -6.67 -2.06 -2.99 WAREHOUSE-ENTER -0.76 -2.93 -2.78 -2.28 WAREHOUSE-MERCH -0.46 3.41 -7.87 -1.57 TEAM DISNEY 19.06 -15.15 -2.69 -1.46 RESORT ENTER -3.85 -0.70 2.15 -0.81 CASTING BLDG 12.39 10.32 -16.78 0.92 A&FE 4.01 -5.48 5.09 1.01 WAREHOUSE-DC6 5.31 -2.62 5.01 2.43 WAREHOUSE-FOODS 15.94 0.59 7.40 7. 96 SUNBANK BLDG 20.66 5.91 5.39 10.30 WAREHOUSE-DC1 6.36 31.99 8.75 15.95 RESORTS SALES 7.68 40.76 60.03 33.39
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Chapter 38 Building Energy Codes: Perspectives from the States L.J. Sandhal and Diana L. Shankle Abstract During 1994, more than 150 participants representing nearly every state in the country attended one of five regional Building Energy Codes and Standards workshops conducted by Pacific Northwest Laboratory (a) for the U.S. Department of Energy. Participants included key staff from state energy offices, public utility commissions, code commissions, and others involved in building energy code issues. This paper reports information and lessons learned from these participants and preliminary findings sfrom participants who attended a second series of workshops held in four cities in 1995. Introduction The Pacific Northwest Laboratory (PNL) operates the Building Energy Standards Program (BESP) for the U.S. Department of Energy (DOE) Office of Codes and Standards. The goal of the program is to develop and encourage the implementation of performance standards to achieve the maximum practicable energy efficiency in the design and construction of new buildings. A key program outreach activity is the organization and sponsorship of Building Energy Codes and Standards (BECS) workshops. The workshops bring together state energy office representatives, DOE regional staff, program staff, and energy code experts. State participants receive current information on building energy codes and issues related to their successful adoption, implementation, and enforcement. DOE and program staff learn about states' energy code concerns and support needs. Findings from the 1994 BECS workshops and preliminary information from the 1995 workshops are summarized in this paper. Regional Building Energy Codes and Standards Workshops The BECS workshops are designed to benefit state-level officials, including the staff of building code commissions, energy offices, public utility commissions, and others involved with adopting, updating, implementing, and enforcing building energy codes in their states. PNL organized the BECS workshops and provided a number of the speakers. Staff at DOE Headquarters and Regional Support Offices assisted with planning and conducting the workshops. The one and a half day BECS workshops were introduced in 1994 and remained as a key program outreach activity in 1995. BECS workshops were held in the following five cities during May-June 1994: Chicago, Philadelphia, Atlanta, Dallas, and Denver. BECS workshops were planned for four cities in 1995: Chicago; Lincoln, Rhode Island; Atlanta; and Denver. Because only one of the four workshops in 1995 had been completed at the time this paper was written, findings reported here will focus on the 1994 workshops. PNL worked with the DOE Support Offices, used an internal database of state contacts, and coordinated with four professional associations to identify potential workshop participants. These associations were (a) The Pacific Northwest Laboratory is a multiprogram national laboratory operated by the Battelle Memorial Institute for the U.S. Department of Energy under Contract DE-AC06-76RLO 1830.
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the National Association of Regulatory Utility Commissioners (NARUC) the National Conference on State Building Codes and Standards (NCSBCS) the National Conference of State Legislators (NCSL) the National Association of State Energy Officials (NASEO). A total of 165 people from 46 states and several U.S. territories attended the 1994 workshops: 40 people attended in Chicago, 28 in Philadelphia, 37 in Atlanta, 25 in Dallas, and 35 in Denver. The 1994 BECS workshops provided an opportunity for state and other officials to learn more about the Energy Policy Act of 1992 (EPAct) requirements for residential and commercial building energy codes, the Climate Change Action Plan, the role of DOE and the Building Energy Standards Program at PNL, current commercial and residential codes and standards, Home Energy Rating Systems, Energy Efficient Mortgages, training issues, and other topics related to the development, adoption, implementation, and enforcement of building energy codes. The most popular workshop topics in 1994 included EPAct legislation, implementation materials, enforcement training, and the history of codes and standards. A question and answer session was also offered to discuss topics in more detail and to address additional topics not included in the agenda. Nearly every session was chosen by at least one person as "the best," reflecting the variety of interests represented at the BECS workshops. However, according to a survey used to determine topics of interest for the 1995 workshops, state staff that responded said that they were most interested in information on training and enforcement programs, tools, and materials. This finding is not surprising since states have now moved from needing to know how to comply with EPAct to needing information on how to successfully implement and enforce building energy codes. The BECS workshop agendas were revised for 1995 to allow time for states to present information on successful building energy code implementation and enforcement programs and program plans resulting from 1995 DOE grant awards. Agendas for each of the 1994 BECS workshops differed slightly, but essentially covered the same topics and issues, including the role of DOE in promoting building energy codes and standards EPAct requirements a history of building energy codes and standards an overview of the standards and codes process (ASHRAE 90.1 and 1992 MEC) the status of codes in the states the Climate Change Action Plan Home Energy Rating Systems and Energy Efficient Mortgages MEC implementation materials. Perspectives from the States in 1994 In addition to receiving energy code information, workshop participants were also encouraged to inform DOE of their needs, particularly with regard to implementing building energy codes, enhancing current implementation efforts, and building on training efforts already in place. A substantial amount of information on issues of concern to the states, state needs for technical assistance and tools, and information on stakeholder groups was collected at each workshop. To increase information collection, a pre-workshop questionnaire was distributed to participants prior to the workshops. Thirty-nine participants completed and returned the pre-workshop questionnaire. This section presents an overview of the information collected from workshop participants via the pre-workshop questionnaire and comments and questions stated during the BECS workshops. Epact Questions and Concerns In 1994, participants were very interested in what impact EPAct legislation would have on their states. A primary question was how DOE plans to assist states in meeting the federal mandate. States stressed their need for funding to develop and implement training and enforcement programs to meet the building energy code requirements of EPAct. Many participants voiced questions and con eros about getting the codes implemented and enforced on a widespread basis in their state. The following questions and concerns were brought up by 1994 workshop participants: What are the consequences if a state chooses not to respond to the legislation? What if a state has no building energy code? Does the mandate still apply? What is an acceptable time extension for compliance? How should legislation be drafted by the state to comply with EPAct if a state prefers not to adopt the specified code by reference? How can the costs and benefits of code adoption be quantified? Are there alternative ways to comply with EPAct without adopting a state-wide code? Will dropping some sections of the code deemed to have marginal benefit be viewed as non-compliance with EPAct?
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The codified version of ASHRAE 90.1 has been copyrighted by ASHRAE, and must be purchased at a potentially large expense to states, cities, towns, etc. The Model Energy Code doesn't address cooling as a dominant residential energy use. Stakeholder Groups The successful adoption, implementation, and enforcement of building energy codes requires that a number of groups and individuals be knowledgeable about the code and its applications. Workshop participants were asked to identify stakeholder groups in their states. Stakeholder groups identified include the following: state legislators builders state and local code officials (including plan reviewers) designers (architects and engineers) product suppliers ·financiers appraisers utilities home buyers. 1994 BECS workshop participants were asked which groups or organizations are advocates and which are adversaries of the widespread adoption, implementation, and enforcement of energy-efficient building codes in their state. Although some of the above stakeholder groups were identified as both advocates and adversaries by different states, there were obvious trends. The following stakeholder groups were typically identified as advocates: the state energy office or related government office national and regional organizations supporting renewable energy and conservation code organizations (ASHRAE, Council of American Building Officials [CABO]) major utility companies energy-efficient product manufacturers and contractors (i.e., insulation manufacturers). The following stakeholder groups were typically identified as adversaries to the widespread adoption, implementation, and enforcement of building energy codes by workshop participants: builders and contractors representatives of local jurisdictions code officials. Potential Building Energy Code Implementation Partners States often provide building energy code information to at least some stakeholder groups. This information is provided through reports, newsletters, and periodic presentations at stakeholder group meetings. Some states have gone further to provide comprehensive training and technical assistance on the energy code. These efforts often involve the development of partnerships with organizations that have strong connections with key stakeholder groups or possess energy code training and technical assistance expertise. Workshop participants identified a number of stakeholder organizations that provide information or training on building energy code adoption, implementation, and enforcement to stakeholder groups, including home builder associations (such as the National Association of Home Builders [NAHB]) utility companies codes and standards groups (such as ASHRAE, CABO, International Conference of Building Officials [ICBO]) architect/engineer associations (such as the American Institute of Architects [AIA]) universities manufacturers of energy-efficient products. Building Energy Code Training and Technical Assistance Currently Available Some workshop participants identified training and technical assistance activities currently being provided by the state, utility companies, building component manufacturers (i.e., insulation manufacturers), professional organizations (i.e., NAHB, ICBO), and universities. However, some participants were not aware of any training or technical assistance available in their state. Most of the 000000and materials identified were directed at code officials, builders, and designers. Examples of activities that some states mentioned include code refresher and update training, code commentary, and code consultation statutory continuing education for enforcement officials and a certified examiner program utility company-sponsored training to designers and builders life-cycle costing workshops technical assistance (telephone hotlines) audio visual aids, instruction manuals, and newsletters computer programs to perform calculations and forms compliance basic and advanced training classes and technical assistance on MEC and ASHRAE 90.1 for builders and jurisdictions.
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Technical Assistance Desired from Doe Workshop participants were asked what kind of technical assistance their state would like to receive from DOE. Participants identified an array of code involvement, training, and technical assistance activities needed to promote adoption, implementation, and enforcement of building energy codes. Those involved in building design, construction, and enforcement, such as builders, code officials, and designers, were the most commonly identified stakeholder groups that would be targeted for these building energy code training and technical assistance programs. Responses typically related to code involvement and stakeholder training and assistance. Code involvement activities desired from DOE included the following: Make the codes more user friendly. Assist with interpreting ASHRAE and MEC requirements. Assist in tailoring a codified version of ASHRAE 90.1-89 to state needs. Address solar radiant heat gain and control issues related to MEC. Address enforceability of ASHRAE ventilation requirements. Identify and address grey areas in MEC and ASHRAE codes. Explain the intent of each code section and identify assumptions made and factors considered when setting the standard. Work to develop simplified energy standards to substitute for specific codes. Assist in evaluating new technologies for possible inclusion in the energy code. Monitor effects of code implementation. Conduct energy use research and testing on specific code applications. Workshop participants identified a range of technical assistance and training needs of stakeholder groups. Although nearly all stakeholder groups were identified as needing code training or technical assistance, the most often mentioned groups once again include code officials, builders, and designers. Assistance identified included development of the following tools and communication materials: code manuals and software hotline services newsletters, brochures, video and audio instructional tapes, training booklets TV spots or literature for prospective home buyers or renters code commentaries case studies of successful programs. Potential topics to cover in training, technical assistance programs, or implementation materials include project managment and marketing training for builders interpretation of ASHRAE and MEC requirements information on professionals and agencies involved in promoting codes coordination of utility DSM programs and building energy codes economics of adopting, implementing, or enforcing the energy code life-cycle cost analysis compliance and enforcement approaches. Lessons Learned from Workshop Participants Workshop participants claimed varying degrees of in getting building energy codes adopted, implemented, and enforced in their state but, regardless of the status of codes in their own state, almost all had advice for others. This focused on some general themes: ·Build partnerships with all stakeholders involved in the building code adoption, implementation, and enforcement process. Conduct building energy code education and training. Ensure careful code development and interpretation. Coordinate with local utilities and public utility commissions. Emphasize the benefits of energy-efficient construction to all key players. Specific comments regarding partnerships included the following: "Involve enforcement staff in the code adoption/upgrade process. If they feel they had input into the new code they will be more prepared and willing to enforce it." "Include representatives of all the affected parties in the decision process to adopt the code." 'Form a steering committee including suppliers, builders, utilities, architects, code officials, associations, the League of Municipalities, etc. Create a board to oversee the adoption and provide technical assistance." "Develop the code through consensus among all imputed parties." "Hold public BECS workshops and hearings with the general public to gather comments on the proposed code." "Involvement - ensure adequate involvement from designers, enforcement personnel, manufacturers, suppliers, builders, trade organizations, etc. Provide
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specific mechanisms to ensure that affected groups can and do participate." "Secure the active cooperation of key engineering and architectural organizations. Have them provide testimony before county councils and other governing bodies. Work closely with either the chair of the county council or the head of the public works committee, or both, to secure their active cooperation. Without their cooperation, a bill to adopt an energy code has little chance of passage. Both of the above measures often involve establishing friendships with key personnel so that a bond of trust serves to carry legislation over obstacles." "Involve all stakeholders; don't let one interest group dominate code development." "Getting a code adopted is usually a political process. Absent a clear federal mandate, some type of consensus-building approach is likely to be necessary if passage of an energy code is to have a reasonable chance." "Invest sufficient time to build the necessary consensus among all key groups." "Get involved with the whole building code adoption process, not just the energy code. This helps establish relationships with other players and avoids being considered as having 'tunnel vision'." A number of states stressed the importance of energy code education and training as key to successful energy code adoption, implementation, and enforcement: "Educate the public to the benefits of energy codes, including clear examples or history of benefits achieved." "Involve a carefully planned, comprehensive education program before the code's adoption." "Train everybody; reward those who abide and punish those who do not." "Develop training materials like instruction manuals to explain the code to consumers. Conduct training frequently to train enforcement group(s). "Up-front training, especially to design professionals, cannot be over-emphasized." "Adequate funding for training, plan review, and enforcement is critical." Several states had advice relevant to the adoption and application of the energy code: "Resolve conflicts between various energy codes and standards." "Adopt a state-wide energy code and allow no local amendments." "Codes should provide some flexibility in the requirements of urban areas versus sparsely settled rural areas." "Develop a code that provides for several compliance options ranging from simple 'prescriptive' options to options that provide for design flexibility." "Be sure to get legislation passed." "Make energy code compliance a basic part of obtaining the building permit and ground disturbance permit." "Balance is important - while saving energy, the code must also be practical, enforceable and implementable." "Adapt nationally developed standards such as ASHRAE 90.1 and 90.2 and the CABO MEC, rather than devising from scratch your own approach." "Provide clear and correct technical information; there can be no agreement if the standard is not understood." Two workshop participants stressed the importance of coordinating efforts with local utilities or public service commissions. Both emphasized that training, technical assistance, and enforcement activities may be greatly enhanced by utility company involvement. Other workshop participant "words of advice" include the following: "Funding may be leveraged with energy turnback funds not yet depleted." "Rely on existing code agencies to assist the process, and use information on programs that have succeeded in other states." "Simplicity is key." "Develop a certification program for compliance calculations." "Try to use energy codes to consolidate programs for addressing low-income housing weatherization needs." "Quality control in construction: it's the key to an energy-efficient home." "To understand the effect of a regulation, one must put himself in the shoes of the regulated." "Use the developing market for efficiency and environmental awareness to get buy-ins from all key players." Evaluations after the workshops showed that participants felt they gained much from the presentations and the opportunity for interaction with peers, other stake holders and DOE representatives. The challenge to the Building Energy Standards Program is to sustain this level of interest and involvement by the states. After the BECS workshops, follow-up letters were sent to participants thanking them for their participation and reminding them to use the Program as a resource for building energy codes and standards.
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Included with the follow-up letter was a form to request hard copies of overheads used at the workshop presentations. Several requests for the overheads have been received. It is important that Program staff continue to work closely with DOE Support Office staff who assisted with the workshop planning and coordination. Follow-up letters containing preliminary findings from the BECS workshops and the results of the workshop evaluations were sent to DOE Support Office staff. Attendance at the regional BECS workshops was primarily limited to state energy office staff, public utility commission staff, and code officials. A number of stakeholder groups would benefit from similar BECS workshops tailored more to their interests. Additional BEC5 workshops are being contemplated for 1995 to meet the needs of these stakeholder groups. 1995 Workshops Four BECS workshops were planned for June 1995 in Chicago, Illinois; Lincoln, Rhode Island; Atlanta, Georgia; and Denver, Colorado. One of the four 1995 BECS workshops had been completed at the time of this paper. The 1995 workshops are directed at the same audience as the 1994 workshops but provide more in-depth information related to building energy code implementation and enforcement efforts. In 1995, a number of state representatives were invited to speak on activities and programs in their states. Many of these states had received grants from DOE to promote the implementation and enforcement of building energy codes. 1995 workshop topics will include the following: overview of the Building Energy Standards Program Building Codes Assistance Project examples of technical assistance received by states MEC implementation materials code adoption issues state exemplary/progressive program awards state program examples ASHRAE 90.1 implementation materials utility new construction programs and their linkage to codes linking a Home Energy Rating System to codes. Each workshop includes a discussion session with the states allowing state participants to bring up questions, issues, and concerns that were not covered in the previous day and a half. Questionnaires and evaluation forms similar to those used in 1994 will be collected in 1995. Information on state needs obtained from the workshop discussions and questionnaires will be presented at the World Engineering Congress in November 1995.
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Chapter 39 Post Implementation Variable Speed Drive Study Findings J. Mont and C. Christenson The use of Variable Frequency Drives (VSD) as an effective tool to control motor speed and reduce energy consumption is very common. There is still much discussion concerning the achievable savings from the application of a VSD on a particular driven device. Use of the affinity laws to depict the part load characteristics of a device can only provide savings estimates for a limited number of applications. This paper describes a study conducted by Energy Investment, Inc. in an attempt to determine the actual savings of VSD's in four different applications. The study identified key characteristics that should be analyzed before installation to increase the accuracy of savings estimations. These characteristics will be presented with respect to each of the four applications. Background and Methodology The client utility was providing financial incentives for installations of variable speed drives. Energy Investment, Inc. (EI) was asked to assess early program results and document energy savings. The study had several objectives: To develop a protocol and measure actual energy savings from VSD installations in various applications in customer facilities. To provide data for use in a formal VSD program impact evaluation development in the future. To provide recommendations for possible program modifications. To meet these objectives, EI selected representative sites to study, developed a measurement plan for each, installed measurement equipment, analyzed collected data, and compared measured savings vs. pre-implementation estimated savings projections. The following section will describe the methodology that was used to estimate savings for each VFD application. Client Estimation Methodology The development of a simple estimation procedure for broad application of VFD's is very difficult if not impossible. Each type of motor driven device follows different operating characteristics, especially under part load conditions. The fact that a majority of the applications of VFD controls are on centrifugal fans, pumps and blowers (~70 percent of this clients applications), made the use of a basic cubic fan curve vs. a dampered fan curve for estimation somewhat reasonable. Based upon this information, a series of tables had been developed for every horsepower motor that may be encountered. A table for a particular horsepower motor would contain the power savings for switching from the existing control strategy to a VFD (Figure 1). The table lists percent load versus full load power consumption. A service representative would ask the customer to estimate the full load demand and part load profile of the equipment in question, including the time fraction at each part load level. This profile was used to determine the demand and consumption savings for the equipment. This technique was applied to each potential applicant to determine the cost effectiveness of the project. Those projects determined to be cost effective were incentivised at a prescriptive level.
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Figure 1 Graphical Estimation Representation The next section describes the process used to select the sample study population for this study. The remainder of the paper will provide a description of the findings from each site. Site Selection Selecting the sites for the VSD evaluation began with obtaining a list of program participants from the client. This list originally included 43 participants, some with single VSD applications, and others with multiple applications. The list was manipulated in two ways: 1. The list was first revised to include only the 17 participant sites where implementation of the VSD(s) were complete and post-implementation monitoring/evaluation could be conducted. Pre-implementation data in some form was available or could be recreated for only three sites. 2. The original list of 43 sites was then divided according to VSD application type and motor horsepower. HVAC applications are by far the most common, representing 22 of the 43 sites, or about 51 percent of the total. Well pumps and press lines comprised four of the applications each, and the remaining 12 projects represent single application types. Horsepower of the various applications ranged from 2 hp to 300 hp. TABLE 1 APPLICATION DISTRIBUTION Application Number of Applications HVAC 22 Well Pumps 4 Press Lines 4 Extruder 1 Injection molding 1 Kiln Fans 1 Draft Fan 1 Dust Collector 1 Air Ring Blower 1 Aeration Blower 1 Sludge Pump 1 Cheese Dryer 1 Box Maker 1 Misc. Blower 1 Misc. Pump 1 Unknown 1 In order to represent the range of application types, it was decided to evaluate one HVAC application, one well pump, one press line, and one of the remaining 12 single applications. Further, since a well pump was to be included, the HVAC application was chosen to be a fan rather than another pump. Given the limited availability of pre-implementation data and the need to represent various application types, the following applications were selected: Municipal well water pump Printing press Plastic injection molding machine HVAC supply air fan. Measurement Procedure To verify the savings estimation made prior to VFD installation, it was necessary to compare the pre- and post-implementation power consumption. The postimplementation measurement consisted of installing a recording power meter to monitor the energy demand and consumption of the motor over a four week period. Initial tests performed with a hand-held voltmeter and amp robe verified that the equipment was operating properly. The equipment was allowed
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to run for several minutes, recording average demand for one minute periods. The recorder was then adjusted to record 15-minute average demand readings and to print a daily and monthly summary at midnight each night. The one minute average demand readings allowed verification of the 15-minute average readings. The 15-minute readings allowed a breakdown of each day, and the daily summaries provided a profile for the weekly and monthly loading characteristics. Since the pre-implementation measurements were available for only one of the sites, it was necessary to either simulate or estimate pre-implementation conditions for three of the sites. The procedures used for developing the pre-implementation conditions for each site will be discussed. The following section will briefly describe the clients estimation methodology. The overall savings comparison for the projects will be presented and finally, each of the VFD applications will be discussed independently to identify the impacts of the existing estimation methodology. Savings Comparison Savings for each application have been evaluated three ways (see Table 2): 1. A savings estimate taken from the customers application form (Table 2, col. 4), which is based upon the cubic fan curve, motor horsepower and estimated loading profiles. 2. The post-implementation measured energy savings, obtained in this study (Table 2, col. 3) 3. A modified (adjusted) savings estimate based upon post-implementation operating data and the cubic fan curve and motor horsepower as used in number 1 (Table 2, col. 6). The adjusted savings estimate provides the savings that would have been predicted by the clients estimation methodology had an accurate load profile been available. The adjusted estimate is useful in determining the magnitude of the error associated with using an inaccurate load profile versus the error resulting from other sources. TABLE 2 SAVINGS COMPRISON SUMMARY (kWh/yr) 1 2 3 4 5 6 7 Project PreImplem Post-Implem Measured Client Percent Adjusted Client Percent Consumption Consumption Savings Savings Difference Sav.Estimate Difference Estimate w/Actual Sav w/Actual Sav. HVAC 392,000 247,000 45,000 195,000 34.5% 146,000 0.7% Fan Well 784,000 443,000 341,000 163,000 -52.2% 106,000 -68.9% Pump Press 226,000 81,000 145,000 73,100 -49.6% 186,000 28.3% Line Plastic 224,000 15 4,000 70,000 55,000 -21.4% 59,000 -15.7% Mold 1. Based upon pre-implementation measurements where possible. Where not possible, data was calculated based upon measured post-implementation information. 2. Represents measurements taken with VFD control in place. Data from test period extrapolated for an entire year based on operation schedule information. 3. (Column 1) - (Column 2) 4. The savings estimate that appears on the client rebate application form. 5. [(Column 4 - Column 3) / (Column 3)] 100 6. A calculation of the energy savings that the client savings procedure would have yielded, given a more accurate operating profile. The operating profile was obtained from measurement data 7. [(Column 6 - Column 3) / (Column 3)] 100
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The original savings estimate ranged between 52.2 percent lower and 34.5 percent higher than the measured savings estimate. For three out of the four applications evaluated, the client savings estimate was below that of the measured savings, unfortunately, of the installed projects, 51 percent involved HVAC equipment which, in this study, were very optimistic. The percent difference values for the adjusted client savings estimate which utilizes a more accurate load profile ranged from 68.9 percent to +28.4 percent. Two of the modified estimates were below the actual savings and two were above. The broad results of the measured savings study provides some insight into areas where simple improvements can provide much better estimates. The findings of each of the four applications will be discussed in detail in the following sections. Hvac Fan The HVAC supply fan shows the impact of inaccurate initial estimations of part load curves. The fan was estimated to operate at 35 percent flow 70 percent of the time, 65 percent flow for ten percent of the time and 70 percent flow for the remaining twenty percent of the operating time of 8,760 hours per year. Applying these figures to the estimation tables yielded a savings estimation of 195,000 kWh per year. The measurement procedure provided approximately 2,600 data points. The fan power was measured to vary between 18 kW and 40 kW during a sample seven day period, and the average draw during this week was 28 kW. The minimum and maximum demand occurred on Monday (May 3) of the sample week. The remainder of the week followed a relatively regular pattern with lows in the morning and peaks in the afternoon. The measured savings data (Table 2, column 4) were derived by referencing a variable inlet guide vane fan performance curve based upon the measured percent flow. This measured part load profile was also used to assess the effectiveness of the tabular estimation methodology by applying the profile to the tables for the given horsepower (Table 2, column 6). The use of an inaccurate estimate in the part load profile overestimated the savings by 34 percent while the use of the measured load profile provides an amazing accuracy of 0.7 percent. This can be attributed to the fact that the HVAC fan closely follows cubic fan curves when the part load profile is accurately measured. Municipal Well Water Pump This application involved the application of a VFD to control the flow rate of a vertical turbine well pump. A 125 hp motor drives the pump to supply 1,000 gallons per minute to the city water system. According to operating personnel, this flow rate remains constant throughout the year. Prior to the installation of the VFD, the pump flow rate was controlled by a manual gate valve which was set to deliver the necessary 1,000 gpm. Since the installation of the VFD, the gate valve throttling has been bypassed and the flow is now controlled by setting the VFD to the appropriate speed to deliver the constant 1,000 gpm (determined to be 49.7 Hz through tests by operating personnel). The estimated savings were calculated were based upon a standard percent power versus percent flow curve for typical centrifugal loads and on an estimated load profile. This profile, based upon operating personnel for estimation purposes is presented in Table 3 below. One significant source of error in the savings estimation method described above is the inaccuracy in estimating cycle time at the different percent flows. These estimates are based upon operator knowledge of the system, and this knowledge in this case does not accurately portray the system. In order to verify the savings estimate described above, it was necessary to compare the pre- and post-implementation power consumption. However, preimplementation data was not available for this application. Therefore, the original gate valve control system, which was still installed and operable, was used to simulate the pre-implementation conditions. This was achieved by having the operator adjust the gate valve and the speed of the motor until the flow rate reached 1,000 gpm with the drive at 60 Hz (full speed). The demand value was recorded for several one-minute intervals. The demand used by the pump averaged
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TABLE 3 WELL PUMP ESTIMATED SAVINGS TABLE Operating Point Percent flow Load Cycle Time Annual Operating Hourly kWh Energy Savings (OP) at OP Fraction Hours Savings Estimate 1 100 0.10 876 -4.098 -3,590 2 75 0.30 2,628 15.149 39,812 3 60 0.10 876 22.115 19,373 4 40 0.50 4,380 24.115 107,437 8,760 163,032 The percent flow at OP and load cycle time fraction information was provided by the operating personnel. The hourly kWh savings (ie. Demand savings) is based upon an assumed 75% load factor for the motor and the comparison of a standard cubic versus damper controlled relationship curve. 91.5 kW. Allowing for parasitic losses due to the VFD (approximately 2 kW), this yielded a pre-implementation demand of about 89.5 kW. The measured monthly demand was 50.6 kW with the gate valve in the full open position and the VFD set to deliver the required 1,000 gpm. This provides a savings of 39.5 kW compared to the weighted average estimated using the cubic fan curve of 18.6 kW. Table 2 shows that using the tabular estimation technique does not accurately represent the incredible inefficiency with the gate valve. This is amplified when the actual load profile of the pump is used to develop the adjusted client savings estimate, which is approximately 30 percent lower than the original estimate and 70 percent lower than the measured savings. Consulting the actual pump curve when developing the savings estimate would significantly increase the accuracy of the estimation. The large savings shows that matching the horsepower requirements of the driven system is much more efficient than using a gate valve to match the flow requirements. Reducing the size of the motor rather than installing a VFD to control motor speed is an option for certain applications. This is the case in applications where the use of belts or other speed conversion equipment is possible and where the speed requirement rarely or never changes. The vertical well pump in this application was directly coupled and the possibility of this well needing to supply over the 1,000 gpm if other wells in the system were to fail prevented this option to be considered. Press Line This application involved the use of a VFD to control a 50 hp motor that drives a US Veridyne alternator. This alternator provides electricity for approximately six printing press motors. These press motors must be synchronized to ensure proper press operation and speed control. Prior to installation of the VFD, the speed control consisted of an eddy-current clutch between a 60 hp drive motor and the alternator which allowed the alternator to rotate at the required speed while the motor rotated at nameplate rpm. The operator adjusts the speed of the press from a remote control station in both the pre- and post-implementation system. The estimated savings were based upon the standard percent power versus percent flow curve for typical centrifugal loads and on an estimated load profile. The operating personnel estimated that the motor operated at 62 percent speed 60 percent of the time, 51 percent speed 25 percent of the time and 34 percent speed the remaining 15 percent of the time. The equipment was estimated to operate 7,800 hours per year. The sources of error include: the fraction of time at particular loads was estimated and the percent loads were based on nameplate full-load amps
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without adjusting for actual brake-horsepower. Also, the client estimation procedure uses savings based upon centrifugal loads, whereas, this application functions on a linear relationship between speed and power. This resulted in overstating the savings potential of the application. The use of a VFD on a system such as this is unusual. A majority of these types of presses use direct current (dc) to control the synchronization of multiple motors. This type of system could also be controlled directly by one VFD to drive all six motors, rather than one motor to drive an alternator generating electricity to drive six motors. As mentioned in both earlier cases, the load profile was incorrectly estimated which led to compounding errors. The percent flow values used in the client estimation process were actually percent amperage values, which ere determined by dividing the amperage draw at a particular load level by the motor nameplate full-load amps. The determination of percent amperage values is a simple way of determining part load profiles, as long as actual full load amperage draw is known. The actual and adjusted savings values are very different because the estimation procedure is designed to estimate a centrifugal load and this application operated in a linear fashion, as shown in Figure 2. An eddy-current drive performs speed control well for centrifugal loads since the percent power to percent flow curve follows a cubic relationship. At part loads, eddy current drives are actually very inefficient, but the horsepower reductions at part loads in centrifugal systems are so small that the inefficiencies are not noticeable. For linear loads, the inefficiencies are very apparent, as seen in Figure 2. Plastic Injection Molding This application involves the use of a VFD to control an injection molding machine hydraulic pump. The actual machine tested was a 375 ton machine with a 50 hp motor. This machine is one of several in the facility that primarily manufactures PVC pipe fittings. The process of plastic injection molding utilizes hydraulic pressure to activate various portions of the process including screw rotation for injection, clamping and cooling, retraction, etc. Each of these steps requires a particular amount of pressure for a set amount of time. These various
Figure 2 Eddy Current vs. VFD Performance Curves for a Linear Loaded Device (based upon manufacturer specifications) pressures are produced with the use of a two-stage hydraulic pump and a bypass valve mechanism. When the required pressure of a particular portion of the cycle is reached, the motor continues to pump and the bypass valve routes the excess back to the holding reservoir. This produces the pressures required but is energyintensive since the pump provides a constant flow of high pressure fluid regardless of the amount actually needed. The VFD varies the flow of hydraulic fluid by varying the speed of the motor to provide the required flow at each of the stages. A tachometer relays the motor revolution information to the VFD controller to provide the proper motor speed for each of the cycle steps. The estimated savings were based upon standard percent power versus percent flow curve for typical centrifugal loads and on an estimated load profile. This load profile was based on measurements taken by the utility representative and the facility manager during portions of the various cycles. The ampere readings for each part of a cycle were correlated to the percent flow and duration to determine the
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savings potential. These values are mold and machine specific; each mold can be put on any of several of the presses, increasing the number of profile combinations. The major assumption in the estimation procedure was that the results for the mold in operation at the time of the measurements could be extrapolated throughout the year. This assumption is flawed since the molds are often changed on a weekly basis. Additionally, when a mold is moved to a machine with a different pump/motor configuration, the performance and power requirements are affected. Another error is in equating the percent flow values to the percent of full-load amps; for positive displacement pumps, the power input varies as the square of the speed or flow. Table 2 shows that the measured annual savings is about 16 percent higher than the adjusted estimate and 21 percent higher than the original savings estimate. This difference is attributable to (a) inaccuracies in the pre-implementation ampere readings, (b) the continued adjustment of the control system to perfect the speed at which each step in a cycle provides the necessary quality, and (c) the interaction of the two-stage pump working at different performance levels. The similarity of the original savings estimate to the adjusted estimate shows that the estimated pre-implementation load profile was not much different form the adjusted preimplementation profile developed from measured data. The only way to improve the reliability of the load estimates and profiles is to measure the preimplementation system to obtain an accurate load profile and accurately calculate the percent flow at these part-load points. Conclusion Variable speed drives provide an excellent method process control and energy conservation. Savings are achievable from virtually all applications where speed control and/or speed variability is necessary. The economic justification for the capital cost of the projects must be based upon sound savings information. The four projects discussed here were varied in size, scope and savings but all showed that using the correct pre and post implementation performance curves and profiles has a significant impact on the savings determination. Preimplementation monitoring should be conducted to determine the actual load profile of the equipment. Experts should also be consulted to assure the particular equipment operating performance curves are used to determine how the VFD will operate. As with most mechanical systems design, the success of the project is directly related to the quality of the information gathered prior to construction. Acknowledgments The original study and analysis was conducted by Clint Christenson, Mark Duffer, and Joseph DeManche for Energy Investment, Inc., Boston, Massachusetts.
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Chapter 40 Power Factor Benefits of High Efficiency Motors B.L. Capehart and K.D. Slack Abstract Many high efficiency motors have higher power factors than the standard motors they replace. For facilities that have power factor penalty charges, carefully choosing a high efficiency motor that also has a higher power factor can result in electric cost savings that will improve the payback time of the more costly, high efficiency motor. This paper discusses the availability of high power factor motors, and quantifies the added benefits that come from reduced power factor charges. Several examples are shown to illustrate these economic benefits. Introduction The economic and energy savings benefits of using high efficiency motors have been recognized for some time, and a number of utilities give incentives to customers for replacing standard efficiency motors with high efficiency models. Recently, it has been noted that many of these high efficiency motors also have significantly better (higher) power factors than standard efficiency motors of the same horsepower rating 1. However, to the present authors' knowledge, no one has quantified the added economic benefits of this higher power factor. Not all facilities have utility rates which impose some kind of penalty for a poor (low) power factor. But, for facilities that do pay added electric costs because of a poor power factor, the careful selection of a high efficiency motor that also has a higher power factor can provide a combination of electric savings that makes the economics of selecting that high efficiency motor even more attractive. The task of selecting a high efficiency motor with a high power factor is greatly aided by using a valuable and user-friendly tool called MotorMaster, available from the Washington State Energy Office 2. MotorMaster contains a database of over 11,000 motors, and has data on motor models, costs, efficiencies at different loads, and power factors at different loads. MotorMaster will perform a complete economic analysis to compare the replacement of a standard efficiency motor with a high efficiency motor, but the analysis does not include any power factor benefits. This paper provides a method to determine what this additional savings will be, and shows several examples of the added savings. Care must be taken in selecting a particular high efficiency motor, since data from MotorMaster shows that not all high efficiency motors have higher power factors than their standard efficiency counterparts. Using data available from motor manufacturers or from MotorMaster, motors can be selected that do produce economic benefits both from higher efficiency and from increased power factor. The purpose of this paper is twofold. First, we want to inform energy and facility managers, as well as energy analysts and consultants, that high efficiency motors can also provide power factor benefits, but these new motors should be chosen carefully because high efficiency does not necessarily mean high power factor. The second purpose of this paper is to highlight some data on the power factors of high efficiency motors from MotorMaster, and using that data, to quantify the additional economic benefits that come from these higher power factors. It is important to recognize that if a facility has no power factor penalty or cost of any kind, then there is limited economic benefit to the higher power factor motor. However, many larger commercial, manufacturing and industrial facilities do have a power factor penalty, and for these facilities, the savings on power factor charges can help further improve the cost-effectiveness of replacing a motor with the higher cost premium efficiency motor. Several examples are shown to
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demonstrate the additional cost savings from using high efficiency, high power factor motors under some typical utility rates which include power factor penalties. Utility Power Factor Charges Poor power factors are a concern for electric utilities because their equipment is all rated for a maximum kVA load instead of a maximum kW load. If a utility charged only for the real power in kW, it would not be recovering its actual costs for generation, transmission and distribution. Thus, utilities often penalize larger customers with poor power factors to compensate for their additional costs of lost capacity. A somewhat similar situation occurs in buildings and industrial facilities, where the capacity of distribution transformers, distribution panels, and wiring circuits are all rated in kVA rather than kW. Thus, it is also to the advantage of many facilities to correct their power factor to allow the greatest kW loads to be served. The traditional approach to power factor correction in facilities is to install capacitors on motors, motor circuits, fluorescent lighting circuits, and other inductive loads; or to install capacitors at the entrance of the main power lines into the facility. The cost of the capacitors is repaid through the savings from the utility penalties that would have been charged for the poor power factor. In this paper, we are proposing that the higher power factors available from many high efficiency motors be recognized, and considered as an alternative approach to helping correct power factors in facilities. The benefits from power factor improvement will increase the benefits from the higher efficiencies, and will result in an even greater cost effectiveness for the new motors. There are three principal methods by which utilities charge for a customer's poor power factor. These are: direct kVA charges; billing demand adjustments for low power factors; and charges for excess kVARs (reactive kVAs). Each of these is illustrated briefly, and will then be used in the economic analysis examples used later in this paper. Utility Rate Example One A utility has a rate structure that includes a charge of $7.02 ($6.50 plus eight percent tax) per month for each kVA of customer demand, and customers on this rate structure have a meter that reads directly in kVAs. This is the most severe power factor penalty since it penalizes any power factor less than 100%. For example, a customer with a demand of 1250 kVA, and a power factor of 80% would have a real power use of only 1000 kW. Without any power factor penalty, their monthly demand bill would be 1000 kW × $7.02/kW = $7020. With the charge by the kVA, the monthly bill would be 1250 kVA × $7.02/kVA = $8775. This represents a penalty of $1755 each month; or a 25 % increase in the demand charge because of the 80 % power factor. Utility Rate Example Two A utility has a rate structure that includes a charge of $5.00 per month for each kW of billed demand, defined as follows:
and the base power factor is 90%. For a facility with a 1000 kW peak demand and a power factor that averages 80%, the billed demand would be:
Without any power factor penalty, the monthly demand bill would be 1000 kW × $5.00/kW = $5000. With the charge for the billed demand, the monthly bill would be 1125 kW × $5.00/kW = $5625. This represents a penalty of $625 each month; or a 12.5 % increase in the demand charge because of the 80% power factor. Utility Rate Example Three A utility has a rate structure that includes a charge of $5.00 per month for each kW of demand, and a charge of $0.75 per month for each kVAR in excess of 60% of the kW demand for that month. For a facility with a 1000 kW peak demand and an average power factor of 80%, the utility calculates the reactive power use as 750 kVAR. The excess kVARs are then found from 750 - 0.6 × 1000 = 150. Without any power factor penalty, the monthly demand bill would be 1000 kW × $5.00/kW = $5000. With the charge for the excess kVARs, the monthly bill would be $5000 + $0.75/kVAR × 150 kVAR = $5112.50. This is a penalty of $112.50 each month, or a 2.3% increase in the demand charge. These examples show that the economic penalty from poor power factor varies tremendously depending on the particular utility rate structure. Billing on kVA is by far the most severe penalty, and offers the most incentive for correcting facility power factors. These three example rate structures will be used to evaluate the benefit of using the higher power factors of high efficiency motors since they accomplish the same purpose as installing power factor correction capacitors, but do not require an additional expenditure for that benefit.
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Data from Motormaster A study of the MotorMaster database was performed by taking a sample of ten high efficiency motors and ten standard efficiency motors for each horsepower rating. The efficiency and power factor were recorded for load factors of 100%, 75%, 50% and 25%. We concluded from the data that not all high efficiency motors have a higher power factor at the same load factor than the same size standard efficiency motor. However, with careful selection, a high efficiency motor can be found that will also have a higher power factor than its standard efficiency counterpart. Table 1 is a sample of commonplace motors found in buildings, manufacturing, and industry. It lists the average power factor ratings of standard efficiency motors and the power factor ratings of specific high efficiency motors that can be purchased for an additional cost, or cost premium. As a side issue, it should be noted from Table 1 that the power factors of all the motors deteriorate markedly at load factors of 50% and especially at load factors of 25% -regardless of whether the motors are standard efficiency or high efficiency. The conclusion from this data should be that it is not cost effective to run motors at very low load factors. If a 100 hp motor is being operated at a 25% load factor, it should be replaced with a 25 hp or a 30 hp motor. Efficiencies often peak at 75% load factor, so it is not a bad idea to somewhat oversize a motor. TABLE 1 MOTOR POWER FACTORS 1 HP Load Standard Motor Power Factor Premium Motor Power Factor RatingFactor (%) (%) 5 100 % 75% 50% 25 % 10 100% 75% 50% 25% 20 100% 75% 50% 25 % 50 100% 75% 50% 25% 100 100 % 75 % 50% 25%
82.4 77.6 68.7 47.7 83.2 80.2 71.4 50.9 85.8% 83.0 75.9 57.6 87.9 85.8 80.3 61.0 87.2 85.1 79.0 59.9
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84.1 80.2 71.4 50.1 86.3 83.6 77.0 75 % 88.1 87.0 83.3 69.2 89.9 87.4 81.1 61.9 90.5 89.1 84.4 68.0
Cost Premium ($) 69
111
186
469
887
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Power Factor Improvements The reactive power is the cause of excess kVA loading for a given kW load. When a motor is replaced with a higher power factor motor, the kVARs are reduced, and the kVA requirement for that motor will be less. The apparent power reduction (APR) in kVAs realized from a high efficiency motor is calculated as:
where N = number of motors of a given size HP = horsepower LF = load factor C = conversion factor, 0.746 KW/hp EFFs = efficiency of high efficiency motor EFFp = efficiency of standard efficiency motor PFs = power factor of standard efficiency motor PFp = power factor of premium efficiency motor Because the power factor and efficiency of a motor vary with the load of the motor, the apparent power reduction must be calculated with the power factor and efficiency ratings at the given load factor. With a higher power factor, a motor requires less total current for an equal amount of work. Motor power factors begin to erode as motor operation drops below 75% of rated load and decline sharply below 50% of rated load 1. The reactive power reduction (RPR) in kVARs is determined using the following formula.
The apparent power reduction and reactive power reduction calculations include the energy savings from the improved efficiency of the motor and the savings from the improved power factor. Economic Benefits of High Power Factor Motors Manufacturers typically price their products according to the efficiency of the motor. Often the particular design of a motor will lead to a high power factor rating. Consequently, there is often little or no difference in the cost of a high power factor motor and a lower power factor motor of the same horsepower. When replacing a failed motor, the cost-effectiveness of purchasing the more expensive high efficiency motor will increase if the new motor has a high power factor. In the following example, we compare two 25 hp motors: one high efficiency and one standard efficiency model that each run 4,380 hours per year. The rate structure for this example is $7.02/kVA/mo and $0.05/kWH. We assume that the motors operate with a load factor of 75%, and are rated at 460 volts and 1800 rpm. Motor A: Standard Efficiency 1. Efficiency at rated load = 0.880 2. Power factor at rated load - 0.803 3. List Price = $1,984 Motor B: Premium Efficiency 1. Efficiency at rated load = 0.944 2. Power factor at rated load = 0.867 3. List Price = $2,198 The standard analysis examines efficiency only, and finds the demand reduction and energy reduction due to the increased efficiency. If Motor B is chosen instead of Motor A, the real demand reduction is 1.07 kW, found as follows:
The demand cost reduction is found as:
The energy savings would be:
The energy cost savings due to the improved efficiency is:
The total savings from the high efficiency motor is then the sum of these two components, or $90.14 + $234.35 = $324.49. The additional investment, or cost premium, of $214 for Motor B will pay for itself in 7.9 months. This Simple Payback Period, or SPP, is found as:
Using the method suggested in this paper which includes the savings from the improved power factor, we can find
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the additional savings from the power factor improvement. The load of Motor A is:
The load of Motor B is:
The apparent power reduction is 19.79- 17.09 = 2.7 kVA. (Alternatively, we could have calculated the apparent power reduction using the formula stated in the previous section.) Thus, the total demand savings from the high efficiency motor under the kVA billing example is:
This represents an additional savings of $137.31 ($227.45 -$90.14) from the first case where only the real power savings in kW was examined. The total energy cost savings from installing Motor B instead of Motor A is $227.45 + $234.35 = $461.90/yr. This makes the additional investment an extremely attractive option as the expected investment recovery time - or Simple Payback Period (SPP) - is now 5.6 months A Comparison of Economics Under Three Different Rate Structures The economic benefits of using high efficiency motors with high power factors are significantly affected by the particular utility rate for a facility. The purpose of this section is to provide a realistic example of a group of motors from a typical manufacturing facility, and to perform an economic analysis of the benefits from using motors that have high power factors, using the three different example utility rates described previously. Consider an aluminum fabrication plant with 400 employees that runs on three shifts for a total of 8,760 hours per year. The company spent 1.1 million dollars in electric energy bills last year. Among other energy consuming equipment, the plant uses numerous motors to drive process related equipment such as shell presses and compound presses. A list of these motors can be found in Table 2. This table summarizes the calculations for the power factor cost savings for each rate structure: kVA billing; billed demand calculation; and excess kVAR billing. The utility company charges the facility an average cost of electricity without demand of $0.05/kWH. The following three utility rates were used in the economic analysis of demand cost savings. Utility Rate One: Utility Rate Two: Utility Rate Three:
$7.02/kVA $5.00/kW (billed demand) $5.00/kW plus $0.75 for excess kVAR above 60% of real demand
In the economic analysis of replacing motors, the implementation cost is the cost premium for the high efficiency motors, or the difference in the cost between the high efficiency motor and the standard motor. The total cost premium (or implementation cost) for replacing the motors at this facility was estimated as $28,560. The efficiency cost savings (ECS) is the energy cost savings due only to the improved efficiency of the motors while the total cost savings (TCS) is the energy cost savings realized from both the higher power factor and the higher efficiency rating. In Table 2, the subscripts 1, 2 and 3 on the energy cost savings and the total cost savings correspond to the savings resulting from the three utility rates examined. The power factor cost savings is the difference between the total cost savings and the efficiency cost savings. The first rate structure is the most beneficial for power factor improvements because the utility company penalizes its customers for any power factor less than 100%. The savings and simple payback periods for the three example rate structures are shown in Table 3. Although the operating hours of the motor will affect the size of the energy cost savings from high efficiency motors, the cost savings from the higher power factor is not a function of motor run time. In some cases, the savings from this improvement can justify the purchase of a higher cost premium motor on the merit of power factor savings alone. Thus, the improved cost effectiveness of replacing standard motors with high efficiency motors which have high power factors should provide additional incentive to companies to implement this energy efficiency measure. Conclusion In this paper, we have demonstrated that careful selection of high efficiency replacement motors can result in power factor improvement. For facilities with power factor penalties in their utility rate, there are significant economic benefits from these improved power factors. The MotorMaster database provides the comparison data needed to most cost-effectively select a new high efficiency motor. Energy managers at this type of facility should incorporate power factor savings into their economic analyses of high efficiency motors, and when they do, this will reduce the payback time for the increased investment in the new high efficiency motors they recommend.
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Acknowledgement The authors would like to acknowledge the contribution of Mr. Brian J. Green, graduate research assistant at the University of Florida Energy Analysis & Diagnostic Center, who first suggested that we should quantify the additional economic benefits from high efficiency, high power factor motors. References 1 Benefiting from High-Efficiency Motors, Richard Cole, Terry E. Thome, Engineer's Digest, August, 1994. 2 MotorMaster Electric Motor Selection Software, Version 2.2, Washington State Energy Office, Olympia, WA, January, 1995. 3 The Contribution of Energy Efficient Motors to Demand and Energy Savings in the Petrochemical Industry, Pragasen Pillay, Kelli Fendley, University of New Orleans, IEEE Transactions on Power Systems, May 1995. 4 Specifying Premium-Efficiency Motors Transcends Standard Motor Design, John W. Tencza, Charles M. Billmyer, Consulting-Specifying Engineer, December, 1993. TABLE 2 HIGH EFFICIENCY MOTOR SAVINGS FOR A COMPANY UNDER THREE DIFFERENT RATE STRUCTURES N HP LF EFFs EFFp PFs PFp kWs kWp kWsv APR RPR ECS1 ($) ECS2 ($) ECS3 ($) TCS1 ($) TCS2 ($) 4 1000.8 0.919 0.950 0.789 0.851 259.8 251.3 8.50 34.0 47.2 4,439 4,233 4,233 6,587 5,558 57 7.5 0.4 0.846 0.902 0.643 0.688 150.8 141.4 9.40 29.0 30.5 4,909 4,681 4,681 6,560 5,683 43 5 0.5 0.839 0.890 0.654 0.710 95.6 90.1 5.50 19.3 21.2 2,872 2,739 2,739 4,035 3,450 12 15 0.6 0.875 0.916 0.705 0.775 92.1 88.0 4.10 17.1 20.9 2,141 2,042 2,042 3,236 2,719 14 2 0.6 0.791 0.864 0.558 0.612 15.8 14.5 1.30 4.6 4.8 679 647 647 957 819 13 40 0.6 0.908 0.934 0.764 0.797 256.3 249.2 7.10 22.8 27.6 3,708 3,536 3,536 5,030 4,341 2 60 0.8 0.916 0.940 0.769 0.804 78.2 76.2 2.00 6.9 8.7 1,044 996 996 1,457 1,249 5 10 0.4 0.864 0.910 0.588 0.640 17.3 16.4 0.90 3.8 4.1 470 448 448 714 599 2 1.5 0.4 0.780 0.852 0.642 0.686 1.1 1.1 0.00 0.1 0.2 0 0 0 8 6 2 20 0.4 0.886 0.923 0.497 0.546 13.5 12.9 0.60 3.5 3.78 313 299 299 558 454 Totals 980.5 941.1 39.40 141.1 169 20,576 19,623 19,624 29,143 24,880
TCS3 ($) 4,612 4,905 2,900 2,208 683 3,746 1,063 480 1 330 20,931
TABLE 3 COMPARISON OF SAVINGS UNDER THREE UTILITY RATE STRUCTURES Utility Rate #1 Utility Rate #2 Utility Rate #3 Efficiency Cost Savings $20,576 $19,623 $19,624 Power Factor Cost Savings $8,567 $5,257 $1,307 Total Cost Savings $29,143 $24,880 $20,931 Increase in Savings Due to Power Factor Savings 41.6 26.8 6.7 % % % Overall Simple Payback Period 0.96 yrs 1.1 yrs 1.4 yrs
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Chapter 41 Cost Effective Conversion of Fort Trucks To Compressed Natural Gas L.J. Fields and S. Wharton Abstract The U.S. Congress passed the Energy Policy Act on October 8, 1992. This act created new market opportunities for natural gas vehicles and alternative fuels. This bill has led to successful research and development of compressed natural gas (CNG) vehicles. This report details the environmental and capital benefits as well as estimated capital expenditures involved in converting fork trucks that are propelled by gasoline or propane to CNG. Cost of Converting Propane Or Gasoline To Natural Gas Driven Forklift Trucks: The first cost associated with convening from gasoline or propane to natural gas fueled forklift trucks is the conversion cost. There are many manufacturers across the U.S. that produce the necessary conversion kits, however, the components and costs are similar. For this reason, we have used figures based on one of these conversion kit manufacturers. The conversion cost depends on the size of the kit needed and this cost is site and job specific. One manufacturer states that three basic versions of their conversion kits fit 95% of the common lift tracks that in the market 1. In our example, 3000 lb/lift trucks will be used. These trucks are among the most common in industry and therefore they are in this 95% range. The conversion kit takes approximately 1 hour to install 2. These conversions also do not void or diminish vehicle warranty 1. The conversion module is bolted on top of the lift truck counterweight, and hoses for 1/4'' psig natural gas, engine coolant, and engine manifold vacuum are connected to the engine. The truck uses a 15'' X 32" tank which holds the equivalence of 5.6 gallons of gasoline or 32 lbs. of propane 1. The conversion kit is estimated to cost $2,000/vehicle. The other cost associated with converting from gasoline or propane to natural gas driven forklift trucks is the refueling station cost. The refueling station cost depends on the basic set-up and cost of a particular manufacturer. In our example the refueling station is comprised of two components: fuel-makers and a fill-fast dispenser. Figure 1. Natural Gas Flow Diagram shows the flow of natural gas from the supply company through the refueling station to the forklift truck.
Figure 1. Natural Gas Flow Diagram
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If the natural gas pressure received by the supply company is greater than 2 lbs., it has to be regulated down to at most 2 lbs 2. The deregulated gas is then compressed by the fuel-maker to 3000 psig. A fuel-maker can compress up to a 1 gallon gasoline equivalent per hour 2. One fuel-maker is estimated to cost $4,000. The fill-fast dispenser can fill a forklift truck in approximately 3-4 minutes 2. The fill-fast dispenser costs approximately $7,000. The dispenser can hold up to 25 gallons gasoline equivalent of natural gas. Therefore, the refueling station cost will be determined by: I. The number of fuel-makers needed which is determined by: A. The number of sifts/day used to determine the amount of downtime available to refill the lift trucks. B. The number of refills/lift truck/shift which depends on the rate of fuel consumption of fuel. C. The size of the fleet of fork trucks. II. The number of fill-fast dispensers needed which is determined by: A. The arrival rate of lift trucks to the fast-fill dispenser. This means that if a company cannot afford to have a lift truck sitting idle and they expect to have a queue at a single fill-fast dispenser then they will have to purchase additional fast-fill dispensers to eliminate any queues. An economic analysis will be performed using several different scenarios which take into account the different variables that determine the refueling station cost. Why Covert To Natural Gas Before we go into the economic analysis, we will discuss some of the reasons why a company might want to investigate the feasibility of converting from gasoline or propane to natural gas driven forklift trucks. CNG is the same fuel you use at home, office and factory, except it is highly compressed to facilitate storage. It has four important advantages over other transportation fuels: it is clean, inexpensive, abundant, and safe to use. CNG Is Clean Natural gas is the cleanest-burning fossil fuel available, usually exceeding current OSHA indoor air quality standards i.e. OSHA's Air Contaminant Standard (1910.1000 of 29 CFR) 3. CNG is also environmentally cleaner than other liquid fuels. Since CNG uses a closed-loop, sealed fueling system, it eliminates corrosive and toxic hydrocarbons associated with refueling open fuel tanks 1. Using CNG will reduce emissions of toxic carbon monoxide by 90%, exhaust hydrocarbons (smog) by 50%, and carbon dioxide (a "greenhouse" gas) by up to 30%, as compared to using other transportation fuels 3 4. With an octane level of 130, natural gas bums more completely than other fuels 2. CNG powered forklift trucks meet all current and scheduled U.S. new vehicle emission standards 1. CNG Is Inexpensive CNG Vs. Gasoline and Propane CNG costs about 30% to 50% less per gasoline equivalent gallon than gasoline or propane 1. Since CNG burns much cleaner, there are impressive operating savings due to fewer oil changes and tune-ups. Engine life may be increased and maintenance intervals extended because natural gas is less corrosive than other fuels and does not contaminate or dilute engine oil 3. Another cost advantage of CNG is that rates are stable, not fluctuating with daily supply and demand like other fuels. In addition, upfront costs are reduced since you pay only for what you actually use. CNG Vs. Electricity Existing electric forklift trucks that are being utilized can not be convened, however, we believe comparing the two alternatives is essential. CNG costs 50-70% less than electricity, partly due to the inefficient charging and discharging of batteries 1: Maintenance costs of CNG fueled forklift trucks are much less than an electric forklift truck. The reason for this is that some batteries like lead acid batteries must be recycled as mandated by law. In addition to cost advantages for CNG, a refueling station that we have been describing costs less to maintain than a battery charging room 1.
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CNG Is Abundant Natural gas is in great supply in the U.S., and we produce about 93% of what we now use 1. Natural gas is readily available on-site, 24 hours a day at businesses throughout North America 2. The American Gas Association (AGA) estimates that we have, in the lower 48 states, a 200-year supply 1. Even if all new fleet vehicles purchased annually (about 1.7 million) used CNG, they would only consume about 1% of the U.S. annual gas production 1. The use of domestic natural gas as a vehicle fuel directly reduces our reliance on imported petroleum products. CNG Is Safe CNG is a very safe fuel. Tanks are strong and puncture resistant, other components are well guarded, and fueling is simple. These tanks undergo extensive safety tests and have proven to be much safer than conventional gasoline tanks 3. Natural gas is lighter than air. Should a leak occur accidentally, the natural gas will simply dissipate into the atmosphere and will not form dangerous pools like liquid fuels 2. Natural gas is actually much less likely to ignite than liquid fuels. The ignition temperature of natural gas is 600 °F higher than gasoline and 300 °F than propane, decreasing its risk of accidental combustion 3. In addition, the fuel/air mixture must be within a narrow range of 5-15% gas 1. One final advantage to natural gas is its distinct odor, making it easy to detect a leak without the aid of special equipment. CNG Conversion Economic Analysis: The economic analysis below is an example to illustrate how the numbers are calculated in the first column of Table 1. These alternatives determine if the conversion to natural gas forklifts is economically feasible when the number of forklifts increases and when the number of shifts increases from 1 to 3 shifts. The data used for the first row in Table 1 assumes a company uses 1 forklift, 250 days/year, and 11.2 gallons of natural gas per day per forklift. The example analysis below demonstrates how all the numbers are calculated in the first row of this table.
Calculations of Gas Cost Per Gallon: The first thing that should be mentioned is the fact that the prices/gallon for the three different fuels: gasoline, propane, and natural gas are all Oklahoma based prices. Central Propane of Stillwater, Oklahoma was contacted to determine the S/gallon for propane. They quoted us a price of $1.18/gallon. However, this is if the company brings the tanks to them to be recharged. Many times the company that uses the propane is responsible for the refilling process. Therefore, when you include the time it takes to remove the tanks, labor, and maintenance, then the price is estimated to be $1.50/gallon. This is the price/gallon we used for all the spreadsheets. Due to the fluctuating gasoline prices, we estimated the cost of gasoline to be $1.10/gallon. The cost of natural gas/gallon was estimated to be $2.51/MCF. This figure was based on the average expenditure per MCF for a company that was just audited. This average cost of $2.51 was possible 1 Calculated from the Gasoline Equivalent Cost Calculation on the next page.
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because the gas was purchased on the spot market. Mike Simmons, from Oklahoma Natural Gas (ONG), said that cost was for last year. He said that now the average cost per MCF on the spot market is around $1.50/MCF. Since Oklahoma has such an abundance of natural gas, the price per MCF is, on average, one of the most competitive prices on the spot market. Therefore, we are going to use $2.51/MCF to be on the safe side. We got the gasoline equivalent cost by using the following formula:
Summary If a company is examining the conversion from propane or gasoline to compressed natural gas in their forklift trucks, financial reward should not be the determining factor. The benefits of CNG are numerous; CNG is clean, inexpensive, abundant, and safe to use. In addition to all of these tangible and intangible benefits, there is a very good payback. The payback increases as the number of shifts increase and the number of forklift trucks in use increase. All the financial results, comparing CNG to propane and gasoline, can be found in Tables 1-6. References 1 Forkittm CNG conversion kit, National Energy Service Company, 1993 2 Technicaltm brochure from Fuelmaker, Inc., 1994 3 Loehrke, Jeff, tm Off Road Natural Gas Vehicles, Ohio Gas Company, 1992 4 Telephone correspondence with Mike Simmons of ONG, June 9 - 10, 1995 5 Customer Connection, Consolidated Natural Gas Company, 1992
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Chapter 42 The Oak Ridge National Laboratory and the New Technology Demonstration Program G.E. Courville and P.W. Adcock Abstract The Oak Ridge National Laboratory is one of four National Labs implementing the Federal Energy Management Program's New Technology Demonstration Program for the Department of Energy. The Oak Ridge National Laboratory has an extensive history of working on energy-related projects in both the public and private domain. Work on this program is intended to bring the strength of the Oak Ridge National Laboratory technology development abilities and unique facilities to bear on the technical challenges associated with evaluating energy efficient technologies. This paper describes some energy-related experiences at the Oak Ridge National Laboratory and the New Technology Demonstration Program at the Lab. The five technologies that the Lab is supporting in this Program are introduced. One of the technologies being evaluated, a retrofit system for rooftop units, is described in detail. Oak Ridge National Laboratory The Oak Ridge National Laboratory (ORNL) is managed by Lockheed Martin Energy Systems, Inc., for the U.S. Department of Energy (DOE). The primary mission of the Laboratory is to perform leading edge Research and Development (R&D) in support of the nonweapons roles of DOE and to work in partnership with manufacturers and industry to strengthen the nation's competitive edge. Especially important elements of ORNL's mission are to perform basic and applied research, to provide the scientific and technical community technical expertise in the areas of research and development integration, technology development and transfer, and, through contributions to the national initiative, to improve science and math education. Laboratory Missions ORNL's programs are roughly divided between applied energy technologies and basic sciences. The Laboratory accomplishes its missions by utilizing a staff of 5000 personnel, including some 1500 scientists and engineers. Every year, ORNL hosts more than 27,000 visitors, including 4400 guest researchers and students. A common theme uniting the Laboratory's diverse disciplines is energy: better ways to produce it, conserve it, efficiently use it, harness it, and measure its effect on life and the environment. Energy Technologies The Laboratory conducts applied R&D in several key technologies. The user facilities and various research laboratories provide a platform, in partnership with scientists and engineers from universities and industry, to conduct sophisticated research, analysis, and evaluation. Energy efficiency R& D seeks more efficient ways to use energy: better building "envelopes," advanced heating and cooling systems, more efficient electrical distribution equipment, strong new ceramics for high-temperature engines, and other energy-related developments. Renewable energy sources include fast-growing biomass, or energy crops, which can be converted to liquid or gaseous fuels. The fission program concentrates on improving nuclear power plants through better control systems, tougher materials, and inherently safe designs
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and fuels for a new generation of modular reactors. Magnetic fusion seeks to harness the power of the stars to supply clean, unlimited power for the future. Finally, fossil energy research explores way to tap coal, our most abundant fossil energy source, in ways that are efficient and environmentally sound. Life Sciences and Waste R&D ORNL researchers probe the processes, both microscopic and planetary in scale, that sustain the balance of life, (from unlocking the mysteries of DNA to modeling global climate change). ORNL researchers are also devising high-tech ways to manage the world's growing wastes; one innovative technique uses bacteria to digest contaminants in groundwater. Basic Research Underpinning the Laboratory's applied R&D in these and other fields is a strong tradition of fundamental science. Areas of experimental and theoretical research include physics (nuclear, atomic, and solid-state), chemistry, materials science, mathematics, and computer science. Energy Division One of 17 research divisions at ORNL, the Energy Division's mission is to provide innovative solutions to energy and related issues of national and global importance through interdisciplinary R&D. The Energy Division is committed to: developing and transferring energy-efficient technologies, understanding the mechanisms by which societies make choices in energy use, improving society's understanding of the environmental, social, and economic implications of technology change, improving transportation policy and planning, enhancing basic knowledge in the social sciences as related to energy and associated issues, and providing a unique climate that allows engineers, physicists, environmental scientists, and social scientists to address major societal problems and to develop professionally in their respective disciplines. The division's programmatic activities are embodied in three key areas: 1) energy use and delivery technologies, 2) energy and environmental analysis, and 3) transportation systems. Energy use and delivery technologies focus on electric power systems, building equipment, building envelopes (walls, foundations, roofs, attics, and materials), and methods to improve energy efficiency in existing buildings. Analysis activities involve energy and resource analysis, preparation of environmental assessment and impact statements, research on emergency preparedness, transportation analysis, and analysis of energy and environmental needs in developing countries. Transportation system research is conducted both to improve the quality of civilian transportation and for sponsors within the U.S. military to improve the efficiency of deployment, scheduling, and transportation coordination. Energy Division's Buildings Technology Center In 1993, the Energy Division established the Buildings Technology Center (BTC), a DOE national user facility, to more aggressively promote integration of building technologies and industry partnerships. The Buildings Technology Center provides the U.S. buildings industry with broad access to a unique collection of testing and analysis capabilities at ORNL. The special focus of these capabilities is building energy efficiency improvements. The BTC makes available ORNL expertise on building envelopes; heating, cooling, and refrigeration equipment; and existing buildings performance monitoring and analysis. The BTC consists of the Envelope Research Center, the Heating and Cooling Technology Center, and the Existing Buildings Center. The Energy Division has demonstrated experience related to each of the three centers within the BTC: The Envelope Research Center: Identified the in situ thermal performance of different types of attic, wall, and foundation insulation. Developed decision guides for roof construction, including cost effectiveness of roof color and slope. Determined the performance characteristics of foam insulation with chlorofluorocarbon (CFC) alternatives. Found significant heat losses from convection in low-density loose-fill insulation in attics during the heating season and identified cures. The Heating and Cooling Technology Center Performed laboratory and field evaluations of high-efficiency electric and gas heat pumps. Designed and tested modifications to refrigerator-freezers that improve energy efficiency and eliminate CFC refrigerants. Conducted technical assessments for cogeneration and central heating plant options to improve energy efficiency. Assessed the global warming impact of CFC alternatives.
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The Existing Buildings Center Developed and field tested energy diagnostic procedures for residential and small commercial buildings. Developed and field tested PC-based energy audits for single-family homes. Provided field training on diagnostic inspection methods for weatherization and rehabilitation agencies. Industry can access the BTC in several ways. User Agreements allow users to work on their projects alongside BTC staff. Cooperative Research and Development Agreements (CRADAs) give companies the opportunity to seek DOE co-funding for their projects. Work For Others Agreements allow the BTC to carry out proprietary research for full cost recovery. The most appropriate arrangement for a project can be determined by contacting the BTC facility manager. All projects are subject to the condition that they be consistent with or give priority to the BTC's primary mission: to support DOE research on energy-efficient buildings. New Technology Demonstration Program at ORNL The DOE has utilized personnel that work in the BTC User Facility to support the National Technology Demonstration Program (NTDP) for the Federal Energy Management Program (FEMP). The mission of the DOE's FEMP is to work with the National Laboratories, industry, utilities, and federal facilities to reduce the cost of government by advancing energy efficiency, renewable energy, and water conservation. It does this by creating partnerships, leveraging resources, transferring technology, and providing training and support. The FEMP provides assistance to federal facilities in meeting the goal of using 30% less energy in Federal Facilities in 2005 than used in 1985. The NTDP is a mechanism by which the FEMP can: provide technical assistance for identifying projects, provide means of leveraging Federal and private sector investments, provide the technical support necessary to successfully implement the projects, and assist in the transfer of knowledge about successful projects to encourage others to achieve additional progress toward the goals. Through the FEMP NTDP, a technology is applied at a federal site and its performance evaluated. Technologies that demonstrate energy and environmental benefits in a cost effective manner are then showcased and emphasized for additional wide-spread federal applications. Another aspect of the FEMP involves technologies for which extensive private-sector and some federal sector performance data are available. These technologies are more likely to be featured in a Federal Technology Alert (FTA), a FEMP publication on the energy and cost savings potential for products by technology type. ORNL supports the NTDP through work on 5 technologies: a Small Commercial Hydronic Boiler/Water Heater, a Large Industrial Steam Boiler, Insulating Liquid Coatings, Commercial Size Heat Pump Water Heaters, and a Retrofit System for Rooftop Units. Hydronic Boiler/Water Heater This Hydronic Boiler/Water Heater marries a condensing heat exchanger design with a modulating combustion system that incorporates proportional integral derivative temperature controls. This technology was submitted to the NTDP by AERCO International, Inc. The electronic control system matches the firing rate to the system load, to achieve a 14 to I turndown ratio (from 1,000,000 BTU to 70,000 BTU). This virtually eliminates cycling losses. The hydronic boiler/water heaters incorporate the features of condensing, modulation, and tight temperature control to maximize performance. The modulating/condensing design gives the unit an inverse efficiency curve. As the load decreases, the efficiency increases. Thermal efficiencies of the hydronic boiler/water heaters are similar to conventional units at full load, however offer the added benefit of increased efficiencies at lower loads because of increased condensation due to more heat exchanger surface available relative to load. The hydronic boiler/water heater is the only one in its size range that modulates heat input to match the load. ORNL is working with industry to prepare an FTA on this technology. Industrial Steam Boiler This Industrial Steam Boiler is an advanced natural-gas-fired boiler for industrial use. The boiler is a combination watertube/firetube design and incorporates a unique cyclonic burner concept developed with funding by the Gas Research Institute. This technology was submitted to the NTDP by Donlee Technologies, Inc. The boiler is suitable for applications in the range of 750 to 2500 hp. or up to 90,000 lb/hr of steam, and pressures up to 850 psig. The high fuel efficiency and high steam capacity are achieved in a compact boiler that has a reduced space requirement and lower installation costs. The cyclonic operation of the burner causes excellent mixing of combustion air and fuel gas and high convective heat
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transfer. As a result, the unit offers quick start-up (30 minutes from a cold start compared to 3 hours for a conventional unit), good response to load changes, and low emissions of carbon monoxide and nitrogen oxides (15 to 40 ppm compared to 40 to 100 ppm for a conventional unit). The operating efficiency of this unit is high (80% minimum at high fire and an increased efficiency with turndown, compared to 78% at high fire and decreased efficiency with turndown for a conventional unit). ORNL is coordinating a demonstration project on this technology. Commercial Heat Pump Water Heaters Heat pump water heaters have been successfully applied to commercial facilities such as laundries, restaurants, hospitals, hotels, apartment buildings, and health clubs, for a number of years in some areas of the United States. This technology was submitted to the NTDP by Hawaiian Electric Company, Inc. Heat pump water heaters can be located outdoors or indoors. When operated indoors, the heat pump provides the added benefit of air-conditioning (cooling) the surrounding air. Energy savings are achieved by heat pump refrigeration technology: low grade heat extracted from air is boosted in temperature by a compressor and transferred to water. Colmac, a vendor referred to in the NTDP solicitation, produces heat pump water heaters that achieve a Coefficient of Performance (COP) of approximately 3 to 4. COPs for electric resistance heaters are typically between 0.85 and 0.95, while natural gas heating COPs are typically between 0.5 and 0.75. Applied correctly, this efficiency advantage when using heat pump water heaters means a good economic return by reducing energy operating costs, and a good environmental return by conserving fossil fuels, and reducing Global Warming. ORNL is working with industry to prepare an FTA on this technology. Insulating Liquid Coatings This technology is an insulation which comes in liquid form, available in regular and fireproof formulation. It is widely used as a rooftop insulation, but performs extremely well on piping, air distribution systems, exposed water pipes, oxygen and steam lines, water tanks, and so on. This technology was submitted to the NTDP by ThermShield International, Ltd. This insulation is a mixture of various silicas and ceramic beads immersed in a high quality latex base with acrylic binders. This combination of materials makes the product lightweight and pliable, so that it expands and contracts with the surface to which it is applied. One benefit of reflective roof/pipe coatings is to increase the reflectance of existing surfaces, thereby decreasing the radiation heat exchange between the surface and its surroundings. A secondary effect is the ability to insulate the underlying surface somewhat from convective heat transfer with its surroundings. Additional benefits can be that the reflective coatings can waterproof the surface against leaks, prevent corrosion or rusting of metals and protect surfaces from atmospheric contamination. In an effort to quantify these benefits, ORNL is coordinating a demonstration project on this technology. A Retrofit System for Rooftop Units A significant fraction of the floorspace in commercial and Federal buildings is cooled by single-package rooftop air conditioning units. These units, typically located on flat roofs, usually operate during the day under hot conditions. Consequently, their energy efficiency, as compared with a chiller system for building cooling, is generally much lower. A retrofit system has been developed whereby inefficient rooftop units can be retrofitted with an ice storage/chiller system for improved performance and minimal use of on-peak electricity. Since the system substitutes an efficient chiller operating at night (off-peak) for rooftop units, the overall efficiency of the retrofit system is higher than for a packaged, conventional rooftop system. This technology was submitted to the NTDP by Calmac Manufacturing Corporation. In this retrofit system, existing rooftop evaporator coils are adapted to use ethylene glycol from a chiller. The chiller operates at night to make ice in the tank, and during the day, building cooling may be provided by melting ice alone, or in a partial storage mode, to supplement cooling from the chiller. The flexibility in the system makes it particularly attractive as an efficient means for reducing on-peak electric demand. An additional benefit includes the reduction in maintenance costs associated with the retrofit system when compared to the old rooftop units. The Rooftop Retrofit Demonstration Project Based on significant manufacturer participation and the potential for energy savings by retrofitting rooftop units, ORNL is conducting an evaluation/demonstration of this technology. The retrofit system consists of a chiller, an ice storage tank, and one or more rooftop units which have been retrofitted appropriately. Figure I is a photo of the retrofit system installed outside of Building 2518 at ORNL. The ice storage tank contains a number of coils of heat exchanger tubing through which a solution of ethylene glycol passes. Water fills the tank and surrounds the tubing so that as cold ethylene glycol from the chiller
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Figure 1. The Rooftop Retrofit System Installed Near Building 2518 at ORNL. passes through the coils, ice is formed around the tubing. The ice storage process continues until most of the water in the tank has frozen at which point the chiller is turned off and the tank is considered fully ''charged.'' About 190 ton-hours (about 16,000 lbs of ice) of cooling will have been stored ready to meet the cooling demand of the building. During the discharge process, warm ethylene glycol is circulated through the coils in the tank where it is cooled by the melting ice, and then the cooled ethylene glycol is circulated to the coils inside the rooftop units to provide cooling to the building. The ice storage component decouples the cooling demand of the building from the operation of the chiller. In this way, the chiller can operate at night (cooler, more efficient condensing temperatures) to meet a daytime cooling demand. This flexibility permits a smaller chiller to satisfy a larger peak cooling load. Further, the system can be operated to shift the cooling demand to off-peak hours when electricity from the utility is generated more efficiently and at lower cost. As part of the retrofit, the existing packaged rooftop units remain in place, and the following changes are made: 1. The refrigerant and oil are removed from the system; 2. The rooftop evaporators are repiped to accept a low temperature ethylene glycol solution as the coolant; 3. An air-cooled chiller and ice storage tank is located on a pad adjacent to the building (or on the roof if conditions permit); 4. The existing, altered evaporators are connected to a common manifold which is located along the roof; 5. The manifold is connected to the new chiller and ice storage tank; and 6. Controls are added to operate the chiller at night to make ice, and to control chiller operation during the day to provide building cooling. By retrofitting rather than replacing the existing packaged rooftop coils, no new building penetrations are needed, and no modifications to the fans or ducts are required. Zoning capabilitiesa key feature of rooftop unitsare preserved as well. Until the system retrofit, Building 2518 was cooled by five packaged rooftop units which range in age from 25 years to about 3 years. The rooftop units vary in size from 22 nominal tons to 5 tons, and the total installed
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capacity is 44 tons. The oldest units are the 22-ton, a 10-ton, and a 7.5-ton, and under the demonstration program, these units have been retrofitted. While Building 2518 is typical of a small office building, it is also unique. This building has been monitored by ORNL for more than two years to characterize its thermal performance so that the effects of any retrofit system to improve the thermal performance of the envelope itself, or the performance of HVAC components could be measured from a well-defined baseline. Further, the building has been modelled using DOE-2.1E. An intensive model calibration effort backed by measurements of building electrical energy consumption have produced close agreement (within 5%) between predicted and actual building energy consumption during the summer. These modelling efforts have supported evaluation of lighting and roof recovering retrofits which were recently completed in Building 2518 under a separate project. The fact that Building 2518 has been so carefully characterized will make evaluation of the performance of the retrofit system and prediction of similar retrofit's potential in other buildings easier to accomplish and will produce results of greater precision and confidence. Proposed Energy Savings The energy savings of the retrofit system depends on the building cooling load and the change in efficiency between the old rooftop units and the new chiller/ice tank configuration. Energy savings will come from three areas: cooling load reduction by operating at night (cooler, more efficient condensing temperatures), offpeak energy usage, and maintenance. The retrofit system replaces the three oldest rooftop units on the building (32-ton peak cooing load). The weighted average efficiency of the three units is approximately an EER of 4.9. Therefore, the new chiller is a nominal 20-ton unit. Based on the vendor data, this chiller has an EER of 8.0 under ice making conditions (EER = 10.9 as a conventional chiller). The new chiller is approximately 63% more efficient than the old rooftop units. The anticipated annual energy savings is 40,500 kWh. In areas where low off-peak electric rates are available, further operating cost savings accrue. In addition, with the retrofit system, it is anticipated that there will be approximately a 70% savings in maintenance costs. The predicted lifetime of a properly-maintained retrofit system is 20 years, the same as the lifetime of a chiller. The ice tank components are made of PVC; all components in contact with liquid are thermally insulated which protects them from UV degradation. The Demonstration Partnership Several groups have agreed to collaborate under this demonstration. Calmac has donated the ice storage tank to the project. In addition, Calmac provided the expertise and labor to retrofit the coils on three of the existing rooftop units on Building 2518. The Trane Company has donated a new, 20-ton chiller to be used on the demonstration. This air-cooled unit is comprised of dual scroll compressors which operate on refrigerant HCFC-22, and the unit has been fitted with an icemaking option (lower leaving water temperature control). Pre-installation characterization of Building 2518 was part of another demonstration project funded by the DOE Office of Building Technologies. Finally, the engineering, installation, operation and evaluation of the retrofit system is being done by ORNL under the FEMP. Through this collaboration, each partner is able to leverage their resources to gain information on the performance of the system and to demonstrate the technology. The performance of the system will be determined during the 1995 cooling system; however, the system will continue to operate to provide building cooling beyond that time. Market Potential At the present time, cool storage in commercial buildings is a $25 million industry annually. Aided by electric utility incentive programs and/or high electric demand charges, ice storage installed in larger buildings with chillers has been found to be an economic option for reducing building operating costs. Particularly in smaller buildings, rooftops offer installation simplicity, zoning ease and low first cost. However, compared with chiller systems, rooftop systems have lower efficiencies with high operating costs. Estimates show that more than half of all commercial floorspace in the Federal sector is currently cooled by rooftops. Since these buildings tend to be smaller than buildings containing chillers, the number of buildings cooled by rooftops significantly exceeds the number of buildings cooled by chillers. Under this retrofit concept. high efficiency chillers become an option to replace inefficient rooftop units for this large set of building types. By moving to chiller-based cooling, additional technologies such as gas absorption chillers, non-HCFC or non-fluorocarbon electric chillers (e.g. ammonia) can be considered. The ice storage component provides an additional advantage by allowing one to reduce the size of
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the chiller required (in this demo, a 20-ton chiller system can meet a peak load about twice as large), and/or to move the peak cooling load to off-peak hours. This system retrofit demonstration is an important step toward making federal and non-federal customers aware of this particularly opportunity for improved energy efficiency and flexibility. Potential Projects For New Technology Demonstration Program ORNL is currently working on several other technologies (including gas-fired heat pumps for heating and cooling, and advanced gas-fired commercial chillers) the NTDP may choose to highlight as their development progresses towards commercialization. References Federal Energy Management Program Business Plan, Department of Energy, February, 1995. Guidelines for Unsolicited Technology Ideas for the New Technology Demonstration Program, 1994. John J. Tomlinson and Brian M. Silvetti, Technical Description for Retrofitting Rooftop Units with Cool Storage, May 5, 1995. Institutional Plan FY1995-FY2000, Oak Ridge National Laboratory, November, 1994. Energy Division Annual Progress Report, ORNL-6813, Oak Ridge National Laboratory, July, 1994.
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Chapter 43 Identifying New Technologies That Save Energy and Reduce Costs To the Federal Sector: the New Technology Demonstration Program D.M. Hunt, D.R. Conover, M.K. Stockmeyer Abstract In the operation of over 500,000 buildings and facilities at over 8,000 sites, the Federal government is the largest consumer of energy in the United States, with annual consumption exceeding 400 trillion Btu (site energy) at a cost of $3.7 billion. In addition, the Federal government is the largest customer in the world for supplies and equipment, spending over $70 billion/year of which energy-related products account for $10-20 billion. However, many in both the public and private sectors feel that the Federal government is slow to adopt and apply new, cost effective, energy efficient, commercially proven technologies. In 1990 the New Technology Demonstration Program (formerly the Test Bed Demonstration Program) was initiated by the U.S. Department of Energy's Office (DOE's) of Federal Energy Management Programs with the purpose of accelerating the introduction of new technologies into the Federal sector. The program has since expanded into a multi-laboratory collaborative effort that evaluates new technologies and shares the results with the Federal design and procurement communities. These evaluations are performed on a collaborative basis which typically includes technology manufacturers, Federal facilities, utilities, trade associations, research institutes, and other in partnership with DOE. The end result is a range of effective technology transfer tools that provide operations and performance data on new technologies to Federal designers, building managers, and procurement officials. These tools assist in accelerating a technology's Federal application and realizing reductions in energy consumption and costs. Introduction The main objective of the New Technology Demonstration Program (the Program) is to speed that application of new, cost effective, energy efficient technologies in the Federal sector. Started in 1990, the Program recognizes that there are a number of hurdles in place that slow the acceptance of new technologies in the Federal sector. Paramount is the awareness of these new technologies by individuals that specify and purchase technologies at thousands of sites across the United States. Energy efficiency efforts on the part of the Federal government are driven by legislated and mandated energy reduction goals established in the Energy Policy Act of 1992 (Public Law 102-486) and Executive Order 12902 (Energy Efficiency and Water Conservation at Federal Facilities). Federal agencies are now tasked with reducing energy consumption by 20 percent by the year 2000 and 30 percent by the year 2005 compared to 1985 consumption levels when measured on a Btu per gross square foot basis. If these goals are to be met, Federal agencies must more quickly adopt proven technologies that are cost effective to install and efficient and reliable to operate. Further, since the efficiency or operational experience of many products entering the commercial market change over time, it is increasingly important that individuals specifying and purchasing equipment receive information that is up to date. From the perspective of the Federal facility manager, the main objective in installing any new product is to support the facility's mission. While new, more efficient and cost effective technologies continually enter the commercial marketplace, past experiences may indicate that manufacturers' claims are very different from actual performance results and/or do not fully address operations and maintenance issues. This may lead to reluctance on the part of a facility manager to consider the application of a new technology that, although proven in private sector application, is unproven in the Federal sector. Individuals making design or procurement decisions need reliable information that can lead to technology decisions that can reduce energy consumption while ensuring continued reliable facility operations. One method to bridge this gap is the transfer of information on new technologies in a timely manner
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to Federal designers and procurement officials. The New Technology Demonstration Program was created specifically to bridge this gap and spur a more rapid acceptance of new technologies in the Federal sector. The Program The Program was established by DOE in 1990. Additional funds were made available to the Program in 1993 from the Strategic Environmental Research and Development Program. Since then four technology demonstrations have been initiated, a series of technology transfer documents has been issued, an ongoing proposal (solicitation) process has been put into place, a communications program has been implemented, and a number of new technologies have been identified for evaluation by the Program in the future. The Program is managed by DOE's Office of Federal Energy Management Programs (FEMP) and involves the participation of Lawrence Berkeley Laboratory (LBL), National Renewable Energy Laboratory (NREL), Oak Ridge National Laboratory (ORNL), and Pacific Northwest Laboratory (PNL). The overall program objectives are the following: Reduce Federal sector energy costs and improve overall energy efficiency Introduce new energy efficiency technologies to the Federal sector more quickly, thereby narrowing the gap between private sector and Federal deployment rates of new technologies Create jobs in the manufacturing sector by spurring the use of new, energy efficient and environmentally beneficial technologies manufactured in the United States. When first established, the Program demonstrated selected technologies by installing and evaluating a technology at a Federal site (the I&E process). Technologies selected for I&E evaluations are those that are new to the commercial market and have very few Federal and private sector installations. In 1994, a second evaluation approach and communications method, the Federal Technology Alert (FTA), was introduced. Technologies selected for the FTA evaluation process are those that have a significant number of private sector installations from which operational data exist, but only a small number of Federal sector installations. A key aspect of the Program is the use of collaborative efforts between the Federal government and the private sector. This arrangement allows for the leveraging of limited Program funds by having the partners perform the required tasks and share the results. Cooperative Research and Development Agreements (CRADAs) are the vehicles used to formalize these working relationships. Each partner to a CRADA makes a contribution of materials or in-kind services necessary to monitor, evaluate, and/or assist in the post evaluation outreach effort. I&E Process Once a technology is selected for an I&E, the first step is to identify potential collaborative partners. These include DOE; a Federal facility to host the installation of the technology; the manufacturer(s) of the technology; the facility's servicing utility(ies); and a trade association, research institute, or other organization interested in promoting the use of the technology. The general roles and benefits to each of these participants is summarized below: DOE FEMP leads the technology demonstration effort by identifying partners, managing the overall I&E effort, monitoring the operation of the technology, and evaluating the overall performance of the technology. FEMP benefits from the Program by acquiring information on new technologies that can be shared with Federal facilities to assist in meeting energy reducing goals. A Federal site provides a suitable location for the installation of the technology, assists with installation, and provides access to the technology installation throughout the monitoring period. The Federal site benefits by realizing the energy and cost savings resulting from the installation of the technology as well as establishing itself as a leader in the Federal energy efficiency community. Technology manufacturers provide the technology and in some cases their services. In return, the manufacturer acquires actual performance monitoring and establishes a Federal track record for that particular
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technology. Performance monitoring assists the manufacturer in identifying improvement opportunities for the technology. The servicing utility assists with costs to install and monitor the technology and may help defray the cost of the technology. In addition, the utility provides technical expertise to assist in the review of the I&E monitoring plan and/or generated data. The utility benefits by the opportunity to validate the performance of a new technology that may play a role in offsetting new capacity requirements or increasing market shares. Trade association and research institutes lead in the demonstration outreach efforts which focus on sharing the results of the technology evaluations with Federal designers and procurement officials. These technology demonstrations provide these organizations an opportunity to promote new technologies, emphasize technology transfer, create partnerships with the Federal sector, and communicate technology benefits to a wide audience, something generally compatible with their mission. One component of the partnership is the Joint Statement of Work (JSOW) which outlines the activities that take place during the demonstration and the roles of each of the participants. The major activities defined by the JSOW are planning, execution, documentation, and decommissioning: Planning includes project design so the technology can be installed, necessary operating data on the technology and existing "baseline" technologies can be obtained, and the technology can be formally evaluated. Execution includes demonstration activities necessary to operate, maintain, monitor, and document the performance of the technology. Documentation includes those efforts necessary to record the project activities, evaluate the technology, and present the results. Specific areas include performance monitoring and acquisition of technology operating data and necessary "baseline" information, operation and maintenance of the technology, and the analysis of the resultant operating data. Decommissioning is the orderly shutdown of the monitoring and evaluation activities and transition of the site to non-test conditions. Should the technology not meet certain conditions of service specified in the CRADA, decommissioning can also include the technology's removal and replacement prior to project completion. A final report is developed for each I&E which presents a summary of the evaluation methodology employed and highlights information of greatest concern to the Federal facility managers: life-cycle cost effectiveness, energy efficiency, maintenance requirements, and technology reliability. These reports are distributed by the Program to Federal facility managers. In addition, workshops are conducted for each I&E where the results of the demonstration are presented. FTA Process The FTA is developed by FEMP to help speed the technology transfer process. Since technologies selected for FTAs have been installed in a significant number of private sector applications, data to evaluate the technologies are likely to be available. By using available data, the FTA process bypasses the need to form partnerships and install and monitor technologies. The result is more timely and cost effective information tailored to address concerns specific to Federal facility managers, designers, and procurement officials on applying and operating new technologies. Information provided in the FTA assists individuals at Federal facility sites in making informed decisions regarding new technologies that may not otherwise be considered owing to the lack of reliable information and analysis. Each FTA is developed with the intention of evaluating particular types of technologies and does not constitute an endorsement of the subject technologies by FEMP. Once a technology has been selected as the subject of an FTA, the technical lead at one of the collaborating DOE Labs responsible for the FTA development works with the manufacturer that originally proposed the technology. The technical lead acquires operating data on current installations as well as locations and points of contact at the installation sites.
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Manufacturers of like technologies are also contacted and invited to participate in the FTA development by providing like data on installations of their product line. The end result is a document that presents the following information: Detailed description of the technology and what the technology does Guidelines on proper applications and situations/applications where the technology is not appropriate or cost effective A summary of the technology's predicted performance and a summary of field experience A summary of energy savings and maintenance, codes and standards, and environmental impacts, as appropriate A case study that shows readers how to evaluate the technology for application at their own facilities. The final FTA is distributed to Federal facility managers, designers and procurement officials. Manufacturers that participate in the development of the FTA are encouraged to make copies of and distribute the FTA as a part of their own outreach efforts to Federal facilities. Technology Ideas Solicitations In October 1993, a technology solicitation was issued by the Program that requested manufacturers, Federal sites, utilities, trade associations and others to submit proposals for technologies to be evaluated by the Program. The solicitation listed the following criteria: Must be at least ready for the manufacturing production stage and at most not have significant applications currently in place in the Federal sector Must improve overall cost effectiveness of energy using services when evaluated using Federal life-cycle costing procedures Must have maintenance and service requirements that are not significantly more demanding than those of the presently used technology Must be a U.S. developed and manufactured technology Must have appropriate health, life safety, and emissions certifications Must have a potential for widespread application in the private and public sector markets. The solicitation requested a technology specific description including capacities, fuel(s) used, operating efficiencies, performance parameters, quantification of limitations on installation, cost to purchase and install, maintenance requirements, expected life, number of current Federal and private sector installations, and information on health, safety and emissions certifications. A total of 41 responses proposing 48 technologies were received. Technology proposals were first evaluated against the eligibility criteria listed in the solicitation. Technologies judged to satisfy these criteria were further evaluated to develop a rank ordering based on the greatest aggregate potential to benefit the Federal sector. Specifically, the Program is interested in evaluating technologies that can have the greatest impact on energy and energy costs in the Federal sector. This process yielded a total of 16 new technologies that are candidates for evaluation by the Program in 1995. A summary of these technologies is shown below: Candidate Technologies for Evaluation in 1995 I&Es: Desiccant A/C Dehumidification Heat Pipe Energy Efficient Windows HVAC Coil Cleaning Liquid Insulation Coating Low NOx Industrial Steam Boiler FTAs Full Spectrum Polarized Lighting Heat Pump Water Heaters Commercial and Residential Hydronic Boiler/Hot Water Heater LED Optics Exit Signs Liquid Refrigerant Pumping Natural Gas Fuel Cells Ozone Treatment of Cooling Tower Water Packaged HVAC System Controllers Refrigerant Oil Concentrates Refrigerant Sub-Cooling Systems
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Although the solicitation and technology selection process for fiscal year 1995 has been completed, new technology proposals may still be submitted to the Program for consideration for fiscal year 1996 and beyond on an ongoing basis. Proposals should be submitted in accordance with the procedures as noted in the "Guidelines for Unsolicited Technology Ideas for the New Technology Demonstration Program" which are available by contacting Mr. Dave Hunt, Battelle Washington Operations, 901 D Street, S.W., Suite 900, Washington, D.C. 20024-2115. Results to Date The CRADA for the first I&E technology demonstration, a natural gas engine driven rooftop air conditioner at the Naval Air Station in Willow Grove, PA, was signed May 4, 1992. Since then, three additional technology demonstrations are nearing completion and one FTA has been issued. The partners to the CRADA for the first demonstration were the Thermo King Corporation (manufacturer), Willow Grove Naval Air Station (Federal facility), Philadelphia Electric Company (servicing utility), and the American Gas Cooling Center. The first-year interim report, published in 1993, showed that the technology installation, which consisted of two 15-ton rooftop gas engine driven air conditioners, yields a net savings of more than $120,000 over the expected 15 year equipment life with a savings-to-investment ratio of 5.56. The CRADA was amended after the first cooling season to allow for monitoring the technology for one additional cooling season as the monitoring and evaluating process helped to identify operational improvements that were incorporated into the system by the manufacturer. A final report on the technology will be in September 1995. In September 1993 a second technology demonstration was initiated at Willow Grove Naval Air Station. The partners to the CRADA were the same as those to the original CRADA while the technology demonstrated was a 15-ton natural gas engine driven reciprocating compressor/air-cooled condenser (split-system air conditioner). Monitoring of the equipment began in the Spring of 1994. Data collection at this site is complete and a final report will be released in September 1995. The third demonstration is of a natural gas engine driven heat pump at Fort Sam Houston in San Antonio, Texas. In addition to the fort, partners to the CRADA are York International (manufacturer), City Public Service of San Antonio (utility), the Gas Research Institute, and the American Gas Cooling Center. The heap pump is the York International Triathalon unit which has a single-cylinder, four-stroke, five-horsepower engine with variable speed controls. The unit is installed at a single family home and was one of the technology's first production run units. Data collection at this site is complete and a final report will be released in September 1995. The fourth demonstration performed by the Program is of a technology that converts existing domestic water heaters from electric power to natural gas. Partners to this CRADA are Gas-Fired Products (manufacturer), Fort Stewart (Federal site), Atlanta Gas Light (servicing utility), Public Service Company of North Carolina, and the U.S. Army Corps of Engineers, Huntsville Division. The technology, the Seahorse gas water conversion system, was installed in the Spring of 1994. Data collection at this site is complete and a final report will be released in July 1995. The first FTA, which addresses liquid refrigerant pumping, was published in December 1994. This technology was originally proposed in response to the general technology solicitation issued by the Program in October 1993. The manufacturer's proposal indicated that although there are approximately 15,000 applications across the United States, the number of installations in Federal facilities totaled approximately 200. The site specific case study presented in the FTA showed resulting energy savings of 14 percent with a simple payback of 1.2 years. Outreach Although the evaluation of technologies accounts for the vast majority of the Program's effort, the measure of the Program's success is its effectiveness in transferring information on the technologies to the Federal sector and securing their use of the technologies. Several mechanisms have been developed thus far to address this goal. However, it should be noted final evaluation results have not yet been developed for any of the ongoing demonstrations. All of the existing CRADAs identify one of the partners as a lead for the outreach activities. Outreach activities are seen as the development of
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materials for distribution to the Federal sector, including workshops where results of the demonstration are presented to target audiences. Also, press releases and articles are prepared and distributed to media outlets throughout the course of the technology demonstrations. These activities are targeted to secure a greater level of interest in the Program and spur increased use of the technologies in the Federal sector. In the case of FTAs, the outreach strategy is somewhat different for a number of reasons. The development time of each FTA is relatively short (several months), which does not allow for the same media based approach applied to the technology demonstrations. Instead, FTAs are distributed directly to the Federal sector upon completion. With the FTA the Program is beginning to broaden information dissemination through the use of electronic bulletin boards and CD-ROM. A significant avenue for Program outreach is presented at trade shows and conferences, such as the WEEC. The Program has developed an exhibit which has been on display at numerous trade shows, conferences, and DOE functions. A Program presentation has also been developed and delivered at a number of trade shows and conferences, as well as to trade associations and other organizations interested in Program participation. Since its inception, the Program has worked to identify individuals in the Federal sector that are a part of the design and procurement processes. The resulting list of contacts are those individuals to which the Program distributes updates, demonstration results, and FTAs. Individuals within the Federal sector interested in having their name included in this contacts list should contact Ms. Karen Stockmeyer, Battelle Washington Operations, 901 D Street, S.W., Suite 900, Washington, D.C. 20024-2115. To measure the effectiveness of these outreach activities and the overall Program, FEMP has requested that the Program contact manufacturers of evaluated technologies on a periodic basis after the distribution of evaluation results. Manufacturers will be asked to identify the number of new installations of their technology in the Federal sector. This information will be used to assess the impact on the sales of the evaluated technologies in the Federal sector. Summary The installation of new, more energy efficient and cost effective technologies in the Federal sector represents a significant opportunity to capture energy savings. The transfer of new, cost effective, energy efficient technologies into the Federal sector requires that individuals who specify and purchase the technologies understand and consider all alternatives. By installing new technologies in Federal facilities and monitoring and evaluating their performance, the Program develops information needed to evaluate their performance. Through partnerships between the public and private sectors, these new technologies can be provided to the Federal site, installed, monitored, and evaluated at a lower cost to the government. Further, the transfer of technology evaluation information targeted for Federal facility managers is likely more to be viewed by Federal designers and procurement officials as directly transferable. Since Federal facility managers place an emphasis on technology reliability and maintenance requirements, transfer materials must address these issues to overcome any reluctance on the part of the designer or procurement official. By providing these officials independent evaluations that address their areas of concern as new technologies enter the commercial market, the Federal sector will give stronger consideration to their application. This will speed the deployment rates of these technologies into the Federal sector, reduce Federal energy costs, improve energy efficiency, and create jobs by advancing the purchase of U.S. manufactured technologies. Acknowledgements The Pacific Northwest Laboratory is operated by Battelle Memorial Institute for the U.S. Department of Energy under Contract DE-AC06-76RLO 1830. References Armstrong, P.R., and D.R. Conover. 1993. Performance and Evaluating of Gas-Engine-Driven Rooftop Air-Conditioning Equipment at the Willow Grove (PA) Naval Air Station: Interim Report - 1992 Cooling Season. PNL-8677, Pacific Northwest Laboratory, Richland, WA. Conover, D.R., and D.M. Hunt. 1994. "Transferring New Technologies Within the Federal Sector: The New Technology Demonstration
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Program." In Proceedings of the ACEEE 1994 Summer Study on Energy Efficient Buildings. American Council for an Energy Efficient Economy, Asilomar, CA. Harris, J.P., J. Shugars, N. Casey-McCabe, and C. Payne. 1995. "Energy Efficient Government Procurement: Federal Perspectives." In Proceedings of the 17th World Energy Engineering Congress 4th Environmental Technology Expo. Association of Energy Engineers, Atlanta, GA. New Technology Demonstration Program. 1994. Federal Technology Alert: Liquid Refrigerant Pumping. Pacific Northwest Laboratory, Richland, WA. U.S. Department of Energy, Federal Energy Management Program (DOE/FEMP). 1994. Annual Report to Congress on Federal Government Energy Management and Conservation Programs, Fiscal Year 1992. DOE/EE-0016, Washington, DC.
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Chapter 44 Renewables in Federal Facilities B.K. Thomas Abstract President Clinton signed Executive Order 12902 on March 8, 1994 to improve energy efficiency and water conservation in Federal facilities across the nation and to increase investments in solar and other renewable energy. The Federal government is now required to significantly increase the use of solar and other renewable energy sources. Technological advances, increasing energy costs, and the economies of scale now being realized make this goal attainable. Many Federal agencies are already successfully using dependable renewable energy to meet their energy needs and reduce harmful effects to the environment, such as global warming, acid rain, toxic air emissions, and oil spills. The Department of Energy's (DOE's) Federal Energy Management Program (FEMP) is directed to implement key sections of this Federal Energy and Water Efficiency Executive Order. A working group, led by DOE, comprising of Federal agencies, industry, and national laboratory staff is developing a program to cost-effectively achieve this goal. Introduction Executive Order 12902 1 exceeds the provisions of the Energy Policy Act of 1992 (EPACT)2 by requiring a reduction in energy use of 30% by the year 2005 based on 1985 usage levels.3 When EPACT was signed into law on October 24, 1992, it was estimated that the use of renewable energy would increase by 20% above projected 2010 levels. Now, the Executive Order specifically requires the Federal government to significantly increase the use of solar and other renewable energy sources, where cost-effective. This order considerably strengthens the Federal energy managers' ability to implement energy efficiency, water conservation, and renewable energy measures by designing a roadmap with specific actions and target dates for accomplishing these goals. Our discussion will focus on renewable technologies. We will also discuss the requirement to significantly increase the use of renewable energy in the Federal government, how this is being accomplished through the Federal Energy Management Program's (FEMP's) leadership, and why renewables are important to our future. As a result of the Executive Order, in April 1994 the Renewable Energy Working Group (RWG) was formed and has become a major tool for success. Federal agencies are also encouraged to identify renewable energy opportunities when obtaining facility energy audits and to highlight renewables in Federal showcase facilities. Funding for such projects will also be addressed. Renewable Energy Technologies Renewable energy is friendly to our environment and is derived from nature's resources. Solar, wind, and biomass are all examples of renewable energy. Today, a variety of renewable energy technologies are commercially available and feasible for installation in Federal facilities. The following are most commonly used: Photovoltaics Passive-Solar Design Solar Water Heating Geothermal Heat Pumps
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Photovoltaics Sunlight can be converted to generate electricity by using Photovoltaic (PV) cells. PV systems can be connected to the grid (i.e., existing utility lines), used for ''distributed generation,'' or used in remote applications. In remote applications PV power is independent of the existing power grids and utility lines. PV is often more economically feasible than extending existing utility lines. These systems have a history of high reliability, low operating costs (free fuel), and minimal environmental impact. They are well suited for remote locations not easily accessible by the utility grid. Photovoltaic systems have already been installed in hundreds of Federal locations, including over 400 facilities within the Department of the Interior's National Park Service. Dangling Rope in Page, Arizona and Channel Islands, Oxnard, California are just two examples of the National Park Service's installations. PV is used in many applications, including streetlights, communications equipment, weather stations, and emergency power requirements. In cases where power requirements exceed the PV system's supply, an electric generator can work effectively with PV to supply the load. (Such systems are referred to as hybrid systems.) Remote locations where loads are currently supplied by diesel generators alone are good candidates for PV systems with generator. Passive-Solar Design Buildings owners and managers are incorporating passive-solar features in their facilities, with little or no additional expenditures. Passive-solar design uses natural light for illumination (daylighting), sunlight for heating, and natural cooling. Although passive-solar design is best suited for new construction and major renovations, limited applications are feasible for retrofit projects. Savings in energy for a passive-solar building can be as high as 60% of the typically constructed building. Energy-10, an industry/laboratory collaboration, is a design tool for low-rise buildings that integrates daylighting, passive solar heating, and low-energy cooling strategies with energy efficient shell design and mechanical equipment. Energy-10 keeps the evaluation of a building's energy performance simple. The Northern Cheyenne Capitol Building in Lame Deer, Montana was designed with the assistance of Energy-10. Two classically symmetrical east-facing wings and large southfacing windows were incorporated into the design to satisfy the cultural requirements of the Cheyenne and a successful passive-solar strategy. More than a million residential, 17,000 commercial facilities, and hundreds of Federal buildings have been built incorporating passive solar design features. One such Federal facility is Fish and Wildlife's new National Education & Training Center in Shepherdstown, West Virginia. This designated showcase facility highlights the very best of passive-solar design. The Berlin Embassy, the Great Sand Dunes, and Zion Park are other Federal projects that include passive solar strategies. The Great Sand Dunes National Monument Visitor Center in Colorado features a trombe wall for passive solar heating and roof monitors for daylighting. The projected energy savings exceed 69 million BTU annually. Zion Park's passive solar design includes insulated mass walls (shotcrete), ceiling fans, and an integrated mechanical system. Now and in the future, Federal facility managers can achieve high levels of satisfaction, reduce energy consumption, and increased productivity through even broader use of this technology. Solar Water Heating Using the sun to heat water efficiently is the option being used in 200,000 commercial businesses and over a million residences across the nation. A solar water heating system is designed to meet all domestic hot water requirements in the summer and up to half of the requirements during the winter. This is possible in almost any climate, and these systems are feasible in all building types. Common applications include residential buildings for showers, kitchens and laundry; commercial facilities for cafeterias, day care centers, and recreational facilities with showers; and other institutional facilities such as hospitals and prisons. Solar water heating systems are most effective when the water heating load is constant and there is adequate space on the roof or ground for the system's collectors. Today, many Federal sites are reaping the benefits of solar water heating, and a great deal more have plans for future installations. For example, the Eisenhower Library in Abilene, Kansas, has a system that is providing hot water with great efficiency. Maricopa County's Outdoor Education Center, located north of Phoenix, will install a system for the hot water required in the cafeteria and two dormitories. The Bureau of Reclamation will realize energy savings in excess of 86,000,000 BTUs of propane annually. The Environmental Protection Agency's (EPA's) headquarters building located in Washington, DC has a 1000-gallon system to meet the handwashing needs of its 900 occupants. The 10-panel solar system will be roof-mounted and the existing electric water heater will serve as backup. The United States Department of Agriculture (USDA) installed a 24-panel solar water heating system in 1994 to supply domestic hot water for their Washington, DC headquarters. The Prince Jonah K. Kuhio Federal
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Building in Honolulu, Hawaii proposed solar system will save the General Service Administration 351,000,000 BTU of gas ever year! Geothermal Heat Pumps Geothermal heat pumps are capable of heating and cooling a building by transferring heat from the ground to provide heat to a building, or by transferring the building's heat to the ground to cool the facility. These systems are highly efficient, reducing energy consumption by as much as 44% compared to conventional systems, and they have proven to be quite cost-effective. Geothermal heat pumps generally have lower environmental emissions than all other equipment. Over 200,000 geothermal heat pumps are operating successfully in the United States. The applications for these systems are quite varied. Office buildings, schools, dormitories, nursing homes, and hotels are all good candidates for geothermal heat pumps. Many of these installations have resulted from successful partnerships with the local electric utility. Enlightened Federal energy managers have discovered the benefits and advantages of these joint efforts and are more willing than ever to participate. The showcase energy-efficiency project at Fort Irwin, California is partnering with the local utility, Southern California Edison to install geothermal heat pumps for 220 housing units. On-site testing has shown a 50% reduction in energy costs utilizing this proven technology. Of course, the homes will also be environmentally friendly by using non-CFC geothermal units and will reduce carbon dioxide and carbon monoxide emissions to zero during the heating season. Identifying Renewables Opportunities FEMP is involved in several programs that target opportunities to include renewable technologies in Federal facilities. The Federal Renewables Implementation Plan, SAVEnergy Action Plans, and Federal Showcase Facilities all focus on increasing the use of renewable energy in government buildings while improving air quality, reducing energy consumption, and saving money. Federal Renewables Implementation Plan The goal of Executive Order 12902 is to significantly increase the cost-effective use of renewable energy in the Federal government. 4 Federal agencies, DOE (including FEMP and the DOE renewable energy development programs), and the renewable energy industry have worked together to develop a process and set of actions that will result in new opportunities and new deployment of renewable energy. This collaborative, proactive effort is critical to successful implementation of the Executive Order and the creation of business. The actions to be taken by the RWG are designed to ensure efficient introduction of cost-effective, energy-efficient technologies into Federal facilities and to meet the goals and requirements of the Executive Order. The general approach to implementation is to create an awareness of cost-effective opportunities within each agency followed by an agency-specific plan to implement cost-effective renewable energy projects. The RWG also supports showcase projects that other agencies and industry players can learn from, adapt, and replicate. Planned actions for the RWG for project implementation and showcases include the development of a software tool for screening renewable energy opportunities; developing and fielding "Industry Resource Teams" that are designed to provide specialized technical consultation on a wide variety of technologies at Federal agencies; and working with DOE programs such as solar process heat. The RWG will also assist in developing model implementation plans with EPA and the USDA. Among other actions designed to enhance the identification and removal of barriers, the RWG will improve the Energy Savings Performance Contract (ESPC) procurement process. The RWG is sponsoring a course entitled "Implementing Renewable Energy Projects." This course is designed to educate Federal facility and energy managers about renewable energy and the many cost-effective opportunities for installing these technologies in existing and new facilities. Initial response to the course has been extremely favorable. Attendees have identified 17 new renewable energy projects for Federal facilities. In working with the RWG the National Guard has plans to install renewable technologies in five of their facilities in the state of Colorado alone. Other renewable energy projects will be identified by the National Guard in Texas, Utah, Florida, and Arizona. SAVEnergy Action Plan EPACT and Executive Order 12902 both require energy audits in most Federal buildings. Here again, the Executive Order goes a step further by specifically stating goals for completing energy efficiency, renewable energy, and water conservation audits.5 FEMP's SAVEnergy audit program protocol calls for screening each facility, not only for all energy efficiency and water conservation measures that may be applicable, but for renewable energy opportunities as well. This protocol is ideal because renewable technologies are often most cost-effective when considered along with energy conservation measures encompassing the "whole building" and not simply as stand-alone measures.
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Once it has been determined that renewables are feasible, the Federal energy manager must ensure that the project is designed by a licensed professional with experience in renewable technologies. The design professional should have completed projects that feature workable renewable energy technologies and demonstrate an understanding of whole-building systems integration. For some renewable technology applications, the "design-build" approach may be used. With this approach, the renewable technology is included in the specifications written in the Request for Proposal, and therefore, additional dollars are not required for specialized design. The future lower energy consumption and utility bill savings will be achieved without paying a higher price for system design. Quality audits, adhering to the requirements of existing statutes, are leading to the implementation of projects that encompass all cost-effective measures, including the use of renewable technologies that may have been overlooked in the past. Federal Showcase Facilities In accordance with the Executive Order, Agencies have designated new and existing facilities as showcases for energy efficiency, water conservation, and renewable energy. 6 More than 50 projects have been either proposed or completed in government buildings. Each agency has a chance to share their most outstanding energy efficiency achievements. The projects cover a wide variety of technologies, ranging from energy-efficient lighting to complete heating, ventilating, and air conditioning (HVAC) retrofits and the installation of high efficiency motors. More than half of the projects feature one or more renewable technologies. One agency's showcase will economically heat and cool several buildings with geothermal heat pumps while incorporating a passive-solar strategy to reduce energy consumption, lower maintenance costs, decrease harm to our environment, and enhance employee productivity. The goal of showcase facilities is to lead to more and better energy-efficient projects throughout the Federal sector, and beyond, by highlighting and sharing each project's success. Funding Three primary mechanisms exist for procuring renewables for Federal installations: direct appropriations, Energy Savings Performance Contracts, and utility incentive programs.7 Some direct Congressional appropriations and grants are available; however, in the face of declining energy budgets, these will not be reliable in the future. Agencies are becoming more innovative in financing projects. More dollars and services are being leveraged as a result of partnerships with utilities and industry. An increasingly common alternative for financing project implementation is the use of Energy Savings Performance Contracts (ESPC). In order to determine actual savings realized from the installation of energy-efficient technologies using ESPC, an accurate energy usage baseline must be established prior to installation of the equipment. Often this is difficult to accomplish given of the ever-changing facility environment. Renewable technologies are good applications for ESPC because there is no need to establish a baseline. The scope of many ESPCs is often broad, covering many of the facility's energy consuming systems. This whole-building approach to energy efficiency can enhance the economic feasibility of additional measures recommended, such as renewable energy and water conservation, thereby optimizing the facility's energy and water savings potential. The use of ESPC for energy-efficiency projects, including projects featuring renewables, will get a boost from a new ruling made on April 10, 1995. DOE and FEMP published in the Federal Register the final rule for Energy Savings Performance Contract Procedures and Methods. The Rule establishes a pilot program to test for 5 years the concept of accelerating installation of energy conservation measures in existing Federally owned buildings through ESPC. DOE-FEMP is also preparing Indefinite Quantity Contracts (IDQs) for agency use for contracting with Energy Service Companies (ESCOs) to implement projects. The umbrella document will decrease the need for educating each facility's contracting and energy management team about the use of an ESPC and streamline the process of establishing a contract with the ESCO. The net result will be increased use of ESPCs, leveraging of more private sector dollars for projects, and the implementation of more and better energy efficiency and renewable energy projects. The Department of Defense's first solar thermal project to be funded by an ESPC will be at Fort Huachucha, and the United States Coast Guard has plans to use an ESPC to fund the installation of solar water heating systems for 285 housing units in Hawaii. State government is also utilizing alternative methods for financing renewable project. California State Correctional Institution in Tehachapi, California has installed a 28,000 square foot solar water heating system to provide 60% of the required hot water for the facility (see Figure 1). The project was financed by a 15-year energy purchase agreement. The first solar thermal ESPC application in the Federal sector is the Federal Corrections Institute (FCI) in Phoenix,
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Figure 1. The Solar Collector Field at the California State Correctional Facility in Tehachapi, California. Arizona. A Cooperative Research and Development Agreement (CRADA) has been signed by the Department of Justice, Industrial Solar Technology, and the National Renewable Energy Laboratory (NREL). In this CRADA it has been agreed that an ESPC will be utilized to fund the installation of an 18,000 square foot parabolic reflector solar system to preheat domestic hot water. The preheated water will be delivered to a 21,000-gallon thermal energy storage tank located adjacent to the solar field. On demand, hot water will be available for food service, laundry, and the housing units. The project will be paid for through resulting energy savings, without the need for upfront capital dollars. An investment of $750,000 has been leveraged from industry for implementation of this project. Energy Choice for Today and Tomorrow Renewable energy does not harm our environment and helps Federal energy managers meet the goals of EPACT and the Federal Energy and Water Efficiency Executive Order by dramatically reducing the consumption of energy. The Federal government continues to be a leader in saving energy and dollars by using conventional and innovative methods to include renewable technologies in Federal facilities across the nation. The manufacture of renewable technologies in the United States also contributes to the growth of high-quality jobs, boosting our economy. Progressive Federal energy managers have taken advantage of renewable technologies in the past and are now enjoying the benefits. Steady improvements in the efficiency and cost-effectiveness of renewables ensure their bright future, and those who choose them today will continue to shine as energy leaders tomorrow. Acknowledgements Robert Westby, Nancy Carlisle, H. Andrew Walker, Katherine Mayo, Ash Youssef, John Thornton, Patricia Plympton, National Renewable Energy Laboratory
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End Notes 1. Executive Order 12902 (E.O.)Energy Efficiency and Water Conservation at Federal Facilities, March 10, 1994. 2. The Energy Policy Act of 1992 (EPACT) P.L. 102-486. 3. E.O., Sec. 301, Energy Consumption Reduction Goals. 4. E.O., Sec. 304, Solar and Other Renewable Energy. 5. E.O., Sec. 303, Implementation of Energy Efficiency and Water Conservation Projects. 6. E.O., Sec. 307, Showcase Facilities. 7. E.O., Sec. 401, Financing Mechanisms.
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Chapter 45 Fuel Procurement Strategies For the New York State Office of Mental Health - a Case Study B.A. Raver Abstract In 1990, the Governor of New York issued Executive Order No. 132, directing all state agencies to reduce energy consumption by 20% by the year 2000. The New York State Office of Mental Health (OMH) has aggressively pursued this goal through many initiatives. While major savings are being generated through programs to reduce energy consumption, it is equally important to reduce the cost of energy through planned procurement of the fuels used at each facility. OMH has established a fuel procurement program, managed by Novus Engineering, P.C. (Novus), that is devoted to assuring that facilities choose the most economical fuel each time fuel is purchased. The program is unique among state agencies in New York because of the close and open working relationship between OMH, NYS Office of General Services (OGS), and Novus. By working together to provide pricing information to facilities in a timely manner, this program has been extremely successful in minimizing the cost of more than 2.4 million dekatherms of fossil fuels consumed annually. At the 17 OMH facilities that are dual-fuel capable, there are at least three fuel choices available whenever fuel is purchased: fuel oil, utility sales gas, and transportation gas. The costs of these fuels are constantly changing. Oil prices under state contract are adjusted bi-weekly, utility sales gas and supplemental gas prices change monthly, and transportation gas prices change daily. Novus tracks the sales gas and gas transportation rates of twenty-four service classes under ten gas utilities throughout the state. Dataloggers are being installed at all dual-fuel facilities to provide up-to-the-minute data on fuel consumption. A system has been developed for tracking and managing transportation gas bank balances. Individually-negotiated sales gas rates have been secured for some OMH facilities. Novus also works closely with OGS, the agency responsible for purchasing transportation gas on the spot market. Novus compiles fuel prices on a bi-weekly basis for major OMH facilities and assembles a fuel price report, identifying the cost of each fuel type. This report is immediately distributed to plant superintendents to enable them to switch to the least-cost fuel option. Centralized collection and evaluation of fuel price information has freed up plant staff for other essential activities. During fiscal year 1993/94, the program saved nearly $900,000, compared to the cost of using the least-effort fuel (utility sales gas). During fiscal year 1994/95, fuel allocation savings amounted to almost $1.5 million. OMH continues to follow this program and has moved to expand dual-fuel capabilities at its other facilities throughout the state. Introduction Governor Mario Cuomo issued Executive Order 132 in January 1990, directing all state agencies to reduce their energy consumption by 20% by the year 2000, compared to the base year of 1988/89. The New York State Office of Mental Health (OMH) accepted this directive with enthusiasm and set an internal goal to accomplish the 20% reduction by 1997.1 During the first three years of the program, OMH focused its attention on the establishment of a comprehensive and integrated approach to energy management. A pilot
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program was successfully initiated at three psychiatric centers in August 1990 and was expanded to all 33 OMH facilities by the end of Fiscal Year 1992/93. Total energy reductions for both electricity and fossil fuels to date total 2.1 trillion Btu, representing an overall savings of 27% from the base year. While major savings have been generated through programs to reduce energy consumption, OMH has considered it equally important to reduce the cost of energy through planned procurement of the fuels used at each facility. OMH has established a fuel procurement program, managed by Novus Engineering, P.C. (Novus), that is devoted to assuring that facilities choose the least-cost fuel each time fuel is purchased. The program is unique among state agencies in New York because of the close and open working relationship between OMH, the New York State Office of General Services (OGS), Novus, and facility personnel. By providing pricing information to facilities in a timely manner, this program has been extremely successful in minimizing costs of more than 2.7 million MMBtu of fossil fuels consumed annually. Coordinated Effort The OMH program for minimizing fuel costs requires a coordinated effort among different state agencies, facility personnel, and private consultants. Novus is responsible for preparing a bi-weekly fuel price report that is distributed to all dual-fuel facilities. In addition, Novus is responsible for managing transportation gas bank balances and recommending revisions to monthly gas nominations. OGS is responsible for purchasing transportation gas on the spot market. Facility personnel are responsible for estimating future-month fuel usage, recording daily fuel usage, and fuel selection. Of particular concern to OMH is that facility personnel are given adequate information to participate effectively in the fuel-switching program. To facilitate an understanding of the program and to foster cooperation among involved parties, informational meetings have been held at certain facilities. These meetings provide an opportunity for facility personnel, including business officers, plant superintendents, and key plant staff, to meet with Novus and OGS and to raise any questions regarding the program. To date, the program has generally operated without difficulty. However, certain problems have been encountered, such as not receiving nomination and gas usage information in a timely manner. In addition, copies of utility and gas marketer bills have been difficult to obtain. Delays in obtaining this information make management of gas bank balances more difficult. Fuel Price Comparison Report Because fuel prices are constantly changing, plant personnel must receive timely information regarding prices in order to ensure that the least-cost fuel is always used. Numerous price components must be obtained and verified each time fuel prices change. The amount of time involved in preparing such a fuel price comparison is substantial and would seriously cut into plant staff time better devoted to routine and emergency maintenance activities. For this reason, a fuel price report is centrally prepared by Novus and is distributed to all OMH facilities that are dual-fuel capable. The fuel price comparison report is prepared approximately every two weeks and compares the prices of fuel oil, utility sales gas, transportation gas, and utility supplemental gas sales at 17 facilities, including four grades of fuel oil and 26 classes of gas service (see Figure 1). Plant staff indicate the type of fuel they are using during the period covered by the report and return the fuel selection form. If the least-cost fuel is not being used, plant staff must include an explanation. Fuel Oil OGS prepares an annual contract for the supply of fuel oil to state facilities. Suppliers bid on the base price to supply fuel oil within a certain county. Approximately 30 suppliers are used to supply facilities in New York's 62 counties. Oil prices are adjusted every two weeks based on prices published in the Journal of Commerce. Oil prices, listed in dollars per gallon, are converted to dollars per MMBtu, based on the minimum heat content factor applicable to each grade of fuel oil as specified in the OGS contract with oil vendors. This allows fuel oil prices to be compared to natural gas prices using a standardized unit. While #6 fuel oil is theoretically a slightly more efficient fuel than natural gas, OMH considers natural gas to be a slightly more desirable fuel, given equal prices. This is due to the ease of use of natural gas, the lack of need for steam atomization, and a reduced need for soot blowing. Therefore, OMH attaches a 5% price penalty to #6 fuel oil in price comparisons under this program. Because #2 fuel oil requires less effort to burn than #6 fuel oil, the price of #2 fuel oil is not adjusted. Natural Gas Utility prices for natural gas sales and for gas transportation service are revised monthly, generally
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effective at the beginning of the month. Utilities must file rate statements with the NYS Public Service Commission (PSC) three calendar days in advance of changes. Although most of the gas utilities involved provide Novus with copies of filed rate statements by mail or by facsimile, some statements must be obtained from PSC central files. In addition to the filed rates for gas sales and transportation service, the report takes into account several other elements affecting the total prices. Where utilities have a declining block rate structure, estimated usage must be "plugged in" to determine an expected average unit cost. Many rates are subject to surcharges and adjustments that also change monthly. Although New York State, as a governmental body, is exempt from paying sales taxes, the gas sales and transportation services of utilities are subject to a gross revenue tax (GRT) that is passed on to all customers, including state facilities. The GRT ranges from 4.5% to 10%, depending on the municipality in which the customer is located. New York State also imposes a tax on the importation of natural gas (transportation gas). This tax, collected by gas utilities, is based in part on an annually-set national average wellhead cost of gas and is currently $0.089/MMBtu. Gas customers within counties in and around New York City are subject to a Metropolitan Transit Authority (MTA) tax. This tax, collected by gas utilities, averages approximately 0.75%. Gas utilities also apply a "shrinkage" factor to transportation gas delivered to customers. Shrinkage is the amount of gas that utilities retain to compensate for system line losses. This means that the utilities will keep 1% to 4.2% of transportation gas that a marketer delivers to the utility city gate on behalf of a customer. OGS purchases transportation gas on a monthly basis on the spot market. A number of marketers are contacted each month to bid to supply state agencies. Whenever possible, OGS combines the needs of OMH facilities with gas purchases for other state facilities, to obtain the best possible price. In an effort to eliminate the price volatility of purchasing gas monthly on the spot market, OMH has begun negotiating individual gas supply contracts with utilities. One such agreement, obtained from the Long Island Lighting Company (LILCO) for a single OMH facility, provides gas at a fixed rate for a term of one year. Although the rate obtained was slightly above the cost of fuel during the previous year, the price was deemed acceptable by OMH. An additional advantage of the agreement was that it allowed the facility to switch from #6 fuel oil to gas, the preferred fuel of the facility. The use of gas instead of fuel oil has helped to improve the ability of the facility to meet air quality regulations. Similar fixed-price contracts are being sought for other OMH facilities. Transportation Gas Bank Balances Under OMH's fuel switching program, transportation gas is frequently the least-cost fuel. During Fiscal Year 1994/95, transportation gas use accounted for more than two-thirds of all savings resulting from the fuel switching program. Use of transportation gas requires careful management of bank balances, to avoid the use of more costly supplemental gas and to avoid penalty charges for excessive bank balances. All gas utilities in New York balance transportation gas usage on a monthly basis. Although the terminology used by different utilities varies, the principles are the same. If a customer uses more gas during the month than it has purchased from a gas marketer, the difference is made up in supplemental gas purchased from the utility. The rate charged for supplemental gas is usually the rate for sales gas that would otherwise apply if the customer did not transport gas during the month. One utility charges 110 percent of its sales rate, for any supplemental gas used. If a customer uses less gas during the month than it purchased from a gas marketer, there would be a bank balance of unused gas carried over to the following month. Most utilities allow a customer to carry over an amount of gas without a penalty charge. If the bank balance is excessive, penalty charges can range from $0.02/MMBtu to $1.00/MMBtu. Because supplemental gas rates and banking penalty charges can quickly eliminate any savings gained, use of transportation gas must be carefully managed. In response to this need, Novus developed a transportation gas bank balance management system for OMH that has been effective in minimizing the use of supplemental gas and bank balance penalty charges (see Figure 2). For each account using transportation gas, a spreadsheet is maintained that tracks the bank balance carried forward from the previous month, nomination of additional gas purchased, shrinkage for system line losses, curtailments, adjustments to the nomination, and gas usage. A projected end-of-month bank balance is compared to the threshold above which banking penalty charges will be incurred. With updated usage information added three to four times monthly, this system projects monthly gas usage and allows for the nomination to be adjusted. In this manner, each transportation gas account ends the month with a
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favorable bank balance. Prior to careful management of bank balances, penalty charges were frequently incurred. Annual Savings Report To evaluate the effectiveness of the fuel switching program, a report is prepared at the close of each fiscal year that summarizes fossil fuel savings for each facility (see Table 1). For each month, data is obtained regarding the types, quantities, and costs of fuels used. TABLE 1 SUMMARY OF FUEL COST SAVINGS BY FACILITY, FY 1994/95 Transportation Gas Facilities Savings Binghamton $10,617 Buffalo 82,073 Central Islip 19,071 Elmira 148,268 Hutchings 11,858 Mohawk Valley 168,884 Pilgrim 27,175 Rochester 416,303 Rockland 134,299 Dual-Fuel Facilities Creedmoor 23,211 Hudson River 19,341 Kings Park 392,116 Kingsboro 1,290 Mid-Hudson 576 Sagamore 0 South Beach 3,479 Total $1,458,560 To determine savings resulting from the program, the assumption is made that, in the absence of adequate information regarding alternative fuel prices, plant staff would choose to burn utility sales gas. Thus, utility sales gas is considered to be the least-effort fuel type. To determine savings achieved during a particular month, the difference in price between the least-cost fuel and the actual mix of fuels is applied to the quantity of fuels consumed. Where an individually-negotiated rate for sales service has been obtained from a utility, savings is based on what the sales gas rate would have otherwise been. Where a facility's sales service class is changed based on a recommendation by Novus, savings is based on what the facility would have paid under the prior service class. Savings resulting from the fuel switching program have been considerable. During FY 1994/95, savings are estimated at $1.45 million, or 10.0% of annual fuel costs. A summary of savings achieved over the past two fiscal years is presented in Table 2. TABLE 2 SUMMARY OF ANNUAL FUEL COST SAVINGS Fossil Fuels Consumption Fuel Cost Fuel Cost Fiscal (MMBtu) Savings Savings Year ($) (%) 1993/94 2,430,119 $879,432 9.1% 1994/95 2,761,867 $1,458,560 10.0% Dataloggers In an effort to have real-time data on gas usage, OMH has begun a program of installing dataloggers at each facility. In addition to recording information on gas usage, the dataloggers are able to track steam usage, electricity demand, and outdoor temperature. In most cases, dedicated telephone lines are installed, allowing the dataloggers to call out and transfer data daily to a central location. In addition, Novus, OGS, and others are able to call into the dataloggers and download gas usage information. Datalogger information on gas usage is particularly valuable in managing transportation gas bank balances. Where dataloggers are operating, facility personnel are relieved of the task of reporting usage data by telephone to Novus and OGS on a weekly basis. Combined with temperature data, more sophisticated models can be developed for projecting gas usage. Conclusion The fuel switching and transportation gas management model developed by OMH creates the benefits associated with concentrating in one place the expertise on utility tariffs, tax rates, oil price adjustments, gas purchasing, usage tracking, and bank balance management. Plant personnel are relieved of the need to perform these time-consuming tasks on a weekly basis. Central oversight of the program also allows for combined fuel purchasing and for more efficient evaluation of program effectiveness and determination of program savings. References 1. New York State Office of Mental Health Annual Plan for Energy Conservation: Fiscal Year 1994/95, prepared by Facilities Resource Management Company, September 15, 1994. 2. Annual Progress Report: Fiscal Year 1994/95. Implementation of Energy Conservation Opportunities at Various Psychiatric Centers, Novus Engineering, P.C., May 5, 1995.
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Figure 1 Bi-Weekly Fuel Cost Report, NYS Office of Mental Health
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SUMMARY OF TRANSPORTATION GAS USAGE ROCHESTER PSYCHIATRIC CENTER - Elmwood Ave. Acct. 01-95 02-95 03-95 04-95 05-95 06-95 07-95 08-95 09-95 10-95 11-95 Initial Gas Available a Beginning Bank Balance 1,092 714 808 1,470 1,453 1,483 370 b Nomination 7,300 8,300 7,050 5,700 3,656 500 1,500 c Shrinkage Factor 1.85% 1.85% 1.85% 1.85% 1.85% 1.85% 1.85% d Shrinkage Amount (135) (154) (130) (105) (68) (9) (28) e Initial Gas Available 8,257 8,861 7,727 7,064 5,041 1,974 1,842 Adjustments to the Nomination f Curtailment #1 Curtailment #2 g Shrinkage Adjustment h Increased Nomination i Shrinkage Adjustment j Reduced Nomination k Shrinkage Adjustment l Gas Available after Adjusments 8,257 8,861 7,727 7,064 5,041 1,974 1,842 Gas Usage mMonth-to-Date Usage (7,543)(8,053)(6,257)(5,629)(3,558)(1,604)(740) n Peak Daily Usage 351 383 295 279 152 87 o Number of Days of Actual Usage Data 31 28 31 30 31 30 17 p Number of Days in Month 31 28 31 30 31 30 31 q Actual/Projected Total Monthly Usage (7,543)(8,053)(6,257)(5,629)(3,558)(1,604)(1,349)r End-of-Month Gas Bank Balance 714 808 1,470 1,453 1,483 370 494 s Bank Balance Penalty Threshold 1,500 1,500 1,500 1,500 1,500 1,500 1,500 NOTE: All amounts are in MMBtu.
12-95 -
rowdescription a Beginning bank balance is the ending balance carried forward from the previous month, but not less than zero. b Initial monthly nomination of gas to be delivered to the utility city gate c Percentage of gas delivered to the utility city gate kept by the utility for system line losses. d Amount of initial monthly nomination kept by the utility for system line losses, expressed as a negative amount (b × c). e Initial amount of gas available during the month (a + b + d). f Amount of gas not delivered to the city gate, due to curtailments, if any, expressed as a negative amount g Curtailment shrinkage adjustment, if applicable [c × (f + g)]. h Increase in nomination, if any. i Nomination shrinkage adjustment, if applicable, expressed as a negative amount (c × i). j Decrease in nomination, if any, expressed as a negative amount. k Nomination shrinkage adjustment, if applicable (c × k). l Amount of gas available after adjustments to the nomination; if any (e + f + g + h + i + j + k). m Month-to-date gas usage, expressed as a negative amount. n Actual peak daily usage during the month. o Number of days of actual usage data available for the month. q Total monthly gas usage; actual usage if o = p, projected usage if o < p, expressed as a negative amount (n / o × p). r End-of-month gas bank balance (l + q). s Maximum amount of unused gas that can be carried forward to the next month without incurring a penalty charge (1,500 MMBtu). Novus Engineering, P.C. 7/19/95 Figure 2. Transportation Gas Balancing Spreadsheet, NYS Office of Mental Health
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Chapter 46 ESP for Finding Opportunities J.R. Puskar Remember the ''Amazing Kreskin' or even Johnny Carson's ''Camac"??. They claimed to have the ability to know about things with very little information. This article describes techniques that can help you be close to as effective in diagnosing compressed air, steam/condensate, and water leaks and/or opportunities without ever leaving your boilerhouse. Consider this a short course m becoming clairvoyant. Our firm has spent a lot of time in and around automotive plants. Much of this article applies directly to how automobile plant utility systems are run. There is a tremendous opportunity, for applying statistical process control techniques to boilerhouses for system-diagnostics purposes In other words, I think there is much you can learn and take action on by just analyzing data available to you at your boilerhouse. This data can speak volumes about what is happening to the utilities generated once they go to the plant Our experience is that most plants operate boilerhouse operations as separate, distinct appendages to manufacturing operations. In Pack many powerhouse personnel end up being treated as "foreigners" who do not really belong outside their domain of the boilerhouse's four walls. This culture has created numerous situations where the attitude is, "Look, we just make it [steam. compressed air. process water]. When it leaves here, it's not our problem." The mindset is, at times, "If they use it, we'll just make more" The frustration in better controlling utilities use is that often times there is insufficient manpower to diagnose opportunities/problems. Central maintenance staffs seem to now be at bare bones staffing levels. The focus is to just keep the place running. There seems to be no mental energy for optimizing utility consumption problems. What follows are ideas for using already-available boilerhouse data in ways that can tell us what is happening in the plant. In an ideal world. this data analysis would trigger inspections of specific target action points in the plant. These action points (condensate receivers, key manholes, etc.) would be spots in the plant that could systematically be examined to quickly and effectively diagnose consumption problems. Some utility-specific examples for applying this technique are as follows: Compressed Air Leaks Knowing compressed air production is something critical to every plant. If the plant does not have functional metering, it should.
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Most people focus on production-time consumption. Production-time consumption tells you if you are going to run out of compressor capacity However, it does not give you much information that can help you to control costs "No-Load" load is possibly a more effective parameter for accurately monitoring leaks in the plant. No-Load load is the plant's load that exists when there is no production. Typically, No-Load load has three components as defined below: A. Real Load: (Paint Kitchen Mixers, Control Systems, Etc.) These are legitimate, real honest-to-goodness loads. You may look hard at replacing them with something more efficient, but for now they are here and are for real. B. "They'll Just Never Get Fixed" Leaks: This is a category of leaks that may be chronically cumbersome or politically incorrect to keep fixed. These are just accepted and lived with. Paradigms should be changed to eliminate these leaks. C. Legitimate Opportunities: These are above-and-beyond some reasonable base consisting of "A" and "B" (see Figure 1). These represent unspecified problem areas that may be big opportunities. Consistent No Load loads above some "A" and "B" base levels should trigger definite steps and concern within the plant. I contend that the No Load load compressed air situation should be treated like this country's national debt. Every manufacturer needs a "balanced compressed air budget" amendment to every plant's operating plan. Realistic ''A'' and "B" figures should be defined with ultimate goals of near zero. Deviations over "A" and "B" should be regularly reported as "annually lost plant profit potential." Action-step triggers for deviations above "A" and "B" should be defined. The data presented in Figure 1 identifies hundreds of thousands of dollars in potential annual compressed air savings. It is interesting to see from this figure that in this case, only 50% of the air dispatched by the powerhouse does anything useful. Although Figure 1 is fictitious, 1 am sure it represents a conservative view of the opportunities available. Steam/Condensate Systems The exact same concepts described above can be directly applied to steam and condensate systems. However, "A" and "B" numbers for steam have meaning only with summer "non-space heat" loads. Algorithms could be developed to define/predict expected base loads with outside temperatures. However, we need only to get from "horses and buggies" to "Model A's" in our thinking at this time.
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Condensate systems have year-round applicability by looking at the spread between steam sendout and condensate returns. A significant change m this spread could mean things such as failed condensate return station pumps. Our firm has seen plants with condensate pouring out of pump stations to sewers for weeks. Yet, no one in the powerhouse knew. A data analysis could prevent this. Water Consumption In my opinion, the biggest problem plants have with controlling such a major utility as water is the lack of data-collection capability within the plant. This is now being remedied at one of our client's plants through its recent plant domestic water metering system. Data collected on consumption at key points in the plant and on water mains will make diagnosing consumption problems quick and easy. Water is a problem because, unlike any other utility, you use it and then it is given back. Hence, it becomes a serious source of potential liability and is something that has to be minimized. I contend that monitoring the spread between water in and water out of waste treatment, along with No Load load water in, will speak volumes about problems/opportunities in the plant. Again "A's" and "B's" for No Load load need to be developed. Something to Shoot for The defining of "A's" and "B's" (practical initial base targets) for compressed air, steam/condensate, and water become the cumbersome part of this analysis approach. However, once this is done, simple reporting/analysis software can be used to provide boilerhouse personnel with a tool that can allow them to diagnose costly problems and direct repairs in hours instead of years. Our firm has now surveyed more than 13 plants for steam/condensate system opportunities and 13 plants for water consumption opportunities. Many times we find substantial simple maintenance-related items worth tens of thousands of dollars a year that go unnoticed for months and years. More effective diagnostic tools, as described in this article, are available and practical. Implementing these concepts can go a long way towards achieving substantial operating cost savings at any plant.
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Chapter 47 Integrating Energy, Waste and Productivity in a DOE Industrial Assessment Center, Selected Case Studies E.A. Woodroof, C.D. Christenson, W.C. Turner Abstract The Oklahoma Energy Analysis and Diagnostic Center (OEADC) has provided over 475 no-cost energy surveys for small to medium-sized manufacturing plants since 1980. The OEADC was upgraded to an Industrial Assessment Center (IAC) in 1994, which expands the scope of surveys to include opportunities in waste minimization as well as energy management and productivity improvements. These three items are interrelated in many cases, thus the focus of the survey team has changed from one of energy management to resource management. This paper will present the changes that were implemented to facilitate the transition from an EADC to an IAC. The paper also includes a few examples of energy and waste reduction opportunities that are commonly used by the Oklahoma IAC. The Energy Analysis and Diagnostic Center (EADC) Program Introduction Since 1980, the Oklahoma Energy Analysis & Diagnostic Center (OEADC) has provided energy surveys for manufacturing plants in Oklahoma and neighboring states. Located within the School of Industrial Engineering at Oklahoma State University, the OEADC mission is to improve industrial energy efficiency, productivity and reduce operating expenses. Under Department of Energy sponsorship, and managed by the University City Science Center, the OEADC provides this service for small to medium-sized manufactures at no charge. Manufacturers qualifying for this program will receive a one day site survey, followed by a report explaining various Energy Conservation Opportunities (ECOs) that can be implemented. The OEADC has surveyed over 475 different manufacturing plants, recommending measures that save money year after year. At the local company level, these actions reduce operating expenses, improve productivity and often boost worker moral. On the Global level, conservation minimizes power plant emissions, resource use and the need to build additional power plants. Many benefits may not be associated with a dollar value, but are social benefits such as clean air and water, which are shared by all people. Eligibility To be eligible for EADC services, a manufacturer must have annual energy expenses below $1.75 million, annual sales less than $75 million and fewer than 500 employees. An EADC energy survey can only be provided once for each plant. However, if a company has several qualifying plant sites, each one can receive an independent energy survey. Preparing for the Energy Survey The quality of the energy survey is dependent on the level of pre-survey preparation. The EADC team examines a great deal of information before the actual site survey is scheduled. The goal is to learn as much as possible about the plant so that during the actual site survey, the team will not be confused or overwhelmed with information. The first step to prepare for an energy survey is the pre-survey phone interview. Basically, the EADC interviewer questions the plant manager about the type of facility and the basic manufacturing processes to determine if the
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manufacturer qualifies for an EADC survey. The manufacturer is then asked to send specific information to the EADC team for analysis. Energy bills for at least one year are analyzed and graphed. Other information is collected such as plant age, size and layout, number of employees, operation shifts and a list of the primary energy consuming equipment. The equipment list usually includes detailed information about boilers, furnaces, chillers, air compressors, motors, process machinery, HVAC and lighting equipment. . Of all pre-survey information, it is crucial that the EADC team know how much the manufacturer pays for each type of energy (electricity or gas). For ECOs with similar energy savings, an ECO involving an expensive energy source will save more money than an ECO involving an inexpensive energy source. Discovering that one energy source is available at a cheap price could also affect the potential recommendations. This information coupled with the list of energy consuming equipment usually helps the team formulate a survey strategy. A survey strategy is often effective at developing cost-effective ECOs, and keeps the surveyor focused on the ECOs with the greatest benefit. For example, if a manufacturer has a great deal of electrically-powered machines and pays a relatively expensive price for electricity, perhaps the survey strategy might be to focus on identifying ECOs that involve retrofitting the machines so that they can use natural gas. Although, this measure might not save any energy, it is a perfect example of energy management, and the dollar savings could be significant. During the actual site survey, a team of Oklahoma State University faculty and research assistants visit the manufacturing plant for one day. First, they spend over an hour with plant management personnel discussing the various manufacturing processes. This procedure allows the EADC team to incorporate site-specific considerations which could affect their recommendations. In addition, a thorough understanding of plant processes allows the team to evaluate productivity improvements, which are commonly linked to ECOs. After the initial meeting, the team tours the plant to identify potential ECOs. For the remainder of the survey, the team focuses their time on specific ECOs, taking measurements and collecting data to quantify savings and implementation costs. At the end of the day, the team briefs the plant management on the list of ECOs and general focus of the survey report. The EADC team spends about two months preparing the report, being careful to incorporate the plant manager's concerns and identify feasible recommendations that will create benefits. The report mailed to the manufacturer contains a brief plant and process description, historical energy consumption and cost data, along with a list of detailed ECOs. Each ECO is explained in simple terms to show the plant manager how the recommendation can reduce energy expenses. Calculations are included so that if the plant manager alters any variable, (such as operating hours) the ECO can re-quantified. Six months after the report is delivered, the manufacturer is asked which recommendations were implemented. All data concerning the manufacturing plant type, types of ECOs and implementation percentage are inserted into a database managed by the Department of Energy. Although plant information is collected, this data is not associated with the company name, to maintain confidentiality. Results There are many benefits of extensive pre-survey preparation and the completion of energy survey reports. Table 1 presents results from thirty recent OEADC surveys, the equivalent of one contract year. In sum, OEADC recommended savings of over 173 Billion Btu/year. Sixty-four percent of the recommended savings were implemented, worth $668,114/year. The implemented ECOs reduced CO2, SO2 and NO power plant emissions by 3,523 tons/year, 20,103 lbs/year and 22,844 lbs/year respectively. These annual savings improved manufacturers' profit margins, and government tax revenue from such profits. The increased tax revenue paid for the cost of the OEADC program within one year. The Pollution Prevention Technical Assistance Program (PPTAP) Program Introduction During the late 1980's the United States Environmental Protection Agency (EPA) had developed a reputation for reacting to the results of environmental pollution, rather than the cause or source. Recently, a new, "proactive" EPA set aside grants to be awarded to state agencies for the development and administration of hazardous waste assistance programs. In 1990, a grant awarded through the Oklahoma State Department of Health (OSDH) created the Pollution Prevention Technical Assistance Program (PPTAP) at Oklahoma State University (OSU). Through this program 45 manufacturing plants were surveyed to identify measures that could improve waste management and reduce the associated costs. PPTAP provided technical knowledge and expertise to companies in Oklahoma that could not afford these services. The main focus of PPTAP was to present the
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TABLE 1 EADC RESULTS: 30 SURVEYS (15 Reports from Contract Year 1993, 15 Reports from Contract Year 1994 Estimated Savings Estimated Costs Implemented Implemented Cost ($) Savings ($) Electricity Gas Electricity Gas MMBtu/yr kWh/yr $/year MMBtu/yr $/year MMBtu/yr kWh/yr $/year MMBtu/yr $/year 21,520 6,028,767 $462,534 208,045 $584,013 $1,098,729 14,146 4,144,799 $225,847 159,031 $442,267 $395,370 RECOMMENDED IMPLEMENTED Total MMBtu Savings/year 229,565 Total MMBtu Savings/year 173,177 Total kWh Savings/year 6,028,767 Total kWh Savings/year 4,144,799 Total Tons CO2 avoided per year 3,523 Total Pounds SO2 avoided per yr 20,103 Total Pounds NOx avoided per yr22,844 Total Recommended Savings/year$1,046,547 Total Implemented Savings/year $668,114 Total Recommended Cost $1.098,729 Total Implemented Cost $395,370 64% Estimated Savings were Implemented 36% Estimated Cost were Implemented latest technologies to facility managers who did not have the time or resources to explore improved waste management procedures. To qualify, companies must have had less than 500 employees and annual sales under $50 million. Preparation for the Pollution Prevention Survey PPTAP was designed to follow the procedures developed by the EADC program due to inherent similarities between energy management and pollution prevention. The PPTAP team gathered as much information concerning processes and waste streams prior to the site survey. In addition to pre-survey phone interviews, each company filled out waste stream questionnaires to help the PPTAP survey team determine the quantities and costs of the waste streams. The process of pollution prevention begins with waste stream identification. However, materials are often prematurely classified as waste. For example, a circuit board manufacturer may classify a cleaning solution as spent (waste) at a level of contamination far below most other industries that use the same solvent and need it. Thus, "one man's trash can be another man's treasure". The classification of waste streams as hazardous, which significantly impacts the cost of disposal, can be based upon incomplete, inaccurate, or old data. Re-testing the waste stream to ensure that it is hazardous is a good practice. Once the PPTAP team determined which processes actually produced wastes, the source(s) of those streams were analyzed to determine if processes could be eliminated or modified to eliminate the waste. Alternatively, the waste-producing process could be removed by sub-contracting the hazardous process to an outside company. However, if the process is necessary and cannot be sub-contracted, efforts must focus on minimization, reuse and/or reclamation of the spent material. Results PPTAP applied pollution prevention techniques at 45 manufacturing facilities throughout Oklahoma and achieved dramatic reductions in industrial waste streams. The project addressed numerous types of non-hazardous and hazardous waste streams from foundry sand to fluorescent penitrants and plating rinse water. The economic, social and environmental implications of each recommendation were analyzed and presented to the customer in a report. The report also briefly listed plant background and waste stream summary information. Participating companies were very receptive to the program and appreciated the expertise of the PPTAP personnel and the OSDH. The Industrial Assessment Center Program Introduction and the Transition from EADC To IAC. To improve its service to industry, the University City Science Center recently selected several EADCs to become Industrial Assessment Centers (IACs). In addition to EADC services, an IAC helps manufacturers minimize
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waste streams and waste costs. The Oklahoma EADC became an IAC during October of 1994. Although the PPTAP program allowed this transition to be smooth, several innovative modifications were necessary to meet the needs of the IAC program requirements. Eligibility The eligibility requirements for an Industrial Assessment are very similar to an energy survey. The additional criteria is that the manufacturer must have at least one waste stream that can be minimized, resulting in significant savings. If the manufacturer does not have at least one waste stream, an energy-only survey can be done. Preparing for the Industrial Assessment Preparing for an Industrial Assessment involves a combination of the procedures used in EADC and PPTAP surveys. The pre-survey interview is much more extensive and requires the IAC interviewer to be informed of potential Waste Reduction Opportunities (WROs) and be able to recognize opportunities while on the phone with plant personnel. In addition to collecting historical energy consumption information, other data must be collected and analyzed prior to the site visit. Water, sewer, garbage, hazardous and non-hazardous waste stream information must be quantified and analyzed. The actual site visit is very similar to the EADC survey, however there are two survey team leaders, one concentrating on energy and one concentrating on waste streams. Due to the variety of potential waste streams, each involving a complex chemical relationship to the manufacturing process, the surveyor must learn the importance of each waste stream. Only then can justifiable recommendations be made. Although this procedure seems very complex, the industrial assessment is characterized by a simple approach: Eliminate, reduce or recycle waste. Many of the best WROs involve simple alterations and "common sense". As with EADC and PPTAP, a report with detailed recommendations is mailed to each participating manufacturer. Although the amount of recommendations in an Industrial Assessment (energy and waste) can be twice that of an energy survey, the report is prepared and mailed within two months of the site visit. As with the EADC reports, implementation results are collected six months after the report is delivered Sample Assessment Recommendations The OSU IAC had completed six of ten industrial assessment surveys as of July 1995. Although the IAC team identified many WROs at each facility, the success of the program should not be assessed until more facilities are surveyed and complete implementation data is received. However, based on the data available, a few trends can already be seen. Many recommendations involved the reduction in volume of non-hazardous waste. For example, it was recommended that a meat packer de-water, with the use of a filter press, a meat emulsion that was being disposed in a local land fill. The customer reduced the disposal volume by ~70 percent, with a cost reduction of over $25,000 per year. Several facilities had opportunities involving the use of recyclable synthetic machining coolants to reduce raw material and disposal costs. Another popular recommendation involved the distillation of solvents, also to reduce raw material and disposal costs. Conclusion The addition of waste minimization expands the focus of the EADC program from one of energy conservation to one of resource management. As each facility attempts to improve productivity and reduce costs, an understanding of the impact of each wasted Btu, pound of waste and unit of scrap becomes paramount. Only after industry understands and associates the true costs of production directly with the product will the field of resource management be able to make a significant impact. For more information about the Oklahoma Industrial Assessment Center contact: Eric A. Woodroof Project Coordinator Oklahoma State University IAC 322 Engineering North Stillwater, OK 74078 (405) 744-9146
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Chapter 48 Improvements in Industrial Audit Results By the Use of Alternative Implementation Strategies D.K. Kasten and M.R. Muller Abstract Reports resulting from an industrial audit regularly include a number of recommendations for energy savings. The recommendations normally calculate expected savings and evaluate the costs of implementation. Usually, one of two forms of implementation of a new practice or technology is recommended; either immediate implementation or incremental implementation where the items are changed out as they fail. The actual options available to the manufacturer are often not that simple. These two methods often fail to consider such concerns as risk (real or perceived), comfort, the appropriate sizing and loading of equipment, availability of product, rebuilt products, time constraints, disposal costs, and economies of scale. Many times the barriers to implementation will not be obvious to the client until the project is well under way. This paper discusses various alternative strategies and considerations that an energy auditor can apply to a final report that hopefully will increase the likelihood that a recommendation will be seriously considered for implementation. Specifically, the paper looks at cluster implementation, prototype implementation, contracted services, and scheduled obsolescence. Cluster implementation recognizes that in many cases, where multiple units are involved, it is too costly to replace them either one at a time or the entire group at once. Costs are optimized when clusters of the units are replaced. Prototype implementation recognizes that often technical risks prohibit changeouts, especially when product flow would be affected. Contracted services focuses on the fact that manufacturers often have insufficient in-house expertise to perform corrective actions. Their resources are often already fully committed. Contracting improvements can be cost effective and allow the work to be done without impacting other projects. Finally, scheduled obsolescence looks at providing the manufacturer with information concerning the normal lifetime of various units and suggested planning for their replacement prior to the failure. Details of these strategies and examples of situations where their application can be recommended are given. Introduction Energy auditors generally do not have a vested interest in the implementation of the recommended technology or procedure. Traditionally, recommendations are put forward as either immediate (with company money or with financing), or incremental; that is, the upgrade of a piece of equipment when it fails. Incremental adoption of a piece of equipment or technology is a fairly common procedure and has been successful in the past with short lifetime, inexpensive items such as flourescent lamps. Replacing lamps when they burn out has the obvious benefit of achieving the
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savings with only the premium to be considered when calculating a simple payback. This method looks very attractive on paper, but when dealing with more expensive, longer lifetime installations it fails to take into account the viewpoint of the client and therefore creates a weak case for full implementation. Many times it seems obvious that a recommendation will be implemented, but the upgrade is delayed for unanticipated reasons. Some of these reasons might be: concern over a company's financial status and thus internal competition for the funds a simple attitude that throwing a product away before it fails is a wasteful practice. In these cases other types of implementation strategies should be investigated. In this paper the authors hope to present a few strategies and case studies to demonstrate alternate strategies that might enlighten the auditor in methods of making an audit report more practical. We are not addressing the auditor's ability to recognize and analyze the potential energy saving opportunities, but rather, the effort to tailor the report to the business world. Cluster Implementation n order to find a compromise between immediate and incremental implementation, the auditor can look for some natural grouping of products. For example, many four foot fixtures have four lamps per fixture. Recommending replacing all four lamps at once gains the benefits of the energy savings, the light quality, and most of the benefits of incremental replacement. It may cost slightly more in labor to replace four lamps, but it certainly does not cost four times as much. The trick comes when the auditor attempts to quantify the results. Without taking such factors as inflation, depreciation, and rate hikes into account, the auditor can estimate the useful life left in the lamp and place a value on it. Another useful method to show the benefit of cluster implementation is to calculate the cost Of lost opportunity; showing the client that after a calculated amount of time, not performing the upgrade will cost money. The classic case of the need for cluster implementation was evident during the early days of energy efficient motors. The reason was that the precise replacement motor was not always available when necessary, so often a rebuilt motor was installed, negating any potential energy savings. Therefore a certain amount of planning was required, and it made sense to replace motors when it was convenient, not when the situation caused a plant shut-down. An example of an incremental recommendation is replacing rooftop air conditioning units when they fail. This method begs the question: when does a component A/C unit fail? These air conditioning units are designed in such a way that the device can be kept running virtually forever. There is generally no defining moment when an air conditioner fails; when it no longer produces the desired cooling effect, it often creates an emergency situation. This usually forces the repair or replacement of one or more of the major components. The next time it doesn't cool, and the facilities manager recommends replacement, management is likely to ask "Why replace it now? We just put in a new compressor (air handler, condenser, heat exchanger, etc.)." One case where just such a recommendation was made indicated that the premium cost for a high efficiency unit was $44 per ton, and the savings was $48 per ton. Therefore an attractive simple payback of 0.9 years was achieved. This particular calculation was complicated by the fact that the auditor used a factor (ostensibly from the IRS) that 10% of the units would fail each year. Since there were eight rooftop air conditioners at the facility, this implied that eight tenths of a unit would fail each year. Discussions with equipment manufacturers and installers reveal that a significant volume discount savings can be achieved when more than one installation is considered. For example, the cost of a new A/C unit is placed at $600/ton. The manufacturer stated that for multiple unit purchase, this value could go as low as $450/ton. The installer figured that labor costs decrease dramatically after the first unit installed, perhaps by as much as 20% per unit. Crane rental was fixed at $100/hr, but there is often a four hour minimum. This means that the $100 the auditor assigned to each unit was
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underestimated. At this rate, even helicopter rental might be feasible. Although helicopter rental is expensive, at approximately $1,000/hr, they have proven to be capable of removing and replacing as many as a dozen rooftop units in a single hour. This illustrates the two extremes. With cluster implementation, the auditor can take these details into account and recommend replacement of some multiple of units every year. This situation is analogous to the automobile rental industry. A car generally does not fail without creating a situation that must be dealt with immediately. The managers of these organizations plan for a reasonable phase out of their equipment in order to avoid a chaotic situation. The auditor can pose the question: when does the maintenance cost exceed a reasonable level? A major retailer determined that when the maintenance of a rooftop air conditioner was predicted to cost over 40% of the price of a new unit, a decision is made to replace the unit in the off season. This planned obsolescence allows the facility manager to forgo repairs that normally would be made. It is important to let the client make the judgment, but indicate that in order to make an educated decision, it is necessary to keep accurate accounting of the maintenance bills. In another case, a company that manufactured corrugated cardboard products was utilizing twelve electric water heaters spread throughout the plant. The reason these multiple units existed was either that natural gas was not available at the time, or that these areas were expansions that were hastily constructed without serious energy planning. The auditor recognized that these heaters were costing the facility a good deal of money, especially in demand charges, and recommended replacement of the electric water heaters with natural gas fired units when the old ones failed. He then calculated a 45 kW reduction in demand which would save the company over $4,500 per year. The cost premium was stated as approximately $2,000, yielding a simple payback of just under half a year. The recognition of savings was an excellent observation on the auditor's part. However, the practicality of the implementation was not seriously examined. The auditor in this case failed to recognize the barriers to implementation as recommended. First, the cost of labor to install the heaters was neglected. More importantly though, is the fact that there were no gas lines in this part of the facility. Without planning for the obsolescence of this equipment, the company will suddenly find itself with a situation that shuts down production,. The simplest (and most likely) solution is to purchase new electric water heaters, which will delay any demand savings for a number of years. Another missed opportunity in this recommendation was the fact that these are obviously very small (~ 4kW ) heaters. A great deal of efficiency in systems such as this are dependent upon appropriate sizing. A commercial water heater sized to approximately half this load can be purchased and installed for $1885 1, two of these heaters would therefore cost $3770. With a savings of $4500, the simple payback is within a year. The company could plan the replacement of half their heaters at their convenience when the funds are available and have almost immediate savings. In the incremental scenario, it is unlikely that the company would have any savings in the foreseeable future. Contracted Maintenance A common assumption made by auditors is that pointing out a repair that will save energy means that the company's personnel will pursue these recommendations. A very popular recommendation is to fix air leaks in compressed air systems. These leaks can be very expensive indeed; typically leakage of 10 -20% can be observed in the field. Just a single 1/64 inch leak can cost a plant $15 per year2. and it is obviously important to point this out, to the client. Inevitably the assumption is that there will be no labor cost, and that in-house labor will make the necessary repairs. Comprehensive discussions with maintenance personnel reveal that during hard times, many companies downsize their maintenance department to the point where these workers are putting out fires all day. They were are not worrying about the long term consequences of air leaks. If they were the auditor would not have discovered the leaks in the first place. Another consideration in the decision to recommend contracted maintenance concerns the fact that locating leaks when the facility is in operation is extremely difficult due to the unavoidable ambient noise levels.
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A maintenance contractor states that these repairs are a fairly simple procedure when a facility is shut down, and that skilled labor in his part of the country would cost approximately $15 per hour, with time and a half for overtime. In the above case, the losses due to compressed air leaks were estimated at over $1200 per year. Two skilled workers, and a few hundred dollars worth of materials would cost under $600, clearly a profitable investment. Lighting changeouts were mentioned earlier as a good candidate for cluster implementation. However, to many companies where the quality of light is of major importance, contracted maintenance is becoming a popular choice. Studies by a major manufacturers of fluorescent lighting 3 indicates that at 70% of the rated life of the lamps, 40 to 60 % of the lamps have failed. By this time lighting levels can be depreciated by as much as 20% due to degradation, and 50% due to dirt accumulation. It could be argued that contracted maintenance does not utilize the full life of the lamp, however at $0.08/kwh, a typical standard four foot lamp will cost an extra $9.60 over its rated life. Since energy efficient lamps cost under $3.00 typically, it is clearly not worthwhile to leave them in that long. Further, lamp manufacturers estimate that changing a single lamp can cost as much as $6 while group relamping can be accomplished for as little as $1 -2 per lamp, including cleaning of the fixture. Prototype Implentation It is easy for the auditor to ignore risk (real or perceived) when recommending a major investment or modification to a process. According to surveys, risky recommendations have traditionally had low rates of implementation In these cases, it might be wise to employ a prototype implementation strategy. In other words, recommend that a company change only one of its lines, or major pieces of equipment until they are convinced of the practicability or profitability of the investment. This particular recommendation usually requires that a company have some excess space to dedicate to this endeavor. The likely candidate for this particular strategy falls into two very distinct categories: the company going through a boom, and the unfortunate situation where a company is experiencing a bust. A case study of each example follows. A company that manufactures balls for the sporting industry is experiencing welcome acceptance of their product, and an increased demand. The present method of producing these balls is to heat a polymer in a mold using steam heat, then eject the product from the mold by shrinkage using chilled water. A production equipment manufacturer offers an alternative to this procedure by using electric resistance heaters to melt the composite, then utilizing a mechanical ejection system. This system offers a 30% productivity increase. However, when pressed for information about the amount of energy per ball that would be consumed, there seemed to be no definitive answer. The piece of equipment would cost approximately $140,000 plus tooling and delivery. Start-up time would take about nine months. The company needs three of these assembly lines to meet the anticipated demand. This company has looked at their options, and decided to purchase and install one line and test the process before proceeding. One reason they made this choice is that they would not need to go into the market to borrow money. Another reason is the energy consideration, since hard data was not available to calculate the amount (if any) of energy, and therefore money, that will be saved. Although electric heat is more expensive than steam heat, the molds would be heated and remain heated with the new procedure, instead of continually being heated and cooled. It was thought that this would result in an energy savings. In addition to these savings (if the system works out as anticipated, and all production is performed in this manner), one boiler, one chiller, and one cooling tower can be shut down permanently. On the other side of the coin, a printing company in the mid-west is experiencing a dramatic downturn in its main product. This company makes an intermediate product that is a proof of the final product. In the past the
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appearance of the product was of little consequence. Recently, a competitor came out with a new product in which the proof was a high quality print. Suddenly, the company was losing not only the proof work, but also the final print work, because the competitors product (and by association, their service) was perceived to be of a superior quality. This forced the company to seriously consider an upgrade that they had been avoiding for years because it was considered risky. They knew that the answer was a new ink coating machine. This new technology can increase productivity 200 -300%, while at the same time reducing solvent and disposal costs up to 50%. The product itself is not that expensive, $20 - 30,000. This particular equipment requires a vibration free installation which can cost as much as $200,000. The new process will also take up to one year for installation, de-bugging and operator training. One of the reasons the company did not experiment with this proposition before was that they did not have the physical space available without shutting down one of their profitable lines. Now, however, due to the untimely downturn in their business, they have the luxury of testing this new production line. If all goes well, the new line will be able to handle the production of both older lines while producing a higher quality product. This, it is hoped, will bring in more clients and allow them to upgrade the other line. These cases show implementation techniques that are normally not considered the realm of the auditor. If auditors takes a more business oriented view of the complexities and concerns of the client, then these clients will have a higher level of confidence in the capabilities of the auditor. The result should be a more believable report, with a higher percentage of recommendations being implemented. The authors would like to thank the following people for their assistance in gathering information from the business world; Robert Wilson, Service Manager, Weathervane Services, New Brunswick, NJ; Robert B. Walker, President, Robert Walker & Associates, Merideth, NH; Mike Monin, Project Representative, US Lighting Services, Willoughby, OH; and Robert Melvin, Service Manager, Accu-Temp, Inc., Indianapolis, IN. References: 1. Means Assemblies Cost Data, Construction Consultants and Publishers, Kingston, MA, 1994 2. Varigas Research, Inc., Compressed Air Systems, U.S. Department of Energy, 1984 3. G.E. Publications 201-31606 and 205-11084, General Electric Company, Business Lighting Group, Cleveland, OH
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Chapter 49 Industrial Demand Side Management Status Report - Synopsis M.E.F. Hopkins, R.L. Conger, T.J. Foley, J.W. Parker, M. Placet, L.J. Sandahl, G.E. Spanner and M.G. Woodruff Abstract Industrial demand side management (DSM) programs, though not as developed or widely implemented as residential and commercial programs, hold the promise of significant energy savingssavings that will benefit industrial firms, utilities and the environment. This paper is a synopsis of a larger research report, Industrial Demand Side Management: A Status Report, prepared for the U.S. Department of Energy. The report provides an overview of and rationale for DSM programs. Benefits and barriers are described, and data from the Manufacturing Energy Consumption Survey are used to estimate potential electricity savings from industrial energy efficiency measures. Overcoming difficulties to effective program implementation is worthwhile, since rough estimates indicate a substantial potential for electricity savings. The report categorizes types of DSM programs, presents several examples of each type, and explores elements of successful programs. Two indepth case studies (of Boise Cascade and of Eli Lilly and Company) illustrate two types of effective DSM programs. Interviews with staff from state public utility commissions indicate the current thinking about the status and future of industrial DSM programs. Finally, the research report also includes a comprehensive bibliography, a description of technical assistance programs, and an example of a methodology for evaluating potential or actual savings from projects. 1.0 Introduction Demand side management (DSM) is the implementation by electric and natural gas utilities of any number of enrgy efficiency measures aimed at altering the level and timing of energy demand in the service territory of the utility company. The Office of Technology Assessment estimates 154 utilities are conducting 417 industrial sector DSM programs 1. Utilities take such measures primarily to reduce the need to construct new power plants. However, DSM programs also produce many other benefits for both the utility and the publicfor example, reduced pollution and decreased use of natural resources (e.g., the coal and natural gas consumed during power production, as well as the water used). Industrial DSM programs have demonstrated they can overcome obstacles to achieve substantial energy savings.(a) In 1991, the industrial sector consumed about 820 billion kWh of electricity, about one-third of all electricity sold in the United States. The remaining potential energy savings in industry is considered by some to be the last major DSM resource still untapped by utilities. Based on electricity demand values from the Manufacturing Energy Consumption Survey and estimates of potential savings in various end uses, savings on the order of 100 to 200 billion kWh are projected in manufacturing. Electricity for motors is by far the largest end-use application in manufacturing, accounting for as much as two-thirds of total use. Lighting, another major potential source of savings, accounts for about 6% of total manufacturing use. Within manufacturing, the chemicals, primary metals, and pulp and paper industries together account for over half of all electricity use. (a) In the research report and in this paper, ''industry'' refers to those firms that utilities define as industrial customers, which are primarily U.S. manufacturing firms and larger (>50 kW) commercial firms, as well as mines, agricultural firms, and construction firms.
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2.0 Perspectives On Industrial Dsm: Benefits and Impediments Several factors encourage utilities to formulate industrial DSM programs. DSM programs defer the need to construct new power plants and help utilities retain industrial customers by increasing efficiency services. DSM programs help utilities achieve environmental benefits; indeed, non-energy benefits are often achieved via energy efficiency. Additionally, utilities experience positive public relations benefits by implementing DSM programs. However, there are also impediments to implementing these programs at utilities. A variety of factors come together to produce barriers that must be overcome in implementing industrial DSM programs. The opponents of DSM are against crosssubsidization between customer classes in DSM cost allocations, are skeptical because of utilities' lack of experience in industrial energy efficiency measures, and are concerned over capital constraints that are a financial barrier to investing in energy efficiency. Many companies have indicated that various constraints have kept them from DSM participation, perhaps not realizing that returns on investment can reach 300% 2. Additionally, the industrial sector is very complex, and utilities have limited experience dealing in detail with industrial facilities and equipment. Energy savings from industrial DSM programs are difficult to estimate in advance, leading to uncertainty in program design and difficulty in obtaining program approval. Utilities face considerable uncertainty about the future, especially in the face of the potential restructuring of the industry and the introduction of retail wheeling of power. Under some future restructuring scenarios, DSM programs might not serve utilities' principal business needs. Smooth and effective implementation of energy efficiency improvements can be hindered on the industrial side by a decision-making process that pits energysaving projects against more obviously profitable ones. Although the added incentives provided by utility DSM programs should encourage industrial firms to adopt energy-saving measures, some industrial firms have a generally negative view towards DSM and may, in fact, believe DSM programs increase their electricity prices and give energy efficiency assistance to their competitors. In addition, the time required for installation of energy efficiency measures can disrupt production facilities. Utilities, too, face barriers, principally in not being knowledgeable enough about their customers' processes to design customized programs or to accurately estimate and measure savings. Overcoming difficulties to effective program implementation is worthwhile, however, given that rough estimates indicate a substantial potential for electricity savings. A program that can overcome the impediments described above3 is likely to be customized to meet industrial customer needs easy for the utility to implement management-friendly, minimizing staff time minimal in its disruption to industrial operations attuned to the industrial decision-making process equitable in terms of rate structure trusted to reduce the customer's perceived risk measured by the utility, using sound measurement techniques expert in its treatment of the intricacies of particular industries. Equipment upgrades targeted at reducing energy consumption are a natural component of an industrial DSM program. However, because of the interrelationship of energy use, environmental effects, and operating costs, the most important opportunities for industrial DSM may reside in efforts to work together with industrial customers to improve their overall efficiency and competitive position. Such efforts may be especially important in helping to retain load from industrial plants that would otherwise cease operations or relocate.(a) Even under a scenario in which retail wheeling was prevalent across the United States, the best way for utilities to retain markets likely would be an aggressive program to work with (a) An example of such an effort involved a Sealtest plant in the Northeast that was in danger of closing. The plant was one of the parent company's least efficient; to reduce costs, the plant had cut back to a four-day work week, but further cuts were necessary. A partnership developed among Boston Edison, the Massachusetts Division of Energy Resources, and the parent company, together with a refrigeration engineering firm and a firm that conducted a comprehensive energy efficiency study. The efforts of the team resulted in comprehensive changes to plant equipment that reduced operating costs by approximately 30% and substantially improved the product4.
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industrial customers as industrial partners, helping to make their use of electricity an efficient and holistic endeavor and a financial success. 3.0 Industrial Electricity Use and Potential Electricity Savings Unfortunately, no general review of electricity savings can predict the type or magnitude of savings that could be achieved at any particular plant. The industrial sector is too diverse for such predictions. Manufacturing firms range from those that transform raw materials into more refined forms, such as the primary metals and petroleum-refining industries, to those that produce highly finished products, such as the food processing, pharmaceuticals, and electronics industries. Industrial firms vary greatly not only in the outputs they produce, but in how they produce them: even two plants producing identical outputs can use different processes; even two plants using identical processes can use different vintages and types of equipment. Hence, successful DSM programs recognize the need for personal attention to individual customers and their particular industrial operations. Some industrial DSM programs are similar to commercial DSM programs in their focus on a few standard technologies such as motors; lighting; and heating, ventilation, and air-conditioning (HVAC) systems. Motor drive represents a large fraction of industrial energy use and is a fruitful target for industrial DSM programs. Lighting programs can also yield significant energy savings and may provide a way to build industrial customer confidence in a utility's DSM activities 5. However, such programs do not address a large source of potential electricity savings that resides in process upgrades that may be specific to an industry or customer. Such process-specific measures also have the potential for benefits other than energy savings alone, which, depending on the customer and the particular operation, may make them more attractive than projects that save energy only. For example, a project that upgrades an industrial process to use process waste and byproducts for their materials or energy value may not only reduce energy use but also reduce waste handling, treatment, and disposal costs1. Because environmental costs have become an increasingly large component of industrial capital and operating expenditures, projects with both energy and environmental benefits and concomitant cost savings may be of particular interest to industrial managers. Table 1 shows the fraction of costs devoted to energy and the overall energy intensity (in terms of energy cost per thousand dollars of shipments) for the four most energy-intensive industries. (The standard industrial classification [SIC] numbering is the nomenclature used for classifying industrial processes.) The importance of energy costs to some industries is more evident below the 2-digit SIC level. Table 2 lists some of the highly energy-intensive sub-industries within the industries listed in Table 1. For the energy-intensive industries listed in Table 2, energy efficiency improvements may be the key to success of a firm. A DSM program may be the first step to achieving that success. 4.0 Utility Dsm Experience with Industrial Customers Designing and implementing a successful industrial DSM program involves a number of important choices and issues to be resolved if efficiency goals are to be achieved. As utilities change the way they operate, they need to be more prepared for and aware of customer needs. Finding the right combination of DSM program features, services, and delivery mechanisms is one secret of success. Successful programs vary widely because they are attuned to the specific needs and interests of particular industries and companies, because rate structures and business climates differ from state to state and region to region, and because individuals with unique skills are typically TABLE 1 ENERGY-INTENSIVE MANUFACTURING INDUSTRIES6 Energy Cost as a Fraction Energy Cost per of All Operating Costs Thousand Dollars of Industry (%) Shipments ($) SIC 26 Paper 5.0 42.6 SIC 28 Chemicals 4.6 32.1 SIC 32 6.8 56.7 Stone/Clay/Glass SIC 33 Primary 6.0 57.7 Metals Average for all 2.5 19.6 Manufacturing
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TABLE 2 ENERGY INTENSIVE MANUFACTURING SUB-INDUSTRIES 6 Energy Cost as a Fraction of Energy Cost per Thousand All Operating Costs (%) Dollars of Shipments ($) Industry SIC Paper Mills 9.0 83.2 262 SIC Paperboard Mills 9.5 87.0 263 SIC Industrial Inorganic 13.6 103.7 281 Chemicals SIC Chlor-Alkali 22.4 199.9 2812 SIC Industrial Gases 29.4 236.2 2813 SIC Cement, Hydraulic 21.4 204.8 324 SIC Primary Aluminum 19.7 228.9 334 catalysts in applying DSM programs in particular circumstances. At Boise Cascade, for example, a highly specific process improvement (in treatment of waste water from recycled products) was adopted for a number of reasons: because the new system reduced levels of environmentally regulated waste; because it reduced electricity use; and because the utility provided an acquisition payment to reduce the first cost and, thus, the payback period. At another manufacturing company, Eli Lilly and Company, management is environmentally conscious enough to encourage continuing improvements in energy efficiency; with the added advantage of a comprehensive set of DSM program options from its utility, such improvements meet Lilly's criteria for investments. Table 3 lists 12 types of programs and briefly describes the features, strengths, and weaknesses associated with each. 4.1 Assistance from Federal and State and Private Organizations Several sources of industrial DSM or energy efficiency assistance are available in addition to those programs offered solely by utilities. Certain federal and state agencies, as well as other nonprofit organizations, offer assistance to industrial entities and the utilities that serve them. The programs offered are designed to help organizations increase the energy efficiency of their industrial processes and facilities. These programs also serve as a resource for organizations and utilities in implementing industrial DSM plans. In Table 4, several programs are listed by program name, sponsor (funding agency), and type of assistance provided. 4.2 Program Experience The review of current industrial DSM programs reveals the general shift of industrial DSM programs from primarily a focus on finances to an emphasis on multifaceted service to respond to the energy efficiency needs of the industrial customer. After wholesale customers, industrial customers are the largest potential for load loss; therefore, industrial customers are a focus of concern for utilities and their future7. The successful industrial DSM programs have services and delivery mechanisms that were tailored to the needs of the industrial customer. In some cases, such as Southern California Edison, the intense competition and diversity of industry leads to programs that aggressively seek to meet the needs of every industrial customer. The solution for Southern California Edison is not the only solution. The variety of programs is quickly growing as the complexity and awareness of industrial needs grows and as the market opens up. Utilities are combining different services and financing mechanisms in DSM programs to find the optimal combination of motivation for the industrial firm and financial commitment by both the industrial firm and the utility. Comprehensive one-stop services illustrate a change in utilities' use of industrial DSM. The shift from solely financial to more service-oriented programs is a response to the coming of competition. Industrial DSM programs of the future are likely to continue this change to treating utility kWh sales as a service, instead of a commodity. Industry's perception of energy efficiency benefits may also be expected to change as energy saving benefits are further demonstrated. Common traits among successful programs that seem to give strength to programs are mentioned frequently in the literature. The most frequently cited features of successful programs include3 customer focus marketing techniques program flexibility
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TABLE 3 TYPES OF UTILITY INDUSTRIAL DSM PROGRAMS Program Type Description Weakness Strength Rebates (financial) A utility pays a rebate to the A utility must continue to The rebate is the most popular industrial firm for investment in pay as long as it wants to program type. It involves the DSM measures. continue the DSM least expense for the industrial measures. firm. Loan (financial) Utilities create easy ways for This program has limited This program especially helps industrial firms to acquire loans. appeal to industrial firms capital-poor industrial firms, that can get normal loans which would otherwise not be from banks. able to afford up-front costs. Shared Savings The industrial firm receives incentiveThese programs involve The utility is able to recover (financial) to invest in efficiency and then extensive data collection more of its costs. shares its energy savings with the to administer and figure utility to pay back (part of) the savings. incentive Leasing (financial) The utility buys energy-efficient This approach may be Some of the risk to the equipment and leases it to the costly to the utility if the industrial firm trying efficient industrial firm. lease is terminated before equipment is taken away. the equipment is paid for. Dedicated Allocation A fund for DSM programs is split A high potential exists forIndustrial firms can depend on of DSM Funds among a group of industrial firms. free riders when everyone a certain amount of money to (financial) is given funding. encourage efficiency. Incentives to Hire The utility guarantees that a managerThe program is costly andIt motivates the industrial to Energy Managers will pay for herself in savings or the savings are difficult to move on its own programming (financial) utility will make up the difference. assess in a mutually and measures. agreeable way. Market Pull ProgramsVendor and customer incentives are The utility pays more up- The utility may eventually (financial) used to make the market more front to pull the market. taper off and even discontinue energy efficient. the incentives. Information Only The utility offers information on Measuring actual savings The cost is relatively low. (education) efficiency to industrial firms. is difficult. Bidding (technical The utility requests bids for another Utilities are having Theoretically, bidding provides assistance) company to operate an efficiency difficulty determining for the real market price of program. when bidding is programs. appropriate. Comprehensive One- The utility provides for and guides It is costly to the utility in The industrial firm enjoys Stop Services audit and program implementation. time and money. individualized service. (technical assistance) Subscription Services A breakdown of services and costs isThe industrial firm may The industrial firm is confident (technical assistance) provided and the industrial firm opt out of DSM and about services it is getting and chooses the services it wants. efficiency entirely. paying for. Brokering (technical A third party encourages efficiency. It can be more difficult to The third party may actually assistance) deal with two parties facilitate coordinating the instead of just the one action of many industrial firms industrial firm. to provide for the whole.
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Page 338 TABLE 4 SOURCES OF INDUSTRIAL ENERGY EFFICIENCY ASSISTANCE Program Funding Name Sponsor Energy Analysis and Diagnostic US Department of Energy Centers Manufacturing Extension Partnership National Institute of Standards and Technology Energy Star Showcase Buildings US Environmental Protection Agency Green Lights Program US Environmental Protection Agency Energy Efficiency and Renewable US Department of Energy Energy Clearinghouse (EREC) DSM Pocket Guidebook for Industrial US Department of Energy Technologies National Industrial Competitiveness US Department of Energy & US Environmental through Energy, Environment, and Protection Agency Economics (NICE3) Pinch Technology Electric Power Research Institute
Type of Assistance Energy audits and technical assistance Technical assistance Technical information Financial assistance Technical information Technical information Financial assistance and technical information Computer software/technical information Computer software
Global, Automated Urban Government Public Technology, Inc Energy System The Chicago Energy Management Public Technology, Inc. Technical assistance Cooperative Lighting Research Center Rennselaer Polytechnic Institute Technical assistance Industrial Extension Service North Carolina State University Technical assistance Energy Savings Plan Program Bonneville Power Administration Financial assistance Integrated Resources Research ProgramNew York State Energy Research & Technical information and Development Authority forecasting tools Industrial Energy Efficiency and New York State Energy Research & Technical assistance Economic Development Program Development Authority Flexible Technical Assistance Program New York State Energy Office Technical assistance Customer Technology Application Southern California Edison Technical assistance Center Electric Ideas Clearinghouse Washington State Energy Office Technical assistance Regional Energy Efficiency Initiative Southern California Edison, Southern California Technical assistance Gas Company, The Irvine Company, and the California Energy Commission Innovative Concepts Program US Department of Energy Financial assistance and research Energy Related Inventions Program US Department of Energy Financial assistance and research Federal Energy Management Program US Department of Energy Research/technical assistance Metal Melting & Processing Electrie Power Research Institute Research Applications Development Nonmetals Technology Development Electric Power Research Institute Research R&D Applications Center for MaterialsElectric Power Research Institute Research Fabrication Industrial Program Technical Analysis Electric Power Research Institute Research & Planning Support Establishment of an EPRI Pulp & PaperElectric Power Research Institute Research Office Electricity Use & the Environment Electric Power Research Institute Research EPRI Partnership for Industrial Electric Power Research Institute Technical information Competitiveness
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financial incentives program analysis and evaluation partnerships. In addition, the programs offering the larger financial incentives have above-average participation and savings. 5.0 Case Studies Case studies are presented for two companies that have implemented industrial DSM programs: Boise Cascade Corporation and Eli Lilly and Company. They illustrate how the process and outcomes were affected by the industrial characteristics and/or the successful DSM program features listed above. 5.1 Boise Cascade's West Tacoma Mill Boise Cascade Corporation's West Tacoma Mill illustrates the key effect a utility DSM program can have on the decisions an industrial firm makes to remain competitive and to comply with environmental regulations. The director of technical and environmental affairs of Boise Cascade's West Tacoma Mill parlayed a utility DSM program's incentive into a mechanism to reduce the risk in adopting new technology to treat the waste water of a new newsprint recycling plant. Boise Cascade will save almost 7 million kWh annually as the result of a single project. In addition, the energy manager expects to save another 50 to 56 million kWh per year in his plant as a result of investing in options identified in a comprehensive audit just completed. The case study also describes the competitive environment faced by the newsprint operation, the utility industrial DSM program of Bonneville Power Administration, the role of Tacoma City Light, and the newsprint recycling and production process. 5.2 Eli Lilly and Company Laboratories of Eli Lilly and Company illustrate how an active corporate energy engineering staff can leverage technical assistance and incentives of a utility DSM program to help meet corporate energy efficiency and competitiveness goals. Staff of Lilly's Energy Engineering Technical Center used utility DSM programs to enhance the energy efficiency of its main offices, a technical center, a toxicology testing plant, and two major production facilities in the state of Indiana. For Eli Lilly and Company, the average savings over the last 3 years for just three of its plants is over 8 million kWh. For the three years 1992-94, savings now total 24 million kWh, and the company expects to achieve such savings yearly for at least the next ten years. If Lilly meets its goal, it will have achieved savings of over 100 million kWh by then. 5.3 Case Study Discussion The case studies illustrate several points. First, and most obvious, these DSM programs resulted in savings of electricity. Second, energy efficiency savings in an industrial manufacturing environment is almost always tied to production and related processes. These case studies show that electricity savings in industry go far beyond simple lighting and high-efficiency motor retrofits. Third, both case studies show the great importance of auditing a facility to look for all opportunitiesequipment efficiency, as well as process improvement. Both case study firms discovered potential savings and energy efficiency projects they either had not known about or had not had the time to identify themselves without outside assistance and encouragement. Fourth, commitment by either top management or an individual is a crucial requirement for successful utility DSM programs. 6.0 Review of Regulatory Issues State public utility commissions (PUCs) are responsible for overseeing utility industrial DSM programs within integrated resource planning (IRP) and other energy efficiency promotion activities. While PUC regulation of utility DSM programs varies from state to state, regulatory oversight usually includes review and approval of the DSM program design, implementation and evaluation processes. PUCs are often required to review all expenses incurred by a utility for DSM and to grant cost recovery only for those expenses judged to be prudent. PUCs have often initiated energy efficiency investments by utilities. It is in the state regulatory forum that issues surrounding industrial DSM programs, such as environmental externalities and retail wheeling, are resolved. 6.1 Interviews with PUC Staff Researchers interviewed PUC staff in 10 states: Utah, California, Minnesota, Texas, Massachusetts, New York, Pennsylvania, Iowa, Wisconsin, and Georgia. Interviews included a discussion of industrial DSM program status, accounts of successful or failed programs, stakeholder views, DSM cost recovery issues, the future of industrial DSM, and the potential for federal and state roles in encouraging industrial energy efficiency. Several points of agreement were evident among all ten PUC staff interviewed. All have active industrial DSM programs in place. The benefits to utilities are load
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retention and load management, and the benefits to industrial customers are in reduced cost of energy. All regulators mentioned that industrial companies object to sharing the cost of utility DSM programs for other customer classes and other industrial customers. A few states are moving toward subscription or optional DSM cost-sharing schemes and performance-based incentives. Successful programs noted by PUC staff used an innovative and usually comprehensive approach and had significant non-energy benefits. All but one indicated the future of DSM to be in greater customer service orientation. Retail wheeling is not uniformly seen as inevitable. The estimated effects of retail wheeling are perceived differently by utilities and industrial customers, but not consistently. Most PUC staff interviewed thought retail wheeling would jeopardize rates and services now enjoyed by core customers. PUC staff most often recommended that federal and state energy offices promote industrial energy efficiency through demonstration projects in their states. 6.2 the Future of Industrial DSM Programs The future of industrial DSM is widely reported by PUC staff interviewed to be moving toward comprehensive programs, that is, programs that include rebates or other financial incentives for some prescriptive measures, such as lighting or motors, and performance measures, as described in a custom-designed efficiency upgrade. This view of the future also assumes that electricity will be marketed less like a commodity and more like a service, even in the event that retail wheeling becomes a reality. Any prognostications regarding industrial DSM programs necessarily include the likely effects of retail wheeling. Performance-based rate-making, that is, the use of conservation incentives, will become more widespread, increasing the likelihood of more service-oriented efficiency programs. On the other side of this issue are PUC staff in California and elsewhere, who believe that if retail wheeling becomes a reality, utilities will eliminate industrial DSM programs in a effort to maintain the lowest possible costs. Equity considerations will emerge as the effects on core customers and others become known. Energy efficiency investments by industrial customers are expected to increase as the benefits in energy savings and economic productivity are demonstrated. PUC staff in several states look forward to increasing these projects to educate industrial customers and utilities in their states. In addition, federal support was encouraged in the areas of equipment efficiency standards, standard labels for motors, and training regarding engineering energy audits. 7.0 Conclusion A number of very desirable benefits are associated with industrial DSM. In addition to the benefits to utilities and their industrial customers discussed above, society as a whole benefits from the reduced environmental stress and from the potential for a stable industrial base (with the concomitant employment opportunities) that energy efficiency improvements may encourage. Many public interest groups (i.e., non-government organizations) commend utility efforts to initiate industrial DSM programs. Industrial partnering with utilities for DSM can be an incentive to change technologies, processes, and practices, all of which make the company more profitable. This partnering can substantially change the economics of installing energy efficiency measures. For some industries, DSM can increase economic competitiveness. By participating in utility DSM programs, Boise Cascade Corporation expects to save $133,000/year on electricity bills, and Eli Lilly and Company will save approximately $1 million over the next three years. For utilities, industrial DSM can help defer or obviate the need to construct additional generation (kW), transmission and distribution capacity, while helping them meet environmental regulations, keep their industrial customers, and improve their load factor and their public image. Industrial DSM programs have gained substantial experience in overcoming the obstacles to energy and economic efficiency. Effective industrial DSM programs combine energy awareness, personal attention from decision-makers, the ability to couple energy savings with other benefits (such as process improvements), appropriate program vehicles, and the expertise to analyze and apply custom solutions. Though the mix of attributes may be difficult to orchestrate, successes provide benefits to all immediate participants and to the nation. 8.0 References 1. Office of Technology Assessment (OTA). 1993. Industrial Energy Efficiency. OTA-E-560, Office of Technology Assessment, U.S. Congress, Washington, D.C. 2. D. Swink. 1993. Comments in Proceedings of the White House Conference on Global Climate Change, Washington, D.C., June 10 & 11, 1993. CONF9306266, Office of Scientific and Technical Information, U.S. Department of Energy, Oak Ridge, Tennessee. 3. J. Jordan and S. Nadel. 1993. Industrial Demand-Side Management Programs: What's Happened, What Works, What's Needed. American Council for an Energy Efficiency Economy, Washington, D.C.
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4. M. P. Hepner. April 1994. "Sealtest Ice Cream: A Case Study in Cooperation." In Proceedings, Sixteenth National Industrial Energy Technology Conference. Texas A&M University, College Station, Texas. 5. N. Elliott. 1994. Electricity Consumption and the Potential for Electricity Savings in the Manufacturing Sector. American Council for an Energy Efficient Economy, Washington, D.C. 6. U.S. Bureau of the Census. 1992. 1991 Annual Survey of Manufactures. M91(AS)-1, U.S. Department of Commerce, Washington, D.C. 7. R. J. Rudden and R. Hornich. May 1, 1994. "Electric Utilities in the Future: Competition Is Certain, the Impact Is Not." Public Utilities Fortnightly, pp. 2125. Acknowledgment This work was supported by the U.S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Office of Utility Technologies, Integrated Resource Planning Program. Pacific Northwest Laboratory is operated for the U.S. Department of Energy by Battelle Memorial Institute under contract DE-AC0676RLO 1830.
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Chapter 50 Energy Models for Integrated Process Plants V. Venkatesan Abstract Controlling the energy consumption in integrated process plants in order to improve the energy efficiency is a proven approach in many operating plants. Measuring and monitoring the energy consumption is the first step in the above approach. Integrated process plants convert the basic raw materials into their final products through multiple processes. They are normally energy intensive. The complexity due to the multiple processes necessitates in-depth analysis of energy flows between all processes of these plants. Deviations in efficiency at individual processes reflect in the overall plant's profitability. Meaningful and objective energy monitoring in such plants should include both individual units and overall plant performance. Energy model analyzes individual unit's energy efficiency and their influence on the overall plant's performance. The paper presents energy models for three integrated process plants, namely a Steel complex, a Pulp & Paper plant and a Petroleum refinery. It may serve to the needs of the managers who are accountable for overall profitability. Introduction Cost improvement is the way of life in all the successful organizations of any established sector in today's world. System designs & operating practices with inputs having no value additions have to be identified and eliminated to improve the performance and lower the cost. A reduction of 2% in the production cost is equivalent to increasing the output by 20% in an industry where 10 % is the return on investment. Energy conservation / management is one of the most proven means of cost improvement in any industry with a never ending potential. In all the energy management efforts the first step is the understanding of energy flow within the system and it remains the same wherever it succeeded. The first step. It begins when the operating mangers try to answer the two simple questions asked by their chief executive; "How much energy do we consume?" and "Why do we consume that much?". Though the operating managers are aware of the answers, the data when put on paper opens up different avenues for improvement As the chief executive keeps insisting. more and more improvement improvements are found. During the process, not only energy efficiency of the system improves, but also everyone's understanding. With a better understanding of energy flows within a system, the critical parameters that influence energy consumption are better evaluated and communicated for necessary management action. In this paper an attempt is made to develop a system, which can evaluate energy flows and performance of integrated multi- process industries in a simple graphics environment. Integrated Process Plants Raw materials are converted to the final saleable product through stages involving various process steps in any integrated process plant. They normally consist at several complex process units. Examples may be the plants that produce steel from iron ore, finished fabric
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from DMT. fertilizers from hydrocarbon feedstock. In the subsequent paragraphs, the multiple stages of three integrated process plants are explained in detail. Many processes are inter-dependent. but may still have flexibility provided by design to have some degree of independence. They may be centralized utility and auxiliary services, which may be large enough to be considered as another process unit. However as the complexities increase. the potentials for improvement also increase. Integrated process plants offer many challenging avenues for thriving excellence to designers, operating engineers and above all to the top management in a competitive environment. Hence, energy modeling is considered more suitable to integrated process plants. Energy Model As a Management Tool In an integrated process plant, various forms of energies are converted and consumed at different units which are often closely related to each other. Consequently. the energy management program of the entire plant tends to be quite diverse and is influenced by many critical parameters of different units. Various techniques have been developed to keep track of a unit's level of performance and correlating them with the overall energy performance. Such a tracking is very much essential to focus attention at the desired level of management and to make investment decisions. Many methods are practiced to evaluate and report the energy consumption level and performance. One such approach is the simple Energy Model. The needs of energy management Energy Model of an integrated process plant have been developed from a standpoint that the whole process plant is regarded as one energy system where the energy is consumed, converted, recovered and transferred. Because of this, the numerical value of energy savings attained in each process cannot always represent a net total of energy conservation attained throughout the plant. In many cases, a correct picture of energy conservation can be obtained only by viewing things from an all-inclusive stance. Further in integrated plants, with continuous processes wherein output products of a process are used as feedstock for the subsequent process, the appraisal of energy conservation for each process must be made in relation to preceding or subsequent processes. Objectives of the energy model: Energy Model is a type of management information system. designed to be concise, but to provide all necessary information of energy performance evaluation of an integrated process plant. The primary objectives of the model are to fulfill the following: a. To be capable of generating the energy utilization performance assessment for the total site in a single look. b. It should provide information on critical performance indicators against their targets. c. To be able to identify significant energy efficiency variations at any intermediate stage of the total site to facilitate 'real time' energy control. A management tool: This Energy Model serves as an effective management tool, since the viewer gets the energy performance of the overall plant, energy flows and energy transformations. The energy distribution losses are also represented in the model. Model is designed to exploit the capabilities of on-line data acquisition and data manipulation facilities now available. It can be tailor-made to suit any type of integrated process plant. If energy cost data is incorporated, then the model can compute the energy cost factors at unit levels directly. In a competitive atmosphere thriving towards excellence. this may be an useful tool to any management. Energy Model, on its own will not save energy. It is the actions of people resulting from the information on energy performance that they receive, that saves energy.
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Basic Characteristics of Energy Model Energy Model is a graphical representation of various forms of energy flows within a process or system considered in a selected time period shown on a single page. All the data represented by the model is on the basis of one unit of the final saleable product, say, one ton of saleable steel for a steel plant. It can also be based on one unit of main raw material intake. This is one of the most suitable form of representation for systems where multiple process units are integrated to deliver one or few saleable products. With the advent of latest PC software's, the complexities of these models have grown, leading to multiple analytical avenues of the energy system. Energy commodity grids: The various energy forms, called energy commodities, and are represented by energy commodity grids in the model. Fuels, Electricity, Steam. Water and Compressed air are some of the typical energy commodities. All energy commodities are converted to common energy form like GCals or kWh. for the purpose of balancing. The input-output difference within an energy commodity grid indicates the distribution losses of that particular energy commodity. Process Units: Each unit within the integrated process plant is represented in a rectangle block and the various forms of energy supplied or collected from the units are represented by lines marked with appropriate arrows. Depending upon the depth of analysis, processing units can be grouped together or divided further extending the same balancing concept. The difference between the input and out-going energy in a block indicates the specific energy consumption in that processing unit. This need not match with the thermodynamical energy addition in the particular processing stage. At each rectangle block, the specific energy consumption and the critical parameters that influences it is evaluated. The design value of specific energy consumption and the critical parameters can be indicated for comparison with the evaluated actual performance. Losses Grid: Energy and material losses occur at each stage of the process. Normally these are included with the specific energy consumption. Whenever these process losses are quantified they should be directed to the losses grid at the energy model. Also conversion and distribution losses are shown in the energy commodity grids. All of the above are converged in the losses grid to evaluate the losses of the integrated process plant. Final Indicators: Overall specific energy consumption of the integrated process plant per unit of final saleable product (or input) is evaluated generally in the last rectangle block. Sometimes saleable products may be delivered from more than one of the several process units. In such situations, the overall specific energy consumption is a contribution from each of those process units. Besides the overall specific energy, consumption of different energy commodities per unit of final saleable product can also be evaluated. Input data matrix: Necessary performance data from each process plant is arranged as a matrix in a spreadsheet. Depending upon the complexity of the model, the input data matrix can be varied in size. Though test cases were simulated for this paper, it may be possible to extract plant performance data directly from the Distributed Control System (DCS). Once such an inter-phase is made, energy models can be used even for real time energy monitoring. Overall energy balance Since the model is based on energy and material balance, total input energy should be matched by the energy outputs. Three examples in the following sections may give more insight to the concept of Energy Model to integrated process plants. Energy Model of an Integrated Steel Plant An integrated steelworks constitutes a large scale energy recycling system where energy is consumed, converted, recovered and transferred in an extremely complicated fashion between
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processes. A brief outline of an integrated steelworks is given in the next paragraph. Iron & Steel making process: Iron ore (Iron oxides) is reduced by metallurgical coke to obtain iron. Steel making process is the removal of undesired carbon ill iron by oxidation in a controlled manner by oxygen blowing. The liquid steel is casted as Ingots which are rolled further to produce saleable hot rolled or cold rolled products. Iron making consists of three major process steps, namely Coke making in Coke Ovens, Sintering of fines in a Sintering plant and Iron making in Blast furnaces. The process of coke making includes recovery and utilization of cokeoven gas & other by products. Typical steel making process consists of basic oxygen blowing furnaces called LinzDinovitz(LD) convertors. Refractor, plant and Ingot moulding yards or Continuous casting (Concast) machines. Rolling mills include primary rolling mills like Slabbing or Blooming mills and final rolling mills like Hot rolling mills and / or Cold rolling mills. Since integrated steelworks are energy intensive, they are designed with huge utility and internal energy distribution systems. Cokeoven gas, Blastfurnace gas and LD gas are internal fuels used within the steelworks and a typical process flow diagram of an iron & steel plant is shown in Figure 1. Energy in steel making: The overall energy consumption per ton of steel produced is indicated usually in GCal/ton of saleable steel. This is the ratio of total quantity of primary energy consumed for a given period by the steelworks as a whole and the aggregate tonnage of saleable steel produced for the same period. This overall energy consumption of different steelworks varies from 5 to 9 GCal/ton depending upon the steelworks design and operation. Periodic monitoring of this indicator gives the status and direction of energy management effort's results. Though overall energy consumption per ton of steel serves as a convenient macro-indicator in dealing with energy problems of steelworks it cannot be an effective means to identify improvement opportunities within the energy system. The overall energy consumption per ton of saleable steel is influenced by the equipment type, production size, product mix and critical operating parameters of the steelwoks. Energy model is an approach in which energy consumption structure. its characteristics and the effects of any changes in parameters within the system on the total system can be investigated. A typical energy model of a steelworks is shown in figure 2. Energy Model of a Pulp & Paper Mill Paper making process is an energy intensive process. Efficient use of energy plays a significant role in the profitability of the Pulp and Paper plants. Energy in paper making process Every one ton of paper consumes nearly two tons of wood besides 10 to 12 tons of steam and 1200 to 1400 kWHs of electricity. As the process demands both electricity and steam it is an ideal choice for cogeneration systems. In leading paper making countries like Sweden, Energy Models are aimed towards 'Zero purchased energy'. A combined approach towards energy efficiency & fine tuned Cogeneration design has minimized the purchased energy to almost nil. Paper making process in brief: Cellulose fibre available in wood is converted in to paper in a two step process in the paper plant. Energy consumption in the process begins at the Chipper house, where the wood is cut in to smaller pieces. Chipped wood is cooked at elevated temperature and pressure to chemically extract-out the lignin from wood separating the cellulose fibers. Some processes adopt complete mechanical pulping in stead of thermo-chemical pulping. The fibers undergo a series of washing stages resulting in pulp. Washed liquor (also called as black liquor) containing chemicals & absorbed lignin is concentrated in multiple effect evaporators prior to a pyroprocessing stage to recover the chemicals. Bleaching & coloring is done in the preparatory section. In the paper machine paper web is formed from lean pulp which is vacuum pressed and dried over fast moving hot rollers in to paper of desired quality. In the finishing house, the paper is cut or slit in to standard sizes as demanded by the market and stored in chambers
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of controlled humidity till they are dispatched. A huge utility complex caters the steam. electricity and water demands at all processing stages. A simplified process flow diagram is shown in figure 3. Water plays a significant role in paper making since every molecule of paper has traveled through water. Hence, water and effluent treatment also consume considerable energy in paper plant. Recovery of chemicals from black liquor generates about 20 - 25% of the paper plant's steam needs. Utilization of the stripped bark from wood and saw dust reduces the fuel requirement. Better design, judicial equipment selection and operation makes 'zero purchased energy concept' a reality. A typical energy model of an integrated pulp & paper plant classifies the total process in five/six energy centers as shown in figure 4. Individual performance in each center is represented by its specific energy consumption. Most common factors influencing the specific energy consumption in each center, are listed within the block. Analyzing these factors will give more insight to the energy inefficiency and necessary improvement options. Energy Model of a Petroleum Refinery Energy costs are a significant element of overall refinery operating costs if equated in monetary terms. Hence there exists a clear financial incentive in minimizing the use of energy. Its use can be controlled to minimize operating costs and maximize profitability using the same management techniques as applied to other resources such as manpower, materials, and money. Energy consumption in Petroleum refineries Typical refinery energy consumption ranges from 4% of chide throughput for a hydroskimming configuration to 10% for a deep conversion refinery. For a typical 100 kbd refinery this is worth up to 50 million US $ per year with fueloil valued at 100 $/ton. A fairly modest 10 % cut in energy consumption yields savings of up to 13 ¢/ bbl of crude processed. The manner in which a refinery manages its energy consumption materially affects the overall site profitability. For energy management measures to have an impact on profitability there has to be a change in the value of products exported from the refinery. This change may be in the quantity or the price of energy bought or sold. The relationship between changes within the refinery and their impact on purchased energy costs is often complex. Nevertheless, it is vital that as a first step these relationships be analyzed and understood. Only after this is done, the refinery energy economics can be defined and an appropriate energy cost reduction strategy established. Process of petroleum refining in brief All petroleum refineries process crude in to saleable products like LPG, Naphtha, Gasoline, Kerosene, Gasoil, Fueloil and Asphalt. Some refineries have facilities to manufacture Lubeoils, wax and specialty petrochemicals. Irrespective of the type of crude intake, product specifications are met using various technologies and processes. To maximize the product yield and to meet the products specifications refineries are designed with various configurations. Atmospheric & mild vacuum distillation units produce LPG & straight run distillate products. Residue from such units are vacuum distilled to produce lubeoils and vacuum gasoils. Vacuum gasoils are catalytically cracked to products like gasoline, gasoil and LPG. The residue from vacuum distillation is thermally cracked to produce heavy fueloil, coke, gasoil and gasoline. All these products are hydrotreated to remove excess sulfur content to reach the allowable levels specified by the market. Besides units like Reformer. Alkylation, Aromatics complex, Polymerization and Isomeri-zation convert intermediate streams in to more valuable products. In all the above mentioned processes fuelgas is produced as a by-product, which is utilized to meet 25-30% of the refinery fuel demand. Sulfur removed from products and fuelgas as hydrogen sulfide is recovered finally as sulfur in sulfur recovery units. Like Paper plants petroleum refineries are also suitable for the application of cogeneration concept. The refineries are generally designed with their captive utility plants to generate steam, electricity, compressed air and water. A typical refinery flowsheet is shown in figure 5 and the energy model is shown in figure 6.
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Utility of the Energy Model Energy management is an established cost reduction strategy to survive in competitive atmosphere. Though individual energy savings projects improves the efficiency at intermediate stages, it is essential to evaluate their impacts on the overall site profitability. Claiming energy savings in additionally insulating a sixth stage evaporator is not wrong, but its overall impact may not justify the investment. Similarly the case of recovering energy in the form of low pressure steam when it is being vented some where within the total site due to system imbalance. The manner in which a continuous process plant manages its energy consumption materially affects the overall site profitability. The relation-ship between changes within the system and their impact on purchased energy costs is necessary to assess the real profits. Nevertheless, it is vital that as a first step these relationships be analyzed and understood through the energy model. The refinery energy economics can be defined as a second step and an appropriate energy cost reduction strategy established. In summary rises of the energy model are as listed below: - Overall energy flow in the system is shown by the model. Energy supplied from multiple external sources as well as the internal energy generations and their utilization are shown. - Energy efficiency at each stage of the process in the total system is evaluated and shown. - Distribution losses of energy commodities are accounted. Whenever there is an increase in energy losses it may be possible to get an immediate insight of the contributors to the losses grid. - Variations in overall energy consumption can be better explained. Sometimes process stages may operate at the same efficiency, but the overall energy consumption may be increasing or decreasing due to the product mix from the process stages. Steel plant is a good example to explain. Final saleable products in a steel plant come out from the various rolling mills and the product mix from hot and cold rolling mills might have changed in the period of consideration. Though specific energy consumption at hot and cold rolling mills remains steady, overall energy consumption per ton of saleable steel may be varying. Energy model can easily represent this, by non-variation in specific energy consumption at the respective process stages, but with a variation in overall energy consumption. Conclusion Energy model is just another form of management information system. It provides energy balance; for the entire process plant on a single page. It can be modified to suit the complexity of any continuous process plant. It is an useful tool to reap the cost reduction through proper energy utilization. References 1. Seibi Nakanishi, Nippon Steel Corporation 'Energy conservation in the steel industry.' December 1982. 2. Tetsuya YAMAMOTO, Sumitomo metal industries & Tadashi NAKAGAWA. Nippon Steel Corpn., A vision of energy structure for integrated steel works of future'. Trans ISIJ. Vol 23. 1983. 3. Tadashi KATADA. Nippon Steel Corpn., An overall study of energy consumption and savings at steel works. Trans of ISIJ. Vol 20, 1980. 4 Annual Performance Reports, some selected industries.
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Figure 1
Figure 3
Figure 5
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Figure. 2 Energy Model of an Integrated Steel Plant
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Figure 4 Energy Model of an Integrated Paper Plant
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Figure. 6 Energy Model of a Petroleum Refinery
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Chapter 51 Management of Compressed Air Systems S.R. Brod and S. Ray S.R. Brod, S. Ray Introduction Compressed air is perhaps the most inefficient form of commonly used energy in industrial facilities. Yet, it typically receives only modest management focus towards efficient optimization. Most commonly, the areas of primary management concern regarding compressed air systems are minimizing initial capital costs and ensuring reliable support of production operations. By broadening the current focus and aggressively managing the entire compressed air system, costs of compressed air can often be reduced by as much as 30%. In order to effectively manage compressed air systems, a general knowledge of numerous facets is required. Only once this knowledge is gained can the system as a whole be properly optimized. The purpose of this paper is to draw upon experience gained in numerous industrial assessments to provide a practical overview of compressed air systems. It is not meant to provide detailed operational information but rather managerial information. Topics covered are: Overview of Compressed Air Systems A general discussion of air compressors and systems focusing on the needs of industrial customers. Industry Analysis An analysis and comparison of compressed air use across industry sectors. Best Practices An overview of typical cost saving opportunities and best practices and their applicability to industrial customers. Metering Techniques Determining the benefits of an optimization strategy requires having an understanding of compressed air load profiles which can best be gained through metering. Overview of Compressed Air Systems There are three basic components of compress air systems; generation, distribution, and end use. Generation The single most important aspect for consideration in selecting a method of compressed air generation is the air use profile of the operations to be served. If the compressed air generation system does not properly follow the load profile of the end users, significant energy can be lost. Most facilities only consider the full load requirement of a compressor when selecting a compressor. An example of poor load matching would be to select a compressor which uses 75% of its full load energy even when generating only 25% of its maximum cfm when the load profile indicates the compressor will run in this condition 90% of the time. The need to follow the air use profile must be weighed against the other variables in compressed air generation; full load performance, initial capital cost, maintenance costs, utility costs, useful service life, reliability, and special needs of end users. In the example above, if the compressor only runs 200 hours a year, the poor load matching is irrelevant and the most important factor becomes the initial capital cost.
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Compressor Types The most common types of air compressors are reciprocating, screw, and centrifugal. Reciprocating Once the most popular type of air compressor, reciprocating types have been increasingly replaced by screw and centrifugal compressors in industrial facilities. New installations of reciprocating compressors are now typically only in the 50 HP or less size range. Reciprocating compressors can offer the best energy efficiency and load following characteristics. Larger versions can also have extremely long service lives lasting 40 years or more. However, their higher capital and maintenance costs typically offsets the energy savings benefits. Reciprocating machines are now primarily suited to lower size ranges where capital costs are similar to other types and in applications with long idle periods. There are two versions of reciprocating compressors, single acting and double acting. A single acting machine only compresses air on one end of the stroke while a double acting compresses on both ends. While double acting compressors are more efficient, they are usually only found in larger size ranges. Reciprocating compressors may have either one or two stages. Two stage machines are more efficient due to the ability to cool the air between stages and increase the efficiency of the second stage. Screw The main attraction of the screw compressor is its low initial cost and low maintenance cost relative to reciprocating compressors. However, because of their lower full load efficiency and less ability to follow air use profiles, failing to properly control and match screw compressors to the actual load profile can significantly increase costs. Screw compressors have four basic design features which affect energy use relative to the air use profile. A standard screw compressor uses a valve at the inlet of the compressor to vary air output based on system pressure. These machines can be very inefficient and use as much as 70% of their full load energy even when generating no air. The most significant modification to this design is to operate the compressor such that it loads and unloads based on system pressure. A screw compressor running unloaded will use about 20-25% of its full load energy. Some compressors have controls so that between 0% and 70% load the compressor operates in load/unload mode and above 70% it modulates the inlet valve. This method achieves part load performance at low loads without excessively cycling the compressor at high loads. Some manufacturers have improved the load following of screw compressors by installing valves along the length of the screw to effectively shorten the screw at different load requirements. These are also referred to as variable displacement compressors. The final differentiation of screw compressors is the number of stages; one or two. As with reciprocating compressors, two stage compressors are more efficient but typically are only cost effective over single stage units in larger sizes. Centrifugal The operating characteristics of a centrifugal compressor are similar to a screw compressor. Their capital cost typically makes them most suited to very large cfm applications. They have similar load following characteristics as a standard screw compressor and typically only efficiently follow air use from 70% to 100% of load. Below 70% they will blow off any excess air generated becoming very inefficient. Though they can also operate as load and unload machines, they are typically not operated as such. Centrifugal compressors will have 2, 3, or 4 stages. As with screw type compressors, a greater number of stages increases efficiency but is only cost effective in larger sizes. Blowers A low pressure alternative to air compressors are numerous types of blowers. When only 20 psi air or less is required, a more efficient alternative to generating 100 psi air and reducing it to 20 psi is to directly generate the air by use of turbines or other blowers. The main consideration in using blowers is the need for larger diameter distribution piping as the pressure decreases. This makes blowers primarily suited to applications where the blower can be situated close to the operation. Another consideration is that smaller blowers of 5 HP or less tend to have reliability problems and potentially high maintenance costs. Figures 1 and 2 present performance comparisons of various types of compressors. Figure I shows the full load performance characteristics by plotting cfm of compressed air generated per compressor brake horsepower at 100 psi. Figure 2 shows the part load performance curves of various types of compressors.
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Capacity vs. Power Required
Figure 1 Capacity vs. Power Required
Figure 2
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Distribution Pressure is the single most important element in compressed air distribution systems. This is because it requires less energy to generate a cfm at low pressure than it does at high pressure. Running a compressed air system at 110 psi rather than 100 psi due to the distribution pressure drop increases the energy required for compressed air generation by almost 6 percent. There are two overall methods of reducing pressure requirements. The first is to reduce the pressure losses in piping, filters, receivers, dryers, and other system elements between the compressor and the end user. The overall pressure can then be reduced to the actual requirements of the end users. To minimize pressure losses, piping should be sized properly for the anticipated flows and only truly necessary filters, dryers, and receiver tanks should be used. The second method of reducing pressure requirements is to segment users based on their pressure requirements. Tasks such as tank aeration only require 5 to 10 psi while hand tools may require only 40 psi. While pressure drop is the most important energy issue relative to distribution systems, the other components must also be addressed to effectively manage the compressed air system. Air Dryers and After Coolers There are numerous methods to dry air; refrigeration, desiccant, and water removal in receivers and system low point drains. After coolers are typically used to increase the drying ability of air dryers and reduce the air temperature to acceptable levels for the system. The most wasteful practice observed in air drying is to use frequent or continuous receiver tank blow-off to remove water. One facility used four 1/2 inch lines from low point drains into 55 gallon drums to remove system water. Air drying can be optimized by segmenting air streams and only drying to the level required for the operation and by using higher efficiency dryers such as thermal mass air dryers. Separators and Filters Filters are primarily used to remove oil from the system. As the air purity requirements increase, the pressure drop across the filters increases. Therefore, it is best to separate air streams based on purity requirements and to replace filters on a regular basis. Receivers and Accumulators Receivers and accumulators are used in systems to dampen system pressure fluctuations, prevent excessive compressor cycling, and also help to remove water. They may be especially necessary on systems with reciprocating compressors to counteract the pulsing of the compressors. To achieve their goal, they will typically be filled to a higher pressure than required by the system representing another system pressure drop. In systems which are not sensitive to pressure fluctuations or excessive cycling, receivers can often be removed. End Use Compressed air is the most expensive method of accomplishing virtually any task. Therefore, it should only be used where it provides benefits which cannot be provided by another method. Controlling the uses of compressed air present the most opportunities for savings through reducing non-productive use and finding alternatives to compressed air use. Accomplishing this requires a comprehensive program of controlling compressed air use and consistent focus and attention. From previous evaluations of compressed air systems, active management of compressed air uses can reduce use by as much as 30%. Industry Analysis Over the course of several years of industrial energy assessments, extensive information has been gained on small and medium companies within industries located in the Michigan area. Because the analysis included direct recording and metering of key operating data, this represents perhaps the first direct compilation of compressed air use information across industry segments. Fifty-four companies were grouped into six broad segments; injection molding/plastics processing, tool and die, metal processing (extrusion/casting/heat treat), stamping, and plating/metal finishing. Facility data was compared across the companies by size, number of employees, number of compressors (units), total compressor horsepower, energy use (kWh/yr), energy cost ($/yr), and compressor energy use as a percentage of total facility energy use. The companies are presented prior to any attempts to reduce compressed air use. In most cases, significant opportunities were found for reducing air use with some segments being more wasteful than others Because of the relatively small samples and diverse nature of operations, even within segments, it is difficult to draw many conclusions. In general, due to the relatively low energy intensity of the tool and die and stamping processes, the compressed air systems tend to account for a greater percentage of the total energy of these facilities. Conversely, the plastics segment uses a lower percentage of its total energy for compressed air due to the relative high
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energy intensity of its processes and lower need for compressed air. Data is presented in summary and for each segment in the following tables and charts. Summary Mean Median Std Dev
Size (sqft) EmployeesUnits 101,032 141 2.1 81,250 103 2.0 84,913 107 1.3
Total HP 196 100 270
kWh/yr $/yr 616,868$46,289 265,206$19,333 771,048$57,632
% of Total kWh 11.9% 9.8% 9.1%
1. Plastics Company Size (sqft) EmployeesUnits 1 284,218 193 1
Total HP 50
2 3 4 5
33,000 30,000 63,000 90,000
50 100 150 85
2 1 2 1
10 50 40 30
6 7 8
52,300 23,815 110,000
60 31 115
2 2 2
90,000 174,000 100,000 117,000 97,278
140 280 310 160 140
90,000 73,081
128 87
9 10 11 12 Mean Median Std Dev
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kWh/yr $/yr 264,588 $19,738 5,880 280,075 165,468 62,400
% of Total kWh 4.2%
$ 516 $18,368 $12,486 $ 6,672
2.0% 6.7% 7.5% 23.0%
45 60 260
68,172 $ 7,235 249,600 $25,210 101,154 $ 8,505
13.6% 2.3% 4.0%
1 3 1 3 1.75
50 450 100 110 104.6
265,824 $17,275 1,725,400$137,660 689,762 $45,489 148,560 $10,979 335,574 $25,844
3.4% 5.8% 13.0% 1.2% 7.2%
2.00 0.75
50.0 126.7
207,534 $14,881 472,049 $37,064
5.0% 6.4%
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2. Tool and Die Company Size (sqft) EmployeesUnits
Total HP
kWh/yr
$/yr
% of Total kWh
13 14
117,700 112,910
240 200
2 4
110 300
346,414 $18,338 633,400 $56,918
4.0% 20.5%
15 16 17
185,000 48,000 40,000
320 135 84
1 1 2
200 50 300
1,224,500$94,609 196,560 $12,625 1,033,200$119,856
19.5% 16.0% 23.5%
18 19
52,500 92,500
80 105
1 2
100 155
346,320 $36,864 831,500 $38,277
34.4% 11.3%
20 21
82,500 30,000
125 100
3 1
180 30
357,500 $19,699 185,995 $10,449
3.8% 14.4%
22 23 24
76,400 27,720 143,934
150 55 300
1 1 2
75 75 700
291,720 $22,386 258,500 $27,918 3,241,205$202,648
13.7% 31.1% 10.1%
Mean Median
84,097 79,450
158 130
1.75 1.50
189.6 132.5
745,568 $55,049 351,957 $32,391
16.9% 15.2%
Std Dev
48,808
88
0.97
183.9
857,446 $57,489
9.6%
4. Stamping Company Size (sqft) EmployeesUnits 30 31 32 33 34 Mean Median Std Dev
75,000 265,000 49,000 60,000 94,000 108,600 75,000 89,047
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50 79 179 75 95 95.60 79.00 49.33
1 3 2 3 5 3 3 1
Total HP 60 450 100 130 145 177.0 130.0 156.0
kWh/yr
$/yr
168,974 $11,560 1,465,283$97,646 212,400 $17,376 680,220 $57,778 326,210 $32,344 570,617 $43,341 326,210 $32,344 538,937 $35,223
% of Total kWh 11.6% 9.4% 8.9% 31.4% 8.3% 13.9% 9.4% 9.9%
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5. Plating/Metal Finishing Company Size (sqft) EmployeesUnits 35 115,000 300 1
Total HP 220
kWh/yr $/yr 1,088,748$79,285
% of Total kWh 14.2%
36 37
67,000 22,880
60 14
2 1
100 30
861,120 $63,980 55,217 $5,860
12.3% 18.5%
38
93,000
150
1
40
192,720 $13,683
4.7%
39 Mean
20,000 63,576
20 108.80
2 1
15 81.0
18,412 $2,028 443,243 $32,967
3.1% 10.6%
Median Std Dev
67,000 42,062
60.00 119.90
1 1
40.0 84.1
192,720 $13,683 496,262 $35,955
12.3% 6.5%
6. Assembly/Machining Company Size (sqft) EmployeesUnits
Total HP
kWh/yr
$/yr
% of Total kWh
40 41 42 43 44
31,000 30,000 31,500 211,000 100,000
75 45 45 393 150
1 2 1 3 3
25 55 30 215 335
117,738 $12,204 34,908 $ 2,682 32,760 $ 3,407 74,429 $ 6,113 1,842,500$142,794
16.5% 7.0% 4.0% 2.0% 29.0%
45 46 47
400,000 27,000 380,000
90 15 247
3 2 3
650 15 500
893,718 $49,307 5,437 $ 580 2,135,592$176,892
5.1% 2.0% 11.7%
48 49 50 51
80,000 36,000 196,800 37,000
120 40 472 46
1 2 4 1
30 100 1150 40
52,162 $ 4,209 220,800 $18,966 1,821,200$110,872 90,683 $ 9,186
6.4% 9.4% 13.7% 8.4%
52 53
84,700 156,400
255 325
2 1
115 270
402,042 $30,467 1,517,000$74,335
13.3% 12.5%
50,000
80
1
60
246,418 $14,748
17.4%
Mean Median
54
123,427 80,000
159.87 90.00
2 2
239.3 100.0
632,492 $43,784 220,800 $14,748
10.6% 9.4%
Std Dev
124,189
144.06
1
316.4
787,193 $56,687
7.1%
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Best Practices There are numerous standard energy reduction strategies for compressed air systems. The following is a description of the primary ones with a discussion of their applicability in different industry segments. Reduce Non-Productive Air Use Non-productive air use refers to any uses which do not support the end users. The most common and well known are air leaks. Often wasted air in the form of uncontrolled use can exceed that of air leaks. Examples include using continuous blowing air for parts cleaning and blow off and not segmenting idle equipment and plant sections. In general, industries which use significant amounts of air for blowing off parts or for ejecting parts from machines tend to have the greatest amount of nonproductive air use. At a stamping plant, it was found that the various parts blow-offs and leaks accounted for half of the installed 1,000 hp of compressed air use. In general, it has been found that non-productive air use accounts for about 10% of air use in plastics operations and 20% to 30% in metal forming operations. In determining the potential benefit of reducing non-productive air use metering is invaluable. This can be accomplished by using a recording power meter and measuring the loading of the compressor(s) either after hours or during breaks. Install Automatic Compressor Controls The second most wasteful practice to non-productive air use is operating screw and centrifugal compressors at part load conditions and in the incorrect operating mode. Installing automatic controls or a load manager for multiple compressors is an effective way of avoiding part load operation. Obviously the most useful situations for compressor controls is in multi-compressor operations. Because of the costs ($50,000 to $200,000) it also requires relatively large compressors be controlled. Controls can save between 10% and 15%. Install Smaller Weekend/Maintenance Compressor It is quite common for large compressor systems to be operated during the weekends to serve the needs of only a handful of maintenance workers. This can be avoided by either installing a smaller compressor on the main system or having maintenance crews use small portable compressors. Use Outside Air for Compressor Intakes Cold air is easier to compress than warm air, yet air compressors often draw the air they use for compression from the equipment room they are in. Some of these rooms can be above 80 F even during the coldest winter day. Ducting air from the outside can be accomplished relatively easily by using PVC piping. Energy use will typically be reduced between 2% and 4%. Recover Waste Heat Air compressors throw off significant amounts of heat which can be recovered providing heated make-up air during the winter. A 100 horsepower compressor rejects approximately 252,000 Btu per hour which is equal to two or three standard industrial unit heaters. Reduce Air Pressure Lower pressure requires less energy per cfm to generate. By providing only the actual pressure required rather than reducing down high pressure, energy requirements can be reduced significantly. The most common areas for this type of application are in parts cleaning and drying, tank agitation, and low pressure painting systems. A system pressure reduction from 120 psi to 100 psi will reduce energy use by 7% to 9%. Using 10 psi air instead of 120 psi will reduce energy requirements by 55% to 66%. High Efficiency Air Compressors Though energy can be saved by upgrading to higher efficiency units, the energy savings alone rarely pay for the capital cost of the equipment. Other factors such as maintenance and operational costs need to be included in the analysis. When the entire life cycle cost of a compressor is analyzed, installing new compressors often achieves acceptable paybacks. Metering Techniques To determine the success of any air use optimization strategy, it is important to understand the air use profile and corresponding energy use. This can be obtained through either direct or indirect metering. Direct Direct metering involves installing air flow, pressure, kilowatt, and kilowatt-hour meters. Fully metering a system can cost upwards of $50,000 and even more if compressors are distributed throughout the facility. Key considerations in direct metering are ensuring all air flows are metered. Without careful planning, branch lines and their associated air flows can be missed. Installing air flow meters can be difficult as a straight run of pipe is necessary to develop the linear flow required in many
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meters such as the vortex shedding meters. Other types of flow meters include orifice plate, gill, and turbine. In selecting kilowatt and kilowatt-hour meters, the billing structure of the el ectric utility must be considered and the meters equipped to gather relevant billing data. The ultimate goal is to determine the impact of air compressor operations on the final utility bill. Indirect There are several methods of performing indirect metering. The most useful is to utilize a recording power meter such as a Dranetz 8000 and the compressor performance curves to estimate compressor loading. This method is particularly suited to installations which have compressors which have fairly linear part load performance such as reciprocating or screw types in load/unload operating mode. The facility air use profile can be estimated by metering compressor power use, however, care must be taken to ensure all running compressors are metered. The compressors must also be configured such that those with non-linear or flat part load performance remain fully loaded and those with linear part load performance cycle based on air demands. Air leaks can be estimated by running and metering compressor(s) during non-production periods. This test can sometimes be as simple as seeing how many compressors are required to bring the system up to pressure. In one stamping plant, two fully loaded 200 HP compressors and one compressor at part load were required to achieve 100 psi. The leaks then were at least equal to 400 HP. Another method of indirect metering is bleed down testing. This is accomplished by timing how long it takes the system pressure to go to minimum when the system is shutdown. While this method is useful for understanding the overall magnitude of system leaks, it does not indicate the air use profile or the actual energy associated with air leaks unless the total volume of the air system is known. A modification on the bleed down test is a bleed down test which includes a known leak. This involves conducting a bleed down test and then repeating the test with a known air bleed off. By comparing the time for both tests and factoring in the air loss through the known air bleed off, the air loss due to leaks can be calculated. The final method of determining compressed air use is to meter the air being drawn into the air compressor. By knowing the flow rate and the diameter of the inlet to the compressor, the compressed air generated can be determined. This method is useful as a survey tool and to verify metering through power use, but it is not as convenient as the first method discussed. Summary The purpose of this paper was to present an overview to assist in the management of compressed air systems and develop an appreciation of some of the complexities of compressed air management. Other resources can provide additional assistance and information for managing compressed air systems and greater detail. For more in-depth information, there are several publications which provide more engineering detail. Two are: Compressed Air Systems: A Guidebook on Energy and Cost Savings by E.M. Talbott Compressed Air and Gas Handbook The Compressed Air and Gas Institute; John P. Rollins, Editor Assistance in evaluating the energy use of a compressed air system can often be obtained through the demand side management programs of local utilities or from the Energy Analysis and Diagnostic Centers funded by the Department of Energy at many universities.
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Chapter 52 The Energy Smart Pools Computer Program R. Jones, R. Martin and J. Gunn Abstract The U.S. Department of Energy has developed the Energy Smart Pools computer program as part of its Reducing Swimming Pool Energy Costs initiative. With a minimum of input data, the user friendly software can provide a reasonable, unbiased estimate for indoor or outdoor pools of: 1) Annual pool water heating, air heating, and pump and fan motor energy costs. 2) Costs, savings, and payback of adding a pool cover system. 3) Costs, savings, and payback of adding a solar heating system. The program fulfills an important need for owners and service providers of the nations' over 1.5 million heated residential and commercial pools to be able to quickly and easily predict pool energy costs and potential energy conservation measure savings. Program results have been validated against recent pool research studies, actual pool utility bills, and other simulation results. Results should in most cases be reliable for investment and design decisions. Introduction Swimming pools are big energy users. An 800 sq.ft. residential pool in Denver operated June-August can cost $1,000 to heat. A large public indoor pool used year round can cost up to $300,000 to heat and condition. Collectively it is estimated that pool owner/operators spend $4-$6 billion, using 1.0 Quad of energy, annually to heat the nation's pools. 1 Much of this energy is often wasted and can be saved with proper management. Wasting energy also contributes to our growing air quality problem. Many energy efficient measures are currently available. By employing some or all of these energy management systems, one will save energy and lower utility costs. Some of these measures are: adding a pool cover, using a solar heating system, installing windbreaks, selecting high efficiency heating equipment, installing energy efficient lighting, pumps, and motors, employing heat recovery ventilation, and installing efficient humidity control systems. Adding or upgrading to these energy efficient measures may account for a savings of more than 50% in energy costs. To address this significant potential for energy savings, the U.S. Department of Energy's Institutional Conservation Program has created an initiative called Reducing Swimming Pool Energy Costs or RSPEC. RSPEC is a part of the national effort to reduce energy consumption and air pollution, thus protecting the environment. RSPEC focuses national awareness on pool energy consumption, related costs, and the impact on our environment. It is also a partnership between the public sector and private industry to support the promotion and transfer of market ready energy efficient products to the institutional, commercial, and residential pool operator/owner. In an RSPEC marketing survey, the pool equipment industry identified its #1 need as a tool to quickly and easily predict pool energy costs and the potential savings to be realized by implementing a variety of energy management systems. To meet this need DOE has created a software package titled 'Energy Smart Pools'. This paper describes the development, operation, energy analysis methods, equations, validation, and availability of the Energy Smart Pools software.
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Development A set of criteria and features were specified for the software. Industry provided input after reviewing the software at trade expositions. A set of reviewers from government, academia, and industry reviewed beta test versions. Comments and ideas from these reviewers formed the basis for the following development choices. Hardware/Software The hardware platform selected was a PC with a 386 or 486 processor, 4MB-8MB of RAM, and capable of operating a Windows environment. This choice was based on the system's prevalent use. A Windows-based database program with sophisticated programming capability was specified. Database features allowing easy access, storage, and retrieval of individual pool records would benefit the target user, the pool equipment vendor, providing analyses for and keeping track of multiple customers. A Windows environment would enhance user friendliness and allow the creation of user reports with greater market appeal. Sophisticated programming capability was needed to provide a multiple measure energy analysis which could accurately simulate pool energy use under a variety of conditions. Finally, the program needed to be fully executable so that users would not need to purchase a complete, commercial database program. FoxPro for Windows was chosen as the application which best met the specified criteria. The accompanying developers kit allowed production of a self-contained, fully executable product. Features Three overarching needs guided the development of program features. First, the program had to be easy to use. The target users, especially pool equipment vendors and pool owners, would not need to have technical backgrounds or engineering degrees. Second, the program needed to be capable of using energy engineering analysis methods which could accurately simulate pool energy consumption, and which were sophisticated enough to be confidently used by engineering professionals. Last, the program needed to be able to present results clearly and concisely so pool owners could easily make wise energy efficiency and renewable energy technology investment decisions. Program Operation The result was the Energy Smart Pools Program, Version 2.0a. The software is designed to estimate the annual cost of heating both indoor and outdoor in-ground swimming pools and spas. With a minimum of input data, the program can provide: * a base case simulation of annual energy and water costs * annual costs, savings and payback of adding a pool cover system * annual costs, savings and payback of adding a solar heating system It can also be used to determine differences between conventional heating and high efficiency heating systems and conventional and high efficiency electric motors for ventilation fans and circulation pumps. To run an analysis, the user enters information on a single input screen. Input includes pool type, weather file selection, operating schedules, pool area, pool temperature, normal activity level, heater efficiencies, fuel and water costs, fan and pump motor information, shading and wind factors for outdoor pools, room temperature and humidity levels for indoor pools, and pool cover and solar heating system specifications. The user then specifies the type of analysis to run - base pool, pool cover, solar heating system, or cover and solar, and the order of application. Results are provided on either a summary report or a detailed engineering report. The summary report page one gives a quick overview of costs, savings, and paybacks. Page two goes into a little more detail, showing all costs and savings numbers. Between the two, they provide all the information needed to make well-informed decisions. The engineer's reports go into great detail allowing the technical person to see all the numbers behind the summary figures. They include energy consumption in BTUs for three -eight hour time bins each month with breakouts for evaporation, convection, and radiation losses, ventilation air volume and heating requirements, solar gains, and solar heating system outputs. Also shown are monthly and annual load and gain tabulations, system energy use, and summaries of the technology savings, costs, and simple paybacks. To make the data entry job easier, separate input screens are provided for residential and commercial pools A special default feature allows the user to create and save several different combinations of common inputs that can be automatically brought into the residential and commercial input screens. This can save the user from having to enter the same numbers over and over again for different pools. A customized default screen can contain over 75% of the inputs. Energy Analysis Methods and Assumptions Simulation of evaporation losses is the most important part of the software. Evaporation is the greatest cause of energy loss in swimming pools, typically accounting for 50-90% of the total. Various methods to calculate evaporation have been presented in the literature, including the commonly used American Society of Heating, Refrigeration, and Air Conditioning Engineers (ASHRAE) 1991 Applications
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Handbook 2. However, there is significant disagreement in the results of various evaporation rate equations when applied to swimming pools. Evaporation rate calculation disparities were primarily due to a lack of good experimental results based on pool direct water loss measurement. To address this problem, DOE sponsored a series of carefully controlled tests to measure evaporation and total energy loads in instrumented indoor and outdoor swimming pools, under quiet and active condition. Tests were been conducted by the Solar Energy Applications Lab at Colorado State University. Results of these tests have been reported in the literature and form the basis for expected revisions to the 1995 ASHRAE Applications Handbook. 3,4,5 These revised evaporation rate calculations were incorporated in the software, and are the backbone of the calculations. Commonly accepted engineering principles and practices were used for calculation of all other pool loads and gains. A bin type of analysis was chosen as the simulation method. This multiple measure method produces accurate results without requiring a great deal of computing power. The program calculates pool loads and gains for three, eight - hour time periods each month. Bin results are summed to provide monthly and annual totals. Descriptions of the basic assumptions and equations used in the software follow. Indoor Pool Assumptions Energy use is due to pool evaporation losses and the requirement for outside air to control humidity. Convection, conduction and radiation losses are negligible. The energy required to condition ventilation air is based on the theoretical volume of outside air required to remove evaporated water from the pool for each time period. This approximates a humidistat controlled, modulated outside air system without heat recovery. In warmer, more humid climates, this calculation, if not constrained, would yield unrealistically high outside air ventilation rates. Therefore, the maximum ventilation rate is limited to 4 cfm/sq. ft. of pool area. This ''rule of thumb'' constraint is chosen because it is simple to calculate and it should in most cases exceed required design rates. The ANSI/ASHRAE standard for acceptable indoor air quality6 specifies a minimum of .5 cfm per square foot of pool and deck area. The ASHRAE 1991 Applications Handbook recommends 4 to 8 air changes per hour for humidity control. The program does not currently have capability to simulate other ventilation or heat reclaim systems. While this capability may be desirable in the future, it would require detailed data collection and review of mechanical drawings and specs beyond the level of many of the intended typical simulation program users. It is also likely that many pool ventilation systems are unique or can not be easily, generically modeled. For instance, a pool where the staff is instructed to open windows to control humidity would be difficult to model. Only energy to heat ventilation air from Sept. 15 to May 15 is considered. Cooling energy required in the summer season was not considered. A pool air conditioned in the summer would require more energy and realize more pool cover savings than that shown in the program. Outdoor Pool Assumptions Energy use is due to pool evaporation, convection, and radiation losses. Conduction losses are negligible. Solar gains offset heating energy use requirements. Average wind speeds at the pool surface are generally much less than the monthly wind speeds included in the weather files. This is because weather station wind measurements are at heights of 10 to 30 feet. The user enters the pool surface wind speed as a percentage of the weather station value. Values of 10% to 40% are typically representative. Convection losses are calculated as a function of a convection coefficient and pool water temperature - air temperature difference. The convection coefficient is a function of pool surface wind speed. Radiation losses are calculated by the Stefan-Boltzman equation. Radiation is a function of fourth order temperature difference between the pool water and the sky. The sky temperature is estimated as the air temperature minus 20 degrees F. Emissivity of the pool is estimated at .9. The pool is assumed to absorb 80% of direct available solar radiation. This solar gain helps to heat the pool. The amount of pool shading is specified by the user as a percentage value. The percentage should represent an estimate of the sun which could fall on the pool but is blocked by trees, structures, canopies, etc. If the monthly solar gain exceeds the combined evaporation, radiation, and convection losses, the program calculates that month's load to be zero. 7,8,9 Weather Data Bin temperatures, mean coincident wet bulb temperatures, monthly wind speeds, percent sunshine, and barometric pressures are mostly from ASHRAE format weather files. ASHRAE format is derived from "WYEC" (Weather Year for Energy Calculations) where hourly data is a composite of typical monthly weather data taken from different years. Some
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additional weather sites, not available in ASHRAE format, are taken from Battelle format data which is based on WYEC and a Test Reference Year or from Department of Defense format data which are based on long term averages. Solar insolation data is from the ASHRAE 1982 Applications Handbook, Table of Total Irradiation on Horizontal and South Facing Surfaces Tilted at Various Angles on the 21 st day of each month. 10,11,12 Motor Assumptions Pump and ventilation motor energy use and savings are based on user supplied values of motor hp, load, efficiency and run times. The best way to assess motor loads and efficiencies is with good, instrumented measurements, but these are usually not practical to obtain. In the absence of good measurements, the user is advised to assume the load is 70% - 120% of motor rating, and the efficiency is in the 70%-90% range. Pool Cover Assumptions The pool cover is assumed to eliminate evaporation for the percent of pool area covered as specified by the user. The pool cover was assumed to be on the pool during all nonoperating hours. Outdoor pool convection rate is reduced with a pool cover. A convection/conduction coefficient based on water to cover convection film, cover R value, and cover to air convection film is calculated. Convection losses are calculated as a function of the convection/conduction coefficient and pool water temperature - air temperature difference. Outdoor pool radiation rate is assumed to be reduced by 20% for the percent of pool area covered. Solar gain is reduced when the pool is covered for part or all of the 8:00AM to 4:00PM time period. (This time period corresponds to the time when 80-95% of the solar gain occurs in most months in most locations.) Solar gain is assumed to be reduced by 15% for a bubble cover, and 25% for an opaque vinyl or insulated cover. In some cases, a pool cover may allow the pool owner to reduce the amount of time the pool water is filtered. To account for this possibility, the user can enter a pump run time (hrs./day) when a pool cover is in use different than the run time entered for the base case. A pool cover may also allow the indoor pool owner to reduce the run time of the ventilation system because less humidity control may be required. To account for this possibility, the user can enter a ventilation motor run time (hrs./day) when a pool cover is in use different than the run time entered for the base case. Solar Heating System Assumptions The program calculates savings for either a single glazed collector system or an unglazed system. The unglazed terminology is meant to include unglazed collectors made of black plastic or EPDM which can be a flexible mat or fixed panel design. The simplified analysis is based on collector efficiency (slope & intercept), monthly clear day total irradiation (not including reflected radiation), weather file percent sunshine, and a clearness factor. The analysis may give an initial estimate of potential savings, but it can not specify the optimum system. It is intended to be the initial step in a more detailed analysis by the vendor which can consider site space availability, placement, orientation, shading, and other pertinent factors. 12 All collected thermal energy is used directly, without intermediate storage. For summer only pools, (opening and closing bounded by April - September) the system is assumed to face direct south at an angle to horizontal of latitude minus 10 degrees. For pools open longer than this or all year, the system is assumed to face direct south at an angle to horizontal equal to latitude. The program calculates pool loads and solar heating system output on a monthly basis. If the system output exceeds the pool load in a given month, the program uses the pool load as the solar heating system savings. A comparison of monthly loads to the solar heating system output is shown on the user selected "Engineer's Report". Generally it is desirable to size a system so that it will meet only part of the thermal load, so that all collected energy is used. The user specifies the size of the system. Equations Evaporation Rates - Quiet Indoor Or Outdoor Pool
Where: WQ=evaporation rate of water, lb/hr. AP =area of pool surface, ft2. C1 =69.4 BTU/(hr-ft2)-in. Hg. C2 =30.8 BTU/(hr-ft2)-in. Hg. u =air velocity over water surface, MPH. Y =latent heat required to change water vapor at surface water temperature, BTU/lb. PDP=saturation pressure at room air dewpoint, in. Hg. PW =saturation vapor pressure taken at
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the surface water temperature, in. Hg. Evaporation Rates - Active Indoor Or Outdoor Pool Where: WA=evaporation rate of water for an active pool, lb/hr. WQ=evaporation rate of water for a quiet pool, lb/hr. AF =Activity Factor: Indoor Pool, Low Activity = 1.3 Indoor Pool, High Activity = 1.7 Outdoor Pool, Low Activity = 1.1 Outdoor Pool, High Activity = 1.5 Evaporation Rates with a Pool Cover On
Where: WQC =evaporation rate of water with cover, lb/hr. WQ =evaporation rate of water, lb/hr. Cover % =percentage of pool that is covered. Daily Solar Heating System Insolation Values ASHRAE Tables - daily insolation (21 st day of each month). Surface Tilt = angle equal to location latitude for pools operated year round or before/after April -September. Surface Tilt = angle equal to location latitude minus 10 degrees for pools operated only within the April - September time period. Calculation of Average Hourly Insolation Falling On Collector Each Month - ICH
Where: ICH =BTU/ft2-hr. ICD =BTU/ft2-day. Hrsun=average number of hours the sun is up each day of that month. Monthly Solar Energy Available from the System
Where: QSOLM=monthly solar energy available from system, BTU/month. Ys =Y-intercept of solar collector SRCC efficiency curve. Ms =slope of solar collector SRCC efficiency curve. TP =pool water temperature, °F. TDBS =air dry bulb temperature for the 8:00am to 4:00pm time bin, °F. ICH =average hourly insolation falling on collector, BTU/ft2-hr. ICD =average daily insolation falling on collector, BTU/ft2-hr. CL =clearness factor. SP =mean percentage of possible sun which occurs in a given month. AC =surface area of solar collector, ft2. Motor Electrical Fuel Use
Where: FM =motor electrical fuel use, kWh. HPM =motor horsepower, hp. LM =motor load factor. HRSM=hours of operation, hrs/day. hM =efficiency of motor. Volume Flow Rate of Outside Air Required To Remove Evaporated Water - Indoor Pool
Where: Vo=quantity of air, cfm. W =evaporation rate of water. lb/hr. C4=time conversion to minutes, 60 min/hr. r =calculated air density, lb/ft3. w1=humidity ratio of outdoor air at design criteria lb/lb. w0=humidity ratio of pool air at design criteria, lb/lb. Hourly Energy Load for Outside Air - Indoor Pool
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Where: QAH=hourly air heating energy load, BTU/hr. VO =quantity of air, cfm. T1 =indoor air temperature, °F. TO =outdoor air temperature, °F. PB =barometric pressure, in.Hg. Convection Heat Transfer Coefficient Between Pool Water and Air - Outdoor Pool
Where: H =convection heat transfer coefficient between water and air, BTU/hr.ft2-°F. VG=mean velocity of wind at ground level, MPH. VW=mean velocity of wind measured at the weather station, MPH. GF =ground factor for wind, default = 0.15. Hourly Convection Rate with Pool Cover Off- Outdoor Pool Where: QCH=hourly convection energy load, BTU/hr. AP =surface area of pool, ft2. H =convection heat transfer coefficient between water and air, BTU/hr-ft2-°F. TP =temperature of pool water, °F. TDB=dry bulb temperature of the air, °F. Hourly Radiation Rate with Pool Cover Off- Outdoor Pool
Where: QRH=hourly radiation energy load, BTU/hr. AP =surface area of pool, ft2. TP =temperature of pool water, °F. TDB=dry bulb temperature of the air, °F. Monthly Solar Gain To Outdoor Pool
Where: QSG =monthly solar gain to pool, BTU/month. IDH =daily insolation on a horizontal surface, BTU/ft2-day. CL =clearness factor. SP =mean percentage of possible sun 13 which occurs in a given month. AP =surface area of the pool, ft2. Sh% =percentage of pool that is shaded. SGRF=solar gain reduction due to a pool cover. Equations are from References3-5,7-9,12 Software Validation The most important factor in the software's ability to provide valid results lies in the origin to its calculation methodologies -the recent pool studies done at Colorado State University. The carefully controlled tests on a total of 5 instrumented indoor and outdoor swimming pools provided accurate methods for determining evaporation and total energy loads, under quiet and active conditions. These methods are directly incorporated in the software. Some comparisons have also been made to F-Chart software simulations. F-Chart is a widely recognized tool for assessing solar energy system performance.13 The results of solar calculations in the Energy Smart Pools Software, the pool solar gain and solar heating system performance, generally agree to within 10% of FChart. Software simulation results have also been compared to actual utility bills from 20-25 pools in Denver, California, and Iowa. Results generally agreed to ± 15%. It is important to keep in mind that comparisons of simulation results to utility bill data depend to a great extent on how closely simulation input data match a system's actual operating conditions. No simulation program can accurately reflect the vast range of generally small, but potentially influential, changes which occur in system operating parameters over a year's time. So, some difference between simulation results and actual bills is expected. For the software user the most important factor in obtaining
For the software user the most important factor in obtaining
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valid results is to obtain input data which matches actual conditions as closely as possible. Large differences in results can sometimes occur from small variations in just a few key parameters. For example, a difference of 2 °F in modeling pool water temperature will change results by 20%. A change in ground wind speed from 15% to 30% of the weather station value will increase results by 38% for outdoor pools. The combination of basing the software analysis methods on scientifically controlled measurements on actual pools, agreement between pool utility bills and software results in several locations, and agreement in solar calculations with other solar analysis software indicate a high degree of confidence in the Energy Smart Pools software results. Results should in most cases be reliable for investment and design decisions. Software Availability The Energy Smart Pools software is available at no charge from the Energy Efficiency and Renewable Energy Clearinghouse at 800-DOE-EREC or writing to EREC, P.O. Box 3048, Merrifield, VA 22116. References 1. Lawson, Jones, Martin, "National Annual Energy Consumption of Heated Pools", submitted to Association of Energy Engineers World Energy Engineering Congress, 1995. 2. 1991 ASHRAE Applications Handbook, Chapter 4-Places of Assembly, ASHRAE, Atlanta, GA, 1991. 3. Jones, Smith, and Löf, "Measurement and Analysis of Evaporation from an Inactive Outdoor Swimming Pool", Proceedings of the 1993 Annual Conference of the American Solar Energy Society, Washington D.C., April 1993. 4. Smith, Jones, and Löf, "Energy Requirements and Potential Savings for Heated Indoor Swimming Pools", American Society of Heating, Refrigeration, and Air Conditioning Engineers Transactions: Symposia DE-93-12-3, Denver, June 1993. 5. Smith, "Measurement of Energy and Evaporation in Swimming Pools as a Function of Activity Level", Colorado State University, October, 1993 6. ANSI/ASHRAE Standard 62-1989, "Ventilation for Acceptable Indoor Air Quality", ASHRAE, Atlanta, 1991 7. "How to Determine the Heat Load of Swimming Pools", Solar Age, November, 1983. 8. Solar Energy Technology Handbook, American Section of the International Solar Energy Society. 9. Duffie and Beckman, Solar Engineering of Thermal Processes, Wiley Interscience, New York, 1980. 10. Engineering Weather Data, U.S. Air Force Manual 88-29, National Climatic Data Center, Asheville N.C., 1978 11. Weather Data for Simplified Energy Calculation Methods, Battelle Pacific Northwest Labs, 1984 12. 1982 ASHRAE Applications Handbook, Solar Energy Utilization Chapter 57, ASHRAE, Atlanta, GA, 1982. 13. F-Chart Solar Energy Analysis Software, Klein and Beckman, Madison WI, 1985.
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Chapter 53 Annual Energy Consumption of Heated Pools in the United States B. Lawson, R. Jones and R. Martin Abstract This paper explains the process and results of a project to determine the annual energy consumption of heated pools in the United States. The number of heated pools were determined, base case pools were computer modeled and results were tabulated. The results of this project indicate that there are approximately 1.5 million heated pools and 2.8 million spas and hot tubs in the U.S. that consume roughly 1.0 quad of energy annually. The energy consumption of heated pools in the U.S. and the potential for savings from cost-effective technologies are significant. Executive Summary The purpose of this paper is to assess the energy consumption of swimming pools in the U.S. and the potential for savings from cost-effective measures such as solar heating systems, pool covers and other technologies. Data were gathered from the National Spa and Pool Institute (NSPI) on the numbers of heated residential and commercial pools in the U.S. Information on pool sizes and operating conditions was also gathered from NSPI and the pool equipment and service industry. The collected data were used with the Department of Energy's Energy Smart Pools software program to predict pool energy use. The software accurately simulates a pool's heat losses and heat gains and calculates the total pool energy consumption based on pool operating conditions and site-specific weather data. Heated indoor and outdoor public pools totalled 140,275. Public pools were calculated to consume about 0.42 quads of energy annually. Heated indoor and outdoor semi-public pools totalled 189,087 with an energy consumption of 0.10 quads per year. Heated residential pools totalled 1,212,695 pools with an annual energy consumption of 0.40 quads. Spas and hot tubs totalled 2,800,000 with an energy consumption of 0.1 quads yearly. The total 1.02 quads cost pool owners $4 to $6 billion annually. Most of this energy can be saved with the application of cost-effective technologies. The Department of Energy addresses this significant savings potential with its Reduce Swimming Pool Energy Costs (RSPEC) program, designed to promote cost-effective solar heating systems, covers and other technologies. Introduction Swimming pools are big energy users. An 800 sq.ft. residential pool in Denver, Colorado, operated June through August can cost $1,000 to heat. A large public indoor pool used year round can cost up to $300,000 to heat and condition. Much of this energy is often wasted and can be saved with proper management. Wasting energy also contributes to our growing air quality problem. Many energy efficient measures are currently available. By employing some or all of these energy management systems, one will save energy and lower utility costs. Some of the measures are: adding a pool cover, using a solar heating system, installing windbreaks, selecting high efficiency heating equipment, installing energy efficient lighting, pumps, and motors, employing heat recovery ventilation, and installing efficient humidity control systems. Adding or upgrading to these energy efficient measures may account for a savings upward of 50% to 75% in energy costs. To address this significant potential for energy savings, the U.S. Department of Energy's Institutional Conservation Program has created an initiative called Reducing Swimming Pool Energy Costs or RSPEC. RSPEC is a part of the national
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effort to reduce energy consumption and air pollution, thus protecting the environment. It is a partnership between the public sector and private industry to support the promotion and transfer of market ready energy efficient products to the institutional, commercial, and residential pool operator/owner. As part of the RSPEC effort, this paper quantifies the amount of energy used by pools in the U.S. to provide a baseline for assessing potential energy savings. Following are the approach, results, analysis and conclusions of this assessment. Approach Pool Populations Pools were divided into three major sectors: public, semi-public, and residential. The public sector encompassed community, municipal, club, and school pools. The semi-public sector consisted of hotel, motel, apartment, and condominium pools. Of course, the residential sector included all residential pools. Residential pools consist of two types of pools: in-ground and above-wound pools. In this study, all residential pools are considered outdoor pools since a very small percentage of residential pools are actually indoor pools. The number of residential pools, both in-ground and above-ground, and the percentage heated were taken from the National Spa and Pool Institute's (NSPI) "Pool and Spa Market Study for the Year 1991." 1 NSPI's report listed the numbers of pools in 11 regions consisting of the 48 continental states. Additional information was obtained from NSPI that allocated the number of pools in the 11 regions by state. Numbers of pools for Alaska and Hawaii were estimated by correlating states with similar climatic conditions and proportionally comparing the number of pools with the population of those states. Public and semi-public pools consist of in-ground pools only. Due to the lack of any better data, it was arbitrarily estimated that half the number of public and semi-public pools were considered indoor pools and half are considered outdoor pools. The total numbers of public and semi-public pools were derived from NSPI's "1987 Swimming Pool and Spa Industry Market Report."2 Utilizing NSPI's report, 1994 pool numbers were estimated by extrapolating 1986 and 1987 pool numbers. The numbers of public and semi-public pools were then distributed by state according to the state's population relative to the nation's population.3 NSPI's 1991 study showed that approximately 33% of all residential in-ground pools are heated and only 4% of all residential above-ground pools are heated. There have been no studies to determine the number of outdoor public and semipublic pools that are heated. So, for this report, it was also assumed that approximately 33% of all outdoor public and semi-public pools are heated. It was assumed that all indoor public and semi-public pools are heated. As mentioned before, NSPI divided the nation into 11 regions. For greater regional climatic diversification in this study, the nation was divided into 17 regions. States for these 17 regions were chosen based on the geographic location and climatic conditions of each state. Weather sites that represented the regional climatic characteristics were also chosen for each of the 17 regions. Regional data including the breakdown of states and weather sites are shown in Table 1. Energy Use Estimation Energy Smart Pools4, a swimming pool energy simulation computer program developed by the U.S. Department of Energy, was used in determining the amount of energy consumed in each of several base case pools. The software accurately simulates a pool's heat losses and heat gains and calculates the total pool energy consumption based on pool operating conditions and site-specific weather data For each of the three sectors, a base case pool was chosen with the typical characteristics of that sector's pools. The public and semi-public sectors both had two base case pools; one for outdoor pools and one for indoor pools. The residential sector had one base case pool to represent all outdoor pools. The opening and closing dates of a pool for a specific region depended exclusively on the climatic conditions of that region. The dates of operation range from being open three months during the summer to being open year round. The hours of operation for all public and semi-public pools were designated to be 9:00am to 9:00pm. For residential pools, the hours of operation were chosen to be 12:00pm to 6:00pm. Regional outdoor pool operating dates are included in Table 1. The types of fuels used to heat pools vary a great deal. Natural gas, steam, fuel oil, solar energy, and electricity, in the form of resistance heat or a heat pump, can all be used to heat pools. However, due to the predominant use of natural gas and the insufficient data on the numbers and location of pools using other fuel types, natural gas was used as the heating fuel for this study. Other characteristics such as pool area, pool temperature, activity factor, pool heater efficiency, wind speed, shading factor, and for indoor pools, room temperature, room humidity and ventilation heater efficiency were chosen based on a combination of factors. Information was obtained from correspondence and discussions with pool manufacturers, vendors and owners across the country. Data was collected from County Health Departments in Colorado and site visits were also made to measure operating conditions. Input parameters for each sector's base case pools are summarized in Table 2. Each of the 5 base case pools were computer modeled for all 17 regions. This amounted to a total of 85 simulations. These results where then extended to the full population of pools in
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the respective states and regions. The annual energy consumption of spas and hot tubs was taken from the Department of Energy's "The RSPEC Concept: Reduced Swimming Pool Energy Costs." 5 This report estimated spa and hot tub populations along with their average energy consumption on a per state basis. Results Results of this project arc shown in Tables 3 and 4. Table 3 indicates the number of heated pools by region, state and pool category. Table 4 indicates the total energy consumption of heated pools by region and pool category. The energy consumption of heated pools in a particular state would be proportional, on a regional basis, to the population of heated pools in that state. The 1.212 million heated residential pools in the U.S. consume approximately 0.40 quads annually. U.S. public heated pools total 140,000 and consume an estimated 0.42 quads a year. The 189,000 U.S. semi-public heated pools use roughly 0.1 quads yearly. The U.S. has 2.8 million spas and hot tubs that account for nearly 0.1 quad of consumption annually. Therefore, the total annual energy consumption of heated pools, spas and hot tubs in the United States is approximately 1.0 quads. Analysis of the Results Total Pool Energy Use The annual energy consumption of heated pools in the United States is a significant amount. Heated pools in the U.S. consume approximately 1.0 quads of energy annually. By comparison, consumption of energy for the entire U.S. is estimated at 85 quads.6 Currently, the cost of natural gas is between $4.00 to $6.00 per million BTU's which means $4 to $6 billion are spent annually heating pools, spas and hot tubs. Energy Savings Potential The results of this project indicate that pool energy use is significant and the potential for savings is substantial. Savings upward of 50% to 75% can be cost effectively achieved using technologies that are currently available. Solar heating systems, pool covers and high efficiency heating systems are a few examples of readily available technologies that can achieve substantial savings. Solar heating systems capture the free heat of the sun to heat the pool and since pools operate at a relatively low temperature, heating a pool is the single most cost effective use of solar energy today. The most effective way to reduce the energy consumption of heated pools is through the use of a pool cover. Since 70% of a pool's energy loss is through evaporation, preventing that evaporation will save a significant amount of energy. High efficiency, conventional heating systems are also available. Currently, some gas heating systems have efficiencies as high as 97% and some electric heat pumps have coefficients of performance in the 6.0 to 8.0 range when operated in warmer climates. The indoor pools' ventilation system options include shut down sequenced with pool cover application, air-to-air heat recovery and mechanical dehumidification with latent heat recovery. Validity and Impact of Input Parameters Results of this project arc based on the best available statistical information and a reasoned rational approach to specifying assumptions and input parameters. However, it is not presumed that these inputs and assumptions perfectly or absolutely represent the populations and conditions of operation of pools in the U.S. It is possible other inputs and assumptions could be justified if better statistical information was collected. The following are some of the key inputs and their impact on the results. The total pool population of the United States, pool population per region and the percentage of those pools that arc heated are inputs that significantly affect the results. All of these variables were taken from the National Spa and Pool Institute, the most accurate source for pool information; however, even NSPI's data could contain statistical errors. The actual sizes of the pools arc also variables that significantly affect the results since heat loss is directly proportional to the surface area of the pool. The three pool categories chosen in this project and the various pool types that they encompass offer a potentially wide range of pool sizes. This is especially true with the semi-public pools' category since it consists of hotels, motels, apartments and condominiums which have wide variations of sizes. For outdoor pools, wind speed is another variable that could significantly affect the results. Wind speed is entered as a percentage of the weather station value since the average wind speeds at the pool surface are generally much lower than the wind speeds taken at heights of 10 to 30 feet at the weather station. If the percentage of wind speed is increased from 15% to 30%, the energy consumption can increase by as much as 38%. The actual periods that the pools are heated are also examples of variables that affect the results. Obviously, the longer a pool is heated, the more energy the pool will consume For this project, the pool opening and closing dates were chosen based upon the climatic conditions of the pool's region. Hours of operation were also designated for each of the three types of pools. Some other characteristics of the pool that may affect the results are the temperature at which the pool is kept, the swimmer
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activity level and for an indoor pool, the air temperature and the humidity at which the natatorium is kept. If the temperature of a pool is increased by 2°F, the energy consumption can increase by as much as 20%. Since swimmer activity affects evaporation, changing the activity level between high and low can affect the results by as much as 20%. For indoor pools, if the temperature of the natatorium is decreased by 2°F, the energy consumption can increase by as much as 10%. If the humidity of the natatorium is decreased by as little as 10%, the energy consumption can increase by as much as 30%. The results of the Annual Energy Consumption of Heated Pools in the United States project depends heavily upon a number of variables and input parameters. These variables and input parameters can change from pool to pool and even change with a given pool depending on the climate, the demand for use of the pool and the operating costs associated with the pool. Given that there are approximately 1.5 million heated pools in the U.S., the potential for varying input parameters, and therefore obtaining different results, is significant. Conclusions The are a little over 1.5 million heated pools in the United States that consume approximately 1.0 quad of energy annually. This findings indicate that the energy use of heated pools is significant and the potential for savings is substantial. By utilizing technology currently available, this energy consumption can be cost effectively reduced by 50% to 75%. References 1. Pool and Spa Market Study For the Year 1991, National Spa and Pool Institute, Alexandria, VA, 1992. 2. 1987 Swimming Pool and Spa Industry Market Report, National Spa and Pool Institute, Alexandria, VA, 1988. 3. Barone and Ujifusa, The Almanac of American Politics 1992, National Journal, Washington, DC, 1991. 4. Jones, Martin, and Gunn, "DOE's Energy Smart Pools Computer Program", submitted to the Association of Energy Engineers World Energy Engineering Congress, 1995. 5. The RSPEC Concept: Reduced Swimming Pool Energy Cost, The Department of Energy, 1992. 6. DOE/EIA Monthly Energy Review (MER), The Energy Information Administration, Washington, DC, May, 1995.
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TABLE 1 REGIONAL DATA Region States in Weather Site Outdoor Dates Region 1 Maine, New Hampshire, Vermont, Massachusetts, Boston, MA June 1 - August 31 Rhode Island 2 New York, Connecticut, Pennsylvania, New JerseyNew York, NY June 1 - August 31 3 Delaware, Maryland, Virginia, West Virginia Washington, June 1 - August 31 DC 4 Tennessee, North Carolina, South Carolina, Raleigh, NC May 1 - September Georgia 30 5 Florida Tampa, FL Year-round 6 Arkansas, Louisiana, Mississippi, Alabama Birmingham, March 15 - October AL 15 7 Ohio, Kentucky, Indiana, Illinois, Missouri, Iowa Indianapolis, INJune 1 - August 31 8 Minnesota, Wisconsin, Michigan Madison, WI June 1 - August 31 9 Montana, Wyoming, North Dakota, South Dakota Rapid City, SD June 1 - August 31 10 Nebraska, Kansas, Oklahoma Dodge City, KSJune 1 - August 31 11 Texas Dallas, TX March 15 - October 15 12 Nevada, Utah, Colorado, New Mexico Denver, CO June 1 - August 31 13 Arizona Phoenix, AZ Year-round 14 Washington, Oregon, Idaho Portland, OR June 1 - August 31 15 California Los Angeles, Year-round CA 16 Hawaii Honolulu, HI Year-round 17 Alaska Anchorage, AK June 1 - August 31
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TABLE 2 INPUT PARAMETERS AND ASSUMPTIONS FOR POOLS Input Public Pools Semi-public Residential Pools Parameters Pools Hrs. of Operation 9:00am 9:00am 12:00pm 9:00pm 9:00pm 6:00pm Pool Area 4000 sq.ft. 800 sq.ft. 800 sq.ft. Pool Temperature 80°F 80°F 80°F Activity High Low Low Factor Pool Heater Efficiency 75% 75% 75% Outdoor Pools' Wind Speed 15% 15% 15% Outdoor Pools' Shading Factor 0% 0% 0% Indoor Pools' Room Temperature 80°F 80°F Indoor Pools' Room Humidity 55% 55% Indoor Pools' Ventilation Heater 75% 75% Efficiency
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TABLE 3 NUMBER OF HEATED POOLS Region State # of Htd. Public Pools # of Htd. Semi-public Pools Outdoor Indoor Outdoor Indoor Maine 174 521 234 702 New Hampshire 157 470 211 634 Vermont 80 239 107 322 1 Massachusetts 850 2551 1146 3438 Rhode Island 142 426 191 574 New York 2542 7627 3427 10281 Connecticut 465 1394 626 1879 2 Pennsylvania 1679 5037 2263 6790 New Jersey 1092 3277 1473 4418 Delaware 94 283 127 381 Maryland 676 2027 911 2733 3 Virginia 874 2623 1179 3536 West Virginia 254 761 342 1025 Tennessee 689 2068 929 2787 North Carolina 937 2810 1263 3788 4 South Carolina 493 1478 664 1993 Georgia 915 2746 1234 3702 5 Florida 1828 5485 2465 7394 Arkansas 332 997 448 1344 Louisiana 596 1789 804 2412 6 Mississippi 364 1091 490 1471 Alabama 571 1713 770 2309 Ohio 1533 4599 2066 6199 Kentucky 521 1563 702 2106 Indiana 785 2355 1058 3174 7 Illinois 1615 4846 2177 6532 Missouri 723 2169 975 2924 Iowa 392 1177 529 1587
# of Htd. Residential Pools 10380 8140 2300 36070 7310 81570 16230 43330 50480 4020 22760 18830 5080 17820 20480 16140 26680 199530 5420 15120 8310 14820 29740 8190 15000 21690 12380 2410
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(Table continued from previous page) Region
8
9
10 11 12
13 14 15 16 17 Total
State
Minnesota Wisconsin Michigan Montana Wyoming North Dakota South Dakota Nebraska Kansas Oklahoma Texas Nevada Utah Colorado New Mexico Arizona Washington Oregon Idaho California Hawaii Alaska United States
# of Htd. Public Pools # of Htd. Semi-public Pools Outdoor Indoor Outdoor Indoor 618 1855 833 2500 691 2074 932 2796 1314 3941 1771 5312 113 339 152 457 64 193 86 259 95 284 127 382 98 295 133 398 223 669 301 902 350 1051 472 1416 445 1334 599 1798 2400 7201 3236 9707 170 510 229 687 244 731 328 985 466 1397 628 1883 214 643 289 866 518 1554 698 2095 688 2063 927 2781 402 1205 542 1625 142 427 192 576 4205 12616 5669 17007 157 470 211 634 78 233 105 315 35068 105207 47271 141816
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# of Htd. Residential Pools 6500 5820 23680 1070 410 780 780 1270 5020 15050 87770 5850 1310 2790 5640 56080 11460 4500 1770 245520 9190 205 1212695
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TABLE 4 ENERGY CONSUMPTION OF HEATED POOLS Region Energy Consumption of Energy Consumption of SemiPublic Pools BTU's (10E9) Public Pools BTU's (10E9) Outdoor Indoor Outdoor Indoor 1 1120 15166 245 3487 2 2871 60708 592 13974 3 606 20202 113 4681 4 2066 31920 437 7460 5 5107 18649 1173 4488 6 2411 19061 525 4416 7 2028 59719 397 13739 8 1639 29261 361 6746 9 313 3795 68 872 10 520 10249 96 2363 11 3214 24275 715 5649 12 992 10436 211 2405 13 1772 4323 400 1001 14 1703 13609 272 3133 15 19793 44434 4620 10289 16 322 1359 68 327 17 118 907 28 209 Total 46595 368073 10321 85239
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Energy Consumption of Residential Pools BTU's (10E9) 8090 13988 2129 8354 92981 8864 4472 3564 398 1408 18958 2151 31349 2837 196170 2187 54 397954
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Chapter 54 Power Marketing and Market Forces L. Weiss
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Chapter 55 Retail Wheeling: Analysis of Issues H.G. Nezhad Abstract There are many competing issues that must be examined before a decision is made about the costs and benefits of retail wheeling. These issues range from technological problems of generation and transmission to environmental, economics, regulatory, as well as socioeconomic problems. This paper identifies key issues. Then, using a computer software called STRUCTURE the interrelationships of these issues will be examined and a cross-impact analysis will be conducted. Introduction Electric utility industry is an $800-billion industry which provides about 13 percent of the world's end-use energy. According to the International Energy Agency, demand for electricity is projected to grow by 2.4 percent per year during the 1990s and by 3.2 percent per year in the following decade 2. In the United States alone, electricity consumes 36 percent of total primary energy and its share is expected to rise to 41 percent by 20103. Since its creation in the nineteenth century, world electric industry enjoyed a relatively stable and predictable environment. They had almost complete control over their sources of power generation and transmission. However, the emerging technological, environmental and regulatory forces along with customer and stakeholders' demands have created a turbulent environment for this industry. This new environment is setting the stage for a transition to market-based industry where competition is the name of the game. Internationally, United Kingdom led the way by selling its large government-owned utility to private investors. The system has been separated into twelve regulated distribution companies, a nationally-owned transmission system, and three semi-competitive generation companies. Norway has also adopted a narrower version of retail wheeling. In the United States, the Public Regulatory Policies Act of 1978, provided incentives to deregulate the electric industry and to enhance competition only at the wholesale level. Today, about 40 percent of the electricity generated in the United States is sold by the producing utilities to other utilities through wholesale transactions. The value of this transaction is now about $35 billion a year and growing rapidly1. Later, in 1992, the Energy Policy Act started the push for retail wheeling at the state level. In April of 19.94, the California Public Utility Commission proposed new regulation that would allow California's large electric consumers to buy power from utilities other than their local suppliers, and by 2002 all California's power users, including homeowners, will have the opportunity to choose their own electricity supplier. California is leading the way for the rest of the country. At this stage of the game, there is an atmosphere of excitement and concern about the future directions of the industry in the U.S. The proponents of retail wheeling are delirious about the prospects for economic efficiency improvements and costs reduction due to intense competition within the industry. They use the beneficial outcome of increased competition in rail, telecommunications, and natural gas industries as justification for their support of new developments. Large industries such as aluminum, petrochemicals, and auto, and low-cost independent power producers are among the strongest supporters of retail wheeling. The skeptics of retail wheeling ague that retail wheeling would create an environment where minimizing costs of power generation and transmission would become the main
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concerns of the utilities. It would discourage utilities in investing in demand-side and renewable technologies. They claim that pollution costs and other environmental externalities which are now part of the Integrated Resource Plan (IRP) of most utilities will be ignored. Others predict a ''dooms-day'' scenario for the power utilityprice wars, decreased earnings, loss of traditional customers, mergers and acquisitions, sale or shut down of existing plants, and resistance to commit capital to new plants. The purpose of this paper is to identify important issues related to power wheeling and to analyze their interrelationships. The process, though general, could be easily applied to a particular utility. This analysis would become a valuable resource in developing a strategic plan for the utility in order to compete successfully in the emerging turbulent environment. Strategic Issues Facing the Electric Utility Industry The retail wheeling issues facing the utilities, regulators, consumers, shareholders, and environmentalists are many and interrelated in complex ways. These issues range from technological problems of generation and transmission to environmental, economics, regulatory, as well as socioeconomic problems as shown in the following list. 1. Impacts on Demand-Side Management Activities 2. Environmental Issues 3. Technological Issues 4. Impacts on Utility Rates 5. Regulatory Issues 6. Electricity Growth Rate 7. Financial Issues 8. Opportunities for Marketing New Products and Services 9. Power Reliability Issues 10. Transmission Access 11. Consumer Equity Issues Methodology Due to a large number of stakeholders, some with opposing interests, and a host of complex issues involved in the transition to retail wheeling, utilities are searching for creative ways to help them identify and assess major issues involved in order to make better decisions. One of the major problems in solving such a complex decision problem is that it is not structured. Since the number of variables is so large and their interrelationships are so involved, a systematic approach is needed which would allow the decision makers to look at the "big picture" and consider all the important factors of a decision and their interrelationships in a more manageable way. A simple and powerful method to structure a complex problem is graph theory. So far, the applications of graph theory have been mainly limited to scientists and researchers. But with the help of today's fast computers, graph theory could become a valuable tool for decision makers who do not have the needed mathematical background or the time to use it effectively 4. A computer software program called STRUCTURE, has been developed by the author for this purpose. The simple procedure for the user is as follows: 1. Identify the variables of the problem and enter them randomly in a file specified by the program. 2. Determine interrelationships among these variables two-at-a-time. This is where the complex problem is simplified for the user by allowing him/her to look at the variables only two-at-a-time. The program would do the following: 1. Draw a directed graph or digraph to display the relationships among variables. Variables are represented by nodes and relations between them are shown by arrows. If a change in variable Vi has a significant, direct effect on Vj, the program will draw an arrow from Vi to Vj. If an increase in Vi. causes an increase in Vj and vice versa, a + sign is assigned to the arrow connecting Vi to Vj. On the other hand, if an increase in Vi causes a decrease in Vj and vice versa, a _ sign is assigned. 2. An "adjacency matrix" would provide relationships among all the variables. If two variables are related, a "+1" or a "-1" will be assigned to a cell representing these two variables. Otherwise, a "0" will be assigned. In a case where the relationship is unknown, the program will assign a "?". 3. The level of dependency of each variable on other variables could be viewed. 4. Structure also shows the possible cycles for each variable. A cycle shows a sequence of arrows that ends at the starting node. The sign of a cycle is positive or impact-amplifying if it has even number of minus signs. Otherwise, its sign will be negative or impact- counteracting 5. The program would allow the user to pick any variable and determine its relationships to any other variable as an independent or a dependent variable. Structure is an ideal tool for systematic brainstorming. After a group of decision makers/analysts go through this process, the problem will be illuminated and structuring of the problem will become easier.
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Figure 1 is a graph generated by the structure software showing the relationships of retail wheeling issues. References 1. EPRI Journal. (1994). Buying and Selling Power in the Age of Competition. Palo Alto, California. 2. International Energy Agency, World Energy Outlook, 1994 Edition, OECD Publications, Paris, France, 1994. 3. National Energy Strategy, First Edition 1991/1992. Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 4. Roberts, Fred, Discrete Mathematical Models with Applications to Social, Biological, and Environmental Problems, Prentice-Hall, Inc., 1976.
Figure 1: Retail Wheeling Issues
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Chapter 56 The Role of Regional Transmission Associations in Providing Open Transmission Access and Services P.K. Bahl Introduction The Federal Energy Regulatory Commission (FERC) expanded its authority under the Energy Policy Act of 1992 and issued a Policy Statement on July 30, 1993, for the formation of Regional Transmission Groups (RTGs). In this Policy Statement, FERC laid out a minimum of seven components of RTG Governing Agreements. The purpose of the policy is for an RTG to become an effective instrument in enhancing competition in generation markets, and providing transmission access to requesting entities. The key components of the RTGs are: Coordinated Transmission Planning, Access Rules, Pricing Principles, Dispute Resolution, and adequate consultation and coordination with state regulatory commissions and other stakeholders. Though it is the responsibility of each regulated utility to obtain approval on transmission projects from its respective state commission and siting authority, the RTGs would create a mechanism to keep all commissions and other stakeholders informed on the development and finalization of new transmission projects. This would be done by providing copies of planning studies performed in the technical and economical evaluation of these projects. Role of RTGs RTGs are to provide a forum where all entities can get together and share information on current and future transmission projects, coordinating transmission planning, construction, and efficient operation on a regional and inter-regional basis. RTGs may also enhance regional planning by providing a mechanism for cooperation among state commissions and the utilities they regulate. Western System Coordinating Council (WSCC) has changed its governance and expanded its membership to provide an equitable means for undertaking reliability and regional planning responsibilities. WSCC has accepted the request of two of the western RTGs for providing them assistance in their transmission planning activities. FERC's Approval of Western RTGs In October 1994, FERC conditionally approved the bylaws of two RTGs in the western United StatesWestern Regional Transmission Association (WRTA) and South West Regional Transmission Association (SWRTA). There were two main conditions of approval. First, the RTGs must make a single, unified, regional transmission plan. All members should commit to the plan and promote the plan to their respective state commissions and transmission siting authorities. However, due to differing objectives among the region's individual state regulatory commissions, FERC did not require that RTG members be bound by the regional transmission plan. Second, all jurisdictional transmitting utilities must file a tariff for providing point-to-point and network services on a comparable basis, that is, comparable to the service provided to the utilities' own native load customers. On May 16, 1995, FERC approved WRTA's Governing Agreement, and on June 28, 1995, approved Northwest Transmission Association's (NRTA) Bylaws. After receiving two extensions, SWRTA made a compliance filing of its Bylaws with FERC on June 26, 1995. SWRTA submitted in its filing a white paper explaining the regional planning process and agreed that the jurisdictional transmission owning utilities would file comparability of service tariffs after approval of the bylaws. WSCC Regional Planning Process WSCC regional planning process will assist RTG members to meet their transmission needs in a timely and equitable manner and to provide for the efficient development of a reliable transmission system. The plans developed by the western transmission associationsWRTA, NRTA, and SWRTA, coordinated with WSCC, will be part of an overall "grid plan" for the western United States. The regional plan will: 1. Evaluate the existing transmission system strengths and bottlenecks, including constraints and ratings of significant lines
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and paths, 2. Describe planned resource additions and retirements and transmission service requirements that affect the plan, 3. Require demonstration of impacts on efficient use of resources, and impacts of proposed regional projects on individual member systems, 4. Meet the needs of the region in a cost effective manner, and 5. Include future projects (6 to 10 years). WSCC will provide analyses of options regarding those projects that cross state boundaries. Figure 1 shows transmission planning relationships in the WSCC and Figure 2 summarizes the SWRTA planning process. (Reference White Paper on SWRTA Planning Process) RTGs' Linkage with Integrated Resource Planning (IRP) The principal purpose of IRP is to minimize the cost of meeting the demand for electric energy services over the long term. Among the elements of a resource plan are cost effective demand side management (DSM) programs, and a portfolio of future resource additions, possibly including renewable resources. DSM programs should be designed in conjunction with system planners to explore the possibility of deferring construction of transmission and distribution facilities on a cost effective basis, as well as deferring generation facilities. RTGs can encourage their members not to overlook opportunities where transmission additions can be deferred or where upgrades can be designed to favorably impact the system efficiency. Transmission deferrals can be achieved using distributed generation, such as installation of photovoltaics on selected distribution feeders and substations. In fact, photovoltaics have already been shown to be cost effective in remote locations where line extension costs are prohibitive. Regional transmission planning may also enhance IRP by identifying joint participation projects for Renewables or other resources among members of the RTGs. Such projects could not only result in efficient transmission expansion plans, but also could have a positive environmental impact. For now, and until such time as the state jurisdictional commissions formulate conformable standards for utility integrated resource planning, regional optimization of generation and transmission plans will suffer to some extent. Regulatory commissions, as members of the National Association of Regulatory Commissioners (NARUC), have recognized this need and continue to discuss and evaluate means by which state-by-state regulation of utility IRP requirements can be conformed to facilitate the optimization of "regional" (i.e., multi-state) power supply and transmission planning. Utilities' Stranded Costs and Benefits In the new competitive environment, the utilities are naturally concerned about stranded costs, and FERC addresses the recovery of stranded costs in the NOPR. An equally important question is how to deal with stranded benefits. These benefits accrue from implementing cost effective DSM programs and from developing renewable resources in the overall regional plan. Stranded benefits also include consideration of environmental externalities, low-income consumer assistance, and emphasis on continuing R & D programs. In order to gain a competitive edge, some utilities may decide not to pursue these programs that are in the public interest, but which may raise their customer rates. The issue of stranded benefits is likely to be affected by the development of RTGs. Although state commissioners are members of RTGs, they do not have voting rights. In other words, they are only ex oficio members, and may even have ex parte limitations on their ability to participate in RTGs. However, the commission staff can participate in all proceedings. The extent to which stranded benefits and other public policy objectives are preserved will depend on and require new policy structures and processes. Siting of New Facilities According to the draft report of the DOE Working Group on Energy Facility Siting, many of
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the existing generating facilities are aging and approaching the end of their life cycle. Many of the oldest plants require extensive retrofitting to comply with recent regulations and standards. As siting of new generation and transmission facilities becomes critical to efficient system expansion goals, continued use of older and less efficient facilities will drive up the cost of energy, and hence the cost of consumer products. Therefore, as energy facilities age, more environmentally benign technologies can replace them. As RTGs respond to the needs of both members and non-members, all parties have an opportunity to lay at least all their transmission cards on the table, and select the best options for transmission expansion in conformity with the optimum mix of future generation resources in the region. One could also consider the situation where some generating entities have "private" deals with transmission providers who simply act as energy carriers for those who risk development in a particular fuel source such as gas-fired generation. Implications of FERC's Open Access NOPR FERC's March 29th Mega-NOPR will perhaps be the new rulebook for electric industry competition - at least at the wholesale level. The NOPR seems to lack emphasis on the value of long-term planning and implementation of the IRP process for resource acquisition in the competitive generation market envisioned by FERC. This could negatively impact some of the state IRP requirements, such as to include a reasonable amount of renewable resources in the utilities' generation portfolio. It, therefore, becomes imperative that the RTGs do not lose sight of the state IRP requirements in their regional planning process. As well, state regulatory commissions must recognize that their jurisdictional utilities are being asked to respond to federal regulations which aim more broadly at "regional" planning as opposed to state-by-state planning. Real-Time Information Networks One of the proposals in the NOPR is the Real-Time Information Network (RIN) request for comments. Under this proposal all transmission providers should implement a computer-based RIN to make available same time information on transmission system operations, available capacities, and prices. The NOPR further suggests that all requests for transmission system usage, including requests by affilliates of transmission owning utilities or even by their own marketing departments, be funnelled through the RINs. FERC scheduled a Technical Conference in Washington, D.C. on July 27 & 28, 1995, to address what transmission service products should be posted and how to implement the RIN. RTGs in the western region are working on a collaborative basis to determine and possibly standardize the transmission service products and practices indicated in the NOPR's proforma tariff. This effort is undertaken by the "What" group. WSCC's Information Management Subcommittee has taken the lead on developing design standards for implementation of RIN. This also is a collaborative effort by the "How" group represented by various stakeholders. Similar efforts are being undertaken in other regional reliability councils. Representatives of the western made presentations of their developments at the conference. Conclusions RTG-s have a significant role in bringing together all utilities and non-utility suppliers at a common forum where coordinated planning can lead to obtaining regional efficiencies in operation and construction of new transmission facilities. Recognizing that RTGs can play the role of bringing together utilities from multiple state jurisdiction, the state regulatory commissions can, in like manner and working together, take reasonable steps to conform IRP requirements. By conforming the IRP requirements of individual state commissions into a sound and well understood framework, the RTG member-utilities will be better able to develop regional IRPs which meet the tests of individual state regulatory commissions. RTGs have a linkage to the IRP process of individual states. By consulting and coordinating with the state commissions and other stakeholders, RTGs can provide opportunities for the implementation of the IRP process. Some of the elements of this process are:
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- Exploring regional possibilities of transmission and distribution deferrals by selecting appropriate DSM measures and by coordinating such measures with system planning, - Investigating opportunities for innovative and distributed generation, such as installation of photovoltaics on selected distribution feeders and substations, and - Consideration of transmission plans consistent with the concept of regional development of renewable resources. Siting of new generation and transmission facilities is critical to efficient system expansion goals. RTGs can facilitate the siting of new transmission facilities by keeping the state commissions and siting authorities informed up front regarding the merits and demerits of the new projects. Implementation of RIN would enable the RTG members (as it would non-members) to identify transmission system available capacities and constraints. This knowledge should lead to efficient operation and optimum transmission expansion on a realistic and non-discriminatory basis. In their regional planning process, RTG members should minimize the loss of stranded benefits.
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Transmission Planning Relationships WSCC
Figure 1 Western Interconnected Grid
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SWRTA Planning Process
Figure 2
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Proposed Western RIN
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SECTION 5 ADVANCES IN LIGHTING EFFICIENCY & APPLICATIONS
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Chapter 57 New York State Office of Mental Health Lighting Revitalization Program A Case Study C.P. Henry Abstract In 1990, the Governor of New York State issued Executive Order No. 132, directing all state agencies to reduce energy consumption by 20% by the year 2000. To assist in meeting this goal, the New York State Office of Mental Health (OMH) established the Lighting Revitalization Program in 1992. The program's goal was to rehabilitate outdated, inefficient lighting systems throughout 28 OMH facilities, totaling 28 million square feet in floor area. The program uses a unique fast track approach that combines the efforts of state lighting technicians under OMH management and technical assistance from a consultant, Novus Engineering, to accomplish lighting retrofit projects at low cost and on short time schedules. This approach differs significantly from the state's normal procurement methods. Following state procedures, completion of a capital project usually takes one year or more. In this program, projects are completed in less than six months. Since most projects involve retrofit of existing fixtures and little rewiring, conventional design documents and specifications are eliminated. Novus, working under a multi-year contract, audits each facility building on a room-by-room basis, identifies existing conditions, and proposes retrofit measures. Novus then generates room-by-room scopes of work and state technicians install the measures specified. Typical projects involve the removal of inefficient lighting systems and their replacement with high efficiency systems. Novus also inspects work installed. A close-out report is developed to track work completed and to track overall costs for each project. Since each facility is responsible for material procurement, Novus also develops a detailed material list for each lighting project, identifying items on state contract. A supplier is listed for material not available through state contract. Novus also assists with supplier quotations and alternative manufacturers when listed products are not available. Novus aggressively pursues utility rebates for all work completed. Since OMH facilities are located throughout the state, demand side management programs for seven electric utilities were investigated. Novus generates rebate applications for each facility and acts as a liaison with the applicable utility company to track each application through acceptance. To date, the program has accomplished the renovation of lighting systems in over 212 buildings at 28 facilities. Over 40,000 fixtures have been retro fitted or replaced and over 1,700 automatic controls have been installed. The program has been responsible for demand reductions totaling 1,917 kW and annual energy savings of 10 million kWh. Annual savings exceed $780,000. The overall project payback period for completed work is 2.5 years. Introduction This paper discusses the successful implementation of a large-scale lighting retrofit program by the New York State Office of Mental Health (OMH). This agency has used the resources of its own staff, other state agencies, and private firms to rehabilitate lighting at 28 of its 33 facilities throughout the state since 1992. The program combines the design efforts of Novus and installation by state technicians to implement lighting retrofits in a short time period. The use of state labor and quick turnaround of projects reduces the overall cost of the program. The program has been quite successful in reducing energy consumption while maintaining or improving light levels.
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Background In 1990, the Governor of New York issued Executive Order No. 132, directing all state agencies to reduce energy consumption by 20% by the year 2000, compared to the base year of 1988/89. In response, the New York State Office of Mental Health (OMH) established a comprehensive energy program in order to aggressively meet this challenge. OMH set an internal goal to accomplish the 20% reduction by 1997. To achieve this objective, the agency enlisted the assistance of other state agencies and private sector firms (Facilities Resource Management (FRM), Novus, and others) to develop and implement a comprehensive energy conservation program. 1 OMH and its partners reviewed its current operations to determine how energy consumption could be reduced. Major areas of focus included: * power plant steam generation * steam and heating distribution systems * fuel procurement * education * space conditioning * end use equipment After a pilot program was successfully initiated at three facilities, the program was expanded to all 33 OMH facilities by the end of Fiscal Year 1992/93. To date, energy savings from these programs total 2.1 trillion BTUs, representing an overall savings of 27% from the base year.2 The last major building program within OMH took place in the 1970's, and since then many technologies have evolved to reduce energy consumption. With the assistance of Facilities Development Corporation, Office of General Services, and other design firms, long term buildings are undergoing major renovations. Space conditioning projects include the upgrade of heating distribution systems, state-of-the-art energy management systems, energy efficient light fixtures and sensors, and building envelope improvements. In buildings where major renovations were not justified, OMH saw an excellent opportunity to reduce energy consumption by upgrading their existing lighting systems. These systems included incandescent and mercury vapor fixtures, fluorescent fixtures with magnetic ballasts, and low pressure sodium fixtures. Many of these technologies were outdated and could be replaced with more efficient systems. In order to upgrade lighting in these buildings, OMH established a program to utilize existing Environmental Revitalization Teams to accomplish this goal. These teams originally consisted of laborers, groundskeepers, and painters to do landscaping, interior painting, and general cleaning. To implement the lighting program, OMH supplemented the Environmental Revitalization Team with lighting technicians in 1992 to rehabilitate outdated, inefficient lighting systems throughout their facilities. This paper discusses the development and implementation of these lighting initiatives. State facilities are divided into five regions, each served by an Environmental Revitalization Team. Each team works a facility twice a year, generally 4-6 weeks a visit. The OMH Bureau of Environmental Services coordinates and schedules all Environmental Revitalization Team projects. Schedules are established yearly with input from facility staff. Financing is provided through a fund specifically established to accomplish energy conservation projects. This approach differs drastically for the state's standard procurement methods. Following state procedures, project completion usually takes one year or more, whereas, in this program, projects are completed in less than six months. A flow chart (Figure 1) is attached outlining the actions taken to prepare for a visit. Auditing and Design Since most lighting projects involve retrofit of existing fixtures and little rewiring, conventional design documents and specifications are not required for this program. Design guidelines were developed with the assistance of OMH staff prior to commencement of auditing. While the selected materials must reduce energy consumption, patient protection is foremost. New fixtures to be specified in patient areas must be suicide and tamper resistant. Vandal and theft resistant devices were also needed in many areas. Maintenance costs and lamp replacement costs must also be considered. Facility security may be required to review new products for acceptance before they are installed. Wherever possible, items available on existing state contracts are specified if they meet all energy and other design criteria. Since many facilities are undergoing major down-sizing, Novus works with local facility staff to determine which buildings are proposed for long term use (five years or greater). Novus audits each facility building on a room-by-room basis, identifying existing conditions and proposed measures. This information is recorded on a lighting collection sheet (Figure 2) and entered into a database back in the office. Proposed retrofits are selected to maintain or improve current lighting levels. Occupancy levels and patterns are observed to assist in the selection of lighting controls.
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Using a design program developed in-house, Novus then generates a scope of work package consisting of an energy savings report, room-by-room scope of work, and material list. The scope of work or lighting retrofit schedule (Figure 3) lists by room, the existing lighting conditions, the proposed lighting retrofit, and any comments or observations made during the audit. The scope is usually broken out by building. The energy savings report (Figure 4) compare the energy consumption of the existing fixtures and proposed fixtures in each room and calculates the resultant energy savings in kW and kWh. The report also shows the labor, material and total costs for each measure. These costs and savings, as well as any utility rebates, are used to calculate the measure payback period. The overall project payback period generally must be 2.5 years or less. The report is usually divided by technology, however, other options are available. The material list specifies all required material needed to complete the project. Facility maintenance and management staff review the package and approve it if work is appropriate. The Environmental Revitalization Team supervisor and a FRM representative also review the package. Scopes of work are usually developed and approved approximately three months prior to each project. Since facility involvement is included from the beginning, project approval is usually given within two weeks. Material Procurement OMH established a separate energy fund to accomplish its many conservation projects. This fund allows conservation projects to take place without taxing a facility's capital funds. Projects that follow the fund's regulations can be approved quickly by the OMH Bureau of Capital Operations without NYS Budget Division approval. Once the project is approved by the facility and the Environmental Revitalization Team, Novus submits a funding request to the Bureau of Capital Operations Engineering Department for their approval. Once funding is approved, the cost center code is forwarded to the facility to begin ordering materials. Since each facility is responsible for material procurement, Novus also develops a detailed material list for each lighting project, identifying items on state contract. A supplier is listed for material not available through state contract. Novus also assists with supplier quotations and alternative manufacturers when listed products are not available. Each facility also supplies the lighting technicians with miscellaneous supplies, such as electrical tape, wire nuts, junction boxes, and cover plates. Material shipment is tracked by Novus and the facility to ensure timely arrival for the team visit. Cooperation and communication are critical so that efforts are not duplicated and to ensure timely arrival of materials. Implementation The OMH Bureau of Environmental Services conducts an assessment meeting with Team supervisors and facility staff approximately six weeks prior to each visit. This meeting, held at the facility, provides an opportunity to review the scope, verify material status, and make any changes in the work schedule. During the scheduled visit, lighting technicians install the measures specified on the approved scope of work. The size of the scope of work is based on the visit length, retrofit difficulty, and area access. Typical projects involve the removal of inefficient lighting systems and their replacement with high efficiency systems. Typical installations include: * Replacement of incandescent lamps and fixtures with compact fluorescent fixtures; * Installation of electronic ballasts; * Installation of HID lamps and fixtures; * Occupancy sensors, including daylighting controls; * Retrofit of exit signs; and * Removal of unnecessary fixtures. Since this work takes place in patient areas, cooperation between Environmental Revitalization Team technicians and facility staff is critical for project completion. Facility staff provide access and materials to Team technicians, while the Team supervisor is responsible for timely completion of the project. Novus staff provides technical assistance during each visit through site inspections and fielding of telephone calls from technicians. At least one meeting is held at the middle of each project to discuss any problems or concerns. Representatives from the facility, Environmental Revitalization Team, Novus, and FRM attend these meetings. Novus also inspects work to ensure work is installed per manufacturer's installations and all applicable codes. Monthly meetings are held with the Bureau of Environmental Services, the OMH Engineering Department, and FRM to discuss each project in detail and address any overall program problems. The team technicians record work completed on the scope of work, and fax or mail the completed package to Novus for review and data entry. A close-out report is developed to track work completed and overall costs for each project. The close-out report is also used for utility rebate applications and inspections. At the end of each visit, the team inventories remaining supplies and Novus attempts to use this inventory during the next visit. Material that can
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not be used at a facility is transferred to another facility or the team storehouse. Novus aggressively pursues utility rebates for all work completed. Since OMH facilities are located throughout the state, demand side management programs for seven electric utilities were investigated. Novus generates rebate applications for each facility and acts as a liaison with the applicable utility company to track each application through acceptance. Novus generates a quarterly report, listing each facility and the status of rebates submitted. In addition, a handbook outlining various incentive programs offered is sent to facility energy managers. Facilities pursue rebates for energy projects undertaken by their own staff. To date, OMH has received over $840,000 in rebates for its installation of all types of energy efficient equipment. Savings To date, the program has accomplished the renovation of lighting systems in over 212 buildings at 28 facilities. Over 40,000 fixtures have been retrofitted or replaced and over 1,700 automatic controls have been installed. The program has been responsible for demand reductions totaling 1,917 kW and annual energy savings of 10 million kWh. Annual energy savings exceed $780,000. The overall project payback period for completed work is 2.5 years. This program has succeeded because of the cooperation of all involved parties including facility staff, regional management staff, the Revitalization Team technicians, and OMH consultants. Constant communication between all participants has allowed these program to proceed without the usual planning, funding, and scheduling delays that hamper so many construction and renovation projects. References 1. New York State Office of Mental Health Annual Plan for Energy Conservation: Fiscal Year 1994/95, prepared by Facilities Resource Management Company, September 15, 1995. 2. Ibid. Figures 1. NYS Office of Mental Health Lighting Revitalization Team Activity Flow Chart, August 8, 1995. 2. Novus Engineering Lighting Data Collection Sheet 3. Lighting Retrofit Schedule, prepared by Novus Engineering, P.C. 4. Energy Saving Report Summary, prepared by Novus Engineering, P.C.
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NYS Office of Mental Health Lighting Revitalization Team Activity Flow Chart
Figure 1
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Figure 2
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Figure 3
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Figure 4
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Chapter 58 Fluorescent Ballast and Lamp Disposal Issues D.L. Leishman Introduction All around the world, governments, utility companies, and private businesses are attempting to reduce the amount of energy consumed. In the United States alone, new economic strategies and programs are being created to facilitate this process. For instance, the recent enactment of the National Energy Policy Act, the Environmental Protection Agency's (EPA) Green Lights Program, and a surge of utility involvement in Demand Side Management (DSM) Commercial/Industrial Direct Install and Rebate Programs. Many of these programs target Commercial/Industrial lighting system retrofits as one of the most cost effective avenues for reducing the consumption of energy. Due to this trend, hundreds of millions1 of lighting ballasts and lamps are being pulled out of existing buildings and discarded. The benefits of these programs result in enormous reductions in fossil fuels (and subsequent carbon dioxide, sulfur dioxide, and nitrogen oxide emissions) required to generate the displaced electricity. Throughout the United States, however, there is an increasing concern for the environmental impacts surrounding the accelerated disposal of both lighting ballasts and lamps. Regulations initially established were for a ''one by one,'' retirement (failure) process rather than promoted obsolescence and forced retirement of lamp groups or entire systems (truckloads of old technologies). Recognizing this trend and the potential negative environmental effects, federal, state, and local regulators are in the process of reevaluating the impacts and are being asked to promulgate policies to specifically address this situation. While it is anticipated that regulations pertaining to PCB ballasts will become better focused, the regulations regarding fluorescent lamps are, really, yet to be finalized. As interested and involved parties continue to become more aware of all the impacts, we can expect clearer direction. Currently there are a few alternatives for the disposal of these wastes. These range from landfill to recycling to incineration to combinations thereof. The chosen method of disposal may virtually eliminate a business' liability or it can potentially extend it through cleanup regulations. Because of potential future liability, EPA's positive outlook regarding recycling, and an increasing number of landfills reluctance to accept these wastes, a new and enthusiastic industry has been born, the Ballast and Lamp Recycling Industry. As for generators and other "potentially responsible parties" dealing with the waste, they have different approaches ranging from the pro-active taking "the bull by the horns" establishing procedures for managing risk to reduce potential liability, to those that avoid the issue all together. The cost associated with the disposal of these materials varies according to the chosen method. The overall impact disposal has on the project costs is determined by various factors (i.e. age of the existing lighting system and how inefficient or over-lit was the original design). However, the added time to the payback period is generally minimal in comparison to the benefits derived from the savings. 1 August 1992 Electrical Wholesaling"Ballast Blues" estimates that utility retrofit programs will result in between 200 and 400 million ballasts (containing over 10 million lbs. of PCBs) being pulled out of existing buildings.
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In this paper we will cover pertinent definitions, information on ballasts, information on lamps, identify the regulatory bodies involved, and overview the regulations. Definitions The Environmental Protection Agencies The Federal environmental protection agency is broken down into 10 regional offices. In addition, most states have their own departments that regulate the efforts for that state. These states may promulgate regulations that are at least as strict as the federal guidelines; however, they cannot be less stringent. Note that states must be recognized or authorized to regulate the different federal programs. If a state is recognized then it is responsible for regulation and enforcement. If the state is not recognized then the responsibility falls under the federal regional office for the regulation and enforcement. What is a Waste A waste is any material that is being discarded. The EPA states that a generator of waste must determine whether or not that waste is a hazardous waste. This can be accomplished by: Looking up the material on the EPA's hazardous waste list Determining whether or not the waste exhibits one of the following characteristics: ignitability corrosivity reactivity toxicity Utilizing "processed" or industry knowledge Generator Status The generator status of the generator plays a large part in the consideration of the regulations. The following provides a general outline of the requirements for each of the federal generator categories. For specific information regarding your status, contact your state agency. Conditionally Exempt Small Quantity Generators According to the EPA Green Lights Program Lighting Waste Manual, conditionally exempt small quantity generators are exempt from RCRA identification, storage, treatment, and disposal regulations. If you generate no more than 100 kilograms (about 220 pounds or 25 gallons) of hazardous waste and no more than 1 kg (about 2 pounds) of acutely hazardous waste in one calendar month, you are a conditionally exempt small quantity generator, and the federal hazardous waste laws require you to: Identify all hazardous waste you generate Send the waste to a hazardous waste facility, landfill, or other facility approved by the state for industrial or municipal wastes Never accumulate more than 1,000 kg of hazardous waste on your property. (If you do, you become subject to all the requirements applicable to 100-1000kg/mo generators) It is important to note that not all of the states recognize the Conditionally Exempt Small Quantity Generator Status. In these states, if you generate any hazardous waste you are subject to the regulation of a Small Quantity Generator. Furthermore, other states have special thresholds that differ from the federal generator status. Small Quantity Generators If you generate more than 100 and less than 1000 kg (between 220 and 2,200 pounds or about 25 to under 300 gallons) of hazardous waste and no more than 1 kg of acutely hazardous waste in one calendar month, you are a 100-1000kg/mo generator (small quantity), and the federal laws require you to: Comply with the 1986 rules for managing hazardous waste, including the accumulation, treatment, storage, and disposal requirements. Large Quantity Generators If you generate more than 1000kg (about 2,200 pounds or 300 gallons) of hazardous waste and more than 1 kg of acutely hazardous waste in any month, you are 1000kg/mo generator (large quantity) and the federal laws require you to: Comply with all applicable hazardous waste management rules. Polychlorinated Biphenyls (PCB) PCBs are a family of man made chemicals that include 209 different compounds, some more poisonous than others. Insulating and non-flammable, PCBs were widely used as coolants and lubricants in transformers, capacitors, and other electrical equipment. The manufacture of PCBs was halted in the United States in October 1977 because of the evidence that they accumulate in the environment and may cause health hazards. PCBs decompose or decay very slowly, so they are widely distributed throughout the environment. Once in the air PCBs can be carried long distances; they have been found in snow and sea water in the Antarctic. One of the byproducts of the thermal breakdown of PCBs (that occur for example, if an incinerator were burning at a low temperature) is dioxin. Dioxin is a toxic chemical under close scrutiny by EPA. Because PCBs accumulate in the fatty tissue of organisms and man is at the end of the food chain, the cumulative quantity of PCB can be quite significant. PCBs may also
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enter the body through the lungs, the gastrointestinal tract, and the skin. Di (2-ethylhexl) Phthalate (DEHP) DEHP is a clear, odorless synthetic chemical. It is in the family of phthalate known as "DOP" or dioctyl phthalate. Over 300 million pounds per year of DOP have been manufactured since 1985, and 90 percent of this amount is DEHP. DEHP does not evaporate readily and dissolves more easily in materials such as gasoline, paint removers, and oils. The most common use of DEHP is as a plasticiser (it is added to polyvinyl chloride or PVC) to make it flexible. The primary substitute to replace PCBs for small capacitors in fluorescent lighting ballasts was DEHP. Small Capacitor According to 40 CFR (Code of Federal Regulations) 761 a small capacitor is a capacitor which contains less than 1.36kg (3 pounds) of dielectric fluid. A capacitor whose total volume is less then 1,639 cubic centimeters (100 cubic inches) may be considered to contain less than 1.36kg of dielectric fluid, and a capacitor whose total volume is more then 3,278 cubic centimeters (200 cubic inches) must be considered to contain more than 1.36kg of dielectric fluid. A capacitor whose volume is between 1,639 cubic centimeters and 3,278 cubic centimeters may be considered to contain less then 1.36 kg of dielectric fluid if the total weight of the capacitor is less than 4.08 kg (9 pounds). Mercury Mercury is highly toxic by skin absorption and inhalation of fume or vapor, absorbed by respiratory and intestinal tract. The FDA permits zero addition to the 20 milligrams of mercury contained in the average daily diet. Toxic Substance Control Act (TSCA) TSCA provides the basis for the most comprehensive of PCB regulations. Congress passed TSCA in 1976. Within TSCA Section 6 (e) is the only provision which mandates EPA to specifically regulate the manufacture, processing, distribution in commerce, use, and disposal of PCBs. This section bans most of the activities associated with PCBs, and it also directs EPA to regulate the marking and disposal of PCBs. TSCA does not regulate the disposal of non-leaking, intact "Small Capacitors." Fluorescent light ballasts are therefore, not regulated by TSCA. There are exceptions to this exemption: if the small capacitor is leaking it is regulated and must be incinerated; and if the ballast is owned by a company which, at any time in the past, manufactured equipment which contained PCBs, it is regulated. Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA/Superfund) CERCLA provides for extensive liability for improper disposal practices rather than regulating disposal practices directly. CERCLA and its subsequent reauthorizations are more commonly referred to as "Superfund." Under Superfund the release of a reportable quantity of hazardous substances to the environment establishes liability if, in the future, remediation of the release is required. Clean up of a release occurs only if it presents a threat to the environment. The reportable quantity (RQ) of PCB and mercury is one pound each (8-16 ballasts and approximately 11,000 4 ft. lamps) and the RQ of DEHP is 100 pounds. Under CERCLA placement of these materials in a municipal landfill is a release to the environment. Under Superfund, the EPA can initiate a clean-up of hazardous sites that threaten the environment and then could sue the "Potentially Responsible Parties" (PRP) to recover the cost of the clean-up. Anyone with a known reportable quantity of a hazardous substance in the site is considered as a PRP. In regards to fluorescent light ballasts and lamps, the assignment of liability for cost often becomes a protracted legal exercise into which a number of seemingly innocent parties can be drawn, such as the past building owners, the installing contractor, and even the manufacturer. Resource Conservation Recovery Act (RCRA) RCRA is the primary law which governs the management of waste. The objectives of RCRA are to: provide technical and financial assistance for resource recovery programs; minimize the generation of waste; assure the safe disposal of discarded materials; and regulate the management of hazardous waste. RCRA was passed in 1976 and regulates all solid wastes. Solid waste is defined as any discarded material which is not specifically excluded or subject to a variance. Solid waste is divided into two types: hazardous waste and non-hazardous waste. A hazardous waste is a waste that poses a significant threat to human health. The Subtitle C of RCRA which regulates hazardous waste regulates the hazardous wastes from "cradle to grave, "that is, from the time it was produced to the time the waste is ultimately destroyed or disposed. Fluorescent Light Ballasts PCB Light Ballasts When the EPA promulgated the Toxic Substance Control Act (TSCA "Tosca") of 1976, it prohibited the manufacturing and distribution of PCBs. Ballasts containing PCBs could have been installed as late as 1985. A ballast is expected to have a life of 10 to 30 years and there have been ballasts that have lasted over 40 years depending on the bum time over the years. PCBs are chemically stable, do not readily breakdown in the environment, and work their way up the food chain
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(they accumulate in organisms). A gallon of PCB can contaminate a one million gallon water supply. Estimates are, that there are still 200 to 400 million PCB ballasts in use today. This equates to tens of millions of pounds of PCB that could find its way into our ground water. In addition, if the ballasts end up incinerated in a municipal incinerator they can become airborne and can end up in our surface water. PCBs are suspected to cause cancer and workers who have been exposed to PCBs have reported skin disorders, liver injuries, nausea, dizziness, bronchitis and adverse reproductive effects. When the EPA drafted TSCA it exempted intact small capacitors containing less then three pounds of dielectric fluid. The premise of this exemption was that ballasts would fail on a one by one basis and would be randomly dispersed throughout landfills, and therefore, would not pose a significant danger to the environment. Further, due to the universal use of these ballasts, it was viewed as next to impossible to effectively regulate the disposal of ballasts on a one-by-one basis. TSCA does not regulate the disposal of non-leaking, intact small capacitors, however, in the preamble to the 1979 PCB Ban Rule (44 FR 31514 and in the preamble to the final rule on August 25, 1982 47 FR 37342), the EPA encouraged proper disposal of PCB containing ballasts. "The EPA encourages commercial and industrial firms that use and dispose of large quantities of small PCB capacitors to establish voluntarily a collection and disposal program that would result in the waste capacitors going to chemical waste landfill or high temperature incinerators." Nearly all fluorescent light ballasts manufactured prior to 1979 have capacitors that contain PCBs. Therefore, it would be a prudent approach to presume that all buildings that were constructed prior to 1979 have ballasts which contain PCBs. The number of PCB ballasts depends on a couple of factors: The number of ballasts that have failed over time. Was the lighting system upgraded or retrofitted. Ballasts manufactured after 1979 that do not contain PCBs are required to be clearly marked. Typically, this marking can be found on the label and it usually states "No PCBs." Leaking PCB Ballasts Leaking PCB ballasts, in accordance with 40 CFR 761, must be "whole ballast' incinerated. PCB is an odorless clear or yellow oil. If you see an oil substance on the outer shell of a ballast you have a leaker. Ballasts where the asphalt has leaked to the outer surface is not a leaker, unless the asphalt has been contaminated. When handling leaking ballasts it is recommended that the individual has Occupational Safety and Health Administration (OSHA) hazardous material training. The EPA recommends that personnel or contractors should be trained to dispose of leaking ballasts properly. At least protective clothing and gloves should be worn to prevent contamination. Since all materials that come into contact with the leaking substance are also considered as PCB waste, protective clothing, gloves, and anything the oil has dripped on is required by TSCA to be incinerated. Leaking ballasts should be separated and placed in double plastic bags and placed in properly labeled DOT approved shipping containers. In accordance with TSCA, they should be manifested and transported as hazardous waste. DEHP Ballasts Information has been assembled that the chemicals utilized to replace the PCBs are also a concern to health and the environment. One of these materials is di (2ethylhexyl) phthalate (DEHP). The disposal of DEHP ballasts presents similar concerns to the disposal of PCB ballasts. It is estimated that this clear, odorless, synthetic chemical is found in half of the Non-PCB ballasts equating to as much as 15 million pounds of DEHP. The International Agency for Research of Cancer classifies DEHP as a possible carcinogen. Studies of the effects of DEHP on animals has found the liver as the target organ and that long term exposure can cause cancer of the liver in rats and mice. DEHP is listed under RCRA and under the Superfund law it is listed as a hazardous waste. Therefore, Superfund liability exists for anyone landfilling DEHP ballasts. In fact, DEHP has been found in nearly half of the NPL Superfund sites and many of these sites were once municipal landfills. Ballast Disposal Options The first objective in choosing your option is to determine the level of risk to which you are willing to subject yourself and your company. What may be the short term most cost effective solution, may also be a tremendously costly decision in the future. Whether it is PCB or Non-PCB (DEHP) ballasts, there are many alternatives for disposal. What is particularly confusing is that the regulations from individual states differ and subsequently ballasts are categorized inconsistently. Remember, the individual state's regulations can be more stringent than the federal position. Because of the wide array of regulations, it is best to check with the individual state contacts to determine the specific regulations. It is also wise to establish a mechanism for staying abreast of the changes to the
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regulations. Especially, if you are operating programs in more than one state. Be careful to note that for disposal you may need to check with different departments within each agency. For instance, the ballasts may not be considered as a hazardous waste, rather as a "state special," or a solid waste. Once you have made this determination and identified how they need to be handled, you must also check on any specific regulations regarding the transportation of these different wastes. Remember to keep in mind the conditions surrounding "Generator Status." Also important, is that if the state in which the waste is generated classifies the ballasts as hazardous, they may also require the generator to obtain a temporary EPA ID #. Some states don't have temporary numbers and require you to get a full EPA ID #. The following disposal options have been or are being used: Abandon the Ballasts in Place This is not a recommended practice. The ballasts, if left in the ceiling could pose a significant amount of liability and human health risks if there was a fire. Over time the ballasts could also begin to leak. Sanitary or Municipal Landfill or Incinerator Due to potential Superfund liability to which you are exposing yourself and your company, this method is not recommended. Over time the ballasts could rust, leak and leach into the ground, eventually ending up in the ground water. In addition, if it is a "waste to energy" municipal incinerator, it is unlikely that the facility is equipped to handle/burn a solid metal mass such as a ballast and the hazardous substance in the ballasts could become airborne. Hazardous or Chemical Waste Landfill This option is a safer alternative. However, all of the waste that is received by the landfill is subject to manifesting. If the site were to ever become a superfund, EPA has access to all of the records and it makes it very easy to track the name of the generator and assess financial liability. Some landfills require that the containers of PCB be drained prior to landfilling. Whole Ballast Incineration This is among the safest alternatives and is recommended. However, it is also the most expensive method. By law, leaking PCB ballasts must be whole ballast incinerated. Recycle/Landfill Some of the recycling companies will disassemble the ballasts, separate the metals for recycling, and landfill the capacitors and potting compound or just the potting compound. This is not recommended since the liability under Superfund still exists, not to mention, the materials potentially leaching into the ground water. Recycle/Incinerate This is the most cost effective method of the safest alternatives and is recommended. The ballasts are disassembler, the components separated, the contaminated materials permanently destroyed, and the metals reclaimed. In the EPA Green Lights Program "Lighting Waste Disposal" booklet the EPA recommends high temperature incineration, a chemical or hazardous waste landfill, or recycling. Who is Responsible The generator is fully responsible for what happens to the waste regardless of who handles the waste. In addition to the generator, anyone who handles the waste may also be included in any clean-up costs whether it is from a spill or a release to the environment by means of landfilling or improper disposal practices. Ballast Disposal Process Determine the method for disposal that you and your company will implement. Then chose your disposal company. There are several types of companies that will handle these materials including hazardous waste brokers, transporters, waste management companies, disposal sites, recyclers, and even the installing contractor. Be careful when choosing the company. If at all possible audit the facility. On the surface, many companies seem to perform the same "type" of service. However, it is how those services are performed that differentiates the companies. When auditing a facility, among other things look for cleanliness and consistency. In addition check to make sure that the: Company you are contracting with is the company that is going to perform the actual disposal services. If they are going to utilize other firms to complete the disposal, do you want to subject yourself to yet another company handling your waste? Companies are authorized by the state regulating agency to perform the services that they say they are going to provide. Company has all of the necessary insurances including: General Liability Pollution Legal Liability Product Liability Automobile Company has a funded Closure Plan Company does not have any current or past violations Company's employees are OSHA HAZMAT certified specialists Company has a Spill Prevention and Contingency Plan Company has a Quality Control/Assurance Program
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Company will provide you with documentation and ask what documentation you will receive and how long it will take to get it. How do you check to make sure the company has all of these procedures and manuals in place? Ask to see them. Remember, you may be held responsible for the actions of that company. The disposal company should be able to provide you with a complete "turn-key" delivery of services. Including: Regulatory assistance to assist you in your efforts Supplying you with the DOT approved shipping containers Supplying you with the proper shipping manifests and labels Arranging for the transportation Certifying that the materials were received at their facility, that the contaminated materials have arrived at the incineration facility, and that the contaminated materials have been destroyed. Fluorescent Light Ballasts the Future The EPA has recognized the accelerated replacement of ballasts and has been reviewing the assumptions made during the draft of TSCA where the fluorescent light ballasts were exempted under the small capacitor exemption. It has come to the attention of the EPA that the "potting compound" may be contaminated as well. When the EPA exempted the ballasts and allowed for landfilling in a municipal waste landfill they had not anticipated that the compound would be contaminated. Therefore, should the potting compound be found to be contaminated with PCB in amounts greater than 50 parts per million (ppm), then it is possible the ballasts will lose the exempt status and become what is known as a "PCB Article." This "Omnibus Rule" to be proposed by the EPA, that will affect 100 different parts of TSCA, has been anticipated for some time and is now expected for release around the beginning of 1995. There will be a 120 day comment period and than the work on the final draft will be started. According to the EPA, the final rule could take up to two years or longer to be promulgated. According to the EPA this proposed rule, as it pertains to the recycling of ballasts and the firms providing these services, will provide guidance for decontamination of the metals prior to being reclaimed. As long as the ballast recyclers comply with the guidelines then there will be no need for EPA approval to perform recyling services. Ignorance is No Excuse Claiming ignorance will not alleviate you of any liability. According to the EPA, "When you are dealing with chemicals or wastes, the probability of regulation is so great that anyone who is aware that he is.... dealing with them must be presumed to be aware of the regulation." This can apply to landfilling both the PCB and DEHP ballasts. Packing, Handling, and Storage It is recommended that the non-leaking intact PCB and DEHP ballasts be packed and stored in DOT approved drums prior to transportation. Drums can be purchased from a drum dealer for $30-$40. Keep in mind that many of the disposal companies will provide these containers. A typical 55 gallon drum will hold approximately 100 8 ft. ballasts and up to 250 4 ft. ballasts. Packing more than this into a drum may make the drum weigh too much, causing a safety risk when moving the drum around. Due to the fact that PCB and DEHP ballasts are regulated differently among the individual state agencies, it is wise to check with them to determine how the drums need to be labeled. Storage within a specific state depends on how that state regulates PCB ballasts. Typically generators are allowed to store hazardous waste on site for up to 90 days. However, individual state requirements may be stricter. Leaking PCB ballasts should be placed in double plastic bags and drummed separately. This is viewed as a hazardous waste which requires a filled out hazardous waste label, a yellow PCB label, and a shipping description label. Transportation Again, depending on the specific requirement of the state agency where the waste is generated, the PCB and DEHP ballasts may be required to be transported by a hazardous hauler using a hazardous waste manifest. Some states require that the generator apply for and obtain an EPA temporary ID # prior to transportation. A bill of lading and universal non-hazardous waste manifests can be used in some states. In either event you should be sure to check that the transporter has pollution liability insurance. What are the Trends Many companies are now taking a proactive approach for the disposal of ballasts. It was not long ago that a company would place the responsibility on to the contractor performing the services or simply claim that they did not know better and throw the ballasts out. The trend today is for most generators to manage their liability. Since they are liable anyway, they have gotten involved in the selection of the disposal firm or have
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written into the project specifications how the disposal will be completed. There is a tremendous push to "do the right thing." Mercury-Containing Fluorescent Light Tubes There has been a lot of discussion concerning lamps and many people around the country think that the EPA has not really come to any definitive conclusion as to the status of the lamps. While the EPA has not promulgated any rules specifically targeting the disposal of lamps, the regulations are clear. Any generator of waste must determine whether or not that waste is a hazardous waste. This can be achieved by using the Toxic Leaching Characteristic Procedure (TLCP) or by going through "Processed or Industry Knowledge." In fact, the EPA Green Lights Program in its Lighting Waste Disposal manual states "If you do not test used fluorescent and HID lamps and prove them non-hazardous, assume they are hazardous waste and dispose of them accordingly." Some states have drafted interim regulations allowing for lamps to be treated less stringently so long as they are going for recycling at an authorized recycling facility. Less stringent regulations focus on reducing the requirements on transportation and shipping documentation. These reduced requirements soften the blow on the cost of transporting the materials by allowing the materials to be transported by means other than by a hazardous waste hauler. Due to all of the circumstances surrounding lamps, and in order to facilitate that the lamps are properly disposed of, the EPA drafted a proposed rule in the Federal Register Vol. 59. No. 143 / Wednesday July 27, 1994. The EPA asked for comment. The proposal and comment period was extended to November 25, 1994. Why Regulate Fluorescent Lamps Fluorescent, mercury vapor, metal hallide, and high pressure sodium vapor lamps contain trace amounts of various hazardous substances, including mercury, cadmium, lead, and antimony. Even incandescent lamps contain high levels of lead. When these lamps are broken the toxins can be released into the environment. When disposed of improperly the mercury can leach into the ground water or be emitted into the air from municipal incinerators. When it comes to lamps, mercury is the greatest concern. It has been reported that mercury is starting to find its way into the human food chain. Exposure to high concentrations of mercury can cause pneumonitis, chest pains, shortness of breath, coughing stomatitus, and other illnesses. Chronic exposure may cause tremors and neurological problems. An ounce of mercury can contaminate a lake for centuries. In fact, concentrations of mercury of only two parts per trillion in the water can cause fish consumption advisories and warnings. Mercury from lamps accounts for 5 percent of the mercury found in landfills. Although the lighting manufacturers are attempting to reduce the amount of mercury used in the lamps, they currently contain on average 45 milligrams of mercury in each lamp. The lighting manufacturers are attempting to reduce this amount to 27 milligrams and eventually eliminate the use of mercury altogether. Approximately 11,000 four foot lamps can equal one pound of mercury or a reportable quantity. With the United States disposing of 550 million lamps per year this equates to almost 30 tons of mercury being released into the environment each year. Intact Mercury Containing Lamps: Are They Hazardous or Non-Hazardous? The Resource Conservation and Recovery Act (RCRA "Ricra") of 1976 regulates Hazardous Waste. RCRA stipulates: a generator of solid waste must determine if its waste exhibits any of the hazardous characteristics. The methods used for determination are: To reference the EPA list of hazardous waste Determine BYanalytical testing whether or not the waste exhibits one of the following characteristics: Ignitability Corrosivity Reactivity Toxicity Utilizing "processed" or industry knowledge The analytical test currently used for lamps is known as the Toxic Characteristic Leaching Procedure (TCLP "Teeclip"). A representative sample is taken and the materials are crushed, soaked, and tumbled in mild acid. The extract is tested for levels of hazardous substances. If the trace level of the substance exceeds 0.2mg of mercury per liter, it is classified as a hazardous waste. The idea is to simulate the conditions as they would occur in a landfill to determine how much of the substance would leach through the ground and into the ground water, potentially ending up in the supply of drinking water. Unfortunately, processed or industry knowledge has not been consistent. Different samples from the same batch of crushed lamps have produced conflicting results, the lamps sometimes pass and sometimes fail. Therefore, utilizing processed knowledge has not been a conclusive alternative unless you determine the lamps as hazardous. Broken Lamps Many of the states view broken lamps differently then intact lamps. These states assert that the lamps, if broken, are presumed to fail the Toxicity Characteristic Rule for mercury. Therefore, unless otherwise characterized through testing they must be managed as a hazardous waste. If the lamps are going to a lamp recycler be aware that most recycler's operations are not set up to handle
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lamps going into the equipment, even though the equipment's purpose is to break down the lamps. Most recycling companies will charge almost double what it would have cost if the lamp were intact. Lamps As a Hazardous Waste Once it is determined or the generator stipulates that the lamps are a hazardous waste, the RCRA regulations pertaining to hazardous waste come into effect. That is, they must be stored in compliance (generators can store the lamps for up to 90 days) transported by a hazardous waste hauler, documented on a hazardous waste manifest and disposed of in either a hazardous waste landfill (see disposal options regarding landfill) or a recycling facility. The EPA states that lamps should not be incinerated. Disposal Options As with ballasts there are a number of alternatives that are available. Again, keep in mind that the federal regulations and the state regulations may differ. Therefore, it is imperative that you check with your state or your environmental company to ascertain the specific regulations. Be sure if you are checking with your environmental contractor to ask for a copy (for your records) of the state's position. Generator Status Concerning lamps, to qualify as a conditionally exempt small quantity generator, a generator must dispose of fewer than 300-350 four foot T12 fluorescent lamps or 400-450 four foot T8 fluorescent lamps per month. This is dependent on the weight of the lamps. Total weight of the lamp counts towards alotted waste quantity for generators. Testing Testing the lamps is an approach that many end users are taking. As mentioned earlier, the test that is utilized is the TCLP. The test results must be kept for a period of time dependent on that particular state's requirements. To perform the test a random or representative sample must be taken of the lamps. The problem is that there has been little if any direction on what is considered a random sample. Typically, a building may have several different types of lamps. Therefore, is a sample required from each type of lamp or is it from each brand, and what about the age of the lamps. How should the sampling be done? Whatever methodology you utilize, it should be done keeping in mind that you may have to defend it in court. Municipal Or Solid Waste Landfill (Subtitle D Facility) Dumping your lamps into a municipal waste landfill is only permitted provided you have performed a TCLP test on the lamps and they have passed the test or if you are a conditionally exempt small quantity generator. The municipal landfill may impose restrictions or may ask to see the analyticals prior to acceptance. If the lamps are determined or categorized to be a hazardous waste, then your only alternatives are a hazardous or chemical waste landfill or a lamp recycling facility. Hazardous Waste Landfill (Subtitle C Facility) This is a landfill that has been engineered to contain hazardous waste. The waste must be manifested and transported in accordance with hazardous waste regulations. It is important to keep in mind that under the EPA "land ban" mercury-bearing waste cannot be disposed of in a hazardous waste landfill after May 1992. The mercury in the waste must be recovered or treated prior to disposal. 40 CFR 268.42 states that landfilling is prohibited if the total mercury is greater than 260mg/l. In addition, the facility may have other restrictions applied as to how the lamps need to be prepared for landfilling. Lamp Recycling Fluorescent lamps may be recycled at a permitted or licensed lamp recycler whether or not the lamps are hazardous. Most lamp recycling facilities require that the lamps arrive intact. Facilities use enclosed systems under negative pressure to capture mercury vapor as lamps are crushed or disassembled. Components of the lamps are cleaned of mercury and phosphor powder (which also contains mercury) and are collected to be reused. The phosphor powder is then retorted or distilled to recapture the mercury. It is important to note that there are only a couple of facilities that have the capability of retorting or distilling the powder on site. The others must send the phosphor powder to another facility for this service which adds to the number of facilities handling your waste. Currently, there are only two companies that are accepting the phosphor powder from other parties. These third party retort processes heat up the powder which may contain small particles of glass. This process, because it heats at a high temperature, may melt the glass which then captures the powder and mercury. The result is a slag of glass, phosphor powder and residual mercury that has to be landfilled. Crushing On Site Crushing lamps on site can be accomplished with a piece of equipment that sits on top of a steel 55-gallon drum. This equipment crushes the fluorescent tubes as they are fed down the chute. It is estimated that you can fit from 500-1000 lamps in a drum. This equipment may have filters and air monitoring capabilities which satisfy some state regulations, but not all. Due to the individual state regulations, you should contact both your state environmental agency and its OSHA department for advisement.
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Crushing lamps will result in less storage space and may show a dollar savings when it comes to the transportation. However, in the long run, it may end up costing you more. As I mentioned earlier, many of the lamp recycling facilities are not set up to process broken lamps and may charge more for providing the service. In addition, unless the crushed lamps are tested the EPA views them as a hazardous waste and the additional costs associated with disposing of hazardous waste are incurred. When the cost of purchasing and disposing of the filters is taken into consideration, on-site crushing of the lamps often times will cost more. Disposal Process There are several types of companies that will handle these materials including hazardous waste brokers, transporters, waste management companies, disposal sites, recyclers, and even the installing contractor. As with the ballasts, you should audit the facility or company that will be handling your waste to ensure that the materials are being properly disposed of and that all efforts are in compliance with all state and federal regulations. If you are electing to utilize a lamp recycling facility, then in addition to the checklist found under the "Disposal Process for Ballasts," you will need to check for an air filtration and monitoring systems. Packing, Handling, and Storage It is recommended that the lamps be properly packaged to prevent them from breaking during handling or during transportation. Packaging the old lamps can be accomplished by utilizing the manufacturer's containers in which new lamps arrived, by having the disposal company supply you with the containers, or by creating containers. If the retrofit is from T-12 to T-8 lamps and you plan to use the manufacturer's boxes, remember that you will not fit as many T-12 lamps into a container that held T-8s. There are all sorts of containers that are available today. They range from cardboard boxes that hold 35 lamps, to cardboard boxes holding 450-600 individual lamps, to round fiber drums holding 190 lamps, to plywood boxes holding as many as 700-800 lamps. Whatever you use, be careful not to break the lamps. If a lamp breaks vapors are released. The area should be ventilated well and the clean up should be done so as not to generated any dust. The use of safety glasses, goggles (face shields) as well as NIOSH- approved respirators is recommended. The personnel should be provided with training that educates them about the hazards. Storing lamps should be done with care. When stacking the lamps make sure that the boxes have structural integrity and that you do not stack them too high. Ensure that the boxes are tapped shut and have not been exposed to the weather. Otherwise, the lamps on the bottom of the stack may be crushed from the weight of the lamps on top. Individual boxes must be properly labeled in accordance with the state DOT regulations. The lamps, if hazardous, can be stored for up to 90 days in most states. Storage of the lamps must be in accordance within the state specific regulations. Some states require a dedicated area that has "sinage" identifying what is being stored there and meets requirements for storing hazardous waste. The greatest opportunity for breakage is during transportation. When transporting lamps, you may want to use pallets and shrink wrap the boxes. If lamps are going for recycling and are broken during shipment the recycling company, may not be able to accept the broken lamps or may charge extra for the handling of the broken lamps. The shipping documentation is again, dependent on that specific state's regulations and ranges from a hazardous waste manifest to a bill of lading. In either case records should be kept for up to 5 years. Lamps: the Future As stated earlier, the EPA has asked for comment on its "Options Proposed for Managing Discarded Fluorescent and Other Lights that Contain Mercury." This proposal contains two options for managing spent mercury containing lights. Option one calls for excluding mercury containing lamps from regulation as hazardous waste if they are disposed of in municipal solid waste landfills (MSWLFs) that are registered, permitted, or licensed by states with EPA approved MSWLF permitting programs, or in state registered, permitted, or licensed mercury reclamation facilities. Under this option, incineration of lamps in municipal waste combustors would be prohibited. Option two would add mercury-containing lamps to the proposed Universal Waste system for certain wildly generated hazardous wastes (primarily nickel-cadmium batteries and canceled pesticides). This option would allow generators to ship their lamps without a hazardous waste manifest and store lamps for a longer period of time. The lamps that fail the Toxicity Characteristic Rule (TC) would be considered as hazardous waste, but they would be subject to streamlined hazardous waste management requirements. The comment period was extended until November 25, 1994. The EPA will review the comments and draft a policy. It is anticipated that once the EPA finalizes the rule, many of the individual state agencies will adopt it verbatim.
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Trends Companies are beginning to become more educated on the disposal of lamps and some are actually disposing the lamps in a responsible manner. However, many are still not taking the liability ramifications seriously. They have been putting the lamps in the dumpster for years and they are continuing to do so until the EPA comes out with regulations specifically addressing lamps. Environmental Impacts and Payback The benefits to the environment from retrofitting the old technologies with the new more energy efficient systems is tremendous. The fuels required to produce the energy to power the old lighting systems are dramatically reduced. For instance, replacing one 60 Watt incandescent lamp with a 13 Watt compact fluorescent will, over the lifetime of the compact fluorescent (10,000 hrs), eliminate one barrel of oil or 55 pounds of coal from being burned and up to 1400 pounds of carbon emissions from being released into the atmosphere. And, that is from one 60 Watt light bulb, imagine the benefits that are derived from retrofitting and entire building. The pay back in a typical retrofit project that incorporates an incentive from a utility company will be extended by approximately 2.5 months if both the ballasts and lamps are recycled. The ballasts will add approximately 2 months and the lamps .5 months to the payback. Summary To avoid the potential of future liability, to be kind to our already overextended environment, and to "do the right thing" the ballasts and lamps should be properly disposed of in accordance with federal, state, and local regulations. At first glance the regulations may seem complex. However, after a careful evaluation, the regulations are fairly straight forward. Utilizing an experienced responsible firm to assist you with your efforts will ensure that these materials are being handled and disposed of properly and that you are providing your company with the greatest degree of insurance against any future liability. When the incremental cost of recycling is added to the entire cost of the retrofit or relamping project, it is typically less then 8% and adds only a couple of months to the pay back. A small price to pay eliminate these waste streams for our environment and to provide you and your company with the greatest amount of protection. Keep in mind, what may seem as the most cost effective and legal decision for disposal today (landfilling) may have ramifications (CERCLA) far beyond expectations, if in the future, these materials have to be "dug up." Not only could your company be charged exorbitant amounts of money for attorney fees and funding the clean-up, the publicity could have an even farther reaching implications. In conclusion, the benefits derived from a lighting retrofit or relamping project are tremendous. There is a substantial reduction in the amount of energy consumed resulting in reduced costs, a reduction in the cooling load resulting in reduced costs, a reduction in maintenance costs, the output of light is of a higher quality, and the amount of fuel required to power the old technologies is reduced resulting in environmental benefits. Disposal is the last and the weakest link of the chain. Incorporating it into the initial cost projections will act to eliminate the problems of dealing with it as a "afterthought." References "Environmentally Responsible Disposal of Lighting Equipment" Electric Ideas Clearing House Energy User News, October 1992 Conversations with EPA Conversations with individual State Environmental Agencies Conversations with and materials provided by Advanced Environmental Recycling Corporation "Utility Study Examines Environmental Effects of Lighting Efficiency Programs," SRC "Lighting Waste Disposal" EPA Green Lights Program "First PCBs, Now DEHP Ballasts," FulCircle Ballast Recyclers "PCBs in Fluorescent Light Fixtures," EPA Fact Sheet Hawley's Condensed Chemical Dictionary "Hazardous Waste," Electrical Wholesaling August 1991 DEP Issue Profile Polychlorinated biphenyls (PCBs) RCRA Compliance Implementation Guide Government Institutes, Mary P. Bauer and Elizabeth Jane Kellar, 1990 Federal Register Wednesday July 27, 1994 Vol. 59. No. 143 "Superfund Fact Sheet: PCBs," EPA "Assessment of Ballast Disposal Options," Rollins Environmental Services, Inc. The TSCA Compliance Handbook Executive Enterprises, Ginger L. Griffin, 1994 "SARA Title III Intent and Implementation of Hazardous Materials Regulations," Von Nostrand Reinhold Frank L. Fire, Nancy K. Grant, David H, Hoover 1990 Code of Federal Regulations About the Author David J. Leishman is president of Alta Resource Management Services, Inc. (ALTA). ALTA provides responsible ballast and lamp recycling services throughout the United States. 1-800-730-ALTA (2582)
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Chapter 59 A Prescription for Quality Lighting in Hospitals T.A. Damberger Abstract The Sun produces a full spectrum of electromagnetic waves, from cosmic rays to radio waves. Visible light is only a very. small segment of the electromagnetic spectrum that the human eye can perceive. Good quality lighting is of great importance to all of us, whether in the work place or at home. Light can have a positive effect on our behavior, productivity and health. It influences our health, how we feel, think, learn and work. Light is used beneficially in the treatment of disease, disorders and may even influence recovery times for patient care. Lighting is also a major consumer of energy, and as such, offers a unique opportunity to improve energy efficiency while enhancing the environment. It is therefore essential in the development of a system approach toward quality lighting that you promote good health and a sense of well being while concurrently optimizing energy efficiency. Health Care Facilities Kaiser Permanente is the nation's largest prepaid health maintenance organization. The Southern California Region consists of about 200 buildings representing 10 million square feet. Our facilities include numerous acute care hospitals, medical office buildings, office buildings, warehouses, data centers, records centers, call centers, laboratories and parking structures. Hospitals are complex institutions that have a variety number of tasks being carried out by doctors, nurses, administrators, maintenance and other personnel. Lighting consideration for the many different areas are as varied as their functions. Providing illumination for general and task lighting in these varied environments requires special skills. Attention to spatial distribution visual comfort, glare, color rendition, efficacy and conservation become part of the prescription for quality lighting in health care facilities. Lighting quality and quantity optimization is difficult at best. The challenge is to balance energy conservation without compromising quality lighting for the specific visual task. Care must also be given to avoid overexposure of the patient's retina. The retina of the human eye is most sensitive to light between 400 and 1400 nanometers (nm). Lighting m all areas, including patient care areas, must enhance chromaticity (colors) and provide high visual comfort probability (VCP) (reduced direct glare). The spectral distribution from a light source and color rendition affects visual fatigue. It also affects the way the eye focuses, as well as the accuracy and speed with which certain tasks arc performed. With proper lighting, eye fatigue can be reduced and human performance be improved. Also some people believe that proper lighting and decor can have a soothing effect in the promotion of the healing process. The Power of Light The Sun produces a full life-giving spectrum of electromagnetic waves shown in figure 1. Light is only a very small segment of the electromagnetic spectrum that we can see Radio, television and light waves travel at the same speed of 186,000 miles per second. Of particular interest for this discussion is the ultraviolet, visible and infrared spectrum. The human eye can see only a very narrow part of the electromagnetic spectrum, in the range between 380 and 770 nm. Proper lighting in the work place and at home can have a positive effect on human behavior, productivity and health. The photobiological responses of light influence our health, including how we feel, think, learn and work. Lighting is also a major consumer of energy. In the medical care community, quality lighting offers a challenging opportunity to enhance environmental quality while balancing energy efficiency. Our objective is to develop lighting systems that illuminate appropriately, provide aesthetic quality, promote better health, less absenteeism and a sense of well-being while concurrently optimizing energy efficiency. Lighting can be a robust
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Figure 1 resource for a facility or a powerful detriment to productivity. Natural light is an obvious human preference as compared to artificial lighting. Our inherent affinity for sunlight can lead to an overstimulation that will lead to fatigue and declining performance. Too little natural light will also lead to declining performance Therefore, the challenge is to find a delicate balance between too much and too little natural light when designing lighting systems.
Figure 2 Generally, chronic eye fatigue can be reduced or eliminated by controlling direct glare (from lights, windows, etc) and reflected glare from task lighting. The latter can be annoying, and it often reduces contrast making it difficult to perform a visual task. Sensitivity of the human eye across all wavelengths of colors is not equally distributed. Psychophysical research lead to a spectral luminous efficiency curve that shows the relative brightness sensitivity of the eye at various wavelengths. Physiological response of the human eye for peak spectral sensitivity is at about 555 nm, or more commonly called the yellow green wavelength (figure 2). Conversely, red and blue responses are very low in comparison. When performing a lighting retrofit in a facility some individuals either complain or complement the changes depending on their particular sensitivity to a color change, brightness or color rendering of objects. Others may not even notice a change. The Biological Response The biological effects of light on the human body is known in several areas. For instance, light stimulates production of vitamin D when the skin is exposed to light. Important as it is. this beneficaial effect is more important with the elderly and the ailing, whose exposure to natural light is limited. Phototherapy (light therapy) is also commonly used therapeutically to treat effects caused by Seasonal Affective Disorder (SAD), psoriasis, neonatal jaundice and dentistry. Systematic exposure to bright light can overcome certain disabling effects caused by SAD as well as a myriad of oilier maladies. Studies of light on laboratory animals established significant positive
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impacts on the physical activity level, growth, production of a precursor of vitamin D, life spans and reproductive responses. Skin is stimulated by light to produce a precursor of Vitamin D. Light is also known for its role in the deposition of calcium and can be an effective aid in promoting the soundness of teeth and bones and may even prevent rickets. The region of light spectrum where these human physical responses occur is in the 280320 nm range. Clearly there is a need for more research, not necessarily concerning just energy savings. The need is for research on the effective application of light to maintain or enhance human performance. Ultraviolet Light Ultraviolet light is primarily the invisible part of the spectrum whose wavelengths are shorter than those of the violet end of the visible spectrum. It is longer than those of X-rays. The UV spectrum is usually considered to extend from about 50 to 400 nm. The UV spectrum is divided into three regions, which are designated as UV-A. UV-B and UV-C. Both UV-A and UV-B are of interest when considering lighting within a building in terms of photosensitive lupus patients. Literature generally indicates that adverse reactions and photo-sensitivity for lupus patients is mostly in the UV-B range. UV-A (long-wave) generally occurs between 315 to 400 nm band and is considered the black light region. UV-B (middle-wave) generally occurs between 280 to 315 nm and is commonly known for its use erythemally for tanning. UV-C (short-wave) generally occurs between 100 to 280 nm and is in the ozone-producing spectrum (185 nm). UV-C is typically screened out by the Earth's atmosphere and is rarely found in a natural state on Earth. The Fluorescent Lamp The principle of producing light using a fluorescent lamp was first developed about 1938 with the introduction of the 18-inch T-8 lamp. The fluorescent lamp is an electric discharge device which utilizes a low pressure mercury vapor arc to generate UV energy. This is a form of plasma energy, which by definition, is a highly ionized gas that is electrically conductive. The UV energy produced in this process is absorbed by a phosphor coat on the inside of the glass tube and converted by the phosphor to visible wavelengths. This phenomenon is known as fluorescence. The distribution of multiple wavelengths of light is determined by the phosphor composition. This in turn determines the color appearance of the light and the color rendering properties of the lamp. How do fluorescent lamps work? Simply stated, fluorescent lamps have electrodes coated with emissive material that emits electrons. These electrons are accelerated by the voltage between the electrodes until they collide with mercury atoms. A collision excites the outer orbital electrons in the atom. For example, the collision raises the electrons to higher energy levels and knocks them out of the atom. These electrons radiate power when they return to the unexcited state. While some light is radiated, the principal radiation is at 254 nm in the UV spectrum. The UV is absorbed by the phosphor coating on the inside of the glass shell where it is converted to visible light as shown in figure 3.
Figure 3 Fluorescent Light and UV Emissions The toxic effects of sunlight on lupus patients is well known. There was some concern about UV emission from fluorescent lamps, especially those patients with systemic lupus erythematosus (SLE). A small percentage of lupus patients that are particularly photosensitive to UV. To verify that we are nor exacerbating the problem for the SLE patient with our fluorescent fixtures, we contracted with ETL Testing Laboratories, Inc., of New York to conduct a series of UV tests. The purpose was to determine if our patient care areas were being subjected to elevated levels of UV emissions from the fluorescent fixtures. Spectral flux tests of the fluorescent fixtures with and without acrylic lenses were conducted with an Optronics Spectroradiometer with ultraviolet region gratings and ETL Integrating Sphere Photometer. The fixture was
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measured spectrally with the acrylic lens installed in the sunbed and then without the acrylic lens in place. The two series of spectral measurements were taken at one nm intervals. Measurements were taken with the fixture suspended at the center of the ETL Sphere Photometer. The electronic ballast in the fixture was operated at 277 volts. It powered three 4-foot T-8 fluorescent lamps for the series of tests
Figure 4 Tim UV-C integration values were obtained by the summations of rite spectral irradiance values from 200 to 260 nm for each test. UV-B integration values were obtained by the summations of the spectral irradiance values from 260 to 320 nm for each test. UV-A integration values were obtained by the summations of the spectral irradiance values front 320 to 400 nm for each test. UV-C to UV-B ratio was computed from the UV-C and UV-B integration values for each test. UV-B to UV-A ratio was computed front the UV-B and UV-A integration values for each test. The first test was conducted using a three lamp fixture with a Magnetek electronic ballast with acrylic lens, and the second test was performed without acrylic lens as shown in figure 4. Results indicate that there appears to be no significant ultraviolet emissions produced by fluorescent fixtures typically used in an office or medical environment. Therefore, there is no potential for adverse effects for lupus patients, or health risks for the general public. Lighting; a Medical Treatment In July 1993 a scientific study was conducted by Dr. Hugh McGrath, Section of Rheumatology, Department of Medicine, Louisiana State University Medical Center in New Orleans. That study involved fifteen patients with SLE. Results using special fluorescent lamps to obtain only UV-A1 (340-400 nm) and visible light emissions, produced significantly diminished clinical disease activity and autoantibodies. Four patients selected for long term therapy (8-months) improved further over time. Joint pain, fatigue, morning stiffness, malaise, headache, disturbed sleep pattern, impaired activity level and need for pain medication all decreased dramatically with treatment. There were no side effects. Since exposure was in the UV-A1 range there was no observed tanning. Two of these patients had a positive noteworthy response. One had a rash over the entire upper torso that was resistant to several months of extensive corticosteroid therapy. Using UV-A therapy for three days eliminated the pruritic (relating to itching) symptoms. A resolution of up to 70 percent of the symptoms was realized after three weeks of therapy. The rash reestablished itself after the phototherapy was discontinued. A Prescriptive Control of Light There are several ways to control light in a given application. Light fixtures can be designed to control light distribution for a variety of applications. Manufacturers employ one or more of the following in the design elements of a lighting fixture: absorption diffraction diffusion polarization reflection refraction Painted reflectors produce a diffuse light and are typically found in standard off-the-shelf fluorescent fixtures. They use multiple lamps to produce enough lumens (if properly applied) to illuminate the work surface. Painted surface reflectors and other similar materials reflects at all angles while exhibiting little directional control. Pigment in the paint is composed of minute pigment particles which tend to reflect diffuse light as illustrated in figure 5. Some of this light is lost in the fixture. The highly reflective specular surface of a fluorescent reflector is typically made of a polished aluminum, silver film or dielectric film. Proper design will control light reducing light loss within the fixture. Energy gains are achieved by removing one-half of the lamps and
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Figure 5 repositioning the remaining lamps in the center of each side of the fixture. The reflector produces multiple images of the relocated lamps, making the fixture appear to have all the lamps still inside. Without image (light) control, additional lights must be added to make-up for light loss within the fixture. Fluorescent fixtures are inherently inefficient at getting the light out of the fixture, (no optical control). Light typically bounces around inside the fixture. Using the specular optical reflector allows for control of light and therefore reduction in a total number of lamps and ballasts. Maintenance costs are reduced as well as energy consumption. The success of a lighting project incorporating specular optical reflectors totally depends on design by the manufacturer. Reflectors cannot be a single universal design but must be designed for each specific application. The goal is to reflect light directly out of the fixture and creme a spread (horizontal illuminance) of light necessary for the particular application. It should create multiple reflections without directing the light back onto the lamp In some cases, this can shorten the life of the lamp. Our requirements are that the design include a curved profile with a series of bends for multiple images. Long-term performance of the reflector material is of utmost importance. Any degradation office specular surface material during the life of the system will affect the fixture's long-term performance. This is understandable when the material is oxidized, improperly applied or scratched either before, during or after the manufacturing process. Most manufacturers do not guarantee their product beyond a few years (generally five years or less). Some manufacturers guarantee the reflector material will not degrade over a 25-year period. As of October 1994, the Southern California Region has removed over 31,000 fluorescent lights and 19,000 ballasts from operation. Savings are realized by not having to own, operate and maintain these lamps and ballasts. Our goal is to remove 100,000 fluorescent lamps from operation through the application of specular optical reflectors. All lamps removed during our lighting project are recycled. Our lighting systems also impact heating loads in our facilities. Therefore, another advantage of removing lights and ballasts is air-conditioning costs decrease. This is due to less heat generated within the building envelope. The Fontana Case Study I. Introduction To test the efficacy of our prescriptive measures for lighting, we randomly selected a patient care room m a medical office building located m Fontana, California The following case study is the results of our investigation.
Figure 6 The lighting test of a typical 2×4 fixture was conducted in 1994. Figure 6 shows the room and testing information. It also gives further specific detail including the testing criteria sheet that gives specific testing protocol followed during the test. One additional test, designated B-1, was included at the time of test. Room 3032 in Phase 5, an exam room, was chosen because it had one 4-lamp 2×4 layin troffer with A 12 diffuser and no ambient light. Phase 5 of the hospital was opened in 1989, making the fixture about 4 to 5 years old. II. Purpose The purpose of the test was to demonstrate: Washing fixtures does not increase efficiency of the fixture significantly in a typical hospital setting. Further, fixture washing alone is not justified as the sole method for delamping fixtures during lighting retrofit projects. Ballast and lamp changcouts (BLO) (after washing the fixture) are valid in some configurations.
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Whether or not delamping fixtures and adding specular optical reflectors is the most viable option for the majority of 2×4 fixture retrofits in terms of providing equivalent or better light while providing maximum value to the organization. III. Existing Condition (Test A) As tested, the fixture in the exam room did not produce adequate light at the work surface (36 inches) to meet the Illuminating Engineering Society (IES) ''E'' standard (50-75-100 footcandles) for exam rooms (local). The fixture had 4 Sylvania F40LWSS 34 Watt lamps and two Velmont 861038W Maxi Miser II 277 volt ballasts. The test measured 44 footcandles at the work surface. Test A was used as the baseline for comparison. IV. Fixture Washing (Test B, B-1,C and D) Test B was conducted in the same configuration as test A. The fixture was washed, the 4 original 34 watt lamps were placed back in the fixture and measurements taken. The efficiency of the fixture increased at the work surface by 43% and overall by 30%. This increase still did not bring the light levels up to the IES standard for an exam room. Washing the fixture alone is not effective for retrofit projects because the cost to wash the fixture is not offset by any energy/cost savings. Test C and D further demonstrate that washing and reducing lamps and replacing existing 34 watt lamps is not applicable. The average efficiency of the fixtures decreased by 36.4% for a washed fixture delamped to 3 lamps (Test C) and by 80.9% for a washed fixture delamped to 2 lamps (Test D). Test B-1 was done with 4 new Sylvania F40T12/D35 40 wall lamps and the original Velmont ballasts from Test A after the fixture was washed. The average efficiency increase was 38.5%. The reading at the work surface was 71 footcandles and meets the IES standard for an exam room. The significant factor was the lamp change, not the fixture washing. It should be noted that 40 watt fluorescent lamps were probably the original lamps installed m the fixtures in that room. V. Ballast and Lamp Only (BLO) Changeouts (Tests E, F and G) Test E was conducted with the washed fixture and installing 4 Sylvania Octron FO32835 32 watt 3500K T8 lamps and two Magnetck B2321277RH electronic ballasts. The results of this changeout were almost identical to Test B-1 where 4 new 40 watt T12 lamps were installed. This shows that a 4 lamp BLO with 4 T8 lamps and electronic ballasts is effective for retrofits in exam rooms, offices. acute care patient areas and other areas requiring an "E" IES illuminance category (5075-100 footcandles). There are some energy savings for this retrofit due to the reduced wattage of the lamps from 34 watts to 32 watts and the reduced load of electronic ballasts. Test F reduced the 4 T8 lamps to 3 T8 lamps in the washed fixture using the two Magnetek ballasts from Test E. The test fixture used had a very shallow ballast cover so the light was evenly distributed throughout the exam room. In most cases the ballast cover is deeper (2" to 3") and the light will be unevenly distributed in the room. One half of the room will be underlit. This is not an acceptable BLO application for retrofits. Test G were from 4 T8s to 2 T8s in the washed fixture using one Magnetek electronic ballast from Test E. This configuration does not come close to the original baseline fixture (Test A). The average efficiency reduction was 22.9%. Footcandles at the work surface were 36, compared to 44 from the baseline fixture. It would be useful only in areas that are overlit such as storage or corridors. Our experience shows that 2-lamp T8 BLOs have very limited application, but can be used for retrofits. The energy savings are about 50% for these changeouts. VI. Ballast and Lamp Changeouts with Specular Optical Reflectors (Tests H and I) Test H was conducted with 3 of the T8 lamps and the Magnetek ballasts from Test E, with an electropolished aluminum specular optical reflector installed. This configuration compares favorably with Test B-1 and E. It outperforms the 4-lamp T8 32 watt configuration at the center, with a 1% increase. Both 4 lamp configurations (40 and 32 watt) at the work surface measured 71 footcandles. The 3-lamp T8 with reflector configuration measured 67 footcandles, or a difference of 3.7% at the work surface. All three meet the IES standard for an exam room. The 3-lamp T8 with reflector retrofit is one recommended configuration because it provides acceptable light level while realizing an additional 25% energy cost savings over the 4 lamp T8 BLO. Test I measured the efficrency of having half the lamps of the 4-lamp T8 BLO and a specular optical reflector. The 2-lamp T8 with reflector configuration was closest to achieving the light levels of the baseline fixture (Test A). It would not be adequate to meet IES standards for exam rooms, offices and acute care patient areas needing between 50 to 100 footcandles. It would be adequate for general service arc as such as stairways, corridors, appointment areas, lobbies, waiting areas and dining areas for example. These areas need between 10 and 50.
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footcandles. The energy savings are about 50% for these changeouts. VII. Conclusion and Cost Comparison - BLO Changeouts Compared to Ballast and Lamp Changeouts with Reflectors The actual retrofit cost from the Kaiser Permanente Riverside Park Sierra MOB lighting retrofit project completed in July 1994 was used as the basis for this comparison. At issue is whether lighting retrofits with reflectors work and provide value to the organization. The results of the testing show that reflectors work and the attached cost comparisons show the following: The actual increased installed cost per fixture for a 3-lamp T8 with reflector retrofit changeout instead of a 4-lamp T8 BLO is $8.01. This incremental increased cost is recovered in energy and life cycle costs in 8.6 months. The estimated incremental additional savings from using reflectors in 2×4 fixtures for the Fontana Lighting Project is $123,000 + a year. Over 10 years this adds up to an additional savings of $1.23 million dollars. This provided ample justification for installation of specular optical reflectors in retrofit applications.
Figure 7 San Diego; Two Years Later The lighting project in San Diego includes 13 buildings and a medical center was completed at the end of December 1992. Figure 7 is a five year report showing the KWh consumption per building square foot since 1990. The kilowatt-hour (KWh) usage per square foot dropped 27 percent in 1993 and 28 percent in 1994 from previous years. It is interesting to note that the San Diego area had record-breaking high temperatures and humidity during the summer of 1992. Two years after completing the project, we returned to take light meter readings. Figure 8 are the results of those readings. Anaheim Results The lighting retrofit project at our Anaheim Medical Center was completed in December 1993. The annual average KWh usage per square foot for 1990 through 1992 was 41.0827 KWh per square foot and it decreased to 31.2827 KWh per square foot after the project in 1994 (figure 9). This was a 23.85 percent reduction in KWh per square foot. Last year we returned to take additional light meter readings on selected rooms. Figure 10 are the results of those readings.
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Page 428 KAISER PERMANENTE ENERGY SERVICES FOOTCANDLE COMPARISON REPORT
BEFORE LIGHTING RETROFIT AND TWO YEARS AFTER RETROFIT ROOM AREA FIXTURE REFLECTOR NO. TYPE (YES OR NO) 5319 5300 5228 4404
PANTRY NURSES STATION OFFICE (NO TASK LIGHTING INCL.) SPEC. CARE NURSERY (DIMMER) IN INDIVIDUAL BASSINETS: WITH EXAM LIGHTING WITH TASK LIGHTING
3228 2426
SITE: SAN DIEGO MEDICAL CENTER, 4647 ZION AVE. USING: CALIBRATED SYLVANIA IDS-2000 LIGHT METER READ DATE: AUGUST 1, 1994 BY: VIRGINIA PRUE, CEM JENNY FLACK, IL&S
A X-A2K X-A5
YES NO YES
PREV. READ DATE 6-25-72 6-25-92 6-25-92
A
YES
6-25-92
IES PREVIOUS FC CURRENT FC STANDARD READING READING (FC) D (20-30-50) 91 60 E (50-75-100) 70 74 D (20-30-50) 41-53 48-51 C (10-15-20)
E (50-75-100) H (500-7501000) 6-23-92 D (20-30-50) 6-30-92 E (50-75-100)
CHAPLAIN'S OFFICE X-A4 YES SATELLITE PHARMACY X-A2K NO (HOME IV) 2102 PATIENT ROOM (ACUTE X-A4K YES 6-30-92 E (50-75-100) CARE) ONCOLOGY 2-WEST 2128 PATIENT ROOM (ACUTE X-A4K YES 7-9-92 E (50-75-100) CARE ONCOLOGY 2-WEST 2128 PATIENT ROOM X-BB YES 7-9-92 D (20-30-50) BATHROOM ONCOLOGY 2-WEST 3103 CRITICAL CARE CNICU X-A4KD YES 7-9-92 E (50-75-100) * SEE ATTACHED FIXTURE SCHEDULE FOR DEFINITION (BEFORE AND AFTER)
18-38
44-80 165 1800
65 69-86
58-64 68-99
114
154
132
142
34
37
142
156
Figure 8
Figure 9
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Page 429 KAISER PERMANENTE ENERGY SERVICES
SITE: ANAHEIM MEDICAL CENTER, 441 N. LAKEVIEW AVE. USING: CALIBRATED SYLVANIA DS-2000 LIGHT METER READ DATE: SEP. 9, 1994 & (APR. 13, 1995, OR ROOM) BY: VIRGINIA PRUE, CEM JENNY FLACK, IL&S
FOOTCANDLE COMPARISON REPORT. BEFORE LIGHTING RETROFTT AND TWO YEARS AFTER RETROFIT ROOM AREA FIXTURE REFLECTOR (YES PREV. READ IES NO. TYPE OR NO) DATE STANDARD (FC) B01 FOOD PREP A/3 YES 3-19-93 50 B06 OFFICE (NO TASK A/2 NO 3-19-93 77 LIGHTING INCL.) SPD PREP AREA-CTRL A/3 YES 3-19-93 53 STERILE SUPPLY W108 CHART ROOM-MEDICAL A/3 YES 3-19-93 14 RECORDS IES NOT COMPARABLE, READS AT FLOOR, NOT TASK HEIGHT ER NURSES STATION A/3 YES 3 - 19- 93 73 ICU SO NURSES STATION A YES 3-23-93 66-71 WAS 122OFFICE (NO TASK A/3 YES 3-23-93 50 LIGHTING INCL.) NEW 1322 WAS 120OFFICE (NO TASK A/3 YES 3-23-93 51 LIGHTING INCL.) NEW 1320 2ND FLRIV AREA LITE-INPATIENT A/3 YES 3-23-93 68-100 PHARM 2ND FLRINPATIENT PHARMACY A/3 YES FLOOR 39 COUNTER 65 OR4 OPERATING ROOMA6/L YES 3-19-93 133-241 GENERAL * SEE ATTACHED FIXTURE SCHEDULE FOR DEFINTION (BEFORE AND AFTER)
PREVIOUS FC READING 77,122,108 77 107,124 24,25,23
CURRENT FC READING E(50-75-100) D(20-30-50) E(50-75-100) F(100-150-200) E(50-75-100) SEE NOTE AT LEFT
111 98,103,134 72-79
E(50-75-100) E(50-75-100) D(20-30-50)
61,70
D(20-30-50)
73107
E(50-75-100)
51,54,58 80,93 151-241
E(50-75-100) F(100-150-200)
Figure 10 The Environmental Benefits Traditionally, electrical and thermal energy is produced by a combustion process. Coal, fuel oil and natural gas are common fuels used for electrical generation at central power plants. Health risks from polluted air are starting to be accepted as an actual cost for energy. Some of these costs are starting to manifest themselves in the form of higher energy costs. Air pollution, higher maintenance and energy costs are the driving forces behind Kaiser Permanente's switch to more energy-efficient lighting. Energy-efficient lighting makes good economic sense. According to the California Energy Commission and the Environmental Protection Agency, our greatest resource is energy conservation. In our resource planning, we are removing 1/3 to 1/2 of the lamps used in our facilities by using specular optical reflectors. When we removed over 31,000 fluorescent lamps and 19,000 ballasts from operation, it also meant we reduced source emissions. This annually translates into emission reductions of. 5,430 Tons of CO2 13 Tons of SO2 18 Tons NOx 17,370 Barrels of oil With a $40 million dollar energy budget. performing a lighting project in Southern California will reduce our cost of operation by almost $10 million dollars. The cost of lighting of our hospitals exceeds 40% of the total cost of electricity. Reducing those cost by 50% yields about a 20% reduction in electric consumption for the facility Conclusion After extensive testing and actual results from our comprehensive lighting retrofit projects, we have developed a successful systems approach for our medical centers. The evidence supports our belief that quality lighting and energy efficiency can be successfully implemented together, while also being environmentally responsible.
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References Figure 1 Energy Services, Kaiser Permanente, Southern California Region. Figure 2 Sylvania Engineering Bulletin 0-341. Figure 3 Sylvania Engineering Bulletin 0-341. Figure 4 ETL Testing Laboratories, Inc. Report #541395 July 25, 1994. Figure 5 Energy Services, Kaiser Permanente, Southern California Region. Figure 6 Energy Services, Kaiser Permanente, Southern California Region, September 1994. Figure 7 Audio Visual Services and Energy Services, Kaiser Permanente, Southern California Region, February 1995. Figure 8 International Lighting & Services, San Diego and Energy Services, Kaiser Permanente, Southern California Region, September 1994. Figure 9 Audio Visual Services and Energy Services, Kaiser Permanente, Southern California Region, February 1995. Figure 10 International Lighting & Senvices, San Diego and Energy Services, Kaiser Permanente, Southern California Region, September 1994.
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Chapter 60 Lighting Designs for Supermarket Applications C.S. Warren Abstract Designers of lighting systems for supermarket applications face a number of challenges when the goals are to present merchandise in an attractive environment, but to do so in an energy-efficient manner. The Defense Commissary Agency (DeCA) operates several hundred stores worldwide, and more than 150 within the United States. DeCA is a federal agency that was organized in 1991 to operate commissaries that had previously been operated by the various armed services. As a federal agency, DeCA is also under a federal executive order to reduce its total energy consumption per square foot of floor space by 20 percent by the year 2005, compared to energy use in the year 1990. On the average, lighting consumes more than 20 percent of a store's total energy use. Lighting retrofit projects offer opportunities to save significant energy costs with reasonable cost payback. The variety of ages and architectural styles of the commissaries offer opportunities for analysis and design of a wide diversity of projects. These projects range from simple replacements of lamps and ballasts to luminaire replacements and complete redesign of systems, including circuits. The requirements of merchandising products (illumination) also affect system designs. Several types of lighting retrofit projects are discussed. Problems that were encountered and solutions that were developed are shown. Because commissaries are supermarkets, lighting system designs are applicable to commercial establishments. Introduction The firm of Reynolds, Smith and Hills, Inc., was contracted in 1993 by the Defense Commissary Agency (DeCA) Headquarters, Facilities and Planning Division, Fort Lee, Virginia, to perform energy audits and designs of energy-conserving retrofit projects at selected commissaries. Accordingly, fifteen commissaries were audited during the next two years, with nine of the 15 audits resulting in design projects. Some form of lighting retrofits were recommended for each commissary. DeCA has existed as a separate agency only since 1991. Until that time each branch of the armed forces maintained separate commissaries, with separate design standards. The formation of DeCA is providing significant challenges to planners and managers that are seeking to bring the separate standards under a common umbrella. Sales Area Luminaires DeCA's current design criteria for illumination of sales areas requires an average luminosity of 75 foot candles (fc) throughout the area with accent lighting over meat, island produce, and island dairy display eases to bring the levels to 100 fc. A minimum Color Rendition Index (CRI) of 70 is also specified, as are lamps of 3000 degrees F color temperature. The new standards also call for the use of electronic ballasts and T8 lamps. Application of these standards to retrofit energy projects also requires that federal life-cycle-cost guidelines be met. These projects involve a commissary that was designed in 1989 and constructed approximately two years later. The sales area features a delicatessen in the center area with a ceiling height of 16' in the center, stepped down to 14' on the periphery. The balance of the sales area has a 12' lay-in ceiling. The lighting layout reflects the ceiling heights (Figure 1), where the main sales area fixtures are aligned in rows and the delicatessen is defined by the lighting layout in the center. The portion under the 16' ceiling is defined by the fifteen square 2'×2' fixtures that each contain 400-watt metal halide lamps. The 1'×4' fixtures
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Figure 1 in the center are chain hung accent lights over the delicatessen display cases. The original design specified energy-saving 95-watt high-output(HO) slimline 96-inch lamps in a 1'×8' single-lamp recessed channel luminaire in the main sales area and in the delicatessen periphery. The poor color rendition (CRI = 49) of the Lite White lamps that were installed and several poorly-illuminated areas caused the store manager to change all of the lamps to 110-watt daylight lamps with a CRI of 75, thereby defeating the designer's efforts at energy efficiency. In order to regain (and increase) the design energy efficiency, it was decided to redesign the sales area lighting to take advantage of T8 lamps and electronic ballasts. Point-by-point lighting calculations were done using PC based computer software. The resulting luminaire layout is shown in Figure 2. The majority of fixtures are 1'×8' recessed channels, each containing two 96" T8 lamps and one electronic ballast. In all the following changes were made: 1.Removal of existing fixtures: a.2141'× 8' (1L) HO b.16 1'× 4' (1L) HO c.3 multi-lamp produce accent lights d.13 400-W HID lamps e.47 1'×8' perimeter fixtures f.5 1'× 4' perimeter fixtures g.23 hung (3L) T12 fixtures in Deli. 2.Installation of the following fixtures: a.2121'× 8' (2L) T8 b.31 1'×4' (2L) T8 c.13 250-W HID lamps d.23 hung (1L) T8 fixtures in Deli e.12 produce accent luminaires with T8 lamps and electronic ballasts. Figure 3 shows the lighting contours for the redesigned fixture layout. Note that the calculated illuminance is between 75 and 85 fc through most of the sales area. The deli display cases are illuminated to levels between 85 and 100 fc and the produce island displays are illuminated to 100 fc, as required. The lighting demand in the sales area will be decreased by the redesign from 48.6 kW to 31.3 kW, a 36% reduction.
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Figure 2
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Sales Area Lighting Controls Because of the high volume of sales in a typical commissary, operations are conducted essentially 24 hour per day. Nighttime hours are used for restocking of merchandise and cleaning. However, restocking does not require the same illuminance as sales merchandising, so lighting levels can be reduced after the store is closed. The latest DeCA design standards require controls and lighting circuit layouts that will allow alternate rows of lights to be turned off after the store is closed. The controls are to allow rotation of the rows on sequential nights, so that lamp lifetimes are approximately equalized. This particular commissary has a limited amount of programmable lighting controls installed that could be modified to turn off sales area lights after open hours. Unfortunately, the sales area lighting circuits are designed to turn off blocks of adjacent lights that each cover approximately one-fourth of the total sales area. Therefore it was necessary to rewire the sales area to accommodate programmable controls that would turn off every other row of lights. The redesigned lighting fixture circuits are shown in Figure 4. As can be seen, adjacent rows are connected to different lighting panel circuits, designated as HA-14, etc., which are controlled by timers. It is estimated that this project will reduce the average time that lights are energized from 7200 hours per year to 3500 hours per year, a 51.4% decrease. Other Commissary Areas Other areas of the commissary also offer significant opportunities for reductions in lighting energy used. Excluding refrigerated walk-in coolers, there are 258 fixtures that can be retrofitted with T8 lamps and electronic ballasts. Of the 258, 135 are four-lamp and 84 are three-lamp, so that 258 electronic ballasts can be used to replace the 477 presently in place.
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Point-by-point calculations were done for each of the rooms to ensure that adequate illumination levels were maintained. Although it was not the case here, since energy-saver lamps were already installed in the fixtures, illuminance calculations will often reveal that design lighting levels are too high, thus offering savings by delamping and/or installing reflectors. Changing the lamps and ballasts will reduce the lighting demand in these other commissary areas by 25.6 percent, from 33,300 kW to 24.8 kW. Energy and Cost Savings The installation of new luminaires in the sales area and the replacement of lamps and ballasts in other selected areas of the commissary will decrease demand from 82.0 kW to 56.0 kW, a reduction of 32 percent. The combination of fixture upgrades and rewiring and controlling the sales area lights will decrease the sales area lighting energy from approximately 333,000 kWh/year to 112,000 kWh/year, a reduction of 66 percent. Overall, the energy reduction in from these measures will be approximately 49 percent, from 567,900 kWh/year to 286,600 kWh/year. To summarize the savings: Life Cycle Cost Savings (15 yrs.) Initial Project Cost Simple Payback (years) SIR Annual Energy Savings (kWh/yr.) Annual Cost Savings ($/yr.)
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$107,461 $118,971 5.8 1.9 281,300 $20,366
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SECTION 6 HVAC SYSTEMS
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Chapter 61 Central Plant Measurement and Diagnostics D.J. Ellner Summary This paper presents the results of a Central Plant Optimization study using Measured Diagnostics as an enhanced data collection and analysis tool. Measured Diagnostics includes short term data acquisition and the preparation of graphic reports. Energy baselines and Optimization Measures intended to improve operational and energy performance are identified and acted on based on an engineering analysis of the graphic reports generated from the Measured Diagnostics process. The benefits of Measured Diagnostics include identification of optimization strategies which reduce energy usage, the stabilizing of erratic plant operation and the creation of factual justification (baselines) to support more costly energy efficiency measures. Although a detailed payback analysis has not been included in this paper, Measured Diagnostics projects generally accrue ''hard'' benefits with short term payback and multiple "soft" benefits which reduce maintenance requirements, increase system reliability and improve comfort. While many chiller plant optimization strategies can be developed by following good engineering practice, we have discovered there are numerous opportunities within central plants and air distribution systems which elude conventional observation methods and therefore cannot be realized without the use of a measurement and diagnostic tool. Mechanical System Description General Building Description The office building comprises approximately 24 stories with 570,000 sq. ft. The HVAC system includes a central plant located on the parking level which distributes chilled and hot water to air handlers located in mechanical rooms on two floors. Eight (8) originally constant volume, double duct air handling units, four (4) in each mechanical room had been previously retrofitted with variable frequency drives. Chilled Water System Description The Central Plant contains two 978 Ton and one 100 Ton electric water chillers, associated cooling towers, pumps, valves and other devices configured as shown in Figures 1 and 2 with the following features: The two larger chillers serve the main building and retail areas during normal operating hours. The smaller, 100 ton chiller serves the retail areas during after-hours operation. A plate and frame heat exchanger is used for direct water chilling from the cooling tower (wet side economizer). The main cooling tower has 2-50 hp fan motors controlled with one variable frequency drive and a second cooling tower has 4-25 hp fan motors, two per cell. The Measured Diagnostic Process Real time measurement of the central plant loads, operation and efficiencies were performed over a four week period using the EASI Measurement Service (EMS). Measurement consisted of the simultaneous, real time logging of energy (KW) demand and consumption, water temperatures and flow rates for each chiller, cooling load and energy flow stream. (Figures 1 and 2) Data from the Measured Diagnostics activity was processed and reports were generated and interpreted to determine actual operating and performance parameters. The Measured Diagnostics and energy analysis process consist of the following specific tasks:
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* Planning * Installation, monitoring and equipment removal * Data processing * Central Plant characterization and identification of optimization strategies The following sections describe details of the work performed for each task: Planning Installation, programming, startup and verification of a short term measurement program requires comprehensive planning. Planning generally includes the following elements: * Review existing building documentation including mechanical, electrical and control system drawings. * Survey the central plant, interview operating engineers and assess site preparation needs for installing temporary measurement equipment. * Prepare a measurement plan document. System Installation, Monitoring & Equipment Removal The following elements were performed during this phase: * Install temporary temperature, flow and Kilowatt sensors, and data logging equipment in accordance with the plan. * Program the data logger to record rolling averages of measured parameters at 15 minute intervals. * Connect a telephone line onto the data logger for remote access of measured data. Data Processing Processed, graphical reports are generated based on raw data downloaded from the data logger. Reports are generally presented in the following categories: * Equipment performance vs. % load. * Equipment and building loads vs. time. * Operating parameters vs. time. Central Plant Characterization and Identification of Optimization Strategies The review and interpretation of real time graphic reports provides the opportunity for performance assessment, troubleshooting of problems and creation of optimization strategies. Engineering interpretation includes assessing a series of integrated graphic reports which range from the fully processed performance summaries to individual temperature flow rate and KW measurements. Using this technique, we can summarize and characterize performance of prime moving equipment (chillers, cooling towers and pumps) and understand how control of specific operating parameters (temperature, flow, cooling tower fans) impact the performance of specific equipment and entire systems. Measured Diagnostic Analysis Summary Chillers The following performance information for each chiller was discovered: KW/Ton versus percentage load for CH-1 and CH-2 (Figure 3 and 4). Point entries on these graphs represent each 15 minute interval during the measurement period each chiller actually operated. The density of logged points throughout the load range indicates the frequency chillers operate at each percentage of load. KW/Ton versus time for each chiller throughout the duration of chiller measurement. (CH-1 Figure 5) Chiller Performance Summaries. Chiller performance summaries at various operating points. (Table 1) The following can be observed from these and other measurement reports. Chillers operate between 35% and 70% of full load most of the time. Chiller performance improves significantly at lower condenser water temperatures. As much as 0.1 KW/Ton (or approximately 13%) increase in KW/Ton performance can be realized from a 10° reduction in condenser water temperature entering the chillers. CH-1 is more efficient than CH-2 by approximately 0.1 KW/Ton throughout the loading range. Chiller KW/Ton performance spikes periodically at the beginning and/or end of the day. This may occur when air handling units are shut off. Either the wet side economizer or the chillers operate for a short time in the morning to chill the loop and pre-cool the building. Chiller KW/Ton performance is erratic during this period. Low/No Cost Recommendations Run the more efficient chiller (CH-1) during all on-peak and most mid-peak periods. Operate CH-2 during all other rate periods as necessary to balance run time within facility management requirements.
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Check CH-2 refrigerant charge, machine controls and other operating parameters to determine the reason for lower performance. Reset entering condenser water temperatures to the minimum allowed for all chillers. Run the pony chiller (CH-3) during early morning hours (between 4:30 AM and building occupancy) in lieu of both the wet side economizer and CH-1 or 2. As shown in Table 2, operating the wet side economizer uses significantly more energy than operating CH-3. Cooling Loads Analysis Figure 6, cooling loads typically ranged between 400 and 800 Tons as ambient temperatures varied between 65 and 85°, except on Monday, 10/10/94 when the ambient temperature exceeded 85°. That morning the cool down loads exceeded 1000 Tons and two chillers were required to operate. This was probably due to heat built up over the previous weekend which was in excess of 90° each day. Low/No Cost Recommendations With enhanced control and measurement provided by the new DDC system, the ability to observe, shift and manage load within the range of one chiller during marginal warmer days is enhanced. We recommend the following strategies to extend the number of cooling hours satisfied by one chiller: * During hot, summer weekends, pre-cool the entire building with one chiller and all air handling units for several hours early Monday morning. Use this strategy to avoid running two chillers if temperature increases. * Minimize condenser water temperature to increase chiller capacity. Consider running the second condenser water pump to lower the chiller head pressure. * Reduce chilled water supply temperature setpoint to ensure chillers are fully loaded. * Run chiller CH-3 to shed the retail load from CH-1 or CH-2. Chilled Water Pumping Figure 7 show graphic reports of chilled water pumping energy and flow rates. Table 3 summarizes observed pumping energy and flow rates under various operating modes. Based on this information, the following observations are noted. Design flow rates are significantly higher than actual, measured flow rates. Table 3 also shows that P-1 is currently more efficient than P-2 by approximately 12.6%. When both pumps operate, pumping efficiency drops 19.8% less than P-1 alone. Efficiency drops as flow rate increases primarily due to increases in pressure drop at the higher flow rates. The existing chilled water pumping system operates at a constant flow and energy consumption rate at all cooling loads and for each combination of pump(s). Low/No Cost Recommendations Run the more efficient Pump P-1 during on-peak and most mid-peak periods. Operate P-2 during all other periods as necessary to balance run time usage within facility management requirements. It may be possible to run one chilled water pump through both periods for loads between 1,000 and 1,500 Tons. In this mode, chilled water temperatures would be reduced and differential temperatures increased. We suggest testing flow rates through both chillers when off and comparing these against manufacturers minimum flow rate requirements before running chillers in this mode. Check all balancing valves, strainers, pump, seals and motor condition to determine if any operational anomalies may impact the performance of P-2. Capital Cost Recommendations Verify the sizing requirements of chilled water pumps. If pumps are actually oversized as they appear, then either a motor changeout alone or in conjunction with a variable frequency drive may be appropriate and should be assessed. Consider converting to constant flow primary/variable flow secondary pumping. The addition of constant flow primary pumps for each chiller along with a bypass line and variable speed drives on P-1 and P-2 will allow the pumping system to vary the flow rate and significantly reduce the Watts/gallon pumping during many hours of part load operation. Condenser Water Pumping Figure 8 shows graphic reports of condenser water pumping energy. Internal piping corrosion precluded us from obtaining condenser water flow rates. Condenser water pumps 4 and 5 can operate with either or both Chillers 1 and 2. Table 4 summarizes observed pumping energy and design flow rates under various operating modes. It appears only one condenser water pump operated when both chillers were running on October 10. If this is typical, there may be an opportunity to reduce the flow rate and pumping energy usage when only one (1) chiller operates.
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Between October 4 and October 10, condenser water pumps ran continuously from the time chillers were "bumped" at approximately 4:00 a.m. until chillers were turned off at the end of the day. Low/No Cost Recommendations Assess the impact of running one condenser water pump when both chillers are operating as follows: * Determine the flow rate through each chiller under all operating modes. * Have the chiller manufacturer run performance calculations based on condenser flow rates and temperatures with only one (1) pump running. * Compare chiller performance and capacity at various flow rates and temperatures based on manufacturers information. * Determine any tradeoff between KW/Ton operation with one or two pumps operating. Capital Cost Recommendations If the above analysis indicates that reduced condenser water flow at lower temperatures can achieve good KW/Ton performance, then consider the installation of a variable frequency drive on one pump and operate this pump at the reduced flow rates. Cooling Tower Fans Figure 9 shows graphic reports of cooling tower fan motor energy usage. Table 5 summarizes capacities and measured parameters. Variable frequency drives on CT-2 fan motors have a significant impact on reducing energy usage. Cooling tower fan energy usage tracks ambient temperatures reasonably well. Full load fan energy usage during the heat exchanger mode averages approximately 130 Kw, with all fans operating at full speed. Low/No Cost Recommendations The measurements indicate that chiller performance is improved at lower condenser water temperatures. We recommended the following control sequence modifications to take advantage of this opportunity. Control condenser water temperature entering the chiller, rather than temperature leaving the chiller. Control to the lowest achievable and reliable condenser water temperature. Capital Cost Recommendations Retrofit the remaining cooling tower fan motors (4 @ 25 hp each) with variable frequency drives. Operating all cooling tower fans, partly loaded with variable frequency drives will save additional energy. Control System The existing control system appears to include the essential components for equipment control and status monitoring. However, there exists an opportunity to enhance the measurement, reporting and optimization sequence features. Recommendation We recommend expanding the measurement, reporting and optimization sequences with the new control system. We suggest gaining the ability to produce regular reports of system loads, operation and performance similar to those developed as part of this work. Daily and weekly review of these reports will result in the ability to visualize operations and truly optimize on energy performance. Conclusions Measured Diagnostics can be a highly effective tool offering plant engineers unique insight into the real time operation of their plants and identifying opportunities for optimizing central plant performance. In spite of the possible opportunities, Measured Diagnostics can be a tedious process, requiting cooperative commitment and diligence from both the consulting and plant engineer to achieve its objectives. The following general protocols should be followed. The consulting and plant engineer should work together during all phases of the measured diagnostic program. Good communication is essential. The consultant needs to thoroughly review the procedures and objectives, inspiring the plant engineer to aggressively participate in the process. The consultant needs to review the initial findings with the plant engineer to find explanations for various anomalies observed in the information. The plant engineer needs to follow-up with the low/no cost recommendations either during or immediately following the Measured Diagnostics period.
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As this technology evolves, we should see the principles of Measured Diagnostics integrated into permanent DDC systems, with reports, similar to those presented in this paper being produced on a daily basis. The proactive plant engineer will be able to truly use his energy management system as an on-line diagnostic tool, with the capability to continually improve plant performance as he learns more through the Measurement Diagnostic process. TABLE 1 AVERAGE CHILLER PERFORMANCE CHILLERECWTAVERAGE CHILLER PERFORMANCE 45% Load 70% Load CH-1 80 .68 .65 85 .72 .65 90 .78 .68 CH-2 80 .77 .72 85 .81 .72 90 .82 .77 TABLE 2 WET SIDE ECONOMIZER & CH-3 ENERGY COMPARISON ITEM CHILLER 3 HEAT EXCHANGER Chilled Water Pump 7 Kw 60 Kw Condenser Pump 48 Kw 48 Kw Condenser Fan 15 Kw 132 Kw CH-3/HX 90 Kw (@ .9 Kw/Ton) 0Kw Total 160 Kw 240 Kw TABLE 3 CHILLED WATER PUMP ENERGY & FLOW RATES PUMP DESIGN ACTUAL MEASURED P-1 1,675 2,700 22.2 GPM GPM Watts/GPM 100 HP 60 KW P-2 1,675 2,950 25 Watts/ GPM GPM GPM 100 HP 75 KW P-1 & P-2 3,350 4,050 26.6 GPM GPM Watts/GPM 200 HP 108 KW TABLE 4 CONDENSER WATER PUMP ENERGY & DESIGN FLOW RATES PUMP DESIGN ACTUAL MEASURED P-1 & P-2 1,830 GPM each 48 Kw, 1 Chiller 75 HP each 45 Kw, 2 Chillers TABLE 5 COOLING TOWER FAN PARAMETERS TOWER DESIGN ACTUAL MEASURED CT-2 (Main) 2×50 HP with VFD 60 KW @ full load approx. 20 KW w/VFD CT-1 (Smaller) 4×25 HP const. spd. 72 KW @ full load 36 KW @ part load H:\DIE\WP\AEEPAPER.001
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Figure 1: Chilled Water System Instrumentation
Figure 2: Condenser Water System Instrumentation
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Figure 3: Chiller 1 Performance Summaries
Figure 4: Chiller 2 Performance Summaries
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Figure 5: Chiller Performance Profiles
Figure 6: Cooling Load Profiles
Figure 7: Chilles Water Pumping Profiles
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Figure 8: Ccondenser Water Pumping Profiles
Figure 9: Cooling Tower Fan Energy Profiles
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Chapter 62 Institutional Project Summary: University of Redlands Direct Fired Gas Absorption Chiller System G.R. Tanner Abstract: The University of Redlands, located in the California Inland Empire City of Redlands supplies six campus building with chilled and hot water for cooling and space heating from a centrally located Mechanical Center. The University was interested in lowering chilled water production costs and eliminating Ozone depleting chloroflourocarbon (CFC) refrigerants in addition to adding chiller capacity for future building to be added to the central plant piping "loop". After initially providing a feasibility study of chiller addition alternatives and annual hourly load models, GRT & Associates, Inc. (GRT) provided design engineering for the installation of a 500 Ton direct gas fired absorption chiller addition to the University of Redland's mechanical center. Based on the feasibility study and energy consumption tests done after the new absorption chiller was added, the university estimates annual energy cost saving versus the existing electric chiller is approximately $65,000 per year. Using actual construction costs, the simple before-tax payback period for the project is six years. General Discussion of Absorption vs. Electric Cooling: Direct fire gas absorption chillers offer an attractive alternative to electric motor driven chillers in some site-specific locations. Advantages of gas fired absorption chillers are: No CFC's, lower On and Mid-Peak energy costs, less space required vs. thermal energy storage systems (TES) alternative fuel capability, may eliminate need for separate hot water generator. Disadvantages of absorption chillers are: Larger condensing water pumps and cooling tower required, high first cost, and less familiarity by vendors and repair services. Electric chillers have the following advantages: Lesser capital costs vs., absorption chillers, high amount of familiarity by vendors and repair services, smaller condensing water system required, and often lower Off-Peak energy costs. Disadvantages are: very high On-Peak demand and electric consumption charges and use of CFC and HCFC refrigerants. In the Southern California area, at 0.68 kW per Ton-Hour, the costs to operate a centrifugal electric chiller range from $0.12/Ton-Hour [On-Peak], to $0.06/TonHour [Mid-Peak], and $0.035 [Off-Peak]. Energy costs for gas absorption chillers, using the Southern California Gas Company Gas-AC rate schedule, average about $0.05 per Ton-Hour in all time of use periods. Therefore, based on this general analysis, it appears that the most cost-effective chiller plant option is a hybrid system that employs a combination of gas absorption and electric chillers. This combination will offer the lowest cost per ton-hour during all operating periods. Installed costs, including engineering design, plan check, equipment (Chiller, pumps, cooling tower), installation, piping, electrical, computer energy management system,
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general & structural, painting, insulation, permits, testing, and commissioning for absorption chillers is approximately $1100-1200 per ton installed. Installation costs for the same parameters for an electric chiller system range from $650 to $750 per ton installed. Project Background: GRT & Associates, Inc. (GRT) was the design engineering firm for the installation of a 500 Ton direct gas fired absorption chiller addition to the University of Redland's mechanical center. The mechanical center is a central energy plant that provides chilled and hot water to six buildings throughout the campus totaling 230,000 square feet of air conditioned space. The University was interested in lowering chilled water production costs, improving system reliability, and eliminating ozone depleting chloroflourocarbon (CFC) refrigerants. Initial Study: GRT was initially retained by the University to provide a feasibility study of chiller addition alternatives. The mechanical center had, at the time, one 500 Ton R-11 electric centrifugal chiller. The school planned on adding additional buildings to the central plant piping ''loop'' so they desired another additional chiller sized to handle both present cooling load of 430 Tons, as determined by our model, and future loads of existing or new buildings. GRT's subconsultant, Dan Skurkis, PE provided the HVAC and energy load modeling. The "front end" internal loads consisting of people, lights, and equipment, plus the external loads such as weather, fresh air, and building envelope configuration, were calculated using the Carrier HAP model. Our annual 8760 hour model revealed that annual cooling consumption for the six buildings connected to the central plant. Alternatives studied during this initial feasibility phase included direct fired gas absorption and Non-CFC or HCFC refrigerant (i.e. R-134a) electric chillers. The feasibility study and preliminary design addressed the following important issues which affected the cost vs. benefit study of each alternative: Air quality permitting. Increased size of absorption chiller. Approximate 50% increased heat rejection of absorption chiller necessitating a larger tower and pumps. 'Constructability' and tie-ins to existing facility. Future growth ability. Specific mechanical room size constraints. Refrigerant management regulations. Future expansion capability. Operating complexity. Costs of installation, energy, & maintenance. Rebate / incentive programs available. A York Paraflow direct fired gas absorption chiller was chosen by the University based on incremental return on investment due to lower energy costs vs. the electric chiller, no CFC, HCFC or HFC refrigerants, and project incentive supplied by the Southern California Gas Company. Project Design: Detailed project design commenced in mid-1994 and start-up was achieved immediately into the 1995 new year. GRT's responsibilities in addition to the feasibility study included the following: Equipment specification and selection including absorption chiller, cooling tower, pumps, piping and controls. Mechanical, electrical, structural & civil, and control system design and drawings. Plan check and South Coast Air Quality Management District (SCAQMD) permits. Project management, contractor bidding & selection, and on-site construction management as the University's representatives. The design offered many interesting challenges. The mechanical center was designed with "built-in" cooling tower basins and structure, but due to the increased heat rejection requirement for the absorption chiller vs. a centrifugal unit, a Tri-Thermal all stainless-steel external tower was selected. A fourteen foot high screen wall constructed of blocks matching the mechanical center building to camouflage the unit from the surrounding area. The installation was designed in compliance with all current codes. As the absorption chiller is larger than a centrifugal chiller, extensive design efforts were made to fit the system into the existing building. In addition it was necessary to install the required firewalls, and maintain adequate operating & maintenance clearances. The Permit to Construct from the SCAQMD was obtained in under sixty days and after the unit passes
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certified emission testing subsequent to start-up, the Permit to Operate was issued. Start-Up & Commissioning: The absorption chiller uses the Southern California Gas Company Gas-AC rate schedule and is metered separately. This rate was obtained in California in approximately 1993 and the effective cost is about 2/3 of the "Core" gas rate used for boilers and heaters. The electric chiller, pumps, and cooling tower remain on the Southern California Edison TOU-8 Time-of-Use rate. By running the absorption chiller as the lead machine, the very costly On-Peak period electricity is severely reduced resulting in an overall energy cost savings. The absorption chiller eliminates the use of on-peak electricity of chiller operation at the present cooling load, and uses water as the refrigerant. Savings are estimated at approximately $65,000 or more per year. This figure was verified during operational tests performed after start-up by the University's staff. Using actual construction costs, the simple before-tax payback period for the project is six years. In addition, the incremental simple before-tax payback period of the direct fired absorption chiller versus the installation of an R-134A electric chiller is 3.5 years. If you are interested in obtaining more information, give us a call at 1-800-GRT-8804 or be sure to attend our speaking engagement at the AEE Global Energy Conference in Atlanta, GA on November 9, 1995.
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Chapter 63 An Evaluation of Continuous Emissions Monitoring Systems For Improving Industrial Boiler Efficiency H.M. Eckerlin and R.C. Hall Abstract An experimental evaluation of currently available continuous emissions monitoring systems has been conducted at an industrial boiler facility. The analyzers used in the study represented a range of sensors and sampling systems. The performance of three systems was monitored and compared over a six-month period. Careful records were also kept on installation, calibration and maintenance requirements. Research results suggest that (at present) the close-coupled extractive systems using a zirconium oxide sensor (for O2) and a catalytic combustibles sensor (for CO / combustibles) offer the most reliable, trouble-free performance. The project also provided valuable insights on a variety of issues relating to the continuous monitoring of emissions from industrial boilers. Introduction Boilers are among the largest energy users in industrial, commercial, and institutional facilities. This fact alone should make their operation and efficiency a matter of importance to the person(s) responsible for boiler operation and energy use. Unfortunately, this is often not the case. In many facilities, boilers are treated as a necessary evil ... existing primarily to generate steam for process and/or plant heating needs. This attitude has led to the general neglect of boilers and has affected both their operation and maintenance. There are those who will argue that the above description is not correct and does not apply to their facility. These persons are probably correct with regard to their own plants ... but the problem is: Their plants are the exception rather than the rule. This reality makes improved boiler operation an issue of extreme importance to the plant engineer and manager. The most direct way to improve the efficiency of a boiler is to reduce the amount of heat carried away by the hot flue gases passing up the stack. This is a reasonable approach, since the stack loss is typically the largest energy loss. The quantification of the stack loss requires three measurements: (i) the temperature of the flue gases leaving the last point of heat recovery, (ii) the excess air (or left over oxygen) in the flue gases, and (iii) the unburned combustibles. Of these three, the latter two measurements have remained the most elusive. Most industrial plants do not have the instrumentation to make the measurements, and Where attempts at measurement have been made, the instruments have often malfunctioned. This applies to portable as well as continuous monitoring equipment. Given this reality, most plants do not know what their stack loss is ... and therefore, what their stack loss efficiency is. Under these circumstances, they must depend on the boiler service man who may come by on an annual basis. And, during the interim, improper operation may well cause the loss of thousands of energy dollars. Another factor that has affected the monitoring of flue gas emissions in recent years is the Clean Air Act of 1990. Although present monitoring has affected the larger boilers (i.e., those which generate more than 100 tons per year of a criteria pollutant), it is believed that most industrial boilers will ultimately be affected. Combustion Monitoring Research Program In an effort to address this "flue gas monitoring issue," a Combustion Monitoring Research Program was initiated at North Carolina State University. Funded by the Energy Division of the North Carolina Department of Commerce, this program sought (i) to identify one or more stack flue gas monitoring systems currently on the market that can reliably monitor the combustion conditions, and (ii) to evaluate the performance of these systems in an industrial setting over a prolonged period of time. The emphasis was on finding
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reliable equipment at a price that industry would consider affordable. The research plan involved the following steps: (1) To contact the major manufacturers of flue gas monitoring equipment and to solicit their cooperation in the project (see Table 1). Emphasis was placed on the measurement of oxygen (O2) and carbon monoxide (CO), but instruments that also measured NO and SO: would be included. (2) To identify a cooperative industrial plant with a natural gas rued firetube boiler in the range. Other important plant characteristics included (i) interest in the subject research, (ii) personnel capable of assisting in equipment installation and data gathering, and (iii) a varying steam load. (3) To develop a load sensing system which converts rotational jackshaft position into an electrical signal. (4) To develop a data acquisition system for data storage and analysis. The system would be installed in a secure location adjacent to the boiler room. (5) To install the emissions monitoring systems. (6) To monitor boiler operation and performance over a six month period. (7) To maintain a comprehensive record of support activities (such as calibration and maintenance) which are required to keep a system operational. (8) To conduct an economic feasibility analysis of the various systems taking into account the capital expenditures, the anticipated maintenance costs, and the projected savings. Types of Sensors As suggested above, the determination of the stack loss requires knowledge of excess air (i.e., the amount of air above the theoretical air requirement to completely burn the fuel). This definition implies, for example, that combustion at 100% excess air generates about twice as much flue gas as theoretically necessary. Under these conditions, it is easy to see why reductions in excess air are generally recommended by energy experts. Unfortunately, however, this kind of recommendation cannot stand alone (i.e., it does not specify how much of a reduction is appropriate). The answer to the latter question requires some knowledge of the completeness of combustion, and that, in turn, implies the measurement of CO and/or unburned combustibles. Thus, a combustion monitoring system should always include a means for measuring excess air (i.e., usually O2) and CO/unburned combustibles. The former gives us information necessary to calculate the stack loss, while the latter provides information on how much of an O2 reduction is permissible. Oxygen Sensors The four basic types of sensors are: (1) The Volumetric Chemical Reaction Sensor, or bette known as the Orsat. This manually operated apparatus does not provide an output signal and is not appropriate for this project. (2) The Paramagnetic Oxygen Sensor was not used by the systems evaluated in this project. (3) The Wet Electrochemical Cell (amperometric) sensor. Oxygen molecules pass through a permeable membrane to the cathode where an electrochemical reaction occurs. The resulting current is proportional to the amount of oxygen passing through the membrane. The flue gas sample must be cooled, filtered, and dried to prevent early depletion of the anode and contamination of the membrane. The wet electrochemical cell has poor stability and reproducibility, and therefore requires frequent calibration. (4) Zirconium Oxide Cell (potentiometric) is constructed from a solid tubular electrolyte that is coated on both sides with porous electrodes. When oxygen comes in contact with the electrode, electrons are exchanged between the oxygen and the electrode. Ions and electrons then pass at the electrode-electrolyte phase boundary, thus producing a potential difference. Since one of the electrodes is exposed to the oxygen at ambient conditions, the output of this sensor increases as the oxygen concentration in the flue gas decreases. Because the zirconium oxide cell is heated to 600-800° C, the flue gas sample does not need to be cooled or dried prior to sampling. It is advisable, however, to filter the sample and thus prevent ash from clogging the porous electrode. If the flue gas sample contains some unburned combustibles, the zirconium oxide cell will yield a somewhat lower oxygen reading than its wet electrochemical counterpart. This is because the hot zirconium cell will bum off the unburned combustibles, and in the process use up some of the available oxygen present in the flue gas. In this situation, the zirconium oxide cell measures the net oxygen after all unburned combustibles in the original sample have been burned. Table 2 shows a comparison of oxygen sensor characteristics. Carbon Monoxide Sensors The four basic types of sensors are: (1) The volumetric chemical reaction sensor (Orsat) is inap propriate for the same reasons as cited above.
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(2) The Wet Electrochemical Cell (amperometric) for CO is, in principle, similar to the O2 sensor described above. (3) The Catalytic Combustibles Sensor consists of two resistance elements in contact with the flue gas. One of the elements is coated with a catalyst in an inert binder (called the reactive element). The other element is coated with the same binder without the catalyst (called the reference element). The elements are contained in a housing that is heated to . When combustibles and oxygen are present in the flue gas, combustion will occur on the reactive element only, causing it to heat up and undergo a resistance change. The difference in resistance between elements is a measure of the combustibles present Catalytic combustibles sensors are not pure CO sensors, in that they measure everything that will combust. Also, to prevent contamination by ash, sample Filtering is recommended. (4) Infrared Sensors. Most gases absorb radiation in the infrared region of the electromagnetic spectrum. The exceptions are diatomic molecules consisting of two like atoms (e.g., N2) or the noble gases (i.e., helium, neon, argon, krypton, xenon, and radon). Dry air does not absorb infrared radiation because it is comprised of nitrogen, oxygen, and argon. Carbon monoxide absorbs infrared energy at specific wavelengths between 4.5 and 4.7 microns. The amount of absorption is related to the gas concentration and the path length in which the absorption is measured. An infrared analyzer can be either extractive or insitu. The basic analyzer consists of an infrared some, a beam chopper, a narrow bandpass filter, and an infrared detector. The extractive system is mounted away from the boiler and uses a sampling system to cool, dry, and filter the flue gas. The insitu system is mounted on the stack with the beam passing through the stack to make the measurement. The insitu analyzer measures the average CO across the stack and requires a stack diameter of at least three feet. It has an almost instantaneous response time. The extractive system responds more slowly, measures CO from a point source, but is easier and cheaper to install. A comparison of carbon monoxide sensor characteristics is shown in Table 3. Types of Sampling Systems Although sensor development has received much attention in recent years, the quality of the sampling system is of equal importance. Indeed, the ability of the sampling system to deliver a properly conditioned sample has much to do with the effectiveness of the overall system. Some of the more common sampling systems in use today are described below. Convective The convective sampling system is usually located adjacent to the flue gas duct and utilizes natural convective currents induced by the heat inside a temperature controlled sensor (e.g., zirconium oxide or catalytic combustible) to draw a flue gas sample from the gas stream. Because of the temperatures involved, the sample does not need to be cooled or dried. The limited suction created by this system makes it ideal for coal and wood ruing, because the natural convective forces are not strong enough to pull the fly ash particles through the filter. The low suction also limits the probe length to 48 inches. Close-coupled Extractive The close-coupled extractive system is analogous to the convective system previously described except that it utilizes an air-driven aspirator at the exit of the heated sensors to draw the flue gas sample through the sampling probe and into the sensing equipment. Because of its ability to create a greater suction, this type of system has a much faster response time and can utilize a longer probe. Extractive An extractive sampling system utilizes a vacuum pump to draw the flue gas sample from the gas stream and transport it to the sensors. This feature makes it possible to locate the sensing system some distance (e.g., feet) from the boiler. Because of this distance, however, some of the moisture in the sample will begin to condense. Since many sensors cannot tolerate a wet sample, the sampling system must remove the balance of the moisture (via some form of condenser). Sample cooling, drying, and filtering, therefore, becomes extremely important requirement of this sampling system. This type of sampling system is frequently used with electrochemical and paramagnetic sensors. Because of the multiple connections, however, great care must be exercised during installation to avoid the infiltration of air into the system. Insitu Insitu systems offer a nice alternative to the sample withdrawal systems described above and the problems inherent with sample cooling, drying, and Filtering. With an insitu system, the sensors are actually located in the gas stream. For example, the infrared CO sensor would be mounted on the stack, while the zirconium oxide oxygen sensor would be mounted at the end of a probe inserted into the gas stream. On the negative side, however, are the problems associated with servicing. Insitu systems are usually located in hot, difficult-to-get-to places, and when removed, they leave a large hole in the duct or stack.
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A comparison of sampling system characteristics is shown in Table 4. Systems Tested Of the systems listed in Table 1, five (5) companies agreed to participate and three (3) systems arrived in time to be included in the first phase of the project. A summary of each system is given below. System N Sampling System O2 Sensor CO Sensor Sample Cooling Type of Sample Fuel(s) System B Sampling System O2 Sensor CO Sensor Sample Cooling Type of Sample Fuel(s) System S Sampling System O2 Sensor CO Sensor Sample Cooling Type of Sample Fuel(s)
Extractive Electrochemical (0-25%) Electrochemical (0-2000 ppm) yes dry natural gas only Close-coupled Extractive zirconium oxide (0-25%) catalytic combustibles (0-1000 ppm) not required wet gas and oil Extractive Electrochemical (0-25%) Infrared (0-2000 ppm) yes dry natural gas only
Data Acquisition System Data acquisition is accomplished with a personal computer with a 80486 processor and a Keithley Metrabyte DAS 1401 dam acquisition board. The latter is used to convert the analog signals (voltages) into digital signals. These digital signals are stored on the computer using the EASYEST AG software supplied by Keithley Metrabyte. Data analysis can also be accomplished with this software. Temperature Measurement Type K (Chromel-Alumel) thermocouples were used to measure the air temperature at the inlet to the forced draft fan and the flue gas temperature leaving the last point of heat recovery. These temperature measurements are needed for stack loss and efficiency calculations. Test Procedure After the sensing systems were installed on the boiler, the data gathering procedure was initiated. Boiler performance was monitored on a continuous basis, with data sampling occurring at five second intervals. This procedure provided information on the long term performance of the boiler as well as the O2/CO monitoring systems. To better ascertain the response of the monitoring systems to changes in boiler load, special tests were conducted periodically. During these seven minute tests, the sampling frequency was increased to one second intervals and the boiler load was varied in accordance with a pre-programmed plan. The variables monitored during all testing periods were: (i) the air temperature entering the forced draft fan, (ii) the flue gas temperature leaving the last point of heat recovery, (iii) the boiler load (from the jackshaft position), and (iv) the individual measurements of oxygen and carbon monoxide by the three monitoring systems. Data Analysis Oxygen Sensor Performance Figure 1 shows the response of the various oxygen sensors as the boiler load changes from low fire to high fire. An examination of this figure indicates that System B responds most rapidly (i.e., in 4 seconds), followed by System N (15 seconds) and System S (55 seconds.) The delay in the response of the different systems is a function of their design. The close-coupled extractive design (System B) places the sensor next to the stack and is relatively free of large chambers which would tend to delay sample transport. Systems N and S respond more slowly because they are of the extractive design which places the sensors a greater distance from the boiler. This greater path length, plus the coolers, bowl, filters and pumps all tend to increase sample transport time. The large difference in response time between Systems N and S is primarily due to the low volume pump used in System S. The greater sensitivity of System B is confirmed by the fact that it was the only sensor to respond to the load spike which occurred at approximately 15 percent load (see Figure 1). To provide another check on Systems N, B and S, a portable ECOM-AC combustion analyzer was introduced as a fourth measuring instrument. The results, shown in Table 5, suggest good correlation at both low and high fire. The lower O2 readings from System B are due primarily to the fact that it measures a wet sample, whereas the other instruments operate on a dry basis. The inverse relationship of oxygen versus boiler load is consistent with normal boiler operating practice. Carbon Monoxide Sensor Performance Variations in carbon monoxide (CO) measurement with boiler load are shown in Figure 2. An examination of this figure reveals that CO concentrations remain negligible until 80 percent boiler load is reached. Above 80 percent load, CO emissions increase to approximately 150 ppm. Although not negligible, this is still within normal operating guidelines. It should be noted, however, that there are significant differ-
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ences between sensor readings. At full load, System B readings are 35 to 40 ppm higher than System S readings. This difference can be attributed to the catalytic combustibles sensor which measures total combustibles rather than only CO. Another factor to consider is that System B operates on a wet basis, while the other sensors receive a dry sample. This means that the actual difference in CO is more like ppm CO. The above noted differences do not imply the superiority of one system over the other, but rather that they are operating under different frames of reference. Figure 2 also shows that System Nconcentrations are ppm higher than those indicated by the other systems. These inaccuracies are due to a faulty CO sensor, as well as a propensity of this sensor to also be responsive to other gases such as NO. From a system response point of view, System B again appears to be the most responsive, with an indicated change in CO approximately 4 seconds after a change in burner setting. The reasons for the difference in CO response time are similar to those cited in the discussion of O2 sensors above. A summary of CO system performance is given in Table 6. Calibration and Maintenance Considerations Calibration and maintenance are essential to keeping the analyzers in optimum operating condition. Weekly calibration is done either manually or automatically, and requires certified calibration gases. Maintenance involves keeping the systems clean, changing filters, and replacing faulty sensors. The maintenance and calibration records for the three analyzers are given below: System N Replaced two oxygen sensors. Replaced one carbon monoxide sensor. Replaced carbon and cotton filters. Repaired double sided vacuum pump. Added vortex cooler to improve water condensation in summer. Performed manual calibration on a weekly basis. System S Current sampling system required multiple repairs and modification to get it operational. Water condensed in the pump and the sensors. Sensors have to be cleaned and calibrated if water condenses in them. Weekly manual calibration is required. System B No maintenance required during test period. Calibration done automatically on a weekly basis Required little attention from plant personnel. Projected Savings and Payback The subject plant uses 49,500 MMBTU of boiler fuel per year at an annual cost of $145,000. Present excess air levels for the 300 HP Orr & Sembower firetube boiler are 60 percent (8.5% O2) and 25 percent (4.2% O2) at low and high fire, respectively. It is estimated that a continuous emissions monitoring system would enable the boiler operators to reduce the excess air at comparable loads by 30 percent and 15 percent. These adjustments are projected to reduce the stack loss by 1.4 percent, with an annual saving of $2,500. This level of energy savings would yield a simple payback for Systems N and B of approximately 2.5 years (see Table 7). Summary and Conclusions During this project, three different continuous emissions monitoring systems have been evaluated over a 6-month period. These systems generally have different sensors and sampling systems. All the analyzers seemed to work reasonably well when they were operational. The primary differences occurred in the sampling systems and the required maintenance procedures. To work effectively in a boiler room environment, these instruments must be very reliable (i.e., as trouble-free as possible). In the present industrial climate, plant engineering personnel do not have the time nor inclination to do much maintenance on boiler emissions monitoring systems. In this one category, System B stood out above the others. It performed reliably over the entire testing period with no maintenance problems. It also has the capability to perform calibrations automatically, thus further freeing up plant personnel to attend to their other tasks. The maintenance problems of Systems N and S were caused primarily by sampling system problems, such as water passing through naps and contaminating the sensors. The problems associated with water removal in the extractive system were substantial. Besides sensor contamination, water also created a problem for the mechanical vacuum pump. This suggests that close-coupled extractive systems may be superior to the extractive systems that use pumps, simply because they use air aspiration to draw the flue gas sample to the sensors and make no attempt to condense the water out of the flue gas prior to measurement. Another advantage of close-coupled extractive systems is their relatively fast response time, particularly when compared to the sampling systems that use condensers, traps, bowls, and pumps. Typical differences between an indicated load change and a perceived change in O2 or CO was 4 seconds for System B, compared to 15 to 50 seconds for the others.
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Other insights and conclusions resulting from this work are: The vacuum pumps used in extractive systems usually require a vacuum pump with a diaphragm and other components which tend to deteriorate over time. Experience has shown that these pumps are a maintenance problem. The condensation of vapors inherent in extractive systems requires a continuous water supply or compressed air for a vortex cooler. Sensor replacement is somewhat more difficult in close-coupled systems because they are located in warmer, more inaccessible environments. Wet electrochemical sensors require a clean, dry sample. A wet sample will destroy the electrolyte and render the sensor useless. Zirconium oxide O2 sensors can be used with a wet or dry sample. If the flue gas sample contains some unburned combustibles, the hot zirconium O2 sensor will bum the combustibles, thus reducing the oxygen content of the flue gas sample and generating a false low O2 reading. The catalytic combustibles sensor can accept a wet or dry sample. The catalytic combustibles sensor measures all the combustibles present in the flue gas, and therefore may not give a true reading of CO. The infrared CO sensor measures only CO and can accept a wet or dry sample. However, if the sample is wet, moisture may condense on the sample cell window and render the sensor useless. The monitoring of boiler flue gases has remained an elusive goal for many industrial plants across the United States. One reason for this is the perceived cost of the required instrumentation. But ... the perception may be worse than the reality. As shown here, companies with boiler fuel bills of $150,000 can pay for an analyzer in a little more than two years. Another factor affecting implementation is lack of education and training. Many boiler operators have not been properly trained to interpret the information generated by the instrumentation. They are often reluctant to use the information generated by the equipment simply because they don't understand it. Top management support is another important element in the equation. When management doesn't recognize the importance of the boiler house and the essential role of steam in the production process, boiler plant personnel soon begin to feel that they are unimportant. This, in turn, leads to a "don't care" attitude and a lack of interest in improving operations. The effective monitoring of flue gas emissions requires boiler operators who are informed, intelligent, and interested in doing a good job. References Benammar, M. (1994) "Techniques for measurement of oxygen and air-to-fuel ratio using zirconia sensors. A review," Measurement Science & Technology, 757-767. Gill, A. (1994) "Analyzer installation and maintenance," Intech, 29-32. Hall, R.C. (1995). "An Operational Evaluation of Current Continuous Emissions Monitoring Systems on an Industrial Firetube Boiler," M.S. Thesis, Mechanical & Aerospace Engineering, North Carolina State University, Raleigh, NC. Holman, J.P. (1989). Experimental Methods for Engineers. New York: McGraw-Hill. Jones, T. (1988). "An update and overview of flue gas measurement," Energy Engineering, 4-17. Liptak, B. (1987). "Improving Boiler Efficiency," Chemical Engineering, 49-60. Saji, K. (et al). (1988). "Influence of H2O, CO2 and various combustible gases on the characteristics of a limiting current-type oxygen sensor," Journal of Applied Electrochemistry, 757-761. Watson, J., and Yates, R. (1991). "Oxygen sensors solid-state and electrochemical," Electronic Engineering, 31-38. Venkatasetty, H.V. (1992). "Understanding the potential uses of electrochemical sensors," Chemical Engineering Progress, 63-66.
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Page 459 TABLE 1 LIST OF MANUFACTURERS AND SENSOR SYSTEMS Company Model Sensor Type Sample O2 CO Range Max. Type Range Temp. Nova Analytical Systems 7200N O2-1, CO-1, NODry 0-21% 0-2000 ppm 50C Inc. 1 Bailey ICCS O2-2, CO-3 Wet 0-25% 0-5000 ppm 3200 F Summit Analyzers IR-2200 O2-1 Dry 0-25% 50 C IR-703 CO-4 Dry 0-2000 ppm 50 C IR-741 Sample Sys. Ametek CMCO2C O2-2, CO-3 Wet .1-100% 0-2000 ppm 1200 F WDG-4C 02-2, CO-3 Wet .1-100% 0-2000 ppm 3200 F WDG-HP2C O2-2, CO-3 Wet .1-100% 0-2000 ppm 2800 F Cal. Anal. Inst. 200 O2-1, CO-4 Dry 0-25% 0-1000 ppm 50 C Teledyne 9150 O2-1, CO-1 Dry 0-25% 0-1000 ppm 50 C 9300 O2-1, CO-4 Dry 0-25% 0-500 ppm 50 C Servomex 700B O2-2, CO-3 Wet 0-25% 0-5000 ppm 3200 F Land Combustion FGA 950 O2-1, CO-1, NODry 0-25% 0-2000 ppm 1200 F 1 Liston Scientific Enviromax O2-1, CO-4 Dry 0-25% 0-2000 ppm 50 C 3000 Siemens Ultramat 21 O2-1, CO-4 Dry 0-25% 0-1000 ppm 50 C Rosemount WC 3000 O2-1 Wet 0-25% 1300 F WC 5100 CO-4 Wet 0-10,000 600 F ppm Note: Sensor Type: 1- Electrochemical, 2 - Zirconium O2, 3 - Catalytic Combustibles, 4 - Infrared
Cost $4,500 $4,495 $2,500 $5,700 $1,300 $6,000 $7,600 $7,600 $5,490 $4,725 $12,500 $7,800 $17,000 $6,695 $6,600 $4,300 $18,000
TABLE 2 OXYGEN SENSORS Type of Expected Life (years)ReplacementSampling Sample Calibration Frequency Sensor System Type Wet Electrochemical Cell 2-5 Easy Extractive Dry Weekly Zirconium Oxide Cell 1-3 Medium Any Wet or Dry Monthly TABLE 3 CARBON MONOXIDE SENSORS Type of Constituents Expected Life Replacement Sampling Sample Sensor Measured (years) System Type Wet CO and NO 1-2 Easy Extractive Dry Electrochemical (NO filtered out) Cell Catalytic All Combustibles 1-3 Medium Any Wet or Combustibles Dry Infrared CO 10+ Medium Extractive or Wet or Insitu Dry
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Calibration Frequency Weekly Monthly Monthly
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Page 460 TABLE 4 CHARACTERISTICS OF SENSING SYSTEMS Type of Response Service Filtering Sample System Time Type Insitu Fastest Difficult None Wet Convective Fast MediumOn probe Wet or Dry Close-Coupled Fast MediumOn probe Wet or (Aspiration) Dry Extractive Slow Easy Required Dry
Additional Requirements Plant air Nothing
Possible Limitations
Plant Air Plant Air or Water
Particle size in sample Non-corrosive sample
TABLE 5 PERFORMANCE OF OXYGEN SENSING SYSTEMS O2 Sensing System % O2 (low fire) % O2 (high fire) System N 7.9 3.4 System S 8.7 3.4 System B 7.5 3.0 ECOM-AC (portable) 8.3 3.5
Stack size Probe length
Comments Dry Sample Dry Sample Wet Sample Dry Sample
TABLE 6 PERFORMANCE OF CARBON MONOXIDE SENSING SYSTEMS CO Sensing Sensor Type CO, CO ppm Comments S ppm (high ystem (low fire) fire) System N Electrochemical (extractive) 70 200 Includes NO concentration (faulty sensor) System S Infrared 0 150 (extractive) System B Catalytic Combustibles (close0 185 Wet sample, measures all coupled) combustibles ECOM-AC Electrochemical (extractive) 0 114 (portable) TABLE 7 SUMMARY OF SIMPLE PAYBACK System Designation System Annual Maintenance Cost $ $ N 5,320 1,000 B 5,700 1,000 S 10,700 700
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Simple Payback (yrs) 2.5 2.7 4.5
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Figure 1. Variations in Oxygen Measurement Versus Boiler Load
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Figure 2. Variations in Carbon Monoxide Meaurement Versus Boiler Load
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Chapter 64 Chiller Plant CFC, Energy and Operational Improvements...or, Killing Three Birds with One Stone J.P. Waltz Abstract This paper explores the hidden opportunities that exist when planning CFC abatement or modernization projects for central cooling plants, both small and large. It is critically important to perform an in-depth, comprehensive, and integrated re-evaluation of the entire cooling plant, its auxiliaries and its distribution system. By doing so, numerous system improvements can be identified and implemented which will reduce operating costs, simplify maintenance, improve plant operations, enhance plant reliability and even improve building comfort. Among the improvement measures are more efficient chillers, cooling tower replacement and optimization, plant re-sizing, optimizing primary and auxiliary equipment ''mix'', chilled water variable flow conversion, multiple-plant integration, installation of dedicated cooling systems and fuel substitution. These measures can all independently, or concurrently, contribute to dramatically improved cooling operations. The paper refers to numerous actual projects that have already employed these techniques and also discusses the major CFC abatement compliance dates. The hidden opportunities presented and explained in this paper can do much to take the "sting" out of an otherwise onerous regulatory "predicament" and, perhaps most significantly, help to secure funding from management for much-needed projects sooner rather than later. The Essential Alternatives Given the unattractive nature of the likely scenarios, facility managers face a few basic alternatives when it comes to CFC abatement. These include: 1. Stockpile refrigerant, "tighten up" leaking machines (systems containing over 50 pounds of refrigerant are restricted to 15% per year leakage, including extensive record-keeping) and "ride it out" for as long as you can - we call this the "head-in-the-sand" approach. 2. Retrofit the refrigeration machine to a non-CFC refrigerant sometimes a feasible alternative. 3. Retrofit the plant with new, non-CFC refrigeration equipment. The first alternative is clearly limited in its applicability. However, even the second alternative is limited in that many of the central cooling plants in existence in buildings across the United States are too old to be realistically retrofitted for use with the non-CFC refrigerants available today. This is because the considerable expenditure in both parts and labor are not justified by the remaining life expectancy of the equipment. Facilities with equipment in excess of 15 years of age are probably considering the possibility of replacing their aging refrigeration equipment rather than converting it. Many facilities, therefore, are faced with a large capital expenditure in the near future no matter which approach they choose. Integration a Successful Approach As mechanical, electrical and control systems engineers specializing in existing facilities (rather than new construction), our firm has been asked by many building owners to help them face the CFC abatement dilemma
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which is forcing them to plan for major expenditures on their central cooling plant. Since the process of "replacing" a central cooling plant is a large and complicated process it needs to be planned carefully. The planning process allows a facility manager and his engineering team the opportunity to carefully examine the system as a whole and uncover many possibilities to modernize their plants and make them more energy efficient, provide added capacity and reliability, improve plant operations and maintenance, and maybe even improve comfort! By uncovering these "hidden" opportunities, not only can we produce ''more bang for the buck", but also present a well-thought-out, comprehensive modernization project which offers enough attractive benefits and features so as to take some of the "sting" out of CFC retrofit for management, and allow more willing project funding than might otherwise occur. While the above might seem somewhat idealistic, our experience over the years has demonstrated a couple of "truths" about our business. First of all, those of us who work a lot in the energy conservation business tend to get "hung-up" on the notion that return on investment is the prime motivator of facility owners. In other words, unless there's a really attractive payback, the owner won't proceed with a project. However, what is sometimes lost sight of is that there are many goals and objectives that a facility owner may have in mind. Our experience in particular has shown that facilities with unmet deferred maintenance and repair needs (and nearly all facilities have them) are excellent candidates for projects which combine both energy conservation work (with a good return on investment) and facility repair and restoration work (with little or no return). By combining the projects, the owner can fix up his facility while simultaneously making a modest return on his investment when in fact they were not anticipating a return at all on the restoration work! Secondly, in the forms of energy conservation referred to as "energy services" or "demand side management", heating ventilating and air conditioning (HVAC) is the "tough nut" to crack in improving the overall efficiency of our nationwide inventory of facilities. That utility companies tout "compact fluorescent'' demand side management programs is proof enough that making deep reductions in HVAC energy use requires a highly organized, highly skilled and highly experienced infrastructure (which is not easily or quickly assembled). Anyone can "slap" in an incandescent-to-fluorescent conversion fixture or an energy management computer, but it takes a systemic, inside-out system re-engineering to transform the nature of an HVAC system's energy use. The transformation of central cooling plants, in our experience, tends to follow these same "rules". In order to develop a project which will both result in significant reductions of the level of energy use and offer benefits which capture managements interest and support (read: "funding"), it takes a thoughtful, integrated approach, and a complete re-thinking of cooling operations to develop a blend of system upgrades and modifications which are mutually complementary and beneficial. Chilled Water Plant Modernization Opportunities Actually, quite a few opportunities exist which are mutually complementary and work to produce attractive benefits and outcomes from an otherwise disagreeable prospect. Some of the ones we've managed to incorporate into our projects are discussed below. More Efficient Refrigeration and Heat Rejection Equipment. The first and most obvious opportunity is the ability to replace older, less-energy-efficient machines with new, energy-efficient equipment. Much of the equipment in production today is far more energy efficient than its predecessors. A central chiller and optimally sized cooling tower of current vintage in many cases will use nearly half the energy consumed by an older less optimally configured system. Most modern chillers also have integrated control systems which allow a direct interface with building automation systems. This ability to communicate directly with the chiller allows for more simplified and effective automated reset of chilled water temperature, allowing additional energy conservation. For example, central cooling plants designed and built 15 to 30 years ago generally employed refrigeration machines that operated in the range of 0.8 to 0.9 kw/ton. Modern machines are custom-assembled from a range of computer-
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analyzed evaporators, condensers, motors and compressors. Manufacturers can easily evaluate a whole range of component combinations to meet various flow rate restrictions (say the condenser water piping would be prohibitively expensive to replace, but is a little undersized), electrical and installation space constraints. One recent project was constrained to a basement chiller room with very limited "real estate" available for the chillers themselves - yet very efficient chillers were found that would fit in the available space. Even a constrained chiller selection will result in a refrigeration machine that can operate at 0.6 kw/ton even at ARI standard conditions -roughly a 30% reduction from typical existing equipment. Generally, if the chillers are near the end of their life expectancy, so will the cooling towers. This is the perfect time to re-evaluate cooling tower sizing. While design wet bulb temperature is very constraining in many climates, in many it is not. Yet traditional "rules of thumb" have resulted in a great many cooling towers being selected to provide 85°F condenser water to the refrigeration equipment. Recently the potential for greater use of the evaporative cooling process has received greater attention, with the result, especially in relatively "benign" climates such as northern California, of cooling tower sizing being value engineered to provide the most cost-effective combination of approach and cost. Simply stated, ''approach" of "approach temperature" is how close the cooling tower can get the water it cools to the design wet bulb temperature (which is the equilibrium temperature of the evaporative cooling process - and can be directly measured with a sling psychrometer). While an 18 degree approach would be traditional in northern California (85° condenser water with a 67° design wet bulb), 5 to 8° approaches are relatively easily achieved! With condenser water at 75° instead of 85°, much lower chiller kw/ton can be achieved, down to 0.5 or even lower! Given the fact that a cooling tower is in its essence just a big box full of corrugated plastic, the added cost to increase the size of a cooling tower (rather than just increase the fan speed and motor size - which would be counter to energy efficiency) is relatively cheap compared to the reduction in chiller power consumption and cost of operation. Obviously the longer the annual operating hours and the hotter the climate, the faster a bigger tower will pay for itself. On one hospital project, for example, the added cost of a larger tower was approximately $10,000 (for equipment only), while the annual reduction in chiller operating cost was nearly $20,000. Increase Plant Capacity. An added benefit of modern chillers is their physical size. Many of today's chillers are much smaller in size than their predecessors of equal capacity. In addition, the newer chillers operate at a much lower kw/ton. The implication of both these factors is the ability to install greater cooling capacity in the same space and without increasing the connected electrical load or the electrical service equipment. This can prove to be very beneficial if the existing system is under capacity or if there are plans for increased demands on the cooling plant, say, perhaps the addition of a new wing in the near future. Building in additional capacity into the central cooling plant may obviate the need for installing peripheral, ancillary cooling equipment as an afterthought to meet future needs. Decrease Plant Capacity. Perhaps your chiller water plant was adequately sized when it was originally built...., or even oversized. By combining retrofit projects such as lighting fixture retrofit, make-up air evaporative pre-cooling or air-to-air heat recovery with the chilled water plant replacement, the refrigeration equipment can be downsized, thereby decreasing the total cost of retrofit and potentially providing even more efficient plant operation. For example, reducing the condenser water flow in an existing piping system by 10% can reduce the power required for pumping the condenser water in the neighborhood of 30% - even more if the chiller condenser selection is optimized for water pressure drop. Improve "Mix" of Primary and Auxiliary Plant Equipment. Generally new construction design is rightly focused on peak design conditions and operations. However, light load conditions occur with much greater frequency. The result, at times, is that the mix of cooling equipment is such that a very large machine is actually the smallest machine available and its auxiliaries (chilled water pump, condenser water pump, cooling tower, etc.) may actually exceed the refrigeration machine itself in terms of total power draw on light load days. Not only does having "oversized" auxiliaries in operation waste energy, but a less
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than optimal mix of equipment may actually provide less reliability and redundancy than is needed. For example, a 500 ton plant with two 250 ton centrifugal chillers is very vulnerable should one machine be lost. Increasing the total number of machines to 3, of perhaps 125, 225 and 225 tons capacity would provide some additional capacity, allow the entire facility to operate normally on all but the hottest days if the smallest chiller were lost and would even allow 70% operation on the hottest day if the largest chiller were lost to service. Depending upon the nature of the operation, having a "spare" chiller may be of great value and could potentially be easily incorporated into a CFC retrofit project quite easily (though at increased cost of course). Furthermore, depending upon the variety of type of loads being supported (perhaps a computer center as well as general office space), it may make sense to select one or more of the refrigeration machines so that it is very well suited for the critical lead, particularly with regard to turn-down and cycle-time capabilities. For example, a 250 ton centrifugal attempting to carry a 25 ton minimum computer room lead in cold weather might cycle off and not be restartable for 30 minutes, which might allow the computer room to overheat whereas a smaller rotary screw or reciprocating machine would be able to carry a smaller lead continuously and be able to cycle off and on more quickly. Again, a CFC retrofit project may be the ideal time and place to correct operational weaknesses or flaws in the central cooling plant. Plant Simplification. Most central cooling plants in existence are not in their original configuration. Systems evolve over the years into a complex multiplicity of pumps, chillers and cooling towers. As additions and reconfigurations of a building occur, piping is added to the system to accommodate new requirements. Since the central systems are complex the size of an individual reconfiguration project does not always justify the expenditure of time to fully analyze the effect of the piping addition on the entire system. Often a pump or even a separate chiller is added to ensure adequate flow of chilled water in the new addition. The end result is often an overly cramped and complicated central plant. Many such secondary pumps and chillers can be eliminated in a newly designed, properly sized and efficiently piped system. Variable Flow Conversion. Facilities with widely varying cooling demands may also obtain tremendous energy savings from converting the chilled water system to variable flow. During periods that the cooling demand is less than the total capacity of the cooling system, the amount of chilled water actually required to be pumped through the piping system is also less. Slowing the operating speed of a centrifugal pump in response to this lessened demand provides dramatic pumping energy savings. While variable flow is common in new construction, few older systems are so configured. In order to implement a variable flow scheme of operation, a few things are needed: First, create a dual-loop system to allow constant flow through the chiller while varying the flow through the cooling coils in air handling units - alternatively, a single loop system may be maintained if provisions for minimum flow through the lead chiller are provided, either by leaving some control valves as 3-way, or by installing an automated bypass valve which is shut off once total system flow demand has exceeded minimum flow needs Second, convert to 2-way control all the control valves on the cooling devices (such as air handling unit cooling coils) by closing the bypass balancing valve and installing a larger actuator (if required to give the valve sufficient close-off capability - beware, large valves frequently have close-off capabilities as low as 10 psi differential and will be pushed open by the head of the circulating pump), replacing the valve, or abandoning the control valve and converting a butterfly shut-off valve to control use by installing an actuator and positioner Third, install differential pressure controls by installing a sensor at the most "distant" control valve (multiple sensor locations may be required) and adjusting pump speed to maintain a constant differential pressure (or reset setpoint based on lead or pseudo lead indicator such as outside air temperature)
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While it is not always an intended byproduct of a variable flow conversion, it is frequently the case that comfort is improved in the process of converting to variable flow. When it occurs, it comes about for a number of reasons including the fact that one air handling unit, for example, may serve a largely internal lead and require nearly full cooling capacity at all times. If only one-third of the plant equipment is placed on line, the total chilled water flow may match the total lead quite well, but, due to the nature of constant flow systems, this internal air handling unit only gets a proportionate share of the total chilled water available, even though its actual cooling lead is proportionately higher than the rest of the air handling units on line. By converting to variable flow, the chilled water goes where it is needed, not where the test and balance contractor decided to send it. Another comfort problem that can be corrected by conversion to variable flow is when the original water balance was incorrectly performed, or when loads have shifted from one area/air handling unit to another and some areas of the building are short of cooling on "design" days, even though the plant capacity is adequate. Finally, many systems are added on to over the years and, even though there is enough plant cooling capacity, the "design" chilled water flows for all the air handling units combined exceed cooling pump capacity and the last project installed "robbed" all the others in order to get its needed flow (sound familiar?). In each of these cases, variable flow conversion will almost always cure the problems, in some case, providing comfort for the first time in "ages". Though conversion to a variable flow chilled water system is not directly related to the issue of CFC abatement, the extensive construction project required to accomplish the abatement affords us the opportunity to expand the project only minimally to achieve significant energy conservation through variable flow. Install Dedicated Cooling Systems. Many times in the "crash" of day-to-day building operations, short-sighted approaches are taken to solving critical immediate problems. In one hospital, the need for air conditioning a CAT-SCan computer room in a former "basement" area of the building was solved by installing a small fan-coil unit and interconnecting it to the central chilled water piping. Unfortunately, because of its location, it was not physically feasible to provide an outside air economizer, so the central cooling plant consisting of one large chiller was forced into service on a 24-hour-per-day, 365-day-per-year basis! While this solved an immediate problem, the wear and tear on this chiller resulted in its premature demise. The best solution, in this case, was to install a small dedicated chiller with an adjacent dry cooler to provide a waterside economizer during cold weather (in this relatively cold climate). Not only did the small dedicated chiller and waterside economizer allow the central plant to be subsequently shut down for a major overhaul, but the waterside economizer was found to work successfully at ambient temperatures much higher than expected (up to 60°F !). Integrate Multiple Cooling Plants. Just as central plants grow and evolve like "cancer" and become overly complex, sometimes entire additional plants are added because the design professionals don't want to take the time to "tackle" the larger problem, or because their scope of engagement is limited. The result frequently is that the operating engineers end up "saddled" with two (or more!) central cooling plants which they must operate and maintain and frequently the plants are not even in close proximity to each other. Not only is this an O&M headache, but the fact that two sets of plant auxiliaries must be started up at the point that only a very small total cooling lead exists is very energy wasteful, and increases wear and tear on all the equipment. While a CFC retrofit project may not be able to afford to physically integrate multiple plants, it is often feasible to tie the plants together by means of an interconnecting chilled water pipeline and operate the plants by means of a building automation system as though they are one. Obviously a variable flow conversion would generally need to be a part of such a retrofit project if the systems were not already configured as variable flow systems. Because the largest portion of the energy savings comes from single auxiliary operation during light lead conditions, the interconnecting pipeline need not be sized to handle the full capacity of either plant, but perhaps just to handle the equivalent of one chiller's capacity should the pipeline need to be pressed into service to provide a form of redundancy should a chiller be "lost" during peak lead conditions. In addition, even though dedicated cooling equipment may make sense, depending upon its plant operation implications. It may also make sense to interconnect small dedicated systems to central plants. This allows the central cooling plant to supply its low kw/ton cooling when it is in operation, as opposed to the likely high-kw/ton
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cooling of the dedicated equipment (most likely air-cooled, reciprocating equipment). Fuel Substitution. A fairly obvious way to get away from CFC-based refrigeration equipment, is to switch to a form of refrigeration that does not employ vapor compression. Obvious examples of this are gas-fired and steam/hot water-fired absorption refrigeration. High efficiency gas-fired absorption machines have a COP of around unity, versus a COP of 6 to 7 for centrifugal/rotary, electric-driven chillers. While the electric machine appears to have a dramatic advantage, the cost of electricity (which varies by a 2 or 3 to 1 ratio across the country), is 10 times the cost of natural gas on a per-btu basis, meaning that the operating cost of an absorption chiller might be 30 to 40% less than an electric machine. Given the likelihood that demand charges will continue to rise as free energy markets (as have and are being brought about through natural gas deregulation and retail wheeling of electricity) cause the real cost of electrical capacity to be passed through to the end user, it may be an excellent long-term strategy to construct non-electric cooling plants (assuming $3,000/kw to build a power generating station versus a cost differential of $600 to $1000/kw for absorption over electric, it would seem only a matter of time). However, absorption chillers take up a lot of real estate and, in particular, can't be broken down into pieces to squeeze them into a basement or penthouse equipment room. In addition, they are 2 to 3 times the cost of equal capacity electric machines. Finally, the cooling towers required for absorption machines are much larger than that required for an electric machine (remember, the absorber uses heat to cool). The bottom line here is that demand charges are going to need to rise a lot before absorption machines will appear to be economically more attractive than electric-driven machines. Conclusion A great many possibilities exist for improving the efficiency and operation of a central cooling plant while on the way to CFC abatement. As shown in Table #1 below, many building owners are availing themselves of many of the opportunities that present themselves in this environmentally-motivated program. As can be seen in Table #2, below, these owners are clearly motivated by the rapidly narrowing time window for action. TABLE #1 SAMPLE PROJECT SUMMARY Facility JMMC SNMH MCCCFNMA CPMC Type of Facility Project Features
HospitalHospitalOffice Office Hospital Features Included in Project:
Optimized Chiller KW/Ton Optimized Cooling Tower(s) Increase Plant Capacity Decrease Plant Capacity Improve Equipment "Mix" and/or Redundancy Plant Simplification Variable Flow Conversion Install Dedicated Systems
X X X
X X X
X X X X
X X X X
X X X
Multiple Plant Integration Fuel Substitution
X
X
X
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X
X X X
X X X X
X X X
X
X
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TABLE #2 MAJOR CFC RULE COMPLIANCE DATES EQUIPMENT CONTAINING MORE THAN 50 POUNDS OF REFRIGERANT June 14, 1993 MUST HAVE SUBSTANTIAL LEAKS REPAIRED RECYCLING AND RECOVERY EQUIPMENT MUST BE CERTIFIED August 12, 1993 ALL TECHNICIANS MUST BE CERTIFIED November 14, 1994 SALES RESTRICTIONS GO INTO EFFECT
November 14, 1994
CFC'S (R-11, R-12, etc.) CEASE PRODUCTION
December 31, 1995
HCFC'S CEASE PRODUCTION
R-22, January 1, 2020 R-123, January 1, 2030
About the Author James P. Waltz, President of Energy Resource Associates, Inc., is an acknowledged pioneer in the field of energy management. Prior to the Arab Oil Embargo of 1973, Mr. Waltz made a personal commitment to energy management as a principal focus of his engineering career. Since that time, he has served as energy management program manager for the Air Force Logistics Command and the University of California's Lawrence Livermore National Laboratory. In addition he has worked as an energy management engineer for consulting and contracting firms. In 1981 he founded Energy Resource Associates for the purpose of helping to shape the then-emerging energy services industry - and did so through a multi-year assignment to create a successful energy services business unit for a Fortune 500 temperature controls manufacturer. Specializing in the mechanical, electrical and control systems of existing buildings, Mr. Waltz's firm has accomplished a wide variety of facilities projects, recently including a corporate-wide energy management program review for a major hospital chain, design of replacement chilled water plants for two northern California hospitals and a world-famous county civiic center, on-site recommissioning of the entire building automation system for another large northern California hospital, audit and expert testimony relating to a failed energy services contract for a large southern California hospital, and DSM project quality control and performance review and HVAC training for a California utility company. Mr. Waltz's credentials include a Bachelors Degree in Mechanical Engineering, a Masters Degree in Business Administration, Professional Engineering Registration in three states, charter member of and Certified Energy Manager of the Association of Energy Engineers (AEE), member of the Association of Energy Services Professionals (AESP, formerly ADSMP), Demand Side Management Society (DSMS) and the American Society of Heating Refrigeration and Air Conditioning Engineers (ASHRAE). Mr. Waltz was named International Energy Engineer of the Year in 1993 by the Association of Energy Engineers. Description of CADD Drawing The accompanying drawing is a schematic of the chilled water system at one of the example projects, and shows the integration of two chilled water plants by means of an interconnecting pipeline, and the addition of a transfer pump to allow sharing of plant capacity between the buildings even during peak load conditions (it presently provides single plant operation only during low load operation). This plant is fully automated and the Phase-l/2 plant is currently undergoing conversion to non-CFC refrigeration equipment.
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Chilled Water Plant Schematic
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Chapter 65 Industrial Central Chiller Facility Upgrade for Greater System Capacity and Tighter Process Control E.J. Lizardos Abstract An existing 3,000 Ton single-stage central chilled water system at a Wyeth-Ayerst pharmaceuticals plant could not balance and deliver required chilled water flow rates in an energy efficient manner, especially so considering planned expansions in manufacturing operations. A modernization design, consisting of a two-stage primary and secondary pump design, and a chilled water distribution and pressure equalization header resulted in an expandable, energy-efficient chilled water system for existing and expanded manufacturing processes and building air conditioning. A constant-flow primary pump-chiller loop, independently interfaced to a variable-flow secondary pump supply loop provides energy-efficient constant-flow control of chiller operations, while providing an effective chilled water supply to meet varying building A/C and manufacturing process cooling demands. It achieves both energy efficiency and tighter process control. Additionally, the introduction of a chilled water distribution and pressure equalization header provides for efficient, economical expansion for additional site constructions and expanded manufacturing processes. The solution reduces total water flow demands by 2,500 GPM. As a result of this lower GPM pumping as well as energy efficient equipment operation, the system modification reduces peak energy usage by 1,400 kWH. Background Wyeth-Ayerst, a pharmaceuticals manufacturer, produces several products at their Rouses Point facility located at Lake Champlain just a few miles from the Canadian border. Over 25 manufacturing, laboratory, office, storage and utility buildings at the site are supported by a central utility plant housing chillers, cooling towers and pumps. Chilled water for all building A/C and manufacturing process cooling is generated by chillers in the central plant and pumped throughout the complex. Because portions of this large system had been constructed over the past 20 years as manufacturing operations
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gradually expanded, the original chilled water system design had difficulty in balancing and delivering required chilled water flow rates in an energy efficient manner. 1. One of four central chillers was designed to operate at one-half the temperature differential (6°F) of the other three (12°F), creating operating difficulties when run in conjunction with any of three other chillers. 2. One steam absorption chiller operated along with three electric chillers which were powered by very economical hydro-electric power from the local utility. Operating the steam absorption chiller was over three times more expensive than the electric chillers, and was not taking advantage of the environmentally cleaner hydro-electric power that is readily available year-round. 3. Chilled water distribution piping consisted of 10 independent "home runs" (supply and return distribution circuits) added over the years from the central plant header to groups of different buildings. Some buildings are serviced by more than one circuit, each of varying pipe size. This design required maximum pumping power into each separate circuit. Some of the distribution circuits traversed building roofs and trestles with some circuits well over 1,000 feet in length. These 10 distribution circuits, at peak flow demand, could develop low pressure problems. Of the ten distribution circuits, one 8" circuit served more than one-third of the total site load. In some instances, new manufacturing processes were provided with small stand-alone chiller equipment instead of drawing off the central chilled water supply. Furthermore, some of. the distribution circuits had equipment with three-way control valves which created significant bypass returns and sent "unused" chilled water back to the central chillers for re-cooling and re-pumping. 4. Growth was limited, based on the capacity of existing chillers, as well as costly, having to "home run" new distribution circuits to new installations. Solution The solution was a system upgrade to maximize process effectiveness via an energy-efficient, modernized chiller plant with dual stage pumping and the reorganization of the chilled water distribution circuits. The solution reduces total water flow demands by 2,500 GPM. As a result of this lower GPM pumping as well as energy efficient equipment operation, the system modification reduces peak energy usage by 1,400 kWH. A primary, constant-flow pump-chiller loop configuration was implemented at the central plant (see Plate 1). Four variable-speed 60 Hp pumps and chiller sets, arranged in parallel, produce a constant flow through the chillers for optimum equipment efficiency at a temperature differential of 12°F (54°F down to 42°F). As chilled water demand increases, additional pump-chiller sets operate up to a new current total capacity of 4,500 Ton. The secondary distribution loop is connected to the primary loop via a short header serving as a bridge
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buffer which permits variable distribution demand loads, meanwhile maintaining constant flow control at the primary loop. Four 200 Hp variable-speed pumps arranged in parallel, with remote booster pump sets located on three of the ten distribution circuits, provide chilled water for the site. The 6°F chiller was modified to 12°F, like the other three chillers, by reducing the GPM through the chiller by one-half. Consequently, this uses almost half the pumping power formerly consumed. The 1200 Ton steam absorption chiller was replaced with a new 1500 Ton electric chiller. The chilled water distribution system was upgraded with the addition of a 10" pipe equalization header main to join and collectively share the chilled water from five of the distribution circuits remote from the central plant (see Plate 2). This configuration promotes chilled water pressure/flow sharing between the processes drawing from one particular distribution circuit. In this way, high-demand pumping is minimized. Automatically controlled, variable-speed pump capacity in conjunction with the three remote booster pumps assure proper chilled water flow and pressure. The new chilled water header design accommodates economical connection of new distribution piping. Three-way control valves at various terminal units were replaced with automatic two-way valves. This eliminates excessive bypassing of shut-down processes which caused pressure limitations in the past during high volume demands. In addition, pressure and temperature sensors installed at the end of each distribution circuit provide differential pressure and supply temperature readings for central plant operators. These temperature and pressure sensors provide the new electronic monitoring control system with input to promptly and accurately adjust chiller and pump output to supply only what is required. This new central control greatly expands the company's operating and energy savings ability. The system not only recoups costs in energy savings, but allows the company to economically expand operations, thereby increasing manufacturing profits.
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Chapter 66 Heating, Ventilating and Air Conditioning Infrastructure Long Range Plan T.W. Waller I. Vision Statement/Objective The HVAC Plan is designed as a tool for forecasting the optimum upgrade/replacement scheme for HVAC systems and equipments. Its goal is to offer both a short and long range plan for major upgrade/replacement of HVAC equipment(s) and/or HVAC system(s). Energy efficiency and associated cost reduction can only be achieved by implementing a long term HVAC efficiency plan dealing with dedicated maintenance and replacement of equipments. The HVAC Plan accumulates and organizes current HVAC data and information so we can best address future needs. The Plan is considered a dynamic document and will be ever-changing based on the moving targets of mission, new equipment technology, and funds available for upgrade and replacement. It integrates information from: (1) actual equipment inventory (label plate manufacturer's data) (2) equipment maintenance history from the WIMS Job Order/Work Order System (3) Energy Management and Control System trend and operational logs and recurring problem identification (4) energy consumption information from monthly utility logs (5) previous/planned mission changes for areas/entire facility These five (5) parameters can be used to establish an information data base for a set of Quality Control metrics. II. Grading Metrics Certain parameters uniquely associated with each piece of equipment will be used to derive a composite ''score'' for each piece of HVAC equipment or system. Therefore, the lowest-scoring HVAC equipments would have reached a combined Quality Control grade that puts them in the "most likely candidate" list for replacement/upgrade. The only HVAC equipments that currently exist that are not to be included as being graded are those in buildings scheduled for demolition, or for the first year, equipments or systems that are new and under warranty. When their warranty expires, they will then come under the Quality metrics evaluation for the HVAC Plan. The following parameters will be used to score HVAC equipments for a set of Quality metrics: life expectancy, mission changes, maintenance history, customer complaints, and air distribution system integrity. A. Life Expectancy HVAC equipment maintained according to the manufacturer's or Air Force standards can be
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expected to meet environmental design load requirements and not consume excessive manhours for maintenance or excessive energy unless it has exceeded its "life expectancy". When nearing or exceeding its life expectancy, the HVAC equipment is normally consuming much more energy than originally designed, and at a greatly reduced efficiency. Even though units might be well-maintained, it is not considered economically effective to allow equipment to run continuously beyond its life expectancy. The following life expectancies are given to certain unique pieces of HVAC equipment: (1) Air Handlers (2) Chillers (3) DX Air Conditioning Units (4) Boilers (5) Pumps
20 years 12 years 10 years 20 years 20 years
The following grades are then assigned based on life expectancies: UNIT Air handlers
Chillers
DX AC Units
Boilers
AGE 0 - 10 10- 15 15 - 20 Over 20 0-5 5-9 9 - 12 Over 12 0-5 5-8 8 - 10 Over 10 0 - 10 10 - 15 15 - 20 Over 20
ASSIGNED SCORE +1 -1 -2 -3 +1 -1 -2 -3 +1 -1 -2 -3 +1 -1 -2 -3
B. Mission Changes Mission changes occuring during the normal life expectancy of an AC unit or system can produce such a drastic alteration to design air conditioning load and/or system airflow that the unit/system cannot meet environmental requirements. Even the addition of an abundance of computers/data handling devices in a facility or alteration of the airflow due to portable office partitions can produce such change in load that the unit/system capacity to handle the increased requirement is only marginal at best. There is no in-between score in this category: (1) If the HVAC equipment/system still meets mission requirements after the change, then it merits a score of +1. (2) If the HVAC equipment/system fails to meet mission requirements and a significant HVAC design change is needed to meet the new load, it merits a score of 3. C. Maintenance History Maintenance history is governed by the accumulated costs associated with Job Orders, Work Orders, or Direct Scheduled Work on HVAC equipments/systems incurred as an average over the last 2-3 years. If an HVAC equipment or system has become maintenance intensive due to wear, age, or being over/underloaded, its annual maintenance cost will have become excessive. It can no longer perform its function without unreasonably high runtime costs. Also, if a unit's or system's annual repair cost is at least 70% of its replacement cost, it should be considered for immediate to emergency replacement. Under this scenario, the replacement unit's simple payback period would be attractively less than 2 years.
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TYPE UNIT % REPLACEMENT COST ASSIGNED SCORE All HVAC Under +1 10% 11 - 15% -1 16 - 20% -2 Over -3 20% Over -100 70% D. Customer Complaints Customer complaints are a reasonable gauge of possible problems with an HVAC unit or system Recurring complaints of the same type, such as too cold in facility zone at the same time every morning and even with a Civil Engineer "fix" per call, could reveal a deeper problem that may might not be correctable without an equipment replacement with a new/different capacity unit. A year's history of service calls can show how many "like" HVAC service calls were recorded and if a particular type complaint is both legitimate and reasonable and has continued unabated. The number of "like" calls is directly proportional to an HVAC equipment/system's ability to adequately serve its area. TYPE UNIT All HVAC
NUMBER ANNUAL "LIKE" SERVICE CALLS 0-1 3-5 6 - 10 Over 10 Over 70
ASSIGNED SCORE +1 -1 -2 -3 -100
E. Air Distribution System Each facility's air distribution system forms an integral and unique part of the HVAC Plan. Grading of the air distribution system as a separate entry is necessary to determine the overall HVAC quality. Inadequate size or integrity/tightness in the air distribution system can cause a multitude of ongoing customer complaints and produce a maintenance history of HVAC problems not directly associated with the heating and air conditioning equipment. The best quality of HVAC equipment operation is compromised by leaks or breaks in the air distribution system. As determined by shop by physical inspection, WIMS maintenance history files, and customer complaints, the grading for air distribution system integrity is based on the following: (There is no in-between score in this category): (1) If the air distribution system(s) are known to be tight and sealed, then it merits a score of +1. (2) If the air distribution system(s) are known to be causing a serious HVAC problem in meeting mission/building environmental requirements due to major leaks or breaks, it merits a score of -3. Results/Conclusion: Previous replacement/upgrade practices for HVAC equipment or systems depended heavily on "break down" response instead of rational forecasting. A wellformulated, organized plan for grading the condition and forecasting failure of our infrastructured HVAC was either nonexistent or fragmented at best. Several recent major failures of mission-critical environmental support equipments at Columbus AFB MS dictated the immediate need for a very organized, efficient plan for identifying and prioritizing upgrade/replacement such that failures or inadequate operational support could be minimized or prevented. Prototyping three buildings on Columbus AFB MS whose HVAC systems statistically rank from outstanding to poor proves the worth of mplementing the new grading system to forecast optimum upgrade/replacement on mission-critical equipments. Application of Quality Metrics provides a dependable tool for managers to use in resource planning and the judicious allocation of Air Force funds.
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HVAC INFRASTRUCTURE LONG RANGE LAN FOR COLUMBUS AFB MS - VISION - INVENTORY - EVALUATION - REPLACEMENT PLAN - INVENTORY- LISTS INFORMATION ON INFRASTRUCTURED HVAC EQUIPMENT/SYSTEMS: AIR HANDLERS, CHILLERS, CONDENSERS, BOILERS, ETC. - ITEMIZES EQUIPMENT LABEL PLATE DATA - ADDITIONAL SIZING AND CAPACITY DATA TAKEN FROM ASBUILT DRAWINGS - DATA ORGANIZED INTO MISSION CRITICAL/NON-CRITICAL FACILITIES - REPLACEMENT PLAN - FACILITY COMPOSITE SCORES ARE RACKED/STACKED FOR PRIORITY ASSIGNMENT TO REPLACEMENT SCHEME - LOWEST SCORING HVAC SYSTEM/BUILDING WOULD BE SELECTED FOR EARLIEST UPGRADE OR REPLACEMENT - HIGHEST SCORING HVAC SYSTEM CONSIDERED "BEST ON BASE"/WOULD BE PROGRAMMED FOR REPLACEMENT FOR OUT-YEARS - PLAN SUBMITTED QUARTERLY TO CHAIN OF COMMAND FOR REVIEW/APPROVAL - VISION - PLAN IS A TOOL FOR FORECASTING HVAC SYSTEM/EQUIPMENT UPGRADE OR REPLACEMENT (EFFECTIVE RESOURCE ALLOCATION) - ENERGY EFFICIENCY AND COST REDUCTION ARE GREATLY ENHANCED WITH A DEDICATED PLAN - PLAN ACCUMULATES AND ORGANIZES HVAC DATA AND MAINTENANCE HISTORY TO BEST ADDRESS FUTURE NEEDS - EVER-CHANGING DOCUMENT BASED ON MOVING TARGETS OF MISSION, NEW TECHNOLOGIES, AND FUNDS AVAILABILITY - EVALUATION - QUALITY METRICS UNIQUE TO EACH PIECE OF HVAC EQUIPMENT ARE SCORED INDIVIDUALLY - INDIVIDUAL EQUIPMENT SCORES ARE TOTALLED PER FACILITY TO REACH A COMPOSITE FACILITY SCORE - FINAL COMPOSITE SCORE SUMMARIZES OPINIONS FROM ZONE SHOP PERSONNEL, MECHANICAL DESIGN, EMCS, AND ENERGY MANAGEMENT QUALITY METRICS FOR GRADING HVAC SYSTEMS - LIFE EXPECTANCY - MISSION CHANGES/REQUIREMENTS - MAINTENANCE HISTORY (% REPLACEMENT COST) - CUSTOMER COMPLAINTS (# ANNUAL SERVICE CALLS) - QUALITY OF AIR DISTRIBUTION SYSTEM - TOTAL SCORE IS SUMMATION OF NUMBERS ASSIGNED TO INDIVIDUAL PIECES OF EQUIPMENT - T.S. - LE + MC + MH + CC + ADS
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LIFE EXPECTANCY - INDUSTRY STANDARDS IN YEARS ARE ASSIGNED FOR EQUIPMENT LIFE EXPECTANCY - HVAC EQUIPMENT NORMALLY CONSUMES EXCESS ENERGY AND RUNS LESS EFFICIENTLY NEAR OR PAST LIFE EXPECTANCY - ECONOMICS DO NOT JUSTIFY RUNNING/MAINTAINING HVAC EQUIPMENT PAST YEARS LIFE EXPECTED - SCORE RANGE IS GOOD TO BAD, +1 TO -3, DEPENDING ON INDUSTRY STANDARD YEARS LIFE EXPECTANCY MAINTENANCE HISTORY - ACCUMULATED COSTS GATHERED/SUMMED FROM CIVIL ENGINEER MAINTENANCE/REPAIR HISTORY - FEEDBACK FROM MAINTENANCE TECHNICIANS IS CRITICAL - HVAC EQUIPMENT THAT HAS BECOME MAINTENANCE INTENSIVE WILL SHOW EXCESSIVE COSTS - YEARLY REPAIR/MAINTENANCE COSTS OVER 70% REPLACEMENT COSTS MANDATE IMMEDIATE OR EMERGENCY REPLACEMENT OF HVAC EQUIPMENT - ALL OTHER HVAC EQUIPMENT IS SCORED GOOD TO BAD, +1 TO -100, ON PERCENT REPLACEMENT COSTS AIR DISTRIBUTION SYSTEM - AIR DISTRIBUTION (DUCTING) SYSTEM IS A MAJOR PLAYER IN HVAC EVALUATION PLAN - DUCTING INTEGRITY/QUALITY OR DESIGN INADEQUACIES CAN "MAKE OR BREAK" AN OTHERWISE EXCELLENT HVAC SYSTEM - AIR DISTRIBUTION PROBLEMS CAN SNOW UP INDEPENDENT TO QUALITY OF OTHER COMPONENTS IN THE HVAC SYSTEM - AIR DISTRIBUTION QUALITY IS GRADED IN ONLY 3 LEVELS: MEETS (+10), QUESTIONABLE (0), OR FAILS TO MEET (-10) MISSION CHANGES/REQUIREMENTS - MISSION CHANGE(S) THAT DRASTICALLY INCREASE AC LOAD REQUIREMENTS - ORIGINAL HVAC DESIGN IS HISTORY, AND UNITS/SYSTEM CANNOT MEET HEATING/COOLING NEEDS - THIS CATEGORY SCORES +10 OR -10; EITHER MEETS OR CANNOT MEET ENVIRONMENTAL REQUIREMENTS DUE TO MISSION CHANGE(S) CUSTOMER COMPLAINTS - NUMBER OF CUSTOMER COMPLAINTS CAN BE USED AS GAUGE OF INTEGRITY/QUALITY OF HVAC SYSTEM - RECURRING COMPLAINTS ARE INDICATIVE OF ONGOING MAJOR MECHANICAL PROBLEMS THAT HAVE NOT BEEN PERMANENTLY CORRECTED - MULTIPLE DUPLICATE COMPLAINTS MAY PROVE THAT HVAC SYSTEM NEEDS TO BE UPGRADED/REPLACED - SCORING IS GOOD TO BAD, +1 TO -10, DEPENDING ON TOTAL NUMBER DUPLICATE SERVICE CALLS/YEAR Selection of Three Prototype Buildings for HVAC Plan - BUILDING 327, PMEL SCORED BEST ON BASE - BUILDING 926, PERSONNEL CENTER SCORED GOOD - BUILDING 246, NDI LAB SCORED WORST ON BASE
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Grading Metrics for Building 327, PMEL - LIFE EXPECTANCY (+8) - MISSION CHANGES/REQUIREMENTS (+10) - MAINTENANCE HISTORY (% REPLACEMENT COST) (-1) - CUSTOMER COMPLAINTS (# ANNUAL SERVICE CALLS) (-1) - QUALITY OF AIR DISTRIBUTION SYSTEM (-10) - TOTAL SCORE = + 28 Grading Metrics for Building 246, Ndi Lab - LIFE EXPECTANCY (-15) - MISSION CHANGES/REQUIREMENTS (-10) - MAINTENANCE HISTORY (% REPLACEMENT COST) (-100 - CUSTOMER COMPLAINTS (# ANNUAL SERVICE CALLS) (-3) - QUALITY OF AIR DISTRIBUTION SYSTEM (-10) - TOTAL SCORE = -138 Results/Conclusion - PREVIOUS PRACTICES DEPENDED HEAVILY ON "BREAK DOWN" RESPONSE INSTEAD OF RATIONAL FORECASTING - PROTOTYPING THREE BUILDINGS WHOSE HVAC SYSTEMS STATISTICALLY RANK FROM OUTSTANDING TO POOR PROVES WORTH OF IMPLEMENTING THE NEW GRADING SYSTEM FOR COLUMBUS AFB MS - APPLICATION OF QUALITY METRICS PROVIDES A DEPENDABLE TOOL FOR MANAGERS TO USE IN JUDICIOUS ALLOCATION/ RESOURCE ($) PLANNING Grading Metrics for Building 926, Personnel Center - LIFE EXPECTANCY (0) - MISSION CHANGES/REQUIREMENTS (+10) - MAINTENANCE HISTORY (% REPLACEMENT COST) (-2) - CUSTOMER COMPLAINTS (# ANNUAL SERVICE CALLS) (-2) - QUALITY OF AIR DISTRIBUTION SYSTEM (0) - TOTAL SCORE = + 6 Grading Metric Graph for Prototype Buildings
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SECTION 7 FINANCING ENERGY PROJECTS & PERFORMANCE CONTRACTING
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Chapter 67 Evaluation of Energy Saving Opportunities in a Public Education Facility Via Performance Contracting P.F. Hutchins Abstract Public education facilities were one of the earliest targets for energy conservation. Such ideas as turning off lights and other systems and reducing outside air were often recommended. It is surprising that today, almost twenty years after the beginning of many of these energy saving programs, opportunities are still abundant. Some are a product of improved technology, but most are simple control and management of the systems in place. In the continual competition for budget dollars, maintenance of mechanical and electrical systems rarely fares well. The lure of no initial capital outlay for energy system improvements and positive cash flows from day one, make performance contracting very attractive. The facility studied here is a secondary education public facility in the southeastern United States. It is a single building facility with slightly more than 100,000 square feet in floor space. The school was built in the late 1970's during the height of the first phase of many energy conservation programs. Energy savings were evaluated using Trane's TRACE?? 600 computer simulation program. These results, together with cost estimates from local vendors, provide the foundation for a contract based on the performance of energy saving systems. These evaluations led to the recommendation of a number of energy saving ideas: T8 lamps and electronic ballast technology Variable speed drives on AHU's and CW pumps Face and bypass damper cooling coils on constant volume AHU's AHU CW valve replacement OSA damper and AHU controls Sequential operation strategy for chillers LED exit signs Occupancy sensors for lighting controls Building Management System to control: OSA dampers AHU motors Chiller sequencing Lighting and monitor space temperatures and status of equipment energy use. An Energy Service Company (ESCO) was used to provide financing and much more. The performance contract was structured to include equipment performance guarantees, maintenance, training, monitoring, savings verification and purchase of aging equipment. Probably the most important aspect of performance contracting is the concept of purchasing services and expertise rather than equipment. It is through knowledge, understanding, monitoring and maintenance that savings can be achieved year sfter year. Facility Description The subject facility is a public school located in the southeastern U.S. The following tables summarize its energy use characteristics.
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BUILDING CHARACTERISTICS Area 109,000 sf Shape 2-story, almost square Construction Concrete block covered with stucco Ext. Walls U-value = 0.31 - 30,900 sf Roof U-value = 0.06 ~ 56,400 sf Ceilings Suspended acoustic tile Windows Very few, single glazed ~ 120 sf Lighting Predominantly recessed fluorescent, averaging 1.95 w/sf Misc. 0.60 w/sf Equipment People Peak capacity HVAC System Five variable air volume with VAV damper boxes only, VSD disable. Thirteen constant volume variable temperature. One 100% OSA supply/ exhaust in locker-room. Plant Two scow chillers piped in series. One is 144 tons produces 47 deg. F water at 0.67 kW/ton. The second produces 42 deg. F water at 0.70 kW/ton. Single cooling tower with two cells. All motors are constant speed. SCHEDULES Chillers 7am - 12 midnight M-F throughout year AHU 24 hours/day, 7 days/week, 365 days/year Lighting 5% midnight - 7am or less ramps to 100% 7am - 9am 100% 9am - 3pm ramps down to 40% 3pm - 6pm 40% 6pm -midnight People 0% midnight - 7am ramps to 100% 7am - 9am (50% during summer) 100% 9am - 3pm (50% during summer) ramps to 1% 3pm - 6pm 1% 6pm - midnight Misc. 5% midnight - 7am Equipment ramps to 100% 7am - 9am 100% 9am - 3pm ramps to 25 % 3pm - 6pm 25% 6pm - midnight Thermostat Setpoints: Classroom and return air setpoints: 73-74 degrees F, during occupied and unoccupied periods. Energy Consumption Figures 1 and 2 contain the energy consumption data for the past three school years for electricity and natural gas, respectively. Figure 1 shows a very flat level of electricity use throughout the year, indicating that weather has very little effect on energy use. Since this school has very few windows, the HVAC brings in minimal amounts of outside air, and is used year-round helps explain this fact. It also appears there has been a significant increase in electricity use since December 1993. Figure 2 shows relatively little change in natural gas use over the same time period. Figures 3 and 4 show a breakdown of fuel use and cost, respectively, by fuel type. As one would expect, both on a BTU and dollar basis, electricity dominates the energy bills at this school. The school demand is only slightly over 500 kW and the implementation of just one of the ECMs, Efficient Lighting, will cause the demand to drop well below 500 kW, all year round. After one year, the school will be automatically switched to a different rate, for customers with demand from 20 kW to 500 kW. This is important since the new energy portion of the electric bill rate is about ten percent higher than the old rate. The demand rate is about the same. This causes a decrease in the energy savings for this and all additional ECMs and hampers the economics of this project. Building Energy Profiles Characteristics of this school, including building envelope, internal loads and schedules, and HVAC characteristics were input into a computerized energy use simulation model, TRACE 600. This program was developed by the Trane Company and is widely accepted within the engineering industry as an excellent tool for evaluating energy use in buildings. Since the program performs the analysis on a calendar year basis, energy data for calendar year 1994 was used as the baseline. The annual energy use totals will vary slightly from the previous fiscal year's values presented in Figures 1 through 4. Figure 5 compares the actual energy use to that predicted by the computer simulation. The TRACE 600 model shows excellent agreement with the CY94 data considering the weather data is based on averaged data and not actual. Table I below shows that the computer simulation results are within five percent of the actual electricity and natural gas energy use.
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Figure 1
Figure 2
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Figure 3
Figure 4
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Figure 5 TABLE I COMPUTER SIMULATION COMPARISONS WITH ACTUALS Actual TRACE 600 Difference Electricity (kWh) 2,017,700 2,013,900 -0.2% Electricity Cost $120,800 $121,200 0.3% Natural Gas (Therms) 8,825 9,080 2.9% Natural Gas Cost $4,600 $4,500 -1.9% Figure 6 contains information on hourly demand data for the public school. It is interesting to note the high load during the unoccupied periods (120 kW). This is due to lights, AHUs, exhaust fans and miscellaneous electrical equipment. In Figure 7, the hourly demands for the subject school on a December day are shown compared to the computer model. The demand curves are very similar and show good agreement. Figures 8 and 9 show the breakdown of total annual energy use and costs, respectively, for the facility energy using equipment. Lighting and space cooling are the dominate end users accounting for one-half of the total energy use and 55 percent of the costs. The following is a discussion of each ECM that was recommended for implementation. Each ECM and its financial considerations are discussed. Recommended Energy Conservation Measures (ECMs) Energy Management System Energy management of HVAC and lighting systems is necessary to minimize the energy used by these systems. We do recommend this ECM and included the following: 1. Repairing and/or upgrading existing pneumatic controls and control valves for each air handling unit. 2. Repairing and calibrating all pneumatic thermostats in classrooms. 3. Supply and return air temperature monitoring. 4. Supply and exhaust fan control. 5. Add 18 pneumatically controlled pressure independent VAV boxes in the hallways on the second floor to correct over-supply of air when classroom boxes close down under low loads. 6. Perform test and balance procedures. 7. Implement the following ECMs 1a, 1b and 1c.
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Figure 6
Figure 7
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Figure 8
Figure 9
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ECM 1 - Ahu, Osa Damper and Lighting Scheduling Currently, the air handling units are running 24 hours a day, OSA dampers are disconnected, closed, or not supplying the proper amount of outside air. Lights are not on any disciplined schedules. An energy management system would optimize the operation of this equipment. Project Cost Energy Savings Cost Savings Simple Payback
$30,400.00 152,500 kWh $6,000.00 5.1 years
ECM 2 - Chiller Sequencing An electric/electronic chiller sequencing and lead/lag control panel is installed in the chiller plant. This panel is not operational. Through an energy management system, chiller sequencing would provide significant savings. Project Cost Energy Savings Cost Savings Simple Payback
$42,600.00 184,500 kWh $7,600.00 5.6 years
ECM 3 - Condenser Water Reset Condenser water reset allows us to change the condenser water return setpoint as the wet bulb temperature changes. For example, at certain times, this will allow us to take advantage of cooler condenser water temperatures which will reduce the chiller power requirements. Project Cost Energy Savings Cost Savings Simple Payback
$3,000.00 300 kWh $500 6.0 years
ECM 4 - Lighting System Upgrade Or Replacement Project Cost Energy Savings Cost Savings Simple Payback
$116,000.00 347,400 kWh $17,700.00 6.6 years
ECM 5 - Energy-Efficient Motors Energy-efficient motors were evaluated for AHUs and pumps with motors of five hp or greater. The average increase in efficiency for these motors was 8.5 percent. This ECM is recommended. Project Cost Energy Savings Cost Savings Simple Payback
$12,000.00 31,600 kWh $1,700.00 7.1 years
Results The table on the following page includes information on all ECMs that showed potential to warrant a detailed analysis. The implementation of these recommended ECOs. will reduce the school's annual energy and cost use by 39 percent and 33 percent, respectively. This reduces the annual energy use index from 71.1 kBtu/sf to 43.4 kBtu/sf. Figure 10 illustrates the effects of these energy savings measures by comparing the typical daily electricity demand profile before and after project implementation. Occupied period electricity demand is decreased by 25 percent and unoccupied demand levels reduced to minimal levels. The remaining off-hour energy use is essentially security devices and emergency lighting. Performance Contracting The entire cost of the project, $204,000, was offered to be financed at a six-percent interest over a ten-year period. This arrangement allowed for a positive cash flow beginning the first year and increasing throughout the ten-year period (see Figure 11). The first year benefit is $14,000 and increases to $29,000 by the end of the contract period. From the eleventh year on, the loan is paid off and the annual savings jumps to almost $60,000. This example illustrates the power and attractiveness of performance contracting. The facility owners receive benefits in the first year of the project with no capital expense outlay. Over the ten-year contract period, this amounts to a total benefit of $200,000 and $530,000 in 15 years. The terms of this contract are specified to guarantee 70 percent of the annual savings. Therefore, the institution is guaranteed $140,000 in savings over the contract period with no capital investment.
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Figure 10 GUARANTEED ENERGY PERFORMANCE CONTRACTING Energy Conservation Measures (ECM) Summary SAVINGS SIMPLE ECM DESCRIPTION (kWh) ($) NET SIR PAYBACK NO. COST 1 SCHEDULING 272,700$11,000 $30,400 1.7 2.7 2 SEQUENCING 223,700$10,900 $42,600 1.5 3.9 3 CNW RESET 9,800 $500 $3,000 1.4 6.0 4 EFFICIENT LIGHTING 347,700$17,700 $116,000 1.3 6.6 5 ENERGY-EFFICIENT 33,400 $1,700 $12,000 1.2 7.1 MOTORS TOTAL 887,300$41,800 $204,000 1.4 4.9
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UTILITY REBATE $0 $0 $0 $21,800 $0 $21,800
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Figure 11
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Chapter 68 Life Cycle Assessment of Utility Options at a Federal Facility G.L. Toole, R. Muschick, S. Balakrisshnan and R. Crane Abstract The utility options study addressed in this paper was conducted to identify the preferred option for providing a continued supply of electricity and steam for a Department of Energy (DOE) complex located in the Southeast US. This complex, which covers an area of 300 square miles, serves as a nuclear weapons material processing facility. Reliable steam and electrical supply is critical to the mission of the facility. The process requirements for this complex are served by a number of boilers located at various areas within the complex. These boilers are interconnected with 10- to 24-inch inter-area steam lines. The total capacity of all boilers exceeds 1.5 million pounds per hour of steam. The largest powerhouse supplies both steam and electricity for use at the site. It has four boilers of 330 kpph each and an electric generation capacity of 65 MW. In addition to being supplied with electricity cogenerated by the main powerhouse, the complex also purchases power from an adjacent power company. The main powerhouse has been in service for over 40 years and virtually all major equipment dates to the original installation. Numerous proposed upgrades have been deferred over the years as a result of budget constraints and priority considerations. Consequently, the main powerhouse is expensive to operate and difficult to maintain. Several technical and financial options were considered. This paper deals with the financing of the project and examines two of the recently evaluated options for the powerhouse. The paper concludes that the Federal decision-making process is complex, lengthy, and typically requires a continuous series of reviews and reevaluations of options. Development of Options The primary objective of the options study was to identify the preferred option for replacing/refurbishing the powerhouse. The preferred option is defined in the Utilities Planning and Management for Department of Energy Facilities manual and DOE Order 4540.1C as the option that minimizes the cost of the required utility service while, at the same time, minimizes the risk of inadequate supply and/or excessively high costs that could result from unexpected changes in usage or supply conditions. A utility options study must be comprehensive in its evaluation of the options available to a Federal facility. It should include both technical options and financing options. The options study must address a variety of questions before determining what options should be pursued, in comprehensive detail. Both internal and external factors must be considered. Some of the questions that should be answered are: Has there been a change in the mission of the site over time? Have site loads changed significantly over time? What is the forecast for site loads for the duration of the analysis? Have electric rates and fuel prices been escalating at the same pace? What is the forecast for electric and fuel prices for the duration of the analysis? What will be the effect of changing the fuel used for cogeneration? Is new technology available? Are new electric rate options available?
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Has new legislation been introduced that will impact any of the options? How does the impending deregulation of electric utilities impact the options? Is capital funding available? What are the other financing options available to the facility? The utilities options study described in this paper evaluated a wide range of options from both the technical and the financial perspectives. Here, discussion is focused primarily on the financial options considered. Analysis Steps The step-wise approach taken in this utility options study was: Development of a load forecast Determination of electricity and fuel costs Determination of the inflation and discount rates. and cost escalators Estimation of capital costs Estimation of O&M costs Estimation of plant performance parameters Selection of a plant operating strategy Simulation of plant performance Selection of a financing strategy Estimation of financial parameters Calculation of life cycle costs and unit steam and electricity costs. The first step in the study was to forecast the steam and electric loads at the site for a period of 20 years. The costs and performance parameters of the powerhouse were developed and input to the COGENMASTER model for the technical analysis of each option. The options were simulated under several load growth scenarios at five-year intervals over the forecast period. The technical results from the model were input to a spreadsheet model for the financial analysis. Technical Options A number of technical options will generally be available for any project. In the case of an existing cogeneration plant, these options may include: Refurbishing the cogeneration plant to extend its life and restore/improve its operating efficiency Replacing the cogeneration plant with a new plant of similar or better design Eliminating the cogeneration plant and installing a steam only plant Eliminating the cogeneration plant and installing distributed packaged boilers Considering alternative fuels for replacement options, and Changing operating procedures to dispatch the plant most economically. A wide range of technical options were evaluated in the utility options study. However, since the issue being addressed in this paper is the financing of the project, the technical options are not described here. Financing Federal Projects The traditional means of obtaining Federal funds for large, capital-intensive projects such as replacing or refurbishing a powerhouse are becoming more vulnerable to budget pressures and the outcome is unpredictable, as evidenced by the history of the project described in this paper. No less than three sources of Federal and private-sector funds have been pursued since the project was formally proposed to the Department of Energy in 1992. As of the publication date, this issue has still not been resolved. A significant influence in the funding of capital-intensive projects has been the Clinton Administration's challenge to the Federal budget process via the National Performance Review (NPR). Given the current state of flux, it is valuable to examine the major financing options now available. Federal utility projects can be financed from any of at least three sources of capital funds: Submission in the Federal budget Third-party Lease/Upgrade Energy Savings Performance Contracting (ESPC). The ease or difficulty of obtaining capital funds through any of these options is highly dependent on the project's compatibility with the sponsor Federal agency's overall mission, coupled with an ability to muster political support. For example, the Department of Defense has actively pursued private-sector ESPC contracts and developed cogeneration plants at nine facilities; however, the Department of Energy has not concluded any such negotiations to date. This can be attributed, in part, to differing procurement strategies although both agencies have relied on the same legislative authority granted by Congress. Despite these differences, most Federal agencies are likely to pursue similar financing options, as described below. Submission in the Federal Budget In this option, the project would be financed from Federal funds allocated by Congress in the Federal budget. In
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government, financing capital projects is a major task since public funds are involved and the guidelines are rigid. The most deliberate planning is often affected by the political process. Also, the process is lengthy. Early in each year, Federal agencies estimate what funds will be needed to conduct programs in the fiscal year that begins two years later. This process occurs before the agency submitting the request has a clear indication of overall budgeting priorities. A number of significant hurdles had to be overcome before the project was submitted for Congressional line-item approval in 1993. First, the project concept, preliminary design and cost estimate were documented; this yielded a number of products - the Conceptual Design Report (CDR), Key Decision (KD) package and Independent Cost Estimate (ICE). Next, the Federal funding sponsor formally validated all information provided and, based on a favorable review, added the project to its capital budget. Up to three additional KD reviews would normally be needed before capital funds are authorized. If the project's funding support later proved weak, it could be deferred, reduced in scope or undergo additional review by other priority-setting agencies such as the Office of Management and Budget (OMB). This process would typically be completed in three years or less. Third-Party Lease/Upgrade In this option, the powerhouse would be leased to a third party, and the Federal host would enter into an agreement for the supply of utilities and/or services. The third party would agree to invest in the plant, operate and maintain it, while selling steam and electricity at the contracted price for up to 10 years' duration. Currently, no Federal agency can contract for utility services for longer than 10 years, although contracts of up to 25 years' duration are allowed if the contract is structured as an ESPC agreement. In this financing option, large increases in delivered product costs being passed on to the Federal host should be avoided. The cost of the upgrades is borne by the operating budget in this financing option. In the current political environment, operating budgets are also being closely scrutinized and annual increases are being limited to the general rate of inflation or less. As a result, capital outlays for a lease contract are probably more suited for upgrades categorized as abnormal maintenance, rather than major refurbishment. Energy Savings Performance Contracting (ESPC) Many power developers are eager to construct and operate new powerhouses (producing electricity, steam, or both products) at government installations without the Federal host incurring any direct capital costs. A provision (Title VIII) in the 1986 Shared Energy Savings amendment to the National Energy Conservation Policy Act (NECPA) created this financing option for all Federal agencies. The basic contracting mechanism requires both developer and host to share in the savings, through a carefully benchmarked cash-flow scheme. While the amendment provides the only government long-term (up to 25 years) contracting authority at non-military installations, one provision restricts such power plants from selling excess power off-site. Unfortunately, it is the sale of electricity off-site that, in many cases, makes the venture economically viable. No new powerhouses using private-sector investment have been built at non-military installations to date. However, developers are generating electricity under ESPC agreements at nine military bases and selling any excess to local utilities. A NPR option titled, ''Save Costs Through Private Power Cogeneration (DOE07).'' proposes to amend NECPA to remove the restriction. Results of Life Cycle Analysis As mentioned earlier, several options and combinations of options were analyzed in the utility options study. Due to the lengthy process of obtaining funding for the project, new options needed to be evaluated and the analysis of existing options needed to be updated to reflect the latest available data each time a new request for funding was initiated. The results of two cases are shown here. One case is a Federally funded scenario, while the other is a third-party lease scenario. The capital costs, O&M costs, and cash flows of the two scenarios are described. Capital Costs In the Federally-funded case, a total discounted cost of $47.2 million would be required to be spent over four years. The third-party lease option would incur $61.4 million assuming a similar scope of work. Although project overhead costs would be lower in the third-party option, this option would require more expense for pollution control equipment because a third-party developer would be forced to re-certify the plant's emission permit and would be subject to more stringent emission standards. However, the capital cost of the third-party option would be amortized into the product rate and would not be seen as a lump sum requirement. An outstanding cash-flow advantage to the Federal host of pursuing internally-funded projects is the government's low cost of money (or alternatively, a low discount rate). In the last two years, Federal rates have fallen to 6% per year, while private-sector rates have averaged 10% and higher. Federally-funded projects do not incur the "opportunity" costs needed to satisfy a private developer's
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highly-leveraged rate of return. Lower discount rates tend to weight future savings in plant operating costs more heavily than capital costs. Leasing contracts are also possible. A local utility has recently proposed to amend its existing electric purchase contract with the Department of Energy to include the lease and operation of the existing powerhouse. Both steam and electricity would be "grandfathered" under current contracting authority, subject to regulation of the state public service commission. The lessee would agree to incur only minimal maintenance costs during operation of the plant until a replacement facility is built within five years. This option is attractive because it appears to match the facility's current needs for steam and electricity with the cost of maintaining appropriate levels of plant capacity (a large downturn in consumption has occurred since 1989). Although not evaluated in detail, the ESPC option offers similar advantages to the Federal host by amortizing plant upgrades through product rates. In this option, no lump-sum capital outlays are subject to scrutiny, as in the Federally-funded option. All costs can be paid by funds that are appropriated in the operating budget. Due to the magnitude of capital outlay needed to refurbish the existing powerhouse, an ESPC contract would likely be structured such that most of the savings would accrue to the developer in the contract's early years. In later years, a greater proportion of savings would be returned to the host after the debt load was reduced. Annual Operating Costs In the cases analyzed, three categories of annual operating costs were included. They were: Electric Purchases Fuel Purchases Plant Non-Fuel O&M The O&M costs were further subdivided into fixed, variable, and consumable expenses which accumulate in differing proportions throughout the year. Due to the complexity of modeling inter-related utility quantities over an extended period of time, use of a software tool such as COGENMASTER was necessary. The authors' recent experience has indicated that simpler models/tools, e.g., spreadsheets that attempt to model the dynamics of a cogeneration plant and a large variety of timevarying quantities (particularly steam and electric loads), may fail to accurately estimate O&M expenses. Table 1 shows an annual comparison of the total utility costs for two cases. The costs shown in this table are from the Federal perspective for both options. The costs incurred by the third party are reflected in the unit price of electricity and steam paid by the facility. TABLE 1 UNIT DATA AND COMPARISON OF COSTS FOR REFURBISHMENT OPTIONS Federally Funded refurbishment Third Party Operated Plant STEAM CONSUMPTION Facility Thermal Load klbs/yr 1,317,037 1,317,037 FUEL USE & COST Total Fuel Use mmBtu/yr 6,322,926 6,002,537 Total Fuel (coal) Use tons/yr 263,455 #N/A Total Fuel Cost 1995 $/yr 11,157,435 0 STEAM COST Total Steam Cost 1995 $/yr 0 17,483,666 ELECTRIC CONSUMPTION Purchased Electric kWh/yr 345,739,865 610,938,900 Energy Cogenerated Electric kWh/yr 265,199,035 340,000,000 Energy Cogenerated Electric kWh/yr 0 340,000,000 Energy Sold ELECTRIC COSTS Total Purchased Electric 1995 $/yr 9,478,064 24,610,667 TOTAL MAINTENANCE COSTS Fixed Maintenance Cost 1995 $/yr 3,936,569 300,000 Variable Maintenance 1995 $/yr 2,845,317 0 Cost Total Maintenance Cost 1995 $/yr 6,781,886 300,000 TOTAL OPERATING COSTS TOTAL fuel electric, 1995 $/yr 27,417,384 42,394,333 maintenance LIFE CYCLE COSTS Life Cycle Capital Costs 1995 $ 47,214,554 1,885,192 Life Cycle Operating 1995 $ 452,548,060 655,343,932 Costs TOTAL LIFE CYCLE 1995 $ 499,762,614 657,229,123 COSTS In general, the largest operating expense is related to fuel. Purchasing off-site electricity from a local utility is next in order of annual outlay, followed by plant O&M expenses. The Federal and third-party lease options incur similar costs in plant operation, but a Federal host would pay significantly more for purchased power under a lease agreement due to the contracting mechanism involved - essentially, all electricity generated by the plant would be sold off-site and all of the site's electric needs would be served by purchased power. One parameter affecting the results of this study is the plant "operating strategy," defined as the set of dispatching rules used to insure that steam and electric demand will be served at least cost. By design, the powerhouse is very flexible and can adjust to different load conditions in a variety of ways. The selected strategy, chosen after extensive parametric modeling with COGENMASTER, was to purchase electricity at the contract demand level and to follow any excess demand with the powerhouse while meeting the steam load at all times.
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Page 499 Cash Flows The cash flow and the computations of Life-Cycle Costs for the Federally-funded option is shown in Table 2, while that for the third-party lease contract is shown in Table 3. The tables show the annual capital outlays and annual electric, fuel and O&M costs. TABLE 2 LIFE CYCLE COST COMPUTATIONS FOR FEDERALLY FUNDED REFURBISHED POWERHOUSE (Thousand $) Total Operating Capital Outlays Electric Purchases Fuel Purchases Costs Year O&M 1995 1996
2,500 12,000
1997 1998
21,000 14,500
9,561
11,903
6,782
28,246
1999 2000
0 0
9,588 9,616
12,163 12,428
6,782 6,782
28,533 28,826
2001
0
9,644
12,699
6,782
29,125
2002 2003
0 0
9,672 9,700
12,976 13,258
6,782 6,782
29,430 29,740
2004 2005
0 0
9,728 9,757
13,547 13,843
6,782 6,782
30,058 30,381
2006 2007
0 0
9,785 9,813
14,145 14,453
6,782 6,782
30,711 31,048
2008
0
9,842
14,768
6,782
31,392
2009 2010 2011 2012 2013 2014 2015
0 0 0 0 0 0 0
9,870 9,899 9,928 9,956 9,985 10,014 10,043
15,090 15,419 15,755 16,098 16,449 16,808 17,174
6,782 6,782 6,782 6,782 6,782 6,782 6,782
31,742 32,100 32,464 32,837 33,217 33,604 34,000
6,782 6,782 6,782
34,403 34,815 35,235 3.00% 47,215 452,548 499,763
2016 0 10,072 17,549 2017 0 10,102 17,931 2018 0 10,131 18,322 Discount Rate for Life Cycle Costing: Life Cycle Capital Costs (1995 Thousand $): Life Cycle Operating Costs (1995 Thousand $): TOTAL LIFE CYCLE COSTS (1995 THOUSAND $):
This analysis highlights the relative unimportance of capital expenses, in terms of the Federal host's Life-Cycle Cost (LCC). In the Federally-funded option, shown in Table 2, less than 10 percent of total LCC is associated with capital; the remaining costs are incurred by electric purchases (28 percent), fuel (42 percent) and non-fuel O&M (20 percent). In the third-party lease contract, shown in Table 3, no lump-sum capital costs are incurred because the cost of plant refurbishment is amortized directly through product rates over a 20-year period. Note that the lessee's higher cost of debt (12 percent versus the government's 6 percent rate) results in significantly higher refurbishment costs, $170 million (including equity and debt repayment) compared to $47 million if Federally funded. As a result, the government's preferred option, based strictly on LCC criteria, is to obtain Federal funding and not lease the facility.
government's preferred option, based strictly on LCC criteria, is to obtain Federal funding and not lease the facility. TABLE 3 FEDERAL CASH FLOW FOR THIRD PARTY OPERATION AND LEASE OF REFURBISHED POWERHOUSE (Thousand $) Total Operating Capital Electric PurchasesSteam Purchases Costs Year Outlays O&M 1995 0 1996 0 1997 2,000 1998 0 24,825 15,807 300 40,932 1999 0 24,897 16,152 300 41,349 2000 0 24,970 16,504 300 41,773 2001 0 25,042 16,863 300 42,205 2002 0 25,115 17,231 300 42,646 2003 0 25,187 17,607 300 43,094 2004 0 25,261 17,991 300 43,551 2005 0 25,334 18,383 300 44,016 2006 0 25,407 18,783 300 44,491 2007 0 25,481 19,193 300 44,974 2008 0 25,555 19,611 300 45,466 2009 0 25,629 20,039 300 45,968 2010 0 25,703 20,476 300 46,479 2011 0 25,778 20,922 300 47,000 2012 0 25,853 21,378 300 47,531 2013 0 25,928 21,844 300 48,072 2014 0 26,003 22,320 300 48,623 2015 0 26,078 22,807 300 49,185 2016 0 26,154 23,304 300 49,758 2017 0 26,230 23,812 300 50,342 2018 0 26,306 24,331 300 50,937 Discount Rate for Life Cycle Costing: 3.00% Life Cycle Capital Costs ( 1995 Thousand $): 1,885 Life Cycle Operating Costs ( 1995 Thousand $): 655,344 TOTAL LIFE CYCLE COSTS (1995 THOUSAND $): 657,229 Conclusions The general conclusions that can be drawn from this study include: Federal decision-making is not a one-step process but typically requires a continuous series of reviews and re-evaluation of options Frequently, Federal project interests may be subordinated to larger political concerns The government's deficit reduction efforts will affect project outcome. A Federal host's LCC may be relatively less important now as a decision criterion. Options without front-end capital requirements are more attractive to Federal agencies -even though the LCC may be higher than other options.
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Chapter 69 Using Operational Cost Reductions To Fund Energy Conservation J.R. Smith Abstract Identifying operational savings such as reduced maintenance costs and repair services and reduction in repair materials are often overlooked when evaluating energy saving projects. By clearly identifying those costs/savings the evaluation of a project may allow for more energy conservation improvements to be implemented. This discussion will use a simple example of a lighting retrofits. A more complex example is followed up using a the lighting retrofit, a chiller replacements, energy management system and a mechanical system upgrades to more clearly demonstrate the process. Cashflow models will show the impact of ignoring and including these additional savings. Introduction Un-implemented Projects Many deserving energy conservation projects are not implemented because their energy savings are less than the required payback due to the lack of energy savings or the cost of energy is low. These energy conservation projects could be approved if they analyzed the project based on life cycle costing issues and the impact in the other operational areas. The primary goal of an energy conservation opportunity is to reduce operating cost with the secondary goal to reduce energy and thus reduce pollution. Facilities have many more system problems beyond using too much energy. For example, lighting projects have been implemented with out considering the impact on the HVAC system. Energy management systems have been attached to old inefficient equipment that has downtime, causing problems, and need to be replaced. Unfortunately the HVAC systems usually cannot generate enough pure energy savings to justify upgrading or replacement. The facts are many of the energy conservation projects are put in to replace worn out and obsolete equipment and the energy saving is only used to finance the upgrade. When the energy savings aren't enough to provide a positive cashflow the project is rejected. Other Factors Unfortunately when the projects are evaluated purely on their energy savings perspective, the projects are removed from consideration because of the lack of energy savings. Energy is only one of the operating costs that a facility has to contend with. The areas of concern both before the modification and after the modification should be: ·Energy usage ·Schedule Maintenance Unscheduled repairs maintenance and repair materials Outside services
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Page 502 Other considerations should be: avoided future capital cost improvements Asset value improvement Productivity improvements Environmental risk reductions (CFC issues) When reviewing any energy conservation project these area must be reviewed to clearly understand the true return on investment. Using a simple payback of 3 or 4 years as a criteria is a simplistic approach that usually results in not exploring opportunities that have extremely good return on investment over the long run. An Example Lets look at a simple example first that most readers are familiar with - a simple lighting renovation project Usually the project is reviewed on its energy saving merits alone. The true impact is that this retrofit includes replacement of older inefficient ballast's and redesign of fixture using reflectors and 1/2 as many energy efficient T8 lamps. In this example lets use 1000 2X4 - 4 lamp fixtures operating 2500 hours per year with an average hourly consumption cost of $0.06/hr. The renovation will convert the fixes to 2X4 - 2 lamp fixtures with Reflectors and T8 energy efficient Lamps and Electronic hallast's. Total renovation cost of the project =$100,000 (based on $100.00 per fixture) TABLE 1 10 year Energy Savings Investment Decision Current annual operating conditions System Modifications 480,000 kwh $28,800 205,000 kwh $12,300
Energy usage Project cost
Install ($100,000)
1
2
3
4
5
6
7
8
Net change $16,500 9
10
Savings Energy @4% Operational @4%
$0 $0
$16,500$17,160$17,846$18,560$19,303$20,075$20,878$21,713$22,581$23,485 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0
Costs Service @4% M&R @4%
$0 $0 net cashflow ($100,000) discount @ 8.00% Disc. Cashflow ($100,000) NPV=$29,674 IRR=13.79%
$0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $16,500$17,160$17,846$18,560$19,303$20,075$20,878$21,713$22,581$23,485 $15,278$14,712$14,167$13,642$13,137$12,651$12,182$11,731$11,296$10,878
Tables 1 and 2 breakdown the costs and savings of the opportunity based current cost vs the costs if the project is implemented. Notice that in Table 2 there is an additional net operational savings of $4,385. This is a 27 % improvement in the net savings scenario. Additionally the savings are 42 % better during the first two years because of the reduction in normal maintenance. Looking at it from a life cycle investment decision you can compare table 1 and 2. Using a conventional discounted cashflow approach the internal rate of return over a ten year project would be 13.8% using energy alone and 21.1% if you take into account the operational cost and saving factors.
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Page 503 Other factors not taken into consideration is the improvement of the buildings asset value due to the upgrade of the lighting fixtures. Any project should be broken down into the operational components to be sure that all costs of ownership have been examined. TABLE 2 10 year Lifecycle Investment Decision with Operational Costs and Savings Current annual operating conditions System Modifications Net change Energy usage 480,000 kwh $28,800 205,000 kwh $12,300 $16,500 Annual Lamp replacement 10001 $1,000 502 $ 100 $ 900 Ballast Failure 1003 $2,000 24 $ 80 $1,920 M&R Labor5 325 hrs $4,275 14 hrs $ 210 $4,065 outside services6 0 0 Relamping $2,500 ($2,500) Total $35,300 $16,505 $20,885 Install ($100,000)
1
2
3
4
5
6
7
8
9
10
Project cost Savings Energy @4% Operational @4%
$0 $600
$16,500$17,160$17,846$18,560$19,303$20,075$20,878$21,713$22,581$23,485 $7,200 $7,488 $7,788 $8,099 $8,423 $8,760 $9,110 $9,475 $9,854 $10,248
Costs Service @4% $0 M&R @4% $0 net cashflow ($99,400) discount @ 8.00% Disc. Cashflow ($99,400) NPV=$69,829 IRR=21.14%
$0 $0 ($2,500)($2,600)($2,704)($2,812)($2,925)($3,042)($3,163)($3,290) ($390) ($406) ($422) ($439) ($456) ($474) ($493) ($513) ($534) ($555) $23,310$24,242$22,712$23,621$24,565$25,548$26,570$27,633$28,738$29,888 $21,583$20,784$18,030$17,362$16,719$16,100$15,503$14,929$14,376$13,844
A more complex project might be the lighting renovation, chiller replacement, mechanical upgrade and Energy management system. Table 3 presents the energy savings analysis for this project. This project should look at the same categories of costs as the lighting renovation alone which are: Energy usage Schedule Maintenance Unscheduled repairs maintenance and repair Outside services TABLE 3 Category Energy Lighting Chiller Mechanical System Energy Management system Total
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Energy Saving Summary Table 3 Current annual operating System Modifications operating Net conditions conditions change $28,800 $12,300 $16,500 $55,000 $42,000 $13,000 $25,000 $19,300 $5,700 $65,000 $46,000 $19,000 $173,800
$119,600
$54,200
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Page 504 Table 4 present the investment analysis to determine the financial impact of the energy savings alone of the total project listed above. This summary takes into account savings during the installation period and reduction of the saving during the first year due to delayed cost saving impact such as electrical demand charge. Note that the energy savings alone generate only an internal rate of return (IRR) of 1% over the 10 year investment model. Base on the 8% hurdle rate we would have an investment loss or a negative net present value (NPV) of over $180,000. Based on this analysis this project would not be implemented except for the lighting portion. TABLE 4 10 year Energy Savings Investment Decision Install ($600,000) 1 2 3 4 5
6
7
8
9
10
Project cost Savings Energy @4% Operational @4%
$5,000 $0
$40,000$56,368$58,623$60,968$63,406$65,943$68,580$71,324$74,176$77,144 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0
$0 $0 ($595,000) 8.00% ($595,000)
$0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $40,000$56,368$58,623$60,968$63,406$65,943$68,580$71,324$74,176$77,144
Costs Service @4% M&R @4% net cashflow discount @ Disc. Cashflow NPV=($182,190) IRR=1.15%
$37,037$48,326$46,537$44,813$43,153$41,555$40,016$38,534$37,107$35,732
Table 5 is the operational cost/savings analysis generated from the same project. The operational saving s are the total current operational costs ($81,575). The maintenance and repair costs are the costs associated if the modifications are implemented. ( $12,000 for scheduled outside services plus $20,790 for the staff, material, and unscheduled maintenance costs). Again savings and costs associated with the installation year and first year of the 10 year investment have been adjusted. Table 6 presents the investment analysis and takes into account savings generated during the installation period and the reduce savings during the first year due to delayed cost saving impact such as electrical demand charge. Note, that the energy savings plus the operational saving improves the return on investment (IRR) to nearly 16% over the 10 year investment model. Base on the 8% hurdle rate we would have a net present value (NPV) of nearly $240,000. Based on this analysis this project should be implemented as a combined project and allow the lighting and operational saving to assist in the funding of the project. In conclusion I trust that this simple analysis has demonstrated the need and provided a model from which to analyze all operational saving based projects and that when evaluating the cost of a project not only will the operational cost be evaluated but also the operational saving also. Using a simple payback analysis neither provides a full analysis of the opportunity nor evaluates the expected life of the improvement. It also ignore the operational cost components necessary to maintain the integrity of the improvement.
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Page 505 TABLE 5 Category Current annual operating conditions System Modifications operating conditionsNet change Schedule Maintenance - Lighting $0 $0 $0 Chiller $12,000 $8,000 $4,000 Mechanical System $5,500 $4,500 $1,000 Energy Management system7 $4,800 $1,800 $3,000 Total $22,300 $14,300 $8,000 Unschedule Repairs - Lighting $4,275 $210 $4,065 Chiller $5,500 $600 $4,900 Mechanical System $5,500 $0 $5,500 Energy Management system8 $1,000 $0 $1,000 Total $16,275 $ 810 $15,465 maintenance and repair materials lighting $3,000 $180 $2,820 Chiller $17,000 $4,000 $13,000 Mechanical System $500 $500 $0 Energy Management system $0 $1,000 ($1,000) Total $20,500 $5,680 $14,820 outside services lighting9 $0,000 $4,000 ($4,000) Chiller $17,000 $4,000 $13,000 Mechanical System $5,500 0 $5,500 Energy Management system $0 $4,000 0 Total $22,500 $12,000 $18,500 Grand Operational Totals $81,575 $32,790 $56,785 TABLE 6 Install ($600,000)
1
2
3
4
5
6
7
8
9
10
Project cost Savings Energy @4% $5,000 Operational @4% $20,000 Costs Service @4% ($3,000) M&R @4% ($3,000) net cashflow ($581,000) discount @ 8.00% Disc. Cashflow ($581,000) NPV=$239,136 IRR=15.87%
$40,000 $56,368 $58,623 $60,968 $63,406 $65,943 $68,580 $71,324 $74,176 $77,144 $81,575 $84,838 $88,232 $91,761 $95,431 $99,248 $103,218$107,347$111,641$116,107 ($6,000) ($12,000)($12,480)($12,979)($13,498)($14,038)($14,600)($15,184)($15,791)($16,423) ($10,395)($20,790)($21,622)($22,486)($23,386)($24,321)($25,294)($26,306)($27,358)($28,453) $105,180$108,416$112,753$117,263$121,953$126,831$131,905$137,181$142,668$148,375 $97,389 $92,949 $89,507 $86,192 $82,999 $79,925 $76,965 $74,115 $71,370 $68,726
1 25% lamp failure @ $1.00 / Lamp 2 5% premature lamp failure rate @ $2/Lamp 3 5% Ballast Failure 4 Premature Ballast Failure 5 15 Minutes / lamp replacement and 45 minutes per Ballast replacement @ $15.hr 6 1/3 Global relamping beginning in year 3 @ 10 Lamps /hr &1.75/lamp 7 Energy Management generates additional labor savings by continuous monitoring. 8 Energy Management generates reduced emergency repair costs by early detection. 9 1/3 Global relamping beginning in year 3 @ 10 Lamps /hr &1.75/lamp.
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Chapter 70 Financing Performance Contracting M. Heller and F. Wainwright Introduction Every day spent by an organization without having installed the appropriate energy efficiency measures means lost savings and lost opportunities. Performance contracting is a sophisticated solution to this problem. As with any sophisticated system, there are elements of complexity to be managed. Therefore, communication, knowledge, and experience are essential for successful project completion. Definitions and Clarifications For the purposes of this paper, it is assumed that the energy services company (ESCO) is providing the energy conservation measures (ECMs) such as audit, design, installation, monitoring and maintenance for the customer and that a separate third party, such as a bank or investment company, is providing the capital for the project. Often times, energy services companies market themselves to customers as providing financing. In many cases, there is an independent financing source involved in the background. Alternatively, an ESCO can be a utility subsidiary which uses the utility's shareholder money to finance projects. For simplicity's sake, we will treat the ultimate source of capital for projects as a separate lender with its own guidelines. Financing Alternatives There are a variety of options for financing energy conservation projects. Some of the most common are: General Obligation Bond Specifically applicable to municipalities, these bonds are based on the general credit of a state or local government. The process is long and complicated, but interest rates are low. Municipal Lease Specifically applicable to municipalities, state entities and local entities. The lessor earns tax-exempt credit and the borrowing entity pays low interest rates. Commercial Loan This is a loan to the customer from a conventional bank based on the customer's assets and credit quality. This form of financing is rarely offered by typical finance companies or financial institutions for energy conservation projects requiting less than $5 million of capital. Taxable Lease There are a number of leasing vehicles with a variety of names such as: operating lease, capital lease, guideline lease, tax-oriented lease, and non-tax-oriented lease. The tax ramifications of leasing are often not well understood. Appendix A will help clarify some of those distinctions. Figure 1 will show the dynamics of the parties involved. It is important to note that in all of the categories listed above, the customer is directly obligated to make payments relating to the installed energy saving measures REGARDLESS OF PERFORMANCE of either the equipment or the ESCO. The customer may well have recourse under a separate contract to the service provider or equipment manufacturer, but will still owe under the financing instrument. The interest rate and any additional loan terms are based almost exclusively on the creditworthiness of the customer.
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Relative Benefits of Project Financing Many companies and government entities are undergoing severe budget cutbacks. When these entities are approached by an ESCO offering virtually no upfront investment and a guaranteed amount of savings, new possibilities are created for energy projects to be developed and completed. If structured properly, performance contract financing has the benefits to the customer of an operating lease i.e.. off-balance sheet treatment, with the added benefit of being non-recourse to the customer. By maintaining this financing out of its balance sheet, the customer can retain the use of available credit for expansion, research and development, additional inventory, or business emergencies. Basic Structure Performance contract financing from a lender's perspective is a challenging combination of business credit analysis and project evaluation. The project financing is structured as follows: (1) The ESCO contracts with the customer to provide energy conservation measures (lighting, variable speed drives, etc.) as well as ongoing services which may include warranties, handling and disposal of wastes, operation and maintenance of installed equipment, repair and replacement of measures, and measurement, monitoring and verification of savings. The Energy Services Agreement (ESA) is the foundational document upon which a lender will rely to confirm that the customer and ESCO have a clear understanding of all aspects of the ECM's being installed. The ESA incorporates a payment from the customer which is designed to cover the costs to finance the project as well as paying the ESCO for the services provided. (A sample ESA in included in Appendix B. Note that it is a guideline only. Be sure to have your legal counsel review any document before you authorize it. ) (2) The lender lends direct to the ESCO. The ESCO uses the funds to recoup its project development expenses and purchase and install the equipment. Repayment to the lender is made by the ESCO out of the funds paid to it by the customer. One variation is to create a single-purpose entity exclusively to hold the assets of the project financing. Because the loan is technically made to this entity, it has the added benefit of keeping the transaction off the balance sheet of the ESCO as well as the customer (see Figure 2). In addition, the lender can lend up to 95% of the project amount. Proposal Review The lender will analyze a proposed project with these questions in mind: Will the revenues generated by the energy savings, utility vice and compenand customer payments be sufficient to cover debt sersate the ESCO? Can the ESCO perform as required under its contract with the customer and/or the utility for the term contract? Are the risk allocations among all parties fair from both business and legal perspectives? Will the customer and/or the utility be able to meet its payment obligations for the term of the financing? The lender will want to see three years of audited financial statements; balance sheet, income statement and cash flow statement with explanatory notes from the customer. These will be used to make trend and financial ratio analyses. The ESCO's financial statements are also important and will receive a similar review. With utility payments and/or customer payments based on actual savings, the lender needs to make a thorough analysis of the projected savings of the energy conservation measures installed. The project figures (simple payback, types of equipment, maintenance savings if any, construction period) will be carefully reviewed to determine how the savings will cover the loan payments and to determine the effects of factors such as energy price fluctuations and inflation. Any information which the parties can provide early on in the proposal negotiation to make the lender feel more comfortable with these issues will save a tremendous amount of time, money and effort to all parties. Conclusion The key point here is that if an event of default occurs in the ESA between the ESCO and the customer which gives the customer the right to reduce or cease its payment obligation, it is the lender which is most at risk of suffering a loss. The lender must either be comfortable that the ESCO will cure the default or be confident that it can hire another ESCO to cure the project default and force the customer to resume payments. The lender is also at risk of the energy savings not being estimated or measured properly. Despite all of this, good projects are being funded and customers are extremely satisfied with the resulting benefits. Matthew Heller and Fred Wainwright are executives at Energy Capital Partners, based in Boston, Massachusetts. The firm specializes in financing energy conservation projects throughout the US.
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Appendix A Leasing Options Guideline Lease/True Lease/Tax-Oriented Lease Compliance with all of the IRS guidelines including those listed below is required: (a) the total lease term (including extensions and renewals at a predetermined fixed rate) must not exceed 80% of the estimated useful life of the equipment at the start of the lease. i.e.. at the end of the lease the equipment must have an estimated remaining useful life equal to at lease 20% of its originally estimated useful life. Also, this remaining useful life must not be less than one year thereby limiting the maximum term of the lease. (b) the equipment's estimated residual value at the expiration of the lease term must equal at least 20% of its value at the start of the lease. This requirement limits the maximum lease term and the type of equipment to be leased. (c) no bargain purchase option. (d) the lessee cannot make any investment in the (e) the equipment must not be ''limited use'' property. Equipment is limited use property if no one other than the lessee or a related party has a use for it at the end of the lease. equipment. Tax-oriented leasing is 100% financing. Guideline leases (Tax-oriented leases) may be either a capital lease or an operating lease for reporting purposes under Financial Accounting Standards Board Rule #13. Capital lease: A capital lease is one that fulfills any ONE of the following criteria: (a) the lease transfers ownership of the property to the lessee by the end of the lease term (b) the lease contains a bargain purchase option (less than fair market value) (c) the lease term is equal to 75% or more of the estimated economic life of the leased property (d) the present value of the minimum lease payments equals or exceeds 90% of the fair value of the leased property. The capital lease shows up on the lessee's balance sheet as an asset and a liability. Operating lease: An operating lease does not meet ANY of the above criteria for a capital lease. An operating lease is not booked on the lessee's balance sheet but is recorded as a periodic expense on the income statement. Sources: Accounting For Leases, Financial Accounting Standards Board Leasing and Tax Reform: A Guide Through The Maze, General Electric Credit Corporation A Handbook of Leasing, General Electric Credit Corporation
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Appendix B Sample Energy Services Agreement Note: Consult your legal counsel before authorizing any legal agreement. I. Term Sheet. The purpose of the Agreement is the evaluation, engineering, design, procurement, installation, financing and monitoring by ESCo of Energy Conservation Measures ("ECM's") at Customer's facility(ies) identified in Appendix A attached hereto ("Premises"). ESCo and Customer's (the "Parties") agree to the following terms pursuant to which this Agreement shall be performed: 1.EXECUTION DATE: 2.TERM OF AGREEMENT: years after ECM Commencement Date) 3. LOCATION: 4.OWNERSHIP OF PREMISES: Project Figures Preliminary Estimates 5. ESCo PERCENTAGE OF ENERGY SAVINGS: 6. PROJECT TOTAL CAPITAL COST ($ 000): 7. ECM COMMENCEMENT DATE: 8. VALUE OF FIRST YEAR ENERGY SAVINGS ($): 9. CUSTOMER FIRST YEAR PAYMENT TO ESCo (line 5 X line 8) ($): 10. CUSTOMER FIRST YEAR MONTHLY PAYMENT (line 9 12) ($): 11. CUSTOMER FIXED MONTHLY PAYMENT (OPTIONAL): Please Initial CUSTOMER
Final Installed Figures
ESCo
Final Installed Figures appearing in the right-hand column above shall be completed in accordance with Section V and the Parties shall then re-execute the Agreement below and enter their initials above. As indicated in TERM # 11 above, upon completion of any determinations required by Section V, Customer shall have the option to fix its monthly payment to ESCo, as required under Section VI, by multiplying One Hundred and _______ Percent (1__ %) of ESCo's Percentage of Energy Savings by the Final Installed Figure for the Value of First Year Energy Savings and paying such product to ESCo each year in twelve (12) monthly payments ("Customer Fixed Monthly Payment"). Customer shall indicate its exercise of such option by initialing the appropriate line below. Except as set forth in this Agreement, such monthly payments shall be due and payable each month of this Agreement from and after the month in which the Commencement Date occurs and shall be made by Customer without regard to the amount of Energy Savings in any such month or year. Any excess of Energy Savings over the Final Estimated Value of First Year Energy Savings shall be retained by Customer. Customer's Fixed Monthly Payment shall not be revised except as may be specifically required in accordance with the terms of this Agreement. ESCo: (business organization) By: By: (entity) By: By: (name)
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Its: Its: (title)
(title)
Acceptance of Final Installed Figures ESCo: (business organization) By: By: (entity) By: By: (name) Its: Its: (title)
Customer: (business organization)
(entity)
(name)
(title)
Customer Acceptance of Fixed Monthly Payment Accepted
Not Accepted (please initial)
II. Definitions. When used in this Agreement, the following terms shall have the meaning specified: 2.1 Agreement: This Agreement between Customer and ESCo. 2.2 ESCo's Percentage of Energy Savings: The percentage of Energy Savings ESCo shall receive as compensation for its services under this Agreement, subject to Customer's option to fix monthly payments set forth in Section I, paid to ESCo in accordance with Section VI and Section VII. 2.3 Current Market Value of Energy Savings: The total market value rate expressed in r/kWh of electrical energy use and/or $/kw of electrical demand imposed by the Utility company in the current monthly period then occurring, or in any future monthly period then being considered, including applicable taxes, surcharges and franchise fees, if applicable. The Current Market Value of Energy Savings shall be determined in accordance with Appendix C. 2.4 ECM Commencement Date: The ECM Commencement Date shall be the date on which the installation of the ECM's is substantially complete. Prior thereto, ESCo shall give Customer a Notice of Substantial Completion and shall therein identify the ECM Commencement Date, which shall occur no sooner than fifteen (15) days after such notice. 2.5 Energy Audit Report ("EAR"): The analysis performed by ESCo of the electric energy use by Customer at the Premises, and the potential for electric energy savings. Such analysis includes, without limitation, the ECM's recommended by ESCo and agreed to by the Parties for installation at the Premises and the Measurement Plan for measuring the savings estimated to result from such ECM's, all as attached hereto and made a part hereof as Appendix B. 2.6 Energy Conservation Measure ("ECM"): The various items of equipment, devices, materials and/or software as installed by ESCo at the Premises, or as repaired or replaced by Customer hereunder, for the purpose of improving the efficiency of electric consumption, or otherwise to reduce the electric utility costs of the Premises. 2.7 Energy Savings: Electric energy reduction (expressed in kilowatt-hours of electric energy and/or kilowatts of electric demand and measured in accordance with the Measurement Plan) achieved through the more efficient utilization of electricity resulting from the installation of the ECM's agreed to by the Parties under this Agreement. 2.8 Measurement Plan: The plan for measuring Energy Savings under this Agreement which shall be in accordance with the requirements of the Utility Agreement and shall be a part of the Energy Audit Report attached as Appendix B hereto. 2.9 Monthly Period: A span of time covering approximately 30 days per month, corresponding to Customer's billing period from its electric utility. 2.10 Party: Customer or ESCo. Parties means Customer and ESCo. 2.11 Premises: The buildings, facilities and equipment used by Customer, as identified in Section I and as more fully described in the attached Appendix A, where ESCo shall implement the Project under this Agreement. 2.12 Project: The complete range of services provided by ESCo pursuant to this Agreement, including evaluation, engineering, procurement, installation, financing and monitoring of ECM's at the Premises.
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2.13 Uncontrollable Circumstances: Any event or condition having a material adverse effect on the rights, duties or obligations of ESCo, or materially adversely affecting the Project, if such event or condition is beyond the reasonable control, and not the result of willful or negligent action or omission or a lack of reasonable diligence, of ESCo; provided, however, that the contesting by ESCo in good faith of any event or condition constituting a Change in Law shall not constitute or be construed as a willful or negligent action, or a lack of reasonable diligence. Such events or conditions may include, but shall not be limited to, circumstances of the following kind: a. An act of God, epidemic, landslide, lightning, hurricane, earthquake, fire, explosion, storm, flood, or similar occurrence, an equipment failure or outage, an interruption in supply, an act or omission by persons or entities other than a Party, an act of war, effects of nuclear radiation, blockade, insurrection, riot, civil disturbance or similar occurrences, or damage, interruption, or interference to the Project caused by hazardous waste stored on or existing at the Project site; b. strikes, lockouts, work slowdowns or stoppages, or similar labor difficulties, affecting or impacting the performance of ESCo or its contractors and suppliers; c. a change in law or regulation or an act by a governmental agency or judicial authority. 2.14 Utility Agreement: The agreement entered into by ESCo with__________, a_____ public utility company ("Utility"), pursuant to which ESCo is required to install certain ECM's at facilities such as Customer's Premises and in accordance with the terms of which ESCo has entered into this Agreement. III. ECM. Commencement Date and Term of Agreement. The term of this Agreement shall commence as of the date on which this Agreemere is executed and shall continue, unless sooner terminated in accordance with the terms hereof, for the period of years after the ECM Commencement Date set forth in Section I. Upon receipt of the Notice of Substantial Completion identifying the ECM Commencement Date, Customer shall provide ESCo, within fifteen (15) days, any comments and requests for work or corrections. ESCo shall make all commercially reasonable efforts to respond to such comments and requests within thirty (30) days of the ECM Commencement Date, which shall occur on the identified date. Upon the expiration or termination of this Agreement, the provisions of this Agreement that may reasonably be interpreted or construed as surviving the expiration or termination of this Agreement shall survive the expiration or termination for such period as may be necessary to effect the intent of this Agreement. At the end of the term of this Agreement, Customer shall purchase the ECM's and ESCo shall transfer title to Customer, free and clear of all liens and encumbrances, all as set forth in Section 6 of the General Terms and Conditions. IV. Scope of ESCO's Services. Subject to and in accordance with the terms and conditions of this Agreement, ESCo shall provide the evaluation, engineering, design, procurement, installation, financing and monitoring of the ECM's set forth in the Energy Audit Report. The ECM's in the EAR may be modified pursuant to Section V. ESCo shall use reasonable commercial efforts to achieve the ECM Commencement Date estimated in Section I, line 7, column entitled, "Engineering Estimates". ESCo agrees to extend its funds and install such ECM's in return for Customer's agreement to perform hereunder and in particular, to pay ESCo's Percentage of Energy Savings pursuant to Section VI. The Parties anticipate the measurement of Energy Savings, but notwithstanding this expectation or any provision of this Agreement which may suggest to the contrary, in light of the factors affecting savings which are beyond ESCo's reasonable control, ESCo assumes no obligation that any particular level of savings shall materialize due to its services hereunder. ESCo warrants that the ECM's which have a lifetime greater than one (1) year shall be, and shall remain, free of defects for one (1) year after the ECM Commencement Date. In addition, ESCo agrees to assign all manufacturers' warranties for such ECM's to Customer for the period of manufacturer warranty, subject to all exclusions and limitations as may be set forth therein. V. Determination of Final Terms. After the execution of this Agreement, if the Parties agree to revise the ECM's listed in the EAR, and to make all associated revisions to this Agreement, including, without limitation, to the numbers or dates, as the case may be, entered in the column entitled, "Engineering Estimates", appearing in lines 5 through 11 of Section I, the Parties shall, upon such agreement, make any associated revisions and enter in the column entitled, "Final Installed Figures", the agreed to numbers and/or dates. The Parties shall then re-execute Section I upon the entry of such numbers and/or dates and ESCo shall revise the Termination Values in Appendix D consistent with Appendix D and the Final
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Installed Project Total Capital Cost then appearing in line 6 of Section I above. All such revisions shall be voluntary and the Parties shall not be required, absent mutual consent, to revise the ECM's listed in the EAR after the execution hereof; provided, however, ESCo shall not be required to install ECM's affected by Uncontrollable Circumstances. Such ECM's shall be deleted from the Project unless the Parties agree to all necessary changes to the Project numbers and/or dates required to adjust to such circumstances. Changes to Project numbers and/or dates in connection with Uncontrollable Circumstances shall be entered by ESCo in the column entitled, "Final Installed Figures", in lines 5 through 11 of Section I. The Parties shall then re-execute Section I and ESCo shall revise the Termination Values set forth in Appendix D consistent with Appendix D and the Final Installed Project Total Capital Cost then appearing in line 6 of Section I. VI. Compensation. From and after the ECM Commencement Date, except as provided in Sections I and VII with respect to Customer's option to fix monthly payments, Customer shall pay ESCo an amount equal to ESCo's Percentage of Energy Savings, as set forth in Section I above, multiplied by the applicable Current Market Value of Energy Savings, all as determined pursuant to Appendix C. ESCo shall prepare and send Customer, and Customer agrees to pay, a monthly invoice calculated pursuant to Section VII below. VII. Billing. ESCo will submit monthly invoices to Customer in amounts determined in accordance with Section VI. In the event Customer exercises its option under Section I to fix its monthly payments to ESCo, Customer shall pay to ESCo the Customer Fixed Monthly Payment defined in Section I. If Customer does not exercise such option, monthly payments shall be estimated as set forth in this Section VII and paid on such estimated basis, subject to reconciliation as provided hereinafter. Monthly invoices shall be paid within thirty (30) calendar days following receipt. Reconciliation payments, or refunds, as the case may be, shall be due within thirty (30) calendar days of receipt of a reconciliation invoice. Subject to reconciliation, invoice amounts shall be estimated for each year following the ECM Commencement Date. In the first such year, monthly payments shall be one-twelfth of the product of ESCo's Percentage of Energy Savings and the Current Market Value of Energy Savings expected in such first year as set forth in line 8 of the column entitled, "Final Installed Figures" in Section I above. Such freed amounts shall be reconciled and adjusted as necessary every six (6) months based on the difference between the Current Market Value of Energy Savings measured pursuant to Appendix C and the estimated value then applicable. ESCo shall prepare and submit to Customer a reconciliation invoice within thirty (30) calendar days of the expiration of each such six month period. The estimate of the value of Energy Savings then in effect at the end of any year shall continue until replaced with reconciled amounts in the succeeding year. In the second year and following years, the estimate of the Current Market Value of Energy Savings expected in such year shall equal the expected value (in nominal dollars for the billing year in question) of the Energy Savings actually delivered in the prior year. VIII. Notices. All notices to be given by either Party to the other shall be in writing and must be delivered or mailed by registered or certified mail, return receipt requested, or sent by a courier service which renders a receipt upon delivery addressed as set forth above in Section I or such other addresses as either Party may hereinafter designate by a Notice to the other. Notices are deemed delivered or given and become effective upon mailing if mailed as aforesaid and upon actual receipt if otherwise delivered to the addresses set forth in Section I. IX. Applicable Law. This Agreement and the construction and enforceability thereof shall be interpreted under the laws of the state of ___________________________________. X. Final Agreement. This Agreement, together with its appendices and attachments, shall constitute the full and final Agreement between the Parties, shall supersede all prior agreements, communications and understandings regarding the subject matter hereof and shall not be amended, modified or revised except in writing. This Agreement shall bind the Parties as of the date on which it was executed. Any inconsistency in this Agreement shall be resolved by giving priority in the following order: (a) Amendments to the Agreement, in reverse chronological order; (b) the Agreement, Sections I through XI; (c) General Terms and Conditions of the Agreement; (d) Appendices to the Agreement; and (e) Attachments to, or other documents incorporated into, the Agreement.
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XI. Incorporation of General Terms and Conditions: THIS AGREEMENT IS SUBJECT TO THE GENERAL TERMS AND CONDITIONS ATTACHED HERETO AND MADE A PART HEREOF. IN ADDITION, THE PERFORMANCE OF THIS AGREEMENT BY ESCo IS SUBJECT TO THE PROVISIONS OF THE UTILITY AGREEMENT. IN WITNESS WHEREOF, and intending to be legally bound, the Parties hereto subscribe their names to this instrument hereinabove in Section I as of the date of execution first written above. Summary of General Terms and Conditions Section 1. Operating the Premises and Maintaining the Use of the ECM's. Section 2. Equipment Location and Access. Section 3. Construction. Section 4. Ownership of ECM's. Section 5. Condition of ECM's. Section 6. Transfer of the ECM's. Section 6.1. Material Shortfall in Energy Savings. Section 6.2. Customer Purchase Option. Section 6.3. Purchase Upon Customer Default. Section 6.4. Expiration of the Term. Section 6.5. Transfer Without Encumbrance. Section 7. Requirements of Utility Agreement. Section 8. Insurance. Section 8.1. Insurance on the Premises and the ECM's. Section 8.2. Risk of Loss of the ECM's. Section 8.3. ESCo's Insurance Requirements. Section 9. Hazardous Materials and Activities. Section 10. Events of Default. Section 10.1.Events of Default by Customer. Section 10.2.Events of Default by ESCo. Section 11. Remedies Upon Default. Section 11.1.Remedies Upon Default by Customer. Section 11.2.Remedies Upon Default by ESCo. Section 11.3.Limitation of Remedies. Section 12. Representations and Warranties of Both Parties. Section 13. Compliance With Law and Standard Practices. Section 14. Assignment. Section 15. Taxes. Section 16. Severability. Section 17. Effect of Waiver. Section 18. Usage of Customer's Records. Section 19. Air Emission Rights, Credits or Allowances. Appendices: "A"Description and Address of Customer's Facility(ies) "B"Energy Audit Report and List of ECM's "C"Method of Savings Calculation "D"Termination Values "E"Requirements of Utility Agreement
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Equipment Lease/Direct Financing
Figure 1
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Shared Savings/Peformance Contracting
Figure 2
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Chapter 71 Energy Solutions with Performance Based Contracts C. Kane Introduction Performance contracting has the potential to be a "win-win" solution on many fronts - efficiency, environmental improvement, capital investment, employment, innovation, financing and energy conservation. In the evolving deregulated energy marketplace, performance contracts will provide an attractive tool to meet these multiple objectives. However, the performance contract is a relatively new, long term and complicated commercial agreement which requires care, attention and knowledge in its preparation and execution. In preparing performance contracts which avoid litigation and disputes, the focus must be on "risk identification" and "risk sharing" between the parties. Risk sharing involves allocating risks to the party who is in the best position to control that risk. In addition, a process must be included for collaborative dispute resolution and teambuilding. This paper will address the following topics concerning managing the risks in performance contracting. The parties to the performance contract must invest the time, energy and resources necessary to prepare, negotiate and implement these agreements or the problems will quickly outnumber the successes. With proper care and up-front planning, there is no reason that performance contracting cannot become a major component in tackling difficult energy, environmental and economic problems successfully. Why Use Performance Contracting? Energy and environmental retrofit projects will receive much more attention in coming years. Efforts to save energy in the federal government are dictated by the Energy Policy Act of 1992. Furthermore, compliance deadlines under the Clean Air Act Amendments of 1990 will increase the value of energy conservation. Trends in using environmental externalities in the electrical generation planning process will also promote energy savings alternatives. The use of performance contracting should play an increasing role in meeting all these challenges, as a way for Owners to avoid making capital expenditures and only paying for performance. The definition of a performance contract is one in which the Owner contracts with a single entity which has all the responsibility for design, equipment procurement, installation, operations and maintenance. The main advantages of this arrangement are as follows; l) the single source of responsibility; 2) guaranteed performance of the project; and 3) payment based on performance through the energy savings. Design-build or "turn key" contracting is often implemented in performance contracting. As such, all design and construction responsibilities are placed with a single entity. The engineer and builder typically enter into a joint venture or subcontract arrangement and the resulting single entity contracts directly with the Owner. As with any emerging industry, the new opportunities will attract unqualified and uninformed entrants. Owners must beware in evaluating, selecting and contracting with the Energy Service Company (ESCO). This paper addresses some of the legal and contractual aspects of managing the risks associated with performance contracting. It must be understood in order to achieve the goals successfully. Traditional Approach to Contracting In the traditional 'approach to capital improvement projects, project Owners have attempted to define their needs with the assistance of an engineering firm. The needs are spelled out in detailed plans and specifications
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and the work is then bid and awarded on the basis of low bid price and lump sum contract documents. This process in the public construction arena was thought to save money. Too often however, these savings are illusory. When applied to an area such as energy efficiency retrofits, this traditional approach is less effective. Where the Owner produces the design, there is very little room for innovation and input on the part of the Contractor. Rather, the Contractor is left with a road map that, if followed, takes the Contractor off the hook, whether the project performs or not. The performance contract does just the opposite. The performance contract requires the Contractor to achieve certain results and leaves the route he chooses (the design) up to him within certain limits. Performance contracting also puts the financial burden on the Contractor by providing his payments through the energy savings over a period of years. There is a fundamental distinction in government contract law between projects based on "design specifications" and those based on "performance specifications". This distinction needs to be considered in outlining the requirements of performance contracting. A "performance specification" with defined parameters would typically be involved in the agreement between the Owner and ESCO. More detailed ''design specifications" would normally be developed for the subcontract agreements between the ESCO and its subcontractors and suppliers. This warranty of the Owner applies only to "design specifications". In general, "design specifications" provide in precise detail the material to be employed and the manner in which the work is to be performed. The Contractor consequently is not free to deviate from the specifications. In contrast, "performance specifications" merely set forth an objective and call upon the Contractor to use its own ingenuity to achieve the desired end. By definition, design-build contracting uses "performance specifications". "Turn Key" Contracts In design-build or turn key contracts, the Owner outlines project requirements and the Contractor warrants that what he designs and builds will satisfy those requirements. Therefore, all of the Owner's requirements, standards of quality, and life cycle costing must be incorporated into its solicitation or first phase of design development and then negotiated into the final performance contract. Design-build puts the maximum risk on the Contractor in terms of project costs and guarantees of performance, reliability and availability. Accordingly, the Owner has less control over the product. Qualified Contractors, with a competent team including design, construction and equipment elements, can control their risks in addition to obtaining a higher margin on the work. On the other hand, the Owner risks higher initial contract costs but reduces downstream risk over the course of the project. The trade off is the Owner's loss of control over the design details of its project. One way to minimize risks to the Owner and the Contractor is to involve the design-build Contractor earlier and set up a two phase process. The first phase involves communication of the Owner's requirements for details and quality standards while allowing the Contractor to develop a better basis for determining his price. The Contractor is paid for this first phase of design development/preconstruction services before going on to the second phase of guaranteed pricing and construction. In this way, the price and the Contractor's risk can be reduced in addition to giving the Owner more influence over the design. Owners sometimes attempt to shift certain design responsibilities to the Contractor by using "catch all" scope of work language even when using design specifications. Contractors are thus, required to pay the costs for missing design details which they probably were not able to price in their bids. In the design-build context, a different problem sometimes occurs when the Owner attempts to retain too much control over the design during construction. Either situation is likely to result in increased disputes and therefore, whoever has control over the design should bear the risk of performance. Risk Allocation All performance contracts involve risks: risks in the building design, time, cost, quality and performance of the project. Over the years, the parties to the design and construction process have focused increasingly on "risk shifting" and "risk avoidance". This aversion for taking responsibility is both a product of and contributing factor to the current litigious nature of the construction industry. To avoid litigation and disputes, the focus must be on "risk sharing". Risk sharing involves allocating risks to the party who is in the best position to control that risk. Once allocated, risks must be managed throughout the performance contract. A summary of performance contract risk management is included in Table 1. Recent construction industry studies indicate that contracts which attempt to shift to Contractor, risks over which they have little or no control, are not cost effective. These risk shifting contracts are ineffective because they; 1) reduce Contractor competition, 2) increase prices due to increased Contractor contingencies, and 3) increase costs and reduce efficiency due to increased project disputes. These studies have concluded that imposition on parties of risks which they cannot manage and control is a primary cause of disputes.
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TABLE 1 MANAGING PERFORMANCE CONTRACT RISKS MANAGING PERFORMANCE CONTRACT RISKS PHASE I SELECTION OF ESCO PRELIMINARY PROJECT PLANNING PREQUALIFY BIDDERS PREPARE DETAILED RFP SITE VISITS BY BIDDERS EVALUATE AND SCORE PROPOSALS PHASE II ENERGY AUDIT CONTRACT FOR ENERGY AUDIT ENERGY AUDIT AND PROPOSAL REALISTIC RISK ALLOCATION PHASE III PERFORMANCE CONTRACT CONTRACT NEGOTIATION OR REBIDDING TEAMBUILDING COLLABORATIVE DISPUTE RESOLUTION Among other things, risk shifting clauses tend to create an adversarial relationship from the very start of a project. Walls are built rather than bridges and the odds for legal conflict increase greatly. In contrast, when risks are shared equitably, the need to operate defensively is eliminated and the odds for conflict are greatly reduced. Working relationships become more cooperative and less adversarial. Performance contracting must include such realistic risk allocation, which involves the identification and allocation of risks in three key areas; 1) Hardware Related Risks (including construction costs, equipment performance, engineering/technical risks and operating and maintenance risks); 2) Building Functional Risks (including occupancy risks, establishing base year data, and building control risks); and 3) Energy Price Risks (including fuel options, total cost of fuel considerations, energy savings, and energy escalation risks). Hardware Risks In performance contracting, hardware related risks are invariably within the control of the ESCO. Therefore, these risks should be allocated to the ESCO. The ESCO also has the ability to pass these risks down to its subcontractors and suppliers by drafting clear and comprehensive subcontract agreements. The ESCO through its design responsibility is also in control of the performance of the project Thus, his payment is based on performance by passing on to him energy savings. The ESCO would be well advised to be conservative on these performance guarantees when setting up the performance contract. Recent studies have indicated efficiency projects frequently fall short of stated savings projections. Therefore, some experience or contingency factors should always be applied. Building Functional Risks These risks, to some extent, involve shared control by the ESCO and Owner. The ESCO will, in all likelihood, have participated in the development of the base year data and also will be involved in building control risks. Most ESCO's will remain involved with operations and maintenance and will have input into building control requirements. The Owner typically, will have control over occupancy and therefore, should bear the risks of occupancy to the extent it negatively impacts energy savings. On the other hand, if one floor of the building becomes unexpectedly vacated, the ESCO should not be permitted a windfall for the positive effect on savings. Appropriate language and formulas should be included in the contract to account for these contingencies and address how they will be dealt with. Every performance contract should contain schedules of requirements that address the following functional risk areas; Standards Of Comfort Owner/ESCO, O&M Responsibilities Facilities Changes Checklist Baseline Energy Consumption Energy Price Risk Energy price risk is one that neither party has control over. Therefore, it is appropriate to share this risk between the parties. One way to do this is to have the ESCO assume the risk of the energy price, down to a certain minimum figure over the life of the contract. The Owner then would share the risk of energy prices escalating up, with a cap on the up side risk. Thus, the Owner receives some of the benefit in savings from energy price increases on the up side and the ESCO is protected at a certain minimum level on the low side. The Selection Process The Owner's biggest risk is in the competence and financial stability of the ESCO it is dealing with. If the Owner is looking for some level of competitive prices in selecting its project, it must have a process that insures it ends up contracting with a reliable entity. This process
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involves a series of safety nets to maximize the chances for a successful project with little or no adverse impact on the Owner's business or activities. Some recommended aspects of the process are highlighted below. Prequalification There must be an effort to narrow the field of proposers to eliminate the riff raft and only allow entities to propose who would be worthy of contracting. At a minimum, this process should require a detailed prequalification application, listing the following information; Years in Business Relevant Project Experience Projected and Achieved Savings Current Projects in Process Design, Equipment and Installation Resources Financial References/Resources Business References History of Litigation/Claims Credit Report Number and Experience Level of Employees Insurance and Bonding Information Once submitted, these prequalification forms should be evaluated and scored in order to select the three to five proposers that should be allowed to proceed in the process. It is very important in the prequalification process to actually call references and explore the results of past projects. In the case of a government entity, prequalifing bidders may not permit a significant narrowing of the field and therefore, a two phase procurement process can be used. Multi-Phase Procurement In soliciting performance contract proposals, the Owner may have a specific retrofit already identified or may want to explore all options in order to maximize savings. In either case, some limited form of energy audit in the form of a site visit must be permitted by the potential proposers. Based on the solicitation and the energy audit, a technical proposal should be required as the fast phase of the procurement process. The technical proposal should list the selected energy conservation measures along with a range of potential savings. In addition, the technical proposal should identify with specificity, the make up of the project team describing design, equipment, installation, and O&M components. In particular, the key staffing for each function should be identified along with resumes. At this stage also, if a prequalification has not already been conducted, all prequalification information should be provided as discussed above. Again, the Owner should develop a weighted point evaluation system to provide a ranking of the proposers based on the technical proposal. Based on this evaluation, there may be one obvious choice to proceed with or there may be two or three. If time permits, any proposers from the short list should be permitted to perform a further evaluation/energy audit prior to the final phase of price negotiation. From this, a selected candidate should be identified for final contract negotiations. The final price negotiation should be done with as much specificity of the equipment, scheduling, interface and coordination requirements as possible since all these factors will effect the price. Even though this is a performance contract, the more specificity that can be established prior to contracting, the better for the Owner. Changes to a performance contract by the Owner can be very costly and jeopardize the benefit of its bargain. Scheduling requirements, in particular, need to be laid out especially if the Owner has continuing use of the facility. Contract Negotiation and Administration Both parties need to feel invested in the final contract agreement. There should be a discussion and clear understanding of the terms and conditions by all the participants before the contract is executed. Contract negotiations should not be performed in the mail. Face to face, extended discussions pay dividends in the long run in building trust and understanding. To the extent clarifications and changes to the contract can be made, they should be made in the final negotiations. Contracts are defined as a ''bargained for exchange" and to be a viable contract, that bargaining must take place. It is also important in managing risk that both parties make a commitment to the administration of the contract. An individual needs to be identified by the Owner to insure that the Owner meets its obligations under the contract, in particular, with regard to providing information, access, and scheduling which will be required for any project to be successful. Scheduling of the work needs to be closely coordinated between the Owner, the ESCO and the ESCO's subcontractors. In like manner, the ESCO needs to identify a single project manager to be the contact in all matters with the Owner. Important Contract Provisions In addition to identification, allocation and management of risk, certain key contract provisions are essential in preparing effective performance contracts. A few of these clauses are discussed below. Payment This is the most critical and distinct element of a performance contract. It is also a provision that ESCO's consider very proprietary. Therefore, not much is publicized on the variations of payment schemes and financing mechanisms for performance contracts. Each project team will participate differently in the financing
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developed for a given project. Some team members will be willing to take payment strictly from energy savings and some will not. Some large equipment suppliers may be inclined to take on financial and performance responsibilities to get an advantage over their competitors. The financing entities will also have various requirements geared toward the specific contract. Owners will also differ in how much up front funding they may be willing to contribute. At a minimum, Owners should take responsibility for payment of the detailed energy audit if the project does not go forward. Beyond that, Owners should look to the ESCO for creative payment and financial mechanisms since this is a principal advantage to the Owner in using performance contracting. Warranties Even though the ESCO is assuming the risk of performance, it is only for a fixed period of time. The contract must give the Owner a guarantee that the equipment will perform at a given level and be as specified or shall be repaired or replaced by the ESCO. This warranty must be for at least 12 months from completion of the project and should also include a second level of warranty throughout the period the ESCO is to operate and maintain the equipment. The Owner should make certain that these warranty obligations are passed down to all subcontractors, suppliers and designers and that the warranties run to the Owner. Other representations should be included in the text of the contract. One in particular is that the project will not require the Owner to hire additional personnel or purchase any additional equipment which is not specified in the contract. For example, if a project included a new sophisticated computer automation and monitoring system requiring a full time operator, operator costs beyond the ESCO's period of performance should be considered in the contract price. Scheduling and Delays Most energy conservation and environmental retrofit projects are going to take place in existing facilities which may be occupied while the work is being performed. HVAC system modifications will have to be carefully coordinated in order to minimize disruption to operations. The scheduling and planning effort must be performed by the facility's management and the ESCO and written into the contract. Most performance contracts will have a "time of the essence" clause, which means that delays are a significant concern to the parties. Thus, the contract should have milestones and a specific end-date. The Owner should make certain to incorporate some flexibility or float in the schedule so that some unanticipated problems can be absorbed without delaying the project. Time is money from the ESCO's point of view. Delays in installation will delay utility savings and will ultimately delay his compensation. The use of liquidated damages is one way to incentivize the parties to perform. Liquidated damages are based on a reasonable forecast of what a party's damages might be if it is delayed. Those amounts are then written into the contract as the sole and exclusive remedy for unexeusable delays. There are normally three categories of delays in construction contracts; 1) excusable, non-compensable, 2) excusable, compensable and 3) non-excusable. The scheduling clause should define the delay categories which normally would be as follows: 1. Excusable, .Non-Compensable. These include such things as acts of God, war, trade embargo and similar delays which neither party can control, typically referred to as "force majeure". Therefore, a party would get an extension of time in which to perform its contract The delayed party would have no liability for liquidated damages but also no entitlement to additional costs which it may have incurred because of the delay. 2. Excusable, Compensable. These are delays to one party caused by factors within the control of the other party, such as the Owner denying the ESCO access to equipment or work space when it was scheduled, thereby delaying the ESCO's performance. To the extent the delay has caused the ESCO additional cost, he may be entitled to those costs (or if liquidated damages are provided, entitled to liquidated damages). 3. Non-Excusable. These are delays within the control of the party being delayed. For an ESCO, such things as lack of skilled or sufficient workman, equipment delivery delays or simply slow performance, would be included. With such delays, the ESCO must accelerate and still complete on time or be liable to the Owner for liquidated or actual damages. Insurance and Bonding In this age of lawsuits and business failures, minimum insurance coverages should be contractual requirements in every contract. Owners should require that the ESCO's and their subcontractors carry general liability insurance, workmen's compensation and errors & omissions insurance if engineering design is involved. A cost-benefit analysis should be performed in order to justify the types and amounts of insurance coverage. Whatever is required, should be spelled out in the contract. The Owner should also require that it be named as an additional insured on the policies and that it be provided copies of certificates of insurance before the ESCO starts work. Bonding is a requirement on federal projects above a certain dollar amount. Normally, payment bonds are
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provided for the benefit of subcontractors and suppliers. Performance bonds are provided for the benefit of the Owner to insure that if the ESCO does not perform, the surety will step in. Even in private work, Owners should consider requiring bonds from the ESCO, especially for larger performance contracts. Requiring bonds will cost the Contractor a little more but he can easily roll the cost into his financing. ESCO's who are bondable, typically will be more substantial and financially viable then those who are not. Furthermore, payment bonds can eliminate some of the Owner's potential exposure to mechanic's liens by unpaid subcontractors and suppliers as discussed below. Mechanic's Lien Waivers In every state, mechanic's lien statutes have been enacted for the benefit of those who furnish labor and material improvements to property (other than state and federal). Every state is slightly different in terms of the procedural requirements and the extent of this right. In a nutshell, if someone provides labor or material to a project and is not paid, he can lien the property and force the Owner to pay off its lien or face potential foreclosure and sale of the property to satisfy its lien. Owners, to the maximum extent permitted by law, need to include waiver of these mechanic's lien rights in then' performance contracts with the ESCO's and contract that the ESCO will require its subcontractors and suppliers to similarly waive those rights. Under performance contracts, the risk of payments to subs and suppliers should lay with the ESCO, since the Owner never controls the financing. If mechanic's lien rights are not waived and a payment bond is not provided by the ESCO, an unpaid lighting supplier, for example, could lien the job when the failure of payment was strictly the ESCO's. Legal counsel should be consulted in draft g any such provision. In some states, it is void as against public policy to waive mechanic's lien rights in advance of payment. Indemnification These clauses are always of great interest to the lawyers and insurance agents when battling over contract terms. Normally, the Owner attempts to maximize the Contractor's duties to indemnify while the Contractor will try to minimize those duties. Studies indicate that 90% of the disputes between Contractors and Owners under indemnity clauses involve suits by Contractor employees against the Owner. Most worker's compensation laws bar suits against the employer (Contractor) and therefore, the Owner becomes a convenient "deep pocket". The state of the law is confused on these provisions. If the parties can recognize the problem as a work place injury problem and deal with it as such, the situation becomes simplified. The Contractor should be required to give the Owner complete protection against suits by Contractor employees who are barred by the worker's compensation laws from suing the Contractor. This risk is insurable and therefore, the Contractor should be willing to assume the full risk of the Owner's liability at least up to the limits of the insurance without regard to the Owner's partial negligence. Most courts will enforce this type of indemnity provision if clearly limited to work place injuries. However, the same result can be achieved even more effectively by requiting the Contractor's insurance to cover the Owner for this limited risk. This framework places the risk on the one most capable of controlling that risk. The Contractor is not only in the best position to prevent injuries in the work place, but also to handle resulting litigation. Termination A termination provision should describe the circumstances for which the contract can be canceled, and how payments will be made upon cancellation. All government contracts will typically have a termination clause based on 1) the Contractor's default or 2) the convenience of the Owner. Most public contracts will include a termination for convenience clause which allows cancellation for virtually any reason, but also provides for payment of costs incurred up to the point of cancellation, plus a reasonable amount of overhead and profit. A provision should also be included in any termination for convenience clause, specifically excluding any liability for loss of anticipated profits. A termination for default provision is necessary for every performance contract. The problem is usually agreeing to what will constitute default. A typical listing of default events might include the following; 1. Failure to maintain specified standards of comfort, after notice and a failure to correct the situation; 2. Any representation or warranty made by the ESCO in the agreement which is false or misleading; 3. Failure to furnish and install equipment within times specified; 4. Any lien or encumbrance filed by a subcontractor or supplier, and 5. Failure to pay any subcontractor or supplier in a timely manner, without reasonable justification Upon a termination for default payment by the Owner for work performed should be severely restricted. Payments should not be required until the Owner has been permitted
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to complete the work and also has assessed all its damages with respect to the default. Delay costs, interruption of business, cost to complete the work, attorney's fees and other related costs are costs the Owner is entitled to upon default. The default provision should make it clear that any work performed prior to the default automatically becomes the property of the Owner. Problems may arise in performance contracting if the ESCO financing entity has a security interest in the equipment provided. At least, if the proposed contract contains a properly written default provision, such issues will be identified and resolved during the contract negotiation process. Dispute Mitigation The dispute resolution procedures of the past relied too heavily on the "adversarial" processes such as litigation or binding arbitration. To be successful on projects in the future, greater emphasis must be given to multiple stages and more "collaborative" processes for resolving disputes. The collaborative process relies on the parties working out the solution to their problems, sometimes with outside assistance. What follows is a brief discussion of dispute resolution methods that should be considered. Teambuilding Teambuilding on projects creates mutual trust and respect for the various roles necessary for the implementation of performance contracts. One teambuilding concept currently being promoted and achieving positive results is called "Partnering". While the contract establishes "legal" relationships, the Partnerhag process attempts to establish ''working" relationships through a mumally-developed, formal strategy of commitment and communication. Partnering creates an atmosphere that avoids disputes. A Partnering workshop is conducted in the early stages of the contract with the purpose of establishing and implementing the key elements of Partnering. These key elements include; 1) commitment from top management, 2) a sense of equity by developing win/win thinking, 3) trust among the parties and 4) the development of mutual goals and objectives. Although the elements appear self evident, unless these concepts are specifically addressed at the outset of and during a project, the adversarial and punitive ways of the past will creep back into the relationship. The Partnering process continues throughout the project addressing problems head on and early on. One major point on Partnering is that it does not throw the contract or the specifications out the window. Standing Neutral One of the most effective techniques for resolving disputes that may arise on complicated projects such as energy conservation or environmental retrofit would be to use a standing neutral. The contract can be written to require the parties to mutually agree on a third party expert to be available throughout the project and act as an arbitrator of disputes. As disputes arise, the parties are required to present the dispute to the neutral who can quickly render a nonbinding decision concerning the dispute. The decision can be accepted by the parties or used as a basis for negotiation. This process allows for real time, third-party expert opinions on issues in order to facilitate timely resolutions. Mediation Described as the "sleeping giant" of alternative dispute resolution in the early 1980's, mediation has awakened and is quickly increasing in acceptance. The American Arbitration Association reports that of all cases referred to it for mediation, at least 80% settle. Within the last two years, mediation has been recommended in certain standard form agreements by the American Institute of Architects, the Associated General Contractors and the Engineer's Joint Contract Documents Committee. Mediation is an extremely flexible settlement tool. The parties to a dispute agree to bring in a neutral third party to assist in finding a mutually acceptable resolution. The mediator's only role is to guide the parties towards settlement. No authority is granted to the mediator to render a binding or a nonbinding decision on the merits. Rather, the mediator serves to schedule and structure negotiations, acts as a catalyst between the parties, and serves as an assessor - but not a judge of the positions taken by the parties during the course of negotiations. With the parties' consent, the mediator may take on additional functions such as proposing solutions to the problems. Nevertheless, as in traditional negotiation, the parties retain the power to resolve the issues through an informal, voluntary process, in order to reach a mutually acceptable agreement. Having agreed to a mediated settlement, parties can then make the results binding. Arbitration and Litigation Every contract should have a binding final dispute resolution process. In private contracts, binding arbitration and litigation are still the most prevalent avenues. Each remedy has its proponents and its critics. However, if you incorporate some of the dispute avoidance and resolution mechanisms outlined above, there should be little need for the more costly and time consuming adversarial processes. The threat of either arbitration or litigation can provide a powerful incentive for the parties to negotiate and retain control.
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Conclusion Performance contracting has the potential to be a "win-win" solution on many fronts - efficiency, environmental improvement, capital investment, employment, innovation, financing and energy conservation. However, the performance contract is a relatively new and complicated commercial agreement which requires care, attention and knowledge in its preparation. The parties to the performance agreement must invest the time, energy and resources necessary to prepare, negotiate and implement these agreements or the problems will quickly out number the successes. With proper care and up-front planning, there is no reason that performance contracting cannot become a major component in our arsenal for tackling the difficult energy, environmental and economic problems that we are facing this decade. References 1. "Improved Construction Contracting for the 1990's," Power Engineering, By V. Frederic Lyon and Christopher Kane, June 1991. 2. "Performance Contracting for Energy and Environmental Systems," By Shirley J. Hansen, Ph.D., 1992. 3. "Energy Performance Contracting for Public and Indian Housing - A Guide for Participants," U.S. Department of Energy and U.S. Department of Housing and Urban Development, February 1992. 4. "Mitigating Construction Contract Disputes," Public Utilities Fortnightly, By Christopher Kane, July 1992. 5. "Teambuilding," Independent Energy, By Christopher Kane, April 1993. 6. "Managing Project Risks Through a Teambuilding Approach," Energy Engineering Journal, Vol. 91, No. 5, By Christopher Kane, 1994. 7. "Financing Federal Energy Efficiency Projects," FEMP, DOE, April 1995.
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Chapter 72 Utilities: Emerging Opportunities in Performance Contracting G.W. Wood Abstract Many utilities are struggling to decide on the types services they want to offer their large commercial and industrial customers. A&C Enercom is often consulted to help utilities develop packages of services for these customers. Many of the utility services being developed for the large commercial and industrial sectors include those offered by a performance contractor. These services, including engineering assessments, design, construction management, and financing can be offered by utilities in a total turnkey approach with repayment on a paid-from-savings, or performance contracting, basis. Historically, utilities have used performance contracting companies (also referred to as energy service companies or ESCOs) to fulfill demand-side management obligations to regulators. Although many of these contracts have been successful, the utilities often have mixed (if not outright negative) feelings toward the performance contractors. These often adversarial relationships stem in part from the lack of utility control over an ESCO's relationship with its largest commercial and industrial customers. In many cases, a utility is concerned that the ESCO will follow-up the lighting or motor retrofit program with a cogeneration or other load reduction program. There is, however, an opportunity for utilities to take the knowledge and experience of the performance contracting industry they helped create and apply it toward the challenges they face in the emerging competitive marketplace. What type of performance contracting could utilities offer their customers? What customers are the ideal target for such services? What kind of culture change is needed within utilities to support the development of these services? How could such services complement existing utility products/services such as electricity sales, metering, and equipment maintenance? Although no one can know just where the utilities and their regulators will take the industry, nearly everyone agrees that it will become more competitive
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Utilities: the Current Situation It's happening nowutilities' largest C&I customers are buying their electricity elsewhere. Some of these customers are installing their own power generation equipment (cogeneration), some are partnering with their communities and "municipalizing," and still others are already wheeling power from other sources. Utilities find themselves in a defensive and reactive position. They are hastily forming new rate options or contesting the latest cogeneration offer or, in the worst case, struggling to hold on to power sales for just a portion of a facility. A&C Enercom, through its TRITECH business group, possesses a great deal of experience in helping utilities that face these often defensive positions. Our experience gives us a unique insight into why utilities have been surprised, how this situation might be avoided in the future, and how to turn this experience into the development of a new business. A brief examination of the causes of market changes and utilities' past lack of preparedness would be helpful in understanding the platform from which utilities can launch new business opportunities. UtilitiesA Dramatically Changing Marketplace Increasing competition is forcing the utility industry to undergo enormous changes. The factors driving this increase competition include regulation, alternate power generation, and customer demands. These changes are forcing utilities to wrestle with their current core competencies and identify, those needed for future survival. Regulation. Recent government deregulation started with the Federal Energy Policy Act of 1992 which allowed wholesale transmission of power. This action was followed by the impending retail wheeling experiments in a number of states. A form of retail wheeling is already occurring in a number of communities. In these cases, a large industrial customer joins with the local town officials to create a new municipal electric or gas utility serving only the city or town. Once declared a municipal utility by vote of the town and regulators, the new utility can buy "wholesale" power that can result in as much as a 30% reduction in energy costs. Alternate Power Generation. Cogeneration equipment sited at a customer's facility often produces a lower cost for electricity and the required thermal energy. The increasing number of operating and planned cogeneration facilities at customer sites has caused many utilities to develop special rate optionssometimes as much as 20% less than current industrial rates. Customer Demands. Virtually every major industry journal is writing about the coming age of retail wheeling and the new-found power of their readers, who can now pressure their utilities for rate concessions. Our utility clients get customer calls every day asking for "competitive" rate options. Many utilities now have these rate options for customers who can document a serious intention to install cogeneration or enter a municipalization agreement with their local community. Each of these factors contribute to customers' unhappiness with their existing utility service. The principle reasons utilities are often surprised by their customers' unhappiness include the lack of solid relationships with a customer's decision makers and an inadequate understanding of the customer's needs. Until recently, the message from utility management to field sales representatives has been to service each account, not "mine" the account for business opportunities. This atmosphere has led to the current "reactive" sales culture. The reactive service representative responds only to the call for metering, billing, power quality, or sub-station problems. Rarely does this representative probe for other concerns and opportunities. In addition, they often have great relationships at the wrong level in the customer management hierarchy. The utility representative typically knows the facility maintenance supervisor, the shift foreman, or billing manager very well. They have been on a first name basis with these folks for yearsbut rarely has this rep attempted to develop relationships with the key decision makers at senior levels. This type of customer relationship is no longer acceptable in a competitive marketplace. It is clearly not an acceptable relationship for utilities wanting to develop new products and services. Changing the Culture and What's Next? There is now a broad reaching attempt in nearly every utility across the country to radically change the culture within the utility sales and customer service departments. Utilities want to change the business atmosphere from a reactive, non competitive to an aggressive, sales driven culture. Nearly all utilities have restructured sales management, restaffed their sales departments, and developed new sales training programs. There is no question but the attention
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to customer needs, especially in the large C&I sectors, is improving. Although the culture change is far from complete, work has begun. Once utilities begin to make these changes, they start to focus on the next step: "How do we capitalize on our relationships with customers and diversify,' our business into other products and services?" A&C Enercom /TRITECH believes that performance contracting (or its component parts) can be one of many valueadded services that utilities offer to their customers... and those in other utility territories. Why? Because all of these new activities lead to new business opportunities, including increased energy sales. Why Should Utilities Offer "Value Added" Services? Utilities that begin the transformation NOW from regulated monopolies to competitive service providers will be better prepared for the upcoming competitive power/service marketplace. Some other benefits of adding services include: Increased sales of energy New significant center of revenue and profit Support retention efforts Aid in culture change for utility Begin staff training before the arrival of full access with current customers The remainder of this paper explains how performance contracting or its component services can enhance utilities' ability to create and offer successful value-added services. In addition, they will build customer relationships, increase revenue, and possibly create new, unregulated services. First, we should define what we mean by performance contracting. Performance Contracting: a Definition Performance contracting involves the turnkey installation and financing of equipment with extended payment for these services based on "performance." The equipment, often installed to reduce net energy costs or improve productivity, will have some preagreed upon mechanism to document results. The performance results, whether estimated or metered regularly, will form the basis for calculating periodic payments to the contractor by the customer. For example, a utility wants to take a customer's large lighting project and retrofit it to energy efficient lighting. This action would result in a 3,000,000 kWh reduction in electricity consumption and give the customer the same light level. If the utility engaged a performance contractor, this company would typically bear all the costs for this installation and take the risk that the energy savings levels will remain for as many as 10 years. The utility will pay the performance contractor only on a measured basisthe measurement frequency and methods will be agreed upon by the utility, the customer, and the performance contractor. Should the savings level drop, then the payments to the performance contractor will also drop (hence the term performance and paid from savings). This same approach has been applied to much more complicated technologies such as major process improvements, variable frequency drives on motors and energy management systems. Performance contracting includes many discrete parts that can be custom packaged for each customer. These services, in a rough chronological order, include: Preliminary and detailed facility assessments Cash flow analysis Meter installation Performance specification Detailed engineering design Bidding Equipment installation Commissioning Financing Maintenance Ongoing metering and billing Utilities have an opportunity to apply these services, as a package or individually, to support their reactive customer retention activities as well as the proactive sales growth opportunities. Understanding the current relationship between performance contractors and utilities is helpful when thinking about how a utility department or unregulated subsidiary could offer these services. Performance Contractors and Utilities: the Current Relationship Hundreds of megawatts of energy efficiency have been installed as a result of the "block bid" DSM programs of the 1980s and 1990s. In these relationships, the performance contractor or ESCO contracts with the utility to install a block of energy efficiency projects and agrees to be paid based on documented kWh or kW savings. These contracts, typically lasting 5 to 10 years, are structured around meeting annual minimum construction milestones and annual savings levels. Once an ESCO has installed a block of energy savings in multiple customer
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facilities, the utility then has the rough equivalent of a power generating station except megawatts of savings are being ''generated" at a lower cost than a new power plant could. It has been this kind of contract that has nurtured the growth of the performance contracting industry, which is now responsible for hundreds of millions of dollars in construction. Some would argue that independent of performance contracting offered by energy management controls companies, the utility block bids are the sole reason for the existence of ESCOs. Although often successful in meeting the DSM targets set by regulators, utilities have found the relationship with ESCOs to be less than satisfying in advancing the development of strong relationships with their large C&I customers. Some critics would say that the utility representative has been excluded from the transaction between the customer and the ESCO (see figure below). This, in many cases, has created an adversarial relationship between the utility and the ESCO. There is now an opportunity however, to build on the experience gained from "Block Bid" ESCO services and craft a series of programs to be offered by the utility.
We often recommend that our utility clients repackage the beneficial parts of the ESCO "bundle of services" and offer these components to customers directly and eliminate the ESCO as a "middle man" (see figure below). Utilities can offer assessment, design, financing, and construction services themselves to promote load growth, retention, energy efficiency, and ultimately profitability. The experience gained in building just such services will also prepare a utility's sales and service staff members to compete for customers in other utility service territories.
The Emerging Opportunity: Utilities Will Meet Their Customers' Needs Via Performance Contracts Market research conducted by A&C Enercom's TRITECH, coupled with a heavy dose of common sense and experience, reveal a number of large customer needs that could be fulfilled by a utility performance contracting type service. These customer needs include: Identifying, designing, and installing electric and gas technologies Load management services such as standby generation and direct load control Manufacturing and environmental assessments End-use pricing Power services such as power conditioning and power factor correction Multiple metering services Energy brokering (in the future) Financing District heating and cooling systems These services could be provided by a team of technologists, project managers, financiers, and developers. This team can take a customer need, prequalify the opportunity, and develop a full services package. While this package of services is attractive, many are already being offered in the marketplace.
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What Is the Utilities' Competitive Edge? Utilities enjoy a unique position in the overall energy marketplace, one that provides a strong competitive advantage for offering a full range of services to large C&I customers. These competitive advantages include: Customer name recognition and trust Utilities are (and some portion will continue to be) regulated Most utilities already own their power generators; other players do not Access to capital Existing support services infrastructurethey are ready to go Lead generation (customers already asking for services) "One stop shopping." Utilities are able to offer diverse but related services from one company. Marketing Performance Contracting Services Through Two Channels Utilities could use two approaches to deliver a performance contracting type service: the first is through the regulated side of the business (usually residing in the C&I sales and/or service departments). In this approach, a customer need such as chiller replacements would be identified by the utility sales representative and brought to an team of engineers and developers both from in-house and third party. This team, generally a separate group under the sales and/or marketing department, would assess the opportunity for equipment replacement and enhanced electric or gas sales and present a preliminary proposal to the customer. The second approach, increasingly popular with utilities, is to create a separate company under the unregulated side of the company that would offer the same bundle of services but not as part of the regulated sales team. Here, the sales representative would follow a similar in-house path in developing a prospective opportunity, but the technical and development support would come from a separate corporate entity. There are several advantages to this approach including: Separate, competitive culture from the regulated utility Separate accounting system Freedom to develop projects off the system that could be future utility customers Company is not ratepayer based and as such not subject to certain regulations Freedom to develop many types of end-use pricing "bundling" Easily integrated into the utility "family" of services
How Does a Utility Start a Performance Contracting Company? With a lot of help! There is a great opportunity, a strong customer need, and a very optimistic outlook for future growth in servicing the large C&I sector with performance contracting services. Three strategies can be employed to develop this capability: 1) grow the business "organically," or from the ground up, 2) manage from within the utility but use outside services during start-up, and 3) acquire companies that currently have performance contracting capabilities and a track record. Organically grown performance contracting will require from 12 to 30 months before they begin to turn a profit. Our biggest concern with this approach is that while the utility is developing this capability, other utilities may be stealing their customers with their own team of developers, technologies, and contractors. The second strategy, that of developing a performance contracting capability through creative partnerships with select service firms, could begin to turn a profit in as little as 12 months. In this scenario, the utility maintains control of the new service or company but can, through a service provider, offer full performance contracting capability on day one. These third parties can also conduct a methodical, account by account review to assist the sale representative in "mining" the opportunities in each of the larger customers. A program that is custom-designed for each utility's number and type of large C&I
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customers is often the most successful approach. Here, the utility staff works closely with the third parties and both learn through formal classroom training and onthe-job training. Keeping the service or new business flexible enough to respond to changing demands of the marketplace is also imperative. The third strategy, development through acquisition, offers the same "day one" delivery capability and the potential for immediate profitability depending on the terms and cost of acquisition. Care must be taken to carefully integrate new services into existing ones and to maintain proper control over the newly acquired company. However the new service is developed, it must be flexible enough to respond to diverse needs. One industrial customer may need manufacturing assessments for expanded production capacity, another customer may need power quality testing, another is interested in fuel switching for paint drying, and another may be studying cogeneration. The challenge is to offer this wide range of services while maintaining profitability. The Customer Energy Service CompanyCESCo The opportunities are excitingutility representatives are now walking into industrial customers' facilities with the capability of identifying, installing, and financing process, environmental, resource efficiency, or HVAC improvements. Utilities are profiting by offering these turnkey services and by frequently obtaining additional electricity or gas sales. These same utilities are fine-tuning their energy services and contracting with large customers in other service territories. The time to develop energy services capability for large C&I customers is now ..... while utilities still have their customers. George Wood is a Director of TRITECH, a division of A&C Enercom serving utilities and their large commercial and industrial customers
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SECTION 8 FEDERAL ENERGY MANAGEMENT PROGRAMS
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Chapter 73 New Ways of Doing Business in the Federal Sector: Energy Savings, Performance Contracting and More M. Ginsberg Abstract Progress has been made in recent years in reducing energy use in the Federal sector. However, a significant opportunity remains to save up to $1 billion annually in Federal expenditures by improving the energy efficiency of Federal buildings and other Federal facilities. The Federal Energy Management Program (FEMP) has proposed a number of innovative methods for realizing the full potential for reducing Federal energy use. They involve new methods of project financing; partnerships with utilities, energy service companies, industry, and states; information exchange; and technical assistance. FEMP is also initiating specific projects at Federal locations. Although the challenge is great, the approaches developed by FEMP will help achieve the national goals of lowering the cost of government and meeting the needs of U.S. citizens. Introduction The Federal Government remains the largest energy user in the United States, consuming 1.73 quadrillion British Thermal Units (Btus) in 1994. The energy required for buildings, transportation, facilities, and operations to provide essential services to U.S. citizens, including the defense of the Nation, represents approximately 2.0 percent of all the energy used in the country, and an annual cost of approximately $8.1 billion. These data and the information that follows are from preliminary reports submitted by agencies to the Federal Energy Management Program (FEMP) for the 1994 Annual Report to Congress on Federal Energy Management. Despite its being the largest energy user, the Federal Government is also the largest energy reducer. Since the baseline year of 1985, the 29 agencies reporting their energy consumption have reduced their net energy use by 16.5 percent and the nominal cost of that energy by 22.8 percent. This means the cost of government was $2.4 billion less in 1994 than 1985 due to reduced energy costs. In constant 1987 dollars, this equals a decrease of 42.2 percent, from $11.1 billion in FY 1985 to $6.4 billion in FY 1994. During the one-year period from FY 1993 to FY 1994, net energy consumption decreased 3.1 percent, reducing the Federal energy bill almost $900 million. Another way of measuring progress is by plotting consumption against Federal agency goals. Ten agencies have already exceeded the FY 1995 goal of a 10 percent reduction in energy use. Three agencies, the Departments of Energy and Justice and the Federal Emergency Management Agency, have achieved a 20 percent reduction, thereby exceeding the government's goal for the year 2000. Despite these considerable signs of progress, there remain significant energy-reduction opportunities in the Federal sector, although the full potential (estimated to be $1 billion annually) is unlikely to be achieved if the government continues at the current pace with "business as usual" or even with program downsizings imposed by Congress. (As this is being written, FEMP and the various Federal agencies face severe reductions in energy management capabilities.) New ways of doing business need to be asserted and incorporated into the way government operates. These new practices must build upon the Energy Policy Act of 1992 (EPACT); and Executive Order 12902, issued by President Bill Clinton in March 1994. To achieve the full potential of $1 billion in annual energy cost reductions, innovations are needed in project financing,
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partnerships, information and outreach, and technical assistance. Those needs can be characterized in the following ways: * Project financing must incorporate simpler ways to utilize private sector investments and make them commonplace, good business practices and standard operating procedures in Federal procurement. FEMP intends to move beyond the expression, ''innovative financing," and emphasize the business-like practice of "project financing." * Strong and effective partnerships must become standard practice as we address the scope of this challenge. No one party can achieve these ambitious results alone. FEMP and the agencies must work together closely as well as with utilities, energy service companies, industry, and states. * Agency and facility managers must have the most current, technically correct information with which they can make informed investment decisions regarding energy efficiency. FEMP will significantly increase its information and outreach and technical assistance programs to help agencies make those choices. New Approaches In addition to the hard work being carded out by agency and facility energy managers, new approaches are needed to build on their successes to date and to achieve the full potential of energy efficiency in the Federal sector. Many of you may have heard me talk before about these issues and I am proud to say we have built a strong foundation to serve as the basis for launching "a new way of doing business in the Federal sector." Today, I will describe how FEMP intends to integrate energy efficiency into the way government operates and provide needed funding, partnerships to sustain our momentum, motivation to act, information and outreach, and technical assistance. Let me be clear. This will not be an easy task and FEMP cannot do it alone. I hope to lay out a compelling plan of action to achieve these significant national goals. When we succeed, not only will the Federal Government reduce its own energy costs $22 billion by 2020, but we will lead the effort to ensure that sound energy decisions become standard business practices. We will help introduce new energy efficient products and employ tens of thousands of hard-working Americans in the effort. In short, we will set a good example and make the government work better and cost less. Project Financing Every business executive understands it takes money to make money. If we can invest approximately $6 billion over the next ten years (with two-thirds coming from the private sector), the government stands to reap more than $22 billion in reduced energy costs over the next twenty-five years. Not a bad business deal, especially if the private sector provides the largest share of up-front investments. There are three funding mechanisms in the Federal sector: appropriations, utility incentives, and energy savings performance contracts. The world around us is changing fast in all three areas. Without belaboring those changes each of which is worthy of a book-length, not paper-length, discussionlet me describe these mechanisms and the approaches FEMP suggests to ensure adequate funding. * Appropriations. In 1994, the Federal Government invested about $250 million in energy efficiency. Based on the new realities of Federal budgets, it is likely that may be the peak outlay despite the fact that energy investments from appropriations are the most cost effective way to achieve energy reduction goals. With appropriations, the government gets to retain all the savings. * Utility Incentives. As the largest utility customer, Federal agencies are in an ideal position to take advantage of the changing utility environment. Competition for delivery of energy services opens up remarkable opportunities that we must explore. Among the innovations being considered by leading utilities are financing mechanisms instead of rebates. Utilities are also tailoring services such as audits and new-construction design assistance. Some utilities may offer these incentives while others may charge for them. Two dozen utilities have been actively working with FEMP and the agencies on a Federal-Utility Partnership to explore ways to work together to advance energy efficiency in Federal facilities, while achieving the win-win of load management. * Energy Savings Performance Contracting. On April 10, 1995, FEMP announced in the Federal Register the new rule to implement energy savings performance contracting (ESPC) in Federal facilities. The rule and companion model solicitation and "How To" guide are designed to streamline ESPC procurement and make it simpler for agencies to obtain such services. To make sure the government and industry understand
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problems associated with ESPC and find solutions to those problems, FEMP is working closely with the National Association of Energy Service Companies (NAESCO), developing important communication links to ensure effective implementation. In addition, there are a dozen actions FEMP proposes to make the process work. They include clarifying legislation, required government actions, and agency commitments. Among the more important actions identified by FEMP as essential are the following: - Agencies should designate a lead unit that FEMP can support that would handle ESPCs in their facilities. It is too much to expect all procurement officials to become expert on this very complicated contractual process. FEMP is developing capabilities to support agencies but has determined it can work more effectively with a lead team. - To make ESPC a standard way of doing business, FEMP proposes a "rebuttable presumption" for agencies to use ESPCs as a first choice or describe the reasons why they are not using it. - Agencies should determine their investment needs and set goals of how many ESPCs they intend to use to get there. FEMP will support the agencies in this effort. - OMB needs to issue clear guidance on the EPACT retention of savings incentive and include energy as a line item in the budget. Partnerships To accomplish the goal of reducing energy use in the Federal sector, a strong and effective partnership is required to overcome barriers and implement projects. Those partnerships must include the agencies themselves, utilities, energy service companies, industry, and states. Each participant brings a unique capability and plays an integral role in achieving the overall mission. These partnerships will benefit from the range of skills and expertise offered by their individual members and are expected to generate new business opportunities and create jobs. Information and Outreach There is a great need for correct information, and it should be available when and where facility managers need it. FEMP maintains the "Help Desk" at 1-800-5662877 to respond quickly to customer informational needs. In addition, FEMP has been on the Interact for a year, well before the Internet became a household word. Many of you may have seen one of our TeleFEMP broadcasts or received the videotape of those sessions. We are in the process of developing a video library both for our training courses and for your use. Based on the success of the teleconferences, we intend to increase their use and target specialized training needs. For example, we will pilot a short course on CFC-free chillers and may try what we are told is a bold (some say foolish) attempt at a two-day course on ESPCs. The other side of information is motivation. Knowing what to do is important but helping to convince management or reluctant colleagues to participate is also essential. To address this issue, FEMP is developing what I call an "executive video" to explain and demonstrate the important reasons for undertaking energy efficiency projects and obtaining commitments from the highest levels of agencies. I can see both facility managers and representatives of utilities or energy service companies making use of these videos. FEMP is also developing an outreach campaign to generate interest and participation in these activities, and to report on the success stories that have already been achieved in Federal energy management. Another pioneering effort, FEMP Partner Resource Centers, will make our analytical tools and publications more readily available to our customers. At these regional centers, we will offer FEMP software and materials to DOE Regional Support Offices, states, utilities, energy service companies, and industry. We will train key staff and support the effort through the Help Desk, on-line services, and maybe even my favorite emerging technology: video links built into the computer or via teleconference centers. Whatever the method used, we intend to help our partners work with Federal customers and increase our ability to provide timely assistance to facility managers during their decision-making on energy efficiency investments. Technical Assistance Federal facility managers often need support in identifying and procuring the most cost-effective energy saving projects. To assist in this effort, FEMP has developed a variety of services: * Training. FEMP offers over fifty courses annually ranging from life cycle cost analysis and
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energy savings performance contracting to renewable energy and water conservation. These courses have been oversubscribed and have stretched our budgets. Consequently, we have sought authority for registration fees to cover training costs. We regret the need to charge fees, but it will expand our ability to serve our customers. * SAVEnergy Action Plans. FEMP has contracted with twenty firms around the country that are available to agencies on a cost-reimbursement basis to provide onsite auditing services. In select cases, FEMP will provide audits if the project could serve as a model to help leverage funds or encourage its replication. To date, we have received requests for audits of one-quarter billion square feet of Federal floor space. Completed audits have already turned into projects, major progress since the day when the auditing data gathered dust in warehouses. * New Design Assistance. Building it right the first time makes such good sense. FEMP will contract with companies and individuals able to help at the earliest stage of new-building design. This approach will help integrate energy efficiency, renewables, and water conservation as well as many of the environmentally sound practices that President Clinton called for in the Greening of the White House project. * Federal Procurement Challenge. Selecting the most energy efficient technologies is a challenge to facility managers who are often given conflicting or unproven information. As called for in Executive Order 12902, FEMP and the Office of Federal Procurement Policy are conducting a challenge to agencies to buy equipment that ranks in the upper 25 percent for efficiency, retire outdated equipment, and promote the use of new technologies. The Federal sector buys billions of dollars' worth of energy-using products and appliances. If we ask for the most cost-effective products, we can lead the market to even higher standards. These voluntary approaches are far superior to mandates and build good business practices and market forces into the way government conducts procurement. * Federal Project Implementation Team. FEMP is developing new capabilities to support agencies in identifying and funding solar and other renewable energy projects. FEMP will help agencies select the most appropriate technology and apply ESPCs and other funding sources to install this technology. National energy laboratories and industry team members will work together to provide valuable assistance, on a reimbursible basis, where it is needed. * ESPC Support. Recognizing the difficulty of using ESPC in the Federal sector, FEMP is offering its capabilities, for a modest fee, to help agencies develop, issue, evaluate, monitor, and implement ESPCs. FEMP is seeking the authority to charge a fee for services as a business-like approach that essentially calls our bluff. If there are savings to be had and if it takes money to make money, why don't we recover our costs to support more and more projects! That will not be easy, but it makes sense and we are committed to pursuing the authority and developing procedures to be reimbursed for needed services. Success Stories Nothing is as convincing as the successful implementation of the projects themselves. It is a joy to see ideas we talked about as they were spawned now bearing fruit by saving energy and money as predicted. Here are some of the best that you may have heard about previously: Ft. Lewis, Washington Over 50 full-time professionals, including engineers, utility representatives, energy service contractors, military personnel, lighting experts, electricians, and others, are presently involved in a retrofit of lighting and other equipment at the 4500-building military installation. FEMP is working with the Fort's operations and maintenance staff of 300 to keep them informed about the project. The effort has exceeded expectations because methods for additional energy savings are being identified as the project proceeds (e.g., turning off unnecessary fans). Fort Lewis personnel are also moving on to carry out their own innovative projects to save additional energy, such as installing a waste-to-energy plant that will generate power. Forrestal Building At DOE Headquarters, more than 36,000 fluorescent light fixtures were retrofitted with electronic ballasts, T-8 fluorescent tubes, and specular reflectors, and more than 350 occupancy sensors were installed building-wide. Since its completion in September 1993, the relighting project has more than met prior expectations. Estimated to save the government $1 million over the seven-year life of the
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energy savings performance contract, and to reduce electricity use by more than 60 percent, the project has already reduced the daily peak demand by 1200 kilowatts and saved 6 million kilowatt hours annually. (The government's share of savings is about 27 percent during the first three years of the contract, but this increases sharply to 85 percent for the last four years of the performance period.) Employee surveys have confirmed the relighting has improved the building's lighting quality, and increased worker comfort and productivity. Ellis and Liberty Island National Park FEMP has worked with the Park Service to help develop and issue an ESPC. Miss Liberty will be freed from energy waste as Public Service Gas and Electric and the ESPC contractor install equipment to reduce the cost of operating these national treasures. Our partnerships have begun to pay off, also, as the following projects affirm: Consolidated Edison, New York With a Memorandum of Understanding between Con Ed, GSA and DOE, over $10 million in utility rebates has been applied to four large Federal facilities in New York. Southern California Edison-ENVEST Following an agreement signed by John Bryson, CEO of Southern California Edison (SCE), and Secretary of Energy Hazel O'Leary, GSA and SCE-ENVEST signed onto the first project, for the Hollifield Federal Building in Orange County, California. Additional projects with the military and postal service have led to over $10 million in utility investments, with more to come. Regional Energy Action Project (REAP) Teams REAP teams were conceived a year ago to place FEMP staff closer to our customers, and we now have the first three REAP team members in place: two in Seattle and one in Chicago. They are already identifying projects with Federal facility managers in the regions and are providing FEMP technical support as needed. Streamlined ESPC Carrying out ESPC projects one at a time will not lead to widespread use of this funding process. FEMP is developing an "indefinite quantity solicitation" that will allow multiple Federal sites to participate in one solicitation. We are starting in the Pacific Northwest and will also pursue indefinite quantity procurements across common building types (e.g., hospitals, research laboratories) or technologies (e.g., solar units, CFC-free chillers). We anticipate this will significantly increase the number and quality of projects. State Initiatives States can offer expertise related to local building types, and knowledge of local utilities that are involved with Federal facilities. Utah partnered with us on solar projects in their national parks. Oregon and Washington conducted audits that led to implementation of energy-saving measures. New York State is leading a procurement collaborative that will make products more affordable and accessible to both state and Federal facilities. New Mexico Initiative There is a very large Federal presence in New Mexico where FEMP has built a partnership with Public Service of New Mexico and the Federal sites that will result in substantial utility investments to reduce energy use and costs for the Federal customers. This approach cuts across agencies and simplifies implementation of the arrangement. Conclusions The Federal Government is at a critical moment in the stewardship and management of its own facilities. Despite early successes and promising advances, the challenge remains to achieve all the potential savings. There is a large opportunity to apply good business practices in our own operations and achieve billions of dollars of cost reduction, but will we continue our wasteful ways and miss this opportunity to excel? The approaches described here make good financial sense, and advance the bi-partisan goal of reducing the cost of government. The vision and leadership of the last several Presidents and Congresses can still be achieved and make this President and this Congress proud of their lasting legacy. I am convinced we are on the right path and the strength of our funding mechanisms, partnerships, outreach, and technical support will continue to grow and bring us closer to achieving the important national goal of reducing the cost of government and making it work better. We look forward to working with each of you.
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Chapter 74 Verifications of Savings: The Hunter Heat Pump Analysis S.A. Parker Abstract In November 1992, Hunter Army Air Field (AAF) completed the installation of 488 air-source heat pumps a new heat pump and air-handling unit for each residence. The air-source heat pumps replaced older, less efficient, air-conditioning systems, fuel off-fired furnaces, and fan coil units. Hunter AAF originally contracted to upgrade the old family housing heating, ventilating, and air-conditioning (HVAC) systems with high efficiency air-conditioning systems and natural gas furnaces, but an alternative proposal and following energy studies indicated that heat pumps were a more life-cycle cost-effective alternative. Six months after the heat pumps were installed, Hunter's energy bills appeared to be increasing, not decreasing as expected. In early 1994, Pacific Northwest Laboratory(a) (PNL) began an analysis to determine if there were any energy savings resulting from the heat pump installation as predicted by previous energy studies. The problem is that the HVAC systems are not specifically submetered to support verifying the resulting energy savings and, as is the case with most federal facilities, even the homes are not individually metered. Savings verification needed to be accomplished with the existing and available metered data. This data consisted primarily of monthly electric submeter readings from the two housing subdivision meters, historical fuel oil delivery records for family housing, and monthly base-wide electric bills. The objective of the study is to verify the change in energy consumption in family housing and, to the extent possible, identify how much of the change in consumption is attributable to the new HVAC system and how much is probably attributable to other factors, such as the weather. The results of the verification analysis indicate that the energy consumption by Hunter AAF family housing was reduced by 24% during 1993 with the installation of the heat pumps. An investigation of the heat pump installation also indicates a potential for additional energy savings. Most important, the analysis identifies the reasons for, and factors involved in, the noted increase in the utility bills. This paper describes the verification process used to perform the analysis and the analysis results. Background Hunter AAF, located outside Savannah, Georgia, has two major family housing subdivisions. Each residence was served by a central HVAC system consisting of a fuel oil furnace and electric direct-expansion air conditioner. The fuel oil furnaces were old and scheduled to be replaced. Hunter AAF originally contracted to have the fuel oil furnaces replaced with natural gas furnaces. However, an alternative proposal was submitted to install air-source heat pumps to provide space conditioning in family housing. An engineering and economic analysis was performed that indicated air-source heat pumps are a more life-cycle cost-effective alternative for Hunter AAF. After careful consideration, the change was approved. The installation of the heat pumps and new central air-handling units began in August 1992 and was completed in November 1992. (a) PNL is a multiprogram national laboratory operated for the U.S. Department of Energy under Contract DE-AC06-76RLO 1830 by Battelle Memorial Institute.
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Six months after the heat pumps were installed, Hunter AAF's energy bills appeared to be increasing, not decreasing as expected. The U.S. Army Forces Command (FORSCOM) tasked PNL to conduct a postconstruction evaluation of the air-source heat pumps. The scope of the heat pump analysis at Hunter AAF was to 1) determine the change in energy consumption resulting from the heat pump installation, 2) verify whether or not energy costs increased at Hunter AAF, and, if so, 3) perform a utility cost analysis to identify the muses for the cost increase (Parker 1994). Analysis The first task involves determining an energy consumption baseline for the family housing area at Hunter AAF. This involves several factors: 1) reviewing the metered energy consumption data for family housing, including electricity and fuel oil, 2) correlating local climatological data to the energy consumption data, 3) identifying, and correlating if necessary, any environmental, mission, or occupancy type variables that could impact the analysis. Once this information is assimilated, an energy baseline can be developed for family housing. A single electric utility meter, read by Savannah Electric and Power Company, monitors electricity consumption and peak demand at Hunter AAF. In addition, Hunter AAF has a few electric submeters that monitor electricity consumption but not demand. The commissioned officer and noncommissioned officer (NCO) family housing area are each monitored by separate submeters. The electric submeters are manually read sometime around the middle of each month. Electricity consumption records indicate the meter reading and the date the meter was read. Because the meter readings are dated, electricity consumption can be synchronized with local weather data. Fuel oil in family housing was consumed only by the previous furnace heating systems. While this makes fuel oil consumption distinctly relative to weather data, fuel oil delivery does not correlate well with fuel oil consumption. Fuel oil records are much more complicated to analyze than electric records. Several fuel oil tanks were located throughout the two main housing subdivisions before they were removed as part of the heat pump installation. These tanks were refueled on an irregular basis and recorded in log books. Because of the number of fuel oil tanks, not all tanks were refueled each month. The tanks were refueled between two to five times each year. Although the monthly fuel oil records break down deliveries into major divisions at Hunter AAF (one division being total family housing), they do not indicate which tanks were refueled or what day they were refueled. This level of detail requires reconciling individual fuel oil tank log books. Therefore, it is difficult to relate fuel consumption to local weather data. This analysis relates fuel oil delivery to heating degree-days on a gross annualized basis. Electric Methodology Verification with limited data is difficult, and accuracy is always an issue. One methodology that can be used is linear regression. Linear regression seeks to fit a line through a data set using a linear function of one or more independent variables. The least-squares technique solves for the functional relationship that minimizes the sum of the squared deviations of data points from the regression function. For this analysis, the regression analysis tool found in Microsoft Excel version 4.0 was used (Microsoft 1992). An advantage of the least-squares model is that it is not essential to produce before and after models. A before model that predicts energy consumption can be used to compare against actual consumption. The difficulty is developing a good, or at least adequate, model and applying appropriate independent variables. Three different methodologies are considered in analyzing the heat pumps at Hunter AAF monthly, average-daily, and floating-annual models. Each of these models has advantages and limitations. The following describes these methodologies as applied to the electric metering data and their results. Monthly Model The monthly model is really a billing period model, because the billing period typically occurs monthly. The major variables, once identified, are accrued to coincide with the billing period. Energy consumption for family housing at Hunter AAF is expected to vary based on 1) the number of days in the billing (consumption) period, 2) local climatological (weather) data, 3) occupancy factors, and 4) other environmental or mission-related variables. Communications with personnel at Hunter AAF identified no notable changes in housing occupancy rates or other environmental or mission-related variables during the past three years that were expected to account for a significant variation in energy consumption in the family housing area. Therefore, the baseline analysis was limited to the first two major variables consumption period and weather data. Weather is the most obvious variable in this analysis and usually the most significant. Local Climatological Data Monthly Summary reports, which include daily temperature observations, were obtained from the National Climatic Data Center for Savannah, Georgia for January 1991 through January 1994, inclusive (U.S. Department of Commerce 1991-1994). Weather data, in the form of cooling and heating degree-days (base 65°F [18.3°C]),
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were synchronized with monthly metering periods to correlate with electricity consumption. It is very important to synchronize weather data to a billing period. Degree-days can vary significantly on a day-to-day basis. If the period of energy consumption does not match the period over which degree-day weather data is accrued, then the regression model will not be accurate and will lead to a poor model. Another important consideration is the base temperature used to calculate degree-days. A 65°F (18.3°C) base temperature is typically used but may not always be accurate. The implication is that cooling is usually required on days when the average(b) temperature is above the base temperature and heating is usually required on days when the average temperature is below the base temperature. Although a 65°F (18.3°C) base temperature is commonly used for residential applications, another base temperature may provide a better curve fit. As illustrated in Figure 1, cooling degree-days (base 65°F [18.3°C]) appear to have a high correlation to monthly electricity consumption, therefore, are used in this analysis. A multivariate linear regression analysis was performed on the monthly metering and weather data for each housing subdivision, and the results totaled. The net monthly regression model is illustrated in Figure 2. As shown, the regression is a reasonable fit but has a wide confidence interval and variation. This variance is partly because of the limited number of data points and the natural variation but may also be an indication of the existence of other (unaccounted for) variables. As illustrated in Figure 2, electricity consumption increases during the heating season because electricity is now being used for heating instead of fuel oil. Figure 2 also illustrates a reduction in electricity consumption during the cooling season as a result of the increase in cooling efficiency. The decrease in consumption during the cooling season, however, is not as apparent as the increase during the heating season relative to the confidence interval. Because the variation and confidence interval is large during the summer, the analysis might be improved. Two assumptions were made in the analysis: the base temperature for degree-days is 65°F (18.3°C), and the meter reading date begins the data set period (e.g., assume meter read at midnight). Degree-days could have been calculated using a base temperature other than 65°F (18.3°C) and the regression analysis recalculated in an attempt to improve the regression fit. Also, the degree-days accrued on the day the meter was read could have been allocated differently. The impact of this change can be especially significant during transitional months (spring and fall) when degree-days for a single day can sometimes exceed 15% of the monthly total.
Figure 1. Correlation of Energy Con-suption and Weather Data by Billing Period The data illustrated in Figure 2 for calendar year 1993 are identified in Table 1 and indicate that electricity consumption increased during the off-peak electric period (October through May) and decreased during the on-peak electric period (June through September) for a net increase in electricity consumption of 266,926 kWh/yr. Using the Savannah Electric and Power Company incremental electricity rates for 1993, this equates to an increase of $7,490 in the 1993 electricity cost. The monthly model is frequently used because it corresponds to the billing period. Unfortunately, the model is susceptible to significant variation. This is indicated by the low coefficients of multiple determination (R2) determined in the regression analyses shown in Table 2 located in the Appendix. The R2 value is a measure of the amount of reduction in the variability of the dependent variable (electricity consumption) obtained by using the regression variables (independent variables; e.g., weather) (Hines and Montgomery 1980, p.410). The R2 value is often used to judge the adequacy of a regression model, but this type of judgement should be done with caution (Hines and Montgomery 1980, p.380). (b) The average temperature is defined as the midpoint between the daily high and low temperature observation.
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Figure 2. Monthly Regression Model Average Daily Model The monthly model is natural and, because it corresponds with recognizable billing periods, is frequently used. Unfortunately, the model is susceptible to significant variation. One of the influential variables is the number of TABLE 1 MONTHLY REGRESSION ANALYSIS FOR 1993 Billing Actual Regression Difference Month Period (kWh) (kWh) (kWh) Jan Off-Peak 892,800 504,829 387,971 Feb Off-Peak 950,400 456,338 494,062 Mar Off-Peak 720,000 409,130 310,870 Apr Off-Peak 816,00 574,938 241,062 May Off-Peak 364,800 527,879 (163,079) Jun On-Peak 595,200 933,245 (338,045) Jul On-Peak 643,200 963,849 (320,649) Aug On-Peak 460,800 918,312 (457,512) Sep On-Peak 739,200 968,449 (229,249) Oct Off-Peak 864,000 880,394 (16,394) Nov Off-Peak 643,200 631,759 11,441 Dec Off-Peak 748,800 402,352 346,448 Total On-Peak 2,438,400 3,783,855 (1,345,455) Total Off-Peak 6,000,000 4,387,619 1,612,381 Total Both 8,438,400 8,171,474 266,926 days in the billing period. In this case, the billing period varied between 23 and 35 days. The average daily model is an attempt to remove this variable by dividing the monthly energy consumption by the number of days in the billing period, thus nominalizing the data. Visually, this process smooths out the energy consumption such that the average daily energy consumption for each billing period appears to vary more directly with the weather data (cooling degree-days). However, this process is only a visual simplification. The process has minimal impact on the results of the linear least-squares regression model and therefore is not a real improvement over the monthly model. Overall, the average daily model has the same advantages and limitations as the monthly model. Floating Window Model Some of the problems associated with the monthly and average daily models are the significance of the seasonal weather variation and the limited analysis period. The floating window model seeks to remove the significance of seasonal weather variation by examining data on an annual basis without significantly reducing the number of data points. A 12-month floating window analysis examines annual data points (12-month totals), with the next data point offset by only one month. For example, the September 1991 data point includes the total for the window
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October 1990 through September 1991, inclusive. The next data point, October 1991, includes the next annual total, offset by one month the window November 1990 through October 1991, inclusive. This technique has a smoothing effect because each data point incorporates a full year and all seasons. Weather data, in the form of annual heating and cooling degree-days and corresponding to the 12-month floating window, are illustrated in Figure 3. As shown, some changes have occurred in the magnitude of the heating and cooling seasons since 1991. Cooling degree-days dropped notably from 1991 to 1992 and then increased partially in 1993. This pattern is reflected in the electricity consumption of family housing at Hunter AAF. A linear-regression analysis performed on the floating window melted and weather data shows a very good fit. The output from the analysis is included in Table 3 located in the Appendix. The result of the floating-window analysis is illustrated in Figure 4. As shown, the regression is very smooth but has a wide confidence interval. This interval is primarily because of the limited number of data points. Using the floating-window regression model, Figure 4 illustrates a comparison of a forecast of electricity consumption for family housing using the previous directexpansion air-conditioning systems with the actual electricity consumption in family housing using the heat pumps. As illustrated, electricity consumption increases during the fiscal year 1993 (FY93) heating season because electricity is now being used for heating instead of fuel oil. Remembering that each bar in Figure 4 represents electricity consumption for a full year, if the heat pump cooling efficiency remained the same as that of the previous direct-expansion air-conditioning units, then electricity consumption would have remained above the regression model forecast line by an amount similar to that identified in May 1993 (approximate end of the heating season). However, because the cooling efficiency of the new heat pumps is higher than that of the previous direct-expansion air-conditioning units, a drop in electricity consumption is shown through the summer of 1993. By the end of 1993, actual electricity consumption was reduced: annual electricity consumption using the heat pumps that provided both heating and cooling is actually somewhat less than (the forecast of) electricity consumption using the previous HVAC units that provided cooling only. The identified savings, however noticeable, is within the confidence interval and therefore cannot be considered statistically significant. The final result is a net decrease in electricity consumption of around 224,100 kWh/yr. Using an average 1993 monthly incremental energy rate ($0.0334/kWh), this net decrease equates to a decrease of $7,485 in the annual electricity cost for 1993.
Figure 3. Correlation of Energy Consumption and Weather Data by Floating Annual Window The result of the floating-window analysis is less susceptible to some errors than the monthly analysis performed earlier but still has some limitations. As noted earlier, the 12-month floating window regression model has a wide confidence interval because of the limited sample size used in the model's development. Therefore, like the monthly regression analysis, the change in annual electricity consumption from that forecast by the 12-month floating window regression analysis is not statistically significant. Fuel Oil Analysis The fuel oil records at Hunter AAF are much more complicated to analyze than the electric records. Although fuel oil consumption is strongly relative to weather data, because of the fuel oil delivery procedure and the issue of storage, deliveries are not equivalent to consumption. Therefore, a regression analysis for fuel oil consumption is not appropriate with this limited data. A simpler, yet less accurate, method was used. This method simply looks at fuel oil consumption per heating degree-day on a gross annualized basis. Examining fuel oil over longer periods tends to reduce the significance of the variance between delivery and consumption because of storage. A fuel oil consumption index was calculated on an annual weather nominalized basis. Assuming that delivery records over the two-year period FY91 through FY92 can be used to approximate consumption, average annual fuel oil consumption for family
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Figure 4. Floating Window Regression Model housing is estimated to be 37.0 gal/°F-d (252 1/K-d) (heating). The heat pump installation was completed in November 1992. Because the heating season at Hunter AAF runs from October. through May, the heat pumps have not been used for a complete heating season as of the date of this analysis. When calendar year 1993 was used as the first year of heat pump operation, there were 1,802°F-d (1,001 K-d) heating degree-days. Therefore, it is estimated that fuel oil consumption would have been approximately 66,674 gal (252,3611), equal to 9,334.4 million Btu (9.8 TJ) for 1993. Using the fuel oil cost of $0.70/gal ($0.185/1), this equates to a savings of $46,672 in 1993. Discovery The second reason for performing this analysis, was to address concerns that total energy costs at Hunter AAF increased after the heat pumps were installed. The total electric utility bill for Hunter AAF in FY93 was $176,700 higher than it was in FY92, an increase of 8.3%. Total electricity consumption increased 3.0% in FY93 over FY92. Billed demand increased 0.4%. The original concern was that the heat pumps were responsible. Because family housing accounts for only 18% of the electricity consumption at Hunter AAF and an increase in consumption is not necessarily indicated in the analysis above, additional investigation into the main electric billing data was warranted. The following is a quick overview of the investigation and the findings. The electric utility company charges customers for electricity, demand, excess reactive power (low power factor), fuel cost recovery (an energy charge based on the utility cost of fuel), and a basic customer charge. The energy charge is a five-step declining block schedule, meaning the unit cost of electricity decreases with additional consumption through five steps referred to as blocks. The ratchet clause specifies that the billed demand for the month shall be the maximum of either the actual peak demand for the month or 70% of the largest peak demand established during any on-peak period of the immediately preceding 11 months. The offpeak billing season is October through May, inclusive, and the on-peak billing season is June through September, inclusive. Energy and demand charges are slightly higher during the on-peak billing season. Over the past three years, energy rates changed slightly, demand and reactive power rates remained constant; however, the fuel cost recovery rate changed notably. The incremental energy rate at Hunter AAF is illustrated in Figure 5. The incremental energy rate is defined as the cost for the last kilowatt-hour of electricity. As shown in Figure 5, the fuel cost recovery rate held constant for 14 months prior to the installation of the heat pumps, then increased by over 20%. This increase in the fuel cost
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Figure 5. Electric UtilityRate Analysis recovery rate coincides with the completion of the heat pump installation in December 1992 and was the primary reason that savings due to the heat pumps were not recognized. Figure 6 illustrates the factors involved in the cost increase experienced at Hunter AAF that masked the savings realized with the installation of the heat pumps. The change in the electric rate schedule (more specifically, the increase in the fuel cost recovery rate) accounted for the majority of the cost increase experienced at Hunter AAF. The changes in the electric rate schedule in October 1992 (which lowered off-peak electricity rates) and December 1992 (which increased the fuel cost recovery rate) accounted for 74% of the cost increase. The increase in electric energy consumption in FY93 over FY92 accounted for 25% of the total electric utility cost increase. Although the heat pumps had some impact on this change in consumption, the change in the weather was more significant. Cooling degree-days for Savannah, Georgia, synchronized to the utility billing period, increased 9.8% in FY93 over FY92, while heating degree-days increased 3.8%. It is difficult to determine, with any statistical certainty, the true impact weather has on total electricity consumption at Hunter AAF. However, a separate multivariate regression model developed (similar to those discussed earlier) using the Hunter AAF billing data from 1991 and 1992 indicated the change in weather accounted for a consumption increase of around 2.5% in FY93 over FY92. The remaining 0.5% (3.0% was the total change, 2.59% was due to weather) is labeled as 'other,' which includes miscellaneous factors including the heat pumps. The increase in billed demand and excess kVAR charges (which is attributable to the weather, the heat pump installation, and normal variance) accounted for around 1% of the total cost increase.
Figure 6. Electric Cost Increase Factors Conclusion Overall, there was no statistically significant change in annual electricity consumption attributable to the heat pump installation in family housing at Hunter AAF. The result of the monthly regression model indicates that annual electricity consumption increased 3.3%, or 266,926 kWh, while the floating window analysis indicates that annual electricity consumption decreased 2.6%, or 224,100 kWh, in calendar year 1993. In both methods, however, the net annual change is well within a 95% confidence interval and not considered statistically significant. The result of the fuel oil analysis indicates that fuel oil consumption decreased an estimated 66,674 gal (252,926 1), or 9,334.4 million Btu (9.8 TJ), for a cost reduction of $46,672 in 1993. However because of the lack of data, a confidence interval cannot be identified. The results of the electric utility bill analysis indicate that the cost increase experienced at Hunter during 1993 is mostly attributable to the increase in the fuel cost recovery rate component charged by the utility. The weather impact, in the form of increased cooling and heating degree-days during 1993, is also responsible for a portion of the increase. Several items become apparent during a verification analysis such as this; one is the relationship to commissioning. The change in electricity consumption attributable to the heat pumps can now be compared to estimates in the original analysis. A comparison can be used to check assumptions made in the original analysis, but can also be
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used to indicate proper equipment operation. Although not be presented in depth, the result at Hunter AAF indicated that energy consumption during the summer was less than originally estimated and consumption during the winter was greater than originally estimated. While the reduced energy consumption during the summer meant increased savings, the increased energy consumption during the winter led to the discovery that the thermostat control system was not operating as expected. The result was increased dependence on the supplemental resistance heaters. Acknowledgements The author would like to recognize Mr. Adrian Gillespie, U.S. Army Forces Command, for his support of this and other energy management activities. Appreciation is also extended to the people at Hunter Army Air Field who assisted PNL staff during site visits, over the telephone, and through the mail. Of particular importance was the conscientious assistance of Betty Thomas, Hunter Army Air Field, in gathering much of the data used in the analysis. References Hines, W.W., and D.C. Montgomery, Probability and Statistics in Engineering and Management Science, 2nd. ed., John Wiley and Sons, New York, 1980. Microsoft Corporation, Microsoft Excel User's Guide, Book 2, Version 4.0, Microsoft Corporation, Redmond, Washington, 1992. Parker, S.A., Analysis of Heat Pumps Installed in Family Housing at Hunter Army Air Field, PNL-10088, Pacific Northwest Laboratory, Richland, Washington, 1994. U.S. Department of Commerce, Local Climatological Data: Monthly Summary, Savannah, Georgia, ISSN 0198-1676, National Climatic Data Center, Asheville, North Carolina, January 1991-January 1994.
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Appendix TABLE 2 MONTHLY REGRESSION MODEL (a) Regression analysis output: officers' family homing Regression statistics: Multiple R 78.00% R squared 60.84% Adj. R squared 52.65% Standard error 100,638 Observations 19 Analysis of variance: sum of mean square df squares. Regression 2 2.67E+11 1.34E+11 Residual 17 1.72E+11 1.01E+10 Total 19 4.40E+11 coefficients standard error t statistic Intercept 0.00 n/a n/a d/mo 7,689.64 1,128.85 6.81 CDD/mo 510.61 108.36 4.71 regression equation: officers' family housing kWh/mo = (7,689.64)*(d/mo)+ (510.61)*(CDD/mo) (b) Regression analysis output: NCOs' family housing Regression statistics: Multiple R 87.15% R squared 75.95% Adj. R squared 68.66% Standard error 51,893 Observations 19 Analysis of variance: sum of mean square df squares Regression 2 1.45E+11 7.23E+10 Residual 17 4.58E+10 2.69E+09 Total 19 1.90E+11 coefficients standard error t statistic Intercept 0.00 n/a n/a d/mo 8,046.15 582.09 13.82 CDD/mo 385.15 55.88 6.89 regression equation: NCOs' family housing kWh/mo = (8,046.15)*(d/mo) + (385.15)*(CDD/mo) (c) Net regression equation: total family housing kWh/mo = (15,735.79)*(d/mo)+ (895.76)*(CDD/mo)
significance F F 13.21
4.10E-04
P-value n/a 1.67E-06 1.52E-04
lower 95 % n/a 5,307.96 281.99
upper 95% n/a 10,071.32 739.24
(eqn 1)
F 26.85
significance F 7.72E-06
P-value n/a 2.30E-11 1.42E-06
lower 95% n/a 6,818.05 267.26
upper 95% n/a 9,274.25 503.04
(eqn 2) (eqn 3)
TABLE 3 FLOATING WINDOW REGRESSION MODEL Regression analysis output: total family housing Regression statistics: Multiple R 99.15% R squared 98.30% Adj. R squared 98.02% Standard error 69,925 Observations 8 Analysis of variance: sum of mean significance df squares square F F Regression 1 1.70E+12 1.70E+12 347.18 1.54E-06 Residual 6 2.93E+10 4.89E+09 Total 7 1.73E+12 standard lower upper coefficients error t statistic P-value 95% 95% Intercept 1,086,531.61 391,483 2.78 2.75E-02 128,607 2,044,457 CDD/yr 2,777.12 149 18.63 3.18E-07 2,412 3,142 regression equation: total family housing kWh/yr = (1,086,531.61) + (2,777.12)*(CDD/yr) (eqn 4)
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Chapter 75 An Integrated Teamwork Approach To Regional FEMP Project Implementation A. Jhaveri Abstract With the establishment of Regional Energy Action Project (REAP) teams in Seattle, Chicago, and New York, earlier this year, the U.S. Department of Energy's Federal Energy Management Program (FEMP) has taken a quantum leap towards assisting Federal agencies meet the minimum 30% energy savings goal, through the year 2005 from the baseline year of 1985, per the Executive Order #12902. The three (3) member team, including the FEMP liaison, at these three (3) Support Offices, has significantly increased the manpower resources and expertise needed to implement FEMP projects through technical, financial, marketing, procurement, and contracting assistance in each region, thus complementing the limited resources of the participating Federal agencies. The potential and opportunities available in the four-state Region 10 (Washington, Oregon, Idaho, Alaska) for aggressively promoting FEMP projects are significant, as demonstrated by some 20 completed SAVEnergy Action Plan Audits and as many as 10 energy efficiency projects with innovative financing arrangements, including but not limited to, agency appropriations, utility Demand Side Management (DSM), Energy Savings Performance Contract (ESPC) and third party financing handled by Energy Service Companies (ESCO's), and/or combinations of these. This presentation will highlight some of the specific FEMP projects including partnership development, negotiations, coordination, and technical support models used to assist the selected Federal agency customers. Introduction The FEMP initiative began many years ago as a means to reduce energy consumption and at the same time reduce costs in the Federal sector. However, not until the issuance of Executive Order #12759 in April 1991 that FEMP received necessary resources, tools and specified goals and objectives to accomplish the minimum 10% target of energy savings between 1985 and 1995. Subsequently, the United States Congress, after nearly three (3) years of serious deliberations, passed a Comprehensive Energy Policy Act (EPAct) in October 1992. This law not only incorporated the requirements oft he Executive Order #12759 but also added such important FEMP activities as renewable energy and water resource conservation to the energy efficiency goal of 20% between 1985 and 2000, SAVEnergy audits, design assistance, energy manager training, Federal Energy Efficiency Fund (FEEF), showcase project, and Energy Savings Performance Contracting (ESPC). While the U.S. Department of Energy was planning and developing rules and guidelines for the FEMP implementation per EPAct, President Clinton decided to issue a new Executive Order #12902 on March 8, 1994 that further increased the energy reduction goal from 20% to 30% between 1985 (base year) and 2005. Also included in this Executive Order are specific incentives for making FEMP projects happen, using such innovative financing as ESPC, third party financing using Energy Service Companies (ESCO's), utility Demand Side Management (DSM), and other unique public/private partnerships.
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Section I - Action Plan 1 Summary, of Recommended Measures The recommended energy conservation measures fall into three general categories - lighting upgrades and retrofits, improved HVAC controls, and HVAC system modifications (exhaust/return air system). There are also two operation and maintenance (O&M) recommendations that are essentially no cost ways to reduce energy use. Table 1 summarizes the recommended energy conservation measures for the Forestry Sciences Lab. Each measure is described in detail in Section H of this report. The ECMs are ranked according to discounted payback period with the shortest payback item first. Following the table is a brief description of each recommended measure. The Forestry Science Research Lab currently uses approximately 2,129,000 kilowatt hours of electric energy and 6,790 thousand pound of steam (6,450 million btu) for an annual cost of $126,700. This equates to an energy use index (EUI) of 130,740 btu per square foot per year at a cost of $1.208 per square foot per year (based on actual utility bills for the period July 1993 through June 1994). If all the recommended measures are implemented, the Lab should see a 30% reduction in their utility bills corresponding to a 30% reduction in total energy used. The recommended measures (ECM and O&M) would save 604,179 kWh and 2,194,000 pounds of steam per year for an annual cost savings of $38,633 at current utility rates. They would cost approximately $310,000 to implement. Table 2 summarizes the current and projected energy consumption of the Lab. FEMP SACEnergy Action Plan and Audit Report Findings USDA Forestry Sciences Research Lab, Corvalis, Oregon etc Group, Inc. 3481 South 2300 East, Salt Lake City, Utah 84101 (801) 278-1927, (801) 278-1942 CORVALIS.DOC 5/22/95 4:39 PM Page 4 of 34
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TABLE 1 SUMMARY OF RECOMMENDED ENERGY CONSERVATION MEASURES Description Steam Savings Electric Savings Total ECM O&M Savings 1,000 lbs $ kWh $ kW $ $ $ Fume Hood Control 309 $ 1,820 23,130 $ 769 $2,589 Return Air Modifications 893 $ 5,254 41,684 $ 1,386 $ 6,640 Exit Sign Retrofit 23,634 $ 786 24 $ 49 $ 835 $ 138 Florescent Lighting Retrofit (465) $ (2,736)284,900 $ 9,473 1,476$ 3,026 $ 9,762 Incandescent Lighting retrofit (163) $ (959) 139,295 $ 4,632 324 $ 664 $ 4,337 $ 685 Premium Efficiency Motors 14,465 $ 481 24 $ 49 $ 530 Digital Control System 1,889 $ 11,109 64,838 $ 2,156 $ 13,265 $ 1,280 Exterior Lighting Retrofit 17,016 $ 566 $ 566 $ 216 TOTALS 2,463 $ 14,487 608,962$20,2481,848$ 3,788 $ 38,524 $ 2,319 INTERACTED TOTALS 2,175 $ 12,793 604,179$ 20,0891,848$ 3,788 $ 36,671 $ 2,319 Utility Costs $ 5.882 $/klb steam Oregon State University - Varies monthly $ 0.033 $/kWh Pacific Power & Light Schedule 25 - over 20,000 kWh/month $ 2.05 $/kW '' TABLE 2 SUMMARY OF PROJECTED SAVINGS Steam 1,000 lbs MMbtu $ Current 6,787 6,448 $ 37,185 Consumption O&M Savings 19 18 $ 109 Interacted ECM 2,175 2,066 $ 12,793 Savings Projected 4,593 4,364 $ 24,283 Consumption Total Savings 2,194 2,084 $ 12,903 % Savings 32.3% 32.3% 34.7%
kWh 2,129,400
Electricity kW 5,712 $
ECM Cost Payback $ SimpleBLCC NPV $ 6,875 2.7 2.5 $ 45,556 $ 39,150 5.9 6.5 $ 96,290 $ 6,138 6.3 6.5 $ 12,537 $ 69,220 7.1 7.5 $ 113,565 $ 37,908 7.5 8.5 $ 56,990 $ 4,690 8.8 9.5 >$ 5,453 $ 137,736 9.5 10.5 $ 158,726 $ 8,518 10.9 12.5 $ 6,530 $ 310,235 7.3 8.0 $ 495,647 $ 310,235 8.0 8.5 $ 457,449
Total $ 89,499
MMbtu 13,715
$
$ 126,684
604,179
1,848
$
23,877
18 4,128
$ $
109 36,671
1,525,221
3,864
$
65,622
9,569
$
89,904
604,179 28.4%
1,848 32.4%
$
23,877 26.7%
4,146 30.2%
$
36,780 29.0%
FEMP SAVEnergy action plan and audit Report Findings USDA Forestry sciences research lab, corvalis, oregon etc Group, Inc. 3481 South 2300 East, Salt Lake Gity, Utah 84101 (801) 278-1927, FAX (800) 278-1942 CORVALIS.DOC 5/22/95 4:45 PM Page 5 of 34
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1.0 Executive Summary The Begich, Boggs Visitor Center in Portage, Alaska is operated by the U.S. Forest Service. Its annual energy costs are $14,834 for electricity and $8,334 for fuel oil, giving a total energy bill of $23,168 per year. The building area is 16,742 gross square feet, which implies an energy cost of $1.38 per square foot-year. Through the energy efficiency improvement projects recommended in this report, this cost can be reduced by 6,299, or 27% of the site's total energy costs. The recommended lighting projects are conversion to T-8 lamps with solid state ballasts, replacing incandescent lamps with halogen, replacing incandescent track lighting with color-corrected high pressure sodium, replacing exit signs with LED exit signs, and installing automatic lighting controls. The recommended HVAC projects are the more aggressive use of the night setback control which automatically reduces the indoor temperature during nights while maintaining freeze protection, cleaning the boiler heat exchange surfaces, and expanding the energy management system. The site provides its own water through two wells. A survey of water end-uses was performed, although no water saving projects were evaluated. A survey concerning the applicability of renewable energy sources is also included with this report.
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TABLE 1.1 RECOMMENDED PROJECTS Measure Electric Fuel Total Energy Estimated Discounted Simple Description Energy Oil Savings1 Monetary Project Payback Payback Savings Savings (MBtu/yr) Savings Cost2 Period (yrs) Period (kWh/yr) (gal/yr) ($/yr) ($) (yrs) Operation and Maintenance Measures Night Setback for 1,825 2,226 311 1,711 210 NA 0.1 Space Heating Clean Boiler Heat 0 477 65 338 630 NA 1.9 Exchange Surfaces Subtotal 1,825 27703 376 2,049 840 0.4 Energy Conservation Measures Install Automatic 4,048 (69) 4 356 1,143 4 3.2 Lighting Controls Replace 6,682 (114) 7 475 1,890 5 4.0 Incandescent Lamps with Halogen Expand Energy 5,104 1,670 246 1,557 6,988 5 4.5 Management System Control Replace 13,192 (224) 14 951 5,130 6 5.4 Incandescent Track Lighting with Color Corrected HPS Install T-8 Lamps 8,751 (149) 9 767 7,629 12 9.9 and Solid State Ballasts Replace 3,373 (57) 4 144 1,778 > 16 12.3 Incandescent Exit Signs with LED SUBTOTAL 41,150 1,057 284 4,250 24,558 5.8 TOTAL 42,975 3,760 660 6,299 25,398 4.0 1 Conversion factors are 0.003413 MBtu/kWh and 0.137 MBtu/gal. 2 The cost estimates have been increased by 5% throughout the text of this report to account for additional costs due to the remoteness of the site.
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SAVEnergy Action Plan National Oceanic and Atmospheric Administration National Marine Fisheries Service Northwest Fisheries Science Center Seattle, Washington Steven A. Parker (Project Manager) Randy R. Wahlstrom Eric E. Richman William F. Sandusky III Annet L. Dittmer May 1995 Prepared for the U.S. Department of Energy Federal Energy Management Program under Contract DE-AC06-76RLO 1830 Pacific Northwest Laboratory Richland, Washington
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Executive Summary On December 20 and 21, 1994, the Pacific Northwest Laboratory (PNL)(a) conducted a SAVEnergy Audit of the National Oceanic and Atmospheric Administration's (NOAA) National Marine Fisheries Service, Northwest Fisheries Science Center in Seattle, Washington. The objectives of this study were to evaluate the performance of all energy-consuming equipment in the facility, to estimate energy consumption and demand by end-use and to recommend energy conservation measures (ECMs) and water conservation measures (WCMs) to reduce costs pursuant to the Executive Order 12902, the Energy Policy Act of 1992 and the Code of Federal Regulations (10 CFR 436). Energy conservation measures recommended in this SAVEnergy report and summarized in Table S.1 and S.2 below could save an estimated 3,050 million Btu's each year, or 14% of the facility's fiscal year 1994 (FY94) energy consumption. The annual reduction in energy costs amounts to approximately $20,944, or 12% of FY94 energy costs. In addition to energy savings, operations and maintenance costs are estimated to be reduced by approximately $5,446. Full implementation of the two energy conservation measures recommended in this report is estimated to save $26,390/yr with a net cost of $132,808. The simple payback is 5.3 years. The results of the life-cycle cost analysis for full implementation indicate a net-present value (NPV) of $355,038 with a savings-to-investment ratio (SIR) of 3.6. The life-cycle cost analysis was performed over a 25-year period. In addition to recommending the full implementation of the two energy conservation measures, ECM 1: Upgrade Lighting Systems and ECM 2: Install Run-Around Heat Recovery Coil System, this report also makes the following recommendations: Complete and submit the funding proposal located in Appendix F to the Federal Energy Efficiency Fund. Complete and submit the rebate request forms located in Appendix D to Seattle City Light. Perform periodic energy and water conservation surveys in-house. Routinely review, recalculate, and inspect utility bills and rate schedules. Communicate and encourage staff to turn off lighting when not required. Specify premium efficiency motors when ordering new motors. Purchase a copy of Motor Master from the Washington State Energy Office. Specify high-efficiency refrigeration units when replacing exisiting units. Specify high-efficiency air-conditioning units when replacing or upgrading existing equipment. (a) Pacific Northwest Laboratory is a multiprogram national laboratory operated for the U.S. Department of Energy under Contract DE-AC06-76RLO 1830 by Battelle Memorial Institute.
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Table S.1. Summary of Potential Energy Savings Electric
Natural Net Energy Gas Energy Conservation Measure million Btu/yr million Btu/yr million Btu/yr kWh/yr kW $/yr therm/yr $/yr $/yr 1 Upgrade Lighting 419,686 80 1,432 15,389 0 0 0 1,432 15,389 2 Heat Recovery (65,718) (224) (2,609) 18,421 1,842 8,164 1,618 5,555 Total 353,968 80 1,208 12,780 18,421 1,842 8,164 3,050 20,944 Percentage (FY94) 13.0% 16.5% 13.7% 15.2%. 10.8% 14.3% 12.4% Table S.2. Summary of Life-Cycle Cost Analysis Savings
Simple Payback Life-Cycle (yr) Cost Energy Conservation Energy O&M Total Cost Rebate Net Cost NPV SIR Measure ($/yr) ($/yr) ($/yr) ($) ($) ($) ($) 1 Upgrade Lighting 15,389 5,446 20,835 151,580 37,772 113,808 5.5 249,065 3.2 2 Heat Recovery 5,555 0 5,555 19,000 0 19,000 3.4 111,975 6.9 Total 20,944 5,446 26,390 176,580(b) 37,772 138,810(b) 5.3 355,038 3.6 (b) Includes $6,000 agency dollar equivalent funds.
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Chapter 76 Key Targets in Efficient Water and Energy Use C.W. Pike Abstract Projects to improve the efficient use of water and energy have been conducted separately. In the past five years, case studies have shown that water efficiency improvements often reduce energy use. This presentation highlights target areas for combined water and energy savings. Introduction Water and energy are extremely important to the largest of America's manufacturers. Indeed, the largest energy users are also the largest water users. MANUFACTURING INDUSTRIES USING THE MOST ENERGY & WATER WATER USERS 1 ENERGY USERS2 Rank Industry Rank Industry 1 Chemicals 2 Chemicals 2 Paper & allied 4 Pulp and paper 3 Petroleum 1 Petroleum refining 4 Basic steel 3 Primary metals 5 Food processing 5 Food processing Many non-manufacturing businesses also use large amounts of water3. They include: Service businesses, such as hospitals, laundries, and cleaners Medical offices and laboratories Office buildings and shopping centers Government facilities and military bases Schools, colleges, and other institutions Hotels, resorts, and restaurants In the past five years, case studies to improve water efficiency have shown that some water efficiency improvements also reduce energy use. These studies and the approaches used to identify likely water savings opportunities are described in the Water Efficiency Guide for Business Managers and Facility Engineers published by the California Department of Water Resources. This article highlights target areas for combined water and energy savings. Costs of Using Water The cost of using water often includes other expenses besides the water utility fees4. For example: Dishwashing requires water heating, cleansers and sanitizing agents. Steam requires treatment of boiler feed water by softening and scale inhibitors. Cooling towers require pumping and chemicals to prevent corrosion, scaling, and pathogens. Clean-in-place systems may pump caustic chemicals, sanitizing agents, hot water and rinse water through closed pipes and vessels. Other water uses may require pre-disposal treatment, discharge to municipal waste water systems, or disposal of hazardous aqueous substances. These are all components of the total costs of water use and are summarized below.
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Costs to Use Water Cost to purchase water or pump from source Prepare water for use polishing - filtering to remove minerals and taste softening - removing hardness, calcium, preventing scale formation deionizing - ultra-purification common to semiconductor, electronics, and pharmaceutical industries Energy to heat and cool water using systems Energy to pump and move water Pretreating prior to discharge to wastewater Fees to wastewater utility Many of these costs are expected to increase, giving water efficiency measures an even higher rate of return on investment. Target Areas to Improve Water Efficiency can also Yield Energy Savings Major water uses are considered target areas 4 for water efficiency programs. Water auditors concentrate their efforts in these areas. Cooling and Heating Systems Boilers, hot water & steam Evaporative cooling Systems Single-pass cooling water use Equipment cooling Process and Equipment Use Rinsing and cleaning Plating and metal finishing Painting Photo and X-ray processing Dyeing Sanitary, Kitchen, and Domestic Use Faucets Showerheads Toilets Kitchens Maintenance Operations Steam and water leaks Freeze protection Clean-up Examples of Combined Water and Energy Savings Retail businesses, manufacturers and institutions have implemented successful, cost-effective water management projects. Many sites4 used new applications of existing technology. These projects provide practical examples of successful water management programs which also achieve energy savings, reduced wastewater discharge, and/ or benefits. PPG Industries Inc. Disposing of contaminated waste with little impact on the environment is one of the biggest challenges facing industry today. Automotive coatings manufacturers often produce large quantities of contaminated waste water. One such manufacturer, PPG Industries, Inc., has implemented a new energy efficient technology at its Cleveland, Ohio, plant that reduces its effluent from 400,000 gallons of contaminated water each year to 20,000 gallons. PPG designed a combined ultrafiltration/reverse osmosis process that recovers up to 95 percent of the waste water for reuse. The process reduces the needs for fuel for transporting waste and for incineration, and reduces the need for deionized water. Energy Savings are estimated at 3.6 billion BTUs per year. Economic benefits are annual net savings $205,000. The installation cost was $454,000. Cal Linen The California Linen Rental Co., Inc. (Cal Linen) of Oakland, California, rents laundered linens, clothing and other washable items to small businesses in the San Francisco Bay area. They process approximately 50,000 pounds per work day and employ 112 workers in the plant. They have nine automated 400-pound washers which are computer controlled. Cal Linen discharged oil and grease from soiled laundry goods which did not meet with wastewater discharge regulations. In order to comply with these standards, the linen company installed a system to pretreat its wastewater prior to discharge. In 1992, Cal Linen successfully modified the wastewater reagent and began operation of the system that recycled treated effluent. Cal Linen is now able to recycle up to 50 percent of its treated effluent stream by injecting caustic to reduce hardness, reducing particulate matter, and automatically controlling a pumping system. Warm, recycled water is routed back into the hot water system, saving heat energy and up to 11 million gallons of water.
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At the 50 percent effluent recycling level, the annual benefit from the recycling pretreatment system is projected at $28,345, compared to the annual costs without recycling of $16,248. With a capital outlay to make recycling possible of $37,137 at 1992 prices, this represents a payback of just under one and a third years. With the cost of water and wastewater services rising faster than most other goods and services, this financial picture is likely to become even more favorable for Cal Linen. Medical Center In 1991, the City of Ventura provided a consultant to help major businesses reduce their operating costs. The consultant provided on site surveys to identify measures that would focus on water use efficiency, energy efficiency and wastewater discharge. The Ventura County Medical Center is a full service general hospital with 222 beds, operating room, physical therapy, radiology, laboratory, morgue, and in-patient and out-patient care. In addition to the hospital facilities, the Medical Center has on-site food service, a central heating plant, and a laundry facility that serves various county facilities in the area. In the laundry, two 400-pound washer extractors processed as much as 6,180 pounds of laundry per day. The recommendations were: a) Install a rinse water recycling system to reuse the second and third rinse cycles. Potential water and wastewater savings would be 1 million gallons per year, worth $3,985. Energy savings would be $2,400 per year. The savings total would be $6,385 per year. Total capital costs would be $30,000. The payback period would be 4.7 years. b) Install a valve in the steam supply line to the laundry to shut off the steam when the laundry is idle. Capitol costs would be $200. Steam leaks in the cafeteria, laundry and physical plant accounted for 77 pounds per hour of actual energy consumption. Water leaks were found in faucets, valves and pipe fittings. Energy savings would be 7,595 them, worth $1,880 per year. Condensate from about 280 pounds per hour of steam was routed directly to the drain instead of being returned to the boiler for reuse. The energy loss was worth $1,316 per month. Repair costs would be approximately $1,500. The payback period would be 1.25 months. The Ventura County Medical Center is remodeling major portions of its aging structures. The medical center has included many of the recommendations in the remodeling plans. This fortuitous timing further reduced the cost of implementing many of the efficiency measures. Pepsi-Cola Bottling of Ventura The Pepsi-Cola Bottling of Ventura produces Pepsi-Cola and other carbonated soft drinks, bottled in cans and bottles, as well as tanks of concentrated product formula. Efficiency measures were identified which could reduce non-product water use by 46 percent, from 1.4 to 0.8 gallons per gallon of product. The plant, s average water consumption was more than 67,000 gallons per work day. If all of the recommendations were implemented, the savings would be more than 4.5 million gallons of water per year, approximately 92,000 kilowatt hours of electricity per year, and 11,000 therms of natural gas per year. The savings were worth more than $17,400 due to decreased water and wastewater volume, $6,660 from BOD reductions, $1,500 in reduced chemical consumption, and $16,340 from energy conservation. The total savings were $41,760. Major Supermarket Employs 200 and operates 24 hours a day. The store size was approximately 50,000 square feet and consumed 6.2 million gallons annually costing $22,754. Two of the recommendations based on the water audit were: Evaporative Condenser The total daily consumption was approximately 8,655 gallons, operating with a concentration ratio of 2.5. This was 50 percent of the market's total daily water consumption. The recommendation was to operate the condenser at 3.0 cycles of concentration to save approximately 880 gallons per day or 321,200 gallons per year, worth $1,178. This would also have an additional chemical savings of $400 per year. The total savings would be $1,578 per year. With no capital costs the payback would be immediate. Garbage Disposal At the time of the audit, water flow to the produce garbage disposal failed to stop when the disposal was not in use. This problem cost an estimated 2,880 gallons a day with a potential cost of $3,860 per year. Repairing the flow valve to the disposal would lead to substantial savings.
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Toyota Motor Manufacturing Company Toyota Motor Manufacturing USA, Inc. (TMM) manufactures Toyota automobiles at Georgetown, Kentucky. The plant is attempting to improve water efficiency by approximately 87 million gallons per year. Some of the modifications to achieve these savings are described below. Steam condensate recovery Approximately 40 percent of the steam uses are indirect steam which can be recovered for use as boiler feed water. TMM was recovering only 20 percent. The estimated water saving is 8.5 million gallons per year. Deionized water TMM uses a wet sand process which requires deionized water. Past practice has been to send the used DI water to waste treatment. A recycle system is being designed to reuse all of the DI water. The estimated water saving is 59.4 million gallons per year. Boilers Water is released to maintain boiler water chemistry at a specific control set point. Existing set points could be adjusted along with additional controls to reduce blowdown by approximately 2.3 million gallons per year. Direct steam injection Temperatures of processes have been controlled by injecting steam into the process. Heat exchangers would allow recovery of this water and its heat content. The estimated water savings is 500,000 gallons per year. Deaeration This equipment uses live low pressure steam, vented to the atmosphere. Installing new control valves and reducing pressure will reduce steam use by 23,000 pounds per day. The savings includes energy and water savings of 830,000 gallons per year. New Technology Advances The Industrial Waste Program of the U. S Department of Energy (DOE) reports 5 that new technologies have been adopted by industry and are being used profitably on a commercial scale. These successfully commercialized technologies are generating tangible energy, economic, and environmental benefits. Supercritical Carbon Dioxide Cleaning can be used to clean metals, plastics, ceramics, composites, electronic components, optical, and other materials. CO2 in the supercritical state possesses the excellent cleaning properties of organic solvents without any of the environmental burdens. The technology is more economical and less energy intensive than chlorinated organic solvents or aqueous cleaners. In addition, the CO2 used in the process can be recycled continuously, thus minimizing costs and eliminating CO2 emissions. DOE estimates that by 2010 this technology will annually save 30 × 1012 BTUs and 340,000 tons of solvent waste. Ultrasonic Tank Cleaning Chemical and pharmaceutical companies have long used solvents to clean tanks. Conventional cleaning techniques depend on solubility or emulsification of a contaminant in a solvent. Cleaning with these solvents results in the emission of volatile organic compounds from the cleaning process and from incineration or other disposal of the spent solvent. Dupont-Merck in New Jersey demonstrated ultrasonic technology as a method to successfully clean storage tanks for the pharmaceutical industry. Telsonic AG provided tubular resonators which allow homogenous, radial omni-directional sound distribution. Compared to the typical solvent method for tank cleaning, ultrasonic technology has reduced energy consumption by 90 percent and reduced the use of toxic chemicals by 10 percent, while saving more than $293,000 annually in operating expenses. DOE estimates that by 2010, application of this technology will realize the annual savings of 112 × 106 BTUs and 8 tons of toxic waste per unit. Energy Efficiency Saves Water Although most of this discussion has centered on water efficiency measures that save energy, some energy efficiency measures save water. Air conditioned buildings are a prime example. Each piece of lighting and electronic equipment produces heat which must be removed by an HVAC system that often uses cooling towers. Substantial reductions in the cooling load (by using more energy efficient devices) will reduce the amount of water used by the cooling towers. Similarly, reductions in the need for steam will reduce the need for water. Recycling steam condensate saves hot water, reduces make-up water needs, and reduces chemical treatment of additional boiler feed water. Summary Like energy, water is a necessity for many manufacturing and commercial businesses. Energy use and water use are intertwined. Savings of one often results in savings of the other. Both effect the cost of operations. Expenditures for improvements of water efficiency and energy efficiency can have positive paybacks and attractive rates of return. The
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bottom line for facility engineers and business managers is that efficient water management is smart business. Free copies of the Water Efficiency Guide for Business Managers and Facility Engineers may be obtained from: California Department of Water Resources Bulletins and Reports, Room 338 P. O. 942836 Sacramento, CA 94236-0001 Communications with the author are encouraged. Contact Charlie Pike at (916) 327-1649, by e-mail at
[email protected], or fax (916) 327-1815. References 1. U. S. Department of Commerce, 1982 Census of Manufacturers-Water Use in Manufacturing, March 1986 2. U. S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Technology Partnerships Enhancing the Competitiveness, Efficiency, and Environmental Quality of American Industry, April 1995 3. American Water Works Association, Helping Businesses Manage Water Use - A Guide for Water Utilities, Denver, CO, Dec. 1993 4. California Department of Water Resources, Water Efficiency Guide for Business Managers and Facility Engineers, Sacramento, CA, Oct. 1994 5. U. S. Department of Energy, Office of Energy Efficiency and Renewable Energy, Office of Industrial Technologies, Industrial Waste Program Annual Report, March 1995
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SECTION 9 FACILITIES MANAGEMENT
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Chapter 77 Maintaining the Solution to Operations and Maintenance Efficiency Improvement R.J. Meador Abstract This paper discusses the emergence of a new, necessary philosophy for the successful implementation of advanced technologies to improve plant performance and longevity. This philosophy is necessary to ensure the expected return on the initial capital investment is realized. This paper defines the elements of an Operations and Maintenance (O&M) methodology that utilizes a holistic approach which considers all aspects of the supporting infrastructure (Operations, Maintenance, Engineering, Training, and Administration) as integral pans of the whole system. This paper also discusses a network structure that provides an intelligent integrated plant communication network for the measurement and management of plant performance goals. Introduction Increased fuel costs and environmental legislation have made the efficiency and emission controls of plant operations increasingly important. Significant advances in data collection, monitoring, and control systems to enhance the efficiency of plant operations are occurring at a fast rate. However, in many cases the installation of the latest system to improve efficiency has not resulted in the continuous improvement process that provides the long-term benefits of improved efficiency in operations and maintenance. Typical of optimization problems, the process of improving one area of performance causes another area to suffer. Thus, to improve total plant performance, efficiency enhancements must be approached from a global, as well as life-cycle perspective. This holistic philosophy was developed and implemented during the installation of a Decision Support System for Operations and Maintenance (DSOM) developed by the Pacific Northwest Laboratory (PNL) at the Marine Corps Air Ground Combat Center, Twentynine Palms, California. The DSOM system is a Federal Energy Management Program-administrated R&D project pioneered by a team of research engineers and scientists at PNL. This approach is unique in that it offers a permanent solution to O&M problems through the establishment of a computer enhanced plant infrastructure. This infrastructure is, in turn, capable of a selfsupporting, program-improvement process that provides mediate improvement in the areas of operating efficiency, protection of plant capital equipment, and long term O&M life-cycle cost reduction. Federal Energy Conservation Mandate In 1992, Congress passed the National Energy Conservation Policy Act (NECPA). This legislation elevated the role that utilities conservation will play in the Federal government for years to come. One key aspect of NECPA is the mandate that a 12% reduction in utilities consumption for all federal activities by 1995 from a 1985 baseline. Energy conservation must continue beyond that to reach a mandated 20% reduction by the year 2000. Excutive Order 12709 of March 8, 1994, increased this goal to 30% by the year 2005 and stipulates that all cost effective energy and water conservation projects be implemented, and includes a goal for federal industrial sites of 20% savings. In light of the funding reduction in military base operations, these mandates place an ever-increasing premium on improved reliability, productivity, and efficiency of base facilities. This results in a daunting challenge to base facility managers; increase facility efficiency while under reduced budget constraints. On a percentage basis, federal O&M funding is significantly less than that found in commercial industry. As a consequence, the field performance of military facilities and their supporting infrastructure tend to deteriorate relatively quickly. Realistically, the operations and maintenance (O&M) of base
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support facilities has led to very few promotions among senior military officers compared with combat or operational readiness and training. Now, with reduced budgets, many base maintenance officers are ill-equipped to successfully meet the efficiency and environmental challenges that lie before them. The goal of the Decision Support for Operations and Maintenance (DSOM) project was to increase the safety and productivity of base heating plants for the U. S. Marine Corps. Using state of the an engineering practices applied via an artificial intelligence computer network, DSOM utilizes an integrated and carefully structured approach to productivity enhancement. Productivity from a Life-Cycle Perspective During the usual three year tenure of the Facilities Maintenance Officer (FMO), he views only a narrow portion of the life-cycle of any given facility or system. Figure 1 depicts the performance level of a facility over its useful life. The design life of a base central heating plant, for example, is typically 25 years. Given careful O&M practices this can be extended to something more on the order of 40 years. Obviously, no one in the military chain has responsibility for the O&M of such a facility for anything but a small fraction of this period. As depicted in the figure, the performance of any facility tends to decrease over time. The slope of this decline is referred to as the degradation characteristic and its variations are dependent on design adequacy, operating environment, and maintenance effectiveness. In the nominal scenario, a plant proceeds at a fairly constant rate of degradation, but is fully capable of fulfilling its design mission (Case A). At some point the end of the useful life is reached and the facility must either be refurbished or replaced. In many situations the degradation process has been hastened by unavoidable reductions in the funding necessary to perform the O&M functions in a cost effective manner (illustrated in Figure 1 as Case B). This is often compounded by the fact that this same funding deprivation frequently removes the facility's ability to make an accurate determination of its current performance level. Thus, the understanding of where the performance level is, and its rate of change, are both lost. This result renders the facility manager virtually blind - unable to anticipate or mitigate the impending loss of a major facility service. A third and much more desirable alternative is reflected in the curve labeled Case C, where a slowing of the degradation rate is accomplished. Life extension is a very real possibility using advanced monitoring and predictive maintenance techniques now being developed in the laboratory. Where Are We Now? The question is, where is your facility on the performance curve, what is the rate of change, and how can these conditions be measured? An accurate method for assessing your plant's physical condition, and the real performance level of the facility and its O&M infrastructure has been developed and tested by the Pacific Northwest Laboratory (PNL). Borrowing on extensive Naval and commercial nuclear power experience, the nature of, and interdependencies of all of the areas necessary for effective process operations have been defined and the criteria formalized. These criteria are organized into the functional areas of operations, maintenance, engineering, training and administration (OMETA - see Figure 2). From both a performance and a programmatic perspective, these criteria allow us to define how well the subject plant functions relative to a ''perfect plant.'' A uniform, reproducible measurement basis has thereby been established. The collection of these criteria is termed the Standard Plant Metric (SPM), and forms a yardstick for measuring potential plant improvement opportunities. Some of the aspects of OMETA that are addressed and their functions are listed below. Operations: Administration - to ensure effective implementation and control of operation activities, Conduct of Operations - to ensure efficient, safe, and reliable process operations, Plant Status Control - to be cognizant of status of plant systems and equipment, Operator Knowledge and Performance - to ensure that operator knowledge and performance will support safe and reliable plant operation, and Operations Procedures and Documentation - to provide appropriate procedural direction that can be effectively used to support efficient, safe, and reliable operation of the plant. Maintenance: Administration - to ensure effective implementation and control of maintenance activities, Work Control System - to control the performance of maintenance in an efficient and safe manner such that economical, safe and reliable plant operation is optimized, Plant Material Condition - to maintain the plant in a condition that supports efficient and reliable operation, Conduct of Maintenance - to conduct maintenance in a safe and efficient manner, Preventive Maintenance - to contribute to optimum performance and reliability of plant systems and equipment, Maintenance Procedures and Documentation - to provide directions when appropriate for the performance of work and to ensure that maintenance
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is performed safely and efficiently, Maintenance History - to support maintenance activities, adjust maintenance programs, optimize equipment performance, and improve equipment reliability, Maintenance Facilities and Equipment - to effectively support the performance of maintenance by providing adequate facilities and equipment, Materials Management - to ensure that necessary parts and materials meeting quality and design requirements are available when needed, and Maintenance Personnel Knowledge and Performance - to keep maintenance personnel knowledge and performance at a level that effectively supports efficient, safe and reliable operation. Engineering Support: Engineering Support Organization and Administration - to ensure effective implementation and control of technical support, Plant Modifications - to ensure proper design, review, control, implementation and documentation of plant design changes in a timely manner, Plant Performance Monitoring - to perform monitoring activities that optimize plant reliability and efficiency, Engineering Support Procedures and Documentation - to ensure that engineer support procedures and documents provide appropriate direction and that they support the efficiency and safe operations of the plant, Document Control - document control systems should provide accurate, legible and readily accessible information to support station requirements. Training: Administration - to ensure effective implementation and control of training activities, General Employee Training - to ensure that plant personnel have a basic understanding of their responsibilities and safe work practices and have the knowledge and practical abilities necessary to operate the plant safely and reliably, Training Facilities and Equipment - the training facilities, equipment, and materials effectively support training activities, Operator Training - to develop and improve the knowledge and skills necessary to perform assigned job functions, Maintenance Training - to develop and improve the knowledge and skills necessary to perform assigned job functions, Chemistry Training - to develop and improve the knowledge and skills necessary to perform assigned job functions, and Emergency Response Training - to develop and improve the knowledge and skills of emergency response personnel to mitigate an emergency. Administration: Station Organization and Administration - to establish and ensure effective implementation of policies and the planning and control of station activities, Management Objectives - to formulate and utilize formal management objectives to improve station performance, Management Assessment - to monitor and assess station activities to improve all aspects of station performance, Personnel Planning and Qualification - to ensure that station positions are filled with highly qualified individuals, and Industrial Safety - to achieve a high degree of personnel and public safety. The process plan for accomplishing a site characterization that leads to an integrated facilities improvement strategy is depicted in Figure 3. An OMETA trained and experienced team is first assembled. Each of the five areas has its own expert, who coordinates and organizes the information from all team members for that area. Following a review of the plant design and operating states, a discussion of any available plant information prepares the team for the site visit. At the site, the team uses a criteria protocol and systematically gathers information on each of the functional areas. The team also establishes an efficiency baseline at both the component and plant performance levels. A master list of observations is used to derive the full set of improvement opportunities for the plant. Next a critical systems analysis is performed to narrow the field to areas that are truly necessary to the safety, reliability and efficiency of the plant. A solution to each of the critical improvement opportunities is now formulated based on plant experience and sound engineering practices. As the DSOM project domain deals only with the analysis and management of information, solutions that involve upgrading infrastructure elements must be supplied by either site or project resources. A value/impact ratio for each critical solution is derived based on the projected cost of a given
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improvement and the likely return in terms of plant O&M savings. The final rankings of improvement solutions are sorted from highest to lowest benefit/cost ratio, but maintain their functional area identity. This presents plant managers with a prioritized list of improvements that can be implemented using a focused improvement strategy. Because these improvements are derived from an integrated infrastructure perspective, they inherently contain the elements that are necessary to produce an effective and therefore efficient plant operation. Focusing Facilities Resources A look at the a suave area of the SPM reveals that one of the principal responsibilities of the managerial function is the assignment of resource priorities. An earlier paragraph of this article points out a new management priority: a mandate for improving efficiency and thereby reducing energy consumption. Let's continue a bit further with the central power plant example, and assume that the characterization described above has been performed and we have a concise cost/impact ordered listing of improvements. How do we identify the minimum resource level that must be obligated to attain the required improvement goal? The nature of the improvements and their cost/impact ratios help to answer this question. Summing up our collective experiences with power plant operational infrastructure conditions, we find that a wide range of productivity levels can be found. The upper curve of Figure 4 illustrates how the population of plants might be distributed based on how well they perform in terms of productivity level. In a low productivity environment the goal is survival for one more day. Complaints, confusion, and apprehension of impending catastrophe pervade the operator attitudes. These plants usually have chronic O&M problems and don't have a clue as to how to go about fining them. Low reliability and even total plant failure characterize this segment of the population. One notch up the ladder, the by-word is adequacy. They're keeping it together, but a current of uncertainty and uneasiness can be found. These plants typically are in the lower 1/3 of the reported efficiency ratings, and frequently represent older plant population. Many of today's better performers are striving for operational accuracy. They are secure in their knowledge of how to operate and maintain their plant, but would like a better grip on the exact performance level, and how their O&M changes effect the plant processes. At the top of the ladder are those plants that know both the level and slope of their plant performance curve. They search for better ways to optimize the state of an already effective O&M process. While these characteristics are obviously very general, they should serve to provide some idea of your relative position on the O&M spectrum. Once you have identified approximately where your plant resides on the upper curve, the lower curve in Figure 4 tries to translate that position into an immediate improvement focus area. Safety -
Chronic problems provide a condition conducive to accidents. At this level, the focus is clearly on personnel safety and the preservation of your capital equipment. InfrastructureEffective and efficient O&M requires that all the OMETA elements are fully functional. While the format of these elements is quite flexible, the plant cannot move toward a higher productivity rating without a well understood responsibility and communications pathway. Information -An accurate and complete information set is essential to making logical cost/benefit decisions regarding operation and maintenance of any facility process. This provides the footing necessary to reaching the top rung of the O&M ladder. Analysis - Given an accurate information basis, advances in technology allow predictive diagnosis and mechanistic root cause to be determined. This gives the plant the ability to assess the remaining useful life of critical components and to plan maintenance around the prevention of failure rather than reaction to failure. These are difficult, but feasible transitions. Two key concepts must be retained: 1. A facility must be able to walk before it can run. The basic attributes of a safe, functional O&M infrastructure must be satisfied before it is feasible to attempt increased productivity through any means, high-tech or otherwise. 2. Major productivity increase-decrease cycles are not cost effective. In order to maintain the performance gains of any facility upgrade, a self-sustaining program to provide life-cycle information accuracy is necessary.
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There is a reward in the form of significant productivity gains from using the advanced methods and technologies now available. A bottom line 20% reduction in O&M costs over the life of even the best plant is a clearly achievable goal. A Case Study In October of 1990 a Pacific Northwest Laboratory (PNL) team visited the Central Heating Plant (CHP) at the U. S. Marine Corps Air-Ground Combat Center (MCAGCC) in 29 Palms California. The CHP, constructed in 1978, utilizes natural gas to provide the heating and cooling requirements for over 15,000 Marines and sailors at the Combat Center. As the base population grew, additional demands were placed on an already strained hot water distribution network. The CHP operators, attempting to compensate for these distribution system deficiencies, increased the output water temperature. Subsequently, the plant began experiencing a severe water hammer phenomena in the 250 psig subcooled primary circulation loop. The plant, rated at 120,000 Btu/hr, encountered these pressure spikes at an indicated 48% of the maximum plant power. The team quickly identified the cause of the water hammer as boiling (two-phase operation) in what should have been a single-phase loop. A recommendation was made to reduce primary loop temperature and increase pressure to the design mums; these actions immediately restored single-phase operation. A further recommendation to perform a plant-wide calibration of all critical instrumentation was quickly accomplished. These actions stabilized the operational behavior and removed the potential for a catastrophic plant failure. A complete characterization of both the efficiency and plant O&M infrastructure was completed and submitted to the Marine Corps Headquarters sponsor. It laid out a recommended strategy for reconstituting the plant's design basis and O&M infrastructure as a key part of the DSOM artificial intelligence development project. Following Headquarters approval of the plan, close coordination between the 29 Palms facilities and plant staff, the Naval Facilities Engineering Support Center (NFESC), and the PNL research team resulted in the installation of the DSOM system, and a rather remarkable jump in the efficiency of the base CHP. The DSOM System Installation Installation was accomplished in two phases. Per the characterization scheme, primary attention was focused on giving the plant operators an accurate, ergonomically sound process indicator display. Associated infrastructure elements were simultaneously put in place. These included as-built piping and instrument diagrams, design basis reconstitution, a component labeling system, an instrument calibration laboratory complete with all required calibration instruments and tools, an ergonomically designed control and supervisory monitoring room, and an instrument technician to provide for the necessary maintenance of the hardware system. The laboratory took the responsibility for instrument set design (based on process monitoring, degradation trending, and diagnostic input requirements) and for proper specification, procurement, and placement of the instrumentation in the plant. The Naval Energy and Environmental Support Agency (NEESA, now NFESC), installed the instruments per the PNL plan and ran and connected the instrument cabling from the remote locations to the central Data Acquisition System (DAS) termination panel. The second phase was the development of an artificial intelligence monitor to detect inefficient plant operating conditions, analyze the process, and provide the operator with appropriate condition and recovery instructions. Project Results On 6 April 1994, the Efficiency Diagnostic Monitor (EDM) and plant instrumentation Preventive Maintenance System (PMS) were successfully installed in the 29 Palms DSOM computer. The EDM and PMS are the final software products in the current DSOM-29 Palms project. The EDM provides on-line oversight of the efficiency of the combustion, heat transfer, and heat transport processes in the plant. Specifically, the EDM enables the DSOM computer to recognize an efficiency condition below acceptable limits, localize, and identify the substandard process to the operator, and provide a prioritized scheme for efficiency recovery. The PMS is essential to maintaining instrument accuracy, thereby ensuring that the computer system provides operators with the correct problem diagnosis. The successful installation of the Phase HI software continues to follow the DSOM value/impact implementation strategy established by the Site Characterization Report submitted in April 1991. Reflecting back to the original project goals of improving plant safety, reliability, and efficiency, the project has accomplished the following: Safety - The project eliminated a potentially dangerous water hammer condition, and the computer system now provides oversight to ensure continued operation within the original plant design operating specifications. ReliabilityPlant availability and capacity have increased with the vastly improved accessibility and accuracy of operator information and on-line component vibration monitoring. An approximately 30% capacity jump has allowed the site to shelve plans for expanding the central plant. Plant personnel now utilize component vibration levels to identify and avoid
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potential equipment failures. The time required to train a plant operator has been reduced from 2 years to approximately 6 months. EfficiencySince the beginning of the project in October 1990, plant output efficiency has increased by approximately 13%. The DSOM advisory system has identified that an additional 3% to 4% heat rate improvement is achievable via thermal insulation upgrades. When the insulation upgrades are completed, the total efficiency gain due to the project is expected to be approximately 16%. The development and implementation of the DSOM integrated infrastructure approach has resulted in making the 29 Palms central heating plant the most efficient plant in the Marine Corps. The understanding and support of the project from HQMC, the cooperation of the plant operators in assisting the PNL team, the willingness of the site managers to provide the necessary support requirements, and the dedication of the NFESC installation team all played vital roles in making this a successful, and a permanent productivity improvement project.
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Figure 1
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Figure 2
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Figure 3
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DSOM Improvement Strategy
Figure 4
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Chapter 78 Energy Savings in Preventative Maintenance Surveys A.W. Rinne Background of Energy/Preventive Maintenance Surveys: The Energy/Preventive Maintenance surveys are part of a program cosponsored by North Carolina State University and the North Carolina Department of Energy. The cost to the companies being surveyed is deliberately kept low (only $600.00) in order to encourage participation in the program. The remainder of the cost of a survey is covered by the state of North Carolina and escrow funds set up by court order from fines imposed on some of the major petroleum manufacturers. The Energy/Preventive Maintenance surveys ere port of a broader program of educational courses and surveys which also includes Boilers, Steam Traps, Lighting, Air Compressors, Electric Motors and HVAC. Manufacturing Process energy surveys are currently under consideration. Participation in these surveys must be accompanied by at least one person from the facility attending a one day workshop on the topic, the workshops also being sponsored by N. C. State University and the North Carolina Department of Energy. Companies participating in these programs get an experienced surveyor in their facility for two days, a written report of the findings, results and recommendations. There is also a follow-up visit by the surveyor to discuss the report and related recommendations. It should be noted that companies use these surveys for two reasons: A) Determine some of the weak points in the maintenance operation in order to build a more effective and powerful maintenance organization. B) Verifications by an outsider that the system they have in place is effective. Format of Energy/Preventive Maintenance Survey: Day 1: Review information system in Maintenance department Evaluate Parts Inventory controls and procedures Pass out questionnaire to users of Maintenance services Ask a series of questions determine the present status of Maintenance capability Determine current Energy savings programs and efforts, as well as those proposed in the near future
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Day 2: Review Maintenance practices on the floor Evaluate recent Preventive activities, compared to documented activities Observe potential Energy savings opportunities as plant tour is taking place. Develop report outlining major potential energy savings, along with estimated cost in order to determine payback Fill out Downtime cost report to indicate conservative estimated annual cost of controllable breakdown downtime costs. Follow-up Visit: Meet with Maintenance, Production and/or Management personnel as desired by the Maintenance management. Main sources of Energy savings through Preventive Maintenance: 1) Better lubrication programs to reduce energy requirements for operation of equipment. Friction creates heat, and this heat is not producing any product. 2) Better control of makeup air. Use of heat exchangers, better control of exhaust fans, etc. A dramatic amount of treated air is wasted in the typical facility. 3) Air compressor rooms: a) use outside air on north side of building to reduce intake temperature - thereby reducing power requirements. b) use air compressor exhaust air in the winter to heat plant floor area instead of exhausting to environment. 4) Better control of exterior doors. In many cases, there are no ''people'' doors adjacent to large roll-up doors. requiring that personnel use the large doors to enter and leave the building. Large amounts of treated air are lost when this happens. In one plant, the doors were simply left open all the time. 5) Air leaks. Compressed air is one of the most expensive utilities that any plant uses, and often one of the most misused utilities. Many employees view compressed air as being "free". Several evaluations need to be made of compressed air use and distribution: a) Don't use high pressure air for low pressure applications. b) Don't use compressed air to cool personnel or equipment if it can be avoided. c) Air system leaks need to be taken care of on a scheduled basis. It is not unusual to find 10% or more of compressed air being lost through leaks. A single small leak, only 1/32 of an inch in diameter @ 100psi will waste an estimated 1,400 kwh per year. This is about $60.00 - $80.00 per year in most areas for just this single leak!!!
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6) Steam traps are often neglected in many operations. Failure of 5% Of the steam traps in a facility can cause a loss of 15% of the manufactured steam (many steam traps are designed to fail in the open position, which wastes large amounts of steam). There are documented situations where steam trap testing programs have reduced steam usage by 30%. Basically, 5-7% of your steam traps will fail each year, more in an older facility. There should be a regular program to evaluate the operation of all steam traps in the facility, all traps being checked once a year, with high pressure traps being checked every 3-6 months. Steam is very costly, and loosing it or misusing it cost dearly. At 100psi and 80% efficiency, even a 1/8 inch opening in a steam trap will cost an average of $1,872.00 per year. 7) Reduced equipment downtime leads to reduced energy consumption per unit of output. One company went into a complete PM program, with the net result of an 8% increase in product output, with no increase in energy costs. Many organizations neglect the fact that many "fixed energy costs" such as heat, lights, etc. continue to accrue during equipment breakdowns. In many organizations, the overhead energy expenses are equal to or greater than the operating energy requirement. These overhead energy requirements are present whether or not product is being produced. 8) Filter changes. This not only applies to HVAC equipment, but also to production equipment. It is not unusual to find filters so clogged with dirt, oil, etc., that they have been sucked out of the frame, and are no longer preforming their intended function. A regular program of inspection and cleaning or replacement needs to be implemented. 9) Quality of product is often affected by the preventive maintenance performed (or not performed!!) on equipment. An integral part of any quality improvement program must be a planned PM program to assure that the equipment is capable of meeting the requirements. Every piece of product that is rejected or reworked represents wasted operating and overhead energy. 10) Many plants are exhausting excess treated air, forcing an added burden of the HVAC system. In many cases this is being dons with exhaust fans normally used to exhaust fumes, but they are left on longer (or all the time!!!) than they should be. 11) Check belt tension. Loose belts slip, not only using additional energy, but also creating additional wear on the belts. 12) Using mismatched belts on multiple belt pulleys. The longer belts do not take their share of the load, often causing slippage of the remaining belts. Any Maintenance department that wants to have an effective operating Preventive Maintenance program must remember two basic concepts:
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1)Information is power!!!! You must have usable reporter data, etc if you want your program to have credibility. Management believes in reports and numbers. This is especially true when it comes from a computer. For some reason, it is harder for people to argue with a computer report. 2) When setting up PM equipment checklists: If it is important enough to do Put it on the checklist!! BUT - if it is on the checklist DO IT !!!!!!! Do not assume that your mechanics "know what to do". If a mechanic forgets what to do (and it is not on checklist), the system has failed. However, if it is documented on a checklist provided for the PM inspection, and it is not done, the mechanic has failed. RESULTS ?????? Comply A: Output was increased by almost 10% in a plant which thought it was at maximum capacity, Total energy costs for the change in output did not change. company B: output increased 8%, with a projected profit increase of $300,000.00 to $500,000.00. Company C: A lumber company found that by sharpening their planer blades once a day instead of every two or three days, it cut the planer amp draw in half. This is a major power user in the mill. The bottom line is this: It is very seldom that a company with a good (documented) Preventive Maintenance system ever lets it slide. It is too cost effective to return to the "if it breaks, fix it" philosophy. Many companies today find that the savings from better Preventive Maintenance are the basis for the majority of their profit! Every minute of downtime that is eliminated saves overhead energy costs, thereby reducing the overall consumption of energy per unit of product or service produced. The maintenance department needs to take a hard look at: A) Where energy is being used (electricity, gas, steam, air pressure, etc), and then ask questions about alternative ways to perform the Job with different or less energy. System designers do not worry about the cost of energy!!! B) Functions in the PM checklists that need to be modified in order to reduce friction, slippage of belts, etc. C) What is actually being done on the floor when the PM's are done by operators or mechanics, and compare this to the PM checklist. D) Have an ongoing program to constantly modify PM checklists in order to both reduce downtime and energy consumption.
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Chapter 79 Power Quality and Harmonic Instrumentation Selection W.L. Stebbins and P. Golden Abstract The proliferation of adjustable speed drive (ASD) systems in commercial and industrial settings has prompted a new awareness of the impact of harmonics and other power quality (PQ) concerns. The PQ issues have a direct bearing on the reliability of these systems and the ability to perform the desired tasks in an interruption-free manner. Details presented include identifying power quality problems, selecting the proper type of monitoring instruments, and interpretation of data. Included are typical instrument specifications and costs. Additionally the advent of artificial intelligence tools for PQ analysis and the resulting impact on providing solutions is described. Introduction There are a variety of firms with the capabilities to supply satisfactory equipment and services. The suppliers used were chosen based on their previous experience on similar applications. Application of this equipment and services for these specific requirements should not be construed as a general endorsement by Dranetz, Hoechst Celanese, or the authors. It is important to note that a variety of brands and suppliers should be evaluated by anyone considering similar applications. Background Historically, most electrical motor and lighting loads were linear in nature, here current and voltage vary directly together. Electronic devices are now becoming a larger part of today's total system load and with their non-linear nature, have become a large enough factor to have serious consequences in power distribution systems. Overheated neutral conductors, failed transformers, malfunctioning generators, false tripping of circuit breakers, and motor burnouts have been experienced, even though loads were apparently well within equipment ratings. Presently approximately 40 percent of all electricity in the United States passes through power electronic systems, and the trend will apparently continue. According to the Electric Power Research Institute (EPRI), by the year 2000 upwards of 60 percent of all electricity used in the U.S. will first pass through a semi conducting device of some type before going on to the load. 1 The increased use of power electronic devices such as ASD systems magnifies the importance of the quality of power supplied by the utility as well as the effects from user-installed equipment. In addition, while there is an increase in the amount of sensitive equipment being used, there is a corresponding increase in the amount of disturbing equipment being installed. This results in an increased potential for incompatibility in the face of a growing need for compatibility. Metering Systems Energy cannot be well managed unless there is a way to identify the major users and then easily trend the consumption patterns to identify potential reductions in energy per unit of production or per service performed. In the words of one old sage, "If you can't meter it, you can't manage it". Likewise, the identification of power
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quality problems can only be accomplished by installation of proper survey and/or permanent instrumentation and the correct interpretation of the resulting data. A Quick Overview of Power Quality Issues & Terms What Kind of Disturbances Except for frequency variations, AC power line disturbances are voltage and current phenomena involving the magnitude and waveform of the AC sinewave. Voltage disturbances are the most important and are classified by the magnitude and duration of the voltage change. These are the factors which determine the tolerance of powered electronic equipment and its internal power supply to line disturbances. Undervoltages and Overvoltages Undervoltage and overvoltage conditions are steady-state RMS voltage variations above or below established limits (say + or - 10 percent of nominal equipment voltage) for a duration longer than one minute. 2 Overvoltage conditions cause electronic component heating with the potential for immediate or future component failure through overstressing. If this heating effect causes enclosure temperature to rise above the safe limit the system may shut down. Undervoltage conditions can cause erratic operation and possibly system shutdown. Low voltage also causes motors to run inefficiently and hot. Motor life is shortened since with a lower voltage, motor current increases in an attempt to deliver constant power, resulting in higher stator and rotor temperatures. Sags and Swells Sags and swells are short-term RMS voltage variations above or below established limits which exist for less than one minute. An IEEE working group is presently working on a new standard for power quality which will further classify short term variations into three types, Instantaneous, Momentary, and Temporary.2 Sags and swells can cause computer memory loss, bit errors in data transmission, power supply damage, and erratic telephone switching system performance. Equipment shutdown may occur if a system confuses a large magnitude sag with a power failure. Transients Transients are sub-cycle, high-magnitude disturbances which severely distort the voltage and current waveform. Voltages can rise to hundreds or even thousands of volts for time periods varying from a fraction of a microsecond to a very few milliseconds. Their effects are far reaching through such problems as semiconductor degradation, bit errors in memory and data transmission, and erratic system performance.3 Dropouts and Line Interruptions These are complete power failures which can last anywhere from a fraction of a cycle up to hours or even days. Computer-based equipment will usually shut down automatically if the AC voltage supply drops to zero for more than a very few milliseconds. ASD systems are now available that will ride through outages of up to a few seconds.
Fig 1. Typical Power Line Disturbances Causes of Power Quality Disturbances Harmonic Distortion In spite of the many benefits adjustable speed drives offer in the form of energy savings, they are not without the potential for drawbacks.1 The problem
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lies in the non-linear fashion in which adjustable speed drives draw electrical power from a system. Power electronic equipment is called non-linear because it draws non-sinusoidal current. Figure 2 shows the linear relationship between voltage and current for one phase of a 3-phase induction motor connected to the line. Figure 3 shows the non-linear current drawn by the adjustable speed drive powering an induction motor. 4 It is important to remember that harmonic phenomena are "periodic" which indicates their continuous nature. While transients in the power supply may contain multiples of the fundamental frequency, it is the continuous phenomena which are addressed in this paper. Currents drawn by non-linear loads are rich in harmonics. The harmonics present are a combination of the distribution system impedance and the amount of load on line at that time.
Fig 2. Linear Current Basically, any periodic wave can be described mathematically as a series of sinusoids summed together.5 This is known as a Fourier Series, which is named after the French mathematician Jean Fourier (1768-1830). The sinusoids are integer multiples of the frequency represented by the fundamental periodic cycle. Each term in the series is referred to as a "harmonic" of the fundamental frequency. The term having the same frequency as the fundamental is the first harmonic, and is sometimes simply referred to as the "fundamental". The term having twice the fundamental frequency is the second harmonic, and so on.
Fig 3. Non-Linear Current Symmetrical waves contain only the odd harmonics. Unsymmetrical waves contain the even harmonics as well as the odd harmonics. Waves may also be offset from the zero axis. Iron core transformers, when operated above their rated voltage, will be driven into saturated regions of their ferromagnetic core resulting in an exciting current much higher than normal in magnitude, and appreciably distorted with harmonics.4 Specifying Distortion Levels To address concerns about harmonic
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distortion generated by adjustable speed drives, many engineers are specifying that drives meet a certain set of criteria, most likely those set forth in ANSI/IEEE Standard 519-1992. However, to simply specify that a drive produce less than a given amount of total harmonic voltage distortion is not adequate. To define an acceptable distortion level properly, a specification must include three things: First, it must define the point at which the harmonic currents will be measured. IEEE 519-1992 requires that these measurements be taken at the point of common coupling (PCC) between the drives and other loads served by the power-distribution transformer. Second, it must identify all other nonlinear loads connected to the PCC. In general, this should be in the form of a one-line diagram identifying drive model numbers, voltage ratings and brake horsepower of connected motors as well as line voltage and harmonic currents of other non-linear loads. Third, the specification must provide an analysis of impedance to which the drive is connected. In most low voltage systems, the nameplate impedance of the transformer is sufficient. However, on very large, high voltage systems, it may be necessary to do a more thorough analysis, including data from transmission lines, etc. In consideration of these levels manufacturers can produce a drive or recommend filtering to meet an application's requirements and maintain harmonic distortion within acceptable limits. 5 Relationship Between Voltage and Current Distortion When speaking of harmonic distortion, it is important to differentiate between the effects of voltage and current distortion.6 Which is the more important on power systems? Which should be regulated at the customer interface? These questions do not always have simple answers because they deal with a system where one element cannot be analyzed independently of the other. First, considering the voltage and current distortion relationship, a sinusoidal voltage applied to a nonlinear element yields a distorted current. Likewise, if a sinusoidal current was injected, the voltage across the element would be distorted. This illustrates one of the fundamental principles of nonlinear circuits: either one, or both of quantities may be distorted, but both cannot be sinusoidal. In general, in nonlinear circuits, the voltage and current cannot have the same waveform. Although the harmonic currents do not directly affect other power consumers if the voltage distortion is low, they may have detrimental effects on other power system elements and may be coupled to other circuits ( e.g., communications circuits) that are in parallel with the power circuits. One detrimental effect to the power system is increased losses in transformers and generators. If the harmonic content is sufficiently high, localized hot spots may develop resulting in insulation failure. Note that the current distortion seen by substation transformers and central generators is relatively small because the bulk of the power system load is linear. However, if the use of electronic power converters continues to increase at the present rate, this may not be true in the future. In summary, the facts to remember from this discussion are: 1. The voltage distortion is greatly dependent on the system impedance. Because a power system is usually stiff relative to the load, the voltage distortion is normally only a few percent (although this may exceed allowable limits). 2. Because the voltage distortion is generally small, the harmonic current distortion in each load is approximately the same as it would be for a sinusoidal voltage. 3. The voltage distortion is what impacts other power consumers. 4. The current distortion may cause increased losses and communications interference.
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Power Quality Survey Objectives Before any power quality survey is started, three essential objectives must be observed. WHAT - How large are each of the current and voltage harmonics? Do they exceed reasonable limits? WHERE - Are these harmonics present locally or throughout the system? WHEN - Are these harmonics present all the time or only intermittently? Were they always present or did they appear recently? 7 Remember that power surveys can be initiated to monitor for short term disturbances, harmonics and even energy related parameters. Instrument Selection - the Right Tool for the Job The selection of the proper tools to monitor for power quality can be easy if it is first understood what to look for. Knowing what to look for in an instrument however is further complicated by the unanswered question, "What disturbances needs to be monitored, short term disturbances, repetitive or periodic distortion, and/or power flow parameters". By first assessing specific application requirements to fit the equipment criteria, untold time, frustration and ultimately precious budget money will be saved. The potential for confusion in selecting power monitoring equipment can also be great due to the large range in both capabilities and subsequently the resultant cost. The entry level type of equipment available starts with the small, lightweight multimeter. These digital multi meters, DMM's, have limited usefulness as a power monitoring device as they can only be used for instantaneous voltage monitoring and in some cases AC/DC current with optional clamp-on current transformers. These meters are, however, just that and provide little more than so called spot checks. It is important to be aware of the fact that these low cost (usually $100-300, less accessories) DMM's are typically average sensing type devices and will not provide accurate measurements when subjected to non-sinusoidal harmonic type waveforms. Usually averaging type meters will display a voltage and current reading that is lower than actual when used in these conditions. If this type of device suits the application, the selection of a true reading RMS model should be strongly considered as the additional cost is minimal, about $100 additional and is well justified. Some of the obvious limitations to these devices are restricted measurement capabilities and the inability to measure three phase circuits. The next level up in capability are a relatively new generation of handheld units which address the majority of shortcomings to the before mentioned DMM's. These devices measure true RMS volts and amps and therefore can provide the power parameters, watts, VA's and power factor. Additionally total harmonic distortion for voltage and current can be obtained. While these are substantial advances in handheld technology, limitations still exist. The ability to measure three phases simultaneously cannot be done nor can longer term surveys be accomplished. Typical costs in this class are between $800 and $2,000. While the operation of the handheld type of monitors is simple, the information obtained from them is at best limited. One of the primary limitations is that the instantaneous nature of the units make them unsuitable to capture out-of-limits anomalies such as sags, swells, etc. Even if the operator is there when an event occurs, it may still be too fast to be recognized by the instrument. Therefore the analysis of data can be even more frustrating. Power Quality monitoring instrumentation has been around for nearly twenty years but never has the range of capabilities, flexibilities, and ease of use been greater than presently available. These capabilities have been driven by two previously separate but rapidly converging instrument types. Power
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Quality and harmonics analyzers users were almost never concerned with how much power was being consumed and what the demand was. Their pursuit was mission critical from an operations standpoint. The other side of the power monitoring spectrum was concerned with typical energy management duties. The power demand instruments available for non-quality monitoring applications were not concerned with single cycle fluctuations, but rather the power parameters, volts, amps, watts, VA, VAR's, power factor, demand and consumption. It wasn't until the development of a new generation of energy efficient electronic loads designed almost exclusively to address the energy management craze of the 80's did the need for one single all inclusive type of instrument become a necessity. Instrument manufacturers now had an even larger problem, how to design an instrument that had far reaching and inclusive capabilities yet maintained an ease of use requirement essential to both the user's and instrument's success.
Fig 4 Power Quality/Harmonic/Energy Monitor with LCD real time scope display The problem was turned into an opportunity however by the introduction of a new concept. This concept required the use of interchangeable TASKCards® that download specific monitoring requirements to a single hardware platform, see figure 4. This technique sets up the instrument for both quality and energy measurements and can even address the skill level of the user. Changing the card enables the hardware to become an even more task specific instrument. This single power monitor provides for simultaneous monitoring of all three phases of voltage and current. A fourth voltage and current channel allows for critical monitoring of the neutral. This class of instrumentation cost's are usually about $13,000 including a single TASKCard and less accessories such as clamp-on current transformers. Techniques for Quality and Energy Monitors The measurement techniques required for power quality disturbances and energy demand parameters are quite different. This had been a significant obstacle in the past for creating single instruments with multiple functions. Power quality disturbances monitoring requires sampling the signal for transients, sags, and swells. These events typically occur within a single cycle of the AC waveform. Harmonics, while usually averaged over a number of cycles are still considered to be disturbances. Sampling for this type of activity requires the monitor to examine a high quantity of data points within a single cycle of the AC line. When measuring energy parameters, RMS values are of interest, not just a single cycle of the AC line. This type of measurement requires that individual cycles be averaged over a longer interval, typically one second to establish a value. The one-second average has become known as low speed sampling. The key to developing a multi-functional power analyzer was to create instrumentation capable of capturing both high speed (disturbance) events and low speed (RMS) signals. If the data acquisition circuitry became programmable then it could reconfigure when instrument's program is uploaded.
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Greater Instrument Utilization The instrument capabilities can then be enhanced in later years as additional measurement functions are added through TASKCard®. Additional TASKCards® keeps the units "current" for a longer time period which increases the useful life of the base instrument. Other task specific cards, such as motor inrush, vary in price dependent upon the capabilities. Pricing is usually between $1,500 and $3,500 for each card. By building a library of measurement functions over time users can purchase the major components in conjunction with the overall equipment budget available. In future years they supplement the investment with smaller incremental purchases.This ensures a continual update of the test instrumentation without the rapid obsolescence as new requirements move to the forefront. How to Measure In general, current measurements are easier to make than voltage. The simplest current sensing device is a clamp-on current transformer, which in turn feeds a low value, precision shunt resistor R. Measuring the voltage drop across this resistor is a measure of current (V=IR). A clamp-on transformer is accurate to about 1%. A typical three phase four wire wye hook-up is shown in figure 5. Because the measurement is unique to the cable to which it is clamped, the current transformer provides a means of isolating each load which is drawing harmonic current (and possibly producing it) Voltages containing harmonics, on the other hand, tend to be common to all or large parts of the entire power system, propagating easily through isolation or voltage step-up/down transformers. Direct connection across the power line for voltage sensing is most accurate when monitoring for harmonics. Capacitive voltage dividers must be used when voltages are high, usually above600VAC, and exhibit wide band frequency response up to 1MHz. Voltage transformers are not usually recommended for harmonic and transient measurement because their poor high frequency response will attenuate frequencies above 200Hz. 8 Where to Measure
Fig 5. Typical Power Monitor Hook-up The harmonics content of each power line supplied from a suspected source should be measured. Levels generally decline as the order of the harmonic increases, but not always. Harmonic analysis should extend to sufficiently high orders up to the 25th or even the 50th, (3KHz) since a reading of low levels for low orders is not necessarily indicative of the higher orders. For example, a 12-pulse SCR converter theoretically produces no harmonics under the 11th order or 660Hz. In most cases measuring harmonics in any one phase of a 3-phase balanced system is indicative of the harmonic content of the other phases, since most high power 3-phase industrial loads, those which produce the most harmonic current, draw equally on all phases. If, however, each phase feeds a different load, as is typical of an office, each should be measured individually, as should the neutral or common conductor. For example, harmonics in a 3-phase office power distribution systems can produce high enough neutral current to burn out
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the neutral cable and/or its connector. It is recommended that a power monitor be used that has no less than four voltage and four current inputs. This will ensure that all phases and neutrals are monitored simultaneously. When to Measure Harmonic measurements should be made under a variety of load conditions, since all loads are not on all the time. Harmonics may not be produced continuously, but only when exceptionally high currents are drawn by one or more loads. For example, in a large printing plant voltage total harmonic distortion, THD, doubled when a press was turned on. The addition of new, high power equipment may be the occasion for drastic increase in harmonics. Harmonics should be monitored when suspected sources are off as well as when they are on. A reduction in loads can also increase harmonics. Peak load periods may be a time of lower harmonics. Drops in loads are typical of worker shift changes. In one plant, so many loads were removed from one phase of a 3-phase system during a shift change that the 5th harmonic voltage content jumped significantly. Light load periods may also be a time when some power factor correcting capacitors are automatically removed, shifting the resonant frequency of the system to coincide with a previously harmless harmonic. If harmonic currents represent a large part of the total loading a change in the current drawn by a large load (such as the start up of a motor in a heavy duty air-conditioning system) can also shift the resonant frequency and/or change the damping of a resonance. 7 Analysis What Does All the Data Mean? The first objective of analyzing survey data is to identify whether disturbances are a problem affecting equipment performance. The keys to identifying power related equipment problems are to: 1) Look for power quality events which occurred during intervals of equipment malfunction. 2) Identify power quality events that exceed performance parameters for the affected equipment. 3) Review power monitor data. Equipment performance problems are revealed in both site histories and equipment logs. Consequently equipment symptoms often reflect particular power problems. Identifying the Cause Identifying the source, or origin of a harmful power quality event is important to insure that corrective actions achieve the desired results. Waveform signature matching may be useful, but is not always reliable due to varying system impedances. An alternate technique is to move the monitor up or downstream. As the monitor is placed closer to the source of the disturbances the magnitude will increase. Space does not permit a comprehensive section on Analysis, therefore additional reading on the subject is recommended. See reference section for details.9
Fig 6. Voltage Distortion from a ASD Artificial Intelligence Tools
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It takes time and experience to become an expert in analyzing power quality related phenomenon. Most individuals have neither the time nor the patience to devote to this discipline. Yet there are still power problems that must be solved and uptime integrity to maintain. This is true whether the power to be monitored is commercial, industrial or even residential. The question is to first accurately diagnose the problems, before calling on a consultant or the local utility power quality engineer. The use of a personal computer running a program utilizing artificial intelligence has recently become a reality. This program will in fact analyze data captured by a power monitor and create a comprehensive report. This software tool utilizes various means to analyze the data including Expert Systems, Fuzzy Logic and Special Algorithms. These three tools attempt to emulate human thinking. Specifically for power applications the tools make decisions as to what a complex waveshape may have been caused by and offers possible solutions to eliminate future occurrences. The more information captured by the monitor, i.e. greater number of monitored channels, the greater the accuracy of the analysis. The software is considered to be accurate no less than 75% of the time and in fact is usually much greater. A most intriguing fact to the Ai program is its ease of use. If the time required to master the use of yet another PC application is lengthy, it would defeat the initial intention. Instead the data disk or memory card from a power monitor (Dranetz Technologies Model 658 or PP1®) is simply read into the Windows based Ai software. The user merely enters name, site, and verifies the circuit configuration monitored. The program then generates a report that can be viewed on screen or printed as a formal report. The program is not intended to be an absolute expert but rather a tool for providing a direction in the solution of power quality problems. Conclusion A wide range of opportunities exist to solve power quality problems when both an understanding of these phenomenon and the available monitoring instrumentation are present. The time devoted to evaluate the situations on a facilities' electrical distribution system before problems occur can save countless hours of costly downtime later. Remember that power quality surveys after a problem has occurred is an opportunity missed. The wise approach is to plan on implementing a regularly scheduled survey routine, and gain a jump on the next power problem. References 1 Adapted from ''Adjustable-Frequency Drives Reduce HVAC Costs'' Paul E. Beck, Consulting Specifying Engineer, June 1992 2 "Recommended Practice On Monitoring Electric Power Quality", IEEE P1159, IEEE Service Center, P.O. Box 1331, Piscataway, NJ 08855 3 "How To Identify Power Line Disturbances" Dranetz Technologies, Inc. 1000 New Durham Rd. Edison, NJ 08818 4 Meeting IEEE-519 Harmonic Limits, Trans-coil, Inc. 7878 North 86th St. Milwaukee, WI 53224 5 "A Users Perspective On The Selection And Application Of Equipment And Techniques To Deal With Harmonics And Other Power Quality Issues", Wayne L. Stebbins, Presented at NPEM 94, Chicago 6 Electric Power System Harmonics Design Guide, McGraw-Edison Power Systems, Division of Cooper Industries, Canonsburg, Pa 15317 7 "The Dranetz Field Handbook For Power Quality Analysis" Dranetz Technologies, Inc. 1000 New Durham Rd. Edison, NJ 08818 8 "Power Line Harmonic Problems,
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Causes And Cures" Dranetz Technologies, Inc. 1000 New Durham Rd. Edison, NJ 08818 9 "Recommended Practices And Requirements For Control In Electric Power Systems", IEEE STD 519-1992, IEEE Service Center, P.O. Box 1331, Piscataway, NJ 08855 Fig 1. Reprinted with permission from the book, Practical Guide to Quality Power for Sensitive Electronic Equipment, copyright 1992, Intertec Publishing Corp. All rights reserved.
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Chapter 80 Whatever Happened To the 60 Hertz Power? R.M. Waggoner Abstract We have all become used to 60 Hertz electrical power - in fact that is what we have expected at the electrical outlet ever since the DC days of George Westinghouse and others in the early part of the 20th Century. We knew that 60 Hertz was generated and transmitted by the power supplier, and we knew that our load devices, when "plugged-in", would accept that frequency when we turned on the switch. The surprise for most of us is that this happy "marriage" of 60 Hertz supply and 60 Hertz load just does not exist much anymore and the prospect for the future is an ever increasing "multiple-frequency" demand by the new sensitive loads. These multiple frequencies, in addition to 60 Hertz, are what we call Harmonics; and, their presence introduces both current and voltage interactions which can disturb our power systems. Session Summary In recent years the proliferation of "sensitive" electronic apparatus in all of commerce and industry has created electrical interactions and disturbances to our conventional wiring systems. We need to understand and take action to avoid these "upsets" and "eruptions", before they grow so large as to cause unavoidable downtime on our equipment, or safety problems in our facilities. First, we will look at what harmonics are - the integer multiples of the fundamental, 60 Hertz frequency, and which are all present in the 60 Hertz, sine wave power delivered to our main services. We will look at what the new standards permit as the acceptable levels of these new waveshape components. Next we will examine the relationship of harmonics and system power factor to see the correlation of both displacement and distortion energy. By case comparisons, we will see the similarity of these two "thieves", as they steal space on our exiting systems, and how they combine for interference interactions. Finally, by examining both single phase and three phase harmonic orders in several case studies we'll learn the nature of the interactions, how to mitigate problems already on site, and how to design differently for the future. Harmonies - What Are They? Harmonics is the name for the spectrum of electric currents in your apparatus that requires high frequency from the energy source! That's right - believe it or not your facility now has a collection of different frequencies of electricity flowing in your wiring, in addition to 60 Hertz. It is the design and construction of the electrical device which governs the way in which it requires the electric current. In times past, the electrical nature of equipment was described as resistive or inductive on linear in its current requirements. This meant the variation of current was similar to voltage, sinusoidal 60 Hertz, and with minimum distortion to that waveshape. Today's currents are of non-uniform fashion, no longer sinusoidal. Consider your plans to provide one of your loads with a "conditioned" power source of pure, 60 Hertz output, perhaps even a UPS (Uninterruptible Power Source). You are preparing to improve the operation of a sensitive system, even make sure that it continues to operate no matter what happens to building power. The load device tells you, "no thanks, I don't use just 60 Hertz anymore! What I need is a small amount of 60 Hertz, and a large percentage of 180 Hertz, a good amount of 300 Hertz,
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with some 420, 660, and 780 Hertz added in." This "shopping list" describes the way the load device is constructed to use electric current, and thus it draws this spectrum of frequencies from the energy source - power company, local generator, or other power supplying source such as converter, voltage regulator, power conditioner, or UPS. When these mixed -frequency current demands flow through the output of the power source equipment, these currents will create voltage drops at each frequency, and these harmonic voltages will be present on the entire common bus where other loads are connected. The results, in cases of high distortion levels, can be disturbing and harmful to the other connected apparatus. What's the Relationship To Power Factor From our earlier discussion we remember that these non-work producing currents flow through a distribution circuit, wires and transformers. The high frequency currents steal space on the system, using up capacity which was originally designed for 60 Hertz loads. In fact we might describe this phenomena like another form of stealing on our power systems - poor power factor. When we have low (displacement) power factor, we are requiring the power system to be larger than needed in order to carry non-work- producing reactive energy -VARS. In similar fashion, high frequency currents require the enlarging of the power system in order to provide space on the wire and transformer capacity for these currents, even though there is no additional work production. This lowering of the system power handling capacity is expressed in a further reduction of the total power factor, by what is call distortion power factor. When we add displacement and distortion power factor together, we should not be surprised to see the system power factor go down to new low levels! In other words, when you add energy saving, variable speed apparatus to a facility showing a modest .80 to .85 power factor, you can expect to have a resultant power factor considerably lower - perhaps below .7 power factor, depending on the mix. The first reaction by the user when he sees a lower power factor may be to reach for power factor correcting capacitors. When we try this approach, using 20 year old engineering concepts, but now looking into high frequency currents, we find a "catch 22" - the capacitors overload, trip off line, or possibly are damaged! What we learn through this is that we must take account of the high frequency by applying a protected form of power factor correction, what we call a harmonic filter. When we size and apply these mitigating devices properly, we get the power factor improvement, and take the high frequency "thieves" out of the current in the system. The exception to all of this is when the equipment vendor of the sensitive electronic equipment has "cleaned-up" the harmonic proliferation which would otherwise characterize his current requirements, and makes no demand upon the power system for anything other than 60 Hertz energy! This is precisely the goal to be pursued by designers, engineers, and procurement officers: to see to the correction of this problem, by the vendor, before the equipment is placed into the electrical system. Single Phase Harmonies In single phase wiring we find 120 volt PC's, workstations, terminals, lighting, and process control devices wired on three phase, four wire systems at 208/120 volts, and additional lighting wired at 277 volts. The character of these connections, using the energy saving, switch-mode power supply, is the overloading of the common neutral wire in the wye circuit, with high frequency current. This current, predominantly the 3rd harmonic (180 Hertz), does not do "work" as we define the 60 Hertz contribution, but does do heating of the wires and the distribution transformer, upstream of the panelboard. If we consider modern lighting, using energy saving, electronic ballasts, the effect is the same: overheating of the common neutral, and the transformer. The technical reason for this overloading problem on the neutral is the presence of "zero sequence" currents which make a compounded addition on the neutral wire. Not only do they not cancel, like positive and negative sequence currents, but they can account for nearly a doubling of the currents, on this neutral wire, which has normally not been sized to handle this increase. One way of designing to avoid this problem is to use plug-in waveshape changing devices which modify the current demands of the single phase device to such an extent that the third harmonic is virtually done away with - simply put, the device cannot draw high quantities of 180 Hertz. Three Phase Harmonies In three phase equipment, we experience harmonic currents on the phase conductors, rather than those associated with single phase devices and the common neutral. (This is not to infer that there are no 180 Hertz on the phases of three phase systems. Many times we find a mix of all harmonics when both single phase loading and three phase apparatus are connected on the same circuits.) Our main concern in three phase, three wire apparatus is the high content of 300 Hertz, the fifth harmonic of the fundamental. These 300 Hertz currents are the product of power conversion apparatus using six-pulse or six step conversion methods, and their "diode bridge" equivalents. Our block diagram shows a typical variable frequency drive (VFD), and the high content of the 5th harmonic currents.
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Our case studies show the effects from these distorted waveshapes, first from solid-state elevator controls, and then induction motors, and on both the incoming as well as the load side of a UPS. In all of these cases the application of harmonic filters near the offending device would have helped to correct the distortion back to a near 60 Hertz wave form. Guided by this brief introduction to harmonic interactions, we are able to address the use of analysis equipment to determine where and how extensive are the disturbances on our systems. Our concluding list reminds us of all the devices which may be causing difficulty. One final note - remember that the first place you find the evidence of harmonic distortion is in the current flowing into the system power factor capacitors. Check here first to get an idea of the extent of the high frequency and what it may be doing to your main bus.
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Sequencing and Frequency of Fundamental and Harmonic Currents FREQUENCY (Hz)
SEQUENCE
FUNDAMENTAL 2ND
60 120
+ -
3RD 4TH 5TH
180 240 300
0 + -
6TH 7TH
360 420
0 +
8TH 9TH
480 540
0
10TH 11TH 12TH
600 660 720
+ 0
13TH 14TH
780 840
+ -
15TH
900
0
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Sequencing and Frequency of Fundamental and Harmonic Currents Three Phase Harmonic Group FREQUENCY (Hz) 60
SEQUENCE +
5TH 7TH
300 420
+
11TH 13TH
660 780
+
FUNDAMENTAL
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Sequencing and Frequency of Fundamental and Harmonic Currents Single Phase Harmonic Group FREQUENCY (Hz) 60
SEQUENCE +
3RD 9TH
180 540
0 0
15TH
900
0
FUNDAMENTAL
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Distorted Currents
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Waveform Distortion Limits, IEEE 519 / Draft 7 Harmonic current limits for non-linear loads at the point-of-common-coupling with other loads, at voltages to 69 kV. Maximum Harmonic Current Distortion in % of Fundamental Harmonic Order (Odd Harmonics) Isc/IL h
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CAPACITOR KVAR FOR POWER FACTOR CORRECTION ORIGINAL POWER DESIRED POWER FACTOR CORRECTION FACTOR 0.80 0.85 0.90 0.95 MULTIPLIERS 0.55 0.769 0.899 1.035 1.19 0.60 0.583 0.713 0.849 1.004 0.65 0.419 0.549 0.685 0.84 0.70 0.27 0.4 0.536 0.691 USE MULTIPLIER TIMES KW OF LOAD TO FIND TOTAL KVAR EXAMPLE: 800 KW LOAD AT .70 POWER FACTOR CORRECT TO .95 POWER FACTOR (800) × (.691) =553 KVAR COPYRIGHT 1993, ENTEG SYSTEMS, INC
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Total Power Factor
KVA requirements increase as distortion is added to Displacement Power Factor KW, work output, remains the same, but system capacity must increase Copyright 1993, Enteg Systems, Inc.
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City Electrical Service
The addition of 1800kVAR of capacitance, or 60% of the service transformer's rating, caused resonance problems because harmonic currents (arrows) oscillated between the capacitor bank and the adjustable speed drive. Copyright 1993, Enteg Systems, Inc.
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City Electrical Service
With the fixed bank of capacitors reduced to 20% of the service transformer's kVA rating and the remaining 1200kVAR split among the drives and combined with harmonic filters, shown here as traps, the main bus sees only sinusoidal current waveforms. Copyright 1993, Enteg Systems, Inc.
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Three Phase Building Distribution Systems Good distribution design practice provides equal, or nearly equal loading on each of the three phases in building distribution systems. The objective is to make maximum use of the wiring ampacity, and to assist cancellation of currents in the common neutral. For example, a large manufacturer of computer terminals wires adjacent test benches with different phases in sequence. Bench l, phase l; bench 2, phase 2; bench 3, phase 3; bench 4, phase l, etc. as shown in Figure 1.
Figure 1 Typical 120v Distribution If all the loads were equal and linear, such as lighting, soldering irons, heaters, etc., the net current in the common neutral would be at or near zero. However, it will be shown that while sinusoidal fundamental currents naturally cancel in the common neutral, odd-harmonic currents naturally add.
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3rd-Outtm HARMONIC FILTER, HL46B 3 PC Computer Power Supplies
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500 hp Backwash Pump FUND. AMPS Phase A Phase B Phase C
76A 68A 73A
5th 30% 28% 25%
7th 11th 13th 15% 13% 8% 13% 13% 5% 10% 5% 4% 300 hp WaterPump
17th 5% 8% 2%
19th 5% 3% 2%
FUND. AMPS Phase A Phase B Phase-C
160A 151A 147A
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5TH 30% 35% 35%
7TH 18% 18% 18%
11TH 11% 13% 13%
13TH 17TH19TH 7% 7% 4% 8% 7% 7% 8% 8% 7%
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Figure 1 Diode Input Circuit
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Figure 2 SCR Input Circuit
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Solid State Elevator Controls
Copyright 1993, Enteg Systems, Inc.
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Induction Motors
Copyright 1993, Enteg Systems, Inc.
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Effects of Nonlinear Loads On Ups Systems Q Ups manufacturers give as part of overall information a specification on total harmonic distortion. It is usually 4 to 5% maximum rating. This is compatible with most computer requirements. However, if one looks at the fine print accompanying this spec there will usually be the qualification ''resistive or inductive load'' of "linear load". Just what does this mean to a person who has to apply this type of equipment to computer loads? A Linearity of the load is an aspect of UPS selection and operation that has not been given a great deal of attention, but nonetheless is very important. Overlooking this consideration can cause a huge investment in UPS equipment that is incompatible with the connected load. This limitation may not cause a problem for most computer loads, but there is a significant amount of computer equipment that will conflict dramatically with UPS operation. it is important that users and buyers of both computer equipment and UPS systems be aware of potential problems as they evaluate and select new equipment.
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Fig. 1. Typical voltage and current AC waveforms with phase-shift caused by a load.
Fig. 2 Typical current waveform of a nonlinear load.
Fig. 3. Addition of fundamental frequency (Lc) and third harmonic (LM) current waveforms result In waveform shown in Fig. 2.
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Fig. 1. UPS is fed from a main emergency panel, which in turn is fed from the load side of a transfer switch. When utility power source is interrupted, UPS is fed by engine-generator.
Fig. 2. Enginegenerator provides almost a pure sine wave current waveshape while the UPS is demanding the distorted current waveshape shown. 14
EC&M
DECEMBER, 1992
Reprinted With Permission of EC&M
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Harmonic Current Filter Three Phase
- Prevent harmonics from being fed into electric distribution system - Typically hard-wired - Series Line Reactors prevent flow of harmonics from other sources on power system into filter - Filter tuned for predominant harmonic (ie. 5th)
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Fig. 11. Circuit and band-pass of a tuned shunt highpass filter. A shunt filter is designed to have a low impedance at high frequencies and to short circuit or "trap" frequencies above those of interest, thus keeping them from circulating throughout the system. "High pass" filters, are installed as shown in Fig. 11. Shunt filters need carry only a fraction of the current that a series filter would carry and are thus suitable for use in high current systems. The simplest filter is single tuned and consists of an inductor (or coil) in series with a capacitor. The filter has a low impedance at the frequency to which it is tuned and the impedance rises slowly at higher frequencies. In practice filters are designed with fairly broad tuning so that they provide effective removal of several frequencies. For example, a filter, or "trap," tuned to remove the fifth harmonic (300 Hz) will have some effect in removing the seventh harmonic (420 Hz) as well.
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Harmonic Site Analysis Sub-Systems Capacitors Where Power Factor Correction Capacitors are connected to Main Bus of Load Unit Sub Station secondary: 1. Measure True RMS voltages and phase currents, Total and Individual Harmonic Distortions in percent of fundamental current. 2. Observe capacitors for bowed sides, blown fuses tripped breakers, or off line conditions. 3. List location and kVAR rating for each bank and total for site.
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Harmonic Site Analysis Sub-Systems Identify and measure True RMS voltages and currents, Total and Individual Harmonic Distortion in percent of fundamental at the input/output wiring of the following: - Automatic Transfer Switch (w/ Generator on) - Adjustable Speed Drive Systems - Television/Radio Broadcast equipment - Computer Systems (Mainframe and PC based) - Industrial Processes using Solid State Power Conversion - Medical Equipment - Lab/Test Equipment - Solid State Air Handling Equipment - Solid State Elevator Systems - Solid State Uninterruptible Power Systems
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