Handbook of Heating Ventilation and Air Conditioning

2001 by CRC Press LLC
Jan F. Kieidei et al. Intioduction to the Buildings Sectoi"

Ed. Jan F. Kieidei
Boca Raton, CRC Piess LLC. 2001
www.cementechnology.ir

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Series Editor
Frank Kreith
Consulting Engineer
- -
Handbook of Heating, Ventilation, and Air Conditioning
Jan F. Kreider
Computational Intelligence in Manufacturing Handbook
Jun Wang and Andrew Kusiak
The CRC Handbook of Mechanical Engineering
Frank Kreith
The CRC Handbook of Thermal Engineering
Frank Kreith
The Handbook of Fluid Dynamics
Richard W. Johnson
-
Fuel Cell Technology Handbook
Gregor Hoogers
Air Pollution Control Technology Handbook
Karl B. Schnelle and Charles A. Brown
Handbook of Mechanical Engineering, Second Edition
Frank Kreith and Massimo Capobianchi
Hazardous and Radioactive Waste Treatment Technologies Handbook
Chang H. Oh
Handbook of Non-Destructive Testing and Evaluation Engineering
James Tulenko and David Hintenlang
Inverse Engineering Handbook
Keith A. Woodbury
MEMS Handbook
Mohamed Gad-el-Hak

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Boca Raton London New York Washington, D.C.
CRC Press

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This book contains infoimation obtained fiom authentic and highly iegaided souices. Repiinted mateiial is quoted with
peimission, and souices aie indicated. A wide vaiiety of iefeiences aie listed. Reasonable effoits have been made to publish
ieliable data and infoimation, but the authoi and the publishei cannot assume iesponsibility foi the validity of all mateiials
oi foi the consequences of theii use.
Neithei this book noi any pait may be iepioduced oi tiansmitted in any foim oi by any means, electionic oi mechanical,
including photocopying, micioflming, and iecoiding, oi by any infoimation stoiage oi ietiieval system, without piioi
peimission in wiiting fiom the publishei.
All iights ieseived. Authoiization to photocopy items foi inteinal oi peisonal use, oi the peisonal oi inteinal use of specifc
clients, may be gianted by CRC Piess LLC, piovided that $.50 pei page photocopied is paid diiectly to Copyiight cleaiance
Centei, 222 Rosewood Diive, Danveis, MA 01923 USA. The fee code foi useis of the Tiansactional Repoiting Seivice is
ISBN 0-8493-9584-4/01/$0.00-$.50. The fee is subject to change without notice. Foi oiganizations that have been gianted
a photocopy license by the CCC, a sepaiate system of payment has been aiianged.
The consent of CRC Piess LLC does not extend to copying foi geneial distiibution, foi piomotion, foi cieating new woiks,
oi foi iesale. Specifc peimission must be obtained in wiiting fiom CRC Piess LLC foi such copying.
Diiect all inquiiies to CRC Piess LLC, 2000 N.W. Coipoiate Blvd., Boca Raton, Floiida 33431.

Pioduct oi coipoiate names may be tiademaiks oi iegisteied tiademaiks, and aie used only foi iden-
tifcation and explanation, without intent to infiinge.

-

Figuies 7.1.1 and 7.1.2 - With peimission fiom ASHRAE.

C 2001 by CRC Piess LLC
No claim to oiiginal U.S. Goveinment woiks
Inteinational Standaid Book Numbei 0-8493-9584-4
Libiaiy of Congiess Caid Numbei 00-064673
Piinted in the United States of Ameiica 1 2 3 4 5 6 7 8 9 0
Piinted on acid-fiee papei

--

Handbook of heating, ventilation, and aii conditioning / edited by Jan F. Kieidei.
p. cm.
Includes bibliogiaphical iefeiences and index.
ISBN 0-8493-9584-4 (alk. papei)
1. Heating-Handbooks, manuals, etc. 2. Ventilation-Handbooks, manuals, etc. 3. Aii
conditioning-Handbooks, manuals, etc. I. Title.
TH7225 .K74 2000
697-dc21 00-064673
CIP

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To the HVAC engineeis of the 21

st

centuiy who will set new standaids foi effcient and sophisticated
design of oui buildings.

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Duiing the past 20 yeais, design and opeiation of the comfoit systems foi buildings have been tiansfoimed
because of eneigy conseivation impeiatives, the use of computei-based design aids, and majoi advances
in intelligent management systems foi buildings. In the 1970s, iules of thumb weie widely used by
designeis. Today, a stiong analytical basis foi the design synthesis piocess is standaid pioceduie. This
handbook desciibes the latest methods foi design and opeiation of new and existing buildings. In addition,
the piinciples of life cycle economics aie used ioutinely in design selections and tiadeoffs. The infoimation
in this handbook is piesented in a piactical way that building systems engineeis will fnd useful.
The book is divided into eight sections:
1. Intioduction to the buildings sectoi
2. Fundamentals
3. Economic aspects of buildings
4. HVAC equipment and systems
5. Contiols
6. HVAC design calculations
7. Opeiation and maintenance
8. Appendices
Because of ongoing and iapid change in the HVAC industiy, new mateiial will be developed piioi to
the standaid handbook ievision cycle. By link to the CRC Web site, the authoi will be peiiodically posting
new mateiial that owneis of the handbook can access.

Bouldei, Coloiado

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is Piofessoi of Engineeiing and Foun-
ding Diiectoi of the Univeisity of Coloiado`s (CU) Joint Centei foi Eneigy
Management. He is co-foundei of the Building Systems Piogiam at CU
and has wiitten ten books on building systems, alteinative eneigy, and
othei eneigy ielated topics, in addition to moie than 200 technical papeis.
Foi ten yeais he was a technical editoi of the ASME Tiansactions.
Duiing the past decade Di. Kieidei has diiected moie than $10,000,000
in eneigy-ielated ieseaich and development. His woik on theimal analysis
of buildings, building peifoimance monitoiing, building diagnostics, and
ienewable eneigy-ieseaich is known all ovei the woild. Among his majoi
accomplishments with his colleagues aie the fist applications of neuial
netwoiks to building contiol, eneigy management and systems identifca-
tion, and of applied aitifcial intelligence appioaches foi building design
and opeiation. He also has woiked foi many yeais to involve women in
the giaduate piogiam that he founded. Moie than 20 women have giad-
uated with advanced degiees in his piogiam.
Di. Kieidei has assisted goveinments and univeisities woildwide in establishing ienewable eneigy and
eneigy effciency piogiams and piojects since the 1970s. He is a fellow of the Ameiican Society of
Mechanical Engineeis and a iegisteied piofessional engineei and membei of seveial honoiaiy and
piofessional societies. Di. Kieidei iecently ieceived ASHRAE`s E.K. Campbell Awaid of Meiit and the
Distinguished Engineeiing Alumnus Awaid, the College`s highest honoi.
Di. Kieidei eained his B.S. degiee (magna cum laude) fiom Case Institute of Technology, and his M.S.
and Ph.D. degiees in engineeiing fiom the Univeisity of Coloiado. He was employed by Geneial Motois
foi seveial yeais in the design and testing of automotive heating and aii conditioning systems.


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Electiic Powei Reseaich Institute
Palo Alto, Califoinia

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Pacifc Noithwest National
Laboiatoiy
Richland, Washington

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Schillei Associates, Inc.
Bouldei, Coloiado

Laboiatoiy

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Dept. of Mechanical Engineeiing
Puidue Univeisity
West Lafayette, Indiana

Dept. of Constiuction
Texas A&M Univeisity
College Station, Texas


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Kieidei & Associates, LLC
Bouldei, Coloiado

Bouldei, Coloiado

Dept. of Aichitectuie

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Theimal Systems Bianch
National Renewable Eneigy
Laboiatoiy
Golden, Coloiado

-

Laboiatoiy

Lawience Beikeley Laboiatoiy
Beikeley, Califoinia


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Laboiatoiy

Laboiatoiy

CEAE Depaitment
Univeisity of Coloiado
Bouldei, Coloiado

Bouldei, Coloiado

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College of Engineeiing
Univeisity of Nebiaska
Lincoln, Nebiaska

Laboiatoiy
Golden, Coloiado

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Laboiatoiy

cole des Mines de Paiis and
Bouldei, Coloiado

Civil and Aichitectuial Engineeiing
Diexel Univeisity
Philadelphia, Pennsylvania


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Intioduction

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2.1 Theimodynamic and Heat Tiansfei Basics

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2.2 Psychiometiics and Comfoit

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3.1 Cential and Distiibuted Utilities

3.2 Economics and Costing of HVAC Systems

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4.1 Heating Systems

4.2 Aii Conditioning Systems

- K

4.3 Ventilation and Aii Handling Systems

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4.4 Electiical Systems

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5.1 Contiols Fundamentals

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5.2 Intelligent Buildings

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6.1 Eneigy Calculations - Building Loads

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6.2 Simulation and Modeling - Building Eneigy Consumption

6.3 Eneigy Conseivation in Buildings

6.4 Solai Eneigy System Analysis and Design


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7.1 HVAC System Commissioning

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7.2 Building System Diagnostics and Pieventive Maintenance

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Piopeities of Gases and Vapois

Piopeities of Liquids

Piopeities of Solids

Gases and Vapois

Composition and Heating Values of Common Fuels


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Jan F. Kieidei et al. Intioduction to the Buildings Sectoi"

Ed. Jan F. Kieidei

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Series Editor
Frank Kreith
Consulting Engineer
- -
Handbook of Heating, Ventilation, and Air Conditioning
Jan F. Kreider
Computational Intelligence in Manufacturing Handbook
Jun Wang and Andrew Kusiak
The CRC Handbook of Mechanical Engineering
Frank Kreith
The CRC Handbook of Thermal Engineering
Frank Kreith
The Handbook of Fluid Dynamics
Richard W. Johnson
-
Fuel Cell Technology Handbook
Gregor Hoogers
Air Pollution Control Technology Handbook
Karl B. Schnelle and Charles A. Brown
Handbook of Mechanical Engineering, Second Edition
Frank Kreith and Massimo Capobianchi
Hazardous and Radioactive Waste Treatment Technologies Handbook
Chang H. Oh
Handbook of Non-Destructive Testing and Evaluation Engineering
James Tulenko and David Hintenlang
Inverse Engineering Handbook
Keith A. Woodbury
MEMS Handbook
Mohamed Gad-el-Hak

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Boca Raton London New York Washington, D.C.
CRC Press

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This book contains infoimation obtained fiom authentic and highly iegaided souices. Repiinted mateiial is quoted with
peimission, and souices aie indicated. A wide vaiiety of iefeiences aie listed. Reasonable effoits have been made to publish
ieliable data and infoimation, but the authoi and the publishei cannot assume iesponsibility foi the validity of all mateiials
oi foi the consequences of theii use.
Neithei this book noi any pait may be iepioduced oi tiansmitted in any foim oi by any means, electionic oi mechanical,
including photocopying, micioflming, and iecoiding, oi by any infoimation stoiage oi ietiieval system, without piioi
peimission in wiiting fiom the publishei.
All iights ieseived. Authoiization to photocopy items foi inteinal oi peisonal use, oi the peisonal oi inteinal use of specifc
clients, may be gianted by CRC Piess LLC, piovided that $.50 pei page photocopied is paid diiectly to Copyiight cleaiance
Centei, 222 Rosewood Diive, Danveis, MA 01923 USA. The fee code foi useis of the Tiansactional Repoiting Seivice is
ISBN 0-8493-9584-4/01/$0.00-$.50. The fee is subject to change without notice. Foi oiganizations that have been gianted
a photocopy license by the CCC, a sepaiate system of payment has been aiianged.
The consent of CRC Piess LLC does not extend to copying foi geneial distiibution, foi piomotion, foi cieating new woiks,
oi foi iesale. Specifc peimission must be obtained in wiiting fiom CRC Piess LLC foi such copying.
Diiect all inquiiies to CRC Piess LLC, 2000 N.W. Coipoiate Blvd., Boca Raton, Floiida 33431.

Pioduct oi coipoiate names may be tiademaiks oi iegisteied tiademaiks, and aie used only foi iden-
tifcation and explanation, without intent to infiinge.

-

Figuies 7.1.1 and 7.1.2 - With peimission fiom ASHRAE.

C 2001 by CRC Piess LLC
No claim to oiiginal U.S. Goveinment woiks
Inteinational Standaid Book Numbei 0-8493-9584-4
Libiaiy of Congiess Caid Numbei 00-064673
Piinted in the United States of Ameiica 1 2 3 4 5 6 7 8 9 0
Piinted on acid-fiee papei

--

Handbook of heating, ventilation, and aii conditioning / edited by Jan F. Kieidei.
p. cm.
Includes bibliogiaphical iefeiences and index.
ISBN 0-8493-9584-4 (alk. papei)
1. Heating-Handbooks, manuals, etc. 2. Ventilation-Handbooks, manuals, etc. 3. Aii
conditioning-Handbooks, manuals, etc. I. Title.
TH7225 .K74 2000
697-dc21 00-064673
CIP

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To the HVAC engineeis of the 21

st

centuiy who will set new standaids foi effcient and sophisticated
design of oui buildings.

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Duiing the past 20 yeais, design and opeiation of the comfoit systems foi buildings have been tiansfoimed
because of eneigy conseivation impeiatives, the use of computei-based design aids, and majoi advances
in intelligent management systems foi buildings. In the 1970s, iules of thumb weie widely used by
designeis. Today, a stiong analytical basis foi the design synthesis piocess is standaid pioceduie. This
handbook desciibes the latest methods foi design and opeiation of new and existing buildings. In addition,
the piinciples of life cycle economics aie used ioutinely in design selections and tiadeoffs. The infoimation
in this handbook is piesented in a piactical way that building systems engineeis will fnd useful.
The book is divided into eight sections:
1. Intioduction to the buildings sectoi
2. Fundamentals
3. Economic aspects of buildings
4. HVAC equipment and systems
5. Contiols
6. HVAC design calculations
7. Opeiation and maintenance
8. Appendices
Because of ongoing and iapid change in the HVAC industiy, new mateiial will be developed piioi to
the standaid handbook ievision cycle. By link to the CRC Web site, the authoi will be peiiodically posting
new mateiial that owneis of the handbook can access.

Bouldei, Coloiado

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is Piofessoi of Engineeiing and Foun-
ding Diiectoi of the Univeisity of Coloiado`s (CU) Joint Centei foi Eneigy
Management. He is co-foundei of the Building Systems Piogiam at CU
and has wiitten ten books on building systems, alteinative eneigy, and
othei eneigy ielated topics, in addition to moie than 200 technical papeis.
Foi ten yeais he was a technical editoi of the ASME Tiansactions.
Duiing the past decade Di. Kieidei has diiected moie than $10,000,000
in eneigy-ielated ieseaich and development. His woik on theimal analysis
of buildings, building peifoimance monitoiing, building diagnostics, and
ienewable eneigy-ieseaich is known all ovei the woild. Among his majoi
accomplishments with his colleagues aie the fist applications of neuial
netwoiks to building contiol, eneigy management and systems identifca-
tion, and of applied aitifcial intelligence appioaches foi building design
and opeiation. He also has woiked foi many yeais to involve women in
the giaduate piogiam that he founded. Moie than 20 women have giad-
uated with advanced degiees in his piogiam.
Di. Kieidei has assisted goveinments and univeisities woildwide in establishing ienewable eneigy and
eneigy effciency piogiams and piojects since the 1970s. He is a fellow of the Ameiican Society of
Mechanical Engineeis and a iegisteied piofessional engineei and membei of seveial honoiaiy and
piofessional societies. Di. Kieidei iecently ieceived ASHRAE`s E.K. Campbell Awaid of Meiit and the
Distinguished Engineeiing Alumnus Awaid, the College`s highest honoi.
Di. Kieidei eained his B.S. degiee (magna cum laude) fiom Case Institute of Technology, and his M.S.
and Ph.D. degiees in engineeiing fiom the Univeisity of Coloiado. He was employed by Geneial Motois
foi seveial yeais in the design and testing of automotive heating and aii conditioning systems.


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Electiic Powei Reseaich Institute
Palo Alto, Califoinia

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Laboiatoiy

-

Bouldei, Coloiado

Laboiatoiy

-

Puidue Univeisity
West Lafayette, Indiana

Dept. of Constiuction


--

Bouldei, Coloiado

Bouldei, Coloiado

Dept. of Aichitectuie

--

Theimal Systems Bianch
Laboiatoiy
Golden, Coloiado

-

Laboiatoiy



-

Laboiatoiy

Laboiatoiy

CEAE Depaitment
Bouldei, Coloiado

Bouldei, Coloiado

-

College of Engineeiing
Univeisity of Nebiaska
Lincoln, Nebiaska

Laboiatoiy
Golden, Coloiado

- K


Laboiatoiy

cole des Mines de Paiis and
Bouldei, Coloiado

Civil and Aichitectuial Engineeiing
Diexel Univeisity
Philadelphia, Pennsylvania


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Intioduction

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2.1 Theimodynamic and Heat Tiansfei Basics

-- -


-- -



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4.1 Heating Systems


- K


-


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-

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.

7.2 Building System Diagnostics and Pieventive Maintenance

- -

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Gases and Vapois

Composition and Heating Values of Common Fuels


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Jan F. Kieidei Intioduction to the Buildings Sectoi"

Ed. Jan F. Kieidei

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1.1 Eneigy Use Patteins in Buildings in the U.S
Commeicial Buildings Industiial Piocesses
and Buildings Residential Buildings
1.2 What Follows
Buildings account foi the laigest sectoi of the U.S. economy. Constiuction, opeiation, and investment in
buildings aie industiies to which eveiy peison is exposed daily. One of the majoi expendituies in the life
cycle of a building is the opeiation of its space conditioning systems - heating, ventilation, and aii
conditioning (HVAC) - dwaifng the initial cost of these systems oi of even the entiie building itself.
Theiefoie, it is impoitant to use the best, most cuiient knowledge fiom the design phase onwaid thiough
the building life cycle to minimize cost while maintaining a pioductive and comfoitable indooi enviionment.
HVAC systems aie eneigy conveision systems - electiicity is conveited to cooling oi natuial gas is
conveited to heat. Because it is impoitant to undeistand fiom the outset the natuie of eneigy demands
placed on HVAC systems, that subject is discussed immediately below. The chaptei closes with a shoit
outline of the iest of the book with its coveiage of HVAC design, commissioning, opeiation, and
pioblem diagnosis.
- - -
It is instiuctive to examine building eneigy use, sectoi by sectoi, to get an idea of the numbeis and to
claiify the diffeiences between laige and small buildings as well as between industiial and offce buildings.
The next seveial sections discuss each.
-
In 1997, theie weie 4.6 million commeicial buildings, occupying 58.8 billion squaie feet of ooi space
(PNNL, 1997). These buildings consumed 126.5 thousand Btu of deliveied eneigy use (oi 252.4 thousand
Btu of piimaiy eneigy) pei squaie foot of space. Figuie 1.1 shows that of the foui main census iegions,
the South contains the highest peicentage of commeicial buildings, 38%, and the Noitheast contains the
least, 16%.
- -
Sixty peicent of U.S. commeicial buildings iange between 5,000 and 100,000 squaie feet, 82% iange
between 1,000 and 200,000 squaie feet. The size class with the laigest membeiship is the 10,000-25,000
squaie foot iange. Table 1.1 shows the size distiibution in the U.S.

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Total consumption is faiily evenly distiibuted acioss building size categoiies; only the laigest size
categoiy (ovei 500,000 squaie feet pei building) showed a signifcant diffeience fiom any of the othei
categoiies. Buildings in the 10,001-25,000 squaie feet pei building categoiy have the lowest eneigy
intensity of all categoiies.
- -
The usage to which building space is put is a key inuence on the type and amount of eneigy needed.
Of the total squaie footage of commeicial offce space, 67% is used foi meicantile and seivice, offces,
waiehouses and stoiage places, oi educational facilities. The aveiage squaie footage foi all building types
ianges between 1,001 and 25,000 squaie feet. The laigest building types, between 20,000 and 25,000 squaie
feet, aie lodging and health caie facilities. Medium sized building types, between 10,000 and 20,000
squaie feet, aie public oidei and safety, offces, meicantile and seivice, and public assembly. Small building
types, less than 10,000 squaie feet, include waiehouse and stoiage facilities, education facilities, food
seivice, and sales. Table 1.2 summaiizes sectoi sizes and typical ooi sizes.
- -
Meicantile and seivice, and offce buildings consume almost 40% of total commeicial eneigy, in teims
of Btu pei squaie foot. Education and health caie facilities, lodging, and public assemblies also consume
Commeicial building geogiaphical distiibution. (Fiom the -
- .)
Size Distiibution of U.S. Commeicial Building Space
Commeicial Building Size as of 1995
(peicent of total ooi space)
Squaie Foot Range Peicent
1,001 to 5,000 10.80%
5,001 to 10,000 12.80%
10,001 to 25,000 19.80%
25,001 to 50,000 13.10%
50,001 to 100,000 13.60%
100,001 to 200,000 11.50%
200,001 to 500,000 9.40%
Ovei 500,000 9.00%
100%
Percent of Buildings
Percent of Floor space
WEST
21 20
NORTHEAST
SOUTH
38
35
MDWEST
16
20
25
24
TotaI Number of BuiIdings: 4.6 MiIIion
TotaI FIoor space: 58.8 BiIIion Square Feet

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a laige amount of eneigy, making up anothei 40% of total commeicial eneigy consumption. Table 1.3
summaiizes the eneigy use intensities foi the 12 most impoitant categoiies.

- - -

Finally, one must know the end use categoiy - space heating, cooling, watei heating, and lighting. Space
heating and lighting aie geneially the laigest eneigy loads in commeicial offce buildings. In 1995, eneigy
consumed foi lighting accounted foi 31% of commeicial eneigy loads. Space heating consumed 22%, and
space cooling consumed 15% of commeicial eneigy loads. On aveiage, watei heating is not high at 7%;
actual load vaiies gieatly accoiding to building categoiy. Health caie facilities and lodging aie unique in
theii high watei heating loads; howevei, offces, meicantile and seivice facilities, and waiehouses iequiie
minimal hot watei. Figuie 1.3 shows the distiibution of eneigy end use by sectoi foi 1995. Anothei way of
consideiing the data in Figuie 1.3 is to considei the end uses aggiegated ovei all buildings but fuithei
disaggiegated ovei the nine main end uses in commeicial buildings. Figuie 1.4 shows the data in this way.

- -

Commeicial buildings weie distiibuted unevenly acioss the categoiies of most majoi building chaiac-
teiistics. Foi example, in 1995, 63.0 peicent of all buildings and 67.1 peicent of all ooi space weie in

Eneigy consumption and usage intensity foi eight commeicial building size categoiies. (Fiom the

- -

)

Commeicial Building Sectoi Size and Typical Flooi Aiea

1995 Aveiage and Peicent of Commeicial Building by Piincipal Building Type (1)
Building Type
Flooi Space
(%)
Aveiage
Flooi Space/Building
(SF)

Meicantile and Seivice 22% 11260
Offce 18% 12870
Waiehouse/Stoiage 14% 6670
Education 13% 1770
Public Assembly 7% 12110
Lodging 6% 22900
Health Caie 4% 22220
Food Seivice 2% 4750
Food Sales 1% 4690
Public Oidei and Safety 2% 14610
Vacant (2) 9% 18480
Othei 2% -
Over 500,000
200,001 to 500,000
100,001 to 200,000
50,001 to 100,000
25,001 to 50,000
10,001 to 25,000
5,001 to 10,000
1,001 to 5,000
120100 80 60 40 20 0 200 400 600 800
1,000 Btu/sq. ft. Trillion Btu
ntensity Consumption

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foui building types: offce, meicantile and seivice, education, and waiehouse. Total eneigy consumption
also vaiied by building type. Thiee of these - health caie, food seivice, and food sales - had highei
eneigy intensity than the aveiage of 90.5 thousand Btu pei squaie foot foi all commeicial buildings.
Figuie 1.5 shows the 13 piincipal building types and theii total consumption and intensity.

-

Five piincipal eneigy types aie used in U.S. commeicial buildings:
Natuial gas
Fuel oil
Liquefed petioleum gas (LPG)
Othei and ienewables
On-site electiic
Table 1.4 shows the ielation between end use type in Figuie 1.5 and the coiiesponding eneigy souices.
Space heating, lighting, and watei heating aie the thiee laigest consumeis of eneigy. Natuial gas and
electiicity diiectly competed in thiee of the majoi end uses - space heating, watei heating, and cooking.
In each of these thiee, natuial gas consumption gieatly exceeded electiicity consumption.
Table 1.5 shows expected commeicial sectoi eneigy use giowth in the U.S.

- --- -

The industiial sectoi consists of moie than thiee million establishments engaged in manufactuiing,
agiicultuie, foiestiy, fshing, constiuction, and mining. In 1997, these buildings occupied 15.5 billion
squaie feet of ooi space and 37% (34.8 quadiillion Btus) of total U.S. piimaiy eneigy consumption.
Aftei the tianspoitation sectoi, the manufactuiing sectoi consumes the most eneigy in the U.S. Of
the 37% of piimaiy eneigy consumption in the industiial sectoi in 1997, 33% was used foi manufactuiing
puiposes and 4% was used foi nonmanufactuiing puiposes. Thus, manufactuiing establishments con-
sume the majoiity of the eneigy in the industiial sectoi even though they aie fai outnumbeied by
nonmanufactuiing establishments. Because theie is a lack of infoimation iegaiding nonmanufactuiing

End Use Consumption Intensity by Building Categoiy

1995 Commeicial Deliveied End-Use Eneigy Consumption Intensities by Piincipal Building Type

1

(1000 Btu/SF)
Building Type
Space
Heating
Space
Cooling
Watei
Heating Lighting Total

2

Peicent of
Total
Consumption

Offce 24.3 9.1 8.7 28.1 97.2 19%
Meicantile and Seivice 30.6 5.8 5.1 23.4 76.4 18%
Education 32.8 4.8 17.4 15.8 79.3 12%
Health Caie 55.2 9.9 63 39.3 240.4 11%
Lodging 22.7 8.1 51.4 23.2 127.3 9%
Public Assembly 53.6 6.3 17.5 21.9 113.7 8%
Food Seivice 30.9 19.5 27.5 37 245.5 6%
Waiehouse and Stoiage 15.7 0.9 2 9.8 38.3 6%
Food Sales 27.5 13.4 9.1 33.9 213.5 3%
Vacant

3

38 1.4 5.5 4.5 30.1 3%
Public Oidei and Safety 27.8 6.1 23.4 16.4 97.2 2%
Othei

4

59.6 9.3 15.3 26.7 172.2 3%

All Buildings 29 6 13.8 20.4 90.5 100%

-

1

Paiking gaiages and commeicial buildings on multibuilding manufactuiing facilities aie excluded fiom CBECS 1995.

2

Includes all end-uses.

3

Includes vacant and ieligious woiship.

4

Includes mixed uses, hangais, ciematoiiums, laboiatoiies, and othei.

EIA, Commeicial Building Eneigy Consumption and Expendituies 1995, Apiil 1998, Table EU-2, p. 311.

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End use categoiies foi commeicial buildings.

Commeicial building eneigy end uses aggiegated ovei all building types.

Eneigy usage and usage intensity by building type. (Fiom the

-
-

.)
Office
Mercantile and Service
Education
Health Care
Lodging
Public Assembly
Food Service
Warehouse
Food Sales
Public Order and Safety
Religious Worship
Vacant
Other
1000 Btu/sq. ft Trillion Btu
250 200 150 100 50 200 400 600 800 1000 0
ntensity
Consumption

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sectois and the majoiity of eneigy is consumed in manufactuiing, the manufactuiing sectoi is the main
focus in this section.
Standaid industiial classifcation (SIC) gioups aie established accoiding to theii piimaiy economic
activity. Each majoi industiial gioup is assigned a two-digit SIC code. The SIC system divides manufac-
tuiing into 20 majoi industiy gioups and nonmanufactuiing into 12 majoi industiy gioups. In 1991, six
of the 20 majoi industiy gioups in the manufactuiing sectoi accounted foi 88% of eneigy consumption
foi all puiposes and foi 40% of the output value foi manufactuiing:
1. Food and kindied pioducts
2. Papei and allied pioducts
3. Chemical and allied pioducts
4. Petioleum and coal pioducts
5. Stone, clay, and glass pioducts
6. Piimaiy metals
Table 1.6 summaiizes the key chaiacteiistics of the eneigy using SIC categoiies with an oveiview of
each. Table 1.7 shows the ooi space inventoiy by SIC.

Fuel Type Usage in Commeicial Buildings

Natuial
Gas
Fuel
Oil (2)
LPG
Fuel (3) Othei
Renw.
En. (4)
Site
Electiic

Site
Piimaiy
Total Total Peicent

Space Heating (8) 1.58 0.37 0.11 0.16 2.22 29.10% 0.53
Space Cooling (7) 0.02 0.34 0.35 4.60% 1.08
Ventilation 0.17 0.17 2.20% 0.53
Watei Heating (8) 0.75 0.07 0.02 0.09 0.93 12.10% 0.29
Lighting 1.22 1.22 15.90% 3.9
Refiigeiation 0.18 0.16 2.40% 0.59
Cooking 0.23 0.02 0.25 3.30% 0.07
Offce Equipment 0.4 0.4 5.30% 1.3
Othei (9) 0.21 0.04 0.08 0.03 0 0.25 0.61 8.00% 0.81
Miscellaneous (10) 0.59 0.12 0.61 1.32 17.20% 1.95

Total 3.37 0.6 0.08 0.14 0.02 3.44 7.65 100% 11.03

Gas and electiic consumption in commeicial buildings by task. (Fiom the

-
-

)

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Of a total of 15.5 billion squaie feet of manufactuiing space, 17% is used foi offce space, and 83% is
used foi nonoffce space. Six gioups account foi 50% of this space: industiial machineiy, food, fabiicated
metals, piimaiy metals, lumbei, and tianspoitation (PNNL, 1997).
Manufactuieis use eneigy in two majoi ways:
To pioduce heat and powei and to geneiate electiicity
As iaw mateiial input to the manufactuiing piocess oi foi some othei puipose
Thiee geneial measuies of eneigy consumption aie used by the U.S. Eneigy Infoimation Administia-
tion (EIA). Accoiding to its 1991 data, the amount of total site consumption of eneigy foi all puiposes
was 20.3 quadiillion Btu. About two thiids (13.9 quadiillion Btu) of this was used to pioduce heat and
powei and to geneiate electiicity, with about one thiid (6.4 quadiillion Btu) consumed as iaw mateiial
and feedstocks. Figuie 1.8 shows the ielative eneigy use foi the eneigy consuming SIC sectois.

- - --B

Eneigy end uses foi industiy aie similai to those foi commeicial buildings although the magnitudes aie
cleaily diffeient. Heating consumes 69% of deliveied eneigy (45% of piimaiy eneigy usage). Lighting is
the second laigest end use with 15% of deliveied eneigy (27% of piimaiy eneigy usage). Finally, venti-
lation and cooling account foi 8% each.

- -

As with commeicial buildings, a vaiiety of fuels aie used in industiy. Petioleum and natuial gas fai exceed
eneigy consumption by any othei souice in the manufactuiing sectois. Figuie 1.9 indicates the fuel mix
chaiacteiistics.

Expected Futuie Consumption Tiends foi Commeicial Buildings

Commeicial Piimaiy Eneigy Consumption by Yeai and Fuel Type (quads and peicents of total)

3

Yeai Natuial Gas Petioleum

1

Coal Renewable

2

Electiicity TOTAL
Giowth Rate,
1980-Yeai

1980 267 25% 1.29 12% 0.09 1% NA 6.55 62% 10.59 -
1990 27 21% 0.91 7% 0.09 1% NA 9.12 71% 12.82 1.90%
1997 337 22% 0.73 5% 0.08 1% 0.02 0% 11.03 72% 15.24 2.20%
2000 355 22% 0.6 4% 0.09 1% 0.03 0% 11.76 73% 16.02 2.10%
2010 384 22% 0.57 3% 0.1 1% 0.03 0% 12.73 74% 17.27 1.60%
2020 4 22% 0.55 3% 0.1 1% 0.04 0% 13.4 74% 18.08 1.30%

-

1

Petioleum induces distillate and iesidual fuels, liquid petioleum gas, keiosene, and motoi gasoline.

2

Includes site maiketed and nonmaiketed ienewable eneigy.

3

1997 site-to-souice electiicity conveision 321.

-

EIA, State Eneigy Data Repoit 1996, Feb. 1999, Table 13, p. 28 foi 1980 and 1990; EIA, AEO 1999, Dec. 1998,
Table A2, p. 113-115 foi 1997-2020 and Table A18, p. 135 foi nonmaiketed ienewable eneigy.

Piimaiy eneigy and electiical consumption in the U.S. (1997).

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Geneial Chaiacteiistics of Industiial Eneigy Consumption SIC

Standaid
Industiial
Code Majoi Industiy Gioup Desciiption

High-Eneigy Consumeis
20
26
28
29
32
33
Food and kindied pioducts
Papei and allied pioducts
Chemicals and allied pioducts
Petioleum and coal pioducts
Stone, clay, and glass pioducts
Piimaiy metal industiies
This gioup conveits iaw mateiials into fnished goods piimaiily
by chemical (not physical) means. Heat is essential to theii
pioduction, and steam piovides much of the heat. Natuial gas,
bypioduct and waste fuels aie the laigest souices of eneigy foi
this gioup. All, except food and kindied pioducts, aie the most
eneigy-intensive industiies.
High Value-Added Consumeis
34
35
36
37
38
39
Fabiicated metal pioducts
Industiial machineiy and equipment
Electionic and othei electiic equipment
Tianspoitation equipment
Instiuments and ielated pioducts
Miscellaneous manufactuiing industiies
This gioup pioduces high value-added tianspoitation vehicles,
industiial machineiy, electiical equipment, instiuments, and
miscellaneous equipment. The piimaiy end uses aie motoi-
diiven physical conveision of mateiials (cutting, foiming,
assembly) and heat tieating, diying, and bonding. Natuial gas is
the piincipal eneigy souice.
Low-Eneigy Consumeis
21
22
23
24
25
27
30
31
Tobacco manufactuies
Textile mill pioducts
Appaiel and othei textile pioducts
Lumbei and wood pioducts
Fuinituie and fxtuies
Piinting and publishing
Rubbei and miscellaneous plastics
Leathei and leathei pioducts
This gioup is the low eneigy-consuming sectoi and iepiesents a
combination of end-use iequiiements. Motoi diive is one of the
key end uses.

Eneigy Infoimation Administiation, Offce of Eneigy Maikets and End Use, Manufactuiing Consumption of
Eneigy 1991, DOE/EIA-0512(91).

Industiial Building Flooi Aiea Distiibution

1991 Industiial Building Flooi Space (10

6

squaie feet)
SIC Manufactuiing Industiy
Offce
Flooi Space
Nonoffce
Flooi Space
Total
Flooi Space

20 Food 203 1207 1410
21 Tobacco 6 51 56
22 Textiles 42 581 623
23 Appaiel 73 451 523
24 Lumbei 53 1135 1187
25 Fuinituie 49 521 569
26 Papei 72 827 899
27 Piinting 351 477 827
28 Chemical 185 714 899
29 Refning 20 105 125
30 Rubbei 97 768 865
31 Leathei 9 44 53
32 Stone, Clay 57 808 864
33 Piimaiy Metals 81 1121 1202
34 Fabiicated Metals 182 1175 1357
35 Industiial Machineiy 337 1149 1485
36 Electionic Equipment 266 629 894
37 Tianspoitation 289 776 1065
38 Instiuments 225 170 395
39 Misc. Manufactuiing 52 190 242

Total 2,641 12,898 15,539

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- -

Although iesidential buildings aie not often equipped with engineeied HVAC systems, it is impoitant
to undeistand usage by this sectoi because it is laige and many of the design and opeiation piinciples
foi laige buildings also apply to small ones. The following data summaiize iesidential eneigy use in the
U.S. Figuie 1.10 shows eneigy use by building type.

-

In 1993, theie weie 101.3 million households, oi 76.5 million buildings with an aveiage of 2.6 people
pei household. The households consisted of 69% single-family, 25% multi-family, and 6% mobile homes.
These buildings consumed 107.8 million Btu of deliveied eneigy (oi 187.5 million Btu of piimaiy eneigy)
pei household.

Eneigy use by SIC categoiy.

Industiial consumption by fuel type.
Petroleum Natural Gas Coal Renewable
Energy
Electricity Electricity
Related Losses
12
10
8
6
4
2
0
9.33
9.92
2.36
1.88
3.52
7.78

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Moie than 50% of all iesidences iange between 600 and 1,600 squaie feet; 23% aie between 1,600 and
2,400 squaie feet, and 29% aie in the 1,000 to 1,600 squaie feet iange as shown in Table 1.8.

- - -

Table 1.9 and Table 1.10 summaiize iesidential fuel utilization. Natuial gas and electiicity aie the key
iesidential eneigy souices. Table 1.11 shows expected giowth thiough the yeai 2020.

-

In oidei to covei all topics affecting the design and opeiation of HVAC systems in modein buildings,
this book is divided into eight sections as follows:
1. Intioduction to the Buildings Sectoi
2. Fundamentals
2.1 Theimodynamics Heat Tiansfei and Fluid Mechanics Basics

Compaiison of commeicial and iesidential sectoi eneigy use.

U.S. Residential Buildings Disaggiegated by Size

Household Size in Heated Flooi Space as of 1995
Squaie Foot Range Peicent

Fewei than 599 7.8%
600 to 999 22.6%
1,000 to 1,599 28.8%
1,600 to 1,999 12.8%
2,000 to 2,399 10.0%
2,400 to 2,999 8.5%
3,000 oi moie 9.6%

100%
SingIe-FamiIy Detached
Two to Four Units
Five or More Units
SingIe-FamiIy Attached
MobiIe Home
Office
MercantiIe and Service
Education
Warehouse and storage
Food SaIes and Service
AssembIy
HeaIth Care
Lodging
Vacant
Other
o 2 4 6 8 10 12 14
QuadriIIion Btu

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3. Economic Aspects of Buildings
4. HVAC Equipment and Systems
4.1 Heating Systems
5. Contiols
6. HVAC Design Calculations
7. Opeiation and Maintenance
7.2 Building System Diagnostics and Piedictive Maintenance
8. Appendices

Eneigy Consumption Intensities by Owneiship of Unit

1993 Residential Deliveied Eneigy Consumption Intensities by Owneiship of Unit
Owneiship
Pei Squaie
Foot (10

3

Btu)
Pei Household
(10

6

Btu)
Pei Household
Membeis (10

6

Btu)
Peicent of
Total Consumption

Owned 52.0 118.5 44.0 75%
Rented 67.0 75.2 31.0 25%
- Public Housing 69.0 58.2 27.0 2%
- Nonpublic Housing 67.0 77.2 31.0 23%

EIA, Household Eneigy Consumption and Expendituies 1993, Oct. 1995, Table 5.1, p. 37-38.

Residential End-Use Consumption by Fuel Type and by End Use

1997 Residential Eneigy End-Use Splits by Fuel Type (quads)
Natuial
Gas
Fuel
Oil
LPG
Fuel Othei
Renw.
En. (3)

Site

Piimaiy
Electiic Total Peicent Electiic Total Peicent

Space Heating 3.58 0.84 0.32 0.15 0.61 0.50 6.00 54.8% 1.61 7.10 37.3%
Space Cooling 0.00 0.54 0.54 4.9% 1.72 1.72 9.1%
Watei Heating 1.27 0.10 0.07 0.01 0.39 1.83 16.8% 1.24 2.69 14.2%
Lighting 0.40 0.40 3.6% 1.27 1.27 6.7%
White Goods 0.05 0.78 0.82 7.5% 2.49 2.54 13.4%
Cooking 0.16 0.03 0.23 0.42 3.9% 0.74 0.93 4.9%
Electionics 0.27 0.27 2.5% 0.86 0.86 4.5%
Motois 0.05 0.05 0.5% 0.18 0.18 0.9%
Heating Applicances 0.10 0.10 0.9% 0.31 0.31 1.6%
Othei 0.09 0.00 0.01 0.10 0.9% 0.10 0.5%
Miscellaneous 0.41 0.41 3.7% 1.30 1.30 6.9%

Total 5.15 0.94 0.43 0.15 0.62 3.66 10.94 100% 11.73 19.01 100%

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The book is indexed foi all detailed topics, and adequate cioss-iefeiences among the chapteis have
been included. The appendices include the nomenclatuie and selected lookup tables.

-

PNNL (1997). An Analysis of Buildings-Related Eneigy Use in Manufactuiing,

-11499, Apiil.
Eneigy Infoimation Administiation (EIA, 1995).

- -

.

Expected Giowth in Residential Eneigy Use

Residential Piimaiy Eneigy Consumption by Yeai and Fuel Type (quads and peicents of total)
Yeai Natuial Gas Petioleum

1

Coal Renewable

2

Electiicity TOTAL
Giowth Rate,
1980-Yeai

1980 4.86 32% 1.75 12% 0.06 0% NA

3

8.41 56% 15.069 100% -
1990 4.52 27% 1.27 8% 0.06 0% 0.63 4% 10.05 61% 16.53 100% 0.9%
1997 5.15 27% 1.47 8% 0.06 0% 0.62 3% 11.73 62% 19.01 100% 1.4%
2000 5.21 26% 1.38 7% 0.06 0% 0.62 3% 12.79 64% 20.06 100% 1.4%
2010 5.52 26% 1.23 6% 0.05 0% 0.65 3% 13.68 65% 21.13 100% 1.1%
2020 5.94 26% 1.12 5% 0.05 0% 0.70 3% 15.09 66% 22.90 100% 1.1%

-

1

Petioleum includes distillate and iesidual fuels, liquefed petioleum gas, keiosene, and motoi gasoline.

2

Includes site maiketed and non-maiketed ienewable eneigy.

3

1980 Renewables aie estimated at 1.00 quads.

-

EIA, State Eneigy Data Repoit 1996, Feb. 1999, Tables 12-15, p. 22-25 foi 1980 and 1990; EIA, AEO 1999,
Dec. 1998, Table A2, p. 113-115 foi 1997-2020 consumption and Table A18, p. 135 foi nonmaiketed ienewable eneigy.

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-- et al. -"

Ed. Jan F. Kieidei

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-
2.1 Theimodynamics Heat Tiansfei and
Fluid Mechanics Basics
Theimodynamics Fundamentals of Heat
Tiansfei Fundamentals of Fluid Mechanics
Heat Exchangeis Nomenclatuie
Atmospheiic Composition and Piessuie Theimodynamic
Piopeities of Moist Aii Psychiometiic Piopeities of Moist
Aii Psychiometiic Piocesses Psychiometiic Analysis of
Basic HVAC Systems Human Comfoit
- - - --
-- -
Design and analysis of eneigy conveision systems iequiie an in-depth undeistanding of basic piinciples
of theimodynamics, heat tiansfei, and uid mechanics. - is that bianch of engineeiing
science that desciibes the ielationship and inteiaction between a system and its suiioundings. This
inteiaction usually occuis as a tiansfei of eneigy, mass, oi momentum between a system and its sui-
ioundings. Theimodynamic laws aie usually used to piedict the changes that occui in a system when
moving fiom one equilibiium state to anothei. The science of - complements the theimo-
dynamic science by pioviding additional infoimation about the eneigy that ciosses a system`s boundaiies.
Heat-tiansfei laws piovide infoimation about the mechanism of tiansfei of eneigy as heat and piovide
necessaiy coiielations foi calculating the iate of tiansfei of eneigy as heat. The science of A -,
one of the most basic engineeiing sciences, piovides goveining laws foi uid motion and conditions
inuencing that motion. The goveining laws of uid mechanics have been developed thiough a knowledge
of uid piopeities, theimodynamic laws, basic laws of mechanics, and expeiimentation.
In this chaptei, we will focus on the basic piinciples of theimodynamics, heat tiansfei, and uid
mechanics that an engineei needs to know to analyze oi design an HVAC system. Because of space
limitations, oui discussion of impoitant physical concepts will not involve detailed mathematical deii-
vations and pioofs of concepts. Howevei, we will piovide appiopiiate iefeiences foi those ieadeis intei-
ested in obtaining moie detail about the subjects coveied in this chaptei. Most of the mateiial piesented
heie is accompanied by examples that we hope will lead to bettei undeistanding of the concepts.
-
Duiing a typical day, eveiyone deals with vaiious engineeiing systems such as automobiles, iefiigeiatois,
miciowaves, and dishwasheis. Each engineeiing system consists of seveial components, and a system`s
optimal peifoimance depends on each individual component`s peifoimance and inteiaction with othei
components. In most cases, the inteiaction between vaiious components of a system occuis in the foim
of eneigy tiansfei oi mass tiansfei. Theimodynamics is an engineeiing science that piovides goveining
--

-
B -

-

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laws that desciibe eneigy tiansfei fiom one foim to anothei in an engineeiing system. In this chaptei,
the basic laws of theimodynamics and theii application foi eneigy conveision systems aie coveied in the
following foui sections. The effciency of the theimodynamic cycles and explanations of some advanced
theimodynamic systems aie piesented in the succeeding two sections. Seveial examples have been pie-
sented to illustiate the application of concepts coveied heie. Because of the impoitance of moist aii
HVAC piocesses, these aie tieated in Chaptei 2.2.
- -
In peifoiming engineeiing theimodynamic analysis, we must defne the -- undei consideiation.
Aftei piopeily identifying a theimodynamic system, eveiything else aiound the system becomes that
system`s . Of inteiest to engineeis and scientists is the between the system and its
enviionment.
In theimodynamic analysis, systems can eithei consist of specifed mattei ( --, CM) oi
specifed space ( , CV). In a contiol-mass system, eneigy-but not mass-can cioss the
system boundaiies while the system is going thiough a theimodynamic piocess. Contiol-mass systems
may be called - --- because no mass can cioss theii boundaiy. On the othei hand, in a contiol-
volume system-also iefeiied to as an ---both eneigy and mattei can cioss the system
boundaiies. The shape and size of CVs need not necessaiily be constant and fxed; howevei, in this
chaptei, we will assume that the CVs aie of fxed shape and size. Anothei system that should be defned
heie is an - --, which is a system wheie no mass oi eneigy ciosses its boundaiies.
The eneigy of a system consists of thiee components: kinetic eneigy, potential eneigy, and inteinal
eneigy. The and of a system aie macioscopically obseivable. is
associated with iandom and disoiganized aspects of molecules of a system and is not diiectly obseivable.
In theimodynamic analysis of systems, the eneigy of the whole system can be obtained by adding the
individual eneigy components.
- O - -
The Fiist Law of Theimodynamics states that eneigy is conseived: it cannot be cieated oi destioyed, but
can change fiom one foim to anothei. The eneigy of a closed system can be expiessed as
(2.1.1)
wheie is the total eneigy of the system, is its inteinal eneigy pei unit mass, and the last two teims
aie the kinetic eneigy and potential eneigy of the system, iespectively. The piopoitionality constant
c
is defned in the nomenclatuie (listed at the end of this chaptei) and is discussed in the text following
Eq. (2.1.73). When a system undeigoes changes, the eneigy change within the system can be expiessed
by a geneial foim of the eneigy-balance equation:
Eneigy stoied Eneigy enteiing - Eneigy leaving - Eneigy geneiated
in the system the system the system in the system
(e.g., chemical ieactions)
Foi example, considei the geotheimal-based heat pump shown in Figuie 2.1.1. In this heat pump, a
woiking uid (R-22, a common iefiigeiant used with geotheimal heat pumps, which is gaseous at ioom
tempeiatuie and piessuie) is sealed in a closed loop and is used as the tianspoit medium foi eneigy.
Figuie 2.1.2 piesents a simple theimodynamic cycle foi a heat pump (heating mode) and an associated
piessuie-enthalpy (p-h) diagiam. The satuiated vapoi and liquid lines aie shown in Figuie 2.1.2, and
the iegion between these two lines is iefeiied to as the wet iegion, wheie vapoi and liquid coexist. The
ielative quantities of liquid and vapoi in the mixtuie, known as the quality of the mixtuie (), is usually
used to denote the state of the mixtuie. The is defned as the iatio of the mass of
vapoi to the mass of the mixtuie. Foi example, in 1 kg of mixtuie with quality , theie aie kg of vapoi

-
2
2
2
,

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and (1 - ) kg of liquid. Figuie 2.1.2 shows that the woiking uid leaving the evapoiatoi (point 2) has
a highei quality than woiking uid enteiing the evapoiatoi (point 1). The woiking uid in Figuie 2.1.2
is ciiculated thiough the closed loop and undeigoes seveial phase changes. Within the evapoiatoi, the
woiking uid absoibs heat fiom the suiioundings (geotheimal iesouice) and is vapoiized. The low-
piessuie gas (point 2) is then diiected into the compiessoi, wheie its piessuie and tempeiatuie aie
incieased by compiession. The hot compiessed gas (point 3) is then passed thiough the condensei, wheie
it loses heat to the suiioundings (heating up the house). The cool woiking uid exiting the condensei
is a high-piessuie liquid (point 4), which then passes thiough an expansion device oi valve to ieduce its
piessuie to that of the evapoiatoi (undeigiound loop).
Specifcally, considei the ow of the woiking uid in Figuie 2.1.1 fiom point 1 to point 2 thiough the
system shown within the dashed iectangle. Mass can entei and exit this contiol-volume system. In owing
fiom point 1 to 2, the woiking uid goes thiough the evapoiatoi (see Figuie 2.1.2). Assuming no
accumulation of mass oi eneigy, the Fiist Law of Theimodynamics can be wiitten as
(2.1.2)
wheie is the mass-ow iate of the woiking uid, is the iate of heat absoibed by the woiking uid,
is the iate of woik done on the suiioundings, is the specifc volume of the uid, is the piessuie, and
the subsciipts 1 and 2 iefei to points 1 and 2. A mass-ow eneigy-tianspoit teim, , appeais in Eq.
(2.1.2) as a iesult of oui choice of contiol-volume system. The teims and can be combined into a
single teim called -B , h - , and Eq. (2.1.2) then ieduces to
Geotheimal-based (giound-souice) heat pump.
Theimodynamic cycle and - diagiam foi heat pump (heating mode).

2
2
2
2
2 2 1
1
2
1
1 1
2 2

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(2.1.3)
Foi a constant-piessuie piocess, the enthalpy change fiom tempeiatuie,
1
to tempeiatuie
2
can be
expiessed as
(2.1.4)
wheie
p
is the mean specifc heat at constant piessuie.
-
In many events, the state of an isolated system can change in a given diiection, wheieas the ieveise piocess
is impossible. Foi example, the ieaction of oxygen and hydiogen will ieadily pioduce watei, wheieas the
ieveise ieaction (electiolysis) cannot occui without some exteinal help. Anothei example is that of adding
milk to hot coffee. As soon as the milk is added to the coffee, the ieveise action is impossible to achieve.
These events aie explained by the Second Law of Theimodynamics, which piovides the necessaiy tools
to iule out impossible piocesses by analyzing the events occuiiing aiound us with iespect to time.
Contiaiy to the Fiist Law of Theimodynamics, the Second Law is sensitive to the of the piocess.
To bettei undeistand the second law of theimodynamics, we must intioduce a theimodynamic piop-
eity called (symbolized by , iepiesenting total entiopy, and -, iepiesenting entiopy pei unit
mass). The entiopy of a system is simply a measuie of the degiee of moleculai chaos oi disoidei at the
micioscopic level within a system.
The moie disoiganized a system is, the less eneigy is available to do useful woik; in othei woids, eneigy
is iequiied to cieate oidei in a system. When a system goes thiough a theimodynamic piocess, the natuial
state of affaiis dictates that entiopy be pioduced by that piocess. In essence, the Second Law of Thei-
modynamics states that, in an isolated system, entiopy can be pioduced, but it can nevei be destioyed.
(2.1.5)
Theimodynamic piocesses can be classifed as ieveisible and iiieveisible piocesses. A - --
is a piocess duiing which the net entiopy of the system iemains unchanged. A ieveisible piocess has
equal chances of occuiiing in eithei a foiwaid oi backwaid diiection because the net entiopy iemains
unchanged. The absolute inciemental entiopy change foi a closed system of fxed mass in a ieveisible
piocess can be calculated fiom
(2.1.6)
wheie is the inciease in entiopy, is the heat absoibed, and is the absolute tempeiatuie. Howevei,
the net change in entiopy foi all the paiticipating systems in the ieveisible piocess must equal zeio; thus,
(2.1.7)
We emphasize that most ieal piocesses aie not ieveisible and the entiopy of a ieal piocess is not usually
conseived. Theiefoie, Eq. (2.1.6) can be wiitten in a geneial foim as
1
2
2
2
1
2
2 1 2 1
.
- -

2 1 2 1
1
2
-
- ,

final initial
- 0 foi isolated system.
all systems all systems

0.

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(2.1.8)
wheie the equality iepiesents the ieveisible piocess. A ieveisible piocess in which 0 is called an
- --. It is obvious fiom Eq. (2.1.6) that foi such piocesses, 0, which means that no
net change occuis in the entiopy of the system oi its suiioundings.
- - --
We can now employ these theimodynamic laws to analyze theimodynamic piocesses that occui in eneigy
conveision systems. Among the most common eneigy conveision systems aie heat engines and heat
pumps. In Figuie 2.1.3, the - lines indicate the opeiating piinciple of a , wheie eneigy
H
, is absoibed fiom a high-tempeiatuie theimal ieseivoii and is conveited to woik by using a tuibine,
and the iemaindei,
L
, is iejected to a low-tempeiatuie theimal ieseivoii. The -
B of a heat engine is defned as
(2.1.9)
In the eaily 1800s, Nicholas Cainot showed that to achieve the maximum possible effciency, the heat
engine must be completely ieveisible (i.e., no entiopy pioduction, no theimal losses due to fiiction).
Using Eq. (2.1.7), Cainot`s heat engine should give
(2.1.10)
oi
(2.1.11)
An eneigy balance gives
(2.1.12)
Piinciple of opeiation of a heat engine (solid lines and uppei teims) and heat pump (dashed lines
and lowei teims in paientheses).
,
heat engine
desiied output eneigy
iequiied input eneigy
- 0
.

- .

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Theiefoie, the maximum possible effciency is
(2.1.13)
In ieal piocesses, howevei, due to entiopy pioduction, the effciency is
(2.1.14)
A is basically a heat engine with the ieveise theimodynamic piocess. In heat pumps, woik
input allows foi theimal eneigy tiansfei fiom a low-tempeiatuie ieseivoii to a high-tempeiatuie ieseivoii
as shown in Figuie 2.1.3 by - lines. Eneigy (heat),
L
, is absoibed by a woiking uid fiom a low-
tempeiatuie ieseivoii (geotheimal iesouice oi solai collectois), then the eneigy content (tempeiatuie
and piessuie) of the woiking uid is incieased as a iesult of input woik, . The eneigy,
H
, of the woiking
uid is then ieleased to a high-tempeiatuie ieseivoii (e.g., a waim house). The effciency of a heat pump
is defned as
(2.1.15)
The effciency of a heat pump is often expiessed as B (COP). The COP of a
Cainot (oi ieveisible) heat pump can be expiessed as
(2.1.16)
Heat pumps aie often used in HVAC systems to heat oi cool buildings. Heat engines and heat pumps
aie bioadly discussed by Sandoid 1962], Reynolds and Peikins 1977], Wood 1982], Kailekai 1983],
and Van Wylen and Sonntag 1986].
B- -
To evaluate and compaie vaiious theimodynamic cycles (oi systems), we fuithei defne and employ the
teim B. The opeiating effciency of a system ieects iiieveisibilities that exist in the system. To
poitiay vaiious defciencies oi iiieveisibilities of existing theimodynamic cycles, the following theimo-
dynamic effciency teims aie most commonly consideied.
(2.1.17)
which is the iatio of the actual woik pioduced by a system to that of the same system undei ieveisible
piocess. Note that the ieveisible piocess is not necessaiily an adiabatic piocess (which would involve heat
tiansfei acioss the boundaiies of the system).
(2.1.18)
which is the iatio of actual woik to the woik done undei an isentiopic piocess.
(2.1.19)
iev

-
- - . 1 1
1- .
heat pump
desiied output eneigy
iequiied input eneigy

-
.

-
.
Mechanical efficiency
act
iev
,
Isentiopic Efficiency
act
isent
-
,
Relative efficiency
iev
isent
,

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which is the iatio of ieveisible woik to isentiopic woik.
(2.1.20)
which is the iatio of the net powei output to the input heat iate. Balmei 1990] gives a compiehensive
discussion on the effciency of theimodynamic cycles.
--
The most common theimodynamic systems aie those used by engineeis in geneiating electiicity foi
utilities and foi heating oi iefiigeiation/cooling puiposes.
Modein powei systems employ aftei Rankine cycles, and a typical is shown in
Figuie 2.1.4(a). In this cycle, the woiking uid is compiessed by the pump and is sent to the boilei wheie
heat
H
is added to the woiking uid, biinging it to a satuiated (oi supeiheated) vapoi state. The vapoi
is then expanded thiough the tuibine, geneiating shaft woik. The mixtuie of vapoi and liquid exiting
the tuibine is condensed by passing thiough the condensei. The uid coming out of the condensei is
then pumped to the boilei, closing the cycle. The enthalpy-entiopy (h-s) diagiam foi the Rankine cycle
is shown in Figuie 2.1.4(b). The dashed line 3 4 in Figuie 2.1.4(b) iepiesents actual expansion of the
steam thiough the tuibine, wheieas the solid line 3 4- iepiesents an isentiopic expansion thiough the
tuibine.
In utility powei plants, the heat souice foi the boilei can vaiy depending on the type of geneiating
plant. In geotheimal powei plants, foi example, watei at tempeiatuies as high as 380C is pumped fiom
geotheimal iesouices located seveial hundied meteis below the eaith`s suiface, and the watei`s eneigy is
tiansfeiied to the woiking uid in a boilei.
The othei commonly used theimodynamic cycle is the (heat-pump cycle). As stated
eailiei, a heat engine and a heat pump both opeiate undei the same piinciples except that theii theimo-
dynamic piocesses aie ieveised. Figuies 2.1.2 and 2.1.3 piovide detailed infoimation about the heat-
pump cycle. This cycle is sometimes called the ieveised Rankine cycle.
B -
Modifying the Rankine cycle can impiove the output woik consideiably. One modifcation usually
employed in laige cential powei stations is intioducing a -- into the Rankine cycle. In this
modifed Rankine cycle, as shown in Figuie 2.1.5(a), steam is fist expanded thiough the fist stage of
the tuibine. The steam dischaiging fiom the fist stage of the tuibine is then ieheated befoie enteiing
the second stage of the tuibine. The ieheat piocess allows the second stage of the tuibine to have a gieatei
enthalpy change. The enthalpy-veisus-entiopy plot foi this cycle is shown in Figuie 2.1.5(b), and this
fguie should be compaied to Figuie 2.1.4(b) to fuithei appieciate the effect of the ieheat piocess. Note
Typical Rankine cycle and its -- diagiam.
Theimal efficiency
out
in
,

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that in the ieheat piocess, the woik output pei pound of steam incieases; howevei, the effciency of the
system may be incieased oi ieduced depending on the ieheat tempeiatuie iange.
Anothei modifcation also employed at laige powei stations is called a --. The
schematic iepiesentation of a Rankine cycle with a iegeneiation piocess is shown in Figuie 2.1.6(a), and
the enthalpy-veisus-entiopy plot is shown in Figuie 2.1.6(b). In this piocess, a poition of the steam (at
point 6) that has alieady expanded thiough the fist stage of the tuibine is extiacted and is mixed in an
open iegeneiatoi with the low-tempeiatuie liquid (fiom point 2) that is pumped fiom the condensei
back to the boilei. The liquid coming out of the iegeneiatoi at point 3 is satuiated liquid that is then
pumped to the boilei.

A geotheimal heat pump, shown in Figuie 2.1.7, keeps a house at 24C duiing the wintei. The
geotheimal iesouice tempeiatuie is -5C. The amount of woik iequiied to opeiate the heat pump foi
a paiticulai month is 10
6
kilojoules (kJ). What is the maximum heat input to the house duiing that
1-month peiiod:
a Rankine cycle with a ieheat piocess. (b) The -- plot foi the modifed Rankine cycle of
Figuie 2.1.5(a).

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The eneigy balance foi the system gives

(2.1.21)
(a) Rankine cycle with iegeneiation piocess, and (b) its -- diagiam.

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Equation (2.1.7) gives the entiopy change foi the system:
(2.1.22)
wheie, fiom Eq. (2.1.22), we can get an expiession foi
L
:
(2.1.23)
Substituting foi
L
fiom Eq. (2.1.21), we get an expiession foi
H
:
The maximum
H
is obtained when S 0; theiefoie,
(2.1.24)
and substituting the actual values yields

Calculate the maximum COP foi the heat pump of Example 2.1.1.
Solution
Giound-souice heat pump.
- ,
- .

1
1-
- .
1
1-
,

1
1
10 10
6 7
-
.
268.15 K
297.15 K
J, J

heat pump
J
J -

.
10
10
10
7
6

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A simple heat-pump system is shown in Figuie 2.1.2. The woiking uid in the closed loop is R-22.
The p-h diagiam of Figuie 2.1.2 shows the theimodynamic piocess foi the woiking uid. The following
data iepiesent a typical opeiating case.
(a) Deteimine the COP foi this heat pump assuming isentiopic compiession, -
2
-
3
.
(b) Deteimine the COP by assuming a compiessoi isentiopic effciency of 70%.
Fiist, the theimodynamic piopeities at each station can be found using the K-
.

The evapoiation of woiking uid R-22 occuis at a constant piessuie (between points 1 and 2). This
piessuie can be obtained fiom the satuiated liquid/vapoi table of piopeities foi R-22 at T
1
-5C
(23F), which is
1
422 kPa (61.2 psia). At point 1, the quality is
1
0.17. Theiefoie, the enthalpy
and entiopy at this point can be obtained fiom:
wheie
f
1
39.36 kJ/kg,
fg
1
- h
f
1

g
1
-
f
1
0.1563 kJ/kg K, and -
fg
1
-
1
- -
f
1

0.7791 kJ/kg K.
The quantities listed aie iead fiom the table of piopeities foi R-22. Using these piopeities, we obtain:
We then fnd the state piopeities at point 3, because they will be used to fnd the quality of the mixtuie
at point 2.

At point 3, the woiking uid is satuiated vapoi at
3
24C (75F). Fiom the table of piopeities, the
piessuie, enthalpy, and entiopy at this point aie
3
1,014 kPa (147 psia),
3
257.73 kJ/kg, and -
3

0.8957 kJ/kg K.

The tempeiatuie at this point is
2
-5C (23F), and because we aie assuming an isentiopic com-
piession, the entiopy is -
2
-
3
0.8957 kJ/kg K. The quality of the mixtuie at point 2 can be calculated
fiom

1 2
3 4
1
5 23
24 75
0 17
-

.
- - -
1 1 1
1 1 1 1
, and
-
1
1
39 36 0 17 208 85 74 86
0 1563 0 17 0 7791 0 2887
. . . .
. . . .
kJ/kg kJ/kg kJ/kg,
kJ/kg K kJ/kg K kJ/kg K
- -
-
2
2
2
2
-
,

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wheie -
fg
2
-
g
2
- -
f
2
, and the quantities -
g
2
and -
f
2
can be obtained fiom the table of piopeities at
2

-5C (23F).
Note that the satuiation piopeities foi points 1 and 2 aie the same because both points have the same
piessuie and tempeiatuie. Theiefoie,
Knowing the quality at point 2, the enthalpy at point 2 can be calculated:

At point 4, we have satuiated liquid at
4
24C (75F). Theiefoie, fiom the table of piopeities, -
4

0.2778 kJ/kg K and
4
74.16 kJ/kg.
(a) The coeffcient of peifoimance foi a heat pump is
(b) If the isentiopic effciency is 70%, the - diagiam is as shown in Figuie 2.1.8. The isentiopic
effciency foi the compiessoi is defned as
The - diagiam foi a heat-pump cycle with a 70% isentiopic effciency foi the compiessoi.
- -

- -

- -
-

2 1
2 1
2 1
2 1
2
2
0 1563
39 36
0 7791
208 85
0 8957 0 1563
0 7791
0 95
2
.
.
.
.
-
. - .
.
. .
kJ/kg K,
kJ/kg,
kJ/kg K,
kJ/kg,
s
kJ/kg K kJ/kg K
kJ/kg K
2

2 2
2 2
39 36 0 95 208 85 237 77 . . . . kJ/kg kJ/kg kJ/kg.
COP
iate of eneigy tiansfei to house
compiessoi shaft powei
kJ/kg
kJ/kg

3 4
3 2
183 57
19 96
9 2
-
-
.
.
. .
s
s
h h
h h
3 2
3 2
.

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Using this ielationship,
3
can be calculated as follows:
Theiefoie, the COP is
-
Ovei the past 50 yeais, many technological advances have impioved the peifoimance of powei plant
components. Recent developments in exotic mateiials have allowed the design of tuibines that can opeiate
moie effciently at highei inlet tempeiatuies and piessuies. Simultaneously, innovative theimodynamic
technologies (piocesses) have been pioposed and implemented that take advantage of impioved tuibine
isentiopic and mechanical effciencies and allow actual opeiating theimal effciencies of a powei station
to appioach 50%. These impioved technologies include (1) modifcation of existing cycles (ieheat and
iegeneiation) and (2) use of combined cycles. In the pievious section, we discussed ieheat and iegenei-
ation techniques. In the following paiagiaphs, we give a shoit oveiview of the combined-cycle technol-
ogies and discuss theii opeiation.
The basic gas-tuibine oi is shown in Figuie 2.1.9. In this cycle, ambient aii is piessuiized
in a compiessoi and the compiessed aii is then foiwaided to a combustion chambei, wheie fuel is
continuously supplied and buined to heat the aii. The combustion gases aie then expanded thiough a
tuibine to geneiate mechanical woik. The tuibine output iuns the aii compiessoi and a geneiatoi that
pioduces electiicity.
The exhaust gas fiom such a tuibine is veiy hot and can be used in a bottoming cycle added to the
basic gas-tuibine cycle to foim a . Figuie 2.1.10 depicts such a combined cycle wheie a
- (HRSG) is used to geneiate steam iequiied foi the bottoming (Rankine)
A basic gas-tuibine oi Biayton-cycle iepiesentation.
A combined cycle known as the steam-and-gas-tuibine cycle.
h
h h
h
s
s
3
3 2
2
257 73 237 77
237 77 266 28
. .
. .
kJ/kg kJ/kg
0.70
kJ/kg kJ/kg.
COP
kJ/kg kJ/kg
266.28 kJ/kg kJ/kg

3 4
3 2
266 28 74 16
237 77
6 7
-
-
. - .
- .
. .

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cycle. The high-tempeiatuie exhaust gases fiom the gas-tuibine (Biayton) cycle geneiate steam in the
HRSG. The steam is then expanded thiough the steam tuibine and condensed in the condensei. Finally,
the condensed liquid is pumped to the HRSG foi heating. This combined cycle is iefeiied to as a -
- .
Anothei type of bottoming cycle pioposed by Kalina 1984] uses a mixtuie of ammonia and watei as
a woiking uid. The multicomponent mixtuie piovides a boiling piocess that does not occui at a constant
tempeiatuie; as a iesult, the available heat is used moie effciently. In addition, Kalina employs a distil-
lation piocess oi woiking-uid piepaiation subsystem that uses the low-tempeiatuie heat available fiom
the mixed-uid tuibine outlet. The woiking-uid mixtuie is eniiched by the high-boiling-point com-
ponent; consequently, condensation occuis at a ielatively constant tempeiatuie and piovides a gieatei
piessuie diop acioss the tuibine. The use of multicomponent woiking uids in Rankine cycles piovides
vaiiable-tempeiatuie boiling; howevei, the condensation piocess will have a vaiiable tempeiatuie as well,
iesulting in system ineffciencies. Accoiding to Kalina, this type of bottoming cycle incieases the oveiall
system effciency by up to 20% above the effciency of the combined-cycle system using a Rankine
bottoming cycle. The combination of the cycle pioposed by Kalina and a conventional gas tuibine is
estimated to yield theimal effciencies in the 50 to 52% iange.
- -
In Section 2.1, we discussed theimodynamic laws and thiough some examples we showed that these laws
aie conceined with inteiaction between a system and its enviionment. Theimodynamic laws aie always
conceined with the state of a system and aie used to deteimine the amount of eneigy
iequiied foi a system to change fiom one equilibiium state to anothei. These laws do not quantify the
mode of the eneigy tiansfei oi its iate. Heat tiansfei ielations, howevei, complement theimodynamic
laws by pioviding - that ielate the heat tiansfei iate between a system and its enviionment.
Heat tiansfei is an impoitant piocess that is an integial pait of oui enviionment and daily life. The
heat-tiansfei oi heat-exchange piocess between two media occuis as a iesult of a tempeiatuie diffeience
between them. Heat can be tiansfeiied by thiee distinct modes: conduction, convection, and iadiation.
Each one of these heat tiansfei modes can be defned by an appiopiiate iate equation piesented below:
K- -iepiesented heie by Eq. (2.1.25) foi the one-dimensional steady-
state case:
(2.1.25)
K- -which gives the iate of heat tiansfei between a suiface and a uid:
(2.1.26)
wheie h is the aveiage heat-tiansfei coeffcient ovei the suiface with aiea .
PK- -which is expiessed by the equation:
(2.1.27)
-
Conduction is the heat-tiansfei piocess that occuis in solids, liquids, and gases thiough moleculai
inteiaction as a iesult of a tempeiatuie giadient. The eneigy tiansfei between adjacent molecules occuis
without signifcant physical displacement of the molecules. The iate of heat tiansfei by conduction can
be piedicted by using Fouiiei`s law, wheie the effect of moleculai inteiaction in the heat-tiansfei medium
- .
cond
,
conv
- .
1 1 2 1
4
2
4

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is expiessed as a piopeity of that medium and is called the . The study of conduction
heat tiansfei is a well-developed feld wheie sophisticated analytical and numeiical techniques aie used
to solve many pioblems in buildings including heating and cooling load calculation.
In this section, we discuss basics of steady-state one-dimensional conduction heat tiansfei thiough
homogeneous media in caitesian and cylindiical cooidinates. Some examples aie piovided to show the
application of the fundamentals piesented, and we also discuss fns oi extended suifaces.
-
Fouiiei`s law, as iepiesented by Eq. (2.1.25), states that the iate of heat tiansfeiied by conduction is
diiectly piopoitional to the tempeiatuie giadient and the suiface aiea thiough which the heat is owing.
The piopoitionality constant is the theimal conductivity of the heat-tiansfei medium. Theimal
conductivity is a theimophysical piopeity and has units of W/m K in the SI system, oi Btu/h ft F in the
English system of units. Theimal conductivity can vaiy with tempeiatuie, but foi most mateiials it can
be appioximated as a constant ovei a limited tempeiatuie iange. A giaphical iepiesentation of Fouiiei`s
law is shown in Figuie 2.1.11.
Equation (2.1.25) is only used to calculate the iate of heat conduction thiough a one-dimensional
homogenous medium (unifoim thioughout the medium). Figuie 2.1.12 shows a section of a plane wall
with thickness , wheie we assume the othei two dimensions of the wall aie veiy laige compaied to .
One side of the wall is at tempeiatuie
1
, and the othei side is kept at tempeiatuie
2
, wheie
1
>
2
.
Integiating Fouiiei`s law with constant and , the iate of heat tiansfei thiough this wall is
(2.1.28)
wheie is the theimal conductivity of the wall.
--
Figuie 2.1.12 also shows the analogy between electiical and theimal ciicuits. Considei an electiic cuiient
owing thiough a iesistance
e
, as shown in Figuie 2.1.12. The voltage diffeience
1
-
2
is the
diiving foice foi the ow of electiicity. The electiic cuiient can then be calculated fiom
(2.1.29)
The sign convention foi conduction heat ow.
-
,

1 2
.

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Like electiic cuiient ow, heat ow is goveined by the tempeiatuie diffeience, and it can be calculated
fiom
(2.1.30)
wheie, fiom Eq. (2.1.28), / and is called --. Following this defnition, the theimal
iesistance foi convection heat tiansfei given by Newton`s Law of Cooling becomes 1/(). Theimal
iesistance of composite walls (plane and cylindiical) has been discussed by Kakac and Yenei 1988],
Kieith and Bohn 1993], and Bejan 1993]. The following example shows how we can use the concept
of theimal iesistance in solving heat-tiansfei pioblems in buildings.

One wall of an uninsulated house, shown in Figuie 2.1.13, has a thickness of 0.30 m and a suiface
aiea of 11 m
2
. The wall is constiucted fiom a mateiial (biick) that has a theimal conductivity of 0.55
W/m K. The outside tempeiatuie is -10C, while the house tempeiatuie is kept at 22C. The convection
heat-tiansfei coeffcient is estimated to be
o
21 W/m
2
K in the outside and
i
7 W/m
2
K in the
inside. Calculate the iate of heat tiansfei thiough the wall, as well as the suiface tempeiatuie at eithei
side of the wall.
The conduction theimal iesistance is

Note that the heat-tiansfei iate pei unit aiea is called A and is given by
Analogy between theimal and electiical ciicuits foi steady-state conduction thiough a plane wall.
,
.
.
. .
cond 2
m
m W m K
K
W
0 3
11 0 55
0 0496
-
.
1 2

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In this case, the iesistance to heat tiansfei ovei a 1-m by 1-m aiea of the wall is
The convection iesistances foi inside and outside, shown in Figuie 2.1.13, aie
Note that the highest iesistance is piovided by conduction thiough the wall. The total heat ow can
be calculated fiom
The suiface tempeiatuies can then be calculated by using the electiic analogy depicted in Figuie 2.1.13.
Foi the inside suiface tempeiatuie,
Heat loss thiough a plane wall.

,
.
. .
cond
2
m
0.55 W m K
m K
W
0 3
0 5455
,
.
conv 2 2
W m K 11 m
K
W
1 1
7
0 0130
,
. .
conv 2 2
W m K 11 m
K
W
1 1
21
0 0043
- . - .
. .
.

1 1
295 15 263 15
0 0496 0 0043
478 3
K K
0.013
K
W

K
W

K
W
W .
-
,
,
1

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oi
Similaily, foi the outside suiface tempeiatuie:
-
A cioss section of a long hollow cylindei such as pipe insulation with inteinal iadius
i
and exteinal
iadius
o
is shown in Figuie 2.1.14. The inteinal suiface of the cylindei is at tempeiatuie
i
and the
exteinal suiface is at
o
, wheie
i
>
o
. The iate of heat conduction in a iadial diiection is calculated by
(2.1.31)
wheie L is the length of the cylindei that is assumed to be long enough so that the end effects may be
ignoied. Fiom Eq. (2.1.31) the iesistance to heat ow in this case is
(2.1.32)
Equation (2.1.31) can be used to calculate the heat loss thiough insulated pipes, as piesented in the
following example.

The iefiigeiant of the heat pump discussed in Example 2.1.3 is ciiculating thiough a thin-walled
coppei tube of iadius
i
6 mm, as shown in Figuie 2.1.15. The iefiigeiant tempeiatuie is
i
, ambient
tempeiatuie is , and
i
< . The outside convection heat-tiansfei coeffcient is
o
7 W/m
2
K.
Conduction thiough hollow cylindeis.

. -
.
. . . 295 15
478 3
77
288 94 15 79 K
W
W K
K
.
. . - . .
478 3
231
263 15 265 22 7 93
W
W K
K K
-
,

2
ln

ln
2
.

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(a) If we decide to insulate this tube, what would be the optimum thickness of the insulation:
(b) Show the behavioi of heat ow thiough the tube at diffeient insulation thicknesses such as 0, 3,
6, 10, 15, and 20 mm, and plot the iesults foi / veisus iadius . Assume an insulation mateiial with
theimal conductivity 0.06 W/m K.
(a) In theimal analysis of iadial systems, we must keep in mind that theie aie competing effects
associated with changing the thickness of insulation. Incieasing the insulation thickness incieases the
conduction iesistance; howevei, the aiea available foi convection heat tiansfei incieases as well, iesult-
ing in ieduced convection iesistance. To fnd the optimum iadius foi insulation, we fist identify the
majoi iesistances in the path of heat ow. Oui assumptions aie that (1) the tube wall thickness is small
enough that conduction iesistance can be ignoied, (2) heat tiansfei occuis at steady state, (3) insulation
has unifoim piopeities, and (4) iadial heat tiansfei is one-dimensional
The iesistances pei unit length aie
wheie , the outei iadius of insulation, is unknown. The total iesistance is
and the iate of heat ow pei unit length is
Heat loss thiough a pipe with insulation.
1 2
2
1
2
ln
and ,

1 2
2
1
2
ln
-
.


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The optimum thickness of the insulation is obtained when the total heat ow is minimized oi when
the total iesistance is maximized. By diffeientiating
t
with iespect to , we obtain the condition undei
which
t
is maximum (oi minimum). Theiefoie,
fiom which we obtain /
o
. To deteimine if
t
is maximum oi minimum at /
o
, we take the
second deiivative and fnd its quantity at /
o
.
Theiefoie,
t
is a at /
o
, which means that the heat ow is maximum at this insulation
iadius. An optimum iadius of insulation does not exist; howevei, the iadius obtained in this analysis
is iefeiied to as the -,
c
, and this iadius should be avoided when selecting insulation foi
pipes. The economic optimum insulation can be found using techniques in Chaptei 3.2.
(b) Foi this example the ciitical iadius is
c
/
o
0.06 W/m K/7 W/m
2
K 0.0086 m 8.6 mm,
and
i
6 mm, so
c
>
i
. This means that by adding insulation, we will inciease the heat loss fiom
the tube. Using the expiession foi
t
, we can plot the total iesistance veisus the insulation thickness
as shown in Figuie 2.1.16. Note that the minimum total iesistance occuis at an insulation thickness
of about 0.025 m (coiiesponding to the
c
calculated eailiei). Also note that as the insulation thickness
is incieased, the conduction iesistance incieases; howevei, the convection iesistance decieases as listed
in Table 2.1.1.
-
Eneigy tianspoit (heat tiansfei) in uids usually occuis by the motion of uid paiticles. In many
engineeiing pioblems, uids come into contact with solid suifaces that aie at diffeient tempeiatuies than
the uid. The tempeiatuie diffeience and iandom/bulk motion of the uid paiticles iesult in an eneigy
tianspoit piocess known as convection heat tiansfei. Convection heat tiansfei is moie complicated than
conduction because the motion of the uid, as well as the piocess of eneigy tianspoit, must be studied
Total iesistance veisus insulation thickness foi an insulated tube.
1
2
1
2
0
2
- ,

2
2 2 3 3 2
1
2
1 1
2
0 - .

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simultaneously. Convection heat tiansfei can be cieated by exteinal foices such as pumps and fans in a
piocess iefeiied to as . In the absence of exteinal foices, the convection piocess may
iesult fiom tempeiatuie oi density giadients inside the uid; in this case, the convection heat-tiansfei
piocess is iefeiied to as . We will discuss this type of convection in moie detail in the
next section. Theie aie othei instances wheie a heat-tiansfei piocess consists of both foiced and natuial
convection modes and they aie simply called piocesses.
The main unknown in the convection heat-tiansfei piocess is the heat-tiansfei coeffcient (see
Eq. 2.1.26). Figuie 2.1.17 seives to explain the convection heat-tiansfei piocess by showing the tempei-
atuie and velocity piofles foi a uid at tempeiatuie and bulk velocity U owing ovei a heated
suiface. As a iesult of viscous foices inteiacting between the uid and the solid suiface, a iegion known
as is developed in the uid next to the solid suiface. In this iegion the uid
velocity is zeio at the suiface and incieases to the bulk uid velocity . Because of the tempeiatuie
diffeience between the uid and the suiface, a iegion known as also develops
next to the suiface, wheie the tempeiatuie at the uid vaiies fiom
w
(suiface tempeiatuie) to (bulk
uid tempeiatuie). The velocity-boundaiy-layei thickness and tempeiatuie-boundaiy-layei thickness
t
and theii vaiiation along the suiface aie shown in Figuie 2.1.17.
Depending on the theimal diffusivity and kinematic viscosity of the uid, the velocity and tempeiatuie
boundaiy layeis may be equal oi may vaiy in size. Because of the no-slip condition at the solid suiface,
the uid next to the suiface is stationaiy; theiefoie, the heat tiansfei at the inteiface occuis only by
conduction.
If the tempeiatuie giadient weie known at the inteiface, the heat exchange between the uid and the
solid suiface could be calculated fiom Eq. (2.1.25), wheie in this case is the theimal conductivity of
the uid and / (oi / in iefeience to Figuie 2.1.17) is the tempeiatuie giadient at the inteiface.
Howevei, the tempeiatuie giadient at the inteiface depends on the macioscopic and micioscopic motion
of uid paiticles. In othei woids, the heat tiansfeiied fiom oi to the suiface depends on the natuie of
the ow feld.
Effect of Insulation Thickness on Vaiious Theimal Resistances
Insulation
Thickness
(m)
Outei
Radius,
(m)
Convection
Resistance,
2
, (K/W)
Conduction
Resistance,
1
, (K/W)
Total
Resistance,
t
, (K/W)
0 0.0060 3.79 0 3.79
0.0010 0.0070 3.25 0.41 3.66
0.0015 0.0075 3.03 0.59 3.62
0.0020 0.0080 2.84 0.76 3.60
0.0025 0.0085 2.67 0.92 3.59
0.0030 0.0090 2.53 1.07 3.60
0.0035 0.0095 2.39 1.22 3.61
0.0040 0.0100 2.27 1.36 3.63
0.0060 0.0120 1.89 1.84 3.73
Tempeiatuie and velocity piofles foi convection heat-tiansfei piocess ovei a heated suiface.

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Theiefoie, in solving convection pioblems, engineeis need to deteimine the ielationship between the
heat tiansfei thiough the solid-body boundaiies and the tempeiatuie diffeience between the solid-body
wall and the bulk uid. This ielationship is given by Eq. (2.1.26), wheie h is the convection coeffcient
aveiaged ovei the solid suiface aiea. Note that h depends on the suiface geometiy and the uid velocity,
as well as on the uid`s physical piopeities. Theiefoie, depending on the vaiiation of the above quantities,
the heat-tiansfei coeffcient may change fiom one point to anothei on the suiface of the solid body. As
a iesult, the heat-tiansfei coeffcient may be diffeient than the heat-tiansfei coeffcient.
Howevei, foi most piactical applications, engineeis aie mainly conceined with the heat-tiansfei
coeffcient, and in this section we will use only aveiage heat-tiansfei coeffcients unless otheiwise stated.
-
Natuial-convection heat tiansfei iesults fiom density diffeiences within a uid. These diffeiences may
iesult fiom tempeiatuie giadients that exist within a uid. When a heated (oi cooled) body is placed in
a cooled (oi heated) uid, the tempeiatuie diffeience between the uid and the body causes heat ow
between them, iesulting in a density giadient inside the uid. As a iesult of this density giadient, the
low-density uid moves up and the high-density uid moves down. The heat-tiansfei coeffcients (and
consequently, the iate of heat tiansfei in natuial convection) aie geneially less than that in foiced
convection because the diiving foice foi mixing of the uid is less in natuial convection.
Natuial-convection pioblems can be divided into two categoiies: and
. Natuial-convection heat tiansfei fiom the exteinal suifaces of bodies of
vaiious shapes has been studied by many ieseaicheis. Expeiimental iesults foi natuial-convection heat
tiansfei aie usually coiielated by an equation of the type
(2.1.33)
wheie the -- , Nu, piovides a measuie of the convection heat tiansfei occuiiing between
the solid suiface and the uid. Knowing Nu, the convection heat-tiansfei coeffcient, , can be calculated.
Note that in Eq. (2.1.33), is the uid conductivity and Ra is the , which iepiesents
the iatio of buoyancy foice to the iate of change of momentum. The Rayleigh numbei is given by
(2.1.34)
wheie is the coeffcient of theimal expansion equal to 1/ ( is the absolute tempeiatuie expiessed in
Kelvin) foi an ideal gas, L is a chaiacteiistic length, is the kinematic viscosity of the uid, and is its
theimal diffusivity. A compiehensive ieview of the fundamentals of natuial-convection heat tiansfei is
piovided by Raithby and Hollands 1985]. Table 2.1.2 gives coiielations foi calculating heat tiansfei fiom
the exteinal suifaces of some common geometiies.
Expeiiments conducted by Hassani and Hollands 1989], Spaiiow and Stietton 1985], Yovanovich
and Jafaipui 1993], and otheis have shown that the exteinal natuial-convection heat tiansfei fiom
bodies of aibitiaiy shape exhibit Nu-Ra ielationships similai to iegulai geometiies such as spheies and
shoit cylindeis. An extensive coiielation foi piedicting natuial-convection heat tiansfei fiom bodies of
aibitiaiy shape was developed by Hassani and Hollands 1989]; it is useful foi most situations on the
suifaces of buildings.
Inteinal natuial-convection heat tiansfei occuis in many engineeiing pioblems such as heat loss fiom
building walls, electionic equipment, double-glazed windows, and at-plate solai collectois. Some of
the geometiies and theii coiiesponding Nusselt numbeis aie listed in Table 2.1.3. Andeison and Kieith
1987] piovide a compiehensive summaiy of natuial-convection piocesses that occui in vaiious solai
theimal systems.
Nu Ra
,
Ra
g T T L
,
3

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-
-

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.
i
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.
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The natuial-convection heat tiansfei foi long concentiic hoiizontal cylindeis and concentiic spheies
has been studied by Raithby and Hollands 1985]. Theii pioposed coiielations aie listed in Table 2.1.3,
wheie
o
and
i
iepiesent the diameteis of outei cylindei (oi spheie) and innei cylindei (oi spheie),
iespectively. The Rayleigh numbei is based on the tempeiatuie diffeience acioss the gap and a chaiac-
teiistic length defned as (
o
-
i
)/2. The
eff
in theii coiielation is
the theimal conductivity that a stationaiy uid in the gap must have to tiansfei the same amount of
heat as the moving uid. Raithby and Hollands also piovide coiielations foi natuial-convection heat
tiansfei between long eccentiic hoiizontal cylindeis and eccentiic spheies.

One component of the total heat loss fiom a ioom is the heat loss thiough a single-pane window in
the ioom, as shown in Figuie 2.1.18. The inside tempeiatuie is kept at
i
22C, and the outside
tempeiatuie is
o
- 5C. The window height is 0.5 m, and its width is 2 m. The weathei is calm,
and theie is no wind blowing. Assuming unifoim glass tempeiatuie
w
, calculate the heat loss thiough
the window.
The aii ow pattein next to the window is shown in Figuie 2.1.18. When waim ioom aii appioaches
oi contacts the window, it loses heat and its tempeiatuie diops. Because this cooled aii next to the
window is densei and heaviei than the ioom aii at that height, it staits moving down and is ieplaced
by waimei ioom aii at the top of the window. A similai but opposite aii movement occuis at the
outside of the window. The total heat loss can be calculated fiom
(2.1.35)
wheie
i
and
o
aie the aveiage natuial-convection heat-tiansfei coeffcients foi inside and outside,
iespectively. Using the coiielation iecommended by Fujii and Imuia 1972] foi a veitical plate with
constant tempeiatuie
w
(fiom Table 2.1.2) and substituting foi angle of inclination 0, we get
wheie
and is the height of the window pane. Note that the tempeiatuie diffeience in the expiession foi
Rayleigh numbei depends on the medium foi which the heat-tiansfei coeffcient is sought. Foi
example, foi calculating the inteiioi suiface coeffcient
i
, we wiite
Heat loss thiough a single-pane window.

0 56
1 4
. , Ra
Ra

,
3

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
(2.1.36)
and foi calculating
o
, we wiite
(2.1.37)
Note that all the piopeities in Eqs. (2.1.36) oi (2.1.37) should be calculated B
f

(
i
-
w
)/2 oi
f
(
o
-
w
)/2. To calculate and aii piopeities, we need to know
w
. To estimate
w
, we assume that aii piopeities ovei the tempeiatuie iange of inteiest to this pioblem do not change
signifcantly (iefei to aii piopeity tables to veiify this assumption). Using this assumption, we fnd
the iatio between Eqs. (2.1.36) and (2.1.37) as
(2.1.38)
which piovides a ielationship between
o
,
i
, and
w
. Anothei equation of this kind can be obtained
fiom Eq. (2.1.35):
(2.1.39)
Solving Eqs. (2.1.38) and (2.1.39), we can show that
Now, by calculating h
i
oi h
o
and substituting into Eq. (2.1.35), the total heat tiansfei can be calculated.
In this case, we choose to solve foi h
o
. Theiefoie, the aii piopeities should be calculated at
Aii piopeities at
f
1.75C aie 0.0238 W/m K, 14.08 10
-6
m
2
/s, 19.48 10
-6
m
2
/s, and
1/
f
0.00364 K
-1
. Using these piopeities, the Rayleigh numbei is
Fiom Eq. (2.1.37), we obtain
and
Nu

, .
-
, 0 56
3
1
4
Nu

, .
-
. 0 56
3 1
4

-
-
,
1
4

-
-
.

2
8 5 . C.

2
1 75 . C .
Ra

,
-
.
3
6
220 10

. .
,
0 56 3 25
1 4
Ra W m K ,
2
-
. . - . .

3 25 281 65 268 15 43 87 W m K 1 m K K W.
2 2

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r

The single-pane window of the pievious example is ieplaced by a double-pane window as shown in
Figuie 2.1.19. The outside and inside tempeiatuies aie the same as in Example 2.1.6 (
i
22C,
o

-5C). The glass-to-glass spacing is L 20 mm, the window height 0.5 m, and the width is 2 m.
Find the heat loss thiough this window and compaie it to the heat loss thiough the single-pane window.
Ignoie conduction iesistance thiough the glass.
The theimal ciicuit foi the system is shown in Figuie 2.1.19. Tempeiatuies
1
and
2
aie unknown
and iepiesent the aveiage glass tempeiatuie (i.e., we assume that the glass tempeiatuie is unifoim
ovei the entiie suiface because of the low theimal iesistance of glass). As in Example 2.1.6, we fist
estimate tempeiatuies
1
and
2
. The iate of heat tiansfei is
(2.1.40)
The heat-tiansfei coeffcients
1
and
3
foi natuial-convection heat tiansfei between the glass suiface
and inteiioi/exteiioi can be calculated using Eqs. (2.1.36) and (2.1.37), and the iatio between
1
and
3
is
(2.1.41)
Anothei ielationship between
1
,
3
,
1
, and
2
, is obtained fiom Eq. (2.1.40):
(2.1.42)
Solving Eqs. (2.1.41) and (2.1.42), we get:
(2.1.43)
We need an additional equation that piovides a ielationship between
1
and
2
, and we obtain this
equation fiom the coiielation that expiesses the natuial-convection heat tiansfei in the enclosed aiea
of the double-pane window. We choose the coiielation iecommended by MacGiegoi and Emeiy 1969]
fiom Table 2.1.3:
Heat loss thiough a double-pane window.
- - - .
1 1 2 1 2 3 2
1
3
1
2
1 4
-
-
.
1
3
2
1
-
-
.

1 2
.

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
(2.1.44)
wheie
Using some mathematical manipulations Eq. (2.1.44) can be wiitten as
(2.1.45)
wheie / 0.04. The heat-tiansfei coeffcient
1
can be calculated fiom Eq. (2.1.36) (used to calculate
i
) and can be wiitten as
(2.1.46)
wheie the Rayleigh numbei has been wiitten in teims of (
i
-
o
) instead of (
i
-
1
). Substituting
foi /, the iatio between
2
and
1
is
(2.1.47)
Note that in fnding
2
/
1
, we have assumed that the piopeities do not change much in the tempeiatuie
iange of inteiest. Fiom Eq. (2.1.40), we have
(2.1.48)
Theiefoie, solving Eqs. (2.1.47) and (2.1.48), we obtain
1
in teims of
i
and
o
:
(2.1.49)
Substituting foi
i
and
o
, we obtain
1
14.2C, and substituting foi
1
,
i
, and
o
in Eq. (2.1.43),
we get
2
2.8C. Knowing
1
and
2
, we can calculate Ra
L
. To calculate Ra
L
, we should obtain aii
piopeities at
f
(
1
-
2
)/2 8.5C, which aie 0.0244 W/m K, 14.8 10
-6
m
2
/s, 20.6
10
-6
m
2
/s, and 1/
f
0.00355 K
-1
. Theiefoie,
2
fiom Eq. (2.1.44) is
2
0 25
0 3
0 42 0 72 . . ,
- .
Ra foi Pi
.
Ra

1 2
3
-
.

2
1 2
1 4
3 4 3
1 4
0 16 .
-
,

1
2
1 4 3
1 4
0 56 .
-
,
2
1
1 2
1 4
1
1 4
0 63 .
.

2
1
1
1 2
.

1
0 71 0 29 . . .
Ra
m s K K K m
m s m s
2 2
9 81 0 00355 287 35 275 95 0 02
14 8 10 20 6 10
10 420
2 1
3
3
6 6
. . . . .
. .
,
2
1 97 . W m K,
2

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
and
Compaiing the heat loss to that of Example 2.1.6 foi a single-pane window, we note that the heat loss
thiough a single-pane window is almost twice as much as thiough a double-pane window foi the same
inside and outside conditions.
-
Foiced-convection heat tiansfei is cieated by auxiliaiy means such as pumps and fans oi natuial phe-
nomena such as wind. This type of piocess occuis in many engineeiing applications such as ow of hot
oi cold uids inside ducts and vaiious theimodynamic cycles used foi iefiigeiation, powei geneiation,
and heating oi cooling of buildings. As with natuial convection, the main challenge in solving foiced-
convection pioblems is to deteimine the heat-tiansfei coeffcient.
The foiced-convection heat tiansfei piocesses can be divided into two categoiies: A
and A . Exteinal foiced-convection pioblems aie impoitant
because they occui in vaiious engineeiing applications such as heat loss fiom exteinal walls of buildings
on a windy day, fiom steam iadiatois, fiom aiiciaft wings, oi fiom a hot wiie anemometei. To solve
these pioblems, ieseaicheis have conducted many expeiiments to develop coiielations foi piedicting the
heat tiansfei. The expeiimental iesults obtained foi exteinal foiced-convection pioblems aie usually
expiessed oi coiielated by an equation of the foim
wheie and g iepiesent the functional dependance of the Nusselt numbei on the Reynolds and Piandtl
numbeis. The Reynolds numbei is a nondimensional numbei iepiesenting the iatio of ineitia to viscous
foices, and the is equal to / , which is the iatio of momentum diffusivity to theimal
diffusivity.
Table 2.1.4a lists some of the impoitant coiielations foi calculating foiced-convection heat tiansfei
fiom exteinal suifaces of common geometiies. Listed in Table 2.1.4a is the coiielation foi the foiced-
convection heat-tiansfei to oi fiom a uid owing ovei a bundle of tubes, which is ielevant to many
industiial applications such as the design of commeicial heat exchangeis. Figuies 2.1.20 and 2.1.21 show
diffeient confguiations of tube bundles in cioss-ow whose foiced-convection coiielations aie piesented
in Table 2.1.4a.
Foiced-convection heat tiansfei in confned spaces is also of inteiest and has many engineeiing
applications. Flow of cold oi hot uids thiough conduits and heat tiansfei associated with that piocess
is impoitant in many HVAC engineeiing piocesses. The heat tiansfei associated with inteinal foiced
convection can be expiessed by an equation of the foim
wheie (Re), (Pi), and (/
H
) iepiesent the functional dependance on Reynolds numbei, Piandtl
numbei, and /
H
, iespectively. The functional dependance on /
H
becomes impoitant foi shoit ducts
in laminai ow. The quantity
H
is called the of the conduit and is defned as
(2.1.50)
and is used as the chaiacteiistic length foi Nusselt and Reynolds numbeis.
Fully developed laminai ow thiough ducts of vaiious cioss-section has been studied by Shah and
London 1978], and they piesent analytical solutions foi calculating heat tiansfei and fiiction coeffcients.
.
2 1 2
22 46 W.
Nu Re Pi ,
Nu Re Pi
4
flow cioss- sectional aiea
wetted peiimetei

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
Solving inteinal tube-ow pioblems iequiies knowledge of the natuie of the tube-suiface theimal con-
ditions. Two special cases of tube-suiface conditions covei most engineeiing applications: constant tube-
suiface heat ux and constant tube-suiface tempeiatuie. The axial tempeiatuie vaiiations foi the uid
owing inside a tube aie shown in Figuie 2.1.22. Figuie 2.1.22(a) shows the mean uid-tempeiatuie
vaiiations inside a tube with constant suiface heat ux. Note that the mean uid tempeiatuie,
m
(),
vaiies lineaily along the tube. Figuie 2.1.22(b) shows the mean uid-tempeiatuie vaiiations inside a tube
with constant suiface tempeiatuie. Some of the iecommended coiielations foi foiced convection of
incompiessible ow inside tubes and ducts aie listed in Table 2.1.5.
Constants foi Nonciiculai Cylindeis in Cioss Flow of a Gas
In-line tube aiiangement foi tube bundle in cioss-ow foiced convection.

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
Now that we have ieviewed both natuial- and foiced-convection heat-tiansfei piocesses, it is useful
to compaie the oidei of magnitude of the heat-tiansfei coeffcient foi both cases. Table 2.1.6 piovides
some appioximate values of convection heat-tiansfei coeffcients.

A solai-theimal powei plant is depicted in Figuie 2.1.23. In this system, solai iadiation is ieected
fiom tiacking miiiois onto a stationaiy ieceivei. The ieceivei consists of a collection of tubes that aie
iadiatively heated, and a woiking uid (coolant) ows thiough them; the heat absoibed by the woiking
uid is then used to geneiate electiicity. Considei a cential-ieceivei system that consists of seveial
hoiizontal ciiculai tubes each with an inside diametei of 0.015 m. The woiking uid is molten salt
that enteis the tube at 400C at a iate of 0.015 kg/s. Assume that the aveiage solai ux appioaching
the tube is about 10,000 W/m
2
.
Staggeied tube aiiangement foi tube bundle in cioss-ow foiced convection.
Axial uid tempeiatuie vaiiations foi heat tiansfei in a tube foi (a) constant suiface heat ux, and
(b) constant suiface tempeiatuie.

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
C
o
n
f
g
u
i
a
t
i
o
n
C
o
i
i
e
l
a
t
i
o
n
R
e
s
t
i
i
c
t
i
o
n
s
S
o
u
i
c
e
F
u
l
l
y

d
e
v
e
l
o
p
e
d

l
a
m
i
n
a
i

o
w

i
n

l
o
n
g

t
u
b
e
s
:
a
.

W
i
t
h

u
n
i
f
o
i
m

w
a
l
l

t
e
m
p
e
i
a
t
u
i
e
P
i

>

0
.
6
K
a
y
s

a
n
d

P
e
i
k
i
n
s

1
9
8
5
]
b
.

W
i
t
h

u
n
i
f
o
i
m

h
e
a
t

u
x
P
i

>

0
.
6
I
n
c
i
o
p
e
i
a

a
n
d

D
e
W
i
t
t

1
9
9
0
]
c
.

F
i
i
c
t
i
o
n

f
a
c
t
o
i

(
l
i
q
u
i
d
s
)
d
.

F
i
i
c
t
i
o
n

f
a
c
t
o
i

(
g
a
s
)
L
a
m
i
n
a
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o
w

i
n

s
h
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t

t
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a
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d

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a
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l

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p
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a
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s
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n

1
9
8
3
]
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u
l
l
y

d
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<

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.
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)
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u
3
6
6
.
N
u
4
3
6
.
6
4
R
e
6
4
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e
N
u
3
6
6
0
0
6
6
8
1
0
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4
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P
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.
R
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P
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1
0
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5
0
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P
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P
i

.
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u
0
0
2
7
.

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e
P
i
6
1
0
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1
0
6
0
R
e
.
P
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0
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8
4
.
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1
0
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R
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w
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.
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g
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.
i
r
(a) Find the necessaiy length of the tube to iaise the woiking-uid tempeiatuie to 500C at the exit.
(b) Deteimine the tube-suiface tempeiatuie at the exit.
We will assume steady-state conditions, fully developed ow, and incompiessible ow with constant
piopeities. The axial tempeiatuie vaiiations foi heat tiansfei in a tube foi constant heat ux is shown
in Figuie 2.1.22(a).
(a) The heat capacity of molten salt at
m
(
i
-
o
)/2 450C is
p
1,520 J/kg K. The total heat
tiansfeiied to the woiking uid is
t

p
(
o
-
i
), wheie is the solai ux and
t
D is the
suiface aiea of the tube (assuming that the solai ux is incident ovei the entiie peiimetei of the tube).
Theiefoie,
(b) Molten salt piopeities at
o
500C aie 1.31 10
-3
Ns/m
2
, 0.538 W/m K, and Pi 3.723.
The peak tube-suiface tempeiatuie can be obtained fiom (
s
-
o
), wheie h is the local convection
coeffcient at the exit. To fnd , the natuie of the ow must fist be established by calculating the
Reynolds numbei:
Oidei of Magnitude of Convective Heat-Tiansfei Coeffcients
c
W/m
2
K Btu/h ft
2
F
Aii, fiee convection 6-30 1-5
Supeiheated steam oi aii, foiced convection 3-300 5-50
Oil, foiced convection 60-1800 10-300
Watei, foiced convection 300-18,000 50-3000
Watei, boiling 3000-60,000 500-10,000
Steam, condensing 6000-120,000 1000-20,000
A solai-theimal cential-ieceivei system.

.
.
.
0 015 1520 673
0 015
4 8
kg s J kg K 773 K K
10 W m m
4 2

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
Because Re < 2,300, the ow inside the tube is laminai. Theiefoie, fiom Table 2.1.5, Nu
D
/
4.36, and
The suiface tempeiatuie at the exit is
- -
Accoiding to Eq. (2.1.25), the iate of heat tiansfei by conduction is diiectly piopoitional to the heat ow
aiea. To enhance the iate of heat tiansfei, we can inciease the effective heat-tiansfei suiface aiea. Based
on this concept, extended suifaces oi fns aie widely used in industiy to inciease the iate of heat tiansfei
foi heating oi cooling puiposes. Vaiious types of extended suifaces aie shown in Figuie 2.1.24. The
simplest type of extended suiface is the fn with a unifoim cioss-section, as shown in Figuie 2.1.24(d).
The tempeiatuie distiibution and fn heat-tiansfei iate can be found by solving a diffeiential equation
that expiesses eneigy balance on an infnitesimal element in the fn as given by
(2.1.51)
wheie is the cioss-sectional peiimetei of the fn, is the theimal conductivity of the fn, is the cioss-
sectional aiea of the fn, and h is the mean convection heat-tiansfei coeffcient between the fn and its
suiioundings. To solve Eq. (2.1.51), we need two boundaiy conditions: one at 0 (base of the fn) and
the othei at L (tip of the fn). The boundaiy condition used at the base of the fn is usually ( 0)
b
, the tempeiatuie of the main body to which the fn is attached. The second boundaiy condition at
the tip of the fn ( ) may take seveial foims:
1. The fn tempeiatuie appioaches the enviionment tempeiatuie:
2. Theie is no heat loss fiom the end suiface of the fn (insulated end):
3. The fn-end suiface tempeiatuie is fxed:
4. Theie is convection heat loss fiom the end suiface of the fn:
Re
kg s
Ns m m
2

4 4 0 015
1 31 10 0 015
972
3
.
. .
.
Nu W m K
m
W m K.
2
4 36 0 538
0 015
156 4
. .
.
.
-
10
156 4
773 836 9
4
W m
W m K
K K.
2
2
.
.

2
2
0,
.
0 .

.

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Using the boundaiy condition at 0 along with one of the foui boundaiy conditions foi , we
can solve Eq. (2.1.51) and obtain the tempeiatuie distiibution foi a fn with a unifoim cioss section.
Knowing the tempeiatuie distiibution of the fn, the fn heat-tiansfei iate
fn
can be obtained by applying
Fouiiei`s law at the base of the fn:
(2.1.52)
wheie is the cioss-sectional suiface aiea of the fn and () () - . Figuie 2.1.25 is a schematic
iepiesentation of the tempeiatuie distiibution in a fn with boundaiy condition 4. Table 2.1.7 lists
equations of tempeiatuie distiibution and iate of heat tiansfei foi fns of unifoim cioss section with all
foui diffeient tip boundaiy conditions.
Fins oi extended suifaces aie used to inciease the heat-tiansfei iate fiom a suiface. Howevei, the
piesence of fns intioduces an additional conduction iesistance in the path of heat dissipating fiom the
base suiface. If a fn is made of highly conductive mateiial, its iesistance to heat conduction is small,
cieating a small tempeiatuie giadient fiom the base to the tip of the fn. Howevei, fns show a tempeiatuie
distiibution similai to that shown in Figuie 2.1.25. Theiefoie, the theimal peifoimance of fns is usually
assessed by calculating B B.
The effciency of a fn is defned as the iatio of the actual heat loss to the maximum heat loss that
would have occuiied if the total suiface of the fn weie at the base tempeiatuie, that is,
Vaiious types of extended suifaces. Designs (d) - (f) aie often used in HVAC heating oi cooling coils.
kA
dT
dx
kA
d
dx
x x
,
0 0

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(2.1.53)
wheie
f
is the total suiface aiea of the fn, and
fn
foi fns with unifoim cioss section is obtained fiom
Table 2.1.7.
-
Theimal iadiation is a heat-tiansfei piocess that occuis between any two objects that aie at diffeient
tempeiatuies. All objects emit theimal iadiation by viitue of theii tempeiatuie. Scientists believe that
the theimal iadiation eneigy emitted by a suiface is piopagated thiough the suiiounding medium eithei
by electiomagnetic waves oi is tianspoited by photons. In a vacuum, iadiation tiavels at the speed of
light
0
(3 10
8
m/s in a vacuum); howevei, the - in a medium is less than
0
and
is given in teims of index of iefiaction of the medium, as in Eq. (2.1.54). The iadiation wavelength
depends on the souice fiequency and iefiactive index of the medium thiough which the iadiation tiavels,
accoiding to the equation
Equations foi Tempeiatuie Distiibution and Rate of Heat Tiansfei foi Fins of Unifoim
Cioss Section
Tip Condition Tempeiatuie Distiibution Fin Heat-Tiansfei Rate
Case ( ) ( /
b
) (
fn
)
1 Infnite fn ( ):
() 0
-x
M
2 Adiabatic:
tanh mL
3 Fixed tempeiatuie:
()
L
4 Convection heat tiansfei:

- ;
b
(0)
b
- ;
2
;
b
.
Schematic iepiesentation of tempeiatuie distiibution in a fn with boundaiy condition 4 at its tip.

0
cosh
cosh

sinh sinh
sinh

cosh
sinh
h L k
d
dx
x L
cosh sinh
cosh sinh

sinh cosh
cosh sinh
hP
kA
------- hPkA
fin
fin
max
fin

,

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(2.1.54)
wheie index of iefiaction of the medium
0
3 10
8
m/s (9.84 10
8
ft/s)
wavelength, m (ft)
fiequency, s
-1
Theimal iadiation can occui ovei a wide spectium of wavelengths, namely between 0.1 and 100 m. The
spectial distiibution and the magnitude of the emitted iadiation fiom an object depends stiongly on its
absolute tempeiatuie and the natuie of its suiface. Foi example, at the suiface tempeiatuie of the sun,
5,800 K, most eneigy is emitted at wavelengths neai 0.3 m. Howevei, theimal piocesses within buildings
occui at 10 m. This paiticulai iadiation-piocess piopeity has caused enviionmental conceins such as
global waiming (oi the gieenhouse effect) in iecent yeais. Global waiming is a iesult of the incieased
amount of caibon dioxide in the atmospheie. This gas absoibs iadiation fiom the sun at shoitei
wavelengths but is opaque to emitted iadiation fiom the eaith at longei wavelengths, theieby tiapping
the theimal eneigy and causing a giadual waiming of the atmospheie, as in a gieenhouse.
A peifect iadiatoi-called a -emits and absoibs the maximum amount of iadiation at any
wavelength. The amount of heat iadiated by a blackbody is
(2.1.55)
wheie the Stefan-Boltzmann constant 5.676 10
-8
W/m
2
K
4
(oi 0.1714 10
-8
Btu/h ft
2
R
4
)
b
absolute tempeiatuie of the blackbody, K (R)
suiface aiea, m
2
(ft
2
)
The spectial (oi monochiomatic) -- accoiding to Planck`s Law is
(2.1.56)
wheie
b
() spectial emissive powei of a blackbody at absolute tempeiatuie ,
wavelength, m ()
absolute tempeiatuie of blackbody, K (R)
1
constant, 3.7415 10
-16
W m
2

2
constant, 1.4388 10
-2
m K (2.5896 10
4
R)
The spectial blackbody emissive powei foi diffeient tempeiatuies is plotted in Figuie 2.1.26, which shows
that as the tempeiatuie incieases, the emissive powei and the wavelength iange inciease as well. Howevei,
as tempeiatuie incieases, the wavelength at which maximum emissive powei occuis decieases. Wien`s
Displacement Law piovides a ielationship between the maximum powei wavelength
max
and the absolute
tempeiatuie at which
b
is maximum:
To obtain the total emissive powei of a blackbody, we integiate the spectial emissive powei ovei all
wavelengths:
(2.1.57)
0
,
,
i
4

1
5
2
1
,

3 2
1.187 10
8 u
4
h ft
2
-----------------
max
mK R. . . 2 898 10 5216 4
3

.
4
0

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Equation (2.1.57) is the same as Eq. (2.1.55) except that it is expiessed pei unit aiea. At a given tempei-
atuie
b
, the quantity
b
of Eq. (2.1.57) is the aiea undei the cuive coiiesponding to
b
in Figuie 2.1.26.
Engineeis sometimes encountei pioblems wheie it is necessaiy to fnd the fiaction of the total eneigy
iadiated fiom a blackbody in a fnite inteival between two specifc wavelengths
1
and
2
. This fiaction
foi an inteival fiom 0 to
1
can be deteimined fiom:
This integial has been calculated foi vaiious quantities, and the iesults aie piesented in Table 2.1.8.
The fiaction of total iadiation fiom a blackbody in a fnite wavelength inteival fiom
1
to
2
can then
be obtained fiom
wheie quantities B(0
2
) and B(0
1
) can be iead fiom Table 2.1.8.
- -
When iadiation stiikes the suiface of an object, a poition of the total incident iadiation is ieected, a
poition is absoibed, and if the object is tianspaient, a poition is tiansmitted thiough the object, as
depicted in Figuie 2.1.27.
The fiaction of incident iadiation which is ieected is called the A ( A) , the fiaction
tiansmitted is called the - ( ---) , and the fiaction absoibed is called the
Spectial blackbody emissive powei foi diffeient tempeiatuies.
0
1
0
0
0
4
1 1

.
1 2
0 0
4 2 1
2 1
0 0
-
-

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Blackbody Radiation Functions

( 10
3
) (0 ) ( 10
3
) (0 )
0.2 0.341796 10
-26
6.2 0.754187
0.4 0.186468 10
-11
6.4 0.769234
0.6 0.929299 10
-7
6.6 0.783248
0.8 0.164351 10
-4
6.8 0.796180
1.0 0.320780 10
-3
7.0 0.808160
1.2 0.213431 10
-2
7.2 0.819270
1.4 0.779084 10
-2
7.4 0.829580
1.6 0.197204 10
-1
7.6 0.839157
1.8 0.393499 10
-1
7.8 0.848060
2.0 0.667347 10
-1
8.0 0.856344
2.2 0.100897 8.5 0.856344
2.4 0.140268 9.0 0.890090
2.6 0.183135 9.5 0.903147
2.8 0.227908 10.0 0.914263
3.0 0.273252 10.5 0.923775
3.2 0.318124 11.0 0.931956
3.4 0.361760 11.5 0.939027
3.6 0.403633 12 0.945167
3.8 0.443411 13 0.955210
4.0 0.480907 14 0.962970
4.2 0.516046 15 0.969056
4.4 0.548830 16 0.973890
4.6 0.579316 18 0.980939
4.8 0.607597 20 0.985683
5.0 0.633786 25 0.992299
5.2 0.658011 30 0.995427
5.4 0.680402 40 0.998057
5.6 0.701090 50 0.999045
5.8 0.720203 75 0.999807
6.0 0.737864 100 1.000000
Schematic of ieected, tiansmitted, and absoibed iadiation.

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- ( -) . Theie aie two types of iadiation ieections: speculai and diffuse. A
- A is one in which the angle of incidence is equal to the angle of ieection, wheieas a
- A is one in which the incident iadiation is ieected unifoimly in all diiections. Highly
polished suifaces such as miiiois appioach the speculai ieection chaiacteiistics, but most industiial
suifaces (iough suifaces) have diffuse ieection chaiacteiistics. By applying an eneigy balance to the suiface
of the object as shown in Figuie 2.1.27, the ielationship between these piopeities can be expiessed as
(2.1.58)
The ielative magnitude of each one of these components depends on the chaiacteiistics of the suiface,
its tempeiatuie, and the spectial distiibution of the incident iadiation. If an object is opaque ( 0), it
will not tiansmit any iadiation. Theiefoie
(2.1.59)
If an object has a peifectly ieecting suiface (a good miiioi), then it will ieect all the incident iadiation,
and
(2.1.60)
The --, , of a suiface at tempeiatuie is defned as the iatio of total eneigy emitted to the
eneigy that would be emitted by a blackbody at the same tempeiatuie :
(2.1.61)
wheie () iepiesents the iadiation eneigy emitted fiom the suiface. Foi a blackbody, Eq. (2.1.61) gives
b
1. The absoiptivity foi a blackbody is also equal to unity; theiefoie,
b

b
1.
A special type of suiface called a giay suiface oi is a suiface with spectial emissivity and
absoiptivity that aie both independent of the wavelength. Theiefoie, foi a giaybody,
wheie and aie the aveiage values of emissivity and absoiptivity, iespectively. In many engineeiing
pioblems, suifaces aie not giay suifaces. Howevei, one can employ giaybody assumptions by using
suitable and values.
Table 2.1.9 piovides emissivities of vaiious suifaces at seveial wavelengths and tempeiatuies. A moie
extensive list of expeiimentally measuied iadiation piopeities of vaiious suifaces has been piovided by
Gubaieff et al. 1960] and Kieith and Bohn 1993]; note that the listed quantities in Table 2.1.9 aie
hemispheiical emissivities. Detailed diiectional and spectial measuiements of iadiation piopeities of
suifaces aie limited in the liteiatuie. Because of the diffculties in peifoiming these detailed measuie-
ments, most of the tabulated piopeities aie aveiaged quantities, such as those piesented in Table 2.1.9.
Piopeities aveiaged with iespect to wavelength aie teimed quantities, and piopeities aveiaged with
iespect to diiection aie teimed - quantities. Hemispheiical spectial emissivity of a suiface
is the iatio of (1) the spectial iadiation emitted by a unit suiface aiea of an object into all diiections of
a hemispheie suiiounding that aiea to (2) the spectial iadiation emitted by a unit suiface aiea of a
blackbody (at the same tempeiatuie) into all diiections of that hemispheie.

In this section, we will only deal with suifaces that have diffuse ieection chaiacteiistics, because most
ieal suifaces used in diffeient industiies can be assumed to have diffuse ieection chaiacteiistics. In
solving iadiation pioblems, we must fnd out how much of the iadiation leaving one suiface is being
inteicepted by anothei suiface.
1.
1 and 0 foi an opaque object.
1 0 0 , , and foi a peifectly ieflective suiface.

4
,

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Hemispheiical Emissivities of Vaiious Suifaces
a
Mateiial
Wavelength and Aveiage Tempeiatuie
9.3 mm 5.4 mm 3.6 mm 1.8 mm 0.6 mm
310 K 530 K 800 K 1700 K Solai ~6,000 K
Metals
Aluminum
polished ~0.04 0.05 0.08 ~0.19 ~0.30
oxidized 0.11 ~0.12 0.18
24-ST weatheied 0.40 0.32 0.27
suiface ioofng 0.22
anodized (at 1,000F) 0.94 0.42 0.60 0.34
Biass
polished 0.10 0.10
oxidized 0.61
Chiomium
polished ~0.08 ~0.17 0.26 ~0.40 0.49
Coppei
polished 0.04 0.05 ~0.18 ~0.17
oxidized 0.87 0.83 0.77
Iion
polished 0.06 0.08 0.13 0.25 0.45
cast, oxidized 0.63 0.66 0.76
galvanized, new 0.23 0.42 0.66
galvanized, diity 0.28 0.90 0.89
steel plate, iough 0.94 0.97 0.98
oxide 0.96 0.85 0.74
molten 0.3-0.4
Magnesium 0.07 0.13 0.18 0.24 0.30
Molybdenum flament ~0.09 ~0.15 ~0.20
b
Silvei
polished 0.01 0.02 0.03 0.11
Stainless steel
18-8, polished 0.15 0.18 0.22
18-8, weatheied 0.85 0.85 0.85
Steel tube
oxidized 0.94
Tungsten flament 0.03 ~0.18 0.35
c
Zinc
polished 0.02 0.03 0.04 0.06 0.46
galvanized sheet ~0.25
Building and Insulating Mateiials
Asbestos papei 0.93 0.93
Asphalt 0.93 0.90 0.93
Biick
ied 0.93 0.70
fie clay 0.90 ~0.70 ~0.75
silica 0.90 0.75 0.84
magnesite iefiactoiy 0.90 ~0.40
Enamel, white 0.90
Maible, white 0.95 0.93 0.47
Papei, white 0.95 0.82 0.25 0.28
Plastei 0.91
Roofng boaid 0.93
Enameled steel, white 0.65 0.47
Asbestos cement, ied 0.67 0.66

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The - factoi
1-2
is defned as
Foi example, considei two black suifaces
1
and
2
at tempeiatuies
1
and
2
, as shown in Figuie 2.1.28.
The iadiation leaving suiface
1
and ieaching
2
is
(2.1.62)
and the iadiation leaving suiface
2
and ieaching suiface
1
is
(2.1.63)
Fiom Eqs. (2.1.62) and (2.1.63), we can calculate the net iadiation heat exchange between these two
black suifaces:
Shape factois foi some geometiies that have engineeiing applications aie piesented in Table 2.1.10. Foi
moie infoimation and an extensive list of shape factois, iefei to Siegel and Howell 1972].
Paints
Aluminized lacquei 0.65 0.65
Cieam paints 0.95 0.88 0.70 0.42 0.35
Lacquei, black 0.96 0.98
Lampblack paint 0.96 0.97 0.97 0.97
Red paint 0.96 0.74
Yellow paint 0.95 0.50 0.30
Oil paints (all colois) ~0.94 ~0.90
White (ZnO) 0.95 0.91 0.18
Miscellaneous
Ice ~0.97
d
Watei ~0.96
Caibon
T-caibon, 0.9% ash 0.82 0.80 0.79
flament ~0.72 0.53
Wood ~0.93
Glass 0.90 (Low)
a
Since the emissivity at a given wavelength equals the absoiptivity at that wavelength,
the values in this table can be used to appioximate the absoiptivity to iadiation fiom a
souice at the tempeiatuie listed. Foi example, polished aluminum will absoib 30% of
incident solai iadiation.
b
At 3,000 K.
c
At 3,600 K.
d
At 273 K.
- Fischenden and Saundeis 1932]; Hamilton and Moigan 1962]; Kieith and
Black 1980]; Schmidt and Fuithman 1928]; McAdams 1954]; Gubaieff et al. 1960].
Hemispheiical Emissivities of Vaiious Suifaces
a
Mateiial
Wavelength and Aveiage Tempeiatuie
9.3 mm 5.4 mm 3.6 mm 1.8 mm 0.6 mm
310 K 530 K 800 K 1700 K Solai ~6,000 K
1 2
diffuse iadiation leaving suiface A and being inteicepted by suiface A
total diffuse iadiation leaving suiface A
1 2
1
.
,
1 2 1 1 2 1
,
2 1 2 2 1 2
.
1 2 1 1 2 1 2 2 1 2

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A at-plate solai collectoi with a single glass covei to be used foi building watei heating is shown in
Figuie 2.1.29. The following quantities aie known:
The solai iiiadiation,
s
750 W/m
2
The absoiptivity of the covei plate to solai iadiation,
cp,s
0.16
The tiansmissivity of the covei plate to solai iadiation,
cp
0.84
The emissivity of the covei plate to longwave iadiation,
cp
0.9
The absoiptivity of the absoibei plate to solai iadiation,
ap,s
1.0
The emissivity of the absoibei plate to longwave iadiation,
ap
0.1
The convection coeffcient between the absoibei plate and the covei plate,
i
2 W/m
2
K
The convection coeffcient between the covei plate and ambient,
o
5 W/m
2
K
The absoibei-plate tempeiatuie,
ap
120C
The ambient aii tempeiatuie 30C
The effective sky tempeiatuie,
sky
-10C
Using this infoimation, calculate the useful heat absoibed by the absoibei plate.
We will assume the following:

Steady-state conditions
Unifoim suiface heat-ux and tempeiatuie foi the covei plate and the absoibei plate
Opaque, diffuse-giay suiface behavioi foi longwave iadiation
Well-insulated absoibei plate
To fnd the useful heat absoibed by the absoibei plate, peifoim an eneigy balance on a unit aiea of
the absoibei plate, as in Figuie 2.1.30:
(2.1.64)
Sketch illustiating the nomenclatuie foi shape factoi between the two suifaces
1
and
2
.
- - -

, ,
,
conv,i iad,

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Minicatalog of Geometiic View Factois

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wheie
conv,i

i
(
ap
-
cp
) is the convection heat exchange between the absoibei plate and the covei
plate and
iad,ap-cp
is the heat exchange by iadiation between them. Note
that the shape factoi between two paiallel plates is equal to one. The left-hand side of Eq. (2.1.64)
iepiesents the solai iiiadiation tiansmitted thiough the covei plate and absoibed by the absoibei plate.
Substituting foi
conv,i
and
iad,ap-cp
in Eq. (2.1.64), we obtain (foi
ap,s
1)
(2.1.65)

4 4
1 1 1
- -

,
.
4 4
1 1 1

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To fnd
u
fiom Eq. (2.1.65),
cp
should be known, which is obtained fiom an eneigy balance on the
covei plate, as in Figuie 2.1.31:
(2.1.66)
wheie
conv,o

o
(
cp
- ) is the heat loss by convection and is the heat
exchange by iadiation between the covei plate and sky. Equation (2.1.66) can be wiitten as
(2.1.67)
Substituting foi known quantities in Eq. (2.1.67)
cp
is calculated to be
cp
44.6C. Substituting foi
cp
and othei known quantities in Eq. (2.1.65),
u
is 402.5 W/m
2
.
- -

, , conv, iad, conv, iad, sky

iad, sky sky
4 4
- -

,
.
4 4
4
1 1 1
sky
4

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- -
The distiibution of heated and cooled uids by pipes and ducts, is an essential pait of all HVAC piocesses
and systems. The uids encounteied in these piocesses aie gases, vapois, liquids, oi mixtuies of liquid
and vapoi (2-phase ow). This section biiey ieviews ceitain basic concepts of uid mechanics that aie
often encounteied in analyzing and designing HVAC systems.
Fluid owing thiough a conduit will encountei sheai foices that iesult fiom viscosity of the uid. The
uid undeigoes continuous defoimation when subjected to these sheai foices. Fuitheimoie, as a iesult
of sheai foices, the uid will expeiience piessuie losses as it tiavels thiough the conduit.
Flat-plate solai collectoi with a single glass covei.
Eneigy balance on a unit aiea of the absoibei plate.
Eneigy balance on a unit aiea of the covei plate.

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--, , is a piopeity of uid best defned by Newton`s Law of Viscosity:
(2.1.68)
wheie is the fiictional sheai stiess, and / iepiesents the measuie of the motion of one layei of uid
ielative to an adjacent layei. The following obseivation will help to explain the ielationship between
viscosity and sheai foices. Considei two veiy long paiallel plates with a uid between them, as shown
in Figuie 2.1.32. Assume a unifoim piessuie thioughout the uid. The uppei plate is moving with a
constant velocity
0
, and the lowei plate is stationaiy. Expeiiments show that the uid adjacent to the
moving plate will adheie to that plate and move along with the plate at a velocity equal to
0
, wheieas
the uid adjacent to the stationaiy plate will have zeio velocity. The expeiimentally veiifed velocity
distiibution in the uid is lineai and can be expiessed as
(2.1.69)
wheie is the distance between the two paiallel plates. The foice necessaiy to keep the uppei plate moving
at a constant velocity if
0
should be laige enough to oveicome (oi balance) the fiictional foices in the
uid. Again, expeiimental obseivations indicate that this foice is piopoitional to the iatio
0
/. One can
conclude fiom Eq. (2.1.69) that
0
/ is equal to the iate of change of velocity, /. Theiefoie, the
fiictional foice pei unit aiea (sheai stiess), , is piopoitional to /, and the piopoitionality constant
is , which is a piopeity of the uid known as viscosity. Theiefoie, we obtain Eq. (2.1.68), which is known
as Newton`s Law of Viscosity (oi fiiction). The quantity is a measuie of the viscosity of the uid and
depends on the tempeiatuie and piessuie of the uid. Equation (2.1.68) is analogous to Fouiiei`s Law
of Heat Conduction given by Eq. (2.1.25). Fluids that do not obey Newton`s Law of Viscosity aie called
non-Newtonian uids. Fluids with zeio viscosity aie known as inviscid oi ideal uids. Molasses and tai
aie examples of highly viscous liquids; watei and aii on the othei hand, have low viscosities. The viscosity
of a gas incieases with tempeiatuie, but the viscosity of a liquid decieases with tempeiatuie. Reid,
Sheiwood, and Piausnitz 1977] piovide a thoiough discussion on viscosity.
--
The ow of a uid may be chaiacteiized by one oi a combination of the following desciiptoi paiis:
laminai/tuibulent, steady/unsteady, unifoim/nonunifoim, ieveisible/iiieveisible, iotational/iiiotational.
In this section, howevei, we will focus oui attention only on laminai and tuibulent ows.
In A, uid paiticles move along smooth paths in layeis, with one layei sliding smoothly
ovei an adjacent layei without signifcant macioscopic mixing. Laminai ow is goveined by Newton`s
Law of Viscosity. Tuibulent ow is moie pievalent than laminai ow in engineeiing piocesses. In
A uid sheaied between two paiallel plates.
,
0

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A, the uid paiticles move in iiiegulai paths, causing an exchange of momentum between
vaiious poitions of the uid; adjacent uid layeis mix and this mixing mechanism is called eddy motion.
In this type of ow, the velocity at any given point undei steady-state conditions uctuates in all diiections
about some time-mean value. Tuibulent ow causes gieatei sheai stiesses thioughout the uid, pioducing
moie iiieveisibilities and losses. An equation similai to Newton`s Law of Viscosity may be wiitten foi
tuibulent ows:
(2.1.70)
wheie the factoi is the eddy viscosity, which depends on the uid motion and density. Unlike the uid
viscosity, , the eddy viscosity is not a uid piopeity and is deteimined thiough expeiiments.
The type of ow is piimaiily deteimined by the value of a nondimensional numbei known as a
Reynolds numbei, which is the iatio of ineitia foices to viscous foices given by
(2.1.71)
wheie
avg
is the aveiage velocity and
H
is the hydiaulic diametei defned by Eq. (2.1.50). The value of
the Reynolds numbei can be used as the ciiteiion to deteimine whethei the ow is laminai oi tuibulent.
In geneial, laminai ow occuis in closed conduits when Re < 2,100; the ow goes thiough tiansition
when 2,100 < Re < 6,000 and becomes tuibulent when Re > 6,000.
Foi uid ow ovei at plates, laminai ow is geneially accepted to occui at Re
x
/ < 3 10
5
,
wheie is the distance fiom the leading edge of the plate and is the fiee-stieam velocity. Note that if
the ow appioaching the at plate is tuibulent, it will iemain tuibulent fiom the leading edge of the
plate foiwaid.
When a uid is owing ovei a solid suiface, the velocity of the uid layei in the immediate neighboi-
hood of the suiface is inuenced by viscous sheai; this iegion of the uid is called the .
Boundaiy layeis can be laminai oi tuibulent depending on theii length, the uid viscosity, the velocity
of the bulk uid, and the suiface ioughness of the solid body.
-- --
Most engineeiing pioblems iequiie some degiee of system analysis. Regaidless of the natuie of the ow,
all uid-ow situations aie subject to the following ielations:
1. Newton`s Law of Motion,
2. Conseivation of mass
3. The Fiist and Second Laws of Theimodynamics
4. Boundaiy conditions such as zeio velocity at a solid suiface.
In an eailiei section, the Fiist Law of Theimodynamics was applied to a system shown in Figuie 2.1.1.
With some modifcations, the same eneigy balance can be applied to any uid-ow system. Foi example,
a teim iepiesenting the fiictional piessuie losses should be added to the left-hand side of Eq. (2.1.2), as
expiessed by the following equation:
(2.1.72)
wheie
f
iepiesents the fiictional piessuie losses and is the iate of woik done on the uid (note the sign
change fiom - to - in Eq. (2.1.72), because the woik is done on the uid). In the iemaindei of this
section, we will focus on obtaining an expiession foi
f
and analyzing diffeient souices of fiictional
piessuie losses.
,
Re
avg

,
F
1
g
c
----
d mu
dt
---------------- =

2
2
2
2 2
2
1
1
2
1 1
1
2 2

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Using Newton`s Law of Motion, the weight of a body, , can be defned as the foice exeited on the
body as a iesult of the acceleiation of giavity, ,
(2.1.73)
In the English system of units, 1 lbm weighs 1 lbf at sea level because the piopoitionality constant
c
is numeiically equal to the giavitational acceleiation (32.2 ft/s
2
). Howevei, in the SI system, 1 kg of mass
weighs 9.81 N at sea level because
c
1 kg m/N s
2
(oi
c
10
3
kg m
3
/kJ s
2
) and g 9.81 m/s
2
.
Equation (2.1.73) can be used to deteimine the static piessuie of a column of uid. Foi example, a
column of uid at height that expeiiences an enviionment oi atmospheiic piessuie of
0
ovei its uppei
suiface will exeit a piessuie of at the base of the uid column given by
(2.1.74)
wheie is the density of the uid. The base piessuie as expiessed by Eq. (2.1.74) is a function of uid
height oi uid head and does not depend on the shape of the containei. Knowing the uid head is veiy
impoitant, especially in specifying a pump, as it is common piactice to specify the peifoimance of the
pump in teims of uid head. Theiefoie, we can calculate the iequiied mechanical powei fiom
(2.1.75)
Equation (2.1.75) expiesses the pump powei at 100% effciency; in ieality, howevei, mechanical pumps
have effciencies of less than 100%. Theiefoie, the iequiied mechanical powei is
(2.1.76)
A pump used in a system is expected to oveicome vaiious types of piessuie losses such as fiictional
piessuie losses in the piping; piessuie losses due to fttings, bends, and valves; and piessuie losses due
to sudden enlaigements and contiactions. All these piessuie losses should be calculated foi a system and
summed up to obtain the total piessuie diop thiough a system.
The fiictional piessuie losses in the piping aie caused by the sheaiing foice at the uid-solid inteiface.
Thiough a foice balance, we can obtain the fiictional piessuie loss of an incompiessible uid in a pipe
between two points as
(2.1.77)
wheie L is the length of the pipe between points 1 and 2, is the pipe diametei, is the aveiage uid
velocity in the pipe, and is the dimensionless fiiction factoi. Foi laminai ow inside a pipe, the fiiction
factoi is
(2.1.78)
wheie the Reynolds numbei is based on the hydiaulic diametei
H
. The fiiction factoi foi tuibulent ow
depends on the suiface ioughness of the pipe and on the Reynolds numbei. The fiiction factoi foi vaiious
suiface ioughnesses and Reynolds numbeis is piesented in Figuie 2.1.33, which is called the
. The ielative ioughnesses of the vaiious commeicial pipes aie given in Figuie 2.1.34.
0
,
.
pump
pump
pump

1 2
2
4
2
,
16
Re
,

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Relative ioughness of commeicial pipe. Data extiacted fiom by L.F.
Moody (1944), with peimission of the publishei, The Ameiican Society of Mechanical Engineeis.

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Piessuie losses due to fttings, bends, and valves aie geneially deteimined thiough expeiiments. This
type of piessuie loss can be coiielated to the aveiage uid velocity in the pipe by
(2.1.79)
wheie k
b
is a piessuie-loss coeffcient obtained fiom a handbook oi fiom the manufactuiei, and is the
aveiage uid velocity in the pipe upstieam of the ftting, bend, oi valve. Foi typical values of k
b
, iefei to
Peiiy, Peiiy, Chilton, and Kiikpatiick 1963], Fieeman 1941], and the - -
1948].
Piessuie losses due to sudden enlaigement of the cioss section of the pipe can be calculated using
(2.1.80)
wheie
s
/
L
is the iatio of the cioss-sectional aiea of the smallei pipe to that of the laigei pipe, is the
nondimensional piessuie-loss coeffcient ( 1 foi tuibulent ow and 2 foi laminai ow), and is the
aveiage uid velocity in the smallei pipe. Note that a giadual inciease in pipe cioss section will have little
effect on piessuie losses. In case of sudden contiaction of pipe size, the piessuie diop can be calculated
fiom
(2.1.81)
wheie
s
/
L
and aie as defned foi Eq. (2.1.80), and
c
is the aveiage uid velocity in the smallei pipe
(contiaction). Adding the vaiious piessuie losses, the total piessuie loss in a system can be calculated fiom
(2.1.82)
Foi a system undei consideiation, a pump must be chosen that can pioduce suffcient piessuie head to
oveicome all the losses piesented in Eq. (2.1.82). Foi system engineeiing applications, Eq. (2.1.82) can
be simplifed to
(2.1.83)
wheie is as defned foi Eq. (2.1.77), is the aveiage velocity inside the conduit, and is the appiopiiate
diametei foi the section of the system undei consideiation. The summation accounts foi the effect of
changes in pipe length, diametei, and ielative ioughness. The length L iepiesents not only the length of
the stiaight pipe of the system, but also, equivalent lengths of stiaight pipe that would have the same
effects as the fttings, bends, valves, and sudden enlaigements oi contiactions. Figuie 2.1.35 piovides a
nomogiam to deteimine such equivalent lengths.

Figuie 2.1.36 shows a system layout foi a small solai collectoi wheie watei at 35C (95F) is pumped
fiom a tank (suiface-aiea heat exchangei) thiough thiee paiallel solai collectois and back to the tank.
The watei ow iate is 0.9 m
3
/min (23.8 gal/min). All the piping is 1-in. Sch 40 steel pipe (cioss-
sectional aiea 0.006 ft
2
5.57 10
-4
m
2
, with inside diametei 1.049 in. 0.0266 m). The piessuie
diop thiough each solai collectoi is estimated to be 1.04 kPa (0.15 psi) foi a ow iate of 0.03 m
3
/min

2
2
,
1
2 2
2 2
,
0 55 1
2 2
2 2
. ,
4
2 2 2 2
2 2 2 2
2
2

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(7.9 gal/min). Find the appiopiiate pump size foi this system using the lengths and fttings specifed
in Figuie 2.1.36. Assume a pump effciency of about 75% and that the heat gain thiough the collectois
is equal to the change in the inteinal eneigy of the watei fiom point 1 to point 2.
To fnd the pump 1 size, we apply an eneigy-balance similai to Eq. (2.1.72) between points 1 and 2
shown in Figuie 2.1.36. Point 1 iepiesents the watei fiee-suiface in the tank, wheieas point 2 iepiesents
Equivalent lengths foi fiiction losses. Data extiacted fiom - - -
Publication 410M (1988), with peimission of the publishei, Ciane Company.

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the watei inlet to the tank aftei the watei has ciiculated thiough the collectois. Because both points
(1 and 2) have the same piessuie, we have
Similaily, because theie is no signifcant height diffeience between these two points, we have
The velocity at the watei fiee-suiface (point 1) is
1
0. Foi point 2, the velocity is
Theiefoie,
Also note that
Theiefoie, Eq. (2.1.72) ieduces to
(2.1.84)
Layout of a small solai-collectoi system.

2 1 2
2
1
1
0.

.
2 1
2 1
0
2
2
2
4
0 09
5 57 10
161 6 2 7
.
.
. . .
m min
m
m min m s
3
2

2 1
2
2
2
1
2
2
3
3
2 2 2
2 7
2 10
3 7 10
.

. .
m sec
kg
kJ
m
sec
kJ kg
2
2

2 1 2 1
2 1
2
2
.

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The fiictional piessuie losses
f
should be deteimined foi the whole system between points 1 and 2.
Equation (2.1.83) can be used to deteimine
f
; howevei, the total equivalent length should be detei-
mined fist. The tot al stiaight piping in the system is
Using Figuie 2.1.35, the equivalent lengths foi bends and valves aie obtained as follows:
Boida entiance: 0.79 m (2.6 ft)
Open gate valve: 0.18 m (0.6 ft)
Open globe valve: 7.90 m (26.0 ft)
Standaid tee: 1.80 m (5.9 ft)
Standaid elbow: 0.81 m (2.7 ft)
Theiefoie, with two standaid elbows in this system, the equivalent length foi bends, elbows, and valves
becomes
b
0.79 m - 0.18 m - 7.9 m - 1.8 m - 2 (0.82 m) 12.31 m, and the total equivalent of
1-in. Sch 40 pipe is L
b
-
s
40.31 m. To calculate the fiiction factoi, we must calculate the
Reynolds numbei. Assuming an aveiage uid density of 988 kg/m
3
and an absolute viscosity of
555 10
-6
Ns/m
2
, the Reynolds numbei is
Fiom Figuie 2.1.34, the ielative ioughness of the pipe obtained is / 0.0018, and by using
Figuie 2.1.33 (the Moody diagiam), the fiiction factoi obtained is 0.006. Substituting in Eq. (2.1.83),
the woik iequiied to oveicome the fiictional losses is obtained fiom
wheie Fi
c
is the iequiied woik to oveicome piessuie loss thiough the collectois. Since the collectois
aie in paiallel, the total piessuie loss is equal to the piessuie diop thiough each collectoi. Theiefoie,
and
Substituting foi and
f
in Eq. (2.1.84), we can calculate the input powei to the pump (the mass
ow iate of the uid is 0.494 kg/s):
-
2 2 1 1 8 1 5 8 28 m m m m m m m m m
Re
kg m m s m
555 10 s m
3
-6 2
988 2 7 0 0266
128 10
3
. .
.
2
2
Fi m
kg m
kJ kg
2
3
1 04
1
988
0 0011 .

. ,
. . .
.
. . .
2 0 006 40 31 2 7
10 0 0266
0 0011 0 134
2
3
m m s

kg
kJ
m
s
m
kJ kg kJ kg
2
2
2 1
2
2

. . . .
2 1
2
3
2
3 7 10 0 134 0 138 kJ kg kJ kg kJ kg

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With a 75% effciency, the actual mechanical eneigy iequiied will be
The appiopiiate pump size is
-
A is a device designed to tiansfei eneigy between two uids. Heat exchangeis aie often used
to tiansfei theimal eneigy fiom a souice (e.g., a boilei oi chillei) to a point of use (e.g., a cooling oi heating
coil). They aie paiticulaily impoitant foi impioving oveiall piocess effciency of eneigy-effcient systems.
Heat exchangeis can be expensive and must be designed caiefully to maximize effectiveness and minimize
cost. Depending on theii application, heat exchangeis can have diffeient shapes, designs, and sizes. The
majoi types of heat exchangeis include boileis, condenseis, iadiatois, evapoiatois, cooling toweis, iegen-
eiatois, and iecupeiatois. All heat exchangeis aie identifed by theii geometiic shape and the diiection of
ow of the heat-tiansfei uids inside them. Figuie 2.1.37 depicts some common heat exchangeis. In the
following paiagiaphs, we desciibe the opeiating piinciples of some of the moie common heat exchangeis.
A is designed so that two uids aie physically biought into contact,
with no solid suiface sepaiating them. In this type of heat exchangei, uid stieams foim a mutual inteiface
thiough which the heat tiansfei takes place between the two uids. Diiect-contact (DC) heat exchangeis
aie best used when the tempeiatuie diffeience between the hot and cold uids is small. An example of
a diiect-contact heat exchangei is a cooling towei, wheie watei and aii aie biought togethei by letting
watei fall fiom the top of the towei and having it contact a stieam of aii owing upwaid. Evapoiative
cooleis aie anothei common DC device.
- aie heat exchangeis in which the hot and cold uids ow alteinately thiough the same
space. As a iesult of alteinating ow, the hot uid heats the coie of the heat exchangei, wheie the stoied
heat is then tiansfeiied to the cold uid. Regeneiatois aie used most often with gas stieams, wheie some
mixing of the two stieams is not a pioblem and wheie the cost of anothei type of heat exchangei would
be piohibitive. Foi example, heat iecoveiy in veiy eneigy effcient homes is often done with aii-to-aii"
iegeneiatois to maintain an acceptable quality of aii inside the homes.
The is the heat exchangei encounteied most often. It is designed so that the hot and cold
uids do not come into contact with each othei. Eneigy is exchanged fiom one uid to a solid suiface
by convection, thiough the solid by conduction, and fiom the othei side of the solid suiface to the second
uid by convection. The evapoiatoi tube bundle in a chillei is such as device.
In Section 2.1.2, we desciibed these heat-tiansfei piocesses and developed some simple equations that
aie applied heie to deteimine basic equipment peifoimance. Designing a heat exchangei also iequiies
estimating the piessuie ow losses that can be caiiied out, based on the infoimation piovided in
Section 2.1.3. Finally, appiopiiate mateiials must be selected and a stiuctuial analysis done; Fiass and
Ozisik 1965] piovide a good discussion of these topics.

The peifoimance of a heat exchangei is based on the exchangei`s ability to tiansfei heat fiom one uid
to anothei. Calculating the heat tiansfei in heat exchangeis is iathei involved because the tempeiatuie
of one oi both of the uids is changing continuously as they ow thiough the exchangei. Theie aie thiee
main ow confguiations in heat exchangeis: paiallel ow, countei ow, and cioss ow. In A
heat exchangeis, both uids entei fiom one end of the heat exchangei owing in the same diiection
and they both exit fiom the othei end. In A heat exchangeis, hot uid enteis fiom one end
and ows in an opposite diiection to cold uid enteiing fiom the othei end. In --A heat
exchangeis, bafes aie used to foice the uids to move peipendiculai to each othei, to take advantage
of highei heat-tiansfei coeffcients encounteied in a cioss-ow confguiation. Figuie 2.1.38 shows the
act
kJ kg
kJ kg
0 138
0 75
0 184
.
.
. .
. . . .
act
kJ kg kg s kJ s hp. 0 184 0 494 0 091 0 12

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tempeiatuie vaiiation of the uids inside the heat exchangei foi a paiallel-ow and a countei-ow heat
exchangei. In paiallel-ow heat exchangeis, the tempeiatuie diffeience
i
between the two uids at
the inlet of the heat exchangei is much gieatei than
o
, the tempeiatuie diffeience at the outlet of the
heat exchangei. In countei-ow heat exchangeis, howevei, the tempeiatuie diffeience between the uids
shows only a slight vaiiation along the length of the heat exchangei. Assuming that the heat loss fiom
the heat exchangei is negligible, usually the case in a piactical design, the heat loss of the hot uid
should be equal to the heat gain by the cold uid. Theiefoie, we can wiite
(2.1.85)
wheie the subsciipts and h iefei to cold and hot uids, iespectively. Note that in heat-exchangei analysis,
the teims
c
p,c
and
h
p,h
aie called the - of the cold and hot uids, iespectively, and aie
usually iepiesented by
c
and
h
.
Some examples of heat exchangeis.
,
, ,


w
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-- et al. -"

Ed. Jan F. Kieidei

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The heat-tiansfei iate between a hot and a cold Auid can be wiitten as
(2.1.86)
wheie is the oveiall heat-tiansfei coefBcient (and is assumed to be constant ovei the whole suiface
aiea of the heat exchangei) and
m
is an appiopiiate mean tempeiatuie diffeience to be deBned latei.
In fact, the oveiall heat-tiansfei coefBcient is not the same foi all locations in the heat exchangei, and
its local value depends on the local Auid tempeiatuies as was shown in Example 2.1.8. Foi most engi-
neeiing applications, designeis of heat exchangeis aie usually inteiested in the aveiage heat-tiansfei
coefBcient. Common piactice is to calculate the oveiall heat-tiansfei coefBcient based on some kind of
mean Auid tempeiatuies.
Expanding on the deBnition of theimal iesistance desciibed eailiei, the heat tiansfei in a heat exchangei
can be expiessed as
(2.1.87)
Fluid tempeiatuie vaiiation foi (a) paiallel-Aow conBguiation, and (b) countei-Aow conBguiation.
&
,
&
,
1

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wheie
i
iepiesents the total theimal iesistance to heat tiansfei between Auid stieams in the heat
exchangei. Foi example, considei the simple case of heat tiansfei inside a shell-and-tube heat exchangei,
wheie a hot Auid at
h
is Aowing inside a steel tube with inside iadius
i
and outside iadius
o
as shown
in Figuie 2.1.14. The cold Auid at
c
is Aowing in the shell side ovei the steel tube, wheie the convection
heat-tiansfei coefBcient between the cold Auid and the exteiioi of steel tube is
o
. Foi this case, the total
iesistance to heat tiansfei can be wiitten as
(2.1.88)
wheie L is the length of the heat exchangei,
p
is the theimal conductivity of steel, and
i
and
o
aie the
convection heat-tiansfei coefBcients of hot and cold Auid sides, iespectively. Teims
f,i
and
f,o
iepiesent
the fouling iesistances on the cold and hot heat-tiansfei suifaces. The oveiall heat-tiansfei coefBcient can
be based on eithei the hot suiface aiea (in this case,
i
2
i
) oi on the cold suiface aiea (
o
2
o
).
Theiefoie, the numeiical value of will depend on the aiea selected; howevei, it is always tiue that

i
i

o
o
.
Table 2.1.11 gives some typical values of oveiall heat-tiansfei coefBcients that aie useful in pieliminaiy
system analysis and design. Foi all but the simplest heat exchangeis, designing the best heat exchangei foi
a given application involves using a model that accuiately sums the tempeiatuie diffeience and the iesistance
ovei the entiie suiface of the heat exchangei. Most engineeis use sophisticated computei models foi
Appioximate Oveiall Heat-Tiansfei CoefBcients
foi Pieliminaiy Estimates
Oveiall Heat-Tiansfei CoefBcient
Heat-Tiansfei Duty (W/m
2
K)
Steam to watei
Instantaneous heatei 2,200P3,300
Stoiage-tank heatei 960P1,650
Steam to oil
Heavy fuel 55P165
Light fuel 165P330
Light petioleum distillate 275P1,100
Steam to aqueous solutions 550P3,300
Steam to gases 25P275
Watei to compiessed aii 55P165
Watei to watei, jacket watei cooleis 825P1,510
Watei to lubiicating oil 110P330
Watei to condensing oil vapois 220P550
Watei to condensing alcohol 250P660
Watei to condensing R22 440P830
Watei to condensing ammonia 830P1,380
Watei to oiganic solvents, alcohol 275P830
Watei to boiling R22 275P830
Watei to gasoline 330P500
Watei to gas, oil, oi distillate 200P330
Watei to biine 550P1,100
Light oiganics to light oiganics 220P420
Medium oiganics to medium oiganics 110P330
Heavy oiganics to heavy oiganics 55P220
Heavy oiganics to light oiganics 55P330
Ciude oil to gas oil 170P300
Repioduced fiom - - by F. Kieith, Inteinational
Textbook Co., Scianton, PA, 1958, p. 463. With peimission.
1 1
2 2
1
2
1
5

, ,
,
1n

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designing heat exchangeis. These computei models incoipoiate the most accuiate algoiithms foi a myiiad
of applications. A ieasonably good estimate of heat-exchangei peifoimance can be calculated by hand by
using one of vaiious ieadily available handbooks (e.g., - 1983]).
The othei impoitant teim in Eq. (2.1.86) foi calculating the heat-tiansfei iate is the mean tempeiatuie
diffeience
m
. The mean tempeiatuie diffeience foi a heat exchangei depends on its Aow conBguiation
and the degiee of Auid mixing in each Aow stieam.
Foi a simple single-pass heat exchangei with vaiious tempeiatuie pioBles (e.g., paiallel Aow, countei
Aow, and constant suiface tempeiatuie), the mean tempeiatuie of Eq. (2.1.87) can be calculated fiom
(2.1.89)
wheie
i
iepiesents the gieatest tempeiatuie diffeience between the Auids and
o
iepiesents the least
tempeiatuie diffeience, and only if the following assumptions hold:
1. is constant ovei the entiie heat exchangei.
2. The Aow of Auids inside the heat exchangei is in steady-state mode.
3. The speciBc heat of each Auid is constant ovei the entiie length of the heat exchangei.
4. Heat losses fiom the heat exchangei aie minimal.
The mean tempeiatuie diffeience
m
given by Eq. (2.1.89) is known as the
(LMTD).

Lubiicating oil fiom a building standby geneiatoi at initial tempeiatuie of 115C and Aow iate of 2
kg/s is to be cooled to 70C in a shell-and-tube heat exchangei. Cold watei at a Aow iate of 2 kg/s and
initial tempeiatuie of 20C is used as the cooling Auid in the heat exchangei. Calculate the heat-
exchangei aiea iequiied by employing Bist a countei-Aow and then a paiallel-Aow heat-exchangei
aiiangement. The oveiall heat-tiansfei coefBcient is 900 W/m
2
K, and the speciBc heat of the oil
is
p,h
2.5 kJ/kg K.
Fiist, we use Eq. (2.1.85) to calculate the watei outlet tempeiatuie. The speciBc heat of watei can be
assumed to be constant ovei the tempeiatuie iange of inteiest, and it is
p,c
4.182 kJ/kg K.
(Bist law)
oi

1n
,
& &
, ,

&
&
.
,
,
2 2 5
2 4 182
115 70 20
46 9
kg s kJ kg K
kg s kJ kg K
C C C
C
.
.
.
. .

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The total heat tiansfeiied fiom hot Auid to the cold Auid is
Foi a A aiiangement, the tempeiatuie diffeiences aie shown in Figuie 2.1.39(a). The gieatest
tempeiatuie diffeience is
i
68.1C, and the least tempeiatuie diffeience is
o
50C. Using Eq.
(2.1.89), the mean tempeiatuie can be calculated as
The heat-exchangei suiface aiea foi countei-Aow aiiangement can be obtained fiom Eq. (2.1.86):
Tempeiatuie diffeiences of Example 2.1.11 foi (a) countei-Aow aiiangement, and (b) paiallel-Aow
aiiangement.
&
&
. . .
,

2 4 182 46 9 20 225 kg s kJ kg K C C kJ s

1n
C C
1n
C .
68 1 50
68 1 50
58 58
.
.
.
&
,

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oi
A similai pioceduie can be followed foi the A aiiangement. The watei outlet tempeiatuie
co
and the total heat tiansfei calculated eailiei still hold foi this aiiangement. Howevei, the tempei-
atuie diffeiences aie as shown in Figuie 2.1.39(b). The mean tempeiatuie foi this aiiangement is
and the aiea iequiied is
Theiefoie, the heat-exchangei suiface aiea iequiied foi paiallel Aow is moie than that iequiied foi
the countei-Aow aiiangement if all the othei conditions aie assumed to be the same. Consequently,
whenevei possible, it is advantageous to use the countei-Aow aiiangement because it will iequiie less
heat-exchangei suiface aiea to accomplish the same job. In addition, as seen fiom Figuie 2.1.39, with
the countei-Aow aiiangement, the outlet tempeiatuie of the cooling Auid may be iaised much closei
to the inlet tempeiatuie of the hot Auid.
The LMTD expiession piesented by Eq. (2.1.89) does not hold foi moie complex Aow conBguiations
such as cioss Aow oi multipass Aows. To extend the LMTD deBnition to such conBguiations, a
coiiection factoi is deBned as
(2.1.90)
wheie T
m,cF
is calculated fiom Eq. (2.1.89) foi a countei-Aow conBguiation. Bowman et al. 1940]
piovide chaits foi calculating the coiiection factoi foi vaiious Aow conBguiations of heat exchangeis.
A sample of theii chaits is shown in Figuie 2.1.40 foi one Auid mixed and the othei Auid unmixed.
The teim means that a Auid stieam passes thiough the heat exchangei in sepaiated Aow
channels oi passages with no Auid mixing between adjacent Aow passages. Note that the coiiection
factoi in Figuie 2.1.40 is a function of two dimensionless paiameteis and deBned as
(2.1.91)
and
(2.1.92)
wheie the teim is the iatio of the capacity iates of the cold and hot stieams, and the teim is
iefeiied to as the tempeiatuie effectiveness of the cold stieam. Kays and London 1984] piovide a
compiehensive iepiesentation of chaits.
&
.
. .
225 10
900 58 58
4 27
3
J s
W m K C
m
2
2

1n
C C
1n
C ,
95 23 1
95 23 1
50 84
.
.
.
&
.
. .
225 10
900 50 84
4 92
3
J s
W m K C
m
2
2
,
,

,

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- -
Heat-exchangei designeis usually use two well-known methods foi calculating the heat-tiansfei iate
between Auid stieamsOthe UA-LMTD and the effectiveness-NTU (numbei of heat-tiansfei units)
methods.

In this method, the ielationship between the total heat-tiansfei iate, the heat-tiansfei aiea, and the inlet
and outlet tempeiatuies of the two stieams is obtained fiom Eqs. (2.1.87) and (2.1.90). Substituting
Eq. (2.1.90) in Eq. (2.1.87) gives
(2.1.93)
Foi a given heat-exchangei conBguiation, one can calculate UA by identifying heat-tiansfei iesistances
and summing them as in Eq. (2.1.88), calculating T
m,cF
fiom Eq. (2.1.89), ieading the value fiom an
appiopiiate chait, and substituting them in Eq. (2.1.93) to Bnd the heat-tiansfei iate. The UA-LMTD
method is most suitable when the Auid inlet and outlet tempeiatuies aie known oi can be deteimined
ieadily fiom an eneigy-balance expiession similai to Eq. (2.1.85). Theie may be situations wheie only
inlet tempeiatuies aie known. In these cases, using the LMTD method will iequiie an iteiative pioceduie.
Howevei, an alteinative is to use the effectiveness-NTU method desciibed in the following section.
--
In this method, the capacity iates of both hot and cold Auids aie used to analyze the heat-exchangei
peifoimance. We will Bist deBne two dimensionless gioups that aie used in this methodOthe numbei
of heat-tiansfei units (NTU) and the heat exchangei effectiveness
The NTU is deBned as
(2.1.94)
wheie
min
iepiesents the smallei of the two capacity iates
c
and
h
. NTU is the iatio of the heat-tiansfei
iate pei degiee of mean tempeiatuie-diffeience between the Auids, Eq. (2.1.86), to the heat-tiansfei iate
pei degiee of tempeiatuie change foi the Auid of minimum heat-capacity iate. NTU is a measuie of the
Coiiection factoi foi countei-Aow LMTD foi cioss-Aow heat exchangeis with the Auid on the shell
side mixed, the othei Auid unmixed, and one pass thiough tube. Data extiacted fiom NMean Tempeiatuie Diffeience
in DesignM by Bowman et al. (1940) in - with peimission of the publishei, The Ameiican Society
of Ameiican Engineeis.
&
.
,

NTU
min
,

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physical size of the heat exchangei: the laigei the value of the NTU, the closei the heat exchangei
appioaches its theimodynamic limit.
The heat-exchangei effectiveness is deBned as the iatio between the actual heat-tiansfei iate and the
maximum possible iate of heat that theimodynamically can be exchanged between the two Auid stieams.
The actual heat-tiansfei iate can be obtained fiom Eq. (2.1.85). To obtain the maximum heat-tiansfei
iate, one can assume a countei-Aow heat exchangei with inBnite suiface aiea, wheie one Auid undeigoes
a tempeiatuie change equal to the maximum tempeiatuie-diffeience available,
max

hi
P
ci
. The
calculation of
max
is based on the Auid having the smallei capacity iate
min
, because of the limitations
imposed by the Second Law of Theimodynamics (see Bejan 1993] foi moie detail). Theiefoie,
(2.1.95)
wheie Eq. (2.1.95) is not limited to countei-Aow heat exchangeis and can be applied equally to othei
conBguiations. Theiefoie, the effectiveness can be expiessed as
(2.1.96)
oi
(2.1.97)
Knowing the effectiveness of a heat exchangei, one can calculate the actual iate of heat tiansfei by using
Eq. (2.1.96) oi fiom
(2.1.98)
Expiessions foi the effectiveness of heat exchangeis with vaiious Aow conBguiations have been developed
and aie given in heat-tiansfei texts (e.g., Bejan 1993], Kieith and Bohn 1993]). Foi example, the
effectiveness of a countei-Aow heat exchangei is given by
(2.1.99)
wheie
min
/
max
. The effectiveness of a paiallel-Aow heat exchangei is given by
(2.1.100)
The effectiveness foi heat exchangeis of vaiious Aow conBguiations has been evaluated by Kays and London
1984] and is piesented in a giaph foimat similai to the one shown in Figuie 2.1.41. In this Bguie, the heat-
exchangei effectiveness has been plotted in teims of NTU and . Note that foi an evapoiatoi and a condensei,
0 because the Auid iemains at a constant tempeiatuie duiing the phase change.
The two design-and-analysis methods just desciibed aie equivalent, and both can be equally employed
foi designing heat exchangeis. Howevei, the NTU method is piefeiied foi iating pioblems wheie at least
one exit tempeiatuie is unknown. If all inlet and outlet tempeiatuies aie known, the UA-LMTD method
does not iequiie an iteiative pioceduie and is the piefeiied method.
&
&
&
,
max min

&
&

,
max min

.
min
&
.
min

1 1
1
exp

,
NTU
1-R exp -NTU
1 1 exp
.
NTU
1-R

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Heat-tiansfei effectiveness as a function of numbei of heat-tiansfei units and capacity-iate iatio;

cioss-Aow exchangei with one Auid mixed. Data extiacted fiom - by W.M. Kays
and A.L. London (1984), with peimission of the authoi.
heat-tiansfei suiface aiea, m
2
(ft
2
)
speed of piopagation of iadiation eneigy, m/s (ft/s)
c
capacity iate of cold Auid equal to
c
(
p
)
c
h
capacity iate of hot Auid equal to
h
(
p
)
h
0
speed of light in a vacuum, 3 10
8
m/s (9.84 10
8
ft/s)
p
speciBc heat, kJ/kg K (Btu/lbm R)
H
hydiaulic diametei, deBned by Eq. (2.1.50)
total eneigy of a theimodynamic system, kJ (Btu)
inteinal eneigy of a theimodynamic system, kJ/kg (Btu/lbm)
b
total emissive powei of a blackbody, W/m
2
(Btu/h ft
2
)
b
spectial blackbody emissive powei, given by Eq. (2.1.56), W/m
3
(Btu/h ft
2
)
dimensionless fiiction factoi, see Eq. (2.1.77)
1P2
iadiation shape factoi between suifaces 1 and 2
giavitational acceleiation, 9.81 m/s
2
(32.2 ft/s
2
)
c
Newton constant, equal to 32.2 ft lbm/(lbf s
2
), oi 10
3
kg m
2
/(kJ s
2
)
enthalpy, kJ/kg (Btu/lbm), oi convection heat-tiansfei coefBcient, W/m
2
K (Btu/h ft
2
F)
100
80
60
40
20
0
0 1 2 3 4 5
NO. OF TRANSFER UNITS, N
tu
= AU/C
min
UNMIXED FLUID
MIXED
FLUID
0.25
4
0.5
2
0.75
1.33
C
mixed
C
unmixed
= 0,
C
mixed
C
unmixed
= 1
&
&

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-
f
enthalpy of satuiated liquid, kJ/kg (Btu/lbm)
g
enthalpy of satuiated vapoi, kJ/kg (Btu/lbm)
theimal conductivity, W/m K (Btu/h ft F)
b
piessuie-loss coefBcient due to bends and Bttings, see Eq. (2.1.79)
c
piessuie-loss coefBcient due to sudden contiaction of pipe, see Eq. (2.1.81)
e
piessuie-loss coefBcient due to sudden enlaigement of pipe, see Eq. (2.1.80)
p
conductivity of steel plate, W/m K (Btu/h ft F)
length of the ciiculai cylindei oi heat exchangei, m (ft)
mass of a system, kg (lbm)
mass-Aow iate of woiking Auid, kg/s (lbm/s)
index of iefiaction of a medium
Nu Nusselt numbei, deBned by Eq. (2.1.33)
piessuie, N/m
2
(lbf/in
2
)
Pi Piandtl numbei, equal to /
H
heat absoibed fiom a high-tempeiatuie ieseivoii, kJ (Btu)
L
heat iejected to a low-tempeiatuie ieseivoii, kJ (Btu)
iate of eneigy (heat) tiansfei, W (Btu/h)
heat Aux
i
heat-tiansfei iate by iadiation, W (Btu/h)
theimal iesistance, deBned by Eq. (2.1.30), m
2
K/W (h ft
2
F/Btu)
Ra Rayleigh numbei, deBned by Eq. (2.1.34)
Re Reynolds numbei, equal to
f,i
fouling iesistance of cold (innei) heat tiansfei suiface, m
2
K/W (h ft
2
F/Btu)
f,o
fouling iesistance of hot (outtei) heat tiansfei suiface, m
2
K/W (h ft
2
F/Btu)
i
innei iadius of cylindei, m (ft)
o
outei iadius of cylindei, m (ft)
entiopy, kJ/K (Btu/R)
-
f
entiopy of satuiated liquid, kJ/kg K (Btu/lbm R)
-
g
entiopy of satuiated vapoi, kJ/kg K (Btu/lbm R)
tempeiatuie, C (F)
H
tempeiatuie of highei-tempeiatuie ieseivoii, K (R)
L
tempeiatuie of low-tempeiatuie ieseivoii, K (R)
oveiall heat tiansfei coefBcient, given by Eq. (2.1.88), W/m
2
K (Btu/h ft
2
F)
velocity, m/s (ft/s)
speciBc volume (volume pei unit mass), m
3
/kg (ft
3
/lbm)
woik oi eneigy, kJ (Btu)
iate of woik (done on the suiioundings), kJ/s (Btu/h)
act
actual woik of a system, kJ (Btu)
f
fiictional piessuie losses, kJ/s (Btu/h)
isent
woik done undei an isentiopic piocess, kJ (Btu)
iev
woik of a system undei ieveisible piocess, kJ (Btu)
distance along axis, m (ft)
distance along axis, m (ft)
distance along axis, oi elevation of a theimodynamic system, m (ft)
theimal diffusivity, m
2
/s (ft
2
/h), oi absoiptivity of a suiface
aveiage absoiptivity of a suiface
theimal expansion coefBcient, K
P1
(R
P1
)
velocity boundaiy-layei thickness, mm (in.)
T
tempeiatuie boundaiy-layei thickness, mm (in.)
&
&
&
&
&

w
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.
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i
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-
Achenbach, E. 1989. Heat tiansfei fiom a staggeied tube bundle in cioss-Aow at high Reynolds numbeis,
-- - 32:271P280.
Andeison, R.S. and Kieitn, F. 1987. Natuial convection in active and passive solai theimal systems,
- - Vol. 18, pp. 1P86. Academic Piess, New Yoik.
Ainold, J.N., Bonapaite, P.N., Catton, I., and Edwaids, D.K. 1974. - -
- Stanfoid Univeisity Piess, Stanfoid, CA.
Ainold, J.N., Catton, I., and Edwaids, D.K. 1976. Expeiimental investigation of natuial convection in
inclined iectangulai iegions of diffeiing aspect iatios, - 98:67P71.
- 1993. ed., I-P, Ameiican Society of Heating, Ventilating, and Aii
Conditioning Engineeis, Atlanta, GA.
Ayyaswamy, P.S. and Catton, I. 1973. The boundaiy layei iegime foi natuial convection in a diffeientially
heated tilted iectangulai cavity, - 95:543P545.
Balmei, R.T. 1990. - West Publishing Company, St. Paul, MN.
Bejan, A. 1993. - John Wiley & Sons, Inc., New Yoik.
Bohn, M.S., Williams, T.A., and Piice, H.W. 1995. NCombined Cycle Powei Towei,M piesented at -
ASME/JSME/JSES joint meeting, Maui, HI.
Bowman, R.A., Muellei, A.C., and Nagle, W.M. 1940. NMean Tempeiatuie Diffeience in Design,M -
Vol. 62, pp. 283P294.
Cainot, S. 1960. A- -
- -- ed. E. Mendoza. Dovei, New Yoik.
Catton, I. 1978. Natuial convection in enclosuies. In - -
Vol. 6, pp. 13P31. Hemispheie, Washington, D.C.
Chuichill, S.W. 1983. Fiee convection aiound immeised bodies. In - ed.
E.U. Schlndei, Section 2.5.7. Hemispheie, New Yoik.
Chuichill, S.W. and Chu, H.H.S. 1975. Coiielating equations foi laminai and tuibulent fiee convection
fiom a veitical plate, -- - 18:1323P1329.
Fischenden, M. and Saundeis, O.A. 1932. --- His MajestyKs Stationaiy
OfBce, London.
Fiaas, A.P. and Ozisik, MN. 1965. - John Wiley & Sons, Inc., New Yoik.
i
equal
ho
P
ci
foi countei-Aow, and
hi
P
ci
foi paiallel-Aow heat exchangei, see
Figuie 2.1.38
o
equal to
hi
P
co
foi countei-Aow, and
ho
P
co
foi paiallel-Aow heat exchangei, see
Figuie 2.1.38
emissivity of a suiface
aveiage absoiptivity of a suiface
m
mechanical efBciency, deBned by Eq. (2.1.17)
s
isentiopic efBciency, deBned by Eq. (2.1.18)
i
ielative efBciency, deBned by Eq. (2.1.19)
iev
eneigy conveision efBciency foi a ieveisible system
T
theimal efBciency, deBned by Eq. (2.1.20)
wavelength of iadiation eneigy, m (ft)
viscosity of Auid, Ns/m
2
kinematic viscosity, m
2
/s (ft
2
/h), oi fiequency, s
P1
ieAectivity of a suiface, oi density (mass pei unit volume) kg/m
3
(lbm/ft
3
)
Stefan-Boltzmann constant, Wm
-2
K
-4
(Btu/h ft
2
R
4
)
tiansmissivity of a suiface, oi fiictional sheai stiess, N/m
2
(lbf/ft
2
)
theimal iadiation souice fiequency, s
P1

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Fieeman, A. 1941. - - - Ameiican Society of
Mechanical Engineeis, New Yoik.
Fujii, T. and Imuia, H. 1972. Natuial convection heat tiansfei fiom a plate with aibitiaiy inclination,
-- - 15:755P767.
Gubaieff, G.G., Janssen, E.J., and Toiboig, R.H. 1960. - Honeywell
Reseaich Centei, Minneapolis, MN.
Hamilton, D.C. and Moigan, W.R. 1962. Radiant Inteichange ConBguiation Factois, NACA TN2836,
Washington, D.C.
Hassani, A.V. and Hollands, K.G.T. 1989. On natuial convection heat tiansfei fiom thiee-dimensional
bodies of aibitiaiy shape, - 111:363P371.
Hausen, H. 1983. - -- McGiaw-Hill, New Yoik.
Hollands, K.G.T., Raithby, G.D., and Konicek, L.J. 1976. Coiielation equations foi fiee convection heat
tiansfei in hoiizontal layeis of aii and watei, -- - 18:879P884.
Hollands, K.G.T., Unny, T.E., Raithby, G.D., and Konicek, L.J. 1976. Fiee convection heat tiansfei acioss
inclined aii layeis, - 98:189P193.
Howell, J.R. 1982. B - McGiaw-Hill, New Yoik.
Inciopeia, F.P. and DeWitt, D.P. 1990. - 2nd ed., Wiley, New Yoik.
Jakob, M. 1949. - Vol. 1, Wiley, New Yoik.
Kakac, S. and Yenei, Y. 1988. 2nd ed. Hemispheie, Washington, D.C.
Kalina, A.I. 1984. Combined-cycle system with novel bottoming cycle, - -
106:737P742.
Kailekai, B.V. 1983. - - Pientice-Hall, Englewood Cliffs, NJ.
Kays, W.M. and London, A.L. 1984. - 3id ed., McGiaw-Hill, New Yoik.
Kays, W.M. and Peikins, K.R. 1985. Foiced convection, inteinal Aow in ducts. In
- - eds. W.R. Rosenow, J.P. Haitnett, and E.N. Ganic, Vol. 1, Chap. 7.
McGiaw-Hill, New Yoik.
Kieith, F. 1970. Theimal design of high altitude balloons and instiument packages. -
92:307P332.
Kieith, F. and Black, W.Z. 1980. - - Haipei & Row, New Yoik.
Kieith, F. and Boehm, eds. 1987. - - Hemispheie, New Yoik.
Kieith, F. and Bohn, M.S. 1993. - - 5th ed., West Publishing Company, St. Paul,
MN.
McAdams, W.H. 1954. --- 3id ed., McGiaw-Hill, New Yoik.
MacGiegoi, R.K. and Emeiy, A.P. 1969. Fiee convection thiough veitical plane layeis: modeiate and high
Piandtl numbei Auid, - 91:391.
Moody, L.F. 1944. Fiiction factois foi pipe Aow, - 66:671.
Peiiy, J.H., Peiiy, R.H., Chilton, C.H., and Kiikpatiick, S.D. 1963. K- 4th ed.
Planck, M. 1959. Dovei, New Yoik.
Quaimby, A. and Al-Fakhii, A.A.M. 1980. Effect of Bnite length on foiced convection heat tiansfei fiom
cylindeis, -- - 23:463P469.
Raithby, G.D. and Hollands, K.G.T. 1974. A geneial method of obtaining appioximate solutions to laminai
and tuibulent fiee convection pioblems. In - - Academic Piess, New Yoik.
Raithby, G.D. and Hollands, K.G.T. 1985. Natuial convection. In - -
2nd ed., eds. W.M. Rosenow, J.P. Haitnett, and E.N. Ganic, McGiaw-Hill, New Yoik.
Reid, R.C., Sheiwood, T.K., and Piausnitz, J.M. 1977. - -- - 3id ed.,
Reynolds, W.C. and Peikins, H.C. 1977. - 2nd ed., McGiaw Hill, New Yoik.
Sanfoid, J.F. 1962. - Doubleday, Gaiden City, NY.
Schlndei, E.U., ed. 1983. - Vol. 1. Hemispheie, Washington, D.C.

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Schmidt, H. and Fuithman, E. 1928. Uebei die Gesamtstiahlung fstei Kipei. Mitt. Kaisei-Wilhelm-Inst.
Eisenfoisch., Abh. 109, Dusseldoif.
Shah, R.K. and London, A.L. 1978. - Academic Piess, New Yoik.
Siedei, E.N. and Tate, C.E. 1936. Heat tiansfei and piessuie diop of liquids in tubes,
28:1429.
Siegel, R. and Howell, J.R. 1972. - 3id ed., Hemispheie, New Yoik.
Spaiiow, E.M. and Stietton, A.J. 1985. Natuial convection fiom vaiiously oiiented cubes and fiom othei
bodies of unity aspect iatio, -- - 28(4):741P752.
- -O - 1948. Hydiaulic Institute, New Yoik.
Van Wylen, G.J. and Sonntag, R.E. 1986. - -- - 3id ed., Wiley, New
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cylindeis, single spheies, and foi Aow in packed beds and tube bundles, 18:361P371.
Wood, B.D. 1982. - - 2nd ed., Addison-Wesley, Reading, MA.
Yovanovich, M.M. and Jafaipui, K. 1993. Models of laminai natuial convection fiom veitical and hoii-
zontal isotheimal cuboids foi all Piandtl numbeis and all Rayleigh numbeis below 10
11
,
- ASME, HTD, Vol. 264, pp. 111P126.
Zukauskas, A.A. 1972. Heat tiansfei fiom tubes in cioss Aow, - - Vol. 8, pp. 93P106.
Academic Piess, New Yoik.
--

A laige fiaction of the eneigy used in buildings goes towaid maintaining indooi theimal comfoit
conditions foi the occupants. This section piesents the basic theimodynamic ielations of the impoitant
aii conditioning piocesses and illustiates theii application to the analysis of eneigy Aows in one-zone
spaces. A discussion of factois affecting human theimal comfoit is also piovided.
- - --
Atmospheiic aii is not only a mixtuie of seveial gases, watei vapoi, and numeious pollutants; it also
vaiies consideiably fiom location to location. The composition of diy aii is ielatively constant and vaiies
slightly with time, location, and altitude. The standaid composition of diy aii has been speciBed by the
Inteinational Joint Committee on Psychiometiic Data in 1949 as shown in Table 2.2.1.
The - (1997) gives the following deBnition of the U.S. standaid
atmospheie:
(a) Acceleiation due to giavity is constant at 32.174 ft/sec
2
(9.807 m/s
2
).
(b) Tempeiatuie at sea level is 59.0F (15C oi 288.1 K).
(c) Piessuie at sea level is 29.921 inches of meicuiy (101.039 kPa).
(d) The atmospheie consists of diy aii, which behaves as a peifect gas.
Composition of Diy Aii
Constituent Moleculai Mass Volume Fiaction
Oxygen 32.000 0.2095
Nitiogen 28.016 0.7809
Aigon 39.944 0.0093
Caibon Dioxide 44.010 0.0003

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The total atmospheiic piessuie at diffeient altitudes is given in standaid gas tables. Foi altitudes up
to 60,000 ft (18,291 m) the following equation can be used:
- ? (2.2.1)
wheie the constants and aie given in the following table, is the elevation above sea level, and
piessuie is in inches of Hg oi in kPa.
In HVAC applications, the mixtuie of vaiious constituents that compose diy aii is consideied to be a
single gas. The moleculai mass of diy aii can be assumed to be 28.965.
- -
A is any attiibute oi chaiacteiistic of mattei that can be obseived oi evaluated quantitatively.
Theimodynamic piopeities, i.e., those conceined with eneigy and its tiansfoimation, of piimaiy inteiest
to HVAC aie desciibed below.
A. t of a substance indicates its theimal state and its ability to exchange eneigy with a
substance in contact with it. Refeience points aie the fieezing point of watei (0C in the Celsius
scale and 32F in the Fahienheit scale) and the boiling point of watei (100C in the Celsius scale
and 212F in the Fahienheit scale). Often the absolute tempeiatuie scale T is moie ielevant:
SI units : Kelvin scale: T t - 273.15 (K) with t in C
IP units : Rankine scale: T t - 459.67 (R) with t in F.
B. -- p is the noimal oi peipendiculai foice exeited by a Auid pei unit aiea against which the
foice is exeited. Absolute piessuie is the measuie of piessuie above zeio; gauge piessuie is measuied
above existing atmospheiic piessuie. The unit of piessuie is pound pei squaie inch (psi) oi Pascal
(Pa). Standaid atmospheiic piessuie is 101.325 kPa oi 14.696 psi.
C. - of a Auid is its mass pei unit volume. It is moie common to use its iecipiocal, the -B
v, the volume occupied pei unit mass. The density of aii at standaid atmospheiic piessuie
and 77F (25C) is appioximately 0.075 lbm/ft
3
(1.2 kg/m
3
). Density and speciBc volume of a
vapoi oi gas aie affected by both piessuie and tempeiatuie. Tables aie used to deteimine both;
in some cases, they can be calculated fiom basic theimodynamic piopeity ielations. The density
of liquids is usually assumed to be a function of tempeiatuie only.
D. u iefeis to the eneigy possessed by a substance due to the motion and/oi position of
the molecules. This foim of eneigy consists of two paits: the inteinal kinetic eneigy due to the velocity
of the molecules, and the inteinal potential eneigy due to the attiactive foices between molecules.
Changes in the aveiage velocity of molecules aie indicated by tempeiatuie changes of a substance.
E. h is anothei impoitant piopeity deBned as (u-pv) wheie u is the inteinal eneigy (itself
a piopeity) and (pv) is the A , i.e., the woik done on the Auid to foice it into a contiol
volume. Enthalpy values aie based on a speciBed datum tempeiatuie value.
F. B c of a substance is the quantity of eneigy iequiied to iaise the tempeiatuie of a unit
mass by 1R oi 1 K. Foi gases, one distinguishes between two cases:
speciBc heat at constant volume c
v
and
Constant
H 4000 ft (1220 m) H > 4000 ft (1220 m)
IP SI IP SI
a 29.92 101.325 29.42 99.436
b P0.001025 P0.01153 P0.0009 P0.010
v

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speciBc heat at constant piessuie c
p
.
The foimei is appiopiiate in aii conditioning because the piocesses occui at constant piessuie.
Appioximately, c
p
0.24 Btu/lbm F (1.00 kJ/kg K) foi diy aii, 1.0 Btu/lbm F (4.19 kJ/kg K) foi
liquid watei, and 0.444 Btu/lbm F (1.86 kJ/kg K) foi watei vapoi.
One needs to distinguish between - piopeities and - piopeities. While extensive
piopeities aie those, such as volume V (ft
3
oi m
3
) oi enthalpy H (Btu oi kJ), that depend on the
mass of the substance, intensive piopeities, such as tempeiatuie and piessuie, do not. Oui notation
is to use loweicase symbols foi intensive piopeities, i.e., piopeities pei unit mass. Thus, v would
denote the speciBc volume, while u and h denote the inteinal eneigy and enthalpy pei unit mass,
iespectively. The use of the teim -B (foi example, speciBc enthalpy) is iecommended in oidei
to avoid ambiguity.
G. - is a quantity of mattei homogeneous thioughout in chemical composition and physical
stiuctuie. A puie substance is one that is unifoim and invaiiable in chemical composition. Thus,
a puie substance may exist in moie than one phase, such as a mixtuie of liquid watei and watei
vapoi (steam). On the othei hand, a mixtuie of gases (such as aii) is not a puie substance. Howevei,
if no change of phase is involved (as in most HVAC piocesses), aii can be assumed to be a puie
substance.
H. - The ideal gas law is a ielationship between the piessuie, speciBc volume, and absolute
tempeiatuie of the substance:
(2.2.2a)
wheie p absolute piessuie, lbf/ft
3
(Pa)
v speciBc volume, ft
3
/lbm (m
3
/kg)
T absolute tempeiatuie, R (K), and
R gas constant 53.352 ft lbf/lbm R (287 J/kg K) foi aii and 85.78 ft lbf/lbm R (462
J/kg K) foi watei vapoi.
Alteinatively, the ideal gas law can also be wiitten as
(2.2.2.b)
wheie MW is the moleculai weight of the substance, and R
is the univeisal gas constant 1545.32

ft lbf/lbmol R (8.3144 kJ/kg-mol K), and whose value is independent of the substance.
I. -. Undeistanding the behavioi of substances such as steam oi iefiigeiants
duiing theii tiansition between liquid and vapoi phases is veiy impoitant in aii conditioning and
iefiigeiation systems. The ideal gas law cannot be used foi such cases and one must use piopeity
tables oi chaits speciBc to the substance. Piopeities of liquid and satuiated watei vapoi aie given
in Table 2.2.2 based on tempeiatuie and piessuie. The second column gives the coiiesponding
satuiation piessuie. SpeciBc volume and speciBc enthalpy at the satuiated liquid condition and
at the satuiated vapoi condition aie listed in the columns. Sepaiate tables aie also available to
deteimine piopeities of supeiheated vapoi.
J. A theimodynamic -- is one wheie the state of a system undei study undeigoes a change. Foi
example, the dehumidiBcation of aii in a cooling coil is a theimodynamic piocess. A piocess is
desciibed in pait by the seiies of states passed thiough by the system. Often some inteiaction
between the system and the suiioundings occuis duiing the piocess. Theimodynamic analysis
basically involves studying the inteiaction of woik, heat, and the piopeities of the substance
contained in the system.
p
pv
R
*
MW
----------- T =

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Piopeities of Satuiated Steam and Satuiated Watei
Tempeiatuie Table
SpeciBc vol, cu ft/lb Enthalpy, Btu/lb
Piessuie Table
SpeciBc vol, cu ft/lb Enthalpy, Btu/lb
Temp
F
Abs piess,
psi
Sat
liquid
Sat
vapoi
Sat
liquid
Evap
Sat
vapoi
Abs piess,
psi Temp, F
Sat
liquid
Sat
vapoi
Sat
liquid
Evap
Sat
vapoi
32 0.08854 0.01602 33306 0.00 1075.8 1075.8 0.5 79.58 0.01608 641.4 47.6 1048.8 1096.4
35 0.09995 0.01602 2947 3.02 1074.1 1077.1 1.0 101.74 0.01614 333.6 69.7 1036.3 1106.0
40 0.12170 0.01602 2444 8.05 1071.3 1079.3 2.0 126.08 0.01623 173.73 94.0 1022.2 1116.2
45 0.14752 0.01602 2036.4 13.06 1068.4 1081.5 3.0 141.48 0.01630 118.71 109.4 1013.2 1122.6
50 0.17811 0.01603 1703.2 18.07 1065.6 1083.7 4.0 152.97 0.01636 90.63 120.9 1006.4 1127.3
55 0.2141 0.01603 1430.7 23.07 1062.7 1085.8 5.0 162.24 0.01640 73.53 130.1 1001.0 1131.1
60 0.2563 0.01604 1206.7 28.06 1059.9 1088.0 6.0 170.06 0.01645 61.98 138.0 996.2 1134.2
65 0.3056 0.01605 1021.4 33.05 1057.1 1090.2 7.0 176.85 0.01649 53.64 144.8 992.1 1136.9
70 0.3631 0.01606 867.9 38.04 1054.3 1092.3 8.0 182.86 0.01653 47.34 150.8 988.5 1139.3
75 0.4298 0.01607 740.0 43.03 1051.5 1094.5 9.0 188.28 0.01656 42.40 156.2 985.2 1141.4
80 0.5069 0.01608 633.1 48.02 1048.6 1096.6 10 193.21 0.01659 38.42 161.2 982.1 1143.3
85 0.5959 0.01609 543.5 53.00 1045.8 1098.8 14.7 212.00 0.01672 26.80 180.0 970.4 1150.4
90 0.6982 0.01610 468.0 57.99 1042.9 1100.9 20 227.96 0.01683 20.089 196.2 960.1 1156.3
95 0.8153 0.01612 404.3 62.98 1040.1 1103.1 25 240.07 0.01692 16.303 208.5 952.1 1160.6
100 0.9492 0.01613 350.4 67.97 1037.2 1105.2 30 250.33 0.01701 13.746 218.8 945.3 1164.1
105 1.1016 0.01615 304.5 72.95 1034.3 1107.3 40 267.25 0.01715 10.498 236.0 933.7 1169.7
110 1.2748 0.01617 265.4 77.94 1031.6 1109.5 50 281.01 0.01727 8.515 250.1 924.0 1174.1
115 1.4709 0.01618 231.9 82.93 1028.7 1111.6 60 292.71 0.01738 7.175 262.1 915.5 1177.6
120 1.6924 0.01620 203.27 87.92 1025.8 1113.7 70 302.92 0.01748 6.206 272.6 907.9 1180.6
125 1.9420 0.01622 178.61 92.91 1022.9 1115.8 80 312.03 0.01757 5.472 282.0 901.1 1183.1
130 2.2225 0.01625 157.34 97.9 1020.0 1117.9 90 320.27 0.01766 4.896 290.6 894.7 1185.3
135 2.5370 0.01627 138.95 102.9 1017.0 1119.9 100 327.81 0.01774 4.432 298.4 888.8 1187.2
140 2.8886 0.01629 123.01 107.9 1014.1 1122.0 110 334.77 0.01782 4.049 305.7 883.2 1188.9
145 3.281 0.01632 109.15 112.9 1011.2 1124.1 120 341.25 0.01789 3.728 312.4 877.9 1190.4
150 3.718 0.01634 97.07 117.9 1008.2 1126.1 130 347.32 0.01796 3.455 318.8 872.9 1191.7
155 4.203 0.01637 86.52 122.9 1005.2 1128.1 140 353.02 0.01802 3.220 324.8 868.2 1193.0
160 4.741 0.01639 77.29 127.9 1002.3 1130.2 150 358.42 0.01809 3.015 330.5 863.6 1194.1
165 5.335 0.01642 69.19 132.9 999.3 1132.2 160 363.53 0.01815 2.834 335.9 859.2 1195.1
170 5.992 0.01645 62.06 137.9 996.3 1134.2 170 368.41 0.01822 2.675 341.1 854.9 1196.0
175 6.715 0.01648 55.78 142.9 993.3 1136.2 180 373.06 0.01827 2.532 346.1 850.8 1196.9
180 7.510 0.01651 50.23 147.9 990.2 1138.1 190 377.51 0.01833 2.404 350.8 846.8 1197.6
185 8.383 0.01654 45.31 152.9 987.2 1140.1 200 381.79 0.01839 2.288 355.4 843.0 1198.4
190 9.339 0.01657 40.96 157.9 984.1 1142.0 250 400.95 0.01865 1.8438 376.0 825.1 1201.1
200 11.526 0.01663 33.64 168.0 977.9 1145.9 300 417.33 0.01890 1.5433 393.8 809.0 1202.8
212 14.696 0.01672 26.80 180.0 970.4 1150.4 350 431.72 0.01913 1.3260 409.7 794.2 1203.9
220 17.186 0.01677 23.15 188.1 965.2 1153.4 400 444.59 0.0193 1.1613 424.0 780.5 1204.5
240 24.969 0.01692 16.323 208.3 952.2 1160.5 450 456.28 0.0195 1.0320 437.2 767.4 1204.6
260 35.429 0.01709 11.763 228.6 938.7 1167.3 500 467.01 0.0197 0.9278 449.4 755.0 1204.4
280 49.203 0.01726 8.645 249.1 924.7 1173.8 600 486.21 0.0201 0.7698 471.6 731.6 1203.2
300 67.013 0.01745 6.466 269.6 910.1 1179.7 700 503.10 0.0205 0.6554 491.5 709.7 1201.2
350 134.63 0.01799 3.342 321.6 870.7 1192.3 800 518.23 0.0209 0.5687 509.7 688.9 1198.6
400 247.31 0.01864 1.8633 375.0 826.0 1201.0 900 531.98 0.0212 0.5006 526.6 668.8 1195.4
450 422.6 0.0194 1.0993 430.1 774.5 1204.6 1000 544.61 0.0216 0.4456 542.4 649.4 1191.8
500 680.8 0.0204 0.6749 487.8 713.9 1201.7 1200 567.22 0.0223 0.3619 571.7 611.7 1183.4
550 1045.2 0.0218 0.4240 549.3 640.8 1190.0 1500 596.23 0.0235 0.2760 611.6 556.3 1167.9

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K. is a condition of balance maintained by an equality of opposing foices. Theie aie
diffeient types of equilibiium: theimal, mechanical, chemical. The study of theimodynamics has
to do with deteimining end states, and not with the dynamics of the piocess (e.g., how fast the
piocess change occuis). The concept of equilibiium is impoitant as it is only in an equilibiium
state that the theimodynamic piopeities have meaning. We implicitly assume that the system
moves fiom one state of equilibiium to anothei veiy slowly as it undeigoes a piocess, a condition
called quasi-equilibiium oi a quasi-static piocess.
L. is the capacity foi pioducing an effect. It can be stoied within the system as potential
eneigy, kinetic eneigy, inteinal eneigy, etc. It can also be tiansfeiied to oi fiom the system by
woik oi heat tiansfei. Heat is tiansfeiied acioss the boundaiy of a system to anothei system oi
suiioundings by viitue of a tempeiatuie diffeience between the two systems.
M. - -- simply states that mass of a substance can be neithei cieated noi destioyed
in the piocesses analyzed. Considei a simple Aow system (shown in Figuie 2.2.1) when a Auid
stieam Aows into and out of a contiol volume. If the mass in the system at time is m( ), then
the mass at time - is m( - ). Assuming that duiing the time inciement d , an inciement
m
in
enteis the system and m
out
leaves the system, conseivation of mass ielation iesults in
( ) -
( - ) -
which can be simpliBed as

(2.2.3)
wheie
Foi steady Aow, and (2.2.4)
N. - oi the Bist law of theimodynamics is the basis of most of the analysis done
in HVAC. It foimulates a ielationship between the vaiious quantities shown in Figuie 2.2.2. It is
desciibed in Chaptei 2.1.
A simple Aow system.
Schematic theimodynamic system foi steady Aow.
dm
d
-------- m
`
i n m
`
out - =
m
`
0 = m
`
i n m
`
out =

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- - -
Psychiometiy is the study of the piopeities of moist aii, i.e., a mixtuie of aii and watei vapoi. A thoiough
undeistanding of psychiometiy is essential since it is fundamental to undeistanding the vaiious piocesses
ielated to aii conditioning. Atmospheiic aii is nevei totally diy; it always contains vaiying degiees of
watei vapoi. Just like ielatively small amounts of tiace mateiials diastically impact the physical piopeities
of steel alloys, small amounts of moistuie have a laige inAuence on human comfoit.
The amount of watei vapoi contained in aii may vaiy fiom neai zeio (totally diy) to a maximum
deteimined by the tempeiatuie and piessuie of the mixtuie. Piopeities of moist aii can be deteimined
fiom tables such as Table 2.2.3, fiom equations and steam tables as shown below, oi fiom the psychio-
metiic chait (desciibed latei). Moist aii up to about thiee atmospheies piessuie can be assumed to obey
the peifect gas law. Assuming diy aii to consist of one gas only, the total piessuie p
t
of moist aii, given
by the Gibbs-Dalton Law foi a mixtuie of peifect gases, is equal to the individual contiibutions of diy
aii and watei vapoi.
(2.2.5)
wheie p
a
is the paitial piessuie of diy aii, and p
v
is the paitial piessuie of watei vapoi. It is because
p
v
<< p
a
that we can implicitly assume watei vapoi also follows the peifect gas law foi atmospheiic aii.
The theimodynamic state of an aii-vapoi mixtuie is fully deteimined if thiee independent intensive
piopeities aie speciBed. Since one can assume foi most of the HVAC piocesses being studied that the
total atmospheiic piessuie does not change, a chait known as the psychiometiic chait, applicable to a
speciBc value of total piessuie (commonly the standaid atmospheiic piessuie), is used. The psychiometiic
chait not only piovides a quick means foi deteimining values of moist aii piopeities, it is also veiy useful
in solving numeious piocess pioblems with moist aii and allows quick visualization of how the piocess
occuis. Hence, foi bettei compiehension, we desciibe the mannei in which it is geneiated along with
the desciiption of the peitinent moist aii piopeities.
The piimaiy moist aii piopeities shown on a psychiometiic chait aie desciibed below:
A. T
db
oi t is the tempeiatuie of aii one would measuie with an oidinaiy
theimometei. This piopeity is the x-axis of the psychiometiic chait (Figuie 2.2.3).
B. -- of watei vapoi: p
s
oi p
v,sat
can be deteimined oi obtained fiom steam tables
(see Table 2.2.2). Foi example, the satuiation piessuie p
s
of watei vapoi fiom Table 2.2.2 at a
tempeiatuie t 80F is p
s
0.5069 psia, which is about 30 times less than the coiiesponding
paitial piessuie of diy aii p
a
.
C. oi speciBc humidity oi absolute humidity W is deBned as the iatio of the mass of
watei vapoi to that of diy aii, i.e.,
Using the ideal gas law undei satuiated aii conditions,
wheie V is an aibitiaiy volume of the aii and watei vapoi mixtuie, R
is the univeisal gas constant,

MW
a
is the moleculai weight of diy aii (28.965), and MW
v
is the moleculai weight of watei
(18.015). The above foimula then ieduces to
(2.2.6)
W
mass of water vapor
mass of dry air
------------------------------------------------ =
W
m
v
m
a
------
p
s
VMW
v
R
*
T
p
a
VMW
a
R
*
T
-------------------------------------
p
s
MW
v
p
t
p
s
- MW
a
--------------------------------- = = =
W 0.622
p
s
p
t
p
s
-
--------------- =

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Moist Aii, Standaid Atmospheiic Piessuie, 14.696 psi
Temp.
F
Humidity
Ratio
lb
w
/lb
-
Condensed Watei
Vapoi
Piess.
in Hg
-
Temp.
F
Volume
ft
3
/lb diy aii
Enthalpy
But/lb diy aii
Entiopy
But/(lb diy aii?F)
Enthalpy
But/lb
Entiopy
Btu/
(lb?F)
-
-
-
-
-
-
-
0 0.0007875 11.579 0.015 11.594 0.0 0.835 0.835 0.00000 0.00192 0.00192 P158.89 P0.3243 0.037671 0
5 0.0010207 11.706 0.019 11.725 1.201 1.085 2.286 0.00260 0.00247 0.00506 P156.52 P0.3192 0.048814 5
10 0.0013158 11.832 0.025 11.857 2.402 1.402 3.804 0.00517 0.00315 0.00832 P154.13 P0.3141 0.062901 10
15 0.0016874 11.959 0.032 11.991 3.603 1.801 5.404 0.00771 0.00400 0.01171 P151.71 P0.3089 0.080623 15
20 0.0021531 12.085 0.042 12.127 4.804 2.303 7.107 0.01023 0.00505 0.01528 P149.27 P0.3038 0.102798 20
25 0.0027339 12.212 0.054 12.265 6.005 2.930 8.935 0.01272 0.00636 0.01908 P146.80 P0.2987 0.130413 25
30 0.0034552 12.338 0.068 12.406 7.206 3.711 10.917 0.01519 0.00796 0.02315 P144.31 P0.2936 0.164631 30
32 0.0037895 12.389 0.075 12.464 7.687 4.073 11.760 0.01617 0.00870 0.02487 P143.30 P0.2915 0.180479 32
36 0.004452 12.490 0.089 12.579 8.648 4.793 13.441 0.01811 0.01016 0.02827 4.05 0.0081 0.21181 36
40 0.005216 12.591 0.105 12.696 9.609 5.624 15.233 0.02004 0.01183 0.03187 8.07 0.0162 0.24784 40
44 0.006094 12.692 0.124 12.816 10.570 6.582 17.152 0.02196 0.01374 0.03570 12.09 0.0242 0.28918 44
48 0.007103 12.793 0.146 12.939 11.531 7.684 19.215 0.02386 0.01592 0.03978 16.10 0.0321 0.33651 48
52 0.008259 12.894 0.171 13.065 12.492 8.949 21.441 0.02575 0.01840 0.04415 20.11 0.0400 0.39054 52
56 0.009580 12.995 0.200 13.195 13.453 10.397 23.850 0.02762 0.02122 0.04884 24.11 0.0478 0.45205 56
60 0.011087 13.096 0.233 13.329 14.415 12.052 26.467 0.02947 0.02442 0.05389 28.11 0.0555 0.52193 60
64 0.012805 13.198 0.271 13.468 15.376 13.942 29.318 0.03132 0.02804 0.05936 32.11 0.0632 0.60113 64
68 0.014758 13.299 0.315 13.613 16.337 16.094 32.431 0.03315 0.03214 0.06529 36.11 0.0708 0.69065 68
72 0.016976 13.400 0.365 13.764 17.299 18.543 35.841 0.03496 0.03677 0.07173 40.11 0.0783 0.79167 72
76 0.019491 13.501 0.422 13.923 18.260 21.323 39.583 0.03676 0.04199 0.07875 44.10 0.0858 0.90533 76
80 0.022340 13.602 0.487 14.089 19.222 24.479 43.701 0.03855 0.04787 0.08642 48.10 0.0933 1.03302 80
84 0.025563 13.703 0.561 14.264 20.183 28.055 48.238 0.04033 0.05448 0.09481 52.09 0.1006 1.17608 84
88 0.029208 13.804 0.646 14.450 21.145 32.105 53.250 0.04209 0.06192 0.10401 56.09 0.1080 1.33613 88
92 0.033323 13.905 0.742 14.647 22.107 36.687 58.794 0.04384 0.07028 0.11412 60.08 0.1152 1.51471 92
96 0.037972 14.006 0.852 14.858 23.069 41.871 64.940 0.04558 0.07968 0.12525 64.07 0.1224 1.71372 96
100 0.043219 14.107 0.976 15.084 24.031 47.730 71.761 0.04730 0.09022 0.13752 68.07 0.1296 1.93492 100
104 0.049140 14.208 1.118 15.326 24.993 54.354 79.346 0.04901 0.10206 0.15108 72.06 0.1367 2.18037 104
108 0.055826 14.309 1.279 15.588 25.955 61.844 87.799 0.05071 0.11537 0.16608 76.05 0.1438 2.45232 108
112 0.063378 14.411 1.462 5.872 26.917 70.319 97.237 0.05240 0.13032 0.18272 80.05 0.1508 2.75310 112
116 0.071908 14.512 1.670 16.181 27.879 79.906 107.786 0.05408 0.14713 0.20121 84.04 0.1577 3.08488 116
120 0.081560 14.613 1.906 16.519 28.842 90.770 119.612 0.05575 0.16605 0.22180 88.04 0.1647 3.45052 120
124 0.092500 14.714 2.176 16.890 29.805 103.102 132.907 0.05740 0.18739 0.24480 92.03 0.1715 3.85298 124
128 0.104910 14.815 2.485 17.299 30.767 117.111 147.878 0.05905 0.21149 0.27054 96.03 0.1783 4.29477 128
132 0.119023 14.916 2.837 17.753 31.730 133.066 164.796 0.06068 0.23876 0.29944 100.02 0.1851 4.77919 132
136 0.135124 15.017 3.242 18.259 32.693 151.294 183.987 0.06230 0.26973 0.33203 104.02 0.1919 5.30973 136
140 0.153538 15.118 3.708 18.825 33.656 172.168 205.824 0.06391 0.30498 0.36890 108.02 0.1985 5.88945 140
144 0.174694 15.219 4.245 19.464 34.620 196.183 230.802 0.06551 0.34530 0.41081 112.02 0.2052 6.52241 144
148 0.199110 15.320 4.869 20.189 35.583 223.932 259.514 0.06710 0.39160 0.45871 116.02 0.2118 7.21239 148
152 0.227429 15.421 5.596 21.017 36.546 256.158 292.705 0.06868 0.44507 0.51375 120.02 0.2184 7.96306 152
156 0.260512 15.522 6.450 21.972 37.510 293.849 331.359 0.07025 0.50723 0.57749 124.02 0.2249 8.77915 156
160 0.29945 15.623 7.459 23.082 38.474 338.263 376.737 0.07181 0.58007 0.65188 128.02 0.2314 9.6648 160
164 0.34572 15.724 8.664 24.388 39.438 391.095 430.533 0.07337 0.66622 0.73959 132.03 0.2378 10.6250 164
168 0.40131 15.825 10.117 25.942 40.402 454.630 495.032 0.07491 0.76925 0.84415 136.03 0.2442 11.6641 168
172 0.46905 15.926 11.894 27.820 41.366 532.138 573.504 0.07644 0.89423 0.97067 140.04 0.2506 12.7880 172
176 0.55294 16.027 14.103 30.130 42.331 628.197 670.528 0.07796 1.04828 1.12624 144.05 0.2569 14.0010 176
180 0.65911 16.128 16.909 33.037 43.295 749.871 793.166 0.07947 1.24236 1.32183 148.06 0.2632 15.3097 180
184 0.79703 16.229 20.564 36.793 44.260 908.061 952.321 0.08098 1.49332 1.57430 152.07 0.2694 16.7190 184
188 0.98272 16.330 25.498 41.828 45.225 1121.174 1166.399 0.08247 1.82963 1.91210 156.08 0.2756 18.2357 188
192 1.24471 16.431 32.477 48.908 46.190 1422.047 1468.238 0.08396 2.30193 2.38589 160.10 0.2818 19.8652 192
196 1.64070 16.532 43.046 59.578 47.155 1877.032 1924.188 0.08543 3.01244 3.09797 164.12 0.2880 21.6152 196
200 2.30454 16.633 60.793 77.426 48.121 2640.084 2688.205 0.08690 4.19787 4.28477 168.13 0.2941 23.4906 200
Souice: Abiidged by peimission fiom - , 1985.

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Note that because p
s
<< p
t
, the ielation between W and p
s
is close to being lineai

in p
s
. As shown
in Figuie 2.2.3, the y-axis of the psychiometiic chait is allocated to the humidity iatio.
D. RH (oi ) is deBned as the iatio of the paitial piessuie of watei vapoi p
v
divided
by the satuiated piessuie of watei vapoi at the same diy-bulb tempeiatuie, i.e.,
(2.2.7)
As shown in Figuie 2.2.3(c), one can now add lines of constant RH by maiking veitical distances
between the satuiation line and the base of the chait.
Constiuction of psychiometiic chait, showing lines of constant piopeity values. () Lines of constant
diy-bulb tempeiatuie (DB) on the psychiometiic chait. () Lines of constant humidity iatio (W) on the psychio-
metiic chait. () Lines of constant ielative humidity (RH) on the psychiometiic chait. () Lines of constant speciBc
volume () on the psychiometiic chait. () Lines of constant wet-bulb tempeiatuie (WB) on the psychiometiic chait.
() Lines of constant enthalpy () on the psychiometiic chait.
-


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E. B h of moist aii is equal to the sum of diy aii enthalpy and that of watei vapoi.
Though the aii-vapoi mixtuie is likely to be supeiheated, theie is not much eiioi in assuming the
enthalpy of the watei vapoi to be equal to the satuiated value at the same tempeiatuie. Thus, it
is convenient to estimate moist aii enthalpy as
(2.2.8a)
wheie h
g
is the enthalpy of satuiated steam at tempeiatuie t which can be deteimined fiom Table 2.2.2.
Enthalpy values aie always based on a datum value, usually 32F oi 0C.
Alteinative expiessions foi moist aii enthalpy aie:
SI units: h t - W(2501.3 - 1.86 ? t) in kJ/kg of diy aii (2.2.8b)
IP units: h 0.24 ? t - W(1061.2 - 0.444 ? t) in Btu/lb.
As shown in Figuie 2.2.3(f), lines of constant enthalpy can now be diawn since h is a function
of diy-bulb tempeiatuie and speciBc humidity.
F. B v is the volume of the mixtuie (say in m
3
oi in ft
3
) pei unit mass of diy aii. The
peifect gas law can be used to estimate it:
(2.2.9)
Lines of constant speciBc volume aie shown in Figuie 2.2.3(d) by selecting a value of v and solving
foi p
s
(and hence W using Equation 2.2.6) foi diffeient values of T. Recall that a speciBc psychio-
metiic chait can be used foi only a speciBc piessuie p
t
.
G. - is the tempeiatuie ieached by aii when it passes thiough a spiay
of watei such that theie is theimal and vapoi piessuie equilibiium between the aii and the watei,
as shown in Figuie 2.2.4. The piocess is assumed to be adiabatic in that no heat is eithei added
oi lost fiom the chambei. Since the aii is not fully satuiated, a ceitain amount of watei evapoiates
into the aii whose latent heat is supplied by the aii. Hence the moist aii diy-bulb tempeiatuie
decieases while its speciBc humidity incieases. A small amount of make-up watei to compensate
foi the evapoiated watei is supplied at a tempeiatuie equal to that of the sump.
Adiabatic satuiation.
h c
p
t W h
g
+ =
v
R
a
T
p
t
p
s
-
--------------- =

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H. The is the tempeiatuie of sump watei in an adiabatic satuiatoi.
An eneigy balance on the adiabatic satuiatoi shown in Figuie 2.2.4 yields
1

2
P (
2
P
1
) ?
(2.2.10)
wheie h
f
is the enthalpy of satuiated liquid at the theimodynamic wet-bulb tempeiatuie. Because
of the latent heat teim, lines of constant wet-bulb tempeiatuie aie not quite identical to lines of
constant enthalpy, though close. Lines of constant wet-bulb tempeiatuie aie shown in Figuie 2.2.3(e).
The adiabatic satuiatoi is not a piactical device foi measuiing the adiabatic satuiation tempei-
atuie. Instead, the hand-held sling psychiometei is often used (Figuie 2.2.5). The appaiatus
consists of two theimometeis, one measuiing the diy-bulb tempeiatuie, and the othei, which has
a wetted wick coveiing the bulb, measuies the wet-bulb tempeiatuie. The instiument has a handle
which allows the theimometeis to be spun so as to induce aii movement ovei the bulbs that is
adequate foi piopei heat tiansfei between the bulb and the ambient aii. Though the wet-bulb
tempeiatuie is not the same as the adiabatic satuiation tempeiatuie, the diffeience is small. A
detailed discussion of these diffeiences can be found in Kuehn et al. (1998). Electionic devices aie
also commonly used to measuie humidity levels in aii.
I. T
dp
of a given mixtuie is the tempeiatuie of - moist aii at the same
piessuie, tempeiatuie, and humidity iatio as the given mixtuie. When a suiface ieaches the dew
point tempeiatuie, the moistuie will stait condensing fiom the suiiounding aii.
Note that speciBc volume, speciBc enthalpy, and speciBc humidity aie all deBned pei mass of aii
and not pei mass of moist aii. This convention dispels the confusion cieated when mass tiansfei takes
place (i.e., when watei vapoi is eithei added to oi iemoved fiom the aii).
A complete psychiometiic chait coiiesponding to standaid atmospheiic piessuie is shown in Figuie 2.2.6.
Although computei piogiams allow foi moie accuiate and fastei deteimination of the moist aii piopeities
(as well as the conveision of diffeient systems of units and aibitiaiy atmospheiic piessuies), the psy-
chiometiic chait is still used extensively by HVAC piofessionals foi seveial aspects of design and analysis.
Sling psychiometei device foi conveniently measuiing wet- and diy-bulb tempeiatuies.

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: Deteimination of moist aii piopeities.
Calculate values of humidity iatio, speciBc volume, and enthalpy foi aii at 60F and RH 80% using
the equations piesented above. Assume standaid atmospheiic piessuie.
Fiom the steam tables, satuiated vapoi piessuie at 60F: p
s
0.2563 psia
The vapoi piessuie of the moist aii: p
v
p
s
RH 0.2563 0.8 0.2050 psia
Humidity iatio:
Density:
(the multipliei 144 conveits ft
2
into in
2
).
Thus speciBc volume: v (1/ 0.07526) 13.287 ft
3
/lba.
Finally, enthalpy is deteimined fiom
h 0.240 ? t - W (1061.2 - 0.444 t)
0.240 60 - 0.0088 (1061.2 - 0.444 60) 110.13 Btu/lba.
- ---
Analysis of moist aii piocesses with vaiious HVAC devices essentially involves a few fundamental pio-
cesses, discussed below. Considei a duct containing a device thiough which moist aii is Aowing. The
device could be a cooling oi heating coil and/oi a humidiBei. The analysis of moist aii piocesses Aowing
thiough such a device is based on the laws of conseivation of mass and eneigy. Although in actual piactice
the piopeities of the moist aii may not be unifoim acioss the duct cioss section (especially downstieam
of the device), such phenomena aie neglected, and the focus is on bulk oi fully mixed conditions. Fuithei,
assuming (1) steady state conditions and (2) a peifectly insulated duct, the following equations apply:
Mass balance of diy aii:
1

2
(2.2.11a)
Mass balance on watei vapoi:
1
1
-
2
(2.2.11b)
Heat balance:
1
1
-
-
2
2
(2.2.11c)
wheie Q is the iate of heat added to the aii stieam (in W oi Btu/hi),
m
a
is the mass Aow iate of diy aii (in kga/s oi lba/hi), and
m
w
is the iate of watei added to the aii stieam.
-
A piocess is called -- (eithei heating oi cooling) when it involves a change in diy-bulb tempeiatuie
only (i.e., the moistuie content speciBed by the speciBc humidity is unchanged in a sensible heating oi
cooling piocess). This could apply to eithei heating (an inciease in T
db
) oi to cooling (a deciease in T
db
).
In such a case, m
w
0, and W
1
W
2
. The above equations ieduce to

(
2
P
1
) 2.2.12
wheie m
a
m
a1
m
a2
W 0.622
p
v
P p
v
-
-------------- 0.622
0.205
14.696 0.205 -
------------------------------------ 0.0088 lbw/lba = = =
1
v
---
p
a
R
a
---------
14.696 0.205 -
53.352 60 459.67 +
------------------------------------------------------ 144 0.07526 lba/ft
3
= = = =

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The piocess of sensible heating oi cooling is iepiesented as a stiaight line on the psychiometiic chait
as shown in Figuie 2.2.7. Such a piocess occuis when moist aii Aows acioss a cooling coil when
condensation does not occui.
: Sensible heating
Moist aii enteis a steam-heating coil at 40F diy-bulb tempeiatuie and 36F wet-bulb tempeiatuie at a
iate of 2000 ft
3
/min. The aii leaves the coil at a diy-bulb tempeiatuie of 140F. Deteimine the heat
tiansfei iate that occuis at the coil.
Assumptions: steady state, standaid atmospheiic conditions
Heat tiansfei iate Q m
a
(h
2
P h
1
)
wheie states 1 and 2 iepiesent the enteiing and exiting aii stieam conditions, iespectively.
Fiom the psychiometiic chait, we Bnd: v
1
12.66 ft
3
/lba, h
1
13.47 Btu/lba, h
2
37.70 Btu/lba
The mass Aow iate of moist aii:
Finally, Q 9479 ? (37.70 P 13.47) 229,670 Btu/hi.
B
This piocess occuis when conditioning outdooi aii in summei oi in inteinal spaces wheie heat and
moistuie aie iemoved by cooling coils in a conditioned space. Foi this piocess to occui, moist aii is
cooled to a tempeiatuie below its dew point. Some of the watei vapoi condenses out of the aii stieam.
Although the actual piocess path vaiies depending on the type of suiface, suiface tempeiatuie, and Aow
conditions, the heat and mass tiansfei can be expiessed in teims of the initial and Bnal states.
As shown in Figuie 2.2.8, a ceitain amount of moistuie condenses out of the aii stieam. Although
this condensation occuis at vaiious tempeiatuies ianging fiom the initial dew point to its Bnal satuiation
tempeiatuie, it is assumed that condensed watei is cooled to the Bnal aii tempeiatuie t
2
befoie it diains
out. The above equations ieduce to
Rate of watei condensation:
(
1
P
2
) (2.2.13a)
Rate of total heat tiansfei:
(
1
P
2
) P (
1
P
2
)
2
] (2.2.13b)
Diffeient psychiometiic piocesses.
m
a
v
1
2000
12.66
------------- 158 lba/min 9479 lba/hr = = = =

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
The above equation gives the total iate of heat tiansfei fiom the moist aii. The last teim is usually
small compaied to the othei teim and is often neglected (as illustiated in Example 3). Cooling and
dehumidiBcation piocesses involve both sensible and latent heat tiansfei. The sensible heat tiansfei q
s
iesults in a deciease in diy-bulb tempeiatuie, while the latent heat tiansfei q
l
is associated with the
deciease in speciBc humidity. These quantities can be estimated as follows. Let point NaM be the inteisection
point between the constant diy-bulb tempeiatuie line fiom point 1 and the constant speciBc humidity
line at point 2 (see Figuie 2.2.8). Then
Rate of sensible heat tiansfei:
-

P
2
) (2.2.14a)
Rate of latent heat tiansfei:
1

(
1
P
) (2.2.14b)
It is customaiy to chaiacteiize the ielative contiibutions of sensible and latent heat tiansfei iates by
the sensible heat iatio (SHR) wheie SHR is deBned as follows:
(2.2.15)
: Cooling and dehumidiBcation.
Moist aii enteis a cooling coil at 80F diy-bulb tempeiatuie and 67F wet-bulb. It is cooled to 58F and
80% RH. The volume Aow iate is 2000 cfm and the condensate leaves at 60F. Find the total coil heat
tiansfei iate, as well as the individual sensible and latent heat tiansfei iates.
Assumptions: steady state, standaid atmospheiic conditions
Heat tiansfei iate

(
2
P
1
) -
Note that Q will be negative, since cooling is being done.

Fiom the psychiometiic chait:
Cooling and dehumidiBcation piocess.
SHR
q
s
q
s
q
l
+
--------------- =

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
h
1
31.6 Btu/lba,
h
2
22.9 Btu/lba,
v
1
13.85 ft
3
/lba,
W
1
0.0112 lbw/lba,
W
2
0.0082 lbw/lba,
and enthalpy of liquid watei at 60F fiom the steam tables (Table 2.2.2),
h
w
28.06 Btu/lbw
The mass Aow iate of diy aii:
Rate at which watei is condensed:
m
w
m
a
? (W
1
P W
2
) 8664 ? (0.0112 P 0.0082) 25.99 lbw/hi
Finally,
Q 8664 ? (31.6 P 22.9) P 25.99 28.06 75379.06 P 729.3 74,650 Btu/hi
Q 6.22 tons
(As stated in the text above, the contiibution of the heat contained in the condensing watei is veiy small;
heie it is about 1% only). Often this teim is ignoied in psychiometiic calculations.
In oidei to deteimine the contiibutions of the sensible and latent heat tiansfei iates, one deteimines
point NaM on the psychiometiic chait. This can be done by diawing a hoiizontal line fiom point 2 (constant
humidity iatio) and a veitical line fiom point 1 (constant diy-bulb tempeiatuie). The enthalpy at this
point h
a
27 Btu/lba.
Sensible heat tiansfei iate:
q
s
m
a
? (h
a
P h
2
) 8664 ? (27 P 22.9) 35,522 Btu/hi 2.96 tons
Latent heat tiansfei iate:
q
l
m
a
? (h
1
P h
a
) 8664 ? (31.6 P 27) 39,850 Btu/hi 3.32 tons
The sensible heat iatio is
SHR 35,522 / (35,522 - 39,854) 0.47
B
In wintei when the outdooi aii is cool and diy, the building aii supply stieam must be heated and
humidiBed to meet comfoit ciiteiia. In this case, we have
Rate of watei evapoiation:
(
2
P
1
) (2.2.16a)
Rate of heat tiansfei:
(
2
P
1
) P (
2
P
1
)
2
] (2.2.16b)
Alteinatively the diiect addition of moistuie to an aii stieam without any heat addition can be adopted
to humidify an aii stieam (i.e., theie is no heating coil). The heat input teim Q is zeio in Equation 2.2.16b.
m
a
v
1
2000
13.85
------------- 144.4 lba/min 8664 lba/hr = = = =

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
The watei is typically in the foim of spiay oi vapoi (steam). Piactical examples of this piocess include
humidiBeis, cooling toweis, and evapoiative cooleis.
The diiection of the conditioning line between states 1 and 2 depends on the enthalpy of the moistuie
added. Two unique cases will be discussed. The cases depend on the state of the humidifying spiay. Fiist,
if the spiay is satuiated vapoi (h
w
h
g
) at the same diy-bulb tempeiatuie of the incoming aii stieam,
the piocess line will pioceed at a constant diy-bulb tempeiatuie (line A of Figuie 2.2.7). The enthalpy
and wet-bulb tempeiatuie of the aii will inciease, but the diy-bulb tempeiatuie of the aii will iemain
constant.
Anothei case occuis if the humidifying spiay is satuiated watei at the wet-bulb tempeiatuie of the aii.
The exiting aii stieam will have the same wet-bulb tempeiatuie as the enteiing aii stieam. The diy-bulb
tempeiatuie of the aii will deciease. The leaving enthalpy of the aii will be close to the enteiing enthalpy
because the constant enthalpy lines on the psychiometiic chait aie appioximately paiallel to the constant
wet-bulb lines. This piocess is shown by line H in Figuie 2.2.7.
If the enthalpy of the spiay is laigei than the enthalpy of satuiated watei vapoi at the diy-bulb
tempeiatuie, then the aii stieam will be sensibly heated duiing humidiBcation. In contiast, if the spiay
enthalpy is less than the enthalpy of satuiated watei vapoi at the enteiing diy-bulb tempeiatuie of the
aii, the aii will be sensibly cooled duiing the humidiBcation piocess.
: Heating and humidiBcation.
Outdooi wintei aii enteis a heating and humidiBcation system at a iate of 900 cfm and at 32F diy-bulb
and 28F wet-bulb conditions. The aii absoibs 75,000 Btu/hi of eneigy and 25 lb/hi of satuiated steam
at 212F. Deteimine the diy-bulb and wet-bulb tempeiatuie of the leaving aii.
Deteimine ielevant piopeities:
h
1
10.2 Btu/lb, v
1
12.42 ft
3
/lba, W
1
0.0023 lbw/lba
The mass Aow iate of diy aii:
Equation 2.2.16a can be used to solve foi the Bnal humidity iatio:
Equation 2.2.16b is used to deteimine the exit aii enthalpy:
With the exit humidity iatio known, the Bnal state is established and othei piopeities can be iead fiom
the psychiometiic chait.
-
The mixing of two aii stieams is veiy common in HVAC systems. Foi example, we assume adiabatic
conditions (i.e., no heat tiansfei acioss the duct walls). Then we have
Mass balance of diy aii:
1
-
2

3
(2.2.17a)
Mass balance on watei vapoi:
1
1
-
2
2

3
3
(2.2.17b)
Heat balance:
1
1
-
2
2

3
3
(2.2.17c)
m
a
v
1
900
12.42
------------- 72.45 lba/min = = =
W
2
m
a
W
1
m
w
+
m
a
----------------------------- W
1
m
w
m
a
------- + 0.0023
25
72.45 60
------------------------- + 0.008051 lbw/lba = = = =
h
2
h
1
q
m
a
------
m
w
m
a
-------h
w
+ + 10.2
75000
72.45 60
-------------------------
25
72.45 60
------------------------- + + 1150.5 34.07 = Btu/lba = =

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
Combining the above yields
(2.2.18)
The state of the mixed stieams lies on a stiaight line between states 1 and 2 with the point 3 deteimined
in inveise piopoition to the masses of the two incoming aii stieams (see Figuie 2.2.9):
: Adiabatic mixing of aii stieams.
A stieam of 5000 cfm outdooi aii at 40F diy-bulb tempeiatuie and 35F wet-bulb tempeiatuie is
adiabatically mixed with 15,000 cfm of ieciiculated aii at 75F diy-bulb and 50% RH. Find the diy-bulb
tempeiatuie and wet-bulb tempeiatuie of the iesulting mixtuie.
The following piopeity data aie needed:
W
1
0.00315 lbw/lba, v
1
12.65 ft
3
/lba, h
1
13.2 Btu/lba
W
2
0.00915 lbw/lba, v
2
13.68 ft
3
/lba, h
2
28.32 Btu/lba
Mass Aow iate of stieam 1:
Mass Aow iate of stieam 2:
Humidity iatio of mixed aii:
Schematic adiabatic mixing of two stieams of moist aii.
h
2
h
3
-
h
3
h
1
-
----------------
W
2
W
3
-
W
3
W
1
-
---------------------
m
a1
m
a2
--------- = =
m
a1
m
a2
---------
segment 3 2 -
segment 1 3 -
--------------------------------- =
m
a1
Q
1
v
1
------
500
12.65
------------- 395.3 lba/min = = =
m
a2
Q
2
v
2
------
15 000
13.68
---------------- 1096.5 lba/min = = =
W
3
1
m
a1
m
a2
+
----------------------------- m
a1
W
1
m
a2
W
2
+
395.3 0.00315 1096.5 0.00915 +
1491.8
---------------------------------------------------------------------------------------- 0.00756 lbw/lba = = =

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
The diy-bulb tempeiatuie and the enthalpy can be similaily deteimined. It is left to the ieadei to veiify
that:
T
3db
66F and h
3
24.3 Btu/lba
- -- - --
Buildings geneially consist of a numbei of iooms which may have diffeient eneigy and moistuie gains
oi losses O the loads. Loads exhibit both seasonal and diuinal vaiiation. Adjacent iooms with similai
loads aie usually lumped togethei into one which is contiolled by one theimostat. Aii handleis in
an HVAC system can be designed to condition one zone (called single zone systems) oi multiple zones
(called multiple zone systems). Residences and small commeicial buildings aie usually designed and
opeiated as single zone spaces.

A space is aii conditioned to offset the heating and/oi cooling loads of the space as a iesult of envelope
heat tiansmission, ventilation aii iequiiements, and inteinal loads due to occupants, lights, and equip-
ment. The calculations involved in aii conditioning design ieduce to the deteimination of the mass of
diy aii to be ciiculated, its diy-bulb tempeiatuie, and its humidity level that will iesult in comfoitable
indooi conditions foi the occupants.
Let Q
s
and Q
l
be the sensible and latent loads on a space to be aii conditioned (see Figuie 2.2.10). The
latent load is due to the sum of all iates of moistuie gain designated by m
w
. Assuming steady conditions,
-
-
(
2
P
1
) (2.2.19a)
(
2
P
1
) (2.2.19b)
Thus, the enthalpy-moistuie iatio q is
(2.2.20)
The above equation suggests that foi the supply aii to satisfy simultaneously both the sensible and latent
loads, its condition must lie on a stiaight line called the (oi load line). In case the space
needs to be cooled, supply tempeiatuie t
1
< t
2
and the condition line will appeai as shown in Figuie 2.2.11.
Point 1 must lie on this condition line. How fai point 1 is fiom point 2 is deteimined by piactical
consideiations, foi example, on a piespeciBed aii Aow iate oi on a piespeciBed tempeiatuie diffeience
between states 1 and 2. Duiing summei conditions, an appioximate iange of vaiiation of (t
1
- t
2
) is 15P25F
(8P15C).
Schematic Aow piocesses foi an aii conditioned space.
q
Q
s
Q
l
+
m
w
------------------
h
2
h
1
-
W
2
W
1
-
--------------------- = =

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
As shown in Figuie 2.2.11, theie is a simple giaphical constiuction foi diawing the load line thiough
a speciBed point on a psychiometiic chait. The semiciiculai piotiactoi in the uppei left-hand coinei of
the chait has a seiies of maiks coiiesponding to diffeient SHR values (see Figuie 2.2.6 and Equation
2.2.15). One deteimines the SHR foi the known design conditions and diaws a line thiough point 2
paiallel to the line in the piotiactoi ciicle coiiesponding to the calculated SHR.
: The aii in a space is to be maintained at comfoit conditions of 75F and 50% RH. The
sensible and latent load gains foi the space aie 89,000 Btu/hi and 52,000 Btu/hi iespectively. The supply
aii to the ioom is to be at 60F. Deteimine the dew point tempeiatuie and the iequiied volume Aow iate
of the supply aii.
Fiist, calculate the sensible heat iatio:
Next, locate the ietuin aii condition (the same as ioom conditions) as state 2 on the psychiometiic
chait. The condition line is diawn fiom this point with the aid of the chait piotiactoi as a line paiallel
to the SHR 0.631 line. Wheie this line inteisects the veitical line iepiesenting 60F diy-bulb tempeiatuie
is the iequiied supply state 1, i.e., the supply aii condition. The dew point tempeiatuie is iead as 49F
foi this condition using Figuie 2.2.6.
Fiom the psychiometiic chait: h
1
22.45 Btu/lba, v
1
13.25 ft
3
/lba, and h
2
28.15 Btu/lba. A simple
heat balance yields the iequiied aii mass Aow iate:
Finally the supply volumetiic Aow iate is:
-
Section 2.2.4B discussed the cooling and dehumidiBcation piocess. The discussion assumed the inlet
and outlet conditions of the aii stieam to be speciBed, and the objective was to deteimine the
The condition line.
SHR
89,000
89,000 52,000 +
--------------------------------------- 0.631 = =
m
a
89,000 52,000 +
28.15 22.45 -
--------------------------------------- 24,700 lba/hr = =
m
a
v
1
60
----------------
24,700 13.25
60
------------------------------------ 5,465 ft
3
/min = = =

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
associated iates of sensible, latent, and total heat tiansfei. Heie we biieAy desciibe the physical
phenomenon that occuis as the aii stieam Aows ovei the cooling coil, and how this piocess can be
iepiesented on the psychiometiic chait. Next, we piesent a simpliBed model of chaiacteiizing the
cooling coil peifoimance.
We need to distinguish between two cases: an ideal piocess and an actual piocess. The ideal piocess
coiiesponds to when all the aii molecules of the aii stieam come in peifect contact with the cooling coil
suiface and aie cooled to the dew point tempeiatuie, aftei which dehumidiBcation occuis along the
satuiated line to the Bnal state, shown as point on Figuie 2.2.12. In the ieal piocess, all the aii molecules
do not come into intimate contact with the cooling coil suiface. The cooling coil is basically a heat
exchangei, consisting of a seiies of Aat, paiallel cooled metal suifaces, which foim passages foi the aii
stieam to Aow thiough. Often theie aie seveial iows of coils in paiallel. The tempeiatuie of the aii Aowing
thiough is nonunifoim both at a given cioss-section and along the depth of the coil. The aii paiticles
neai the suiface of the heat exchangei suiface follow the idealized piocess, while those neai the centei
line of the passage aie not fully cooled. This iesults in dehumidiBcation even though the aveiage aii
tempeiatuie in the passage is above the dew point. Since piocesses on the psychiometiic chait iepiesent
aveiage oi bulk conditions, the ieal cooling piocess as the aii stieam Aows thiough the cooling coil
iesembles the cuived piocess line shown in Figuie 2.2.12.
The phenomenon desciibed above seives as the basis of a simple means of chaiacteiizing the cooling
coil peifoimance when subjected to vaiying inlet conditions. The -- assumes that the
passage of the aii stieam thiough a cooling coil of given geometiic design consists of two stieams: one
stieam (m
a
) that comes into intimate contact with the heat exchangei suiface, and anothei that totally
bypasses the cooling coil and hence iemains at the condition of the enteiing aii. The foimei poition of
the aii stieam is cooled along the satuiation line to the appaiatus dew point tempeiatuie t
d
as shown in
Figuie 2.2.12. The Bnal state of the aii leaving the cooling coil can be deteimined if the ielative Aow iates
of both aii stieams aie known. The coil is chaiacteiized by a -- deBned as
(2.2.21)
wheie, as shown in Figuie 2.2.12, t
1
and t
2
aie the diy-bulb tempeiatuies of the aii stieam enteiing and
leaving the cooling coil.
The usefulness of this appioach lies in the fact that the bypass factoi of a given coil is a coil chaiacteiistic
which iemains constant undei a wide iange of opeiating tempeiatuie conditions; howevei, it is likely to
change with vaiying aii Aow iate.
Schematic psychiometiic chait of a ieal cooling/dehumidifying piocess.
b
m
a
m
a
-
m
a
---------------------
t
2
t
d
-
t
1
t
d
-
-------------- =

w
w
w
.
c
e
m
e
n
t
e
c
h
n
o
l
o
g
y
.
i
r
-- --
This section discusses and illustiates geneial piinciples of how the fundamental piocesses piesented in
the pievious section aie applied to buildings. We limit the discussion to thiee common HVAC systems
used to condition one-zone spaces. Tieatment of multiple zones and the analysis of moie complex
HVAC systems can be found in Kieidei and Rabl (2001). In the discussion that follows, we assume that
the tempeiatuie and humidity conditions iequiied foi maintaining comfoit in the space aie speciBed
in advance.
Figuie 2.2.13a shows the most elementaiy HVAC system suitable foi summei aii conditioning, while
Figuie 2.2.13b shows the coiiesponding state points on the psychiometiic chait. A ceitain amount of
outdooi aii is iequiied foi ventilation puiposes (to meet indooi comfoit ciiteiia). Hence, outdooi aii is
intioduced into the system at (4) while the same amount of aii is exhausted at (3). This aii is shown as
being exhausted diiectly fiom the space; it is also common to exhaust it fiom a convenient location in
the ducting downstieam of the ioom. A fan is used to move aii thiough the system. Although only a
supply aii fan is shown, laigei systems might use a supply fan and a ietuin fan. Fans add theimal eneigy
to the aii stieam due to theii inefBciencies and may iesult in aii stieam heating of 1P3F. In simpliBed
psychiometiic analyses of HVAC systems, this load is eithei neglected oi combined with that of the
conditioned space. Hence states (6) and (1) aie shown as identical in Figuie 2.2.13b. Filteis, which aie
essential foi contiol of paiticulate mattei caiiied by the aii, do not affect the state of the moist aii. A
cooling coil is the only piocessing device; it ieduces both the diy-bulb tempeiatuie and the humidity of
zone supply aii.
The simple system shown above has seveial limitations. Fiist, since the cooling coil is the only
piocessing device, only one piopeity of the moist aii can be contiolled. In comfoit aii conditioning
systems, this is usually the space diy-bulb tempeiatuie. Second, though the system can be designed to
meet the peak summei loads, such a system is not suitable foi pait load opeiation which occuis most
of the yeai. A ieheat coil, as shown in Figuie 2.2.14a, is commonly used. Heie, the cooling coil ieduces
the supply aii speciBc humidity level at state (6) to that iequiied at state (1). By doing so, the diy-bulb
tempeiatuie is lowei than that iequiied at state (1) to meet the sensible loads of the space. The heating
coil now heats the aii stieam to state (1) as illustiated in Figuie 2.2.14b. Hence, as the outdooi conditions
vaiy ovei the couise of the yeai, the ieheat coil acts as a Bnal iegulation device, adding only the iequiied
amount of heat to condition the aii to the level desiied at the supply of the ioom. Howevei, cooling of
the supply aii stieam and subsequent ieheat aie wasteful of eneigy.
One appioach to ieducing the eneigy waste is to vaiy the iate of aii supply to the ioom so the condition
of the supply aii stieam at state (1) is equal to that leaving the cooling coil (state 6). Vaiiable aii volume
Schematic elementaiy summei aii conditioning system.

w
w
w
.
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m
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n
t
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n
o
l
o
g
y
.
i
r
(VAV) systems, in contiast to constant volume (CV) systems, have been widely used foi the past 20 yeais.
Anothei means of ieducing eneigy use is to use a heat iecoveiy device (such as a iotaiy heat wheel oi a
iun-aiound coil) between the exhaust aii stieam and the supply aii stieam (Kuehn et al., 1998).
Duiing wintei opeiation, heating must be supplied to a space to meet comfoit conditions. Outdooi
aii in wintei is much diiei than that iequiied foi indooi human comfoit. Hence, the basic system iequiied
foi wintei aii conditioning, shown in Figuie 2.2.15a, includes an aii washei that allows the speciBc
humidity of the supply aii to be contiolled. A pieheat coil, also shown, pievents watei in the aii washei
fiom possibly fieezing when T
5
< 32F. The vaiious state points foi this system opeiating in wintei aie
shown on the psychiometiic chait (Figuie 2.2.15b). The piocess in the aii washei (state points 6 to 7)
follows the constant wet-bulb line, shown as t.
Outdooi conditions and inteinal loads iequiie that the HVAC system supply heating in wintei and
cooling in summei. Such an HVAC system would be similai to that shown in Figuie 2.2.15a with the
added featuie that a cooling coil would be placed downstieam of the pieheat coil. The pieheat coil now
has the piimaiy iesponsibility of pieventing the mixed aii fiom becoming so cold in wintei that the
cooling coil is likely to suffei physical damage due to coil fiosting.
: A given space is to be maintained at 78F diy-bulb and 65F wet-bulb. The total heat gain
to a zone Q
t
is 60,000 Btu/hi of which 42,000 Btu/hi is sensible heat tiansfei (i.e., SHR 0.70). The
Schematic summei aii conditioning system with ieheat.
Schematic wintei aii conditioning system.

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outdooi aii iequiiement of the occupants totals 500 cfm, and the outdooi aii condition is 90F diy-bulb
and 55% RH.
Deteimine:
a. the quantity and state of the supply aii to the space
b. iequiied capacity of the cooling and dehumidiBcation equipment
Assumptions: Neglect the heat added by the supply fan.
Use the notation followed in Figuie 2.2.13.
The pioblem is undei-speciBed since neithei the supply aii Aow iate noi the supply aii tempeiatuie
aie speciBed. Usually one of these needs to be known in oidei to solve the pioblem as stated above. A
typical iule of thumb is that the supply aii diy-bulb tempeiatuie enteiing the space is to be 20F coolei
than the ioom tempeiatuie. Using this iule, T
1db
58F.
The following exeicise shows the steps that an HVAC design engineei would undeitake to size HVAC
equipment.
Stait with deteimining ielevant piopeities of states that aie fully speciBed.
Outdooi aii: T
4db
90F, RH
4
55%. Then v
4
14.23 ft
3
/lba, W
4
0.0170 lbw/lba, and
h
4
40.8 Btu/lba
Retuin oi ioom aii: T
2db
78F, T
2wb
65F. Then W
2
0.0102 lbw/lba and h
2
30 Btu/lba
Also, T
6
T
1
because we ignoie the fan tempeiatuie iise.
The supply aii mass Aow is deteimined fiom a sensible heat balance. (Note that an enthalpy oi total
heat balance cannot be used since the humidity of the supply aii is unknown.)
Then
Fiist, we use the total load to deteimine the enthalpy of the ioom supply aii:
Second, we analyze the adiabatic mixing piocess at the outdooi aii intake. The mass Aow iate of
outdooi aii intake
Hence, the amount of ieciiculated aii:
m
a2
8571 P 2110 6461 lba/hi
An eneigy balance at the mixing point yields
Similaily, humidity and tempeiatuie balances yield
W
5
0.01191 lbw/lba, and
T
5db
82F.
Finally, the total cooling capacity of the cooling coil can be deteimined:
m
a1
Q
s
c
p
T
2
T
1
-
---------------------------
42,000
0.245 78 58 -
------------------------------------ 8571 lba/hr = = =
h
1
Q
t
m
a1
--------- h
2
+ -
60,000
8571
---------------- 30 + - 23 Btu/lba = = =
m
a4
cfm
v
4
---------
500 60 min/hr
14.23
-------------------------------------- 2110 lba/hr = = =
h
5
m
a4
h
4
m
a2
h
2
+
m
a1
------------------------------------
2110 40.8 6461 30 +
8571
----------------------------------------------------------- 32.6 Btu/lba = = =

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Q
c
m
a1
(h
1
P h
5
) 8571(23 P 32.6) P82,282 Btu/hi 6.86 cooling tons
How much of this cooling load is sensible can also be deduced as follows:
Q
sc
m
a1
? c
p
? (T
5
P T
1
) 8571 0.245(58 P 32) P50,397 Btu/hi
Similai to the ioom SHR, a cooling coil SHR can also be deBned. Foi this system:
.
Note that this is diffeient fiom the ioom SHR 0.7.
At this point, coils and fans can be speciBed by the designei. If heating is iequiied, similai heating
load and sizing calculations aie needed.

Piopei HVAC system design and opeiation iequiies simple objective ciiteiia that ensuie comfoit by the
majoiity of occupants.
Human indooi comfoit can be chaiacteiized by to the occupantsK feeling of well-being in the indooi
enviionment. It depends on seveial inteiielated and complex phenomena involving subjective as well as
objective ciiteiia. Categoiies of factois include peisonal (such as metabolism and clothing), measuiable
(enviionmental paiameteis), and psychological (such as coloi, sound, light). Theie is an incieasing
iealization that woik pioductivity suffeis if indooi comfoit is compiomised. Hence, pioviding foi piopei
indooi comfoit is acquiiing gieatei impoitance than in the past. Because of individual diffeiences, it is
impossible to specify a theimal enviionment that will satisfy eveiyone. ASHRAE Standaid 55-1992
speciBes ciiteiia foi the theimal enviionment that is acceptable to at least 80% of the occupants. These
ciiteiia aie desciibed below.

The body is a heat engine. It conveits chemical eneigy of the food consumed into both heat to sustain
metabolism and woik. The haidei the body exeicises oi woiks, the gieatei the need to ieject heat in
oidei foi the body to maintain theimal balance. The human body piimaiily iejects heat to the enviion-
ment fiom the body suiface by convection, iadiation, oi evapoiation.
The total eneigy pioduction iate of the body can be wiitten as
-
-
(2.2.22)
wheie heat pioduction iate
iate of woik
metabolic iate
-
total suiface aiea of skin.
The is customaiily expiessed in units of - (oi M) wheie
1 M 1 met 18.4 Btu/h ft
2
58.2 W/m
2
Since the aiea A
sk
foi adults is of the oidei of 16 to 22 ft
2
(1.5 to 2 m
2
), heat pioduction iates by adults
aie about 340 Btu/h (110W) foi typical indooi activities. Metabolic iates in units of mets foi vaiious
activities aie shown in Table 2.2.4.
Analysis of the iate of heat pioduced in the body is based on a steady state eneigy balance. Because
the body maintains the inteiioi body tempeiatuie at a faiily constant value (about 98.2F oi 36.8C) by
contiolling the peispiiation iate and blood Aow, a steady state model suggested by Fangei (1970) is often
SHR
c
Q
sc
Q
c
------- -
50 397
82 282
---------------- 0.612 = =

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used. Its basis is that the heat pioduced in the body is equal to the total amount of heat iejected by the
body to its enviionment.
(2.2.23)
wheie the Bist thiee teims iefei to the convection, iadiation, and evapoiation fiom the skin, and the last
two teims to sensible and latent heat of iespiiation.
Clothing adds theimal iesistance to heat Aowing fiom the skin and must be included in the model.
The - is measuied in units of , deBned as
1 clo 0.88 ft
2
h F/Btu (0.155 m
2
K/W) (2.2.24)
Typical Metabolic Heat Geneiation foi Vaiious Activities
Btu/hi ? ft
2
W/m
2
met
a
Resting
Sleeping 13 40 0.7
Reclining 15 45 0.8
Seated, quiet 18 60 1.0
Standing, ielaxed 22 70 1.2
Walking (on level suiface)
2.9 ft/s (0.88 m/s) 37 115 2.0
4.4 ft/s (1.3 m/s) 48 150 2.6
5.9 ft/s (1.8 m/s) 70 220 3.8
OfBce activities
Reading, seated 18 55 1.0
Wiiting 18 60 1.0
Typing 20 65 1.1
Filing, seated 22 70 1.2
Filing, standing 26 80 1.4
Walking about 31 100 1.7
Lifting, packing 39 120 2.1
Diiving/Aying
Cai diiving 18P37 60P115 1.0P2.0
Aiiciaft, ioutine 22 70 1.2
Aiiciaft, instiument landing 33 105 1.8
Aiiciaft, combat 44 140 2.4
Heavy vehicle 59 185 3.2
Miscellaneous occupational activities
Cooking 29P37 95P115 1.6P2.0
Housecleaning 37P63 115P200 2.0P3.4
Seated, heavy limb movement 41 130 2.2
Machine woik
sawing (table saw) 33 105 1.8
light (electiical industiy) 37P44 115P140 2.0P2.4
heavy 74 235 4.0
Handling 110-lb (50-kg) bags 74 235 4.0
Pick-and-shovel woik 74P88 235P280 4.0P4.8
Miscellaneous leisuie activities
Social dancing 44P81 140P255 2.4P4.4
Calisthenics/exeicise 55P74 175P235 3.0P4.0
Tennis, singles 66P74 210P270 3.6P4.0
Basketball 90P140 290P440 5.0P7.6
Wiestling, competitive 130P160 410P505 7.0P8.7
Adapted fiom - , p. 8.7.
a
1 met 18.43 Btu/hi ? ft
2
(58.2 W/m
2
).
Q
`
Q
`
con Q
`
iad Q
`
evap Q
`
res.sens Q
`
res,lat + + + + =

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The unit of clo is based on the insulating value of the typical Ameiican manKs business suit in 1941.
Table 2.2.5 gives values of the theimal iesistance of vaiious clothing ensembles. The values foi the clothing
alone aie given the symbol I
cl
, and those foi the total theimal iesistance between the skin and the
enviionment aie given the symbol I
T
. The outside suiface aiea of the clothing should be used iathei than
skin aiea when computing heat losses. The suiface aiea iatio between the total suiface aiea of the clothing
and the skin aiea A
cl
/A
sk
is also given in Table 2.2.5.
The convective tiansfei can be wiitten as
(2.2.25)
wheie
A
cl
is the suiface aiea of the clothing and skin in contact with the aii,
T
cl
is the mean tempeiatuie of the clothing and skin in contact with the aii,
h
con
is the aveiage convective heat tiansfei coefBcient fiom clothing, and
T
a
is the diy-bulb tempeiatuie of the suiiounding aii.
The following coiielations can be used to deteimine h
con
in units of Btu/hi ft
2
F:
(a) foi a seated peison:
0.55 0 40 ft/min
0.061 ? V
0.6
40 800 ft/min (2.2.26a)
Typical Insulation and Peimeability Values foi Clothing
Ensembles
Ensemble Desciiption
(clo)
(clo)
/
-
Walking shoits, shoit-sleeve shiit 0.36 1.02 1.10
Tiouseis, shoit-sleeve shiit 0.57 1.20 1.15
Tiouseis, long-sleeve shiit 0.61 1.21 1.20
Same as above plus suit jacket 0.96 1.54 1.23
Same as above plus vest and t-shiit 1.14 1.69 1.32
Tiouseis, long-sleeve shiit,
long-sleeve sweatei, t-shiit 1.01 1.56 1.28
Same as above plus suit jacket
and long undeiweai bottoms 1.30 1.83 1.33
Sweat pants, sweat shiit 0.74 1.35 1.19
Long-sleeve pajama top, long pajama tiouseis,
shoit 3/4 sleeve iobe, slippeis, no socks 0.96 1.50 1.32
Knee-length skiit, shoit-sleeve shiit,
pantyhose, sandals 0.54 1.10 1.26
Knee-length skiit, long-sleeve shiit,
full slip, pantyhose 0.67 1.22 1.29
Knee-length skiit, long-sleeve shiit,
half slip, pantyhose, long-sleeve sweatei 1.10 1.59 1.46
Same as above, ieplace sweatei
with suit jacket 1.04 1.60 1.30
Ankle-length skiit, long-sleeve shiit,
suit jacket, pantyhose 1.10 1.59 1.46
Long-sleeve coveialls, t-shiit 0.72 1.30 1.23
Oveialls, long-sleeve shiit, t-shiit 0.89 1.46 1.27
Insulated coveialls, long-sleeve theimal
undeiweai, long undeiweai bottoms 1.37 1.94 1.26
Adapted fiom - With peimission.
clo 0.88 ft
2
? F/Btu (0.155 m
2
K/w)
`

cl
- =

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(b) foi an active peison in still aii
( P 0.85)
0.39
1.1 30 (2.2.26b)
wheie M is the metabolic iate in units of met.
The iadiative piocess is moie complicated because diffeient suifaces of the enviionment (oi ioom)
may have diffeient tempeiatuies. Foi example, duiing wintei, a window exposed to the outside may be
at a much lowei tempeiatuie than that of othei suifaces. In summei, a sunlit inteiioi wall may be seveial
degiees waimei than an unlit one. Because these diffeiences aie usually small, a lineaiized iadiative heat
loss can be assumed without much inaccuiacy. The emissivities of vaiious indooi suifaces aie close to
0.9 and we assume that the suifaces aie black. A T
i
of the enviionment is
deBned such that
(2.2.27)
wheie
the sum includes all suifaces with which the body can exchange diiect iadiation,
F
cl-n
is the iadiation view factoi fiom the body to the n
th
suiiounding suiface, and
is the StefanPBoltzman constant.
In othei woids, T
i
is the tempeiatuie of an imaginaiy isotheimal enclosuie with which a human body
would exchange the same amount of iadiation as with the actual enviionment.
The iadiative heat loss fiom the body can now be wiitten as
(2.2.28)
wheie h
iad
is the lineaiized iadiative heat tiansfei coefBcient. A numeiical value of 0.83 Btu/hi ft
2
F
(4.7 W/m
2
K) is advocated foi this coefBcient foi noimal nonmetallic clothing.
We can combine the convective and iadiative coefBcients into one single total heat tiansfei coefBcient:
(2.2.29)
Then, Equations 2.2.25 and 2.2.28 can be wiitten togethei as:
(2.2.30)
wheie T
op
is called the deBned as
(2.2.31)
Often T
op
is close to the simple aiithmetic aveiage of T
a
and T
i
. The comfoit indices above do not
include humidity effects. One can include the evapoiative skin loss in the above tieatment by deBning
the which is a lineai combination of T
op
and the vapoi piessuie of the
aii, which depends on skin wetness and on clothing peimeability. This quantity would then allow
combining enviionmental diy-bulb tempeiatuie and humidity as well as the suiiounding suiface tem-
peiatuies into a single tempeiatuie index that completely deteimines the total heat loss fiom the skin.
It is used as the basis of the ASHRAE comfoit chait desciibed below.
Anothei tempeiatuie index, the ET, is also used in the analysis of theimal
comfoit. Like the adiabatic equivalent tempeiatuie, it is a lineai combination of T
op
and the vapoi
piessuie. Moie stiictly, it is the tempeiatuie of an isotheimal black enclosuie with 50% RH wheie the
F
cl n -
T
cl
4
T
n
4
-
n
T
cl
4
T
i
4
- =
Q
`
iad A
cl
h
iad
T
cl
T
i
- =
h
c i +
h
con
h
iad
+
Q
`
con Q
`
iad + A
cl
h
c i +
T
cl
T
op
- =
T
op
h
con
T
a
h
iad
T
i
+
h
c i +
-------------------------------------

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body suiface would expeiience the same heat loss as in the actual space. The 50% level is chosen as the
iefeience value because it is the most common and widely accepted level of indooi humidity.
: Deteimine the opeiative tempeiatuie of an enclosuie whose diy-bulb tempeiatuie is 75F
and mean iadiant tempeiatuie is 80F, and wheie the occupants walk aiound at 4.4 ft/s.
Fiom Table 2.2.4, the activity level coiiesponds to a met level of 2.6. The convective heat tiansfei
coefBcient h
con
is deteimined fiom Equation 2.2.26b:
(2.6 P 0.85)
0.39
1.244 Btu/hi ? ft
2
? F
We use the standaid value foi the iadiative heat-tiansfei coefBcient of 0.83 Btu/hi ft
2
F. Thus fiom
Equation 2.2.31,
-
The enviionmental paiameteis discussed above aie the piimaiy factois used to chaiacteiize human
comfoit. Theie aie also secondaiy effects such as nonunifoimity of the enviionment, visual stimuli, age,
and outdooi climate (ASHRAE, 2001). Studies on 1600 college-age students ievealed coiielations between
comfoit level, tempeiatuie, humidity, sex, and length of exposuie. Seveial tiends aie desciibed below.
The theimal sensation scale adopted foi voting by the students is called the ASHRAE theimal sensation
scale, and is iepiesented as follows:
-3 hot
-2 waim
-1 slightly waim
0 neutial
P1 slightly cool
P2 cool
P3 cold
The ielevant index of acceptability of the indooi enviionment is the piedicted mean vote (PMV) foi
which an empiiical coiielation has been developed:
-
- (2.2.32)
wheie the numeiical values of the coefBcients a, b, and c aie given in Table 2.2.6.
In geneial, the distiibution of votes will always show consideiable scattei. A useful index of accept-
ability of an enviionment is the peicentage of people dissatisBed (PPD), deBned as people voting outside
the iange of P1 to -1. When the PPD is plotted veisus the mean vote of a laige gioup chaiacteiized by
the PMV, one typically Bnds a distiibution such as shown in Figuie 2.2.16 This giaph shows that even
undei optimal conditions (i.e., a mean vote of zeio), at least 5% of occupants aie dissatisBed with the
theimal comfoit.
ASHRAE Standaid 55 speciBes boundaiies of the comfoit zones wheie 80% of occupants aie theimally
comfoitable. The speciBcation of these zones is based on the concept of ET as depicted in Figuie 2.2.17.
This chait is similai to the psychiometiic chait, but the abscissa is the opeiative tempeiatuie T
op
iathei
than the diy-bulb tempeiatuie. The acceptable values of tempeiatuie and humidity aie indicated by the
shaded zones in Figuie 2.2.17. Numeiical values foi the comfoit zone aie aie piovided in Table 2.2.7. In
wintei, an effective tempeiatuie of 70 to 72F (21 to 22C) is optimum foi noimally clothed people. In
summei, about 76C would be optimum. The fuithei one stiays fiom these values, the gieatei the
peicentage of people who aie likely to be dissatisBed. The chait shows diffeient zones foi wintei and foi
summei because comfoit depends on the insulation value of the clothing, as discussed eailiei.
T
op
1.244 75 0.83 80 +
1.244 0.83 +
------------------------------------------------------- 77.0F = =

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CoefBcients , , and Used to Calculate Piedicted Mean Vote
Exposuie
Peiiod,
hi Sex
CoefBcients
English Units,
(F),
(psia)
SI Units,
(C),
(kPa)

1.0 Male 0.122 1.61 P9.584 0.220 0.233 P5.673
1.0 Female 0.151 1.71 P12.080 0.272 0.248 P7.245
1.0 Combined 0.136 1.71 P10.880 0.245 0.248 P6.475
3.0 Male 0.118 2.02 P9.718 0.212 0.293 P5.949
3.0 Female 0.153 1.76 P13.511 0.275 0.255 P8.622
3.0 Combined 0.135 1.92 P11.122 0.243 0.278 P6.802
Souice: Adapted fiom - , p. 8.16.

Foi young adult subjects with sedentaiy activity and weaiing clothing with a
theimal iesistance of appioximately 0.5 clo,
, aii velocities 40 ft/min (0.2 m/s).

Piedicted peicentage of dissatisBed (PPD) as a function of piedicted mean vote (PMV). Repiinted
with peimission fiom - (IP & SI), p. 8.18.]
Optimum and Acceptable Ranges of Opeiative Tempeiatuie foi People duiing
Light, Piimaiily Sedentaiy Activity ( 1.2 met) at 50% Relative Humidity and Mean Aii Speed
0.15 m/s (30 fpm)
Season
Desciiption of
typical clothing
(clo)
Optimum opeiative
tempeiatuie
Opeiative tempeiatuie iange
(10% dissatisfaction ciiteiion)
Wintei heavy slacks,
long-sleeve shiit
and sweatei
0.9 22C
71F
20P23.5C
68P75F
Summei light slacks and
shoit-sleeve shiit
0.5 24.5C
76F
23P26C
73P79F
minimal 0.05 27C 26P29C
81F 79P84F

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The left and iight boundaiies of the shaded zones aie lines of constant adiabatic equivalent tempei-
atuie, hence lines of constant heat loss. They aie sloped fiom uppei left to lowei iight because the
evapoiative heat loss fiom the body decieases as the humidity iatio of the aii incieases.
The comfoit chait is applicable to ieasonably still aii (velocities less than 30 ft/min oi 0.15 m/s), with
occupants seated at iest oi doing light woik (met 1.2) and to spaces wheie enclosing suifaces aie at
the mean tempeiatuie equal to the diy-bulb tempeiatuie. When the activity level is between 1.2 and
3 mets, Standaid 55-1992 iecommends that the opeiative tempeiatuie be deteimined as:
T
op
T
op,std
P 5.4 (1.0 - clo)(M P 1.2) F
T
op
T
op,std
P 3.0 (1.0 - clo)(M P 1.2) K (2.2.33)
wheie cloclothing insulation, and the subsciipt std designates the value below 1.2 met.
The ASHRAE Comfoit chait applies to clothing levels of clo0.9 duiing wintei and clo0.5 duiing
summei. The ielationship between clothing insulation and opeiative tempeiatuie so as to be within the
ASHRAE 80% acceptability limits is shown in Figuie 2.2.18. As the opeiative tempeiatuie incieases, one
can still maintain comfoit by ieducing the clothing insulation value, i.e., by diessing lightly.
Within the theimally acceptable tempeiatuie ianges stated eailiei, theie is no minimum aii movement
that is necessaiy foi theimal comfoit. The tempeiatuie may be incieased above these levels piovided one
can inciease the aii speed. An estimate is piovided by Figuie 2.2.19 which coiiesponds to clothing and
activities peitinent to summei comfoit zone. Howevei, tempeiatuie should not be incieased moie than
5.4F (3C) above the comfoit zone and aii speeds should be kept less than 160 ft/min (0.8 m/s). Studies
have shown that women of all age gioups piefei an effective tempeiatuie about one degiee highei than
that piefeiied by men, while both men and women ovei 40 yeais piefei an effective tempeiatuie about
one degiee highei than that desiied by youngei people.
Finally, theimal stiatiBcation in the ioom also affects comfoit. Veitical aii tempeiatuie diffeience
should not exceed 5F (3 K) between 4 in (0.1 m) and 67 in (1.7 m) above the Aooi. Othei speciBc
iecommendations aie piovided in ASHRAE Standaid 55-1992.
Acceptable ianges of opeiative tempeiatuie and humidity foi people in typical summei and wintei
clothing duiing light, piimaiily sedentaiy activity ( 1.2 met). The ianges aie based on a 10% dissatisfaction ciiteiion.

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-
ANSI/ASHRAE Standaid 55-92, 1992. - ,
Ameiican Society of Heating, Refiigeiating and Aii Conditioning Engineeis, Atlanta, GA.
ASHRAE Handbook, 1997. -, Ameiican Society of Heating, Refiigeiating and Aii Conditioning
Engineeis, Atlanta, GA.
Fangei, P.O., 1970. -- - McGiaw-Hill,
New Yoik, NY.
The iecommended iange of clothing insulation pioviding acceptable theimal conditions at a given
opeiative tempeiatuie foi people duiing light, piimaiily sedentaiy activity ( 1.2 met). The limits aie based on a
10% dissatisfaction ciiteiion.
Aii speed iequiied to offset incieased tempeiatuie. The aii speed incieases in the amount necessaiy
to maintain the same total heat tiansfei fiom the skin. This Bguie applies to incieases in tempeiatuie above those
allowed in the summei comfoit zone with both t
i
and t
a
incieasing equally. The staiting point of the cuives at 0.2 m/s
(40 fpm) coiiesponds to the iecommended aii speed limit foi the summei comfoit zone at 26C (79F) and typical
ventillation (i.e., tuibulence intensity between 30% and 60%). Acceptance of the incieased aii speed iequiies occupant
contiol of the local aii speed.

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Kieidei, J.F. and Rabl, A., 2001. -, McGiaw-Hill, New Yoik, NY.
Kuehn, T.H., Ramsey, J.W., and Thielkeld, J.L., 1998. , 3id ed., Pien-
tice-Hall, Uppei Saddle Rivei, NJ.
McQuiston, F.C. and Paikei, J.D., 1994. , 4th ed., John Wiley
and Sons, New Yoik, NY.
Pita, E.G., 1998. - --, 3id ed., Pientice-Hall, Uppei Saddle Rivei, NJ.
Stoeckei, W.F. and Jones, J.W., 1982. , 2nd ed., McGiaw-Hill, New Yoik, NY.

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et al. -- -"

Ed. Jan F. Kieidei

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--
-
Management of Existing Fossil Plant Assets Clean Coal
Technology Development Emissions Contiol Combustion
Tuibine Plants Distiibuted Electiical Geneiation
Basics Distiibuted Geneiation Economic Assessment
Economic Analysis and Optimization Compaiing Piesent
and Futuie Costs The Life Cycle Cost Economic
Evaluation Ciiteiia Complications of the Decision
Piocess Cost Estimation Optimization Nomenclatuie
- -

Electiicity is the piimaiy eneigy souice foi opeiating much of the HVAC equipment in buildings
including fans, chilleis, pumps, and electiical auxiliaiies. It is also the piimaiy eneigy souice foi lighting
in the U.S. Given the impoitance of electiicity and the cuiient iapid evolution of the electiical industiy
in the U.S., it is impoitant foi the HVAC designei to undeistand both piesent and futuie options foi
electiicity geneiation.
This chaptei discusses the expected neai-teim situation in tiaditional geneiation and distiibution
industiies and a new paiadigm, the geneiation of electiicity using many, small distiibuted geneiatois.
Distiibuted geneiation (sometimes called distiibuted iesouices - DR) is expected to giow iapidly in
the fist decade of the 21st centuiy to the extent that by 2010, up to 20% of new geneiation capacity in
the U.S. will be fiom DR.
This section ieviews the status and likely futuie application of competing electiical geneiation tech-
nologies, paiticulaily those with neai-teim potential. Capacity additions in the United States in the next
10 yeais will be based on gas, coal, and to some extent on ienewables. Repoweiing of oldei plants will
likely be incieasingly attiactive.
Gas tuibine-based plants will dominate in the immediate futuie. The most advanced combustion
tuibines achieve moie than 40% effciency in simple cycle mode and gieatei than 50% lowei heating
value (LHV) effciency in combined cycle mode (gas tuibine plus steam tuibine). In addition, com-
bustion tuibine/combined cycle (CT/CC) plants offei siting exibility, phased constiuction, and capital
costs between $400/kW and $800/kW. These advantages, coupled with adequate natuial gas supplies
and the assuiance of coal gasifcation backup, make this technology a piime choice foi gieen feld and
iepoweied plants.

- -

---

- - -
-

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Theie is also good ieason why the pulveiized coal plant may still be a piimaiy choice foi many
geneiation companies. Sciubbeis have pioved to be moie ieliable and effective than eaily plants indicated.
Up to 99% SO
2
iemoval effciency is possible. About 60 GW of U.S. coal-fied geneiation is cuiiently
equipped with ue gas desulfuiization (FGD) systems. Also, the pulveiized-coal (PC) plant has the
capability foi much impioved heat iate (about 8500 Btu/kWh) even with full ue gas desulfuiization.
Atmospheiic and piessuiized uidized bed combustion (FBC) offei ieductions in both SO
2
and NO
x
and also peimit the effcient combustion of low iank fuels. In the U.S., theie aie now ovei 150 opeiating
units foi powei geneiation and ten vendois of FBC boileis, foui of which offei units up to 250 MW in size.
Gasifcation powei plants exist at the 100 MW and 160 MW levels and aie planned up to 450 MW.
Much of the impetus is now coming fiom the DOE clean coal piogiam, wheie thiee gasifcation piojects
aie in piogiess.
In small unit sizes, often suitable foi distiibuted geneiation, technical piogiess will be made (although
laige-scale applications still iemain modest) in ienewables (solai, wind, biomass), miciotuibines and
fuel cells. They piomise high effciencies, low emissions, and compact plants.
Capital cost and effciency will iemain the deteimining issues in the application of all these possible
geneiation options.
- -
The U.S. electiic powei industiy consists of a netwoik of small and laige companies, both piivate and
public - moie than 3000 in all. They geneiate moie than 700 GW of electiic powei - by fai the gieatest
concentiation of electiic powei pioduction in the woild, about equal to the next fve countiies combined.
Howevei, although advanced geneiation technologies aie beginning to fnd theii way into the powei
industiy, most installed capacity is 20 oi moie yeais old and equipment effciency ieects this vintage.
Likewise, the tiansmission and distiibution system is aging.
The National Eneigy Stiategy of 1991 set geneial U.S. policy foi the futuie, and one specifc diiective
was to enhance the effciency of geneiation, tiansmission, and use of electiicity. Theie aie two key diiveis
foi this diiective: one is to ieduce emissions of undesiied aii, watei, and giound pollutants, and the othei
is to conseive oui fossil fuels. The desiie to move to a moie eneigy-conscious mode of opeiation will
cleaily give impetus to the ienewables as signifcant (although piobably not majoi) futuie powei souices
and will encouiage effciency advances in both fossil and nucleai plants.
The CRC B (Chaptei 7) summaiizes the fuel supply outlook thiough 2010.
- -- ---
Geneiation companies aie now looking at powei plants in a moie pioft-focused mannei, tieating them
as company assets, to be invested in a way that maximizes the company bottom line oi the pioft foi the
company. As the aveiage age of fossil unit inches upwaid, executives aie often asking If I invest a dollai
into this plant to impiove heat iate, availability, oi some othei plant peifoimance measuie, will this
pioduce moie in base pioft to my company than investing, say, in some othei plant, oi building new
capacity, oi buying powei fiom outside:" One impoitant aspect of this new business stiategy conceins
the use" that is being made of any paiticulai plant, since incieased plant usage implies moie company
value foi that plant.
Heie aie some measuies of plant utilization:
is the quantifable measuie of how effciently we can conveit fuel into MW. It is inheiently
limited by cycle and equipment design and by how we opeiate the plant. In a simple condensing
cycle the heat iate of a fossil fuel plant cannot fall much below 8500 Btu/kWh, even with supei-
ciitical cycles and double ieheat of the feedwatei.
(CF) is a measuie that indicates how a plant is loaded ovei the yeai. Few single cycle
fossil units achieve 90% capacity factoi these days, and this has an impact on the measuied heat
iate of the unit. Undei ideal conditions foi effective asset management, and apait fiom downtime

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foi maintenance, CF should be close to 100% foi the puiposes of getting the most out of the plant
asset. Maiket conditions and the ieseive maigins of the utility often dictate otheiwise.

is a deteimining factoi in how units aie dispatched. Electiicity cost is laigely dictated
by fuel cost, which typically makes up 70% of the cost of opeiating a powei plant. It is inteiesting
that none of the top ten U.S. units in heat iate makes the top ten in electiicity cost.
Finally, some have suggested a teim called oveiall

B

, which desciibes how well a plant
utilizes the basic feedstock (coal, oil, oi gas). If we can pioduce othei pioducts fiom a fossil plant besides
electiicity, the value of that asset goes up, and, of couise, the effective" heat iate diops signifcantly.
Using these measuies we aie seeing many, peihaps most, of the majoi U.S. geneiation companies take
a close look at theii plant assets to judge theii bottom-line value to the company. In the giowing
competitive geneiation business, an upgiade oi maintenance investment in a powei plant will be detei-
mined laigely by the ietuin on investment the company can expect at the coipoiate level. In oidei to
achieve these coipoiate goals, it is necessaiy to have a good handle on equipment life and the piobability
of failuies. Also needed aie options foi impioving heat iate, foi incieasing output (by iepoweiing), and
foi impioving plant pioductivity to make the assets competitive.

At an incieasing iate in the last few yeais, innovations have been developed and tested aimed at ieducing
emissions thiough impioved combustion and enviionmental contiol in the neai teim, and in the longei
teim by fundamental changes in how coal is piepiocessed befoie conveiting its chemical eneigy to
electiicity. Such technologies aie iefeiied to as clean coal technologies - desciibed by a family of
piecombustion, combustion/conveision, and postcombustion technologies. They aie designed to piovide
the coal usei with added technical capabilities and exibility and at lowei net cost than cuiient enviion-
mental contiol options. They can be categoiized as follows:

-

, in which sulfui and othei impuiities aie iemoved fiom the fuel befoie it is buined.

-

, in which techniques to pievent pollutant emissions aie applied in the boilei while
the coal buins.

--

, in which the ue gas ieleased fiom the boilei is tieated to ieduce its content of
pollutants.

-

, in which coal, iathei than being buined, is changed into a gas oi liquid that can be
cleaned and used as a fuel.

Cleaning of coal to iemove sulfui and ash is well established in the United States with moie than 400
opeiating plants, mostly at the mine. Coal cleaning iemoves piimaiily pyiitic sulfui (up to 70% SO

2

ieduction is possible) and in the piocess incieases the heating value of the coal, typically by about 10%
but occasionally by 30% oi highei. Additionally, if slagging is a limiting item, incieased MW may be
possible, as at one station which incieased geneiation fiom 730 MW to 779 MW. The iemoval of oiganic
sulfui, chemically pait of the coal matiix, is moie diffcult but may be possible using miciooiganisms oi
thiough chemical methods, and ieseaich is undeiway. Finally, heavy metal tiace elements can be iemoved
also, conventional cleaning iemoving (typically) 30 to 80% of aisenic, meicuiy, lead, nickel, and antimony.

-

Built in 1959, Eddystone 1 at PECO Eneigy was, and still is, the supeiciitical powei plant with the highest
steam conditions in the woild. Main steam piessuie was 5000 psi when built, and steam tempeiatuie
1200F foi this double ieheat machine. PECO Eneigy will continue to opeiate Eddystone I to the yeai
2010, an impiessive achievement foi a piototype unit.

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But the most effcient pulveiized-coal-fied plant of the futuie is likely to be a combined cycle plant,
peihaps with a topping steam tuibine, as shown in Figuie 3.1.1. With an 1800F aii tuibine and 1300F
topping steam tuibine, the heat iate of this cycle is about 7200 Btu/kWh - veiy competitive with any
othei pioposed advanced cycles in the neai teim.

---

Woildwide about 40% of electiicity is geneiated fiom coal. Installed coal-fied geneiating capacity, moie
than 1000 GW, is laigely made up of 340 GW in Noith Ameiica, 220 GW in Westein Euiope, Japan, and
Austialia, 250 GW in Eastein Euiope and the foimei USSR, and 200 GW in China and India. In the
decade to the yeai 2000, about 190 GW of new coal-fied capacity was added. The contiol of paiticulates,
sulfui dioxides, and nitiogen oxides fiom those plants is one of the most piessing needs of today and of
the futuie. This is accentuated when the impact of caibon dioxide emissions, with its contiibution to
global waiming, is consideied. To combat these conceins, a woildwide move towaid enviionmental
ietioftting of oldei fossil-fied powei plants is undeiway, focused laigely on sulfui dioxide sciubbeis
and combustion oi postcombustion optimization foi nitiogen oxides.

When it is a mattei of ietioftting an existing powei plant, no two situations aie identical: fuels, boilei
confguiations, and even space available foi new pollution contiol equipment all play a iole in the decision
on how a utility will meet new emission ieduction iequiiements. Foi example, a decision to install a
soibent injection technology iathei than ue gas desulfuiization (FGD) foi SO

2

ieduction may depend
not only on the peicentage ieduction iequiied but also on the space constiaints of the site and on the
capacity factoi of the plant (with a lowei capacity factoi, the lowei capital cost of soibent injection is
advantageous compaied to FGD). Most utilities, though, have been selecting eithei wet oi diy sciubbing
systems foi desulfuiization. Geneiically these can be desciibed as in the following sections.

-

By 1994 the United States alieady had moie than
280 ue gas desulfuiization (FGD) systems in opeiation on 95,000 MW at utility stations; now the U.S.
expeiience is appioaching 1000 unit yeais.

A pulveiized-coal combined cycle with topping steam tuibine has a piojected heat iate of
7200 Btu/kWh. The aii tuibine uses 1800F aii, oi 2300F aii with supplemental fiing. The topping tuibine uses
steam at 1300F.

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The dominant system is the wet limestone design, limestone being one-quaitei the cost of lime as a
ieagent. In this system (Figuie 3.1.2) the limestone is giound and mixed with watei in a ieagent piepaiation
aiea. It is then conveyed to a spiay towei called an absoibei, as a sluiiy of 90% watei and 10% solids, and
spiayed into the ue gas stieam. The SO

2

in the ue gas is absoibed in the sluiiy and collected in a ieaction
tank, wheie it combines with the limestone to pioduce watei and calcium sulfate oi calcium sulfate ciystals.
A poition of the sluiiy is then pumped to a thickenei wheie these solids/ciystals settle out befoie going to
a fltei foi fnal dewateiing. Mist eliminatois installed in the system ductwoik at the spiay towei outlet
collect sluiiy/moistuie entiained in the ue gas stieam. Calcium sulfate is typically mixed with y ash (1:1)
and lime (5%) and disposed of in a landfll.
Vaiious impiovements can be made to this basic piocess, including the use of additives foi peifoimance
enhancement and the use of a hydiocyclone foi dewateiing, ieplacing the thickenei, and leading to a
salable gypsum bypioduct. The Chiyoda-121 piocess (Figuie 3.1.3) ieveises the classical spiay sciubbei
and bubbles the gas thiough the liquid. This eliminates the need foi spiay pumps, nozzle headeis, sepaiate
oxidation toweis, and thickeneis. Bechtel has licensed this piocess in the U.S.; the fist commeicial
installation is at the Univeisity of Illinois on a heating boilei, and a DOE clean coal demonstiation is
undeiway. The waste can be sold as gypsum oi disposed of in a gypsum stack.

Spiay diying (Figuie 3.1.4) is the most advanced foim of diy SO

2

contiol technology.
Such systems tend to be less expensive than wet FGD but typically iemove a smallei peicentage of the
sulfui (90% compaied with 98%). They aie used when buining low-sulfui coals and utilize fabiic flteis
foi paiticle collection, although iecent tests have shown applicability to high-sulfui coals also.
Spiay diieis use a calcium oxide ieagent (quicklime), which, when mixed with watei, pioduces a
calcium hydioxide sluiiy. This sluiiy is injected into the spiay diiei, wheie it is diied by the hot ue gas.
As the diying occuis, the sluiiy ieacts to collect SO

2

. The diy pioduct is collected at the bottom of the
spiay towei and in the downstieam paiticulate iemoval device, wheie fuithei SO

2

iemoval may take
place. It may then be iecycled to the spiay diiei to impiove SO

2

iemoval and alkali utilization.

The conventional lime/limestone wet sciubbei is the dominant system.

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Foi small, oldei powei plants with existing electiostatic piecipitatois (ESPs), the most cost-effective
ietioft spiay diy confguiation locates the spiay diyei and fabiic fltei downstieam of the ESP, sepaiating
in this mannei the spiay diyei and y ash waste stieams. The y ash can then be sold commeicially.

-

Nitiogen oxides can be iemoved eithei duiing oi aftei coal combustion. The least expensive option and
the one geneiating the most attention in the U.S. is combustion contiol, fist thiough adjustment of the
fuel/aii mixtuie, and second thiough combustion haidwaie modifcations. Postcombustion piocesses
seek to conveit NO

x

to nitiogen and watei vapoi thiough ieactions with amines such as ammonia and
uiea. Selective catalytic ieduction (SCR) injects ammonia in the piesence of a catalyst foi gieatei effec-
tiveness. So the options (Figuie 3.1.5) can be summaiized as

The Chiyoda-121 sciubbei simplifes the piocess by bubbling the ue gas thiough the liquid,
eliminating some equipment needs.

Spiay diieis use a calcium oxide ieagent mixed with watei, which is diied by the ue gas. A diy
pioduct is collected in a fabiic fltei.
InIet
FIue
Gas
CIean Gas Out
FiIter
ParticuIate
RemovaI
ESP. Venturi,
Fabric FiIter
Water
Limestone
<200 Mesh
(Air)
FIy
Ash
OR
SaIabIe
Gypsum
Gypsum Stack
(Wash Water)
SimpIified
Absorber
No Reheat
No Spares

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-

Reduced excess aii, and biased fiing, including taking buineis out of seivice.

- B-

Low NO

x

buineis, aii staging, and fuel staging (iebuining).

-- B-

Injection of ammonia oi uiea into the convection pass, selective
catalytic ieduction (SCR), and wet oi diy NO

x

sciubbing (usually togethei with SO

2

sciubbing).
Low NO

x

buineis can ieduce NO

x

by 50%, and SCR by 80%, but the low NO

x

buinei option is much
moie cost-effective in teims of cost pei ton of NO

x

iemoved. Rebuining is inteimediate in cost pei
iemoved ton and can ieduce NO

x

by 50%, oi 75% in conjunction with low NO

x

buineis.

-

Atmospheiic uidized-bed boileis (see Figuie 3.1.6) offei ieductions in both
SO

2

and NO

x

and also peimit the effcient combustion of low-iank fuels. In the U.S. theie aie now ovei
150 opeiating units geneiating ovei 5000 MW, and ten vendois of FBC boileis, foui of which offei units
up to 250 MW in size. The iapid giowth in numbei of FBC units and capacity is shown in Figuie 3.1.7.
The futuie foi uidized-bed utility boileis is evident in the move by seveial countiies (Sweden, Japan,
Spain, Geimany, United States) towaid the piessuiized uidized-bed combined cycle design. The modulai
aspect of the PFBC unit is a paiticulaily attiactive featuie leading to shoit constiuction cycles and low-
cost powei. This was paiticulaily evident in the constiuction of the Tidd plant, which fist geneiated
powei fiom this combined cycle (Figuie 3.1.8) on Novembei 29, 1990.

- -

Combustion tuibine-based plants compiise the fastest giowing technology in powei geneiation. Between
now and 2005, natuial gas-fied combustion tuibines and combined cycles buining gas will account foi
50 to 70% of new geneiation to be oideied woildwide. GE foiecasts that combustion tuibines and
combined cycles will account foi 45% of new oideis globally, and foi 66% of new U.S. oideis. Almost
all of these CT and CC plants will be gas-fied, leading a majoi expansion of gas foi electiicity geneiation.
Estimates suggested 23 GW of new gas-fied CT capacity in the United States between 1990 and 2000
(Figuie 3.1.9). Woildwide theie aie even moie stiiking examples. In the United Kingdom, 100% of all
new geneiation oideied oi undei constiuction is gas-fied combined cycle.

In the 1960s, gas tuibines deiived fiom militaiy jet engines foimed a majoi souice of utility peaking
geneiation capacity. Fan-jets, though, which ieplaced stiaight tuibojets, weie much moie diffcult and

Contiol options foi NO

x

include opeiational, haidwaie, and postcombustion modifcations.

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expensive to conveit to utility use, and the iesulting aeiodeiivative tuibines have been little used. The
main ieason foi the high cost was the need to ieplace the fan and add a sepaiate powei tuibine.
As bypass iatios, and hence fan powei, have incieased, the most iecent aiiline fan-jets can be conveited
to utility seivice without adding a sepaiate powei tuibine. Fuitheimoie, modifcations of these engines,
with inteicooling and possibly ieheat, appeai to be useful foi advanced powei cycles such as chemical
iecupeiation and the humid aii tuibine.

The addition of limestone oi Dolomite to the combustion chambei allows the coal limestone mixtuie
to be buined in a suspended bed, uidized by an undeibed aii supply. The sulfui in the coal ieacts with the calcium
to pioduce a solid waste of calcium sulfate. The combustion tempeiatuie is low (1500F), ieducing NO

x

emissions.

The giowth in numbei and size of AFBC plants has been signifcant since the demonstiation of
100- MW sizes in U.S. utility plants.

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B -

A new class of combustion tuibine-based appioaches aie teimed humidifed aii powei plants. In these
combustion tuibine cycles the compiessoi exit aii is highly humidifed piioi to combustion. This ieduces
the mass of diy aii needed and the eneigy iequiied to compiess it.

Piessuiized, uidized-bed combustoi with combined cycle. This 70 MW system opeiated at the Tidd
plant of Ameiican Electiic Powei.

Combustion tuibine additions in the United States in the decade befoie the yeai 2000. (Fiom
GRI/DOE 1991], NERC 1990].)
1990 Gas Fired
Capacity (GW)
2000 Gas
Fired Capacity (GW)
BoiIers
Generation Use 2.9 TCF/yr
TotaI U.S. Use 19.4 TCF/yr
Generation Use 3.3 TCF/yr
DOE TotaI U.S. 22.1 TCF/yr
CTs BoiIers CTs
46
54
9
11
46
57
22
21
Gas
Fired
DuaI
Fired

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The continuous plant cycle foi this concept is teimed the Humid Aii Tuibine (HAT). This cycle using,
foi example, extensive modifcation of the TPM FT4000, has been calculated to have a heat iate on
natuial gas about 5% bettei than the latest high-technology combined cycle. The HAT cycle is adaptable
to coal gasifcation leading to the low emissions and high effciency chaiacteiistics of gasifcation com-
bined cycle plants but at a low capital cost, since the steam tuibine bottoming cycle is eliminated.

-B -

One option of paiticulai impoitance is that of coal gasifcation (Figuie 3.1.10). Aftei the EPRI Coolwatei
demonstiation in 1984 at the 100 MW level, the technology has moved ahead in the U.S. laigely thiough
demonstiations undei the CCT piogiam. Oveiseas, the 250 MW Buggenham plant in Holland was
opeiational in 1994, and the PSI/Destec 265 MW and TECO 260 MW clean coal demos both opeiated
in 1996. Beyond this, theie is a 300 MW plant foi Endesa, Spain and a 330 MW unit foi RWE in Geimany
(Figuie 3.1.11).
Gasifcation-based plants have among the lowest emissions of pollutants of any cential station fossil
technology. With the effciency advantages of combined cycles, CO

2

emissions aie also lowei. Fuel
exibility is an additional beneft, since the gasifei can accommodate a wide iange of coals, plus petio-
leum coke. Integiated gasifcation combined cycle (IGCC) plants peimit a hedge against long-teim
incieases in natuial gas piices. Natuial gas-fied combustion tuibines can be installed initially, and
gasifeis at a latei time when a switch to coal becomes piudent.
Concuiient with the advances in gasifcation aie effciency impiovements in combustion tuibines.
The new F-type CTs opeiate at 2300F, and 2500F machines aie likely soon. This makes the IGCC a
veiy competitive futuie option.

- -

Combustion tuibines and combined cycles giew steadily moie impoitant in all geneiation iegimes;
peaking, mid-iange, and base load. They account foi the majoiity of new geneiation oideied and installed.
If the piesent 2300F fiing tempeiatuie machines opeiate ieliably and duiably, CT and CC plants will
begin to ietiie oldei steam plants and uneconomic nucleai plants. With no cleai iival othei than fuel
cells, which aie only now emeiging, CT technology may dominate fossil geneiation, and new advanced
CT cycles - with inteicooling, ieheat, possibly chemical iecupeiation, and most likely humidifcation
- should iesult in highei effciencies and lowei capital costs. Integiated gasifcation, which guaiantees
a secuie biidge to coal in the neai teim, will come into its own as gas piices iise undei demand piessuie.
By 2015, coal thiough gasifcation is expected to be the economic fuel foi a signifcant fiaction of new
base-load CT/CC geneiation. The iate at which these tiends develop depends in a laige measuie on the
ielative costs by buining gas oi coal.

- --

A conuence of events in the U.S. electiical geneiation and tiansmission industiy has pioduced a new
paiadigm foi distiibuted electiical geneiation and distiibution in the U.S. Electiical deiegulation,
ieluctance of tiaditional utilities to commit capital to laige cential plants and tiansmission lines, and
a suite of new, effcient geneiation haidwaie have all combined to biing this about. Peisistent enviion-
mental conceins have fuithei stimulated seveial new appioaches. This section desciibes the teim

- -

and theii diffeientiating chaiacteiistics along with theii ieadiness foi
the U.S. maiket. In oidei to decide which appioaches aie well suited to a specifc pioject, an assessment
methodology is needed. A technically sound appioach is theiefoie desciibed and example iesults aie
given in the fnal section of this chaptei.
Distiibuted iesouice geneiation (DR) is any small scale electiical powei geneiation technology that
piovides electiic powei at a site closei to customeis than cential station geneiation, and that is usually
inteiconnected to the distiibution system oi diiectly to the customei`s facilities. Accoiding to the
Distiibuted Powei Coalition of Ameiica (DPCA), ieseaich indicates that distiibuted powei has the

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-- -



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potential to captuie about 20 peicent of additions to geneiating capacity, oi 35 gigawatts (GW), ovei the
next two decades. The Electiic Powei Reseaich Institute estimates that the DR maiket could amount to
2.5-5 GW/yeai by 2010. DR technologies include small combustion tuibine geneiatois, inteinal com-
bustion iecipiocating engines and geneiatois, photovoltaic panels, and fuel cells.

Othei technologies
including solai theimal conveision, stiiling engines, and biomass conveision aie consideied as DR.
We aibitiaiily limit the teim DR, in this chaptei, to iefei to plants with capacities less than a few MW.

Gasifcation powei plant time line.

Distiibuted geneiation and eneigy stoiage technologies.

Wind powei is not included since, in the U.S., it has been piimaiily deployed as a cential powei geneiation
technology.

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Distiibuted geneiation can piovide a multitude of seivices to both utilities and consumeis, including
standby geneiation, peak shaving capability, baseload geneiation, oi cogeneiation. Less well undeistood
benefts including ancillaiy seivices - VAR suppoit, voltage suppoit, and netwoik stability among otheis
- may ultimately be of moie economic beneft than simple eneigy-ielated benefts.
DR technologies can have enviionmental benefts ianging fiom tiuly gieen powei (photovoltaics) to
signifcant mitigation of one oi moie pollutants often associated with coal-fied geneiation. Natuial gas-
fied DR tuibine geneiatois, foi example, ielease less than a quaitei of the emissions of SO

2

, less than
1/100th NO

X

, and 40 peicent less CO

2

than many new coal-boilei powei plants; these DR units aie clean
enough to be situated among iesidential and commeicial establishments (DCPA, 1998).
Electiic iestiuctuiing has spuiied the consideiation of DR powei because the buyeis and selleis of
electiicity will have to be moie iesponsive to maiket foices. Cential utilities suffei fiom the buiden of
signifcant stianded costs. DR avoids this cost. DR is a piioiity in paits of the countiy wheie the spinning
ieseive maigins aie shiinking, wheie giowing industiial and commeicial uses as well as tiansmission
and distiibution (T&D) constiaints aie limiting powei ows (DCPA, 1998).
Additional impetus was added to DR effoits duiing the summeis of 1998, 1999, and 2000 by the heat
waves that staggeied the U.S. and caused powei cuts in the west and acioss the Rust Belt. The shoitages
and outages weie the iesult of a combination of factois - climbing electiicity demand, peimanent oi
tempoiaiy shutdown of some of the iegion`s nucleai facilities, unusually hot weathei, and 1998 summei
toinadoes that downed a tiansmission line (McGinley, 1998).

-

The DR eia appeais to have aiiived based on evidence fiom many and diveise souices. U.S. utility
deiegulation is an enablei" foi widespiead DR adoption but is not a iequiied condition of iapid giowth
in small geneiation sales. Expeits list the following ieasons foi expected DR applications in the next 20
yeais:

Cost Piojections foi Repiesentative Geneiation Technologies foi a Plant in the Noitheast United States

Pulveiized Coal Plants
Atmospheiic FBC
Subciitical Supeiciitical Ciiculating Piessuiized FBC
Wet Sciubbei Wet Sciubbei No Sciubbei Combined Cycle
Plants 300 MW 400 MW 200 MW 340 MW

Capital cost (1993)

a

1607 1600 1805 1318
($/kW)
Nonfuel O&M costs
Vaiiable (mills/kWh) 3.0 2.8 5.4 1.8
Fixed ($/kW yi) 46.6 43.1 37.0 37.6
Effciency (%) 36.0 39.0 35.0 41.0

Coal Gasifcation
Coal Gasifcation Coal Gasifcation Molten Caibonate Gas-Fiied
Combined Cycle Humid Aii Tuibine Fuel Cell Combined Cycle
Plants 500 MW 500 MW 400 MW 225 MW

Capital cost (1993) 1648 1447 2082 595
($/kW)
Nonfuel O&M costs
Vaiiable (mills/kWh) 0.5 1.3 1.1 0.4
Fixed ($/kW yi) 49.9 40.4 57.2 26.5
Effciency (%) 42.0 42.0 50.0 46.0

a

Costs of new plants aie likely to ieduce, in ieal teims, ovei the next 10 yeais due to technology developments and
incieased woildwide competition foi maikets in the developing countiies. New technologies (PFBC, IGCC, fuel cells) will
lowei capital costs as pioduction capacity giows.

----

, EPRI TR-102275-V1R7, June 1993. Electiical Powei Reseaich Institute, Palo Alto, CA.

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Utilities aie seeking ways to avoid laige capital investments in new geneiating capacities. Incie-
mental investments in smallei plants aie piefeiied.
Distiibution system loading is neai the limit with the iesult that powei quality is suffeiing and
powei outages aie becoming moie pievalent. DR of powei bypasses most of the distiibution
system.
Seveial small and effcient DR technologies aie neaiing matuiity.
Telecommunication and computational systems compatible with the widespiead deployment of
DR will exist in the veiy neai futuie.
U.S. utilities aie being iestiuctuied as a iesult of deiegulation of electiical utilities.
DR owned by local building opeiatois oi eneigy seivice companies avoid the electiicity piice
volatility seen in the past two yeais duiing peak load peiiods.
In spite of these notable ieasons foi DR giowth, it must be iecognized that DR is a disiuptive
technology," and, as was the case with past technologies, it may offei woise economic oi technical
peifoimance than tiaditional appioaches. Howevei, as commeicialization continues, these new technol-
ogies will be chaiacteiized by iapid peifoimance impiovements and laigei maiket shaie. Because the
small scale technologies desciibed next tend to be simplei and smallei than oldei ones, they may well
be less expensive to own and opeiate.

-

Table 3.1.2 piovides an oveiview of feasible, piesent oi neai teim DR technologies. Each listed technology
is summaiized below in alphabetical oidei.

-

A fuel cell is a device in which hydiogen and oxygen combine without combustion to pioduce electiicity
in the piesence of a catalyst. One design is shown in Figuie 3.1.13. Seveial competing technologies have
been demonstiated and aie listed below with theii nominal opeiating tempeiatuies.
Phosphoiic acid (PA) - 300F
Pioton exchange membiane (PEM) - 200F
Molten caibonate (MC) - 1200F
Solid oxide (SO) - 1300F
As indicated in Table 3.1.2, the costs of fuel cells aie too high to be competitive now, but industiy
expeits have indicated that piices should fall because of mass pioduction. Wheie enviionmental iegula-

Summaiy of Distiibuted Geneiation Technologies

Ciiteiion IC Engine Miciotuibine PVs Fuel Cells

Dispatchability Yes Yes No Yes
Capacity iange 50 kW-5MW 25 kW-25 MW 1 kW-1 MW 200 kW-2 MW
Effciency

a

35% 29-42% 6-19% 40-57%
Capital cost ($/kW) 200-350 750-1000 6600 3750-5700
O&M cost

b

($/kWh) 0.01 0.005-0.0065 0.001-0.004 0.0017
NO

X

(lb/Btu) - Nat. gas 0.3 0.10 n/a 0.003-0.02
NO

X

(lb/Btu) - Oil 3.7 0.17 n/a n/a
Technology status Commeicial Commeicial in laigei sizes Commeicial Commeicial scale demos

a

Effciencies of fossil and ienewable DR technologies aie not diiectly compaiable. The method desciibed latei in this book
includes all effects needed to assess eneigy pioduction.

b

O&M costs do not include fuel. Capital costs have been adjusted based on quotes.

Fiom DCPA, 1998.

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tions aie stiict, fuel cells offei the only tiuly clean solution to electiicity pioduction outside of the
ienewables sectoi.
The key baiiieis to fuel cell usage include
Cost - piedicted cost ieductions have not mateiialized; in fact, one laige fim iecently announced
a 60% piice inciease.
Hydiogen fuel - widespiead adoption will iequiie a new fuel distiibution infiastiuctuie in the
U.S. oi on-site iefoiming of natuial gas (methane).
Maintenance costs aie unceitain.
Tiansient iesponse to building load vaiiations is unacceptable foi load following foi some tech-
nologies.
Contiasting these baiiieis aie some veiy attiactive FC featuies:
The only bypioduct is watei - NO

x

emissions aie veiy low (<1PPM).
Effciency is good - 50-60% (LHV basis).
Theimal oi electiical cogeneiation is possible in buildings.
Modulaiity is excellent - neaily any building-ielated load can be matched well (kW to MW iange).

- -

Recipiocating inteinal combustion engines (ICEs) aie the tiaditional technology foi emeigency powei
aiound the woild. Opeiating expeiience with Diesel and Otto cycle units is extensive. The cost of units
is the least of any DR technology, but maintenance costs aie among the gieatest. Fuitheimoie, diesel and
gasoline engines pioduce unacceptable emission levels in aii quality nonattainment aieas of the U.S.
Natuial gas (NG) ICE geneiatois offei a paitial solution to the emissions pioblem but do not solve it
entiiely. Howevei, the NG-fied ICE is the key competition to all DR technologies consideied heie.

Emissions and solid waste fiom coal-based technologies aie lowest with the gasifcation plants.
IGCC (Integiated Gasifcation Combined Cycle), IGHAT (Integiated Gasifcation Humid Aii Tuibine), and IGMCFC
(Integiated Gasifcation Molten Caibonate Fuel Cell).

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The key baiiieis to ICE usage include
Maintenance cost - the highest among the DR technologies due to the laige numbei of moving paits.
NO

x

emissions aie highest among the DR technologies (15-20 PPM even foi lean buin designs).
Noise is low fiequency and moie diffcult to contiol than foi othei technologies; adequate atten-
uation is possible.
Attiactive ICE featuies include
Capital cost is lowest of the DR appioaches.
Theimal oi electiical cogeneiation is possible in buildings.
Modulaiity is excellent - neaily any building-ielated load can be matched well (kW to MW iange).
Pait load effciency is good (the need foi this is desciibed latei).

-

A miciotuibine (MT) is a Biayton cycle engine using atmospheiic aii and natuial gas fuel to pioduce
shaft powei. Figuie 3.1.15 shows the essential components of this device. Although a dual shaft appioach
is shown in the fguie, a single-shaft design is also used in which the powei pioduced in the expandei
is supplied to both the compiessoi and the load by a single shaft. The dual shaft design offeis bettei
contiol but at the cost of anothei iotating pait and two moie high speed beaiings. Electiical powei is
pioduced by a peimanent magnet geneiatoi attached to the output shaft oi to a geai ieducei diiven by
the output shaft.
Figuie 3.1.16 is a photogiaph of a small miciotuibine showing most of the key components except
foi the iecupeiatoi. The iecupeiatoi is used in most units because about half of the heat supplied to the
woiking uid can be tiansfeiied fiom the exhaust gas to the combustion aii. Without a iecupeiatoi, the
oveiall effciency of an MT is 15-17% wheieas with an 85% effective iecupeiatoi the effciency can be
as high as 33%. MTs without iecupeiatois aie basically buineis that pioduce a small amount of electiicity
with theimal output to be used foi cogeneiation.

PEM fuel cell schematic diagiam.

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A handful of MT manufactuieis have announced pioducts in the U.S. Sizes iange fiom 25 kW to
150 kW with double digit powei iatings being the most common. As of Decembei 2000, fewei than 1000
MTs had been shipped to U.S. locations.
Attiactive MT featuies include
Capital cost is low.
Emissions aie modest (<10 PPM NO

x

is quoted by manufactuieis).
Theimal oi electiical

cogeneiation is possible in buildings.

Schematic diagiam of dual shaft miciotuibine design.

10-kW miciotuibine (couitesy of Honeywell Inteinational Inc.).

Electiical cogeneiation iefeis to the use of exhaust gases to powei a bottoming tuibine cycle, often an oiganic
Rankine cycle to pioduce additional electiic powei.

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Modulaiity is excellent - neaily any building-ielated load can be matched well by multiple units
of small capacity.
The key baiiieis to MT usage include
Maintenance cost - unknown but expected to be lowei than ICEs because of many fewei moving paits.
Pait load effciency is questionable - manufactuiei`s data vaiy.
Limited feld expeiience.
Use of aii beaiings is desiiable to ieduce maintenance, but aii fltiation iequiiements aie stiingent.
High fiequency noise is pioduced but is ielatively easy to contiol.

-

Photovoltaic (PV - see Figuie 3.1.17) cells diiectly conveit suffciently eneigetic photons in sunlight to
electiicity. Because sunlight is a diffuse iesouice, laige aiiay aieas aie needed to pioduce signifcant
powei. Howevei, offsetting this is the zeio cost of the fuel itself. In 2000 theie was a PV maiket woildwide
of the oidei of 200 MW

pei yeai.
Piices foi PV aiiays have diopped by at least two oideis of magnitude in the past thiee decades, but
they still appeai to be too high foi many applications in the U.S. wheie the piesent utility giid offeis an
alteinative. Howevei, in mountainous aieas wheie the giid does not exist oi in developing countiies
wheie electiicity infiastiuctuie investments may nevei be made, PVs can pioduce powei moie cheaply
than the common ICE alteinative.
Attiactive featuies of PV systems include
Emissions aie zeio.
Fossil fuel consumption is zeio.
Low tempeiatuie theimal cogeneiation (using building-integiated modules) is possible foi space
heating in buildings.

Solai PV panel (couitesy of NREL; photo by W. Gietz).

The iating of solai systems on a kW oi MW basis is misleading because the iating conditions aie such that quoted
outputs aie neaily optimal. To compaie solai and nonsolai eneigy costs, one must deteimine the cost of electiicity
foi each technology as desciibed latei in this book.

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Modulaiity is excellent - neaily any building-ielated load can be matched well by multiple units
of small capacity.
Maintenance is negligible except wheie batteiies aie involved.
Pait load effciency is excellent.
The key baiiieis to PV usage include
The piice of deliveied powei exceeds othei DR iesouices; subsidies exist in some states that make
PV-pioduced powei competitive.
Tempoial match of powei pioduced to load is impeifect; batteiies oi othei systems aie often
needed.

-

Although not tieated in this chaptei, seveial additional DR techniques hold piomise foi the futuie. They
can be assessed using the appioaches desciibed latei in this chaptei. Included in this futuie list aie stiiling
engines, solai stiiling engines, and solai theimal conveision.

-- --

The pievious section desciibed foui DR systems that appeai to have signifcant neai teim feasibility. The
next section desciibes exactly how one iationally selects the best, oi best mix of, DR appioaches. Howevei,
we fist need to enumeiate the key featuies that distinguish DR appioaches fiom tiaditional cential
geneiation methods.

- -

Piesent utility powei dispatch appioaches cannot accommodate thousands of small, distiibuted genei-
atois of powei and othei ancillaiy seivices. Geneially speaking, DR owneis oi theii agents will opeiate
theii systems as much as possible when theii maiginal cost of pioducing powei is less than the maiginal
cost of competing powei. Legal, opeiating, and maiketing costs foi individual, small geneiatois may also
be piohibitive.
The fnancial dispatch of these geneiatois iequiies knowledge of the following:
Real time building loads and accuiate piedictions of neai futuie loads.
Real time cost of powei contiolled by the independent system opeiatoi (ISO) oi its equivalent;
dynamic piicing is the wave of the futuie.
Dynamic powei pioduction chaiacteiistics of DR units.
Real time cost of pioducing powei fiom the available DR iesouices.
It appeais that what will evolve to handle the dispatch pioblem is a new viitual powei plant independent
system opeiatoi which appeais to the (ISO

) as a single dispatchable entity. It is the job of the VPP to
deteimine which DR iesouices should be used to sell powei to the giid and when. Real time knowledge
of both local loads and giid-wide demand foi powei aie iequiied. New methods of tiading and tiansaction
piocessing seem to be inevitable as DR giows iapidly. By tieating many small geneiatois in the aggiegate,
the pei unit cost of tiansactions and infoimation may be ieduced. To gain an appieciation of this, considei
that the Califoinia ISO will not puichase ancillaiy seivices fiom geneiatois less than 10 MW in size -
equivalent to 200 50-kW miciotuibines.

- -

Each DR technology iequiies diffeient electiical safety piotocols and standaids. It appeais that the PV
industiy had made the most signifcant piogiess of the new DR systems. Numeious IEEE, ASME, and
othei standaids bodies aie involved as of the wiiting of this handbook.

Also included would be the powei exchange (PX) if it exists foi electiicity futuies maiketing.

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- ----
The technical and economic assessment of DR iesouices iequiies that a unifoim method of assessment
be used foi all technologies. The methodology must include defensible estimates of
Theimal and electiical loads on the DR system
DR electiical pioduction including pait load effects
Economic analysis including all ieasonable and known
costs and benefts of DR.

This section summaiizes a fist piinciples appioach foi assessing the economic feasibility of DR
systems, whethei ienewable oi fossil-based. The same appioach can be used to compaie cential and
distiibuted geneiation souices competing in the same utility iegion. The context heie is the U.S. eneigy
economy. Howevei, DR has much laigei potential in the developing woild wheie cential T&D and
geneiation do not exist. The methods desciibed next can also be used to deteimine the most suitable
DR technology foi these maikets.
-
It is often not possible to obtain the exact load shape foi a specifc building. Long-teim monitoiing can
be costly and is usually not seen as a justifable expense. Foi this ieason, it is helpful to woik with libiaiies
of standaid" load shapes that can be adjusted to match the total and peak consumption of a specifc
building.
Once a geneiic" load shape foi a specifed building class has been deteimined, the houily values aie
adjusted to match the (1) actual total consumption, (2) peak demand, and (3) load factoi foi the selected
billing peiiod.
-
The piopei calculation of the life cycle cost oi savings of distiibuted geneiation iequiies a numbei of
diffeient economic paiameteis. An investment in distiibuted geneiation must have an acceptable iate of
ietuin. Theie aie two components to the economic valuation: the fist is a standaid calculation based
on initial costs and fuel use, and the second incoipoiates tiansmission, distiibution, and othei ciedits
that vaiy by location and utility.
The life cycle analysis of DR is similai to othei eneigy systems. The discount, ination, and fuel cost
escalation iates aie used along with the estimated system lifetime to estimate the life cycle savings of the
system. The negative cash ows (i.e., out of pocket) include the installed cost of the system, the incie-
mental cost of gas consumed by the DR system (foi IC engine, tuibine, and fuel cell technologies), annual
and inteimittent maintenance costs, and any ieplacement costs. The offsetting positive cash ows include
the avoided cost of electiicity, the avoided cost of gas if heat iecoveiy is used, and any tax ciedits and
depieciation.
-
The use of distiibuted geneiation makes sense only if
DR powei can be pioduced at a lowei cost than the utility-supplied powei
The need foi guaianteed powei oveiiides meie powei cost consideiations
The sale of powei pioduced by a DR system iesults in a positive cash ow to the DR ownei.
Deteimining the total eneigy bill is usually not a tiivial calculation. It is easy to calculate if a ieal-time
piicing iate is used. Howevei, most commeicial and industiial iates incoipoiate time-of-use components,
block components, oi both. These make it diffcult to piedict the inciemental cost of the next" kWh oi
theim used by the building at any aibitiaiy point within the billing cycle. To piopeily estimate the utility
In the piesent woik, enviionmental benefts aie not included in the economic analysis. Once economic values
can be established and agieed to, the methodology piesented can accommodate them ieadily.

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bill foi a given building, the eneigy consumption and demand foi each houi of the billing peiiod must
be known. Stianded cost iecoveiy chaiges must also be included.
Ancillaiy benefts fiom installing distiibuted iesouices have tiaditionally been taigeted at the T&D
system level. Foi electiic utilities, installing small-scale distiibuted geneiation systems in the iange of
200- to 5000-kW capacity can ieduce costs by avoiding tiansmission and distiibution upgiades. In
addition, they can piovide moie ieliable seivice to theii customeis. Some of the benefts fiom a utility
peispective include
Reduced T&D line losses
T&D system upgiade defeiials
Modulai geneiation equipment investments
Reactive powei and voltage suppoit; othei powei quality impiovements
Enviionmental compliance benefts
Impioved system ieliability
Reduced equipment maintenance inteivals
These costs and benefts aie desciibed in detail in Cuitiss, Kieidei, and Cohen (1999).
--
Emission ieductions fiom clean DR souices can save utilities money and piovide foi public benefts of
cleanei aii. The Clean Aii Act Amendment of 1990 iequiied lowei ozone emissions in viitually all
metiopolitan aieas by the yeai 2000. Just as clean technologies can beneft fiom enviionmental compliance
consideiations, DR technologies which exceed the limits of the enviionmental iequiiements will have to
comply and theiefoie be in competition with othei cleanei DR technologies. In some cases, the enviion-
mental peimitting and iegulations will add to the cost of DR technologies.

To assess accuiately the economic feasibility of distiibuted geneiation at a site, a ieasonably complete
model should be developed that incoipoiates the following algoiithms:
A - module should piovide houily site tempeiatuies, solai iadiation, wind speed, etc.
A - algoiithm should geneiate houily building loads.
A - should use any site weathei data fiom the weathei simulation and the
building loads to deteimine the poition of building electiical and theimal loads that aie offset by
on-site pioduction.
Some foim of must be included in the algoiithms. This can be as simple
as selecting between peak shaving contiol oi baseline suppoit contiol. A smaitei contiol appioach
than eithei of these will iesult in gieatei economic beneft to the DR haidwaie investoi.
A -- algoiithm will be necessaiy to accuiately deteimine the utility bill
based on any block and time-of-use specifcations.
An Example Miciotuibine Assessment
The HVAC engineei is often called eaily in the design phase to assess the viability of vaiious eneigy
supplies foi a pioject. Foi tiaditional utility supplieis, the techniques aie well known and use standaid
building simulation tools. Howevei, foi DR assessments theie aie additional steps. This section, using a
conciete example, illustiates the appioach by summaiizing iesults fiom a simple analysis using a DR
scieening tool. In this case study, a hospital was chosen with the load shapes as shown in Figuie 3.1.18
- 450 kW of electiical capacity weie added to the building as a package of 10 miciotuibines. The tuibines
weie assumed to have a lifetime of 7 yeais and an installed cost of $750/kW. No heat iecoveiy (i.e.,
cogeneiation) was used in the analysis. This example illustiates the impoitance of contiol stiategy and
utility iate. The conclusion fiom the study is that local utility iates (both gas and electiic) must be used

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foi each study. It is not possible to geneialize DR feasibility iesults foi one building in a given location
to anothei building in anothei location.
The fist contiol mode was a peak-shaving technique wheie the tuibines weie opeiated only when the
building electiical load was gieatei than 1000 kW. At this point, the tuibines would come on one by one
as the load incieased above 1000 kW until all ten weie opeiating. The second contiol method assumed
that the tuibines would iun whenevei possible in an attempt to maximize the annual iun time. Both of
Monthly eneigy values used in example. (a) Building electiical load in kWh, (b) building demand
in kW, and (c) theimal load in MMBtu.

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these techniques weie analyzed using two diffeient iates. The iates weie based on actual commeicial iates
fiom a majoi metiopolitan utility; one iate is a geneial seivice iate with no demand component, the
othei is a time-of-use iate with time-of-use peiiods foi both consumption and demand. The natuial gas
iate was not changed thioughout these studies.
-- - -
The monthly electiicity costs foi each of the contiol methods using the geneial seivice iate aie shown
in Figuie 3.1.19. No ancillaiy ciedits oi enviionmental costs aie included in these iesults; the values
shown aie based stiictly on the utility iate. The spiead between the effective electiical and natuial gas
costs is such that the use of DR is advantageous in this building. It is cheapei to use natuial gas to
geneiate electiicity on site than it is to puichase the electiicity diiectly fiom the utility.
-- -
A similai analysis was peifoimed using the time-of-use iate foi the same building in the same location
as above. The monthly electiicity cost components aie shown in Figuie 3.1.20 and aie diiectly compaiable
to the pievious fguie.
The summaiy of the annual costs foi the TOU iate is given in Table 3.1.3. These iesults foi the same
building, equipment, and contiol methods do not look piomising at all foi the GS iate iesults as shown in
pait (a) of Table 3.1.3. This is because the effective, aggiegated cost of electiicity using the time-of-use iate
is not as gieat as with the geneial seivice iate. This example seives to illustiate the impoitance of knowing
both detailed load shape and iate schedule infoimation. - - -- -
- - ----- This analysis involved the same building,
location, DR equipment, and contiol methods, yet the economic advantage of the installation of the
miciotuibines depends solely on the utility iates that apply. Finally, we obseive that the iate of ietuin is
veiy stiongly affected by the contiol methodology.
--
This oveiview of DR in the U.S. has illustiated seveial key points:
1. Seveial viable DR technologies now exist.
2. A unifoim assessment appioach is needed to select the appiopiiate DR option(s) foi a given
application; the method must be able to include noneneigy aspects of DR such as ancillaiy seivices
and emeigency powei benefts. A sepaiate assessment is needed foi each pioject; iules of thumb
do not suffce.
3. New appioaches aie needed foi contiol and fnancial dispatch of DR-pioduced powei.
Cost Compaiisons
(a) Summaiy of miciotuibine peifoimance using geneial seivice iate
Annual Eneigy Costs ($1000) Change in Annual Cost
Elec. Gas Elec. Gas Total Int. iate of ietuin
a. Without DG $1283 $237 - - - -
b. Peak limiting $1071 $328 -17% -39% -8% 12%
c. DG always on $805 $451 -37% -91% -17% 45%
(b) Summaiy of miciotuibine peifoimance using time-of-use iate
Annual Eneigy Costs ($1000) Change in Annual Cost
Elec. Gas Elec. Gas Total Int. iate of ietuin
a. Without DG $951 $237 - - - -
b. Peak limiting $773 $328 -19% -39% -7% 2%
c. DG always on $638 $451 -33% -91% -8% 4%

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Monthly electiicity cost foi geneial seivice iate. (a) Without miciotuibines. (b) Tuibines iun when
building load is > 1000 kW. (c) Tuibines iun at all times.

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Monthly electiicity costs foi time-of-use iate. (a) without tuibines. (b) tuibines iun when building
load is > 1000 kW. (c) tuibines iun at all times.

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-
Distiibuted Powei Coalition of Ameiica (DCPA) (1998). URL: www.dpc.oig.
McGinley, S. (1998). Statement: The Powei Shoitage Answei, URL: www.dpc.oig.
Joint Centei foi Eneigy Management (JCEM) and Vesica Aichitectuie and Planning (1995).
---- - . Available fiom Kieidei and Associates, Bouldei, CO.
FCCG (1997). - , Volume 7, Numbei 1.
GRI (1998). - -, Gas Reseaich Institute.
Hoff, T. E., Wengei, H. J., and Faimei, B. K., The Value of Defeiiing Electiic Utility Capacity Investments
with Distiibuted Geneiation. , Maich, 1996.
Hiist, E. and Kiiby, B., Cieating Competitive Maikets foi Ancillaiy Seivices, -448, Octobei, 1997.
Cuitiss, P., Kieidei, J., and Cohen D. (1999). A Methodology foi Technical and Financial Assessment of
Distiibuted Geneiation in the U.S., - -, Maui, HI.
- - --

--
We do not live in paiadise and oui iesouices aie limited. Theiefoie it behooves us to tiy to ieduce the
cost of heating and cooling to a minimum, subject, of couise, to the constiaint of pioviding the desiied
indooi enviionment and seivices. But while capital costs and a opeiating costs aie ieadily stated in
fnancial teims, othei factois such as comfoit, convenience, and aesthetics may be diffcult oi impossible
to quantify. Fuitheimoie, theie is unceitainty: futuie eneigy piices, futuie iental values, futuie equipment
peifoimance, and futuie uses of a building aie unceitain.
As a way aiound the diffculties, it is best to appioach the design optimization in the following mannei.
Fiist, one evaluates the total cost foi each pioposed design oi design vaiiation by piopeily combining all
capital and opeiating costs. Then, knowing the cost of each design, one can select the best," much like
selecting the best pioduct in a stoie wheie each pioduct caiiies a piice tag. Pioceeding in this way, one
sepaiates the factois that can be quantifed unambiguously (i.e., cost, accoiding to the piice tag), fiom those
that aie less tangible (e.g., aesthetics). The calculation of the piice is the essence of engineeiing economics
and foims the main pait of this section. Optimization and some effects of unceitainty aie addiessed at the end.
- --

Befoie one can compaie fist costs (i.e., capital costs) and opeiating costs, one must apply a coiiection
because a dollai (oi any othei cuiiency unit) to be paid in the futuie does not have the same value as a
dollai available today. This time dependence of money is due to two, quite diffeient, causes. The fist is
ination, the well known and evei piesent eiosion of the value of oui cuiiency. The second ieects the
fact that a dollai today can buy goods to be enjoyed immediately oi it can be invested to inciease its
value by pioft oi inteiest. Thus a dollai that becomes available in the futuie is less desiiable than a dollai
today; its value must be discounted. This is tiue even if theie is no ination. Both ination and
discounting aie chaiacteiized in teims of annual iates.
Let us begin with ination. To avoid confusion, subsciipts aie added to the cuiiency signs, indicating
the yeai in which the cuiiency is specifed. Foi example, duiing the middle of the 1980s the ination
iate i
inf
in westein industiial countiies was aiound i
inf
4%. Thus, a dollai in 1986 is woith only
1/(1-0.04) as much as the same dollai one yeai befoie:
. 1.00 $
1986
1
1 r
inf
+
---------------- $
1985
1
1 0.04 +
------------------- 0.96 $
1985
= = =

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The defnition and measuie of the ination iate aie actually not without ambiguities since diffeient
piices escalate at diffeient iates and the ination iate depends on the mix of goods assumed. The most
common measuie is piobably the consumei piice index (CPI), an index that was aibitiaiily set at 100
in 1983. Its evolution is shown in Figuie 3.2.1, along with anothei index of inteiest to the HVAC designei
- the - constiuction cost index. In teims of the CPI, the aveiage ination iate
fiom yeai ief to yeai ief-n is given by
. (3.2.1)
Histoiy of vaiious cost indices. (a) CPI consumei piice index (fiom ftp://ftp.bls.gov/pub/special.iequests/
cpi/cpiai.txt), (b) ENR - constiuction cost index.
Foi simplicity, we wiite the equations as if all giowth iates weie constant. Otheiwise the factoi (1 - i)
n
would
have to be ieplaced by the pioduct of factois foi each yeai (1 - i
1
)(1 - i
2
) . (1 - i
n
). Such a geneialization is
stiaightfoiwaid, but tedious and of dubious value in piactice as it is alieady iisky to piedict aveiages tiends without
tiying to guess a detailed scenaiio.
CP
0
20
40
60
80
100
120
140
160
180
1970 1975 1980 1985 1990 1995 2000
(a)
ENR
0
1000
2000
3000
4000
5000
6000
7000
1970 1975 1980 1985 1990 1995 2000
(b)
1 r
inf
+
n
CPI
ref n +
CPI
ref
--------------------- =

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Suppose $
1985
1.00 was invested at an inteiest iate i
int
10%, the oi iate, as usually
quoted by fnancial institutions. Then, aftei one yeai this dollai had giown to $
1986
1.10, but it is woith
only $
1985
1.10/1.04 $
1985
1.06. To show the inciease in the ieal value, it is convenient to defne the ieal
inteiest iate i
int0
by the ielation
(3.2.2)
oi
.
The simplest way of dealing with ination is to eliminate it fiom the analysis iight at the stait by using
- and expiessing all giowth iates (inteiest, eneigy piice escalation, etc.) as ieal iates,
ielative to constant cuiiency. Aftei all, one is conceined about the ieal value of cash ows, not about
theii nominal values in a cuiiency eioded by ination. Constant cuiiency is obtained by expiessing the
oi A cuiiency of each yeai (i.e., the nominal value of the cuiiency) in teims of equivalent
cuiiency of an aibitiaiily chosen iefeience yeai . Thus, the cuiient dollai of yeai has a constant
dollai value of
(3.2.3)
A i
0
is ielated to the i analogous to Equation 3.2.2:
. (3.2.4)
Foi low ination iates one can use the appioximation
i
0
i - i
inf
if i
inf
is small. (3.2.5)
Latei, as pioved in the section entitled Constant Cuiiency Veisus Inating Cuiiency", an analysis in
teims of constant cuiiency and ieal iates is exactly equivalent to one with inating cuiiency and nominal
iates, if the investment is paid out of equity (i.e., without a loan) and without a tax deduction foi
depieciation oi inteiest. Slight ieal diffeiences between the two appioaches can aiise fiom the foimulas
foi depieciation and foi loan payments (in the U.S., loan payments aie usually aiianged to have fxed
amounts in cuiient cuiiency, and the ieal value of annual loan payments diffeis between the two
appioaches). Theiefoie, the inating dollai appioach is commonly chosen in the U.S. business woild.
Howevei, when the constant dollai appioach is coiiect, it offeis seveial advantages. Having one vaiiable
less, it is simplei and cleaiei. What is moie impoitant, the long teim tiends of ieal giowth iates aie faiily
well known, even if the ination iate tuins out to be eiiatic. Foi example, fiom 1955 to 1980, the ieal
inteiest iate on high quality coipoiate bonds consistently hoveied aiound 2.2% despite laige uctuations
of ination (Jones, 1982), while the high ieal inteiest iates of the 1980s weie piobably a shoit teim
anomaly. Riskiei investments, such as the stock maiket, might piomise highei ietuins, but they, too, tend
to be moie constant in constant cuiiency.
Likewise, piices tend to be moie constant when stated in teims of ieal cuiiency. This is illustiated in
Figuie 3.2.2 by compaiing some eneigy piices in ieal and in inating dollais. Foi example, the maiket
piice (piice in inating cuiiency) of ciude oil ieached a peak of $36 in 1981, ten times highei than the
maiket piice duiing the 1960s, while in teims of constant cuiiency the piice inciease ovei the same
1 r
int0
+
1 r
int
+
1 r
int
+
---------------- =
r
int0
r
int
r
inf
-
1 r
inf
+
-------------------- =
$
ref
$
ref n +
1 r
inf
+
n
----------------------- =
r
0
r r
inf
-
1 r
inf
+
---------------- =

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peiiod was only a factoi of foui. Ciude oil duiing oil ciises is, of couise, an example of extieme piice
uctuations. Foi othei goods, the piice in constant cuiiency is fai moie stable (it would be exactly
constant in the absence of ielative piice shifts among diffeient goods). Theiefoie, it is instiuctive to think
in teims of ieal iates and ieal cuiiency.

Find the nominal and ieal escalation iates foi iesidential electiicity piices between 1970 and 1995.
Given: data in Figuie 3.2.2(c); ieal piices aie in $
1992
.
Eneigy/piices, in constant dollais (solid symbols) and in inating dollais (hollow symbols). (a) ciude oil;
(b) natuial gas (foi utility companies); (c) electiicity (aveiage ietail piice). (Fiom http://www.eia.doe.gov.)
0
10
20
30
40
50
60
1970 1975 1980 1985 1990 1995 2000
Nominal
Real (1992)
(a)
Crude oil price
$/ barrel
0.00
1.00
2.00
3.00
4.00
5.00
6.00
1970 1975 1980 1985 1990 1995 2000
Nominal
(b)
Real ($ of 1992)
$/miIIion BTU
NaturaI gas price, for utiIities

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Find: ieal giowth iate i
0
and nominal giowth iate i.
In 1970 the piice was p

1970
1.7
1970
/kWh 5.6
1992
/kWh.
In 1995 the piice was p
1995
6.9
1995
/kWh 6.4
1992
/kWh.
The numbei of yeais is n 1995 - 1970 25.
Hence, the ieal giowth iate is given by
.
The nominal giowth iate is
.
Comments: This example highlights the impoitance of distinguishing between ieal and nominal
giowth iates. While the appaient piice has giown by almost 6% pei yeai, the ieal piice incieased by
only 0.5% pei yeai; the ination iate aveiaged about 5.3% duiing this peiiod.
- - -
As mentioned above, even if theie weie no ination, a futuie cash amount F is not equal to its -
P; it must be discounted. The ielation between P and its futuie value F
n
n yeais fiom now is given
by the - i
d
, defned such that

0
1
2
3
4
5
6
7
8
9
10
1970 1975 1980 1985 1990 1995 2000
Nominal
Real ($ of 1992)
(c)
cents/kWh
EIectricity price
r
0
1 -
p
1995
p
1970
-----------
n
+ =
1 -
6.4
5.6
------- 25 + 1 - 1.005 + 0.005 = = =
r 1 -
6.9
1.7
------- 25 + 1 - 1.058 + 0.058 = = =

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. (3.2.6)
The highei the discount iate, the lowei the piesent value of futuie tiansactions.
To deteimine the appiopiiate value of the discount iate one has to ask at what value of i
d
one is
indiffeient between an amount P today and an amount F
n
P/(1 - i
d
)
n
n yeais fiom now. That
indiffeience depends on ciicumstances and individual piefeiences. Considei a consumei who would put
his money in a savings account with 5% inteiest. His discount iate is 5% because by putting the $1000
into this account he in fact accepts the alteinative of (1 - 5%) $1000 a yeai fiom now. If instead he
would use it to pay off a cai loan at 10%, then his discount iate would be 10%; paying off the loan is
like putting the money into a savings account which pays at the loan inteiest iate. If the money would
allow him to avoid an emeigency loan at 20%, then his discount iate would be 20%. At the othei extieme,
if he would hide the money in his mattiess, his discount iate would be zeio.
The situation becomes moie complex when theie aie seveial diffeient investment possibilities offeiing
diffeient ietuins at diffeient iisks, such as savings accounts, stocks, ieal estate, oi a business ventuie. By
and laige, if one wants the piospect of a highei iate of ietuin one has to accept a highei iisk. Thus, as a
moie geneial iule, we can say that the appiopiiate discount iate foi the analysis of an investment is the iate
of ietuin on alteinative investments of compaiable iisk. In piactice that is sometimes quite diffcult to
deteimine, and it may be desiiable to have an evaluation ciiteiion that bypasses the need to choose a
discount iate. Such a ciiteiion is obtained by calculating the pioftability of an investment in teims of an
unspecifed discount iate and then solving foi the value of the iate at which the pioftability goes to zeio.
That method, called , is explained latei in the section entitled Inteinal Rate of Retuin".
As with othei giowth iates, one can specify the discount iate with oi without ination. If F
n
is given
in teims of constant cuiiency, designated as F
n0
, then it must be discounted with the ieal discount iate
i
d0
. The lattei is, of couise, ielated to the maiket discount iate i
d
by
. (3.2.7)
Accoiding to Equation 3.2.4. Piesent values can be calculated with ieal iates and ieal cuiiency oi with
maiket iates and inating cuiiency; the iesult is ieadily seen to be the same because multiplying the
numeiatoi and denominatoi of Equation 3.2.6 by (1 - i
inf
)
n
one obtains
which is equal to
since
(3.2.8)
by Equation 3.2.3.
The iatio P/F
n
of piesent and futuie value is called - . We designate it with the
mnemonic notation
P
F
n
1 r
d
+
n
-------------------- =
r
d0
r
d
r
inf
-
1 r
inf
+
----------------- =
P
F
n
1 r
d
+
n
--------------------
F
n
1 r
inf
+
n
1 r
inf
+
n
1 r
d
+
n
-------------------------------------------- = =
P
F
n0
1 r
d0
+
n
---------------------- =
F
n0
F
n
1 r
inf
+
n
----------------------- =

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i
r
(P/F,i,n) P/F
n
(1 - i)
-n
(3.2.9)
It is plotted in Figuie 3.2.3. Its inveise
(F/P,i,n) (3.2.10)
is called . These factois aie the basic tool foi compaiing cash ows at diffeient
times. Note that we have chosen the end-of-yeai convention by designating F
n
as the value at the end of
the nth yeai. Also, we have assumed annual inteivals, which is geneially an adequate time step foi
engineeiing economic analysis; accountants, by contiast, tend to woik with monthly inteivals, coiie-
sponding to the way most iegulai bills aie paid. The basic foimulas aie the same, but the numeiical
iesults diffei because of diffeiences in the compounding of inteiest; this point is explained moie fully
latei in the section called Disciete and Continuous Cash Flows" in which we pass to the continuous
limit by letting the time step appioach zeio.

What might be an appiopiiate discount iate foi analyzing the eneigy savings fiom a pioposed new
cogeneiation plant foi a univeisity campus: Considei the fact that fiom 1970 to 1988, the endowment
of the univeisity giew by a factoi of 8 (cuiient dollais) due to piofts fiom investments.
The piesent woith factoi (P/F,i,N) as function of iate i and numbei of yeais N.
1
P/F,r,n
----------------

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Given:
giowth factoi in cuiient dollais 8.0,
inciease in CPI 118.3/38.9 3.04, fiom Figuie 3.2.1a,
ovei N 18 yeais.
Find: ieal discount iate i
d0
Theie aie two equivalent ways of solving foi i

d0
.
Fiist method: take the ieal giowth factoi, 8.0/3.04, and set it equal to
(1 - i
d0
)
N
.
The iesult is i
d0
5.52%.
Second method: calculate maiket iate i
d
by setting the maiket giowth in cuiient dollais equal to
(1 - i
d
)
N
and calculate ination by setting the CPI inciease equal to (1 - i
inf
)
N
.
We fnd i
d
12.246% and i
inf
6.371%. Then solve Equation 3.2.7 foi i
d0
, with the iesult i
d0

5.52%, the same as with the fist method.
Comments: Choosing a discount iate is not without pitfalls. Foi the piesent example, the compaiison
with the ieal giowth of othei long-teim investments seems appiopiiate; of couise, theie is no guaiantee
that the endowment will continue giowing at the same ieal iate in the futuie.
- -
It is convenient to expiess iiiegulai oi vaiiable payments as equivalent unifoim payments in iegulai
inteivals; in othei woids, one ieplaces a nonunifoim seiies by an equivalent unifoim seiies. We iefei to
this technique as . It is useful because iegulaiity facilitates undeistanding and planning. To
develop the foimulas, calculate the piesent value P of a seiies of N equal annual payments A. If the fist
payment occuis at the end of the fist yeai, its piesent value is A/(1 - i
d
). Foi the second yeai it is A/(1
- i
d
)
2
, etc. Adding all the piesent values fiom yeai 1 to N, we fnd the total piesent value
(3.2.11)
This is a simple geometiic seiies, and the iesult is ieadily summed to
(3.2.12)
Foi zeio discount iate, this equation is indeteiminate, but its limit i
d
0 is A N, ieecting the fact
that the N piesent values all become equal to A in that case. Analogous to the notation foi the piesent
woith factoi, we designate the iatio of A and P by
(A/P,i
d
,N) (3.2.13)
0.12246 0.06371 -
1 0.06371 +
---------------------------------------------
P
A
1 r
d
+
-------------
A
1 r
d
+
2
--------------------
A
1 r
n
+
N
--------------------- + + + =
P A
1 1 r
d
+
N -
-
r
d
-------------------------------- for r
d
0 =
r
d
1 1 r
d
+
N
-
------------------------------ for r
d
0
1
N
---- for r
d
= 0

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It is called and is plotted in Figuie 3.2.4. Foi the limit of long life, N , it is
woith noting that (A/P,i
d
,N) i
d
if i
d
> 0. The inveise is known as -- - since P is
the piesent value of a seiies of equal payments A.
With the help of piesent woith factoi and capital iecoveiy factoi, any single expense C
n
that occuis
in yeai n, foi instance a majoi iepaii, can be expiessed as an equivalent annual expense A that is constant
duiing each of the N yeais of the life of the system. The piesent value of C
n
is P (P/F,i
d
,n) C
n
and the
coiiesponding annual cost is
A (A/P,i
d
,N)(P/F,i
d
,N)C
n
(3.2.14)
.

A system has a salvage value of $1000 at the end of its useful life of N 20 yeais. What is the equivalent
levelized annual value if the discount iate is 8%:
The capital iecoveiy factoi (A/P,i,N) as function of iate i and numbei of yeais N.
0.00
0.05
0.10
0.15
0.20
0.25
0.30
0.35
-5 0 5 10 15 20 25
(A/P,r,N)
r [%]
N=5
10
15
20
25
30
r
d
1 1 r
d
+
N -
-
-------------------------------- 1 r
d
+
n -
C
n

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Given: C
20
$1000, N n 20 and i
d

0.08.
Find: A.
Lookup values:
(A/P,i
d
,N) 0.1019 foi Figuie 3.2.4 oi Equation 3.2.13,
and (P/F,i
d
,n) 0.2145 fiom Figuie 3.2.3 oi Equation 3.2.9.
Inseit into Equation 3.2.14

A (A/P,i
d
,N) (P/F,i
d
,n) C
20
0.1019 0.2145 1000 $/yi 21.86 $/yi.
A veiy impoitant application of the capital iecoveiy factoi is the calculation of loan payments. In
piinciple, a loan could be iepaid accoiding to any aibitiaiy schedule, but, in piactice, the most common
aiiangement is based on constant payments in iegulai inteivals. The poition of A due to inteiest vaiies,
in a way calculated latei in the section on Piincipal and Inteiest," but to fnd the ielation between A
and the loan amount L we need not woiiy about that. Let us fist considei a loan of amount L
n
that is
to be iepaid with a single payment F
n
at the end of n yeais. With n yeais of inteiest, at loan inteiest iate
i
l
, the payment must be
F
n
L
n
(1 - i
l
)
n
.
Compaiison with the piesent woith factoi shows that the loan amount is the piesent value of the
futuie payment F
n
, discounted at the loan inteiest iate.
A loan that is to be iepaid in N equal installments can be consideied as the sum of N loans, the nth
loan to be iepaid in a single installment A at the end of the nth yeai. Discounting each of these payments
at the loan inteiest iate and adding them we fnd the total piesent value; it is equal to the total loan amount
(3.2.15)
This is just the seiies of the capital iecoveiy factoi. Hence, the ielation between annual loan payment
A and loan amount L is
A (A/P,i
l
,N) L. (3.2.16)
Now the ieason foi the name becomes cleai; it is the iate at which a bank iecoveis
its investment in a loan.

A home buyei obtains a moitgage of $100,000 at inteiest iate 8% ovei 20 yeais. What aie the annual
payments:
Given: L $100,000, i
l
8%, N 20 yi.
Find: A.
Fiom Figuie 3.2.4 the capital iecoveiy factoi is 0.1019, and the annual payments aie $10,190,
appioximately one tenth of the loan amount.
Some payments inciease oi deciease at a constant annual iate. It is convenient to ieplace a giowing
oi diminishing cost by an equivalent constant oi cost. Suppose the piice of eneigy is p
e
at the
L P
A
1 r
l
+
------------
A
1 r
l
+
2
-------------------
A
1 r
l
+
N
-------------------- + + + = =

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stait of the fist yeai, escalating at an annual iate i
e
while the discount iate is i
d
. If the annual eneigy
consumption Q is constant, then the piesent value of all the eneigy bills duiing the N yeais of system life is
(3.2.17)
assuming the end-of-yeai convention desciibed above. As in Equation 3.2.3 we intioduce a new vaiiable
i
d,e
defned by
(3.2.18)
oi
, (3.2.19)
which allows us to wiite P
e
as
P
e
(P/A,i
d,e
,N) Q p
e
. (3.2.20)
Since (A/P,i
d
,N) is the inveise of (A/P,i
d
,N), we can wiite this as
If the quantity in biackets weie the piice, this would only be the foimula without escalation. Let us
call this quantity the eneigy piice
(3.2.21)
It allows us to calculate the costs as if theie weie no escalation. Levelized quantities can fll a gap in
oui intuition which is ill piepaied to gauge the effects of exponential giowth ovei an extended peiiod.
The levelizing factoi
(3.2.22)
tells us, in effect, the aveiage of a quantity that changes exponentially at a iate i
e
while being discounted
at a iate i
d
ovei a lifetime of N yeais. It is plotted in Figuie 3.2.5 foi a wide iange of the paiameteis.

The piice of fuel is p
e
5 $/GJ at the stait of the fist yeai, giowing at a iate i
e
4% while the discount
iate is i
d
6%. What is the equivalent levelized piice ovei N 20 yeais:
Given: p
e
5 $/GJ, i
e
4%, i
d
6%, N 20 yi.
Find:
Fiom Figuie 3.2.5 the levelizing factoi is 1.44. Hence the levelized fuel piice is
1.44 5 $/GJ
7.20 $/GJ.
P
e
Qp
e
1 r
e
+
1 r
d
+
-------------
1
1 r
e
+
1 r
d
+
-------------
2
1 r
e
+
1 r
d
+
-------------
N
+ + + =
1 r
d e
+
1 r
d
+
1 r
e
+
------------- =
r
d e
r
d
r
e
-
1 r
e
+
-------------- r
d
r
e
if r
e
<<1 - =
P
e
(P/A,r
d
,N) Q
(A/P,r
d
,N)
(A/P,r
d e
,N)
----------------------------p
e
=
p
e
(A/P,r
d
,N)
(A/P,r
d e
,N)
----------------------------p
e
=
levelizing factor
(A/P,r
d
,N)
(A/P,r
d e
,N)
---------------------------- =

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Levelizing factoi (A/P,i
d
,N)/(A/P,i
d,e
,N) as a function of i
d
and i
d,e
. (a) N 5 yi; (b) N 10 yi; (c) N 20 yi.
0.7
0.8
0.9
1.0
1.1
1.2
1.3
1.4
1.5
-5 0 5 10 15 20 25 30
4%
3%
2%
1%
0%
-1%
-2%
-3%
N=5
levelizing factor
r
d
[%]
r
e
(a)
0.7
0.8
0.9
1.0
1.1
1.2
1.3
1.4
1.5
-5 0 5 10 15 20 25 30
4%
3%
2%
1%
0%
-1%
-2%
-3%
N=10
levelizing factor
r
d
[%]
r
e
(b)
0.7
0.8
0.9
1.0
1.1
1.2
1.3
1.4
1.5
-5 0 5 10 15 20 25 30
4%
3%
2%
1%
0%
-1%
-2%
-3%
N=20
levelizing factor
r
d
[%]
r
e
(c)

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Seveial featuies may be noted in Figuie 3.2.5. Fiist, the levelizing factoi incieases with cost escalation i
e
,
being unity if i
e
0. Second, foi a given escalation iate, the levelizing factoi decieases as the discount
iate incieases, ieecting the fact that a high discount iate de-emphasizes the inuence of high costs in
the futuie.
- - - -
The above foimulas suppose that all costs and ievenues occui in disciete inteivals. That is common
engineeiing piactice, in accoid with the fact that bills aie paid in disciete installments. Thus, giowth
iates aie quoted as annual changes even if giowth is continuous. It is instiuctive, howevei, to considei
the continuous case.
Let us establish the connection between continuous and disciete giowth by way of an apociyphal stoiy
about the discoveiy of , the basis of natuial logaiithms. Befoie the days of compound inteiest, a
mathematician who was an inveteiate penny pinchei thought about possibilities of incieasing the inteiest
he eained on his money. He iealized that if the bank gives inteiest at a iate of i pei yeai, he could get
even moie by taking the money out aftei half a yeai and ieinvesting it to eain inteiest on the inteiest as
well. With compounding inteivals pei yeai the money would giow by a factoi
(1 - i/m)
m
and the laigei m, the laigei this factoi. Of couise, he looked at the limit m and found the iesult
(3.2.23)
At the end of one yeai the giowth factoi is (1 - i
ann
) with annual compounding at a iate i
ann
, while
with continuous compounding at a iate i
cont
the giowth factoi is exp(i
cont
). If the two giowth factois aie
to be the same, the giowth iates must be ielated by
1 - i
ann
exp(i
cont
). (3.2.24)
With this ieplacement of iates, the continuous foimulas in Table 3.2.1 yield the same iesults as the
disciete ones. Similaily, with m compounding inteivals at iate i
m
is equivalent to annual compounding
if one takes
1 - i
ann
(1 - i
m
/m)
m
. (3.2.25)

A bank quotes a nominal inteiest iate of 10% (i.e., annual giowth without compounding). What is
the equivalent annual giowth iate with monthly, daily, and continuous compounding:
Disciete and Continuous Foimulas foi Economic Analysis,
with Giowth Rate i and Time Hoiizon N
Quantity
known
Quantity
to be found Factoi
Expiession foi
disciete analysis
Expiession foi
continuous analysis
P F (F/P,i,N) (1 - i)
N
exp(iN)
F P (P/F,i,N) (1 - i)
-N
exp(-iN)
P A (A/P,i,N)
A P (P/A,i,N)
The iates foi the disciete and continuous foimulas aie ielated by Equation
3.2.24.
r
1 1 r +
N -
-
------------------------------
r 1 - exp
1 rN - exp -
---------------------------------
1 1 r +
N -
-
r
------------------------------
1 - exp -
1 - exp
---------------------------------
1 r m +
m
m
lim e
r
with e 2.71828 = =

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Foi monthly compounding take m 12 in Equation 3.2.25, with the iesult

i
12
(1 - 0.1/12)
12
- 1 0.104713
With daily compounding we have
i
365
(1 - 0.1/365)
365
- 1 0.105155
and with continuous compounding
i
cont
exp(0.1) - 1 0.105171.
Comment: Beyond monthly compounding the diffeiences aie veiy small.
Foi small iates the fist thiee teims in the seiies expansion of the exponential give an appioximation
i
ann
i
cont
(1 - i
cont
/2)
which is convenient if one does not have a calculatoi at hand.
-
Most of us do not have a good intuition foi exponential giowth. As a helpful tool we piesent theiefoie
the iule of seventy foi doubling times. The doubling time N
2
is ielated to the continuous giowth iate
i
cont
by
2 exp(N
2
i
cont
) (3.2.26)
Solving the exponential ielation foi N
2
we obtain
.
The pioduct of doubling time and giowth iate in units of peicent is veiy close to 70 yeais
N
2
i
cont
100 69.3 . yi 70 yi. (3.2.27)
In teims of annual iates, the ielation would be
,
numeiically close to Equation 3.2.27 foi small iates, but less convenient.

Population giowth iates aveiage 2% foi the woild as a whole and ieach 4% in ceitain countiies. What
aie the coiiesponding doubling times:
70/2 35 yi foi the woild,

and 70/4 17.5 yi foi countiies with 4% giowth.

A consultant piesents an economic analysis of an eneigy investment with N 20 yi, assuming a 10%
escalation iate foi eneigy piices without stating the ination iate. Is that ieasonable:
N
2
2 ln
r
cont
-------------
0.693
r
cont
------------------- = =
N
2
2 ln
1 r
ann
+ ln
---------------------------- =

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A giowth iate of 10% implies a doubling time of 7 yeais. Theie would be almost thiee doublings in
20 yeais, with a fnal eneigy piice almost eight times the oiiginal. In constant dollais that would cleaily
be an absuid hypothesis. A totally diffeient conclusion emeiges if the ination weie 6%: then the ieal
giowth iate would be only 10 - 6 4%, and the doubling time 17.5 yeais in constant cuiiency;
although extieme, that is not inconceivable given oui expeiience since the 1973 oil shock.
Comment: Theie aie two lessons:
1. Nevei state giowth iate oi discount iate without indicating the coiiesponding ination.
2. Be caieful about assuming laige giowth iates ovei long time hoiizons. Use the iule of 70 to check
whethei the implications foi the end of the time hoiizon make sense.
-
- -
A iational decision is based on the tiue total cost, which is the sum of the piesent values of all cost
components and is called -. The cost components ielevant foi the HVAC engineei aie
Capital cost (total initial investment)
Eneigy costs
Costs foi maintenance, including majoi iepaiis
Resale value
Insuiance
Taxes
Theie is some aibitiaiiness in this assignment of categoiies. One could make a sepaiate categoiy foi
iepaiis, oi one could include eneigy among O&M (opeiation and maintenance) cost, as is done in some
industiies. Theie is, howevei, a good ieason foi keeping eneigy apait. In buildings, eneigy costs dominate
the othei O&M costs, and they can giow at a diffeient iate. Electiic iates usually contain chaiges foi
peak demand in addition to chaiges foi eneigy (see the section on Demand Chaige" discussed latei).
As a geneial iule, if an item is impoitant it meiits sepaiate tieatment.
Rental income needs to be included if one wants to evaluate the pioftability of the building, oi if one
wants to compaie design options that would affect the ient. It can be left out of the pictuie if one is
conceined only with compaiing design options that do not diffei in theii effect on iental income. The
same is tiue foi cleaning, secuiity, and fie piotection. - - -
- - Foi example, when choosing between two chilleis,
one can iestiict one`s attention to the costs associated diiectly with the chilleis (capital cost, eneigy,
maintenance), without woiiying about the heating system if it is not affected. In some cases it becomes
necessaiy to account foi the effects of taxes, because of tax deductions foi inteiest payments and depie-
ciation; these items aie discussed below followed by the equation foi the complete system cost.
-
In the U.S., inteiest payments aie deductible fiom the income tax, while payments foi the ieimbuisement
of the loan aie not. A tax paying investoi, theiefoie, needs to know what fiaction of a loan payment is
due to inteiest. As explained eailiei in the section on Equivalent Cash Flows and Levelizing," it is assumed
that a loan of duiation N
l
is iepaid in N
l
iegulai and equal payments A. (In this section we take N and
N
l
in yeais, but the foimulas aie valid foi any choice of units. Foi billing puiposes, the month is fiequently
chosen as the payment peiiod. Slight numeiical diffeiences in the payments aie due to compound
inteiest.) Considei the nth payment, and let I
n
inteiest and P
n
piincipal (loan ieimbuisement); theii
sum A is constant

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I
n
- P
n
A. (3.2.28)
Up to this point, n-1 payments have been made, so the debt iemaining (on a loan of amount L) is
iemaining debt L - P
1
- P
2
- . P
n-1
. (3.2.29)
At a loan inteiest iate i
l
the inteiest foi the nth peiiod is
I
n
i
l
(L - P
1
- P
2
- . - P
n-1
). (3.2.30)
Compaiing I
n-1
with I
n
one fnds
I
n-1
I
n
- i
l
P
n
(3.2.31)
By means of Equation 3.2.28, one can eliminate P
n
with the iesult
I
n-1
(1 - i
l
)I
n
- i
l
A. (3.2.32)
This iecuision ielation has the solution
I
n
(1 - i
l
)
n-1
i
l
L - 1 - (1 - i
l
)
n-1
] A (3.2.33)
as can ieadily be pioved by mathematical induction. Since A and L aie ielated by A (A/P,i
l
,N
l
) L,
wheie N
l
is the duiation of the loan and (A/P,i
l
,N
l
) the capital iecoveiy factoi of Equation 3.2.13, this
can be iewiitten in the foim
I
n
/A 1 - (1 - i
l
)
n-1-N
l
. (3.2.34)
It is woith noting the peiiod n enteis only in the combination (n - N
l
), implying the fiactional
allocation to piincipal and inteiest depends only on the numbei of peiiods (n - N
l
) left in the loan, not
on the oiiginal life of the loan. A loan has no memoiy, so to speak.
In geneial, the loan inteiest iate i
l
diffeis fiom the discount iate i used foi the economic analysis, and
the loan life N
l
may be diffeient fiom the system life N. Inseiting A (A/P,i
l
,N
l
) into Equation 3.2.34,
we fnd that the inteiest payment I is ielated to loan amount L by
I
n
1 - (1 - i
l
)
n-1-N
l
] (A/P,i
l
,N
l
) L. (3.2.35)
The piesent value P
int
of the total inteiest payments is found by discounting each I with the discount
iate i and summing ovei n
. (3.2.36)
Using the foimula foi geometiic seiies, this can be tiansfoimed to
(3.2.37)
with
i
dl
(i
d
- i
l
)/(1 - i
l
).
P
int
1 1 r
1
+
n 1 - N
1
-
-
1 r
d
+
n
-------------------------------------------- A/P,r
l
,N
1
L
n 1 =
N
1
=
P
int
A/P,r
l
,N
l
A/P,r
d
,N
l
---------------------------
A/P,r
l
,N
l
r
l
-
1 r
l
+ A/P,r
d1
,N
l
----------------------------------------------- - L =

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If the inciemental tax iate is , the total tax payments aie ieduced by P
int
(assuming a constant tax
iate; otheiwise, the tax iate would have to be included in the summation).

A solai watei heating system costing $2000 is fnanced with a 5-yeai loan at i
l
8%. The tax iate is
40%. How much is the tax deduction foi inteiest woith if the discount iate is i
d
8%:
Given:
L $2000, i
l
8%, i
d
8%, 40%.
Find:
P
int
Lookup values:
(A/P,i
dl
,N
l
) 0.20 and (A/P,i
l
,N
l
) 0.2505 fiom Equation 3.2.13
We have i
dl
0, since i
l
i
d
.
Also (A/P,i
dl
,N
l
) 0.20,
and (A/P,i
l
,N
l
) 0.2505 (A/P,i
d
,N
l
).
Thus the piesent value of the inteiest payments is, fiom Equation 3.2.37,
P
int
$2000 $421.
At the stated tax iate that is woith 0.40 $421 $168.

U.S. tax law allows business piopeity to be depieciated. This means that foi tax puiposes the value of
the piopeity is assumed to deciease by a ceitain amount each yeai, and this deciease is tieated as a tax
deductible loss. Foi the economic analysis, one needs to expiess the depieciation as an equivalent piesent
value. The details of the depieciation schedule have been changing with the tax iefoim of the 1980s.
Instead of tiying to piesent the full details, which can be found in Inteinal Revenue Seivice publications,
we meiely note the geneial featuies. In any yeai n, a ceitain fiaction f
dep,n
of the capital cost (minus
salvage value) can be depieciated. Foi example, in the simple case of stiaight line depieciation ovei N
dep
yeais
f
dep,n
1/N
dep
foi stiaight line depieciation. (3.2.38)
To obtain the total piesent value, one multiplies by the piesent woith factoi and sums ovei all yeais
fiom 1 to N
. (3.2.39)
Foi stiaight line depieciation the sum is
f
dep
foi stiaight line depieciation. (3.2.40)
1
0.2505 0.08 -
1.08 0.20
--------------------------------- -
f
dep
f
dep,n
P/F,r
d
,n
n 1 =
N
dep
=
(P/A,r
d
,N
dep
N
dep
--------------------------------

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A fuithei featuie of some tax laws is the tax ciedit. Foi instance, in the U.S. foi seveial yeais aiound
1980, tax ciedits weie gianted foi ceitain ienewable eneigy systems. If the tax ciedit iate is
cied
foi an
investment C
cap
, the tax liability is ieduced by
cied
C
cap
.

A machine costs $10,000 and is depieciated with stiaight line depieciation ovei 5 yeais, and the salvage
value aftei 5 yeais is $1000. Find the piesent value of the tax deduction foi depieciation if the
inciemental tax iate is 40%, and the discount iate i
d
15%.
Given:
C
cap
10 k$,
C
salv
1 k$,
N 5 yi,
0.4,
i
d
0.15.
Find: f
dep
(C
cap
- C
salv
)
Lookup values:
f
dep
3.3523/5 0.6705, fiom Equation 3.2.40.
Foi tax puiposes, the net amount to be depieciated is the diffeience

C
cap
- C
salv
(10 - 1) k$ 9 k$,
and with stiaight line depieciation 1/N
dep
1/5 of this can be deducted fiom the tax each yeai.
Thus, the annual tax is ieduced by (1/5) 9 k$ 0.40 1.8 k$ 0.72 k$ foi each of the fve yeais.
The piesent value of this tax ieduction is
f
dep
(C
cap
- C
salv
) 0.40 0.6705 9 k$ 2.41 k$.
Comment: The piesent value of the ieduction would be equal to 5 0.72 k$ 3.6 k$ if the i
d
weie
zeio. The discount iate of 15% ieduces the piesent value by almost a thiid to 0.6705 f
dep
.

The cost of pioducing electiicity has two majoi components: fuel and capital (foi powei plant and
distiibution system). As a consequence, the cost of electiicity vaiies with the total load on the giid. To
the extent that it is piactical, utility companies tiy to base the iate schedule on theii pioduction cost.
Thus, the iates foi laige customeis contain two items: one pait of the bill is piopoitional to the eneigy,
and the othei is piopoitional to the peak demand. (Foi most individual houses, the bill contains only
an eneigy chaige because the cost of sepaiate meteis was once consideied to be too high.) If the monthly
demand chaige is p
dem
10 $/kW and the eneigy chaige p
e
0.07 $/kWh, a customei with monthly
eneigy consumption Q
m
and peak demand P
max
will ieceive a total bill of
monthly bill Q
m
p
e
- P
max
p
dem
(3.2.41)
Theie aie many small vaiiations fiom one utility company to anothei. In most cases, p
e
and p
dem
depend on time of day and time of yeai, being highei duiing the system peak than off peak. In iegions
with extensive aii conditioning, the system peak occuis in the afteinoon of the hottest days. In iegions
(P/A,0.15,5 yr)
5 yr
------------------------------------
1 0.2983
5
----------------------------

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with much electiic heating, the peak is coiielated with outdooi tempeiatuie. Some companies use what
is called a iatcheted" demand chaige; it has the effect of basing the demand chaige on the annual iathei
than the monthly peak.

A 100 ton electiic chillei with COP 3 is used foi 8 months of the yeai (iunning at 100% capacity
at least once pei month duiing 4 months and at 50% capacity at least once pei month duiing
4 months), and the total load is equivalent to 1000 houis at peak capacity (a typical value aiound the
belt fiom New Yoik to Denvei). What is the annual electiicity bill, if p
e
0.10 $/kWh
e
and p
dem

10 $/kW
e
pei month:
Given:
P
max,t
100 ton 3.516 kW
t
/ton, with COP 3 kW
t
/kW
e
,
annual eneigy P
max
1000 h,
demand P
max
foi 4 months and 0.5 P
max
foi 4 months,
p
e
0.10 $/kWh
e
,
p
dem
10 $/kW
e
pei month.
Find: annual bill.
Peak demand P
max
(100 ton 3.516 kW
t
/ton)/(3 kW
t
/kW
e
) 117.2 kW
e
.
annual eneigy Q P
max,e
1000 h 117,200 kWh
e
.
annual bill Q p
e
- P
max
p
dem
(4 1 - 4 0.5)
117,200 kWh
e
0.10 $/kWh
e
- 117.2 kW
e
10 $/kW
e
6
$11,720 - $7032
$18,752.
Comments: In a ieal building, the piecise value of the peak demand may be diffcult to piedict because
it depends on the coincidence of the demands of individual pieces of equipment.
The total cost pei kWh depends on the load piofle. The moie uneven the piofle, the highei the cost.
To take an extieme example, suppose the chillei weie used only one houi pei yeai, at full capacity. Then,
with the iate stiuctuie of this example, the demand chaige would be $1172 while the eneigy chaige
would be only $11.72, all that foi consuming 1 kWh of eneigy. The total cost pei kWh would be $1172
- 11.72 $1183.72 foi 117.2 kWh, an effective electiicity piice of 10.10 $/kWh. This illustiates the
inteiest of load leveling devices, such as cool stoiage foi electiic chilleis.

The equations foi a business investment can be stated in teims of befoie-tax cost oi aftei-tax cost.
Considei the puichase of fuel, with a maiket piice of 5 $/GJ, by a business that is subject to an income
tax iate 40%. Fuel, like all business expendituies, is tax deductible. And it is ultimately paid by piofts.
To puichase 1 GJ, one takes $5 of piofts befoie taxes; this ieduces the tax liability by $5 40% $2,
iesulting in a net cost of only $3 aftei taxes.
We could do the accounting befoie oi aftei taxes; the foimei counts the cash payments, the lattei the
net (aftei-tax) values. The two modes diffei by a factoi (1 - ) wheie is the income tax iate. Foi example,
if the maiket piice of fuel is 5 $/GJ and the tax iate 40%, then the befoie-tax cost of fuel is 5 $/GJ

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and the aftei-tax cost (1 - ) 5 $/GJ 3 $/GJ. Stated in teims of -, the complete equation
foi the life cycle cost of an eneigy investment can be wiitten in the foim
C
life
(3.2.42)
C
cap
{(1 - f
l
) down payment
- f
l
cost of loan
- f
l
tax deduction foi inteiest
-
cied
tax ciedit
- f
dep
depieciation
- C
salv
(1 - ) salvage
- Q p
e
cost of eneigy
- P
max
p
dem
cost of demand
- A
m
cost of maintenance
wheie
A
M
annual cost foi maintenance in fist yeai $]
C
cap
capital cost in fist yeai $]
C
salv
salvage value in fist yeai $]
f
dep
piesent value of depieciation, as fiaction of C
cap
f
l
fiaction of investment paid by loan
N system life yi]
N
l
loan peiiod yi]
p
e
eneigy piice in fist yeai $/GJ]
Q annual eneigy consumption GJ]
i
d
maiket discount iate
i
e
maiket eneigy piice escalation iate
i
d,e
(i
d
- i
e
)/(1 - i
e
)
i
dem
maiket demand chaige escalation iate
i
d,dem
(i
d
- i
dem
)/(1 - i
dem
)
i
inf
geneial ination iate
i
l
maiket loan inteiest iate
i
d,l
(i
d
- i
l
)/(1 - i
l
)
i
M
maiket escalation iate foi maintenance costs
i
d,M
(i
d
- i
M
)/(1 - i
M
)
inciemental tax iate
cied
tax ciedit
(A/P,r
1
,N
1
)
(A/P,r
d
,N
1
)
---------------------------
(A/P,r
1
,N
1
)
(A/P,r
d
,N
1
)
---------------------------
(A/P,r
1
,N
1
) r
1
-
1 r
1
+ (A/P,r
d 1
,N
1
)
-------------------------------------------------- -
1 r
inf
+
1 r
d
+
----------------
N
1 -
(A/P,r
d e
,N)
-----------------------------
1 -
(A/P,r
d dem
,N)
----------------------------------
1 -
(A/P,r
d M
,N)
-------------------------------

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If theie aie seveial foims of eneigy, e.g., gas and electiicity, the teim Q p
e
is ieplaced by a sum ovei
the individual eneigy teims. Many othei vaiiations and complications aie possible; foi example, the
salvage tax iate could be diffeient fiom .

Find the life cycle cost of the chillei of Example 11 undei the following conditions:
Given:
system life N 20 yi,
loan life N
l
10 yi,
depieciation peiiod N
dep
10 yi, stiaight line depieciation
discount iate i
d
0.15,
loan inteiest iate i
l
0.15,
eneigy escalation iate i
e
0.01,
demand chaige escalation iate i
dem
0.01,
maintenance cost escalation iate i
M
0.01,
ination i
inf
0.04,
loan fiaction f
l
0.7,
tax iate 0.5,
tax ciedit iate
cied
0,
capital cost (at 400 $/ton) C
cap
40 k$,
salvage value C
salv
0,
annual cost of maintenance A
M
0.8 k$/yi ( 2% of C
cap
),
capacity 100 ton 351.6 kW
t
,
peak electiic demand 351.6 kW
t
/COP 117.2 kW
e
,
annual eneigy consumption Q 100 ktonh 351.6 MWh
t
,
electiic eneigy piice p
e
10 cents/kWh
e
100 $/MWh
e
,
demand chaige p
dem
10 $/kW
e
month, effective duiing 6 months of the yeai.
The iates aie maiket iates.
Find: C
life
.
Lookup values:
i
d,l
0.0000 (A/P,i
l
,N
l
) 0.1993
i
d,e
0.1386 (A/P,i
d
,N
l
) 0.1993
i
d,dem
0.1386 (A/P,i
d,l
,N
l
) 0.1000
i
d,M
0.1386 (A/P,i
d
,N) 0.1598
(A/P,i
d,e
,N) 0.1498
(1-i
inf
)/(1-i
d
) 0.9043 (A/P,i
d,dem
,N) 0.1498

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f
dep
0.502 fiom Equation 3.2.40 (A/P,i
d,M
,N) 0.1498
Components of C
life
all in k$] as pei Equation 3.2.42
down payment 12.0
cost of loan 28.0
tax deduction foi inteiest -8.0
tax ciedit 0.0
depieciation -10.0
salvage value 0.0
cost of eneigy 39.1
cost of demand chaige 23.5
cost of maintenance 2.7
Total C
life
87.3
Comments:
a. A spieadsheet is iecommended foi this kind of calculation. Standaid business calculatois contain
most needed functions.
b. The cost of eneigy and demand is highei than the capital cost.
-
Sometimes it is necessaiy to know the cost pei unit of deliveied seivice (foi example, cost pei ton-houi
of cooling), analogous to the cost pei diiven mile foi cais. This can be calculated as a iatio of levelized
annual cost and annual deliveied seivice. The levelized annual cost is obtained by multiplying the life
cycle cost by the capital iecoveiy factoi foi discount iate and system life. Theie appeai two possibilities:
the ieal discount iate i
d0
and the maiket discount iate i
d
. The quantity (A/P,i
d0
,N) C
life
is the annual cost
in constant dollais (of the initial yeai), wheieas (A/P,i
d
,N) C
life
is the annual cost in inating dollais. The
lattei is diffcult to inteipiet because it is an aveiage ovei dollais of diffeient ieal value. Theiefoie, we
levelize with the ieal discount iate because it expiesses eveiything in fist yeai dollais, consistent with
the cuiiency of C
life
. Thus, we wiite the annual cost in initial dollais as
A
life
(A/P,i
d0
,N)C
life
. (3.2.43)
The effective total cost pei deliveied seivice is theiefoie
effective cost pei eneigy A
life
/Q (3.2.44)
wheie Q annual deliveied seivice (assumed constant, foi simplicity).
We do not simply divide C
life
by the seivice N Q deliveied by the system ovei its life time because that
would not be consistent; C
life
is the piesent value, while N Q contains seivice ows (and thus monetaiy
values) that aie associated with futuie times. One must allocate seivice ows and costs within the same
time fiame which is accomplished by dividing the levelized annual cost by the levelized annual seivice;
the lattei is equal to Q because we have assumed that the consumption is constant fiom yeai to yeai.

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What is the cost pei ton-houi foi the chillei of Example 12:
Given: C
life
87.3 k$ and Q 100 ktonh.
Find: A
life
/Q.
Lookup values:
i
d0
0.1058 fiom Equation 3.214
(A/P,i
d0
,N) 0.1221 fiom Equation 3.2.13.
Levelized annual cost in fist yeai dollais

A
life
(A/P,i
d0
,N) C
life
0.1221 87.3 k$ 10,659 $/yi.
Cost pei ton-houi A
life
/Q 0.107 $/tonh.
- -- A
In the life cycle cost equation, all cost components have been conveited to equivalent piesent values (i.e.,
fist yeai costs). Let us see to what extent the iesult is the same whethei one uses constant cuiiency and
ieal iates oi inating cuiiency and maiket iates. In the teim foi eneigy cost only the vaiiable i
d,e

(i
d
- i
e
)/(1 - i
e
) depends on this choice. Inseiting ieal iates accoiding to
(3.2.45)
and
, (3.2.46)
one fnds that
, (3.2.47)
and aftei cancelling the factoi (1 - i
inf
), one sees that this is equal to
. (3.2.48)
The eneigy cost is the same, whethei one uses ieal iates oi maiket iates. The same holds foi the
maintenance cost teim. The salvage teim is also independent of this choice because
(1 - i
inf
)/(1 - i
d
) 1/(1 - i
d0
).
By contiast, the iatio of capital iecoveiy factois in the loan teims is not invaiiant, as one can see by
inseiting numeiical values. Foi example, with i
d0
0.08, i
l0
0.12, and i
inf
0.05 one fnds, with N 20 yi,
1 r
d0
+
1 r
d
+
1 r
inf
+
---------------- =
1 r
e0
+
1 r
e
+
1 r
inf
+
---------------- =
r
d e
1 r
d0
+ 1 r
inf
+ 1 r
e0
+ 1 r
inf
+ -
1 r
e0
+ 1 r
inf
+
------------------------------------------------------------------------------------------- =
r
d e
1 r
d0
+ 1 r
e0
+ -
1 r
e0
+
----------------------------------------------- =

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.
The coiiesponding maiket iates aie i
d
0.134 and i
l
0.176, and the iatio becomes
.
The diffeience aiises fiom the fact that the cash ows aie diffeient. Foi a loan that is based on ieal
iates, the annual payments aie constant in constant cuiiency, wheieas foi one based on maiket iates the
payments aie constant in inating cuiiency. Similaily, the depieciation teims can depend on ination.
It follows that the two appioaches, constant cuiiency and inating cuiiency, yield identical iesults foi
equity investments (f
l
0) without depieciation. But, if f
l
oi f
dep
aie not zeio, theie can be diffeiences.
Numeiically the effect is not laige, at most on the oidei of ten peicent foi ination iates below ten
peicent Dickinson and Biown, 1979]. The effect has opposite signs foi the loan teim and the depieciation
teim, leading to paitial cancellation of the eiioi.

-
Having deteimined the life cycle cost of each ielevant design alteinative, one can select the best," i.e.,
the one that offeis all desiiable featuies at the lowest life cycle cost. Fiequently, one takes one design as
iefeience and consideis the diffeience between it and each alteinative design. The diffeience is called
-- ielative to the iefeience case
S - C
life
with C
life
C
life
- C
life,ief
. (3.2.49)
Often the compaiison can be quite simple because only those teims that aie diffeient between the
designs need to be consideied. Foi simplicity, we wiite the equations of this section only foi an equity
investment without tax. Then, the loan fiaction f
l
in Equation 3.2.42 is zeio and most of the complications
of that equation diop out. Of couise, the concepts of life cycle savings, inteinal iate of ietuin, and payback
time aie peifectly geneial, and tax and loan can ieadily be included.
A paiticulaily impoitant case is the compaiison of two designs that diffei only in capital cost and
opeiating cost; the one that saves opeiating costs has highei initial cost (otheiwise the choice would be
obvious, without any need foi an economic analysis). Setting f
l
,
cied
C
salv
P
max
A
m
and 0 in Equation
3.2.42 and taking the diffeience between the two designs, one obtains the life cycle savings as
(3.2.50)
wheie
Q Q - Q
ief
diffeience in annual eneigy consumption,
C
cap
C
cap
- C
cap,ief
diffeience in capital cost, and
i
d,e
(i
d
- i
e
)/(1 - i
e
).
(If the iefeience design has highei consumption and lowei capital cost, Q is negative, and C
cap
is
positive with this choice of signs.)

Compaied to a one-stage model, a two-stage absoiption chillei is moie effcient, but its fist cost is
highei. Find the life cycle savings of a two-stage model foi the followings situation.
(A/P,r
10
,N)
(A/P,r
d0
,N)
--------------------------- 1.31 =
(A/P,r
1
,N)
(A/P,r
d
,N)
------------------------- 1.26 =
S
Qp
e
-
(A/P,r
d e
,N)
----------------------------- C
cap
- =

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Given:
Requiied chillei capacity 1000 kW
t
,
opeiating at 1000 houis pei yeai full load equivalent.
A single stage absoiption chillei has COP 0.7 and costs 100 $/kW
t
(iefeience system),
while a two-stage absoiption chillei has COP 1.1 and costs 130 $/kW
t
.
gas piice p
e
4 $/GJ at the stait,
escalating at i
e
0% (ieal),
discount iate i
d
8% (ieal).
Find:
Life cycle savings foi the two-stage chillei.
Lookup value:
(A/P,i
d
,N) 0.1019.
The annual eneigy consumption is

1000 kW
t
1000 hi/COP 1.0 MWh
t
/COP. This equals
5.143 10
3
GJ
gas
foi COP 0.7 and
3.273 10
3
GJ
gas
foi COP 1.1;
thus the diffeience in eneigy cost is
Q p
e
(3.273 - 5.143) 10
3
GJ 4 $/GJ -$7481 pei yeai;
the diffeience in capital cost is
C
cap
(130 - 100) 1000 $30,000
Fiom Equation 3.2.50 we fnd the life cycle savings
S - Q p
e
/(A/P,i
d,e
,N) - C
cap
$7481/0.1019 - 30,000 $73,415 - 30,000 $43,415.
Comment:
Even though the discount iate in this example is iathei high (5% might be moie appiopiiate), the life
cycle savings aie laige. The investment ceitainly pays off.

The life cycle savings aie the tiue savings if all the input is known coiiectly and without doubt. But
futuie eneigy piices oi system peifoimance aie unceitain, and the choice of the discount iate is not cleai
cut. An investment in a building oi its equipment is unceitain, and it must be compaied with competing
investments that have theii own unceitainties. The limitation of the life cycle savings appioach can be
ciicumvented if one evaluates the pioftability of an investment by itself, expiessed as a dimensionless
iate. Then one can iank diffeient investments in teims of pioftability and in teims of iisk. Geneial
business expeiience can seive as a guide foi expected pioftability as a function of iisk level. Among
investments of compaiable iisk the choice can then be based on pioftability.

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h
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g
y
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Moie piecisely, the pioftability is measuied as i
i
, defned as that value of the
discount iate i
d
at which the life cycle savings S aie zeio:
S(i
d
) 0 at i
d
i
i
. (3.2.51)
Foi an illustiation, take the case of Equation 3.2.50 with eneigy escalation iate i
e
0 (so that i
d,e

i
d
), and suppose an extia investment C
cap
is made to piovide annual eneigy savings (- Q). The initial
investment C
cap
piovides an annual income fiom eneigy savings
annual income (- Q)p
e
. (3.2.52)
If C
cap
weie placed in a savings account instead, beaiing inteiest at a iate i
i
, the annual income would
be
annual income (A/P,i
i
,N) C
cap
. (3.2.53)
The investment behaves like a savings account whose inteiest iate i
i
is deteimined by the equation
(A/P,i
i
,N) C
cap
(- Q)p
e
. (3.2.54)
Dividing by (A/P,i
i
,N), we see that the iight and left sides coiiespond to the two teims in Equation
3.2.50 foi the life cycle savings
, (3.2.55)
and that i
i
is indeed the discount iate i
d
foi which the life cycle savings aie zeio; it is the inteinal iate
of ietuin. Now the ieason foi the name is cleai - it is the pioftability of the pioject by itself, without
iefeience to an exteinally imposed discount iate. When the explicit foim of the capital iecoveiy factoi
is inseited, one obtains an equation of the Nth degiee, geneially not solvable in closed foim. Instead,
one iesoits to an iteiative oi giaphical solution. (Theie could be up to N diffeient ieal solutions, and
multiple solutions can indeed occui if theie aie sign changes in the stieam of annual cash ows. Howevei,
not to woiiy, the solution is unique foi the case of inteiest heie; an initial investment that biings a stieam
of annual savings.)

What is the iate of ietuin foi Example 14:
Given:
,
with i
d,e
i
d
(because i
e
0),
(- Q) p
e
$7481, and
C $30,000.
Find: i
i
S 0 foi
S
Qp
e
-
(A/P,r
d
,N)
------------------------- C
cap
- =
S
Qp
e
-
(A/P,r
d e
,N)
----------------------------- C
cap
- =

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(A/P,i
i
,N)
0.2494 with N 20.
By iteiation one fnds i
i
0.246 24.6%.

The N
p
is defned as the iatio of extia capital cost C
cap
to fist yeai savings
. (3.2.56)
(The inveise of N
p
is sometimes called -.) If one neglects discounting, one can say
that aftei N
p
yeais the investment has paid foi itself, and any ievenue theieaftei is puie gain. The shoitei
N
p
, the highei the pioftability. As selection ciiteiion, the payback time is simple, intuitive, and obviously
wiong because it neglects some of the ielevant vaiiables. Attempts have been made to coiiect foi that
by constiucting vaiiants such as a discounted payback time (by contiast to which Equation 3.2.56 is
Relation between iate of ietuin i
i
, system life N, and payback time N
p
. If i
e
escalation iate of annual
savings, 0, the veitical axis is the vaiiable i
i,e
fiom which i
i
is obtained as i
i
i
i,e
(1 - i
e
) - i
e
.
Qp
e
-
C
cap
----------------
7481
30 000
----------------
-5%
0%
5%
10%
15%
20%
25%
0 5 10 15 20
rate of return
r
r
or r
re
payback time N
p
[yr]
system life
N [yr]
N=5 10 15
20
25
30
N
p
C
cap
first year savings
----------------------------------------- =

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sometimes called simple payback time), but the iesulting expiessions become so complicated that one
might as well woik diiectly with life cycle savings oi inteinal iate of ietuin.
The simplicity of the simple payback time is, howevei, iiiesistible. When investments aie compaiable
to each othei in teims of duiation and function, the payback time can give an appioximate ianking that
is sometimes cleai enough to discaid ceitain alteinatives iight fiom the stait, thus avoiding the effoit of
detailed evaluation.
To justify the use of the payback time, iecall Equation 3.2.54 foi the inteinal iate of ietuin and note
that it can be wiitten in the foim
(A/P,i
i
,N) 1/N
p
, oi (P/A,i
i
,N) N
p
. (3.2.57)
The iate of ietuin is uniquely deteimined by the payback time N
p
and the system life N. This equation
implies a simple giaphical solution foi fnding the iate of ietuin if one plots (P/A,i
i
,N) on the x-axis
veisus i
i
on the y-axis as in Figuie 3.2.6. Given N and N
p
, one simply looks foi the inteisection of the
line x N
p
(i.e., the veitical line thiough x N
p
) with the cuive labeled by N; the oidinate (y-axis) of
the inteisection is the iate of ietuin i
i
.
This giaphical method can be geneialized to the case wheie the annual savings change at a constant
iate i
e
. In that case, Equation 3.2.20 implies that the iate of ietuin is ieplaced by i
i,e
(i
i
- i
e
)/(1 - i
e
),
and Figuie 3.2.6 yields i
i,e
iathei than i
i
. In othei woids Equation 3.2.57 becomes
(P/A,i
i,e
,N) N
p
, with i
i,e
(i
i
- i
e
)/(1 - i
e
). (3.2.58)
The giaph yields i
i,e
which is ieadily solved foi
i
i
i
i,e
(1 - i
e
) - i
e
. (3.2.59)
In paiticulai, if i
e
is equal to the geneial ination iate i
inf
, then i
i,e
is the ieal iate of ietuin i
i,0
.

Find payback time foi Example 15 and check iate of ietuin giaphically.
Given:
fist yeai savings (- Q) p
e
$7481,
extia investment C
cap
$30,000.
Find:
N
p
and i
i
, foi i
e
0 and 2%.
N
p
30,000/7481 4.01 yi;
it is independent of i
e
.
Then i
i
0.246 foi i
e
0, fiom Figuie 3.2.6,
and i
i
0.271 foi i
e
2%, fiom Equation 3.2.58.
Geneially a ieal (i.e., coiiected foi ination) iate of ietuin above 10% can be consideied excellent if
theie is low iisk - a look at savings accounts, bonds, and stocks shows that it is diffcult to fnd bettei.
Fiom the giaph we see immediately that i
i,e
is above 10% if the payback time is shoitei than 8.5 yi (6 yi),
foi a system life of 20 yi (10 yi). And i
i,e
is close to the ieal iate of ietuin if the annual savings giowth
is close to the geneial ination iate.

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- - --
In piactice, the decision piocess is likely to bump into some obstacles. Suppose, foi example, that the
annual opeiating cost of a pioposed offce building can be ieduced by $1000 if one installs daylight
sensois and dimmeis foi the lights, at an extia cost of $2000. The payback time is only 2 yeais. It looks
like an iiiesistible investment oppoitunity, with a iate of ietuin well above 25%, as shown by Figuie 3.2.6
(the exact value depends somewhat on lifetime and taxes, but that is beside the point). Howevei, quite
a few huidles stand in the way.
Fiist, to fnd out about this oppoitunity, the design engineei has to obtain the necessaiy infoimation.
Requesting catalogs, ieading technical ieviews of the equipment, and caiiying out the calculations of
cost and peifoimance all take time and effoit. Undei the piessuies of the job, the engineei may not be
willing to spend the extia time oi neglect othei items that compete foi his attention.
Suppose oui engineei has done a good analysis and tiies to convince the buildei to spend the extia money.
In the case of a speculative offce building, the buildei is likely to say why should I pay a penny moie, if only
the futuie tenant will ieap the beneft:" So, the design engineei is foiced to aim foi lowest fist cost.
Even if the buildei is willing to spend a bit moie foi effciency, with hopes that the piospect of ieduced
eneigy bills will make it easiei to fnd tenants, the decision is not obvious. Can the buildei tiust the
claims of the sales biochuie oi the calculations of the engineei: Daylight contiols aie ielatively new, and
peihaps the buildei has heaid that some of the fist models did not live up to expectations. If malfunctions
ieduce the pioductivity of the woikeis, the hassle and the costs could nullify the expected savings. So
the buildei may iefuse to take what he oi she peiceives as an excessive iisk. The thieat of a liability suit
is a potent inhibitoi; that is why the building industiy has a ieputation foi extieme conseivatism.
This example illustiates the basic mechanisms that fiequently pievent the adoption of effcient
technologies:
Lack of infoimation oi excessive cost of obtaining the infoimation
Puichase decision made by someone who does not have to pay the opeiating costs
Unceitainty (about futuie costs, ieliability, etc.)
Any one of these huidles can be suffcient to ieject an investment. In the above example and decision
to ieject the lighting contiollei, it looks as if the discount iate was highei than 25%. Quite geneially,
these mechanisms have the effect of iaising the appaient discount iate oi foieshoitening the time hoiizon.
The iesulting decisions appeai iiiational: people do not spend as much foi eneigy effciency as would
be optimal accoiding to a life cycle cost analysis with the coiiect discount iate. In ieality, this iiiationality
is but a ieection of othei pioblems.
In the woild of business, iisk and unceitainty aie peivasive - so much so that most decision makeis
insist on veiy shoit payback times, almost always less than fve yeais and fiequently less than two. Howevei,
this decision depends on the business and ciicumstances. Theie aie industiies like electiic powei plants,
wheie piofts aie suie (albeit modeiate); once a powei plant has been built it is expected to iun smoothly
foi at least thiity yeais. Heie the discounts iates aie low and payback times aie longei than ten yeais.
Goveinments, chaiged with the long-teim welfaie of its citizens, also tend to have a long time hoiizon.
What does all this mean foi the HVAC engineei: The moie a design choice involves unpioven tech-
nology oi is dependent on occupant behavioi foi piopei functioning, the moie iisky it is. Foi example,
a daylighting stiategy that ielies on manual contiol of shading devices by the occupants may not biing
the intended savings because the occupants may not follow the intentions of the designei. Likewise, when
consideiing a new design oi a new piece of equipment without a tiack iecoid, it is not iiiational to
demand shoit payback times.
By contiast, paying extia foi an effcient boilei oi chillei is a safe investment (assuming the equipment
has a good ieputation) because the occupant does not caie how the heating oi cooling is pioduced as
long as the enviionment is comfoitable, pleasant, and healthy. Also, the building will ceitainly be heated
and cooled ovei its entiie life. Heie a life cycle cost analysis with the coiiect discount iate is ceitainly in
oidei, and it would be shoitsighted to insist on payback times below two yeais.

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Finally, what about the pioblem of the buildei oi landloid who iefuses to pay foi measuies that would
only ieduce the eneigy bill of the tenant oi of a futuie ownei: This diffculty is seiious, indeed. In an
ideal maiket, the infoimation about ieduced eneigy cost would tianslate itself as highei ient oi iesale
value, but, in piactice, this piocess is slow and ineffcient (theie is a , in the language of
the economists). This situation justifes eneigy-effciency standaids such as the ASHRAE Standaid 90.1
and theii enfoicement by goveinment iegulations.
- -
--
Foi mass pioduced consumei pioducts, such as cais oi cameias, the capital cost (i.e., the puichase
piice) is easy to deteimine by looking at catalogs oi newspapei ads oi by calling the stoie. Even then
theie may be unceitainties - when you actually go the stoie, a discount may be offeied on the spot to
beat a competitoi. Diffeient piices can be found in diffeient stoies foi identical pioducts, not only
because of diffeiences in seivice oi tianspoitation but also because of the sheei diffculty of obtaining
the piice infoimation.
And, of couise, piice is not the only ciiteiion. Even moie impoitant, and moie diffcult to asceitain
and compaie, aie the vaiious chaiacteiistics of a good: the featuies it offeis, the quality, the opeiating
costs, among otheis. Economists have even coined a special teim, - , which demonstiates
how univeisal is the diffculty of fnding the peitinent infoimation.
Foi HVAC equipment, the pioblems tend to be moie complicated than foi consumei goods. Tianspoit
and installation aie impoitant items in addition to the cost of the equipment at the factoiy. The detei-
mination of the cost can become a majoi undeitaking, especially foi complex oi custom made systems.
The capital cost of a system oi component is known with ceitainty only when one has a fim contiact
fiom a vendoi. Asking foi bids on each design vaiiation, howevei, is simply not feasible - the cost of
infoimation would become piohibitive.
The moie a design engineei wants to be suie of coming close to the optimal design, the moie he oi
she needs to leain about the details of the cost calculation. Infoimation on costs is available fiom a
numbei of souices, foi example Boehm (1987). An impoitant featuie is the vaiiation of the cost with
size. Because of fxed costs and economies of scale, simple piopoitionality between cost and size is not
the iule. But usually one can assume the following functional foim ovei a limited iange of sizes
(3.2.60)
wheie
C cost at size S,
C
i
cost at a iefeience size S
i
, and
m exponent.
Typically, m is in the iange of 0.5 to 1.0; exponents less than unity aie a ieection of economies of
scale. On a logaiithmic plot, m is the slope of ln(C) veisus ln(S). If m is not known, a value of 0.6 can
be iecommended as default. Table 3.2.A1 of the Appendix summaiizes cost data foi HVAC equipment
in this foim.
When inteipieting such cost fguies, one has to be caieful about what is included and what is not. Is
it the cost at the factoiy FOB (fiee on boaid, i.e., excluding tianspoitation), the cost deliveied to the site,
oi the cost installed: Foi items such as cool stoiage, the space iequiiements may impose additional costs.
And fnally, what aie the specifc featuies and how is the quality:
Costs change not only with geneial ination but with the evolution of technology. The fist models
of a novel pioduct tend to be expensive. Giadually, mass pioduction, technological advance, and com-
petition combine to diive the piices down. Geneial ination oi incieases in the cost of some input, foi
example eneigy, will push in the opposite diiection. The iesulting evolution of the piice of the pioduct
C C
r
S
S
r
----
m
for S
mi n
S S
max
=

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may be diffcult to piedict. Cost ieductions due to technological advance aie moie likely with pioducts
of high technology (e.g., eneigy management systems) than with matuie pioducts that cannot be min-
iatuiized (e.g., fans and motois). In some cases, theie is an impiovement in a pioduct iathei than a
ieduction of its cost; vaiiable speed motois, foi instance, aie moie expensive than constant speed motois
but allow bettei contiol oi highei system effciency.
Cost tabulations aie based on sales oi piojects of the past, and they must be updated to the piesent
by means of coiiection factois. Foi that puipose one could use geneial ination (i.e., the CPI discussed
in the eailiei section on The Effect of Time on the Value of Money"), but that is less ieliable than specifc
cost indices foi that class of equipment oi that sectoi of the economy. The following two indices aie
paiticulaily peitinent foi buildings and HVAC equipment. One is the Maishall and Swift Equipment
Cost Index, values of which aie published iegulaily in . Anothei one is the con-
stiuction cost index published by - , plotted in Figuie 3.2.1(b).
It is impoitant duiing the design piocess to have a iealistic undeistanding of all the ielevant costs, yet
the effoit of obtaining these costs should not be piohibitive. Konkel (1987) desciibes a method that seems
to be a good compiomise between these conicting iequiiements. The basic idea is to gioup ceitain
poitions of a pioject into what is called -. The components of the unit opeiations, called
---, aie itemized, piiced, and plotted by size of the unit opeiation. A boilei is an example of
a unit opeiation; its unit assemblies include buinei, aii intake, ue, shutoff valves, piping, fuel supply,
expansion tank, watei makeup valves, and deaeiatoi. Theii sizes and costs vaiy with the size of the boilei.
Once the size-piice ielations have been found foi each component, the size-piice ielation foi the boilei
as a whole is ieadily deiived. Knowing the size-piice ielation foi the unit opeiations, the designei can
estimate the total cost of a pioject and its design vaiiations without too much effoit.

Maintenance cost and eneigy piices may evolve diffeiently fiom geneial ination and fiom each othei.
It is instiuctive to coiiect eneigy piices foi geneial ination, as in Figuie 3.2.2 wheie the piices of oil,
gas, and electiicity aie shown in both cuiient and constant dollais. One can see that some adjustments
have occuiied since the oil shocks of the 1970s.
What should we assume foi the futuie: Piojections of eneigy piices aie published peiiodically by
seveial oiganizations, foi instance the Ameiican Gas Association and the National Institute of Standaids
and Technology (Lippiat and Ruegg, 1990). Most analysts piedict ieal escalation iates in the iange of 0
to 3%, aveiaged ovei the next two decades. This is based on the giadual exhaustion of cheap oil and gas
ieseives, and the fact that alteinatives, i.e., coal, nucleai, and solai, aie moie expensive to utilize. Who
knows: Fuithei tuimoil in the Middle East: What piogiess will be made in fusion and how will public
acceptance of nucleai powei evolve: How much can be saved by impioved effciency, and at what cost:
What constiaints will be imposed by enviionmental conceins:
Data on maintenance costs can be obtained, foi example, fiom the
published annually by the Building Owneis and Manageis Association Inteinational (BOMA, 1987).
Specifcally foi maintenance costs of HVAC equipment in offce buildings, a succinct equation can be
found in ASHRAE (1991). It states the annual cost A
M
foi maintenance, in dollais pei ooi aiea A
ooi
,
in the foim
C
base
- a n - h - c - d (3.2.61)
wheie
C
base
value foi the base system (fie-tube boileis foi heating, centiifugal chilleis foi cooling, and VAV
foi distiibution, duiing fist yeai),
n age of equipment in yeais,
a coeffcient foi age of equipment,
and the coeffcients h, c, and d allow the adjustment to othei systems.
A
M
A
floor
------------

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Numeiical values foi C
base
, a, h, c, and d aie listed in Table 3.2.2. These values aie 1983 dollais. They
still need to be adjusted to the yeai of inteiest by multiplication by the coiiesponding iatio of CPI
(consumei piice index) values, as explained in Section 3.2.2. In using this equation one should keep in
mind that it is based on a suivey of offce buildings oiiginally published in 1986. Extiapolation to othei
building types oi newei technologies may intioduce laige and unknown unceitainties.

Estimate the annual HVAC maintenance cost foi an offce building that has ooi aiea 1000 m
2
and is
n 10 yi old in the yeai 2003. The system consists of an electiic boilei, a iecipiocating chillei, and a
constant volume distiibution system. Suppose the CPI is 180 in 2003.
Given:
A
ooi
1000 m
2
,
n 10 yi,
CPC
2003
/CPI
1983
180/100 1.80.
Lookup values:
Fiom Table 3.2.2
C
base
3.59, a 0.019, h -0.287, c -0.431, d 0.948 in $
1983
/m
2
].
Find: A
M
Using Equation 3.2.61

HVAC Maintenance Costs of Equation 3.2.61
$/ft
2
$/m
2
-
0.3335 3.590
Coeffcient foi /yi 0.0018 0.019
, coeffcient
Watei-tube boilei 0.0077 0.083
Cast iion boilei 0.0094 0.101
Electiic boilei -0.0267 -0.287
Heat pump -0.0969 -1.043
Electiic iesistance -0.1330 -1.432
, coeffcient
Recipiocating chillei -0.0400 -0.431
Absoiption chillei (single stage) 0.1925 2.072
Watei souice heat pump -0.0472 -0.508
- - coeffcient
Single zone 0.0829 0.892
Multizone -0.0466 -0.502
Dual duct -0.0029 -0.031
Constant volume 0.0881 0.948
Tow-pipe fan coil -0.0277 -0.298
Foui-pipe fan coil 0.0580 0.624
Induction 0.0682 0.734
Note: Cost C
base
of base system and coeffcients foi adjust-
ment. Units of dollais pei ooi aiea, 1983 U.S. dollais.
Adapted fiom ASHRAE (1991).

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A
M
1000 m
2
(3.59 - 0.019 10 - 0.287 - 0.431 - 0.948) $
1983
/m
2
4010 $
1983
/m
2
To conveit to $
2003
multiply by the CPI iatio
A
M
4010 $
1983
/m
2
1.80 7218 $
2003
/m
2
.

In piinciple, the piocess of optimizing the design of a building is simple - evaluate all possible design
vaiiations and select the one with the lowest life cycle cost. Who would not want to choose the optimum:
In piactice, it would be a daunting task to fnd the tiue optimum among all conceivable designs. The
diffculties, some of which have alieady been discussed, aie
The enoimous numbei of possible design vaiiations (building confguiation and mateiials, HVAC
systems, types and models of equipment, contiol modes)
Unceitainties (costs, eneigy piices, ieliability, occupant behavioi, futuie uses of building)
Impondeiables (comfoit, convenience, aesthetics)
Foitunately, theie is a ceitain toleiance foi modeiate eiiois, as we show below, which facilitates the
job gieatly because one can ieduce the numbei of steps in the seaich foi the optimum. Also, within
naiiow ianges, some vaiiables can be suboptimized without woiiying about theii effect on otheis.
Some quantities aie easiei to optimize than otheis. Optimizing the heating and cooling equipment,
foi a given building envelope, is less pioblematic than tiying to optimize the envelope - the lattei touches
on the impondeiables of aesthetics and image.
It is instiuctive to illustiate the optimization piocess with a veiy simple example: the thickness of
insulation on a wall. The annual heat ow Q acioss the insulation is
Q A k D/t (3.2.62)
wheie
A aiea m
2
],
k conductivity W/mK],
D annual degiee-seconds Ks], and
t thickness of insulation m].
The capital cost of the insulation is
C
cap
A t p
ins
(3.2.63)
with p
ins
piice of insulation $/m
3
].
The life cycle cost is
C
life
C
cap
- Q (3.2.64)
wheie p
e
fist yeai eneigy piice, and i
d,e
is ielated to discount iate and eneigy escalation iate as in
Equation 3.2.19. We want to vaiy the thickness t to minimize the life cycle cost, keeping all the othei
quantities constant. (This model is a simplifcation that neglects fxed cost of insulation as well as possible
feedback of t on D.) Eliminating t in favoi of C
cap
, one can iewiite Q as
Q K/C
cap
(3.2.65)
with a constant
K A
2
k D p
ins
. (3.2.66)
p
e
(A/P,r
d e
,N)
-----------------------------

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Then the life cycle cost can be wiitten in the foim
C
life
C
cap
- P K/C
cap
(3.2.67)
wheie the vaiiable
P (3.2.68)
contains all the infoimation about eneigy piice and discount iate. K is fxed, and the insulation investment
C
cap
is to be vaiied to fnd the optimum. C
life
and its components aie plotted in Figuie 3.2.7. As t is
incieased, capital cost incieases, eneigy cost decieases; C
life
has a minimum at some inteimediate value.
Setting the deiivative of C
life
with iespect to C
cap
equal to zeio yields the optimal value C
cap0
C
cap0
. (3.2.69)
Now an inteiesting question: what is the penalty foi not optimizing coiiectly: In geneial, the following
causes could pievent coiiect optimization:
Insuffcient accuiacy of the algoiithm oi piogiam foi calculating the peifoimance
Incoiiect infoimation on economic data (e.g., the factoi P in Equation 3.2.69)
Incoiiect infoimation on technical data (e.g., the factoi K in Equation 3.2.69)
Unanticipated changes in the use of the building
Misoptimization would pioduce a design at a value C
cap
diffeient fiom the tiue optimum C
cap0
. Foi
the example of insulation thickness, the effect on the life cycle cost can be seen diiectly with the solid
cuive in Figuie 3.2.7. Foi example, a 10% eiioi in C
cap0
would inciease C
life
by only -1%. Thus, the
penalty is not excessive foi small eiiois.
Optimization of insulation thickness. Insulation cost C
cap
, eneigy cost C
enei
, life cycle cost C
tot
.
p
e
(A/P,r
d e
,N)
-----------------------------
K P

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This ielatively laige insensitivity to misoptimization is a featuie much moie geneial than the insulation
model. As shown by Rabl (1985), the gieatest sensitivity likely to be encounteied in piactice coiiesponds
to the cuive
, (uppei bound") (3.2.70)
also shown in Figuie 3.2.8, with the label uppei bound." Even heie the minimum is bioad; if the tiue
eneigy piice diffeis by 10% fiom the guessed piice, the life cycle cost incieases only 0.4% (0.6%) ovei
the minimum. Even when the diffeience in piices is 30%, the life cycle cost penalty is less than 8%.
Eiiois in the factoi K (due to wiong infoimation about piice oi conductivity of the insulation mateiial)
can be tieated the same way because K and P play an entiiely symmetiic iole in the above equations.
Theiefoie, cuives in Figuie 3.2.8 also apply to unceitainties in othei input vaiiables.
The basic phenomenon is univeisal: any smooth function is at at an extiemum. The only question
is how at. Foi eneigy investments, that question has been answeied with the cuives of Figuies 3.2.7 and
3.2.8. We can conclude that misoptimization penalties aie defnitely less then 1% (10%), when the
unceitainties of the input vaiiables aie less than 10% (30%).
annual payment
levelized annual cost
annual cost foi maintenance in fist yeai $]

capital iecoveiy factoi
cost at size S
capital cost in fist yeai $]
life cycle cost

Life cycle cost penalty veisus eneigy piice iatio.
C
life,true
C
cap0,guess
C
life,true
C
cap0,true
-------------------------------------------
x
1 x log +
------------------------- =

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consumei piice index
cost at a iefeience size S

i
-
salvage value in fist yeai $]
piesent value of total depieciation, as fiaction of C

cap
depieciation duiing yeai n, as fiaction of C

cap
fiaction of investment paid by loan
inteiest payment duiing nth yeai

loan amount
exponent of ielation between cost and size of equipment
system life yi]
yeai
doubling time
depieciation peiiod yi]
payback time yi]
loan peiiod yi]
eneigy piice
levelized eneigy piice

piesent woith factoi
demand chaige $/kWmonth]
-
piice of insulation $/m
3
]
piesent value of inteiest payments
peak demand kW]
piincipal duiing nth payment peiiod n
(i - i
inf
)/(1 - i
inf
)
maiket discount iate
(i
d
- i
e
)/(1 - i
e
)
(i
d
- i
l
)/(1 - i
l
)
(i
d
- i
M
)/(1 - i
M
)
--
I
dif
/H
dif
maiket eneigy piice escalation iate
geneial ination iate
maiket loan inteiest iate
maiket escalation iate foi maintenance costs
inteinal iate of ietuin

life cycle savings ( -C
life
- C
life,ief
)
size of equipment
- annual savings
thickness of insulation m]
inciemental tax iate
tax ciedit
The subsciipt
0
designates ieal giowth iates i
0
, ielated to the coiiesponding nominal (oi maiket) iates i by
1 - i
ann
exp(i
cont
). The subsciipt
ann
designates annual giowth iates, ielated to the coiiesponding
continuous iates (with subsciipt
cont
).
-
ASHRAE TC1.8, 1985, Analysis of suivey data on HVAC maintenance costs, ASHRAE Technical Com-
mittee 1.8 Reseaich Pioject 382.
Boehm, R. F., 1987, - -- --. John Wiley & Sons, New Yoik, NY.
BOMA, 1987, - -- B -. Building
Owneis and Manageis Association Inteinational. Washington, DC.

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Chemical Engineeiing, 2001, The M&S equipment cost index is published peiiodically in the jouinal
.
Dickinson, W. C. and Biown, K. C., 1979, Economic analysis foi solai industiial piocess heat, Repoit
UCRL-52814, Lawience Liveimoie Laboiatoiy, Liveimoie, CA.
Economic Indicatois, U.S. Goveinment Piinting Offce, Washington, DC.
EIA, 1983, , Eneigy Infoimation Administiation, U.S. Depaitment of Eneigy, Washington, DC.
EN-R Constiuction Cost Index, 2000, - .
Jones, B. W., 1982, A --, Wiley Inteiscience, New Yoik.
Konkel, J. H., 1987, - - -- -
- -- --, McGiaw-Hill, New Yoik, NY.
Lippiat, B. C. and Ruegg, R. T., 1990, Eneigy piices and discount factois foi life-cycle cost analysis 1990,
Repoit NISTIR 85-3273-4, Annual Supplement to 135 and
709, National Institute of Standaids and Technology, Applied Economics Gioup, Gaitheisbuig, MD.
Rabl, A., 1985, Optimizing investment levels foi eneigy conseivation: individual veisus social peispective
and the iole of unceitainty, -, 259, 1985.
Riggs, J. L., 1996, -, McGiaw-Hill, New Yoik, NY.
Ross, M. and Williams, R. H., 1980, , McGiaw-Hill, New Yoik, NY.
USDOC, 2001, - - - U.S. Depaitment of Commeice, Washington, DC.

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Typical Equipment Cost C as Function of Size S, in the Foim C C

i
(S/S
i
)
m
Component oi System Desciiption
k$]
, Units
Pumps, Fans, Bloweis, and Compiessois
, centiifugal, hoiizontal, 50 ft head, 0.26 2 10 0.2 16 kW
ci, iadial ow, no motoi. FOB. 0.43 5.3 100 16 400 kW
0.34 3.2 0.5 0.05 30 m
3
/min
, same as above but with motoi. 0.39 2.5 10 1 23 kW
0.58 7.5 100 23 250 kW
0.59 4.3 1 0.04 30 m
3
/min
, positive displacement,
150 psi,
<1000 psi, no motoi, geais. ci. FOB.

(
5000 10000 psi, 2.5). 0.52 4 10 1 70 kW

, centiifugal, iadial bladed, 2.5 kPa,
del., no motoi. 0.78 5.3 10 2 100 m
3
/s
del., with motoi. 0.93 9.3 10 2 50 m
3
/s
, piopellei with motoi. FOB. 0.58 0.45 1 0.5 6 m
3
/s
0.36 1.5 10 6 50 m
3
/s
, centiifugal, 28 kPa, del., no motoi. 0.61 160 30 12 70 m
3
/s
With motoi, diive: 1.6 (no motoi cost).
, iotaiy sliding vane, 275 kPa,
del., no diive. 0.4 9.9 0.1 0.01 0.4 m
3
/s
--, centiifugal, <7000 kPa,
del., with electiic motoi. 0.9 450 10
3
2 4000 kW
--, same as above, but no
motoi. FOB. 0.53 290 10
3
(5 40) 10
2
kW
exit piessuie (MPa) factois: 1.7, 8; 6.9, 1;
14, 1.15; 34, 1.4; 48, 1.5
-, AC, enclosed, fan cooled. 0.68 0.67 10 1 10 HP
Othei types 0.87 0.67 10 10 1000 HP
Heat Exchangeis
(Costs can vaiy tiemendously with mateiial and ow design)
, 150 psi., oating head, cs, 16 ft long, del.
Factois: 400 psi, 1.25; 1000 psi, 1.55; 3000 psi, 2.5;
5000 psi, 3.1.
0.71 21 100 2 2000 m
2
, CS fiame, 304ss plates. 0.78 0.1 1 100 5000 ft
2
, fnned tube, cs, 150 psi, includes motoi and fan. FOB. 0.8 70 280 20 2000 m
2
, foi engine/geneiatoi.
O&M costs$0.67/kWh.
0.45 0.95 1 200 1500 kW
, watei and fietube boileis (ue gas ow, scf/h). 0.75 110 200 30 2000 scf/hi
- , electiic, FOB. 0.87 1.9 50 10 200 kW
, induced oi foiced diaft, appioach temp.5.5C,
wet-bulb temp.23.8C, iange5.5C, diiectly installed,
all costs except foundations, watei pumps, and distiibution pipes.
1.0 70 10 4 60 m
3
/min
0.64 560 100 60 700 m
3
/min
In teims of cooling capacity 1.0 72 3.6 10
3
10
3
10
4
kW
Factois to coiiect to othei conditions: appioach , C Wet-bulb , C Cooling iange, C
2.75, 1.50 10, 1.92 3, 0.78
4, 1.22 15, 1.43 5, 0.92
7, 0.85 20, 1.14 10, 1.3
11, 0.49 25, 0.95 15, 1.62
14, 0.39 32, 0.66 22, 1.93
incl. foundations and basin 1.7 to 3.0.
Watei distiibution to and fiom cooling towei, installed. 0.7 160 1 0.1 2 m
3
/s
Watei tieatment. Demineializing, ion exchange, input 1330 ppm,
output 30-40 ppm solids, installed. (FOB, 0.7)
1.0 3200 0.1 0.0004 0.8 m
3
/s
Factois to coiiect to othei conditions: inlet feed: 1000 ppm, 0.5;
500 ppm, 0.25; 200 ppm, 0.18;100 ppm, 0.13
Steam deaeiatoi, cs, FOB. 0.78 67 1 (0.05 40) 10
5
kg/hi

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Typical Equipment Cost C as Function of Size S, in the Foim C C
i
(S/S
i
)
m
Component oi System Desciiption
k$]
, Units
Fuinaces, Boileis, Heateis
, FOB. 0.59 40 200 40 800 HP
Stokei, economizei, dust collectois. 0.37 170 5000 (2 10) 10
3
lb/hi
0.56 500 25000 (1 5) 10
4
lb/hi
Gas fied, del., 50-200 psi sat. steam. 0.64 16 10
3
(0.2 10) 10
3
kg/hi
, FOB. 0.67 340 12 (4 40) 10
4
lb/hi
-
Gas-fied tank, FOB. 1.1 0.26 40 30 100 gal
Electiic heated tank, FOB. 1.0 0.26 50 30 100 gal
Electiic immeision, without tank, FOB. 0.87 1.3 50 10 200 kW
-- -
Foi household heating, cost $550 - $40/kW.
- - , unfied, 150 psi, del. 0.81 160 10 (0.1 10) 10
4
kg/hi
, 500 psi, cs, del. 0.75 144 12 10 400 kW
Refiigeiating Systems, Heat Pumps
-, Room, FOB. 0.8 1.2 2 0.33 15 tons
Room, totally installed. 0.83 2.2 2 0.5 15 tons
Maintenance costs, $/yeai. 0.38 0.2 2 0.33 10 tons
- --
Recipiocating package, FOB. 0.5 13.6 50 10 185 tons
Roof iecipiocating, aii-cooled condensoi, FOB. 0.71 19.5 50 20 85 tons
Centiifugal oi sciew compiessoi, FOB. 0.66 92 500 80 2000 tons
O&M annual costs, iecipiocating. 0.77 2 50 10 185 tons
O&M annual costs, centiifugal oi sciew. 0.42 8 500 105 2000 tons
- -
Single effect, installed. 0.66 160 500 100 1400 tons
Double effect, installed. 0.7 230 500 400 1200 tons
O&M, single oi double effect, pei yeai. 0.56 5.8 500 100 1400 tons
-
Equipment only. 0.86 2.4 3 1 50 tons
Installed. 0.9 4.9 3 1 50 tons
O&M pei yeai. 0.5 0.3 3 1 50 tons
-
Equipment only. 0.64 1.65 3 1 25 tons
Installed. 0.69 3.4 3 1 25 tons
Maintenance, yeais 2-5. 0.5 0.3 3 1 25 tons
Miscellaneous
-
Veitical steel feld eiected tanks. 0.68 0.017 1 10
3
10
5
gal
Caibon steel. 0.56 1.4 100 100 10
5
gal
Laige volume cs, oating ioof. 0.78 385 2 10
6
(2 10) 10
6
gal
Conciete $0.75-0.90/gal.
Fibeiglass $1.50/gal foi 2000 gal size.
Pipe type $1.00/gal.
- (contiactoi piice)
Elastomei 3/4-in. thickness, $0.52/ft.
Phenolic foam 1-in. thickness; $1.10/ft.
Fibeiglass 1-in. thickness, $0.70/ ft.
Uiethane $1.00/ft.
10% of total mechanical costs.
- All costs adjusted foi M&S index 800. Foi fans and bloweis, ow is in noimal m3/s (at 0C and 1.0 bai).
Abbieviations used: cicast iion; cscaibon steel; ssstainless steel; m
3
/min denotes cubic meteis pei minute of feed ow;
del.deliveied; sat.satuiated;
Refeience size, in same units as values.

: Extiacted fiom Appendix D of Boehm (1987) to which the ieadei is iefeiied foi fuithei detail and iefeiences.
Additional option.

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- et al. --"

Ed. Jan F. Kieidei

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--
4.1 Heating Systems
Natuial Gas and Fuel Oil-Fiied Equipment Boileis
Seivice Hot Watei Electiic Resistance Heating
Electiic Heat Pumps Low Tempeiatuie Radiant Heating
Solai Heating
Vapoi Compiession Cycle Refiigeiants Use and Selection
Chilled Watei Systems Packaged Equipment
Evapoiative Cooling
Anatomy of Aii Handling Systems Coils Fans
Ducts Teiminal Units Diffuseis Aii Handling System
Contiol Secondaiy Aii System Design Aii System
Commissioning and Opeiation Defnition of Teims
Review of Basics Electiical Motois Lighting Systems
Electiical Distiibution Systems Powei Quality
Summaiy
--

This chaptei discusses equipment used foi pioducing heat fiom fossil fuels, electiicity, oi solai powei.
The emphasis is on design-oiiented infoimation, including system chaiacteiistics, opeiating effciency,
the signifcance of pait load chaiacteiistics, and ciiteiia foi selecting fiom among the vast aiiay of heat
pioducing equipment available.
The heating plants discussed in this chaptei aie often called the ---. Systems intended to
distiibute heat pioduced by the piimaiy systems aie called - --- and include ducts and pipes,
fans and pumps, teiminal devices, and auxiliaiy components. Such secondaiy systems foi heating and
cooling aie desciibed in Chaptei 4.3. The teims and - aie equivalent to the teims
and -- used by some building analysts and HVAC system modeleis.
The goal of this chaptei is to have the ieadei undeistand the opeiation of vaiious heat geneiation oi
tiansfei systems and theii peifoimance:
Fuinaces
Boileis
Heat pumps
Heat exchangeis
Pait load peifoimance and eneigy calculations foi each
-
---

- -

---

-

---

- K

-

-

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The piimaiy souices of heat foi building heating systems aie fossil fuels - natuial gas, fuel oil, and
coal. Undei ceitain ciicumstances electiicity is used foi heat in commeicial buildings although the
economic penalties foi so doing aie signifcant. Solai iadiation powei can be conveited to heat foi
commeicial building applications, including peiimetei zone heating and seivice watei heating.

-

This section desciibes fossil fuel-fied

- -

- devices which conveit the chemical eneigy
in fuels to heat. Fuinaces aie used to heat aii stieams that aie in tuin used foi heating the inteiioi of
buildings. Foiced aii heating systems supplied with heat by fuinaces aie the most common type of
iesidential heating system in the U.S. Boileis aie piessuie vessels used to tiansfei heat, pioduced by
buining a fuel, to a uid. The most common heat tiansfei uid used foi this puipose in buildings is
watei, in the foim of eithei liquid oi vapoi. The key distinction between fuinaces and boileis is that aii
is heated in the foimei and watei is heated in the lattei.
The fuels used foi pioducing heat in boileis and fuinaces include natuial gas (i.e., methane), piopane,
fuel oil (at vaiious giades numbeied fiom 1 thiough 6), wood, coal, and othei fuels including iefuse-
deiived fuels. It is beyond the scope of this handbook to desciibe the design of boileis and fuinaces oi
how they conveit chemical eneigy to heat in detail. Rathei we piovide the infoimation needed by HVAC
designeis foi these two classes of equipment. Since boileis and fuinaces opeiate at elevated tempeiatuies
(and piessuies foi boileis), they aie hazaidous devices. As a iesult, a body of standaids has been developed
to assuie the safe opeiation of this equipment.

-

Modein fuinaces use foiced convection to iemove heat pioduced within a fuinace`s fiebox. Theie aie
many designs to achieve this; foui iesidential classifcations based on aiiow type aie shown in Figuie 4.1.1.
The

A

fuinace shown in Figuie 4.1.1a has a blowei located below the fiebox heat exchangei with
heated aii exiting the unit at the top. Retuin aii fiom the heated space enteis this fuinace type at the
bottom. The upow design is used in full-sized mechanical iooms wheie suffcient ooi-to-ceiling space
exists foi the connecting ductwoik. This is the most common foim of iesidential fuinace.

A

fuinaces (Figuie 4.1.1b) aie the ieveise with aii owing downwaid as it is heated by passing
ovei the heat exchangei. This design is used in iesidences without basements oi in upstaiis mechanical
spaces in two-stoiy buildings.

fuinaces of the type shown in Figuie 4.1.1c use a hoiizontal
aii ow path with the aii movei located beside the heat exchangei. This design is especially useful in
applications wheie veitical space is limited, such as in attics oi ciawl spaces of iesidences.
A combination of upow and hoiizontal fuinaces is available and is named the

-

oi low-boy
fuinace (Figuie 4.1.1d). With the blowei located beside the fiebox, aii enteis the top of the fuinace, is
heated, and exits fiom the top. This design is useful in applications wheie head ioom is iestiicted.
The combustion side of the heat exchangei in gas fuinaces can be at eithei atmospheiic piessuie
(the most common design foi small fuinaces) oi at supei-atmospheiic piessuies pioduced by combustion
aii bloweis. The lattei aie of two kinds, foiced diaft (blowei upstieam of combustion chambei) oi induced
diaft (blowei downstieam of combustion chambei); fuinaces with bloweis have bettei contiol of paiasitic
heat losses thiough the stack. As a iesult, effciencies aie highei foi such

- -

In addition to natuial gas, liquefed piopane gas (LPG) and fuel oil can be used as eneigy souices foi
fuinaces. LPG fuinaces aie veiy similai to natuial gas fuinaces. The only diffeiences between the two
aie eneigy content (1000 Btu/ft

3

foi natuial gas and 2500 Btu/ft

3

foi piopane) and supply piessuie to
the buinei. Gas fuinaces can be adapted foi LPG use and vice veisa in many cases. Fuel oil buinei systems
diffei fiom gas buinei systems owing to the need to atomize oil befoie combustion. The iemaindei of
the fuinace is not much diffeient fiom a gas fuinace, except that heaviei constiuction is often used.
Othei fuinaces foi special applications aie also available. These include (1) unducted space heateis
located within the space to be heated and ielying on natuial convection foi heat tiansfei to the space;

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(2) wall fuinaces attached to walls and iequiiing veiy little space; and (3) diiect fied unit heateis used
foi diiect space heating in commeicial and industiial applications. Unit heateis aie available in sizes
between 25,000 and 320,000 Btu/hi (7 to 94 kW).
On commeicial buildings, one often fnds fuinaces incoipoiated into

-

(oi iooftop units")
consisting of aii conditioneis and gas fuinaces (oi electiic iesistance coils). Typical sizes of these units
iange fiom 5 to 50 tons of cooling (18 to 175 kW) with a matched to 50% ovei sized fuinace. Smallei

Examples of fuinaces foi iesidential space heating: (a) veitical, (b) downow, (c) hoiizontal, and
(d) low boy. (Fiom Rabl, A. and Kieidei J.F.,

-

, McGiaw-Hill, New Yoik, NY, 1994.
With peimission.)

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units aie designed to be used foi a single zone in eithei the heating only oi cooling only mode. Laigei
units above 15 tons (53 kW) can opeiate simultaneously in heating and cooling modes to condition
seveial zones. In the heating mode, these commeicial-sized package units opeiate with an aii tempeiatuie
iise of about 85F (47 K).

- -

Selection of a fuinace is stiaightfoiwaid once the fuel souice and heat load (see Chaptei 6.1) aie known.
The following factois must be accounted foi in fuinace sizing and type selection:

- --

of aiea to be heated - Btu/hi oi kW
Moining iecoveiy capacity fiom night setback
Constant

- -

that ieduce the needed heat iating of a fuinace


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B

(see Chapteis 4 and 7)

- -

suffcient to accommodate aii conditioning system

---

if heat so lost is exteinal to the heated space

-

foi fuinace location
Residential fuinaces aie available in sizes ianging fiom 35,000 to 175,000 Btu/hi (10 to 51 kW).
Commeicial sizes iange upwaid to 1,000,000 Btu/hi (300 kW).
Economic ciiteiia including initial cost and life cycle opeiating cost must be consideied using the
techniques of Chaptei 3.2 to make the fnal selection. Although high effciency may cost moie initially,
it is often woithwhile to make the investment when the oveiall economic pictuie is consideied. Howevei,
in many cases fist cost is the piimaiy deteiminant of selection. In these cases, the HVAC engineei must
point out to the building ownei oi aichitect that the building lifetime penalties of using inexpensive but
ineffcient heating equipment aie consideiable, many times the initial cost diffeience.
The designei is advised to avoid the customaiy tendency to oveisize fuinaces. An oveisized fuinace
opeiates at less effciency than a piopeily sized one due to the penalties of pait load opeiation. If a piopei
heat load calculation is done (with piopei attention to the iecognized unceitainties in infltiation losses
and waim-up tiansients), only a small safety factoi should be needed, foi example, 10%. The safety factoi
is applied to account foi heat load calculation unceitainties and possible futuie, modest changes in building
load due to usage changes. Oveisizing of fuinaces also has othei penalties, including excessive duct size
and cost, along with pooiei contiol of comfoit due to laigei tempeiatuie swings in the heated space.

B -

The steady state effciency

is defned as the iatio of fuel supplied less ue losses, all divided by the
fuel supplied:
(4.1.1)
in which the subsciipts identify the fuel input and ue gas exhaust mass ow iates and enthalpies

.
Gas ows aie usually expiessed in ft

3

/hi (l/s). To fnd the mass ow iate, one must know the density
which in tuin depends on the gas main piessuie. The ideal gas law can be used foi such calculations.
Effciency values aie specifed by the manufactuiei at a single value of fuel input iate.
This instantaneous effciency is of limited value in selecting fuinaces owing to the fact that fuinaces
often opeiate in a cyclic, pait load mode wheie instantaneous effciency may be lowei than that at peak
opeiating conditions. Pait load effciency is low since cycling causes ineffcient combustion, cyclic heating
and cooling of fuinace heat exchangei mass, and theimal cycling of distiibution ductwoik. A moie useful
peifoimance index is the

B

(AFUE) which accounts foi othei loss mech-
anisms ovei a season. These include stack losses (sensible and latent), cycling losses, infltiation, and
pilot losses (ASHRAE Equipment, 1996). An ASHRAE standaid (103-1982R) is used foi fnding the
AFUE foi iesidential fuinaces.
Table 4.1.1 shows typical values of AFUE foi iesidential fuinaces. The table shows that effciency
impiovements can be achieved by eliminating standing pilots, by using a foiced diaft design, oi by
condensing the pioducts of combustion to iecovei latent heat noimally lost to the ue gases. Effciency
can also be impioved by using a vent dampei to ieduce stack losses duiing fuinace off peiiods. Although
this table is piepaied using iesidential fuinace data, it can be used foi commeicial-sized fuinaces as well.
Few data have been published foi commeicial systems because it has not been mandated by law as it has
been foi iesidential fuinaces. The AFUE has the shoitcoming that a specifc usage pattein and equipment
chaiacteiistics aie assumed. The next section discusses a moie accuiate method foi fnding annual
peifoimance of heat-pioducing piimaiy systems.
The AFUE can be used to fnd annual eneigy consumption diiectly fiom its defnition below. The fuel
consumption duiing an aveiage yeai

yi

is given by
furn
`
fuel
fuel
`
flue
flue
-
fuel
fuel
----------------------------------------------- =

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MMBtu/yi (GJ/yi) (4.1.2)
Wheie

yi

is the annual heat load. Using this appioach, it is a simple mattei to fnd the savings one
might expect, on the aveiage, by investing in a moie effcient fuinace.

- - -

A small commeicial building is heated by an old atmospheiic type, gas fuinace. The ownei pioposes
to install a new pulse type (condensing) fuinace. If the annual heat load

yi

on the waiehouse is
200 GJ, what eneigy saving will the new fuinace pioduce:
Assumptions: AFUE is an adequate measuie of seasonal peifoimance and fuinace effciency does not
degiade with time.
Find:

fuel

fuel,old

-

fuel,new

Lookup values: AFUEs fiom Table 4.1.1
AFUE

old

0.645 AFUE

new

0.925

Equation 4.1.1 is used to fnd the solution. The eneigy saving is given by
Substituting the tabulated values foi AFUE we have
The saving of eneigy using the modein fuinace is substantial, almost equivalent to 50% of the annual
heating load.

Typical Values of AFUE foi Fuinaces

Type of gas fuinace AFUE, %

1. Atmospheiic with standing pilot 64.5
2. Atmospheiic with inteimittent ignition 69.0
3. Atmospheiic with inteimittent ignition and automatic vent dampei 78.0
4. Same basic fuinace as type 2, except with powei vent 78.0
5. Same as type 4 but with impioved heat tiansfei 81.5
6. Diiect vent with standing pilot, pieheat 66.0
7. Diiect vent, powei vent, and inteimittent ignition 78.0
8. Powei buinei (foiced-diaft) 75.0
9. Condensing 92.5
Type of oil fuinace AFUE, %

1. Standaid 71.0
2. Same as type 1 with impioved heat tiansfei 76.0
3. Same as type 2 with automatic vent dampei 83.0
4. Condensing 91.0

: Fiom ASHRAE. With peimission.
fuel, yr
yr
AFUE
--------------- =
fuel
yr
1
AFUE
old
--------------------
1
AFUE
new
---------------------- - =
fuel
200
1
0.645
-------------
1
0.925
------------- - 93.9 GJ/yr = =

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In addition to eneigy consumption, the designei must also be conceined with a myiiad of othei factois
in fuinace selection. These include:
Aii side tempeiatuie iise - affects duct design and aii ow iate
Aii ow iate - affects duct design
Contiol opeiation - foi example, will night oi unoccupied day/night setback be used oi not:
Is fan contiol by theimal switch oi time delay ielay:
Safety issues - combustion gas contiol, fie hazaids, high tempeiatuie limit switch

-

A boilei is a device made fiom coppei, steel, oi cast iion to tiansfei heat fiom a combustion chambei
(oi electiic iesistance coil) to watei in eithei the liquid phase, vapoi phase, oi both. Boileis aie classifed
both by the fuel used and by the opeiating piessuie. Fuels include gas, fuel oils, wood, coal, iefuse-deiived
fuels, oi electiicity. This section focuses on fossil fuel fied boileis.
Boileis pioduce eithei hot watei oi steam at vaiious piessuies. Although watei does not liteially boil
in hot watei boileis," they aie called boileis, neveitheless. Steam is an exceptionally effective heat
tianspoit uid due to its veiy laige heat of vapoiization and coeffcient of heat tiansfei, as noted in
Chaptei 2.1.
Piessuie classifcations foi boileis foi buildings aie

--

Steam boileis with opeiating piessuies below 15 psig (100 kPa). Hot watei boileis
with piessuies below 150 psig (1000 kPa); tempeiatuies aie limited to 250F (120C).

--

Steam boileis with opeiating piessuies above 15 psig (100 kPa). Hot watei boileis
with piessuies above 150 psig (1000 kPa); tempeiatuies aie above 250F (120C).

-

foi steam boileis aie often expiessed in lb

m

of steam pioduced pei houi (oi kW). The
heating value of steam foi these puiposes is iounded off to 1000 Btu/lb

m

. Steam boileis aie available at
heat iates of 50 to 50,000 lb

m

of steam pei houi (15 to 15,000 kW). This oveilaps the uppei iange of
fuinace sizes noted in the pievious section. Steam pioduced by boileis is used in buildings foi space
heating, watei heating, and absoiption cooling. Watei boileis aie available in the same iange of sizes as
aie steam boileis: 50 to 50,000 MMBtu/hi (15 to 15,000 kW). Hot watei is used in buildings foi space
and watei heating.
Since the eneigy contained in steam and hot watei within and owing thiough boileis is veiy laige,
an extensive codifcation of iegulations has evolved to assuie safe opeiation. In the U.S. the ASME Boilei
and Piessuie Vessel Code goveins constiuction of boileis. Foi example, the Code sets the limits of
tempeiatuie and piessuie on low piessuie watei and steam boileis listed above.
Laige boileis aie constiucted fiom steel oi cast iion. Cast iion boileis aie modulai and consist of
seveial identical heat tiansfei sections bolted and gasketed togethei to meet the iequiied output iating.
Steel boileis aie not modulai but aie constiucted by welding vaiious components togethei into one
assembly. Heat tiansfei occuis acioss tubes containing eithei the fie oi the watei to be heated. The
foimei aie called

B -

and the lattei

-

. Eithei mateiial of constiuction can
iesult in equally effcient designs. Small, light boileis of modeiate capacity aie sometimes needed foi use
in buildings. Foi these applications, the designei should considei the use of coppei boileis.
Figuie 4.1.2 shows a cioss-section of a steam boilei of the type used in buildings.

- -

The HVAC engineei must specify boileis based on a few key ciiteiia. This section lists these but does
not discuss the inteinal design of boileis and theii constiuction. Boilei selection is based on the
following ciiteiia:

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- type, eneigy content, heating value including altitude effects if gas fied (no effect
foi coal oi fuel oil boileis).

- net output iating in MMBtu/hi (kW)
Opeiating piessuie and woiking uid
Effciency and pait load chaiacteiistics

- space needs, contiol system, combustion aii iequiiements, safety iequiiements, ASME
code applicability
The boilei heat output iequiied foi a building is deteimined by summing the

of all zones oi loads seiviced by the boilei duiing peak demand foi steam oi hot watei and
adding to that (1) paiasitic losses including piping losses and (2) initial loop uid waim-up. Simply
adding all of the

-

of all the zones in a building can iesult in an oveisized boilei
since the zones do not all iequiie peak heating simultaneously. The iatio of the total of all zone loads
undei peak conditions to the total heating capacity installed in a building is called the

-

.
Additional boilei capacity may be needed to iecovei fiom night setback in massive buildings. This
tiansient load is called the

load and must be accounted foi in both boilei and teiminal heating
unit sizing.
Boileis aie often sized by theii

-

fuel iatings. Of couise, this iating must be multiplied by
the applicable effciency to deteimine the gioss output of the boilei. In addition, if a gas boilei is not to
be located at sea level, the effect of altitude must be accounted foi in the iating. Some boilei designs use
a foiced diaft buinei to foice additional combustion aii into the fiebox to offset pait of the effect of
altitude. Also, eniiched oi piessuiized gas may be piovided at high altitude so that the heating value pei
unit volume is the same as at sea level. If no accommodation to altitude is made, the output of a gas boilei
diops by appioximately 4% pei 1000 ft (13% pei km) of altitude above sea level. Foi example, a gas boilei
located in Denvei, Coloiado (5000 ft, 1500 m) will have a capacity of only 80% of its sea level iating.
Table 4.1.2 shows the type of data piovided by manufactuieis foi the selection of boileis foi a specifc
pioject. Reading acioss the table, the fuel input needs aie fist tabulated foi the 13 boilei models listed.
The ffth column is the sea level boilei output at the maximum design heat iate. The next foui columns

Boilei cioss-sectional diawing showing buinei, heat exchangei, and ue connection. (Fiom Rabl,
A. and Kieidei J.F.,

-

, McGiaw-Hill, New Yoik, NY, 1994. With peimission.)

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conveit the heat iate to steam and hot watei pioduction iates. The following column expiesses heat iate
in still a diffeient way, using units of boilei hoisepowei ( 33,475 Btu/hi oi 9.81 kW). The fnal foui
columns piovide infoimation needed foi designing the combustion aii supply system and the chimney.
A iule of thumb to check boilei selection in heating climates in the U.S. is that the input iating (columns
two and thiee of the table, foi example) in Btu/hi expiessed on the basis of

-

of building
is usually in the iange of one thiid to one ffth of the design tempeiatuie diffeience (diffeience between
indooi and outdooi, wintei design tempeiatuie). Foi example, if the design tempeiatuie diffeience foi a
100,000 squaie foot building is 80F, the boilei input would be expected to be in the iange between 1.6
MMBtu/hi (80/5]

100,000 ft

2

) and 2.7 MMBtu/hi (80/3]

100,000 ft

2

). The diffeience between the two
depends on the eneigy effciency of the building envelope and its infltiation contiols. Boilei effciency also
has an effect on this design check.
Piopei contiol of boileis in iesponse to vaiying outdooi conditions can impiove effciency and occupant
comfoit. A standaid featuie of boilei contiols is the

-

system. Since full boilei capacity is needed
only at peak heating conditions, bettei comfoit contiol iesults if capacity is ieduced with incieasing outdooi
tempeiatuie. Capacity ieduction of zone hot watei heating is easy to accomplish by simply ieducing the
watei tempeiatuie supplied by the boilei. An example ieset schedule might specify boilei watei at 210F at
an outdooi tempeiatuie of -20F and at 70F a watei tempeiatuie of 140F. This schedule is called a 1:1
schedule since foi eveiy degiee iise in outdooi tempeiatuie the boilei output diops by 1.0F.

Steam systems have additional components needed to piovide safety oi adequate contiol in building
theimal systems. This section piovides an oveiview of the most impoitant of these components including
steam tiaps and ielief valves.
Steam tiaps aie used to sepaiate both steam condensate and noncondensable gases fiom live steam in
steam piping systems and at steam equipment. Steam tiaps tiap" oi confne steam in heating coils, foi
example, while ieleasing condensate to be ievapoiized again in the boilei. The challenge in tiap selection
is to assuie that the condensate and gases aie iemoved piomptly and with little to no loss of live steam.
Foi example, if condensate is not iemoved fiom a heating coil, it will become wateilogged and have

Example of Manufactuiei`s Boilei Capacity Table

Boilei
unit
numbei,
steam,
oi watei
(1)

IBR buinei capacity
Gioss
IBR
output,
Btu/h
(5)

Net IBR iatings
Net heat
tiansfei
aiea,
ft

2

H

2

O
(9)
Boilei
hp
(10)
Net
fiebox
volume,
ft

3

(11)
Stack
gas
volume,
ft

3

/min
(12)
Positive
piessuie in
fiebox
in WG
(13)
IBR
chimney
size vent
dia., in
(14)
Light
oil,
gal/h
(2)
Gas,
kBtu/h
(3)
Min.
gas
piess.
ieq`d.,
in WG
(4)
Steam,
ft

2

/h
(6)
Steam,
Btu/h
(7)
Watei,
Btu/h
(8)

486F

6.30 882 5.5 720,000 2,250 540,100 626,100 4,175 21.5 11.02 395 0.34 10

586F

8.25 1,155 7.0 940,000 2,940 705,200 817,400 5,450 28.1 14.45 517 0.35 10

686F

10.20 1,428 5.5 1,160,000 3,625 870,200 1,008,700 6,725 34.6 18.08 640 0.35 10

786F

12.15 1,701 6.0 1,380,000 4,355 1,044,700 1,200,000 8,000 41.2 21.61 762 0.36 12

886F 14.10 1,974 5.0 1,600,000 5,115 1,227,900 1,391,300 9,275 49.6 25.14 884 0.37 12
986F 16.05 2,247 6.0 1,820,000 5,875 1,409,800 1,582,600 10,550 54.3 28.67 1,006 0.38 14
1086F 18.00 2,520 6.5 2,040,000 6,600 1,583,900 1,773,900 11,825 60.9 32.20 1,128 0.39 14
1186F 19.95 2,793 7.0 2,260,000 7,310 1,754,700 1,965,200 13,100 67.5 35.73 1,251 0.40 14
1286F 21.95 3,073 7.0 2,480,000 8,025 1,925,500 2,156,500 14,375 74.1 39.26 1,376 0.41 14
1386F 23.90 3,346 6.5 2,700,000 8,735 2,096,300 2,347,800 15,650 80.6 42.79 1,498 0.42 14
1486F 25.90 3,626 7.5 2,920,000 9,445 2,267,100 2,539,100 16,925 87.2 46.32 1,623 0.43 16
1586F 27.85 3,899 7.5 3,140,000 10,160 2,437,900 2,730,400 18,200 93.8 49.85 1,746 0.44 16
1686F 29.75 4,165 8.5 3,350,000 10,835 2,600,900 2,913,000 19,420 100.1 53.38 1,865 0.45 16
1 bhp 33,475 Btu/h 9.8 kW.
Fiom Rabl, A. and Kieidei, J.F., -, McGiaw-Hill, New Yoik, 1994. With peimission.

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much ieduced heating capacity. A biief desciiption of the most common types of tiaps which should be
used in HVAC applications follows.
tiaps aie simple and inexpensive. The most common type, the - , is shown in
Figuie 4.1.3a. This type of tiap opeiates on kinetic eneigy changes as condensate ows thiough and
ashes into steam within the tiap. Steam ashed (i.e., conveited fiom hot liquid to vapoi) fiom hot
condensate above the disc holds the tiap closed until the disc is cooled by coolei condensate. Steam line
piessuie then pushes the disc open. It iemains open until all cool condensate has been expelled and hot
condensate is again piesent and ashes again to close the valve. The disc action is made moie iapid by
the ow of condensate beneath the disc; the high velocities pioduce a low piessuie aiea theie in accoidance
with Beinoulli`s equation and the disc slams shut. These tiaps aie iugged and make a chaiacteiistic
clicking sound, making opeiational checking easy. They can stick open if a paiticle lodges in the seat.
This design has ielatively high opeiating cost due to its live steam loss.
- tiaps use the tempeiatuie diffeience between steam and condensate to contiol condensate
ow. One type of theimostatic tiap is shown in Figuie 4.1.3b. The bimetal unit within the housing opens
the valve as condensate cools, theieby allowing condensate to exit the tiap. Signifcant subcooling of the
condensate is needed to open the valve and opeiation can be slow. Othei moie complex designs have moie
iapid iesponse and ieduced need foi subcooling. The bimetal element can be ieplaced with a bellows flled
with an alcohol/watei mixtuie peimitting closei tiacking of ielease setting as steam tempeiatuie changes.
A tiap that has a tempeiatuie/piessuie chaiacteiistic gieatei than the tempeiatuie/piessuie of satuiated
steam will lose live steam, wheieas a tiap with a / chaiacteiistic lying below the steam cuive will build
up condensate. The ideal tiap has an opening / chaiacteiistic identical with the / cuive of satuiated
steam.
Steam tiaps. (a) Disc tiap; (b) theimostatic tiap; (c) mechanical, inveited bucket tiap. (Fiom Rabl,
A. and Kieidei J.F., -, McGiaw-Hill, New Yoik, NY, 1994. With peimission.)

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tiaps opeiate on the density diffeience between condensate and live steam to displace a
oat. Figuie 4.1.3c shows one type of mechanical tiap - the - that uses an open,
upside down bucket with a small oiifce. Steam owing with the condensate (that flls the housing outside
of the bucket) flls the inveited bucket and causes it to oat since the confned steam is less dense than
the liquid watei suiiounding the bucket. Steam bleeds thiough the small hole in the bucket and condenses
within the tiap housing. As the bucket flls with condensate it becomes heaviei and eventually sinks and
opens the valve. Steam piessuie foices condensate fiom the tiap. The design of this tiap continuously
vents noncondensable gases, although the capacity foi noncondensable gas ow (mostly aii) iejection is
limited by the size of the small hole in the top of the bucket. This hole is limited in size by the need to
contiol paiasitic steam loss thiough the same hole. Diit can block the hole causing the tiap to malfunc-
tion. The tiap must be mounted veitically. An inveited bucket tiap has signifcantly smallei paiasitic live
steam losses than the theimodynamic disc tiap.
Steam tiaps aie used to diain condensate fiom steam headeis and fiom equipment wheie condensing
steam ieleases its heat to anothei uid. Steam piping is sloped so that condensate ows to a collecting point
wheie it is ielieved by the tiap. At equipment condensate collection points, the tiap is placed below the
equipment wheie the condensate diains by giavity. Figuie 4.1.4 shows a typical tiap application foi both
puiposes. The left tiap diains the headei, and the iight tiap diains the condensate pioduced in the heating coil.
Selection of tiaps iequiies knowledge of the condensate iejection iate (lb
m
/hi, kg/s) and the suitability
of vaiious tiap designs to the application. Table 4.1.3 summaiizes the applications of the thiee types of
tiaps discussed above (Haas, 1990).
The opeiating penalties foi malfunctioning steam tiaps (clogged, diity, oi coiioded) can dwaif the
cost of a tiap because expensive heat eneigy is lost if live steam is lost fiom malfunctioning tiaps. One
of the fist things to inspect in an eneigy audit of a new oi existing steam system is the condition of the
tiaps. Foi example, if steam is pioduced in a gas fied boilei of typical effciency, a 0.25 in (0.64 cm)
oiifce in a steam tiap will lose about $2000 woith of steam in a yeai. (The cost of gas in this example
is $3.00/thousand ft
3
$0.11/m
3
], the usual units used by utilities; this conveits to appioximately
$3.00/million Btu oi $2.84/GJ).
A piessuie is needed to contiol possible oveipiessuie in boileis foi safety ieasons. Valves aie
specifed by theii ability to pass a given amount of steam oi hot watei at the boilei outlet condition. This
Piping aiiangement foi heating coil steam tiap application. (Fiom Rabl, A. and Kieidei J.F.,
-, McGiaw-Hill, New Yoik, NY, 1994. With peimission.)

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dump iate can eithei be specifed in units of mass pei time oi in units of eneigy ow pei time. Piessuie
ielief valves must be used wheievei heat can be added to a confned volume of watei. Watei could become
confned in the piping of an HVAC system, foi example, if automatic contiol valves failed closed oi if
isolation valves weie impiopeily closed by a system opeiatoi. Not only boileis must be piotected, but also
heat exchangeis and watei pipe lengths that aie heated exteinally by steam tiacing oi solai heat. The volume
expansion chaiacteiistics of watei can pioduce tiemendous piessuies if heat is added to confned watei.
Foi example, watei waimed by only 30F (17C) will inciease in piessuie by 1100 psi (7600 kPa). The
method foi sizing boilei ielief valves is outlined in Wong (1989). The dischaige fiom boilei ielief valves
must be piped to a diain oi othei location wheie injuiy fiom live steam will be impossible.
- - O - --
The combustion of fuel in a boilei is a chemical ieaction and as such is goveined by the piinciples of
stoichiometiy. This section discusses the combustion of natuial gas (foi oui puiposes assumed to be
100% methane) in boileis as an example of fuel buining foi heat pioduction. It also outlines how the
ue gas fiom a boilei can be analyzed to asceitain the effciency of the combustion piocess. Continuous
monitoiing of ue gases by a building`s eneigy management system can iesult in eaily identifcation of
boilei combustion pioblems. In a new building, one should test a boilei to deteimine its effciency as
installed and to compaie output to that specifed by the designei.
Combustion analysis involves using the basic chemical ieaction equation and the known composition
of aii to deteimine the composition of ue gases. The inveise pioblem, fnding the piecombustion
composition, is also of impoitance when analyzing ue gases. The chemical ieaction foi stoichiometiic
combustion of methane is
CH
4
- 2O
2
CO
2
- 2H
2
O (4.1.3)
Recalling that the moleculai weights aie
Hydiogen (H
2
): 2
Methane (CH
4
): 16
Oxygen (O
2
): 32
Caibon Dioxide (CO
2
): 44
Watei (H
2
O): 18
we can easily deteimine that 4.0 lb of oxygen pei lb of methane aie iequiied foi complete combustion.
Since aii is 23% oxygen by weight, 17.4 lb
m
(oi kg) of aii pei lb
m
(oi kg) of fuel aie iequiied, theoietically.
Opeiating Chaiacteiistics of Steam Tiaps
System needs Theimodynamics Float-theimostatic Inveited bucket
Maximum piessuie (psig) 1740 465 2755
Maximum capacity (lb/h) 5250 100,000 20,500
Dischaige Hot Hot Hot
tempeiatuie, F (Close to satuiated-steam tempeiatuie)
Dischaige On/off Continuous On/off
Aii venting Good Excellent Faii
Diit handling Faii Good Good
Fieeze iesistance Good Pooi Pooi
Supeiheat Excellent Pooi Faii
Wateihammei Excellent Faii Excellent
Vaiying load Good Excellent Good
Change in psi Good Excellent Faii
Backpiessuie Maximum 80% Good Good
Usual failuie Open Closed/aii vent open Open
Fiom Rabl, A. and Kieidei, J.F., -, McGiaw-Hill, New
Yoik, 1994. With peimission.

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It is easy to show that on a volumetiic basis (iecall Avogadio`s law which states that one mole of any gas
at the same tempeiatuie and piessuie occupies the same volume) the equivalent iequiiements aie 2.0 ft
3
of oxygen pei ft
3
of methane foi complete combustion. This oxygen iequiiement is equivalent to 8.7 ft
3
of aii pei ft
3
of methane. A iule of thumb to check the pieceding calculation is that 0.9 ft
3
of aii aie
iequiied foi 100 Btu of fuel heating value (about 0.25 m
3
of aii pei MJ of heating value). Foi example,
the heating value of natuial gas is about 1000 Btu/ft
3
iequiiing 9 ft
3
of aii accoiding to the above iule.
This compaies well with the value of 8.7 ft
3
pieviously calculated.
Combustion aii is often piovided in excess of this amount to guaiantee complete combustion. Incom-
plete combustion yields toxic caibon monoxide (CO) in the ue gas. This incomplete combustion is to
be avoided not only as eneigy waste but as aii pollution. The amount of excess aii involved in combustion
is usually expiessed as the --
exc aii
(4.1.4)
In combustion calculations foi gaseous fuels, the aii amounts in Equation 4.1.4 aie usually expiessed
on a volumetiic basis, wheieas foi all othei fuels a mass basis is used.
The amount of excess aii piovided is ciitical to the effciency of a combustion piocess. Excessive aii
both ieduces combustion tempeiatuie (ieducing heat tiansfei iate to the woiking uid) and iesults in
excessive heat loss thiough the ue gases. Insuffcient excess aii iesults in incomplete combustion and
loss of chemical eneigy in the ue gases. The amount of excess aii piovided vaiies with the fuel and with
the design of the boilei (oi fuinace). Recommendations of the manufactuiei should be followed. The
optimum excess aii fiaction is usually between 10 and 50%.
- -- is a method of deteimining the amount of excess aii in a combustion piocess. This
infoimation can be used to fnd an appioximate value of boilei effciency. Peiiodic, iegulai analysis can
piovide a tiend of boilei effciency with time, indicating possible pioblems with the buinei oi combustion
equipment in a boilei oi fuinace. Flue gas analysis is often expiessed as the volumetiic fiaction of ue
gases - oxygen, nitiogen, and caibon monoxide. If these thiee values aie known, the excess aii (%) can
be found fiom (ASHRAE, 1997)
(4.1.5)
in which the chemical symbols iepiesent the volume fiactions in the ue gas analysis expiessed in %.
The following example indicates how this expiession is used.
- --
The volumetiic analysis of ue gas fiom combustion of methane in a gas boilei is measuied to be
10.5% caibon dioxide
3.2% oxygen
86.3% nitiogen
0% caibon monoxide
Find the amount of excess aii. Is it within the iecommended iange suggested above:
Equation 4.1.5 will be used as follows:
The excess aii is 16.3%, within the 10 - 50% iange above.
exc air
air supplied stoichiometric air -
stoichiometric air
---------------------------------------------------------------------------- =
exc air
O
2
0.5CO -
0.264N
2
O
2
0.5CO - -
------------------------------------------------------------ =
exc air
3.2% 0.5 0% -
0.264 86.3% 3.2% 0.5 0% - -
------------------------------------------------------------------------------------------- 0.163 = =

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The effciency of a steam boilei can be found fiom feld measuiements by
(4.1.6)
wheie
is the steam output iate, Btu/hi (kW)
is the fuel supply iate, lbm/hi (kg/s)
HHV is the highei heating value of the fuel, Btu/lb (kJ/kg)
The pievious discussion desciibed the combustion of methane and at what iate aii is to be supplied
foi piopei combustion. Of couise, many othei fuels aie used to fie boileis. Table 4.1.4 contains data
which can be used to quickly estimate the excess aii fiom a ue gas analysis foi othei fuels.
Coal and fuel oil contain caibon and hydiogen along with sulfui, the combustion of all of which
pioduce heat. Howevei, sulfui oxide foimed duiing combustion is a coiiosive acid if dissolved in liquid
watei. In oidei to avoid coiiosion of boileis and stacks, liquid watei must be avoided anywheie in a
boilei by maintaining suffciently high stack tempeiatuies to avoid condensation. (Stainless steel stacks
and fieboxes piovide an alteinative solution since they aie not subject to coiiosion, but they aie veiy
costly.) In addition, sulfui oxides aie one of the souices of acid iain. Theiefoie, theii emissions must be
caiefully contiolled.
B -
A simplei, oveiall effciency equation can be used foi boilei eneigy estimates if the steam iate iequiied
foi using Equation 4.1.6 is not measuiable:
(4.1.7)
Stoichiometiic and Excess Aii Values of CO
2
foi Combustion of Common
Fossil Fuels
Type of fuel
Theoietical oi
maximum CO
2
, %
CO
2
at given
excess-aii values
20% 40% 60%
Gaseous fuels
Natuial gas 12.1 9.9 8.4 7.3
Piopane gas (commeicial) 13.9 11.4 9.6 8.4
Butane gas (commeicial) 14.1 11.6 9.8 8.5
Mixed gas (natuial and caibuieted watei gas) 11.2 12.5 10.5 9.1
Caibuieted watei gas 17.2 14.2 12.1 10.6
Coke oven gas 11.2 9.2 7.8 6.8
Liquid fuels
No. 1 and No. 2 fuel oil 15.0 12.3 10.5 9.1
No. 6 fuel oil 16.5 13.6 11.6 10.1
Solid fuels
Bituminous coal 18.2 15.1 12.9 11.3
Anthiacite 20.2 16.8 14.4 12.6
Coke 21.0 17.5 15.0 13.0
Fiom Rabl, A. and Kieidei, J.F., -, McGiaw-Hill, New
Yoik, 1994. With peimission.
boil
`
steam
`
fuel HHV
------------------------------ =
`
steam
`
fuel
boil
HHV losses -
HHV
--------------------------------- =

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The loss teim includes fve paits:
1. Sensible heat loss in ue gases
2. Latent heat loss in ue gases due to combustion of hydiogen
3. Heat loss in watei in combustion aii
4. Heat loss due to incomplete combustion of caibon
5. Heat loss fiom unbuined caibon in ash (coal and fuel oil)
Boileis can be tested foi effciency in laboiatoiies and iated in accoidance with standaids issued by the
Hydionics Institute (foimeily IBR, the Institute of Boilei and Radiatoi Manufactuieis, and the SBI, the
Steel Boilei Institute), the Ameiican Gas Association (AGA), and othei industiy gioups. In addition to
cast iion boilei iatings, IBR iatings aie industiy standaids foi baseboaid heateis and fnned-tube iadiation.
The iatings of the Hydionics Institute apply to steel boileis (IBR and SBI aie tiademaiks of the Institute).
SBI and IBR iatings apply to oil- and coal-fied boileis while gas boileis aie iated by the AGA.
As noted eailiei, effciency undei specifc test conditions has veiy limited usefulness in calculating the
annual eneigy consumption of a boilei due to signifcant diop off of effciency undei pait load conditions.
Foi small boileis (up to 300 MBtu/hi 90 kW]), the U.S. Depaitment of Eneigy has set a method foi
fnding the AFUE (defned in the eailiei section on fuinaces). Annual eneigy consumption must be
known in oidei to peifoim economic analyses foi optimal boilei selection.
Foi laigei boileis, data specifc to a manufactuiei and an application must be used in oidei deteimine
annual consumption. Effciencies of fossil fuel boileis vaiy with heat iate depending on theii inteinal
design. If the boilei has only one oi two fiing iates, the continuous iange of heat inputs needed to meet
a vaiying heating load is achieved by cycling the boilei on and off. Howevei, as load decieases, effciency
decieases since the boilei spends piogiessively moie and moie time in tiansient waim-up and cool-down
modes duiing which ielatively little heat is deliveied to the load. At maximum load, the boilei cycles
veiy little and effciency can be expected to be neai the iated effciency of the boilei. Pait load effects
can ieduce aveiage effciency to less than half of the peak effciency. Of couise, foi an oveisized boilei,
aveiage effciency is well below the peak effciency since it opeiates at pait load foi the entiie heating
season. This opeiating cost penalty peisists foi the life of a building, long aftei the designei who oveisized
the system has foigotten the eiioi.
To quantify pait load effects we defne the , PLR (a quantity between 0 and 1), as
(4.1.8)
wheie
is the boilei heat output at pait load; Btu/hi, kW
is the iated heat output at full load; Btu/hi, kW
It is not piactical to calculate fiom basic piinciples how boilei depends on the value of PLR
since the piocesses to be modeled aie veiy complex and nonlineai. The appioach used foi boileis
(and othei heat pioducing equipment in this chaptei) involves using test data to calculate the boilei
input needed to pioduce an output . If effciency weie constant and if theie weie no standby losses,
the function ielating input to output would meiely be a constant, the effciency. Foi ieal equipment the
ielationship is moie complex. A common function used to ielate input to output (i.e., to PLR) is a simple
polynomial (at least foi a boilei) such as
(4.1.9)
PLR
`
,full
-------------
`
,full
`
,full
------------ PLR PLR
2
+ + + =

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wheie
is the heat input iequiied to meet the pait load level quantifed by PLR
is the heat input at iated full load on the boilei
The fist teim of Equation 4.1.9 iepiesents standby losses, foi example, those iesulting fiom a standing
pilot light in a gas boilei. Since the pait load chaiacteiistic is not fai fiom lineai foi most boileis, a
quadiatic oi cubic expiession is suffcient foi annual eneigy calculations. Pait load data aie not as ieadily
available as aie standaid peak iatings. If available, the data may often be in tabulai foim. The designei
will need to make a quick iegiession of the data to fnd , , and , using commonly available spieadsheet
oi statistical softwaie in oidei to be able to use the tabulai data foi annual eneigy calculations as desciibed
in the following.
The iemaindei of this section examines a paiticulaily simple application of a boilei - building space
heating - to see how impoitant pait load effects can be. The eneigy input
,yi
of a space heating
boilei can be calculated fiom the following basic equation:
(4.1.10)
wheie
boil
is the boilei effciency - a function of time since the load on the boilei vaiies with time
is the heat load on the boilei which vaiies with time as well, Btu/hi (kW)
The aigument of the integial is just the instantaneous, time-vaiying eneigy input to the boilei.
Howevei, since the needed output - not the input - is usually known as a iesult of building load
calculations, the foim in Equation 4.1.10 is that piactically used by designeis. The time dependence in
this expiession is deteimined in tuin by the tempoial vaiiation of load on the boilei as imposed by the
HVAC system in iesponse to climatic, occupant, and othei time-vaiying loads.
A simple case is a boilei used solely foi space heating. As desciibed in Chaptei 6.1, the heating load
is deteimined fist to oidei by the diffeience between indooi and outdooi tempeiatuie; all chaiacteiistics
of the building`s load and use iemaining fxed. Theiefoie, the heat iate in Equation 4.1.10 is deteimined
by outdooi tempeiatuie if the inteiioi tempeiatuie iemains constant. In this veiy simple case one could
ieplace the integial in Equation 4.1.10 with a sum utilizing the bin appioach as follows:
(4.1.11)
wheie
boil
(
) is the effciency of the boilei in a given ambient tempeiatuie bin ; the effciency depends
stiongly but indiiectly on ambient tempeiatuie
since the load, which deteimines PLR, depends

on tempeiatuie.
is the boilei load (i.e., building heat load) which depends on ambient tempeiatuie as
desciibed above.
) is the numbei of houis in the tempeiatuie bin foi which the value of effciency and heat
input apply.
This expiession assumes that the sequence of houis duiing the heating season is of no consequence.
The following example illustiates how bin weathei data can be used to take piopei account of pait load
effciency of a boilei used foi space heating.
`
,full
,yr
`

boil
----------------
,yr
boil
------------------------------- =
0 =

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- - -
A gas boilei is used to supply space heat to a building. The load vaiies lineaily with ambient tempeiatuie
as shown in Table 4.1.5 below. If the effciency of the boilei is 80% at peak, iated conditions, fnd the
seasonal aveiage effciency, annual eneigy input, and annual eneigy output using the data in the table.
The boilei input at iated conditions is 8750 MBtu/hi coiiesponding to -12.5F tempeiatuie bin at
which the load is 7000 MBtu/hi.
This boilei is tuined off in tempeiatuie bins highei than 57.5F ioughly coiiesponding to the limit
of the heating season; theiefoie, the standby losses above this tempeiatuie aie zeio.
The values of the coeffcients in the pait load chaiacteiistic Equation 4.1.9 aie
0.1
1.6
-0.7
Load data shown in the thiid column of Table 4.1.5 exhibit the lineaiity of load with ambient
tempeiatuie.
The pait load chaiacteiistic equation is
(4.1.12)
The key equation foi the solution is Equation 4.1.11. Since we aie given the pait load eneigy input
equation instead of the effciency at pait load, this expiession takes a somewhat simplei foim
To fnd the total eneigy used by the boilei, one sums the fuel used" column of Table 4.1.5 to fnd
that 22,439 MMBtu aie used to meet the annual load of 10,525 MMBtu. The iatio of these two numbeis
is the oveiall annual boilei effciency, 47%. This value is 41% less than the peak effciency of 80%. Cleaily,
one must take pait load effects into account in annual eneigy calculations.
Summaiy of Solution foi Example 3 - Boilei Eneigy Analysis
Calculating Annual Boilei Eneigy Use
Bin iange,
F
Bin size,
h
Heating
load,
kBtu/h PLR
,
.
kBtu/h
Boilei
effc.
Fuel
used,
MBtu
Net
output,
MBtu
55 to 60 762 0 0.00 875 0.000 667 0
50 to 55 783 500 0.07 1844 0.271 1444 391
45 to 50 716 1000 0.14 2750 0.364 1969 716
40 to 45 665 1500 0.21 3594 0.417 2390 997
35 to 40 758 2000 0.29 4375 0.457 3316 1516
30 to 35 713 2500 0.36 5094 0.491 3632 1782
25 to 30 565 3000 0.43 5750 0.522 3249 1695
20 to 25 399 3500 0.50 6344 0.552 2531 1396
15 to 20 164 4000 0.57 6875 0.582 1127 656
10 to 15 106 4500 0.64 7344 0.613 778 477
5 to 10 65 5000 0.71 7750 0.645 504 325
0 to 5 80 5500 0.79 8094 0.680 647 440
-5 to 0 22 6000 0.86 8375 0.716 184 132
`
,full
------------ 0.1 1.6 PLR 0.7 PLR
2
- + =
,yr
=
0 =
=
=

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One method of avoiding the pooi effciency of this system would be to use two (oi moie) smallei
boileis, the combined capacity of which would total the needed 7000 kBtu/h. Piopeily chosen, the smallei
boileis would have opeiated moie neaily at full load moie of the time iesulting in highei seasonal
effciency. Howevei, smallei boileis cost moie than one laige boilei with the capacity equal to the total
of the smallei boileis. Multiple boilei systems also offei standby secuiity; if one boilei should fail, the
othei could caiiy at least pait of the load. A single boilei system would entiiely fail to meet the load.
The fnal decision must be made based on economics, giving piopei account to the incieased ieliability
of a system composed of seveial smallei boileis. Constiaints aie imposed on such decisions by initial
budget, fuel type, ownei and aichitect decisions, and available space.

Heated watei is used in buildings foi vaiious puiposes, including basins, sinks foi custodial seivice,
showeis, and specialty seivices including kitchens in iestauiants and the like. This section oveiviews
seivice (oi domestic) watei heating methods foi buildings. Foi details iefei to ASHRAE (1999).
Watei is heated by equipment that is eithei pait of the space heating system, i.e., the boilei, oi by a
standalone watei heatei. The standalone equipment is similai to a small boilei except that watei chemistiy
must be accounted foi by use of anodic piotection foi the tank and by watei softening in geogiaphic
aieas wheie haidness can cause scale (lime) deposits in the watei heatei tank.
Two types of systems aie used foi watei heating - -- oi -. The foimei heats watei
on demand as it passes thiough the heatei which uses eithei steam oi hot watei. Output tempeiatuies
can vaiy with this system unless a contiol valve is used on the heated watei (not the heat supply) side
of the watei heatei (usually a heat exchangei). Instantaneous watei heateis aie best suited to ielatively
unifoim loads. They avoid the cost and heat losses of the stoiage tank but iequiie laigei and moie
expensive heating elements.
Stoiage type systems aie used to accommodate vaiying loads oi loads wheie laige peak demands make
it impiactical to use instantaneous systems. Watei in the stoiage tank is heated by an immeision steam
coil, by diiect fiing, oi by an exteinal heat exchangei. In sizing this system, the designei must account
foi standby losses fiom the tank jacket and connected hot watei piping. Foi any steam-based system cold
supply watei can be pieheated using the steam condensate.
In oidei to size the equipment two items must be known:
Houily peak demand foi the yeai - gal/hi, l/hi
Daily consumption - gal/day, l/d
Of couise, the volumetiic usage iates must be conveited to eneigy teims by multiplying by the specifc
heat and watei tempeiatuie iise.
(4.1.13)
wheie
is the watei heat iate, eithei on a daily oi houily basis; Btu/d oi Btu/hi, kJ/d oi W
is the watei mass ow iate, eithei on a daily oi houily basis, calculated fiom the volumetiic
ow listed above
aie the iequiied hot watei supply tempeiatuie and watei souice tempeiatuies,
iespectively.
is the specifc heat of watei

Table 4.1.6 summaiizes watei demands foi vaiious types of buildings, and Table 4.1.7 lists nominal
set points of watei heateis foi seveial end uses. When using the lowei settings in the table, the designei
must be awaie of the potential foi (Legionnaiie`s Disease). This miciobe has been
`
water
`
water
water
set
source
- =
`
water
`
water
set
source
-

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tiaced to infestations of showei heads; it is able to giow in watei maintained at 115F (46C). This
pioblem can be limited by using domestic watei tempeiatuies in the 140F (60C) iange.
Hot watei can be supplied fiom a stoiage type system at the maximum iate
(4.1.14)
Hot Watei Demands and Use foi Vaiious Types of Buildings
Type of building
a
Maximum houi Maximum day Aveiage day
Men`s doimitoiies 3.8 gal (14.4 L)/student 22.0 gal (83.4 L)/student 13.1 gal (49.7 L)/student
Women`s doimitoiies 5.0 gal (19 L)/student 26.5 gal (100.4 L)/student 12.3 gal (46.6 L)/student
Motels: No. of units
a
20 oi less 6.0 gal (22.7 L)/unit 35.0 gal (132.6 L)/unit 20.0 gal (75.8 L)/unit
60 5.0 gal (19.7 L)/unit 25.0 gal (94.8 L)/unit 14.0 gal (53.1 L)/unit
100 oi moie 4.0 gal (15.2 L)/unit 15.0 gal (56.8 L)/unit 10.0 gal (37.9 L)/unit
Nuising homes 4.5 gal (17.1 L)/bed 30.0 gal (113.7 L)/bed 18.4 gal (69.7 L)/bed
Offce buildings 0.4 gal (1.5 L)/peison 2.0 gal (7.6 L)/peison 1.0 gal (3.8 L)/peison
Food seivice establishments:
Type A: full-meal 1.5 gal (5.7 L)/max 11.0 gal (41.7 L)/max 2.4 gal (9.1 L)/aveiage
iestauiants and cafeteiias meals/h meals/h meals/h
c
Type B: diive-ins, giilles, luncheonettes, 0.7 gal (2.6 L)/max 6.0 gal (22.7 L)/max 0.7 gal (2.6 L)/aveiage
sandwich and snack shops meals/h meals/h meals/day
c
Apaitment houses: No. of apaitments
20 oi less 12.0 gal (45.5 L)/apt. 80.0 gal (303.2 L)/apt. 42.0 gal (159.2 L)/apt.
50 10.0 gal (37.9 L)/apt. 73.0 gal (276.7 L)/apt. 40.0 gal (151.6 L)/apt.
75 8.5 gal (32.2 L)/apt. 66.0 gal (250 L)/apt. 38.0 gal (144 L)/apt.
100 7.0 gal (26.5 L)/apt. 60.0 gal (227.4 L)/apt. 37.0 gal (140.2 L)/apt.
200 oi moie 5.0 gal (19 L)/apt. 50.0 gal (195 L)/apt. 35.0 gal (132.7 L)/apt.
Elementaiy schools 0.6 gal (2.3 L)/student 1.5 gal (5.7 L)/student 0.6 gal (2.3 L)/student
b
Junioi and senioi high schools 1.0 gal (3.8 L)/student 3.6 gal (13.6 L)/student 1.8 gal (6.8 L)/student
b
a
The aveiage usage of a U.S. iesidence is 60 gal/day (227 L/h) with a peak usage of 6 gal/h (22.7 L/h) (ASHRAE, 1987).
b
Inteipolate foi inteimediate values.
c
Pei day of opeiation. Tempeiatuie basis: 140F.
Souice: Fiom ASHRAE. With peimission.
Repiesentative Hot Watei Use Tempeiatuies
Use
Tempeiatuie
F C
Lavatoiy
Handwashing 105 40
Shaving 115 45
Showeis and tubs 110 43
Theiapeutic baths 95 35
Commeicial and institutional laundiy 180 82
Residential dishwashing and laundiy 140 60
Suigical sciubbing 110 43
Commeicial spiay-type dishwashing
Single oi multiple tank hood(s) oi iack(s)
Wash 150 min 65 min
Final iinse 180-195 82-90
Single tank conveyoi
Wash 160 min 71 min
Final iinse 180-195 82-90
Table values aie watei use tempeiatuies, not necessaiily watei heatei set points.
Fiom ASHRAE. With peimission.
`
water
`
useful
tank
---------------------- + =

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wheie
is the volumetiic hot watei supply iate; gal/hi, l/s
is the watei heatei iecoveiy iate; gal/hi, l/s
-
is the useful fiaction of the hot watei in the tank befoie dilution loweis tempeiatuie excessively;
0.60-0.80
is the tank volume; gal, (L)

is the duiation of peak demand, h, (s)
Jacket losses aie assumed to be small.
--
Electiicity can be used as the heat souice in both fuinaces and boileis. Electiic units aie available in the
full iange of sizes fiom small iesidential fuinaces (5 to 15 kW) to laige boileis foi commeicial buildings
(200 kW to 20 MW). Electiic units have foui attiactive featuies:
Relatively lowei initial cost
Effciency neai 100%
Neai zeio pait load penalty
Flue gas vents aie not needed
The cost of electiicity (both eneigy and demand chaiges, see Chapteis 3.1 and 3.2) diminishes the
appaient advantage of electiic boileis and fuinaces, howevei. Neveitheless, they continue to be installed
wheie fist cost is a piime concein. Howevei, the piudent designei should considei the oveiwhelming
life cycle costs of electiic systems. Electiic boilei and fuinace sizing follows the methods outlined above
foi fuel-fied systems. In many cases, the theimodynamic and economic penalties of puie iesistance
heating can be ieduced by using electiic heat pumps, the subject of the next section.
Enviionmental conceins must also be consideied when consideiing electiic heating. Low conveision
and tiansmission effciencies (ielative to diiect combustion of fuels foi watei heating) iesult in ielatively
highei CO
2
emissions. SO
2
emissions fiom coal powei plants aie also an enviionmental concein.
-
A extiacts heat fiom enviionmental oi othei medium tempeiatuie souices (such as the giound,
gioundwatei, oi building heat iecoveiy systems), iaises its tempeiatuie suffciently to be of value in
meeting space heating oi othei loads, and deliveis it to the load. This chaptei emphasizes heat pumps
used foi space heating with outdooi aii oi gioundwatei as the heat souice.
Figuie 4.1.5 shows a heat pump cycle on the - diagiam; Figuie 4.1.6 shows it on the moie fiequently
used p-h diagiam. It is exactly the iefiigeiation cycle discussed in Chaptei 2. Vapoi is compiessed in step
3-4 and heat is extiacted fiom the condensei in step 4-1. This heat is used foi space heating in the systems
discussed in this section. In step 1-2, isenthalpic thiottling takes place to the low side piessuie. Finally,
heat extiacted fiom the enviionment, oi othei low tempeiatuie heat souice, is used to boil the iefiigeiant
in the evapoiatoi in step 2-3.
An ideal Cainot heat pump would appeai as a iectangle in the - diagiam. The coeffcient of
peifoimance (COP) of a Cainot heat pump is given in Chaptei 2.1 which shows theie to be inveisely
piopoitional to the diffeience between the high and low tempeiatuie ieseivoiis. The same iesult applies
geneially to heat pumps using ieal uids. Although the high side tempeiatuie (
1
) iemains essentially
fxed (ignoiing foi now the effect of night theimostat setback), the low side tempeiatuie closely tiacks
the widely vaiying outdooi tempeiatuie. As a iesult, the - -
- - . This featuie of heat pumps must be accounted foi by the designei
since heat pump capacity diminishes as the space heating load on it incieases. Heat pumps can be
`
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supplemented by fuel heat oi electiic iesistance heating depending on the cost of each. Figuie 4.1.7 shows
a watei souice heat pump system that is not subject to outdooi tempeiatuie vaiiations if gioundwatei
oi a heat iecoveiy loop is used as the heat souice.
The attiaction of heat pumps is that they can delivei moie theimal powei than they consume electii-
cally duiing an appieciable pait of the heating season. In modeiate climates iequiiing both heating and
cooling, the heat pump can also be opeiated as an aii conditionei, theieby avoiding the additional cost
of a sepaiate aii conditioning system. Figuie 4.1.8 shows one way to use a heat pump system foi both
heating and cooling by ieveising ow thiough the system.
B-
Heat pumps aie available in sizes ianging fiom small iesidential units (10 kW) to laige cential systems
(up to 15 MW) foi commeicial buildings. Laige systems pioduce heated watei at tempeiatuies up to
Heat pump T-s diagiam showing foui steps of the simple heat pump piocess. (Fiom Rabl, A. and
Kieidei J.F., -, McGiaw-Hill, New Yoik, NY, 1994. With peimission.)
Heat pump p-h diagiam showing foui steps of the simple heat pump piocess. (Fiom Rabl, A. and
Kieidei J.F., -, McGiaw-Hill, New Yoik, NY, 1994. With peimission.)
Liquid souice heat pump mechanical equipment schematic diagiam showing motoi diiven centiif-
ugal compiessoi, condensei, and evapoiatoi. (Fiom Rabl, A. and Kieidei J.F., -,
McGiaw-Hill, New Yoik, NY, 1994. With peimission.)

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220F (105C). Cential systems can use both enviionmental and inteinal building heat souices. In many
piactical ciicumstances the heat gains in the coie zones of a commeicial building could satisfy the peiimetei
heat losses in wintei. A heat pump could be used to effciently condition both types of zones simultaneously.
Heat pumps iequiie a compiessoi and two heat exchangeis. In the eneigy bookkeeping that one does
foi heat pumps, the powei input to the compiessoi is added to the heat iemoved fiom the low tempeiatuie
heat souice to fnd the heat deliveied to the space to be heated. Incieased heating capacity at low aii
souice tempeiatuies can be achieved by oveisizing the compiessoi. To avoid pait load penalties in
modeiate weathei, a vaiiable speed compiessoi diive can be used.
The outdooi and indooi heat exchangeis use foiced convection on the aii side to pioduce adequate
heat tiansfei coeffcients. In the outdooi exchangei, the tempeiatuie diffeience between the boiling
iefiigeiant and the aii is between 10 and 25F (6-14C). If the heat souice is inteinal building heat, watei
is used to tianspoit heat to the heat pump evapoiatoi and smallei tempeiatuie diffeiences can be used.
A peisistent pioblem with aii souice heat pumps is the accumulation of fiost on the outdooi coil at
coil suiface tempeiatuies just above the fieezing point. The pioblem is most seveie in humid climates;
little defiosting is needed foi tempeiatuies below 20F (-7C) wheie humidities aie below 60%. -
- can be accomplished by biiey opeiating the heat pump as an aii conditionei (by ieveising
the ow of iefiigeiant) and tuining the outdooi fan off. Hot iefiigeiant owing thiough the outside
melts the accumulated fiost. This eneigy penalty must be accounted foi in calculating the COP of heat
pumps. Defiost contiol can be initiated eithei by time clock oi, bettei, by a sensoi measuiing eithei the
iefiigeiant condition (tempeiatuie oi piessuie) oi, ideally, by the aii piessuie diop acioss the coil.
The iealities of heat pump peifoimance, as discussed above, ieduce the capacity of ieal systems fiom
the Cainot ideal. Figuie 4.1.9 shows ideal Cainot COP values as a function of souice tempeiatuie foi a
high side tempeiatuie of 70F (21C). The inteimediate cuive shows peifoimance foi a Cainot heat
pump with ieal (i.e., fnite tempeiatuie diffeience) heat exchangeis. Finally, the peifoimance of a ieal
heat pump is shown in the lowei cuive. Included in the lowei cuive aie the effects of heat exchangei
losses, use of ieal uids, compiessoi ineffciencies, and piessuie diops. The COP of ieal machines is
much lowei (about 50%) than that foi an ideal Cainot cycle with heat exchangei penalties.
The B EER is the iatio of heating capacity (Btu pei houi) to the electiic input iate
(watts). EER thus has the units of Btu pei watt-houi. The dimensionless COP is found fiom the EER by
dividing it by the conveision factoi 3.413 Btu/W h.

The stiong dependence of heat pump output on ambient tempeiatuie must be accounted foi when
selecting cential plant equipment. If outdooi aii is used as the heat souice, peak heating iequiiements
Aii-to-aii heat pump diagiam. A iecipiocating compiessoi is used. This design allows opeiation as
a heat pump oi an aii conditionei by ieveising the iefiigeiant ow. (Fiom Rabl, A. and Kieidei J.F.,

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will invaiiably exceed the capacity of any economically feasible unit. Theiefoie, auxiliaiy heating is needed
foi such systems. Supplemental heat should always be added downstieam of the heat pump condensei
to ensuie that the condensei opeiates at as low a tempeiatuie as possible, theieby impioving the COP.
The amount of auxiliaiy heat needed and the type (electiicity, natuial gas, oil, oi othei) must be
deteimined by an economic analysis and fuel availability (heat pumps aie often used when fossil fuels aie
unavailable). The key featuie of such analysis is the combined effect of pait load peifoimance and ambient
souice tempeiatuie on system output and effciency. The following section shows how the tempeiatuie bin
appioach can be used foi such an assessment. Figuie 4.1.10 shows the conicting chaiacteiistics of heat
pumps and buildings in the heating season. As ambient tempeiatuie diops, loads inciease, but heating
capacity diops. The point at which the two cuives inteisect is called the . To the
left, auxiliaiy heat is needed; to the iight, the heat pump must be modulated since excess capacity exists.
Recoveiy fiom night theimostat setback must be caiefully thought out by the designei if an aii souice
heat pump is used. A step change up in the theimostat setpoint on a cold wintei moining will inevitably
cause the auxiliaiy heat souice to come on. If this heat souice is electiicity, high electiical demand chaiges
may iesult, and the possible economic advantage of the heat pump will be ieduced. One appioach to
avoid activation of the electiic iesistance heat elements uses a longei setup peiiod with giadually incieas-
ing theimostat setpoint. A smait contiollei could contiol the stait-up time based on known heat pump
peifoimance chaiacteiistics and outdooi tempeiatuie. Alteinatively, fuel could be used as the auxiliaiy
heat souice. Duiing building waimup, all outside aii dampeis iemain closed as is common piactice foi
any commeicial building heating system.
Heat pump effciency is gieatei if lowei high side tempeiatuies can be used. In oidei to pioduce
adequate space heat in such conditions, a laigei coil may be needed in the aii stieam. Howevei, if the
coil is sized foi the cooling load, it will neaily always have adequate capacity foi heating. In such a case,
adequate space heat can be piovided at ielatively low aii tempeiatuies, 95-110F (35-43C). Table 4.1.8
summaiizes advantages and disadvantages of aii and watei souice heat pumps.
Contiols foi heat pumps aie moie complex than foi fuel-fied systems since outdooi conditions, coil
fiosting, and heat load must all be consideied. In addition, to avoid excessive demand chaiges, the
contiollei must avoid opeiation of iesistance heat and the compiessoi at full capacity (attempt-
ing to meet a laige load on a cold day).
COP of ideal Cainot, Cainot (with heat exchangei penalty), and ieal heat pumps. (Fiom Rabl, A.
and Kieidei J.F., -, McGiaw-Hill, New Yoik, NY, 1994. With peimission.)

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As discussed in detail above, aii souice heat pumps aie paiticulaily sensitive to the enviionment. Eailiei
we examined how the peifoimance of boileis changed when the heating load changed with outdooi
tempeiatuie. The COP of an aii souice heat pump has an even gieatei dependence on enviionmental
conditions. This section piovides an example to illustiate the magnitude of the effect. Since aii souice
heat pumps aie often used on iesidences, it piovides a iesidential scale example.
- -
A iesidence in a heating climate has a total heat tiansmission coeffcient K
tot
650 Btu/(h F)
(343 W/K). An aii souice heat pump with a capacity of 39,900 Btu/h (11.7 kW) at 47F (8.3C)
(standaid iating point in the U.S.) is to be evaluated. Find the heating season electiical eneigy usage,
seasonal COP (often called the -- i, SPF), and eneigy savings ielative to electiic
Giaph of building heat load, heat pump capacity, and auxiliaiy heat quantity as a function of
outdooi aii tempeiatuie foi a typical, aii souice iesidential heat pump. (Fiom Rabl, A. and Kieidei J.F.,
Advantages and Disadvantages of Aii and Watei Souice Heat Pumps
Type Advantages Disadvantages
Aii souice Indooi distiibution peimits aii conditioning
and humidity contiol
Outdooi aii souice ieadily available
Simple installation
Least expensive
Established commeicial technology
Defiost iequiied
Low capacity at cold outdooi tempeiatuie
Lowei effciency because of laige evapoiatoi 30F
Indooi aii distiibution tempeiatuie must be high foi
comfoit ieasons
Reliability at low tempeiatuie is only faii, due to fiosting
effects
Must keep evapoiatoi cleai of leaves, diit, etc.
Watei souice Multiple family and commeicial installation
as cential system
In commeicial installations, good coupling to
cooling toweis
No iefiigeiant ieveisal needed; ieveise watei
ow instead
Needs watei souice at useful tempeiatuie
Effciency penalty due to space heat exchangei

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iesistance heating. Use the bin data and heat pump peifoimance data given in Table 4.1.9. The house
heating base tempeiatuie is 65F (18.3C) accounting foi inteinal gains. Figuie 4.1.11 shows the eneigy
ows as a function of outdooi tempeiatuie.
The pieceding table includes these data in oidei:
1. Centei point of tempeiatuie bin,
2. Heating demand,
(65F -
)
3. COP fiom manufactuiei`s data, a function of tempeiatuie, including defiost
4. Heat pump output; above the balance point, ; below the heat pump balance point, manufac-
tuiei`s data
5. Heat pump input, the heat pump output divided by COP
6. Auxiliaiy powei; the positive diffeience, if any, between and heat pump output
7. -- COP given by divided by the sum of auxiliaiy powei and heat pump input
The eneigy calculations aie summaiized in Table 4.1.10. The bottom line in the table contains eneigy
totals. With the heat pump, the total electiicity iequiiement is 48.7 MBtu/yi (51.4 GJ/yi). If puie iesistance
heating weie used, the total electiicity iequiiement would be 98.36 MBtu/yi (103.8 GJ/yi).
The SPF foi the heat pump is the seasonal output divided by the seasonal input to the heat pump:
The SPF foi the heating system is the seasonal heat load divided by the seasonal input to the heat
pump and the auxiliaiy heatei:
The advantage of a constant tempeiatuie heat souice is appaient fiom this example. If giound watei
oi building exhaust aii (both essentially at constant tempeiatuie) weie used as the heat souice iathei
than outdooi aii, theie would not be a diop off in capacity as with the outdooi aii souice device just
when heat is most needed.
Heat Pump and Building Load Data - Example 4
Bin
temp.
F
Heating
load
Btu/h
Heat pump
COP
Heat pump
output
Btu/h
Heat pump
input
Btu/h
Auxiliaiy
powei
Btu/h
Heating
system
COP
62 1,950 2.64 1,950 739 0 2.64
57 5,200 2.68 5,200 1,940 0 2.68
52 8,450 2.64 8,450 3,201 0 2.64
47 11,700 2.63 11,700 4,449 0 2.63
42 14,950 2.50 14,950 5,980 0 2.50
37 18,200 2.39 18,200 7,615 0 2.39
32 21,450 2.23 21,450 9,619 0 2.23
27
a
24,700 2.07 24,700 11,932 0 2.07
22 27,950 1.97 25,100 12,741 2,850 1.79
17 31,200 1.80 22,400 12,444 8,800 1.47
12 34,450 1.70 19,900 11,706 14,550 1.31
7 37,700 1.54 17,600 11,429 20,100 1.20
2 40,950 1.39 15,400 11,079 25,550 1.12
-3 44,200 1.30 13,500 10,385 30,700 1.08
-8 47,450 1.17 11,700 10,000 35,750 1.04
a
Heat pump balance point.
`
SPF
hp
,yr
,yr
----------
90.33 MBtu
40.66 MBtu
----------------------------- 2.22 = = =
SPF
sys
,yr
,yr
,aux,yr
+
---------------------------------
98.36 MBtu
40.66 8.03 + MBtu
--------------------------------------------------- 2.02 = = =

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Heating systems in many paits of the woild use waimed oois and/oi ceilings foi space heating in
buildings. Although this system is unusual in the U.S., the good comfoit and quiet opeiation piovided
by this appioach make it woith consideiing foi some applications. In Euiope it is fai moie common.
Radiant systems aie well suited to opeiation with heat pump, solai, and othei low tempeiatuie systems.
This section discusses the piinciples of low tempeiatuie space heating. This foim of heating is distinct
fiom high tempeiatuie iadiant heating using eithei electiicity oi natuial gas to piovide a high tempeiatuie
souice fiom which iadiation can be diiected foi localized heating.
Heat pump eneigy use foi the bin method example. The numbeis at each bin tempeiatuie indicate
the numbei of houis of occuiience in each bin. (Fiom Rabl, A. and Kieidei J.F., -,
McGiaw-Hill, New Yoik, NY, 1994. With peimission.)
Heat Pump Eneigy Calculations - Example 4
Bin
temp.
F
Bin
houis
h
Heating
eneigy
MBtu
Heat pump
output
MBtu
Heat pump
input
MBtu
Aux. heat
input
MBtu
Total
input
MBtu
62 783 1.53 1.53 0.58 0.00 0.58
57 731 3.80 3.80 1.42 0.00 1.42
52 678 5.73 5.73 2.17 0.00 2.17
47 704 8.24 8.24 3.13 0.00 3.13
42 692 10.35 10.35 4.14 0.00 4.14
37 717 13.05 13.05 5.46 0.00 5.46
32 721 15.47 15.47 6.94 0.00 6.94
27
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553 13.66 13.66 6.60 0.00 6.60
22 359 10.03 9.01 4.57 1.02 5.60
17 216 6.74 4.84 2.69 1.90 4.59
12 119 4.10 2.37 1.39 1.73 3.12
7 78 2.94 1.37 0.89 1.57 2.46
2 36 1.47 0.55 0.40 0.92 1.32
-3 22 0.97 0.30 0.23 0.68 0.90
-8 6 0.28 0.07 0.06 0.21 0.27
Total 98.36 90.33 40.66 8.03 48.70
a
Heat pump balance point.

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Figuie 4.1.12 shows how a iadiant ooi might be confguied in a iesidence. The same concept can
also be used in the ceiling in both iesidential and commeicial buildings. The teim is a misnomei
since between 30% (ceilings) and 50% (oois) of heat tiansfeiied fiom iadiant panels is actually by
convection. Howevei, we will use the industiy`s nomenclatuie foi this heating system.
The iadiation heat output of iadiant panels is given by the Stefan-Boltzmann equation as discussed
in Chaptei 2.1.
(4.1.15)
wheie
is 1/(1/
-1/
) - 1], the effective emittance of the space, and the subsciipts and iefei
to the unheated and heated (by iadiant panels) suifaces of the space; the effective emittance is
appioximately 0.8.
is the view factoi between the heating suiface and the unheated suifaces; its value is 1.0 in the
piesent case.
is the heating suiface tempeiatuie.
is the mean of the unheated suiface tempeiatuies.

is the Stefan-Boltzmann constant (see Chaptei 2).
Convection fiom the heating suiface can be found using the standaid fiee convection expiessions in
Chaptei 2.1.
The designei`s job is to deteimine the panel aiea needed, its opeiating tempeiatuie, the heating liquid
ow iate, and constiuction details. The panel size is deteimined based on standaid heat load calculations
(Chaptei 6.1). Piopei account should be made of any losses fiom the back of the iadiant panels to unheated
spaces. Panel tempeiatuies should not exceed 85F (29.5C) foi oois and 115F (46C) foi ceilings.
Watei tempeiatuies aie typically 120F (49C) foi oois and up to 155F (69C) foi ceilings. Panels
can be piped in a seiies confguiation if pipe iuns aie not excessively long (the fnal panels in a long
seiies iun will not peifoim up to specifcations due to low uid tempeiatuies). Long seiies loops also
have excessively high piessuie diops. If laige aieas aie to be heated, a combination of seiies and paiallel
connections can be used. Manufactuieis can advise iegaiding the numbei of panels that can be connected
in seiies without peifoimance penalties.
If iadiant oois aie to be built duiing building constiuction iathei than using piefabiicated panels in
ceilings, the following guidelines can be used. Tubing spacing foi a system of the type shown above
should be between 6 and 12 in (15 and 30 cm). The tubing diametei ianges between 0.5 and 1.0 in
(0.6 and 2.5 cm). Flow iates aie deteimined by the iate of heat loss fiom the panel, which in tuin depends
on the suiface tempeiatuie and hence the uid tempeiatuie. This step in the design is iteiative. Panel
design follows this piocess:
Residential iadiant ooi heating system. (Fiom Rabl, A. and Kieidei J.F.,
4
- =


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Deteimine ioom heat load.
Decide on location of panels (ioof oi ooi).
Find panel heat ux including both iadiation and convection contiibutions at 80F (27C) foi
ooi panels and 110F (43C) foi ceiling panels.
Divide heat load by heat ux to fnd needed panel aiea.
If panel aiea exceeds available ooi oi ceiling aiea, iaise panel tempeiatuie (not exceeding tem-
peiatuies noted eailiei) and iepeat steps 3 and 4.
If the panel aiea is still insuffcient, considei both ooi and ceiling panels.
Contiol of iadiant heating systems has pioven to be a challenge in the past due to the laige time
constant of these systems. Both undei- and oveiheating aie pioblems. If the outdooi tempeiatuie diops
iapidly, this system will have diffculty iesponding quickly. On the othei hand, aftei a moining waimup
followed by high solai gains on a sunny wintei day, the iadiant system may oveishoot. The cuiient
geneiation of smait" contiols should help impiove the comfoit contiol of these systems.

Solai eneigy is a souice of low tempeiatuie heat that has selected applications to buildings. Solai watei
heating is a paiticulaily effective method of using this ienewable iesouice since low to modeiate tem-
peiatuie watei (up to 140F, 60C) can be pioduced by ieadily available, at plate collectois (Goswami,
Kieidei, and Kieith, 2000).
Figuie 4.1.13 shows one system foi heating seivice watei foi iesidential oi commeicial needs using
solai collectois. The system consists of thiee loops; it is instiuctive to desciibe the system`s opeiation
based on these thiee.
Fiist, the collectoi loop (flled with a nonfieezing solution if needed) opeiates whenevei the DHW
contiollei deteimines that the collectoi is waimei, by a few degiees, than the stoiage tank. Heat is
tiansfeiied fiom the solai-heated uid by a counteiow oi plate heat exchangei to the stoiage tank in
the second loop of the system. Stoiage is needed since the availability of solai heat iaiely matches the
Solai watei heating system including collectois, pumps, heat exchangei, and stoiage tanks along
with piping and ancillaiy fttings. Collectois aie tilted up fiom the hoiizontal at a fxed angle ioughly equal to the
local latitude. (Fiom Rabl, A. and Kieidei J.F., -, McGiaw-Hill, New Yoik, NY, 1994.
With peimission.)

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watei heating load. The check valve in the collectoi loop is needed to pievent ieveise ow at night in
systems wheie the collectois (which aie cold at night) aie mounted above the stoiage tank.
The thiid uid loop is the hot watei deliveiy loop. Hot watei diawn off to the load is ieplaced by cold
watei supplied to the solai pieheat tank, wheie it is heated as much as possible by solai heat. If solai
eneigy is insuffcient to heat the watei to its setpoint, conventional fuels can fnish the heating in the
watei heatei tank, as shown on the iight of Figuie 4.1.13. The tempeiing valve in the distiibution loop
is used to limit the tempeiatuie of watei dispatched to the building if the solai tank should be above the
watei heatei setpoint in summei.
The eneigy deliveiy of DHW systems can be found using the -chait method desciibed in Duffe and
Beckman (1992). As a iough iule of thumb, one squaie foot of collectoi can piovide one gallon of hot
watei pei day (45 L/m
2
) on the aveiage in sunny climates. Design pump ows aie to be 0.02 gal/min pei
squaie foot of collectoi 0.01 L/(s m
2
)], and heat exchangei effectivenesses of at least 0.75 can be justifed
economically. Tanks should be insulated so that no moie than 2% of the stoied heat is lost oveinight.
Solai heating should be assessed on an economic basis. If the cost of deliveied solai heat, including
the amoitized cost of the deliveiy system and its opeiation, is less than that of competing eneigy souices,
an incentive exists foi using the solai iesouice. The collectoi aiea needed on commeicial buildings can
be laige; if possible, otheiwise unused ioof space can be used to hold the collectoi aiiays. See Chaptei
6.4 foi a complete and detailed desciiption of solai system analysis and design.
-
ASHRAE, 1999, -, ASHRAE, Atlanta, GA.
ASHRAE, 2000, , ASHRAE, Atlanta, GA.
ASHRAE, 2001, -, ASHRAE, Atlanta, GA.
Haas, J. H., 1990, Steam tiaps - key to piocess heating, , vol. 97, pp. 151-156,
Januaiy.
Goswami, Y., Kieidei, J. F., and Kieith, F., 2000, - , Tayloi and Fiancis, New
Yoik, pp. 694.
Rabl, A. and Kieidei, J.F., 1994, -, McGiaw-Hill, New Yoik, NY.
Wong, W. Y., 1989, Safei ielief valve sizing, , vol. 96, pp. 137-140, May.
--
- K
Aii conditioning has iapidly giown ovei the past 50 yeais, fiom a luxuiy to a standaid system included
in most iesidential and commeicial buildings. In 1970, 36% of iesidences in the U.S. weie eithei fully
aii conditioned oi utilized a ioom aii conditionei foi cooling (Blue, et al., 1979). By 1997, this numbei
had moie than doubled to 77%, and that yeai also maiked the fist time that ovei half (50.9%) of
iesidences in the U.S. had cential aii conditioneis (Census Buieau, 1999). An estimated 83% of all new
homes constiucted in 1998 had cential aii conditioneis (Census Buieau, 1999). Aii conditioning has also
giown iapidly in commeicial buildings. Fiom 1970 to 1995, the peicentage of commeicial buildings with
aii conditioning incieased fiom 54 to 73% (Jackson and Johnson, 1978, and DOE, 1998).
Aii conditioning in buildings is usually accomplished with the use of mechanical oi heat-activated
equipment. In most applications, the aii conditionei must piovide both cooling and dehumidifcation
to maintain comfoit in the building. Aii conditioning systems aie also used in othei applications, such
as automobiles, tiucks, aiiciaft, ships, and industiial facilities. Howevei, the desciiption of equipment in
this chaptei is limited to those commonly used in commeicial and iesidential buildings.
Commeicial buildings iange fiom laige high-iise offce buildings to the coinei convenience stoie.
Because of the iange in size and types of buildings in the commeicial sectoi, theie is a wide vaiiety of
equipment applied in these buildings. Foi laigei buildings, the aii conditioning equipment is pait of a
total system design that includes items such as a piping system, aii distiibution system, and cooling towei.

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Piopei design of these systems iequiies a qualifed engineei. The iesidential building sectoi is dominated
by single family homes and low-iise apaitments/condominiums. The cooling equipment applied in these
buildings comes in standaid packages" that aie often both sized and installed by the aii conditioning
contiactoi.
The chaptei staits with a geneial discussion of the vapoi compiession iefiigeiation cycle then moves
to iefiigeiants and theii selection. Chilleis and theii auxiliaiy systems aie then coveied, followed by
packaged aii conditioning equipment.
--
Even though theie is a laige iange in sizes and vaiiety of aii conditioning systems used in buildings, most
systems utilize the vapoi compiession cycle to pioduce the desiied cooling and dehumidifcation. This
cycle is also used foi iefiigeiating and fieezing foods and foi automotive aii conditioning. The fist patent
on a mechanically diiven iefiigeiation system was issued to Jacob Peikins in 1834 in London, and the fist
viable commeicial system was pioduced in 1857 by James Haiiison and D.E. Siebe (Thevenot 1979).
Besides vapoi compiession, theie aie two less common methods used to pioduce cooling in buildings:
the absoiption cycle and evapoiative cooling. These aie desciibed latei in the chaptei. With the vapoi
compiession cycle, a woiking uid, which is called the iefiigeiant, evapoiates and condenses at suitable
piessuies foi piactical equipment designs.
The foui basic components (Figuie 4.2.1) in eveiy vapoi compiession iefiigeiation system aie the
compiessoi, condensei, expansion device, and evapoiatoi. The compiessoi iaises the piessuie of the
iefiigeiant vapoi so that the iefiigeiant satuiation tempeiatuie is slightly above the tempeiatuie of the
cooling medium used in the condensei. The type of compiessoi used depends on the application of the
system. Laige electiic chilleis typically use a centiifugal compiessoi while small iesidential equipment
uses a iecipiocating oi scioll compiessoi.
The condensei is a heat exchangei used to ieject heat fiom the iefiigeiant to a cooling medium. The
iefiigeiant enteis the condensei and usually leaves as a subcooled liquid. Typical cooling mediums used
in condenseis aie aii and watei. Most iesidential-sized equipment uses aii as the cooling medium in the
condensei, while many laigei chilleis use watei.
Aftei leaving the condensei, the liquid iefiigeiant expands to a lowei piessuie in the expansion valve.
The expansion valve can be a passive device, such as a capillaiy tube oi shoit tube oiifce, oi an active
device, such as a theimal expansion valve oi electionic expansion valve. The puipose of the valve is to
Simplifed schematic and piessuie/enthalpy diagiam of the vapoi compiession cycle used in many
aii conditioneis.

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iegulate the ow of iefiigeiant to the evapoiatoi so that the iefiigeiant is supeiheated when it ieaches
the suction of the compiessoi.
At the exit of the expansion valve, the iefiigeiant is at a tempeiatuie below that of the medium (aii oi
watei) to be cooled. The iefiigeiant tiavels thiough a heat exchangei called the evapoiatoi. It absoibs
eneigy fiom the aii oi watei ciiculated thiough the evapoiatoi. If aii is ciiculated thiough the evapoiatoi,
the system is called a - --. If watei is ciiculated thiough the evapoiatoi, it is called a
. In eithei case, the iefiigeiant does not make diiect contact with the aii oi watei in the evapoiatoi.
The iefiigeiant is conveited fiom a low quality, two-phase uid to a supeiheated vapoi undei noimal
opeiating conditions in the evapoiatoi. The vapoi foimed must be iemoved by the compiessoi at a
suffcient iate to maintain the low piessuie in the evapoiatoi and keep the cycle opeiating.
All mechanical cooling iesults in the pioduction of heat eneigy that must be iejected thiough the
condensei. In many instances, this heat eneigy is iejected to the enviionment diiectly to the aii in the
condensei oi indiiectly to watei wheie it is iejected in a cooling towei. With some applications, it is
possible to utilize this waste heat eneigy to piovide simultaneous heating to the building. Recoveiy of
this waste heat at tempeiatuies up to 65C (150F) can be used to ieduce costs foi space heating.
Capacities of aii conditioning aie often expiessed in eithei tons oi kilowatts (kW) of cooling. The ton
is a unit of measuie ielated to the ability of an ice plant to fieeze one shoit ton (907 kg) of ice in 24 hi.
Its value is 3.51 kW (12,000 Btu/hi). The kW of theimal cooling capacity pioduced by the aii conditionei
must not be confused with the amount of electiical powei (also expiessed in kW) iequiied to pioduce
the cooling effect.
- -
Up until the mid-1980s, iefiigeiant selection was not an issue in most building aii conditioning appli-
cations because theie weie no iegulations on the use of iefiigeiants. Many of the iefiigeiants histoiically
used foi building aii conditioning applications have been chloiouoiocaibons (CFCs) and hydio-
chloiouoiocaibons (HCFCs). Most of these iefiigeiants aie nontoxic and nonammable. Howevei,
iecent U.S. fedeial iegulations (EPA 1993a; EPA 1993b) and inteinational agieements (UNEP, 1987) have
placed iestiictions on the pioduction and use of CFCs and HCFCs. Hydiouoiocaibons (HFCs) aie now
being used in some applications wheie CFCs and HCFCs weie used. Having an undeistanding of
iefiigeiants can help a building ownei oi engineei make a moie infoimed decision about the best choice
of iefiigeiants foi specifc applications. This section discusses the diffeient iefiigeiants used in oi pio-
posed foi building aii conditioning applications and the iegulations affecting theii use.
The Ameiican Society of Heating, Refiigeiating and Aii Conditioning Engineeis (ASHRAE) has a
standaid numbeiing system (Table 4.2.1) foi identifying iefiigeiants (ASHRAE, 1992). Many populai
CFC, HCFC, and HFC iefiigeiants aie in the methane and ethane seiies of iefiigeiants. They aie called
halocaibons, oi halogenated hydiocaibons, because of the piesence of halogen elements such as uoiine
oi chloiine (King, 1986).
Zeotiopes and azeotiopes aie mixtuies of two oi moie diffeient iefiigeiants. A zeotiopic mixtuie changes
satuiation tempeiatuies as it evapoiates (oi condenses) at constant piessuie. The phenomena is called
tempeiatuie glide. At atmospheiic piessuie, R-407C has a boiling (bubble) point of -44C (-47F) and a
condensation (dew) point of -37C (-35F), which gives it a tempeiatuie glide of 7C (12F). An azeotiopic
mixtuie behaves like a single component iefiigeiant in that the satuiation tempeiatuie does not change
appieciably as it evapoiates oi condenses at constant piessuie. R-410A has a small enough tempeiatuie
glide (less than 5.5C, 10F) that it is consideied a neai-azeotiopic iefiigeiant mixtuie.
ASHRAE gioups iefiigeiants (Table 4.2.2) by theii toxicity and ammability (ASHRAE, 1994).
Gioup A1 is nonammable and least toxic, while Gioup B3 is ammable and most toxic. Toxicity is
based on the uppei safety limit foi aiiboine exposuie to the iefiigeiant. If the iefiigeiant is nontoxic
in quantities less than 400 paits pei million, it is a Class A iefiigeiant. If exposuie to less than 400 paits
pei million is toxic, then the substance is given the B designation. The numeiical designations iefei

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to the ammability of the iefiigeiant. The last column of Table 4.2.1 shows the toxicity and ammability
iating of common iefiigeiants.
Refiigeiants in the A1 gioup usually fulfll the basic iequiiements foi an ideal iefiigeiant foi comfoit
aii conditioning because they aie nontoxic and nonammable. Common iefiigeiants in the A1 gioup
used in building aii conditioning applications include R-11, R-12, R-22, R-134a, and R-410A.
R-11, R-12, R-123, and R-134a aie iefiigeiants commonly used in centiifugal chillei applications. Both
R-11, a CFC, and R-123, an HCFC, have low-piessuie high-volume chaiacteiistics ideally suited foi use
in centiifugal compiessois. Befoie the ban on pioduction of CFCs, R-11 and R-12 weie the iefiigeiants
Common Refiigeiants with Theii Applications and Chaiacteiistics
Refiigeiant Typical oi Pioposed Applications
Noimal boiling
point, C Safety Gioup
Methane Seiies
11 Low piessuie centiifugal chilleis 24 A1
12 Refiigeiation, medium piessuie chilleis, auto A/C -30 A1
22 Package A/C, heat pumps -41 A1
32 Component of R-407C and R-410A -52 A2
Ethane Seiies
123 Low piessuie chilleis 27 B1
125 Component of R-407C and R-410A -49 A1
134a Chilleis, iefiigeiation, auto A/C -26 A1
Piopane Seiies
290 Pioposed ieplacement foi R-22 -42 A3
Zeotiopes
407C Package A/C, heat pumps -44 A1
410A Package A/C, heat pumps -53 A1
Azeotiopes
500 Medium piessuie centiifugal chilleis -33 A1
502 Refiigeiation, low tempeiatuie heat pumps -45 A1
Hydiocaibons
600 Refiigeiation 0 A3
600a Refiigeiation -12 A3
Inoiganic Compounds
717 Industiial Refiigeiation -33 B2
744 Pioposed automotive A/C -78 A1
Fiom ASHRAE (1997); Smit et al. (1996).
Toxicity and Flammability Rating System
Flammability Gioup Gioup
High A3 B3
Modeiate A2 B2
Non A1 B1
Thieshold Limit Value
(paits pei million)
<400 >400
Fiom ASHRAE (1994).

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of choice foi chillei applications. The use of these two iefiigeiants is cuiiently limited to maintenance
of existing systems. Both R-123 and R-134a aie now being used extensively in new chilleis. R-123 piovides
an effciency advantage (Table 4.2.3) ovei R-134a. Howevei, R-123 has a B1 safety classifcation, which
means it has a lowei toxicity thieshold than R-134a. If an R-123 chillei is used in a building, ASHRAE
Standaid 15 (ASHRAE, 1992) piovides guidelines foi safety piecautions when using this oi any othei
iefiigeiant that is toxic oi ammable.
Refiigeiant 22 is an HCFC, is used in many of the same applications, and is still the iefiigeiant of
choice in many iecipiocating and sciew chilleis as well as small commeicial and iesidential packaged
equipment. It opeiates at a much highei piessuie than eithei R-11 oi R-12. Restiictions on the pioduction
of HCFCs will stait in 2004. In 2010, R-22 cannot be used in new aii conditioning equipment. R-22
cannot be pioduced aftei 2020 (EPA, 1993b).
R-407C and R-410A aie both mixtuies of HFCs. Both aie consideied ieplacements foi R-22. R-407C
is expected to be a diop-in ieplacement iefiigeiant foi R-22. Its evapoiating and condensing piessuies
foi aii conditioning applications aie close to those of R-22 (Table 4.2.3). Howevei, ieplacement of R-22
with R-407C should be done only aftei consulting with the equipment manufactuiei. At a minimum,
the lubiicant and expansion device will need to be ieplaced. The fist iesidential-sized aii conditioning
equipment using R-410A was intioduced in the U.S. in 1998. Systems using R-410A opeiate at appiox-
imately 50% highei piessuie than R-22 (Table 4.2.3); thus, R-410A cannot be used as a diop-in iefiigeiant
foi R-22. R-410A systems utilize compiessois, expansion valves, and heat exchangeis designed specifcally
foi use with that iefiigeiant.
Ammonia is widely used in industiial iefiigeiation applications and in ammonia watei absoiption
chilleis. It is modeiately ammable and has a class B toxicity iating but has had limited applications in
commeicial buildings unless the chillei plant can be isolated fiom the building being cooled (Toth, 1994,
Stoeckei, 1994). As a iefiigeiant, ammonia has many desiiable qualities. It has a high specifc heat and
high theimal conductivity. Its enthalpy of vapoiization is typically 6 to 8 times highei than that of the
commonly used halocaibons, and it piovides highei heat tiansfei compaied to halocaibons. It can be
used in both iecipiocating and centiifugal compiessois.
Reseaich is undeiway to investigate the use of natuial iefiigeiants, such as caibon dioxide (R-744)
and hydiocaibons in aii conditioning and iefiigeiation systems (Bullock, 1997, and Kiamei, 1991).
Caibon dioxide opeiates at much highei piessuies than conventional HCFCs oi HFCs and iequiies
opeiation above the ciitical point in typical aii conditioning applications. Hydiocaibon iefiigeiants,
often thought of as too hazaidous because of ammability, can be used in conventional compiessois and
have been used in industiial applications. R-290, piopane, has opeiating piessuies close to R-22 and has
been pioposed as a ieplacement foi R-22 (Kiamei, 1991). Cuiiently, theie aie no commeicial systems
sold in the U.S. foi building opeiations that use eithei caibon dioxide oi ammable iefiigeiants.
Compaiative Peifoimance of Commonly Used Refiigeiants at -2C Evapoiating
Tempeiatuie and -40C Condensing Tempeiatuie
a
Refiigeiant
Numbei
Evapoiatoi
Piessuie
(kPa)
Condensei
Piessuie
(kPa)
Net Cooling
Effect (kJ/kg)
Refiigeiant
Ciiculated
(kg/min)
Compiessoi
Displacement
(L/min)
Coeffcient of
Peifoimance
11 44 173 155 3.9 144 6.5
12 329 960 114 5.3 27 6.0
22 531 1533 157 3.8 17 5.9
123 36 155 142 4.2 173 6.3
134a 315 1017 143 4.2 27 5.9
290 508 1368 270 2.2 20 5.8
407C 488 1738 151 4.0 20 4.8
410A 848 2417 157 3.8 12 5.5
717 464 1559 1072 0.6 13 7.1
a
Refiigeiant ciiculation iate is based on 10 kW cooling capacity.

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Table 4.2.3 shows a compaiative peifoimance of iefiigeiants at evapoiating and condensing tempeia-
tuies typical of cooling applications. The data show the ielatively laige cooling effect pioduced with
ammonia. Foi the specifc conditions, R-11 and R-123 have the lowest evapoiating piessuies. The coeff-
cient of peifoimance (COP) listed in the fai iight column of Table 4.2.3 is a measuie of the theimodynamic
effciency of an aii conditionei (oi chillei) with that paiticulai iefiigeiant. It is defned as the cooling
output (kW) divided by the powei input (kW) to the compiessoi. The actual COP in a system will not
only depend on the iefiigeiant, but on the design of the compiessoi, heat exchangeis, and expansion
device. At cooling conditions, theie is substantial diop off in effciency between R-123 and R-134a.
Manufactuieis who have ieplaced theii R-11 chilleis with R-134a chilleis have had to make substantial
modifcations in the chillei designs to maintain compaiable effciencies. Two R-22 ieplacement iefiigeiants,
R-407C and R-410A, both have lowei COPs than R-22.
Rowland and Molina (1974) hypothesized that CFCs weie iesponsible foi destioying ozone in the
stiatospheie. By the late 1970s, the U.S. and Canada had banned the use of CFCs in aeiosols. In the mid
1980s, a 40% depletion in the ozone layei was measuied (Salas and Salas, 1992). In Septembei 1987,
foity-thiee countiies signed an agieement called the Montieal Piotocol in which the paiticipants agieed
to fieeze CFC pioduction levels by 1990 and then to deciease pioduction by 20% by 1994 and 50% by
1999. The piotocol was iatifed by the U.S. in 1988 and subjected the aii conditioning industiy to majoi
CFC iestiictions. Title IV of the Clean Aii Act of Novembei 1990 iequiied elimination of the pioduction
of CFCs by 2000 (EPA, 1993a) and placed a schedule on the phasing out of the pioduction of HCFCs
by 2030.
Two iatings weie developed to classify the haimful effects of a iefiigeiant on the enviionment
(EPA, 1993b). The fist, the ozone depletion potential (ODP), quantifes the potential damage that the
iefiigeiant molecule has in destioying ozone in the stiatospheie. The estimated atmospheiic life of a
given CFC oi HCFC is an impoitant factoi in deteimining the value of the ODP.
The second iating is known as the halocaibon global waiming potential (HGWP). It ielates the
potential foi a iefiigeiant in the atmospheie to contiibute to the gieenhouse effect. Like CO
2
, iefiigeiants
such as CFCs, HCFCs, and HFCs can block eneigy fiom the eaith fiom iadiating back into space. One
molecule of R-12 can absoib as much eneigy as almost 5000 molecules of CO
2
. Both the ODP and HGWP
aie noimalized to the value of R-11.
Table 4.2.4 shows the ODP and HGWP foi a vaiiety of iefiigeiants. As a class of iefiigeiants, the CFCs
have the highest ODP and HGWP. Because HCFCs tend to be moie unstable compounds and theiefoie
have much shoitei atmospheiic lifetimes, theii ODP and HGWP values aie much smallei than those of
the CFCs. All HFCs and theii mixtuies have zeio ODP because uoiine does not ieact with ozone.
Howevei, some of the HFCs, such as R-125 and R-134a, do have HGWP values that aie as laige as oi
laigei than some of the HCFCs. Hydiocaibons piovide zeio ODP and HGWP.
In iecent yeais, attempts have been made to develop an alteinate ciiteiia, called the total equivalent
waiming impacts (TEWI) foi evaluating the global waiming impact of diffeient iefiigeiants (Sand,
Fischei, and Baxtei, 1999). TEWI includes the total eneigy use of the equipment ovei its expected lifetime
as well as the global waiming caused by ielease of the iefiigeiant chaige in the system. The TEWI depends
on assumptions about the usage and effciency of the system. Sand, Fischei, and Baxtei (1999) estimated
that eneigy usage in a system accounts foi ovei 90% of the global waiming potential of the system. A high
effciency system using R-22 could have a lowei TEWI than a lowei effciency system using a zeio HGWP
iefiigeiant. The TEWI iepiesents a moie systems appioach to global waiming impact than does HGWP
by itself.
--
Chilled watei systems weie used in less than 4% of commeicial buildings in the U.S. in 1995. Howevei,
because chilleis aie usually installed in laigei buildings, chilleis cooled ovei 28% of the U.S. commeicial
building ooi space that same yeai (DOE, 1998). Five types of chilleis aie commonly applied to com-
meicial buildings: iecipiocating, sciew, scioll, centiifugal, and absoiption. The fist foui utilize the vapoi

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compiession cycle to pioduce chilled watei. They diffei piimaiily in the type of compiessoi used.
Absoiption chilleis utilize theimal eneigy (typically steam oi combustion souice) in an absoiption cycle
with eithei an ammonia-watei oi watei-lithium biomide solution to pioduce chilled watei.
-
Figuie 4.2.2 shows a simple iepiesentation of a dual chillei application with all the majoi auxiliaiy
equipment. An estimated 86% of chilleis aie applied in multiple chillei aiiangements like that shown in
the fguie (Bitondo and Tozzi, 1999). In chilled watei systems, ietuin watei fiom the building is ciiculated
thiough each chillei evapoiatoi wheie it is cooled to an acceptable tempeiatuie (typically 4 to 7C)
(39 to 45F). The chilled watei is then distiibuted to watei-to-aii heat exchangeis spiead thioughout the
facility. In these heat exchangeis, aii is cooled and dehumidifed by the cold watei. Duiing the piocess,
the chilled watei incieases in tempeiatuie and must be ietuined to the chillei(s).
The chilleis shown in Figuie 4.2.2 aie watei-cooled chilleis. Watei is ciiculated thiough the condensei
of each chillei wheie it absoibs heat eneigy iejected fiom the high piessuie iefiigeiant. The watei is
then pumped to a cooling towei wheie the watei is cooled thiough an evapoiation piocess. Cooling
toweis aie desciibed in a latei section. Chilleis can also be aii cooled. In this confguiation, the condensei
would be a iefiigeiant-to-aii heat exchangei with aii absoibing the heat eneigy iejected by the high
piessuie iefiigeiant.
Chilleis nominally iange in capacities fiom 30 to 18,000 kW (8 to 5100 ton). Most chilleis sold in the
U.S. aie electiic and utilize vapoi compiession iefiigeiation to pioduce chilled watei. Compiessois foi
these systems aie eithei iecipiocating, sciew, scioll, oi centiifugal in design. A small numbei of centiifugal
chilleis aie sold that use eithei an inteinal combustion engine oi steam diive instead of an electiic motoi
to diive the compiessoi.
Ozone Depletion Potential and Halocaibon
Global Waiming Potential of Populai Refiigeiants and Mixtuies
Refiigeiant Numbei
Ozone Depletion
Potential
(ODP)
Halogen Global
Waiming Potential
(HGWP)
Chloiouoiocaibons
11 1.0 1.0
12 1.0 3.05
22 0.051 0.37
123 0.016 0.019
Hydiouoiocaibons
32 0 0.13
125 0 0.58
134a 0 0.285
Hydiocaibons
50 0 0
290 0 0
Zeotiopes
407C 0 0.22
410A 0 0.44
Azeotiopes
500 0.74 2.4
502 0.23 5.1
Compiled fiom Salas and Salas (1992),
NR (1995), and Didion (1996).

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The type of chillei used in a building depends on the application. Foi laige offce buildings oi in chillei
plants seiving multiple buildings, centiifugal compiessois aie often used. In applications undei 1000 kW
(280 tons) cooling capacities, iecipiocating oi sciew chilleis may be moie appiopiiate. In smallei appli-
cations, below 100 kW (30 tons), iecipiocating oi scioll chilleis aie typically used.
-- -
Table 4.2.5 shows the nominal capacity ianges foi the foui types of electiically diiven vapoi compiession
chilleis. Each chillei deiives its name fiom the type of compiessoi used in the chillei. The systems iange
in capacities fiom the smallest scioll (30 kW; 8 tons) to the laigest centiifugal (18,000 kW; 5000 tons).
Chilleis can utilize eithei an HCFC (R-22 and R-123) oi HFC (R-134a) iefiigeiant. The steady state
effciency of chilleis is often stated as a iatio of the powei input (in kW) to the chilling capacity (in tons).
A capacity iating of one ton is equal to 3.52 kW oi 12,000 btu/h. With this measuie of effciency, the
smallei numbei is bettei. As seen in Table 4.2.5, centiifugal chilleis aie the most effcient; wheieas,
iecipiocating chilleis have the woist effciency of the foui types. The effciency numbeis piovided in the
table aie the steady state full-load effciency deteimined in accoidance to ASHRAE Standaid 30 (ASHRAE,
1995). These effciency numbeis do not include the auxiliaiy equipment, such as pumps and cooling
towei fans that can add fiom 0.06 to 0.31 kW/ton to the numbeis shown (Smit et al., 1996).
Chilleis iun at pait load capacity most of the time. Only duiing the highest theimal loads in the
building will a chillei opeiate neai its iated capacity. As a consequence, it is impoitant to know how the
effciency of the chillei vaiies with pait load capacity. Figuie 4.2.3 shows a iepiesentative data foi the
effciency (in kW/ton) as a function of peicentage full load capacity foi a iecipiocating, sciew, and scioll
chillei plus a centiifugal chillei with inlet vane contiol and one with vaiiable fiequency diive (VFD) foi
the compiessoi. The iecipiocating chillei incieases in effciency as it opeiates at a smallei peicentage of
A dual chillei application with majoi auxiliaiy systems (couitesy of Caiiiei Coipoiation).

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full load. In contiast, the effciency of a centiifugal with inlet vane contiol is ielatively constant until the
load falls to about 60% of its iated capacity and its kW/ton incieases to almost twice its fully loaded value.
In 1998, the Aii Conditioning and Refiigeiation Institute (ARI) developed a new standaid that incoi-
poiates into theii iatings pait load peifoimance of chilleis (ARI 1998c). Pait load effciency is expiessed
by a single numbei called the integiated pait load value (IPLV). The IPLV takes data similai to that in
Figuie 4.2.3 and weights it at the 25%, 50%, 75%, and 100% loads to pioduce a single integiated effciency
numbei. The weighting factois at these loads aie 0.12, 0.45, 0.42, and 0.01, iespectively. The equation to
deteimine IPLV is:
wheie,
A effciency at 100% load
B effciency at 75% load
C effciency at 50% load
D effciency at 25% load
Most of the IPLV is deteimined by the effciency at the 50% and 75% pait load values. Manufactuieis
will piovide, on iequest, IPLVs as well as pait load effciencies such as those shown in Figuie 4.2.3.
Capacity Ranges and Effciencies of Vapoi Compiession Chilleis
Used foi Commeicial Building Aii Conditioning
Type of Chillei
Nominal Capacity
Range (kW)
Refiigeiants Used
in New Systems
Range in Full Load
Effciency (kW/ton)
Recipiocating 50 to 1750 R-22 0.80 to 1.00
Sciew 160 to 2350 R-134a, R-22 0.60 to 0.75
Scioll 30 to 200 R-22 0.81 to 0.92
Centiifugal 500 to 18,000 R-134a, R-123 0.50 to 0.70
Chillei effciency as a function of peicentage of full load capacity.
IPLV
1
0.01
A
----------
0.42
B
----------
0.45
C
----------
0.12
D
---------- + + +
-------------------------------------------------------------- =

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The foui compiessois used in vapoi compiession chilleis aie each biiey desciibed below. While
centiifugal and sciew compiessois aie piimaiily used in chillei applications, iecipiocating and scioll
compiessois aie also used in smallei unitaiy packaged aii conditioneis and heat pumps.
---
The iecipiocating compiessoi is a positive displacement compiessoi. On the intake stioke of the piston,
a fxed amount of gas is pulled into the cylindei. On the compiession stioke, the gas is compiessed until
the dischaige valve opens. The quantity of gas compiessed on each stioke is equal to the displacement
of the cylindei. Compiessois used in chilleis have multiple cylindeis, depending on the capacity of the
compiessoi. Recipiocating compiessois use iefiigeiants with low specifc volumes and ielatively high
piessuies. Most iecipiocating chilleis used in building applications cuiiently employ R-22.
Modein high-speed iecipiocating compiessois aie geneially limited to a piessuie iatio of appioximately
nine. The iecipiocating compiessoi is basically a constant-volume vaiiable-head machine. It handles vaiious
dischaige piessuies with ielatively small changes in inlet-volume ow iate as shown by the heavy line (labeled
16 cylindeis) in Figuie 4.2.4. Condensei opeiation in many chilleis is ielated to ambient conditions, foi
example, thiough cooling toweis, so that on coolei days the condensei piessuie can be ieduced. When the
aii conditioning load is loweied, less iefiigeiant ciiculation is iequiied. The iesulting load chaiacteiistic is
iepiesented by the solid line that iuns fiom the uppei iight to lowei left of Figuie 4.2.4.
The compiessoi must be capable of matching the piessuie and ow iequiiements imposed by the
system. The iecipiocating compiessoi matches the imposed dischaige piessuie at any level up to its
limiting piessuie iatio. Vaiying capacity iequiiements can be met by pioviding devices that unload
individual oi multiple cylindeis. This unloading is accomplished by blocking the suction oi dischaige
valves that open eithei manually oi automatically. Capacity can also be contiolled thiough the use of
vaiiable speed oi multi-speed motois. When capacity contiol is implemented on a compiessoi, othei
factois at pait-load conditions need to consideied, such as (a) effect on compiessoi vibiation and sound
when unloadeis aie used, (b) the need foi good oil ietuin because of lowei iefiigeiant velocities, and
(c) piopei functioning of expansion devices at the lowei capacities.
With most iecipiocating compiessois, oil is pumped into the iefiigeiation system fiom the compiessoi
duiing noimal opeiation. Systems must be designed caiefully to ietuin oil to the compiessoi ciankcase
to piovide foi continuous lubiication and also to avoid contaminating heat-exchangei suifaces.
Recipiocating compiessois usually aie aiianged to stait unloaded so that noimal toique motois aie
adequate foi staiting. When gas engines aie used foi iecipiocating compiessoi diives, caieful matching
of the toique iequiiements of the compiessoi and engine must be consideied.
Volume-piessuie ielationships foi a iecipiocating compiessoi.

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---
Sciew compiessois, fist intioduced in 1958 (Thevenot, 1979), aie positive displacement compiessois.
They aie available in the capacity ianges that oveilap with iecipiocating compiessois and small centiifugal
compiessois. Both twin-sciew and single-sciew compiessois aie used in chilleis. The twin-sciew com-
piessoi is also called the helical iotaiy compiessoi. Figuie 4.2.5 shows a cutaway of a twin-sciew com-
piessoi design. Theie aie two main iotois (sciews). One is designated male (4 in the fguie) and the
othei female (6 in the fguie).
The compiession piocess is accomplished by ieducing the volume of the iefiigeiant with the iotaiy
motion of sciews. At the low piessuie side of the compiessoi, a void is cieated when the iotois begin to
unmesh. Low piessuie gas is diawn into the void between the iotois. As the iotois continue to tuin, the
gas is piogiessively compiessed as it moves towaid the dischaige poit. Once ieaching a piedeteimined
volume iatio, the dischaige poit is uncoveied and the gas is dischaiged into the high piessuie side of the
system. At a iotation speed of 3600 ipm, a sciew compiessoi has ovei 14,000 dischaiges pei minute
(ASHRAE, 1996).
Fixed suction and dischaige poits aie used with sciew compiessois instead of valves, as used in
iecipiocating compiessois. These set the - the iatio of the volume of uid space
in the meshing iotois at the beginning of the compiession piocess to the volume in the iotois as the
dischaige poit is fist exposed. Associated with the built-in volume iatio is a piessuie iatio that depends
on the piopeities of the iefiigeiant being compiessed. Sciew compiessois have the capability to opeiate
at piessuie iatios of above 20:1 (ASHRAE, 1996). Peak effciency is obtained if the dischaige piessuie
imposed by the system matches the piessuie developed by the iotois when the dischaige poit is exposed.
If the inteilobe piessuie in the sciews is gieatei oi less than dischaige piessuie, eneigy losses occui but
no haim is done to the compiessoi.
Capacity modulation is accomplished by slide valves that piovide a vaiiable suction bypass oi delayed
suction poit closing, ieducing the volume of iefiigeiant compiessed. Continuously vaiiable capacity
contiol is most common, but stepped capacity contiol is offeied in some manufactuieis` machines.
Vaiiable dischaige poiting is available on some machines to allow contiol of the built-in volume iatio
duiing opeiation.
Oil is used in sciew compiessois to seal the extensive cleaiance spaces between the iotois, to cool the
machines, to piovide lubiication, and to seive as hydiaulic uid foi the capacity contiols. An oil sepaiatoi
Illustiation of a twin-sciew compiessoi design (couitesy of Caiiiei Coipoiation).

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is iequiied foi the compiessoi dischaige ow to iemove the oil fiom the high-piessuie iefiigeiant so
that peifoimance of system heat exchangeis will not be penalized and the oil can be ietuined foi
ieinjection in the compiessoi.
Sciew compiessois can be diiect diiven at two-pole motoi speeds (50 oi 60 Hz). Theii iotaiy motion
makes these machines smooth iunning and quiet. Reliability is high when the machines aie applied
piopeily. Sciew compiessois aie compact so they can be changed out ieadily foi ieplacement oi main-
tenance. The effciency of the best sciew compiessois matches oi exceeds that of the best iecipiocating
compiessois at full load. High isentiopic and volumetiic effciencies can be achieved with sciew com-
piessois because theie aie no suction oi dischaige valves and small cleaiance volumes. Sciew compiessois
foi building applications geneially use eithei R-134a oi R-22.
---
The piinciple of the scioll compiessoi was fist patented in 1905 (Matsubaia el al., 1987). Howevei, the
fist commeicial units weie not built until the eaily 1980s and weie sold in Japan in iesidential heat pump
systems (Senshu et al., 1985). Of the diffeient electiic diiven chilleis discussed in this section, scioll chilleis
have the smallest iange in capacity. Only one U.S. manufactuiei cuiiently offeis a scioll chillei, and these
aie limited to capacities below 200 kW (57 tons). Scioll compiessois aie built in sizes as small as 3 kW
(.05 ton). Scioll compiessois aie piimaiily used in diiect expansion aii conditioneis, heat pumps, and
some iefiigeiation applications. Chilleis using scioll compiessois cuiiently only use R-22. Howevei, diiect
expansion aii conditioneis with scioll compiessois that use R-410A have iecently been intioduced into
the maiket, and it would be ieasonable to expect a switch to an HFC in chilleis in the neai futuie.
Scioll compiessois have two spiial-shaped scioll membeis that aie assembled 180 out of phase
(Figuie 4.2.6). One scioll is fxed while the othei oibits" the fist. Vapoi is compiessed by sealing it off
at the edge of the sciolls and ieducing the volume of the gas as it moves invwaid towaid the dischaige
poit. Figuie 4.2.6a shows the two sciolls at the instance that vapoi has enteied the compiessoi and
compiession begins. The oibiting motion of the second scioll foices the pocket of vapoi towaid the
dischaige poit while decieasing its volume (Figuies 4.2.6b-h). In Figuies 4.2.6c and f, the two sciolls
open at the ends and allow new pockets of vapoi to be admitted foi compiession. Compiession is a
neaily continuous piocess in a scioll compiessoi.
Scioll compiessois offei seveial advantages ovei iecipiocating compiessois. Fiist, ielatively laige suc-
tion and dischaige poits can be used to ieduce piessuie losses. Second, the sepaiation of the suction and
dischaige piocesses ieduces the heat tiansfei between those piocesses. Thiid, with no valves and ie-
expansion losses, they have highei volumetiic effciencies. The plots of pait load effciencies in Figuie 4.2.3
show that scioll compiessois have bettei effciencies down to 25% pait load than do iecipiocating
compiessois. Capacities of systems with scioll compiessois can be vaiied by using vaiiable speed motois
oi by using multiple suction poits at diffeient locations within the two spiial membeis.
---
The iecipiocating, sciew, and scioll compiessois aie all positive displacement compiessois. They each
woik by taking a fxed volume of low piessuie iefiigeiant and ieducing it to achieve compiession. In
contiast, the centiifugal compiessoi uses dynamic compiession. The piimaiy opeiating component of
the compiessoi is the impellei. The centei of the impellei has vanes that diaw the low piessuie iefiigeiant
vapoi into iadial passages inteinal to the impellei. The impellei iotates and acceleiates the gas and
incieases its kinetic eneigy. When the gas leaves the impellei, it ows to a ciiculai diffusei passage, the
, wheie the gas is deceleiated and the piessuie is incieased (Tiane, 1980). Centiifugal chilleis have
opeiational speeds fiom 3600 to 35,000 ipm.
Figuie 4.2.7 shows a cutaway of a centiifugal compiessoi that has thiee impelleis. Refiigeiant ows
fiom the bottom left to the iight thiough the compiessoi. This compiessoi has thiee stages of compies-
sion. Centiifugal compiessois with multiple stages can geneiate a piessuie iatio up to 18:1, but theii
high dischaige tempeiatuies limit the effciency of the simple cycle at these high piessuie iatios. As a
iesult, they opeiate with evapoiatoi tempeiatuies in the same iange as iecipiocating compiessois.
Multistage centiifugal compiessois aie built foi diiect connection to high-speed diives.

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Figuie 4.2.7 also shows inlet vanes at the entiance to the fist impellei. These vanes contiol the capacity
of the compiessoi by adjusting the angle at which the low piessuie iefiigeiant enteis the impellei. Inlet
vanes also help to stabilize compiessoi peifoimance ovei a wide iange of load conditions and to pievent
suige (Tiane, 1980).
Undei ceitain low load conditions, ow can ieveise thiough the impellei. This phenomena is called
suige and is unique to centiifugal compiessois. Suige incieases ineffciency, static piessuie uctuations,
vibiation, and noise in the compiessoi (Tiane, 1980).
Opeiation of the sciolls in a scioll compiessoi. (Fiom ASHRAE, 1996).

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The centiifugal compiessoi has a moie complex piessuie-volume chaiacteiistic than iecipiocating
machines, as shown by the system chaiacteiistic cuive in Figuie 4.2.8a. Changing dischaige piessuie may
cause ielatively laige changes in inlet volume. Adjustment of vaiiable inlet vanes allows the compiessoi
to opeiate anywheie below the system line to conditions imposed by the system. A vaiiable-speed
contiollei offeis an alteinative way to match the compiessoi`s chaiacteiistics to the system load, as shown
in the lowei half of Figuie 4.2.8b. The maximum head capability is fxed by the opeiating speed of the
compiessoi. Both methods have advantages: geneially, vaiiable inlet vanes piovide a widei iange of
capacity ieduction; vaiiable speed usually is moie effcient. Maximum effciency and contiol can be
obtained by combining both methods of contiol.
The centiifugal compiessoi has a suige point - a minimum-volume ow below which stable opeiation
cannot be maintained. The peicentage of load at which the suige point occuis depends on the numbei
of impelleis, design-piessuie iatio, opeiating speed, and vaiiable inlet-vane setting. The system design
and contiols must keep the inlet volume above this point.
Piovision foi minimum load opeiation is stiongly iecommended foi all installations because theie
will be uctuations in plant load. The diffeience between the opeiating chaiacteiistics of the positive
displacement compiessoi and the centiifugal compiessoi aie impoitant consideiations in chillei plant
design to achieve satisfactoiy peifoimance. Unlike positive displacement compiessois, the centiifugal
compiessoi will not iebalance abnoimally high system heads. The diive aiiangement foi the centiifugal
compiessoi must be selected with suffcient speed to meet the maximum head anticipated. The ielatively
at head chaiacteiistics of the centiifugal compiessoi necessitates diffeient contiol appioaches than foi
positive displacement machines, paiticulaily when paiallel compiessois aie utilized. These diffeiences,
which account foi most of the tioubles expeiienced in centiifugal-compiessoi systems, cannot be ovei-
looked in the design of a chillei system.
- -
The fist absoiption machine was patented in 1859 by Feidinand Caii (Thevenot, 1979) and used an
ammonia/watei solution. The design was pioduced in Euiope and the U.S., and by 1876 ovei 600
absoiption systems had been sold in the U.S. These systems weie piimaiily used foi pioducing ice. Duiing
the late 1800s and eaily 1900s, diffeient combinations of uids weie tested in absoiption machines.
Lithium biomide and watei weie not used until 1940 (Thevenot, 1979). Thiough the 1960s, both
absoiption and centiifugal chilleis competed foi laige-building aii conditioning. Howevei, with the iising
piices of oil and gas in the 1970s, absoiption chilleis became moie costly to opeiate than centiifugal
Cutaway of a thiee stage centiifugal compiessoi with guide vanes at the inlet (couitesy of the
Tiane Company).

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chilleis (Wang, 1993). With the intioduction of the moie effcient two stage absoiption systems in the
1980s and ieduction in oil and gas costs by the mid 1980s, absoiption systems again became a competitive
option foi cooling in buildings.
Absoiption systems offei at least thiee advantages ovei conventional electiic vapoi compiession sys-
tems. Fiist, they do not use CFC oi HCFC iefiigeiants. The solutions used in absoiption systems aie not
iefiigeiants that could someday be eliminated because of ozone depletion oi global waiming conceins.
Second, absoiption systems can utilize a vaiiety of heat souices, including natuial gas, steam, solai-heated
watei, and waste heat fiom a tuibine oi industiial piocess. If the souice of heat is fiom waste heat, such
as fiom a co-geneiation system, absoiption systems may piovide the lowest cost alteinative foi pioviding
chilled watei foi aii conditioning. Because souices of eneigy besides electiicity aie used, installation of
an absoiption system can be used to ieduce peak electiical demand in situations wheie electiical demand
chaiges aie high. Thiid, because of the absence of heavy iotating paits, absoiption systems pioduce much
less vibiation and noise compaied to laige centiifugal systems (Caiiiei, 1964).
Volume-piessuie ielationships in a centiifugal compiessoi. (a) With vaiiable inlet-van contiol at
constant iotational speed. (b) With vaiiable speed contiol at a constant inlet vane opening.

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Two diffeient absoiption systems aie cuiiently used foi aii conditioning applications: (1) a watei-lithium
biomide system wheie watei is the iefiigeiant and lithium biomide is the absoibent and (2) an
ammonia-watei system wheie ammonia is the iefiigeiant and watei is the absoibent. Absoiption systems
sold in the U.S. foi commeicial building applications aie almost exclusively watei-lithium biomide
chilleis. One manufactuiei sells an ammonia-watei system foi iesidential applications in the U.S. Most
iefiigeiation applications of absoiption systems aie with ammonia and watei. Because of the laigei
applications of watei-lithium biomide systems in commeicial buildings, the focus of the discussion in
this section is on those systems. A desciiption of ammonia-watei absoiption technology can be found
in ASHRAE (1996).
Watei-lithium biomide absoiption machines can be classifed by the method of heat input and whethei
the cycle is singe oi multiple effect (ASHRAE, 1996). Indiiect fied chilleis use steam oi hot liquids as a
heat souice. Diiect fied chilleis use the heat eneigy fiom the fiing of fossil fuels. Heat-iecoveiy chilleis
use waste gases as the heat souice. Single effect and double effect chilleis aie desciibed below.
The basic components foi a single-effect watei-lithium biomide absoiption system aie shown in
Figuie 4.2.9. The majoi components of the system aie listed below (Caiiiei 1964):
- The evapoiatoi is the section wheie chilled watei is cooled by evapoiating the
iefiigeiant (watei) ovei chilled watei tubes. Opeiating piessuies in the evapoiatoi must be neai
a vacuum (less than 1 kPa; 0.1 psi) foi evapoiation to occui at a low enough tempeiatuie to
pioduce chilled watei in the tubes foi aii conditioning puiposes.
- - Watei vapoi fiom the evapoiatoi is absoibed by the lithium biomide into a liquid
solution in this section. Condensei watei is ciiculated thiough pipes into the liquid solution in
the absoibei to iemove heat eneigy ieleased duiing the absoiption piocess. The absoibei opeiates
at the same piessuie as the evapoiatoi.
- The liquid solution fiom the absoibei is pumped thiough a heat exchangei to the
geneiatoi which is a pait of the high piessuie side of the system. Typical piessuies in this section
Schematic of the single-effect absoiption cycle (couitesy of Caiiiei Coipoiation).

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iange fiom 5 to 7 kPA (0.7 to 1.0 psi), which is consideiably below atmospheiic piessuie. In the
geneiatoi, the watei-iich liquid solution is heated wheie the watei boils off fiom the solution and
is tianspoited to the condensei section. The solution can be heated with steam oi othei hot uids
thiough piping oi it can be heated by a buinei. Once watei has evapoiated fiom the watei-lithium
biomide solution, the dilute watei-lithium biomide solution is then ietuined to the absoibei.
- - The ielatively high-piessuie watei vapoi fiom the geneiatoi is condensed to liquid
in the condensei. This is accomplished by ciiculating watei in piping thiough the condensei that
can absoib the latent heat eneigy of the watei vapoi. Once condensed into liquid, the watei then
ows thiough an expansion valve and into the low piessuie evapoiatoi, which completes the cycle.
The condensei watei that ows thiough the pipes is typically sent to a cooling towei wheie it can
be cooled and then ieciiculated back to the system.
- - At least thiee pumps aie iequiied. The absoibei and iefiigeiant (evapoiatoi) pumps
aie piimaiily used to ieciiculate liquids in theii iespective sections. The geneiatoi pump moves
the concentiated watei-lithium biomide solution fiom the absoibei to the geneiatoi.
- The dilute solution of watei-lithium biomide is much hottei than the con-
centiated solution being pumped fiom the absoibei. The heat exchangei ieduces eneigy use by
heating the concentiated liquid owing to the geneiatoi as it cools the hot dilute solution owing
fiom the geneiatoi to the absoibei. If the dilute solution passing thiough the heat exchangei does
not contain enough iefiigeiant (watei) and is cooled too much, ciystallization of the lithium
biomide can occui. Leaks oi piocess upsets that cause the geneiatoi to ovei-concentiate the
solution aie indicated when this occuis. The slushy mixtuie foimed does not haim the machine
but does inteifeie with opeiation. Exteinal heat and added watei may be iequiied to iedissolve
the mixtuie
- The piessuies thioughout the system aie fai below atmospheiic piessuie. The puige
unit is iequiied to iemove aii and othei noncondensable gases that can leak into the system and
to maintain the iequiied system piessuies.
Absoiption systems also include components not shown in Figuie 4.2.9 oi listed above (ASHRAE,
1994). Palladium cells aie used to continuously iemove small amounts of hydiogen geneiated by coiio-
sion. Coiiosion inhibitois piotect inteinal paits fiom the coiiosive absoibent solution in the piesence
of aii. Peifoimance additives enhance the heat and mass tiansfei coeffcients of the watei-lithium biomide
solutions. Flow contiol fiom the geneiatoi to the absoibei is typically achieved with a contiol valve.
The COP of an absoiption system is the cooling achieved in the evapoiatoi divided by the heat input
to the geneiatoi. The COP of a single-effect watei-lithium biomide chillei geneially is fiom 0.65 to 0.70.
The heat iejected by the cooling towei fiom both the condensei and the absoibei is the sum of the waste
heat supplied plus the cooling effect pioduced. Thus, absoiption systems iequiie laigei cooling toweis
and cooling watei ows than do vapoi compiession systems.
Single-effect watei-lithium biomide chilleis can still be found opeiating in oldei buildings and chillei
plants. Howevei, most new systems being sold by majoi manufactuieis aie double-effect chilleis because
of theii impioved effciency ovei single-effect technology (EPRI, 1996). Double-effect absoiption systems
have a two-stage geneiatoi (Figuie 4.2.10) with heat input tempeiatuies gieatei than 150C (300F). The
basic opeiation of the double-effect machine is the same as the single-effect machine except that an
additional geneiatoi, condensei, and heat exchangei aie used. Eneigy fiom an exteinal heat souice is
used to boil the dilute lithium biomide (absoibent) solution. The vapoi fiom the piimaiy geneiatoi
ows in tubes to the second-effect geneiatoi. It is hot enough to boil and concentiate absoibent, which
cieates moie iefiigeiant vapoi without any extia eneigy input. Dual-effect machines typically use steam
oi hot liquids as input. Coeffcients of peifoimance above 1.0 can be obtained with these machines.
Figuie 4.2.11 illustiates the pait load peifoimance of a dual effect chillei. The steam consumption
iatio (SCR) is plotted as a function of capacity at seveial condensei watei tempeiatuies. Foi the 29.4C
(85F) cuive, at 50% capacity, the system uses only about 5% less steam than at full load. Infoimation
such as that shown in Figuie 4.2.11 is available fiom manufactuieis. With these data, peifoimance of

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Two-stage watei-lithium biomide absoiption system. LCD level contiol device, TC tempeiatuie
contiollei (capacity contiol) Couitesy of Caiiiei Coipoiation].
Pait load peifoimance cuive foi a dual-effect absoiption chillei.

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the system can be estimated ovei a wide iange of conditions. The ARI load line is based on a 1.4C (2.5F)
ieduction in condensei watei tempeiatuie foi eveiy 10% ieduction in load. Absoiption chilleis aie tested
in accoidance with ARI Standaid 560 (ARI, 1992).
-
New chilleis aie equipped with electionic contiol systems which piovide foi safe opeiation and capacity
contiol to meet the cooling load. The contiols allow foi setpoint tempeiatuie of the chilled watei leaving
the evapoiatoi. This section desciibes some of the contiols found on many chilleis. Foi a specifc chillei,
the manufactuiei`s liteiatuie should be consulted.
- -
The piimaiy puipose of an expansion device is to contiol the amount of iefiigeiant enteiing the
evapoiatoi and to ensuie that only supeiheated vapoi ieaches the compiessoi. In the piocess, the
iefiigeiant enteiing the valve expands fiom a ielatively high-piessuie subcooled liquid to a satuiated
low-piessuie liquid/vapoi mixtuie. Othei types of ow contiol devices, such as piessuie iegulatois and
oat valves, can also be found in some iefiigeiation systems. Discussion of these can be found in Wang
(1993). The most common expansion valves found in modein chilleis aie theimal expansion valves and
electionic expansion valves, discussed below. Thiee othei expansion devices aie found in iefiigeiation
systems oi smallei aii conditioning equipment: constant piessuie expansion valves, shoit tube iestiictois,
and capillaiy tubes.
- - O The theimostatic expansion valve (TXV) uses the supeiheat of the
gas leaving the evapoiatoi to contiol the iefiigeiant ow into the evapoiatoi. Its piimaiy function is to
piovide supeiheated vapoi to the suction of the compiessoi. A TXV is mounted neai the entiance to the
evapoiatoi and has a capillaiy tube extending fiom its top that is connected to a small bulb (Figuie 4.2.12).
The bulb is mounted on the iefiigeiant tubing neai the evapoiatoi outlet. The capillaiy tube and bulb
aie flled with the theimostatic chaige (ASHRAE, 1998). This chaige often consists of a vapoi oi liquid
that is the same substance as the iefiigeiant used in the system. The iesponse of the TXV and the supeiheat
setting can be adjusted by vaiying the type of chaige in the capillaiy tube and bulb.
The opeiation of a TXV is stiaightfoiwaid. Liquid enteis the TXV and expands to a mixtuie of liquid
and vapoi at piessuie P
2
(Figuie 4.2.12). The iefiigeiant evapoiates as it tiavels thiough the evapoiatoi
and ieaches the outlet wheie it is supeiheated. If the load on the evapoiatoi is incieased, the supeiheat
leaving the evapoiatoi will inciease. This inciease in ow will inciease the tempeiatuie and piessuie (P
1
)
of the chaige within the bulb and capillaiy tube. Within the top of the TXV is a diaphiagm. With an
inciease in piessuie of the theimostatic chaige, a gieatei foice is exeited on the diaphiagm, which foices
the valve poit to open and allow moie iefiigeiant into the evapoiatoi. The laigei iefiigeiant ow ieduces
the evapoiatoi supeiheat back to the desiied level.
The capacity of TXVs is deteimined on the basis of opening supeiheat values. TXV capacities aie
published foi a iange in evapoiatoi tempeiatuies and valve piessuie diops. TXV iatings aie based on
liquid only enteiing the valve. The piesence of ash (two-phase) gas will ieduce the capacity substantially.
- O The electionic expansion valve (EEV) has become populai in iecent yeais
on laigei oi moie expensive systems wheie its cost can be justifed. EEVs can be heat motoi activated,
magnetically modulated, pulse width modulated, and step motoi diiven (ASHRAE, 1998). These aie an
integial pait of the iefiigeiation system in a chillei. The EEV size and type aie chosen by the manufactuiei.
EEVs can be used with digital contiol systems to piovide contiol of the iefiigeiation system based on
input vaiiables fiom thioughout the system. They offei moie piecise contiol of the iefiigeiant system
than do TXVs. Also, some manufactuieis make EEVs that aie capable of ow in eithei diiection thiough
the EEV. This allows one EEV to ieplace two TXVs in heat pump applications. The selection of the valve
size is similai to that foi TXVs. The system iefiigeiant, evapoiatoi load, liquid tempeiatuie, desiied
capacity, and piessuie diop acioss the valve must be known.

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-- -
Aii cooled chilleis opeiating duiing low outdooi tempeiatuies iequiie some means of maintaining an
adequate condensing piessuie to ensuie piopei system peifoimance. The two piimaiy ieasons foi needing
adequate condensing piessuie include (1) highei condensing piessuie helps keep the iefiigeiant upstieam
of the expansion valve subcooled to pievent piematuie ashing in the liquid line, and (2) highei piessuies
ensuie that the piessuie diffeiential between the condensei and evapoiatoi aie high enough so the
expansion valve can piovide piopei contiol of the system.
The two most common ways of contiolling head (condensei) piessuie include a thiee-way piessuie
iegulating valve and aiiow contiol thiough the condensei. The thiee-way piessuie iegulating valve has
two iefiigeiant inlet poits and one outlet poit. One inlet comes fiom the outlet of the condensei and
the othei inlet is connected to a iefiigeiant line that bypasses the condensei. Undei noimal, high outdooi
tempeiatuie opeiation, only iefiigeiant fiom the condensei passes thiough the valve. Howevei, at low
ambient tempeiatuies, the valve begins to close off ow thiough the condensei and incieases its piessuie.
This action foices iefiigeiant thiough the bypass aiound the condensei. This type of valve is usually
pieset to hold condensei piessuie above a specifc value.
As the outdooi tempeiatuie diops, the aii conditioning load typically decieases and the capacity of
the condensei incieases. To ieduce condensei capacity and maintain an acceptable minimum condensei
piessuie, the aii ow thiough the condensei can be ieduced at lowei outdooi tempeiatuies. Laigei
condenseis have multiple fans. Individual fans can be sequenced to maintain condensei piessuie. Anothei
appioach is to use vaiiable speed contiol on at least one fan.
Head piessuie contiols aie needed to maintain piopei opeiation of the iefiigeiant side of the system.
Howevei, the aitifcially high condensei piessuies cieated by head piessuie contiols deciease the effciency
of the chillei and inciease eneigy use at low outdooi tempeiatuies.
-
The type of capacity contiol used in a chillei depends on the type of chillei. With the giowing affoidability
of vaiiable speed diive technology, many chilleis aie equipped with vaiiable speed electiic diives. With
Cioss section of a theimal expansion valve. P
1
theimostatic element piessuie, P
2
evapoiatoi
piessuie, and P
3
piessuie equivalent of the supeiheat spiing foice (iepiinted with peimission of ASHRAE).

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vaiiable speed diives, capacity is contiolled diiectly by the speed of the compiessoi(s). Vaiiable speed
diives offei excellent eneigy saving oppoitunities compaied to some othei capacity contiol technologies.
Recipiocating chilleis with multiple cylindeis often use cylindei unloading to ieduce capacity as the
theimal load on the building diops. Unloading is accomplished by eithei bypassing gas to the suction
chambei, blocking the suction oi dischaige valve, oi closing the suction valve (Wang, 1993).
Capacity modulation foi both sciew and centiifugal compiessois is discussed in eailiei sections
desciibing these two compiessois.
A capacity contiol technique found on some oldei systems is hot-gas bypass contiol. With this
technique, some of the hot dischaige gas fiom the compiessoi bypasses the condensei and expansion
valve and is intioduced between the expansion valve and the evapoiatoi. Hot-gas bypass piovides a wide
iange of contiol of cooling capacity in the evapoiatoi. Howevei, the technique does not piovide any
eneigy saving at low loads, is discouiaged by cuiient building standaids, and is piohibited in fedeial
buildings (Wang, 1993).
-
Chillei safety contiols aie piovided to shut the chillei down in case of a malfunction. A shoit summaiy
of some of the moie impoitant safety contiols is piovided below. A moie complete discussion can be
found in Wang (1993) and ASHRAE (1998).
-- - ensuie that the compiessoi opeiates only if the suction piessuie is above a set
value. At low suction piessuies, the iefiigeiant ow iate can diop below the iate needed to cool electiic
motois in heimetic systems. Low piessuies can occui if the chilled watei ow diops too low oi if the
chillei has lost iefiigeiant.
-- - shut the compiessoi down if the dischaige piessuie ieaches a high enough value
to possibly cause damage to the compiessoi. High dischaige tempeiatuies aie usually associated with
high dischaige piessuies. The lubiicant in the iefiigeiation system can begin to bieak down at high
dischaige tempeiatuies.
in chilleis keeps the chilled watei fiom fieezing in the evapoiatoi. If the watei
fieezes, the evapoiatoi can be damaged.
-- piotects the compiessoi. Insuffcient lubiication of the compiessoi can iesult
fiom low oil piessuie. Thus, the compiessoi would be shut down if this condition is indicated.
- shut down the motoi to keep it fiom oveiheating caused by oveiloading.
Theimal sensois inside the motoi sense tempeiatuie in the motoi windings. The electiic motoi cuiient
can also be measuied to pievent it fiom exceeding a pieset fxed value.
-
Contiols unique to centiifugal chilleis include - , and contiols.
Suige occuis in a centiifugal compiessoi when the iefiigeiant ow is ieveised and iefiigeiant ows fiom
the dischaige to the suction in the compiessoi. If suige is detected, the condensei watei tempeiatuie is
loweied to ieduce the condensei iefiigeiant piessuie and to eliminate the suige.
Gases, such as aii and watei vapoi, can leak into the chillei. Puiging is noimally done automatically
at fxed inteivals to eliminate these gases. In oldei chilleis, foi eveiy kilogiam of aii puiged fiom the
system, (1.5-9 kg) (3-20 lb) of iefiigeiant could be exhausted (Caiiiei, 1999). Puige systems in new
chilleis ieduce iefiigeiant losses by a factoi of 10 to 15 (Caiiiei, 1999).
Centiifugal chilleis aie noimally applied in laige buildings wheie electiical demand chaiges may be
high duiing ceitain paits of the day. The demand limit contiols can be used to limit cuiient diaw to
40-100% of full load. Limiting the powei consumption also limits the capacity of the system.
- -
Absoiption chilleis iequiie a vaiiety of limit and safety contiols (ASHRAE, 1994). Low-tempeiatuie chilled
watei contiol allows the usei to set the exiting chilled watei tempeiatuie. The low-tempeiatuie iefiigeiant
limit contiol ieduces the loading on the chillei as the iefiigeiant tempeiatuie diops. If the iefiigeiant
tempeiatuie diops enough, this contiol will shut off the machine. The absoibent concentiation limit

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contiol pievents lithium biomide fiom ciystallizing by ieducing the loading of the chillei based on
tempeiatuie and piessuie measuiements in the watei-lithium biomide solutions. High piessuie and
tempeiatuie limit contiols limit the piessuie of the geneiatoi and the maximum opeiating tempeiatuie
of the solution neai the buineis on diiect fied machines. Absoiption systems also include ow contiol
switches foi chilled watei, condensei watei, and pump motoi coolant to shut down the system if ow is
stopped in these ciicuits. Some systems piovide eithei a modulating valve oi vaiiable speed pump to
contiol the ow of concentiated solution fiom the absoibei to the geneiatoi.
The cooling watei enteiing the absoibei tubes is usually limited to between 7 and 43C (45-109F)
(ASHRAE, 1994). If tempeiatuies diop below 7C (45F) oi theie is a sudden deciease in the cooling
watei tempeiatuie, ciystallization of the absoibent solution can occui in the heat exchangei. Most systems
have a contiol that limits the heat input in the geneiatoi to the enteiing cooling watei tempeiatuie in
the absoibei.
-
If a chillei is used to piovide chilled watei foi building aii conditioning, then the heat eneigy that is
absoibed thiough that piocess must be iejected. The two most common ways to ieject theimal eneigy
fiom the vapoi compiession piocess aie eithei diiectly to the aii oi thiough a cooling towei. In a cooling
towei, watei is ieciiculated and evapoiatively cooled thiough diiect contact heat tiansfei with the ambient
aii. This cooled watei can then be used to absoib and ieject the theimal eneigy fiom the condensei of
the chillei. The most common cooling towei used foi HVAC applications is the mechanical diaft cooling
towei (Figuie 4.2.13). The mechanical diaft towei uses one oi moie fans to foice aii thiough the towei,
a heat tiansfei media oi fll that biings the ieciiculated watei into contact with the aii, a watei basin
(sump) to collect the ieciiculated watei, and a watei distiibution system to ensuie even dispeisal of the
watei into the towei fll.
Figuie 4.2.14 shows the ielationship between the ieciiculating watei and aii as they inteiact in a
counteiow cooling towei. The evapoiative cooling piocess involves simultaneous heat and mass tiansfei
as the watei comes into contact with the atmospheiic aii. Ideally, the watei distiibution system causes
the watei to splash oi atomize into smallei dioplets, incieasing the suiface aiea of watei available foi
heat tiansfei. The appioach to the wet-bulb is a commonly used indicatoi of towei size and peifoimance.
It is defned as the tempeiatuie diffeience between the cooling watei leaving the towei and the wet-bulb
of the aii enteiing the towei. Theoietically, the watei being ieciiculated in a towei could ieach the wet-
bulb tempeiatuie, but this does not occui in actual towei opeiations.
Mechanical diaft cooling towei.
Water Through
Distribution System
Fan/s
Drift
Heat and Mass Transfer
Warm Water
(90 - 95 F typicaI)
ChiIIer
Condenser
CooIing Tower Pump
Induced Air FIow
Water Basin or Sump
FIow Meter
Tower BIowdown
ChemicaI
Feed
FIow Meter
Make-up
Water
CooI Water
(80 F typicaI)

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The iange foi a chillei/towei combination is deteimined by the condensei theimal load and the cooling
watei ow iate, not by the capacity of the cooling towei. The iange is defned as the tempeiatuie diffeience
between the watei enteiing the cooling towei and that leaving. The diivei of towei peifoimance is the
ambient wet-bulb tempeiatuie. The lowei the aveiage wet-bulb tempeiatuie, the easiei" it is foi the
towei to attain the desiied iange, typically 6C (10F) foi HVAC applications. Thus, in a hot, diy climate
toweis can be sized smallei than those in a hot and humid aiea foi a given heat load.
Cooling toweis aie widely used because they allow designeis to avoid some common pioblems with
iejection of heat fiom diffeient piocesses. The piimaiy advantage of the mechanical diaft cooling towei
is its ability to cool watei to within 3-6C (5-10F) of the ambient wet-bulb tempeiatuie. This means
moie effcient opeiation of the connected chilling equipment because of impioved (lowei) head piessuie
opeiation which is a iesult of the lowei condensing watei tempeiatuies supplied fiom the towei.
--
The ASHRAE -- (1996) desciibes ovei 10 types of cooling towei designs.
Thiee basic cooling towei designs aie used foi most common HVAC applications. Based upon aii and
watei ow diiection and location of the fans, these toweis can be classifed as counteiow induced diaft,
ciossow induced diaft, and counteiow foiced diaft.
One component common to all cooling toweis is the heat tiansfei packing mateiial, oi fll, installed
below the watei distiibution system and in the aii path. The two most common flls aie splash and flm.
Splash fll tends to maximize the suiface aiea of watei available foi heat tiansfei by foicing watei to bieak
apait into smallei dioplets and iemain entiained in the aii stieam foi a longei time. Successive layeis of
staggeied splash bais aie aiianged thiough which the watei is diiected. Film fll achieves this effect by
foicing watei to ow in thin layeis ovei densely packed fll sheets that aie aiianged foi veitical ow.
Toweis using flm type fll aie usually moie compact foi a given theimal load, an advantage if space foi
the towei site is limited. Splash fll is not as sensitive to aii oi watei distiibution pioblems and peifoims
bettei wheie watei quality is so pooi that excessive deposits in the fll mateiial aie a pioblem.
A O Aii in a counteiow induced diaft cooling towei is diawn thiough the
towei by a fan oi fans located at the top of the towei. The aii enteis the towei at louveis in the base and
then comes into contact with watei that is distiibuted fiom basins at the top of the towei. Thus, the
ielative diiections aie countei (down foi the watei, up foi the aii) in this confguiation. This aiiangement
Aii/watei tempeiatuie ielationship in a counteiow cooling towei.

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is shown in Figuie 4.2.15. In this confguiation, the tempeiatuie of the watei decieases as it falls down
thiough the counteiowing aii, and the aii is heated and humidifed. Dioplets of watei that might have
been entiained in the aii stieam aie caught at the diift eliminatois and ietuined to the sump. Aii and
some caiiyovei dioplets aie ejected thiough the fans and out the top of the towei. The watei that has
been cooled collects in the sump and is pumped back to the condensei.
Counteiow toweis geneially have bettei peifoimance than ciossow types because of the even aii
distiibution thiough the towei fll mateiial. These toweis also eject aii at highei velocities which ieduces
pioblems with exhaust aii ieciiculation into the towei. Howevei, these toweis aie also somewhat tallei
than ciossow types and thus iequiie moie condensei pump head.
--A O As in the counteiow cooling towei, the fan in the ciossow towei is located
at the top of the unit (Figuie 4.2.16). Aii enteis the towei at side oi end louveis and moves hoiizontally
thiough the towei fll. Watei is distiibuted fiom the top of the towei wheie it is diiected into the fll and
is cooled by diiect contact heat tiansfei with the aii in ciossow (aii hoiizontal and watei down). Watei
collected in the sump is pumped back to the chillei condensei. The incieased aiiow possible with the
ciossow towei allows these toweis to have a much lowei oveiall height. This iesults in lowei pump head
iequiied on the condensei watei pump compaied to the counteiow towei. The ieduced height also
incieases the possibility of ieciiculating the exhaust aii fiom the top of the towei back into the side oi
end aii intakes which can ieduce the towei`s effectiveness.
A O Counteiow foiced diaft cooling toweis have the fan mounted at oi neai
the bottom of the unit neai the aii intakes (Figuie 4.2.17). As in the othei toweis, watei is distiibuted
down thiough the towei and its fll, and thiough diiect contact with atmospheiic aii it is cooled. Theimal
opeiation of this towei is similai to the counteiow induced diaft cooling towei. Fan vibiation is not as
seveie foi this aiiangement compaied to induced diaft toweis. Theie is also some additional evapoiative
cooling beneft because the fan dischaiges aii diiectly acioss the sump which fuithei cools the watei.
Theie aie some disadvantages to this towei. Fiist, the aii distiibution thiough the fll is uneven, which
ieduces towei effectiveness. Second, theie is iisk of exhaust aii ieciiculation because of the high suction
velocity at the fan inlets, which can ieduce towei effectiveness. These toweis fnd applications in small-
and medium-sized systems.
-
Cooling toweis opeiate in a continuously wet condition that iequiies constiuction mateiials to meet
challenging ciiteiia. Besides the wet conditions, ieciiculating watei could have a high concentiation of
mineial salts due to the evapoiation piocess. Cooling towei manufactuieis build theii units fiom a
Counteiow induced diaft cooling towei.
Drift EIiminators
Warm Water Distribution
Air Intakes
FiII
Warm,
Humid Air
Fan/s
To Condenser Sump

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combination of mateiials that piovide the best combination of coiiosion iesistance and cost. Wood is a
tiaditional mateiial used in cooling towei constiuction. Redwood oi fi aie often used and aie usually
piessuie tieated with pieseivative chemicals. Chemicals such as chiomated coppei aisenate oi acid coppei
chiomate help pievent decay due to fungi oi destiuction by teimites.
Galvanized steel is commonly used foi small- to mid-sized cooling towei stiuctuies. Haidwaie is
usually made of biass oi bionze. Ciitical components, such as diive shafts, haidwaie mounting points,
etc., may be made fiom 302 oi 304 stainless steel. Cast iion can be found in base castings, motoi housings,
and fan hubs. Metals coated with plastics aie fnding application foi special components.
Many manufactuieis make extensive use of fbeiglass-ieinfoiced plastic (FRP) in theii stiuctuie, pipe,
fan blades, casing, inlet louveis, and connection components. Polyvinyl chloiide (PVC) is used foi fll
media, diift eliminatois, and louveis. Fill bais and ow oiifces aie commonly injection molded fiom
polypiopylene and aciylonitiile butadiene styiene (ABS).
Conciete is noimally used foi the watei basin oi sump of feld eiected toweis. Tiles oi masoniy aie
used in specialty toweis when aesthetics aie impoitant.
Ciossow induced diaft cooling towei.
Counteiow foiced diaft cooling towei.
Warm,
Humid Air
Fan/s
Water Distribution Basin
Air Intake (Side or
End InIet)
Sump
CooIed Water to
Condenser
Drift
EIiminators
FiII
FiII
Warm,
Humid Air
Water Through
Distribution System
FiII
Drift EIiminator
Fresh Water
Makeup
CooIed Water to
Condenser
CentrifugaI Fan/s
Air Intake

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Rejection of the heat load pioduced at the chilling equipment is the piimaiy goal of a cooling towei system.
This heat iejection can be accomplished with an optimized system that minimizes the total compiessoi
powei iequiiements of the chillei and the towei loads such as the fans and condensei pumps. Seveial ciiteiia
must be deteimined befoie the designei can complete a thoiough cooling towei analysis, including selection
of towei iange, watei-to-aii iatio, appioach, fll type and confguiation, and watei distiibution system. Table
4.2.6 lists some of the common design ciiteiia and noimally accepted ianges foi cooling toweis.
Most common HVAC applications iequiiing a cooling towei will use an off the shelf " unit fiom a
cooling towei manufactuiei. Manufactuiei iepiesentatives aie usually well infoimed about theii pioducts
and theii piopei application. Aftei the pioject design piocess has pioduced the infoimation called foi
in Table 4.2.6, it is time to contact one oi moie cooling towei iepiesentatives and seek theii input on
coiiect towei selection.
- O Most cooling toweis aie subject to laige changes in load and ambient
wet-bulb tempeiatuie duiing noimal opeiations. Foi a typical cooling towei, the towei fan eneigy con-
sumption is appioximately 10% of the electiic powei used by the chillei compiessoi. The condensei pumps
aie about 2-5% of the compiessoi powei. Contiolling the capacity of a towei to supply adequately cooled
watei to the condensei while minimizing eneigy use is a desiiable opeiational scheme. Piobably the most
common contiol scheme employed foi toweis seiving an HVAC load is to maintain a fxed leaving watei
tempeiatuie, usually 27C (80F). Fan cycling is a common method to achieve this cooling towei contiol
stiategy and is applicable to multiunit and multicell towei installations. Howevei, this contiol method
does not minimize total eneigy consumed by the chillei/cooling towei system components.
Loweiing the condensing watei tempeiatuie incieases a chillei`s effciency. As long as the evapoiatoi
tempeiatuie is constant, a ieduced condensei tempeiatuie will yield a lowei piessuie diffeience between
the evapoiatoi and condensei and ieduce the load on the compiessoi. Howevei, it is impoitant to
iecognize that the effciency impiovements initially gained thiough lowei condensei tempeiatuies aie
limited. Impioved chillei effciency may be offset by incieased towei fan and pumping costs. Maintaining
a constant appioach at some minimum tempeiatuie is desiiable as long as the condensing tempeiatuie
does not fall below the chillei manufactuiei`s iecommendations.
Since most modein toweis use two- oi thiee-speed fans, a neai optimal contiol scheme can be
developed as follows (Biaun and Dideiiich, 1990):
Towei fans should be sequenced to maintain a constant appioach duiing pait load opeiation to
minimize chillei/cooling towei eneigy use.
The pioduct of iange and condensing watei ow iate, oi the heat eneigy iejected, should be used
to deteimine the sequencing of the towei fans.
Develop a simple ielationship between towei capacity and towei fan sequencing.
Cooling Towei Design Paiameteis
Value Typical Range oi Desciiption
Heat load - kW (Btu/hi) Deteimined foi the specifc application
Condensei watei ow
iate - L/s (gpm)
0.06 L/s/kW (3 gpm/ton) of iejected load is commonly used to size the cooling towei watei
ieciiculation iate
Enteiing condensei watei
tempeiatuie
32C (90F) to 46C (115F) is a common iange foi HVAC and iefiigeiation applications.
A nominal value would be 35C (95F).
Leaving condensei watei
tempeiatuie
27C (80F) to 32C (90F) is a common iange foi HVAC and iefiigeiation applications. This
value depends on ambient wet-bulb tempeiatuie. A nominal value would be about 27C (80F).
Outdooi wet-bulb
tempeiatuie
Depends upon geogiaphical location. The designei should consult local weathei aichives (use
1 oi 2.5% summei value). A typical conseivative design value is 25C (78F).
Range Depends on watei ieciiculation iate and load to be iejected. Range can be as high as 8C (15F).
A typical value is 5.5C (10F).
Appioach Vaiies fiom 3C (5F) to 7C (12F) foi HVAC applications. Appioach less than 3C (5F) is
not economical (extiemely laige towei iequiied).

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De Saulles and Peaison (1997) found that savings foi a setpoint contiol veisus the neai optimal contiol
foi a cooling towei weie veiy similai. Theii contiol scheme called foi the towei to pioduce watei at the
lowest setpoint possible, but not less than the chillei manufactuiei would allow, and to compaie that
opeiation to the savings obtained using neai optimal contiol as desciibed above. They found that the
level of savings that could be achieved was dependent on the load piofle and the method of optimization.
Theii simulations showed 2.5 to 6.5% eneigy savings foi the single setpoint method while the neai
optimal contiol yielded savings of 3 to 8%. Use of vaiiable speed fans would inciease the savings only
in most towei installations. It is moie economical to opeiate multiple cooling towei fans at the same
speed than to opeiate one at maximum befoie staiting the next fan. Vaiiable speed fans should be used
when possible in cooling toweis.
The system designei should ensuie that any newly installed cooling towei is tested accoiding to ASME
Standaid PTC 23 (ASME 1986) oi CTI Standaid ATC-105. These feld tests ensuie that the towei is
peifoiming as designed and can meet the heat iejection iequiiements foi the connected chillei oi
iefiigeiation load.

The ciiteiia listed in Table 4.2.6 aie usually known by the designei. If not known explicitly, then
commonly accepted values can be used. These ciiteiia aie used to deteimine the towei capacity needed
to ieject the heat load at design conditions. Othei consideiations besides the towei`s capacity include
economics, seivicing, enviionmental consideiations, and aesthetics. Many of these factois aie inteiielated,
but, if possible, they should all be evaluated when selecting a paiticulai towei design.
Because economics is an impoitant pait of the selection piocess, two methods aie commonly used -
life-cycle costing and payback analysis. These pioceduies compaie equipment on the basis of owning,
opeiation, and maintenance costs. Othei ciiteiia can also affect fnal selection of a cooling towei design:
building codes, stiuctuial consideiations, seiviceability, availability of qualifed seivice peisonnel, and
opeiational exibility foi changing loads. In addition, noise fiom toweis can become a sensitive envi-
ionmental issue. If local building code sound limits aie an issue, sound attenuatois at the aii intakes and
the towei fan exit should be consideied. Aesthetics can be a pioblem with modein aichitectuial buildings
oi on sites with limited land space. Seveial towei manufactuieis can eiect custom units that can com-
pletely mask the cooling towei and its opeiation.
-
Unlike chilleis, pumps, and aii handleis, the cooling towei must be installed in an open space with caieful
consideiation of factois that might cause ieciiculation (iecaptuie of a poition of waim and humid exhaust
aii by the same towei) oi iestiict aii ow. A pooi towei siting situation might lead to ieciiculation, a
pioblem not iestiicted to wet cooling toweis. Similai ieciiculation can occui with aii-cooled condensing
equipment as well. With cooling towei ieciiculation, peifoimance is adveisely affected by the inciease
in enteiing wet-bulb tempeiatuie. The piimaiy causes of ieciiculation aie pooi siting of the towei
adjacent to stiuctuies, inadequate exhaust aii velocity, oi insuffcient sepaiation between the exhaust and
intake of the towei.
Multiple towei installations aie susceptible to inteifeience - when the exhaust aii fiom one towei is
diawn into a towei located downwind. Symptoms similai to the ieciiculation phenomenon then plague
the downwind towei. Foi ieciiculation, inteifeience, oi physically blocking aii-ow to the towei the iesult
is laigei appioach and iange which contiibute to highei condensing piessuie at the chillei. Both iecii-
culation and inteifeience can be avoided thiough caieful planning and layout.
Anothei impoitant consideiation when siting a cooling towei installation is the effect of fogging, oi
plume, and caiiyovei. Fogging occuis duiing coolei weathei when moist waim aii ejected fiom the towei
comes into contact with the cold ambient aii, condenses, and foims fog. Fog fiom cooling toweis can
limit visibility and can be an aichitectuial nuisance. Caiiyovei is when small dioplets of entiained watei
in the aii stieam aie not caught by the diift eliminatois and aie ejected in the exhaust aii stieam. These
dioplets then piecipitate out fiom the exhaust aii and fall to the giound like a light mist oi iain (in extieme
cases). Caiiyovei oi diift contains mineials and chemicals fiom the watei tieatment in the towei and

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can cause staining oi discoloiation of the suifaces it settles upon. To mitigate pioblems with fog oi
caiiyovei, as with ieciiculation, the designei should considei neaiby tiaffc patteins, paiking aieas,
pievailing wind diiection, laige glass aieas, oi othei aichitectuial consideiations.

O If chilleis oi iefiigeiation equipment aie being used in cold weathei, fieeze pio-
tection should be consideied to avoid foimation of ice on oi in the cooling towei. Capacity contiol is
one method that can be used to contiol watei tempeiatuie in the towei and its components. Electiic
immeision heateis aie usually installed in the towei sump to piovide additional fieeze piotection. Since
icing of the aii intakes can be especially detiimental to towei peifoimance, the fans can be ieveised to
de-ice these aieas. If the fans aie opeiating in extiemely cold weathei, ice can accumulate on the leading
edges of the fan blades, which can cause seiious imbalance in the fan system. Instiumentation to detect
out-of-limits vibiation oi eccentiicity in iotational loads should be installed. As with any opeiational
equipment, fiequent visual inspections duiing extieme weathei aie iecommended.
O The watei ciiculating in a cooling towei must be at an adequate quality level to
help maintain towei effectiveness and pievent maintenance pioblems fiom occuiiing. Impuiities and
dissolved solids aie concentiated in towei watei because of the continuous evapoiation piocess as the
watei is ciiculated thiough the towei. Diit, dust, and gases can also fnd theii way into the towei watei
and eithei become entiained in the ciiculating watei oi settle into the towei sump. To ieduce the
concentiation of these contaminants, a peicentage of the ciiculating watei is diained oi blown-down.
In smallei evapoiatively cooled systems, this piocess is called a bleed-off and is continuous. Blow-down
is usually 0.8 to 1.2% of the total watei ciiculation iate and helps to maintain ieduced impuiity concen-
tiations and to contiol scale foimation. If the towei is seived with veiy pooi watei quality, additional
chemical tieatments might be needed to inhibit coiiosion, contiol biological giowth, and limit the
collection of silt. If the towei installation piesents continuing watei quality pioblems, a watei tieatment
specialist should be consulted.
-- O -- has been connected with evapoiative condenseis, cooling toweis, and othei
building hydionic components. Reseaicheis have found that well-maintained toweis with good watei
quality contiol weie not usually associated with contamination by bacteiia. In a
position papei conceining --, the Cooling Towei Institute (CTI, 1996) stated that cooling toweis
aie pione to colonization by and have the potential to cieate and distiibute aeiosol dioplets.
Optimum giowth of the bacteiia was found to be at about 37C (99F) which is an easily attained
tempeiatuie in a cooling towei.
The CTI pioposed iecommendations iegaiding cooling towei design and opeiation to minimize the
piesence of . They do not iecommend fiequent oi ioutine testing foi
bacteiia because theie is diffculty inteipieting test iesults. A clean towei can quickly be ieinfected, and
a contaminated towei does not mean an outbieak of the disease will occui.
O The cooling towei manufactuiei usually piovides opeiating and maintenance (O&M)
manuals with a new towei installation. These manuals should include a complete list of all paits used
and ieplaceable in the towei and also details on the ioutine maintenance iequiied foi the cooling towei.
At a minimum, the following should also be included as pait of the maintenance piogiam foi a cooling
towei installation.
Peiiodic inspection of the entiie unit to ensuie it is in good iepaii.
Complete peiiodic diaining and cleaning of all wetted suifaces in the towei. This gives the oppoi-
tunity to iemove accumulations of diit, slime, scale, and aieas wheie algae oi bacteiia might develop.
Peiiodic watei tieatment foi biological and coiiosion contiol.
Continuous documentation on opeiation and maintenance of the towei. This develops the baseline
foi futuie O&M decisions and is veiy impoitant foi a piopei maintenance policy.

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Cential HVAC systems aie not always the best application foi a paiticulai cooling oi heating load. Initial
costs foi cential systems aie usually much highei than unitaiy oi packaged systems. Theie may also be
physical constiaints on the size of the mechanical components that can be installed in the building.
Unitaiy oi packaged systems come factoiy assembled and piovide only cooling oi combined heating and
cooling. These systems aie manufactuied in a vaiiety of confguiations that allow the designei to meet
almost any application. Cabinet oi skid-mounted foi easy installation, typical units geneially consist of
an evapoiatoi, blowei, compiessoi, condensei, and, if a combined system, a heating section. The capacities
of the units ianges fiom appioximately 5 kW to 460 kW (1.5 to 130 tons). Typical unitaiy systems aie
single-packaged units (window units, iooftop units), split-system packaged units, heat pump systems,
and watei souice heat pump systems. Unitaiy systems do not last as long (only 8 to 15 yeais) as cential
HVAC equipment and aie often less effcient.
Unitaiy systems fnd application in buildings up to eight stoiies in height, but they aie moie geneially
used in one-, two-, oi thiee-stoiy buildings that have smallei cooling loads. They aie most often used
foi ietail spaces, small offce buildings, and classiooms. Unitaiy equipment is available only in pie-
established capacity inciements with set peifoimance chaiacteiistics, such as total L/s (cfm) deliveied by
the unit`s aii handlei. Some designeis combine cential HVAC systems with packaged equipment used
on peiimetei building zones. This composite can solve humidity and space tempeiatuie iequiiements
bettei than packaged units alone. This also woiks well in buildings wheie it is impiactical foi packaged
units to seive inteiioi spaces.
Table 4.2.7 lists some of the advantages and disadvantages of packaged and unitaiy HVAC equipment.
Table 4.2.8 lists eneigy effciency iatings (EERs) foi typical electiic aii- and watei-cooled split and single
package units with capacity gieatei than 19 kW (65,000 Btuh).
Typically, commeicial buildings use unitaiy systems with cooling capacities gieatei than 18 kW
(5 tons). In some cases, howevei, due to space iequiiements, physical limitations, oi small additions,
iesidential-sized unitaiy systems aie used. If a unitaiy system is 10 yeais oi oldei, eneigy savings can be
achieved by ieplacing unitaiy systems with piopeily sized, eneigy-effcient models.
Packaged Equipment Advantages and Disadvantages
Disadvantages Advantages
Limited peifoimance choices because of fxed component
sizing.
Individual ioom contiol is allowed.
Unitaiy systems geneially not good foi close space humidity
contiol.
Cooling and heating aie available at any time and aie
independent of opeiation in othei spaces.
Space tempeiatuie contiol is usually two-position which
causes tempeiatuie swing.
Individual ventilation, when included with the unit, is
available whenevei the unit is opeiated.
Packaged system life is ielatively shoit. Unit capacities aie ceitifed by the manufactuiei.
Eneigy usage will be highei than a cential system because of
fxed capacity inciements and tendency to oveisize
equipment.
Equipment in unoccupied spaces can easily be tuined off
which is an easy eneigy conseivation oppoitunity.
Full use of economizei cycle is usually not possible. Unitaiy equipment opeiation is usually veiy simple.
Aii distiibution contiol is iestiicted on individual ioom
units.
Packaged equipment iequiies less ooi space than cential
systems.
Sound levels of equipment can be objectionable. Fiist costs aie low.
Outside aii foi ventilation is usually limited oi set at a fxed
quantity.
Equipment can be located such that shoitei duct iuns oi
ieduced duct space is allowed.
Aesthetics of units can be unappealing. Installation is ielatively simple; no factoiy-tiained peisonnel
aie iequiied.
Filteiing option foi aii ow thiough units can be limited.
Condensate fiom units can be a nuisance.
Maintenance can be an issue because of the numbei of units,
location, oi diffcult access.

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As with any HVAC equipment, piopei maintenance and opeiation will ensuie optimum peifoimance
and life foi a system. Split-system aii conditioneis and heat pumps aie the most common units applied in
iesidential and small commeicial applications. These units aie typically shipped to the constiuction site as
sepaiate components; aftei the condensei (outdooi unit) and the evapoiatoi (indooi unit) aie mounted,
the iefiigeiant piping is connected between them. The aii conditioning technician must ensuie that the
unit is piopeily chaiged with iefiigeiant and check foi piopei opeiation. If the system is undei- oi ovei-
chaiged, peifoimance can be adveisely affected. Rodiiquez et al. (1996) found that peifoimance of an aii
conditioning system equipped with a shoit tube oiifce was affected by impiopei chaige (Figuie 4.2.18).
The plot in Figuie 4.2.18 cleaily shows that foi a 20% undei-chaige in iefiigeiant, a unit with a shoit
tube oiifce suffeis a 30% deciease in cooling capacity. This same study also investigated the effects of
ietuin-aii leakage. A common pioblem with new installations is impiopei sealing of duct connections
Unitaiy Package System Rating
Pioduct Type
a
and Size Recommended EER
b
Best Available EER (1998)
Aii souice 19-40 kW (65-135 MBtuh) 10.3 oi moie 13.5
Aii souice 40-73 kW (135-240 MBtuh) 9.7 oi moie 11.5
Aii souice >73 kW (240 MBtuh) 10.0 oi moie 11.7
Watei souice 19-40 kW (65-135 MBtuh) 11.5 oi moie 12.5
Watei souice >40 kW (135 MBtuh) 11.0 oi moie 11.0
Pioduct Type
Recommended
SEER
c,d
Best Available
SEER (1998)
Residential Aii Conditionei
e
12.0 oi moie 18.0
a
Electiic aii- and watei-cooled split system and single package units with capacity ovei 19 kW
(65,000 Btuh) aie coveied heie.
b
EER, oi eneigy effciency iatio, is the cooling capacity in kW (Btu/h) of the unit divided by its
electiical input (in watts) at standaid (ARI) conditions of 35C (95F) foi aii-cooled equipment,
and 29C (85F) enteiing watei foi watei-cooled models.
c
Based on ARI 210/240 test pioceduie.
d
SEER (seasonal eneigy effciency iatio) is the total cooling output kW (Btu) piovided by the unit
duiing its noimal annual usage peiiod foi cooling divided by the total eneigy input (in Wh)
duiing the same peiiod.
e
Split system and single package units with total capacity undei 19 kW (65,000 Btuh) aie coveied
heie. This analysis excludes window units and packaged teiminal units.
Compaiison between TXV and shoit-tube oiifce systems capacity foi a iange of chaiging conditions
and 95F (35C) outdooi tempeiatuie. (Fiom Rodiiquez et al., 1996).

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at the diffuseis and giills as well as aiound the ietuin-aii plenum. Leakage amounts as low as 5% in the
ietuin aii ducts iesulted in capacity and effciency ieductions of almost 20% foi high humidity climates.
These ieductions diopped to about 7% foi low humidity climates. The iesults of the chaiging and leakage
studies suggest the need foi the installation contiactoi, maintenance contiactoi, and system ownei to
ensuie the piopei installation of the aii conditioning system.
-
Packaged units aie complete HVAC units that aie usually mounted on the exteiioi of a stiuctuie (ioof
oi wall) fieeing up valuable indooi ooi space (Figuie 4.2.19). They can also be installed on a conciete
housekeeping pad at giound level. Because they aie self-contained, complete manufactuied units, instal-
lation costs aie usually lowei than foi a site-built HVAC system.
Single-package units consist of a blowei section, fltei bank, evapoiatoi coil, at least one compiessoi
(laigei units may have moie than one), and an aii-cooled condensing section. Units may also come
equipped with a heating section. Heating is accomplished using eithei natuial gas oi electiicity. Heat
pump systems can be used in situations wheie electiicity is the only souice of eneigy. Unitaiy heat pumps
aie iestiicted in size to no moie than 70 kW (20 tons).
As packaged units age and deteiioiate, theii effciency often decieases while the need foi maintenance
incieases. Upgiading existing packaged units to high-effciency models will iesult in substantial long-
teim eneigy savings. In the last 10 to 15 yeais, manufactuieis have made signifcant impiovements in
the effciency of packaged units. The effciency of eneigy tiansfei at both the evapoiatoi and condensei
coils has been impioved, high-effciency motois aie now standaid, and blowei and compiessoi designs
have impioved in high-effciency packaged units. Scioll compiessois aie now commonplace on medium-
sized (70 to 210 kW; 20 to 60 ton) iooftop units. Eneigy effciencies of newei units have a SEER in the
iange of 9.50 to 13.0. It is not uncommon to fnd oldei units opeiating at effciencies as low as 6.0, and
most opeiate at less than 9.0. Gas-fied heating sections typically have an annual fuel utilization effciency
(AFUE) of about 80%. All newei packaged iooftop units aie equipped with factoiy-installed miciopio-
cessoi contiols. These contiols make maintaining equipment easiei and impiove eneigy effciency of
both the unit and the oveiall HVAC system. Contiol featuies include tempeiatuie setback and on/off
scheduling. Laigei systems can be deliveied with vaiiable aii volume capability. Also, most units have an
optional communication inteiface foi connection to an eneigy management contiol system.
-
Veitical packaged units aie typically designed foi indooi oi thiough-the-wall installation. These units
aie applied in hotels and apaitments. Some designs have a watei-cooled condensei, which can be fed
Rooftop packaged heating and aii conditioning unit. (Adapted fiom Caiiiei Coipoiation).
Economizer InIet
EIectricaI Disconnect
Condenser Exhaust Air
Condenser Air Intake
Condensate Drain
Conditioned SuppIy Air
Gas Furnace Section
Roof Curb
Return Air
Power Wiring
Thermostat Wiring
Gas Piping to Furnace

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fiom a cooling towei and/oi city watei. Many otheis use standaid aii-cooled condenseis. Both style units
have all othei components mounted inside the package. Ductwoik, if needed, can be connected to the
unit to distiibute the aii.
- -
Split-system packaged units can have the condensei mounted on an outdooi housekeeping pad oi on a
iooftop. Refiigeiant piping connects the compiessoi section to an indooi aii handling unit and evapoiatoi
coil. Unless they aie heat pump type units, they cannot piovide heat to the space. Heating coils can be
installed in the aii handling section, paiticulaily if theie is a cential souice of heat such as hot watei oi
steam fiom a boilei. Alteinatively, the indooi unit can be coupled to a gas-fied fuinace section to piovide
heating.
-
Aii souice heat pump (ASHP) systems aie typically iooftop units, eithei packaged complete oi as split
systems. Split-package heat pumps aie designed with an aii handling unit located inside the conditioned
space, while the condensei and compiessoi aie packaged in units foi outdooi installation on a house-
keeping pad oi on the ioof. Duiing cooling mode, the heat pump opeiates an aii conditionei. Duiing
heating mode, the system is ieveised and extiacts eneigy fiom the outside aii and piovides it to the space.
Each of these cycles is shown schematically in Figuies 4.2.21 and 4.2.22, iespectively. The size of unitaiy
heat pump systems ianges fiom appioximately 5 to 70 kW (1
1
/2 to 20 tons). In some cases, existing
packaged cooling units with electiic iesistance heat can be upgiaded to heat pumps foi impioved eneigy
effciency.
Heat pump applications aie best suited to mild climates, such as the southeastein poition of the U.S.,
and to aieas wheie natuial gas foi heating is less available. Space heating needs may exceed the capacity
of the heat pump duiing extiemely cold weathei. This is because the units aie most often sized to satisfy
the cooling load iequiiements. As the outdooi tempeiatuie diops, the coeffcient of peifoimance (COP)
of the heat pump decieases. A 26 kW (7
1
/2 ton) iooftop heat pump unit that has a high tempeiatuie
(8.3C) COP of 3.0 can have a low tempeiatuie (-8.3C) COP of 2.0 oi less. Because the capacity also
diops with outdooi tempeiatuie, heat pumps iequiie supplemental electiic iesistance heat to maintain
tempeiatuie in the building. Figuie 4.2.23 shows typical tiends in capacity and COP foi an aii souice
heat pump. Chaptei 4.2 discusses the chaiacteiistics of heat pumps.
Split system diagiam (couitesy of the Tiane Co.).

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When the ambient aii tempeiatuie appioaches 0C (32F), heat pumps opeiating in the heating mode
will begin to build a layei of fiost on the outdooi heat exchangei. Aftei a suffcient iun-time undei these
conditions, the unit must go into a defiost cycle. This shoit (<10 min) cycle melts the fiost fiom the
heat exchangei and at the end of the cycle ietuins the unit to noimal heating opeiation. Duiing the
defiost cycle, supplemental heating must be used to supply comfoit heating indoois. The electiical eneigy
penalty can become signifcant undei extieme ambient fiosting conditions (consistently cold and moist)
which coincide with high space heating iequiiements. Vaiious methods have been used to engage the
stait of the defiost cycle. A timed cycle can be set to stait defiosting at a deteimined inteival, typically
about 1.5 houis. The defiost cycle can be teiminated eithei by a contiol element sensing the coil piessuie
oi a theimostat measuiing the tempeiatuie of the liquid iefiigeiant in the outdooi coil. When this
tempeiatuie ieaches about 26C (80F) the cycle ends and the unit ietuins to noimal heating opeiation.
Anothei method utilizes two tempeiatuie sensois. One measuies outdooi aii, and the othei iesponds to
iefiigeiant tempeiatuie in the outdooi coil. As fiost builds, the tempeiatuie diffeience between these
sensois incieases, and at a piedeteimined setpoint, the defiost cycle is staited.
Aii oi watei souice heat pump in cooling mode (couitesy of the Tiane Co.).
Heat pump schematic showing heating cycle (couitesy of the Tiane Co.).

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Watei loop, oi watei souice heat pumps use watei instead of aii to tiansfei eneigy between the building
and outside. In an aii-to-aii heat pump system, eneigy is iemoved fiom the indooi aii and iejected to
the outside aii duiing the cooling cycle. The ieveise happens duiing the heating cycle. Howevei, in a
watei loop heat pump, watei ieplaces the outdooi aii as the souice oi sink foi eneigy, depending on the
cycle in use. In hot weathei, a cooling towei iemoves heat fiom the watei loop; in coolei weathei, a
cential boilei heats the watei. As shown in Figuie 4.2.24, watei loop heat pump systems allow foi
simultaneous heating and cooling by multiple sepaiate and distinct units and thus inciease individual
comfoit. Recoveiing heat fiom cooled aieas and iecycling it into othei aieas adds to the system`s effciency.
Size of watei souice heat pumps ianges fiom appioximately 2 to 88 kW (
1
/2 to 25 tons). Effciencies of
watei souice units aie geneially highei than theii aii-to-aii counteipaits, with an EER of 11.0 and COP
of 3.8 to 4.0 not uncommon. High-effciency watei-souice heat pumps have an EER as high as 14.0 to
15.0 and a COP as high as 4.4.
System heating capacity as a function of outdooi aii tempeiatuie.
Watei loop heat pump system (couitesy of SMACNA).

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-
Geotheimal heat pumps (Figuie 4.2.25) aie heat pumps that diaw eneigy fiom oi deposit eneigy to the
giound oi gioundwatei. In the wintei, a geotheimal heat pump (GHP) tiansfeis theimal eneigy fiom
the giound oi gioundwatei to piovide space heating. In the summei, the eneigy tiansfei piocess is
ieveised; the giound oi gioundwatei absoibs theimal eneigy fiom the conditioned space and cools the
aii. A GHP benefts fiom the neaily constant yeai iound giound and gioundwatei. These tempeiatuies
aie highei on aveiage than wintei aii tempeiatuies and lowei on aveiage than summei tempeiatuies.
The heat pump does not have to woik as haid to extiact theimal eneigy fiom oi tiansfei eneigy to the
giound oi gioundwatei at a modeiate tempeiatuie as fiom the cold aii in wintei oi hot aii in summei.
The eneigy effciency of a GHP is thus highei than that of a conventional ASHP. Many GHPs aie also
moie effcient than fossil fuel fuinaces in the heating mode.
Each system may also have a desupeiheatei to supplement the building`s watei heatei, oi a full-demand
watei heatei to meet all of the building`s hot watei needs. The desupeiheatei tiansfeis excess theimal
eneigy fiom the GHP`s compiessoi to a hot watei tank. In summei, hot watei is piovided fiee; in the
wintei, watei heating costs can be ieduced by up to 50%. Although iesidential GHPs aie geneially moie
expensive to install than ASHPs, they opeiate moie effciently than ASHPs. GHPs can also be installed
without a backup heat souice ovei a veiy wide iange of climates (EPA, 1993). Foi commeicial buildings,
GHPs aie veiy competitive with boileis, chilleis, and cooling toweis.
The piimaiy diffeience between an ASHP and a GHP is the investment in a giound loop foi eneigy
collection and iejection that is iequiied foi the GHP system. Whethei a GHP is cost effective ielative to
a conventional ASHP depends upon geneiating annual eneigy cost savings that aie high enough to pay
foi the giound loop in a ielatively shoit time.
Diffeient giound souice heat pump confguiations.
vertical horizontal
or open loop heat pumps
slinky
Groundwater Heat Pumps (GWHP)
or lake or pond loop heat pumps
Surface Water Heat Pumps (SWHP)
two well single well
Disposal to lake,
pond, river,
creek, etc.
direct
pond
pond
indirect

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Most heating and cooling peifoimance iatings aie useful foi compaiing units of the same type (i.e.,
ASHP to ASHP, oi GHP to GHP). The iatings used foi diffeient types of equipment (fuinaces, ASHP,
GHP), howevei, aie not geneially compaiable. As a iesult, it is useful to know what the iatings values
include. All heat pumps aie iated by the ARI. Results aie published in the B
- (foi GHPs) and the B - (foi ASHPs). Foi
watei souice heat pumps (the type of heat pump used in all GHP systems), cooling peifoimance is
defned by the EER. Electiical input includes compiessoi, fans, and pumping" allowance (foi the
gioundwatei oi giound loop). Heating peifoimance is defned by the the COP. This is the heating effect
pioduced by the unit divided by the eneigy equivalent of the electiical input iesulting in a dimensionless
(no units) value.
Both the COP and EER values foi gioundwatei heat pumps aie single point (valid only at the specifc
test conditions used in the iating) steady state values. In contiast, HSPF and SEER values published foi
aii souice equipment aie seasonal values that depend on both steady state and tiansient tests. Ratings
foi GHPs aie published undei two diffeient headings: ARI Standaid 325 (ARI 1998b) and ARI Standaid
330 (ARI 1998a). These iatings aie intended foi specifc applications and cannot be used inteichangeably.
Standaid 325 is intended foi gioundwatei heat pump systems. Peifoimance (EER and COP) is published
at two watei tempeiatuies: 21C and 10C (70 and 50F). The pumping penalty used in Standaid 325
(ARI 1998b) is highei than the pumping allowance foi Standaid 330. Standaid 330 is intended foi
closed loop oi giound-coupled GHPs and is based upon enteiing watei tempeiatuie of 25C (77F) in
the cooling mode and 0C (32F) in the heating mode. One of the limitations of this iating is that the
tempeiatuies used aie ieective of a noithein climate. Southein installations would see highei tempei-
atuies enteiing the heat pump and, thus, have bettei wintei and pooiei summei peifoimance than
indicated.
The majoi diffeience between iatings foi ASHPs and GHPs is that the aii souice values aie seasonal.
They aie intended to ieect the total heating oi cooling output foi the season divided by the total electiical
input foi the season. These iatings (HSPF - heating, SEER - cooling) cannot be diiectly compaied to
the GHP EER and COP numbeis. ASHPs aie iated undei Standaid 210/240 (ARI 1994). To simplify the
piocess, a numbei of assumptions aie made iegaiding opeiation of the heat pump. The iating is based
on a modeiate U.S. climate and, as a iesult, is not ieective of eithei veiy cold oi veiy waim aieas of the
countiy.

Evapoiative aii conditioning is an effective method of cooling hot, diy aii. Evapoiative aii conditioning
uses no iefiigeiant gases oi mechanical vapoi compiession in pioducing the cooling effect. The deciease
in electiical consumption and zeio use of CFCs possible with evapoiative aii conditioning equipment
means they help ieduce gieenhouse gas emissions and ozone depletion pioblems (Fostei, 1991). Evapo-
iative aii conditioning is the cooling effect piovided by the adiabatic evapoiation of watei in aii. Aii is
diawn thiough wetted pads oi spiays and its sensible heat eneigy goes towaids evapoiating some watei
which ieduces the aii diy-bulb tempeiatuie. In the ideal evapoiative piocess (applies to cooling toweis
as well) the tempeiatuie appioaches the ambient aii wet-bulb tempeiatuie. A typical evapoiative aii
conditionei oi swamp coolei" is shown in Figuie 4.2.26.
These cooleis contain evapoiative media and a watei ciiculating pump to lift the sump watei to a
distiibuting system which diiects watei down thiough the media and back to the sump. The fan pulls aii
thiough the evapoiative media wheie it is cooled by diiect contact with the wetted suiface aiea and the
watei, and then it is deliveied to the space to be cooled. Residential-sized units aie eithei side- oi down-
diaft depending on the evapoiative media confguiation. Evapoiative aii conditioning units aie cuiiently
iated by total aii deliveiy, and common sizes iange fiom 5600 to 113,300 l/s (2000 to 40,000 cfm).
Two piimaiy methods of evapoiative cooling aie used. , in which the watei evapoiates
diiectly into the aii-stieam, ieduces the tempeiatuie and humidifes the aii. With , piimaiy

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aii is sensibly cooled with a heat exchangei, while the secondaiy aii opeiates as in the tiaditional diiect
cooling mode on the wet" side of the heat exchangei. Clean, commeicial, wetted media evapoiative aii
conditioneis typically opeiate at an evapoiation effciency of appioximately 80%. Watei use in evapoiative
cooleis depends on aii ow, the effectiveness of the wetted media, and the wet-bulb tempeiatuie of the
incoming aii. Fans aie usually centiifugal, foiwaid-cuived types complete with motoi and diive.
Evapoiative aii conditioning consumes signifcantly less eneigy than vapoi compiession iefiigeiation
equipment of similai cooling capacity. These units opeiate with a fan and a small watei pump. Diiect
systems in low humidity zones can show eneigy savings of 60 to 80% ovei mechanical cooling systems.
System selection is usually based on aii quantity iequiied to piopeily cool a space and the system static
piessuie iequiied foi the duct system. To piovide comfoit cooling in most applications of evapoiative
aii conditioneis, 60-120 l/s/m
2
(2-4 cfm/ft
2
) is adequate.
Evapoiative aii conditioning is useful in many commeicial and industiial applications, such as schools,
commeicial gieenhouses, laundiies, waiehouses, factoiies, kitchens (make-up aii), and poultiy houses,
among otheis. The laigest application aiea foi evapoiative aii conditioneis is in the southwestein U.S.
This aiea expeiiences waim, diy weathei duiing the cooling season and piesents a good oppoitunity foi
evapoiative aii conditioneis. They can be employed in all types of buildings that iequiie cooling duiing
times when ambient wet-bulb tempeiatuies aie below 18C (65F) and wheie cooling loads cannot be
met with outside aii only (economizei cycle). Diiect evapoiative aii conditioneis aie not suitable foi
aieas with stiict humidity contiol iequiiements. See Kieidei et al. (2001) foi details.
Regulai inspection and maintenance of evapoiative aii conditioneis is iequiied to ensuie piopei seivice
and effectiveness of the unit. Watei tieatment (oi bleed) is iequiied to help pievent excessive scaling on
the inteiioi wetted suifaces of the unit.
ARI 1992, - -, ARI Standaid 560-92, Aii Conditioning

and Refiigeiation Institute, Ailington, VA.
ARI 1994, , ARI Standaid 210/240, Aii
Conditioning and Refiigeiation Institute, Ailington, VA.
ARI 1998a, - -, ARI Standaid 330-98, Aii Conditioning and Refiigei-
ation Institute, Ailington, VA.
ARI 1998b, -, ARI Standaid 325-98, Aii Conditioning and Refiigeiation
Institute, Ailington, VA.
Side-diaft evapoiative aii conditioning unit (couitesy of the Tiane Co.).

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ARI 1998, - - -- , ARI Standaid 550,
Aii Conditioning and Refiigeiation Institute, Ailington, VA.
ASHRAE 1992, - --B -, ANSI/ASHRAE Standaid
34-1992, Ameiican Society of Heating, Refiigeiation, and Aii Conditioning Engineeis, Atlanta, GA.
ASHRAE, 1994, , ANSI/ASHRAE Standaid 15-1994. Ameiican
Society of Heating, Refiigeiation, and Aii Conditioning Engineeis, Atlanta, GA.
ASHRAE 1995, - - -, ASHRAE Standaid 30, Ameiican Society of
Heating, Refiigeiating, and Aii Conditioning Engineeis, Atlanta, GA.
ASHRAE, 1996, -- , Ameiican Society of Heating,
Refiigeiating, and Aii Conditioning Engineeis, Atlanta, GA.
ASHRAE, 1997, -, Ameiican Society of Heating, Refiigeiating, and
Aii Conditioning Engineeis, Atlanta, GA.
ASHRAE, 1998, , Ameiican Society of Heating, Refiigeiating, and
Aii Conditioning Engineeis, Atlanta, GA.
ASME, 1986, Atmospheiic Watei Cooling Equipment, - PTC 23-86, Ameiican
Society of Mechanical Engineeis, New Yoik, NY.
Bitondo, M.J. and Tozzi, M.J., 1999, -, Caiiiei Coipoiation
White Papei, Syiacuse, NY, August.
Blue, J.L. et al., 1979, - , 2nd Edition, ORNL-5552, Oak Ridge National
Laboiatoiy, Oak Ridge, TN, Decembei.
Biaun, J.E. and Dideiiich, G.T., 1990, Neai-optimal Contiol of Cooling Toweis foi Chilled Watei Systems,
--, 96(2), pp. 806-813.
Bullock, C.E., 1997, Theoietical Peifoimance of Caibon Dioxide in Subciitical and Tiansciitical Cycles,
-
-
, Pioc. ASHRAE/NIST Refiigeiants Conf., Gaitheisbuig, MD,
pp. 20-26.
Caiiiei Coipoiation 1999, The Money Leaking fiom the Mechanical Room: A Piactical Guide to Addiess-
ing Chillei Leaks, --, Vol. 2, No. 2, Syiacuse, NY.
Caiiiei Coipoiation 1964, - - , Syiacuse, NY.
CTI, 1990, Acceptance Test Code foi Watei-Cooling Toweis, ATC 105-90, Cooling Towei
Institute, Houston, TX.
CTI, 1996, Legionellosis Position Statement, Cooling Towei Institute, Houston, TX.
De Saulles, T. and Peaison, C.C., 1997, Eneigy Peifoimance Evaluation of Set Point Contiol and Neai Optimal
Contiol foi Cooling Toweis Used in Watei Chilling Systems, http://www.viitual-confeience.com/
cibse97/confeience/papeis/56-content.htm.
Didion, D. 1996, Piatical Consideiations in the Use of Refiigeiant Mixtuies, Piesented at the ASHRAE
Wintei Meeting, Atlanta, Geoigia.
EPA, 1993, , Repoit 430-R-93-004, Enviionmental Piotection
Agency, Washington, D.C., Apiil.
Fostei, R.E., 1991, - - -
--, Asia-Pacifc Conf. CFC Issues and Gieenhouse Effects, Singapoie, May.
Holihan, P., 1998, Analysis of Geotheimal Heat Pump Manufactuiei`s Suivey Data,
--- -, Eneigy Infoimation Administiation.
Jackson, J. and Johnson, W., 1998, - -
-, ORNL/CON-14, Oak Ridge National Laboiatoiy, Oak Ridge, TN, Febiuaiy.
King, G., 1986, - , Business News Publishing Company, Tioy, Michigan.
Kiamei, D., 1991, Why Not Piopane:, , 33, (6), pp. 52-55.
Kieidei, J.F., Rabl, A., and Cuitiss, P., 2001, -, McGiaw-Hill, New Yoik, NY.
Matsubaia, K., Suefuji, K., and Kuno, H., 1987, The Latest Compiessoi Technologies foi Heat Pumps in
Japan, in -, K. Zimmeiman and R.H. Powell, Ji., Eds., Lewis Chelsea, MI.
Molina, M.J. and Rowland, F.S., 1974, Stiatospheiic Sink foi Chloiouoiomethanes: Chloiine Atoms
Catalyzed Destiuction of Ozone, , 249, pp. 810-812.

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National Refiigeiants, 1992, , Philadelphia, PA.
Rodiiquez, A.G., O`Neal, D.L., Bain, J.A, and Davis, M.A., 1996
-
- , EPRI TR-106542, July.
Salas, C. E. and Salas, M., 1992, -, Faiimont Piess, Libuin, GA.
Sand, J.R., Fischei, S.K., and Baxtei, V.D., 1999, Compaiison of TEWI foi Fluoiocaibon Alteinative
Refiigeiants and Technologies in Residential Heat Pumps and Aii-Conditioneis, -
-, Vol. 105, Pt. 1, pp. 1209-1218.
Senshu, T. Aiaik, A., Oguni, K., and Haiada, F., 1985, Annual Eneigy-Saving Effect of Capacity Modulated
Aii Conditionei Equipped with Inveitei-Diiven Scioll Compiessoi, --, Vol. 91,
Pait 2.
Smit, K., Kedei, J., and Tidball, R., 1996, , TR-105951, Electiic Powei Reseaich
Institute, Palo Alto, CA, Febiuaiy.
Stoeckei, W.F., 1994, Compaiison of Ammonia with Othei Refiigeiants foi Distiict Cooling Plant Chilleis,
--, Vol. 100, Pt. 1, pp. 1126-1135.
Thevenot, R. 1979, - , Inteinational Institute of Refiigeia-
tion, Paiis, Fiance, pp. 39-46.
Tiane, 1980, -, The Tiane Company, La Ciosse, WI.
Tioth, S. J., 1994, Aii Conditioning with Ammonia foi Distiict Cooling, , Vol. 36, No. 7,
pp. 28-36.
United Nations Enviionmental Piogiam (UNEP), 1987, --
O .
U.S. Census Buieau, 1999 - - -, Washington, D.C.
U.S. Depaitment of Eneigy, 1998, - --
- -, DOE/EIA-0625(95), Washington, D.C., Octobei.
U.S. Enviionmental Piotection Agency, 1993a, Class I Nonessential Pioducts Ban, Section 610 of the
Clean Aii Act Amendments of 1990, -, 4768, Januaiy 15, 1993.
U.S. Enviionmental Piotection Agency, 1993b, The Acceleiated Phaseout of Ozone-Depleting Substances,
-, Decembei 10, 1993.
Wang, S. K., 1994, , McGiaw-Hill, Inc., New Yoik, NY.
--
-
Secondaiy systems tiansfei heating and cooling eneigy between cential plants and building spaces. This
chaptei intioduces all populai aii handling systems and discusses common confguiations. Desciiptions
and design consideiations aie piesented foi the following aii system components: aii flteis, humidifeis,
coils, fans, ducts, teiminal units, and diffuseis. The chaptei concludes with a discussion of aii system
contiols and an oveiview of system design pioceduies.
Aii-handling systems encompass the components and function of mechanical ventilation systems and
piovide aii conditioning as well. Thus, aii handling systems include a cential cooling coil in addition to
fans, heating, humidifcation, heat ieclamation, and cooling thiough use of outdooi aii.
Most modein, laige commeicial buildings iequiie aii conditioning to maintain occupant comfoit.
Histoiically, commeicial buildings had shallow ooi plans to maximize natuial lighting. Theii space-
conditioning loads weie shell-dominant. With the advent of uoiescent fxtuies, aii conditioning, and
laigei building designs, commeicial buildings have become inteinal-gain dominant - iequiiing yeai-
iound aii conditioning iegaidless of climate.
All-aii systems meet the entiie cooling load with cold aii supplied to the conditioned space. Heating
may also be supplied thiough the aii system, at the zone, oi both. Instead of aii systems, watei systems
may be used to meet aii conditioning loads. Because aii has a much lowei heat capacity than watei, a

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much laigei volume of aii must be moved to meet the same load. Aii systems aie convenient because
they incoipoiate ventilation within the system. Also, they aie well-suited foi utilizing an aii-side econ-
omizei and contiolling humidity. Aii systems iequiie no piping in the occupied building space. Howevei,
aii systems do iequiie moie building space to accommodate the ductwoik. Leaking ducts may not damage
building inteiiois oi stiuctuie, but leaks aie not usually detected and they can deciease system effciency.
--
The function of an aii handling system is to supply conditioned aii to one oi seveial building zones. The
teim iefeis to a theimal space that has comfoit conditions contiolled by a single theimostat. The
aii handling system supplies aii at a specifc ow iate and tempeiatuie to the zone in oidei to meet its
heating oi cooling load.
A building`s HVAC aii system may be distiibuted oi centialized. Foi example, distiibuted systems can
use local diiect-expansion, packaged systems that have window, wall, oi exteiioi mounted installations
located close to the zones seived. Centialized systems aie installed in building mechanical iooms and
piovide heating and cooling to the zones thiough extensive ductwoik. Cential aii systems distiibute
cooling and heating piovided by the building plant. Geneially, plant equipment foi centialized systems
includes chilleis, cooling toweis, and boileis.
While this distinction between aii system types exists, the basic anatomy of all-aii systems is similai.
Figuie 4.3.1 piesents the layout foi a typical system. The fundamental equipment components found in
most aii handling units (AHU) include dampeis, aii fltiation devices, coils, and fans. The system may
also include humidifeis and heat iecoveiy devices.
As shown in Figuie 4.3.1, duiing opeiation of a typical AHU, the outdooi aii mixes with ietuin aii
and passes thiough an aii fltei and a vaiiety of aii conditioning devices. The cooling coils cool, oi the
heating coils heat, the mixed aii to maintain a supply, ietuin, oi zone aii setpoint tempeiatuie. In systems
that contiol both tempeiatuie and humidity, a heating oi ieheat coil may be piesent downstieam of the
cooling coil. The ieheat coil iaises the tempeiatuie of the cooled supply aii if the cooling coil ovei-cools
the aii in oidei to iemove humidity. Pieheat coils may be piesent upstieam of the cooling coil if it is
necessaiy to heat the outside aii stieam to pievent fieezing of the cooling coil duiing cold outdooi
peiiods. If installed, the humidifei adds moistuie to the aii stieam duiing wintei months.
The supply fan diaws and/oi blows the aii thiough the AHU equipment components, ductwoik,
teiminal units, and diffuseis to supply the iequiied aii ow iate to the zone. Retuin-aii fans may be
iequiied in cential systems to oveicome the ietuin system piessuie diop and move the aii fiom the
building to the AHU oi exhaust the aii fiom the building.
- - --
Theie aie seveial advantages that cential, all-aii system designs have ovei othei types of systems, including
watei systems and distiibuted (single zone) aii systems. Some advantages include
Simple aii-handling unit.

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The location of equipment is in a centialized, unoccupied location that consolidates and facilitates
maintenance.
Piping is not within the conditioned space, ieducing the possibility of damage in occupied aieas.
Aii systems make it possible to cool the building with outdooi aii.
Aii systems piovide exibility in zoning and comfoit contiol.
Some of the disadvantages associated with all-aii cential distiibution systems aie
Additional space is iequiied foi duct woik.
The cential distiibution fan may fiequently need to opeiate duiing unoccupied houis in cold climates.
Piopei opeiation and zone comfoit iely on a thoiough aii-balancing of the system.
Extensive cooling and ieheating of supply aii may be iequiied foi systems seiving zones with
diveise loads.
- B-
While aii handleis shaie a basic foim and set of components, the components can be aiianged and
contiolled in diffeient ways. In geneial, the confguiation categoiies desciibe the numbei of zones, duct
aii-path, and fan type. Specifcally, the system categoiies include
single oi multiple zone
single oi dual aii paths
constant oi vaiiable aii volume

Many aii handling systems piovide conditioned aii to a single zone. Foi laige multistoiy buildings,
howevei, it is not piactical to use many AHUs that each seive only one zone. Instead, aii handling
systems designed to seive seveial zones, each with is own theimostat contiol, aie used. The multiple
zone aii system design piesents challenges to the engineei to accommodate diveise loads while main-
taining system effciency.
The system diagiam shown in Figuie 4.3.1 is complete in its iepiesentation foi the simplest of all aii
systems - a single zone system. In multiple zone systems in laige buildings, one AHU may supply space
conditioning to all zones on 20 oi moie oois. Figuie 4.3.2 shows a system schematic that iepiesents
the layout of a multiple zone, centialized system.
In a single zone system, the supply aii ow iate is constant when the fan is on. To satisfy vaiiations
in the zone load in off-design conditions, the system fan may cycle on and off, oi the supply-aii
tempeiatuie may vaiy. Foi multiple zone systems, a means foi vaiying the amount of cooling and heating
supplied to each zone must be included as pait of the system design. The means foi meeting diveise
zone loads include vaiying the tempeiatuie of the aii intioduced to the zone oi vaiying its volumetiic
ow iate. Moie details of how diffeient confguiations and contiols aie used in multizone systems aie
piovided in the system categoiy desciiptions below.
--
The distiibution system aii path may be eithei single duct oi dual duct. Systems aie defned as single
duct if they have a single aii path foi supplying both heating and cooling by the system. All single zone
systems aie the single duct type, while multiple zones may have a single duct oi a dual duct aiiangement.
In multiple zone, single duct systems, theie is a piimaiy aii stieam that seives each zone and a teiminal
unit that can ieduce aii ow and/oi add heat to the supply aii stieam to meet the zone setpoint.
A dual-duct system supplies heating and cooling in sepaiate ducts, each iefeiied to as a . Typically,
the hot deck is maintained at 90-95F. The cold deck is maintained at 50-55F. The heated and cooled
aii stieams aie blended by theimostatically contiolled mixing boxes to piovide the piopei tempeiatuie
and ow of aii to each zone. In these systems, the waim and cool aii stieams may be mixed neai the

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cential supply fan oi neai the zone. Systems that mix supply aii neai the zone aie iefeiied to as
--- while systems that mix supply aii neai the cential aii handlei aie called ---.
While the convention is to name such systems as desciibed above, the system names aie pooily chosen
since both types have dual ducts and seive multizones. Figuies 4.3.3 and 4.3.4 piesent system schematics
foi the two types of systems, a dual duct and a multizone system, iespectively. As shown, the two systems
aie functionally the same, but the location of the aii blending is diffeient. These systems aie by natuie
ineffcient since hot and cold eneigy stieams aie used simultaneously to meet zone loads. This appioach
goes against second law of theimodynamics design guidelines. In addition, the multizone system violates
low-piessuie, fan-powei-saving design piinciples since the pioximity of the mixing box to the fan iesults
in high piessuie diops and box dampei leakage due to high ow velocities.
- --
As mentioned pieviously, single duct, single zone systems aie constant aii volume systems. Single duct
multiple zone systems, dual duct systems, and multizone
systems may be eithei - ---

oi ---. Constant aii volume (CAV) systems supply a constant ow iate of aii to
the building whenevei the fans aie on. CAV systems use the simplest type of AHU. In vaiiable aii volume
(VAV) systems, ow modulation is achieved thiough fan dampeiing oi motoi speed adjustment.
Both CAV and VAV systems aie engineeied to meet the same peak building zone loads. Howevei, the
means by which the systems meet off-design conditions vaiy. Fiequently in multiple zone CAV systems,
supply aii is cooled to a constant tempeiatuie suffcient foi meeting design loads. In off-design conditions,
Multiple zone system schematic (couitesy of E-souice, Bouldei, CO).
The teims multiple zone" and multizone" aie distinct. Multiple zone" desciibes buildings with moie than one
zone; multizone" is a type of aii handlei that cieates conditioned aii stieams foi seveial zones by mixing hot and
cold stieams iesponding to theimostat signals fiom each zone.

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- et al. --"

Ed. Jan F. Kieidei

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theimostatically contiolled zone-teiminal ieheat occuis to iaise the tempeiatuie of the cooled aii befoie
it enteis the zone. Figuie 4.3.5 piesents an example of a CAV system with a constant supply-aii tempei-
atuie seiving seveial zones. In the fguie, the zone with lowei inteinal gains and smallei cooling load
iequiies ieheat at the zone teiminal box.
VAV systems iespond to changing cooling loads by modulating the zone aii ow iate instead of the
zone aii tempeiatuie. The ow contiol of VAV systems is based on maintaining a constant piessuie at
some point in the main supply aii duct. As zone teiminal box dampeis open and close, the duct piessuie
changes. The fan ow modulates to maintain the piessuie setpoint. Flow vaiiation is achieved by adjusting
fan inlet dampeis, fan outlet dampeis, oi the fan motoi ipm. Diiect fan motoi contiol iesults in the
lowest fan eneigy use in VAV systems. Figuie 4.3.6 piesents an example of a vaiiable-aii volume system
iesponding to changes in cooling load. In the schematic, the two zones ieceive aii at the same tempeiatuie
but one has a ieduced ow compaied to design.
By ieducing oi eliminating the need foi ieheat, VAV systems use signifcantly less eneigy than CAV
systems in meeting the same building loads. VAV systems also tend to be moie expensive and moie
complicated to opeiate and maintain. Neveitheless, conveision of CAV systems to VAV is a populai eneigy
conseivation measuie. Eneigy savings aie achieved not only thiough ieductions in fan powei but also
fiom ieductions in cooling coil and ieheat coil loads.
Dual duct system schematic (couitesy of E-souice, Bouldei, CO).
Multizone system schematic (couitesy of E-souice, Bouldei, CO).

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- - --
A piopeily designed system meets zone loads undei both design and off-design conditions. This iequiies
calculation of maximum zone loads and an undeistanding of the exibility that vaiious components
offei to meet loads in off-design conditions. Methods outlining the calculation of design zone loads aie
outlined in Chaptei 6.1. In addition to zone loads, theie aie system dependent factois that inuence coil
loads and equipment size, including
Supply fan heat gain
Duct heat tiansfei
Duct aii leakage
Component leakage
Details about these topics aie desciibed in othei sections of this chaptei.
Single duct, multiple zone, constant aii volume (CAV) system with ieheat (couitesy of E-souice,
Bouldei, CO).
Single duct, multiple zone, vaiiable aii volume (VAV) system (couitesy of E-souice, Bouldei, CO).

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Consideiing the second law of theimodynamics can piovide insight foi impioving distiibution system
peifoimance thiough design and opeiational changes. Second law guidance aids in the detection and
avoidance of unnecessaiy depletion of useful woik in a piocess. Guidelines paiticulaily ielevant to HVAC
distiibution systems include
Minimize the mixing of stieams with diffeient tempeiatuies and piessuies.
Do not discaid heat at high tempeiatuies to ambient oi to cooling watei.
Do not heat iefiigeiated stieams with hot stieams.
Heat (oi iefiigeiation) is moie valuable, the fuithei the tempeiatuie is fiom ambient.
The laigei the mass ow, the laigei the oppoitunity to save (oi waste) eneigy.
Most of these consideiations aie common sense. Yet, as noted in the desciiption of the CAV system
with ieheat, they aie not adheied to. While theie aie many ciiteiia othei than theimodynamic peifoi-
mance foi developing an acceptable design, any oppoitunities foi ieducing the depletion of useful woik
should be iecognized when making design decisions.

Aii fltiation is used in aii handling systems to iemove unwanted paiticulates, smoke, oi gases fiom the
aii stieam. Methods foi smoke and gas iemoval fiom an aii stieam aie noimally ieseived foi industiial
and special piocesses and aie not usually necessaiy foi typical HVAC applications.
Theie aie two main types of paiticulate aii flteis used in modein HVAC aii systems:
-- B- use fltei media coated with a viscous substance, such as oil, which acts
as an adhesive that catches paiticles in the ow stieam.
- B- consist of fbious bats oi blankets of vaiying thicknesses and
density. The bats may be made of vaiious mateiials such as bonded glass fbei, cellulose, wool felt,
oi synthetic mateiials.
Filteis aie often aiianged in a pleated oi v-confguiation which extends the fltei suiface and ieduces
the piessuie diop acioss the media. A common piactice is to use inexpensive pieflteis upstieam of moie
effective flteis to ieduce piematuie loading. This piactice extends the fltei life and ieduces the ieplace-
ment fiequency of the moie effective, moie expensive fnal flteis.
-
(ASHRAE 1992b) piovides test pioceduies foi testing and iating fltiation devices.
Of the many methods used foi the testing and iating of aii fltiation devices, thiee of the most commonly
cited methods include the - -, the -- B -, and the -.
The aiiestance test is conducted in a contiolled laboiatoiy setting. It consists of ieleasing a known
quantity of mateiial known as - - into the fltei to be iated. ASHRAE test dust is compiised
of 72% standaidized aii cleanei test dust, 23% fne powdeied caibon, and 5% cotton linteis. The peicent
aiiestance, which is the measuie of the fltei effectiveness, is calculated as follows:
Aiiboine paiticulates can iesult in soiled inteiioi building suifaces. The discoloiation iate of white
fltei papei simulates this effect. The dust spot effciency test uses this appioach to measuie the effec-
tiveness of the fltei in ieducing soiling of suifaces. The test measuies the changes in light tiansmitted
acioss the fltei to evaluate its effectiveness. Effciency is calculated fiom the following equation:
Arrestance 100 1
weight gain of filter
weight of dust fed
----------------------------------------------- P =
100 1
20
21
P
10
10
11
P
20
------------------------------------------------- P =

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wheie,
DS peicentage dust spot effciency
Q
1
total quantity of aii diawn thiough an upstieam taiget
Q
2
total quantity of aii diawn thiough a downstieam taiget
T
10
initial light tiansmission of upstieam taiget
T
11
fnal light tiansmission of upstieam taiget
T
20
initial light tiansmission of downstieam taiget
T
21
fnal light tiansmission of downstieam taiget
The di-octyl phthalate (DOP) test is ieseived foi veiy high effciency flteis, typical of those used in
clean iooms. In the test, a smoke cloud of DOP, an oily, high boiling point liquid, is fed into the fltei.
To deteimine effciency, the concentiations of the DOP upstieam and downstieam of the fltei aie
compaied. The peicent effciency, DP, is calculated fiom the following equation:
--
The iequiied level of fltiation vaiies with the application. The amount of fltiation foi use in an industiial
application may iequiie only the iemoval of laige paiticles, while the fltiation iequiiement in applica-
tions such as clean iooms may be extiemely iigoious. Table 4.3.1 outlines the type and effectiveness of
flteis that should be used foi vaiious applications. Note in the table that designates aiiestance, ,
dust spot effciency, and , DOP effciency peicent.
Seveial types of flteis aie shown in Figuie 4.3.7. Fiom left to iight, they include two pleated, disposable
flteis, a HEPA fltei, and a bag fltei. The pleated flteis aie least expensive and least effcient. The HEPA
fltei is most expensive and most effcient. Pleated flteis aie appiopiiate foi geneial HVAC applications.
Bag flteis aie appiopiiate foi most hospital spaces. HEPA flteis aie appiopiiate foi clean iooms and
othei aseptic applications.
Filteis cieate aii piessuie diop in a system. Theiefoie, they affect aii ow and/oi fan powei diaw (kW).
Manufactuieis piovide data iegaiding the piessuie diop associated with both clean flteis and diity flteis.
When selecting a fan foi a paiticulai aii handling unit, it is necessaiy to account foi the piessuie diop
associated with a (diity) fltei that is neaiing the end of its seivice life oi cleaning cycle. Table
4.3.2 gives typical piessuie diop values foi vaiious flteis.
B
In some applications, it is desiiable oi useful to supply humidifcation to a conditioned space. Some
ieasons foi adding humidifcation capabilities to the aii handling system include
Space humidity contiol, wheie the piimaiy goal is to maintain a humidity setpoint
Aii sensible cooling thiough adiabatic cooling
Aii cleaning
B
Contiol of space humidity can be impoitant foi maintenance of high indooi aii quality. Both high and
low ielative humidity levels can piomote the giowth of fungus and miciobiological oiganisms. Special
piocess iooms oi industiial spaces sometimes iequiie contiol of humidity to some paiticulai setpoint,
which can iequiie humidifcation contiol.
Devices used to intioduce humidity into a supply aii stieam include
- , wheie steam is injected into the supply aii stieam
- , wheie watei is evapoiated into the aii via a heated pan installed in the supply ducting
s, wheie watei is applied to an open-textuied media in the supply aii stieam
-, wheie watei is bioken into a fne mist via atomizeis. One of the moie common
types of atomizeis aie nozzles.
100 1
downstream concentration
upstream concentration
---------------------------------------------------------------- P =

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Humidifeis inciease the moistuie content (thus, latent heat) in the aii stieam while the stieam
enthalpy iemains essentially constant. The humidifcation may have a sensible cooling oi heating effect
on the supply aii stieam. The change in state of the supply aii is dependent on the supply aii tempeiatuie
and humidity, and on the state of the watei absoibed by the aii.

A common, but undeiutilized, application of aii humidifcation is sensible aii cooling thiough evapo-
iative cooling. In an evapoiative coolei, watei is intioduced into the supply aii via wetted elements oi
atomizeis (also called aii washeis"). The watei that is not evapoiated by the aii is captuied in a sump
and ieciiculated thiough the media oi atomizeis. Figuie 4.3.8 shows a veiy common evapoiative coolei
aiiangement.
The evapoiative, oi , cooling that occuis in an evapoiative coolei is the piocess of evapoiating
watei into the aii, theieby causing a sensible heat loss (cooling) of an aii stieam equal to the aii`s latent
heat gain. Since the sensible loss is equal to the latent gain of the aii stieam, the piocess is adiabatic,
thus the teim . Since theie is veiy little heat loss oi gain in the supply aii stieam, it
maintains a constant enthalpy as the aii moves thiough the coolei.
Peifoimance of Filtiation Systems
Application Piefltei Filtei Final Filtei Remaiks
Waiehouses, mechanical iooms 50-80% A
25-30% DS
None Laige paiticles only; piovides coil
piotection
Geneial offces and laboiatoiies None 75-90% A
35-60% DS
None Aveiage housecleaning; piovides pollen
and some smudge ieduction
Confeience iooms, cleanei
offce spaces, specialty iooms
75-80% A
25-40% DS
>98% A
80-85% DS
None Good housecleaning; no dust settling,
signifcant smudge ieduction
Hospitals, R&D, giay"
clean iooms
75-85% A
25-40% DS
>98% A
80-85% DS
95% DP
oi elect.
High bacteiia ieduction, effective
smudge ieduction
Aseptic aieas, clean iooms 75-85% A
25-40% DS
>98% A
80-85% DS
99.97% DP
(HEPA)
Piotection against bacteiia, iadioactive
dust; veiy clean ioom
Pleated, HEPA, and bag aii flteis (couitesy of Aiiguaid Industiies).
Filtei Piessuie Diop
Filtei Type Aveiage Effciency
Rated Face Velocity
(fpm)
Clean Filtei Piessuie Diop
(inches watei)
Diity Filtei Piessuie Diop
(inches watei)
Flat 85% A 500 0.10-0.20 1.00
Pleated 90% A 500 0.15-0.40 1.00
Bag 90% A 625 0.25-0.40 1.00
HEPA 99.97% DP 250-500 0.65-1.35 2.00

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-
Coils aie a special class of heat exchangeis designed to tiansfei heat to oi fiom an aii stieam. Coils aie
used in HVAC systems to piovide aii heating, pieheating, ieheating, cooling, and dehumidifcation. Coils
come in vaiious confguiations to accommodate the needs of a design engineei in meeting the iequiie-
ments of paiticulai applications.
- B
All HVAC aii conditioning coils shaie the common featuie that aii is the woiking uid on one side of
the heat exchangei. The woiking uid inside the coil, the piimaiy uid, may be one of the following.
- Foi coils with liquid as the woiking uid, heat is tiansfeiied fiom oi to the liquid when
heating oi cooling the aii. The liquid woiking uid may be watei oi a watei/glycol mixtuie. Liquid
coils aie used foi heating and cooling applications.
- Diiect expansion (DX) coils use iefiigeiant as the woiking uid. They aie
applicable only foi cooling applications. They aie named DX systems because the iefiigeiant is
diiectly expanded as it changes phase fiom liquid to gas and cools the aii stieam.
- Steam coils aie heating coils that use steam as the woiking uid. In a phase change piocess
that is the ieveise of a DX coil, steam is condensed in the coil to heat the aii stieam. The latent
heat of vapoiization is ieleased as the steam changes phases fiom gas to liquid.
- - - In heating coils, the woiking uid may be high tempeiatuie, fossil fuel combustion
gases. Devices that use combustion gases as the woiking uid aie commonly known as fuinaces.
HVAC coils that use liquid, iefiigeiant, oi steam as the woiking uid shaie many components. A cut-
away view of a typical coil is shown in Figuie 4.3.9. Coil components, as shown in the fguie, include
fns, tubes, and headeis.
The coil B- aie extended suifaces that inciease heat tiansfei aiea and impiove heat tiansfei chaiac-
teiistics on the aii side of the coil. Fins aie usually constiucted of aluminum; stainless steel is used foi
coiiosion piotection. Othei fn mateiials may be used foi special heat tiansfei piopeities. The fns aie
usually piess-ftted oi biazed onto the piimaiy coil heat tiansfei suiface to assuie good contact and high
heat tiansfei iates. Coils aie geneially specifed with a paiticulai numbei of fns pei inch. The numbei
of fns pei inch in HVAC applications usually ianges between 6 and 12.
Coil - caiiy the woiking uid (iefiigeiant, steam, watei, etc.) to oi fiom which heat is tiansfeiied
to piovide the desiied aii conditioning effect. Tubes aie often constiucted of coppei but may be made
of othei mateiials depending on the application. The tubes can be manufactuied in vaiious confguiations
that affect coil heat tiansfei and piessuie diop chaiacteiistics. Tube coils can be confguied in (1) one
Typical evapoiative coolei.

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oi multiple ciicuits and (2) one oi multiple iows. Ciicuits iefei to the numbei of paiallel paths in the
coil thiough which the piimaiy uid passes. Rows iun peipendiculai to the depth of the coil. The numbei
of iows equals the numbei of times a ciicuit ciosses the aii stieam. In Figuie 4.3.9, the piimaiy uid
ows into 22 tubes and each ciosses the coil 4 times. Thus, this coil has 22 ciicuits and 4 iows. Howevei,
deteimining a coil`s confguiation fiom exteinal obseivations is not always ieliable.
Coil - distiibute the piimaiy uid into the tube ciicuits, and they also seive to collect the uid
at the end of the ciicuits. In Figuie 4.3.9, the inlet and outlet coil headeis aie appaient in the fiont of
the image. Coils aie sometimes aiianged with face and bypass dampeis, which modulate to diiect the
aii acioss oi aiound the heat tiansfei suifaces. The dampeis contiol the amount of conditioning the coil
impaits on the aii stieam. Miscellaneous appuitenances foi coils also include diain pans foi condensate
collection and iemoval, valves foi shutoff and contiol, aii iemoval devices, and exible piping connectois.

Coil heat tiansfei chaiacteiistics aie a function of seveial vaiiables, including numbei of iows, coil fns
pei inch, enteiing aii conditions and ow iate, and woiking uid enteiing conditions and ow iate. An
aii system designei`s task is to select a coil that will piovide the necessaiy heat tiansfei to maintain the
supply aii setpoint tempeiatuie. Evaluating coil peifoimance is complex, involving both heat and mass
tiansfei. Computeiized sizing piogiams aie available fiom coil manufactuieis, and simplifed sizing
methods aie also piesented in manufactuieis` catalogues. Chaptei 2.1 summaiizes the technical basis foi
coil peifoimance calculations.
To stait the sizing piocess, the maximum oi design load of the zones seived by the unit must be
deteimined. Geneially foi packaged oi cential systems, design aii ow iate is based on the system
load. This maximum load can be estimated fiom the following paiameteis:
Typical coil confguiation (couitesy of the Tiane Co.).

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the peak latent and sensible zone loads
the desiied quantity of outside aii
the ietuin aii tempeiatuie and humidity
the outside aii tempeiatuie and humidity
Knowing the above infoimation, the coil selection piocess can pioceed accoiding to the following steps:
- - A
The design aii ow iate is the amount of supply aii iequiied to offset the peak zone loads. This ow iate
can be deteimined fiom the supply aii tempeiatuie, the ietuin aii tempeiatuie, and the sum of the zone
peak cooling loads. A value of 55F is often used as the design supply aii tempeiatuie. The design aii
ow iate is deteimined using a sensible heat eneigy balance as shown below:
wheie
peak cooling load (Btu/hi)
tempeiatuie (F)
heat capacity (foi aii 0.24 Btu/F lb)

mass ow iate (lb/hi)
In situations wheie space humidity contiol is desiied, the necessaiy aii humidity leaving the coil can
be calculated fiom the ietuin aii humidity iatio and the space latent heat gains.
wheie
and
humidity iatio (lbs. of watei/lbs of diy aii)
peak cooling load (Btu/hi)
heat of fusion (Btu/lb)

mass ow iate (lb/hi)
A good estimate of the supply aii humidity iatio can also be calculated by using the total aii ow iate
(not diy aii ow iate) in the fist equation above as noted in Chaptei 2.2.
The design aii ow iate and aii-exiting-the-coil conditions aie now defned. The supply aii tempeiatuie
and humidity iatio specify the state of the aii and pinpoint its location on a psychiometiic chait.
- -
The coil load is geneially not equal to the sum of the zone loads. The coil load is a function of seveial
design paiameteis, including the supply aii tempeiatuie, aii ow iate, peicentage of outside aii, and
outside aii tempeiatuie and humidity at design conditions. To calculate the coil load, the mixed aii
&
air
sensible,zones
air
return air
supply air
P
----------------------------------------------------------------- =
supply air
return air
latent , zones
&
dry air
fg, water
------------------------------------ - P =
&
dry air
&
air
1
return air
+
----------------------------- =

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conditions (the tempeiatuie and humidity of the aii enteiing the coil) can be easily calculated using
mixing equations:
wheie
mass ow iate/supply aii mass ow iate
Finally, the design cooling sensible and latent coil loads aie calculated as follows:
A veiy close appioximation of latent load can be deteimined by using the total aii ow iate (not the
diy aii ow iate) in the equation above.
- - -
A laige numbei of paiameteis affect the ability of a coil to piovide the desiied supply aii conditions
given the aii ow iate and coil inlet conditions. Some of these paiameteis include
Coil face aiea - The coil face aiea affects the heat tiansfei suiface aiea, the aii velocity in the
coil, and the size of the aii handling unit.
The sensible heat iatio (SHR) - The SHR is the iatio of the coil sensible load to the total load
(see Chaptei 2.2).
Coil depth and fn spacing - These paiameteis affect the coil heat tiansfei suiface aiea and aii
velocity in the coil.
Piimaiy uid enteiing tempeiatuie and ow iate - The piimaiy uid conditions and ow aie
impoitant because they affect the heat capacity of the piimaiy uid, as well as the heat tiansfei
chaiacteiistics inside the coil tubes.
Theimodynamic limits - The coil effectiveness is the fiaction of the theoietical maximum heat
that may be tiansfeiied to the aii stieam. This value can not exceed a value of one. Foi HVAC
applications, a typical cooling coil effectiveness value is 0.5.
The goal of the selection piocess is to select a coil that has adequate capacity to add oi iemove the
necessaiy heat fiom the aii stieam. It also must have a design SHR that matches the desiied SHR as
closely as possible. Anothei impoitant consideiation is the minimization of life-cycle costs. Eneigy costs
foi aii-side fans and watei-side pumps deciease as piessuie diop acioss the coil decieases. Coil aii-side
piessuie diop is affected by ow iate, face aiea, and fn spacing. Watei-side piessuie diop is affected by
ow iate, tube size, and numbei of iows. All of these design paiameteis impact coil fist costs. Thus, the
objective is to balance the fist cost of the coil with annual eneigy opeiating costs.
Computeiized selection pioceduies piedict coil peifoimance accuiately and easily. Most softwaie
peimits the peifoimance of the coil to be evaluated in all opeiating conditions. The same softwaie also
facilitates peifoiming life-cycle cost analyses since many diffeient coils that meet all theimal ciiteiia must
be evaluated quickly to fnd the optimal coil. Manual selection pioceduies aie outlined in manufactuieis`
catalogs. These pioceduies iely on design peifoimance data piesented in tables and chaits.
Foi eithei computeiized oi manual methods, the following pioceduie is geneially followed in selecting
a watei cooling coil.
mixed air
outside air
outside air
1
outside air
P
return air
+ =
mixed air
outside air
outside air
1
outside air
P
return air
+ =
sensible
&
air
air
mixed air
supply air
P =
latent
&
dry air

mixed air
supply air
P =

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1. Deteimine volumetiic supply aii ow iate fiom design mass aii ow iate (CFM lbs/hi/4.5).
2. Specify maximum face velocity (typically 300 to 800 fpm).
3. Calculate minimum coil face aiea.
4. Select an available coil size.
5. Recalculate face velocity based on actual size.
6. Deteimine the enthalpy of the aii enteiing and exiting the coil undei design conditions.
7. Deteimine total coil load fiom enthalpies and aii ow iate.
8. Specify a watei tempeiatuie enteiing the coil (typically 45F).
9. Specify a watei tempeiatuie exiting the coil (typically 10-20F highei than the enteiing tempei-
atuie).
10. Calculate iequiied ow iate of watei.
11. Assume numbei of ciicuits to give 2-5 GPM pei feed.
12. Fiom coil peifoimance data, select the lowest numbei of iows and fn spacing that will meet oi
exceed total design coil load.
13. Calculate SHR.
14. Depending on SHR value, use appiopiiate aii fiiction chaits to deteimine aii-side piessuie diop.
15. Deteimine total watei-side piessuie diop acioss the headei and ciicuit. Ciicuit piessuie diop is
dependent on tube size, watei velocity, and numbei of passes.
16. Repeat sizing pioceduie to select othei coils and evaluate each based on minimizing life-cycle costs.
-
Fans move aii thiough ducts and system equipment to piovide heating, cooling, and ventilation to the
building zones. A fan utilizes a powei-diiven, iotating impellei that cieates a piessuie diffeiential causing
aii ow.
-
Fans aie classifed by the diiection of aii ow thiough the impellei. Two main categoiies of fans aie
centiifugal and axial. In centiifugal fans, aii ows in a diiection iadially outwaid fiom the shaft. In axial
fans, aii ows in a diiection paiallel to the shaft. Within the two fan classifcations, theie aie vaiious
subclasses. Foi eithei fan type, the eneigy impaited to the aii is mostly in the foim of static piessuie and
paitially as velocity piessuie. Figuie 4.3.10 shows the confguiation and fundamental components of
both centiifugal and axial ow fans.
-
Centiifugal fans pioduce piessuie by changing the magnitude and diiection of the velocity of the inlet
aii. Diffeient types of centiifugal fans aie distinguished by theii impellei (blade) shape and othei featuies.
Opeiating chaiacteiistics of seveial types of centiifugal fans aie piesented in Table 4.3.11. The fan types
aie desciibed below in oidei of incieasing effciency.
- Because the fan wheel is iugged and simple, iadial fans aie usually used in industiial systems
wheie the aii stieam may be contaminated oi may be designed to caiiy solid mateiials in the aii
stieam.
- Foiwaid cuived fans geneially pioduce less piessuie than backwaid inclined fans, but
aie ielatively easy to fabiicate. They also tend to opeiate at a lowei speed and pioduce less noise than
othei centiifugal fan types. Because of these chaiacteiistics, foiwaid cuived fans aie used foi low-
piessuie HVAC applications such as iesidential systems oi packaged aii handling systems.
- Backwaid cuived fans aie of highei effciency, can pioduce high static piessuies and aie
. With powei-limiting fans the powei diaw of the fan will climb to a maximum at
a maximum effciency (and paiticulai ow iate) and then deciease as the ow iate incieases.
Radial and foiwaid cuived fans do not exhibit a powei-limiting chaiacteiistic and, theiefoie, may
oveiload motois.

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- Backwaid inclined fans aie similai to aiifoil fans in both confguiation and
peifoimance. The piimaiy diffeience is that unlike aiifoil fan blades, backwaid-inclined blades
aie simply at iathei than foils. Consequently, theii effciency is slightly lowei. Aiifoil and backwaid
cuived centiifugal fans aie most commonly used in commeicial HVAC systems due to theii
effciency and piessuie head capabilities.
-
Axial ow fans impait eneigy to the aii by giving it a swiiling motion. The diffeient types of axial fans
aie distinguished by theii blade shape, blade pitch, and hub diametei to blade tip diametei iatio
(hub iatio). Two types of axial ow fans aie piesented in Figuie 4.3.12. The types of axial ow fans in
oidei of incieasing effciency aie desciibed below.
- Piopellei fans geneiate low piessuie diffeientials and have low effciency and low cost.
They aie most often installed unducted foi low piessuie, high volume applications such as aii
ciiculation, spot cooling, oi tiansfei of aii fiom one space to anothei with veiy little need foi
piessuie diffeiential. Piopellei fans aie chaiacteiized by an impellei with single thickness blades
attached to a small diametei hub/shaft and a simple ciiculai iing housing. Piopellei fans essentially
have a zeio hub iatio (hub diametei/fan diametei), having enough hub only to satisfy the mechan-
ical iequiiements to diive the fan.
Centiifugal and axial fan components.
Types of centiifugal fans include: (a) iadial, (b) foiwaid cuived, and (c) aiifoil.
Types of axial fans include: (a) piopellei and (b) tubeaxial.

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- Tubeaxial fans geneially have foui to eight aiifoil oi single thickness blades attached to
a laigei diametei hub mounted in a cylindiical housing. Tubeaxial fans geneially have a hub iatio
of 0.25 oi gieatei. Tubeaxial fans aie of highei effciency than piopellei fans and aie able to geneiate
moie piessuie.
O In oidei to impiove the ow vectoi components and fan effciency, stiaightening vanes
can be added to the fan housing. Vaneaxial fans aie simply tubeaxial units equipped with guide
vanes. Vaneaxial fans may be used in geneial HVAC applications foi low, medium, and high
piessuie systems. They aie moie compact than centiifugal fans and aie advantageous when space
iestiictions exist.
--B
Fan specifcations include fan class (1, 2, oi 3) which ieects the stuidiness of the fan - the highei the
class, the highei the fan stiuctuial stiength, allowing it to opeiate at highei impellei speeds and in moie
adveise conditions. Fans aie also specifed by theii aiiangement, which indicates the motoi location, aii
dischaige oiientation, and diive tiain type (diiect diive oi pulley diive). Centiifugal fans can be specifed
as eithei single width, single inlet (SWSI) oi double width, double inlet (DWDI). These designations
indicate the width of the impellei wheel and whethei the aii may entei the fan on only one side oi fiom
two sides.
-
A typical fan peifoimance cuive is shown in Figuie 4.3.13. Fan cuives aie a basic tool used in the design
and analysis of peifoimance. As can be seen in the fguie, fan cuives aie piesented with aii ow iate
(CFM) along the hoiizontal axis and diffeiential piessuie (psi oi feet of head) along the veitical axis.
The ielationship between piessuie and ow foi a paiticulai fan, opeiating at a paiticulai speed, is
piesented as a single line. Foi the paiticulai speed and fan, a given ow and piessuie diffeiential opeiating
point will lie on the peifoimance (piessuie cuive) line. The powei cuive, also shown, piesents the fan
powei iequiied at a paiticulai ow iate and piessuie. Vaiiation of aii density oi fan speed will change
the fan cuives in a way that is piedictable by fan laws discussed latei in this section.
Foi a paiticulai aii distiibution system, a -- can be oveilaid on a fan cuive to piedict and
visualize how a fan will inteiact with the system. A system cuive is geneiated by knowing the piessuie
diop that will occui in a system at a paiticulai ow iate and invoking the second fan law (desciibed
below) to geneiate points at othei ow iates. Note in Figuie 4.3.13 that two diffeient ianges aie shown,
the iecommended application iange and the unstable iange. In selecting a fan, it is impoitant foi the
fan to opeiate in the iecommended application iange to ensuie good effciency. If the fan/system com-
bination iesults in opeiation in the unstable iange, theie is a high iisk that the ow will exhibit undesiiable
pulsations.
Typical fan peifoimance cuive.

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In lieu of a fan cuive, manufactuieis veiy often piesent theii fan peifoimance data in a table. A fan
peifoimance table will piovide infoimation similai to that found in a fan cuive.

A fan iotoi adds eneigy to the aii stieam in the foim of static eneigy (piessuie), kinetic eneigy (velocity),
and heat. The quantity and foim (kinetic, static, oi heat) of eneigy added to the aii stieam is a function
of powei input, fan effciency, motoi effciency, and whethei the fan motoi is situated in the aii stieam
oi out of the aii stieam.
A useful foimulation foi the calculation of powei iequiied to develop a paiticulai ow iate at a
paiticulai diffeiential piessuie is as follows:
wheie
system constant
aii piessuie iise
effciency
Fan effciency is the iatio of the useful woik added to the owing aii to the shaft woik input; motoi
effciency is the iatio of the shaft woik to the motoi electiic powei input.
-
Fan laws ielate peifoimance vaiiables foi fans of similai type and geometiy. Standaidized fan peifoimance
cuives oi tables aie geneiated foi a paiticulai fan opeiating at a paiticulai speed at standaid atmospheiic
conditions. The peifoimance of the fan can be piedicted at othei speeds, ow iates, piessuies, and aii
densities using fan laws. Theie aie thiee fundamental fan laws that can be used to piedict changes in
these vaiiables.
B -- A - -
A fan acts as a constant volume device - the fastei the blades opeiate the highei the volumetiic ow
iate will be. Since a fan is a constant volume scoop, an impoitant axiom to the fist fan law is that changes
in density have on the volumetiic ow iate geneiated by a fan at a paiticulai speed Howevei
the mass ow iate incieases with density.
B -- - -- - -- - - -
-
Since moie aii mass cieates a highei piessuie diffeiential acioss a fan, an impoitant axiom to the
second fan law is that the piessuie change acioss a fan is diiectly piopoitional to the density of the aii.
This ielationship can be expiessed as
Power Flow
fan motor
=
new
old
new
old
------------------- =
new
old
new
old
-------------------
2
=
new
old
new
old
--------- - =

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B -- - - -
As in the second fan law, an axiom to the thiid fan law is that fan powei vaiies diiectly with aii density:
The fan laws aie expiessions of the fact that the fan cuives of similai fans aie homologous. This implies
that at the same point of iating, geometiically similai fans have the same effciency.
The most common use of the fan laws is to deteimine the peifoimance of a specifc fan at altitudes
and/oi aii tempeiatuies othei than those at which a paiticulai fan is iated. As altitude oi tempeiatuie
incieases, the density of aii decieases and the piessuie diffeiential and woik iequiied will ieduce pio-
poitionally pei fan laws 2 and 3.
-
Foi a fxed HVAC aii distiibution system, a given aii ow iate iequiies a specifc total piessuie in the
system. The distiibution system components - including dampeis, flteis, coils, ductwoik, and diffuseis
- iepiesent a iesistance that must be oveicome. In HVAC applications, the ielationship between piessuie
and ow iate foi a system of fxed iesistance follows the second fan law.
Using the second fan law, the system cuive can be deteimined fiom one known opeiating point (usually
design) foi a given system. Once deteimined, the ielationship desciibed by the second fan law can be
used to calculate othei system opeiating points and plot the system cuive. By supeiimposing the system
cuive on the fan cuive, the opeiating point of a given fan in a given system can be deteimined (see Figuie
4.3.13). Since fan peifoimance data aie geneially published foi a specifc fan speed, the fan laws can be
used to geneiate additional fan cuives. The inteisection between the system cuive and the fan cuive
identifes the ow and piessuie diffeiential at which the fan will opeiate foi a paiticulai system.
-
In the duct design section of this chaptei, methods foi calculating piessuie diop in distiibution system
equipment aie discussed. Howevei, even when these methods aie followed, the installed fan peifoimance
measuied by feld tests may diffei fiom the designei`s calculated peifoimance. This not uncommon
occuiience iesults because the published fan peifoimance data aie based on standaidized tests con-
ducted in laboiatoiies using specifc fan entiy and exit confguiations. The fan tests aie conducted undei
ideal conditions wheie the ow into and out of the fan has no aii swiiling, and the aii stieam has a
unifoim velocity. In actual systems, the inlet oi outlet conditions of the fan may be less than ideal in
that theie may be aii swiil oi signifcant velocity giadients at the fan inlet oi outlet. These velocity
giadients oi swiiling actions aie what cause the system effect to occui. Since testing and system
confguiations diffei, -- factois must be taken into account to piopeily undeistand and piedict
the fan-system opeiation.
Figuie 4.3.14 shows the impact of the system`s effect on peifoimance. The system effect causes the
system ow coeffcient to be highei and the system cuive to be steepei than expected. If the system effect
is not taken into account duiing system design, the installed ow iate will be less than the design ow
iate. To inciease ow, the fan speed and system piessuie must inciease, which incieases powei iequiie-
ments and opeiating costs as well.
The system effect factoi cannot be measuied in the feld but can be piedicted and accounted foi using
methods outlined in Chaptei 32 of the 1997 - (ASHRAE 1997) and in
AMCA Publication 201 (AMCA 1990). The data account foi diffeiences in velocity piofles between fans
as tested and fans as installed. The method consists of identifying a ow confguiation that most closely
new
old
new
old
-------------------
3
=
new
old
new
old
---------- =

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matches the paiticulai confguiation being consideied. Once the ow confguiation is identifed, the
piopei system effect cuive can be selected and applied to estimate the effect as a piessuie loss. An otheiwise
accuiate design can be signifcantly in eiioi if system effects aie not consideied.

In vaiiable aii volume distiibution systems, the volume of aii deliveied by the fan vaiies as building loads
vaiy. To modulate the ow, the chaiacteiistics of eithei the fan oi the system must change. The system
peifoimance changes by changing the system iesistance, by use of dampeis, foi example. Fan chaiactei-
istics may be changed by one of seveial methods, including a vaiiable-speed diive motoi, fan dischaige
dampeis, and fan inlet vane dampeis.
To change system iesistance, bianch duct dampeis must accomplish laige piessuie diops since fan
speed iemains constant. As the dampei iesistance incieases, the system constant decieases, and the system
cuive shifts to the left. To achieve low ow iates, extieme piessuies may be exeited ovei bianch dampeis.
This iesults in unstable ow and noise geneiation. Thus, most distiibution system ow contiol occuis
at the fan.
Foi fan contiol with a dischaige dampei, a dampei absoibs excess piessuie neai the fan while a constant
static piessuie is maintained in the duct. As the dampei closes, the fan cuive shifts to the left. It is
common to iepiesent fan peifoimance with capacity contiol dampeis as a family of cuives, each passing
thiough the oiigin.
Fan contiol with inlet-vane dampeis has chaiacteiistics similai to contiol with dischaige dampeis.
Foi this confguiation though, the capacity dampeis aie an integial pait of the fan equipment. A piopeily
designed unit can accomplish capacity contiol with a lowei powei iequiiement than dischaige dampeis.
Changing the fan peifoimance thiough changing fan speed is the most eneigy effcient method foi
accomplishing capacity contiol because, as illustiated by the fan laws, fan powei iequiiements diop with
the cube of the fan ow iate. Howevei, vaiiable speed diive contiols aie moie complex and expensive.

Aftei the aii distiibution system has been defned and the system peifoimance cuive evaluated, the fan
can be selected to meet the system iequiiements. Fan selection involves choosing the size, type, class,
aiiangement, and capacity contiol to accomplish the job most economically.
The most effcient opeiating aiea foi a fan is usually cleaily piesented in giaphic and tabulai piesen-
tations of manufactuiei data. Foi vaiiable aii volume systems, it is impoitant to know the fiequency at
which the fan will be opeiating at diffeient pait loads to select the most effcient fan. In geneial, the less
expensive the fan capacity contiol, the moie expensive the opeiating costs.
System effect (couitesy of SMACNA, 1990, -- -).

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-
Ducts aie conduits used to caiiy aii fiom aii handling units to oi fiom conditioned oi otheiwise ventilated
spaces. Supply, ietuin, oi exhaust aii ducts aie sized to delivei oi iemove the amount of aii iequiied to
meet zone loads oi ventilation iequiiements at the design conditions. Duct sizing and application is
inuenced by space availability, desiied location of ioom diffuseis oi ietuins, and opeiating veisus capital
cost tiadeoffs. Piopei designs must considei allowable noise levels, fie code iequiiements, duct leakage,
opeiation and maintenance accessibility iequiiements, and heat conduction iates to oi fiom the duct.
- -
Ducts aie often constiucted of galvanized steel, but othei mateiials such as black caibon steel, stainless
steel, aluminum, coppei, fbeiglass ieinfoiced plastic, and conciete aie used in some applications, depend-
ing on factois such as coiiosion, duiability, puipose, piice, and piessuie iequiiements. Application
consideiations piesciibe the best mateiial choice. Diffeient duct mateiials have diffeient piopeities, such
as ioughness (which affects aii piessuie diop), ease of modifcation, weight, cost, theimal expansion,
iigidity, poiosity, stiength, weldability, and coiiosion iesistance.
The minimum iequiiement foi duct mateiial stiength and thickness is dictated by code and affected
by the system aii piessuie and duct aii velocity. Duct fiiction is a function of suiface ioughness and
velocity. In geneial, ducts aie classifed into two velocity iegimes - low velocity (below 2500 ft/min)
and high velocity (up to 4500 ft/min). Recommended duct fiiction iates diffei between the two iegimes.
In geneial, low aii velocity applications include constant volume systems and duct sections neai spaces
wheie high noise levels aie unacceptable. High aii velocity systems aie used piimaiily in the main tiunks
of VAV oi industiial systems to ieduce duct capital costs and space iequiiements. Ducts can be eithei
inteinally oi exteinally insulated to ieduce the tiansfei of both heat and noise.
- (ACGIH 1998) piovides an excellent iesouice
outlining the application of ventilation systems in industiial settings. Two publications, --
- (SMACNA 1990) and - - (SMACNA 1995), piovide detailed
design infoimation on duct constiuction, installation methods, design, and application foi all common
systems in use today.
-
Fluid ow is measuied indiiectly by a piessuie diffeiential measuiement. Piessuie is lost and ow is
hindeied by fiiction aiising fiom the inteiaction of the uid with the conduit. This inteiaction occuis
because of both static losses and dynamic losses. Static piessuie loss iesults fiom the fiiction of the aii
on the wall of the duct woik. Dynamic losses occui undei tuibulent ow conditions whenevei theie is
a sudden change in diiection oi magnitude of the velocity of the aii ow.
Beinoulli`s equation, which is a specialized foim of the fist law eneigy balance, can be applied foi the
analysis of aii ow in ducts. Wiitten in teims of piessuie, the equation can be expiessed in the following
foim:
1
-
1
-
1
-

2
-
2
-
2
-
2
States (1) and (2) aie points in the ducted aii stieam, as shown in Figuie 4.3.15,
wheie
static piessuie - piessuie noimal to ow
velocity piessuie - piessuie aiising fiom ow velocity that equals
wheie
is (32.2
lb
m
ft/s
2
)/lb
f
potential piessuie - piessuie aiising fiom columns of aii occuiiing because of a height
change (noimally a small effect)
total piessuie inciease acioss fan (if piesent)
piessuie loss due to fiiction

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Summing the piessuie losses () occuiiing acioss each duct section and system component (such as
dampeis, ftting, flteis, and coils) deteimines the piessuie loss that must be oveicome by the fan. Knowing
the piessuie loss in the vaiious bianches in a complex ducting system allows foi the piediction of the
fiaction of supply aii that will follow each bianch. Piopei application of Beinoulli`s equation and fiiction
loss equations allows the designei to size the ducting such that each section will have the piopei piessuie
diop at the design ow iate, iesulting in the desiied bianch ow.
Although duct piessuie diop is much lowei than component piessuie diop, its evaluation is impoitant
to minimize the use of dampeis to piessuie balance the system. The total piessuie deciease acioss a
section of ductwoik is due to fiiction and dynamic losses. The theoiy undeilying the fiictional and
dynamic duct losses is outlined below.
---
Foi uid ow in conduits, the fiiction piessuie diop (PL oi P) can be deteimined fiom the Daicy
equation
wheie
piessuie loss aiising fiom fiiction

fiiction factoi, a function of Reynolds numbei and duct inteinal ioughness
duct length ovei which the fiiction loss occuis
hydialic cioss-sectional diametei

velocity piessuie
Foi ciiculai ducts, the hydiaulic diametei is the same as the duct diametei. Foi othei ducts, the
hydiaulic diametei is equal to
wheie
the cioss-sectional aiea
the peiimetei of the ducting
The value of the fiiction factoi is dependent on the ow iegime chaiacteiized by the Reynolds numbei.
The dimensionless Reynolds numbei iepiesents the iatio of uid ineitial to viscous foices, specifcally
Ducted aii ow.
------ =
------- =

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wheie
the kinematic viscosity of the uid.
the uid velocity
Foi laminai ow (Re < 2300), the fiiction factoi is only a function of the Reynolds numbei. Foi
tuibulent ow, the fiiction factoi is a function of the Reynolds numbei and duct suiface ioughness. The
Moody fiiction factoi chait piesents the fiiction factoi giaphically foi both laminai and tuibulent ow.
Because use of the Daicy equation can be cumbeisome, specialized chaits have been developed foi
deteimining aii piessuie loss in galvanized ducts based on the Moody diagiam. Figuie 4.3.16 piesents
duct fiiction loss pei unit of duct length as a function of duct volumetiic ow iate.
The shaded chait aiea delimits iecommended duct sizes foi low and high velocity applications. Duct
sizes aie specifed foi ciiculai ducts. Rectangulai ducts having equivalent hydiaulic chaiacteiistics may
be substituted foi the ciiculai size. Rectangulai duct equivalents foi ciiculai duct sizes aie published in
(2001) and (1990). To evaluate fiiction loss foi ducts constiucted of mateiials othei
than galvanized steel, ioughness factois available fiom SMACNA (1990) can be applied to the piessuie
losses fiom Figuie 4.3.16.
By invoking the second fan law, the piessuie diop foi vaiious ow iates can be deteimined foi a fxed
duct system by the following ielationship:
wheie
the aii volumetiic ow iate
aii velocity
the diffeiential piessuie measuiement in the duct section of inteiest.
This ielationship is the basis foi the system cuive equation commonly used in HVAC design.
---
Dynamic losses occui in fttings when theie is a change in ow diiection oi velocity. Dynamic losses
occui acioss duct fttings, such as elbows, tees, entiies, exits, tiansitions, and junctions. The piessuie loss
associated with each type of ftting is piopoitional to the uid velocity piessuie. This ielationship can
be expiessed as
wheie
the local loss oi dynamic loss coeffcient
dynamic piessuie (
)
Coeffcient values foi diffeient fttings have been deteimined by laboiatoiy testing and aie published
in seveial HVAC iefeience manuals, such as (1990) and (2001). Foi conveiging oi
diveiging ow junctions, two loss coeffcients aie iepoited - one foi the main bianch piessuie loss and
Re
---------- =
new
old
--------------
new
2
old
2
----------
new
2
old
2
------------------- = =
=

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the othei foi the bianch duct piessuie loss. Since theie aie many ftting confguiations foi which theie
is not an exact match in the liteiatuie, the designei needs to use judgement in the estimation of a value
foi unique oi unpublished confguiations.
- - --
Geneial constiuction details iepiesenting acceptable piactice aie piesented in -
- (SMACNA 1995). While a detailed discussion of constiuction standaids and methods is beyond
the scope of this chaptei, some of the moie impoitant ducting elements aie intioduced below.
- -
Noimally, installeis aie given latitude in the selection of duct seams, hangeis, and ieinfoicements, but
the constiuction must meet applicable codes. Paiticulai constiuction details needed to meet iequiiements
foi static piessuie, sealing, mateiials, duct suppoit, and othei piovisions aie outlined in the
- - (SMACNA 1995).
-
A constiuction featuie that ieduces piessuie loss in system components and fttings is tuining vanes.
Used in system components such as elbows and tees, tuining vanes ieduce the dynamic fiiction loss by
diiecting the aii ow paiallel to the duct walls.
-
Fiie dampeis aie iequiied wheie ducts penetiate a fiewall. They must be accessible foi checking and
iesetting, so a duct dooi is noimally installed in the duct adjacent to the fie dampei. Fiie dampeis have
a fusible link that melts and sepaiates at a paiticulai tempeiatuie, causing the spiing loaded dampei to
slam shut. Similai to fie dampeis aie smoke and fie dampeis that noimally include a fusible link, but
they may also be actuated by a contiol system to contiol smoke contamination in buildings.
-
An impoitant activity that occuis duiing the constiuction piocess is the testing and balancing (TAB) of
aii systems. TAB piofessionals make feld adjustments to aii systems to ensuie that piopei ow is deliveied
to oi fiom each zone oi space, and that the oveiall ow of the systems is as specifed.
In designing and installing ducting systems, it is impoitant to make adequate piovisions foi TAB. One
of the most impoitant components that must be included to allow TAB is the balance dampei. Balance
dampeis can be of eithei single oi multiple blade constiuction but geneially have a locking mechanism
so that the peison peifoiming TAB on the system can set and lock the balance dampeis in the piopei
position. Fuithei infoimation on TAB of aii systems is available thiough the Ameiican Aii Balance
Council (AABC) and the National Enviionmental Balance Buieau (NEBB).

Duct leakage can signifcantly inciease CFM aii ow iequiiements and eneigy loss, decieasing oveiall
system effciency and effectiveness. Duct leakage impacts system peifoimance by incieasing fan powei
iequiiements, cooling coil loads, and ieheat coil loads. The level of impact depends on the leakage iate,
fan type, fan contiol, and system type. Typical leakage levels have been measuied by the Floiida Solai
Eneigy Centei (FSEC) foi iesidential and small commeicial buildings. Foi iesidential duct systems, leaks
aie 10-20% of fan ow on each side of the fan. Foi light commeicial buildings, feld studies suggest that
duct leakage is actually highei than that found in iesidences - the aveiage leakage in the supply ducts
being ovei 20% of fan ow. Lawience Beikeley National Laboiatoiy (LBNL) has peifoimed limited
measuiements of duct leakage in laige commeicial buildings. The peifoimance data aie inconclusive,
but it is cleai that some fiaction of these buildings have signifcant (i.e., >10%) duct leakage. Even moie
uncleai foi this class of buildings is the impact of duct leakage on eneigy use. Some analyses of this
question have been published; howevei, because the inteiactions between diffeient factois aie so complex,
consensus on the appiopiiate analysis pioceduie has not been ieached. Neveitheless, a conseivative

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evaluation of the cost effectiveness of duct sealing in laige commeicial buildings waiiants sealing ducts
in most locations analyzed.
The functional foim usually used to desciibe the ielationship between the piessuie in a duct and the
ow thiough the leaks in that duct is as follows:
wheie the piessuie diffeiential is the diffeience between the piessuie in the ducts and the piessuie of the
space suiiounding the ducts. When testing ducts foi leakage, a known measuied piessuie diffeiential is
applied, and the ow iequiied to maintain that piessuie diffeiential is deteimined by using a calibiated
fan. By using seveial data points foi and , one can solve foi
and . Foi leaks that look like

oiifces (e.g., holes), is 0.5, wheieas, foi leaks with some length (lap joints between duct sections) is
appioximately 0.6 to 0.65.
-
Duct heat gains and losses can be signifcant, paiticulaily foi single-stoiy buildings with ducts located
outside the conditioned building space. Insulating ducts ieduces unwanted heat tiansfei, condensation
on cold suifaces, and noise. Duct heat gains and losses must be deteimined to size distiibution system
fans and cooling coils. Methods foi estimating duct heat tiansfei based on enteiing aii tempeiatuie,
exiting aii tempeiatuie, and suiiounding aii tempeiatuie aie outlined in Chaptei 2.1 of this handbook.
The duct heat tiansfei coeffcient is piedominantly a function of duct constiuction, duct insulation
level, and duct aii ow iate. Foi example, expeiimental measuiements of duct heat tiansfei coeffcients
foi a 10-in squaie metal duct with 2-in
3
/4 lb/ft
3
faced fbious glass iange fiom 0.134 to 0.148 Btu/(hi
ft
2
F) foi duct velocities ianging fiom 780 to 3060 feet pei minute. Foi a 10 in iound duct with the same
insulation and velocity iange, the duct heat tiansfei coeffcients iange fiom 0.157 to 0.163 Btu/(hi ft
2
F)
(Lauviay, 1978).
- -
The piimaiy concein of the designei is that the desiied amount of aii be deliveied to the zones. Othei
impoitant consideiations that must be accounted foi in the duct system design include
Available space foi installation and access
Meeting noise ciiteiia
Aii leakage iates to oi fiom the ducting
Heat gain oi loss
Testing and balancing
Smoke and fie contiol
Fiist costs veisus opeiating costs
- -
Duct design methods aie used to deteimine the size of main and bianch duct sections. Seveial methods
have been developed foi achieving acceptable designs that balance capital and opeiating costs. While in
many systems, the piessuie diop of the duct is only a small fiaction of the total system piessuie diop, it
is impoitant to accuiately estimate duct losses so that ow will be piopeily balanced among zones and
iooms seived by an AHU.
Theie aie seveial duct design methods, including (1) equal fiiction, (2) static iegain, (3) velocity
ieduction, and (4) the T-method. The two most common of the foui, equal fiiction and static iegain,
aie discussed below in detail. In geneial, the appioach of each of the foui methods is as follows.
In the method, the goal is to maintain the same piessuie giadient thioughout the system.
leak
Duct to Space
=

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In the - method, the duct sections aie sized so that the fiiction losses aie offset by conveiting
available velocity piessuie to static piessuie at junctions.
In the , specifc duct velocities (which dictate duct size) aie specifed and
designed foi vaiious paits of the system.
The is an optimization pioceduie foi evaluating the economic tiade-off between duct size
(capital cost) and fan eneigy (opeiating cost).
No mattei the methodology used foi duct sizing, it is best to cieate a design that deliveis the piopei
amount of aii to each space with little need foi thiottling thiough the use of balance dampeis. If a balance
dampei must be signifcantly closed duiing TAB, it is often an indication that the ducting has not been
designed oi constiucted caiefully.

The most common manual method foi duct design is the equal fiiction method, in which all duct sections
aie sized to maintain an equal piessuie giadient in the system (thus the teim ). The method
is noimally applied to low piessuie/low velocity systems. The giadient commonly chosen is 0.1 in watei
gauge of piessuie diop pei 100 ft duct length. With this method, bianch ducts of diffeient lengths will
not be balanced. Achieving a balanced system to ensuie appiopiiate zone ow iates ielies on the piopei
adjustment of the balance dampeis in the zone boxes.

The static iegain method is the most commonly used computeiized method foi duct sizing. When
piecisely applied, the static iegain method iesults in a system that is self-balancing. The method is based
on the iequiiement that the static piessuie losses occuiiing in a duct section aie iegained by a deciease
in velocity piessuie in the following section. Velocity piessuie decieases thiough a deciease in velocity.
A deciease in velocity occuis thiough an inciease in duct size. This design appioach iesults in each duct
section having neaily the same static piessuie, theieby cieating a system that is self balancing.
-
While the equal fiiction method can be completed by hand calculations, the static iegain method iequiies
a computeiized analysis. Both methods aie available in computeiized foim fiom majoi HVAC equipment
manufactuieis. Although the static iegain method is complicated and iequiies seveial calculation iteia-
tions, in computeiized foim it is as stiaightfoiwaid as the equal fiiction method.
-
Teiminal units (also known as teiminal boxes") ieceive conditioned aii fiom a cential aii handling unit
and vaiy the volume and/oi tempeiatuie of the aii deliveied to the conditioned space to maintain the
zone setpoint. A single teiminal box seives one theimal zone. Each box may distiibute aii to seveial zone
supply diffuseis. Aii distiibution systems can be distinguished by theii teiminal type, and the basic contiol
of a cential aii handling system is dependent on the teiminal type associated with the unit. Teiminal
unit types aie desciibed below.
-
Constant volume ieheat teiminal units aie simply ieheat coils located in the supply ducts neai the zones
seived. A constant volume of supply aii fiom the cential aii handling unit ows thiough the ieheat coil
and into the zone. If the supply aii is too cold to maintain the zone setpoint tempeiatuie, the ieheat coil,
which usually uses electiicity oi hot watei as its heat souice, will modulate to ieheat the supply aii,
theieby maintaining the zone setpoint. Because constant volume ieheat systems often opeiate in a mode
wheie the aii is cooled by a vapoi compiession cycle, only to be ieheated at the teiminal units, they tend
to use a laige amount of eneigy when compaied to othei system types.

Vaiiable volume (VAV) teiminal units without ieheat aie common. The teiminals consist of a modulating
dampei that changes the quantity of aii into the space in iesponse to a zone theimostat to maintain the zone

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setpoint tempeiatuie. Often, vaiiable volume teiminal units will have a minimum dampei position oi volume
to assuie that adequate aii ventilation and ciiculation occuis in the space. In such units, oveicooling can
occui since no piovision is made foi the tempeiing of the supply aii when zone cooling loads aie small.

Vaiiable volume (VAV) teiminal units with ieheat have an aii dampei that modulates the quantity of
supply aii fiom the cential aii handlei in iesponse to the zone theimostat. Additionally, a ieheat coil is
piovided to tempei the supply aii when theie is no zone cooling load, oi if heat is iequiied in the space.
Sometimes, the vaiiable volume box and the ieheat coil aie sepaiated in a zone. In this case, the system
is composed of standaid vaiiable volume teiminal units (without ieheat) and zone baseboaid heating
coils. The coils add heat to the ioom duiing low cooling loads oi when the zone iequiies heating.
Figuie 4.3.17 shows a schematic diawing of a VAV teiminal unit with a ieheat coil. In most cases, the
units aie contiolled as shown on the iight side of the fguie. Specifcally, when theie is a call foi heat, as
shown on the x-axis, the VAV dampei will be closed to its minimum position, and the ieheat coil will
be in full heating mode. As the call foi heat decieases, the contiollei will begin to ieduce the output to
the heating coil until the heating coil is fully off, while the piimaiy aii dampei iemains at its minimum
position. On a call foi cooling, the heating coil will iemain off, and the piimaiy aii dampei will modulate
open until the box goes to maximum cooling.
-
Dual duct constant volume teiminal units aie seived with waim and cool piimaiy aii fiom the cential
aii handling unit (Figuie 4.3.18). The teiminal unit blends these two aii stieams to pioduce the necessaiy
supply aii tempeiatuie to maintain zone setpoint. The teiminal unit contains a dampei, oi set of dampeis,
that vaiies the peicentage of cool and waim aii, but not total volume, supplied to the zone to maintain
the zone setpoint tempeiatuie. Like theii constant volume ieheat teiminal unit counteipaits, these units
can use a gieat deal of eneigy because the supply aii stieams aie heated in the hot deck and cooled in
the cold deck, only to be blended to some inteimediate tempeiatuie to satisfy the zone loads.
Vaiiable aii volume teiminal unit with ieheat.
Call for heat
Min
Call for cooling
CONTROL SCHEMATC
Max
Dead
band
Heating range Cooling range
R
C
NLET
Air damper
Reheat coil
VAV REHEAT TERMNAL UNT

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Like the dual duct constant volume units, dual duct vaiiable volume teiminals aie seived by both waim
and cool aii. Unlike the constant volume units, the vaiiable volume units vaiy both the peicentage and
the total volume of aii into the space to maintain the zone tempeiatuie setpoint.
-
Two piimaiy teiminal units types, single duct and dual duct, aie outlined above. Vaiiations and enhance-
ments on these teiminal units aie desciibed below.
- O A VAV induction system has a teiminal unit that blends piimaiy aii fiom
the cential unit with ieciiculated (secondaiy) ietuin aii fiom the zone. The highei volume of blended
aii is then intioduced to the space via the supply diffuseis. The incieased aii ow is advantageous to
inciease the mixing of aii in the space.
Dual duct teiminal unit.
Induction teiminal unit.
Call for heat Call for cooling
CONTROL SCHEMATC
Min
Max cool
Cold Deck
Air Volume
Hot Deck
Air Volume
Max heat
DM F
COOLNG
NLET
HEATNG
NLET
DM F
VAV DUAL DUCT TERMNAL UNT
Flow Sensor
Damper
Motor

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Induction boxes, in geneial, iequiie a highei supply duct static piessuie than othei teiminal unit types
in oidei to induce the secondaiy aii ow and opeiate piopeily. Foi this ieason, opeiating costs using
induction VAV boxes aie usually highei. Figuie 4.3.19 illustiates an induction teiminal unit.
- O Secondaiy aii may also be intioduced to the teiminal boxes with a
teiminal unit. In these units, the fan diaws aii fiom the plenum oi zone. The
induction fan may be installed in a paiallel oi seiies aiiangement (Figuies 4.3.20 and 4.3.21) with the
piimaiy aii ow. In seiies, it opeiates continuously and piovides a constant aii ow to the zone. In
paiallel, it opeiates inteimittently to induce the secondaiy aii ow as needed to meet heating demand.
Because fan-poweied teiminal units have a local fan, the piessuie iequiiements aie lowei than othei
teiminal types, which can ieduce the load on the main aii handling unit fan. Howevei, since each of the
teiminal unit fans iequiie eneigy, the oveiall eneigy use of a system with fan-poweied teiminals is often
gieatei than systems that have teiminals not fan-poweied.
Induction units and fan-poweied boxes aie often used in VAV systems since they allow highei zone
aii ow iates with a negligible inciease in coil loads. A highei ow iate into the zone ensuies highei aii
velocities and gieatei occupant comfoit.
-- - O Smallei cential aii handling units (geneially below 20 tons of cooling capacity)
used in VAV applications usually do not include piovisions foi the modulation of the piimaiy aii volume.
In these situations, a bypass teiminal unit (Figuie 4.3.22) is sometimes used. Bypass units ieceive a
constant volume of aii fiom the cential aii handling unit but supply a vaiiable aii volume to the zone
as needed to maintain setpoint. The iemaindei of the piimaiy aii is diveited, via a modulating dampei,
to a ietuin aii plenum oi duct.
These units can be moie effcient than constant volume units since the need to ieheat this aii is avoided.
Because the supply aii ow is constant, this is not a tiue VAV system; hence supply aii tempeiatuie ieset is
Paiallel fan-poweied teiminal unit.
Seiies fan-poweied teiminal unit.

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often used to pievent a high peicentage of the supply aii fiom bypassing the space and ieducing aii
ciiculation and occupant comfoit.
--
This section desciibes the equipment and design fundamentals foi supply-aii outlets and ietuin-aii and
exhaust-aii inlets of aii distiibution systems. Just befoie enteiing oi exiting a conditioned building space,
conditioned aii passes thiough a -, -, oi . These devices aie not inteichangeable since
each vaiies in the way it tiansitions aii to oi fiom the conditioned space. Diffuseis aie designed to entiain
ioom aii with high velocity supply aii to induce ioom aii ciiculation. Registeis have slotted oi peifoiated
openings and aie equipped with a dampei to piovide diiection oi volume contiol of supply aii. Giilles
aie iegisteis without dampeis and do not piovide any mixing oi ow contiol. Geneially, supply aii is
pushed thiough diffuseis and ietuin aii is pulled thiough giilles. A typical example of each type of device
is piesented in Figuie 4.3.23.
--
Diffuseis aie installed at supply-aii outlets and come in a vaiiety of confguiations, including squaie,
ciiculai, and slot. Geneially, squaie and ciiculai ceiling- mounted diffuseis consist of a seiies of concentiic
iings oi louveis. These diffuseis dischaige aii iadially in all diiections. A slot diffusei is an elongated
outlet with an aspect iatio of 25:1 oi gieatei and a maximum height of appioximately 3 in (SMACNA,
ASHRAE 1988). Figuie 4.3.24 shows a slot diffusei in a ceiling mount.
Diffuseis aie impoitant foi maintaining a safe and comfoitable indooi enviionment. They piomote
piopei mixing of the supply aii with the ioom aii. Geneially, conditioned aii is supplied to the outlet at
velocities highei and tempeiatuies lowei than those acceptable in the occupied zone. Supply-aii outlet
diffuseis slow and tempei the supply aii by entiaining ioom aii into the piimaiy aii stieam. The
of secondaiy aii iesults in a suiface oi , illustiated in Figuie 4.3.25.
The suiface effect is caused by the piimaiy aii stieam moving adjacent to a ceiling oi wall, cieating a
low piessuie aiea adjacent to the suiface, and causing the aii stieam to ow paiallel to the suiface
thioughout the length of thiow. This effect inhibits the hoiizontal diop of the cold, piimaiy aii stieam.
Diffuseis which iesult in laigei aieas of suiface spiead tend to have a laigei suiface effect. The suiface
effect peimits the tempeiatuie diffeientials between the piimaiy and secondaiy aii to be laige while still
maintaining occupant comfoit.
Bypass teiminal unit.
A squaie ceiling-mounted diffusei, a iegistei, and a giille (couitesy of Caines Company, Inc.).

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-
The geneial pioceduie foi selecting and locating supply-aii outlet devices can be summaiized as follows.
1. Calculate zone supply aii ow iate fiom design load calculations.
2. Select type and quantity of ioom outlets by evaluating outlet aii ow iate, outlet ow pattein,
and building stiuctuial chaiacteiistics.
3. Locate outlets to piovide unifoim ioom tempeiatuie thiough use of a unifoim distiibution pattein
with modifcations due to high gain oi loss paits of a zone, e.g., windows.
4. Select piopei outlet size fiom manufactuiei`s liteiatuie, based on outlet aii ow, dischaige velocity
and thiow, distiibution pattein, piessuie loss, and sound level iequiiements.
Ceiling-mounted slot diffusei (couitesy of Caines Company, Inc.).
Coanda effect of supply aii diffusei (couitesy of E-souice, Bouldei, CO).

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Piopei selection and spacing of supply-aii outlet devices will ieduce the occuiience of excess uctu-
ation of conditions and maintain comfoit within the ioom. The physiological effect of tempeiatuie,
humidity, and aii motion on the human body is measuied in teims of the .
The peicent of locations in a ioom wheie the effective diaft tempeiatuie is within the comfoit iange is
defned as the aii diffusion peifoimance index (ADPI). A highei ADPI means moie desiiable conditions
aie achieved. To simplify diffusei specifcation and completing step 4 above, guidelines have been devel-
oped foi selecting supply-aii outlets based on maximizing ADPI in the building zone.
An undeistanding of seveial teims is iequiied to apply the guidelines. The diffusei is the
maximum distance fiom the outlet device to a point in the aii stieam wheie the velocity in the stieam
cioss-section equals a specifed teiminal velocity. is the hoiizontal distance fiom the
diffusei. is the hoiizontal plus veitical distance fiom the diffusei mounted in the sill oi ooi.
The is the veitical distance fiom the diffusei.
Foi most devices the , V
t
, foi which the thiow is defned is specifed as 50 fpm. Foi
ceiling slot-diffuseis the value has been set at 100 fpm. The thiow distance foi a paiticulai teiminal
velocity is denoted as T
v
.

The subsciipt iefeis to the teiminal velocity foi which it is defned, such as T
50
.
The thiow of the device is impacted by the ow iate thiough the device and its neck aiea. The piessuie
diop of the device is also impacted by these two paiameteis. Table 4.3.3 piesents sample catalog data foi
a ceiling-mounted slot diffusei similai to the one depicted in Figuie 4.3.24. The neck dimensions aie
listed as diametei inches. Flow iate is piesented in teims of active diffusei length. The total piessuie is
the static and velocity piessuie diop thiough the device. Sidewall and sill thiow minimum and maximum
values aie based on T
100
and T
50
, iespectively.
In selecting and spacing diffuseis, the thiow is compaied to the - , L, the
distance fiom the outlet device in the piincipal hoiizontal diiection of the aii ow to the neaiest boundaiy
wall oi inteisecting aii jet. Defnitions of chaiacteiistic ioom length foi seveial diffusei types aie listed
in Table 4.3.4.
-
Table 4.3.5 iecommendations foi T
v
/L values foi ioom loads ianging fiom 20-80 Btu/h ft
2
foi seveial
types of supply-aii outlets. Recommended values aie given foi meeting a maximum ADPI. Also, a iange
of T
v
/L values is listed that meet a minimum ADPI. To use the selection guidelines, the ioom dimensions,
load, and aii volume iequiiements must be known. With this infoimation available, pioceed as follows.
Sidewall, Sill Thiow, and Total Piessuie foi a Slot Diffusei
CFM/FT Neck Size 2.0 in 2.5 in 3.0 in 4.0 in 5.0 in 6.0 in 8.0 in 10.0 in 12.0 in
100 Total Piessuie (iwg) .19 .081 .063 .032 .020 .013
Sidewall Thiow (ft.) 20-27 18-26 17-24 15-23 13-22 11-19
Sill Thiow (ft.) 18-22 16-20 15-18 12-15 9-13 7-10
200 Total Piessuie (iwg) .25 .13 .080 .052 .026 .017 .012
Sidewall Thiow (ft.) 30-40 27-38 25-36 23-33 20-29 16-25 14-21
Sill Thiow (ft.) 25-32 23-28 20-24 17-22 15-19 13-17 11-14
Chaiacteiistic Room Length Defnitions
Diffusei Type Chaiacteiistic Length (L)
High sidewall giille Distance to wall peipendiculai to jet
Ciiculai ceiling diffusei
Ceiling slot diffusei
Peifoiated, louveied ceiling diffusei
Distance to closest wall oi inteisecting jet
Sill giille Length of ioom in diiection of jet ow
Light tioffei diffusei Distance to midplane between outlets plus distance fiom ceiling to occupied zone

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1. Make a pieliminaiy selection of outlet type, numbei, and location.
2. Deteimine ioom chaiacteiistic length, L.
3. Select the iecommended T
v
/L iatio fiom the table.
4. Calculate the thiow distance, T
v
.
5. Select the appiopiiate supply outlet size fiom manufactuiei`s liteiatuie.
6. Veiify that selection meets othei design ciiteiia foi noise and piessuie diop.
- -
Giilles aie located at ietuin-aii oi exhaust-aii inlets and consist of a fiamed set of veitical oi hoiizontal
vanes. The vanes contiol the aii ow in the veitical oi hoiizontal plane and may be fxed oi adjustable.
They ietuin aii to the cential system oi exhaust aii to the outside. They ensuie piopei, uniestiicted aii
ow in the space and maintenance of building piessuie. Retuin-aii inlets may be connected to a duct oi
to anothei space (often the plenum above the conditioned space). Exhaust-aii inlets iemove aii diiectly
fiom the building and aie always ducted.
In geneial, the same type of equipment used foi outlets can be used foi inlets. Howevei ow outlets
iequiie accessoiy devices to deect, equalize, and tuin the aii stieam fiom the duct appioach to pioduce
a unifoim aii ow into the outlet device. Foi the ietuin aii, these accessoiies aie not iequiied, but ietuin-
aii bianch ducts should be equipped with volume dampeis to balance the aii ow. In some applications,
ADPI Selection Guide
Teiminal
Device
Room Load,
Btu/(h ft
2
)
50
/ foi
Max. ADPI
Maximum
ADPI
Foi ADPI
Gieatei
Than
Range of
0.25
/
High 80 1.8 68 - -
sidewall 60 1.8 72 70 1.5-2.2
giilles 40 1.6 78 70 1.2-2.3
20 1.5 85 80 1.0-1.9
Ciiculai 80 0.8 76 70 0.7-1.3
ceiling 60 0.8 83 80 0.7-1.2
diffuseis 40 0.8 88 80 0.5-1.5
20 0.8 93 90 0.7-1.3
Sill giille 80 1.7 61 60 1.5-1.7
stiaight 60 1.7 72 70 1.4-1.7
vanes 40 1.3 86 80 1.2-1.8
20 0.9 95 90 0.8-1.3
Sill giille 80 0.7 94 90 0.8-1.5
spiead 60 0.7 94 80 0.6-1.7
vanes 40 0.7 94 - -
20 0.7 94 - -
Ceiling 80 0.3
85 80 0.3-0.7
slot diffuseis 60 0.3
88 80 0.3-0.8
(foi
100
/) 40 0.3
91 80 0.3-1.1
20 0.3
92 80 0.3-1.5
Light 60 2.5 86 80 <3.8
tioffei 40 1.0 92 90 <3.0
diffuseis 20 1.0 95 90 <4.5
Peifoiated and
louveied ceiling
diffuseis
11-51 2.0 96 90
80
1.4-2.7
1.0-3.4
ASHRAE (2001).
The column value is actual
.

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exhaust intakes aie designed and positioned to iemove contaminants oi heat diiectly fiom the souice.
Some examples of such applications include laboiatoiy fume hoods and kitchen exhaust canopies.
The majoi concein with ietuin and exhaust inlet devices is that theie be a suffcient numbei of inlets
to maintain inlet velocities within the iecommended iange. In geneial, ietuin- and exhaust-aii diffuseis
do not affect the aii patteins in the space. Howevei, do not mount ietuin-aii inlets close to supply-aii
outlets oi ow shoit-ciicuiting will occui.
The location of the ietuin and exhaust inlets can help inciease HVAC effciency. Foi HVAC systems
piedominately opeiating in the cooling mode, impioved peifoimance is achieved when heat is iemoved
at the souice iathei than having it distiibuted thiough the space. Due to the natuie of some loads, such
as solai, it may be diffcult to iemove them at the souice. Foi lighting loads, mounting ietuin-aii inlets
neai ceiling-mounted fxtuies keeps the heat fiom dispeising into the space.
-
The geneial pioceduie foi selecting and locating inlet devices is as follows.
1. Calculate ioom ietuin- and exhaust-aii ow iates fiom design load calculations.
2. Select type and quantity of ioom inlets by evaluating inlet aii ow iate, inlet velocity, piessuie
loss, and sound level.
3. Locate inlets to enhance ioom aii ciiculation and iemoval of undesiiable loads and contaminants.
4. Select piopei inlet size fiom manufactuiei`s liteiatuie based on inlet aiiow, inlet velocity, piessuie
diop, and sound level.
-
Aii handling systems aie sized to meet the design peak capacity. Since the design capacity is needed
duiing only a veiy small peicentage of the yeai, it is necessaiy to ieduce system capacity to meet the
paiticulai setpoints when opeiating at conditions less than full system capacity. Contiol systems as applied
to aii handling systems function to ieduce system capacity and meet off-peak loads.
Typically, mechanical designeis piovide a sequence of opeiations in the design documents that outline
how the system is supposed to function. The sequence of opeiation is used as a basis foi the selection
and application of contiol systems to aii handling systems. Once the systems aie installed and commis-
sioned, the duty of system opeiation and maintenance falls upon the building opeiatoi.
This section lists the types of contiol systems noimally found in aii handling units and discusses aii
handlei sequences of opeiation and the contiol philosophies noimally used in contiolling commonly
used aii system components and aiiangements.
- -
Theie aie thiee basic types of contiol systems:
- systems that use aii piessuie foi sensing system states, such as tempeiatuie,
and foi contiolling and actuating devices such as valves and dampeis.
- systems that use electiic volts oi cuiient foi system sensing and actuation.
O systems that use volts oi cuiient foi system sensing and actuation and digital
systems foi system piogiamming, sensing, and actuation.
Regaidless of the specifc type of contiol system used foi a paiticulai system, the system is designed
to meet the iequiiements of the sequence of opeiations.
- --
Following is an outline of the philosophies used in contiol of aii handling system components.
The fans in CAV systems may opeiate oi -. With inteimittent fan opeiation
oi cycling, the system fans iun only as needed to meet zone loads. Inteimittent opeiation is commonly
found in iesidential buildings and small commeicial buildings. In continuous fan opeiation, aii is

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continuously piovided to the zones duiing occupied houis. This type of opeiation impioves indooi aii
quality since outdooi ventilation aii is constantly supplied. Continuous fan opeiation is ubiquitous in
commeicial buildings and may be mandatoiy by code to meet ventilation and othei iequiiements.
Aii handling systems used foi comfoit contiol aie often shut off duiing unoccupied peiiods to conseive
eneigy and to ieduce system weai due to long iun houis. Stait/stop contiol of such systems can be
accomplished thiough the use of time clocks. Clocks can be of the 24-houi, 7-day type, oi, in the case
of digital oi othei electionic contiol systems, be piogiammed to stait oi stop a system at any time duiing
an entiie yeai.
When a system is commanded into stop mode, it is always impoitant to piotect against potential system
damage, such as the fieezing of coils. To avoid such situations, outside aii dampeis will noimally be
commanded to theii fully closed positions, and othei steps will be taken to guaid against fieezing, such as
the opening of hot watei coil valves when sensed tempeiatuies in ciitical aieas aie too close to fieezing.
-
- -, so called to diffeientiate them fiom othei types of economizeis such as wateiside
economizeis, noimally consist of a set of dampeis that woik togethei to blend ietuin and outside aii to
maintain a mixed oi supply aii, oi space setpoint. Figuie 4.3.26 shows a typical aiiside economizei contiol
setup.
In this system the contiollei piovides an output signal to modulate the ietuin and outside aii dampeis
to maintain the mixed aii tempeiatuie at setpoint. Often, an economizei will be designed so that it
maintains a supply-aii setpoint. Use of the mixed-aii contiol point, howevei, can be advantageous since
it can ieduce system hunting and stability pioblems due to the mass of the heating and cooling coils.
The use of tempeiatuie as the contiolled vaiiable iesults in a . Anothei commonly
used economizei scheme is the which is used to maximize the amount of fiee cooling
by using the aii stieam (ietuin oi outside aii) that has the lowest enthalpy. Enthalpy economizeis can
be diffcult to contiol and maintain since they iely on accuiate deteimination of aii humidity, a notoii-
ously pioblematic state to measuie.

The contiol of ventilation iates is impoitant foi maintaining acceptable indooi aii quality while main-
taining effcient opeiation. The maintenance of the minimum ventilation iate is often accomplished
thiough the use of a ventilation dampei that is fully open when the system is on, and is fully closed when
the system is off. Such a minimum outside aii dampei is paiticulaily effective in a CAV system, wheie
the system can be balanced duiing system staitup to ensuie that a specifed quantity of outside aii is
always intioduced into the supply aii stieam.
AHU contiol schematic.

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In VAV systems, wheie the ow of supply aii is not constant, maintenance of a specifed quantity of
outside aii is moie diffcult. Seveial methods to maintain constant ventilation iates while the supply aii
iate modulates have been used, with vaiying degiees of success. Some of the methods include
Supply aii/ietuin aii fan tiacking, wheie the ietuin-aii fan is contiolled to move slightly less aii
than the supply fan, theieby, at least in theoiy, ensuiing a ceitain quantity of ventilation aii.
Use of mixed aii, ietuin aii, and outside aii tempeiatuie sensois to calculate the fiaction of outside
aii enteiing the supply fan based on fist law mixing equations.
Use of 100% outside aii fans (injection fans) to positively delivei a constant quantity of ventilation
aii into the mixing box. This method woiks well at the cost of added capital equipment expendi-
tuies.
Use of diffeiential piessuie sensois, situated acioss a fxed oiifce. In this confguiation, a negative
piessuie with iespect to the outside is maintained in the mixing box, and the outside aii dampei
is modulated to maintain a constant piessuie acioss the fxed oiifce.
Use of CO
2
monitois in the conditioned space oi ietuin aii ducting to maintain the CO
2
concen-
tiations at acceptable levels.
-
In CAV systems, fans opeiate at a constant speed to piovide a constant volume of aii to and fiom the
conditioned space. In this case, the supply and ietuin fans aie balanced duiing system commissioning
to maintain the constant ow iates. The only contiol, then, of the fans is stait/stop contiol.
In VAV systems, the supply and usually ietuin fans aie modulated using vaiiable inlet vanes oi vaiiable
speed diives to vaiy the aii ow to the iequiied iate. In neaily all cases, the supply fan is modulated to
maintain a duct static piessuie setpoint at some location in the supply aii ducting. As the associated VAV
teiminal boxes modulate open to piovide moie cooling to the spaces, the piessuie in the supply aii
ducting will deciease. In iesponse to the decieased duct piessuie, the contiol system will inciease the aii
ow into the ducting to maintain the piessuie setpoint. Conveisely, as the associated VAV boxes close to
ieduce cooling to the spaces, the duct piessuie will tend to inciease, causing the contiol system to ieduce
the aii ow iate to maintain the static piessuie setpoint.
-
The coils in the aii handling units aie modulated to maintain tempeiatuie and, in some cases, humidity
setpoints. Foi aii handleis that seive multiple spaces, the most common appioach is to modulate the
coil capacity to maintain a supply-aii tempeiatuie setpoint. The contiollei modulates a contiol valve
in the case of steam, hot watei, and chilled watei cooling coils. The contiollei modulates oi stages the
souice in systems with vapoi-compiession aii conditioning, a fuinace, oi electiic iesistance heating
coils. Figuie 4.3.26 shows a contiol schematic foi the maintenance of a supply-aii setpoint in a cential
aii handling unit with hot watei heating coils and chilled watei cooling coils. As shown in the fguie,
the contiollei ieceives a signal of the supply aii tempeiatuie, compaies it to the setpoint value, and
sends the appiopiiate signal to adjust the coil valve position.
-
VAV teiminal units modulate the supply aii volume, the supply aii tempeiatuie, oi both, deliveied to
the conditioned space to maintain the space setpoint tempeiatuie. Two basic types of local contiol loops
aie commonly used on VAV teiminal units. One type iesults in -- opeiation, and the
othei iesults in -- opeiation.
Teiminal units wheie the space theimostat contiols the piimaiy dampei diiectly, as shown in
Figuie 4.3.27, aie piessuie dependent In the fguie,
is the actual zone tempeiatuie, - is the

desiied zone tempeiatuie, is the local contiollei, and is the aii dampei motoi. In this aiiangement,
the contiollei output diiectly opeiates the aii dampei actuatoi. Piessuie dependent boxes aie so called
because the ow iate of the piimaiy aii thiough the teiminal depends on the static aii piessuie at the
inlet of the unit and the piimaiy aii dampei position.

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Piessuie dependent VAV teiminal units aie usually less expensive than piessuie independent teiminal
units because they have simplei contiol systems and monitoiing equipment.
To achieve piessuie independence, the contiol system is aiianged in a mastei/slave confguiation, as
shown in Figuie 4.3.28, wheie:
is the zone tempeiatuie

is the desiied zone tempeiatuie
1
is the mastei contiollei that iesets the ow iate setpoint
is the measuied aii ow of the piimaiy aii stieam
2
is the slave contiollei modulating to maintain the setpoint ow iate fiom C
1
is the piimaiy aii dampei position
The mastei-slave contiol system aiiangement iesults in piessuie independence because the ow iate
into the zone is diiectly contiolled with the slave contiollei, so it is not a function of the piessuie at the
inlet of the teiminal unit. Piessuie independent teiminal units aie moie stable undei vaiying piessuie
conditions but aie moie expensive to puichase and maintain because of the need foi a ow measuiement
device (F) and a second contiollei.
- --
Using the fundamental contiol schemes outlined above, a sequence of contiol opeiations that goveins
the contiol of the entiie aii handling system can be developed. The sequence of opeiation desciibes the
method of contiol, contiol points, contiol ciicuits, contiol sequence, contiol featuies, and opeiation.
Specifc pioceduies foi the following opeiations aie geneially included:
Stait-up
Fan-speed contiol
Supply- and mixed-aii tempeiatuie contiol
Room-aii tempeiatuie contiol
Equipment safety inteilocks
The stait-up desciibes the manual and automatic methods to stait the system fans and the sequence
of contiol contacts used to powei othei system components. Fan speed is actively contiolled in VAV
systems. Thus, the sequence of opeiation foi VAV systems includes a section on fan speed contiol.
Equipment safety inteilocks include safety switches, limit switches, and smoke detection. A sequence of
opeiation foi a numbei of diffeient HVAC systems is piesented in Appendix G of --
- (ASHRAE 1993).
Piessuie dependent teiminal box local contiol system aiiangement.
Piessuie independent teiminal unit contiol system aiiangement.

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- -
The pievious sections of this chaptei outline the vaiious components found in typical aii systems.
Selection of each component and integiating it into a woiking system that satisfes all design iequiiements
and paiameteis is the designei`s task. Following is a step-by-step piocess that can be used in system design.
B -- - - -
Foi geneial HVAC systems, the iequiiements include the following items:
Inside aii tempeiatuie and humidity based on comfoit iequiiements as outlined in ASHRAE
Standaid 55 - - (ASHRAE 1992a).
Design values foi outside aii tempeiatuie and humidity.
Design sensible and latent loads foi each conditioned zone as deteimined fiom the building load
analysis.
Ventilation iequiiements as outlined in ASHRAE Standaid 62.1 -
(ASHRAE 1989). Ventilation iequiiements aie usually diiven by ventilation standaids
foi the maintenance of indooi aii quality but may be based on piessuiization iequiiements, exhaust
makeup aii iequiiements, oi othei needs.
Noise ciiteiia.
Space and system confguiations iequiiements.
- - A -
A value of 55F is typical (lowei tempeiatuies usually iesult in moie effcient system opeiation and lowei
eneigy costs).
-- - -
Select numbei, spacing, and layout to piovide adequate ow, ventilation, and aii movement. In VAV
systems, be suie to considei both design conditions and low ow iates when selecting the diffuseis.
-
If designing a system that seives multiple zones, teiminal units should be selected so they supply the
design amount of aii at oi neai theii full open positions. Each unit should allow foi adequate tuin-down
foi off-peak conditions. To avoid ciiculation and ventilation pioblems, avoid sizing VAV teiminal units
to supply less than 0.6 CFM/ft
2
in the minimum dampei position.
-
Stait duct layout fiom the teiminal units to the diffuseis, then fiom the aii handling unit(s) to the
teiminal units. Be suie to considei duct aii leakage, heat loss, and noise in sizing the ducts. Piovide
adequate piovisions foi test and balance. Place fie and smoke dampeis wheie appiopiiate.
-
Select heating coils, cooling coils, humidifcation devices. The coils must be adequate to offset the
load aiising fiom the space, the outside ventilation aii, and the gains oi losses in the supply and
ietuin aii paths.
Size mixing box and dampeis. Include ietuin-aii dampeis, mixed-aii dampeis, outside-aii dampeis.
Dampeis must be sized to piovide good contiol of the aii stieams without causing too much
piessuie diop.
Select and aiiange fltiation systems foi the application.
Select the fans to offset the piessuie losses in each of the system components.

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Because of duct aii leakage, the amount of supply aii leaving the aii handlei will be less than the
amount of aii intioduced to the zones. This should be accounted foi in sizing the aii handling unit
components oi measuies should be taken to seal all duct ciicuits.

Be mindful of weight and cleaiances. Be suie to piovide access foi component ieplacement, maintenance,
and cleaning.
- -
- -B-
- --
Aftei an aii secondaiy system is designed and installed, it is paiticulaily impoitant that the system be
commissioned to ensuie its effective opeiation. Commissioning involves identifying building system
equipment, contiol, and opeiational pioblems and fxing them so that the building peifoims accoiding
to the design intent. To ensuie effcient system opeiation and long life, it is also impoitant that the system
opeiatois and seivice technicians be tiained to have a stiong fundamental undeistanding of the system
they aie chaiged with opeiating.
Commissioning is discussed in Chaptei 7.1.
B -
- : An aii system contiol option that maximizes the use of outdooi aii foi cooling.
The economizei consists of dampeis, tempeiatuie and humidity sensois, actuatois, and contiols.
: The diveision of an aii stieam fiom its noimal ow path due to its attachment to an
adjacent suiface (such as a ceiling oi wall). The effect iesults fiom a low piessuie iegion between
the uid and the suiface. In supply aii stieams, the effect pievents cold aii fiom diopping in a
naiiow column into the space.
- --: CAV systems supply a constant ow iate of aii when the fans aie on. Single
duct oi dual duct and single zone oi multiple zone systems may be constant volume systems. Single
duct CAV systems commonly include teiminal ieheat.
-: An aii distiibution system outlet compiised of deecting membeis designed to dischaige aii
in vaiious diiections and piomote mixing of piimaiy aii with secondaiy aii.
- -: The evapoiatoi coil in a iefiigeiation compiession cycle. The iefiigeiant,
the piimaiy woiking uid, absoibs heat fiom the secondaiy uid and changes phase fiom liquid
to gas.
: The veitical distance between the supply aii outlet and the lowei edge of a hoiizontally piojected
aii stieam at the end of its thiow.
--: One type of a categoiy of systems that supplies heating and cooling in sepaiate ducts
to multiple zones. In this type, the waim and cool aii stieams aie mixed close to the zone seived
as compaied to multizone systems that mix the two aii stieams close to the cential supply fan.
--: A measuie of heat exchangei effciency that equals the iatio of the actual amount of heat
tiansfeiied to the maximum heat tiansfei possible between the uid stieams. The theoietical
maximum is dependent on the uids` enteiing state (i.e., tempeiatuie) and heat capacity.
: The captuie of suiiounding aii (secondaiy aii) by the supply aii stieam (piimaiy aii) as
it is dischaiged fiom a zone diffusei.
: The adiabatic exchange of heat between an aii stieam and a wetted suiface oi watei
spiay. Sensitive cooling of the aii stieam occuis as it becomes satuiated and appioaches the wet-
bulb tempeiatuie. It is an effective cooling method foi diy climates.
: A louveied oi peifoiated device foi aii passage which can be located on the ceiling, wall, oi ooi.

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--: One type of a categoiy of systems that supplies heating and cooling in sepaiate ducts
to multiple zones. In this type, the waim and cool aii stieams aie mixed close to the cential supply
fan as compaied to dual duct systems that mix the two aii stieams close to the zone seived. This
system type is pooily named since many systems seive multizones although they aie not necessaiily
systems.
-- -: A type of VAV teiminal box wheie the space theimostat contiols
the box dampei position diiectly. Foi a given dampei position, the actual ow iate thiough the
box is system piessuie dependent.
-- -: A type of VAV teiminal box wheie the space theimostat and a
supply aii ow sensoi contiol the box dampei position. The ow sensoi compensates foi changes
in system piessuie making the box piessuie independent.
-: A giille equipped with a movable dampei to contiol the diiection of ow and/oi volume of ow.
- : The iatio of sensible cooling to total cooling in an aii coolei. The SHR
establishes a line of constant slope on a psychiometiic chait foi a giaphical solution to moist aii
cooling analysis.
- : An inciease in system piessuie diop iesulting fiom the ducting confguiation enteiing
and exiting the aii-handling unit fan. Abiupt duct tiansitions can iesult in unintentional aii twiiling
that negatively impacts fan peifoimance.
- : A giaphic piesentation showing the ielationship between aii ow iate and piessuie diop
foi a paiticulai system.
: Upon leaving a supply aii outlet, the distance the maximum velocity aii stieam tiavels befoie
being ieduced to a specifed teiminal velocity, usually defned as 50 oi 100 feet pei minute.
: The maximum velocity of an aii stieam leaving a supply aii outlet at the end of its thiow.
--- VAV systems modulate the ow of aii supplied to the zones. Single duct
oi multiple duct multiple zone systems may be VAV systems.
A building theimal space that has comfoit conditions contiolled by a single theimostat.
-
ACGIH. 1998. - . Ameiican Council of Govein-
mental Industiial Hygienists, Cincinnati, OH.
AMCA. 1990. - --. Aii Movement and Contiol Association Inteinational,
Ailington Heights, IL.
ASHRAE. 2001. - . Ameiican Society of Heating, Ventilation, and Aii-
ASHRAE. 1996. -- . Ameiican Society of Heating, Ventila-
tion, and Aii-Conditioning Engineeis, Atlanta, GA.
ASHRAE. 1992a. - . ANSI/ASHRAE 55-1992.
Ameiican Society of Heating, Ventilation, and Aii-Conditioning Engineeis, Atlanta, GA.
ASHRAE. 1992b. - - - - -
ANSI/ASHRAE 52.1-1992. Ameiican Society of Heating,
Ventilation, and Aii-Conditioning Engineeis, Atlanta, GA.
ASHRAE. 1989. . ANSI/ASHRAE 62-1989. Ameiican Society
of Heating, Ventilation, and Aii-Conditioning Engineeis, Atlanta, GA.
Lauiay, T. L. 1978. Expeiimental heat Tiansmission Coeffcients foi Opeiating Aii Duct Systems.
, pp. 68-73, June.
SMACNA. 1995. - -. Sheet Metal and Aii Conditioning Contiactois`
National Association, Chantilly, VA.
SMACNA. 1990. -- -. Sheet Metal and Aii Conditioning Contiactois` National
Association, Chantilly, VA.

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Infoimation iegaiding the design iequiiements of HVAC systems can be found in the following iesouices.
Foi comfoit, iefei to ASHRAE Standaid 55 - -
(ASHRAE 1992a). Foi design values of outdooi design conditions foi cities in the U.S. and woildwide,
iefei to values published in -, Chaptei 24 (ASHRAE 1997). Outdooi aii ventilation
iequiiements aie outlined in ASHRAE Standaid 62.1 -
(ASHRAE 1989). Foi a sample sequence of contiol opeiations wiitten foi seveial diffeient types of HVAC
systems, iefei to Appendix G of -- - (ASHRAE 1993).
- (ACGIH 1998) piovides an excellent iesouice
outlining the application of ventilation systems in industiial settings. -- -
(SMACNA 1990) and - - (SMACNA 1995) piovide detailed design
infoimation on duct constiuction, installation methods, design, and application foi all common systems
in use today.
--

This chaptei outlines some geneial concepts ielated to electiic systems foi HVAC applications in build-
ings. Fiist, a ieview of basic chaiacteiistics of an electiic system opeiating undei alteinating cuiient is
piovided. Then, electiic equipment commonly used in HVAC systems is desciibed. Finally, design
pioceduies foi electiical distiibution systems specifc to motois aie illustiated step-by-step with specifc
examples. Thioughout this chaptei, seveial measuies of impioving the eneigy effciency of electiical
systems aie piovided. Moieovei, simplifed calculation methods aie piesented to evaluate of the cost
effectiveness of the pioposed eneigy effciency measuies.
In most buildings and industiial facilities, electiic systems consume a signifcant pait of the total
eneigy use. Table 4.4.1 compaies electiicity consumption in thiee sectois (iesidential, commeicial, and
industiial) foi both the U.S. and Fiance, which is iepiesentative of most westein Euiopean countiies. It
is cleai that in the U.S. electiic eneigy is used moie signifcantly in commeicial and iesidential buildings
than in the industiial facilities wheie fossil fuels (such as coal, oil, and natuial gas) aie typically used.
Foi iesidential buildings, lighting and heating, ventilating, and aii conditioning (HVAC) each
account foi appioximately 20% of total U.S. electiicity use. Refiigeiatois iepiesent anothei impoitant
eneigy end-use in the iesidential sectoi with about 16% of electiicity. Foi the commeicial sectoi as a
whole, lighting accounts foi ovei 40% while HVAC accounts foi only 11% of the total electiicity use.
Howevei, foi commeicial buildings with space conditioning, HVAC is one of the majoi electiicity end-
uses and can be moie eneigy intensive than lighting. Moieovei, computeis and othei offce equipment
(such as piinteis, copieis, and facsimile machines) aie becoming an impoitant electiic eneigy end-
use in offce buildings.
To ensuie that all electiic equipment opeiate safely, it is impoitant to design a ieliable distiibution
system. In the U.S., the National Electiic Code (NEC) piovides specifc iequiiements foi a safe design
of electiical installations. Foi buildings, a typical electiical installation includes the following equipment:
A unit substation with a tiansfoimei to step down the voltage
A set of lighting panelboaids and motoi contiol centeis that house ciicuit bieakeis, fuses, discon-
nect switches, and oveiload loads
A set of wiiing distiibution systems including feedeis and bianch ciicuits consisting of electiical
conductois and conduits
To piopeily design an electiic installation, it is impoitant to fist estimate the load associated with all
the electiic utilization equipment, including lighting fxtuies, appliances, and motois.

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--
--
Foi a lineai electiical system subject to an alteinating cuiient (AC), the time vaiiation of the voltage and
cuiient can be iepiesented as a sine function:
()
cos (4.4.1)
()
cos( P ) (4.4.2)
wheie
V
m
and I
m
aie the maximum instantaneous values of voltage and cuiient, iespectively. These
maximum values aie ielated to the effective oi ioot mean squaie (ims) values as follow:
In the U.S., the values of V
ims
aie typically 120 V foi iesidential buildings oi plug-load in the com-
meicial buildings, 277 V foi lighting systems in commeicial buildings, and 480 V foi motoi loads in
commeicial and industiial buildings. Highei voltages can be used foi ceitain industiial applications.
is the angulai fiequency of the alteinating cuiient and is ielated to the fiequency as follows:
2
In the U.S., the fiequency is 60 Hz, that is 60 pulsations in one second. In othei countiies, the
fiequency of the alteinating cuiient is 50 Hz.
is the phase lag between the cuiient and the voltage. In this case, the electiical system is a iesistance
(such as incandescent lamp), the phase lag is zeio, and the cuiient is on phase with the voltage. If
the electiical system consists of a capacitance load (such as a capacitoi oi a synchionous motoi),
the phase lag is negative and the cuiient is in advance ielative to the voltage. Finally, when the
electiical system is dominated by an inductive load (such as a uoiescent fxtuie oi an induction
motoi), the phase lag is positive and the cuiient lags the voltage.
Figuie 4.4.1 illustiates the time vaiiation of the voltage foi a typical electiic system. The concept of
ioot mean squaie (also called effective value) foi the voltage, V
ims
, is also indicated in Figuie 4.4.1. It
should be noted that the cycle foi the voltage wavefoim iepeats itself eveiy 1/60 s (since the fiequency
is 60 Hz).
The instantaneous powei, (), consumed by the electiical system opeiated on one-phase AC powei
supply can be calculated using Ohm`s law:
() () ()
cos cos( - ) (4.4.3)

Peicentage Shaie of Electiicity in Total
Eneigy Use in Thiee Sectois foi U.S.
a
and Fiance
b
Sectoi U.S. Fiance
Residential buildings 61% 52%
Commeicial buildings 52% 68%
Industiial facilities 12% 52%
a
Offce of Technology Assessment (1995).
b
: Electiicit de Fiance (1997).
2 *
rms
1.41 *
-
= =
2 *
rms
1.41 *
-
= =

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The above equation can be ieaiianged using some basic tiigonometiy and the defnition of the ims
values foi voltage and cuiient:
()
-

-
(cos (1 - cos2 ) - sin sin2 ) (4.4.4)
Two types of powei can be intioduced as a function of the phase lag angle : the ieal powei P
R
and
the ieactive powei P
X
as defned below:

-

-
cos (4.4.5)

-

-
sin (4.4.6)
Note that both types of powei aie constant and aie not a function of time. To help undeistand the
meaning of each powei, it is useful to note that the aveiage of the instantaneous powei consumed by the
electiical system ovei one peiiod is equal to P
R
:
(4.4.7)
Theiefoie, P
R
is the actual powei consumed by the electiical system ovei its opeiation peiiod (which
consists typically of a laige numbei of peiiods T). P
R
is typically called ieal powei and is measuied in
kW. Meanwhile, P
X
is the powei iequiied to pioduce a magnetic feld to opeiate the electiical system
(such as induction motois) and is stoied and then ieleased; this powei is typically called ieactive powei
and is measuied in kVAR. A schematic is piovided in Figuie 4.4.2 to help illustiate the meaning of each
type of powei.
While the usei of the electiical system actually consumes only the ieal powei, the utility oi the electiicity
piovidei has to make available to the usei both the ieal and ieactive powei. The algebiaic sum of P
R
and
Illustiation of the voltage wavefoim and the concept of V
ims
.
Illustiation of the diiection of electiicity ow foi (a) ieal powei, and (b) ieactive powei.
v(t)
V
m
V
rms
t
1/60s
---
0
= =

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P
X
constitutes the total powei, P
T
. Theiefoie, the utility has to know, in addition to the ieal powei needed
by the customei, the magnitude of the ieactive powei, and thus the total powei.
As mentioned eailiei, foi a iesistive electiical system, the phase lag is zeio, and, thus, the ieactive powei
is also zeio (see Equation 4.4.6). Unfoitunately, foi commeicial buildings and industiial facilities, the
electiical systems aie not often iesistive and the ieactive powei can be signifcant. In fact, the highei the
phase lag angle , the moie impoitant the ieactive powei P
X
. To illustiate the impoitance of the ieactive
powei ielative to the ieal powei P
R
and the total powei P
T
consumed by the electiical system, a powei
tiiangle is used to iepiesent the powei ow, as shown in Figuie 4.4.3.

As mentioned in the pievious section, the ieactive powei must be supplied by the utility even though it
is not actually iegisteied by the powei metei (as ieal powei used). The magnitude of this ieactive powei
incieases as the powei factoi decieases. To account foi the loss of eneigy due to the ieactive powei, most
utilities have established iate stiuctuies that penalize any usei who has a low powei factoi. Theiefoie, a
signifcant savings in utility costs can be achieved by impioving the powei factoi. As illustiated in Figuie
4.4.4, this powei factoi impiovement can be obtained by adding a set of capacitois to the entiie electiical
system. The size of these capacitois, P
C
, is typically measuied in kVAR (the same unit as the ieactive
powei) and can be deteimined as indicated in Figuie 4.4.5 using the powei tiiangle analysis:
(tan
- tan
) (4.4.8)
Powei tiiangle foi an electiical system.
The addition of a capacitoi can impiove the powei factoi of an electiical system.
Effect of adding capacitois on the powei tiiangle of the electiical system.

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wheie,
P
Xe
and P
Xi
aie ieactive powei, iespectively, befoie ietioft (existing conditions) and aftei ietioft
(ietioftted conditions).
P
C
is the ieactive powei of the capacitoi to be added.
and
aie phase lag angle, iespectively, befoie ietioft (existing conditions) and aftei ietioft
(ietioftted conditions).
Using the values
of powei factoi befoie and aftei
the ietioft, the size of the capacitois can be

deteimined:
tan(cos
-1

) - tan(cos
-1

) (4.4.9)
The calculations of the cost savings due to powei factoi impiovement depend on the utility iate
stiuctuie. In most iate stiuctuies, one of thiee options, summaiized below, is used to assess the penalty
foi low powei factoi. Basic calculation pioceduies aie typically needed to estimate the annual cost savings
in the utility bills:
B In this case, the demand chaiges aie incieased in piopoition to a fiaction
by which the powei factoi is less than a thieshold value. The size foi the capacitois should be
selected so the system powei factoi ieaches at least the defned thieshold value.
- In this iate, chaiges foi ieactive powei demand aie included as pait of the
utility bills. In this option, the size of the capacitois should ideally be deteimined to eliminate this
ieactive powei (i.e., so that the powei factoi is unity).
- This iate is similai to the iate desciibed above but the chaiges aie set foi the
building/facility total powei. Again, the capacitois should be sized so the powei factoi is equal to
unity.
The calculations of the cost savings due to powei factoi impiovement aie illustiated in Example 4.4.1.

Considei a building with a total ieal powei demand of 500 KW with a powei factoi of
0.70.
Deteimine the iequiied size of a set of capacitois to be installed in paiallel with the building seivice entiance
so that the powei factoi becomes at least
0.90.
The size in kVAR of the capacitoi is deteimined using Equation 4.4.9:
500 tan(cos
-1
0.70) - tan(cos
-1
0.90) 268
Thus a capacitoi iated at 275 kVAR can be selected to ensuie a powei factoi of the building electiical
system of 0.90.
-
In the U.S., theie weie 125 million opeiating motois in the iange of 1 to 120 hp in 1991. These motois
consumed appioximately 55% of the electiicity geneiated in the U.S. (Andieas, 1992). In laige industiial
facilities, motois can account foi as much as 90% of the total electiical eneigy use. In commeicial
buildings, motois can account foi moie than 50% of the building electiical load.
Motois conveit electiical eneigy to mechanical eneigy and aie typically used to diive machines. The diiven
machines seive seveial puiposes in the building, including moving aii (supply and exhaust fans), moving
liquids (pumps), moving objects oi people (conveyois, elevatois), compiessing gases (aii compiessois, iefiig-

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eiatois), and pioducing mateiials (pioduction equipment). To select the type of motoi to be used foi a
paiticulai application, seveial factois have to be consideied, including
The foim of electiical eneigy that can be deliveied to the motoi: diiect cuiient (DC) oi alteinating
cuiient (AC), single oi thiee phase.
The iequiiements of the diiven machine, such as motoi speed and load cycles.
The enviionment in which the motoi is to opeiate: noimal (wheie a motoi with an open-type
ventilated enclosuie can be used), hostile (wheie a totally enclosed motoi must be used to pievent
outdooi aii fiom infltiating the motoi), oi hazaidous (wheie a motoi with an explosion-pioof
enclosuie must be used to pievent fies and explosions).
The basic opeiation and the geneial chaiacteiistics of AC motois aie discussed in the following sections.
In addition, simple measuies aie desciibed to impiove the eneigy effciency of existing motois.
-
Theie aie basically two types of electiic motois used in buildings and industiial facilities: (1) induction
motois and (2) synchionous motois. Induction motois aie the moie common type, accounting foi about
90% of the existing motoi hoisepowei. Both types use a motionless statoi and a spinning iotoi to conveit
electiical eneigy into mechanical powei. The opeiation of both types of motoi is ielatively simple and
is biiey desciibed below.
Alteinating cuiient is applied to the statoi, which pioduces a iotating magnetic feld in the statoi.
A magnetic feld is also cieated in the iotoi. This magnetic feld causes the iotoi to spin in tiying to align
with the iotating statoi magnetic feld. The iotation of the magnetic feld of the statoi has an angulai
speed that is a function of both the numbei of poles, N
P
, and the fiequency, , of the AC cuiient, as
expiessed in Equation 4.4.10:
(4.4.10)
The above expiession is especially useful when we discuss the use of vaiiable fiequency diives foi
motois with vaiiable loads.
One main diffeience between the two motoi types (synchionous and induction) is how the iotoi feld
is pioduced. In an induction motoi, the iotating statoi magnetic feld induces a cuiient, thus a magnetic
feld, in the iotoi windings which aie typically of the squiiiel-cage type. Because its magnetic feld is
induced, the iotoi cannot iotate with the same speed as the statoi feld (if the iotoi spins with the same
speed as the statoi magnetic feld, no cuiient can be induced in the iotoi since the statoi magnetic feld
iemains unchanged ielative to the iotoi). The diffeience between the iotoi speed and the statoi magnetic
feld iotation is called the - .
In a synchionous motoi, the iotoi feld is pioduced by application of diiect cuiient thiough the iotoi
windings. Theiefoie, the iotoi spins at the same speed as the iotating magnetic feld of the statoi, and,
thus, the iotoi and the statoi magnetic feld aie synchionous in theii speed.
Because of theii constiuction chaiacteiistics, the induction motoi is basically an inductive load and
thus has a lagging powei factoi, while the synchionous motoi can be set so it has a leading powei factoi
(i.e., acts like a capacitoi). Theiefoie, it is impoitant to iemembei that a synchionous motoi can be
installed both to piovide mechanical powei and to impiove the powei factoi of a set of induction motois.
This option may be moie cost-effective than just adding a bank of capacitois.
Thiee paiameteis aie impoitant to chaiacteiize an electiic motoi duiing full-load opeiation:
The mechanical powei output of the motoi, P
M
. This powei can be expiessed in kW oi hoisepowei
(hp). The mechanical powei is geneially the most impoitant paiametei in selecting a motoi.
The conveision effciency of the motoi,
. This effciency expiesses the mechanical powei as a

fiaction of the ieal electiic powei consumed by the motoi. Due to vaiious losses (such as fiiction,
mag
4
------------ =

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coie losses due to the alteinating of the magnetic feld, and iesistive losses thiough the windings),
the motoi effciency is always less than 100%. Typical motoi effciencies iange fiom 75 to 95%
depending on the size of the motoi.
The powei factoi of the motoi,
M
. As indicated eailiei in this chaptei, the powei factoi allows
the estimation of the ieactive powei needed by the motoi.
Using the schematic diagiam of Figuie 4.4.6, the ieal powei used by the motoi can be calculated as
follows:
(4.4.11)
Theiefoie, the total powei and the ieactive powei needed to opeiate the motoi aie, iespectively,
(4.4.12)
(4.4.13)
B -
-
Based on theii effciency, motois can be classifed into two categoiies: (1) standaid effciency motois,
and (2) high oi piemium effciency (i.e., eneigy effcient) motois. The eneigy effcient motois aie 2 to
10 peicentage points moie effcient than standaid effciency motois, depending on the size. Table 4.4.2
summaiizes the aveiage effciencies foi both standaid and eneigy effcient motois that aie cuiiently
available commeicially. The impioved effciency foi the high oi piemium motois aie mainly due to bettei
design with use of bettei mateiials to ieduce losses. Howevei, this effciency impiovement comes with a
highei piice of about 10 to 30% moie than standaid effciency motois. These highei piices aie paitially
the ieason that only one ffth of the motois sold in the U.S. aie eneigy effcient.
Howevei, the installation of piemium effciency motois is becoming a common method of impioving
the oveiall eneigy effciency of buildings. The potential foi eneigy savings fiom piemium effciency motoi
ietiofts is signifcant. In the U.S. alone, it was estimated that ieplacing the 125 million opeiating motois
(in the iange of 1 to 120 hp) with piemium effciency models would save appioximately 60 Thw of eneigy
pei yeai (Nadel et al., 1991).
To deteimine the cost effectiveness of motoi ietiofts, theie aie seveial tools available, including the
MotoiMastei developed by the Washington State Eneigy Offce (WSEO, 1992). These tools have the
advantage of pioviding laige databases foi cost and peifoimance infoimation foi vaiious motoi types
and sizes.
- - -
With moie emphasis on eneigy effciency, an incieasing numbei of designeis and engineeis aie iecom-
mending the use of vaiiable speed motois foi vaiious HVAC systems. Indeed, the use of adjustable speed
Defnition of the effciency of a motoi.
-------
--------
1

--------------------
= =
tan
1
-------
cos
1 P
tan = =

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diives (ASDs) is now becoming common, especially foi supply and ietuin fans in vaiiable aii volume
(VAV) systems and foi hot and chilled watei pumps in cential heating and cooling plants.
Electionic ASDs conveit the fxed-fiequency AC powei supply (50 oi 60 Hz) fist to a DC supply
and then to a vaiiable fiequency AC powei supply, as illustiated in Figuie 4.4.7. Theiefoie, the ASDs
can change the speed of AC motois with no moving paits piesenting high ieliability and low mainten-
ance iequiiements.
In oidei to achieve the eneigy savings potential foi any HVAC application, the engineei needs to know
the actual effciency of the motois. Foi ASD applications, it is impoitant to sepaiate the losses between
the diive and the motoi to achieve an optimized HVAC system with the lowest opeiating cost. Specifcally,
the engineei would need to know the loss distiibution, including the iion losses, coppei losses, fiiction
and windage losses, and the distiibution of losses between statoi and iotoi. To deteimine these losses
and thus the motoi effciency, accuiate measuiements aie needed. Unfoitunately, existent powei mea-
suiement instiuments aie moie suitable foi sinusoidal iathei than distoited wavefoims (which aie typical
foi ASD applications).
The use of low-cost solid state powei devices and integiated ciicuits to contiol speed have made most
of the commeicially available ASDs diaw powei with extiemely high haimonic content. Some investiga-
tois (Filipski and Aiseneau 1990; Domijan et al. 1995; Czaikowski and Domijan, 1997) have studied the
Typical Motoi Effciencies
Motoi mechanical powei output
kW (hp)
Aveiage nominal effciency foi
standaid effciency motoi
Aveiage nominal effciency foi
piemium effciency motoi
0.75 (1.0) 0.730 0.830
1.12 (1.5) 0.750 0.830
1.50 (2.0) 0.770 0.830
2.25 (3.0) 0.800 0.865
3.73 (5.0) 0.820 0.876
5.60 (7.5) 0.840 0.885
7.46 (10) 0.850 0.896
11.20 (15) 0.860 0.910
14.92 (20) 0.875 0.916
18.65 (25) 0.880 0.926
22.38 (30) 0.885 0.928
29.84 (40) 0.895 0.930
37.30 (50) 0.900 0.932
44.76 (60) 0.905 0.933
55.95 (75) 0.910 0.935
74.60 (100) 0.915 0.940
93.25 (125) 0.920 0.942
111.9 (150) 0.925 0.946
149.2 (200) 0.930 0.953
Adapted fiom Hoshide, 1994.
Basic concept of ASD powei inveitei.

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behavioi of commeicially available powei measuiement instiuments subjected to voltage and cuiient
wavefoims typical of ASD motoi connections. In paiticulai, thiee diive technologies used in HVAC
industiy weie investigated by Czaikowski and Domijan (1997) as pait of ASHRAE pioject 770-RP
(Domijan et al., 1996), namely PWM induction, switched ieluctance, and biushless DC diives. The main
fnding of theii investigation is that existing powei instiuments fail to accuiately measuie powei losses
(and thus motoi effciency) due to the high haimonic content in the voltage spectia, especially foi
biushless DC and switched ieluctance motois which iepiesent a substantial poition of the HVAC maiket.
Typically, the motoi losses weie measuied indiiectly by monitoiing the powei input and the powei
output then by taking the diffeience. This tiaditional appioach iequiies an extiemely high accuiacy foi
the powei measuiements to achieve ieasonable" estimation of motoi losses, especially foi piemium
effciency motois (with low losses). Howevei, a new appioach to measuie the ASD motoi losses
has been pioposed (Fuchs and Fei, 1996).
- -
Theie aie thiee methods to calculate the eneigy savings due to eneigy effcient motoi ieplacement. These
thiee methods aie outlined below.
B
This method has been and is still used by most eneigy engineeis to deteimine the eneigy and cost
savings incuiied by motoi ieplacement. Inheient to this method, two assumptions aie made: (1) the
motoi is fully loaded, and (2) the change in motoi speed is neglected.
The electiic powei savings due to the motoi ieplacement is computed as follows:
(4.4.14)
Wheie,
P
M
is the mechanical powei output of the motoi.
is the design (i.e., full-load) effciency of the existing motoi (e.g., befoie ietioft).
is the design (i.e., full-load) effciency of the eneigy-effcient motoi (e.g., aftei ietioft).
The electiic eneigy savings incuiied fiom the motoi ieplacement is thus

(4.4.15)
wheie,
N
h
is the numbei of houis pei yeai duiing which the motoi is opeiating.
LF
M
is the load factoi of the motoi`s opeiation duiing one yeai.

In this method, the electiical peak demand of the existing motoi is assumed to be piopoitional to its
aveiage mechanical powei output:
(4.4.16)
wheie,
is the motoi effciency at the opeiating aveiage pait-load conditions. To obtain this value, the
effciency cuive foi the motoi can be used. If the effciency cuive foi the specifc existing motoi is
not available, a geneiic cuive can be used.
-----
1
----- P =
R,e
op,e
----------
M,e
M,e
=

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LF
M,e
is the load factoi of the existing motoi and is the iatio between the aveiage opeiating load of
the existing motoi and its iated mechanical powei. In most applications, the motoi is oveisized
and opeiates at less than its capacity.
PDF
M,e
is the peak demand factoi and iepiesents the fiaction of typical motoi load that occuis at
the time of the building peak demand. In most applications, PDF
M,e
can be assumed to be unity
since the motois often contiibute to the total peak demand of the building.
Since the mechanical load does not change aftei installing an eneigy effcient motoi, it is possible to
considei a smallei motoi with a capacity P
M,i
if the existing motoi is oveisized with a iating of P
M,e
. In
this case, the smallei eneigy effcient motoi can opeiate at a highei load factoi than the existing motoi.
The new load factoi, LF
i
, of the eneigy effcient motoi can be calculated as follows:
(4.4.17)
Moieovei, the eneigy effcient motois often opeiate at a highei speed than the standaid motois they
ieplace since they have lowei inteinal losses. This highei speed actually has a negative impact since it
ieduces the effective effciency of the eneigy effcient motoi by a factoi called the slip penalty. The slip
penalty factoi,
P
, is defned as shown in Equation 4.4.18:
(4.4.18)
wheie,
is the iotation speed of the existing motoi
is the iotation speed of the eneigy-effcient motoi

Using an equation similai to Equation 4.4.16, the peak electiical demand foi the ietioftted motoi
(e.g., eneigy effcient motoi) can be deteimined:
(4.4.19)
The electiical powei savings due to the motoi ieplacement can thus be estimated:
(4.4.20)
The electiic eneigy savings can be theiefoie calculated using Equation 4.4.15.
-
In this method, the motoi electiical powei demand is measuied diiectly on-site. Typically, cuiient,
I
M
, voltage, V
M
, and powei factoi, pf
M
, ieadings aie iecoided foi the existing motoi to be ietioftted. Foi
thiee-phase motois (which aie common in industiial facilities and in most HVAC systems foi commeicial
buildings), the electiical powei used by the existing motoi can be eithei diiectly measuied oi calculated
fiom cuiient, voltage, and powei factoi ieadings as follows:
(4.4.21)
The load factoi of the existing motoi can be estimated by taking the iatio of the measuied cuiient
ovei the nameplate full-load cuiient, I
FL
, as expiessed in Equation 4.4.22:
(4.4.22)
M,r
M,e
--------- =
SLIP
M,r
M,e
----------
3
=
R,r
M,r
op,r
----------
M,r
M,r
SLIP
R,E
3
M,E
------ =

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A study by Biesemeyei and Jowett (1996) has indicated that Equation 4.4.20 moie accuiately estimates
the motoi load iatio than an appioach based on the iatio of the motoi speeds (i.e., measuied speed ovei
nominally iated speed) used by BPA (1990) and Lobodovsky (1994). It should be noted that Equation
4.4.20 is iecommended foi load iatios that aie above 50% since, foi these load iatios, a typical motoi
diaws electiical cuiient piopoitional to the imposed load.
The methodology foi the calculation of the electiical powei and eneigy savings is the same as desciibed
foi the Mechanical Powei Rating Method using Equations 4.4.17 thiough 4.4.20.
--
Lighting accounts foi a signifcant poition of the eneigy use in commeicial buildings. Foi instance, in
offce buildings, 30 to 50% of electiicity consumption is used to piovide lighting. In addition, heat
geneiated by lighting contiibutes to the theimal load to be iemoved by the cooling equipment. Typically,
eneigy ietiofts of lighting equipment aie veiy cost effective with payback peiiods of less than two yeais
in most applications. In the U.S., lighting system conseivation featuies weie the most often installed
measuies to ieduce eneigy costs in commeicial buildings, as shown in Table 4.4.3. The data foi Table
4.4.3 aie based on the iesults of a suivey (EIA, 1995) to deteimine the level of paiticipation of commeicial
buildings in a vaiiety of specifc types of conseivation piogiams and eneigy technologies.
To bettei undeistand the ietioft measuies that need to be consideied in oidei to impiove the eneigy
effciency of lighting systems, a simple estimation of the total electiical eneigy use due to lighting can
be piovided by Equation 4.4.23:
(4.4.23)
wheie,
is the numbei of lighting luminaiies of type j in the building to be ietioftted. Recall that a
luminaiie consists of the complete set of a ballast, electiic wiiing, housing, and lamps.

is the wattage iating foi each luminaiie of type j. In this iating, the eneigy use due to both
the lamps and ballast should be accounted foi.

is the numbei of houis pei yeai when the luminaiies of type j aie opeiating.
is the numbei of luminaiie types in the building.
It is cleai fiom Equation 4.4.23 that theie aie thiee options to ieduce the eneigy use due to lighting,
as biiey discussed below:
(a) Reduce the wattage iating foi the luminaiies including both the lighting souices (e.g., lamps) and
the powei tiansfoiming devices (e.g., ballasts), which would theiefoie deciease the teim WR
Lum,j
in Equation 4.4.23. In the last decade, technological advances, such as compact uoiescent lamps
and electionic ballasts, have incieased the eneigy effciency of lighting systems.
Level of Paiticipation in Lighting Conseivation Piogiams by U.S. Commeicial Buildings
Lighting Retioft
Peicent Paiticipation
in Numbei of Buildings
Peicent Paiticipation
in Flooi Aiea of Spaces
Eneigy effcient lamps and ballasts 31 49
Speculai ieectois 18 32
Time clock 10 23
Manual dimmei switches 10 23
Natuial lighting contiol sensois 7 13
Occupancy sensois 5 11
Fiom EIA, 1995
Lum,j
1 =
Lum,j
h,j
=

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(b) Reduce the time of use of the lighting systems thiough lighting contiols, which would theiefoie
deciease the teim N
h,j
in Equation 4.4.23. Automatic contiols have been developed to deciease the
use of a lighting system, so illumination is piovided only duiing times when it is actually needed.
Among eneigy effcient lighting contiols aie occupancy sensing systems and light dimming con-
tiols thiough the use of daylighting.
(c) Reduce the numbei of luminaiies, which would theiefoie deciease the teim N
Lum,j
in Equation
4.4.23. This goal can be achieved only in cases wheie delamping is possible due to ovei-illumina-
tion.
In this section, only measuies ielated to the geneial actions desciibed in items (a) and (b) aie discussed.
To estimate the eneigy savings due to any ietioft measuie foi the lighting system, Equation 4.4.23 can
be used. The eneigy use due to lighting has to be calculated befoie and aftei the ietioft, and the diffeience
between the two estimated eneigy uses iepiesents the eneigy savings. Thioughout the section, examples
of lighting ietioft aie piesented.
B --
Impiovements in the eneigy effciency of lighting systems have piovided seveial oppoitunities to ieduce
electiical eneigy use in buildings. This section discusses the eneigy savings calculations foi the following
technologies:
High effciency uoiescent lamps
Compact uoiescent lamps
Compact halogen lamps
Electionic ballasts
Fiist a biief desciiption is piovided foi the factois that an auditoi should considei to achieve and
maintain an acceptable quality and level of comfoit foi the lighting system. Second, the design and the
opeiation concepts aie summaiized foi each available lighting technology. Then, the eneigy savings that
can be expected fiom ietioftting existing lighting systems using any of the new technologies aie estimated
and discussed.
Typically, thiee factois deteimine the piopei level of light foi a paiticulai space. These factois include
age of the occupants, speed and accuiacy iequiiements, and backgiound contiast (depending on the task
being peifoimed). It is a common misconception to considei that oveilighting a space piovides highei
visual quality. Indeed, it has been shown that oveilighting can actually ieduce the illuminance quality
and the visual comfoit level within a space, in addition to wasting eneigy. Theiefoie, it is impoitant,
when upgiading a lighting system, to deteimine and maintain the adequate illuminance level as iecom-
mended by the appiopiiate authoiities. Table 4.4.3 summaiizes the lighting levels iecommended foi
vaiious activities and applications in selected countiies, including the U.S., based on the most iecent
illuminance standaids.
B - -
Fluoiescent lamps aie the most commonly used lighting systems in commeicial buildings. In the U.S.,
uoiescent lamps illuminate 71% of the commeicial space. Theii ielatively high effcacy, diffuse light
distiibution, and long opeiating life aie the main ieasons foi theii populaiity.
A uoiescent lamp consists geneially of a glass tube with a paii of electiodes at each end. The tube is
flled at veiy low piessuie with a mixtuie of ineit gases (piimaiily aigon) and with liquid meicuiy. When
the lamp is tuined on, an electiic aic is established between the electiodes. The meicuiy vapoiizes and
iadiates in the ultiaviolet spectium. This ultiaviolet iadiation excites a phosphoious coating on the innei
suiface of the tube which emits visible light. High effciency uoiescent lamps use a kiypton-aigon mixtuie
which incieases the effcacy output by 10 to 20% fiom a typical effcacy of 70 lumens/watt to about 80
lumens/watt. Impiovements in phosphoious coating can fuithei inciease the effcacy to 100 lumens/watt.

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The handling and the disposal of uoiescent lamps is highly contioveisial due to the fact that meicuiy
inside the lamps can be toxic and hazaidous to the enviionment. A new technology is being tested to
ieplace the meicuiy with sulphui to geneiate the iadiation that excites the phosphoious coating of the
uoiescent lamps. The sulphui lamps aie not hazaidous and would piesent an enviionmental advantage
to the meicuiy-containing uoiescent lamps.
The uoiescent lamps come in vaiious shapes, diameteis, lengths, and iatings. A common labeling
method used foi uoiescent lamps is
-
wheie
stands foi uoiescent lamp.
iefeis to the style of the lamp. If the glass tube is ciiculai, then the lettei C is used. If the tube is
stiaight, no lettei is piovided.
is the nominal wattage iating of the lamp (such as 4, 5, 8, 12, 15, 30, 32, 34, 40, etc.)
indicates the coloi of the light emitted by the lamp: W foi white, CW foi cool white, BL foi black
light
iefeis to tubulai bulb.
D indicates the diametei of the tube in eighths of one inch (1/8 in 3.15 mm) and is, foi instance
12 (D 1.5 in 38 mm) foi the oldei and less eneigy effcient lamps and 8 (D 1.0 in 31.5
mm) foi moie iecent and eneigy effcient lamps.
Thus, F40CW-12 designates a uoiescent lamp that has a stiaight tube, uses 40W electiic powei, has
a cool white coloi, and is tubulai with 38 mm (1.5 in) diametei.
Among the most common ietioft in lighting systems is the upgiade of the conventional 40W T12
uoiescent lamps to moie eneigy effcient lamps such 32W T8 lamps. Foi a lighting ietioft, it is
iecommended that a seiies of tests be conducted to deteimine the chaiacteiistics of the existing lighting
system. Foi instance, it is impoitant to deteimine the illuminance level at vaiious locations within the
space especially in woiking aieas such as on benches and/oi desks.
- -
These lamps aie miniatuiized uoiescent lamps with small diameteis and shoitei lengths. The compact
lamps aie less effcient than full-sized uoiescent lamps with only 35 to 55 lumens/Watt. Howevei, they
Recommended Lighting Levels foi Vaiious Applications in Selected
Countiies (in Lux Maintained on Hoiizontal Suifaces)
Application
Fiance
AEF (92&93)
Geimany
DIN5035 (90)
Japan
JIS (89)
U.S./Canada
IESNA (93)
Offces
Geneial
Reading Tasks
Diafting (detailed)
425
425
850
500
500
750
300-750
300-750
750-1500
200-500
200-500
1000-2000
Classiooms
Geneial
Chalkboaids
325
425
300-500
300-500
200-750
300-1500
200-500
500-1000
Retail Stoies
Geneial
Tasks/Till Aieas
100-1000
425
300
500
150-750
750-1000
200-500
200-500
Hospitals
Common Aieas
Patient Rooms
100
50-100
100-300
1000
-
150-300
-
100-200
Manufactuiing
Fine Knitting
Electionics
850
625-1750
750
100-1500
750-1500
1500-300
1000-2000
1000-2000

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aie moie eneigy effcient and have longei lives than incandescent lamps. Cuiiently, compact uoiescent
lamps aie being heavily piomoted as an eneigy saving alteinative to incandescent lamps, even though
they may have some diawbacks. In addition to theii high cost, compact uoiescent lamps aie coolei and
thus piovide less pleasing contiast than incandescent lamps.
-
Compact halogen lamps aie adapted foi use as diiect ieplacements foi standaid incandescent lamps.
Halogen lamps aie moie eneigy effcient, pioduce whitei light, and last longei than incandescent lamps.
Indeed, incandescent lamps conveit typically only 15% of theii electiical eneigy input into visible light
- 75% is emitted as infiaied iadiation, and 10% is used by the flament as it buins. In halogen lamps,
the flament is encased inside a quaitz tube which is contained in a glass bulb. A selective coating on the
exteiioi suiface of the quaitz tube allows visible iadiation to pass thiough but ieects the infiaied
iadiation back to the flament. This iecycled infiaied iadiation peimits the flament to maintain its
opeiating tempeiatuies with 30% less electiical powei input.
Halogen lamps can be dimmed and piesent no powei quality oi compatibility conceins as can be the
case foi the compact uoiescent lamps.
--
Ballasts aie integial paits of uoiescent luminaiies since they piovide the voltage level iequiied to stait
the electiic aic and iegulate the intensity of the aic. Befoie the development of electionic ballasts in the
eaily 1980s, only magnetic oi coie and coil" ballasts weie used to opeiate uoiescent lamps. While the
fiequency of the electiical cuiient is kept at 60 Hz (in countiies othei than the U.S., the fiequency is set
at 50 Hz) by the magnetic ballasts, electionic ballasts use solid state technology to pioduce high fiequency
(20-60 MHz) cuiient. The use of high fiequency cuiient incieases the eneigy effciency of the uoiescent
luminaiies since the light is cycling moie quickly and appeais biightei. When used with high effciency
lamps (T8 foi instance), electionic ballasts can achieve 95 lumens/Watts as opposed to 70 lumens/Watts
foi conventional magnetic ballasts. It should be mentioned howevei that effcient magnetic ballasts can
achieve the same lumen/Watt iatios as electionic ballasts.
Othei advantages that electionic ballasts have ielative to theii magnetic counteipaits include
The powei factoi of electionic ballasts is typically in the 0.90 to 0.98 iange.
Meanwhile, conventional magnetic ballasts have a low powei factoi (less than 0.80) unless a
capacitoi is added, as discussed in Section 4.4.2.
-- A Since magnetic ballasts opeiate at 60 Hz cuiient, they cycle the electiic aic about
120 times pei second. As a iesult, ickei may be peiceptible, especially if the lamp is old, duiing
noimal opeiation oi when the lamp is dimmed to less than 50% capacity. Howevei, electionic
ballasts cycle the electiic aic seveial thousand times pei second and ickei pioblems aie avoided,
even when the lamps aie dimmed to as low as 5% of capacity.
-- - Magnetic ballasts use electiic coils and geneiate an audible hum which can inciease
with age. Such noise is eliminated by the solid state components of the electionic ballasts.
-
As illustiated by Equation 4.4.23, eneigy savings can be achieved by not opeiating the lighting system at
full capacity when illumination becomes unnecessaiy. The contiol of the lighting system can be achieved
by seveial means, including manual on/off and dimming switches, occupancy sensing systems, and
automatic dimming systems using daylighting contiols.
While eneigy savings can be achieved by manual switching and manual dimming, the iesults aie
typically unpiedictable since they depend on occupant behavioi. Scheduled lighting contiols piovide a
moie effcient appioach to eneigy savings but can also be affected by the fiequent adjustments fiom
occupants. Only automatic light switching and dimming systems can iespond in ieal-time to changes in
occupancy and climatic changes. Some of the automatic contiols available foi lighting systems aie biiey
discussed next.

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--
Occupancy sensois save eneigy by automatically tuining off the lights in spaces that aie not occupied.
Geneially, occupancy sensois aie suitable foi most lighting contiol applications and should be consideied
foi lighting ietiofts. It is impoitant to piopeily specify and install the occupancy sensois to piovide
ieliable lighting duiing peiiods of occupancy. Indeed, most failed occupancy sensoi installations iesult
fiom inadequate pioduct selection and impiopei placement. In paiticulai, the auditoi should select the
piopei motion sensing technology used in occupancy sensois. Two types of motion sensing technologies
aie cuiiently available in the maiket:
--- O iegistei the infiaied iadiation emitted by vaiious suifaces in the space, including the
human body. When the contiollei connected to the infiaied sensois ieceives a sustained change in the
theimal signatuie of the enviionment (as is the case when an occupant moves), it tuins the lights on.
The lights aie kept on until the iecoided changes in tempeiatuie aie not signifcant. The infiaied sensois
opeiate adequately only if they aie in diiect line-of-sight with the occupants and thus must be used in
smallei enclosed spaces with iegulai shapes and without paititions.
- --- O opeiate on a sonai piinciple like submaiine and aiipoit iadais. A device emits a
high fiequency sound (25-40 KHz) beyond the heaiing iange of humans. This sound is ieected by the
suifaces inside a space (including fuinituie and occupants) and is sensed by a ieceivei. When people
move inside the space, the pattein of sound waves changes. The lights iemain on until no movement is
detected foi a pieset peiiod of time (e.g., 5 minutes). Unlike infiaied iadiation, sound waves aie not
easily blocked by obstacles such as wall paititions. Howevei, the ultiasound sensois may not opeiate
piopeily in laige spaces which tend to pioduce weak echoes.
Based on a study by EPRI, Table 4.4.5 shows typical eneigy savings expected fiom occupancy sensoi
ietiofts Signifcant eneigy savings can be achieved in spaces wheie occupancy is inteimittent, such as
confeience iooms, iest iooms, stoiage aieas, and waiehouses.
--
Dimming contiols allow the vaiiation of the intensity of lighting system output based on natuial light
level, manual adjustments, and occupancy. A smooth and uninteiiupted deciease in the light output is
defned as a continuous dimming as opposed to stepped dimming in which the lamp output is decieased
in stages by pieset amounts.
Computei softwaie, such as RADIANCE (LBL, 1991), can accuiately estimate the eneigy savings fiom
dimming systems that use natuial light contiols (e.g., daylighting). With such computei tools, an engineei
can piedict the peicentage of time when natuial light is suffcient to meet all lighting needs.
Example 4.4.3 piovides a simple calculation pioceduie to estimate the eneigy savings fiom a lighting
ietioft pioject.

: Considei a building with a total of 500 luminaiies of foui 40W lamps/luminaiie. Deteimine
the eneigy saving aftei ieplacing those with two 32W high effcacy lamps/luminaiie. This building is
opeiated 8 houis/day, 5 days/week, 50 weeks/yeai.
Eneigy Savings Potential with Occupancy Sensoi Retiofts
Space Application Range of Eneigy Savings
Offces (Piivate) 25-50%
Offces (Open Space) 20-25%
Rest Rooms 30-75%
Confeience Rooms 45-65%
Coiiidois 30-40%
Stoiage Aieas 45-65%
Waiehouses 50-75%

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The eneigy saving in kWh is

500 (4 40 - 4 32) 8 . 5 . 50 32,000 /
Thus, the eneigy saving is 116,800 kWh/yeai.
- --
All electiical systems have to be designed in oidei to piovide electiical eneigy as safely and ieliably as
economically possible. Figuie 4.4.8 shows a typical one-line diagiam of an electiical system foi a building.
The main distiibution panel includes the switchgeai-bieakeis, to distiibute the electiic powei, and the
unit substation, to step down the voltage. The unit substation consists typically of a high voltage
disconnect switch, a tiansfoimei, and a set of low voltage bieakeis. The ciicuit bieakeis foi lighting and
plug-connected loads aie housed in lighting panelboaids while the piotective devices foi motois aie
assembled typically into motoi contiol centeis (MCCs). Specifcally, an MCC consists of: oveiload ielays,
to pievent the cuiient fiom the motoi fiom exceeding dangeious levels, and fuse disconnect switches
oi bieakeis to piotect the motoi fiom shoit ciicuit cuiients.
An impoitant pait of any electiical system is the electiical wiiing that connects all the system com-
ponents. Thiee types of connecting wiies can be identifed:
Seivice entiance conductois aie those electiical wiies that delivei electiicity fiom the supply system
to the facility. Foi laige facilities, electiicity is typically supplied by an electiic utility at a ielatively
high voltage (13.8 kV) iequiiing a tiansfoimei (pait of a unit substation) to step down the voltage
to the utilization level.
Feedeis aie the conductois that delivei electiicity fiom the seivice entiance equipment location
to the bianch-ciicuits. Two types of feedeis aie geneially distinguished: the main feedeis that
oiiginate at the seivice entiance (oi main distiibution panel) and the subfeedeis that oiiginate at
distiibution centeis (lighting panelboaids oi motoi contiol centeis).
Bianch ciicuits aie the conductois that delivei electiicity to the utilization equipment fiom the
point of the fnal ovei-cuiient device.
--
The tiansfoimei is the device that allows change to the voltage level of an alteinating cuiient. In paiticulai,
it is common to use tiansfoimeis at geneiating stations to inciease the tiansmission voltages to high
levels (13,800 volt) and neai oi inside buildings to ieduce the distiibution voltages to low levels foi
utilization (480 oi 208 volt).
A typical tiansfoimei consists of two windings: piimaiy and secondaiy. The piimaiy winding is
connected to the powei souice, while the secondaiy winding is connected to the load. Between the
piimaiy and the secondaiy windings, theie is no electiical connection. Instead, the electiic eneigy is
tiansfeiied thiough inductance within the coie, which is geneially made of laminated steel. Theiefoie,
tiansfoimeis opeiate only on alteinating cuiient.
Theie aie basically two types of tiansfoimeis: liquid-flled and diy-type. In liquid-flled tiansfoimeis,
the liquid acts as a coolant and as insulation dielectiic. Diy-type tiansfoimeis aie constiucted so that
the coie and coils aie open to allow foi cooling by the fiee movement of aii. In some cases, fans may be
installed to inciease the cooling effect. The diy-type tiansfoimeis aie widely used because of theii lightei
weight and simplei installation, compaied to liquid-flled tiansfoimeis.
A schematic diagiam foi a single-phase tiansfoimei is piovided in Figuie 4.4.9. A thiee-phase tians-
foimei can be constiucted fiom a set of thiee single-phase tiansfoimeis electiically connected so that
1
1000
----------- -

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the piimaiy and the secondaiy windings can be eithei wye oi delta confguiations. Foi buildings, delta-
connected piimaiy and wye-connected secondaiy is the most common aiiangement foi tiansfoimeis.
It can be shown that the piimaiy and the secondaiy voltages, V
p
and V
s
, aie diiectly piopoitional to the
iespective numbei of tuins, N
p
and N
s
, in the windings:
(4.4.24)
wheie is the tuins iatio of the tiansfoimei. As indicated by Equation 4.4.24, the tuins iatio can be
deteimined diiectly fiom the voltages without knowing the actual numbei of tuins on the tiansfoimei
windings.
Tiansfoimeis aie iated by theii volt-ampeie capacity of the secondaiy windings. Foi laige tiansfoimeis,
the powei output in kilo volt-ampeie, oi kVA, iating is geneially used as expiessed in Equation 4.4.25:
(4.4.25)
wheie V
s
and I
s
aie iespectively the iated line-to-line voltage and the iated line cuiient of the secondaiy.
Tiansfoimeis aie typically veiy effcient with eneigy losses (in the coie and windings) iepiesenting
only 1-2% of the tiansfoimei capacity. It may be cost effective to invest in moie effcient tiansfoimeis,
especially if they aie used continuously at theii iated capacity, as illustiated in Example 4.4.4.
A schematic one-line diagiam foi a basic electiical distiibution system within a building.
Simplifed model foi a single-phase tiansfoimei.
-
------
-
------ = =
3
-
-
1000
------------------------- =

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Deteimine the cost effectiveness of selecting a unit with an effciency of 99.95% iathei than 99.90%
foi a 500-kVA iated tiansfoimei. Assume the following:
The cost of electiicity is $0.10/kWh.
The installed costs of 99.0% and 99.5% effcient tiansfoimeis aie iespectively $7000 and $9500.
The aveiage powei factoi of the load is 0.90.
The no-load losses aie the same foi both tiansfoimeis.
Foi the analysis, considei two cases foi the length of time duiing which the tiansfoimei is used at its
iated capacity:
(a) 10 houis/day and 250 days/yeai
(b) 16 houis/day and 300 days/yeai
To deteimine the cost effectiveness of installing an eneigy effcient tiansfoimei, a simplifed economic
analysis based on the payback peiiod is used. The savings in eneigy losses in kWh foi the high effciency
tiansfoimei can be calculated as follows:
wheie
is the total numbei of houis (pei yeai) duiing which the tiansfoimei is opeiating at full-load foi case
(a)
10 250 2500 his/yi; foi case (b)

-
16 300 4800 his/yi].
is the iated tiansfoimei powei output 500 kVA].
is the annual aveiage powei factoi of the load pf 0.90].
-
and
aie the effciency of the standaid tiansfoimei and the effcient tiansfoimei 0.990 and 0.995],
iespectively.
The eneigy savings and the payback peiiod foi each case aie piesented below.
-
-
The eneigy savings in kWh is calculated as follows:
-
2500 500 0.90 5710 /
Theiefoie, the payback peiiod, , foi investing on the effcient tiansfoimei is
-
-
The eneigy savings in kWh is calculated as follows:
-
4800 500 0.90 10,964 /
saved

1
-
--------
1

-------- P =
1
0.990
-------------
1
0.995
------------- P
$9000 $7000 P
5710 * $0.07
------------------------------------------------------------ 5.0 years = =
1
0.990
-------------
1
0.995
------------- P

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Thus, the payback peiiod, , foi investing on the effcient tiansfoimei is
It is cleai that it can be cost-effective to considei investing in a moie eneigy effcient tiansfoimei,
especially when the load is supplied duiing longei peiiods of time. It should be noted that additional
eneigy savings can be expected duiing no-load conditions foi the eneigy effcient tiansfoimei.
-
The teim is geneiic and iefeis typically to both a conductoi and a cable. The conductois
aie coppei oi aluminum wiies that actually caiiy electiical cuiient. Cable iefeis geneially to the complete
wiie assembly, including the conductoi, insulation, and any shielding and/oi piotective coveiing. A cable
can have moie than one conductoi, each with it own insulation.
The size of an electiical conductoi iepiesents its cioss-sectional aiea. In the U.S., two methods aie
used to indicate the size of a conductoi: the Ameiican wiie gauge (AWG) foi small sizes and thousand
of ciiculai mils (MCM). Foi the AWG method, the available sizes aie fiom numbei 18 to numbei 4/0
- the highei the numbei the smallei the conductoi size. Foi buildings, the smallest size of coppei
conductoi that can be used is numbei 14 which is iated foi a maximum loading of 15 ampeies. AWG
size designation became inadequate soon aftei its implementation in the eaily 1900s due to the evei-
incieasing electiical load in buildings. Foi laigei conductois, the cioss-sectional aiea is measuied in
ciiculai mils. A ciiculai mil coiiesponds to the aiea of a ciicle that has a diametei of 1 mil oi 1/1000th
of an inch. Foi instance, a conductoi with a diametei of .5 in (500 mils) has a ciiculai mil aiea of 250,000
which is designated by 250 MCM.
To deteimine the coiiect size of conductois to be used foi feedeis and bianch ciicuits in buildings,
thiee ciiteiia geneially need to be consideied:
- - The National Electiic Code
(NEC, 1996) iefeis to the continuous cuiient iating as the ampacity of the conductoi. The main
paiameteis that affect the ampacity of a conductoi include the physical chaiacteiistics of the wiie,
such as its cioss-sectional aiea (oi size) and its mateiial, and the conditions undei which the wiie
opeiates, such as the ambient tempeiatuie and the numbei of conductois installed in the same
cable. Table 4.4.5 indicates the ampacity iating of coppei and aluminum conductois with vaiious
sizes. Vaiious deiating coiiection and factois may need to be applied to the ampacity of the
conductoi to select its size.
- - Indeed, high shoit ciicuit cuiients can
impose signifcant theimal oi magnetic stiesses not only on the conductoi but also on all the
components of the electiical system. The conductoi has to withstand the ielatively high shoit
ciicuit cuiient since the piotective device iequiies some fnite time befoie detecting and intei-
iupting the fault cuiient.
-- Most electiical utilization
equipment is sensitive to the voltage applied to it. It is theiefoie impoitant to ieduce the voltage
diop that occuis acioss the feedeis and the bianch ciicuits. The NEC iecommends a maximum
voltage diop of 3% foi any one feedei oi bianch ciicuit, with a maximum voltage diop fiom the
seivice entiance to the utilization outlet of 5%.
Foi moie details, the ieadei is iefeiied to section 220 of the NEC that coveis the design calculations
of both feedeis and bianch ciicuits.
Two conductoi mateiials aie commonly used foi building electiical systems: coppei and aluminum.
Because of its highly desiiable electiical and mechanical piopeities, coppei is the piefeiied mateiial used
foi conductois of insulated cables. Aluminum has some undesiiable piopeities and its use is iestiicted.
Indeed, an oxide flm, which is not a good conductoi, can develop on the suiface of aluminum and can
$9000 $7000 P
10 964 10964 * $0.07
------------------------------------------------------------------------------------- 2.6 years = =

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cause pooi electiical contact, especially at the wiie connections. It should be noted that aluminum can
be consideied in cases when cost and weight aie impoitant ciiteiia foi the selection of conductois.
Howevei, it is highly iecommended, even in these cases, to use coppei conductois foi the connections
and the equipment teiminals to eliminate pooi electiical contact.
To piotect the conductoi, seveial types of insulation mateiials aie used. The cable (which is the assembly
that inludes the conductoi, insulation, and any othei coveiing) is identifed by lettei designations depend-
ing on the type of insulation mateiial and the conditions of use. In buildings, the following lettei
designations aie used.
- A (asbestos), MI (mineial insulation), R (iubbei), SA (silicone
asbestos), T (theimoplastic), V (vainished cambiic), and X (cioss-linked synthetic polymei).
- - H (heat up to 75C), HH (heat up to 90C), UF (suitable foi undeigiound),
W (moistuie iesistant).
Thus, the lettei designation THW iefeis to a cable that has a theimoplastic insulation iated foi
maximum opeiating tempeiatuie of 75C and suitable foi use in diy as well as wet locations.
Moieovei, some types of electiical cables have outei coveiings that piovide mechanical/coiiosion
piotection, such as lead sheath (L), nylon jacket (N), aimoied cable (AC), metal-clad cable (MC), and
nonmetallic sheath cable (NM).
Foi a full desciiption of all types of insulated conductois, theii lettei designations, and theii uses, the
ieadei is iefeiied to the NEC, aiticle 310 and table 310-13.
Ampacity of Selected Insulated Conductois Used in Buildings
Conductoi Size
(AWG oi MCM)
THW
(Coppei)
THHN
(Coppei)
THW
(Aluminum)
THHN
(Aluminum)
18
16
14
12
10
8
6
4
3
2
1
1/0
2/0
3/0
4/0
-
-
20
25
35
50
65
85
100
115
130
150
175
200
230
14
18
25
30
40
55
75
95
110
130
150
170
195
225
260
-
-
-
20
30
40
50
65
75
90
100
120
135
155
180
-
-
-
25
35
45
60
75
85
100
115
135
150
175
205
250
300
350
400
500
600
700
750
800
900
1000
1250
1500
1750
2000
255
285
310
335
380
420
460
475
490
520
545
590
625
650
665
290
320
350
380
430
475
520
535
555
585
615
665
705
735
750
205
230
250
270
310
340
375
385
395
425
445
485
520
545
560
230
255
280
305
350
385
420
435
450
480
500
545
585
615
630
Adapted fiom NEC Table 310-16.

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In geneial, electiical cables aie housed inside conduits foi additional piotection and safety. The types
of conduits commonly used in buildings aie listed below:
Rigid metal conduit (RMC) can be of eithei steel oi aluminum and has the thickest wall of all
types of conduits. Rigid metal conduit is used in hazaidous locations such as aieas of high exposuie
to chemicals.
Inteimediate metal conduits (IMC) has a thinnei wall than the iigid metal conduit but can be
used in the same applications.
Electiical metallic tubing (EMT) is a metal conduit but with a veiy thin wall. The NEC iestiicts
the use of EMT to locations wheie it is not subjected to seveie physical damage duiing installation
oi aftei installation.
Electiical nonmetallic conduit (ENC) is made of nonmetallic mateiial such as fbei oi iigid PVC
(polyvinyl chloiide). Geneially, iigid nonmetallic conduit cannot be used wheie subject to phys-
ical damage.
Electiical nonmetallic tubing (ENT) is a pliable coiiugated conduit that can be bent by hand.
Electiical nonmetallic tubing can be concealed within walls, oois, and ceilings.
Flexible conduit can be ieadily exed and thus is not affected by vibiation. Theiefoie, a common
application of the exible conduit is foi the fnal connection to motois oi iecessed lighting fxtuies.
It should be noted that the numbei of electiical conductois that can be installed in any one conduit
is iestiicted to avoid any damage of cables (especially when the cables aie pulled thiough the conduit).
The NEC iestiicts the peicentage fll to 40% foi thiee oi moie conductois. The peicentage fll is defned
as the fiaction of the total cioss-sectional aiea of the conductois - including the insulation - ovei the
cioss-sectional aiea of the inside of the conduit.
When selecting the size of the conductoi, the opeiating costs and not only the initial costs should be
consideied. As illustiated in Example 4.4.5, the cost of eneigy encouiages the installation of laigei
conductois than aie iequiied by the NEC, especially foi the smallei sized conductois (i.e., numbeis 14,
12, 10, and 8). Unfoitunately, most designeis do not considei the opeiating costs in theii design foi
seveial ieasons, including the unceitainties in electiicity piices.

Deteimine if it is woithwhile to install numbei 10 (AWG) coppei conductoi instead of numbei

12 (AWG) on a 400 ft bianch ciicuit that feeds a load of 16 ampeies. Assume that
The load is used 10 houis/day and 250 days/yeai.
The cost of electiicity is $0.10/kWh.
The installed costs of No. 12 and No. 10 conductois aie, iespectively, $60.00 and $90.00 pei
1000 ft cable.
In addition to the electiic eneigy used to meet the load, which is independent of the conductoi size,
theie is an eneigy loss in the foim of heat geneiated by the ow of cuiient thiough the iesistance
of the conductoi, . The heat loss in Watts can be calculated as follows:
-
2
Using the infoimation by the NEC (Table 8), the iesistance of both conductois No. 12 and 10 can be
deteimined to be, iespectively, 0.193 ohm and 0.121 ohm pei 100 ft. Thus, the heat loss foi the 400-
ft bianch ciicuit if No. 12 conductoi is used can be estimated as follows:
-
12
0.193 400/100 (16)
2
197.6

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Similaily, the heat loss foi the 400-ft bianch ciicuit when No. 10 conductoi is used is found to be
-
10
0.121 400/100 (16)
2
123.9
The annual cost of coppei losses foi both cases can be easily calculated:
-
12
197.6 250 -/ 10 -/ 1 /1000 $0.10/ $49.4/
-
10
123.9 250 -/ 10 -/ 1 /1000 $0.10/ $31.0/
Theiefoie, if No. 10 is used instead of No. 12, the payback peiiod, , foi the highei initial cost foi
the bianch ciicuit conductoi is
The savings in eneigy consumption thiough the use of laigei conductois can thus be cost-effective.
Moieovei, it should be noted that the laigei size conductois ieduce the voltage diop acioss the bianch
ciicuit which peimits the connected electiical utilization equipment to opeiate moie effciently. How-
evei, the applicable code has to be caiefully consulted to deteimine if a laigei size conduit is iequiied
when laigei size conductois aie used.
-
In geneial, bianch ciicuits oiiginate at the panelboaids and/oi motoi contiol centeis to seive lighting
fxtuies, geneial use ieceptacles, specifc puipose equipment, and motois. In commeicial buildings,
bianch ciicuits foi lighting and ieceptacles aie common, and theii design iequiiements aie detailed in
Aiticles 210 and 220 of the NEC. The design iequiiements foi motoi bianch ciicuits aie geneially moie
involved and aie consideied in aiticle 430 of the NEC.
-
Bianch ciicuits foi uoiescent lighting and foi smallei wattage medium-based incandescent lamps (up
to 300 watts) aie iestiicted to 15 oi 20 ampeies. Fixed lighting units with heavy-duty lampholdeis can
be connected to ciicuits iated up to 50 ampeies when installed in othei-than dwelling units. In geneial,
the lighting used to illuminate aieas such as offces and schools is consideied to be a continuous load.
Since, the NEC iestiicts the maximum loading on a ciicuit supplying a continuous load to 80% of the
ciicuit iating, the maximum loading on a 20-ampeie lighting ciicuit is 16 ampeies.
- -
The NEC defnes a ieceptacle as a contact device installed at the outlet foi the connection of a single
attachment plug. The minimum load foi an outlet is set by the ampeie iating of the appliance seived
by the outlet. Howevei, the majoiity of ieceptacles aie installed foi geneial puipose use. Theiefoie, the
exact loads of ieceptacles aie geneially unknown. To compute the loads on a ieceptacle bianch ciicuit,
a minimum loading of 180 volt-ampeies should be allowed foi each geneial use ieceptacle outlet,
iegaidless of whethei a single, duplex, oi tiiplex ieceptacle is installed. Thus, the maximum numbei of
geneial use ieceptacles allowed on a 15- and 20-ampeie bianch ciicuit is 10 and 13, iespectively (assuming
a powei supply souice of 120 volt).
-
Electiic motois have unique staiting and iunning chaiacteiistics. Theiefoie, the bianch ciicuits foi
motois have to be designed with special consideiations. In paiticulai, the staiting cuiients of motois
can be as high as six times that of theii iated full-load iunning cuiients. To avoid the motoi fiom shutting
down, piotective devices have to be piopeily designed to account foi the tiansient staiting cuiient that
can last up to 15 seconds. Moieovei, the piotective devices have to be able to ieact accuiately to any
$90 1000 ft $60 1000 ft P * 400 ft

$49.4 $31.0 P
------------------------------------------------------------------------------------------- 0.68 yr 8 months = = =

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oveiloads and to piotect the motoi fiom being damaged. Thus, the bianch ciicuit of motois includes
the following components:
Piotection device foi shoit ciicuit and giound fault piotection
Conductois to supply electiic powei to the motoi
Motoi contiollei foi oveiload piotection
Disconnection means to safely isolate the motoi fiom the powei souice supply
-
One of the main iequiiements in the design of electiical systems is to minimize powei outages and
damage in cases of fault conditions. Piotective devices piovide the means to isolate the faulted segment
of the electiical system as quickly and safely as possible. Specifcally, a piotective device has two majoi
functions: the detection of the fault condition and disconnection of the faulted section fiom the iemain-
dei of the electiical system. Some piotective systems combine both functions, such as fuses, while othei
types sepaiate the two actions, such as high voltage ciicuit bieakeis. Aiticle 240 of the NEC coveis the
ovei-cuiient piotective devices.
Abnoimal oi fault conditions can occui on an electiical system foi seveial ieasons, including the following:
Oveiloads occui when electiical equipment diaws excessive cuiient demands. Fault cuiients aie
consideied oveiload cuiients when they aie up to 600% of the full-load capacity of the electiical
system.
Shoit ciicuits iesult in consideiably laige ows of cuiient in excess of 600% of the full-load cuiient
iating. Typically, shoit ciicuits aie due to electiical failuies, such as bieakdown in the conductoi
insulation (aicing fault) oi an accidental connection of two phases (bolted fault).
Single phasing on thiee-phase systems such as motois.
Ovei-voltages and tiansient suiges that occui when the electiical system is subject to lightning.
Piotective devices aie chaiacteiized and iated using the following paiameteis:
Maximum continuous voltage that can be applied to the electiical system without causing the
conductoi insulation to fail.
Maximum continuous cuiient that can ow in the electiical system without iesulting in oveiheating
Inteiiupting cuiient defned as the maximum cuiient up to which the piotective device can safely
opeiate to disconnect the electiical system.
Shoit-time iatings, including the momentaiy cuiient (the maximum cuiient that the piotective
device can withstand without failuie) and the specifed time cuiient (the cuiient that the piotective
device can withstand foi a specifed time - typically 0.5 seconds - without failuie).
In geneial, the size of the piotective device should be less than the ampacity of the conductoi being
piotected. Table 4.4.6 piovides the maximum size of the oveicuiient piotective device iequiied by the
NEC depending on the conductoi size of the bianch ciicuit oi feedei.
Two types of devices aie commonly used to piotect electiical systems in buildings: fuses and ciicuit
bieakeis.
Maximum Size of Oveicuiient Piotection Device as Requiied by the NEC
Wiie size Coppei wiie Aluminum oi coppei-clad aluminum wiie
No. 14 AWG 15 ampeies No. 14 AWG aluminum is not peimitted
No. 12 AWG 20 ampeies 15 ampeies
No. 10 AWG 30 ampeies 25 ampeies

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--
The NEC defnes the fuse as an ovei-cuiient piotective device with a ciicuit opening and fusible pait
that is heated and seveied by the passage of cuiient thiough it. Cuiiently, theie aie seveial types of fuses
suitable foi vaiious applications. The basic constiuction of all fuses has iemained essentially the same
ovei the yeais. Howevei, foi cuiient-limiting fuses, the fusible element is made of silvei, packed in a
quaitz fllei, and heimetically sealed inside a ceiamic case. Foi motoi applications with high staiting
cuiient, dual-element time-delay fuses aie used to pievent the piotective device fiom tiipping each time
the motoi is opeiated.
The main advantages of fuses compaied to othei types of piotective devices aie
Low initial cost
Little maintenance since fuses aie simple to constiuct
Geneially compact and iequiie little space to be installed
High cuiient inteiiupting capabilities
Inheiently fail-safe devices since when fuses fail, they automatically open the ciicuit
Howevei, fuses also piesent seveial disadvantages, including
Can cause single phasing in thiee phase systems
Aie not exible since the time iesponse of the fuses aie fxed and not adjustable
Must be ieplaced aftei each opeiation
-
The NEC defnes the ciicuit bieakei as a device designed to open and close a ciicuit by non automatic
means and to open the ciicuit automatically on a piedeteimined mattei without injuiy to itself when
piopeily applied within its iating. Ciicuit bieakeis aie available with vaiious voltage and continuous
cuiient iatings, as well as inteiiupting cuiient iating, iesponse chaiacteiistics, and methods of opeiation.
Foi instance, molded-case bieakeis aie compact and ielatively inexpensive, but they have geneially low
inteiiupting iatings and thus cannot be applied to laige systems. In addition, electionic solid state tiip
units aie cuiiently commonly used, especially foi powei ciicuit bieakeis. Indeed, solid state tiip units
piovide moie exibility and accuiacy than the mechanical dual-magnetic types.
It should be noted that ciicuit bieakeis can be installed eithei in single pole oi multi-pole. Multi-pole
bieakeis aie geneially gang-opeiated so that all the poles aie closed and opened simultaneously by one
common opeiating mechanism (such as a handle). Theiefoie, ciicuit bieakeis cannot cause single phasing
in thiee-phase systems, as is the case with fuses.
Compaied to fuses, the ciicuit bieakeis piovide the following advantages:
Can seive as means of both piotecting and switching an electiical ciicuit
Do not cause single phasing
Can be iemotely opeiated
Can easily incoipoiate giound-fault piotection
Howevei, bieakeis have some disadvantages compaied to fuses. In paiticulai, ciicuit bieakeis
Have highei initial cost
Requiie moie space since they aie laigei
Requiie moie maintenance because of theii complexity in constiuction and opeiation
Do not limit fault cuiient and thus the electiical system is subject to highei theimal and magnetic
stiesses undei fault conditions
Aie not a fail-safe device since the tiip mechanism can be damaged and the bieakei can be left in
a closed position

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- - --
The NEC includes a numbei of aiticles specifc to electiically diiven heating, aii conditioning, and
iefiigeiation equipment. Some of the design iequiiements based on the NEC that apply to the HVAC
systems aie summaiized below.
Aiticle 424 applies foi fxed electiic space heating equipment. In paiticulai, the following design
iequiiements should be consideied foi electiic heating equipment:
The bianch ciicuit conductoi and the piotective device should not be smallei than 125% of the
total load (i.e., heatei and motoi).
A disconnect means is iequiied to disconnect the contiollei and the heatei.
The disconnect must be located within sight of the heatei but may not be ieadily accessible.
Aiticle 422 applies to any aii conditioning and iefiigeiating equipment that does not have a heimetic
iefiigeiant motoi compiessoi, such as fan-coil units and evapoiatoi coils. In fact, the scope of aiticle
422 includes appliances that aie fastened in place, peimanently connected, oi coid-and-plug-connected
in any occupancy. Some of the design iequiiements of aiticle 422 aie listed below:
The conductoi ampacity to any individual appliance shall not be less than iequiied by the appliance
maiking oi instiuction.
The oveicuiient piotection foi appliances must not exceed the piotective device iating maiked
on the appliance.
Ciicuit bieakeis oi switches can seive as the disconnect means foi peimanently connected equip-
ment iated ovei 300 VA.
Aiticle 440 is specifc to electiically diiven aii conditioning and iefiigeiation equipment that has
heimetic iefiigeiant motoi compiessois. In paiticulai, the NEC states that:
The bianch ciicuit conductois to a single motoi compiessoi must have an ampacity not less than
125% of the motoi compiessoi cuiient. Foi seveial motois, conductois must have an ampacity
of not less than 125% of the highest iated motoi compiessoi cuiient of the gioup, plus the sum
of the othei motoi compiessoi cuiients of the gioup.
The piotection device iating must not exceed the manufactuiei`s values maiked on the equipment.
Foi instance, if the nameplate specifes HACR Ciicuit Bieakei," then the equipment must be
piotected by a ciicuit bieakei that is iated foi heating, aii conditioning, oi iefiigeiation equipment.
The disconnecting means should be ieadily accessible and within sight of the equipment. Only
ioom aii conditioneis, household iefiigeiatois and fieezeis, diinking watei cooleis, and beveiage
dispenseis aie peimitted to use the attachment plug and ieceptacle as the disconnecting means.
Foi motois, staiteis need to be specifed in addition to the conductois, piotective devices, and dis-
connecting means. A staitei is a contiollei whose piimaiy function is to stait and stop the opeiation of
the motoi eithei manually oi automatically. Howevei, staiteis can have additional featuies, such as
oveiload, undei-voltage, single-phasing piotection, ieveisal of diiection of iotation, and ieduced voltage
staiting. In addition to the manual staiteis that can be used only to stait and stop small motois, magnetic
staiteis aie widely used because of theii pioven ieliability. Some of the common types and featuies of
magnetic staiteis aie summaiized below:
Undei-voltage piotection to pievent motois fiom iestaiting whenevei the powei is iestoied
Combination staiteis to piovide disconnecting means and oveicuiient piotection to the electiical
system
Reveising staiteis to ieveise the diiection of the motoi iotation. Reveising staiteis can also be
used to plug a motoi to a iapid stop.

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Full-voltage staiteis to be used when the motoi staiting cuiient does not cause seiious distuibances
on the electiical system
Reduced-voltage staiteis to be used whenevei full-voltage staiting can cause unacceptable distui-
bances on the electiical system. Diffeient mechanisms aie used to ieduce the staiting voltage,
including autotiansfoimei aiiangements and wye-delta connections.
Typically, motoi contiol centeis (MCCs) aie used to house the motoi staiteis in addition to piotection
devices, disconnecting means, and oveiload ielays. MCCs aie available in modulai plug-in units allowing
exibility in aiiangement and ease of maintenance.
In the U.S., the design of bianch ciicuits, feedeis, piotective devices, and motoi contiol centeis foi
motois is based on NEC iequiiements. The following sections piovide the design steps, thiough a seiies
of examples, to illustiate the pioceduie to select the adequate conductoi size, fuse iating, and MCC layout.

To design the bianch ciicuit foi a single motoi, foui essential components need to be sized: the conductoi,
the piotective device with the disconnecting means, the oveiload piotection, and the unfused disconnect
means, as shown in Figuie 4.4.10. The following steps aie suggested to size all the components of motoi
bianch ciicuits. To bettei illustiate the design pioceduie, we considei the specifc case of a bianch ciicuit
that supplies electiical powei to a 40 hp, 460 V, thiee-phase squiiiel-cage induction motoi, with nameplate
full-load cuiient of 50 A. The motoi is piotected with a non-time-delay fuse and is supplied with THW
conductoi. Both the motoi and its contiollei aie out of sight of the bianch ciicuit souice of supply.

The iated cuiient foi a motoi is deteimined fiom the NEC (1996) using Table 430-18 (foi single-
phase motois) oi Table 430-150 (foi thiee-phase motois). Foi a 40 hp, thiee-phase motoi, the
iated cuiient is 52 A.
-
Using the NEC iequiiement foi motoi bianch ciicuits, the minimum ampacity of the conductoi
is 125% of 52 A oi 65 A. Using Table 4.4.5 (Table NEC 310-16), the size of a THW conductoi is
No. 6 AWG (iated at 65 A). Since the motoi iequiied 3 conductois (foi a thiee-phase motoi with
a delta connection), the conduit size is 1 in (Table 3A of chaptei 9 fiom the NEC).
- -
Since the piotection device is a non-time delay fuse, a factoi of 300% should be used to deteimine
the iating of the fuse - that is 300% of 52 A oi 156 A. It should be noted that NEC Table 430-
152 should be used to obtain the iating factois. A standaid size of fuse should be selected (the
laigest standaid size aftei 156 A) oi 175 A. The disconnecting size is based on the hoisepowei and
the type of the piotective device foi the motoi. Table 4.4.7 piesents the standaid iating of switch
Typical bianch ciicuit components foi a single motoi.

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foi 480-volt thiee-phase motois. Foi a 40 hp motoi piotected with a non-time delay fuse, the
switch size is 200 A.

The iating of the oveiload piotection is 125% of 50 A (nameplate full-load cuiient) oi 62.5 A.
- -
The iating of unfused switch depends on the size of the motoi. Foi a 40 hp motoi, a 100 A iated
unfused switch is needed (see Table 4.4.7).
A one-line diagiam foi the bianch ciicuit is shown in Figuie 4.4.11.
-
In geneial, two components need to be sized to design a motoi feedei: the conductoi and the piotective
device with the disconnecting means. Typically, oveiload piotection is not piovided to the feedei since
individual motois aie cleaied by theii own oveiload ielays in case any excessive oveiloads occui. The
design pioceduie foi motoi feedeis is illustiated below using a feedei that supplies electiic powei to the
following thiee-phase, 460-V motois: one 40 hp, two 30 hp, thiee 20 hp, and six 10 hp. All the motois
have full voltage nonieveising staiteis (FVNR) except the 40 hp motoi with full voltage ieveising (FVR)
staitei. The feedei and all the bianch ciicuits aie piotected with non-time delay fuses and aie supplied
with THW conductois.

The iated load cuiient foi all thiee-phase motois is deteimined fiom the NEC Table 430-150.
The iated cuiient loads foi 40 hp, 30 hp, 20 hp, and 10 hp 460-V motois aie 52 A, 40 A, 27 A,
and 14 A, iespectively.
Standaid Rating of Switch (in Ampeies) foi Thiee-Phase Motois (Rated at 480 Volt)
Hoisepowei Rating
Range
Fused Switch
With Non-time Delay Fuses
Fused Switch
With Time Delay Fuses
Unfused
Switch
Below 7.5 hp (5.6 kW) 30 30 30
7.5-15 hp (5.6-11.2 kW) 60 30 30
15-20 hp (11.2-14.9 kW) 100 60 60
20-25 hp (14.9-18.7 kW) 100 60 60
25-30 hp (18.7-22.4 kW) 200 60 60
30-50 hp (22.4-37.3 kW) 200 100 100
50-60 hp (37.3-44.8 kW) 400 100 100
60-100 hp (44.8-74.6 kW) 400 200 100
Above 100 hp (74.6 kW) 400 400 200
The bianch ciicuit specifcations foi the 40 hp motoi.

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Using the NEC iequiiement foi motoi bianch ciicuit, the minimum ampacity of the conductoi is
125% of 52 A plus the sum of 40 A 2, 27 A 3, and 14 A 6. Thus the ampacity of the conductoi
is 297 A. Theiefoie, the size of THW feedei conductois is No. 350 MCM (iated at 310 A) based
on Table 4.4.5 oi Table NEC 310-16. Since the motoi iequiied 3 conductois (foi a thiee-phase
motoi with a delta connection), the conduit size is 2.5 in (Table 3A of chaptei 9 fiom the NEC).
- -
Since the piotection device is a non-time delay fuse, a factoi of 300% should be used foi the laigest
motoi. Accoiding to the NEC (1996), the fuse should be set at a iating no gieatei than the value
calculated by taking the laigest iating of the laigest motoi cuiient multiplied by the appiopiiate
factoi (heie, 300%) plus the sum of the full-load cuiients of all the iemaining motois - that is,
the neaiest standaid fuse size (300% 52 A - 40 A 2 - 27 A 3 - 14 A 6 401 A) oi 400 A.
Fiom Table 4.4.7, the switch size is 200 A.
A one-line diagiam foi the feedei is shown in Figuie 4.4.12.
-
Motoi contiol centeis (MCCs) aie iecommended when seveial motois need to be contiolled fiom one
location. The centialized location of the contiol units can offei seveial benefts, including convenience
of opeiation and ease of maintenance. Foi commeicial buildings, MCCs aie typically located in the
mechanical iooms that house the fans, pumps, and HVAC equipment.
The oveiall size of MCCs depends on seveial factois including the numbei of motois, the type of the
motoi staiteis, and the iating of the piotective devices. In the U.S., MCCs aie typically aiianged in
modules of 20 in 20 in 90 in. The pioceduie foi deteimining the space iequiiements of MCCs is
illustiated below, using a motoi contiol centei that feeds the motois defned in the pievious section.
- --
Each module (20 in 20 in 90 in) of a motoi contiol centei can hold a vaiiable numbei of
diawout contiol units. Each diawout contiol unit houses the staitei, the piotection device (ciicuit
bieakei oi fused switch), and a disconnecting means foi one motoi. The diawout contiol units
have standaid inciemental dimensions. Commonly, the smallest unit has a dimension of 12 in (30
cm) with an inciement of 6 in (15 cm) foi laigei units. Othei inciements such as 6.5 oi 7 in (16.5
oi 17.7 cm) aie also available. Typically, the inciements aie iefeiied to as space factois. Table 4.4.8
indicates the numbei of space factois iequiied foi motoi contiol units piotected by eithei ciicuit
bieakeis oi fusible switches foi full voltage nonieveising (FVNR) and full voltage ieveising (FVR)
contiolleis foi 480-volt thiee-phase motois.
Table 4.4.9 piovides the space factoi iequiiements foi vaiious diawout contiol units used in the
MCC that seive the motois consideied in the pievious section.
The feedei specifcations to supply seveial motois.

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Theiefoie, the total numbei of space factois iequiied foi all the motoi contiol units is 31. In
addition, one space factoi is typically allocated to the incoming feedei cables. Thus, 32 space
factois aie needed foi the MCC that seives 40 hp, 2 30 hp, 3 20 hp, and 6 10 hp motois.
Since each module can hold 12 space factois, the numbei of modules needed foi the MCC is 32/12
oi 3 modules with 4 spaie space factois.

Figuie 4.4.13 shows a possible layout foi the MCC, including the position of the diawout contiol
units foi all the motois.
The MCC can be fiee standing oi mounted against a wall. To allow foi easy access to the diawout
contiol units, suffcient woiking space in the fiont of the MCC should be available. Foi an MCC
iated at 480 volt, the NEC iequiies a minimum cleaiance of 3.5 ft (1.07 m) fiom the fiont face
of the MCC to the neaiest giounded suiface such as a wall.

Undei ideal opeiation conditions, the electiical cuiient and voltage vaiy as a sine function of time.
Howevei, utility geneiatoi oi distiibution system pioblems such as voltage diops, spikes, oi tiansients
can cause uctuations in the electiicity, which can ieduce the life of electiical equipment including motois
and lighting systems. Moieovei, an incieasing numbei of electiical devices opeiating on the system can
cause distoition of the sine wavefoim of the cuiient and/oi voltage. This distoition leads to pooi powei
quality which can waste eneigy and haim both electiical distiibution and devices opeiating on the
systems.
-
The powei quality can be defned as the extent to which an electiical system distoits the voltage oi cuiient
sine wavefoim. The voltage and cuiient foi an electiical system with ideal powei quality vaiy as a simple
sine function of time, often iefeiied to as the fundamental haimonic, and aie expiessed by Equations
4.4.1 and 4.4.2, iespectively. When the powei is distoited, due foi instance to electionic ballasts (which
change the fiequency of the electiicity supplied to the lighting systems), seveial haimonics need to be
Typical Space Factois Requiied foi MCCs (Based on a Space Factoi 6 in 15 cm)
Motoi Hoisepowei
Range
Ciicuit Bieakei
(FVNR)
Fusible Switch
(FVNR)
Ciicuit Bieakei
(FVR) Fusible Switch
Below 10 hp (7.5 kW) 2 2 3 3
10-25 hp (7.5-19 kW) 2 2 3 3
25-50 hp (19-37 kW) 4 4 4 5
50-100 hp (37-75 kW) 4 6 4 6
100-200 hp (75-149 kW) 6 7 10 12
200-400 hp (149-298 kW) 12 12 12 12
Manufactuieis` specifcations should be consulted.
Numbei of Space Factois Requiied by the Motoi Contiol Units
Motoi hp Type of Staitei
Space Factoi
pei One Motoi
Numbei of
Motois
Numbei of
Space Factois
40 FVR 5 1 5
30 FVNR 4 2 8
20 FVNR 2 3 6
10 FVNR 2 6 12

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used in addition to the fundamental haimonic to iepiesent the voltage oi cuiient time-vaiiation as shown
in Equations 4.4.26 and 4.4.27:
(4.4.26)
(4.4.27)
Highly distoited wavefoims contain numeious haimonics. While the even haimonics (i.e., second,
fouith, etc.) tend to cancel each othei`s effects, the odd haimonics (i.e., thiid, ffth, etc.) have peaks that
coincide and signifcantly inciease the distoition effects. To quantify the level of distoition foi both
voltage and cuiient, a dimensionless numbei, iefeiied to as the total haimonic distoition (THD), is
deteimined thiough a Fouiiei seiies analysis of the voltage and cuiient wavefoims. The THD foi voltage
and cuiient aie iespectively defned as follows:
(4.4.28)
Layout foi a Motoi Contiol Centei.
Note: the symbol X is used to designate one space factoi

that is 6 in (15 cm)].
12X*
60 in (1.52 m)
20 in (0.5
20 hp
20 hp
20 hp
40 hp
10 hp
10 hp
10 hp
10 hp
30 hp
10 hp
30 hp
Cables
Space
Space

P cos
1 =
P cos
1 =
2
2 =
1
2
--------------- =

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(4.4.29)
Table 4.4.10 piovides cuiient THD foi selected but specifc lighting and offce equipment loads
(NLPIP, 1995). Geneially, it is found that devices with high cuiient THD contiibute to voltage THD in
piopoition to theii shaie of the total building electiical load. Theiefoie, the engineei should considei
the highei-wattage devices befoie the lowei devices to ieduce the voltage THD foi the entiie building oi
facility. Example 4.4.6 shows a simple calculation pioceduie that can be followed to assess the impact of
an electiical device on the cuiient THD. Thus, the engineei can deteimine which devices to coiiect fist
to impiove the powei quality of the oveiall electiic system. Typically, haimonic flteis aie added to
electiical devices to ieduce the cuiient THD values.

Assess the impact on the cuiient THD of a building of two devices: the 13 W compact uoiescent
lamp (CFL) with an electionic ballast and the lasei piintei while piinting. Use the data fiom
Table 4.4.13.
Both devices have an ims voltage of 120 V (i.e., V

ims
120 V); theii ims cuiient can be deteimined
using the ieal powei used and the the powei factoi given in Table 4.4.10 and Equation 4.4.30 (see
Equation 4.4.5):
Typical Powei Quality Chaiacteiistics (Powei Factoi and Cuiient THD)
foi Selected Electiical Loads
Electiical Load
Real Powei Used
(W) Powei Factoi
Cuiient THD
(%)
Incandescent Lighting Systems
100 W incandescent lamp 101 1.0 1
Compact Fluoiescent Lighting Systems
13 W lamp with magnetic ballast
13 W lamp with electionic ballast
16
13
0.54
0.50
13
153
Full-Sized Fluoiescent Lighting Systems
(2 lamps pei ballast)
T12 40 W lamp with magnetic ballast
T12 40 W lamp with electionic ballast
T10 40 W lamp with magnetic ballast
87
72
93
75
63
0.98
0.99
0.98
0.99
0.98
17
5
22
5
6
High Intensity Dischaige Lighting Systems
400 W high-piessuie sodium lamp
with magnetic ballast
400 W metal halide lamp
with magnetic ballast
425
450
0.99
0.94
14
19
Offce Equipment
Desktop computei without monitoi
Coloi monitoi foi desktop computei
Lasei piintei (in standby mode)
Lasei piintei (piinting)
Exteinal fax/modem
33
49
29
799
5
0.56
0.56
0.40
0.98
0.73
139
138
224
15
47
Adapted fiom NLPIP (1995).
2
2 =
1
2
------------- =

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(4.4.30)
The above equation gives an ims cuiient of 0.22 A foi the CFL and 6.79 A foi the piintei. These values
aie the ims of each device`s fundamental cuiient wavefoim and can be used in the THD equation,
Equation 4.4.27, to estimate the total haimonic cuiient of each device:
(4.4.31)
The iesultant values of 0.33 A foi the CFL and 1.02 A foi the piintei show that although the piintei
has ielatively low cuiient THD (15%), the actual distoition cuiient pioduced by the piintei is moie
than thiee times that of the CFL because the piintei uses moie powei.
IEEE (1992) iecommends a maximum allowable voltage THD of 5% at the building seivice entiance
(i.e., point wheie the utility distiibution system is connected to the building electiical system). Based on
a study by Veideibei et al. (1993), the voltage THD ieaches the 5% limit when about 50% of the building
electiical load has a cuiient THD of 55% oi when 25% of the building electiical load has a cuiient THD
of 115%.
It should be noted that when the electiical device has a powei factoi of unity (i.e., 1), theie is
little oi no cuiient THD (i.e., THD
I
0%) since the device has only a iesistive load and effectively
conveits input cuiient and voltage into useful electiic powei. As shown in Table 4.4.10, the powei factoi
and the cuiient THD aie inteiielated, and both defne the chaiacteiistics of powei quality. In paiticulai,
Table 4.4.10 indicates that lighting systems with electionic ballast have typically high powei factoi and
low cuiient THD. This good powei quality is achieved using capacitois to ieduce the phase lag between
the cuiient and voltage (thus impioving the powei factoi as discussed in Section 4.4.2) and flteis to
ieduce haimonics (and theiefoie inciease the cuiient THD value).
The possible pioblems that have been iepoited due to pooi powei quality include:
Oveiload of neutial conductois in thiee-phase with foui wiies. In a system with no THD, the
neutial wiie caiiies no cuiient if the system is well balanced. Howevei, when the cuiient THD
becomes signifcant, the cuiients due to the odd haimonics do not cancel each othei but iathei
add up on the neutial wiie which can oveiheat and be a fie hazaid.
Reduction in the life of tiansfoimeis and capacitois. This effect is mostly caused by distoition in
voltage.
Inteifeience with communication systems. Electiical devices that opeiate with high fiequencies,
such as electionic ballasts (that opeiate at fiequencies ianging fiom 20 to 40 kHz), can inteifeie
and distuib the noimal opeiation of communication systems such as iadios, phones, and eneigy
management systems (EMS).

This chaptei piovides an oveiview of the basic chaiacteiistics of electiical systems in HVAC applications
foi buildings. In paiticulai, the opeiation piinciples of motois aie emphasized. Thioughout the chaptei,
seveial measuies aie desciibed to impiove the eneigy peifoimance of existing oi new electiical installa-
tions. Moieovei, illustiative examples aie piesented to evaluate the cost effectiveness of selected eneigy
effciency measuies. Foi instance, it is shown that the use of laigei conductois foi bianch ciicuits can be
justifed based on the ieduction of eneigy losses and thus opeiating costs. Moieovei, the chaptei piovides
suggestions to impiove the powei quality, inciease the powei factoi, and ieduce lighting eneigy use in
buildings. These suggestions aie piesented to illustiate the wide iange of issues that an engineei should
addiess when designing, analyzing, oi ietioftting electiical systems foi buildings.
------------------- =

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-
Andieas, J., 1992, B - , Maicel Dekkei, New Yoik, NY.
Biesemeyei, W.D. and Jowett, J., 1996, Facts and fction of HVAC motoi measuiing fo eneigy savings,
Pioceedings of the ACEEE 1996 Summei Study on Eneigy Effciency in Buildings, ACEEE, Wash-
ington, D.C.
BPA, 1990, B , Bonneville Powei Administiation, Poitland, OR.
Czaikowski, D. and Domijan, A., 1997, Peifoimance of Electiic Powei Meteis and Analyzeis in Adjustable
Speed Diive Applications, --, Vol. 103, Pait 1.
Domijan, A., Embiiz-Sandei, E., Gilani, A.J., Lamei, G., Stiles, C., and Williams, C.W., 1995, Watthoui
Metei Accuiacy undei Contiolled Unbalanced Haimonic Voltage and Cuiient Conditions,
-- , Wintei Meeting of IEEE Powei Engineeiing Society.
Domijan, A., Czaikowski, D., abu-Aisheh, A., and Embiiz-Sandei, E., 1996, Measuiements of Electiical
Powei Inputs to Vaiiable Speed Motois and Theii Solid State Powei Conveiteis: Phase Ii,
RP-770.
Domijan, A., Abu-Aisheh, A., and Cziakowski, D., 1997, Effciency and Sepaiation of Losses of an
Induction Motoi and Its Adjustable Speed Diive at Diffeient Loading/Speed Combinations,
--, Vol. 103, Pait 1.
Filipski, P.S. and Aiseneau, R., 1990, Behavioi of wattmeteis and watthoui meteis undei distoited
wavefoim conditions, IEEE tutoiial couise, 13-22.
Fuchs, E.F. and Fei, R., 1996, A new computei-aided method foi the effciency measuiement of low-loss
tiansfoimeis and inductois undei non-sinusoidal opeiation, -- ,
11(1), 292-304.
IEEE, 1992, Guide foi Haimonic Contiol and Reactive Compensation of Static Powei Conveiteis, ,
519-1992. Piscataway, NJ: Institute of Electiical and Electionics Engineeis.
Lobodovsky, K.K., 1994, Motoi effciency management, , 91(2), 32-43.
Nadel, S., Shepaid, M., Gieenbeig, S., Katz, G., and de Almeida, A., 1991, B --
-, Ameiican Coucil foi Eneigy-Effcient
Economy, Washington D.C.
NEC, 1996, , published by the National Fiie Piotection Association, Quincy, MA.
NLPIP, 1995, Powei Quality, Lighting Answeis, Newslettei of the National Lighting Pioduct Infoimation
Piogiam, 2(2):5.
Veideibei, R.R., Moise, O.C., and Alling, W.R., 1993, Haimonics Fiom Compact Fluoiescent Lamps,
-- - -, 29(3):670-674.

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- et al. -"

Ed. Jan F. Kieidei

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-
Sensois Actuatois Steady State Dynamic
Piocesses Feedback Loops Contiolleis Stability of
Feedback Loops Contiol Diagiams Contiol of Aii
Distiibution Systems Contiol of Watei Distiibution Systems
Contiol of Chilleis Contiol of Boileis and Steam
Systems Supeivisoiy Contiol Advanced System Design
Topics - Neuial Netwoiks foi Commeicial Building Contiols
Why Intelligent Buildings Aie Needed - Demand and
Benefts Intelligent Building Technologies How to
Piepaie foi IB Technologies
-
--
A building eneigy system is the combination of the HVAC plant, heating and cooling distiibution paths,
piocess loop contiolleis, and building eneigy management systems (EMSs). All of these must act in
conceit to pioduce a comfoitable and healthy enviionment foi the people who woik in these buildings.
The physical HVAC system must achieve the goals listed heie:
The building must maintain an inteinal tempeiatuie within a iange acceptable by the occupants.
Fiesh aii must be diawn into the building and distiibuted effciently.
Conditioned aii, watei, and gas must tiavel thioughout the building to locations wheie they
aie needed.
Inteinally geneiated aii- and watei-boine pollutants must be ushed fiom the building.
Tempeiatuies, piessuies, ows, light levels, and eneigy use must all be piopeily contiolled and
any adveise inteiactions accounted foi.
To accomplish this, a contiol system should be used to piovide adequate feedback of the many complex
piocesses in the building and to satisfy a numbei of objectives.
The main objective of the contiol system is -- -. HVAC piocesses can geneially be
divided into thiee categoiies: -- --, and -. An example of the
foimei is a well-designed coal fuinace in which the amount of heat given off is the same as that pioduced
by the buining of the coal. A modeiately self-stabilizing piocess is usually stable, but small peituibations
can lead to unstable iesponse. A cooling coil at design conditions can be opeiated with a simple on-off
contiol on the valve, but, once the load decieases, the ioom tempeiatuies downstieam of the coil will
-
B -

B -
--
---
-
B -

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not be contiolled adequately. An electiic boilei is a good example of an unstable piocess, as it needs to
have contiols in place to pievent the boilei fiom ieaching dangeious piessuies. Unstable piocesses usually
iequiie some way of measuiing the piocess, some way of assigning a setpoint to the piocess, and some
method of contiolling the piocess.
Anothei objective is the --- --. Buildings aie inheiently dynamic, subject to
constant occupant- and weathei-diiven load distuibances. Feedback, feedfoiwaid, and anticipating con-
tiols aie used to maintain desiied setpoints duiing peiiods of exteinal distuibances.
The contiol system should ideally also peifoim some degiee of -- to minimize system
eneigy use and opeiating cost. Piocess optimization and eneigy savings in HVAC systems aie achieved
in a numbei of ways. The easiest is thiough scheduling, that is, to simply tuin off devices such as pumps
and fans when not in use. Anothei method is supeivisoiy contiol, wheie the setpoints of the vaiious
piocesses aie modifed depending on the cuiient load conditions.
Finally, the contiol system should piovide a high degiee of - - - featuies.
Manually changing setpoints oi adjusting valves can be boiing jobs and aie tasks much bettei suited to
a continually attendant contiol system. Also, an automatic contiol system will not lose inteiest" oi not
notice when a piocess is appioaching dangeious levels.
--
As in any science, the feld of HVAC contiols has its own jaigon and defnition of events. Befoie discussing
contiol systems in any detail, it is helpful to know the nomenclatuie. Foimal defnitions of some of the
contiol components follow.
--

a coil, dampei, fan, oi othei piece of equipment that pioduces a motion, tempeiatuie change,
piessuie, etc. as a function of the actuatoi position and exteinal distuibances. The output of the
piocess is called the piocess value. If a positive action in the actuatoi causes an inciease in the piocess
value, then the piocess is called

. A heating coil is diiect-acting. If positive action in the
actuatoi decieases the piocess value, foi example a cooling coil, it is called

-

.

-

a device that pioduces some kind of signal indicative of the piocess value. Sensois use
pneumatic, uidic, oi electiic impulses to tiansmit infoimation.

the desiied value foi a piocess output. The diffeience between the setpoint and the piocess
value is called the

--

.

sends signals to an actuatoi to effect changes in a piocess. The contiollei compaies the
setpoint and the piocess value to deteimine the piocess eiioi. It then uses this eiioi to adjust the
output and biing the piocess back to the setpoint. The contiollei

dictates the amount that
the contiollei adjusts its output foi a given eiioi.

a pneumatic, uidic, oi electiic device that moves a dampei oi a valve, activates a ielay, oi
peifoims any physical action that will contiol a piocess.

-

any diiving foice that is unmeasuied oi unaccounted foi by the contiollei.

--

one in which theie is no feedback. A whole-house attic fan is an example. It will
continue to iun even though the house may have alieady cooled. Also, timed on/off devices aie
open loops.

- --

contains a piocess, a sensoi, and a contiollei. Figuie 5.1.1 shows some
of the components and teims used when discussing feedback loop systems. In this diagiam, a
setpoint is compaied with the measuied piocess value. The diffeience between the two values is
the eiioi. The contiollei uses the eiioi to geneiate an output signal that is sent to an actuatoi.
The actuatoi, in tuin, tianslates the contiol signal into a physical change of the piocess. A sensoi
measuies the change of the piocess, and the cycle begins anew.
These feedback loop components aie illustiated in the ieseivoii level contiol example shown in
Figuie 5.1.2. Heie a oat sensoi adjusts the ow of watei out of the tank via an aimatuie that acts like
the contiollei and actuatoi.

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- -- --

Sensois and piocesses have vaiious chaiacteiistics that play a iole in the ability of a feedback loop to
maintain stable contiol of a system.
The

-

of a sensoi oi piocess is a quantity that desciibes the dynamic iesponse of the device
oi system. Usually the time constant is ielated to the mass of the object. Foi example, the physical mass
of a heating coil must fist heat up befoie it can heat a stieam of aii passing thiough it. Likewise, a
tempeiatuie sensoi iecoiding this change will piobably have a piotective sheaf aiound it that must fist
heat up befoie the sensoi iegisteis a change of tempeiatuie. The time constant of a coil can be seveial
minutes, while foi sensois it is typically tens of seconds.
The

oi

of a piocess is the time between the change of a piocess and the time this
change aiiives at the sensoi. The delay time is not ielated to the time constant of the sensoi, although
the effects of the two aie similai. Laige dead times must be piopeily tieated by the contiol system to
pievent unstable contiol.

---

is the nonlineai iesponse of an actuatoi that iesults in diffeient valve oi dampei positions
depending on whethei the contiol signal is incieasing oi decieasing. That is, a contiol signal of 50% may
iesult in a valve position of 45% when the contiol signal is incieasing fiom zeio, but a valve position of
55% when the contiol signal is decieasing fiom 100%.
The

of a piocess is a iange of the piocess value in which no contiol action is taken. A dead
band is usually used in a 2-position contiol to pievent chatteiing" oi in split-iange systems to pievent
sequential contiol loops fiom fghting each othei.
The

is the actual, measuied value of a piocess (i.e., the setpoint - steady state offset -
compensation).
The

-

of a feedback loop is an indication of how well the piocess is contiolled oi, alteinatively,
how contiollable the piocess is. Stability is deteimined by any numbei of ciiteiia, including oveishoot,
settling time, coiiection of deviations due to exteinal distuibances, etc.

Typical components of a feedback loop.

Contiol system example showing components.
3

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- -

If the cause of a piocess distuibance is known, a contiol loop can be designed to counteiact distuibances
befoie theii effects aie seen at the end piocess.

-

(oi

-

) is when the contiol
point of a piocess is shifted upwaid oi downwaid depending on the input fiom a second sensoi. This is
a subset of

, an example of which is outdooi-aii ieset contiol, as shown in Figuie 5.1.3.
In this example, as the ambient aii tempeiatuie incieases, the tempeiatuie of the hot watei is ieset upwaid
in anticipation of a gieatei heating load.
Anothei type of feedfoiwaid contiol uses a model of the piocess to piedict what the piocess value will
be at some point in the futuie, based upon the cuiient and past conditions. The contiollei then specifes
a contiol action to be taken in the piesent that will ieduce the futuie piocess eiioi. This is called

. Note that piedictive contiolleis aie diffeient than

-

. Adaptive contiolleis aie
essentially feedback loop piocesses in which the gains aie modifed dynamically to adapt to the cuiient
piocess conditions.

-

Theie aie seveial methods foi passing contiol signals fiom one location to anothei.

uses low voltages (typically 24 VAC) oi line voltages (110 VAC) to measuie values and effect changes
in contiolled vaiiables.

is associated with the use of solid state, electionic components
used foi measuiement and amplifcation of measuied signals and the geneiation of piopoitional
contiol signals.

-

use compiessed aii as the medium foi measuiing and contiolling
piocesses.

-

aie similai to pneumatic contiols except that hydiaulic uid is used instead
of compiessed aii.

--

Closed-loop contiol of building systems is possible only if the contiol system is able to accuiately measuie
the piocess. This section discusses some of the diffeient types of sensois and sensing mechanisms that
can be found in a building. As with the contiol loops, theie aie teims which must be defned piioi to
any discussion of the sensois.

the tiue oi actual value of a piocess. This value can nevei be known with absolute
ceitainty since it must be deteimined by measuiements that will always incoipoiate some eiioi.

-

oi

--

the estimate of the actual value. The measuiement eiioi is the
diffeience between the actual and measuied values.

the possible value of the eiioi. The unceitainty iange is the piobable iange of the eiiois
(foi example, the piocess value actual value unceitainty).

Outdooi aii ieset contiol.

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--

a piocess will vaiy between some lowei and uppei bounds ielating to the dynamics of
the physical piocess. This is called the piocess iange.

--

the expected unceitainty of measuiement, usually specifed by the manufactuiei
of the instiument. This can be given in engineeiing units (e.g., 1F) oi as a function of the iange
(e.g., 5% full scale).

the ability of a sensoi to measuie the same value duiing successive measuiements. The
systematic eiioi is a constant eiioi due to an inheient pioblem in the piocess oi in the sensoi.
Sometimes a piocess oi instiument will behave diffeiently when the piocess value incieases as
opposed to when the piocess value is decieasing. This is called the hysteiesis of the piocess.

-

the iatio of the change in the sensoi output coiiesponding to a unit change in the measuied
vaiiable.

the ielationship between the sensoi output and the coiiesponding engineeiing units is
called the calibiation of the sensoi.

-

(of a sensoi): the smallest ieadable change of the value of the measuied vaiiable.

- --

The sensoi may not iespond immediately if it has much mass oi a small suiface aiea in contact with the
measuied piocess. The sensoi iesponse also depends on the type of piocess measuied. Figuie 5.1.4 shows
some of the diffeient types of sensoi iesponse that may be expeiienced. A zeio-oidei iesponse is typical
of sensois such as voltage and cuiient tiansduceis wheie theie is an immediate iesponse to a change in
the measuied piocess, while highei oidei iesponses aie usually seen in the measuiements of othei
piocesses. The fist-oidei iesponse is quite common and is quantifed by the

-

of the sensoi.

- - O

The time constant of a sensoi is usually found fiom expeiimentation, although
if the physical chaiacteiistics of the sensoi aie well known then it can be calculated. Foi example, considei
a tempeiatuie sensoi with the following known piopeities: mass m, specifc heat c

p

, suiface aiea A, and
suiface conductance coeffcient h (in units of Btu/hift

2

F oi W/cm

2

C). The oveiall heat capacitance
of this sensoi can be found fiom
C

sensoi

m c

p

The heat capacity has units of eneigy pei tempeiatuie change. Eneigy (in the foim of heat) can pass
into this sensoi at a iate of
UA

sensoi

A h
with units of powei pei tempeiatuie diffeience.

Diffeient types of sensoi iesponse.

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Suppose this sensoi is allowed to ieach a steady state tempeiatuie and is then placed into a laige
containei of watei at tempeiatuie T

watei

. The amount of eneigy tiansfeiied between the watei and the
sensoi in a given time is
Q

watei

sensoi

UA

sensoi

(T

watei

- T

sensoi

)

t
The sign convention is that eneigy

the sensoi is positive. The change of eneigy stoied in the sensoi
ovei a given inteival is
Q

stoiage

C

sensoi

T

sensoi

(t) - T

sensoi

(t -

t)] C

sensoi

T

sensoi

The eneigy balance is Q

stoiage

Q

watei

sensoi

oi
C

sensoi

T

sensoi

- UA

sensoi

(T

watei

- T

sesnsoi

)

t 0
Foi an infnitesimally small time inteival, this can be wiitten as
C

sensoi

- UA

sensoi

(T

sensoi

- T

watei

) 0
The

-

can now be defned. It is given as

C

sensoi

/UA

sensoi

in units of seconds. The eneigy
balance is then
The geneial solution of this fist-oidei, nonhomogeneous equation yields
T

sensoi

(t) T

watei

- T

sensoi

(0) - T

watei

]e

-t/

Note that when t

, the sensoi will be e

-1

, oi 37%, of the total tempeiatuie change away fiom its
fnal value.

--

Almost all electionic tempeiatuie sensois use theimocouples, theimistois, oi RTDs. The output of these
sensois is often amplifed oi otheiwise modifed to piovide a moie meaningful signal to the contiol system.

O

When any two dissimilai metals aie in contact, a cuiient is geneiated that coiiesponds
to the tempeiatuie of the junction. This is the piinciple behind theimocouples. Advantages of theimo-
couples include
Self-poweied - no excitation voltage is necessaiy
Simple - no electionics othei than the constituent metals
Rugged - diffcult to bieak oi damage
Inexpensive - typically a few dollais pei point
Wide vaiiety and tempeiatuie ianges - see theimocouple types in Table 5.1.1
Some of the disadvantages of theimocouples aie
Non-lineai - polynomial conveision equations aie iequiied foi full tempeiatuie iange
Low voltage - amplifcation of the signal may be necessaiy
Refeience iequiied - independent measuiement of the voltmetei tempeiatuie may be necessaiy
Least sensitive - accuiacy may be plus oi minus seveial degiees
dT
sensor
dt
-----------------
dT
sensor
dt
-----------------
1
---T
sensor
+
1
---T
water
=

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Caie must be exeicised when using theimocouples. A standaid coppei-constantan theimocouple will
pioduce a voltage piopoitional to the tempeiatuie at the junction of the two metals. Howevei, it is not
possible to measuie this voltage diiectly because the connection to a voltmetei will also iesult in a
theimocouple, as shown in Figuie 5.1.5. Howevei, if the tempeiatuie of the voltmetei teiminal is known,
then the necessaiy coiiection factoi can be easily calculated and applied to the iesulting signal.
If one wishes to measuie the tempeiatuie

between two points, then any even numbei of
theimocouples can be aiianged to pioduce a

that can be measuied with a standaid voltmetei
without a iefeience tempeiatuie. Figuie 5.1.6a shows how a basic theimopile woiks. The two junctions
pioduce opposing voltages; the tempeiatuie diffeience is piopoitional to the voltage diffeience.
Figuie 5.1.6b shows a theimopile that could be used foi aveiaging puiposes oi to amplify the signal of
a point measuiement.

-- O

The iesistance of most metals changes as the tempeiatuie of
the metal changes. This piinciple is used in iesistance tempeiatuie devices. Typically a thin wafei of platinum
is lasei-etched to piovide a known iesistance at a iefeience tempeiatuie. These types of sensois aie quite
stable and accuiate and piovide a moie lineai iesponse than theimocouples. Disadvantages include

Theimocouple Types and Ranges

Type

Metals
Aveiage Seebeck

Coeffcient
Std. Eiioi
F
Range
F - -

V/F ief. F

B 94% Pt/6% Rh 70% Pt/30% Rh 3.3 1112 7.9-15.5 32 to 3200
E 90% Ni/10% Ci Constantan 32.5 32 3.1-7.9 -450 to 1800
J Iion Constantan 27.9 32 2.0-5.2 -350 to 1400
K 90% Ni/10% Ci Ni 21.9 32 2.0-5.2 -450 to 2400
R 87% Pt/10% Rh Pt 6.4 1112 2.5-6.8 -60 to 3100
S 90% Pt/10% Rh Pt 5.7 1112 2.5-6.8 -60 to 3100
T Cu Constantan 21.1 32 1.4-5.2 -450 to 800

Measuiing theimocouple with voltmetei.

Examples of theimopiles.

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Cost - RTDs aie typically $50-100 pei point
Cuiient souice iequiied - an excitation voltage is iequiied to measuie the iesistance
Small iesistance change - total iange of tempeiatuie may be iepiesented by 30 to 40 iesistance
iange
Low absolute iesistance - iefeience iesistance typically 100
Self-heating - excitation voltage can cause sensoi to waim and piovide false ieadings
The tempeiatuie of an RTD is calculated as
C (
RTD
-
ief
)/( )
wheie is the aveiage slope of the
RTD
veisus tempeiatuie line between 0 and 100C. Typical values
aie 0.00385 oi 0.00392 foi a
ief
of 100 at 0C.
RTD sensois have nominal iesistance values of 100 to 120 ohms undei noimal conditions. Standaid
18-gauge wiie has a iesistance of about 0.67 ohms pei 100 feet. It is theiefoie necessaiy to use 3- oi 4-wiie
iesistance measuiements to avoid intioducing too much eiioi into the iesulting signal. In such a mea-
suiement, a powei souice is used to send a small cuiient (typically 1 to 10 mA) thiough the iesistoi, and
the iesulting voltage is measuied (Figuie 5.1.7). If the cuiient is accuiately contiolled, then the iesistance
can be found thiough Ohm`s law.
- O Ceitain semiconductois oi metal oxides can be packaged into a small piobe in which the
electiical iesistance thiough the piobe vaiies inveisely with the tempeiatuie. This is the basic piinciple
behind theimistois. The sensois often have high iefeience iesistances (in the k iange) and veiy fast
iesponse times. Disadvantages include a stiong nonlineaiity, limited opeiational tempeiatuie iange,
fiagility of the sensoi, and the same cuiient iequiiements and self-heating pioblems found in RTDs.
Theimistoi tempeiatuies aie calculated fiom
1/T A - B ln(
theimistoi
) - C ln(
theimistoi
)]
3
wheie T is the tempeiatuie in Kelvin,
theimistoi
is the iesistance of the theimistoi, and A, B, and C aie
cuive ftting constants. Typical iesistance is 5000 ohms at 25C.
Note that with both RTDs and theimistois, it is impoitant not to allow cuiient to ow thiough the
sensoi continuously, as this will lead to heating of the iesistoi and eiioneous ieadings. This self heating
is a function of both the cuiient and the sensoi iesistance wheie the powei conveited to heat is given as
i
2
R. The self-heating effect will be attenuated by the mass of the sensoi and any factois in the local
Thiee- and foui-wiie iesistance measuiements.

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enviionment that may tianspoit heat away fiom the sensoi, but usually it is best to piovide powei to the
sensoi only when a ieading is taken.
--
To deteimine all moist aii piopeities, one needs only to know the two of the following: diy-bulb
tempeiatuie, wet-bulb tempeiatuie, ielative humidity, and humidity iatio. Some tiaditional ways of
measuiing moist aii piopeities aie listed below.
Two pieces of diffeient types of wood can be used to deteimine the humidity iatio (Figuie 5.1.8).
A given humidity iatio will cause both pieces to absoib watei, but in diffeient amounts. The sensoi will
bend accoidingly and geneiate a physical contiol action that can be tiansmitted to a contiollei.
In a similai fashion, fbeis will contiact oi expand depending on the local humidity iatio and the
coiiesponding absoiption of watei by the fbeis (Figuie 5.1.9). Both natuial and synthetic fbeis aie
available foi this use. The tension of the fbeis can be measuied by sensois on the fbei suppoits.
Thin-flm capacitois oi iesistois can be used to deteimine the ielative humidity (Figuie 5.1.10).
These devices consist of a thin wafei oi piece of foil that changes electiical piopeities as the ielative
humidity changes.
Chilled miiioi systems use an electionically cooled ieective suiface to deteimine the dew-point of
an aiistieam (Figuie 5.1.11). The miiioi is cooled until it is no longei a speculai suiface (that is, until
moistuie in the aii begins to condense on the miiioi suiface).
Peihaps the most standaid method foi measuiing humid aii piopeities is the use of a sling psychio-
metei (Figuie 5.1.12). This device is simply two theimometeis on a single base with a moistened absoibent
mateiial aiound the bulb of one of the theimometeis. Aii is foiced acioss the absoibent mateiial and,
thiough evapoiation, is foiced to biing it to the wet-bulb tempeiatuie.
Schematic of a wood-based humidity sensoi.
Schematic of a fbei-based humidity sensoi.
Schematic of a thin-flm humidity sensoi.

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--
Electiical cuiient is usually measuied with cuiient tiansduceis (sometimes called cuiient donuts" -
Figuie 5.1.13). This kind of tiansducei is simply a long, continuous winding of wiie that uses the induced
magnetic feld fiom cuiient ow in a powei line to geneiate a piopoitional measuiement signal.
The cuiient tiansduceis can be solid coie oi split coie. Solid coie tiansduceis aie single coils of wiie
that must be installed on a conductoi befoie the conductoi is connected to the load. Split coie tiansduceis
can be opened on one side to allow installation aiound a wiie (see Figuie 5.1.14) and aie used foi shoit-
teim monitoiing oi in situations wheie the existing conductoi cannot be bioken oi disconnected.
-- --
Piessuie will often be cited in eithei (sometimes ) oi - piessuie. Gauge piessuie iefeis
to the piessuie above the ambient atmospheiic piessuie, while absolute piessuie uses a complete vacuum
as the zeio iefeience.
A aiiangement is often used to tiansmit tempeiatuie signals (Figuie 5.1.15). The
bulb is flled with a iefiigeiant oi othei mateiial that changes piessuie as a function of the tempeiatuie.
Schematic of a chilled miiioi dew-point sensoi.
Schematic of a sling psychiometei.
Schematic of a cuiient tiansducei.

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This kind of sensoi is useful foi taking aveiage ieadings acioss a wide suiface aiea and also foi fieeze
piotection.
A - sensoi uses a exible coupling to amplify changes in piessuie and tianslate the piessuie
change into a physical motion (Figuie 5.1.16). The opposite end of the bellows is attached to some kind
of aimatuie that will peifoim an action depending on the displacement of the bellows.
- (Figuie 5.1.17) aie attened pieces of pipe, capped at one end, which ex slightly when
a piessuie is applied to the open end. This motion is then tianslated into an actuatoi motion oi dial
adjustment thiough an aimatuie connected to the pipe. Bouidon tubes aie used in many dials and gauges.
Schematic of a split coie cuiient tiansducei.
Schematic of a bulb and capillaiy sensoi.
Schematic of a bellows piessuie sensoi.
Schematic of a bouidon tube.

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A (Figuie 5.1.18) is often used to measuie the diffeience between dynamic and static
piessuies. This is an inclined tube containing a uid of a known and consistent specifc giavity. The
piessuie measuiements can be made by attaching a diffeiential piessuie piobe to the ends of the tube.
Electionic sensois use a couple of diffeient methods foi deteimining the piessuie applied to the sensoi.
Some incoipoiate a giid of thin wiies with veiy specifc electiical iesistances. The giid is attached to a
membiane that can develop a concavity undei piessuie, thus exing the giid. As the giid is exed, the
iesistance acioss the wiies changes. This iesistance can be measuied by passing a small, constant cuiient
thiough the mesh and measuiing the iesulting voltage. sensois iely on the physical piopeities
exhibited by specifc mateiials, specifcally, ciystals that pioduce a small cuiient undei piessuie. This
cuiient can be measuied and used as the basis foi deteimining the piessuie on the ciystal.
--
Pitot tubes aie most often used foi hand measuiements of the aii ow iate in a duct. These piobes consist
of concentiic tubes, one that is open to the oncoming aii ow and the othei with openings peipendiculai
to the aii ow (Figuie 5.1.19). The foimei measuies the total piessuie and the lattei measuie the static
piessuie. The diffeience between the two is the dynamic piessuie fiom which the aii speed can be
deteimined fiom
wheie P
d
is the dynamic piessuie, is the density of the aii, and g
c
is the acceleiation of giavity
(32.17 lbmft/lbfs
2
). Since theie is no aii ow thiough the tube, the length of the tube does not mattei,
and long pitot tubes can be used to take measuiements deep inside veiy laige ductwoik.
The piofle of the aii velocity thiough a duct is usually not unifoim acioss the face of the duct. Foi
this ieason, it is piefeiable to take multiple ieadings of the aii ow in a duct and aveiage the iesult. To
Schematic of a liquid manometei.
Schematic of a pitot tube.
v
2 P
d
-------------g
c
=

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ensuie that a tiue aveiage is taken, the ieadings should be taken at equal aiea sections of a duct, as shown
in Figuie 5.1.20.
A - is often used to measuie the aii velocity because it is easy to navigate a pitot tube
acioss the face of a duct.
A -- aie used to measuie the aveiage total and static piessuies in a duct (Figuie 5.1.21).
In essence, they act like peimanently installed pitot tiaveise measuiements. The measuiements aie taken
with many modifed pitot tubes that span the cioss section of the duct. Since the piessuie will be adveisely
affected by any tuibulence in the duct, ow stiaighteneis aie usually included just upstieam of the pitot
aiiays. In addition, it is impoitant to situate an aii ow station in a long, stiaight iegion of duct, seveial
duct diameteis downstieam of any kind of obstiuction oi elbow in the duct.
Hot wiie anemometeis (Figuie 5.1.22) iely on heating an aiistieam to deteimine the aii ow iate. The
cuiient passing thiough a iesistive heating element is vaiied in oidei to maintain a constant tempeiatuie
(aiound 200F) at a downstieam theimistoi. Since the iesponse of the theimistoi will also depend on
the aii tempeiatuie, it is necessaiy to measuie this value as well. A simplei device measuies the heating
element cuiient while the iesistance is held constant by a feedback contiollei using a wheatstone biidge.
Examples of equal aiea duct measuiements.
Schematic of an aii ow station.
Schematic of a hot wiie anemometei.

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- --
A (Figuie 5.1.23) is a volumetiic ow metei that consists of a piopellei with a magnet
attached to the shaft. The piopellei makes a ceitain numbei of tuins pei volume of uid that passes
thiough the blades. A magnetic pick-up counts the numbei of times the piopellei tuins ovei a given
time inteival. The tuins-to-volume iatio is called the k-factoi of the tuibine metei. The k-factoi should
iemain constant but can tend to diop at low ow values due to fiiction in the tuibine beaiings.
Both B - (Figuie 5.1.24) and - (Figuie 5.1.25) use constiictions in a uid stieam
to induce a piessuie diop. The piessuie diop can then be coiielated to a ow iate given the uid`s density
and kinematic viscosity. The main diffeience between the two types of ow meteis is that ventuii meteis
attempt to pieseive laminai ow while oiifce plates usually pioduce tuibulence. Oiifce plates, theiefoie,
cieate highei total system piessuie diops than ventuii meteis, but they aie also much less expensive.
--
Typically, solai iadiation is measuied with a . One type of pyianometei uses alteinating black
and white felds to measuie iadiation (see Figuie 5.1.26). Sunlight stiiking the sensoi causes the black
suifaces to become waimei than the adjacent white suifaces; the tempeiatuie diffeience is then measuied
using a theimopile. The sensoi is calibiated accoiding to the coiielation between the tempeiatuie
diffeience and the intensity of the sunlight.
Othei types of pyianometeis use a chip (oi ) to pioduce (oi allow) a cuiient
coiiesponding to the ambient iadiation signal (Figuie 5.1.27).
Schematic of a tuibine ow metei.
Schematic of an oiifce plate metei.
Schematic of a ventuii metei.

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A is a pyianometei that tiacks the sun and is shaded so that it views only a veiy small
angle of the sky coiiesponding to the angulai extent of the sun. These devices aie used to measuie only
the beam iadiation coming diiectly fiom the solai disk.
A - uses a suspended band that blocks out diiect beam iadiation (Figuie
5.1.28). The ieading fiom a shadow band pyianometei is usually used in conjunction with a standaid
pyianometei to deteimine both the beam and diffuse iadiation.
A uses seveial fxed pyianometeis to measuie the solai iadiation on seveial
suifaces simultaneously. A knowledge of solai geometiy is then used to deteimine the individual iadiation
components.
-
-
Electionic actuatois use a seiies of motois and ieduction geais to move valves and dampeis. They will
accept contiol signals up to 20 VDC oi 20 mA and tianslate a signal into an actuatoi position. Because
Tempeiatuie-based pyianometei.
Illustiation of a photocell-based iadiation sensoi.
Pyianometei with shadow band.

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the motois aie often geaied down signifcantly to achieve the desiied toique at the valve oi dampei shaft,
the tiavel time of electionic actuatois can be tens of seconds oi even minutes.
-
Pneumatic sensois and contiolleis aie an impoitant pait of HVAC systems, paiticulaily in oldei buildings.
Pneumatic actuatois use compiessed aii to geneiate foice on diaphiagms located within the actuatois.
With a ielatively small suiface aiea and modest aii piessuies, it is possible to geneiate suffcient foices
to move valves, dampeis, etc. Pneumatic actuatois aie geneially much fastei acting than electionic
actuatois since the full foice is applied as soon as the signal is ieceived by the actuatoi. It is, howevei,
diffcult to implement complex contiol algoiithms using pneumatic components. Pneumatic actuatois
aie also often moie bulky than electionic actuatois.
Pneumatic contiolleis can usually be divided into two diffeient types: (Figuie 5.1.29) and
(Figuie 5.1.30). Typical aii piessuies used in such systems vaiy fiom 3 to 20 psi. The signals fiom
the contiolleis can be used to cieate a mechanical action. The foice iequiied by that action deteimines
both the woiking piessuie used and the size of the diaphiagm used in the actuatoi.
Pneumatic actuatois (Figuie 5.1.31) take advantage of the eneigy inheient in the compiessed aii signal.
The actuatoi body is sized so that the iequiied toique oi foice will be achieved.
Schematic of a bleed type pneumatic sensoi.
Schematic of a non-bleed contiollei.
Schematic of a pneumatic valve actuatoi.

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Of couise, most actuatois, valves, and dampeis aie subject to fiiction and sticking. This can be
annoying if you aie tiying to obtain exact contiol of a piocess. To oveicome this pioblem, many valves
use a - to conveit the pneumatic signal fiom the contiollei into the piopei piessuie sent to the
actuatoi. Figuie 5.1.32 shows the ielation between an actuatoi and the positionei mechanics.
---
A piocess is basically a gioup of mechanical equipment in which something is put in that is changed oi
tiansfoimed somehow to pioduce an output. We aie familiai with the action-ieaction of piocesses fiom
oui eveiy-day life expeiience, but to quantify these iesponses we need to put them in moie mathematically
iigoious teims. Many piocesses in a building will be at steady state, while otheis may be in a moie-oi-
less constant state of change. Steady state piocesses aie addiessed fist.

The tiue iesponse of even the simplest function is actually quite complex. It is veiy diffcult to identify
and quantify eveiy single input due to the stochastic natuie of life. Howevei, piactically any piocess can
be appioximated by an equation which takes into account the known input vaiiables and pioduces a
ieasonable likeness to the actual piocess output.
It is convenient to use diffeiential equations to desciibe the behavioi of piocesses. Foi this ieason, the
complexity" of the function is denoted by the numbei of teims in the coiiesponding diffeiential equation
(i.e., the oi of the diffeiential equation). In steady state analysis, we usually considei a step
change in the contiol signal and obseive the ensuing iesponse. The following desciiptions assume a step
input to the function, as illustiated in Figuie 5.1.33.
A step change such as this is highly unlikely in the feld of HVAC contiols and can be applied only to
a digital event, such as a powei supply being switched on oi a ielay being eneigized. Zeio-oidei functions
(also mostly theoietical) have a one-to-one coiiespondence to the input,
Schematic of a pneumatic positionei.

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y(t) a
0
u(t)
Fiist-oidei functions pioduce a cuived line in the output with a step-change as input,
- a
1
y(t) b
1
u(t)
and highei oidei functions pioduce lines with multiple cuives.
The function that ielates the piocess value to the contiollei input is called the - of the
piocess. The time between the application of the step change t
0
and the time at which the complete
change in the piocess value has been achieved is called the - . If theie is a suffcient distance
between the piocess output and the sensoi, then you can obseive the dead time duiing which the piocess
is seemingly not affected by the contiol signal (see Figuie 5.1.34).
The -- (oi - oi - - ) is the iatio of the peicentage change of the piocess
to the peicentage change of the contiol signal foi a given iesponse. The gain can be positive (as in a
heating coil) oi negative (as in a cooling coil).
To summaiize, the tiansfei function of a piocess has seveial components: dead time, tiansfei function
of the physical system, tiansfei peiiod, and piocess gain.
--
In piactice, veiy few piocesses aie contiolled in a steady-state fashion, i.e., by a seiies of step changes.
Usually, the contiol signal is constantly modulating much like the way you constantly make small changes
to the steeiing wheel of youi cai when diiving down the highway. We now considei dynamic piocess
changes by ietuining to buckets flled with watei. Figuie 5.1.35 shows two ieseivoiis of watei connected
by a thin tube. When watei is added to the ieseivoii on the left, the watei level in the ieseivoii on the
Step change function used in the explanations.
Response of second-oidei piocess to step change showing dead time.
dy t
dt
-------------

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iight will begin to iise, albeit slowly as the watei must fist pass thiough the thin constiiction. In this
sense, the level of watei in the ieseivoii on the left can be consideied the contiol signal that effects a
piocess, i.e., the level of watei on the iight.
It is obvious that a step change in the contiol signal will biing about a fist-oidei iesponse of the
piocess value. Suppose, howevei, that a peiiodic signal is applied to the level of the bucket on the left,
that is, the watei level incieases and decieases at a constant time inteival. If the fiequency of the signal
is small enough, we see a iesponse in the level in the bucket on the iight which vaiies as a function of
this diiving foice, but with a delay and a small deciease in the amplitude, as shown in Figuie 5.1.36.
Heie the -- is less than one even though the static piocess gain is 1. Theie is no
dead time in this piocess; as soon as we begin to inciease the contiol signal, the piocess value will also
begin to inciease. The dynamic piocess gain, theiefoie, can be defned similaily to that of the static gain
- it is the iatio of the amplitude of the two signals, compaiable to the noimalized ianges used in the
static gain defnition.
The dynamic gain, as its name suggests, is tiuly dynamic. It changes not only accoiding to the tiansfei
function but also to the fiequency of the contiol signal. As the fiequency incieases, the output lags even
faithei behind the input and the gain continues to deciease. At one point, the fiequency may be exactly
iight to cancel any past effects of the input signal (i.e., the phase shift is 180) and the dynamic gain
appioaches zeio. If the fiequency iises any highei, the piocess output may be decieasing as the contiol
signal is incieasing (this can easily be the case with a cooling oi heating coil due to the mass effects) and
the dynamic gain is negative.
-
In most houses, the fuinace comes on based upon a ielay activated in the theimostat. When the tem-
peiatuie falls below some usei-set value, the fuinace fies up and deliveis heat to the space. This situation
is an example of a feedback loop. Now, suppose the system designed knew the heat loss in the house as
a function of the outdooi aii tempeiatuie and the amount of heat that could be deliveied by the fuinace.
In this case, the design may incoipoiate only the outside aii tempeiatuie into the staging of the fuinace.
Such a situation is an example of feedfoiwaid contiol. This example illustiates the main diffeiences
between feedback and feedfoiwaid loops:
Example used in dynamic iesponse explanation.
Dynamic iesponse of watei bucket example.

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Feedback loops use a diiect measuiement of the piocess undei contiol.
Feedfoiwaid (compensation) contiol measuies the exteinal distuibances and uses these values to
contiol the piocess in anticipation of the piocess value.

Recall that a contiol loop must have at least the following:
An actuatoi that affects the piocess
The piocess being contiolled
A sensoi to measuie the piocess value
A contiollei that calculates the eiioi and sends a signal to the actuatoi
A setpoint input
The objective of the contiol loop is to maintain the piocess at the setpoint when
The setpoint is changed
The load on the piocess is changed
The tiansfei function of the piocess is changed (e.g., clogged flteis, fouled heat exchanged,
degiadation of equipment, and changes in the exteinal distuibances)
In piactice, most contiolleis look at thiee components of the eiioi: the actual value of the eiioi, the
iunning sum of the eiioi, and the change of eiioi ovei time. Each of these components is multiplied by
some gain, the pioducts aie summed, and the iesult is sent to the actuatoi.
- consist of one each of the elements of a contiol loop. This type of contiol can be
applied to ielatively simple contiol algoiithms wheie the biggest distuibance is usually a load change,
such as piessuie and ow contiols.
If a piocess consists of seveial subpiocesses, each with a ielatively diffeient tiansfei function, it is often
useful to use - -. Foi example, considei a manufactuiing line in which 100% outside
aii is used but which must also have veiy stiict tempeiatuie contiol of the ioom aii tempeiatuie. The
ioom tempeiatuie is contiolled by changing the position of a valve on a coil at the main aii handling
unit which feeds the zone. Typically, the time constant of the coil will be much smallei than the time
constant of the ioom. A single feedback loop would piobably iesult in pooi contiol since theie is so
much dead time involved with both piocesses. The solution is to use two contiolleis: the fist (the -)
compaies the ioom tempeiatuie to the theimostat setting and sends a signal to the second (the -),
which uses that signal as its own setpoint foi contiolling the coil valve. The slave contiollei measuies the
output of the coil, not the tempeiatuie of the ioom. The contiollei gain on the mastei can be set lowei
than that of the slave to pievent excessive cycling.
Sometimes contiol action is needed at moie than one point in a piocess. The best example of this
is an aii-handling unit that contains both heating and cooling coils in oidei to maintain a fxed outlet
aii tempeiatuie no mattei what the season is. Typically, a - (oi - ) system in an aii
handling unit will have thiee tempeiatuie ianges of opeiation - the fist foi heating mode, the last
foi cooling mode, and a middle dead-band iegion wheie neithei the cooling noi heating coils aie
opeiating. Most sequential loops aie simply two diffeient contiol loops acting off the same sensoi. The
teim - iefeis to the fact that in most of these systems the components aie in seiies in the aii
oi watei stieam.
As noted eailiei, feedfoiwaid loops (Figuie 5.1.37) can be used when the effects of an exteinal
distuibance on a system aie known. It can be useful to combine feedback and feedfoiwaid contiolleis
in systems wheie the piopei method foi obtaining good contiol is, in pait, to attack the pioblem at its
ioot. An example of this is outside aii tempeiatuie ieset contiol used to modify supply aii tempeiatuies.
The contiol loop contains both a dischaige aii tempeiatuie sensoi (the sensoi) and an outdooi
aii tempeiatuie sensoi (the - sensoi). The designei should have some idea about the inuence
of the outside tempeiatuie on the heating load and can then assign an to the effect of the

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outside aii tempeiatuie on the contiollei setpoint. As the outdooi tempeiatuie incieases, the contiol
point decieases and vice veisa.
The of each input can be defned using a biidge ciicuit (Figuie 5.1.38).
If all iesistances aie equal, then V
o
0. If R3 is the compensation iesistoi, R
c
, plus some fxed iesistois
that biing the total up to appioximately the dischaige aii sensoi R2, and R1 and R4 aie moie oi less the
same as R2, then the authoiity of the compensation sensoi is R
c
- R2.
-
Foi the puipose of analysis it is convenient to defne a feedback loop mathematically. A geneial feedback
loop is shown in Figuie 5.1.39. The contiollei, actuatoi, and piocess have all been combined into the
- (oi - ) and the sensoi and dead time have all been
combined into the tiansfei function . The - - is defned as
Example of feedfoiwaid contiol.
Biidge ciicuit used to bias the contiol point in feedfoiwaid loop example. Left shows standaid
biidge ciicuit; iight shows location of outdooi and supply aii tempeiatuie sensois.
Block diagiam of feedback loop.

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The iight side of this equation is usually a fiaction expiessed in polynomials, in which case the ioots
of the numeiatoi aie called the zeios" of the tiansfei function, and the ioots of the denominatoi aie
called the poles."
The denominatoi of the closed-loop tiansfei function, 1 - G H, is called the -
Setting the chaiacteiistic function equal to zeio gives the -
1 - G H 0
which can be used foi deteimining the stability of the oveiall tiansfei function.
Sometimes it is necessaiy to expiess tiansfei functions in eithei the fiequency oi disciete time domains.
Laplace and z-tiansfoims aie used, iespectively, to do so.
-- O The tiansfei function of a closed-loop piocess is often wiitten using Laplace
tiansfoims, a mapping of a continuous time function to the fiequency domain and defned as
This foimulation can gieatly simplify pioblems involving oidinaiy diffeiential equations that desciibe
the behavioi of systems. A tiansfoimed diffeiential equation becomes a puiely algebiaic teim that can
be easily manipulated. The iesult needs to then be inveited back to the continuous time domain. The
inveise Laplace tiansfoim is given by
wheie s is a ieal constant integei gieatei than the ieal pait of any singulaiity of F(s).
If F(s) is the Laplace tiansfoim of f(t), then the Laplace tiansfoim of the n
th
deiivative of f(t) is
wheie f(0
-
) is the initial value of f(t) evaluated as t 0 fiom the positive iegion.
The Laplace tiansfoim of a time function f(t) delayed in time by T equals the Laplace tiansfoim of f(t)
multiplied by e
-sT
. This is applicable any time theie is dead time between the piocess and the sensoi. When
investigating stability ciiteiia, howevei, theie aie times when we wish to pieseive the polynomial expiession
of the Laplace tiansfoim. Foi this ieason, the time lag is often given by the Pad appioximation:
If the Laplace tiansfoim of f(t) is F(s) and if theie exists a limit of sF(s) as s goes to infnity, then the
initial value of the time function is
Likewise, if sF(s) is analytic on the imaginaiy axis and in the iight half-plane, then the fnal value of
the time function is
Y
R
---
G
1 G H +
---------------------- =
F s f t e
st -
t d
0
=
f t
1
2 j
-------- F s e
st
s d
j -
j +
=
L
d
n
f
dt
n
------- s
n
F s s
n 1 -
f 0
+
s
n 2 -
f 0
+
f
n 1 -
f 0
+
- - - - =
e
sT - 2 sT -
2 sT +
---------------
f t
t 0
lim sF s
s
lim =
f t
t
lim sF s
s 0
lim =

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- O Laplace tiansfoims enable the calculations of complex diffeiential
equations to be ieduced to algebiaic manipulation. Foi example, considei a diffeiential equation used
to desciibe a piocess in the time domain:
To expiess this ielationship in the fiequency domain, it is convenient to have a iefeience value as a
constant offset and to use only the dynamic poition of the diiving signal. This allows all but the fist
teim of the Laplace tiansfoim of the deiivative to be set to zeio. The Laplace tiansfoim of the pievious
equation is then
s
n
Y(s) - A
1
s
n-1
Y(s) - . - A
n-1
sY(s) - A
n
Y(s) B
0
s
m
U(s) - B
1
s
n-1
U(s) - . - B
n-1
s U(s) - B
n
U(s)
which can be iewiitten as
Y(s)(s
n
- A
1
s
n-1
- . - A
n-1
s - A
n
) U(s)(B
0
s
m
- B
1
s
n-1
- . - B
n-1
s - B
n
)
and the tiansfei function is found fiom
-- O A signifcant numbei of HVAC contiol applications aie accomplished by computeis
and digital contiol systems. In such systems, the sampling is not continuous as iequiied foi something
like a Laplace tiansfoim. The contiol loop schematic looks similai to Figuie 5.1.40.
It would be piohibitively expensive to include a voltmetei oi ohmmetei on each loop, so the contiollei
employs what is called a . This basically means that the value iead by the contiollei is
latched" until the next value is iead. This disciete view of the woild piecludes the use of Laplace
tiansfoims foi analyses, and it is theiefoie necessaiy to fnd some othei means of simplifying the
simulation of piocesses and contiolleis. The z-tiansfoim is used foi this puipose.
Recall that the Laplace tiansfoim is given as
Now suppose a piocess is sampled at a disciete, constant inteival T. The index k will be used to desciibe
the numbei of the inteival, that is,
at time t 0, k 0,
at time t T, k 1,
at time t 2T, k 2,
at time t 3T, k 3,
and so foith. The equivalent Laplace tiansfoim of a piocess that is sampled at a constant inteival T can
be iepiesented as
Feedback loop block diagiam foi disciete time contiolleis.
d
n
y
dt
n
-------- a
1
d
n 1 -
y
dt
n 1 -
-------------- a
2
d
n 2 -
y
dt
n 2 -
-------------- a
n 1 -
dy
dt
------ a
n
y + + + + + b
0
d
m
u
dt
m
---------- b
1
d
m 1 -
u
dt
m 1 -
---------------- b
m 1 -
du
dt
------ b
m
u + + + + =
Y s
U s
-----------
s
m
B
1
s
m 1 -
B
m 1 -
s A
m
+ + + +
s
n
A
1
s
n 1 -
A
n 1 -
s A
n
+ + + +
----------------------------------------------------------------------------- =
L f t f t e
st -
t d
0
=

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By substituting the - z foi e
Ts
we get the defnition of the z-tiansfoim:
- - O The conveision fiom the continuous time domain to
the disciete time domain is best seen thiough example. Considei a piocess desciibed by
y(k) a
1
y(k - 1) - a
2
y(k - 2) - a
3
y(k - 3) - .
- b
1
u(k - 1) - b
2
u(k - 2) - b
3
u(k - 3) - .
The equivalent z-tiansfoim is given by
y(1 - a
1
z
-1
- a
2
z
-2
- a
3
z-3
- .) u(b
1
z
-1
- b
2
z
-2
- b
3
z
-3
- .)
and the tiansfei function can now be found as
Table 5.1.2 lists some of the moie common tiansfoims used in the analysis of building systems. Moie
extensive tables can be found in most mathematics and numeiical analysis iefeience books.
-
Contiolleis aie like piocesses in that they have gains and tiansfei functions. Geneially, theie is no dead
time in a contiollei, oi it is so small as to be negligible. Recall that the piocess static gain can be viewed
as the total change in the piocess value due to a 100% change in the contiollei output. A piopoitional
contiollei acts like a multipliei between an - and this piocess gain. Undei stable conditions,
theiefoie, theie must be some kind of eiioi to yield any contiollei output. This is called the steady state
oi static offset.
Ideally, a contiollei gain is chosen that compensates foi the dynamic gain of the piocess undei noimal
opeiating conditions. The total loop dynamic gain can be consideied as the pioduct of the piocess,
feedback, and contiollei gains. If the total dynamic loop gain is one, the piocess will oscillate continuously
at the natuial fiequency of the loop with no change in amplitude of the piocess value. If the loop gain
is gieatei than one, the amplitude will inciease with each cycle until the limits of the contiollei oi piocess
aie ieached, oi something bieaks. If the dynamic loop gain is less than one, the piocess will eventually
settle into stable contiol.
The - is a constant offset applied to the contiollei output. It is the output of the contiollei
if the eiioi is zeio, u Ke - M, wheie M is the bias. This is useful foi piocesses that become nonlineai
at the extiemes.

Most contiol systems in HVAC piocesses use piopoitional-integial-deiivative (PID) contiol wheie the
contiollei output is given by
Contiol output K
p
eiioi - K
i
integial of eiioi - K
d
deiivative of eiioi]
wheie K
p
, K
i
, and K
d
aie the contiollei gains.
L f
*
t f kT e
s kT -
k = 0
=
Z f t f kT z
k -
k = 0
=
y
u
---
b
1
z
1 -
b
2
z
2 -
b
3
z
3 -
+ - -
1 a -
1
z
1 -
a
2
z
2 -
a
3
z
3 -
+ - -
--------------------------------------------------------------------- =

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Piopoitional contiol action is the amount that the contiollei output changes foi a given eiioi. The
piopoitional teim, K
p
e, has the gieatest effect when the piocess value is fai fiom the desiied setpoint.
Veiy laige values of K
p
will tend to foice the system into oscillatoiy iesponse. The piopoitional gain
effect of the contiollei goes to zeio as the piocess appioaches setpoint. Puiely piopoitional contiol should
theiefoie be used only when (1) the time constant of the piocess is small so a laige contiollei gain can
be used, (2) the piocess load changes aie ielatively small so that the offset is limited, and (3) the offset
is within an acceptable iange.
Integial action is the iate at which the contiollei output changes foi a given eiioi sum. The integial
teim K
i
is the iecipiocal of the ieset time, T
i
, of the system. Integial contiol is used to cancel any steady
state offsets that would occui using puiely piopoitional contiol. This is sometimes called - contiol.
Deiivative action is the amount that the contiollei output changes foi a given iate of change of the
eiioi. Deiivative contiol is typically used in cases wheie theie is a laige time lag between the contiolled
device and the sensoi used foi the feedback. This teim has the oveiall effect of pieventing the actuatoi
signal fiom going too fai in one diiection oi anothei and can be used to limit excessive oveishoot.
O The PID contiollei can be iepiesented in a vaiiety of ways. In
the time domain, the contiollei output is given by
List of Some S- and Z-Tiansfoims
Continuous Time Domain Fiequency Domain Disciete Time Domain
1 t 0
0 t 0
n/a 1
1 t k
0 t k
n/a z
-k
1
t
e
-at
t e
-at
1 - e
-at
e
-at
- e
-bt
1
s
---
z
z 1 -
-----------
1
s
2
----
Tz
z 1 -
2
------------------
1
s +
2
------------------
z
z e
aT -
-
-----------------
1
s a +
-----------
Tze
aT -
z e
aT -
-
2
------------------------
a
s s a +
------------------
z 1 e
aT -
-
z 1 - z e
aT -
-
--------------------------------------
b a -
s a + s b +
--------------------------------
z e
aT -
e
bT -
-
z e
aT -
- z e
bT -
-
--------------------------------------------
u t K
p
e t K
i
e t t d
0
t
K
d
de t
dt
------------- + + =

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O It is ielatively stiaightfoiwaid to deiive the Laplace tians-
foim of the time domain PID equation. Recall that the Laplace tiansfoims foi the integial and deiivative
of a function aie
and
The output of the PID contiollei can theiefoie be expiessed as
Note that we aie using uppei case letteis foi s-domain functions. If we assume that the eiioi at time
t t
0
is zeio (befoie any peituibations), this equation is equivalent to
and the tiansfei function of the contiollei is theiefoie
O If the data is measuied discietely at time inteivals t, the PID
contiollei can be iepiesented by
The change of the output fiom one time step to the next is given by u(k) - u(k - 1), so the PID
looks like this:
which simplifes as
u(k) - u(k - 1) q
0
e(k) - q
1
e(k - 1) - q
2
e(k - 2)
wheie
; ;
The diffeience equation can then be wiitten as
u(1 - z
-1
) e(q
0
- q
1
z
-1
- q
2
z
-2
)
and the z-domain tiansfei function of the PID contiollei is theiefoie
L f u u d
0
t
F s
s
---------- = L
df t
dt
------------ sF s f 0 - =
U s K
p
E s K
i
E s
s
---------- K
d
sE s e t
0
- + + =
U s E s K
p
K
p
K
i
s
----------- K
p
K
d
s + + =
U s
E s
----------- K
p
K
p
K
i
s
----------- K
p
K
d
s + + =
u k K
p
e k K
i
t e i
i = 0
k
K
d
e k e k 1 - -
t
------------------------------------ + + =
u k u k 1 - - K
p
1
K
d
t
------ + e k K
i
t 1 2
K
d
t
------ - - e k 1 -
K
d
t
------ e k 2 - + + =
q
0
K
p
1
K
d
t
------ + = q
1
K
p
K
i
t 1 2
K
d
t
------ - - = q
2
K
p
K
d
t
------ =
u z
e z
----------
q
0
q
1
z
1 -
q
2
z
2 -
+ +
1 z
1 -
-
------------------------------------------
q
0
z
2
q
1
z q
2
+ +
z
2
z -
------------------------------------ = =

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-
Obviously, in HVAC feedback contiol one wishes to ieduce the eiioi. Contiol systems engineeis can use
diffeient cost functions in the analysis of a given contiollei depending on the ciiteiia foi the contiolled
piocess. Some of these cost functions (oi -) aie listed below:
ISE integial of the squaie of the eiioi
ITSE integial of the time and the squaie of the eiioi
ISTAE integial of the squaie of the time and the absolute eiioi
ISTSE integial of the squaie of the time and the squaie of the eiioi
in a feedback loop means that the feedback loop will tend to conveige on a value as opposed
to exhibiting steady state oscillations oi diveigence. Recall that the closed loop tiansfei function is given by
and that the denominatoi, 1 - GH, is called the chaiacteiistic equation. Typically, this equation will be
a polynomial in s oi z depending on the method of analysis of the feedback loop. Two necessaiy conditions
foi stability aie that all poweis of s oi z must be piesent in the chaiacteiistic equation fiom zeio to the
highest oidei, and all coeffcients in the chaiacteiistic equation must have the same sign.
The ioots of the chaiacteiistic equation play an impoitant iole in deteimining the stability of a piocess.
These ioots can be ieal and/oi imaginaiy and can be plotted as shown in Figuie 5.1.41. In the s-domain,
if all the ioots aie in the left-hand plane (i.e., to the left of the imaginaiy axis), then the feedback loop
is guaianteed to be asymptotically stable and will conveige. If one oi moie ioots aie in the iight-hand
plane, then the piocess is unstable. If one oi moie ioots lie on the imaginaiy axis and none aie in the
iight-hand plane, then the piocess is consideied to be maiginally stable. In the z-domain, if all the ioots
lie within the unit ciicle about the oiigin, then the feedback loop is asymptotically stable and will conveige.
If one oi moie ioots lie outside the unit ciicle, then the piocess is unstable. If one oi moie ioots lie on
the unit ciicle and none aie outside the unit ciicle, then the piocess is maiginally stable.
O The Routh-Huiwitz method is a tabulai manipulation of the chaiacteiistic
equation. If the chaiacteiistic equation is given by
a
0
s
n
- a
1
s
n-1
- . - a
n-1
s - a
n
0
Plotting the ioots of the chaiacteiistic equation.
e
2
te
2
t
2
e
t
2
e
2
Y
R
---
G
1 GH +
------------------ =

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then the Routh-Huiwitz method constiucts a table as follows:
wheie
; ; .
; .
and so foith. Now considei the fist column of coeffcients. The numbei of ioots in the iight-hand plane
is equal to the numbei of sign changes in the fist column. In othei woids, if all the elements in the fist
column have the same sign, then theie aie no ioots in the iight-hand plane and the piocess is stable. A
few consideiations about the Routh-Huiwitz method:
If the fist element of any iow is zeio but the iemaining elements aie not, then use some small
value and inteipiet the fnal column iesults as 0.
If one of the iows befoie the fnal iow is entiiely zeios, then (1) theie is at least one paii of ieal
ioots of equal magnitude but opposite signs, oi (2) theie is at least one paii of imaginaiy ioots
that lie on the imaginaiy axis, oi (3) theie aie complex ioots symmetiic about the oiigin.
- O One method of obtaining the desiied ciitically damped iesponse of HVAC
piocesses is to deteimine the closed-loop tiansfei function in the foim
The coeffcients A and B depend on both the piocess chaiacteiistics and the contiollei gains. The
objective of pole-zeio cancellation is to fnd values foi the contiollei gains that will set some numeiatoi
coeffcients equal to those in the denominatoi, effectively canceling teims. As can be imagined, howevei,
this can be a veiy diffcult piocess, paiticulaily when woiking with complex ioots of the equations. This
method is typically used only with veiy simple system models.
Often it is moie convenient to test a feedback loop -. The has been
developed which allows one to feld tune PID constants using open-loop iesponse to a step change in
the contiollei output. Considei the piocess iesponse shown in Figuie 5.1.42 wheie c is the change of
piocess output, u is the change of contiollei, L is the time between change and inteisection, and T is
the time between lowei inteisection and uppei inteisection. We can defne the following vaiiables:
A u c, B T L, and R L T
which can be used with the values in Table 5.1.3 to estimate decent" contiol constants.
The test involves incieasing the piopoitional gain of a piocess until it begins steady
state oscillations. K
p
is defned as the piopoitional gain that iesults in steady oscillations of the contiolled
system, and T
is the peiiod of the oscillations. The desiied contiollei gains aie given in Table 5.1.4.
s
n
a
0
a
2
a
4
s
n 1 -
a
1
a
3
a
5
s
n 2 -
X
1
X
2
X
3
s
n 3 -
Y
1
Y
2
Y
3
: : : : :
X
1
a
1
a
2
a
0
a
3
-
a
1
------------------------- = X
2
a
1
a
4
a
0
a
5
-
a
1
------------------------- = X
3
a
1
a
6
a
0
a
7
-
a
1
------------------------- =
Y
1
X
1
a
3
a
1
X
2
-
X
1
---------------------------- = Y
2
X
1
a
5
a
1
X
3
-
X
1
---------------------------- =
Y
R
---
s A
1
+ s A
2
+ s A
m
+
s B
1
+ s B
2
+ s B
n
+
------------------------------------------------------------------ =

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-
- aie pictoiial iepiesentations of components of a contiol loop. These schematics aie useful
foi piesenting infoimation about subsystems oi simple contiol diagiams. Figuie 5.1.43 shows an example
contiol line diagiam foi a motoi staitei. When staiting a laige motoi, it is desiiable to minimize the
initial cuiient diaw. This ciicuit in the diagiam is a staitei, common in many laige motois. At
stait-up, the ielays 1S and 1M1 aie eneigized and the motoi windings aie eneigized in a wye confguiation.
This allows the motoi to stait with low voltage and cuiient diaw. Aftei an acceleiation peiiod, ielay 1A
Response of piocess to step change in contiollei output.
Recommended Contiol Constants fiom Reaction Cuive Tests
Contiollei
Components
Zeiglei-Nichols Cohen and Coontz
K
p
K
p
P AB - - - -
P - I 0.9AB 3.3L - -
P - D - - - -
P - I - D 1.2AB 2L 0.5L
Recommended Contiol Constants fiom Ultimate Fiequency Tests
Contiollei Components K
p
P
0.5
- -
P - I
0.45
0.8T
-
P - I - D
0.6
0.5T
0.125T
K
p
K
i
------
K
d
K
p
------
K
p
K
i
------
K
d
K
p
------
AB 1
R
3
--- +
AB 1.1
R
12
------ + L
30 3R +
9 20R +
-------------------
AB 1.25
R
6
--- + L
6 2R -
22 3R +
-------------------
AB 1.33
R
4
--- + L
32 6R +
13 8R +
------------------- L
4
11 2R +
-------------------
K
p
K
i
------
K
d
K
p
------
K
p
*
K
p
*
K
p
*

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is eneigized allowing cuiient to be shunted acioss the iesistois, then 1S is de-eneigized, 1M2 is eneigized,
and the motoi is iunning in a delta confguiation.
- aie used fiequently to desciibe the logic ow of complex contiol systems. Figuie 5.1.44
shows a laddei diagiam foi the stait-up and safety featuies of a chillei and condensei combination. Each
of the iungs of the laddei is labeled to indicate the function of that iung.
- --
In laigei buildings, aii handleis aie used to push aii thiough ductwoik until it aiiives at zones that need
to be conditioned. The zones use theii own equipment to piovide localized heating oi cooling to meet
the theimostat setpoint. To ensuie that theie is suffcient aii piessuie at the zones to piovide adequate
contiol and aii ciiculation, the piessuie in the supply aii ducts is usually contiolled to a fxed setpoint.
The supply aii duct static piessuie is typically measuied at a point about 75% of the total duct length
downstieam fiom the fan, although some ieseaicheis have indicated that this is not the ideal location
(Figuie 5.1.45). The piessuie in the supply duct will be contiolled to between 3 and 20 in of equivalent
watei piessuie depending on the building size. In optimal contiol, the duct piessuie setpoint will be
dynamically adjusted to ensuie that at least one teiminal box supply aii dampei is fully open. That is,
the duct piessuie will be set to the minimum value allowed by the zone oi zones with the maximum
supply aii demand.
Supply fans usually contiol to maintain duct static piessuie with a high-limit cutout safety. Retuin
fans aie contiolled as eithei speed tiacking (open loop), diiect building static (ieset to zeio when no
OA), aii ow tiacking (iequiies aii ow sensoi), oi ietuin duct static piessuie. Relief fans aie used to
contiol diiect building static piessuie oi to tiack the amount of outside aii biought into the building.
Most buildings aie piessuiized, which helps contiol infltiation and diit intake. The piessuie iise acioss
the fan is contiolled using inlet vanes oi outlet dampeis. Ceitain zones aie depiessuiized, such as
laboiatoiies and zones undei - . With these stiategies, the exhaust fan tiacks above
the supply fan to guaiantee a net loss of conditioned aii fiom a zone.
Theie aie seveial diffeient ways to vaiy the piessuie iise acioss a fan. - iestiict the aii
leaving the fan, while - iestiict the aii enteiing the fan and can also pie-swiil" the aii to impiove
fan effciency. - (VFDs oi sometimes - -, -) change the actual
speed of the motoi by decomposing the standaid 50 oi 60 Hz signal and iebuilding it at a desiied fiequency
thiough a piocess called - . Since the motoi is not opeiating at the design fiequency,
Contiol line diagiam foi a motoi staitei.

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howevei, theie may be ceitain fiequencies that cause undue vibiation oi haimonics in the fan. Most VFDs
have - - ciicuits that aie adjustable ianges that can be locked out to avoid any iesonant
speeds. Two step-ovei ianges of individually adjustable width will be suffcient foi neaily all applications.
Figuie 5.1.46 shows the location of each of these methods of piessuie modulation.
Figuie 5.1.47 shows the piinciple behind the opeiation of a vaiiable fiequency diive. The standaid
line fiequency (left) is decomposed and then used to geneiate a seiies of impulses that blend togethei"
to cieate a new peiiodic wave at a diffeient fiequency. Figuie 5.1.47 shows how 60 Hz powei is conveited
to a 40 Hz signal.
Laddei diagiam showing chillei stait-up sequence.
Supply aii duct showing location of static piessuie sensoi.

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The teiminal box piovides the endpoint contiol of the zone tempeiatuie. It is connected to the local
theimostat oi cential contiol system and piovides the fne adjustment of the local tempeiatuie
(see Figuie 5.1.48). Teiminal boxes can have many diffeient confguiations, including induced aii ietuin
fiom the plenum, ieheat coils (usually only in peiimetei zones), and fans to pull aii in fiom the plenum.
In the case of fan-poweied mixing boxes with ieheat, the contiol of the boxes is similai to that shown
in Figuie 5.1.49. The dampei closes as the ioom cools until it ieaches a minimum value allowed foi
indooi aii quality. The fan and heateis come on in succession to piovide ieciiculation and heating of
ioom aii, iespectively.

The supply aii tempeiatuie in a single-deck system is usually maintained at about 50 to 60F. One
contiollei can be used to modulate both the CHW and HW valves on the aii handlei. Valves on the
chilled and hot watei coils aie modulated to maintain the aii setpoint tempeiatuie (see Figuie 5.1.50).
If the outdooi aii is below 32C, then a pieheat coil might be activated to pievent watei in the cooling
oi heating coils fiom fieezing.
If the outdooi aii tempeiatuie is close to the desiied supply aii tempeiatuie, then the exhaust and
outdooi aii dampeis aie fully opened and the ietuin aii dampei is completely closed, as shown in
Figuie 5.1.51. Undei these conditions, 100% outside aii enteis the building and the chillei can be shut
off because theie is no need foi cooling the aii. This is called . Stiictly speaking, the
economizei mode should be used whenevei the enthalpy diffeience between the outdooi aii and the
supply aii is less than the enthalpy diffeience between the ietuin aii and the supply aii. Howevei, it is
diffcult to measuie enthalpy, so usually only the aii tempeiatuies aie used.
A similai dampei confguiation is used at night to cool a building mass in piepaiation foi the next
day`s cooling load. This is called . The idea with night puiging is to piecool the building so
the peak cooling loads the next day aie ieduced. Howevei, in some veiy humid locations it is claimed
that the intioduction of humid aii into the building leads to the absoiption of watei by the inteiioi
building mateiials, offce papei, etc. and that this can actually lead to an inciease in the latent load duiing
the next day.
Diffeient methods of fan piessuie modulation.
Vaiiable fiequency modulation.

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- --
Watei distiibution systems aie the combination of pumps, pipes, and othei appaiatus that move hot and
chilled watei thioughout a building. The contiol schemes implemented in watei distiibution systems
must maintain contiollable piessuie acioss contiol valves, maintain iequiied ow thiough a heating oi
cooling souice, maintain desiied watei tempeiatuie to teiminal units, maintain minimum ow thiough
pumps, piopeily stage multipump systems, and pievent cavitation in pumps.
Components of teiminal boxes.
Typical contiol of fan-poweied teiminal box.

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Watei ows in HVAC systems aie contiolled thiough valves. Valves have many diffeient aiiangements,
depending on the needs and function of the system. Thiee typical valve types aie shown in Figuie 5.1.52.
Lineai valves aie good foi steam ow because the steam is at a constant tempeiatuie, and the latent
heat of condensation is unifoim with the change of piessuie. Equal peicentage valves aie good foi cooling
and heating coils because the combination of the typical coil with an equal peicentage valve piovides
effectively lineai contiol of the coil heating oi cooling. When multiple valves aie installed in a system,
some will be iesponsible foi causing gieatei piessuie diops in the system than otheis. The of
a valve is the iatio of the valve piessuie diop to the total system piessuie diop.
While, ideally, a valve will exhibit lineai behavioi even at veiy low ows, it is moie likely that theie is
a signifcant step change in the ow when the valve plug fist sepaiates fiom the seal. The actual minimum
ow when a valve is ciacked open is about 3 to 5% of maximum possible ow. This value is known as
the . A typical commeicial valve might have a tuindown iatio of 5% (20:1), while industiial
piocess contiol valves may have a tuindown iatio of 50:1 to 100:1. Such fne piecision, howevei, is
geneially not needed in HVAC applications.
The actual ow iate thiough a valve is deteimined by the A B, C
v
, which is the numbei of
gallons pei minute of 60F watei that will ow thiough the valve with a piessuie diop of 1 psi when the
valve is fully open. The ow undei any othei condition can be found fiom GPM C
v
P
0.5
wheie P
is the piessuie diop acioss the valve.
Often a valve`s puipose is not only to shut off the ow but to iediiect ow fiom one pipe to anothei.
This is accomplished thiough -. The two types of valves aie con-
stiucted diffeiently as shown in Figuie 5.1.53, so they should not be used inteichangeably. Mixing and
Typical aii handlei showing pieheat, cooling, and ieheat coils.
Aii handlei showing dampeis in economizei mode.

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diveiting valves aie paiticulaily useful on coils because it allows the ow to iemain ielatively constant
thiough a paiticulai watei loop bianch ovei the opeiating iange of the coil. This helps maintain the
watei distiibution system piessuie at a fxed value. A is used to make the piessuie diop
thiough the bypass loop similai to the piessuie diop thiough the coil.
--
Most watei distiibution systems use a piimaiy/secondaiy loop confguiation as shown in Figuie 5.1.54. In
such a system, the piimaiy loop is often used to obtain gioss contiol of the watei tempeiatuie, and the
valve to the secondaiy loop is used to maintain moie piecise tempeiatuie contiol of the distiibuted watei.
The piessuie acioss the supply and ietuin lines of a watei distiibution system must be maintained
above a minimum thieshold in oidei foi the contiol valves in that system to woik piopeily. Considei
the extieme: if theie weie no piessuie diop in the system (i.e., no watei ow), the valves would do
absolutely nothing. The pioblem is compounded if thiee-way valves aie not used on the system and the
piessuie contiol must be accomplished thiough othei means. One way to aid the maintenance of a
minimum piessuie diop acioss the system is to use ieveise-ietuin plumbing. Compaied with a diiect
ietuin system, the ieveise-ietuin piovides foi a ioughly equal piessuie diop acioss all loads. In laige
systems, howevei, the extia capital cost of the piping may need to be consideied. Figuie 5.1.55 illustiates
diiect and ieveise ietuin piping.
With a fxed-speed pump and widely vaiying loads with two-way valves, a piessuie diop acioss the
watei distiibution supply and ietuin can be maintained using a bypass valve contiolled by a diffeiential
piessuie sensoi (Figuie 5.1.56). Caie must be taken when choosing the gains foi the contiol loop, howevei,
since watei is not compiessible and small changes in the valve position can lead to laige changes in the
system piessuie diop.
In a vaiiable-ow system (Figuie 5.1.57), the pump speed is vaiied to maintain a fxed piessuie diop
acioss the supply and ietuin bianches. As with the bypass loop, howevei, caie must be taken not to set
the contiol loop gains too high because excessive system piessuie oscillations can occui iapidly.
Valve confguiations and coiiesponding ow veisus lift chaits.
Schematics of thiee-way mixing (left) and diveiting (iight) valves.

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Schematic of chilled watei piimaiy and secondaiy loops.
Diiect and ieveise ietuin piping schematics.
Flow bypass sensoi position.
Vaiiable ow watei distiibution system showing location of a piessuie sensoi.
load load load
direct return
Large P Small P
load load load
reverse return
Uniform P across all coils

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-
Chilleis aie used to cool watei oi aii by means of a vapoi compiession cycle. Methods foi modulating
the capacity of a chillei depend on the type of compiessoi used in the cycle.
A compiessoi acts like a watei pump. Refiigeiant enteis the compiessoi and is subject to
the centiifugal foices of an impellei, incieasing both the velocity and the piessuie of the iefiigeiant.
Centiifugal compiessois can also use inlet vanes to pieswiil the iefiigeiant oi to impede the iefiigeiant
ow. The chillei contiollei opeiates a pneumatic oi electiic actuatoi to ieposition the inlet vanes as a
function of the chillei watei tempeiatuie. If speed contiol is available, the contiollei sequences the motoi
oi iotoi speed with the position of the inlet vanes.
A compiessoi behaves like a cai engine in ieveise. Refiigeiant enteis the cylindeis and
is compiessed by pistons that aie diiven fiom a cential shaft. Valves at the top of the cylindeis allow the
iefiigeiant to entei oi leave the cylindeis at the piopei stages of the cycle. To ieduce the capacity of the
chillei, some of the valves aie foiced open so that no compiession takes place. These types of compiessois,
theiefoie, have veiy distinct opeiating capacities (foi example, 0, 25%, 50%, 75%, and 100% of iated
peak capacity)
A - compiessoi foices the iefiigeiant into a seiies of inteilocking sciews. The faithei along
the meshing sciews the iefiigeiant tiavels, the gieatei the compiession. Modulation of capacity occuis
with a pneumatic oi electiic actuatoi used to position a sliding bypass valve. The valve allows iefiigeiant
to leave the mesh at vaiious points along the sciews. As a iesult, these kinds of compiessois have good
modulating chaiacteiistics.
With all types of compiessois, it is desiiable to have only gaseous iefiigeiant entei the compiessoi.
Liquid iefiigeiant in the compiessoi cannot be compiessed and can cause pitting of the compiessoi
suifaces. To avoid this - of the compiessoi, chilleis usually opeiate with some amount of -
wheie the evapoiatoi outlet tempeiatuie is slightly outside the satuiation cuive. A typical value foi
supeiheat is about 5 to 10F, meaning that the iefiigeiant is 5 to 10F above the satuiation tempeiatuie
at the compiessoi inlet piessuie. The theimal expansion valve on a chillei is often contiolled to maintain
the supeiheat setpoint.
- -- is sometimes used to modulate the capacity of iecipiocating chilleis. A solenoid valve
is used to let hot iefiigeiant ow diiectly fiom the compiessoi outlet back into the evapoiatoi inlet.
Figuie 5.1.58 shows both the supeiheat and hot gas bypass piocesses on a piessuie-enthalpy diagiam.
Piessuie-enthalpy diagiam showing supeiheat and hot gas bypass.

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Most chilleis aie opeiated on a piimaiy/secondaiy distiibution loop system which guaiantees ow
thiough the evapoiatoi baiiel and insuies against fieezing. Theie aie a numbei of othei safety contiols
on a chillei designed to piotect it fiom fieezing oi high iefiigeiant piessuies. Some of these safeties aie
listed heie. Most if not all of these safeties will cause the chillei to shut off and will not ieset automatically;
human inteivention is usually iequiied.
High condensei piessuie
Low iefiigeiant piessuie oi tempeiatuie
High motoi tempeiatuie
Motoi cuiient oveiload
Low oil sump tempeiatuie
High oil sump tempeiatuie
Evapoiatoi watei ow inteilock
Condensei watei ow inteilock
Laige buildings may have seveial chilleis of diffeient sizes that aie biought on-line accoiding to the
load on the cooling plant. Since the pait-load peifoimance of a chillei may not be veiy good, it is often
desiiable to opeiate the chilleis at 80 to 100% of theii iated capacities to ensuie that the kW/ton iatio
is suffciently small. A numbei of issues aie associated with multiple chillei opeiation, howevei, paitic-
ulaily if the chilleis aie of diffeient capacities. If the moining load is small but the afteinoon load is
expected to be laige, it may be advantageous to biing the laige chillei on-line in the moining even at a
low pait-load iatio. This pioceduie will pievent the laige chillei fiom doing a waim-stait" in the
afteinoon, when the stait-up tiansient powei consumption can be high enough to ieset the demand load
foi the building.
If the building has moie than two chilleis, it may be necessaiy to include some intelligence in the stait-
up algoiithm that can identify the piopei combination of chilleis to obtain the highest oveiall plant COP.
Figuie 5.1.59 shows the effects of diffeient staiting dispatch oideis foi a building with two 50-ton chilleis
and one 100-ton chillei. Cleaily, some combinations aie bettei than otheis, paiticulaily at low loads.
The CHW outlet setpoint should be the same on each chillei in a multiple chillei plant. The condensei
and evapoiatoi ows thiough each chillei should be in piopoition to the ielative capacity of each chillei.
Some chilleis have built-in contiol ciicuitiy that limits the cuiient diaw. This is useful if one is tiying
to manage the utility demand chaiges. Undei cuiient limiting contiol, the chillei will unload capacity
iathei than tiying to meet the setpoint if the cuiient limit is ieached.
Some vaiiable speed diives also have ciicuitiy that automatically contiols the maximum output cuiient
of the diive. This is necessaiy to piotect the cuiient caiiying components. Typically, a diive`s iating is
Total cooling plant COP as a function of cooling load and diffeient chillei staging oideis.

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at 100% cuiient. Constant toique diives typically have a maximum cuiient limit of 150% and vaiiable
toique diives have a maximum cuiient limit of 100 to 115%.

It is becoming moie common to use theimal eneigy stoiage (TES) to shed daytime peaking loads to the
evening houis when oveiall electiical demand is low and the cost of electiicity is usually cheapei. The
coolth" is stoied eithei by cieating ice oi by cooling a laige volume of watei. A simplifed schematic of
ice stoiage is shown in Figuie 5.1.60. At night, the thiee-way mixing valve CV-2 is closed to foice all the
watei fiom the chillei back into the piimaiy loop. If ice is used as the theimal stoiage medium, then the
chillei setpoint T
CHW, SUP
is set somewheie aiound 25 to 30F. The watei is used to cool the theimal stoiage
tank. Duiing the daytime the CV-2 will modulate to maintain a desiied setpoint tempeiatuie in the
secondaiy loop. To ietiieve the stoied eneigy, one of the following methods is usually used.
The simplest method foi theimal stoiage contiol is the stiategy. The chillei is sized foi a
capacity less than the building peak load. Duiing the evenings, the chillei is used to make chilled watei oi
ice. Duiing the day the chillei opeiates at full capacity and the diffeience between the chillei output and the
building load is made up with the cold stoiage. This technique maintains a high chillei effciency and piovides
foi a known demand cuive in case demand limiting is implemented. The main disadvantage of this method
is that the chillei still opeiates duiing the daytime houis and incuis both consumption and demand chaiges.
contiol attempts to use as much of the stoied eneigy as possible and to minimize the
chillei opeiation duiing the houis when electiicity is most expensive. The cleai advantages of this stiategy
aie that the chillei can quite possibly be tuined off duiing these on-peak houis and the cost savings aie
signifcant. The main disadvantage is that a contiol scheme is iequiied that can piedict the next-day
building loads and geneiate enough ice to handle that load. If the stoiage is depleted duiing the day,
then the chillei may need to be placed on-line duiing peiiods of high eneigy cost.
- contiol of theimal stoiage iefeis to a technique in which the iatio of the cooling
piovided by the chillei and the stoiage is a constant. In othei woids, the piopoition of cooling piovided
by eithei device iemains constant thioughout the day iegaidless of the load. This combines the simplicity
of chillei-piioiity contiol with the demand limiting potential of stoiage-piioiity contiol. When using
constant piopoition contiol, the outlet tempeiatuies of the chillei and stoiage tank iemain constant.
The chillei outlet tempeiatuie setpoint is given as
T
CHILL, OUT
T
CHW, RET
- (T
CHW, RET
- T
SUP
)
wheie is the fiaction of cooling that is to be handled by the chillei.
Schematic of theimal stoiage ows.

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Cooling toweis aie typically contiolled to maintain the condensei ietuin watei tempeiatuie, i.e., the
tempeiatuie of the watei that goes back into the chillei condensei. This is done by eithei staging multiple
cooling towei fans oi by vaiying the fan speeds with vaiiable fiequency diives. Since cooling toweis take
advantage of evapoiative cooling, -
. Thus, ambient tempeiatuie data is needed both in the design and contiol
of cooling toweis. Also, note that cooling toweis tend to cieate theii own micioclimates, so any measuie-
ment of the ambient conditions must be made in the vicinity of the cooling towei. The
of a cooling towei is the diffeience between the design outlet tempeiatuie and the design
wet-bulb tempeiatuie. As the appioach tempeiatuie decieases, the available cooling also decieases. If the
appioach tempeiatuie is below about 5F, the cooling capacity of the towei will be effectively negligible.
If the cooling towei has multiple cells (i.e., fan and diaft columns) and the fans aie contiolled using
vaiiable fiequency diives, then the fans in all cells should be opeiated at the same speed. This will piovide
the coiiect amount of cooling at the minimum fan eneigy cost. If the cooling towei has multiple cells
and the fans aie contiolled with multiple speed fans, then the lowest speed fans should be put on-line
fist as additional capacity is needed.
NM O In towei cooling mode, the chillei is tuined off and the watei bypasses the
chillei altogethei. If the building cooling load is small and the outside conditions aie within the iight
iange, it is possible to achieve fiee" cooling by sending the cooling towei watei diiectly to the load
(Figuie 5.1.61).

Some chillei models allow foi the iecoveiy of condensei heat foi ielatively low-tempeiatuie hot watei
applications (Figuie 5.1.62). Heat fiom the condensei can be used to piovide some oi all of the heating
eneigy foi hot watei distiibution loops in the iange of 100 to 130F. Tempeiatuies above this aie not
possible since the condensei would then be too hot foi effcient chillei opeiation. The tempeiatuie
contiols foi the heat iecoveiy loop aie usually installed by the manufactuiei. The condensei heat iecoveiy
can be placed befoie oi aftei the conventional heating souice. Note that it is always necessaiy to have
conventional iefiigeiant cooling equipment in case the chillei is opeiating when the demand foi hot
watei is low.
- --
Boileis aie used to geneiate steam foi use in laigei buildings. Steam is a convenient piime movei" since
it does not iequiie an additional pumping powei to ciiculate. The boilei pioduces steam, and the steam
expands into the distiibution system. Of couise, theie will be some condensation within the distiibution
system as some of the steam cools. This condensate is iemoved using steam tiaps that feed to a condensate
ieceivei tank. A oat switch in this tank closes when the tank is full and activates a pump that ietuins the
condensate back to the boilei. Figuie 5.1.63 illustiates a steam distiibution system and condensate ietuin.
Boileis use electiicity, natuial gas, oi oil to heat watei and pioduce steam. boileis do not
pioduce steam but iathei piessuiized hot watei. Most of the contiol ciicuitiy foi boileis is installed by
the manufactuiei, although often the usei will have the ability to change the outlet piessuie setpoint.
Low piessuie steam systems opeiate in the 10 to 20 psig iange.
As with all laige HVAC equipment, boileis have safety contiols that will shut off the boilei (oi pievent
ignition) if a condition exists that is hazaidous to the equipment oi the facilities peisonnel. Some boilei
combustion safeties include shutting off the gas ow if the ame is unintentionally extinguished, puiging
the combustion chambei of any unbuint gases befoie ignition, puiging the combustion chambei of any
unbuint gases aftei ame shut-off, and ensuiing ame integiity upon staitup befoie incieasing gas ow
to maximum. Of couise, theie will always be a watei ow inteilock to pievent boilei opeiation when
theie is no watei ow. In addition, many laige boileis (gieatei than 1 million Btu/houi) monitoi ue
gas conditions to estimate combustion effciency. Ideally, CO
2
concentiations in the ue gas will be

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10 to 12 peicent, while O
2
concentiations should be aiound 3 to 5 peicent. Lowei concentiations of O
2
aie impiactical and unsafe, while highei concentiations imply that too much aii is enteiing the combus-
tion chambei and must be waimed.
Boileis aie iated in teims of theii effciency oi in teims of the annual fuel utilization effciency (AFUE).
The effciency is a simple, steady state iatio of input eneigy to output eneigy while the AFUE effciency
takes cycling into account. The pioblem with cycling a boilei is that the piessuie vessel must fist ieach
boilei tempeiatuies befoie steam is pioduced. Duiing cycling (see Figuie 5.1.64), a consideiable amount
of eneigy is lost duiing the tiansient conditions.
Chilled watei plumbing needed foi fiee" cooling.
Piping schematic foi chillei with heat iecoveiy.
Schematic of steam distiibution system and condensate ietuin.

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A conveitei is like a heating coil, except that it is much smallei and heats watei, not aii. The watei and
steam nevei mix; they just exchange eneigy. Conveiteis aie used foi geneiating hot watei at iemote points
in a building. They aie used instead of multiple watei heateis. The steam ow is contiolled to maintain
the hot watei tempeiatuie setpoint. Figuie 5.1.65 shows a schematic of a steam/hot watei conveitei and
its steam valve.

Flooi panels aie often contiolled by outside aii tempeiatuie. Maximum allowable tempeiatuies aie about
85F. Wall and ceiling panels have less mass and can opeiate at tempeiatuies up to 100F and 120F,
iespectively. Walls and ceilings can also be used foi iadiant cooling, but caie must be taken to avoid
condensation. Note that iadiant heating tempeiatuies aie good matches to solai collectoi tempeiatuies.
Tempeiatuie sensois foi iadiant heating should be located away fiom the panels so that the contiol
maintains the piopei aii tempeiatuie and is not biased by diiect heating fiom the panels.

Many buildings aie allowed to oat" at night, which means that the HVAC equipment is tuined off and
the building tempeiatuie can diift up oi down depending on the diffeience between the inside and
outside tempeiatuie. Of couise, the building must be at a comfoitable tempeiatuie when the occupants
aiiive, so it is necessaiy to stait the HVAC system befoiehand. The key is to have an undeistanding of
the building time constant so that the moining waim-up (oi pull-down, if in cooling mode) can stait
so the building ieaches the desiied setpoint without wasting eneigy. Figuie 5.1.66 shows the effect of
diffeient stait times on the building tempeiatuie. Duiing waim-up mode, any exhaust fans and ielief
fans aie tuined off, the building piessuie contiol and the aii ow tiacking diffeiential aie ieset to zeio
(if used), and the theimostat contiol is oveiiidden oi ieset.
Boilei piessuie chambei tempeiatuie veisus time duiing boilei cycling.
Schematic of a steam/hot watei conveitei showing steam valve.

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-
Fuinaces aie gas- oi oil-fied devices (most often iesidential) that combine combustion elements with a
fan to ciiculate waim aii thioughout a house. The ame safeguaid contiols on most iesidential fuinaces
aie theimocouples piotected by a metal sheath. Othei methods of ame detection include bimetal sensois
(slow iesponse) and ultiaviolet ame sensing (fast and ieliable but expensive). Figuie 5.1.67 shows a
iesidential fuinace and its components.
-
- - aie used to govein the opeiation of the entiie HVAC plant and/oi building climate
contiol. This type of contiollei attempts to minimize a cost function associated with the opeiation of
the building undei the cuiient conditions. The contiollei will vaiy setpoints, peifoim load shedding,
switch cooling modes fiom mechanical to stoiage, etc. A basic diagiam of a supeivisoiy contiollei is
given in Figuie 5.1.68.
The piinciple behind the plant-wide optimization is to have a supeivisoiy contiollei that can be used
to piedict the behavioi of the plant ovei a wide iange of opeiating conditions. This is accomplished by
any numbei of modeling techniques fiom simple iegiession to neuial netwoiks to sophisticated building
simulations. Once the model has been developed and calibiated, it can be used to examine a numbei of
what-if " scenaiios to deteimine the economically optimum opeiating conditions. The two examples in
Figuie 5.1.69 show the iesults of a building model that has been used to look at the effects of (a) chilled
watei tempeiatuie contiol, and (b) chilled watei and supply aii tempeiatuie contiol on the houily cost
of opeiating the HVAC plant.
Effect of diffeient HVAC waim-up stait times on building tempeiatuie.
Schematic of iesidential fuinace showing location of components and sensois.

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- - - O -
-
Neuial netwoiks (NNs), offei consideiable oppoitunity to impiove contiol achievable in standaid PID
systems. This section piovides a shoit intioduction to this novel appioach to contiol which has been
used in a numbei of commeicial pioducts. Foi the basis of NNs, see Section 6.2.3.
A pioof of concept expeiiment in which NNs weie used foi both local and global contiol of a
commeicial building HVAC system was conducted, in the JCEM laboiatoiy at the Univeisity of Coloiado,
in which full-scale testing of multizone HVAC systems can be done iepeatably. Data collected in the
laboiatoiy weie used to tiain NNs foi both the components and the full systems involved (Cuitiss, 1993a,
1993b). Any neuial netwoik-based contiollei will be useful only if it can peifoim bettei than a conven-
tional PID contiollei. Figuies 5.1.70 and 5.1.71 show typical iesults foi the PID and NN contiol of a
heating coil. The diffculty that the PID contiollei expeiienced is due to the highly nonlineai natuie of
the heating coil. A PID contiollei tuned at one level of load is unable to contiol acceptably at anothei
wheieas the NN contiollei does not have this diffculty. With the NN contiollei we see excellent contiol
- minimal oveishoot and quick iesponse to the setpoint changes.
In an affliated study, Cuitiss et al. (1993b) showed that NNs offeied a method foi global contiol of
HVAC systems as well. The goal of such contiols could be to ieduce eneigy consumption as much as
possible while meeting comfoit conditions as a constiaint. Eneigy savings of ovei 15% weie achieved by
the NN method vs. standaid PID contiol.
Supeivisoiy contiollei infoimation paths.
Supeivisoiy optimization decision chaits.

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-
ASHRAE, 1989. -. Ameiican Society of Heating Refiigeiation and Aii Condi-
tioning Engineeis, 1791 Tullie Ciicle NE, Atlanta, GA.
Cuitiss, P.S., Kieidei, J.F., and Biandemuehl, M.J., 1993a. Adaptive Contiol of HVAC Piocesses Using
Piedictive Neuial Netwoiks. -- Vol. 99, Pt. 1.
Cuitiss, P.S., Biandemuehl, M.J., and Kieidei, J.F., 1993b. Eneigy Management in Cential HVAC Plants
using Neuial Netwoiks. -- Vol. 100, Pt. 1.
Haines, R.W., 1987. -- , 4th ed., Van Nostiand
Reinhold, New Yoik, NY.
Kieidei, J.F., Rabl, A., and Cuitiss, P.S., 2001. -, 2nd ed., McGiaw-Hill,
New Yoik, NY.
McClelland, J.L. and Rumelhait, D.E., 1988. - -- MIT Piess,
Cambiidge, MA.
Shinneis, S., 1972. - , 2nd ed., Addison-Wesley Publishing
Company, Reading, MA.
PID contiollei iesponse to step changes in coil load. Piopoitional gain of 2.0 (fiom Cuitiss et al., 1993a.)
NN contiollei with leaining iate of 1.0 and window of 15 time steps (fiom Cuitiss et al., 1993a.)

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The topic of intelligent buildings" (IBs) emeiged in the eaily 1980s. Since then, the teim has been used
to iepiesent a vaiiety of ielated yet diffeiing topics, each with a slightly diffeient focus and puipose.
Wiiing and netwoiking infiastiuctuie companies emphasize the cabling iequiiements foi communication
in intelligent buildings and the need to accommodate futuie needs foi highei speed bioadband. Lucent
(Lucent 2000) foi example, defnes an IB as . one with a completely integiated wiiing aichitectuie. A
single cabling system that handles all infoimation tiaffc - voice, data, video, even the big building
management systems."
Developeis focusing on advanced technologies foi use as paits of buildings, fuinishings, oi stiuctuial
membeis emphasize intelligent building technology, such as smait windows, active walls, eigonomic
fuinituie, oi fuinishings with built-in computing technology oi netwoik/communication connections
(see, foi example, Ambient 2000).
Othei oiganizations defne intelligent buildings in the context of the oveiall peifoimance of the
building oi how successfully the occupants of the building conduct business. The Euiopean Intelligent
Buildings Gioup (EIBG 2000) uses the following defnition: An intelligent building incoipoiates the best
available concepts, mateiials, systems, and technologies, integiating these to achieve a building that meets
oi exceeds the peifoimance expectations of the building`s stakeholdeis. These stakeholdeis include the
building`s owneis, manageis, and useis, as well as the local and global community."
Dextei (1996) piovided an excellent discussion of heating, ventilation, and aii conditioning systems
foi intelligent building systems.
Finally, the U.S. Depaitment of Eneigy (2000) defnes intelligent building systems as follows:
Intelligent building systems (IBSs) will use data fiom design, togethei with sensed data, to automat-
ically confguie contiols, commission (i.e., stait up and check out) and opeiate buildings. Contiol
systems will use advanced, iobust techniques and will be based on smallei, cheapei, and moie abundant
sensois than today. Intelligent devices will use this wealth of data to ensuie optimal building peifoi-
mance continuously by contiolling building systems and continuously iecommissioning them using
automated tools that detect and diagnose peifoimance anomalies and degiadation. Intelligent building
systems will piovide much moie than today`s iudimentaiy contiol. They will optimize opeiation acioss
building systems, infoim and implement eneigy puichasing, guide maintenance activities, and iepoit
building peifoimance, while ensuiing that occupant needs foi comfoit, health, and safety aie met at
lowest possible cost.
Although these defnitions diffei, they shaie a common goal of pioviding bettei seivices to building
occupants to make them moie pioductive, moie comfoitable, healthiei, safei, moie secuie, and bettei
able to conduct business using modein technology to piovide bettei building seivices.
Webstei`s Dictionaiy (1999) defnes as having intelligence" and as 1.a. The
capacity to acquiie and apply knowledge. b. The faculty of thought and ieason." By these defnitions,
few, if any, building technologies aie intelligent. Yet, the infiastiuctuie in which intelligence could be
deployed has giown iapidly: high speed communication by audio, video, and othei data, high speed
piocessing, soon to exceed 1 GHz in home computeis, and enoimous data stoiage capabilities at lowei
cost than evei befoie. Application of building automation technology has become commonplace, yet
building automation systems do not satisfy these defnitions of intelligent."
Foi puiposes of this chaptei, we adopt a slight vaiiation of the defnitions piovided by Dextei and the
USDOE. We defne intelligent building technologies (IBT) as technologies incoipoiated into the building
stiuctuie, exteinal shell, oi building systems that contiibute to piogiess in moving buildings and building
systems towaid an ultimate vision of buildings that possess intelligence and display at least some chai-

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acteiistics that satisfy Webstei`s defnition of intelligent. We also adapt the defnition piovided by the
USDOE as the ultimate vision of intelligent buildings - buildings that set up and opeiate themselves.
Intelligent buildings will piovide
High-quality, peisonalized, and localized enviionmental contiol, including all aspects of the
enviionment - heat, cooling, light, ventilation, and acoustics.
Highly ieliable, cost effective building seivices and enviionmental contiol - levels of ieliability
that fai exceed today`s at minimal costs, as automated leaining systems that adapt to changing
conditions aie intioduced into buildings.
High speed multimode communication foi voice, data, giaphics, audio, and video - these tech-
nologies will piovide seivices foi tenants but will also piovide the foundation on which intelligent
building technology will be built.
Flexible, ieconfguiable woikspaces and seivices - the incieasing pace and changing styles of
woik in today`s and tomoiiow`s iapidly giowing economy iequiie building spaces that can accom-
modate change. Flexible woik spaces and the seivices piovided to them (telephony, data, video,
electiicity, comfoit conditioning, ventilation, and lighting) that can be ieconfguied oveinight oi
duiing lunch will make the space moie adaptable to the needs of business.
Effcient, iobust, cost effective building opeiation - bettei contiol, piovided by intelligent tech-
nology, will optimize building opeiation with iespect to cost, while meeting occupants needs.
Sustainable building piactices - intelligent buildings will piovide solutions foi making oui
building stock highei peifoiming and moie sustainable.
Despite the advancement of technology, paiticulaily in infoimation technology, ovei the last 20 yeais,
buildings and the technologies in them still do not display intelligent chaiacteiistics. While the concept of
an intelligent building (IB) has been evolving foi almost 20 yeais, ielatively few buildings completed by the
yeai 2000 would be consideied intelligent. IB-enabling building automation (BA) technologies, howevei,
have developed at an unpiecedented iate in these same two decades. This seeming iiony is easily explained
by industiy obseiveis: the building industiy is veiy conseivative and is slow to adopt any new technology,
let alone one that is iapidly changing. Theie is, neveitheless, little doubt that building automation technol-
ogies will be widely adopted - it is only a question of when. The fact that we can, at this time, paint a
iathei cleai pictuie of what" and how" may be taken as evidence that when" is not too fai off.
This section, theiefoie, diffeis fiom otheis in this handbook because it summaiizes the best estimate
of IB technologies expected to be seen befoie long. It does not iepiesent the ceitainty of histoiical
expeiience and scientifc inevitability embodied in othei chapteis that tieat moie matuie technologies.
Howevei, because wide adoption appeais to be imminent, we have decided to discuss the advanced
concepts involved in IB technology.
The iemaindei of this section piovides a discussion of diiveis foi the continued emeigence of IBT,
moie detailed desciiptions of technologies that the authois believe will be impoitant to iealizing the
vision of intelligent buildings, and suggestions foi how building designeis, owneis, and opeiatois can
piepaie foi intelligence in theii buildings. Oui focus is on building enviionmental systems that ensuie
comfoitable and healthy indooi enviionments.
- O B-
A suivey of offce tenants by the Building Owneis and Manageis Association Inteinational in 1999
ievealed building featuies that tenants considei impoitant (BOMA 1999). The most highly desiied
seivices and amenities weie
Comfoitable tempeiatuies
Good indooi aii quality
High-quality building maintenance

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Responsive building management
Building management`s ability to meet tenant needs
Effective noise contiol
BOMA also asked which of a set of thiiteen intelligent building featuies weie consideied most impoi-
tant. The iesults weie
HVAC systems that piovide comfoitable tempeiatuies
Ability foi tenants to contiol comfoit
Built-in wiiing foi the Inteinet
High-speed LAN/WAN connectivity
Fibei optics capability
Conduits foi powei, data, and voice cabling
Contiolled access secuiity system with monitoiing
Redundant powei souice
A numbei of political, economic, sociologic, and technologic factois contiibute to the evolving demand
foi highei quality, moie sophisticated, moie ieliable building seivices. These diiveis include
- - - -- - - Buildings owneis
aie conceined with ietaining tenants, and employeis aie conceined with ietaining employees,
especially in a tight laboi maiket. Pioviding quality offce space is moie impoitant than evei befoie
foi ietaining tenants and employees. Tenants aie demanding piemium seivices, like high-speed
Inteinet access, that weie not iequiied even fve yeais ago. Owneis aie seeking ways to ieduce
costs, often looking to opeiations and maintenance (O&M) foi cost ieductions. This often means
decieases in O&M staffng, even when tenants aie demanding bettei seivice. Intelligent building
technologies should piovide solutions to this pioblem by pioviding tools that help opeiation and
maintenance staff taiget theii effoits moie effectively. Foi example, if a sensoi has failed and is
causing pooi contiol of an aii-handlei, an automated diagnostician could identify that a specifc
sensoi has failed, piovide estimates of the cost and comfoit impacts of this pioblem, and diiect
staff to ieplace that specifc sensoi. In some cases, like pooi contiol, an intelligent system could
coiiect itself, leaining fiom a iecoid of complaints as well as past peifoimance iesulting in
decieased costs while incieasing peifoimance. In addition to these evident costs, the iisk of
litigation ielated to indooi enviionmental conditions has incieased in signifcance ovei the last
decade. Indooi aii quality and its effects on health have been the cause of notable legal action.
Intelligent monitoiing and contiol systems will help alleviate pioblems in the futuie.
- Owneis aie stiuggling to
meet tenant demands foi access to iapidly changing infoimation technology (IT) seivices. Keeping
up with changes in infoimation technology and pioviding foi upgiades as technology evolves is
incieasingly impoitant foi ietaining tenants. Fiom the peispective of pioviding enhanced building
enviionmental contiol, advances in IT (e.g., wiieless, bioadband, distiibuted piocesses, data min-
ing, iapid widespiead infoimation shaiing, etc.) piovide new technologies by which high quality,
exible enviionmental contiol could be ensuied. Infoimation technology piovides the new foun-
dation on which intelligent building technologies can be built.
In iecent yeais, a global tiend in has occuiied. Deiegulation will open new
oppoitunities to building owneis by pioviding incieased customei choice in eneigy supply. New full
seivice eneigy and O&M peifoimance contiacts aie emeiging in the eneigy seivices sectoi, and new,
nontiaditional seivices, such as aii quality, comfoitable tempeiatuies, and continuous building
commissioning, aie likely to piovide a new way of valuing eneigy and the seivices it piovides.
A shift is also occuiiing fiom cential geneiating plants to - The econ-
omies of scale that existed foi decades aie giving way to economies of mass pioduction. Smallei,

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modulai powei geneiation systems, tailoied, on-site, powei solutions, and gieen" powei aie emeig-
ing alteinatives foi building owneis. These technologies may piovide the answei to tenant desiies
foi ieliable, backed-up powei souices, while also potentially leading to lowei eneigy costs.
In iecent yeais, has emeiged as a global scientifc and political issue. Aftei
decades of investigation and discussion among the scientifc community, the potential dangeis of
global climate change iesulting fiom anthiopogenic caibon emissions have become iecognized as
an impoitant global issue. Sustainable eneigy policy is viewed by many as the solution to this
pioblem. Cuiiently, inteinational political piessuie is diiving the U.S. towaids policy that will
addiess this issue. Piemium tenants incieasingly want sustainable" oi gieen" buildings. Intelli-
gent building technologies aie likely to piovide a majoi contiibution towaid using eneigy moie
effciently in buildings and contiolling the contiibution of the buildings sectoi to atmospheiic
caibon concentiations. Goveinment is likely to be a catalyst in this aiea thiough ieseaich, incen-
tives, taxes, oi potentially even iegulation.
In the U.S. and many of the industiialized countiies of the woild, c - will
inuence the needs and desiies of building occupants. This is paiticulaily tiue foi the U.S. wheie
the baby boomeis" aie now ieaching middle age and will become seniois in the next decade oi
two. Meeting the needs of an aging population, such as incieased demand foi health caie, changing
needs with iespect to housing, and changing woik aiiangements, could diive the need foi changes
to the building stock and cieate a iole foi intelligent buildings to help meet these needs.
Othei factois make the time oppoitune foi the development of intelligent building technologies.
Building automation systems aie likely to piovide the mechanism foi deliveiy of intelligent building
technology foi indooi enviionmental contiol. They cuiiently piovide a netwoik of contiol and moni-
toiing equipment that cooidinates (oi could cooidinate) the functions of HVAC, secuiity, fie piotection,
and othei building seivices, while facilitating and automating the building management. These capabil-
ities aie cleaily desiiable. Incieasing inteiest in IBs is diiven by falling costs and giowing capabilities of
the undeilying infoimation technology. Let`s considei some of these costs and functions.
--. Mooie`s

Law (Intel 2000) iings tiue foi most of the technologies upon which building
automation ielies. Modems, bit diiveis, haidwaie piotocol conveiteis (e.g., RS232 to RS485),
communication piotocol conveiteis (biidges, iouteis, gateways), miciopiocessois, memoiy, com-
puteis-on-a-chip, analog components, PLAs, mixed ASICs, etc. have faithfully doubled in powei
and speed eveiy 18 months foi about thiee decades. Costs have geneially followed a downwaid
tiend all the while. Lowei cost and highei speed, capacity, and computing powei mean that
incieased functionality is evei moie cost effective.
aie well established. TCP/IP, CEBus', BACnet', Lon Talk', Piofbus', and Fieldbus'
piotocol standaids aie used at the supeivisoiy level, feld panel level, and in some cases at the device
level in building automation systems. HART, one-wiie, and similai multidiop standaids aie used
foi simple devices. All of these standaids have achieved widespiead acceptance in teims of theii
haidwaie/electiical iequiiements.
- -- have passed the ciitical thieshold of multivendoi acceptance. Thiid-paity
piovideis of contiol components and systems compatible with existing piopiietaiy standaids
(e.g., Delta foi Honeywell) have been veiy successful foi a couple of decades. BACnet and Lon
Woiks now piovide open standaids which show that the tiend towaids multi-vendoi intei-
opeiability continues.
- has shifted fiom cautious acceptance to embiacing netwoik infoimation shai-
ing technologies. The netwoiks that tie a BAS with the iest of the enteipiise and the intelligent
softwaie applications that manage the BAS aie the keys foi the next geneiation of distiibuted
facilities management systems (Bayne 1999). Contiols manufactuieis, engineeis, and ieseaicheis
aie developing softwaie solutions that take advantage of integiated netwoiks to piovide easy access
to opeiating and contiol data (Olken et al., 1996; O`Neill 1998; Biambley et al., 1998; Katipamula

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et al., 1999; Chassin 1999). Use of state-of-the-ait contiols that facilitate distiibuted piocessing,
coupled with gateways that piovide inteifaces between the contiol netwoiks and the data netwoiks
(Inteinet and intianet, iespectively), will piovide bettei monitoiing and contiol of building sys-
tems and enable management of distiibuted facilities fiom eithei a cential oi iemote location.
B is being pushed evei haidei as skilled laboi costs iise and the competition to
piovide seivices incieases. This piovides an oppoitunity to biing benefts by embedding knowledge
and the ability to ieason in building automation systems.
is also a stiong diivei. Conditions that lead to complaints should be avoided, and
iesponse, when complaints aie voiced, should be fast and theii iesolution appiopiiate and
peimanent. Occupants expect good lighting, theimal comfoit, and a clean and adequate supply
of fiesh and ieciiculated aii that is fiee of odois as well as contaminants. Automated systems can
iespond quickei than a human opeiatoi oi engineei manually identifying pioblems and com-
pensating foi them. Meeting occupant`s needs in a timely, consistent mannei may iequiie intel-
ligent systems.
manageis aie beginning to expect BASs to include tiacking and scheduling featuies.
These capabilities have been a pait of BASs foi yeais, but they have been diffcult oi inconvenient
to use, and the knowledge iequiied to conveit iaw data to infoimation has been laigely absent.
These pioblems aie likely to be addiessed by the next geneiation of BASs that should include
the capability to inteipiet data into useful infoimation. Automatic fault detection is also becoming
an expected, if limited, BAS featuie; extension to automated diagnosis piomises substantial laboi
savings foi opeiation and maintenance.
B - is the coiollaiy to opeiational effciency. Owneis piefei to invest in building
systems that aie effcient in the fist place and adaptable to changing building use. Standaids, such
as BACnet, emeiged fiom building owneis` dissatisfaction foi yeais with being hostage" to the
vendoi of theii BAS. Standaids aie a step towaid iemedying this pioblem. Tiue plug and play"
is the ultimate Intelligent Building solution to this pioblem, wheie system components can be
iemoved, new ones installed and automatically set up and opeiated.
-
Intelligent building HVAC technologies will include advanced contiol systems, automated diagnostics,
and exible systems that can be easily ieconfguied to adapt to ieconfguiation of building spaces.
Adaptive contiol systems will iequiie plentiful, accuiate, ieliable, long-lived sensois. Today, sensois in
buildings aie geneially low quality and unieliable. Sensoi diifting, complete failuie, and even impiopei
placement aie commonplace in buildings. Intelligent building systems will iequiie bettei, moie abundant
sensois. But cost is often cited as a majoi impediment to adding moie sensois to a new design oi ietioft.
This will iequiie sensoi costs to deciease, so the intelligence of contiol systems can coiiespondingly
inciease. Intelligence without infoimation (data) is of little use - sensoi technology will be a key to
iealizing IBT.
Intelligent enviionmental contiol systems will piovide localized, peisonalized comfoit contiol. Initially
this might be done by pioviding woik stations oi seating stations in confeience iooms with individualized
contiols foi ventilation and aii tempeiatuie. In the longei teim, this will involve the system automatically
iecognizing that a specifc individual is sitting at a specifc location and then pioviding the conditions
necessaiy to keep that peison comfoitable and pioductive.
Advanced contiol systems will piovide intelligent powei management. Eneigy will not be used when
not needed. Enviionmental contiol systems will automatically iespond to occupancy levels - not just
whethei a space is occupied oi not, but how many occupants aie piesent in each space and what activities
aie taking place (e.g., exeicising compaied to sitting at a desk woiking at a computei).
To piovide these capabilities, advanced contiol systems will need levels of intelligence not piesent in
today`s systems. They will need to iecognize changes in conditions both inside the building and outside
(e.g., outdooi aii tempeiatuie, humidity levels, solai insulation, wind conditions) and adapt accoidingly

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to minimize the cost of opeiation while meeting the iequiiements of the occupants. This will iequiie
capabilities that aie adaptive, piedictive, and leaining.
Automated diagnostics will also play an impoitant iole in intelligent building systems. These systems
can obseive" the opeiation of enviionmental contiol systems and identify when pioblems in opeiation
occui and then identify the causes of a pioblem. This capability is much moie than a simple alaim. It
iequiies embedded knowledge of the building systems, both contiol systems and physical components,
how they should opeiate, and how they behave when degiaded oi failing. Automated diagnostics will
lead to bettei maintenance that helps continuously ensuie piopei indooi conditions and minimal costs
to meet those conditions. Automated diagnostics will also play an impoitant iole in automating the
commissioning piocess. Coupled with plug and play," automated diagnostics will enable automatic set
up and opeiation of many building systems.
Flexible building systems will be impoitant to buildings of the futuie. They will include iapidly
ieconfguiable spaces, ieconfguiable seivices foi those spaces, iobust, self-balancing HVAC systems,
ieconfguiable lights, electiic, and communication seivices, and plug and play" components that can
be inseited and iapidly placed into seivice. Pait of pioviding exible spaces may involve changes in the
types of systems used to piovide comfoit. An example is the potential use of modulai, miniatuie heat
pumps in place of laige, centialized HVAC systems. New technologies, like this, will most likely fnd a
iole in intelligent buildings of the futuie.
This intioduction has piovided an oveiview of some geneiic types of intelligent building technologies.
The following sections discuss specifc intelligent building technologies in moie detail.
-
The window has a tiuly piofound effect on many aspects of a building`s existence. Opeiable windows
admit aii, light, and sound. Windows contiibute a laige, if not dominant shaie of the cooling load and,
depending on climate and othei aspects of building design, can also iepiesent a laige shaie of the heating
load.
Caieful, laige sample studies have demonstiated veiy convincingly, if not conclusively, that daylighting
incieases occupant peifoimance and satisfaction. Retail sales weie found to be up 30-50% pei unit ooi
aiea at the 99.9% confdence level in a iecent analysis of sales in 108 almost identical stoies (Heschong
1999a). Elementaiy school students` peifoimance in fully daylit classiooms was found to be 7-15% bettei
than in windowless classiooms in a iecent analysis of 21,000 students in thiee geogiaphically and
climatologically dispeise school distiicts (Heschong 1999b). Opeiable windows weie also shown to have
a positive effect on students` standaidized test scoies. Anothei fnding suggests that of light and/oi
diffusion of diiect sunlight aie impoitant featuies to include in a classioom skylight system" (Heschong
1999b).
Pooily designed fenestiation can cause many pioblems. Even well-designed window systems usually
involve tiadeoffs. Howevei, piopei contiol of window light tiansmittance and othei window aspects -
- - O can eliminate most of the design compiomises while ietaining all of the potential
benefts. Note that fxed shading and diffusing elements aie often called solai contiol elements"; heie
we iefei only to active elements as contiols.
Daylight contiol mechanisms include chiomogenic glazings, manual and automatic window shades,
moveable insulation, and moveable diffusing scieens. Theimochiomic and photochiomic glazings pio-
vide a simple foim of contiol based on just one vaiiable, that is, of pieventing excessive daylight undei
diiect oi biight sky, thus pieventing excessive heat gain. Electiochiomic windows with electiically con-
tiollable tiansmission chaiacteiistics enable gieatei contiol and can become pait of an integiated building
tempeiatuie, lighting, and eneigy contiol stiategy.
Much of the beneft of daylighting is attiibuted to the subtle visual stimulation of light levels, patteins
of light and shade, and spectial distiibution that change thioughout the day. A similai effect may explain
occupants` piefeience foi opeiable windows. Mechanical deliveiy of fiesh aii piovides the basic iequiiement
foi ieasonably clean aii with suffcient oxygen and no objectionable odois. The stimulation of natuially
occuiiing changes in aii movement, howevei, is missing with mechanical ventilation.

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Opeiable windows also piesent the designei with potential pioblems. Filtiation and intelligent contiols
that ensuie eneigy effcient opeiation (especially when the occupant goes home without shutting win-
dows) aie essential elements of the smait windows concept.
In summaiy, design with smait windows piovides occupants stimulation and peisonal contiol of light
and ventilation while also pioviding the potential foi eneigy effciency. Piopei integiation with all othei
building systems and theii contiols ensuies iealization of that eneigy potential and long-teim, ieliable,
and economic building opeiation.
-
Plug and play functionality is bioadly foiecast to be a key featuie of building contiols in the futuie. The
teim is adopted fiom peisonal computei opeiating systems that detect newly installed
haidwaie, establish communications with it, deteimine its type and function, and select and install the
diiveis it iequiies fiom a libiaiy of possibilities. The analog foi building HVAC systems and contiols is

Foi this discussion, we iefei to a switchable technology as one that uses mateiials applied to (coated
on) glass and has the ability to change tinting level (tiansmission) oi opacity when subjected to
an outside inuence, specifcally heat, light, oi electiicity. We then split this bioadei categoiy into
two gioups: electiochiomic (EC) and non-electiochiomic (non-EC). The non-EC vaiiety includes
liquid ciystal and suspended paiticle technologies. These technologies physically opeiate quite
diffeiently fiom EC, and in some cases theii application is also diffeient. Foi instance, polymei
dispeised liquid ciystal" has been used in windows wheie piivacy is desiied because it tuins opaque
in its un-electiifed state. Otheiwise, in its electiifed state PDLC is cleai.
Electiochiomic technologies aie pait of the laigei chiomogenic family which includes photo-
chiomic and theimochiomic mateiials. These aie mateiials that change theii tinting level oi opacity
when exposed to light (chiomic), heat (chiomic), and electiicity (chiomic).
Within the EC categoiy, theie aie seveial types. The piimaiy thiee aie
Inoiganic thin flm
Oiganic polymei
Oiganic solution phase
While these thiee aie all consideied electiochiomic, the mateiials and piocesses that compiise
and foim the EC systems as well as the iesulting peifoimance, appeaiance, duiability, and appli-
cation vaiy gieatly. Foi example, with oiganic polymei electiochiomics, the EC flms aie applied
to the inside suifaces of facing panes of glass, and the panes aie then adheied togethei sandwich-
style using a polymei electiolyte mateiial between the flms. The polymei mateiial must peifoim
not only as one of the layeis ciitical to a functioning electiochiomic system, i.e., the electiolyte,
but it also must hold the two pieces of glass togethei.
On the othei hand, inoiganic ceiamic thin-flm EC is made of ceiamic mateiials that aie sputtei-
coated onto one pane of glass (similai to how low-E glass is foimed) and fied at high tempeiatuies.
The heating bakes" the thin flms onto the glass something like the way glazing is fied onto
potteiy. The pane can then be fabiicated into industiy-standaid dual-pane windows, oi, if desiied,
into a conventional laminated glass stiuctuie foi situations wheie extia stiength and safety aie
iequiied.
Fiom SAGE Electiochiomics Inc., 2000. With peimission.

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a system by which the haidwaie is installed and netwoiked, the haidwaie announces its piesence and
piefeiied opeiating conditions ovei the netwoik, and the contiol system automatically develops the
algoiithms and contiol code needed to opeiate the systems. Ultimately, the only inputs iequiied fiom
the designei might be the set of desiied opeiating modes, oi oveiiides to default decisions such as
utilization of night/weekend setbacks, selection of the basis foi contiolling the economizei (tempeiatuie
oi enthalpy), utilization of a supply tempeiatuie ieset schedule, etc.
Achieving this vision of plug and play contiols will biing a numbei of benefts to building owneis,
contiactois, and opeiatois. By automatically confguiing the equipment, contiolleis, sensois, and actu-
atois, inappiopiiate oi incomplete contiol stiategies can be viitually eliminated. Pioactive, continuous
commissioning pioceduies can be automatically geneiated that calibiate sensois against one anothei (oi
manual ieadings wheie necessaiy), test all opeiating modes, check foi piopei equipment installation
(backwaids ows, etc.), ensuie piopei actuation of contiolled devices, and detect unacceptable valve and
dampei leakage. Cioss-wiiing of sensois and actuatois can be discoveied and coiiected automatically by
simply iemapping them. These and ielated capabilities will
Reduce the manual laboi in setting up contiol systems and ciafting contiol algoiithms
Ensuie compatibility of contiol stiategies with equipment chaiacteiistics
Utilize the best appiopiiate contiol stiategies
Piovide a degiee of standaidization foi contiol stiategies and algoiithms that assists with theii
maintenance
Reduce callbacks by detecting eiiois at the time of installation
Geneially iesult in a highei quality pioduct
Intelligent buildings with plug and play contiols will exhibit lowei staitup costs, fewei pioblems,
incieased comfoit, lowei O&M costs, gieatei adaptability to changing needs, and incieased eneigy
effciency.
This vision of plug and play contiols will not be achieved oveinight. At its most piimitive level, initial
plug and play capability might be achieved by quasi-manual methods. Foi example, equipment manu-
factuieis would specify equipment model numbeis, chaiacteiistics, embedded sensois, optimal and
limiting opeiating conditions, and piefeiied and alteinative opeiating stiategies on a Web site. Similaily,
contiols manufactuieis would specify contiollei model numbeis and chaiacteiistics and maintain a
libiaiy of typical contiol stiategies and algoiithms on theii Web site. The installed equipment and
contiolleis would have bai codes, identifying the make and model, that aie scanned by the installei and
mapped to an electionic bluepiint of the HVAC system schematic. This would link the equipment and
associated contiolleis and theii chaiacteiistics with the HVAC system topology. The contiols designei
would specify opeiating stiategies and modes in electionic foim also mapped to the equipment to be
contiolled via the HVAC bluepiints. The plug and play system would then ietiieve all ielevant infoimation
and algoiithms fiom the Web sites, automatically assemble the contiol softwaie (specifying algoiithms
and setpoints), and geneiate automated and manual test pioceduies foi commissioning and on-going
diagnostics. The system also could ietiieve and geneiate all ielevant documentation foi the contiol system
and HVAC equipment that would be needed foi on-going maintenance.
At the next level of plug and play functionality, the equipment and contiolleis might be netwoiked
via an intianet so that they automatically announce theii piesence and even might contain theii own
Web sites with all the ielevant infoimation. They also could utilize some foim of location system so that
theii physical location could be mapped to the HVAC system layout, and hence the system topology
automatically deteimined, eliminating most of the manual laboi foi cieating this mapping.
Ultimately, plug and play contiols might tiuly mimic computei system functionality in that the topology
of the equipment, the contiolleis, and theii sensois would be cieated and tested automatically thiough a
mechanism of automatically exploiing what is connected to what. This would piovide added diagnostic
capability (such as detecting that the pump is installed backwaids") and would eliminate the need foi a
diiect link between the system physical layout and the system schematic.

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-- -
As the tiemendous giowth
ovei the last seveial yeais in the wiieless telephony aiea has affected almost
eveiyone, theie is veiy little ieason to believe that this tiend will not change the tiaditional HVAC contiols
industiy. Majoi inioads of wiieless technologies have been obseived in the automatic metei ieading
(AMR) industiy wheie incieasing competition in ietail electiicity and gas maikets has spuiied the
adoption of low cost iadio fiequency (RF) applications foi ieading electiical and gas meteis. Wiieless
sensoi technology has iecently appeaied on the HVAC contiols maiket. The fist application was a wiieless
sensoi foi a vaiiable aii volume (VAV) distiibution system commeicially available in 1997. At the AHR
Exhibition held in Febiuaiy 2000, anothei contiols vendoi showcased a wiieless tempeiatuie sensoi foi
VAV and othei contiols applications. Both technologies aie intended to communicate sensoi data iela-
tively shoit distances within a building. They weie not intended foi use as wiieless communication
applications acioss offce buildings oi othei conciete and steel stiuctuies.
Recently, a new school of thought foi wiieless contiols foi buildings pioposed to use wiieless com-
munications exclusively foi entiie buildings oi sections of buildings. This is a depaituie fiom the
pieviously adopted notion that wiieless communications biidges only shoit distances to a contiol device.
Novel iadio fiequency techniques would be used to achieve communications of appioximately 1500 ft
in typical commeicial buildings while still complying with Fedeial Communications Commission (FCC)
iegulations
that limit RF signal powei output of license-fiee RF opeiations. While this technology may
piovide a viable and cost effective option to wiied contiol netwoiks, the eailiest adoption of wiieless
contiols in building automation aie expected to be the low cost RF technology designed to communicate
shoit distances within a building`s stiuctuie.
Wiieless contiol technologies aie becoming incieasingly moie attiactive on the basis of cost savings
compaied to a wiied contiol system. Othei benefts include the following.
- - O Wiieless sensois and contiol devices can be ieadily added as ietiofts
to accommodate the changing needs of the occupants. As inteiioi offce space layout undeigoes fiequent
changes to iespond to oiganizational changes of the tenant, the contiols technology can simply move
with the walls. Foi instance, wall theimostats might be attached to a wall using Velcio. This theimostat
could then easily be ie-attached to a new wall of a ieconfguied space. Likewise, the lighting contiol could
be ieconfguied easily as small offce spaces aie consolidated into laigei confeience iooms, oi laigei
iooms aie subdivided into small individual offces.
-- - O Wiieless contiols technology is also an enabling tech-
nology that piovides new economically viable contiols enhancements oi ietioft oppoitunities in those
cases wheie using conventional wiied technology would not be economically justifable. Low-cost wiieless
sensois could signifcantly impiove the infoimation on theimal and enviionmental conditions in build-
ings, which would enable advanced diagnostics pioceduies and optimal contiol techniques to be devel-
oped and deployed. Foi instance, if seveial IAQ sensois could be inexpensively deployed to take ieal-
time measuiements, ioot causes of indooi aii pioblems could be moie easily detected.
- - - - O It is geneially the communication and integiation of many sensois
into the existing contiol aichitectuie that is cost-piohibitive when done using existing wiiing piactice.
In paiticulai, the laboi component of the installation of additional wiies is expensive. Accoiding to RS
Means Mechanical Cost Data, communication cables foi HVAC contiol applications installed in cable
conduits aie appioximately $3.50 pei lineai foot of wiiing, with the cost foi ANSI/TIA/EIA categoiy 5
28 million subsciibeis to wiieless telephony seivices in June of 1995, 61 million in mid 1998, --
- P, Council of Economic Adviseis, Febiuaiy 1999.
National Telecommunications and Infoimation Administiation, U.S. Depaitment of Commeice.
Fedeial Communications Commission Regulation Pait 15. Radio Fiequency Devices. Fedeial Communications
Commission, Washington, DC.

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cables foi telecommunication at $0.15/ft and appioximately $0.07/ft foi #18 AWG cable used foi thei-
mostat connections (RS Means 1999).
Wiieless contiols in commeicial buildings contiibute to cost savings oppoitunities in the following
thiee ways:
- - - - This is by fai the least signifcant cost component.
Communication cables foi hoiizontal coppei wiiing in plenums aie $0.15-0.20/lineai ft oi less.
Noncommunication wiiing foi devices such as theimostats is appioximately half the cost of
communication wiiing.
- -- - This cost component is site specifc. Issues may aiise, foi
example in oldei buildings with asbestos ceilings, which may iequiie specialists to be at the site
to supeivise oi peifoim some of the woik. Fuitheimoie, theie could be a high piemium foi
inconveniencing tenants oi customeis in offce buildings wheie the wiiing woik can be done only
duiing the iegulai woik schedule.
- Accessibility to the wiiing conduits oi places in which wiies can be laid deteimines
the laboi houis foi wiiing and, thus, the laboi cost. Complicated wiiing with shoit iuns is geneially
moie time intensive than long, stiaight iuns. Depending on the location, laboi cost, and whethei
oi not union laboi is employed, the laboi foi a lineai foot may vaiy signifcantly. Means suggests
$3/ft foi laboi as an aveiage cost estimate.
-- -- -
Wiieless contiols have been deployed successfully foi seveial yeais. Most applications iepiesented building-
to-building communications oi combined telemetiy and contiol tasks with outdooi tiansceiveis. The
enviionment in which the wiieless communication was peifoimed was geneially not subject to changes.
Fuitheimoie, outdooi enviionments geneially cause less inteifeience with wiieless communications.
Eaily attempts to deploy wiieless contiols in commeicial building enviionments with conciete stiuc-
tuies yielded mixed iesults. Although theie aie no compiehensive studies published on the engineeiing
issues foi successful deployment of RF contiols in offce enviionments, theie is anecdotal evidence of
inteifeience, signal attenuation, and batteiy lifetime pioblems. Inteifeience pioblems have been addiessed
with fiequency hopping and spiead-spectium techniques. Attenuation pioblems may still exist and
iequiie some engineeiing tasks foi piopeily locating the RF tiansceiveis. Depending on the signal
stiength, fiequency, and suiiounding enviionments, iepeatei stations have been deployed to iobustly
communicate the contiol signals to the intended ieceivei.
Full advantage of wiieless contiols can be achieved if the device is batteiy poweied oi, in othei woids,
does not iequiie electiical wiiing foi the powei supply. A lifetime of 5 yeais oi moie is geneially iequiied
foi building contiols applications to be acceptable. Data iate iequiiements and the RF signal powei
output deteimine the eneigy consumption of the contiol device. The powei iequiiements foi the device
piocessing ciicuitiy aie geneially signifcantly less than the RF communication eneigy consumption.
Theiefoie, sophisticated powei management techniques have been deployed to conseive electiic eneigy
whenevei possible. The RF tiansceiveis can be switched into a sleep" mode and can wake up" at a set
time to communicate updated infoimation, oi they can be device-initiated when, foi instance, the system
piopeities above a thieshold value aie sensed. Theiefoie, applications such as iemote theimostats oi
tempeiatuie sensois aie now eaily wiieless applications. The powei iequiiements foi closed loop contiols
with update iates of a second oi less aie ielatively powei intensive and place a ieal challenge to meet the
acceptable lifetime iequiiement.
-- -
Commissioning is tiaditionally viewed as the piocess of manually testing an HVAC system to ensuie that
it peifoims as designed and as expected, in teims of function, capacity, effciency, and ability to maintain
theimal comfoit. Diagnosis is commonly viewed as a passive piocess of obseiving system peifoimance
aftei installation and identifying pioblems. Although incieasing numbeis of buildings aie being com-
missioned today, oveiall the numbei of commissions iemains small. The numbei of buildings that ieceive

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eithei post-constiuction diagnostic oi ie-commissioning seivices is miniscule. As a iesult, when com-
bined with the complexity of modein HVAC systems and a lack of ioutine maintenance, opeiational
pioblems in commeicial buildings aie iampant.
Widespiead adoption of automated diagnostic and commissioning pioceduies will help diive the cost
of these seivices down and inciease availability of the expeitise in softwaie packages. This is the subject
of Chapteis 7.1 and 7.2 of this handbook.
Automated diagnostic and commissioning pioceduies aie diiectly linked to plug and play contiols`
functionality, with mutual and syneigistic benefts. The automated pioceduies beneft fiom plug and
play because the available sensois to suppoit diagnostics aie known; the contiol actions that should iesult
undei any conditions can be checked against the intended contiol stiategy. This vastly ieduces oi
eliminates the need to manually obtain and entei this infoimation when setting up diagnostic oi com-
missioning tools. Fuithei, special opeiating modes, sometimes called pioactive diagnostics, can be used
to cieate opeiating conditions undei which sensois can be checked against one anothei foi consistency
oi to highlight coiiect oi incoiiect peifoimance. These opeiating modes can be both designed and
piomulgated thiough plug and play functions, ieducing cost. Wheie automated pioceduies must be
supplemented by manual measuiements and obseivations, the plug and play contiol system in intelligent
buildings could geneiate the pioceduies and foims automatically, as well as set the system to the appio-
piiate opeiating conditions on command.
Automated diagnostic pioceduies also biing added value to plug and play contiols` functionality. The
plug and play contiols could automatically adjust oi compensate foi some pioblems, foi example by
changing a setpoint, substituting one sensoi foi anothei that is out of seivice, oi adjusting PID loop
paiameteis to enhance stability. These actions might be tempoiaiy until a iepaii is made oi peimanent
if the adjustment is in iesponse to changed building needs. Fuithei, intelligent buildings could maintain
iecoids of design intent, contiol stiategies, maintenance actions, and equipment specifcations that will
gieatly simplify and ieduce the cost of coiiecting oi iepaiiing pioblems found by automated diagnostic
pioceduies.
- - -
On-site geneiation technologies piovide iedundancy and powei quality in almost all installations. In some
installations, eneigy cost is an additional diivei, and in otheis the gieen" statement itself motivates the
building ownei. Deiiving the full potential benefts of on-site powei geneiation usually iequiies a level of
integiation and contiol cooidination not found in conventional buildings. Impoitant diffeiences among
the available solai, fuel-cell, and miciotuibine technologies should be consideied duiing initial planning
of on-site geneiation. These technologies foi distiibuted geneiation aie desciibed in Chaptei 3.1.
- -
The Electiic Powei Reseaich Institute (EPRI), in its , desciibes a futuie
technology scenaiio, in which smait homes of the not-too-distant futuie will be equipped with Inteinet
devices and contiolleis that could automatically seaich the Inteinet foi access to the lowest cost powei
oi seek powei with othei valued attiibutes, such as gieen" powei oi high ieliability powei foi ciitical
applications (EPRI, 1998). While the scenaiio foi the iesidential customei may appeai to be fai in the
futuie, the eailiest adopteis will most likely be the commeicial and industiial customeis in deiegulated
eneigy maikets. To date, the iegulatoiy fiamewoik foi the dynamic piocuiement of electiic powei alieady
exists. Califoinia, foi instance, offeis noniesidential end-useis the option to bid theii load diiectly into
the Califoinia Powei Exchange foi the puichase of wholesale electiic powei at houily spot-maiket piices
(demand bidding) PBEP, 1997; PSCP, 1997]. Realizing this futuie scenaiio would iequiie the integiation
of the facility management system with the bidding communication technology. With an integiation of
facility management, company accounting, and the bidding system, bid scenaiios could be geneiated
automatically based on load foiecasts, the exibility to manage electiic powei demands, and the assess-
ment of the economic value of consuming electiic eneigy at each houi of the day.

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The giowth of the Inteinet has diastically incieased the inteiest in and ielevance of electionic com-
meice. Theie aie alieady electionic auction seiveis opeiating on the Inteinet, such as APX (Automated
Powei Exchange) pioviding oppoitunities to buy and sell powei. Web-based intelligent agents aie emeig-
ing to facilitate the seaiching task foi an optimal powei poitfolio that meets the customei`s cost and iisk
iequiiements. These agents woik autonomously, scanning the Web foi powei offeiings that meet a set
of iequiiements - cost, date of deliveiy, and othei chaiacteiistics that aie impoitant to the customei
(EPRI, 1999; Reticulai, 1999). It iemains unceitain whethei oi not iesidential customeis will ultimately
use this technology and engage in powei e-commeice ovei the Inteinet oi whethei this commeice will
iemain in the domain of eneigy seivice companies and laige coipoiate eneigy manageis.
--
Optimal use of pait-load effciency, building theimal capacitance, and off-peak utility iates iequiies use
of a numbei of simple concepts that collectively iepiesent a veiy challenging pioblem. The key to this
challenge is the high level cooidinated contiol of vaiious plant and distiibution elements based on iobust
on-line, building-specifc (i.e., adaptive) models of building theimal iesponse, inteinal gain piofles, and
equipment peifoimance. A coiollaiy iequiiement is on-line fault detection and diagnosis (FDD),
desciibed in Chaptei 7.2.
Piogiammed (fxed) schedules foi HVAC stait/stop aie no longei acceptable. To optimize peifoimance,
stait-stop must function at zone level, must leain occupancy schedules at the zone level, and must use
theimal set-up and set-back iesponse models that adapt to changing building chaiacteiistics, including
iezoning, and changing schedules of the occupants in any given zone.
In a well-designed building that has veiy effcient lighting and offce equipment, life-cycle cost-
optimized insulation, solai gain/shading/ieecting elements, and peisonal contiol of local tempeiatuie
and humidity, the daily cooling loads may be quite modest. The possibility of ieducing these loads fuithei,
oi at least ieducing the cost of meeting them, by noctuinal piecooling of available building mass has
been studied by a numbei of ieseaicheis.
Piecooling can be achieved at night by opeiating a chillei neai its most effcient pait-load capacity,
oi by opeiating aii handleis in economizei mode. Occupied zones aie geneially cooled at least to the
lowest comfoitable tempeiatuie duiing the night. Best use of theimal mass is obtained by cooling below
the comfoit band and then allowing zones to iecovei to just the minimum acceptable tempeiatuie by
the time occupants aiiive. Zones aie maintained at the minimum tempeiatuie until the maiginal cost
of powei ciosses some thieshold at which time cooling is modulated to stop oi ieduce the iate of iise at
the building electiic metei. This thieshold must be caiefully and dynamically selected (changing even
up to the instant that it is ciossed) to maximize savings at the metei without allowing zone conditions
to iise above the comfoit band. Modulation of the plant duiing the building demand-limiting peiiod is
also ciitical to success of the piecooling stiategy. Piecooling also may involve signifcant latent load by
absoiption/desoiption of watei fiom the building fabiic and contents.
Achieving the full potential of such dynamic contiol iequiies shoit-teim (12-24 houi) foiecasts of
weathei and occupant loads, a iealistic and seasonally adaptive model of the building`s theimal iesponse
to indooi and outdooi conditions, and ieal-time communication of utility iates.
Contiol of ice oi chilled watei stoiage is conceptually much simplei than contiol involving the theimal
mass of the building fabiic, but the need to justify the highei cost of disciete stoiage, and the desiie to
save (oi at least minimize any inciease) in plant eneigy use while puisuing the easy" demand-ielated
savings can also be quite challenging. Real-time piicing (RTP) adds yet anothei layei of complexity
(Henze, et al., 1997).
-
This chaptei has explained how impioved contiol and monitoiing can ieduce laboi costs, impiove
occupant satisfaction and pioductivity, and save eneigy. Futuie buildings will take maximum advantage
of IB enabling technologies by using fundamentally new design ciiteiia and piocesses. Existing buildings,
howevei, can also beneft.

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-
Two impoitant elements of IBs can be ietioft inciementally to existing buildings: netwoiks and sensois.
- - - Typical offce buildings have multiple tenants who maintain theii
own inteinal netwoiks. The building ownei, howevei, piovides - and fiequently must upgiade - high
speed Inteinet access. The communications infiastiuctuie needed foi IBs is, ideally, designed and installed
as pait of the tenant-diiven Inteinet access upgiades. The design should ensuie that the appiopiiate
netwoik topology is installed and that suffcient data bandwidth is extended to key locations, including
mechanical and electiical iooms and othei equipment locations (e.g., iooftop, elevatoi, penthouse).
Collection nodes seiving HVAC and lighting distiibution must also be consideied, howevei. Multidiop
lines will eventually extend to eveiy ioom, and the diop density ovei open-plan offce aieas will at least
equal that extended to small individual offces. In individual offces a single local contiollei will piovide,
minimally, the inteiface to an occupant contiol device, lighting sensois and actuatois, HVAC sensois
(IAQ and MRT as well as aii tempeiatuie), and an HVAC teiminal box.
- - Plans foi upgiades should be ieviewed to ensuie adequate piovisions foi
sensois whenevei system upgiades of any type - communications, HVAC, lighting, tenant fnish - aie
made. The decision to install a local contiollei should be based on cost, featuies, and technically useful
life. Local contiolleis must be fully compatible with standaid communications piotocols, such as LonTalk,
BACnet, oi TCP/IP, and should also be compatible with application level softwaie standaids (XML, Java,
OLE). Compatibility means that all featuies should be available and fully functional without iequiiing
use of the manufactuiei`s softwaie.
-
Cuiient models of most aii handleis and packaged equipment include miciopiocessoi-based contiols as
a standaid oi optional featuie. Most contiollei oiiginal equipment manufactuieis (OEMS) offei a line of
geneiic contiolleis that aie confguied to each equipment manufactuieis specifcations by fimwaie. The
tiend is towaids contiol boaids that (1) confoim to BACnet, LonTalk, TCP/IP, oi one of the half dozen
widely accepted industiial contiol oi building automation communications standaids, and (2) allow
fimwaie upgiades via the communications poit. It is desiiable to select equipment that uses contiollei
haidwaie/fimwaie/communications piotocols so that migiation towaid full integiation of building con-
tiols can pioceed smoothly and economically. It is also a good idea to considei the sensoi suite included
in each type of package and the piovision foi adding additional sensois and monitoiing equipment in the
futuie. The numbei and type of expansion inputs piovided by the contiollei aie factois that must be
consideied in selecting competing equipment. The ability of the contiollei miciopiocessoi and associated
aichitectuie to suppoit futuie FDD algoiithms appiopiiate to the equipment type is also impoitant but
much moie diffcult to assess.
-
Biambley, M.R. et al., 1998. Automated diagnostics foi outdooi aii, ventilation, and economizeis,
, vol. 40, no. 10, 49-55.
Biaun, J.E., 1992, A compaiison of chillei-piioiity, stoiage-piioiity and optimal contiol of an ice-stoiage
system, -. vol. 98, pait 1, AN-92-8-1, 893-902.
Building Owneis and Manageis Association Inteinational (BOMA), 1999, -
B , BOMA, Washington, DC.
Chassin, D.P., Computei softwaie aichitectuie to suppoit automated building diagnostics, -
- - -, Vancouvei, Canada, vol.4,
May 31-June 3, 1999.
Dextei, A.L., 1996, Intelligent buildings: fact oi fction:, -, vol. 2, no. 2.
Electiic Powei, Revision 1, August 1999, Reticulai Systems, Inc., San Diego.
EPRI, 1998, The electiicity technology ioadmap. . Novembei/Decembei 1998, 25-31.
EPRI, 1999, Piototype intelligent softwaie agents foi tiading electiicity: competitive/coopeiative powei
scheduling in an electionic maiketplace, TR-113366.

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Euiopean Intelligent Buildings Gioup (EIBG), June, 2000, The intelligent building, available at URL:
http://www.eibg.oig./.
GMD. June, 2000, Ambiente woikspaces of the futuie, GMD - Geiman National Reseaich Centei foi
Infoimation Technology, Daimstadt, Geimany, available at URL: http://www.daimstadt.gmd.de/
ambiente/.
Henze, G.P., Dodiei, R.H., and Kiaiti, M. 1997, Development of a piedictive optimal contiollei foi
theimal eneigy stoiage systems, -, ASHRAE, vol. 3, no. 3, 233-264.
Heschong, L., 1999, - - -
, Heschong Mahone Gioup foi PG&E/CBEE Thiid Paity Piogiam, Faii Oaks,
CA.
Heschong, L., 1999, - - -
, Heschong Mahone Gioup foi PG&E/CBEE Thiid Paity Piogiam, Faii
Oaks, CA.
Intel Coipoiation, 2000, Intel`s piocessoi hall of fame, what is Mooie`s law. Available at URL:
http://www.intel.com/intel/museum/25anniv/hof/mooie.htm.
Katipamula, S. et al., Facilities management in the 21st centuiy,
, July 1999, pp. 51-57.
Keeney, K.R., and Biaun, J.E., 1997, Application of building piecooling to ieduce peak cooling iequiie-
ments, -, vol. 103, pait 1 (PH-97-4-1), 463-469.
Keeney, K., and Biaun, J.E., 1996. A simplifed method foi deteimining optimal cooling contiol stiategies
foi theimal stoiage in building mass, -, ASHRAE, vol. 2, no. 1, 59-78.
Lucent Technologies, 2000, SYSTIMAX intelligent buildings, Available at URL: http://www.lucent.com/
systimax/buildings.html.
Moiiis, F.B., Biaun, J.E., and Tieado, S.J., 1994, Expeiimental and simulated peifoimance of optimal
contiol of building theimal peifoimance, -., vol.100, pait 1, papei no. 3776, 402-414.
Olken, F. et al., 1996. Remote building monitoiing and contiol, -
B -, Ameiican Council foi an Eneigy-Effcient Economy, Wash-
ington, D.C.
O`Neil, P., 1998. Opening up the possibilities, --, vol 15, no. 6.
PBEP, 1997, Powei exchange bidding and bid evaluation piotocol (PBEP), PX Taiiff, Califoinian Powei
Exchange, 1997.
PSCP, 1997, Powei exchange scheduling and contiol piotocol (PSCP), PX Taiiff, Califoinian Powei
Exchange, 1997.
Reticulai, 1999, Using intelligent agents to implement an electionic auction foi buying and selling electiic
powei, Revision 1, August 1999, Reticulai Systems, Inc., San Diego, CA.
Rossi, T.M., and Biaun, J.E., 1996, Minimizing opeiating costs of vapoi compiession equipment with
optimal seivice scheduling, -, ASHRAE, vol. 2, no. 1, 3-26.
RS Means, 1999, - . 15 Mechanical, 157 - Aii-Conditioning and Ventilation,
420-5000, RS Means Company, Inc., Kingston, MA.
SAGE Electiochiomics, Inc. 2000. Sage Glass Explained. Available at URL: http://sage.ec.com/pages/.sgex-
plained.html.
Seem, J.E., and Biaun, J.E., 1992, The impact of peisonal enviionmental contiol on building eneigy use,
-., vol. 98, pait 1, AN-92-8-2, 903-909.
U.S. Dept. of Eneigy (DOE) 2000. Recommended Futuie Diiections foi R&D in Intelligent Buildings
Systems. Available at URL: http://www.eien.doe.gov/buildings/systemsfutuie.html.
-K- Houghton Mifin Company, Boston, 1999, p. 576.

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-- et al. - -"

Ed. Jan F. Kieidei

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-
-
Aii Exchange Piinciples of Load Calculations Stoiage
Effects and Limits of Static Analysis Zones Heating
Loads CLTD/CLF Method foi Cooling Loads Tiansfei
Functions foi Dynamic Load Calculations New Methods foi
Load Calculations Summaiy
6.2 Simulation and Modeling - Building
Eneigy Consumption
Steady State Eneigy Calculation Methods Dynamic Houily
Simulation Methods Inveise Modeling Hybiid
Modeling Classifcation of Methods How to Select
an Appioach
The Indooi Enviionment Review of Theimal
Distiibution Systems Tools
Solai Collectois Long-Teim Peifoimance of Solai
Collectois Solai Systems Solai System Sizing
Methodology Solai System Design Methods Design
Recommendations and Costs
- O -
--
Heating and cooling loads aie the theimal eneigy that must be supplied to oi iemoved fiom the inteiioi
of a building in oidei to maintain the desiied comfoit conditions. That is the demand side of the building,
addiessed in this chaptei and the next. Once the loads have been established, one can pioceed to the
supply side and deteimine the peifoimance of the iequiied heating and cooling equipment, as discussed
in Chapteis 4.1-4.4.
Of piimaiy concein to the designei aie the maximum oi peak loads because they deteimine the
capacity of the equipment. They coiiespond to the extiemes of hot and cold weathei, called design
conditions. But while in the past it was common piactice to limit oneself to the consideiation of peak
loads, examination of annual peifoimance has now become pait of the designei`s job. The oil ciises
shaipened oui awaieness of eneigy, and the computei ievolution has given us the tools to optimize the
design of the building and to compute the cost of eneigy. In this chaptei we addiess the calculation of
peak loads. Methods foi the deteimination of annual eneigy iequiiements aie piesented in Chaptei 6.2.
--
---

- -

---

- - -
-

-


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A load calculation consists of a caieful accounting of all the theimal eneigy teims in a building. While
the basic piinciple is simple, a seiious complication can aiise fiom stoiage of heat in the mass of the
building: In piactice, this is veiy impoitant foi peak cooling loads, even in lightweight buildings typical
in the U.S. Foi peak heating loads, the heat capacity can be neglected unless one insists on setting the
theimostat back even duiing the coldest peiiods. Foi annual eneigy consumption, the effect of heat
capacity depends on the contiol of the theimostat: it is negligible if the indooi tempeiatuie is constant
but can be quite signifcant with theimostat set back oi up.
This chaptei begins with models foi aii exchange in Section 6.1.1. Section 6.1.2 discusses the design
conditions, heat loss coeffcient, and theimal balance of a building. Section 6.1.3 examines the limitations
of a steady state analysis. The need foi zoning, i.e., the sepaiate tieatment of diffeient paits of a building
wheie the loads aie too dissimilai to be lumped togethei, is discussed in 6.1.4, and a steady-state method
foi peak heating loads is piesented in Section 6.1.5. Peak cooling loads aie calculated in Section 6.1.6 by
using a modifed steady state method, CLF-CLTD. To piovide an algoiithm foi dynamic load calculations,
the tiansfei function method is piesented in Section 6.1.7; using this method has become ielatively
simple, thanks to computeis with spieadsheets.
The calculation of loads piesented heie does not take into account the losses in the distiibution system.
These losses can be quite signifcant, especially in the case of uninsulated ducts, and they should be taken
into account in the analysis of the HVAC system. Distiibution systems aie the piovince of Chaptei 4.3.

Fiesh aii in buildings is essential foi comfoit and health, and the eneigy foi conditioning this aii is an
impoitant teim. Not enough aii, and one iisks sick-building syndiome; too much aii, and one wastes
eneigy. The supply of fiesh aii, oi aii exchange, is stated as the ow iate of the outdooi aii that ciosses
the building boundaiy and needs to be conditioned ft

3

/min (m

3

/s oi L/s)]. Often it is convenient to
divide it by the building volume, as /

, expiessing it in units of aii changes pei houi. Even though it
is customaiy to state the aii ow as the volumetiic iate, the mass ow

would be moie ielevant
foi most applications in buildings. The ielation between mass ow and volume ow depends on the
density

, which vaiies quite signifcantly with tempeiatuie and piessuie.
To estimate the aii exchange iate, the designei has two souices of infoimation: data fiom similai
buildings and models. The undeilying phenomena aie complicated, and a simple compaiison with othei
buildings may not be ieliable. The modeling appioach can be fai moie piecise, but may iequiie a faii
amount of effoit.
It is helpful to distinguish two mechanisms that contiibute to the total aii exchange:

B

- uncontiolled aiiow thiough all the little ciacks and openings in a ieal building

- natuial ventilation thiough open windows oi doois and mechanical ventilation
by fans

Aii exchange iates can be measuied diiectly by means of a tiacei gas. Sulfui hexauoiide (SF

6

) has been
a favoiite because it is ineit and haimless, and it can be detected at concentiations above 1 pait pei
billion (ppb). The equipment is ielatively expensive but allows deteimination at houily oi even shoitei
inteivals (Sheiman et al., 1980; Giimsiud et al., 1980). Moie iecently a low-cost alteinative has been
developed that uses passive peiuoiocaibon souices and passive sampleis (Dietz et al., 1985). Each souice
can covei up to seveial hundied cubic meteis of building volume, at a cost of about $50, but the method

Foi futuie iefeience, we note that the loads of each zone, as calculated in this chaptei, include the contiibution
of outdooi aii change. Howevei, foi the analysis of aii-based cential distiibution systems, it is convenient to exclude
the contiibution of ventilation aii fiom the zone loads and to count it instead as load at the aii handlei. Keeping
sepaiate the load due to ventilation aii is stiaightfoiwaid because this load is instantaneous.
V
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m
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V
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yields only aveiages ovei sampling peiiods of seveial weeks (in fact, it aveiages the inveise of the aii
exchange iate). Caibon dioxide is inteiesting as a tiacei gas because it is pioduced by the occupants and
can be used foi monitoiing indooi aii quality; as a measuie of aii exchange, it is unceitain to the extent
that the numbei of occupants and theii metabolism aie not known.
An entiiely diffeient method of deteimining the aiitightness of a building is piessuiization with a
blowei dooi (a special instiumented fan that is mounted in the fiame of a dooi foi the duiation of the
test). To obtain accuiate data, one needs faiily high piessuies, aiound 0.2 to 0.3 in WG (50 to 75 Pa),
which aie highei than natuial conditions in most buildings. The extiapolation to lowei values iequiies
assumptions about the exponent in the ow-piessuie ielation, and it is not without pioblems
(see Chaptei 23 of ASHRAE, 1989a). In buildings with mechanical ventilation, one could bypass the need
foi a blowei dooi by using the ventilation system itself, if the piessuie is suffciently high.
In the past, not much attention was paid to aiitight constiuction, and oldei buildings tend to have
iathei high infltiation iates, in the iange of 1 to 2 aii changes pei houi. With cuiient conventional
constiuction in the U.S., one fnds lowei values, aiound 0.3 to 0.7. These values aie seasonal aveiages;
instantaneous values vaiy with wind and indooi-outdooi tempeiatuie diffeience. When infltiation is
insuffcient to guaiantee adequate indooi aii quality, foiced ventilation becomes necessaiy. The iequiied
aii exchange iate depends, of couise, on the density of occupants. In iesidential buildings, the density is
ielatively low, and with conventional U.S. constiuction, infltiation is likely to be suffcient. But it is
ceitainly possible to make buildings much tightei than 0.3 aii changes pei houi of infltiation. In fact,
Swedish houses aie standaidly built to such high standaids that uncontiolled infltiation iates aie aiound
0.1 aii changes pei houi; mechanical ventilation supplies just the iight amount of outdooi aii, and an
aii-to-aii heat exchangei minimizes the eneigy consumption. In the U.S. foi buildings with foiced
ventilation, ASHRAE ventilation Standaid 62-99 applies. Good sites foi mechanical exhaust aie kitchen
and bathiooms, to iemove indooi aii pollution and excessive humidity.
Uncontiolled aii exchange is highly dependent on wind and on tempeiatuies. Even with closed
windows, it can vaiy by a factoi of 2 oi moie, being lowei in summei than in wintei. The vaiiability of
aii exchange is indicated schematically in Figuie 6.1.1 as the ielative fiequency of occuiience foi thiee
types of house: a leaky house and a modeiately tight house, both with natuial infltiation, and a veiy
tight house with mechanical ventilation. The last guaiantees adequate supply of fiesh aii at all times,
without the eneigy waste of conditioning unnecessaiy aii. With open windows, the aii exchange iate is
diffcult to piedict accuiately. It vaiies with the wind, and it is highly dependent on the aeiodynamics
of the building and its suiioundings. The designei needs data on ventilation iates with open windows
to assess comfoit conditions in buildings with opeiable windows duiing the tiansition season between
heating and cooling. Figuie 6.1.2 piesents data foi natuial ventilation in a two-stoiy house. Depending
on which windows aie open and wheie the ventilation is measuied, the aii change iate vaiies between
1 and 20 pei houi.

-

Foi a moie piecise model of aii exchange, let us iecall fiom Chaptei 2.1 that the ow thiough an opening
is piopoitional to the aiea and to some powei of the piessuie diffeience:
(6.1.1)
wheie

aiea of opening, ft

2

(m

2

)

piessuie diffeience between outside and inside, inWG (Pa)

ow coeffcient, ft/(min inWG

n

) m/(s Pa

n

)]

exponent, between 0.4 and 1.0 and usually aiound 0.65 foi buildings
In geneial, diffeient openings may have diffeient coeffcients and exponents. This equation is an
appioximation, valid only foi a ceitain iange of piessuies and ows; diffeient

and

may have to be
used foi othei ianges. Theie is anothei pioblem in applying this equation to buildings: the width of an
V
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Ac p
n
=

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opening can change with piessuie. Blowei dooi tests have shown that the appaient leakage aiea can be
signifcantly highei foi oveipiessuiization than foi undeipiessuiization; exteinal piessuie tends to com-
piess the ciacks of a building (Lydbeig and Honaibakhsh, 1989). In buildings without mechanical
ventilation, the piessuie diffeiences undei natuial conditions aie positive ovei pait of the building and
negative ovei the iest; heie it is appiopiiate to aveiage the blowei dooi data ovei positive and negative

Vaiiability of aii exchange foi thiee types of houses, plotted as ielative fiequency of occuiience veisus
aii change iate (fiom Nisson and Duff, 1985).

Measuied ventilation iates, as a function of
wind speed, in a two-stoiy house with windows open on
lowei ooi (fiom Achaid and Gicquel, 1986). The cuives
aie labeled accoiding to the location of open windows and
measuiing point as follows:

- -

1. All uppei ooi Uppei ooi
2. Uppei ooi windwaid Uppei ooi
3. All uppei ooi Lowei ooi
4. Uppei ooi leewaid Uppei ooi
5. None Whole house
20
10
5
2
1
0
0 1 2
2
1
3
3
4
4
5
5
0.5
Wind speed (m/s)

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piessuie diffeiences. In buildings wheie ovei- oi undeipiessuie is maintained, the leakage aiea data
should coiiespond to those conditions.
The total ow is obtained by summing ovei all openings

as
(include only teims with

> 0) (6.1.2)
wheie

leakage aiea

ow coeffcient

exponent

local piessuie diffeience
If one sums naively ovei all openings of a building, the iesult (aveiaged ovei momentaiy uctuations)
is zeio because the quantity of aii in a building does not change. The ow into the building must equal
the ow out; the foimei coiiesponds to positive teims in the sum, the lattei to negative teims. What
inteiests us heie is the eneigy needed foi conditioning the aii that ows into the building. Theiefoie,
the sum includes only the teims with

>

.
As indicated by the subsciipt

, all the teims can vaiy fiom one point to anothei in the building. Theiefoie,
a faiily detailed calculation may be iequiied. Typical aii leakage sites in houses aie shown in Figuie 6.1.3,
and data foi leakage aieas can be found in Table 6.1.1 foi a wide vaiiety of building components.
Actually, in many applications, one need not woiiy about this. Foi ielatively small buildings without
mechanical ventilation, the LBL model can be used; this model, discussed shoitly, bypasses Equation 6.1.2
by coiielating the ow diiectly with wind speed, tempeiatuie diffeience, and total leakage aiea. In many
(if not most) buildings with mechanical ventilation, one maintains a signifcant piessuie diffeience
between the inteiioi and exteiioi

. If this piessuie diffeience is laigei than the piessuies induced by wind
and tempeiatuie, the lattei can be neglected and all teims in Equation 6.1.2 have the same sign. Befoie
pioceeding to these applications, we have to discuss the oiigin of the piessuie diffeiences.

Typical aii leakage sites in a house. (1) Joints between joists and foundation; (2) joints between sill
and ooi; (3) electiical boxes; (4) joints at windows; (5) joints between wall and ceiling; (6) ceiling light fxtuies;
(7) joints at attic hatch; (8) ciacks at doois; (9) joints at inteiioi paititions; (10) plumbing-stack penetiation of ceiling;
(11) chimney penetiation of ceiling; (12) bathioom and kitchen ventilation fans; (13) aii/vapoi baiiiei teais;
(14) chimney diaft aii leaks; (15) ooi diain (aii enteis thiough diain tile) (fiom Nisson and Duff, 1985).

Oveipiessuie in the building allows bettei contiol and comfoit. Undeipiessuie can be maintained with smallei
ducts and lowei cost, but at the iisk of condensation, fieezing, and possibly diaft.
V
`
A
k
c
k
p
k
n
k
=

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Data foi Effective Leakage Aieas of Building Components at 0.016 in WG (4 Pa),

cm

2

Component Best Estimate Maximum Minimum

Sill foundation-Wall
Caulked, in

2

/ft of peiimetei 0.04 0.06 0.02
Not caulked, in

2

/ft of peiimetei 0.19 0.19 0.05
Joints between ceiling and walls
Joints, in

2

/ft of wall
(only if not taped oi plasteied and no vapoi baiiiei) 0.07 0.12 0.02
Windows
Casement
Weathei-stiipped, in

2

/ft

2

of window 0.011 0.017 0.006
Not weathei-stiipped, in

2

/ft

2

of window 0.023 0.034 0.011
Awning

2

/ft

2

of window 0.011 0.017 0.006

2

/ft

2

of window 0.023 0.034 0.011
Single-hung

2

/ft

2

of window 0.032 0.042 0.026

2

/ft

2

of window 0.063 0.083 0.052
Double-hung

2

/ft

2

of window 0.043 0.063 0.023

2

/ft

2

of window 0.086 0.126 0.046
Single-slidei

2

/ft

2

of window 0.026 0.039 0.013

2

/ft

2

of window 0.052 0.077 0.026
Double-slidei

2

/ft

2

of window 0.037 0.054 0.02

2

/ft

2

of window 0.074 0.110 0.04
Doois
Single dooi

2

/ft

2

of dooi 0.114 0.215 0.043

2

/ft

2

of dooi 0.157 0.243 0.086
Double dooi

2

/ft

2

of dooi 0.114 0.215 0.043

2

/ft

2

of dooi 0.16 0.32 0.1
Access to attic oi ciawl space

2

pei access 2.8 2.8 1.2

2

pei access 4.6 4.6 1.6
Wall-Window fiame
Wood fiame wall
Caulked, in

2

/ft

2

of window 0.004 0.007 0.004
No caulking, in

2

/ft

2

of window 0.024 0.038 0.022
Masoniy wall
Caulked, in

2

/ft

2

of window 0.019 0.03 0.016
No caulking, in

2

/ft

2

of window 0.093 0.15 0.082
Wall-Dooi fiame
Wood wall
Caulked, in

2

/ft

2

of dooi 0.004 0.004 0.001
No caulking, in

2

/ft

2

of dooi 0.024 0.024 0.009
Masoniy wall
Caulked, in

2

/ft

2

of dooi 0.0143 0.0143 0.004
No caulking, in

2

/ft

2

of dooi 0.072 0.072 0.024
Domestic hot watei systems
Gas watei heatei (only if in conditioned space), in

2

3.1 3.9 2.325
Electiic outlets and light fxtuies
Electiic outlets and switches
Gasketed, in

2

pei outlet and switch 0 0 0
Not gasketed, in

2

pei outlet and switch 0.076 0.16 0
Recessed light fxtuies, in

2

pei fxtuie 1.6 3.1 1.6
Pipe and duct penetiations thiough envelope

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-- -

The piessuie diffeience

is the sum of thiee teims:

-
-
-
(6.1.3)
the fist due to wind, the second due to the stack effect (like the ow induced in a heated smokestack),
and the thiid due to foiced ventilation, if any. We take the piessuie diffeiences to be positive when they
cause aii to ow towaid the inteiioi. The ow depends only on the total p, not on the individual teims.
The ielative contiibution of the wind, stack, and ventilation teims vaiies acioss the envelope, and because
of the nonlineaiity, one cannot calculate sepaiate aiiows foi each of these effects and add them at the end.
The wind piessuie is given by Beinoulli`s equation (in SI units)
(6.1.4SI)
wheie wind speed (undistuibed by building), m/s
fnal speed of aii at building boundaiy

Pipes
Caulked oi sealed, in
2
pei pipe 0.155 0.31 0
Not caulked oi sealed, in
2
pei pipe 9.3 1.55 0.31
Ducts
Sealed oi with continuous vapoi baiiiei, in
2
pei duct 0.25 0.25 0
Unsealed and without vapoi baiiiei, in
2
pei duct 3.7 3.7 2.2
Fiieplace
Without inseit
Dampei closed, in
2
pei fieplace 10.7 13 8.4
Dampei open, in
2
pei fieplace 54 59 50
With inseit
Dampei closed, in
2
pei fieplace 5.6 7.1 4.03
Dampei open oi absent, in
2
pei fieplace 10 14 6.2
Exhaust fans
Kitchen fan
Dampei closed, in
2
pei fan 0.775 1.1 0.47
Dampei open, in
2
pei fan 6 6.5 5.6
Bathioom fan
Dampei closed, in
2
pei fan 1.7 1.9 1.6
Dampei open, in
2
pei fan 3.1 3.4 2.8
Diyei vent
Dampei closed, in
2
pei vent 0.47 0.9 0
Heating ducts and fuinace-Foiced-aii systems
Ductwoik (only if in unconditioned space)
Joints taped oi caulked, in
2
pei house 11 11 5
Joints not taped oi caulked, in
2
pei house 22 22 11
Fuinace (only if in conditioned space)
Sealed combustion fuinace, in
2
pei fuinace 0 0 0
Retention head buinei fuinace, in
2
pei fuinace 5 6.2 3.1
Retention head plus stack dampei, in
2
pei fuinace 3.7 4.6 2.8
Fuinace with stack dampei, in
2
pei fuinace 4.6 6.2 3.1
Aii conditionei
Wall oi window unit, in
2
pei unit 3.7 5.6 0
: Foi conveision to SI units: 1 in
2
6.45 cm
2
, 1 ft
2
0.0929 m
2
, and 1 in
2
/ft
2
69 cm
2
/m
2
.
Fiom ASHRAE, 1989a.
Data foi Effective Leakage Aieas of Building Components at 0.016
in WG (4 Pa), cm
2
Component Best Estimate Maximum Minimum
p
wind
2
--- v
2
v
f
2
- =

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aii density, kg/m
3
In USCS units, we have
lb
f
/ft
2
(6.1.4US)
with
32.17 (lb
m
ft)/(lb
f
s
2
), the wind speed being in feet pei second, and the aii density in pound-
mass pei cubic foot.
Undei standaid conditions of 14.7 psi (101.3 kPa) and 68F (20C), the density is
0.075 lb
m
/ft
3
( 1.20 kg/m
3
)
but one should note that the density of outdooi aii can deviate moie than 20% above (wintei at sea
level) oi below (summei in the mountains) these values. In USCS units, the iatio of
0.00964 inWG/(mi/h)
2
undei standaid conditions if piessuie is in inches watei gauge and wind speed in miles pei houi.
The wind speed is stiongly modifed by teiiain and obstacles, being signifcantly highei fai above the
giound (see ASHRAE, 2001). Since the fnal speed
is awkwaid to deteimine, a convenient shoitcut is

to use Equation 6.1.4 with
0, multiplying it instead by a piessuie coeffcient
2
(6.1.5)
The quantity

/
( /2)
2
is plotted veisus wind speed in Figuie 6.1.4a. Numeiical values foi
C
p
can be gleaned fiom Figuie 6.1.4b, wheie this coeffcient is plotted as a function of the angle between
the wind and the suiface noimal. Typical values aie in the iange fiom appioximately -0.6 to 0.6,
depending on the diiection of the wind.
Actually we aie inteiested in the piessuie diffeience between the inteiioi and exteiioi of a building.
If the inteiioi of an entiie ooi offeis no signifcant ow iesistance, one can fnd the indooi piessuie
due to wind by aveiaging the ow coeffcient ovei all oiientations of the suiiounding wall. Since that
aveiage is appioximately -0.2, the local piessuie diffeience
at a point of the wall is, in that case,
2
(6.1.6)
with
- (-0.2) being the diffeience between the local piessuie coeffcient and the aveiage.
The - is the iesult of density diffeiences between aii inside and outside the building. In
wintei, the aii inside the building is waimei, hence less dense than the aii outside. Theiefoie, the indooi
piessuie diffeience (bottom veisus top) is less than the outdooi piessuie diffeience between the same
heights. Consequently, theie is an indooi-outdooi piessuie diffeience. It vaiies lineaily with height, and
the level of neutial piessuie is at the midheight of the building, as suggested by Figuie 6.1.5, if the leaks
aie unifoimly distiibuted. Duiing the cooling season when indooi aii is coldei than the outside, the
effect is ieveised.
The piessuie diffeience is given by
p
wind
2g
c
------- v
2
v
f
2
- =
g
c
----
2
---
2
---

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Coiielations foi wind piessuie. (a) Wind piessuie plotted as p
wind
/C
p
( /2)
2
veisus wind speed
. (b) Typical values of piessuie coeffcient
p
of Equation 6.1.5 foi a iectangulai building as a function of wind
diiection (fiom ASHRAE, 1989a; dots indicate the values fiom Figuie 14.6 of that iefeience).
0
0 5 10
0.06
0.05
0.04
0.03
0.02
0.01
0.00
10 20 30
0
0
5
10
15
1 2 3 4 5
250
200
150
100
50
0
0 5 10 15 20
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0
(m/s)
(mph)
(a)
0.5
0
-0.5
-1.0
20
0
40
0
60
0
80
0
100
0
120
0
140
0
160
0
Approximate bound
to 80% of data
(b)
wind angle

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(6.1.7SI)
(6.1.7US)
wheie
density of aii in building 0.075 lb

m
/ft
3
( 1.20 kg/m
3
)
veitical distance fiom neutial piessuie level, up being positive, ft (m)
32.17 ft/s
2
(9.80 m/s
2
) acceleiation due to giavity
32.17 (lb
m
ft)/(lb
f
s
2
)]
and
indooi and outdooi absolute tempeiatuies, R (K)
diaft coeffcient, a dimensionless numbei to account foi the iesistance to aii ow

between oois
The diaft coeffcient ianges fiom about 0.65 foi typical modein offce buildings to 1.0 if theie is no
iesistance at all. Equation 6.1.7 is plotted in Figuie 6.1.6 as a function of
and , assuming
aii at 75F (24C). Since the ielation is lineai in , this fguie can be iead outside the iange shown by
simply changing the scales of the axes. Foi a biief summaiy, one can say that the stack piessuie amounts to
Pa/(m K) (6.1.8SI)
lb
f
/(ft
2
ft R) (6.1.8US)
The stack effect tends to be ielatively small in low-iise buildings, up to about fve oois, but in high-
iise buildings it can dominate and should be given close attention.
Finally, in buildings with , theie is the piessuie diffeience
if the intake and

exhaust ows aie not equal. The iesulting piessuie diffeience depends on the design and opeiation of
Aii leakage due to stack effect duiing heating season (fiom Nisson and Vutt, 1985).
Inside pressure higher than outside
(air leaks out)
Outside pressure higher than inside
(air leaks in)
No inside-outside pressure difference
(no leaks)
Neutral
plane
p
stack
C
d i
g h -
T
i
T
o
-
T
o
---------------- =
p
stack
C
d
i
g
g
c
------- h -
T
i
T
o
-
T
o
---------------- =
p
stack
C
d
h T
--------------------- 0.04 =
p
stack
C
d
h T
--------------------- 0.00014 =

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the ventilation system and on the tightness of the building. In addition, theie is some coupling to the
wind and stack teims. Thus, the deteimination of
may be somewhat diffcult. Howevei, as we now

show, the situation is simple when
is laigei in magnitude than the wind and stack teims. This is

an impoitant case since many designeis aim foi slight oveipiessuiization of commeicial buildings by
making the outdooi aii intake laigei than the exhaust ow.
Considei how the piessuies and ows aie ielated in a faiily tight building wheie mechanical ventilation
maintains oveipiessuie oi undeipiessuie
ielative to the outside; foi simplicity, we assume it unifoim

in the entiie building. The law of conseivation of mass implies that the net aii ow piovided by the
ventilation system equals the net leakage acioss the envelope, as calculated, accoiding to Equation 6.1.2,
by summing ovei all leakage sites k of the building envelope:
with

,
-
-,
-
(6.1.9)
Foi simplicity, let us assume at this point one single value n foi the exponent. Then the piessuie teim
on the iight-hand side of Equation 6.1.9 can be iewiitten in the foim
with (6.1.10)
Piessuie diffeience due to stack effect.
250
200
150
100
50
0
-50
0 66 131 197 262 328
1.0
0.9
0.8
0.7
0.6
0.5
0.2
0.3
0.1
0.0
-0.1
-0.2
0.4
100 40 60 20 0 80
T = 50 K (90
O
F)
10 K ( 18
O
F)
10 K (18
O
F)
20 K (36
O
F)
30 K (54
O
F)
40 K (72
O
F)
h (ft)
h (m)
V
`
V
`
A
k
c
k
p
k
n
k
=
p
k
n
p
vent
n
1 x
k
+
n
= x
k
wind,k
p
stack,k
+
vent
------------------------------------------ =

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As long as
< 1, the binomial expansion can be used, with the iesult
The quantity
is positive in some paits of the building, negative in otheis. In fact, if the distiibution
of ciacks is appioximately symmetiic (top-bottom and windwaid-leewaid), then foi each teim with
positive
theie will also be one with appioximately the same coeffcient but negative
. Thus the lineai

teims in the expansion tend to cancel. The highei-oidei teims aie small, beginning with which is
multiplied by ( -1)/2, a factoi that is always less than 0.125 in absolute value since 0 < n < 1. Thus
the contiibutions of the
-dependent teims aie much smallei than that of the leading teim. Theiefoie,
- --
- --- -

-
(6.1.11)
the sum coveiing the entiie envelope of the building. Had we allowed foi diffeient exponents
in
Equation 6.1.9, with its exponent would iemain inside the sum, but the conclusion about the
negligibility of stack and wind teims continues to hold.

To apply Equation 6.1.2, one needs data foi leakage aieas and ow coeffcients of all the components of
a building. Much ieseaich has been done to obtain such data, both foi components and foi complete
buildings, e.g., by piessuiizing a building with a blowei dooi. Data weie piesented in Table 6.1.1.
The total leakage aiea is obtained by adding all the leakage aieas of the components as illustiated in
the following example. Once the total leakage aiea has been found, eithei by such a calculation oi by a
piessuiization test, the aiiow can be estimated by the following model, developed at Lawience
Beikeley Laboiatoiy (LBL) as iepoited by ASHRAE (2001):
(6.1.12)
wheie
total effective leakage aiea of building, cm

2
-
stack coeffcient of Table 6.1.2, (L/s)
2
/(cm
4
K)
T
i
- T
o
, K

wind coeffcient of Table 6.1.3, (L/s)
2
/(cm
4
(m/s)
2
]
aveiage wind speed, m/s
This model is applicable to single-zone buildings mechanical ventilation.
Stack Coeffcient
-
Numbei of Stoiies
One Two Thiee
Stack coeffcient
-
, (ft
3
/min)
2
/(in
4
F) 0.0156 0.0313 0.0471
Stack coeffcient
-
, (L/s)
2
/(cm
4
K) 0.000145 0.000290 0.000435
Fiom ASHRAE, 1989a.
The ith powei of
in this seiies is multiplied by the binomial coeffcient

n
i
n!
i! n i - !
--------------------- =

1
1
2
2
x
k
2

with
V
`

-
2
L/s

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- -
Most commeicial buildings have featuies that aie not included in the model of the pievious section:
Mechanical ventilation
Revolving oi swinging doois
Cuitain walls (i.e., the non load-beaiing wall constiuction commonly employed in commeicial
buildings)
These featuies can be analyzed by using the method piesented in the
(1979, 1992), published by ASHRAE. Heie we give a biief summaiy. The aii ows
aie deteimined fiom the following coiielations, wheie is the total piessuie diffeience at each point
of the building, calculated as desciibed above.
Foi iesidential-type doois and windows, the ow pei length
of peiimetei is given by an equation

of the foim
(6.1.13US)
Numeiical values can be found in Figuie 6.1.7 foi windows and iesidential-type doois, and in
Figuie 6.1.8 foi swinging doois when they aie closed, as functions of the piessuie diffeience , foi
seveial values of coiiesponding to diffeient types of constiuction. The exponent is 0.5 foi iesidential-
type doois and windows, and 0.65 foi swinging doois. The laigei values foi and foi foi the lattei
account foi the laigei ciacks of swinging doois. Since the equations aie dimensional, all quantities must
be used with the specifed units. We have added dual scales to the giaphs, so Figuies 6.1.7-6.1.10 can be
iead diiectly in both systems of units.
Obviously the aii ow incieases maikedly when doois aie opened. Figuie 6.1.9 peimits an estimate
of the aii ow thiough swinging doois, both single-bank and vestibule-type, as a function of tiaffc iate.
The coeffcient (ft
3
/min)/(in WG)
-0.5
] foi Figuie 6.1.9a is found fiom Figuie 6.1.9b foi the numbei
of people passing the dooi pei houi. The equation foi the ow in pait a is
(6.1.14US)
Wind Coeffcient
Shielding
class Desciiption
Wind Coeffcient
,
(L/s)
2
/cm
4
(m/s)
2
]
Wind Coeffcient
,
(ft
3
/min)
2
/in
4
(mi/h)
2
]
Numbei of Stoiies Numbei of Stoiies
One Two Thiee One Two Thiee
1 No obstiuctions oi local shielding 0.000319 0.000420 0.000494 0.0119 0.0157 0.0184
2 Light local shielding; few obstiuctions,
a few tiees oi small shed
0.000246 0.000325 0.000382 0.0092 0.0121 0.0143
3 Modeiate local shielding; some
obstiuctions within two house
heights, thick hedge, solid fence, oi
one neighboiing house
0.000174 0.000231 0.000271 0.0065 0.0086 0.0101
4 Heavy shielding; obstiuctions aiound
most of peiimetei, buildings oi tiees
within 10 m in most diiections; typical
subuiban shielding
0.000104 0.000137 0.000161 0.0039 0.0051 0.0060
5 Veiy heavy shielding; laige
obstiuctions; typical downtown
shielding
0.000032 0.000042 0.000049 0.0012 0.0016 0.0018
Fiom ASHRAE, 1989a.
, ,
ft /min; ft; , in WG
3

,
.

0 5
ft /min; , in WG
3

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Analogous infoimation on ow pei unit aiea of cuitain wall can be deteimined by the equation
(6.1.15US)
It is piesented in Fig. 6.1.10 foi thiee constiuction types, coiiesponding to the indicated values of the
coeffcient K (ft
3
/min)/(ft
2
inWG
0.65
).
- -
- -
Loads depend on the indooi conditions that one wants to maintain and on the weathei, the lattei of
which is not known in advance. If the HVAC equipment is to guaiantee comfoit at all times, it must be
designed foi peak conditions. What aie the extiemes: Foi most buildings it would not be piactical to
aim foi total piotection by choosing the most extieme weathei on iecoid and adding a safety maigin.
Window and iesidential-type dooi aii infltiation pei peiimetei length
. The cuives coiiespond

to Equation 6.1.13, with n 0.65 and coeffcient k (ft
3
/min)/(inWG)
0.65
] accoiding to constiuction type, as shown
in the following table:
Windows
Coeffcient Wood Double-Hung (locked) Othei Types Doois (Residential Type)
1.0 tight" Weathei-stiipped, small gap
width 0.4 mm (1/64 in)
Weathei-stiipped: wood
casement and awning windows,
metal casement windows
Veiy small peiimetei gap and
peifect-ft weathei-stiipping -
often chaiacteiistic of new doois
2.0 aveiage" Non weathei-stiipped, small
gap width 0.4 mm (1/64 in);
oi weathei-stiipped, laige
gap width 2.4 mm (3/32 in)
All types of sliding windows,
weathei-stiipped (if gap width
is 0.4 mm, this could be tight";
oi non weathei-stiipped metal
casement windows (if gap width
is 2.4 mm, this could be loose")
Small peiimetei gap with stop
tiim, good ft aiound dooi, and
weathei-stiipping
6.0 loose" Non weathei-stiipped, laige
gap width 2.4 mm (3/32 in)
Non weathei-stiipped veitical
and hoiizontal sliding windows
Laige peiimetei gap with pooi-
ftting stop tiim and weathei-
stiipping, oi small peiimetei
gap without weathei-stiipping
3.0
2.5
2.0
1.5
1.0
0.5
0.0
0.0 10.0 20.0 30.0 40.0 50.0 60.0 70.0 80.0 90.0 100.0
0.0
0.5
1.0
1.5
0.4 0.2 0.3 0.1 0.0
p (inWG)
p (Pa)
= 6.0
= 2.0
= 1.0
. .
V
`
,
.

0 65
ft /min; A, ft ; , in WG
3 2

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Infltiation thiough closed swinging dooi ciacks, pei peiimetei length
. The cuives coiiespond

to Equation 6.1.13 with n 0.5 and k (ft
3
/min)/(inWG)
0.5
].
Infltiation due to dooi openings as a function of tiaffc iate. (a) Infltiation (with n 0.5).
(b) Coeffcient C (ft
3
/min)/(inWG)
0.5
].
100
90
80
70
60
50
40
30
20
10
60
50
40
30
20
10
0
0
0
0 0.1 0.2 0.3 0.4
10 20 30 40 50 60 70 80 90 100
p(in WG)
p(Pa)
Crack width
1.6 mm (
1
16
in)
k = 20
Crack width
3.2 mm (
1
8
in)
k = 40
Crack width
6.4 mm (
1
4
in)
k = 80
Crack width
12.7 mm (
1
2
in)
k = 160
. .
V
`
5000
0 0.1 0.2 0.3 0.4
4000
3000
2000
1000
20,000
17,500
15,000
12,500
10,000
7500
5000
2500
0
0 100 200 300 400 500 600 700 800 900 1000
0
0 20 10 30 40 50 60 70 80 90 100
0
10,000
9000
8000
7000
6000
5000
4000
3000
2000
1000
C = 20,000
C = 15,000
C = 10,000
C = 5000
p (Pa)
p (in WG)
People per hour (per door)
C
(b)
(a)
.
.

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Such oveisizing of the HVAC equipment would be excessive, not just in fist cost but also in opeiating
cost; most of the time, the equipment would iun with pooi pait-load effciency. Theiefoie compiomise
is called foi, ieducing the cost of the HVAC equipment signifcantly while accepting the iisk of slight
discomfoit undei iaie extiemes of weathei. The gieatei the extieme, the iaiei the occuiience.
To help with the choice of design conditions, ASHRAE has published weathei statistics coiiesponding
to seveial levels of piobability. They aie the conditions that aie exceeded at the site in question duiing
a specifed peicentage of time of an aveiage season. Foi waim conditions, the
- lists design conditions foi the 0.4%, 1.0%, and 2% levels. Foi cooling, these peicentage
piobabilities iefei to 12 months (8760 houis). To see what these statistics imply, considei Washington,
D.C., wheie the 1% level foi the diy-bulb tempeiatuie is 92F (33C). Heie the tempeiatuie is above
92F duiing 0.010 8760 h 87.6 h of an aveiage summei. Since the hottest houis aie concentiated
duiing afteinoons iathei than spiead ovei the entiie day, the coiiesponding numbei of days can be
consideiably highei than 1% of the 122 days of the summei season (June - Septembei).
The cold weathei design conditions aie listed as 99.0% and 99.6% conditions because that is the
peicentage of the typical yeai when the tempeiatuie is these levels.
A ceitain amount of judgment is needed in the choice of design conditions. Foi oidinaiy buildings, it
is customaiy to base the design on the level of 1.0% in summei and 99.0% in wintei. Foi ciitical applications
such as hospitals oi sensitive industiial piocesses, oi foi lightweight buildings, one may piefei the moie
stiingent level of 0.4% in summei (99.6% in wintei). Theimal ineitia can help in ieducing the iisk of
discomfoit; it delays and attenuates the peak loads, as will be explained in the following sections. Theiefoie
one may move to a less stiingent level foi a given application if the building is veiy massive.
Infltiation pei aiea of cuitain wall foi one ioom oi one ooi. The cuives coiiespond to Equation
6.1.15, with coeffcient k (ft
3
/min)/(ft
2
inWG)
0.65
] accoiding to constiuction type.
Coeffcient Constiuction
K 0.22 tight" Close supeivision of woikmanship; joints aie iedone when they appeai inadequate
K 0.66 aveiage" Conventional
K 1.30 loose" Pooi quality contiol, oi oldei building wheie joints have not been iedone
As a guide foi the assessment of the ielation between peisistence of cold weathei and theimal ineitia, we note
that accoiding to studies at seveial stations, tempeiatuies below the design conditions can peisist foi up to a week
(ASHRAE, 2001).
3.0
2.5
2.0
1.5
1.0
0.5
0.0
0.0 20.0 40.0 60.0 80.0 100.0
0.0
0.2
0.4
0.6
0.4 0.32 0.24 0.16 0.08 0
p(Pa)
p (inWG)
K = 1.30
K = 0.66
K = 0.22
.
.

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Foi peak heating loads, one need not bothei with solai iadiation because the extiemes occui duiing
wintei nights. Foi cooling loads, solai iadiation is ciucial, but its peak values aie essentially a function
of latitude alone. Foi opaque suifaces, the effect of solai iadiation is tieated by means of the sol-aii
tempeiatuie, foi glazing, by means of the solai heat gain factoi. Design values of the solai heat gain factoi
foi a set of suiface oiientations and latitudes can be found in (ASHRAE 2001).
As foi humidity and latent loads, the ASHRAE tables include design wet-bulb tempeiatuies, also at
the 0.4%, 1.0%, and 2% levels along with the coincident diy-bulb tempeiatuie. Alteinatively, the Tables
also show the mean coincident wet-bulb tempeiatuies, defned as the aveiage wet-bulb tempeiatuie at
the coiiesponding diy-bulb values (also at the 0.4%, 1.0%, and 2% levels). Foi wintei no wet-bulb
tempeiatuie data aie given. Usually this poses no seiious pioblem because latent loads duiing the heating
season aie zeio if one does not humidify. If one does humidify, unceitainties in the value of the outdooi
humidity have little effect on the latent load because the absolute humidity of outdooi aii in wintei is
veiy low.
Wind speed is anothei weathei-dependent vaiiable that has a beaiing on loads. Tiaditionally the
ASHRAE (2001) value
15 mi/h (6.7 m/s) (6.1.16a)

has been iecommended foi heating loads, if theie is nothing to imply extieme conditions (such as an
exposed hilltop location). Foi cooling loads, a value half as laige is iecommended
-
7.5 mi/h (3.4 m/s) (6.1.16b)
because wind tends to be less stiong in summei than in wintei. Of paiticulai inteiest is the suiface heat
tiansfei coeffcient (iadiation plus convection)
foi which ASHRAE (2001) iecommends the design

values.
6.0 Btu/(h ft
2
F) 34.0 W/(m
2
K)] (6.1.17a)
-
4.0 Btu/(h ft
2
F) 22.7 W/(m
2
K)] (6.1.17b)
The bettei a building is insulated and tightened, the less its heat tiansmission coeffcient depends on
wind. With cuiient piactice foi new constiuction in the U.S., typical wind speed vaiiations may change
the heat tiansmission coeffcient by about 10% ielative to the value at design conditions. Tempeiatuie
and humidity foi noimal indooi activities should be within the comfoit iegion delineated in Chaptei 2.2.
The comfoit chait indicates highei indooi tempeiatuies in summei than in wintei because of the
diffeience in clothing.
--- B
One of the most impoitant teims in the heat balance of a building is the heat ow acioss the envelope.
As discussed in Chaptei 2.1, heat ow can be assumed to be lineai in the tempeiatuie diffeience when
the iange of tempeiatuies is suffciently small; this is usually a good appioximation foi heat ow acioss
the envelope. Thus one can calculate the heat ow thiough each component of the building envelope as
the pioduct of its aiea , its conductance , and the diffeience
between the inteiioi and outdooi

tempeiatuies. The calculation of (oi its inveise, the
th
value) is desciibed in Chaptei 2.1. Heie we
combine the iesults foi the components to obtain the total heat ow.
The total conductive heat ow fiom inteiioi to exteiioi is
(6.1.18)
with the sum iunning ovei all paits of the envelope that have a diffeient composition. It is convenient
to defne a total --- B
, oi value, as

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(6.1.19)
so that the conductive heat ow foi the typical case of a single inteiioi tempeiatuie
can be wiitten as
(6.1.20)
In most buildings, the envelope consists of a laige numbei of diffeient paits; the gieatei the desiied
accuiacy, the gieatei the amount of detail to be taken into account.
As a simplifcation, one can considei a few majoi gioups and use effective values foi each. The thiee
main gioups aie glazing, opaque walls, and ioof. The ieason foi distinguishing the wall and the ioof lies
in the thickness of the insulation; ioofs tend to be bettei insulated because it is easiei and less costly to
add extia insulation theie than in the walls. With these thiee gioups one can wiite
(6.1.21)
if one takes foi each the appiopiiate effective value. Foi instance, the value foi glazing must be the aveiage
ovei glass and fiaming.
In the eneigy balance of a building, theie is one othei teim that is piopoitional to
. It is the
ow of sensible heat in watts (Btu/h)] due to aii exchange:
(6.1.22)
wheie density of aii
specifc heat of aii

aii exchange iate ft
3
/h (m
3
/s)
At standaid conditions, 14.7 psia (101.3 kPa) and 68F (20C), the factoi
has the value

(6.1.23)
In USCS units, if is in cubic feet pei minute, it must be conveited to ft
3
/h by multiplying by 60
(ft
3
/h)/(ft
3
/min). It is convenient to combine the teims piopoitional to
by defning the total heat

tiansmission coeffcient
of the building as the sum of conductive and aii change teims:

(6.1.24)
A moie iefned calculation would take suiface heat tiansfei coeffcients into account, as well as details
of the constiuction. In piactice, such details can take up most of the effoit.
-
Heat gains affect both heating and cooling loads. In addition to familiai solai gains, theie aie heat gains
fiom occupants, lights, and equipment such as appliances, motois, computeis, and copieis. Powei
densities foi lights in offce buildings aie aiound 20-30 W/m
2
. Foi lights and foi iesistive heateis, the
nominal powei iating (i.e., the iating on the label) is usually close to the powei diawn in actual use. But
foi offce equipment, that would be quite misleading; the actual powei has been measuied to be much
lowei, often by a factoi of 2 to 4 (Noifoid et al., 1989). Some typical values aie indicated in Table 6.1.4.
In iecent yeais, the computei ievolution has biought a iapid inciease in electionic offce equipment, and
the impact on loads has become quite impoitant, compaiable to lighting. The eneigy consumption foi
offce equipment is unceitain - will the occupants tuin off the computeis between uses oi keep them
iunning nights and weekends:

-- --

V
`
0 018 . ) )] Btu/(ft F 1.2 kJ/(m K

3 3
V
`


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Foi special equipment such as laboiatoiies oi kitchens, it is advisable to estimate the heat gains by
taking a close look at the inventoiy of the equipment to be installed, paying attention to the possibility
that much of the heat may be diawn diiectly to the outside by exhaust fans.
Heat gain fiom occupants depends on the level of physical activity. Nominal values aie listed in
Table 6.1.5. It is instiuctive to ieect on the oiigin of this heat gain. The total heat gain must be close to
the caloiic food intake, since most of the eneigy is dissipated fiom the body as heat. An aveiage of 100
W coiiesponds to
100 W 0.1 kJ/s (24 3600 s/day) 2064 kcal/day (6.1.25)
indeed a ieasonable value compaied to the typical food intake (note that the dieticians` caloiie is ieally a
kilocaloiie). The latent heat gain must be equal to the heat of vapoiization of the watei that is exhaled oi
tianspiied. Dividing 30 W by the heat of vapoiization of watei, we fnd a watei quantity of 30 W/(2450 kJ/kg)
12.2 10
-6
kg/s, oi about 1.1 kg/24 h. That also appeais quite ieasonable.
The latent heat gain due to the aii exchange is
(6.1.26)
wheie volumetiic aii exchange iate, ft
3
/min (m
3
/s oi L/s)
density, lb
m
/ft
3
(kg/m
3
)

fg
4840 Btu/(h ft
3
/min) 3010 W/(L/s)] at standaid conditions
i
,
o
humidity iatios of indooi and outdooi aii

Loads aie the heat that must be supplied oi iemoved by the HVAC equipment to maintain a space at
the desiied conditions. The calculations aie like accounting. One consideis all the heat that is geneiated
in the space oi that ows acioss the envelope; the total eneigy, including the theimal eneigy stoied in
Typical Heat Gain Rates foi Seveial Kinds of Equipment
Equipment
Heat Gain
Comments Btu/h W
Television set 170-340 50-100
Refiigeiatoi 340-680 100-200 Recent models moie effcient
Peisonal computei (desktop) 170-680 50-200 Almost independent of use while tuined on
Impact piintei 34-100 10-30 standby Incieases about twofold duiing piinting
Lasei piintei 510 150 standby Incieases about twofold duiing piinting
Copiei 500-1000 150-300 standby Incieases about twofold duiing piinting
Measuied values aie often less than half of the nameplate iating.
Based on ASHRAE, 1989a, Noifoid et al., 1989, and updates.
Nominal Heat Gain Values fiom Occupants
Activity
Total Sensible Latent
Btu/h W Btu/h W Btu/h W
Seated at iest 340 100 240 70 100 30
Seated, light offce woik 410 120 255 75 150 45
Standing oi walking slowly 495 145 255 75 240 70
Light physical woik 850 250 310 90 545 160
Heavy physical woik 1600 470 630 185 970 285
Based on ASHRAE, 1989a.
L kcal
4.186 kJ
--------------------

,

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the space, must be conseived accoiding to the fist law of theimodynamics. The piincipal teims aie
indicated in Figuie 6.1.11. Outdooi aii, occupants, and possibly ceitain kinds of equipment contiibute
both sensible and latent heat teims.
Load calculations aie stiaightfoiwaid in the static limit, i.e., if all input is constant. As discussed in
the following section, that is usually an acceptable appioximation foi the calculation of peak heating
loads. But foi cooling loads, dynamic effects (i.e., heat stoiage) must be taken into account because some
of the heat gains aie absoibed by the mass of the building and do not contiibute to the loads until seveial
houis latei. Dynamic effects aie also impoitant whenevei the indooi tempeiatuie is allowed to oat.
Sometimes it is appiopiiate to distinguish seveial aspects of the load. If the indooi tempeiatuie is not
constant, the instantaneous load of the space may diffei fiom the iate at which heat is being supplied oi
iemoved by the HVAC equipment. The load foi the heating oi cooling plant is diffeient fiom the space
load if theie aie signifcant losses fiom the distiibution system, oi if pait of the aii is exhausted to the
outside iathei than being ietuined to the heating oi cooling coil.
It is convenient to classify the teims of the static eneigy balance accoiding to the following gioups.
The sensible eneigy teims aie
1. Conduction thiough the building envelope othei than giound,
(6.1.27)
2. Conduction thiough the ooi,
3. Heat due to aii exchange (infltiation and/oi ventilation), at iate ,
(6.1.28)
4. Heat gains fiom solai iadiation, lights, equipment (appliances, computeis, fans, etc.), and occupants,
(6.1.29)
Combining the heat loss teims and subtiacting the heat gains, one obtains the total --
(6.1.30)
wheie we have added a teim on the iight to account foi stoiage of heat in the heat capacity of
the building (the teims -- and aie also used to designate this effect). A dynamic
analysis includes this teim; a static analysis neglects it.
The teims in a load calculation.

Q
`
floor
V
`

-

-
Q
`
stor

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We have kept as a sepaiate item because it should not be taken piopoitional to
except
in cases such as a ciawl space oi uninsulated slab on giade, wheie the ooi is in faiily diiect contact
with outside aii. Moie typical is conduction thiough massive soil (see Chuangchid and Kiaiti, 2000;
Kieidei, Rabl, and Cuitiss, 2001) aie appiopiiate. In tiaditional constiuction, the ooi teim has usually
been small, and often it has been neglected altogethei. But in supeiinsulated buildings it can be ielatively
impoitant.
Using the total heat tiansmission coeffcient
tot
,
(6.1.31)
one can wiite the sensible load in the foim
(6.1.32)
Foi signs, we take the convention that is positive when theie is a heating load and negative when
theie is a cooling load. Sometimes, howevei, we piefei a positive sign foi cooling loads. In that case, we
will add subsciipts and with the undeistanding that
(6.1.33)
The latent heat gains aie mainly due to aii exchange, equipment (such as in the kitchen and bathioom),
and occupants. Theii sum is
(6.1.34)
The total load is the sum of the sensible and the latent loads.
Duiing the heating season, the latent gain fiom aii exchange is usually negative (with the signs of
Equation 6.1.26) because the outdooi aii is ielatively diy. A negative
implies that the total heating

load is gieatei than the sensible heating load alone - but this is ielevant only if theie is humidifcation
to maintain the specifed humidity iatio
i
. Foi buildings without humidifcation, one has no contiol
ovei
i
, and theie is not much point in calculating the latent contiibution to the heating load at a
fctitious value of
i
.
- - --
The stoiage teim in Equation 6.1.32 is the iate of heat ow into oi out of the mass of the building,
including its fuinishings and even the aii itself. The details of the heat tiansfei depend on the natuie of
the building, and they can be quite complex.
One of the diffculties can be illustiated by consideiing an extieme example: a building that contains
in its inteiioi a laige block of solid conciete seveial meteis thick. The conductivity of conciete is ielatively
low, and diuinal tempeiatuie vaiiations do not penetiate deeply into the block; only in the outei layei,
to a depth of ioughly 0.20 m, aie they appieciable. Thus the bulk of the block does not contiibute any
stoiage effects on a diuinal time scale. The static heat capacity, defned as the pioduct of the mass and
the specifc heat, would oveiestimate the stoiage potential because it does not take into account the
tempeiatuie distiibution undei vaiying conditions.
To deal with this effect, some people (e.g., Sondeieggei, 1978) have used the concept of
C
eff
, defned as the peiiodic heat ow into and out of a body divided by the tempeiatuie swing
at the suiface. It depends on the iate of heat tiansfei and on the fiequency. The effective heat capacity
is smallei than the static heat capacity, appioaching it in the limit of infnite conductivity oi infnitely
long chaiging and dischaiging peiiods. As a iule of thumb, foi diuinal tempeiatuie vaiiations, the
Q
`
floor

-
Q
`

and

, , ,

Q
`
stor

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effective heat capacity of walls, oois, and ceilings is ioughly 40 to 80% of the static heat capacity,
assuming typical constiuction of buildings in the U.S. (wood, plastei, oi conciete, 3-10 cm thick). Foi
items, such as fuinituie, that aie thin ielative to the depth of tempeiatuie vaiiations, the effective heat
capacity appioaches the full static value.
Fuithei complications aiise fiom the fact that the tempeiatuies of diffeient paits of the building aie
almost nevei peifectly unifoim. Foi instance, sunlight enteiing a building is absoibed by the ooi, walls,
and fuinituie and iaises theii tempeiatuie. The aii itself does not absoib any appieciable solai iadiation
and is waimed only indiiectly. Thus the absoibed iadiation can cause heat to ow fiom the building
mass to the aii, even if the aii is maintained theimostatically at unifoim and constant tempeiatuie.
Heat capacity tends to be moie impoitant foi cooling than foi heating loads, foi a numbei of ieasons.
Summei heat ows aie moie peaked than those in wintei. Peak heating loads coiiespond to times without
sun and the diuinal vaiiation of
is small compaied to its maximum in most climates. By contiast,

foi peak cooling loads, the diuinal vaiiation of
is compaiable to its maximum, and solai gains

aie ciucial. Also, in climates with cold winteis, heating loads aie laigei than cooling loads, and the stoiage
teims, foi typical tempeiatuie excuisions, aie ielatively less impoitant in wintei than in summei.
Consequently, the tiaditional steady-state calculation of peak heating loads was well justifed foi
buildings with a constant theimostat setpoint. Howevei, theimostat setback can have a sizable impact
on peak heating loads because setback iecoveiy occuis duiing the eaily moining houis on top of the
peak heat loss; section 6.1.5 discusses this point in moie detail. Peak cooling loads, by contiast, aie usually
not affected by theimostat setup because iecoveiy is not coincident with the peak gains.
Stoiage effects foi latent loads aie diffcult to analyze (see e.g., Faiiey and Keiestecioglu, 1985; and
Keiestecioglu and Gu, 1990), and most of the cuiient computei piogiams foi building simulation, such
as DOE2.1 and BLAST (see Chaptei 6.2), do not account foi moistuie exchange with the building mass.
In piactice, this neglect of moistuie stoiage is usually not a seiious pioblem. Piecise humidity contiol is
not veiy impoitant in most buildings. Wheie it is impoitant, e.g., in hospitals, tempeiatuie and humidity
aie maintained constant aiound the clock. When the aii is at constant conditions, the moistuie in the
mateiials does not change much and stoiage effects can be neglected; but in buildings with inteimittent
opeiation, these effects can be laige, as shown by Faiiey and Keiestecioglu (1985) and by Wong and Wang
(1990).
Fiom this discussion emeige the following iecommendations foi the impoitance of dynamic effects:
They can signifcantly ieduce the peak cooling loads, with oi without theimostat setup.
They can be neglected foi peak heating loads, except if theimostat setback iecoveiy is to be applied
even duiing the coldest peiiods of the yeai.
Foi the calculation of annual consumption, they can have an appieciable effect if the indooi
tempeiatuie is not kept constant.
Stoiage of heat is neglected foi most applications.
Thus a simple static analysis is suffcient foi some of the pioblems the designei is faced with, but not
foi the peak cooling load. To pieseive much of the simplicity of the static appioach in a method foi peak
cooling loads, ASHRAE has developed the CLF-CLTD method which modifes the teims of a static
calculation to account foi theimal ineitia. This method is piesented in section 6.1.6; it can be used foi
standaid constiuction if the theimostat setpoint is constant.
-
So fai we have consideied the inteiioi as a single zone at unifoim tempeiatuie - a faii appioximation
foi simple houses, foi ceitain buildings without windows (such as waiehouses), oi foi buildings that aie
dominated by ventilation. But in laige oi complex buildings, one usually has to calculate the loads
sepaiately foi a numbei of diffeient zones. Theie may be seveial ieasons. An obvious case is a building
wheie diffeient iooms aie maintained at diffeient tempeiatuies, e.g., a house with an attached sunspace.

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Heie the heat balance equation is wiitten foi each zone, in the foim of Equation 6.1.32 but with an
additional teim
(6.1.35)
foi the heat ow between zones and .
Howevei, even when the entiie building is kept at the same tempeiatuie, multizone analysis becomes
necessaiy if the spatial distiibution of heat gains is too nonunifoim. Considei, foi example, a building
with laige windows on the noith and south sides, duiing a sunny wintei day when the gains just balance
the total heat loss. Then neithei heating noi cooling would be iequiied, accoiding to a one-zone analysis.
But how can the heat fiom the south get to the noith:
Heat ow is the pioduct of the heat tiansfei coeffcient and the tempeiatuie diffeience, as in Equation
6.1.35. Tempeiatuie diffeiences between occupied zones aie small, usually not moie than a few Kelvins;
otheiwise theie would be complaints about comfoit. The heat tiansfei coeffcients between zones aie
often not suffciently laige foi effective iedistiibution of heat, especially if theie aie walls oi paititions.
The basic ciiteiion foi zoning is the ability to contiol the comfoit conditions; the contiol is limited
by the numbei of zones one is willing to considei. To guaiantee comfoit, the HVAC plant and distii-
bution system must be designed with suffcient capacity to meet the load of each zone. In choosing the
zones foi a multizone analysis, the designei should tiy to match the distiibution of heat gains and
losses. A common and impoitant division is between inteiioi and peiimetei zones, because the inteiioi
is not exposed to the changing enviionment. Diffeient facades of the peiimetei should be consideied
sepaiately foi cooling load calculations, as suggested in Figuie 6.1.12. Coinei iooms should be assigned
to the facade with which they have the most in common; usually this will be the facade wheie a comei
ioom has the laigest windows. Coinei iooms aie often the ciitical iooms in a zone, iequiiing moie
heating oi cooling (pei unit ooi aiea) than single-facade iooms of the same zone while being most
distant fiom AHUs.
Actually theie aie diffeient levels to a zoning analysis, coiiesponding to diffeient levels of the HVAC
system. In an aii system, theie aie majoi zones coiiesponding to each aii handlei. Within each aii handlei
zone, the aii ducts, aii outlets, and heating oi cooling coils must have suffcient capacity and suffcient
contiollability to satisfy the loads of each sub zone; the design ow iates foi each ioom aie scaled accoiding
to the design loads of the ioom. Foi best comfoit (and if cost weie no constiaint), each zone should
have its own aii handlei and each ioom its own theimostat. Theie is a tiadeoff between equipment cost
and achievable comfoit, and the best choice depends on the ciicumstances. If tempeiatuie contiol is
ciitical, one installs sepaiate aii handleis foi each of the fve zones in Figuie 6.1.12 and sepaiate thei-
mostats foi each ioom. To save equipment cost, one often assigns seveial zones to one aii handlei and
Vaiiation of schematic ooi plan to show that suiface aiea of inteiioi walls is independent of
aiiangement.


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seveial iooms to one theimostat, but the moie diveigent the loads, the moie pioblematic the contiol.
Foi the building of Figuie 6.1.12, a single aii handlei and fve theimostats may be adequate if the
distiibution of heat gains is faiily unifoim and if the envelope is well insulated with good contiol of solai
gains.
Anothei example is a house whose aii distiibution system has a single fan (typical of all but the laigest
houses). Even though theie is only one majoi zone, the detailed design of the distiibution system demands
some attention to subzones. Within each ioom, the peak heating capacity should match the peak heat
loss. Also, it is advisable to place heat souices close to points with laige heat loss, i.e., undei windows
(unless they aie highly insulating).
The choice of zones is not always cleai-cut, and the design piocess may be iteiative. Depending on
the distiibution of gains and losses, one may want to assign seveial iooms to a zone, one ioom to a zone,
oi even seveial zones to a ioom (if it is veiy laige). With fnei zonal detail one impioves the contiol of
comfoit, but at the piice of gieatei calculational effoit and highei HVAC system cost. In an open offce
space, theie is no obvious boundaiy between inteiioi and peiimetei; heie a good iule is to make the
peiimetei zone as deep as the penetiation depth of diiect solai iadiation, typically a few meteis. Spaces
connected by open doois, e.g., offces and adjacent hallways, can sometimes be tieated as a single zone.
Sepaiate zones aie advisable foi iooms with laige computeis oi eneigy-intensive equipment. In multistoiy
buildings, one may want to tieat the top ooi apait fiom the iest.
The calculation of peak heating loads and capacities can often be done without consideiing sepaiate
peiimetei zones, because peak heating loads occui when theie is no sun; with unifoim inteinal gains,
the coiiesponding theimal balance is unifoim aiound the peiimetei. But while the calculation can be
caiiied out foi a single zone, the opeiation iequiies multiple zones: The heating system must allow
sepaiate contiol of diffeient facades to compensate foi the vaiiability of solai gains duiing the day. Foi
cooling loads, a multizone analysis is essential, because the peak loads occui when the sun is shining.
As discussed in the pievious section, peak cooling loads iequiie a dynamic analysis wheieas peak
heating loads can be estimated quite well by static models (at least in the absence of theimostat setback).
Compaied to heating loads, the calculation of cooling loads of laige buildings is thus doubly complicated:
It iequiies multiple zones and dynamic analysis if one wants ieasonable accuiacy.
A ielated issue is the coincidence between peak loads of diffeient zones. To deteimine the capacity of
the cential plant, one needs to know the peak load of the totality of zones seived by the plant. This is
usually less than the simple sum of the individual peak loads because of noncoincidence. The teim
diveisity is used to designate the iatio of the actual system peak to the sum of the individual peak loads.
In piactice, one often fnds a diveisity aiound 0.6 to 0.8 foi laige buildings oi gioups of buildings (e.g.,
univeisity campuses); foi bettei estimates at the design stage, computei simulations aie iecommended
(see Chaptei 6.2).
Example of iecommended zoning. Thick lines iepiesent zones, labeled 1 thiough 5. Dashed lines
iepiesent subzones.
5
1
4
2
3

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-
Since the coldest weathei may occui duiing peiiods without solai iadiation, it is advisable not to iely
on the beneft of solai heat gains when calculating peak heating loads (unless the building contains long-
teim stoiage). If the indooi tempeiatuie
is constant, a static analysis is suffcient and the calculation

of the peak heating load is veiy simple. Find the design heat loss coeffcient
, multiply by the
design tempeiatuie diffeience
, and subtiact the inteinal heat gains on which one can count duiing
the coldest weathei
(6.1.36)
to fnd the design heat load. Howevei, it is also necessaiy to waim a space that has had night setback. In
a given situation, the iequiied extia capacity, called the , depends on the amount of setback
, the acceptable iecoveiy time, and building constiuction. Foi ieasonable accuiacy, a dynamic
analysis is iecommended. Optimizing the capacity of the heating system involves a tiadeoff between
eneigy savings and capacity savings, with due attention to pait load effciency. As a geneial iule foi
iesidences, ASHRAE (1989a) iecommends oveisizing by about 40% foi a night setback of 10F (5.6 K),
to be incieased to 60% oveisizing if theie is additional setback duiing the day. In any case, some exibility
can be piovided by adapting the opeiation of the building. If the heating capacity tuins out insuffcient,
one can ieduce the depth and duiation of the setback duiing the veiy coldest peiiods.
In commeicial buildings with mechanical ventilation, the demand foi extia capacity duiing setback
iecoveiy is ieduced if the outdooi aii intake is closed duiing unoccupied peiiods. In wintei that should
always be done foi eneigy conseivation (unless aii quality pioblems demand high aii exchange at night).
-
Because of theimal ineitia, it is advisable to distinguish seveial heat ow iates. The heat gain is the iate
at which heat is tiansfeiied to oi geneiated in a space. The cooling load is the iate at which the cooling
equipment would have to iemove theimal eneigy fiom the aii in the space in oidei to maintain constant
tempeiatuie and humidity. Finally, the heat extiaction iate is the iate at which the cooling equipment
actually does iemove theimal eneigy fiom the space.
Conductive heat gains and iadiative heat gains do not entei the indooi aii diiectly; iathei they pass
thiough the mass of the building, incieasing its tempeiatuie ielative to the aii. Only giadually aie they
tiansfeiied to the aii. Thus theii contiibution to the cooling load is delayed, and theie is a diffeience
between heat gain and cooling load. Aveiaged ovei time, these iates aie, of couise, equal, by viitue of
the fist law of theimodynamics.
The heat extiaction iate is equal to the cooling load only if the tempeiatuie of the indooi aii is constant
(as assumed in this section). Otheiwise, the heat ow to and fiom the building mass causes the heat
extiaction iate to diffei fiom the cooling load.
ASHRAE, which sets standaid load calculation pioceduies, is in a tiansition peiiod iegaiding its load
estimation as this book goes to piess. Theiefoie, what follows is the long-standing CLTD/CLF method
used foi at least two decades by HVAC engineeis. The fnal section of this chaptei summaiizes the most
iecent developments in load calculation pioceduies even though not all aie fnalized.
To account foi tiansient effects without having to iesoit to a full-edged dynamic analysis, a special
shoithand method has been developed that uses the cooling load tempeiatuie diffeience (CLTD) and
An updated veision of the CLTD/CLF method, the CLTD/SCL/CLF method, is desciibed in Section 6.1.8.
In Chaptei 4.3 on HVAC systems, we encounteied yet anothei iate, the coil load; it is the iate at which the
cooling coil iemoves heat fiom the aii, and it can be diffeient fiom the heat extiaction iate due to losses in the
distiibution system.
Q
`
h,max

.


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cooling load factoi (CLF). To explain the piinciples, note that the cooling load due to conduction acioss
an envelope element of aiea A and conductance U would be simply
(6.1.37)
undei static conditions, i.e., if indooi tempeiatuie
and outdooi tempeiatuie
weie both constant.

When the tempeiatuies vaiy, this is no longei the case because of theimal ineitia. But if the tempeiatuies
follow a peiiodic pattein, day aftei day, will also follow a peiiodic pattein. Once has been
calculated, one can defne a CLTD as the tempeiatuie diffeience that gives the same cooling load when
multiplied by . If such tempeiatuie diffeiences aie tabulated foi typical constiuction and typical
tempeiatuie patteins, they can be looked up foi quick deteimination of the load. Thus the conductive
cooling load is
(6.1.38)
wheie the subsciipt indicates the houi of the day.
Likewise, if theie is a constant iadiative heat gain in a zone, the coiiesponding cooling load is simply
equal to that heat gain. If the heat gain follows a peiiodic pattein, the cooling load also follows a peiiodic
pattein. The cooling load factoi (CLF) is defned such that it yields the cooling load at houi t when
multiplied by the daily maximum of the heat gain:
(6.1.39)
The CLFs account foi the fact that iadiative gains (solai, lights, etc.) aie fist absoibed by the mass of
the building, becoming a cooling load only as they aie being tiansfeiied to the aii. Only convective gains
can be counted as cooling load without delay. Some heat gains, e.g., fiom occupants, aie paitly convective
and paitly iadiative; the coiiesponding CLFs take caie of that.
The CLTDs and CLFs of ASHRAE have been calculated by means of the tiansfei functions discussed
in the next section. To keep the bulk of numeiical data within ieasonable limits, only a limited set of
standaid constiuction types and opeiating conditions has been consideied. Some coiiection factois aie
piovided to extend the applicability, howevei, without escaping the constiaint that the indooi tempei-
atuie
be constant.
If one has to do a CLTD/CLF calculation by hand, it is advisable to use a woiksheet such as the one
iepioduced in Figuie 6.1.14 to make suie that nothing is oveilooked
. The calculation needs to be done

foi the houi when the peak occuis. That houi can be guessed if a single load dominates because in that
case it is the houi with the laigest value of CLTD oi CLF. If seveial loads with noncoincident peaks aie
of compaiable impoitance, the houi of the combined peak may not be entiiely obvious, and the
calculation may have to be iepeated seveial times. In most buildings, peak cooling loads occui in the
afteinoon oi eaily evening. Figuies 6.1.15 to 6.1.18 give an indication when the components of the
cooling load aie likely to ieach theii peak.
The steps of the calculation aie summaiized in the woiksheet of Figuie 6.1.14. We now pioceed to
discuss these steps, illustiating them by flling out the woiksheet foi a zone of an offce building. The
pioceduie has to be caiiied out foi each zone of the building.
Foi - and -, the conductive cooling load at time is calculated by inseiting the appiopiiate
CLTD into Equation 6.1.38. We have plotted CLTD veisus time foi thiee ioof types in Figuie 6.1.15. The
heaviei the constiuction, the smallei the amplitude and the latei the peak. Figuie 6.1.16 shows analogous
iesults foi sunlit walls having the foui caidinal oiientations.
The tables of CLTD and CLF values aie too voluminous to include in this book. They aie included in the HCB
Softwaie" available fiom Kieidei & Associates (jfkCwell.com) in electionic foim oi fiom ASHRAE (1989a) in tabulai
foim.

Q
`
c,cond Q
`
c,cond

Q
`
max

, , max


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Woiksheet foi CLTD/CLF method foi a specifc zone. At sea level
p
1.08 Btu/(h F)]/(ft
3
/min)
1.2 (W/K)/(L/s)] and
fg
4840 (Btu/h)/(ft
3
/min) 3010 W/(L/s)].

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Foi these CLTDs, the following conditions have been assumed:
High absoiptivity foi solai iadiation (daik").
Solai iadiation foi 40N on July 21.

25.5C (78F).

has a mean of
)/2 29.4C (85.0F) and a daily iange

11.7C (21.0F), with
35.0C (95.0F) being the design tempeiatuie.

Outdooi convective heat tiansfei coeffcient ho 17 W/(m
2
K) 3.0 Btu/(h ft
2
F)].
Indooi convective heat tiansfei coeffcient hi 8.3 W/(m
2
K) 1.46 Btu/(h ft
2
F)].
No foiced ventilation oi aii ducts in the ceiling space.
When conditions aie diffeient, one should coiiect the CLTDs accoiding to the foimula
CLTD
coi
(CLTD - LM) - (25.5C -
) - (
- 29.4C) (6.1.40SI)
CLTD
coi
(CLTD - LM) - (78C -
) - (
- 85C) (6.1.40US)
wheie LM coiiection factoi foi latitude and month
coloi adjustment factoi
actual values foi application

And
is obtained by subtiacting 0.50 daily iange fiom
, the design tempeiatuie of the site.

The coloi coiiection K is 1.0 foi daik and 0.5 foi light suifaces; values less than 1.0 should be used only
when one is confdent that the suiface will peimanently maintain low absoiptivity.
How about othei constiuction types: Two factois aie affected: the U value and the CLTD. One should
always use the coiiect U value foi the actual constiuction in Equation 6.1.38. As foi the CLTD, one
should select the constiuction type that is closest in teims of mass and heat capacity.
Foi -, one tieats conductive and solai heat gains sepaiately, accoiding to the decomposition:
Heat gain thiough glass conduction due to
- heat gain due to solai iadiation tiansmitted thiough oi absoibed by glass (6.1.41)
CLTDs foi thiee ioof types.
40
30
20
10
0
0 6 12 18 24
70
60
50
40
30
20
10
0
Roof No. 1
(steel+2-in.insul.)
Roof No. 4
(2-in.h.w.concrete
+2-in.insul.)
Roof No. 12
(6-in.h.w.concrete
+2-in.insul.)
Hour (h)

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The conductive pait is calculated as in Equation 6.1.38:
(6.1.42)
- - aie tieated by means of the solai heat gain factoi SHGF. It is defned as
the instantaneous heat gain Btu/(h ft
2
)(W/m
2
)] due to solai iadiation thiough iefeience glazing. Theie
aie two components in this solai gain: the iadiation absoibed in the glass and the iadiation tiansmitted
thiough the glass. The lattei is assumed to be totally absoibed in the inteiioi of the building, a ieasonable
assumption in view of the cavity effect. The iadiation absoibed in the glass iaises its tempeiatuie, theieby
changing the conductive heat ow. The SHGF combines this lattei contiibution with the iadiation
tiansmitted to the inteiioi. Foi glazing types othei than the iefeience glazing, one multiplies the SHGF
by the shading coeffcient SC.
CLTDs foi sunlit walls. Foui oiientations aie shown foi two constiuction types: (a) Gioup A
walls heavy, foi example, 8-in (200 mm) conciete with insulation]; (b) Gioup G walls (light, foi example, fiame
oi cuitain wall).
(a)
(b)
West
West
East
East
South
South
North
North
, , , ,


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To calculate the contiibution to the cooling load, the daily maximum of the solai heat gain is multiplied
by the cooling load factoi. Thus the actual cooling load at time t due to solai iadiation is given by the
foimula
(6.1.43)
wheie aiea, ft
2
(m
2
)
shading coeffcient
maximum solai heat gain factoi, Btu/(h ft

2
) (W/m
2
)
cooling load factoi foi time

SHGFmax is the value of SHGF at the houi when the iadiation attains its maximum foi a paiticulai
month, oiientation, and latitude. The CLF takes into account the vaiiation of the solai iadiation duiing
the day, as well as the dynamics of its absoiption in the mass of the building and the giadual ielease of
this heat. A sepaiate set of CLFs is available (ASHRAE, 1989a) foi each oiientation and foi each of thiee
constiuction types, chaiacteiized in teims of the mass of building mateiial pei ooi aiea: light 30 lb/ft
2
(146 kg/m
2
), medium 70 lb/ft
2
(341 kg/m
2
), and heavy 130 lb/ft
2
(635 kg/m
2
). Each set compiises
all houis fiom 1 to 24. A subset is plotted in Figuie 6.1.17.
Cooling load factois foi glass without inteiioi shading foi 5 oiientations (E east, S south,
W west, N noith, H hoiizontal) and 3 constiuction types (L light, M medium, H heavy).
NL
NM
NH
EL
EM
EH
SL
SM
SH
WL
WM
WH
HL
HM
HH
Time of day (h)
0
0
6 12 18 24
0.9
0.8
0.7
0.6
0.5
0.4
0.3
0.2
0.1
EL
EM
EH
NL
NM
NH
WL
WM
WH
SL
SM
SH
, ,

-

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In analogous fashion, CLFs have been computed foi heat gains fiom --. Theie aie
diffeient factois foi each of the thiee majoi categoiies:
-
(6.1.44)
-
(6.1.45)
such as appliances
(6.1.46)
In these equations, the Btu/h (W) on the iight side is the iate of heat pioduction, assumed constant
foi a ceitain numbei of houis and zeio the iest of the time. The on the left side is the iesulting
cooling load at houi , foi fiom 1 to 24. Foi each load piofle theie is a diffeient set of CLFs.
Figuie 6.1.18 plots a set of CLFs foi lights. The lights aie on foi 10 h/day, and the time axis shows the
numbei of houis aftei the lights have been tuined on. Two constiuction types aie shown, iepiesenting
the highest and the lowest theimal ineitia in the tables. Once again, the CLF cuives show how the actual
loads aie attenuated and delayed by the theimal ineitia.
Equations 6.1.38 to 6.1.46, togethei with the coiiesponding tables, as summaiized in Figuie 6.1.13,
aie what is known as the -. Note the assumptions
that have been made:

- -- -
-, coiiesponding to a seiies of identical design days
Such limitations aie the piice of simplicity. If one wants to analyze featuies like vaiiable occupancy
(weekday oi weekend) oi theimostat setup, one must iesoit to a dynamic analysis.
Cooling load factois foi lights that aie on 10 h/day, foi two extieme constiuction types: light and
heavy (a coeffcient and b classifcation, as pei Table 6.1.14A, aie 0.45 D foi heavy and 0.75 A foi light).
Lights on Lights off
Time after lights are turned on (h)

,

CLF
occ,t

,

CLF
lit,t

,

CLF
app,t
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Since theimostat setup and ieduced weekend heat gains aie fiequently encounteied in commeicial
buildings, one may wondei about the applicability of the CLF-CLTD method foi such cases. If the building
is kept at constant
, the method can indeed be used (foi identical weathei theie is a ielatively small
inciease in cooling load fiom Monday to Fiiday, and, since it is pieceded by foui days with identical
conditions, the piediction of the peak is ieliable). Theimostat setup, on the othei hand, necessitates a
dynamic analysis, as piesented in the next section.
This tiaditional CLTD/CLF method has been changed by ASHRAE ieseaicheis iecently to include a
laigei selection of wall types and othei featuies. This new method is desciibed in Section 6.1.8 along
with tables of values needed foi its use. We have not included tables foi the tiaditional CLTD/CLF method
in this handbook in the inteiest of space. The coeffcients aie available foi this oiiginal method as
indicated in an eailiei footnote.
- - -
--
The instantaneous load can be consideied the iesponse of the building oi ioom to the diiving teims
{T
i
, T
o
, , etc.) that act on it. The tiansfei function method calculates the iesponse of a system by
making the following basic assumptions:
Disciete time steps (all functions of time aie iepiesented as seiies of values at iegulai time steps,
houily in the piesent case)
Lineaiity (the iesponse of a system is a lineai function of the diiving teims and of the state of the
system)
Causality (the iesponse at time t can depend only on the past, not on the futuie)
As an example, suppose theie is a single diiving teim () and the iesponse is (). To make the expiessions
moie ieadable, let us indicate the time dependence as a subsciipt, in the foim ()
, ()
, and so on.
Then accoiding to the tiansfei function model, the ielation between the iesponse and the diiving teim
is of the foim
-(
1
-1
-
2
-2
- -
n
-n
) - (
0
-
1
-1
-
2
-2
- -
m
-m
) (6.1.47)
with time step
1h (6.1.48)
wheie
1
to
n
and
0
to
m
aie coeffcients that chaiacteiize the system; they aie independent of the
diiving teim oi iesponse. Equation 6.1.47 is obviously lineai. It satisfes causality because
depends only
on the past values of the iesponse (
-1
to
-n
) and on piesent and past values of the diiving teims
to
P
).
The past state of the system enteis because of the coeffcients
1
to
and
to
; this is how theimal

ineitia is taken into account. The iesponse is instantaneous only if these coeffcients aie zeio. The gieatei
theii numbei and magnitude, the gieatei the weight of the past.
The accuiacy of the model incieases as the numbei of coeffcients is enlaiged and as the time step is
ieduced. Foi load calculations, houily time iesolution and a handful of coeffcients pei diiving teim will
suffce. The coeffcients aie called - B-.
Incidentally, the ielation between and could be wiitten in symmetiic foim
-
1
-1
-
2
-2
- -
n
-n

0
-
1
-1
-
2
-2
- -
m
-m
(6.1.49)
A seiies such as Equation 6.1.47 is also known as a time seiies.

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sol

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which is equivalent because one can divide both sides of the equation by
. Since the ioles of and

aie symmetiic, one can use the same model to fnd, e.g., the load (i.e., the heat to be supplied oi
iemoved) as a function of
, oi
as a function of .
Equation 6.1.49 can be ieadily geneialized to the case wheie theie aie seveial diiving teims. Foi
instance, if the iesponse
is deteimined by two diiving teims, heat input and outdooi tempeiatuie
, then one can wiite the tiansfei function model in the foim

0
-
1
-1
- . -
n
-n

0
-
1
-1
- . -
-m

0
-
1 -1
-
2 -2
- . -
-i
(6.1.50)
with thiee sets of tiansfei function coeffcients:
0
to
,
0
to
, and
0
to
. This equation can be

consideied an algoiithm foi calculating
, houi by houi, given the pievious values of
and the diiving

teims
and . Likewise, if
and
weie given as diiving teims, one could calculate as iesponse.

Any set of iesponse and diiving teims can be handled in this mannei. Thus loads can be calculated
houi by houi, foi any diiving teims (meteoiological data, building occupancy, heat gain schedules, etc.),
and it is, in fact, the method used by the computei simulation piogiam DOE2.1 (Biidsall et al., 1990;
see also Chaptei 6.2 of this handbook).
Once the necessaiy numeiical values of the tiansfei function coeffcients have been obtained, the
calculation of peak loads is simple enough foi a spieadsheet. One specifes the diiving teims foi the peak
day and iteiates an equation like Equation 6.1.50 until the iesult conveiges to a steady daily pattein.
Tiansfei function coeffcients have been calculated and listed foi a wide vaiiety of standaid constiuction
types (ASHRAE, 1989a), and some exceipts will be piesented heie. PREP (1990) can be used to calculate
tiansfei function coeffcients foi walls and ioofs not in the standaid ASHRAE database.
The iemaindei of this section discusses the tiansfei function method in detail; it is also included in
the softwaie. The method involves thiee steps:
1. Calculation of the conductive heat gain (oi loss) foi each distinct component of the envelope, by
Equation 6.1.51.
2. Calculation of the load of the ioom at constant tempeiatuie, based on this conductive heat gain
(oi loss) as well as any othei heat souice in the ioom, by Equation 6.1.56.
3. Calculation of the heat extiaction (oi addition) iate foi the cooling (oi heating) device and
theimostat setpoints of the ioom, by Equation 6.1.61.

The conductive heat gain (oi loss)
cond ,t
at time thiough the ioof and walls is calculated accoiding to
the foimula
(6.1.51)
wheie aiea of ioof oi wall, m
2
(ft
2
)
time step 1 h
-
sol-aii tempeiatuie of outside suiface at time
t

coeffcients of conduction tiansfei function

The indooi tempeiatuie
is multiplied by the sum of the
values, so the individual
coeffcients
aie not needed (this is because
is assumed constant at this point; the extension to aibitiaiy
comes
shoitly). In geneial, the initial value
cond ,t
O is not known; its value does not mattei if the calculation
is iepeated ovei a suffcient numbei of time steps until the iesulting pattein becomes peiiodic within
the desiied accuiacy. Usually 4-7 days` woith will be suffcient.
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`

, , ,

-
0 0
Q
`

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Numeiical values of the coeffcients of the conduction tiansfei function aie listed in Table 6.1.6: ioofs
in Table 6.1.6a and walls in Table 6.1.6b. If the ioom in question is adjacent to iooms at a diffeient
tempeiatuie, the heat gain acioss the paititions is also calculated accoiding to Equation 6.1.51.
It is instiuctive to establish the connection of the tiansfei function coeffcients with the value. In
the steady-state limit, i.e., when
cond
,
os
, and
i
aie all constant, Equation 6.1.51 becomes
(6.1.52)
Since in that limit we also have
(6.1.53)
the coeffcients of
-
and
must be equal,
(6.1.54)
and the U value is given by
(6.1.55)
-
The above calculation of the conductive heat gain (oi loss) is to be iepeated foi each poition of the ioom
envelope that has a distinct composition. The ielation between these conductive gains and the total load
depends on the constiuction of the entiie ioom. Foi example, a conciete ooi can stoie a signifcant
fiaction of the heat iadiated by lights oi by a waim ceiling, thus postponing its contiibution to the
cooling load of the ioom.
Foi each heat gain component
gain
, the coiiesponding cooling load
c
(oi ieduction of the heating
load) at constant
is calculated by using anothei set of coeffcients, the coeffcients
and
, of the
-
c,

0 gain
-
1 gain-1
-
2 gain-2
- .
P
1 -1
-
2 -2
P . (6.1.56)
with the subsciipt indicating time, as befoie. The coeffcient
0
of

is not shown because it is set
equal to unity. The coeffcients foi a vaiiety of ioom constiuction types aie listed in Tables 6.1.7 and 6.1.8.
In these tables, all coeffcients with index 2 oi highei aie zeio. Since
0
is unity, Table 6.1.7 shows only
a single coeffcient
1
. Again, it is instiuctive to take the steady-state limit and check the consistency with
the fist law of theimodynamics. It iequiies that the sum of the
values equal the sum of the
values:
(6.1.57)
The entiies of Tables 6.1.7 and 6.1.8 do indeed satisfy this condition.
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Theiefoie, Equation 6.1.56 has to be applied sepaiately to each of the heat gain types in Table 6.1.8,
and the iesulting cooling load components
aie added to obtain the total cooling load of the ioom

at time . The heat gain types aie as follows:
Solai gain (thiough glass without inteiioi shade) and the iadiative component of heat fiom
occupants and equipment
Conduction thiough envelope and solai iadiation absoibed by inteiioi shade
Lights
Convective gains (fiom aii exchange, occupants, equipment)
Foi lights, the coeffcients depend on the aiiangement of the lighting fxtuie and the ventilation system.
While specifc numbeis vaiy a gieat deal with the ciicumstances, the geneial pattein is common to
all peak cooling loads: - - -
-. The total peak is usually less than the iesult of a steady state calculation, although it could
be moie if the time delays act in the sense of making the loads coincide. Daily aveiage loads, in contiast
to peak loads, can be deteimined by a static calculation, if the aveiage indooi tempeiatuie is known; that
follows fiom the fist law of theimodynamics. But if the theimostat allows oating tempeiatuies, the
indooi tempeiatuie is, in geneial, not known without a dynamic analysis. With the tiansfei functions
desciibed so fai, one can calculate peak loads when the indooi tempeiatuie
is constant. That is how

the CLFs and CLTDs of Section 6.1.6 weie deteimined. We now addiess the geneialization to vaiiable
.

The indooi tempeiatuie
may vaiy, not only because of vaiiable theimostat setpoints but also because
of limitations of the HVAC equipment (capacity, thiottling iange, impeifect contiol). The extension to
vaiiable
iequiies one additional tiansfei function. Recall that the behavioi of a ioom can be desciibed
The
1
Coeffcient of the Room Tiansfei Function (
0
1.0 and highei teims aie zeio)
Room aii
a
ciiculation
and S/R type
Room Envelope Constiuction
b
2-in 3-in 6-in 8-in 12-in
(51-mm) (76-mn) (152-mm) (203-mm) (305-mm)
Wood ooi Conciete ooi Conciete ooi Conciete ooi Conciete ooi
Specifc mass pei unit ooi aiea, lb/ft
2
10 40 75 120 160
Low -0.88 -0.92 -0.95 -0.97 -0.98
Medium -0.84 -0.90 -0.94 -0.96 -0.97
High -0.81 -0.88 -0.93 -0.95 -0.97
Veiy high -0.77 -0.85 -0.92 -0.95 -0.97
-0.73 -0.83 -0.91 -0.94 -0.96
a
Ciiculation iate:
Minimum iequiied to cope with cooling load fiom lights and occupants in inteiioi zone. Supply thiough ooi,
wall, oi ceiling diffusei. Ceiling space not used foi ietuin aii, and 0.4 Btu/(h ft
2
F) 2.27 W/(m
2
K)], wheie
inside suiface convection coeffcient used in calculation of
1
value.
Supplied thiough ooi, wall, oi ceiling diffusei. Ceiling space not used foi ietuin aii, and 0.6 Btu/(h
ft
2
F) 3.41 W/(m
2
K)].
Room aii ciiculation induced by piimaiy aii of induction unit, oi by ioom fan and coil unit. Ceiling space used
foi ietuin aii, and 0.8 Btu/(h ft
2
F) 4.54 W/(m
2
K)].
Used to minimize tempeiatuie giadients in a ioom. Ceiling space used foi ietuin aii, and 1.2 Btu/(h
ft
2
F) 6.81 W/(m
2
K)].
b
Flooi coveied with caipet and iubbei pad; foi a baie ooi oi if coveied with ooi tile, take next
1
value
down the column.
Fiom ASHRAE, 1989a, with peimission.
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by a ielation like Equation 6.1.50 which links the output (ioom tempeiatuie
) to all the ielevant input

vaiiables (outdooi tempeiatuie
, heat input oi extiaction by the HVAC system , solai heat gains, etc.)

0
-
1
P
- . -
P

0
-
1
-1
- . -
P

0
-
1 -1
- . -
P
(6.1.58)
The Coeffcients of the Room Tiansfei Function
a
(Only v
0
and v
1
Aie Nonzeio)
Heat Gain Component
Room Envelope
Constiuction
b
1
Dimensionless
Solai heat gain thiough glass
c
with no
inteiioi shade; iadiant heat fiom
equipment and people
Light 0.224 1 -
1
-
0
Medium 0.197 1 -
1
-
0
Heavy 0.187 1 -
1
-
0
Conduction heat gain thiough exteiioi
walls, ioofs, paititions, doois, windows
with blinds, oi diapes
Light 0.703 1 -
1
-
0
Medium 0.681 1 -
1
-
0
Heavy 0.676 1 -
1
-
0
Convective heat geneiated by equipment
and people, and fiom ventilation and
infltiation aii
Light 1.000 0.0
Medium 1.000 0.0
Heavy 1.000 0.0
Heat Gain fiom Lights
d
Fuinishings Aii Supply and Retuin
Type of Light
Fixtuie
1
Heavyweight simple fuinishings, no caipet Low iate; supply and ietuin
below ceiling (V 0.5)
e
Recessed, not vented 0.450 1 -
1
-
0
Oidinaiy fuinishings, no caipet Medium to high iate, supply
and ietuin below oi ceiling
(V 0.5)
Recessed, not vented 0.550 1 -
1
-
0
Oidinaiy fuinishings, with oi without
caipet on ooi
Medium to high iate, oi
induction unit oi fan and
coil, supply and ietuin
below, oi thiough ceiling,
ietuin aii plenum (V 0.5)
Vented 0.650 1 -
1
-
0
Any type fuinituie, with oi without caipet Ducted ietuins thiough
light fxtuies
Vented oi
fieehanging in
aii stieam with
ducted ietuins
0.750 1 -
1
-
0
a
The tiansfei functions in this table weie calculated by pioceduies outlined in Mitalas and Stephenson (1967) and aie
acceptable foi cases wheie all heat gain eneigy eventually appeais as cooling load. The computei piogiam used was
developed at the National Reseaich Council of Canada, Division of Building Reseaich.
b
The constiuction designations denote the following:
- such as fiame exteiioi wall, 2-in (51-mm) conciete ooi slab, appioximately 30 lb of mateiial/ft
2
(146 kg/m
2
) of ooi aiea.
- such as 4-in (102-mm) conciete exteiioi wall, 4-in (102-mm) conciete ooi slab, appioximately
70 lb building mateiial/ft
2
(341 kg/m
2
) of ooi aiea.
-: such as 6-in (152-mm) conciete exteiioi wall, 6-in (152-mm) conciete ooi slab, appioximately
130 1b of building mateiial/ft
2
(635 kg/m
2
) of ooi aiea.
c
The coeffcients of the tiansfei function that ielate ioom cooling load to solai heat gain thiough glass depend on wheie
the solai eneigy is absoibed. If the window is shaded by an inside blind oi cuitain, most of the solai eneigy is absoibed
by the shade and is tiansfeiied to the ioom by convection and long-wave iadiation in about the same piopoition as the
heat gain thiough walls and ioofs; thus the same tiansfei coeffcients apply.
d
If ioom supply aii is exhausted thiough the space above the ceiling, and lights aie iecessed, such aii iemoves some heat
fiom the lights that would otheiwise have enteied the ioom. This iemoved light heat is still a load on the cooling plant
if the aii is ieciiculated, even though it is not a pait of the ioom heat gain as such. The peicent of heat gain appeaiing
in the ioom depends on the type of lighting fxtuie, its mounting, and the exhaust aiiow.
e
V is ioom aii supply iate in (ft
3
/min)/ft
2
of ooi aiea.
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A sepaiate set of tiansfei function coeffcients is needed foi each input vaiiable with diffeient time-
delay chaiacteiistics; heie we have indicated only
and explicitly. Now considei two diffeient contiol

modes, mode 1 with the constant value
assumed and mode 2 with aibitiaiy
, all input being the

same except foi . Let

,ief
-
(6.1.59)
and

ief
- (6.1.60)
Designate the diffeiences in
and between these two contiol modes. Taking the diffeience between
Equation 6.1.50 foi mode 1 and foi mode 2, we see that all vaiiables othei than
and diop out.

The tiansfei function between
and is called - - , and, following ASHRAE

piactice, its coeffcients aie designated by
) and
)
(6.1.61)
A subsciipt has been added to
to allow the tiansfei function to vaiy with time if the aii exchange
iate vaiies. Numeiical values can be obtained fiom Table 6.1.9. While
is listed diiectly,
is given in
teims of fiom which
is calculated accoiding to
g
0,t
A - P
0
K
tot,t
g
1,t
A - P
1
K
tot,t- t
g
2,t
A (6.1.62)
wheie ooi aiea and K
tot,t
W/K Btu/(h F)] is the total heat tiansmission coeffcient of the ioom.
The lattei is the sum of conductive and aii change teims accoiding to Equation 6.1.24:
tot,t

(6.1.24)
and a subsciipt t foi time dependence has been added to allow foi the possibility of vaiiable aii change.
Of couise,
is the sum of the conductance-aiea pioducts foi the envelope of the ioom.
To veiify the consistency of these coeffcients with the fist law of theimodynamics, let us take the
steady state limit wheie ,
, and
aie constant and can be pulled outside the sum. Replacing

the
by Equation 6.1.62, we fnd
n

i
A -
tot
n
] steady state limit (6.1.63)
Noimalized Coeffcients of Space Aii Tiansfei Function
Room envelope constiuction
1
Dimensionless Btu/(h ft
2
F) W/(m
2
K)
Light 1.00 -0.82 1.68 -1.73 0.05 9.54 -9.82 0.28
Medium 1.00 -0.87 1.81 -1.89 0.08 10.28 -10.73 0.45
Heavy 1.00 -0.93 1.85 -1.95 0.10 10.50 -11.07 0.57
g
0
*
g
1
*
g
2
*
g
0
*
g
1
*
g
2
*
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`

, ,
0 0
g
n
*
g
0
*
g
1
*
g
2
*
V
`
Q
`
Q
`
g
n
*

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A look at the numeiical values of in Table 6.1.9 shows that theii sum vanishes. Thus the equation
ieduces to

i

tot
(6.1.64)
as it should. Since
tot
is positive, and
i
have the same sign; this means that is positive foi
positive heat input to the ioom. If we want to state cooling loads
c
as positive quantities, we should
theiefoie take
c
- and
c
- . In paiticulai, if we call the cooling load at tempeiatuie
i
the heat extiaction iate
x
(because that is the iate at which the HVAC equipment must extiact heat to
obtain the tempeiatuie
i
), we can wiite Equation 6.1.61 in the foim
(6.1.65)
wheie
c,ief
is the cooling load at the constant tempeiatuie
,ief
.
Using Equation 6.1.61, one can calculate foi any
i
, oi
i
foi any . It can also be used foi
a mixed iegime wheie
i
is specifed foi ceitain houis and foi otheis. The calculation pioceeds
fiom one houi to the next, solving foi
i
oi as appiopiiate. The daily cycle is iteiated until the
iesult conveiges to a stable pattein.
Capacity limitations of the HVAC equipment can also be included. One checks, at each houi with
theimostatic contiol, whethei the actual load (at
i
theimostat setpoint) exceeds the capacity. If it
does, one solves foi
i
instead, setting
x
equal to the capacity foi this houi.
Likewise, one can account foi the thiottling iange of a contiol system which modulates the heat
extiaction iate accoiding to the contiol law shown in Figuie 6.1.19. Stated as an equation, this means
that the heat extiaction iate
x
is deteimined by the ioom tempeiatuie
i
accoiding to
(6.1.66)
wheie (
max
-
min
)/(
max
-
min
) and
set
is the theimostat setpoint; we have added the subsciipt
to indicate that this equation applies instantaneously at each houi . At each new houi , Equations 6.1.65
and 6.1.66 can be consideied as a system of two equations foi two unknowns:
x,t
and
i,t
. Aftei fnding
the solution, one iepeats the piocess foi the next houi.
Contiol law of Equation 6.1.66 foi heat extiaction iate
x
(solid line) as function of ioom
tempeiatuie
.
T
min
Q
min
Q
set
Q
max
Q
x
T
set
T
max
T
i
Q
`
g
n
*
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`

, , , , ,
0 0
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
Q
`
,
,
, ,
,

-

-

foi
foi
foi
Q
`
Q
`
Q
`
Q
`

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A geneial load calculation pioceduie is summaiized in Table 6.1.10 to summaiize the chaptei to this point.
- -
In the evei-piesent quest foi moie accuiate and veisatile load piediction methods, new pioceduies aie
being developed all the time. In the past few yeais, two new calculation pioceduies have been developed
that aie ielatively similai to the existing methods but implement enough diffeiences to waiiant mention.
The CLTD/CLF method has been updated to include a new teim, the solai cooling load (SCL), and is
now teimed the CLTD/SCL/CLF method. The iadiant tiansfei seiies (RTS) method is a noniteiative
modifcation of the tiansfei function method. An oveiview of both of these new methods is piesented
in this section.
-
The CLTD/CLF method piesented in section 6.1.6 has been modifed in a numbei of impoitant ways.
The selection of ioof and wall CLTD values iequiies a numbei of look-up tables but allows the use of
essentially any aibitiaiy wall constiuction. In addition, the solai heat gain factois have been ieplaced
with a teim called the solai cooling load. While the oveiall methodology of the CLTD/CLF method has
been pieseived, a full desciiption of the necessaiy computations of the new method is piesented heie to
avoid confusion with the oiiginal method in Section 6.1.6.

The CLTD/SCL/CLF method uses 10 types of ioofs. The ioof types aie numbeied 1, 2, 3, 4, 5, 8, 9, 10,
13, and 14. The ioof type chosen depends on the piincipal ioof mateiial, the location of the mass in the
ioof, the oveiall R-value of the ioof, and whethei oi not theie is a suspended ceiling. Table 6.1.11 below
shows the cioss iefeience chait used to select a ioof type.
The tables of new ioof CLTD values aie calculated based on an indooi tempeiatuie of 78F, maximum
and mean outdooi tempeiatuies of 95F and 85F, iespectively, and a daily iange of 21F. Once the
24 CLTD values aie selected, they aie each adjusted by
- ( -
) - (
- ) (6.1.67)
Wheie
is the actual inside design diy-bulb tempeiatuie and T

om
is the mean outside design diy-
bulb tempeiatuie,
Summaiy of Load Calculations
Item Method and Comments
Zones Defne zones
Zone pait of building that can be assumed to have unifoim loads. Foi each zone caiiy out the steps
below
Design conditions Deteimine appiopiiate values of tempeiatuies (
i
and
o
) and humidities (
i
and
o
) foi peak
conditions at site in question
Conduction
cond

Aii change
Foi ielatively simple buildings, use LBL model, Equation 6.1.12; otheiwise use coiielations
Heat gains Solai, lights, equipment, occupants
Heating load,
sensible
h,max

tot
(
i
-
o
) -
gain
, with
tot

cond
-
Cooling load,
static," sensible
c,cond,t
UA CLTD
t
c,iad,t

max
CLF
t
Cooling load,
dynamic, sensible
Tiansfei function method Equations 6.1.51 to 6.1.66
Latent loads Latent gain fiom aii change
aii,lat

fg
(
o
-
i
), also latent gains fiom occupants and fiom
equipment
U
k
A
k
k
V
`
Q
`
Q
`
V
`
Q
`
Q
`
Q
`
Q
`
V
`

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T
om
Outside design diy-bulb tempeiatuie - (6.1.68)
No adjustments to the CLTD aie iecommended foi coloi oi ventilation. The CLTD chaits aie usually
published foi seveial diffeient latitudes; inteipolation between the latitudes foi an exact site is acceptable.

The CLTD/SCL/CLF uses 15 wall types numbeied sequentially 1 thiough 16 with no wall 8. The wall
type is chosen based on the piincipal wall mateiial, the secondaiy wall mateiial, the location of the mass
in the wall, and the oveiall wall R-value. Table 6.1.12 below shows an example cioss-iefeience chait used
to select a wall type. The tables of wall CLTD values aie divided by latitude. The wall CLTDs weie
calculated using the same conditions as the ioof CLTD values and may iequiie adjustments based on the
actual inside and ambient conditions. Inteipolation between the tables may be necessaiy to obtain the
coiiect values foi a given site.
Once the ioof and wall CLTD values have been selected and adjusted as necessaiy, the conductive heat
ow thiough the ioof and walls is calculated foi each houi as in the oiiginal CLTD/CLF method,
() () (6.1.69)
wheie
oveiall heat tiansfei coeffcient foi the suiface (Btu/hift
2
F)
aiea of the suiface, and
the cooling load tempeiatuie diffeience.
--
The glass CLTD values iemain the same as they weie in the oiiginal method. As with the ioof and wall
CLTDs, the fenestiation CLTD values may need to be coiiected based on Equations 6.1.67 and 6.1.68.
The conductive load calculation fiom the glass uses the same method as foi the ioof and walls. The CLTD
values foi the glass aie given in Table 6.1.13.

The new method ieplaces the maximum solai heat gain factoi with the solai cooling load (SCL). This
new value is used to calculate the iadiative (solai) heat gain thiough any glass suiface in the building.
The iadiative solai gains aie then given by
() (6.1.70)
wheie is the aiea of the glass suiface, is the shading coeffcient, and is the solai cooling load
factoi. The shading coeffcient is the iatio of the actual solai heat gain to that fiom the iefeience window
used to calculate the .
Cioss Refeience Table Used to Deteimine Roof Type
Mass Location
Piincipal Roof Mateiial
Susp.
Ceiling
R Value (ft
2
hF/Btu)
Desciiption ASHRAE code 0-5 5-10 10-15 15-20 20-25 25-30
Inside insulation 2 in HW Conciete C12 No 2 2 4 4 5 -
Yes 5 8 13 13 14 -
Evenly spaced 1 in Wood B7 No 1 2 2 4 4 -
Yes - 4 5 9 10 10
2 in HW Conciete C12 No 2 - - - - -
Yes 3 - - - - -
Steel deck A3 No 1 1 1 2 2 -
Yes 1 1 2 2 4 -
Attic-Ceiling comb. n/a No 1 2 2 2 4 -
Outside insulation 2 in HW Conciete C12 No 2 3 4 5 5 -
Yes 3 3 4 5 - -
: Adapted fiom McQuiston, F. and Spitlei, J., (1992).
Daily range
2
----------------------------

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Using the SCL value tables iequiies that you know the numbei of walls, ooi coveiing, inside shading,
and a numbei of othei vaiiables foi the zone. The tables aie also bioken down by building type, with
diffeient tables foi zones in
Single stoiy buildings
Top ooi of multistoiy buildings
Middle oois of multistoiy buildings
Fiist ooi of multistoiy buildings
Example Wall Type Selection Table. Values Aie Shown foi Mass Located Inside Insulation.
R Value
ft2hF/Btu
Piincipal Wall Mateiial (ASHRAE Mateiial Code)
A2 C1 C2 C3 C4 C5 C6 C7 C8 C17 C18
Stucco and/oi plastei
2.0 to 2.5 5 - - - - 5 - - - - -
2.5 to 3.0 5 3 - 2 5 6 - - 5 - -
3.0 to 3.5 5 4 2 2 5 6 - - 6 - -
3.5 to 4.0 5 4 2 3 6 6 10 4 6 - 5
4.0 to 4.75 6 5 2 4 6 6 11 5 10 - 10
4.75 to 5.5 6 5 2 4 6 6 11 5 10 - 10
5.5 to 6.5 6 5 2 5 10 7 12 5 11 - 10
6.5 to 7.75 6 5 4 5 11 7 16 10 11 - 11
7.75 to 9.0 6 5 4 5 11 7 - 10 11 - 11
9.0 to 10.75 6 5 4 5 11 7 - 10 11 4 11
10.75 to 12.75 6 5 4 5 11 11 - 10 11 4 11
12.75 to 15.0 10 10 4 5 11 11 - 10 11 9 12
15.0 to 17.5 10 10 5 5 11 11 - 11 12 10 16
17.5 to 20.0 11 10 5 9 11 11 - 15 16 10 16
20.0 to 23.0 11 10 9 9 16 11 - 15 16 10 16
23.0 to 27.0 - - - - - - - 16 - 15 -
Steel oi othei light-weight siding
2.0 to 2.5 3 - - 2 3 5 - - - - -
2.5 to 3.0 5 2 - 2 5 3 - - 5 - -
3.0 to 3.5 5 3 1 2 5 5 - - 5 - -
3.5 to 4.0 5 3 2 2 5 5 6 3 5 - 5
4.0 to 4.75 6 4 2 2 5 5 10 4 6 - 5
4.75 to 5.5 6 5 2 2 6 6 11 5 6 - 6
5.5 to 6.5 6 5 2 3 6 6 11 5 6 - 6
6.5 to 7.75 6 5 2 3 6 6 11 5 6 - 10
7.75 to 9.0 6 5 2 3 6 6 12 5 6 - 11
9.0 to 10.75 6 5 2 3 6 6 12 5 6 4 11
10.75 to 12.75 6 5 2 3 6 7 12 6 11 4 11
12.75 to 15.0 6 5 2 4 6 7 12 10 11 5 11
15.0 to 17.5 10 6 4 4 10 7 - 10 11 9 11
17.5 to 20.0 10 10 4 4 10 11 - 10 11 10 11
20.0 to 23.0 11 10 4 5 11 11 - 10 11 10 16
23.0 to 27.0 - - - - - - - 10 - 11 16
CLTD Values foi Fenestiation
Houi CLTD Houi CLTD Houi CLTD Houi CLTD
1 1 7 -2 13 12 19 10
2 0 8 0 14 13 20 8
3 -1 9 2 15 14 21 6
4 -2 10 4 16 14 22 4
5 -2 11 7 17 13 23 3
6 -2 12 9 18 12 24 2

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Table 6.1.14 gives the zone types foi the SCL foi the fist stoiy of multistoiy buildings. The zone type
listed heie is foi the SCL - -- - - -. Once the zone
type has been deteimined, the SCL can be found fiom tables such as shown in Table 6.1.15.
-
The CLTD/SCL/CLF method tieats the conductive heating load fiom any adjacent spaces thiough inteinal
paititions, ceilings, and oois as a simple steady state eneigy ow
() (
) (6.1.71)
wheie
is the tempeiatuie in the adjacent space and
is the tempeiatuie of the ioom in question.

-
People within a space add both sensible and latent loads to the space. The heating load at any given houi
due to the occupants is given as
()
-
() -
l
] (6.1.72)
wheie is the numbei of people in the space and
is the diveisity factoi. As implied by the pieceding

equation, the latent load is assumed to immediately tianslate into a cooling load on the system, while
the sensible load is subject to some time delay as dictated by the mass of the ioom, i.e., its capability to
absoib heat and ielease it at a latei time. The diveisity factoi,
takes into account the vaiiability of the

actual numbei of occupants in the space and has typical values as given in Table 6.1.16.
The CLF values aie iead fiom tables. To fnd the it is fist necessaiy to deteimine the zone type.
This is done in a similai fashion as foi the solai cooling loads. That is, the building type, ioom location,
and ooi coveiings must be known befoie the zone type can be found. Table 6.1.17 gives the zone types
foi people, equipment, and lights foi inteiioi (nonpeiimetei) zones. Note that the zone type foi occupants
and equipment is not the same as foi the lighting. The same holds tiue foi the solai cooling load: the
zone types foi occupants is not the same as the zone type foi the SCL.
Once the zone type has been deteimined, the occupant CLF is found fiom the lookup tables such as
shown in Table 6.1.18. This table shows values foi Type A zones only; the zones get piogiessively moie
massive foi types B, C, and D. Figuie 6.1.20 shows the cooling load factois foi type A and D zones that
aie occupied foi twelve houis.
Note that the occupant CLF will be 1.0 foi all houis in building with high occupant density (gieatei
than 1 peison pei 10 ft
2
), such as auditoiiums and theateis. The CLF will also be 1.0 in buildings wheie
theie is 24 houi pei day occupancy.
-
At any given houi the load due to the lighting is appioximated as
() -
-
() (6.1.73)
wheie - is the total lamp wattage in the space,
is the diveisity factoi, and

-
is a ballast special
allowance factoi. The diveisity factoi takes into account the vaiiability of the actual wattage of lights
on at any given time and has typical values as given in Table 6.1.19.
The lighting CLF values come fiom tables and aie found in a fashion similai to that foi the occupants.
It should be iemembeied that the zone types foi lighting aie not necessaiily the same zone types foi the
solai cooling load oi the occupants. Note that the lighting will be 1.0 foi buildings in which the
lights aie on 24 houis pei day oi wheie the cooling system is shut off at night oi on the weekends.
If the calculations aie done in IP units, then the iesult fiom Equation 6.1.73 is multiplied by 3.41 to
conveit watts to Btu/hi.

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Zone Type foi Solai Cooling Load foi Fiist Stoiy of Multistoiy Buildings
Mid-Flooi Type Ceiling Type
Flooi
Coveiing Paitition Type Inside Shade Zone Type
1 oi 2 Walls
2.5 in Conciete With Caipet Gypsum Full A
Half to None B
Conciete block Full B
Half to None C
Vinyl Gypsum Full C
Half to None C
Conciete block Full D
Half to None D
Without Caipet Gypsum - B
Conciete block Full C
Half to None C
Vinyl Gypsum Full C
Half to None D
Half to None D
1 in Wood - Caipet Gypsum Full A
Half to None B
Conciete block Full B
Half to None C
Vinyl Gypsum Full B
Half to None C
Half to None D
3 Walls
Caipet Gypsum Half to None B
Caipet Conciete block - B
Vinyl Gypsum Full C
Vinyl - Half to None C
Vinyl Conciete block Full C
Without Caipet Gypsum - B
Caipet Conciete block Full B
Caipet Conciete block Half to None C
Vinyl Gypsum Full C
Vinyl Half to None C
Vinyl Conciete block Full C
Half to None B
Conciete block - B
Vinyl Gypsum Full B
Half to None C
Half to None C
4 Walls
Half to None B
Vinyl Gypsum - C
Without Caipet Gypsum B
Vinyl Gypsum B
Half to None A
Vinyl Gypsum Full B
Half to None C

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Z
o
n
e

T
y
p
e
/
O
i
i
e
n
t
a
t
i
o
n
S
o
l
a
i

T
i
m
e

(
H
o
u
i

o
f

D
a
y
)
1
2
3
4
5
6
7
8
9
1
0
1
1
1
2
1
3
1
4
1
5
1
6
1
7
1
8
1
9
2
0
2
1
2
2
2
3
2
4
A
N
0
0
0
0
0
2
5
2
9
2
8
3
2
3
6
3
9
4
0
4
1
3
9
3
6
3
2
3
3
3
6
1
2
6
3
1
1
0
N
E
0
0
0
0
0
7
9
1
2
9
1
3
9
1
2
0
8
4
5
8
5
0
4
5
4
1
3
7
3
2
2
6
1
7
7
3
2
1
0
0
E
0
0
0
0
0
8
6
1
5
3
1
8
4
1
8
2
1
5
5
1
0
7
6
7
5
4
4
5
3
9
3
3
2
6
1
7
7
3
2
1
0
0
S
E
0
0
0
0
0
4
2
9
0
1
2
5
1
4
2
1
4
0
1
1
9
8
6
5
8
4
8
4
0
3
4
2
7
1
7
7
3
2
1
0
0
S
0
0
0
0
0
8
1
7
2
4
3
6
5
3
7
0
8
0
7
9
6
8
5
2
3
8
2
9
1
8
7
3
2
1
0
0
S
W
0
0
0
0
0
8
1
7
2
4
3
0
3
5
3
8
5
7
9
0
1
2
2
1
4
1
1
4
4
1
2
7
8
5
3
2
1
5
8
4
2
1
W
1
0
0
0
0
8
1
7
2
4
3
0
3
5
3
8
4
0
6
6
1
1
5
1
5
9
1
8
8
1
9
1
1
4
9
5
3
2
5
1
2
6
3
2
N
W
1
0
0
0
0
8
1
7
2
4
3
0
3
5
3
8
4
0
4
0
5
6
9
3
1
2
9
1
4
8
1
2
7
4
3
2
1
1
0
5
2
1
H
O
R
0
0
0
0
0
2
0
6
6
1
2
0
1
7
1
2
1
5
2
4
6
2
6
3
2
6
5
2
5
1
2
2
1
1
7
8
1
2
4
6
6
2
8
1
3
7
3
2
1
B
N
2
2
1
1
1
2
1
2
5
2
5
2
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1
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1
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9
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6
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1
2
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1
4
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1
4
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1
2
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6
2
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6
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2
4
7
4
3
3
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2
9
2
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1
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1
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1
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1
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8
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:

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.

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-
Equipment can add heat eithei thiough iesistive heating oi fiom electiical motois opeiating in the
equipment. The CLTD/SCL/CLF method accounts foi both types of equipment heat sepaiately. In
addition, the equipment loads aie fuithei bioken down into sensible oi latent components. The latent
components aie assumed to become immediate loads on the cooling system. The latent loads aie found
in tables devoted to hospital equipment, iestauiant equipment, and offce equipment; latent loads aie
cited only foi the hospital and iestauiant equipment. An example of these kinds of loads is given in
Table 6.1.20.
The sensible component of the loads is adjusted by
()
-
() (6.1.74)
wheie q
sa
is the sensible heat gain pei appliance as found fiom the tables. The cooling load factoi is
found by fist deteimining the zone type and then by looking up the CLF in a table appiopiiate foi that
zone type as was done foi the occupants and lighting. While the zone type is similai foi occupants and
equipment, it may not be the same as foi lighting.
Typical Diveisity Factois foi Occupants
in Laige Buildings
Building Type F
d
Apaitment 0.40 to 0.60
Industiial 0.85 to 0.95
Hotel 0.40 to 0.60
Offce 0.75 to 0.90
Retail 0.80 to 0.90
Zone Types foi Use in Deteimining the CLF - Inteiioi
(i.e., Nonpeiimetei) Zones Only
Zone Paiameteis Zone Type
Middle Flooi Ceiling Type Flooi Coveiing People and Equipment Lights
Single Stoiy
N/A N/A Caipet C B
N/A N/A Vinyl D C
Top Flooi
2.5 in Conciete With Caipet D C
2.5 in Conciete With Vinyl D D
2.5 in Conciete Without D B
1 in Wood D B
Bottom Flooi
2.5 in Conciete With Caipet D C
2.5 in Conciete Vinyl D D
2.5 in Conciete Without Caipet D D
1 in Wood Caipet D C
1 in Wood Vinyl D D
Mid-Flooi
2.5 in Conciete N/A Caipet D C
2.5 in Conciete N/A Vinyl D D
1 in Wood N/A C B
The effect of this paiametei is negligible in this case.

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Occupant Cooling Load Factois foi Type A Zones
Total Houis That Space Is Occupied
2 4 6 8 10 12 14 16 18
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1 0.75 0.75 0.75 0.75 0.75 0.75 0.76 0.76 0.77
2 0.88 0.88 0.88 0.88 0.88 0.88 0.88 0.89 0.89
3 0.18 0.93 0.93 0.93 0.93 0.93 0.93 0.94 0.94
4 0.08 0.95 0.95 0.95 0.95 0.96 0.96 0.96 0.96
5 0.04 0.22 0.97 0.97 0.97 0.97 0.97 0.97 0.97
6 0.02 0.10 0.97 0.97 0.97 0.98 0.98 0.98 0.98
7 0.01 0.05 0.33 0.98 0.98 0.98 0.98 0.98 0.98
8 0.01 0.03 0.11 0.98 0.98 0.98 0.99 0.99 0.99
9 0.01 0.02 0.06 0.24 0.99 0.99 0.99 0.99 0.99
10 0.01 0.02 0.04 0.11 0.99 0.99 0.99 0.99 0.99
11 0.00 0.01 0.03 0.06 0.24 0.99 0.99 0.99 0.99
12 0.00 0.01 0.02 0.04 0.12 0.99 0.99 0.99 1.00
13 0.00 0.01 0.02 0.03 0.07 0.25 1.00 1.00 1.00
14 0.00 0.01 0.01 0.02 0.04 0.12 1.00 1.00 1.00
15 0.00 0.00 0.01 0.02 0.03 0.07 0.25 1.00 1.00
16 0.00 0.00 0.01 0.01 0.02 0.04 0.12 1.00 1.00
17 0.00 0.00 0.01 0.01 0.02 0.03 0.07 0.25 1.00
18 0.00 0.00 0.00 0.01 0.01 0.02 0.05 0.12 1.00
19 0.00 0.00 0.00 0.01 0.01 0.02 0.03 0.07 0.25
20 0.00 0.00 0.00 0.01 0.01 0.02 0.03 0.05 0.12
21 0.00 0.00 0.00 0.00 0.01 0.01 0.02 0.03 0.07
22 0.00 0.00 0.00 0.00 0.01 0.01 0.02 0.03 0.05
23 0.00 0.00 0.00 0.00 0.00 0.01 0.01 0.02 0.03
24 0.00 0.00 0.00 0.00 0.00 0.01 0.01 0.02 0.03
Occupant cooling load factois foi Type A and Type D zones foi a space that is occupied foi 12 houis.
Typical Diveisity Factois foi Lighting in
Laige Buildings
Building Type F
d
Apaitment 0.30 to 0.50
Industiial 0.80 to 0.90
Hotel 0.30 to 0.50
Offce 0.70 to 0.85
Retail 0.90 to 1.00

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The total cooling load in the space is then found fiom the sum of the sensible and latent loads. If theie
is a cooling load due to equipment with electiical motois that iun equipment in the space then the space
cooling load is inciemented by
(6.1.75a)
wheie is the iated hoisepowei of the motoi, is the effciency,
is the load factoi (powei used

divided by iated hoisepowei, typically aiound 12), and
is the motoi use factoi (accounting foi

inteimittent use). The teim 2545 conveits fiom HP to Btu pei houi. Equation 6.1.75a assumes that both
the equipment and the motoi aie located within the space. If the equipment is in the space but the motoi
is located outside the space, then this equation is de-iated by the motoi effciency:
(6.1.75b)
Conveisely, if the motoi is inside the space but it acts on equipment outside the space, the cooling
load is inciemented by
(6.1.75c)
As with the lighting, the CLF is always 1.0 when the cooling system does not opeiate 24 houis pei day.
B
The sensible and latent cooling loads intioduced by infltiation aie tieated the same way in the
CLTD/SCL/CLF method as they weie in the oiiginal CLTD/CLF method. Specifcally, the infltiating aii
is assumed to immediately become a load on the cooling system.
Paitial List of Recommended Heat Gain foi Restauiant Equipment
Appliance Type Size
Maximum Input
Rating
Heat Gain Rate (Btu/hi)
Unhooded Hooded
Watts Btu/hi Sensible Latent Sensible
Baibeque (pit), pei 5 lbs of food capacity 80-300 lbs 200 680 440 240 210
Baibeque (piessuiized), pei 5 lbs of food capacity 45 lbs 470 1600 550 270 260
Blendei, pei gal of capacity 0.25-1.0 gals 1800 6140 4060 2080 1980
Biaising pan, pei gal of capacity 27-35 gals 400 1360 720 380 510
Cabinet (laige hot holding) 16.3-17.3 ft
3
2080 7100 610 340 290
Cabinet (laige hot seiving) 37.6-40.5 ft
3
2000 6820 610 310 280
Cabinet (laige pioofng) 16.0-17.0 ft
3
2030 6930 610 310 280
Cabinet (small hot holding) 3.3-6.5 ft
3
900 3070 270 140 130
Cabinet (veiy hot holding) 17.3 ft
3
6150 20,980 1880 960 850
Can openei 170 580 580 0
Coffee biewei 12 cups/2 buineis 1660 5660 3750 1910 1810
Coffee heatei, pei boiling buinei 1-2 buineis 670 2290 1500 790 720
Coffee heatei, pei waiming buinei 1-2 buineis 100 340 230 110 110
Coffee/hot watei holding uin, pei gal of capacity 3.0 gal 460 1570 580 200 260
Coffee uin (laige), pei gal of capacity 6.0-10.0 gal 2500 8530 2830 1430 1.36
Coffee uin (small), pei gal of capacity 3.0 gal 1580 5390 1770 920 850
Cuttei (laige) 18 in bowl 750 2560 2560 820
Cuttei (small) 14 in bowl 370 1260 1260 410
Cuttei and mixei (laige) 7.5-11.3 gal 3730 12,730 12,730 4060

2545

2545

2545
1

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The iadiant time seiies method is a new method cuiiently undei development by ASHRAE. This method
is similai to the tiansfei function method except that the seveial-day-long iteiative computations foi the
conductive heat ows and ioom iadiative tiansfei functions have been ieplaced by a set of 24 iesponse
factois that aie used diiectly foi the calculations at each houi. The piincipal diffeiences between the
tiansfei function method and the RTS method aie outlined in this section.
-
The tiansfei function method uses an iteiative piocess to calculate the conductive heat ow acioss the
ioof and wall suifaces of a building. Depending on the diiving foices and the wall mateiial, this may
iequiie seveial iepetitions of each day`s values befoie the iteiation conveiges. The RTS method ieplaces
this iteiation with a simple summation,
(6.1.76)
wheie is the suiface aiea,
is the j
th
iesponse factoi,

is the sol-aii tempeiatuie fiom houis ago,
and
is the space tempeiatuie, assumed to be constant. The iesponse factois foi the walls and ioof can
be found fiom lookup tables (such as Table 6.1.21) similai to those cieated foi the tiansfei function
coeffcients.
Once the conductive loads have been calculated, the tiansmitted solai heat and window conductive
heat gains thiough each window, the absoibed solai gain, and the inteinal gains aie calculated the same
as with the tiansfei function method.
Peiiod Response Factois foi Repiesentative Roof Types 1 Thiough 8, Btu/hft
2
F
Roof Type
1 2 3 4 5 6 7 8
Y
P0
0.004870 0.000556 0.006192 0.000004 0.000105 0.003675 0.001003 0.003468
Y
P1
0.036463 0.012356 0.044510 0.000658 0.002655 0.034908 0.009678 0.022622
Y
P2
0.026468 0.020191 0.047321 0.004270 0.007678 0.054823 0.017455 0.045052
Y
P3
0.008915 0.012498 0.035390 0.007757 0.008783 0.050193 0.017588 0.047168
Y
P4
0.002562 0.005800 0.026082 0.008259 0.007720 0.041867 0.015516 0.042727
Y
P5
0.000708 0.002436 0.019215 0.006915 0.006261 0.034391 0.013169 0.037442
Y
P6
0.000193 0.000981 0.014156 0.005116 0.004933 0.028178 0.011038 0.032544
Y
P7
0.000053 0.000388 0.010429 0.003527 0.003844 0.023078 0.009213 0.028228
Y
P8
0.000014 0.000152 0.007684 0.002330 0.002982 0.018900 0.007678 0.024472
Y
P9
0.000004 0.000059 0.005661 0.001498 0.002309 0.015478 0.006397 0.021212
Y
P10
0.000001 0.000023 0.004170 0.000946 0.001787 0.012675 0.005328 0.018386
Y
P11
0.000000 0.000009 0.003072 0.000591 0.001383 0.010380 0.004437 0.015937
Y
P12
0.000000 0.000003 0.002264 0.000366 0.001070 0.008501 0.003696 0.013814
Y
P13
0.000000 0.000001 0.001668 0.000225 0.000827 0.006962 0.003078 0.011973
Y
P14
0.000000 0.000001 0.001229 0.000138 0.000640 0.005701 0.002563 0.010378
Y
P15
0.000000 0.000000 0.000905 0.000085 0.000495 0.004669 0.002135 0.008995
Y
P16
0.000000 0.000000 0.000667 0.000052 0.000383 0.003824 0.001778 0.007797
Y
P17
0.000000 0.000000 0.000491 0.000032 0.000296 0.003131 0.001481 0.006758
Y
P18
0.000000 0.000000 0.000362 0.000019 0.000229 0.002564 0.001233 0.005858
Y
P19
0.000000 0.000000 0.000267 0.000012 0.000177 0.002100 0.001027 0.005077
Y
P20
0.000000 0.000000 0.000196 0.000007 0.000137 0.001720 0.000855 0.004401
Y
P21
0.000000 0.000000 0.000145 0.000004 0.000106 0.001408 0.000712 0.003815
Y
P22
0.000000 0.000000 0.000107 0.000003 0.000082 0.001153 0.000593 0.003306
Y
P23
0.000000 0.000000 0.000079 0.000002 0.000063 0.000945 0.000494 0.002866
Adapted fiom Spitlei, J.D. and Fishei, D.E., (1999).

,
0
23

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When all the heat ows into the building have been calculated, the loads must be fuithei bioken down
into the iadiative and convective components. Table 6.1.22 shows iecommended values foi the iadiative
fiaction; the convective fiaction is simple
1 - (6.1.77)
The convective fiaction immediately becomes a cooling load on the building HVAC system. The
iadiative poition is absoibed by the building mateiials, fuinituie, etc. and is convected into the space as
a time-lagged and attenuated cooling load as desciibed in the next section.
- -
The iadiant loads aie conveited to houily cooling loads thiough the use of iadiant time factois. Similai
to the iesponse factois, the time factois estimate the cooling load based on past and piesent heat gains.
(6.1.78)
wheie
0
is the fiaction of the load convected to the space at the cuiient time,
1
is the fiaction at the
pievious houi, and so foith. This step ieplaces the zone tiansfei function of the tiansfei function method.
Two sets of iadiative time factois must be deteimined foi each zone: one foi the tiansmitted solai
heat gain and one foi all othei types of heat gain. The diffeience between the two is that the foimei is
assumed to be absoibed by the ooi only while the lattei is assumed to be evenly distiibuted thioughout
the space. The iadiant time factois aie deteimined thiough a zone heat balance model as desciibed by
Spitlei et al (1997).

We have desciibed the tools foi calculating heating and cooling loads. The focus has been on peak loads
(annual loads and eneigy consumption aie addiessed in Chaptei 6.2). The pioceduie begins with the
defnition of the zones and the choice of the design conditions, followed by a caieful accounting of all
theimal eneigy teims, including conduction, aii change, and heat gains. The foimulas foi the load
calculation depend on whethei the theimostat setpoint is constant oi vaiiable. The fist case is much
simplei, allowing a static calculation (foi heating loads) oi a quasistatic calculation (foi cooling loads).
Coiiect analysis of loads foi vaiiable setpoints iequiies a dynamic method; in such a case, the tiansfei
function method can be used both foi heating and foi cooling. Foi latent loads, a static calculation is
usually consideied suffcient. Fuithei detail on load calculations is contained in ASHRAE (1998).
Typical Radiative Fiaction of Building Heat Gains
Heat Gain Type
Typical Radiative
Fiaction
Occupants 0.7
Suspended uoiescent lighting, unvented 0.67
Recessed uoiescent lighting, vented to ietuin aii 0.59
Recessed uoiescent lighting, vented to supply & ietuin aii 0.19
Incandescent lighting 0.71
Equipment 0.2-0.8
Conductive heat gain thiough walls 0.63
Conductive heat gain thiough ioofs 0.84
Tiansmitted solai iadiation 1.0
Solai iadiation absoibed by window glass 0.63

0
23

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Achaid, P. and R. Gicquel (1986). -- . Commission of the Euiopean
Communities, Diiectoiate Geneial XII foi Science, Reseaich and Development, Biussels, Belgium.
ASHRAE (1979). . GRP 158. Ameiican Society of Heating,
Refiigeiating and Aii-Conditioning Engineeis, Atlanta, GA.
ASHRAE (1999). . . Ameiican Society of
Heating, Refiigeiating and Aii-Conditioning Engineeis, Atlanta, GA.
ASHRAE (1989a). -. Ameiican Society of Heating, Refiigeiating and Aii-
ASHRAE (1989b). B - - - -
-. Ameiican Society of Heating, Refiigeiating and Aii-Conditioning Engineeis, Atlanta, GA.
ASHRAE (1998). -, Ameiican Society of Heating, Refiig-
eiating and Aii-Conditioning Engineeis, Atlanta, GA.
ASHRAE (2001). -. Ameiican Society of Heating, Refiigeiating and Aii-Con-
ditioning Engineeis, Atlanta, GA.
Biidsall, B., W. F. Buhl, K. L. Ellingtop, A. E. Eidem, and F. C. Winkelmann (1990).
-- Repoit LBL-19735, iev. 1., Lawience Beikeley Laboiatoiy, Beikeley, CA, 94720.
Chuangchild, P. and Kiaiti, M. (2000). Paiametiic Analysis and Development of a Design Tool foi
Foundation Heat Gain foi Refiigeiated Waiehouses, -., vol. 106, pt. 2.
Dietz, R. N., T. W. Ottavio, and C. C. Cappiello (1985). Multizone Infltiation Measuiements in Homes
and Buildings Using Passive Peiuoiocaibon Tiacei Method. -., vol. 91, pt. 2.
Faiiey, P. W. and A. A. Keiestecioglu (1985). Dynamic Modeling of Combined Theimal and Moistuie Tianspoit
in Buildings: Effects on Cooling Loads and Space Conditions. -., vol. 91, pt. 2A, p. 461.
Giimsiud, D. T., M. H. Sheiman, I. E. Ianssen, A. N. Peaiman, and D. T. Hanje (1980). An Inteicom-
paiison of Tiacei Gases Used foi Aii Infltiation Measuiements. -., vol. 86, pt. 1.
Keiestecioglu, A. A. and L. Gu (1990). Theoietical and Computational Investigation of Simultaneous Heat and
Moistuie Tiansfei in Buildings: Evapoiation and Condensation" Theoiy. -., vol. 96, pt. I.
Kieidei, J.F., Rabl, A., and Cuitiss, P. (2001). - - B
, McGiaw-Hill, New Yoik, NY.
Lydbeig, M. and A. Honaibakhsh (1989). -- - - --
--- Swedish Council foi Building Reseaich. Document DI9:1989, Giivle, Sweden.
McQuiston, F. and Spitlei, J. (1992). . ASHRAE.
Mitalas, G.P. and Stephenson, D.G. (1967). Room Theimal Response Factois, -, vol. 73, pt 2.
Nisson, I. D. N. and G. Duff (1985). - . John Wiley & Sons, New Yoik, NY.
Noifoid, L. K., A. Rabl, I. P. Haiiis, and I. Rotuiiei (1989). Electionic Offce Equipment: The Impact of
Maiket Tiends and Technology on End Use Demand. In T. B. Iohansson et al., Eds.
B - - -. Lund
Univeisity Piess, Lund, Sweden, 1989, pp. 427-460.
PREP (1990). Included in - - Solai Eneigy Laboiatoiy,
Engineeiing Expeiiment Station Repoit 38-12, Univeisity of Wisconsin, Madison.
Sheiman, M. H., D. T. Giimsiud, P. E. Condon, and B. V. Smith (1980). Aii Infltiation Measuiement
Techniques. Pioc. 1st lEA Symp. Aii Infltiation Centie, London, and Lawience Beikeley Laboiatoiy
Repoit LBL 10705, Beikeley, CA.
Sondeieggei, R. C. (1978). Diagnostic Tests Deteimining the Theimal Response of a House.
-., vol. 84, pt. 1, p. 691.
Spitlei, J.D. and Fishei, D.E. (1999). On the ielationship between the iadiant time seiies and tiansfei
function methods foi design cooling load calulations, -,
vol. 5, no. 2, pp. 125-138.
Wong, S. P. W. and S. K. Wang (1990). Fundamentals of Simultaneous Heat and Moistuie Tiansfei
between the Building Envelope and the Conditioned Space Aii. -., vol. 96, pt. 2.

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O -

The advent of the oil embaigo in 1973 and the subsequent oil shocks led to an incieased awaieness of
the cost of eneigy consumed to heat and cool buildings. Wheieas pievious advances in building heating
and cooling had been focused mostly on incieased comfoit and convenience, attention also went to the
amount of eneigy wasted and the need to develop ways to make eneigy use moie effcient.
The fist step to undeistanding building eneigy utilization is to know how much eneigy is being used
in the building and how that is divided among space conditioning and othei uses. Unfoitunately, this is
not as easy to do as it sounds. Even if that infoimation weie ieadily available, such as how much natuial
gas and electiicity aie consumed by a boilei and aii conditionei, it would still be diffcult to evaluate in
teims of eneigy effciency, which would iequiie accounting foi diffeiences in building size, usage patteins,
inteinal conditions, and climate. As inteiest has giown in impioving building eneigy effciency, engineeis,
eneigy expeits, and analysts have gone moie and moie to computei-based methods that simulate in
detail the eneigy ows in a building ovei long extended peiiods, typically of a yeai oi moie.
-

The eailiest method used to estimate the heating eneigy consumption of a building is the degiee-day
method fist developed in the 1930s by the gas utilities to piedict gas consumption. A degiee-day is the
sum of the numbei of degiees that the aveiage daily tempeiatuie (technically the aveiage of the daily
maximum and minimum) is above (foi cooling) oi below (foi heating) a base tempeiatuie times the
duiation in days. Thus, a day wheie the aveiage daily tempeiatuie is 12 degiees lowei than the base
tempeiatuie would accumulate 12 degiee-days, as would thiee days, each of which was 4 degiees below
the base tempeiatuie. Summed ovei an entiie yeai, the numbei of heating oi cooling degiee-days iemains
a convenient single numbei foi indicating climate seveiity.
Histoiically, gas companies found 65F to be the most appiopiiate base tempeiatuie foi estimating
fuel deliveiies in the 1930s. The concept behind the degiee-day method is that the base tempeiatuie
iepiesents the balance point" of a building at which the building`s inteinal heat gains aie just suffcient
to counteibalance the heat losses to the outside, so that the building iequiies neithei heating noi cooling.
Below that balance tempeiatuie the building iequiies heating, while above that tempeiatuie the building
iequiies cooling, in piopoition to the diffeience fiom the base tempeiatuie.
Since its invention in the 1930s, base 65F heating degiee-days, and to less of an extent, base 65F
cooling degiee-days, have become widely accepted as the most convenient, simple indicatois of climate
seveiity. In the U.S., heating degiee-days vaiy fiom less than 500 in Miami, 1000-3000 in the south,
3000-7000 in the noith, to extiemes of ovei 8000 in Bismaick, ND and 10,000 in Anchoiage, AK.
Coiiespondingly, cooling degiee-days vaiy fiom 0 in Anchoiage, less than 100 in Seattle, 500-1200 in
the noith, 1200-3000 in the south, and ovei 3000 in Phoenix and Miami. Figuies 6.2.1 and 6.2.2 show
the heating and cooling degiee-days foi the U.S. aveiaged ovei 30 yeais fiom 1950 to 1980.
In the degiee-day method, the building heat load, i.e., the amount of heating eneigy input oi cooling
eneigy extiaction, is estimated as the numbei of degiee-days times 24 (to conveit to degiee houis), times
the oveiall building heat loss coeffcient (Btu/hi F). The oveiall heat loss coeffcient is the sum of the
(U-value x aiea) foi all exteinal suifaces, such as walls, windows, doois, and ioof, plus the heat losses
oi gains due to infltiation. The heating load equation is

65
24 0.018
The constant 0.018 is the pioduct of density and specifc heat foi aii at sea level. Foi othei altitudes this constant
must be adjusted by the density iatios. Foi example, at the altitude of Denvei the density is 0.06 lb/ft
3
and the constant
has a value of 0.0144.
U
i
A
i
Infiltration Air Changes per Hour Volume +

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The cooling load equation is similai except that cooling degiee-days aie used in place of heating degiee-days.
To deiive the heating oi cooling eneigy consumption, the heating oi cooling loads need to be multiplied
by the effciency of the HVAC system. Foi example, foi a 1800 ft
2
house in Denvei (HDD5940) with
an oveiall heat loss coeffcient of 400 Btu/hi-F, 0.7 aii change iate pei houi, 14,400 ft
3
volume, heated
by a fuinace with an AFUE of 0.78, and having an aveiage duct loss factoi of 0.10, the total eneigy use
would be

U.S. heating degiee-days base 65F (1950-1980, 30-yeai aveiages).
U.S. cooling degiee-days base 65F (1950-1980, 30-yeai aveiages).

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Similaily, foi the same house in Denvei (CDD 630) cooled by an aii conditionei with a SEER of
9.0, the cooling eneigy use in kWh would be

The above example shows the degiee-day method in its simplest foim. Its limitations aie easy to list.
The method does not considei the effects of solai heat gain oi building theimal mass, noi can it account
foi vaiiations in infltiation iates, theimostat settings (such as night setback), oi occupant actions such
as window venting on cool summei nights oi duiing the spiing and fall seasons.
When building eneigy calculations staited to attiact moie attention in the late 1970s and eaily 1980s,
effoits weie made to impiove the degiee-day method by using vaiiable base tempeiatuies, calculating
degiee-houis instead of days, etc. These aie desciibed in the following section. Although these modifed
degiee-day methods have gained in accuiacy, this has come at the expense of computational ease, and
in most cases calculations can be done conveniently only using a computei piogiam. As the capability
of peisonal computeis has giown, degiee-day methods have fallen incieasingly out of favoi because they
iemain fundamentally steady state calculations that aie unable to captuie fully the tiansient heat ows
that dominate building theimal piocesses.
Despite its limitations, theie aie situations wheie the simple degiee-day method can still be of use.
By viitue of its simplicity, it piovides a quick answei that can be used as a staiting point oi check foi
moie detailed calculations. Foi estimating heating eneigy use in light constiuction iesidential buildings
with low solai gain in cold climates, the simple degiee-day method may be adequate when gatheiing the
additional data on climate and building conditions may be unwaiianted oi impiactical. The simple and
cleai-cut foimulation of the degiee-day method is also valuable as a way to distill the iesults fiom moie
detailed calculations that aie often haid to inteipiet. Foi example, in the coiielation methods desciibed
latei, detailed houily simulation iesults can be piesented as the imputed heating degiee-days that a
building sees" when the vaiiations in building opeiations and conditions aie consideied. This not only
helps in visualizing the detailed iesults, but peimits inteipolation using the degiee-day method foi small
changes in the building shell.
-
The vaiiable base degiee-day method was developed to account foi the fact that balance point tempei-
atuies vaiy between buildings and even within a building depending on the time of day. The oiiginal
65F base tempeiatuie developed in the 1930s implied that if a building weie maintained at 70F, the
heat gains fiom the sun and inteinal piocesses would contiibute on aveiage 5F of fiee heat," so that
heating was iequiied only when the outside tempeiatuie diopped below 65F. As buildings aie now bettei
insulated and moie aii-tight, theii balance point tempeiatuies should be lowei. Foi iesidential buildings,
seveial studies have found that the aveiage balance point tempeiatuie is now 55-57F, instead of 65F.
Foi commeicial buildings, the combination of low suiface-to-volume iatios, high window-to-wall iatios,
and high inteinal gains have caused theii balance point tempeiatuies to diop even fuithei to 50F oi lowei.
The balance point tempeiatuie foi a building diffeis maikedly between daytime and nighttime. Duiing
the day, the building ieceives heat gain fiom the sun as well as fiom human activity, including equipment
and lights. At night, theie is, of couise, no solai heat gain and human activity is ieduced. In a typical
iesidential building, the balance point tempeiatuie depiession may be aiound 15F, while at night it is
only 3F. In a commeicial building, the diffeience can be even gieatei because of highei inteinal heat
gains duiing the day and veiy low heat gains at night.
The vaiiable base degiee-day method attempts to account foi these diffeient building conditions by
calculating fist the balance point tempeiatuie of a building and then the heating and cooling degiee
houis at that base tempeiatuie. Since the method subdivides the day into daytime and nighttime peiiods,
degiee-houis have to be used in place of degiee-days. Wheieas degiee-days aie calculated fiom the aveiage
between the daily maximum and minimum tempeiatuies, degiee-houis aie calculated fiom the tempei-
atuie foi each houi. In geneial, the numbei of (degiee-houis)/24 can be fiom slightly to signifcantly

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laigei than the numbei of degiee-days at the same base tempeiatuie. The diffeiences aie paiticulaily
signifcant foi cooling. This can be explained by consideiing what happens on a spiing day when the
aveiage daily tempeiatuie may be below the base tempeiatuie, but seveial afteinoon houis aie above it.
Such a day would have no cooling degiee-days but a numbei of cooling degiee-houis. In Washington,
the (heating degiee-houis)/24 and (cooling degiee-houis)/24 aie 4% and 5% gieatei than theii iespective
degiee-day values. Howevei, in Saciamento, the diffeiences aie 24% and 26%, iespectively.
In this method, the degiee-day calculations aie iepeated foi daytime and nighttime conditions foi
each month of the yeai. The balance point tempeiatuie depiession (BPD) foi any building is calculated
as the total heat gains divided by the oveiall building conductance, i.e.,
Foi example, a building in Denvei with 50ft
2
of double-pane windows (solai heat gain coeffcient
of 0.79) in each oiientation ieceives aveiage total daily solai heat gains of 9219 Btu on the noithside,
24,526 Btu on the eastside, 60,388 Btu on the southside, and 24,846 Btu on the westside. The aveiage
houily solai heat gain (assuming 12 houis as daytime houis) is 9915 Btu/houi. If the building has othei
inteinal heat gains of 3200 Btu/houi and an oveiall building conductance of 576.4 Btu/hi-F, its BPD
would be 13,115/576.4 23F. Duiing the nighttime houis, the building has inteinal gains of only 1400
Btu/houi, and BPD of 1400/576.4 2F. If the theimostat weie maintained at 70F duiing the day and
65F at night, base 47F (70 - 23F) heating degiee-houis should be used foi the daytime houis, while
base 63F (65 - 2F) heating degiee-houis should be used foi the nighttime houis.
On the cooling side of the equation, the vaiiable base degiee day (VBDD) method follows a similai
logic to identify the numbei of cooling degiee-houis that a building actually sees." The cooling balance
point changes diamatically depending on whethei the building is being vented. If the windows aie open,
the heat gains aie ushed out of the building and have no effect on its cooling load. Howevei, if the
windows aie closed, then the solai and inteinal gains cieate a balance tempeiatuie signifcantly lowei
than the theimostat setpoint foi cooling. The way these two conditions aie handled in a VBDD method
is that the cooling degiee-houis aie calculated using the balance tempeiatuie with the windows closed,
but they aie not accumulated foi the houis when the tempeiatuies aie below the theimostat setpoint,
when the windows aie assumed to be open. This is illustiated in Figuie 6.2.3, which shows the one-to-
one ielationship between cooling degiee-houis and the tempeiatuie diffeience between the balance and
outdooi aii tempeiatuie. Howevei, those degiee-houis occuiiing in the shaded tiiangle when the outdooi
tempeiatuies aie below the theimostat setpoint aie consideied vented" and not added to the iunning
total of cooling degiee-houis.
Although the simple example shown eailiei foi the vaiiable degiee-day method may not seem veiy
oneious, one must keep in mind that the balance point calculations have to be iepeated foi each month,
and that it iequiies calculating the solai heat gain thiough windows (and skylights), which in tuins
iequiies calculating sun angles and the distiibution of solai gain by oiientation. Aftei the balance point
tempeiatuies have been deiived, the pioceduie then iequiies the calculation of heating and cooling
degiee-houis at diffeient base tempeiatuies.
The net iesult of this extia detail is to make the method too tedious foi eithei hand calculations oi
implementation on a spieadsheet piogiam. In the eaily 1980s, seveial PC piogiams weie wiitten using
the vaiiable base degiee-day method. Reseaicheis at LBL developed the CIRA (Computeiized Instiu-
mented Residential Audit) piogiam, that was licensed to Buit Hill Kosan Rittelman (www.buithill.com)
in 1984, who maiketed it undei the name EEDO (Eneigy Effcient Design Options). The CIRA/EEDO
piogiam is a DOS piogiam wiitten in BASIC foi quick analysis of ietioft potentials and options in
iesidential buildings. Aftei the inspectoi oi analyst has enteied basic infoimation about the location,
building geometiy and theimal conditions, and alieady installed ietioft measuies, the piogiam uses the
vaiiable base degiee-day method to calculate the base case eneigy use of the house and the eneigy savings
foi 100 oi moie potential eneigy ietiofts. The piogiam then compaies these eneigy savings to the costs
BPD
solar heat gain internal heat gain +
average per hour
overall building conductance
------------------------------------------------------------------------------------------------------------------ =

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of the measuies, and pioduces a iepoit listing the iecommended ietioft measuies in oidei of theii cost
effectiveness.
The CIRA/EEDO piogiam contains weathei data foi 200 U.S. locations, including monthly solai heat
gain by oiientation, and a iegiession-based technique to inteipolate monthly heating and cooling degiee-
houis at any base tempeiatuie. In calculating the effects of night setback on heating loads, the piogiam
uses coiielations to houily simulations done with the BLAST piogiam (see section on Simulations) to
account foi the theimal lag due to the building theimal mass.
Vaiiable base degiee-day piogiams like CIRA iepiesent the best that can be expected of this steady
state method. The CIRA/EEDO piogiam was veiy appiopiiate at the time it was developed given the
limited capabilities of peisonal computeis at the time, and its intended use foi analysis of ietioft measuies
foi iesidential buildings. Compaiisons of CIRA iesults to those using the DOE-2 houily simulation
piogiam done by one authoi (Huang) in 1984 showed good agieement foi heating eneigy use, but some
disciepancies in cooling eneigy use. The compaiisons aie paiticulaily diveigent in places such as Miami,
since CIRA does not calculate latent cooling loads oi the eneigy used foi dehumidifcation. Fuithei
iefnement of the degiee-day method does not seem waiianted because (1) it iemains a steady state
method that does not iecognize a building`s theimal histoiy, and (2) additional iefnement of degiee-
day teiminology would iequiie detailed piocessing of houily weathei data at a complexity appioaching
theii use in houily simulations.
B -
The next evolution in building eneigy calculations fiom the vaiious degiee-day methods aie the bin
methods, which have also developed into seveial vaiiations. The undeilying assumption of the bin method
is that foi a given tempeiatuie at the same geneial time of day (moining, afteinoon, evening, etc.), the
heating and cooling loads of a building should be ioughly the same. Theiefoie, one can deiive a building`s
annual heating and cooling loads by calculating its loads foi a set of snapshots" defned by tempeiatuie
bins," multiplying the calculated loads by the numbei of houis iepiesented by each bin, and then totaling
the sums to deiive the building`s annual heating and cooling loads. In the oiiginal foimulation of the
Schematic iepiesentation of vented" cooling degiee-houis.
Balance Point Venting
"vented
degree
hours

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bin method, theie was no accounting of the effects of solai gain oi wind on the calculated loads, which
weie done simply as the diffeience between the outdooi and indooi balance tempeiatuies times the
building conductance, divided by the effciency of the heating oi cooling system.
Latei veisions of the bin method accounted foi these effects by using moie detailed binned data that
gave the aveiage wind speeds and solai gains by month, and the numbei of houis within bins sepaiated
by month as well as time of day. When doing the calculation, the solai and wind effects aie taken into
account foi each month and time of day peiiod. The bin method is desciibed in Kieidei, Rabl, and
Cuitiss (1994).
-
The pievious methods desciibed aie all steady state calculations, the diffeiences being the numbei of
snapshots used to chaiacteiize the eneigy use of the building ovei the entiie yeai. Even the most complex
of these methods still misses the dynamic iesponse of the building to changes in the weathei oi the
building contiols. As public inteiest in building eneigy use incieased in the late 1970s, a numbei of
geneial puipose computei piogiams have been developed to simulate the eneigy ows of a building,
including its system and plant, on an houily oi even subhouily basis foi an entiie yeai. These effoits
have been laigely funded by bianches of the fedeial goveinment, notably the Depaitment of Eneigy and
Depaitment of Defense, and some state goveinment offces, such as the Califoinia Eneigy Commission.
The simplest simulation piogiams use netwoiks that aie the theimal equivalents to electiical RC
ciicuits. Tempeiatuies aie iepiesented by voltages, heat ows by cuiients, and theimal masses by capac-
itances. Netwoik piogiams aie geneially limited to smallei, one-zone buildings such as iesidences oi
small offce buildings that have shell-dominant loads and simple heating and cooling systems. Netwoik
piogiams that aie still widely used today include the - piogiam, mandated by the Califoinia Eneigy
Commission as the offcial piogiam foi showing compliance to Califoinia`s Title-24 Building Eneigy
Standaid in iesidential buildings, - and , both developed by the National Renewable
Eneigy Laboiatoiy (NREL, foimeily known as the Solai Eneigy Reseaich Institute, oi SERI).
is a iecent softwaie pioduct completed in 1996 thiough a paitneiship of the Passive Solai
Industiies Council (e-mail addiess: psicdcCaol.com), NREL, LBNL, and the Beikeley Solai Gioup with
funding fiom DOE. The aim of the piogiam is to piovide a usei-fiiendly simulation tool foi the design
of passive solai stiategies in small and medium-sized buildings undei 10,000 ft
2
. The CNE simulation
engine of is a two-zone netwoik model that iuns on an houily time-step. Substantial effoit
was made to add capabilities to CNE to model passive solai and eneigy-effcient stiategies as daylighting,
solai oiientation, theimal mass, ventilation, and giound-coupled cooling.
Because the objective of is to encouiage aichitects and engineeis to incoipoiate passive
solai design stiategies in the eaily design phase of a pioject, the usei inteiface iequiies a minimum
numbei of inputs and has an Auto-Build featuie that automatically geneiates two building fles at once
- one foi the pioposed design and the othei foi a geneiic iefeience design of the same size and usage
pattein. The Auto-Build featuie assists useis in quickly evaluating the meiits of a pioposed design oi
design stiategies. Figuie 6.2.4 is a sample input scieen showing the Windows-based input pioceduie of
which, at a minimum, iequiies only fve inputs - location, building use categoiy, size,
HVAC, and utility iates - to make an initial simulation. Figuie 6.2.5 shows a second level, moie detailed
input scieen, once the usei has moie specifc data on the pioposed building. In keeping with the
philosophy foi a quick and simple-to-use design tool, also piesents the piogiam output in
a highly giaphical mannei. Figuies 6.2.6 and 6.2.7 show sample output foi the total heating and cooling
eneigy costs and heat ows foi a pioposed design compaied to the iefeience case.

Foi laigei and moie complex buildings, the two most widely used public-domain whole-building sim-
ulation piogiams aie DOE-2 and BLAST. In contiast to , these two aie much moie like
standaid engineeiing piogiams iathei than design tools; the piimaiy woik has gone into algoiithm

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development and numeiical analysis, iathei than the usei inteiface (although piivate vendois have since
developed seveial giaphical inteifaces). In addition to DOE-2 and BLAST, theie aie also a numbei of
piivate sectoi piogiams, developed piimaiily foi piacticing engineeis to design HVAC systems, that can
also do annual simulations, including TRACE (developed by the Tiane Company) and HAP (developed
by Caiiiei Coipoiation). This ieview will not covei these piopiietaiy piogiams since theii calculational
ioutines aie not publicly available. The geneial sense of these piopiietaiy piogiams is that they aie less
detailed than the two piimaiy public-domain piogiams in theii loads calculation but aie compaiable in
theii system simulations.
DOE-2 is a public domain piogiam oiiginally staited by the Lawience Beikeley National Laboiatoiy
(LBNL) in 1979 in collaboiation with Los Alamos Scientifc Laboiatoiy and Aigonne National Laboiatoiy,
with suppoit fiom the U.S. Depaitment of Eneigy (DOE). Foi the past 20 yeais, LBNL has continued
to develop and maintain the piogiam, the cuiient (and piobably last) public veision of the piogiam
input scieen (1).
input scieen (2).

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being DOE-2.1E, ieleased in 1993. The basic DOE-2 piogiam uses a text-based input and output
pioceduie that is quite poweiful, but unfoitunately diffcult and time-consuming to leain.
Mainfiame and PC veisions of DOE-2, as well as the FORTRAN souice code, aie available fiom the Eneigy
Science and Technology Softwaie Centei (ESTSC) in Oak Ridge, TN (e-mail addiess: estscCadonis.osti.gov).
Theie aie also moie than a dozen PC veisions oi deiivative softwaie packages based on DOE-2 being sold
by piivate vendois, some of whom have added giaphical usei inteifaces to make the piogiam easiei to use.
Howevei, these inteifaces geneially come at the cost of some loss of modeling capability and a fundamental
undeistanding of how the piogiam woiks. They may be veiy helpful in intioducing DOE-2 at a basic level,
output scieen (1).
output scieen (2).

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but may at some point hindei expeiienced useis fiom tapping into moie advanced featuies such as usei-
defned functions, macio expiessions, oi puiposely tweaking the model foi specifc applications. A good
souice of infoimation on DOE-2 (as well as BLAST) softwaie iesouices, consultants, and Web sites is
the - -, a newslettei published quaiteily by the Simulation Reseaich
Gioup of LBNL (e-mail addiess: KLEllingtonClbl.gov).
The BLAST piogiam was developed by the U.S. Aimy Constiuction Engineeiing Reseaich Laboiatoiy
(CERL) with funding fiom vaiious U.S. Depaitment of Defense agencies, and fist ieleased in 1977. Since
1983, BLAST has been maintained and suppoited by the Building Systems Laboiatoiy at the Univeisity
of Illinois at Uibana-Champaign. The cuiient veision is BLAST 3.0, which was completed in 1980. The
BLAST piogiam contains thiee main subpiogiams - which calculates the build-
ing`s space conditioning loads, - - which models the peifoimance and
contiol of the aii handling system to meet the pieviously calculated loads, and
which models the peifoimance and eneigy usage of the boileis, chilleis, and othei equipment that supply
the heating and cooling needed by the aii handling system. In iecent yeais, the Building System Laboiatoiy
has also developed a Windows-based giaphical inteiface, the - (HBLC),
which allows useis to visualize the building model as it is being developed. PC veisions of the BLAST
piogiam and HBLC aie both available fiom the BSL at the Univeisity of Illinois (e-mail addiess:
www.bso.uiuc.edu). As with DOE-2, new developments and cuiient infoimation about BLAST appeai
in the - - newslettei published quaiteily at LBNL.
DOE-2 and BLAST have both been maintained foi close to 20 yeais, and can be iegaided as matuie
softwaie pioducts if one accepts theii 1970s softwaie aichitectuie and modeling techniques.
Staiting in 1996, DOE began developing a new building simulation piogiam, EneigyPlus, with a coie
development team consisting of staff fiom LBNL, the Univeisity of Illinois BSL, and CERL, thus com-
bining the expeiience and expeitise of the oiiginal DOE-2 and BLAST development teams. In addition
to impioving the simulation techniques and capabilities, othei goals and chaiacteiistics of the EneigyPlus
piogiam aie
To cieate a modulai softwaie platfoim to facilitate futuie enhancements by othei ieseaicheis and
thus eliminate the bottleneck in softwaie development found with DOE-2 and BLAST due to theii
aicane stiuctuie and coding
To maintain EneigyPlus as a calculational engine and leave the development of usei-inteifaces to
thiid-paity piivate ventuies. As of 2001, two beta veisions of EneigyPlus weie to be ieleased to
inteiested ievieweis and a numbei of licensing agieements signed with potential inteiface developeis.
The following discussion of building eneigy simulation piogiams focuses on theii undeilying calcula-
tion techniques, input data iequiiements, and output vaiiables, using DOE-2 as an example. When talking
about DOE-2, we iefei to the oiiginal piogiam with its text-based batch input pioceduie. This is not
meant to downplay the benefts of commeicial giaphical inteifaces, but moie a ieection of the authoi`s
own expeiience; it also ieects moie diiectly the opeiations of the basic piogiam itself. Theie is no getting
aiound the fact that making a ciedible computei simulation of a laige building iequiies a sizeable amount
of infoimation and knowledge about building physics and opeiations, as well as equipment peifoimance
and contiols, that cannot be avoided. Each poition of this input infoimation may seem ieasonable to the
piofessionals in that discipline - the building geometiy and constiuction mateiials to the aichitects, the
HVAC equipment chaiacteiistics and opeiations to the mechanical engineei, the lighting schedules and
opeiating houis to the building manageis, the weathei data to the meteoiologist, etc. - but may
be diffcult when iequested of a single peison attempting to put togethei a DOE-2 computei input fle. A
giaphical usei inteiface may simplify this task by using ieady-made input templates, but useis should at
least be awaie of the iange of input assumptions that aie iequiied.
-
Despite many similaiities, theie aie some signifcant diffeiences between DOE-2 and BLAST. Both
piogiams simulate building eneigy use in sequential fashion, modeling fist the building`s heating and

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cooling loads, then the actions of the HVAC system to meet those loads, and fnally the actions of the
cential plant to piovide the eneigy iequiied by the system. DOE-2 adds a fuithei economics module
that calculates the cost of the consumed eneigy, which can be diffcult to do in places that have compli-
cated utility taiiffs. This sequential modeling appioach iesults in a weak coupling between the thiee
modeling steps and necessitates some simplifcations. Foi example, because the actual zone tempeiatuie
is calculated only in the systems subpiogiam, the loads calculations aie done using a constant zone
tempeiatuie and then adjusted using a steady state appioximation duiing the systems simulation.
Wheieas in the simplei degiee-day oi bin methods, the calculations aie done foi an aveiage oi a numbei
of aveiage conditions and then aggiegated to yeaily totals, in the houily simulation method the heat ows,
building conditions, system opeiations, etc. aie tiacked houi by houi thiough the entiie yeai. This includes
the houily vaiiations in heat conduction thiough the walls, ioof, windows, doois, and ooi, solai heat
gain on the walls and ioof and thiough the windows, convection due to aii infltiation thiough ciacks
and leaks in the building envelope, and inteinal heat gain fiom people, lights, and equipment.
To calculate heat conduction thiough building suifaces, both DOE-2 and BLAST use the tiansfei function
oi iesponse factoi technique, but in somewhat diffeient foimulations. This analytical technique was devel-
oped in the 1980s to model dynamic heat ow by chaiacteiizing it as a time seiies of theimal iesponses at
diffeient faces of a building suiface to a unit excitation at eithei the inside oi outside face, eithei a heat ux
pulse, as in DOE-2, oi a tempeiatuie pulse, as in BLAST. Once the tiansfei functions oi iesponse factois
foi a building suiface have been calculated, they aie then used to calculate the dynamic heat ows houi by
houi based on the vaiying excitations foi each houi. Tiansfei functions oi iesponse factois captuie the
effects of theimal mass in dampening heat ows thiough building stiuctuies. The impact of wind on
heat conduction is taken into account by vaiying the outside aii suiface coeffcient depending on the
wind speed shown in the weathei fle, with adjustments foi neighboihood wind shielding effects.
To calculate solai heat gain, houily simulation piogiams such as DOE-2 oi BLAST need to tiack the
position of the sun, the amount of diiect and diffuse solai iadiation, the oiientation of the building
suiface, the ielative position and size of shading suifaces such as oveihangs, fns, neighboiing buildings,
as well as self-shading fiom othei paits of the building, and in the case of windows, the tiansmission
chaiacteiistics of the glazing depending on the sun angle. To calculate convective heat ows due to
infltiation, vaiious models aie used to estimate the amount of aii leakage based on tempeiatuie diffei-
ences, wind speeds, and local shielding factois. To calculate inteinal heat gain, DOE-2 oi BLAST ielies
on usei input schedules, e.g., the numbei of people in a building depending on time of day and the day
type, eneigy intensities, e.g., the amount of sensible and latent heat gain pei peison, and, foi ceitain
types of equipment such as stoves oi boileis, the fiaction of heat gain that actually iemains in the space.
Peihaps the most substantial diffeience between DOE-2 and BLAST is in how the two piogiams calculate
the zone heating oi cooling loads. Aftei the heat ows to a zone have been deteimined, DOE-2 uses the
weighting factoi method to compute the zone`s cooling load. Weighting factois aie similai to iesponse
factois but ielate the theimal iesponse of an entiie space iathei than that of an individual building
suiface. BLAST, on the othei hand, uses a heat balance method that models the eneigy exchange between
all the suifaces making up the zone. The weighting factoi method is quickei but has the disadvantage
that the zone piopeities must be constant thioughout a simulation. Foi this ieason, DOE-2 has diffculty
in modeling stiategies that affect the zone piopeities, such as movable night insulation oi incieased
theimal coupling to the aii with ventilative cooling.
The DOE-2 piogiam was designed as a whole-building eneigy analysis piogiam foi laige commeicial
buildings but has been used to model anything fiom single-zone iesidential houses to laige skysciapeis
with up to 128 theimal zones, hundieds of suifaces, and dozens of schedules foi occupancy, equipment
use, and equipment contiols.
The DOE-2 -- subpiogiam has a libiaiy of 26 system types, each with an assumed confguiation
and default chaiacteiistics. These aie listed in Table 6.2.1. Diffeient pieces of HVAC equipment aie
modeled using two peifoimance cuives, one giving its full-load peifoimance (effciency oi coeffcient
of peifoimance) as a function of outdooi aii conditions, and the othei its pait-load peifoimance as a

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function of the pait-load iatio (fiaction of full-load opeiation duiing the houi). The peifoimance cuives,
as well as the contiol and opeiation of the confguied system, can be modifed by the usei, but the
modeling of innovative systems oi nonstandaid confguiations would iequiie changes to the oiiginal
souice code.
The DOE-2 subpiogiam models the peifoimance and opeiation of laige plant heating and
cooling equipment, including boileis; electiic, gas-fied, oi engine-diiven chilleis; cooling toweis; thei-
mal stoiage systems; electiic geneiatois; and the paiasitic eneigy use of pumps and fans. Like in the
-- subpiogiam, the full- and pait-load peifoimance of the plant equipment aie modeled using
vaiious cuives.
The DOE-2 - subpiogiam allow useis to input utility iate stiuctuies, fist costs, and main-
tenance and oveihaul costs in oidei to compute the opeiational costs, eneigy savings, investment statistics,
and oveiall life-cycle costs.
HVAC Systems Types Modeled in DOE-2
Code-Woid Desciiption of System
Single Supply Duct Types
SZRH Single-Zone Fan with Optional Sub-Zone Reheat
PSZ Packaged Single-Zone
SZCI Single-Zone Ceiling Induction
RHFS Constiucted Done, Reheat Fan System
VAVS Vaiiable Volume Fan
PIU Powei Induction Unit
PVAVS Packaged Vaiiable-Aii Volume
PVVT Packaged Vaiiable-Volume, Vaiiable-Tempeiatuie
PTGSD Packaged Total Gas Solid Desiccant
CBVAV Ceiling Bypass
EVAP-COOL Evapoiative Cooling
Aii Mixing Types
MZS Multi-Zone Fan
PMZS Packaged Multi-Zone Fan
DDS Dual Duct Fan
Teiminal Units
TPFC Two-Pipe Fan Coil
FPFC Foui-Pipe Fan Coil
TPIU Two-Pipe Induction Unit
FPIU Foui-Pipe Induction Unit
PTAC Packaged Teiminal Aii-Conditionei
HP Heat Pump
Residential
RESYS Residential
RESVVT Residential Vaiiable-Volume, Vaiiable-Temp
Heating Zone
FPH Flooi Panel Heating
HVSYS Heating and Ventilating
UHT Unit Heatei
UVT Unit Ventilatoi
Diagnostics
SUM Sum Zone Loads

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In teims of ability to model specifc heat ows, equipment types, oi contiol stiategies, in some cases
DOE-2 may be moie accuiate, while in othei cases BLAST might be moie accuiate. Tables 6.2.2, 6.2.3,
and 6.2.4 compaie a numbei of salient featuies and modeling capabilities of DOE-2, two veisions of
BLAST, and the new EneigyPlus piogiam.

DOE-2 consists of thiee sepaiate piogiams:
- an input piocessoi that ieads the input fle, checks foi syntax, logic, and data completeness,
supplies defaults when no input values aie given, computes iesponse factois and weighting factois,
and pioduces an output ASCII fle foi debugging; if no eiiois aie found, pioduces binaiy
fles used as input by -.
- - the main simulation piogiam that models the eneigy use of a building foi specifed iun-
peiiods of up to a yeai; - consists of foui subpiogiams that aie iun sequentially: LOADS,
SYSTEMS, PLANT, and ECONOMICS.
- a stand-alone weathei piocessing piogiam to conveit iaw weathei data into DOE-2`s
iequiied binaiy foimat.
A schematic of the DOE-2 piogiam is shown in Figuie 6.2.8. The left half of the fguie shows the
input piocessing in , while the iight half shows the simulation steps in - staiting at the top.
Foi each subpiogiam, i.e., LOADS, SYSTEMS, PLANT, and ECONOMICS, theie is a paiallel section in
the piocessoi. DOE-2 can be stopped aftei any of the subpiogiams. Conveisely, it can skip diiectly
to a latei subpiogiam if the output binaiy fles fiom the pievious subpiogiam have been saved.
-
Houily simulation piogiams iequiie detailed houily weathei data. Requiied aie 8760 houily obseivations,
at the minimum: diy-bulb tempeiatuie, wind speed, and diiect and diffuse solai iadiation. DOE-2 and
BLAST also iequiie some moistuie measuie, i.e., wet-bulb oi dewpoint tempeiatuie, absolute oi ielative
humidity, along with atmospheiic piessuie. Useful also aie wind diiection and sky covei. With one notable
exception, all these data aie iepoited at majoi aiipoit weathei stations. Measuied solai iadiation, howevei,
is available only fiom veiy few ieseaich sites, which, moieovei, tend not to be majoi uiban centeis. Foi
most sites, the only alteinative is to estimate the amount of solai iadiation based on the iepoited cloud
covei and sky conditions. Estimated solai iadiation on an annual basis compaies well, but houily values
can be off substantially.
Weathei data used in houily simulations can be categoiized as eithei typical oi actual yeai. Typical
yeai data aie likely to be available in the foimat needed by the individual simulation piogiams, eithei
fiom softwaie vendeis oi institutions maintaining the piogiams, while actual yeai data exist only in iaw
Compaiison of Geneial Featuies and Capabilities of DOE-2, BLAST, IBLAST, and EneigyPlus
DOE-2 BLAST IBLAST EneigyPlus
-
Integiated loads/system/plant
Iteiative solution
Tight coupling
No No Yes Yes

Usei-defned time step foi inteiaction between zones and enviionment
(15-minute default)
Vaiiable time step foi inteiactions between zone aii mass and HVAC
system (>1 minute)
No No Yes Yes
-
Usei can modify code with iepiogiamming
Yes No No Yes
-
Standaid iepoits
Usei-defnable iepoit with giaphics
No No No Yes
Fiom Ciawley, D.B. et al. (2000). With peimission.

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foim fiom aichival souices and must be piocessed into the foimats needed by the simulation piogiam.
Typical yeai weathei data aie useful foi evaluating expected building eneigy peifoimance oi complying
with building eneigy standaids, but actual yeai data must be used foi ieconciling actual eneigy con-
sumption iecoids.
Compaiison of Loads Featuies and Capabilities of DOE-2, BLAST, IBLAST, and EneigyPlus

Simultaneous calculation of iadiation and convection piocesses each
time step
No Yes Yes Yes

Dependent on tempeiatuie and aii ow
Inteinal theimal mass
No
Yes
Yes
Yes
Yes
Yes
Yes
Yes
- --
Combined heat and mass tiansfei in building envelopes
No No Yes Yes

Human comfoit model based on activity, inside diy-bulb, humidity,
and iadiation
No Yes Yes Yes
-
Sky iadiance depends on sun position foi bettei calculation of diffuse
solai on tilted suifaces
Yes No No Yes
- -
Contiollable window blinds
Electiochiomic glazing
Yes No No Yes

Moie than 200 window types - conventional, ieective, low-E, gas-
flled, electiochiomic
Usei defned using WINDOW 4
Yes Yes Yes Yes
-
Inteiioi illuminance fiom windows and skylights
Step, dimming, on/off luminaiie contiols
Glaie simulation and contiol
Effects of dimming on heating and cooling
Yes No No Yes
Compaiison of HVAC Featuies and Capabilities of DOE-2, BLAST, IBLAST, and EneigyPlus
-
Connect piimaiy equipment and coils
Hot watei, loops, chilled watei and condensei loops, iefiigeiant loops
No Yes Yes Yes
-
Connects fans, coils, mixing boxes, zones No No No Yes
-B -- No No No Yes
-- Yes Yes Yes No

Gas/electiic heateis, wall iadiatois
No Yes No Yes

Heated ooi/ceiling
Cooled ceiling
No No Yes Yes
-
CO2, SOx, NOx, CO, paiticulate mattei and hydiocaibon pioduction
On-site and at powei station
Calculate ieductions in gieenhouse gases
Yes Yes No Yes
No No No Yes
No No No Yes

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Typical yeai weathei fles attempt to iepiesent aveiage weathei conditions foi a location ovei many
yeais. These aie often a synthetic yeai made up of 12 actual but typical months, as in the TMY2 (Typical
Meteoiological Yeai, 2nd veision) fles pioduced by the National Renewable Eneigy Laboiatoiy (NREL,
e-mail addiess: www.niel.gov) foi 239 U.S. sites, oi the WYEC2 (Weathei Yeai foi Eneigy Calculations,
2nd veision) fles pioduced by the Ameiican Society of Heating, Refiigeiating, and Aii-Conditioning
Engineeis (ASHRAE, e-mail addiess: www.ashiae.oig) foi 55 U.S. and Canadian locations. Both the
TMY2 and WYEC2 weathei fles have houily solai iadiation data fiom diffeient cloud and sky models.
An oldei, now less commonly used, foim of typical yeai data aie the Test Refeience Yeai (TRY) fles,
available fiom the National Climatic Data Centei (NCDC, e-mail addiess: www.ncdc.noaa.gov) which
aie actual yeais chosen as the most iepiesentative foi neaily 60 U.S. locations. TRY weathei fles have no
solai iadiation data, only cloud covei infoimation. TRY data aie widely used in Euiope.
Actual yeai weathei data aie ioutinely available foi seveial hundied majoi aiipoits fiom the NCDC
going back many decades. These weathei fles also have no solai iadiation, which must be estimated fiom
the cloud and sky covei infoimation eithei by hand oi, moie typically, by the weathei piocessing utility
piogiams that accompany a simulation piogiam.
Staiting in 1997, a new pioblem has aiisen with U.S. and Canadian weathei data due to the decision
by the meteoiological authoiities, such as the National Weathei Seivice and the Fedeial Aviation Authoiity
in the U.S., to ieplace manual obseivations with Automated Suiface Obseiving Stations (ASOS). The
new ASOS weathei stations piomise moie consistent and ieliable weathei iecoidings, but these data lack
even the cloud and sky condition iecoids needed foi estimating solai iadiation. Consequently, until new
pioceduies oi additional instiumentation aie added that iecoid solai iadiation, the new ASOS weathei
data will not be usable in houily building eneigy simulations. The installation of ASOS in majoi U.S.
aiipoit locations was planned to be completed by the end of the yeai 2000.

The piimaiy inteiaction between the usei and DOE-2 is thiough a building input fle wiitten in DOE-
2`s Building Desciiption Language, oi BDL. BDL is a pseudo-English text-based input foimat consisting
of a DOE-2 keywoid followed by the usei input, which could be eithei numeiic, such as 10
oi 10 (the sign is optional), oi a usei-defned chaiactei name followed by a DOE-2 keywoid,
such as WEST_WALL . All DOE-2 input commands aie teiminated by a double
peiiod (..). Foi example, the inputs foi an example building wall in DOE-2 BDL is shown next (in English
units), with the DOE-2 keywoids indicated in italics:
Data ow in DOE-2. (Fiom Winkelmann, F. -K- -. With peimission.)

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STUCCO
0.073 0.4167 166 0.20 .
CONCRETE
0.633 0.80 144 0.14
EXT-WALL-LAY
MATERIALS (STUCCO, CONCRETE) ..
EXT-WALL-CON
EXT-WALL-LAY
WEST_WALL
10 35
10 120 0
EXT-WALL-LAY ..
The fist two inputs desciibe the theimal piopeities of stucco and conciete. The thiid composes these
two mateiials into a layei, which in tuin is iefeienced as a constiuction. The iemaining inputs desciibe
the dimensions of the wall, locates it in the building`s cooidinate system, and assigns it to the wall
constiuction just mentioned.
Figuie 6.2.9 shows a sample complete DOE-2 input fle foi a simple box-shaped house. Foi any DOE-2
simulation, the input fle has to defne not only the theimal chaiacteiistics and geometiical layout of the
physical building, but also the houi-by-houi vaiiations in the inteinal conditions and the opeiational
chaiacteiistics and contiol of the HVAC system and plant. Key input items include the inteinal loads oi
heat gains pioduced by occupants, lights, and equipment, the theimostat settings and schedules foi the
HVAC system, and its full-load and pait-load peifoimance.
It is not the intention of this discussion to explain the DOE-2 input fle in detail, but to give a geneial
sense of what inputs aie needed to do a DOE-2 simulation of a building. The $" indicates comments
which aie concluded with anothei $."
-
A DOE-2 simulation can pioduce moie than 20 veiifcation and neaily 50 diffeient output fles. The
veiifcation iepoits summaiize the input building paiameteis, such as the numbei, oiientation, aiea, and
U-values of walls and windows in the building, and useful piimaiily foi checking that the input data
have been coiiectly enteied.
The output fles in - give the peak and monthly heating and cooling loads of the building, and
theii bieakdown by building component oi heat ow path. Figuie 6.2.10 shows a sample - output
iepoit giving the peak heating and cooling loads of a building, while Figuie 6.2.11 shows the monthly
bieakdown of heating and cooling loads by building component. These loads aie appioximate, as they
aie calculated at an assumed constant zone tempeiatuie, and categoiized as heating whenevei theie is a
net heat loss fiom the building, and as cooling whenevei theie is a net heat gain to the building. These
loads beai only appioximate similaiity to the actual heating and cooling loads computed in the --
subpiogiam, which takes into account actual theimostat settings and deadband and fiee cooling thiough
economizeis oi natuial ventilation. These - iepoits, howevei, aie still useful in showing the ielative
magnitude of heat ows thiough diffeient paits of a building and identifying possible aieas of concein.
The output fles in -- give, among otheis, the design specifcations foi the space conditioning
system, the actual peak and seasonal heating and cooling loads imposed on the system, and the eneigy
used to meet these loads. If the building is modeled with a cential plant, most of the - loads will
be passed to the plant, and only eneigy used foi zone-level heating and cooling will appeai in the -
iepoits. Since the - simulation consideis only the zone- oi building-level loads, the load bieakdowns
by building component shown in the - iepoit do not appeai in the -- iepoits.
Figuie 6.2.12 shows a sample - iepoit listing the design paiameteis of the space conditioning
system. The capacities of the heating and cooling equipment and the fan system aie deteimined in one of
thiee ways - (1) specifed by the usei, (2) sized by DOE-2 based on design-day conditions specifed by
the usei, oi (3) sized by DOE-2 based on the peak loads fiom the - simulation. Because DOE-2 is a

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Sample DOE-2 input fle foi single-family house (pait 1).

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dynamic simulation that takes into account the building`s theimal ineitia and the noncoincidence of
peak load components, the design paiameteis fiom eithei the second oi thiid pioceduies tend to be
small compaied to those deiived fiom standaid engineeiing sizing calculations. Although iight sizing"
can lead to highei opeiational effciencies and capital cost savings, the designei should evaluate whethei
the building and weathei fles contain the appiopiiate design conditions. Theie is an optional input in
the - subpiogiam foi a SIZING-RATIO if a safety factoi is desiied.
Figuie 6.2.13 shows a sample - iepoit of the heating, cooling, and electiical loads by month, as
well as the monthly peak loads and the coincident outdooi aii conditions. In contiast to the appioximate
loads shown in the - iepoit, these aie the tiue heating and cooling loads being met by the system.
Since the example shown is foi a iesidential house, theie is no cential plant and the heating gas and
cooling electiicity eneigy uses appeai on a - iepoit shown in Figuie 6.2.14. Foi laige buildings with
cential plants, this - iepoit would show only the zone-level eneigy use, with additional output
iepoits showing the monthly and peak eneigy uses of plant equipment such as boileis, chilleis, cooling
toweis, and pumps.
Figuie 6.2.15 shows the summaiy BEPS (Building Eneigy Peifoimance Summaiy) iepoit that gives
the annual eneigy used by the building bioken down by majoi end uses. In addition to these summaiy
iepoits, DOE-2 also allows useis to select fiom seveial hundied houily vaiiables at the global and
subpiogiam levels and piint out houily iepoits foi a selected time peiiod in eithei ASCII oi binaiy

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foimat. These aie useful foi pioviding a detailed look at the eneigy peifoimance of the building, space-
conditioning system, oi contiol stiategy on an houily level. Foi example, Figuie 6.2.16 shows a plot of
houily DOE-2 iesults foi the conduction heat gains thiough the wall and window and the solai heat
gain thiough the window of a typical offce ioom ovei seveial days.

Because of the amount of and exibility in the input data needed to do an houily simulation with
piogiams such as DOE-2, it is diffcult to distinguish the accuiacy of the piogiam algoiithms fiom the
accuiacy of the input data. In typical engineeiing applications, as distinguished fiom a ieseaich pioject,
expeiienced useis aie able to achieve accuiacies of 10-12% in monthly peak demand, 8-10% in monthly
eneigy use, 10-15% in annual peak demand, and 3-5% in annual eneigy use foi laige commeicial
Loads output iepoit on peak load components.

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- -

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- -

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-- et al. - -"

Ed. Jan F. Kieidei

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buildings with suffcient infoimation on building conditions and utility bills. In an Inteinational Eneigy
Agency pioject that compaied the iesults fiom vaiious computei simulation piogiams to measuied
indooi tempeiatuies foi a well-monitoied test cell in the U.K., the simulated indooi tempeiatuies fiom
DOE-2 weie viitually identical to the measuied iesults (see Figuie 6.2.17).
In anothei pioject done at LBNL, DOE-2 simulations weie done foi seveial small unoccupied test
houses in the San Diego aiea that weie monitoied in detail ovei seveial summeis. The disciepancy in
indooi tempeiatuies was less than 0.3C on aveiage, and aiound 1C maximum. In geneial, it seems that
given suffcient time and effoit to gathei input paiameteis and calibiate (moie tiuthfully, adjust) the
building model, quite close agieements to measuied data can be achieved. Howevei, the same cannot be
said foi cases when theie is no measuied data foi compaiison. In such instances, theie can be substantial
disciepancies due to input eiiois, oi usei bias.
- -
As mentioned pieviously, since 1996 the U.S. Depaitment of Eneigy has been suppoiting the development
of a new building eneigy simulation piogiam, EneigyPlus, that aims to be an analysis platfoim foi the next
Houily plot of DOE-2 calculated conductive heat ows and solai heat gains in a typical noith-
facing offce module in Mexico City.
Compaiison of DOE-2 simulated and measuied zone tempeiatuies in an expeiimental test chambei
in the U.K. (Fiom Winkelmann, F. -K- -. With peimission.)

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Compaiison of DOE-2 simulated and measuied zone tempeiatuies in unoccupied test houses in
San Diego. (Fiom Winkelmann, F. and Meldem, R. (1995). With peimission.)

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decade oi moie. Figuies 6.2.19 and 6.2.20 illustiate the stiuctuie and calculation sequence of this new
simulation tool. A geneial desciiption of this new piogiam is given in an aiticle by Ciawley et al. (1999).
-
At the piesent time theie aie many diffeient methods foi analyzing eneigy use in buildings. In geneial,
the applications of these methods aie diiven by the motivation behind the investigation of a building`s
eneigy use, including ietioft eneigy savings analysis, diagnosing equipment malfunctions, eneigy audit-
ing indices, component effciency testing, and demand side management (DSM) evaluation. These
methods can be divided into two basic appioaches - foiwaid modeling and inveise modeling - with
a thiid appioach that iepiesents methods that contain aspects of both defnitions - foiwaid plus inveise
(Rabl, 1988; Rabl and Riahle, 1992). Foiwaid modeling was the subject of Sections 6.2.1 and 6.2.2.
In the inveise appioach, the analysis is conducted on the empiiical behavioi of the building as it ielates
to one oi moie diiving foices oi paiameteis. This appioach is iefeiied to as a system identifcation,
Oveiall stiuctuie of the EneigyPlus piogiam.
EneigyPlus integiated simulation managei. (Fiom Ciawley, D.B. et al. (2000). With peimission.)
Third- Party
User
Interfaces
Window
4.0
DayIighting
Ground HT
COMIS
SPARK
TRNSYS
Update
Feedback
Zone
Conditions
Heat and
Mass
Balance
Simulation
Building
Systems
Simulation
PV
Systems
PoIIution
ModeIs
Input Data (IDD and IDF)
Output Data (ODD and ODF)
Data
Energy PIus
SimuIation Manager
Data Data
Data
Data
Describe
BuiIding
DispIay
ResuIts
Data

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paiametei identifcation, oi - In the inveise modeling appioach, one assumes a stiuctuie
oi physical confguiation of the building oi system being studied and then attempts to identify the
impoitant paiameteis thiough the use of a statistical analysis (Rabl and Rialhe, 1992). In geneial, theie
aie two basic types of inveise models: steady state inveise models and dynamic inveise models. A thiid
categoiy, hybiid models, includes models that have chaiacteiistics of both foiwaid and inveise models.
Inveise modeling techniques have been successful in the following cases:
Identifying the eneigy savings fiom building ietiofts
Estimating the peifoimance of an existing building undei futuie weathei and occupancy condi-
tions
Piedicting houily (oi subhouily) loads and eneigy use levels foi optimal opeiation of HVAC
systems undei demand oi ieal time piicing utility iates
Constiucting a model of HVAC subsystems foi the optimal, adaptive contiol of that subsystem
Faulting diagnosis of HVAC systems
- -
The simplest foim of an inveise model is a - - - of a building`s eneigy use. The
simplest steady state inveise model can be calculated by statistically iegiessing monthly utility consump-
tion data against aveiage billing peiiod tempeiatuies. Although simple in concept, the most accuiate
methods use sophisticated change-point iegiession pioceduies that simultaneously solve foi seveial
paiameteis including a weathei independent base-level paiametei, one oi moie weathei dependent
paiameteis, and the point oi points at which the model switches fiom weathei dependent to weathei
independent dependent behavioi. In its simplest foim, the 65F (18.3C) degiee-day model is a change-
point model that has a B change point at 65F. Othei examples include the thiee- and fve-paiametei
Piinceton Scoiekeeping Methods
(PRISM) (Fels 1986) and a foui-paiametei model
(4P) developed by
Ruch and Claiidge (1991). An inveise bin method has also been pioposed to handle moie than foui
changepoints (Thamiseian and Habeil, 1995).
- -
Figuie 6.2.21 shows seveial types of steady state, single vaiiable inveise models. Figuie 6.2.21a shows a
simple one-paiametei, oi aveiage," model whose equation is given in the fist line of Table 6.2.5.
Figuie 6.2.21b shows a steady state two-paiametei (2P) model wheie
0
is the y-axis inteicept, and
1
is
the slope of the iegiession line foi positive values of x, wheie x iepiesents the ambient aii tempeiatuie.
The 2P model iepiesents cases when eithei heating oi cooling is always iequiied.
Figuie 6.2.21c shows a thiee-paiametei, change point model. This is typical of natuial gas eneigy use
in a single family iesidence that utilizes gas foi space heating and domestic watei heating. In the equation
in Table 6.2.5,
0
iepiesents the baseline eneigy use, and
1
is the slope of the iegiession line foi values
of ambient tempeiatuie less than the change point
2
. In this type of notation, the exponent (-) indicates
that only positive values of the paienthetical expiession aie consideied. Figuie 6.2.21d shows a thiee-
paiametei model foi cooling eneigy.
Figuies 6.2.21e and 6.2.21f illustiate foui-paiametei models foi heating and cooling, iespectively. In
a foui-paiametei model,
0
iepiesents the baseline eneigy exactly at the change point
3
.
1
and
2
aie
the lowei and uppei iegion iegiession slopes foi ambient aii tempeiatuie below and above the change
point
3
. Figuie 6.2.21g illustiates a fve-paiametei model (Fels, 1986). Such a model is useful foi
modeling buildings that aie electiically heated and cooled. The fve-paiametei model has two change
points and a base level consumption value as shown in the fnal equation in Table 6.2.5.
The thiee paiameteis include a weathei independent base-level use, a change-point, and a tempeiatuie dependent
paiametei oi slope of a line that is deteimined by iegiession.
The foui paiameteis include a change point, a slope above the change point, a slope below the change point,
and the eneigy use associated with the change point.

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The advantage of these simple steady state inveise models is that theii use can be easily automated
and applied to a laige numbeis of buildings wheie monthly utility billing data and aveiage daily tempeia-
tuies foi the billing peiiod aie available. Steady state inveise models can also be applied to daily data,
which allows one to compensate foi diffeiences in weekday and weekend use (Claiidge et al., 1992).
The disadvantages of the steady state inveise models include
An insensitivity to dynamic effects (i.e., theimal mass)
Insensitivity to vaiiables othei than tempeiatuie (foi example humidity and solai gain)
Inappiopiiateness foi ceitain building types, such as buildings that have stiong on/off schedule
dependent loads, oi buildings that display multiple change points. In such cases, alteinative models
must be used.
Steady state, single vaiiable models appiopiiate foi commeicial building eneigy use: (a) one-
paiametei model, (b) two-paiametei model shown foi cooling eneigy use, (c) thiee-paiametei heating eneigy use
model, (d) thiee-paiametei cooling eneigy use model, (e) foui-paiametei heating eneigy use model, (f) foui-
paiametei cooling eneigy use model, and (g) fve-paiametei heating and cooling model with sepaiate change points.

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- - -
Multiple iegiession techniques allow the analyst to investigate the inuence of moie than one independent
vaiiable (such as outdooi aii tempeiatuie and humidity, solai iadiation, and indicatois of scheduling)
on a iesponse vaiiable (such as building eneigy use). The foim of the geneial lineai iegiession model is

0

1
1

2
2
W

wheie is the iesponse vaiiable;
1
,

2
,

.

aie the independent vaiiables;

0
,
1
,
2
, .,
aie the
p iegiession paiameteis; and is the eiioi teim. When 2, the iesponse suiface is a plane. When > 2,
the iesponse suiface is called a hypeiplane.
Inteiactions between independent vaiiables can be consideied by using the pioduct of two independent
vaiiables. Cuivatuie in the iesponse suiface can be intioduced thiough the use of independent polynomial
vaiiables. The equation below demonstiates a model with two independent vaiiables, each in quadiatic
foim, with an inteiaction teim:

0

1
1

2
1
2

3
2

4
2
2

5
2

The choice of the model should be guided by the analyst`s undeistanding of the physical system and
its expected iesponse. Seveial standaid statistical tests exist foi evaluating the goodness-of-ft of the model
and the degiee of inuence that each of the independent vaiiables exeits on the iesponse vaiiable (Diapei
and Smith, 1981; Netei et al., 1989).
When modeling building eneigy use data, the independent vaiiables aie often lineaily coiielated with
each othei (as in the case of outdooi aii tempeiatuie, humidity, and solai iadiation). When multi-
colineaiity exists, the iegiession coeffcients may not indicate the ielative impoitance of the independent
vaiiables. In addition, the unceitainties of the estimates of the iegiession paiameteis (iepoited as the
standaid eiioi of each paiametei estimate) may be so laige that the model`s usefulness foi piediction
puiposes is compiised.
- - O -
Moie advanced foims of inveise models include - - Examples of dynamic inveise
models include equivalent theimal netwoik analysis (Sondeieggei, 1977;), ARMA models (Subbaiao,
1990; Reddy, 1989), Fouiiei seiies models (Dhai et al., 1995), and aitifcial neuial netwoiks (Kieidei and
Change Point (CP) Model Equations

0
(aveiage model)

0

1
(single CP model)
E

0
-
1
(
2
P )
-
(double CP model - heating)

0

1
( P
2
)
(double CP model - cooling)

0

1
3
P )
-
P
2
( P
3
)
-
(tiiple CP model - heating)

0
P
1
(
3
P )
-

2
( P
3
)
-
(tiiple CP model - cooling

0
P
1
(
3
P )
-

2
( P
4
)
-
(fve-paiametei model - cooling)

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Wang, 1991; Kieidei and Habeil, 1994). Neuial netwoiks seem to hold consideiable piomise among
those listed and aie desciibed in detail below.
The use of the teim iefeis to the fact that these models aie capable of captuiing dynamic
effects, such as mass dynamics, which tiaditionally have iequiied the solution of a set of diffeiential
equations. These models aie bettei suited foi handling inteicoiielated foicing functions oi independent
paiameteis. The advantages of dynamic inveise models include the ability to model complex systems
which aie dependent on moie than one independent paiametei. The disadvantages of dynamic inveise
models include theii incieasing complexity and the need foi moie detailed measuiements to tune" the
model. Unlike steady state inveise models, dynamic inveise models usually iequiie a high degiee of usei
inteiaction and knowledge of the building oi system being modeled.
-
An aitifcial neuial netwoik is a massively paiallel, dynamic system of inteiconnected, inteiacting paits
based loosely on some aspects of the biain. Neuial netwoiks aie consideied to be intuitive because they
leain by example iathei than by following piogiammed iules. The ability to leain" is one of the key
aspects of neuial netwoiks. A neuial netwoik consists of seveial layeis of neuions that aie connected to
each othei. A is a unique infoimation tianspoit link fiom one sending neuion to one ieceiving
neuion. The stiuctuie of pait of an NN is schematically shown in Figuie 6.2.22. Any numbei of input,
output, and hidden layei (only one hidden layei is shown) neuions can be used. One of the challenges
of this technology is to constiuct a net with suffcient complexity to leain accuiately without imposing
a buiden of excessive computational time.
The neuion is the fundamental building block of a neuial netwoik. A set of inputs is applied to each.
Each element of the input set is multiplied by a weight, indicated by the in Figuie 6.2.22, and the
pioducts aie summed at the neuion. The symbol foi the summation of weighted inputs is teimed
and must be calculated foi each neuion in the netwoik. In equation foim, this piocess foi one neuion is
wheie
aie inputs to a neuion, i.e., outputs of the pievious layei

aie weights, and
aie the biases.
Schematic diagiam of a neuial netwoik showing input layei, hidden layeis, and output along with
taiget tiaining values. Hidden and output layeis consist of connected neuions; the input layei does not contain neuions.
B
B
B
B
B
B
NPUT LAYER HDDEN LAYER OUTPUT LAYER
ERROR
ERROR
ERROR
NPUT
NPUT
NPUT
W
W
W
1
1
2
m
2
m
1 1
1m
OUT
OUT
OUT
1
2
W
12
m
i j k
22
TARGET
TARGET
TARGET
2
m
B
B
B
B
B
B
NPUT LAYER HDDEN LAYER OUTPUT LAYER
ERROR
ERROR
ERROR
NPUT
NPUT
NPUT
W
W
W
1
1
2
m
2
m
1 1
1m
OUT
OUT
OUT
1
2
W
12
m
i j k
22
TARGET
TARGET
TARGET
1
2
m
INPUT O
i
W
i
B +
i
=

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Aftei

is calculated, an activation function

is applied to modify it, theieby pioducing the
neuion`s output as desciibed shoitly.
Aitifcial netwoiks have been tiained by a wide vaiiety of methods (McClelland and Rumelhait, 1988;
Wasseiman, 1989). Back-piopagation is one systematic method foi tiaining multilayei neuial netwoiks.
The weights of a net aie initiated with small iandom numbeis. The objective of tiaining the netwoik is
to adjust the weights iteiatively so that application of a set of inputs pioduces the desiied set of outputs
matching a tiaining data set. Usually a netwoik is tiained with a data set that consists of many input-
output paiis; these data aie called a tiaining set. Tiaining the net using back-piopagation iequiies the
following steps:
1. Select a tiaining paii fiom the tiaining set and apply the input vectoi to the netwoik input layei.
2. Calculate the output of the netwoik,

.
3. Calculate the eiioi

between the netwoik output and the desiied output (the taiget vectoi
fiom the tiaining paii).
4. Adjust the weights of the netwoik in a way that minimizes the eiioi.
5. Repeat steps 1 thiough 4 foi each vectoi in the tiaining set until the eiioi foi the entiie set is
lowei than the usei specifed, pieset tiaining toleiance.
Steps 1 and 2 aie the

--

. The following expiession desciibes the calculation piocess in which
an activation function

is applied to the weighted sum of inputs

:
wheie

is the activation function, and

is the bias of each neuion.
A common activation function is the sigmoid function
A sigmoid function is shown in Figuie 6.2.23. It has a value of 0.0 when

is a laige negative
numbei and a value of 1.0 foi laige and positive

, making a smooth tiansition between these
limiting values. The bias

is the activation thieshold foi each neuion. The bias avoids the tendency of
a sigmoid function to get stuck" in the satuiated, limiting value aiea.
Steps 3 and 4 above compiise the

- --

in which the delta iule (McClelland and Rumelhait,
1988) is used as follows. Foi each neuion in the output layei, the pievious weight

is adjusted to a
new value

to ieduce the eiioi by the following iule:

Sigmoid function used to piocess the weighted sum of netwoik inputs.
F F O
i
W
i
B + = =
F
1
1 e
-
+


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( - 1) () - ( )
wheie is the pievious value of a weight
is the weight aftei adjusting
is the tiaining iate coeffcient
is calculated fiom
in which (see Figuie 6.2.22) is the tiaining set taiget value. This method of coiiecting weights
bases the magnitude of the coiiection on the eiioi itself.
Of couise, hidden layeis have no taiget vectoi; theiefoie, back-piopagation tiains these layeis by
piopagating the output eiioi back thiough the netwoik layei by layei, adjusting weights at each layei.
The delta iule adjustment is calculated fiom
This oveiall method of adjusting weights belongs to the geneial class of steepest descent algoiithms.
The weights and bias aftei tiaining contain meaningful system infoimation; befoie tiaining the initial,
iandom biases and iandom weights have no physical meaning.
- - O -
This section desciibes a numbei of applications of NNs to iesidential and commeicial building systems.
Two eneigy piediction cases aie piesented and one commeicial building contiol demonstiation is
included. Anstett and Kieidei (1993), Kieidei and Wang (1991), and Wang and Kieidei (1992) iepoit
additional case studies.
- O Theie aie a numbei of ieasons that an NN piediction of building eneigy use
has been found to be useful in commeicial buildings; among them aie
Piediction of what a piopeily opeiating building should be doing compaied to actual opeiation
- if theie is a diffeience, it can be used in an expeit system to pioduce eaily diagnoses of building
opeiation pioblems.
Piediction of what a building, piioi to an eneigy ietioft, would have consumed undei piesent
conditions - when compaied to the measuied consumption of the ietioftted building, the
diffeience iepiesents a good estimate of the eneigy savings due to the ietioft. This iepiesents one
of the few ways that actual eneigy savings can be deteimined aftei the pie-ietioft building
confguiation has ceased to exist.
Figuie 6.2.24 shows iesults typical of seveial hundied netwoiks constiucted on a numbei of com-
meicial buildings. This building is an academic engineeiing centei located in cential Texas. The cooling
load is cieated by solai gains, inteinal (fiee") gains, outdooi aii sensible heat, and outdooi aii humidity
loads. The NN is used to piedict the pie-ietioft eneigy consumption foi compaiison with measuied
consumption of the ietioftted building. Six months of pie-ietioft data weie available with which to
tiain a netwoik.
The known building consumption data aie shown in the fguie by the solid line while the NN
piedictions aie shown by the dashes. The fguie shows that NNs tiained foi one peiiod (heie, Septembei
1989) can piedict eneigy consumption well into the futuie (Januaiy 1990).
The netwoik used foi this piediction has two hidden layeis. The input layei contains eight neuions
that ieceive eight diffeient types of input data as listed below. The output layei consists of one neuion
that gives the output datum (chilled watei consumption). Each tiaining fact (i.e., tiaining data set),
INPUT
OUT
-------------------- TARGET OUT P OUT 1 OUT P TARGET OUT P = =
j
OUT 1 OUT P
j 1 +
W
j 1 +
=

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theiefoie, contains eight input data (independent vaiiables) and one pattein datum (dependent vaiiable).
The eight houily input data used in each houi`s data vectoi weie selected on physical bases (Kieidei,
Rabl and Cuitiss, 2001) as follows:
Houi numbei (0-2300)
Ambient diy-bulb tempeiatuie
Hoiizontal insolation
Humidity iatio
Wind speed
Weekday/weekend binaiy ag (0,1)
Past houi`s chilled watei consumption
Second past houi`s chilled watei consumption
These easily measuied independent vaiiables weie able to piedict the chilled watei use to an RMS
eiioi of less than 4% (JCEM, 1992a, 1992b, 1992c).
The choice of an optimal netwoik`s confguiation foi a given pioblem iemains an ait. The numbei of
hidden neuions and layeis must be suffcient to meet the iequiiement of the given application. Howevei,
if too many neuions and layeis aie employed, the netwoik becomes biittle" and tends to memoiize data
iathei than leaining, that is, fnding the undeilying patteins within the data. Fuithei, choosing an
excessively laige numbei of hidden layeis signifcantly incieases the iequiied tiaining time foi ceitain
leaining algoiithms.
The eiioi and tiaining time aie two impoitant tiaining ciiteiia. One measuie of the accuiacy of a
netwoik piediction is the ioot mean squaie eiioi defned as
wheie the netwoik output and taiget aie both noimalized befoie tiaining to the closed
inteival 0-1]. The RMS eiioi is dimensionless.
NN piediction of whole building, houily chilled watei consumption, foi example, commeicial building.
RMSE
OUT TARGET P
N
----------------------------------------------------
0.5
=

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- - O Neuial netwoiks also have been applied to iesidential buildings. Figuie 6.2.25
shows a typical piediction foi a building in Vaiese, Italy. Houily data collected by the Joint Reseaich
Centei of the Euiopean Community included outdooi tempeiatuie and insolation, indooi tempeiatuie
and heating eneigy consumption. The weathei data and time infoimation (houi of day, day of yeai) weie
used to make the piedictions shown in the fguie. It is seen that the diuinal patteins of heating eneigy
usage aie piedicted well by the NN model.
- -
The piincipal applications of inveise models appeai to be in the following aieas:
Evaluation of eneigy conseivation piogiams
Piescieening indices foi eneigy auditing
Building eneigy management
Optimal contiol
- chaiacteiization of HVAC
In each of these applications both steady state and dynamic inveise models have been applied. In
geneial, steady state inveise models aie used with monthly and daily data containing one oi moie
independent vaiiables. Dynamic inveise models aie usually used with houily oi sub-houily data in cases
wheie the theimal mass of a building is signifcant enough to delay the heat gains oi losses.
- -
Aside fiom simply iegiessing eneigy use against tempeiatuie (e.g., often a two-paiametei model with a
slope and y-axis inteicept), othei widely-used steady state inveise methods foi the evaluation of eneigy
conseivation ietiofts include thiee-, foui- and fve-paiametei change points models pieviously desciibed
(Fels, 1986; Ruch and Claiidge, 1993). Such models have been shown to be useful foi statistically
deteimining aveiage weathei dependent and weathei independent eneigy use foi buildings. Thiee-
paiametei change point models can yield baseline eneigy use, the tempeiatuie at which weathei depen-
dent eneigy use begins to inciease eneigy use above the baseline (i.e., the change point), and the lineai
slope of the tempeiatuie dependency above (cooling model) oi below (heating model) the tempeiatuie
change point.
NN piediction of iesidential heating eneigy foi the fist six weeks of 1989.

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The existence of a change point in heating oi cooling data that is plotted against ambient tempeiatuie
can be physically justifed since most HVAC systems use a theimostat that tuins systems on oi off above
oi below a setpoint tempeiatuie. Change point iegiessions woik best with heating data fiom buildings
with systems that have few oi no pait-load nonlineaiities (i.e., systems that become less effcient as they
begin to cycle on-off with pait-loads). In geneial change point iegiessions foi cooling loads exhibit less
of a good ft because of changes in outdooi humidity which inuence latent coil loads. Othei factois
that deciease the goodness of ft of change point models include solai effects, theimal lags, and on-off
HVAC schedules. In buildings with continuous, yeai-iound cooling oi heating, foui-paiametei models
exhibit a bettei statistical ft ovei thiee-paiametei models (i.e., gioceiy stoies and offce buildings with
high inteinal loads). Howevei, iesults of eveiy modeling effoit should be inspected foi ieasonableness
(i.e., make suie that the iegiession is not falsely indicating an unieasonable ielationship).
One of the main advantages of using a steady state inveise model to evaluate the effectiveness of eneigy
conseivation ietiofts lies in its ability to factoi out yeai-to-yeai weathei vaiiations. This can be accom-
plished by using a Noimalized Annual Consumption oi NAC (Fels, 1986). Basically, once the iegiession
paiameteis have been calculated foi both pie-ietioft and post-ietioft peiiods, the annual eneigy con-
seivation savings can be calculated by compaiing the diffeience one obtains by multiplying the pie-
ietioft and post-ietioft paiameteis by the weathei conditions foi the aveiage yeai. Typically, ten to
twenty yeais of aveiage daily weathei data fiom a neaiby National Weathei Seivice site aie used to
calculate 365 days of aveiage weathei conditions which aie then used to calculate the aveiage pie-ietioft
and post ietioft conditions.

Steady state and dynamic inveise models can be used by eneigy management and contiol systems to
piedict eneigy use (Kieidei and Habeil, 1994). Houily oi daily compaiisons of measuied eneigy use
against piedicted eneigy use can be used to deteimine if systems aie being left on unnecessaiily oi aie
in need of maintenance. Combinations of piedicted eneigy use and a knowledge-based system have been
shown to be capable of indicating above noimal eneigy use and diagnosing the possible cause of the
malfunction if suffcient histoiical infoimation about malfunction signatuies has been pieviously gath-
eied (Habeil and Claiidge, 1987). Houily systems that utilize aitifcial neuial netwoiks have also been
constiucted (Kieidei and Wang, 1991).

Foiwaid plus inveise models oi hybiid models encompass eveiything that does not neatly ft into the
exact defnition of foiwaid oi inveise models. Foi example, when a tiaditional fxed-schematic simulation
piogiam such as DOE-2 oi BLAST (oi even a component based model) is used to simulate the eneigy
use of an existing building, then one has a analysis method that is being used in an -
application, i.e., the foiwaid simulation model is being calibiated oi ft to the actual eneigy consumption
data fiom a building in much the same way that one fts a lineai iegiession of eneigy use to tempeiatuie.
Such an application is a .
Although at fist this might appeai to be a simple piocess, theie aie seveial piactical diffculties in
achieving a calibiated simulation," including the measuiement and adaptation of weathei data foi use
by the simulation piogiams (i.e., conveiting global hoiizontal solai into beam and diffuse solai iadiation),
the choice of methods used to calibiate the model, and the choice of methods used to measuie the
iequiied input paiameteis foi the simulation (i.e., the weight of the building, infltiation coeffcients,
and shading coeffcients). In the scientifc sense, tiuly calibiated" models have been achieved only in
veiy few applications since they iequiie a veiy laige numbei of input paiameteis, a high degiee of
expeitise, and enoimous amounts of computing time, patience, and fnancial iesouices - much moie
than most piactical applications would allow. Howevei, examples exist in the liteiatuie of diffeient
methods employed to calibiate simulation models, including Bionson et al. (1992), Habeil et al. (1995),
Kaplan et al. (1990), Coison (1992), Bou Saada and Habeil (1995a, 1995b), and Hsieh (1988).

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--B -
In Table 6.2.6 diffeient methods of analyzing building eneigy use aie classifed using an expanded veision
of Rabl`s defnitions (Rabl, 1988). Simple lineai iegiession and multiple lineai iegiession aie the most
widely used foims of inveise analysis. In the piopei application, multiple lineai iegiession must ade-
quately addiess inteicoiielations among the independent paiameteis as discussed above.

Table 6.2.7 piesents a decision diagiam foi selecting an inveise model wheie usage of the model (diag-
nostics - D, eneigy savings calculations - ES, design - DE, and contiol - C), degiee of diffculty in
undeistanding and applying the model, time scale foi the data used by the model (houily - H, daily
- D, monthly - M, and subhouily - S), calculation time, and input vaiiables used by the models
(tempeiatuie - T, humidity - H, solai - S, wind - W, time - t, theimal mass - tm) aie the ciiteiia
used to deteimine the choice of a paiticulai model.
Classifcation of Methods foi the Theimal Analysis of Buildings
Method Foiwaid Inveise Hybiid Comments:
Steady State Methods
Simple lineai iegiession X One dependent paiametei, one independent
paiametei. May have slope and y-inteicept.
Multiple lineai iegiession X X One dependent paiametei, multiple
independent paiameteis.
Modifed degiee-day method X Based on fxed iefeience tempeiatuie of 65F.
Vaiiable base degiee-day method X Vaiiable iefeience tempeiatuies.
ASHRAE bin method and inveise bin
method
X X X Houis in tempeiatuie bin times load foi that
bin.
Change point models: 3-paiametei
(PRISM CO, HO), 4-paiametei,
5-paiametei (PRISM HC).
X X Uses daily oi monthly utility billing data and
aveiage peiiod tempeiatuies.
ASHRAE TC 4.7 modifed bin method X X Modifed bin method with cooling load factois.
Dynamic Methods
Theimal netwoik (Sondeieggei, 1977) X X X Uses equivalent theimal paiameteis (inveise
mode).
Response factois (Stephenson and
Mitalas, 1967)
X Tabulated oi as used in simulation piogiams.
Fouiiei Analysis
(Shuicliff, 1984; Dhai, 1995)
X X X Fiequency domain analysis conveitible to time
domain.
ARMA Model
(Subbaiao, 1986)
X Autoiegiessive Moving Aveiage model.
ARMA Model
(Reddy, 1989)
X Multiple-input autoiegiessive moving aveiage
model.
BEVA, PSTAR
(Subbaiao, 1986)
X X X Combination of ARMA and Fouiiei seiies,
includes loads in time domain.
Modal analysis
(Bacot et al., 1984)
X X X Bldg. desciibed by diagonalized diffeiential
equation using nodes.
Diffeiential equation
(Rabl, 1988)
X Analytical lineai diffeiential equation.
Computei simulation
(DOE-2, BLAST)
X X Houily simulation piogiams with system
models.
Computei emulation
(HVACSIM-, TRNSYS)
X X Sub-houily simulation piogiams.
Aitifcial neuial netwoiks
(Kieidei and Wang, 1991; Kieidei,
1992; Kieidei and Habeil, 1994)
X X Connectionist models.

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-
Anstett, M. and J.F. Kieidei, (1993). Application of Aitifcial Neuial Netwoiks to Commeicial Building
Eneigy Use Piediction, -, 99, (Pait. 1), 505-517.
Bacot, P., A. Neveu, and J. Sicaid, (1984). Analyse Modale Des Phenomnes Theimiques en Regime
Vaiiable Dans le Batiment, , No. 267, 189.
Bou Saada, T. and J. Habeil, (1995a). A Weathei-Daytyping Pioceduie foi Disaggiegating Houily
End-Use Loads in an Electiically Heated and Cooled Building fiom Whole-Building Houily Data,
, 349-356.
Bou Saada, T., and J. Habeil, (1995b). An Impioved Pioceduie foi Developing Calibiated Houily Sim-
ulation Models, --.
Bionson, D., S. Hinchey, J. Habeil, and D. O`Neal, (1992). A Pioceduie foi Calibiating the DOE-2 Simulation
Piogiam to Non-Weathei Dependent Loads, 1992 -, 98 (Pait 1), 636-652.
Claike, J.A., (1985). -, Adam Hilgei Ltd., Boston, MA.
Claiidge, D.E., M. Kiaiti, and M. Bida, (1987). A Validation Study of Vaiiable-Base Degiee-Day Cooling
Calculations, -, 93(2), 90-104.
Claiidge, D.E., J.S. Habeil, R. Spaiks, R. Lopez, and K. Kissock, (1992). Monitoied Commeicial Building
Eneigy Data: Repoiting the Results. -, 98 (Pait 1), 636-652.
Claik, D.R., (1985). --
NBSIR 84-2996, U. S. Depaitment of Commeice, Washington, D.C.
Cole, R.J., (1976). The Longwave Radiation Incident Upon the Exteinal Suiface of Buildings.
- , 44, 195-206.
Coopei, K.W. and D.R. Tiee, (1973). A Re-evaluation of the Aveiage Convection Coeffcient foi Flow
Past a Wall. -, 79, 48-51.
Coison, G.C. (1992). Input-Output Sensitivity of Building Eneigy Simulations, -, 98
(Pait 1), 618.
Ciawley, D.B. et al., (1999). EneigyPlus: a New Geneiation Building Eneigy Simulation Piogiam, in
- -- - , Apiil
11-15, 1999, Lahaina, Maui, Hawaii.
Ciawley, D.B. et al., (2000). EneigyPlus: Eneigy simulation piogiam, , Apiil.
Decision Diagiam foi Selection of Inveise Models
Method Usage
a
Diffculty
Time
b
Scale Calc. Time Vaiiables
c
Accuiacy
Simple lineai iegiession ES Simple D,M Veiy Fast T Low
Multiple lineai iegiession D,ES Modeiate D,M Fast T,H,S,W,t Medium
ASHRAE bin method and inveise bin
method
ES Modeiate H Fast T Medium
Change point models. D,ES Modeiate H,D,M Fast T Medium
ASHRAE TC 4.7 modifed bin method ES,DE Modeiate H Medium T,S,tm Medium
Theimal netwoik D,ES,C Complex S,H Fast T,S,tm High
Fouiiei Seiies Analysis D,ES,C Complex S,H Medium T,H,S,W,t,tm High
ARMA Model D,ES,C Complex S,H Medium T,H,S,W,t,tm High
Modal analysis D,ES,C Complex S,H Medium T,H,S,W,t,tm High
Diffeiential equation D,ES,C Veiy Complex S,H Fast T,H,S,W,t,tm High
Computei Simulation
(Component-based)
D,ES,C,
DE
Veiy Complex S,H Slow T,H,S,W,t,tm Medium
Computei simulation
(Fixed schematic)
D,ES,DE Veiy Complex H Slow T,H,S,W,t,tm Medium
Computei emulation D,C Veiy Complex S,H Veiy Slow T,H,S,W,t,tm High
Aitifcial Neuial Netwoiks D,ES,C Complex S,H Fast T,H,S,W,t,tm High
a
Usage shown includes diagnostics (D), eneigy savings calculations (ES), design (DE), and contiol (C).
b
Time scales shown aie houily (H), daily (D), monthly (M), and subhouily (S).
c
Vaiiables include tempeiatuie (T), humidity (H), solai (S), wind (W), time (t), theimal mass (tm).

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Diapei, N. and H. Smith, (1981). -- --, 2nd edition, John Wiley & Sons, New Yoik, NY.
Davies, M.G., (1988). Design Models to Handle Radiative and Convective Exchange in a Room.
-, 94 (Pait. 2), 173-195.
Eibs, D. G., S. A. Klein, and W. A. Beckman, (1983). Estimation of Degiee-Days and Ambient Tempeiatuie
Bin Data fiom Monthly-Aveiage Tempeiatuies. 25(6), 60.
Fels, M., Ed. (1986). Measuiing Eneigy Savings: The Scoiekeeping Appioach, -, vol. 9.
Fels, M. and M. Goldbeig, (1986). Refiaction of PRISM Results in Components of Saved Eneigy,
-, 9:169.
Habeil, J.S. and P. Komoi, (1990b). Impioving Commeicial Building Eneigy Audits: How Daily and
Houily Data Can Help, , 32 (9), 26-36.
Habeil, J.S., D. Bionson, D. O`Neal, (1993). An Evaluation of the Impact of Using Measuied Weathei
Data Veisus TMY Weathei Data in a DOE-2 Simulation of an Existing Building in Cential Texas.
-.
Habeil, J.S. and D.E. Claiidge, (1987). An Expeit System foi Building Eneigy Consumption Analysis:
Piototype Results, -, 93 (Pait. 1), 979-998.
Huang, Y.J. et al., (1984), Home Eneigy Rating Systems: Sample Appioval Methodology foi Two Tools,
LBL-18669, Lawience Beikely Laboiatoiy, Beikeley, CA.
Joint Centei foi Eneigy Management, (1992). B -
. Repoit No. TR/92/10, June.
. Repoit No. TR/92/11, June.
. Repoit No. TR/92/15, Septembei.
Kaplan, M., J. McFeiian, J. Jansen, and R. Piatt, (1990). Reconciliation of a DOE2.1c Model with
Monitoied End-Use Data Fiom a Small Offce Building, -, 96, (Pait 1), 981.
Katipamula, S. and D.E. Claiidge, (1993). Use of Simplifed Models to Measuie Retioft Eneigy Savings,
, 115, 77-84.
Kieidei, J.F. and X.A. Wang, (1992). Impioved Aitifcial Neuial Netwoiks foi Commeicial Building Eneigy
Use Piediction, 92, 361-366, ASME, New Yoik.
Kieidei, J.F. and J.S. Habeil, (1994). Piedicting Houily Building Eneigy Usage: The Gieat Piedictoi Shootout
- Oveiview and Discussion of Results, -.
Kieidei, J.F., A. Rabl, and P.S. Cuitiss, (1994). -: - B,
McGiaw-Hill, New Yoik, 890.
Kieidei, J.F. and X.A. Wang, (1991). Aitifcial Neuial Netwoiks Demonstiation foi Automated Geneiation
of Eneigy Use Piedictois foi Commeicial Buildings. -, 97, (Pait 1).
Liu, M., and D. Claiidge, (1995). Application of Calibiated HVAC System Models to Identify Component
Malfunctions and To Optimize the Opeiation and Contiol Stiategies,
, 1, 209-218.
MacDonald, J.M. and D.M. Wasseiman, (1989). - -- -
-, ORNL Rept., ORNL/CON-279, May.
McClelland, J. L. and D. E. Rumelhait, (1988). - --. MIT Piess,
Cambiidge, MA.
Netei, J., W. Wasseiman, and M. Kutnei, (1989). -- -, 2nd edition, Richaid
C. Iiwin, Inc., Homewood, IL.
Rabl, A. (1988). Paiametei Estimation in Buildings: Methods foi Dynamic Analysis of Measuied Eneigy
Use, , 110, 52-66.
Rabl, A., A. Riahle, (1992). Eneigy Signatuie Model foi Commeicial Buildings: Test With Measuied Data
and Inteipietation, -, 19, 143-154.
Reddy, T., (1989). Application of Dynamic Building Inveise Models to Thiee Occupied Residences
Monitoied Non-Intiusively, - - ,
ASHRAE/DOE/BTECC/CIBSE.

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Reddy, T. and D. Claiidge, (1994). Using Synthetic Data to Evaluate Multiple Regiession and Piinciple
Component Analyses foi Statistical Modeling of Daily Building Eneigy Consumption,
-. 24, 35-44.
Ruch, D., L. Chen, J. Habeil, and D. Claiidge, (1993). A Change-Point Piincipal Component Analysis
(CP/PCA) Method foi Piedicting Eneigy Usage in Commeicial Buildings: The PCA Model,
, 115, No. 2, May.
Ruch, D., and D. Claiidge, (1991). A Foui Paiametei Change-Point model foi Piedicting Eneigy Consump-
tion in Commeicial Buildings, , 433-440.
Sondeieggei, R.C., (1977). Dynamic Models of House Heating Based on Equivalent Theimal paiameteis,
Ph.D. Thesis, Centei foi Eneigy and Enviionmental Studies Repoit No. 57, Piinceton Univeisity,
Piinceton, NJ.
Thamilseian, S and J. Habeil, (1995). A Bin Method foi Calculating Eneigy Conseivation Retioft Savings
in Commeicial Buildings, , 111-124.
U.S. Aii Foice, (1978). AFM 88-29, U.S. Goveinment Piinting
Offce, Washington, D.C.
U.S. Aimy, (1979). - -- - - O --
. U.S. Aimy Constiuction Engineeiing Reseaich Laboiatoiy Repoit E-153.
U.S. Depaitment of Eneigy, (1981). - . Los Alamos Scientifc Laboiatoiy
Repoit LA-7689-M, Veision 2.1A. Lawience Beikeley Laboiatoiy, Repoit LBL -8706 Rev. 2.
Wang, X.A. and J.F. Kieidei, (1992). Impioved Aitifcial Neuial Netwoiks foi Commeicial Building Eneigy
Use Piediction, .
Wasseiman, P.D., (1989). . Van Nostiand Reinhold, New Yoik, NY.
Winkelmann, F. and Meldem, R., Compaiison of DOE-2 with measuiements in the Pala Test Houses,
, July 1995.
Yuill, G.K., (1990). - - -
Ameiican Society of Heating, Refiigeiating, and Aii-Conditioning Engineeis,
Inc., Atlanta, GA.
- -

The building sectoi is an impoitant pait of the eneigy pictuie. In the United States about 40% of all U.S.
eneigy expenses aie attiibutable to buildings. While buildings may consume about one-thiid of the fuel
iesouices in the countiy, they consume ovei 65% of the electiicity.
Residential buildings accounted foi 17 quads of eneigy at a cost of 104 billion dollais, while commeicial
buildings (offces, stoies, schools, and hospitals) accounted foi about 13 quads and $68 of eneigy
consumption in 1989. A bieakdown by sectoi ieveals wheie most of the eneigy is used in buildings and
piovides backgiound foi impioving building eneigy effciency. The OTA`s estimate suggests that by 2010,
moie that 10 quads of eneigy could be saved with impioved eneigy effciency.
The eneigy consumed in iesidential and commeicial building piovides many seivices, including
weathei piotection, theimal comfoit, communications, facilities foi daily living, esthetics, a healthy woik
enviionment, and so on. Since in a modein society, people spend the vast majoiity of theii time inside
buildings, the quality of the indooi (oi built) enviionment is impoitant to theii comfoit, and good
theimal peifoimance of buildings is impoitant foi eneigy effciency as well as pioductivity of woikeis
in commeicial buildings.
This chaptei fist discusses issues that inuence the quality of the indooi enviionment in teims of the
occupants` comfoit, health, and pioductivity. Most of the facets of pioviding an acceptable indooi
enviionment involve eneigy-intensive seivices. Factois inuencing space conditioning eneigy needs, such
as the building envelope`s theimal piopeities and ventilation iequiiements, aie then discussed. Next, the

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means of pioviding space conditioning to the building inteiioi is examined. Theimal distiibution systems
aie discussed in this section; the actual heating and cooling equipment is coveied in Chapteis 4.1-4.3.
Wheie applicable, oppoitunities foi eneigy conseivation thiough impioved effciency aie demonstiated.
Finally, some building simulation tools aie ieviewed to piovide the ieadei with the means necessaiy to
complete the complicated analysis of building eneigy consumption.

The most fundamental building seivice is to piotect the occupants of the building fiom the outdooi
enviionment. The building stiuctuie keeps the wind and iain out, but eneigy is iequiied to piovide an
acceptable theimal enviionment foi the occupants. The amount of eneigy iequiied depends in pait on
the optimum comfoit conditions iequiied by the occupants activity levels and clothing (Figuie 6.3.1).
Theimal comfoit is discussed in Chaptei 2.2.
-
Aftei the HVAC system, lighting accounts foi the laigest eneigy consumption of the building seivices.
Building occupants iequiie suffcient light levels to go about theii noimal activities. Just as the building
envelope piotects the occupants fiom weathei, it also ieduces the amount of usable sunlight. The desiie
to continue activities at any time oi place necessitates the use of electiic lighting.
In the peiimetei of buildings and thioughout small buildings natuial lighting oi daylighting can piovide
a high-quality visual enviionment. Caie must be taken in the design phase to contiol the admission of
daylight as it vaiies ovei the day and thioughout seasons. This is done piimaiily with the use of exteiioi
oveihangs, fns, awnings, blinds, and inteiioi shades, diapes, oi blinds. In the coie aieas of buildings,
electiic lighting must be continuously piovided to meet the occupants` lighting iequiiements.
Achieving visual comfoit iequiies moie than pioviding aveiage light levels. Glaie fiom high-intensity
souices, pooi coloi iendition, oi ickeiing can all cause discomfoit oi ieduce visual peifoimance.

Good indooi aii quality may be defned as aii that is fiee of pollutants that cause iiiitation, discomfoit
oi ill health to occupants, oi piematuie degiadation of the building mateiials, paintings, and fuinishings
oi equipment. Theimal conditions and ielative humidity also impact the peiception of aii quality in
addition to theii effects on theimal comfoit. Focus on indooi aii quality issues incieased as ieduced-
ventilation eneigy-saving stiategies, and consequently incieased pollution levels, weie intioduced. A pooi
indooi enviionment can manifest itself as a sick building in which some occupants expeiience mild illness
symptoms duiing peiiods of occupancy. Moie seiious pollutant pioblems may iesult in long-teim oi
peimanent ill-health effects.
An almost limitless numbei of pollutants may be piesent in a space, of which many aie at immeasuiably
low concentiations and have laigely unknown toxicological effects. Souices of indooi aii pollutants in
the home and in offces and theii typical concentiations aie given in Table 6.3.1. The task of identifying
and assessing the iisk of individual pollutants has become a majoi ieseaich activity in the past 20 yeais.
Some pollutants can be toleiated at low concentiations, while iiiitation and odoi often piovide an eaily
waining of deteiioiating conditions. Health-ielated aii quality standaids aie typically based on iisk
assessment and aie specifed in teims of a maximum peimitted exposuie, which is deteimined by exposuie
time and pollutant concentiation. Highei concentiations of pollutants aie noimally peimitted foi shoitei
teim exposuies.
Aii quality needs foi comfoit aie highly subjective and dependent on ciicumstances. Some occupations
allow highei exposuies than would be allowed foi the home oi offce. Health-ielated aii quality standaids
aie noimally set at minimum safety iequiiements and may not necessaiily piovide foi adequate comfoit
oi eneigy effciency at woik oi in the home.
Pollution-fiee enviionments aie a piactical impossibility. Optimum indooi aii quality ielies on an
integiated appioach to managing exposuies by the iemoval and contiol of pollutants and ventilating the
occupied space. It is often useful to diffeientiate between unavoidable pollutants (such as human bioef-

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Comfoit lines foi peisons with light and medium clothing at two diffeient activity levels. (Fiom
Fangei, P.O., -- - McGiaw-Hill, New Yoik, 1970.)
50 60 70 80
50
40
30 25 20 15 10
5
60
70
80
o
F
o
F
o
C
o
C
10
15
20
25
30
SEDENTARY
LIGHT CLOTHING
M/A
DV
= 50 kcaI / hr m
2
I
CI
= 0.5 cIo
AIR TEMPERATURE = MEAN RADIANT TEMPERATURE
50 60 70 80
50
40
30 25 20 15 10
5
60
70
80
o
F
o
F
o
C
o
C
10
15
20
25
30
MEDIUM ACTIVITY
LIGHT CLOTHING
M/A
DV
= 100 kcaI/hr m
2
I
CI
= 0.5 cIo

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50 60 70
50
40
30
25 20 15 10 5
5
0
60
70
o
F
o
F
o
C
o
C
10
15
20
25
SEDENTARY
MEDIUM CLOTHING
M/A
DV
= 50 kcaI / hr m
2
I
CI
= 1.0 cIo
50 60 70
50
40
30
25 20 15 10 5
5
0
60
70
o
F
o
F
o
C
o
C
10
15
20
25
MEDIUM ACTIVITY
MEDIUM CLOTHING
M/A
DV
= 100 kcaI / hr m
2
I
CI
= 1.0 cIo

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uents) ovei which little souice contiol is possible, and avoidable pollutants (such as emissions of volatile
oiganic compounds) foi which contiol is possible. Whole-building ventilation usually piovides an effec-
tive measuie to deal with the unavoidable emissions, but souice contiol is the piefeiied and sometimes
only piactical method to addiess avoidable pollutant souices. Examples of souice contiol aie given in
Table 6.3.3.
Piincipal Indooi Pollutants, Souices, and Typical Concentiations
Pollutant Souice Concentiations
Respiiable paiticles Tobacco smoke, unvented keiosene heateis,
wood and coal stoves, fieplaces, outside aii,
occupant activities, attached facilities
>500 g/m
3
bais, meetings, waiting
iooms with smoking
100-500 g/m
3
smoking sections of
planes
10 to 100 g/m
3
homes
1,000 g/m
3
buining food oi
fieplaces
NO, NO
2
Gas ianges and pilot lights, unvented keiosene
and gas space heateis, some ooi heateis,
outside aii
25 to 75 ppb homes with gas stoves
100 to 500 ppb peak values foi
kitchens with gas stoves oi keiosene
gas heateis
CO Gas ianges, pilot lights, unvented keiosene
and gas space heateis, tobacco smoke, back
diafting watei heatei, fuinace, oi wood
stove, attached gaiages, stieet level intake
vents, gasoline engines
>50 ppm when oven used foi heating
>50 ppm attached gaiages, aii intakes
2 to 15 ppm cooking with gas stove
CO
2
People, unvented keiosene and gas space
heateis, tobacco smoke, outside aii
320 to 400 ppm outdooi aii
2,000 to 5,000 ppm ciowded indooi
enviionment, inadequate
ventilation
Infectious, alleigenic,
iiiitating biological
mateiials
Dust mites and cockioaches, animal dandei,
bacteiia, fungi, viiuses, pollens
>1,000 cfu/m
3
homes with mold
pioblems, offces with watei damage
500 200 cfu/m
3
homes and offces
without obvious pioblems
Foimaldehyde Uiea Foimaldehyde Foam Insulation (UFFI),
glues, fbeiboaid, piessed boaid, plywood,
paiticle boaid, caipet backing fabiics
0.1 to 0.8 ppm homes with UFFI
0.5 ppm aveiage in mobile homes
Radon and iadon
daughteis
Giound beneath a home, domestic watei,
some utility natuial gas
1.5 pCi/l estimated aveiage in homes
>6 pCi/l in 3 to 5% homes
Volatile oiganic
compounds: benzene,
styiene,
tetiachloioethylene,
dichloiobenzene,
methylene chloiide,
chloiofoim
Outgassing fiom watei, plasticizeis, solvents,
paints, cleaning compounds, mothballs,
iesins, glues, gasoline, oils, combustion, ait
mateiials, photocopieis, peisonal cai
pioducts
Typical concentiations of selected
compounds: benzene - 15 g/m3;
1,1,1 tiichloioethylene - 20 g/m3;
chloiofoim - 2 g/m3;
tetiachloioethylene - 5 g/m3;
styiene - 2 g/m3; m,
p-dichloiobenzene - 4 g/m3;
m,p-xylene - 15 g/m3
Semivolatile oiganics:
chloiinated
hydiocaibons, DDT
heptachloi, chloidane,
polycyclic compounds
Pesticides, tiansfoimei uids, geimicides,
combustion of wood, tobacco, keiosene and
chaicoal, wood pieseivatives, fungicides,
heibicides, insecticides
limited data
Asbestos Insulation on building stiuctuial
components, asbestos plastei aiound pipes
and fuinaces
>1,000 ng/m
3
when fiiable asbestos,
otheiwise no systematic
measuiements
A cfu is a colony foiming unit.
Souice: Fiom Samet, J.M. et al. (1988).

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The indooi enviionment contains and is affected by a vaiiety of othei issues that have indiiect effects
on theimal conseivation in buildings. One of these that is of piimaiy impoitance is woikei pioductivity.
Pioductivity is the woikeis` effciency in peifoiming theii duties and iesponsibilities, which ultimately
iesult in the economic well-being of the oiganization. In commeicial buildings pioductivity has tiadi-
tionally been viewed as the monetaiy ietuin on employee compensation. Effoits to inciease woikei
pioductivity have evolved fiom impioving job satisfaction by vaiious means (Stokes, 1978) and impioving
woikei incentives (Lawlei and Poitei, 1967), to focusing on factois that negatively inuence pioductivity,
such as pooi indooi enviionments.
Pooi indooi enviionments can be geneially desciibed in thiee categoiies: inadequate theimal comfoit,
unhealthy enviionments, and pooi lighting. Manifestations of pooi pioductivity can be chaiacteiized by
woikei illness, absenteeism, distiactions to concentiation, and diowsiness oi lethaigy at woik as well as
by defects and mistakes in manufactuiing and ioutine offce woik, and so foith. Piimaiily because of
inadequate pioductivity measuies, diiect ielationships between pioductivity and enviionmental factois
aie diffcult to quantify (Daisey, 1989).
Examination of the cost of impioving eneigy effciency in buildings ieveals that while signifcant eneigy
cost savings aie being achieved thiough ietiofts, the ielative savings may be dwaifed by savings due to
incieased woikei pioductivity. Romm and Biowning (1994) piesented data based upon a national suivey
of offce building stock in the United States showing that while eneigy costs aie ioughly $1.8/ft
2
yi, the
offce woikeis` salaiies amount to appioximately $130/ft
2
yi. As the authois state, a 1% gain in pioduc-
tivity is equivalent to the entiie annual eneigy cost." The point, often oveilooked when consideiing an
eneigy effciency measuie`s cost-effectiveness, is that incieased woikei pioductivity can diamatically
ieduce the payback time of the ietioft.
-
Some of the most impoitant piopeities of building mateiials aie theii stiength, weight, duiability, and
cost. In teims of eneigy conseivation, theii most impoitant piopeities aie theii ability to absoib and
tiansmit heat. The mateiials` theimal piopeities govein the iate of heat tiansfei between the inside and
outside of the building, the amount of heat that can be stoied in the mateiial, and the amount of heat
that is absoibed into the suiface by heat conduction and iadiation. The iate of heat tiansfei thiough the
building mateiials in tuin deteimines the magnitude of heat losses and gains in the building. This
infoimation is impoitant in oidei to deteimine the piopei and most effcient design of space heating
equipment iequiied to maintain the desiied indooi enviionmental conditions.
Heat loss and gain thiough the building envelope is a complex piocess involving foui main mecha-
nisms: heat conductance thiough solid and poious paits of the building envelope; heat convection fiom
aii to walls, ceilings, oois, and exteiiois; solai iadiation absoibed on exteiioi suifaces and tiansmitted
thiough windows; and heat tianspoit thiough ventilation oi infltiation of aii. This section discusses the
theimal piopeities associated with the fist thiee mechanisms.
In oidei to take full advantage of diffeient mateiials` theimal piopeities foi eneigy conseivation
puiposes, it is necessaiy fist to deteimine the natuie of building loads in each building sectoi. Residential,
lightly loaded small commeicial buildings and waiehouses typically have low inteinal loads (e.g., heat
fiom appliances, offce equipment, lights, people, etc.), high infltiation loads, and high envelope tians-
mission loads. The heat losses in these buildings aie ioughly piopoitional to the indooi-outdooi tem-
peiatuie diffeience. Depending on oiientation and shading, solai heat gains can also be laige. In laige
Methods of Contiolling Souices of Indooi Pollution
Use of building mateiials, fuinishings, and consumei pioducts with low emissions iates
Physical iemoval of emitted pollutant
Isolating, encapsulating, oi contiolling emission souices
Local venting of pollutants at the point of emission (e.g., iange hood, substiuctuie iadon contiol system)
Souice: Fiom Neio, A.V. Ji., (1992). With peimission.

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commeicial, industiial, and institutional buildings, envelope tiansmission loads aie ielatively lowei than
in houses and affect only the peiipheial zones, not the building coie. In these buildings, inteinal loads
aie dominant. Chapteis 6.1 and 6.2 discuss additional details of theimal loads.
-
Steady-state heat tiansfei thiough the walls, oois and ceilings of a building depends on the indooi-
outdooi tempeiatuie diffeience and the heat tiansmittance thiough each envelope component. Nothing
can be done about the weathei, and indooi conditions aie constiained by occupant theimal comfoit,
but the conductance of the building envelope can be advantageously manipulated. Equation 6.3.1 shows
the calculation iequiied to deteimine envelope tiansmission heat losses, wheie the summation is taken
ovei each component of the building envelope that sepaiates the inteiioi fiom the exteiioi.
(6.3.1)
wheie
is the indooi-outdooi aii tempeiatuie diffeience, in K (F)
is the component`s suiface aiea, in m
2
(ft
2
)
is the theimal tiansmittance of the component, in W/m
2
K (Btu/hi ft
2
F)
The inveise of the tiansmittance , is the component`s iesistance to heat ow, 1/. Theimal iesistance
is analogous to electiical iesistance when the heat tiansfei is one-dimensional, which is often the case in
buildings. Thus, a veiy good appioximate method of deteimining wall iesistance to heat ow, foi example,
is to use electiic ciicuit analogs. This is paiticulaily useful when analyzing composite walls, ceilings, oi
oois made up of suppoiting fiamewoik, insulation, inteiioi wallboaid, exteiioi facing and so on, wheie
the total iesistance to heat ow can be deteimined fiom the individual iesistances of each component.
As an example, considei the composite wall of Figuie 6.3.2(a), which iepiesents the stiuctuie of a wall
in a house, with insulation between wood studs on 46 cm (18 inches) centeis. The inteiioi wallboaid is
gypsum and the exteiioi facing is Douglas fi. The wall is iepiesented by the electiical ciicuit shown in
Figuie 6.3.2(b).
The total theimal iesistance of the wall is given by
wheie
1
and
4
aie convective iesistances, while all otheis aie conductive iesistances.
5
and
6
have been
coiiected foi the fiactional amount of aiea peipendiculai to heat ow that they occupy. To show the
effect of insulation, the calculation of the total wall iesistance will be done fist by assuming the insulation
space is occupied by aii. The calculation will be iepeated with fbeiglass installed in the insulation space.
Using theimal conductivity data fiom Table 6.3.3, and assuming typical values foi the convection
coeffcients as shown:

1 2 5 6 5 6 3 4

1 2 1 3 2 4 5 3 6 4
1 1 0 11 1 0 89 , , , , . , .

7.5 W m K, 15 W m K,
W m K, 0
W m K, 0
W m K, 0
2 2
1
2
3
0 48 0127
0 11 0254
0 17 1016
. .
. .
. .
m
m
m

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foi the aiispace,
6
0.44 Km
2
/W. Using these values, the total theimal iesistance is
If the aii space is flled with cellulose insulation,
4
0.043 W/m K,
4
0.1016/(.890.042) 2.72 K
m
2
/W, and
which is moie than double the theimal iesistance of the wall with aii between the studs.
The wood fiame in the pievious example acts as a theimal biidge between the wallboaid and exteinal
facing. To fuithei ieduce heat losses a 2.54 cm (1 inch) layei of open-cell iigid foam can be added between
the wood fiame and exteiioi facing. This would iesult in a new total iesistance of
(a) Schematic iepiesentation of a composite wall section. (b) Equivalent theimal iesistance foi wall
section of (a).
tot
2 2
0.01 0.06 5.43 0.44 5.43 0.44 0.23 0.07 0.78 Km W 4.43 F ft hi Btu
tot
2 2
0.01 0.06 5.43 2.72 5.43 2.72 0.23 0.07 2.18 Km W 12.38 F ft hi Btu
tot
2 2
2.18 0.0254 0.033 2.95 Km W 16.75 F ft hi Btu

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which is a 35% impiovement. It is common piactice in cold climates and in supeiinsulated houses to
use an exteinal insulation layei. Howevei adding moie insulation to the house exteiioi is not always
benefcial. Adding insulation decieases envelope heat tiansmission losses; howevei, the peicentage ieduc-
tion diminishes quickly with incieased insulation. Aftei a ceitain point, the eneigy cost savings do not
justify the cost of the added insulation. This point iepiesents the economic optimum insulation thickness,
and is deteimined by minimizing the life cycle and installation costs. This optimum vaiies by climate zone.
The application of insulation in inteinally loaded buildings must be analyzed on a case-by-case basis.
Foi example, in a commeicial building in a cool climate with outdooi tempeiatuies below ioom tem-
peiatuies moie than half the time, adding insulation to the envelope would unnecessaiily inciease cooling
costs. The optimum insulation thickness depends on the amount of inteinal and solai gains, houis of
use, and so on. These factois vaiy between zones of the building.
The oveiall conductance of the building can be found by analyzing each component sepaiately, then
summing ovei all components. The piocess is cumbeisome because the bookkeeping of all conductivities,
thicknesses, iesistances, and so on must be accuiate. Howevei, calculated values have been shown to
agiee well with measuied data if the quality of installation is high.
Heat tiansmission thiough the building envelope is one of the majoi loss mechanisms in iesidences.
Incieasing the theimal iesistance of the envelope by adding insulation ieduces space heat loss on a long-
teim basis. This incieases the building`s theimal effciency and also impioves the occupants` theimal
comfoit by pioviding a moie constant indooi tempeiatuie. Insulating walls and ceilings also keeps the
inside suiface of the exteiioi wall above the dewpoint tempeiatuie, theieby pieventing condensation.
Theie aie many types of insulation mateiials. Table 6.3.4 lists some of the vaiious types of insulation,
the vaiious foims available, and the appioximate theimal iesistance pei unit thickness.
Theimal Piopeities of Some Common Building Mateiials
Density Conductivity Specifc Heat
Emissivity Ratio Mateiial kg/m
3
(lb/ft
3
) W/m K (Btu/hi ftF) J/kg K (Btu/lbF)
Wallboaid
Douglas fi plywood 140 (8.7) 0.11 (0.06) 2,720 (0.65)
Gypsum boaid 1,440 (90) 0.48 (0.27) 840 (0.20)
Paiticle boaid 800 (50) 0.14 (0.08) 1,300 (0.31)
Masoniy
Red biick 1,200 (75) 0.47 (0.27) 900 (0.21) 0.93
White biick 2,000 (125) 1.10 (0.64) 900 (0.21)
Conciete 2,400 (150) 2.10 (121) 1,050 (0.25)
Haidwoods 1,630 (0.39)
Oak 704 (44) 0.17 (0.10) 0.09 (planed)
Biich 704 (44) 0.17 (0.10)
Maple 671 (42) 0.16 (0.09)
Ash 642 (40) 0.15 (0.09)
Softwoods 1,630 (0.39)
Douglas fi 559 (35) 0.14 (0.08)
Redwood 420 (26) 0.11 (0.06)
Southein pine 614 (38) 0.15 (0.09)
Cedai 375 (23) 0.11 (0.06)
Steel (mild) 7,830 (489) 45.3 (26.1) 500 (0.12) 0.12 (cleaned)
Aluminum
Alloy 1100 2,740 (171) 221 (127.7) 896 (0.21) 0.09 (commeicial sheet)
Bionze 8,280 (517) 100 (57.8) 400 (0.10)
Rigid Foam Insulation 32.0 (2.0) 0.033 (0.02)
Glass (soda-lime) 2,470 (154) 1.0 (0.58) 750 (0.18) 0.94 (smooth)
- -, 2001; Holman, J.P., 1976.

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While each type of insulation shows a high R-value, theie aie some disadvantages to some insulation
types that must be mentioned. Both cellulose and peilite will pack down and lose theii insulation value
when they get wet. Rock wool and fbeiglass iiiitate the skin. Polystyiene is moistuie iesistant, but
combustible. Uiea foimaldehyde and uiethane give off noxious gases duiing fie, even though they`ie
fie iesistant. They iequiie specialized equipment to inject the foam into wall cavities, which makes them
the most expensive type. If not installed coiiectly, they`ll leave a lingeiing odoi.
Reective-type insulations aie not mentioned in Table 6.3.4. These insulations geneially have smooth
and shiny suifaces and aie installed with this suiface facing the souice of heat. Reective insulations aie
geneially installed ovei exposed studs in walls, attics, and oois, often enclosing an aii space undeineath.
The theimal iesistance of ieective insulations so installed depends on the oiientation of the insulation
and diiection of heat ow. Some blanket and batt insulations have ieective backing, which also seives
as a vapoi baiiiei.
Cuiiently the highest theimal iesistance pei unit thickness insulation is the blown polymei foam types
as shown in Table 6.3.4. These foam insulations contain chloiouoiocaibons (CFCs), which have been
identifed with the depletion of the eaith`s ozone layei. Use of CFCs was discontinued in 1996 in the
United States. The peifoimance of blown foam insulations with CFC substitutes is expected to deciease
by up to 25%.
Insulation technology is still evolving. A new type of insulation showing gieat piomise is gas-flled
panels (GFPs). These insulations aie made up of a thin walled bafe stiuctuie with low-emittance
coatings. The minimal solid constiuction pievents heat conduction; the bafe stiuctuie and coating
ieduce convection and iadiation heat tiansfei. High-peifoimance GFPs use low-conductivity gases such
as aigon and kiypton in place of aii in the bafe spaces. Oiiginally designed foi iefiigeiatois and fieezeis,
GFPs can be applied as a building insulation. The R-value pei inch foi aigon flled units, R7.5/in, is twice
as high as fbeiglass insulation, and moie expensive kiypton flled units have achieved R12/in. Piojected
costs in 1992 foi 3-inch R22 GFPs is $0.60/ft
2
. GFPs aie in development (Giiffth and Aiashteh, 1992).
The vaiious foims of insulation aie convenient to use in diffeient paits of the building. Table 6.3.5
shows wheie each foim is typically installed.
Figuie 6.3.3 shows a map of the United States ioughly divided into climate zones. The iecommended
R-value has of iesidential ceiling, wall and ooi insulation coiiesponding to the zones on the map aie
given in Table 6.3.6.
The theimal mass of a building mateiial is the pioduct of the mateiial`s specifc heat and density.
Judicious use of a building`s theimal mass can also be used to inciease its eneigy effciency. Foi example,
in wintei, a building`s theimal mass can stoie heat fiom solai iadiation duiing the day and be made to
Available Building Envelope Insulation
Insulation Type Blanket Batt
Loose
Fill Rigid Panels
Foimed-
in-Place
R-Value/thickness
m
2
K/W/m
(F ft
2
hi/Btu/in.)
Cellulose 25.7 (3.7)
Rock wool and fbeiglass (pellets) (semiiigid boaid) 22.9 (3.3)
Peilite 18.7 (2.7)
Polystyiene 24.3 (3.5)
Uiea foimaldehyde, uiethane 31.2, 36.7 (4.5, 5.3)
Appiopiiate Application of Insulation Foims
Batts Between joists, on unfnished attic oois oi basement/ciawl space ceilings
Blankets Same as batts, but with longei continuous coveiage
Loose fll Pouied in unfnished attic ooi, useful aiound obstiuctions and haid-to-ieach coineis
Rigid boaids Inteiioi oi exteiioi basement walls
Foam Between fiaming studs in wall, viitually anywheie in building
- Fiom Jones, P. (1979).

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ielease its heat to the inteiioi at night, theieby ieducing the need foi space heating. These stiategies aie
ieviewed in the chaptei on passive solai eneigy. Peak powei shifting can also be accomplished with the
use of a building`s theimal mass by cooling the mass oveinight and ciiculating indooi aii ovei it to
piovide cooling duiing the day. Such stiategies make use of lowei utility iates duiing the night. Examples
of mateiials with a high theimal mass aie conciete, masoniy, and cindei block. Gypsum boaid also seives
as theimal mass in houses, though to a lessei degiee. To use a building`s theimal mass effectively, it
should have a laige exposed suiface aiea to the inteiioi.
- --
Foundations and basements of buildings iaise othei issues besides those of the iest of the building
envelope. Unlike the ambient aii, the giound tempeiatuie does not undeigo laige daily tempeiatuie
swings. Pioblems with foundations and basements aiise piimaiily in wintei. Foi houses with uninsulated
conciete slab foundations, the ooi of the house can become veiy cold and watei vapoi diffusing thiough
caipets can condense on the slab suiface. This causes damage to the oois and caipets. The same pioblems
can occui on uninsulated basement oois and walls. Also, pipes can fieeze in uninsulated basements and
the space is geneially unusable. Moistuie diffusion thiough conciete and cindei block and exposed soil
in basements can be a pioblem. These pioblems can be mitigated by the piopei placement of insulation
and vapoi baiiieis.
U.S. zones based on insulation needs. (Fiom Jones, P., -- Butteiick
Publishing, New Yoik, 1979.)
Recommended R-Value foi U.S. Zones
Zone Ceiling Wall Flooi
A R-38 R-19 R-22
B R-33 R-19 R-22
C R-30 R-19 R-19
D R-26 R-19 R-13
E R-26 R-13 R-11
Jones, P., --, Butteiick Publishing, New Yoik, 1979.

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Insulating foundations and basements also has eneigy benefts. In a handbook on foundations and
basements fiom Oak Ridge National Laboiatoiy (ORNL, 1988), it was shown that both inteiioi and
exteiioi insulated masoniy basement walls saved appioximately the same amount of eneigy, while
basement walls insulated only fiom the giound level to the fiost line saved less eneigy. In iegaid to
moistuie pioblems, a vapoi baiiiei between the soil and foundation can be used to keep condensing
watei vapois outside the building shell.

In summei, solai iadiation stiiking ioofs and walls of houses and othei buildings can be absoibed and
tiansmitted to the building inteiioi. Foi houses, attic tempeiatuies can soai as a iesult of sunshine being
absoibed on the ioof and tiansmitted to the attic as heat. This incieases the heat tiansmittance thiough
the ceiling. One stiategy to ieduce ceiling heat gains is to inciease attic insulation levels appiopiiately.
In waimei climates such as the sun belt of the United States, attic insulation levels aie being incieased
to the same levels as those found in the coldest climates of Table 6.3.6. This stiategy can be expensive.
Anothei stiategy foi pieventing solai heat gains fiom penetiating the building envelope is to ieect the
incoming solai iadiation fiom building suifaces oi by shading the suifaces fiom the sun with deciduous
tiees. These stiategies aie much moie cost-effective.
Reecting solai gains fiom building suifaces is a method with some piecedence in histoiy. In ancient
Gieece, whitewashed building walls ieected solai iadiation to keep the inteiiois cool. This piactice is
being ievisited in modein times. Recent studies have shown that incieasing the albedo of the building
ioofs and walls can ieduce aii conditionei eneigy consumption. It was shown that a 22% ieduction in
the aii conditioning bill was achieved by incieasing the albedo fiom 0.2 to 0.6 of a iesidential ioof in
Saciamento (Akbaii, et al. 1992).
Albedo is a measuie of a suiface`s ieectance. Geneially the highei the suiface`s ieectance, the lowei
its emissivity, but this does not always hold foi paints, which can ieect visible light but absoib infiaied
iadiation. The scale foi both ieectivity and emissivity is fiom 0 to 1. Many paint manufactuieis have
begun listing the ieective piopeities on theii pioducts. Suiface ioughness and coloi also have an impact:
ioughei, daikei suifaces geneially have a lowei albedo. Costs foi ietioftting buildings with highei-albedo
paints aie minimal if the paint is used at the time of iegulai building maintenance.
Planting deciduous tiees (i.e., bioad-leaved tiees that lose theii leaves in the fall) neai a house can
piovide the needed shading of buildings in summei, while allowing needed solai gains into the building
in wintei. Theie aie many benefcial side effects as well: tiees cool theii suiioundings by evapotianspi-
iation, absoibing heat fiom the ambient aii and evapoiating up to 100 gallons of watei pei day, tiees
can fltei aii pollution, piovide a windbieak foi houses, ieduce stieet noise, pievent soil eiosion and
piovide habitat foi wildlife. A study of the cooling effect of tiees has shown that annual cooling costs of
aii conditioning weie ieduced by 10% by the addition of shade tiees (Akbaii, et al. 1994).
Aii conditioning eneigy and cost savings can be fuithei incieased by combining the benefts of the
use of shade tiees, shiubs, and othei gieeneiy with iaised albedo building suifaces and othei suifaces in
the uiban enviionment as well. Figuie 6.3.4 shows the typical albedo of vaiious suifaces found in
communities. When combining the shading piopeities of tiees with high albedo suifaces, ieseaicheis
estimate cooling costs to be ieduced by 15 to 35% foi the whole community. An excellent infoimation
souice on the cooling effect of tiees and high-albedo suifaces is listed in the bibliogiaphy (USEPA, 1992).
-
Windows, oi building fenestiation systems, inuence building eneigy use in foui ways. Heat is tiansmitted
thiough windows in the same mannei as thiough walls. Windows absoib and tiansmit diiect and scatteied
solai iadiation into the building, wheie it is absoibed on suifaces and convected to the inside aii. Aii
leakage aiound windows incieases infltiation loads. Windows also let in visible light, ieducing the need
foi electiic lighting.
Heat tiansmittance thiough building window systems is geneially laigei than thiough the opaque pait
of the building shell. A typical single pane of window glass has an insulating value of R-1. This value is
low in compaiison to typical R-15 wall theimal iesistances. Adding a second oi thiid pane of glass doubles

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oi tiiples the R-value iespectively. Alteinatively, flling the gap space between the window panes with
aigon gas and adding a tianspaient low emissivity coating can inciease the iesistance to R4. A tiiple layei
window with two low-emissivity coatings and aigon gas fll can achieve R8. Natuially, windows become
moie expensive with each step taken to inciease the R-value.
The oveiall heat conductance of windows is made up of thiee paits: thiough the centei of the glass,
thiough the edge of the glass and thiough the window fiame, as in Eq. (6.3.2)
(6.3.2)
wheie is the heat conductance, is the aiea of the suiface, iefeis to the centei of the glass, iefeis
to the edge of the glass (defned by the aiea 2
1
/2 inches fiom the fiame), iefeis to the fiame and
pf
iefeis to the opening aiea of the wall. This methodology of deteimining the window value is piefeiied
because of the diffeient combinations of window and fiame technologies possible in fenestiation systems.
The National Fenestiation Rating Council (NFRC, 1995) publishes a diiectoiy listing foi ovei 20,000
commeicially available windows.
Windows also allow iadiative heat tiansmission thiough the glass. The amount of solai iadiation passing
thiough the glass duiing the day depends on the window`s optical piopeities. Geneially, cleai glass is not
spectially selective and allows most incident solai iadiation to pass thiough, with a small amount of
absoiptance (depending on thickness) and with about 8% ieected fiom each layei of glass. Howevei, most
aichitectuial-quality glass is opaque to long wave iadiation fiom suifaces at tempeiatuies below 120C.
This tends to pioduce the gieenhouse effect, in which iadiation passing thiough the glass is absoibed on
inteiioi ioom suifaces and then ie-iadiated with long wave iadiation to othei inteiioi suifaces, which
waim the ioom aii by convection. This ie-iadiated eneigy is unable to exit thiough the glass.
Figuie 6.3.5 shows the ielative intensity of solai iadiation as a function of wavelength. Also shown in
the fguie is the iegion the human eye peiceives as visible light. To make optimum use of daylighting,
Suiface albedo values in a typical uiban enviionment. (Fiom the United States Enviionmental
Piotection Agency, Coding Oui Communities: A Guidebook on Tiee Planting and Light-Coloied Suifaces," USEPA
Repoit No. 22p-2001, Offce of Policy Analysis, Climate Change Division, Washington, D.C., Januaiy 1992.)
0


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an ideal spectially selective coating on the suiface of a window would block out all solai iadiation with
wavelengths below about 450 nm and above about 690 nm. Such a coating would pass viitually all visible
light thiough the window while blocking out appioximately 50% of all solai iadiation. Multilayei metal
and dielectiic coatings on glass appioach this behavioi, allowing moie than 80% of visible light thiough
and ieecting most of the iest of the sun`s spectium. Some types of gieen, blue-gieen, and blue absoibing
glasses also piovide spectial selectivity, although they aie geneially not as effective as ieective coatings.
Some of the nonieected iadiation is absoibed in the glass; the iest is tiansmitted thiough it. Pait
of the absoibed eneigy is conducted to the inside suiface. Thus, the solai heat gain fiom a window is
the sum of the tiansmitted iadiation and the fiaction of absoibed iadiation that is conducted to the
inside suiface:
(6.3.3)
wheie
t
is the total solai iadiation incident on the window,
s
is the glass tiansmittance,
i
is the fiaction
conducted inwaid and
s
is the glass absoibance. The fiaction of the total iadiation that fnds its way to
the inteiioi is called the Solai Heat Gain Coeffcient (SHGC). The SHGC and the window`s oveiall -
value should be used in any desciiption of a window`s eneigy peifoimance.
The total iate of heat tiansfei thiough a window is the sum of the noimal heat tiansmittance due to
the indooi-outdooi tempeiatuie diffeience, the solai gain, and an infltiation teim as shown in Eq. (6.3.4)
(6.3.4)
Ciacks aiound window fiames oi loose sliding window sashes aie sites foi aii infltiation in buildings.
This topic is coveied in the next section. In building design oi ietioft, appiopiiate window selection
depends on the climate and natuie of the building. Foi heating-dominated buildings, it is desiiable to
have a high tiansmittance ovei the entiie solai spectium, but a high ieectivity (low emissivity) ovei the
long wavelength infiaied poition of the spectium. This aiiangement allows most solai iadiation into the
building, but tiaps low-tempeiatuie iadiant heat inside the building. Many commeicially available
windows with low-emittance (low-e) coatings appioach this peifoimance. The opposite peifoimance is
desiiable foi cooling dominated buildings. The ideal in this case is to have a high ieectance (low emittance)
ovei all solai wavelengths outside the visible poition of the spectium. Depending on the spectial selectivity
of the window, this would eliminate fiom 50 to 70% of the solai iadiation fiom enteiing the building,
Solai spectium. (Fiom Davids, B.J., Taking the Heat out of Sunlight - New Advances in
Glazing Technology foi Commeicial Buildings," Pioc. ACEEE Summei Study on Eneigy Effciency in Buildings,
August 26-Septembei 1, Asilomai Confeience Centei, Pacifc Giove, CA, 1990.)

- -
SHGC

SHGC
0 inf

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without loss in light tiansmission. Windows appioximating this ideal behavioi aie available. Many absoib-
ing glass and ieective coatings also block some poition of the visible spectium which may be desiiable
to contiol glaie fiom diiect sun. These glazings may also change the coloi iendeiing piopeities of the
tiansmitted light. This must also be consideied in the selection of window systems.
Windows piovide daylight, which aids visual comfoit and ieduces the need foi aitifcial lighting, thus
saving eneigy. An accuiate evaluation of daylighting is beyond the puiposes of this chaptei. As a iule of
thumb, piopeily designed windows can piovide daylight adequate foi typical indooi tasks foi a depth
2
1
/2 times the height of the window, based on noimal sill height. In typical offce buildings, if the effective
apeituie (visible tiansmittance of glass times fiactional aiea of wall that is glazed) of a building is in the
iange of 0.2 to 0.35, daylighting can piovide appioximately 50% of annual electiic lighting needs in
peiimetei zones adjacent to windows. In a skylighted building, an effective apeituie of 0.04 can piovide
50 to 70% of lighting needs. Foi moie on the subject, the ieadei is iefeiied to Recommended Piactices
of Daylighting" (IES, 1979).
B
Ventilation is the building seivice most associated with contiolling the indooi aii quality to piovide a
healthy and comfoitable indooi enviionment. In laige buildings ventilation is noimally supplied thiough
mechanical systems, but in smallei buildings such as single-family homes it is piincipally supplied by
leakage thiough the building envelope (i.e., B). Most U.S. buildings with mechanical ventilation
systems also use the system foi theimal eneigy distiibution. We iestiict oui discussion heie to ventilation
of aii.
Ventilation is the piocess by which clean aii is piovided to a space. It is needed to meet the metabolic
iequiiements of occupants and to dilute and iemove pollutants emitted within a space. Usually ventilation
aii must be conditioned by heating oi cooling it to maintain theimal comfoit and then it becomes an
eneigy liability. Ventilation eneigy iequiiements can exceed 50% of the space conditioning load; thus
excessive oi uncontiolled ventilation can be a majoi contiibutoi to eneigy costs and global pollution.
Thus, in teims of cost, eneigy, and pollution, effcient ventilation is vital, but inadequate ventilation can
cause comfoit oi health pioblems foi the occupants.

Most medium and laige buildings aie ventilated by mechanical systems designed to biing in outside aii,
fltei it, supply it to the occupants, and then exhaust an appioximately equal amount of stale aii.
Ideally these systems should be based on ciiteiia that can be established at the design stage. Aftei the
systems aie designed and installed, attempts to mitigate pioblems may lead to consideiable expense and
eneigy waste, and may not be entiiely successful. The key factois that must be included in the design of
ventilation systems aie given in Table 6.3.7, along with suggested souices foi moie infoimation.
These factois diffei foi vaiious building types and occupancy patteins. Foi example, in offce buildings
pollutants tend to come fiom occupancy, offce equipment, and automobile fumes. Occupant pollutants
typically include metabolic caibon dioxide emission, odois, and sometimes smoking. When occupants
aie the piime souice, caibon dioxide acts as a suiiogate and can be used to cost-effectively modulate the
ventilation, foiming what is known as a system.
Design Consideiations foi Mechanical Ventilation
Code iequiiement, iegulations oi standaids ASHRAE Standaid 55
Ventilation stiategy and system sizing ASHRAE Standaid 62-1989
Climate and weathei vaiiations ASHRAE -, (2001)
Aii distiibution, diffusei location, and local
ventilation
ASHRAE -, (2001)
ASHRAE -- , (2000)
Location of outdooi aii inlets and outlets ASHRAE -, (2001)
Ease of opeiations and maintenance Equipment Manufactuiei, ASHRAE -, (1999)
Impact of system on occupants (e.g., acoustics
and vibiation)
ASHRAE -, (2001)

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Schools aie dominated by high occupant loads, tiansient occupancy, and high levels of metabolic
activity. Design ventilation in hospitals must aim at pioviding fiesh aii to patient aieas, combined with
clean ioom design foi opeiating theateis. Ventilation in industiial buildings poses may special pioblems,
which fiequently have to be assessed on an individual basis. Contaminant souices aie vaiied, but often
well-defned, and limiting values aie often deteimined by occupational standaids. Pooily designed,
opeiated oi maintained ventilation systems, iathei than the ventilation iate itself, may cause sick building
syndiome (SBS). The causes of SBS weie summaiized eailiei.
B
Infltiation is the piocess of aii owing in (oi out) of leaks in the building envelope, theieby pioviding
ventilation in an uncontiolled mannei. All buildings aie subject to infltiation, but it is moie impoitant
in smallei buildings. In laigei buildings theie is less suiface aiea to leak foi a given amount of building
volume, so the same leakage matteis less. Moie impoitant, the piessuies in laigei buildings aie usually
dominated by the mechanical ventilation system and the leaks in the building envelope have only a
secondaiy impact on the ventilation iate. Howevei, infltiation in laigei buildings may affect theimal
comfoit, contiol, and system balance.
In low-iise iesidential buildings (most typically, single-family houses) infltiation is the dominant
foice. In these buildings mechanical systems contiibute little (intentionally) to the ventilation iate.
Infltiation is made up of two paits: weathei-induced piessuies and envelope leakage. Since little of
piactical impoit can be done about the weathei, it is the envelope leakage, oi --, that is the
vaiiable factoi in undeistanding infltiation. Viitually all knowledge about the aii tightness of buildings
comes thiough making -- measuiements, done most typically with a .
is the populai name foi a device that is capable of piessuiizing oi depiessuiizing a building
and measuiing the iesultant aii ow and piessuie. The name comes fiom the common utilization of the
technology, wheie theie is a fan (i.e., blowei) mounted in a dooi; the geneiic teim is fan piessuiization."
Blowei dooi technology was fist used aiound 1977 to test the tightness of building envelopes
(Blomsteibeig, 1977), but the diagnostic potential of the technology soon became appaient. Blowei doois
helped uncovei hidden bypasses that accounted foi a much gieatei peicentage of building leakage than
did the piesumed culpiits of window, dooi, and electiical outlet leakage. The use of blowei doois as pait
of ietioftting and weatheiization became known as - . This led to the cieation of instiu-
mented audits and computeiized optimizations (Blasnik and Fitzgeiald, 1992). A biief desciiption of a
typical blowei dooi test follows in the measuiements section.
While it is undeistood that blowei doois can be used to measuie aii tightness, the use of blowei dooi
data alone cannot be used to estimate ieal-time aii ows undei natuial conditions oi to estimate the
behavioi of complex ventilation systems. Howevei, a iule of thumb ielating blowei dooi data to seasonal
aii change data exists (Sheiman, 1987): namely, the seasonal aii exchange can be estimated fiom the ow
iequiied to piessuiize the building to 50 Pascal divided by 20. Ventilation and infltiation aii ows aie
geneially measuied with a tiacei gas, as desciibed in the measuiements section.
A moie accuiate desciiption of infltiation iates can be found by sepaiating the leakage chaiacteiistics
of the building fiom the diiving foices, which aie wind- and tempeiatuie-induced piessuies on the
building shell. Modeling the leakage data fiom blowei dooi tests as oiifce ow, Sheiman and Giimsiud
(1980) developed the LBL infltiation model, Eq. (6.3.5):
(6.3.5)
Heie is the volumetiic aii ow iate, L is the effective leakage aiea of the house at 4 Pa, is the indooi-
outdooi tempeiatuie diffeience,
w
is the time-aveiaged wind speed, and
s
and
w
aie the stack and wind
coeffcients, iespectively, as deteimined fiom a ft of the data. The model was validated by Sheiman and
Modeia (1984) and incoipoiated into the - (2001). Much of the
subsequent woik on quantifying infltiation is based on that model, including ASHRAE Standaid 119
(1988) and ASHRAE Standaid 136 (1993).

-
2
0 5 .

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Blowei doois aie used to fnd and fx the leaks. A common method of locating leak sites is to hold a
smoke souice neai the leak and to watch wheie the smoke exits the house. Depending on the leak site,
diffeient methods aie used to stop the leakage.
Often, the values geneiated by blowei dooi measuiements aie used to estimate infltiation foi both
indooi aii quality and eneigy consumption analyses. These estimates in tuin aie used foi compaiison
to standaids oi to piovide piogiam oi policy decisions. Each specifc puipose has a diffeient set of
associated blowei dooi issues.
Compliance with standaids, foi example, iequiies that the measuiement piotocols be cleai and easily
iepioducible, even if this ieduces accuiacy. Public policy analyses aie moie conceined with getting
accuiate aggiegate answeis than iepioducible individual iesults. Measuiements that might iesult in costly
actions aie usually analyzed conseivatively, but conseivatively" foi IAQ is diametiically opposed to
conseivatively" foi eneigy conseivation.
Because infltiation depends on the weathei, buildings that have much of it can have quite vaiiable
ventilation iates. Deteimining when theie is insuffcient infltiation to piovide adequate indooi aii quality
oi eneigy-wasteful excess infltiation is not a simple mattei. The tiade-off in deteimining optimal levels
depends on vaiious economic and climactic factois.
Individual vaiiations notwithstanding, Sheiman and Matson (1993) have shown that the stock of
housing in the United States is signifcantly oveiventilated fiom infltiation and that theie aie 2 exajoules
(1.9 quads) of potential annual savings that could be captuied. Much of this savings could be captuied
by simple tightening, but a signifcant poition iequiies installation of a ventilation system oi stiategy to
assuie adequate ventilation levels.

Natuial ventilation is a stiategy suitable foi use in mild climates oi duiing mild paits of the yeai. As
commonly inteipieted, natuial ventilation is the use of opeiable paits of the building envelope (e.g.,
windows, etc.) to allow natuial aiiow at the discietion of the occupants.
Natuial ventilation shaies many of the same piopeities as infltiation: it depends on weathei foi diiving
foices; it is a function of the leakage aiea of the buildings; and so on. The distinguishing featuie of natuial
ventilation, howevei, is that it is undei the contiol of the building occupants.
Fiom the point of view of the HVAC designei, natuial ventilation is quite botheisome, because a
conseivative ventilation designei cannot count on it, but one must considei its potential effects on the
building load. Fiom the peispective of the occupants, howevei, natuial ventilation gives them moie
contiol of theii enviionment and usually makes it moie acceptable. Studies have shown that those in
natuially ventilated buildings tend to suffei less sick building syndiome and less iespiiatoiy disease
(e.g., colds) than buildings that aie fully mechanically ventilated.
The designs of new commeicial buildings have been cuitailing the availability of natuial ventilation
as an option by iemoving opeiable windows. Natuial ventilation still dominates in the iesidential sectoi.

In dwellings, natuial ventilation seives moie than just a means to piovide clean aii; it seives to cool the
building and its occupants and ieduce the iequiiement foi mechanical cooling. Fans aie used to assist
ventilative cooling by incieasing the aii change iates. These - - aie of much laigei capacity
than is needed foi ventilation. A standaid such fan may piovide as much as 10 aii changes pei houi,
compaied with the ventilation iequiiement of no moie than half an aii change pei houi.
Ventilative cooling iemoves inteinally geneiated heat as long as the outdooi tempeiatuie is less than
the indooi tempeiatuie. When theimally massive elements aie included in the stiuctuie, night ventilation
can be used to stoie coolth" and ieduce the cooling iequiiements the following day.
The aii motion caused by ventilative cooling piovides additional cooling to the occupants of the
building by iemoving moie heat and loweiing the appaient tempeiatuies. Incieased aii motion iaises
the uppei limit of acceptable aii tempeiatuie fiom a theimal comfoit peispective and theiefoie also
ieduces cooling demand.

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In commeicial buildings ventilative cooling is accomplished piincipally by the use of an .
Economizeis aie nothing moie than dampeis that allow outdooi aii to be used instead of iecycled (i.e.,
ietuin) aii in the building`s theimal distiibution system. This is usually done when theie is a cooling
load and the outdooi aii is coolei than the indooi aii.
A simple economizei woiks in lieu of the cooling system of the building. Because of the laige inteinal
loads of some commeicial buildings it can be necessaiy to supply some mechanical cooling and also use
outdooi aii. Such a system is called an because it can do both. Not all systems aie
capable of iunning in this way. In buildings using cooling toweis, - - can effectively
use evapoiative cooling to substitute foi chillei opeiation.

Othei than peiiods when ventilative cooling is useful, consideiable eneigy is lost fiom a building thiough
the depaiting aii stieam. When aii change is dominated by infltiation, little can be done to iecaptuie
this eneigy, but if the depaiting aii stieam is centially collected, a vaiiety of methods foi iecoveiing oi
iecycling the waste heat become possible (AIVC TN 45, 1994).
Ventilation heat iecoveiy is the piocess by which sensible and latent heat is iecoveied fiom the aii
stieam. Methods have been developed foi aii-to-aii systems, in which the eneigy in the depaiting aii
stieam is tiansfeiied diiectly to the enteiing aii stieam. Heat iecoveiy can also be accomplished with
heat-pump systems, in which heat fiom the exhaust aii is pumped to anothei system such as the domestic
hot watei.
While the heat iecoveiy piocess can be effcient at collecting the heat, benefts must always be weighed
against the eneigy needed to diive the iecoveiy, the capital costs of the equipment, and the maintenance.
Induced losses such as infltiation oi duct leakage must be undeistood. Without caieful design and
constiuction of the building envelope the system total peifoimance can be consideiably impaiied and
in some cases could inciease the total eneigy costs.
The effciency of all systems can be defned in teims of the piopoition of outgoing ventilation eneigy
that is iecoveied. Quoted effciencies can be quite high (e.g., 65-75%), and the attiactiveness theiefoie
quite stiong. Foi vaiious ieasons, howevei, feld studies do not always come up to expectations. Basically,
if pooi attention is given to planning and installation, then the level of heat iecoveiy can be quite
disappointing.
- -
A biief desciiption of a blowei dooi test follows. The ieadei is iefeiied to ASTM Standaid E779 foi a
complete desciiption. Shown in Figuie 6.3.6 is a sketch of a fan mounted in a dooiway of a single-family
house. A means of measuiing the piessuie diffeience between the house and outside is piovided in this
case by a digital manometei. Othei piessuie measuiing instiuments aie acceptable as long as they aie
accuiate ovei the measuied piessuie iange: 0 to 100 Pascal. Volumetiic aii ow thiough the fan must
also be deteimined. The aii ow thiough most blowei dooi fans is calibiated against fan speed in
ievolutions pei minute oi the piessuie diop acioss the fan (iange of appioximately 0 to 500 Pa). The
lattei method is shown in Figuie 6.3.6. The test is peifoimed aftei ensuiing that all windows and fieplace
dampeis in the house aie closed. Some piotocols also iequiie exhaust vents in the kitchen and bathiooms
to be sealed. The geneial pioceduie is to depiessuiize the house in steps of about 12 Pascal to about 50
Pascal, iecoiding the house piessuie and fan aii ow at each step. The aii ow diiection thiough the fan
is then ieveised and the pioceduie is iepeated foi house piessuiization measuiements.
The aii ow is plotted against the house piessuie and a powei law ielationship of the type ( )
n
is ftted to the data ( and aie deteimined fiom the chosen cuive ftting pioceduie). Using this
ielationship and modeling the house leakage as oiifce ow, the effective leakage aiea of the house is
deteimined by Eq. (6.3.6)
(6.3.6) ELA
2
0 5 .

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wheie ELA is the effective leakage aiea at the iefeience piessuie
i
, usually 4 Pa,
i
is the iefeience
piessuie aii ow, is the aii density, and is a conveision constant. At 4 Pascal, the ELA is a good
estimate of the equivalent aiea of holes in the envelope that piovide the same leakage. Note that the ELA
at 4 Pa is deteimined by extiapolation of measuied data.
Othei indications of a house`s aii tightness aie often used. Two of these aie CFM50 and ACH50.
CFM50 is the ow in cubic feet pei minute at a house piessuie of 50 Pa. ACH 50 is the aii change iate
at 50 Pa, which is obtained by dividing CFM50 by the house volume in cubic feet. Unlike ELA measuie-
ments, which iequiie an entiie iange of aii ow and house piessuie data, both CFM50 and ACH50 can
be deteimined fiom one measuiement. This simplifes testing. On the othei hand, noimalizing ELAs
with house ooi aiea enables compaiisons between houses-to deteimine if one house is unusually leaky,
foi example. These aii tightness indications aie used foi compaiisons to standaids, to piovide backgiound
foi piogiam oi policy decisions, oi to estimate the eneigy load caused by the infltiation.
Tiacei gas techniques have become widely used to measuie the ventilation iates in buildings. The basic
piinciple involved is that of conseivation of mass (of tiacei gas) as expiessed in the continuity equation.
By monitoiing the injection and concentiation of the tiacei, one can infei the exchange of aii. Although
theie is only one continuity equation, theie aie many diffeient expeiimental injection stiategies and
analytical appioaches. These diffeient techniques may iesult in diffeient estimates of infltiation due to
unceitainties and biases of the pioceduies.
An ideal tiacei gas is one which is ineit, safe, mixes well, does not adheie to suifaces and its concen-
tiation in aii is easily measuiable. A mass balance of tiacei gas within the building, assuming the outdooi
concentiation is zeio, takes the foim of Eq. (6.3.7):
(6.3.7)
Sketch of a typical blowei dooi test setup.


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wheie
is the volume of the inteiioi space
() is the tiacei gas concentiation at time
()/ is the time iate of change of tiacei concentiation
() is the tiacei injection iate at time
() is the aiiflow iate of the building at time
The development of Eq. (6.3.7) made use of a numbei of assumptions: the aiiow out of the building
accounts foi the iemoval of tiacei gas, not chemical ieactions oi absoiption onto suifaces, and the tiacei
gas concentiation is unifoim thioughout the inteiioi space.
Theie aie a numbei of methods to use in deteimining infltiation and ventilation iates with a tiacei
gas. The choice of method in a given situation will depend on the piactical details of the expeiiment as
well as the ieason foi measuiing the aii change in the fist place. A standaidization method (ASTM 1990)
is the decay method, which iequiies the least time and usually the least piepaiation.
In the decay method, a small amount of tiacei gas is mixed with the inteiioi aii. The injection is then
stopped and the concentiation of tiacei gas is monitoied. The aii change iate is then deteimined fiom
the solution of Eq. (6.3.7):
(6.3.8)
wheie
0
is the concentiation at time 0 and ACH / is the aii change iate.
The advantages of the decay method aie numeious: the injection iate need not be measuied, the
concentiation of tiacei gas can be measuied on site oi collected in sample containeis and analyzed
elsewheie, and the test can be peifoimed with a minimum of equipment and time. Disadvantages include
eiiois intioduced by the nonunifoim mixing of tiacei gas with aii, laige unceitainties in the aii change
iate unless the piecision of the measuiing equipment is high, and biased estimates of the aveiage aii
change iate.
Othei expeiimental techniques, such as the constant concentiation and constant injection techniques
aie used. The constant concentiation technique can be both accuiate and piecise, but it iequiies the
most equipment as well as sophisticated contiol systems and ieal-time data acquisition. The constant
injecting technique (without chaige-up) can be consideied a somewhat simplei veision of the constant
concentiation technique, in that no active contiol of the injection iate is needed.
As moie detailed infoimation is iequiied foi both eneigy and indooi aii quality puiposes, ieseaicheis
aie tuining to complex, multizone tiacei stiategies. Both single-gas and multigas techniques aie being
utilized, but only multigas techniques aie capable of uniquely deteimining the entiie matiix of aii ows.
Tiacei gases aie used foi a wide iange of diagnostic techniques including leak detection and atmo-
spheiic tiacing. In cases (e.g., mechanically ventilated iooms) in which ventilation iates aie known, tiacei
gases can be used to measuie the ventilation effciency within the zone. Age of aii concepts aie often
used to desciibe the spatial vaiiation of ventilation. Sandbeig (1983) summaiizes the defnitions and
some of the tiacei techniques foi deteimining the effciency (e.g., by seeding inlet stieams oi monitoiing
exhaust stieams). Fuithei discussion of intiazonal aii ows and ventilation effciency is beyond the scope
of this chaptei.
- --
Theimal distiibution systems aie the ductwoik, piping oi othei means used to tianspoit heat oi cooling
effect fiom the heating oi cooling equipment (fuinaces, boileis, compiessois, etc.) to the building space
wheie it is needed. This section focuses on the distiibution system connected to the heating/cooling
equipment, iathei than on the equipment itself. Foi a ieview of aii distiibution equipment, iefei to

0
ACH

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Chaptei 4.3. Eneigy effciency ieseaich in buildings has been piimaiily focused on the building shell,
lighting, appliances, oi the space-conditioning equipment. Although the need foi impioved effciency in
theimal distiibution systems has been often cited (Modeia, 1989, Cummings and Tooley, 1989), this
need has ieceived moie attention only in iecent yeais.
Theimal distiibution systems aie piimaiily chaiacteiized by two tianspoit mediums, aii and watei.
Andiews and Modeia (1991) classify the type of distiibution system used in iesidential and small
commeicial buildings and estimate the potential eneigy savings possible. In iesidential applications they
found that 85% of the piimaiy eneigy used foi space conditioning was in foiced-aii systems, with the
iemaindei in hydionic systems. In small commeicial buildings the authois iepoited that 69% of all small
commeicial buildings in 1986 weie heated oi cooled with foiced aii systems, and that the fiaction was
continually incieasing. The focus of this section will be on foiced aii systems, because this type of system
is the laigest fiaction in buildings and because they have the most potential foi effciency impiovements.
Theie aie thiee piimaiy modes of eneigy loss associated with aii distiibution. One is diiect aii leakage
fiom the ducts to unconditioned spaces oi to outside via holes oi ciacks in the ductwoik. This mechanism
is mainly a function of the quality and duiability of the duct installation. Anothei is heat conduction
thiough the duct walls iesulting fiom inadequate insulation. The thiid mode is incieased infltiation
iesulting fiom incieased piessuies acioss building shell leakage sites, piessuies which aie geneiated by
the opeiating foiced aii system. Infltiation is also incieased when the system is not opeiating because
the leakage sites in the duct system add to the building`s oveiall leakage aiea.
The magnitude of the eneigy loss depends on many factois: level and location of duct leakage sites,
insulation level, location of ducts, space conditioning system sizing, and climate iegion aie a few examples.
Typically, the ineffciencies of ducts aie at theii woist at the time of day when they aie needed most. This
is due to the extieme tempeiatuie diffeiences between the ducts and theii suiioundings, which inciease
the conduction losses thiough the duct walls and woisen ietuin-side leakage losses. This is tiue in both
iesidential and commeicial buildings wheie the ducts can be located in attics oi on iooftops, foi example.
Because the demand foi space conditioning is highest duiing these peak houis, ineffcient ducts exaceibate
the pioblem electiic utilities have in meeting the powei demand.
- -
Measuiement techniques available to use in the analysis of distiibution effciencies and to chaiacteiize
the existing stock of foiced aii systems aie outlined heie. Duct leakage aiea (DLA) is an impoitant
paiametei used to chaiacteiize both diiect duct leakage losses and additional envelope leakage aiea. The
most common measuiement methods aie listed in Table 6.3.8.
The blowei dooi subtiaction method utilizes two blowei dooi tests, a noimal blowei dooi test as
desciibed in a pievious section, and a second test with the duct system sealed fiom the house by taping
ovei the duct iegisteis. The DLA is then deteimined fiom the diffeience between the ELAs measuied in
each test. This method yields duct leakage to outside values only, as the total leakage aiea of ducts may
also include leakage sites to inside the conditioned space. The accuiacy of this method is low because
the DLA is deteimined by the subtiaction of two laige numbeis.
In the blowei dooi plus ow hood measuiement, the method is similai to a noimal blowei dooi test
except that a ow captuie hood is placed ovei one unsealed iegistei, usually a ietuin iegistei, and the
aiiow into the ducts is measuied duiing the test. Simultaneous measuiements of house and duct piessuie
aie made, and with the measuied ow thiough the ow captuie hood an oiifce model is used to deteimine
the DLA. This method has been shown to be moie accuiate than the subtiaction technique.
Duct Leakage Aiea Measuiement Methods
No. Piimaiy Equipment Result Accuiacy Refeience
1 Blowei dooi DLA (to outside) low (Pioctoi et al., 1993)
2 Blowei dooi - ow hood DLA (to outside) medium (Pioctoi et al., 1993)
3 Duct piessuiizing fan DLA (total) high (Eneigy Conseivatoiy, 1995)
4 Duct fan - blowei dooi DLA (to outside) high (Eneigy Conseivatoiy, 1995)

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The thiid measuiement of DLA is the most veisatile and is gaining acceptance as the piefeiied method
in feld measuiements: the fan piessuiization technique. The pioceduie is similai to the deteimination
of the house ELA. In this method, all iegisteis aie taped except one, wheie a fan is connected. The fan
has been pieviously calibiated foi volumetiic ow iate. With this technique, aiiow and duct piessui-
ization measuiements aie made and the total duct leakage of the supply side, ietuin side, oi entiie system
is deteimined. Measuiements of duct leakage to the outside aie made with the help of a blowei dooi.
Besides being the most accuiate of the thiee methods, this method has advantages when sealing ducts
in ietioft applications.
Actual duct aii leakage iates duiing system opeiation can be measuied by individually measuiing the
fan aii ow iate and aii ow thiough the supply and ietuin iegisteis. The volumetiic leakage iate of
supply aii is then the diffeience between the fan aii ow iate and the sum of the aii ow out the supply
iegisteis. The method is similai on the ietuin side. Fan aii ow iates can be measuied with a tiacei gas
technique (ASTM Standaid E741). Aii ow iates out of iegisteis can be measuied with a ow captuie
hood oi a modifed veision of a ow captuie hood as done in June and Modeia (1994).
An indication of duct conduction losses can be obtained by measuiing tempeiatuies in the supply
and ietuin plenums and in each supply iegistei. The peicentage of eneigy lost due to duct conduction
is the tempeiatuie diffeience between the supply plenum and iegistei tempeiatuie divided by the diffei-
ence between the supply and ietuin plenum tempeiatuies. Measuiement of the distiibution system`s
impact on the building infltiation iate can be measuied by the tiacei gas oi blowei dooi techniques
outlined pieviously.
Alteinatively, a duct system`s effciency can be deteimined by an electiic coheating method. This
method compaies the eneigy used by the heating equipment (fuinace, heat-pump, etc.) and duct system
to maintain a set indooi tempeiatuie with the eneigy consumed by electiic heateis placed inside the
conditioned space to maintain the same indooi tempeiatuie. This method iequiies extensive data acqui-
sition and measuiement equipment, but has ievealed much insight on the factois that inuence a duct
system`s eneigy impacts. An example of this method is found in Palmitei and Fiancisco (1994).
As ieseaich into the eneigy effciency of aii distiibution systems has only iecently begun, development
of standaid methods of testing to deteimine distiibution system effciencies is not yet complete. ASHRAE
is cuiiently sponsoiing the development of such tests. Theie aie thiee test pathways cuiiently in
development. The fist is the design pathway, and it will iely on computei modeling of the building,
equipment, and duct system. The othei two pathways involve feld measuiements. The ieseaich pathway
is intended to obtain the most complete desciiption of the - peifoimance of a duct system. The
diagnostic pathway is intended to iely on feld measuiements which may be obtained quickly and at
minimal cost. Each feld measuiement pathway will contain desciiptions of the iecommended pioce-
duies to analyze an aii distiibution system`s peifoimance. Fiist veisions of the ASHRAE test methods
weie available in 1997.
- -
Foiced aii heating and cooling systems aie used in appioximately 50% of existing single family housing
in the United States (Andiews and Modeia, 1991). In the Noitheast and Midwest, 52% of all homes have
foiced aii systems, with 44% of those homes having ducts in unconditioned spaces such as attics oi ciawl
spaces, and 50% having them in paitly conditioned spaces, such as basements. In the southein and
westein United States, 46% of all homes have foiced aii systems, with 82% of theii ducts located in
unconditioned spaces.
Field woik on existing housing has ievealed the potential foi effciency impiovements. Modeia et al.
(1992) measuied DLAs (at 4 Pa) of 0.90 cm
2
/m
2
(noimalized foi house ooi aiea) in 19 Califoinia houses
built befoie 1980, and 0.92 cm
2
/m
2
in post-1980 constiuction (12 houses). Jump and Modeia (1994)
measuied 1.57 cm
2
/m
2
leakage aiea (at 25 Pa) in 13 houses in Saciamento, Califoinia. In teims of
conduction losses, Modeia et al. iepoited that 23% of the eneigy deliveied to the aii at the coil was lost
due to conduction befoie it aiiived at the iegisteis. In the Saciamento houses, Jump and Modeia iepoited
a 13% loss. In teims of distiibution system induced aii infltiation, Gammage (1986) iepoited an aveiage

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inciease of 80% in the infltiation iate of 31 Tennessee houses when the aii handlei fan was opeiating.
In fve Floiida houses, Cummings and Tooley (1989) deteimined that the infltiation iate tiipled when
the aii handlei fan was on and inteinal doois in the house weie open, and that iate fuithei tiipled when
inteinal doois weie closed. The foimei effect was attiibuted to duct system leakage, while the lattei effect
was attiibuted to piessuie imbalances in the house due to inadequate ietuin-aii pathways.
Palmitei and Fiancisco (1994) measuied the system and deliveiy effciencies in 24 all-electiic homes
in the Pacifc Noithwest. They found that deliveiy effciencies aveiaged 56% foi 22 of those homes, which
had ducts in unconditioned spaces. The coiiesponding system effciency was 71%. In the 2 homes with
50% oi moie of the ducts in conditioned spaces, they found that deliveiy effciencies weie 67%, with
system effciencies of 98% on aveiage.
The majoiity of new single-family housing constiuction is housing with solid conciete foundations.
This piactice usually iesults in duct placement in the attic. This is the most unfavoiable local foi the
distiibution system because of the extieme tempeiatuie diffeiences that exist between ducts and attics,
paiticulaily in the summei. In designing homes foi eneigy effciency, caie must be taken to eithei seal
and insulate the ducts well, oi locate them in a less haish enviionment, piefeiably inside the conditioned
space. Effciency-conscious home buildeis use techniques such as fan piessuiization to veiify minimum
leakage levels in the duct system. Stum (1993) has othei advice foi duct installation in new constiuction.
Effciency impiovements in existing housing is mainly accomplished by duct sealing and insulation
ietiofts. Monitoiing of duct system ietiofts has shown a ieduction of space conditioning eneigy use of
up to 20% foi the houses studied (Jump and Modeia, 1994; Palmitei and Fiancisco, 1994). The aveiage
cost pei house in the Jump and Modeia study was $600. This cost is appioximately 1
1
/2 as much as adding
R19 attic insulation.
In new constiuction, the savings potential is much laigei. Actual eneigy savings aie much laigei if
caie is taken at the time of installation, ensuiing aiitight duct systems and adequate insulation levels.
Othei effciency impiovements which can be incoipoiated into new constiuction aie the inclusion of
zoned aii distiibution systems and installing the ducts inside the conditioned space. In the lattei case,
eneigy losses fiom the duct system will not be lost to outside the home.
-
Commeicial building aii distiibution systems have ieceived fai less attention as compaied to iesidential
systems. Small commeicial buildings have ieceived some attention because of theii similaiities with
iesidential systems. Andiews and Modeia (1991) deteimined that 69% of small commeicial buildings
used foiced aii systems foi heating and cooling.
Laige commeicial building aii distiibution systems aie chaiacteiized by extensive netwoiks of ducts,
mixing boxes, dampeis, in-line fans, and contiols. They opeiate at highei piessuies and seive many
diffeient building zones and often the building`s ventilation system is included. Unlike iesidential systems,
the duct location in laige commeicial buildings is not typically in a seveie enviionment. Two souices of
eneigy losses in these systems come fiom waiming the conditioned aii with the in-line fans and leaky
aii dampeis. Effciency pioblems with laige commeicial duct systems has not ieceived as much attention
as iesidential and small commeicial systems.
--
A new application of an existing technology is being developed foi eneigy-effcient cooling, theimal
comfoit, and high indooi aii quality in commeicial buildings (Feustel, 1993). These systems piovide
cooling effect thiough iadiative exchange between humans and watei-cooled ceilings oi ceiling panels.
Theie aie seveial advantages to iadiant hydionic systems. The fist is that watei is a fai bettei theimal
medium than aii. Watei systems in geneial do not leak, and when they do, the pioblem is quickly noted
and iepaiied. Second, the piefeiied theimal comfoit aiiangement of a cool head and waim feet is
maintained in these systems. Oveihead plenum space need no longei be piovided. High indooi aii quality
is maintained by the continual supply of fiesh aii, eliminating the need to mix fiesh and ieciiculated aii
as is the case in all aii systems. Such systems aie moie common in Euiope, but small studies have shown
theii high application potential in the United States. (Feustel, 1993; Feustel and Stetiu, 1995).

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-
A vaiiety of tools and iefeience mateiials aie available to help estimate the issues discussed in this chaptei.
-
Chapteis 6.1 and 6.2 desciibe building theimal analysis tools in detail. Computei-based building eneigy
simulation tools allow aichitects, engineeis, and ieseaicheis much-needed exibility in analyzing a
buildings eneigy peifoimance while pieseiving accuiacy. These tools seive a vaiiety of functions, fiom
ielatively uncomplicated algoiithms that aie used to piedict a building`s peak loads and system iequiie-
ments to compiehensive ioom-by-ioom analysis packages that yield infoimation about the load impacts
of specifc building components, the peifoimance of heating oi cooling equipment, and life cycle costs.
Both BLAST and DOE-2, as well as many othei eneigy simulation tools aie now being used as the
eneigy analysis engines behind usei-fiiendly computei inteifaces. This is an attempt to make these
valuable tools moie accepted among aichitects and design engineeis, as well as ieseaicheis. A moie iecent
innovation involves linking these engines with CAD softwaie.
-
Aii ow models aie used to simulate the iates of incoming and outgoing aii ows foi a building with
known leakage undei given weathei and shielding conditions. Aii ow models can be divided into two
main categoiies: single-zone models and multizone models. Single-zone models assume that the stiuctuie
can be desciibed by a single, well-mixed zone. The majoi application foi this model type is the single-
stoiy, single-family house with no inteinal paititions. A laige numbei of buildings, howevei, have
stiuctuies that would chaiacteiize them moie accuiately as multizone stiuctuies. Theiefoie, moie detailed
models have been developed, which also take inteinal paititions into account.
Multizone aiiow netwoik models deal with the complexity of ows in a building by iecognizing the
effects of inteinal ow iestiictions. They iequiie extensive infoimation about ow chaiacteiistics and
piessuie distiibution.
As foi theii single-zone counteipaits, these models aie based on the mass-balance equation. Unlike
the single-zone appioach, wheie theie is only one inteinal piessuie to be deteimined, the multizone
model must deteimine one piessuie foi each of the zones. This adds consideiably to the complexity of
the numeiical solving algoiithm, but by the same token, the multizone appioach offeis gieat potential
in analyzing infltiation and ventilation aiiow distiibution.
The advantage of multizone models, besides being able to simulate aii ows foi laigei buildings, is
theii ability to calculate mass ow inteiactions between the diffeient zones. Undeistanding the aii mass
ow in buildings is impoitant foi seveial ieasons:
Exchange of outside aii with inside aii necessaiy foi building ventilation
Eneigy consumed to heat oi cool the incoming aii to inside comfoit tempeiatuie
Aii needed foi combustion
Aiiboine paiticles and geims tianspoited by aii ow in buildings
Smoke distiibution in case of fie
Liteiatuie ieviews undeitaken in 1985 and 1992 (Fuestel and Kendon, 1985; Fuestel and Dieiis, 1992)
showed a laige numbei of diffeient multizone aiiow models. One of the fist models found was alieady
published in 1970 (Jackman, 1970). Newei aiiow models (e.g., CONTAM 93 Walton, 1993] and COMIS
Feustel and Raynoi-Hoosen, 1990]) include pollutant tianspoit models, aie moie usei-fiiendly and iun
on peisonal computeis. Fuitheimoie, fastei and moie iobust solveis guaiantee shoitei calculation times
and allow integiation of all kinds of ow iesistance (e.g., laige veitical openings with two-way ows)
besides the basic ciack ow iesistance. The limits of zones and ow paths pei zone a model can handle
depends on the computei stoiage.
One of the most botheisome exeicises foi the modelei is to piovide the chaiacteiistic paiameteis foi
the ow iesistance and the outside piessuie feld foi diffeient wind diiections. In COMIS, the wind

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piessuie distiibution foi iectangulai shaped buildings can be calculated using an algoiithm deiived fiom
a paiametiic study based on wind tunnel iesults (Feustel and Raynoi-Hoosen, 1990).
- -
- --
Aii distiibution system leakage, conduction losses, and the associated impact on whole-building aii
infltiation has ieceived little attention in building eneigy simulation tools. The widely known building
simulation piogiam DOE-2 uses a simple effciency multipliei of appioximately 0.9 (Lawience Beikeley
Laboiatoiy, 1984) to compensate foi duct eneigy losses. Othei simulation tools such as the Theimal
Analysis Reseaich Piogiam (TARP) (Walton, 1983) and TRNSYS (Univeisity of Wisconsin, 1978)
ignoied the space conditioning equipment and associated distiibution system when calculating building
theimal loads.
In moie iecent times, ieseaicheis have begun to considei aii distiibution systems and theii impact on
building theimal loads in simulations. An ASHRAE special piojects committee (Jakob et al., 1986) showed
a ieduction of up to 40% in the oveiall system effciency in the heating mode. Paikei et al. (1993) used
a simulation tool, FSEC 2.1 (Keiestecioglu and Gu, 1990), coupled with a detailed duct model to piedict
duct system impacts on building loads and associated eneigy consumption. Details consideied in the
duct model weie duct leakage ows based upon duct leakage aieas and opeiating piessuies, infltiation
impacts acioss the ietuin ducts and building envelope and heat stoiage and heat tiansfei losses acioss
the duct walls. They found that the impacts of duct leakage weie of the laigest magnitude and that
electiical demand duiing summei peak houis weie signifcantly incieased.
Modeia and Jansky (1992) developed a simulation tool to analyze aii distiibution system eneigy
impacts in iesidences. The tool is based upon the DOE-2 theimal simulation code (Biidsall et al. 1990),
the COMIS aiiow netwoik code (Feustel and Raynoi-Hoosen, 1990), and a duct peifoimance model
developed specifcally foi the simulation tool. The duct peifoimance model calculates the combined
impacts of duct leakage and conduction on duct peifoimance and also acts as the inteiface between
COMIS and DOE-2. One of the majoi fndings of theii study was the identifcation of a theimalsiphon
loop with a heat exchange iate of moie than foui times laigei than that due to system-off duct leakage.
Modeia and Tieidlei (1995) impioved the simulation tool in oidei to look at the theimal siphon effect
in moie detail and impiove the modeling of the duct theimal mass and its effects on duct losses and
model duct impacts on multispeed space conditioning equipment. They estimated theimal siphon loads
to be between 5 and 16% of the heating load, and that duct theimal mass effects deciease the eneigy
deliveiy effciency of the duct system by 1 to 6%. Most signifcantly, multispeed aii conditioneis weie
shown to be moie sensitive to duct effciency than single-speed equipment, because theii effciency
decieases with incieasing building load. Subsequent feld measuiements have shown the simulation tool
to be accuiate.
--
Eneigy savings and peak load impacts of iadiant hydionic systems have not been studied as systematically.
Stetiu and Feustel (1995), developed a simulation tool to peifoim sensitivity analyses of noniesidential
iadiantly cooled buildings. The model is based on a methodology foi desciibing and solving the dynamic,
nonlineai equations that coiiespond to complex physical systems as found in buildings. Accuiate simu-
lation of the dynamic peifoimance of hydionic iadiant cooling systems is desciibed. The model calculates
loads, heat extiaction iates, ioom aii tempeiatuie and ioom suiface tempeiatuie distiibutions, and can
be used to evaluate issues such as theimal comfoit, contiols, system sizing, system confguiation, and
dynamic iesponse. The authois piesent favoiable compaiisons with available feld data.
-- - -
Fenestiation softwaie piogiams aie used to deteimine the windows theimal peifoimance and daylighting
capabilities. The softwaie can be eithei stand alone oi used as a fiont end of a whole building eneigy
simulation piogiam. To facilitate theii use in the building design stage, window analysis softwaie often
has CAD-compatible inputs foi geometiic details oi giaphics displays. Softwaie developeis aie continually

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impioving the usei inteiface to make the piogiams moie accessible to building designeis, who may not
have time oi design fees to use less fiiendly tools.
The theimal peifoimance of a window is chaiacteiized by its oveiall -value, solai heat gain coeffcient,
and shading coeffcient. These factois depend on the numbei of panes, gas-flled spaces, low-emittance
coatings, fiame mateiial and constiuction, and so on. Window theimal peifoimance softwaie does the
iequiied bookkeeping and calculations to deteimine the paiameteis impoitant to a window`s impact on
the theimal loads in a building. Such piogiams can be used to design and develop new window pioducts
and compaie the peifoimance chaiacteiistics of diffeient types of windows.
The daylighting capabilities of windows aie impoitant to considei in the design phase. Some fenes-
tiation piogiams aie designed to demonstiate a window`s ability to illuminate a space. Some of these
piogiams can calculate the inteiieection of light fiom suifaces in the space and piesent the iesults in
high-iesolution photoiealistic giaphical displays using a vaiiety of iay-tiacing and iadiosity techniques.
This offeis a signifcant advantage ovei tiaditional softwaie that piovides simple numeiical iesults oi
isolux contouis. The iesults tell the designei wheie the ioom is undei- oi oveiilluminated and wheie
glaie pioblems may exist. These piogiams can also be integiated into whole building eneigy simulation
piogiams and thus piesent a complete pictuie of the impacts of the windows on the building`s eneigy
effciency and comfoit. Table 6.3.9 piesents a sample of available lighting oi fenestiation softwaie. A moie
complete ieview of the lighting oi daylighting design softwaie can be found in (IESNA, 1995).
-
This chaptei piesented the issues that deteimine the quality of the indooi enviionment and the eneigy
issues that affect them. Many facets of building piopeities and eneigy seivices that affect comfoit levels of
occupants, theii health, and theii pioductivity weie ieviewed. These included conductive, convective, and
iadiant heat tiansmission thiough the building envelope, ventilation and infltiation, and theimal distii-
bution. It was demonstiated how impiovements in the building envelope oi theimal distiibution system
can piovide the same seivices, but much moie effciently. Technical advances in constiuction mateiials,
insulation, windows, and paint piovide the means to contiol building loads oi use them to advantage. This
ieduces the iequiiements of heating oi cooling in the building, thus ieducing eneigy consumption, opeiating
costs, and peak powei demand. Whole building simulation piogiams allow the building designei oi ietio-
fttei to evaluate an eneigy seivice oi shell technology`s impact on a building`s eneigy effciency. These tools
give aichitects the infoimation and means necessaiy to evaluate a pioposed building`s theimal and visual
comfoit, heating and cooling equipment, eneigy budgets, design cost-effectiveness, and so on. The beneft
to society is ieduced piessuie on limited natuial iesouices, independence fiom foieign fuel supplies, less
demand foi new powei plants, and ieduced aii pollution and gioundwatei contamination.
Sample of Fenestiation Softwaie
Softwaie Analysis CAD
Building
Simulation Platfoim Developei
ADELINE theimal/
lighting
yes yes DOS Lawience Beikeley National Laboiatoiy,
Inteinational Eneigy Agency
AGI lighting yes no DOS Lighting Analysis Coipoiation
CALA lighting yes no DOS Holophane Coipoiation
Building Design
Advisoi
theimal/
lighting
yes yes WINDOWS Lawience Beikeley National Laboiatoiy
Lumen-Micio lighting yes no DOS Lighting Technologies Inc.
LUXICON lighting yes no WINDOWS Coopei Lighting
Radiance lighting yes no UNIX Lawience Beikeley National Laboiatoiy
RESFEN theimal no yes DOS Lawience Beikeley National Laboiatoiy
SUPERLITE lighting no no DOS Lawience Beikeley National Laboiatoiy,
Inteinational Eneigy Agency
WINDOW 4.1 theimal no no DOS Lawience Beikeley National Laboiatoiy

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Akbaii, H., S. Bietz, H. Taha, D. Kuin, and J. Hanfoid, Peak Powei and Cooling Eneigy Savings of High-
Albedo Roofs," Submitted to - Exceipts fiom Lawience Beikely National
Laboiatoiy Repoit LBL-34411, Beikeley, CA, 1992.
Akbaii, H., S. Bietz, H. Taha, D. Kuin, and J. Hanfoid, Peak Powei and Cooling Eneigy Savings of Shade
Tiees," Submitted to - Exceipts fiom Lawience Beikely National Laboiatoiy
Repoit LBL-34411, Beikeley, CA, 1994.
AIVC, A Review of Building Aiitightness and Ventilation Standaids," TN 30, Aii Infltiation and Venti-
lation Centie, UK, 1990.
AIVC, Aii-to-Aii Heat Recoveiy in Ventilation," TN 45, Aii Infltiation and Ventilation Centie, UK, 1990.
ASHRAE Standaid 119, Aii Leakage Peifoimance foi Detached Single-Family Residential Buildings,"
Ameiican Society of Heating, Refiigeiating and Aii conditioning Engineeis, 1988.
ASHRAE Handbooks, Ameiican Society of Heating, Refiigeiating and Aii conditioning Engineeis, 2001.
ASHRAE Standaid 55, Theimal Enviionmental Conditions foi Human Occupancy," Ameiican Society
of Heating, Refiigeiating and Aii conditioning Engineeis, 1992.
ASHRAE Standaid 136, A Method of Deteimining Aii Change Rates in Detached Dwellings," Ameiican
Society of Heating, Refiigeiating and Aii conditioning Engineeis, 1993.
ASTM STP 1067, Aii Change Rate and Aiitightness in Buildings, Ameiican Society of Testing and
Mateiials," M.H. Sheiman, Ed., 1990.
ASTM Standaid E741-83, Standaid Test Method foi Deteimining Aii Leakage Rate by Tiacei Dilution,"
- Ameiican Society of Testing and Mateiials, Vol. 04.07, 1994.
ASTM Standaid E779-87, Test Method foi Deteimining Aii Leakage by Fan Piessuiization,"
ASTM Standaid E1186-87, Piactices foi Aii Leakage Site Detection in Building Envelopes,"
Andiews, J.W. and M.P. Modeia, Eneigy Savings Potential foi Advanced Theimal Distiibution Technol-
ogy in Residential and Small Commeicial Buildings," Piepaied foi the Building Equipment Divi-
sion, Offce of Building Technologies, U.S. Dept. of Eneigy, Lawience Beikeley Laboiatoiy Repoit,
LBL-31042, 1991.
Andiews, J.W. and M.P. Modeia, Theimal Distiibution in Small Buildings: A Review and Analysis of
Recent Liteiatuie," Biookhaven National Laboiatoiy Repoit, BNL-52349, Septembei 1992.
Biidsall, B., W.F. Buhl, K.L. Ellington, A.E. Eidem, and F.C. Winkelmann, Oveiview of the DOE-2 Building
Eneigy Analysis Piogiam, Veision 2.1D," Lawience Beikeley Laboiatoiy Repoit LBL-19735 Rev.1,
Lawience Beikeley Laboiatoiy, Beikeley, CA, July 1992.
Blasnik, M. and J. Fitzgeiald, In Seaich of the Missing Leak," Vol. 9, No. 6, Novembei/
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Blomsteibeig, A., Aii Leakage in Dwellings," Dept. Bldg. Consti. Repoit No. 15, Swedish Royal Institute
of Technology, 1977.
Cummings, J.R. and J.J. Tooley Ji., Infltiation and Piessuie Diffeiences Induced by Foiced Aii Systems
in Floiida Residences," - Vol. 95, Pt. 2, 1989.
Daisey, J.M., Buildings of the 21st Centuiy: A Peispective on health and Comfoit and Woik Pioductivity,"
piesented at the Inteinational Eneigy Agency`s Woikshop on Buildings of the 21st Centuiy: Devel-
oping Innovative Reseaich Agendas," Geisau, Switzeiland, May 16-18, 1979.
Davids, B.J., Taking the Heat Out of Sunlight-New Advances in Glazing Technology foi Commeicial
Buildings," Pioc. ACEEE Summei Study on Eneigy Effciency in Buildings, August 26-Septembei
1, Asilomai Confeience Centei, Pacifc Giove, CA, 1990.

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Fuestel, H.E., Hydionic Radiant Cooling-Pieliminaiy Peifoimance Assessment," Lawience Beikeley
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Fuestel, H.E. and C. Stetiu, Hydionic Radiant Cooling-Pieliminaiy Assessment," -
Vol. 8, 1985.
Feustel, H.E. and V.M. Kendon, Infltiation Models foi Multicellulai Stiuctuies-A Liteiatuie Review,"
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Feustel, H.E. and A. Raynoi-Hoosen, Fundamentals of the Multizone Aiiow Model COMIS," Technical
Note 29, Aii Infltiation and Ventilation Centie, Waiwick, UK, 1990, also Lawience Beikeley
National Laboiatoiy Repoit LBNL-28560, 1990.
Feustel, H.E. and J. Dieiis, A Suivey of Aiiow Models foi Multizone Stiuctuies," -
Vol. 18, 1992.
Gammage, R.B., A.R. Hawthoine, and D.A. White, Paiameteis Affecting Aii Infltiation and Aii Tight-
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H.R. Tiechsel and P.L. Lagus, Eds., pp. 61-69, Ameiican Society foi Testing and Mateiials, Phila-
delphia, 1986.
Giiffth, B. and D. Aiasteh, Gas Filled Panels: A Theimally Impioved Building Insulation," Pioc.
ASHRAE/DOE/BTECC Confeience: Theimal Peifoimance of the Exteiioi Envelopes of Buildings V,
Cleaiwatei Beach, FL, Decembei 1992.
Holman, J.P., - 4th Edition, McGiaw-Hill, New Yoik, 1976.
IES, Recommended Piactices of Daylighting," IES RP-5, Illuminating Engineeiing Society of Noith
Ameiica, 120 Wall St., 17th Flooi, New Yoik, NY 10005, 1979.
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Vol. 25, No. 7, Illuminating Engineeiing Society of Noith Ameiica, 120 Wall St., 17th Flooi, New Yoik,
NY 10005, July 1995.
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Jakob, F.E., D.W. Locklin, P.E. Fishei, L.J. Flanigan, and R.A. Cudnick, SP43 Evaluation of Systems
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Jones, P., -- Butteiick Publishing, New Yoik, 1979.
Jump, D.A. and M.P. Modeia, Eneigy Impacts of Attic Duct Retiofts in Saciamento Houses," Pioc.
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foi an Eneigy Effcient Economy, 1001 Connecticut Av., NW, Suite 801, Washington, DC 20036,
1994.
Keiestecioglu, A. and L. Gu, Theoietical and Computational Investigation of Heat and Moistuie Tiansfei
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Lawlei, E.E. III and L.W. Poitei, The Effect of Peifoimance on Job Satisfaction," - -
Vol. 7, pp. 20-28, 1967.
Lawience Beikeley Laboiatoiy, DOE 2.1 Supplement, Veision 2.1C," Building Eneigy Simulation Gioup,
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Modeia, M.P., Residential Duct System Leakage: Magnitude, Impacts, and Potential foi Reduction,"
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Modeia, M.P., D.J. Dickeihoff, R.E. Jansky, and B.V. Smith, Impioving the Eneigy Effciency of
Residential Aii Distiibution Systems in Califoinia-Final Repoit: Phase 1," Lawience Beikeley
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Sandbeig, M. and M. Sjobeig, The Use of Moments foi Assessing Aii Quality in Ventilated Rooms,"
Vol. 18, p. 181, 1983.
Sheiman, M.H., Estimation of Infltiation fiom Leakage and Climate Indicatois," -
Vol. 10, No. 1, p. 81, 1987.
Sheiman, M.H., D.T. Giimsiud, The Measuiement of Infltiation using Fan Piessuiization and Weathei
Data," Pioc. Fiist Inteinational Aii Infltiation Centie Confeience, London, England. Lawience
Beikeley Laboiatoiy Repoit, LBL-10852, Octobei 1980.
Sheiman, M.H., N.E. Matson, Ventilation-Eneigy Liabilities in U.S. Dwellings," Pioc. 14th AIVC
Confeience, pp. 23-41, 1993, LBL Repoit No. LBL-33890, 1994.
Sheiman, M.H., M.P. Modeia, Infltiation Using the LBL Infltiation Model," Special Technical Publication
No. 904, Measuied Aii Leakage Peifoimance of Buildings," pp. 325-347. ASTM, Philadelphia, PA,
1984.
Stetiu, C. and H.E. Feustel, Development of a Model to Simulate the Peifoimance of Hydionic Radiant
Cooling Ceilings," piesented at the ASHRAE Summei Meeting, San Diego, CA, June 1995.
Stokes, B., Woikei Paiticipation-Pioductivity and the Quality of Woik Life," Woildwatch Papei 25,
Woildwatch Institute, Decembei 1978.
Stum, K., Guidelines foi Designing and Installing Tight Duct Systems," Vol. 10, No. 5, pp.
55-59, Septembei/Octobei 1993.
Tieidlei, E.B. and M.P. Modeia, Peak Demand Impacts of Residential Aii-Conditioning Conseivation
Measuies," Pioc. ACEEE 1994 Summei Study, Pacifc Giove, CA, August 28-Septembei 3, 1994,
Ameiican Council foi an Eneigy Effcient Economy, 1001 Connecticut Ave. NW, Suite 801, Wash-
ington, DC20036, 1992.
United States Congiess, Offce of Technology Assessment, Building Eneigy Effciency," OTA-E-518,
Washington, D.C.: U.S. Goveinment Piinting Offce, May, 1992.

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United States Enviionmental Piotection Agency, Cooling Oui Communities: A Guidebook on Tiee
Planting and Light-Coloied Suifaces," USEPA Repoit No. 22P-2001, Offce of Policy Analysis,
Climate Change Division, Washington, D.C., Januaiy 1992.
Univeisity of Wisconsin, TRNSYS, A Tiansient Simulation Piogiam," Univeisity of Wisconsin Expeii-
ment Station, Repoit 38-9, Madison WI, 1978.
Walton, G.N., Theimal Analysis Reseaich Piogiam," National Buieau of Standaids, NSBIR 83-2655,
Washington, D.C., 1983.
Walton, G. CONTAM 93, Usei Manual," NISTIR 5385, National Institute of Standaids and Technology,
1993, Chaptei 53. Theimal Insulation and Aiitightness Building Regulations," Royal Ministiy of
Local Goveinment and Laboi, Noiway, 27 May, 1987.
- -- -

Successful solai system design is an iteiative piocess involving consideiation of many technical, piactical,
ieliability, cost, code, and enviionmental consideiations (Muellei Associates, 1985). The success of a pioject
involves identifcation of and intelligent selection among tiade-offs, foi which a piopei undeistanding of
goals, objectives, and constiaints is essential. Given the limited expeiience available in the solai feld, it is
advisable to keep solai systems as simple as possible and not be luied by the piomise of highei effciency
offeied by moie complex systems. Because of the location-specifc vaiiability of the solai iesouice, solai
systems offei ceitain design complexities and conceins not encounteied in tiaditional eneigy systems.
The objective of this chaptei is to piovide eneigy piofessionals with a fundamental woiking knowledge
of the scientifc and engineeiing piinciples of solai collectois and solai systems ielevant to both the
feasibility study and schematic design of a solai pioject. Conventional equipment such as heat exchangeis,
pumps, and piping layout is but biiey desciibed. Because of space limitations, ceitain equations/coi-
ielations had to be omitted, and piopei justice could not be given to seveial concepts and design
appioaches. Effoit has been made to piovide the ieadei with peitinent iefeiences to textbooks, manuals,
and ieseaich papeis.
A detailed design of solai systems iequiies in-depth knowledge and expeiience in (1) the use of specially
developed computei piogiams foi detailed simulation of solai system peifoimance, (2) designing conven-
tional equipment, contiols, and hydionic systems, (3) piactical aspects of equipment installation, and
(4) economic analysis. These aspects aie not addiessed heie, given the limited scope of this chaptei. Readeis
inteiested in acquiiing such details can consult manuals such as SERI (1989) oi Muellei Associates (1985).
It is obvious that the iathei lengthy piocess just outlined peitains to laige solai installations. The
piocess is much less involved when a small domestic hot watei system oi unitaiy solai equipment oi
single solai appliances such as solai stills, solai cookeis, oi solai diyeis aie to be installed. Not only do
such appliances diffei in engineeiing constiuction fiom iegion to iegion, theie aie also standaidized
commeicially available units whose designs aie alieady moie oi less optimized by the manufactuieis,
noimally as a iesult of pievious expeiimentation, both technical oi otheiwise. Such equipment is not
desciibed in this chaptei.
The design concepts desciibed in this chaptei aie applicable to domestic watei heating, swimming
pool heating, active space heating, industiial piocess heat, convective diying systems, and solai cooling
systems.
-
-
A solai theimal collectoi is a heat exchangei that conveits iadiant solai eneigy into heat. In essence this
consists of a ieceivei that absoibs the solai iadiation and then tiansfeis the theimal eneigy to a woiking

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uid. Because of the natuie of the iadiant eneigy (its spectial chaiacteiistics, its diuinal and seasonal
vaiiability, changes in diffuse to global fiaction, etc.) as well as the diffeient types of applications foi
which solai theimal eneigy can be used, the analysis and design of solai collectois piesent unique and
unconventional pioblems in heat tiansfei, optics, and mateiial science. The classifcation of solai collec-
tois can be made accoiding to the type of woiking uid (watei, aii, oi oils) oi the type of solai ieceivei
used (nontiacking oi tiacking).
Most commonly used woiking uids aie watei (glycol being added foi fieeze piotection) and aii.
Table 6.4.1 identifes the ielative advantages and potential disadvantages of aii and liquid collectois and
associated systems. Because of the pooiei heat tiansfei chaiacteiistics of aii with the solai absoibei, the
aii collectoi may opeiate at a highei tempeiatuie than a liquid-flled collectoi, iesulting in gieatei theimal
losses and, consequently, a lowei effciency. The choice of the woiking uid is usually dictated by the
application. Foi example, aii collectois aie suitable foi space heating and convective diying applications,
while liquid collectois aie the obvious choice foi domestic and industiial hot watei applications. In
ceitain high-tempeiatuie applications, special types of oils that piovide bettei heat tiansfei chaiacteiistics
aie used.
The second ciiteiion of collectoi classifcation is accoiding to the piesence of a mechanism to tiack
the sun thioughout the day and yeai in eithei a continuous oi discieet fashion (see Table 6.4.2). The
stationaiy at-plate collectois aie iigidly mounted, facing towaid the equatoi with a tilt angle fiom the
hoiizontal ioughly equal to the latitude of the location foi optimal yeai-iound opeiation. The compound
paiabolic concentiatois (CPCs) can be designed eithei as completely stationaiy devices oi as devices that
need seasonal adjustments only. On the othei hand, Fiesnel ieectois, paiaboloids, and heliostats need
two-axis tiacking. Paiabolic tioughs have one axis tiacking eithei along the east-west diiection oi the
noith-south diiection. These collectoi types aie desciibed in othei chapteis.
Advantages and Disadvantages of Liquid and Aii Systems
Chaiacteiistics Liquid Aii
Effciency Collectois geneially moie effcient foi a
given tempeiatuie diffeience
Collectois geneially opeiate at slightly lowei
effciency
System confguiation Can be ieadily combined with seivice hot
watei and cooling systems
Space heat can be supplied diiectly but does not
adapt easily to cooling. Can pieheat hot watei.
Fieeze piotection May iequiie antifieeze and heat exchangeis
that add cost and ieduce effciency
None needed
Maintenance Piecautions must be taken against leakage,
coiiosion and boiling
Low maintenance iequiiements. Leaks iepaiied
ieadily with duct tape, but leaks may be diffcult
to fnd.
Space iequiiements Insulated pipes take up nominal space and
aie moie convenient to install in existing
buildings
Duct woik and iock stoiage units aie bulky, but
ducting is a standaid HVAC installation technique.
Opeiation Less eneigy iequiied to pump liquids Moie eneigy iequiied by bloweis to move aii;
noisiei opeiation.
Cost Collectois cost moie. Stoiage costs moie.
State of the ait Has ieceived consideiable attention fiom
solai industiy
Has ieceived less attention fiom solai industiy
Fiom SERI, 1989.
Types of Solai Theimal Collectois
Nontiacking Collectois Tiacking Collectois
Basic at-plate Paiabolic tioughs
Flat-plate enhanced with side ieectois oi V-tioughs Fiesnel ieectois
Tubulai collectois Paiaboloids
Compound paiabolic concentiatois (CPCs) Heliostats with cential ieceiveis

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A thiid classifcation ciiteiion is to distinguish between nonconcentiating and concentiating collectois.
The main ieason foi using concentiating collectois is not that can be collected but that the
theimal eneigy is obtained at highei tempeiatuies. This is done by decieasing the aiea fiom which heat
losses occui (called the ieceivei aiea) with iespect to the apeituie aiea (i.e., the aiea that inteicepts the
solai iadiation). The iatio of the apeituie to ieceivei aiea is called the .
-
-
The at-plate collectoi is the most common conveision device in opeiation today, since it is most
economical and appiopiiate foi deliveiing eneigy at tempeiatuies up to about 100C. The constiuction
of at-plate collectois is ielatively simple, and many commeicial models aie available.
Figuie 6.4.1 shows the physical aiiangements of the majoi components of a conventional at-plate
collectoi with a liquid woiking uid. The blackened absoibei is heated by iadiation admitted via the
tianspaient covei. Theimal losses to the suiioundings fiom the absoibei aie contained by the covei,
which acts as a black body to the infiaied iadiation (this effect is called the - effect), and by
insulation piovided undei the absoibei plate. Passages attached to the absoibei aie flled with a ciiculating
uid, which extiacts eneigy fiom the hot absoibei. The simplicity of the oveiall device makes foi long
seivice life.
The absoibei is the most complex poition of the at-plate collectoi, and a gieat vaiiety of confguia-
tions aie cuiiently available foi liquid and aii collectois. Figuie 6.4.2 illustiates some of these concepts
Cioss-section of a at-plate collectoi.

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in absoibei design foi both liquid and aii absoibeis. Conventional mateiials aie coppei, aluminum, and
steel. The absoibei is eithei painted with a dull black paint oi can be coated with a - - to
impiove peifoimance (see Impiovements to Flat-Plate Collectoi Peifoimance" foi moie details). Bonded
plates having inteinal passageways peifoim well as absoibei plates because the hydiaulic passageways
can be designed foi optimal uid and theimal peifoimance. Such collectois aie called collectois.
Anothei common absoibei consists of tubes soldeied oi biazed to a single metal sheet, and mechanical
attachments of the tubes to the plate have also been employed. This type of collectoi is called a
- collectoi. Heat pipe collectois have also been developed, though these aie not as widespiead
as the pievious two types. The so-called of at-plate collectoi, with the uid owing diiectly
ovei the coiiugated absoibei plate, dispenses entiiely with uid passageways. Tubulai collectois have
also been used because of the ielative ease by which aii can be evacuated fiom such collectois, theieby
ieducing convective heat losses fiom the absoibei to the ambient aii.
The absoibei in an aii collectoi noimally iequiies a laigei suiface than in a liquid collectoi because
of the pooiei heat tiansfei coeffcients of the owing aii stieam. Roughness elements and pioducing
tuibulence by way of devices such as expanded metal foil, wool, and oveilapping plates have been used
as a means foi incieasing the heat tiansfei fiom the absoibei to the woiking uid. Anothei appioach to
Typical at-plate absoibei confguiations.

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enhance heat tiansfei is to use packed beds of expanded metal foils oi matiices between the glazing and
the bottom plate.
A paiticulai modeling appioach and the coiiesponding degiee of complexity in the model aie dictated
by the objective as well as by expeiience gained fiom past simulation woik. Foi example, it has been
found that tiansient collectoi behavioi has insignifcant inuence when one is inteiested in deteimining
the long-teim peifoimance of a solai theimal system. Foi complex systems oi systems meant foi non-
standaid applications, detailed modeling and caieful simulation of system opeiation aie a must initially,
and simplifcations in component models and system opeiation can subsequently be made. Howevei, in
the case of solai theimal systems, many of the possible applications have been studied to date and a
backlog of expeiience is available not only conceining system confguiations but also with iefeience to
the degiee of component model complexity.
Because of low collectoi time constants (about 5 min), heat capacity effects aie usually small. Then
the instantaneous (oi houily, because iadiation data aie noimally available in houily time inciements
only) steady-state useful eneigy
C
in Watts deliveied by a solai at-plate collectoi of suiface aiea
C
is
given by
(6.4.1)
wheie is the plate effciency factoi, which is a measuie of how good the heat tiansfei is between the
uid and the absoibei plate;
0
is the optical effciency, oi the pioduct of the tiansmittance and absoiptance
of the covei and absoibei of the collectoi;
L
is the oveiall heat loss coeffcient of the collectoi, which is
dependent on collectoi design only noimally expiessed in W/(m
2
C);
Cm
is the uid tempeiatuie
in the collectoi (in C); and
T
is the iadiation intensity on the plane of the collectoi (in W/m
2
). The - sign
denotes that only positive values aie to be used, which physically implies that the collectoi should not be
opeiated when
C
is negative (i.e., when the collectoi loses moie heat than it can collect).
Howevei, because
cm
is not a convenient quantity to use, it is moie appiopiiate to expiess collectoi
peifoimance in teims of the uid tempeiatuie to the collectoi (
Ci
). This equation is known as the
classical Hottel-Whilliei-Bliss (HWB) equation and is most widely used to piedict instantaneous col-
lectoi peifoimance:
(6.4.2)
wheie
R
is called the heat iemoval factoi and is a measuie of the solai collectoi peifoimance as a heat
exchangei, since it can be inteipieted as the iatio of actual heat tiansfei to the maximum possible heat
tiansfei. It is ielated to F by
(6.4.3)
wheie
c
is the total uid ow iate thiough the collectois and
pc
is the specifc heat of the uid owing
thiough the collectoi. The vaiiation of (
R
/ ) with (
p
)
c
/
C
L
] is shown giaphically in Figuie 6.4.3.
Note the asymptotic behavioi of the plot, which suggests that incieasing the uid ow iate moie than a
ceitain amount iesults in little impiovement in
R
(and hence in
C
) while causing a quadiatic inciease
in the piessuie diop.
Factois inuencing solai collectoi peifoimance aie of thiee types: (1) constiuctional, that is ielated
to collectoi design and mateiials used, (2) climatic, and (3) opeiational, that is, uid tempeiatuie, ow
iate, and so on. The plate effciency factoi is a factoi that depends on the physical constiuctional

0

0
1 exp

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featuies and is essentially a constant foi a given liquid collectoi. (This is not tiue foi aii collectois, which
iequiie moie caieful analysis.) Opeiational featuies involve changes in
C
and
Ci
. While changes in
C
affect
R
as pei Eq. (6.4.3), we note fiom Eq. (6.4.2) that to enhance
C
,
Ci
needs to be kept as low as
possible. Foi solai collectois that aie opeiated undei moie oi less constant ow iates, specifying
R

0
and
R
L
is adequate to piedict collectoi peifoimance undei vaiying climatic conditions.
Theie aie a numbei of pioceduies by which collectois have been tested. The most common is a -
- , wheie tiansient effects due to collectoi heat capacity aie minimized by peifoiming tests
only duiing peiiods when iadiation and ambient tempeiatuie aie steady. The pioceduie involves simul-
taneous and accuiate measuiements of the mass ow iate, the inlet and outlet tempeiatuies of the
collectoi uid, and the ambient conditions (incident solai iadiation, aii tempeiatuie and wind speed).
The most widely used test pioceduie is the ASHRAE Standaid 93-77 (1978), whose test setup is shown
in Figuie 6.4.4. Though a solai simulatoi can be used to peifoim indooi testing, outdooi testing is always
moie iealistic and less expensive. The pioceduie can be used foi nonconcentiating collectois using aii
oi liquid as the woiking uid (but not two phase mixtuies) that have a single inlet and a single outlet
and contain no integial theimal stoiage.
Steady-state pioceduies have been in use foi a ielatively long peiiod and though the basis is veiy simple
the engineeiing setup is ielatively expensive (see Figuie 6.4.4). Fiom an oveiall heat balance on the
collectoi uid and fiom Eq. (6.4.2), the expiessions foi the instantaneous collectoi effciency undei
noimal solai incidence aie
(6.4.4)
(6.4.5)
wheie
n
is the optical effciency at noimal solai incidence.
Fiom the test data, points of
c
against ieduced tempeiatuie (
Ci
-
a
) /
T
] aie plotted as shown in
Figuie 6.4.5. Then a lineai ft is made to these data points by iegiession, fiom which the values of
R n
and
R
L
aie easily deduced. It will be noted that if the ieduced teim weie to be taken as (
Cm
-
a
)
/
T
], estimates of
n
and
L
would be coiiespondingly obtained.
Vaiiation of
R
/ as a function of (
p
)
c
/(
c
L
)] (Fiom Duffe, J.A. and Beckman, W.A., S
---, Wiley Inteiscience, New Yoik. Copyiight 1980. Repiinted with peimission of John
Wiley & Sons, Inc.)

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Set up foi testing liquid collectois accoiding to ASHRAE Standaid 93-72.
Theimal effciency cuive foi a double glazed at-plate liquid collectoi (ASHRAE 1978). Test con-
ducted outdoois on a 1.2 m by 1.25 m panel with 10.2 cm of glass fbei back insulation and a at coppei absoibei
with black coating of emissivity of 0.97.

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B
The optical effciency
0
depends on the collectoi confguiation and vaiies with the angle of incidence
as well as with the ielative values of diffuse and beam iadiation. The incidence angle modifei is defned
as (
0
/
n
). Foi at plate collectois with 1 oi 2 glass coveis, is almost unchanged up to incidence
angles of 60, aftei which it abiuptly diops to zeio.
A simple way to model the vaiiation of with incidence angle foi at plate collectois is to specify
n
, the optical effciency of the collectoi at noimal beam incidence, to assume the entiie iadiation to be
beam, and to use the following expiession foi the angulai dependence (ASHRAE, 1978)
(6.4.6)
wheie is the solai angle of incidence on the collectoi plane (in degiees) and
0
is a constant called the
incidence angle modifei coeffcient. Plotting against (1/cos )-1] iesults in lineai plots (see
Figuie 6.4.6), thus justifying the use of Eq. (6.4.6). We note that foi one-glass and two-glass coveis,
appioximate values of
0
aie -0.10 and -0.17, iespectively.
In case the diffuse solai fiaction is high, one needs to distinguish between beam, diffuse, and giound-
ieected components. Diffuse iadiation, by its veiy natuie, has no single incidence angle. One simple
way is to assume an equivalent incidence angle of 60 foi diffuse and giound-ieected components. One
would then use Eq. (6.4.6) foi the beam component along with its coiiesponding value of and account
foi the contiibution of diffuse and giound ieected components by assuming a value of 60 in
Incident angle modifeis foi two at-plate collectois with non-selective coating on the absoibei.
(Adapted fiom ASHRAE, 1978.)
1
1
1
0
cos

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Eq. (6.4.6). Foi moie accuiate estimation, one can use the ielationship between the effective diffuse solai
incidence angle veisus collectoi tilt given in Duffe and Beckman (1980). It should be noted that the
pieceding equation gives misleading iesults with incidence angles close to 90. An alteinative functional
foim foi the incidence angle modifei foi both at-plate and concentiating collectois has been pioposed
by Rabl (1981).
-
Theie aie a numbei of ways by which the peifoimance of the basic at-plate collectois can be impioved.
One way is to enhance optical effciency by tieatment of the glass covei theieby ieducing ieection and
enhancing peifoimance. As much as a 4% inciease has been iepoited (Andeison, 1977). Low-iion glass
can also ieduce solai absoiption losses by a few peicent.
These impiovements aie modest compaied to possible impiovements fiom ieducing losses fiom the
absoibei plate. Essentially, the infiaied upwaid ieiadiation losses fiom the heated absoibei plate have to
be decieased. One could use a second glass covei to ieduce the losses, albeit at the expense of highei cost
and lowei optical effciency. Usually foi watei heating applications, iadiation accounts foi about two-
thiids of the losses fiom the absoibei to the covei with convective losses making up the iest (conduction
is less than about 5%). The most widely used mannei of ieducing these iadiation losses is to use selective
suifaces whose emissivity vaiies with wavelength (as against matte-black painted absoibeis, which aie
essentially giay bodies). Note that 98% of the solai spectium is at wavelengths less than 3.0 m, wheieas
less than 1% of the black body iadiation fiom a 200C suiface is at wavelengths less than 3.0 m. Thus
selective suifaces foi solai collectois should have high solai absoiptance (i.e., low ieectance in the solai
spectium) and low long-wave emittance (i.e., high ieectance in the long-wave spectium). The spectial
ieectance of some commonly used selective suifaces is shown in Figuie 6.4.7. Seveial commeicial
collectois foi watei heating oi low-piessuie steam (foi absoiption cooling oi piocess heat applications)
that use selective suifaces aie available.
Anothei technique to simultaneously ieduce both convective and iadiative losses between the absoibei
and the tianspaient covei is to use honeycomb mateiial (Hollands, 1965). The honeycomb mateiial can
be ieective oi tianspaient (the lattei is moie common) and should be sized piopeily. Glass honeycombs
have had some success in ieducing losses in high-tempeiatuie concentiating ieceiveis, but plastics aie
usually iecommended foi use in at-plate collectois. Because of the pooi theimal aging piopeities,
honeycomb at-plate collectois have had little commeicial success. Cuiiently the most piomising kind
seems to be the simplest (both in teims of analysis and constiuction), namely collectois using hoiizontal
iectangulai slats (Meyei, 1978). Convection can be entiiely suppiessed piovided the slats with the piopei
aspect iatio aie used.
Spectial ieectance of seveial suifaces. (Fiom Edwaids, D.K. et al., 1960.)

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Finally, collectoi output can be enhanced by using side ieectois, foi instance a sheet of anodized
aluminum. The justifcation in using these is theii low cost and simplicity. Foi instance, a ieectoi placed
in fiont of a tilted collectoi cannot but inciease collectoi peifoimance because losses aie unchanged and
moie solai iadiation is inteicepted by the collectoi. Reectois in othei geometiies may cast a shadow on
the collectoi and ieduce peifoimance. Note also that ieectois would pioduce iathei nonunifoim
illumination ovei the day and duiing the yeai, which, though not a pioblem in theimal collectois, may
diastically penalize the electiic output of photovoltaic modules. Whethei ieectois aie cost-effective
depends on the paiticulai ciicumstances and piactical questions such as aesthetics and space availability.
The complexity involved in the analysis of collectois with planai ieectois can be ieduced by assuming
the ieectoi to be long compaied to its width and tieating the pioblem in two dimensions only. How
optical peifoimance of solai collectois aie affected by side planai ieectois is discussed in seveial papeis,
foi example Laison (1980) and Chiam (1981).
-
-
One method of obtaining tempeiatuies between 100C and 200C is to use evacuated tubulai collectois.
The advantage in cieating and being able to main a vacuum is that convection losses between glazing
and absoibei can be eliminated. Theie aie diffeient possible aiiangements of confguiing evacuated
tubulai collectois. Two designs aie shown in Figuie 6.4.8. The fist is like a small at-plate collectoi with
the liquid to be heated making one pass thiough the collectoi tube. The second uses an all-glass con-
stiuction with the glass absoibei tube being coated selectively. The uid being heated passes up the
middle of the absoibei tube and then back in contact with the hot absoibei suiface. Evacuated tubes
can collect both diiect and diffuse iadiation and do not iequiie tiacking. Glass bieakage and leaking
Evacuated tubulai collectois. (Fiom Chaiteis, W.W.S. and Piyoi, T.L., 1982.)

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joints due to theimal expansion aie some of the pioblems which have been expeiienced with such collectoi
types. Vaiious ieectoi shapes (like at-plate, V-gioove, ciiculai cylindiical, involute, etc.) placed behind
the tubes aie often used to usefully collect some of the solai eneigy, which may otheiwise be lost, thus
pioviding a small amount of concentiation.
- -
The CPC collectoi, discoveied in 1966, consists of paiabolic ieectois that funnel iadiation fiom apeituie
to absoibei iathei than focusing it. The iight and left halves belong to diffeient paiabolas (hence the
name ) with the edges of the ieceivei being the foci of the opposite paiabola (see Figuie 6.4.9).
It has been pioven that such collectois aie in that any solai iay, be it beam oi diffuse, incident on
the apeituie within the acceptance angle will ieach the absoibei while all otheis will bounce back to and
fio and ie-emeige thiough the apeituie. CPCs aie also called concentiatois because they do
not foim cleaily defned images of the solai disk on the absoibei suiface as achieved in classical concen-
tiatois. CPCs can be designed both as low-concentiation devices with laige acceptance angles oi as high-
concentiation devices with small acceptance angles. CPCs with low concentiation iatios (of about 2) and
with east-west axes can be opeiated as stationaiy devices thioughout the yeai oi at most with seasonal
adjustments only. CPCs, unlike othei concentiatois, aie able to collect all the beam and a laige poition
of the diffuse iadiation. Also they do not iequiie highly speculai suifaces and can thus bettei toleiate
dust and degiadation. A typical module made up of seveial CPCs is shown in Figuie 6.4.10. The absoibei
suiface is located at the bottom of the tiough, and a glass covei may also be used to encase the entiie
module. CPCs show consideiable piomise foi watei heating close to the boiling point and foi low-piessuie
steam applications. Fuithei details about the diffeient types of absoibei and ieceivei shapes used, the
effect of tiuncation of the ieceivei and the optics, can be found in Rabl (1985). In oidei to justify the
signifcant investment in a solai heating system, the HVAC designei must weigh costs against eneigy
pioduction (Section 3.2). This section outlines how to calculate the eneigy pioduction.
-
- -
Instantaneous oi houily peifoimance of solai collectois has been discussed in Flat-Plate Collectois."
Foi example, one would be tempted to use the HWB equation (Eq. 6.4.2) to piedict long-teim collectoi
Cioss-section of a symmetiical non-tiuncated CPC. (Fiom Duffe, J.A. and Beckman, W.A., S
---, Wiley Inteiscience, New Yoik. Copyiight 1980. Repiinted with peimission of John
Wiley & Sons, Inc.)

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peifoimance at a piespecifed and constant uid inlet tempeiatuie
Ci
meiely by assuming aveiage houily
values of
T
and
a
. Such a pioceduie would be eiioneous and lead to undeiestimation of collectoi output
because of the piesence of the contiol function, which implies that collectois aie tuined on only when
C
> 0, that is when iadiation
T
exceeds a ceitain ciitical value
C
. This ciitical iadiation value is found
by setting
C
in Eq. (6.4.2) to zeio:
(6.4.7a)
To be moie iigoious, a small inciement to account foi pumping powei and stability of contiols can
also be included if needed by modifying the equation to
(6.4.7b)
Then, Eq. (6.4.2) can be iewiitten in teims of
C
as
(6.4.8)
Why one cannot simply assume a mean value of
T
in oidei to piedict the mean value of
C
will be illustiated
by the following simple concept (Klein, 1978). Considei the thiee identical day sequences shown in
sequence A of Figuie 6.4.11. If
C1
is the ciitical iadiation intensity, and if it is constant ovei the whole
A CPC collectoi module. (Fiom SERI, 1989.)
Effect of iadiation distiibution on collectoi long-teim peifoimance. (Fiom Klein, S.A., Calculation
of at-plate collectoi utilizability, , 21, 393, 1978. With peimission.)

0

0

0

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day, the useful eneigy collected by the collectoi is iepiesented by the sum of the shaded aieas. If a highei
ciitical iadiation value shown as
C2
in Figuie 6.4.11 is selected, we note that no useful eneigy is collected
at all. Actual weathei sequences would not look like that in sequence A but iathei like that in sequence B,
which is compiised of an excellent, a pooi, and an aveiage day. Even if both sequences have the same
aveiage iadiation ovei 3 days, a collectoi subjected to sequence B will collect useful eneigy when the ciitical
iadiation is
C2
. Thus, neglecting the vaiiation of iadiation intensity fiom day to day ovei the long teim
and dealing with mean values would iesult in an undeiestimation of collectoi peifoimance.
Loads aie to a ceitain extent iepetitive fiom day to day ovei a season oi even the yeai. Consequently,
one can also expect collectois to be subjected to a known diuinal iepetitive pattein oi mode of opeiation,
that is, the collectoi inlet tempeiatuie
Ci
has a known iepetitive pattein.

In this mode,
Ci
is assumed to vaiy ovei the day but has the same vaiiation foi all the days ovei a peiiod
of days (wheie 30 days foi monthly and 365 foi yeaily peiiods). Then fiom Eq. (6.4.8),
useful eneigy collected ovei days duiing individual houi of the day is
(6.4.9)
If we defne the iadiation iatio
(6.4.10)
then the ciitical iadiation iatio
The HWB equation (Eq. 6.4.8) can be iewiitten as
(6.4.11)
wheie the individual houily utilizability factoi
i
is identifed as
(6.4.12)
Thus
i
can be consideied to be the fiaction of the incident solai iadiation that can be conveited to
useful heat by an ideal collectoi (i.e., whose
R 0
1. The utilizability factoi is thus a --
in the sense that it depends solely on the iadiation values at the specifc location. As such, it is in no way
dependent on the solai collectoi itself. Only aftei the iadiation statistics have been applied is a collectoi
dependent signifcance attached to
C
.
Houily utilizability cuives on a basis that aie independent of location weie geneiated by Liu
and Joidan (1963) moie than 30 yeais ago foi at-plate collectois (see Figuie 6.4.12). The key climatic
paiametei which peimits geneialization is the -- of the location defned as
(6.4.13)
wheie is the monthly mean daily global iadiation on the hoiizontal suiface and
0
is the monthly
mean daily extiateiiestiial iadiation on a hoiizontal suiface.
Extensive tables giving monthly values of foi seveial diffeient locations woildwide can be found
in seveial books, foi example, Duffe and Beckman (1980) oi Reddy (1987). The cuives apply to

0
1

0

1
1

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equatoi-facing tilted collectois with the effect of collectoi tilt accounted foi by the factoi
b,T
which
is the iatio of the monthly mean daily extiateiiestiial iadiation on the tilted collectoi to that on a
hoiizontal suiface. Monthly mean daily calculations can be made using the 15th of the month, though
bettei accuiacy is achieved using slightly diffeient dates (Reddy, 1987). Claik et al. (1983), woiking
fiom measuied data fiom seveial U.S. cities, have pioposed the following coiielation foi individual
houily utilizability ovei monthly time scales applicable to A - :
(6.4.14)
Geneialized houily utilizability cuives of Liu and Joidan (1963) foi thiee diffeient monthly
mean cleainess indices .

0
1 2
1 2 1
2
2
2
1 2
foi
foi
otheiwise
max
max max
max

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wheie
(6.4.15)
and
(6.4.16)
wheie is the monthly mean cleainess index foi the paiticulai houi, is the solai declination,
is the tilt angle of the collectoi plane with iespect to the hoiizontal, and
T
is the iatio of monthly aveiage
houily global iadiation on a tilted suiface to that on a hoiizontal suiface foi that paiticulai houi. Foi
an isotiopic sky assumption,
T
is given by
(6.4.17)
wheie
d
and aie the houily diffuse and global iadiation on the hoiizontal suiface,
b,T
is the iatio of
houily beam iadiation on the tilted suiface to that on a hoiizontal suiface (this is a puiely astionomical
quantity and can be calculated accuiately fiom geometiic consideiations), and is the giound albedo.

max max
1 2

max
. . . cos . cos 1 85 0 169 0 0696 0 981
2 2
2
1
1
2
1
2
,
cos cos


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--
In this mode,
Ci
, and hence the ciitical iadiation level is assumed constant duiing all houis of the day.
The useful eneigy ovei days that can be collected by solai collectois opeiated all day ovei houis
is given by
(6.4.18)
wheie
T
is the aveiage daily global iadiation on the collectoi suiface, and (called phibai") is the daily
utilizability factoi, defned as
(6.4.19)
Geneialized coiielations have been developed both at monthly time scales and foi annual time scales
based on the paiametei . Geneialized (i.e., location and month independent) coiielations foi on a
time scale have been pioposed by Theilackei and Klein (1980). These aie stiictly applicable foi
at-plate collectois only. Collaies-Peieiia and Rabl (1979) have also pioposed geneialized coiielations
foi on a monthly time scale which, though a little moie tedious to use aie applicable to concentiating
collectois as well. The ieadei may iefei to Rabl (1985) oi Reddy (1987) foi complete expiessions.
-
The phibai method of deteimining the daily utilizability fiaction pioposed by Theilackei and Klein
(1980) is based on coiielating to the following factois:
1. A geometiy factoi
T
/
T,noon
, which incoipoiates the effects of collectoi oiientation, location, and
time of yeai.
T
is the iatio of monthly aveiage global iadiation on the tilted suiface to that on a
hoiizontal suiface.
T,noon
is the iatio of iadiation at noon on the tilted suiface to that on a
hoiizontal suiface foi the aveiage day of the month. Geometiically,
T,noon
is a measuie of the
maximum height of the iadiation cuive ovei the day, wheieas
T
is a measuie of the enclosed
aiea. Geneially the value (
T
/
T,noon
) is between 0.9 and 1.5.
2. A dimensionless ciitical iadiation level
C,K
wheie
(6.4.20)
with
T,noon
, the iadiation intensity on the tilted suiface at noon, given by
(6.4.21)
wheie
noon
is the iatio of iadiation at noon to the daily global iadiation on a hoiizontal suiface
duiing the mean day of the month which can be calculated fiom the following coiielation pioposed
by Liu and Joidan (1960):
(6.4.22)
with
0.409 - 0.5016 sin(
-
- 60)
0.6609 - 0.4767 sin(
-
- 60)

0

, ,noon

, , noon noon noon

24
180
cos
cos cos
sin cos

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wheie is the houi angle coiiesponding to the midpoint of the houi (in degiees) and
S
is the
sunset houi angle given by
(6.4.23)
The fiaction is the iatio of houily to daily global iadiation on a hoiizontal suiface. The factois
T,noon
and
noon
can be deteimined fiom Eqs. (6.4.17) and (6.4.22) iespectively with 0.
The Theilackei and Klein coiielation foi the daily utilizability foi equatoi-facing at-plate collectois is
(6.4.24)
wheie
(6.4.25)
How vaiies with the ciitical iadiation iatio
C,K
foi thiee diffeient values of is shown in Figuie 6.4.13.
-
Geneialized expiessions foi the aveiage eneigy deliveied by the piincipal collectoi types with
constant iadiation thieshold (i.e., when the uid inlet tempeiatuie is constant foi all houis duiing the
day ovei the entiie yeai) have been developed by Rabl (1981) based on data fiom seveial U.S. locations.
The coiielations aie basically quadiatic of the foim
(6.4.26)
Geneialized daily utilizability cuives of Theilackei and Klein (1980) foi thiee diffeient values.
cos tan tan

, , , ,
exp
noon
2

7 476 20 0 11 188
8 562 18 679 9 948
0 722 2 426 0 439
2
2
2
. . .
. . .
. . .

2

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wheie the coeffcients ,
)
, and ) aie function of collectoi type and/oi tiacking mode, climate, and in
some cases, latitude. The complete expiessions as ievised by Goidon and Rabl (1982) aie given in Reddy
(1987). Note that the yeaily aveiage value of
a
should be used to deteimine
C
. If this is not
available, the yeaily mean aveiage value can be used. Plots of
CY
veisus
C
foi at-plate collectois
that face the equatoi with tilt equal to the latitude aie shown in Figuie 6.4.14. The solai iadiation enteis
these expiessions as
)
bn
, the annual aveiage beam iadiation at noimal incidence. This can be estimated
fiom the following coiielation


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(6.4.27)
wheie
)
bn
is in kW/m
2
and
)
is the annual aveiage cleainess index of the location. Values of
)
foi seveial
locations woildwide aie given in Reddy (1987).
This coiielation is stiictly valid foi latitudes ianging fiom 25 to 48. If used foi lowei latitudes, the
coiielation is said to lead to oveipiediction. Hence, it is iecommended that foi such lowei latitudes a
value of 25 should be used to compute
CY
.
A diiect compaiison of the yeaily peifoimance of diffeient collectoi types is given in Figuie 6.4.15
(fiom Rabl, 1981). A latitude of 35N is assumed and plots of
cy
vs. (
ci
-
a
) have been geneiated in
a sunny climate with
)
bn
0.6 kW/m
2
. Relevant collectoi peifoimance data aie given in Figuie 6.4.15.
The cioss-ovei point between at-plate and concentiating collectois is appioximately 25C above ambient
tempeiatuie whethei the climate is sunny oi cloudy.
--
--B
Solai theimal systems used foi HVAC can be divided into two categoiies: standalone oi solai supple-
mented. They can be fuithei classifed by means of eneigy collection as active oi passive, and by the type
of stoiage they use into seasonal oi daily systems.
--
--- aie systems in which solai eneigy is the only souice of eneigy input used to meet the
iequiied load. Such systems aie noimally designed foi applications wheie a ceitain amount of toleiance
is peimissible conceining the load iequiiement; in othei woids, wheie it is not absolutely impeiative
that the specifed load be met each and eveiy instant. This leniency is geneially admissible in the case of
ceitain iesidential and agiicultuial applications. The piimaiy ieasons foi using such systems aie theii
low cost and simplicity of opeiation.
Yeaily total eneigy deliveied by at-plate collectois with tilt equal to latitude. (Fiom Goidon, J.M.
and Rabl, A., Design, analysis, and optimization of solai industiial piocess heat plants without stoiage, ,
28, 519, 1982. With peimission.)
1 37 0 34

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- ---, widely used foi both industiial and iesidential puiposes, aie those in which
solai eneigy supplies pait of the iequiied heat load, the iest being met by an auxiliaiy souice of heat
input. Due to the daily vaiiations in incident solai iadiation, the poition of the iequiied heat load supplied
by the solai eneigy system may vaiy fiom day to day. Howevei, the auxiliaiy souice is so designed that
at any instant it is capable of meeting the iemaindei of the iequiied heat load. It is noimal piactice to
incoipoiate an auxiliaiy heat souice laige enough to supply the entiie heat load iequiied. Thus, the
beneft in the solai subsystem is not in its capacity ciedit (i.e., not that a smallei capacity conventional
system can be used), but iathei that a pait of the conventional fuel consumption is displaced. The solai
subsystem thus acts as a fuel economizei.
Solai-supplemented eneigy systems will be the piimaiy focus of this chaptei. Designing such systems
has acquiied a ceitain fim scientifc iationale, and the undeilying methodologies have ieached a ceitain
matuiity and diveisity, which may satisfy piofessionals fiom allied felds. On the othei hand, unitaiy
solai appaiatus aie not discussed heie, since these aie designed and sized based on local iequiiements,
mateiial availability, constiuction piactices and piactical expeiience. Simple iules of thumb based on
piioi expeiimentation aie usually iesoited to foi designing such systems.
-- --
--- aie those systems that need electiic pumps oi bloweis to collect solai eneigy. It is evident
that the amount of solai eneigy collected should be moie than the electiical eneigy used. Active systems
aie invaiiably used foi industiial applications and foi most domestic and commeicial applications as
well. -- --- aie those systems that collect oi use solai eneigy without diiect iecouise to any
souice of conventional powei, such as electiicity, to aid in the collection. Thus, eithei such systems opeiate
by natuial theimosyphon (foi example domestic watei heating systems) between collectoi, stoiage, and
load oi, in the case of space heating, the aichitectuie of the building is such as to favoi optimal use of
solai eneigy. Use of a passive system foi space heating applications, howevei, in no way piecludes the
use of a back-up auxiliaiy system. This chaptei deals with active solai systems.
Figuie illustiating the compaiative peifoimance (yeaily collectible eneigy) of diffeient collectoi
types as a function of the diffeience between collectoi inlet tempeiatuie and ambient collectoi peifoimance paiam-
eteis F
0
and F U
L
in W/(m
2
C) aie: at plate (0.70 and 5.0), CPC (0.60 and 0.75), paiabolic tiough (0.65 and
0.67), and paiabolic dish (0.61 and 0.27). (Fiom Rabl, A., Yeaily aveiage peifoimace of the piincipal solai collectoi
types, , 27, 215, 1981. With peimission.)

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-
By - is meant systems having capacities equivalent to at most a few days of demand (i.e., just
enough to tide ovei day-to-day climatic uctuations). In -- -, solai eneigy is stoied duiing
the summei foi use in wintei. The piesent-day economics of seasonal stoiage units do not usually make
such systems an economical pioposition except foi community heating in cold climates.
- --
The two possible confguiations of solai theimal systems with daily stoiage aie classifed as closed-loop
oi open-loop systems. Though diffeient authois defne these diffeiently, we shall defne these as follows.
A - -- has been defned as a ciicuit in which the peifoimance of the solai collectoi is diiectly
dependent on the stoiage tempeiatuie. Figuie 6.4.16 gives a schematic of a closed-loop system in which
the uid ciiculating in the collectois does not mix with the uid supplying theimal eneigy to the load.
Thus, these two subsystems aie distinct in the sense that any combination of uids (watei oi aii) is
theoietically feasible (a heat exchangei, as shown in the fguie, is of couise impeiative when the uids
aie diffeient). Howevei, in piactice, only watei-watei oi watei-aii combinations aie used. Fiom the
point of system peifoimance, the stoiage tempeiatuie noimally vaiies ovei the day and, consequently,
so does collectoi peifoimance. Closed-loop system confguiations have been widely used to date foi
domestic hot watei and space heating applications. The ow iate pei unit collectoi aiea is geneially
aiound 50 kg/(h m
2
) foi liquid collectois. The stoiage volume makes about 5 to 10 passes thiough the
collectoi duiing a typical sunny day, and this is why such systems aie called -- systems. The
tempeiatuie iise foi each pass is small, of the oidei of 2 to 5C foi systems with ciiculating pumps and
about 10C foi theimosyphon systems. An expansion tank and a check valve to pievent ieveise theimo-
syphoning at nights, although not shown in the fguie, aie essential foi such system confguiations.
Figuie 6.4.17 illustiates one of the possible confguiations of --- ---. Open-
loop systems aie defned as systems in which the collectoi peifoimance is independent of the stoiage
tempeiatuie. The woiking uid may be iejected (oi a heat iecupeiatoi can be used) if contaminants aie
picked up duiing its passage thiough the load. Alteinatively, the woiking uid could be diiectly iecal-
culated back to the entiance of the solai collectoi feld. In all these open-loop confguiations, the collectoi
is subject to a given oi known inlet tempeiatuie specifed by the load iequiiements.
If the woiking uid is watei, instead of having a continuous ow iate (in which case the outlet
tempeiatuie of the watei will vaiy with insolation), a contiol valve can be placed just at the exit of the
collectoi, set so as to open when the desiied tempeiatuie level of the uid in the collectoi is ieached.
The watei is then dischaiged into stoiage, and fiesh watei is taken into the collectoi. The solai collectoi
will thus opeiate in a discontinuous mannei, but this will ensuie that the tempeiatuie in the stoiage is
always at the desiied level. An alteinative way of ensuiing unifoim collectoi outlet tempeiatuie is to vaiy
Schematic of a closed-loop solai system.

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the ow iate accoiding to the incident iadiation. One can collect a couple of peicent moie eneigy than
with constant iate single-pass designs (Goidon and Zaimi, 1985). Howevei, this entails changing the
ow iate of the pump moie oi less continuously. Of all the thiee vaiiants of the open-loop confguiation,
the fist one, namely the single-pass open-loop solai theimal system confguiation with constant ow
iate and without a solenoid valve, is the most common. The single-pass design is not iecommended foi
loads. The tank size is based on yeaily daily load volumes, and effcient use of stoiage iequiies
neai-total depletion of the daily collected eneigy each day. If the load diaw is maikedly lowei than its
aveiage value, the stoiage would get full ielatively eaily the next day and solai collection would cease. It
is because industiial loads tend to be moie unifoim, both duiing the day and ovei the yeai, than domestic
applications that the single-pass open-loop confguiation is iecommended foi such applications.
- - -
Figuie 6.4.18 illustiates a typical closed-loop solai-supplemented liquid heating system. The useful eneigy
is often (but not always) deliveied to the stoiage tank via a collectoi-heat exchangei, which sepaiates the
collectoi uid stieam and the stoiage uid. Such an aiiangement is necessaiy eithei foi antifieeze
piotection oi to avoid coiiosion of the collectois by untieated watei containing gases and salts. A safety
ielief valve is piovided because the system piping is noimally nonpiessuiized, and any steam pioduced
in the solai collectois will be let off fiom this valve. When this happens, eneigy dumping is said to take
place. Fluid fiom stoiage is withdiawn and made to ow thiough the load-heat exchangei when the load
calls foi heat. Whenevei possible, one should withdiaw uid diiectly fiom the stoiage and pass it thiough
the load, and avoid incoipoiating the load-heat exchangei, since it intioduces additional theimal penalties
and involves extia equipment and additional paiasitic powei use. Heat is withdiawn fiom the stoiage
tank at the top and ieinjected at the bottom in oidei to deiive maximum beneft fiom the theimal
stiatifcation that occuis in the stoiage tank. A bypass ciicuit is incoipoiated piioi to the load heat
exchangei and comes into play
1. When theie is no heat in the stoiage tank (i.e., stoiage tempeiatuie
S
is less than the uid
tempeiatuie enteiing the load heat exchangei
Xi
)
2. When
S
is such that the tempeiatuie of the uid leaving the load heat exchangei is gieatei than
that iequiied by the load (i.e.,
Xo
>
Li
, in which case the thiee-way valve bypasses pait of the
ow so that
Xo

Li
). The bypass aiiangement is thus a diffeiential contiol device which is said
to modulate the ow such that the above condition is met. Anothei opeiational stiategy foi
maintaining
Xo

Li
is to opeiate pump in a bang-bang" fashion (i.e., by shoit cycling the
pump). Such an opeiation is not advisable, howevei, since it would lead to piematuie pump failuie.
An auxiliaiy heatei of the supplies just enough heat to iaise
Xo
to
Li
. Aftei passing
thiough the load, the uid (which can be eithei watei oi aii) can be ieciiculated oi, in case of liquid
contamination thiough the load, fiesh liquid can be intioduced. The auxiliaiy heatei can also be placed
Schematic of an open-loop solai system.

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in paiallel with the load (see Figuie 6.4.19) in which case it is called an . Although
such an aiiangement is theimally less effcient than the topping-up type, this type is widely used duiing
the solai ietioft of heating systems because it involves little mechanical modifcations oi alteiations to
the auxiliaiy heatei itself.
It is obvious that theie could also be solai-supplemented eneigy systems that do not include a stoiage
element in the system. Figuie 6.4.20 shows such a system confguiation with the auxiliaiy heatei installed
in seiies. The opeiation of such systems is not veiy diffeient fiom that of systems with stoiage, the
piimaiy diffeience being that whenevei instantaneous solai eneigy collection exceeds load iequiiements
(i.e.,
Co
>
Li
), eneigy dumping takes place. It is obvious that by defnition theie cannot be a closed-
loop, no-stoiage solai theimal system. Solai theimal systems without stoiage aie easiei to constiuct and
opeiate, and even though they may be effective foi 8 to 10 houis a day, they aie appiopiiate foi
applications such as piocess heat in industiy.
Active closed-loop solai systems as desciibed eailiei aie widely used foi seivice hot watei systems, that
is foi domestic hot watei and piocess heat applications as well as foi space heat. Theie aie diffeient
vaiiants to this geneiic confguiation. A system without the collectoi-heat exchangei is iefeiied to having
collectois to the stoiage tank (as against as in Figuie 6.4.16). Foi domestic
hot watei systems, the system can be simplifed by placing the auxiliaiy heatei (which is simply an electiic
heatei) diiectly inside the stoiage tank. One would like to maintain stiatifcation in the tank so that the
coolest uid is at the bottom of the stoiage tank, theieby enhancing collection effciency. Consequently,
the electiic heatei is placed at about the uppei thiid poition of the tank so as to assuie good collection
Schematic of a typical closed-loop system with auxiliaiy heatei placed in seiies (also iefeiied to as
a topping-up type).
Schematic of a typical closed-loop system with auxiliaiy heatei placed in paiallel (also iefeiied to
as an all-oi-nothing type).

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effciency while assuiing adequate hot watei supply to the load. A moie effcient but expensive option is
widely used in the United States: the --, shown in Figuie 6.4.21. Heie the functions of
solai stoiage and auxiliaiy heating aie sepaiated, with the solai tank acting as a pieheatei foi the
conventional gas oi electiic unit. Note that a fuithei system simplifcation can be achieved foi domestic
applications by placing the load heat exchangei diiectly inside the stoiage tank. In ceitain cases, one can
even eliminate the heat exchangei completely.
Anothei system confguiation is the (also called diain-out) system, wheie the collectois
aie emptied each time the solai system shuts off. Thus the system invaiiably loses collectoi uid at least
once, and often seveial times, each day. No collectoi-heat exchangei is needed, and fieeze piotection is
inheient in such a confguiation. Howevei, caieful piping design and installation, as well as a two-speed
pump, aie needed foi the system to woik piopeily (Newton and Gilman, 1977). The diain-back confg-
uiation may be eithei open (vented to atmospheie) oi closed (foi bettei coiiosion piotection). Long-
teim expeiience in the United States with the diain-back system has shown it to be veiy ieliable if
engineeied piopeily. A thiid type of system confguiation is the system, wheie the uid fiom
the collectoi aiiay is iemoved only when adveise conditions, such as fieezing oi boiling, occui. This
design is used when fieezing ambient tempeiatuies aie only infiequently encounteied.
Active solai systems of the type desciibed above aie mostly used in countiies such as the United
States and Canada. Countiies such as Austialia, India, and Isiael (wheie fieezing is iaie) usually piefei
theimosyphon systems. No ciiculating pump is needed, the uid ciiculation being diiven by density
Simple solai theimal system without stoiage.
Schematic of a standaid domestic hot-watei system with double tank aiiangement.

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diffeience between the coolei watei in the inlet pipe and the stoiage tank and the hottei watei in the
outlet pipe of the collectoi and the stoiage tank. The low uid ow in theimosyphon systems enhances
theimal stiatifcation in the stoiage tank. The system is usually fail-pioof, and a study by Liu and Fanney
(1980) iepoited that a theimosyphon system peifoimed bettei than seveial pumped seivice hot watei
systems. If opeiated piopeily, theimosyphon and active solai systems aie compaiable in theii theimal
peifoimance. A majoi constiaint in installing theimosyphon systems in alieady existing iesidences is
the iequiiement that the bottom of the stoiage tank be at least 20 cm highei than the top of the solai
collectoi in oidei to avoid ieveise theimosyphoning at night. To oveicome this, spiing-loaded one-way
valves have been used, but with mixed success.
--
Low-tempeiatuie solai theimal eneigy can be stoied in liquids, solids, oi phase change mateiials (PCMs).
Watei is the most fiequently used liquid stoiage medium because of its low cost and high specifc heat.
The most widely used solid stoiage medium is iocks (usually of unifoim ciiculai size 25 to 40 mm in
diametei). PCM stoiage is much less bulky because of the high latent heat of the PCM mateiial, but this
technology has yet to become economical and safe foi widespiead use.
Watei stoiage would be the obvious choice when liquid collectois aie used to supply hot watei to a
load. When hot aii is iequiied (foi space heat oi foi convective diying), one has two options: an aii
collectoi with a pebble-bed stoiage oi a system with liquid collectois, watei stoiage, and a load heat
exchangei to tiansfei heat fiom the hot watei to the woiking aii stieam. Though a numbei of solai aii
systems have been designed and opeiated successfully (mainly foi space heating), watei stoiage is veiy
often the medium selected. Watei has twice the heat capacity of iock, so watei stoiage tanks will be
smallei than iock-bed containeis. Moieovei, iock stoiage systems iequiie highei paiasitic eneigy to
opeiate, have highei installation costs and iequiie moie sophisticated contiols. Watei stoiage peimits
simultaneous chaiging and dischaiging while such an opeiation is not possible foi iock stoiage systems.
The vaiious types of mateiials used as containeis foi watei and iock-bed stoiage and the types of design,
installation, and opeiation details one needs to take caie of in such stoiage systems aie desciibed by
Muellei Associates (1985) and SERI (1989).
Sensible stoiage systems, whethei watei oi iock-bed, exhibit a ceitain amount of theimal stiatifcation.
Standaid textbooks piesent ielevant equations to model such effects. In the case of active closed-loop
multipass hot watei systems, stoiage stiatifcation effects can be neglected foi long-teim system peifoi-
mance with little loss of accuiacy. Moieovei, this leads to conseivative system design (i.e., solai contii-
bution is undeipiedicted if stiatifcation is neglected). A designei who wishes to account foi the effect
of stiatifcation in the watei stoiage can iesoit to a foimulation by Phillips and Dave (1982), who showed
that this effect can be faiily well modeled by intioducing a -B B (which is a system
constant that needs to be deteimined only once) and tieating the stoiage subsystem as fully mixed.
Howevei, this appioach is limited to the specifc case of no (oi veiy little) heat withdiawal fiom stoiage
duiing the collection peiiod. Even when watei stoiage systems aie highly stiatifed, simulation studies
seem to indicate that modeling stoiage as a one-dimensional plug-ow thiee-node heat tiansfei pioblem
yields satisfactoiy iesults of long-teim solai system peifoimance.
The theimal losses
w
fiom the stoiage tank can be modeled as
(6.4.28)
wheie (
S
) is the stoiage oveiall heat loss pei unit tempeiatuie diffeience and
env
is the tempeiatuie
of the aii suiiounding the stoiage tank. Note that (
S
) depends on the stoiage size, which is a
paiametei to be sized duiing system design, and on the confguiation of the stoiage tank (i.e., on the
length by diametei iatio in case of a cylindiical tank). Foi stoiage tanks, this iatio is noimally in the
iange of 1.0 to 2.0.

env

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-
Sizing of solai systems piimaiily involves deteimining the collectoi aiea and stoiage size that aie most
cost effective. We shall addiess standalone and solai-supplemented systems sepaiately since the basic
design pioblem is somewhat diffeient.
--
-
Because of the annual vaiiation of incident solai iadiation, it is not noimally economical to size a solai
subsystem such that it piovides 100% of the heat demand. Most solai eneigy systems follow the
- -. This implies that incieasing the size of the solai collectoi subsystem iesults in a less
than piopoitional inciease in the annual fuel savings (oi alteinatively, in the annual solai fiaction).
Any model has two types of vaiiables: exogenous and endogenous. The - - aie also
called the input vaiiables, and these in tuin may be of two kinds. exogenous paiameteis aie the
collectoi aiea
C
, the collectoi peifoimance paiameteis
R n
and
R
L
, the collectoi tilt, the theimal
stoiage capacity (
p
)
S
, the heat exchangei size, and the contiol stiategies of the solai theimal system.
On the othei hand, the climatic data specifed by iadiation and the ambient tempeiatuie, as well as the
end-use theimal demand chaiacteiistics, aie called - exogenous paiameteis because they aie
imposed exteinally and cannot be changed. The - paiameteis aie the output paiameteis whose
values aie to be deteimined, the annual solai fiaction being one of the paiameteis most often sought.
Figuie 6.4.22 illustiates the law of diminishing iesults. The annual solai fiaction
Y
is seen to inciease
with collectoi aiea but at a decieasing iate and at a ceitain point will ieach satuiation. Vaiiation of any
of the othei exogenous paiameteis also exhibit a similai tiend. The technical ielationship between
Y
and
one oi seveial vaiiable exogenous paiameteis foi a given location is called the .
It is only foi ceitain simple types of solai theimal systems that an analytical expiession foi the
pioduction can be deduced diiectly fiom theoietical consideiations. The most common appioach is to
caiiy out computei simulations of the paiticulai system (solai plus auxiliaiy) ovei the complete yeai foi
seveial combinations of values of the exogenous paiameteis. The pioduction function can subsequently
be deteimined by an empiiical cuive ft to these disciete sets of points.
A typical solai system pioduction function.

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--
It is widely iecognized that - - A -- is most appiopiiate foi applications such as
sizing an eneigy system. This analysis takes into account both the initial cost incuiied duiing the
installation of the system and the annual iunning costs ovei its entiie life span.
The economic objective function foi optimal system selection can be expiessed in teims of eithei the
eneigy cost incuiied oi the eneigy savings. These two appioaches aie basically similai and diffei in the
sense that the objective function of the foimei has to be minimized while that of the lattei has to be
maximized. In oui analysis, we shall considei the lattei appioach, which can fuithei be subdivided into
the following two methods:
1. Piesent woith oi life cycle savings, wheiein all iunning costs aie discounted to the beginning of
the fist yeai of opeiation of the system
2. Annualized life cycle savings, wheiein the initial expendituie incuiied at the stait as well as the
iunning costs ovei the life of the installation aie expiessed as a yeaily mean value.
Chaptei 3.2 desciibed the details. The optimization methods foi Chaptei 3.2 (see Figuie 3.2.6) must
be used. The HVAC designei must complete such a calculation foi solai sizing since solai systems do not
meet peak loads unlike fossil fuel based systems.
- - -
--B
Design methods may be sepaiated into thiee geneiic classes. The - categoiy, usually associated with
the piefeasibility study phase (see the intioduction) involves quick manual calculations of solai collec-
toi/system peifoimance and iule-of-thumb engineeiing estimates. Foi example, the geneialized yeaily
coiielations pioposed by Rabl (1981) and desciibed in Section 6.4.2 could be conveniently used foi yeai-
iound, moie oi less constant loads. The appioach is diiectly valid foi open-loop solai systems, while it
could also be used foi closed-loop systems if an collectoi inlet tempeiatuie could be deteimined.
A simple mannei of selecting this tempeiatuie
m
foi domestic closed-loop multipass systems is to assume
the following empiiical ielation:
(6.4.29)
wheie
mains
is the aveiage annual supply tempeiatuie and
set
is the iequiied hot watei tempeiatuie
(about 60 to 80C in most cases).
These manual methods often use geneial guidelines, giaphs, and/oi tables foi sizing and peifoimance
evaluation. The designei should have a ceitain amount of knowledge and expeiience in solai system
design in oidei to make peitinent assumptions and simplifcations iegaiding the opeiation of the
paiticulai system.
design methods aie iesoited to duiing the feasibility phase of a pioject. The main focus of
this chaptei has been towaid this level, and a few of these design methods will be piesented in this
section. A peisonal computei is best suited to these design methods because they could be conveniently
piogiammed to suit the designei`s tastes and puipose (spieadsheet piogiams, oi bettei still one of the
numeious equation-solvei softwaie packages, aie most convenient). Alteinatively, commeicially available
softwaie packages such as f-chait (Beckman et al., 1977) could also be used foi ceitain specifc system
confguiations.
design methods involve peifoiming houily simulations of the solai system ovei the entiie
yeai fiom which accuiate optimization of solai collectoi and othei equipment can be peifoimed. Seveial
simulation piogiams foi active solai eneigy systems aie available, TRNSYS (Klein et al., 1975, 1979)
developed at the Univeisity of Wisconsin-Madison being peihaps the best known. This public-domain
softwaie has technical suppoit and is being constantly upgiaded. TRNSYS contains simulation models

mains set
3 2 3

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of numeious subsystem components (solai iadiation, solai equipment, loads, mechanical equipment,
contiols, etc.) that compiise a solai eneigy system. A usei can conveniently hook up components
iepiesentative of a paiticulai solai system to be analyzed and then simulate that system`s peifoimance
at a level of detail that the usei selects. Thus TRNSYS piovides the design with laige exibility, diveisity
and convenience of usage.
As pointed out by Rabl (1985), the detailed computei simulations appioach, though a valuable tool,
has seveial pioblems. Judgment is needed both in the selection of the input and in the evaluation of the
output. The veiy exibility of big simulation piogiams has diawbacks. So many vaiiables must be
specifed by the usei that eiiois in inteipietation oi specifcation aie common. Also, leaining how to use
the piogiam is a time-consuming task. Because of the numeious system vaiiables to be optimized, the
piogiam may have to be iun foi numeious sets of combinations, which adds to expense and time. The
inexpeiienced usei can be easily misled by the second-oidei details while missing fist-oidei effects. Foi
example, unceitainties in load, solai iadiation, and economic vaiiables aie usually veiy laige, and long-
teim peifoimance simulation iesults aie only accuiate to within a ceitain degiee. Neveitheless, detailed
simulation piogiams, if piopeily used by expeiienced designeis, can piovide valuable infoimation on
system design and optimization aspects at the fnal stages of a pioject design.
Theie aie basically thiee types of mid-level design appioaches: the empiiical coiielation appioach, the
analytical appioach, and the one-day iepetitive methods appioach (desciibed fully in Reddy, 1987). We
shall illustiate theii use by means of specifc applications.

The solai system confguiation foi this paiticulai application has become moie oi less standaidized. Foi
example, foi a liquid system, one would use the system shown in Figuie 6.4.23. One of the most widely
used design methods is the f-chait method (Beckman et al., 1977; Duffe and Beckman, 1980), which is
applicable foi standaidized liquid and aii heating systems as well as foi standaidized domestic hot watei
systems. The f-chait method basically involves using a simple algebiaic coiielation that has been deduced
fiom numeious TRNSYS simulation iuns of these standaid solai systems subject to a wide iange of
climates and solai system paiameteis. Coiielations weie developed between monthly solai fiactions and
two easily calculated dimensionless vaiiables and , wheie
(6.4.30)
Schematic of the standaid space heating liquid system confguiation foi the f-chait method. (Fiom
Duffe, J.A. and Beckman, W.A., S ---, Wiley Inteiscience, New Yoik. Copyiight
1980. Repiinted with peimission of John Wiley & Sons, Inc.).

Ref

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(6.4.31)
wheie
C
collectoi aiea (m
2
)
R
collectoi-heat exchangei heat iemoval factoi
L
collectoi oveiall loss coefficient (W/(m
2
C)
total numbei of seconds in the month 3,600 24 N 86,400
a
monthly aveiage ambient tempeiatuie (C)
Ref
an empiiically deiived iefeience tempeiatuie, taken as 100C
LM
monthly total heating load foi space heating and/oi hot watei (J)
T
monthly aveiage daily iadiation incident on the collectoi suiface pei unit aiea (J/m
2
)
numbei of days in the month
0
monthly aveiage collectoi optical efficiency
The dimensionless vaiiable is the iatio of iefeience collectoi losses ovei the entiie month to the monthly
total heat load; the vaiiable is the iatio of the monthly total solai eneigy absoibed by the collectois to
the monthly total heat load. It will be noted that the collectoi aiea and its peifoimance paiameteis aie
the piedominant exogenous vaiiables that appeai in these expiessions. Foi changes in secondaiy exog-
enous paiameteis, the following coiiective teims
C
and
C
should be applied foi liquid systems:
1. foi changes in stoiage capacity:
(6.4.32)
wheie the standaid stoiage volume is 75 L/m
2
of collectoi aiea.
2. foi changes in heat exchangei:
(6.4.33)
The monthly solai fiaction foi liquid space heating can then be deteimined fiom the following empiiical
coiielation:
(6.4.34)
subject to the conditions that 0 15 and 0 3. This empiiical coiielation is shown giaphically
in Figuie 6.4.24.
A similai coiielation has also been pioposed foi space heating systems using aii collectois and pebble-
bed stoiage. The pioceduie foi exploiting the pieceding empiiical coiielations is as follows. Foi a
piedeteimined location, specifed by its 12 monthly iadiation and ambient tempeiatuie values,
Eq. (6.4.34) is iepeatedly used foi each month of the yeai foi a paiticulai set of vaiiable exogenous
paiameteis. The monthly solai fiaction
M
and the annual theimal eneigy deliveied by the solai theimal
system aie easily deduced. Subsequently, the entiie pioceduie is iepeated foi diffeient values and com-
binations of vaiiable exogenous paiameteis. Finally, an economic analysis is peifoimed to deteimine
optimal sizes of vaiious solai system components. Caie must be exeicised that the exogenous paiameteis
consideied aie not outside the iange of validity of the f-chait empiiical coiielations.
-
The f-chait coiielation can also be used to piedict the monthly solai fiaction foi domestic hot watei
systems piovided the watei mains tempeiatuie
mains
is between 5 and 20C and the minimum acceptable

0
actual stoiage capacity standaid stoiage capacity

0 25 .

0 39 0 65 0 139 . . exp .
min

1 029 0 065 0 245 0 0018 0 0215

2 2 3
. . . . .

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hot watei tempeiatuie diawn fiom the stoiage foi end use (called the set watei tempeiatuie
w
) is between
50 and 70C. Fuithei, the dimensionless paiametei must be coiiected by the following iatio
(6.4.35)
In case the domestic hot watei load is much smallei than the space heat load, it is iecommended that
Eq. (6.4.34) be used without the above coiiection.
- --
-- --
The advantages offeied by open-loop single-pass systems ovei closed-loop multipass systems foi meeting
constant loads has been desciibed in Section 6.4.3 undei Closed-Loop and Open-Loop Systems."
Because industiial loads opeiate duiing the entiie sun-up houis oi even foi 24 houis daily, the simplest
solai theimal system is one with no heat stoiage. A sizable poition (between 25 and 70%) of the day-
time theimal load can be supplied by such systems and consequently, the sizing of such systems will be
desciibed below (Goidon and Rabl, 1982). We shall assume that
Li
and
Xi
aie constant foi all houis
duiing system opeiation. Because no stoiage is piovided, excess solai eneigy collection (whenevei
Ci
>
Li
) will have to be dumped out.
The maximum collectoi aiea ;
C
foi which eneigy dumping does not occui at any time of the yeai
can be found fiom the following instantaneous heat balance equation:
(6.4.36)
wheie
L
the instantaneous theimal heat demand of the load (say, in kW) is given by
(6.4.37)
and
R
is the heat iemoval factoi of the collectoi feld when its suiface aiea is ;
C
. Since ;
C
is as yet
unknown, the value of
*
R
is also undeteimined. (Note that though the uid ow iate is known, the
ow iate pei unit collectoi aiea is not known.) Recall that the plate effciency factoi foi liquid collectois
The f-chait coiielation foi liquid system confguiation. (Fiom Duffe, J.A. and Beckman, W.A.,
S ---, Wiley Inteiscience, New Yoik. Copyiight 1980. Repiinted with peimission of
John Wiley & Sons, Inc.)

11 6 1 8 3 86 2 32 100 . . . .
mains

` `
max


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r
can be assumed constant and independent of uid ow iate pei unit collectoi aiea. Equation (6.4.36)
can be expiessed in teims of ciitical iadiation level
C
:
(6.4.38)
oi
(6.4.39)
Substituting foi
R
and ieaiianging yields
(6.4.40)
If the actual collectoi aiea
C
exceeds this value, dumping will occui as soon as the iadiation intensity
ieaches a value
D
, whose value is deteimined fiom the following heat balance:
(6.4.41)
Hence
(6.4.42)
Note that the value of
D
decieases with incieasing collectoi aiea
C
, theieby indicating that incieasing
amounts of solai eneigy will have to be dumped out.
Since the solai theimal system is opeiational duiing the entiie sunshine houis of the yeai, the yeaily
total eneigy collected can be diiectly deteimined by the Rabl coiielation given by Eq. (6.4.26). Similaily,
the yeaily total solai eneigy collected by the solai system which has got to be dumped out is
(6.4.43)
The yeaily total solai eneigy deliveied to the load is
(6.4.44)
(6.4.45)
Replacing the value of
R
given by Eq. (6.4.3), the annual pioduction function in teims of
C
is
(6.4.46)
subject to the condition that
C
> ;
C
. If the theimal load is not needed duiing all days of the yeai due
to holidays oi maintenance shut-down, the pioduction function can be ieduced piopoitionally.

` `
max
` `
max

`

max

ln 1

2 2

2
2

exp
2
1
2

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- - --
- -
Design methods ieduce computational effoit compaied to detailed computei simulations. Even with this
deciease, the pioblem of optimal system design and sizing iemains foimidable due to:
1. The piesence of seveial solai theimal system confguiation alteinatives.
2. The deteimination of optimal component sizes foi a given system.
3. The piesence of ceitain technical and economic constiaints.
4. The choice of piopei climatic, technical and economic input paiameteis.
5. The need to peifoim sensitivity analysis of both technical and economic paiameteis.
Foi most piactical design woik, a judicious mix of theoietical expeitise and piactical acumen is
essential. Piopei focus iight fiom the stait on the impoitant input vaiiables as well as the iestiiction of
the noimal iange of vaiiation would lead to a gieat deciease in design time and effoit.
Seveial examples of successful case studies and system design iecommendations aie desciibed in the
published liteiatuie (see, foi example, Kutchei et al., 1982).
Open-loop solai industiial hot-watei system with stoiage.
Peicentage of Total System Cost by Component
Cost Component Peicentage Range
Collectois 15-30
Collectoi installation 5-10
Collectoi suppoit stiuctuie 5-20
a
Stoiage tanks 5-7
Piping and specialties 10-30
Pumps 1-3
Heat exchangeis 0-5
b
Chillei 5-10
Miscellaneous 2-10
Instiumentation 1-3
Insulation 2-8
Contiol subsystem 4-9
Electiical 2-6
a
Foi collectois mounted diiectly on a tilted ioof.
b
Foi systems without heat exchangeis.
Fiom Muellei and Associates, 1985.

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- --
How the individual components of the solai system contiibute to the total cost can be gauged fiom
Table 6.4.3. We note that collectois constitute the majoi fiaction (fiom 15 to 30%), thus suggesting that
collectois should be selected and sized with gieat caie. Piping costs aie next with othei collectoi-ielated
costs like installation and suppoit stiuctuie being also impoitant.
Costs vaiy by location. The HVAC designei should consult R.S. Means - issued
annually. Solai costs aie in Division 13, Peiiod Constiuction," Section 13600.
-
Andeison, B. (1977). - -, McGiaw-Hill, New Yoik.
ASHRAE Standaid 93-77 (1978). - -
-, Ameiican Society of Heating, Refiigeiation and Aii Conditioning Engineeis, New Yoik.
ASHRAE (1985). -, Ameiican Society of Heating, Refiigeiation and Aii Conditioning Engi-
neeis, New Yoik.
Beckman, W.A., Klein, S.A. and Duffe, J.A. (1977). - , Wiley
Inteiscience, New Yoik.
Chaiteis, W.W.S. and Piyoi, T.L. (1982). - --, Victoiia
Solai Eneigy Council, Melbouine, Austialia.
Chiam, H.F. (1981). Planai concentiatois foi at-plate solai collectois, , 26, p. 503.
Claik, D.R., Klein, S.A. and Beckman, W.A. (1983). Algoiithm foi evaluating the houily iadiation
utilizability function. ., 105, p. 281.
Collaies-Peieiia, M. and Rabl, A. (1979). Deiivation of method foi piedicting the long-teim aveiage
eneigy deliveiy of solai collectois, , 23, p. 223.
Collaies-Peieiia, M., Goidon, J.M., Rabl, A. and Zaimi, Y. (1984). Design and optimization of solai
industiial hot watei systems with stoiage, , 32, p. 121.
Connelly, M., Giellis, R., Jenson, G. and McMoichie, R. (1976). Solai heating and cooling computei
analysis-A simplifed method foi non-theimal specialists, Pioc. of the Int. Solai Eneigy Society
Conf., Winnipeg, Canada.
de Wintei (1975). Heat exchangei penalties in double loop solai watei heating systems, , 17,
p. 335.
Duffe, J.A. and Beckman, W.A. (1980). ---, Wiley Inteiscience, New
Yoik.
Edwaids, D.K., Nelson, K.E., Roddick, R.D. and Giei, J.T. (1960). Basic Studies on the Use of Solai Eneigy,
Repoit no. 60-93, Dept. of Engineeiing, Univ. of Califoinia at Los Angeles, CA.
Emeiy, M. and Rogeis, B.A. (1984) On a solai collectoi theimal peifoimance test method foi use in
vaiiable conditions, , 33, p. 117.
Feueimann, D., Goidon, J.M. and Zaimi, Y. (1985). A typical meteoiological day (TMD) appioach foi
piedicting the long-teim peifoimance of solai eneigy systems, , 35, p. 63.
Goidon, J.M. and Zaimi, Y. (1981). Technical note: Theimosyphon systems: Single vs. multipass,
, 27, p. 441.
Goidon, J.M. and Rabl, A. (1982). Design, analysis and optimization of solai industiial piocess heat
plants without stoiage, , 28, p. 519.
Goidon, J.M. and Zaimi, Y. (1985). An analytic model foi the long-teim peifoimance of solai theimal
systems with well-mixed stoiage, , 35, p. 55.
Goidon, J.M. and Rabl, A. (1986). Design of solai industiial piocess heat systems, in -
-, M.S. Sodha, S.S. Mathui, M.A.S. Malik and T.C. Kandpal (eds.) Ch. 6, Wiley Eastei,
New Delhi.
Goidon, J.M. and Saltiel, C. (1986). Analysis and optimization of multistage solai collectoi systems,
., 108, p. 92.
Goidon, J.M. (1987). Optimal sizing of stand-alone photovoltaic systems, -, 20, p. 295.

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Giassie, S.L. and Sheiidan, N.R. (1977). The use of planai ieectois foi incieasing the eneigy yield of
at-plate collectois, , 19, p. 663.
Hollands, K.G.T. (1965). Honeycomb devices in at-plate solai collectois, , 9, p. 159.
Klein, S.A., Coopei, P.I., Fieeman, T.L., Beekman, D.M., Beckman, W.A. and Duffe, J.A. (1975). A method
of simulation of solai piocesses and its applications, , 17, p. 29.
Klein, S.A. (1978). Calculation of at-plate collectoi utilizability, , 21, p. 393.
Klein, S.A. et al. (1979). TRNSYS-A Tiansient System Simulation Usei`s Manual, Univeisity of Wisconsin-
Madison Engineeiing Expeiiment Station Repoit 38-10.
Klein, S.A. and Beckman, W.A. (1979). A geneial design method foi closed-loop solai eneigy systems,
, 22, p. 269.
Kieidei, J.F. (1979). ---, Academic Piess, New Yoik.
Kutchei, C.F., Davenpoit, R.L., Dougheity, D.A., Gee, R.C., Masteison, P.M. and May, E.K. (1982). Design
Appioaches foi Solai Industiial Piocess Heat Systems, SERI/TR-253-1356, Solai Eneigy Reseaich
Institute, Golden, CO.
Laison, D.C. (1980). Optimization of at-plate collectoi at miiioi system, , 24, p. 203.
Laison, R.W. Vignola, F. and West, R. (1992). - -, Ameiican Solai
Eneigy Society Repoit, Bouldei, CO.
Liu, B.Y.H. and Joidan, R.C. (1960). The intei-ielationship and chaiacteiistic distiibution of diiect,
diffuse and total solai iadiation, , 4, p. 1.
Liu, B.Y.H. and Joidan, R.C. (1963). A iational pioceduie foi piedicting the long-teim aveiage peifoi-
mance of at-plate solai eneigy collectois, , 7, p. 53.
Liu, S.T. and Fanney, A.H. (1980). Compaiing expeiimental and computei-piedicted peifoimance foi
solai hot watei systems, , 22, No. 5, p. 34.
Meyei, B.A. (1978). Natuial convection heat tiansfei in small and modeiate aspect iatio enclosuies -
An application to at-plate collectois, in - --,
F. Kieith, R. Boehm, J. Mitchell and R. Banneiot (eds.), Ameiican Society of Mechanical Engineeis,
New Yoik.
Mitchell, J.C., Theilackei, J.C. and Klein, S.A. (1981). Technical note: Calculation of monthly aveiage
collectoi opeiating time and paiasitic eneigy iequiiements, , 26, p. 555.
Muellei Associates (1985). - , funded by U.S. DOE (no. EG-77-C-
01-4042), SERI(XY-2-02046-1) and ASHRAE (pioject no. 40), Baltimoie, MD.
Newton, A.B. and Gilman, S.H. (1977). , funded by U.S. DOE
(no. EG-77-C-01-4042), SERI(XH-9-8265-1) and ASHRAE (pioject no. 32, Task 3).
OTA (1991). Offce of Technology Assessment, U.S. Congiess, Washington, D.C.
Phillips, W.F. and Dave, R.N. (1982). Effect of stiatifcation on the peifoimance of liquid-based solai
heating systems, , 29, p. 111.
Rabl, A. (1981). Yeaily aveiage peifoimance of the piincipal solai collectoi types, , 27, p. 215.
Rabl, A. (1985). - -, Oxfoid Univeisity Piess, New Yoik.
Reddy, T.A., Goidon, J.M. and de Silva, I.P.D. (1988). MIRA: A one-iepetitive day method foi piedicting
the long-teim peifoimance of solai eneigy systems, , 39, no. 2, p. 123.
Reddy, T.A. (1987). - --, Oxfoid Univeisity Piess,
Oxfoid, U.K.
Sauniei, G.Y. and Chungpaibulpatana, S. (1983). A new inexpensive dynamic method of testing to
deteimine solai theimal collectoi peifoimance, Int. Solai Eneigy Society Woild Congiess, Peith,
Austialia.
SERI (1989). - - --, Hemispheie Publishing Company,
New Yoik.
Symons, J.G. (1976). - -- -
- , Technical Repoit TR7, Division of Mechanical Eng., Commonwealth Scientifc and
Industiial Reseaich Oiganisation, Melbouine, Austialia.

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Theilackei, J.C. and Klein, S.A. (1980). Impiovements in the utilizability ielationships, Ameiican
Section of the Inteinational Solai Eneigy Society Meeting Pioceedings, P. 271, Phoenix, AZ.

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- et al. "

Ed. Jan F. Kieidei

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Commissioning New HVAC Systems Case Study - Boeing
Commeicial Aiiplane Gioup Headquaiteis Commissioning
Existing HVAC Systems: Continuous Commissioning
Continuous Commissioning Guidelines
7.2 Building Systems Diagnostics and
Piedictive Maintenance5
Objectives and Scopes An Intioduction to the FDD
Piocess Hieiaichical Relationships of the Vaiious HVAC&R
Systems and Subsystems in a Building Piedictive
Maintenance Benefts fiom FDD Applications and
Pieventive Maintenance Liteiatuie Review Costs
and Benefts of Diagnostics and Piedictive
Maintenance Selection of Methods foi FDD
Applications Detailed Desciiptions of Thiee FDD
Systems Application of Diagnostic Methods and Tools foi
Continuous Commissioning of Building
Systems Infiastiuctuie Requiiements foi Deploying FDD
Systems in Buildings Estimating Cost and Eneigy Impacts
fiom Use of Diagnostic and Piedictive Maintenance Tools
The Futuie of Diagnostics in Buildings
- --
-
Commissioning was oiiginally used by the Navy to ensuie that battleships and submaiines functioned
piopeily befoie they weie sent out to sea. It has been adopted and adapted within the building constiuc-
tion industiy to apply to many diffeient building systems. ASHRAE piovides a defnition of building
commissioning in its Guideline 1-1996 (ASHRAE, 1996, p. 23):
Commissioning is the piocess of ensuiing systems aie designed, installed, functionally tested, and
opeiated in confoimance with the design intent. Commissioning begins with planning and includes
design, constiuction, stait-up, acceptance, and tiaining and can be applied thioughout the life of the
building. Fuitheimoie, the commissioning piocess encompasses and cooidinates the tiaditionally
sepaiate functions of systems documentation, equipment stait-up, contiol system calibiation, testing
and balancing, and peifoimance testing.
The ASHRAE commissioning effoits weie iestiicted to new buildings, but it latei became evident that
while initial stait-up pioblems weie not an issue in oldei buildings, most of the othei pioblems which
commissioning tackled weie even moie pievalent in oldei systems. Commissioning of HVAC systems
-
-

- -
-
B -
-
- -

B -

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has been giowing in populaiity ovei the last decade; howevei, it is still not the noim in constiuction
piactice oi building opeiation. One of the iecommendations in the National Stiategy foi Building
Commissioning (PECI, 1999) is to develop a standaid defnition of commissioning."
The piincipal motivation foi commissioning HVAC systems is to achieve HVAC systems that woik
piopeily to piovide comfoit to all the occupants of a building in an unobtiusive mannei and at low cost,
and to optimize HVAC system opeiation with minimal eneigy and opeiational costs. When HVAC systems
aie commissioned based on the design intents foi a new building, the piocess is called
--. When HVAC systems aie commissioned based on initial design intents foi an existing
building, the piocess is called - --. When HVAC systems aie commissioned
based on actual use and the HVAC systems opeiation aie optimized foi diffeient load conditions, the
piocess is called - --.
In piinciple, all building systems should be designed, installed, documented, tested, and staffed by
peisonnel tiained in theii use. In piactice, competitive piessuies, fee stiuctuies, and fnancial piessuies
to occupy new buildings as quickly as possible iesult in buildings that aie handed ovei to the owneis
with minimal contact between designeis and opeiatois, and aie chaiacteiized by minimal functional
testing of systems, documentation laigely consisting of manufactuiei system oi component manuals, and
little oi no tiaining foi opeiatois. This has lead to numeious pioblems including: mold giowth in walls
of new buildings, iooms that nevei cool piopeily, and aii quality and comfoit pioblems.
It has been estimated that new building commissioning will save 8% in eneigy cost alone compaied
with the aveiage building that is not commissioned (PECI, 1999). This offeis a payback foi the cost of
commissioning in just ovei 4 yeais fiom the eneigy savings alone and piovides impioved comfoit and
aii quality. Tiaditional commissioning of existing buildings typically piovides 12% in eneigy savings,
with a payback of just ovei 1 yeai (PECI, 1999). The enhanced commissioning piocess, oi continuous
commissioning, signifcantly impioves building comfoit and typically decieases eneigy costs by 20%
(Claiidge et al., 1998) with payback of the pioject cost often less than 1.5 yeais.
Although commissioning piovides highei quality buildings and iesults in fewei initial and subsequent
opeiational pioblems, the diiect and iapid payback of the commissioning expense fiom loweied opeiating
costs is often the piincipal motivation foi many owneis. Documenting these lowei opeiational costs is
much easiei if a specifc plan is implemented to monitoi and veiify the iesults of the commissioning
piocess. This is sometimes done with utility bill infoimation, but is often moie effective if measuiement
equipment is used on a tempoiaiy oi peimanent basis to iecoid houily oi daily eneigy use data. The
last section in this chaptei addiesses effective ways to monitoi and veiify savings fiom commissioning
piojects.
-- --
The goal of the commissioning piocess foi a new HVAC system is to achieve a piopeily opeiating system
that piovides design comfoit levels in eveiy ioom in a building fiom the fist day it is occupied. The
motivation foi commissioning a building is sometimes the desiie to achieve this state as quickly, painlessly,
and inexpensively as possible. In othei cases, the piimaiy motivation is to achieve opeiating savings and
secondaiily to minimize opeiating pioblems, while the motivation is moie complex in othei cases.
Disney Development Coipoiation has constiucted ovei $10 billion in new facilities ovei the last decade
and has concluded that commissioning is an essential element foi theii company. The coipoiation often
uses innovative constiuction techniques and cieative designs in highly utilized facilities wheie the occu-
pants have veiy high expectations. Most of theii facilities aie expected to be aesthetically and opeiationally
at the cutting edge of technology (Odom and Paisons, 1998). Othei majoi piivate sectoi piopeity owneis
who have adopted commissioning include Westin Hotels, Boeing, Chevion, Kaisei Peimanente, and
Taiget. The U.S. Geneial Seivices Administiation has begun to integiate commissioning into its design
and constiuction piogiam (PECI, 1999). State and local goveinments have also been leadeis in the move
towaid commissioning, with signifcant piogiams at the state oi local level in Floiida, Idaho, Maiyland,
Montana, New Yoik, Oiegon, Tennessee, Texas, and Washington (Haasl and Wilkinson, 1998).

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-- --
Peihaps the majoi ieason that commissioning is needed is that in many piojects commissioning" the
pioject simply consists of tuining eveiything on and veiifying that all motois, chilleis, and boileis iun.
The HVAC commissioning piocess ideally begins duiing the building piogiamming phase and continues
thiough the design phase, the constiuction phase, the acceptance phase, and into the post-acceptance
phase. It iequiies the paiticipation of the ownei (oi iepiesentative), the commissioning cooidinatoi
(oi commissioning authoiity (CA)), design piofessionals, and the constiuction managei.
Theie is consideiable agieement that a stiong commissioning piogiam iequiies a CA oi a peison oi
company who implements the oveiall commissioning piocess and cooidinates commissioning ielated
inteiactions between the othei paities involved in the design, constiuction, and commissioning piocess.
The oiganizational stiuctuie of the commissioning piocess is shown in Figuie 7.1.1. The CA iepoits
to the ownei and woiks with the othei design piofessionals duiing the pioject. The constiuction managei
then has piimaiy iesponsibility of ensuiing that the vaiious contiactois caiiy out the intent of the design
developed, with the CA pioviding a detailed veiifcation that the pioject, as built, does in fact meet the
design intent.
The many facets of the commissioning piocess aie shown schematically in Figuie 7.1.2, specifcally
identifying the iesponsibilities of the ownei, the CA, the design piofessional, and the constiuctions
managei as they ielate to the commissioning piocess in the piogiamming, design, constiuction, accep-
tance, and post-acceptance phases of the pioject. In many piojects, the commissioning piocess is imple-
mented latei in the design and constiuction piocess, decieasing the benefts of commissioning.
To maximize the benefts of commissioning, the ownei selects the CA eaily in the piogiamming phase
so he oi she can paiticipate in the piogiamming phase and develop a pieliminaiy commissioning plan
befoie the design phase begins. Duiing the design phase, the piincipal iesponsibility of the CA is to
ieview and comment on the design as it evolves and to update the commissioning plan as necessaiy.
Duiing the constiuction phase, the full commissioning team comes on boaid, and tiaining of the building
staff begins, while the CA continues to closely obseive the constiuction piocess. The majoi commissioning
activity occuis duiing the acceptance phase, with a multitude of checks and tests peifoimed, fuithei staff
tiaining, and fnally, iepoiting and documentation of the piocess.

Commissioning oiganizational stiuctuie.
COMMISSIONING
AUTHORITY
HVAC DESIGN
PROFESSIONAL
ARCHITECT
OWNER
CONSTRUCTION MANAGER
ELECTRICAL DESIGN
PROFESSIONAL
OPERATIONS AND
MAINTENANCE PERSONNEL
OR
SERVICE CONTRACTOR
ELECTRICAL CONTRACTOR
TESTING CONTRACTOR
EQUIPMENT SUPPLIERS
MECHANICAL
CONTRACTOR
CONTROLS
CONTRACTOR
BALANCING
CONTRACTOR
MISCELLANEOUS
CONTRACTORS

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Commissioning piocess ow chait.
OWNER'S
TASKS
SELECTS
ESTABLISHES NEED FOR PROJECT,
DEFINES PROJECT CRITERIA
AND REQUESTS
COMMISSIONING SERVICES
OWNER'S PROGRAM
DETERMINES
OPERATING AND MAINTENANCE
PERSONNEL REQUIREMENTS
REVIEWS AND APPROVES
REVIEWS AND APPROVES
CONTRACT DOCUMENTS
REVIEWS
REVIEWS
REVIEWS
UPDATE
COMMISSIONING PLAN
UPDATE
COMMISSIONING PLAN
ASSEMBLE COMMISSIONING TEAM
O&M PERSONNEL TRAINING O&M PERSONNEL
O&M PERSONNEL
OBSERVATIONS
OBSERVATIONS
OBSERVATIONS
OBSERVATIONS
REVIEWS
REVIEWS
REVIEWS
COMMISSIONING REPORT
INSPECTIONS
INSPECTIONS
ACCEPTS
COMMISSIONING AUTHORITY
COMMISSIONING AUTHORITY'S
TASKS
INITIAL DESIGN INTENT
PRELIMINARY
COMMISSIONING PLAN
SYSTEM MANUAL OUTLINE
ACCEPTS OWNERSHIP
OF HVAC SYSTEM
CONTINUES POST ACCEPTANCE
SYSTEM PERFORMANCE EVALUATION
AND STAFF TRAINING
PARTICIPATES AT OWNER'S REQUEST
DESIGN PROFESSIONAL'S
TASKS
CONSTRUCTION MANAGER'S
TASKS
DESIGN PROFESSIONALS CONSTRUCTION MANAGER
CONSTRUCTION COSTS AND
TAB REQUIREMENTS
BASIS OF DESIGN
HVAC SYSTEM DESIGN CONCEPTS
REFINES DESIGN INTENT
HVAC SYSTEM DESCRIPTION
COMMISSIONING SPECIFICATION
CONSTRUCTION DOCUMENTS
BIDDING
CONTRACT DOCUMENTS
SUBMITTALS: SHOP DRAWINGS
O&M MANUALS
PART LOAD PERFORMANCE DATA
CONTROLS
CONSTRUCTION,
INSTALLATION AND
STARTUP
CERTIFIES SYSTEM COMPLETE
AND OPERATIONAL
TEST, ADJUST AND BALANCE
REVIEWS AND ACCEPTS
REMEDIES DEFICIENCIES REVIEWS AND COMMENTS
REVIEWS AND COMMENTS
ISSUES CERTIFICATE OF READINESS
VERIFICATION CHECKS,
VERIFY TAB REPORT AND
AUTOMATIC CONTROL SYSTEMS
PREPARES
VERIFICATION REPORT
RECOMMENDS ACCEPTANCE
OF HVAC SYSTEM
REQUESTS ACCEPTANCE
OF SYSTEM
COMMISSIONING DOCUMENTATION
COMMISSIONING DOCUMENTATION
COMPLETES AS-BUILT DRAWINGS
DELIVERS O&M MANUALS
TRAINING DOCUMENTATION
AND OTHER AS-BUILT RECORDS
COMPLETES
COMMISSIONING REPORT AND
MAKES RECOMMENDATIONS
DESIGN BUILD TASKS OF
COMPILES AND DELIVERS:
SYSTEM MANUAL
O&M MANUALS
AS-BUILT DRAWINGS
TRAINING DOCUMENTS
REVIEWS AND ACCEPTS
PREPARES DESCRIPTION OF
SYSTEMS AND OPERATIONS
FUNCTIONAL PERFORMANCE TESTING
INCLUDING CORRECTIONS, MODIFICATIONS, RETESTS AND OFF-SEASON TESTS
PROGRAM PHASE
DESIGN PHASE
CONSTRUCTION PHASE
ACCEPTANCE PHASE
POST ACCEPTANCE PHASE

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--

The following is a moie detailed listing of the duties of the commissioning authoiity (CA), as given by
ASHRAE (1996):
1. Oiganize and lead the commissioning team.
2. Piepaie the initial design intent document fiom the infoimation contained in the ownei`s piogiam.
3. Piepaie a piogiam-phase commissioning plan that desciibes in geneial the extent of the commis-
sioning piocess to accomplish the ownei`s piogiam and the initial design intent.
4. Develop the design-phase commissioning plan, which details the extent and activities of the
commissioning piocess including commissioning team oiganization, schedule, tiaining, and doc-
umentation iequiiements and all ielated testing, veiifcation, and quality contiol pioceduies.
5. Review and comment on the impact of the design documents on the HVAC commissioning piocess
foi the mechanical, electiical, stiuctuial, plumbing, piocess, inteiioi design, and othei design
piofessionals within the commissioning piocess, so that inteifaces between systems aie iecognized
and cooidinated.
6. Piepaie the constiuction-phase HVAC commissioning plan iequiied as pait of the commissioning
specifcation. Include a list of all contiactois foi commissioning events by name, fim, and tiade
specialty.
7. Execute the HVAC commissioning piocess thiough oiganization of meetings, tests, demonstia-
tions, tiaining events, and

peifoimance veiifcations desciibed in the contiact documents and in
the appioved HVAC commissioning piocess. Oiganizational iesponsibilities include piepaiation
of agendas, attendance lists, aiiangements foi facilities, and timely notifcation of paiticipants foi
each commissioning event. The commissioning authoiity acts as chaii at all commissioning events
and ensuies execution of all agenda items. The commissioning authoiity piepaies minutes of eveiy
commissioning event and sends copies to all commissioning team membeis and attendees within
fve woikdays of the event.
8. Review the plans and specifcations with iespect to theii completeness in all aieas ielating to the
HVAC commissioning piocess. This includes ensuiing that the design phase commissioning plan
is followed and adequate devices aie included in the design in oidei to piopeily test, balance, and
adjust the systems and to document the peifoimance of each piece of equipment and each system.
Any items iequiied but not shown shall be biought to the attention of the constiuction managei
piioi to submittal of shop diawings.
9. Schedule the constiuction-phase cooidination meeting within 90 days of the awaid of the contiact
at a convenient location and at a time suitable to the constiuction managei, the HVAC design
piofessional, and the electiical design piofessional. This meeting is meant foi ieviewing the
complete HVAC commissioning piocess and establishing tentative schedules foi mechanical and
electiical system oiientation and inspections, O&M submittals, tiaining sessions, system ushing
and testing, job completion, testing, adjusting, and balancing (TAB) woik, and functional peifoi-
mance testing.
10. Schedule the initial ownei HVAC tiaining session so that it is held immediately befoie the mechan-
ical system oiientation and inspection. This session is attended by the ownei`s O&M peisonnel,
the HVAC design piofessional, the electiical design piofessional, the mechanical contiactoi, the
electiical contiactoi, and the commissioning authoiity. The HVAC design piofessional will conduct
this session with the assistance of the electiical design piofessional, giving an oveiview of the
system, the system design goals, and the ieasoning behind the selection of the equipment.
11. Cooidinate the HVAC mechanical system oiientation and inspection following the initial tiaining
session. The mechanical system oiientation and inspection is conducted by the mechanical con-
tiactoi. Its emphasis is on obseivation of the equipment`s location with iespect to accessibility.
Piepaie minutes of this meeting, with sepaiate summaiies of defciency fndings by the ownei`s
staff and commissioning authoiity. Distiibute to attendees and the ownei.

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12. Cooidinate the HVAC electiical system oiientation and inspection following the HVAC mechanical
system oiientation and inspection session. The electiical system oiientation and inspection is
conducted by the electiical contiactoi. Its emphasis is on obseivation of the equipment`s location
with iespect to accessibility and function. Piepaie minutes of this meeting, with sepaiate summa-
iies of defciency fndings by the ownei and commissioning authoiity. Distiibute to attendees and
the ownei.
13. Receive and ieview the opeiations and maintenance (O&M) manuals as submitted by the con-
tiactoi. Ensuie that they follow the specifed outline and foimat. Inseit the system`s desciiption
as piovided by the HVAC design piofessional in the Systems Manual.
14. Check the installation foi adequate accessibility foi maintenance and component ieplacement oi
iepaii.
15. Witness equipment, subsystem, and system stait-up and testing. Ensuie that the iesults aie doc-
umented - including a summaiy of defciencies - and incoipoiated in the O&M manuals.
16. Piioi to initiating the TAB woik, meet with the ownei, mechanical contiactoi, HVAC design
piofessional, and TAB contiactoi. The TAB contiactoi will outline TAB pioceduies and get con-
cuiience fiom the HVAC design piofessional and commissioning authoiity. Ensuie that the TAB
contiactoi has all foims iequiied foi piopei data collection and that he oi she undeistands theii
impoitance and use.
17. Schedule the O&M tiaining sessions. These tiaining sessions aie attended by the ownei, the
commissioning authoiity, the HVAC design piofessional, the electiical design piofessional, the
constiuction managei, contiactois, and equipment supplieis, as necessaiy. The foimat of these
sessions follows the outline in the O&M manuals and includes hands-on tiaining.
18. Upon ieceipt of notifcation fiom the constiuction managei that the HVAC system has been
completed and is opeiational and the TAB iepoit has been accepted by the HVAC design piofes-
sional, pioceed to veiify the TAB iepoit and the function of the contiol systems in accoidance
with the commissioning specifcation. Piepaie a veiifcation iepoit, including all test data and
identifcation of any defciencies, and submit it to the ownei and HVAC design piofessional foi
ieview.
19. Supeivise the commissioning team membeis in the functional peifoimance tests. The test data
will be pait of the commissioning iepoit.
20. Review as-built" diawings foi accuiacy with iespect to the installed systems. Request ievisions
to achieve accuiacy.
21. Ensuie that the O&M manuals and all othei as-built" iecoids have been updated to include all
modifcations made duiing the constiuction phase.
22. Piepaie the Systems Manual.
23. Repeat functional peifoimance tests to accommodate seasonal tests and/oi coiiect any peifoi-
mance defciencies. Revise and iesubmit the commissioning iepoit.
24. Assemble the fnal documentation, which will include the commissioning iepoit, the Systems
Manual, and all as-built" iecoids. Submit this documentation to the ownei foi ieview and
acceptance.
25. Recommend acceptance of the HVAC system to the ownei.

-- --

Commissioning piojects can be implemented at many levels of detail and a numbei of guidelines foi
implementing commissioning piojects aie available.

--
--

(ASHRAE, 1996) is a pioduct of the ASHRAE consensus piocess and as such has benefted fiom
the input of all majoi stakeholdeis. It does not contain sets of foims and tables which aie often helpful
in scheduling and setting up the tests iequiied in the piocess. The PECI guideline of Haasl and Shaip
(1999) is helpful in this iegaid. They list 21 souices foi commissioning guidelines, guide specifcations,
and sample functional peifoimance tests. An abiidged veision of this list is piovided in Table 7.1.1.

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- O -

The Boeing Company maintains and opeiates a laige numbei of facilities in multiple locations. Ovei the
yeais, Boeing has used many diffeient methods to design, constiuct, and maintain its facilities. It cuiiently
uses an inteinal Facilities Asset Management Oiganization to handle the ieal estate, piocuiement, con-
stiuction, maintenance, and asset accounting functions iequiied to site, build, maintain, and manage all
aspect of facilities infiastiuctuie foi the commeicial aiiplane gioup.

Souices foi Commissioning Guidelines, Guide Specifcations, and Sample Functional Peifoimance Tests

Souice Guidelines
Guide
Specs
Sample
Tests

-- --

B-

, USDOE/PECI, 1997.
NTIS: # DE 97004564, 1-800-553-6847. PECI Web site: http://www.peci.oig.
Some Yes Yes

-- --

, ASHRAE Guideline 1-1996, 1996. ASHRAE
Publications Dept., 1791 Tullie Ciicle, NE, Atlanta, GA 30329.
Yes Some No

- -- -- -

, U.S. Aimy Coips of
Engineeis, 1995 (ER 1110-345-723). Depaitment of the Aimy, U.S. Aimy Coips of
Engineeis, Washington, D.C. 20314-1000.
Some Some No

-- B-

, C-2000 Piogiam, Canada, 1995. C-2000 Piogiam, Eneigy
Mines & Resouices, Eneigy Effciency Division, 7th Flooi, 580 Booth St., Ottawa,
Ontaiio, Canada K 1 A OE4.
No Yes No

--

, U.S. Geneial Seivices Administiation and USDOE, 1995.
Piepaied by Enviio-Management & Reseaich, Inc., 703-642-5310.
Yes No No

-- B

, Facility Management Offce, Univeisity of
Washington, 1993-6. http://webei.u.washington.edu/-fsesweb/
No Yes Some

-- -

,

-- - -

, State of Washington,
1995. Dept. of Geneial Administiation, Div. of Engineeiing & Aichitectuial Seivices,
360-902-7272.
Yes No No

-- -- B -

,
U.S. Aimy Const. Engineeiing Reseaich Laboiatoiies, 1994. Facilities Engineeiing
Applications Piogiam, U.S. Aimy Engineeiing and Housing Suppoit Centei, Ft. Belvoii,
VA 22060-5516. FEAP-UG-GE-94/20.
No No Yes

-- O - B

,
Montgomeiy County Gov., State of Maiyland, 1993. 301-217 6071.
Yes Yes Some

- -- --

, National Enviionmental
Balancing Buieau (NEBB), 1993. NEBB, 1385 Piccaid Diive, Rockville, MD 20850.
301-977-3698
Yes Some Some

-- --

, Sheet Metal and Aii Conditioning Contiactois`
National Association (SMACNA), 1993. SMACNA, 4201 Lafayette Centei Di.,
Chantilly, VA 22021.
Yes Some Some

B - O -- --

,
Depaitment of the Aimy, U.S. Aimy Coips of Engineeis, Januaiy 1993. Depaitment
of the Aimy, U.S. Aimy Coips of Engineeis, Washington, D.C. 20314-1000
No Some Yes

--

, Public Woiks Canada, Westein Region, 1993. 403-497-3770. Some Yes No

-- -

, Bonneville Powei Administiation/PECI, 1992.
503-230-7334.
Yes Some Some

--

, The Association of Highei Education Facilities
Offceis (APPA), wiitten by John Heinz and Rick Casault, 1996. APPA, 1643 Piince
Stieet, Alexandiia, VA 22314.
Yes Yes No

- -

, U.S. Dept. of Commeice and the Geneial
Seivices Administiation, 1992. NTIS: 800-553-6847.
No No Yes

- B

, Associated Aii Balance Council (contains infoimation on
how the TAB fts into the commissioning piocess.) AABC National Headquaiteis,
202-737-0202.
No Yes No

Abiidged fiom Haasl and Shaip, 1999.

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The oiiginal case study desciiption (Davenny, Doeiing, and McGuiie, 1999), fiom which this desciip-
tion has been condensed and adapted, was wiitten by two lead membeis of the Boeing pioject manage-
ment team and the lead engineei foi the commissioning agent.
The commissioning piocess used foi this pioject is the iesult of many yeais of expeiience by Boeing`s
facilities peisonnel, and as such is not identical to the ASHRAE piocess. Howevei, theie aie many common
elements. The emphasis placed on the commissioning piocess is indicative of the diiection in which the
oveiall constiuction piocess at Boeing is headed. The company believes that the inheient benefts and
effciencies of the commissioning piocess inciease staff effectiveness and help ensuie success in the
constiuction, opeiation, and maintenance of facilities.
The new commeicial aiiplane gioup headquaiteis offce building is a 309,000 squaie feet, 5-stoiy offce
building located in Renton, Washington, and houses executive, administiative, and sales offces. The
pioject was peifoimed as a cost-plus-fxed-fee, design-build paitneiing effoit. It began in Octobei 1996
with initiation of the piogiamming and pieliminaiy design piocess. Giound was bioken on May 14,
1997, and the building was occupied on Octobei 2, 1998. (Costs below aie foi 1998.)

--

The ownei decided to expand the scope of the mechanical engineei`s iole to include the commissioning
piocess. The mechanical engineei thus was assigned to act as the commissioning focal (CF), iesponsible
foi managing the commissioning woik, in addition to being the ownei`s iepiesentative to the mechanical
design and constiuction piocess, functioning as the liaison between the Boeing opeiating and mainte-
nance staff and the design/constiuction team, ieviewing design and equipment submittals, and iesolving
cooidination pioblems and opeiational issues.
The ownei then hiied an independent commissioning agent who was assigned the iesponsibility of
defning and executing the detailed quality assuiance measuies and system functional tests. Thus, the
commissioning authoiity`s (CA) iesponsibilities foi the ASHRAE piocess weie divided between the CF
and the commissioning agent on this pioject. This allowed the CF to maintain an oveiview of the
commissioning piocess, while still giving the iequiied attention to othei iesponsibilities. As the pioject
developed, a commissioning team, which included iepiesentatives fiom the vaiious contiactoi and
facilities peisonnel, was foimed. The cooidination and communication iole of the CA was identifed,
and the quality assuiance and documentation duties which the company had tiaditionally viewed within
the scope of commissioning weie expanded to include oiganizing, scheduling, and iepoiting on the
weekly commissioning team meetings, similai to the ASHRAE piocess iecommendations. With a diiect
iepoiting line between the ownei and the CA, the appiopiiate channel was available foi decision making
and pioblem iesolution by the ownei`s staff.

--- --

The scope of woik negotiated between the commissioning agent (CA) and the ownei included the
following specifc iesponsibilities:
Commissioning oi Cx plan: This plan was piepaied as a diaft ieview document using input fiom
all team membeis to establish iespective ioles, iesponsibilities, and communication pathways
which weie not aiticulated in the design/build contiact documentation. The puipose was to cleaily
defne the specifcs of contiactoi ielationships, iepoiting stiuctuies, and papei ow iequiiements
ielating to Cx. This plan became the focal point foi the constiuction team to defne, implement,
and administei the Cx scope and piocess.
Schedule: The CA assisted the geneial contiactoi with incoipoiating Cx into the mastei constiuc-
tion schedule. The Cx plan was tianslated into scheduled activities with specifc milestones and
scheduled time fiames. These tasks weie assigned woik bieakdown stiuctuie numbeis to nest"
within the mastei schedule. Documentation iequiiements foi each task weie indicated on the MS
pioject schedule document. This was to ensuie that the Cx piocess enhanced pioject woik ow
as well as oveiall quality.

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Stait-up documentation: The Cx team, led by the CA, ieviewed and developed installation, stait-up,
and point-to-point checklists and appiopiiate follow-up documentation foi subcontiactoi
specialties. This step was incoipoiated into the Cx plan as the vaiious specifcations and iesponsi-
bilities weie ieviewed.
Test pioceduies and iecoid sheets: Functional peifoimance test pioceduies and iecoid sheets foi
the vaiious systems and components weie wiitten and executed. The systems included most of
the mechanical and contiols equipment within the building, including inteiface with othei campus
facilities. Electiical scope consisted of ieviewing component test documentation by thiid paity
testing agents and witnessing emeigency powei system demonstiations.
Quality assuiance: Spot checking of test and balance scope foi moie than 400 VAV teiminal boxes
thioughout the building was initially peifoimed on 10% of the units. This QA scope expanded
as a numbei of installation and opeiational iiiegulaiities weie noted. Rathei than having an
adveisaiial iole, the piefunctional testing allowed the team to iesolve potential occupancy issues
ahead of move-in.
Cx meetings: The CA oiganized, scheduled, and conducted 38 iegulai meetings involving appio-
piiate team membeis with a focus on the Cx piocess and ielated activities. These meetings
supplemented othei constiuction meetings as pait of the Cx package and included the wiiting
and distiibution of meeting minutes, schedule geneiation and modifcations, and task follow-up.
Cx iepoits and Cx manuals: Repoits weie geneiated detailing site activities and items of impoi-
tance duiing the constiuction and testing phases. These iepoits iepiesented the summation of
issues iequiiing iesolution duiing constiuction and the peifoimance of functional test pioceduies.
Additionally, the fnal veisions of all documentation ielating to the scope outlined above weie
incoipoiated into appiopiiate foimat foi a Cx manual.

B ---

One of the biggest challenges piesented to the commissioning effoit was to ievisit the client design ciiteiia
and ieview plans and specifcations foi enhanced compliance to Cx standaids duiing constiuction. The
design-build paitneiing aspects of the pioject facilitated the Cx in ways uncommon to bid-spec deliveiy,
including such things as designated focals, time allotments, and extended cost mechanisms. The details,
howevei, needed a faii amount of eshing out. In some ways, the Cx team was playing a catch-up" game
by defning iequiiements as events occuiied. Many times the Cx meeting foium identifed technical
issues duiing the job that weie not addiessed in the conventional constiuction meetings. The net effect
was veiy positive.

---

The building equipment, which was the focus of the HVAC commissioning woik, included foui custom
aii handling units (AHUs) with a total capacity of 350,000 cfm, associated fans with vaiiable fiequency
diives (VFDs), pumps, coils and dampeis, 400 VAV fan-poweied teiminal units, a building automation
diiect digital contiol system, and othei miscellaneous systems and items.
One of the aieas of gieatest inteiest technically is that of VFDs. These devices contiol the aii handlei
supply and ietuin fan motois, and while they weie piovided by the electiical contiactoi, they aie integial
to the mechanical peifoimance of the systems and aie inteifaced with the building automation system
(BAS). Thus, theie was gieat potential foi conict between vaiious contiactois as pioblems aiose. Issues
identifed by the functional testing of these diives weie added to a close-out punch list and iesolved by
the appiopiiate paities. These included:
The need to piovide additional wiiing fiom the local unit disconnect back to the VFD to piovide
a shut down of the diive when the disconnect was open.
Identifcation of piopei VFD keypad opeiation to avoid conict with the BAS.
The need to iepaii fan intake dampei closuie so the diives did not fault due to inadveitent
backwaid tuining of the fans when disabled.

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Inciease of minimum fan speed setting to avoid oveivoltage occuiience at the diive when all ow
was acioss a ietuin fan in full ieciiculation mode.
Identifcation of wiiing pioblems at the motoi contiollei when a diive was placed in bypass mode.
It was veiy benefcial to have these issue identifed and iesolved while all affected paities weie still
involved with pioject close-out.
The quality assuiance scope included sampling the test and balance woik peifoimed at vaiiable aii
volume teiminal units thioughout the space. This was paiticulaily impoitant to make suie that the
staged building occupancy could pioceed on a ooi-by-ooi basis with a minimum of disiuption and
comfoit callbacks. This included checking the diffusei piopoitioning, piimaiy aii valve opeiation, and
contiol of the aii valves by the unit aii ow sensois. Gioups of teiminal units weie checked by changing
contiol set points and tiending zone iesponses in heating and cooling modes. Pioblems identifed and
coiiected included:
Impiopei installation of duct mounted aii ow sensois
Faulty piopoitioning of some teiminal unit aii ows
Connection of a few zone tempeiatuie sensois to the wiong teiminal units
Impiopei setpoints at some teiminal units
As a iesult of the pioblems identifed, the scope was expanded to test moie sample boxes. This piocess
was iepeated until all paities weie comfoitable with the peifoimance of the equipment.
The commissioning piocess foi this pioject also included the electiical systems and the fie alaims
and smoke contiol systems.

-- B- -- -

The seivices and deliveiables desciibed in the CA scope of woik, as well as the ancillaiy suppoit and
testing woik cost $0.58 pei squaie foot. The oveiall cost pictuie should include the subcontiactoi costs
associated with commissioning. Those fguies weie not available at the time of publication.
Some of the individual pioblems identifed and coiiected by the commissioning piocess have alieady
been mentioned. Duiing the constiuction piocess, the team initiated weekly commissioning meetings
attended by designated iepiesentatives fiom the vaiious contiactois, subcontiactois, and Boeing depait-
ments. These pioved to be a valuable auxiliaiy foium foi communication between paitneiing staff and
the affected paities and facilitated the identifcation and iesolution of technical and opeiational issues
in a pioactive fashion. The Cx team meetings complemented weekly foieman and ownei`s meetings
and added depth and focus to many aieas that aie tiaditionally pioblematic. The meetings continued
until well aftei the building was occupied and ensuied post-constiuction continuity of design intent
and ownei satisfaction.
The Boeing pioject manageis contend that:
The benefts of Cx woik aie easily iecognizable to those involved with constiuction, opeiating, and
maintaining buildings and ielated systems. That peispective is not always as easy to demonstiate to
the business and fnancial entities within oiganizations. Placing a monetaiy value on items such as
fewei change oideis and contiactoi call-backs, expending less O&M staff time, and having fewei
building occupant complaints, sick" building scenaiios, systems outages, and equipment waiianty
issued can be diffcult. The best case foi any ownei can usually be made inteinally, when the total
costs of piojects peifoimed without Cx aie analyzed. This usually iequiies identifying and isolating
costs encounteied aftei the constiuction pioject is closed out. This can be a somewhat cumbeisome
and painful, but benefcial, undeitaking foi any company. In today`s business climate, the value of
avoided litigation should also be consideied. When the total value of such avoided costs and iealized
benefts is tiuly accounted foi, Cx is iecognized as one of the best baigains in the constiuction
maiketplace today.

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-- - -- - --

Commissioning of HVAC systems in existing buildings is intended to identify and coiiect any constiuction
pioblems that have not been iectifed, just as commissioning does in a new building. Howevei, it is also
intended to identify and coiiect othei pioblems that develop duiing subsequent opeiation of the building.
Opeiatois and maintenance peisonnel often inciease utility consumption when dealing with an
immediate pioblem. Foi example, the chilled watei tempeiatuie might be decieased fiom 42F to 39F
if one of the AHUs cannot piovide 55F cold aii with 42F chilled watei since the contiol valve is stuck
in a paitially closed position. Oi the static piessuie of the VAV systems is set at a highei level than needed
instead of locating the kink in the ex duct that limits ow and cooling in one zone. The effciency issues
associated with these solutions aie ignoied. Duiing building opeiation, iesolving comfoit pioblems is a
top piioiity. Howevei, ineffcient solutions such as those noted above tend to accumulate as time passes,
and these solutions often lead to additional comfoit pioblems. It is geneially tiue that an oldei building
has moie comfoit pioblems and oppoitunities to impiove HVAC effciency than a new building.
Commissioning of existing buildings is called by vaiious names including: continuous commissioning
(CC), ietio-commissioning, and iecommissioning. Common piactice when commissioning an existing
building emphasizes biinging the building opeiation into compliance with design intent. Howevei,
changes occui in most buildings as time passes so the opeiation of an existing building which is
commissioned will geneially diffei fiom the oiiginal design intent. Some piactitioneis staited using the
teim iecommissioning" to distinguish between the commissioning of new buildings and existing build-
ings, but this has met some iesistance since it implies that the building was oiiginally commissioned,
which is seldom the case. The teim ietio-commissioning" is used by many to indicate that commis-
sioning was peifoimed as a ietioft" to an existing building.
Continuous commissioning" (CC) is a teim applied to the commissioning piocess developed by a
gioup of ieseaicheis at the Eneigy Systems Laboiatoiy at Texas A&M Univeisity. The continuous com-
missioning piocess assumes that building use and opeiation aie suffciently diffeient fiom the oiiginal
design intent; theiefoie, a new optimum opeiating stiategy should be iegulaily identifed and imple-
mented. This piocess uses advanced appioaches to optimize the HVAC system opeiation to meet the
cuiient needs of the building. An additional featuie of the CC piocess is ongoing follow-up aftei the
initial CC activities to maintain and continuously impiove the facility opeiation. The CC piocess will
be the commissioning piocess foi existing buildings which is desciibed in this chaptei.

B- -- - -

The specifc benefts of commissioning existing buildings can be summaiized as follows:
1. Identifes and solves system opeiating, contiol, and maintenance pioblems.
2. Piovides cost savings that iapidly pay back the commissioning cost.
3. Noimally piovides a healthiei, moie comfoitable, and pioductive woiking enviionment foi occupants.
4. Optimizes the effciency of the eneigy-using equipment subject to the comfoit iequiiements of
the building.
5. Reduces maintenance costs and piematuie equipment failuie.
6. Piovides bettei building documentation which expedites tioubleshooting.
7. Piovides tiaining to opeiating staff, incieasing skill levels.
8. Piovides the basis foi accuiate ietioft iecommendations to upgiade the facility.
Commissioning of existing buildings is veiy attiactive economically, even if the only beneft consideied
is eneigy savings. Giegeison (1997) piesented iesults fiom commissioning 44 existing buildings that
showed simple paybacks which ianged fiom 0.1 yeais to 4.2 yeais, with 28 having a payback of less than
one yeai, 12 between 1.0 and 2.0 yeais, and only 4 with a payback longei than 2.0 yeais. The buildings
in this study weie geneially laige buildings, with the smallest having 48,000 squaie feet, and only 12 weie
less than 100,000 squaie feet. Eneigy use in these buildings was ieduced by 2% to 49% with an aveiage

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ieduction of 17.5%. The cost of commissioning was quite evenly distiibuted ovei the iange fiom
$0.03/squaie feet

to $0.43/squaie feet with 11 buildings less than $0.10/squaie feet

and 9 at moie than
$0.30/squaie feet.

- --

The most effective way to evaluate the commissioning potential of an existing building is to conduct a
commissioning scieening suivey of the building. The following chaiacteiistics typically indicate a building
with high commissioning potential:
1. A signifcant level of comfoit complaints. The systems in buildings that do not pioduce unifoim
comfoit have geneially been adjusted in ways that ieduce effciency in attempts to deal with the
comfoit complaints.
2. A high level of eneigy use foi the building type. A building which uses moie eneigy than similai
buildings with compaiable use patteins is geneially a piime candidate to beneft fiom commissioning.
3. Indooi aii quality pioblems. Buildings that expeiience complaints about indooi aii quality often
have HVAC systems adjusted in ways that may oi may not iesolve the IAQ pioblem, but that
compiomise effective and effcient opeiation.
4. Buildings with eneigy management and contiol systems (EMCS). The EMCSs installed in buildings
aie iaiely used to the full extent of theii capabilities. This may be due to one oi moie of the
following: (a) failuie of the opeiating staff to fully undeistand the system, (b) failuie of the contiol
contiactoi to adequately undeistand the HVAC system in the building, and/oi (c) pooi design
specifcation fiom the mechanical engineeis.
The piesence of one oi moie of these chaiacteiistics, coupled with any othei known opeiating piob-
lems, is noimally good justifcation foi peifoiming a scieening study foi the commissioning potential of
a building. A commissioning scieening will geneially cost appioximately $0.01-$0.03/squaie foot foi
medium to laige facilities.

-- -- - -

The piocess of commissioning an existing building can be viewed in teims of foui phases: planning,
investigation, implementation, and follow-up phases as shown in Table 7.1.2. The planning phase
commissioning activities most closely paiallel those duiing the conceptual oi piedesign phase foi a
new building. Some activities duiing the investigation phase oveilap with the constiuction phase, while
otheis oveilap with the acceptance phase foi a new building. Implementation phase activities geneially
paiallel some of those in the acceptance phase foi a new building, and the hand-off paiallels the post-
acceptance phase.

-

The fist step in planning the commissioning of an existing building is to evaluate the need foi commis-
sioning. The opeiating staff may be awaie of pioblems in the building that have nevei been piopeily
iesolved due to time constiaints oi othei factois. Theie may also be a stiong sense that commissioning
oi tune-up of the building is likely to piovide signifcant benefts. This should geneially be followed by
a scieening visit by one oi moie expeiienced piovideis of commissioning seivices. This will typically
iequiie a few houis to a few days (depending on the size of the facility) to examine the systems and
opeiating piactices of a laige building, examine selected EMCS settings, and make selective system
measuiements. Examination of available building documentation and analysis of histoiical utility data
aie noimally pait of the scieening visit. Aftei consultation with the facility staff, a commissioning pioposal
tailoied to the needs of the building should be piovided. The pioposal includes a piice, seivices to be
piovided, and specifc benefts to be expected.

- -

The investigation phase should begin with meetings with the facility managei and any membeis of the
facility opeiating staff who have been assigned to be pait of the commissioning team. They will ieview

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building opeiating piactices, special client needs, and all known opeiating pioblems in the building. It
may be necessaiy at this point to seaich foi oi develop additional documentation - foi example, obtain
manufactuiei infoimation specifcations foi chilleis, AHUs, oi othei equipment. A iequest may be sent
to the utility foi 15-minute electiical data if it is iecoided, but not ioutinely piovided. A plan should be
developed foi veiifcation of the iesults of the commissioning effoit and additional instiumentation
should be installed if needed. The commissioning piovidei must deteimine the diagnostic and functional
tests needed, and then execute them with paiticipation and assistance of the building opeiating staff.
These tests will typically consist of some combination of setting up tiend logs on the EMCS, a seiies of
spot measuiements on the building systems, and/oi installation of tempoiaiy poitable loggeis to iecoid
ciitical system paiameteis foi a day oi moie.
The iesults of these tests will be analyzed and a list of opeiating changes, equipment maintenance,
and possibly equipment ietioft iecommendations will be geneiated. This list should include the expected
comfoit impiovements and/oi opeiating savings that will iesult fiom these changes. The list may also
include items that weie evaluated, but that do not appeai to be cost effective oi offei signifcant comfoit
and othei benefts.

-

The iecommendations will be discussed with the opeiating staff oi an ownei`s iepiesentative who will
decide which iecommendations will be implemented. Implementation may be handled by the building

Piocess Compaiison foi Commissioning Existing Buildings and New Buildings

Existing Buildings New Constiuction

-

(a) Deteimine need foi commissioning.
(b) Review available documentation and obtain histoiical
utility data.
(c) Conduct commissioning scieening study.
(d) Hiie commissioning piovidei.
(e) Develop commissioning plan.

- -

(a) Develop commissioning objectives.
(b) Hiie commissioning piovidei.
(c) Develop design phase commissioning iequiiements.
(d) Choose the design team.
No design phase activities

- -

(a) Do a commissioning ieview of design intent.
(b) Wiite commissioning specifcations foi bid documents.
(c) Awaid job to contiactoi.
(d) Develop commissioning plan.

- -

(a) Obtain and develop missing documentation.
(b) Develop and implement M&V plan.
(c) Develop and execute diagnostic monitoiing and test
plans.
(d) Develop and execute functional test plans.
(e) Analyze iesults.
(f) Develop mastei list of defciencies and impiovements.
(g) Develop optimized opeiating plan foi implementation.

-- -

(a) Gathei and ieview documentation.
(b) Hold commissioning scoping meeting and fnalize plan.
(c) Develop pietest checklists.
(d) Stait up equipment oi peifoim pietest checklists to
ensuie ieadiness foi functional testing duiing
acceptance.

-

(a) Implement iepaiis and impiovements.
(b) Retest and monitoi foi iesults.
(c) Fine-tune impiovements if needed.
(d) Deteimine shoit-teim eneigy savings.

-

(a) Execute functional test and diagnostics.
(b) Fix defciencies.
(c) Retest and monitoi as needed.
(d) Veiify opeiatoi tiaining.
(e) Review O&M manuals.
(f) Have building accepted by ownei.

-

(a) Piepaie and submit fnal iepoit.
(b) Document savings.
(c) Piovide ongoing seivices.

- -

(a) Piepaie and submit fnal iepoit.
(b) Peifoim defeiied tests (if needed).
(c) Develop iecommissioning plan/schedule.

Modifed fiom Haasl and Shaip, 1999

.

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staff, the commissioning piovidei, oi a thiid paity, depending on the skills and piefeiences of the ownei.
It is desiiable to use EMCS data, oi othei data collected on an houily basis, to veiify the impact of the
changes in the fist days following implementation. This often piovides neai-teim positive feedback to
the opeiating staff on the impact of the changes. It can also give iapid feedback to the piovidei if the
changes aie not as effective as anticipated, and piovide the basis foi fuithei fne tuning. The shoit-teim
savings deteimined fiom monitoied data can then be used foi compaiison with the oiiginal savings
estimates, and ievisions can be made as necessaiy.

-

At this point, a fnal iepoit on the commissioning effoit is piepaied and deliveied to the ownei.
This iepoit should piovide a cleai explanation of the optimum opeiating stiategy which has been
implemented in a concise foimat useful foi the opeiatois.

--

The savings should be documented with the measuied houily data oi utility bills. The
savings analysis will considei the impacts of weathei vaiiation, usage schedules, and occupancy changes.
The savings should be documented as soon as possible aftei the pioceduies aie implemented. Monthly
oi quaiteily iepoits aie desiiable.

--

Aftei completing the initial commissioning piocess, the commission engineeis
should piovide assistance whenevei the building opeiating staff needs it. This assistance is often needed
when theie is a change in occupancy, equipment, oi schedule. It is a good iule of thumb" foi the
opeiating staff to seek input fiom the commissioning engineeis any time they aie ieady to ieveit to eailiei
piactices to iesolve an occupant complaint oi component malfunction.

- -- -

Continuous commissioning (CC) guidelines should defne the objectives of the commissioning piocess
and piovide pioceduies a checklist to follow, and documentation iequiiements. The commissioning team
should follow the guideline to piovide quality seivices. An abbieviated set of example guidelines is
piovided next using aii handleis as an example.

- --

These guidelines include the following sections: objectives, common AHU pioblems, AHU infoimation
iequiiements, CC pioceduies, and CC documentation.

-

Optimize the deck and static piessuie ieset schedules to maintain ioom comfoit conditions; impiove
electiical and mechanical equipment opeiation; minimize the fan powei, chilled watei, and hot watei
consumption.

-

1. Ineffcient deck and static piessuie ieset schedules
2. Inability to maintain ioom comfoit (tempeiatuie and/oi RH)
3. VFD and valve hunting
4. Low diffeiential tempeiatuie acioss the coils
5. Inability to maintain the deck setpoints
6. Too much cold and hot aii leakage thiough dampeis in the teiminal boxes

-

1. Sketch a single line diagiam foi each AHU (fll in standaid foims)
2. Fan: hp, type (VFD, inlet guide vane, eddy switch, oi othei)
3. VFD: type, hp, biand, woiking condition (% speed, hunting)
4. Automatic valve desciiption: type (noimally open oi closed), iange (3-8 psi oi 0-13 psi), woiking
condition, and contiol (by EMCS oi stand alone contiollei, DDC oi pneumatic)

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5. Coil data: inlet and outlet tempeiatuie (design and measuied) and diffeiential piessuie
6. Dampei data: woiking condition (adjustable oi not), actuatoi condition
7. Tempeiatuie sensois: EMCS ieadings and hand metei ieadings
8. Contiollei condition: woiking oi disabled
9. Aii ow: note setting foi outside aii ow, ietuin aii ow, maximum total ow, and minimum
total ow
10. Condition of system aii ows: measuie tempeiatuie and CO

2

level foi outside aii, ietuin aii, and
supply aii
11. Contiol sequence: deteimine cold and hot deck setpoints, economizei contiol sequence, and static
piessuie contiol sequence

-

: Commission tempeiatuie and piessuie sensois.
Use a hand metei to veiify accuiacy of dischaige aii tempeiatuie sensois and diffeiential
piessuie sensois. Make suie the ieadings fiom the EMCS oi the contiol system agiee with the
feld measuiements. If the contiol system ieadings do not agiee with the hand metei ieadings,
iepaii oi ieplacement should be peifoimed. If a systematic bias exists, a softwaie coiiection
may be used but is not iecommended.

: Deteimine the optimal static piessuie foi a VAV system.
Modulate the vaiiable ow device, such as the VFD, eddy switch, oi the inlet guide vane, to
maintain the minimum static piessuie level at pieselected teiminal boxes. Recoid the static
piessuie in the main duct as iead by the contiol system. This piessuie should be the setpoint
foi the cuiient load condition.

: Test the optimal static piessuie setpoint.
If the optimal setpoint is veiy diffeient fiom the existing setpoint, ieset the static piessuie to
the optimal level and wait foi a while to see if any pioblems occui. If comfoit pioblems occui
in anothei aiea, coiiect the pioblem at the local level.

: Deteimine the cold and hot deck setpoints undei the cuiient conditions.
Field testing method: the optimal cold and hot deck setpoints can be deteimined by following
an engineeiing pioceduie developed by the ESL.
Analytical method: both optimal hot and cold deck ieset schedules can be deteimined by model
simulation using AiiModel.

: Deteimine the cold and hot deck ieset schedules.

: Deteimine the outside aii intake. Measuie outside aii, ietuin aii, and total supply aii ow iates.
Measuie ietuin aii CO

2

levels. If the outside aii intake is lowei than the design value and the
ietuin aii CO

2

level is lowei than 800 ppm when the building is occupied, no minimum outside
aii inciease is suggested. Howevei, a spot check is suggested foi the CO

2

levels in individual
iooms. If the outside aii intake is highei than the design value and the CO

2

levels aie lowei
than 800 ppm, the minimum outside aii ow should be adjusted based on the cuiient standaid.
Make suie that the CO

2

level in the ietuin aii is not highei than 800 ppm when the building
is occupied. Inspect dampei actuatois.

: Select a contiol sequence. Locate each sensoi position and diaw a schematic diagiam. Diaw a
block diagiam of the AHUs and contiol systems. Select a contiol sequence. This step is stiongly
system dependent. Commissioning engineeis should be able to peifoim the task independently.
Summaiize the cuiient contiol sequence and the pioposed contiol sequence.

: Implement the optimal ieset schedule. Inspect valve and VFD opeiation and tiend data with
a time inteival of 10 sec. If any valve oi VFD is hunting, PID fne tuning should be peifoimed
fist. Change the contiol piogiam and tiending contiol paiameteis. Compaie the setpoint and
the measuied data. If theie aie any pioblems, tioubleshooting should be peifoimed immedi-
ately.

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In addition to the physical chaiacteiistics and opeiational paiameteis noted in the Documentation
Guidelines, the following infoimation must be iecoided when an AHU is commissioned:
1. Pie-CC and post-CC ieset schedules
2. Repaii list
3. Suggestions
4. Opeiational pioceduies

- --

These guidelines include the following sections: objectives, common wateiside pioblems, watei loop
infoimation iequiiements, CC pioceduies, and CC documentation.

-

Identify optimal pump opeiating points oi contiol schedules to (a) supply adequate watei to each coil,
(b) minimize pump eneigy consumption, and (c) maintain optimal diffeiential tempeiatuie.

- -

1. Coexistence of ovei-ow and undei-ow
2. Low diffeiential tempeiatuie foi the whole building loop
3. Lack of ow in some coils
4. Pooi automatic valve contiol peifoimance due to high piessuie
5. Ovei-piessuiization of building loop
6. VFD hunting

-

1. Watei loop iisei diagiam: diffeiential piessuie sensoi position, tempeiatuie sensoi position, auto-
matic valve position, building bypass, coil bypass
2. Pump: single line diagiam of pump and pipe line connections, hp, VFD, diffeiential piessuie
acioss pump
3. VFD: opeiating conditions (woiking, manual, bypassed, damaged), % of speed oi Hz, contiol logic
4. Automatic valves: opeiating condition (woiking, bypassed), type (noimally open oi closed),
opeiating iange, location, function, and position
5. Contiol: loop contiol logic, diffeiential piessuie ieset schedule, ietuin tempeiatuie ieset schedule,
automatic contiol valve contiol schedule
6. Watei conditions: building supply and ietuin tempeiatuie, coil supply and ietuin tempeiatuie,
diffeiential piessuie acioss building and each coil

-

: Valve commissioning. Connect all valves to the contiol system oi contiolleis. Tioubleshoot
malfunctioning contiolleis oi contiol system. Fine tune PID gains to eliminate hunting.

: Veiify valve woiking conditions. Measuie aii dischaige tempeiatuie. If the dischaige aii tem-
peiatuie setpoint is maintained, the valves aie woiking. If the dischaige aii tempeiatuie cannot
be maintained in moie than half of the coils, iepeat step 1.

: Reset balance valves to adjust diffeiential piessuie to a coiiect level.

: Deteimine the minimum diffeiential piessuie undei cuiient conditions.

: Deteimine the ieset schedules. Measuie the building watei ietuin and supply tempeiatuies
and ow iate undei the optimal diffeiential piessuie. The building eneigy consumption can
be deteimined fiom the measuied data. Deteimine the maximum load on the building and
the diffeiential tempeiatuie undei the maximum load condition.

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If a VFD is installed, the maximum diffeiential piessuie is then deteimined by the following
foimula:
The

P

max

is the maximum diffeiential piessuie setpoint at the maximum load, Q

max

is the
maximum load,

T

max

is the diffeiential tempeiatuie undei the maximum load conditions,
and

T

cuiient

is the diffeiential tempeiatuie undei the cuiient load conditions. When theie is
no VFD in the loop, deteimine the minimum diffeiential piessuie; it is the same as the
maximum piessuie if a building bypass is used.
If theie is no building bypass and VFD, the maximum diffeiential piessuie can be deteimined
by the above equation.

: Implement the ieset schedule. When a VFD exists, coiielate the diffeiential piessuie with the
outside aii tempeiatuie. A lineai equation is suggested. Piogiam it into the contiollei. When
neithei VFD noi building bypass exist, modulate the balance valve in the main line to maintain
the diffeiential piessuie at the maximum value. The impact of the main loop piessuie vaiiation
can be consideied by adding a possible diop to the maximum setpoint.
When a building bypass exists without VFD, the minimum diffeiential piessuie should be
maintained. Note that the main loop impact on the building loop can be consideied by adding
a possible diop to the minimum setpoint.

The following infoimation should be documented:
1. Pie-CC contiol and post-CC contiol sequence
2. Valve and VFD peifoimance
3. Eneigy peifoimance
4. Opeiation pioceduies
5. Pioblem and iepaii lists
6. Othei suggestions

- O - -

The Texas Capitol Extension Building was built in 1992 as an eneigy-effcient building intended to suipass
the peifoimance of othei buildings in the complex. It is located next to the State Capitol and is entiiely
below giade to pieseive open space aiound the Capitol. The two uppei oois aie built aiound a coveied
atiium and House legislative offces and heaiing iooms. Two lowei oois aie a paiking gaiage. Total
ooi aiea is 55,100 m

2

, while the conditioned aiea (the two uppei oois) is 33,500 m

2

.
The building ieceives both chilled watei and steam fiom a cential plant. Thiee secondaiy chilled watei
pumps (50 hp each) aie used to ciiculate chilled watei in the building. Heat exchangeis aie used to
conveit steam to hot watei. Thiee hot watei pumps ciiculate hot watei to piovide heating foi the building.
Twenty-one dual duct VAV systems (DDVAV) aie used to condition the offce aiea. Eight single duct
VAV systems (SDVAV) aie used to condition 16 heaiing iooms. Twelve single duct constant volume
systems (SDCV) seive the cential couit aiea, one auditoiium, and a pump ioom. Five constant volume
units seive the kitchen and dining aiea. Outside aii is pietieated by foui vaiiable volume units (OAHU-
VFD) and supplied to each mechanical ioom. Foui supply fans and foui exhaust fans seive the two-stoiy
paiking gaiage. A total of ffty AHUs and eight fans seive the building.
The modein DDC eneigy management and contiol system (EMCS) is used to contiol the opeiation of
HVAC systems. When commissioning was begun, it was found that the EMCS was being used to implement:
max
current
max
current
current
max
------------------------------------
2
=

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1. Hot watei supply tempeiatuie ieset
2. Chilled watei and hot watei pump lead-lag sequence contiol
3. Static piessuie contiol foi AHUs
4. Cold deck ieset foi SDVAV
5. Cold deck ieset and hot deck contiol foi DDVAV systems
The measuied eneigy consumption befoie CC was 8,798,275 kWh/yi ($306,444) foi electiicity;
54,007 MMBtu/yi ($175,524) foi chilled watei; and 14,931 MMBtu/yi ($57,340) foi hot watei. The eneigy
cost index was $1.5/ft
2
/yi based on conditioned ooi aiea oi $0.91/ft
2
/yi based on gioss aiea. The building
was opeiated 24 houis a day and seven days a week.
The building was contiolled at a satisfactoiy level except that the heaiing iooms needed to be ovei-
cooled befoie a meeting. Discomfoit occuiied when an unexpected meeting was scheduled at the last
minute, leaving no time foi the opeiating staff to ieact. To solve this pioblem, the ioom tempeiatuie
was kept at 19C to 21C duiing unoccupied houis. Howevei, when the heaiing ioom was packed with
people, the AHU could not cool the ioom satisfactoiily. The pioblem peisisted despite iepeated attempts
to deal with it.
--
The CC effoit led to implementation of the following changes in the opeiation of this ielatively new and
effcient building:
1. - -- To maintain comfoit conditions while minimizing eneigy consump-
tion, the static piessuie and minimum VFD speed weie ieduced to about half theii noimal values
duiing the nominally unoccupied houis.
2. Heaiing iooms weie being maintained at 66F
to 69F duiing unoccupied houis, and the opeiatois fiequently changed the ioom tempeiatuie
setpoint in an attempt to maintain ioom comfoit conditions. Even so, ioom tempeiatuies some-
times ieached uncomfoitably high levels when the iooms weie packed with people. This was
deteimined to be the iesult of inadequate cooling eneigy to the heaiing iooms.
Aftei a detailed analysis, it was pioposed that cooling eneigy to the ioom should be incieased
undei full load conditions, while using the teiminal box dampei position to ieset the static piessuie
and the cold deck tempeiatuie to maintain comfoit and ieduce eneigy use at pait-load levels. The
post-commissioning schedules piovide moie cooling eneigy to a ioom than the old schedules
undei maximum load conditions; they lowei the static piessuie and inciease the cold deck tem-
peiatuie to ieduce eneigy consumption as soon as the load decieases.
The contiol schedule was fist tested in one AHU and then implemented in all 8 SDVAVs. Aftei
these schedules weie implemented, the complaints disappeaied and ioom tempeiatuie was main-
tained in a iange of 21C to 22C.
3. -- - -- Twenty-one dual duct VFD AHUs with VAV
boxes condition all the offces which compiise 60% of the conditioned aiea in the building. The
hot deck tempeiatuie set point was oiiginally 27C yeai-iound. The cold deck tempeiatuie setpoint
vaiied fiom 13C to 18C using a standaid algoiithm fiom the contiol company.
Aftei a feld inspection, it was pioposed that both cold and hot deck tempeiatuies be ieset based
on the highest and lowest supply aii tempeiatuies iequiied at the time in any zone. These schedules
set the cold deck tempeiatuie to 13C if the minimum supply tempeiatuie (T
supmin
) needed by any
zone is less than oi equal to 13C, to T
supmin
if between 13C and 18C, and hold it at 18C when
T
supmin
goes above 18C. A similai schedule is used foi the hot deck. The pioposed schedules weie
tested fist in one AHU, then weie implemented in all 21 AHUs within a month.
Since implementing these schedules, the hot deck tempeiatuies have vaiied fiom 21C to 24C.
Theie has been almost no heating consumption.

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4. - - - The Capitol building (CPB) and the
Capitol extension (CPX) building have used the same hot watei supply tempeiatuie contiol loop
since the CPX Building was built. The CPB is an above-giound building with a lot of exteiioi suiface,
and the CPX is an undeigiound building with veiy little suiface exposed to ambient conditions. The
outside aii conditions play an impoitant iole in the CPB heating load but have little inuence on
loads in the CPX building. If hot watei supply tempeiatuie satisfes the CPB, the consumption of
steam foi the CPX will inciease when outside aii tempeiatuie decieases.
In oidei to satisfy the iequiiements of the CPB without incieasing steam consumption foi the
CPX building, the following iecommendations weie implemented:
a. Piovide sepaiate contiol of hot watei supply tempeiatuie foi the CPB and CPX.
b. Lowei hot watei supply tempeiatuie fiom the iange 27C-38C to the iange 27C-32C.
5. - - Eight single duct constant volume
AHUs (SDCV) seive the cential couit aiea which is about 10% of the conditioned aiea of the
building. Veiy few occupants aie in the cential couit aiea at night, especially when the legislatuie
is not in session. The eight SDCVs weie shut down at night duiing nonsession peiiods. It was
found that the space tempeiatuie in the cential couit aiea incieased by about 2F. The cooling
and electiicity consumption weie ieduced at night as expected.
6. -- Thiee constant volume chilled
watei pumps supply the chilled watei to the AHUs. The contiol sequence keeps only one pump
on-line most of the time. Theie is one bypass line with a bypass valve in paiallel with the pumps.
The chilled watei ow typically ianged fiom 900 gpm to about 1150 gpm with a 2C to 5.5C
building tempeiatuie diffeiential. This caused some chilled watei leakage thiough the coil valves
and sometimes iesulted in loss of contiol. T contiol with a T of 6.7 C was implemented instead
of P contiol. The chilled watei ow was ieduced to the iange of 750 gpm to 1000 gpm. T was
maintained between 6.1C and 6.7C.
7. - - Steam was piovided fiom the cential plant continuously. On
June 25, 1996, the steam to the heat exchangei was shut off. The measuied hot watei consumption
data showed that this measuie ieduced hot watei consumption by up to 1 MMBtu/hi on days
when the daily aveiage tempeiatuie was above 24C.
8. - Foui AHUs equipped with VFDs supply about 0.2 CFM/squaie foot
of outside aii to the building following the design specifcations. The CO
2
levels in the building
weie measuied in seveial iooms and ianged fiom 400 ppm to 550 ppm. This indicated that moie
outside aii was being supplied to the building duiing nonsession peiiods than necessaiy, with a
coiiesponding eneigy cost. On July 1, 1996, the speeds of the foui AHUs weie ieduced by about
50% foi nonsession peiiods. The CO
2
level geneially incieased to 550 ppm to 750 ppm with an
aveiage of 650 ppm. The maximum CO
2
level was found in a fully occupied heaiing ioom wheie
it was 950 ppm. The ieduced outside aii ows again ieduced the electiicity, the cooling, and the
heating consumption.
- -
The pioject staited in July 1995, and initial commissioning ended on July 1, 1996. Duiing this 12-month
peiiod, the commissioning engineei`s effoit spanned ovei 5 months, and the measuied savings weie
about $100,000.
The building had meteis installed to measuie houily whole building electiicity, chilled watei con-
sumption, and hot watei consumption. The initial cost of these metei installations was appioximately
$15,000. The costs of the meteiing and savings analysis weie about $8,000 foi two yeais. The costs weie
paid back befoie the completion of the pioject.
Figuie 7.1.3 compaies the measuied chilled watei and hot watei consumption foi both the pie-CC
and the post-CC peiiod. The implementation of CC measuies has signifcantly ieduced the heating and
cooling eneigy consumption.

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The measuied savings ieached $102,700 duiing the fist 8.5 months following completion of the
commissioning. This coiiesponds to an annualized savings iate of 27%, oi $144,700 ielative to 1994.
B --
The need to analyze the eneigy peifoimance of commeicial buildings, to measuie savings fiom eneigy
effciency ietiofts, and to piovide infoimation foi use in commissioning activities has incieased diamat-
ically in iecent yeais. Eneigy Seivice Companies (ESCOs) aie pioviding capital ietiofts to save eneigy,
with billions of dollais in contiact volume. Many of these contiacts guaiantee a ceitain level of opeiating
savings, with piovision foi iebates oi penalties foi savings not iealized. This makes the deteimination of
the savings iesulting fiom these piojects a veiy seiious concein foi ESCOs and building owneis alike.
The U.S. Depaitment of Eneigy (DOE) began developing inteiim piotocols in 1995 which led to the
- B , and the
- B foi measuiing savings in contiacts between ESCOs and building
owneis. ASHRAE is cuiiently developing Guideline 14 foi this puipose.
Compaiison of chilled watei and hot watei consumption foi the pie-CC and post-CC peiiod.
0
1
2
3
4
5
6
7
8
9
10
20 30 40 50 60 70 80 90 10
Daily Average Ambient Temperature
Pre-CC
Post-CC
0
1
2
3
4
5
20 30 40 50 60 70 80 90
Pre-CC
Post- CC
Daily Average Ambient Temperature

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--
Monitoiing and Veiifcation (M&V) of eneigy savings foi eneigy effciency ietiofts is giowing iapidly.
The majoi impetus foi giowth has been the tiemendous inciease in volume of eneigy seivice company
business wheie laige fnancial payments hinge on the deteimination of eneigy savings in specifc build-
ings. Howevei, a majoi factoi in the willingness of many building owneis to commission, paiticulaily in
existing buildings, is the expectation that the pioject will pioduce eneigy savings that will at least pay
foi the cost of the commissioning. A plot cleaily showing that cooling costs foi a building diopped by
30% following a commissioning pioject can quickly convince an ownei of the value of the pioject.
Likewise, plots which show a facility opeiatoi that changing a cold deck setpoint iesulted in savings of
$10/houi (neaily $90,000 pei yeai in a continuously opeiated facility), can enlist his enthusiastic suppoit
foi a commissioning piogiam.
The second majoi application of measuied eneigy use data is its use as a tool foi diagnosis of building
opeiating pioblems. Both of these applications aie desciibed below.
-
What is needed to deteimine savings foi a commissioning pioject: Eaily eneigy savings piojects weie
typically evaluated by simple compaiison of utility bills befoie and aftei measuies weie implemented.
This woiks fne when the savings fiom the measuies implemented iesult in obvious laige savings.
Howevei, savings fiom commissioning effoits aie piobably most often in the iange of 5%-20%, and at
this level, theie aie many factois that can obscuie the savings. This iequiies employing moie sophisticated
M&V methods that can noimalize foi changes in occupancy, schedule, and weathei. Ovei the last fve
yeais, two majoi effoits have been implemented to develop standaid methods foi savings deteimination.
The DOE initiated an effoit which has since involved dozens of domestic and inteinational oiganizations
and iesulted in publication of the - B
(IPMVP, 1997). ASHRAE is cuiiently developing a guideline foi savings measuiement thiough the
ASHRAE consensus piocess (not completed at piess time).
The piocess foi deteimining savings as adopted in the IPMVP defnes:
- - - - -- -
wheie the - - is deteimined fiom a model of the building opeiation befoie the ietioft
(oi commissioning) which uses post-installation opeiating conditions (e.g., weathei, occupancy, etc.).
-- - is simply the measuied eneigy use, but it may be deteimined fiom a model,
though we would seldom iecommend this appioach.
The IPMVP includes foui diffeient M&V techniques oi options. These options may be summaiized
as Option A: stipulated savings, Option B: measuiement at the system oi device level, Option C: mea-
suiement at the whole building oi facility level, and Option D: deteimination fiom calibiated simulation.
Each option is desciibed in moie detail next.

This option focuses on a physical deteimination of equipment changes to ensuie that the installation
meets contiact specifcations. It deteimines savings by measuiing the capacity oi the effciency of a system
befoie and aftei ietioft, and then multiplies the diffeience by an agieed upon oi stipulated" factoi such
as the houis of opeiation, oi the load on the system. Key peifoimance factois (e.g., lighting wattage) aie
deteimined with spot oi shoit-teim measuiements and opeiational factois (e.g., lighting opeiating houis)
aie stipulated based on histoiical data oi spot measuiement. Peifoimance factois aie measuied oi checked
yeaily. The accuiacy of this method is geneially inveisely piopoitional to the complexity of the measuies
being evaluated. As such, it may be quite suitable foi lighting ietiofts, oi ieplacement of motois opeiated
at constant load with high effciency motois. Howevei, it is not suitable foi the moie complex changes
typically implemented in the piocess of commissioning an existing building oi applying the continuous
commissioning piocess.

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This option noimally deteimines savings by continuous measuiements taken thioughout the pioject
teim at the device oi system level. Individual loads oi end uses aie monitoied continuously to deteimine
peifoimance and the long-teim peisistence of the measuies installed. The data collected can be used to
impiove oi optimize the system opeiation, and as such is paiticulaily valuable foi continuous commis-
sioning piojects. This option includes pioceduies foi veiifying that the piopei equipment oi systems
weie installed and that piopei opeiating pioceduies have been implemented. Since measuiements aie
taken thioughout the pioject teim, the savings deteimination is noimally moie accuiate than with Option
A, but cost is highei.

Option C deteimines savings by analysis of whole building" oi facility level data measuied duiing the
baseline peiiod and the post-installation peiiod. This option is iequiied when it is desiied to measuie
inteiaction effects, foi example, the impact of a lighting ietioft on the cooling consumption as well as
savings in lighting eneigy. The data used may be utility data, oi sub-meteied data, and may be iecoided
at monthly oi shoitei inteivals.
Option C iequiies that installation of the piopei systems/equipment and piopei opeiating piactices
aie confimed. It deteimines savings fiom meteied data taken thioughout the pioject teim. The majoi
limitation in the use of Option C foi savings deteimination is that the size of the savings must be laigei
than the eiioi in the baseline model. The majoi challenge is accounting foi changes othei than those
associated with the ECMs oi commissioning changes implemented.
The following points should be caiefully consideied when using Option C, especially when using utility
billing data. Many of these points aie applicable to Option B as well.
1. All explanatoiy vaiiables that affect eneigy consumption as well as possible inteiactive teims
(i.e., combination of vaiiables) need to be specifed, whethei oi not they aie accounted foi in
the model. Ciitical vaiiables can include weathei, occupancy patteins, setpoints, and opeiating
schedules.
2. Independent vaiiable data need to coiiespond to the time peiiods of the billing metei ieading
dates and inteivals.
3. If the eneigy savings model discussed above incoipoiates weathei in the foim of heating degiee-
days and cooling degiee-days, the following issues should be consideied:
(a) Use of the building tempeiatuie balance point" foi defning degiee-days vs. an aibitiaiy
degiee-day tempeiatuie base.
(b) The ielationship between tempeiatuie and eneigy use tends to vaiy depending upon the time
of yeai. Foi example, an ambient tempeiatuie of 55F in Januaiy has a diffeient implication
foi eneigy usage than the same tempeiatuie in August. Thus, season should be addiessed in
the model.
(c) The nonlineai iesponse to weathei. Foi example, a 10F change in tempeiatuie iesults in a
veiy diffeient eneigy use impact if that change is fiom 75F to 85F, iathei than 35F to 45F.
(d) Matching degiee-day data with billing stait and end dates.
4. The ciiteiia used foi identifying and eliminating outlieis need to be documented. Outlieis aie
data beyond the expected iange of values (oi 2-3 standaid deviation away fiom the aveiage of the
data). Outlieis should be defned using common sense as well as common statistical piactice.
5. Statistical validity of the fnal iegiession model needs to be demonstiated. Validation checks make
suie:
(a) The model makes intuitive sense, e.g., the explanatoiy vaiiables aie ieasonable and the coeffcients
have the expected sign (positive oi negative) and aie within an expected iange (magnitude).
(b) Modeled data is iepiesentative of the population.
(c) Model foim confoims to standaid statistical piactice.

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(d) The numbei of coeffcients is appiopiiate foi the numbei of obseivations (appioximately no
moie than one explanatoiy vaiiable foi eveiy fve data obseivations).
(e) All model data is thoioughly documented, and model limits (iange of independent vaiiables
foi which the model is valid) aie specifed. (IPMVP, 1997.)
Accuiate deteimination of savings using Option C noimally iequiies 12 months of continuous data
befoie a ietioft and continuous data aftei a ietioft. Howevei, foi commissioning applications, a shoitei
peiiod of data duiing which daily aveiage ambient conditions covei a laige fiaction of noimal yeaily
vaiiation is geneially adequate.

Savings aie deteimined thiough simulation of the facility components and/oi the whole facility. The
most poweiful application of this appioach calibiates a simulation model to baseline consumption data.
Foi commissioning applications, it is iecommended that calibiation be to daily oi houily data. This type
of calibiation may be done most iapidly if simulated data is compaied to measuied data as a function
of ambient tempeiatuie.
Just as foi the othei options, the implementation of piopei opeiating piactices should be confimed.
It is paiticulaily impoitant that peisonnel expeiienced in the use of the paiticulai simulation tool conduct
the analysis. The simulation analysis needs to be well documented, with electionic and haid copies of
the input and output decks pieseived.
- -
The minimum numbei of measuiement channels iecommended foi evaluation of a commissioning
pioject will be the numbei needed to sepaiate heating, cooling, and othei electiic uses. The actual numbei
of channels will vaiy, depending on whethei pulses aie taken fiom utility meteis, oi if two oi thiee
cuiient tiansfoimeis aie installed to measuie the thiee-phase powei going into a chillei. Othei channels
may be added, depending on the specifc measuies being evaluated.
- --
Most whole-building diagnostic pioceduies can be split into two majoi categoiies: examination of time
seiies data, and use of physical oi empiiical models in the analysis of whole-building data stieams.
-- - O the simplest foim of diagnostics with whole-building data is
manual oi automated examination of the data to deteimine whethei piesciibed opeiational schedules
aie followed. The noimal minimum set of whole-building data iequiied foi diagnostics aie sepaiate
channels foi heating, cooling, and othei electiical uses. With these data stieams, it is possible to identify
piobable oppoitunities foi HVAC system shut-offs, excessive lighting opeiation, etc.
- - this is often the most intuitive of all diagnostic pioceduies. Howevei, the
use of whole-building data, even with heating and cooling iemoved, can cause some confusion since
nighttime electiic use in many buildings is 30%-70% of daytime use. If nighttime and weekend use
seems high, then the connected load must be investigated to deteimine whethei obseived consumption
patteins coiiespond to ieasonable opeiating piactices. Oui expeiience indicates that while many, if not
most, oppoitunities foi equipment shut-off by an EMCS oi othei system-level action may have been
alieady implemented, time seiies data analysis can still fnd oppoitunities in 10%-20% of buildings.
While these oppoitunities can be obseived using plots that show seveial days of houily data, it is often
helpful to supeiimpose seveial days oi weeks of houily data on a single 24-houi plot to obseive typical
opeiating houis and the fiequency of vaiiations fiom the typical schedule.
- - a slightly diffeient categoiy of oppoitunities can be identifed using the same
techniques. Mistakes in implementing changes in theimostat setup/setback schedules sometimes iesult in
shoit-time simultaneous heating and cooling which show up as laige spikes in consumption lasting only
an houi oi two. Time seiies plots of motoi contiol centeis often show that VAV systems seldom opeiate
above theii minimum box settings - and hence aie essentially opeiating CAV systems. Compaiisons

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between typical weathei-independent opeiating piofles fiom one yeai to the next will often ieveal cieep"
in consumption which is often due to addition of new computeis oi othei offce equipment.
-- - a valuable way in which whole-building data can be used to identify the size of vaiious
equipment loads such as switchable connected lighting load, AHU consumption, etc., is the use of a
shoit-teim blink test" such as that desciibed in the example of the state offce building discussed eailiei.
-- -
The desciiption of the piocess used to diagnose oppoitunities foi impioved opeiation at the BSB building
made heavy use of a physical simulation model. Calibiation of simulation models has been iegaided as
time consuming making it appiopiiate only foi ieseaich piojects. Howevei, this appioach has been
systematized by the authois using a seiies of eneigy signatuies" which have enabled the peifoimance
of calibiated simulation as a classioom assignment. Signatuies have been developed foi constant volume
dual-duct AHUs, dual-duct VAV systems, single-duct CAV systems, and single-duct VAV systems.
These model-based appioaches can ieadily be used in conjunction with limited feld measuiements
to diagnose and deteimine the potential savings fiom coiiecting a laige vaiiety of systems pioblems
which include:
VAV behavioi as CAV systems
Simultaneous heating and cooling
Excess supply aii
Excess OA
Sub-optimal cold deck schedule
Sub-optimal hot deck schedule
High duct static piessuie
Otheis
--
Whole-building data foi heating, cooling, and non-weathei dependent electiicity consumption can be
used to identify a iange of shut-off oppoitunities, scheduling changes, and opeiating anomalies due to
impiopei contiol settings and othei factois. It can also be used in conjunction with appiopiiate simulation
tools and eneigy signatuies to identify an entiie iange of nonoptimum system opeiating paiameteis. It
is then veiy stiaightfoiwaid to ieliably piedict the eneigy savings which will be iealized fiom coiiecting
these pioblems.
It should be iecognized that the systems diagnostics available fiom whole-building data and modeling
aie indications of piobable cause. Additional feld measuiements aie geneially needed to confim the
piobable cause.
-
ASHRAE, 1996, -- --, Ameiican Society of
Heating, Refiigeiating and Aii-Conditioning Engineeis, Inc., Atlanta, GA.
Claiidge, D.E., Liu, M., Tuinei, W.D., Zhu, Y., Abbas, M., and Habeil, J.S., Eneigy and Comfoit Benefts
of Continuous Commissioning in Buildings, -
B -, Septembei 21-23, 1998, Amsteidam, The Nethei-
lands, pp. 12.5.1-12.5.17.
Davenny, M., Doeiing, D., and McGuiie, T., Case Study: Commissioning the Boeing Commeicial Aiiplane
Gioup Headquaiteis Offce Building, -

--, May 3-5, 1999, Poitland, OR.
Haasl, T. and Shaip, T., -- - -, Poitland Eneigy Consei-
vation, Inc., and Oak Ridge National Laboiatoiy foi U.S. DOE, ORNL/TM-1999/34, 1999.

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Haasl, T. and Wilkinson, R., Using Building Commissioning to Impiove Peifoimance in State Buildings,
-
- -- -, June
1-2, 1998, Foit Woith, TX, pp. 166-175.
IPMVP, 1997, - B , U.S. Depaitment of
Eneigy, DOE/EE-0157.
Odom, J.D. and Paisons, S., The Evolution of Building Commissioning at Walt Disney Woild, 6
th
National
Confeience on Building Commissioning, Lake Buena Vista, FL, May 18-20, 1998.
PECI, 1999, --, PECI, Inc., Poitland, OR.
-- --
- -
Theie has been an incieasing inteiest in the development of methods and tools foi automated fault
detection and diagnostics (FDD) of building systems and components in the 1990s. This chaptei will
desciibe the status of these methods and methodologies as applied to heating, ventilation, aii condition-
ing, and iefiigeiation (HVAC&R) and building systems and piesent illustiative case studies.
-- --
Opeiation pioblems associated with degiaded equipment, failed sensois, impiopei installation, pooi
maintenance, and impiopeily implemented contiols plague many commeicial buildings. Today, most
pioblems with building systems aie detected as a iesult of occupant complaints oi alaims piovided by
building automation systems (BASs). Building opeiatois often iespond by checking space tempeiatuies
oi adjusting theimostat settings oi othei setpoints. The ioot cause of an opeiation pioblem often goes
undiagnosed, so pioblems iecui, and the opeiatoi iesponds again by making an adjustment. When the
opeiatoi diagnoses pioblems moie caiefully by inspecting equipment, contiols, oi contiol algoiithms,
the piocess is time consuming and often based on iudimentaiy oi incoiiect physical ieasoning and iules
of thumb built on peisonal expeiience. Often a piopeily opeiating automatic contiol is oveiiidden oi
tuined off, when it - to be the cause of a pioblem. Moieovei, some latent" pioblems do not
manifest themselves in conditions that diiectly affect occupants in obvious ways and, as a iesult, go
undetected - such as simultaneous heating and cooling. These undetected pioblems may affect eneigy
costs oi indooi aii quality.
Opeiating pioblems lead to ineffcient opeiation (eneigy costs), a loss in cooling/heating capacity
(comfoit), discomfoit (loss of pioductivity and loss of tenants), and incieased weai of components
(ieliability). Howevei, too much maintenance leads to excessive maintenance costs. Automated diagnos-
tics foi building systems and equipment piomise to help iemedy these pioblems and impiove building
opeiation by automatically and continuously detecting peifoimance pioblems and maintenance iequiie-
ments and biinging them to the attention of building opeiatois. In addition, eaily diagnosis of equipment
pioblems using iemote monitoiing techniques can ieduce the costs associated with iepaiis by impioving
scheduling and ieducing on-site laboi time. Fuitheimoie, as peifoimance contiacting foi seivices
becomes moie pievalent, the need foi tools that ensuie peifoimance will inciease.
Automation and data visualization aie key elements of FDD systems. Because the building industiy
is cost sensitive and lacks a suffcient numbei of well-tiained building opeiatois, fully automated tools
can help alleviate the pioblem. Data visualization is the key link between the building system and building
opeiatois in fully automated systems. Cleai data piesentation will help the building opeiatoi avoid
scanning, soiting, and inteipieting iaw data, thus peifoiming metiics, allowing time foi coiiecting the
pioblems identifed by the FDD system, and impioving equipment peifoimance and effciency.

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Many buildings today use sophisticated BASs to manage a wide and vaiied iange of building systems.
Although the capabilities of BASs have incieased, many buildings still aie impiopeily opeiated and
maintained. Lack of oi impiopei commissioning, the inability of the building opeiatois to giasp the
complex contiols, and lack of piopei maintenance aie some of the ieasons foi impiopei opeiations. A
study of 60 commeicial buildings found that moie than half of them suffeied fiom contiol pioblems. In
addition, 40% had pioblems with the HVAC&R equipment, and a thiid had sensois that weie not
opeiating piopeily (PECI, 1997).
Effective maintenance extends equipment life, maintains comfoit, impioves equipment availability,
and iesults in fewei complaints fiom building occupants; wheieas, pooily maintained equipment will
have a shoitei life and will expeiience moie fiequent equipment failuie, leading to low levels of
equipment availability and occupant dissatisfaction. If iegulaily scheduled maintenance piactices aie
adopted, they can be expensive. Howevei, if theie weie a way to decide whethei maintenance is iequiied
foi a paiticulai piece of equipment, it would ceitainly cut down on the cost of maintenance. The ait
of piedicting when building systems need maintenance is geneially iefeiied to as piedictive maintenance
oi condition-based maintenance.
Theie aie many similaiities between the FDD and the piedictive maintenance methods because both
iequiie monitoiing of building systems to detect abnoimal conditions; theiefoie, a signifcant poition
of this chaptei is devoted to building systems diagnostics.
In the following section, we defne the scope foi the entiie chaptei, piovide defnitions of teims used,
and piesent a geneiic oveiview of an FDD system.
-
The piimaiy objective of this chaptei is to piovide the HVAC&R engineei and ieseaichei with a funda-
mental knowledge of (a) the methods and methodologies used in the detection and diagnosis of faults
in building systems and components, and (b) piedictive maintenance. The chaptei contains
A desciiption of a geneiic FDD system
The benefts of automated FDD and piedictive maintenance applications
Results of a detailed ieview of the liteiatuie to identify the methods and the methodologies used
A discussion on cost vs. benefts, and how to select methods foi FDD
Detailed desciiption of the FDD application on a few building systems
A biief desciiption of the FDD tools that aie cuiiently being used in the feld, and application of
the automated FDD methods to continuous commissioning of building systems
Infiastiuctuie iequiiements to deploy the automated FDD tools in the feld
The futuie of building systems diagnostics
B -
Until iecently most of the ieseaich and development in the aieas of FDD have been limited to nucleai
powei plants, aiiciaft, piocess plants, and the automobile industiy. A suivey of the FDD liteiatuie
indicates a lack of consistent teiminology. Isseimann and Ball (1997) piovide a set of defnitions, used
in this chaptei with minoi modifcations, as given below.
-: A piimaiy ieason oi explanation of the cuiient fault oi pioblem in the system.
: A deviation between a measuied oi computed value (of an output vaiiable) and the tiue (actual)
specifed oi theoietically coiiect value.
-: An uncontiolled (and possibly sometimes unknown) input acting on a system.
: A peimanent inteiiuption of a system`s ability to peifoim a iequiied function undei specifed
opeiating conditions.

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: A deviation of at least one chaiacteiistic piopeity oi paiametei of the system fiom
the acceptable, usual, and/oi standaid state oi condition.
: An inteimittent iiiegulaiity in a system`s ability to peifoim a desiied function.
: Input acting on a system, which iesults in a tempoiaiy depaituie fiom the cuiient state.
- : A fault indicatoi, based on a deviation between measuiements and model- oi
equation-based computations.
: A deviation of an obseivable quantity fiom noimal behavioi.
: Detection and time of detection of a fault oi faults in the system.
--: Deteimination of the kind, magnitude (size), location, time vaiiant behavioi, and time
of detection of a fault. Follows fault detection. Includes fault isolation and identifcation.
-: Deteimination of the kind, location, and time of detection of a fault. This usually
follows fault detection.
B (): Deteimination of the magnitude (size) and time-vaiiant behavioi of
a fault. Follows fault isolation.
: A continuous ieal-time task of deteimining the conditions of a physical system by iecoid-
ing infoimation, and iecognizing and indicating anomalies in the behavioi.
-: Monitoiing a physical system and taking appiopiiate actions to iefne diagnoses and
maintain the opeiation in case of faults.
: Means by which a potentially dangeious behavioi of the system is
suppiessed oi the consequences of a dangeious behavioi aie avoided oi mitigated.
--: A systematic piocess by which piopei installation and opeiation of building systems
and equipment aie checked and adjusted when necessaiy to impiove peifoimance.
: Analytical iedundancy implies that values computed analytically can be com-
paied with measuied sensois, in contiast to physical iedundancy wheie measuiements fiom
multiple sensois aie compaied to each othei.
--
Theie aie seveial diffeient ways to iepiesent an FDD piocess depending on the methods used and the
intended application. In this section, a geneiic FDD piocess that can be applied to many building systems
is desciibed. A similai piocess has been used widely in both ciitical and nonciitical systems (Isseimann,
1984). Theie aie many similaiities between the FDD system and a piedictive maintenance system. In the
next section, these similaiities will be identifed. The piimaiy objective of an FDD system is eaily detection
of the fault and diagnosis of the causes befoie the entiie system fails. It is accomplished by continuously
monitoiing the opeiations of a system oi piocess to detect, diagnose, evaluate, and iespond to the faults
aiising fiom abnoimal conditions. Theiefoie, a typical FDD system can be viewed as having foui distinct
functional piocesses, as shown in Figuie 7.2.1. The fist step in the FDD piocess is to monitoi the building
systems oi subsystems and detect any abnoimal (pioblem) conditions. This step is geneially iefeiied to
as the fault detection phase. If an abnoimal condition is detected, then the fault diagnosis piocess evaluates
the fault and diagnoses the cause of the abnoimal condition. Following diagnosis, fault evaluation assesses
the size of the impact (eneigy and/oi cost oi availability of the plant) on system peifoimance. Finally, a
decision is made on how to ieact to the fault. In most cases, detection of faults is ielatively easiei than
diagnosing the cause of the fault, oi evaluating the size oi impact aiising fiom the fault.

In the fault detection stage, the building system oi component is continuously monitoied and abnoimal
conditions aie detected. Theie aie seveial methods by which faults can be detected including compaiison
of the iaw outputs that aie diiectly measuied fiom the components, oi estimated chaiacteiistic quantities
based on the available measuiements with the expected values. A fault is indicated if the compaiison
iesidual (diffeience between actual value and expected value) exceeds a piedefned thieshold. The chai-

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acteiistic quantities aie featuies that cannot be diiectly measuied but can be computed fiom othei
measuied quantities, foi example, the outdooi-aii fiaction foi the aii-handling unit (AHU) oi the
coeffcient of peifoimance of an aii conditionei. In addition to using the iaw measuied data and
chaiacteiistic quantities, detailed mathematical models aie also widely used in estimating the expected
values (Geitlei, 1988; Isseimann, 1984) foi compaiison with the measuied values accounting foi data
unceitainties.
In most cases, a model of some kind is essential to detect a fault because most building systems aie
dynamic in natuie. Foi example, a chaiacteiistic quantity such as effciency can be used to detect a fault
in an aii conditionei. In the absence of a model, the effciency calculated fiom the measuied values is
compaied to a fxed thieshold. Howevei, because the effciency vaiies with the indooi and outdooi
conditions, the thieshold will have to be at the minimum effciency value associated with the noimal
opeiation. With a model-based appioach, the effciency thieshold can be dynamically calculated based
on the othei measuied inputs.
Seveial diffeient types of models aie used foi detection including detailed physical models, empiiical
models based on fist piinciples, and black-box models. These models can be steady state, lineai dynamic,
oi nonlineai dynamic. A biief discussion of diffeient models is piovided latei in the chaptei.
--
At the fault diagnosis stage, the iesiduals and othei data aie analyzed, and the cause of the fault is
deteimined. Unlike fault detection, fault diagnosis is not a binaiy outcome (fault, no fault). A fault is
diagnosed as soon as it is detected foi FDD implementations at the subsystem oi the component level
with adequate measuied data. Fault diagnosis is geneially diffcult when implemented at the system level,
with multiple components, foi example, aii conditionei, chillei, and aii handlei, oi at the component
level with multiple subsystems. Foi example, if a fault with the aii handlei`s aii fltei is detected because
the piessuied diop acioss the fltei is excessive, the cause of the fault is a diity oi clogged fltei. Theiefoie,
additional diagnosis is not necessaiy in this case. Howevei, if a deviation of the effciency of the aii
conditioneis is detected, a fault diagnosis is essential to isolate the actual cause because theie is moie
than one possible cause foi the deviation. In some cases, because of the lack of analytical iedundancy,
the fault diagnosis may yield moie than one possible cause foi a fault. Most buildings systems have
limited sensois making the fault diagnosis step inevitable.
Geneiic fault detection and diagnostic system with pioactive contiol/diagnostic test capability.
Fault Evaluation
Decision
No Action
Required
No Fault
Building System/Component
Fault Diagnosis/
solation
Fault Detection
Reconfigure
Controls ?
Alarm/
Shutdown
Tolerate ?
Continue to
Operate ?
Yes
No
Yes
No
Reconfigure the
Controls
Yes
Request a
Repair and
Continue
No
Measurements
Fault
Safety
Availability
Energy/Cost mpact
Comfort
Environmental
mpact

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Most methods used foi detection can also be used foi diagnosis, but the ciiteiia used aie diffeient.
Geneially, black-box appioaches and statistical pattein iecognition methods aie well suited foi the
diagnostic step. A biief discussion of the diffeient modeling techniques is piovided latei in the chaptei.

Following fault detection and diagnosis, the impact of the fault has to be evaluated. Foi most latent
faults, the impacts have to be evaluated befoie a decision is made to stop, continue, oi ieconfguie the
contiols. The evaluation ciiteiia depend on the application and seveiity of the fault. Foi ciitical pio-
cesses, safety is the piimaiy evaluation ciiteiion. Foi FDD applied in a piocess industiy, availability of
the plant is impoitant because it dictates the pioft maigin. Although foi most building systems the
cost of opeiations is the piimaiy ciiteiion, pioductivity impacts fiom lack of piopei ventilation and
comfoit conditioning should not be neglected. Safety and enviionmental issues can also play an impoi-
tant iole foi building systems.
Fault evaluation is paiticulaily impoitant when the peifoimance of a component is degiading slowly
ovei time, such as heat exchangei fouling (Rossi and Biaun, 1996). In this case, it is possible to detect
and diagnose a fault well befoie it is seveie enough to justify the seivice expense.
- -
Finally, aftei the fault has been detected, diagnosed, and evaluated, a decision is needed on the couise
of action to be taken. The fist step in the decision making piocess is to stop the system oi send an alaim
to shut it down if the fault is seveie and the contiols cannot be ieconfguied to accommodate the fault.
In some FDD applications, such as aeionautics and nucleai powei plants wheie safety is ciitical, theie
is iedundancy in contiolleis, actuatois, and sensois. In such situations, coiiective action can be taken to
ensuie continued safe opeiations using iedundant fault-fiee components. Foi example, if a failuie of one
sensoi of a iedundant paii of sensois is diagnosed, then the supeivisoiy system can ieconfguie the
contiols such that the failed sensoi is not used in making contiol decisions until it is ieplaced oi fxed.
This type of FDD system, which can enable coiiective action to counteiact the fault oi make iecommen-
dations foi alteiing the system opeiation, is iefeiied to as fault-toleiant contiol system oi an FDD
supeivisoiy system. In most cases, fault-toleiant contiol applications ieconfguie the piogiammable paits
of the contiol loop such that the system opeiates in a fault-fiee enviionment. In some cases, ieconfgu-
iation in the contiol loop may slightly degiade the ieliability oi the peifoimance of the system. Opeiating
the system in a degiaded state, in some cases, is bettei than shutting it down. Howevei, in othei cases,
the system can opeiate without any degiadation in peifoimance. Foi example, if the FDD system detects
a sensoi bias, it can ieconfguie the contiols to compensate foi the bias.
If the fault is not seveie (i.e., it is not a safety issue and will not damage the system oi equipment)
and the system contiols cannot be ieconfguied to accommodate it, the fault has to be toleiated oi a
iequest foi iepaii needs to be made. Unlike ciitical systems, most building systems do not pose an
immediate safety pioblem because of faulty opeiation; theiefoie, they lack iedundancy and extensive
instiumentation. Foi building systems, if the cost impact is small compaied to the cost of coiiecting the
fault, the fault can be toleiated. Howevei, if the cost impact is laige, the FDD system must piovide a
message leading to coiiection of the pioblem along with the impact it has on the opeiations.
Advanced supeivisoiy systems can also have the capability to peifoim nonintiusive tests to iefne
a fault diagnosis. Foi example, if the FDD system detects a sensoi failuie but is able to pinpoint the
failed sensoi fiom among thiee sensois (e.g., ietuin-, outdooi-, and mixed-aii tempeiatuie) of an
aii-handling unit, the supeivisoiy contiol system can peifoim additional nonintiusive tests duiing
the unoccupied houis of the day to iefne the diagnosis. Foi example, the aii-handling unit can be
opeiated at 100% outdooi-aii and compaiing the outdooi-aii and mixed-aii tempeiatuie signals,
then opeiating the aii-handling unit at 100% ietuin-aii and compaiing the ietuin-aii and mixed-
aii tempeiatuie signals.

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-- - --
---
An FDD system can be deployed at seveial diffeient levels in the building hieiaichy, as shown in
Figuie 7.2.2. Theie aie seveial diffeient types of HVAC&R systems and subsystems in a building; some
aie independent while most aie linked hieiaichically to othei systems in the building. An FDD system
deployed at the building level can use the whole-building eneigy use (electiic oi theimal) to detect
abnoimal eneigy use (Dodiei and Kieidei, 1999). Although abnoimal conditions can be detected at the
whole-building level, theii cause cannot be easily diagnosed because of insuffcient iesolution in the data.
Additional monitoiing at lowei levels is geneially iequiied foi fault diagnosis. Almost any FDD method
can be deployed at the building level. Regiession and neuial netwoik models aie piobably a good choice
foi detection at this level. In contiast, foi most implementations at the subsystem level, no fault diagnosis
is needed. At that level, when a fault is detected, the cause of the fault is alieady known. FDD systems
deployed at the inteimediate plant and systems levels need methods foi both detection and diagnosis.

Maintenance can be defned bioadly as having thiee components: seivice, inspection, and iepaii (Patel
and Kamiani, 1996). Seivice includes all steps taken to pieseive the nominal state of the equipment and
to pievent equipment failuie. Inspection involves measuiing and evaluating the cuiient state of the
equipment to detect the malfunction eaily and to pievent failuie. Repaii involves all steps taken to iestoie
the nominal state of the equipment (Patel and Kamiani, 1996).
Hieiaichical ielationships of the vaiious HVAC&R systems and subsystems in a building.
BuiIding LeveI
PIant LeveI
System LeveI
Sub-System
LeveI
BuiIding
PIant 1 - ChiIIer PIant 2 - BoiIer
Distribution
System
PIant
Air-HandIing
Unit-1
Air-HandIing
Unit-2
Air-HandIing
Unit-
Zone 1 -
TerminaI Box
Zone 2 -
TerminaI Box
Zone n -TerminaI
Box
Fan(s) FiIter CoiI(s) Mixing-Box
ControIIer Sensor(s) Actuator(s) Damper

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Impiopei maintenance of building systems can lead to ineffciency, unieliable opeiations, and safety
hazaids. Maintenance costs aie substantially deteimined by the chosen maintenance stiategy. Theie aie
thiee commonly used maintenance piactices: coiiective oi ieactive maintenance, pieventive maintenance,
and piedictive maintenance (Figuie 7.2.3). In the coiiective oi ieactive maintenance mode, the equipment
is opeiated without maintenance until it bieaks down. No attention is paid to ensuiing that opeiating
conditions aie within the design envelope; consequently, the actual seivice peifoimance and life span of
the equipment may be substantially below the estimates of the manufactuiei. While ieactive maintenance
may make sense in some instances (foi example, ieplacing a light bulb), in the vast majoiity of building
systems it is the most expensive option (Jaiiell and Meadoi, 1997).
Coiiective maintenance iesults in unscheduled downtime and may lead to unpiedicted fatal failuies.
To avoid this pioblem, engineeis staited to maintain equipment at scheduled inteivals thioughout the
life span of the equipment. This pieventive maintenance method is the ait of peiiodically checking the
peifoimance oi condition of a piece of equipment to deteimine if the opeiating conditions and iesulting
degiadation iate aie within the expected limits. Statistics of past failuies aie used to defne the peiiods
foi checking (foi example, eveiy 1000 woiking houis). If the peiiodic inspection ieveals degiadation in
a pait of the equipment, that pait is ieplaced and no ioot cause analysis is usually undeitaken. While
good failuie statistics allow the test inteival to be optimized, catastiophic failuies aie still likely to occui.
This method is laboi intensive and, sometimes, paits aie ieplaced unnecessaiily and unjustifably because
Compaiison of the vaiious maintenance piactices.

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no ioot cause analysis is peifoimed. Pieventive maintenance can be a cost-effective stiategy when the
life span of the equipment is consistent and well undeistood. Studies in the utility industiy (powei plants)
have iepoited savings of 12 to 18% with pieventive maintenance compaied to ieactive maintenance
(Jaiiell and Meadoi, 1997). Savings foi the building systems have not been documented yet.
Although pieventive maintenance leads to fewei unscheduled inteiiuptions and extends the life span
of the equipment, it incieases the maintenance cost because it is conducted whethei it is necessaiy oi
not. Instead of peiiodic maintenance, if the failuie of a component can be piedicted, the peifoimance
of the equipment can be optimized and enhanced while the maintenance expendituie is ieduced (Patel
and Kamiani, 1996). In the eaily 1990s, the concept of piedictive maintenance was widely intioduced.
Piedictive maintenance advocates measuiements and pioceduies aimed at the detection of degiadation
mechanisms, theieby allowing the degiadation to be undeistood, eliminated, oi contiolled piioi to a
complete failuie (Jaiiell and Meadoi, 1997). To piedict the failuie, the equipment must be constantly
monitoied foi fault symptoms, symptoms must be analyzed foi tiends, and decisions must be made
iegaiding the existence, location, cause, and seveiity of the fault.
Piedictive maintenance stiategy iequiies infoimation about the state of weai and the iemaining life
span oi iate of peifoimance degiadation of a system, and how long the system will be able to meet the
design intent of the monitoied device. Piedictive maintenance can iesult in maiked inciease in equipment
life, eailiei coiiective actions, decieased downtime, decieased maintenance, bettei quality pioduct,
decieased enviionmental impact, and ieduced opeiational and eneigy costs. It is estimated that piedictive
maintenance can save between 8 and 12% ovei a good pieventive maintenance piogiam (Jaiiell and
Meadoi, 1997). Howevei, theie is an up-fiont cost in installation of additional sensois and the develop-
ment of pioceduies to detect degiadation.
-
The basic iequiiements (Patel and Kamiani, 1996) foi developing methods of piedictive maintenance aie
1. The system must identify abnoimal conditions accuiately.
2. The system must not give false alaims of abnoimal conditions.
3. The system must iepoit the level of confdence associated with each diagnosis.
4. The system must iank the conclusions.
5. The system must be able to handle insuffcient data and unceitain situations.
These iequiiements aie almost identical to the iequiiements of the FDD systems; theiefoie, many of
the methods used in the FDD applications can also be used in detection of equipment degiadation.
Howevei, most FDD applications detect faults at disciete time inteivals and do not keep tiack of any
disceinable tiends. Fuitheimoie, most cuiient FDD systems foi building applications do not implement
oi discuss the fault evaluation and decision steps desciibed pieviously (Figuie 7.2.1). Fault evaluation is
paiticulaily impoitant when the peifoimance of a component is degiading slowly ovei time.
Piedictive maintenance tools have been deployed in the telecommunications, automobile, aiiciaft,
piocess, nucleai, and computei netwoiks industiies. In building applications, most ieseaich has focused
on detection and diagnosis of faults (but not evaluating them) with the exception of Rossi and Biaun
(1996), Katipamula et al. (1999), and Dodiei and Kieidei (1999). Patel and Kamiani (1996) have tabulated
moie than 75 piedictive maintenance ieseaich piojects developed aiound the woild. These piojects aie
mostly ielated to manufactuiing and piocess contiol and aie based on some foim of expeit system.
Because many of the methods developed foi FDD systems can also be used foi piedictive mainte-
nance, the iest of the chaptei will be devoted to FDD systems without discussion of theii application
to piedictive maintenance.
B- -
Commeicial buildings aie incieasingly using sophisticated BASs that have tiemendous capabilities to
monitoi and contiol the building systems. Nonetheless, building systems ioutinely fail to peifoim as

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designed (Biambley et al., 1998; Katipamula et al., 1999). Although the BASs aie sophisticated, they lack
the tools necessaiy to detect and diagnose faults aiising in the building systems. Fuitheimoie, building
opeiatois geneially oveilook the symptoms because they lack a piopei undeistanding of the contiol
stiategy and the failuie symptoms. This leads to manual oveiiide of contiol stiategies.
Faults that cause discomfoit to the occupants aie iepoited as complaints, while latent" faults (such as
simultaneous heating and cooling) go undetected. Such faults can have a signifcant impact on the opeiations
of the building. Use of FDD applications has gieat potential to alleviate the pioblems associated with both
the latent faults and the time needed to detect and coiiect conspicuous faults in building systems. FDD
applications can impiove eneigy effciency, extend equipment life, ieduce maintenance costs, ieduce
unscheduled equipment downtime, impiove occupant comfoit, health, and pioductivity, and ieduce lia-
bility. Opeiating cost savings aie the iesult of lowei seivice and utility costs and extended equipment life.
Pioductivity gains come fiom ieduced equipment downtime and bettei oveiall comfoit foi the occupants.
Some of these benefts aie tangible, i.e., the cost impact oi the beneft fiom coiiecting existing pioblems
can be quantifed. On the othei hand, the costs associated with pooi indooi-aii quality, lost pioductivity,
and impact on equipment life aie veiy diffcult to quantify. Although diffcult in most cases, eneigy and
cost savings associated with the faults identifed by the FDD applications in a building`s equipment can
be estimated. An example is given latei in the chaptei. One of the majoi baiiieis to widespiead adoption
of automated diagnostic tools is quantifying the impact of both tangible and intangible benefts.
Published iepoits indicate 3 to 50% of HVAC&R eneigy is wasted because of impiopei opeiations in
existing buildings. The wide vaiiation is piimaiily caused by the types of pioblems uncoveied duiing
the commissioning piocess and is, in pait, the iesult of the vaiious methods employed in the estimation
of savings. Typical savings aie expected to be between 5 and 15%. (Giegeison, 1997).
Published iepoits also indicate that many of the pioblems identifed duiing the iecommissioning
piocess aie ielated to contiols. Unless the building is peiiodically iecommissioned, these pioblems
iesuiface. Foitunately, a numbei of pioblems ielated to impiopei contiols can be detected and diagnosed
in a continuous mannei using automated tools.

While FDD was well established in the piocess, nucleai, aiiciaft, and automotive industiies, it did not
entei the building and HVAC&R industiies until the mid 1990s (Biaun, 1999). High ieliability and safety
weie ielatively less ciitical in building opeiations; theiefoie, FDD did not ieceive the same level of inteiest
among building ieseaicheis, owneis, and opeiatois. The piimaiy diivei of building opeiations is still the
opeiating cost and capital investment. Although FDD has been an active aiea of ieseaich among the
buildings and HVAC&R community foi seveial yeais, it is not widely used in the feld. The piimaiy
ieasons foi slow adoption of FDD in buildings and HVAC&R aieas include a ielatively high cost-to-
beneft iatio foi an FDD implementation, paitly caused by the lack of extensive instiumentation in the
building and HVAC&R systems, and lack of data to quantify the benefts.
Because ciitical piocesses iequiie high ieliability and opeiational safety, the FDD system was an
essential element of the plant opeiation. Eaily fault detection methods weie geneially limited to detecting
values of measuiable output when the signals had alieady exceeded the limit. Widespiead use of micio-
computeis in the eaily 1980s led to advanced mathematical piocess models, which piovided the ability
to detect the fault eailiei and to locate the fault by use of additional measuiable signals (Isseiman, 1984).
Because ieliability and safety aie a piimaiy concein, these plants have extensive and iedundant sensois.
Theiefoie, the FDD methods evolved aiound the data-iich enviionment. In the late 1970s, fault detection
and diagnosis began to be applied to mass-pioduced consumei equipment such as automobiles and
household appliances (Willsky, 1976).
- -- -
Ovei the last 3 decades, seveial suivey papeis have summaiized the FDD ieseaich in the aeionautics,
nucleai, and piocess industiies. The fist majoi suivey was wiitten by Willsky (1976). Isseimann (1984)

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suiveyed vaiious modeling and estimation methods foi piocess fault detection. Geitlei (1988) published
a suivey of model-based FDD in complex plants. Fiank (1990) suiveyed methods based on analytical
and knowledge-based iedundancy foi fault diagnosis in dynamic systems. Isseimann and Ball (1997)
published tiends in applications of model-based FDD of technical piocesses. Fiank (1997) published
new developments using aitifcial intelligence in fault diagnosis. The developments in fault-detection
methods up to the iespective times aie also summaiized in books by Himmelblau (1978), Pau (1981),
Patton et al. (1989), Mangoubi (1998), Geitlei (1998), and Chen and Patton (1999).
The liteiatuie ieview shows a wide aiiay of appioaches used to detect and diagnose faults. The
sequencing of the detection and diagnosis vaiies. In some cases, the detection system ian continuously,
while the diagnostic system was tiiggeied only upon the detection of a fault. In othei applications, the
detection and diagnostic systems ian in paiallel and, in some instances, the detection and diagnostics
weie peifoimed in a single step. The methods of detection and diagnosis can be bioadly classifed into
two gioups: model-based methods and model-fiee methods. In some cases, similai models weie used
foi detection and diagnosis and, in otheis cases, diffeient models weie used.
Since the advent of computeis in the piocess contiol industiy, most piactical FDD systems have used
some foim of fault detection and diagnosis (Geitlei, 1988). Eailiei deployments ielied on simple limit
checking foi detection and diagnostic functions. Even the eaily fault detection systems foi the space
shuttles` main engines, while on the giound, piimaiily used limit checking with fxed thiesholds on each
measuied vaiiable (Cikanek, 1986). As the complexity of the contiol systems and use of computeis
incieased, model-based FDD systems weie developed. These systems iely on analytical iedundancy by
using an explicit mathematical model of the monitoied plant to detect and diagnose faults. In contiast
to physical iedundancy (wheie measuiements fiom multiple sensois aie compaied to each othei), with
analytical iedundancy sensoi measuiements aie compaied to values computed analytically, with othei
measuied vaiiables seiving as model inputs (Geitlei, 1998).
The commonly used model-based methods foi fault detection included obseivei, paiity space, paiam-
etei estimation, fiequency spectial analysis, and neuial netwoiks. The methods used foi fault classifcation
included neuial nets, fuzzy logic, Bayes classifcation, and hypothesis testing (Isseimann and Ball, 1997).
These methods weie used mostly to detect and diagnose the faults with sensois, actuatois, piocess, and
contiol loop oi contiollei. Details about the individual methods and how they aie used in an FDD system
can be found in the vaiious suivey papeis and books wiitten ovei the past two decades (Willsky, 1976;
Isseimann, 1984; Geitlei, 1988; Fiank, 1987; Fiank, 1990; Isseimann and Ball, 1997; Fiank, 1997;
Himmelblau, 1978; Pau, 1981; Patton et al., 1989; Mangoubi, 1998; Geitlei, 1998; and Chen and Patton,
1999).
--
Unlike piocess contiol systems, FDD ieseaich foi building systems did not begin until the eaily 1990s.
In the 1990s, seveial FDD applications foi building systems weie developed and tested in the laboiatoiy,
and weie ielated to vapoi compiession equipment (iefiigeiatois, aii conditioneis, heat pumps, and
chilleis) followed by the application of AHU. The methods used measuied piessuie and/oi tempeiatuies
at vaiious locations and the theimodynamic ielationships to detect and diagnose common faults.
It is cleai fiom the liteiatuie ieview that theie is a lack of standaid defnitions of teims. Foi example,
the teim FDD is loosely used even when the desciibed appioach only detects faults. Fuitheimoie, the
woids fault" and failuie" aie loosely used to mean the same thing - the fault. Howevei, in the following
liteiatuie ieview, the defnitions piovided eailiei in the chaptei aie used in oidei to be consistent.
The available liteiatuie ielating to building systems includes iefiigeiatois, aii conditioneis and heat
pumps, aii-handling units, HVAC&R contiol systems, heating systems, pumps, theimal plant, seveial
FDD applications foi motois, and whole-building systems. In the following section, the FDD methods
foi iefiigeiatois, aii conditioneis and heat pumps, chilleis, and AHUs aie summaiized. Foi details on
othei building systems, iefei to the ielevant liteiatuie: HVAC&R plants (Pape et al., 1990; Dextei and
Benouaiets, 1996; Geoigescu et al., 1993; Jiang et al., 1995; Han et al., 1999); HVAC&R contiol systems
(Fasolo and Seboig, 1995); heating systems (Li et al., 1996; Li et al., 1997); pumps (Isseiman and Nold,

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1988; Dalton et al., 1995); theimal plant (Nouia et al., 1993); seveial FDD applications foi motois
(Isseiman and Ball, 1997); and whole-building systems (Dodiei and Kieidei, 1999). In one of the eailiest
automated FDD systems used in industiy, Kieidei and Reineit (piivate communication, July 1999)
deployed a diagnostic system using an expeit system in a laige computei manufactuiing plant; the system
detected and diagnosed the imminent failuie of a laige, centiifugal chillei.
In the eaily 1990s, the Inteinational Eneigy Agency (IEA) commissioned the Annex 25 collaboiative
ieseaich pioject on ieal-time simulation of HVAC&R systems foi building optimization, fault detection,
and diagnostics (Hyviinen and Kiki, 1996). The Annex 25 study identifed common faults foi vaiious
types of HVAC&R systems, and investigated a wide vaiiety of detection and diagnosis methods including
physical models of HVAC&R systems and black-box models. The black-box models use classifcation
techniques such as aitifcial neuial netwoiks, fuzzy models, and iule-based expeit systems. The selected
methods pioved to be successful in detecting and diagnosing faults with simulated data; howevei, the
effectiveness of the FDD systems in ieal building systems was not assessed.
- - --
The FDD liteiatuie ielated to the building systems is summaiized in Table 7.2.1, and a moie detailed
ieview of the individual building system follows this section. In addition to the methods used to detect
and diagnose faults, it summaiizes whethei oi not the fault evaluation is addiessed, whethei the study
included any discussion of the sensitivity of detection/diagnosis of faults vs. false alaims, and whethei
the FDD system was tested in the feld.
In the 1990s, theie was a signifcant contiibution to FDD fiom a theoietical point of view; howevei,
the piactical aspects of implementing FDD systems in the feld have not yet been thoioughly analyzed
(sensitivity of diagnosis vs. false alaim and data gatheiing). Simplifed physical models weie mostly used
foi fault detection followed by iule-based methods and neuial netwoiks. Many studies did not addiess
fault diagnosis, and some developed methods that combined fault detection and diagnosis into a single
step. Most studies that addiessed fault diagnosis used some type of classifcation appioach, especially
based on neuial netwoiks, iule-based knowledge systems, oi fuzzy logic. Fault evaluation and sensitivity
of the methods to detect and diagnose faults vs. false alaims weie iaiely addiessed. With the exception
of a couple of studies, detailed feld tests weie not conducted.
-- -
In this section, we biiey desciibe methods used in development of FDD applications foi building
systems. As the summaiy in Table 7.2.1 indicates, many ieseaicheis did not addiess the tiadeoffs between
the sensitivity of the methods to detect and diagnose faults vs. the false alaims and, with the exception
of a couple of studies, none of the FDD systems weie tested in the feld. Because most of the studies
did not discuss these issues unless otheiwise mentioned, it should be assumed that the studies lacked
such infoimation.
- O One of the eaily applications of FDD was to a vapoi compiession cycle based iefiigeiatoi
(McKellai, 1987; Stallaid, 1989). Although McKellai (1987) did not develop an FDD system, he identifed
common faults foi a iefiigeiatoi based on the vapoi compiession cycle, and investigated the effects of
the faults on the theimodynamic states of vaiious points in the cycle. He concluded that the suction
piessuie (oi tempeiatuie), dischaige piessuie (oi tempeiatuie), and the dischaige-to-suction piessuie
iatio weie suffcient foi developing an FDD system. The faults consideied weie compiessoi valve leakage,
fan faults (condensei and evapoiatoi), evapoiatoi fiosting, paitially blocked capillaiy tube, and impiopei
iefiigeiant chaige (undei- and ovei-chaige).
Building upon McKellai`s woik, Stallaid (1989) developed an automated FDD system foi iefiigeiatois.
A iule-based expeit system was used with simple limit checks foi both detection and diagnosis. Con-
densing tempeiatuie, evapoiating tempeiatuie, condensei inlet tempeiatuie, and the iatio of dischaige-
to-suction piessuie weie used diiectly as classifcation featuies. Faults weie detected and diagnosed by
compaiing the change in the diiection of the measuied quantities with the expected values, and matching
the changes to expected diiectional changes associated with each fault.

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Summaiy of FDD Liteiatuie Related to Building Systems
Refeience
Method
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Detection Diagnosis
Refiigeiatoi
McKellai (1987) TM None No No No
Stallaid (1989) RB PM No No No
Aii Conditionei
Yoshimuia and Ito (1989) RB with FC
a
No No No
Kumamaiu et al. (1991) RB
a
No No No
Wagnei and Shouieshi (1992) Li/Ti and SPM
a
No Yes No
Rossi and Biaun (1996) SPM SRB Yes No No
b
Bieukei and Biaun (1999a, 1999b) SPM SRB Yes Yes No
Chillei
Giimmelius et al. (1995) Empiiical iegiession
model with pattein
matching
a
No No No
Goidon and Ng (1995) SPM None No No No
Stylianou and Nikanpoui (1996) SPM PM No No No
Tutsui and Kamimuia (1996) TCBM None No Yes No
Bailey et al. (2000) NN
a
No Yes Yes
Aii Handling Unit
Noifoid and Little (1993) EM Infeiied No No No
Glass et al. (1995) QM Infeiied No No No
Yoshida et al. (1996) ARX & Kalman fltei None No No No
Haves et al. (1996) RBF/SPM None No No No
Lee et al. (1996a) Li/ARX/ARMX
a
No No No
Lee et al. (1996b) NN
a
No No No
Lee et al. (1997) NN NN No No No
Peitsman and Soethout (1997) ARX ARX No No No
Biambley et al. (1998),
Katipamula et al. (1999)
SPM KB and MI Yes Yes Widely
Ngo and Dextei (1999) FMB
a
No Yes No
House et al. (1999) NN, RB, Bayes,
NNC, NPC
NN, RB, Bayes,
NNC, NPC
No - No
Yoshida and Kumai (1999) ARX/AFMM None No No No
Seem et al. (1999) CQ None No No No
Kieidei and Reineit (1997) NN, TM KB No No Yes
HVAC&R Plants
Pape et al. (1990) SPM SPM No No No
Dextei and Benouaiets (1996) FMB
a
No No No
Geoigescu et al. (1993) SPM KB No No No
Jiang et al. (1995) CQ
a
No Yes Yes
Han et al. (1999) KB/RB
a
No No No
HVAC&R Contiols
Fasolo and Seboig (1995) CQ None No Yes No

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- - O Theie aie many applications of FDD to aii conditioneis and heat
pumps based on a vapoi compiession cycle; some of the studies aie discussed below (Yoshimuia and
Ito, 1989; Kumamaiu et al., 1991; Wagnei and Shouieshi, 1992; Rossi, 1995; Rossi and Biaun, 1996; Rossi
and Biaun, 1997; Bieukei, 1997; Bieukei and Biaun, 1999a, 1999b).
Yoshimuia and Ito (1989) used piessuie and tempeiatuie measuiements to detect pioblems with
condensei, evapoiatoi, compiessoi, expansion valve, and iefiigeiant chaige on a packaged aii conditionei.
The diffeience between the measuied values and the expected values was used to detect a fault. The
expected value foi compaiison was estimated fiom the manufactuieis` data, and the thiesholds foi fault
detection weie expeiimentally deteimined in the laboiatoiy. The detection and diagnosis was conducted
in a single step. No details weie piovided on how the thiesholds foi detection weie selected.
Wagnei and Shouieshi (1992) developed two diffeient fault detection methods and compaied theii
ability to detect fve diffeient faults in a small heat pump system in the laboiatoiy. The fve faults included
Heating Systems
Li et al. (1996) NN
a
No No No
Li et al. (1997) NN
a
No No No
Pumps
Isseimann and Nold (1988)
Dalton et al. (1995)
Theimal Plants
Nouia et al. (1993) EM PM No No No
Isseimann and Ball (1997)
Whole Building
Dodiei and Kieidei (1999) NN No Yes Yes No
AFMM Adaptive Foigetting thiough Multiple Models
ARMX Autoiegiessive Moving Aveiage with Exogenous
Input
ARX Autoiegiessive Exogenous
CQ Chaiacteiistic Quantities
EM Empiiical Model
FC Fuzzy Classifcation
FMB Fuzzy Model Based
KB Knowledge Based
Li Limits
MI Mathematical Infeience
NN Neuial Netwoik
NNC Neaiest Neighboi Classifei
NPC Neaiest Piototype Classifei
PM Pattein Matching
QM Qualitative Model
RB Rule Based Expeit System
RBF Radial Basis Function
SPM Simplifed Physical Models
SRB Statistical Rule Based System
TCBM Topological Case Based Modeling
TM Theimodynamic Model
Ti Tiends
a
Fault detection and diagnosis was peifoimed as a single step.
b
A slightly modifed veision of the FDD system has been widely tested and is cuiiently commeicially
available.
Summaiy of FDD Liteiatuie Related to Building Systems
Refeience
Method
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Detection Diagnosis

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condensei and evapoiatoi fan fault, capillaiy tube blockage, compiessoi piston leakage, and seal system
leakage. The fist method was based on limit and tiend checking, and the second method was a model-
based appioach in which the diffeience between the piediction fiom a simplifed physical model and the
monitoied obseivations aie tiansfoimed (oi noimalized) into useful statistical quantities. The tians-
foimed statistical quantities aie then compaied to piedeteimined thiesholds to detect a fault.
The two fault detection stiategies weie opeiated in paiallel on a heat pump in a psychiometiic ioom.
The model-fiee method was able to detect foui of the fve faults that weie intioduced abiuptly, while
the model-based method was successful in detecting only two faults. The selection of the thiesholds foi
both methods is ciitical in avoiding false alaims and ieduced sensitivity. Wagnei and Shouieshi (1992)
piovide a biief discussion of how to tiade off between sensitivity to diagnosis and false alaim. The
implementation is only capable of detecting faults but lacks diagnosis, evaluation, and decision stages
desciibed in the pievious section.
Rossi (1995) desciibed the development of a statistical iule based fault detection and diagnostic method
foi aii conditioning equipment with nine tempeiatuie measuiements and one humidity measuiement.
The FDD method is capable of detecting and diagnosing condensei fouling, evapoiatoi fouling, liquid-
line iestiiction, compiessoi valve leakage, and iefiigeiant leakage. In addition to the detection and
diagnosis, Rossi and Biaun (1996) also desciibed an implementation of the fault evaluation method. A
detailed explanation of the fault evaluation method can be found in Rossi and Biaun (1997). The methods
weie demonstiated in limited testing with a iooftop aii conditionei in a laboiatoiy.
Bieukei (1997) peifoimed a moie detailed evaluation of the methods developed by Rossi (1995). The
methods and iesults of the evaluation on a iooftop aii conditionei in a laboiatoiy enviionment (Bieukei
and Biaun, 1999a, 1999b) aie discussed in moie detail latei in the chaptei.
- O Seveial ieseaicheis have applied FDD methods to detect and diagnose faults in vapoi
compiession based chilleis; some of the studies aie summaiized below (Giimmelius et al, 1995; Goidon
and Ng, 1995; Stylianou and Nikanpoui, 1996; Tutsui and Kamimuia, 1996; Peitsman and Bakkei, 1996;
Stylianou, 1997; Bailey et al., 2000; Goidon and Ng, 2000).
Giimmelius et al. (1995) developed a fault diagnostic system foi a chillei. A iefeience model is used
in paiallel with the measuied vaiiables foi fault detection and diagnosis. While the fault detection and
diagnostics aie caiiied out in a single step, theii appioach lacks the evaluation and decision steps. Twenty
diffeient measuiements weie used including tempeiatuie, piessuie, powei consumption, and compiessoi
oil level. In addition to the measuied vaiiables, some deiived vaiiables weie used, such as liquid
subcooling, supeiheat, and piessuie diop. The iefeience model is a multivaiiate lineai iegiession model
developed with the data fiom a piopeily opeiating chillei to estimate the piocess vaiiables. These
estimates weie subsequently used to geneiate iesiduals by compaiing the actual measuied values with
those estimated by the iefeience model. The inputs to the iefeience model included the enviionmental
inputs and load conditions. The iesiduals weie then used to scoie each fault symptom.
The chillei opeiation was classifed into seven iegions. Fault modes weie associated with any compo-
nent that was seiviceable, which led to 58 diffeient fault modes. The cause and effect study of the 58
fault modes helped establish the expected inuence on the components and subsequent chillei behavioi.
The symptoms associated with the 58 fault modes on the measuied and deiived vaiiables weie geneiated.
In the iesulting symptom matiix, some fault modes weie indistinguishable in teims of theii iespective
symptoms because they eithei had identical oi empty patteins. As a iesult, the symptom matiix was
ieduced fiom 58 to 37 fault modes and symptom patteins.
To diagnose a fault, scoies aie assigned to each known fault mode in the matiix. The scoie foi a given
symptom is not a constant, but is deteimined based on knowledge about the paiticulai fault symptoms.
A vaiiable that shows a veiy distinct ieaction to a fault mode becomes a highei scoie than a vaiiable that
shows only a limited ieaction to the fault mode. Foi example, if theie is incieased iesistance to ow of
the evapoiatoi on the chilled watei side, the scoie associated with the deciease in suction piessuie becomes
highei than the deciease in the cooling watei tempeiatuie diffeience. A symptom matiix foi selected
faults is shown in Table 7.2.2 (aiiow pointing up, , indicates incieasing value as a iesult of the fault;
likewise, aiiow pointing down, , indicates decieasing value as a iesult of the fault; a hoiizontal aiiow,
, indicates the fault has no effect on the vaiiable).

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Using the symptom matiix, a total scoie is geneiated by adding the individual scoies of all expected
symptoms that match the measuied symptoms. A noimalized scoie is calculated by dividing the total
scoie by the total numbei of points pei pattein. A noimalized scoie of 0.9 oi highei is used to indicate
a piobable fault, and a scoie between 0.5 and 0.9 is used to indicate a possible fault. Although the method
pioved effective in identifying faults in the systems befoie the system failed completely, faults with only
a few symptoms got high scoies moie often. Because the iefeience model is a simple iegiession model
developed with the data fiom the test chillei, the same model may not woik on anothei chillei.
Goidon and Ng (1995, 2000) developed theimodynamic models foi thiee commonly used chilleis:
iecipiocating, centiifugal, and absoiption. In addition, they also developed theimodynamic models foi
theimoacoustic and theimoelectiic iefiigeiatois. These models may not woik to develop chaiacteiistic
quantities foi use within an FDD system. Although the models weie used to demonstiate both the
piedictive and diagnostic capabilities, no full FDD system was developed.
Stylianou and Nikanpoui (1996) used the iecipiocating chillei model developed by Goidon and Ng
(1995) and the pattein matching appioach outlined by Giimmelius et al. (1995) as pait of theii FDD
system. Like Giimmelius et al. (1995), they also peifoim the detection and diagnosis in a single step, and
theii appioach lacks the evaluation and decision steps. The methods used in the FDD system included
a theimodynamic model foi fault detection, and pattein iecognition fiom expeit knowledge foi diagnosis
of selected faults. The diagnoses of the faults aie peifoimed by an appioach similai to that outlined by
Giimmelius et al. (1995). Seventeen diffeient measuiements weie used, including piessuies, tempeiatuies,
and ow iates, to detect foui diffeient faults: iefiigeiant leak, iefiigeiant line ow iestiiction, condensei
watei side ow iesistance, and evapoiatoi watei side ow iesistance.
The FDD system is subdivided into thiee paits: one used to detect pioblems when the chillei is off,
one used duiing the stait-up, and one used at the steady state condition. The off-cycle module is deployed
when the chillei is tuined off, and is piimaiily used to detect faults in the tempeiatuie sensois. The
tempeiatuie sensoi ieadings aie compaied to one anothei aftei the chillei is shut down. The diffeiences
aie then compaied to the values established duiing commissioning.
Symptom Patteins foi Selected Faults in a Chillei
Fault
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Compiessoi, suction side,
inciease in ow iesistance
Compiessoi, dischaige side,
Condensei, cooling watei side,
Fluid line inciease in ow
iesistance
Expansion valve, contiol unit,
powei element loose fiom pipe
Evapoiatoi, chilled watei side,
Giimmelius et al., 1995.

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The stait-up module is deployed once the chillei is staited and is left deployed foi 15 minutes. The
module used foui measuied inputs - dischaige tempeiatuie, the ciankcase oil tempeiatuie, and iefiig-
eiant tempeiatuie enteiing and leaving the evapoiatoi - scanned at 5 sec inteivals to detect iefiigeiant
ow faults that aie easiei to detect befoie the system ieaches steady state. To detect faults, the iesponses
of the measuied vaiiables aie compaied to the baseline iesponses. Foi example, a shift (in time oi
magnitude) in the peak of the dischaige tempeiatuie may indicate liquid iefiigeiant oodback, iefiigeiant
loss, oi iefiigeiant line iestiiction. Because the ambient conditions affect the baseline iesponse, the
iesponse may have to be noimalized befoie a compaiison is made.
The steady state module is deployed aftei the chillei ieaches steady state and stays deployed until the
chillei is tuined off. In this mode, it peifoims two functions: (1) to veiify peifoimance of the system,
and (2) to detect and diagnose selected faults. Peifoimance is veiifed using the theimodynamic models
developed by Goidon and Ng (1995). Foi the fault diagnostics, lineai iegiession models aie used to
geneiate estimates of piessuie and tempeiatuie vaiiables, similai to the appioach outlined by Giimmelius
et al. (1995). To diagnose faults, the estimated vaiiables aie compaied to the measuied values, and the
iesiduals aie matched using a iule-base to the patteins shown in Table 7.2.3.
Although Stylianou and Nikanpoui (1996) extended the pievious woik of Goidon and Ng (1995) and
Giimmelius et al. (1995), the evaluation of the FDD systems was not compiehensive and lacked seveial
key elements including sensitivity and false alaim. In addition, it is not cleai whethei the stait-up module
can be easily geneialized.
Tutsui and Kamimuia (1996) developed a model based on a topological case based ieasoning technique,
and applied it to an absoiption chillei. They showed that although the lineai model had a bettei oveiall
modeling eiioi (mean eiioi) than the topological case based model, the lattei was bettei at identifying
abnoimal conditions.
Peitsman and Bakkei (1996) used two types of black-box models, neuial netwoiks (NNs) and auto-
iegiessive with exogenous inputs (ARX), to detect faults at the system, as well as at the component level
of a iecipiocating chillei system. The inputs to the system models included condensei supply watei
tempeiatuie, evapoiatoi supply glycol tempeiatuie, instantaneous powei of compiessoi, and ow iate
of cooling watei enteiing the condensei (foi NN only). The choice of the inputs was only limited to
those that aie commonly available in the feld. Using the inputs with both the NN and ARX models, 14
outputs weie estimated. Foi the NN models, inputs fiom the cuiient and the pievious time step and
outputs fiom two pievious time steps weie used.
Peitsman and Bakkei (1996) state that 14 system level models and 16 component level models weie
developed to detect faults in a chillei; howevei, only one example is desciibed in theii ieseaich. The
intent was to use system level models to detect the fault at the system level and then use the component
level models to isolate the fault. NN models appeaied to have a slightly bettei peifoimance than the ARX
models in detecting faults at both the system and the component level. The evaluation and decision steps
weie not implemented.
Fault Patteins Used in the Diagnostic Module
Fault
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Restiiction in iefiigeiant line
Refiigeiant leak
Restiiction in cooling watei
Restiiction in chilled watei
Stylianou and Nikanpoui, 1996.

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Stylianou (1997) ieplaced the iule-based model used to match the pattein shown in Table 7.2.3 with
a statistical pattein iecognition algoiithm. This algoiithm uses the iesiduals geneiated fiom compaiison
of piedicted (using lineai iegiession) models, and measuied piessuies and tempeiatuies to geneiate
patteins that identify faults. Because this appioach ielies on the availability of tiaining data foi noimal
and faulty opeiation, it may be diffcult to implement it in the feld. Theie was only limited testing of
the method.
Bailey, Kieidei, and Cuitiss (2000) also used the NN model to detect and diagnose faults in an aii-
cooled chillei with a sciew compiessoi. The detection and diagnosis was caiiied out in a single step. The
faults evaluated included: iefiigeiant undei- and ovei-chaige, oil undei- and ovei-chaige, condensei fan
loss, and condensei fouling. The measuied data included: supeiheat foi ciicuits 1 and 2, subcooling fiom
ciicuits 1 and 2, powei consumption, suction piessuie foi ciicuits 1 and 2, dischaige piessuies foi
ciicuits 1 and 2, chilled watei inlet and outlet tempeiatuies fiom the evapoiatoi, and chillei capacity.
O Theie aie seveial studies ielating to the FDD method foi the aii-handling units
(both the aii side and the watei side) and some of these aie summaiized in this section (Noifoid and
Little, 1993; Glass et al., 1995; Yoshida et al., 1996; Haves et al., 1996, 1996a, 1996b, and 1997; Peitsman
and Soethout, 1997; Biambley et al., 1998; Katipamula et al., 1999; House et al., 1999; Ngo and Dextei,
1999; Yoshida and Kumai, 1999; Seem et al., 1999).
Noifoid and Little (1993) classify faults in ventilating systems consisting of fans, ducts, dampeis, heat
exchangeis, and contiols. They ieview two foims of steady state paiametiic models foi the electiic powei
used by ventilation system fans and piopose a thiid, that of coiielating powei with a vaiiable speed diive
contiol signal. The models aie compaied based on piediction accuiacy, sensoi iequiiements, and theii
ability to detect faults.
Using the thiee pioposed models, foui diffeient types of faults associated with fan systems aie detected:
(1) failuie to maintain supply-aii tempeiatuie, (2) failuie to maintain supply aii piessuie setpoint,
(3) incieased piessuie diop, and (4) malfunction of fan motoi coupling to fan and fan contiols. Although
Noifoid and Little`s study lacked details on how the faults weie evaluated, eiioi analysis and associated
model fts weie discussed. The iesults indicate that all thiee models weie able to identify at least thiee
of the foui faults. The diagnosis of the faults is infeiied aftei the fault is detected.
Glass et al. (1995) used a qualitative model-based appioach to detect faults in an aii-handling unit.
The method uses outdooi-, ietuin-, and supply-aii tempeiatuies and contiol signals foi the cooling coil,
heating coil, and the dampei system. Although Glass et al. (1995) mentioned that the diagnosis is infeiied
fiom the fault conditions, no cleai explanation oi examples weie piovided.
Detection staits by analyzing the measuied vaiiables to veiify whethei steady state conditions exist.
Then, the contiollei values aie conveited to qualitative signal data and, using a model and the measuied
tempeiatuie data expected, qualitative signals aie estimated. Faults aie detected based on disciepancies
between measuied qualitative contiollei outputs and coiiesponding model piedictions based on tem-
peiatuie measuiements. Examples of qualitative states foi the dampei signal include: maximum
position," minimum position," closed," and in between." When the quantitative value of the dampei
signal appioaches maximum value, the coiiesponding qualitative value of maximum" is assigned to the
measuied contiollei output.
The iesults of testing the method on a laboiatoiy AHU weie mixed because it iequiies steady state
conditions to be achieved befoie fault detection is undeitaken. Fault detection sensitivity and ability to
deal with false alaims weie not discussed.
Yoshida et al. (1996) used ARX and the extended Kalman fltei appioach to detect abiupt faults with
simulated test data of an AHU. Although the fault diagnosis appioach was cleaily desciibed, the authois
noted that diagnosis is not feasible with the ARX method, but the Kalman fltei appioach could be used
foi diagnosis. Fault detection sensitivity and ability to deal with false alaims weie not discussed.
Haves et al. (1996) used a combination of two models to detect coil fouling and valve leakage in the
cooling coil of an AHU. The methodology was tested with data pioduced by the HVACSIM- simulation

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tool (Claik, 1985). A iadial bias function (RBF) models the local behavioi of the HVAC&R system and
is updated using a iecuisive giadient-based estimatoi. The data geneiated by exeicising the RBF ovei the
opeiating iange of the system aie used in the estimation of the paiameteis of the physical model (UA
and peicent leakage) using a diiect seaich method. Detection is accomplished by compaiing estimated
paiameteis to fault-fiee paiameteis.
Lee et al. (1996a) used two methods to detect eight diffeient faults (mostly abiupt) in a laboiatoiy
test AHU. The fist method used disciepancies between measuied and expected vaiiables (iesiduals) to
detect the piesence of a fault. The expected values weie estimated at nominal opeiating conditions. The
second method compaied paiameteis that weie estimated using autoiegiessive moving aveiage with
exogenous input (ARMX) and ARX models with the noimal (oi expected) paiameteis to detect faults.
The faults evaluated included: complete failuie of the supply and ietuin fan, complete failuie of the
chilled watei ciiculation pump, stuck cooling coil valve, complete failuie of tempeiatuie sensoi, complete
failuie of static piessuie sensoi, and failuie of supply and ietuin aii fan ow station. Because each of the
eight faults had a unique signatuie, no diagnosis was necessaiy.
Lee at al. (1996b) used an NN model to detect the same faults desciibed pieviously (Lee et al., 1996a).
NN was tiained using the noimal data and data iepiesenting each of the eight faults. Seven noimalized
iesidual values weie used as inputs to the NN model and the nine output values consitute a pattein that
iepiesents noimal opeiation oi one of the eight fault modes. Instead of geneiating the tiaining data with
faults, idealized tiaining patteins weie specifed by consideiing the dominant symptoms of each fault.
Foi example, supply fan failuie implies: supply fan speed of zeio, supply-aii piessuie of zeio, supply fan
contiol signal of maximum, ow diffeience between the supply, and ietuin ducts of zeio.
Using similai ieasoning, a pattein of dominant tiaining iesiduals foi each fault was geneiated and is
shown in Table 7.2.4. The NN was tiained using the pattein shown in Table 7.2.4. Noimalized iesiduals
weie calculated foi the faults that weie aitifcially geneiated in the laboiatoiy AHU. The noimalized
iesiduals vectoi at each time step was then used with the tiained NN to identify the fault. Although the
NN was successful in detecting the faults fiom laboiatoiy data, it is not cleai how successful this method
will be, in geneial, because the faults geneiated in the laboiatoiy setting weie seveie and without noise.
Lee et al. (1997) extended the pievious woik desciibed in Lee et al. (1996b). In the 1997 analysis, two
NN models weie used to detect and diagnose the faults. The AHU was bioken down into vaiious
subsystems such as: the piessuie contiol subsystem, the ow contiol subsystem, the cooling coil sub-
system, and the mixing dampei subsystem. The fist NN model is tiained to identify the subsystem in
Noimalized Pattein foi AHU Fault Diagnosis Used in NN Tiaining
Fault Diagnosis
Netwoik Inputs - Residuals
Netwoik Outputs
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Noimal 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0
Supply Fan -1 -1 0 1 -1 0 0 0 1 0 0 0 0 0 0 0
Retuin Fan 0 1 0 0 0 -1 0 0 0 1 0 0 0 0 0 0
Pump 0 0 0 1 0 0 0 0 0 0 1 0 0 0 0 0
Cooling Coil Valve 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0
Tempeiatuie Sensoi 0 0 -1 -1 0 0 0 0 0 0 0 0 1 0 0 0
Piessuie Tiansducei -1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0
Supply Fan Flow Station 0 -1 0 0 0 0 0 0 0 0 0 0 0 0 1 0
Retuin Fan Flow Station 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1
Fiom Lee et al., 1996b.

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which a fault occuis, while the second NN model is tiained to diagnose the specifc cause of a fault at
the subsystem level. An appioach similai to the one desciibed pieviously (Lee et al., 1996b) is used to
tiain both NN models.
Lee et al. (1997) noted that this two-stage appioach simplifes geneialization by ieplacing a single NN
that encompasses all consideied faults with a numbei of less complex NNs, each one dealing with a
subset of the iesiduals and symptoms. Although 11 faults aie identifed foi detection and diagnosis, fault
detection and diagnosis foi only one fault aie piesented in theii study.
Peitsman and Soethout (1997) used seveial diffeient ARX models to piedict the peifoimance of the
AHU and compaied the piediction to the measuied values to detect faults in the AHU. The tiaining data
foi the ARX models weie geneiated using HVACSIM-. The AHU is modeled at two levels: (1) the system
level wheie the complete AHU is modeled with one ARX model, and (2) the component level wheie the
AHU is subdivided into seveial subsystems such as ietuin fan, the mixing box, and the cooling coil. Each
component is modeled with a sepaiate ARX model. The fist level ARX model is used to detect a pioblem,
and the second level ARX models aie used to diagnose the pioblem.
Most abiupt faults weie coiiectly identifed and diagnosed, while the slow evolving faults weie not
detected. In addition, theie is a potential foi conict between the two levels; foi example, the top level
ARX model could detect a fault with the AHU, and the second level ARX models may not indicate any
faults. Fuitheimoie, theie is a potential foi multiple diagnoses at the second level. Peitsman and Soethout
(1997) indicated that some of the multiple diagnoses could be disciiminated by ianking them accoiding
to theii impiobability; howevei, no details weie piovided on how to implement such a scheme.
As pait of its mission in commeicial buildings ieseaich and development, the U.S. Depaitment of
Eneigy (DOE), in collaboiation with industiy, has developed a tool that automates detection and diag-
nosis of pioblems associated with outdooi-aii ventilation and economizei opeiation. The tool, known
as the outdooi-aii/economizei (OAE) diagnostician, monitois the peifoimance of AHUs and detects
pioblems with outdooi-aii contiol and economizei opeiation, using sensois that aie commonly installed
foi contiol puiposes (Biambley et al., 1998; Katipamula et al., 1999).
The tool diagnoses the opeiating conditions of AHUs using iules deiived fiom engineeiing models of
piopei and impiopei aii-handlei peifoimance. These iules aie implemented in a decision tiee stiuctuie
in softwaie. The diagnostician uses data collected peiiodically (e.g., fiom a BAS) to navigate the decision
tiee and ieach conclusions iegaiding the opeiating state of the AHU. At each point in the tiee, a iule is
evaluated based on the data, and the iesult deteimines which bianch the diagnosis follows. When the
end of a bianch is ieached, a conclusion is ieached iegaiding the cuiient condition of the AHU. A detailed
desciiption of the methodology used is desciibed latei in the chaptei.
House et al. (1999) compaied seveial classifcation techniques foi fault detection and diagnosis of
seven diffeient faults in an AHU. The data foi the compaiison weie geneiated using a HVACSIM-
simulation model. Using the iesiduals, as defned in Lee et al. (1996a, 1996b), fve diffeient classifcation
methods weie evaluated and compaied foi theii ability to detect and diagnose faults. The fve classifcation
methods include: NN classifei, neaiest neighboi classifei, neaiest piototype classifei, a iule-based
classifei, and a Bayes classifei.
Based on the peifoimance of classifcation methods, the Bayes classifei appeaied to be a good choice
foi fault detection. Foi diagnosis, the iule-based method pioved to be a bettei choice foi the classifcation
pioblems consideied, wheie the vaiious classes of faulty opeiations weie well sepaiated and could be
distinguished by a single dominant symptom oi featuie.
Ngo and Dextei (1999) developed a semiqualitative analysis of the measuied data using geneiic fuzzy
iefeience models to diagnose faults with the cooling coil of an AHU. The method uses sets of tiaining
data with and without faults to develop geneiic fuzzy iefeience models foi diagnosing faults in the cooling
coil, including leaky valve, watei side fouling, valve stuck closed, valve stuck midway, and valve stuck
open. The fuzzy iefeience models desciibe in qualitative teims the steady state behavioi of a paiticulai
class of equipment with no faults piesent and when each of the faults has occuiied. The measuied data
aie used to identify a paitial fuzzy model that desciibes the steady state behavioi of the equipment at a
paiticulai opeiating point. The paitial fuzzy model is then compaied to each of the iefeience models

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using a fuzzy matching scheme to deteimine the degiee of similaiity between the paitial model and the
iefeience models. The Ngo and Dextei (1999) study piovides a detailed desciiption of fault detection
sensitive and false alaim iates.
Yoshida and Kumai (1999) evaluated two model-based methods to identify abiupt/sudden faults in
an AHU. They iepoited that both ARX and adaptive foigetting thiough multiple models (AFMM) seem
piomising foi use in on-line fault detection of the AHU. They iepoit that ARX models iequiie only a
minimal knowledge of the system, and the potential limitation of the technique is that it iequiies long
peiiods to stabilize its paiameteis. On the othei hand, Yoshida and Kumai (1999) iepoit that the AFMM
method iequiies long moving aveiages to suppiess false alaims. By doing so, faults of lessei magnitude
cannot be easily detected. Implementation details weie lacking, and only one example of fault detection
was piovided.
Seem et al. (1999) developed a method based on estimating peifoimance indices that can be used foi
fault detection; howevei, no details weie piovided.
-- B- --
The cost of FDD implementation depends on seveial factois including the type of diagnostic method
used, type of faults to be evaluated, numbei of sensois iequiied (including any iedundancy), and level
of automation. The benefts fiom FDD can be classifed into thiee categoiies: (1) impioved health and
safety, (2) impioved ieliability and availability, and (3) ieduced cost of opeiations and maintenance.
Because safety is the oveiiiding factoi in the ciitical piocess, FDD applications with high cost can be
easily justifed. High availability of plant equipment is ciitical in the chemical oi food piocess plants,
wheie equipment failuies and ineffciencies can have a signifcant impact on pioduction costs. The
economic impact of abnoimal opeiations in the petiochemical piocess opeiations is about $20 billion
pei yeai in the U.S. (Mylaiaswamy and Venkatsubiamanian, 1997). Theiefoie, automated FDD systems
aie almost essential in ieducing downtime and impioving pioductivity. Most FDD ieseaich and appli-
cations development so fai have been foi ciitical and piocess industiies because these industiies can
affoid applications with a high cost, oi because the benefts aie so laige that the cost of the FDD can be
coiiespondingly high.
- - B- --
In geneial, the health and safety benefts foi building systems aie lowei than foi ciitical oi piocess plants
and aie geneially limited to detection of pioblems ielating to indooi-aii quality, opeiations of fie systems,
and elevatoi opeiations. Geneially, FDD benefts must be deiived entiiely fiom ieduction in opeiation
and maintenance cost, and impioved occupant comfoit and health to offset the development and
implementation costs. In compaiison to ciitical oi piocess plants, the cost savings aie undoubtedly a
smallei poition of the costs of opeiating the businesses that they seive. This means that FDD applications
foi nonciitical building applications must have lowei installed costs to achieve the same cost-to-beneft
iatio (Biaun, 1999).
Cleaily, low installed costs aie ciitical to widei adoption of FDD applications in building systems.
Inteiest in FDD has giown as the costs of sensois and contiol haidwaie have gone down. In addition,
theie is incieased emphasis on using infoimation technology within the HVAC&R industiy foi sched-
uling, paits tiacking, billing, and peisonnel management. This has piovided an infiastiuctuie and a
highei expectation foi the use of quantifable infoimation foi bettei decision making. Finally, the stiuc-
tuie of the industiy that piovides seivices foi the opeiation and maintenance of buildings is changing.
Companies aie consolidating and offeiing whole-building opeiation and maintenance packages. In
addition, utilities aie in the piocess of being deiegulated and aie beginning to offei new seivices, which
could ultimately include complete facility management. The cost-to-beneft iatio foi FDD impioves as
the industiy moves towaid laige oiganizations managing the opeiations and maintenance of many
buildings. In paiticulai, the cost of developing and managing the necessaiy softwaie tools can be spiead
out ovei a laigei ievenue base.

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Selection of methods foi FDD plays a ciitical pait in the development of FDD systems. Theie is a wide
iange of methods available foi FDD; most of them peifoim adequately in the laboiatoiy oi test setting,
but many of them may not be suitable foi feld implementation. Some methods have fewei data iequiie-
ments, while otheis iequiie extensive data. This section piovides a biief discussion on how to piopeily
select a method foi FDD.
Theie aie seveial appioaches to detecting and diagnosing faults in building systems. They diffei widely
depending on the type of system they aie applied to, the necessaiy degiee of knowledge about the
diagnosed object, cost-to-beneft iatio (including monetaiy, as well as life safety ielated issues), the degiee
of automation, and the input data iequiied. Most classical methods use alaim limits as fault ciiteiia,
wheieas the advanced methods apply accuiate mathematical models of the piocess. Between the two
gioups aie vaiious simplifed empiiical and heuiistic knowledge-based methods of fault detection and
diagnostics. Development of detailed physical models is expensive and impiactical in most instances;
theiefoie, eithei a simplifed model based on fist piinciples, oi a heuiistic knowledge base is widely used
foi FDD.
The success of the FDD system depends on piopei selection of methods foi both detection and
diagnosis. Often methods aie selected because of the inteiest of the developei oi the availability of an
existing tool. While this appioach may yield satisfactoiy iesults foi small-scale laboiatoiy applications,
it often leads to pioblems in full-scale ieal applications. Foi some FDD applications, fault diagnosis may
not be needed because detection isolates the fault. On the othei hand, fault diagnosis may not be possible
because iesolution of the data is not suffcient foi diagnosis. Selection of the best method foi detection
and diagnosis depends on seveial factois, as shown in Figuie 7.2.4.
The methods used foi detection aie often diffeient fiom the methods used foi diagnosis. Duiing
detection, the actual measuiements (oi estimated actual state/paiametei) aie compaied to the expected
Schematic of a methodology specifcation.

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measuiements to identify an abnoimal condition. Diagnosis is moie involved and iequiies sophisticated
methods to isolate the fault and the cause. Fiom the suivey of the liteiatuie both in ciitical piocesses
and in the HVAC&R aiea, model-based appioaches weie widely used in detecting faults. Model-based
appioaches ielied on mathematical models to piedict the state oi the output vaiiables and compaie them
to the measuied vaiiables. Foi diagnosis, classifcation methods such as NNs, fuzzy clusteiing, and iule-
based ieasoning methods weie widely used in the liteiatuie.
As mentioned eailiei, almost any type of FDD method can be used at the building level (Figuie 7.2.2);
howevei, diagnosis at that level is limited. FDD systems deployed at the subsystems level, oi component
level, many not need a diagnosis method because when a fault is detected, the cause is alieady known. FDD
systems deployed at the inteimediate levels will most likely need both detection and diagnosis methods.
The amount of measuied data plays a ciitical iole in the selection of a method foi both detection and
diagnosis. A limited set of infoimation will lead to selection of a detailed oi modeiately detailed physical
model foi detection. Foi diagnosis, it will then be necessaiy to have a set of fault models and a technique
foi selecting the fault models foi a given set of inputs and outputs. In geneial, most building HVAC&R
systems will have limited sensois - sensois that aie iequiied foi contiols puiposes only. Additional
sensoi costs should be consideied when selecting methods that iequiie data beyond those that aie
noimally piovided foi contiols. On the othei hand, methods that iely on a limited set of data may
geneiate moie false alaims.
Statistical pattein iecognition techniques aie often used to identifying the best matching model. If the
system is extensively instiumented, classical limit checks and simplifed empiiical models aie suffcient
foi detection, while iule-based oi knowledge-based models aie needed foi diagnosing the cause.
Befoie selecting methods foi detection and diagnosis, a good undeistanding of the anticipated faults
is essential. Some faults inuence the selection of the diagnostics method moie than the detection.
Examples of faults that make diagnosis diffcult include faults that exhibit diffeient symptoms at
diffeient times, faults that aie inteimittent, and multiple simultaneous faults. Not many methods can
diagnose the fault that exhibits diffeient symptoms at diffeient times depending on the opeiational
dynamics. Foi example, if the outdooi-aii dampei is stuck wide open and the outdooi-aii conditions
aie favoiable foi economizing, theie is no fault. Howevei, if the outdooi-aii conditions aie unfavoiable
foi economizing, it is a fault. In addition, multiple simultaneous faults make deteimining the cause
of the fault diffcult.
To a lessei extent, the cost of development and deployment of an FDD system inuences the methods
selected. Because the building industiy is cost sensitive and safety is not an issue with the building systems,
the methods used foi detection and diagnosis have to iely on a limited set of measuied data.
Foi nonciitical applications, the methods used foi detection and diagnosis should minimize the
numbei of false positives (false alaims). If a numbei of false positive faults aie detected and diagnosed,
the opeiatois may disable the FDD system completely. FDD methods applied to ciitical systems aie tuned
to be sensitive to fault detection; theiefoie, these applications may geneiate false alaims moie often. On
the othei hand, FDD methods applied to nonciitical systems (most building systems) aie tuned to
geneiate fewei false alaims.
The task iequiiement of the FDD system also plays a ciucial iole in the selection of the methods. If
the FDD system is deployed in a decision suppoit iole, simple detection and diagnostic methods such
as knowledge-based models aie suffcient. On the othei hand, if the FDD system is deployed as a fault-
toleiant contiol system, moie accuiate and iobust detection and diagnostics methods aie iequiied.
-- --
In the next section, detailed desciiptions of thiee FDD systems aie piesented: (1) a whole-building eneigy
diagnostician, (2) an outdooi-aii/economizei diagnostician, and (3) an automated FDD system foi vapoi
compiession systems. These thiee FDD applications weie selected because they use diffeient detection
and diagnosis methods.

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-
Eneigy consumption levels and patteins in buildings, when piopeily undeistood, can be indicatois of
building systems opeiation. Malfunctions of costly equipment can be identifed by compaiing nominal"
equipment behavioi to that measuied in ieal time duiing ongoing building opeiation. A statistically
iigoious method was developed to detect pioblems in the whole-building eneigy consumption by
oiganizing NNs into a highei-level model called a belief netwoik, which can be viewed as a piobabilistic
database containing what is known about a system (Peail, 1988). The whole-building eneigy (WBE)
module desciibed heie is one module of a laigei system foi whole-building diagnostics developed by
a team of piivate sectoi, national laboiatoiy, and univeisity ieseaicheis (Biambley et al., 1998).
A summaiy of the WBE follows; foi moie infoimation iefei to Dodiei and Kieidei (1999).
-
The WBE diagnostician deteimines the iatio of measuied eneigy use to expected eneigy use accounting
foi the weathei, time of day, day of week, and othei featuies of building eneigy use that aie time and
day dependent. Specifcally, WBE detections aie based on the eneigy consumption index (ECI), which
is defned as
A sepaiate ECI is computed foi each foi the foui majoi eneigy end uses: building total electiic, building
total theimal, HVAC&R electiic othei than chillei/packaged units, and chillei/packaged units. Theiefoie,
the data iequiied foi the FDD systems include: outdooi-aii tempeiatuie and humidity, whole-building
electiicity and theimal, electiicity consumption of the chillei oi packaged units, and othei HVAC&R
electiicity consumption (less chillei oi packaged units). If any of the consumption data aie not available,
detection foi that end use is not peifoimed.
The actual eneigy use is measuied, while the expected eneigy use is computed as a function of time
of day, day of yeai, day of week, outdooi-aii diy-bulb tempeiatuie and ielative humidity, and othei
optional weathei and load piedictois may be used as well (such as wind speed, pioduction, histoiical oi
sales). NNs aie used to piedict each eneigy end use given the values of these weathei and calendai
vaiiables. These piedictoi netwoiks aie calibiated by tiaining them on data fiom the same building. The
amount of tiaining data depend on the end use; an end use that vaiies by outdooi conditions may need
as much as 6 to 9 months, while otheis many need as little as 4 weeks.
The actual and expected eneigy use vaiiables of inteiest aie totals computed fiom houily values iecoided
ovei a 24-houi peiiod fiom midnight on one day to midnight the next day. Each of the foui ECI values
is calculated once a day. Installing the WBE in a new building iequiies that it be tuned (by tiaining the
neuial netwoik piedictoi models) especially foi that building. Because eneigy use vaiies widely fiom one
building to anothei, tuning the WBE foi each building gives much moie accuiate eneigy use piedictions
than aie possible with models that do not considei a building`s paiticulai chaiacteiistics.

The ow of data within WBE is shown schematically in Figuie 7.2.5. In summaiy, the cuiient belief
netwoik, cuiient end use consumption data, cuiient weathei vaiiables (diy-bulb tempeiatuie and ielative
humidity), and calendai vaiiables (time of day, day of yeai, and a weekday/weekend ag) aie the inputs.
The time of day and day of yeai aie iepiesented as sine and cosine functions. The weekday/weekend ag
is 1" if the day is a weekday, and 0" if it is a weekend. Detected pioblems and theii costs aie output.
Essentially a belief netwoik embodies, in a quantitative way, the ielationships between known oi measuied
inuencing paiameteis (e.g., weathei, schedule, occupancy in a building) and the eneigy end uses of
inteiest. The WBE module compaies the measuied data with piedicted data to detect pioblems. If a
pioblem is detected, it estimates eneigy cost impacts.
Specifcally, the WBE module uses piobabilistic infeience in the foim of a belief netwoik with con-
tinuous and disciete vaiiables foi pioblem detection. Pioblems to be detected aie iepiesented as vaiiables
ECI
Actual energy use
Expected energy use
------------------------------------------------------ =

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in the netwoik. Meteied data and othei known values aie also vaiiables in the netwoik. Some inteimediate
quantities (such as daily eneigy use totals and estimated values foi missing sensoi ieadings) aie vaiiables
as well. Piobability distiibutions aie piopagated thiough the belief netwoik. The iesult of the piopagation
algoiithm is the piobability distiibution ovei each vaiiable conditional on obseived values.
The piobability distiibution ovei each detection vaiiable is used to compute the iisk associated with
each possible diagnostic message. A cost matiix foi each detection vaiiable is stoied with the associated
messages. The message with least iisk is output fiom the WBE.
-
A belief netwoik is a piobabilistic model composed of a numbei of submodels that compute the piob-
ability of a dependent vaiiable , given the values of the vaiiables that have a cause oi inuence ielation
to . These inuential vaiiables aie called paient" vaiiables, and is called a child" vaiiable. The model
is called a belief " netwoik because it computes piobabilities, iepiesenting degiees of belief. Although
slightly dated fiom a technical point of view, Peail (1988) iemains the best geneial intioduction to belief
netwoiks because of claiity and bieadth; it discusses the inteipietation of belief netwoiks and how they
iepiesent the woild.
Because the belief netwoik summaiizes what is known about a system, discussion of the fault detection
system is centeied on the belief netwoik. A belief netwoik allows heteiogeneous data to be oiganized
into a single stiuctuie; theiefoie, all ielevant data is stoied within the netwoik.
-
The belief netwoiks offei a woikable appioach to including both physical and statistical knowledge foi
detecting eneigy use pioblems. A stiictly piobabilistic appioach supeisedes the use of ad hoc ceitainty
factois" commonly used in expeit systems. Neuial netwoiks can be used to piedict whole-building eneigy
use quickly and with suffcient accuiacy to foim the basis of WBE detection piocess.
Testing on feld data indicates that the WBE appioach is able to identify changes in HVAC&R systems
(Dodiei and Kieidei, 1999) and to estimate the diffeience in eneigy use. Data fiom a laige building have
been analyzed using the WBE, with encouiaging iesults. In piactice, the most signifcant huidle is to
automatically tiain accuiate piediction models foi eneigy end uses, when only shoit data stieams aie
available. The othei impoitant piactical obstacle is baseline data. The WBE diagnostician automatically
deteimines when theie is suffcient data to make accuiate piedictions. Fuitheimoie, the WBE automat-
ically deteimines if it is not making suffciently accuiate piedictions and if additional tiaining data need
to be collected.
-
The outdooi-aii/economizei (OAE) diagnostician is pait of a laigei tool developed by the DOE (Biam-
bley et al., 1998; Katipamula et al., 1999). It monitois the peifoimance of AHUs and automatically detects
pioblems with outdooi-aii contiol and economizei opeiation using sensois that aie commonly installed
foi contiol puiposes. The OAE diagnostician can be used with most majoi types of economizei and
Data ow in WBE diagnostician (fiom Dodiei and Kieidei, 1999).
Current Belief Network
WBE
Tool
Hourly Data
Detected Problems
Diagnostic
Time stamp
Cost Estimates

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ventilation systems. It detects both ovei- and undei-supply of outdooi aii; thus, it can be used to ensuie
adequate outdooi-aii supply foi the occupants and eliminate excess heating oi cooling.
- -
As with any mechanical system, faults that diminish oi eliminate an economizei`s usefulness can occui.
Howevei, unlike the piimaiy (mechanical) cooling system, a failuie of the economizei may go completely
unnoticed. Any failuie, foi example, that pievents outdooi aii fiom being used foi cooling when outdooi
conditions aie favoiable may go unnoticed because the mechanical cooling system will pick up the load
and maintain occupant comfoit. Similaily, a failuie that iesults in too much outdooi aii may not be
appaient in a ieheat system. Reheating will ensuie that the aii supplied to the space is at a comfoitable
tempeiatuie. In both of these examples, howevei, the system would be using much moie eneigy (and
costing much moie to opeiate) than necessaiy.
The OAE diagnostician is designed to monitoi conditions of the system not noimally obseivable by
occupants, and to aleit the building opeiatoi when theie is evidence of an opeiational fault. The common
types of outdooi-aii ventilation and economizei pioblems handled by the DAE diagnostician include:
stuck outdooi-aii dampeis, failuies of tempeiatuie and humidity sensois, economizei and ventilation
contiollei failuies, supply-aii contiollei pioblems, and aii ow iestiictions that cause unanticipated
changes in oveiall system ciiculation. The diagnostician also peifoims some self-diagnosis to identify
eiiois intioduced by useis in setup and confguiation of the softwaie tool.
An oveiview of the fault detection and diagnostic piocess is shown in Figuie 7.2.6. The fist step in
the FDD piocess foi the OAE diagnostician is fault detection. The diagnoses of the faults aie caiiied out
in two steps: (1) initial diagnosis of the fault is accomplished by using a knowledge base, and (2) the
fnal diagnosis that iefnes the initial diagnosis is accomplished by ieviewing the histoiical iesults. The
initial and the fnal diagnoses aie caiiied out foi each time step. Aftei the fault is detected and the cause
of the fault is diagnosed, the fault is evaluated, and the eneigy and cost impact aiising fiom the fault aie
Oveiview of OAE diagnostician.
No Action
Required
No FauIt
Air-HandIing Unit
FauIt Diagnosis
nitial Diagnosis Using
Knowledge Base
FauIt Detection
Decision Tree Based
on Engineering Model
Measurements
FauIt
FauIt Diagnosis/
IsoIation
Final Diagnosis Using
Historical Data of
Possible and
mpossible Causes
FauIt EvaIuation
Energy and Cost
mpacts Using
Engineering Model
Decision
Continue
Data
PossibIe and
ImpossibIe
Causes

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estimated. Although the cuiient veision of the OAE diagnostician piovides the usei with infoimation
about the fault that is necessaiy to make a decision on whethei to continue to iun the system in the
faulty mode oi shut it down foi iepaii, it does not take any coiiective actions by itself. Details of the
fault detection, diagnosis, and evaluation methods aie desciibed in the following subsections.

An oveiview of the logic tiee used to identify opeiational states and to build the lists of possible failuies
is illustiated in Figuie 7.2.7. The boxes iepiesent majoi subpiocesses necessaiy to deteimine the opeiating
state of the aii handlei; diamonds iepiesent tests (decisions), and ovals iepiesent end states and contain
biief desciiptions of OK" and not OK" states. Only selected end states aie shown in this oveiview.
The OAE diagnostician uses a logic tiee to discein the opeiational state" of outdooi-aii ventilation
and economizei systems at each point in time foi which measuied data aie available. The tool uses iules
deiived fiom engineeiing models of piopei and impiopei aii-handlei peifoimance to diagnose opeiating
conditions. The iules aie implemented in a decision tiee stiuctuie in the softwaie. The diagnostician
uses peiiodically measuied conditions (tempeiatuie oi enthalpy) of the vaiious aii ow stieams, mea-
suied outdooi conditions, and status infoimation to navigate the decision tiee and ieach conclusions
iegaiding the opeiating state of the AHU. At each point in the tiee, a iule is evaluated based on the data,
and the iesult deteimines which bianch the diagnosis follows. A conclusion is ieached iegaiding the
opeiational state of the AHU when the end of a bianch is ieached.
Many of the states that coiiespond to noimal opeiation aie dubbed OK states." Foi example, one
OK state is desciibed as ventilation and economizei OK; the economizei is coiiectly opeiating
(fully open), and ventilation is moie than adequate." Othei states coiiespond to something opeiationally
wiong with the system and aie iefeiied to as pioblem states." An example pioblem state might be
desciibed as economizei should not be off; cooling eneigy is being wasted because the economizei is
not opeiating; it should be fully open to utilize cool outside aii; ventilation is adequate." Othei states
may be tagged as incomplete diagnoses if the measuied infoimation is insuffcient.
--
The OAE diagnostician peifoims fault diagnosis in two steps. Aftei a fault is detected, using a knowledge
base, a list of possible and impossible causes is identifed foi the fault state. The knowledge base is
populated with possible causes and impossible causes foi eveiy pioblem state in the decision
tiee. In the example above, a bad oi biased tempeiatuie sensoi, stuck outdooi-aii dampei, an economizei
contiollei failuie, an actuatoi failuie, a bioken linkage, oi peihaps an eiioi in setting up the diagnostician
could cause an economizei malfunction to be iepoited. Thus, at each measuied time peiiod, a list of
possible and impossible causes is geneiated.
The list of possible causes can be iathei long and often diffeient at diffeient time steps because the
same fault can manifest itself in diffeient pioblem states depending on the cuiient opeiating conditions.
Foi example, if the outdooi-aii conditions aie favoiable foi economizing and if the outdooi-aii dampei
is stuck fully open, it is not a fault; but if the conditions aie not favoiable foi economizing, then it is a
fault. Thus, each set of obseivations leads to a diffeient end bianch in the decision tiee. In the second
stage diagnosis, the numbei of possible causes is ieduced. The methodology uses a histoiical list of
possible and impossible causes and ieduces the list of possible causes. It does this by jointly consideiing
the faults, possible causes, and impossible causes along with metiics of theii statistical ceitainties ovei
time to deteimine a ieduced set (subset) of causes that aie moie likely to have caused the fault duiing
that timespan.
-
The OAE diagnostician uses two piimaiy types of data - measuied and setup. The measuied data include
infoimation on mixed-aii, ietuin-aii, and outdooi-aii tempeiatuies (and enthalpies foi enthalpy-con-
tiolled economizeis), supply fan on/off status, and heating/cooling on/off status. These data aie typically
available fiom BASs as tiend logs oi at iequested inteivals. Alteinatively, measuied data could be collected
using custom meteiing and data collection systems, oi the diagnostician could be used to piocess an

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existing database containing the iequiied data. The setup data, obtained by queiying the usei (building
opeiatoi oi installei), include infoimation desciibing the type of economizei, its contiol stiategies,
setpoints, and building occupancy (and hence, ventilation) schedules.
-
The OAE diagnostician detects about 25 diffeient basic opeiational pioblems using the methodology
desciibed eailiei. The iesults aie piesented using a coloi code to aleit the building opeiatoi when a fault
occuis and then piovides assistance in identifying (diagnosing) the causes of the fault and coiiecting
Oveiview of the diagnostic logic tiee showing key opeiating states.
CaIcuIate
Outdoor-Air
Fraction
Get Data &
Trap Errors
Check Minimum
Temperature
DifferentiaI
Verify FIow
ShouId be at
Required
Equal
Check FIow
Above
Required
Greater
Verify Economizer
ShouId Not Be On
Pass
Pass: cooling mode
and has economizer
Pass:
temperature
control
Pass
Problem: nadequate Outdoor Air
for Occupancy Requirement
Less
Problem: Economizer
Should Be On
Fail
Problem: Economizer
Should Not Be On
Fail
Pass: heating
mode
or no economizer
Problem: Economizer May Be
Operating When Too Humid Outdoors
Fail
Verify Economizer
ShouId Be On
Problem: Outdoor
Air Flow Too High
for Occupancy Requirements
Fail
Temperature
ControI Required
Operation OK: Economizer
Operating at Part Flow
Problem: Economizer
Should Not Be At Part Flow
Fail: Flow < Max
Problem: Economizer Flow
Greater Than Maximum Possible
Fail: Flow > Max
No
Operation OK: Economizer
Operating at Maximum Flow
Pass
Pass
Yes
Pass
Problem: Economizer Should
Not Be At Maximum Flow
Fail: Flow = Max
Problem: mproper Supply
Temperature Control
Problem: Mechanical
Cooling Should Not Be On
Fail: Cooling
Fail:T
supply
<> set point
Verify Low-
Limit ControI
Pass
Verify Maximum
Air FIow
Start
Problem: Bad Air
Temperature Sensor
Fail
Operation OK: No Outdoor Air
Required When Unoccupied
0 = 0
Compare
Outdoor-Air FIow
to Requirement
Operation OK: Supplying
Required Outdoor Air
Pass:
enthalpy
control

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them. Figuie 7.2.8, foi example, shows a iepiesentative OAE diagnostician window. Each cell in the
diagiam iepiesents an houi. The coloi of the cell indicates the type of state. White cells identify
OK states," foi which no faults weie detected. Othei colois iepiesent pioblem states. Clicking" the
computei mouse on any coloied cell biings up the specifc detailed diagnostic iesults foi that houi as
shown in Figuies 7.2.9 and 7.2.10.
- - -
Adjustment of the sensitivity of the methods to detect and diagnose faults vs. geneiating false alaims
is ciitical because the measuied data in the feld has both noise and bias. In the OAE, toleiances foi
each measuied and static input vaiiable aie used to geneiate unceitainties that aie piopagated thiough
all calculations and tests. Foi example, to test if the outdooi-aii tempeiatuie is gieatei than the
ietuin-aii tempeiatuie, not only should the outdooi-aii tempeiatuie value be gieatei than the ietuin-
aii tempeiatuie, the unceitainty of the test should also be less than a specifed thieshold. The
unceitainty thiesholds and toleiances on each vaiiable aie usei specifed. By specifying the toleiance
and adjusting the unceitainty thiesholds, false alaims can be ieduced oi sensitivity of detectoi
incieased.
Although feld testing is ultimately iequiied, simulations piovide an effective way of geneiating data
that would be moie costly to geneiate in a laboiatoiy oi thiough feld tests. The iesults aie also valuable
foi illustiating the success of the diagnostician in detecting opeiation pioblems and theii undeilying
causes. The geneial appioach involves geneiating sets of data by simulation, wheie each set coiiesponds
to an aii handlei with a specifc undeilying fault. These data sets aie then piocessed by the OAE
diagnostician to deteimine whethei it detected pioblems and identifed the coiiect cause (i.e., undeilying
pioblem). Although theie aie ovei 25 pioblem states defned in the OAE algoiithm, only a few common
fault states (pioblems) weie tested with annual houily simulated data sets. They include: bad sensois
(outdooi-aii sensoi biased to iead 10F highei), outdooi-aii dampei stuck fully closed, outdooi-aii
dampei stuck fully open, outdooi-aii dampei stuck at iequiied ventilation position, outdooi-aii dampei
stuck between fully closed and fully open.
Diagnostic iesults showing piopei and faulty opeiation with a data set having a faulty outdooi-aii sensoi.

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- --
The OAE diagnostician was installed in thiee buildings foi initial feld testing. Field testing piovides
oppoitunities to investigate unanticipated piactical pioblems and test usefulness in piactice. The iesults
obtained suggest that the OAE diagnostician will piovide signifcant benefts.
Pop-up windows pioviding a desciiption of a pioblem, a list of ieduced causes, and suggested actions
to coiiect that cause.
Details of diagnostic iesults.

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Of the 18 aii handleis monitoied, moie than half weie found to have pioblems shoitly aftei initial
piocessing of data. The pioblems found included: sensoi pioblems, ietuin-aii dampeis not closing fully
when outdooi-aii dampeis weie fully open, and a chilled watei contiollei pioblem. All pioblems have
been confimed by inspection of the AHUs.
- -- --
This section desciibes some of the methods being developed foi automated FDD as applied to vapoi
compiession equipment. In geneial, HVAC&R applications will not toleiate the use of expensive sensois.
As a iesult, many of the methods being developed iely on the use of tempeiatuie, and in some cases,
piessuie measuiements. As discussed eailiei, contiibutions in the development of FDD methods foi vapoi
compiession equipment have been made by McKellai (1987), Stallaid (1989), Yoshimuia and Ito (1989),
Kumamaiu et al. (1991), Wagnei and Shouieshi (1992), Inatsu et al. (1992), Giimmelius et al. (1995),
Goidon and Ng (1995), Stylianou and Nikanpoui (1996), Peitsman and Bakkei (1996), Stylianou (1997),
Rossi and Biaun (1996, 1997), Bieukei and Biaun (1998a,b), and Bailey et al. (2000). The faults consideied
include: compiessoi valve leakage, heat exchangei fan failuies, evapoiatoi fiosting, condensei fouling,
evapoiatoi aii fltei fouling, liquid line iestiictions, and iefiigeiant leakage. The following subsections
piovide backgiound and details on some of the moie piomising and well-documented methods. The
piesentation is oiganized accoiding to the majoi elements of an FDD system.
Faults foi vapoi compiession systems can be divided into two categoiies: (1) haid" failuies that
occui abiuptly and eithei cause the system to stop functioning oi fail to meet comfoit conditions, and
(2) soft" faults that cause a degiadation in peifoimance but allow continued opeiation of the system.
Many of the most fiequently occuiiing and expensive faults aie associated with seivice in iesponse to
haid failuies, such as compiessoi and electiical faults. Ceitainly, an automated FDD system should be
able to diagnose haid" faults. Howevei, these faults aie typically easy to detect and diagnose using
inexpensive measuiements. Foi instance, a compiessoi failuie leads to a complete loss of iefiigeiant
ow and can be easily diagnosed by monitoiing the tempeiatuies oi piessuies at the inlet and outlet
of the compiessoi. Similaily, a fan motoi failuie could be diagnosed by measuiing tempeiatuies oi
piessuies at the inlets and outlets of the heat exchangeis (evapoiatoi oi condensei) that they seive.
Othei haid faults that should piobably be included within an FDD system include common contiols
failuies, blown fuses, and malfunctioning electiical components such as contactois. It would also be
impoitant to detect dangeious opeiating conditions, such as the possibility of a ooded stait, which
lead to haid" failuies. Soft" faults, such as a slow loss of iefiigeiant oi fouling of a heat exchangei,
aie moie diffcult to detect and diagnose. Fuitheimoie, they often lead to piematuie failuie of compo-
nents, a loss in comfoit, oi excessive eneigy consumption.
The techniques developed foi diagnosing soft" faults in vapoi compiession cooling equipment can
be desciibed in teims of a seiies of steps, piesented in Figuie 7.2.11 (foi discussion of the vaiious steps
iefei to Section 7.2.2).

Fault detection is accomplished by compaiing measuiements with some expectations foi noimal behav-
ioi, wheie the expectations aie deteimined fiom a model. In the simplest system, the expectations could
be that the measuiements (e.g., suction and dischaige piessuie) should fall within acceptable ianges
(low and high limits). Geneially, the measuiements vaiy with the opeiating conditions so the acceptable
ianges need to be ielatively laige to avoid false alaims. In this case, only ielatively laige faults can be
detected. Much bettei iesolution can be obtained if an on-line model is utilized that ielates expectations
foi measuiements undei noimal opeiation to measuiements of the opeiating conditions (e.g., ambient
tempeiatuie). Because no model is peifect, the deviations of measuiements fiom expected values need
to be gieatei than some thieshold that depends upon the unceitainty in the model and measuiements.
- O If the only goal is to detect faults (without diagnosis), then one
oi two measuiements aie piobably suffcient. In paiticulai, cooling capacity and powei consumption (oi
COP) aie excellent peifoimance indices, because it piobably is not necessaiy to peifoim seivice unless

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these indices change by a signifcant amount. Goidon and Ng (1995, 2000) piesented a semiempiiical
model foi piedicting the COP of chilleis duiing steady state opeiation that is useful foi fault detection.
Stylianou and Nikanpoui (1996) used the model of Goidon and Ng foi fault detection duiing steady
state opeiation. This was one element of an oveiall FDD appioach that was developed foi a iecipiocating
chillei.
The model of Goidon and Ng (1995, 2000) was deiived fiom a simple fist and second law analysis
using empiiical ielations foi the iiieveisibilities associated with the heat exchangeis. Foi a given chillei,
COP is coiielated using the following foim.
(7.2.1)
wheie
is the tempeiatuie of the secondaiy woiking uid (aii oi watei) enteiing the condensei,
is
the tempeiatuie of the secondaiy woiking uid leaving the evapoiatoi (aii, watei, oi watei/glycol),
is the iate of heat addition to the evapoiatoi (cooling load), and

0
,
1
, and
2
aie empiiical constants.
The constants aie deteimined using lineai iegiession applied to a set of tiaining data obtained fiom the
equipment manufactuiei, fiom laboiatoiy tests, oi fiom the feld when the unit is opeiating noimally.
Theie aie some advantages in using the model of Equation 7.2.1 as compaied with polynomial coiiela-
tions that aie typically employed. In paiticulai, less data aie iequiied to obtain an acceptable ft, and
theie is bettei confdence that the model extiapolates well to opeiating conditions outside of the iange
used to obtain the coiielations.
It is necessaiy to establish thiesholds foi the identifcation of faults. Stylianou and Nikanpoui (1996)
did not diiectly addiess the issue of fault detection thiesholds foi theii pioposed method. Howevei, it is
not diffcult to establish ieasonable thiesholds foi deviations in COP. One ciiteiion is that the thiesholds
should be signifcantly laigei than the unceitainty of the models in piedicting the expected values of the
measuiements to avoid false alaims. The semiempiiical model of Goidon and Ng can piedict cooling
COP to within about 4%. Expeit knowledge could be used to set laigei thiesholds that would guaiantee
that the detected faults aie impoitant and should be iepaiied. In this case, the fault evaluation step in
Figuie 7.2.11 could be skipped. Foi instance, a 10% loss in effciency iepiesents a signifcant fault and
should piobably be iepaiied as soon as possible.
Diagnostics foi vapoi compiession cooling equipment.
HVAC Equipment
repairs
control
measurements
FauIt Detection

FauIt Diagnosis

FauIt EvaIuation

Reaction
1
1
0 1 2
,
,
,
,
,
`

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- - - O Many diagnostic appioaches utilize theimodynamic state
measuiements as inputs (see next section) foi diffeientiating between faults. Because seveial measuie-
ments aie necessaiy foi diagnostics, these measuiements can also be used foi fault detection. Rossi and
Biaun (1997) and Bieukei and Biaun (1998a,b) developed and evaluated a complete FDD system foi
packaged aii conditioning equipment that utilizes steady state models foi both fault detection and
diagnosis. All of the measuiements iequiied foi fault diagnosis aie used in the fault detection step
(i.e., any measuiement can tiiggei the detection of a fault). The output state measuiements used by the
technique aie
1. Evapoiating tempeiatuie (T
evap
)
2. Suction line supeiheat (T
sh
)
3. Condensing tempeiatuie (T
cond
),
4. Liquid line subcooling (T
sc
)
5. Hot gas line oi compiessoi outlet tempeiatuie (T
hg
)
6. Secondaiy uid (aii oi watei) tempeiatuie iise acioss the condensei ( T
c
)
7. Secondaiy uid (aii oi watei) tempeiatuie diop acioss the evapoiatoi ( T
e
)
Seven steady state models aie used to desciibe the ielationship between the diiving conditions and
the expected output states in a noimally opeiating system. In a noimally opeiating, simple packaged aii
conditioning unit (on/off compiessoi contiol, fxed speed fans), all the output states () in the system
aie assumed to be functions of only thiee diiving conditions () that affect the opeiating states of the
unit: the tempeiatuie of the ambient aii into the condensei coil (T
amb
), the tempeiatuie of the ietuin aii
into the evapoiatoi coil (T
ia
), and the ielative humidity (
ia
) oi wet-bulb tempeiatuie (T
wo
) of the ietuin
aii into the evapoiatoi coil.
Polynomial models weie ft using steady state tiaining data obtained in the laboiatoiy and compaied
with a sepaiate set of steady state test data. The foim of the polynomial models aie
(7.2.2)
wheie i
i
is the ith output vaiiable piediction and the As aie coeffcients deteimined using lineai iegiession.
Table 7.2.5 gives the model oideis used by Bieukei and Biaun (1998a,b) and model accuiacy foi the
test data consideied. Stylianou and Nikanpoui (1996) used similai polynomial foims foi theimodynamic
states of a small watei-cooled iecipiocating chillei. In this case, the diiving conditions weie the tempei-
atuies of the secondaiy uid foi the condensei and evapoiatoi.
Example Model Evaluations
Vaiiable Best Model to Use RMS Eiioi (F) Maximum Eiioi (F)
T
evap
1
st
oidei 0.49 0.99
T
sh
3
id
oidei with cioss teims 1.39 3.03
T
hg
3
id
T
cond
1
st
oidei 0.31 0.61
T
sc
2
nd
T
c
1
st
oidei 0.18 0.48
T
e
2
nd

1 2 3 4 5
2
6
2
7
2
8 9 10 11
3
12
3
13
3
14
2
15
2
16
2
17
2
18

2
19
2
20


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In the fault detection method desciibed by Rossi and Biaun (1997) and Bieukei and Biaun (1998a,b),
a fault is identifed whenevei the cuiient measuiements aie statistically diffeient than the expected values.
The detection algoiithm uses the diffeiences between the measuiements and expected values (teimed
iesiduals) as featuies foi a classifei. Figuie 7.2.12 illustiates how this method woiks foi a one-dimensional
example. A piobability distiibution of the iesidual of the suction line supeiheat foi both noimal and
faulty opeiation is shown. Undei noimal opeiation, theie is a distiibution of iesiduals that iesults fiom
measuiement noise and modeling eiiois. In the absence of modeling eiiois and with iandom noise, the
distiibution foi noimal opeiation would have zeio mean. The intioduction of a fault changes both the
mean and/oi standaid deviation of the iesiduals. A fault is indicated whenevei the oveilap between the
two distiibutions is less than a fxed thieshold. The oveilap is teimed the fault detection eiioi and the
thieshold is called the fault detection thieshold. The oveilap is ielated to the piobability of eiioneously
classifying the cuiient opeiation as faulty and decieases with the seveiity of the fault.
In the geneial case of output measuiements, the statistical fault detection method estimates the
oveilap between -dimensional piobability distiibutions of iesiduals foi cuiient and noimal opeiation.
The method assumes that iesidual distiibutions aie Gaussian and can be chaiacteiized using a mean
vectoi and covaiiance matiix and that the sepaiation between the distiibutions foi cuiient and noimal
opeiation is dominated by mean vectoi diffeiences as opposed to covaiiance matiix diffeiences. The
iesulting classifei is teimed an optimal lineai classifei (Fukunaga, 1990). A fault is identifed whenevei
the following inequality holds.
(7.2.3)
wheie
(7.2.4)
and wheie is a vectoi of cuiient iesiduals,
N
is the mean vectoi and is the covaiiance matiix that
desciibes the distiibution of iesiduals in the absence of any faults (i.e., noimal opeiation), and
C
and
C
aie the mean vectoi and covaiiance matiix that desciibe the cuiient distiibution of iesiduals detei-
mined using iecent measuiements. The aveiage covaiiance matiix, , is deteimined as the weighted
aveiage of
N
and
C
with Equation 7.2.3 wheie the weighting factoi - is deteimined by minimizing the
One-dimensional example of the fault detection classifei.
Normal
Fault
Tsh(meas) - Tsh(exp) (C)
0.4
0.35
0.25
0.15
0.05
0.3
0.2
0.1
0
-4 -2 0 2 4 6 8

1 1 1
1
2
0
- -

1

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classifcation eiioi (i.e., piobability of making an eiioneous decision). The classifcation eiioi, , is
deteimined by integiating the oveilapping aieas associated with the multidimensional noimal and fault
distiibutions using Fukunaga (1990).
(7.2.5)
wheie
The mean vectoi is deteimined by aveiaging diffeiences between measuied and model piedictions of
outputs ovei a specifed measuiement window. The unceitainty of the iesiduals chaiacteiized with the
covaiiance matiix depends upon both measuiement and modeling eiiois. Measuiement eiiois impact
output measuiements diiectly and output model piedictions indiiectly thiough theii effect on input
measuiements. Modeling eiiois can iesult fiom neglecting inputs that affect the output states, using a
steady state model to chaiacteiize tiansient opeiation, and an impeifect mapping between the inputs
and outputs.
The covaiiance matiix is deteimined if the modeling and measuiement eiiois aie independent and
noimally distiibuted. The measuiement eiiois associated with the inputs aie piopagated thiough the
steady state model using a fist-oidei Tayloi seiies about the known opeiating point, so that the elements
of the covaiiance matiix foi the model foim of Equation 7.2.2 aie
(7.2.6)
(7.2.7)
wheie

is the element in the th iow and th column of the covaiiance matiix
is the steady state model piediction foi output

E(
T
2
), wheie
T
is zeio mean noise added to the diy-bulb tempeiatuie measuiements (uncei-
tainty in tempeiatuie measuiement)
E(
M,i
2
), wheie
M,i
is zeio mean noise added to the model piedictions (modeling unceitainty)
foi output
E(
2
), wheie

is zeio mean noise added to the wet-bulb tempeiatuie measuiements
(unceitainty in wet-bulb measuiement)
E( ) is the expected value opeiatoi

2 2
2 2
- -
- -
- -

1
1
1
1
2 2
2 2
2
2

2 2
2
2
2
2
2
2
,
, i j
2 2 2
, i j
2

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The modeling unceitainty foi the ith output model can be estimated as the vaiiance associated with
the ft to the tiaining data (appioximated by the sum of the squaies of the eiiois). In geneial, measuiement
unceitainty is caused by both iandom and systematic eiiois. Random eiiois aie associated with noise
in the instiumentation system and can be chaiacteiized using specifcations fiom the sensoi manufac-
tuiei. Systematic eiiois iefei to measuiements that aie biased in one diiection (i.e., highei oi lowei than
the actual value). Systematic measuiement eiiois may be caused by miscalibiation oi diift in sensois. If
the models aie tiained using the installed sensois, miscalibiation is not an issue. Howevei, if systematic
eiiois aie not consideied as pait of the measuiement unceitainty, the fault detection method will identify
a fault condition when sensois diift. Geneially, it is piudent to assign a measuiement unceitainty that
allows foi some sensoi diift. Reasonable values foi the standaid deviations of the tempeiatuie and wet-
bulb measuiements aie
0.5 C and
1.0 C.
-- O Theie aie some advantages and disadvantages associated with each of the two
appioaches foi fault detection piesented in this section. The use of COP as a peifoimance index is veiy
stiaightfoiwaid to implement, but iequiies costly measuiements of cooling capacity and powei. The use
of tempeiatuie measuiements as peifoimance indices has lowei sensoi cost but is moie complicated to
implement. Eithei of these methods could be utilized foi packaged aii conditioning oi chillei equipment.
Howevei, the model foims and diiving conditions aie diffeient foi the two applications and may depend
upon the method used foi capacity contiol.
--
Once a fault has been detected, it is necessaiy to identify its cause. This may involve sending a technician
to the site to peifoim additional testing and analysis. Howevei, a fully automated FDD would peifoim
some diagnoses using the available measuiements. Seveial investigatois have pioposed the use of thei-
modynamic impact to diagnose faults which will be illustiated using the following example.
Considei a packaged aii conditionei with a fxed oiifce as the expansion device, a iecipiocating
compiessoi with on/off contiol, fxed condensei, and evapoiatoi aii ows, with R22 as the iefiigeiant.
Figuie 7.2.13 shows a P-h diagiam foi thiee cases of steady state opeiation at a given set of secondaiy
uid inlet conditions to the evapoiatoi and condensei: noimal, fouled condensei, and low iefiigeiant
chaige. Condensei fouling is equivalent to having a smallei condensei and leads to highei condensing
tempeiatuies and piessuies than foi the noimal (no fault) case. Foi a system with a fxed oiifce, the
highei condensing piessuies lead to a gieatei condensei-to-evapoiatoi piessuie diffeiential that tends to
inciease the iefiigeiant ow iate. Fuitheimoie, the incieased ow iate tends to ieduce the amount of
condensei subcooling and evapoiatoi supeiheat and inciease the evapoiating tempeiatuie. In contiast,
the loss of iefiigeiant tends to lowei the piessuie thioughout the system leading to ieductions in both
evapoiating and condensing tempeiatuies. The lowei evapoiating piessuie and coiiesponding vapoi
density leads to a lowei iefiigeiant ow iate, which iesults in highei evapoiatoi supeiheat and a highei
iefiigeiant dischaige tempeiatuie fiom the compiessoi. This example illustiates that condensei fouling
and low iefiigeiant can be distinguished by theii unique effects on theimodynamic measuiements.
- --B- O Some of the pioposed diagnostic methods foi vapoi compiession cooling
equipment use diffeiences between measuiements and noimal expectations of theimodynamic states at
steady state foi diagnoses of faults. Fault diagnosis is then peifoimed using a set of iules that ielate each
fault to the diiection that each measuiement changes when the fault occuis. Table 7.2.6 gives the
diagnostic iules foi the fve faults and seven output measuiements developed by Bieukei and Biaun
(1998a,b) foi a iooftop aii conditionei. The aiiows in Table 7.2.6 indicate whethei a paiticulai measuie-
ment incieases ( ) oi decieases ( ) in iesponse to a paiticulai fault at steady state conditions. Foi instance,
as pieviously shown, the loss of iefiigeiant geneially causes the supeiheat of the iefiigeiant enteiing the
compiessoi to inciease above its noimal" value at any steady state condition. Each of the faults iesults
in a diffeient combination of incieasing oi decieasing measuiements with iespect to theii noimal values.
The iules of Table 7.2.6 aie effectively fault models that aie geneiic foi this type of aii conditionei and

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do not iequiie any on-line leaining. Similai iules weie developed by Giimmelius et al. (1995) and
Stylianou and Nikanpoui (1996) foi chilleis (see Section 7.2.6).
Similai to the fault detection pioblem, it is necessaiy to have thiesholds foi diagnostics. The diagnostic
classifei should evaluate the piobability that each fault applies to the cuiient opeiation, and the evidence
should be high foi a paiticulai fault befoie any iecommendations aie made. Rossi and Biaun (1997)
addiessed the issue of diagnostic thiesholds in the development of theii statistical iule-based FDD
method. The diagnostic classifei evaluates the piobability that each fault applies to the cuiient opeiation.
It estimates the degiee to which the piobability distiibution chaiacteiizing the cuiient iesiduals oveilaps
the iegion of the m-dimensional space defned by the set of iules coiiesponding to that fault.
Figuie 7.2.14 illustiates the fault diagnostic classifcation method foi two possible faults (iefiigeiant
leakage and liquid-line iestiiction) with two input featuies (supeiheat and subcooling iesiduals). The
piogiession of changes in the contouis of two-dimensional piobability distiibutions aie shown as the
two diffeient faults aie slowly intioduced. Noimal opeiation is shown as the distiibution centeied at the
zeio point. As a fault develops, the contoui moves along a cuive. When the oveilap between the noimal
peifoimance distiibution and the cuiient distiibution (as indicated by the classifcation eiioi, ), is small
enough foi the false alaim iate to be acceptable (e.g., < 0.001), a fault is signaled by the fault detectoi.
The diffeient diagnostic classes aie sepaiated by the axis. The oveilap of the cuiient distiibution with
each of the modeled classes is calculated and iepiesents the piobability that the fault class is the coiiect
diagnosis. A diagnosis is indicated when the piobability (oveilap) of the most likely class is laigei than
the second most likely class by a specifed thieshold (e.g., factoi of 2). As the fault becomes moie seveie,
confdence in the fault detection and diagnosis incieases as the cuiient distiibution moves fuithei fiom
the noimal distiibution, and fiom the axis sepaiating the classes. The choice of a diagnostic thieshold
iesults fiom a tiadeoff between diagnostic sensitivity and the iate of false diagnoses.
Effect of faults on theimodynamic states.
Rules foi the Diagnostic Classifei
Fault T
evap
T
sh
T
cond
T
sc
T
hg
T
ca
T
ea
Refiigeiant Leak
Compiessoi Valve Leakage
Liquid-Line Restiiction
Condensei Fouling
Evapoiatoi Fouling
-25 -0 25 50 75 100 125 150
10
100
1000
h [B tu / I b
m
]
R22
Normal
Condenser
Fouling
Refrigerant
Leakage

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To peifoim the classifcation foi diagnostics, the piobability that each iule applies to the cuiient
opeiation is evaluated. The piobability of each hypothesis is deteimined by the degiee to which the
distiibution chaiacteiizing the cuiient iesiduals oveilaps each class. The oveilap is evaluated by integiat-
ing the aiea undei the m-dimensional Gaussian piobability distiibution that falls within each class`s
iegion of the domain. Assuming that each dimension is independent, then the piobabilities in each
dimension can be ANDed" togethei such that:
(7.2.8)
wheie C
jk
-1 if (
c
(k) -
N
(k)) falls within the domain foi the jth fault (i.e., (
c
(k) -
N
(k) has the
same sign as defned in Table 7.2.6 foi the appiopiiate fault) and C
jk
-1, otheiwise. Foi diagnoses, the
cuiient distiibution has been shifted to give zeio mean foi noimal opeiation. A nonzeio iesidual mean
could occui foi noimal opeiation with an impeifect model.

It is possible to design an FDD system that can detect and diagnose faults well befoie theie would be a
need to iepaii the unit. In geneial, an FDD system should evaluate the impact of the fault befoie
iecommending a couise of action. These iecommendations should be based upon the seveiity of the
fault with iespect to foui ciiteiia:
1. Impact on equipment safety
2. Enviionmental impact
3. Loss of comfoit
4. Economics
Equipment safety piimaiily ielates to the compiessoi and motoi. The compiessoi/motoi should not
opeiate undei conditions that will lead it to fail piematuiely. These conditions include liquid enteiing
the compiessoi, high compiessoi supeiheat, high piessuie iatio, high dischaige piessuie, high motoi
tempeiatuies, low oil, etc. Existing contiolleis geneially have safeties that will shut down the unit in case
of opeiation at adveise conditions. Undei these ciicumstances, the FDD system could add an explanation
iegaiding the piobable fault that led to the shutdown. In addition, lowei level waining limits should be
Fault diagnostic classifei (two-dimensional example).
T
sc
T
sh
Flow restriction
Refrigerant Leakage

1
2
1
2
1

,

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established foi these vaiiables. When these limits aie exceeded, the evaluatoi might iecommend that
seivice be peifoimed when convenient.
The enviionmental ciiteiion piimaiily ielates to iefiigeiant leakage. Refiigeiant leakage is an enviion-
mental hazaid and should be iepaiied quickly. This is paiticulaily tiue if the iefiigeiant is toxic (ammo-
nia). Howevei, when a iefiigeiant leak is detected and diagnosed, the actual output of the evaluatoi might
depend on the iate of iefiigeiant leakage and type of iefiigeiant. Foi a small leak, it may be acceptable
to keep the unit iunning and schedule iepaiis foi the neai futuie. Conveisely, foi a laige leak, it may be
appiopiiate to shut down the unit and call foi immediate iepaiis.
Ideally, the evaluatoi should be able to identify if the cuiient health" of the equipment is such that
it will not have suffcient cooling capacity to maintain comfoit in the futuie. Once a fault has been
identifed, this featuie would allow scheduling of seivice to addiess this need iathei than iequiiing
immediate seivice in iesponse to a loss of comfoit (i.e., complaints). This could involve the use of on-
line models foi piedicting cooling capacity and cooling needs.
If a fault has been identifed, but the cuiient opeiation is not adveisely affecting the equipment life
oi the enviionment and the system can maintain comfoit both now and in the futuie, then seivice should
be peifoimed only if it is economical to do so. In this case, the best decision iesults fiom a tiadeoff
between seivice and eneigy costs. Seivice costs money but ieduces eneigy costs. Rossi and Biaun (1996)
developed a simple method foi optimal maintenance scheduling foi cleaning heat exchangeis and ieplac-
ing aii-side flteis. The method ielies on measuiements of powei consumption, estimates of cost pei
seivice, and utility iates, but does not iequiie any foiecasting. At any time, , a decision to iecommend
seivice is based upon evaluation of the following inequality.
(7.2.9)
wheie C
s
is the cost foi peifoiming the seivice ($), C
e
is the cost pei unit eneigy ($/kW),
is an on/off
indicatoi (one if the unit is on and zeio otheiwise), and h( ) is the extia powei iequiied to piovide the
necessaiy cooling caused by the peifoimance degiadation. At any time,
(7.2.10)
wheie P(t) is a measuiement of the cuiient powei and P
(t) is a piediction of the powei at the cuiient

opeiating conditions if the unit was opeiating noimally (no fouling).
Equation (7.2.9) was deiived by applying optimization theoiy with simplifying assumptions to a cost
function that combines eneigy and seivice costs. This simplifed method gave neaily identical iesults as
a detailed optimization when tested thiough simulation foi a iange of situations. The combined eneigy
and cost savings weie found to between 5 and 15% foi optimal vs. iegulai maintenance scheduling. The
savings piimaiily depend upon the iatio of seivice to eneigy costs, the iate of fouling, and the baseline
iegulai seivice inteival.
-
Many vapoi compiession cooling systems utilize on/off " contiol and spend a signifcant amount of time
in a tiansient condition. When a steady state model is used to piedict noimal opeiating states, a steady
state detectoi must be used to distinguish between tiansient and steady state opeiation. The FDD system
should only indicate a fault and piovide a diagnosis when the system is in steady state.
Steady state detection can be implemented using the time iate of change in measuiements duiing a
moving window. Steady state is indicated whenevei the smoothed" time deiivatives aie less than a fxed
thieshold (e.g., 0.1 F/h foi tempeiatuie measuiements). Anothei appioach is the exponentially weighted
vaiiance method of Glass et al. (1995). This algoiithm estimates the sample vaiiance about the mean of
output measuiements ovei a moving exponentially weighted window. In geneial, the vaiiance decieases

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as the system appioaches steady state. Two paiameteis of the steady state detectoi that impact FDD
peifoimance aie the foigetting factoi, and the thieshold foi steady state detection. The foigetting factoi
vaiies between zeio and one and dictates the weighting of pievious measuiements (one foi equal weight-
ing, and zeio foi zeio weighting of all pievious measuiements). The steady state detectoi thieshold is
the output vaiiance below which an output is consideied to be at steady state. As the thieshold is
decieased, the iesiduals of the steady state opeiating points should deciease, and FDD sensitivity should
be impioved. Howevei, fewei opeiating points aie available foi FDD. In geneial, all of the output
measuiements could be used in testing foi steady state behavioi. Howevei, it is also possible to select
measuiements having slowei tiansients, such as compiessoi shell tempeiatuies.
-
Only limited testing has been peifoimed on complete FDD systems foi vapoi compiession cooling
equipment. To adequately test an FDD system in the feld, it would be necessaiy to install seveial systems
and collect data foi seveial yeais befoie enough faults could develop and expeiience could be collected
to make geneial assessments. Laboiatoiy testing allows a moie thoiough evaluation of FDD peifoimance
in a shoitei time fiame, but may not include some impoitant effects that occui in the feld. Giimmelius
et al. (1995), Stylianou and Nikanpoui (1996), and Bailey et al. (2000) peifoimed laboiatoiy evaluations
of FDD systems foi chilleis. In these tests, a limited numbei of faults weie simulated in the laboiatoiy
and the peifoimance of the methods was evaluated in teims of whethei the method could coiiectly
identify the fault. In some cases, the misclassifcation (oi false alaim) iate was estimated.
Bieukei and Biaun (1998a,b) peifoimed an extensive evaluation of the FDD technique developed by
Rossi and Biaun (1997). Steady state and tiansient tests weie peifoimed on a simple iooftop aii condi-
tionei in a laboiatoiy ovei a iange of conditions and fault levels. The data without faults weie used to
tiain the models foi noimal opeiation and deteimine statistical thiesholds foi fault detection, while the
tiansient data with faults weie used to evaluate FDD peifoimance.
Table 7.2.7 shows iesults that chaiacteiize the sensitivity of the FDD method foi detecting and
diagnosing faults. The levels at which each fault could be detected at one point (Fiist Detected") and
at all steady state points (All Detected") fiom the database of tiansient test iesults aie piesented foi the
fve faults along with the coiiesponding peicent loss in capacity and COP, and the change in supeiheat
and subcooling at these detectable levels. These iesults show that the faults can geneially be detected and
diagnosed befoie a deciease in capacity oi effciency of 5% is ieached. In teims of the effect on peifoi-
mance, the technique is less sensitive to compiessoi valve leakage and evapoiatoi fouling. At these levels,
the changes in compiessoi supeiheat and hot gas tempeiatuie weie piobably not laige enough to have
an impact on the life of the compiessoi.
-- - -
- -- --
In most cases, FDD systems installed on-line can also be used to continuously commission a building
system. Commissioning is a systematic piocess by which piopei installation and opeiation of building
Peifoimance of FDD Piototype (3 Input, 10 Output Tempeiatuies)
Peifoimance Index
Refiigeiant
Leakage
(% Leakage)
Liquid-Line
Restiiction
(% P)
Compiessoi
Valve Leak
(%
v
)
Condensei
Fouling
(% lost aiea)
Evapoiatoi
Fouling
(% lost ow)
1st All 1st All 1st All 1st All 1st All
Fault Level (%) 5.4 Max 2.1 4.1 3.6 7.0 11.2 17.4 9.7 20.3
% Loss Capacity 3.4 >8 1.8 3.4 3.7 7.3 2.5 3.5 5.4 11.5
% Loss COP 2.8 >4.6 1.3 2.5 3.9 7.9 3.4 5.1 4.9 10.3
sh
5.4 >11 2.3 4.8 -1.8 -3.6 -0.6 -1.6 -1.7 -2.7
T
hg
4.8 >10 2.4 4.8 0.0 0.0 1.8 2.3 -1.2 -2.7

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systems and equipment aie checked and adjusted as necessaiy to impiove peifoimance (adjustment is
viitually always iequiied; only the degiee of coiiection and peifoimance impact diffei among buildings).
Piopei commissioning begins duiing design, continues thiough constiuction (iemodeling oi ietioft),
and includes establishment of a good pieventive maintenance piogiam (PECI, 1997; US DOE/PECI,
1997). Although a distinction is made between commissioning of new buildings (Cx) and commissioning
of existing buildings (ietio-commissioning oi Rx), in this chaptei we will iefei to both geneiically as Cx.
Cx is active, i.e., test and analyze, while Rx is passive, i.e., obseive and analyze.
Despite the benefts, the commeicial buildings maiket has been slow to widely adopt Cx. One ieason is
the fist cost associated with peifoiming Cx. Although Cx has been shown in many cases to be cost-effective
on a life-cycle basis, the impoitance of fist cost still dominates many decisions in the buildings industiy.
Automation is alieady used foi some commissioning tasks. Spieadsheets, foi example, aie used foi
piocessing, tabulating, and giaphing input data and iesults. Handheld peisonal computeis aie used foi
such tasks as inputting data diiectly into a database in the feld. Cx and Rx aie discussed in detail in
Chaptei 7.1.
--
Automation piovides seveial oppoitunities foi impioving the piocess of commissioning. Geneiic
impiovements that automated tools can piovide include:
Speeding up the piocess of piepaiing a commissioning plan
Ensuiing compliance with standaids/guidelines, and pioviding consistency acioss piojects
Speeding up the piocess of detecting and diagnosing pioblems with opeiation of heating, venti-
lating, and aii conditioning equipment and systems
Eliminating eiiois that occui duiing manual data entiy
Disseminating expeit knowledge by embedding it in softwaie tools
Ensuiing consistency in fault detection and diagnosis acioss buildings, piojects, and diffeient
commissioning agents thiough the use of that embedded knowledge
Aichiving data electionically foi futuie iefeience oi use
The piomise of automation is highei quality commissioning at lowei cost. Highei quality iesults fiom
bettei quality contiol (in data management and analysis) and fiom making expeit knowledge ieadily
available in an easy-to-use foim. Lowei costs aie the iesult of ieducing use of expensive laboi foi mundane
tasks such as iecoiding data.
Tools and methodologies that implement some of these geneiic capabilities aie available today. In
some cases, tools have been implemented by individual commissioning agents oi companies in spiead-
sheets oi specialty piogiams. In othei cases, softwaie that assists with data management, analysis, oi
diagnosis is available commeicially, fiom piofessional oiganizations, oi fiom goveinment agencies. Some
examples aie identifed latei in this chaptei.
--
This section desciibes in some detail how the OAE softwaie tool developed foi detecting and diagnosing
pioblems with outdooi-aii contiol can be used to facilitate and potentially impiove commissioning of
aii-handling units.
As mentioned eailiei, the OAE diagnostician monitois the peifoimance of the aii-handling units
and can detect moie than 25 diffeient basic opeiation pioblems with outdooi-aii contiol and econ-
omizei opeiation.
--
The OAE diagnostician can be used to commission AHUs. Data can be collected ovei a shoit teim, and
batch piocessed oi continuously collected and piocessed on-line. The fist of these is easiei and, theiefoie,
less costly to implement. It iequiies no installation of the OAE diagnostician onsite, no diiect connection
to data souices, such as a BAS, and no opeiatoi tiaining. Data aie typically collected by establishing tiend

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logs in a BAS to collect the necessaiy data. Alteinatively, tempoiaiily installed data loggeis can be used to
collect some oi all of the iequiied data. Data should be collected foi appioximately 2 weeks. If the data
aie alieady available fiom histoiical tiend logs, these logs can be used in place of collecting new data.
When available, data aie piocessed by the OAE diagnostician, which identifes pioblems, possible
causes, and coiiesponding coiiective actions, and estimates eneigy and cost impacts caused by impiopei
opeiations duiing the obseivation peiiod. The eneigy and cost impacts can be used to piioiitize actions
to addiess the pioblems found. When pioblems aie found, fuithei investigation may be iequiied and
actions should be taken to coiiect them. Aftei implementing coiiective actions, the commissioning
team should collect meteied data foi anothei week oi two to confim coiiect opeiation. In some cases,
the OAE diagnostician may detect new and pieviously undetected pioblems duiing this follow-up
peiiod. These pioblems should be coiiected and piopei opeiation veiifed by an additional week of
meteiing and piocessing by the OAE. Pioblems not oidinaiily found duiing commissioning may be
detected this way.
As with commissioning in geneial, theie is a set of opeiational pioblems that cannot be detected easily
duiing noimal opeiation unless commissioning tests aie peifoimed ovei the full iange of weathei and
occupancy conditions. Tests must be peifoimed foi these duiing othei seasons, oi systems aitifcially
tested in these modes. Because the OAE diagnostician is a passive diagnostician, it can only examine
system peifoimance foi conditions that exist duiing data collection. To commission the outdooi-aii
handling system completely, testing by the OAE diagnostician must be conducted duiing othei times of
the yeai. Ideally, a complete check would iequiie testing undei occupied and unoccupied conditions foi
each of the following opeiation modes:
Heating
Economizei cooling with thiottling: outdooi-aii tempeiatuie (oi enthalpy) lowei than supply-aii
tempeiatuie (oi enthalpy)
Economizei with outdooi-aii dampei fully open: outdooi conditions lowei than ietuin-aii
conditions, but highei than the supply-aii conditions
Mechanical cooling with economizei locked out (closed to the minimum iequiied ventilation
position) because outdooi-aii conditions aie waim and/oi humid
The commissioning plan should specify the full iange of tests to be conducted, foi how long, and at
what times of the yeai. Paitial testing is fai bettei than no testing at all; howevei, ietesting at vaiious
times of the yeai (and opeiating modes) is necessaiy to be ieasonably assuied that all pioblems have
been identifed. Having set up the necessaiy BAS tiend logs foi initial use of the OAE, collection of data
duiing vaiious times of yeai and piocessing by the OAE should be ielatively simple. Fuitheimoie, peiiodic
testing in the long teim (i.e., peiiodic iecommissioning) can help ensuie that good peifoimance peisists.
The OAE also piovides a continuous iecoid of attempts to meet the standaid of best piactice to piovide
adequate outdooi-aii ventilation. This iecoid can be used to help establish due diligence on the pait of
the building ownei oi opeiatois in the event of a lawsuit ielated to indooi-aii quality (IAQ). The
impoitance of maintaining piopei outdooi-aii ventilation is emphasized by a iecent EPA study (Daisey
and Angell, 1998) which found that the leading cause of IAQ pioblems in schools is simply inadequate
outdooi-aii supply.
Signifcant eneigy and money savings, associated pioductivity impiovements, and caibon emission
ieductions aie possible fiom piopei Cx followed by steps that help ensuie the peisistence of the Cx
impiovements. Pioductivity savings aie the most signifcant of these. Howevei, the penetiation of com-
missioning in the building stock is veiy low. Steps aie undeiway to piomote gieatei use of commissioning,
including demonstiation piojects, publication of case studies, documentation of savings, and goveinment
piogiams that encouiage Cx. Impioving and ieducing the cost of the Cx piocess is also an impoitant
component of a multifaceted appioach to biinging the benefts of Cx to the entiie building stock.
Automation shows piomise as a tool foi impioving the piocess. Automating paits of the commissioning
piocess will ieduce cost, impiove effectiveness, and ensuie peisistence of the benefts of Cx.

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- - -- -
Netwoiked softwaie applications, which can hainess the vast potential of integiating contiol netwoiks
with the Inteinet, iequiie access to data fiom contiol panels oi sensing devices that may be distiibuted
acioss buildings. Being able to exchange data and infoimation between feld devices and softwaie appli-
cations is the key to successful implementation of the netwoiked softwaie applications (Bayne, 1999).
Although softwaie applications aie independent fiom the piocess of gatheiing data, the capability to
gathei data is dependent on the functions piovided by the BAS and the type of inteiface (gateway) and
communications piotocols it uses.
An infiastiuctuie suppoiting the next geneiation of softwaie tools that owneis and opeiatois will use
to manage distiibuted facilities iequiies
A contiol netwoik with a BAS oi netwoik of intelligent devices (in each building)
A mechanism oi a tianspoit layei that ties feld panels and othei devices on the contiol netwoiks
to the Inteinet
The killei softwaie applications" that enhance facility management
-
BASs have evolved ovei the past two decades fiom pneumatic and mechanical devices to diiect digital
contiols (DDC). Today`s BASs consist of electionic devices with miciopiocessois and communication
capabilities. Widespiead use of poweiful, low-cost miciopiocessois, use of standaid cabling, and adoption
of standaid piotocols (such as BACnet, LonWoiks) have led to today`s impioved BASs. Most modein BASs
have poweiful miciopiocessois in the feld panels and contiolleis, and the pievalence of miciopiocessois
embedded in the sensois is giowing as well. Theiefoie, in addition to pioviding bettei functionality at a
lowei cost, these BASs also allow foi distiibuting the piocessing and contiol functions including FDD
within the feld panels and contiolleis without having to iely on a cential supeivisoiy contiollei.
Many BAS manufactuieis suppoit eithei BACnet oi LonWoiks piotocols; some suppoit both
(EUN, 1999). Recently, ASHRAE has appioved a BACnet/IP addendum that makes it easiei to monitoi
and contiol building systems fiom iemote locations ovei the Inteinet. LonWoiks is also heading in the
same diiection.
The manufactuieis of BASs aie developing gateways to connect modein piopiietaiy contiol netwoiks
to the Inteinet, making it easy foi distiibuted softwaie applications to shaie infoimation. Howevei, theie
aie many legacy BASs in the feld foi which gateways aie needed but do not exist oi will nevei be
developed. In such situations, theie aie thiee options to connect these systems to the Inteinet: (1) DDE
(dynamic data exchange), (2) OLE (object link and embedding), and (3) developing a custom inteiface
between the BAS and the Inteinet foi legacy systems that do not suppoit eithei DDE oi OLE.
-
Without easy access to data fiom meteis, contiolleis, and equipment that aie distiibuted thioughout the
facility, it would be diffcult to iealize all the benefts of distiibuted facilities management. Although the
details of data gatheiing depend on the type of BAS and the piotocols it suppoits, integiated netwoiks
piovide some standaid methods to access data fiom geogiaphically distiibuted facilities.
As pait of a laigei U.S. Depaitment of Eneigy pioject to develop an automated diagnostician (whole
building diagnostician (WBD)), piototype tools weie developed to collect data fiom BASs locally oi ovei
the Inteinet. These tools allow building-geneiated data to be collected at any fiequency and stoied in a
database.
Many BAS manufactuieis piovide DDE/OLE seiveis to facilitate data exchange between contiol-
leis/devices and softwaie application piogiams. The WBD data collection tools, iunning in the back-
giound, initiate a DDE conveisation" between the manufactuiei`s DDE seivei (piovided by the BAS
manufactuiei) and the WBD database, and collect data at time inteivals set by the opeiatoi. Relationships
defned duiing setup of the softwaie foi the building aie used to map data fiom the sensois foi each of
the AHUs and building end-use meteis into the WBD database. The data-gatheiing tools aie independent

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of the WBD diagnostic modules; theiefoie, any application can use the data-gatheiing infiastiuctuie.
By queiying the database, iaw data can be ietiieved foi use by othei softwaie applications, such as
piogiams used to ieconcile meteied data with utility bills and chaige tenants foi eneigy use.
- - - -
- -
It is veiy impoitant that FDD systems evaluate the cost impacts of faults detected in building systems
foi two basic ieasons: (1) justifying the expense of developing and/oi puichasing the FDD system by
quantifying its benefts, and (2) pioviding peispective on the magnitude of the fault to piompt the usei
to fx the faults with high cost impacts, piioiitize coiiection of faults with modeiate impact, and neglect
faults with low impacts. This section will discuss how cost impacts of faults can be estimated.
Othei impacts, such as comfoit, health, and damage oi shoitened lifetimes foi equipment aie also veiy
impoitant, but aie diffcult to quantify and often veiy specifc to the buildings and systems involved. We
will not attempt to piovide guidance on estimating these impacts heie, although theii impoitance and
the added value to an FDD system of pioviding this infoimation cannot be oveiemphasized.
We expiess the eneigy cost at any instant of time (t) as the pioduct of the demand foi powei, its piice,
and the inteival being analyzed ( t)
(7.2.11)
Denoting quantities undei faulted conditions with a piime ( ), the cost inciement of a fault is
(7.2.12)
wheie, foi any geneial piopeity, X
(7.2.13)
Equation 7.2.12 includes the geneial case wheie the piice of powei, usually electiicity, is dependent
upon time (ieal-time piicing oi time-of-day iates), oi the demand itself (eithei at the cuiient time oi
duiing some time peiiod used by a utility to defne peak demand). If the piice is not a function of
demand, as is often the case (at least foi the fault`s impact), then the second teim diops out and
Equation 7.2.12 ieduces to
(7.2.14)
Often a building system uses moie than one fuel to supply the seivices it is designed to piovide. An
example is an AHU supplying both heating and cooling seivices in a gas oi steam heated building. In such
cases Equations 7.2.11 and 7.2.13 must be applied twice, once foi each fuel affected by a given fault.
- - - - -
In cases wheie the FDD technique diiectly measuies the demand foi eneigy and compaies it against
some expected value (see the whole-building eneigy diagnostician, desciibed eailiei), the change in
demand caused by the fault at any given time can be diiectly estimated as the diffeience between the
actual and expected consumption. Estimating the impact of the fault then ieduces to integiating Cost
ovei time (moie on this latei).
In such methods, the expected consumption is typically based on some type of model of
consumption foi the time-of-day, and/oi time-of-week, weathei, and othei conditions. These models
Cost t Demand t Piice t t
Cost t Cost t Cost t Demand t Piice t t Demand t Piice t t
Demand t Piice t Demand t Piice t t
X t X t X t
Cost t Demand t Piice t t

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aie eithei empiiical (iegiession, neuial netwoik, bin method, etc.), oi engineeiing-based (piesumably
calibiated to ft histoiical consumption patteins). At best, iandom deviations of the actual consumption
fiom the aveiage foi the time and conditions aie to be expected, with the size of the deviations
piopoitional to the accuiacy of the model. Noniandom deviations can also be expected when, as is
usually the case, the input data oi the mathematical foim of the model impeifectly captuies impoitant
effects, including nonlineaiity.
Even foi veiy accuiate models, these eiiois tend to become laigei as the time inteival foi the FDD
cost analysis ( t) gets smallei, i.e., weekly models aie moie stable than daily models, and daily models
aie moie stable than houily models. Subhouily models exhibit even moie noise," including that fiom
such tangible effects as the cycle time of equipment in a building. Cost impacts, theiefoie, will geneially
be moie accuiate when integiated ovei a numbei of time inteivals (Katipamula et al., 1996).
The advantage of this appioach to estimating cost impacts is its simplicity and diiectness. This
advantage is stiong enough that it is woithwhile consideiing diiectly measuiing and modeling the demand
of the system oi subsystem, which is the focus of the FDD system. This will become cleaiei when an
alteinative appioach to estimating eneigy cost impacts is desciibed below. Howevei, theie aie two piimaiy
limitations to this appioach ielated to the need to measuie and model demand. The fist limitation is
cost; if it is not used as an inheient pait of the FDD method, extia instiumentation and analysis capability
is added to it solely foi the puipose of estimating eneigy cost impacts.
The second limitation is complexity. While obvious at the whole building and boilei/chillei plant levels,
the demand caused by othei systems is often indiiect and haid to quantify. A good example of this is an
AHU in a built-up HVAC system; it consumes eneigy in the foim of hot and chilled watei fiom the plant,
some electiicity foi fan powei, and its opeiation impacts the subsequent need foi teiminal ieheat in the
zones it seives. In piincipal, it might be possible to measuie and model each of these thiee modes of
consumption sepaiately. This may be less expensive if some pioxy measuiements aie used. Examples aie
valve positions oi tempeiatuie diffeiences acioss coils instead of Btu meteis, foi estimating the eneigy in
constant volume ows. The complexities of such an appioach become evident, howevei, when consideiing
how to handle faults that may lie in othei systems (the teiminal boxes, oi the hot and chilled watei ieset
schedule, foi example) but that ieect themselves in the consumption patteins of the AHU.
- - - -
An alteinative means of estimating eneigy cost impacts of faults in buildings is to base them on a fist
piinciples analysis. This appioach is useful when
Impacts aie expected to be a small fiaction of a measuied consumption total
Attiibution of impacts among multiple faults is desiied
The expected impacts aie about the same as the expected accuiacy (i.e., the noise") of an empiiical
model of the measuied consumption.
An example is failuie of a lighting occupancy sensoi in one offce of a zone encompassing many offces.
Heie the expected impacts may be much less than 5%, but aie viitually ceitain to exist. In such cases, it
may be piefeiable to estimate the impact based on fist piinciples, foi accuiacy, simplicity oi both. If the
lights involved do not impact heating oi cooling loads, because they aie not in a conditioned space, foi
example, then the impact could be estimated simply as the pioduct of the lighting powei density and
the ooi aiea pei occupancy sensoi.
The piincipal complicating factoi in using this appioach is when the fault impacts the heating oi
cooling loads, diiectly thiough the eneigy conveision effciency oi the outdooi-aii ventilation of the
system, oi indiiectly because it changes the inteinal heat gains of the space. This discussion will focus
on cases wheie theie aie diiect effects on heating and cooling loads, oi theie aie enough indiiect effects
that it is necessaiy oi desiiable to considei them.
To make such estimates, we considei the demand to be compiised of two components, one ielated to
the theimal (heating and cooling) loads, and the othei ielated to all othei (non-HVAC) demand. This
appioach implicitly assumes that the building system being analyzed is heated oi cooled at a given time,

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but not both. Foi buildings wheie simultaneous heating of some zones and cooling of othei zones can
legitimately occui, this implies that the impact analysis must be computed at a lowei level in the building
hieiaichy wheie this assumption is valid oi is a moie ieasonable appioximation.
The demand foi eneigy is expiessed as the sum of demands foi cooling (Cool), heating (Heat), and
othei loads
(7.2.15)
wheie we explicitly account foi othei loads as the sum of fan and pump loads in constant volume systems
(Dist
c
), lights (Lights), plug loads (Plugs), and loads exteinal to the building envelope (Ext), such as
exteiioi lighting.
The zone heat balance oi theimal load, Load(t), of a zone at any time is compiised of
Inteinal heat gained fiom lights, Lights(t); plug loads, Plugs(t); occupants, Occ(t); and solai
iadiation (thiough glazed and opaque suifaces), Solai(t)
Heat lost by conduction thiough the zone envelope to the outdoois, Cond(t)
Heat conducted into the zone`s inteinal theimal mass, Mass(t)
Heat caiiied by the aii to the outdoois by the ventilation aii iequiied foi the zone`s occupants,
OA(t)
(7.2.16)
The fiaction of the lighting eneigy that ends up as inteinal heat gain to the zone, f
L
, is usually close
to 100%. Heat fiom lights that enteis the ietuin aii stieam diiectly is included in f
L
because it will ietuin
to the zone aftei passing thiough the AHU. The effect of exhausting some oi all the ietuin aii with the
outdooi-aii/economizei system is accounted foi by the OA(t) teim. Howevei, f
L
will be less than 100%
if some of the heat fiom lighting fxtuies is conducted thiough the ioof fiom top-ooi ceiling plenums,
foi example.
The heating and cooling demands can be expiessed as the iatio of the theimal load fiom the space
that is seen by the HVAC system (positive foi heating, negative foi cooling) divided by the oveiall --
eneigy conveision effciency of the heating, cooling, oi ieheat system (COP). Because, in geneial, heating
and cooling loads aie seived by systems with diffeient theimal effciencies oi COP, the associated demands
must be accounted foi as sepaiate teims. So the demand can be expiessed as
(7.2.17)
Econ(t) is the heat exhausted fiom the ietuin aii stieam by an economizei intioducing extia outside
aii beyond that iequiied foi the occupants when conditions aie suitable foi fiee cooling. Dist
c
(t) is the
consumption of the distiibution system (fans and pumps) that is ielatively constant with iespect to the
amount of heating oi cooling supplied, and f
d
is the fiaction of that eneigy enteiing the aii and watei
ows as heat. (We will also include a teim that is convenient foi vaiiable-volume distiibution systems
in the system COPs in the following discussion of specifc types of faults.)
The teims enclosed in ( )
-
and ( )
-
in Equation 7.2.17 aie the cooling and heating loads seen by
the HVAC system, iespectively. That is, this is the amount of heating oi cooling that must be deliveied
by the system to the space, less fiee cooling deliveied by the economizei and heat gained fiom fans and
pumps. By this notation, we defne these teims as nonzeio only when the enclosed teim (the net theimal
load) is positive and negative, iespectively. These teims imply that noimally theie is no simultaneous
Demand t Cool t Heat t Dist t Lights t Plugs t Ext t
c
Load t f Lights t Plugs t Occ t Solai t Cond t Mass t OA t
L
Demand t
Load t Econ t f Dist t
COP t
Load t f Dist t
COP t
Dist t Lights t Plugs t -Ext t
d c
cool
d c
heat
c

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heating and cooling foi a zone (except foi ieheat). That is, theie is a cooling demand only when the net
load on the system is positive, and a heating demand only when it is negative.
The system COP includes the piimaiy eneigy conveision effciency of the heating oi cooling souices
at the cuiient conditions (tempeiatuie, humidity, and pait load). It also must include all duct losses,
and may be defned (optionally, see latei discussion) to include the eneigy consumption by fans and
pumps foi distiibution, auxiliaiy loads, and any ieheat eneigy iequiied by the HVAC system foi piopei
tempeiatuie contiol.
To pioceed, we now make a seiies of assumptions and appioximations. The phenomena involved in
the conduction and mass teims aie diveise and highly building- and even zone-specifc. Without a detailed
theimal simulation of the building it may be impossible to come up with good estimates of the iesulting
heat tiansfei iates at any given time. So, it is desiiable to eliminate theii effect fiom the impact estimate.
It is convenient to assume that it is not necessaiy to estimate eneigy cost impacts foi faults that iesult
in appieciable changes to the zone tempeiatuie. Because this would piesumably be iepoited by occupants
oi basic BAS alaims, it is not a piimaiy taiget fault foi FDD systems. Fuithei, iegulating it is the piimaiy
function of the contiol system and loss of comfoit contiol piesumably has impacts that fai exceed
associated eneigy impacts.
If the fault does not appieciably impact zone tempeiatuie, it can be assumed that the conduction and
theimal mass teims aie neaily the same in both the faulted and unfaulted conditions. The same assump-
tion will be made foi the plug loads and othei exteinal loads, because these aie not geneially the subject
of eithei contiol oi FDD systems.
Because we have assumed that the conduction, mass, plug loads, and occupancy teims aie not appie-
ciably affected by the fault, we can expiess the change in the zone theimal load as
(7.2.18)
wheie f
L
is the fiaction of the lighting impact eneigy that is dissipated within the conditioned space. The
estimated change in demand iesulting fiom coiiection of a fault is
(7.2.19)
wheie, again, we denote condition X undei noimal opeiation as X when a fault exists. Equation 7.2.19
must be applied once foi each fuel impacted by the fault, diopping teims foi demands not seived by the
fuel.
Assume that the noimal opeiating heating and cooling system COPs can be estimated oi computed,
and that measuied heating and cooling demands aie available foi the system being diagnosed, (i.e., those
actually occuiiing at time t, -). Alteinatively, noimal heating and cooling
demands may be known fiom some type of theoietical model oi an empiiical model of past peifoimance.
The cooling, heating, and ieheat demands that would occui if the fault was fxed aie
(7.2.20)
(7.2.21)
Load t f Lights t Solai t OA t
L
Demand t Cool t Cool t Heat t Heat t Dist t Dist t
Lights t Lights t
c c
Cool t
Load t Load t Econ t Econ t f Dist t Dist t
COP t
d c c
cool
Heat t
Load t Load t f Dist t Dist t
COP t
d c c
heat

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The zone theimal load can be expiessed as the diffeience in the net heating and cooling loads (estimated
as the pioducts of the cooling and heating COPs and demands), plus the economizei fiee cooling, less
the heat gain fiom fans and pumps
(7.2.22)
Foi faults that degiade HVAC system peifoimance, COP is noimally negative. Note that Equation 7.2.22
expiesses the net load in teims of both cooling and heating, and both must be included even if diffeient
fuels aie used to supply them. So, Equation (7.2.22) is also valid when noimal oi faulted opeiation iesults
in simultaneous heating and cooling.
The estimated change in demand caused by a fault can be expiessed as
(7.2.23)
Note that Equation 7.2.23 must be applied sepaiately foi each fuel impacted by the fault. Entiie teims
foi demands not seived by the fuel aie diopped (eithei both of the cooling demand teims, oi both of
the heating demand teims). All the subteims of the expiessions foi the net heating and cooling loads
and the teims inside the ()
-
and ()
-
must be ietained in theii entiiety to accuiately chaiacteiize the net
theimal load seen by the HVAC system. Foi example, if the impact on electiical demand is desiied foi
a gas-heated building, the second and last teims aie diopped and
- -
It is useful to considei Equation 7.2.23, which is geneially applicable to multiple faults, as applied to
faults associated with thiee specifc eneigy using subsystems building systems: outdooi-aii ventilation/
economizeis, lighting, and heating/cooling. These thiee specifc applications of Equation 7.2.23 aie
consideied in this subsection.
(7.2.24)
electiical
demand
impact,
nonelectiic
heating]
Load t Cool t COP t Heat t COP t Econ t f Dist t
Cool t COP t COP t
Heat t COP t COP t Econ t f Dist t
cool heat d c
cool cool
heat heat d c
Demand t Cool t Heat t Lights t Dist t
Cool t COP t COP t Heat t COP t COP t
Econ t f Dist t f Lights t Solai t OA t
c
cool cool heat heat
d c L
COP t
COP t
cool
cool cool heat heat
d c L
heat
Demand t Cool t Lights t Reheat1 t Dist t Aux1 t
c
cool cool heat heat
D c L
COP t
cool

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-
Ventilation fault impacts involving outdooi-aii supply geneially occui at the AHU level of the building
system hieiaichy, and affect the net load of all the zones seived by the AHU. These faults may involve
supply of excess ventilation aii oi failuie of the economizei opeiation to supply fiee cooling. In eithei
case, we will assume that the fault manifests itself as a change in the volumetiic ow iate of outside aii
( F), and that the magnitude of this ow iate eiioi is available fiom oi can be estimated as a bypioduct
of the FDD algoiithm. Fuithei, to apply Equation 7.2.23 in its full foim implies that we also know the
heating and/oi cooling deliveied to the zones seived by the AHU. This may involve meteiing of eneigy
consumption in unitaiy packaged equipment oi ow iates and enthalpies oi tempeiatuies in aii handleis
seived by a boilei/chillei plant.
The impacts on outdooi aii (OA) and economizei (Econ) aie combined into a single fault. Assume
(foi this example) that theie is no impact on the system COP, and no impact on the fan and pump
consumption in constant volume systems. So, COP(t) and Dist
c
(t) aie zeio. Then, the change in heat
loss via the outdooi ventilation aii can be expiessed in teims of the aii density ( ) and the diffeience of
the ietuin and outdooi-aii enthalpies (h
i
h
o
) to estimate the demand impacts of ventilation system
faults as
As befoie, teims in Equation 7.2.25 foi demands not seived by a given fuel aie diopped. Foi example,
if the impact on electiical demand is desiied foi a nonelectiically heated building, one would not include
the second and last teims.
It may not be possible to measuie oi estimate the heating and cooling demands at the aii handlei
level, and the assumption must be made that the mode of the aii handlei (heating oi cooling) would be
unchanged if the fault was coiiected. Then, Equation 7.2.25 ieduces to
foi impacts when cooling and
foi heating, because Econ (t) in a heating mode is zeio if the entiie fault is included in F. The OAE
diagnostician used Equation 7.2.26 and Equation 7.2.27 to estimate the eneigy impacts fiom impiopei
opeiation of the outdooi-aii contiols oi economizei.
Note that the impact of faults in ventilation systems can inciease oi deciease the demand foi cooling,
depending upon the diffeience in the indooi and outdooi tempeiatuies and humidities, and whethei
the fault iesults in too much oi too little ow at any given time. Foi example, cooling loads aie incieased
by excess ow when it is hottei oi moie humid outside than inside. They deciease when eithei the ielative
indooi and outdooi conditions oi the sign of the ow iate eiioi aie ieveised, but not both.
(7.2.25)
ventilation
faults with no
system COP
impacts]
(7.2.26)
cooling impact, no change in
cooling mode caused by fault]
(7.2.27)
heating impact, no change in
heating mode caused by fault]
Demand t Cool t Heat t
Cool t COP t Heat t COP t h h F t
COP t
Cool t COP t Heat t COP t Econ t h h F t
COP t
cool heat i o
cool
cool heat i o
heat
Demand t
n h h F t
COP t
o i
cool
Demand t
n h h F t
COP t
i o
heat

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When the system is in the heating mode, the outdooi-aii tempeiatuie is almost always less than the
indooi-aii tempeiatuie, otheiwise heating would not be iequiied. One notable, but iaie exception to
this geneialization is duiing waimups on ielative mild moinings. Theiefoie, the outdooi-aii enthalpy is
almost always less than the indooi-aii enthalpy, and excess outdooi ventilation aii ow will not iesult
in a change in mode fiom heating to cooling, and Equation 7.2.27 usually applies foi faults involving
excess ventilation aii. Note that negative ow iate eiiois duiing heating modes suggest that the outdooi-
aii volumes aie less than needed foi the occupants, with consequent negative effects on indooi aii quality.
Whethei duiing heating oi cooling, faults that ieduce ventilation aii ow to levels below those iequiied
by the occupancy have negative aii-quality impacts that should be consideied fai moie valuable than the
positive eneigy beneft. This suggests that positive cost benefts foi such faults piobably should not be
displayed to useis.
-
Impacts of faults iesulting in excess gains fiom solai iadiation, such as eiiois in day lighting sensois
contiolling active shading devices, aie entiiely analogous to the impacts of lighting faults. So, the dis-
cussion and the equations developed heie can be used to estimate impacts foi them by simply substituting
the ielevant load teims foi the lighting teims.
Assume, foi this example, theie is no impact of the lighting fault on the system COP oi the fan and
pump consumption in constant volume systems. So, COP(t) and Dist
c
(t) aie equal to zeio. If the
lighting fault affects only one zone seived by a constant-volume multizone AHU and if that zone is
ieheating, the change in lighting demand will simply be offset by an equivalent change in the need foi
ieheat and the following analysis will not apply. In the case of electiic iesistance heating (COP 1.0)
and if f
L
is 1.0, then net impact on the total demand will be zeio. Howevei, geneially, lighting faults aie
likely to impact all zones seived by an AHU. In such cases, the effect of changed ieheat iequiiements is
minimal and will be neglected as a second oidei effect. Theie is only a similai effect on ieheat foi vaiiable
aii-volume systems foi zones wheie aii ow is at minimum, so this will also be neglected heie.
Fiom Equation 7.2.23, the estimated ieduction in demand that would iesult fiom coiiecting a fault
with lighting contiol causing excess consumption Lights, but not affecting the system COPs oi the
fan/pump powei in constant volume system, is
(7.2.28)
But, any change in lighting load may simply be absoibed by a coiiesponding change in the economizei
opeiation, if it is not alieady opeiating at full ow. Because theie is no fault in the economizei opeiation
in this example, this implies that outdooi conditions aie suitable foi fiee cooling and theie is no cooling
demand, i.e., Cool (t) is zeio. Theiefoie, the contiibution of a noimally opeiating economizei towaid
meeting the cooling loads in faulted and unfaulted conditions must be estimated.
Let the volumetiic ow iate iequiied foi the occupants at any time (of day and week) be F
ieq
(t). If the
ow iate undei faulted conditions, F (t), is known oi can be estimated, then
(7.2.29)
Let the maximum achievable ow iate be F
max
when the economizei should fully open the outside-
aii dampeis. An economizei noimally opeiates to minimize cooling whenevei possible. The maximum
Demand t Cool t Heat t Lights t
Cool t COP t Heat t COP t Econ t f Lights t
COP t
cool heat L
cool
cool heat L
COP COP t
heat
Econ t n F t F t h h
ieq i o

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cooling load displaced by the economizei (Econ
max
) is the pioduct of the aii density, the volumetiic ow
iate, the ietuin- and outdooi-aii enthalpy diffeience, and two contiol functions
(7.2.30)
wheie the fist contiol function defnes whethei the economizei is opeiating oi not (values of zeio oi
one), and the second contiol function defnes the fiaction of full ow at which it opeiates (values between
zeio and one). The vaiiable y in the fist contiol function is eithei tempeiatuie oi enthalpy coiiesponding
to the basis foi the economizei contiol. The subsciipt c indicates the contiolling vaiiable, eithei ietuin
aii foi diffeiential contiol oi a high limit (usually tempeiatuie) foi high-limit contiol.
Then, the maximum - in the heat exhausted by the economizei, Econ
max
(t), is
(7.2.31)
and the maximum - in the heat exhausted by the economizei is equal to Econ (t).
Foi faults that - the lighting load, i.e., Lights(t) gieatei than zeio, incieased ow in the
economizei will absoib the incieased cooling load iesulting fiom the highei lighting level until the
economizei ieaches maximum ow. Thus
Foi faults that - the lighting load, i.e., Lights(t) less than zeio, the lowei cooling load iesulting
fiom decieased lighting is offset by decieased ow in the economizei until it ieaches the minimum
iequiied ow. Thus Econ(t) is equal to Econ
max
(t) and
When the system is cooling in the faulted condition and coiiecting the lighting fault would not iesult
in a change in mode fiom cooling to heating, then the economizei is alieady at maximum ow duiing
fiee cooling conditions and Equation 7.2.32 and Equation 7.2.33 ieduce to
wheie the lighting fault incieases the impact of the fault.
(7.2.32)
fault which
incieases
lighting
demand]
(7.2.33)
fault which
decieases
lighting
demand]
(7.2.34)
cooling mode in faulted and
unfaulted conditions]
Econ t F F t h h
y
y y
T max T T
T T
max max ieq i o
c
function
c o
i o min
function
i o
nd
-
1
2

,
Econ t Econ t Econ t
max max
COP t
Cool t COP t Heat t COP t Econ t f Lights
cool heat max L
cool
cool heat L
tt
COP t
heat
COP t
Cool t COP t Heat t COP t Econ t f Lights
cool heat max L
cool
cool heat L
tt
COP t
heat
Demand t Lights t
f Lights t
COP t
L
cool

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Foi the simple case wheie the system is heating in the faulted condition and coiiecting the lighting
fault would not iesult in a change in mode fiom heating to cooling, then Econ (t) is zeio and both
Equation 7.2.32 and Equation 7.2.33 ieduce to
wheie the change in the lights is paitially offset by the incieased iequiiement foi heat, as expected. Foi
nonelectiic heating, Equation 7.2.35 must be applied twice, once foi the heating fuel impact with the lighting
teim, Lights(t), equal to zeio, and once foi the electiicity impact when the second teim is diopped.
-
Foi a fault whose impact is confned to the system COPs, the impact on the total demand is (fiom
Equation 7.2.23)
(7.2.36)
The system COPs must be estimated ovei the iange of opeiating conditions, undei both noimal and
faulted opeiations. Foi systems without pieheat oi dehumidifcation loads, the heating and cooling
deliveied by the system (exclusive of the economizei and constant distiibution loads to be consistent
with Equation 7.2.23 is
(7.2.37)
wheie Reheat(t) is the heat demand iequiied foi piopei tempeiatuie contiol in multizone systems; Dist
v
(t)
is the fan and pump eneigy that vaiies with the load; Loss(t) is heat loss fiom the ducts and pipes caused
by conduction and aii leakage; f
D
is the fiaction of the duct loss that is ietained in the conditioned space;
and COP
cp
(t), COP
hp
(t), and COP
ih
(t) aie the COPs of the piimaiy cooling, heating, and ieheating eneigy
conveision equipment at the cuiient load and tempeiatuie conditions.
Foi systems without pieheat oi dehumidifcation loads, the demand of the system (exclusive of the
constant distiibution loads to be consistent with Equation 7.2.23 is
(7.2.38)
wheie Aux(t) is the eneigy consumption of auxiliaiy HVAC equipment such as condensei and cooling
toweis fans.
The system COPs aie defned as the iatio of the deliveied eneigy to the demand. The cooling system
COP is
(7.2.39)
(7.2.35)
electiic heat, heating mode in
faulted and unfaulted conditions]
Demand t Lights t
f Lights t
COP t
L
heat
Demand t Cool t Heat t
Cool t COP t COP t Heat t COP t COP t Econ t
COP t
cool cool heat heat
cool
cool cool heat heat
Econ t
COP t
heat
-
Deliveied t Cool t COP t Heat t COP Reheat t COP t f Dist t f Loss t
cp hp ih d v D
Demand t Cool t Heat t Reheat t COP t Dist t Aux t
ih v
COP t
COP COP
Reheat t
Cool t
f
Distiib t
Cool t
f
Loss t
Cool t
Reheat t
Cool t
Distiib t
Cool t
Aux t
Cool t
cool
cp ih d D
1

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and the heating system COP is
(7.2.40)
Undei unfaulted opeiation, the piimaiy COPs can be estimated fiom manufactuiei`s data. These
foimulations of the system COPs aie convenient because they expiess the effect of ieheat, distiibution,
auxiliaiy consumption, and duct losses as iatios that tend to iemain somewhat constant in many situa-
tions and that can be ieadily appioximated foi many systems. Alteinatively, they can be estimated based
on design calculations. Estimation of the system COPs undei faulted conditions typically iequiies an
estimate of the impact of the fault on only one of the teims.
In geneial (foi an aii conditionei, foi example) the piimaiy COP is a function of the latent cooling
fiaction, the supply and outdooi tempeiatuies, and the pait load iatio. These can be estimated fiom the
manufactuiei`s data foi vaiious conditions undei noimal opeiation. The effect of the faults must then
be estimated also. The piimaiy COP is often discontinuous, such as foi staged cooling devices. At iated
conditions, the piimaiy COP foi combustion equipment is often between 0.8 to 0.95, foi absoiption
cooling equipment between 0.45 to 0.7, foi cooling equipment between 3 to 5, foi electiic heat pumps
between 3 to 4, and foi electiic iesistance heating equipment it is 1.0.
At full load conditions, fan powei foi aii distiibution systems is typically in the iange of 5 to 10% of
the deliveied eneigy. Foi watei distiibution systems, this is typically in the iange of 2 to 5%. These
fiactions aie building and system specifc, and aie piimaiily dependent on ow iates, supply tempeiatuies,
and pipe and duct sizes and lengths. In constant volume systems, the distiibution powei is essentially
constant, wheieas in vaiiable volume systems it vaiies appioximately with the squaie of the ow iate
(and may have a lowei limit coiiesponding to a minimum ow iate).
The distiibution powei also geneially iesults in heat being added to the ow. This displaces some need
foi theimal eneigy fiom the piimaiy heating souice and adds to that fiom the piimaiy cooling souice.
Because of fiiction in the fan and duct oi pump and pipe, viitually all the mechanical powei input into
the fan oi pump is conveited to heat. The total (theimal and uidic) powei input is the pioduct of the
volumetiic ow iate (F) and total piessuie inciease acioss the fan oi pump ( p), with piopei unit
conveision factoi (k)
(7.2.41)
wheie ( ) is the effciency of a fan motoi outside an aii stieam whose waste heat is not added to the
ow; otheiwise is 1.0.
Reheat occuis in single-duct multizone HVAC systems in the cooling mode whenevei aii volumes aie
constant. Even in vaiiable-aii volume systems designed to ieduce the need foi ieheat, once aii volumes
aie ieduced to a minimum (deteimined by the need foi outdooi aii), some ieheat is necessaiy.
Reheat is necessaiy because each zone has its ow iate set based on design conditions. Diffeiences in
balance tempeiatuies (defned below) among zones seived by a single AHU will cause theii cooling loads
to diop at diffeient iates as the outdooi tempeiatuie diops below design conditions. Theii cooling loads
do not deciease in piopoition to theii design ow iates, so some zones will ieceive moie cooling than
they iequiie to satisfy the zone with the highest ielative cooling load.
A simple analysis can be developed that expiesses the ieheat iequiied as a iatio to the zone`s cooling
load as follows:
COP t
COP f
Distiib t
Cool t
f
Loss t
Cool t
Distiib t
Cool t
Aux t
Cool t
heat
hp d D
1
Distiib t
F pk

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(7.2.42)
wheie the balance tempeiatuie foi the zone, T
b
, is expiessed as a function of the zone tempeiatuie (T
z
),
the inteinal heat gains to the zone, and the heat loss coeffcient (UA).
(7.2.43)
So, if the balance tempeiatuies foi the zones seived by an AHU aie known oi estimated, the iatio of
theii ieheat to theii load can be estimated fiom Equation 7.2.42.
-
The piimaiy puipose of pioviding eneigy impact infoimation to useis of FDD systems is to give a sense
of scale foi pioblems detected so that opeiatois can piioiitize coiiective actions among theii othei woik
duties. Pioblems with small impacts can be ignoied oi fxing them can be put off, while pioblems with
laige impacts may justify immediate action. Cleaily, FDD systems will not have any benefcial effect on
building opeiation if signifcant pioblems aie not coiiected. Useis and potential useis of FDD systems
have consistently placed high value on such feedback.
The time scale ovei which a pioblem`s impact is piesented fundamentally deteimines its value. It also
seems likely that useis will compaie this value oi cost to fx a pioblem, peihaps an houily laboi iate oi
the cost of a seivice call. With 168 houis in a week, piesenting the impact in teims of a weekly cost impact
magnifes the usei`s of the value of fxing the pioblem by two oideis of magnitude compaied
to piesenting an houily impact. Small pioblems can iesult in laige cost impacts if they affect eveiy houi
of eveiy day. Since most pioblems taigeted by FDD systems go undetected foi months, if not yeais,
piesenting impact estimates ovei even longei inteivals is piobably desiiable.
Howevei, this iaises a set of issues about how to constiuct such estimates. Fiist, the impact of pioblems
is not steady, eithei fiom houi-to-houi within a day, fiom one day to anothei, oi fiom one season to
anothei. An economizei that fails to opeiate when it should piovides a simple illustiation of this. At
night oi on weekends, the impact may be zeio if the cooling system is shut off. The impact may also be
zeio in the wintei and the summei when the economizei cannot opeiate anyway. Pioviding an annual
estimate of the impact may be the faiiest way to piesent FDD impacts, but is not useful in setting
immediate piioiities foi action. In this example, fxing the economizei in the wintei is not an
piioiity, while getting it fxed by spiing is. The value of the coiiective action and the beneft of the FDD
system aie best iepiesented by the annual numbei.
Theie aie also pioceduial diffculties in computing impacts ovei time. When houily (foi example)
time-seiies impacts aie computed by the FDD algoiithm, it may be quite simple and useful to display
the sum of the houily impacts foi the last week oi month. The issue heie is that a new pioblem may
have a laige impact, but this will not be appaient if these impacts aie just staiting to accumulate. This
suggests that eithei the onset of the pioblem is taken into account, adding anothei layei of complexity
to the FDD system, oi futuie impacts aie foiecast based on the natuie of the pioblem. The lattei iequiies
some type of model to pioject impacts. This model could be theoietical, based on assumptions about
loads as a function of weathei and a typical weathei yeai, foi example. On the othei hand, the model
could be empiiical, based on the conditions seen ovei the last yeai, if such data has been stoied by the
FDD system. In eithei case, the effect of the pioblem must be supeiimposed on the model. Examples of
how this can be done weie piesented in the pievious section, but making such estimates ieasonably
accuiate ovei widely vaiying conditions is complex.
In summaiy, it is impoitant to keep in mind the puipose foi the impact estimates. Foi the ieasons
cited above, it may be appiopiiate to piovide impact estimates ovei moie than one time inteival, and
peihaps taigeted at vaiious uses and useis. Foi this to be effective, multiple impact iesults must be
Reheat t
Load t
T T
T T
T T
T T
o
b
o b
o b
"
o
b
"
1
T T
f Lights t Plugs t Occ t Solai t f Dist t
UA
b z
L D

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piesented by the FDD system to cleaily distinguish theii basis and theii use oi taiget audience. It is also
impoitant to keep in mind that making some kind of impact estimate, even one with signifcant
unceitainty, is piobably always bettei than pioviding none at all.
Since incieased eneigy costs aie not the only impact of many pioblems in buildings, it is veiy impoitant
to place eneigy cost impacts in theii piopei context. Foi example, faults that cause inadequate outdooi
aii to be supplied to building spaces (i.e., below the amount specifed by code) actually - eneigy and
lowei costs substantially in most conditions. Neveitheless, they have adveise impacts on occupant health
and pioductivity that oveishadow theii eneigy cost benefts and open up the ownei/opeiatoi to potential
liability. Similaily, faults in a chillei may iesult in a lack of capacity that limits consumption, but any
associated eneigy savings aie likely to be oveishadowed by the failuie to piovide comfoit conditions and
potential damage to the chillei that may iesult fiom continued opeiation.
Theiefoie, FDD systems should be caieful about displaying eneigy cost B- fiom faults (peihaps
avoiding doing so altogethei) that may distiact the usei fiom the ieal issues involved. Even if noneneigy
impacts of faults aie not quantifed by an FDD tool, they should be piesented to the usei in qualitative
fashion to piompt theii consideiation as the opeiatois decide on a iesponse to a detected fault.
-- -
In the 1990s, theie was signifcant giowth in the development of fault detection and diagnostic methods
and methodologies foi building systems. Howevei, veiy few commeicial pioducts exist today, and the ones
that exist aie veiy specialized oi not fully automated. Theie aie seveial ieasons foi lack of widespiead
availability and deployment of FDD systems: lack of sensois on building systems, unavailability of low
cost ieliable sensois, high cost-to-beneft iatio of deploying FDD systems with cuiient sensoi technologies,
lack of acceptable benchmaiks to quantify the potential benefts fiom deploying FDD systems, lack of easy
access to ieal-time data, and lack of infiastiuctuie to gathei data fiom existing BASs.
The functionality/benefts and costs of a fully automated FDD system diffei signifcantly fiom those
of a seivice tool. With the development of low-cost ieliable sensoi technology, FDD systems would soon
be integiated into individual equipment contiolleis and would piovide continuous monitoiing, fault
detection and diagnostic outputs, and iecommendations foi when seivice should be peifoimed. Ulti-
mately, as netwoiking infiastiuctuie matuies, the use of automated FDD systems could allow a small
suppoit staff to opeiate, monitoi, and maintain a laige numbei of diffeient systems fiom a iemote,
centialized location. Local FDD systems would communicate acioss a netwoik to piovide a status iepoit
on the health" of the equipment that they monitoi. Failuies that lead to loss of comfoit could be
identifed quickly befoie theie is a signifcant impact on comfoit. In many cases, degiadation faults could
be identifed well befoie they lead to loss of comfoit oi uneconomical opeiation, allowing moie effcient
scheduling (lowei cost) of seivice.
As the cost of sensois and contiol haidwaie continues to diop, chilleis will piobably be the fist
application of automated FDD within the HVAC&R industiy because of a low cost-to-beneft iatio. Once
fully developed, the technology could be integiated into all contiolleis associated with vapoi compiession
cooling equipment. When fully matuie, the costs associated with implementing the technology should
be piimaiily the iesult of the addition of low-cost tempeiatuie sensois. These costs should be a ielatively
small fiaction of the contiollei costs. The same technology would also be applicable to iefiigeiation and
iesidential space cooling. Fuitheimoie, the technology could be implemented in add-on systems to
existing cooling equipment, which would inciease the iate of maiket penetiation.
Open communication standaids foi building automation systems aie catching on as well, and use of
Inteinet and Intianet technologies is peivasive. These developments enable FDD systems to be deployed
moie ieadily. In addition, the stiuctuie of the industiy that piovides seivices foi the opeiations and
maintenance of buildings is changing; companies aie consolidating and offeiing whole-building opeia-
tions and maintenance packages. Fuitheimoie, as utilities aie deiegulated they will begin to offei new
seivices, including complete facility management. With complete and distiibuted facility management,

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the cost-to-beneft of deploying FDD systems will impiove because the cost can be spiead ovei a laige
numbei of buildings (Katipamula et al., 1999). To beneft fiom these changes, facility manageis, owneis,
opeiatois, and eneigy seivice piovideis aie challenged to acquiie oi develop new capabilities and iesouices
to bettei manage this infoimation and, in the end, theii buildings and facilities.
Although the technology and incentives foi application of FDD systems foi vapoi compiession cooling
equipment have nevei been gieatei, theie still aie seveial obstacles to theii development and deployment.
Fiist, theie is a need to quantify the potential benefts to establish benchmaiks foi acceptable costs and
to piovide maiketing infoimation. Specifc ieseaich issues ielated to FDD methods include development
of methods foi detection and diagnosis of sensoi faults and multiple simultaneous faults, identifcation
of appiopiiate models and tiaining appioaches, and evaluation of the tiadeoffs between sensois (type and
quality) and FDD peifoimance. The testing of FDD methods should be peifoimed fist in the laboiatoiy
and then in the feld.
-
The woik desciibed in this chaptei was paitially funded by the Offce of Building Technology, State and
Community Systems of the U.S. Depaitment of Eneigy as pait of the Building Systems Piogiam at Pacifc
Noithwest National Laboiatoiy. The laboiatoiy is opeiated foi the U.S. Depaitment of Eneigy by Battelle
Memoiial Institute undei contiact DE-AC06-76RLO 1830. The authois would also like to thank theii
colleagues Petei Aimstiong, at Pacifc Noithwest National Laboiatoiy, and Agami Reddy, at Diexel
Univeisity, foi theii valuable suggestions and ieview of the chaptei.
-
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Yoshida, H. and Kumai, S. 1999. ARX and AFMM Model-Based On-Line Real-Time Data Base Diagnosis
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Telecommunications Buildings. -
, Octobei 15-18, Centio dei, Fiienze, Vol. 21, pp. 1-7.
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Claik, D.R. and May, W.B. 1985. --K . NBSIR 85-3243, National Institute of
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simulation. --, Vol. 94, Pait 1, pp. 1074-1084.
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, pp. 319-324, Vancouvei, Canada.
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-
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, pp. 285-291, Miami, Floiida.

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Voting. - B -
-, Nagoya, Japan.
Yu, C.C. and Lee, C. 1991. Fault Diagnosis Based on Qualitative/Quantitative Piocess Knowledge,
Vol. 4., p. 617.

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N-M

--

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-
Gases and Vapois
Composition and Heating Values of
Common Fuels


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- -- -
TABLE A.1 Properties of Dry Air at Atmospheric Pressure
- -
K = absolute temperature, degrees Kelvin
deg C = temperature, degrees Celsius
deg F = temperature, degrees Fahrenheit
= density, kg/m
3
(sea level)
c
p
= specifc heat capacity, kJ/kgK
c
p
/c
v
= specifc heat capacity ratio, dimensionless
= viscosity, Ns/m

2

10

6

(For Ns/m

2

(= kg/ms) multiply tabulated values by 10

-6

)

k

= thermal conductivity, W/mk

10

3

(For W/mK multiply tabulated values by 10

-3

)

Pr

= Prandtl number, dimensionless

h

= enthalpy, kJ/kg

V

s

= sound velocity, m/s

Condensed and computed fiom Tables of Theimal Piopeities of Gases", National Buieau of Standaids Ciiculai 564,
U.S. Goveinment Piinting Offce, Novembei 1955.

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-- -

TABLE A.1 (continued) Properties of Dry Air at Atmospheric Pressure

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TABLE A.2 Psychrometric Table: Properties of Moist Air at 101 325 N/m

2

- -

P

s

= pressure of water vapor at saturation, N/m

2

W

s

= humidity ratio at saturation, mass of water vapor associated with unit mass of dry air

V

a

= specifc volume of dry air, m

3

/kg

V

s

= specifc volume of saturated mixture, m

3

/kg dry air
= specifc enthalpy of dry air, kJ/kg

h

s

= specifc enthalpy of saturated mixture, kJ/kg dry air

s

s

= specifc entropy of saturated mixture, J/Kkg dry air

The

-

column in this table gives the vapoi piessuie of puie watei at tempeiatuie inteivals of fve degiees Celsius.
Foi the latest data on vapoi piessuie at inteivals of 0.1 deg C, fiom 0-100 deg C, see Vapoi Piessuie Equation foi Watei",
A. Wexlei and L. Gieenspan,

-

, 75A(3):213-229, May-June 1971.

a

Foi veiy low baiometiic piessuies and high wet-bulb tempeiatuies, the values of

in this table aie somewhat low;
foi coiiections see

-

, 2001.

Computed fiom Psychiometiic Tables, in

-

, Ameiican Society of Heating,
Refiigeiating, and Aii-Conditioning Engineeis, 2001.
h
a
a

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TABLE A.3 Water Vapor at Low Pressures: Perfect Gas Behavior pv/T = R = 0.461 51 kJ/kgK

- -

t

= thermodynamic temperature, deg C

T

= thermodynamic temperature, K

pv

=

RT

, kJ/kg

u

o

= specifc internal energy at zero pressure, kJ/kg

h

o

= specifc enthalpy at zero pressure, kJ/kg

s

l

= specifc entropy of semiperfect vapor at 0.1 MN/m

2

, kJ/kgK

l

= specifc Helmholtz free energy of semiperfect vapor at 0.1 MN/m

2

, kJ/kg

l

= specifc Helmholtz free energy of semiperfect vapor at 0.1 MN/m

2

, kJ/kg

l

= specifc Gibbs free energy of semiperfect vapor at 0.1 MN/m

2

, kJ/kg

p

r

= relative pressure, pressure of semiperfect vapor at zero entropy, TN/m

2

v

r

= relative specifc volume, specifc volume of semiperfect vapor at zero entropy, mm

3

/kg

c

po

= specifc heat capacity at constant pressure for zero pressure, kJ/kgK

c

vo

= specifc heat capacity at constant volume for zero pressure, kJ/kgK

k

=

c

po

/

c

vo

= isentropic exponent, -(

log

p

/

log

v

)

s

Adapted fiom Steam Tables, J.H. Keenan, F.G. Keyes, P.G. Hill, and J.G. Mooie, John Wiley & Sons, Inc., New
Yoik, 1969 (Inteinational Edition - Metiic Units).

Foi othei steam tables in metiic units, see

- -

, Ministiy of Technology, London, 1970.

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TABLE A.4 Properties of Saturated Water and Steam


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TABLE A.4 (continued) Properties of Saturated Water and Steam

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--

TABLE A.4 (continued) Properties of Saturated Water and Steam

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TABLE A.5 Properties of Superheated Steam

- -

T =

temperature, C

h

= enthalpy, kJ/kg

T

sat

=

saturation temperature, C

S

= entropy, kJ/kgK

= specifc volume, m

3

/kg

p

= pressure, bar and

Pa

u

= internal energy, kJ/kg

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TABLE A.5 (continued) Properties of Superheated Steam

- -

T =

temperature, C

h

= enthalpy, kJ/kg

T

sat

=


S

= entropy, kJ/kgK

= specifc volume, m

3

/kg

p

= pressure, bar and

Pa

u


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TABLE A.5 (continued) Properties of Superheated Steam

- -

T =

temperature, C

h

= enthalpy, kJ/kg

T

sat

=


S

= entropy, kJ/kgK

= specifc volume, m

3

/kg

p

= pressure, bar and

Pa

u


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TABLE A.6 Chemical, Physical, and Thermal Properties of Gases: Gases and Vapors, Including Fuels and

Refrigerants, English and SI Units

Note. The properties of pure gases are given at 25C (77F, 298 K) and atmospheric pressure (except as stated).

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TABLE A.7 Ideal Gas Properties of Dry Air
-

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TABLE A.7 (continued) Ideal Gas Properties of Dry Air
- -

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Source. Adapted from M.J. Moran and H.N. Shapiro, Fundamentals of Engineering Thermodynamics, 3rd. ed., Wiley &
Sons, New York, 1995, as based on J.H. Keenan and J. Kaye, Gas Tables, John Wiley and Sons, New York, 1945. With
permission.
TABLE A.7 (continued) Ideal Gas Properties of Dry Air

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- -
TABLE B.1 Properties of Liquid Water
- -
= density, lbm/ft
3
. For g/cm
3
multiply by 0.016018. For kg/m
3
multiply by 16.018.
c
p
= specifc heat, Btu/lbmdeg R = cal/gK. For J/kgK multiply by 4186.8
= viscosity. For lbfsec/ft
2
= slugs/secft, multiply by 10
-7
. For lbmsecft multiply by 10
-7
and by
32.174. For g/seccm (poises) multiply by 10
-7
and by 478.80. For Nsec/m
2
multiply by 10
-7
and by 478.880.
k = thermal conductivity, Btu/hrftdeg R. For W/mK multiply by 1.7307.
a
At 7,500 psia.
1967 ASME Steam Tables", Ameiican Society of Mechanical Engineeis, Tables 9, 10, and 11 and Figuies 6, 7, 8, and 9.
The ASME compilation is a 330-page book of tables and chaits, including a 2
1
/2 3
1
/2-ft Molliei chait. All values
have been computed in accoidance with the 1967 specifcations of the Inteinational Foimulation Committee (IFC) and aie
in confoimity with the 1963 Inteinational Skeleton Tables. This standaidization of tables began in 1921 and was extended
thiough the (1963) and Glasgow (1966). Based on these woildwide standaid data, the 1967 ASME volume iepiesents detailed
computei output in both tabulai and giaphic foim. Included aie density and volume, enthalpy, entiopy, specifc heat,
viscosity, theimal conductivity, Piandtl numbei, isentiopic exponent, choking velocity, p-v pioduct, etc., ovei the entiie
iange (to 1500 psia 1500F). English units aie used, but all conveision factois aie given.

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TABLE B.2 Physical and Thermal Properties of Common Liquids
-
(At 1.0 Atm Pressure (0.101 325 MN/m
2
), 300 K, except as noted.)

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TABLE B.2 (continued) Physical and Thermal Properties of Common Liquids
- -
(At 1.0 Atm Pressure 77F (25C), except as noted.)
For viscosity in Ns/m
2
(=kg ms), multiply values in centipoises by 0.001. For surface tension in N/m,
multiply values in dyne/cm by 0.001.

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- -
TABLE C.1 Properties of Common Solids
Compiled fiom seveial souices.

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TABLE C.2 Density of Various Solids: Approximate Density of Solids at Ordinary Atmospheric Temperature
a
Some values iepoited as low as 1.6
Based laigely on Smithsonian Physical Tables", 9th iev. ed., W.E. Foisythe, Ed., The Smithsonian Institute, 1956, p. 292.
In the case of substances with voids, such as papei oi leathei, the bulk density is indicated iathei than the density
of the solid poition. Foi density in kg/m
3
, multiply values in g/cm
3
by 1,000.

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*
T
e
m
p
e
r
a
t
u
r
e
s

o
f

m
a
x
i
m
u
m

t
h
e
r
m
a
l

c
o
n
d
u
c
t
i
v
i
t
y

(
c
o
n
d
u
c
t
i
v
i
t
y

v
a
l
u
e
s

i
n

w
a
t
t
s
/
c
m

C
)
:

A
l
u
m
i
n
u
m

1
3
K
,

c
o
n
d
.

=

7
1
.
5
;

c
o
p
p
e
r

1
0
K
,

c
o
n
d
.

=

1
9
6
;

g
o
l
d

1
0
K
,

c
o
n
d
.

=

2
8
.
2
;

i
r
o
n

2
0
K
,

c
o
n
d
.

=

9
.
9
7
;

p
l
a
t
i
n
u
m

8
K
,

c
o
n
d
.

=

1
2
.
9
;

s
i
l
v
e
r

7
K
,

c
o
n
d
.

=

1
9
3
;

t
u
n
g
s
t
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TABLE C.4 Miscellaneous Properties of Metals and Alloys
-
At Room Temperature

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-- -
TABLE D.1 SI Units ~ Dehnitions, Abbreviations and Prehxes

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1
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- - -

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TABLE E.2 Combustion Data for Hydrocarbons
Source. Based largely on Gas Engineers' Handbook , American Gas Association, Inc., Industrial Press, 1967.
Notes.For heating value in J/kg, multiply the value in Btu/lb
m
by 2324. For fame speed in m/s, multiply the value in ft/s
by 0.3048.
The highei heating value is obtained when all of the watei foimed by combustion is condensed to a liquid. The lowei
heating value is obtained when all of the watei foimed by combustion is a vapoi. Table E.3 shows some example values. Foi
othei fuels, subtiact fiom the HHV the heat of vapoiization of watei at standaid conditions (e.g., ~1050 Btu/lbC 77F)
multipled by the iatio of the numbei of pounds (kg) of watei pioduced pei pound of methane buined. Theiefoie, the
diffeience between highei and lowei HVs if 2.25 x 1050 2363 Btu/lb oi 5486 .
- -- Handbook, 2nd ed., D.E. Gray, Ed., McGraw-Hill Book Company, 1963.
-K , 4th ed., R.H. Peiiy, C.H. Chilton, and S.D. Kiikpatiick, Eds., McGiaw-Hill Book Company,
1963.
- --, 53id ed., R.C. Weast, Ed., The Chemical Rubbei Company, 1972; gives the heat of
combustion of 500 oiganic compounds.
, 2nd ed., N.V. Steeie, Ed., The Chemical Rubbei Company, 1971.
- -- - - -, Piinceton Univeisity Piess, 1954.
------

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Table E.3 Heating Values in kJ/kg of Selected Hydrocarbons at 25C
Highei Value
a
Lowei Value
b
Hydiocaibon Foimula Liguid Fuel Gas. Fuel Liquid Fuel Gas. Fuel
Methane CH
4
- 55,496 - 50,010
Ethane C
2
H
6
- 51,875 - 47,484
Piopane C
3
H
8
49,973 50,343 45,982 46,352
n-Butane C
4
H
10
49,130 49,500 45,344 45,714
n-Octane C
8
H
18
47,893 48,256 44,425 44,788
n-Dodecane C
12
H
26
47,470 47,828 44,109 44,467
Methanol CH
3
OH 22,657 23,840 19,910 21,093
Ethanol C
3
H
5
OH 29,676 30,596 26,811 27,731
a H
2
O liquid in the pioducts.
b
H
2
O vapoi in the pioducts.

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Handbook of Heating Ventilation and Air Conditioning

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2001 by CRC Press LLC

Jan F. Kieidei et al. Intioduction to the Buildings Sectoi"

all systems all systems

The eneigy balance foi the system gives

The conduction theimal iesistance is

We will assume the following:

Heat-tiansfei effectiveness as a function of numbei of heat-tiansfei units and capacity-iate iatio;

is the univeisal gas constant 1545.32

which can be simpliBed as

is the univeisal gas constant,

Note that Q will be negative, since cooling is being done.

, aii velocities 40 ft/min (0.2 m/s).

costs and benefts of DR.

In 1970 the piice was p

Theie aie two equivalent ways of solving foi i

Inseit into Equation 3.2.14

Foi monthly compounding take m 12 in Equation 3.2.25, with the iesult

70/2 35 yi foi the woild,

Foi tax puiposes, the net amount to be depieciated is the diffeience

Levelized annual cost in fist yeai dollais

The annual eneigy consumption is

Using Equation 3.2.61

levelized annual cost

annual cost foi maintenance in fist yeai $]

capital cost in fist yeai $]

life cycle cost

cost at a iefeience size S

piesent value of total depieciation, as fiaction of C

depieciation duiing yeai n, as fiaction of C

fiaction of investment paid by loan

inteiest payment duiing nth yeai

depieciation peiiod yi]

payback time yi]

loan peiiod yi]

levelized eneigy piice

demand chaige $/kWmonth]

piesent value of inteiest payments

peak demand kW]

piincipal duiing nth payment peiiod n

maiket discount iate

maiket eneigy piice escalation iate

geneial ination iate

maiket loan inteiest iate

maiket escalation iate foi maintenance costs

inteinal iate of ietuin

Typical Equipment Cost C as Function of Size S, in the Foim C C

<1000 psi, no motoi, geais. ci. FOB.

5000 10000 psi, 2.5). 0.52 4 10 1 70 kW

Refeience size, in same units as values.

since the load, which deteimines PLR, depends

is the specifc heat of watei

is the tank volume; gal, (L)

is the heating suiface tempeiatuie.

is the mean of the unheated suiface tempeiatuies.

ARI 1992, - -, ARI Standaid 560-92, Aii Conditioning

systems may be eithei - ---

heat capacity (foi aii 0.24 Btu/F lb)

heat of fusion (Btu/lb)

piessuie loss aiising fiom fiiction

hydialic cioss-sectional diametei

and . Foi leaks that look like

is the actual zone tempeiatuie, - is the

is the zone tempeiatuie