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Cleveland C.J. (Ed.) - Encyclopedia of Energy Volume 1 (2004, Elsevier) PDF
Cleveland C.J. (Ed.) - Encyclopedia of Energy Volume 1 (2004, Elsevier) PDF
The history of human culture can be viewed as the The study of energy has played a pivotal role in
progressive development of new energy sources and understanding the creation of the universe, the origin
their associated conversion technologies. Advances of life, the evolution of human civilization and
in our understanding of energy have produced culture, economic growth and the rise of living
unparalleled transformations of society, as exempli- standards, war and geopolitics, and significant
fied by James Watt’s steam engine and the discovery environmental change at local, regional, and global
of oil. These transformations increased the ability of scales.
humans to exploit both additional energy and other The unique importance of energy among natural
resources, and hence to increase the comfort, long- resources makes information about all aspects of its
evity, and affluence of humans, as well as their attributes, formation, distribution, extraction, and
numbers. Energy is related to human development use an extremely valuable commodity. The Encyclo-
in three important ways: as a motor of economic pedia of Energy is designed to deliver this informa-
growth, as a principal source of environmental stress, tion in a clear and comprehensive fashion. It uses an
and as a prerequisite for meeting basic human needs. integrated approach that emphasizes not only the
Significant changes in each of these aspects of human importance of the concept in individual disciplines
existence are associated with changes in energy such as physics and sociology, but also how energy is
sources, beginning with the discovery of fire, the used to bridge seemingly disparate fields, such as
advent of agriculture and animal husbandry, and, ecology and economics. As such, this Encyclopedia
ultimately, the development of hydrocarbon and provides the first comprehensive, organized body of
nuclear fuels. The eventual economic depletion of knowledge for what is certain to continue as a major
fossil fuels will drive another major energy transi- area of scientific study in the 21st century. It is
tion; geopolitical forces and environmental impera- designed to appeal to a wide audience including
tives such as climate change may drive this transition undergraduate and graduate students, teachers,
faster than hydrocarbon depletion would have by academics, and research scientists who study energy,
itself. There is a diverse palette of alternatives to as well as business corporations, professional firms,
meet our energy needs, including a new generation of government agencies, foundations, and other groups
nuclear power, unconventional sources of hydrocar- whose activities relate to energy.
bons, myriad solar technologies, hydrogen, and more Comprehensive and interdisciplinary are two
efficient energy end use. Each alternative has a words I use to describe the Encyclopedia. It has the
different combination of economic, political, tech- comprehensive coverage one would expect: forms
nological, social, and environmental attributes. of energy, thermodynamics, electricity generation,
Energy is the common link between the living and climate change, energy storage, energy sources, the
non-living realms of the universe, and thus provides demand for energy, and so on. What makes this work
an organizing intellectual theme for diverse disci- unique, however, is its breadth of coverage, including
plines. Formalization of the concept of energy and insights from history, society, anthropology, public
identification of the laws governing its use by 19th policy, international relations, human and ecosystem
century physical scientists such as Mayer and Carnot health, economics, technology, physics, geology,
are cornerstones of modern science and engineering. ecology, business management, environmental
xxxi
xxxii Preface
science, and engineering. The coverage and integra- as an uncanny combination of vision, enthusiasm, and
tion of the social sciences is a unique feature. energy for the project. I owe Chris a great deal for his
The interdisciplinary approach is employed in the insight and professionalism. I spent countless hours on
treatment of important subjects. In the case of oil, as the phone with Robert Matsumura, who was the glue
one example, there are entries on the history of oil, that held the project together. Chris and Robert were
the history of OPEC, the history of oil prices, oil ably assisted by outstanding Academic Press/Elsevier
price volatility, the formation of oil and gas, the staff, especially Nick Panissidi, Joanna Dinsmore, and
distribution of oil resources, oil exploration and Mike Early. Clare Marl and her team put together a
drilling, offshore oil, occupational hazards in the oil highly effective and creative marketing plan.
industry, oil refining, energy policy in the oil industry, At the next stage, the Editorial Board was
the geopolitics of oil, oil spills, oil transportation, invaluable in shaping the coverage and identifying
public lands and oil development, social impacts of authors. The Board is an outstanding collection of
oil and gas development, gasoline additives and scholars from the natural, social, and engineering
public health, and the environmental impact of the sciences who are recognized leaders in their fields of
Persian Gulf War. Other subjects are treated in a research. They helped assemble an equally impressive
similar way. group of authors from every discipline and who
This has been a massive and extremely satisfying represent universities, government agencies, national
effort. As with any work of this scale, many people laboratories, consulting firms, think tanks, corpora-
have contributed at every step of the process, tions, and nongovernmental organizations. I am
including the staff of Academic Press/Elsevier. The especially proud of the international scope of the
project began through the encouragement of Frank authors: more than 400 authors from 40 nations are
Cynar and David Packer, with Frank helping to represented from every continent and every stage of
successfully launch the initiative. Henri van Dorssen development. To all of these, I extend my thanks and
skillfully guided the project through its completion. congratulations.
He was especially helpful with integrating the project
formulation, production, and marketing aspects of Cutler Cleveland
the project. Chris Morris was with the project Boston University
throughout, and displayed what I can only describe Boston, Massachusetts, United States
FOREWORD
Energy generation and use are strongly linked to all projected carbon emissions to levels below the
elements of sustainable development: economic, present.
social, and environmental. The history of human Dependence on imported fuels leaves many
development rests on the availability and use of countries vulnerable to disruption in supply, which
energy, the transformation from the early use of fire might pose physical hardships and economic bur-
and animal power that improved lives, to the present dens; the weight of fossil fuel imports on the balance
world with use of electricity and clean fuels for a of payments is unbearable for many poorer coun-
multitude of purposes. This progress built on basic tries. The present energy system of countries heavily
scientific discoveries, such as electromagnetism and dependent on fossil fuels geographically concen-
the inventions of technologies such as steam engines, trated in a few regions of the world adds security
light bulbs, and automobiles. of supply aspects.
It is thus abundantly clear that access to afford- From the issues indicated here it is clear that
able energy is fundamental to human activities, major changes are required in energy system devel-
development, and economic growth. Without access opment worldwide. At a first glance, there appears to
to electricity and clean fuels, people’s opportunities be many conflicting objectives. For example, is it
are significantly constrained. However, it is really possible to sustain poverty alleviation and economic
energy services, not energy per se that matters. Yet, growth while reducing GHG emissions? Can urban
today some 2 billion people lack access to modern areas and transport expand while improving air
energy carriers. quality? What would be the preferable trade-offs?
In addition to the great benefits, the generation, Finding ways to expand energy services while
transportation, and use of energy carriers unfortu- simultaneously addressing the environmental im-
nately come with undesired effects. The environ- pacts associated with energy use represents a critical
mental impacts are multifaceted and serious, challenge to humanity.
although mostly less evident. Emissions of suspended What are the options? Looking at physical
fine particles and precursors of acid deposition resources, one finds they are abundant. Fossil fuels
contribute to local and regional air pollution and will be able to provide the energy carriers that the
ecosystem degradation. Human health is threatened world is used to for hundreds of years. Renewable
by high levels of air pollution resulting from energy flows on Earth are many thousands of times
particular types of energy use at the household, larger than flows through energy markets. Therefore,
community, and regional levels. there are no apparent constraints from a resource
Emissions of anthropogenic greenhouse gases point of view. However, the challenge is how to use
(GHG), mostly from the production and use these resources in an environmentally acceptable way.
of energy, are altering the atmosphere in ways The broad categories of options for using energy in
that are affecting the climate. There is new and ways that support sustainable development are (1)
stronger evidence that most of the global warming more efficient use of energy in all sectors, especially at
observed over the last 50 years is attributable the point of end use, (2) increased use of renewable
to human activities. Stabilization of GHG in the energy sources, and (3) accelerated development and
atmosphere will require a major reduction in the deployment of new and advanced energy technologies,
xxvii
xxviii Foreword
including next-generation fossil fuel technologies that protect important public benefits, including the
produce near-zero harmful emissions. Technologies following:
are available in these areas to meet the challenges of
Cost-based prices, including phasing out all
sustainable development. In addition, innovation
forms of permanent subsidies for conven-
provides increasing opportunities.
tional energy (now on the order of $250
Analysis using energy scenarios indicates that it is
billion a year) and internalizing external
indeed possible to simultaneously address the sus-
environmental and health costs and benefits
tainable development objectives using the available
(now sometimes larger than the private costs).
natural resources and technical options presented. A
Removing obstacles and providing incentives,
prerequisite for achieving energy futures compatible
as needed, to encourage greater energy
with sustainable development objectives is finding
efficiency and the development and/or diffu-
ways to accelerate progress for new technologies
sion of new technologies for energy for
along the energy innovation chain, including re-
sustainable development to wider markets.
search and development, demonstration, deploy-
Recent power failures on the North American
ment, and diffusion.
Eastern Seaboard, in California, London
It is significant that there already exist combina-
(United Kingdom), Sweden, and Italy illus-
tions of technologies that meet all sustainable
trate the strong dependence on reliable power
development challenges at the same time. This will
networks. Power sector reform that recog-
make it easier to act locally to address pollution
nizes the unique character of electricity, and
problems of a major city or country while at the same
avoids power crises as seen in recent years, is
time mitigating climate change. Policies for energy
needed.
for sustainable development can be largely motivated
Reversing the trend of declining Official Devel-
by national concerns and will not have to rely only
opment Assistance and Foreign Direct Investments,
on global pressures.
especially as related to energy for sustainable
However, with present policies and conditions in
development.
the marketplaces that determine energy generation
and use such desired energy futures will not happen. This is a long list of opportunities and challenges.
A prerequisite for sustainable development is change To move sufficiently in the direction of sustain-
in policies affecting energy for sustainable develop- ability will require actions by the public and the
ment. This brings a need to focus on the policy private sector, as well as other stakeholders, at
situation and understand incentives and disincentives the national, regional, and global levels. The decisive
related to options for options for energy for issues are not technology or natural resource scarcity,
sustainable development. but the institutions, rules, financing mechanisms, and
Policies and actions to promote energy for regulations needed to make markets work in support
sustainable development would include the follow- of energy for sustainable development. A number of
ing: countries, including Spain, Germany, and Brazil, as
well as some states in the United States have adopted
Developing capacity among all stakeholders in successful laws and regulations designed to increase
all countries, especially in the public sector, to the use of renewable energy sources. Some regions,
address issues related to energy for sustainable including Latin America and the European Union,
development. have set targets for increased use of renewable
Adopting policies and mechanisms to increase energy. However, much remains to be done.
access to energy services through modern fuels and Energy was indeed one of the most intensely
electricity for the 2 billion without. debated issues at the United Nations World Summit
Advancing innovation, with balanced emphasis on Sustainable Development (WSSD), held in Johan-
on all steps of the innovation chain: research and nesburg, South Africa, in August/September, 2002. In
development, demonstrations, cost buy-down, and the end, agreement was reached on a text that
wide dissemination. significantly advances the attention given to energy
Setting appropriate market framework condi- in the context of sustainable development. This was
tions (including continued market reform, consistent in fact the first time agreements could be reached
regulatory measures, and targeted policies) to en- on energy at the world level! These develop-
courage competitiveness in energy markets, to reduce ments followed years of efforts to focus on energy
total cost of energy services to end-users, and to as an instrument for sustainable development that
Foreword xxix
intensified after the United Nations Conference on energy, a total of 39 partnerships were presented to
Environment and Development in 1992. the United Nations Secretariat for WSSD to promote
The United Nations General Assembly adopted programs on energy for sustainable development, 23
the Millennium Development Goals (MDG) in 2000. with energy as a central focus and 16 with a
These goals are set in areas such as extreme considerable impact on energy. These partnerships
poverty and hunger, universal primary education, included most prominently the DESA-led Clean Fuels
gender equality and empowerment of women, and Transport Initiative, the UNDP/World Bank-led
child mortality, maternal health, HIV/AIDS, malaria Global Village Energy Partnership (GVEP), the
and other diseases, and environmental sustain- Johannesburg Renewable Energy Coalition (JREC),
ability. However, more than 2 billion people cannot the EU Partnership on Energy for Poverty Eradica-
access affordable energy services, based on the tion and Sustainable Development, and the UNEP-
efficient use of gaseous and liquid fuels and led Global Network on Energy for Sustainable
electricity. This constrains their opportunities for Development (GNESD).
economic development and improved living stan- With secure access to affordable and clean energy
dards. Women and children suffer disproportionately being so fundamental to sustainable development,
because of their relative dependence on traditional the publication of the Encyclopedia of Energy is
fuels. Although no explicit goal on energy was extremely timely and significant. Academics, profes-
adopted, access to energy services is a prerequisite sionals, scholars, politicians, students, and many
to achieving all of the MDGs. more will benefit tremendously from the easy access
Some governments and corporations have already to knowledge, experience, and insights that are
demonstrated that policies and measures to promote provided here.
energy solutions conducive to sustainable develop-
ment can work, and indeed work very well. The Thomas B. Johansson
renewed focus and broad agreements on energy in the Professor and Director
Johannesburg Plan of Implementation and at the 18th International Institute for
World Energy Congress are promising. The formation Industrial Environmental Economics
of many partnerships on energy between stakeholders Lund University
at WSSD is another encouraging sign. A sustainable Lund, Sweden
future in which energy plays a major positive role in
supporting human well-being is possible! Former Director
Progress is being made on many fronts in bringing Energy and Atmosphere Programme
new technologies to the market, and to widening United Nations Development Programme
access to modern forms of energy. In relation to New York, United States
Acid Deposition and Energy Use
JAN WILLEM ERISMAN
Energy Research Centre of the Netherlands
A
Petten, The Netherlands
generation (TWh)
should be done in such a way that different 250 10000
environmental impacts are addressed at the same 200 8000
time. The most cost-effective way is to reduce CO2
150 6000
emissions because this will result in decreases in SO2
and NOx emissions. When starting with SO2 and 100 4000
NOx emissions, an energy penalty compensates for 50 2000
the emission reductions.
0 0
1880 1900 1920 1940 1960 1980 2000 2020
Year
1. INTRODUCTION
FIGURE 1 The worldwide use of fossil fuels in millions of tons
per year. Adapted from Smil (2000).
The alarm regarding the increasing acidification of
precipitation in Europe and eastern North America
was first sounded in the 1960s. Since then, most
attention has focused on acid rain’s effects, estab- sources has increased and has become higher than
lished and suspected, on lakes and streams, with their the share of coal.
populations of aquatic life, and on forests, although The first environmental consequences of the use of
the list of concerns is far broader: It includes fossil fuels were the problems of smoke in houses and
contamination of groundwater, corrosion of man- urban air quality. Human health was affected by the
made structures, and, recently, deterioration of use of coal with high sulfur content, producing sulfur
coastal waters. dioxide and carbon monoxide. The history of
The processes that convert the gases into acid and London clearly shows the ever-increasing problems
wash them from the atmosphere began operating related to coal use and the struggle to abate this
long before humans started to burn large quantities pollution, culminating in the famous London smog
of fossil fuels. Sulfur and nitrogen compounds are in 1952, from which thousands of people died. In the
also released by natural processes such as volcanism 1950s and 1960s, air pollution became an important
and the activity of soil bacteria. However, human issue but was mainly considered on the local scale.
economic activity has made the reactions vastly more One of the abatement options was to increase the
important. They are triggered by sunlight and stack height in order to take advantage of atmo-
depend on the atmosphere’s abundant supply of spheric dispersion, leading to dilution of pollutant
oxygen and water. concentrations before humans could be exposed.
Wood was the first source for energy production. This formed the basis of the transboundary nature of
Wood was used for the preparation of food and for acid deposition as we know it today and increased
heating. After the discovery of fossil fuels in the form the scale from local to regional and even continental.
of coal as a source of energy, it was used for heating The use of fossil fuels increased, and the pollutants
purposes. During the industrial revolution, coal, were transported to remote areas, which had very
followed by crude oil and later natural gas, provided clean air until that time.
a large source of energy that stimulated technological Acid rain was first recognized as a serious
development, resulting in the replacement of animals environmental problem by Robert Angus Smith, an
and people in the production of goods, increased alkali inspector based in Manchester. He started a
possibilities for mobility, and the enabling of monitoring network with approximately 12 sites at
industries to process raw materials into a large which rainfall was collected and analyzed. In 1852,
variety of products. When the possibilities of energy he wrote about the correlation between coal burning
production and use became apparent, the use of and acid pollution in and around the industrial
fossil fuels grew exponentially. Figure 1 provides an center of Manchester. He identified three types of air:
overview of the worldwide use of fossil fuels since ‘‘that with carbonate of ammonia in the fields at a
1900. It shows that the total global energy consump- distance y that with sulphate of ammonia in the
tion is closely linked to the growth of the world’s suburbs, y and that with sulphuric acid, or acid
population. The share of oil and gas as energy sulphate, in the town.’’ In 1872, he wrote the famous
Acid Deposition and Energy Use 3
book, Air and Rain: The Beginnings of a Chemical damage in forests. Trees showed decreased foliage
Climatology. He referred to the acidity of rain and or needles, and this damage even progressed to the
air and its effect on humans and buildings. This was point that trees would die, a phenomenon that
the beginning of acidification research, although this happened in the border area of former East Germany,
was recognized only much later. Poland, and former Czechoslovakia. This tree die-
Acid deposition is one of the oldest transboundary back was also attributed to acidification of the soil.
environmental problems. Several components and However, exposure to increased oxidant concentra-
thus emission sources contribute to acid deposition, tions was determined to be another cause. In the mid-
making it a complex problem and difficult to abate. 1980s, nitrogen deposition to terrestrial and aquatic
It is one of the most studied environmental problems ecosystems was found to cause negative effects
and there is a large body of literature. This article through eutrophication. Acidification and eutrophi-
gives an overview of the state of knowledge of energy cation are both caused by atmospheric deposition of
production and use and acid deposition. First, an pollutants, and the combination increases the effects,
overview is given of acid deposition, the conse- causing too high nutrient concentrations in soil and
quences of acid deposition, and the processes groundwater. Nitrate and ammonium are beneficial,
involved. The contribution of energy is discussed even essential, for vegetation growth, but in too high
next, and an estimate of the progress made to concentration they lead to the loss of diversity,
decrease the emissions from energy sources is given. especially in oligotrophic ecosystems (i.e., ecosystems
Finally, future options to decrease acid deposition adapted to low nutrient availability). This problem
and the options for decreasing energy emissions are has mainly been encountered in central and north-
discussed. western Europe.
The effects of acid deposition include changes in
terrestrial and aquatic ecosystems showing acidifica-
tion of soils, shifts in plant community composition,
2. ACID DEPOSITION, ITS EFFECTS, loss of species diversity, forest damage, water
AND CRITICAL LOADS acidification and loss of fish populations, reduction
in growth yield of sensitive agricultural crops, and
Acid deposition is the deposition of air pollutants to damage to cultural heritage and to building materi-
ecosystems leading to acidification and eutrophica- als. The common factor for all these effects is that
tion, which cause negative effects in these ecosystems. pollutants, or their precursors, are emitted, trans-
The components contributing to acid deposition are ported in the atmosphere, and deposited by way of
sulfur compounds (SO2 and SO4), oxidized nitrogen precipitation (wet deposition) or as gases or particles
compounds (NO, NO2, HNO2, HNO3, and NO3), (dry deposition). In some cases, acid deposition
and reduced nitrogen compounds (NH3 and NH4). occurs 1000 km or more from where the responsible
Some rain is naturally acidic because of the carbon emissions were generated.
dioxide (CO2) in air that dissolves with rain water If deposition exceeds sustainable levels, effects can
and forms a weak acid. This kind of acid is actually occur depending on the duration of the exposure and
beneficial because it helps dissolve minerals in the soil the level of exceedance. Sustainable levels can be
that both plants and animals need. Ammonia acts as represented by critical loads and critical levels. The
a base in the atmosphere, neutralizing nitric and critical load is formally defined by the United
sulfuric acid, but in soil ammonia it can be converted Nations Economic Commission for Europe (UNECE)
by microorganisms to nitric acid, producing addi- as ‘‘a quantitative estimate of exposure to one or
tional acid in the process. more pollutants below which significant harmful
The first sign of the effects of acid deposition was effects on sensitive elements of the environment do
the loss of fish populations in Canadian, Scandina- not occur according to present knowledge.’’ This
vian, and U.S. lakes in the early 1960s. It was found definition can be applied to a wide range of
that the water in the lakes was acidified to a point at phenomena and not merely acid rain. Any process
which fish eggs no longer produced young specimens. in which damage will occur if depositions exceed
This was caused by acid deposition; precipitation natural sink processes has a critical load set by
had introduced so much acid in the lakes that pH those sink processes. The concept of critical loads or
levels had declined below the critical limit for egg levels has been used to provide a scientific basis for
hatching. A few years later, reports from Canada, the the incorporation of environmental impacts in the
United States, and Germany indicated unusual development of national and international policies to
4 Acid Deposition and Energy Use
control transboundary air pollutants, within the contain sulfur compounds, which are emitted into
framework of the UNECE Convention on the the atmosphere as SO2 after combustion. Oxidized
Control of Transboundary Air Pollution. The concept nitrogen has several sources but is formed mainly by
is based on the precautionary principle: Critical loads combustion processes in which fuel N is oxidized or
and levels are set to prevent any long-term damage to atmospheric N2 is oxidized at high temperatures.
the most sensitive known elements of any ecosystem. These processes are relevant for industries, traffic,
The critical loads approach is an example of an and energy production. Among the other sources of
effects-based approach to pollution control, which oxidized nitrogen, soils are most important. Ammo-
considers that the impact of deposited material nia is mainly emitted from agricultural sources. Fossil
depends on where it lands. Similar industrial plants fuels seem less important for ammonia than for the
may have different pollution impacts depending on other two pollutants. Through the use of fertilizer,
the different capacities of the receiving environments which is produced from natural gas, there is a link
to absorb, buffer, or tolerate pollutant loads. The with energy. Indirectly, the increased energy use from
policy goal with effects-based strategies is ultimately fossil fuels to produce fertilizer has increased nitro-
to ensure that the abatement on emissions from all gen emissions from agriculture and contributed to
plants is adequate so that no absorptive capacities, acidification. Energy use first increased mobility.
nor air quality standards, are exceeded. Food is therefore not necessarily produced in the
area where it is consumed. Furthermore, relatively
cheap nutrient resources (animal feed) are trans-
3. PROCESSES IN THE CAUSAL ported from one continent to another, where they are
concentrated in intensive livestock breeding areas.
CHAIN: EMISSION, TRANSPORT,
Also, fossil fuels, first in the form of coal but now
AND DEPOSITION mainly from natural gas, provide the basis to produce
fertilizers, which are used to produce the food
The causal chain represents the sequence of emis- necessary to feed the ever-growing population
sions into the atmosphere, transport and chemical throughout the world and to fulfill the need for the
reactions, deposition to the earth surface, and cycling growing demands for more luxurious food.
within the ecosystems until eventually the compo- Base cations play an important role because they
nents are fixed or transformed in a form having no can neutralize acids in the atmosphere and the soil,
effects. This causal chain is shown in Fig. 2. After the limiting the effect of acid deposition. On the other
causal chain is understood and parameterized in hand, base cations contribute to the particle concen-
models, it can be used to assess the possibilities for trations in the atmosphere, affecting human health
reducing the effects. when inhaled. Sources of base cations are energy
production, agricultural practices, and road dust.
3.1 Emission
The use of fossil fuels for energy production is one of 3.2 Transport and Deposition
the main causes of acid deposition. Fossil fuels The sulfur compounds are converted to sulfuric acid
and NOx to nitric acid, and ammonia reacts with
SO2, NOx NH3
these acids to form ammonium salts. Both precursors
SO2, NOx NH3
SO42− NO3−NH4+
SO2, NOx NH3 (SO2, NOx, and NH3) and products (sulfuric acid,
SO2, NOx
SO42− NO3−NH4+
NH3 SO42− NO3−NH4+ nitric acid, and ammonium salts) can be transported
Rain over long distances (up to 1500 km), depending on
Wet and dry meteorological conditions, speed of conversion, and
Wet
NOx SO2
Wet
deposition
Dry
NH3
removal by deposition processes. The gases emitted,
Dry
This means that a large proportion of the NH3 physical and chemical processes in the atmosphere,
emitted in The Netherlands is also deposited within and the receptor type (land use, roughness, moisture
this country. Once converted into NH4þ , which has a status, degree of stomatal opening of vegetation,
much lower rate of deposition, the transport snow cover, etc.). When gases and/or particles are
distances are much greater (up to 1500 km). SO2 is deposited or absorbed directly from the air, we speak
mainly emitted into the atmosphere by high sources of dry deposition. When they reach the surface
and can therefore be transported over long distances, dissolved in rain or another form of precipitation,
despite its relatively high deposition rate. Some NOx we refer to wet deposition. If this occurs in mist or
is also emitted by low sources (traffic). However, fog, it is cloud/fog deposition. The total deposition is
because of its low deposition rate and relatively slow the sum of the dry, wet, and cloud/fog deposition.
conversion rate into rapidly deposited gases (HNO3 Throughfall is washed from the vegetation by rain
and HNO2), NOx is transported over relatively long falling on the soil beneath the forest canopy. It is a
distances before it disappears from the atmosphere. measure of the load on the vegetation’s surface,
SO2 is quickly converted to sulfuric acid (H2SO4) whereas the total deposition indicates the load on
after deposition, both in water and in soil. NOx and the whole system (soil þ vegetation). Net throughfall
NH3 and their subsequent products contribute to the is the difference between throughfall and wet
eutrophication and also the acidification of the deposition in the open field; it is a measure of the
environment as a result of conversion to nitric acid dry deposition plus cloud/fog deposition when no
(HNO3) in the air (NOx) or in the soil (NH3). exchange takes place with the forest canopy (uptake
Since the three primary gases (SO2, NOx, and or discharge of substances through leaves, micro-
NH3) can react and be in equilibrium with each other organisms, etc.).
and with the different reaction products in the To understand the impact of emissions on the
atmosphere, there is a strong and complex mutual effects caused by acid deposition and eutrophication,
relationship. If, for example, there were no NH3 in the whole chain of emissions, transport, atmospheric
the atmosphere, SO2 would be converted less quickly conversion, dry and wet deposition, and the effects
to SO24 . The environment, however, would also be caused by the total deposition loads, including the
‘‘more acid’’ so that the deposition rate of acidifying role of groundwater and soils, must be understood.
compounds would be reduced (poor solubility of Wet and dry deposition are not only the processes by
these compounds in acid waters). The net impact is which pollutants are transported to the earth surface
difficult to determine, but it is certainly true that if and humans and ecosystems are exposed to acid
the emission of one of the compounds increases or deposition and eutrophication but also play an
decreases relative to that of the others, this will also essential role in cleaning of the atmosphere. If
influence the transport distances and deposition rates removal by wet and dry deposition stopped, the
of the other compounds. This is only partly taken earth’s atmosphere would be unsuitable to sustain
into account in the scenario calculations because life in a relatively short period—on the order of a
such links have not been fully incorporated into the few months.
models. Since acidifying deposition involves different
The base cations can neutralize the acidifying substances, it is necessary to give these substances a
deposition and, after deposition to the soil, they act single denominator in order to indicate the total load
as a buffer both in terms of neutralization and in of acidifying substances. For this purpose, the total
terms of uptake by plants and the prevention of load is expressed as potential acid, calculated as
nutrient deficiencies. This applies especially to the follows:
Mg2 þ , Ca2 þ , and K þ compounds. The degree of 2SOx þ NOy þ NHx ðmol Hþ ha=yearÞ;
deposition of base cations is therefore important
in determining the critical loads that an ecosystem where SOx are oxidized sulfur compounds, NOy are
can bear or the exceedances thereof. Thus, accurate oxidized nitrogen compounds, and NHx are reduced
loads are also required for base cations on a local nitrogen compounds. The concept of potential acid is
scale. These estimates are not available for The used because NH3 is considered to be a potentially
Netherlands nor for Europe. acidifying substance. In the atmosphere, NH3 acts as
The nature and size of the load of acidifying a base, which leads to the neutralization of acids such
substances on the surface depend on the character- as HNO3 and H2SO4. However, the NH4þ formed in
istics of the emission sources (height and point or the soil can be converted to NO 3 so that acid is still
diffuse source), the distance from the source, produced via bacterial conversion (nitrification)
6 Acid Deposition and Energy Use
100
SO2 and NOx to total emission (%)
90
SO2
80 NOx
Contribution of fossil fuel
70
60
50
40
30
20
10
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C
M
In
Region
FIGURE 3 Share of fuel emissions of the total global sulfur and nitrogen emissions of 148.5 Tg SO2 and 102.2 Tg NO2.
Data from van Ardenne et al. (2001).
Acid Deposition and Energy Use 7
1% 70
1%
15% 1% 60 Energy
20
9% 3% 6% Fossil fuel combustion
10
Biofuel combustion
Industrial processes
Agricultural and natural land 0
15% Savannah burning 1880 1900 1920 1940 1960 1980 2000
Deforestation
4% 4% Agricultural waste burning Year
59%
25
Energy
3% 6% 0% 5% 0% Fossil fuel combustion
4% 3% 29%
Biomass burning
between 1990 and 1998 in Europe, the United States, 25
Waste
and Asia. Europe shows the most positive trends in 20
the world. Emission trends in the United States
15
between 1990 and 1998 are somewhat upward for
the nitrogen components, whereas SO2 and volatile 10
organic compounds (VOCs) show a downward trend 5
of 18 and 14%, respectively. Emissions of SO2, NOx,
0
NH3, and VOCs show a downward trend of 41, 21,
1880 1900 1920 1940 1960 1980 2000
14, and 24%, respectively. Clearly, policy has been
Year
much more successful in Europe than in the United
States. FIGURE 5 Trend in global SO2, NOx, and NH3 emissions of
Table I shows that emissions of SO2 and VOCs in different sources. Data from van Ardenne et al. (2001).
the United States and Europe have decreased,
whereas in Asia they have increased. The nitrogen achieved through protocols under the Convention of
components decreased only in Europe, whereas in Long-Range Transboundary Air Pollution, with the
the United States they remained about the same. In multipollutant–multieffect protocol signed in 1999
Asia, NOx emissions more than doubled, whereas for in Gothenburg being the most recent.
NH3 no data are available. There is a distinct
difference between the policies in the United States
5.1 United States
and those in Europe to combat acidification. In the
United States, the Clean Air Act is the driving force For SO2, the Acid Rain Program places a mandatory
to reduce emissions, and in Europe the reductions are ceiling, or cap, on emissions nationwide from electric
8 Acid Deposition and Energy Use
Air concentrations
Visibility
Deposition
Health (acute) Health (chronic)
Soil processes
Soil nutrient
reserves
Forest ecosystem
health
Materials
Climate change
FIGURE 6 Relative response times to changes in emissions. Data from U.S. National Acid Precipitation Assessment
Program (2000) and Galloway (2001).
to centuries before the forest ecosystem or soil trends) rates of base cation declines. Hence, it was
nutrient status respond to the reductions. This concluded that the observed recovery was associated
difference in response times has to be taken into with declining SO4.
account when evaluating the changes in effect In the most acidic sites in central Europe,
parameters, especially because the decrease in emis- improvements in water quality have not yet resulted
sions started in the 1980s and 1990s. in improvements in biology. Biological improvements
of these sites require considerable improvements in
water quality with respect to acidification.
7.1 Surface Water In many lakes in Scandinavia, there is evidence of a
Lake ecosystems have improved in northern Europe small but significant recovery and many species that
and North America, where emission reductions died because of acidification are returning. The posi-
occurred. In general, SO4 concentrations have tive signs are mainly observed in lakes and streams
decreased following the emission trends, but nitrogen with limited acidification. For the most acidified
concentrations have not shown changes. Data from waters, the signs of recovery are still small and unclear.
98 sites were tested for trends in concentrations over In a study by Stoddard et al., data for 205 sites in
the 10-year period 1989–1998. The (grouped) sites eight regions in North America and Europe between
clearly showed significant decreases in SO4 concen- 1980 and 1995 were used to test trends. The data they
trations. Nitrate, however, showed no regional used were primarily from the International Co-
patterns of change, except possibly for central operative Program (ICP) Waters study. They found
Europe: Decreasing trends occurred in the Black trends of decreasing SO4 concentrations in all regions
Triangle. Concentrations of base cations declined in except the United Kingdom and no or very small
most regions. All regions showed tendencies toward changes in NO3. SO4 levels declined from 0 to 4 meq/
increasing dissolved organic carbon. Recovery from liter/year in the 1980s to 1 to 8 meq/liter/year in the
acidification reflected by an increase in surface water 1990s. Recovery of alkalinity was associated with the
acid neutralizing capacity (ANC) and pH was decrease in SO4, especially in the 1990s.
significant in the Nordic countries/United Kingdom
region. In central Europe, there was a regional
7.2 Forests
tendency toward increasing ANC, but large spatial
differences were found with the low ANC sites Forested catchments in Europe are studied within the
showing the largest recovery. Nonforested sites ICP Integrated Monitoring (IM). These sites are
showed clear and consistent signals of recovery in located in undisturbed areas, such as natural parks
ANC and pH and appropriate (relative to SO4 or comparable areas. The network currently covers
Acid Deposition and Energy Use 11
50 sites in 22 countries. Fluxes and trends of sulfur total transnational tree sample, mean defoliation is
and nitrogen compounds were recently evaluated for 19.7%. Of the main tree species, Quercus robur has
22 sites. The site-specific trends were calculated for the highest defoliation (25.1%), followed by Picea
deposition and runoff water fluxes and concentra- abies (19.7%), Fagus sylvatica (19.6%), and Pinus
tions using monthly data and nonparametric meth- sylvestris (18.9%). The trend in defoliation over 14
ods. Statistically significant downward trends of SO4 years for continuously observed plots shows the
and NO3 bulk deposition (fluxes and concentrations) sharpest deterioration of Pinus pinaster and Quercus
were observed at 50% of the sites. Sites with higher iles in southern Europe. Fagus sylvatica deteriorated
nitrogen deposition and lower carbon/nitrogen ratios in the sub-Atlantic, mountainous (south), and con-
clearly showed an increased risk of elevated nitrogen tinental regions. Picea abies deteriorated in several
leaching. Decreasing SO4 and base cation trends in parts of Europe but improved in the main damage
output fluxes and/or concentrations of surface/soil areas of central Europe since the mid-1990s.
water were commonly observed at the ICP IM sites. Because there are no specific symptoms of
At several sites in Nordic countries, decreasing NO3 individual types of damage, defoliation reflects the
and H þ trends (increasing pH) were also observed. impact of many different natural and anthropogenic
These results partly confirm the effective implemen- factors. Weather conditions and biotic stresses are
tation of emission reduction policy in Europe. most frequently cited. Several countries refer to air
However, clear responses were not observed at all pollution as a predisposing, accompanying, or
sites, showing that recovery at many sensitive sites triggering factor, but the degree to which air
can be slow and that the response at individual sites pollution explains the spatial and temporal varia-
may vary greatly. tion of defoliation on the large scale cannot be
Defoliation and discoloration of stands have been derived from crown condition assessment alone.
monitored in Europe on a regular 16 16-km grid Statistical analysis of 262 of the 860 level 2 plots
since 1986—the so-called level 1 program [ICP- indicates that defoliation is influenced mainly by
Forests (F)]. The network currently covers 374,238 stand age, soil type, precipitation, and nitrogen and
sample trees distributed on 18,717 plots in 31 sulfur deposition. These factors explain 30–50% of
countries. At approximately 900 sites in Europe, the variation. Nitrogen deposition correlated with
key parameters, such as deposition, growth, soil defoliation of spruce and oak, and sulfur deposition
chemistry, and leaf content, have been monitored was found to correlate with defoliation of pine,
since 1994 to study cause–effect relationships and the spruce, and oak. Calculated drought stress was
chemical and physical parameters determining forest found to impact nearly all tree species, whereas
ecosystem vitality (level 2). The duration of the level calculated ozone mainly impacted broadleaves,
2 program is too short for trend detection. These data specifically the common beech trees.
are more relevant for studying cause–effect relation-
ships. Figure 7 shows the annual variation in
defoliation for different tree species in Europe as 8. FUTURE ABATEMENT
reported in the extended summary report by ICP-F. It
is concluded by ICP-F that in all parts of Europe There are basically two ways of reducing acid
there is defoliation to a various extent. Of the 1999 deposition. Emission control technologies can be
attached to smokestacks at power plants and other
Pinus sylvestris Fagus sylvatica
industries, removing the acid gases before they are
Picea abies Pinus pinaster emitted into the atmosphere. In coal-fired power
Quercus robur Quercus ilex
plants, sulfur emissions are removed with a ‘‘scrub-
ber,’’ in which a limestone slurry is injected into the
Mean defoliation (%)
30
25 flue gas to react with the SO2. The resulting gypsum
20 slurry can eventually be used in other industrial
15
processes. The main problem with scrubbers is that
10
5 they are expensive, and they decrease the overall
0 operating efficiency of a power plant. The decreased
1988 1990 1992 1994 1996 1998 2000 efficiency results in increased emissions of carbon
Year dioxide, a greenhouse gas.
FIGURE 7 Development of mean defoliation of the six most The other alternative to reduce acid deposition is
abundant species in Europe. Data from ICP (2000). to burn less high-sulfur fossil fuel. This can be
12 Acid Deposition and Energy Use
accomplished by switching to alternative sources of production and use will not lead to drastic changes
energy or improving the efficiency of energy-con- in the energy systems. In order to abate these
suming technologies. Coal-fired power plants can emissions from energy production, a multiple-
reduce SO2 emissions by burning coal with a lower pollutant approach should be used; that developed
sulfur content. Another alternative is for these power within the Göteborg Protocol appears to be very
plants to switch to fuels with lower acid gas promising. Unless yet-to-be developed carbon se-
emissions, such as natural gas. Ultimately, the most questration technology emerges, decreasing CO2
effective ways to reduce acid rain are the use of emissions will automatically decrease NOx and
renewable energy and improving energy efficiency. SO2, although this has to be proved. On the
Such measures will decrease the use of fossil fuels contrary, NOx and SO2 abatement almost always
and therewith reduce the emissions. Renewable leads to increased energy use and thus increased CO2
energy technologies, such as solar and wind energy, emissions. These technologies are focused on en-
can produce electricity without any emissions of SO2 hanced combustion, producing less NOx (lean burn),
or NOx. There are also many ways to decrease or using end of pipe technologies, such as SCR or
consumption of energy by improving the efficiency of scrubbers. Both technologies decrease energy effi-
end-use technologies. Both renewable energy and ciency, and the majority of SCR technologies require
energy efficiency have the added benefit that they ammonia or urea as a reductor, which is produced
also result in reduced emissions of carbon dioxide, from natural gas.
the greenhouse gas most responsible for global
warming. 8.1 Consequences of Carbon
It is technically feasible and likely economically
Management: Addressing Greenhouse
possible to further decrease NOx emissions from
Gases for Energy Nitrogen and Sulfur
fossil fuel combustion to the point at which they
become only a minor disturbance to the nitrogen If the energy system of the world remains based on
cycle at all scales. Clean electric generation and fossil fuels throughout the 21st century and little is
transportation technologies are commercially avail- done to target the atmospheric emissions of CO2, it
able today, or will be commercially available within is plausible that the atmospheric CO2 concentration
one or two decades, that have the potential to further may triple its ‘‘preindustrial’’ concentration of
decrease NOx emissions in industrialized countries approximately 280 parts per million by the year
and to decrease NOx emissions from projected 2100. Strategies to slow the rate of buildup of
business-as-usual levels in developing countries. In atmospheric CO2 are being developed worldwide,
addition, technologies currently under development, and all appear to have a positive effect of reducing
such as renewable energy and hydrogen-based fuel the production of energy nitrogen and sulfur. First
cells, could operate with zero NOx emissions. among these strategies is an increase in the efficiency
During the 1970s, major attention was given to of energy use throughout the global economy,
energy conservation measures designed to avoid resulting in less energy required to meet the variety
depletion of coal, crude oil, and gas reserves. Since of amenities that energy provides (e.g., mobility,
then, the known reserves of natural gas have comfort, lighting, and material goods). Greater
increased from 40,000 to 146,400 billion m3 in energy efficiency directly decreases energy nitrogen
1998. The current world coal, crude oil, and natural and sulfur.
gas reserves are estimated to be 143,400, 500, and Other CO2 emission-reduction strategies address
131,800 Mtoe, respectively (Mtoe ¼ million ton oil the composition of energy supply. First, nuclear energy
equivalents). Thus, there appears to be enough fossil and renewable energy are nonfossil alternatives,
fuel available for at least 50–100 years, and it is resulting in CO2 emissions only to the extent that
expected that this will increase as new technologies fossil fuels are used to produce the nonfossil energy
become available with which to discover and add production facilities. Neither nuclear nor renewable
new sources of fossil fuels. The current world energy sources produce energy nitrogen and sulfur, but
concern about fossil fuel combustion is driven by nuclear waste is another source of concern.
the apparent necessity to decrease CO2 emissions. Second, the mix of coal, oil, and natural gas in the
The increase in CO2 content of the atmosphere and energy supply affects CO2 emissions because they
the associated climate change will call for a drastic have different carbon intensities (carbon content per
change in energy production and use. Focusing only unit of thermal energy). Specifically, coal has the
on SO2 and NOx as pollutants from energy highest and natural gas the lowest carbon intensity so
Acid Deposition and Energy Use 13
that shifts from coal to oil or natural gas and shifts most important ones (e.g., oxygen, carbon dioxide,
from oil to natural gas, other factors held constant, nitrogen, and sulfur compounds) are released by the
reduce the greenhouse effect of the fossil fuel system. activity of organisms. Often with the help of the
The nitrogen and sulfur intensity of fossil fuels water cycle, they pass through the atmosphere and
(nitrogen and sulfur content per unit of thermal are eventually taken up again into soil, surface water,
energy) differ in the same way (i.e., on average, the and organic matter. Through technology related to
intensity of coal is highest and the intensity of natural energy production and use, humans have added
gas is lowest). Thus, fuel shifts within the fossil fuel enormously to the atmospheric burden of some of
system that reduce greenhouse effects will also these substances, with far-reaching consequences for
reduce fossil nitrogen and sulfur. life and the environment. The evidence is clearest in
Third, many countries throughout the world are the case of acid deposition: gases, particles, and
investing in research, development, and demonstra- precipitation depositing to the surface causing
tion projects that explore the various forms of acidification.
capturing carbon from combustion processes before In North America and in some European nations,
it reaches the atmosphere and sequestering it on site public concern regarding the effects of acid rain has
or off. Several available technologies can be used to been transformed into regulations restricting the
separate and capture CO2 from fossil-fueled power amount of SO2 and NOx released by electric utilities
plant flue gases, from effluents of industrial processes and industries. The result has been a decrease in
such as iron, steel, and cement production, and from annual acidic deposition in some areas, especially
hydrogen production by reforming natural gas. CO2 due to the reduction in sulfates. There is also
can be absorbed from gas streams by contact with evidence that when acid deposition is reduced,
amine-based solvents or cold methanol. It can be ecosystems can recover. The chemistry of several
removed by absorption on activated carbon or other lakes has improved during the past 20 years, but full
materials or by passing the gas through special biological recovery has not been observed. Nitrogen
membranes. However, these technologies have not has become the main concern because emissions have
been applied at the scale required to use them as part been reduced much less than those of SO2. In the
of a CO2 emissions mitigation strategy. The goal is to future, it will be very important for the industrialized
sequester the carbon in a cost-effective way, for world to transfer its technology and experience to the
example, as CO2 injected deep below ground in developing world in order to ensure that the same
saline aquifers. This is a relatively new area of acid rain problems do not occur as these countries
research and development, and little attention has consume more energy during the process of indus-
been given to the consequences of fossil carbon trialization. Whereas in the past few years the acid
sequestration for energy nitrogen and sulfur, but deposition decreased in Europe and the United
decreases are a likely result. For example, to capture States, an increase has been observed in Asia. It is
and sequester the carbon in coal will require the essential to establish or optimize monitoring pro-
gasification of coal and the subsequent production of grams aimed at following the trends in acid deposi-
hydrogen and a CO2 gas stream. Coal nitrogen or tion and recovery.
sulfur should be amenable to independent manage- The acid deposition levels in the industrialized
ment, with results that include extraction as a areas of the world are well above the critical
saleable product or cosequestration below ground thresholds of different ecosystems. Because energy
with CO2. The first of these results is one of many emissions are the largest source for acid deposition,
‘‘polygeneration’’ strategies for coal, in which pro- abatement is necessary. Multipollutant–multieffect
ducts may include electricity, hydrogen, process heat, approaches are necessary to ensure that measures are
hydrocarbons, dimethyl ether, and nitrogen. The cost-effective and do not create problems for other
long-term goal is to run the economy on noncarbon areas. It has to be determined which effects limit the
secondary energy sources, specifically electricity and emissions in different areas most: Is it because of the
hydrogen, while sequestering emissions of CO2. air quality and the effects on humans, or is it the
ecosystem loading? In this way, regional emissions
can be optimized and caps can be set to prevent any
9. CONCLUSION effects. Furthermore, it is probably most effective to
follow CO2 emission reduction options and to then
The atmosphere functions as a pool and chemical consider SO2 and NOx, instead of the reverse. In
reaction vessel for a host of substances. Many of the most cases, when CO2 emission is decreased, SO2
14 Acid Deposition and Energy Use
and NOx are also decreased, whereas if measures to Gorham, E. (1994). Neutralising acid rain. Nature 367, 321.
reduce SO2 and NOx are taken first, CO2 is increased Hedin, L. O., Granat, L., Likens, G. E., Buishand, T. A., Galloway,
J. N., Butler, T. J., and Rodhe, H. (1994). Steep declines in
because of the energy penalty or additional energy atmospheric base cations in regions of Europe and North
use of abatement options. America. Nature 367, 351–354.
Heij, G. J., and Erisman, J. W. (1997). Acidification research in
the Netherlands; Report of third and last phase. Stud. Environ.
Sci. 69.
SEE ALSO THE ICP (2000). Forest condition in Europe, 2000 executive report. In
‘‘UN ECE Convention on Long-Range Transboundary Air
FOLLOWING ARTICLES Pollution International Co-operative Programme on Assessment
and Monitoring of Air Pollution Effects on Forests.’’ Federal
Air Pollution from Energy Production and Use Air Research Centre for Forestry and Forest Products (BFH),
Pollution, Health Effects of Biomass: Impact on Hamburg, Germany.
Carbon Cycle and Greenhouse Gas Emissions ICP Waters (2000). The 12-year report: Acidification of surface
water in Europe and North America; Trends, biological
Clean Air Markets Ecosystem Health: Energy recovery and heavy metals. Norwegian Institute for Water
Indicators Ecosystems and Energy: History and Research, Oslo.
Overview Greenhouse Gas Emissions from Energy IPCC (2000). Third assessment report on climate change. UN/
Systems, Comparison and Overview Hazardous FCCC, Bonn, Germany.
Waste from Fossil Fuels Lee, D. S., Espenhahn, S. E., and Baker, S. (1998). Evidence for
long-term changes in base cations in the atmospheric aerosol.
J. Geophys. Res. 103, 21955–21966.
Matyssek, R., Keller, T., and Günthardt-Goerg, M. S. (1990).
Further Reading Ozonwirkungen auf den verschiedenen Organisationse-
Breemen, N. van, Burrough, P. A., Velthorst, E. J., Dobben, H. F. benen in Holzpflanzen. Schweizerische Z. Forstwesen 141,
van, Wit, T. de, Ridder, T. B., and Reinders, H. F. R. (1982). Soil 631–651.
acidification from atmospheric ammonium sulphate in forest Mylona, S. (1993). Trends of sulphur dioxide emissions, air
canopy throughfall. Nature 299, 548–550. concentrations and depositions of sulphur in Europe since
Brimblecombe, P. (1989). ‘‘The Big Smoke.’’ Routledge, London. 1880, EMEP/MSC-W Report 2/93. Norwegian Meteorological
Chadwick, M. J., and Hutton, M. (1990). ‘‘Acid Depositions in Institute, Oslo.
Europe. Environemental Effects, Control Strategies and Policy Nihlgård, B. (1985). The ammonium hypothesis—An addi-
Options.’’ Stockholm Environmental Institute, Stockholm, tional explanation for the forest dieback in Europe. Ambio
Sweden. 14, 2–8.
Cowling, E., Galloway, J., Furiness, C., Barber, M., Bresser, T., Nilles, M. A., and Conley, B. E. (2001). Changes in the chemistry
Cassman, K., Erisman, J. W., Haeuber, R., Howarth, R., of precipitation in the United States, 1981–1998. Water Air Soil
Melillo, J., Moomaw, W., Mosier, A., Sanders, K., Seitzinger, S., Pollut. 130, 409–414.
Smeulders, S., Socolow, R., Walters, D., West, F., and Zhu, Z. Nilsson, J. (1986). Critical deposition limits for forest soils. In
(2001). Optimizing nitrogen management in food and energy ‘‘Critical Loads for Nitrogen and Sulphur’’ (J. Nilsson, Ed.),
production and environmental protection: Proceedings of the Miljrapport 1986, Vol. 11, pp. 37–69. Nordic Council of
2nd International Nitrogen Conference on Science and Policy. Ministers, Copenhagen.
Sci. World 1(Suppl. 2), 1–9. Nilsson, J., and Grennfelt, P. (1988). ‘‘Critical Loads for Sulphur
EMEP/MSC-W (1998). Transboundary acidifying air pollution in and Nitrogen,’’ Miljrapport 1988, Vol. 15. Nordic Council of
Europe. Estimated dispersion of acidifying and eutrophying Ministers, Copenhagen.
compounds and comparison with observations, MSC-W Smil, V. (2000). Energy in the twentieth century. Annu. Rev.
(Meteorological Synthesizing Centre–West) status report. Nor- Energy Environ. 25, 21–51.
wegian Meteorological Institute, Oslo, Norway. Smith, R. A. (1852). On the air and rain of Manchester.
Erisman, J. W. (2000). Editorial: History as a basis for the future: Manchester Literary Philos. Soc. 10, 207–217.
The environmental science and policy in the next millennium. Smith, R. A. (1872). ‘‘Air and Rain. The Beginnings of a Chemical
Environ. Sci. Pollut. 3, 5–6. Climatology.’’ Longmans, Green, London.
Erisman, J. W., and Draaijers, G. P. J. (1995). Atmospheric Stoddard, J. L., Jeffries, D. S., Lukewille, A., Clair, T. A., Dillon, P.
deposition in relation to acidification and eutrophication. Stud. J., Driscoll, C. T., Forsius, M., Johannessen, M., Kahl, J. S.,
Environ. Res. 63. Kellogg, J. H., Kemp, A., Mannio, J., Monteith, D. T.,
Erisman, J. W., Grennfelt, P., and Sutton, M. (2001). Nitrogen Murdoch, P. S., Patrick, S., Rebsdorf, A., Skjelkvale, B. L.,
emission and deposition: The European Perspective. Sci. World Stainton, M. P., Traaen, T., van Dam, H., Webster, K. E.,
1, 879–896. Wieting, J., and Wilander, A. (1999). Regional trends in aquatic
European Environmental Agency (1999). ‘‘Environment in the recovery from acidification in North America and Europe.
European Union at the Turn of the Century.’’ European Nature 401, 575–578.
Environmental Agency, Copenhagen. Streets, D. G., Tsai, N. Y., Akimoto, H., and Oka, K. (2001).
European Environmental Agency (2000). ‘‘Environmental Signals Trends in emissions of acidifying species in Asia, 1985–1997.
2000.’’ European Environmental Agency, Copenhagen. Water Air Soil Pollut. 130, 187–192.
Galloway, J. N. (2001). Acidification of the world: Natural and Ulrich, B. (1983). Interaction of forest canopies with atmospheric
anthropogenic. Water Soil Air Pollut. 130, 17–24. constituents: SO2, alkali and earth alkali cations and chloride.
Acid Deposition and Energy Use 15
In ‘‘Effects of Accumulation of Air Pollutants in Forest resolution data set of historical anthropogenic trace gas
Ecosystems’’ (B. Ulrich and J. Pankrath, Eds.), pp. 33–45. emissions for the period 1890–1990. Global Biogeochem. Cycl.
Reidel, Germany. 15, 909–928.
U.S. National Acid Precipitation Assessment Program (2000). WGE (2000). 9th annual report 2000. In ‘‘UN ECE Convention on
‘‘Acid Deposition: State of Science and Technology Progress Long-Range Transboundary Air Pollution International Co-
Report 2000.’’ U.S. National Acid Precipitation Assessment operative Programme on Integrated Monitoring of Air Pollution
Program, Washington, DC. Effects on Ecosystems’’ (S. Kleemola and M. Forsius, Eds.).
Van Ardenne, J. A., Dentener, F. J., Olivier, J. G. J., Klein Working Group on Effects of the Convention on Long-Range
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Aggregation of Energy
CUTLER J. CLEVELAND and ROBERT K. KAUFMANN
Boston University
Boston, Massachusetts, United States
DAVID I. STERN
Rensselaer Polytechnic Institute
Troy, New York, United States
(GDP). First, a quality-adjusted index of energy energy and the fact that thermal equivalents are
consumption is used in an econometric analysis of easily measured. This approach underlies most
the causal relation between energy use and GDP methods of energy aggregation in economics and
from 1947 to 1996. Second, we account for energy ecology, such as trophic dynamics national energy
quality in an econometric analysis of the factors that accounting, energy input–output modeling in econo-
determined changes in the energy/GDP ratio from mies and ecosystems, most analyses of the energy/
1947 to 1996. Without adjusting for energy quality, gross domestic product (GDP) relationship and
the results imply that the energy surplus from energy efficiency, and most net energy analyses.
petroleum extraction is increasing, that changes in Despite its widespread use, aggregating different
GDP drive changes in energy use, and that GDP has energy types by their heat units embodies a serious
been decoupled from aggregate energy. These con- flaw: It ignores qualitative differences among energy
clusions are reversed when we account for changes in vectors. We define energy quality as the relative
energy quality. economic usefulness per heat equivalent unit of
different fuels and electricity. Given that the compo-
sition of energy use changes significantly over time
1. ENERGY AGGREGATION AND (Fig. 1), it is reasonable to assume that energy quality
has been an important economic driving force. The
ENERGY QUALITY quality of electricity has received considerable atten-
tion in terms of its effect on the productivity of labor
Aggregation of primary-level economic data has
and capital and on the quantity of energy required to
received substantial attention from economists for a
produce a unit of GDP. Less attention has been paid
number of reasons. Aggregating the vast number of
to the quality of other fuels, and few studies use a
inputs and outputs in the economy makes it easier for
quality-weighting scheme in empirical analysis of
analysts to discern patterns in the data. Some
energy use.
aggregate quantities are of theoretical interest in
The concept of energy quality needs to be
macroeconomics. Measurement of productivity, for
distinguished from that of resource quality. Petro-
example, requires a method to aggregate goods
leum and coal deposits may be identified as high-
produced and factors of production that have diverse
quality energy sources because they provide a very
and distinct qualities. For example, the post-World
high energy surplus relative to the amount of energy
War II shift toward a more educated workforce and
required to extract the fuel. On the other hand, some
from nonresidential structures to producers’ durable
forms of solar electricity may be characterized as a
equipment requires adjustments to methods used to
measure labor hours and capital inputs. Econometric
and other forms of quantitative analysis may restrict
100
the number of variables that can be considered in a
specific application, again requiring aggregation.
Many indexes are possible, so economists have
focused on the implicit assumptions made by the 75
Percent of total energy use
low-quality source because they have a lower energy vector’s marginal product varies according to the
return on investment (EROI). However, the latter activities in which it is used; how much and what
energy vector may have higher energy quality form of capital, labor, and materials it is used in
because it can be used to generate more useful conjunction with; and how much energy is used in
economic work than one heat unit of petroleum or each application. As the price rises due to changes on
coal. the supply side, users can reduce their use of that
Taking energy quality into account in energy form of energy in each activity, increase the amount
aggregation requires more advanced forms of aggre- and sophistication of capital or labor used in
gation. Some of these forms are based on concepts conjunction with the fuel, or stop using that form
developed in the energy analysis literature, such as of energy for lower value activities. All these actions
exergy or emergy analysis. These methods take the raise the marginal productivity of the fuel. When
following form: capital stocks have to be adjusted, this response may
X
N be somewhat sluggish and lead to lags between price
Et ¼ lit Eit ; ð2Þ changes and changes in the value marginal product.
i¼1 The heat equivalent of a fuel is just one of the
where l represents quality factors that may vary attributes of the fuel and ignores the context in which
among fuels and over time for individual fuels. In the the fuel is used; thus, it cannot explain, for example,
most general case that we consider, an aggregate why a thermal equivalent of oil is more useful in
index can be represented as many tasks than is a heat equivalent of coal. In
addition to attributes of the fuel, marginal product
X
N
also depends on the state of technology, the level of
f ðEt Þ ¼ lit gðEit Þ; ð3Þ
i¼1
other inputs, and other factors. According to
neoclassical theory, the price per heat equivalent of
where f( ) and g( ) are functions, lit are weights, the Ei fuel should equal its value marginal product and,
are the N different energy vectors, and Et is the therefore, represent its economic usefulness. In
aggregate energy index in period t. An example of theory, the market price of a fuel reflects the myriad
this type of indexing is the discrete Divisia index or factors that determine the economic usefulness of a
Tornquist–Theil index described later. fuel from the perspective of the end user.
Consistent with this perspective, the price per heat
equivalent of fuel varies substantially among fuel
2. ECONOMIC APPROACHES TO types (Table I). The different prices demonstrate that
ENERGY QUALITY end users are concerned with attributes other than
heat content. Ernst Berndt, an economist at MIT,
From an economic perspective, the value of a heat noted that because of the variation in attributes
equivalent of fuel is determined by its price. Price- among energy types, the various fuels and electricity
taking consumers and producers set marginal utilities are less than perfectly substitutable, either in
and products of the different energy vectors equal to production or in consumption. For example, from
their market prices. These prices and their marginal the point of view of the end user, 1 Btu of coal is not
productivities and utilities are set simultaneously in perfectly substitutable with 1 Btu of electricity; since
general equilibrium. The value marginal product of a the electricity is cleaner, lighter, and of higher quality,
fuel in production is the marginal increase in the most end users are willing to pay a premium price per
quantity of a good or service produced by the use of Btu of electricity. However, coal and electricity are
one additional heat unit of fuel multiplied by the substitutable to a limited extent because if the
price of that good or service. We can also think of the premium price for electricity were too high, a
value of the marginal product of a fuel in household substantial number of industrial users might switch
production. to coal. Alternatively, if only heat content mattered
The marginal product of a fuel is determined in and if all energy types were then perfectly substitu-
part by a complex set of attributes unique to each table, the market would tend to price all energy types
fuel, such as physical scarcity, the capacity to do at the same price per Btu.
useful work, energy density, cleanliness, amenability Do market signals (i.e., prices) accurately reflect
to storage, safety, flexibility of use, and cost of the marginal product of inputs? Empirical analysis of
conversion. However, the marginal product is not the relation between relative marginal product and
uniquely fixed by these attributes. Rather, the energy price in U.S. energy markets suggests that this is
20 Aggregation of Energy
example, impact resistance, heat resistance, corro- produce and therefore are considered more econom-
sion resistance, stiffness, space maintenance, con- ically useful.
ductivity, strength, ductility, or other properties of Several aspects of the emergy methodology reduce
metals that determine their usefulness. Like prices, its usefulness as a method for aggregating energy
exergy does not reflect all the environmental costs of and/or material flows. First, like enthalpy and exergy,
fuel use. The exergy of coal, for example, does not emergy is one-dimensional because energy sources
reflect coal’s contribution to global warming or its are evaluated based on the quantity of embodied
impact on human health relative to natural gas. The solar energy and crustal heat. However, is the
exergy of wastes is at best a rough first-order usefulness of a fuel as an input to production related
approximation of environmental impact because it to its transformity? Probably not. Users value coal
does not vary with the specific attributes of a waste based on it heat content, sulfur content, cost of
material and its receiving environment that cause transportation, and other factors that form the
harm to organisms or that disrupt biogeochemical complex set of attributes that determine its useful-
cycles. In theory, exergy can be calculated for any ness relative to other fuels. It is difficult to imagine
energy or material, but in practice the task of how this set of attributes is in general related to,
assessing the hundreds (thousands?) of primary and much less determined by, the amount of solar energy
intermediate energy and material flows in an required to produce coal. Second, the emergy
economy is daunting. methodology is inconsistent with its own basic
tenant, namely that quality varies with embodied
energy or emergy. Coal deposits that we currently
extract were laid down over many geological periods
3.2 Emergy
that span half a billion years. Coals thus have vastly
The ecologist Howard Odum analyzes energy and different embodied emergy, but only a single
materials with a system that traces their flows within transformity for coal is normally used. Third, the
and between society and the environment. It is emergy methodology depends on plausible but
important to differentiate between two aspects of arbitrary choices of conversion technologies (e.g.,
Odum’s contribution. The first is his development of boiler efficiencies) that assume users choose one fuel
a biophysically based, systems-oriented model of the relative to another and other fuels based principally
relationship between society and the environment. on their relative conversion efficiencies in a particular
Here, Odum’s early contributions helped lay the application. Finally, the emergy methodology relies
foundation for the biophysical analysis of energy and on long series of calculations with data that vary in
material flows, an area of research that forms part of quality. However, little attention is paid to the
the intellectual backbone of ecological economics. sensitivity of the results to data quality and
The insight from this part of Odum’s work is uncertainty, leaving the reader with little or no sense
illustrated by the fact that ideas he emphasized— of the precision or reliability of the emergy calcula-
energy and material flows, feedbacks, hierarchies, tions.
thresholds, and time lags—are key concepts of the
analysis of sustainability in a variety of disciplines.
The second aspect of Odum’s work, which we are
concerned with here, is a specific empirical issue: the 4. CASE STUDY 1: NET ENERGY
identification, measurement, and aggregation of FROM FOSSIL FUEL EXTRACTION
energy and material inputs to the economy, and their IN THE UNITED STATES
use in the construction of indicators of sustainability.
Odum measures, values, and aggregates energy of One technique for evaluating the productivity of
different types by their transformities. Transformities energy systems is net energy analysis, which com-
are calculated as the amount of one type of energy pares the quantity of energy delivered to society by
required to produce a heat equivalent of another type an energy system to the energy used directly and
of energy. To account for the difference in quality of indirectly in the delivery process. EROI is the ratio of
thermal equivalents among different energies, all energy delivered to energy costs. There is a long
energy costs are measured in solar emjoules, the debate about the relative strengths and weaknesses of
quantity of solar energy used to produce another net energy analysis. One restriction on net energy
type of energy. Fuels and materials with higher analysis’ ability to deliver the insights it promises is
transformities require larger amounts of sunlight to its treatment of energy quality. In most net energy
Aggregation of Energy 23
EROI
Following the definitions in Eq. (2), a quality-
corrected EROI* is defined by
Pn o
10 Divisia
i¼1 li;t Ei;t
EROIt ¼ Pn c ; ð6Þ Thermal equivalent
i¼1 li;t Ei;t
of this relationship. One statistical approach to vector autoregression model of GDP, energy use,
address this question is Granger causality and/or capital, and labor inputs. The study measures energy
cointegration analysis. Granger causality tests use by its thermal equivalents and the Divisia
whether (i) one variable in a relation can be aggregation method discussed previously. The rela-
meaningfully described as a dependent variable and tion among GDP, the thermal equivalent of energy
the other variable as an independent variable, (ii) the use, and the Divisia energy use indicates that there is
relation is bidirectional, or (iii) no meaningful less ‘‘decoupling’’ between GDP and energy use when
relation exists. This is usually done by testing the aggregate measure for energy use accounts for
whether lagged values of one of the variables add qualitative differences (Fig. 3). The multivariate
significant explanatory power to a model that methodology is important because changes in energy
already includes lagged values of the dependent use are frequently countered by substitution with
variable and perhaps also lagged values of other labor and/or capital and thereby mitigate the effect of
variables. changes in energy use on output. Weighting energy
Although Granger causality can be applied to both use for changes in the composition of the energy
stationary and integrated time series (time series that input is important because a large portion of the
follow a random walk), cointegration applies only to growth effects of energy is due to substitution of
linear models of integrated time series. The irregular higher quality energy sources such as electricity for
trend in integrated series is known as a stochastic lower quality energy sources such as coal (Fig. 1).
trend, as opposed to a simple linear deterministic Bivariate tests of Granger causality show no
time trend. Time series of GDP and energy use are causal order in the relation between energy and
usually integrated. Cointegration analysis aims to GDP in either direction, regardless of the measure
uncover causal relations among variables by deter- used to qualify energy use (Table III). In the
mining if the stochastic trends in a group of variables multivariate model with energy measured in primary
are shared by the series so that the total number of Btus, GDP was found to ‘‘Granger cause’’ energy use.
unique trends is less than the number of variables. It However, when both innovations—a multivariate
can also be used to test if there are residual stochastic model and energy use adjusted for quality—are
trends that are not shared by any other variables. employed, energy Granger causes GDP. These results
This may be an indication that important variables show that adjusting energy for quality is important,
have been omitted from the regression model or that as is considering the context within which energy use
the variable with the residual trend does not have is occurring. The conclusion that energy use plays an
long-term interactions with the other variables. important role in determining the level of economic
Either of these conclusions could be true should
there be no cointegration. The presence of cointegra-
tion can also be interpreted as the presence of a long-
450
term equilibrium relationship between the variables GDP
250
TABLE III
Energy GDP Causality Tests for the United States, 1947–1990a
Quality-adjusted Quality-adjusted
Primary Btus energy Primary Btus energy
a
The test statistic is an F statistic. Significance levels in italics. A significant statistic indicates that there is Granger causality in the
direction indicated.
activity is consistent with results of price-based electricity is electricity generated from hydro, nucle-
studies of other energy economists. ar, solar, or geothermal sources; PCE is real personal
consumption expenditures spent directly on energy
by households; product mix measures the fraction of
6. CASE STUDY 3: THE GDP that originates in energy-intensive sectors (e.g.,
DETERMINANTS OF THE ENERGY/ chemicals) or non-energy-intensive sectors (e.g.,
services); and price is a measure of real energy prices.
GDP RELATIONSHIP The effect of energy quality on the E/GDP ratio is
measured by the fraction of total energy consump-
One of the most widely cited macroeconomic
tion from individual fuels. The sign on the regression
indicators of sustainability is the ratio of total energy
coefficients b1–b3 is expected to be negative because
use to total economic activity, or the energy/real GDP
natural gas, oil, and primary electricity can do more
ratio (E/GDP ratio). This ratio has declined since
useful work (and therefore generate more economic
1950 in many industrial nations. There is contro-
output) per heat unit than coal. The rate at which an
versy regarding the interpretation of this decline.
increase in the use of natural gas, oil, or primary
Many economists and energy analysts argue that the
electricity reduces the E/GDP ratio is not constant.
decline indicates that the relation between energy use
Engineering studies indicate that the efficiency with
and economic activity is relatively weak. This
which energies of different types are converted to
interpretation is disputed by many biophysical
useful work depends on their use. Petroleum can
economists, who argue that the decline in the E/
provide more motive power per heat unit of coal, but
GDP ratio overstates the ability to decouple energy
this advantage nearly disappears if petroleum is used
use and economic activity because many analyses of
as a source of heat. From an economic perspective,
the E/GDP ratio ignore the effect of changes in
the law of diminishing returns implies that the first
energy quality (Fig. 1).
uses of high-quality energies are directed at tasks that
The effect of changes in energy quality (and
are best able to make use of the physical, technical,
changes in energy prices and types of goods and
and economic aspects of an energy type that combine
services produced and consumed) on the E/GDP ratio
to determine its high-quality status. As the use of a
can be estimated using Eq. (7):
high-quality energy source expands, it is used for
E natural gas oil tasks that are less able to make use of the attributes
¼ a þ b1 ln þ b2 ln
GDP E E that confer high quality. The combination of physical
differences in the use of energy and the economic
primary electricity PCE ordering in which they are applied to these tasks
þ b3 ln þ b4 implies that the amount of economic activity
E GDP
generated per heat unit diminishes as the use of a
þ b5 ðproduct mixÞ þ b6 ln ðpriceÞ þ e; ð7Þ high-quality energy expands. Diminishing returns on
energy quality is imposed on the model by specifying
where E is the total primary energy consumption the fraction of the energy budget from petroleum,
(measured in heat units); GDP is real GDP; primary primary electricity, natural gas, or oil in natural
26 Aggregation of Energy
logarithms. This specification ensures that the first index for EROI indicates that the energy surplus
uses of high-quality energies decrease the energy/ delivered by petroleum extraction in the United States
GDP ratio faster than the last uses. is smaller than indicated by unadjusted EROI. The
The regression results indicate that Eq. (7) can be trend over time in a quality-adjusted index of total
used to account for most of the variation in the E/ primary energy use in the U.S. economy is signifi-
GDP ratio for France, Germany, Japan, and the cantly different, and declines faster, than the standard
United Kingdom during the post-World War II period heat-equivalent index. Analysis of Granger causality
and in the United States since 1929. All the variables and cointegration indicates a causal relationship
have the sign expected by economic theory and are running from quality-adjusted energy to GDP but
statistically significant, and the error terms have the not from the unadjusted energy index. The econo-
properties assumed by the estimation technique. metric analysis of the E/real GDP ratio indicates that
Analysis of regression results indicate that changes the decline in industrial economies has been driven in
in energy mix can account for a significant portion of part by the shift from coal to oil, gas, and primary
the downward trend in E/GDP ratios. The change electricity. Together, these results suggest that ac-
from coal to petroleum and petroleum to primary counting for energy quality reveals a relatively strong
electricity is associated with a general decline relationship between energy use and economic out-
in the E/GDP ratio in France, Germany, the United put. This runs counter to much of the conventional
Kingdom, and the United States during the wisdom that technical improvements and structural
post-World War II period (Fig. 4). The fraction of change have decoupled energy use from economic
total energy consumption supplied by petroleum performance. To a large degree, technical change and
increased steadily for each nation through the substitution have increased the use of higher quality
early 1970s. After the first oil shock, the fraction energy and reduced the use of lower quality energy. In
of total energy use from petroleum remained steady economic terms, this means that technical change has
or declined slightly in these four nations. However, been ‘‘embodied’’ in the fuels and their associated
energy mix continued to reduce the E/real GDP energy converters. These changes have increased
ratio after the first oil shock because the fraction of energy efficiency in energy extraction processes,
total energy use from primary electricity increased allowed an apparent decoupling between energy use
steadily. The effect of changes in energy mix on the and economic output, and increased energy efficiency
E/GDP ratio shows no trend over time in Japan, in the production of output.
where the fraction of total energy consumption The manner in which these improvements have
supplied by primary electricity declined through the been largely achieved should give pause for thought.
early 1970s and increased steadily thereafter. This U If decoupling is largely illusory, any increase in the
shape offsets the steady increase in the fraction of cost of producing high-quality energy vectors could
total energy use from petroleum that occurred prior have important economic impacts. Such an increase
to 1973. might occur if use of low-cost coal to generate
These regression results indicate that the historical electricity is restricted on environmental grounds,
reduction in the E/GDP ratio is associated with shifts particularly climate change. If the substitution
in the types of energies used and the types of goods process cannot continue, further reductions in the E/
and services consumed and produced. Diminishing GDP ratio would slow. Three factors might limit
returns to high-quality energies and the continued future substitution to higher quality energy. First,
consumption of goods from energy-intensive sectors there are limits to the substitution process. Even-
such as manufacturing imply that the ability of tually, all energy used would be of the highest quality
changes in the composition of inputs and outputs to variety—electricity—and no further substitution
reduce the E/real GDP ratio further is limited. could occur. Future discovery of a higher quality
energy source might mitigate this situation, but it
would be unwise to rely on the discovery of new
physical principles. Second, because different energy
7. CONCLUSIONS AND sources are not perfect substitutes, the substitution
IMPLICATIONS process could have economic limits that will prevent
full substitution. For example, it is difficult to imagine
Application of the Divisia index to energy use in the an airliner running on electricity. Third, it is likely
U.S. economy illustrates the importance of energy that supplies of petroleum, which is of higher quality
quality in aggregate analysis. The quality-corrected than coal, will decline fairly early in the 21st century.
Aggregation of Energy 27
A France B Germany
0.09 2.60e-4
2.20e-4
0.07
2.00e-4
0.06
1.80e-4
0.05 1.60e-4
1.40e-4
0.04
1950 1960 1970 1980 1990 1955 1965 1975 1985
9.00e-4
1.60e-3
8.00e-4
1.40e-3
7.00e-4
1.20e-3
6.00e-4
1.00e-3 5.00e-4
1955 1965 1975 1985 1950 1960 1970 1980 1990
E United States
25
Thousand Kcal per 1972 dollar
20
15
10
0
1925 1935 1945 1955 1965 1975 1985
FIGURE 4 The results of a regression analysis (Eq. (7) that predicts the E/GDP ratio as a function of fuel mix and other
variables. , actual values; solid lines, values predicted from the regression equation; J, actual values for the United States.
From Kaufmann (1992) and Hall et al. (1986).
28 Aggregation of Energy
air travel demand continues, aviation will become transportation has been typically projected to be
the dominant mode of transportation, perhaps between 3 and 6%/year as an average over future
surpassing the mobility provided by automobiles periods of 10–50 years.
within a century. This evolution of transportation Aviation fuel consumption today corresponds to
demand also suggests an increase in per-person 2–3% of the total fossil fuel use worldwide, more
energy use for transportation. Minimizing energy than 80% of which is used by civil aviation
use has always been a fundamental design goal for operation. Energy use in the production of aircraft
commercial aircraft. However, the growth of air is relatively minor in comparison to that consumed in
transportation renders ever-increasing pressures for their operation. Although the majority of air
improvements in technology and operational effi- transportation demand is supplied by large commer-
ciency to limit environmental impacts. cial aircraft, defined as those aircraft with a seating
In the analysis presented here, trends in aviation capacity of 100 or more, smaller regional aircraft
transportation demand, energy use, and associated have emerged as an important component of both
environmental impacts are examined (Sections 2–4). demand and energy use within air transportation.
In Sections 5 and 6, aircraft systems from an energy For example, in the United States, although regional
conversion perspective are introduced and key aircraft currently perform under 4% of domestic
performance parameters of aircraft technology and RPKs, they account for almost 7% of jet fuel use and
operation are discussed. A technology and opera- for 40–50% of total departures. Future growth in
tional outlook for reduced aircraft energy use is demand for regional aircraft RPKs could be up to
presented in Section 7, followed by a summary of double the rate for large commercial aircraft. Cargo
industry characteristics and economic impacts that operations account for some 10% of total revenue
affect energy use of individual aircraft and the fleet as ton-kilometers and fuel use within the aviation
a whole in Section 8. sector. Economic activity, as measured by world
GDP, is the primary driver for the air cargo industry
growth. World air cargo traffic is expected to grow at
an average annual rate of over 6% for the next
2. ECONOMIC GROWTH, DEMAND, decade.
AND ENERGY USE
compounds (NOy), and soot particulates. Elemental are shown in Fig. 1. The estimates translate to 3.5%
species such as O, H, and N are also formed to an of the total anthropogenic forcing that occurred in
extent governed by the combustion temperature. The 1992 and to an estimated 5% by 2050 for an all-
balance (91.5–92.5%) is composed of O2 and N2. subsonic fleet. Associated increases in ozone levels
Emissions of CO2 and H2O are products of are expected to decrease the amount of ultraviolet
hydrocarbon fuel combustion and are thus directly radiation at the surface of the earth. Future fleet
related to the aircraft fuel consumption, which in composition also impacts the radiative forcing
turn is a function of aircraft weight, aerodynamic estimate. A supersonic aircraft flying at 17–20 km
design, engine design, and the manner in which the would have a radiative forcing five times greater than
aircraft is operated. Emissions of NOx, soot, CO, a subsonic equivalent in the 9- to 13-km range. It is
HC, and SOx are further related to details of the important to note that these estimates are of an
combustor design and, to some extent, to postcom- uncertain nature. Although broadly consistent with
bustion chemical reactions occurring within the
engine. These emissions are thus primarily controlled
by the engine design, but total emissions can be 1992
reduced through improvements in fuel efficiency. 0.12
3.5% of total
Such emissions are therefore typically quoted relative anthropogenic
aspects of the aviation system, operations, and CO2 O3 H2O Contrails Cirrus Direct Total
clouds soot (without
technology determine the impact. Because a majority cirrus
of aircraft emissions are injected into the upper −0.04 clouds)
these IPCC projections, subsequent research re- 1.8–3.2% annual rate of change. In addition to the
viewed by the Royal Commission on Environmental different demand growth projections entailed in such
Protection (RCEP) in the United Kingdom has forecasts, variability in projected emissions also
suggested that the IPCC reference value for the originates from different assumptions about aircraft
climate impact of aviation is likely to be an under- technology, fleet mix, and operational evolution in
estimate. In particular, although the impact of air traffic management and scheduling.
contrails is probably overestimated in Fig. 1, avia- Figure 2 shows historical trends in EI for the U.S.
tion-induced cirrus clouds could be a significant large commercial and regional fleets. Year-to-year
contributor to positive radiative forcing; NOx- variations in EI for each aircraft type, due to different
related methane reduction is less than shown in operating conditions, such as load factor, flight
Fig. 1, reducing the associated cooling effect, and speed, altitude, and routing, controlled by different
growth of aviation in the period 1992–2000 has operators, can be 730%, as represented by the
continued at a rate larger than that used in the IPCC vertical extent of the data symbols (Fig. 2A). For
reference scenario. large commercial aircraft, a combination of techno-
logical and operational improvements led to a
reduction in EI of the entire U.S. fleet of more than
4. TRENDS IN ENERGY USE 60% between 1971 and 1998, averaging about
3.3%/year. In contrast, total RPK has grown by
Fuel efficiency gains due to technological and 330%, or 5.5%/year over the same period. Long-
operational change can mitigate the influence of range aircraft are B5% more fuel efficient than are
growth on total emissions. Increased demand has short-range aircraft because they carry more passen-
historically outpaced these gains, resulting in an gers over a flight spent primarily at the cruise
overall increase in emissions over the history of condition. Regional aircraft are 40–60% less fuel
commercial aviation. The figure of merit relative to efficient than are their larger narrow- and wide-body
total energy use and emissions in aviation is the counterparts, and regional jets are 10–60% less fuel
energy intensity (EI). When discussing energy in- efficient compared to turboprops. Importantly, fuel
tensity, the most convenient unit of technology is the efficiency differences between large and regional
system represented by a complete aircraft. In this aircraft can be explained mostly by differences in
section, trends in energy use and EI are elaborated. In aircraft operations, not technology.
the following section, the discussion focuses on the Reductions in EI do not always directly imply lower
relation of EI to the technological and operational environmental impact. For example, the prevalence of
characteristics of an aircraft. contrails is enhanced by greater engine efficiency. NOx
Reviews of trends in technology and aircraft emissions also become increasingly difficult to limit as
operations undertaken by Lee et al. and Babikian engine temperatures and pressures are increased—a
et al. indicate that continuation of historical pre- common method for improving engine efficiency.
cedents would result in a future decline in EI for the These conflicting influences make it difficult to
large commercial aircraft fleet of 1.2–2.2%/year translate the expected changes in overall system
when averaged over the next 25 years, and perhaps performance into air quality impacts. Historical trends
an increase in EI for regional aircraft, because suggest that fleet-averaged NOx emissions per unit
regional jets use larger engines and replace turbo- thrust during landing and takeoff (LTO) cycles have
props in the regional fleet. When compared with seen little improvement, and total NOx emissions have
trends in traffic growth, expected improvements in slightly increased. However, HC and CO emissions
aircraft technologies and operational measures alone have been reduced drastically since the 1950s.
are not likely to offset more than one-third of total
emissions growth. Therefore, effects on the global
atmosphere are expected to increase in the future in
the absence of additional measures. Industry and 5. ENERGY CONSUMPTION IN AN
government projections, which are based on more AIRCRAFT SYSTEM
sophisticated technology and operations forecasting,
are in general agreement with the historical trend. Energy intensity can be related to specific measures
Compared with the early 1990s, global aviation fuel of technological and operational efficiency in the air
consumption and subsequent CO2 emissions could transportation system. The rest of this article takes a
increase three- to sevenfold by 2050, equivalent to a more detailed look at trends in these efficiencies and
Aircraft and Energy Use 33
A 7
Fleet average
B720-000
6 B720-000B (entire U.S.)
Fleet average
(31 aircraft types)
Energy intensity (MJ/RPK)
5 B707-300
DC9-10
B707-300B
4 DC9-30
0
1955 1960 1965 1970 1975 1980 1985 1990 1995 2000
Year (or year of introduction for new technology)
B 7
CV880
6 CV600
L188A-08/188C BAC111-400
B1900
Energy intensity (MJ/RPK)
5 DHC7 S360
2 ATR72
1 Turboprops
Regional jets
0
1955 1960 1965 1970 1975 1980 1985 1990 1995 2000
Year of introduction
FIGURE 2 (A) Historical trends in energy intensity of the U.S. large commercial fleets. Individual aircraft EI based on
1991–1998 operational data with the exception of the B707 and B727, which are based on available operational data prior to
1991. Fleet averages were calculated using a revenue passenger-kilometer (RPK) weighting. Data were not available for the
entire U.S. fleet average during 1990 and 1991. Reproduced from Lee et al. (2001), with permission. (B) Historical trends in
energy intensity of the U.S. regional fleets.
options for controlling energy use. The first step is a flow rate. Only one-fourth to one-third of fuel energy
simplified description of the energy conversion with- is used to overcome drag and thus propel the aircraft.
in an aircraft engine. An aircraft engine converts the The remaining energy is expelled as waste heat in the
flow of chemical energy contained in aviation fuel engine exhaust. A parameter that is closely related to
and the air drawn into the engine into power (thrust the overall engine efficiency is the specific fuel
multiplied by flight speed). Overall engine efficiency consumption (SFC). When judging the efficiency of
is defined by the ratio of power to total fuel energy an aircraft system, however, it is more relevant to
34 Aircraft and Energy Use
consider work in terms of passengers or payload L/D, and lighter structural weight.
carried per unit distance. Energy intensity is an
1
appropriate measure when comparing efficiency and EU aEI
environmental impact to other modes. EI consists of ZU
two components—energy use, EU, and load factor, a, QWfuel g SFC
EU ¼
as described by Eq. (1). Energy use is energy S V ðL=DÞ
consumed by the aircraft per seat per unit distance 1
; ð3Þ
traversed and is determined by aircraft technology Wfuel
parameters, including engine efficiency. EU observed ln
Wpayload þ Wstructure þ Wreserve
in actual aircraft operations reflects operational
inefficiencies such as ground delays and airborne where ZU is fuel efficiency (e.g., seat-kilometers/
holding. The fleet average EU is of interest because it kilogram of fuel consumption), Q is the lower
is the fleet fuel efficiency that determines the total heating value of jet fuel, and S is the number of seats.
energy use. Load factor is a measure of how
efficiently aircraft seats are filled and aircraft kilo-
meters are utilized for revenue-generating purposes. 6. HISTORICAL TRENDS IN
Increasing load factor leads to improved fuel TECHNOLOGICAL AND
consumption on a passenger-kilometer basis.
OPERATIONAL PERFORMANCE
MJ MJ RPK EU
EI ¼ ¼ = ¼ ; ð1Þ 6.1 Technological Performance
RPK ASK ASK a
where MJ is megajoules of fuel energy, RPK is As shown in Eq. (3), engine, aerodynamic, and
revenue passenger-kilometers, ASK is available seat- structural efficiencies play an important role in
kilometers, and a is load factor. To show EI as a determining the energy intensity of an aircraft.
function of the engine, aerodynamic, and structural Engine efficiency in large commercial aircraft, as
efficiencies of an aircraft system as well as load measured by the cruise SFC of newly introduced
factor, it is necessary to have a model of aircraft engines, improved by approximately 40% over the
performance. Because a major portion of aircraft period 1959–1995, averaging an annual 1.5%
operation is spent at cruise, the Breguet range (R) improvement. Most of this improvement was
equation, which describes aircraft motion in level, realized prior to 1970, with the introduction of
constant-speed flight, is a relevant model. In the high-bypass turbofan engines. However, as bypass
Breguet range equation [Eq. (2)], engine thrust is ratios have increased, engine diameters have also
balanced by drag, and lift balances aircraft weight. become larger, leading to an increase in engine
Propulsion, aerodynamic, and structural character- weight and aerodynamic drag. Other routes to
istics are represented by three parameters: SFC, lift- engine efficiency improvement include increasing
to-drag ratio (L/D), and structural weight (Wstructure). the peak pressure and temperature within the
Given these technological characteristics as well as engine, which is limited by materials and cooling
other operability parameters, including the amount technology, and improving engine component effi-
of payload (Wpayload) and fuel on board (Wfuel), the ciencies. Aerodynamic efficiency in large commercial
Breguet range equation can be used to determine aircraft has increased by approximately 15% his-
maximum range for a level, constant-speed flight. torically, averaging 0.4%/year for the same period.
Better wing design and improved propulsion/air-
V ðL=DÞ frame integration, enabled by improved computa-
R ¼
g SFC tional and experimental design tools, have been the
Wfuel primary drivers. Historical improvements in struc-
ln 1 þ ; ð2Þ tural efficiency are less evident. One reason is that
Wpayload þ Wstructure þ Wreserve
over the 35-year period between the introduction of
where g is the gravitational acceleration constant, the B707 and the B777, large commercial aircraft
Wreserve is the reserve fuel, and V is flight speed. By have been constructed almost exclusively of alumi-
rearranging Eq. (2), a relationship between aircraft num and are currently about 90% metallic by
energy use and technology parameters can be derived weight. Composites are used for a limited number
as shown in Eq. (3). As implied by Eq. (3), aircraft of components. Another reason is that improve-
system efficiency improves with lower SFC, greater ments in aircraft structural efficiency have been
Aircraft and Energy Use 35
largely traded for other technological improvements, the ideal as total flight time efficiency approaches
such as larger, heavier engines and increased 0.9. The impact of operational differences on EU
passenger comfort. is evident in Fig. 3, which shows the variation of
EU with stage length for turboprop and jet-powered
aircraft (both regional and large jets) introdu-
6.2 Operational Performance ced during and after 1980. Aircraft flying stage
Infrastructure characteristics also impact efficiency. lengths below 1000 km have EU values between
In particular, delays on the ground and in the air 1.5 and 3 times higher compared to aircraft flying
can increase energy intensity. Extra fuel is burned stage lengths above 1000 km. Regional aircraft,
on the ground during various non-flight operations, compared to large aircraft, fly shorter stage lengths,
and hours spent in the air (airborne hours) do not and therefore spend more time at airports taxiing,
account for more than 75–90% of the total opera- idling, and maneuvering into gates, and in general
tional hours of the aircraft (block hours). The ratio spend a greater fraction of their block time in non-
of airborne to block hours can be treated as ground- optimum, non-cruise stages of flight. Turboprops
time efficiency, Zg. Similarly, non-cruise portions show a pattern distinct from that of jets and are, on
of the flight, poor routing, and delays in the air average, more efficient at similar stage lengths. The
constitute inefficiencies related to spending fuel energy usage also increases gradually for stage
during the flight beyond what would be required lengths above 2000 km because the increasing
for a great circle distance trip at constant cruise amount of fuel required for increasingly long stage
speed. This inefficiency can be measured by the ratio lengths leads to a heavier aircraft and a higher rate
of minimum flight hours to airborne hours, Za. of fuel burn.
Minimum flight hours are calculated with the Aircraft EI is also improved through better
assumption that all aircraft fly the entire route at utilization (e.g., load factor) and greater per-aircraft
Mach 0.80 and at an altitude of 10.7 km (no capacity (e.g., number of seats). Historically, the load
climbing, descending, or deviation from the mini- factor on domestic and international flights operated
mum distance, the great circle route). Minimum by U.S. carriers climbed 15% between 1959 and
flight hours represent the shortest time required to fly 1998, all of which occurred after 1970 at an average
a certain stage length and reveal any extra flight time of 1.1%/year. Figure 4 shows historical load factor
due to nonideal flight conditions. The product of Zg evolution for both U.S. large commercial and
and Za gives the flight time efficiency, Zft. Both Za and regional aircraft. Load factor gains have been
Zg increase with stage length. The lower Zft associated attributed to deregulation in the United States and
with short-range aircraft is related to the more than global air travel liberalization, both of which
40% of block time spent in non-cruise flight contributed to the advent of hub-and-spoke systems.
segments. Long-range aircraft operate closer to As airlines have sought greater route capacity, the
3.5 0.8
Large aircraft
0.7 Regional jets
3.0
0.6
2.5
EU (MJ/ASK)
0.5
Load factor
Jets
2.0
0.4
Turboprops
1.5
0.3
1.0
0.2
Turboprops
0.5 0.1
0 0.0
0 1000 2000 3000 4000 5000 6000 7000 8000 9000 1965 1970 1975 1980 1985 1990 1995 2000
Stage length (km) Year
FIGURE 3 Variation of EU with stage length. ASK, Available FIGURE 4 Historical trends in load factor for the U.S. large
seat-kilometers. commercial and regional fleets.
36 Aircraft and Energy Use
average number of seats has also increased, by 35% of improvement, about 0.2%/year, the worldwide
between 1968 and 1998, or from 108 to 167 seats average load factor is expected to reach around 0.77
(an average of 1.4%/year), most of which occurred by 2025. For an individual aircraft, a seating
prior to 1980. arrangement that utilizes a small amount of floor
space per seat is beneficial to EI. This trend also
applies to the fleet as a whole. It has been estimated
that the average number of seats per aircraft may
7. TECHNOLOGICAL AND grow by 1.0% annually over the next 20 years.
OPERATIONAL OUTLOOK FOR Based on this outlook, a 25–45% reduction in EU
REDUCED ENERGY USE IN LARGE would be possible by 2025. This is equivalent
COMMERCIAL AIRCRAFT to a change in EU of 1.0–2.0%/year, i.e., 40–75%
of the average rate over the previous 35 years. In
The outlook for future reductions in energy use is terms of EI, the addition of load factor results in an
necessarily based on the potential for increased estimated improvement of 1.2–2.2%/year, or a 30–
technological and operational efficiencies. In this 50% reduction in EI by 2025. As was shown in
section, the outlook for such improvements in large Fig. 2, over the period 1971–1985, airlines found
commercial aircraft over the next quarter century is profitable an average 4.6%/year reduction in fleet
examined. average EI on an RPK basis, which translates into a
Engine efficiencies may be improved by between slower 2.7% improvement on a seat-kilometer basis
10 and 30% with further emphasis on moving more when the contribution of load factor is removed
mass through engines that operate at higher tem- (EU). Over the period 1985–1998, however, the rate
peratures and higher pressures. A continuation of the of change was slower, at approximately 2.2% in EI
historical trend would lead to a 10% increase in L/D and 1.2%/year in EU. Fleet average projections in the
by 2025, and further improvements in the reduction literature suggest a 1.3–2.5% annual change in fleet
of parasitic drag may extend these savings to perhaps average EI and a 0.7–1.3%/year change in EU. These
25%. However, the technologies associated with studies are consistent with recent historical trends.
these improvements have weight and noise con- Beyond the evolution of the current aircraft
straints that may make their use difficult. For platform, hydrogen and ethanol have been propo-
example, the lack of historical improvement in sed as alternative fuels for future low-emission
structural efficiency suggests that weight reductions aircraft. Hydrogen-fueled engines generate no CO2
will be offset by added weight for other purposes emissions at the point of use, may reduce NOx
(e.g., engines, entertainment). However, weight emissions, and greatly diminish emissions of parti-
represents an area wherein major improvements culate matter. However, hydrogen-fueled engines
may be found without the constraints that may would replace CO2 emissions from aircraft with
hinder improvement in engine or aerodynamic a threefold increase in emissions of water vapor.
efficiency. If lighter weight, high-strength materials Considering uncertainties over contrails and cirrus
can be substituted into the predominantly metallic cloud formation, and the radiative impact of water
aircraft structures of today, the potential exists for vapor at higher altitudes (Fig. 2), it is not clear
30% savings through the use of composites to the whether use of hydrogen would actually reduce the
extent they are currently employed for some military contribution of aircraft to radiative forcing. In
applications. addition, several issues must be resolved before
Although some studies suggest that non-optimum a new fuel base is substituted for the existing kero-
use of airspace and ground infrastructure will be sene infrastructure. The actual usefulness of such
reduced through congestion control, such improve- alternative fuels requires a balanced consideration
ments may only maintain current efficiencies be- of many factors, such as safety, energy density,
cause air traffic growth remains strong. Historical availability, cost, and indirect impacts through
trends for Zg, Za, and Zft also show constant air production. Renewable biomass fuels such as ethanol
traffic efficiencies since 1968. Improved scheduling have much lower energy density than does kero-
and equipment commitment can improve load sene or even hydrogen, requiring aircraft to carry
factor, but congestion and low load factor during more fuel. They would again increase water vapor
early morning/late evening flights may limit im- emissions from aircraft in flight. Hence, kerosene is
provements to the historical rate. This represents a likely to remain the fuel for air travel for the
continuation of recent historical trends. At this rate foreseeable future.
Aircraft and Energy Use 37
20
DOC/RPK (cents, in 1995 dollars,
18
16
fuel cost normalized)
14
12
10
8
6
4
2
0
0 5 10 15 20 25 30 35 40 45
(ASK/kg) * (RPK/ASK)
FIGURE 5 Direct operating cost (DOC) and fuel efficiency relationship. The DOC here is composed of crew, fuel, and
maintenance costs. RPK, revenue passenger-kilometers; ASK, available seat-kilometers. Reproduced from Lee et al. (2001),
with permission.
38 Aircraft and Energy Use
450
350
300
250
200
150
100
50
0
0 1 2 3 4 5 6 7 8
DOC/RPK (cents, in 1995 dollars, fuel cost normalized)
FIGURE 6 Direct operating cost (DOC) and price relationship. Reported prices are average market values paid in then-year
(1995) dollars for new airplanes at the time of purchase. All prices were adjusted to 1995 dollars using gross domestic product
deflators. RPK, revenue passenger-kilometers. Reproduced from Lee et al. (2001), with permission.
However, it is unclear whether future technologies Balashov, B., and Smith, A. (1992). ICAO analyses trends in fuel
can be delivered at an acceptable price-to-DOC ratio. consumption by world’s airlines. ICAO J. August, 18–21.
Greene, D. L. (1992). Energy-efficiency improvement potential
If the price is too high, airlines may not choose to pay
of commercial aircraft. Annu. Rev. Energy Environ. 17,
more for energy-saving technologies, in which case 537–573.
further improvements in energy use for the aviation International Civil Aviation Organization (ICAO). (2002). 2001
sector may be limited. annual civil aviation report. ICAO J. August, 12–20.
Kerrebrock, J. L. (1992). ‘‘Aircraft Engines and Gas Turbines.’’
2nd ed. MIT Press, Cambridge, Massachusetts.
SEE ALSO THE Lee, J. J., Lukachko, S. P., Waitz, I. A., and Schafer, A. (2001).
Historical and future trends in aircraft performance, cost and
FOLLOWING ARTICLES emissions. Annu. Rev. Energy Environ. 26, 167–200.
National Research Council, Aeronautics and Space Engineering
Internal Combustion Engine Vehicles Marine Board. (1992). ‘‘Aeronautical Technologies for the Twenty-First
Transportation and Energy Use Transportation Century.’’ National Academies, Washington, D.C.
and Energy, Overview Transportation and Energy Penner, J. E., Lister, D. H., Griggs, D. J., Dokken, D. J., and
Policy Transportation Fuel Alternatives for High- McFarland, M. (eds.). (1999). ‘‘Aviation and the Global
Atmosphere: A Special Report of the Intergovernmental Panel
way Vehicles
on Climate Change.’’ Cambridge Univ. Press, Cambridge, U.K.
Royal Commission on Environmental Pollution (RCEP). (2002).
Further Reading ‘‘Special Report. The Environmental Effects of Civil Aircraft in
Anderson, J. D. (2000). ‘‘Introduction to Flight.’’ 4th ed. McGraw- Flight.’’ RCEP, London.
Hill, Boston. Schafer, A., and Victor, D. (2000). The future mobility of the world
Babikian, R., Lukachko, S. P., and Waitz, I. A. (2002). Historical population. Transp. Res. A 34(3), 171–205.
fuel efficiency characteristics of regional aircraft from techno- U.S. Federal Aviation Administration (FAA). (2000). ‘‘FAA Aero-
logical, operational, and cost perspectives. J. Air Transport space Forecasts Fiscal Years 2000–2011.’’ FAA, Washington,
Manage. 8(6), 389–400. D.C.
Air Pollution from Energy
Production and Use
J. SLANINA
Netherlands Energy Research Foundation
Petten, The Netherlands
of nutrients such as phosphate, ammonium, and vitality of trees, also contributed to acid deposition.
nitrate) is also a regional problem, quite manifest in Smog episodes in cities such as Los Angeles were
Western Europe. Loss of visibility due to backscatter reported during the same period. Reactions of volatile
of light by aerosols is also largely a regional organic compounds (VOCs) and nitrogen oxides,
phenomenon. A truly global problem is the changes emitted by traffic, produced high concentrations of
in the radiative balance of the earth due to increased ozone and peroxides, which are harmful for humans
concentrations of greenhouse gases and aerosols. and ecosystems. During the same period, high
oxidant concentrations (the complex mixture of
ozone, peroxides, and other products of the reactions
1. INTRODUCTION of organics and nitrogen oxides) were becoming
increasingly more frequent in Europe during stagnant
Air pollution is difficult to define because many air meteorological conditions. Also, severe eutrophica-
pollutants (at low concentrations) are essential tion (damage and changes to ecosystems due to the
nutrients for sustainable development of ecosystems. availability of large amounts of nutrients) occurred in
Therefore, air pollution can be defined as a state of Europe and the United States. Deposition of ammo-
the atmosphere that leads to exposure of humans nium and nitrates (partly caused by fossil energy use)
and/or ecosystems to such high levels or loads of was shown to contribute substantially to high
specific compounds or mixtures thereof that damage nutrient concentrations in soil and groundwater,
is caused. With very few exceptions, all compounds leading to large-scale dying off of fish in the United
that are considered air pollutants have both natural States and Europe. It also caused extremely high
and man-made origins, mainly from energy produc- nitrate concentrations in groundwater, with the result
tion and use. Also, air pollution due to energy use is that a large part of the superficial groundwater in The
not a new phenomenon; it was forbidden in medieval Netherlands is now unfit for human consumption.
times to burn coal in London while Parliament was Since 1990, the increased concentrations of
in session. Air pollution problems have dramatically radiative active substances (compounds that alter
increased in intensity and scale due to the increased the radiative balance of the earth—greenhouse gases,
use of fossil fuel since the industrial revolution. aerosols, and water in liquid form as clouds) and the
All reports on air pollution in the 19th and early resulting climatic change have received a lot of
20th centuries indicated that the problems were local, attention. Greenhouse gases absorb long-wave infra-
in or near the industrial centers and the major cities. red radiation emitted from the earth, thereby
Even the infamous environmental catastrophes in the retaining heat in the atmosphere and increasing the
area of Liege in the 1930s and in London in the 1950s total radiative flux on the surface of the earth.
were essentially local phenomena. In the London Aerosols and clouds reflect incoming short-wave
smog episode, stagnant air accumulated such extre- sunlight and influence the optical properties of
mely high sulfur dioxide and sulfuric acid concen- clouds toward more reflection of sunlight; hence,
trations of approximately 1900 and 1600 mg m3, increasing aerosol concentration leads to a decrease
respectively—some 20 times the current health in the radiative flux on the surface.
limit—that 4000 inhabitants died as a result. The The destruction of stratospheric ozone by chloro-
main causes were the emissions from coal stoves used fluorocarbon compounds (CFCs) is one of the few
for heating and the fact that all emissions were environmental problems not related to energy use.
trapped in a layer of air probably only a few hundred Epidemiological research has demonstrated the
meters high, with no exchange of air within the city. effects of aerosols on the respiratory tract (inducing
During the second half of the 20th century, the asthma and bronchitis), and a large part of the
effects of air pollution due to energy use and ambient aerosol is caused by emissions due to energy
production were detected on regional (4500 km), use and production.
continental, and even global scales. In approximately This timing of air pollution problems could give
1960, the first observed effects from acid deposition the impression that there were sudden increases in air
were observed on regional and continental scales. pollutant concentration, but this is probably not
Fish populations in lakes in Scandinavia and North correct, as can be demonstrated in the case of ozone.
America declined as the lakes were acidified by acid By carefully characterizing old methodologies, it has
deposition to such a degree that fish eggs would not been possible to reconstruct ozone concentrations in
hatch and no young fish were produced. Approxi- the free troposphere (the air not directly influenced
mately 10 years later, damage to forests, the loss of by processes taking place on the earth surface) during
Air Pollution from Energy Production and Use 41
the past 125 years (Fig. 1). The ozone concentrations In general, effects of pollution, and those of air
in Europe slowly increased at a rate of 1% or 2% per pollution, are a function of the degree of transgres-
year from 10 parts per billion (ppb) to more than 50 sion of the limits over which effects can be expected.
ppb as a result of the use of fossil energy. It is well Figure 2 shows that the use and production of energy
documented that the effects of ozone start at levels of is the major cause of most of the current environ-
approximately 40 ppb (ppb is a mixing ratio of one mental problems, with the exceptions of eutrophica-
molecule of ozone in 1 billion molecules of air). tion and stratospheric ozone loss.
Therefore, it is not surprising that the effects of
ozone were detected in the 1970s because the
background concentration of continental ozone was
30 ppb and additional oxidant formation would 2. EMISSIONS
increase the ozone concentrations locally or region-
ally. However, the increase in the continental back- Most pollutants are emitted by both natural and
ground concentrations, mainly caused by fossil fuel, anthropogenic sources. Natural sources are not
had been occurring for a long period. influenced by man or man-induced activities. Volca-
noes are a good example. Many emissions are
biogenic (i.e., produced by living organisms), but
Estimated average Individual observations these emissions are often influenced by man’s
70 activities. N2O is a greenhouse gas that is largely
Concentration in ppb
human health
TABLE I TABLE II
Global Natural and Anthropogenic Emissions of SO2 and NOx Global Emissions of VOCs
50% of the greenhouse effect) and approximately 160 120 80 40W 0 40E 80 120 160
Latitude (degrees)
20 20
N2O emissions (e.g., emissions of cars equipped with
0 0
three-way catalysts), but this contribution is not
well-known. 20 20
METEOROLOGY,
AND TRANSPORT The average wind direction are obviously very
important for transport of pollutants: The western
Emitted pollutants are diluted by mixing with winds at the coast in Europe will transport the
ambient air, and they are transported by the general emissions of the United Kingdom to The Netherlands
displacement of the air as a function of meteorolo- and Germany, whereas a relatively small amount of
gical conditions. Nearly all pollutants are converted German emissions will reach the United Kingdom.
to other species by means of atmospheric reactions. All winds converge near the equator, and this
The effect of emissions of pollutants is strongly phenomenon delays transport from one hemisphere
dependent on dilution, transport, and conversion. to the other. Consequently, whereas mixing in either
Vertical and horizontal mixing is a function of the hemisphere takes approximately 1 year, a 5-year
lifetime of pollutants. If pollutants have a short period is required for global mixing.
lifetime, they are not transported very far and vertical In the troposphere (Fig. 4), the temperature
mixing in the atmosphere is very limited. If they have decreases as a function of adiabatic expansion
a long lifetime, mixing on a global scale occurs. (temperature in a gas decreases if the pressure is
The basis of all transport of air masses in the lowered without heat exchange, approximately
atmosphere is movements of air from areas with high 11C/100 m) and less heat transport from the surface.
pressure to areas with lower pressure. Unequal Rising heated air (called sensible heat) is not the
heating of the earth’s surface is the main reason for only factor for vertical heat transport. At the surface,
these pressure differences. The solar heat flux is over water bodies, and due to evaporation from
much higher in the tropics compared to the polar vegetation, large amounts of water vapor are added
regions. Therefore, heat is transferred by air move- to the air. This evaporation takes up much energy,
ment as well as ocean currents (such as the warm which is freed as water vapor is condensed to water
Gulf Stream) from the equator to the poles. Also, the droplets in clouds at higher altitude. However, latent
characteristics of the surface (sand is heated very heat transport becomes weaker higher in the tropo-
quickly, whereas ocean surfaces are not) are very sphere because cooling results in less water vapor in
important and lead to phenomena that differ very the air.
much in scale, from a local see breeze to the The heated surface of land, together with turbu-
distribution of high and low pressures over oceans lence created by objects such as trees and houses,
and continents. Variation in the earth’s rotation creates a well-mixed layer—the mixing layer or
speed from the poles to the equator prevents the planetary boundary layer. This layer varies from a
straightforward movement of air from low- to high- few hundred meters during the night to 1.5 km
pressure areas and induces the so-called Coriolis during the day under conditions of solar heating.
force, resulting in circular movements of air around Emissions into this layer are dispersed quickly,
high-pressure and low-pressure areas. The friction especially during the day. If a warm layer is formed
induced by mountains and smaller objects, such as over cold air in the troposphere, it can act like a
cities or forests, is another factor that influences wind barrier for vertical dispersion: Air masses moving up
direction and speed. All these factors together result under these conditions are colder and heavier than
in an average wind pattern as shown in Fig. 3. this layer and cannot pass this layer. This situation is
44 Air Pollution from Energy Production and Use
Altitude (km)
Mesosphere the order of 5000 ppb is encountered, whereas
Pressure (atm)
The next important observation is that radicals pollution load over Great Dunn Fell in Scotland
are actually formed during oxidant formation as long (which is covered with low-altitude clouds 50% of
as sufficient NOx is present. The positive aspect is the time), dry deposition is responsible for more than
that the oxidation by OH radicals of organic 75% of the total deposition load in The Netherlands
compounds cleans the atmosphere; in this way, many (typical for European industrial countries that are
toxic organic compounds are eliminated. moderately polluted).
Species that are not destroyed by reactions with
the OH radical or the longer wave UV radiation en-
countered in the lower layers of the atmosphere 5.1 Wet Deposition
ultimately pass the tropopause and enter the strato- Wet deposition is directly linked with cloud forma-
sphere. tion. Cloud droplets are formed on aerosol particles.
If no particles are present, very high supersatura-
tion of water vapor is needed to form droplets.
5. DEPOSITION Particles with a diameter of 0.05–2 mm, consisting of
water-soluble material, are the favorite cloud con-
Deposition is the process that brings air pollutants densation nuclei—the particles on which droplets
down to vegetation, soil, and water surfaces and are formed. This pathway is very important for the
exposes ecosystems to acid deposition. Deposition of uptake of aerosols in clouds and precipitation.
acid substances and eutrophication (excessive deposi- Water-soluble gases are also scavenged by cloud
tion of nutrients, especially nitrogen compounds) droplets.
damage ecosystems. Deposition, together with con- NO2 and NO are examples of compounds that are
version, is a sink for pollutants and, hence, a factor not readily incorporated in the water phase due to
that determines the range of transport. limited solubility. Thus, they are not scavenged
Three main processes for deposition can be effectively. SO2 is scavenged as a function of the
distinguished: pH of the droplet, and the resulting sulfite is oxidized
to sulfate.
1. Wet deposition: Compounds are transported to Maps of wet deposition are generally directly
the surface by means of precipitation, rain or snow. based on measurements: Precipitation is sampled in
2. Occult deposition: Compounds dissolved in fog collectors of wet deposition monitoring networks
or cloud droplets are deposited on the surface by and analyzed in the laboratory. Figure 6 provides an
means of deposition of these cloud or fog droplets. overview of the wet deposition of sulfate (corrected
3. Dry deposition: Deposition of compounds to for the sulfate produced by sea salt) per hectare per
the surface directly, not involving the liquid phase. year in Europe.
units of moles per hectare per year) and occult 0 350 700
deposition contributes more than 40% of the FIGURE 6 Wet deposition of sulfate in Europe.
Air Pollution from Energy Production and Use 47
5.2 Dry Deposition Netherlands are two times higher at the same
ambient concentration.
Aerosol particles and gases are also deposited
Because deposition fluxes and Vd are difficult to
directly on vegetation and soil without prior uptake
measure, dry deposition fluxes are generally mod-
in the water phase. The deposition flux is calculated
eled, and the models are parameterized and validated
as the product of vertical deposition velocity (Vd)
using dry deposition flux measurements. The flux is
and ambient concentration:
either derived from variations in the concentration as
Fx ¼ Vdx Cx ; a function of vertical wind speed or from the gradient
in concentration of the compound of interest as a
where Fx is the dry deposition flux of compound X, function of height.
Vdx is the deposition velocity of compound X, and
Cx is the concentration of compound X.
The deposition velocity, the vertical speed of 5.3 Modeling of Acid Deposition
compounds directed downward, is dependent on a
Models are used to derive the concentrations as well
number of factors:
as wet and dry deposition fluxes based on descrip-
Transport in troposphere occurs by means of tions of emissions, atmospheric transport, and
turbulence in the form of eddies. If the troposphere is conversion and deposition processes. One of the
turbulent (e.g., due to high wind speed or strong major challenges in atmospheric chemistry is to
mixing due to solar heating), the vertical transport of formulate these models and to provide the neces-
gaseous compounds and aerosol in the boundary sary data to derive descriptions and to validate the
layer is quite fast model results. This complicated exercise is shown in
Each surface dampens turbulent transport, and Fig. 7.
very near the surface the turbulent transport is Emissions and meteorological data are used to
completely stopped. develop concentrations maps (Fig. 7, left). Based on
Transport through this stagnant layer is only high-resolution land use maps (Fig. 7, right) and
possible by means of diffusion (in the case of gases) meteorological data, the vertical deposition velocity,
or by impaction or interception (for aerosols). Vd, is derived for every compound. Next, the dry
The compound or aerosol particle reaches the deposition flux is calculated by multiplying the
surface next. It can adhere to the surface or bounce concentration with the vertical deposition velocity.
back to the atmosphere. Very polar gases, such as An example of the results is provided in Fig. 8, which
HNO3, NH3, or HCl, are adsorbed strongly by shows the NOy load in Europe in moles/ha/year
nearly all surfaces, so they are retained quantita- (NOy is the sum of HNO3, HNO2, NO2, and NO).
tively. The same is true for particles, which are in fact The wet deposition flux is added to derive the
very small droplets. Other compounds are not total deposition flux (Fig. 6). The total deposi-
adsorbed and can leave the surface again. tion (Fig. 9) is used to derive the impact of the
deposition and to calculate the loss of compounds by
The dry deposition load (deposited flux over a
deposition, necessary to calculate lifetime and trans-
specified time period per unit area) is a linear
port of emissions. The largest deposition loads are
function of the concentration. Thus, dry deposition
found near the regions where most fossil fuels are
loads are dominant in areas with higher air pollution
used, but some of the emissions are transported up to
concentration.
1000 km.
Vdx levels vary depending on circumstances. The
surface of vegetation in Western Europe is often
covered with a water layer due to precipitation or
dew. Sulfur dioxide dissolves easily in water, espe- 6. LIFETIMES OF POLLUTANTS
cially at a pH of 7 or higher, so the combination of
high ambient ammonia concentrations and the Conversion in the troposphere and stratosphere and
frequent presence of water layers means that sulfur removal by deposition processes determine the fate
dioxide is easily taken up by the surface of and the lifetime of pollutants. A simplified approach
vegetation. In southern Spain, on the other hand, is used here. Analogous to a resistance model, the
water layers are rarely present on vegetation. Thus, overall lifetime can be expressed as
the Vd in The Netherlands is at least twice the Vd for
SO2 in Spain, so the acid deposition fluxes in The 1=tðresultantÞ ¼ 1=tw þ 1=td þ 1=tc ;
48 Air Pollution from Energy Production and Use
Total deposition
10 × 20 km
Assessments
Protocols Wet deposition
Budgets observations
~800 locations
Total deposition
150 × 150 km
Dry deposition
Concentration maps
150 × 150 km Local scale
Vd
Emission maps
SO2, NOx, NH3 Meteorological
50 × 50 km observations
Satellite and Q, rh, u, T, H
ground-based
observations Land use maps
(1/6−1/6)
~10 × 20 km
months/year
0−100 100−200 200−400
400−700 > 700 No data
km
0 350 700
FIGURE 8 Dry deposition load of NOy (sum of HNO3, HNO2, NO2, and NO) in moles per hectare per year for Europe.
where t(resultant) denotes the total lifetime, tc is tc, tw, and td, Table IV also provides estimates of the
lifetime as a function of conversion, td is lifetime as total lifetime [t(resultant)] and of the transport
a function of removal by dry deposition, and tw distance. If the lifetime of a compound is so long
lifetime as a function of removal by wet deposition. that a global distribution is observed, this is indicated
An overview of lifetimes of some important pollu- by ‘‘global.’’ ‘‘Stratosphere’’ means that the com-
tants is given in Table IV. In addition to estimates of pound is not destroyed by OH radicals in the
Air Pollution from Energy Production and Use 49
troposphere but only by short-wave UV radiation in sulfates, nitrates, and organics, live quite long and are
the stratosphere. generally removed by cloud formation only.
Very small aerosol particles, as generated by For sulfur dioxide, deposition processes and
combustion engines, have very short lifetimes because conversion are of equal weight, whereas nitrogen
they more or less behave like gas molecules, including oxides are removed by conversion. The transport
transport by Brownian diffusion and rapid coagula- distance of ammonia is very limited due to short
tion. The large ones are removed by gravity; they fall deposition and conversion lifetimes. The reactivity of
out of the atmosphere. But particles of approximately different classes of organic compounds varies con-
1 mm, which contain most anthropogenic-produced siderably; hence, there are major differences in
lifetimes and transport distance.
Conversion of ozone is important near sources
months/year because it reacts rapidly with NO, such as emitted by
0_1000 1000_2000 2000_4000
4000_8000 8000_17000 No data
traffic. Far from sources, dry deposition is the main
loss term.
Carbon dioxide is taken up by vegetation (e.g., in
spring) and again released as litter decomposes (e.g.,
in fall), under condition that the vegetation is in
steady state. The total cycle of carbon, including
vegetation and ocean uptake and release, is so large
that the lifetime of emitted CO2 is estimated to be
100–200 years.
Methane is first converted to CO, and next to CO2
in the reaction with OH radicals. Uptake of methane
occurs in soils, but this probably constitutes only a
small fraction compared with conversion to CO and
CO2. N2O and CFCs are not destroyed in the
troposphere but are decomposed in the stratosphere.
FIGURE 9 Total acid deposition in Europe in moles of acid The effects of energy-related air pollutants on human
rain per hectare per year. health, ecosystems, and essential requirements such
TABLE IV
Lifetimes and Transport Distances of Air Pollutants
Aerosol
o0.1 mm Minutes–hours — Hours Hour 10
410 mm — Large Hours Hours 100
(E1 mm) — Week Week Week 1000
Sulfur dioxide Days Days Days Days 1000
Nitrogen oxides Days — Days Days 1000
Ammonia Hours Hours Hours Hours 250
VOC reactive Hours–days Large — Hours–days 200–1000
Ozone Hours–days — Days Hours 200–1000
Carbon dioxide — — 200 Years 200 Years Global
Methane 10 Years — Large 12 Years Global
N2O Stratosphere — — 200 Years Global
CFCs Stratosphere — — 100–200 Years Global
50 Air Pollution from Energy Production and Use
as drinking water vary widely in scale, ranging from human health and also vegetation. This is reflected in
very local to global. Here, an overview is given as a the air quality standards for ozone. Table VI includes
function of scale, starting with local effects and different ozone air quality standards for protection of
proceeding to regional impacts and global issues. vegetation and human health. In some cities in
developing countries, the limit at which the popula-
tion should be warned (e.g., to stay indoors as much
7.1 Local Pollution and Effects as possible) is frequently exceeded.
Epidemiological investigations have provided evi-
Local pollution is generally caused by too high dence that particulate matter, aerosols, induce
ambient concentrations as found near sources. increased mortality, ranging from 4% for U.S. cities
Historic pollution problems, such as the London to 2% for Western European cities and less than 1%
smog periods in the 1950, fall into this category. for Eastern European cities for a level of 100 mg m3.
Most local air pollution problems in cities in In addition to increased mortality (which for a
developed nations are associated with traffic or, country such as The Netherlands amounts to 1500–
rather, the use of combustion engines in traffic. Cities 4000 acute deaths in a population of approximately
in the United States and Europe, but also those in 16 million, equal to the total number of deaths
Mexico and east Asia, such as Beijing and Delhi, caused by traffic incidents and approximately 10,000
have problems with CO and NOx concentrations per year due to chronic effects), an increased
that are too high, directly traffic related. In develop- incidence of afflictions of the respiratory tract
ing countries in which sulfur-rich coal is used and in (asthma and bronchitis) has been found (e.g.,
which many industries are located in towns, local amounting to 30,000 extra cases of bronchitis and
SO2 concentrations also present environmental asthma in The Netherlands). No mechanisms for this
problems. Most developed countries have success- increased mortality have been established, but
fully eliminated this environmental hazard. research indicates that very small particles (mainly
Countries and also multinational institutions, such emitted by traffic and other fossil fuel use) are
as the European Union, have developed different air probably responsible.
quality standards to ensure that the popu-
lation is not affected by emissions in cities. These
standards vary between different countries; an TABLE VI
example is given in Table V for nitrogen dioxide. Ozone Air Quality Standardsa
Some cities have limited exchange of ambient air due
Value (lg m3) Average time Remarks
to the fact that they are surrounded by mountains. In
this stagnant air, emissions from traffic can cause high 240 1 hour NLb standard (not to exceed
concentrations of nitrogen oxides and reactive 2 days/year)
organic compounds, and oxidants can form, with 160 8 hours NL standard (not to exceed
high ozone concentrations as the result. Ozone affects 5 days/year)
100 Growing season March 1–September 1, 9 am
to 5 pm
TABLE V
240 1 hour NL target value
Air Quality Standards for NO2
160 8 hours NL target value
3
Value (lg m ) Average time Remarks 100 Growing season NL target, March 1–
September 1, 9 am to 5 pm
135 98% (1 hour)a The Netherlands standard 120 1 hour NL long-term goal
175 99.5% (1 hour) The Netherlands standard 50 Growing season NL long-term goal
25 50% (1 hour) Target value, The Netherlands 110 8 hours EU standard (health
80 98% (1 hour) Target value, The Netherlands protection)
200 98% (1 hour) EU standard 200 1 hour EU standard (protection of
50 50% (1 hour) Target value, EU vegetation)
135 98% (1 hour) Target value, EU 65 24 hours EU standard (protection of
vegetation)
a
Ninety-eight percent indicates that the standard may be 180 1 hour EU information of civilians
exceeded only 2% of the time. Target value is the air quality 360 1 hour EU warning of civilians
standard that is seen as desirable and that probably will be
a
implemented in the future because the necessary technical means See Table V footnote for description.
b
have been developed to reach this standard. NL, The Netherlands.
Air Pollution from Energy Production and Use 51
Aerosols scatter light, and this scattering is very play a much larger role in eutrophication than fossil
effective if the diameter of the aerosol particle is on fuel use.
the same order as the wave length of the scattered The common factor in all these cases is that
light. This backscattering process is detected by the pollutants, or their precursors, are emitted, trans-
human eye as haze, limiting visibility. Aerosols with a ported in the atmosphere, and deposited by either dry
diameter of 0.1 to approximately 2 mm scatter visible or wet deposition. In some cases, acid deposition
solar light effectively and hence impede visibility. In takes place 1000 km or more from the place where the
some polluted cities, aerosols limit visibility to responsible emissions originated. The most important
500 m, especially under conditions of high humidity. acid-forming species are sulfur dioxide (which is
In Fig. 9, the left picture was taken when aerosol partially converted to sulfuric acid in the atmosphere),
concentrations where approximately 20 mg m3. Vis- nitrogen oxides (converted to nitric acid during
ibility is quite good and probably more than 30 km. atmospheric transport), and ammonia. Ammonia
The picture on the right was taken during a dust may act as a base in the atmosphere, neutralizing
storm. Dust storms contain large concentrations of nitric and sulfuric acid, but in soil or groundwater it is
not only large particles but also small particles, largely converted by microorganisms to nitric acid,
which reduce visibility to less than 1 km. producing additional acid in the process.
Both precursors (SO2 and NOx) and products
(sulfuric acid, nitric acid, and ammonium) can be
7.2 Regional Problems
transported large distances (up to 1500 km) depend-
Regional problems are caused by emissions within a ing on meteorological conditions, the speed of
distance of 1000 km; acid deposition, eutrophication, conversion, and removal by deposition processes.
and regional ozone formation fall into this category. Ammonia, on the other hand, is transformed quickly
The first signs of the effects of acid deposition were in ammonium by reactions with sulfuric acid and
encountered when losses of fish populations in nitric acid and deposited rapidly in the form of both
Canadian, Scandinavian, and U.S. lakes were reported wet and dry deposition; it is generally transported
in the early 1960s. A few years later, there were 250 km or less.
reports of unusual damage to forests from Canada, Oxidant problems are not only a local but also a
the United States, and Germany. Trees were observed regional phenomenon. An example is the buildup of
to have less foliage or needles than normal, and this high concentrations of oxidants, mainly ozone, in
damage even progressed to the point that trees died, a Europe when the weather is dominated by large high-
phenomenon that occurred on the border of former pressure systems. The air within these high-pressure
East Germany, Poland, and former Czechoslovakia. In systems, which often have a diameter of 1000 km, is
the case of tree dieback, the cause–effect relation was not exchanged quickly. So precursor concentrations
much more complicated than that for the loss of fish of NOx and reactive organic compounds increase due
in lakes. In fact, much later it was determined that not to ongoing emissions mainly related to fossil fuel,
only acid deposition but also increased oxidant and very high ozone concentrations, often exceeding
concentrations (e.g., ozone, PAN, and hydrogen 150 mg m3, are the result. These ozone concentra-
peroxide) contribute to tree damage. tions affect not only human health but also vegeta-
A third type of effect of acid deposition was tion (Fig. 10).
reported in the mid-1980s. The same deposition The loss of production of wheat due to ozone starts
processes that were responsible for the high loads at a threshold concentration of approximately 40 mg
(load is a time-integrated flux) of acid compounds m3 and increases linearly with the ozone concentra-
were also the cause of high nutrient concentrations in tion. (Fig. 11). Not only do ozone problems occur in
soil, groundwater, and surface waters. Nitrate and Europe and the United States, but there is also
ammonium are beneficial, even essential, for devel- increasing concern in developing countries. For
opment in vegetation, but in excessively high instance, high ozone concentrations occur in Hong
concentrations they lead to the loss of biodiversity, Kong and the Chinese province of Guangdong, which
especially in oligotrophic (adapted to low nutrient includes cities such as Guangzhou and Shenzhen.
availability) ecosystems. This problem originated in Aerosols generally derive from both local and
The Netherlands, Belgium, and parts of Germany, regional sources. The backscatter by aerosols is
Denmark, and southern Sweden but is now clearly receiving much attention because backscatter of
affecting large areas of the United States, Canada, solar radiation is a very important but uncertain
and China. In most countries, agricultural activities factor in determining the balance of incoming and
52 Air Pollution from Energy Production and Use
FIGURE 10 Visibility on the campus of Peking University. (Left) Photograph taken when the aerosol concentration was
approximately 20 mg m3. (Right) Photograph taken during a dust storm, with a high concentration of small particles.
70 300
Reduction wheat production
(Cooperative Programme for Monitoring and Evalua- ceedence is generally used) can be derived (Fig. 14).
tion for Long Range Transport in Europe) for The difference between the actual deposition load and
abatement of acid deposition, eutrophication, and the critical load is the central steering mechanism for
impact of oxidants in Europe or the Montreal Proto- European environmental policy. These descriptions
col, which stringently minimizes emissions of CFCs. are the internationally accepted basis of the European
These emission–effect relations are generally so protocols for abatement of acid deposition, eutrophi-
complex that such a description is seldom based on cation, and the impact of oxidants. If a quantitative
observations only, and mathematical models are and validated scientific description is generally ac-
needed to obtain these relations. The first stage of cepted, then a good scientific fundament is present for
this process is to develop a description of the critical abatement measures. Therefore, EMEP must describe
limits or critical loads (load ¼ integrated deposition all processes from emissions, natural and anthropo-
fluxes). Critical concentrations and loads are the genic, transport and chemical conversion, and deposi-
maximum concentrations and deposition fluxes above tion to effects and also provide an assessment of the
which damage is likely to occur. These descriptions costs for abatement in order to obtain scientifically
are based on information on the effects of acid defendable conclusions.
deposition, eutrophication, or ozone on ecosystems, Next, individual countries must meet the targets
taking into account the buffer capacity of the soils and using appropriate measures, optimized to their
the sensitivity of ecosystems. The result is a map of specific conditions. The following measures have
critical loads in Europe, as shown in Fig. 13 for acid proven to be very effective:
deposition. This description of loads of acid deposi-
tion (Fig. 9) is then compared to the description of Not only will the use of wet desulfurization
critical loads, and the transgression (the term ex- plants reduce the emissions of sulfur dioxide of, for
32.0
32.0
30.0
30.0
28.0
28.0
26.0
26.0
24.0
24.0
22.0
22.0
20.0
20.0
18.0
18.0
16.0
16.0
14.0
14.0
12.0
12.0
10.0
10.0
8.0
8.0
6.0
6.0
4.0
2.0 4.0
2.0
14.0 16.0 18.0 20.0 22.0 24.0 26.0 28.0 30.0 32.0 34.0 36.0 38.0
0_200
28%
14.0 16.0 18.0 20.0 22.0 24.0 26.0 28.0 30.0 32.0 34.0 36.0 38.0
22%
21%
200_500
20%
<0
26%
500_1000
0_200
9%
20%
1000_2000
19%
200_500
16%
11%
1000_2000
FIGURE 13 Critical loads for acid deposition in moles of acid > 2000
per hectare per year. The very dark areas are extremely sensitive;
damage occurs at loads as low as 200 mol/ha/year. The light areas FIGURE 14 Exceedence of critical loads in Europe. The light
can accept deposition loads of at least 2000 mol/ha/year without areas denote no or little transgressions, and the dark areas indicate
unacceptable damage. regions with serious acid deposition problems.
54 Air Pollution from Energy Production and Use
example, electricity-generation plants, by approxi- pointing out that developing countries will be
mately 95% but these installations will also reduce responsible in the near future for a large percentage
emissions of compounds such as hydrochloric acid of greenhouse gas emissions and that measures will
and hydrofluoric acid by the same amount. not be effective unless developing countries also take
The three-way catalyst, now in general use, abatement measures.
reduces the emissions of nitrogen oxides and reactive The main impact of climatic change will be
volatile organic compounds by 90–95%, depending experienced, in the opinion of many scientists, by
on traffic conditions. developing countries, whereas most of the costs must
Low NOx burners, burning fossil fuel in two be covered by developed countries. This obviously is
stages, can reduce NOx emissions by power plants a very complicating factor.
and industry by 70% or more. Low NOx burners are
Although part of the necessary solutions to the
even applied in household central heating systems
debate must be provided by atmospheric chemistry
using natural gas.
research, particularly information on the fluxes of
Increasing the efficiency of the use of fossil fuels
different sources and sinks, reduction in the use of
is a very effective way to decrease most emissions.
fossil fuel seems to be unavoidable in order to
A very important issue for which such a general mitigate the current environmental problems.
acceptance of the scientific description of emission–
effect relations has not been reached is the reduction
of emissions of greenhouse gases (Kyoto Protocol). SEE ALSO THE
On the one hand, the costs of such reductions play an FOLLOWING ARTICLES
important role, and costs of abatement measures
increase exponentially at higher reduction rates. On Acid Deposition and Energy Use Air Pollution,
the other hand, the perceived uncertainty in the Health Effects of Clean Air Markets Ecosystems
assessment of the environmental effects is seen as and Energy: History and Overview Gasoline
very important: Additives and Public Health Hazardous Waste
The measures necessary to reach the agreed from Fossil Fuels Indoor Air Quality in Developing
abatement are judged to be very expensive by a Nations Indoor Air Quality in Industrial Nations
number of countries. Thermal Pollution
The effects of climatic change are potentially
very damaging and far-reaching. However, the Further Reading
uncertainties regarding regional impacts as well as
Albritton, D. L., Meira Filho, L. G., and the IPCC. (2001).
estimates of the time before these changes are Technical summary. www.ipcc.ch.
detected give countries reasons to defer measures. EMEP Summary Report. (2000). Transboundary acidification and
Uncertainties exist with regard to sources and eutrophication in Europe, CCC and MSC-W Research Report
sinks of greenhouse gases, especially regarding the No. 101. Norwegian Meteorological Institute, Oslo.
role of vegetation in the release and sequestration Finlayson-Pitts, B. J., and Pitts, J. N. (2000). ‘‘Chemistry of the
Upper and Lower Atmosphere.’’ Academic Press, New York.
(uptake) of carbon in vegetation and soil. Graedel, T. E., and Crutzen, P. J. (1993). ‘‘Atmospheric Change;
Because most of the current increases in ambient An Earth System Perspective.’’ Freeman, New York.
carbon dioxide concentrations must be allotted to Jacob, D. J. (1999). ‘‘Introduction to Atmospheric Chemistry.’’
the use of fossil fuel by developed countries, Princeton Univ. Press, Princeton, NJ.
undeveloped countries voice quite strongly the Slanina, J. (ed.). (1997). ‘‘Biosphere–Atmosphere Exchange of
Trace Gases and Pollutants in the Troposphere.’’ Springer-
opinion that they should be exempt from measures Verlag, Berlin.
that could hamper their economic development. Volz-Thomas, A. and Kley, D. (1988). Biogeochemistry 23,
Some developed countries counter this argument by 197–215.
Air Pollution, Health Effects of
JONATHAN LEVY
Harvard University School of Public Health
Boston, Massachusetts, United States
Belgium. During a 4-day period, 60 deaths were causal factors can be changing at the same time.
attributed to the pollution (10 times more than However, in order to determine health effects in
normal), and many individuals suffered from re- humans, results from toxicological studies must be
spiratory distress, with the elderly or those with extrapolated in at least two important ways—results
respiratory or cardiovascular disease at greatest risk. from animals must be applied to humans, and results
Levels of a number of pollutants were increased from high doses necessary to see effects in a small
during this episode, with extremely high concentra- number of animals must be used to draw conclusions
tions of sulfur-based compounds. In the second about lower doses typically seen in humans. Because
event, in October 1948, a similar set of circum- of these often substantial uncertainties, epidemiolo-
stances (temperature inversion in an area with gical studies, when they are available and interpre-
substantial industrial activity) led to an air pollution table, are generally preferred for quantifying the
episode in Donora, Pennsylvania. Nearly half of the health impacts of air pollution, with toxicological
residents of the town became ill, with 20 deaths studies providing supporting evidence for a causal
attributed to the multiday episode. Finally, perhaps effect.
the most damaging and well-known pollution Epidemiological studies are observational studies
episode occurred in December 1952 in London, of human populations; they are designed to show the
where a temperature inversion and associated ele- relationship between exposure to an agent or set of
vated pollution levels led to 4000 deaths during the agents and the development or exacerbation of
episode and to another 8000 deaths during the disease. Although the focus on human populations
subsequent months (demonstrating a lagged or and observed exposures removes some of the
cumulative effect of exposure). As previously, elderly extrapolation issues associated with toxicological
individuals and those with respiratory and cardio- studies, epidemiological studies run a greater risk of
vascular disease were at greatest risk of health yielding results that do not reflect a true causal
impacts. relationship between exposure and disease (because
These and other similar episodes provided clear correlation does not necessarily imply causation).
evidence of the effects of extremely high levels of air This would occur if there were confounders, which
pollution, which generally occurred when significant are variables independently associated with both the
emissions from low stacks were trapped near the exposure and the disease in question, that could
ground due to atmospheric conditions. Because of actually be responsible for the observed relationship.
increased emission controls and taller stacks in many For an epidemiological study to adequately deter-
settings at the start of the 21st century, the pollution mine the health effects of air pollution, it must use
levels seen in the early studies are currently rarely statistical techniques or a restrictive study design to
seen in either developed or developing countries. remove the possibility of confounding by nonpollu-
Evidence from additional sources of information is tion variables. Also, unlike toxicological studies,
therefore needed to understand health impacts of which generally focus on a single pollutant or a
lower levels of air pollution, as well as to determine defined list of pollutants, epidemiological studies
precisely which pollutants are responsible for mor- measure health effects that could be associated with a
tality and morbidity impacts. number of pollutants that are often correlated with
one another in time or space. Epidemiological studies
must also be able to provide accurate exposure
estimates, which can be more difficult than in
2. TYPES OF STUDIES USED TO toxicological studies, in which the doses can be
EVALUATE HEALTH IMPACTS measured in a controlled setting, particularly for
large populations, for long-term exposures, or for
The evidence used to determine the magnitude of pollutants that vary greatly in time or space.
mortality and morbidity effects of air pollution There are three primary types of epidemiological
comes from two general types of studies. Toxicol- studies used to understand the health effects of air
ogical studies are controlled laboratory experiments pollution, each of which has different strengths and
in which relatively high doses of compounds are different issues related to potential confounders. The
administered to animals and rates of diseases (often first is the cross-sectional study, in which disease
cancer) are estimated. As controlled experiments, rates in different locations are correlated with
toxicological studies avoid some of the issues in pollution levels in those settings, looking at a single
observational studies, wherein a number of potential point in time. Although these studies can generally be
Air Pollution, Health Effects of 57
conducted using only publicly available information, can expand the time window under consideration
they can suffer both from confounding issues and beyond periods of days, but seasonal trends in health
from the ecological fallacy, which is the incorrect risks and statistical limitations of time-series studies
assumption that relationships evaluated from large make it impossible to evaluate the effects of daily
groups are applicable to individuals. A classic exposure beyond about a couple of months. In-
example of the ecological fallacy involved a study formation about long-term health risks is primarily
that showed that whereas there was a correlation taken from retrospective or prospective cohort
between race and illiteracy rates across states, this studies, in which a group of individuals is tracked
relationship was drastically reduced when consider- for a significant period of time (often decades) to
ing individuals rather than states. evaluate whether their air pollution exposures are
In terms of confounding issues, individual beha- linked to higher risks of mortality or chronic disease.
viors with important linkages to health (such as Because individual-level data about nonpollution
smoking status or occupation) cannot be incorpo- risk factors can be collected, confounders can be
rated into a cross-sectional study, making it difficult dealt with in a more substantial way than in cross-
to interpret the causal association between air sectional studies. However, there remain more
pollution and health. Therefore, although many of plausible confounders for a cohort study than for a
the original air pollution epidemiological studies time-series study (including lifestyle factors such as
were cross-sectional because of the availability of smoking, diet, or occupation, which can theoretically
information, these studies are conducted less often at be spatially correlated with air pollution exposures).
present. Statistical methods are used to evaluate the indepen-
Air pollution health effects are also determined dent effects of air pollution given the levels of other
through time-series studies, which are studies that risk factors, which addresses this issue to an extent.
compare changes in daily or multiday air pollution The long time horizon to conduct a cohort study
levels with changes in daily or multiday health implies that fewer of these studies can be done, but
outcomes (such as emergency room visits or deaths). the long-term exposure focus means that the health
These studies therefore yield information about the impacts estimated in cohort studies would be
influence of air pollution on health over a relatively expected to be greater than the health impacts in
short number of days (known as acute health effects). time-series studies (which do not capture the effects
Time-series studies have the strength of having a of long-term exposures).
relatively limited set of potential confounding vari- In addition, it should be noted that other types of
ables, because any confounder must be correlated studies provide evidence about the health effects of
with both air pollution levels and health impacts on a air pollution. Human chamber studies, in which
temporal basis. For example, cigarette smoking people are exposed to a pollutant for a short period
could only confound the relationship in a time-series of time in a controlled laboratory setting, can help
study if more people smoked on high-pollution days corroborate relationships observed in epidemiologi-
than on low-pollution days, which is unlikely. cal studies (particularly for short-term and reversible
However, cigarette smoking could act as an effect health effects). Other epidemiological study designs
modifier, a variable that influences the relationship can also be informative, such as case-crossover
between exposure and disease but does not distort studies (in which individuals act as their own
the true relationship between exposure and disease. controls, comparing exposures when the health
Plausible confounders include weather variables such outcome of concern occurred with exposure levels
as temperature and relative humidity, which can during a comparable point in time) or panel studies
affect both pollutant formation and population (in which subjects are monitored intensively over a
health, as well as air pollutants other than those short period of time to evaluate the effects of
studied or measured. Because time-series studies rely exposure on outcomes such as daily symptoms or
largely on publicly available information and are lung function).
informative about the relationship between air Regardless of the type of toxicological or epide-
pollution and health, the majority of air pollution miological information, a crucial final step in
epidemiological studies are time-series studies. determining the health effects of an air pollutant is
Despite the numerous advantages of time-series to evaluate whether the evidence is sufficient to infer
studies, they cannot provide information about the a causal relationship rather than a simple associa-
effects of longer term exposures to air pollution tion. Although proper statistical control of confoun-
(known as chronic health effects). Time-series studies ders is an important first step, inferences about
58 Air Pollution, Health Effects of
causality require evidence that is outside of the epidemiology studies, along with miscellaneous
domain of individual studies. To make this evalua- neurological or reproductive end points. Another
tion more systematic, Sir Austin Bradford Hill important difference between the two pollutant
proposed nine ‘‘causal criteria’’ that could be applied. categories is that although it is assumed that cancer
These include strength of the association, consistency risks from air toxics have no threshold (meaning that
across studies or techniques, specificity of the health any level of exposure would lead to some risk of
effect, temporality (exposure preceding disease), cancer), criteria air pollutants or noncancer risks
biological gradient (higher exposures leading to from air toxics are assumed to have thresholds (levels
greater health risks), biological plausibility, coher- below which no population health impacts would
ence with known facts about the disease, supporting occur) unless it can be demonstrated otherwise.
experimental evidence, or analogy with other ex-
posures. Although these provide a useful basis for
3.1 Particulate Matter
analysis, Hill believed that these should not be
interpreted as rules, all of which must be followed, Of the criteria pollutants, particulate matter has
but rather as a framework in which evidence about received the greatest attention within the scientific
causality can be interpreted. community to date. PM can be simply defined as any
solid or liquid substance suspended in the air. As
such, PM can include many different substances,
ranging from sea salt, to elemental carbon directly
3. KEY POLLUTANTS AND emitted by diesel vehicles, to sulfate particles
HEALTH OUTCOMES secondarily formed from SO2 emissions. Air quality
regulations have focused historically on the size of
A number of air pollutants have been connected with particles rather than on the chemical composition,
human health impacts in epidemiological and/or given the complexity of particulate matter, the
toxicological studies. These pollutants are conven- difficulty of measuring numerous constituents, and
tionally divided into two categories: the physiological importance of particle size.
Originally, regulations in the United States and
1. Criteria pollutants: particulate matter (PM),
elsewhere focused on total suspended particles
ozone (O3), sulfur dioxide (SO2), nitrogen dioxide
(TSPs), which included airborne particles of all sizes.
(NO2), carbon monoxide (CO), and lead (Pb), as
However, the largest particles seemed unlikely to
defined by the United States Environmental Protec-
cause significant health impacts, because they remain
tion Agency (U.S. EPA) in the Clean Air Act. These
suspended in the air for brief periods of time and
pollutants are generally ubiquitous and have a range
cannot travel into the lungs (see Fig. 1). In 1987, the
of health impacts at typical ambient levels.
U.S. EPA modified the particulate matter National
2. Toxic air pollutants: also known as ‘‘hazardous
Ambient Air Quality Standard (NAAQS) to focus on
air pollutants,’’ substances considered to cause cancer
PM10, defined as the fraction of particles less than
or to lead to other potential noncancer effects that
10 mm in aerodynamic diameter. PM10 has also been
might include reproductive, developmental, or neu-
referred to as inhalable particles, because these
rological impacts. The U.S. EPA maintains a list of
particles are sufficiently small to enter the respiratory
hundreds of toxic air pollutants that are anticipated
system. The size fraction of interest was further
to impact human health.
constrained by the U.S. EPA in 1997, when they
As might be expected, there is substantially more proposed to change the focus of the NAAQS to
epidemiological evidence for criteria air pollutants PM2.5, the fraction of particles less than 2.5 mm in
than for toxic air pollutants, given the generally aerodynamic diameter. These smaller particles,
higher levels and shorter term effects (as well as the known as fine particles or respirable particles, are
existence of monitoring networks necessary for most most able to reach the lower portions of the lungs,
epidemiological investigations). In general, criteria where gas exchange occurs.
air pollutants have been associated with respiratory Historically, a large amount of the evidence of
or cardiovascular outcomes ranging from symptom particulate matter health effects has come from
exacerbation to premature death, with some limited epidemiological studies, in part because of the
evidence for lung cancer effects. Toxic air pollutants regulatory emphasis on total particulate matter
have largely been associated with cancer through a rather than chemical constituents. A number of
combination of toxicological and occupational time-series studies have evaluated the relationship
Air Pollution, Health Effects of 59
Pulmonary/alveolar region:
Generally particles 0.1−2.5 µm in size; slow clearance due to lack of
mucus layer
FIGURE 1 Relationship between particle size and site of particle deposition in the lung.
between daily changes in particulate matter concen- time period after the exposure increases, indicating
trations and daily changes in number of deaths, that harvesting is unlikely.
generally within a few days of the pollution incre- A final question from the time-series mortality
ment. These studies have been conducted in both literature is whether a threshold exists, and, if so, at
developed and developing country settings and in what concentration. Studies have generally not found
cities with a range of pollution types or levels, but evidence of a population threshold within the range
they have largely demonstrated a consistent relation- of ambient concentrations measured, although a
ship between PM and mortality even when the effects threshold could exist at levels lower than those
of weather or other air pollutants are taken into observed in the epidemiological studies.
account. Across the numerous studies that evaluated In contrast, there have been relatively fewer
the relationship between PM10 and daily mortality, cohort mortality studies in the published literature,
estimates generally have been on the order of a given the resource intensity of these investigations.
0.5–1% increase in deaths per 10 mg/m3 increase in Although multiple cohort mortality studies exist, two
daily average PM10 concentrations (although with studies published in the mid-1990s were among the
selected studies yielding either nonsignificant or earliest completed and provided an important basis
greater effects). These estimates have been similar for subsequent regulatory decisions and assessments
in cities with different levels of other air pollutants, of the health effects of air pollution. The Six Cities
different sources of particulate matter, and different Study tracked 8111 white adults who lived in six
correlations between other pollutants and particulate cities in the eastern half of the United States for 15–
matter, lending support to the hypothesis that 17 years. In each city, at the start of the study, the
particulate matter rather than other pollutants or research team set up a centrally located monitoring
confounders is responsible for this observed relation- station, where concentrations of both particulate
ship. As anticipated, in most studies, the effects were matter of various sizes and gaseous pollutants were
greater for respiratory or cardiovascular causes of measured. As a cohort study, this study was able to
death than for other causes of death. collect detailed information about individual beha-
A crucial issue for interpretation of time-series air viors that could influence health, such as smoking,
pollution studies is whether they represent a sig- obesity, and occupational exposures.
nificant loss of life expectancy or whether the deaths Controlling for these and other plausible con-
are simply a function of ‘‘harvesting,’’ whereby founders, the investigators found that mortality rates
individuals who would have otherwise died the next were significantly higher in the high-pollution cities
day are dying one day earlier due to acute pollution compared with the low-pollution cities, with the
exposure. If this were the case, then the death rate strongest associations found for three different
might increase above the expected level on one day measures of particulate matter (PM10, PM2.5, and
but drop below the expected level the next day, with sulfate particles). The relationship for SO2 was
no net increase in deaths over the week following the weaker than the PM relationships, and there was
pollution increase. Studies that have investigated the no association between mortality and ozone. Air
harvesting question have found that the relationship pollution was significantly associated with death
between PM and mortality does not vanish as the from cardiovascular and respiratory disease, was
60 Air Pollution, Health Effects of
positively associated with lung cancer (although not series studies (even when both types of studies
statistically significantly so), and was not associated consider the same particle size) and was associated
with other causes of death. The relative risk for in large part with particulate matter. Furthermore,
mortality was reported to be 1.26 for an 18.6 mg/m3 the cohort mortality studies likely represent a greater
increase in PM2.5 concentrations (95% confidence loss of life expectancy potentially related to induc-
interval: 1.08, 1.47), with no apparent threshold at tion rather than exacerbation of disease (such as lung
the pollution levels documented in the study (be- cancer, which cannot plausibly be related to air
tween 11.0 and 29.6 mg/m3 of PM2.5). pollution in a time-series study). Although inherent
To determine if the conclusions from the Six Cities limitations of epidemiology make it difficult to
Study were robust, the American Cancer Society disentangle the effects of individual pollutants, and
cohort study was conducted, in which individuals cohort studies have numerous behavioral confoun-
enrolled in the American Cancer Society Cancer ders that must be addressed statistically, the cohort
Prevention Study II were matched with the nearest mortality studies supported the time-series mortality
ambient air pollution monitoring data. This cohort studies regarding the role of particulate matter and
contained over 500,000 United States subjects living demonstrated a potentially greater effect for fine
in all 50 states, with detailed individual risk factor particles than for larger particles.
data collected. As in the Six Cities Study, the Along with the mortality effects, the epidemiol-
American Cancer Society study found a significant ogical literature for PM has documented morbidity
increase in mortality risks as levels of both PM2.5 and outcomes with a wide range of severity. Hospital
sulfate particles increased across cities. Cardiopul- admissions and emergency room visits for cardio-
monary mortality was significantly elevated for both vascular or respiratory causes have been studied
pollutants, whereas lung cancer mortality was extensively in time-series investigations, in part due
significantly associated with sulfate particles but to the publicly available information and the relative
not PM2.5. The relative risk for all-cause mortality ease of defining the health end points. Other acute
was 1.17 for a 24.5 mg/m3 increase in median annual health end points that have been associated with
PM2.5 concentrations (95% confidence interval: particulate matter exposure include upper and lower
1.09, 1.26), slightly lower than the relative risk from respiratory symptoms, asthma attacks, and days with
the Six Cities Study. No threshold for mortality risks restricted activities. Long-term particulate matter
was apparent across the range of fine particle exposure has also been associated with the develop-
concentrations in the study (between 9.0 and ment of chronic bronchitis, defined as inflammation
33.5 mg/m3 of median annual PM2.5 concentrations). of the lining of the bronchial tubes on a chronic
Additional analyses of these two cohorts empha- basis, with the presence of mucus-producing cough
sized the robustness of the findings across different most days of the month for at least 3 months of the
statistical formulations and additional confounders. year for multiple years, without other underlying
A detailed reanalysis of both studies by the Health disease. These morbidity end points are consistent
Effects Institute concluded that the findings did not with the types of premature deaths found in the
appear to be confounded by non-air-pollution vari- mortality studies and are therefore supportive of the
ables and that there was an association between relationship between particulate matter exposure
mortality and PM2.5 and sulfate particles, as well as and respiratory and cardiovascular health.
with gaseous SO2. A follow-up to the American
Cancer Society study used more monitoring data and
3.2 Ozone
more years of population follow-up on the original
cohort, along with a refined statistical approach and In contrast with the health evidence for PM, the
an increased number of behavioral confounders. The primary studies documenting ozone health effects
estimated effect of air pollution on mortality was have been a combination of toxicological, human
similar to the earlier findings, but the follow-up study chamber, and epidemiological studies. This is in part
documented a statistically significant association because, unlike PM, ozone is a single substance with
between PM exposure and lung cancer (potentially well-understood chemical properties. Ozone is an
due to the increased sample size given more years of oxidant gas that is poorly water soluble. Ozone is
follow-up). therefore able to travel throughout the respiratory
Thus, these two seminal cohort mortality studies tract, reacting with molecules on the surface of the
documented an effect of air pollution on mortality lung and leading to pulmonary edema, inflammation,
that is somewhat larger than the effect from the time- and the destruction of epithelial cells that line the
Air Pollution, Health Effects of 61
respiratory tract. These and other physical changes exposure as well as the importance of breathing rate
to the lung, many of which are transient but some of and time spent outdoors (because ozone levels
which may be permanent, could plausibly lead to a indoors are low, given the reactivity of ozone). Ozone
number of health outcomes documented in the exposure has also been linked with decreased lung
epidemiological literature, given sufficient ozone function in young adults who lived for long periods of
exposure. As in any epidemiological analysis, the time in cities with high ozone levels. Although the Six
crucial question is what level of ozone exposure is Cities Study and the American Cancer Society study
sufficient to induce health effects (or whether did not document an influence of long-term exposure
population health effects are found for any level of to ozone on premature death, there is both epide-
ozone exposure) and what the magnitude of the miological and physiological evidence supporting
relationship is between ozone exposure and various chronic pulmonary inflammation and other chronic
health outcomes. health effects due to low-level ozone exposure.
As anticipated, epidemiological and human cham-
ber studies have shown that ozone has an array of
3.3 Other Criteria Air Pollutants
acute effects on the respiratory system. Short-term
exposures to ozone have been associated with Although PM and ozone are the two pollutants
significant but reversible decreases in lung function studied most extensively in many past epidemiologi-
as well as increases in pulmonary inflammation. As cal investigations (especially studies of mortality
would be expected, these physiological changes have risk), there is also evidence of health effects of other
resulted in increases in both mild (respiratory criteria air pollutants. It has been well established
symptoms and restrictions of activity) and severe that extremely high levels of carbon monoxide (CO)
(emergency room visits and hospitalizations) mor- can lead to damage to the central nervous system,
bidity outcomes, depending on the health of the eventually leading to death at high enough concen-
individual and the magnitude of the exposure. trations. This is because hemoglobin preferentially
Ozone has also been associated with premature reacts with CO over oxygen (forming carboxyhe-
death in some time-series studies; however, because moglobin), thereby reducing the oxygen-carrying
high-ozone days tend to correspond with hot and capacity of the blood. Symptoms at lower levels of
humid days (which are associated with higher carboxyhemoglobin in the blood (below 30%)
mortality rates), it can be difficult to determine the include headache, fatigue, and dizziness, with coma,
relative contributions of air pollution and weather. respiratory failure, and subsequent death occurring
Ozone may also be correlated with particulate matter at levels above 60%.
and other air pollutants in some settings, impairing There has also been evidence that low levels of
the ability to determine the independent role of each exposure to CO (corresponding to typical ambient
pollutant. Finally, ozone does not penetrate indoors levels in some settings) can lead to cardiovascular
as readily as PM, making indoor exposures lower impairment. Time-series investigations have corre-
and outdoor monitor-based health evidence harder to lated cardiovascular hospital admissions with ex-
interpret. Regardless, considering a subset of pub- posure to CO even when controlling for other
lished studies that controlled both for other air pollutants, although the degree to which these effects
pollutants (primarily PM) and for the nonlinear are independent of the effects of other pollutants is
effects of weather on health, there appears to be an difficult to determine. However, controlled human
association between daily average ozone concentra- chamber studies have demonstrated that carboxyhe-
tions and premature death, with an approximate 1% moglobin levels as low as 2% are associated with
increase in deaths per 10 parts per billion (ppb) cardiovascular effects such as anginal pain or
increase in daily average ozone. Because fewer changes in electrocardiogram measures, providing
studies have focused on ozone mortality in detail support for the epidemiological findings.
than have focused on particulate matter mortality, Similarly, there is clear evidence that exposure to
both the existence and the magnitude of this effect extremely high levels of nitrogen dioxide can lead to
are somewhat uncertain. respiratory distress, with symptoms such as cough,
Ozone may also be associated with chronic, shortness of breath, and chest tightness occurring
nonreversible health outcomes. Children who ex- given short-term exposures on the order of 1 part
ercise outdoors in high-ozone areas have been shown per million (ppm; a level rarely seen in outdoor
to have increased risk of asthma development, air but occasionally found in poorly ventilated
demonstrating potential long-term effects of ozone indoor settings containing combustion sources).
62 Air Pollution, Health Effects of
These effects occur for reasons similar to those oped world due to the use of unleaded fuels, outdoor
involved in ozone health impacts, with the insoluble airborne lead can have significant health impacts near
nature of nitrogen oxides coupled with their oxida- industrial sites (such as lead smelters) or in countries
tive properties leading to damage to epithelial cells that still use a significant portion of leaded fuel.
and other forms of cytotoxicity. Although extremely high levels of blood lead have
At lower levels of air pollution, epidemiological been associated with severe central nervous system
studies have documented linkages between NO2 problems, the more prevalent health impacts, which
exposures and outcomes such as decreased lung have been documented at blood lead levels as low as
function or increased respiratory infections. A 10 mg/dl or lower, include incremental increases in
number of studies have investigated the relationship blood pressure and incremental decreases in the IQ of
between NO2 exposure and respiratory illness in children. Although both of these health end points are
children, often using the presence of gas stoves as a only incrementally affected by lead at generally seen
proxy for elevated exposures. These studies generally blood lead levels, the population health implications of
found that acute lower respiratory symptoms in small shifts in blood pressure or IQ can be significant.
children increased with incremental increases in NO2
concentrations, down to fairly low levels. Children
3.4 Toxic Air Pollutants
and individuals with preexisting respiratory disease
have been most strongly linked with respiratory Given the numerous toxic air pollutants (189
outcomes associated with NO2 exposure. compounds are listed in Section 112 of the 1990
As mentioned previously, there was an association U.S. Clean Air Act Amendments) with both cancer
between sulfur dioxide and premature mortality in the and noncancer health effects, the anticipated health
American Cancer Society cohort study. However, it effects of each of these pollutants cannot be
was difficult to determine the relative importance of described in detail here. However, the severity of
gaseous SO2 versus PM2.5 or secondary sulfate the carcinogenic effects of a toxic air pollutant can
particles, and this finding has generally not been generally be described in one of three ways—its
interpreted as a definitive causal relationship, given the cancer classification, its inhalation unit risk, or its
lack of supporting evidence for the lethality of low- population cancer risk.
level SO2 exposure. Sulfur dioxide has been estab- Because evidence about carcinogenicity can arise
lished as an irritant to the eyes and upper respiratory from a number of sources, the U.S. EPA, the Inter-
tract at high concentrations (multiple ppm). The site of national Agency for Research on Cancer (IARC), and
the documented respiratory tract effect differs some- other similar organizations have developed methods to
what from the sites hypothesized for ozone or nitrogen categorize the weight of evidence for carcinogenicity.
oxides. This is because SO2 is highly water soluble and As indicated in Table I, both the U.S. EPA and IARC
can therefore react in the upper respiratory tract, evaluate evidence from animal and human studies, as
making that the site of its irritant effects. well as available information about the mechanism of
Considering acute SO2 exposures at typical ambi- action of the compound, to draw conclusions about
ent concentrations, high-risk populations include the likelihood that the substance is carcinogenic. In
children with mild to moderate asthma and others general, few substances have been categorized as
with preexisting respiratory disease. Short-term ex- known human carcinogens (EPA Category A, IARC
posures to SO2 concentrations on the order of Category 1), because this requires statistically signifi-
0.25–0.5 ppm have been associated with bronchocon- cant epidemiological evidence, which is difficult to
striction and subsequent decreases in lung function obtain, given the need for studies that follow exposed
and increases in respiratory symptoms, for those with populations for decades, accurately characterize long-
asthma or other respiratory diseases. In agreement term exposures, and adequately control for potential
with these findings, some epidemiological studies confounders for cancer development (such as smok-
have associated respiratory hospital admissions or ing). Similarly, few substances have been determined
emergency room visits with SO2, although the to be noncarcinogens, because most substances tested
evidence supporting these more severe outcomes has (which is only a subset of those substances to which
not been substantial. However, it is clear that sulfur humans are exposed) have some positive evidence of
dioxide and its related secondary by-products have carcinogenicity in some test or species.
potential health impacts at higher pollution levels. Once the likelihood of carcinogenicity has been
Finally, although the health effects of airborne lead established, the inhalation unit risk is calculated,
have been drastically reduced in much of the devel- given evidence from animal and human studies. The
Air Pollution, Health Effects of 63
TABLE I
Cancer Classification Systems by the U.S. Environmental Protection Agency (EPA) and International Agency for Research on Cancer (IARC)
U.S. EPA
A Known carcinogen Any Sufficient
B1 Probable carcinogen Sufficient Limited
B2 Probable carcinogen Sufficient Inadequate or none
C Possible carcinogen Limited Inadequate or none
D Not classifiable Inadequate Inadequate or none
E Noncarcinogen None None
IARC
1 Known carcinogen Any Sufficient
Sufficient Strong relevant mechanism
2A Probable carcinogen Sufficient Limited
Inadequate þ strong relevant mechanism
2B Possible carcinogen oSufficient Limited
Sufficient Inadequate
3 Not classifiable Inadequate or limited Inadequate
4 Probable noncarcinogen Negative Negative
Inadequate
inhalation unit risk refers to the excess lifetime cancer omissions. The analytical approach just described
risk estimated to result from continuous lifetime focused on cancer risks; however, many air toxics also
exposure to the given substance at a concentration of have noncancer risks that can be substantial. A
1 mg/m3 in the air. For most compounds, the inhala- prominent example is mercury, for which there is
tion unit risk must be calculated from animal studies substantial evidence of neurological impairment (such
that use much higher doses than are commonly found as impaired motor skills or cognitive function) but
for human populations. Statistical techniques based limited evidence of carcinogenic effects. For these
in part on hypothesized mechanisms of action for noncancer effects, the general analytical approach is to
cancer development are used to determine appro- determine whether an adverse health effect is likely to
priate inhalation unit risks at low doses, but this occur, rather than quantifying a unit risk factor. This is
analytical process contains multiple steps that con- done by determining a reference dose from animal or
tribute uncertainty to the final quantitative estimate. human studies, i.e., an estimate (with uncertainty
As is clear from the definition of inhalation unit spanning perhaps an order of magnitude) of the daily
risk, the population cancer risk from a toxic air exposure to the human population (including sensitive
pollutant will be a function of both the inhalation subgroups) that is likely to be without an appreciable
unit risk and the level of population exposure to the risk of adverse effects during a lifetime. As indicated by
substance. Investigations by the U.S. EPA provide the careful language in the definition, this reference
some indication of the outdoor air toxics that dose is not meant to be a definitive bright line, in part
contributed most substantially to cancer risk in the because of the number of uncertainties embedded in
United States in 1990, based on estimated inhalation its calculation (i.e., extrapolation from short-term
unit risks and modeled outdoor concentrations of the studies of genetically homogeneous rats to health
pollutants. In total, five substances contributed more effects from long-term exposures in heterogeneous
than 75% of the total estimated cancer risk from human populations).
outdoor air toxics—polycyclic organic matter, 1,3-
butadiene, formaldehyde, benzene, and chromium.
Along with their relatively high inhalation unit risks IV. HEALTH EFFECTS OF
and ambient concentrations, these substances are all INDOOR AIR POLLUTION
considered probable or known human carcinogens.
Although this captures some of the most substantial The information discussed thus far was obtained
health effects from air toxics, there are a few important from studies that largely focused on the effects of
64 Air Pollution, Health Effects of
pollution generated outdoors (such as from power some general conclusions can be drawn based on
plants or motor vehicles) on population health, existing information:
which includes exposure during time spent outdoors
as well as exposure indoors from pollution penetrat- 1. At current levels of air pollution in most
ing from the outdoors. However, most of these developed and developing country settings, there is
studies did not consider indoor-generated pollution. evidence of both mortality and morbidity effects.
Indoor-generated air pollution can be extremely However, extreme episodes are rare and the relative
important in both developing and developed country risk of health effects of air pollution is low enough to
settings, both because of the amount of time people necessitate incorporating evidence from a number of
spend at home and because, in a confined space, types of studies (including epidemiological and
pollution levels can quickly reach extremely high toxicological studies) to determine the magnitude
levels when a highly emitting fuel is burned indoors. of the effect and the likelihood of causality.
The uncontrolled combustion of biofuels, ranging 2. For criteria air pollutants, the most extensive
from wood, to animal waste, to crop residues, to coal, evidence is related to particulate matter, which has
is prevalent among poorer households in developing been associated with premature death and cardio-
countries, with about 50% of the global population pulmonary morbidity due to both short-term and
relying on these energy sources for heating and long-term exposures. However, uncertainties exist
cooking. Numerous pollutants are emitted at high regarding the components of particulate matter
rates from biofuel combustion, including particulate causally linked with health outcomes and the relative
matter, carbon monoxide, nitrogen oxides, and carci- contributions of other criteria pollutants to the
nogens such as formaldehyde or benzo[a]pyrene. The public health burden of air pollution. The fact that
high emission rates into confined spaces result in long-term cohort studies have been conducted only
extremely high indoor concentrations, with daily in developed countries also contributes uncertainty
average levels as high as 50 ppm of CO and 3000 mg/ in extrapolating the findings to locations with much
m3 of PM10 (versus U.S. EPA primary health standards higher levels of pollution.
of 9 ppm of CO and 150 mg/m3 of PM10). As a result, 3. In most settings, a subset of toxic air pollutants
rates of multiple diseases are elevated in homes contributes a substantial portion of the population
burning biofuels, including acute respiratory infec- cancer risk from outdoor air toxic emissions, with
tions, chronic obstructive pulmonary disease, cancer, polycyclic organic matter, 1,3-butadiene, formalde-
and low birth weight. It has been estimated that indoor hyde, benzene, and chromium among the most
air pollution is responsible for nearly 3 million deaths substantial contributors in the United States at present.
per year globally, approximately two-thirds of which 4. Indoor air pollution, compared to outdoor air
occur in rural areas of developing countries. pollution, could contribute more significantly to
Although the health effects of indoor air quality and health impacts, given the amount of time spent
its linkage with energy are predominantly a developing indoors and the higher concentrations of combus-
country story, the developed world is not immune to tion-related pollutants in indoor settings with limited
these problems. Homes that have been tightened to ventilation. This problem is most severe in rural
improve energy efficiency can have reduced ventilation settings in developing countries, where the direct
rates and subsequent increases in indoor pollution burning of biofuels has been associated with respira-
concentrations. As already mentioned, the use of gas tory disease and other health end points.
stoves can increase indoor concentrations of nitrogen
dioxide, which has been associated with increased
respiratory disease in children. In addition, for many
air toxics, exposure to indoor sources can exceed SEE ALSO THE
exposure to outdoor sources, due to the use of cleaning FOLLOWING ARTICLES
products, off-gassing from building materials, and
other emission sources. Acid Deposition and Energy Use Air Pollution from
Energy Production and Use Clean Air Markets
Climate Change and Public Health: Emerging
V. CONCLUSIONS Infectious Diseases Gasoline Additives and Public
Health Indoor Air Quality in Industrial Nations
Although the evidence supporting the health impacts Radiation, Risks and Health Impacts of Thermal
of air pollution is varied and evolving over time, Pollution
Air Pollution, Health Effects of 65
Further Reading Levy, J. I., Carrothers, T. J., Tuomisto, J., Hammitt, J. K., and
Evans, J. S. (2001). Assessing the public health benefits of
Bruce, N., Perez-Padilla, R., and Albalak, R. (2000). Indoor air reduced ozone concentrations. Environ. Health Perspect. 109,
pollution in developing countries: A major environmental and 1215–1226.
public health challenge. Bull. World Health Org. 78, 1078– Pope, C. A. III, Burnett, R. T., Thun, M. J., Calle, E. E., Krewski,
1092. D., Ito, K., and Thurston, G. D. (2002). Lung cancer,
Dockery, D. W., Pope, C. A. 3rd, Xu, X., Spengler, J. D., Ware, J. cardiopulmonary mortality, and long-term exposure to fine
H., Fay, M. E., Ferris, B. G. Jr., and Speizer, F. E. (1993). An particulate air pollution. J. Am. Med. Assoc. 287, 1132–1141.
association between air pollution and mortality in six U.S. Pope, C. A. III, Thun, M. J., Namboodiri, M. M., Dockery,
cities. N. Engl. J. Med. 329, 1753–1759. D. W., Evans, J. S., Speizer, F. E., and Heath, C. W. Jr. (1995).
Hill, A. B. (1965). The environment and disease: Association or Particulate air pollution as a predictor of mortality in a
causation? Proc. R. Soc. Med. 58, 295–300. prospective study of U.S. adults. Am. J. Respir. Crit. Care
Holgate, S. T., Samet, J. M., Koren, H. S., and Maynard, R. L. Med. 151, 669–674.
(Eds.). (1999). ‘‘Air Pollution and Health.’’ Academic Press, San Thurston, G. D., and Ito, K. (2001). Epidemiological studies of
Diego. acute ozone exposures and mortality. J. Expo. Anal. Environ.
Krewski, D., Burnett, R. T., Goldberg, M. S., Hoover, K., Epidemiol. 11, 286–294.
Siemiatycki, J., Jarrett, M., Abrahamowicz, M., and White, Woodruff, T. J., Caldwell, J., Cogliano, V. J., and Axelrad, D. A.
W. H. (2000). ‘‘Particle Epidemiology Reanalysis Project. (2000). Estimating cancer risk from outdoor concentrations of
Part II: Sensitivity Analyses.’’ Health Effects Institute, Cam- hazardous air pollutants in 1999. Environ. Res. (Sect. A) 82,
bridge, MA. 194–206.
Alternative Transportation Fuels:
Contemporary Case Studies
S. T. COELHO and J. GOLDEMBERG
University of São Paulo
São Paulo, Brazil
sector. Presently, the major disadvantage of biodiesel to cereal grains and increased grain handling and
is its high production cost. As discussed in Section transportation costs. Canola production peaked in
3.1, in the case of Brazil, biodiesel forecasted costs 1994 and 1995, limited by suitable land base and
are higher than diesel costs. crop rotational requirements. However, higher yield
due to new Brassica juncea varieties and improved
2.1.1 Biodiesel in the United States chemical weed control may further increase produc-
Interest in biodiesel in the United States was tion in the medium term. There is a potential for the
stimulated by the Clean Air Act of 1990, combined use of lower quality canola oils derived from
with regulations requiring reduced sulfur content in overheated or frost-damaged seed without any ill
diesel fuel and reduced diesel exhaust emission. The effects on biodiesel quality.
Energy Policy Act of 1992 established a goal of
replacing 10% of motor fuels with petroleum 2.1.5 Biodiesel in Brazil
alternatives by the year 2000 (a goal that was not In 1998, several initiatives were implemented in
reached) and increasing to 30% by the year 2010. Brazil, aiming to introduce biodiesel into the
Brazilian energy matrix. The initiatives included (1)
2.1.2 Biodiesel in Europe tests performed in South Brazil, using the so-called
Two factors have contributed to an aggressive B20 blend (20% ester and 80% diesel oil), in specific
expansion of the European biodiesel industry. Re- fleets of urban buses, (2) the building of a small-scale
form of the Common Agricultural Policy to reduce pilot plant for biodiesel production from fat and
agricultural surpluses was of primary importance. palm oil (largely produced in North Brazil), and (3)
This policy, which provides a substantial subsidy to laboratory-scale production and tests of biodiesel
non-food crop production, stimulated the use of land using soybean oil/sugarcane ethanol. The Brazilian
for non-food purposes. Secondarily, high fuel taxes in federal government subsequently decided to establish
European countries normally constitute 50% or a work group of specialists from all involved sectors,
more of the retail price of diesel fuel. In 1995, creating the National Biodiesel Program in 2002.
Western Europe biodiesel production capacity was This program will mainly analyze the use of surplus
1.1 million tons/year, mainly produced through the of soybean oil, which is produced on a large scale in
transesterification process. This added over 80,000 Brazil and is presently facing, export barriers.
tons of glycerin by-products to the market annually, The economic competitiveness of biodiesel and
creating created a large surplus. Germany thus diesel oil has been evaluated; studies in Brazil show
decided to limit the production of biodiesel using that biodiesel production costs are higher than diesel
the transesterification process. When it is not costs (Table I).
possible to market the glycerin by-product, one
method of disposal of the excess is incineration;
however, this creates an environmental risk and TABLE I
results in additional costs. Germany is now focusing Production Cost for Methyl Ester (1 Ton) from Soy Oil in Brazila
on biodiesel production using the cold-pressed rape-
seed method to avoid the problem of excess glycerin. Amount
TABLE II
Energy Balance of Ethanola from Sugarcane and from Corn
method of making hydrogen today involves using Extensive research and development have promised
natural gas as a feedstock. Petroleum-based fuels, the widespread use of fuel cells in the near future. All
including gasoline and diesel, can also be used, but major auto companies have fuel cell-powered vehicles
this may compromise a major objective behind in the works, and a nascent fuel cell industry is
alternative fuels, i.e., to reduce oil consumption. growing rapidly. By the kilowatt, fuel cells still cost
Hydrogen production is through the "reform reac- more today than do conventional power sources
tion" of an existing fuel (natural gas, methanol, (from $1000 upto $5000/kW, U.S. dollars), but an
ethanol, or naphtha), a chemical reaction that increasing number of companies are choosing fuel
"extracts" the hydrogen from the fuel, producing a cells because of their many benefits, and large-scale
gas mixture of carbon monoxide (CO) and hydrogen. production is expected to make fuel cell costs decline.
The hydrogen must be separated from the CO to be According to the U.S. National Renewable Energy
fed into the fuel cell. This reaction can be performed Laboratory, hydrogen prices vary widely, depending
in a stationary system (and the vehicle will carry a on the transport distance and the type of hydro-
high-pressure hydrogen storage tank) or in an on- gen (from 17 to 55 cents/100 cubic feet), but cost
board reformer/fuel cell system (and the vehicle will figures for hydrogen use as transportation fuel are
carry a conventional fuel tank to feed the system). not yet available.
Both possibilities are now under study in several
countries. According to some specialists, ethanol
2.5 Methanol
should be the fuel of choice for fuel cells due to its
lower emissions and because it is produced from a Methanol (or methyl alcohol) is an alcohol (CH3OH)
renewable source (biomass). that has been used as alternative fuel in flexible
Though fuel cells have been widely publicized in fuel vehicles that run on M85 (a blend of 85%
recent years, they are not new: the first one was methanol and 15% gasoline). However, methanol
produced in 1839. Fuel cells powered the Gemini is not commonly used nowadays because car
spacecraft in the 1960s, continue to power the Space manufacturers are no longer building methanol-
Shuttle, and have been used by the National powered vehicles. Methanol can also be used to
Aeronautics and Space Administration (NASA) on make methyl-tert-butyl ether (MTBE), an oxygenate
many other space missions. Although their operation that is blended with gasoline to enhance octane
is simple, they have been quite expensive to make. and reduce pollutant emissions. However, MTBE
72 Alternative Transportation Fuels: Contemporary Case Studies
production and use have declined due to the fact that 45,000
MTBE contaminates groundwater. In the future, 40,000
methanol may be an important fuel, in addition to
improvements to the technology employed to find plant. The natural gas liquid components recovered
and produce natural gas. during processing include ethane, propane, and
Consumption of natural gas for fuel increased butane, as well as heavier hydrocarbons. Propane
more than consumption of any other fuel in 2000, and butane, along with other gases, are also
with global consumption rising by 4.8%, the highest produced during crude refining as a by-product of
rate since 1996. This was driven by growth in the processes that rearrange and/or break down
consumption of 5.1% in the United States and molecular structure to obtain more desirable petro-
Canada, which together represent more than 30% leum compounds.
of world demand. Chinese consumption increased by The propane market is a global market. Approxi-
16%, although China still represents only 1% of mately 1.3 billion barrels of propane are produced
world consumption. In the former Soviet Union, worldwide. Although the United States is the lar-
growth of 2.9% was the highest for a decade. gest consumer of propane, Asian consumption is
Gas production rose by 4.3% worldwide, more growing fast. According to the World LP Gas
than double the average of the last decade. This Association, during 1999 China achieved a growth
growth is mainly due developments in the United rate of over 20% in their consumption of propane,
States and Canada, where production rose by 3.7%, largely in the residential/commercial sector. Other
and the fastest since 1994. Growth exceeded 50% in notable increases were recorded in India, Iran, and
Turkmenistan, Nigeria, and Oman, and 10% in 11 South Korea, which are rebounding from the Asian
other countries. Russia, the second largest producer, economic crisis.
saw output decline by 1.1%. North America
produced and consumed in 2000 more than 70 bil-
lion cubic feet (bcf)/day. The former Soviet union 2.8 Solar Energy
produced about 68 bcf/day and consumed about Solar energy technologies use sunlight to produce
53 bcf/day. Europe produced less than 30 bcf/day heat and electricity. Electricity produced by solar
but consumed about 1.5 times more. The balance is energy through photovoltaic technologies can be used
practically even in South and Central America (with in conventional electric vehicles. Using solar energy
a little less than 10 bcf/day) and is almost even in directly to power vehicles has been investigated
Asia Pacific (about 30 bcf/day; consumption higher primarily for competition and demonstration vehi-
than production) and the Middle East (about 20 bcf/ cles. Solar vehicles are not available to the general
day; production a little higher than consumption). public, and are not currently being considered for
Africa produced more than 10 bcf/day but consumed production. Pure solar energy is 100% renewable and
less than half of it. a vehicle run on this fuel emits no pollutants.
In the U.S. market, natural gas prices are about
$1.5/million British thermal units (MMBtu) above
oil spot prices, which ranged from $2.1 to $3.5/ 3. CASE STUDIES: ETHANOL
MMBtu by the end of 2002 (according to the U.S.
USE WORLDWIDE
Department of Energy; information is available on
their Web site at www.eia.doe.gov).
3.1 The Brazilian Experience
The Brazilian Alcohol Program (PROALCOOL) to
2.7 Propane
produce ethanol from sugarcane was established
Liquefied petroleum gas (LPG) consists mainly of during the 1970s, due to the oil crises, aiming to
propane (C3H8) with other hydrocarbons such as reduce oil imports as well as to be a solution to the
propylene, butane, and butylene, in various mix- problem of the fluctuating sugar prices in the
tures. However, in general, this mixture is mainly international market. The program has strong
propane. The components of LPG are gases at positive environmental, economic, and social as-
normal temperatures and pressures. Propane-pow- pects, and has become the most important biomass
ered vehicles reportedly have less carbon build-up energy program in the world. In 1970, some
compared to gasoline- and diesel-powered vehicles. 50 million tons of sugarcane were produced, yielding
LPG is a by-product from two sources: natural gas approximately 5 million tons of sugar. In 2002,
processing and crude oil refining. When natural gas is sugarcane production reached 300 million tons,
produced, it contains methane and other light yielding 19 million tons of sugar and 12 billion liters
hydrocarbons that are separated in a gas-processing of alcohol (ethanol). In 2002, the total land area
74 Alternative Transportation Fuels: Contemporary Case Studies
Prices
Alcohol ($/liter)
large extent, traditional coffee plantations). The 0,500 Diesel ($/liter)
average productivity of sugarcane crops in Brazil is 0,450 Natural gas ($/m³ )
Gasoline ($/liter)
0,400
70 tons/hectare, but in São Paulo State there are mills 0,350
with a productivity of 100 tons of cane per hectare. 0,300
Ethanol production costs were close to $100/ 0,250
0,200
barrel in the initial stages of the program in 1980.
Fe ry 1
ch 2
01
ua 002
02
02
ay 2
ne 2
After that, they fell rapidly, to half that value in 1990,
00
00
0
20
20
20
20
20
20
r2
Ja er 2
2
ry
er
ril
due to economies of scale and technological progress,
be
a
b
Ap
ob
ar
Ju
nu
em
em
br
M
ct
followed by a slower decline in recent years.
ov
ec
N
D
Considering the hard currency saved by avoiding oil Period
importation through the displacement of gasoline by
ethanol, it is possible to demonstrate that the Alcohol FIGURE 3 Transportation fuel prices in Brazil (in U.S. dollars).
Program has been an efficient way of exchanging
dollar debt for national currency subsidies, which industrial enterprises willing to produce ethanol, in
were paid by the liquid fossil fuel users. the form of loans with low interest rates, from 1980 to
The decision to use sugarcane to produce ethanol 1985; third, steps were taken to make ethanol attrac-
in addition to sugar was a political and economic one tive to consumers, by selling it at the pump for 59% of
that involved government investments. Such decision the price of gasoline. This was possible because the
was taken in Brazil in 1975, when the federal government at that time set gasoline prices.
government decided to encourage the production of The subsidies for ethanol production have been
alcohol to replace gasoline, with the idea of reducing discontinued and ethanol is sold for 60–70% of the
petroleum imports, which were putting great con- price of gasoline at the pump station, due to
straints in the external trade balance. At that time, significant reduction of production costs. These
sugar price in the international market was declining results show the economic competitiveness of etha-
very rapidly and it became advantageous to shift nol when compared to gasoline. Considering the
from sugar to alcohol production. Between 1975 and higher consumption rates for net-ethanol cars,
1985, the production of sugarcane quadrupled and ethanol prices at the station could be as much as
alcohol became a very important fuel used in the 80% of gasoline prices. Fig. 3 shows a comparison of
country. In 2002, there were 321 units producing the different transportation fuels in Brazil.
sugar and/or alcohol (232 in central–south Brazil and
89 in northeast Brazil). An official evaluation of the 3.1.1 Impact of Alcohol Engines on Air Pollution
total amount of investments in the agricultural and All gasoline used in Brazil is blended with 25%
industrial sectors for production of ethanol for anhydrous ethanol, a renewable fuel with lower
automotive use concluded that in the period 1975– toxicity, compared to fossil fuels. In addition to the
1989, a total of $4.92 billion (in 2001 U.S. dollars) alcohol–gasoline (gasohol) vehicles, there is a 3.5 mil-
was invested in the program. Savings on oil imports lion-vehicle fleet running on pure hydrated ethanol in
reached $43.5 billion (2001 U.S. dollars) from 1975 Brazil, 2.2 million of which are in the São Paulo
to 2000. metropolitan region. Initially, lead additives were
In Brazil, ethanol is used in one of two ways: (1) reduced as the amount of alcohol in the gasoline was
as an octane enhancer in gasoline in the form of increased, and lead was completely eliminated by
20–26% anhydrous ethanol (99.61 Gay-Lussac and 1991. Aromatic hydrocarbons (such as benzene),
0.4% water) and gasoline, in a mixture called which are particularly toxic, were also eliminated and
gasohol, or (2) in neat-ethanol engines in the form the sulfur content was reduced as well. In pure
of hydrated ethanol at 95.51 Gay-Lussac. Increased ethanol cars, sulfur emissions were eliminated, which
production and use of ethanol as a fuel in Brazil were has a double dividend. The simple substitution of
made possible by three government actions during alcohol for lead in commercial gasoline has dropped
the launching of the ethanol program. First, it was the total carbon monoxide, hydrocarbon, and sulfur
decided that the state-owned oil company, Petrobrás, emissions by significant numbers. Due to the ethanol
must purchase a guaranteed amount of ethanol; blend, ambient lead concentrations in the São Paulo
second, economic incentives were offered to agro- metropolitan region dropped from 1.4 mg/m3 in 1978
Alternative Transportation Fuels: Contemporary Case Studies 75
The tax on industrialized products (IPI), initially 216 million m3 of ethanol have been produced,
set lower for alcohol-fueled cars, was increased in displacing the consumption of 187 million m3 of
1990, when the government launched a program of gasoline. This means that around $33 billion (U.S.
cheap ‘‘popular cars’’ (motors with a cylinder volume 1996 dollars) in hard currency expenditures were
up to 1000 cm3) for which the IPI tax was reduced to avoided.
0.1%. According to the local manufacturers, the The international alternative liquid fuel market is
‘‘popular cars’’ could not be easily adapted to use currently an interesting option if developed countries
pure alcohol because this would make them more decide effectively to limit CO2 emissions to satisfy the
expensive and would take time. Competition be- goals established in the 1992 Rio de Janeiro
tween manufacturers required an immediate answer conference, in the Climate Convention adopted in
to benefit from the tax abatement. the United Nations World Summit for Sustainable
Significant lack of confidence in a steady supply Development. There are also reasons to develop an
of alcohol and the need to import ethanol/methanol alternative to fossil fuels for economic and strategic
to compensate for a reduction in local production reasons while promoting better opportunities for
due to the increase on sugar exports (high sugar farmers. Food production efficiency has improved
prices in international market). so much in the past 30 years that around 40–60 mil-
lion hectares (Mha) of land is now kept out of
As a result, the sales of pure ethanol cars dropped production to maintain food product prices at a
almost to zero in 1996. However, in 2001, this reasonable level able to remunerate farmers in the
scenario started to change: 18,335 units of pure OECD countries. With the introduction of biomass-
ethanol car were sold, showing an increase in derived liquid fuels, a new opportunity exists for
consumer interest. Use of blended ethanol–gasoline utilization of such lands and preservation of rural
has not been affected due the existence of a federal jobs and employment in industrialized countries. Not
regulation that requires addition of ethanol in all all industrial countries have free agricultural areas to
gasoline sold in Brazil. produce biofuels, and even those that do will not be
Other countries adopt special taxes (mainly on able to satisfy fully the demand for biofuel, at a
gasoline) that are quite substantial (around 80% in reasonable price and in an environmentally sound
Italy and France, around 60% in the United King- way. The total automobile fleet in Western Europe
dom, Belgium, Germany, and Austria, and around exceeds 200 million units, demanding more than
30% in the United States). In addition, ethanol as 8 million barrels/day (bl/day) of gasoline. To satisfy
an additive is made viable in some countries by such a level of demand with a 10% ethanol blend,
differentiated taxes and exemptions. In the United production of 0.8 million bl/day is necessary, of which
States, federal taxes on gasoline are 13.6 cents/gallon probably two-thirds would be imported. This means
(3.59 cents/liter). The addition of 1 gallon of ethanol an international market of 530,000 bl/day for ethanol
leads to a credit of 54 cents/gallon, or $26.68/barrel from sugarcane, which could be shared mainly by a
(U.S. dollars). Some states have also introduced few developing tropical countries, such as Brazil,
tax exemptions that are the equivalent of up to India, Cuba, and Thailand. With the creation of such
$1.10/gallon, or $46.20/barrel. The rationale for a market, some developing countries could redirect
these subsidies and exemptions is the same as their sugarcane crops to this market instead of to
was used in Brazil in the past, such as the social sugar. Sugar is a well-established commodity with a
benefits of generating employment and positive declining real average price in the international
environmental impacts. market. This is not the case for gasoline, for which
An interesting option regarding the future for the the average real price is increasing.
ethanol program is its expansion. To guarantee Finally it is worthwhile to add that the interna-
ethanol market expansion, there are two distinct tional fuel market option has the potential to increase
alternatives: increase national demand or create an ethanol demand to a level above the level presented
international alternative liquid fuel market. How- here, because (depending on the seriousness of
ever, international trade of ethanol still faces several environmental problems) ethanol blends of up to
difficulties regarding import policies of developed 25% may be marketed in the future, as is already
countries. Finally, it is also important to consider the happening in Brazil, as well as the possibility that
effect the use of ethanol has in the balance of such a practice will be followed by the diesel oil
payments made by Brazil. Since the beginning of the industry. Brazil’s sugarcane industry is recovering
alcohol program in 1975, and until 2000, at least from a significant decrease in production in recent
Alternative Transportation Fuels: Contemporary Case Studies 77
TABLE III In 2002, the U.S. Senate passed an energy bill that
Comparative Prices of Transportation Fuels in Brazil and the includes a provision that triples the amount of
United Statesa ethanol to be used in gasoline in the next 10 years.
This policy, combined with regulations requiring
Pricesb reduced sulfur content in diesel fuel and reduced
diesel exhaust emission, also was designed to foster
Brazil United States
an interest in biodiesel. Ethanol blended fuel is now
Fuel Low High Low High marketed throughout the United States as a high-
quality octane enhancer and oxygenate, capable of
Gasoline 20.92 24.69 11.49 20.38 reducing air pollution and improving vehicle perfor-
Natural gas 7.63 7.94 6.21 6.48 mance. The federal administration denied California
Diesel 8.67 9.75 8.81 10.41 an oxygenate waiver in 2002, thus ethanol fuel
Ethanolc 16.39 17.76 17.92 21.90 production is expected to grow strongly. According
Methanol nad nad 12.93 16.14 to the Renewable Fuels Association, by the end of
a
Data from Brazilian Petroleum National, the Alternative Fuels 2003, U.S. annual ethanol production capacity will
Data Center, the U.S. Gas Price Watch, and the Ministry of Science reach 3.5 billion gallons (13.25 billion liters).
and Technology. Calculations by the Brazilian Reference Center on California currently uses 3.8 billion gallons/year
Biomass. of MTBE, compared with total U.S. use of 4.5 billion
b
All prices in U.S. dollars ($/m3); average prices taken between
gallons/year. MTBE, like ethanol, is an oxygenate
January and July, 2002. Exchange rate, Brazilian real (R)/U.S.
dollar, 2.8/1. that allows lower pollutant emissions from gasoline.
c
Brazilian ethanol from sugarcane and U.S. ethanol from corn. Under federal law, in urban areas with the worst
d
na, Not available. pollution (as in many California cities), gasoline
must contain at least 2% oxygen by weight. This
requirement applies to about 70% of the gasoline
sold in California. The use of MTBE will be
years; in 2002, a sugarcane surplus allowed Brazil to
discontinued by 2003 in California, being replaced
increase ethanol exports. Table III shows comparative
by ethanol, which does not present risks of contam-
prices of gasoline, natural gas, diesel oil, methanol,
ination of water supplies.
and ethanol in both Brazil and the United States. The
In the United States, fuel ethanol production
low prices of gasoline in the United States are
increased from about 150 million gallons in 1980
remarkable compared to Brazilian prices. It also must
to more than 1700 million gallons in 2001, according
be noted that ethanol prices in Brazil, in contrast to
to the Renewable Fuels Association. In the period
the United States, do not include any subsidies.
1992–2001, the U.S. demand for fuel ethanol
increased from 50 to 100 thousand barrels/day,
whereas MTBE demand increased from 100 to 270
3.2 The U.S. Experience
thousand barrels/day. According to the Renewable
In 2000, 19.7 million barrels of crude oil and Fuels Association, ethanol production in the United
petroleum products were consumed in the United States affords several advantages:
States per day (25% of world production); more than
half of this amount was imported. The United States *
Ethanol production adds $4.5 billion to U.S. farm
has the lowest energy costs in the world. In 2001, income annually.
ethanol-blended fuels represented more than 12% *
More than 900,000 farmers are members of
of motor gasoline sales, with 1.77 billion gallons ethanol production cooperatives; these
produced from corn. Corn is used as the principal cooperatives have been responsible for 50% of
feedstock, in contrast to practices in Brazil, where all new production capacity since 1990.
ethanol is produced from sugarcane, which consider- *
Ethanol production provides more than 200,000
ably less expensive than corn. The U.S. Congress direct and indirect jobs.
established the Federal Ethanol Program in 1979 to *
Ethanol production reduces the U.S. negative
stimulate rural economies and reduce the U.S. trade balance by $2 billion/year.
dependence on imported oil. In 1992, the Energy
Policy Act established a goal of replacing 10% of In June 2002, ethanol and MTBE prices in the
motor fuels with petroleum alternatives by the year United States were practically equivalent ($1/gallon).
2000, increasing this to 30% by the year 2010. Gasoline prices were $0.8/gallon.
78 Alternative Transportation Fuels: Contemporary Case Studies
liters/year of ethanol from coal. This capacity was gasoline produced by imported crude oil, the
developed during the 1950s to reduce South Africa’s Japanese have yet to use ethanol as a fuel. Japan’s
dependence on oil imports during the apartheid era. interest in green energy increased with the 1997
Synthetic ethanol production can top 400 million Kyoto Protocol, which went into effect in 2002. The
liters/year, but usually fluctuates with demand on the Kyoto Protocol aims to cut carbon dioxide emissions
world market in general, and on the Brazilian market by 5.2% by 2012.
in particular. Since the mid-1990s, the efforts to In order to implement mandatory use of ethanol in
introduce coal-derived ethanol into gasoline have Japan, the Environment Ministry must win the
repeatedly failed because of petroleum and auto- support of the oil-refining industry as well as the
mobile industry complaints about the low quality of energy and transportation arms of the government.
the ethanol. Coal-derived alcohols are not pure
ethanol. The original alcohol additive contained only 3.3.7 Malawi
65% ethanol, which caused significant engine Malawi has very favorable economic conditions for
problems. In 1990, the quality issues seem to have ethanol. Like Zimbabwe, Malawi was on the forefront
been resolved through development of an 85% of fuel alcohol development; Malawi has blended
ethanol blend, and the coal-derived ethanol is used ethanol with its gasoline continuously since 1982, and
in South Africa as a 12% blend with gasoline. South has thereby eliminated lead. Because of high freight
Africa also produces ethanol from natural gas, costs, the wholesale price of gasoline is about 56 cents/
about 140 million liters/year, and it is quite expen- liter retail. Moreover, Malawi’s molasses has a low
sive. In addition, there are other plants that use value because the cost of shipping it to port for export
molasses as a feedstock. typically exceeds the world market price. Malawi’s
Ethanol Company Ltd. produces about 10–12 million
3.3.5 Thailand liters/year, providing a 15% blend for gasoline.
In 2000, Thailand launched a program to mix 10%
ethanol with gasoline. Ethanol would be produced 3.3.8 China
from molasses, sugarcane, tapioca, and other agri- China is also interested in introducing an alcohol
cultural products. The goal was the production of program. A pilot program was introduced in the
730 million liters/year by 2002. One of the major Province of Jilin in 2001, and, in 2002, a Chinese
sugar groups in Thailand announced that it would delegation from the Province of Heilonjiand visited
invest Bt800 in an ethanol plant in 2002. This group Brazil. The Chinese government is concerned about
would apply for a license to produce ethanol as an the increase in oil consumption in the country
alternative fuel for automobiles. On approval from (around 7–7.5%/year between 2000 and 2005) and
the National Ethanol Development Committee, the the alcohol–gasoline blend appears to be an interest-
building of the plant was scheduled to begin ing option due to job generation and to the potential
immediately and it was expected to take 12 to for reducing the pollution in large Chinese cities.
18 months to complete. The group expects to use China finds itself short on fuel and producing only
molasses, a by-product supplied by the group’s sugar 70% of the nation’s demand, and the country is also
mills, to produce 160,000 liters of ethanol/day. faced with a sagging economy for farmers. In order
to fight both problems, China is considering a new
3.3.6 Japan program to launch its first ethanol plant. Despite the
In order to reduce automobile emissions, Japan is numerous projected benefits, the program is not
considering introducing a policy that will support the expected to be implemented right away. Although
use of blending ethanol with gasoline. The policy is a ethanol is environmentally friendly, it is still ex-
result of pressures to cut greenhouse gas emissions pensive to produce in China and there are difficulties
that lead to global warming. As the second largest in transporting it. China hopes that the cost will
consumer of gasoline in the world, Japan has no come down in the next 5 years, making ethanol a
extra agricultural produce to use for fuel output. viable option for the country.
Thus, the use of biofuels could create a big export Despite no laws mandating the use of greener
opportunity for ethanol-producing countries. The fuels, China has continued to phase out petroleum
trading house of Mitsui & Co. is backing ethanol use products since 1998. China is encouraging the
in Japan. Mitsui estimates Japan’s ethanol market at use of alternative fuels in their ‘‘Tenth Five-Year
approximately 6 million kiloliters/year at a blending Plan,’’ which includes trial fuel ethanol production
ratio of 10%. Due to an ample supply of low-cost (2001–2005).
80 Alternative Transportation Fuels: Contemporary Case Studies
products made from aluminum that at the end of their aluminum, at least as long as cast aluminum, which
service lives enter the recycling chain as second- is predominantly produced, can be sold profitably on
ary raw materials. New scrap (production scrap) arises the market and therefore the input of secondary
during the processing of semifabricated products, aluminum can replace the input of primary aluminum.
mostly clean and sorted, in the form of processing Thus, it seems reasonable to regard an increase in the
residues (e.g., turnings and residues from punching or recycling share as an important instrument to reduce
stamping). Secondary aluminum production results in specific energy consumption in aluminum production.
predominantly cast aluminum but, increasingly, also
wrought aluminum for further processing.
Currently, the alloy elements (e.g., silicon, zinc, 1.2 Primary Aluminum Production
copper, and magnesium) within the aluminum scrap 1.2.1 Mining
cannot be cost-effectively removed. Therefore, in Bauxite is the most common aluminum ore. Ap-
contrast to primary production, the composition of proximately 98% of primary aluminum production
the initial product (scrap) determines to a great extent is based on bauxite. In the former Soviet Union,
the possible range of applications. Nevertheless, aluinite and kaolinite are also used in small propor-
secondary aluminum is a substitute for primary tions for aluminum production. Bauxite is a natu-
rally occurring, heterogeneous material composed
primarily of one or more aluminum hydroxide
minerals plus various mixtures of silica, iron oxide,
Other domestic
markets Transportation titania, and other impurities in trace amounts. The
26% 37% principal aluminum hydroxide minerals found in
varying proportions within bauxite are gibbsite
Total: (trihydrated) and boehmite and diaspore (both
9.840 Mio. mt monohydrated). The content of aluminum oxide is
30–60%. Bauxite is generally extracted by open cast
mining from strata, typically 4–6 m thick under a
Building and shallow covering of topsoil and vegetation (Table I).
construction Bauxite occurs mainly in tropical and subtropical
15% areas. In 2000, Australia was the leading worldwide
Containers and packaging
bauxite producer with a production share of 39%,
23%
followed by Guinea (13%), Brazil (10%), and Jamaica
FIGURE 2 Consumption of primary and secondary aluminum (8%) (Table II). Bauxite reserves are estimated to be
by domestic end users in the United States in 2000. Mio mt.,
million metric tons. From U.S. Geological Survey (2000). ‘‘U.S.
23,000 million tons. They are concentrated in areas
Geological Survey Minerals Yearbook.’’ U.S. Geological Survey, that currently dominate production: Australia (share
Reston, VA. of 24%), Guinea (24%), Brazil (12%), and Jamaica
TABLE I
Characteristics of Important Bauxite Depositsa
a
Adapted with permission from Mori and Adelhardt (2000).
84 Aluminum Production and Energy
TABLE II
Geography of Aluminum Production and Consumption in 2000a
Europe 9 22 33 31 421
France 0 1 2 3 3
Germany 0 2 3 7 8
Italy 0 2 3 7 8
Norway 0 0 4 3 2
United 0 0 1 3 3
Kingdom
Former USSR 6 11 15 0 n.a.b
Asia 13 11 21 17 415
China 6 8 12 0 n.a.
India 5 0 3 0 n.a.
Japan 0 2 0 14 12
Korea 0 0 0 1 3
Africa 13 1 5 1 1
Guinea 13 1 0 0 0
South Africa 0 0 3 1 1
America 26 33 34 50 37
Brazil 10 7 5 3 2
Canada 0 2 10 1 3
Jamaica 8 7 0 0 0
Suriname 3 4 0 0 0
United States 0 9 15 41 29
Australia and 39 31 9 2 2
Oceania
Australia 39 31 7 1 1
World (1000 137,547 50,916 24,485 8490 32,401
Metric tons)
a
Adapted with permission from the World Bureau of Metal Statistics (2001), ‘‘Metal Statistics.’’ World Bureau of Metal Statistics, Ware,
UK.
b
n.a., not applicable.
(9%). With a global production of 135 million tons in Approximately 98% of the alumina produced
2000, the static range of coverage is approximately worldwide is manufactured via the Bayer process,
170 years. Only 4% of mined bauxite is not converted which consists of digestion and calcination. Initially,
to alumina, and this is used, among other things, in the bauxite is washed and ground. During digestion,
the chemical and cement industry. the bauxite is dissolved in caustic soda (sodium
hydroxide) at high pressure (40–220 bar) and at high
1.2.2 Alumina Production temperature (120–3001C). The resulting liquor con-
Due to high specific transport costs of bauxite, tains a solution of sodium aluminates and undis-
alumina production often takes place near bauxite solved bauxite residues containing iron, silicon, and
mines. In 2000, Australia manufactured 31% of the titanium. These residues sink gradually to the bottom
50.9 million tons of alumina produced worldwide, of the tank and are removed. They are known as red
follow by the United States (9%), China (8%), and mud. The clear sodium aluminate solution is pump-
Jamaica (7%) (Table II). Approximately 10% of the ed into a huge tank called a precipitator. Alumi-
alumina produced is not converted to aluminum and num hydroxide is added to seed the precipitation
is used, among others things, in the ceramic industry. of aluminum hydroxide as the liquor cools. The
Aluminum Production and Energy 85
aluminum hydroxide sinks to the bottom of the tank leading producer with a production share of 41%,
and is removed. It is then passed through a rotary or followed by Japan (14%), Italy (7%), and Germany
fluidized calciner at up to 12501C to drive off the (7%) (Table II). Secondary production consists of two
chemically combined water. The result is alumina process steps: scrap preparation, mixing, and char-
(aluminum oxide), a white powder. ging, on the one hand, and the processes within the
remelter/refiner (remelting, refining, and salt slag
1.2.3 Electrolysis preparation), on the other hand.
The basis for all primary aluminum smelting plants is
the Hall–Héroult process (Table II). Alumina is 1.3.1 Scrap Preparation, Mixing, and Charging
dissolved in an electrolytic bath of molten cryolithe Scraps recovered are treated according to their
(sodium aluminum fluoride) at 9601C inside a large quality and characteristics. Common treatment
carbon- or graphite-lined steel container known as a processes are sorting, cutting, baling, or shredding.
pot. An electric current is passed through the Free iron is removed by magnetic separators. The
electrolyte at low voltage (3.9–4.7 V) and at very different (prepared) scrap types are selected and
high amperage (100–320 kA). The electric current mixed in such a way that their chemical composition
flows between a carbon anode (positive), made of is as close as possible to that of the required alloy.
petroleum coke and pitch, and a cathode (negative),
formed by the thick carbon or graphite lining of the 1.3.2 Melting, Refining, and Salt
pot. The anodes are used up during the process when Slag Preparation
they react with the oxygen from the alumina. Molten Depending on the type of scrap and the desired
aluminum is deposited at the bottom of the pot and is product quality, different types of furnaces for
siphoned off periodically (Fig. 3). melting aluminum scrap are used. Scrap for the
production of casting alloys is commonly melted in
rotary furnaces under a layer of liquid melting salt. A
1.3 Secondary Aluminum Production company producing casting alloys from old and new
scrap is commonly called a refiner. Producers of
Secondary aluminum production is concentrated in
wrought alloys prefer open hearth furnaces in varying
Western industrial countries, the main aluminum
designs. These furnaces are normally used without
consumers. In 2000, the United States was the world’s
salt. Wrought aluminum from mainly clean and
sorted wrought alloy scrap is produced in a remelter.
The alloy production in rotary furnaces is
11
12 followed by a refining process. The molten alloy is
fed into a holding furnace (converter) and purified
10
through the addition of refining agents.
After the melting process, the liquid melting salt
used in rotary furnaces is removed as salt slag. In the
13
9 past, the salt slag was land filled. Today, the salt slag
14
7 is prepared as a rule. The aluminum and the salt
8
3
within the salt slag are recovered.
2. SPECIFIC FINAL
5 ENERGY CONSUMPTION
6 3 4 2 1 2.1 Survey
FIGURE 3 Profile of a modern electrolytic cell. 1, steel shell; 2, Table III shows the specific final energy consumption
insulation; 3, cathode (carbon in base and sides; 4, iron cathode of world aluminum production in the mid- to late
bar; 5, cathodic current entry; 6, liquid aluminum; 7, electrolyte; 8, 1990s. The electricity consumption for primary pro-
prebaked anodes (carbon); 9, steel nipple; 10, anode beam; 11, duction is almost 35 times higher than the consump-
aluminum oxide hopper; 12, gas suction unit; 13, detachable
covering; 14, crust crusher. From Kammer, C. (1999). ‘‘Aluminium tion for secondary production. The fuel consumption
Handbook. Volume 1: Fundamentals and Materials.’’ Aluminium- is more than 2.5 times higher. Electrolysis accounts for
Verlag, Düsseldorf. Reproduced with permission. the main portion (96%) of electricity requirements,
86 Aluminum Production and Energy
TABLE III
Specific Final Energy Consumption of World Aluminum Production, Mid- to Late 1990sa
Total production
Primary production (75% PA þ 25% SA)b Secondary production
a
Adapted with permission from Schwarz (2000) and Krone (2000).
b
PA, primary aluminum; SA, secondary aluminum.
and alumina production accounts for the main low, but one has to take into consideration the
portion of fuel consumption (88%) of primary lifetime of aluminum consumer goods––an estimated
production. The processes within the refiner/remelter 15 years. Compared to a total production of
dominate in terms of electricity (89%) and fuel 19.9 million tons in 1985, secondary production of
consumption (71%) for secondary production. 8.5 million tons in 2000 represents a recycling quota
of approximately 43%.
(Optimistic) projections estimate a further expan-
2.2 Recycling Share
sion of aluminum production. In 2030, a total
In addition to the specific final energy consumption production of 50 million tons is expected, with a
for the different process steps, the share of secondary recycling share of 44–48% (Table IV). There are two
production in total production (recycling share) is of reasons for the projected increase in recycling share:
great importance for the specific final energy the predicted growth in the recycling quota and the
consumption for aluminum production. This is due expected continued slowdown in the growth rates of
to the very different final energy requirements for total production. The presented scenarios assume a
primary and secondary production. Table IV shows future growth rate of 1.4% per year compared with
the development of total, primary, and secondary 2.6% in the 1980s and 1990s. The decline in the
production as well as the development of the growth rate automatically results in an increase in
recycling share since 1950. Aluminum production the recycling share.
expanded at high rates in the 1950s and 1960s. Since If a fixed level of final energy consumption is
the 1970s, there has been a noticeable slowdown in assumed, a duplication of the recycling share from
growth rates. The recycling share began to increase approximately 25 to 50% would lead to a decrease
again in the 1960s and 1970s. In 2000, the recycling in specific electricity consumption of 32% and a
share was 26%. This percentage seems to be rather decrease in fuel consumption of 18%.
Aluminum Production and Energy 87
TABLE IV
Primary, Secondary, and Total Aluminum Production, 1950–2030(p)a
Primary production (million tons) 1.5 4.5 10.3 16.1 19.4 24.5 26–28
Secondary production (million tons) 0.4 0.8 2.3 3.7 6.1 8.4 22–24
Total (million tons) 1.9 5.3 12.6 19.7 25.5 32.9 50
Recycling share (%) 22 14 18 19 24 26 44–48
Growth rates (% per year) 1951–1960 1961–1970 1971–1980 1981–1990 1991–2000 2001–2030p
Primary production 11.7 8.5 4.6 1.9 2.4 0.2–0.4
Secondary production 5.8 11.9 4.6 5.3 3.3 3.2–3.5
Total 10.6 9.0 4.6 2.6 2.6 1.4
a
Adapted with permission from the World Bureau of Metal Statistics, ‘‘Metal Statistics’’ (various volumes), World Bureau of Metal
Statistics, Ware, UK; and Altenpohl and Paschen (2001).
Existing plants
Upgraded and
new plants
Upgraded and
Upgraded and
new plants
new plants
Thermal energy requirement (GJ/t)
2.3.1 Transport, Mining, and 40.0
Existing plants Existing plants
Alumina Production 35.0
The final energy consumption for transport is of little
importance. Transport accounts for approximately 30.0
Worldwide
5% of the total fuel consumption for primary 25.0
average
production. The importance of final energy con- 34.7
with PFPB
with PFPB
Upgrading
Greenfield
expansion
CWPB
SWPB
PFPB
a
Adapted with permission from Morel (1991) and Æye et al.
(1999). FIGURE 5 Average worldwide specific electricity consumption
b
Data for a plant of the Pittsburgh Reduction Company of existing smelters (inclusive range for 16 world regions) and for
(Niagara Falls). upgrading and new plants (MWh/t primary aluminum). From
c
n.a., not applicable. Schwarz (2000). Reproduced with permission.
Aluminum Production and Energy 89
TABLE VI
Final Energy Consumption of Preparation and Treatment of Different Important Scrap Types in Germany, Mid- to Late 1990sa
a
Adapted with permission from Wolf (2000), ‘‘Untersuchungen zur Bereitstellung von Rohstoffen für die Erzeugung von
Sekundäraluminium in Deutschland. [‘‘Studies on the Preparation of Raw Materials for Secondary Aluminum Production in Germany’’].
Shaker, Aachen, Germany.
fuel consumption and 11% of total electricity Additionally, the requirements for refining (15 and
consumption for secondary production. Different 1%, respectively) and salt slag preparation (18 and
treatment processes are used depending on the initial 19%, respectively) have to be considered.
products (scrap types). These treatment processes These data are only valid as averages. As
have very different energy requirements. Table VI previously mentioned, depending on the type of
presents the specific final energy consumption of scrap scrap and the desired product quality, different types
preparation for different scrap types in Germany. of furnaces for melting aluminum scrap are used. The
selection of the most appropriate melting process is
2.4.2 Melting, Refining, and Salt determined by the metal content of the scarp (oxide
Slag Preparation content), type and content of impurity (anneal-
Melting is responsible for 38% of the overall specific ing loss), geometry of the scrap, frequency of change
fuel consumption and 69% of overall specific in alloy composition, and operating conditions
electricity consumption for secondary consumption. (Fig. 6).
A
Oxide Oxide
content content
Untreated Tilting drum Rotary drum
High Dross scrap High furnace furnace
collection Conventional Closed well
Low Ingots Bottle tops Low hearth
furnace furnace
Annealing loss Annealing loss
B
Oxide Oxide
content content
Fine grain Tilting drum Rotary drum
High dross Pellets High furnace furnace
content
Closed well Conventional
Low Turnings Lode Low hearth hearth
furnace furnace
S/M* S/M*
FIGURE 6 Classification of scrap types and furnace selection criteria by (A) oxide content and annealing loss and (B) oxide
content and ratio of surface area to intermediate part size. *Surface area: mass of scrap pieces. From Boin, U., Linsmeyer, T.,
Neubacher, F., and Winter, B. (2000). ‘‘Stand der Technik in der Sekundäraluminiumerzeugung im Hinblick auf die IPPC-
Richtlinie’’ [‘‘Best Available Technology in Secondary Aluminum Production with Regard to the IPCC Guideline’’].
Umweltbundesamt, Wien, Austria. Reproduced with permission.
90 Aluminum Production and Energy
TABLE VII
Typical Final Energy Consumption of Modern Secondary Aluminum Furnacesa
a
Adapted with permission from Boin et al. (2000). ‘‘Stand der Technik in der Sekundäraluminiumerzeugung im Hinblick auf die IPPC-
Richtlinie’’ [‘‘Best Available Technology in Secondary Aluminum Production with Regard to the IPCC-Guideline’’]. Umweltbundesamt,
Wien, Austria.
The appropriate melt aggregate for organically primary production, the processes within the refiner/
contaminated scrap with a low oxide content is the remelter dominate (75%) in terms of the primary
closed-well hearth furnace. The higher the fine and/ energy consumption for secondary production.
or oxide content, the more appropriate it becomes to
use a rotary drum furnace. In secondary melting
3.2 Determinants, Especially the Overall
plants, induction furnaces are only used in individual
Efficiency of Electricity Production
cases due to the necessity for clean, oxide-free scrap.
Hearth and rotary drum furnaces are heated by fuel The overall efficiency of both fuel supply and
oil and natural gas. Only induction furnaces use electricity production must be determined to convert
electricity for melting. Table VII gives an indication final energy consumption into primary energy con-
of the very different final energy consumption for the sumption. In our case (Table VIII), the same overall
most commonly used melting furnaces. efficiencies of fuel supply (diesel, 88%; oil, 90%;
natural gas, 90%; and coal, 98%) are assumed
worldwide. The overall efficiency of electricity pro-
3. SPECIFIC PRIMARY duction depends on the efficiencies of power plants,
the mix of energy carriers for electricity production,
ENERGY CONSUMPTION
and the distribution losses. The allocation of the
primary energy carriers to electricity production is
3.1 Survey
usually determined by the regional mix of energy
Table VIII shows the specific primary energy con- carriers. The regional mix is based on the average
sumption for global aluminum production in the mid- shares of electricity production of energy carriers
to late 1990s. If, as is usually the case, the regional within a region. In our case, the overall efficiencies of
energy carrier mix of electricity production is used for electricity production for 16 world regions were
all processes, including electrolysis, to convert elec- calculated. The resulting world overall efficiency of
tricity consumption into primary energy consump- electricity production is different for the separate
tion, the specific primary energy consumption of process stages (e.g., mining and alumina production)
primary production is more than 11 times higher than and depends on the associated production shares of
the requirements for secondary production. If the the regions, which are used as weighted factors.
contract mix is used for electrolysis, the consumption Additionally, the contract mix of energy carriers is
of primary production is nine times higher. Electro- used for the calculation of the primary energy
lysis accounts for the main portion (80 and 75%, consumption for electrolysis. The contract mix
respectively) of primary energy consumption for reflects the mix of energy carriers according to the
Aluminum Production and Energy 91
TABLE VIII
Specific Primary Energy Consumption of World Aluminum Production, Mid- to Late 1990sa
a
Adapted with permission from Schwarz (2000) and Krone (2000).
b
PA, primary aluminum; SA, secondary aluminum.
c
Regional energy carrier mix for electrolysis.
d
Contract energy carrier mix for electrolysis.
contracts of the smelters with utilities. Whereas the different for the individual regions (the following are
regional mix provides a purely statistical allocation assumed: natural gas, 22–33%; oil, 23–41%; coal,
of smelters to power-generating units, the contract 24–36%; and nuclear power plants, 33%).
mix permits a more causal allocation. The higher the For most regions, the lower overall efficiency of
electricity demand of a smelter, the more electricity electricity production of the regional mix leads to a
has to be supplied by the contractual generating higher primary energy consumption for electrolysis
units. Despite this advantage, the calculations based (Table IX). This is also true on a worldwide average.
on the contract mix for electrolysis are seen merely as The specific primary energy consumption for electro-
additional information (and therefore the data are lysis based on a regional mix is 160 GJ per ton of
given in brackets; see Table VIII). The reason is primary aluminum, with an overall efficiency of 35%
simple; for a consistent calculation of primary energy and a share of hydropower of 29% of total electricity
consumption for total aluminum production based production. Based on contract mix, the data are
on contract mix, it would be necessary to assess the 120 GJ per ton of primary aluminum, 46% efficiency,
contract mix of energy carriers for all production and 60% share of hydropower.
stages in all regions. This is simply not possible
because of a lack of data.
3.3 Future Primary Energy Consumption
Table IX shows the share of hydropower for the
16 world regions based on the regional mix and on The specific primary energy consumption of world
the contract mix for electrolysis. In most regions, a aluminum production should decrease noticeable in
larger share of electricity from hydropower is used the future. One main reason is the expected increase
for the contract mix. This is not surprising because in the recycling share. An increase in the recycling
low-price electricity from hydropower is one of the share from 25 to 50% as projected for 2030 would
deciding factors for the siting of electrolysis. The lead to a decrease of 30% in specific primary
larger share of hydropower leads mostly to a higher consumption. In addition, there should be a decrease
overall efficiency of electricity production because of in final energy consumption for primary and second-
the relatively high efficiency of hydroelectric power ary production and an improvement in overall
plants (80% is assumed). The efficiencies of power efficiency of electricity production. Estimates for
generation based on the other energy carriers are electrolysis, the deciding energy-consuming process,
much lower and in the mid- to late 1990s were quite present an interesting picture: A 26% decrease in
92 Aluminum Production and Energy
TABLE IX
Regional Primary Energy Consumption for Electrolysis and Regional Overall Efficiency and Share of Hydropower for Electricity
Productiona
Europe
Germany 175.0 32 6 173.7 32 8
EU 142.0 36 17 125.6 41 29
without
Germany
Rest of 81.3 67 86 68.1 80 10
Western
Europe
Former 233.3 28 21 118.8 55 80
USSR
Rest of 212.4 26 2 139.8 39 53
Eastern
Europe
Asia
China 195.9 28 19 195.0 28 18
India 190.0 29 20 194.4 28 20
Near and 180.3 30 5 131.4 42 50
Middle
East
Rest of 148.7 36 10 67.1 80 100
Asia
Africa 152.1 35 15 139.1 38 29
America
Brazil 75.1 78 95 68.1 79 100
Canada 65.9 51 61 103.5 80 100
United 163.4 34 12 127.0 44 44
States
Rest of 153.7 36 30 69.5 79 100
Latin
America
Australia 150.8 35 11 139.1 38 23
and
Oceania
Worldb 159.8 (35) (29) 120.1 (46) (60)
a
Adapted with permission from Schwarz (2000).
b
Regional primary aluminium production shares as weighted factor.
primary energy consumption is estimated for the result of increased efficiency of fossil-fired power
years 1995–2010. Interestingly, the main reason for plants, especially in the former Soviet Union, China,
this decline is not the decrease in specific electricity and the United States. These are regions with high
consumption, which accounts for less than 40% of primary aluminum world production shares and with
the decline. The main reason is the improvement in high shares of fossil fuels for electricity production. In
overall efficiency of electricity production globally, addition, the relocation of primary aluminum pro-
which accounts for the remaining 60% or more. This duction to hydropower-rich regions accounts for the
improvement in worldwide overall efficiency is the increase in worldwide overall efficiency.
Aluminum Production and Energy 93
4. ENERGY AS COST FACTOR the dominant cost factor. They represent more than
one-third of the total operating costs. Bauxite costs
4.1 Survey are heavily dependent on the location of alumina
production. They vary considerably between regions.
Table X presents the average cost structure of world For example, in Latin America the cost of bauxite per
aluminum production. Less reliable are the data for ton of alumina was approximately $40 in the mid- to
secondary production (only the processes within the late 1990s, whereas in Western Europe (with the
refiner/remelter). These are based on rough estima- exception of Greece) the cost was $80. Approxi-
tions. However, it is clear that the share of energy mately half of this difference is due to high transport
costs in total operating costs of secondary production costs, which amounted to $15–20 per ton for
is very low in comparison with the costs of all transport to Western Europe. The longer the trans-
processes of primary production. The energy cost port distances are (and the lower the alumina content
shares of alumina and primary aluminum production of the bauxite), the higher the specific transport
are approximately the same. Nevertheless, the energy costs. This explains the trend for locating refineries
costs of electrolysis are more important with respect close to mines (and also why only bauxite with a high
to choosing location. alumina content is traded between regions). The
bauxite-producing countries (with a production
42 million tons in 2000) increased their alumina
4.2 Primary Production
production by approximately 36% from 1990 to
4.2.1 Mining and Alumina Production 2000, whereas that in countries with no significant
Energy costs represent 11% of total operating costs bauxite production declined by approximately 14%.
for bauxite mining. Labor is the dominant cost factor, The production share of countries with significant
with a share of more than 40%. Deposits with mining activities increased from 64% in 1990 to
bauxite, which is easy to extract (poor surface and 74% in 2000.
good ore thickness) and of high quality (e.g., high The location of alumina production is determined
aluminum oxide content), are preferred for mining. by transport costs for bauxite. The energy costs play
The conditions of extraction influence the necessary only a minor role in this respect. On the one hand,
labor input and energy requirements. The higher the upgraded and new plants have almost the same
quality of the bauxite, the higher the attainable price. technical parameters, including energy requirements
Furthermore, general political conditions play a major for alumina production. On the other hand, the
role. An exorbitant bauxite levy, for example, hind- energy carriers coal, oil, and natural gas can
ered the bauxite industry in Jamaica for many years. increasingly be obtained in similar conditions world-
Energy costs are relatively high for alumina wide, with the result that energy costs (at least for
production. On worldwide average, they account upgraded and new plants) do not differ much
for 25% of total operating costs. Bauxite costs are between regions.
TABLE X
World Average Total Operating Costs for Primary and Secondary Aluminium Production, Mid- to Late 1990sa (USD/toutput)
Primary production
a
Adapted with permission from Schwarz (2000).
b
Remelting, inclusive salt slag treatment and refining.
94 Aluminum Production and Energy
intensification and compound aquafeed usage in America, and Japan collectively produce just over
order to increase production. one-tenth of global output but consume the bulk of
farmed seafood that is traded internationally.
On a tonnage basis, extensive and semiintensive
2.2 Importance of Aquaculture freshwater aquaculture dominates global fish pro-
A wide range of plants and animals are farmed duction (56% by weight). Currently, within these
globally, with more than 220 different species of systems about 80% of carp and 65% of tilapia
finfish and shellfish being produced. Although most worldwide are farmed without the use of modern
aquaculture is undertaken to produce food, other compound feeds. It should be noted, however, that
applications include fodder, fertilizers, extracted during the 1990s, the more capital- and energy-
products for industrial purposes (e.g., seaweed intensive production of shrimp and marine (including
compounds used in manufacturing processes, food diadromous) fish species increased significantly.
processing, and microbiology), goods for decorative
purposes (shell, pearls, and ornamental fish), and
recreation (sport fishing, ornamentals, etc.). The 3. ENERGY ANALYSIS
demand for seafood is steadily increasing worldwide, IN AQUACULTURE
but most of the world’s fishing areas have reached
their maximal potential for capture fisheries produc- 3.1 Forms of Energy Used in Aquaculture
tion (Fig. 1). It is therefore logical that aquaculture,
currently one of the fastest growing food production 3.1.1 Ecosystem Support
sectors in the world (B10% yr1), will be increas- From an ecological perspective, most aquaculture
ingly called on to compensate for expected shortages systems involve the redirection and concentration of
in marine fish and shellfish harvests. Currently, energy and resource flows from natural ecosystems to
aquaculture accounts for approximately 30% of the culture environment. Consequently, very few
total food fish production globally, of which roughly systems depend solely on the solar radiation incident
90% originates from Asia. Production histories of on the production facility. This is easily appreciated
some major aquaculture species groups from 1970 to when one considers the relatively small surface area of
2000 are presented in Fig. 1. many high-density culture systems that are exposed to
Geographically, China contributes more than two- the sun. Exceptions, however, include extensive
thirds of total aquaculture production (mainly from culture of autotrophic species such as seaweeds.
traditional freshwater cultures). Europe, North Similarly, filter-feeding organisms such as mussels
are dependent on phytoplankton produced in adjacent
waters that are brought to the farm by currents. For
100 60 most farming systems, though, productivity is en-
Capture fisheries production
80 50
source inputs produced in other ecosystems (Fig. 2).
(million tonnes)
(million tonnes)
Solar Aux.
Materials Labor
energy energy Capital
Technology
FIGURE 2 Simplified energy and matter flow model for various types of seafood production from solar fixation by plants in
the natural system and until the product reaches the consumer. In natural ecosystems, as well as in extensive farming systems,
solar energy and recirculation of nutrients constitute the limiting factor for biological production. Due to energy losses in each
transfer between trophic levels, the harvest per area will decrease when a higher level of the food chain is exploited. Extensive
seaweed and mussel farming may require additional inputs of materials for support structures (buoys, ropes, etc.), and
extensive fish and shrimp production usually requires ponds and inputs of seed, fertilizers, and/or agricultural by-products to
maintain production. In contrast, intensive cultures of carnivorous species such as salmon and shrimp require high industrial
energy intensity (fossil fuel input per weight of product), mainly due requirements for formulated feed made from fish- and
crop-derived products, sophisticated cages and ponds, energy for aeration and pumping, inputs of hatchery-reared smolts/fry,
and medication. Moreover, each step in the feed production chain from fisheries and crop harvesting, processing,
transportation, etc. requires fossil energy, materials, labor, technology, and capital to a varying degree. Consequently, it is clear
that there are significantly more energy-demanding and pollution-generating steps involved in intensive shrimp/salmon farming
than in extensive aquaculture or capture fisheries.
3.1.2 Direct Energy Inputs are implicit in the reliance of intensive forms of
Direct energy inputs to aquaculture operations aquaculture on remote ecosystems (Fig. 2). For
encompass a range of activities, including the collec- example, fishing fleets and reduction plants consume
tion/production of juveniles, general system opera- large amounts of fossil and electrical energy in order
tions, and the harvesting, processing, and transport of to provide fish meal and fish oil. Similarly, a wide
the product. A first-order approximation of the range of direct and indirect energy inputs are
industrial energy dependence of a culture system can required by the agriculture industry to supply plant-
be obtained by considering the intensity of the and livestock-derived components of feed pellets.
operation, the degree of mechanization, the type or This includes the indirect energy cost for fuel and
means of production, and the quality/quantity of feed labor, together with the direct energy-demanding
inputs. Provisions of feed and juveniles for stocking processes. Further energy inputs to aquaculture
are the main material inputs, and fuels and electricity operations are associated with either the production
are needed for various grow-out operations. of juveniles in hatcheries or their collection from the
Energy inputs associated with harvesting, proces- wild. Hatchery production is also dependent on
sing, and transporting the various feed components energy-consuming activities for the provision of
Aquaculture and Energy Use 101
resources such as feed and broodstock (adult be estimated. The degree to which these alternative
individuals, either wild captured or reared entirely approaches capture the true energy costs of different
within the culture environment). inputs to aquafeeds is open for debate. In practice,
By comparison, most extensive culture systems however, to date, most, if not all, of these techniques
receive no formulated feeds. Instead, inputs to these have been used by various analysts when evaluating
systems typically comprise agricultural products or the energy costs of aquaculture.
wastes (e.g., supplemented manure) and chemical Accounting for labor inputs is also a complicated
fertilizers. This typically results in smaller industrial issue within the context of energy analysis. In most
energy inputs, particularly if crop residuals and aquaculture analyses, labor has been excluded, with
manure, essentially by-products of local agricultural the justification that its contribution to the energy
production, are treated as biophysically free with profile of the system is negligible when compared to
only marginal energy inputs associated with further fossil fuel inputs. Again, this may be accurate for
processing. Similarly, feed inputs to semiintensive some types of systems but not for others. Methods
systems may consist, either wholly or in part, of fish that have been used to account for the energy costs of
from local fisheries. In these cases, the unprocessed labor either incorporate the nutritional energy
fish may be used directly or supplied as feed after content of the food required to sustain the requisite
minor transformation (i.e., as moist pellets). Thus, labor inputs, or, alternatively, incorporate the in-
utilization of locally available fisheries resources may dustrial energy needed to provide the food. It is,
involve less fossil fuel energy, particularly if drying- however, questionable if these methods, based as
and transportation-related energy inputs are limited. they are on standard energy conversion values,
However, depending on the fishing technology used should be applied widely, because there are large
and the relative abundance of local harvestable discrepancies with respect to energy production costs
stocks, fuel inputs may be surprisingly high when of food and consumption levels between developed
compared with more modern, large-scale reduction and developing countries. To address these context-
fisheries. Moreover, because raw fish products can specific concerns, some analysts incorporate the total
spoil quickly if unused, energy inputs to a culture industrial energy associated with wages paid for
system that utilizes these products will increase as a labor inputs, using the industrial energy to gross
result of any waste that occurs. Alternatively, fish national product (GNP) ratio for the country within
processing wastes can, to some extent, replace fish which labor is supplied.
protein inputs from whole fish. Such a substitution
might again imply ‘‘no energy cost’’ for extraction, 3.1.3 Indirect (Embodied) Energy Inputs
but only for transportation and any secondary Fixed capital inputs may include different forms of
processing that is required. enclosures (tanks, nets, etc.), feeders, aerators,
The methodological appropriateness of allocating pumps, boats, vehicles, etc. The energy embodied
a zero biophysical cost for by-products from fish in building and maintaining these capital inputs may
processing and agriculture production is debatable. It be substantial, particularly in intensive systems.
can be argued that treating the energy costs Methodologically, a common practice for estimating
associated with making a given by-product available the energy inputs associated with fixed capital has
as free, simply because they are designated as been to use input–output analysis of the country’s
‘‘wastes,’’ is arbitrary and potentially misleading. economy. The resulting energy equivalents provide,
From this perspective, the energy inputs associated after accounting for depreciation, estimates of the
with any production process, regardless of how its related energy costs per year. However, not all studies
many outputs may be regarded, should be fully of aquaculture systems have accounted for fixed costs
included in any energy analysis. Alternatively, for in this way. Instead of applying an annualized energy
some products the energy costs could be based on the cost over a defined time period, some studies treat
proportion to the relative weights of product and by- fixed costs as a single lump energy input. Alterna-
product. However, such an accounting system may tively, some studies have simply excluded fixed costs
not be applicable to all products (e.g., manure completely from the analysis. To what extent these
production). A third possible accounting convention alternative approaches affect the overall energy
might be based on the relative prices of coproducts. analysis depends on the characteristics of the system
This approach only works, however, if a market for being analyzed. Generally, the fixed energy cost in
the by-product exists, or if alternatives to the by- intensive systems is insignificant compared to the
product exist, from which an opportunity cost could overall energy profile, due to the high embodied
102 Aquaculture and Energy Use
energy cost for feed (Table I). In culture systems that such as material and human inputs and environ-
depend predominantly on naturally available pro- mental services (including energy of hydrological and
ductivity and with low inputs of supplemented feed, atmospheric processes) being converted into their
the energy embodied in capital infrastructure may solar energy equivalents. Thus, it evaluates the work
play a more important role in the overall industrial done by the environment and by the human economy
energy analysis (IEA) (Table I). The variation in the on a common basis.
methodological approaches used and the rigor with Not surprisingly, different approaches result in
which they are applied between different studies can different kinds of information. Ideally, it is necessary
make the direct comparison of their results difficult. to consider the total energy use from pond to plate,
For example, in some cases, total energy inputs are expressed per unit of edible produced protein. Within
reported as a single value without any specification the context of sustainability, it can be argued that an
of the various inputs. In other instances, only one analysis that also captures the work by nature, i.e.,
form of energy may be accounted for (for example, the energy flows through dynamic ecosystems, more
only the electrical energy consumption in the grow- accurately reflects dependencies on the overall
out phase is included, whereas the energy inputs resource base. All economic activities depend on
associated with feed, hatchery rearing, fixed infra- these life-supporting systems. Often, however, this
structure, harvesting, etc. are left out). In other support is taken for granted and is not included in
seemingly more comprehensive analyses, a specific any efficiency calculations.
source of energy input may be completely overlooked
(for example, not accounting for the energy con-
sumed within the fishery sector that is required to 4. ENERGY PERFORMANCE
sustain raw feed materials). Similarly, energy inputs
OF AQUACULTURE
to hatchery operations may be left out.
4.1 Extensive Systems
3.2 Analytical Techniques
Extensive culture systems generally have relatively
Relatively few energy analyses of aquaculture sys- low dependence on direct auxiliary and indirect
tems have been conducted to date. A variety of embodied energy inputs due to farming practice and
analytical approaches have been used, the most species choice. The culture of species groups such as
frequent being quantification of direct and indirect mussels, carp, and tilapia (Table I) have generally
auxiliary (industrial) energy inputs (e.g., electric low energy intensity (EI) input per unit of production
energy, oil, gas, or coal) dissipated in the myriad and also per edible protein energy return. These
supporting economic processes. These apply regular organisms are able to utilize natural primary
process and input–output analysis normally using production (phytoplankton or macrophytes) or
land, labor, and capital as independent primary low-quality agriculture by-products and thereby
factors of economic production. This method sets require little if any artificial feed. The various means
the ‘‘system boundary’’ at the point of material for enhancing natural production, i.e., applying
extraction. Thus, the method is limited in the sense fertilizers or organic inputs (e.g., manure), are in
that it does not consider the impact of extraction on most cases not costly from an energy perspective.
the future availability of resources, and does not Human labor inputs are typically high in countries
value the wider resource base on which the produc- where extensive culturing methods dominate, both at
tion depends. the farm site and in activities generating different
In a second approach, the boundaries of the inputs to the farm (Table I).
system are expanded to include processes and the The classification into extensive culture systems,
energy transformed by renewable resources. In doing based on energy consumption, may not always be as
so, the focus of an analysis shifts to an understanding straightforward as it might seem. For example, the
of the solar energy dependency of economic activ- same type of culture system may depend on very
ities. In the context of aquaculture, solar energy different forms and quantities of energy inputs
enters mainly through agriculture and fisheries, depending on where the system is situated (e.g.,
together with the energy embodied in fuels and raw whether in industrialized or nonindustrialized coun-
materials (Fig. 2). The most highly developed form of tries). For some activities, fossil fuels may be
this approach has given rise to the concept of substituted for human labor. Similarly, the energy
‘‘emergy.’’ This method includes all forms of energy embodied in various material inputs that could be
TABLE I
Direct and Indirect Energy Inputs and Resulting Energy Intensities of Semiintensive Shrimp Pond Farming, Intensive Salmon Cage Farming, Semiintensive Carp þ Tilapia Pond
Polyculture, Indian Carp Polyculture, Intensive Catfish Pond Farming, Semiintensive Tilapia Pond Farming, and Mussel Long-Line Culturea
Species Farmed
Parameter Shrimp Salmon Polyculture (carp recirc)b Polyculture (Indian carp) Catfish Tilapia Mussel
System Characteristics
Site area (ha) 10 0.5 1 1.0 1.0 0.005 2
Production/yr(t) 40 200 4 4.3 3.4 0.058 100
Production/yr/ha(t) 4 400 4 4.3 3.4 12 50
Energy Inputsc EI % EI % EI % EId % EI % EI % EI %
Fixed Capital
Structures/equipment 2500 2 5940 6 3556 7 2114 8 11,691 10 0 0 2700 58
Operting Inputs
Fertilizer, chemicals 22,750 15 0 0 9316 18 633 2 369 0 1000 3 0 0
Seed 18,750 12 2970 3 15 0 0 0 11,076 10 0 0 0 0
Feed 58,250 37 78,210 79 15,451 31 287 1 86,389 75 23,280 97 0 0
Electricity, fuel 54,250 35 11,880 12 21,928 44 26,176 97 5415 5 0 0 1900 42
Total 156,750 99,000 50,265 27,096 114,940 24,000 4600
Labor Inputse
Person-days/t n.d 10.0 6.5 66.7 3.5 172.4 5.0
Percentage 6.4f 14 n.d n.d n.d 35g 63
Energy Ratio
Edible product(MJ/kg)h 275 *** 142 84 *** 45 *** 192 *** 40 12
Edible protein(MJ/kg) 784 ** 688 272 135 ** 575 ** 199 116
a
Data from Larsson et al. (1994) (shrimp), Stewart (1994) (salmon), Bardach (1980) (recirc. Asian carp), Singh and Pannu (1998) (Indian carp), Waldrop and Dillard (1985) (catfish),
and Stewart (1994) (tilapia and mussels).
b
One-third of water recirculated.
c
Energy intensities expressed in kilojoules/kilogram (wet weight).
d
Calculating with 20 yrs of deprivation time for pond construction.
e
Labor inputs expressed as person-days per tonne of production and as a percentage of the total capital cost; n.d., no data available.
f
Due to lack of data this value is based on % labor energy consumption (calculated form GNP and wages) of total IE inputs.
g
Labor for pond construction dominating input.
h
Per kilogram of wet weight.**, Calculating with 20% protein of product wet weight; ***, calculating with 60% of product being edible.
104 Aquaculture and Energy Use
used to construct a culture system may differ due to significant role in the overall industrial energy costs
variations in the energy associated with the input of a given system. These include intensity level,
extraction, processing, and transport. To illustrate dependence on artificial feed, degree of mechaniza-
the potential challenges associated with an energy- tion, and environmental control needed in the
based classification scheme, consider mussel farming, husbandry system.
widely regarded as an extensive culture system in Direct and indirect energy inputs to operational
that it involves purely filter-feeding organisms that activities can represent more than 90% of the total EI
grow well without supplemented feeds or fertilizers. inputs to intensive culture systems. Of this, the
Although indirect energy inputs may be relatively energy required to provide feed is usually the single
small, the forms and quantities of direct energy for most important item (Fig. 3A). Other inputs of
harvesting, sorting, and cleaning can vary widely. For importance, however, include direct electricity and
example, mussel farming in the developed world is fuel inputs, along with the energy required to supply
typically more dependent on industrial energy inputs juveniles. In herbivorous/omnivorous fish culture
for these operations. In contrast, in developing systems, the energy required to supply fertilizer and
countries, industrial energy inputs are often low green fodder can also be substantial (Fig. 3B). In
because most operational work is carried out by contrast, the embodied and direct construction-
hand, because labor is relatively abundant and related energy costs associated with the fixed capital
inexpensive. Similarly, the farming of herbivorous infrastructure of many intensive farming systems are
fish species in which agricultural inputs are used to relatively insignificant (Fig. 3A, Table I). Similarly,
enhance production may, in more industrialized regardless of type of culture system, labor in Western
countries, result in higher energy consumption, countries is generally negligible in comparison to
because the underlying agricultural production sys- fossil fuel inputs.
tem is more fossil fuel dependent. Even though the It is no surprise that intensive land-based and
discussion here includes no case requiring change in open-water aquaculture activities differ significantly
the general application of the intensity classification, with respect to their energy costs associated with
it is necessary to be aware that site-specific factors
can significantly influence the energy analysis, even if
the same types of systems and species are being used. A
Increased pressure for expansion of global aqua- Adult
transportation
culture production, together with increased scientific Grow-out site
knowledge concerning the optimization of growth infrastructure
Smolt production
performance, has resulted in the incremental intensi-
Grow-out
fication of many extensive culture systems. This operation
intensification process typically entails the increased
use of artificial feeds containing fish meal. Not only
does this transformation reduce the total global Feed
supply of fish potentially available for human
consumption, but it also increases the industrial
B
energy intensity of the culture system. For example,
relatively small increases in the use of artificial feeds,
in the context of extensive systems, can quickly Fertilizer Fry fingerlings
dominate the total industrial energy inputs to the Electricity &
transport
system Table I.
water quality maintenance (i.e., for circulation and of interest to compare its energy performance with
water aeration). Thus, cages in open water benefit other food production systems. Table II provides an
from natural water circulation that removes waste overview of the energy performance of selected food
metabolites and reoxygenates the water. Conversely, production systems, including fisheries and terrestrial
tank and pond systems on land can have high energy crop and animal production, using a ratio of total
requirements for replacing, circulating, and aerating industrial energy invested in the system relative to the
the water. Consequently, a semiintensive shrimp edible protein energy return. By this measure, we find
pond farm can consume as much as five times more that the energy performance of intensive shrimp and
energy for pumping and aeration activities compared salmon aquaculture is of a magnitude similar to that of
to a salmon cage farm energy consumption for shrimp and flatfish fisheries, as well as feedlot beef
building and maintaining the cage structures (Table production. Seaweed, mussels, and some extensive fish
I). Although feed-related energy inputs typically aquaculture systems are comparable to sheep and
account for a large proportion of the overall energy rangeland beef farming. Interestingly, intensive rain-
profile of an intensive culture system, the absolute bow trout cage culture has a surprisingly low energy
scale of these inputs is very sensitive to the specific ratio, similar to that of tilapia and mussel farming.
components of the feed being used. In general, fish- Lobster and oyster farming systems in tanks represent
and livestock-derived inputs to feeds typically have the most energy-demanding aquaculture system for
much higher associated energy costs than do crop- which data are available. It is important to note,
derived components. Moreover, even within the however, in the case of both of these systems, the
context of a specific type of feed input, say fish meal energy data represent experimental production systems
and oils, energy inputs can vary widely between from the late 1970s and early 1980s. As far as any
different sources and through time as conditions
change. In the case of these fish-derived inputs, major
A
sources of energy input variations result from Fodder corn
differences in the fishing methods used, and in the production Chicken
relative abundance of the fish stocks being targeted. rearing
Crop input
Similarly, the energy costs of agriculture products can processing
also vary depending on the specific crops produced By-product
Crop input
and the agriculture system they are derived from. rendering
production
This is of specific importance when aquaculture
Component
systems in industrialized and nonindustrialized transport
Fish reduction
countries are being compared.
To illustrate the relative energy costs associated Feed milling
Indirect inputs
with providing the major forms of feed inputs, Fig. 4 to fishing
Feed transport
shows the energy inputs associated with producing a Direct fuel
typical salmon feed used in Canada. By comparing inputs to
Figs. 4A and 4B, we see that although over 50% of the fishing
mass of the feed is derived from fish, these inputs only
B
represent about 35% of the total energy inputs. What
is more interesting to note, however, is that although Crop derived
livestock-derived inputs represent only 16% of the (28%)
feed by mass, they account for well over 40% of the
total energy costs of this feed. In contrast, crop-derived
inputs comprise over 25% of the feed but only account
for approximately 5% of the total energy cost. Fish derived
(56%)
Livestock
5. BIOPHYSICAL EFFICIENCY derived
AND SUSTAINABILITY (16%)
FIGURE 4 (A) Breakdown of industrial energy inputs to
Aquaculture is becoming an increasingly important produce a generic salmon feed; (B) the major components of this
component of the food production sector. As such, it is feed. From Tyedmers (2000).
106 Aquaculture and Energy Use
Seppälä, J., Silvenius, F., Grönroos, J., Mäkinen, T., Silvo, K., and fishery and the intensive salmon culture industry. Ph.D.
Storhammar, E. (2001). ‘‘Rainbow Trout Production and the dissertation. University of British Columbia, Vancouver,
Environment. The Finnish Environment’’ [in Finnish]. Suomen Canada.
ympäristö 529. Technical report. Tyedmers, P. (2001). Energy consumed by north atlantic fishe-
Sing, S., and Pannu, C. J. S. (1998). Energy requirements in fish ries. Fisheries impacts on North Atlantic ecosystems:
production in the state of Punjab. Energy Convers. Manage. 39, Catch, effort and national/regional datasets (D. Zeller, R.
911–914. Watson, and D. Pauly, Eds.). Fisheries Centre Res. Rep.
Stewart, J. A. (1995). ‘‘Assessing Sustainability of Aquaculture Deve- 9(3), 12–34.
lopment.’’ Ph.D. thesis. University of Stirling, Stirling, Scotland. Watanabe, H., and Okubo, M. (1989). Energy input in marine
Tyedmers, P. (2000). Salmon and sustainability: The biophysical fisheries of Japan. Bull. Jpn. Soc. Scientif. Fisheries/Nippon
cost of producing salmon through the commercial salmon Suisan Gakkaishi 53(9), 1525–1531.
Arid Environments, Impacts of
Energy Development in
DAVID FAIMAN
Ben-Gurion University of the Negev
Beer-Sheva, Israel
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 109
110 Arid Environments, Impacts of Energy Development in
necessary to solve a number of urgent energy-related additional extinction of species in the arid regions
problems during the next few generations. First, the comes about as a result of anthropogenic activities
standard of living among all people on Earth must be elsewhere on Earth. For example, unnatural damage
raised to a high enough level to promote political to the ozone layer, caused by the worldwide use of
stability. Second, the worldwide consumption of chlorofluorocarbons (CFCs) and other chemicals, can
energy and the concomitant production of waste result in the exposure of living species in the desert
products must level off at a rate commensurate with belts to elevated and deadly levels of solar ultraviolet-
environmental stability. Third, worldwide population B (UV-B) radiation. Also, sparse as the rainfall in
growth must be reduced to zero. these regions is, the introduction of externally caused
Of course, each of these problems, though easy to acid rain may also be expected to present a serious
state, encompasses a veritable Pandora’s box of threat to the natural desert ecosystem.
social and technical subproblems. As such, even to Naturally, the encroachment of humans on the
approach their solution will be a far from simple arid regions, albeit, in the past, in relatively small
matter. However, it is clear that a start must be made, numbers, also causes serious perturbations to the
and for all three problems the energy development of natural desert ecosystem; desertification, the conver-
the world’s deserts may hold an important key. First, sion of marginal desert areas to true deserts, is
much of the world’s poverty is located in arid probably the most notorious example of the impact
regions. Second, solar energy is locally available for of human encroachment. It is apparent that today,
the development of those regions. Third, the deserts although the deserts of the world are still relatively
receive sufficient solar energy that, if it is harnessed, undeveloped, energy development elsewhere on
the deserts could provide nonpolluting power station Earth can have a negative impact on arid environ-
replacements for the rest of the world. Fourth, there ment ecosystems. Of course, with the massive
is sufficient available land area within the world’s development of deserts that inevitably may be
deserts to accommodate a large population increase expected to occur, their natural ecosystems will
during the time it will take to achieve the ultimately vanish into history. However, whatever replaces
desired goal of global environmental stability. them will clearly need to be taken into consideration
Naturally, and this is often forgotten, there are because, as we are learning from the phenomenon of
many possible impacts (both positive and negative) global warming, Nature has a tendency to fight back.
of energy development in arid environments. It is In the light of the relatively limited knowledge we
therefore of vital importance to promote the positive possess today on desert ecosystems, it is obvious that
impacts while minimizing the negative ones. there are some rather nontrivial questions that
science would do well to try and answer, before
unbridled technological development occurs in the
2. THE DESERT ECOSYSTEM arid regions. Specifically, it is important to ask what
the respective effects are on a desert ecosystem of
Certain regions on Earth are arid due to the natural introducing various kinds of technology, what should
circulation of the atmosphere. Warm, moist air, rising be the criteria for assessing whether the results are
from the equatorial belt, cools and releases its good or bad, and what kinds of resulting ecosystems
precipitation in the tropics, and the resulting dry air could be considered desirable.
returns to Earth, forming two desert regions at
approximate latitudes of 7301. As a result of the
dearth of rainfall in these regions, they have little 3. DANGER FROM UNBRIDLED
natural vegetation and are consequently sparsely DEVELOPMENT OF DESERTS
populated both by animals and humans. In spite of
an apparent almost complete absence of life in In addition to being concerned about desert ecosys-
deserts, these regions actually support a wealth of tems, the entire global ecosystem must also be
species, both floral and faunal. However, in absolute considered. There is already evidence that anthropo-
numbers, their abundances are low and they coexist genic activities outside arid regions can have a negative
as a very frail ecosystem. In fact, so frail is the desert impact on the desert ecosystem. However, the reverse
ecosystem that even though the species have evolved can also be true. If the development of arid regions
to be able to withstand arid conditions, extended was traditionally limited in the past by the nature of
periods of drought periodically bring about extinc- their aridity, modern technology has proved that this
tions. It is also possible, and even likely, that need no longer be the case. In fact, the real limiting
Arid Environments, Impacts of Energy Development in 111
factor is not water but, rather, energy. After all, were negligible generation of carbon dioxide, this is not
enough energy to be available, then, following the necessarily the case for the associated growth in
Saudi Arabian example, seawater could be desalinated infrastructure that would result. In the first place,
and transported large distances, allowing food to be surface and air transport, both within the newly
grown in even the most arid of deserts. So, suppose, developed arid region and between it and the other
for example, that solar energy could suddenly become developed parts of the world, would result in the
available for the practical development of arid regions. release of some 3 kg of CO2 for each 1 kg of fuel that
The next step is to examine what the overall was burned. If we take octane (C8H18) as being a
consequences could be for the world at large. typical constituent of motor fuel, then the complete
The first effect would be a massive improvement combustion of one molecule of this hydrocarbon
in the local standard of living. For example, a recent produces eight molecules of CO2, or, in mass units,
study employing matrices of input/output economic 1 kg of octane produces 3.1 kg of carbon dioxide.
factors for Morocco calculated some of the effects of Second, there would be a corresponding increase in
constructing a single photovoltaic module manufac- the worldwide production of construction materials
turing facility in the Sahara Desert. The facility and consumer goods, transported from places of
would, by supposition, be capable of producing manufacture where solar energy might not be avail-
5 MW of photovoltaic modules per year. The authors able at prices that could compete with fossil fuel.
of the study concluded that such a manufacturing Third, the benefits of newfound prosperity in the arid
facility would create more than 2500 new jobs. In regions would likely lead to lower infant mortality
order to place this result in its correct perspective, it and fewer deaths from disease, resulting in larger,
is important to point out that the study was part of a longer lived families, hence increased energy con-
scenario in which five such factories would be sumption. Clearly, all of these energy-related side
constructed initially, to be followed by four much effects could lead to a serious overall increase in CO2
larger factories, each with an annual module production even though the original wherewithal—
production of 50 MW. The combined enterprise solar-generated electricity—is environmentally be-
would provide (a) enough electricity for operating nign. Of course, solar-generated electricity may lead
the successive factories and (b) enough photovoltaic to a net per capita decrease in CO2 production, but
modules to enable the construction of a 1.5-GW unless world population growth declines at a suffi-
photovoltaic electric power generating plant, a so- ciently rapid rate, this will still lead to an absolute
called very large solar photovoltaic plant (VLS-PV). increase in CO2 production.
The entire project would take, by calculation, 43
years to complete. The resulting annual electricity
output would be 3.5 TWh, at a cost perhaps as 4. TECHNOLOGICAL MILESTONES
low as $0.05/kWh (U.S. dollars)—enough electricity FOR SAFE DEVELOPMENT OF
to provide nearly 1 million people with living
standards comparable to those enjoyed in today’s
ARID ZONES
industrially developed countries. Of course, the
In order avoid the various spin-off problems of arid
concomitant cost reduction that would accompany
region development, a number of parallel technolo-
such a large-scale manufacture of photovoltaic
gical developments will have to reach fruition:
panels would also lead to their more widespread
use on an individual family basis in outlying desert 1. Solar energy (particularly photovoltaic) tech-
areas. Such improved living conditions may be nology will have to reach an appropriate level of
expected to result in a corresponding population mass-producibility to enable large-area systems to be
growth fueled by the migration of poor people into constructed in all major desert locations.
this new paradise on Earth. Housing and feeding 2. High-temperature (actually, ambient-tempera-
these people should present little problem thanks to ture) superconductive cables will need to be devel-
the plentiful availability of energy. This much is oped, so as to enable the lossless transmission of
clearly desirable, because the large-scale relief of solar-generated power from desert regions to the
poverty may be expected to lead to greater political other, more industrially developed, parts of the
stability. But what would be achieved at the global world. This will enable large numbers of fossil-fueled
environmental level? power plants to be made redundant. Of course,
Although the local generation of electric power environmentally clean electricity could then become a
from solar energy would be accompanied by a valuable export commodity for desert dwellers.
112 Arid Environments, Impacts of Energy Development in
the various ecological questions suggested in Section mentioned that for many situations in which thermal
II, there should be added a number of important energy is required (e.g., industrial processes), the use
sociological questions that will need to be answered of photovoltaic electricity would be needlessly
before the energy development of arid regions can inefficient. It is understandable, therefore (Fig. 3),
take place within the developed world. how, in addition to providing electricity, such rows of
parabolic trough reflectors could provide solar-
powered thermal energy for the industries of desert
6. OTHER AVAILABLE towns in the future.
TECHNOLOGIES Wind power represents another technology that
has been successfully demonstrated on a large scale
The need to develop certain renewable technologies (Fig. 4). This technology could usefully supplement
for widespread adoption both in arid regions and the employment of solar energy in arid zones because
worldwide was mentioned in Section 4. These its generating capacity is not limited to the daylight
technologies were power transmission cables that hours. In fact, at certain locations and with careful
would superconduct at ambient temperatures, hydro- system design, it may be possible to use the same
gen fuel cells and hydrogen combustion engines for parcels of land for power generation using both solar
surface and air travel, and low-cost photovoltaic solar and wind technologies.
electricity generators. In Section 5 the discussions Of course, as the variety of energy-producing
elaborated the promise of very large-scale photovol- technologies increases, so too, to a certain extent,
taic systems for two reasons. On the one hand, such
discussions serve as a useful indicator as to the
manner in which arid regions could serve as power
stations of the future, and what some of the associated
developmental impacts might be. But on the other
hand, photovoltaics represents a technology that has
been in existence for approximately half a century
and is, consequently, relatively mature, albeit costly
compared to fossil fuel alternatives. Nevertheless, it is
important to remember that there are a number of
alternative renewable technologies that have also
been successfully demonstrated at the multimegawatt
scale, and which may also be expected to play an
important role in the development of arid regions.
Solar-thermal power stations have been built on
the scale of tens of megawatts apiece, and some 350 FIGURE 3 Solar-thermal electric power plant at Kramer
Junction, California, United States. Photo courtesy of Solel Solar
MW of total electrical generating capacity have been Systems Ltd.
operating in the California desert for the past 15–20
years. These power plants employ long rows of
troughlike parabolic mirrors in order to concentrate
sunlight onto a central tube. Oil flowing within the
tube is heated to high temperatures and is used to
convert water into steam that, in turn, drives a
turbogenerator. Although the economic climate that
prevailed in California when these systems were first
constructed favored their use for electricity genera-
tion, it is important to realize that the thermal energy
these systems generate as an intermediate stage
represents a far more efficient use of solar energy.
In these systems, the oil is heated to approximately
3501C, at an efficiency close to 50%. This heat is
then used to power a steam turbine at an efficiency of
about 30%. Thus, the combined solar-to-electrical FIGURE 4 Wind turbines at Jaisalmer, India. Photo courtesy of
efficiency is only around 15%. It was previously Safrir Faiman.
Arid Environments, Impacts of Energy Development in 115
will be the variety of additional impacts that will increases among the newly wealthy parts of the
have to be studied. The possibility of oil leakage and world, it may be necessary for the previously
fire hazard will be among topics of relevance if solar- developed nations to take ever more stringent
thermal systems are to be employed on a very large measures to check their own usage of energy. This
scale, as will the possible effects of wind turbines on will not necessarily mean reducing living standards,
bird life and human hearing. but it will mean heavier investment into energy
efficiency and research into new methods of alter-
native energy usage. Mention was made of the
7. PROSPECTS AND CONCLUSIONS importance of hydrogen fuel cells and the need to
develop hydrogen combustion engines for surface
Historically, technological advances have occurred and air transport. But, no doubt, many other
piecemeal, being driven, by and large, by motives of developments may be expected to occur as the
greed. It is only comparatively recently that the research proceeds.
importance of the larger picture has come to be
realized: namely, the effects of technological devel-
opment on the environment. Hand in glove with such
technological advances, important social issues are
SEE ALSO THE
also more appreciated today than in the past. FOLLOWING ARTICLES
The development of deserts might be allowed to
come about driven purely by the profit motive. For Aircraft and Energy Use Fuel Cell Vehicles Global
example, photovoltaic manufacturers will naturally Energy Use: Status and Trends Hydrogen, End Uses
be interested in pursuing the potentially large and Economics Photovoltaic Energy: Stand-Alone
markets that exist in the world’s desert regions. With and Grid-Connected Systems Photovoltaics, Envir-
capital investment from the outside, such actions will onmental Impact of Population Growth and
certainly improve local living standards. However, as Energy Solar Thermal Energy, Industrial Heat
was indicated previously, if this occurs too rapidly, Applications Solar Thermal Power Generation
on a large enough scale, it could lead to an alarming
increase of induced CO2 production at the global
Further Reading
level, as the industrial countries increase their output
of consumer goods. Ideally, what is needed is an British Petroleum Company (BP). (2002). ‘‘BP Statistical Review of
World Energy,’’ 51st Ed. BP Corporate Communication
orchestrated approach by industry and government
Services, London. Available at the corporate Web site at
among the wealthier nations. The first priority http://www.bpamoco.com.
should be to raise living standards in the developing Johansson, T.B., Kelly, H., Reddy, A.K.N., and Williams, R.H.
world by the provision of environmentally clean (eds.). (1993). Renewable Energy: Sources for Fuels and
electricity. Not only will this help stabilize many of Electricity. Island Press, Washington, D.C.
those regions in which poverty is rife, but it will also Kurokawa, K. (ed.). (2003). ‘‘Energy from the Desert: Feasibility
of Very Large Scale Photovoltaic Power Generation (VLS-PV)
help bring on that time when all the world’s Systems.’’ James & James, London.
population can, together, discuss what is best for Rabl, A. (1985). ‘‘Active Solar Collectors and Their Applications.’’
everybody. Of course, as the use of consumer goods Oxford Univ. Press, New York.
Batteries, Overview
ELTON J. CAIRNS
Lawrence Berkeley National Laboratory and
B
University of California, Berkeley
Berkeley, California, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 117
118 Batteries, Overview
Theoretical Specific Energy ¼ DG=SMw; ð2Þ FIGURE 1 Theoretical specific energy for various cells as a
function of the equivalent weights of the reactants and the cell
where the denominator is the summation of the voltage.
molecular weights of the reactants.
It can be seen from Eq. (2) that the theoretical The details of the electrochemical reactions in cells
specific energy is maximized by having a large vary, but the principles are common to all. During
negative value for DG and a small value for SMw. the discharge process, an electrochemical oxidation
The value of DG can be made large by selecting for reaction takes place at the negative electrode. The
the negative electrode those reactant materials that negative electrode reactant (e.g., zinc) gives up
give up electrons very readily. The elements with electrons that flow into the electrical circuit where
such properties are located on the left-hand side of they do work. The negative electrode reactant is then
the periodic chart of the elements. Correspondingly, in its oxidized form (e.g., ZnO). Simultaneously, the
the positive electrode reactant materials should positive electrode reactant undergoes a reduction
readily accept electrons. Elements of this type are reaction, taking on the electrons that have passed
located on the right-hand side of the periodic chart. through the electrical circuit from the negative
Those elements with a low equivalent weight are electrode (e.g., MnO2 is converted to MnOOH). If
located toward the top of the periodic chart. These the electrical circuit is opened, the electrons cannot
are useful guidelines for selecting electrode materials, flow and the reactions stop.
and they help us to understand the wide interest in The electrode reactions discussed in the preceding
lithium-based batteries now used in portable electro- can be written as follows:
nics. Equations (1) and (2) give us a useful frame-
work for representing the theoretical specific energy Zn þ 2OH ¼ ZnO þ H2 O þ 2e
and the cell voltage for a wide range of batteries, as and
shown in Fig. 1. The individual points on the plot
were calculated from the thermodynamic data. These 2MnO2 þ 2H2 O þ 2e ¼ 2MnOOH þ 2OH :
points represent theoretical maximum values. The
practical values of specific energy that are available The sum of these electrode reactions is the overall
in commercial cells are in the range of one-fifth to cell reaction:
one-third of the theoretical values. As expected, the Zn þ 2MnO2 þ H2 O ¼ ZnO þ 2MnOOH:
cells using high equivalent weight materials (e.g.,
lead, lead dioxide) have low specific energies, Notice that there is no net production or consump-
whereas those using low equivalent weight materials tion of electrons. The electrode reactions balance
(e.g. lithium, sulfur) have high specific energies. The exactly in terms of the electrons released by the
lines in Fig. 1 represent the cell voltages and simply negative electrode being taken on by the positive
represent the relationships given by Eqs. (1) and (2). electrode.
Batteries, Overview 119
products for a wide range of applications. Represen- The sum of these reactions gives this overall cell
tative cells are discussed in the next section. reaction:
Zn þ 12O2 ¼ ZnO:
3. TYPES OF BATTERIES AND The cell voltage is 1.6 V, and the theoretical specific
THEIR CHARACTERISTICS energy is 1200 Wh/kg. Practical specific energy values
of 200 Wh/kg have been achieved for zinc/air cells.
Batteries are usually categorized by their ability to be This cell has a very high energy per unit volume,
recharged or not, by the type of electrolyte used, and 225 Wh/L, which is important in many applications.
by the electrode type. Examples of various types of The materials are inexpensive, so this cell is very
electrolytes used in batteries are presented in Table I. competitive economically. This cell is quite acceptable
Primary (nonrechargeable) cells with aqueous from an environmental point of view.
electrolytes are usually the least expensive and have The zinc/mercuric oxide cell has the unique
reasonably long storage lives. Historically, the most characteristic of a very stable and constant voltage
common primary cell is the zinc/manganese dioxide of 1.35 V. In applications where this is important,
cell used for flashlights and portable electronics in sizes this is the cell of choice. It uses an aqueous potassium
from a fraction of an amp-hour to a few amp-hours. hydroxide electrolyte and is usually used in small
Various modifications of this cell have been intro- sizes. The electrode reactions are as follows:
duced, and now the most common version uses an
alkaline (potassium hydroxide) electrolyte. The mate- Zn þ 2OH ¼ ZnO þ H2 O þ 2e
rials in this cell are relatively benign from an environ- and
mental point of view. The electrode reactions in an
alkaline electrolyte may be represented as follows: HgO þ H2 O þ 2e ¼ Hg þ 2OH :
Zn þ 2OH ¼ ZnO þ H2 O þ 2e The high equivalent weight of the mercury results in
the low theoretical specific energy of 258 Wh/kg.
and Because mercury is toxic, there are significant
2MnO2 þ 2H2 O þ 2e ¼ 2MnOOH þ 2OH : environmental concerns with disposal or recycling.
The zinc/silver oxide cell has a high specific energy
The cell potential is 1.5 V, and the theoretical specific
of about 100 Wh/kg (theoretical specific ener-
energy is 312 Wh/kg. Practical cells commonly yield
gy ¼ 430 Wh/kg), and because of this, the cost of
40 to 50 Wh/kg.
the silver is tolerated in applications that are not
Another common primary cell is the zinc/air cell.
cost-sensitive. Potassium hydroxide is the electrolyte
It uses an aqueous potassium hydroxide electrolyte, a
used here. The electrode reactions are as follows:
zinc negative electrode, and a porous catalyzed
carbon electrode that reduces oxygen from the air. Zn þ 2OH ¼ ZnO þ H2 O þ 2e
The overall electrode reactions are as follows:
and
Zn þ 2OH ¼ ZnO þ H2 O þ 2e
AgO þ H2 O þ 2e ¼ Ag þ 2OH :
and
This gives the following overall cell reaction:
1
2O 2 þ H2 O þ 2e ¼ 2OH :
Zn þ AgO ¼ Ag þ ZnO:
The cell voltage ranges from 1.8 to 1.6 V during
TABLE I
discharge. Because of the high density of the silver
Electrolyte Types and Examples oxide electrode, this cell is quite compact, giving
about 600 Wh/L.
Aqueous electrolyte H2SO4, KOH
Primary (nonrechargeable) cells with nonaqueous
Nonaqueous electrolyte
Organic solvent
electrolytes have been under development since the
Li salt in ethylene carbonate-
diethyl carbonate 1960s, following the reports of Tobias and Harris
Solid
on the use of propylene carbonate as an organic
Crystalline Na2O 11Al2O3
solvent for electrolytes to be used with alkali metal
Polymeric Li salt in polyethylene
electrodes. It has long been recognized that lithium
Molten salt (high
temperature) LiCl–KCl has very low equivalent weight and electronegativity
(Table II). These properties make it very attractive
Batteries, Overview 121
2SO0 ¼ SO2 þ S;
for use as the negative electrode in a cell. Because where SO0 is a radical intermediate that produces
lithium will react rapidly with water, it is necessary SO2 and sulfur. This cell provides a high cell voltage
to use a completely anhydrous electrolyte. There are of 3.6 V and a very high specific energy but can be
many organic solvents that can be prepared free of unsafe under certain conditions. Specific energies of
water. Unfortunately, organic solvents generally have up to 700 Wh/kg have been achieved compared with
low dielectric constants, making them poor solvents the theoretical value of 1460 Wh/kg.
for the salts necessary to provide electrolytic Table III summarizes the characteristics of several
conduction. In addition, organic solvents are ther- representative primary cells.
modynamically unstable in contact with lithium, so Primary cells with molten salt electrolytes are
solvents that react very slowly and form thin, commonly used in military applications that require
conductive, protective films on lithium are selected. a burst of power for a short time (a few seconds to a
Perhaps the most common lithium primary cell is few minutes). These batteries are built with an
that of Li/MnO2. It has the advantage of high voltage integral heating mechanism relying on a chemical
(compared with aqueous electrolyte cells), 3.05 V, and reaction to provide the necessary heat to melt the
a high specific energy (B170 Wh/kg). The electro- electrolyte (at 400–5001C). A typical cell uses lithium
de reactions are as follows: as the negative electrode and iron disulfide as the
positive electrode. The following are example elec-
Li ¼ Liþ þ e trode reactions:
and Li ¼ Liþ þ e
TABLE III The very high theoretical specific energy and low
Properties of Some Lithium Primary Cells materials cost of the zinc/air cell make it attractive
for consumer use. There have been many attempts to
Open circuit Practical specific Theoretical develop a rechargeable zinc/air cell, but with limited
voltage energy specific energy success due to the difficulties of producing a high-
(V) (Wh/kg) (Wh/kg)
performance rechargeable air electrode.
Li/MnO2 3.0 280 750 The electrode reactions during discharge for this
Li/(CF)n 2.8 290 2100 cell are as follows:
Li/SOCl2 3.6 450–700 1460
Li/FeS2 1.7 220 760 Zn þ 2OH ¼ ZnO þ H2 O þ 2e
and
of W/kg), albeit with a modest specific energy (35– O2 þ 2H2 O þ 4e ¼ 4OH :
55 Wh/kg). The cell voltage, 1.2 V, is lower than most
and can be somewhat of a disadvantage. The During recent years, the cycle life of the air
electrode reactions are as follows: electrode has been improved to the point where more
than 300 cycles are now feasible. Development
Cd þ 2OH ¼ CdðOHÞ2 þ 2e efforts continue. In the meantime, various versions
of a ‘‘mechanically rechargeable’’ zinc/air cell have
and
been tested. These cells have provision for removing
2NiOOH þ 2H2 O þ 2e ¼ 2NiðOHÞ2 þ 2OH : the discharged zinc and replacing it with fresh zinc.
This approach avoids the difficulties of operating the
Of course, the reverse of these reactions takes place air electrode in the recharge mode but creates the
on recharge. need for recycling the spent zinc to produce new zinc
A very robust rechargeable cell is the Edison cell, electrode material.
which uses iron as the negative electrode, nickel The status of some rechargeable cells with
oxyhydroxide as the positive electrode, and an aqueous electrolytes is shown in Table IV.
aqueous solution of 30 w/o potassium hydroxide as Rechargeable cells with nonaqueous electrolytes
the electrolyte. During the early years of the 20th have been under development for many years,
century, Edison batteries were used in electric vehicles. although they have been available on the consumer
They proved themselves to be very rugged and market for only a decade or so. All of the types of
durable, although they did not have high perfor- nonaqueous electrolytes shown in Table I have been
mance. The iron electrode reaction is as follows: used in a variety of systems.
Organic solvent-based electrolytes are the most
Fe þ 2OH ¼ FeðOHÞ2 þ 2e :
common of the nonaqueous electrolytes and are
The positive electrode reaction is the same as for the found in most of the rechargeable lithium cells
Cd/NiOOH cell described earlier. available today. A typical electrolyte consists of a
The NiOOH electrode has proven itself to be mixture of ethylene carbonate and ethyl-methyl
generally the best positive electrode for use in carbonate, with a lithium salt such as LiPF6 dissolved
alkaline electrolytes and has been paired with many in it. Various other solvents, including propylene
different negative electrodes, including Cd, Fe, H2, carbonate, dimethyl carbonate, and diethyl carbo-
MH, and Zn. Recently, the metal hydride/nickel nate, have been used. Other lithium salts that have
oxyhydroxide cell (MH/NiOOH) has been a sig- been used include lithium perchlorate, lithium
nificant commercial success and has captured a large hexafluoro arsenate, and lithium tetrafluoro borate.
fraction of the market for rechargeable cells. It offers All of these combinations of solvents and salts yield
a sealed, maintenance-free system with no hazardous electrolytes that have much lower conductivities than
materials. The performance of the MH/NiOOH cell do typical aqueous electrolytes. As a result, the
is very good, providing up to several hundred watts/ electrodes and electrode spacing in these lithium cells
kilogram peak power, up to about 85 Wh/kg, and are made very thin to minimize the cell resistance and
several hundred cycles. The negative electrode maximize the power capability.
operates according to the following reaction: Lithium is difficult to deposit as a smooth
compact layer in these organic electrolytes, so a host
MH þ OH ¼ M þ H2 O þ e : material, typically carbon, is provided to take up the
Batteries, Overview 123
TABLE IV
Rechargeable Aqueous Battery Status
Li on recharge and deliver it as Li ions to the associated with overcharge of this cell. Significant
electrolyte during discharge. Many types of carbon, overcharge can cause the cell to vent and burn.
both graphitic and nongraphitic, have been used as Operation at elevated temperatures can also cause
the lithium host material. In addition, a variety of fire. Special microcircuits mounted on each cell
intermetallic compounds and metals have been used provide control over the cell, preventing overcharge
as Li host materials. All of the commercial Li and overdischarge.
rechargeable cells today use a carbon host material During the past several years, there has been a
as the negative electrode. large effort to replace the LiCoO2 with a less
The positive electrodes of Li cells are usually metal expensive, more environmentally benign material
oxide materials that can intercalate Li with a that can withstand overcharge and overdischarge
minimal change in the structure of the material. while retaining the excellent performance of LiCoO2.
The most common positive electrode material used in Many metal oxide materials have been synthesized
commercial Li cells is LiCoO2. This material is very and evaluated. Some of them are promising, but none
stable toward the removal and reinsertion of Li into has surpassed LiCoO2 so far. Popular candidate
its structure. It can be cycled more than 1000 times materials include lithium manganese oxides such as
with little change in capacity. LiMn2O4, LiMnO2, and materials based on them,
The electrode reactions during discharge for this with some of the Mn replaced by other metals such
cell are as follows: as Cr, Al, Zn, Ni, Co, and Li. Other candidates
include LiNiO2, LiFePO4, and variants on these,
xLiðCÞ ¼ xLiþ þ C þ xe with some of the transition metal atoms replaced by
other metal atoms in an attempt to make the
and
materials more stable to the insertion and removal
Li1x CoO2 þ xLiþ þ xe ¼ LiCoO2 : of the Li during discharge and charge. Progress is
being made, and some Mn-based electrode materials
Excellent engineering of this cell has resulted in a are appearing in commercial cells.
specific energy of more than 150 Wh/kg and a peak Some of the instabilities that have been observed
specific power of more than 200 W/kg, making it are traceable to the electrolyte and its reactivity with
very desirable for applications requiring high specific the electrode materials. This has resulted in some
energy. This cell has been manufactured extensively research on more stable solvents and Li salts. The Li
first in Japan and now in Korea and China, and it has salts must be stable to voltages approaching 5 V and
been used worldwide. must be very soluble and highly conductive. The
Even though the Li(C)/CoO2 cell has many solvents must have a wide temperature range of
desirable features, it has some limitations and liquidity so that cells can be operated from very cold
disadvantages. The use of Co represents an environ- to very warm temperatures (40 to þ 601C for some
mental hazard because Co is toxic. It is also too applications).
expensive to use in large batteries suitable for low- The emphasis on lower cost electrode materials
cost applications such as electric and hybrid vehicle has continued, and some encouraging results have
propulsion. In addition, there are safety problems been obtained for materials based on LiFePO4. This
124 Batteries, Overview
material is very stable toward repeated insertion and are usually coupled with a lithium metal negative
removal of Li and has shown hundreds of cycles with electrode, which has a short cycle life. Current efforts
little capacity loss. One problem with LiFePO4 is its are under way to improve the cycle life of the lithium
low electronic conductivity, making full use and high metal electrode.
rate operation difficult, even with enhanced current The status of some rechargeable cells with
collection provided by added carbon. nonaqueous electrolytes is presented in Table V.
Some unusual electrode materials are under The performance of several rechargeable batteries is
investigation in the quest to reduce cost. These shown in Fig. 3.
include elemental sulfur and organo-disulfide poly- There are a few rechargeable batteries with
mers. The Li/S cell has been investigated several molten salt or ceramic electrolytes that operate at
times during the past 20 years or more. From a elevated temperatures, but these have found only
theoretical specific energy point of view, it is very specialty (demonstration) applications such as sta-
attractive at 2600 Wh/kg. The cost of sulfur is tionary energy storage and utility vehicle propulsion
extremely low, and it is environmentally benign. A and are not yet in general use. Examples of these are
significant difficulty with the sulfur electrode in most
organic solvents is the formation of soluble poly-
sulfides during discharge. The soluble polysulfides 1000
can migrate away from the positive electrode and
Internal
become inaccessible, resulting in a capacity loss. Zn/NiOOH combustion
The overall reaction for the sulfur electrode is as MH/NiOOH engine
follows:
Li ion cells
S þ 2e ¼ S2 :
Cd/NiOOH
Na/S
W/kg
TABLE V
Nonaqueous Rechargeable Battery Status
Equivalent Theoretical
Cell voltage weight specific energy Specific energy Specific power Cost
System (V) (kg) (Wh/kg) (Wh/kg) (W/kg) (dollars/kWh)
TABLE VI
High-Temperature Battery Status
Theoretical
Cell voltage specific energy Specific energy Specific power Cost Temperature
System (V) (Wh/kg) (Wh/kg) (W/kg) Cycle life (dollars/kWh) (1C)
the lithium/iron sulfide cell with a molten alkali The space program depends critically on batteries
halide electrolyte, the sodium/sulfur cell with a beta- for all manner of power supplies for communication,
alumina ceramic (Na2O . Al2O3) electrolyte, and the operation of the electrical systems in shuttle craft and
sodium/nickel chloride cell with both molten salt and space stations, power for the small vehicles and
beta-alumina electrolytes. These cells operate at 350 sensors deployed on the moon and planets, life support
to 4001C. The characteristics of these cells are shown systems, power for space suits, and many others.
in Table VI. The batteries that are used in these applications
come in many sizes, shapes, and types. The sizes of
individual cells range from a couple of millimeters or
4. APPLICATIONS less to a couple of meters. Depending on the appli-
cation, many cells are connected in series-parallel
Current applications of batteries are very wide- arrangements to provide the required voltage and
ranging. It is difficult to identify many technologies current for the necessary time.
that do not rely on either primary or secondary Future applications for batteries are certain to
batteries. Batteries are part of our everyday lives and include those listed here as well as a variety that are
are essential to many fields with which most people difficult to imagine at this time. We are now seeing
do not come into contact. the appearance of electric hybrid vehicles with a
Consumer applications of batteries include flash- battery as part of the propulsion system and an
lights, portable electronics (e.g., cell phones), radios, electric motor. These vehicles are much more efficient
televisions, MP3 players, personal digital assistants, than the standard vehicles and deliver approximately
notebook computers, portable tools, power garden 50 miles per gallon. In this application, metal
tools, burglar alarms, smoke detectors, emergency hydride/nickel oxide cells and lithium cells are used.
lighting, remote control devices for television, We are certain to see many more of these hybrid
stereos, electronic games, remote-controlled toys, vehicles with relatively large batteries providing much
and other entertainment equipment. Medical appli- of the propulsion power. These batteries store a few
cations include heart pacemakers, medical diagnostic kilowatt-hours of energy. We have also seen a small
devices (e.g., glucose monitors), pumps for adminis- number of all-battery electric vehicles on the road.
tering drugs, and nerve and muscle stimulators. They use larger batteries of up to 20 kWh storage
Automobiles depend on batteries for starting, light- capability. As batteries of higher specific energy and
ing, ignition, and related functions. Golf carts, utility lower cost become available, more electrically pow-
vehicles, and forklift trucks represent a variety of ered vehicles (both battery and hybrid) will be sold.
propulsion-power applications. Systems for the remote generation and storage of
There are many government and military applica- electrical energy depend on batteries. These include
tions with stringent requirements for batteries, solar- and wind-powered systems for remote build-
including communications radios and phones, por- ings. We can expect to see ever-smaller cells being
table lasers for range finding, field computers, night used as power sources on microcircuit chips in
vision equipment, sensors, starting for all types of computers and other electronic devices. Biomedical
vehicles, power sources for fuses, timers, various applications will expand with a wide variety of
missiles, aircraft starting and electrical systems, battery-powered sensors, stimulators, transmitters,
electrically powered vehicles (e.g., submarines), and and the like. A battery-powered artificial heart is a
off-peak energy storage for utility power. distinct possibility.
126 Batteries, Overview
Future household applications include a battery- as the developing countries install their communica-
powered robot capable of performing routine house- tions systems and more extensive infrastructures for
hold tasks. As computer-controlled homes become electrical power and transportation. Lower cost
more common, batteries will be used in many batteries will be in demand, as will batteries for
sensors, transmitters, and receivers, either because various specialty applications. Batteries capable of
they are mobile or to be independent of the power fitting into oddly shaped spaces will be needed, and
grid. As fuel cells are introduced, it is likely that in cells with polymer electrolytes can satisfy this unique
most applications the fuel cell will be accompanied requirement. Such batteries are being introduced now.
by a battery to store energy and meet peak power As batteries show an increase in specific energy in
requirements, lowering the total cost of the system the range of 300 to 400 Wh/kg, battery-powered
for a given peak power requirement. electric cars will become quite attractive. Batteries
could power buses and other vehicles with ranges of
200 to 300 miles.
5. ENVIRONMENTAL ISSUES In the development of new cells, it will be
important to continue to reduce the equivalent weight
Some types of batteries contain hazardous materials of the electrodes. At this time, the highest theoretical
that must be kept out of the environment. Examples specific energy of any cell being developed is that of Li/
of these are the lead in lead–acid batteries and the S at 2600 Wh/kg. If a lithium/oxygen, lithium/phos-
cadmium in cadmium/nickel oxide batteries. As phorus, or lithium/fluorine cell could be developed,
batteries continue to experience growth in their use, this would lead to an even higher specific energy.
developers and manufacturers must be cognizant of
environmental issues relating to the materials used in
the batteries. For example, more than 80% of the lead
in a new lead–acid battery has been recycled. With the SEE ALSO THE
use of clean technology in the recycling process, this FOLLOWING ARTICLES
hazardous material can be used and reused safely.
Batteries, Transportation Applications Electrical
Energy and Power Electric Motors Storage of
6. FUTURE OUTLOOK Energy, Overview
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 127
128 Batteries, Transportation Applications
specialized transportation sectors, which now include Junger (1899) had patented the nickel–cadmium cell
applications such as forklift trucks, delivery vehicles, and Thomas Edison (1901) had patented other
and golf carts. nickel-based electrochemical couples, notably nickel
The oil crisis in the early 1970s, when the world –iron. These pioneering discoveries of battery sys-
experienced a temporary shortage of petroleum fuels, tems that used aqueous electrolytes laid the founda-
sparked a renewed interest in finding alternative tion for many of the battery systems in use today and
sources of power for mass transport. At the same opened the door to the discovery and development of
time, there was a growing awareness that electric alternative battery chemistries, particularly the non-
vehicles (EVs) with ‘‘zero gas’’ emissions and hybrid aqueous sodium- and lithium-based systems that
electric vehicles (HEVs) with ‘‘low gas’’ emissions revolutionized battery technology toward the end of
would significantly reduce the levels of pollution in the 20th century.
urban areas. Since then, several new battery tech-
nologies with significantly superior performance
properties have emerged—for example, nickel–metal
1.2 Electrochemical Reactions
hydride batteries, high-temperature molten-salt sys- and Terminology
tems with sodium or lithium electrodes, and, most Batteries consist of an array of electrochemical cells,
recently, nonaqueous lithium ion and lithium–poly- connected either in series to increase the battery
mer systems. These developments in battery technol- voltage or in parallel to increase the capacity and
ogy have been driven by the need for improved high- current capability of the battery. The individual cells
energy, high-power systems and by environmental, consist of a negative electrode (the anode) and a
safety, and cost issues. positive electrode (the cathode) separated by an
ionically conducting electrolyte. During discharge,
an oxidation reaction occurs at the anode and ionic
1. BATTERY SYSTEMS FOR charge is transported through the electrolyte to the
ELECTRIC TRANSPORTATION cathode, where a reduction reaction occurs; a
concomitant transfer of electrons takes place from
1.1 Historical Background the anode to the cathode through an external circuit
to ensure that charge neutrality is maintained. For
Batteries have been known for two centuries. The secondary (rechargeable) batteries, these processes
first significant discovery has been credited to Volta are reversed during charge.
who, between 1798 and 1800, demonstrated that a The voltage of an electrochemical cell (E0cell) is
‘‘voltaic pile’’ (an electrochemical cell) in which two determined by the difference in electrochemical
unlike metal electrodes (silver and zinc), separated by potential of the negative and positive electrodes, i.e.,
a liquid electrolyte, provided an electrochemical
E0cell ¼ E0positive electrode E0negative electrode :
potential (the cell voltage). At the same time, he
demonstrated that when the area of the electrodes From a thermodynamic standpoint, the cell voltage
was increased, the cell could deliver a significantly can also be calculated from the free energy of the
higher current. In so doing, he unequivocally proved electrochemical reaction (DG):
that there was a strong relationship between chemi-
DG ¼ nFE0cell ;
cal and electrical phenomena. Scientists were quick
to capitalize on this discovery, with the result that where n is the number of electrons transferred during
during the 19th century great progress was made in the reaction and F is Faraday’s constant (96,487
advancing electrochemical science. Many notable coulombs). During the discharge of electrochemical
names appear in the chronology of battery develop- cells, it is a general requirement that if maximum
ment during this period. For example, Humphrey energy and power are to be derived from the cell,
Davy (1807) showed that a battery could be used to particularly for heavy-duty applications such as
electrolyze caustic soda (NaOH); Michael Faraday electric vehicles, then the voltage of the cell should
(1830) developed the basic laws of electrochemistry; remain as high and as constant as possible. This
the copper–zinc Daniell cell was discovered in 1836; requirement is never fully realized in practice because
William Grove (1839) demonstrated the principle of the internal resistance (impedance) of cells and
a fuel cell; Planté (1859) discovered the lead–acid polarization effects at the electrodes lower the
battery; LeClanché (1868) introduced the zinc– practical voltage and the rate at which the electro-
carbon ‘‘dry’’ cell; and, by the turn of the century, chemical reactions can take place. These limitations
Batteries, Transportation Applications 129
are controlled to a large extent not only by the cell have to be taken into account when considering
design but also by the type of electrochemical reaction battery systems for electric vehicles. For transporta-
that occurs at the individual electrodes and by the tion applications, it is necessary for the battery to be
ionic conductivity of the electrolyte. For example, the able to store a large quantity of energy per unit mass
following electrochemical reactions take place at the and also to deliver this energy at rapid rates,
individual electrodes of a sodium–nickel chloride cell: particularly during the acceleration of the vehicles.
Anode : 2Na-2Naþ þ 2e The specific energy of the battery in watt-hours per
kilogram (Wh/kg), which is proportional to the
Cathode : NiCl2 þ 2e -Ni þ 2Cl
distance that a vehicle will be able to travel, is
Overall reaction : 2Na þ NiCl2 -2NaCl þ Ni: defined by the product of the battery voltage, V, and
At the anode, the sodium provides a constant the electrochemical capacity of the electrodes, the
potential throughout the reaction. The cathode also unit of which is ampere-hour per kilogram (Ah/kg).
operates as a constant potential electrode because it The volumetric energy density is given in terms of
contains three components (C: Na, Ni, and Cl) and watt-hours per liter (Wh/liter), which is an important
three phases (P: NiCl2, NaCl, and Ni). The Gibbs parameter when the available space for the battery
phase rule, is a prime consideration. The specific power, which
F ¼ C P þ 2; defines the rate at which the battery can be
discharged, is given as watts per kilogram (W/kg)
dictates that the number of degrees of freedom (F) for and the power density as watts per liter (W/liter).
such an electrode reaction is two (temperature and The power parameters are largely defined by the
pressure), thereby keeping the potential invariant. kinetics of the electrochemical reaction, the surface
Therefore, sodium–nickel chloride cells provide a area and thickness of the electrodes, the internal
constant potential (under thermodynamic equili- resistance of the individual cells, and the size and
brium) throughout charge and discharge. design of the cells. Therefore, it is clear that in order
In contrast, lithium ion cells operate by insertion to be able to travel large distances and for vehicles to
reactions, whereby lithium ions are electrochemically be able to quickly accelerate, the batteries should be
introduced into, and removed from, host electrode as powerful and light as possible.
structures during discharge and charge. For a LixC6/ Tables I and II provide a list of the battery systems
Li1xCoO2 cell with xmaxE0.5, the electrode reac- that have received the most attention during the past
tions are 25 years and hold the best promise for transportation
Anode : Lix C6 -xLiþ þ C6 þ xe applications. Table I defines the chemistry of each
Cathode : xLiþ þ Li1x CoO2 þ xe -LiCoO2 system and provides theoretical voltages, capacities,
and specific energies based on the masses of the
Overall reaction : Lix C6 þ Li1x CoO2 -LiCoO2 þ C6:
electrochemically active components of the cell
The lithiated graphite electrode operates by a series reactions. Table II provides typical performance
of staging reactions, each of which constitutes a two- characteristics that have been reported specifically
component, two-phase electrode that provides a for EV or HEV applications. The order in which the
constant potential a few tens of millivolts above systems are given approximates the chronology of
that of metallic lithium. On the other hand, the their development.
Li1xCoO2 electrode is a two-component (Li and
CoO2) and single-phase (Li1xCoO2) system. There-
fore, according to the Gibbs phase rule, the number
1.3 Electric Vehicles vs Hybrid
of degrees of freedom for the cathode reaction is
Electric Vehicles
three, and the potential of the Li1xCoO2 electrode
varies with composition (x) as it is discharged and Pure EVs are limited by the range they can travel
charged. Lithium ion cells therefore do not operate at before the batteries become depleted and need to be
constant potential; they show a sloping voltage recharged. Vehicle range is determined by the specific
profile between the typical upper and lower limits energy of the batteries. Table I shows that the
of operation—4.2 and 3.0 V, respectively. practical specific energy of heavy-duty batteries
The calendar (shelf) life and cycle life of cells, varies widely from B30 Wh/kg for lead–acid to
which depend on the chemical stability of the B150Wh/kg for advanced lithium batteries.
charged and discharged electrodes in the electrolyte Although lead–acid batteries are relatively inexpen-
environment, are also important characteristics that sive and have a rugged construction, the range they
130 Batteries, Transportation Applications
TABLE I
Battery Systems and Theoretical Electrochemical Propertiesa
Negative electrode Positive electrode Open circuit voltage Theoretical capacity Theoretical specific
System (anode) (cathode) of reaction (V) (Ah/kg) energy (Wh/kg)
TABLE II
Typical Performance Characteristics of Various Battery Systemsa
Lead–acid
EV 35–50 90–125 150–400 400–1000 500–1000
HEV 27 74 350 900 ?
Nickel–cadmium
EV 60 115 225 400 2500
Nickel–metal
hydride
EV 68 165 150 (80% DOD) 430 (80% DOD) 600–1200
HEV 50 125 750 (50% DOD) 41600 (50% DOD) ?
Sodium–sulfur
EV 117 171 240 351 800
Sodium–metal
chloride
EV 94 147 170 266 41000
Lithium–ionb
EV battery module 93 114 350 429 800 (401C)
Lithium–polymer
EV battery 155 220 315 447 600
module
a
Abbreviations used: EV, electric vehicle; HEV, hybrid electric vehicle; DOD, depth of discharge of the battery.
b
C/LiMn2O4 system.
offer (on average, 50 miles between charges) limits acid batteries are heavy, much of the energy is used to
their application to utility fleets, such as forklift transport the mass of the battery.) For more energetic
trucks, delivery vehicles, and golf carts, for which and advanced systems, such as nickel–metal hydride
short driving distances are acceptable. (Because lead– (68 Wh/kg), sodium–nickel chloride (94 Wh/kg),
Batteries, Transportation Applications 131
TABLE IV
Selected FreedomCAR Battery Performance Goals for Hybrid Electric Vehicles (2002)a
Total available energy over DOD range in which power goals are met (Wh/kg) 7.5 (at C/1 rate)b 15 (at 6-kW constant power)
Pulse discharge power (W/kg) 625 (18 s) 450 (12 s)
Calendar life (years) 15 15
Cycle life (cycles, for specified SOC increments) 300,000 3750
Operating temperature (1C) 30 to 50 30 to 50
a
Abbreviations used: DOD, depth of discharge of the battery; SOC, state of charge.
b
C/1 rate, 1-h rate.
golf carts, milk and postal delivery trucks, and small required to convert the salts to Pb and PbO2 at the
electrically powered cars and trucks. Lead–acid negative and positive electrodes, respectively. Red lead
batteries constitute approximately 40% of the (Pb3O4), which is more conductive than PbO, is
world’s total battery sales, which can be attributed sometimes added to the positive electrode to promote
to their well-developed and robust technology and the formation of PbO2.
significant cost advantage. Because Pb is a soft metal (melting point, 3271C),
small amounts of additives, such as antimony, calcium,
and selenium, have been used to increase the stress
3.1 General Chemistry, Construction, resistance of the lead grids. Antimony, in particular,
and Operation significantly increases the mechanical strength of the
Lead–acid batteries consist of a metallic lead (Pb) grids but also increases their electrical resistance. An
negative electrode, a lead dioxide (PbO2) positive additional disadvantage of antimony is that toxic
electrode, and a sulfuric acid electrolyte. The overall stibene (SbH3) can form during charge, which
cell reaction is precludes the use of lead–acid batteries with lead–
antimony electrodes in poorly ventilated areas, such as
Pb þ PbO2 þ 2H2 SO4 -2PbSO4 þ 2H2 O:
in underground mining operations and submarines.
The voltage of lead–acid cells on open circuit is Charging of lead–acid batteries can also be
approximately 2 V; a standard 12-V (SLI) battery hazardous. The voltage of lead–acid batteries (2 V)
therefore consists of six individual cells connected in is higher than that required for the electrolysis of
series. During discharge, lead sulfate (PbSO4) is water, with the result that hydrogen and oxygen are
produced as both Pb and PbO2 electrodes, with released while batteries are being charged. Improve-
water (H2O) as a by-product of the reaction. Because ments have been made with the introduction of valve-
the specific gravity (SG) or density of H2SO4 differs regulated lead–acid (‘‘maintenance-free’’) batteries in
markedly from that of H2O, the SG of the electrolyte which evolved oxygen is recombined with lead at the
can be conveniently used to monitor the state of negative electrode and in which evolved hydrogen,
charge of the cells and battery and to identify ‘‘dead’’ which can be minimized by the addition of tin to the
cells. The SG of lead–acid cells depends on the type lead grids, is vented. Nevertheless, hydrogen evolu-
of battery construction; fully charged cells typically tion can still pose a safety hazard in some lead–acid
have an SG of approximately 1.3, whereas the SG of battery designs. Another unavoidable and inherent
fully discharged cells is typically 1.2 or lower. safety hazard of lead–acid batteries is the potential
Lead–acid batteries are assembled in the discharged risk of spillage of the sulfuric acid electrolyte, which
state from electrodes that are manufactured by is corrosive and can cause severe chemical burns.
reacting PbO, Pb, and sulfuric acid to form ‘‘tribasic’’
(3PbOPbSO4) and ‘‘tetrabasic’’ (4PbOPbSO4) salts,
3.2 Transportation Applications
which are either pasted onto flat lead grids or
compacted into porous, tubular electrode containers Despite their relatively low energy density, lead–acid
with a central current-collecting rod, and then they batteries have found widespread application in
are cured under controlled conditions of humidity and numerous transportation devices, as previously
temperature. A formation (initial charge) process is noted, where the range of the vehicle is not a prime
Batteries, Transportation Applications 133
increase in the cell: lithium alloy and a metal sulfide. This approach
2MH þ 1=2O2 -2M þ H2 O: resulted in the development of a highly successful
primary LiAl/FeSx battery (1oxo2), which has been
An additional advantage of this reaction, which used predominantly in military devices such as
depletes the negative electrode of hydrogen, is that missile systems. Attempts to develop a viable rechar-
the negative electrode never becomes fully charged, geable system for EVs were thwarted by several
thereby suppressing the evolution of hydrogen gas. problems, such as cycle life, corrosion, and cost, with
Nickel–metal hydride cells are therefore constructed the result that the USABC abandoned its support for
with a ‘‘starved-electrolyte’’ design, which promotes the project in 1995 and opted for the emerging
and exploits the advantages of the oxygen-recombi- lithium battery technologies. Nevertheless, research
nation reaction. on lithium–iron sulfide batteries continues, but for
The MH negative electrodes of NiMH batteries operation at lower temperature (90–1351C) using a
have complex formulae; they are based on the overall metallic lithium negative electrode with a polymer
composition and structure types of AB5 or AB2 electrolyte. Time will tell whether this new approach
alloys. AB5 alloys contain several rare earth metals will be successful.
(Misch metals) and tend to be preferred over the Two other high-temperature batteries were devel-
AB2-type alloys even though they have slightly lower oped in the latter part of the 20th century, namely,
specific and volumetric capacities. The NiOOH the sodium–sulfur battery and the sodium–nickel
positive electrodes commonly contain minor quan- chloride battery, both of which use molten sodium as
tities of Co and Zn to improve the electronic the positive electrode. These advanced sodium
conductivity of the NiOOH electrode (Co) and to batteries were made possible by the discovery in
control oxygen evolution and microstructural fea- 1967 of the sodium ion-conducting solid electrolyte,
tures of the electrode (Co and Zn). b-alumina. This solid electrolyte, which has a
NiMH batteries have made a significant contribu- composition between Na2O 5.33Al2O3 and
tion to improving the range of pure EVs and to the Na2O 11Al2O3, has an anomalously high sodium
fuel consumption of HEVs. Replacement of lead– ion specific conductivity of 0.2 S/cm at 3001C,
acid batteries with NiMH batteries in the General comparable to that of liquid electrolytes (e.g., the
Motors electric vehicle EV1 increased the driving specific conductivity of 3.75 M H2SO4 at room
range from 55–95 to 75–130 miles. NiMH batteries temperature is 0.8 S/cm). The structure of b-alumina
were introduced into the first generation of modern- consists primarily of Al2O3 spinel blocks, which are
day HEVs by Toyota (the Prius) and Honda (the structurally related to the mineral ‘‘spinel’’ MgAl2O4.
Insight) in the late 1990s. These spinel blocks are separated by oxygen-deficient
Despite the very significant progress that has been layers, in which sodium ions can diffuse rapidly
made, the future of NiMH batteries is uncertain, when an electrochemical potential difference exists
particularly in the consumer electronics industry, in across the ceramic electrolyte. The conventional
which they have lost significant market share to design of the b-alumina solid electrolyte for sodium
lithium–ion batteries, which offer a significantly batteries is tubular. The b-alumina tubes are brittle
higher cell voltage and superior specific energy and must be thin to permit the electrochemical
(Tables I and II). reaction to occur at an acceptable rate. The
manufacture of high-quality tubes, which requires a
sintering temperature of 16001C to ensure a high-
5. HIGH-TEMPERATURE BATTERIES density ceramic, is a complex process and great care
must be taken to minimize flaws that might lead to
The possibility of using high-temperature batteries fracture of the tubes during battery operation.
with molten electrodes or molten salts was first
seriously explored in the early 1960s. Early attempts
5.1 Sodium–Sulfur Batteries
to construct an electrochemical lithium–sulfur cell
with a LiCl–KCl molten salt electrolyte (melting In most conventional sodium–sulfur cells, which have
point, 3521C) were unsuccessful because both the configuration Na/b-alumina/S, the molten sodium
electrodes were also molten at the operating tem- electrode is contained within the b-alumina tube,
perature of the cell (4001C). In order to overcome the typically called the central sodium design. The molten
problems of electrode containment, researchers sulfur electrode is contained on the outside between
replaced the two liquid electrodes with a solid the tube and the inner walls of the metal container,
Batteries, Transportation Applications 135
which are usually coated with chromium to resist for hermetic seals in a very corrosive environment,
attack from the highly corrosive sulfur electrode. and the difficulty of meeting cost goals were among
Cells can also be constructed with a central sulfur the major reasons why support for the development
design, but this design provides lower power and is of sodium–sulfur batteries for electric vehicle appli-
less tolerant to freeze–thaw cycling (i.e., cooling and cations was terminated worldwide in the mid-1990s.
heating of the battery during which the electrodes are Nevertheless, considerable development of this tech-
allowed to solidify and melt repeatedly). nology is under way, particularly in Japan, for
During discharge of Na/b-alumina/S cells, the stationary energy storage applications.
sodium reacts electrochemically with sulfur to form
a series of polysulfide compounds according to the
general reaction 5.2 Sodium–Nickel Chloride Batteries
2Na þ xS-Na2 Sx The sodium–nickel chloride battery, commonly
referred to as the Zebra battery, had its origins in
over the range 3rxr5. The reaction can be South Africa in the late 1970s. The early research on
considered to take place in two steps. The initial these batteries capitalized on the chemistries and
reaction produces Na2S5, which is immiscible with designs of two high-temperature battery systems,
the molten sulfur. This reaction is therefore a two- sodium–sulfur and lithium–iron sulfide, that had
phase process; it yields a constant cell voltage of been made public several years before. The first
2.08 V. Thereafter, the sulfur electrode discharges in generation of Zebra cells used an iron dichloride
a single-phase process to form Na2Sx compositions electrode with the configuration,
between Na2S5 and Na2S3, during which the cell
Na=b-alumina=FeCl2 ;
voltage decreases linearly. The open circuit voltage at
the end of discharge is 1.78 V. The composition in which the sodium electrode and b-alumina
Na2S3 represents the fully discharged composition electrolyte components mimic the sodium–sulfur cell
because further discharge yields Na2S2, which is a and the iron dichloride electrode acts as a substitute
solid, insoluble product that leads to an increase in for the FeSx electrode in the LiAl/KCl, LiCl/FeSx cell.
the internal resistance of the cell. Moreover, it is Because FeCl2 is a solid, a molten salt electrolyte
difficult to recharge a Na2S2 electrode. In practice, must be added to the positive electrode compartment
therefore, it is common for the end voltage of of Na/b-alumina/FeCl2 cells. NaAlCl4 is an ideal
sodium–sulfur cells to be restricted to between 1.9 candidate for this purpose because it has a low
and 1.78 V not only because it prevents over- melting point (1521C) and because it dissociates into
discharge in local areas of the cells but also because two stable ionic species, Naþ and AlCl 4 ; thereby
it reduces the severity of the corrosion reactions that providing good Na þ ion conductivity at elevated
occur for Na2Sx products with lower values of x. temperatures. Moreover, it is probable that the
Because sodium and sulfur are relatively light chloride ions of the molten electrolyte play a
elements, the sodium–sulfur battery offers a high significant role in the dechlorination and rechlorina-
theoretical specific energy (754 mAh/g). However, tion reactions that occur at the iron electrode during
the robust battery construction, heating systems, and discharge and charge.
thermal insulation that are required for efficient and The electrochemical reaction of a Na/b-alumina/
safe operation place a penalty on the specific energy FeCl2 cell occurs in two distinct steps:
that can be delivered in practice (117 Wh/kg). The 6Na þ 4FeCl2 -Na6 FeCl8 þ 3Fe
molten state of the electrodes and high-temperature
2Na þ Na6 FeCl8 -NaCl þ 4Fe:
operation ensure an acceptable rate capability; a
specific power of 240 W/kg for electric vehicle The overall reaction is
batteries has been reported (Table I).
8Na þ 4FeCl2 -NaCl þ 4Fe:
One of the major disadvantages of sodium–sulfur
cells is that they are inherently unsafe; any fracture of The initial reaction provides an open-circuit voltage
the b-alumina tube that allows the intimate contact of 2.35 V; the second reaction occurs only a few tens
of molten sodium and molten sulfur can result in a of millivolts lower. The intermediate phase that is
violent reaction that is difficult to control. Further- formed, Na6FeCl8, has a defect rock salt structure in
more, damaged cells that fail in an open-circuit mode which one iron divalent atom replaces two Na atoms
need to be electrically bypassed to ensure continued in the NaCl structure. Moreover, despite a volume
operation of the battery. These limitations, the need increase, the closely packed arrangement of the
136 Batteries, Transportation Applications
chloride atoms of the FeCl2 structure remains essen- small proportion of iron, which significantly
tially unaltered during the transitions to Na6FeCl8 improves the power capability of the cells toward
and NaCl. Crystallographically, the reaction at the the end of discharge.)
positive electrode is therefore a relatively simple one. 3. From a safety standpoint, if the b-alumina tubes
Moreover, all the compounds formed during charge fracture, the molten NaAlCl4 electrolyte is
and discharge are essentially insoluble in the reduced according to the reaction
NaAlCl4 electrolyte, provided that the electrolyte is NaAlCl4 -4NaCl þ Al;
kept basic [i.e., slightly NaCl rich (or AlCl3
deficient)]. This prevents ion-exchange reactions resulting in solid products; the deposited
from occurring between the Fe2 þ in the electrode aluminum metal also provides an internal short
and Na þ in the b-alumina structure, which would circuit that allows for failed cells to be electrically
severely degrade the conductivity of the solid bypassed.
electrolyte membrane. The simplicity of the electro- 4. Zebra cells can be safely overdischarged by
chemical reaction and the insolubility of the metal electrochemical reduction of the electrolyte at
chloride electrode in the molten salt electrolyte are 1.58 V (the reaction is identical to that given for
key factors that contribute to the excellent cycle life point 3), provided that the reaction does not go
of Zebra cells. to completion when the electrode solidifies
The second generation of Zebra cells used a nickel completely.
chloride electrode because it provided a slightly 5. There is less corrosion in Zebra cells.
higher cell voltage (2.58 V), resulting in cells with a 6. Zebra cells offer a wider operating temperature
higher power capability. Unlike FeCl2 electrodes, range (220–4501C) compared with sodium–
NiCl2 electrodes do not form any intermediate sulfur cells (290–3901C).
compositions but react directly with sodium to form 7. Zebra cells are more tolerant to freeze–thaw
NaCl: cycles.
2Na þ NiCl2 -2NaCl þ Ni: Zebra batteries have been tested extensively in
EVs by Daimler-Benz in Europe, for example, in a
Zebra cells are usually designed with the positive Mercedes A Class sedan. These batteries have met all
electrode housed inside the b-alumina tube. There- the USABC mid-term performance goals listed in
fore, during charge, sodium is electrochemically Table III, except for operating temperature. Although
extracted from the NaCl/Ni composite electrode to development work on Zebra batteries is ongoing, the
form NiCl2; the metallic sodium is deposited on the market for pure EVs for which Zebra batteries are
outside of the tube and fills the void between the tube best suited is lacking, particularly because of the
and inner wall of the cylindrical metal container. greater attention that is currently being paid to
Although the power capability of the early Zebra HEVs. Also, high-temperature batteries have been
cells was limited to approximately 100 W/kg, sig- criticized because they require sophisticated thermal
nificantly improved performance was achieved by management systems for both heating and cooling.
changing the shape of the cylindrical b-alumina tube Nonetheless, because they are temperature con-
to a fluted-tube design, thereby increasing the surface trolled, these systems have been shown to work
area of the solid electrolyte considerably. Fully exceptionally well in both extremely hot and
developed Zebra batteries now have a specific energy extremely cold climates.
of approximately 100 Wh/kg and a specific power of
170 W/kg.
Zebra cells have several major advantages over 6. LITHIUM BATTERIES
sodium–sulfur cells:
6.1 Lithium Ion Batteries
1. Zebra cells have a higher operating voltage (2.58
vs 2.08 V). Although primary, nonaqueous, lithium batteries
2. Unlike sodium–sulfur cells, which are assembled that operate at room temperature have been in
in the charged state with highly reactive sodium existence since the 1970s for powering small
that requires special handling conditions, Zebra devices such as watches and cameras, it was the
cells can be assembled in the discharged state by introduction of rechargeable lithium ion batteries by
blending common salt with nickel powder. (Note Sony Corporation in 1990 that brought about a
that state-of-the-art Zebra electrodes contain a revolution in the battery industry. These batteries
Batteries, Transportation Applications 137
were introduced by Japan in anticipation of the becoming overcharged, which contributes signifi-
boom in electronic devices such as cellular phones cantly to the cost of lithium ion cells. With built-in
and laptop computers, which took the world by microprocessors, millions of small lithium ion cells,
storm during the next decade and was responsible for now considered safe, are produced (mainly by
the technology ‘‘dot-com’’ industry. Japanese manufacturers) and sold every month. For
Lithium ion batteries derive their name from the larger scale applications, such as EVs and HEVs, in
electrochemical processes that occur during charge which considerably more energy is contained in the
and discharge of the individual cells. During charge batteries, the safety issue is of paramount importance
of these cells, lithium ions are transported from a and continues to receive much attention.
positive host electrode to a negative host electrode Compared with all other systems, lithium ion
with concomitant oxidation and reduction processes batteries are the most versatile in terms of their
occurring at the two electrodes, respectively; the chemistry. They can offer a diverse range of
reverse process occurs during discharge. electrochemical couples because there are a large
State-of-the-art lithium ion cells consist of a number of structures that can act as host electrodes
graphite negative electrode and a LiCoO2 positive for lithium. For example, various metals, such as Al,
electrode. The electrolyte consists of a lithium salt, Si, Sn, and Sb, and intermetallic compounds, such as
such as LiPF6, dissolved in an organic solvent, SnSb, Cu6Sn5, and Cu2Sb, have received considerable
typically a blend of organic carbonates, such as attention because they react with lithium, either by
ethylene carbonate and diethyl carbonate. The cell lithium insertion or by a combination of lithium
reaction is insertion into and metal displacement from a host
Lix C6 þ Li1x CoO2 -C6 þ LiCoO2 structure at a potential above that of a LixC6
electrode. These metal/intermetallic electrodes
Lithium ion cells, like Zebra cells, are conveniently should therefore be potentially safer than LixC6
assembled in the discharged state, which avoids the electrodes. The electrochemical performance of these
necessity of having to handle metallic lithium. The metal and intermetallic electrodes is limited by large
electrochemically active lithium is therefore initially crystallographic volume increases during the uptake
contained in the LiCoO2 positive electrode. Lithium of lithium and by a large irreversible capacity loss
extraction from LiCoO2 occurs at a potential of that commonly occurs during the initial cycle of the
approximately 4 V vs a metallic lithium (or lithiated lithium cells.
graphite) electrode. This voltage is three times the Although LiCoO2 has been the positive electrode
voltage of a nickel–metal hydride cell. Therefore, one of choice for more than a decade, lithium extraction
lithium ion cell provides a voltage equivalent of three is limited to approximately 0.5 Li per formula unit,
nickel–metal hydride cells in series. Four-volt lithium which corresponds to a practical specific capacity of
ion cells are high-energy power sources. From a safety 137 mAh/g. Moreover, cobalt is a relatively expen-
standpoint, it is fortunate that a protective passivat- sive metal. Therefore, there has been a great
ing layer forms at the lithiated graphite–electrolyte motivation in the lithium battery community to find
interface, which prevents the LixC6 electrode from alternative positive electrodes to increase the capa-
reacting continuously and vigorously with the elec- city and specific energy of lithium ion cells and to
trolyte. The high voltage and the light electrodes give reduce their cost. In particular, much effort has been
lithium ion cells a high theoretical specific energy focused on developing alternative lithium–metal
(B400 Wh/kg). However, despite this advantage, oxide electrodes that are isostructural with LiCoO2,
these high-voltage cells contain highly reactive such as LiNi0.8Co0.15Al0.05O2, which has a higher
electrodes, particularly when they are fully charged. capacity (170–180 mAh/g) without compromising
If cells are overcharged, the possibility of exothermic the cell voltage significantly. A LiMn0.33Ni0.33-
reactions of a highly delithiated and oxidizing Co0.33O2 system has been developed that offers an
Li1xCoO2 electrode and an overlithiated and redu- electrode capacity in excess of 200 mAh/g. These
cing LixC6 electrode (which may contain metallic advances bode well for the next generation of lithium
lithium at the surface of the lithiated graphite ion batteries.
particles) with a flammable organic electrolyte poses Other positive electrode materials have also
a severe safety hazard. In the event of thermal commanded attention. One example is LiMn2O4,
runaway and the buildup of gas pressure, cells can which has a spinel-type structure. This electrode is
vent, rupture, and catch fire. Individual lithium ion considerably less expensive than LiCoO2 and is more
cells must therefore be protected electronically from stable to the extraction of lithium, a reaction that
138 Batteries, Transportation Applications
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 141
142 Bicycling
expends a mere 60,000 joules (14.5 kilocalories). To around 1493 and assembled during the 16th century.
cover the same distance with a typical U.S. passenger However, the drawing was not discovered until
car rated at 20 mpg requires 115 million joules or 1966, during a restoration, leaving its authenticity
nearly 2000 times more energy. open to question.
To be sure, the car/bicycle energy ratio varies with European inventors produced a number of self-
the number of people carried (cars’ ‘‘load factors’’ propelled, hand- or foot-powered conveyances over
average more than 1, but so do bicycles’ load factors the subsequent several centuries, all employing four
in developing countries), with vehicle weight and wheels for stability. A practical two-wheeled device
efficiency (small cars use 33–50% less fuel than so- was first produced by the German Karl von Drais in
called light trucks, and similarly lightweight ‘‘10- 1816 and was patented 2 years later. His 40-kg
speed’’ bicycles require less energy than do roadster Laufmaschine (‘‘running machine’’) was propelled
bikes), and with energy losses in processing gasoline not by a mechanical drive but rather by pushing the
and obtaining food. Still, under most combinations of feet against the ground, like a hobby horse, yet was
assumptions, bicycles can cover a given distance using capable of 13- to 14-kph speeds on dry firm roads.
one-thousandth of the fuel that automobiles use. Similar machines with foot-operated drive mechan-
Moreover, as social theorist Ivan Illich observed, isms, using treadle cranks, appeared in Scotland
the distance one travels is a product of the dominant during the late 1830s. True bicycles—two-wheel
mode of transport. Bicycles go hand in hand with vehicles with pedal cranks located on the hub of the
short distances and urban density, whereas cars’ drive wheel—finally emerged in 1863 in France and
voracious need for space both demands and feeds spread quickly throughout Europe and to the United
suburban sprawl. In short, bicycles serve proximity, States.
whereas cars create distance. Because these ‘‘pedal velocipedes’’ lacked gearing,
Partly as a result of this vicious circle, cars have each turn of the pedals advanced them only a
come to account for nearly 30% of world petroleum distance equal to the circumference of the front
consumption and to produce nearly 15% of emis- wheel. To achieve high speeds, designers resorted to
sions of carbon dioxide, the most prominent green- enormous front-drive wheels, reaching diameters of
house gas. Thus, expanding the role of bicycles vis-à- 4 feet for ordinary use and up to 6 feet for racing
vis automobiles seems to be an obvious prescription models. Although ungainly and difficult to operate,
for a world riven by conflict over petroleum and these ‘‘high-wheelers’’ proliferated and led to im-
facing ecological upheaval from climate change. portant innovations such as tangent-spoked wheels
Yet despite concerted efforts by thousands of cycle to resist torque, tubular diamond-shaped frames to
advocates in scores of countries, cycling appears to absorb stress, hand-operated ‘‘spoon’’ brakes that
be losing ground, or at best running in place, in most slowed the wheels by pushing against them, and hubs
nations’ transport mix. Bikes outnumber cars world- and axles with adjustable ball bearings.
wide, but they are used for fewer ‘‘trips’’ overall and The final two steps in the evolution of the modern
probably cover less than one-tenth as many person- bicycle came during the 1880s: gearing to allow the
miles as do autos. How can this quintessentially use of smaller, more manageable wheels and chain-
human scale and efficient machine flourish again and-sprocket drives that transferred the drive me-
during the 21st century? chanism to the rear wheel. These advances led to the
so-called safety bicycle, the now-familiar modern
design in which the cyclist sits upright and pedals
2. BICYCLE DEVELOPMENT between two same-sized wheels—the front for
steering and the rear for traction.
The essential elements of the bicycle are two wheels As noted by Perry, this modern machine revolu-
in line connected by a chain drive mechanism, with a tionized cycling and is widely considered the optimal
rider simultaneously balancing and pedaling. Some design. Innovations making bicycles safer, easier to
bicycle historians attribute the first sketch of such a use, and more comfortable followed in quick
device to Leonardo da Vinci or, as argued by author succession; these included pneumatic tires, ‘‘free-
David Perry, to an assistant in Leonardo’s studio. A wheels’’ allowing coasting, multispeed gearing, and
drawing with two large eight-spoked wheels, two lever-actuated caliper brakes operating on rims
pedals, a chain drive, saddle supports, a frame, and a rather than on tires. The safety bike transformed
tiller bar appears in the Codex Atlanticus, a volume bicycling from a sport for athletic young men to a
of Leonardo’s drawings and notations dating from transport vehicle for men, women, and children
Bicycling 143
alike. By 1893, safety bicycles had replaced veloci- roads that were paved as a result of bicyclists’
pedes, and by 1896, Americans owned more than campaigning), and through incessant noise and
4 million bicycles—1 per 17 inhabitants. fumes, superior speed, and sheer physical force, cars
The bicycle boom of the late 1800s swept through literally pushed bicyclists aside. What is more, as
the industrialized world, and bicycle manufacture recounted by social historian Wolfgang Sachs, the
became a major industry in Europe and America. engine-driven car proved to be a more alluring
One census found 1200 makers of bicycles and parts, cultural commodity than did the self-propelled
along with 83 bicycle shops, within a 1-mile radius in bicycle. Although the bicycle leveraged bodily energy
lower Manhattan. The pace of invention was so and broadened the individual’s arena of direct
frenetic that during the mid-1890s the United States activity many times over, the substitution of mechan-
had two patent offices: one for bicycles and another ical power for muscular exertion conveyed a sense of
for everything else. The lone urban traffic count in joining the leisure class and became equated with
the United States to include bicycles, taken in progress.
Minneapolis, Minnesota, in 1906 after bicycling Thus, the bicycle’s ‘‘defect of physicality,’’ as Sachs
levels had peaked, found that bicycles accounted for termed it, put it at a disadvantage compared with the
more than one-fifth of downtown traffic—four times new technologies of internal combustion, electric
as much as did cars. motor drive, and flying machines. Rather than
This ‘‘golden age of bicycling’’ proved to be short- defend their right to cycle, the masses aspired to
lived. Following the classic pattern of corporate abandon the bicycle in favor of the auto. And
capitalism, a wave of mergers and buy-outs con- abandon it they did, as fast as rising affluence and
solidated small shops run by enthusiasts and financed the advent in 1908 of the mass-produced, affordable
on the cheap into factories whose assembly-line car, Henry Ford’s Model T, permitted. Although
efficiencies entailed high fixed costs. Overproduction reliable data are lacking, by the end of the 1920s,
followed, and then came market saturation, price bicycles probably accounted for only 1 to 2% of U.S.
wars, stock manipulations, and bankruptcies. Never urban travel, an order-of-magnitude decline in just a
universally popular, particularly in dense urban areas few decades.
where swift and stealthy bicycles frightened pedes- A similar devolution occurred in Europe during
trians, the bicycle industry found its public image the long boom after World War II, albeit less steeply
tarnished. and with important exceptions. However, even now,
Of course, reversals of fortune were standard fare bicycles outnumber cars by a two-to-one margin
in late-19th century capitalism, and many industries, around the world, primarily due to economics. Cars
particularly those employing advanced technology, cost roughly 100 times as much to buy as do bicycles
bounced back. Unfortunately for the bicycle busi- and require fuel as well as maintenance, putting them
ness, on the heels of the shakeout in bike manufac- out of reach of a majority of the world’s people.
ture came the automobile.
have confiscated millions in forced motorization zation since shortly after the 1949 revolution. By the
campaigns. 1980s, production for both domestic use and export
had reached 40 million bikes per year, outnumbering
total world car output. Today, China’s 1.3 billion
people own a half-billion bicycles, 40% of the
6. BICYCLES AROUND world’s total, and the bicycle is the mainstay of
THE WORLD urban transportation throughout the country. Not
just individuals but also whole families and much
Along with 1.2 billion bicycles, the world’s 6.1 cargo are conveyed on bicycles, bike manufacture
billion people possess 600 million motorized passen- and servicing are staples of China’s economy, and
ger vehicles (cars and light trucks), making for mass urban cycling is an indelible part of China’s
roughly 1 bike per 5 persons and 1 automobile per image in the world. Traffic controllers in the largest
10 persons. However, only a handful of countries cities have counted up to 50,000 cyclists per hour
actually show this precise two-to-one ratio because passing through busy intersections; in comparison, a
most of the world’s motor vehicles are in the four-lane roadway has a maximum throughput of
industrial nations, whereas most bicycles are in the 9000 motor vehicles per hour.
developing world. This is now changing, perhaps irreversibly, as
Although precise data are not available, it is likely China invests heavily in both automobiles and
that the average car is driven approximately 10,000 mechanized public transport. Although domestic auto
miles per year, whereas the average bicycle probably sales in 2002 numbered just 800,000 versus bicycle
logs fewer than 500 miles per year. Based on these sales of 15 to 20 million, the auto sector is growing
rough figures, the world’s bicycles collectively travel rapidly at 10 to 15% per year. ‘‘Bicycle boulevards’’
less than one-tenth as many miles as do cars, in Beijing and other major cities have been given over
although their share of trips is somewhat larger. to cars, with bikes excluded from 54 major roads in
Three countries or regions are of particular Shanghai alone. The safety and dignity enjoyed by
interest: China, the world’s most populous nation generations of Chinese are beginning to crumble
and still a bicycling stronghold, in spite of policies under the onslaught of motorization.
designed to encourage car use; the United States, the Although the number of bicycles in China is still
ne plus ultra of automobile use; and Northern growing, sales have dropped by one-third since the
Europe, where public policy restraining automobile early 1990s. With cyclists increasingly forced onto
use has brought about a bicycle renaissance amid buses and subways, the bicycle’s share of trips in
affluence (Table II). Beijing and Shanghai has fallen precipitously to 40%
and 20%, respectively, from more than 50% a
decade or so ago. Indeed, the incipient conversion
4.1 China
of the world’s premier bicycle nation into a car-cum-
Large-scale bicycle manufacture and use have been a transit society is eerily reminiscent of America a
centerpiece of Chinese industrialization and urbani- century ago.
TABLE II
Bicycles and Automobiles in Selected Countries and Regions (circa 2000)
Country or region Bicycles Autos Bicycle/auto ratio Bicycles per 1000 Autos per 1000
The difference is that China’s population is an Cycling danger. A bike ride in the United States
order of magnitude larger than that of the United is three times more likely to result in death than is a
States in 1900, making the fate of cycling in China trip in a car, with approximately 800 cyclists killed
a matter of global moment. Profligate burning of and 500,000 injured annually. Not surprisingly, the
fossil fuels is recognized to threaten humanity prospect of accident and injury is a powerful
through global climate change, and a simple calcula- impediment to bicycling in the United States. More-
tion demonstrates that if China were to match the over, cycling’s actual risks are compounded by
U.S. per capita rate of auto use, world carbon cultural attitudes that attribute cycle accidents to
dioxide emissions would rise by one-quarter, a the supposedly intrinsic perils of bicycles, unlike
catastrophic defeat in the effort to limit greenhouse motorist casualties, which are rarely considered to
gases. imply that driving as such is dangerous.
These inhibiting factors are mutually reinforcing.
Particularly with America’s pressure group politics,
6.2 United States
the lack of broad participation in cycling severely
Like no other society in history, the United States is limits support for policies to expand it. The lack
dominated spatially, economically, and psychologi- of a consistent visible presence of cyclists on the
cally by automobiles. Registered autos outnumber road exacerbates the inclination of drivers to see
bikes by a two-to-one ratio, but more important, cyclists as interlopers and to treat them with active
more than 90% of individuals’ transportation trips hostility. ‘‘Feedback loops’’ such as these keep cycling
are by car. A mere one-hundredth as many, or 0.9%, levels low.
are by bicycle, and a majority of these are for
recreational riding rather than for ‘‘utilitarian’’
transport. Some reasons follow: 6.3 Northern Europe
Car culture. Under America’s cultural triumvi- There is one region in which bicycling coexists with
rate of mobility, physical inactivity, and speed, the affluence and automobiles. Despite high rates of car
car has been enshrined as the norm and cycling is ownership, more than a half-dozen nations of North-
consigned to the margins. In turn, the perception of ern Europe make at least 10% of urban trips by bike,
cycling as eccentric or even deviant contributes to an surpassing the U.S. mode share at least 10-fold.
unfavorable climate for cycling that tends to be The highest bike share, and the steadiest, is in The
reinforcing. Netherlands, with 26% of urban trips in 1978 and
Sprawling land use. A majority of Americans 27% in 1995. Cycling’s modal share rose sharply in
live in suburbs, increasingly in the outermost Germany during the same period, from 7 to 12%—
metropolitan fringe whose streets and roads are still less than half the Dutch level but impressive
suitable only for motorized vehicles. Cities are more given Germany’s rapid growth in auto ownership and
conducive to cycling, with smaller distances to cover use. Also notable is cycling’s high share of trips made
and congestion that limits motor vehicle speeds, but by seniors: 9% in Germany and 24% in The
they too are engineered around autos, and few have Netherlands.
marshaled the fiscal and political resources to ensure Robust bicycling levels in Northern Europe are
safety, much less amenity, for cyclists. not accidental but rather the outcome of deliberate
Subsidized driving. Low gasoline taxes, few policies undertaken since the 1970s to reduce oil
road tolls, and zoning codes requiring abundant free dependence and to help cities avoid the damages of
parking are a standing invitation to make all pervasive automobile use. Not only are road tolls,
journeys by car, even short trips that could be taxes, and fees many times higher than those in the
walked or cycled. United States, but generously funded public transit
Poor cycling infrastructure. Spurred by federal systems reduce the need for cars, increasing the
legislation letting states and localities apply trans- tendency to make short utilitarian trips by bicycle.
portation funds to ‘‘alternative’’ modes, the United Particularly in Germany, Denmark, and The Nether-
States has invested $2 billion in bicycle facilities since lands, comprehensive cycle route systems link
the early 1990s. Nevertheless, provision of on-street ‘‘traffic-calmed’’ neighborhoods in which cycling
bike lanes, separated bike paths, cycle parking, and alongside cars is safe and pleasant.
transit links has been haphazard at best and is often Indeed, the same kind of feedback loops that
actively resisted. suppress cycling in the United States strongly nurture
Bicycling 147
it in Northern Europe. Both density and bicycling are 7.1 Worldwide Differences
encouraged by policies ranging from provision of
Bicycle safety policies differ widely around the
transit and cycle infrastructures to ‘‘social pricing’’ of
world, as illustrated in the regions profiled earlier.
driving; and Northern European states refrain from
China and other developing countries are too poor to
subsidizing sprawl development. Not only do a
invest in bicycle safety programs, but until recently
majority of Europeans live in cities as a result, but
they were also too poor for the cars that make such
population densities in urban areas are triple those
in the United States; correspondingly, average trip programs necessary. Historically, cyclists in China
and other Asian nations have been able to rely on
distances are only half as great, a further inducement
their sheer numbers to maintain their rights-of-way.
to cycle.
In the United States, bicycle safety measures focus on
changing cyclist behavior, primarily increasing hel-
7. BICYCLIST SAFETY met use (especially by children) and training cyclists
to emulate motor vehicles through ‘‘effective cycling’’
AND DANGER
programs. Little effort is made to address the nature
and volume of motor vehicle traffic or the behavior
The bicycle’s marvelous economy and efficiency have
of drivers toward cyclists.
negative corollaries. First, unlike three- or four-
In contrast, bicycle safety in Europe is promoted
wheeled conveyances, bikes are not self-balancing.
holistically as part of policies to encourage wide-
Continuous motion is required to keep them upright,
spread cycling and universal road safety. Germany
and they can tip and crash due to road defects,
and The Netherlands promote both through provi-
mechanical failure, or operator error. Second, crash
sion of elaborate and well-maintained cycling infra-
mitigation measures such as seat belts, air bags, and
structures, urban design oriented to cycling and
crumple zones that have become standard in auto-
walking rather than to motor traffic, disincentives for
mobiles are not feasible for bicycles; only helmets
and restrictions on car use, and enforcement of traffic
offer a modicum of protection, and perhaps less than
regulations that protect pedestrians and cyclists.
is commonly believed.
The European safety model appears to be vali-
The exposed position of cyclists on the road
dated by low fatality rates. Despite stable or rising
makes them vulnerable to motor vehicles. Surpassing
cycling levels from 1975 to 1998, cycle fatalities fell
bicycles several-fold in velocity and at least 100-fold
60% in Germany and The Netherlands. The U.S.
in mass, automobiles have approximately 1000 times
decline was less than half as great (25%) and may
more kinetic energy to transfer to a bicycle in a
have been largely an artifact of reduced bicycling by
collision than is the case vice versa. Not surprisingly,
children. Currently, bicycle fatalities per kilometer
although most of the total injury-accidents to
cycled are two to three times lower in Germany and
bicyclists occur in falls or other bike-only crashes,
The Netherlands than in the United States, and
severe injuries and fatalities are due mostly to being
pedestrian fatalities per kilometer walked are three to
hit by cars. Approximately 90% of bicycle fatalities
six times less. Perhaps most tellingly, although
(95% for child cyclists) in the United States have
Germany and The Netherlands have higher per-
motorist involvement, and the percentages elsewhere
kilometer fatality rates for auto users than does the
are probably as high.
United States, their overall per capita rates of road
Ironically, bicycles pose little danger for other
deaths are lower—by one-third in Germany and by
road users and far less than do automobiles. In the
one-half in The Netherlands—in large part because
United States, fewer than 5 pedestrians die each year
cars are used less in both countries.
from collisions with bikes, whereas 5000 are killed
by motor vehicles. Motor vehicle users exact an
enormous toll on themselves as well as on each other.
7.2 Cycle Helmets
Worldwide, total road deaths are estimated at
1 million people each year, with millions more Helmets have become an intensely polarized subject
becoming disabled in accidents. Based on ‘‘disability- in bicycling during recent years. Many observers
adjusted life years,’’ a statistic incorporating perma- trace the origins of the debate to a 1989 epidemio-
nent injuries and the relative youth of victims, road logical study in Seattle, Washington, associating
deaths were ranked by the World Health Organiza- helmet use with an 85% reduction in brain and head
tion as the world’s ninth-leading health scourge in injuries. The authors subsequently employed better
1990 and were predicted to rank third by 2020. statistical methods and scaled back their results
148 Bicycling
considerably, to a mere 10% reduction in severe This safety in numbers effect offers a plausible
injuries when body and not just head trauma is explanation for the fact that per-kilometer cycling
taken into account. But the initially reported fatality rates in Germany and The Netherlands are
connection between helmet use and injury reduc- four times less than that in the United States, even
tion sparked campaigns in the United States and though cycling percentages are more than 10 to 20
Australia to compel helmet use by child cyclists times higher in these European countries. Now, time-
(later extended to skateboards, roller skates, and series estimates of this effect, although preliminary
scooters) and to promote helmet wearing by adult and site specific, are pointing intriguingly toward a
cyclists. ‘‘power law’’ relationship of approximately 0.6
Whether these campaigns have been useful or not between cyclist numbers and cyclist safety. Accord-
is difficult to say. Child cycling fatalities have ing to this relationship, the probability that a
decreased in the United States, but that may be motorist will strike an individual cyclist on a
because fewer children now cycle. Adult fatalities particular road declines with the 0.6 power of the
have risen, possibly due to growth in the more number of cyclists on that road. Say the number of
dangerous kinds of motor traffic such as sport utility cyclists doubles. Because 2 raised to the 0.6 power is
vehicles and drivers’ use of mobile phones. Never- 1.5, each cyclist would be able to ride an additional
theless, although links between helmet promotion 50% without increasing his or her probability of
and cycling injury prevention are inconclusive, the being struck. (The same phenomenon can be
‘‘helmet paradigm’’ is firmly established in U.S. expressed as a one-third reduction in per-cyclist
policy. crash risk per doubling in cycling volume given that
In Europe, where injury prevention is subordi- the reciprocal of 1.5 is 0.67.)
nated to the larger goal of health promotion and The implications for cycling are profound. Coun-
where social responsibility is emphasized alongside tries that have based safety promotion on cyclist
individual accountability, helmets are considered behavior modification (e.g., the United States) might
irrelevant or even counterproductive to health. The reconstruct safety in a social context. One conse-
influential British social scientist Mayer Hillman quence would be to deemphasize helmet use in favor
contends that cardiovascular and other physiological of jump-starting broader participation in cycling so
and psychological gains from cycling far outweigh as to stimulate a ‘‘virtuous circle’’ in which more
the rider’s crash risk, even in unsatisfactory present- cycling begets greater safety, which in turn en-
day road environments. Therefore, Hillman’s para- courages more cycling. In addition, countries such
digm of cycle encouragement holds that cycling is so as China might reconsider policies that threaten to
beneficial to individuals and society that no inter- erode large-scale cycling, lest safety in numbers in
ferences should be tolerated, not even the inconve- reverse leads to a downward spiral as in the current
nience and unattractiveness of a helmet or the U.S. situation, where bike riding is limited to small
subliminal message that helmets may send about numbers of enthusiasts and to others who have no
the dangers of cycling. alternatives.
Cyclists’ rights initiatives seek to improve the legal cal imperatives are a potent reason to maintain
standing of cycling and, thus, to make cycling safer bicycling in China and other developing countries as
and more socially validated. It is believed that well as to foster it in automobile-dependent societies
exerting closer authority over driver conduct through such as the United States.
the legal system, police enforcement, and cultural Health promotion is a major rationale as well. As
shifts would directly reduce the threat to bicyclists noted, road traffic accidents are or soon will be
and so encourage cycling. among the world’s half-dozen leading causes of death
Disincentives to driving are policies to make and disability. Sedentary lifestyles, including substi-
driving less attractive economically and logistically tution of motorized transport for walking and
and, therefore, to reduce the level of motor traffic. cycling, are also recognized as a cause of fast-
Measures falling under the rubric of ‘‘social pricing’’ growing obesity and of ill health generally. In
of automobiles include gasoline taxes, ‘‘carbon’’ contrast, cycling provides the opportunity to obtain
taxes on fossil fuels, road pricing (fees on each physical activity in the course of daily life while
kilometer driven), and restructuring auto insurance enhancing personal autonomy and aiding mental
and local road taxes to pay-per-use. health.
That these three kinds of initiatives are comple- Yet motorization itself is a powerful suppressant
mentary is seen by examining Germany and The to cycling, and not just in the often-lethal competi-
Netherlands, which have used all three to maintain tion between cars and bikes. Just as pernicious is the
and restore bicycling since the early 1970s. No single automobile’s grip on transportation’s ‘‘mind-
approach is sufficient, and each supports the others share’’—the automatic equating of mobility with
by increasing opportunities and rewards for cycling motor vehicles and of motor vehicles with success—
and establishing a social context in which cycling is that leaves bicyclists, both individually and institu-
‘‘valorized’’ as appropriate and praiseworthy rather tionally, on the outside looking in.
than viewed as deviant behavior. Large-scale cycling seems reasonably assured in
the countries of Northern Europe that view it as
integral to national objectives of reducing green-
9. BICYCLE PROSPECTS house gases, sustaining urban centers, and promoting
health and self-guided mobility. Preserving mass
Strong societal currents are pushing bicycling for- cycling in China and developing it in the United
ward, yet equally mighty forces are suppressing it. States will probably require dethroning the auto-
Much hangs in the balance, both for billions of the mobile as the symbol and engine of prosperity and
earth’s peoples who may wish to master their own sharply reducing its enormous financial and political
mobility through cycling and for our planet’s power—a tall order.
ecological and political well-being. The bicycle—a pinnacle of human efficiency and
Each trip cycled instead of driven conserves an icon of vernacular culture for more than a
gasoline and stops the addition of climate-altering century—will survive. Whether it will again flourish
carbon dioxide to the atmosphere. The potential may make a difference in how, and whether,
effects are large given that passenger vehicles account humanity itself survives.
for nearly one-third of global petroleum consump-
tion and generate more than one-eighth of carbon
dioxide emissions. ‘‘Green cars’’ are no more than a
palliative; a world in which everyone drove at the SEE ALSO THE
U.S. per capita rate would emit more carbon dioxide FOLLOWING ARTICLES
than is currently the case, even if autos could be
made to be five times more efficient. Alternative Transportation Fuels: Contemporary
Thus, sustaining the earth’s climate and political Case Studies Development and Energy, Overview
equilibrium requires robust alternatives to the Fuel Cycle Analysis of Conventional and Alter-
American model of one car per journey. Moreover, native Fuel Vehicles Global Energy Use: Status and
bicycles conserve several times over, and not just at Trends Internal Combustion Engine Vehicles
the per-trip level, by encouraging the substitution of Lifestyles and Energy Motor Vehicle Use, Social
proximity for distance and adding to the efficiency Costs of Passenger Demand for Travel and Energy
advantage of dense urban settlements over sprawling Use Vehicles and Their Powerplants: Energy Use
suburbanized land-use patterns. Therefore, ecologi- and Efficiency
150 Bicycling
Further Reading McShane, C. (1994). ‘‘Down the Asphalt Path: The Automobile
and the American City.’’ Columbia University Press, New York.
Carlsson, C. (ed.). (2002). ‘‘Critical Mass: Bicycling’s Defiant Perry, D. B. (1995). ‘‘Bike Cult.’’ Four Walls Eight Windows,
Celebration.’’ AK Press, Edinburgh, UK. New York.
Herman, M., Komanoff, C., Orcutt, J., and Perry, D. (1993). Pucher, J. (1997). Bicycling boom in Germany: A revival
‘‘Bicycle Blueprint: A Plan to Bring Bicycling into the Mainstream engineered by public policy. Transport. Q. 51(4), 31–46.
in New York City.’’ Transportation Alternatives, New York. Pucher, J., and Dijkstra, L. (2000). Making walking and cycling
Hillman, M. (1992). ‘‘Cycling: Towards Health and Safety.’’ safer: Lessons from Europe. Transport. Q. 54(3), 25–50.
British Medical Association, London. Rivara, F. P., Thompson, D. C., and Thompson, R. S. (1997).
Illich, I. (1974). ‘‘Energy and Equity.’’ Harper & Row, New York. Epidemiology of bicycle injuries and risk factors for serious
Jacobsen, P. (2003). Safety in numbers: More walkers and injury. Injury Prevention 3(2), 110–114.
bicyclists, safer walking and bicycling. Injury Prevention 9, Sachs, W. (1992). ‘‘For Love of the Automobile.’’ University of
205–209. California Press, Berkeley.
Komanoff, C., and Pucher, J. (2003). Bicycle transport in the U.S.: Tolley, R. (ed.). (2003). ‘‘Sustainable Transport: Planning for
Recent trends and policies. In ‘‘Sustainable Transport: Planning Walking and Cycling in Urban Environments.’’ Woodhead
for Walking and Cycling in Urban Environments’’ (R. Tolley, Publishing, Cambridge, UK.
Ed.). Woodhead Publishing, Cambridge, UK. Whitt, F. R., and Wilson, D. G. (1989). ‘‘Bicycling Science.’’ MIT
Lowe, M. D. (1989). ‘‘The Bicycle: Vehicle for a Small Planet.’’ Press, Cambridge, MA.
Worldwatch Institute, Washington, DC. Wilson, S. S. (1973). Bicycle technology. Sci. Am. 228, 81–91.
Biodiesel Fuels
LEON G. SCHUMACHER
University of Missouri, Columbia
Columbia, Missouri, United States
JON VAN GERPEN
Iowa State University
Ames, Iowa, United States
BRIAN ADAMS
University of Missouri, Columbia
Columbia, Missouri, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 151
152 Biodiesel Fuels
O Percentage
CH2 − O − C − R1 Chain by weight
C14:0 0.278
O
C16:0 10.779
CH − O − C − R2
C18:0 4.225
O C18:1 20.253
C18:2 54.096
CH2 − O − C − R3
C18:3 9.436
Triglyceride C20:0 0.395
FIGURE 2 Chemical structure of a triglyceride. FIGURE 3 Fatty acid profile for soybean derived biodiesel.
atoms in the fatty acid, and the second is the number The neutralization number is used to reflect the
of double bonds. For example, 18:1 designates acidity or alkalinity of an oil. This number is the
oleic acid, which has 18 carbon atoms and one weight in milligrams of the amount of acid (hydro-
double bond. A typical sample of soybean oil based chloric acid [HCL]) or base (potassium hydroxide
biodiesel would have the fatty acid profile shown [KOH]) required to neutralize one gram of the oil, in
in Fig. 3. accordance with ASTM test methods. If the neutra-
Biodiesel is essentially free of sulfur and aro- lization number indicates increased acidity (i.e., high
matics. This is an advantage for biodiesel because acid number) of an oil, this may indicate that the oil
sulfur poisons catalytic converter technology that is or biodiesel has oxidized or become rancid. Biodiesel
used to reduce engine exhaust emissions. The sulfur is allowed to have a neutralization number up to
levels in biodiesel by ASTM D5453 are found to be 0.8mg KOH/g.
as low as 0.00011% by mass (1 ppm), where The iodine value is a measure of the unsaturated
petroleum diesel is often no lower than 0.02% fatty acid content of biodiesel, and reflects the ease
(200 ppm). The lack of aromatic hydrocarbons is with which biodiesel will oxidize when exposed to
also an advantage for biodiesel, as many of these air. The iodine value for petroleum diesel fuel is very
compounds are believed to be carcinogenic. The test low, but the iodine value of biodiesel will vary from
procedure normally used to measure aromatics in 80 to 135.
petroleum fuel (ASTM D1319) should not be used to A weighed quantity of fuel is placed in a crucible
determine the aromatics of biodiesel. This analytical and heated to a high temperature for a fixed period
procedure mistakenly identifies the double bonds to determine the Conradson carbon residue of a fuel.
commonly found in biodiesel as the resonance The crucible and the carbonaceous residue is cooled
stabilized bonds normally associated with aromatics. in a desiccator and weighed. The residue that
Paraffins are hydrocarbon compounds that are remains is weighed and compared to the weight of
normally associated with petroleum diesel fuel. the original sample. This percentage is reported as
These compounds help increase the cetane value of the Conradson carbon residue value. This procedure
the diesel fuel. However, they also typically increase provides an indication of relative coke forming
cold flow problems of petroleum diesel fuel. Olefins properties of petroleum oils. No real differences are
are hydrocarbons that contain carbon-carbon double to be expected when comparing biodiesel with
bonds. Molecules having these types of bonds are petroleum diesel fuel (0.02 versus 0.01).
called unsaturated. Biodiesel from common feed-
stocks is usually 60 to 85% unsaturated. Some
olefins are present in petroleum-based diesel fuel. 3. PHYSICAL PROPERTIES
However, the amount of olefins is usually small as
they contribute to fuel oxidation. The following properties reflect the physical proper-
The carbon content of biodiesel is nearly 15% ties of biodiesel: distillation curve, density/specific
lower than petroleum diesel fuel on a weight basis. gravity, API gravity, cloud point, pour point, cold
Conversely, biodiesel has approximately 11% oxy- filter plug point, flash point, corrosion, viscosity, heat
gen, on a weight basis, while petroleum diesel has of combustion, and cetane number.
almost no oxygen. Very little differences exist Each fuel has its own unique distillation curve.
between biodiesel and petroleum diesel fuel concern- Some compare this to a fingerprint. This curve tells a
ing the weight percentage of hydrogen. chemist which components are in the fuel, their
154 Biodiesel Fuels
molecular weights by identifying their boiling points The flash point of a fuel is defined as the
and their relative amounts. The temperature at which temperature at which the air/fuel vapor mixture above
a specific volume boils off is used to establish this the product will ignite when exposed to a spark or
curve (0, 10, 50, 90, and 100%). The range of boiling flame. A sample is heated and a flame is passed over
points for biodiesel is much narrower than petroleum the surface of the liquid. If the temperature is at or
diesel fuel. For example, the initial boiling point of above the flash point, the vapor will ignite and a
petroleum diesel fuel is 1591C. and the end boiling detectable flash (unsustained or sustained flame) will
point is 3361C. The initial boiling point of biodiesel is be observed. The flash point of biodiesel is substan-
2931C. and the end boiling point is 3561C. Thus, the tially higher (1591C versus 581C) than for petroleum
distillation range for diesel fuel is 1771 versus 631C diesel fuel. Biodiesel is categorized as a combustible
for biodiesel fuel. fuel, not a flammable fuel, as is the standard
The specific gravity of a product is the weight of classification for petroleum diesel fuel. Biodiesel is a
the product compared to an equal volume of water. safer fuel to transport due to its higher flash point.
The specific gravity of biodiesel is slightly higher than As fuel deteriorates it becomes acidic. Copper is
petroleum diesel fuel. For example, the specific particularly susceptible to corrosion by the acids in
gravity of No. 2 petroleum diesel fuel is approxi- the fuel. As a result, test procedures have been
mately 0.84 (7.01 pounds per gallon). The specific developed to detect the fuel’s corrosiveness to copper.
gravity of biodiesel is approximately 0.88 (7.3 A polished copper strip is immersed in a heated
pounds per gallon). sample of fuel. After a prescribed period of time, the
ASTM test procedures are used to determine cloud strip is removed and examined for evidence of
and pour point of biodiesel. Cloud point is the corrosion. A standardized system is used to assign a
temperature at which the first wax crystals appear. value between 1 and 4. This number is assigned
Pour point is the temperature when the fuel can no based on a comparison with the ASTM Copper Strip
longer be poured. According to ASTM specifications Corrosion Standards. No differences have been
for diesel fuel, the cloud points of petroleum diesel detected using this methodology between petroleum
fuel are determined by the season (temperature) that diesel fuel and biodiesel.
the fuel is used. For example, ASTM standards The viscosity of a fluid is a measure of its
essentially require that the fuel distributor treat resistance to flow. The greater the viscosity, the less
number 2 petroleum diesel fuel with cold flow readily a liquid will flow. Test procedures are used to
improvers (CFI) for winter operation. Cold weather measure the amount of time necessary for a specific
operation with 100% biodiesel also forces the volume of fuel to flow through a glass capillary tube.
distributor to use a CFI. However, the CFI of choice The kinematic viscosity is equal to the calibration
for petroleum diesel fuel is usually not as effective constant for the tube multiplied by the time needed
when used with biodiesel. The cloud point for for the fuel to move through the tube. The viscosity
biodiesel is higher than petroleum diesel fuel (1.61C of biodiesel is approximately 1.5 times greater than
for biodiesel compared with 9.41 to 17.71C for petroleum diesel fuel (4.01 versus 2.6 cSt@401C).
diesel fuel). Chemical companies (Lubrizol, Octell The heat of combustion is the amount of energy
Starreon) are experimenting with CFI chemicals that released when a substance is burned in the presence
work effectively with biodiesel. of oxygen. The heat of combustion, also known as
An alternative method used to determine how the the heating value, is reported in two forms. The
fuel will perform during cold weather operation is higher, or gross, heating value assumes that all of the
the cold filter plugging point. The cold filter plugging water produced by combustion is in the liquid phase.
point is the lowest temperature at which the fuel, The lower, or net, heating value assumes the water is
when cooled under specific conditions, will flow vapor. The lower heating value for biodiesel is less
through a filter during a given period of time. The than for number 2 diesel fuel (37,215 kJ/kg versus
filter is a defined wire mesh. This procedure indicates 42,565 kJ/kg).
the low temperature operability of a fuel with/ The cetane number reflects the ability of fuel to
without cold flow improver additives when cooled self-ignite at the conditions in the engine cylinder. In
below the cloud point temperature. The cold filter general, the higher the value, the better the perfor-
plugging point for fuels has become an impor- mance. The cetane number of biodiesel varies
tant issue due to the reduction in the size of the depending on the feedstock. It will be 48 to 52 for
openings in the fuel filters (2–5 microns versus 45 soybean oil based biodiesel and more than 60 for
microns). recycled greases. This is much higher than the typical
Biodiesel Fuels 155
TABLE I
ASTM Biodiesel Specification—D6751 versus ASTM LS #2 Diesel Fuel—D975
Property ASTM Method Limits D6751 Units D6751 Limits D975 Units D975
reactants are allowed to settle so the resulting glycerol alkali, a heterogeneous catalyst would simplify
can be removed. Then, the remaining methanol and glycerol refining. Research is also being conducted
catalyst are added and the reaction continued. to find reaction conditions that do not require a
Removal of the glycerol forces the reaction to the catalyst. However, these conditions are at very high
product side and since the alkali catalyst is selectively temperature (42501C) and appear to produce
attracted to the glycerol, the presence of the glycerol undesirable contaminants in the biodiesel.
can limit the speed of the reaction. Figure 5 shows a schematic of a biodiesel
The most important characteristics of the triglycer- production process. Oil enters the reactor where it
ide feedstocks are low water content (preferably less is mixed with methanol and catalyst. Usually, the
than 0.2%) and low free fatty acids (less than 0.5%). catalyst has been mixed with the methanol before
High free fatty acid (FFA) feedstocks can be processed contacting the oil to prevent direct contact of the
but pretreatment to remove the FFAs or to convert concentrated catalyst and the oil to minimize soap
them to biodiesel is required. This pretreatment will be formation. The reactor can be either a batch process
described later. Water should be excluded from the or, as is more common with larger plants, a
reaction because it contributes to soap formation as continuously stirred tank reactor (CSTR) or plug
the fatty acid chains are stripped from the triglycerides. flow reactor. When a CSTR is used, it is common to
The soap sequesters the alkali catalyst and inhibits the use more than one stage to ensure complete reaction.
separation of the glycerol from the biodiesel. Excessive After the reaction is complete, the glycerol is
soap also contributes to the formation of emulsions separated from the biodiesel. This separation can
when water washing is used at a later stage of the be accomplished with a gravity decanter or using a
production process. centrifuge. The unreacted methanol will split be-
Another important characteristic of the feedstock tween the biodiesel and glycerol giving about 1 to
is the presence of saturated and polyunsaturated 3% methanol in the biodiesel and 30 to 50% in the
triglycerides. Excessive levels of saturated fatty acid glycerol. The methanol in the biodiesel should be
chains can produce biodiesel with a high pour point recovered for reuse. It may be as much as half of the
making it difficult to use at low temperatures. High excess methanol. This is usually accomplished by a
levels of polyunsaturates can provide poor oxidative vacuum flash process, but other devices such as
stability requiring the resulting fuel to be treated with falling film evaporator have also been used. The
an antioxidant. methanol-free biodiesel is then washed with water to
While most biodiesel is made using methanol, remove residual methanol, catalyst, soap, and free
because of its low price (and quick conversion), other glycerol. If the biodiesel contains excessive soap, this
alcohols, such as ethanol and isopropanol, can also washing process can be problematic, as the soap will
be used. Higher alcohols provide superior cold flow cause an emulsion to form between the water and the
properties but are generally more difficult to pro- biodiesel. To minimize the formation of emulsions, a
duce, requiring higher temperatures, lower levels of strong acid is sometimes added to the biodiesel to
water contamination, and more complex alcohol split the soap into free fatty acids (FFA) and salt.
recycling due to the formation of azeotropes. Without the soap, water consumption is greatly
As mentioned earlier, strong alkalis such as reduced and the salt, methanol, catalyst, and glycerol
sodium hydroxide and potassium hydroxide are are removed with as little as 3 to 10% water. The
common catalysts. These bases form the correspond- water should be heated to 601C to assist in the
ing methoxides when dissolved in methanol. Water is removal of free glycerol and should be softened to
also formed in this reaction and is probably minimize the transfer of calcium and magnesium
responsible for some soap formation although not salts to the biodiesel. The final step in the process is
enough to inhibit the transesterification reaction. A to heat the biodiesel to remove water that may be
more desirable option is to use sodium methoxide dissolved in the biodiesel or entrained as small
formed using a water-free process. This catalyst is droplets. This is accomplished with a flash process.
available as a concentrated solution in methanol Also shown in the diagram is the preliminary
(25% and 30%), which is easier to use because it is a processing of the co-product glycerol. This glycerol
liquid. Research is underway to develop heteroge- contains virtually all of the catalyst and a consider-
neous catalysts for biodiesel production that would able amount of soap and unreacted methanol.
minimize soap formation and provide cleaner glycer- Usually the glycerol will be acidulated to split the
ol. Since most of the catalyst ends up as a soaps into FFA and salt. The FFAs are not soluble in
contaminant in the glycerol, either as soap or free the glycerol and rise to the top where they can be
Biodiesel Fuels 157
A
Finished
biodiesel Dryer
Methanol Methyl
Reactor Separator esters Methanol Neutralization
Oil
removal and washing
Catalyst
Glycerol Wash
(50%) Acid water
Acid
Water
Acidulation
and
Free fatty acids separation
Methanol/water
Methanol rectification
Crude glycerol (85%)
removal
Methanol
Water
storage
Methanol
Stirred To base-
Water
High FFA feedstock reactor at catalyzed
removal
60oC reaction
Sulfuric acid
Water/methanol to
Methanol rectification
FIGURE 5 (A) Process flow schematic for biodiesel production. (B) Acid-catalyzed pretreatment process.
decanted and returned to the biodiesel process after processing provides the ability to modify the process
pretreatment. After FFA removal, the methanol is for variations in feedstock quality. Continuous flow
removed by a flash process or by a thin-film requires greater uniformity in the feedstock quality,
evaporator leaving a crude glycerol product that is generally requires 24 hour operation, 7 days per week,
80 to 90% pure. The balance will be salts, residual increases labor costs, and is most suitable for larger
FFAs, water, and phosphotides, color-bodies, and operations of greater than 40 million liters/year.
other contaminants from the oil.
Although water is not deliberately added to the
process until after the methanol has been removed,
4.2 Pretreatment
small amounts of water will enter the system as a
contaminant in the oil, alcohol, and catalyst. This Small amounts of FFAs can be tolerated by adding
water will tend to accumulate in the methanol, so enough alkali catalyst to neutralize the FFAs while
before it can be returned to the process, the methanol still leaving enough to catalyze the reaction. When an
should undergo fractional distillation. oil or fat has more than 3 to 5% FFA, the amount of
Biodiesel plants can use either batch or continuous soap formed with the use of an alkali catalyst will be
flow processing. Batch processing is most common in large enough that separation of the glycerol from the
small plants of less than 4 million liters/year. Batch oil may not be possible. In addition, when excess
158 Biodiesel Fuels
alkali is added, the FFAs are lost and not available 5. ADVANTAGES OF BIODIESEL
for conversion to biodiesel.
An alternative is to convert the FFAs to methyl Table II shows the changes that were observed in the
esters using an acid catalyst such as sulfuric acid with regulated exhaust emissions of three diesel engines
a large excess of methanol (420:1 molar ratio based that were tested to produce emissions characteriza-
on the FFA content) (Fig. 5B). The acid-catalyzed tion data for the U.S. Environmental Protection
reaction is relatively fast (1 hour at 601C), converting Agency’s Fuels and Fuel Additives registration
the FFAs to methyl esters with water produced as a program. The reductions in unburned hydrocarbons
by-product. The water eventually stops the reaction (HC) and carbon monoxide (CO) are dramatic
before all of the FFAs have been converted and must although these specific pollutants are not generally
be removed from the system, either by decanting a concern with diesel engines. The particulate matter
with the methanol or by vaporization. After the FFAs (PM) reductions are also quite striking. Oxides of
have been converted to methyl esters, an alkali nitrogen (NOx) were found to increase with the use
catalyst can be used to convert the triglycerides. Acid of biodiesel. The increase varied depending on the
catalysis can be used to complete the transesterifica- engine tested, but it is clear that biodiesel may
tion reaction, but the time required is prohibitive. produce a NOx increase of 5 to 13%. The reasons for
this increase are still under investigation but appear
to be a combination of several effects, including
4.3 Product Quality biodiesel’s higher speed of sound and isentropic bulk
modulus and the tendency of many engine fuel
Modern diesel engines require high-quality fuels. The injection systems to advance the injection timing
fuel injection system, which is often the most when greater volumes of fuel are injected. Due to
expensive element of the engine, can be damaged biodiesel’s lower energy content, a typical test
by fuel contaminants. Water and solid particles are protocol may demand a higher fuel flow rate when
the largest problem. biodiesel is used, causing an inadvertent timing
The contaminants most frequently found in advance and resulting NOx increase.
biodiesel are the products of incomplete reaction A comprehensive Life-Cycle Inventory of biodiesel
and residual alcohol, catalyst, and free glycerol. conducted by the National Renewable Energy
Incompletely reacted biodiesel will contain mono- Laboratory showed that biodiesel provided 3.2 units
glycerides, diglycerides, and triglycerides. These of fuel energy for every unit of fossil energy
compounds are usually detected using a gas chroma- consumed in its life cycle. Further, although some
tograph and then the glycerol portion is summed to fossil-based CO2 is released during biodiesel produc-
yield a total glycerol quantity for the fuel. ASTM tion, mainly from the methanol consumed, the net
standards require that the total glycerol be less production of CO2 is reduced by 78%.
than 0.24%. This means that more than 98% of
the original glycerol portion of the triglycerides
feedstock must be removed. Excessive amounts 6. DISADVANTAGES
of monoglycerides, especially for saturated com-
pounds, may precipitate from the fuel and plug fuel 6.1 Economics
filters.
If the biodiesel is not washed with water, it may One of the largest factors preventing the adoption of
contain some unreacted alcohol. The amount will biodiesel is cost. The feedstock costs for biodiesel
usually be small enough that it does not adversely
affect the operation of the engine, but it can lower
the flash point of the fuel to where it must be TABLE II
considered flammable and accorded the same safety Changes in Regulated Emissions with Biodiesel
requirements as gasoline. The residual catalyst can
Engine HC CO PM NOx
cause excessive ash formation in the engine. Free
glycerol can separate from the fuel and collect in the Cummins N-14 95.6 45.3 28.3 þ 13.1
bottom of storage tanks. This glycerol layer can DDC S-50 83.3 38.3 49.0 þ 11.3
extract mono- and diglycerides from the biodiesel Cummins B5.9 74.2 38.0 36.7 þ 4.3
and produce a sludge layer that may plug filters and
small passages in the fuel system. Derived from Sharp et al.
Biodiesel Fuels 159
7.5 Safety
7.2 Transportation
Biodiesel is nontoxic, biodegradable, and much less
Biodiesel, due to its high flash point, is not irritating to the skin than petroleum diesel. However,
considered flammable. The fuel is considered com- the same safety rules that pertain to petroleum diesel
bustible, just as is vegetable oil (feedstock). As such, fuel also apply to the use of biodiesel. The following
the transportation of ‘‘neat’’ biodiesel may be list summarizes several of these issues:
handled in the same manner as vegetable oil (Code
of Federal Regulations 49 CFR 171-173). This is not *
Store in closed, vented containers between 101C
the case for a low-level blend or a B20 blend. These and 501C.
blends exhibit flash point tendencies that essentially *
Keep away from oxidizing agents, excessive heat,
mirror diesel fuel. Blends of biodiesel should be and ignition sources.
handled in the same manner as petroleum diesel fuel. *
Store, fill, and use in well-ventilated areas.
Biodiesel Fuels 161
*
Do not store or use near heat, sparks, or flames; Economic factors
store out of the sun. 3.50
*
Do not puncture, drag, or slide the storage tank. T Tallow
3.00 r
*
A drum is not a pressure vessel; never use pressure and lard C
2.50
a Yellow a
to empty. p greases n
*
Wear appropriate eye protection when filling the 2.00 o
$/gal
storage tank. G Soy l
1.50 r oil a
*
Provide crash protection (i.e., large concrete-filled e
pipe near the storage tank). 1.00
a e
0.50 s t
e c
0.00
8. BIODIESEL ECONOMIC 0.00 0.05 0.10 0.15 0.20 0.25 0.30
CONSIDERATIONS Feedstock cost $/lb
30
25
for Renewable Energy and Fuels Ethanol Fuel Fuel
25 Cycle Analysis of Conventional and Alternative
Million of gallons
20
Fuel Vehicles Internal Combustion (Gasoline and
15 Diesel) Engines Life Cycle Analysis of Power
15
Generation Systems Renewable Energy, Taxonomic
10 Overview
5
5 1
0
1999 2000 2001 2002
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 163
164 Biomass, Chemicals from
products can be traced to a time when neither the was first used in constructing shelter. Later, the
chemical mechanistic transformation process nor the fibrous component was separated for paper products.
chemical identity of the product were understood. As a result, two major industries, the wood products
These early products include chemicals still widely industry and the pulp and paper industry, were
used, such as ethanol and acetic acid. A more developed at sites where biomass was available.
scientific understanding of chemistry in the 19th Biomass also comprised materials used for clothing.
century led to the use of biomass as a feedstock for Cotton fibers, consisting mainly of cellulose, and flax
chemical processes. However, in the 20th century, the fiber are examples.
more easily processed and readily available petro- At the beginning of the 20th century, cellulose
leum eventually changed the emphasis of chemical recovered from biomass was processed into chemical
process development from carbohydrate feedstock to products. Cellulose nitrate was an early synthetic
hydrocarbon feedstock. Through major investments polymer used for ‘‘celluloid’’ molded plastic items
by industry and government, utilization of petroleum and photographic film. The nitrate film was later
as a chemical production feedstock has been devel- displaced by cellulose acetate film, a less flammable
oped to a high level and provides a wide array of and more flexible polymer. Cellulose nitrate lacquers
materials and products. Now, the expansion of
synthetic chemical products from petroleum provides
TABLE I
the framework in which to reconsider the use of
Petroleum-Derived Products in the United States 2001a
renewable biomass resources for meeting society’s
needs in the 21st century. However, only since the Net production
1980s has interest returned to the use of biomass and (thousands of Percentage of net
its chemical structures for the production of chemical barrels per day) production
products; therefore, much research and development
Finished motor 8560 44.6
of chemical reactions and engineered processing gasoline(total)
systems remains to be done (see Table I) Finished aviation 22 0.1
gasline(total)
1.1 Early Developments Jet fuel 1655 8.6
Kerosene 72 0.4
The earliest biomass uses often involved food Distillate fuel oil 3847 20.0
products. One of the first was ethanol, which was Residual fuel oil 811 4.2
limited to beverage use for centuries. Ethanol’s origin Asphalt and road oil 519 2.7
is lost in antiquity, but it is generally thought to be an Petroleum coke 437 2.3
accidental development. Only with an improved Chemical products 3283 17.1
understanding of chemistry in the mid-1800s was Liquefied petroleum 1778
ethanol identified and its use expanded for solvent gases (netb)
applications and as a fuel. Acetic acid, the important Ethane/ethylene 695
component in vinegar, is another accidental product Propane/Propylene 1142
based on fermentation of ethanol by oxidative Butane/Butylene 5
organisms. A third fermentation product from Isobutane/Isobutylene 28
antiquity, lactic acid, also an accidental product of Pentanes plus 32
oxidative fermentation, is commonly used in sauerk- Naphtha for 258
raut, yogurt, buttermilk, and sourdough. petrochemicals
Another old-world fermentation method is the pro- Other oils for 312
duction of methane from biomass, a multistep process petrochemicals
accomplished by a consortium of bacteria, which is an Special naphthas 41
important part of the cyclical nature of carbon on Lubricants 153
Earth. These processes, now generally referred to as Waxes 18
anaerobic digestion, are well-known in ruminant Still gases 670
animals as well as in stagnant wet biomass. The Miscellaneous products 59
methane from these processes has only been captured Total net production 19,206
at the industrial scale for use as a fuel since the 1970s. a
Source: Energy Information Administration, Petroleum Sup-
Additional early uses of biomass involved its ply Annual 2001, Vol. 1, Table 3.
b
structural components. The fibrous matrix (wood) Net, products minus natural gas liquids input.
Biomass, Chemicals from 165
retained their market, although acetate lacquers were 2. THE ‘‘BIOREFINERY’’ CONCEPT
also developed. Cellulose acetate fiber, called Cela-
nese, grew to one-third of the synthetic market in the The vision of a new chemurgy-based economy began
United States by 1940. Injection-molded cellulose evolving in the 1980s. The biorefinery vision foresees
acetate articles became a significant component of a processing factory that separates the biomass into
the young automobile industry, with 20 million component streams and then transforms the compo-
pounds produced in 1939. Today, cellulose-based nent streams into an array of products using
films and fibers have largely been supplanted by appropriate catalytic or biochemical processes, all
petroleum-based polymers, which are more easily performed at a scale sufficient to take advantage of
manipulated to produce properties of interest, such processing efficiencies and resulting improved pro-
as strength, stretch recovery, or permeability. cess economics. In essence, this concept is the
Wood processing to chemicals by thermal methods modern petroleum refinery modified to accept and
(pyrolysis), another practice from antiquity, was process a different feedstock and make different
originally the method used for methanol and acetic products using some of the same unit operations
acid recovery but has been replaced by petrochemical along with some new unit operations. The goal is to
processes. One of the earliest synthetic resins, the manufacture a product slate, based on the best use of
phenol-formaldehyde polymer Bakelite, was origin- the feedstock components, that represents higher
ally produced from phenolic wood extractives. value products with no waste. Overall process
However, petrochemical sources for the starting economics are improved by production of higher
materials displaced the renewable sources after World value products that can compete with petrochem-
War I. More chemically complex products, such as icals. Some biomass processing plants already in-
terpenes and rosin chemicals, are still recovered from corporate this concept to various degrees.
wood processing but only in a few cases as a by-
product from pulp and paper production.
2.1 Wood Pulp Mill
The modern wood pulp mill represents the optimized,
1.2 Chemurgy
fully integrated processing of wood chips to products.
In the early 20th century, the chemurgy movement The main process of pulping the wood allows the
blossomed in response to the rise in the petrochem- separation of the cellulosic fiber from the balance of
ical industry and in support of agricultural markets. the wood structure. The cellulose has numerous uses,
The thrust of the movement was that agricultural ranging from various paper and cardboard types to
products and food by-products could be used to chemical pulp that is further processed to cellulose-
produce the chemicals important in modern society. based chemicals. The lignin and hemicellulose por-
A renewable resource, such as biomass, could be tions of the wood are mainly converted to electrical
harvested and transformed into products without power and steam in the recovery boiler. In some cases,
depleting the resource base. Important industrialists, the lignin is recovered as precipitated sulfonate salts,
including Henry Ford, were participants in this which are sold based on surfactant properties. In other
movement, which espoused that anything made from cases, some lignin product is processed to vanillin
hydrocarbons can be made from carbohydrates. favoring. The terpene chemicals can be recovered, a
Supply inconsistencies and processing costs even- practice limited primarily to softwood processing
tually turned the issue in favor of the petrochemical plants in which the terpene fraction is larger.
industry. The major investments for chemical process
development based on hydrocarbons were more
2.2 Corn Wet Mill
systematically coordinated within the more tightly
held petrochemical industry, whereas the agricultural In the corn wet mill, several treatment and separation
interests were too diffuse (both geographically and in processes are used to produce a range of food and
terms of ownership) to marshal much of an effort. chemical products. Initial treatment of the dry corn
Furthermore, the chemical properties of petroleum, kernel in warm water with sulfur dioxide results in a
essentially volatile hydrocarbon liquids, allowed it to softened and protein-stripped kernel and a protein-
be more readily processed to chemical products. The rich liquor called corn steep liquor. The corn is then
large scale of petroleum refining operations, devel- milled and the germ separated. The germ is pressed
oped to support fuel markets, made for more efficient and washed with solvent to recover the corn oil.
processing systems for chemical production as well. Further milling and filtering separate the cornstarch
166 Biomass, Chemicals from
from the corn fiber (essentially the seed coat). The 3.1 Modern Fermentation Products
starch is the major product and can be refined to a
Fermentation products include ethanol, lactic acid,
number of grades of starch product. It can also be
acetone/butanol/ethanol, and citric acid. Ethanol and
hydrolyzed to glucose. The glucose, in turn, has
lactic acid are produced on a scale sufficient to have
various uses, including isomerization to fructose for
an impact on energy markets. Ethanol is primarily
high-fructose corn syrup; hydrogenation to sorbitol;
used as a fuel, although it has numerous potential
or fermentation (using some of the steep liquor for
nutrients) to a number of products, such as ethanol, derivative products as described later. Lactic acid is
new as an industrial chemical product; the first
lactic acid, or citric acid. The balance of the corn
lactate derivative product, poly lactic acid, came on
steep liquor is mixed with the corn fiber and sold as
stream in 2002.
animal feed.
3.1.1 Ethanol
2.3 Cheese Manufacturing Plant In 1999, ethanol was produced at 55 plants
Cheese manufacturing has evolved into a more throughout the United States at a rate of 1.8 billion
efficient and self-contained processing operation in gallons per year. The feedstock for the fermentation
which recovering the whey by-product (as dried ranges from corn starch-derived glucose, wheat
solids) is the industry standard instead of disposing gluten production by-product starches, and cheese
of it, which was the practice for many centuries. The whey lactose to food processing wastes and, until
whey is a mostly water solution of proteins, minerals, recently, wood pulping by-products. Although some
and lactose from the milk following coagulation and of this ethanol is potable and goes into the food
separation of the cheese. To make the whey more market, the vast majority is destined for the fuel
valuable, ultrafiltration technology is used in some market for blending with gasoline. However, other
plants to separate the protein from the whey for possible chemical products derived from ethanol
recovery as a nutritional supplement. Further proces- include acetaldehyde, acetic acid, butadiene, ethy-
sing of the ultrafiltration permeate is also used in a lene, and various esters, some of which were used in
few plants to recover the lactose for use as a food the past and may again become economically viable.
ingredient. Developing methods for recovering the
mineral components is the next stage in the devel-
3.1.2 Lactic Acid
opment process.
Lactic acid, as currently utilized, is an intermediate-
volume specialty chemical used in the food industry
for producing emulsifying agents and as a nonvola-
3. BIOMASS-DERIVED tile, odor-free acidulant, with a world production of
CHEMICAL PRODUCTS approximately 100 million pounds per year in 1995.
Its production by carbohydrate fermentation in-
For production of chemicals from biomass, there are volves any of several Lactobacillus strains. The
several processing method categories, which are used fermentation can produce a desired stereoisomer,
based on the product desired: fermentation of sugars unlike the chemical process practiced in some areas
to alcohol or acid products; chemical processing of of the world. Typical fermentation produces a 10%
carbohydrates by hydrolysis, hydrogenation, or concentration lactic acid broth, which is kept neutral
oxidation; pyrolysis of biomass to structural frag- by addition of calcium carbonate throughout the
ment chemicals; or gasification by partial oxidation 4- to 6-day fermentation. Using the fermentation-
or steam reforming to a synthesis gas for final derived lactic acid for chemical products requires
product formation. Various combinations of these complicated separation and purification, including
processing steps can be integrated in the biorefinery the reacidification of the calcium lactate salt and
concept. Table II illustrates the wide range of resulting disposal of a calcium sulfate sludge by-
biomass-derived chemicals. These products include product. An electrodialysis membrane separation
the older, well-known fermentation products as well method, in the development stage, may lead to an
as new products whose production methods are economical process. The lactic acid can be recovered
being developed. Development of new processing as lactide by removing the water, which results in the
technology is another key factor to making these dimerization of the lactic acid to lactide that can then
products competitive in the marketplace. be recovered by distillation.
Biomass, Chemicals from 167
TABLE II
Chemicals Derived from Biomass
Fermentation products
Ethanol Fuel
Lactic acid Poly lactic acid Plastics
Acetone/butanol/ethanol Solvents
Citric acid Food ingredient
Carbohydrate chemical derivatives
Hydrolysate sugars Fermentation feedstocks Fermentation products
Furfural, hydroxymethylfurfural Furans, adiponitrile Solvents, binders
Levulinic acid Methyltetrahydrofuran, d-amino lactic acid, succinic acid Solvents, plastics, herbicide/pesticide
Polyols Glycols, glycerol Plastics, formulations
Gluconic/glucaric acids Plastics
Pyrolysis products
Chemicals fractions Phenolics, cyclic ketones Resins, solvents
Levoglucosan, levoglucosenone Polymers
Aromatic hydrocarbons Benzene, toluene, xylenes Fuel, solvents
Gasification products
Synthesis gas Methanol, ammonia Liquid fuels, fertilizer
Tar chemicals Fuels
Development fermentations
2,3-Butanediol/ethanol Solvents
Propionic acid Food preservative
Glycerol, 1,3-propanediol C3 plastics, formulations
3-Dehydroshikimic acid Vanillin, catechol, adipic acid Flavors, plastics
Catalytic/bioprocessing
Succinic acid Butanediol, tetrahydrofuran Resins, solvents
Itaconic acid Methyl-1,4-butanediol and -tetrahydrofuran Resins, solvents
(or methyltetrahydrofuran)
Glutamate, lysine Pentanediol, pentadiamine C5 plastics
Plant-derived
Oleochemicals Methyl esters, epoxides Fuel, solvents, binders
Polyhydroxyalkanoates Medical devices
Poly lactic acid (PLA) is the homopolymer of molecule. Propylene glycol is a commodity chemical
biomass-derived lactic acid, usually produced by a with a 1 billion pound per year market and can be
ring-opening polymerization reaction from its lactide used in polymer synthesis and as a low-toxicity
form. It is the first generic fiber designated by the antifreeze and deicer. Dehydration of lactate to
Federal Trade Commission in the 21st century and acrylate appears to be a straightforward chemical
the first renewable chemical product commercially process, but a high-yield process has yet to be
produced on an industrial scale. Cargill–Dow, which commercialized.
produces PLA, opened its plant rated at 300 million
pounds per year capacity in April 2002. 3.1.3 Acetone/Butanol/Ethanol
Other chemical products that can be derived from Acetone/butanol/ethanol fermentation was widely
lactic acid include lactate esters, propylene glycol, practiced in the early 20th century before being
and acrylates. The esters are described as nonvolatile, displaced by petrochemical operations. The two-step
nontoxic, and biodegradable, with important solvent bacterial fermentation is carried out by various
properties. Propylene glycol can be produced by a species of the Clostridium genus. The solvent
simple catalytic hydrogenation of the lactic acid product ratio is typically 3:6:1, but due to its
168 Biomass, Chemicals from
toxicity, the butanol product is the limiting compo- 3.2.2 Furfural, Hydroxymethylfurfural,
nent. The yield is only 37%, and final concentrations and Derived Products
are approximately 2%. The high energy cost for More severe hydrolysis of carbohydrates can lead to
recovery by distillation of the chemical products dehydrated sugar products, such as furfural from
from such a dilute broth is a major economic five-carbon sugar and hydroxymethylfurfural from
drawback. Alternative recovery methods, such as six-carbon sugar. In fact, the careful control of the
selective membranes, have not been demonstrated. hydrolysis to selectively produce sugars without
further conversion to furfurals is an important
3.1.4 Citric Acid consideration in the hydrolysis of biomass when
More than 1 billion pounds per year of citric acid sugars are the desired products. However, furfural
is produced worldwide. The process is a fungal products are economically valuable in their own
fermentation with Aspergillus niger species using a right. The practice of processing the hemicellulose
submerged fermentation. Approximately one-third five-carbon sugars in oat hulls to furfural has
of the production is in the United States, and most of continued despite economic pressure from petro-
it goes into beverage products. Chemical uses will chemical growth, and it is still an important process,
depend on the development of appropriate processes with an annual domestic production of approxi-
to produce derivative products. mately 100 million pounds. Furfural can be further
transformed into a number of products, including
furfural alcohol and furan. Even adiponitrile was
3.2 Chemical Processing of Carbohydrates
produced from furfural for nylon from 1946 to 1961.
3.2.1 Hydrolysate Sugars
Monosaccharide sugars can be derived from biomass 3.2.3 Levulinic Acid and Derived Products
and used as final products or further processed by Levulinic acid (4-oxo-pentanoic acid) results from
catalytic or biological processes to final value-added subsequent hydrolysis of hydroxymethylfurfural. It is
products. Disaccharides, such as sucrose, can be relatively stable toward further chemical reaction
recovered from plants and used as common table under hydrolysis conditions. Processes have been
sugar or ‘‘inverted’’ (hydrolyzed) to a mixture of developed to produce it from wood, cellulose, starch,
glucose and fructose. Starch components in biomass or glucose.
can readily be hydrolyzed to glucose by chemical Levulinic acid is potentially a useful chemical
processes (typically acid-catalyzed) or more conven- compound based on its multifunctionality and its
tionally by enzymatic processes. Inulin is a similar many potential derivatives. In the latter half of the
polysaccharide recovered from sugar beets that could 20th century, its potential for derivative chemical
serve as a source of fructose. More complex products was reviewed numerous times in the
carbohydrates, such as cellulose or even hemicellu- chemical literature. Some examples of the useful
lose, can also be hydrolyzed to monosaccharides. products described include levulinate esters, with
Acid-catalyzed hydrolysis has been studied exten- useful solvent properties; d-aminolevulinic acid,
sively and is used in some countries to produce identified as having useful properties as a herbicide
glucose from wood. The processing parameters of and for potentially controlling cancer; hydrogenation
acidity, temperature, and residence time can be of levulinic acid, which can produce g-valerolactone,
controlled to fractionate biomass polysaccharides a potentially useful polyester monomer (as hydroxy-
into component streams of primarily five- and six- valeric acid); 1,4-pentanediol, also of value in
carbon sugars based on the relative stabilities of the polyester production; methyltetrahydrofuran, a valu-
polysaccharides. However, fractionation to levels of able solvent or a gasoline blending component; and
selectivity sufficient for commercialization has not diphenolic acid, which has potential for use in
been accomplished. polycarbonate production.
The development of economical enzymatic pro-
cesses for glucose production from cellulose could 3.2.4 Hydrogenation to Polyols
provide a tremendous boost for chemicals produc- Sugars can readily be hydrogenated to sugar alcohols
tion from biomass. The even more complex hydro- at relatively mild conditions using a metal catalyst.
lysis of hemicellulose for monosaccharide production Some examples of this type of processing include
provides a potentially larger opportunity because sorbitol produced from glucose, xylitol produced
there are fewer alternative uses for hemicellulose from xylose, lactitol produced from lactose, and
than for cellulose. maltitol produced from maltose. All these sugar
Biomass, Chemicals from 169
alcohols have current markets as food chemicals. approximately 1970, when economic pressure caused
New chemical markets are developing; for example, by competition with petroleum-derived products
sorbitol has been demonstrated in environmentally became too great. Due to new developments in ‘‘flash’’
friendly deicing solutions. pyrolysis beginning in the 1980s, there are new
In addition, the sugar alcohols can be further movements into the market with wood pyrolysis
processed to other useful chemical products. Iso- chemicals. However, these products are specialty
sorbide is a doubly dehydrated product from sorbitol chemicals and not yet produced on a commodity scale.
produced over an acid catalyst. Isosorbide has uses in
polymer blending, for example, to improve the 3.3.1 Chemical Fractions
rigidity of polyethylene terephthalate in food con- Most new development work in pyrolysis involves
tainers such as soda pop bottles. separating the bulk fractions of chemicals in the
Hydrogenation of the sugar alcohols under more pyrolysis oil. Heavy phenolic tar can be separated
severe conditions can be performed to produce lower simply by adding water. A conventional organic
molecular-weight polyols. By this catalytic hydroge- chemical analytical separation uses base extraction
nolysis, five- or six-carbon sugar alcohols have been for acid functional types, including phenolics.
used to produce primarily a three-product slate Combining the water-addition step and the base
consisting of propylene glycol, ethylene glycol, and extraction with a further solvent separation can
glycerol. Although other polyols and alcohols are also result in a stream of phenolics and neutrals in excess
produced in lower quantities, these three are the main of 30% of the pyrolysis oil. This stream has been
products from hydrogenolysis of any of the epimers of tested as a substitute for phenol in phenol–formalde-
sorbitol or xylitol. Product separations and purifica- hyde resins commonly used in restructured wood-
tions result in major energy requirements and costs. based construction materials, such as plywood and
Consequently, controlling the selectivity within this particle board. This application allows for the use of
product slate is a key issue in commercializing the the diverse mixture of phenolic compounds produced
technology. Selectivity can be affected by processing in the pyrolysis process, which typically includes a
conditions as well as catalyst formulations. range of phenols, alkyl-substituted with one- to
three-carbon side chains, and a mix of methoxyphe-
3.2.5 Oxidation to Gluconic/Glucaric Acid nols (monomethoxy from softwoods and a mix of
Glucose oxidation can be used to produce six-carbon mono- and dimethoxy phenols from hardwood) with
hydroxyacids—either the monoacid, gluconic, or the similar alkyl substitution. In addition, there are more
diacid, glucaric. The structures of these chemicals complex phenolics with various oxygenated side
suggest opportunities for polyester and polyamide chains, suggesting the presumed source—lignin in
formation, particularly polyhydroxypolyamides (i.e., the wood.
hydroxylated nylon). Oxidation is reportedly per- The lower molecular-weight nonphenolics com-
formed economically with nitric acid as the catalyst. prise a significant but smaller fraction of pyrolysis oil
Specificity to the desired product remains to be as produced in flash processes. Methanol and acetic
overcome before these chemicals can be produced acid recovery has potential. Hydroxyacetaldehyde,
commercially. formic acid, hydroxyacetone, and numerous small
ketones and cyclic ketones, which may have value in
fragrances and flavorings, also have potential.
3.3 Potential Pyrolysis Products
Pyrolysis of wood for chemicals and fuels production 3.3.2 Levoglucosan and Levoglucosenone
has been practiced for centuries; in fact, it was likely Cellulose pyrolysis can result in relatively high yields
the first chemical production process known to of levoglucosan or its subsequent derivative levoglu-
humans. Early products of charcoal and tar were used cosenone. Both are dehydration products from
not only as fuels but also for embalming, filling wood glucose. Levoglucosan is the 1,6-anhydro product,
joints, and other uses. Today, pyrolysis is still and levoglucosenone results from removal of two of
important in some societies, but it has largely been the three remaining hydroxyl groups of levoglucosan
displaced by petrochemical production in developed with the formation of a conjugated olefin double
countries. At the beginning of the 20th century, bond and a carbonyl group. Levoglucosenone’s chiral
important chemical products were methanol, acetic nature and its unsaturated character suggest uses for
acid, and acetone. Millions of pounds of these this compound in pharmaceuticals and in polymer
products were produced by wood pyrolysis until formation.
170 Biomass, Chemicals from
lactic acid process used for PLA production is based economics of this fermentation could be improved in
on conventional fermentation, the recovery of the a manner similar to that for citric acid fermentation.
lactide product for polymerization eliminates the As a result, itaconic acid could become available for
neutralization and reacidification steps typically use in polymer applications as well as for further
required. Efforts to improve the process are focused processing to value-added chemical products.
on the development of new organisms that can
function under acidic conditions and produce higher 3.5.7 Glycerol and 1,3-PDO
concentrations of lactic acid. These organisms, called Bacterial fermentation of glycerol to 1,3-propane-
extremophiles, are expected to operate at a pH less diol (PDO) has been studied as a potential renewable
than 2 in a manner similar to citric acid fermenta- chemical production process. The glycerol feedstock
tions. Other work to develop higher temperature- could be generated as by-product from vegetable oil
tolerant organisms may also result in reduced conversion to diesel fuel (biodiesel). The anaerobic
production costs. conversion of glycerol to PDO has been identified in
several bacterial strains, with Clostridium butyricum
3.5.4 2,3-Butanediol/Ethanol most often cited. The theoretical molar yield is
For this fermentation, a variety of bacterial strains 72%, and final product concentration is kinetically
can be used. An equimolar product mix is produced limited to approximately 6 or 7%. Genetic engineer-
under aerobic conditions, whereas limited aeration ing of the bacteria to include a glucose to glycerol
will increase the production of the 2,3-butanediol fermentation is under development and would result
to the level of exclusivity. Either optically active in a single-step bioprocess for PDO directly from
2,3-butanediol or a racemic mixture can be pro- glucose. The PDO product is a relatively new
duced, depending on the bacterial strain. Similarly, polyester source, only recently economically avail-
the final product concentration, ranging from 2 or 3 able from petroleum sources. Its improved proper-
to 6–8%, depends on the bacterial strain. Recovering ties as a fiber include both stain resistance and easier
the high-boiling diol by distillation is problematic. dye application.
applications in the biomedical field. Originally, PHA of the biomass fractions, is often viewed as a fuel to
was limited to polyhydroxybutyrate (PHB), but it drive the processing systems, but it is also a potential
was found to be too brittle. A copolymer (PHBV) of source of aromatic chemical products. Mineral
75% hydroxybutyrate and 25% hydroxyvalerate is recovery is most likely to be important for maintain-
now a commercial product with applications in ing agricultural productivity, with the return of the
medical devices. However, the fermentative process minerals to the croplands as fertilizer.
has some potentially significant drawbacks that, In order to achieve a true biorefinery status, each
when considered on a life cycle basis, could result biomass component will be used in the appropriate
in poorer performance of PHA production from a process to yield the highest value product. Therefore, a
renewable perspective than that of petroleum- combination of processing steps, tailored to fit the
derived polystyrene. To address these drawbacks, particular operation, will be used to produce a slate of
which include high energy requirements for cell wall chemical products, which will be developed in response
rupture and product recovery, plant-based produc- to the market drivers to optimize feedstock utilization
tion of PHA has been investigated using genetic and overall plant income. In this manner, the return on
modification to engineer the PHB production path- investment for converting low-cost feedstock to high-
way into Arabidopsis as the host plant. Alternatively, value chemical products can be maximized.
PHBV might be produced by other organisms that The future biorefinery will likely have a major
can use multiple sugar forms from a less-refined impact on society as fossil-derived resources become
biomass feedstock than corn-derived glucose. scarce and more expensive. Indeed, use of biomass is
the only option for maintaining the supply of new
carbon-based chemical products to meet society’s
4. THE FUTURE BIOREFINERY demands. The biorefinery can have a positive
environmental impact by deriving its carbon source
The future biorefinery (Fig. 1) is conceptualized as an (via plants) through reducing atmospheric levels of
optimized collection of the various process options carbon dioxide, an important greenhouse gas. With
described previously. In addition to the chemical appropriate attention to the biomass-derived nitro-
processing steps for producing value-added chemi- gen and mineral components in the biorefinery
cals, it will likely incorporate components from processes, a life cycle balance may be achieved for
existing biorefinery-type operations, such as wood these nutrient materials if their recovery efficiencies
pulp mill, wet corn mill, and cheese manufacturing can be maintained at high levels.
processes.
Carbohydrate separation and recovery will likely
involve both the five- and six-carbon compounds. SEE ALSO THE
These compounds will respond to separations by FOLLOWING ARTICLES
selective hydrolysis because they have different
activities in either chemical or enzymatic hydrolyses. Biomass Combustion Biomass for Renewable
Any oil or protein components liberated through this Energy and Fuels Biomass Gasification Biomass:
processing will be considered as potential high-value Impact on Carbon Cycle and Greenhouse Gas
chemicals. The lignin component, the least developed Emissions Biomass Resource Assessment
VALUE-ADDED
Catalysis PRODUCTS Further Reading
BIOMASS
Arntzen, C. J., Dale, B. E., et al. (2000). ‘‘Biobased Industrial
Separation/
pretreatment Products.’’ National Academy Press, Washington, DC.
Bozell, J. J. (ed.). (2001). ‘‘Chemicals and Materials from
Renewable Resources,’’ ACS Symposium Series No.784. Amer-
ican Chemical Society, Washington, DC.
Bozell, J. J., and Landucci, R. (eds.). (1993). ‘‘Alternative
Separation/
purification Feedstocks Program, Technical and Economic Assessment:
Thermal/Chemical and Bioprocessing Components.’’ National
Renewable Energy Laboratory, Golden, CO.
Fermentation
Donaldson, T. L., and Culberson, O. L. (1983). ‘‘Chemicals from
BIOREFINERY Biomass: An Assessment of the Potential for Production of
FIGURE 1 Biorefinery concept for production of value-added Chemical Feedstocks from Renewable Resources, ORNL/TM-
chemicals from biomass. 8432.’’ Oak Ridge National Laboratory, Oak Ridge, TN.
174 Biomass, Chemicals from
Executive Steering Committee, Renewables Vision 2020 (1999). Pierre, St., L.E., and Brown, G. R. (eds.). (1980). ‘‘Future Sources
‘‘The Technology Roadmap for Plant/Crop-Based Renewable of Organic Raw Materials: CHEMRAWN I.’’ Pergamon,
Resources 2020,’’ DOE/GO-10099-706. U.S. Department of Oxford, UK.
Energy, Washington, DC. Rowell, R.M., Schultz, T.P., Narayan, R. (eds.). (1992). ‘‘Emerging
Fuller, G., McKeon, T. A., and Bills, D. D. (eds.). (1996). Technologies for Materials and Chemicals from Biomass,’’ ACS
‘‘Agricultural Materials as Renewable Resources—Nonfood Symposium Series No.476. American Chemical Society, Wa-
and Industrial Applications, ACS Symposium Series No.647.’’ shington, DC.
American Chemical Society, Washington, DC. Saha, B. C., and Woodward, J. (eds.). (1997). ‘‘Fuels and
Goldstein, I. S. (ed.). (1981). ‘‘Organic Chemicals from Biomass.’’ Chemicals from Biomass, ACS Symposium Series No.666.’’
CRC Press, Boca Raton, FL. American Chemical Society, Washington, DC.
Morris, D., and Ahmed, I. (1992). ‘‘The Carbohydrate Economy: Scholz, C., and Gross, R. A. (eds.). (2000). ‘‘Polymers from Renew-
Making Chemicals and Industrial Materials from Plant able Resources—Biopolyesters and Biocatalysis, ACS Symposium
Matter.’’ Institute for Local Self-Reliance, Washington, DC. Series No.764.’’ American Chemical Society, Washington, DC.
Biomass Combustion
ANDRÉ P. C. FAAIJ
Utrecht University
Utrecht, The Netherlands
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 175
176 Biomass Combustion
mH2O is the weight of water created per unit of with various air feeding steps (primary and second-
hydrogen (8.94 kg/kg). ary air) and boiler or furnace geometry (e.g., to
This formula explains that the LHV can drop create specific primary and secondary combustion
below zero at given moisture contents. Drying prior zones, dominated by one of the basic processes
to the combustion process (e.g., with waste heat) is a described above). The higher the air ratio, the lower
possible way to raise the heating value to acceptable the maximum (adiabatic) temperature, but also the
levels and this is sometimes deployed in practice. The more complete the combustion.
heating value and moisture content of the fuel The control and performance of the entire
therefore also heavily affect the net efficiency of the combustion process (including costs, efficiency, and
combustion process in question. Some boiler con- emission profile) is always a trade-off. On the one
cepts deploy condensation of the water in present the hand, there are various technical variables such as
flue gases, which enables recovery of the condensa- design of the equipment, materials used, air and fuel
tion energy from the combustion process. This is an feeding methods, and control strategies; on the other
expensive option though. hand, a number of process variables (e.g., heat
Drying is followed by pyrolysis, thermal degrada- transfer, residence times, excess air, insulation) and
tion in absence of oxygen and devolatization, at fuel properties (moisture, mineral fraction, composi-
which tars, charcoal, and combustible gases are tion) must all be balanced to obtain the desired
formed. The subsequent gasification results in performance. Clearly, with bigger facilities, more
formation of combustible gases (e.g., through char advanced design, materials, and equipment such as
oxidation). Finally, at complete combustion, all gases emission control devices become more feasible; in
are converted to CO2 and H2O and a range of general, better quality fuels (clean wood, pellets, etc.)
contaminants, which partly depend on fuel composi- are used for firing smaller combustion installations
tion and partly on the conditions of the combustion (i.e., below some 1 MWth) and poorer quality fuels
process. Incomplete combustion can, for example, (such as straw, waste fuels) for bigger installations.
lead to emissions of CO, soot, methane, polycyclic
aromatic hydrocarbons (PAH), and volatile organic
2.2 Characteristics of Biomass Resources
components (VOC), which is typical for lower
temperature combustion and poor combustion air Biomass resources that can be used for energy are
control. Dust emissions are caused by the mineral diverse. A distinction can be made between primary,
fraction (e.g., sand) of the fuel. Fuel bound nitrogen secondary, and tertiary residues (and wastes), which
as well as thermal conversion of molecular nitrogen are available already as a by-product of other
can be converted to NOx, in particular at higher activities and biomass that is specifically cultivated
temperatures. N2O (a strong greenhouse gas) can be for energy purposes:
formed in small amounts during combustion as well,
depending on process conditions. Sulfur in the fuel is Primary residues are produced during produc-
partly converted to SOx. Both NOx and SOx tion of food crops and forest products. Examples are
contribute to acidification. SO2 can also lead to residues from commercial forestry management and
corrosion in downstream equipment. The same is straw from various food crops (cereals and maize).
true for chlorine, which results in HCl emissions. Such biomass streams are typically available in the
Presence of chlorine may, under specific conditions, field and need to be collected to be available for
also lead to formation small amounts of the highly further use.
toxic dioxins and furans. Alkali metals (in particular Secondary residues are produced during proces-
K and Na) also contribute to corrosion problems. sing of biomass for production of food products or
Those metals, as well as the silicon content and Ca, biomass materials. Such residues typically are avail-
influence ash melting points as well. In case heavy able in larger quantities at processing facilities, such
metals are present, these can partly evaporate and as the food- and beverage industry, saw- and paper
end up in the flue gases as well. In particular, mills, and the like.
cadmium and mercury are volatile and evaporate Tertiary residues become available after a
already at lower combustion temperatures. biomass derived commodity has been used, meaning
Combustion temperatures can vary between 800 a diversity of waste streams is part of this category,
and 20001C and are influenced by moisture and varying from the organic fraction of municipal solid
excess air ratio. The latter can typically be controlled waste (MSW), waste and demolition wood, sludges,
by the design of the combustion equipment—that is, and so on.
178 Biomass Combustion
Properties like moisture content, mineral fraction, Characteristics of the biomass are influenced by
density, and degree of contamination (e.g., heavy and the origin of the biomass, but also by the entire
alkali metals, nitrogen, sulfur, chlorine) differ widely supply system preceding any conversion step. De-
depending on the source of the biomass. pending on the combustion process technology
Biomass is a highly reactive fuel compared to coal chosen, various pretreatment steps such as sizing
and has a much higher oxygen content, higher (shredding, crushing, chipping) and drying are
hydrogen/carbon ratio, and higher volatile content. needed to meet process requirements. Furthermore,
The bulk composition of biomass in terms of carbon, certain fuel properties exclude certain biomass fuels
hydrogen, and oxygen (CHO) does not differ much for specific combustion options, partially for techni-
among different biomass sources though; typical cal and partially for environmental reasons.
(dry) weight percentages for C, H, and O are 45 to Storage, processing (e.g., densification) before
50%, 5 to 6%, and 38 to 45%, respectively. The transport, and pretreatment influence moisture con-
volatile content (lighter components that are parti- tent, ash content (e.g., by means of sieving), particle
cularly released during the pyrolysis stage) can vary size, and sometimes even degree of contamination
between some 70 and 85%. The latter is typically (an example being straw washing, which reduces the
higher for nonwoody and 0 younger0 greener biomass salt content (chlorine and alkali content).
sources. CHO shares can be different for atypical
fuels as sludges or MSW (the higher C content is due
to biological breakdown and plastic fraction). Table 2.3 Power Generation
II summarizes some characteristics for a range of The resulting hot gases from the combustion can
biomass resources in terms of indicative ranges. be used for a variety of applications such as the
Clearly, the diversity of characteristics (also in following:
relation to price) of biomass resources is a challenge
for combustion processes, and in practice a wide *
Smaller scale heat production for direct space
diversity of technical concept is deployed to convert heating, cooking, and water heating.
different feedstocks to energy carriers for different *
Larger scale heat production for district and
markets and capacities. process heating (such as furnaces and drying).
TABLE II
Some Example Values on the Composition and Characteristics of a Selection of Biomass Fuels
Moisture Heating
content Ash content value Nitrogen Sulfur Chlorine
Biomass (percentage (percentage (LHVGJ/ (mg/kg, dry (mg/kg dry (mg/kg, dry Heavy Costs (indications)
feedback wet basis) dry basis) wet ton) basis) basis) basis) metals (Euro/GJ)
Wood (chips) 30–50 1–2% 8–13 900–2000 70–300 50–60 Very low From 1 to 5, when
cultivated
Bark 40–60 3–5% 7–10 3000–4.500 300–550 150–200 Very low From some 0.5
to 1
Straw 15 10% 14–15 3000–5000 500–1100 2500–4000 Low From zero to high
market prices
Grass 15–60 10% 6–15 4000–6000 200–1400 500–2000 Low As residue low,
cultivated
Miscanthus: 1.5
to 4
Demolition 10–15 1% 15–17 300–3000 40–100 10–200 Low to very From negative to
wood high market prices
Organic 50–60 20% 4–5 1000–4000 400–600 100–1000 Low Negative prices
domestic due to tipping
waste fees to zero
Sewage Over 70 in 40% 1–10 (when 2000–7000 600–2000 50–200 Very high Strongly negative
sludge wet form dried) prices due to
processing costs,
up to zero.
Biomass Combustion 179
T
5
Generator
4
3 4
Fuel
Flue gas
6
Air 3
2
1 6′ 6
QHeating
S
2 1
FIGURE 1 Basic principle and T/S diagram for a steam cycle including cogeneration. Steps from 1 to 6 cover pressure
increase (1–2), heating up to evaporation temperature (2–3), evaporation in the boiler (3–4), superheating of vapor (4–5),
expansion in the turbine (5–6) and finally condensation (6–1).
*
Raising (high temperature) steam for industrial increasing measures like feed water preheating and
processes or subsequent electricity production steam reheating. For a condensing plant (implying
using a steam turbine or steam engines. exhausted steam that exits the turbine is cooled to
ambient temperatures), a simple process scheme and
Various devices can be used to convert heat from T/S, temperature/entropy diagram, is depicted in
combustion to power. The most important and (Fig. 1). Typical net overall electrical efficiencies of
widely deployed are steam turbines (in the range of power plants range from less than 20% electrical
0.5 to 500 MWe). Furthermore, steam engines for efficiency at smaller scales to over 40% for very large
capacities below 1 MWe or so are used. Alternatives systems (e.g., obtained with co-firing in a coal plant).
are the use of closed gas turbines (hot air turbine), Steam engines play a much smaller role in current
Stirling engines, and an Organic Rankine Cycle, but markets. Advantages are their flexibility (part load
those are either under development or to date only operation) and suitability for smaller scales. Elec-
used in a few specific projects. trical efficiencies are limited to 6% to up to 20% for
Steam turbines are mature, proven technology, the most advanced designs.
which, when applied at larger scales, can reach high
efficiencies when high pressure and steam is available.
2.4 Ash
Steam pressures deployed in steam turbines range
from 20 to 200 bars for superheated steam. Raising Ash remains after complete combustion, containing
such high pressures with biomass fuels can be the bulk of the mineral fraction of the original
problematic when corrosive components (such as biomass, but so does unburned carbon (which
chlorine, sulfur, and alkali metals) are present in high strongly depends on the technology deployed). High
concentrations in the flue gas. This is a reason why, alkali and Si content typically give low ash melting
for example, waste incinerators generally maintain temperatures (while Mg and Ca increase ash melting
low steam pressures (with resulting lower efficiencies). temperature). Ash sintering, softening, and melting
Combined heat and power generation (CHP) temperatures can differ significantly among biofuels,
configurations and delivery of process steam are and this characteristic is essential in determining
made easy by the use of back-pressure turbines, a temperature control to avoid sintering (e.g., on grates
technique widely deployed in the cane-based sugar or in fluid beds) or slagging (resulting in deposits on,
and paper-and-pulp industry for processing residues e.g., boiler tubes). Typically, grasses and straw have
and supplying both power and process steam to the mineral fractions giving low melting temperatures.
factory. Steam turbines (and the required steam Potential utilization of ash is also influenced by
generator) are expensive on a smaller scale, however, contaminants (such as heavy metals) and the extent
and high-quality steam is needed. Superheating to which the ash is sintered or melted. In case clean
steam (for high efficiency) is generally only attractive biomass is used and the ash contains much of the
at larger scales. The same is true for efficiency- minerals (such as phosphor) and important trace
180 Biomass Combustion
elements, it can be recycled to forest floors, for The use of agricultural residues is common in
example. This is demonstrated in Sweden and regions were forest resources are lacking. The use of
Austria. Heavy metals typically concentrate in fly straw or dung is typically found in countries like
ash, which itself presents the possibility of removing China, India, and parts of Africa. Wood is definitely
a smaller ash fraction with most of the pollutants. preferred over agricultural residues because the latter
This is the practice in Austria, particularly for re- have poor combustion properties, low density
moving cadmium. complicating transport, and cause a lot of smoke
Co-firing can give specific issues, since biomass when used.
additions to, for example, coal firing can change ash
characteristics (which are of importance for reuse in
3.2 Modern Biomass Combustion for
cement production, for example). More important is
Domestic Applications
that biomass ash can result to increased fouling and
reducing the fusion temperatures of coal ash. The Typical capacities for combustion systems in domes-
extent to which those mechanisms become serious tic applications for production of heat and hot water
issues depends on the fuel properties, both of the coal range from only a few kWth to 25 kWth. This is still
and biomass, as well as the specific boiler design. a major market for biomass for domestic heating in
countries like Austria, France, Germany, Sweden,
and the United States. Use of wood in open fireplaces
3. KEY TECHNOLOGICAL and small furnaces in houses is generally poorly
CONCEPTS: PERFORMANCE registered, but estimated quantities are considerable
AND STATUS in countries mentioned. Use of wood in classic open
fireplaces generally has a low efficiency (sometimes
As argued, a wide range of combustion concepts is as low as 10%) and generally goes with considerable
developed and deployed to serve different markets emissions of, for example, dust and soot. Technology
and applications. To structure this range, a distinc- development has led to the application of strongly
tion can first be made between small-scale domestic improved heating systems, which are, for example
applications (generally for heating and cooking) and automated, have catalytic gas cleaning, and make use
larger scale industrial applications. First, domestic of standardized fuel (such as pellets). The efficiency
applications will be discussed, distinguishing be- benefit compared to, for example, open fireplaces is
tween the use of stoves in (in particular in developing considerable: open fireplaces may even have a
countries) and the use of more advanced furnaces, negative efficiency over the year (due to heat losses
boilers, and stoves utilized in industrialized coun- through the chimney), while advanced domestic
tries. For industrial applications, a basic distinction is heaters can obtain efficiencies of 70 to 90% with
made between standalone systems and co-firing. strongly reduced emissions. The application of such
systems is especially observed in, for example,
Scandinavia, Austria, and Germany. In Sweden in
3.1 Domestic Biomass Use in
particular, a significant market has developed for
Developing Countries
biomass pellets, which are fired in automated firing
The aforementioned (and largely noncommercial) systems.
use of biomass for cooking and heating in particular Concepts for production of heat vary from open
in developing countries is applied with simple fireplaces to fireplace inserts, heat storing stoves
techniques, varying from open fires to simple stoves (where a large mass of stone or tiles is used to store
made from clay or bricks. Typically, the efficiency of heat and again gradually dissipate that heat for a
such systems is low, to less than 10% when expressed period of up to several days) to catalytic combustion
as energy input in wood fuel versus actual energy systems, and use of heat exchangers that avoid losses
needed for cooking food. Improvements in the of the produced heat through the chimney. The
energy efficiency of cooking in particular can there- transfer of heat takes place by convection and direct
fore lead to significant savings of fuel demand. radiation.
Improved stoves, the use of high-pressure cookers, Boilers are used for hot water production (for
and in some cases the shift to liquid or gaseous fuels either space heating or tap water). Basic concepts
(like bio-ethanol, fischer-tropsch liquids, or biogas) cover over-fire, under-fire, and downdraught boilers,
can have a major positive impact in both overall which primarily differ with the direction of the
energy efficiency and emission control. combustion air flow through the fuel. Such systems
Biomass Combustion 181
are usually linked to water heating systems with a ment which is filled once every half year or so.
capacity of some 1 to 5 m3, including the possibility Control is steered by the heat demand of the hot
for temporal heat storage. Equipment is commer- water system. Infrastructure with pellet distribution
cially available and deployed with advanced emission is present in countries like Sweden.
control systems. All systems mentioned generally rely Wood chip stoves can have similar characteristics
on good quality wood, like logs, which are not too in terms of automation, but require more voluminous
wet and uncontaminated. storage and an oven or firebox for combustion of
Pellet burners are also available and the way the chips. Those are called stoker burners. Tempera-
combustion is performed shows some similarities tures can rise up to 10001C when good quality, dry
with oil firing, since the pellets are crushed prior to fuel is used.
combustion, resulting in a constant flow of fine
particle to the burner, which is easily controlled.
3.3 Biomass Combustion for Industrial
Fully automated systems are on the market that rely
on a large storage of pellets in, for example, a base-
Applications: Stand Alone
Biomass combustion concepts exceeding a capacity
of some 1 MWth are generally equipped with
automated feeding and process control. Basic com-
bustion concepts include fixed bed or grate furnaces,
Fuel Fuel as well as bubbling fluidized bed (BFB) and circulat-
ing fluidized bed (CFB) furnaces. Furthermore, dust
Fuel firing is deployed, but this is less common (see
Fuel Ash
Ash
Fig. 2). Table III summarizes some of the main
characteristics of the combustion concepts discussed.
Air Air Air Air
TABLE III
Some Main Characteristics of Key Combustion Concepts Currently Deployed
Underfeed stokers Low cost at smaller capacities, Needs high-quality fuel with o6 MWth heating; buildings,
easy control respect to composition and size district heating
Grate furnaces Relatively cheap and less sensitive Different fuels cannot be mixed for Wide range; widely applied,
to slagging certain grate-type; especially for waste fuels and
nonhomogeneous combustion residues; typical capacity some
conditions (resulting in higher 20–30 MWe; waste incinerators
emissions) up to 1–2 Mtonne capacity/year
Dust combustion High efficiency, good load control Small particle size required, Less common (especially suited for
and low Nox wearing of lining sawdust)
BFB furnaces Highly flexible for moisture High capital and operational costs, 420 MWth; deployed for flexible
contents, low Nox, high sensitive to particle size (requires fueled plants and more
efficiency and decreased flue gas pretreatment), high dust load in expensive fuels (e.g., clean
flow flue gas, some sensitivity for ash wood)
slagging; erosion of equipment
CFB furnaces High fuel flexibility with respect to High capital and operational costs, 430 MWth; deployed for flexible
moist and other properties, low sensitivity to particle size fueled plants and more
Nox, easy adding additives (e.g., (requires pre-treatment), high expensive fuels; of CFB and BFB
for emission control), high dust loads in flue gas, inflexible combined, some 300
efficiency and good heat transfer for part load operation; very installations build worldwide
sensitive to ash slagging, erosion
of equipment
182 Biomass Combustion
into co-, cross-, and counter-current fired systems, combustion (e.g., deployed for dry fine fuels as
which principally differ in the direction of the sawdust), the rotating cone furnace (involving a
combustion air-flow in relation to the biomass flow. rotating vessel in which the fuel is fed; in particular
While the fuel is moving over the grate, the suited for waste fuels), and the whole tree energy
combustion process develops starting with drying, concept. This design is capable of firing compete
devolatization, formation of charcoal, and finally ash logs, which are dried over a longer period time in a
on the grate. Typically, primary and secondary covered storage using waste heat from the combus-
combustion chambers are found, leading to staged tion process, and the resulting net energy efficiency is
combustion. Grate furnaces are very flexible with high. The system has not yet been commercially
respect to fuel properties (e.g., moisture and size). applied though.
Depending on the fuel properties, different grate
types are deployed. Traveling grates are used mean-
ing the grate is working like a transport belt, while 3.4 Co-combustion
the biomass is gradually converted along the way.
Co-combustion involves the use of biomass in
Ash typically falls through the grate and is removed
with collection systems. Ash removal can be both wet existing fossil fuel fired power plants next to coal,
wastes, peat, or other fuels. Co-combustion can be
and dry. Horizontal, vibrating, and inclined grates
categorized in direct co-firing (directly fed to the
are also applied. Typically, MSW incineration (which
boiler), indirect co-firing (fuel gas produced via
is a very inhomogeneous fuel) makes use of inclined
gasification is fed to the boiler), and parallel
grates, which result in longer residence times of the
combustion (use of biomass boiler and use of the
fuel particles. Another distinction can be made
resulting steam in an existing power plant).
between air and water cooled grates. The latter is
Direct co-firing can be done by mixing with coal,
typically used for dryer fuels that give a higher
combustion temperature; the first is deployed for separate pretreatment and handling of the biomass
fuel and subsequent joint firing with coal, separate
wetter fuels.
biomass fuel burners, and the use of biofuel as a re-
Bubbling fluidized bed. In a BFB, the fuel is fed
burn fuel (for NOx reduction), but the latter is not
to a furnace where an inert bed material (like sand) is
commercially applied to date.
kept in motion by blowing (combustion) air from
The advantages of co-firing are apparent: the
underneath. Temperatures are typically 800 to
overall electrical efficiency is high due to the
9001C, and bed temperatures are homogeneous.
economies of scale of the existing plant (usually
Low excess air is needed, minimizing flue gas flows.
Homogenous conditions allow for good emission around 40% in the case of pulverized coal boilers of
some 500 to 1000 MWe), and investments costs (in
control and adding of additives to the bed (like
particular for pretreatment) are low to negligible
limestone) can be deployed to reduce emissions
when high-quality fuels as pellets are used. Also,
further. Fuel bed (FB) technology is flexible for
directly avoided emissions are high due to direct
different fuel properties. In contrast, this technology
replacement of coal. Combined with the fact that
is inflexible to particle size, resulting in the need for
many coal-fired power plants in operation are fully
more extensive pretreatment.
depreciated, this makes co-firing usually an attractive
Circulating fluidized bed. Key characteristics
are rather similar to BFB technology, but fluidizing GHG mitigation option. In addition, biomass firing
generally leads to lowering sulfur and other emis-
velocities of the bed are higher, leading to higher
sions, although ash utilization and increased fouling
turbulence. This results in better heat transfer (and
can become serious problems in some cases.
higher efficiency), but requires a particle collector
(or cyclone) to feed bed material that is blown out
of the furnace back to the bed. Dust loads in the
3.5 Environmental Performance and
flue gas are high therefore. Due to high capital and
Emission Control
operation costs, both BFB and CFB become attrac-
tive at larger scales (i.e., over 30 MWth). At such Both the biomass properties and composition and the
capacities, the advantages for smaller downstream combustion process influence the environmental
equipment (boiler and flue gas) cleaning start to performance of combustion processes. Section 2
pay off. listed the main contaminants. Table IV summarizes
Other concepts. Some concepts that do not some generic data on major emissions of key
really fit the division given here are the dust combustion options for West European conditions.
Biomass Combustion 183
TABLE IV
Generic Emission Data for Key Biomass Combustion Options
Combustion option NOx (mg/MJ) Particulates (mg/MJ) Tar (mg/MJ) CO (mg/MJ) UHC as CH4 (mg/MJ) PAH (lg/MJ)
Values concern wood firing only and West European conditions (and emissions standards). N.m., not measured.
Those data clearly reflect the better emission pro- 4. THE ROLE OF BIOMASS
files of FB technology (except fro NOx) and the COMBUSTION TO DATE:
poor performance of small-scale, traditional com-
bustion.
DIFFERENT CONTEXTS
Depending on applicable emission standards, AND MARKETS
various technical measures may need to be taken to
meet those standards. Measures can be divided into This section discusses some main developments in
primary measures (covering design and control of the the role of biomass combustion in various countries,
combustion process and technology) and secondary contexts, and sectors, covering domestic heating,
measures that remove contaminants after the actual district heating and CHP, large-scale combustion and
combustion. These typically include particle control industrial use, waste incineration, and co-firing.
(e.g., by means of cyclones, filters, and scrubbers), Table VI gives an overview of some countries in the
SO2 removal (additives as limestone and scrubbing), bioenergy field, as well as their specific policies,
and Nox reduction measures, which include primary resources, and the role of combustion for production
measures as staged combustion but also selective of power and heat.
(Non-) catalytic reduction. Generally, secondary It is important to understand the interlinkages
measures add significantly to the total capital and between biomass resource availability and the use of
operational costs, which becomes even more appar- specific technologies. The biomass resource base is a
ent at smaller scales. determining factor for which technologies are
attractive and applied in relation to its characteristics
(as discussed in Section 2) but also in relation to the
growing biomass market. To take Europe as an
3.6 Efficiency and Economics
example, organic wastes (in particular MSW) and
Table V shows a generic overview of energy forest residues represent the largest available poten-
efficiency and costs of the main conversion options tial and deliver the largest contribution to energy
discussed. For comparison, gasification for electricity production from organic (renewable) material. Mar-
production is also included. ket developments, natural fluctuations in supply
Overall economy of a plant or system strongly (e.g., due to weather variations), as well as the
depends on fuel prices (and quality), emissions economics and various other factors (such as
standards, load factors, and economic factors as accessibility of areas) of bioenergy all influence the
interest rates and feed-in tariffs for power and heat technical and economic potential of such resources,
(when applicable). Clearly, as will also be discussed and it is impossible to give exact estimates of the
in the next section, various countries installed very potential. However, available resources are increas-
different policy measures, financial instruments, and ingly utilized. When the use of bioenergy expands
standards that sometimes resulted in very specific further in the future (as projected by many scenario
markets for certain technologies. The next section studies and policy targets), such larger contributions
discusses a number of countries and markets and the of biomass to the energy supply can only be covered
specific deployment of biomass combustion technol- by dedicated production systems (e.g., energy crops).
ogy to date. Over time, several stages can be observed in biomass
184 Biomass Combustion
TABLE V
Global Overview of Current and Projected Performance Data for the Main Conversion Routes of Biomass to Power and Heat, and
Summary of Technology Status and Deployment in the European Context
Conversion Typical capacity Net efficiency (LHV Investment cost Status and deployment in
option range basis) ranges (Euro/kW) Europe
Combustion Heat Domestic From very low B100/kWth Classic firewood use still widely
1–5 MWth (classic fireplaces) 300–700/kWth deployed in Europe, but
up to 70–90% for for larger furnaces decreasing. Replacement by
modern furnaces modern heating systems (i.e.,
automated, flue gas cleaning,
pellet firing) in, for example,
Austria, Sweden, Germany,
ongoing for years
CHP 0.1–1 MWe 60–90% (overall) Widely deployed in Scandinavia
B10% (electrical) countries, Austria, Germany,
80–100% and to a lesser extent France;
(overall) 15–20% in general increasing scale and
(electrical) increasing electrical efficiency
over time
Stand-alone 20–100’s MWe 20–40% (electrical) 2.500–1600 Well-established technology,
especially deployed in
Scandinavia; various
advanced concepts using fluid
bed technology giving high
efficiency, low costs, and high
flexibility commercially
deployed; mass burning or
waste incineration goes with
much higher capital costs and
lower efficiency; widely
applied in countries like the
Netherlands and Germany
Co-combustion Typically 5–20 MWe 30–40% (electrical) B250 þ costs of Widely deployed in many EU
at existing coal existing power countries; interest for larger
fired stations; station biomass cofiring shares and
higher for new utilization of more advanced
multifuel power options (e.g., by feeding fuel
plants. gas from gasifiers) is growing
in more recent years
Gasification Heat Usually smaller 80–90% (overall) Several 100’s/kWth, Commercially available and
capacity range depending on deployed; but total
around capacity contribution to energy
100’s kWth production in the EU is very
limited
CHP gas engine 0.1–1 MWe 15–30% 3.000–1.000 Various systems on the market;
(depends on deployment limited due to
configuration) relatively high costs, critical
operational demands, and
fuel quality
BIG/CC 30–100 MWe 40–50% (or higher; 5.000–3.500 Demonstration phase at
electrical (demos) 2.000– 5–10 MWe range obtained,
efficiency) 1.000 (longer rapid development in the
term, larger scale) 1990s has stalled in recent
years; first generation
concepts prove capital
intensive
Based on a variety of literature sources. Due to the variability of data in the various references and conditions assumed, all cost figures
should be considered as indicative. Generally they reflect European conditions.
Biomass Combustion 185
utilization and market developments in biomass has largest experience with SRC-Willow. There is
supplies. Different countries seem to follow these interest in agricultural crops such as sweet sorghum
stages over time, but clearly differ in the stage of in Southern Europe. Perennial grasses, poplar,
development (see also Table V): and plantation forest receive attention in various
countries.
1. Waste treatment. Waste treatment, such as
MSW and the use of process residues (paper industry,
food industry), onsite at production facilities is
4.1 Domestic Heating
generally the starting phase of a developing bioe-
nergy market and system. Resources are available Combustion on a domestic scale for heat production
and often have a negative value, making utilization (space heating, cooking) is widely applied, as
profitable. Utilization is usually required to solve argued. In various developing countries in Asia and
waste management problems. Africa, biomass use accounts for 50% to even 90%
2. Local utilization. Local utilization of resources of the national energy supply, which is almost
from forest management and agriculture is generally exclusively deployed through often inefficient com-
next. Such resources are more expensive to collect bustion. Improved technologies, often meaning
and transport, but usually still economically attrac- relatively simple stove designs, are available and
tive. Infrastructure development is needed. could make a huge difference in fuel wood con-
3. Biomass market development on regional scale. sumption and emissions. It is clear though that
Larger scale conversion units with increasing fuel biomass is not a preferred fuel once people can
flexibility are deployed, increasing average trans- afford more modern energy carriers, such as
port distances and further improved economies of kerosene, gas, or electricity. Typically, developing
scale. Increasing costs of biomass supplies make regions follow the so-called fuel ladder, which starts
more energy-efficient conversion facilities necessary with biomass fuels (first agricultural residues, then
as well as feasible. Policy support measures such wood, charcoal, kerosene, propane, gas, and finally
as feed-in tariffs are usually needed to develop into electricity). Given the inefficiency of direct biomass
this stage. use for cooking in particular, the future use of
4. Development of national markets with an available biomass resources in developing countries
increasing number of suppliers and buyers, creation may well be the production of modern energy
of a marketplace, increasingly complex logistics. carriers as power and fuels.
There is often increased availability, due to improved In industrialized countries, where more modern
supply systems and access to markets. Price levels combustion technology for domestic heating is
may therefore even decrease. available, production of heat with biomass is not
5. Increasing scale of markets and transport increasing as fast when compared to biomass-based
distances, including cross border transport of bio- power generation or, more recently, production of
fuels; international trade of biomass resources (and fuels for the transport sector. This is illustrated by
energy carriers derived from biomass). In some cases, development in the European Union where in 1990
conflicts arise due to profound differences in national the production of heat from biomass amounted
support schemes (subsidies, taxes, and environmental about 1500 PJ rising to over 1800 PJ in 1999 (an
legislation; an example is the export of waste wood increase of 2% per year), while electricity produc-
from the Netherlands and Germany to Sweden). tion from biomass amounted 15 TWhe in 1990
Biomass is increasingly becoming a globally traded and rose up to 46 TWhe in 1999 (an increase of 9%
energy commodity. per year). This growth is almost exclusively realized
6. Growing role for dedicated fuel supply systems by application of modern biomass combustion
(biomass production largely or only for energy technology. Furthermore, despite the modest role
purposes). There are complex interlinkages with of biofuels in energy terms, the production and use
existing markets for pulp- and construction wood, of biofuels rapidly increased over the past 10 years.
use of agricultural residues, and waste streams. Biodiesel production increased from 80 ktonne in
So far, dedicated crops are mainly grown because 1993 up to 780 ktonnes in 2001. Germany and
of agricultural interests and support (subsidies France produce the bulk, with minor contributions
for farmers, use of set-aside subsidies), which from Italy and Austria. Ethanol production in the
concentrates on oil seeds (like rapeseed) and sur- EU increased from 48 up to 216 ktonne in the
plus food crops (cereals and sugar beet). Sweden same period.
TABLE VI
Global Overview of Bioenergy Use, Policy, and Developments Over Time in a Selection of Countries
Austria Biomass accounts for 11% of the national Financial support for individual Mainly forest residues and Heat production declined end of nineties
energy supply. Forest residues are used heating systems and gasifiers. production of rape for due to declining number of classic
for (district) heating, largely in systems of Subsidies for farmers producing biodiesel. wood boilers. Wood boilers for
a relatively small scale. Some of the biomass (as rape). Tax reduction domestic heating still important.
policy measures deployed are province biofuels and tax on mineral fuels. About one-fifth consists of modern
oriented. concepts. Bioelectricity steady grower.
Denmark Running program for utilisation of 1.2 Long-term energy program; energy Use of straw and wood residue, 1990–2000, heat production more or
million tonnes of straw as well as the crops to contribute from 2005. waste, and biogas production less constant, electricity production
utilization of forest residues. Various Subsidies for bioenergy projects up (digestion) and a significant increased 10-fold.
concepts for cofiring biomass in larger to 50% are possible. Feed in tariffs role for energy crops in 2010
scale CHP plants, district heating, and guaranteed for 10 years (total B150 PJ).
digestion of biomass residues.
Finland Obtains 20% of its primary energy demand Exemption from energy tax. Forest residues, black liquor In 2010 over 1000 MWe biomass
from biomass (one third being peat). Financial support for forest (paper industry; two-thirds of electricity generation capacity should
Especially the pulp and paper industry owners for producing forest the total) and to a lesser extent be installed. Heat production
makes a large contribution by efficient residues. Targets for waste to peat play a key role. Further increased about 60% between 1990
residue and black liquor utilization for energy production. use of forest residues likely to and 2000, electricity some 70%.
energy production. Strong government result in more expensive
support for biomass; a doubling of the supplies in the future.
contribution is possible with available
resources.
France There is no specific bioenergy policy in 100% tax exemption for biodiesel; Mainly focus on available Major role for domestic heating, stable
France, but the role of biofuels (ethanol 80% for bioethanol. Investment resources, residues, and wastes market, no real technological
and biodiesel) and biomass for heating is subsidies, R&D. Feed-in tariffs for heat production. Surplus developments. Smaller contribution
significant: some 400 PJ heat, 500 PJ of waste incineration and landfill gas; cereal production and for collective and industrial heating
fuel and 10 PJe are produced. Growth probably to be extended to other production rape. Specific systems. Modern boiler concepts for
rates have been very low, however, in options. attention for increasing the use heat production key are pursued.
recent years. Biomaterials explicitly of biomaterials. Furthermore, considerable biogas
included in the strategy. Electricity has a utilization.
low priority. Biomass contributes about
two-thirds of the total energy production
for renewables (in turn, 6% of the total).
Germany Renewables contribute some 3% to the Tax exemption on biofuels. Subsidies Waste and residue utilisation of About a doubling of bioelectricity
total energy supply. The contribution of up to 100% and support for key importance. Rapeseed production between 1990 and now
biomass is to increase from about 300 PJ higher fuel costs. Various R&D production to biodiesel. (total some 19 Pje). Similar rate for
(fuel input) to over 800 PJ in 2010. Waste programmes and support heat (now over 200 PJ). Significant
policies relevant due to stringent targets measures. Important role for the technical developments in smaller
in reuse and prohibiting landfilling. ministry of agriculture. scale heat and electricity production
Targets for biofuels are ambitious; about concepts (e.g., gasification based).
10-fold more compared to current levels.
Netherlands Biomass and waste contribute over 50 PJ in Feed-in tariffs for various Waste and residues main Waste incineration and cofiring in coal-
2000. Target for 2007 in 85 PJ, going up technologies (differentiating resources. Import of biomass fired power stations play a prominent
to about 150 PJ in 2020. In long-term between scales and fuels). Tax current practice for green role. Widespread application of
strategy formulation biomass envisaged measures and subsidies for electricity production. Import a digestion. Electricity production to
to play a key role in the energy supply investments. key role to play for meeting increase.
(600–1000 PJ in 2040). long-term targets.
New Zealand Renewables cover some 30% of the National strategy on renewable Woody biomass (forest residues) 25 PJ in wood processing industries,
national energy supply; bioenergy and energy, but so far not covering and black liquor account for 21 PJ in pulp and paper industry.
waste over 6%. Natural resource base quota or energy taxes. the bulk of currently used Growth foreseen in domestic heat
(forest in particular) only partly used. resources. markets.
Spain Contribution of biomass in total to increase Tax deduction for investments (10%) Use of waste and residues but also Ambitious targets for increased
from some 160 PJ (about 50% of total and direct subsidies (up to 30%) major attention for energy electricity production and biogas
renewable energy) at present to 430 PJ in and discount on interest (up to 5 crops, both classic (rape, production and use. Heat production
2010 (about two-thirds of renewable points) on bioenergy projects. cereals) as new options such as constant.
energy). RES contribute some 6% in Reduced rate excise duty. sweet sorghum.
2000 with targets for 2010 set at 30%.
Sweden Biomass accounts for 17% of the national Taxation and administrative Wood fuels (forest residues) Bioelectricity not a very fast grower.
energy demand. Use of residues in the measures, most notably a CO2 tax dominate the supplies (about Heat production steady increase from
pulp and paper industry and district and energy tax. Subsidies for CHP 70% of the total). Wood 160 PJ in 1990 to some 270 PJ in
heating (CHP) and the use of wood for facilities. Tax exemption (energy, market expanded over time 2000.
space heating and dominant. Biomass environmental, and fees) for with logistics covering the
projected to contribute 40% to the biofuels; no direct subsidies. whole country and
national energy supply in 2020. international trade; 14.000 ha
SRC-Willow.
United Kingdom Renewable energy in total contributes Bioenergy part of general GHG MSW large part of total current MSW incineration accounts for about
about 1% to the total energy supply of mitigation policy. Waste policy of supplies. Energy crops (SRC- 50% of total energy from biomass.
the United Kingdom. Biomass accounts major relevance. Innovative bids Willow in particular) seen as Electricity production increased eight-
for about two-thirds of that. Rapid for biofuel projects supported. important for longer term. fold between 1990 and 2000 (up to
growth in electricity production from Duty reduction on biofuels. No 4500 GWhe). Heat production
biomass and waste is observed. Wastes direct subsidies. Support for doubled to almost 40 PJ.
but also larger scale use of energy crops farmers growing SRC.
to play main role.
United States Approximately 9000 MWe biomass fired Past decade emphasis on efficient Forestry residues, waste, and Electricity production and CHP cover
capacity installed; largely forest residues. power generation. For 2020 agricultural residues are all some 1600 PJ of biomass use. Mainly
Production of 4 billion litres of ethanol In bioenergy is identified to become important. Considerable use of through combustion of residue and
total some 2600 PJ supplied from major cost effective supplier of (surplus) corn for ethanol agricultural waste processing. An
biomass (over 3% of primary energy use) heat and power. The biorefinery production. Various crop additional 600 PJ for domestic
concept (combined production of production systems tested and heating. Increase in installed capacity
products, fuels, and power) considered. has stalled.
deserves considerable attention.
188 Biomass Combustion
4.2 District Heating and CHP fired CHP in countries like Poland, the Baltic region,
and Russia is high.
The application of biomass fired district heating is
widely applied in Scandinavian countries and Aus- 4.3 Larger Scale Combustion and
tria. In Scandinavia, biomass fired CHP really took
Industrial Use for Power Generation
off in the 1980s as a result from national climate and
and Process Heat
energy policies. In the first stages, retrofits of existing
coal-fired boilers were popular. Over time, the scale Larger scale combustion of biomass for the produc-
of CHP systems shows an increasing trend, with tion electricity (plus heat and process steam) is
apparent advantages as higher electrical efficiencies applied commercially worldwide. Many plant con-
and lower costs. This was also combined with a figurations have been developed and deployed over
developing biomass market, allowing for more time. Basic combustion concepts include pile burn-
competitive and longer distance supplies of biomass ing, various types of grate firing (stationary, moving,
resources (especially forest residues). During the vibrating), suspension firing, and fluidized bed
1990s, Denmark deployed a major program for concepts. Typical capacities for standalone biomass
utilizing straw. Various technical concepts were combustion plants (most using woody materials,
developed and deployed, such as the so-called cigar such as forest residues, as fuel) range between 20 and
burners combined with efficient straw baling equip- 50 MWe, with related electrical efficiencies in the 25
ment, transport, and storage chains. Other innova- to 30% range. Such plants are only economically
tions were needed to deal with the difficult viable when fuels are available at low costs or when a
combustion characteristics of straw, such the high carbon tax or feed-inn tariff for renewable electricity
alkali and chlorine content. This led to complex is in place. Advanced combustion concepts have
boiler concepts, such as those involving two-stage penetrated the market. The application of fluid bed
combustion, but also new pretreatment techniques technology and advanced gas cleaning allows for
such as straw washing. Austria, another leading efficient and clean production of electricity (and
country in deploying biomass-fired CHP, focused on heat) from biomass. On a scale of about 50 to
smaller scale systems on village level, generally 80 MWe, electrical efficiencies of 30 to 40% are
combined with local fuel supply systems. All coun- possible. Finland is on cutting edge of the field with
tries mentioned have colder climates, making CHP development and deployment of BFB and CFB
economically attractive. Furthermore, involvement of boilers with high fuel flexibility, low costs, high
local communities has proven important. Municipa- efficiency, and deployed at large scale. One of the
lities and forest owners are often the owners of the latest plants realized in Finland has a capacity of
CHP-plants. Energy costs of those systems are usually 500 MWe and is co-fired with a portfolio of biomass
somewhat higher. Local societal support is generally fuels, partly supplied by water transport.
strong though, especially due to the employment and Thailand and Malaysia are two countries in Asia
expenditures that benefit the local community. High that are active in deploying state-of-the-art combus-
labor costs also led to high degrees of automation tion technology (typically plants of 20 to 40 MWe)
though, with unmanned operation typical for many for utilizing forest, plantation, and agricultural
of the newer facilities. In Eastern European countries, residues. The potential in the southeast Asian region
district heating is widely deployed (but with little use for such projects is large and fits in the rapid growth
of biomass). Opportunities in Central and Eastern of the electricity demand in the region giving ample
Europe come from the energy system requiring room for investments.
further modernization and replacement of outdated Two large industrial sectors offer excellent oppor-
power (and heat) generating capacity. Retrofitting tunities to use available biomass resources efficiently
and repowering schemes for coal-fired power and and competitively worldwide. Those are the paper
CHP generation capacity allowing for co-combustion and pulp industry and the sugar-industry (particu-
of biomass streams are already successful in various larly the one using sugar cane as feed). Traditionally,
Central and Eastern European countries. In the past those sectors have used biomass residues (wood
5 years or so, in particular Scandinavian companies waste and bagasse) for their internal energy needs,
have become active in this field in the context of which usually implies inefficient conversion to low
joint implementation. Clearly, due to the combina- pressure steam and some power. Plants are usually
tion of available district heating networks and laid out to meet internal power needs only. Older
abundant forest resources, the potential for biomass plants often use process steam to drive steam
Biomass Combustion 189
turbines for direct mechanical drive of equipment Netherlands. Typical technologies deployed are
(such as the sugar mills). Although in general the large-scale (i.e., around 1 Mtonne capacity per plant
power production potential is much larger, most per year) moving grate boilers (which allow mass
plants are not equipped with power generation units burning of very diverse waste properties), low steam
to export a surplus power. This situation is particu- pressures and temperatures (to avoid corrosion), and
larly caused by the absence of regulations that ensure extensive flue gas cleaning. Typical electrical effi-
reasonable electricity tariffs for independent power ciencies are between 15 to over 20%. Mass burning
producers, thus making it unattractive for industries became the key waste-to-energy technology deployed
to invest in more efficient power generation capacity. in Europe, but it is also relatively expensive with
However, liberalization of the energy markets in treatment costs in the range of 50 to 150 Euro/tonne
many countries removed this barrier (or is close to (off-set by tipping fees). Emission standards have a
implementation). Combined with a need to reduce strong impact on the total waste treatments costs. In
production costs and the need for modernization of, the Netherlands, flue gas cleaning equipment repre-
often old, production capacity, this provides a sents about half of the capital costs of a typical waste
window of opportunity for these sectors worldwide. to energy plant. The more advanced BFB and CFB
In the sugar industry, the improved use of bagasse technology may prove to be a more competitive
for energy production in sugar mills has gained some alternative in the short to medium term, because
momentum. In Africa, Asia (e.g., through a World emission profiles are inherently better. On the other
Bank supported project in Indonesia), and Latin hand, more complex pretreatment (e.g., production
America, retrofits have been carried out or are of refuse derived fuel from municipal solid waste,
considered at many mills. Retrofits generally include basically an upgrading step) is required.
the installation of efficient boilers and in some cases
energy efficiency measures in the mills themselves. In
4.5 Co-combustion
combination, such retrofits could easily double the
electricity output of a sugar mill, although projects Co-combustion of biomass, in particular in pulver-
are always site and plant specific. ized coal-fired power plants, is the single largest
Power output and exports can be considerably growing conversion route for biomass in many
increased at low investment costs. As examples, in OECD countries (e.g., in the United States, Scandi-
Nicaragua, electricity production from available navia, Spain, Germany, and the Netherlands, to
bagasse by using improved boilers could meet the name a few). Generally, relatively low co-firing
national electricity demand. Countries like Cuba, shares are deployed with limited consequences for
Brazil, and others offer similar opportunities. The boiler performance and maintenance. For some
other key sector applying biomass combustion for countries, biomass co-firing also serves as a route
power generation is the paper-and-pulp industry. to avoid the need for investing in additional flue gas
Combustion of black liquor, a main residue from the cleaning equipment that would be required by
pulping process containing various chemicals, and, national emission standards for 100% coal firing.
to a lesser extent, wood residues are the key fuels. Because many plants in mentioned countries are
Conventional boilers for combined production of now equipped with some co-firing capacity, interest
power and process steams and recovery of pulping for higher co-firing shares (e.g., up to 40%) is rising.
chemicals (so-called Tomlinson boilers) constitute Technical consequences for feeding lines and boiler
common technology for the paper-and-pulp sector. performance, for example, as well as ash composi-
More advanced boilers or gasification technology tions (ash is generally used and changing character-
(BIG/CC) could offer even further efficiency gains istics can cause problems in established markets) are
and lower costs, such as when applied for converting more severe though and development efforts focus on
black liquor, since recovery of pulping chemicals is those issues. This is a situation where gasification
easier. Generally, the power generation is competitive becomes attractive as co-firing option, since feeding
to grid prices, since the biomass is available anyway. fuel gas avoids many of aforementioned conse-
quences. Two examples of such configurations are
Lahti in Finland (60 MWth gasification capacity for a
4.4 Waste Incineration
200 MWe and 250 MWth CHP plant, using natural
Waste incinerators, combined with very stringent gas, biomass, and other solid fuels) and AmerGas in
emission standards, were widely deployed starting in the Netherlands (over 80 MWth gasification capacity
the 1980s in countries like Germany and the for a 600 MWe coal-fired power station). Power
190 Biomass Combustion
plants capable of firing, for example, natural gas or distinction between combustion and gasification is
coal with various biomass streams, have been built in becoming less relevant, since biomass gasifiers are
Denmark (e.g., the Avedore plant) and Finland with now successfully deployed to deliver fuel gas to
the benefit of gaining economies of scale as well as larger boilers, which are fired with coal or other
reduced fuel supply risks. In Denmark straw is a fuels. Furthermore, the organization and optimiza-
common fuel. The chlorine and alkaline-rich straw tion of the entire fuel supply chain (including
caused problems in conventional combustion systems combining different fuels and biomass pretreatment
through increased corrosion and slagging. In multi- in direct relation to the conversion technology) has
fuel systems, however, straw can be used for raising improvement potential in most current markets.
low-temperature steam, after which the steam is Clearly, new, advanced technologies will replace
superheated by fossil fuels. This approach nearly the older generation combustion technology, both in
eliminates the problems mentioned. domestic and industrial markets. Furthermore, spe-
cific markets (such as those that affect fuels, economic
conditions, and the energy system) require specific
5. FUTURE OUTLOOK AND solutions, and dedicated designs are required to find
CLOSING REMARKS optimal solutions. Another key trend, as described, is
the increasing scale of bioenergy projects and the
To date, the use of biomass for energy production in bioenergy market. The increased availability of
the world (which is considerable with some 45 EJ) is biomass, which is also more expensive, requires
dominated by combustion. In terms of net energy conversion units to be more efficient and reach lower
produced, gasification, pyrolysis, fermentation (for cost. Deploying larger scale conversion units is
ethanol production), extraction (e.g., biodiesel), and therefore a likely continuing trend, which is already
other options play a marginal role. Although various observed in various markets. In addition, advanced
technological options mentioned may have better co-firing systems have a key role to play, also a trend
economic and efficiency perspectives in the long from the 1990s. Increased fuel flexibility, reducing
term, in general, it is likely that biomass combustion supply risks, and allowing for cost minimization while
will have a major role to play for a long time to at the same time allow for gaining economies of scale
come. Currently, biomass combustion is the work- are important pathways for bioenergy as a whole.
horse for biomass as a primary and renewable energy In turn, biomass markets become increasingly
source. Looking ahead, many technological improve- intertwined, and specific national approaches (which
ments can be deployed and it is likely the principle of have led to many innovations over time) may be
technological learning will lead to further improve- replaced by increased international collaboration
ments in energy efficiency, environmental perfor- between countries and companies, resulting in
mance, reliability, and flexibility and economy. products and systems for the world market. Never-
Better stoves in developing countries can have a theless, new and improved technologies in the field of
tremendous positive impact on both efficiency gasification (such as biomass integrated gasification
improvements of wood fuel use as well as improving combined cycle [BIG/CC] technology) and produc-
indoor health quality and resulting improvement of tion of biofuels (such as methanol, fischer-tropsch
health, in particular for women who are generally liquids, and hydrogen, as well as bio-ethanol
responsible for preparing meals and maintaining the production from ligno-cellulosic biomass) have the
household. Simply reducing the need for fuel wood potential over the long term to make the use of (more
collection can save large amounts of time in many expensive and cultivated) biomass competitive or at
situations and adds to increased well-being and least more attractive in efficiency and economic
welfare as well. terms than direct combustion for power and heat.
Possibilities for further improvements of economy, This also implies increased competition among
energy efficiency, emissions, and availability for different options. At this stage, it is likely various
biomass combustion at larger scales include opti- technologies will have their own specific markets and
mized and novel boiler designs lowering emissions, development trajectories for some time to come.
better materials, such as for steam generators and Furthermore, developments in energy systems as a
new power-generation concepts (closed turbine, etc.), whole, like increased deployment of renewables
and Stirling engines. Economies of scale have been (such as wind energy), efficient use of low carbon
discussed as a key development, as well as advanced fuels (natural gas), or CO2 removal and storage can
co-firing concepts. With respect to co-firing, the affect the attractiveness of biomass use for power
Biomass Combustion 191
generation once power production becomes less Faaij, A. (2003). Bio-energy in Europe: Changing technology
carbon intensive. Similar reasoning holds for in- choices. Prepared for a special of the J. Energy Policy on
Renewable Energy in Europe, August.
creased use of biomaterials, which may have the
Faaij, A., van Wijk, A., van Doorn, J., Curvers, A., Waldheim, L.,
combined benefit of saving fossil fuels in production Olsson, E., and Daey-Ouwens, C. (1997). Characteristics and
of reference materials (e.g., plastics from mineral oil availability of biomass waste and residues in the netherlands for
versus bioplastics) and which can be converted to gasification. Biomass and Bioenergy 12(4), 225–240.
energy when turned to waste. Over time, this may Harmelinck, M., Voogt, M., Joosen, S., de Jager, D., Palmers, G.,
shift the attractiveness of applying biomass for heat Shaw, S., and Cremer, C. (2002). ‘‘PRETIR, Implementation of
and power to production of transportation fuels or Renewable Energy in the European Union until 2010.’’ Report
executed within the framework of the ALTENER program of
bio-materials.
the European Commission, DG-TREN. ECOFYS BV, 3E,
Fraunhofer-ISI, Utrecht, The Netherlands, plus various country
reports.
SEE ALSO THE Hillring, B. (2002). Rural development and bioenergy––experi-
FOLLOWING ARTICLES ences from 20 years of development in sweden. Biomass and
Bioenergy 23(6), 443–451.
Hoogwijk, M., Faaij, A., van den Broek, R., Berndes, G., Gielen,
Biodiesel Fuels Biomass, Chemicals from Biomass
D., and Turkenburg, W. Exploration of the ranges of the global
for Renewable Energy and Fuels Biomass Gasifica- potential of biomass for energy. Biomass and Bioenergy 25(2),
tion Biomass: Impact on Carbon Cycle and 119–133.
Greenhouse Gas Emissions Biomass Resource Loo van, S., and Koppejan, J. (eds.). (2002). ‘‘Handbook Biomass
Assessment Combustion and Thermochemistry Combustion and Co-firing.’’ Twente University Press, Enschede,
Peat Resources Renewable Energy, Taxonomic The Netherlands.
Nikolaisen, L., et al. (eds.). (1998). Straw for energy production.
Overview Waste-to-Energy Technology Wood
Centre for Biomass Technology, Denmark, available at
Energy, History of
www.videncenter.dk.
Serup, H., et al. (eds.) (1999). Wood for energy production. Centre
Further Reading for Biomass Technology, Denmark, available at www.
videncenter.dk.
The Bio-energy Agreement of the International Energy Agency
Solantausta, Y., Bridgewater, T., and Beckman, D. (1996).
Web site, found at www.ieabioenergy.com, and more specifi-
‘‘Electricity Production by Advanced Biomass Power Systems.’’
cally the Task on Biomass Combustion and Co-firing, found at
www.ieabioenergy-task32.com. VTT Technical Research Centre of Finland, Espoo, Finland
Broek, R. van den, Faaij, A., and van Wijk, A. (1996). Biomass (report no. 1729).
combustion for power generation. Biomass & Bioenergy 11(4), Turkenburg, W. C., and Faaij, A., et al. (2001). Renewable energy
271–281. technologies. ‘‘World Energy Assessment of the United Na-
Dornburg, V., and Faaij, A. (2001). Efficiency and economy of tions,’’ UNDP, UNDESA/WEC, Chapter 7, September. UNDP,
wood-fired biomass energy systems in relation to scale New York.
regarding heat and power generation using combustion and U.S. Department of Energy, Office of Utility Technologies (1998).
gasification technologies. Biomass & Bioenergy Vol. 21(2), ‘‘Renewable Energy Technology Characterizations.’’ Washing-
91–108. ton, DC, January.
Biomass for Renewable Energy
and Fuels
DONALD L. KLASS
Entech International, Inc.
Barrington, Illinois, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 193
194 Biomass for Renewable Energy and Fuels
and is depicted by the following equation: a carbon-fixing apparatus and a continuous source of
CO2 þ H2 O þ light þ chlorophyll- high-energy organic products without being con-
sumed in the process. Other biomass species, such as
ðCH2 OÞ þ O2 : ð1Þ
the herbaceous guayule bush (Parthenium argenta-
Carbohydrate, represented by the building block tum) and the gopher plant (Euphorbia lathyris),
(CH2O), is the primary organic product. For each produce hydrocarbons too, but must be harvested to
gram mole of carbon fixed, about 470 kJ (112 kcal) recover them. Conceptually, Fig. 1 shows that there
is absorbed. are several pathways by which energy products and
The upper limit of the capture efficiency of the synthetic fuels can be manufactured.
incident solar radiation in biomass has been esti- Another approach to the development of fixed
mated to range from about 8% to as high as 15%, carbon supplies from renewable carbon resources is
but under most conditions in the field, it is generally to convert CO2 outside the biomass species to
less than 2% as shown in Table I. This table also lists synthetic fuels and organic intermediates. The
the average annual yields on a dry basis and the ambient air, which contains about 360 ppm by
average insolation that produced these yields for a volume of CO2, the dissolved CO2 and carbonates
few representative biomass species. in the oceans, and the earth’s large carbonate
The global energy potential of virgin biomass is deposits, could serve as renewable carbon resources.
very large. It is estimated that the world’s standing But since CO2 is the final oxidation state of fixed
terrestrial biomass carbon (i.e., the renewable, carbon, it contains no chemical energy. Energy must
above-ground biomass that could be harvested and be supplied in a chemical reduction step. A con-
used as an energy resource) is approximately 100 venient method of supplying the required energy and
times the world’s total annual energy consumption. of simultaneously reducing the oxidation state is to
The largest source of standing terrestrial biomass reduce CO2 with hydrogen. The end product, for
carbon is forest biomass, which contains about 80 to example, can be methane (CH4), the dominant
90% of the total biomass carbon (Table II). Interest- component in natural gas and the simplest hydro-
ingly, marine biomass carbon is projected to be next carbon known, or other organic compounds. With
after the forest biomass carbon in terms of net annual all components in the ideal gas state, the standard
production, but is last in terms of availability because
of its high turnover rates in an oceanic environment. CO2 þ 4H2 -CH4 þ H2 O ð2Þ
The main features of how biomass is used as a
source of energy and fuels are schematically illu- enthalpy of the process is exothermic by 165 EJ
strated in Fig. 1. Conventionally, biomass is har- (39.4 kcal) per gram mole of methane formed.
vested for feed, food, fiber, and materials of Biomass can also serve as the original source of
construction or is left in the growth areas where hydrogen via partial oxidation or steam reforming to
natural decomposition occurs. The decomposing yield an intermediate hydrogen-containing product
biomass or the waste products from the harvesting gas. Hydrogen would then effectively act as an
and processing of biomass, if disposed on or in land, energy carrier from the biomass to CO2 to yield a
can in theory be partially recovered after a long substitute or synthetic natural gas (SNG). The
period of time as fossil fuels. This is indicated by the production of other synthetic organic fuels can be
dashed lines in the figure. The energy content of carried out in a similar manner. For example,
biomass could be diverted instead to direct heating synthesis gas (syngas) is a mixture of hydrogen and
applications by collection and combustion. Alterna- carbon oxides. It can be produced by biomass
tively, biomass and any wastes that result from its gasification processes for subsequent conversion to
processing or consumption could be converted a wide range of chemicals and fuels as illustrated in
directly into synthetic organic fuels if suitable Fig. 2. Other renewable sources of hydrogen can also
conversion processes were available. Another route be utilized. These include continuous water splitting
to energy products is to grow certain species of by electrochemical, biochemical, thermochemical,
biomass such as the rubber tree (Hevea braziliensis), microbial, photolytic, and biophotolytic processes.
in which high-energy hydrocarbons are formed The basic concept then of using biomass as a
within the species by natural biochemical mechan- renewable energy resource consists of the capture of
isms, or the Chinese tallow tree (Sapium sebiferum), solar energy and carbon from ambient CO2 in
which affords high-energy triglycerides in a similar growing biomass, which is converted to other fuels
manner. In these cases, biomass serves the dual role of (biofuels, synfuels, hydrogen) or is used directly as a
Biomass for Renewable Energy and Fuels 195
TABLE I
Examples of Biomass Productivity and Estimated Solar Energy Capture Efficiency
Note. Insolation capture efficiency calculated by author from dry matter yield data of Berguson, W., et al. (1990). ‘‘Energy from biomass
and Wastes XIII’’ (Donald L. Klass, Ed.). Institute of Gas Technology, Chicago; Bransby, D. I., and Sladden, S. E. (1991). ‘‘Energy from
Biomass and Wastes XV’’ (Donald L. Klass, Ed.). Institute of Gas Technology, Chicago; Burlew, J. S. (1953). ‘‘Algae Culture from Laboratory
to Pilot Plant,’’ Publication 600. Carnegie Institute of Washington, Washington, DC; Cooper, J. P. (1970). ‘‘Herb.’’ Abstr. m, 40, 1; Lipinsky,
E. S. (1978). ‘‘Second Annual Fuels from Biomass Symposium’’ (W. W. Shuster, Ed.), p. 109. Rensselaer Polytechnic Institute, Troy, New
York; Loomis, R. S., and Williams, W. A. (1963). Crop. Sci. 3, 63; Loomis, R. S., Williams, W. A., and Hall, A. E. (1971). Ann. Rev. Plant
Physiol. 22, 431; Rodin, I. E., and Brazilevich, N. I. (1967). ‘‘Production and Mineral Cycling in Terrestrial Vegetation.’’ Oliver & Boyd,
Edinburgh, Scotland; Sachs, R. M., et al. (1981). Calif. Agric. 29, July/August; Sanderson, M. A., et al. (1995). ‘‘Second Biomass Conference
of the Americas,’’ pp. 253–260. National Renewable Energy Laboratory, Golden, CO; Schneider, T. R. (1973). Energy Convers. 13, 77; and
Westlake, D. F. (1963). Biol. Rev. 38, 385.
source of thermal energy or is converted to chemicals biomass energy usage began to decrease as fossil fuels
or chemical intermediates. became the preferred energy resources. Since the First
The idea of using renewable biomass as a Oil Shock of 1973–1974, the commercial utilization
substitute for fossil fuels is not new. In the mid- of biomass energy and fuels has increased slowly but
1800s, biomass, principally woody biomass, supplied steadily. The contribution of biomass energy to U.S.
over 90% of U.S. energy and fuel needs, after which energy consumption in the late 1970s was more than
196 Biomass for Renewable Energy and Fuels
TABLE II
Estimated Distribution of World’s Biomass Carbon
Forests Savanna and grasslands Swamp and marsh Remaining terrestrial Marine
Note. Adapted from Table 2.2 in Klass, D. L. (1998). ‘‘Biomass for Renewable Energy, Fuels, and Chemicals.’’ Academic Press, San
Diego, CA.
Sun
CO2 in atmosphere
Combustion Combustion
Photosynthesis
Fossilization
and recovery Harvesting Conversion
TABLE V
Total Energy Consumption and Biomass’ Share of Total Consumption for 133 Countries in 2000
continues
Biomass for Renewable Energy and Fuels 199
Table V continued
continues
200 Biomass for Renewable Energy and Fuels
Table V continued
continues
Biomass for Renewable Energy and Fuels 201
Table V continued
Note. Total energy consumption in Mtoe for each country listed was compiled by the International Energy Agency (2002). IEA’s data for
total energy consumption were converted to EJ/year (for 2000) in this table using a multiplier of 0.043412. The multiplier for converting EJ/
year to Mboe/day is 0.4482 106. For each country, the IEA reported the total share of renewables as a percentage of the total consumption
and as a percentage of the total consumption excluding combustible renewables and waste (CRW). Since CRW is defined to contain 97%
commercial and noncommercial biomass, the percentage share of biomass for each country listed here is calculated as the difference between
the percentage of total consumption and the percentage of CRW.
TABLE VI
Total Energy Consumption, Total Biomass Energy Consumption, and Biomass Energy Consumption by Biomass Resource in EJ/Year for
United States and Top 10 Energy-Consuming Countries
Note. The energy consumption data for each country listed here were adapted from the International Energy Agency (2002). The data
presented in Mtoe were converted to EJ/year using a multiplier of 0.043412. The data for those countries marked with an asterisk are for
1999; the remaining data are for 2000. Data reported as ‘‘0’’ by the IEA are shown in the table (see text). The sum of the energy consumption
figures for the biomass resources may not correspond to total biomass energy consumption because of rounding and other factors (see text).
The nomenclature used here is IEA’s, as follows: biomass consists of solid biomass and animal products, gas/liquids from biomass, industrial
waste, and municipal waste any plant matter that is used directly as fuel or converted into fuel, such as charcoal, or to electricity or heat.
Renewable MSW consists of the renewable portion of municipal solid waste, including hospital waste, that is directly converted to heat or
power. Industrial waste consists of solid and liquid products such as tires, that are not reported in the category of solid biomass and animal
products. Primary biomass solids consists of any plant matter used directly as fuel or converted into other forms before combustion, such as
feedstock for charcoal production. This latter category includes wood, vegetal waste including wood wastes and crops used for energy
production. Biogas consists of product fuel gas from the anaerobic digestion of biomass and soild wastes—including landfill gas, sewage gas,
and gas from animal wastes—that is combusted to produce heat or power. Liquid biomass includes products such as ethanol.
sight. Irreversible shortages of these fossil fuels are natural gas reserves and five times the proved
expected to occur before the middle of the 21st reserves versus year as shown in Fig. 3. Presuming
century because their proved reserves have been this model provides results that are more valid over
projected to be insufficient to meet demands at that the long term than reserves-to-consumption ratios,
time. Supply disruptions are expected to start first the trend in the curves indicates that shortages of
with natural gas. This is illustrated by using a natural gas would be expected to occur in the early
reserves availability model to plot global proved years of the 21st century and then begin to cause
202 Biomass for Renewable Energy and Fuels
TABLE VII
Total Electricity Generation, Total Biomass-Based Electricity Generation, and Biomass-Based Electricity Generation by Biomass Resource
in TWh/Year for United States and Top 10 Energy-Consuming Countries
Country Total Total biomass Renewable MSW Industrial wastes Primary biomass solids Biogas
Note: The electricity generation data for each country listed here were adapted from the International Energy Agency (2002). The data
for those countries marked with an asterisk are for 1999; the remaining data are for 2000. Data reported as ‘‘0’’ by the IEA are shown in the
table (see text). The data compiled by the IEA is defined as ‘‘electricity output.’’ The sum of the electricity generation figures for the biomass
resources may not correspond to total biomass electricity generation because of rounding and other factors (see text). The nomenclature used
here is IEA’s, as follows: biomass consists of solid biomass and animal products, gas/liquids from biomass, industrial waste and municipal
waste, and any plant matter that is used directly as fuel or converted into fuel, such as charcoal, or to electricity or heat. Renewable MSW
consists of the renewable portion of municipal solid waste, including hospital waste, that is directly converted to heat or power. Industrial
waste consists of solid and liquid products, such as tires, that are not reported in the category of solid biomass and animal products. Primary
biomass solids consists of any plant matter used directly as fuel or converted into other forms before combustion, such as feedstock for
charcoal production. This latter category includes wood, vegetal waste including wood wastes and crops used for energy production. Biogas
consists of product fuel gas from the anaerobic digestion of biomass and soild wastes—including landfill gas, sewage gas, and gas from
animal wastes—that is combusted to produce heat or power. Liquid biomass includes products such as ethanol.
10
20
30
40
50
60
70
80
90
00
20
20
20
20
20
20
20
20
20
20
21
TABLE VIII
Organic Components and Ash in Representative Biomass
Biomass type Marine Fresh water Herbaceous Woody Woody Woody Waste
Name Giant brown kelp Water hyacinth Bermuda grass Poplar Sycamore Pine RDF
Component (dry wt %)
Celluloses 4.8 16.2 31.7 41.3 44.7 40.4 65.6
Hemicelluloses 55.5 40.2 32.9 29.4 24.9 11.2
Lignins 6.1 4.1 25.6 25.5 34.5 3.1
Mannitol 18.7
Algin 14.2
Laminarin 0.7
Fucoidin 0.2
Crude protein 15.9 12.3 12.3 2.1 1.7 0.7 3.5
Ash 45.8 22.4 5.0 1.0 0.8 0.5 16.7
Total 100.3 112.5 93.3 102.9 102.1 101.0 100.1
Note. All analyses were performed by the Institute of Gas Technology (Gas Technology Institute). The crude protein content is estimated
by multiplying the nitrogen value by 6.25. RDF is refuse-derived fuel (i.e., the combustible fraction of municipal solid waste).
fall within a narrow range. The energy value of a bon diesel fuels having cetane numbers of about 80
sample can be estimated from the carbon and to 95 by catalytic hydrogenation; the tapping of
moisture analyses without actual measurement of certain species of tropical trees to obtain liquid
the heating values in a calorimeter. Manipulation of hydrocarbons suitable for use as diesel fuel without
the data leads to a simple equation for calculating the having to harvest the tree; and the extraction of
higher heating value of biomass samples and also of terpene hydrocarbons from coniferous trees for
coal and peat samples. One equation that has been conversion to chemicals. A multitude of processes
found to be reasonably accurate is thus exists that can be employed to obtain energy,
Higher heating value in MJ=dry kg fuels, and chemicals from biomass. Many of the
processes are suitable for either direct conversion of
¼ 0:4571 ð%C on dry basisÞ 2:70: ð3Þ biomass or conversion of intermediates. The pro-
cesses are sufficiently variable so that liquid and
gaseous fuels can be produced that are identical to
2. BIOMASS CONVERSION those obtained from fossil feedstocks, or are not
identical but are suitable as fossil fuel substitutes. It is
TECHNOLOGIES important to emphasize that virtually all of the fuels
and commodity chemicals manufactured from fossil
2.1 Processes
fuels can be manufactured from biomass feedstocks.
The technologies include a large variety of thermal Indeed, several of the processes used in a petroleum
and thermochemical processes for converting bio- refinery for the manufacture of refined products and
mass by combustion, gasification, and liquefaction, petrochemicals can be utilized in a biorefinery with
and the microbial conversion of biomass to obtain biomass feedstocks. Note also that selected biomass
gaseous and liquid fuels by fermentative methods. feedstocks are utilized for conversion to many
Examples of the former are wood-fueled power specialty chemicals, pharmaceuticals, natural poly-
plants in which wood and wood wastes are mers, and other higher value products.
combusted for the production of steam, which is
passed through a steam turbine to generate electri-
2.2 Integrated Biomass Production-
city; the gasification of rice hulls by partial oxidation
Conversion Systems
to yield a low-energy-value fuel gas, which drives a
gas turbine to generate electric power, and finely The energy potential of waste biomass, although of
divided silica coproduct for sale; the rapid pyrolysis significant importance for combined waste disposal,
or thermal decomposition of wood and wood wastes energy-recovery applications, is relatively small
to yield liquid fuel oils and chemicals; and the compared to the role that virgin biomass has as an
hydrofining of tall oils from wood pulping, vegetable energy resource. The key to the large-scale produc-
oils, and waste cooking fats to obtain high-cetane tion of energy, fuels, and commodity chemicals from
diesel fuels and diesel fuel additives. Examples of biomass is to grow suitable virgin biomass species in
microbial conversion are the anaerobic digestion of an integrated biomass-production conversion system
biosolids to yield a relatively high-methane-content (IBPCS) at costs that enable the overall system to be
biogas of medium energy value and the alcoholic operated at a profit. Multiple feedstocks, including
fermentation of corn to obtain fuel ethanol for use as combined biomassfossil feedstocks and waste
an oxygenate and an octane-enhancing additive in biomass, may be employed. Feedstock supply, or
motor gasolines. supplies in the case of a system that converts two or
Another route to liquid fuels and products is to more feedstocks, is coordinated with the availability
grow certain species of biomass that serve the dual factor (operating time) of the conversion plants.
role of a carbon-fixing apparatus and a natural Since growing seasons vary with geographic location
producer of high-energy products such as triglycer- and biomass species, provision is made for feedstock
ides or hydrocarbons. Examples are soybean, from storage to maintain sufficient supplies to sustain
which triglyceride oil coproducts are extracted and plant operating schedules.
converted to biodiesel fuels, which are the transes- The proper design of an IBPCS requires the
terified methyl or ethyl esters of the fatty acid coordination of numerous operations such as bio-
moieties of the triglycerides having cetane numbers mass planting, growth management, harvesting,
of about 50, or the triglycerides are directly storage, retrieval, transport to conversion plants,
converted to high-cetane value paraffinic hydrocar- drying, conversion to products, emissions control,
Biomass for Renewable Energy and Fuels 205
product separation, recycling, wastewater and waste formed. The total annual methanol production is
solids treatment and disposal, maintenance, and then approximately 1.237 billion liters/year (327
transmission or transport of salable products to million gallons/year). Fifty-four IBPCSs of this size
market. The design details of the IBPCS depend on are required to yield 1.0 quad of salable methanol
the feedstocks involved and the type, size, number, energy per year, and the total growth area required is
and location of biomass growth and processing areas 3,771,400 ha (14,561 square miles), or a square area
needed. It is evident that a multitude or parameters 194.2 km (120.7 miles) on each edge. Again ex-
are involved. In the idealized case, the conversion clusive of infrastructure and assuming the conversion
plants are located in or near the biomass growth facilities are all centrally located, the growth area is
areas to minimize the cost of transporting biomass to circumscribed by a radial distance of 101.4 km (68.1
the plants, all the nonfuel effluents of which are miles) from the plants.
recycled to the growth areas (Fig. 4). If this kind of This simplistic analysis shows that the growth
plantation can be implemented in the field, it would areas required to supply quad blocks of energy and
be equivalent to an isolated system with inputs of fuels would be very large when compared with
solar radiation, air, CO2, and minimal water; the conventional agricultural practice, but that 10,000-
outputs consist of the product slate. The nutrients are boe/day systems are not quite so large when
kept within the ideal system so that addition of compared with traditional, sustainable wood har-
external fertilizers and chemicals is not necessary. vesting operations in the forest products industry.
Also, the environmental controls and waste disposal The analysis suggests that smaller, localized IBPCSs
problems are minimized. in or near market areas will be preferred because of
It is important to understand the general char- logistics and product freight costs, and multiple
acteristics of IBPCSs and what is required to sustain feedstocks and products will have advantages for
their operation. Consider an IBPCS that produces certain multiproduct slates. For example, commer-
salable energy products at a rate of 10,000 boe/day cial methanol synthesis is performed mainly with
from virgin biomass. This is a small output relative to natural gas feedstocks via synthesis gas. Synthesis gas
most petroleum refineries, but it is not small for an from biomass gasification used as cofeedstock in an
IBPCS. Assume that the plant operates at an existing natural gas-to-methanol plant can utilize the
availability of 330 day/year at an overall thermal excess hydrogen produced on steam reforming
efficiency of converting feedstock to salable energy natural gas. Examination of hypothetical hybrid
products of 60%, a reasonable value for established methanol plants shows that they have significant
thermochemical conversion technologies. Equivalent benefits such as higher methanol yields and reduced
biomass feedstock of average energy content of natural gas consumption for the same production
18.60 GJ/dry tonne would have to be provided at capacity.
the plant gate to sustain conversion operations at a Sustainable virgin biomass production at opti-
rate of 5291 dry tonne/day, or a total of 1,746,000 mum economic yields is a primary factor in the
dry tonne/year. This amount of feedstock, at an successful operation of IBPCSs. Methodologies such
average biomass yield of 25 dry tonne/ha-year, as no-till agriculture and short-rotation woody crop
requires a biomass growth area of 69,840 ha (270 (SWRC) growth have been evaluated and are being
square miles), or a square area 26.4 km (16.4 miles) developed for biomass energy and combined bio-
on each edge. For purposes of estimation, assume the mass energy-coproduct applications. Most of the
product is methanol and that no coproducts are IBPCSs that have been proposed are site specific—
that is, they are designed for one or more biomass
species, in the case of a multicropping system, for
Water-nutrient
recycle
specific regions. Field trials of small IBPCSs or
modules of IBPCSs are in progress in the United
Light States, but no full-scale systems have yet been built.
CO2 Biomass
growth
Harvested biomass Synfuel Synfuel Some of the large, commercial forestry operations
Air transport production
H2O
area for tree growth, harvesting, and transport to the
mills can be considered to be analogous in many
Internal
respects to the biomass production phase of mana-
For sale
needs ged IBPCSs. The growth, harvesting, and transport
FIGURE 4 Idealized biomass growth and manufacturing of corn to fermentation plants for fuel ethanol
system. From Klass (1998). manufacture in the U.S. Corn Belt is perhaps the
206 Biomass for Renewable Energy and Fuels
closest commercial analog to an IBPCS in the United which total U.S. gasohol production was about 61.7
States. Most of the other large IBPCSs that have billion liters (16.3 billion gallons) if it is assumed that
been announced for operation outside the United all domestically produced fuel ethanol from biomass
States are either conceptual in nature or have not feedstocks in 2000, 6.17 billion liters (1.63 billion
been fully implemented. gallons), was blended with motor gasolines as
The historical development of IBPCSs shows that gasohol. MTBE has been a major competitor of fuel
large-scale biomass energy plantations must be ethanol as an oxygenate and octane-improving
planned extremely carefully and installed in a logical additive for unleaded gasolines since the phase-out
scale-up sequence. Otherwise, design errors and of leaded gasolines began in the 1970s and 1980s.
operating problems can result in immense losses and Without reviewing the detailed reasons for it other
can be difficult and costly to correct after construc- than to state that leakage from underground storage
tion of the system is completed and operations have tanks containing MTBE-gasoline blends has polluted
begun. It is also evident that even if the system is underground potable water supplies, federal legisla-
properly designed, its integrated operation can have a tion is pending that would eliminate all MTBE usage
relatively long lag phase, particularly for tree planta- in gasolines and establish a renewables energy
tions, before returns on investment are realized. The mandate in place of an oxygenate mandate. The
financial arrangements are obviously critical and provisions of this mandate are expected to include
must take these factors into consideration. the tripling of fuel ethanol production from biomass
by 2012. MTBE would be prohibited from use in
motor gasoline blends in all states within a few years
3. COMMERCIAL BIOMASS ENERGY after enactment of the legislation. If the mandate
does not become federal law, the replacement of
MARKETS AND ECONOMICS
MTBE by fuel ethanol is still expected to occur
because many states have already announced plans
3.1 Some Examples
to prohibit MTBE usage. Other states are exploring
The United States only has about 5% of the world’s the benefits and logistics of removing it from
population, but is responsible for about one-quarter commercial U.S. gasoline markets.
of total global primary energy demand. The markets The cost of fermentation ethanol as a gasoline
for biomass energy in the United States are therefore additive has been reduced at the pump by several
already established. They are large, widespread, and federal and state tax incentives. The largest is the
readily available as long as the end-use economics are partial exemption of $0.053/gallon for gasohol-type
competitive. blends ($0.53/gallon of fuel ethanol), out of a federal
To cite one example, petroleum crude oils have excise gasoline tax of $0.184/gallon, and a small
been the single largest source of transportation fuels ethanol producers tax credit of $0.10/gallon. The
since the early 1900s in the United States. Because of purpose of these incentives is to make fermentation
undesirable emissions from conventional hydrocarbon ethanol-gasoline blends more cost competitive. With-
fuels, the U.S. Clean Air Act Amendments of 1990 out them, it is probable that the market for fuel
included a requirement for dissolved oxygen levels in ethanol would not have grown as it has since it was
unleaded gasoline of at least 2.7 weight percent during re-introduced in 1979 in the United States as a
the four winter months for 39 so-called nonattain- motor fuel component. With corn at market prices of
ment areas. The Act also required a minimum of 2.0 $2.00 to $2.70/bushel, its approximate price range
weight percent dissolved oxygen in reformulated from 1999 to 2002, the feedstock alone contributed
gasoline in the nine worst ozone nonattainment areas 20.3 to 27.4 cents/liter ($0.769 to $1.038/gallon) to
year-round. The largest commercial oxygenates for the cost of ethanol without coproduct credits. In
gasolines in the United States have been fermentation 1995–1996, when the market price of corn was as
ethanol, mainly from corn, and MTBE, which is high as $5.00/bushel, many small ethanol producers
manufactured from petroleum and natural gas feed- had to close their plants because they could not
stocks. Oxygenated gasolines are cleaner burning than operate at a profit.
nonoxygenated gasolines, and the oxygenates also An intensive research effort has been in progress in
serve as a replacement for lead additives by enhancing the United States since the early 1970s to improve the
octane value in gasoline blends. economics of manufacturing fermentation ethanol
U.S. motor gasoline production was about 473 using low-grade, and sometimes negative-cost feed-
billion liters (125 billion gallons) in 2000, during stocks such as wood wastes and RDF, instead of corn
Biomass for Renewable Energy and Fuels 207
and other higher value biomass feedstocks. Signifi- usage and reduce greenhouse gas emissions from
cant process improvements, such as large reductions diesel-fueled vehicles.
in process energy consumption, have been made Still another example of the commercial applica-
during this research, but the target production cost of tion of biomass energy is its use for the generation of
$0.16/liter ($0.60/gallon) has not yet been attained. electricity. U.S. tax incentives have been provided to
It is believed by some that fuel ethanol production stimulate and encourage the construction and opera-
will exhibit even larger increases than those man- tion of biomass-fueled power generation systems.
dated by legislation, possibly without the necessity Most of them are operated by independent power
for tax incentives, when this target is attained. producers or industrial facilities, not utilities. The
Some cost estimates indicate that fuel ethanol as installed, nonutility electric generation capacity
well as the lower molecular weight C3 to C6 alcohols fueled with renewables in the United States and the
and mixtures can be manufactured by thermochemi- utility purchases of electricity from nonutilities
cal non-fermentative processing of a wide range of generated from renewable resources including bio-
waste biomass feedstocks at production costs as low mass in 1995 by source, capacity, and purchases are
as 25 to 50% the cost of fermentation ethanol from shown in Table X. Note that the sums of the
corn. The C3 þ alcohols and mixtures with ethanol biomass-based capacities—wood and wood wastes,
also have other advantages compared to ethanol in MSW and landfills, and other biomass—and pur-
gasoline blends. Their energy contents are closer to chases are about 43% and 57% of the totals from all
those of gasoline; their octane blending values are renewable energy resources.
higher; the compatibility and miscibility problems Unfortunately, several of the federal tax incentives
with gasolines are small to nil; excessive Reid vapor enacted into law to stimulate commercial power
pressures and volatility problems are less or do not generation from biomass energy have expired or the
occur; and they have higher water tolerance in qualifying conditions are difficult to satisfy. In 2002,
gasoline blends, which facilitates their transport in there were no virgin biomass species that were
petroleum pipelines without splash blending. Splash routinely grown as dedicated energy crops in the
blending near the point of distribution is necessary United States for generating electricity. There are
for fuel ethanol-gasoline blends. many small to moderate size power plants, however,
Another example of a commercial biomass-based that are fueled with waste biomass or waste biomass-
motor fuel is biodiesel fuel. It is utilized both as a fossil fuel blends throughout the United States. These
cetane-improving additive and a fuel component in plants are often able to take credits such as the
diesel fuel blends, and as a diesel fuel alone. Biodiesel tipping fees for accepting MSW and RDF for disposal
is manufactured from the triglycerides obtained from via power plants that use combustion or gasification
oil seeds and vegetable oils by transesterifying them as the means of energy recovery and disposal of these
with methanol or ethanol. Each ester is expected to wastes, the federal Section 29 tax credit for the
qualify for the same renewable excise tax exemption
incentive on an equal volume basis as fuel ethanol TABLE X
from biomass in the United States. Unfortunately, the Installed U.S. Nonutility Electric Generation Capacity from
availability of biodiesel is limited. The main reason Renewable Energy Resources and Purchases of Electricity by
for the slow commercial development of biodiesel is Utilities from Nonutilities by Resource in 1995
the high production cost of $75 to $150/barrel
caused mainly by the relatively low triglyceride yields Renewable resource Capacity (GW) Purchases (TWh)
per unit growth area, compared to the cost of Wood and wood wastes 7.053 9.6
conventional diesel fuel from petroleum crude oils. Conventional hydro 3.419 7.5
In Europe, where the costs of motor fuels MSW and landfills 3.063 15.3
including diesel fuel are still significantly higher than Wind 1.670 2.9
those in the United States, the commercial scale-up of Geothermal 1.346 8.4
biodiesel, primarily the esters from the transester- Solar 0.354 0.8
ification of rape seed triglycerides, has fared much Other biomass 0.267 1.5
better. Production is targeted at 2.3 million tonnes Total 17.172 46.0
(5.23 billion liters, 1.38 billion gallons) in 2003, and
8.3 million tonnes (18.87 billion liters, 4.98 billion Note. Adapted from Energy Information Administration
gallons) in 2010. Several European countries have (1999). Renewable Energy 1998: Issues and Trends, DOE/EIA-
established zero duty rates on biodiesel to increase 0628(98), March, Washington, DC.
208 Biomass for Renewable Energy and Fuels
(100 million gallons) per year of new ethanol forest fires that have become commonplace in the
production to supply gasohol to 45% of Wisconsin’s dryer climates, particularly in the western states.
automobiles. This scenario generated about three Because of the multitude of organic residues and
times more jobs, earnings, and sales in Wisconsin biomass species available, and the many different
than the same level of imported fossil fuel usage and processing combinations that yield solid, liquid, and
investment and was equivalent to 62,234 more job- gaseous fuels, and heat, steam, and electric power,
years of net employment, $1.2 billion in higher the selection of the best feedstocks and conversion
wages, and $4.6 billion in additional output. Over technologies for specific applications is extremely
the operating life of the technologies analyzed, about important. Many factors must be examined in depth
$2 billion in avoided payments for imported fuels to choose and develop systems that are technically
would remain in Wisconsin to pay for the state- feasible, economically and energetically practical,
supplied renewable resources, labor, and technolo- and environmentally superior. These factors are
gies. Wood, corn, and waste biomass contributed especially significant for large-scale biomass energy
47% of the increase in net employment. plantations where continuity of operation and energy
Nationwide, the projected economic impacts of and fuel production are paramount. But major
biomass energy development are substantial. In barriers must be overcome to permit biomass energy
2001, with petroleum crude oil imports at about to have a large role in displacing fossil fuels.
9.33 million barrels/day, consumption of biomass Among these barriers are the development of
energy and fuels corresponds to the displacement of large-scale energy plantations that can supply sus-
1.64 Mboe/day, or 17.6% of the total daily imports. tainable amounts of low-cost feedstocks; the risks
This effectively reduces expenditures for imported involved in designing, building, and operating large
oil, and beneficially impacts the U.S. trade deficit. IBPCSs capable of producing quad blocks of energy
Since agricultural crops and woody biomass as well and fuels at competitive prices; unacceptable returns
as industrial and municipal wastes are continuously on investment and the difficulties encountered in
available throughout the United States, biomass also obtaining financing for first-of-a-kind IBPCSs; and
provides a strategic and distributed network of the development of nationwide biomass energy
renewable energy supplies throughout the country distribution systems that simplify consumer access
that improve national energy security. and ease of use. These and other barriers must
Conservatively, the energy and fuels available in ultimately be addressed if any government decides to
the United States for commercial markets on a institute policies to establish large-scale biomass
sustainable basis from virgin and waste biomass energy markets.
has been variously estimated to range up to about 15 Without IBPCSs, biomass energy will be limited to
quad per year, while the energy potentially available niche markets for many years until oil or natural gas
each year has been estimated to be as high as 40 depletion starts to occur. The initiation of depletion
quad. This is made up of 25 quad from wood and of these nonrenewable resources may in fact turn out
wood wastes and 15 quad from herbaceous biomass to cause the Third Oil Shock in the 21st century.
and agricultural residues. Utilization of excess
capacity croplands of up to 64.8 million hectares
(160 million acres) estimated to be available now for 4. ENVIRONMENTAL IMPACTS
the growth of agricultural energy crops could open
the way to new food, feed, and fuel flexibility by Several environmental impacts are directly related to
providing more stability to market prices, by creating biomass energy production and consumption. The
new markets for the agricultural sector, and by first is obviously the environmental benefit of
reducing federal farm subsidy payments. Based on displacing fossil fuel usage and a reduction in any
the parameters previously described for one-quad adverse environmental impacts that are caused by
IBPCSs, this acreage is capable of producing about fossil fuel consumption. In addition, the use of a
17 quad of salable energy products from herbaceous fossil fuel and biomass together in certain applica-
feedstocks each year. Other opportunities to develop tions, such as electric power generation with coal and
large IBPCSs exist in the United States using federally wood or coal and RDF in dual-fuel combustion or
owned forest lands. Such IBPCSs would be designed cocombustion plants, can result in reduction of
for sustainable operations with feedstocks of both undesirable emissions. The substitution of fossil fuels
virgin and waste wood resources such as thinnings, and their derivatives by biomass and biofuels also
the removal of which would also reduce large-scale helps to conserve depletable fossil fuels.
210 Biomass for Renewable Energy and Fuels
Another beneficial environmental impact results biomass for use as dedicated energy crops. By
from the combined application of waste biomass definition, sustainable, biomass energy plantations
disposal and energy recovery technologies. Examples are designed so that the biomass harvested for
are biogas recovery from the treatment of biosolids conversion to energy or fuels is replaced by new
in municipal wastewater treatment plants by anae- biomass growth. If more biomass is harvested than is
robic digestion, LFG recovery from MSW landfills, grown, the system is obviously not capable of
which is equivalent to combining anaerobic digestion continued operation as an energy plantation.
of waste biomass and LFG ‘‘mining,’’ and the Furthermore, the environmental impact of such
conversion of MSW, refuse-derived fuel (RDF), and systems can be negative because the amount of
farm, forestry, and certain industrial wastes, such as CO2 removed from the atmosphere by photosynth-
black liquor generated by the paper industry, to esis of biomass is then less that that needed to
produce heat, steam, or electric power. Resource balance the amount of biomass carbon removed from
conservation and environmental benefits certainly the plantation. In this case, virgin biomass is not
accrue from such applications. renewable; its use as a fuel results in a net gain in
Another environmental impact is more complex. atmospheric CO2. Energy plantations must be
It concerns the growth and harvesting of virgin designed and operated to avoid net CO2 emissions
TABLE XI
Estimated Annual Global Carbon Dioxide and Carbon Exchanges with the Atmosphere
Terrestrial
Cement production 0.51 0.14
Other industrial processes 0.47 0.13
Human respiration 1.67 0.46
Animal respiration 3.34 0.91
Methane emissions equivalents 1.69 0.46
Natural gas consumption 3.98 1.09
Oil consumption 10.21 2.79
Coal consumption 8.15 2.22
Biomass burning 14.3 3.90
Gross biomass photosynthesis 388 106
Biomass respiration 194 53
Soil respiration and decay 194 53
Total terrestrial 432 388 118 106
Oceans
Gross biomass photosynthesis 180 49
Biomass respiration 90 25
Physical exchange 275 202 75 55
Total oceans 365 382 100 104
Note. The fossil fuel, human, and animal emissions were estimated by Klass (1998). Most of the other exchanges are derived from
exchanges in the literature or they are based on assumptions that have generally been used by climatologists. It was assumed that 50% of the
terrestrial biomass carbon fixed by photosynthesis is respired and that an equal amount is emitted by the soil. The total uptake and emission
of carbon dioxide by the oceans were assumed to be 104 and 100 Gt C/year (Houghton, R. A., and Woodwell, G. M. (1989). Sci. Am.
260(4), 36) and biomass respiration was assumed to emit 50% of the carbon fixed by photosynthesis. The carbon dioxide emissions from
cement production and other industrial processes are process emissions that exclude energy-related emissions; they are included in the fossil
fuel consumption figures.
Biomass for Renewable Energy and Fuels 211
to the atmosphere. A few biomass plantations are sinks for atmospheric CO2—terrestrial biota and the
now operated strictly to offset the CO2 emissions oceans—is obvious. No other large sinks have been
from fossil-fired power plants, particularly those identified.
operated on coal. Sometimes, the fossil-fired power Somewhat paradoxically then, it is logical to ask
plant and the biomass plantation are geographically the question: How can large-scale biomass energy
far apart. It is important to emphasize that estab- usage be considered to be a practical application of
lished IBPCSs that utilize dedicated energy crops will virgin biomass? The answer, of course, has already
normally involve the harvesting of incrementally new been alluded to. At a minimum, all virgin biomass
virgin biomass production. harvested for energy and fuel applications must be
Finally, there is the related issue of the causes of replaced with new growth at a rate that is at least
increasing concentrations of atmospheric CO2, which equal to the rate of removal. Even more desirable is
is believed to be the greenhouse gas responsible for the creation of additional new biomass growth areas,
much of the climatic changes and temperature most likely forests, because they are the largest, long-
increases that have been observed. Most climatolo- lived, global reserve of standing, terrestrial biomass
gists who have studied the problem portray atmo- carbon. New biomass growth in fact seems to be one
spheric CO2 buildup to be caused largely by excessive of the more practical routes to remediation of
fossil fuel usage. Some assessments indicate that atmospheric CO2 buildup.
biomass contributes much more to the phenomenon
than formerly believed, possibly even more than fossil
fuel consumption. Because terrestrial biomass is the SEE ALSO THE
largest sink known for the removal of atmospheric FOLLOWING ARTICLES
CO2 via photosynthesis, the accumulated loss in
global biomass growth areas with time and the Alternative Transportation Fuels: Contemporary
annual reduction in global CO2 fixation capacity are Case Studies Biodiesel Fuels Biomass, Chemicals
believed by some to have had a profound adverse from Biomass Combustion Biomass Gasification
impact on atmospheric CO2 buildup. The population Biomass: Impact on Carbon Cycle and Greenhouse
increase and land use changes due to urbanization, Gas Emissions Biomass Resource Assessment
the conversion of forest to agricultural and pasture Ethanol Fuel Forest Products and Energy Renew-
lands, the construction of roads and highways, the able Energy, Taxonomic Overview Waste-to-En-
destruction of areas of the rainforests, large-scale ergy Technology
biomass burning, and other anthropological activities
appear to contribute to atmospheric CO2 buildup
Further Reading
at a rate that is much larger than fossil fuel con-
sumption. This is illustrated by the estimated annual ‘‘Bioenergy ‘96, Proceedings of the Seventh National Bioenergy
global CO2 exchanges with the atmosphere shown in Conference,’’ Vols. I–II. (1996). The Southeastern Regional
Biomass Energy Program (and previous and subsequent biennial
Table XI. Despite the possibilities for errors in this proceedings published by the U.S. Regional Biomass Energy
tabulation, especially regarding absolute values, Program). Tennessee Valley Authority, Muscle Shoals, AL.
several important trends and observations are appar- Bisio, A., Boots, S., and Siegel, P. (eds.). (1997). ‘‘The Wiley
ent and should be valid for many years. The first Encyclopedia of Energy and the Environment, Vols. I–II.’’ John
observation is that fossil fuel combustion and Wiley & Sons, New York.
Bridgwater, A. V., and Grassi, G. (eds.). (1991). ‘‘Biomass Pyrolysis
industrial operations such as cement manufacture Liquids Upgrading and Utilization.’’ Elsevier Science, Essex,
emit much smaller amounts of CO2 to the atmo- United Kingdom.
sphere than biomass respiration and decay and the Chartier, P., Beenackers, A. A. C. M., and Grassi, G. (eds.). (1995).
physical exchanges between the oceans and the ‘‘Biomass for Energy, Environment, Agriculture, and Industry,
atmosphere. The total amount of CO2 emissions Vols. I-III (and previous and subsequent biennial books).’’
Elsevier Science, Oxford, United Kingdom.
from coal, oil, and natural gas combustion is also less Cross, B. (ed.). (1995). ‘‘The World Directory of Renewable
than 3% of that emitted by all sources. Note that Energy Suppliers and Services 1995.’’ James & James Science,
human and animal respiration are projected to emit London, United Kingdom.
more than five times the CO2 emissions of all Cundiff, J. S., et al. (eds.) (1996). ‘‘Liquid Fuels and Industrial
industry exclusive of energy-related emissions. Note Products from Renewable Resources.’’ American Society of
Agricultural Engineers, St. Joseph, MI.
also that biomass burning appears to emit almost as Directory of U.S. ‘‘Renewable Energy Technology Vendors:
much CO2 as oil and natural gas consumption Biomass, Photovoltaics, Solar Thermal, Wind.’’ (1990). Bio-
together. Overall, the importance of the two primary mass Energy Research Association, Washington, DC.
212 Biomass for Renewable Energy and Fuels
‘‘First Biomass Conference of the Americas: Energy, Environment, Klass, D. L. (1998). ‘‘Biomass for Renewable Energy, Fuels, and
Agriculture, and Industry,’’ Vols. I–III (1993, 1942). NREL/CP- Chemicals.’’ Academic Press, San Diego, CA.
200-5768, DE93010050 (and subsequent biennial books). Klass, D. L., and Emert, G. H. (eds.). (1981). ‘‘Fuels from Biomass
National Renewable Energy Laboratory, Golden, CO. and Wastes. Ann Arbor Science.’’ The Butterworth Group, Ann
Hogan, E., Robert, J., Grassi, G., and Bridgwater, A. V. (eds.). Arbor, MI.
(1992). ‘‘Biomass Thermal Processing. Proceedings of the First Myers, R. A. (ed.). (1983). ‘‘Handbook of Energy Technology &
Canada/European Community Contractors Meeting.’’ CPL Economics.’’ John Wiley & Sons, New York.
Press, Berkshire, United Kingdom. Nikitin, N. I. (1966, translated). ‘‘The Chemistry of Cellulose
Klass, D. L. (ed.). (1981). ‘‘Biomass as a Nonfossil Fuel Source, and Wood.’’ Academy of Sciences of the USSR, translated
American Chemical Society Symposium Series 144.’’ American from Russian by J. Schmorak, Israel Program for Scientific
Chemical Society, Washington, DC. Translations.
Klass, D. L. (ed.). (1993). ‘‘Energy from Biomass and Wastes XVI Wilbur, L. C. (ed.). (1985). ‘‘Handbook of Energy Systems
(and previous annual books).’’ Institute of Gas Technology, Engineering, Production and Utilization.’’ John Wiley & Sons,
Chicago, IL. New York.
Biomass Gasification
AUSILIO BAUEN
Imperial College London
London, United Kingdom
1. INTRODUCTION
1. Introduction
2. Fundamentals of Gasification Biomass gasification allows the conversion of differ-
3. Gasification and Gasifier Types ent biomass feedstocks to a more convenient gaseous
4. Activities Characteristic of Biomass Gasification fuel that can then be used in conventional equip-
Systems for Heat and Electricity Generation ment (e.g., boilers, engines, and turbines) or advan-
5. Economics of Biomass Gasification for Heat and ced equipment (e.g., fuel cells) for the generation of
Electricity Generation heat and electricity. The conversion to a gaseous fuel
6. Constraints and Issues Affecting the Development of provides a wider choice of technologies for heat and
Biomass Gasification Systems electricity generation for small- to large-scale applica-
tions. Furthermore, electricity generation from gas-
eous fuels is likely to be more efficient compared
to the direct combustion of solid fuels. Efficiency is
a particularly important issue for biomass systems
Glossary
because of the possible energy and cost implica-
biomass Organic matter of vegetable and animal origin. tions of the production and transport of bio-
gasification Thermochemical process that converts a solid mass fuels, which are generally characterized by a
or liquid hydrocarbon feedstock of fossil or renewable low energy density. The upgrading of biomass feed-
origin to a gaseous fuel. stocks to gaseous fuels is also likely to lead to a
cleaner conversion. In addition to the production
of heat and electricity, the product gas could be
used to produce transport fuels, such as synthetic
Gasification is a thermochemical process that has diesel or hydrogen.
been exploited for more than a century for convert- The coupling of biomass gasification with gas and
ing solid feedstocks to gaseous energy carriers. The steam turbines can provide a modern, efficient, and
first gasifier patent was issued in England at the end clean biomass system for the generation of heat and
of the 18th century and producer gas from coal was electricity. A number of small- to large-scale biomass
mainly used as lighting fuel throughout the 19th gasification systems integrated with power genera-
century. At the turn of the 20th century, the main use tion equipment are being developed and commercia-
of producer gas, obtained essentially from coal, lized. Their market penetration will depend on a
switched to electricity generation and automotive number of factors:
applications via internal combustion engines. The
use of producer gas was gradually supplanted by the Successful demonstration of the technology
use of higher energy density liquid fuels and as a Economic competitiveness with other energy
result confined to areas with expensive or unreliable conversion technologies and fuel cycles
supplies of petroleum fuels. Efforts in gasification Environmental performance of the biomass fuel
technology research have persisted, however, driven cycle as well as the influence of environmental
mainly by the need for cleaner and more efficient factors on decision making
electricity generation technologies based on coal. In Other socioeconomic factors (e.g., energy secur-
the past decade, biomass and municipal solid waste ity and independence, job creation, and export
gasification have attracted increasing interest. potential of the technology)
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 213
214 Biomass Gasification
Heterogeneous reactions
Combustion
C þ 12O2 ¼ CO 123.1
2. FUNDAMENTALS OF
C þ O2 ¼ CO2 405.9
GASIFICATION Pyrolysis
4CnHm ¼ mCH4 þ (4n – m)C Exothermic
Thermochemical processing of biomass yields gas- Gasification
eous, liquid, and solid products and offers a means of C þ CO2 ¼ 2CO (Badouard) 159.7
producing useful gaseous and/or liquid fuels. Gasifi- C þ H2O ¼ CO þ H2 (steam–carbon) 118.7
cation is a total degradation process consisting of a C þ 2H2 ¼ CH4 (hydrogasification) 87.4
sequence of thermal and thermochemical processes Homogeneous reactions
that converts practically all the carbon in the biomass Gas phase reactions
to gaseous form, leaving an inert residue. The gas CO þ H2O ¼ CO2 þ H2 (water–gas 40.9
produced consists of carbon monoxide (CO), hydro- shift)
gen (H2), carbon dioxide (CO2), methane (CH4), and CO þ 3H2 ¼ CH4 þ H2O 206.3
nitrogen (N2) (if air is used as the oxidizing agent) (methanization)
and contains impurities, such as small char particles,
ash, tars, and oils. The solid residue will consist of ash
(composed principally of the oxides of Ca, K, Na, temperatures. Gas quality is usually measured in
Mg, and Si) and possibly carbon or char. Biomass ash
terms of CO and H2 quantity and ratio.
has a melting point of approximately 10001C; thus, it
is important to keep the operating temperature below
this temperature to avoid ash sintering and slagging. 2.1 Effect of Feedstock Properties
At temperatures higher than 13001C, the ash is likely
to melt and may be removed as a liquid. Water vapor is an essential component of gasification
The following sequence is typical of all gasifiers: reactions. However, a high moisture content of the
drying, heating, thermal decomposition (combustion feedstock has an adverse effect on the thermal balance.
and pyrolysis), and gasification. Table I illustrates the A low ash content improves the thermal balance,
reactions occurring in gasifiers. In directly heated reduces the occlusion and loss of carbon in the residue,
gasifiers, the energy (heat) necessary for the en- and reduces operating problems due to sintering and
dothermic reactions is provided by combustion and slagging. Sintering and slagging depend on the gasifier
partial combustion reactions within the gasifier. In temperature and, in the case of biomass, are likely to
indirectly heated gasifiers, the heat is generated be related to the presence of SiO2, which possesses the
outside the gasifier and then exchanged with the lowest melting point among the ash components. The
gasifier. Gasifiers can operate at low (near-atmo- size of the fuel particles will affect the rate of heat and
spheric) or high (several atmospheres) pressure. mass transfer in the gasifier. Elements such as sulfur
The Badouard, steam–carbon, and the methaniza- and chlorine lead to the formation of corrosive gas
tion reactions are favored with increasing tempera- components such as H2S and HCl. Alkali metals are
ture and decreasing pressure; the hydrogasification also a major concern with regard to corrosion,
reaction is favored with decreasing temperature and especially when combined with sulfur. Nitrogen in
increasing pressure; the water–gas shift reaction is the feedstock leads to the formation of ammonia
favored at low temperatures but is independent of (NH3), which can act as a major source of NOx
pressure. Temperature and pressure operating condi- emissions when combusted in engines or gas turbines.
tions as well as residence time are key factors in
determining the nature of the product gas. Data from
2.2 Effect of Operating Parameters
existing gasifiers indicate that the heating value of
the product gas varies little between pressurized The operating temperature will determine the equili-
and atmospheric gasification for similar operating brium composition of the gas. High operating
Biomass Gasification 215
temperatures increase to different extents the intrinsic gasification is generated outside the gasifier. For
rate of all chemical and physical phenomena and example, the bed material can be heated in a separate
result in leaner gases. Gasifier temperatures should be reactor by burning the char from the gasifier, as in the
sufficiently high to produce noncondensable tars in Battelle process, or the heat can be generated by pulse
order to avoid problems in downstream conversion burners and transferred by in-bed tubes, as in the
equipment. Condensable tars must be avoided if the MTCI process. Indirectly heated gasifiers produce a
product gas is to be used in engine or gas turbine medium calorific value gas, and steam can be input to
applications and they will have to be cracked or the gasifier in order to favor the gasification reaction.
removed prior to the operation of engines or gas The oxygen or indirectly heated gasification route
turbines. Exceedingly high temperatures (410001C) may be preferred in cases in which the dilution of the
may lead to ash sintering and slagging. High product gas with nitrogen may have adverse effects
operating pressures increase the absolute rate of on its downstream uses, for example, in relation to
reaction and the heat and mass transfer, and they the production of other fuels, possibly for transport
shift the gas equilibrium composition in favor of CH4 applications.
and CO2. The air factor (air flow rate into the Gasifier design influences the gaseous product
gasifier) is a key regulating parameter of a fluidized with respect to gas composition, condensed liquids,
bed gasifier using air as the gasifying agent. Excessive suspended solids, and water content. A number of
air factors lead to low heating values (nitrogen reactor types are available: fixed bed, fluidized bed,
dilution and excessive combustion). Insufficient air circulating fluidized bed, entrained flow, and molten
factors lead to low reactor temperatures and low bath. There are numerous examples of small-scale
rates of gasification. fixed bed biomass gasification applications through-
out the world, mainly coupled with engines for
electricity generation. Larger gasifiers, of the flui-
dized bed type, are in use in niche industrial
3. GASIFICATION AND applications, and there is little operating experience
GASIFIER TYPES with gasifiers coupled to gas turbines.
in relatively high piles. Two main problems asso- temperature, and a low temperature level is actually
ciated with fuel storage are decomposition and self- desired because it will prevent the evaporation of
heating. Self-heating increases the rate of decom- undesirable organic components. Direct heating
position and fire risk, and it encourages the growth systems, in which the heating medium (e.g., flue
of thermophilic fungi whose spores can cause a gas) is in direct contact with the fuel to be dried,
respiratory condition in humans similar to farmers based on a rotary drum or fluidized bed design may
lung. Some small biomass losses may occur at the be used. The systems are also likely to be open,
storage stage, but they are likely to be negligible. For meaning that the heating medium is discharged to the
intermediary storage of the fuel between the pre- atmosphere.
treatment (e.g., drying and sizing) and gasification Drying activities will result in dust emissions. In
stage, storage silos may be used. most cases, a simple baghouse filter is employed to
satisfactorily reduce dust emissions. However, in the
4.1.2 On-Site Biomass Transfer case of a large drying facility, considerable quantities
On-site biomass transfer occurs between storage of water vapor (likely containing significant quan-
facilities, pretreatment equipment, and gasifica- tities of organic compounds) could result in addition
tion equipment. Such transport technology is rea- to dust. A wet gas scrubber followed by a flue gas
dily available, and cranes and enclosed conveyor condensation system may be used to clean the flue
belt systems may be used. The material flow gas (mainly of dust and organic compounds such as
characteristics of the biomass fuel need to be con- terpenes) and to recover the heat from the water
sidered in the design of the on-site biomass transfer vapor present in the flue gas. The condensed water
and intermediary storage system in order to avoid requires a biological treatment before it can be
flow problems. discharged to the sewage system. Condensed organic
compounds from the fuel-drying activity possess a
4.1.3 Size Control fuel value; hence, the energy can be recovered from
Biomass particle size affects gasification reaction their combustion. Particular care is required in the
rates and gas composition. Since size control opera- design of drying installations to avoid fire and
tions are expensive and energy intensive, there is a explosion risks.
trade-off, in terms of cost and energy, between
particle size reduction and reactor design and the
4.2 Feeding the Biomass
yield and characteristics of the product gas. In
practical terms, the size of the feedstock particles is Physical properties of the biomass fuel, such as size
dependent on the biomass requirements imposed by and density, affect the performance of feeding
the adopted gasification system. systems and have often been a source of technical
In the case of wood chips, the acceptable size of problems. The choice of a feeder depends on the
the chips fed to the gasifier is usually 2–5 cm, and size gasifier design, mainly the pressure against which it
reduction may be achieved by using crushers. Size has to operate. Although some simple small-scale
reduction generally makes drying, transfer, and gasifiers may have an open top through which the
intermediate storage of the biomass easier. biomass is fed, screw feeders are commonly used in
low-pressure closed-vessel gasifiers.
4.1.4 Drying A screw feeder, in which the screw forms a
The moisture content of the feedstock affects the gas compact, pressure-retaining plug from the feedstock
composition and the energy balance of the process in the feed channel, is suitable for atmospheric
since gasification is an endothermic process. Water gasifiers. For pressurized gasifiers, a lock-hopper
vapor, however, is an essential component of gasifica- feeder or a lock-hopper/screw-piston feeder is re-
tion reactions. Therefore, there is a trade-off between quired. The lock-hopper feeder uses a screw feeder
the extent of fuel drying and the quality of product but is more complex than a simple screw feeder
gas. Drying of the feedstock to a moisture content of because of the need to pressurize the feedstock prior
approximately 15% is commonly adopted. to its input into the gasifier. Pressurization of the
Fuel drying is likely to be the most energy- feedstock is generally achieved using lock-hopper
intensive activity in the gasification process. Impor- devices, which may require large quantities of inert
tant contributions can be made to the energy balance gases (e.g., liquid nitrogen). Care is required in the
by using flue gases or steam to dry the biomass. The design of feeding systems to limit blockages as well
heat used for drying does not have to be high as fire and explosion risks.
Biomass Gasification 217
4.3 Circulating Fluidized Bed Gasification temperature distribution. High superficial velocities
of the gas cause elutriation of solid particles leading
Air-blown circulating fluidized bed gasifiers are of
to a circulating bed design.
interest because they produce a good quality, low
The gas composition and heating values do not
calorific value (LCV) gas (4–6 MJ/Nm3) and possess
differ significantly between pressurized and atmo-
a very high carbon conversion efficiency while
spheric operation for similar operating temperatures.
allowing high capacity, good tolerance to variations
The LCV gas (4–6 MJ/Nm3) consists mainly of inert
in fuel quality, and reliable operation. The high and nitrogen and carbon dioxide gases and the combus-
homogeneously distributed temperatures and the use
tible gases carbon monoxide, hydrogen, and
of particular bed materials, such as dolomite, favor
methane. Contaminant concentrations (e.g., sulfur,
tar cracking. Successful tar cracking can also be
chlorine, alkali and heavy metals) depend on the
achieved using secondary circulating fluidized bed
quality and composition of the biomass and the bed
reactors. Also, successful tests on catalytic tar
material used.
cracking have been performed, for example, by
Pressurized gasifiers require a more complex and
introducing nickel compounds into the gasifier.
costly feeding system (i.e., lock-hopper feeder and inert
Sulfur control is made easier because of the gas) compared to near-atmospheric gasifiers. Also,
significant reduction that can be achieved by adding
pressurized systems require a higher degree of process
limestone or dolomite to the gasifier bed. However,
control. However, if the product gas is to be used for
biomass feedstocks are not likely to require sulfur
power generation in a gas turbine, pressurized gasifiers
control because of their very low sulfur content,
considerably reduce the product gas compression
which is likely to meet turbine requirements indi-
requirements. Pressurization is obtained by compres-
cated in Table II. The high fluid velocity entrains
sing the gasifying air using the turbine compressor.
large amounts of solids with the product gas that are
This results in the compression of a much lower
recycled back to the gasifier via the cyclones to volume of air compared to the product gas volume
improve conversion efficiency. Carbon conversion
that would otherwise have to be compressed prior to
efficiencies for circulating fluidized bed gasifiers can
combustion in the gas turbine. Also, in pressurized
reach approximately 98%.
gasification systems using hot gas cleanup equipment,
A fluidized bed gasifier consists of a plenum
there is less chance that tars will condense and cause
chamber with a gas distributor, a refractory lined
damage to equipment; thus, they need not be removed
steel shell enclosing the granular bed and the
from the gas, which allows use of the energy content of
freeboard zone, and a feeding device. The bed
tars present in the product gas. Generally, the reduced
material consists of a clean and graded fraction of energy requirement of hot gas cleanup and reduced
heat-resistant material, generally sand, alumina,
compression needs of pressurized systems may lead to
limestone, dolomite, or fly ash. It is fluidized by the
efficiency gains on the order of 3% compared to
upward stream of the gasifying agent rising in the
systems based on atmospheric gasification and wet
form of bubbles, and the continuous motion causes a
gas scrubbing. Hot gas cleanup may also be applied
mixing of the solids and results in a fairly uniform
to atmospheric gasification systems.
form of hot gas filtration systems using ceramic or megawatts). Their efficiencies are estimated to range
sintered metal filters, is likely to offer a simpler and between 25 and 40% depending on the capacity.
less costly option than wet gas scrubbing. It also There is considerable experience with coupling
considerably reduces the water consumption and boilers and engines to gasifiers at small to medium
liquid effluents of the plant. However, unlike gas scale (o10 MWe). The provision of a product gas of
scrubbing, hot gas filtration systems are not a fully suitable quality is the major problem leading to fre-
demonstrated and commercial technology. The re- quent maintenance and shortened engine lifetimes.
moval of some polluting and corrosive compounds Engines are commercially available, there is much
(e.g., ammonia and chlorine) and of excessive water experience with running engines on a wide variety of
vapor from the product gas may be problematic gases, and they are generally more tolerable to con-
when using hot gas filters. However, preliminary taminants than turbines. However, turbines hold
testing using hot gas cleanup systems indicates that promise of higher efficiencies (especially at scales
environmental and gas turbine fuel requirements can allowing for combined cycle operation), lower costs,
be met with hot gas filtration systems. These results and cleaner operation. Also, turbines are likely to
are very much fuel dependent. be more suited to combined heat and power app-
lication because of higher grade heat generation
compared to engines.
4.5 Heat and Electricity Generation
The product gas can be burned in boilers to generate 4.5.2 Combustion in Gas Turbines
heat and raise steam, in internal combustion engines Gas turbines cover a wide range of electrical
to generate electricity and heat at small to medium capacities ranging from a few hundred kilowatts to
scale (from a few kilowatts to a few megawatts), and tens of megawatts, with recent developments in
in gas turbines to generate electricity (Brayton cycle) microturbines of a few tens to a few hundred
and heat at small to large scale. In large-scale systems kilowatts capacity. However, there is little experience
using gas turbines, the exhaust gas from the gas with operating gas turbines in product gas from
turbine can be used to raise steam in a heat recovery biomass gasification. Gas turbines have more strin-
steam generator to generate additional electricity gent fuel requirements but may have higher efficiency
using a steam turbine (Rankine cycle), resulting in and lower emissions compared to reciprocating
combined cycle operation. In a combined heat and engines. Due to the stringent gas quality require-
power plant, designed for district heating, the flue gas ments of gas turbines, care must be taken in
from the combustion of the product gas goes through considering the quality and composition of the
a heat exchange system to raise the temperature of a feedstock, the gasification process, and the gas
heat transport fluid, generally water, circulating in a cleaning system used. The main areas of concern
district heating system. Residual heat in the flue gas are contamination of the fuel gas by alkali metals,
can be used to dry the biomass prior to its discharge tars, sulfur, chlorine, particulates, and other trace
to the atmosphere. elements; the fuel gas heating value and therefore its
Factors such as scale, technical performance, composition and volume; the flame properties of the
capital costs, efficiencies, and emissions will deter- gas within the combustion chamber; and the
mine the preferred generating technology. Also, the presence in the fuel gas of fuel-bound nitrogen
relative demand for heat and electricity will influence leading to NOx formation during combustion. The
the technology choice. minimum allowable gas heating value depends on
turbine design (heating value affects air-to-fuel ratio
4.5.1 Combustion in Engines and therefore affects the inlet requirements based on
Engines require input of a clean gas to minimize total mass flow). Care must be taken to ensure that
engine wear, avoid tar deposition, and reduce coking the fuel gas is supplied to the turbine at a
in the engine, particularly in the valve area. The gas temperature greater than the gas dew point tempera-
temperature should be as low as possible to inject a ture in order to avoid droplet formation. Also, the
maximum amount of energy into the cylinders. fuel gas must be unsaturated with water to avoid the
Engines have the advantage that they can be run on formation of acids that could result mainly from the
a variety of fuels or fuel combinations with relatively presence of H2S and CO2.
minor adjustments. Gas engines for power generation Gas turbine fuel requirements are shown in Table
are commercially available for small- to large-scale II. Table III provides an indicative comparison of fuel
applications (from tens of kilowatts to tens of gas requirements for different applications.
Biomass Gasification 219
TABLE III
Product Gas Requirements
The strict gas specifications result in low emission Tars may not need to be removed from the gas if
levels for most pollutants. Thermal NOx formation the temperature remains higher than the gas con-
for LCV gas combustion may achieve very low levels densation temperature.
(less than 10 ppmv), particularly compared to emis- Wet gas scrubbing removes most fuel gas
sions from natural gas-fired turbines, in which low contaminants (ammonia is not removed by hot gas
NOx burners achieve emissions of approximately filters but can be washed out of the gas by an acidic
25 ppmv. Low emissions result from the lower solution in a wet gas scrubber).
combustion temperature and a leaner combustion.
The following factors contribute to the achieve- Pressurized gasifiers are well suited for hot gas
ment of gas turbine fuel requirements: cleanup (below 6001C) prior to direct combustion in
the turbine. At temperatures below 6001C, alkali
1. Biomass feedstock properties: metals precipitate onto the particulates present in the
Low (10–15%) moisture content so as not to gas and are removed by the gas cleaning system. Tar
hamper efficient gasification process and adversely cracking is not required for pressurized gasification
affect the gas heating value. systems because of the elevated gas temperature (the
Low ash feedstock to reduce filtering demand tars are likely to be in noncondensable form). In the
and potential slagging. case of hot gas cleaning, fuel-bound nitrogen, in the
Low alkalinity feedstock to reduce fouling. form of ammonia, may cause concern regarding NOx
2. Gasification process: emissions since approximately 60% of the ammonia in
Choice of gasifying agent (air, oxygen, or steam) the gas may be converted to NOx during combustion.
influences heating value and can also reduce or Atmospheric gasifiers generally require tar cracking or
eliminate formation of problem tars. removal, cold (o2001C) gas cleaning, and compres-
Choice of gasifier type influences carryover of sion of the gas prior to turbine combustion.
particulates.
Higher operating temperatures vaporize alkali 4.5.2.1 Combined Cycle Operation Single cycle
metals, which must be condensed and filtered out efficiencies of approximately 36% and combined
[e.g., vaporization occurs in circulating fluidized beds cycle efficiencies of 47% or higher (up to approxi-
(900–11001C) but not in bubbling fluidized beds mately 52%) are typical of natural gas-fueled plants.
(600–8001C)], and tars are also vaporized and Integrated biomass gasification and single or com-
cracked to a certain extent (e.g., circulating fluidized bined cycle efficiencies, relative to the energy content
beds crack more tar compounds than do bubbling of the fuel input, will not match the efficiencies of gas
fluidized beds). turbines fueled with natural gas because combustion
3. Gas cooling and cleaning system: temperatures are lower and part of the energy
Special bed materials and catalysts in the gasifier content in the biomass fuel is dissipated in the
or in a separate reactor can be used for sulfur and production of the fuel gas. Table IV shows notional
chlorine removal, to avoid the formation of ammo- gas and steam turbine generating efficiencies and
nia, and for tar cracking. Table V provides an indication of biomass integrated
Gas cooling is necessary to protect gas turbine gasification/combined cycle (BIG/CC) efficiencies.
components from heat damage, and the degree of
cooling depends on the gas cleaning technique 4.5.3 Comparison with Biomass
adopted (e.g., hot gas filter or wet gas scrubbing). Direct Combustion
Hot gas filter systems remove particulates and Gasification has a number of advantages compared
alkali metals. to direct combustion, particularly at the relatively
220 Biomass Gasification
GT running on NG 36
4.6 Waste Disposal
GT running on LCV gas 31
ST generating system (450 MWe) 35 Wastewater and solid waste result from power plant
ST generating system (o50 MWe) 15–35 operation and require treatment prior to disposal or
recycling. Liquid effluents resulting, for example,
a
Abbreviations used: GT, gas turbine; NG, natural gas; LCV, from wet gas scrubbing and flue gas condensation
low calorific value; ST, steam turbine. must be treated. The wastewater treatment is
conventional, although oxygenated organics such as
phenols (derived from tars) and ammonia may create
TABLE V problems. Systems using hot gas filtration reduce
Notional BIG/CC Electrical Efficiencies liquid effluents and may potentially reduce costs and
environmental impacts.
Capacity (%)
Solid residues consist of inert ash. The ash is likely
o100 MWe 4100 MWe to be disposed of conventionally through landfilling
or recycled, for example, as a soil nutrient. Care must
Atmospheric system 43 50
be taken, however, because in some cases dust from
Pressurized system 46 53
fly ash may be toxic due to the absorption of
chemicals such as benzo[a]pyrene. Also, heavy metal
concentrations in the ash may in some cases be too
small scales typical of biomass-to-energy systems. high for direct recycling of the ash. Research
Engines and single or combined cycle gas turbines are programs in Sweden have obtained promising results
likely to have higher electrical conversion efficiencies with regard to ash recycling from wood gasification
compared to steam cycles. At small scale, steam and combustion systems. In most cases, ash can be
turbines have lower efficiencies compared to engines recycled without any processing other than wetting
and gas turbines, and at a larger scale gasification and crushing it.
offers the possibility of combined cycle operation.
Also, direct combustion and steam turbine systems
are characterized by important economies of scale, 5. ECONOMICS OF BIOMASS
possibly making gasification systems coupled with GASIFICATION FOR HEAT AND
engines and gas turbines a more likely economically
ELECTRICITY GENERATION
viable option at small to medium scale (from a few
hundred kilowatts to a few tens of megawatts).
The economics of biomass gasification for electricity
and heat generation is the principal factor influencing
4.5.4 Comparison with Coal Gasification its future market penetration. The Costs of semi-
Coal has a number of advantages and disadvantages commercial gasification systems integrated with
with respect to biomass. On the one hand, it is easier engines at a scale of approximately 300 kWe are
and less costly to handle and process; it is easier to estimated to be approximately $1800/kWe. Costs
feed, particularly in pressurized systems; and it may could be reduced by approximately 20% with
require less complex supply logistics. On the other continued commercialization. Larger scale BIG/CC
hand, coal has a much lower level of volatiles than systems are in the demonstration stage and char-
biomass (typically 30% compared to more than 70% acterized by high costs in the range of $5000–6,000/
for biomass); its char is significantly less reactive kWe. However, commercialization of the technology
than biomass char, implying greater reactor sizes, is expected to reduce systems costs to $1500/kWe for
residence times, and the use of oxygen as a gasi- plants with capacities between 30 and 60 MWe.
fying agent; it possesses a higher ash content than Capital costs alone do not provide sufficient basis
biomass (the pro and it often contains significant for comparison between different technologies and
quantities of sulfur, requiring more complex and energy sources. Variable costs, particularly fuel costs,
costly gas cleaning systems. Coal also has a major are of key importance. These are also affected by the
Biomass Gasification 221
efficiency of the plants. Biomass fuel costs can vary integrated gasification systems, which are likely to be
considerably depending on type and location. For characterized by low emission levels of regulated
biomass energy to be competitive, an indicative cost pollutants and no CO2 emissions from the conver-
of biomass of $2/GJ or less is often cited. However, sion of biomass.
biomass costs may range from negative (i.e., in the Biomass gasification may also provide a source of
case of waste products) to significantly in excess of clean transport fuels ranging from synthetic diesel to
the suggested cost. hydrogen.
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 223
224 Biomass: Impact on Carbon Cycle and Greenhouse Gas Emissions
Large amounts of carbon are stored in the earth’s empirically. The carbon stored in soil (which includes
biosphere as biomass. Humans have long made use detritus, soil organic matter, and inert carbon) are
of the various forms of biomass carbon for energy; 1400 GtC with plants accounting for a further
however, measures to mitigate the enhanced green- 550 GtC.
house effect have stimulated renewed interest in its Various natural and anthropogenic processes
utilization. The role of biomass in modern energy stimulate CO2 fluxes between the reservoirs. The
production and its carbon sink potential can overall net flux of the global carbon cycle indicates
significantly influence the contemporary global car- that carbon is accumulating in the atmosphere at an
bon cycle resulting in potential reductions in green- average rate of 3.2 GtCyr1. Natural carbon fluxes
house gas (GHG) emissions to the atmosphere. The are driven primarily by plant photosynthesis, respira-
various application of biomass in this context and its tion, and decay as well as oceanic absorption and
potential contribution to stabilizing GHG emissions release of CO2. Anthropogenic processes such as
into the future is explored. burning fossil fuels for energy, as well as deforesta-
tion contribute a significant net positive flux to the
atmosphere.
The largest anthropogenic flux within the global
1. BIOMASS AND carbon cycle is caused by the anthropogenic burning
CARBON CYCLING of fossil fuels. During the 1990s, this source was
reportedly 6.3 GtCyr1 and is considered the main
Biomass accumulates in the earth’s biosphere in cause of large increases in atmospheric CO2 concen-
vegetation following the process of photosynthesis. trations over the past 100 to 150 years. The largest
Powered by energy from sunlight, plants use carbon natural flux is experienced between the atmosphere
dioxide (CO2) from the atmosphere and water from and the ocean where the ocean acts as a net sink of
the soil to manufacture carbohydrates, a storable 1.7 GtCyr1. The terrestrial biosphere is a slightly
energy source. Oxygen (O2) and water vapor are smaller net sink. Incorporating both natural processes
released to the atmosphere as by-products. CO2 is and human-induced activities, the flux from atmo-
cycled back to the atmosphere as the plant material sphere to biosphere is estimated at 1.4 GtCyr1,
decays, is respired or is burned, and therefore representing the annual net accumulation of carbon
becomes available again for photosynthesis. in the biosphere.
The average annual amount of solar energy
potentially available at the earth’s surface is estimated
at 180 Wm2. The proportion available for photo- 1.2 Net Primary Production
synthesis varies both temporally and spatially, being Net primary production (NPP) is a measure of the
dependent on latitude and season. The photosyn- annual productivity of the plants in the biosphere.
thetic conversion efficiency of land plants is estimated The 550 GtC of carbon in the global reservoir of
at 3.3 to 6.3%, varying between plant species. Taking plant biomass has a corresponding NPP of
these constraints into consideration, the energy 60 GtC yr1, which indicates that globally the
stored in biomass globally is substantial with photo- average carbon residence time on land is approxi-
synthetic carbon fixation comprising a major com- mately 9 years with an average biomass production
ponent of the global carbon cycle. (NPP) of 4 tCha1 yr1. However, average NPP, as
reported by the Intergovernmental Panel on Climate
Change (IPCC) (Table I) and calculated residence
1.1 The Global Carbon Cycle
time varies greatly at ecosystem level and is
The global carbon cycle is made up of carbon dependent on plant species and management, ran-
reservoirs (stocks) and the dynamic transfer of ging from 1 year for croplands to approximately
carbon between them (fluxes). The complex system 15 years for forests.
is summarized in a simplified carbon cycle (Fig. 1). Production forests are comparatively stable eco-
The total carbon stored in the earth’s surface is systems, experiencing a longer growth cycle than
estimated at more than 650,000,000 GtC. The major- food and energy crops. Food and energy crops are
ity is stored in glacial deposits and minerals, fossil usually harvested at the end of a relatively short
fuels, and the deep oceans. Atmospheric carbon rapid growth phase, leading to a higher average NPP
accounts for a further 750 GtC. Due to their hetero- per unit area. In contrast to stable forest ecosystems,
geneity, biomass carbon stocks are difficult to measure the majority of the NPP associated with energy and
Biomass: Impact on Carbon Cycle and Greenhouse Gas Emissions 225
+3.2
Pho
to
nd 2 Res synth
n a is 9 750 p e
p tiothes .3 De irati sis
r 0 ca on
so syn ion 9 Fir y 5
12
to at Atmosphere e
4 4
ph Ab
60
0 .4
o
ir
Burning &
sp
Combustion
Re
6.3 decay 1.1
1
5 550
39 000
Crown copyright
Land-use change
(primarily deforestation) 1.6
Enhanced vegetation growth 3.0
Ocean–atmosphere exchange 1.7
Total 7.9 4.7
Balance 3.2
FIGURE 1 The simplified global carbon cycle; carbon reservoirs (GtC) represented within the boxes and associated fluxes
(GtCyr1) indicated by solid arrows between the reservoirs. The broken lines represent long-term (millennia) movement of
carbon within the system. A simplified summary of the global carbon budget is also given. Values are for the 1990s. The most
important natural fluxes in terms of the atmospheric CO2 balance are the land-atmosphere exchange ( þ 1.4 GtCyr1), which
includes land-use change and in enhanced vegetation growth, and the physical ocean-atmosphere exchange ( þ 1.7 GtCyr1).
Fossil fuel burning (6.3 GtCyr1) represents the largest anthropogenic release of CO2 to the atmosphere. The net result of
these processes is an increase in atmospheric CO2 concentration of þ 3.2 GtCyr1. From Broadmeadow and Matthews (2003).
TABLE I
Terrestrial Carbon Stock Estimates, NPP and Carbon Residence Time Globally Aggregated by Biome
Total 14.93c
food crops ends up in products exported from the 2.1 Global Environmental Policy
site. Soil carbon density is generally lower and may
Global concern over the increase in atmospheric
become depleted as a result.
GHG concentrations and the acknowledgment that
human activity is leading to climate change led to
1.3 The Available Biomass Resource nations recognizing the need for international effort.
The United Nations Framework Convention on
In determining the extent of the biomass resource, Climate Change (UNFCCC) was agreed at the Rio
an understanding of the global allocation to land use Earth Summit in 1992 and entered into force in
is required. As the values shown in Table I are 1994. Parties agreed to report on GHG emissions
globally aggregated by biome, they do not identify and to take action to mitigate climate change by
competing land use functions such as areas for limiting those emissions and to protect and enhance
human settlement, recreation, and conservation of GHG sinks and reservoirs. The Kyoto Protocol to the
biodiversity, and ecosystem function. Estimates of UNFCCC, developed in 1997, set the relatively
the possible contribution of biomass in the future short-term target for developed countries and coun-
global energy supply vary from 100 to 400 EJ yr1 tries with economies in transition to stabilize their
by 2050. The variation in estimates can be combined GHG emissions, in CO2 equivalents, to
largely attributed to land availability and energy 5.2% below 1990 levels during the first commitment
crop yield levels. In terms of GHG emission benefits, period 2008–2012. Actions that enhance carbon
such an increase in bioenergy production could stock in biomass and soil, such as reforestation and
lead to an overall reduction of between 2 and altered management in forestry and agriculture, can
6.2 GtC per year as a result of the direct substitu- be used as credits to offset GHG emissions to meet
tion of fossil fuels. Projections suggest that annual commitments under the Kyoto Protocol.
GHG emissions associated with fossil fuel combus- Biomass can address the issue of global climate
tion will exceed 11.4 GtC by the year 2050 if change in three ways: (1) bioenergy produced from
consumption continues in accordance with trends. biomass can replace fossil fuels, directly reducing
Therefore biomass can potentially provide GHG emissions; (2) biomass can sequester carbon as it is
emissions avoidance in the order of 17.5 to 54% by growing, increasing the terrestrial carbon stock; and
2050. (3) biomass products can substitute for more energy
In contrast, the potential carbon sink through intensive building products, reducing the emissions
vegetation management has been estimated at associated with production of these materials and
between 60 and 87 GtC by 2050. This is equivalent additionally increasing the carbon stock in wood
to the sequestration of 14 to 20% of the average products.
fossil fuel emissions for the period 2000 to 2050. Offsetting fossil fuel emissions with sequestration
in biomass and reducing fossil fuel emissions through
substitution of renewable bioenergy are likely to be
2. CLIMATE CHANGE AND key factors in the ability of countries to achieve their
reduction commitments under the Kyoto Protocol.
INTERNATIONAL POLICY
TABLE II
Bioenergy Consumption and Resulting Greenhouse Gas Benefits
biomass growth and harvest. This necessitates time- By-products. The emissions and offsets asso-
dependent analysis, as such changes might extend ciated with both products and by-products of a
over long periods of time until a new equilibrium is biomass production system must be considered.
reached. Efficiency. In determining the quantity of fossil
Trade-offs and synergies. The trade-off between fuel energy displaced by a quantity of biomass
competing land uses, namely biomass production, feedstock, it is important to know the energy output
food production, and carbon sequestration, should per unit of that feedstock.
be considered in determining the benefits of bioe- Upstream and downstream GHG emissions.
nergy. A timber plantation, thinned to maximize Auxiliary (energy inputs) emissions resulting from
value of wood products, where thinning residues are the bioenergy and reference systems should be
used for bioenergy, is an example of synergy. considered, such as from fossil fuels used in produc-
Leakage. The use of biomass fuels does not tion/extraction, processing, and transport of the
always avoid the use of fossil fuels to the full extent feedstock.
suggested by the amount of bioenergy actually used Other greenhouse gases. The emissions of other
and therefore the reduction in fossil fuel use that can GHG associated with biomass and fossil fuel chains,
be attributed to the project will be reduced. This is such as CH4 and N2O, expressed in CO2 equivalents,
commonly referred to as leakage. should be included in the calculation of net green-
Permanence. Irreversible GHG mitigation of- house mitigation benefits.
fered by the system is required to permanently offset
LCA assessments have been applied to a variety of
the CO2 emissions. The greenhouse mitigation
fuel systems to generate an understanding of their
benefit from substituting bioenergy for fossil fuel
contribution to atmospheric CO2 concentrations. For
use is irreversible. In contrast, the mitigation benefit
example, full fuel cycle CO2 emissions per GWh for
of reforestation will be lost if the forest biomass is
coal have been calculated as 1142 t compared to 66
reduced by harvest or natural disturbances.
to 107 t for biomass.
Emissions factors. The quantity of GHG pro-
duced per unit of fossil fuel energy consumed. This
factor influences the net benefit of a bioenergy 4. BIOENERGY SOURCES
project: if bioenergy displaces natural gas, the benefit
is lower than if it displaces coal, as coal has a higher Biomass used directly or indirectly for the production
emissions factor than natural gas. of bioenergy can be sourced from any organic matter,
Biomass: Impact on Carbon Cycle and Greenhouse Gas Emissions 229
methane (CH4), as a product of anaerobic decom- conversion efficiency to a useable energy form is a
position of organic matter. CH4 has a greenhouse further important consideration.
warming potential 21 times higher than that of CO2 Generally perennial crops produce higher net
and therefore, avoidance of CH4 emissions produces energy yields than annual crops, due to the lower
significant greenhouse benefits. Anaerobic digestion management inputs, and therefore lower production
is a waste management and energy recovery process costs, both economic and ecological. Management
highly suited to wet waste streams. The bacterial techniques, fertilizer application, and genetic im-
fermentation of organic material produces biogas provements may increase the productivity by a factor
(65% CH4, 35% CO2), which is captured and of 10 compared with no inputs; however, this can
utilized to produce heat and power. Although result in increased environmental problems. Eutro-
anaerobic digestion of sewage, industrial sludge phication of water can be associated with fertilizer
and wastewater are fully commercialized, systems runoff; soil erosion with intensive cultivation, and
involving the processing of animal manure and concerns regarding consequences for biodiversity
organic wastes are still being developed. Technology with genetically improved crops.
can generate approximately 200 kilowatt-hours There is sometimes a misconception that it takes
(kWh) of electricity from 1 ton of organic waste. If more energy to produce biomass for bioenergy than
this was used to replace electricity from coal is generated from the biomass itself. However, it has
production, direct GHG emissions could be reduced been repeatedly shown that such systems are capable
by approximately 220 kgCkWh1. of producing significant energy ratios (Table III).
The energy contribution of animal sludge and For example, the energy production per hectare of
municipal solid waste globally was estimated at 5300 woody biomass from a commercial plantation is 20 to
to 6300 MW in 1995, 95% of which can be 30 times greater than the energy input for agricultural
attributed to Asia. Globally, anaerobic digestion of operations such as fertilizer and harvesting. However,
organic wastes is predicted to increase to 8915 to liquid fuel production from energy crops may
20130 MW in 2010. This projection is largely experience conversion rates that are substantially
attributed to the developed world increasing its less. In Europe and the United States for example,
contribution. achieving a high-energy output per unit input requires
Energy production from solid municipal waste careful management at the production stage. Ethanol
offers a potentially sustainable approach to a grow- produced in the U.S. yields about 50% more energy
ing environmental problem. Such sources include than it takes to produce, whereas in Brazil where
urban wood waste (i.e., furniture, crates, pallets) and ethanol is produced from sugarcane, higher yields are
the biomass portion of garbage (i.e., paper, food, possible largely as a result of greater rates of biomass
green waste.). The biogas emitted when waste growth and lower auxiliary energy inputs.
decomposes in landfill can be extracted for use in
the generation of electricity. Maximizing the poten-
4.3 Modernizing Bioenergy
tial of such waste streams is hampered by logistical
issues relating to recovery, negative public perception Estimation of the future technical potential of
of ‘‘incineration,’’ and opposition from environmen- biomass as an energy source is dependent on
tal groups to the establishment of a market for waste. assumptions with respect to land availability and
productivity as well as conversion technologies. With
the emergence of energy crops as the major source of
4.2 Bioenergy from Dedicated Resources
biomass fuel, land use conflicts, especially in relation
The future development of energy crops, to the level to food production, may arise. However, with
at which they would replace residues as the major efficient agricultural practices, plantations and crops
bioenergy fuel source, will be largely dependent on could supply a large proportion of energy needs, with
regional factors such as climate and local energy residues playing a smaller role without compromising
requirements and emission factors, which will food production or further intensifying agricultural
determine their environmental and financial viability. practices.
Energy production per hectare is determined by Considering future projections of increasing en-
crop yields. This is in turn dependent on climate, soil, ergy and food demands associated with increasing
and management practices in addition to the number standard of living and population, pressure on the
of harvests per year, the fraction of the biomass availability of land is likely to increase. In the
harvested, and the usable fraction of the harvest. The European Union (EU) it has been proposed that
Biomass: Impact on Carbon Cycle and Greenhouse Gas Emissions 231
150
emissions from a 30 MW power station burning fossil products, particularly from woody biomass, may
fuels. In contrast, approximately 11,250 ha of dedi- provide significant opportunities.
cated energy crops could supply such a power plant Wood products themselves are a carbon pool and
and indefinitely replace fossil fuels, providing perma- can be a sink if increasing demand for wood products
nent GHG emission reductions. results in increased carbon storage. The potential
There may be potential to promote carbon sinks carbon sink in wood products is estimated to be
globally over the next 100 years or more to the extent small compared to the carbon sink in living vegeta-
of sequestering 90 GtC, but increasing carbon stocks tion and biomass, or compared to the potential of
in vegetation will ultimately reach ecological or wood products to displace fossil fuel consumption;
practical limits and other measures will need to be however, utilizing the full range of options may
adopted. Forests have a finite capacity to remove enable such products to play a significant role.
CO2 from the atmosphere. The provisions of the Indirectly, biomass could displace fossil fuels by
Kyoto Protocol with respect to sinks can be seen as a providing substitute products for energy intensive
valuable incentive to protect and enhance carbon materials such as steel, aluminum, and plastics
stock now, while possibly providing the biomass (Fig. 5). Although, product substitution will be
resources needed for continued substitution of fossil dependent on practical and technically feasible
fuels into the future. applications at a local to regional level, there is a
large potential to replace a range of materials in
5.2 Permanence domestic and industrial applications.
The construction industry is one example where
If a forest is harvested and not replanted (deforesta-
maximizing the use of biomass materials may
tion) or is permanently lost as a result of fire or
provide GHG emissions reductions of between 30
disease, then the carbon reservoir is lost. Whatever
and 85% in the construction of housing for example.
safeguards may be in place to protect against future
However, over its life cycle, house-heating require-
loss of stored carbon, it is impossible to guarantee
ments contribute 90% of the total associated GHG
indefinite protection, and therefore any emissions
emissions, therefore the use of bioenergy for domes-
reductions are potentially reversible and therefore
tic heating may provide a more significant role.
not guaranteed to be permanent.
Disposal options of wood products at the end of
For a sink to offset the emissions from the factory,
their usable life, such as landfill or combustion, can
the forest would have to be maintained in perpetuity.
influence CO2 emissions. Calculations suggest that a
The issue of permanence has become increasingly
prominent in discussions on measures to reduce
national and international GHG emissions. These
discussions focus around the use of accounting systems
to trace land areas ensuring that any loss in carbon
storage is identified and reported. This raises the issue
of intergenerational equity, where land use choice may
be foreseen as a liability to future generations.
In contrast, the GHG benefits resulting from the
utilization of biomass as an energy source are
irreversible. Even if the bioenergy system operates
for a fixed period, the offset effects are immediate
and are not lost even if the energy system reverts
back to fossil fuels.
Treated Concrete Tubular steel
roundwood 17 tonnes 38 tonnes
4 tonnes
CO2 km−1 CO km−1
2 CO km−1
2
6. POTENTIAL ROLE OF
WOOD PRODUCTS FIGURE 5 Biomass can be used as product substitutes such as
in the construction of transmission lines. In CO2-equivalents, 1 km
To date, most discussion and research relating to the using treated round wood would emit 4 tonnes CO2 km1,
compared to concrete 17 tonnes CO2 km1 and 38 tonnes
various roles of biomass in mitigating CO2 emissions CO2 km1 for tubular steel. This analysis was based on a 60-year
has been focused around its use as a fuel or as a sink. life cycle and includes the impact of disposal. From Matthews and
However, full utilization of the potential of biomass Robertson (2002).
234 Biomass: Impact on Carbon Cycle and Greenhouse Gas Emissions
Preferred uses
Timber production
7. INCREASING GLOBAL
IMPORTANCE
substitution, requires large areas of land. Competition, processes and the various applications of biomass
especially for food production, is likely to occur and products can influence the concentration of atmo-
vary widely from region to region. Large areas of spheric CO2. To fully appreciate the effect that
degraded land may be available in developing coun- biomass can have in terms of the carbon cycle and
tries, and through sustainable planning, such areas GHG emissions, a detailed assessment of global,
could be restored as energy crops while still encoura- regional, and local conditions taking a life-cycle
ging biodiversity and enhancing the local environment. approach should determine whether it is better
Biomass is often seen as a fuel of the past and one utilized as a sink, as fuel, or as long-lived timber
that is associated with poverty and poor health as products.
traditional uses have not been sustainable. However, The success of biomass, in the future of renewable
when managed in a sustainable manner ensuring that energy and sustainable production, will be strongly
all issues related to its practical exploitation are influenced by policy and economic incentives to
carefully considered, bioenergy can contribute sig- stimulate reductions in GHG emissions. Evaluating
nificantly to the development of renewable energy the options of carbon management through the use
markets in both the developed and less developed of biomass will require a number of considerations
countries. including prospective changes in land use, sustain-
Bioenergy is competing in a heavily subsidized able management practices, forest and crop produc-
market. Unless cheap or negative cost wastes and tivity rates, as well as the manner and efficiency with
residues are used, bioenergy is rarely competitive. For which biomass is used. Regardless of the focus,
large-scale energy crops to make a substantial biomass has a major role in the global energy system
contribution to the energy market and subsequently of the future.
to reducing GHG emissions, they need to be
competitive. Carbon and energy taxes may encourage
this transition. More efficient conversion technologies Acknowledgments
may also contribute through the provision of higher Financial support for this study was provided by the International
conversions at lower cost. Further development of Energy Agency (IEA) Implementing Agreement Task 38—Green-
combined heat and power as well as gasification house Gas Balances of Biomass and Bio-energy Systems. We are
grateful to Annette Cowie and to Gregg Marland for reviewing the
technologies will be crucial. The development of manuscript, Robert Matthews for assisting in the preparation of
dedicated fuel supply systems, including higher yields, the figures, and for the many useful comments provided by the
greater pest resistance, better management techniques National Task Leaders of IEA Bioenergy Task 38.
combined with reduced inputs, and improvements in
harvesting, storage, and logistics will be required to
lower costs and raise productivity without contribut- SEE ALSO THE
ing to nutrient and organic matter depletion.
FOLLOWING ARTICLES
greenhouse-gas accounting: Guiding principles with a focus on through storing carbon or providing biofuels. Biomass and
baselines and additionality. Energy Policy 28, 935–946. Bioenergy 24(4 and 5), 297–310.
Hall, D. O., and Scrase, J. I. (1998). Will biomass be the Matthews, R., and Robertson, K. (2002) Answers to ten frequently
environmentally friendly fuel of the future? Biomass and asked questions about bioenergy, carbon sinks and their role in
Bioenergy 15(4 and 5), 357–367. global climate change. IEA Bioenergy Task 38. http://www.
Hoogwijk, M., Faaij, A., van den Broek, R., Berndes, G., Gielen,
joanneum.ac.at/iea-bioenergy-task38/publications/faq/
D., and Turkenburg, W. (2003). Exploration of the ranges of the
Mooney, H., Roy, J., and Saugier, B. (eds.) (2001). ‘‘Terrestrial
global potential of biomass for energy. Biomass and Bioenergy
Global Productivity: Past, Present, and Future.’’ Academic
25(2), 119–123.
Press, San Diego, CA.
IEA Bioenergy Task 38 (2002). ‘‘Greenhouse Gas Balances of
Schlamadinger, B., and Marland, G. (1996). The role of forest and
Biomass and Bioenergy Systems.’’ http://www.joanneum.ac.at/
iea-bioenergy-task38/publications/ bioenergy strategies in the global carbon cycle. Biomass and
IPCC (2001). Climate change 2001. IPCC Third Assessment Bioenergy 10, 275–300.
Report. Intergovernmental Panel on Climate Change. Schlamadinger, B., and Marland, G. (2001). The role of bioenergy
IPCC (2002). ‘‘Climate Change 2001: The Scientific Basis. and related land use in global net CO2 emissions. In ‘‘Woody
Contribution of Working Group I to the Third Assessment Biomass as an Energy Source: Challenges in Europe’’ (P.
Report of the Intergovernmental Panel on Climate Change’’ (J. Pelkonen, P. Hakkila, T. Karjalainen, and B. Schlamadinger,
T. Houghton, Y. Ding, D. J. Griggs, M. Noguer, P. J. van der Eds.) EFI Proceedings No. 39, pp. 21–27. European Forest
Linden, X. Dai, K. Maskell, and C. A. Johnson, Eds.).
Institute, Finland.
Cambridge, UK, and New York, NY.
United Nations Development Programme (UNDP) (2000). World
Kheshgi, H. S., Prince, R. C., and Marland, G. (2000). The
Energy Assessment: Energy and the Challenge of Sustainability.
Potential of Biomass Fuels in the Context of Global Climate
Change: Focus on Transportation Fuels. Annual Rev. Energy United Nations Publications, New York.
and the Environment 25, 199–244. World Resources Institute (2003). Earth Trends. The Environ-
Kirschbaum, M. (2003). To sink or burn? A discussion of the mental Information Portal. Found at http://earthtrends.
potential contributions of forests to greenhouse gas balances wri.org
Biomass Resource Assessment
MARIE E. WALSH
Oak Ridge National Laboratory
Oak Ridge, Tennessee, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 237
238 Biomass Resource Assessment
the analysis becomes more geographically disaggre- Technical considerations include limits to collection
gated, that is, as it goes from the global level to the machinery efficiency and physical inaccessibility
local level. However, biomass resource quantities and such as forest harvest at high altitudes. Environ-
prices are influenced significantly by local conditions mental constraints include leaving a portion of
(e.g., soil quality and weather for agricultural agricultural and forest residues to maintain soil
residues, forest residues, energy crops) and the low quality and reduce erosion, although most studies
energy density of biomass resources (i.e., energy use very general rather than detailed local approx-
available vs volume and/or weight of the resource) imations to make this adjustment. Economic con-
that substantially increase transportation costs as straints generally include subtracting quantities of
distance increases. Conducting biomass resource biomass currently being used.
assessments at the smallest geographic unit feasible A study by Hall and colleagues illustrates this
is preferable. approach. They estimated reasonable current yields
of short-rotation woody crops that can be produced
in the midwestern United States. Theoretical max-
2. APPROACHES TO BIOMASS imum quantities based on photosynthetic efficiency
(a function of the amount of visible light that can be
RESOURCE ASSESSMENT captured, converted to sugars, and stored) are first
estimated. Losses from plant respiration are sub-
The inventory, quantity and associated cost, and
tracted. Biomass production rates are estimated next
supply curve approaches can be applied to all
by using the energy contained in the visible light that
biomass resources. However, throughout this article,
reaches an area (e.g., square meters) and multiplying
one resource category—energy crops—is used to
by the photosynthetic efficiency. For short-rotation
demonstrate each approach. Hypothetical examples
trees, this results in approximately 104 dry metric
are presented to facilitate simplicity and transpar- tons per hectare per year (dMT/ha/year) (where dry
ency; however, the costs and yields used in the
is 0% moisture). The theoretical maximum is then
examples are within the yield and production cost
adjusted for temperature, and this reduces biomass
ranges that can be realistically achieved.
yields to 60 dMT/ha/year. Adjustments for the parts
of the trees that will be used for energy (e.g., trunk,
branches) further reduce biomass yields to 35 dMT/
2.1 Inventory Approach
ha/year. Given additional adjustments for the light
The inventory approach is the most common method intercepted during the growing season, and assum-
used to evaluate biomass resources. This approach ing sufficient water, nutrients, and pest and disease
generally estimates physical quantities only and does control, expected yields of 10 to 15 dMT/ha/year are
not include costs or prices that can be paid. It is used reasonable. Genetic improvements could potentially
for local, regional, national, and global analysis. The double these yields. Total biomass is estimated as the
degree of sophistication ranges from simple local expected yields multiplied by the land available to
surveys and/or observation of local use, to GIS sate- support these yield levels. Results from selected
llite imaging, to solar radiation combined with soil inventory studies are shown in Table I. Units are
type, water and nutrient availability, and weather those reported by the authors of the study, with no
conditions to estimate biomass growth potential. attempt to adjust to a common measure.
Lack of available data (especially in developing
countries) is a major limitation and constrains the
types and geographic scale on which assessments can
2.2 Quantity and Associated
be made. Inventory approaches are highly useful in
Cost Approach
establishing theoretical maximum quantities of
biomass resources. The quantity and associated cost approach includes
Although most inventory studies estimate the an inventory approach component but extends
maximum physical quantities of biomass, some the assessment to include biomass cost estimates
adjust these quantities to estimate available re- in addition to physical quantities. This approach
sources by including physical, technical, economic, has been used in local to global assessments and
and/or environmental factors. Physical limitations varies substantially in complexity and sophistica-
include areas where temperature, soil, and water tion. Studies range from examining one bio-
conditions limit crop production opportunities. mass resource (e.g., an energy crop) to evaluating
240 Biomass Resource Assessment
TABLE I
Selected Biomass Quantities: Inventory Approach
Reference
number Biomass resources included Geographic region Biomass quantities
Sources. (1) Hall, D., Rosillo-Calle, F., Williams, R., and Woods, J. (1993). Biomass for energy: supply prospects. In ‘‘Renewable Energy:
Sources for Fuels and Electricity’’ (T. Johansson, H. Kelly, A. Reddy, and R. Williams, Eds.), pp. 593–651. Island Press, Washington, DC.
(2) Denman, J. (1998). Biomass energy data: System methodology and initial results. In ‘‘Proceedings of Biomass Energy: Data, Analysis, and
Trends’’ Paris, France. (3) Hernandez, G. (1998). Biomass energy in Latin America and the Caribbean: Estimates, analysis, and prospects. In
‘‘Proceedings of Biomass Energy: Data, Analysis, and Trends.’’ Paris, France. (4) Koopmans, A., and Koppejan, J. (1998). ‘‘Agriculture and
Forest Residues: Generation, Utilization, and Availability,’’ Food and Agricultural Organization Regional Wood, Energy Development
Programme in Asia. (5) World Energy Council, (2001). ‘‘Survey of Energy Resources.’’ London (www.worldenergy.org)
multiple resources (e.g., energy crops, forest residues, is U.S. $40/dMT. For the range approach, if expected
agricultural residues, animal wastes) in the geo- yields are 5 to 15 dMT/ha and corresponding pro-
graphic area examined. duction costs are U.S. $50 and $30/dMT, respec-
As a first step, these studies create an inventory of tively, the cost of supplying 50,000 to 150,000 dMT
available biomass resources using techniques similar is U.S. $30 to $50/dMT.
to those in the inventory approach and often include Production and/or collection costs generally in-
some physical, technical, economic, and environ- clude all variable cash costs, but the extent to which
mental adjustments. Biomass resource quantities fixed costs and owned resource costs are included
are estimated generally as an average amount or a varies substantially by study. For energy crops,
range. This approach can be applied to all of the variable cash costs include items such as seeds (e.g.,
biomass resources, but energy crops are used to grass crops); cuttings (e.g., tree crops); fuel, oil, and
illustrate it. lubrication; machinery repair; fertilizers and pesti-
The average approach estimates the amount of cides; hired labor; custom harvest; hired technical
resource available as the number of hectares that can services; and interest associated with purchasing
be used to produce energy crops times the average inputs used during production but not repaid until
yield per hectare. That is, if 10,000 ha are available the crop is harvested. Fixed costs include general
in a region and the average yield is 10 dMT/ha, the overhead (e.g., bookkeeping, maintaining fences and
total quantity of biomass available is 100,000 dMT. roads, equipment storage), property taxes, insurance,
The range approach generally estimates available management, and either rental payments for leasing
quantities as a minimum and a maximum (with a land or interest for purchasing land. Owned resource
minimum expected yield of 5 dMT/ha and a max- costs include a producer’s own labor, the value of
imum of 15 dMT/ha, for 10,000 ha, energy crop owned land, machinery depreciation costs, and either
quantities range from 50,000 to 150,000 dMT). the interest rate for loans to purchase machinery or
Biomass resource costs are estimated to corre- the forgone earnings that could be obtained if capital
spond to the average, minimum, and maximum to purchase machinery was invested in other
quantities. For the average approach, the costs of opportunities. Future changes in technologies (e.g.,
management and production practices associated machinery efficiency, crop productivity) require
with achieving the expected yield level are estimated. additional assumptions as to how costs will change
If expected yields are 10 dMT/ha, estimated cost is over time. No consensus international production
U.S. $40/dMT, and available land is 10,000 ha, the costs methodology exists, but some countries and
cost of supplying 100,000 dMFT of the energy crops regions have standard recommended methodologies
Biomass Resource Assessment 241
(e.g., the American Agricultural Economics Associa- global supply curves, whereas the more integrated
tion for methodology, the American Society of approaches are used for smaller geographic scales
Agricultural Engineers for methodology and machin- (e.g., a national level) due to the complexity of the
ery data). Table II presents results from selected models and data limitations. Most supply curve
studies. Units are those reported by the study analyses estimate supply curves independently for
authors, with no attempt to adjust to a common each biomass resource, although attempts to inte-
measure. grate multiple biomass resources that interact with
each other simultaneously are being pursued. An
increasing number of integrated supply curve ana-
2.3 Supply Curve Approach
lyses are either under way or planned.
In the supply curve approach, biomass resource For the energy crops example in the previous
quantities are estimated as a function of the price section, expected yields are 5, 10 (average), and
that can be paid for the resources. Estimates of 15 dMT/ha, with respective production costs of U.S.
several such price/quantity combinations can be used $50, $40, and $30/dMT. A simple supply curve can
to construct the supply curve. Supply curve estimates be estimated by increasing the number of yield/
can use simple approaches based largely on the production cost points (e.g., yields of 5.0, 7.5, 10.0,
quantity and associated cost approach for several 12.5, and 15.0 dMT/ha and corresponding produc-
quantity/cost combinations. More sophisticated ap- tion costs of U.S. $50, $45, $40, $35, and $30/dMT).
proaches generally use an optimization approach At this point, a typical return to the producer (profit)
(either profits are maximized or costs to produce a and/or a typical transportation cost (for defined
given quantity of resource are minimized). Integrated distances) may be added to the production cost
supply curve analyses also use optimization ap- estimates but are excluded from this example. The
proaches but generally conduct the analyses within land available for energy crop production is further
a dynamic framework (i.e., allow variables to change delineated to include that which can support each
in response to changes in other variables), allocate production level (of the 10,000 ha available, yields of
land in the case of energy crops or biomass resources 5.0 dMT/ha can be achieved on 1000 ha, 7.5 dMT/ha
to different end-use products based on relative on 2000 ha, 10.0 dMT/ha on 4000 ha, 12.5 dMT/ha
economics, and often try to incorporate as many on 2000 ha, and 15.0 dMT/ha on 1000 ha). Thus, at
physical, technical, environmental, economic, policy, U.S. $50, $45, $40, $35, and $30/dMT, quantities of
and social factors as is reasonably feasible. In energy crops that can be produced are 5000, 15,000,
general, the simpler approaches are used to estimate 40,000, 25,000, and 15,000 dMT, respectively. The
TABLE II
Selected Biomass Quantities and Costs: Quantity and Associated Cost Approach
1 United States Secondary mill residues 1.22 million dry tons/year $U.S. 20/dry ton
2 Finland Forest 3.6 cubic m/year FIM 12.5/GJ
8.8 cubic m/year FIM 15.3/GJ
3 Belarus SRWC 12 tons/ha 40 Euros/tona
6 tons/ha 100 Euros/tona
4 Nicaragua Eucalyptus 12.7 dMT/ha/year $1.7/GJb
Sources. (1) Rooney, T. (1998). ‘‘Lignocellulose Feedstock Resource Assessment,’’ NEOS Corporation, Lakewood, CO.
(2) Malinen, J., Pesonen, M., Maatta, T., and Kajanus, M. (2001). Potential harvest for wood fuels (energy wood) from logging residues and
first thinnings in southern Finland. Biomass and Bioenergy 20, 189–196.
(3) Vandenhove, H., Goor, F., O’ Brien, S., Grebenkov, A., and Timofeyev, H. (2002). Economic viability of short rotation coppice for energy
production for reuse of Caesium-contaminated land in Belarus. Biomass and Bioenergy 22, 421–431.
(4) van den Broek, R., van den Burg, T., van Wijk, A., and Turkenburg, W. (2000). Electricity generation from eucalyptus and bagasse by
sugar mill in Nicaragua: A comparison with fuel oil electricity generation on the basis of costs, macroeconomic impacts, and environmental
emissions. Biomass and Bioenergy 19, 311–335.
a
Price paid to farmer (not production cost).
b
Case study for one plant.
242 Biomass Resource Assessment
supply curve is constructed by ordering the costs Ridge National Laboratory (ORNL) and the Uni-
from lowest to highest value (U.S. $30 to $50/dMT) versity of Tennessee (UT) is used to illustrate the
and using cumulative quantities at each price level. integrated supply curve approach. Work completed is
Thus, for U.S. $35/dMT, the total quantity is that at presented, and possible extensions to the analysis are
U.S. $30/dMT (15,000 dMT) plus that between U.S. discussed.
$30 and $35/dMT (25,000 dMT) for a total of
40,000 dMT. Figure 1 illustrates the supply curve for
this example. 3.1 Model Description
A dynamic agricultural sector model (POLYSYS) is
used to estimate the potential for energy crop
3. EXAMPLE OF AN INTEGRATED production and its impacts on U.S. agriculture.
POLYSYS is structured as a system of interdependent
SUPPLY CURVE APPROACH FOR modules simulating crop supply and demand, live-
BIOMASS RESOURCE ASSESSMENT stock supply and demand, and farm income. Figure 2
provides a schematic of the POLYSYS model.
A joint U.S. Department of Agriculture and U.S. POLYSYS can simulate impacts on the U.S.
Department of Energy project conducted by Oak agricultural sector resulting from changes in market,
policy, technical, economic, or resource conditions. It
60
is anchored to published baseline projections and
50 estimates deviations from the baseline for planted
and harvested acres, yields, production quantities,
Price (U.S. $/dMT)
40
exports, variable costs, demand quantities for each
30 use, market price, cash receipts, government pay-
ments, and net income.
20
The crop supply module is composed of 305
10 independent regions with relatively homogenous
production characteristics (agricultural statistical
0
districts [ASDs]). Cropland in each ASD that can
0 50,000 100,000 150,000
be brought into crop production, shifted to produc-
Quantity (dMT) tion of a different crop, or moved out of production
FIGURE 1 Example supply curve for energy crops: simple is first identified The extent to which lands can shift
supply curve approach. among crops is a function of whether the profit for
FIGURE 2 Schematic of the POLYSYS model showing the linkages among the submodules. From Ray, D., De La Torre
Ugarte, D., Dicks, M., and Tiller, K. (1998). ‘‘The POLYSYS Modeling Framework: A Documentation’’ (unpublished report).
Agricultural Policy Analysis Center, University of Tennessee, Knoxville. (http://apacweb.ag.utk.edu/polysys.html.)
Biomass Resource Assessment 243
each crop is positive, negative, or a mixture for the input costs (e.g., seed, fertilizer, pesticides, custom
preceding 3 years, with larger land shifts permitted operations, fuel and lube, repairs, paid labor, drying,
for crops with negative profits. The amount of idle irrigation, technical services, interest), fixed costs
and pasture lands that can be shifted is limited to (e.g., insurance and taxes, storage, general over-
20% of the land in an ASD in any given year. Once head), capital returns on machinery, and the value of
the land that can be shifted is determined, the supply the producer’s own labor and management. The
module allocates available cropland among compet- analysis uses recommended methodology.
ing crops based on maximizing returns above costs
(profits).
3.2 Modification of Model to Include
The crop demand module estimates demand
Energy Crops
quantities and market prices for each crop and use
(e.g., food, feed, industrial). Crop demand is a POLYSYS was modified to include three energy
function of each crop’s own price, prices of other crops: switchgrass (Panicum virgatum), hybrid po-
crops that compete for the same end-use markets, plar (Populus spp.), and willow (Salix spp.). Switch-
and nonprice variables (e.g., quality, policy). The grass is a native perennial grass and a major species
livestock module uses statistically derived equations of the U.S. tall grass prairies. Hybrid poplar is a cross
that interact with the demand and supply modules to between two or more Populus spp. that include
estimate production quantities and market prices. aspens and cottonwoods. Willows used for energy
The primary link between the livestock and crop are improved varieties of native shrubs (not land-
sectors is through livestock feed demand. Livestock scaping ornamentals). Other trees and grasses can be
quantities are a function of current and previous used and may be preferred under some conditions;
years’ production and feed prices. The income however, many of these alternatives have similar
module uses information from the supply, demand, expected yields and production practices, so switch-
and livestock modules to estimate cash receipts, grass, poplar, and willow can serve as reasonable
production costs, government outlays, net returns to representations of other energy crops. U.S. cropland
farmers, and net income. identified as suitable for energy crop production
Each module is self-contained but works inter- (given current development status) and used in the
dependently to perform a multiperiod simulation. analysis is 149 million ha (368 million acres).
The demand module generates market prices used to The production location, yields, and management
form price expectations in the supply module that are practices of each energy crop differ across each ASD
used to allocate land to crops by ASD and to form in POLYSYS. Switchgrass is planted for 10 years and
national supply quantities. National supply quantities is harvested annually as large round bales. Varieties
are then returned to the demand module to estimate appropriate to each region are assumed, and fertilizer
prices, demand quantities, and surplus quantities that (quantity and type) varies by region. Hybrid poplar is
are carried over to the next year (i.e., carryover planted for 6- to 10-year rotations (depending on
stocks). The livestock sector is linked to the crop region) and is harvested once at the rotation end as
sector through feed grains where livestock quantities whole tree chips. Fertilizer applications vary by
affect feed grain demand and prices and feed grain region. Willows are planted in a 22-year rotation,
prices and supplies affect livestock production harvested every third year with regrowth from the
decisions. Livestock and crop production quantities stump following harvest (coppicing), and delivered
and prices are used by the income module. as whole tree chips. Fertilizer is applied during the
POLYSYS includes the major U.S. crops, that is, year following harvest. Herbicide applications for all
corn, soybeans, wheat, grain sorghum, oats, barley, crops are limited to the first 2 years of production.
cotton, rice, alfalfa, and other hay. The livestock All assumed management practices are based on
sector includes beef, pork, lamb and mutton, broiler research results, demonstration of commercial field
chickens, turkeys, eggs, and milk. Food, feed, experience where available, and expert opinion.
industrial, and export demands are considered as well Achievable energy crop yields on land currently
as carryover stocks. The model includes all U.S. lands producing traditional agricultural crops are used as
classified as cropland (174.7 million ha, 431.4 million the base yields in the analysis. Energy crop yields on
acres) currently in crop production, idled, in pasture, idled and pasture lands are assumed to be 85% of the
or in the Conservation Reserve Program (CRP). base yields. Production practices used on idle and
Crop production costs are developed using de- pasture lands are similar to those on cropped lands
tailed field operation schedules and include variable except for additional herbicide applications to kill
244 Biomass Resource Assessment
Acres
469,000 to 927,000
235,000 to 469,000
119,000 to 235,000
54,000 to 119,000
0 to 54,000
FIGURE 4 Distribution of energy crops on cropland currently in traditional crop production, idled, or in pasture at a price
of U.S. $2.44/GJ (U.S. $40/dry ton). From De La Torre Ugarte, D., Walsh, M., Shapouri, H., and Slinsky, S. (2003). ‘‘The
Economic Impacts of Bioenergy Crop Production on U.S. Agriculture,’’ Agricultural Economic Report No. 816. U.S.
Department of Agriculture, Washington, DC.
allowed to produce and harvest energy crops on CRP analysis described previously, a deterministic enter-
lands, 25% of the current rental rate is forfeited. prise version of POLYSYS was used. A stochastic crop
Thus, the decision to allocate CRP lands to energy rotation version also exists, and future plans are to
crop production is reduced to a comparison of their incorporate energy crops into this version. Because
present value profits and the present value of the POLYSYS is an agricultural sector model, additional
forgone CRP rental payments. agricultural-based biomass resources (e.g., corn
Under the wildlife scenario at U.S. $2.44/GJ, CRP stover, wheat straw) can be added. The removal of
lands are split between switchgrass (annual produc- agricultural residues raises many soil quality issues
tion of 1.0 million dMT) and hybrid poplar (35.1 such as erosion, carbon levels, moisture, and long-run
million dMT when harvested). Under the production productivity. POLYSYS was originally designed to be
scenario, switchgrass dominates, with 5.2 million ha able to evaluate environmental constraints and
(12.91 million acres) producing 50.3 million dMT impacts and includes several major soil types, tillage,
annually. The U.S. Congress used the analysis to and management options by crop rotation and ASD.
establish a pilot program (based on the wildlife Work is currently under way to estimate the amounts
scenario) to allow production and harvest of energy of agricultural residues that must be left on the field to
crops on CRP lands (Public Law 106-78, section maintain soil erosion and carbon at determined levels.
769). Figure 5 shows the distribution of CRP lands The work evaluates needed residue levels considering
under the production scenario at U.S. $2.44/GJ. grain yields, crop rotation, tillage and other manage-
ment practices, soil type, topology, and climate.
Response curves developed from this analysis will be
incorporated into POLYSYS, allowing biomass supply
3.4 Potential Extensions of the Integrated
curves for agricultural residues, energy crops, and
Supply Curve Analysis
traditional crops to be estimated simultaneously.
The POLYSYS model provides a solid decision The supply curves from POLYSYS, as well as the
framework to anchor additional analyses. For the underlying data used to produce them, can be used
246 Biomass Resource Assessment
Acres
469,000 to 927,000
235,000 to 469,000
119,000 to 235,000
54,000 to 119,000
0 to 54,000
FIGURE 5 Distribution of energy crops on Conservation Reserve Program (CRP) acres at a price of U.S. $2.44/GJ (U.S.
$40/dry ton) and assuming the production CRP scenario. From De La Torre Ugarte, D., Walsh, M., Shapouri, H., and Slinsky,
S. (2003). ‘‘The Economic Impacts of Bioenergy Crop Production on U.S. Agriculture,’’ Agricultural Economic Report No.
816. U.S. Department of Agriculture, Washington, DC.
Spatial Database
Production inputs Crop rotation
Tillage practices Geographic location
Landscape attributes Regional climate
Biomass resource
supply Economic
Life cycle
assessment impacts model
Transportation
and siting
model
• Greenhouse gas • Economic impacts
emissions • Employment
• Energy balance • Value added
• Fossil fuel • Product output
displacement • Farm income
FIGURE 6 Schematic of an integrated biomass system. The figure illustrates the relationship among potential extensions of
the integrated supply curve analysis (POLYSYS modeling).
International Institute for Applied Systems Analysis of this measure would facilitate comparisons across
defines assessments in terms of theoretical, technical, studies. It is important to note that trying to develop
and economic approaches. This article combines the one standard for all situations might not be an
theoretical and technical approaches into the inven- appropriate goal. Rather, a set of standards applic-
tory approach and divides the economic approach able to different situations may be better. Alternative
into the quantity and associated cost and supply methods might be needed to accommodate data
curve approaches. Recommended methodologies are limitations.
available for selected components of biomass re- Inclusion/exclusion of biomass resources currently
source assessments in some regions, but an interna- used for low-efficiency energy or nonenergy purposes
tional consensus of approaches flexible enough to be is a major conceptual difference among biomass
applied to different situations for all components resource assessments. Most studies exclude biomass
does not exist. resources currently used that can reduce available
As illustrated in Tables I and II, units to express quantities to as little as 10% of those produced in
results vary substantially by study. The various units some studies. The rationale for exclusion is that these
used are appropriate to the purpose of each study but alternative uses are more economically attractive
make it difficult to compare studies. With respect to relative to energy use. However, the relative attrac-
biomass resource assessments, dry metric tons are tiveness is based on current technologies, assumed
applicable to most solid biomass resources. Inclusion energy product, and existing economic, market,
248 Biomass Resource Assessment
policy, and regulatory conditions. Under different For those interested in finding out more about
conditions, the relative attractiveness can differ biomass resource assessments, bioenergy, and biopro-
radically. Some studies assume that currently used ducts, good starting points include biomass-related
resources are still available for energy use, but at journals, Web sites at institutions conducting biomass
higher prices. This approach allows greater flexibility research, and biomass conference proceedings.
to evaluate biomass potential under alternative
situations. Studies using this approach show that
under plausible technology, product, market, eco- 5. SUMMARY AND CONCLUSIONS
nomic, policy, and regulatory conditions, prices paid
for biomass can be sufficient to divert these resources Biomass resource assessments estimate the quantities
from existing uses to bioenergy and bioproduct uses. of resources available by location and price levels
A second major conceptual difference is the value given existing and potential physical, technical,
of idled land used to produce energy crops. Most environmental, economic, policy, and social condi-
studies assume zero to low value for idled lands. This tions. Three basic approaches are used to estimate
assumption is reasonable for severely degraded lands biomass resources: the inventory approach, the
that are physically unable to support most forest or quantity and associated cost approach, and the
food crop production such as previously forested supply curve approach. The inventory approach
areas that were clear cut, planted to food crops until estimates physical quantities of biomass resources
the soils were depleted, and then abandoned. only, with no consideration of price. The quantity and
Alternative uses for these lands are severely limited. associated cost approach typically estimates a mini-
However, in many industrialized nations, lands are mum–maximum range or average quantities along
idle due to low profits or policy and can be returned with corresponding production and/or collection
to production under different conditions. Under costs. The supply curve approach estimates biomass
these circumstances, the assumption of zero to low quantities as a function of the price that can be paid.
value is questionable; valuing idle lands based on Each is inclusive of the previous approach and results
their best alternative uses is more appropriate. in fewer available resources and higher prices.
A third conceptual difference involves whether to International consensus regarding the definition of
include environmental factors as constraints to biomass resource assessment, biomass terminology,
biomass quantities that can be collected or as impacts methodology, and units to express results is lacking.
that occur after collection. This difference is parti- Major differences in conceptual issues lead to
cularly apparent in the way in which available substantially different ways in which to conduct
agricultural residues are estimated, particularly with biomass resource assessments and to substantially
respect to soil erosion and carbon. Most studies different results of the analyses.
either ignore these issues altogether or view them as Data availability is a major constraint limiting the
impacts resulting from collection. Some studies types of biomass resource assessments that can be
acknowledge the erosion concerns and try to account done. Integrated supply curve approaches incorpor-
for them, albeit usually in simple ways (e.g., 50% of ating as many physical, technical, environmental,
residues must remain). Soil carbon implications are economic, policy, and social factors as are reasonably
rarely considered. In the United States, studies are feasible are extremely data intensive and involve
under way to estimate the quantities of agricultural creating complex models. However, they provide
residues that can be removed and still maintain soil maximum flexibility to examine changes in any given
erosion and carbon at defined levels under different variable, and if they are conducted in a dynamic
crop rotation, soil type, tillage and management framework, they allow variables within a model to
practices, crop yields, and geo-climatic conditions. change in response to each other. An example of an
In addition to conceptual differences and no integrated supply curve analysis in the United States,
standard definitions and methodologies, biomass with proposed extensions, was presented.
resource assessments are significantly affected by
data availability. In many cases, data are unavailable
to support even simple inventory approaches, much SEE ALSO THE
less the extremely data-intensive integrated supply FOLLOWING ARTICLES
curve approaches. Also, the complexity and difficulty
of creating integrated dynamic and stochastic models Biomass, Chemicals from Biomass Combustion
can be severely limiting. Biomass for Renewable Energy and Fuels Biomass
Biomass Resource Assessment 249
Gasification Biomass: Impact on Carbon Cycle and Overend, R., and Chornet, E. (eds.). (1999). ‘‘Proceedings of
Greenhouse Gas Emissions Forest Products and the Fourth Biomass Conference of the Americas: Biomass—
A Growth Opportunity in Green Energy and Value-Added
Energy Renewable Energy, Taxonomic Overview Products.’’ Elsevier Science, Oakland, CA.
Waste-to-Energy Technology ‘‘Proceedings of Bioenergy 2000: Moving Technology into the
Marketplace.’’ (2000). Northeast Regional Biomass Program,
Buffalo, NY.
‘‘Proceedings of Biomass Energy: Data, Analysis, and Trends
Further Reading
Conference.’’ (1998). International Energy Agency, Paris.
Biomass and Bioenergy. (n.d.). Elsevier Science, New York. ‘‘Proceedings of the First World Conference on Biomass for Energy
Hall, D. O., Rosillo-Calle, F., Williams, R. H., and Woods, J. and Industry.’’ (2001). James & James, Sevilla, Spain.
(1993). Biomass for energy: Supply prospects. In ‘‘Energy Walsh, M., De La Torre Ugarte, D., Shapouri, H., and Slinsky, S.
Sources for Fuels and Electricity’’ (T. Johansson, H. Kelly, A. (2003). Bioenergy crop production in the United States: pote-
Reddy, and R. Williams, Eds.), pp. 593–651. Island Press, ntial quantities, land use changes, and economic impacts on the
Washington, DC. agricultural sector. Environ. Resource Econ. 24, 313–333.
Bottom-Up Energy Modeling
JAYANT SATHAYE and ALAN H. SANSTAD
Lawrence Berkeley National Laboratory
Berkeley, California, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 251
252 Bottom-Up Energy Modeling
for providing energy services. It is distinguished from scenario Coherent and plausible combination of hypoth-
the more traditional approach taken by utilities, which eses, systematically combined, concerning the exogen-
focuses on the least costly way to provide specific types ous variables of a forecast.
of energy, with little or no consideration of less costly sensitivity analysis A method of analysis that introduces
alternatives that provide the same energy service at variations into a model’s explanatory variables to
lower costs. examine their effects on the explained.
linear programming A practical technique for finding the simulation model Descriptive model based on a logical
arrangement of activities that maximizes or minimizes a representation of a system and aimed at reproducing a
defined criterion subject to the operative constraints. simplified operation of this system. A simulation model
For example, it can be used to find the most profitable is referred to as static if it represents the operation of the
set of outputs that can be produced from a given type of system in a single time period; it is referred to as
crude oil input to a given refinery with given output dynamic if the output of the current period is affected
prices. The technique can deal only with situations by evolution or expansion compared with previous
where activities can be expressed in the form of linear periods. The importance of these models derives from
equalities or inequalities and where the criterion is also the impossibility of excessive cost of conducing experi-
linear. ments on the system itself.
macroeconomics The study of economic aggregates and top-down modeling A modeling approach that proceeds
the relationships between them. The targets of macro- from broad, highly aggregated generalizations to
economic policy are the level and rate of change of regionally or functionally disaggregated details.
national income (i.e., economic growth), the level of
unemployment, and the rate of inflation. In macro-
economics, the questions about energy are how its price Two general approaches have been used for the
and availability affect economic growth, unemploy- integrated assessment of energy demand and supply:
ment, and inflation, and how economic growth affects the so-called bottom-up and top-down approaches.
the demand for energy.
The bottom-up approach focuses on individual
marginal costs In linear programming, this term has the
technologies for delivering energy services, such as
very specific meaning of change of the objective
household durable goods and industrial process
function value as a result of a change in the right-
hand-side value of a constraint. If, for example, the technologies. For such technologies, the approach
objective is to minimize costs, and if the capacity of a attempts to estimate the costs and benefits associated
particular energy conversion facility, such as a power with investments in increased energy efficiency, often
plant, is fully utilized, the marginal cost in the linear in the context of reductions in greenhouse gas (GHG)
planning sense expresses the (hypothetical) reduction of emission or other environmental impacts. The top-
the objective function value (i.e., the benefit) of an down method assumes a general equilibrium or
additional unit of capacity. macroeconomic perspective, wherein costs are de-
market clearing The economic condition of supply equal- fined in terms of losses in economic output, income,
ing demand. or gross domestic product (GDP), typically from the
optimization model A model describing a system or imposition of energy or emissions taxes.
problem in such a way that the application of rigorous
analytical procedures to the representation results in the
best solution for a given variable(s) within the
constraints of all relevant limitations. 1. GOALS, CONTEXT, AND USE:
price elasticities The expected percentage change in BOTTOM-UP APPROACHES
quantity demand for a good given a 1% change in
price. A price elasticity of demand for electricity of 0.5 The fundamental difference between the two ap-
implies that a 1% increase in price will result in a half proaches is in the perspective taken by each on
percent decrease in demand for electricity. consumer and firm behavior and the performance of
renewable energy Energy obtained from sources that are markets for energy efficiency. The bottom-up ap-
essentially inexhaustible (unlike, for example, the fossil
proach assumes that various market ‘‘barriers’’
fuels, of which there is a finite supply). Renewable
prevent consumers from taking actions that would
sources of energy include wood, waste, wind, geother-
mal, and solar thermal energy. be in their private self-interest—that is, would result
retrofit To update an existing structure or technology by in the provision of energy services at lower cost.
modifying it, as opposed to creating something entirely These market barriers include lack of information
new from scratch. For example, an old house can be about energy efficiency opportunities, lack of access
retrofitted with advanced windows to slow the flow of to capital to finance energy efficiency investment, and
energy into or from the house. misplaced incentives that separate responsibilities
Bottom-Up Energy Modeling 253
for making capital investments and paying operating system models, and energy economy models. The
costs. In contrast, the top-down approach generally first three approaches would be referred to as
assumes that consumers and firms correctly perceive, bottom-up approaches and the last one as the top-
and act in, their private self-interest (are utility down approach today. From the late 1980s to date,
and profit maximizers) and that unregulated much of the attention in the application of these two
markets serve to deliver optimal investments in energy-sector approaches has focused on climate
energy efficiency as a function of prevailing prices. change mitigation, that is, the long-term stabilization
In this view, any market inefficiencies pertaining of climate change and the short-term reduction of
to energy efficiency result solely from the presence GHG emissions. The following sections focus on the
of environmental externalities that are not reflected evolution and use of energy-sector bottom-up ap-
in market prices. proaches as they have been applied for mitigation
In general, an assessment carried out using the assessment, particularly the short-term reduction of
bottom-up approach will very likely show signifi- GHG emissions.
cantly lower costs for meeting a given objective (e.g.,
a limit on carbon emissions) than will one using a
top-down approach. To some extent, the differences 2. STRUCTURE OF AN ENERGY
may lie in a failure of bottom-up studies to accurately SECTOR BOTTOM-UP ASSESSMENT
account for all costs associated with implementing
specific actions. Top-down methods, on the other The energy sector comprises the major energy
hand, can fail to account realistically for consumer demand sectors (industry, residential and commer-
and producer behavior by relying too heavily on cial, transport, and agriculture) and the energy
aggregate data, as noted by Krause et al. In addition, supply sector (resource extraction, conversion, and
some top-down methods sacrifice sectoral and delivery of energy products). GHG emissions occur
technology detail in return for being able to solve at various points in the sector, from resource
for general equilibrium resource allocations. Finally, extraction to end use, and, accordingly, options for
Boero et al. noted that top-down methods often mitigation exist at various points.
ignore the fact that economies depart significantly The bottom-up approach involves the development
from the stylized equilibria represented by the of scenarios based on energy end uses and evaluation
methods. Each approach, however, captures costs of specific technologies that can satisfy demands for
or details on technologies, consumer behavior, or energy services. One can compare technologies based
impacts that the other does not. Consequently, a on their relative cost to achieve a unit of GHG
comprehensive assessment should combine elements reduction and other features of interest. This
of each approach to ensure that all relevant costs and approach gives equal weight to both energy supply
impacts are accounted for. and energy demand options. A variety of screening
The two approaches have been used in the criteria, including indicators of cost-effectiveness as
development of national energy plans or policies that well as noneconomic concerns, can be used to identify
require identification and analysis of different actions and assess promising options, which can then be
that governments could take to encourage adoption combined to create one or more mitigation scenarios.
of energy technologies and practices. Based on such Mitigation scenarios are evaluated against the back-
analyses, policymakers can decide which options not drop of a baseline scenario, which simulates the
only satisfy specific policy objectives but are also events assumed to take place in the absence of
within institutional, political, and budget constraints. mitigation efforts. Mitigation scenarios can be
Typically, the analytic process will follow a series of designed to meet specific emission reduction targets
steps, each of which produces information for or to simulate the effect of specific policy interven-
decision makers. The manner in which these steps tions. The results of a bottom-up assessment can then
are performed will reflect each country’s resources, be linked to a top-down analysis of the impacts of
objectives, and decision-making process. energy sector scenarios on the macroeconomy.
Both approaches have been used extensively in the Energy-sector bottom-up assessments require phy-
assessment of costs of climate change mitigation. The sical and economic data about the energy system,
earlier literature dating to 1970s focused primarily socioeconomic variables, and specific technology
on evaluation of the energy and particularly the options, and GHG emissions if these are targeted.
petroleum sector, and categorized approaches into Using these data, a model or accounting system of the
sectoral models, industry-market models, energy energy sector is designed to suit local circumstances.
254 Bottom-Up Energy Modeling
The manner in which an assessment is performed end-use energy demands in the various sectors.
reflects each country’s resources, objectives, and Projecting energy demand also requires one to
decision-making process as well as the type of project activity levels in each subsector for indicators
modeling approach employed. Figure 1 depicts the such as tons of various industrial products, demand
basic steps of a typical mitigation assessment and for travel and freight transport, and number of urban
how they relate to one another. Some of the steps are and rural households. These projections are based on
interlinked, so they are not necessarily sequential, the assumptions for growth in key parameters such
and require iterations. as GDP and population. Assumptions about sectoral
An initial step is to assemble data for the base year policies with respect to energy pricing and other
on energy demand by sector, energy supply by type of factors are also important in developing projections
energy source, and energy imports and exports. The of energy demand.
disaggregated energy data is normalized to match the The data from the energy demand and supply
national energy supply totals for the base year. One analyses are then entered into an energy sector model
then calibrates base year emissions with the existing or accounting framework that allows for integrated
GHG inventory, as needed. The analyst also assem- analysis of the various options that can meet energy
bles data for the base year on the technologies used in requirements. This analysis calculates costs and
end-use sectors and in energy supply. impacts over the time horizon considered, the results
The data for the base year is used as a starting are reviewed for reasonableness, and uncertainty is
point for making projections of future parameters taken into consideration. This step involves combin-
and developing integrated scenarios of energy de- ing technology options to meet the objectives of each
mand and supply. On both the demand and supply scenario. The selection of technologies may be made
side, one identifies and screens potential technology directly by the analyst or performed by the model (as
options to select those that will be included in the with an optimization model).
analysis. The screening is guided by information The baseline scenario projects energy use and
from an assessment of energy resources, as well as emissions over the time horizon selected, reflecting
the potential for energy imports and exports. the development of the national economy and energy
Once the list of technologies has been made system under the assumption that no policies are
manageable by the screening process, the analyst introduced to reduce GHG emissions. The baseline
characterizes potential technology options in end-use scenario must include sufficient detail on future
sectors and in energy supply with respect to costs, energy use patterns, energy production systems, and
performance, and other features. On the demand technology choices to enable the evaluation of
side, this characterization will assist in projecting specific policy options. An alternative baseline
Screen potential
technology options
Key scenario
assumptions: GDP, Assess policy
population, sectoral options to
policies, etc. achieve goals
Develop
mitigation
strategy
scenario can be developed if desired (for example, to focus on fuels and energy conversion or end-use
reflect different assumptions about GDP growth). technologies and treat the rest of the economy in an
Policy scenarios can be defined to meet particular aggregated fashion. At the other extreme are pure
emission reduction targets, to assess the potential top-down models, which treat energy markets and
impact of particular policies or technologies, or to technologies in an aggregated manner and focus
meet other objectives. The comparisons of policy and instead on economy-wide supply-demand relations
baseline scenarios reveal the net costs and impacts of and optimizing behavior. Between these two cases are
the policy options. The results are assessed with a number of models that combine elements of both
respect to reasonableness and achievability, given extremes with various degrees of emphasis and detail.
barriers to implementation and the policy instru- The description of the future varies among the
ments that might be used, such as taxes, standards, models. Some models can only analyze a snapshot
or incentive programs. year and compare this to another year, without any
For both baseline and policy scenarios, the analyst representation of the transition between them.
assesses the impacts on the macroeconomy, social Dynamic models, on the other hand, allow for
goals (such as employment), and the national time-dependent descriptions of the different elements
environment. One approach is to integrate bottom- of the energy system. While the snapshot models
up assessment with a macroeconomic model. Deci- enable great detail in the representation of the
sion analysis methods that allow for consideration of system, dynamic models allow for representation of
multiple criteria may also be appropriate. technology capacity transfer between time periods
After scenarios have been analyzed and options and thus time-dependent capacity expansion, time-
have been ranked in terms of their attractiveness (on dependent depletion of resources, and abatement
both quantitative and qualitative terms), it is desir- costs as they vary over time.
able to conduct a more detailed evaluation of policies In dynamic modeling, information about future
that can encourage adoption of selected options. costs and prices of energy is available through two
Such an evaluation can play an important role in diametrically different foresight assumptions. With
the development of a national strategy. The latter myopic foresight, the decisions in the model are
step requires close communication between analysts, made on a year-by-year basis, reflecting the assump-
policymakers, and other interested parties. tion that actors expect current prices to prevail
indefinitely. Assuming perfect foresight, the decisions
at any year are based on the data for the entire time
horizon. The model thus reflects the activities of
3. TYPICAL MODELS FOR market participants as if they use the model itself to
A BOTTOM-UP ENERGY predict prices.
SECTOR ASSESSMENT Table I summarizes the key design features of
some of the models. Most of the models listed in
Bottom-up assessments of the energy sector typically Table I can be used to integrate data on energy
use an accounting or modeling framework to capture demand and supply. The models can use this
the interactions among technologies and to ensure information for determining an optimal or equili-
consistency in the assessment of energy, emission, brium mix of energy supply and demand options.
and cost impacts. Accounting and modeling methods The various models use cost information to different
can vary greatly in terms of their sophistication, data degrees and provide for different levels of integration
intensiveness, and complexity. This section provides between the energy sector and the overall economy.
an overview of key concepts and capabilities of some
models that have been used for this purpose in
energy/environmental studies in developing and 3.1 Energy Accounting Models
industrialized countries. Energy accounting models reflect an engineering or
As discussed earlier, it is common to divide energy input-output conception of the relations among
models into two types, so-called bottom-up and top- energy, technology, and the services they combine
down, depending on their representation of technol- to produce. This view is based on the concept of
ogy, markets, and decision making. In practice, there energy services that are demanded by end users.
is a continuum of models, each combining technolo- Schematically, this can be represented as follows:
gical and economic elements in different ways. At one
extreme are pure bottom-up energy models, which Energy inputs4Technology4Energy services:
256 Bottom-Up Energy Modeling
TABLE I
Key Design Features of Types of Bottom-Up Energy Sector Models
Energy supply representation Process analysis Process analysis Supply curve Process analysis
Energy demand representation Exogenous Exogenous Exogenous Utility maximization
Multiperiod Yes Yes Yes Yes
Consumer/producer foresight Not applicable Perfect/myopic Myopic Perfect/myopic
Solution algorithm Accounting Linear or nonlinear optimization Iteration Nonlinear optimization
For policy purposes, the significance of this approach projections—that is, there is no explicit representa-
is that a given type and level of energy service can be tion of feedback from the energy sector to the overall
obtained through various combinations of energy economy. While different models contain different
inputs and technologies. In particular, holding the levels of detail in representing the supply sector,
service constant while increasing the energy effi- supply-demand balancing in this type of model is
ciency of the technology allows decrease in the accomplished by back calculation of supply from
required level of energy input. In a range of cases, demand projections.
when other factors are held equal, this lowers the In contrast to optimization models, accounting
overall cost of the energy service. With accounting models cannot easily generate a least-cost mitigation
models, the evaluation and comparison of policies is solution. They can be used to represent cost-
performed by the analyst external to the model itself. minimizing behavior estimated by the analyst,
These models are essentially elaborations on the however. They tend to require less data and expertise
following accounting identity describing the energy and are simpler and easier to use than optimization
required for satisfying a given level of a specific models.
energy service:
E ¼ AI; 3.2 Engineering Optimization Models
where E indicates energy, A indicates activity, and In engineering optimization models, the model itself
I indicates intensity. With multiple end uses, aggre- provides a numerical assessment and comparison of
gate energy demand is simply the sum as follows: different policies. These models are linear programs
E ¼ Sum of ðAi Ii Þ: in which the most basic criterion is total cost of
providing economy-wide energy services under dif-
Accounting models are essentially spreadsheet ferent scenarios; when this criterion is used, the
programs in which energy flows and related informa- structure of this type of model as used in mitigation
tion such as carbon emissions are tracked through analysis can be represented schematically as follows:
such identities. The interpretation of the results, and
the ranking of different policies quantified in this Minimize total cost of providing energy
manner, is external to the model and relies primarily and satisfying end-use demand subject to
on the judgment of the analyst.
1. Energy supplied, energy demanded
Note that these calculations assume that a number
2. End-use demands satisfied
of factors are held constant, including energy service
3. Available resource limits not exceeded
level and equipment saturations. Also, these expres-
sions represent a quasi-static view; in actual practice, In addition to the overall optimization structure of
such calculations would be performed over time these models, perhaps the key distinction between
paths of costs, activities, intensities, and prices these and the accounting models is that, within the
developed in scenario construction. Finally, it is easy model structure itself, trade-offs are made among
to see that factors for carbon savings from the shift to different means of satisfying given end-use demands
efficient technologies can be easily included in such for energy services.
calculations. The intertemporal structure of these linear pro-
In energy accounting models, macroeconomic gramming models varies. Some are constructed
factors enter only as inputs in deriving demand-side to perform a target year analysis: the model is
Bottom-Up Energy Modeling 257
first parameterized and run for the base year, then cesses are represented with standard model forms,
the procedure is repeated for a single designated with application specific data, and linked together as
future year (typically 2005, 2010, or 2020). Others appropriate. Prices and quantities are then adjusted
perform a more elaborate dynamic optimization, iteratively until equilibrium is achieved. This itera-
in which time paths of the parameters are incorpo- tive approach makes it much easier to include
rated and the model generates time paths of noncompetitive-market factors in the system than
solutions. in the optimization approach.
In engineering optimization models, macroeco-
nomic factors enter in two ways. First, they are used
to construct forecasts of useful energy demands. 3.4 Hybrid Models
Second, they can be introduced as constraints. For In hybrid models, the basic policy measure is the
example, the overall cost minimization can be maximization of the present value of the utility of a
constrained by limits on foreign exchange or capital representative consumer through the model planning
resources. In both cases, the models do not provide horizon. Constraints are of two types: macroeco-
for the representation of feedbacks from the energy nomic relations among capital, labor, and forms of
sector to the overall economy. energy, and energy system constraints. The model
Supply and demand are balanced in engineer- generates different time paths of energy use and costs
ing optimization models by the presence of con- and macroeconomic investment and output. The
straints, as indicated earlier. The engineering detail energy submodel contains representations of end-use
and level of disaggregation used in both the technologies, with different models containing dif-
supply and demand side are at the discretion of the ferent levels of detail. Schematically, this type of
user, and in practice these vary widely among model can be represented as follows:
models.
This type of model allows several means of Maximize ðdiscountedÞ utility of consumption
analyzing GHG emissions and the effects thereupon subject to
of various policy options. For example, as an
alternative to minimizing energy costs, criteria such 1. Macroeconomic relations among output, in-
as minimizing carbon output subject to the con- vestment, capital, labor, and energy
straints can be employed. In addition, an overall 2. Energy system and resource constraints (as in
cap on carbon emissions can be entered as a engineering optimization models)
constraint in the model and the cost minimiza-
tion performed with this restriction. Each such The constraints in this case are also dynamic: they
approach allows the comparison of different policy represent time paths for the model variables.
intervention. In this type of model, energy demands are
endogenous to the model rather than imposed
exogenously by the analyst. In addition, this optimi-
3.3 Iterative Equilibrium Models
zation structure indicates the difference we noted
These models incorporate the dynamics of market earlier in the way the different models incorporate
processes related to energy via an explicit representa- macroeconomic data. Specifically, in accounting and
tion of market equilibrium—that is, the balancing of engineering optimization models, these data—on
supply and demand. These are used to model a GDP, population growth, capital resources, and so
country’s total energy system and do not explicitly on—enter essentially in the underlying constructions
include an economy model integrated with the of the baseline and policy scenarios. In the hybrid
energy system model. Thus, macroeconomic factors model, however, such data enter in the macroeco-
enter the model exogenously, as in the previous nomic relations (technically, the aggregate produc-
model types discussed. (That is, demands for energy tion function) as elasticities and other parameters.
services are derived from macroeconomic drivers Within this model framework, changes in energy
rather than being obtained endogenously.) These demand and supply can feed back to affect macro-
models thus occupy an intermediate position be- economic factors. It should be noted that, despite
tween engineering, energy-focused models, and pure their inclusion of engineering optimization subcom-
market equilibrium models. ponents, these models typically do not contain as
The methodology employed to solve the model is much detail on specific end-use technologies as many
a process network wherein individual energy pro- purely engineering models.
258 Bottom-Up Energy Modeling
4.1 Incorporating Efficiency versus Equity 4.3 Representing Decision Rules Used
by Consumers
None of the models discussed earlier provide
explicitly for making trade-offs between efficiency Accounting models contain no explicit representation
and equity. Different models, however, have different of consumer decision making. In practice, however,
implications for the analyst’s consideration of this their use often reflects the view that certain market
important issue. Nonoptimization models do not barriers constrain consumers from making optimal
themselves choose among different policies in an decisions with respect to energy efficiency. At the
explicit way but can allow for the ranking of policies other extreme, the use of the representative consumer
according to criteria specified by the analyst, includ- in the optimization models rests on strong assump-
ing considerations of equity. Engineering optimiza- tions regarding consumer behavior, serving primarily
tion models, since they focus on least-cost solutions to ensure mathematical and empirical tractability.
to the provision of energy services, leave to the Key among these are perfect foresight and essential
analyst the judgment of how to trade-off the homogeneity among consumers or households.
importance of energy with that of other economic
and social priorities. The models that optimize the
utility of a representative consumer, in a sense, 4.4 Incorporating Technical Change
constrain consideration of the issue the most. Another set of key assumptions about inputs are
Embedded in this modeling structure is a view of those made about the costs and efficiencies of current
the economic system that equates social optima with and future technologies, both for energy supply and
competitive economic equilibria; the appropriateness energy use. Most analysts use a combination of
of this perspective in the application at hand must be statistical analysis of historical data on the demand
weighed carefully. for individual fuels and a process analysis of
individual technologies in use or under development
4.2 Aggregation over Time, Regions, to represent trends in energy technologies. At some
point these two approaches tend to look quite similar
Sectors, and Consumers
though, as the end-use process analysis usually runs
Perhaps the most fundamental formulation issue is out of new technology concepts after some years or
the level of aggregation at which costs and benefits decades, and it is then assumed that the efficiency of
are calculated. Economic efficiency is generally the most efficient technologies for which there is an
insured if discounted net benefits are maximized in actual proposed design will continue to improve as
the aggregate; any desired income redistribution is time goes on. Particularly important, but difficult,
handled subsequently. Decision makers, however, are here is projecting technological progress. Almost all
fundamentally interested in how the costs and top-down models have relied on the assumption of
benefits fall on various income, industry, and ‘‘exogenous’’ or ‘‘autonomous’’ technical change, that
regional groups. Coupled with the relative emphasis is, productivity trends (relating to energy as well
of the analysis on equity versus efficiency is the as other factors of production) that are a function
desired level of disaggregation of the model by of time only, and in particular not affected by
region, time periods, industry, and income group. either changes in relative factor prices or by policy
Bottom-Up Energy Modeling 259
interventions. Bottom-up approaches, by contrast, described here, which aggregate several fuel types
assume (usually implicitly) that technological progress and use average carbon emissions factors for each
can be accelerated by policy intervention. This fossil fuel.
difference constitutes another significant contrast
between the two approaches. There has been an
acceleration of research, among top-down modelers, 5. DATA SOURCES FOR
on incorporating technological change that is ‘‘en- BOTTOM-UP ANALYSIS
dogenous’’—that is, responsive to price changes,
policies, or both. This research may eventually Regardless of the approach taken and analysis tool
contribute to a partial reconciliation of the two used, the collection of reliable data is a major and
approaches in the treatment of technological progress. relatively time-consuming aspect of bottom-up ana-
lysis. To keep data constraints from becoming a
serious obstacle to the analysis, two points are
4.5 Capturing Facility essential. First, the bottom-up model should be
Retirement Dynamics sufficiently flexible to adapt to local data constraints.
Most modeling approaches focus on investments in Second, the data collection process should be as
new energy producing and consuming equipment, efficient as possible. Efficiency can be maximized by
which is typically assumed to have a fixed useful focusing the detailed analysis on sectors and end
lifetime. In scenarios where conditions change uses, where the potential for GHG mitigation is most
significantly (either through external factors or significant, and avoiding detailed data collection and
explicit policy initiatives), it may be economic to analysis in other sectors.
retire facilities earlier or later than dictated purely by Data collection generally begins with the aggre-
physical depreciation rates. This endogenous calcula- gate annual energy use and production figures
tion of facility retirement dates can be handled typically found on a national energy balance sheet.
analytically in most models, but it represents a major The remaining data requirements depend largely on
increase in data and computational requirements. (1) the disaggregated structure of the analysis, (2) the
specific technology and policy options considered,
and (3) local conditions and priorities.
4.6 Avoiding Extreme Solutions Table II shows the typical types of data needed for
a bottom-up approach to mitigation analysis. They
Another typical problem, particularly with models tend to fall within five general categories: macro-
that assume optimizing behavior on the part of economic and socioeconomic data, energy demand
individual economic agents, is the danger of knife data, energy supply data, technology data, and
edge results, where a small difference in the cost of emission factor data. The full listing of potential
two competing technologies can lead to picking the data requirements may appear rather daunting. In
cheaper one only. This is generally handled by practice, however, much of the data needed may
disaggregating consumers into different groups who already be available in the form of national statistics,
see somewhat different prices for the same technol- existing analytical tools, and data developed for
ogy (e.g., coal is cheaper in the coal fields than a previous energy sector studies. The development and
thousand miles away), modeling the decision process agreement on baseline projections of key variables,
as somewhat less than perfect, or building appro- the characterization of mitigation options relevant to
priate time lags into the modeling structure. local conditions, and, if not already available, the
compilation of disaggregated energy demand data
are typically the most challenging data collection
4.7 Accounting for Carbon Flows
tasks facing the analyst.
Finally, estimating carbon flows for a given energy In general, emphasis should be placed on locally
system configuration can be complicated. It is more derived data. The primary data sources for most
accurate to measure emissions as close to the point of assessments will be existing energy balances, indus-
combustion as possible so types of coal and oil try-specific studies, household energy surveys, elec-
product can be distinguished and feedstocks (which tric utility company data on customer load profiles,
do not necessarily produce carbon emissions) can be oil company data on fuel supply, historical fuel price
netted out. However, a point-of-use model requires series maintained by government departments, vehi-
far more data and computation than the models cle statistics kept by the transportation department,
260 Bottom-Up Energy Modeling
TABLE II
Data Sources for a Bottom-Up Mitigation Analysis
Macroeconomic variables
Aggregate driving variables GDP/value added, population, household National statistics and plans;
size macroeconomic studies
More detailed driving variables Physical production for energy intensive Macroeconomic studies; transport sector
materials; transportation requirements; studies; household surveys, etc.
agricultural production and irrigated
area; changes in income distribution, etc.
Energy demand
Sector and subsector totals Fuel use by sector/subsector National energy statistics, national energy
balance, energy sector yearbooks (oil,
electricity, coal, etc.)
End-use and technology characteristics by Energy consumption breakdown by enduse Local energy studies; surveys and audits;
sector/subsector and device: e.g., energy use characteristics studies in similar countries; general rules
of new versus existing building stock; of thumb from end-use literature
vehicle stock; breakdown by type,
vintage, and efficiencies; or simpler
breakdowns
Response to price and income changes Price and income elasticities Local econometric analyses; energy
(optional) economics literature
Energy supply
Characteristics of energy supply, Capital and O&M costs, performance Local data, project engineering estimates,
transport, and conversion facilities (efficiencies, unit intensities, capacity Technical Assessment Guide; IPCC
factors, etc.) Technology Characterization Inventory
Energy prices Local utility or government projections; for
globally traded energy products
Energy supply plans New capacity online dates, costs, National energy plans; electric utility plans
characteristics or projections; other energy sector
industries (refineries, coal companies, etc.)
Energy resources Estimated, proven recoverable reserves of Local energy studies
fossil fuels; estimated costs and potential
for renewable resources
Technology options
Technology costs and performance Capital and O&M costs, performance Local energy studies and project engineering
(efficiencies, unit intensities, capacity estimates; technology suppliers; other
factors, etc.) mitigation studies
Penetration rates Percent of new or existing stock replaced per
year; overall limits to achievable potential
Emission factors Kg GHG emitted per unit of energy National inventory assessments; IPCC
consumed, produced, or transported Inventory Guidelines IPCC Technology
Characterization Inventory
and so on. The main thrust of the data collection high-efficiency motors or combined cycle gas units)
effort is not so much on collecting new primary data may be unavailable locally, particularly if the
but on collating secondary data and establishing a technologies are not presently in wide use. For this
consistent data set suitable for analysis using the purpose, technology data from other countries can
model of choice. provide indicative figures and a reasonable starting
Where unavailable, particularly in developing point. For data on energy use patterns, such as the
country analyses, local data can be supplemented fraction of electricity used for motor drive in the
with judiciously selected data from other countries. textile industry, the use of extemal data can be
For example, current and projected cost and perfor- somewhat more problematic. In general, it may be
mance data for some mitigation technologies (e.g., possible to use estimates and general rules of thumb
Bottom-Up Energy Modeling 261
suggested by other country studies, particularly data baseline scenario. In an optimization model, the use
from other countries with similar characteristics. of different technologies is to a certain degree
decided within the model, dependent on how much
one wants to constrain the evolution of the baseline
6. DEVELOPING SCENARIOS FOR scenario. For example, the analyst might choose to
USE IN A BOTTOM-UP ASSESSMENT construct a baseline scenario in which the energy
supply system closely reflects or extrapolates from
A bottom-up assessment typically compares the published plans. Alternately, the analyst might
energy and environmental consequences of one choose to give the model more flexibility to select a
future scenario against another. The scenarios may future energy supply system based on specific
be composed of widely different views of the world criteria. If one is using an optimization model, it is
(e.g., a rapidly growing economic world versus a necessary to introduce certain constraints if one
slowly growing one). These types of scenarios allow wishes to force the model toward a solution that
companies to prepare for operations in either type of approximates a business-as-usual future.
future. Often, governments though may wish to The rate of economic growth and changes in
analyze the consequences of their policy or program- domestic energy markets are among the most
matic actions and in such a case it is desirable to important assumptions affecting projected baseline
compare a policy scenario against a reference one. emissions. Official government GDP projections may
The latter is often referred to as a business-as-usual differ from other macroeconomic projections. In
or baseline scenario. Developing these scenarios is a terms of domestic energy markets, the removal of
complex process. It requires the combining of both energy price subsidies could greatly affect fuel choice
analyses with some judgment of the future evolution and energy efficiency, and thus baseline emissions
of variables that are likely to affect the energy and and the impacts of mitigation options.
environment system. A preparatory step in developing a baseline
scenario is to assemble available forecasts, projec-
tions, or plans. These might include national
6.1 Developing a Baseline Scenario
economic development plans, demographic and
Developing a baseline scenario that portrays social, economic projections, sector-specific plans (e.g.,
demographic, and technological development over a expansion plans for the iron and steel industry),
20- to 40-year or longer time horizon can be one of plans for transport and other infrastructure, studies
the most challenging aspects of a bottom-up analysis. of trends in energy use (economy wide, by sector, or
The levels of projected future baseline emissions by end use), plans for investments in energy facilities
shape the amount of reductions required if a specific (electricity expansion plans, new gas pipelines, etc.),
policy scenario target is specified and the relative studies of resource availability, and projections of
impacts and desirability of specific mitigation op- future resource prices. In short, all studies that
tions. For instance, if many low-cost energy effi- attempt to look into a country’s future—or even
ciency improvements are adopted in the baseline the future of a region—may provide useful informa-
scenario, this would yield lower baseline emissions tion for the specification of a baseline scenario.
and leave less room for these improvements to have However, it is unlikely that every parameter needed
an impact in a policy scenario. to complete the baseline scenario will be found in
Development of a baseline scenario begins with national documents or even that the documents will
the definition of scenario characteristics (e.g., busi- provide a consistent picture of a country’s future. As
ness as usual). Changes in exogenous driving vari- with much of the modeling process, the judgment of
ables are then specified and entered into the model, the analyst in making reasonable assumptions and
which is run to simulate overall energy use and choices is indispensable.
emissions over the time horizon selected. The base-
line scenario is evaluated for reasonableness and 6.1.1 Developing Projections of Energy Demand
consistency and revised accordingly. Uncertainty in In bottom-up approaches, projections of future
the evolution of the baseline scenario can be reflected energy demand are based on two parameters for
through a sensitivity analysis of key parameters such each subsector or end use considered: a measure of
as GDP growth. the activity that drives energy demand and a measure
The procedure will vary somewhat depending on of the energy intensity of each activity, expressed in
the modeling approach used and the nature of a energy units per unit of activity.
262 Bottom-Up Energy Modeling
Measures of activity include data on household available, they give limited information for econo-
numbers, production of key industrial products, and mies that have undergone significant structural
demand for transport and services. Activity may be changes or changes in taxation/subsidies on energy.
measured in aggregate terms at the sectoral level Even if reliable historical data are available, assump-
(e.g., total industrial value added, total passenger-km tions on the development of the energy intensities
or ton-kin) and by using indicators at the subsector have to be made using careful judgment about the
level. These two measures need not be identical. For status of existing end-use technologies and future
example, total industrial value added is a common efficiency improvements that should be included in
indicator for aggregate activity for the industrial the projections.
sector, but for specific subsectors such as steel or It is important to distinguish between improve-
cement one often uses tons of production as a ments included in the exogenous demand projections
measure of activity. In general, physical measures of and improvements that are explicitly included as
activity are preferable, but they are not appropriate technology options in the model. For example, future
in all cases (such as in light industry, where there is improvements of building insulation standards can
no aggregate measure of physical production). either be directly included in the demand projections
In bottom-up approaches, future values for driv- as an improvement of intensity for space heating or
ing activities are exogenous—that is, based on modeled as technology options that can be chosen
external estimates or projections rather than being individually in the assessment, depending on their
estimated by the model itself. Future values can be attractiveness in the different scenarios. The distinc-
drawn from a variety of sources or estimated using tion is especially important in optimization models.
various forecasting methods. Estimates of the future One can assume that the insulation standards will be
levels of activity or equipment ownership depend on implemented (e.g., through use of regulations) or
local conditions and the behavioral and functional allow the model to choose the implementation. In the
relationships within each sector. latter case, the insulation option will be implemented
Projections of the future development of energy if its cost is less than the cost of supplying the heat
intensities in each subsector or end use can be using available options for space heating.
expressed in terms of final energy or useful energy. Once the initial baseline scenario is prepared, it is
When the choice of end-use options is conducted reviewed to assess whether it presents a comprehen-
within the model, however, the energy demand sive and plausible future for the country in light of
should be given in terms of useful energy to allow real-world constraints. Some specific questions might
the model to select among technologies for meeting include the following:
the energy requirements.
Projections should start from the base year values, *
Can the indicated growth rates in energy demand
such that the sum of the product of energy intensity be sustained over the study period? Is it a
and activity level in each subsector add up to total reasonable rate, given recent experience in the
final or useful energy use in the base year. In energy country and region?
statistics, the data are normally presented in terms *
Is the level of capital investment needed to sustain
of final energy. If the useful energy refers to the the indicated levels of industrial growth likely to
amount of energy required to meet particular be forthcoming?
demands for energy services. It is typically estimated *
Will the country be able to afford the bill for fuel
by multiplying final energy consumption by the imports that is implied by the baseline scenario?
average conversion efficiency of end-use equip- *
Will the capital investment needed for energy
ment (e.g., of oil-fired boilers). Applying the concept supply system expansion be available, given
of useful energy is more difficult in the transport competition for limited financial resources?
sector, although one can use the estimated conver- *
Is the indicated increase in transportation use
sion efficiency of generic engine types in various plausible, given current and planned
vehicle classes. If the projections are to be given in transportation infrastructure?
useful energy units, the statistical data should be *
Are the emission factors in use appropriate for
converted using estimated base year efficiencies for future technologies?
each end use.
Ideally, the projections of energy intensities are Answers to these types of questions might indicate
based in part on historical developments. To the the need for adjustments to the baseline scenario or
extent statistical data on a disaggregated level are sensitivity analyses of key parameters.
Bottom-Up Energy Modeling 263
6.2.1 Objectives for a Policy Scenario Any one of the three types—accounting, optimiza-
Several objectives are possible for designing a policy tion, and iterative equilibrium—of models discussed
scenario. The objective depends on political and here can address questions 1 and 2. Question 1a is
practical considerations. Types of objectives include important for developing country planners, since
the following: these two cost components are often insufficient in
these countries.
*
Emission reduction targets. For example: 12.5% Question 3 is easiest to address using an optimiza-
reduction in CO2 emissions by 2010, and 25% tion model. Question 4 requires that energy supply
reduction by 2030, from baseline levels. An and demand be evaluated in an integrated manner. A
alternative is to specify reductions from base year demand-side mitigation measure may change the
levels, which avoids making the amount of energy supply configuration measure, which will
reduction dependent on the specification of the affect the GHG emissions of the energy system. The
baseline scenario. optimization and iterative models are capable of
*
Identification of options up to a certain cost per capturing the integrated effect and deriving the
ton of energy or emissions reduction. The energy changes in environmental emissions. The accounting
or emissions reduction given by the resulting models may not capture the changes in the energy
technology mix would reflect the level of supply mix and the consequent GHG emissions and
reduction that could be achieved at a certain thus may show higher emissions reduction for a
marginal cost. mitigation measure. Only the optimization models
*
No-regrets scenario. This scenario is a common can calculate marginal costs directly. In the other
variant of the previous type of objective, where models, an approximation of the marginal cost curve
the screening threshold is essentially zero cost per can be constructed by performing a large number of
tonne of energy or GHG reduced. carefully selected runs.
264 Bottom-Up Energy Modeling
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 265
266 Business Cycles and Energy Prices
Index,
1982 = 100
150
120
90
60
30
48 54 60 66 72 78 84 90 96 02
FIGURE 1 Real oil prices and U.S. business cycles. Episodes of sharply rising oil prices have preceded 9 of the 10
post-World War II recessions in the United States (bars).
Business Cycles and Energy Prices 267
empirical studies confirmed an inverse relationship offered for why rising oil prices hurt economic
between oil prices and aggregate economic activity activity, only the classic supply-side effect can
for the United States and other countries. The latter account for declining GDP, a rising price level, and
research included James Hamilton’s finding that higher interest rates.
other economic forces could not account for the
negative effect that rising oil prices had on U.S. 2.1 A Classic Supply Shock
economic activity.
Economists have offered a number of explana- Many economists consider an oil price shock to be
tions for why rising oil prices hurt aggregate U.S. illustrative of a classic supply shock that reduces
economic activity. The most basic explanation is output. Elevated energy prices are a manifestation of
the classic supply shock, in which rising oil prices increased scarcity of energy, which is a basic input to
are indicative of the reduced availability of an production. With reduced inputs with which to
important input to production. Another explana- work, output and labor productivity are reduced.
tion is that rising oil prices result in income transfers (In more mild cases, the growth of output and
from oil-importing nations to oil-exporting nations, productivity are slowed.) In turn, the decline in
which reduces U.S. aggregate demand and slows productivity growth reduces real wage growth and
economic activity. increases the unemployment rate.
The remaining explanations sought to attribute If consumers expect such a rise in oil prices to be
the effects of oil price shocks to developments in the temporary, or if they expect the short-term effects of
financial markets. One is simply that the monetary output to be greater than the long-term effects, they
authorities responded to rising oil prices with a will attempt to smooth their consumption by saving
contractionary monetary policy that boosted interest less or borrowing more. These actions boost the real
rates. Another is that rising oil prices led to increased interest rate. With reduced output and a higher real
money demand as people sought to rebalance their interest rate, the demand for real cash balances
portfolios toward liquidity. A failure of the monetary declines and the price level increases (for a given rate
authority to meet growing money demand with an of growth in the monetary aggregate). Therefore,
increased money supply boosted interest rates. In higher oil prices reduce real GDP, boost real interest
either case, rising interest rates retarded economic rates, and increase the price level (Table I). The
activity. expected consequences of a classic supply shock are
Sorting through the explanations that economists consistent with the historical record.
have offered for the inverse relationship between oil
prices and economic activity requires a comparison
2.2 Income Transfers and Reduced
between how the economy has responded to oil price
Aggregate Demand
shocks historically and how the various explanations
suggest the economy should respond. In the United When oil prices increase, there is a shift in purchasing
States, past episodes of rising oil prices have power from the oil-importing nations to the oil-
generally resulted in declining GDP, a higher price exporting nations. Such a shift is another avenue
level, and higher interest rates (Table I). As discussed through which oil price shocks could affect U.S.
later, of the various explanations that have been economic activity. Rising oil prices can be thought of
as being similar to a tax that is collected from oil-
TABLE I importing nations by oil-exporting nations. The
increase in oil prices reduces purchasing power and
Expected Responses to Increasing Oil Price
consumer demand in the oil-importing nations. At
Price Interest the same time, rising oil prices increase purchasing
Real GDP level rate power and consumer demand in the oil-exporting
nations. Historically, however, the increase in con-
Historical record Down Up Up
sumer demand occurring in oil-exporting nations has
Classic supply Down Up Up
been less than the reduction in consumer demand in
shock
the oil-importing nations. On net, world consumer
Aggregate demand Down Down Down
shock demand for goods produced in the oil-importing
Monetary shock Down Down Up nations is reduced.
Real balance effect Down Down Up Reduced consumer demand for goods produced in
the oil-importing nations increases the world supply
268 Business Cycles and Energy Prices
of savings, which puts downward pressure on breakdown in the relationship between oil and the
interest rates. Lower interest rates could stimulate economy during the 1980s and 1990s led researchers
investment, partially offsetting the lost consumption to question the pure supply shock theory of real
spending and partially restoring aggregate demand. business cycle models and to revisit other channels
The net result, however, is a reduction in aggregate through which oil could affect the economy, such as
demand. changes in monetary policy.
The reduction in aggregate demand puts down- However, it is difficult to explain the basic effects
ward pressure on the price level. Economic theory of oil price shocks on aggregate economic activity
suggests that real prices will continue to decline until using monetary policy. Restrictive monetary policy
aggregate demand and GDP are restored to preshock will result in rising interest rates, reduced GDP
levels. However, if nominal prices are sticky down- growth, reduced inflation, and reduced nominal GDP
ward, as most economists believe, the process of growth (Table I). This is inconsistent with the
adjustment will not take place, and aggregate historical record.
demand and GDP will not be restored—unless
unexpected inflation increases as much as GDP
growth declines. 2.4 The Real Balance Effect
The reduction in aggregate demand necessitates a The real balance effect was one of the first explana-
lower real price level to yield a new equilibrium. If the tions that economists offered for the aggregate
real price level cannot decline, consumption spending economic effects of an oil price. In this theory, an
will decline more than investment spending increases. increase in oil prices led to increased money demand
Consequently, aggregate demand and output are as people sought to rebalance their portfolios toward
reduced. With nominal prices downward sticky, the liquidity. The failure of the monetary authority to
only mechanism by which the necessary reduction in meet growing money demand with an increased
real prices can occur is through unexpected inflation money supply would boost interest rates and retard
that is at least as great as the reduction in GDP economic growth, just like a reduction in the money
growth. Domestically, the necessary change in infla- supply. Adjustment would put downward pressure
tion can be accomplished through a monetary policy on the price level. The effects would be higher
that holds the growth of nominal GDP constant. A interest rates, lower GDP, and a reduced price level,
monetary policy that allows nominal GDP to decline inconsistent with the historical record (Table I).
will not generate enough unexpected inflation to
restore aggregate demand and output.
To the extent that income transfers and reduced 2.5 Sorting through the Basic Theories
aggregate demand account for the aggregate effects
Of the explanations offered for the inverse relation-
of oil price shocks, monetary policy would have to
ship between oil price shocks and GDP growth, the
allow nominal GDP to decline. The aggregate effects
classic supply-side shock argument best explains the
would be lower interest rates, reduced real GDP, and
historical record (Table I). The classic supply shock
inflation that decreased or increased by less than the
explains the inverse relationship between oil prices
reduction in real GDP growth (Table I). These effects
and real GDP and the positive relationship between oil
are inconsistent with the historical record for the
price shocks and measured increases in inflation and
United States, which shows that interest rates rise,
interest rates. Income transfers that reduce aggregate
real GDP declines, and the price level increases by as
demand can explain reduced GDP but cannot explain
much as real GDP declines. Such a record seems to
rising interest rates. Neither monetary policy nor the
indicate that the effects of income transfers are
real balance effect can explain both slowing GDP
negligible at best.
growth and increased inflationary pressure.
aggregate economic activity. Consequently, addi- effects of oil price shocks across countries and time.
tional explanations for the intensity of the response Asserting that monetary policy was tightened in each
are important. Among the possible explanations are of the countries he examined, Bohi concluded that
restrictive monetary policy, adjustment costs, coordi- much of the negative impact of higher oil prices on
nation externalities, and financial stress. output must be due to restrictive monetary policy.
Similarly, Ben Bernanke, Mark Gertler, and Mark
Watson showed that the U.S. economy responds
3.1 Monetary Policy
differently to an oil price shock when the federal
Monetary policy can influence how an oil price shock funds rate is constrained to be constant than when it
is experienced. When the monetary authorities hold is unconstrained. In their unconstrained case, a sharp
the growth of nominal GDP constant, the inflation increase in oil prices leads to a higher federal funds
rate will accelerate at the same rate at which real rate and a reduction in real GDP. With the federal
GDP growth slows. To the extent that the market is funds rate held constant, they found that an oil price
slow to adjust to monetary surprises, a more increase leads to an increase in real GDP. Defining
accommodative monetary policy, which is accom- neutral monetary policy as holding the federal funds
plished by reducing interest rates, would temporarily rate constant, they found that monetary policy has
offset or partially offset the losses in real GDP while tightened in response to increased oil prices, and they
it increased inflationary pressure. A counterinfla- conclude that this monetary tightening accounts for
tionary (restrictive) monetary policy, which is ac- the fluctuations in aggregate economic activity.
complished by increasing interest rates, would Despite some findings to the contrary, other
temporarily intensify the losses in real GDP while it research casts doubt on the idea that monetary
reduced inflationary pressure. policy accounts for much of the response of
In the case of counterinflationary monetary policy, aggregate economic activity to oil price shocks.
adjustment could be lengthy. If nominal wages and James Hamilton and Ana Maria Herrera show that
prices are sticky downward, real wages and prices the findings of Bernanke et al. are sensitive to
would fail to decrease as is necessary to clear the specification. Using a longer lag time, Hamilton
markets. Consequently, unemployment would in- and Herrera found that oil price shocks have a
crease, aggregate consumption would decline, and substantially larger direct effect on the real economy.
GDP growth would be slowed beyond that which Furthermore, with the longer lag time, Hamilton and
would arise directly from the supply shock. Herrera found that even when the federal funds rate
If wages are nominally sticky downward, the is kept constant, an oil price shock still yields a
reduction in GDP growth will lead to increased sizeable reduction in output, which implies that
unemployment and a further reduction in GDP monetary policy has little effect on easing the real
growth, unless unexpected inflation increases as consequences of an oil price shock.
much as GDP growth decreases. The initial reduction Hamilton and Herrera’s findings are consistent
in GDP growth is accompanied by a reduction in with research conducted by others that showed that
labor productivity. Unless real wages decrease by as counterinflationary monetary policy was only partly
much as the reduction in labor productivity, firms responsible for the real effects of oil price shocks
will lay off workers, which will generate increased from 1970 to 1990. Some researchers agree that
unemployment and exacerbate GDP losses. There- monetary policy has become more restrictive follow-
fore, if nominal wages are sticky downward, the only ing an oil price shock but conclude that oil price
mechanism by which the necessary wage reduction shocks have a stronger and more significant impact
can occur is through unexpected inflation that is at on real activity than monetary policy.
least as great as the reduction in GDP growth. Brown and Yücel argue that U.S. monetary policy
Several lines of research assert that restrictive likely has had no role in aggravating the effects of
monetary policy accounts for much of the decline in past oil price shocks. Using a specification similar to
aggregate economic activity following an oil price that of Bernanke et al., Brown and Yücel found that
increase. Douglas Bohi reasoned that energy-inten- oil price shocks lead to an increased federal funds
sive industries should be most affected if a classic rate, reduced real GDP, and an increased price level.
supply shock explains the principal effects of oil price The increase in the price level is approximately the
shocks. Using industry data for four countries, Bohi same as the reduction in real GDP, which means that
found no relationship between the industries affected nominal GDP is unchanged. Such a finding conforms
and their energy intensity. He also found inconsistent to Robert Gordon’s definition of monetary neutrality,
270 Business Cycles and Energy Prices
which is achieved when monetary policy is adjusted stock to respond to rising energy prices. The
to hold nominal GDP constant. consequences are slow adjustment and a disruption
Brown and Yücel also criticize the assertion that to economic organization when energy prices in-
an unchanged federal funds rate necessarily repre- crease, with stronger effects in the short term
sents a neutral monetary policy. They found that compared to the long term.
holding the federal funds rate constant (in a counter- In a similar way, changes in oil prices can also
factual experiment) after an oil price shock boosts create sectoral imbalances by changing the equili-
real GDP, the price level, and nominal GDP, which is brium between the sectors. For example, rising oil
consistent with Gordon’s definition of accommoda- prices require a contraction of energy-intensive
tive monetary policy. In short, monetary policy can sectors and an expansion of energy-efficient sectors.
cushion the real effects of an oil price shock but at These realignments in production require adjust-
the expense of accelerating inflation. ments that cannot be achieved quickly. The result
The use of the federal funds rate to gauge the is increased unemployment and the underutilization
effects of monetary policy can be faulty when the of resources.
economy is adjusting to a supply shock. As explained
previously, the attempt by consumers to smooth
3.3 Coordination Problems
consumption in response to a basic supply shock
accounts for the higher interest rates. In a market Coordination problems are a potential outgrowth of
with rising interest rates, a policy of holding the sectoral imbalances. Coordination problems arise
federal funds rate constant will accelerate money when individual firms understand how changing oil
growth, contributing to short-term gains in real GDP prices affect their output and pricing decisions but
and increased inflationary pressure. lack enough information about how other firms will
In summation, oil price shocks create the potential respond to changes in oil prices. As a consequence,
for a monetary policy response that exacerbates the firms experience difficulty adjusting to each other’s
basic effects of an oil supply shock. The research actions and economic activity is further disrupted
assessing whether monetary policy has amplified the when oil prices increase.
basic effects of a supply shock is contradictory, but
the most compelling evidence suggests monetary
3.4 Uncertainty and Financial Stress
policy has had a relatively small or no role in
amplifying the basic effects in the United States. Uncertainty about future oil prices increases when oil
Furthermore, interest rates are not a good way to prices are volatile, and such uncertainty reduces
assess the effect of monetary policy when there is a investment. When firms are uncertain about future
supply shock, and measured in other ways, monetary oil prices, they find it increasingly desirable to
policy has remained neutral in response to past oil postpone irreversible investment decisions. When
price shocks. technology is embedded in the capital, the firm must
irreversibly choose the energy intensity of its
production process when purchasing its capital. As
3.2 Adjustment Costs
uncertainty about future oil prices increases, the
Adjustment costs are another way in which the basic value of postponing investment decision increases,
response to rising oil prices might be amplified. and the net incentive to invest decreases. In addition,
Adjustment costs can arise from either capital stock uncertainty about how firms might fare in an
that embodies energy technology or sectoral imbal- environment of higher energy prices is likely to
ances. In either case, adjustment costs can further reduce investor confidence and increase the interest
retard economic activity. rates that firms must pay for capital. These two
To a great extent, the technology that a firm effects work to reduce investment spending and
chooses for its production is embedded in the capital weaken economic activity.
equipment it purchases. (Economists refer to this
characteristic of technology and capital as ‘‘putty–
3.5 Sorting through the Explanations
clay’’ because the firm can vary its energy-to-output,
capital-to-output, and labor-to-output ratios over A consensus about why the effects of rising oil prices
the long term as it purchases capital but not in the are so strong has not been reached. Recent research
short term.) With production technology embedded casts doubt on the idea that monetary policy is the
in the capital stock, a firm must change its capital primary factor amplifying the aggregate economic
Business Cycles and Energy Prices 271
effects of oil price shocks. No empirical research statistically significant and stable negative relation-
has attempted to sort through the other effects— ship between the net oil price series and output,
adjustment costs, coordination problems, and finan- whereas various series constructed to reflect episodes
cial stress. In fact, these effects are consistent of sharp oil price declines do not seem to have any
with observed facts and are mutually reinforcing explanatory power. In a related vein, Steven Davis
rather than mutually exclusive. All three effects may and John Haltiwanger constructed an oil price series
be at work. that combined asymmetry with persistence and also
found an asymmetric relationship between oil price
shocks and economic activity.
4. ASYMMETRY OF THE RESPONSE
4.2 Understanding Asymmetry
Prior to the 1980s, the large shocks in oil prices were
increases. The 1980s brought the first major decrease Classic supply-side effects cannot explain asymmetry.
in oil prices, and it gradually became evident that Operating through supply-side effects, reductions in
U.S. economic activity responded asymmetrically to oil prices should help output and productivity as
oil price shocks. That is, rising oil prices hurt U.S. increases in oil prices hurt economic output and
economic activity more than declining oil prices productivity. Accordingly, economists have begun to
helped it. Although all but one of the post-World explore the channels through which oil prices affect
War II recessions followed sharp rises in oil prices, economic activity. Monetary policy, adjustment costs,
accelerated economic activity did not follow the coordination problems, uncertainty and financial
sharp price declines of the 1980s and 1990s. stress, and asymmetry in the petroleum product
markets have been offered as explanations. Of these,
adjustment costs, coordination problems, and financial
4.1 The Discovery of Asymmetry
stress seem most consistent with the historical record.
Initially, the weak response of economic activity to
oil price decreases was seen as a breakdown in the
4.3 Monetary Policy and Asymmetry
relationship between oil price movements and the
economy, and researchers began to examine different Monetary policy may contribute to an asymmetric
oil price specifications in their empirical work to response in aggregate economic activity to oil price
reestablish the relationship between oil price shocks shocks in two ways. Monetary policy may respond to
and economic activity. Knut Mork found that when oil price shocks asymmetrically. Another possibility
he grouped oil price changes into negative and is that nominal wages are sticky downward but not
positive oil price changes, oil price increases had upward, and monetary policy is conducted in such a
more effect on economic activity than oil price way that nominal GDP declines when oil prices are
decreases. Later research conducted by others found rising and nominal GDP increases when oil prices are
that oil price increases had a significant effect on declining.
economic activity, whereas oil price decreases did When oil prices increase, real wages must decline
not. Similar asymmetry was also found at a more to clear markets and restore equilibrium. If real
detailed industry level, and further research estab- wages do not decline, the economic displacement
lished that economic activity in seven industrialized will be greater. When oil prices decline, real wages
countries responded asymmetrically to oil price must increase to clear markets and restore equili-
movements. brium. If real wages do not increase, the gains in
Hamilton further refined the analysis by creating economic activity will be greater.
what he called a ‘‘net oil price.’’ This measure of oil If nominal wages are sticky downward, an
prices attempts to capture episodes of oil price increase in unexpected inflation that is at least as
increases that are outside normal market fluctua- great as the decline in real GDP is necessary to yield
tions. This measure reflects only those increases in oil the necessary reduction in real wages. If the
prices that take the price higher than it has been in monetary authority maintains a neutral monetary
the past 12 months. (Technically, the net oil price policy (nominal GDP is unchanged), prices will
series is the price of oil for all periods in which the increase as much as real GDP declines, and real
price is higher than it has been during the past wages will adjust sufficiently. If the monetary
12 months and zero in all other months.) Hamilton’s authority conducts policy such that nominal GDP
research and subsequent research by others found a declines, however, prices will increase by less than
272 Business Cycles and Energy Prices
the amount that real GDP declines, and because 4.5 Uncertainty and Financial Stress
nominal wages are sticky downward, real wages will
Uncertainty and financial stress may also contribute
not adjust sufficiently to restore equilibrium.
to an asymmetric response in aggregate economic
Because nominal wages can adjust upward freely,
activity to oil price shocks. As explained by Peter
however, unexpected disinflation is not required for
Ferderer, uncertainty about future oil prices is
adjustments in real wages to occur, and the conduct
reflected in increased interest rates and reduced
of monetary policy is not as important. If the
monetary authority conducts policy such that nom- investment demand, which adversely affect aggregate
economic activity. In addition, if the energy-to-
inal GDP increases, prices will increase by more than
output ratio is embedded in the capital stock, firms
the real GDP declines, but because nominal wages
will find it increasingly desirable to postpone
adjust upward freely, real wages will increase enough
irreversible investment decisions until they are more
to restore equilibrium. Consequently, a monetary
certain about future oil prices.
policy that boosts nominal GDP when oil prices fall
Volatile oil prices contribute to oil price uncer-
would have less effect on real activity than a policy
tainty and weaker economic activity, whether oil
that decreases nominal GDP when oil prices rise.
John Tatom provided early evidence that mone- prices are increasing or decreasing. As is the case for
adjustment costs, uncertainty and financial stress
tary policy responded asymmetrically to oil price
augment the basic supply-side effect when oil prices
shocks by showing that the economy responded
are increasing and offset the basic supply-side effect
symmetrically to oil price shocks if the monetary
when oil prices are decreasing. The result is that
policy is taken into account. In a later contribution,
aggregate economic activity responds to oil price
Peter Ferderer showed that monetary policy cannot
shocks asymmetrically.
account for the asymmetry in the response of real
activity to oil price shocks. Nathan Balke, Stephen
Brown, and Mine Yücel found that the Federal 4.6 Asymmetry in Petroleum
Reserve’s response to oil price shocks does not cause Product Prices
asymmetry in real economic activity. In their model,
the asymmetry does not disappear, and is in fact Petroleum product prices are another avenue through
enhanced, when monetary policy (as measured by which the economy may respond asymmetrically to
either the federal funds rate or the federal funds rate fluctuations in crude oil prices. A considerable body of
plus expectations of the federal funds rate) is held research shows that petroleum product prices respond
constant. asymmetrically to fluctuations in oil prices, and most
of the price volatility originates from crude oil prices
rather than product prices. It is a relatively short leap
4.4 Adjustment Costs and to suggest that asymmetry in the response of product
Coordination Problems prices may account for the asymmetry between crude
James Hamilton contributed the idea that adjust- oil prices and aggregate economic activity.
ment costs may lead to an asymmetric response to Hillard Huntington found that the economy
changing oil prices. Rising oil prices retard economic responds symmetrically to changes in petroleum
activity directly, and decreasing oil prices stimulate product prices, but that petroleum product prices
economic activity directly. The costs of adjusting to respond asymmetrically to crude oil prices. The
changing oil prices retard economic activity whether consequence is an asymmetric relationship between
oil prices are increasing or decreasing. Consequently, crude oil prices and aggregate economic activity.
rising oil prices result in two negative effects on These findings need further examination, but sub-
economic activity that reinforce each other. On the stantial research shows that the asymmetric response
other hand, declining oil prices result in both of aggregate economic activity to oil price shocks
positive and negative effects, which tend to be arises through channels that cannot be explained by
offsetting. the asymmetric response of product prices alone.
As described previously, these adjustment costs
can be the result of the energy-to-output ratio being
4.7 Sorting through the Explanations
embedded in the capital or the result of sectoral
of Asymmetry
imbalances. Coordination problems may reinforce
adjustment costs whether oil prices are increasing or Although asymmetry is now fairly well accepted,
decreasing. relatively few studies have attempted to distinguish
Business Cycles and Energy Prices 273
empirically through what channels oil price shocks operated were not known with certainty. During
might yield an asymmetric response in aggregate the latter half of the 1990s, however, the relationship
economic activity. The available research seems to seemed to weaken. In the late 1990s and early 2000s,
rule out the likelihood that asymmetry is the result of rising oil prices had less effect on economic activity
monetary policy, but the findings are consistent with than previous research suggested might have been
explanations of asymmetry that rely on adjustment expected.
costs, coordination problems, or uncertainty and Rising oil prices led to increases in the unemploy-
financial risk. ment rate from the early 1970s through the early
Prakash Loungani found that oil price shocks lead 1990s, and unemployment declined with oil prices
to a reallocation of labor across sectors, which from 1982 through 1990 and in the late 1990s
increases the unemployment rate, whether oil prices (Fig. 2). Nonetheless, the relationship began to
are increasing or decreasing. These sectoral shifts are weaken in the late 1990s. Although oil prices were
consistent with adjustment costs and coordination relatively strong, the unemployment rate continued
problems, but they do not preclude uncertainty and to decline. One explanation is that high world oil
financial risk. prices were a result of a strong world economy, and
Steven Davis and John Haltiwanger assessed the strong demand rather than a supply shock accounted
channels through which oil price shocks affect for rising oil prices.
economic activity. By examining job elimination The data also show a weaker relationship between
and creation data, they found that allocative rising oil prices and core inflation in the late 1990s
channels (e.g., changes in the desired distributions (Fig. 3). Mark Hooker reevaluated the oil price–
of labor and capital) contribute to the asymmetric inflation relationship and found that since approxi-
response of aggregate economic activity to oil price mately 1980, oil price changes have not seemed to
shocks. Again, sectoral shifts are consistent with affect core measures of inflation. Prior to 1980,
adjustment costs and coordination problems, but however, oil price shocks contributed substantially to
they do not preclude uncertainty and financial risk. core inflation in the United States. One possibility is
In addition, Davis and Haltiwanger showed that the that U.S. monetary policy in the Volcker and Green-
allocative effects are relatively strong and reinforce span eras was significantly less accommodative to oil
the basic supply-side effect when oil prices are price shocks than it had been under their predeces-
increasing and cancel the basic supply-side effect sors, and thus monetary policy no longer contributed
when prices are declining. to high inflation.
Balke, Brown, and Yücel found that monetary Nonetheless, the relationship between oil prices
policy responds asymmetrically because the economy and interest rates was relatively unchanged through
has responded asymmetrically to oil price shocks and the 1990s. Rising oil prices led to higher interest
that monetary policy cannot account for the asym- rates, which is the expected consequence of supply
metry. They also found that output and interest rates shocks that have greater short-term effects than
respond asymmetrically to oil price shocks, with the
shocks transmitted through asymmetric movements in
market interest rates. Such interest rate movements 2002
Percent $/barrel
are consistent with several explanations for asymme-
12 80
try. Asymmetric movements in the interest rates may
Unemployment rate 70
be indicative of the increased uncertainty and financial 10
risk that result from oil price shocks. Alternatively, 60
8
movements in market interest rates may be a 50
reflection of expectations that oil price shocks will 6 40
necessitate costly adjustments in the future.
30
4
20
2
5. A WEAKENING RESPONSE Oil price 10
0 0
By the mid-1990s, the quantitative relationship 1971 1977 1983 1989 1995 2001
between oil prices and economic activity seemed FIGURE 2 Real oil prices and U.S. unemployment. Unemploy-
fairly robust and reasonably well understood, even if ment declined with oil prices from 1982 to 1990 and in the late
the exact channels through which the effects 1990s, but the relationship began to weaken in the late 1990s.
274 Business Cycles and Energy Prices
30 6 105
20 4 95
10 2 85
Core inflation, CPI
0 0 75
1971 1977 1983 1989 1995 2001
65
FIGURE 3 Real oil prices and core inflation. Prior to 1980, real 1949 1955 1961 1967 1973 1979 1985 1991 1997
oil prices and core inflation were more closely related.
FIGURE 5 Decrease in U.S. energy-to-GDP ratio. The energy-
to-GDP ratio has decreased since the end of World War II. Higher
energy prices contributed to strong reductions in the energy-to-
Index, GDP ratio from the mid-1970s to the mid-1980s.
Percent 1982 = 100
18 120
16 than oil supply shocks, and prior experience with oil
100
14
Oil price price shocks. In addition, the 1990s boom was
12 Interest rate 80 marked by strong productivity gains that may have
(5 year bond)
10 simply obscured the relationship between oil prices
60 and aggregate economic activity.
8
6 40
4
20 5.2 A Reduced Energy-to-GDP Ratio
2
0 0 Although it represents a continuing trend, the energy
1960 1966 1972 1978 1984 1990 1996 2002 consumption-to-GDP ratio declined from the 1970s
FIGURE 4 Real oil prices and U.S. interest rates. Oil prices and to the early 2000s (Fig. 5). On the basis of this
market interest rates moved closely together until mid-2000. decline, Brown and Yücel estimate that the U.S.
economy may have been approximately one-third
less sensitive to oil price fluctuations in 2000 than it
was in the early 1980s and approximately half as
long-term effects (Fig. 4). Brown and Yücel have
sensitive as it was in the early 1970s.
shown that some of the increases in the U.S. federal
funds rate that occurred in 1999 and 2000 may have
been part of a general increase in market interest 5.3 Increased Demand Rather Than a
rates that resulted from higher oil prices. Since
Supply Shock
approximately mid-2000, however, interest rates
have not increased with oil prices. This changing Another factor that could have contributed to a
relationship may be further evidence of an economy weakening relationship between oil prices and
that is becoming less sensitive to oil price shocks. economic activity was the fact that rising oil prices
in the late 1990s were largely the result of economic
expansion. Price increases that are the result of
5.1 Factors Contributing
increased demand rather than supply shocks may be
to a Weakening Relationship
less disruptive to economic activity.
Several factors have likely contributed to a weaken- Due to increased energy efficiency, U.S. oil con-
ing relationship between oil prices and economic sumption increased only moderately during the 1990s,
activity during the past three decades, including a but oil consumption in the industrialized nations
reduced energy-to-GDP ratio, the fact that oil price increased steadily (Fig. 6). World oil consumption
increases were the result of increased demand rather was further boosted by the dramatic gains in oil
Business Cycles and Energy Prices 275
Millions of $/barrel
barrels per day
80
80
70
70 Real, 2002$
60
60 Rest of the world
50
50
40
40
30
30 Other industrialized nations 20 Nominal
20 10
10 United States 0
0 1971 1977 1983 1989 1995 2001
1975 1981 1987 1993 1999 FIGURE 8 Real and nominal oil prices. Real oil prices are
adjusted for inflation, whereas nominal oil prices are not. The real
FIGURE 6 Increase in world oil consumption. United States oil
oil price indicates that the oil price gains in 2000 were moderate by
consumption increased moderately in the 1990s. Oil consumption
historical standards.
in the industrialized countries combined increased steadily during
the 1990s. The largest increase in oil consumption occurred in the
newly industrializing economies, such as China and Korea.
Sept. 2002 $/barrel
35
2000
Millions bbl/day 30
1990 2001
40 25
1991 1996
1992 1997
Capacity 20 1995 1999
35 1993 1994
15
1998
30
10
25 5
Production
0
20 59 60 61 62 63 64 65 66 67 68
World crude oil production (million bbl/day)
15 FIGURE 9 Oil demand increased sharply in 2000. The plotted
1975 1978 1981 1984 1987 1990 1993 1996 1999 2002 points show the market prices and quantities of oil for the years
FIGURE 7 Production and capacity of the Organization of 1991–2001. Increases in quantity and price are indicative of
Petroleum Exporting Countries (OPEC). OPEC operated fairly increased demand.
close to capacity in the 1990s.
prices. Because the increase in oil prices was the
consumption outside countries belonging to the result of strong demand due to economic expansion,
Organization for Economic Cooperation and Devel- the usual decline in economic activity did not follow.
opment, with the strongest gains in consumption oc-
curring in Asian countries, such as China and Korea.
5.4 Prior Experience with Energy
In addition, world capacity to produce oil did not
Price Shocks
keep pace with growing consumption throughout
much of the 1990s. Consequently, the gap between Prior experience with oil price shocks may have also
capacity and production of the Organization of contributed to the muted response of U.S. economic
Petroleum Exporting Countries was relatively small activity to oil price shocks. Such experience may
throughout most of the 1990s (Fig. 7). With demand have resulted in reduced adjustment costs, coordina-
growing faster than supply, oil prices increased in the tion problems, and uncertainty and financial stress.
latter part of the decade, although the real increase In addition, monetary authorities have increased
was relatively small by 1980s standards (Fig. 8). In experience with oil price shocks, which may have
2000, world oil demand increased sharply (Fig. 9), resulted in reduced inflationary pressure caused by
which led to greater consumption and an increase in oil price shocks.
276 Business Cycles and Energy Prices
Carbon sequestration can be defined as the capture Pathways for carbon capture derive from three
and secure storage of carbon that would otherwise be potential sources (see Fig. 1). Several industrial
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 277
278 Carbon Capture and Storage from Fossil Fuel Use
CO2 to compression/
Condenser dehydration
Vent gas to reheat/stack
Lean amine Reflux
cooler
drum
Sludge
FIGURE 2 Process flow diagram for the amine separation process. MEA, monoethanolamine.
solvent. The membrane allows for greater contacting chemical or physical means is capital and energy
area within a given volume, but by itself the intensive. An alternative is to burn the fossil fuel in
membrane does not perform the separation of CO2 pure or enriched oxygen. In such a fashion, the flue
from the rest of the flue gases. It is the solvent that gas will contain mostly CO2 and H2O. A part of the
selectively absorbs CO2. The use of a gas membrane flue gas needs to be recycled into the combustion
has several advantages: (a) high packing density, (b) chamber in order to control the flame temperature.
high flexibility with respect to flow rates and solvent From the nonrecycled flue gas, water vapor can be
selection, (c) no foaming, channeling, entrainment, readily condensed, and the CO2 can be compressed
and flooding, all common problems in packed and piped directly to the storage site.
absorption towers, (d) ease of transport of the unit, Of course, the separation process has now shifted
e.g., offshore, and (e) significant savings in weight. from the flue gas to the intake air: oxygen must be
It is possible to design a once-through scrubbing separated from nitrogen in the air. The air separation
process (i.e., no regeneration step). For example, the unit (ASU) alone may consume about 15% of a
CO2 could be scrubbed from flue gas with seawater, power plant’s electric output, requiring a commen-
returning the whole mixture to the ocean for storage. surate increase of fossil fuel to be consumed for
However, to date these approaches are not as achieving the rated electric output of the plant. In the
practical compared to those using a regenerable ASU, air is separated into liquid oxygen, gaseous
solvent. In the seawater scrubbing example, the large nitrogen, argon, and other minor ingredients of air.
volumes of water that are required result in large The latter are marketable by-products of the oxyfuel
pressure drops in the pipes and absorber. plant. Pilot scale studies indicate that the oxyfuel
Other processes have been considered to capture method of capturing CO2 can be retrofitted to
CO2 from power plant and industrial boiler flue existing pulverized coal (PC) plants.
gases, e.g., membrane separation, cryogenic fractio-
nation, and adsorption using molecular sieves. Gen-
3.3 Precombustion Capture
erally, these processes are less energy efficient and
more expensive compared to the absorption methods. Capturing CO2 before combustion offers some
advantages. First, CO2 is not yet diluted by the
combustion air. Second, the CO2-containing stream
3.2 Oxyfuel Combustion
is usually at elevated pressure. Therefore, more
When a fossil fuel (coal, oil, and natural gas) is efficient separation methods can be applied, e.g.,
combusted in air, the fraction of CO2 in the flue gas using pressure-swing absorption in physical solvents,
ranges from 3 to 15%, depending on the carbon such as methanol or poly (ethylene glycol) (commer-
content of the fuel and the amount of excess air cial brands are called Rectisol and Selexol). Pre-
necessary for the combustion process. The separation combustion capture is usually applied in integrated
of CO2 from the rest of the flue gases (mostly N2) by coal gasification combined cycle power plants. This
280 Carbon Capture and Storage from Fossil Fuel Use
process includes gasifying the coal to produce a environmental impact should be minimal, and (e) the
synthesis gas composed of CO and H2, reacting the storage method should not violate any national or
CO with water (water–gas shift reaction) to produce international laws and regulations.
CO2 and H2, capturing the CO2, and sending the H2 Storage media include geologic sinks and the deep
to a turbine to produce electricity. Because the ocean. Geologic storage options include deep saline
primary fuel sent to the gas turbine is now hydrogen, formations (subterranean and subseabed), depleted
some can be bled off as a fuel for separate use, such oil and gas reservoirs, formations for enhanced oil
as in hydrogen fuel cells to be used in transportation recovery operations, and unminable coal seams.
vehicles. One of the biggest barriers to this pathway Deep ocean storage approaches include direct injec-
is that currently electricity generation is cheaper in tion of liquid carbon dioxide into the water column
pulverized coal power plants than in integrated coal at intermediate depths (1000–3000 m), or at depths
gasification combined cycle plants. The precombus- greater than 3000 m, where liquid CO2 becomes
tion process could be utilized when natural gas is the heavier than seawater, so CO2 would drop to the
primary fuel. Here, a synthesis gas is formed by ocean bottom and form a ‘‘CO2 lake.’’ In addition,
reacting natural gas with steam to produce CO2 and other storage approaches are proposed, such as
H2. However, it is unproved whether precombustion enhanced uptake of CO2 by terrestrial and oceanic
capture is preferable to the standard postcombustion biota, and mineral weathering. The latter approaches
capture for the case of using natural gas. refer to the uptake of CO2 from the atmosphere, not
Worldwide, gasification facilities currently exist; CO2 that has been captured from emission sources.
most do not generate electricity, however, but Finally, captured CO2 can be used as a raw material
produce synthesis gas and various other by-products by the chemical industry. However, the prospective
of coal gasification. In these facilities, after the amounts of CO2 that can be utilized are but a very
gasification stage, CO2 is separated from the other small fraction of CO2 emissions from anthropogenic
gases, such as methane, hydrogen, or a mix of carbon sources. Table I lists the estimated worldwide
monoxide and hydrogen. The synthesis gas or capacities for CO2 storage in the various media. As
hydrogen is used as a fuel or for chemical raw a comparison to the storage capacities, note that
material, e.g., for liquid-fuel manufacturing or current global anthropogenic emissions amount to
ammonia synthesis. The CO2 can also be used as a close to 7 Gt C per year (1 Gt C ¼ 1 billion metric
chemical raw material for dry ice manufacturing, tons of carbon equivalent ¼ 3.7 Gt CO2).
carbonated beverages, and enhanced oil recovery
(EOR). For example, the Great Plains Synfuel Plant, 4.1 Geologic Storage
near Beulah, North Dakota, gasifies 16,326 metric
tons per day of lignite coal into 3.5 million standard Geological sinks for CO2 include depleted oil and
cubic meters per day of combustible syngas, and gas reservoirs, enhanced oil recovery operation
close to 7 million standard cubic meters of CO2. A formations, unminable coal seams, and deep saline
part of the CO2 is captured by a physical solvent
based on methanol. The captured CO2 is compressed TABLE I
and 2.7 million standard cubic meters per day is The Worldwide Capacity of Potential CO2 Storage Reservoirsa
piped over a 325-km distance to the Weyburn,
Saskatchewan, oil field, where the CO2 is used for Sequestration option Worldwide capacity (Gt C)b
enhanced oil recovery. Ocean 1000–10,000 þ
Deep saline formations 100–10,000
Depleted oil and gas reservoirs 100–1000
4. CO2 STORAGE Coal seams 10–1000
Terrestrial 10–100
Following the capture process, CO2 needs to be stored,
so that it will not be emitted into the atmosphere. Utilization Currently o 0.1 Gt C/yr
Several key criteria must be applied to the storage
a
method: (a) the storage period should be prolonged, Ocean and land-based sites together contain an enormous
capacity for storage of CO2. The world’s oceans have by far the
preferably hundreds to thousands of years, (b) the cost
largest capacity for carbon storage. Worldwide total anthropo-
of storage, including the cost of transportation from genic carbon emissions are B7 Gt C per year (1 Gt C ¼ 1 billion
the source to the storage site, should be minimized, (c) metric tons of carbon equivalent).
b
the risk of accidents should be eliminated, (d) the Orders of magnitude estimates.
Carbon Capture and Storage from Fossil Fuel Use 281
formations. Together, these can hold hundreds to stored. This is because the decommissioning of an
thousands of gigatons of carbon (Gt C), and the EOR project usually involves the ‘‘blowing down’’ of
technology to inject CO2 into the ground is well the reservoir pressure to maximize oil recovery. This
established. CO2 is stored in geologic formations by blowing down results in CO2 being released, with a
a number of different trapping mechanisms, with the small but significant amount of the injected CO2
exact mechanism depending on the formation type. remaining dissolved in the immobile oil. The
Weyburn Field in southeastern Saskatchewan, Cana-
4.1.1 Depleted Oil and Gas Reservoirs da, is the only CO2 EOR project to date that has
Though a relatively new idea in the context of been monitored specifically to understand CO2
climate change mitigation, injecting CO2 into de- storage. In the case of the Weyburn Field, no blow-
pleted oil and gas fields has been practiced for many down phase is planned, thereby allowing for
years. The major purpose of these injections was to permanent CO2 storage. Over the anticipated 25-
dispose of ‘‘acid gas,’’ a mixture of CO2, H2S, and year life of the project, it is expected that the
other by-products of oil and gas exploitation and injection of some 18 million tons of CO2 from the
refining. In 2001, nearly 200 million cubic meters of Dakota Gasification Facility in North Dakota will
acid gas was injected into formations across Alberta produce around 130 million bbl of enhanced oil.
and British Columbia at more than 30 different This has been calculated to be equivalent to
locations. Acid gas injection has become a popular approximately 14 million tons of CO2 being pre-
alternative to sulfur recovery and acid gas flaring, vented from reaching the atmosphere, including the
particularly in Western Canada. Essentially, acid gas CO2 emissions from electricity generation that is
injection schemes remove CO2 and H2S from the required for the whole EOR operation.
produced oil or gas stream, compress and transport
the gases via pipeline to an injection well, and 4.1.3 Unminable Coal Seams
reinject the gases into a different formation for Abandoned or uneconomic coal seams are another
disposal. Proponents of acid gas injection claim that potential storage site. CO2 diffuses through the pore
these schemes result in less environmental impact structure of coal and is physically adsorbed to it. This
than alternatives for processing and disposing of process is similar to the way in which activated
unwanted gases. In most of these schemes, CO2 carbon removes impurities from air or water. The
represents the largest component of the acid gas, exposed coal surface has a preferred affinity for
typically up to 90% of the total volume injected for adsorption of CO2 rather than for methane, with a
disposal. Successful acid gas injection requires a ratio of 2:1. Thus, CO2 can be used to enhance the
nearby reservoir with sufficient porosity, amply recovery of coal bed methane (CBM). In some cases,
isolated from producing reservoirs and water zones. this can be very cost-effective or even cost free,
Historically, depleted and producing reservoirs have because the additional methane removal can offset
proved to be extremely reliable containers of both the cost of the CO2 storage operations. CBM
hydrocarbons and acid gases over time. production has become an increasingly important
component of natural gas supply in the United States
4.1.2 Enhanced Oil Recovery Operations during the past decade. In 2000, approximately
Carbon dioxide injection into geological formations 40 billion standard cubic meters (scm) of CBM was
for enhanced oil recovery (EOR) is a mature produced, accounting for about 7% of the nation’s
technology. In 2000, 84 commercial or research- total natural gas production. The most significant
level CO2 EOR projects were operational worldwide. CBM production, some 85% of the total, occurs in
The United States, the technology leader, accounts the San Juan basin of southern Colorado and
for 72 of the 84 projects, most of which are located northern New Mexico. Another 10% is produced
in the Permian Basin. Combined, these projects in the Black Warrior basin of Alabama, and the
produced 200,772 barrels (bbl) of oil per day, a remaining 5% comes from rapidly developing Rocky
small but significant fraction (0.3%) of the 67.2 mil- Mountain coal basins, namely, the Uinta basin in
lion bbl per day total of worldwide oil production Utah, the Raton basin in Colorado and New Mexico,
that year. Outside the United States and Canada, and the Powder River basin in Wyoming. Significant
CO2 floods have been implemented in Hungary, potential for CBM exists worldwide. A number of
Turkey, and Trinidad. coal basins in Australia, Russia, China, India,
In most CO2 EOR projects, much of the CO2 Indonesia, and other countries have also been
injected into the oil reservoir is only temporarily identified as having a large CBM potential. The total
282 Carbon Capture and Storage from Fossil Fuel Use
worldwide potential for CBM is estimated at around lifetime of the project. One motivation for doing this
2 trillion scm, with about 7.1 billion tons of asso- was the Norwegian offshore carbon tax, which was
ciated CO2 storage potential. in 1996 about $50 (USD) per metric ton of CO2 (the
tax was lowered to $38 per ton on January 1, 2000).
4.1.4 Deep Saline Formations The incremental investment cost for storage was
Deep saline formations, both subterranean and about $80 million. Solely on the basis of carbon tax
subseabed, may have the greatest CO2 storage savings, the investment was paid back in about
potential. These reservoirs, which are the most 1.5 years. This contrasts to most gas fields world-
widespread and have the largest volumes, are very wide, where the separated CO2 is simply vented into
distinct from the more familiar reservoirs used for the atmosphere.
freshwater supplies. Research is currently underway Statoil is planning a second storage project
in trying to understand what percentage of these deep involving about 0.7 Mt per year of CO2 produced
saline formations could be suitable CO2 storage sites. at the Snohvit gas field in the Barents Sea off
The density of CO2 depends on the depth of northern Norway; injection will be into a deep
injection, which determines the ambient temperature subsea formation.
and pressure. The CO2 must be injected below
800 m, so that it is in a dense phase (either liquid or 4.1.5 Environmental and Safety Concerns
supercritical). When injected at these depths, the Fundamentally, a geologic storage system can be
specific gravity of CO2 ranges from 0.5 to 0.9, which broken down into two general subsystems, namely,
is lower than that of the ambient aquifer brine. operational and in situ. The operational subsystem is
Therefore, CO2 will naturally rise to the top of the composed of the more familiar components of CO2
reservoir, and a trap is needed to ensure that it does capture, transportation, and injection, which have
not reach the surface. Geologic traps overlying the been successfully deployed in the previously dis-
aquifer immobilize the CO2. In the case of aquifers cussed applications. Once CO2 is injected in the
with no distinct geologic traps, an impermeable cap reservoir, it enters an in situ subsystem in which the
rock above the underground reservoir is needed. This control of CO2 is transferred to the forces of nature.
forces the CO2 to be entrained in the groundwater Years of technological innovation and experience
flow and is known as hydrodynamic trapping. Two have given us the tools and expertise to handle and
other very important trapping mechanisms are control CO2 in the operational subsystem with
solubility and mineral trapping. Solubility and adequate certainty and safety; however, that same
mineral trapping involve the dissolution of CO2 into level of expertise and understanding is largely absent
fluids, and the reaction of CO2 with minerals present once the CO2 enters the storage reservoir. Direct
in the host formation to form stable, solid com- environmental and human health risks are of utmost
pounds such as carbonates. If the flow path is long concern. As such, researchers are now conducting
enough, the CO2 might all dissolve or become fixed studies to evaluate the likelihood and potential
by mineral reactions before it reaches the basin impacts associated with leaks, slow migration and
margin, essentially becoming permanently trapped in accumulation, and induced seismicity.
the reservoir.
The first, and to date only, commercial-scale
4.2 Ocean Storage
project dedicated to geologic CO2 storage is in
operation at the Sleipner West gas field, operated by By far, the ocean represents the largest potential sink
Statoil, located in the North Sea about 250 km off for anthropogenic CO2. It already contains an
the coast of Norway. The natural gas produced at the estimated 40,000 Gt C (billion metric tons of carbon)
field has a CO2 content of about 9%. In order to compared with only 750 Gt C in the atmosphere and
meet commercial specifications, the CO2 content 2200 Gt C in the terrestrial biosphere. Apart from the
must be reduced to 2.5%. At Sleipner, the CO2 is surface layer, deep ocean water is unsaturated with
compressed and injected via a single well into the respect to CO2. It is estimated that if all the
Utsira Formation, a 250-m-thick aquifer located at a anthropogenic CO2 that would double the atmo-
depth of 800 m below the seabed. About 1 million spheric concentration were injected into the deep
metric tons of CO2 have been stored annually at ocean, it would change the ocean carbon concentra-
Sleipner since October 1996, equivalent to about 3% tion by less than 2%, and lower its pH by less than
of Norway’s total annual CO2 emissions. A total of 0.15 units. Furthermore, the deep waters of the ocean
20 Mt of CO2 is expected to be stored over the are not hermetically separated from the atmosphere.
Carbon Capture and Storage from Fossil Fuel Use 283
Eventually, on a timescale of 1000 years, over 80% no pH changes will result. Drawbacks are the need
of today’s anthropogenic emissions of CO2 will be for large amounts of water and carbonate minerals.
transferred to the ocean. Discharging CO2 directly to Discharging CO2 into the deep ocean appears to
the ocean would accelerate this ongoing but slow elicit significant opposition, especially by some
natural process and would reduce both peak atmo- environmental groups. Often, discharging CO2 is
spheric CO2 concentrations and their rate of increase. equated with dumping toxic materials into the ocean,
In order to understand ocean storage of CO2, ignoring that CO2 is not toxic, that dissolved carbon
some properties of CO2 and seawater need to be dioxide and carbonates are natural ingredients of
elucidated. For efficiency and economics of trans- seawater, and, as stated before, atmospheric CO2
port, CO2 would be discharged in its liquid phase. If will eventually penetrate into deep water anyway.
discharged above about 500 m depth (that is, at a This is not to say that seawater would not be
hydrostatic pressure less than 50 atm), liquid CO2 acidified by injecting CO2. The magnitude of the
would immediately flash into a vapor and bubble up impact on marine organisms depends on the extent
back into the atmosphere. Between 500 and about of pH change and the duration of exposure. This
3000 m, liquid CO2 is less dense than seawater, impact can be mitigated by the method of CO2
therefore it would ascend by buoyancy. It has been injection, e.g., dispersing the injected CO2 by an
shown by hydrodynamic modeling that if liquid CO2 array of diffusers, or adding pulverized limestone to
were released in these depths through a diffuser such the injected CO2 in order to buffer the carbonic acid.
that the bulk liquid breaks up into droplets less than
about 1 cm in diameter, the ascending droplets would
completely dissolve before rising 100 m. Because of 5. ECONOMICS
the higher compressibility of CO2 compared to
seawater, below about 3000 m liquid CO2 becomes Carbon capture and storage costs can be considered
denser than seawater, and if released there, would in terms of four components: separation, compres-
descend to greater depths. When liquid CO2 is in sion, transport, and injection. These costs depend on
contact with water at temperatures less than 101C many factors, including the source of the CO2,
and pressures greater than 44.4 atm, a solid hydrate transportation distance, and the type and character-
is formed in which a CO2 molecule occupies the istics of the storage reservoir. In this section, costs
center of a cage surrounded by water molecules. For associated with capture from fossil fuel-fired power
droplets injected into seawater, only a thin film of plants and with subsequent transport and storage
hydrate forms around the droplets. are considered. In this case, the cost of capture
There are two primary methods under serious includes both separation and compression costs
consideration for injecting CO2 into the ocean. One because both of these processes almost always occur
involves dissolution of CO2 at middepths (1500– at the power plant.
3000 m) by injecting it from a bottom-mounted pipe
from shore or from a pipe towed by a moving CO2
5.1 Cost of Capture
tanker. The other is to inject CO2 below 3000 m,
where it will form a ‘‘deep lake.’’ Benefits of the Technologies to separate and compress CO2 from
dissolution method are that it relies on commercially power plant flue gases exist and are commercially
available technology and the resulting plumes can be available. However, they have not been optimized for
made to have high dilution to minimize any local capture of CO2 from a power plant for the purpose of
environmental impacts due to increased CO2 con- storage. The primary difference in capturing CO2 for
centration or reduced pH. The concept of a CO2 lake commercial markets versus capturing CO2 for storage
is based on a desire to minimize leakage to the is the role of energy. In the former case, energy is a
atmosphere. Research is also looking at an alternate commodity, and all we care about is its price. In the
option of injecting the CO2 in the form of latter case, using energy generates more CO2 emis-
bicarbonate ions in solution. For example, seawater sions, which is precisely what we want to avoid. An
could be brought into contact with flue gases in a energy penalty can be calculated as (xy)/x, where x
reactor vessel at a power plant, and that CO2-rich is the output in kilowatts of a reference power plant
water could be brought into contact with crushed without capture and y is the output in kilowatts of the
carbonate minerals, which would then dissolve and same plant with capture. The calculation requires
form bicarbonate ions. Advantages of this scheme are that the same fuel input be used in both cases. For
that only shallow injection is required (4200 m) and example, if the power plant output is reduced by 20%
284 Carbon Capture and Storage from Fossil Fuel Use
3.50
3.00
the preceding section, carbon prices must reach
2.50 $100/t C in order for CCS technologies to start being
2.00 adopted by the power industry on a significant scale
1.50 (45% market penetration). As the carbon price
1.00 increases, CCS technologies will be adapted more
0.50 quickly and achieve larger market penetration.
0.00 CCS technologies can be adopted at carbon prices
0 10 20 30 40 50 60 much less than $100/t C. These targets of opportunity
Mass flow rate (Mt CO2/yr) will either have very inexpensive capture costs (from
nonpower sources such as natural gas processing and
FIGURE 5 Total annual cost (capital and operation and
maintenance) for CO2 transport via pipeline as a function of ammonia production) or will be able to claim a by-
CO2 mass flow rate. product credit (e.g., EOR). All the commercial-scale
CO2 storage projects either in operation (Sleipner,
Weyburn) or planned (Snovit by Statoil in the North
100
80 Sea and In Salah by BP in Algeria) can be classified as
60 targets of opportunity. Finally, new technologies can
40 reduce the costs associated with CCS.
$/t CO2
20 17.64
4.87 3.82 2.93 5.53
0 −5.59
−12.21
(20)
(40) 6. ALTERNATE APPROACHES
(60)
(80)
(100)
In the previous sections, we addressed the technol-
ogies for separating CO2 from fossil fuel streams
EOR
ECBMR
Depleted gas
Depleted oil
Aquifer
Ocean pipeline
Ocean tanker
ruminating animals, some of the ingested carbon tion of carbonates, thus permanently storing the
may be converted to methane, which, compared to CO2. Such minerals are calcium and magnesium
carbon dioxide, is a stronger greenhouse gas. But if silicates. For example, the following reaction occurs
the biomass is converted to biofuel and subsequently with serpentine, a magnesium silicate:
combusted, then it replaces fossil fuel, and thus the
commensurate emission of fossil fuel-generated CO2 Mg3 Si2 O5 ðOHÞ4 þ 3CO2 ðgÞ
is avoided. However, for this approach to be viable as ¼ 3MgCO3 þ 2SiO2 þ 2H2 O
a greenhouse gas control method, it is necessary to
significantly lower the cost from today’s level. Although the reaction is thermodynamically fa-
Despite some intensive efforts, primarily from Japan, vored, it is extremely slow in nature (characteristic
little progress has been made toward this goal. time on the order of a 100,000 years). The challenge
is to speed up the reaction in order to be able to
6.2 Ocean Fertilization design an economically viable process. Many reac-
tion pathways have been explored to varying
It has been hypothesized that by fertilizing the ocean degrees. Although some have shown progress, none
with limiting nutrients such as iron, the growth of has yet resolved all the issues necessary to make a
marine phytoplankton will be stimulated, thus commercial process.
increasing the uptake of atmospheric CO2 by the
ocean. The presumption is that a portion of the
phytoplankton will eventually sink to the deep 6.4 Nonbiological Capture from Air
ocean. Researchers have targeted high-nutrient/low-
chlorophyll (HNLC) ocean regions, specifically the The terrestrial biosphere routinely removes CO2
eastern Equatorial Pacific, the northeastern Subarctic from air, primarily through photosynthesis. It has
Pacific, and the Southern Ocean. been suggested that CO2 can also be removed from
Four major open-ocean experiments have been air via nonbiological means. Although some concept
conducted to test the ‘‘iron hypothesis,’’ two in the papers have been published, no viable methods to
Equatorial Pacific (IRONEX I in 1993 and IRONEX - accomplish this goal have been proposed. The
II in 1995) and two in the Southern Ocean (SOIREE problem is that the partial pressure of CO2 in air is
in 1999 and EISENEX in 2000). These experiments, less than 0.0004 atm, compared to about 0.1 atm in
funded through basic science programs (not seques- flue gas and up to 20 atm in synthesis gas. The
tration programs), show conclusively that phyto- difficulty in capture increases as the partial pressure
plankton biomass can be dramatically increased by of CO2 decreases. Therefore, it is questionable
the addition of iron. However, although a necessary whether CO2 can be captured from air with
condition, it is not sufficient to claim iron fertilization acceptable energy penalties and costs. If so, it almost
will be effective as a CO2 sequestration option. surely will take development of a capture process
The proponents of iron fertilization claim very cost- very different from those that exist today.
effective mitigation, on the order of $1–10/t C, but
critical scientific questions remain unanswered.
Although iron increases uptake of CO2 from the
6.5 Utilization
atmosphere to the surface ocean, it needs to be CO2 from fossil fuel could be utilized as a raw
exported to the deep ocean to be effective for material in the chemical industry for producing
sequestration. No experiments have yet attempted to commercial products that are inert and long-lived,
measure export efficiency, which is an extremely such as vulcanized rubber, polyurethane foam, and
difficult value to measure (some people claim that it polycarbonates. Only a limited amount of CO2 can
cannot be measured experimentally). In addition, there be stored in such a fashion. Estimates of the world’s
are concerns about the effect on ecosystems, such as commercial sales for CO2 are less than 0.1 Gt C
inducing anoxia (oxygen depletion) and changing the equivalent, compared to annual emissions of close to
composition of phytoplankton communities. 7 Gt C equivalent. It has been suggested that CO2
could be recycled into a fuel. This would create a
market on the same scale as the CO2 emissions.
6.3 Mineral Storage
However, to recycle CO2 to a fuel would require a
Several minerals found on the surface of the earth carbon-free energy source. If such a source existed,
uptake CO2 from the atmosphere, with the forma- experience suggests that it would be more efficient
Carbon Capture and Storage from Fossil Fuel Use 287
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 289
290 Carbon Sequestration, Terrestrial
Carbon management
the rate of enrichment of atmospheric concentration photosynthesis into vegetative and pedologic/soil C
of CO2. This article describes the principles, oppor- pools. The terrestrial pool is the third largest among
tunities, and challenges of C sequestration in the five global C pools (Fig. 3). It includes 2300
terrestrial pools composed of soils and vegetation. petagrams (Pg, where 1 Pg ¼ 1015 g ¼ 1 billion metric
tons) of C in soil to 1-m depth and 600 Pg in the
vegetative pool, including the detritus material.
2. CARBON SEQUESTRATION Thus, the terrestrial C pool is approximately four
times the size of the atmospheric pool and 60% the
Carbon sequestration implies capture and secure size of the fossil C pool. It is also a very active pool
storage of C that would otherwise be emitted to or and is continuously interacting with atmospheric and
remain in the atmosphere. The objective is to transfer oceanic pools.
C from the atmosphere into long-lived pools (e.g., The natural processes of terrestrial C sequestra-
biota, soil, geologic strata, ocean). It is the net tion are already absorbing a large fraction of the
removal of CO2 from the atmosphere or prevention anthropogenic emissions. For example, oceanic
of CO2 emissions from terrestrial ecosystems. Stra- uptake is about 2 Pg C/year, and unknown terrestrial
tegies of C sequestration can be grouped under two sinks absorbed a total of 2.8 Pg C/year during the
broad categories: biotic and abiotic (Fig. 2). Biotic 1990s. Thus, 4.8 Pg/year out of a total anthropo-
strategies are based on natural process of photo- genic emission of 8 Pg/year (or 59%) was absorbed
synthesis and transfer of CO2 from atmosphere into by natural sinks during the 1990s. Therefore, it is
vegetative, pedologic, and aquatic pools through prudent to identify and enhance the capacity of
mediation via green plants. Abiotic strategies involve natural processes.
separation, capture, compression, transport, and Carbon sequestration, both biotic and abiotic, is
injection of CO2 from power plant flue gases and an important strategy for mitigating risks of global
effluent of industrial processes deep into ocean and warming. It can influence the global C cycle over a
geologic strata. The strategy is to use engineering short period and reduce the equilibrium level of
techniques for keeping industrial emissions from atmospheric CO2 until the alternatives to fossil fuel
reaching the atmosphere. take effect. A hypothetical scenario in Fig. 4 shows
Terrestrial C sequestration is a natural process. It that atmospheric concentration of CO2 by 2100 may
involves transfer of atmospheric CO2 through be 700 parts per million in terms of volume (ppmv)
Carbon Sequestration, Terrestrial 291
Carbon sequestration
(removal and transfer of CO2
to long-lived pools)
Aquatic
Conversion
Terrestrial ecosystems Increasing Chemical
Oceanic Geologic injection to other
ecosystems and water photosynthesis sequestration
products
resources
120 Photosynthesis
60 Respiration Fossil/
Biotic pool 1.4 Deforestation
600 Atmospheric pool 6.5 Geologic pool
1.7 Ecosystem uptake
720 Coal: 4,000
MRT = 10 year Soil Oil: 500
respiration Gas: 500
.1 MRT = 5 year
60 ion1
r os
il e Ocean Oceanic
Pedologic (1 m) So uptake emission
Organic = 1550 92.2 90
Inorganic = 750
MRT = 35 year
Sedimentation
Oceanic pool
0.4
38,100
with business as usual and only 550 ppmv by soil, vegetation, geologic strata), (2) fate of the C
adoption of several C sequestration strategies. sequestered and its residence time, (3) environmental
Feasibility of a C sequestration strategy depends on impact on terrestrial or aquatic ecosystems, and (4)
numerous factors: (1) sink capacity of the pool (e.g., cost-effectiveness of the strategy.
292 Carbon Sequestration, Terrestrial
TABLE I
700
Distribution of Terrestrial C Pool in Various Ecosystems
Atmospheric concentration of CO2 (ppmv)
Business as usual
With C sequestration Area NPP Biomass Soil C to 1
600 Ecosystem (Mha) (Pg C/year) C (Pg) m (Pg)
Carbon sequestration
Forest
Tropical 1480 13.7 244.2 123
500 Temperate 750 5.0 92.0 90
Boreal 900 3.2 22.0 135
Savanna
Temperate 200 1.4 16.0 24
400 woodlands
Chaparral 250 0.9 8.0 30
Tropical 2250 17.8 65.9 263
Temperate 1250 4.4 9.0 295
360 grassland
1990 2010 2030 2050 2070 2090 2100 2110 Tundra, arctic 950 1.0 6.0 121
Year & alpine
FIGURE 4 A hypothetical scenario about the impact of C Deserts 3000 1.5 7.2 191
sequestration by biotic and abiotic strategies on atmospheric Lake and 200 0.4 0.0 0
concentration of CO2. streams
Wetlands 280 3.3 12.0 202
Peat lands 340 0.0 0.0 455
The distribution of C pool in different biomes
Cultivated and 1480 6.3 3.0 117
shows the high amount of terrestrial C in forest permanent
and savanna ecoregions and in northern peat lands crops
(Table I). The terrestrial C pool in managed eco- Perpetual ice 1550 0.0 0.0 0
systems (e.g., cropland, permanent crops) differs Urban 200 0.2 1.0 10
from others in terms of the biomass C pool that is
nearly negligible because it is harvested for human Total 15,080 59.1 486.4 2056
and animal consumption. The data in Table II show
the potential of terrestrial C sequestration at 5.7 to Source. Adopted from Amthor and Huston (1998), Intergo-
10.1 Pg C/year, of which the potential of agricultural vernment Panel on Climate Change (2000), and U.S. Department
lands at 0.8 to 0.9 Pg C/year includes only soil C. of Energy (1999).
Similar estimates for croplands and world soils have
been made by others, yet there are numerous *
Restoration of degraded soils and ecosystems
uncertainties in these estimates. *
Agricultural intensification on cropland and
pastures
*
Afforestation and forest soil management
3. PROCESSES OF TERRESTRIAL *
Restoration of wetlands
CARBON SEQUESTRATION If the rate of C sequestration by adopting these
options can be increased by 0.2% per year over 25
The terrestrial sequestration involves biological years, it can transfer 100 Pg C from the atmosphere
transformation of atmospheric CO2 into biomass into the terrestrial ecosystem through natural pro-
and soil humus. Currently, the process leads to cesses of biological transformation.
sequestration of approximately 2 Pg C/year. With
improved management and natural CO2 fertilization
effect under the enhanced CO2 levels, the potential
4. ENHANCING TERRESTRIAL
of terrestrial C sequestration may be much larger
(Table II). Principal among management options CARBON SEQUESTRATION
include the following:
The natural processes governing terrestrial C seques-
*
Conversion of marginal croplands to biomass tration are outlined in Fig. 5. The vegetative C pool
energy crop production can be enhanced by improving biomass production,
Carbon Sequestration, Terrestrial 293
risks of eutrophication of surface waters. Similarly, integrative effect of improvement in soil quality is
an increase in soil C pool decreases the transport of to increase biomass/agronomic productivity. On a
agricultural chemicals and other pollutants into the global scale, soil C sequestration can have an import-
ground water. There are notable benefits of increased ant impact on food security.
activity and species diversity of soil fauna and flora
with an increase in SOC pool. In addition to
enhancing soil structure, in terms of aggregation
and its beneficial impacts on water retention and 6. RESTORATION OF DEGRADED
transmission, an increase in soil biodiversity also ECOSYSTEMS AND TERRESTRIAL
strengthens elemental/nutrient cycling. Soil is a living CARBON SEQUESTRATION
membrane between bedrock and the atmosphere,
and its effectiveness is enhanced by an increase in soil Accelerated soil erosion, soil degradation by other
C pool and its quality. degradative processes (e.g., salinization, nutrient
An increase in terrestrial C sequestration in depletion, elemental imbalance, acidification), and
general, and in soil C sequestration in particular, desertification are severe global issues. Accelerated
improves soil physical, chemical, and biological erosion by water and wind is the most widespread
quality (Fig. 6). Improvements in soil physical quality type of soil degradation. The land area affected by
lead to decreased risks of accelerated runoff and water erosion is 1094 million hectares (Mha), of
erosion, reduce crusting and compaction, and im- which 751 Mha is severely affected. The land area
prove plant-available water capacity. Improvements affected by wind erosion is 549 Mha, of which 296
in soil chemical quality lead to increased cation/ Mha is severely affected. In addition, 239 Mha is
anion exchange capacity, elemental balance, and affected by chemical degradation and 83 Mha is
favorable soil reaction. Improvements in soil biolo- affected by physical degradation. Thus, the total land
gical quality lead to increased soil biodiversity and area affected by soil degradation is 1965 Mha or
bioturbation, elemental/nutrient cycling, and biode- 15% of the earth’s land area. With a sediment
gradation and bioremediation of pollutants. An delivery ratio of 13 to 20%, the suspended sediment
load is estimated at 20 109 metric tons (Mg)/year.
Soil erosion affects SOC dynamics by slaking and
Effects of soil breakdown of aggregates, preferential removal of C
carbon sequestration in surface runoff or wind, redistribution of C over
the landscape, and mineralization of displaced/re-
distributed C. The redistributed SOC is generally
Soil physical Soil chemical Soil biological light or labile fraction composed of particulate
quality quality quality
organic carbon (POC) and is easily mineralized. As
Increase in Increase in Enhanced much as 4 to 6 Pg C/year is transported globally by
aggregation cation/anion bioturbation water erosion. Of this, 2.8 to 4.2 Pg C/year is
exchange redistributed over the landscape and transferred to
Decrease in capacity
runoff and
Increase in depressional sites, 0.4 to 0.6 Pg C/year is transported
humification
erosion into the ocean, and 0.8 to 1.2 Pg C/year is emitted
Decrease
Increase in
into the atmosphere. The historic loss of SOC pool
in leaching
Increase in from soil degradation and other anthropogenic
microbial
available
water
biomass C processes is 66 to 90 Pg C (78712 Pg C), compared
Favorable
capacity pH with total terrestrial C loss of 136755 Pg C. Of the
Strengthening total SOC loss, that due to erosion by water and
elemental
Decrease in Increase in
cycling wind is estimated at 19 to 32 Pg C (2679 Pg C) or
crusting and buffering 33% of the total loss.
compaction capacity
There is also a strong link between desertification
Increase in
biodegradation and emission of C from soil and vegetation of the
dryland ecosystems. Desertification is defined as the
diminution or destruction of the biological potential
Increase in agronomic/biomass productivity
of land that ultimately can lead to desert-like
FIGURE 6 Favorable effects of soil carbon sequestration on conditions. Estimates of the extent of desertification
soil quality and agronomic/biomass productivity. are wide-ranging and are often unreliable. The land
Carbon Sequestration, Terrestrial 295
area affected by desertification is estimated at 3.5 to food demand will increase drastically, and this will
4.0 billion ha. The available data on the rate of necessitate adoption of restorative measures to
desertification is also highly speculative and is esti- enhance soil quality and use of off-farm input (e.g.,
mated by some to be 5.8 Mha/year. fertilizers, pesticides, irrigation, improved varieties)
Similar to other degradative processes, desertifica- to increase productivity. Thus, fertilizers and other
tion leads to depletion of the terrestrial C pool. The inputs are being used not for soil C sequestration but
historic loss of C due to desertification is estimated at rather for increasing agricultural production to meet
8 to 12 Pg from the soil C pool and 10 to 16 Pg from the needs of the rapidly increasing population. Soil C
the vegetation C pool. Thus, the total historic C loss sequestration is an ancillary benefit of this inevit-
due to desertification may be 18 to 28 Pg C. ability and global necessity.
Therefore, desertification control and restoration There is also a question of the finite nature of the
of degraded soils and ecosystems can reverse the terrestrial C sink in general and that of the soil C sink
degradative trends and sequester a large fraction of in particular. The soil C sink capacity is approxi-
the historic C loss. The potential of desertification mately 50 to 60 Pg C out of the total capacity of the
control for C sequestration is estimated at 0.6 to 1.4 terrestrial C sink of 136 Pg. In contrast, the capacity
Pg C/year. Management of drylands through deserti- of geologic and terrestrial sinks is much larger.
fication control has an overall C sequestration However, soil C sequestration is the most cost-
potential of 1.0 Pg C/year. These estimates of high effective option in the near future, and there are no
C sequestration potential through restoration of adverse ecological impacts. Engineering techniques
degraded/desertified soils and ecosystems are in for abiotic (e.g., deep injection of CO2 into geologic
contrast to the low overall potential of world soils strata and ocean) strategies remain a work in
reported by some. progress.
The question of permanence also needs to be
addressed. How long can C sequestered in soil and
biota remain in these pools? Does an occasional
7. POTENTIAL AND CHALLENGES plowing of a no-till field negate all of the gains made
OF SOIL CARBON SEQUESTRATION so far in soil C sequestration? These are relevant
questions, and the answers may vary for different
Of the two components of terrestrial C sequestra- soils and ecoregions.
tion—soil and vegetation—the importance of soil C Although ratified by neither the United States nor
sequestration is not widely recognized. The Kyoto Russia, the Kyoto Protocol demands that C stored in
Protocol has not yet accepted the soil C sink as offset terrestrial ecosystems be assessed by transparent,
for the fossil fuel emission. Yet soil C sequestration credible, precise, and cost-effective methods. Ques-
has vast potential and is a truly win–win situation. tions have often been raised about the assessment of
Assuming that 66 Pg C has been depleted from the soil C pool and fluxes on soilscape, farm, regional,
SOC pool, perhaps 66% of it can be resequestered. and national scales. It is important to realize that
The global potential of soil C sequestration in standard methods are available to quantitatively
the world’s croplands is estimated at 0.6 to 1.2 Pg assess SOC pool and fluxes on scales ranging from
C/year. This potential can be realized over 50 years the pedon or soilscape level and then extrapolated to
or until the sink capacity is filled. the ecosystem, regional, and national levels. Soil
Some have questioned the practicability or feasi- scientists and agronomists have studied changes in
bility of realizing the potential of soil C sequestra- soil organic matter in relation to soil fertility and
tion. The caution against optimism is based on the agronomic productivity since 1900 or earlier. They
hidden C costs of fertilizers, irrigation, and other have adapted and improved the analytical proce-
input that may produce no net gains by soil C dures for assessing soil C sequestration for mitigating
sequestration. However, it is important to realize that climate change since the 1980s. New procedures are
SOC sequestration is a by-product of adopting RMPs being developed to assess soil C rapidly, precisely,
and agricultural intensification, which are needed to and economically. Promising among new analytical
enhance agronomic production for achieving global procedures are accelerator mass spectrometry
food security. The global population of 6.2 billion is (AMS), pyrolysis molecular beam mass spectrometry
increasing at a rate of 73 million persons (or 1.3%) (Py-MBMS), and laser-induced breakdown spectro-
per year and is projected to reach 7.5 billion by 2020 scopy (LIBS). The LIBS technique presumably has
and 9.4 billion by 2050. Consequently, the future good detection limits, precision, and accuracy.
296 Carbon Sequestration, Terrestrial
8. CLIMATE CHANGE the historic past. The projected climate change and
AND TERRESTRIAL some anthropogenic activities may disrupt the
terrestrial C cycle of these biomes and render them
CARBON SEQUESTRATION a major source of CO2, CH4, and N2O. There exists
a real danger that an increase in global temperature
The increase in global temperature during the 20th may result in a long-term loss of the soil C pool.
century has been estimated at 0.61C and is projected There are numerous knowledge gaps and uncer-
to be 1.4 to 5.81C by 2100 relative to the global tainties regarding the impact of climate change on
temperature in 1990. The projected increase in terrestrial C pool and fluxes. Principal knowledge gaps
global temperature is attributed to enrichment of and uncertainties exist regarding fine root biology and
the atmospheric concentration of CO2 (which has longevity, nutrient (especially N and P) availability,
increased from 280 to 365 ppm and is increasing at interaction among cycles of various elements (e.g., C,
the rate of 0.4% or 1.5 ppm/year), CH4 (which has N, P, H2O), and below-ground response.
increased from 0.80 to 1.74 ppm and is increasing at
the rate of 0.75% or 0.015 ppm/year), and N2O
(which has increased from 288 to 311 ppb and is
increasing at the rate of 0.25% or 0.8 ppb/year). 9. NUTRIENT REQUIREMENTS
The implications of rapidly changing atmospheric FOR TERRESTRIAL
chemistry are complex and not very well understood. CARBON SEQUESTRATION
The projected climate change may have a strong
impact on terrestrial biomes, biomass productivity, Carbon is only one of the building blocks of the
and soil quality. It is estimated that for every 11C terrestrial C pool. Other important components of
increase in global temperature, the biome or vegeta- the biomass and soil are essential macroelements
tional zones (e.g., boreal forests, temperate forests, (e.g., N, P, K, Ca, Mg) and micronutrients (e.g., Cu,
wooded/grass savannas) may shift poleward by 200 Zn, B, Mo, Fe, Mn). A total of 1 Mg (or 1000 kg) of
to 300 km. There may be a change in species biomass produced by photosynthesis contains ap-
composition of the climax vegetation within each proximately 350 to 450 kg of C, 5 to 12 kg of N, 1 to
biome. In northern latitudes where the temperature 2 kg of P, 12 to 16 kg of K, 2 to 15 kg of Ca, and 2 to
change is likely to be most drastic, every 11C increase 5 kg of Mg. Therefore, biomass production of 10
in temperature may prolong the growing season Mg/ha/year requires the availability of 50 to 120 kg
duration by 10 days. With predicted climate change, of N, 10 to 20 kg of P, 120 to 160 kg of K, 20 to
the rate of mineralization of soil organic matter may 150 kg of Ca, and 20 to 50 kg of Mg. Additional
increase with adverse impacts on soil quality. nutrients are required for grain production. Nutrient
There is a general consensus that CO2 enrichment requirements are lesser for wood and forages
will have a fertilization effect and will enhance C production than for grain and tuberous crops.
storage in the vegetation (both above and below Biomass (e.g., crop residues, leaf litter, detritus
ground) for 50 to 100 years. Numerous free-air CO2 material, roots) is eventually converted into SOC
enrichment (FACE) experiments have predicted pool through humification mediated by microbial
increases in biomass production through increased processes. The humification efficiency is between 5
net primary productivity (NPP), particularly in high and 15%, depending on the composition of the
latitudes. It was predicted that with an increase in biomass, soil properties, and climate. Soil C seques-
temperature, tundra and boreal biomass will emit tration implies an increase in the SOC pool through
increasingly more C to the atmosphere while the conversion of biomass into humus. Similar to
humid tropical forests will continue to be a net sink. biomass production through photosynthesis, humifi-
Soils of the tundra biome contain 393 Pg C as SOC cation of biomass into SOC involves availability of
and 17 Pg C as soil inorganic C (SIC) (410 Pg total), nutrients. Additional nutrients required are N, P, S,
which is 16.4% of the world soil C pool. Soils of the and other minor elements. Assuming an elemental
boreal biome contain 382 Pg of SOC and 258 Pg of ratio of 12:1 for C:N, 50:1 for C:P, and 70:1 for C:S,
SIC (640 Pg total), which is 25.6% of the world soil sequestering 10,000 kg of C into humus will require
C pool. Together, soils of the tundra and boreal 25,000 kg of residues (40% C), 833 kg of N, 200 kg
(taiga) biomes contain 772 Pg or 42% of the world of P, and 143 kg of S. Additional nutrients may be
soil C pool. Some soils of these regions, especially available in crop residue or soil or may be supplied
histosols and cryosols, have been major C sinks in through fertilizers and amendments. Nitrogen may
Carbon Sequestration, Terrestrial 297
also be made available through biological nitrogen atmosphere, and burning of biofuels merely recycles
fixation (BNF) and atmospheric deposition. It is the CO2.
argued that sequestration of soil C can be achieved
only by the availability of these nutrients.
Nutrient recycling, from those contained in the 11. TERRESTRIAL CARBON
biomass and in the subsoil layers, is crucial to SEQUESTRATION AND GLOBAL
terrestrial C sequestration in general and to soil C FOOD SECURITY
sequestration in particular. For soil C sequestration
of 500 kg C/ha/year, as is the normal rate for An important ancillary benefit of terrestrial C
conversion from plow till to no till in Ohio, sequestration in general, and of soil C sequestration
sequestration of 500 kg of C into humus (58% C) in particular, is the potential for increasing world
will require about 14 Mg of biomass (40% C and food security. The projected global warming, with
humification efficiency of 15%). This amount of a likely increase in mean global temperature of
residue from cereals will contain 65 to 200 kg of N, 8 4721C, may adversely affect soil temperature and
to 40 kg of P, 70 to 340 kg of K, 22 to 260 kg of Ca, water regimes and the NPP. The increase in soil
and 10 to 130 kg of Mg. In comparison, the nutrients temperature may reduce soil organic matter pool
required for sequestration of 500 kg of C into humus with an attendant decrease in soil quality, increase
are 42 kg of N, 10 kg of P, and 7 kg of S. Indeed, most in erosion and soil degradation, and decrease in NPP
of the nutrients required are contained in the and agronomic yields. In contrast, the degradative
biomass. Therefore, soil C sequestration is limited trends and downward spiral may be reversed by an
mostly by the availability of biomass. However, the increase in soil C sequestration leading to improve-
production of biomass is limited by the availability of ment in soil quality and an increase in agronomic/
nutrients, especially N and P. biomass productivity. There already exists a large
intercountry/interregional variation in average yields
of wheat (Triticum aestivum) and corn (Zea mays).
10. THE PERMANENCE OF Yields of wheat range from a high of 6.0 to 7.8 Mg/
CARBON SEQUESTERED IN ha in European Union countries (e.g., United King-
TERRESTRIAL ECOSYSTEMS dom, Denmark, Germany, France), to a middle
range of 2.4 to 2.7 Mg/ha (e.g., United States, India,
The mean residence time (MRT) of C sequestered in Romania, Ukraine, Argentina, Canada), to a very
soil and biota depends on numerous factors, includ- low range of 1.0 to 2.2 Mg/ha (e.g., Pakistan,
ing land use, management system, soil type, vegeta- Turkey, Australia, Iran, Russia, Kazakhstan). Simi-
tion, and climate. The MRT is computed as a ratio of larly, average yields of corn range from a high of
the pool (Mg/ha) to the flux (Mg/ha/year). On this 8 to 10 Mg/ha (e.g., Italy, France, Spain, United
basis, the global MRT of C is 5 years in the States), to a middle range of 4 to 7 Mg/ha (e.g.,
atmosphere, 10 years in the vegetation, 35 years in Canada, Egypt, Hungary, Argentina), to a low range
the soils, and 100 years in the ocean. However, there of 1 to 2 Mg/ha (e.g., Nigeria, Philippines, India).
is a wide range of MRT depending on the site-specific A concern regarding projected global warming is
conditions and characteristics of the organic matter. whether the agroecological yield may be adversely
For example, the MRT of soil organic matter is less affected by the change in soil temperature and
than 1 year for the labile fraction, 1 to 100 years for moisture regimes and the threat of increase in
the intermediate fraction, and several millennia for food deficit in Sub-Saharan Africa and elsewhere in
the passive fraction. The MRT also depends on developing countries.
management. Conversion from plow till to no till The adverse impact of decline in SOC pool on
sequesters C in soil, and the MRT depends on global food security is also evident from the required
continuous use of no till. Even occasional plowing increase in crop yield in developing countries to meet
can lead to emission of CO2. the demands of increased population. With no
Biofuel production is another important strategy. possibility of bringing new land area under cultiva-
The C sequestered in biomass is released when the tion in most developing countries, the yields of
biosolids are burned. However, C released from cereals in developing countries will have to increase
biofuel is recycled again and is in fact a fossil fuel from 2.64 Mg/ha in 1997–1998 to 4.4 Mg/ha by
offset. There is a major difference between the two. 2025 and to 6.0 Mg/ha by 2050. Can this drastic
The fossil fuel combustion releases new CO2 into the increase in yields of cereals in developing countries
298 Carbon Sequestration, Terrestrial
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of projected global warming? An important factor pp. 27–43. CRC Press, Boca Raton, FL.
Halmann, M. M., and Steinberg, M. (1999). ‘‘Greenhouse Gas
that can help to attain this challenging goal is Carbon Dioxide Mitigation: Science and Technology.’’ Lewis
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be achieved by increasing below-ground C directly Hothem, D. (2002). Effect of cropland management and
slope position on soil organic carbon pools at the North
through input of root biomass. The importance of
Appalachian Experimental Watersheds. Soil Tillage Res. 68,
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control, and use of mulch farming and conservation Himes, F. L. (1998). Nitrogen, sulfur, and phosphorus and the
tillage cannot be overemphasized. sequestering of carbon. In ‘‘Soil Processes and the Carbon
Cycle’’ (R. Lal, J. M. Kimble, R. F. Follett, and B. A. Stewart,
Eds.), pp. 315–319. CRC Press, Boca Raton, FL.
Intergovernment Panel on Climate Change. (1996). ‘‘Climate
12. CONCLUSIONS Change 1995: Impacts, Adaptations, and Mitigation of
Climatic Change—Scientific–Technical Analyses.’’ Cambridge
Terrestrial C sequestration is a truly win–win University Press, Cambridge, UK.
scenario. In addition to improving the much needed Intergovernment Panel on Climate Change. (2000). ‘‘Land Use,
Land Use Change, and Forestry: Special Report.’’ Cambridge
agronomic/biomass production to meet the needs of
University Press, Cambridge, UK.
a rapidly increasing world population, terrestrial C Intergovernment Panel on Climate Change. (2001). ‘‘Climate
sequestration improves soil quality, reduces sediment Change: The Scientific Basis.’’ Cambridge University Press,
transport in rivers and reservoirs, enhances biodi- Cambridge, UK.
versity, increases biodegradation of pollutants, and Lal, R. (1995). Global soil erosion by water and carbon dynamics.
In ‘‘Soils and Global Change’’ (R. Lal, J. M. Kimble, E. Levine,
mitigates the risks of climate change. Besides, it is a
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natural process with numerous ancillary benefits. Boca Raton, FL.
Although it has a finite capacity to absorb atmo- Lal, R. (1999). Soil management and restoration for C sequestra-
spheric CO2, it is the most desirable option available tion to mitigate the greenhouse effect. Prog. Environ. Sci. 1,
at the onset of the 21st century. The strategy of 307–326.
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mitigate the greenhouse effect. Critical Rev. Plant Sci. 22,
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Lal, R. (2003b). Soil erosion and the global carbon budget.
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Impact on Carbon Cycle and Greenhouse Gas Mainguet, M. (1991). ‘‘Desertification: Natural Background and
Human Mismanagement.’’ Springer-Verlag, Berlin.
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Fuel Use Carbon Taxes and Climate Change Clean International Climate Policy for the 21st Century.’’ Springer,
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and I. Szabolcs, Eds.), pp. 99–118. CAB International, Wall-
house Gas Emissions from Energy Systems, Compar- ingford, UK.
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GLASOD methodology. In ‘‘Methods for Assessment of Soil
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Carbon Taxes and
Climate Change
MARC CHUPKA
The Brattle Group
Washington, DC, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 299
300 Carbon Taxes and Climate Change
revenue stream. These impacts are large enough to which the revenues from environmental taxes are
affect macroeconomic outcomes such as consump- used as a substitute for revenues from conventional
tion, investment, fiscal balances, inflation, interest distortionary taxes.
rates, and trade.
3. CARBON TAXES AS
2. ENVIRONMENTAL TAXES AND ENVIRONMENTAL POLICY
CONVENTIONAL TAXES
Evaluations of carbon taxes as an environmental
policy instrument compare carbon taxes to other
The concept of an environmental tax is grounded in
ways of reducing CO2 emissions. These include such
the basic intuition that an economic activity that
targeted measures as efficiency standards, including
imposes external cost (i.e., the social cost is greater
establishing appliance efficiency standards or fuel
than the private cost) will be pursued at a level higher
economy standards for vehicles, providing tax credits
than is socially optimal. Therefore, economic welfare
for specific investments, removing subsidies, or
can be improved by curtailing the activity, such as the
providing consumer information. An alternative
production of a good that imposes pollution costs on
economywide intervention into fossil fuel mar-
individuals or other firms. A tax on the offending
kets—tradable CO2 permits—is related to a carbon
activity will discourage it, and if set optimally the tax
tax and will be discussed in greater detail. The
will reduce the level of the activity to the point at
primary criteria used to judge the relative desirability
which marginal social cost is equivalent to marginal
of carbon taxes are the cost-effectiveness of CO2
social benefit. Casting the climate change issue in
reductions, the predictability of CO2 reductions,
terms of external costs of fossil fuel consumption
overall economic efficiency (including such dynamic
motivates the imposition of a carbon tax as a
impacts such as induced technology improvement),
potential policy response. Assuming that CO2 emis-
incidence (who ultimately pays the tax), and equity
sions cause economic harm, then a tax on CO2
(fairness of the ultimate tax burden).
emissions represents a classic externality tax.
The assessment of carbon taxes raises issues
similar to those that arise in the traditional analysis
3.1 Carbon Taxes vs Direct Controls
of conventional taxes (e.g., commodity excise taxes
or Standards
or income taxes), including efficiency, incidence,
equity, and administrative burden. However, envir- Economists have long favored the use of economic
onmental taxes are fundamentally different from incentives such as effluent taxes rather than various
conventional taxes in one key respect: They are command-and-control instruments to reduce pollu-
intended to discourage harmful behavior. Conven- tion because taxes are much more likely to induce
tional taxes, in contrast, are levied on activities or efficient abatement responses from affected entities.
transactions that normally create value or enhance If levied directly on the offending behavior, effluent
economic welfare, such as providing labor or capital. taxes enable a broader set of economic adjustments
To the extent that conventional taxes lower the that serve to reduce the costs of abatement.
returns from labor or investment, and thereby Given the complexity of energy use in the
discourage employment, saving, or capital forma- economy, economists generally find that carbon
tion, they reduce overall economic welfare. taxes would produce more cost-effective CO2 emis-
The distinction between conventional and envir- sion reductions than a comparable slate of more
onmental taxes is colloquially referred to as the targeted interventions. This is primarily due to the
difference between taxing economic ‘‘goods’’ and inability of policymakers to accurately assess the
taxing economic ‘‘bads.’’ The degree to which marginal costs of carbon abatement in various
traditional economic analysis frameworks are mod- sectors and across the myriad economic decisions
ified to account for this distinction can significantly that affect aggregate CO2 emission levels. Firms and
affect how one interprets the results of carbon tax consumers responding to tax-enhanced price signals
analyses. The fundamental insight that environmen- will reduce CO2 emissions in the most efficient
tal taxes can improve economic welfare while manner possible, assuming the absence of other
conventional taxes can reduce economic welfare also significant market barriers or distortions. Subtle but
has motivated recent analyses of a ‘‘tax shift’’ in widespread changes in behavior involving various
Carbon Taxes and Climate Change 301
substitutions—fuel choice in electricity generation, regarding abatement costs and opportunities that
more investment in energy efficient technology, and contributes to the general cost-effectiveness of the
reduced demand for energy services—all contribute carbon tax approach. Different models and analytic
to cost-effective carbon abatement. approaches used to estimate the emission impacts of
Not all analyses of energy-related policies indicate carbon taxes demonstrate an exceptionally wide
the advantages of carbon taxes over other instru- range of emission reduction results. Although carbon
ments. For example, ‘‘bottom-up’’ engineering analy- taxes would induce efficient abatement, for example,
sis generally assumes that market barriers inhibit as measured on a $/ton of CO2 reduced basis,
efficient outcomes, and therefore energy prices may uncertainty regarding market responses implies sig-
not induce cost-effective abatement decisions com- nificant difficulty in predicting the resulting emission
pared to policies that might remove these barriers or levels. To the extent that specific emission levels are
simply mandate specific actions such as efficiency desired, alternative instruments (e.g., capping CO2
standards. The degree to which these market barriers emissions and distributing tradable permits or
exist and can be overcome by various policy measures allowances) may be preferred.
is a matter of dispute among policy analysts. The primary trade-off between using price instru-
In addition, emission reductions from efficiency ments such as carbon taxes and quantity targets such
standards can partially be eroded by offsetting as emission caps emerges when supply and demand
behavioral adjustments, such as ‘‘snap back’’ or (or costs and benefits of reductions) are uncertain.
‘‘rebound’’ effects and ‘‘new source bias.’’ The former Uncertainty in supply or demand of an activity
occurs when a mandated performance standard subject to a tax or quantity restriction will manifest
reduces energy-related variable costs and thus itself as relatively variable quantity outcomes under a
stimulates higher energy service demand, for exam- tax policy and relatively variable price outcomes
ple, when efficient air conditioners encourage home- under a quantity restriction. In the present context, a
owners to lower thermostats and fuel-efficient cars carbon tax will result in uncertain CO2 emission
encourage more driving. The latter can occur if a levels even though the overall costs of abatement are
performance standard raises the price of new minimized. A CO2 emission cap will yield an
technology, encouraging the continued use or repair unpredictable price for CO2 permits (and uncertainty
of older, less efficient versions in order to avoid high in overall abatement costs) even while the cost per
replacement costs. This can retard capital replace- unit of emission reduced is still minimized through
ment rates. If properly implemented, carbon taxes the tradable permit scheme. The inherently large
generally do not create offsetting incentives. There- uncertainty regarding the marginal benefit from CO2
fore, unless significant market barriers or distortions reductions would generally favor a tax approach
exist, carbon taxes are more likely to induce least- over an emission cap policy.
cost abatement.
3.2 Setting the Level of Carbon Taxes 3.3 Carbon Taxes, CO2 Permits,
and Revenues
Economic theory suggests that carbon taxes should be
set at the level of the external cost of the activity in Under emission ‘‘cap-and-trade’’ policies, the overall
order to align marginal social cost to marginal social level of CO2 is determined in advance, and the
benefit. However, estimating the external cost of 1 ton equivalent amount of permits to emit are distributed
of CO2 or carbon emitted into the atmosphere is extre- or auctioned to market participants. Under certain
mely difficult and controversial, particularly since the conditions, the resultant price of the CO2 permit can
long-term nature of the problem raises significant be shown to be exactly the carbon tax that would
discounting and intergenerational equity issues. achieve the same level of reductions, a result that
Instead, most analyses and recent climate policy holds whether or not permits are allocated freely or
proposals, including the Kyoto Protocol, would auctioned to market participants. The primary
target a particular level of CO2 emissions. This difference between a free allocation and an auction
represents a challenge for and highlights a key is the distribution of economic burden (incidence)
disadvantage to the carbon tax approach: Namely, and, in the case of the auction, a revenue stream
the inherent uncertainty regarding the emission comparable to the carbon tax revenues.
reduction expected from a given level of tax. This The revenues expected under a carbon tax and an
uncertainty arises from the same lack of information auctioned permit system (even if set equivalently in
302 Carbon Taxes and Climate Change
terms of expected value of CO2 emissions) would This incentive would increase the private return on
also be uncertain in ways that could differ between R&D into carbon-reducing technologies. Other
the two policies. In simple terms, revenues are tax policy instruments such as targeted standards would
rate (or permit price) multiplied by carbon quantity, create more limited long-term dynamic incentives for
and the variability in revenues under each policy improved technology.
depends on the relative range of uncertainty of the
two terms of the equation. If the likely range of
emissions (in percentage terms) were larger under the 4. CARBON TAXES AS
carbon tax than the likely range of permit prices (in FISCAL INSTRUMENTS
percentage terms) under the permit auction, then the
permit auction revenues would be more predictable. Because a carbon tax would collect revenue, it is also
Conversely, carbon tax revenues would be more important to analyze and compare it with other taxes
predictable if the range of emissions were smaller designed for the same purpose. Traditional environ-
under the tax than the range of likely prices under the mental tax analysis did not concern itself with the
permit auction. Because the revenues from carbon collected revenues since the problems addressed
taxes (or permit auctions) represent an opportunity generally were small in relationship to the economy.
to offset some of the economic burden of the policy Because carbon taxes would collect a significant
through the reduction of other taxes, the relative amount of revenue, the ultimate disposition of that
predictability of revenues may be important in the revenue becomes a key determinant of the overall
selection of instrument choice. economic impact of the carbon tax policy. Therefore,
economic analysis of carbon taxes must include
explicit and realistic assumptions regarding the
3.4 Long-Term Efficiency and disposition of the revenue. There are several choices:
Explicitly target revenues for particular public
Technical Change
investments, reduce government fiscal deficits, or
The economic literature on technical change generally use carbon tax revenues to offset other taxes. The
concludes that the private market economy under- latter option is sometimes referred to revenue
invests in R&D because the returns for successful recycling and opens up the prospect for shifting
R&D are not fully appropriated by those funding the taxes to create net economic gains.
research. This is the classic rationale for publicly Studies of revenue recycling typically examine the
funded R&D, especially at the basic research level. use of proceeds from carbon taxes to offset lower
The presence of external costs creates an even larger revenues from reducing or eliminating other taxes
divergence between social benefit of R&D and the (i.e., a concept of revenue neutrality). Revenue neu-
private returns. For example, the private returns to an trality is defined as a change in the tax code or
energy-saving innovation (to the extent that they spending policy that does not impact the net fiscal
accrue to the entity that undertook the R&D effort balances of government. In the context of carbon
that led to the improvement) would not include the taxes, a revenue neutral shift would reduce other
additional social benefit of reducing CO2 emissions. taxes by the amount of revenues expected from impo-
Because climate change is an inherently long-term sing a carbon tax.
problem, a key determinant of the cost of climate Revenue neutrality does not imply welfare neu-
change policy is the potential ability of technology trality: Since conventional taxes on labor or invest-
improvement to reduce the costs of shifting toward ment impose economic penalties beyond their direct
less carbon-intensive economic activities. A com- cost, there exists an opportunity to use carbon tax
parative evaluation of climate change policies, there- revenues to enhance economic efficiency. This is
fore, needs to consider the incentives created for sometimes referred to as the double dividend hypoth-
research, development, and demonstration of new esis. In its strongest and most simple form, the double
technologies. Alternative policy approaches may dividend hypothesis observes that a carbon tax that
differ in their potential to encourage development enhances economic welfare (e.g., when set at the level
of new, lower emitting technologies. of external cost of CO2 emissions) generates revenue
Carbon taxes may have advantages in the long that can be used to lower distortionary taxes on labor
term over other policy instruments to reduce CO2 or investment. In this way, an environmental tax that
emissions because the taxes provide a continual cost-effectively reduces the economic damage from
incentive to reduce the costs of carbon abatement. pollution (the first dividend) can also serve to increase
Carbon Taxes and Climate Change 303
economic welfare in another way when the revenues 5.1 Carbon Tax Base
are used to reduce taxes that otherwise would impair
Between initial extraction and end use, fossil fuels
economic welfare (the second dividend).
are widely transported, refined or converted into
Although carbon tax revenues combined with
higher valued products such as vehicle fuels and
some decrease in taxes that inhibit investment could,
electricity, and subjected to multiple commercial
in theory, enhance overall economic outcomes,
transactions. The issue of where to impose a carbon
analyses of double dividend are quite complex. They
must simultaneously account for the impact of tax becomes one of balancing administrative effi-
ciency and ensuring complete coverage in order to
carbon taxes on emissions and the interactions with
avoid introducing distortions that would arise from
all relevant existing features of the tax system to
taxing some fossil fuels and not others. Similar issues
estimate the impact of reducing distortionary taxes.
arise with regard to the distribution of tradable
Some studies indicate the potential for this double
carbon permits under a cap-and-trade policy. Gen-
dividend of decreased environmental harm from
erally, this leads to proposals to tax fossil fuels
imposing carbon taxes and enhanced economic
‘‘upstream’’ near the point of extraction, importa-
efficiency from using the collected revenues to reduce
distortions from conventional taxes. Such results, tion, or initial commercial transaction. Thus, taxing
coal at the mine or processing plant, oil at the
however, depend on the specific taxes reduced by the
wellhead or refinery, and natural gas at the collection
carbon tax revenues, which preexisting tax distor-
field or processing level represents points in the
tions are measured, and the methods used to estimate
domestic value chain at which the fewest commercial
overall economic welfare.
entities would be subject to tax liabilities while
ensuring universal coverage. Carbon taxes on im-
ported fuels could be levied at the point of
5. CARBON TAX IMPLEMENTATION
importation, such as harbors and pipelines. Finally,
nonfuel uses, such as oil and natural gas used as
The ubiquitous use of fossil fuels in modern
chemical production feedstocks, can be exempted or
economies makes imposition of a tax directly on
subject to tax rebates. Likewise, fossil fuel exports
measured CO2 emissions completely infeasible. The
would generally remain untaxed because their
direct sources of CO2, including homes, vehicles,
disposition does not entail CO2 emissions from the
buildings, and factories, are simply too numerous.
exporting country.
The nature of fossil fuel combustion, however,
suggests an indirect practical alternative that is
equivalent to an actual emission tax. The carbon
5.2 Carbon Tax Incidence
content of commercially available fossil fuels, such as
coal, oil and petroleum products, and natural gas, is Traditional analysis suggests that carbon tax inci-
relatively easy to determine, does not vary signifi- dence will shift both backward (reducing net prices
cantly within defined classifications, and is essentially received by extraction industries) and forward into
proportional to the CO2 emissions released when energy and product prices (increasing prices for fossil
combusted. Therefore, a direct tax on fossil fuels in fuel users). The degree of forward incidence depends
proportion to carbon content will mimic the imposi- on the elasticity of demand, the cost share of taxed
tion of a tax on CO2 emissions. fossil fuels, and pricing rules and regulations in
On a $/Btu basis, a tax on coal would be downstream markets. To the extent that intermediate
approximately twice that of natural gas, reflecting users (e.g., electric generators) and/or end users (e.g.,
its nearly double carbon content, and that for oil consumers) reduce their fossil fuel use in response to
would be approximately midway between the two. A the carbon tax, incidence is avoided and emissions
carbon tax is a differential excise tax that is are reduced.
independent of the market price of these fuels (i.e., Electricity markets provide a good illustration of
not an ad valorem tax based on a percentage of price). the complex responses and incidence impacts.
Because the tax would not change with the underlying Assuming a supply sector composed of coal- and
market price, this construction assumes that no other natural gas-fired generators and nuclear and renew-
taxes or subsidies affect the value of the carbon tax. ables, a carbon tax on utility fuels would have a
Such an assumption does not necessarily reflect the variety of impacts. Under least-cost dispatch, coal-
reality of existing differential taxes and subsidies on fired generation would decline, whereas natural gas
fossil fuels in most industrialized economies. generation may increase (i.e., substitute for coal) or
304 Carbon Taxes and Climate Change
decrease (i.e., nonfossil generation would substitute (between fossil and non-fossil fuels, among different
for coal and overall generation would decline as end- products, between capital and energy, etc.) assumed
use consumers curtail electricity demand because of by the model will determine the amount of CO2
higher prices). The degree to which fuel price reduction expected by a given carbon tax and the
increases translate into end-use electric rate increases measured economic impacts. Third, the model
depends on wholesale trading rules and retail structure, temporal horizon, and the manner in
regulation. Finally, end users may respond to which expectations of future economic conditions
increased prices by reducing the demand for elec- affect current behavior will influence the estimated
tricity services. These short-term responses will level of a carbon tax needed to achieve a given CO2
reduce emissions and shift the tax incidence. reduction target level and the types of economic
In the longer term, the composition of investment impacts estimated.
in the generation sector would be influenced by the Short-term macroeconomic models often do not
carbon tax, and electricity consumers will invest in represent detailed substitutions in energy markets
more efficient equipment or substitute other energy while tending to emphasize transitional imbalances,
forms for electricity. Manufacturers that use power such as unemployment or myopic monetary policy
and fuels will experience cost increases that they will reactions, that might flow from a carbon tax. Thus,
attempt to pass on in higher product prices. these models typically estimate high carbon taxes
However, the degree to which manufacturers can needed to reduce CO2 emissions and commensu-
shift the tax burden forward depends on the elasticity rately large economic costs. Despite these limitations,
of demand for their products. All these responses such models shed important light on some of the
simultaneously will shift tax incidence throughout issues involved in a rapid shift toward a less carbon-
the economy and determine the amount of CO2 intensive economy. Longer term general equilibrium
reduction. models often provide richer substitution possibilities
One interesting dimension of carbon tax policy and assume that the economy will rapidly adjust
concerns goods in international trade. Unless border to the new energy prices. Thus, smaller carbon taxes
adjustments are made (e.g., exempting exports from suffice to reduce CO2 emissions and the tax policy
the estimated carbon tax embedded in the product inflicts less economic harm. Although these models
price and levying taxes on imported products in generally gloss over the potential short-term disloca-
proportion to their estimated carbon content), a tions from imposing an aggressive carbon tax policy,
domestic carbon tax can significantly impact trade they are helpful in showing how the economy might
balances and shift incidence across borders. eventually adjust to a less carbon-intensive econo-
mic structure with modest long-term economic
penalties. Given the extraordinary complexity in-
5.3 Macroeconomic Impacts
volved with estimating how billions of economic
Studies that have estimated the economywide impact decisions might be influenced by carbon taxes and
of carbon taxes are too numerous to cite or even revenue recycling policies, it is probably wise to exa-
usefully summarize here. To put the discussion into mine the results of different models to gain under-
perspective, a carbon tax or tradable permit scheme standing of how actual policies might affect real
to reduce U.S. CO2 emissions by 10–20% from economic outcomes.
projected levels approximately a decade in the future
is typically estimated to cost a few percent of gross
5.4 Equity
domestic product under generally unfavorable as-
sumptions regarding revenue recycling. Revenue Environmental policies of this magnitude, especially
recycling that encourages capital formation tends to ones that involve tax structures, naturally raise
lower these figures and in some cases shows a net equity issues. Although economics as a discipline
economic benefit over time. These assessments can only make limited moral or ethical judgments,
assume a baseline of no action (i.e., there is no some concepts of equity have economic dimensions.
presumed economic savings compared with pursuing A few observations are offered here.
CO2 reductions with less efficient policy instruments). First, there is a tension between the measurement
Some general observations are in order. First, as of contemporaneous cost burden of CO2 reductions
implied previously, the overall outcomes depend and the potential for significant climate change
significantly on the assumed mechanism for revenue damages that might be borne by future generations.
recycling. Second, the degree of substitutability These do not easily reduce to arguments over
Carbon Taxes and Climate Change 305
discount rates; perhaps ethicists or philosophers are Change: Impact on the Demand for Energy
better equipped to analyze these issues. Energy Efficiency and Climate Change
Second, carbon taxes are typically considered to Greenhouse Gas Abatement: Controversies in
be regressive since in most industrialized economies Cost Assessment Greenhouse Gas Emissions from
energy costs represent a higher portion of expendi- Energy Systems, Comparison and Overview Taxa-
tures or income for lower income families. However, tion of Energy
a complete analysis must consider both the impact of
existing tax structure and expenditure patterns, and
possibly the impact on various income classes of
alternative policies to reduce CO2 emissions. Further Reading
Finally, equity issues are especially sensitive to Bohm, P., and Russell, C. (1985). Comparative analysis of alter-
revenue recycling assumptions. In many economic native policy instruments. In ‘‘Handbook of Natural Resource
analysis frameworks, reducing existing distortionary and Energy Economics’’ (A. V. Kneese and J. L. Sweeney, Eds.),
taxes on capital provides a greater boost to economic Vol. 1, pp. 395–460. North-Holland, Amsterdam.
Bovenberg, A. L., and de Mooij, R. A. (1994). Environmental
growth than equivalent reductions on labor taxes or
levies and distortionary taxation. Am. Econ. Rev. 84, 1085–
devising a more neutral transfer based on expanding 1089.
the personal exemption (e.g., shielding the initial Bovenberg, A. L., and Goulder, L. H. (1996). Optimal environ-
portion of income from income tax). In any case, the mental taxation in the presence of other taxes: general
revenues from a carbon tax might be used to offset equilibrium analyses. Am. Econ. Rev. 86, 985–1000.
perceived inequities in the current tax system. The Boyd, R., Krutilla, K., and Viscusi, W. K. (1995). Energy
taxation as a policy instrument to reduce CO2 emissions:
equity implications of any overall carbon tax and A net benefit analysis. J. Environ. Econ. Management 29,
revenue recycling scheme must be evaluated carefully 1–24.
and completely before drawing conclusions. Dewees, D. N. (1983). Instrument choice in environmental policy.
Econ. Inquiry 21, 53–71.
Gaskins, D., and Weyant, J. (eds.). (1995). ‘‘Reducing Global
Carbon Emissions: Costs and Policy Options.’’ Energy Model-
6. CONCLUSION ing Forum, Stanford, CA.
Goulder, L. H. (1995). Environmental taxation and the ‘‘double
dividend’’: A reader’s guide. Int. Tax Public Finance 2,
Although any policy prescription to combat climate
157–183.
change has advantages and disadvantages, on bal- Goulder, L. H., and Schneider, S. H. (1999). Induced technological
ance, carbon taxes appear to have several distinct change and the attractiveness of CO2 abatement policies.
advantages over other approaches to deal with Resour. Energy Econ. 21(3/4), 211–253.
climate change. Economic incentive approaches, Goulder, L. H., Parry, I. W. H., and Burtraw, D. (1997). Revenue-
raising vs. other approaches to environmental taxation: The
such as taxes or tradable permits, will induce cost-
critical significance of pre-existing tax distortions. Rand J.
effective abatement responses. The incidence of such Econ. 28, 708–731.
policies is complicated but generally operates to Goulder, L. H., Parry, I. W. H., Williams, R. C., and Burtraw, D.
reduce CO2 emissions in cost-effective ways in both (1999). The cost effectiveness of alternative instruments for
the short and long term. The revenues generated environmental protection in a second-best setting. J. Public
Econ. 72, 329–360.
from carbon tax (or permit systems) can be used to Grübler, A., Nakicenovic, N., and Nordhaus, W. D. (eds.). (2002).
reduce distortions or inequities or both in current tax ‘‘Technological Change and the Environment.’’ Resources for
schemes; such revenue recycling will lower and the Future, Washington, DC.
possibly eliminate the economic cost associated with Parry, I. W. H. (1995). Pollution taxes and revenue recycling.
reducing CO2 emissions. J. Environ. Econ. Management 29, S64–S77.
Parry, I. W. H. (1997). Environmental taxes and quotas in the
presence of distorting taxes in factor markets. Resour. Energy
Econ. 19, 203–220.
Parry, I. W. H., and Bento, A. M. (2000). Tax deductions,
SEE ALSO THE environmental policy, and the ‘‘double dividend’’ hypothesis.
FOLLOWING ARTICLES J. Environ. Econ. Management 39, 67–96.
Parry, I. W. H., Williams, R. C., and Goulder, L. H. (1999). When
Biomass for Renewable Energy and Fuels can carbon abatement policies increase welfare? The funda-
Biomass: Impact on Carbon Cycle and Greenhouse mental role of distorted factor markets. J. Environ. Econ.
Management 37, 52–84.
Gas Emissions Carbon Capture and Storage from Pizer, W. A. (1999). The optimal choice of climate change policy in
Fossil Fuel Use Carbon Sequestration, Terrestrial the presence of uncertainty. Resour. Energy Econ. 21(3/4),
Climate Change and Energy, Overview Climate 255–287.
306 Carbon Taxes and Climate Change
Repetto, R., and Austin, D. (1997). ‘‘The Costs of Climate Sterner, T. (2002). ‘‘Policy Instruments for Environmental and
Protection: A Guide for the Perplexed.’’ World Resources Natural Resource Management.’’ Resources for the Future,
Institute, Washington, DC. Washington, DC.
Repetto, R., Dower, R. C., Jenkins, R., and Geoghegan, J. (1992). Terkla, D. (1984). The efficiency value of effluent tax revenues.
‘‘Green Fees: How a Tax Shift Can Work for the Environment J. Environ. Econ. Management 11(2), 107–123.
and the Economy.’’ World Resources Institute, Washington, DC.
Cement and Energy
ERNST WORRELL
Lawrence Berkeley National Laboratory
Berkeley, California, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 307
308 Cement and Energy
emission sources and the emissions from electricity 1600 Middle East
Rest of Asia
production, the cement industry is a major source of 1400 OECD-Pacific
carbon emissions, and it should be considered in the 1200
China
India
assessment of carbon emission-reduction options. Western Europe
EE/FSU
1000
The high temperatures in the combustion process North America
M tonnes
Latin America
also contribute to relatively high NOx emissions, 800 Africa
oxides (iron, aluminum, and silicon) and has tion of kiln energy requirements. The typical fuel
cementious activity when reacted with water. Clinker consumption of a dry kiln with four- or five-stage
is produced by pyroprocessing in large kilns. These preheating varies between 3.2 and 3.5 GJ/tonne
kiln systems evaporate the free water in the meal, clinker. A six-stage preheater kiln can theoretically
calcine the carbonate constituents (calcination), and use as low as 2.9–3.0 GJ/tonne clinker. The most
form cement minerals (clinkerization). In the chemi- efficient preheater, precalciner kilns, use approxi-
cal transformation, calcium carbonate is transformed mately 2.9 GJ/tonne clinker. Kiln-dust bypass systems
into calcium oxide, leading to a reduction in the may be required in kilns in order to remove alkalis,
original weight of raw materials used. Furthermore, sulfates, or chlorides. Such systems lead to additional
cement kiln dust may be emitted to control the energy losses since sensible heat is removed with the
chemical composition of the clinker. Clinker produc- dust. Figure 3 depicts the typical specific energy
tion is the most energy-intensive stage in cement consumption for different kiln types in use through-
production, accounting for more than 90% of total out the world.
industry energy use and virtually all the fuel use. Once the clinker is formed, it is cooled rapidly to
The main kiln type used throughout the world is ensure the maximum yield of alite (tricalcium
the large-capacity rotary kiln. In these kilns, a tube silicate), an important component for the hardening
with a diameter up to 8 m is installed at a 3–41 angle properties of cement. The main cooling technologies
and rotates one to three times per minute. The are either the grate cooler or the tube or planetary
ground raw material, fed into the top of the kiln, cooler. In the grate cooler, the clinker is transported
moves down the tube toward the flame. In the over a reciprocating grate passing through a flow of
sintering (or clinkering) zone, the combustion gas air. In the tube or planetary cooler, the clinker is
reaches a temperature of 1800–20001C. Although cooled in a countercurrent air stream. The cooling air
many different fuels can be used in the kiln, coal is is used as combustion air for the kiln.
the primary fuel in most countries. In developing countries, shaft kilns are still in use.
In a wet rotary kiln, the raw meal typically con- These are used in countries with a lack of infra-
tains approximately 36% moisture. These kilns were structure to transport raw materials or cement or for
developed as an upgrade of the original long dry kiln the production of specialty cements. Today, most
to improve the chemical uniformity in the raw meal. vertical shaft kilns are in China and India. In these
The water is first evaporated in the kiln in the low- countries, the lack of infrastructure, lack of capital,
temperature zone. The evaporation step requires a and power shortages favor the use of small-scale
long kiln. The length-to-diameter ratio may be up to local cement plants. In China, this is also the conse-
38, with lengths up to 230 m. The capacity of large quence of the industrial development pattern, in
units may be up to 3600 tonnes of clinker per day. which local township and village enterprises have
Fuel use in a wet kiln can vary between 5.3 and been engines of rural industrialization, leading to a
7.1 GJ/tonne clinker. The variation is due to the
energy requirement for the evaporation and, hence,
the moisture content of the raw meal. Originally, the 7000
wet process was preferred because it was easier to Convection
Energy use (MJ/tonne clinker)
6000 Dust
grind and control the size distribution of the particles Kiln exit gas
in a slurry form. The need for the wet process was 5000
Cooler exit air
Heat of clinker
reduced by the development of improved grinding Evaporation
4000 Chemical reactions
processes.
In a dry kiln, feed material with much lower 3000
moisture content (0.5%) is used, thereby reducing the
need for evaporation and reducing kiln length. The 2000
dry process was first developed in the United States 1000
and consisted of a long dry kiln without preheating or
with one-stage suspension preheating. Later, multi- 0
Long Lepol Long Dry-SP Dry-PC/SP
stage suspension preheaters (i.e., a cyclone) or shaft wet dry
preheaters were developed. Additionally, precalciner
FIGURE 3 Energy consumption and losses for the major kiln
technology has recently been developed in which a types: wet process, Lepol or semiwet, long dry, dry process with
second combustion chamber has been added to a four-stage suspension preheating (SP), and dry process with four-
conventional preheater that allows for further reduc- stage suspension preheating and precalcining (PC/SP).
Cement and Energy 311
substantial share of shaft kilns for the total cement tonne for a 3500 Blaine (expressed in cm2/g). (Blaine
production. Regional industrialization policies in is a measure of the total surface of the particles in a
India also favor the use of shaft kilns, in addition given quantity of cement, or an indicator of the
to the large rotary kilns in major cement-producing fineness of cement. The higher the Blaine, the more
areas. In India, shaft kilns represent a growing energy required to grind the clinker and additives to
portion of total cement production, approximately the desired fineness.) Traditionally, ball or tube mills
10% of the 1996 production capacity. In China, the are used in finish grinding, but many plants use
share is even higher, with an estimated 87% of vertical roller mills. In ball and tube mills, the clinker
output in 1995. Typical capacities of shaft kilns vary and gypsum are fed into one end of a horizontal
between 30 and 180 tonnes of clinker per day. cylinder and partially ground cement exits the other
The principle of all shaft kilns is similar, although end. Modern ball mills may use 32–37 kWh/tonne
design characteristics may vary. The shaft kiln is most for cements with a Blaine of 3500.
often cone shaped. The pelletized material travels Modern state-of-the-art concepts are the high-
from top to bottom, through the same zones as those pressure roller mill and the horizontal roller mill (e.g.,
of rotary kilns. The kiln height is determined by the Horomill), which use 20–50% less energy than a ball
time needed for the raw material to travel through the mill. The roller press is a relatively new technology
zones and by operational procedures, pellet composi- and is more common in Western Europe than in
tion, and the amount of air blown. Shaft kilns can North America. Various new grinding mill concepts
achieve reasonably high efficiency through interaction are under development or have been demonstrated.
with the feed and low energy losses through exhaust Finished cement is stored in silos, tested and filled
gases and radiation. Fuel consumption in China into bags, or shipped in bulk on bulk cement trucks,
varies between 3.7 and 6.6 GJ/tonne clinker for railcars, barges, or ships. Additional power is
mechanized kilns, with the average estimated at consumed for conveyor belts and packing of cement.
4.8 GJ/tonne clinker. In India, presumably, shaft kilns The total consumption for these purposes is generally
use between 4.2 and 4.6 GJ/tonne clinker. The largest low and not more than 5% of total power use. Total
energy losses in shaft kilns are due to incomplete power use for auxiliaries is estimated to be approxi-
combustion. Electricity use in shaft kilns is very low. mately 10 kWh/tonne clinker. The power consump-
tion for packing depends on the share of cement
packed in bags.
3.4 Finish Grinding
After cooling, the clinker is stored in the clinker
dome or silo. The material-handling equipment used
to transport clinker from the clinker coolers to 4. ENERGY USE IN
storage and then to the finish mill is similar to that CEMENT MAKING
used to transport raw materials (e.g., belt conveyors,
deep bucket conveyors, and bucket elevators). To The theoretical energy consumption for producing
produce powdered cement, the nodules of cement cement can be calculated based on the enthalpy of
clinker are ground. Grinding of cement clinker, formation of 1 kg of portland cement clinker, which
together with additives (gypsum and/or anhydrite; is approximately 1.76 MJ. This calculation refers to
3–5% to control the setting properties of the cement) reactants and products at 251C and 0.101 MPa. In
can be done in ball mills, roller mills, or roller addition to the theoretical minimum heat require-
presses. Combinations of these milling techniques are ments, energy is required to evaporate water and to
often applied. Coarse material is separated in a compensate for the heat losses. Heat is lost from the
classifier and returned for additional grinding. plant by radiation or convection and, with clinker,
Power consumption for grinding depends on the emitted kiln dust and exit gases leaving the process.
required fineness of the final product and the Hence, in practice, energy consumption is higher.
additives used (in intergrinding). Electricity use for The kiln is the major energy user in the cement-
raw meal and finish grinding heavily depends on the making process. Energy use in the kiln basically
hardness of the material (limestone, clinker, and depends on the moisture content of the raw meal.
pozzolan extenders) and the desired fineness of the Figure 3 provides an overview of the heat require-
cement as well as the amount of additives. Blast ments of different types of kilns. Most electricity is
furnace slags are more difficult to grind and hence consumed in the grinding of the raw materials and
use more grinding power, between 50 and 70 kWh/ finished cement. Power consumption for a rotary kiln
312 Cement and Energy
0.25
0.24
making varies widely by country and region. Whereas
0.24 0.23 0.23
0.22 0.22
0.21
in Europe the use of blended cements is quite
0.20
0.2 0.19 0.19 common, it is less common in North America. The
relative importance of additive use is indicated by the
clinker:cement (C:C) ratio of cement production in a
0.1 specific country. Portland cement has a C:C ratio of
0.95, whereas blast furnace slag cement has a C:C
ratio as low as 0.35. Countries such as the United
0.0 States, Canada, and the United Kingdom have high
C:C ratios, indicating the dominance of portland
ia
a
ina
sia
st
pe
e
in A SU
rica
c
ica
cifi
eric
rag
Ind
Ea
uro
cement, whereas countries such as Belgium, France,
er A
Afr
Ch
/F
me
Pa
ave
Am
dle
EE
rn E
and the former Soviet Union have lower C:C ratios,
Oth
CD
Mid
rld
rth
ste
OE
indicating the relatively larger use of blended
Lat
Wo
No
We
cements. Because no international sources collect
FIGURE 4 Carbon intensity of cement production in different clinker production data, it is not possible to accu-
regions. rately estimate the current practices in all cement-
producing countries. The major barriers to further
improvement in the cement industry. In China, application of blended cements do not seem to be
various programs have developed technologies to supply or environmental issues but rather exist-
improve the efficiency of shaft kilns by increasing ing product standards and specifications and build-
mechanization, insulation, bed distribution, as well ing codes.
as control systems. They demonstrated an energy The potential for application of blended cements
efficiency improvement potential of 10–30% for all depends on the current application level, the avail-
shaft kilns. A study of the Indian cement industry ability of blending materials, and standards and
found a technical potential for energy efficiency legislative requirements. The global potential for
improvement of approximately 33% with currently CO2 emission reduction by producing blended
commercially available technology. Incorporating cement is estimated to be at least 5% of total CO2
future technologies, the energy savings potential is emissions from cement making (56 Mt CO2) but may
estimated to be approximately 48%. However, the be as high as 20%. The potential savings will vary by
economic potential for energy efficiency improve- country and region. The potential for energy savings
ment is estimated to be 24% of total primary energy for 24 countries in the OECD, Eastern Europe,
use (using a discount rate of 30%). Focusing on and Latin America was estimated to be up to
commercially available technology, 29 energy-effi- 29%, depending on the availability of blending
cient technologies were identified that could be materials and the structure of the cement market.
adopted to some extent by the U.S. cement industry. The average emission reduction for all countries
Together, these have a technical potential for energy (producing 35% of world cement in 1990) was
efficiency improvement of 40%. However, the estimated to be 22%.
economic potential (using a discount rate of 30%) The costs of blending materials depend on the
is estimated to be only 11% due to the high capital transportation costs and may be $15–30 per ton for
costs and low energy costs in the United States. fly ash and approximately $24 per ton for blast
The production of clinker is the most energy- furnace slag. Shipping costs may significantly in-
intensive step in the cement-manufacturing process crease the price, depending on distance and shipping
and causes large process emissions of CO2. In blended mode. The prices are still considerably lower than the
cement, a portion of the clinker is replaced with production costs of cement, estimated to be approxi-
industrial by-products, such as coal fly ash (a residue mately $36 per ton (1990) in the United States.
from coal burning) or blast furnace slag (a residue Additives such as fly ash contain high concentra-
from ironmaking), or other pozzolanic materials tions of heavy metals, which may leach to the
(e.g., volcanic material). These products are blended environment in unfavorable conditions. No negative
with the ground clinker to produce a homogeneous environmental effects of slag and fly ash addition in
product—blended cement. Blended cement has dif- cement have been found. The use of nonferrous slags
ferent properties compared to portland cement (e.g., seems to be limited to slag contents of 15% by mass.
setting takes longer but ultimate strength is higher). However, fly ash and blast furnace slag may be
314 Cement and Energy
TABLE II
Energy-Efficient Practices and Technologies in Cement Production
considered hazardous wastes under environmental Recovery Act, which gives states the jurisdiction to
legislation in some countries, limiting the use of fly define fly ash as a hazardous waste. In practice, the
ash to specified companies. In the United States, fly state regulation varies widely throughout the United
ash falls under the Resource Conservation and States, limiting the reuse of fly ash.
Cement and Energy 315
SEE ALSO THE Feng, L., Ross, M., and Wang, S. (1995). Energy efficiency of
China’s cement industry. Energy 20, 669–681.
FOLLOWING ARTICLES Hargreaves, D. (ed.). (1996). ‘‘The Global Cement Report,’’ 2nd
ed. Tradeship, Surrey, UK.
Aluminum Production and Energy External Costs Hendriks, C. A., Worrell, E., Price, L., Martin, N., and Ozawa
of Energy Greenhouse Gas Emissions from Energy Meida, L. (1999). The reduction of greenhouse gas emissions
Systems, Comparison and Overview Plastics Pro- from the cement industry, Report No. PH3/7. IEA Greenhouse
Gas R&D Program, Gloucestershire, UK.
duction and Energy Steel Production and Energy
U.S. Geological Survey (various years). ‘‘Minerals Yearbook.’’ U.S.
Geological Survey, Washington, DC (http://minerals.er.usgs.
Further Reading gov/minerals).
Von Seebach, H. M., Neumann, E., and Lohnherr, L. (1996). State-
Alsop, P. A., and Post, J. W. (1995). ‘‘The Cement Plant Operations
Handbook.’’ Tradeship, Dorking, UK. of-the-art of energy-efficient grinding systems. ZKG Int. 49,
Cembureau (1996). ‘‘World Cement Directory.’’ Cembureau, 61–67.
Brussels. Worrell, E., Martin, N., and Price, L. (2000). Potentials for energy
Cembureau (1997). ‘‘Best Available Techniques for the Cement efficiency improvement in the U.S. cement industry. Energy 25,
Industry.’’ Cembureau, Brussels. 1189–1214.
Duda, W. H. (1985). ‘‘Cement Data Book, International Process Worrell, E., Price, L., Martin, N., Hendriks, C. A., and Ozawa
Engineering in the Cement Industry.’’ 3rd ed. Bauverlag, Meida, L. (2001). Carbon dioxide emissions from the global
Wiesbaden, Germany. cement industry. Annu. Rev. Energy Environ. 26, 203–229.
City Planning and Energy Use
HYUNSOO PARK and CLINTON ANDREWS
Rutgers University
New Brunswick, New Jersey, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 317
318 City Planning and Energy Use
Collaboration, community visioning, smarter growth, Council in Oregon consist of seven geographically
and sustainable development are the watchwords representative citizens appointed by the governor.
of the planning profession at the beginning of the These institutions issue a certification for the cons-
21st century. truction and operation of energy facilities.
Planning practice begins with how to regulate The siting certification processes also vary from
land use in urban areas. Zoning and subdivision state to state. Generally, in the beginning of the
regulations are basic tools in determining land use process, these siting institutions or subcommittees
patterns. Land use planning is inextricably related to oversee the submission of plans by the utilities. Then
transportation planning, which analyzes the travel a potential applicant submits a notice of intent, which
behavior of individuals and aggregates on current describes the proposed facilities and which allows the
and prospective networks. Urban designers apply office to collect public inputs through public hearings
these tools to give cities unity and coherence, with and to identify laws, regulations, and ordinances. At
clear and legible structures and hierarchies of centers. the next stage, the applicants submit the application
In the United States, however, low-density develop- to the office and then the siting institution decides
ment in suburban areas during the post-World War II whether to issue a site certification.
period created ‘‘sprawl.’’ Planners devised growth General criteria for siting facilities are based on
management strategies to control sprawl, and start- standards determined by each state. The environ-
ing in the 1990s, a ‘‘smart growth’’ movement mental standards include considerations of noise,
advocated an integrated form of regional growth wetlands, water pollution, and water rights; soil
management to restore the community vitality of erosion and environmentally sensitive areas are also
center cities and older suburbs. City planners considered. Structural standards consider public
increasingly rely on public decision-making processes health and facility safety. The siting institutions
to organize the built environment, and recent efforts consider the applicant’s organizational, managerial,
at communicative planning encourage citizens’ direct and technical expertise; the applicants are required to
participation in policy-making processes, implemen- have financial assurance. Siting institutions must also
tation, and monitoring of policies, so as to minimize evaluate socioeconomic effects such as expected
conflicts and negative externalities. population increases, housing, traffic safety, and so
The city planning profession, however, has paid on. However, deciding where to site facilities is not
little attention to energy use, even though most cities easy due to the divergent interests of multiple
experienced significant energy crises in the 1970s. stakeholders, and the process of siting facilities there-
Most planners assume that cities are, above all, fore often brings about locational conflicts.
places to consume energy rather than produce it.
They are increasingly being shown to be wrong.
2.2 Locational Conflicts
Siting facilities can be understood as an exercise in
siting locally undesirable land uses (LULUs), many of
2. SITING ENERGY FACILITIES
which cause locational conflicts and thereby place
government officials and policy makers in opposition
2.1 Regulations and Institutions
to grassroots ‘‘not in my back yard’’ (NIMBY)
In the United States context, most land use and groups. Locational conflicts can escalate from local
facility siting decisions take place at the local level. disputes into broad protests against structural
The federal government has reserved siting authority inequities. Major issues driving locational conflicts
for only a few types of energy facilities: pipelines and include health and safety concerns as well as
nuclear waste dumps are the chief examples. Most environmental impacts. In addition, facilities may
states delegate facility siting tasks to municipalities, be sited in neighborhoods whose residents are poor
although statewide bodies have been created in a few or people of color, becoming an issue of environ-
states. Statewide decisions about siting facilities are mental justice. Opponents of constructing facilities
made by a siting board, an energy facility siting sometimes adopt grassroots techniques, such as
council, or an energy commission. The members of protests, civil disobedience, and initiatives. Many
the siting institutions vary from state to state; for conflicts lead to judicial review, promoting high
instance, the members of the Energy Commission in transaction costs.
California consist of four professionals and one New approaches to the resolution of locational
citizen, and the members of the Energy Facility Siting conflicts have emerged since the 1970s to reduce
City Planning and Energy Use 319
the high transaction costs. Alternative dispute resolu- the energy sector privately. Wood, coal, oil, natural
tion (ADR) is a method based on consensus building; gas, and electricity were produced and transported
this is also called principled negotiation or consensus- mostly by private firms well into the first decades of
based negotiation. In their 1981 book, Getting to Yes, the 20th century. Thereafter, as network energy
Roger Fisher and William Ury emphasize the im- utilities became ubiquitous, public involvement in-
portance of principled negotiation that applies scien- creased. The new Soviet Union made electrification a
tific merit and objectivity to the problem in question. national project; financially unstable private utilities
Planners engaged in siting facilities now routinely of the United States begged for and received govern-
consider both efficiency and equity/fairness criteria. ment regulation following World War I, and New
Deal regional and rural policies made access to
electricity a public goal justifying public investment
2.3 Balancing Efficiency and Equity/ and ownership. Before the Great Depression of the
Fairness Considerations early 1930s, several holding companies controlled
By and large, the criteria to evaluate the benefits and more than 75% of all U.S. generation. After the Great
costs of siting energy facilities will be determined by Depression, holding companies proved to be finan-
three factors: risk from the facilities, fairness in siting cially unstable and caused the price of electricity to
facilities, and productivity or efficiency of the facilities increase, so support grew for government ownership
after the decision on siting the facility. It is desirable of utilities, especially hydroelectric power facilities.
to reduce risks related to health and safety issues. Since the energy crisis in the early and late 1970s, the
There is a fairness issue behind the risk issue. The structure of electricity industry has changed; non-
NIMBY syndrome usually results from an unequal utilities have been added in the electricity market and
distribution of costs and benefits. Sites of energy the vertical structure has been unbundled. Because of
facilities are correlated to a variety of economic the uncertainty over the future structure of the
factors, such as natural resources, land prices, and industry and recovery of investment costs in elec-
urban infrastructures. In his 1992 piece in the Virginia tricity infrastructures, financing electricity infrastruc-
Environmental Law Journal, Robert Collin argues ture has been in difficulty. In the United States as of
that generally racial and ethnic minorities and low- 1999, federally owned utilities controlled 10.6% of
income groups are more likely to be exposed to the total generation, cooperatives controlled 5.2%,
hazardous waste and pollution because they are more publicly owned utilities controlled 13.5%, investor-
likely to live near those treatment facilities. Thus, the owned utilities controlled 70.7%, and nonutilities
balancing of efficiency and fairness becomes a major controlled 18.9%. The combination of private and
argument in siting energy facilities. Participation by public ownership differs from region to region. There
the affected parties and negotiation are standard are about 5000 power plants in the United States.
components of most current United States energy As electricity was transformed from a novelty to a
facility siting processes. During the negotiation necessity during the mid-20th century, many coun-
process, each party reviews the plan to site facilities tries worldwide nationalized their electricity sectors.
and pays close attention to the type and amount of Only since the 1980s have privatization and liberal-
compensation awarded to the community and the ization reversed this trend. In the developing world,
criteria used for siting facilities. If the compensation is lack of public funds has forced many countries to
not sufficient, renegotiation may be necessary. turn to private, often transnational, financiers for
energy sector investments.
In the oil and natural gas sectors, historically,
3. FINANCING ENERGY major energy companies have possessed a vertically
integrated oil and natural gas infrastructure, invol-
INFRASTRUCTURE
ving oil and natural gas exploration, development,
and production operations and petroleum refining
3.1 Public or Private Ownership
and motor gasoline marketing. Also, independent
Energy infrastructures include many components: oil and natural gas companies take part in segments
generation, transmission, and distribution of electri- of vertically integrated structures as producers,
city; physical networks of oil and natural gas petroleum refiners, and providers of transmission
pipelines; oil refineries; and other transportation pipelines. Oil and natural gas pipelines may run
elements such as marine and rail transportation. across state boundaries or federal lands in order to
Historically, industrialized countries have financed link supply locations to market areas in cities. In the
320 City Planning and Energy Use
natural gas industry, there has been a structural called for local governments to take over some local
change since the issue of Order 636 by the Federal electricity systems. Today, a significant minority of
Energy Regulatory Commission (FERC), which no municipalities control electricity distribution to their
longer permitted gas pipeline companies to engage in residents, and a smaller number also generate and
the sale of natural gas. Thus, several pipeline transmit power. In parallel, in the 20th century,
companies have been consolidated under single strong state regulations were introduced to prevent
corporate umbrellas, such as El Paso Merchant corruption and guarantee the fair pricing among
Energy Company, the Williams Company, Duke investor-owned utilities. From historical experience,
Energy Corporation, and the now defunct Enron municipalization has both strengths and weaknesses.
Corporation. Several of these companies have acqui- Nevertheless, the recent restructuring of the elec-
red interstate pipeline companies. tricity sector might open new opportunities for public
financial involvement. Municipal governments can
serve as aggregators and use their market power to
3.2 Vertical Disintegration
buy reasonably priced electricity on the open market.
In the United States electricity sector, the industry They can reduce rates for their residential customers
structure throughout the 20th century consisted of or meet expectations of clean air and water by offer-
three vertical components: generation, transmission, ing clean energy options. They can also use various
and distribution. With increasing demand, robust renewable energy sources to meet their citizens’
transmission networks, availability of new generat- demand (this will be further discussed in Section 6).
ing technologies, and an ideological shift, restructur-
ing in electricity and natural gas industries has
become significant. In the electricity sector, regula- 4. INFLUENCE OF LAND USE
tory reform has changed the structure of the PATTERNS ON ENERGY
electricity industry; according to Order 888 issued
by FERC, all utilities can have access to the U.S.
4.1 Effects of Density, Grain,
transmission systems; in addition, as already men-
and Connectivity
tioned, nonutilities can provide electricity through
the transmission system. To reduce the costs resulting Land use patterns can be parsimoniously character-
from constructing new power plants, the federal ized in four dimensions: degree of centralization or
government is trying to remove the transmission decentralization (urban form), ratio of population or
constraints between regions, some of which are jobs to area (density), diversity of functional land
traceable to the 1935 Public Utility Holding Com- uses such as residential and industrial (grain), and
pany Act (PUHCA) limiting interstate utility opera- extent of interrelation and availability of multiple
tions. Horizontal market power is replacing vertical modes of circulation for people and goods among
integration as the dominant utility business strategy. local destinations (connectivity). The use of resources
In the natural gas sector, business operations are per capita diminishes as urban form becomes more
going in a direction parallel to that of the electricity centralized, density goes up, grain becomes finer, and
industry. In his 2001 report, Natural Gas Transpor- connectivity shrinks. Metropolitan land use patterns
tation—Infrastructure Issues and Operational in the United States after World War II show
Trends, James Tobin discusses that, to take a better increased energy use due to increasing regional
position to handle the large growth in natural gas populations, decentralization, decreasing density,
demand, natural gas companies have consolidated rougher grain, and increased connectivity.
operations through major mergers. Throughout the 19th century, most people in the
United States lived in small towns and villages. With
the advent of the 20th century, many people moved
3.3 Municipalization
to industrial cities for jobs, a trend that peaked in the
In the early 20th century, local governments in the 1920s and was compounded by overseas immigra-
United States played key roles by awarding compet- tion. Following the interruptions of the Great
ing bidders electric service franchises. In fact, how- Depression and World War II, the pent-up demand
ever, some local officials received bribes in return for for housing was met by a conscious process of
granting franchises to utilities, and franchise holders suburbanization. Achieving the dream of home
imputed this burden to citizens. Citizens rebuked ownership became feasible for many Americans as
utility companies for causing the rates to be high, and new federal mortgage guarantee policies removed
City Planning and Energy Use 321
TABLE I
Intensity of Land Use in Global Cities, 1990a
American averaged 14.2 8.1 50.0 429.9 35.6 27.2 11.8 6.2
Australian averagee 12.2 5.3 14.0 363.6 21.7 26.2 11.6 3.6
Canadian averagef 28.5 14.4 37.9 354.6 43.6 44.6 25.9 9.6
European averageg 49.9 31.5 77.5 345.1 86.9 84.5 39.3 16.6
Asian averageh 161.9 72.6 216.8 480.1 291.2 203.5 133.3 43.5
a
From ‘‘Sustainability and Cities’’ by Peter Newman and Jeffrey Kenworthy. Copyright r 1999 by Peter Newman and Jeffrey
Kenworthy. Adapted by permission of Island Press, Washington, D.C. Density expressed in persons per hectare and jobs per hectare.
b
Central business district.
c
Population.
d
Average of Sacramento, Houston, San Diego, Phoenix, San Francisco, Portland, Denver, Los Angeles, Detroit, Boston, Washington,
Chicago, and New York.
e
Average of Canberra, Perth, Brisbane, Melbourne, Adelaide, and Sydney.
f
Average of Winnipeg, Edmonton, Vancouver, Toronto, Montreal, and Ottawa.
g
Average of Frankfurt, Brussels, Hamburg, Zurich, Stockholm, Vienna, Copenhagen, Paris, Munich, Amsterdam, and London.
h
Average of Kuala Lumpur, Singapore, Tokyo, Bangkok, Seoul, Jakarta, Manila, Surabaya, and Hong Kong.
financial barriers to home ownership, as developers impacts of urban sprawl have caused increasing
such as William Levitt perfected mass production of traffic congestion and commute times, air pollution,
affordable housing units on greenfield sites, and as inefficient energy consumption and greater reliance
federal dollars poured into road building. Discrimi- on foreign oil, inability to provide adequate urban
nation in lending and housing markets prevented infrastructures, loss of open space and habitat,
most black Americans from participating in this inequitable distribution of economic resources, and
exodus. Yet, by 1960, the suburban lifestyle was the the loss of a sense of community.
conventional land use practice in the United States. When land use patterns in the United States are
Suburban lifestyle has brought about sprawling, compared to other countries, they show significant
low-density suburban communities; according to the differences. In comparisons of metropolitan density,
1990 census, from 1970 to 1990, the density of urban U.S. cities are of low density in residential and
population in the United States decreased by 23%. business areas whereas European cities are three to
From 1970 to 1990, more than 30,000 square miles four times denser. Asian cities are 12 times denser
(19 million acres) of once-rural lands in the United compared to American cities (Table I).
States became urban areas, an area equal to one-third The average energy use for urban transportation in
of Oregon’s total land area. From 1969 to 1989, the American cities is 64.3 gigajoules (GJ) of fuel per
population of the United States increased by 22.5%, capita compared to 39.5 GJ in Australia, 39.2 GJ in
and the number of miles traveled by that population Canada, 25.7 GJ in Europe, and 12.9 GJ in Asia.
(‘‘vehicle miles traveled’’) increased by 98.4%. Energy use in American cities is five times more than in
Anthony Downs defines the term ‘‘sprawl’’ as (1) Asian cities. In addition, European cities consume two
unlimited outward extension, (2) low-density resi- times more energy compared to Asian cities. This
dential and commercial settlements, (3) leapfrog shows that energy use in transportation is closely relat-
development, (4) fragmentation of powers over land ed to land use patterns and income levels (Table II).
use among many small localities, (5) dominance of
transportation by private automotive vehicles, (6) no 4.2 Environmental and Public
centralized planning or control of land use, (7)
Health Implications
widespread strip commercial development, (8) great
fiscal disparities among localities, (9) segregation of Low-density development and urban sprawl are cor-
types of land use in different zones, and (10) reliance related with high-level air pollutant emissions from
mainly on the trickle-down, or filtering, process to transportation. Emission rates of the greenhouse gas
promote housing to low-income households. The carbon dioxide in U.S. cities are higher than those of
322 City Planning and Energy Use
TABLE II
Transportation Energy Use per Capita in Global Regions, 1990a
an
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To
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Ozone also hurts the respiratory system’s ability to fight varying extents. Trees and shrubs have the capacity
infection. Other cities have similar air pollution to control their own temperature by releasing
problems; LA is no longer exceptional, especially moisture, resulting in a natural cooling effect known
among the growing cities of the American sunbelt. as evapotranspiration. The displacement of trees and
shrubs in the most built-up areas removes beneficial
4.3 Can Technological Innovations in natural cooling. In addition, impervious surfaces,
Transportation Offset Impacts of dumping excess heat from air-conditioning systems,
and air pollution cause the ambient temperatures to
Sprawling Land Use Patterns?
rise, increasing energy use due to the large demand
Optimists hope that innovations in transportation for air conditioning.
technology will solve the problems associated with Site layouts and physical features of buildings and
sprawling land use patterns. Traffic congestion, air other impervious materials in a city have an influence
pollution, and burgeoning energy consumption are on microclimate changes such as sunlight access, wind
each the target of specific research initiatives. The U.S. speed, temperature, and noise. Sunlight striking dark,
government supports research to develop vehicles, such impervious surfaces becomes sensible heat, causing
as hybrid electric and fuel cell cars, that will use energy the temperatures to rise. Building locations influence
sources (i.e., compressed natural gas, biodiesel fuel, wind speed, sometimes impeding and other times
ethanol, and hydrodiesel electricity) less harmful, redirecting the flow of wind on a site. Solar access,
compared to fossil fuels, to the environment. The prevailing winds, tree location, and topographic
government also promotes fuel efficiency through the modifications change microclimate. Wind facilitates
Corporate Average Fuel Economy (CAFE) standards. good air circulation, thereby reducing build-up of
In addition, with federal funds, some cities are intro- heat. Effectively narrowing a street with street trees
ducing Intelligent Transportation Systems (ITSs), which can reduce summer temperatures by 101F. A modified
increase the effectiveness of existing roadways by site layout (street orientation, building placement,
giving drivers real-time information about the best location on slope, and landscaping) can reduce the
travel routes. However, many analysts argue that trans- energy consumption of an ordinary residence by 20%.
portation energy efficiency and ITSs will not reduce the Architects and, to a lesser extent, planners can
number of vehicles in use and air pollution emissions. influence building design and materials choices at the
Thus, technological innovations should be accompa- micro level. Energy efficiency in building design can
nied by nontechnological solutions. The Department be improved by maximizing solar access, by mini-
of Energy suggests new land use planning strategies mizing infiltration but taking full advantage of
that will improve energy efficiency and will protect natural ventilation, by creating non-window spaces
natural corridors and open space. These include transit- as buffers on north walls, and by utilizing natural
oriented design, mixed-use strategies, urban growth convection and passive solar designs, for example.
boundaries, infill development, greenways, brownfields High-performance lighting and maximization of
redevelopment, transfer of development rights, open- natural light by solar access can also improve energy
space protection, urban forestry, land trusts, agricul- efficiency, reducing energy costs. Institutionally, in
tural land protection, and solar access protection. the United States, the Energy Policy and Conserva-
tion Act (EPC Act) of 1975 and the Energy Policy Act
(EP Act) of 1992 have improved the energy efficiency
5. INFLUENCE OF URBAN/ of household and commercial building appliances.
ARCHITECTURAL DESIGN ON Advanced building design techniques and associated
ENERGY POLICIES AND PRACTICES technologies and appliances available today can cut
in half the energy consumption of buildings.
Urban form at the metropolitan scale strongly affects
transportation-related energy consumption, but
smaller scale urban and architectural design deci- 6. CENTRALIZED VS. DISTRIBUTED
sions also influence energy use. Site layouts and
building material choices affect microclimate and can
ENERGY SUPPLIES
create heat island effects.
6.1 Implications for Planners
Heat island effects arise from multiple sources.
First, urbanized areas have residential, commercial, Energy supply, particularly electricity supply, needs
and industrial zones that displace trees and shrubs to to be analyzed in its regional context. It has long
324 City Planning and Energy Use
been assumed that increasing returns to scale result until the 1960s. Following the 1965 Northeast
from increasing efficiency and technological specia- blackout, the North American Electric Reliability
lization by means of large-scale supply. Thus, the Council (NERC) was formed to coordinate utility
single-minded pursuit of centralized energy supply responses to regional disruptions and to avoid
led to a North American electric power system that cascading failures.
was interconnected on a multistate basis and Two oil crises in the 1970s and the restructuring
included gigawatt-scale generating plants. Centra- of other regulated industries (such as telecommuni-
lized energy supply also brought with it certain cation) brought about a rethinking of the electricity
inefficiencies associated with monopoly power, be- industry. During this period, technological innova-
cause utilities had few incentives to be operationally tions in gas turbines reduced generation costs and
efficient and innovative. The recent restructuring optimal generating-plant sizes, and thus made the
efforts have been inspired by expectations of large-scale power plants designed to exploit econo-
increased dynamic efficiency. mies of scale no longer necessary. In addition,
Another weakness of a centralized energy supply PUHCA exacerbated problems by placing the siting
(characterized as ‘‘brittle’’ by Lovins) is the vulner- of transmission lines under state rather than federal
ability of large power plants and transmission lines authority, thereby constraining power flows from
to disruptions, both natural and man-made, acci- states with power surpluses to other states experien-
dental and intentional. From the transmission cing shortfalls. As a result, the vertically integrated
system-related 1965 Northeast blackout in the structure is being unbundled, competition has been
United States, to the generation system-related introduced in the electricity market, and a greater
1986 Chernobyl accident in the former Soviet Union, variety of new power generation techniques and
to the utility distribution system disruptions caused resources are entering use. In particular, the DE
by the 1993 and 2001 World Trade Center attacks in technologies are gaining a toehold.
New York, to the 2003 cascading outages in the Most DE stations are located close to their
Northeast, there is accumulating evidence that the ultimate customers. Supply-side distributed energy
redundancies built into the large-scale grid provide resources (DERs) include wind turbines, natural gas
inadequate reliability and security. reciprocating engines, microturbines, photovoltaics,
The introduction of smaller scale distributed and fuel cells (Fig. 3). Demand-side DERs, for
energy (DE) power plants is one potential solution example, include schemes to reduce peak electri-
to these problems. Community-based energy supply city demand and designs for high-efficiency buildings
falls within the planners’ geographic sphere of
70
influence. If this paradigm catches hold, energy
planning could become a basic task for planners. 60
Number of cases
50
ll
PV
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EE
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he
Mi turustio
ce
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ag
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Ot
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tte
or
dr
Hy
and advanced motors and drives for industrial 6.4 Codes and Covenants Affecting
applications. Distributed Fossil Energy Systems and
Distributed Renewable Energy Systems
6.3 Special Case of District
The United States Public Utility Regulatory Policies
Energy Systems Act of 1978 encouraged cogeneration and renewable
Although centralized energy systems locate genera- (solar photovoltaic, wind) energy production. How-
tors remote from consumers, some distributed energy ever, siting the facilities and interconnecting them
systems locate generators on the consumer’s pre- with the grid involve significant problems, still
mises, occupying valuable floor space and imposing unsolved today. There is no uniform standard code
significant installation and maintenance costs. Dis- for interconnection between grids, and utilities have
trict heating and/or cooling systems lie in-between little incentive to modernize technical requirements
these extremes. These systems produce steam, hot/ for grid interconnection. Federal and state regulatory
chilled water, and electricity at a central location and agencies share responsibility for setting the rules
distribute them to nearby buildings (Fig. 4). governing the development of distributed generation.
A district heating or cooling system can reduce The California Energy Commission argues that the
capital costs and save valuable building space, and main issues include paying off the utilities’ stranded
can use not only conventional resources such as coal, investments, siting and permitting hurdles, intercon-
oil, and natural gas, but also renewable fuels such as nection to the grid, environmental impacts, and
biomass and geothermal, thereby increasing fuel transmission system scheduling and balancing.
diversity. In particular, combined heat and power At the state level, supportive policy-makers could
(CHP; also known as cogeneration), which reuses revise the rules on siting facilities, financial incentive
waste heat after producing electricity, can increase programs, interconnection, net-metering programs,
the overall process energy efficiency to more than and air quality standards to encourage the develop-
70%. Steam or hot water can be transformed to ment of the DE market. At the local level, existing
chilled water for refrigeration by means of absorp- building codes, zoning ordinances, and subdivision
tion chiller technology. covenants often forbid distributed energy system
City planning decisions strongly influence the installations. For example, many communities have
economic feasibility of district heating and cooling regulations that restrict homeowners’ opportunities
systems. Such systems are most viable in compact to install solar energy systems on their roof. Thus, a
downtown areas with high load density and a partnership among community groups, local govern-
diversity of uses that support 24-hour operations. ments, and developers is needed to address these
They are not viable in dispersed suburban settings. restrictions before DERs can move significantly
forward.
an unlikely prospect anywhere in the world during consider both supply- and demand-side options using
the next 20 years, if it is even desirable. More likely is a methodology known as least-cost planning, and
an infiltration of DE technologies into a national grid later called integrated resource planning (IRP). In the
that also contains many large central power plants. United States, more than 30 state Public Utility
DE supply will depend on private investment in the Commissions (PUCs) adopted IRP procedures at the
DE industry. To encourage private investment, end of 1980s. The EP Act, passed in 1992,
government will continue to have a role in setting encouraged all electric utilities to exploit integrated
market rules and helping investors overcome barriers resource planning.
associated with siting facilities, grid interconnection Under IRP, utilities attempted to shape future
standards, and financing. energy supply and demand. In the process of
planning, they considered factors such as energy
efficiency and load-management programs, environ-
7. INTEGRATED VS. SEGMENTED mental and social aspects, costs and benefits, public
ENERGY PLANNING participation, and uncertainties. In addition, de-
mand-side resources were given the same weight as
7.1 History of Debate supply-side resources. Demand-side options included
consumer energy efficiency, utility energy conserva-
In his 2001 book, Urban Development, Lewis tion, renewables installed on the customer side of the
Hopkins argues that planning, when done well, is meter, and pricing signals. Supply-side options
very much a big-picture exercise designed to improve consisted of conventional power plants, non-utility-
coordination among distinct, yet interdependent, owned generation, power purchases from other
decision arenas. Good urban plans coordinate suppliers, and remote renewables (Table III).
various private land use and public infrastructure However, many states began to think about
system decisions, for example. In the energy arena, deregulating or restructuring their gas and electric
planning can have a similar integrating function. power industries shortly after the EP Act was passed
in 1992. This meant that state governments could no
7.1.1 Economies of Scope longer regulate planning practices and prices so
A primary driver of integrated energy planning is the closely, because utility companies were situated
potential for economies of scope. This economic under competition in the energy supply market.
argument states that in certain circumstances, the Under restructuring, IRP became a strategic tool for
average total cost decreases as the number of the utility rather than a public planning process.
different goods produced increases. For instance, a Additionally, Kevin Kelly, in his 1995 chapter in
company can produce both refrigerators and air the book Regulating Regional Power Systems, points
conditioners at a lower average cost than what it out that there was a discrepancy between regional
would cost two separate firms to produce the same least-cost planning at the federal level and state
goods, because it can share technologies, facilities, least-cost planning at the state level. The need for
and management skills in production, thereby redu- public energy planning remained in the United States,
cing costs. In the energy industry, for over a century, but by the mid-1990s it no longer carried the force
many firms have realized economies of scope by of regulation.
integrating natural gas and electricity distribution
and sales. Governmental energy planners have 7.1.3 Sustainable Communities
pursued similar economies since at least the 1970s Since the 1992 Earth Summit in Rio de Janeiro, and
by planning for the energy sector as a whole rather accelerating through the turn of the millennium, the
than keeping electricity, gas, oil, and other sectoral term ‘‘sustainable development’’ has been a visible
plans apart. agenda item in every social sphere. Sustainable
development does not simply regard development
7.1.2 Integrated Resource Planning Movement of as growth; as Mark Roseland puts it in his 1998
the 1980s/Early 1990s book, Toward Sustainable Communities, it seeks to
The energy supply and financing crises of the 1970s improve the well being of current and future
inspired some U.S. utility regulators to demand a generations while minimizing the environmental
new kind of planning from regulated utilities. Rather impact. There are different expressions of this idea:
than use only supply-side options and treat demand sustainable cities, sustainable communities, eco-
as exogenous, utility planners were directed to cities, green communities, ecovillages, green villages,
City Planning and Energy Use 327
TABLE IV
Comparison of Conventional and Community Energy Utilitiesa
Generating plant Large scale and remote from customers Small scale and locally based near customers
Customer base Very large, with tens of thousands of customers Relatively small, usually a few thousand customers
and could be much smaller
Legal structure Public limited company, subsidiary to multinational Variety of legal structures, including joint venture
parent company companies, cooperatives, and charities
Control Main control lies with the multinational parent, but Day-to-day control could be in the hands of a
shareholders also influence decisions through their commercial management; energy end users have a
desire to maximize dividends substantial stake in the utility; local authority may
also be a stakeholder as an agent for the
community
Technology Conventional steam electricity, nuclear power, Combustion turbine, microturbine, reciprocating
conventional hydroelectricity, etc. engine-generator, fuel cell, photovoltaic, wind,
etc.
a
Adapted from Houghton (2000).
328 City Planning and Energy Use
exemplar of industrial symbiosis that uses energy 30–35 cities in the world whose population size is
cascades and closed-loop materials cycling among more than 5 million. With the growing concern for
several firms to yield economic benefits with less the environmental impact of cities, people are
pollution, more efficient use of resources, and less beginning to pay attention to city systems from the
need for environmental regulatory supervision, com- perspective of sustainability. In his 2000 book, Green
pared to traditional arrangements. Urbanism, Timothy Beatley considers the ecological
Firms in such ecoindustrial parks can share their footprints of cities, which consume energy, materials,
environmental management infrastructure and in- water, land, and food to support them, and then emit
crease ecoefficiency by rationalizing and optimizing wastes. Urban growth and development have trig-
aggregate materials and energy flows. Power plants, gered the expansion of urban infrastructures, in-
especially CHP systems, make natural anchor creasing energy consumption. For instance, in their
tenants. City planners specializing in industrial parks 1997 Nature article, ‘‘The Value of the World’s
are just beginning to focus on such possibilities, Ecosystem Service and Natural Capital,’’ Robert
although the examples and ideas have been around Costanza and colleagues estimate that the energy
for decades. consumed in urban areas is produced in coastal
areas, forests, grasslands, and wetlands, and its total
7.3 Optimizing across Multiple value is at least $721 billion per year. There is no
Energy Sources primary energy production in urban areas. Rather,
urban systems consume energy produced from the
Energy planning must consider several factors: environment. The United Kingdom’s International
energy resources are unevenly distributed across Institution of Environment and Development esti-
Earth, technological innovations can disrupt existing mates that the entire productive land of the UK is
equilibria, political and economic boundaries and necessary to maintain the population of London,
regulations affect the use of energy resources, whose population size is 7 million. The goal of
culturally and socioeconomically mediated human managing urban areas is shifting from ensuring the
behavior can influence energy consumption patterns, unconstrained consumption of energy resources to
and different places have different climates. Optimiz- encouraging their efficient use.
ing the use of energy resources will require different
strategies in different places to reflect specific local
conditions. For instance, a higher population density 8.2 Cities as Systems
will make CHP more practical, but it may militate Cities are extremely complex combinations of
against other devices, such as passive solar design, physical subsystems, including those of urban infra-
due to the increased overshadowing. structure, various housing and other structures,
transportation, communication, water transport,
7.4 What the Future Holds geology, ecosystem, solid waste, food and water
distribution, economic zones, and demographics. In
Integrated energy planning remains an attractive addition, social, political, economic, and cultural
proposition for firms and for governments, although networks are interconnected, and create these built
deregulation of electricity and gas markets has environments. To maintain and manage complex city
disrupted previous regulatory drivers of this practice. systems, many agencies are involved. In the United
Its scope may intersect in a significant way with that States, these include the Department of Energy,
of city planning if current interest in distributed Department of Defense, Department of Transporta-
generation, industrial ecology, and sustainable com- tion, Environmental Protection Agency, Department
munities persists. of Housing and Urban Development, Federal Emer-
gency Management Agency, United Nations, state
8. ENERGY FOR THE WORLD’S and local planning agencies, and others. Yet none of
BURGEONING MEGACITIES these government agencies controls or plans cities to
any significant extent: cities are self-organizing
systems. Their top-down steering capacity is mini-
8.1 Challenges of Scale and City–
mal. With continued urbanization worldwide, and
Hinterland Linkages
with the development of high technology and the
One of the trends at the beginning of the 21st century growing concerns for the limit of natural resources,
is the emergence of big cities. Currently, there are there are severe challenges for cities. Adequate
City Planning and Energy Use 329
energy supplies rank high among these challenges. In agenda, and technically innovative, alternative energy
the developing world, financial and environmental resources have begun emerging.
constraints will dictate more diversity in energy Policy levers exist at several levels. For instance,
supplies, and more common use of demand manage- although transit-oriented development is located in
ment tools, than has been the case in the industria- macro-level (or metropolitan) planning, walkable
lized world to date. street development belongs to meso-level (or com-
munity) planning, and parking requirements play out
at the micro (site) level of planning. At the meso
8.3 Spaces of Flows
(community) level are the placement of technological
Cities are connected to one another in global innovations such as distributed energy resources. At
transportation and communication networks that the micro (site) level, design decisions can alter the
allow rapid flows of information, capital, people, energy efficiency of building layouts and materials,
and goods from one place to another. Under global lighting, and appliances. However, some innovations
capitalism, a hierarchy of cities exists in which a few are restricted by current regulations and energy
cities (e.g., New York, London, and Tokyo) serve as policies at each government level. There are espe-
corporate command centers while others specialize in cially severe energy-related challenges for city plan-
manufacturing, back-office operations, market ning in the world’s growing megacities.
niches, and tourism, or serve primarily local needs. Planning spans the gap between innovative
Cities likewise withdraw resources from and deliver technologies of energy production and their imple-
products and residues to their hinterlands. In his mentation. Hopkins argues that planning is a
2001 book, The Rise of the Network Society, complicated and integrated process interconnecting
Manuel Castells refers to a shift from spaces of regulation, collective choice, organizational design,
places to spaces of flows, arguing that cities are nodes market correction, citizen participation, and public
through which flows occur. This conception implies sector action. Planners struggle with the vagueness of
that cities are influenced by a larger systemic logic, what their goals are, how their processes perform,
and that the nature of the flows and transformations and who can be involved in the planning process.
the city imposes on those flows is relevant to city In sum, energy planning could be one of the major
planners. The flows slow to a trickle in the absence of agendas in city planning, and it could conceivably be
adequate energy supplies, and environmentally in- incorporated into city planning, although it has not
sensitive transformations of energy flows in urban been to date. Energy planning and city planning
areas are choking places such as Bangkok and intersect at both the community and metropolitan
Mexico City. Efforts by planners and local officials levels, and thus planners will be involved in all
worldwide to ensure reliable, secure urban energy attempts to provide more reliable, affordable, and
infrastructures have increased since the terrorist acts environmentally sound energy for the world’s cities.
of September 11, 2001.
Calthorpe, P., and Fulton, W. (2001). ‘‘The Regional City.’’ Island Hopkins, L. D. (2001). ‘‘Urban Development: the logic of making
Press, Washington, D.C. plans.’’ Island Press, Washington, D.C.
Campbell, S., and Fainstein, S. (eds.). (2000). ‘‘Readings in Newman, P., and Kenworthy, J. (1999). ‘‘Sustainability and
Planning Theory.’’ Blackwell Publ., Cambridge, Massachusetts. Cities.’’ Island Press, Washington, D.C.
Castells, M. (2001). ‘‘The Rise of the Network Society.’’ Blackwell
Publ., Cambridge, Massachusetts.
Clean Air Markets
ALEXANDER E. FARRELL
University of California, Berkeley
Berkeley, California, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 331
332 Clean Air Markets
supply systems that are largely free of fossil fuels specific environmental outcome with taxes, since the
over the next several decades. Attempting such a government will never know ahead of time what tax
massive change too fast or with CAC regulation would be needed to achieve a desired level of
alone would raise the cost and make it very difficult emissions and requires governments to have detailed
to achieve in democracies. knowledge of regulated industries as well as the
MBIs give firms incentives for environmental ability to forecast well. Two exceptions are carbon
performance, rather than specifying emission rates (or energy) taxes, which sometimes replace a previous
or technical standards, as CAC regulations do. The energy tax, and auxiliary taxes in emission trading
basic logic behind MBIs is that firms differ in how programs.
much it costs them to control emissions, so if a high-
cost company can pay a low-cost company to control
2.2 Emission Reduction Credits (ERC)
emissions on its behalf, the net result is a savings. This
approach assumes emissions from all sources are In places with poor air quality and a CAC regulatory
equivalent (i.e., uniform mixing); when this is not the framework, new, large sources (like a new power
case, additional rules can be added. Importantly, the plant) or sources undergoing expansions are required
use of MBIs can make environmental protection look to offset their new emissions. The instruments used
more like an ordinary business issue to managers and for this purpose are emission reduction credits
can allow them to apply risk management tools (often (ERCs), which are project based, rely on permanent
in the form of financial derivatives). In addition, reductions in emissions from specific sources com-
MBIs can be (but are not always) easier to implement pared to a baseline. For instance, ERCs can be
since government often does not have use intrusive created when a polluting facility goes beyond
inspections or detailed permitting processes that regulatory requirements in pollution control (over-
require considerable industry knowledge, which control), permanently slows output (and thus emis-
may be hard for government to obtain. However, sions), or shuts down. Emission credits can be mass
careful (and often expensive) monitoring may be based (e.g., tons) or rate based (e.g., pounds per
needed, both at the plant level and in the market- day), depending on the specifics of the under-
place, to ensure MBIs perform as expected. Finally, lying regulatory program to which the ERC has
MBIs typically provide significant incentives for been added. However, the company that is trying to
innovation, both managerially and technologically. create emission credits must get government ap-
However, the size and shape of these benefits vary proval, which can be a slow process and raise
greatly with the details of MBI design and imple- transaction costs.
mentation. Typically, ERC systems are add-ons to preexisting
CAC regulations, designed to provide flexibility and
reduce costs. CAC regulations typically specify
2. CONCEPTS specific emission rates or control technologies and
require regulated sources to submit detailed com-
There are several types of MBIs, including taxes, pliance plans explaining how they will meet these
subsidies, and different varieties of tradable instru- requirements. Regulators approve these plans and
ments. Others include liability rules and information. inspectors periodically verify compliance. Compli-
ance planning is a significant burden for some firms
since it is costly and limits their flexibility should
2.1 Taxes and Subsidies
market or technical conditions change. It also tends
The simplest MBI is a tax on pollution, which will to reduce innovation since it is risky and time
give firms incentives to reduce emissions and to consuming to get approval for new technologies.
innovate to find new, cheaper ways to do so. In the United States, ERC systems have had
Subsidies can work similarly, but, of course, they limited success, but they are not used much else-
give positive incentives rather than negative. Econo- where. They have played a role in programs for
mists point out that by making polluters pay for the federal air pollution control and are used by a few
damage they produce, and thus internalizing what states. One problem is convincing environmental
they call externalities, emission taxes can increase regulators of the size of emission reductions, because
economic efficiency. However, emission taxes place a it is often impossible to measure emissions directly
cost on all firms, no matter how clean, and so are and because of disputes over appropriate baselines.
unpopular with firms. It is also difficult to achieve a Firms must prove that the ERCs are ‘‘surplus’’ or
Clean Air Markets 333
‘‘additional’’—that the actions that create the ERCs 2.4 Cap-and-Trade Systems (C/T)
would not have taken place anyway. A further
disincentive in ERC programs is the detailed over- The best known MBI is probably the emission
sight of ERC creation and trading. allowance used in cap-and-trade (C/T) systems,
An important feature of ERC systems is that they which, as the name implies, create a permanent limit
are entirely voluntary (although the underlying reg- on emissions, a key virtue for environmental advo-
ulations are not), which, in practice, has meant that cates. In a C/T system, the government defines the
the incentives to create allowances and put them regulated sources and the total amount of pollution
on the market have been weak. Firms generally do that they can emit, the ‘‘cap,’’ over a set period of
not go out of their way to create ERCs since they time, usually 1 year. Typically, the cap is set in mass
do not see themselves as being in the ERC business, units (e.g., tons), is lower than historical emissions,
do not want to invite greater scrutiny by regulators, and declines over time. The government creates
and prefer to invest capital in their core businesses. allowances equal to the size of the cap and then
When firms do create excess allowances, they often distributes them to the regulated sources, a process
want to keep them to support possible expansions of called allocation. All C/T existing systems allocate
their own facilities in the future rather than selling allowances based on historical emissions, which is
them into a market where potential competitors problematic for new entrants, as discussed later.
might buy them. Unfortunately, this problem can The government then requires regulated facilities
limit the number of available emission credits, to surrender emission allowances equal to the
making it hard for new entrants to buy credits to emissions of the facilities on a periodic basis (some-
support new businesses. Additionally, the limited times called true-up or covering emissions). The
number of programs, the terms and conditions government also sets standards for emissions mon-
associated with ERCs, and the relatively small itoring, establishes rules for how allowances may be
markets for them have hindered the development of used, and defines enforcement. These are crucial
risk management tools for them (e.g., futures and choices, not just details. One particularly important
options), limiting their utility. One of the reactions to decision is if and how allowances can be saved (or
this problem has been for local governments to banked) from one period to another, which is dis-
obtain ERCs as part of the process approving their cussed in detail later.
creation, which can be used to foster growth (and job Because the allocation to each firm is smaller than
creation) by giving them to new companies entering its previous emissions, regulated firms have four
the area. basic options: (1) control emissions to exactly match
their allocation, (2) undercontrol and buy allowances
to cover their emissions, (3) overcontrol and then sell
2.3 Discrete Emission Reductions (DERs) their excess, or ( 4) overcontrol and bank allowances
DERs are created by reducing emissions relative to a for use in future years (when even fewer allowances
baseline and are project based. However, DERs are will be allocated). The reason companies might buy
temporary and can only be used once. DERs can be or sell allowances is that facilities will have different
generated by installation of pollution-control equip- emission control costs or they might change opera-
ment, installation of control equipment with a tions so that they needed more (or fewer) allowances.
higher-than-required efficiency, or prior to a com- Companies with higher costs will be able to save
pliance date for additional control or a process money by undercontrolling and buying allowances
change. Importantly, DERs are wholly past reduc- from those with lower costs, which make money by
tions and are quantified after they have been created. overcontrolling and selling.
In the United States, several states have rules that The government regulates the trading of emissions
allow DERs, but they have different mechanisms for allowances differently in various C/T systems. The
granting credits. For example, some states certify government usually acts as the accountant for C/T
DERs, while others allow for self-certification with systems by establishing a registry for participants.
third-party verification. A similar term, verified Usually, participants are required to report the size of
emission reductions (VERs), is sometimes use to transactions and the names of buyer and seller. This
describe one-time reductions in greenhouse gas can be facilitated by creating a serial number for each
(GHG) emissions, but a key difference is that VERs allowance. However, there is often no requirement
are created before the rules for emission trading are that market participants disclose the price at which a
in place. This makes their future validity uncertain. sale was made, nor any requirement that they inform
334 Clean Air Markets
government of the trade in a timely manner. This lack duction of electricity from renewable sources. RECs
of information can limit the transparency of the can be used to implement a renewable portfolio
market as participants may delay reporting trades in standard (RPS) cost-effectively. In such a program,
order to conceal strategic information. Brokerage and RECs are created when renewable electricity is
consulting firms complete the picture by providing generated while companies that sell electricity are
services to market participants, including markets in required to surrender RECs equal to a percentage of
derivative commodities, and by increasing transpar- their sales as defined by the RPS. The logic here is
ency by providing information (including price similar to other MBIs—firms will vary a lot in their
information) about the markets. Simplicity in market cost of generating renewable energy; an urban
design and competition among brokers has tended to distribution company may find it more difficult to
keep transaction costs low (up to a few percent of generate renewable energy, for instance, than a rural
allowance prices) in emission allowance markets. electric cooperative that has abundant land on which
Several key features of C/T systems are worth to site wind turbines.
noting. First, a cap on total emissions means that as
an economy grows, new emissions-control technol-
ogies or emission-free production processes will be 2.7 Implementation Challenges
needed. Some observers worry that a fixed emission
A number of significant challenges exist in the
cap is a limit to economic growth; but so far the
implementation of clean air market programs. Many
evidence shows no such effect. Second, the problem
of these are discussed in the cases that follow the
of getting allowances to new entrants can be
descriptions presented next.
minimized if an active, liquid market develops or if
a small number of allowances are set aside by the
government for this purpose. Third, the standardiza- 2.7.1 Environmental Goals
tion of C/T allowances authorizes larger emissions Ensuring that the environmental goals of a policy
markets and permit brokers to offer derivative that uses an MBI (such as that the cap in a C/T
securities based on them. This has proved important program is not exceed) is important, since these are
since the ability to use derivative securities like the essential reason for implementing such policies.
options and futures greatly enhances flexibility and A key threat is leakage, the migration of regulated
reduces risk. activities to locations or sectors that are not
controlled by the cap. For instance, if emissions
from only from large electricity generators were
2.5 Open Market Trading
regulated, the replacement of large power plants
There have been attempts to allow DERs to be used with smaller ones could constitute leakage. Migra-
in C/T systems, a concept called open market trading. tion of polluting industries from one country to
Advocates of this approach typically look to create another is a major concern of environmentalists and
ERCs in the mobile source sector (by buying and labor alike.
scrapping old vehicles or paying for upgrades to Another important issue is how MBIs might affect
cleaner vehicles) to sell to stationary sources. ambient air pollution and health risks since most
Although the open market trading approach has pollutants are not uniformly mixed. A chief concern
been attempted several times, it has usually failed, is over uneven spatial distribution of emissions and
often due to disagreements over credit certification health risks (sometimes called the hotspots problem),
requirements or because this approach could nullify which poorly designed emission trading systems
the cap. For example, a prominent open market may ignore or even exacerbate. A similar term is
trading program in New Jersey collapsed in late 2002 directionality, which is used when there are identifi-
after years of work developing it. It is likely that the able upwind and downwind locations. Another
costs of adequate monitoring and verification for the concern is that environmental equity goals may
use of DERs in C/T systems may be high enough to ignored by emissions trading systems. While such
eliminate the value of doing so. concerns have stopped some MBI proposals, they
have been addressed in the design of others. With one
minor exception (a part of the RECLAIM program,
2.6 Renewable Energy Credits (RECs)
discussed later), there is no evidence that emission
An addition to clean air markets is the renewable trading programs have caused environmental equity
energy credit (REC), which is created by the pro- problems.
Clean Air Markets 335
2.7.2 Regulatory and Price Uncertainty with cost-free allocation is that it adds to uncertainty
Uncertainty is possibly the most important concern about the market price of allowances.
of firms in programs that use tradable instruments, Although all C/T systems in use so far in the
and it comes from two basic sources. The first is that United States have used grandfathered allocations, in
regulators will not be able to develop all the rules principle allowances could be auctioned or distrib-
needed to operate a C/T or ERC program, or that uted in other ways (e.g., distributed based on current
they will change the rules. The second is whether production). Firms typically resist auctions, which
allowances will be available and, if so, at what price. will always cost more money, in effect arguing that
This uncertainty comes from the fact that most their previous emissions entitles them to the new
mangers (especially in small and medium firms) have assets. This approach will also reduce the role of
little experience with allowance markets or resources emissions brokers, since there would be less need for
to devote to the issue, while having enough interfirm sales after such an auction.
allowances (or credits) may be crucial to continued One way to deal with the new entrant and price
operation. The implication of these uncertainties is uncertainty problems is for the government to set a
that some firms regulated by MBIs may be unwill- small portion of allowances aside for sale to new
ing to rely on entering the market as either buyer or entrants and for early auctions to aid in what brokers
seller, which makes concerns about a lack of call price discovery by providing evidence of what
allowances on the market self-fulfilling. However, it prices firms are willing to pay for allowances.
is not clear if emissions markets have more or Auctions could also be used if prices rise to levels
fundamentally different uncertainties than do other that create significant hardships for a few market
markets (such as petroleum or computer chips) that participants. These goals can also be accomplished
have exhibited both dramatic price and regulatory with relatively small set-asides. A slightly different
changes in the past. If not, then the risk management technique that has been proposed under the term
tools developed for these markets can be adapted to ‘‘relief valve’’ is to have government create and sell as
manage uncertainty. many allowances as firms wanted to buy for use that
period at a predetermined value. The activation of
such a safety valve would preclude banking for that
2.7.3 Banking
year. This would break the cap of a C/T system for
The ability to use allowances or credits left over from
that year, obviously, but it would limit the costs of
previous periods in the future is called banking and
control and would have the desirable properties of an
can be highly contentious. Note that DERs always
emissions tax.
involve banking, since they are created by retro-
spective analyses of one-time emission reductions.
2.7.5 Monitoring
The ability to bank allowances is one of the major
Most emission trading programs are applied to
sources of flexibility in an emission trading program
stationary sources such as electric power plants,
since it allows a firm to time its capital expenditures
refineries, and manufacturers, partly because it is
for process changes or emission controls. Banking
usually feasible to monitor the emissions of these
also allows for the cheapest emissions reductions to
sources accurately. Estimates of emissions are
occur first and for time to apply research to lower the
allowed in some cases, for instance, when calculating
costs of the more expensive cases.
DER and ERC quantities since this always involves
estimating a counterfactual baseline. Larger sources
2.7.4 Allowance Allocation also have economies of scale in managing an
The creation of a C/T system produces a new type of emissions allowance account. Good monitoring and
asset, the allowance, which can have considerable accounting practices reduce concerns about fraudu-
value. For instance the SO2 allowances given to the lent (or simply flawed) sales of emission allowances
U.S. electric power industry each year has a value of and help ensure their environmental integrity. Fossil
more than $1.5 billion. However, a cost-free alloca- carbon in fuels is already accounted for and traded
tion based on historic emissions (called grandfather- routinely in fuels markets, which may make it easier
ing) fails to internalize the external costs of pollution to monitor the withdrawal of fossil carbon from the
and give a weaker incentive for innovation. It also ground than its release (as carbon dioxide, CO2) to
gives existing firms an inherent advantage over new the atmosphere. However, such an upstream ap-
entrants, who must buy allowances, often from proach is probably politically impossible, especially
potential competitors. Another important problem internationally
336 Clean Air Markets
2.7.6 Double Counting and Additionality instruments are later found to be invalid: Who is
It is important for ERCs that the activities that create liable, the buyer or seller? What if the seller has gone
them are not already required by some law or bankrupt or disappeared? Questions associated with
regulation (additionality) and that they are not this issue are most important in international arenas,
counted twice in two different ERC programs in ERC and DER programs, and in C/T systems
(double counting). without serialized allowances.
Environmental groups have had an important role in high-sulfur local coal were adapted to burn low-sulfur
ensuring the environmental integrity of these pro- Western fuel (from the Powder River Basin) just as it
grams. Pollutants in these programs include volatile was becoming cheaper due to railroad deregulation.
organic compounds (VOCs), nitrogen oxides (NOX), Third, the SO2 market has been a success. Prices in
sulfur dioxide (SO2), and others. Price and avail- this market are relatively reliable because there are
ability for ERCs vary greatly by pollutant, location up to several dozen trades each day, resulting in from
(ERCs cannot be transferred between different urban 20,000 to 100,000 allowances trading hands each
areas), and sometimes by other specific conditions week and considerable market information. All
attached to ERCs. These programs have created vintages of allowances are priced the same because
significant intrafirm trades (e.g., bubbling), but not there are no restrictions on banking, which helps
many market transactions since they are somewhat smooth the operation of the market. An important
cumbersome and have poor incentives for the gene- feature of this market was auctions of set-aside
ration and sale of credits. allowances starting in 1992 and 1993, several years
before the first compliance year. Although the design
of these early auctions market has been criticized,
3.2 U.S. Acid Rain Program (Title IV)
they were extremely valuable because they helped
The best-known C/T system is the EPA’s Acid Rain with price discovery in an untested and highly
Program for SO2 emissions from coal-fired power uncertain market. The revenue from these auctions
plants. Key features include the strict monitoring was returned to the regulated firms in proportion to
provisions for both SO2 and NOX; the national scope their allowance allocation. These auctions also
of the program; the relatively deep cuts in emissions allowed for new entrants and the public to partici-
(50%); completely unrestricted trading and banking; pate in the market. (Several school and public
a small auction program in the early years of the interest groups bought allowances in order to retire
program; and, most important, its success. Facilities them.) This system also had an attractive program
regulated by the Acid Rain Program must still for early emission reductions, while some state
comply with health-based CAC SO2 regulations that programs encouraged early investment in emission
prevent hotspots from developing, although these control equipment (scrubbers), which made some
restrictions have not affected the market. allowances excess and created natural sellers. All of
The Acid Rain Program has been a success in this helped the industry build up a bank of allowance
several ways. First, substantial emission reductions before the first compliance year, reducing regulatory
have occurred. From 1990 to 2002, SO2 emissions and price uncertainty.
from regulated sources declined by about one-third. Several important findings about the operation of
During the less-stringent Phase I (1995–1999), allowance markets and industries regulated by a C/T
regulated sources overcontrolled and banked more system have emerged from the Acid Rain Program.
than a year’s worth of allowances, which they began First, market participation and compliance strategies
to use in Phase II. This bank will be empty in about have evolved, from an autarkic approach toward a
2010. greater and greater reliance on the market. Second,
Second, the program has greatly reduced the cost allowance prices have shown considerable volatility,
of SO2 control compared to command-and-control and the lower bound of emissions prices have been
polices. In the first 5 years, emissions trading reduced shown to be equal to the marginal cost of operating
compliance costs by about one-third to one-half, emission control devices (scrubbers). Third, the
and estimates of the savings range from $350 million relatively few units that did install scrubbers
to $1400 million. Allowance prices have thus been increased their utilization and lowered their emis-
lower than forecast, ranging from $66/ton to about sions beyond original design specifications as a result
$200/ton. This is not to say that the cost of SO2 of the incentives in the allowance market.
control has been cheap. In 1995, annual costs were
about $726 million, and capital costs for scrubbers in
Phase I alone are estimated at $3.5 billion. However, 3.3 Ozone Transport Commission
most of these savings are not due to trading of
NOx Budget
allowances per se, but from the flexibility in
compliance that allowed firms to find their own The first multilateral C/T system to go into effect is
least-cost approach. An important development the Ozone Transport Commission (OTC) NOX
was that Midwestern power plants designed to burn budget program, covering eleven states in the Eastern
338 Clean Air Markets
Seaboard and the District of Columbia. The NOx budget can be restricted in a way that can reduce
budget applies to power plants and large industrial the face value (in tons) of banked allowances, but
facilities and covers emissions from May through firms do not know if or how much of a discount will
September. There are more than 470 individual be applied until after they have banked the allowan-
sources in the program, with about 100 owners. ces. This creates uncertainty since facilities cannot be
Beginning in 1999, the NOx budget will eventually sure exactly what their banked allowances will be
reduce emissions by 65 to 75% through a three- worth in the future. Thus, banked allowances sell at
phase approach. Importantly, the OTC NOX budget a discount.
is not a centrally organized system (like the Acid These factors led to a significant spike in
Rain Program), but rather the result of coordinated allowance prices in the OTC NOx budget, up to
laws and rules in each state, although the federal EPA more than $7000/ton, far above the cost of control
provides some assistance (e.g., by tracking the for any regulated sources. Prices stayed high for
allowances). several months, but by July they had fallen back to
The states in the OTC were able to coordinate the predicted range and by the end of the year fell to
their individual laws and regulations to produce a around $1000/ton. This volatility had nothing to do
successful program for a number of reasons, the most with the cost of emission controls, but was the result
important of which were that they had similar of the supply and demand changes in the allowance
interests in NOX control, they had a history of market. Importantly, neither state governments nor
cooperation in this area, and they engaged in a the regulated firms abandoned the allowance market
multiyear technical/political negotiation process that by changing the rules or seeking regulatory relief in
they all felt was fair. The result of this process was a the courts. Since that first, difficult year, the OTC
model rule that could be adopted by each state with NOx budget has matured; emission reductions have
modifications to account for local differences with- been substantial, compliance failures have been
out endangering the political or environmental trivial, a large bank of NOX allowances has been
integrity of the agreement. built up, and price discovery for allowances in the
This process illustrates how complex regulatory next, more stringent phase of the is now underway.
uncertainty can be. The development of the NOX Subsequently, a failed attempt was made to
budget model rule began in late 1994, at which point develop a multilateral C/T program larger set of
the level and timing of emission reductions was set. eastern states. This failure suggests several important
The technical/political negotiation process that fol- factors are necessary. Probably the most important
lowed was designed to determine if emission trading factor is that potential participants recognize that
would be used or not. In early 1996, the model rule they have similar interests in controlling pollution
was published and the OTC states began to develop cost-effectively. Secondly, they must be able to
their own rules, which were all final by the end of develop a process for creating and enforcing the C/T
1998 to allow the NOX budget to start in May 1999 system that cannot be used against their interests.
(except for Maryland, which entered a year late).
Regulated sources felt this was actually rather short-
3.4 California RECLAIM
fused, because the rules were not in place in several
states until less than a year was left before the start of The last U.S. example is California’s Regional Clean
the first ozone season, while contracting for en- Air Incentives Market (RECLAIM), a C/T program
gineering and constructing NOX control technologies for SO2 and NOX emissions from industrial sources
can take several years. Regulators disagree with this such as power plants, refineries, and metal fabrica-
assessment, noting that if the emission trading tors. An important feature of RECLAIM is that it
program had not come together, similar command- does not permit banking, since government regula-
and-control regulation would have been the default. tors felt this would compromise its environmental
Further, much of the delay in developing state rules integrity. When RECLAIM was first implemented in
was due to the need to address the concerns of 1994, the cap was generous, allowing for an increase
regulated industries, which then complained about in emissions over historical levels for many sources,
the uncertainty. but it declined steadily each year, aiming at an overall
The OTC NOx budget has some distinctive reduction of about 75% by 2003. An example of an
features. First, it had no early auctions or other environmental equity problem in a C/T program is
methods for price discovery before it went into effect. the mobile source opt-in provisions of the RECLAIM
Second, the banking of allowances in the NOx program. Residents living near several refineries were
Clean Air Markets 339
able to have these provisions overturned because Third, emission markets are no different from others;
they would have allowed the refineries to avoid they are volatile (especially when it is not possible to
reduce smog-forming emissions, which were also store the commodity, like electricity).
toxic pollutants.
For the first several years, the RECLAIM market
functioned quite well, with readily available allow- 3.5 Denmark CO2 Program
ances at low prices. However, emissions in 1993 to
The first emission trading program to address climate
1998 did not decline nearly as fast as the cap due to a
change was a C/T system for CO2 emissions adopted
failure of many (but not all) participants to install
by Denmark in 1999 to achieve a national GHG
emission control equipment. Although the state
emission reduction target of 5% in 2000 (relative to
regulatory agency amply warned participants of a
1990) and 20% by 2005. The Danish program
looming problem, many firms were unwilling to take
covers the domestic electricity sector (electricity
appropriate actions because of a failure to consider
imports and exports are treated separately), which
future emission allowance markets and a belief that
is made up of eight firms, although two account for
the government would bail them out in case of
more than 90% of all emissions. Allocations were
serious problems.
made on a modified historical basis and are not
The result was a breakdown of the market and in
serialized. Banking is limited and there is some
response a temporary abandonment of the MBI
uncertainty about the validity of allowances beyond
approach by the state government. By early 2000 it
2003. This program includes a tax of about $5.5/ton
had become clear to even the most shortsighted that
for emissions that are not covered by an allowance,
emissions would exceed allocations, which was a
which means the integrity of the cap is not
problem because RECLAIM had no banking provi-
guaranteed. It is possible to use VERs as well as
sion, and prices for NOX allowances skyrocketed to
credits created through provisions of the Kyoto
over $40,000/ton. Electricity companies, which were
Protocol (discussed later). Monitoring is accom-
making record profits at the time, could afford these
plished through an analysis of fuel consumption—
prices, but other companies in the RECLAIM market
in-stack monitors are not required.
could not. Thus, the RECLAIM cap was broken, and
The C/T program was adopted to regulate the last
several firms were significantly out of compliance
major unregulated set of CO2 emitters so that
and paid record fines. This is the only failure of a C/T
Denmark could reach its domestic CO2 goals cost-
system to date. Facing significant political pressure,
effectively while also gaining experience with emis-
the state regulatory agency decided to essentially go
sion trading. In the first 2 years of the program,
back to a CAC approach for electric power plants by
about two dozen trades were made in the $2 to $4/
requiring them to submit compliance plans. This is
tonne range. This has resulted in more than half a
particularly important in that most cost savings in C/
million allowances changing hands. Some of these
T systems come from the ability to innovate in
trades have been swaps of Danish allowances for
compliance strategy, not from buying or selling
VER credits, and one trade of Danish allowances for
allowances. In addition, state regulators separated
U.K. allowances (discussed later), the first instance of
power companies from the rest of the RECLAIM
a trade of two government-backed MBIs. However,
market and subjected them to a high tax for
due to the small size of a market, it is unlikely that an
emissions not covered by allowances. For other
‘‘exchange’’ for Danish CO2 allowances will emerge;
participants, RECLAIM proceeds as before and
instead most trades will probably be bilateral and the
allowance prices have moderated.
Danish system will probably be superseded by a
Several key lessons emerge from the RECLAIM
European Union (EU) system.
experience. First, because they force firms to gather
more information and make more decisions, MBIs
may be more difficult for firms to understand and
3.6 United Kingdom Climate Change
manage than CAC programs, even if they have lower
Levy and Emission Trading System
costs. This is especially true for smaller companies,
some of which may even have increases in monitor- The first economy-wide GHG control policy was
ing costs required by RECLAIM that were greater announced in November 2000 by the United King-
than the savings in control costs. Second, in some dom, and it contained a combination of MBIs,
cases the optimal strategy may be noncompliance, including taxes, subsidies, and ERCs. This program
placing more emphasis on the design of penalties. is designed both to achieve significant emission
340 Clean Air Markets
reductions and to provide U.K. organizations experi- market. By the end of 2002, more than 400
ence in emission trading, not least so that the City of companies had opened accounts on the U.K. registry
London might become a leader in this activity. and about 1 million credits had been exchanged in
The first part of this policy is the climate change several hundred transactions. Prices on this market
levy (CCL) on fossil fuel energy supply for industrial are in the range of $5 to $10/ton-CO2e.
users that came into effect in April 2001 and
typically adds 15 to 20% to the cost of energy. The
CCL has moderately increased the demand for
energy efficiency, and the revenue it generates has
4. LOOKING AHEAD
been recycled into a fund that subsidizes consulting
4.1 Multipollutant and Toxics
and capital purchases to reduce energy use. More-
over, it provides an important basis for voluntary By 1999, European nations adopted an international
participation and credit generation in the ERC treaty that deals with multiple pollutants and multi-
program, possibly overcoming one of the key ple impacts holistically, and many multipollutant
problems associated with past ERC programs. emissions control proposals have been made in the
The second component is the Emission Trading United States. The reason for including multiple
System (ETS), an ERC program open to reductions in pollutants in one law is that this would greatly
all GHGs (measured in CO2-equivalent, or CO2e). reduce the regulatory uncertainty for companies
To join the program, firms must enter into a climate (especially electric power producers) that have been
change levy agreement (CCLA) in which they subject over the past 30 years to a long sequence of
voluntarily accept an emissions cap in return for an ever tighter control requirements on different pollu-
80% reduction in their climate change levy until tants. Such an approach is very expensive, especially
2013. Companies that adopt such a target may sell for capital designed to last several decades. Capital
credits generated by exceeding their target. investment in emission control retrofits and new
The last component, direct entry, is a d215m facilities will be much less risky and probably less
($310 million) subsidy that the U.K. government expensive for firms if they can count on flexible MBIs
made available through an auction for voluntary due to the flexibility in compliance strategy and risk
actions by eligible firms to reduce GHG emissions in management opportunities. Thus, industry may seek
2002–2006 from a 1998–2000 baseline and generate to replace uncoordinated and rigid CAC regulation
ETS credits. This auction is designed to obtain the with MBIs that will remain fixed for an extended
maximum emission reduction and provide some period (a concept called the safe harbor). Typically,
price discovery by allowing eligible companies to public and environmental groups press for more
bid a fixed amount of emission reduction for a given stringent regulations.
price and selecting (through repeated rounds) the Major issues in considering multipollutant emis-
price that yielded the maximum emission reduction sion include whether or not to include toxic
given the government’s budget. Most electricity and pollutants, such as mercury (Hg), and GHGs, such
heat production were not eligible for this program, as CO2, as well as what level of controls and
which made bids for reductions of non-CO2 GHGs predictability to include. In the United States, the
more likely and created a natural set of buyers term ‘‘3-P’’ applies to legislation that includes SO2,
(energy companies) and sellers (manufacturers and NOX, and Hg, and ‘‘4-P’’ applies to legislation that
end users) for ETS credits. This auction was held via adds CO2. Importantly, different environmental
the Internet over 2 days in March 2002 and resulted problem will almost always have different levels of
in 34 bidders (of 38) winning subsidies at the level of consensus, both scientific and political, at any given
about $22/ton-CO2e. Over half of the emissions will time so the length of time a safe harbor may be
be non-CO2e GHGs. different for various pollutants. Another is that there
Organizations can also join the ETS through more is no consensus exists about whether it is appropriate
traditional means by creating ETS credits through a to allow emission trading to apply to toxics, since
specific project that meets all the necessary monitor- the issue of hotspots may be significant. Finally,
ing and verification requirements. Over time over- achieving the emission reductions envisioned in 3-P
seas-sourced ERCs (similar to those in anticipated in and 4-P control will be serious technological
the Kyoto Protocol, as discussed later) may be challenges, especially for coal-fired electricity gen-
allowed, but the U.K. government is going slowly eration plants. The interaction of technologies to
to reduce uncertainty in the early stages of the control all four emissions is highly complex. For
Clean Air Markets 341
instance, controlling SO2 and NOX tends to reduce these credits in the future, there seem to be two
power plant efficiency and thus increase Hg and CO2 values to these activities. First, companies that
emissions, but some SO2 and NOX emission control participate are learning how to measure their own
technologies may also control Hg. The flexibility of CO2 emissions and how to structure deals in this
MBIs will be even more important in multipollutant market. Second, although they are unofficial, these
approaches since different facilities will likely have early CO2 emission trades may be counted at least
extremely varied least-cost compliance options. partially against future compliance obligations.
Although there is not yet agreement on emission
trading rules for the KP as a whole, in October 2001
the European Union (EU) produced a directive to
4.2 Carbon Dioxide and the
establish a framework for a mandatory EU-wide C/T
Kyoto Protocol
system beginning in 2005 in order to implement the
Probably the largest application of MBIs may be to KP. Initially, only approximately 46% of estimated
control GHGs under the United Nations Framework EU CO2 emissions in 2010 were to be included.
Convention on Climate Change and the subsequent Between 4000 and 5000 installations from the
Kyoto Protocol (KP). The Framework Convention is following activities will be covered: electricity and
an agreement of virtually all nations of the world to heat generation (greater than 20 megawatts), petro-
avoid ‘‘dangerous interference to the climate sys- leum refining, and the manufacture of iron, steel,
tem,’’ without committing signatories to any specific cement clinker, ceramics, glass, and pulp and paper.
actions. Subsequently, negotiations produced the KP, Excluded sectors include oil and gas production,
which provides specific GHG emission caps for more solid waste incineration, and chemical manufactur-
than three dozen industrialized countries. These ing, as well as transportation and residential energy
caps, combined with relatively lenient provisions consumption. The proposed system would allow for
for biological sequestration (e.g., credits for regrow- trading between companies, to be tracked by
ing forests) and the decisions by the United States national governments that would establish registries
and Australia, create the background for interna- for CO2 emission allowances. A trade across a
tional emissions trading in the near term. The national boundary would require corresponding
original goal of the KP was to reduce emissions from entries (one addition and one subtraction) in the
industrialized countries to 5% below 1990 levels two national registries involved. Banking from one
during 2008–2012. With the more recent provisions year to the next is allowed, including from one
and participation, emission reductions of 1 to 2% are commitment period to another. The EU CO2 C/T
expected. Nonetheless, this is a substantial change system is also important because it sets a key
from business as usual, which would have resulted in precedent for international CO2 emission trading.
an increase of several percent. The EU would create the largest CO2 emission
The KP contains both C/T and ERC features. The market in the world, and other countries that wanted
C/T component addresses the trading of ‘‘assigned access to that market would have to follow the
amounts’’ among industrialized countries, while the procedures set down by the EU. Expectations are
ERC components are mechanisms designed to allow that EU CO2 credits would cost $2.5 to $10/ton
trading between industrialized countries covered by before 2005 and $5 to $20/ton by 2010.
an emissions cap and other countries that are not.
These are called joint implementation (JI) and the
clean development mechanism (CDM), and, like all SEE ALSO THE
ERC instruments, they are project specific. By the FOLLOWING ARTICLES
early 2000s, the rules for these provisions had still
not been agreed upon, creating great regulatory Acid Deposition and Energy Use Air Pollution from
uncertainty. Energy Production and Use Air Pollution, Health
Despite uncertainties about future baselines, Effects of Carbon Taxes and Climate Change Fuel
monitoring requirements, time frames, and other Economy Initiatives: International Comparisons
factors, many companies already began to engage in Greenhouse Gas Abatement: Controversies in Cost
CO2 emissions trading in 1996–2002. Most of these Assessment Hazardous Waste from Fossil Fuels
are VERs that have sold for $2 to $20/ton of CO2. Market-Based Instruments, Overview Modeling
More than 1 billion such units have been traded. Energy Markets and Climate Change Policy
Although it is not clear that regulators will accept Taxation of Energy
342 Clean Air Markets
Further Reading Israels, K., et al. (2002). ‘‘An Evaluation of the South Coast
Air Quality Management District’s Regional Clean Air
Ellerman, A. D., Joskow, P. L., and Harrison, D. (2003). Incentives Market—Lessons in Environmental Markets and
‘‘Emissions Trading in the U.S: Experience, Lessons, and Innovation.’’ U.S. Environmental Protection Agency Region 9,
Considerations for Greenhouse Gases.’’ Pew Center on Global San Francisco.
Climate Change: Arlington, VA. Raufer, R. (1996). Market-based pollution control regulation:
Ellerman, A. D., et al. (2000). ‘‘Markets for Clean Air: the U.S. acid implementing economic theory in the real world. Environ-
rain program.’’ Cambridge University Press, Cambridge, UK. mental Policy and Law 26(4), 177–184.
Farrell, A. E. (2001). Multi-lateral emission trading: Lessons from Solomon, B., and Lee, R. (2000). Emissions trading systems
inter-state NOx control in the United States. Energy Policy and environmental justice: why are some population segments
29(13), 1061–1072. more exposed to pollutants than others? Environment 42(8),
Foster, V., and Hahn, R. W. (1995). Designing more efficient 32–45.
markets: Lessons from Los Angeles smog control. J. Law and Stavins, R. (2003). Experience with market-based environmental
Economics 38(1), 19–48. policy instruments. In ‘‘The Handbook of Environmental
Grubb, M., Vrolijk, C., and Brack, D. (1999). ‘‘The Kyoto Economics’’ (K. Goren-Maler and J. Vincent, Eds.). North-
Protocol: A Guide and Assessment.’’ Earthscan, London. Holland/Elsevier Science: Amsterdam.
Clean Coal Technology
MILDRED B. PERRY
U.S. Department of Energy, National Energy Technology Center
Pittsburgh, Pennsylvania, United States
fly ash Fine particles of ash that are entrained with the flue
1. Impact of Clean Coal Technology gas when coal is burned in a furnace.
greenhouse gases (GHGs) Gaseous compounds that act to
2. Background of Development
trap heat in the atmosphere, thus tending to raise global
3. International Clean Coal Program temperature. The main GHG is carbon dioxide (CO2).
4. United States Program Other important GHGs are methane (CH4) and nitrous
5. Benefits and Future of Clean Coal Technology oxide (N2O).
gypsum A mineral having the chemical composition
CaSO4 2H2O, used in the manufacture of wallboard.
integrated gasification combined cycle (IGCC) A conver-
sion process in which coal is first gasified to form a
Glossary synthesis gas (a mixture of hydrogen and carbon
acid rain When coal is burned, the sulfur and nitrogen in monoxide), which is used as fuel for a combined-cycle
the coal are converted to sulfur dioxide (SO2) and power plant (gas turbine/steam turbine).
nitrogen oxides (NOx). In the atmosphere, these sub- low-NOx burner A burner that is designed to burn fuel in
stances are converted to sulfuric acid and nitric acid, such a way so as to reduce the amount of NOx produced.
which dissolve in raindrops to form acid rain. NOx The symbol for nitrogen oxides, consisting of a
carbon dioxide sequestration The storage of carbon mixture of mainly NO and NO2. NOx is formed when
dioxide (CO2) in underground reservoirs or in deep- coal is burned, partly from oxidation of the nitrogen in
sea locations to prevent its release into the atmosphere. the coal and partly from reaction of nitrogen and
CO2 can also be sequestered by enhancing the growth of oxygen in the combustion air.
forests and other vegetation. overfire air The air introduced into a furnace above the
clean coal technology Processes developed to reduce the combustion zone with the objective of completing
emissions of pollutants from coal combustion; include combustion; used in conjunction with low-NOx burners
technologies to remove pollutants and technology to and reburning.
improve efficiency, which also decreases emissions. reburning A technique for reducing NOx emissions con-
clean coal technology by-products Useful substances cre- sisting of introducing a hydrocarbon fuel into a reduc-
ated during clean coal production; include sulfur and ing zone above the combustion zone to react with the
sulfuric acid, which have many applications; gypsum, NOx and convert it to N2.
used in the manufacture of wallboard; fly ash, used in repowering Rebuilding or replacing major components of
the manufacture of cement; and aggregate, used in the a power plant as an alternative to building a new plant,
construction industry. often used to increase plant capacity.
flue gas desulfurization A clean coal technology consisting scrubber A device designed to remove (scrub) sulfur oxides
of a device, called a scrubber, fitted between a power from flue gas, usually through contact with a limestone
plant’s boiler and its stack, designed to remove the slurry to form calcium sulfate (gypsum).
sulfur dioxide in the flue gas. selective catalytic reduction (SCR) A process installed
fluidized bed combustion (FBC) A process in which downstream of a boiler, consisting of a catalytic reactor,
pulverized or granulated fuel and air are introduced into through which the flue gas passes. A reducing agent,
a fluidized bed of sand or some other material, where typically ammonia, is introduced into the flue gas
combustion takes place. Fluidized beds are classified as upstream of the reactor and reacts with the NOx in
bubbling or circulating, depending on whether the bed the flue gas to form nitrogen and water.
material remains in place or is transported out of the sulfur oxides When a fuel containing sulfur is burned,
vessel by the fluidizing gas, recovered, and returned to most of the sulfur in the fuel is converted to SO2, with a
the bed. Plants may operate either at atmospheric small fraction being converted to sulfur trioxide (SO3).
pressure (AFBC) or at elevated pressure (PFBC). In the atmosphere, sulfur oxides are converted to
sulfuric acid, which is washed from the air and falls to by decreasing the amount of coal that must be
the ground as acid rain, or converted to sulfate, which is consumed to produce a given amount of power. Less
a fine particulate. coal burned means less pollution.
synthesis gas (syngas) A mixture of hydrogen and carbon
monoxide, used as an intermediate in the production of
a number of chemicals. Syngas can also be used as a fuel. 2. BACKGROUND OF
trace element An element that appears in very small
quantity (typically less than 10 parts per million) in
DEVELOPMENT
coal. Because coal is a sedimentary rock, during its
formation, it accumulated mineral matter, which is the Concern over environmental problems in the 20th
source of most trace elements. century prompted a number of countries to address
water–gas shift reaction The catalytic reaction of H2O the problem of acid rain, resulting mainly from
with CO to form H2 and CO2, used to increase the emissions of SO2. In the United States in 1980, an
hydrogen content of synthesis gas. independent organization, the National Acid Pre-
cipitation Assessment Program (NAPAP), was cre-
Clean coal technologies can have a major impact on ated, to coordinate acid rain research activities and
the world’s economy by allowing the continued use periodically report to Congress on all aspects of the
of coal in an environmentally acceptable manner, acid rain issue. In 1982, Canada proposed to reduce
thus reducing dependence on more expensive petro- SO2 emissions by 50%. In 1984, the United States,
leum and natural gas, while avoiding economic Poland, and the United Kingdom joined the ‘‘30%
problems caused by natural gas price fluctuations. Club,’’ a group of 18 European nations whose goal
Although natural gas is expected to fuel many new was to cut emissions of SO2 by 30% or more by
power plants and industrial facilities to meet growing 1997. A similar agreement, the Helsinki Protocol,
demand over the next two decades, it is critical to was later signed by 21 nations. In 1986, Canada and
maintain fuel flexibility, thus enabling the use of low- the United States assessed the international issues
cost indigenous fuels, such as coal. associated with transboundary air pollution and
recommended actions for solving them, particularly
with respect to acid rain. This entailed substantial
research and financial commitments. Because of
1. IMPACT OF CLEAN these efforts, SO2 emissions were markedly reduced.
COAL TECHNOLOGY For example, by the 1990s, emissions had dropped in
most of Western Europe by 40% and in West
Coal is one of the world’s most abundant fossil fuels. Germany by 70%. Unfortunately, by that time, many
It is also widely distributed, and many countries with forests and lakes worldwide had been damaged.
little or no petroleum reserves have coal resources. Because of coal’s importance to the economy, the
Unfortunately, in addition to carbon and hydrogen, United States government has been involved in the
most coals contain sulfur, nitrogen, minerals, and development and promotion of CCTs for over 20
chlorine, in various concentrations. Coals also years. In 1986, in response to regulatory require-
contain trace elements, such as mercury, lead, ments, the U.S. Department of Energy (DOE)
arsenic, cadmium, selenium, thorium, and uranium, initiated its original Clean Coal Technology Pro-
in very small concentrations, generally only a few gram, which consisted of five rounds of project
parts per million. When coal is burned, the trace funding. This program sponsored projects in the
elements may be released to the environment in following areas: environmental control devices,
various, sometimes harmful, forms. In the past, coal advanced electric power generation, coal processing
combustion has contributed to acid rain, smog, forest for clean fuels, and industrial applications.
die off, eutrophication of lakes, and other environ-
mental problems. Because such impacts are no longer
acceptable, new methods to reduce harmful emis- 3. INTERNATIONAL CLEAN
sions from plants utilizing coal are needed. Technol- COAL PROGRAM
ogy to accomplish this is generally referred to as
clean coal technology (CCT) and includes technology Coal continues to be a vital fuel resource in numerous
designed either to remove or to reduce emissions, as countries around the world. In order to maintain
well as technology designed to improve power plant the viability of coal production, combustion, and
efficiency. Efficiency improvements reduce pollution conversion, a variety of international CCT research
Clean Coal Technology 345
programs have been established to further enhance coal-cleaning plants for upgrading coal; handling,
coal’s utilization efficiency and environmental accept- storage, and transport facilities; combustion and
ability. Advanced technologies increase the amount of conversion plants; and waste disposal.
energy gained from each ton of coal consumed while
reducing emissions and waste. This ongoing interna-
tional research ensures that advances that focus on 3.4 The United Kingdom
the needs of producers and end-users are continually
The U.K. Cleaner Coal Technology Program directly
being made.
implements U.K. government policy for research and
Because of concern for coal’s impact on the
development (R&D) and technology transfer efforts
environment, many governments have been instru-
related to environmentally friendly coal utilization
mental in funding, at least partially, the development
technologies. This program was initiated through the
of CCTs. Some of the more significant international
Department of Trade and Industry (DTI) as a part of
programs and their goals are discussed in the
the government’s Foresight Initiative. The DTI has
following sections.
established a 6-year collaborative program of activities
that link R&D with technology transfer and export
3.1 International Energy Agency Coal promotion activities. The overall aim of the program is
Research Clean Coal Center to provide an incentive for U.K. industries to develop
cleaner coal technologies and obtain an appropriate
The International Energy Agency (IEA) was estab-
share of the growing world market for these technol-
lished in 1974 within the framework of the
ogies. The program objectives are to assist industry in
Organization for Economic Cooperation and Devel-
meeting the technology targets for advanced power
opment (OECD). A basic aim of the IEA is to foster
generation, to encourage fundamental coal science
cooperation among the IEA participating countries
research in universities, to encourage the development
in order to increase energy security through diversi-
of an internationally competitive clean coal industry
fication of energy supply and to promote energy
and promote U.K. expertise and know-how in the
conservation and cleaner and more efficient use of
main export markets, and to examine the potential for
energy. This is achieved, in part, through a program
developing the U.K. coal bed methane resource and
of collaborative research and development of which
underground coal gasification technology.
IEA Coal Research, established in 1975, is by far the
largest and the longest established project. IEA Coal
Research is governed by representatives of its
member countries. The IEA Clean Coal Center
3.5 The Netherlands
supports projects related to efficient coal supply The Clean Fossil Fuels unit of the Energy Research
and use, including technologies for reducing emis- Center of The Netherlands, the largest research
sions from coal combustion. center in The Netherlands concerned with energy,
develops concepts and technology for cleaner and
more efficient use of fossil fuels. The unit contributes
3.2 United States
to the transition toward sustainable energy based on
For more than 20 years, the U.S. DOE has had a very three basic programs: climate-neutral energy carriers,
active program in the development and promotion of emission reduction technologies (including CO2
CCTs. This program is summarized in Section 4. sequestration), and energy and environmental re-
search and assessment. The climate-neutral energy
supply program investigates decarbonization of fossil
3.3 European Commission
fuels, CO2 capture technologies for power generation
The European Commission Clean Coal Technology and hydrogen production systems, and novel hydro-
Program encompasses projects performed in a series gen production technologies. The emissions reduc-
of research programs that promote the use of clean tion program is developing technologies, such as
and efficient technologies in industrial plants using catalytic reduction of NOx and N2O, aimed at
solid fuels, with an overall goal of limiting emissions, reducing the emissions of hazardous compounds to
including CO2, and encouraging the deployment of the environment. The objective of the energy and
advanced clean solid fuel technologies, in order to environmental research and assessments program is
achieve improved operations at affordable cost. A quantification of human influences on the environ-
wide range of technologies is supported, including ment as a result of fossil fuel use.
346 Clean Coal Technology
Wastewater
Electrostatic
evaporator
precipitator
Hot
flue gas
Overflow Absorber
headers mist eliminator
Water
Absorber
Air
recirculation
Open grid
Gypsum
centrifuge Stack
system
Water
Gypsum
Dry Air
limestone rotary
injection sparger
Slaked To wastewater
lime treatment
availability of over 99%, no spare scrubber vessel was loaded with a different SCR catalyst and fed a
required. The AFGD unit successfully removed over slipstream of flue gas from one of the plant’s boilers.
95% of the SO2 in the flue gas and produced a SCR catalyst is typically supported on the surface of
wallboard-grade gypsum that was sold to a commer- ceramic honeycombs or plates, which are loaded into
cial producer, who used the gypsum for the manu- the reactor. Ammonia was injected into the flue gas
facture of wallboard. Thus, this technology not only before it passed over the catalyst. Ammonia injection
prevented sulfur from entering the atmosphere, but needs to be carefully controlled to prevent the escape
also generated a valuable by-product at the same time. of unreacted ammonia, known as ammonia slip. The
In another project, Chiyoda Corporation’s Chiyoda ammonia reacted with NOx to form nitrogen gas and
Thoroughbred-121 (CT-121) AFGD process (Fig. 2), water. Although SCR had been used in Germany and
which uses a unique jet bubbling reactor (JBR), was Japan, it had not been proved to be applicable when
installed at Georgia Power Company’s Plant Yates. In burning higher sulfur U.S. coals. This study showed
this scrubber, the flue gas is injected below the surface that SCR is capable of removing up to 90% of the
of the limestone slurry in the JBR. Air is also injected NOx in flue gas and that the process can be effective
into the slurry to oxidize the calcium sulfite initially with U.S. coals.
formed into calcium sulfate. Over 90% SO2 removal
was achieved, and limestone utilization was over
97%. To prevent buildup of gypsum in the reactor, a 4.2.2 Low-NOx Burners
slipstream is removed from the scrubber and sent to a Several projects have demonstrated the effectiveness
collection pond. The scrubber also proved to be an of low-NOx burners for reducing NOx emissions.
effective particulate removal device. These include demonstrations on wall-fired, tangen-
tially fired, and cell burner-fired furnaces. Low-NOx
4.2 Environmental Control burners reduce NOx by staged combustion. Figure 4
is an example of low-NOx burners installed on a
Devices—NOx Control
wall-fired boiler. Such burners are designed to mix
4.2.1 Selective Catalytic Reduction the fuel initially with only part of the combustion air.
A project at Gulf Power Company’s Plant Christ This reduces NOx formation both because the
consisted of testing a series of selective catalytic combustion temperature is reduced and because the
reduction (SCR) catalysts (Fig. 3). The test facility concentration of oxygen is lower. The rest of the air,
consisted of nine small reactors, each of which was referred to as overfire air, is introduced at a higher
Electrostatic
Boiler precipitator Upper Motor Plenum
deck
Riser
Fan
Water Clean
Flue gas to
Coal gas stack
Fly Lower
ash Jet
deck
bubbling Sparger
Air Quench
zone pipe
duct Limestone
Reaction
zone slurry
Ash Air
Air Agitator
sparger
FIGURE 2 Chiyoda Corporation’s Chiyoda Thoroughbred-121 advanced flue gas desulfurization process using the jet
bubbling reactor.
Clean Coal Technology 349
Boiler
Economizer
bypass
Ammonia
injection
SCR
reactor
Coal
Air
Electrostatic
precipitator
Air
preheater
Ash
Stack
Ash
To disposal
Boiler
Economizer
Advanced Electrostatic
overfire air precipitator
ports
Air
preheater
Stack
Air
Combustion
air Aofa
Air ports
Windbox
Windbox
Pulverized Pulverized
coal coal
Ash
FIGURE 4 Low-NOx burners with advanced overfire air (AOFA) installation on a wall-fired boiler.
elevation in the furnace to complete combustion. increased unburned carbon in the ash, which may
Low-NOx burners typically reduce NOx by 50–60%, make the ash unsalable for cement production.
which is generally not sufficient to meet current NOx
emissions regulations. Therefore, low-NOx burners 4.2.3 Reburning
may need to be supplemented with SCR or another Another NOx reduction technology demonstrated in
auxiliary process. Low-NOx burners can result in CCT projects is reburning (Fig. 5). In reburning, a
350 Clean Coal Technology
hydrocarbon fuel, such as natural gas or finely 4.3 Environmental Control Devices—
pulverized coal, is injected into the furnace above Combined SO2 and NOx Removal
the burners to create a reduction zone, where
hydrocarbon fragments react with NOx to form In the SNOX (a trademarked name) process (Fig. 6),
nitrogen gas. Overfire air is introduced above the demonstrated at Ohio Edison’s Niles Station in Niles,
reburning zone to complete combustion. Reburning, Ohio, flue gas first passes though a high-efficiency
which typically achieves 50–60% NOx reduction, is fabric filter baghouse to minimize fly ash fouling of
not as effective as SCR. downstream equipment. Ammonia is then added to
Boiler
Burnout
zone
Electrostatic
precipitator
Overfire
air
Coal reburning Reburn Air
burners zone preheater
Air
Stack
Secondary Coal
Pulverized air
coal
Air
Primary
air
Main
combustion Cyclone
zone burner
Dry waste to disposal
Molten slag
Water
Slag to disposal
Electrostatic
precipitator
Boiler
Stack
Cooling Support
Flue To disposal burner
air
gas
Clean flue gas
Air Air Flue gas Hot-air discharge
preheater Condenser (WSA tower)
Flue gas
heater Sulfuric acid
Coal Baghouse
Catalytic
NOx
Ash reactor Catalytic
Support Ammonia Acid
SO2
burner collector
Hot air reactor
FIGURE 6 Haldor Topsoe’s SNOX advanced flue gas cleanup system. WSA, Wet gas sulfuric acid.
Clean Coal Technology 351
the flue gas, which passes to a catalytic reactor where 4.4 Advanced Electric Power Generation
the ammonia reacts with NOx to form nitrogen
gas and water. The next step is a catalytic reactor, 4.4.1 Integrated Gasification Combined Cycle
which oxidizes SO2 to SO3. The presence of this A project at PSI Energy’s Wabash River Generating
reactor oxidizes any unreacted ammonia to N2 and Station demonstrated the use of IGCC for the
water, thus preventing the formation of ammonium production of clean power from coal (Fig. 8). In
sulfate, which can form deposits that foul down- IGCC, the coal is first partially combusted with air or
stream equipment. The oxidation catalyst also vir- oxygen to form a low to medium heating-value fuel
tually eliminates CO and hydrocarbon emissions. The gas, whose main combustible constituents are carbon
gas then flows to a condenser for the recovery of monoxide and hydrogen, with some methane and
sulfuric acid and then to the stack. Sulfur removal is heavier hydrocarbons. After being cleaned, the fuel
about 95% and NOx removal averages 94%. The gas is burned in a combustion turbine. The hot
sulfuric acid exceeds federal specifications for Class I turbine flue gas is sent to a heat recovery steam
acid. The fabric filter removes over 99% of the generator (HRSG), which produces steam for a
particulates. conventional steam turbine. A major advantage of
Another demonstration combining SO2 and IGCC is that, in the gasification process, the sulfur,
NOx removal was the SOx–NOx-Rox Box (SNRB) nitrogen, and chlorine in the coal are converted to
project at Ohio Edison’s R.E. Burger Plant. The hydrogen sulfide, ammonia, and hydrogen chloride,
SNRB process combines the removal of SO2, NOx, respectively. It is much easier to remove these
and particulates in one unit, a high-temperature materials from the fuel gas than it is to remove SO2
fabric filter baghouse (Fig. 7). SO2 removal is and NOx from the flue gas of a conventional coal-
effected by injecting a calcium- or sodium-based fired boiler.
sorbent into the flue gas upstream of the baghouse. In the Wabash project, the gasifier used was
Ammonia is also injected into the flue gas to react Global Energy’s E-Gas Technology. This is a two-
with NOx and to form N2 and water over the SCR stage gasifier, with a horizontal stage followed by a
catalyst, which is installed inside the bags in the vertical stage. The ash in the coal is removed from
baghouse. Particulate removal occurs on the high- the bottom of the gasifier as molten slag, which is
temperature fiber filter bags. Sulfur removal with quenched before being sent to disposal or sales. This
calcium-based sorbents was in the 80–90% range at has proved to be a very clean plant, with sulfur
a Ca/S ratio of 2.0. NOx removal of 90% was removal above 99% and NOx levels at 0.15 lb/
achieved. million Btu. Particulate levels were below detectable
Hot baghouse
Air
preheater
Boiler
Stack
High-temperature
filter bag
Ammonia
Alkali-rich ash on
surface
Coal
SCR catalyst
Air Sorbent
injection
Bottom
ash
FIGURE 7 The Babcock & Wilcox Company’s SOx–NOx-Rox Box process. SCR, Selective catalytic reduction.
352 Clean Coal Technology
limits. The recovered hydrogen sulfide was converted 4.4.2 Fluidized Bed Combustion
to liquid sulfur for sale. Foster Wheeler’s atmospheric circulating fluidized
Another IGCC demonstration was Tampa Electric bed (ACFB) combustion system (Fig. 10) was in-
Company’s Polk Power Station Unit No. 1. This stalled at the Nucla Station in Nucla, Colorado. In the
project used a Texaco gasifier with a radiant fuel gas combustion chamber, a stream of air fluidizes and
cooler installed in the reactor vessel below the entrains a bed of coal, coal ash, and sorbent (lime-
gasifier (Fig. 9). For this project, the recovered stone). Relatively low combustion temperatures limit
hydrogen sulfide was converted to sulfuric acid for NOx formation. Calcium in the sorbent combines
sale. This plant also proved to be very clean, with with SO2 to form calcium sulfite and sulfate. Solids
SO2, NOx, and particulate emissions well below exiting the combustion chamber with the flue gas are
regulatory limits for the plant site. removed in a hot cyclone and recycled to the
Particulate
Syngas removal
Entrained-flow
gasifier
Candle
Syngas filter
Second cooler
stage Sulfur
Slurry removal
plant &
recovery Liquid sulfur
Coal
by-product
Water
Char
Slag
First quench Steam Fuel-gas
Oxygen
stage water preheat
plant
Steam
Stack
Slag by-product
Steam Heat recovery
steam Gen.
FIGURE 8 Integrated gasification combined cycle installation using Global Energy’s E-Gas (syngas) technology.
Slurry Entrained-
plant flow gasifier
90% Raw
Coal syngas
slurry
Conven-
O2 Product tional
Oxygen
gas gas
plant
Texaco cooler cleanup
gasifier
N2
To combustor High-pressure Syngas
Feed water steam Combustor
Raw Clean N
syngas Sulfar syngas
2
Radiant removal Air
syngas
cooler Gen.
Blackwater Steam
Slag recycled Gas turbine
disposal Sulfuric
acid Hot exhaust
Steam gas
Heat recovery
steam
Sulfuric acid generator
plant Stack
Gen.
Steam turbine
FIGURE 9 Integrated gasification combined cycle installation based on Texaco’s pressurized, oxygen-blown, entrained-flow
gasifier technology.
Clean Coal Technology 353
Atmospheric circulating
fluidized-bed boiler
Heat
Cyclone Cyclone exchanger
Fabric
filter
Fly ash
Combustor
chamber
Secondary partition
air
Air
Air Steam
Ash
To boiler
feed water
Steam turbine
combustion chamber. Continuous circulation of coal problems with catalyst poisons in the coal-derived
and sorbent improves mixing and extends the contact synthesis gas were overcome, the LPMEOH process
time of solids and gases, thus promoting high carbon worked very well. All the methanol produced was
utilization and high sulfur capture efficiency. Heat in used by Eastman Chemicals as an intermediate in the
the flue gas exiting the hot cyclone is recovered in the production of other chemicals.
economizer. Flue gas passes through a baghouse, One possibility for use of the LPMEOH process
where particulate matter is removed. This project was would be in conjunction with an IGCC system. In
the first repowering of a U.S. power plant with ACFB this concept, part of the synthesis gas from the
technology and demonstrated this technology’s ability gasifier in the IGCC unit would be diverted to the
to burn a wide range of coals cleanly and efficiently. LPMEOH process for conversion to methanol. The
amount diverted would depend on the load require-
ment of the power plant. This would permit the
4.5 Coal Processing for Clean Fuels gasifier, the most expensive section of the IGCC unit,
4.5.1 Methanol Production to operate at full load regardless of the power
A project at Eastman Chemical Company’s Kings- demand. The methanol produced could be sold or
port, Tennessee, facility demonstrated Air Products used as fuel in a combustion turbine during high
and Chemicals’ liquid-phase methanol (LPMEOH) electric power demand periods. During the demon-
process (Fig. 11). This process converts synthesis gas stration project, tests showed that the LPMEOH
(a mixture of CO and H2) into methanol according process can rapidly ramp feed rate up and down,
to the reaction CO þ 2H2-CH3OH. The process thus indicating its compatibility with the IGCC
differs from conventional gas-phase processes in that system concept.
instead of pelleted catalyst in beds or tubes, the
LPMEOH process uses a finely divided catalyst
4.6 Industrial Applications
suspended in a slurry oil. Use of a slurry reactor
results in a uniform temperature throughout the 4.6.1 Granulated Coal Injection into
reactor and improves heat removal by the internal a Blast Furnace
heat exchanger. Thus, much higher per-pass conver- One of the most expensive and pollution-prone
sions can be achieved. Furthermore, because the aspects of blast furnace operation is the production
water–gas shift capabilities of the catalyst promote of coke. To reduce coke usage, blast furnaces may
the conversion of CO to H2, low H2/CO ratio inject natural gas or pulverized coal directly into the
synthesis gas, typical of that produced by a coal blast furnace. In a demonstration project at Bethle-
gasifier, can be fed to the process. After some initial hem Steel’s Burns Harbor Plant in Indiana, it was
354 Clean Coal Technology
Oxygen Chemical
production
Carbon Synthesis gas
Coal dioxide
Slurry Methanol Sulfur-free
Steam recovery synthesis gas
Cyclone
separator
Secondary
catalyst Methanol
Primary poison storage Methanol
Slag gas adsorber
treatment Makeup
Sulfur slurry oil
Steam Catalyst
Feed Makeup preparation
Water catalyst
Solids
Coal to Particulate
preparation recycle removal
Granulated wet scrubber
coal Blast
injection furnace Cleaned
Preheated low-Btu
blast air blast furnace
gas for
plant use
Blast furnace
offgas
Molten slag
Molten
iron
To steel making
FIGURE 12 British Steel and Clyde Pneumatic blast furnace granular coal injection process.
shown that granular coal injection (Fig. 12) worked problems at this plant was that about 10% of the
as well as pulverized coal injection and required kiln product was cement kiln dust (CKD), an alkali-
about 60% less grinding energy. The coal replaced rich waste that, because of its potassium content,
coke on almost a one-for-one basis. All the coke cannot be blended with the cement product. Another
cannot be replaced because of the need to preserve problem was SO2 in the kiln exhaust gas. The
porosity in the blast furnace, but enough coke can be innovative cement kiln flue gas recovery scrubber
displaced to improve economics significantly. Sulfur (Fig. 13) demonstrated in this project solved both
and ash in the injected coal end up in the slag problems simultaneously by slurrying the CKD with
removed from the furnace. water and using the slurry to scrub the kiln exhaust
gas. The potassium in the CKD reacts with SO2 in
4.6.2 Cement Kiln Flue Gas Recovery Scrubber the kiln gas in the reaction tank to form potassium
A cement kiln flue gas recovery scrubber project was sulfate, which is water soluble. After liquid/solid
located at Dragon Products Company’s coal-fired separation, the low-potassium solid can be blended
cement kiln in Thomaston, Maine. One of the with the cement product, and potassium sulfate can
Clean Coal Technology 355
Scrubbed
exhaust
Reaction
tank
Dilution Stack
tank
FIGURE 13 Passamaquoddy Technology recovery scrubber for treating cement kiln flue gas.
be recovered from the solution for sale as fertilizer. power plants. Most PPII projects focus on technol-
This project reduces SO2 emissions by about 90%, ogies enabling coal-fired power plants to meet
while simultaneously reducing raw material require- increasingly stringent environmental regulations at
ments by about 10%, significantly improving eco- the lowest possible cost. Proposed technologies must
nomics. be mature enough to be commercialized within a few
years, and the cost-shared demonstrations must be
large enough to show that the technology is
4.7 Follow-On CCT Initiatives commercially viable.
The CCPI, a 10-year program, was initiated to
The Clean Air Act of 1970 and subsequent amend-
further develop, improve, and expand the use of
ments, especially the Acid Rain Program provisions of
CCTs to increase national energy security and the
the 1990 amendments, and implementation of the
reliability of the electric power supply and reduce
original CCT Program have brought about major
costs while improving the environment. Candidate
reductions in emissions of acid gases (SO2 and NOx)
technologies are demonstrated at full scale to ensure
and particulates from coal-fired plants.
proof of operation prior to widespread commercia-
However, coal-fired power plants are increasingly
lization.
being required to further cut emissions. Renewed
concerns about fine particulates and their precursors
(nitrogen and sulfur oxides), trace elements (espe-
cially mercury), and ozone (and its NOx precursor) 5. BENEFITS AND FUTURE OF
have created new requirements for cleaner plants. CLEAN COAL TECHNOLOGY
Building on the success of the original CCT
Program, the U.S. government has promoted two The clean coal technology development effort has
further solicitations, the Power Plant Improvement provided, and will continue to provide, significant
Initiative (PPII) in 2000 and the Clean Coal Power economic, environmental, and health benefits. Eco-
Initiative (CCPI) in 2002. PPII was established to nomic benefits arise in a number of areas. The CCT
promote the commercial-scale demonstration of Program has been instrumental in the commerciali-
technologies that would assure the reliability of the zation of technologies such as AFBC and IGCC. The
energy supply from existing and new electric- program has also demonstrated a variety of new
generating facilities. PPII is geared toward demon- options for the control of sulfur oxides, nitrogen
strations of advanced near-term technologies to oxides, and particulate emissions from electric power
increase efficiency, lower emissions, and improve plants operating on coal. Considerable economic
the economics and overall performance of coal-fired activity is generated through the sale, design,
356 Clean Coal Technology
construction, and operation of these new technolo- term is to improve the efficiency of power plants.
gies. Furthermore, these new power generation and Decreasing the amount of fuel that has to be burned
pollution control options will permit coal to continue to produce a given amount of electricity directly
to be used as a fuel while minimizing environmental reduces the amount of CO2 produced. An area that
impacts. Because coal is the cheapest fossil fuel, its will see significant development will be advanced
continued use will save billions of dollars that can be plant control systems, such as Electric Power
invested in other economic activities. Research Institute’s Generic NOx Control Intelli-
CCT benefits to the environment are obvious. gence System (GNOCIS), demonstrated at Gulf
Decreasing SO2 and NOx emissions reduces acid rain, Power Company’s Plant Hammond in the United
which in turn reduces acidification and eutrophication States. Such systems allow a power plant to operate
of lakes and damage to forests and other vegetation. It at or near optimum conditions, thus improving
also reduces damage to structures made of steel, efficiency and lowering emissions.
limestone, concrete, and other materials. CCTs have In the United States, it is projected that reliance on
reduced the amount of pollutants emitted by fossil fossil fuels will increase from the present level of
fuel-fired power plants. For example, between 1970 85% to 90% by 2020 under current price and usage
and 2000, emissions of sulfur and nitrogen pollutants trends. The use of fossil fuels to produce electricity is
from the average U.S. coal-fired power plant have also expected to rise from the current 67% to 78%
declined by 70 and 45%, respectively. This has by 2020. Energy consumption in the developing
enabled coal use to more than double while allowing world (Asia, Africa, the Middle East, and Central
the United States to meet its clean air objectives. and South America) is expected to more than double
Another major benefit is in the area of human by 2020, with the highest growth rates expected in
health. Decreases in smog precursors are very Asia and Central and South America. The next
beneficial to the health of human beings, particularly generation of coal-fired power plants is emerging to
people with respiratory problems, such as asthma. meet this growth. These systems offer the potential to
Decreases in emissions of mercury and other air be competitive with other power systems from a cost
toxics are expected to result in fewer cancers and and performance standpoint, while having improved
other diseases. These benefits should decrease med- environmental performance.
ical costs by tens, if not hundreds, of billions of The Clean Coal Power Initiative, the newest CCT
dollars over the next couple of decades. program in the United States, is aimed at technolo-
Another benefit of CCT efforts has been interna- gies that will focus on development of multipollutant
tional cooperation. Because pollution does not (SO2, NOx, and Hg) control systems. In the past,
respect national borders, all nations must be con- environmental regulations have been issued incre-
cerned, and this has fostered international efforts. mentally—generally, one pollutant was regulated at a
Technologies developed in the United States and time. This approach has proved to be costly to the
elsewhere are available internationally, and global electric power industry. The new multipollutant
cooperation on international energy issues is on- control approach should achieve equivalent reduc-
going. However, new environmental constraints will tions in pollutants at much lower cost. The CCPI will
require the development of new clean coal technol- also focus on the development of high-efficiency
ogies. At the time the United States initiated its first electric power generation, such as gasification,
CCT program, there were no regulations on mercury advanced combustion, fuel cells and turbines, retro-
emissions or fine particulates (those smaller than fitting/repowering of existing plants, and develop-
2.5 mm in diameter). NOx and SO2 are precursors to ment of new plant technologies.
the atmospheric formation of fine particulates and, Because biomass combustion provides a means for
therefore, will likely undergo more stringent regula- recycling carbon, composite fuels consisting of coal
tion. Further regulation of these pollutants will lead and waste biomass can offset the release of green-
to the development of new clean coal technologies. house gases during combustion. Throughout U.S.
Although not currently regulated in the United coal-producing regions are large amounts of coal
States , there is growing concern about the buildup of residing in waste ponds. Separation processes to
carbon dioxide in the atmosphere. Decreasing CO2 recover this coal economically could make it available
emissions from coal-burning plants will require the for power generation and, concurrently, eliminate
development of improved CO2 capture technologies, existing and potential environmental problems asso-
as well as the development of CO2 sequestration ciated with these waste sites. This type of waste coal
techniques. Of perhaps more importance in the short is particularly applicable to fluidized bed combustion.
Clean Coal Technology 357
The examples discussed here illustrate the wide Energy, Security, and Environment in Northeast Asia (ESENA)
range of technologies included under the clean coal Project. Program and project information is accessible on the
Internet (http://www.nautilus.org/esena/). (Accessed January 7,
technology umbrella. As regulatory and economic 2000.)
drivers change, an even wider range of activities will European Commission Clean Coal Technology Programme.
need to be included in the future. Program and project information is accessible on the Internet
(http://europa.eu.int/comm/energy/en/pfs carnot en.html and
http://www.euro-cleancoal.net/). (Accessed July, 2000.)
IEA Coal Research Clean Coal Centre. Program and project
SEE ALSO THE information is accessible on the Internet (http://www.iea-
FOLLOWING ARTICLES coal.org.uk/). (Accessed November 26, 2003.)
New Energy and Industrial Technology Development Organiza-
tion (NEDO). Program and project information related to clean
Acid Deposition and Energy Use Air Pollution,
coal technology is accessible on the Internet (http://www.ne-
Health Effects of Air Pollution from Energy do.go.jp/enekan/eng/2-1.html). (Accessed September 9, 2003.)
Production and Use Carbon Sequestration, Terres- UK Cleaner Coal Technology Program. Program and project
trial Clean Air Markets Coal, Chemical and information is accessible on the Internet (www.dti.gov.uk/cct).
Physical Properties Greenhouse Gas Emissions (Accessed March 14, 2003.)
U.S. Department of Energy. (2002). Clean Coal Technology
from Energy Systems, Comparison and Overview
Demonstration Program, Program Update 2001, July 2002.
Hazardous Waste from Fossil Fuels U.S. Department of Energy, Washington, D.C.
U.S. Department of Energy Clean Coal Power Initiative. Program
and project information is accessible on the Internet (http://
Further Reading
www.fossil.energy.gov/programs/powersystems/cleancoal/).
Center for Coal Utilization, Japan (CCUJ). Program and project (Accessed December 1, 2003.)
information is accessible on the Internet (http://www.ccuj.or.jp/ U.S. Dept. of Energy, Clean Coal Technology Compendium. Pro-
index-e.htm). (Accessed May 20, 2003.) gram and project information is available on the Internet (http://
Clean Coal Engineering & Research Center of Coal Industry www.lanl.gov/projects/cctc). (Accessed October 31, 2003.)
(CCERC), China (http://www.cct.org.cn/eng/index.htm). U.S. Department of Energy Clean Coal Technology Program.
Cooperative Research Centre for Coal in Sustainable Develop- Program and project information is accessible on the Internet
ment, Clean Coal Technology in Australia: Industry and Policy (http://www.fossil.energy.gov/programs/powersystems/cleancoal/
Initiatives (D .J. Harris and D. G. Roberts) (http://www.nedo 86-93program.html). (Accessed November 6, 2003.)
.go.jp/enekan/ccd2.pdf). (Accessed September 9, 2003.) U.S. Department of Energy Power Plant Improvement Initiative.
Energy Information Administration. (2003). Annual Energy Out- Program and project information is accessible on the Internet
look 2003 with Projections to 2025, January 2003. Energy (http://www.lanl.gov/projects/ppii/). (Accessed October 20,
Information Administration, Washington, D.C. 2003.)
Climate Change and
Energy, Overview
MARTIN I. HOFFERT
New York University
New York, New York, United States
KEN CALDEIRA
U.S. Department of Energy, Lawrence Livermore
National Laboratory
Livermore, California, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 359
360 Climate Change and Energy, Overview
space of sunlight incident on the earth. (ii) Any attempt 1. INTRODUCTION: GLOBAL
to promote climate stabilization involving planetary-
scale interference in natural systems (e.g., large-scale
WARMING AS AN
storage of CO2 in the ocean interior). ENERGY PROBLEM
primary energy Energy embodied in natural resources
(e.g., coal, crude oil, sunlight, and uranium) that has 1.1 The Carbon Dioxide Challenge
not undergone any anthropogenic conversion or trans-
formation.
More than 100 years ago, Svante Arrhenius sug-
radiative forcing The perturbation to the energy balance of gested that CO2 emissions from fossil fuel burning
the earth–atmosphere system following, for example, a could raise the infrared opacity of the atmos-
change in the concentration of CO2 or a change in the phere enough to warm Earth’s surface. During the
output of the sun. The climate system responds to the 20th century, the human population quadrupled and
radiative forcing so as to reestablish the energy balance. humankind’s energy consumption rate increased
A positive radiative forcing tends to warm the surface 16-fold, mainly from increased fossil fuel combus-
and a negative radiative forcing tends to cool the tion. In recent years, observational confirmations of
surface. It is typically measured in watts per meter global warming from the fossil fuel greenhouse have
squared. accumulated, and we have come to better understand
secondary energy Energy converted from natural resources
the interactions of fossil fuel burning, the carbon
(e.g., coal, crude oil, sunlight, and uranium) into a form
cycle, and climate change.
that is more easily usable for economic purposes (e.g.,
electricity and hydrogen). Typically, there are energy Atmospheric CO2 concentration has been increas-
losses in the conversion from primary to secondary ing during the past few centuries mainly from fossil
energy forms. fuel emissions (Fig. 1A). The buildup of atmospheric
CO2 so far has tracked energy use closely. Carbon
cycle models recovering the observed concentration
history (1900–2000) have most of the emitted CO2
Stabilizing climate is an energy problem. Setting dissolved in the oceans (primarily as bicarbonate
ourselves on a course toward climate stabilization ions, the largest sink). As long as carbon emissions
will require a buildup within the following decades keep rising, approximately half the fossil fuel CO2
of new primary energy sources that do not emit will likely remain in the atmosphere, with the rest
carbon dioxide (CO2) to the atmosphere in addition dissolving in the seas. Forests produce a two-way
to efforts to reduce end-use energy demand. Mid- (photosynthesis–respiration) flux with residuals that
century CO2 emissions-free primary power require- temporarily add or subtract CO2 but cancel in the
ments could be several times what we now derive long term unless the ‘‘standing crop’’ of biosphere
from fossil fuels (B1013 W), even with improve- carbon changes.
ments in energy efficiency. In this article, possible Stabilizing CO2 concentration in the atmosphere
future energy sources are evaluated for both their at any specified level will require progressively more
capability to supply the massive amounts of carbon stringent emission reductions. However, even a total
emissions-free energy required and their potential for cessation of emissions would not restore preindus-
large-scale commercialization. Possible candidates trial levels for more than millennia. The technology
for primary energy sources include terrestrial solar, challenge of the century may be to reduce fossil fuel
wind, solar power satellites, biomass, nuclear fission, CO2 emissions enough to prevent unacceptable
nuclear fusion, fission–fusion hybrids, and fossil fuels climate change while population, energy use, and
from which carbon has been sequestered. Non- the world economy continue to grow.
primary-power technologies that could contribute
to climate stabilization include conservation, effi-
1.2 Climate
ciency improvements, hydrogen production, storage
and transport, superconducting global electric grids, A doubling of atmospheric CO2 is estimated to
and geoengineering. For all, we find severe deficien- produce 1.5–4.51C surface warming based on
cies that currently preclude cost-effective scale-up paleoclimate data and models with uncertainties
adequate to stabilize climate. A broad range of mainly from cloud–climate feedback. Unabated fossil
intensive research and development is urgently fuel burning could lead to between two and three
needed to develop technological options that can times this warming.
allow both climate stabilization and economic Climate change from the fossil fuel greenhouse is
development. driven by radiative forcing––the change in solar
Climate Change and Energy, Overview 361
2020
2040
2060
2080
2100
Stratosphere
40 Initial
800 profile
warmer troposphere
750 5.0
600 Adding CO2 causes
20 IR emissions from 650
higher, colder alts.
B "Business as usual" 550
(BAU) 4.0
500 10 Global
warming
Troposphere
450 3.0
0
400 220 240 260 280 300
2.0
Temperature (K) 350
1.0
Preindustrial concentration ~ 275 ppm
300
0.0
10 0.02
Total power
consumption
CO2-emission-
free power
0 0.00
1900
1920
1940
1960
1980
2000
2020
2040
2060
2080
2100
Year
FIGURE 1 The trapping of outgoing long-wave radiation by CO2 may mean that we need to produce vast amounts of
power without releasing CO2 to the atmosphere. (A) Atmospheric CO2 concentration (left-hand scale) and radiative forcing
(right-hand scale). The increase in CO2 thus far is mainly from fossil fuel emissions. Future concentrations (2000–2100) are for
a business as usual (BAU) emission scenario and the Wigley–Richels–Edmonds scenarios that stabilize atmospheric CO2
(eventually) at concentrations in the range of 350–750 parts per million (ppm). (B) The lower atmosphere is rendered more
opaque by IR-trapping greenhouse gases. Maintenance of the planetary energy balance requires that the earth’s CO2 radiate to
space at earth’s effective temperature from higher in the atmosphere. This results in surface warming. (C) Total and CO2
emission-free power. Curves prior to 2000 are historical; curves from 2000 onward are BAU and CO2-stabilization projections
from a carbon cycle/energy model.
heating less infrared cooling to space per unit sur- requires that (i) the lower atmosphere is rendered
face area relative to a preindustrial reference more opaque by infrared-trapping greenhouse gases,
(Fig. 1B). Global warming by the ‘‘greenhouse effect’’ and (ii) the troposphere maintains (by convective
362 Climate Change and Energy, Overview
adjustments) a nearly constant vertical temperature ‘‘only’’ twice preindustrial levels (Fig. 1C). This
lapse rate E6 K/km. article assesses the ability of a broad range of
The energy balance for Earth implies a subfreezing advanced technologies to achieve CO2 and climate
temperature for blackbody cooling to space, Teff stabilization targets.
E255 K (181C). These infrared photons do not
emanate, on average, from the surface but from a
midtroposphere altitude of approximately 5.5 km. 1.3 Energy
Natural greenhouse gases (H2O, CO2, and O3) Carbon dioxide is not a pollutant in the sense that it
maintained a global surface temperature hospitable emerges from trace elements peripheral to the main
to life over Earth history that was 33 K warmer than business of energy. It is a product of combustion vital
the Teff today: Tsurface E255 K þ (5.5 km 6 K km1) to how civilization is powered. The way to reduce
E288 K (151C). More CO2 in the atmosphere from CO2 emissions significantly without seriously dis-
fossil fuel burning makes the troposphere radiate from rupting civilization is to identify and implement
even higher, colder altitudes, reducing infrared cool- revolutionary changes in the way energy is produced,
ing. Solar heating, now partly unbalanced by infrared distributed, and lost to inefficiencies.
cooling, generates greenhouse radiative forcing Factors influencing CO2 emissions are evident in
[E4 W m2 for doubling CO2 to 550 parts per million the Kaya identity, which illustrates the quandary of
(ppm)], driving the troposphere toward warmer emission reductions with continued economic
temperatures, which depend on the climate sensitivi- growth. The Kaya identity expresses the carbon
ty[ ¼ (temperature change)/(radiative forcing)]. ’ as the product of population, N, per
emission rate, C;
Most of the infrared flux comes from the tropo- capita gross domestic product, GDP/N, primary
sphere, but the center of the 15-mm CO2 vibration energy intensity, E/GDP, and the carbon emission
band is so strongly absorbing that the atmosphere factor, C/E:
remains opaque near these wavelengths into the
C’ ¼ N ðGDP=NÞ ðE=GDPÞ ðC=EÞ:
stratosphere. Here, temperature increases with alti-
tude, and more CO2 produces cooling. Few governments intervene in their nation’s
Surface warming accompanied by stratospheric population growth, whereas continued economic
cooling from CO2 increases was predicted in the growth is policy in virtually every country on Earth;
1960s and subsequently observed (ozone depletion thus, the first two terms of the equation are normally
combined with tropospheric soot might produce off limits to climate change policy. Their product is
similar effects). Also predicted and observed is heat the growth rate of GDP. No nation advocates
flow into the sea. Instrumental and paleotemperature reducing its GDP to reduce carbon emissions.
observations are generally consistent with an emer- Stabilizing CO2 with 2 or 3% per year global GDP
gent CO2 greenhouse modulated by solar variability growth requires comparable or greater reductions in
and by volcanic and anthropogenic aerosols. A the last two terms of the equation: the energy
marked global warming increase is predicted to intensity and the carbon emission factor.
occur in the following decades, the magnitude of Figure 1C shows primary power required to run
which will depend on climate sensitivity and on our the global economy projected out 100 years for
ability to limit greenhouse gas emissions as the global continued economic growth assuming a ‘‘business as
population and economy grow. usual’’ economic scenario. Figure 1C also shows the
It is not known what concentrations will trigger power needed from CO2 emission-free sources to
the ‘‘dangerous anthropogenic interference with the stabilize atmospheric CO2 at a range of concentra-
climate system’’ that the United Nations’ 1992 Rio tions. Curves prior to 2000 are historical; curves
de Janeiro Framework Convention on Climate from 2000 onward are business as usual and CO2-
Change aimed to prevent. A common reference case stabilization projections run through a carbon cycle/
is doubling preindustrial CO2, projected to produce energy model. Note the massive transition of the
global warming of 1.5–4.5 K, which is comparable in global energy system implied by all scenarios. Even
magnitude, but opposite in sign, to the global business as usual (incorporating no policy incentives
cooling of the last ice age 20,000 years ago. to limit emissions) ramps to 10 TW emission free by
Evidently, dramatic increases in primary power from 2050. Emission-free primary power required by
non-CO2-emitting sources, along with improve- midcentury increased to 15 TW to stabilize at
ments in the efficiency of primary energy conversion 550 ppm and to Z30 TW to recover recent concen-
to end uses, could be needed to stabilize CO2 at trations of 350 ppm (including energy to remove
Climate Change and Energy, Overview 363
CO2 previously emitted). All scenarios assume phous photovoltaic solar cells are less efficient, but
aggressive continuing energy efficiency improve- cheaper per unit of electrical energy output, than
ments and lifestyle changes such that global energy crystalline cells.
intensity (E/GDP) declines 1.0% per year during the Energy intensity (E/GDP, energy used per unit
entire 21st century. The main concern is CO2, not GDP generated) subsumes efficiency, lifestyle, and
heat dissipated by energy use. Projected to pass mean structural economic factors. Typically, the energy
geothermal heating this century, heat dissipated by intensity of developing nations starts low, peaks
humankind’s primary power consumption is ap- during industrialization (when energy goes to infra-
proximately 1/100 the radiative forcing from the structure building rather than GDP), and then
fossil fuel greenhouse. declines as service sectors dominate postindustrial
Technologies capable of producing 100–300% of economies. This final stage, modeled as a sustained
current total primary power levels, but CO2 emission percent decrease, can predict large emission reduc-
free, could be needed by midcentury (Fig. 1C). These tions over century timescales. Current U.S. policy
do not exist operationally or at the pilot plant stage aims to continue the domestic trend of declining
today. One need only consider that Enrico Fermi’s carbon intensity [C/GDP ¼ (E/GDP) (C/E)]. How-
‘‘atomic pile’’ is more distant in time than the Year ever, even wealthy nations such as the United States
2050, whereas nuclear power today represents less that are on track to service economies consume
than 5% of primary power (17% of electricity) goods manufactured elsewhere. A decline in global
globally. energy intensity adequate to stabilize the climate may
Can we produce enough emission-free power in be unrealistic given the massive industrialization,
time? We assess a broad range of advanced technol- driven by globalization of capital and markets, in
ogies for this job, along with pathways to their countries such as China, India, and Indonesia.
commercialization. Our goal is to explore possibi- The stock of primary energy includes fossil fuels
lities that can revolutionize the global energy system. (coal, oil, and gas––a fraction of the organic carbon
As Arthur C. Clarke stated, ‘‘The only way to produced by plants from sunlight hundreds of
discover the limits of the possible is to venture a little millions of year ago), fission fuels (uranium and
past them into the impossible.’’ However, we cannot thorium––elements with metastable nuclei blown out
pick winners and losers, and we make no claim that of distant supernovae before the solar system formed
our proposals are exhaustive. What is clear is that the in limited supply as high-grade ore deposits), and
future of our civilization depends on a great deal of fusion fuels (cosmically abundant deuterium [D] and
research investment in energy options such as those helium-three [3He] relics of the big bang––D in
considered here. seawater and 3He in the lunar regolith and outer
planet atmospheres). This energy is stored in chemical
and nuclear bonds. ‘‘Renewables’’ are primary energy
in natural fluxes (solar photons; wind, water, and
2. EFFICIENCY heat flows). Converting this energy to human end
uses always involves losses to heat dissipation––losses
2.1 Energy Efficiency and Energy Intensity
that engineers have in many cases already spent
Reducing CO2 emissions is sometimes considered enormous effort reducing (Fig. 2). The efficiency of
synonymous with improvements in ‘‘efficiency.’’ internal combustion engines, for example, is 18–23%
Energy efficiency is the ratio of useful energy output after more than 100 years of development (Fig. 3).
to energy input. Progress has been made with regard Energy intensity reductions are often treated as a
to improving energy efficiencies in building, manu- surrogate for energy efficiency improvements. With
facturing, and transportation end-use sectors of the the ‘‘evolving economy’’ factor held constant, a
United States and other nations. Technologies decline of a few percent per year in E/GDP implies
include compact fluorescents, low-emissivity window very large energy efficiency increases over long times:
coatings, combined heat and power systems (cogen- a factor of (1.01)100 ¼ 2.7 at 1% per year and
eration), and hybrid vehicles (internal combustion (1.02)100 ¼ 7.2 at 2% per year after 100 years. Such
plus electric power). Improvements in energy effi- increases will be physically impossible if they exceed
ciency may be adopted on purely economic thermodynamic limits.
grounds––the so-called ‘‘no regrets’’ strategy. How- Efficiency improvements and alternate energy
ever, cost-effectiveness is more important to market sources need to be pursued in combination. It is a
share than efficiency as such; for example, amor- false dichotomy to pit efficiency against alternate
364 Climate Change and Energy, Overview
Steam Generator
High-pressure boiler
Electricity out
Air (O2)
Water
condensate And/or
cogeneration
CO2 up the stack
Pump
FIGURE 2 The world’s electricity is generated mainly by heat engines employing hot water as the working fluid. Actual
thermal efficiencies for power plant steam cycles are 39–50%, with primary energy-to-electricity efficiencies of 31–40%,
roughly consistent with the conversion factor 3 kW (primary) E1 kWe (electrical). Because small temperature increases cause
exponentially large increases in pressure (and hoop stress) in boilers, it is unlikely that turbine inlet temperature and turbine
efficiency will increase significantly (and CO2 emissions decline) without breakthroughs in materials strong enough to prevent
explosions.
energy. The trade-off in which more of one requires electric. Analyses of transportation sector efficiency
less of the other to achieve a given CO2 stabilization should consider the entire fuel cycle, ‘‘wells to
target was analyzed by Hoffert and colleagues in wheels.’’ Smaller cars requiring less fuel per passen-
1998. We have assumed a century-long 1% per year ger-kilometer, mass transit, and improvements in
decrease in global E/GDP to estimate human primary manufacturing efficiency can also reduce CO2 emis-
power needed in Fig. 1C. Some believe even greater sions. According to some estimates, the manufactur-
rates of decline are possible, perhaps as much as 2% ing of a car can create as much emissions as driving it
per year. Our analysis indicates that even 1% per for 10 years.
year will be difficult. For example, an effective In the United States, sport utility vehicles are
strategy in the transportation sector would be to driving emissions higher, whereas economic growth
increase energy efficiency by a path leading to CO2 of China and India has led 2 billion people to the cusp
emission-free hydrogen from renewable sources as of transition from bicycles to personal cars. (Asia
the energy carrier. already accounts for 480% of the growth in
petroleum consumption.) CO2 emissions from trans-
portation depend on fuel carbon-to-energy ratios
2.2 The Transportation Sector
(C/E), fuel efficiency, vehicle mass, aerodynamic
A frequently cited opportunity for emission reduc- drag, and patterns of use. Storability and high energy
tions involves improving the efficiency of the density of liquid hydrocarbons have fostered crude oil
transportation sector, which is responsible for 25% derivatives as dominant motor and aviation fuels and
of CO2 emissions in the United States, of which massive capital investment worldwide in oil explora-
approximately half is by private cars. Figure 3 tion, oil wells, supertankers, pipelines, refineries, and
compares the efficiency of fossil-fueled cars of similar filling stations. Gasoline-powered IC technology to-
mass, aerodynamics, and driving cycles for four day embodies a sophisticated and difficult to displace
different propulsion systems: internal combustion infrastructure. CO2 emission-neutral fuels derived
(IC), battery–electric, IC–electric hybrid, and fuel from biomass (e.g., ethanol) are limited in availability
cell–electric. A twofold improvement seems reason- by low-yield photosynthesis and competition with
able for a transition from the IC engine to fuel cell– agriculture and biodiversity for land. Natural gas
Climate Change and Energy, Overview 365
Powerplant
Air (O2) CO2 Internal combustion
emissions
CO2
Transmission,
Electricity Internal pumps, etc.
Fossil fuel Crankshaft
combustion
flow in engine rotation
Electric motor/
Electricity generator
Fossil fuel Central Electricity
power Battery
flow in plant
Electricity
CO2
Transmission,
pumps, etc. Tailpipe
Fossil fuel Internal Crankshaft emissions
combustion
flow in engine rotation
Electric motor/
Electricity generator
Battery
Electricity
Electric motor
Fossil fuel Steam H2 Fuel Electricity
flow in reformer cell
H2O
FIGURE 3 The transportation sector presents unique challenges for CO2 emission reductions. CO2 emissions from
transportation depend on fuel carbon-to-energy ratios (C/E), fuel efficiency, vehicle mass, aerodynamic drag, and patterns of
use. Fuel efficiencies [Z ¼ (mean torque angular velocity)/(fossil fuel power in)] of the systems shown are as follows: internal
combustion (IC), Z ¼ 18–23%; battery–electric, Z ¼ 21–27% (35–40% central power plant, 80–85% charge–discharge cycles,
and 80–85% motor); IC–electric hybrid, Z ¼ 30–35% (higher efficiency from electric power recovery of otherwise lost
mechanical energy); and fuel cell–electric, Z ¼ 30–37% (75–80% reformer, 50–55% fuel cell, and 80–85% motor). Cost-
effective efficiencies of 40% may be possible with additional emission reductions per passenger-kilometer from lighter cars.
(methane, CH4) is a possible transitional fuel, lower engines as hybrids. Fuel cells have high power
in CO2 emissions than gasoline, but it requires high- densities; utilize various fuels, electrolytes, and
pressure onboard storage (accompanied by cooling if electrode materials; and operate at various tempera-
stored as liquid natural gas). tures. The clear favorite for automobiles is the
Current batteries are prohibitively heavy for proton exchange membrane (PEM) cell––a compact
normal driving patterns unless combined with IC unit converting H2 to electricity at a relatively cool
366 Climate Change and Energy, Overview
350 K. Hydrogen (plus oxygen from the atmosphere with additional emission reductions per passenger-
with water as the reaction product) emits zero kilometer from lighter cars.
CO2 from IC engines and fuel cells. A seamless A scenario aimed at sustainable CO2 emission-free
transition to fuel cells is fostered by extraction of vehicles would first replace IC engines with gasoline-
hydrogen from gasoline in a reformer, which is a powered fuel cells. In the second phase, a network of
miniature onboard chemical processing plant that filling stations dispensing H2 derived from fossil fuel
does emit CO2. with CO2 sequestration is deployed as onboard
Fuel efficiencies [Z ¼ (mean torque angular velo- hydrogen storage (metal hydride tanks, carbon
city)/(fossil fuel power in)] of the systems shown are nanotubes, etc.) becomes safe and cost-effective. In
as follows: IC, Z ¼ 18–23%; battery–electric, Z ¼ the third and presumably sustainable phase, H2 is
21–27% (35–40% central power plant, 80–85% generated by water electrolysis from renewable or
charge–discharge cycles, and 80–85% motor); IC– nuclear primary sources (Figs. 4–6). This scenario,
electric hybrid, Z ¼ 30–35% (higher efficiency from and others emphasizing mass transit, requires tech-
electric power recovery of otherwise lost mechanical nology breakthroughs from basic and targeted
energy); and fuel cell–electric, Z ¼ 30–37% (75–80% research. Also critical for CO2 and climate stabiliza-
reformer, 50–55% fuel cell, and 80–85% motor). tion are sequencing and diffusion of transportation
Cost-effective efficiencies of 40% may be possible sector transitions worldwide.
Central
Carbon sequestration rates to produce
power plants
10 TW CO2 emission free from fossil fuels
Biomass
fuel Electricity
& H2
Magnesium carbonate bricks
CO2
Fossil CO2
fuel
Sequestered CO2
FIGURE 4 Separating and sequestering the CO2 or solid carbon by-product of fossil fuel or biomass oxidation in
subsurface reservoirs while producing electricity in central power plants and/or hydrogen may have the potential to reduce
anthropogenic CO2 emissions and/or atmospheric concentrations. More CO2 must be sequestered (and more fossil fuel
consumed) per unit energy available for human power consumption than would be emitted as CO2 to the atmosphere without
sequestration, some of which may return later to the atmosphere from leaky reservoirs.
Climate Change and Energy, Overview 367
H2O O2
Photovoltaic Electrolyzer Renewable
arrays electricity
and hydrogen
H2
Wind farms
Electric power To
N2 (gas) conditioning Hydrogen
pipelines
and storage
Liquid nitrogen
chiller to render
copper oxide wires To high-Tc global superconducting
superconducting electric power grid
N2(liquid)
FIGURE 5 Renewable energy at Earth’s surface. Greatest potential is from solar and wind with electric currents or H2 as
energy carriers.
Antarctica Oceania
N.America
Asia
S. America
Icosohedron: An Europe
equilateral-triangle-
faced solid reducing Africa
map projection errors
FIGURE 6 An alternative energy carrier is the low I2R loss global electric grid envisioned by R. Buckminster Fuller. Modern
computer technology may permit grids smart enough to match supply from intermittent renewable sources to baseload
demands worldwide.
3. FOSSIL FUELS AND CO2 degree to which societies decarbonize their energy
EMISSION REDUCTION sources. The long-term trend has been a shift from
coal to oil to natural gas––hydrocarbons with
Reductions in carbon intensity, C/E, the carbon decreasing C/H ratios emitting progressively less
emitted per unit of energy generated, reflect the CO2 per joule. However, the increasing use of clean
368 Climate Change and Energy, Overview
low-carbon fuels is not sustainable without somehow and capture of CO2 from power plant flue gas.
disposing of excess carbon because it opposes the Challenges include cost and energy penalties of
trend in the abundance of fossil fuels, with coal capture and separation (more fuel is needed per joule
resources being the most abundant followed by oil than freely venting combustion products), under-
and gas (Fig. 4). standing the long-term fate of CO2 sequestered in
Energy in recoverable fossil fuels (‘‘reserves’’ plus various reservoirs, and investigating environmental
‘‘resources’’ from conventional and unconventional impacts.
sources) is B4800 TW-year for coal and B1200 TW- The simplest sequestration technology is growing
year each for oil and gas (1 Gtoe ¼ 44.8 EJ ¼ trees. CO2 uptake only works during net biomass
1.42 TW-year; natural gas includes liquids but growth. At best, it could mitigate 10–15% of
excludes methane hydrates). Total energy in recover- emissions over a limited time. Approximately
able fossil fuels is in the range 6400–8000 TW-year, 2500 Gt C is organically fixed in land plants and
of which two-thirds is coal. Coal resources could soil. Carbon cycle models indicate that absorption by
roughly double if energy in shales could be extracted trees and soil exceeded emissions by 2.371.3 Gt C
cost-effectively. per year in the 1990s. Model simulations matching
Separating and sequestering the CO2 or solid observations are consistent with CO2 uptake at
carbon by-product of fossil fuel or biomass oxidation midlatitudes; however, some models predict these
in subsurface reservoirs while producing electricity in lands will reverse from sinks to sources by mid-
central power plants and/or hydrogen may have large century as climate warms. The advantage of tree and
potential for CO2 emission reductions. Industrial soil sequestration is that they do not require
hydrogen is made primarily by partial (only the separation of combustion products or more fuel.
carbon is oxidized) oxidation of methane (net: Although not a long-term solution, tree and soil
CH4 þ O2-CO2 þ 2H2). Some energy loss is un- uptake can buy time at low cost with current
avoidable for H2 produced from fossil fuels even technology––time for learning, capital turnover,
without CO2 sequestration. Chemical energy trans- research, and development of advanced power
ferred to hydrogen is typically 72% from natural gas, technologies.
76% from crude oil, and 55–60% from coal. A biological sequestration scheme that might store
Primary energy available after sequestration fossil fuel CO2 longer than trees and soils consists of
(E ¼ EfuelEseq) per unit carbon content depends on sinking agricultural residues in bales to deep and/or
the energy-to-carbon ratio of the fuel (Efuel/C) and anoxic zones of the oceans. This is conceptually
the ratio of sequestration energy to fuel energy (Eseq/ similar to storing trees in underground vaults and to
Efuel): (E/C) ¼ (Efuel/C)[1(Eseq/Efuel)]. Carbon se- fertilizing high-latitude ocean plankton with iron. An
questration rates tabulated in Fig. 4 needed to early proposal by Cesare Marchetti being explored
produce 10 emission-free terawatts by midcentury today is CO2 disposal in the deep sea. Although most
from gas, oil, or coal [(10 TW)/(E/C)] are in the fossil fuel CO2 emitted to the atmosphere dissolves in
5–10 GtC/year range, depending on the fossil fuel the oceans on decadal to century timescales, some
mix and assuming (Eseq/Efuel) ¼ 10–25%––an extra- persists in the atmosphere much longer because of a
polation of current technology judged necessary for shift in the carbonate equilibrium of the air/sea
cost-effectiveness. This would be a massive carbon system. For a given emission scenario, ocean injec-
transfer akin to the global extraction of fossil fuels in tions can significantly decrease peak atmospheric
reverse. More CO2 must be sequestered (and more CO2 levels, although all cases eventually diffuse
fossil fuel consumed) per unit energy available for some CO2 back to the atmosphere.
human power consumption than would be emitted as Carbon dioxide dissolves in water and slowly
CO2 to the atmosphere without sequestration, some corrodes carbonate sediment, resulting in the storage
of which may return later to the atmosphere from of fossil fuel carbon primarily as bicarbonate ions
leaky reservoirs. dissolved in the ocean. Left to nature, the net reac-
Potential carbon sequestration reservoirs include tion CO2 þ H2O þ CaCO3-Ca2 þ þ HCO–3 would
oceans, trees, soils, depleted natural gas and oil occur on the timescale of B6000 years. Back
fields, deep saline reservoirs, coal seams, and solid diffusion to the atmosphere and pH impacts of
mineral carbonates (Fig. 4). The advantage of ocean CO2 disposal could be greatly diminished by
sequestration is that it is compatible with existing accelerating carbonate mineral weathering reactions
fossil fuel infrastructure, including CO2 injections for that would otherwise slowly neutralize the oceanic
enhanced recovery from existing oil and gas fields acidity produced by fossil fuel CO2.
Climate Change and Energy, Overview 369
A potentially far-reaching removal scheme involves these collectively represent o1% of global energy
reacting CO2 with the mineral serpentine to sequester production. Limited by low areal power densities
carbon as a solid in magnesium carbonate ‘‘bricks.’’ and intermittency of supply, renewables nonetheless
The core idea is to vastly accelerate silicate rock have the potential to power human civilization.
weathering reactions, which remove atmospheric However, they require substantial investment in
CO2 over geologic timescales. Atmospheric CO2 is critical enabling technologies before they can be real
sequestered on geologic timescales by weathering CO2 emission-free energy options at the global scale
calcium and magnesium silicate rocks. The net (Figs. 5 and 6).
reaction with calcium silicate is schematically repre- Solar flux at Earth’s orbital distance perpendicular
sented as CO2 þ CaSiO3-SiO2 þ CaCO3. Nature to the sun’s rays is SoB1370 W m2. Sun power at
(rainfall, runoff, biology, and tectonics) precipitates the surface averaged over day–night cycles is reduced
the calcium carbonate product as seashell sediment by the fraction of Earth’s disk to surface areas
and coral reefs. (Atmospheric CO2 would be depleted (f1 ¼ 0.25), cloud fraction (f2B0.5), and fraction of
in B400,000 years were it not replenished by CO2 sunlight reaching the surface under clear skies
emissions from volcanoes and hydrothermal vents.) (f3B0.8): Ssurf ¼ f1f2f3SoB0.1 SoB140 W m2. [The
Carbon dioxide sequestration is a valuable bridge factor of 10 solar flux reduction is a major argument
to renewable and/or nuclear energy. If emission-free for putting solar collectors in space.] Commercial
primary power at 10–30 TW levels is unavailable by photovoltaic arrays are 10–15% efficient, producing
midcentury, then enormous sequestration rates could a long-term mean power B10–20 We m2 (the
be needed for atmospheric CO2 stabilization (Fig. 4). theoretical peak for single bandgap crystalline cells
In light of these requirements, research and demon- is B24%; it is higher for multi-bandgap cells and
stration investments are required now for sequestra- lower for the most cost-effective amorphous thin-
tion technology to be available at the required scale film cells).
when needed. Wind power per surface area depends on the
fraction of wind turbine disk to surface area
minimizing interference from adjacent turbines
4. RENEWABLES (B0.1), air density (rB1.2 kg m3), and wind speed
(UB5 m s1): Pwind ¼ 0.1 (1/2)rU3B15 W m2.
4.1 Biomass There are typically large local variations. Wind
turbine efficiencies of 30–40% yield B5 We m2
Biomass energy farms with tree regrowth can (theoretical peak is the Betz limit of B59.3%; actual
produce energy with zero net CO2 emissions. efficiency depends on wind spectrum and ‘‘cut-in’’
Unfortunately, photosynthesis is too inefficient speeds).
(B1%) for bioenergy to be the answer to CO2 The capital costs of PV arrays and wind turbines
stabilization. Producing 10 TW from biomass would are rapidly decreasing. Locally, cost-effective wind
require at least 10% of Earth’s land area, comparable power is available at many sites that tend to be
to all human agriculture. Competition for land with remote and offshore high-wind locations. Distribu-
agriculture and biological diversity is a likely tion to consumers is limited by long-distance
showstopper for bioenergy as a dominant factor in transmission costs. It is argued that the annualized
climate stabilization, although it could be a notable total consumption of electric energy within the
contributor in some locales. United States could be supplied by PV arrays
covering a fraction of Nevada’s relatively clear-sky
deserts. It is similarly argued that the annualized
4.2 Wind and Solar
consumption of global electric energy could be
Solar and wind with electric currents or H2 as energy supplied by connected arrays of photovoltaics in
carriers have great potential because their planetary- the deserts of Asia, North Africa, the Americas, and
mean areal power densities are greater than those for Australia. However, arrays of terrestrial photovol-
biomass, hydroelectricity, ocean, and geothermal taics intended to be the sole supplier of large-scale
power. Considerable effort has been expended in commercial power face daunting problems, includ-
recent years on the suite of renewable energy ing the continental and global distribution of power
systems––solar thermal and photovoltaic (PV), wind, and uncertainties in the supply of sunlight at the
hydropower, biomass, ocean thermal, geothermal, surface of Earth and the total energy storage
and tidal. With the exception of hydroelectricity, requirements.
370 Climate Change and Energy, Overview
A challenge for demand-driven global energy sources. Decarbonization and fuel switching to
systems is intermittency from variable clouds and natural gas and eventually H2 will not mitigate
winds. Solar and wind are intermittent, spatially global warming. The underlying problem is the need
dispersed sources unsuited to baseload electricity for non-CO2-emitting primary power sources during
without breakthroughs in transmission and storage. the next 50 years capable of generating 10–30 TW.
Meeting urban electricity demand over day–night Figure 5 depicts electricity routed directly to
cycles and during overcast periods with locally sited consumers via grid or employed to make hydrogen
PV arrays requires prohibitively massive pumped- from water. (Photoelectrochemical cells combining
storage or lead–acid batteries. A solar–hydrogen PV and electrolysis cells in one unit are also being
economy with electrolyzers, storage tanks, and studied.) Water electrolysis employs H2O as both
pipelines could be self-sufficient in principle. How- feedstock and electrolyte (hydroxyl ions, OH,
ever, solar–hydrogen system costs are so high that present in low concentrations in water are the charge
many advocates of H2 as an energy carrier promote carriers). Commercial electrolyzers employ various
fossil fuel or nuclear as the primary energy source. electrolytes (and ions) to raise ionic conductivity in
alkaline water (K þ and OH), solid polymer PEM
(H þ ), and ceramic solid oxide (O 2 ) cells. When a
stored locally, dependence on grids and pipelines Routing electricity over tens of thousands of
could be avoided. Such independence has perceived kilometers loss-free by ‘‘smart grids’’ could permit
advantages, particularly during utility outages such solar energy to flow from the Sahara to sub-Saharan
as those experienced in California. A natural gas fuel Africa, China, and India and nuclear energy to
cell path to renewables has the advantage of politically unstable regimes. Modern computer tech-
increasing fossil fuel energy efficiency on the way nology may permit grids smart enough to match
to renewable power, although it may require inter- supply from intermittent renewable sources to base-
nalizing the costs of air capture of its emitted CO2. load demands worldwide. The ultimate electric
Electricity costs from decentralized fuel cells are still utility deregulation would have buyers and sellers
many times more than those from utility grids, owing worldwide creating the market price of a kilowatt-
largely to precious metal catalysts employed by hour on the grid.
commercial reformers and fuel cell stacks.
FIGURE 7 Capturing and controlling sun power in space. Microwave beams can propagate power efficiently along lines-
of-sight over long distances. The power relay satellite, solar power satellite, and lunar power system all exploit unique
attributes of space (high solar flux, lines-of-sight, lunar materials, and shallow gravitational potential well of the moon). In
principle, a ring of these in geostationary orbit could power human civilization.
beam from a phased-array transmitter can be slued is concentrated spreads by a small angle even in
to track a surface rectenna. The flat transmitter array coherent diffraction-limited beams.) Unlike the case
of aperture Dt is steered electronically with phase for fusion, no basic scientific breakthroughs are
data from a computer homing on a pilot beam from needed. Dramatic reductions in launch costs that
the surface. Power is collected on the surface by a NASA is pursuing independently could accelerate the
rectenna of aperture Dr of quarter-wave antenna and technology.
Shottky diode elements. Most of the rectenna is A proposed short-term demonstration project
empty space, permitting vegetation and grazing would beam solar energy from low orbit. Relatively
below (Fig. 8). Biota and land use impacts could be small equatorial satellites could supply electricity to
minimal. A rectenna can produce the same power developing nations within a few degrees of the
with 1/10 the areal footprint as PV panels for equator. This appears feasible, but it would require
microwave intensities comparable to those routinely a large number of satellites for orbits below the
experienced by cell phone users (4100 million earth’s radiation belts for continuous power. Papua
worldwide). Theoretically, transmission efficiency, New Guinea, Indonesia, Ecuador, and Columbia on
Zt ¼ (DC power out)/(EM power transmitted), is the Pacific Rim, as well as Malaysia, Brazil,
490% when DtDr/(ld)Z2, where d is distance Tanzania, and the Maldives, have agreed to partici-
and with Zt ¼ 60% a reasonable target. Sunsats pate in a demonstration project.
bypassing fossil-fueled central power stations offers One cost-reduction strategy is the building of solar
a CO2 emission-free path to developing nation power satellites from materials mined and launched
electrification analogous to bypassing telephone lines from the moon. This requires less energy than
with cell phones. launches from Earth but implies a long-term commit-
Important progress has been made in SPS enabling ment to revisit the moon and exploit lunar resources.
technologies: solar power generation (already at For power generation and transmission, geostation-
30% efficiency and increasing), wireless power ary orbit 36,000 km above the equator has the
transmission, intelligent systems, and others. A advantage of presenting a fixed point in the sky but
major issue is the scale needed for net power has disadvantages as well. Alternate locations are
generation. Beam diffraction drives component sizes 200- to 10,000-km altitude satellite constellations,
up for distant orbits. (The ‘‘main lobe’’ where power the moon, and the earth–sun L2 Lagrange point.
Climate Change and Energy, Overview 373
Sun-tracking
PV arrays in
orbit
Solar
power
satellite
Phased-array
transmitting
antenna To grid and
local power
consumers
Dt
Power
regulation
Pilot
Microwave beam
power
beam
DC out
Dr
Rectenna
(rectifying
antenna)
FIGURE 8 When a line-of-sight exists, the beam from a phased-array transmitter can be slued to track a surface rectenna.
Most of the rectenna is empty space, permitting vegetation and grazing below. Biota and land use impacts could be minimal. A
rectenna can produce the same power with 1/10 the areal footprint as photovoltaic (PV) panels for microwave intensities
comparable to those routinely experienced by cell phone users.
With adequate research investments, space solar space has the potential to deliver baseload power to
power could be matured and demonstrated in the global markets remote from electrical transmission
next 15–20 years, with a full-scale pilot plant lines and/or hydrogen pipelines. It could thus be an
(producing B1–3 GWe for a terrestrial market) in effective complement to terrestrial renewable elec-
the 2025–2040 timeframe. Solar power beamed from tricity for developing nations. In the long term, space
374 Climate Change and Energy, Overview
solar power could help stabilize global climate, reactor (LWR, in both pressurized and boiling
provide a transition from military projects for aero- versions); heavy water (CANDU); graphite-moder-
space industries, create new ‘‘orbital light and power’’ ated, steam-cooled (RBMK), like the plant at
industries, and foster international cooperation. Chernobyl; and gas-cooled graphite. A total of
85% are LWRs, based on Hyman Rickover’s choice
for the first nuclear submarine and commercial
6. FISSION AND FUSION power reactor. The first electricity-generating com-
mercial reactor (Shippingsport, PA) went online on
6.1 Fission
December 2, 1957––18 years after the Hahn–
Nuclear electricity is fueled by fissioning the U-235 Strassmann paper.
isotope––0.72% of natural uranium, usually slightly The LWR, primarily a ‘‘burner’’ powered by
enriched in fuel rods. Neutrons liberated from uranium slightly enriched in 235U in zirconium
fissioning nuclei (two or three per fission event) are alloy-clad fuel rods, employs H2O as both coolant
moderator slowed to foster chain reactions in further and working fluid (Fig. 9). Power is controlled by
uranium nuclei. Approximately 200 MeV of energy is moderator rods that increase fission rates when
released in each fission and appears as kinetic energy lowered into the core. LWRs and their variants,
of the fission fragments. Reactors operate near steady and a smaller number of reactors employing D2O
states (criticality) in which heat is transferred by (heavy water), produce CO2 emission-free power
coolants to steam turbogenerators. Current nuclear (18% of global electricity; o5% primary power).
reactor technology provides CO2 emission-free elec- However, they are susceptible to loss-of-coolant
tricity while posing unresolved problems of waste meltdowns and their efficiencies are limited by
disposal and nuclear weapons proliferation. 600 K steam temperatures exiting the boiler. (Boiler
Otto Hahn and Fritz Strassmann (working with pressures are set lower in nuclear plants [r160 bar]
Lisa Meitner) discovered that bombarding natural than in fossil-fueled plants because of radioactivity
uranium with neutrons moving at a few eV split the danger from explosions.)
nucleus, releasing a few hundred million eV: The ‘‘passively safe’’ helium-cooled, pebble-bed
235
U þ n-fission products þ 2.43n þ 202 MeV. The reactor (Fig. 9) is theoretically immune to melt-
235
U isotope, 0.72% of natural uranium, is often downs. Helium coolant exits the core at 1200 K,
enriched to 2 to 5% in reactor fuel rods. The B500 driving a 40% efficient gas turbine/generator. Its
nuclear power plants worldwide today are technol- graphite-coated fuel pebbles are designed not to melt
ogy variants of 235U thermal reactors: the light water even if coolant flow stops.
Steam Helium
Turbine Turbine
Control & Generator Generator
fuel rods Fuel pebbles
Steam
Moderator generator
Water
Core coolant
Graphite Core
pebbles
& liner
6.2 Fuel Supply and Breeders through a hypothetical seawater extraction plant to
yield 235U fuel at 10 TW is
The overriding hurdle for fission as an emission-free
power source is the mind-boggling scale of power 1:37 1018 m3 1 year
10 TW
buildup required: ‘‘Once through’’ reactors burning 8 10 TW year 3:15 107 s
4
235
U at 10 TW will exhaust identified ore deposits in ¼ 5:4 106 m3 s1 ;
5–30 years, and mining the oceans for uranium
requires seawater processing at flow rates more than approximately five times global river runoff.
five times global river runoff. Breeding fertile 232Th Fissionable fuels could be made by breeding
and 238U can increases fissile fuels B100 times, but a Pu-239 and/or U-233, which do not exist in nature.
massive commitment to neutron production is They must be bred from their feed stocks, U-238
needed to make fuel fast enough. Moreover, diver- (B99% of uranium) and Th-232 (B100% of
sion of nuclear fuel by terrorists and rogue regimes thorium), using suitable neutron sources (238U þ
and disposal of high-level reactor wastes are un- n-239Pu; 232Th þ n-233U). Fission energy per unit
resolved issues. mass is comparable to U-235 (239Pu þ n-fission
Current best estimates of U-235 primary energy in products þ 2.9n þ 210 MeV; 233U þ n-fission pro-
crustal ores are 60–300 TW/year. Current estimates ducts þ 2.5n þ 198 MeV). We estimate that breeding
of uranium in proven and ultimately recoverable could increase fission energy resources by factors of
resources are 3.4 and 17 million tonnes, respectively. 60 and 180 for Pu-239 and U-233, respectively.
Deposits containing 500–2000 ppmw are considered Breeding rates depend on feedstock mining rates and
recoverable. Vast amounts of uranium in shales at availability of neutrons.
concentrations of 30–300 ppmw are unlikely to be Breeders might be more attractive if fuel cycles
recoverable because of high processing and environ- safely transmuting high-level wastes could be devel-
mental costs. The fission energy per tonne 235U is oped. The conclusion is inescapable that breeders
202 MeV have to be built very soon for fission to significantly
235 amu 1:661 1027 kg=amu displace CO2 emissions. If one goes the breeder
route, then thorium is a preferable feedstock to
1:602 1013 J 103 kg uranium because U-233 is more difficult than
1 MeV 1 tonne plutonium to separate from nuclear wastes and
16 J divert to weapons.
¼ 8:3 10 :
tU-235
The energy content of the U-235 isotope in natural
6.3 Fusion
uranium is therefore 0.0072 8.3 1016
14
J t B5.7 10 J t , and the energy in proven
1 1
The best hope for sustainable carbon emission-free
uranium reserves and ultimately recoverable re- nuclear power may not be fission but, rather, fusion.
sources is B61 and 300 TW/year, respectively The focus so far has been on the D–tritium (T)
(1 TW/year ¼ 31.5 EJ). At 10 TW, reserves and ulti- reaction (D þ T-4He þ n þ 17.7 MeV). Controlled
mate resources of fissionable uranium last only 6 and fusion is difficult. Temperatures in the 30- to 300-
30 years, respectively. However, the recoverable million K range are needed, hence the skepticism
uranium ore may be underestimated due to lack of about ‘‘cold fusion.’’ To ignite the plasma, energy is
exploration incentives. normally input by neutral particle beams or lasers. In
What about the seas? Japanese researchers pro- a reactor, energy would emerge as neutrons penetrat-
pose harvesting dissolved uranium with organic ing reactor walls to a liquid lithium blanket
particle beds immersed in flowing seawater. The ultimately driving steam turbines.
oceans contain 3.2 106 kg of dissolved uranium The most successful path to fusion has been
per cubic meter––a U-235 energy density of 1.8 confining a D þ T plasma with complex magnetic
million J/m3. Multiplying by the oceans’ huge volume fields and heating it to ignition by neutral particle
(1.37 1018 m3) gives large numbers: 4.4 billion beams in a toroidal near-vacuum chamber (tokamak;
tonnes of uranium and 80,000 TW/year in U-235. Fig. 10). Classically, the 100- to 300-million K
Even with 100% U-235 extraction, the volumetric plasma should be contained by the magnetic fields,
flow rate to make reactor fuel at the 10-TW rate is but in the real world ‘‘anomalous’’ diffusion (turbu-
five times the outflow of all Earth’s rivers, which is lence) has taken decades to suppress. ‘‘Breakeven’’ is
1.2 106 m3 s1. By comparison, the flow rate when input power equals the power of fusion
376 Climate Change and Energy, Overview
Iron transformer
core n•τ•kT (m−3s keV)
1020
Poloidal 1019
magnetic Fusion
field 1018
Plasma current triple
product
(secondary circuit) 1017
Toroidal 1016
Resultant helical magnetic field
magnetic field 10
Tokamak (MW)
Tokamak magnetic fusion
1
confinement performance Input
Levitation data power
coil 0.1
19
10
(Neutrons s−1)
N
1018
Levitated
S magnetic 1017
dipole
Levitated confinement D-T
superconducting ring 1016
neutron
production
Helmholtz rate
shaping coils 1015
Charging and
cryogenics
1975 1985 1995
Year achieved
FIGURE 10 Fusion. The most successful path to fusion has been confining a deuterium þ tritium plasma with complex
magnetic fields and heating it to ignition by neutral particle beams (not shown) in a toroidal near-vacuum chamber (tokamak).
Breakeven is when input power equals the power of fusion neutrons hitting the innermost reactor wall. This requires the fusion
triple product (number density confinement time temperature) to equal a critical value. Despite progress, engineering
breakthroughs are needed for fusion electricity to be viable. Experimental work on advanced fusion fuel cycles is being pursued
at the National Ignition Facility and on simpler magnetic confinement schemes such as the levitated dipole experiment shown.
neutrons hitting the innermost reactor wall. This throughs are needed for fusion electricity to be
requires the fusion triple product (number densi- viable. Short-term experiments are advocated on
ty confinement time temperature) to equal a accelerated breeding of fissile fuels from the high
critical value. Recent tokamak performance im- neutron flux in D–T fusion blankets. Fission–fusion
provements have been dramatic, capped by near hybrids could impact CO2 stabilization by midcen-
breakeven. Commercial plants would surround the tury, even if pure fusion is delayed. (Current nuclear
torus wall with neutron-absorbing molten lithium weapons, for example, use both fission and fusion
blankets where tritium is bred and heat exchanged nuclear reactions to create powerful explosions.)
with turbogenerators––the latter feeding electricity Experimental work includes simpler magnetic con-
back to heaters and magnets, with excess power to finement schemes such as the levitated dipole
consumers. Despite progress, engineering break- experiment shown in Fig. 10.
Climate Change and Energy, Overview 377
Currently, there is no fusion-generated electricity. fission–fusion breeder path will also require (actually
However, researchers have very nearly achieved and perceived) safe 233U fission reactor and fuel
breakeven [Q ¼ (neutron or charged particle energy cycles by midcentury.
out)/(energy input to heat plasma) ¼ 1] with to More difficult to ignite than D–T, there is renewed
kamak magnetic confinement proposed in the interest in the D–3He reaction (D þ 3He-4He þ
1950s by Igor Tamm and Andrei Sakharov. Reactor p þ 18.3 MeV), which yields charged particles
power balances indicate that Q ¼ 1 for the D–T directly convertible to electricity with little radio-
reaction requires the product of number density n, activity (some neutrons may be produced by
confinement time t, and temperature T to satisfy the side reactions). Studies of D–3He and D–D burning
Lawson criteria: n t kTB1 1021 m3 s keV, in inertial confinement fusion targets are being
where k ¼ 0.0862 keV/MK. Experimental results conducted at Lawrence Livermore National Labora-
from the TFTR and JET tokamaks are within a tory. Computer modeling suggests that fast-ignited
factor of two of this value. The Lawson criteria for D–T spark plugs can facilitate ignition. Moreover,
breakeven with D–D and D–3He reactions requires a targets can be designed to release the vast majority
factor of 10 or higher triple product; net power- of their fusion energy as high-energy charged parti-
generating reactors require even higher Qs and triple cles leading to applications such as high-specific-
products. impulse propulsion for deep-space missions and
Tritium has to be bred from lithium direct energy conversion for power generation.
(n þ 6Li-4He þ T þ 4.8 MeV). Reactors burning D– Experiments are also under way testing dipole
T mixtures are thus lithium burners. Lithium in confinement by a superconducting magnet levitated
crustal ores bred to tritium could generate in a vacuum chamber. This method of plasma con-
16,000 TW/year, approximately twice the thermal finement was inspired by satellite observations of
energy in fossil fuels. This is no infinite power source, energetic plasma within the magnetospheres of the
although more lithium might be mined from the sea. outer planets, and it may be a prototype for D–3He
Deuterium in the oceans is virtually unlimited, fusion since theories predict low heat conduction at
whether utilized in the D–T reaction or the more high plasma pressure. Rare on Earth, 3He may be
difficult to ignite D–D reactions (-3He þ n þ cost-effective to mine from the moon and is even
3.2 MeV and -T þ p þ 4.0 MeV). D–T tokamaks more abundant in (and potentially recoverable from)
give the best plasma confinement and copious atmospheres of gas giant planets. Deuterium in
neutrons. seawater and outer planet 3He could provide
New devices with either a larger size or a larger global-scale power for a longer period than from
magnetic field strength are required for net power any source besides the sun.
generation. Demonstrating net electric power pro- Fission and fusion offer several options to combat
duction from a self-sustaining fusion reactor could be global warming. However, they can only become
a breakthrough of overwhelming importance. A operational by midcentury if strategic technologies
more near-term idea is fission–fusion hybrids. These are pursued aggressively now through research and
could breed fissionable fuel from thorium mixed with development and, in the case of nuclear fission, if
lithium in tokamak blankets. Each 14-MeV fusion outstanding issues of high-level waste disposal and
neutron, after neutron multiplication in the blanket, weapons proliferation are satisfactorily resolved.
can breed one 233U atom (burned separately in a
nuclear power plant) and one T atom. Since 233U þ n
fission releases B200 MeV, the power output of a 7. GEOENGINEERING
fission–fusion plant could be B15 times that of a
fusion plant alone. A fusion breeder could support No discussion of global warming mitigation would
many more satellite reactors than a fission breeder. be complete without mentioning geoengineering,
Fusion is energy poor but neutron rich, whereas which is also called climate engineering or planetary
fission is energy rich but neutron poor: Their engineering on Earth and terraforming on other
marriage might breed fissionable fuel fast enough to planets. CO2 capture and sequestration having
help stabilize the fossil fuel greenhouse. Our analysis entered the mainstream, geoengineering today refers
indicates that a fission–fusion hybrid plant based on mainly to altering the planetary radiation balance to
existing tokamak technology but requiring major affect climate. Roger Revelle and Hans Suess
experimental confirmation might begin breeding fuel recognized early on that mining and burning fossil
for 300-MW reactors in 10–15 years. However, the fuels to power our industrial civilization was an
378 Climate Change and Energy, Overview
L3
X
1 AU ≈
150 × 106 km
Earth-Sun
Lagrangian
points
SUN
X X
L4 L5
Parasol screen
or lens
L1
X
~ 0.01 AU
Aerosol Earth
scatterers
in the atmosphere X
L2
FIGURE 11 Space-based geoengineering. A 2000-km-diameter parasol near L1 could deflect 2% of incident sunlight,
roughly compensating for the radiative forcing from CO2 doubling. Deployment of stratospheric aerosols with optical
properties engineered to compensate for adverse climatic change is also proposed, although continuous injections of upper-
atmosphere particles to maintain 2% sunblocking could have unintended adverse consequences.
Climate Change and Energy, Overview 379
Taxes and Climate Change Climate Change and Johansson, T. B., Kelly, H., Reddy, A. K. N., and Williams, R. H.
Public Health: Emerging Infectious Diseases Climate (eds.). (1993). ‘‘Renewable Energy.’’ Island Press, Washington,
DC.
Change: Impact on the Demand for Energy Climate Metz, B., Davidson, O., Swart, R., and Pan, J. (eds.). (2001).
Protection and Energy Policy Energy Efficiency and ‘‘Climate Change 2001: Mitigation: Contribution of Working
Climate Change Greenhouse Gas Emissions from Group III to the Third Assessment Report of the Intergovern-
Energy Systems, Comparison and Overview mental Panel on Climate Change.’’ Cambridge Univ. Press,
New York.
Nakicenovic, N., and Swart, R. (eds.). (2001). ‘‘Emissions
Further Reading Scenarios: A Special Report of Working Group III of the
Department of Energy ‘‘The Vision 21 Energy Plant of the Future.’’ Intergovernmental Panel on Climate Change.’’ Cambridge Univ.
Available at http://www.fe.doe.gov. Press, New York.
Fowler, T. K. (1997). ‘‘The Fusion Quest.’’ Johns Hopkins Univ. Nakicenovic, N., Grübler, A., and McDonald, A. (1998). ‘‘Global
Press, Baltimore. Energy Perspectives.’’ Cambridge Univ. Press, New York.
Glaser, P. E., Davidson, F. P., and Csigi, K. I. (eds.). (1997). ‘‘Solar National Laboratory Directors (1997). ‘‘Technology Opportunities
Power Satellites.’’ Wiley–Praxis, New York. to Reduce U.S. Greenhouse Gas Emissions.’’ U.S. Department
Hoffert, M. I., Caldeira, K., Jain, A. K., Haites, E. F., Harvey, L. D. of Energy, Washington, D.C. Available at http://www.ornl.gov.
D., Potter, S. D., Schlesinger, M. E., Schneider, S. H., Watts, R. National Research Council (1996). ‘‘Nuclear Wastes: Technologies
G., Wigley, T. M. L., and Wuebbles, D. J. (1998). Energy for Separations and Transmutations.’’ National Academy Press,
implications of future stabilization of atmospheric CO2 content. Washington, DC.
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Hoffert, M. I., Caldeira, K., Benford, G., Criswell, D. R., Green, C., Development.’’ Office of Fossil Energy, Department of Energy,
Herzog, H., Katzenberger, J. W., Kheshgi, H. S., Lackner, K. S., Washington, DC. Available at http://www.ornl.gov.
Lewis, J. S., Manheimer, W., Mankins, J. C., Marland, G., Mauel, Smil, V. (1999). ‘‘Energies: An Illustrated Guide to the Biosphere
M. E., Perkins, L. J., Schlesinger, M. E., Volk, T., and Wigley, T. and Civilization.’’ MIT Press, Cambridge, MA.
M. L. (2002). Advanced technology paths to global climate Watts, R. G. (2002). ‘‘Innovative Energy Systems for CO2
stability: Energy for a greenhouse planet. Science 295, 981–987. Stabilization.’’ Cambridge Univ. Press, New York.
Climate Change and
Public Health: Emerging
Infectious Diseases
PAUL R. EPSTEIN
Harvard Medical School Center for Health and the Global Environment
Boston, Massachusetts, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 381
382 Climate Change and Public Health: Emerging Infectious Diseases
century. To explain the global warming during the rain at high latitudes. Overall ocean warming speeds
20th century of approximately 11C, according to all up the water cycle, increasing evaporation. The
studies reviewed by the Intergovernmental Panel on warmed atmosphere can also hold and transport
Climate Change, one must invoke the role of heat- more water vapor from low to high latitudes. Water
trapping greenhouse gases (GHGs), primarily carbon falling over land is enhancing discharge from five
dioxide (CO2), oxides of nitrogen, methane, and major Siberian rivers into the Arctic, and water
chlorinated hydrocarbons. These gases have been falling directly over the ocean adds more fresh water
steadily accumulating in the lower atmosphere (or to the surface.
troposphere), out to about 10 km, and have altered The cold, freshened waters of the North Atlantic
the heat budget of the atmosphere, the world ocean, accelerate transatlantic winds, and this may be one
land surfaces, and the cryosphere (ice cover). factor driving frigid fronts down the eastern U.S.
For the past 420,000 years, as measured by the seaboard and across to Europe and Asia in the winters
Vostok ice core in Antarctica, CO2 has stayed within of 2002–2004. The North Atlantic is also where deep-
an envelope of between 180 and 280 parts per water formation drives thermohaline circulation, the
million (ppm) in the troposphere. Today, the level of ‘‘ocean conveyor belt,’’ considered key to climate
CO2 is 370 ppm and the rate of change during the stabilization. In the past few years, the northern
past century surpassed that observed in ice core North Atlantic has freshened, and since the 1950s the
records. Ocean and terrestrial sinks for CO2 have deep overflow between Iceland and Scotland has
presumably played feedback roles throughout mil- slowed by 20%.
lennia. Today, the combustion of fossil fuels (oil, The ice, pollen, and marine fossils reveal that cold
coal, and natural gas) is generating CO2 and other reversals have interrupted warming trends in the
GHGs, and the decline in sinks, primarily forest past. The North Atlantic Ocean can freshen to a
cover, accounts for 15–20% of the buildup. point at which the North Atlantic deep-water
pump—driven by sinking cold, salty water that is
in turn replaced by warm Gulf Stream waters—can
1.1 Climate Stability
suddenly slow. Approximately 13,000 years ago,
As important as the warming of the globe is to when the world was emerging from the Last Glacial
biological systems and human health, the effects of Maximum and continental ice sheets were thawing,
the increased extreme and anomalous weather that the Gulf Stream abruptly changed course and shot
accompanies the excess energy in the system may be straight across to France. The Northern Hemisphere
even more profound. As the rate of warming refroze—for the next 1300 years—before tempera-
accelerated after the mid-1970s, anomalies and wide tures increased again, in just several years, warming
swings away from norms increased, suggesting that the world to its present state.
feedback, corrective mechanisms in the climate Calculations (of orbital cycles) indicate that our
system are being overwhelmed. Indeed, increased hospitable climate regime was not likely to end due
variability may presage transitions: Ice core records to natural causes any time soon. However, the recent
from the end of the last ice age (B10,000 years ago) buildup of heat-trapping greenhouse gases is forcing
indicate that increased variability was associated the climate system in new ways and into uncharted
with rapid change in state. seas.
Further evidence for instability comes from the
world ocean. Although the ocean has warmed overall
in the past century, a region of the North Atlantic has
1.2 Hydrological Cycle
cooled in the past several decades. Several aspects of
global warming are apparently contributing. Warming is also accelerating the hydrological
Recent warming in the Northern Hemisphere has (water) cycle. As heat builds up in the deep ocean,
melted much North Polar ice. Since the 1970s, the down to 3 km, more water evaporates and sea ice
floating North Polar ice cap has thinned by almost melts. During the past century, droughts have lasted
half. A second source of cold fresh water comes from longer and heavy rainfall events (defined as 45 cm/
Greenland, where continental ice is melting at higher day) have become more frequent. Enhanced evapo-
elevations each year. Some meltwater is trickling transpiration dries out soils in some regions,
down through crevasses, lubricating the base, accel- whereas the warmer atmosphere holds more water
erating ice ‘‘rivers,’’ and increasing the potential for vapor, fueling more intense, tropical-like down-
sudden slippage. A third source of cold fresh water is pours elsewhere. Prolonged droughts and intense
Climate Change and Public Health: Emerging Infectious Diseases 383
precipitation have been especially punishing for transmitted person to person (e.g., tuberculosis and
developing nations. diphtheria). The resurgence and redistribution of
Global warming is not occurring uniformly. It is infections involving two or more species—mosqui-
occurring twice as fast as overall warming during the toes, ticks, deer, birds, rodents, and humans—reflect
winter and nighttime, a crucial factor in the changing ecological and climatic conditions as well
biological responses, and the winter warming is as social changes (e.g., suburban sprawl).
occurring faster at high latitudes than near the topics. Waves of infectious diseases occur in cycles. Many
These changes may be due to greater evaporation upsurges crest when populations overwhelm infra-
and the increased humidity in the troposphere structures or exhaust environmental resources, and
because water vapor is a natural greenhouse gas sometimes pandemics can cascade across continents.
and can account for up to two-thirds of all the heat Pandemics, in turn, can affect the subsequent course
trapped in the troposphere. Warming nights and of history. The Justinian plague emerged out of the
winters along with the intensification of extreme ruins of the Roman Empire in the 6th-century ad and
weather events have begun to alter weather patterns arrested urban life for centuries. When the plague,
that impact the ecological systems essential for carried by rodents and fleas, reappeared in the
regulating the vectors, hosts, and reservoirs of repopulated and overflowing urban centers of the
infectious diseases. 14th century, it provoked protests and helped end
Other climate-related health concerns include feudal labor patterns. In ‘‘Hard Times,’’ Charles
temperature and mortality, especially the role of Dickens describes another transitional period in the
increased variability in heat and cold mortality; overcrowded 19th-century England:
synergies between climate change and air pollution,
Of tall chimneys, out of which interminable serpents of
including CO2 fertilization of ragweed and excess smoke trailed themselves forever and ever, and never got
pollen production, asthma, and allergies; travel uncoiled y where the piston of the steam-engine worked
hazards associated with unstable and erratic winter monotonously up and down like the head of an elephant in
weather; and genetic shifts in arthropods and rodents a state of melancholy madness.
induced by warming. This article focuses on climate
change and emerging infectious diseases. These conditions bred smallpox, cholera, and tuber-
culosis. However, society responded with sanitary
and environmental reform, and the epidemics aba-
2. CLIMATE AND ted. How will our society respond to the current
INFECTIOUS DISEASE threat to our health and biological safety?
Temperature thresholds limit the geographic range coming a dominant theme, disrupting relationships
of mosquitoes. Transmission of Anopheline-borne among predators and prey that prevent the prolifera-
falciparum malaria occurs where temperatures exceed tion of pests and pathogens.
161C. Yellow fever (with a high rate of mortality) and
dengue fever (characterized by severe headaches and
bone pain, with mortality associated with dengue 4. CLIMATE CHANGE AND
hemorrhagic fever and dengue shock syndrome) are BIOLOGICAL RESPONSES
both carried by Aedes aegypti, which is restricted by
the 101C winter isotherm. Freezing kills Aedes eggs, Northern latitude ecosystems are subjected to regularly
larvae, and adults. Thus, given other conditions, such occurring seasonal changes. However, prolonged ex-
as small water containers, expanding tropical condi- tremes and wide fluctuations in weather may over-
tions can increase the ranges and extend the season whelm ecological resilience, just as they may under-
with conditions allowing transmission. mine human defenses. Summer droughts depress forest
Warm nights and warm winters favor insect defenses, increasing vulnerability to pest infestations.
survival. Fossils from the end of the last ice age Also, sequential extremes and shifting seasonal
demonstrate that rapid, poleward shifts of insects rhythms can alter synchronies among predators,
accompanied warming, especially of winter tempera- competitors, and prey, releasing opportunists from
tures. Insects, notably Edith’s checkerspot butterflies natural biological controls.
today, are superb paleothermometers, outpacing the Several aspects of climate change are parti-
march of grasses, shrubs, trees, and mammals in cularly important to the responses of biological
response to advancing frost lines. systems. First, global warming is not uniform.
In addition to the direct impacts of warming on Warming is occurring disproportionately at high
insects, volatile weather and warming can disrupt latitudes, above Earth’s surface and during winter
co-evolved relationships among species that help to and nighttime. Areas of Antarctica, for example,
prevent the spread of ‘‘nuisance’’ species. have already warmed over 11C this century, and the
temperatures within the Arctic Circle have warmed
5.51C in the past 30 years. Since 1950, the Northern
3. PEST CONTROL: ONE OF Hemispheric spring has occurred earlier and fall
NATURE’S SERVICES later.
Although inadequately studied in the United
Systems at all scales have self-correcting feedback States, warm winters have been demonstrated
mechanisms. In animal cells, errors in structural to facilitate overwintering and thus northern migra-
genes (mismatched base pairs) resulting from radia- tion of the ticks that carry tick-borne encephalitis
tion or chemicals are ‘‘spell-checked’’ by proteins and Lyme disease. Agricultural zones are shifting
propagated by regulatory genes. Malignant cells that northward but not as swiftly as are key pests,
escape primary controls must confront an ensemble pathogens, and weeds that, in today’s climate,
of instruments that comprise the immune surveil- consume 52% of the growing and stored crops
lance system. A suite of messengers and cells also worldwide.
awaits invading pathogens—some that stun them, An accelerated hydrological cycle—ocean warm-
and others, such as phagocytes, that consume them. ing, sea ice melting, and rising atmospheric water
Natural systems have also evolved a set of vapor—is demanding significant adjustments from
pheromones and functional groups (e.g., predators, biological systems. Communities of marine species
competitors, and recyclers) that regulate the popula- have shifted. A warmer atmosphere also holds
tions of opportunistic organisms. The diversity of more water vapor (for each 11C warming 6%),
processes provides resistance, resilience, and insur- insulates escaping heat, and enhances greenhouse
ance, whereas the mosaics of habitat—stands of trees warming. Warming and parching of Earth’s surface
near farms that harbor birds and nectar-bearing intensifies the pressure gradients that draw in
flowers that nourish parasitic wasps—provide gen- winds (e.g., winter tornadoes) and large weather
eralized defenses against the spread of opportunists. systems.
Against the steady background beat of habitat Elevated humidity and lack of nighttime relief
fragmentation, excessive use of toxins, and the loss during heat waves directly challenge human (and
of stratospheric ozone—all components of global livestock) health. These conditions also favor mos-
environmental change—climate change is fast be- quitoes.
Climate Change and Public Health: Emerging Infectious Diseases 385
records suggest that greater variance from climate SSTs catalyzed the southern African deluge in
norms indicates sensitivity to rapid change. Today, February 2000.
the enhanced hydrological cycle is changing the Weather extremes, especially intense precipitation,
intensity, distribution, and timing of extreme weather have been especially severe for developing nations,
events. Large-scale weather patterns have shifted. and the aftershocks ripple through economies.
Warming of the Eurasian land surface, for example, Hurricane Mitch, nourished by a warmed Carib-
has apparently intensified the monsoons that are bean, stalled over Central America in November
strongly associated with mosquito- and water-borne 1998 for 3 days, dumping precipitation that killed
diseases in India and Bangladesh. The U.S. southwest more than 11,000 people and caused more than $5
monsoons may also have shifted, with implications billion in damages. In the aftermath, Honduras
for disease patterns in that region. reported 30,000 cases of cholera, 30,000 cases of
Extremes can be hazardous for health. Prolonged malaria, and 1000 cases of dengue fever. The
droughts fuel fires, releasing respiratory pollu- following year, Venezuela suffered a similar fate,
tants. Floods foster fungi, such as the house mold followed by malaria and dengue fever. In February
Stachybotrys atra, which may be associated with an 2000, torrential rains and a cyclone inundated large
emerging hemorrhagic lung disease among children. areas of southern Africa. Floods in Mozambique
Floods leave mosquito-breeding sites and also flush killed hundreds, displaced hundreds of thousands,
pathogens, nutrients, and pollutants into water- and spread malaria, typhoid, and cholera.
ways, precipitating water-borne diseases (e.g., Cryp- Developed nations have also begun to experience
tosporidium). more severe and unpredictable weather patterns.
Runoff of nutrients from flooding can also trigger In September 1999, Hurricane Floyd in North
harmful algal blooms along coastlines that can be Carolina afforded an abrupt and devastating end
toxic to birds, mammals, fish, and humans; generate to an extended summer drought. Prolonged droughts
hypoxic ‘‘dead zones’’; and harbor pathogens such as and heat waves are also afflicting areas of Europe.
cholera. In the summer of 2003, five European nations
experienced about 35,000 heat-associated deaths,
plus wildfires and extensive crop failures. Extreme
weather events are having long-lasting ecological
4.4 The El Niño/Southern Oscillation
and economic impacts on a growing cohort of
The El Niño/Southern Oscillation (ENSO) is one of nations, affecting infrastructure, trade, travel, and
Earth’s coupled ocean–atmospheric systems that tourism.
apparently helps to stabilize the climate system by The 1990s was a decade of extremes, each year
undulating between states every 4 or 5 years. ENSO marked by El Niño or La Niña (cold) conditions.
events are accompanied by weather anomalies that After 1976, the pace, intensity, and duration of ENSO
are strongly associated with disease outbreaks over events quickened, and extremes became more ex-
time and with spatial clusters of mosquito-, water-, treme. Accumulating heat in the oceans intensifies
and rodent-borne illnesses. The ENSO cycle also weather anomalies; it may be modifying the natural
affects the production of plant pollens, which are ENSO mode. Understanding how the various climate
directly boosted by CO2 fertilization, a finding that modes are influenced by human activities, and how
warrants further investigation as a possible contri- the modes interact, is a central scientific challenge,
butor to the dramatic increase in asthma since the and the results will inform multiple sectors of society.
1980s. Disasters such as the $10 billion European heat waves
Other climate modes contribute to regional and Hurricane Floyd suggest that the costs of climate
weather patterns. The North Atlantic Oscillation is change will be borne by all.
a seesaw in sea surface temperatures (SSTs) and sea
level pressures that governs windstorm activity
across Europe. Warm SSTs in the Indian Ocean (that 5. SEQUENTIAL EXTREMES
have caused bleaching of more than 80% of regional
coral reefs) also contribute to precipitation in eastern
AND SURPRISES
Africa. A warm Indian Ocean added moisture to the
5.1 Hantavirus Pulmonary Syndrome
rains drenching the Horn of Africa in 1997–1998
that spawned costly epidemics of cholera, mosquito- Extremes followed by subsequent extremes are
borne Rift Valley fever, and malaria, and warm particularly destabilizing for biological and physical
Climate Change and Public Health: Emerging Infectious Diseases 387
systems. Light rains followed by prolonged droughts 6. CASE STUDY: WEST NILE VIRUS
can lead to wildfires, and warm winter rains followed
by cold snaps beget ice storms. Warm winters also West Nile virus (WNV) was first reported in Uganda
create snowpack instability, setting the stage for in 1937. WNV is a zoonosis, with ‘‘spillover’’ to
avalanches, which are triggered by heavy snowfall, humans, which also poses significant risks for wild-
freezing rain, or strong winds. life, zoo, and domestic animal populations. Although
Polar researchers suspect that melting at the base it is not known how WNV entered the Western
of the Greenland ice sheet may be sculpting fault Hemisphere in 1999, anomalous weather conditions
lines that could diminish its stability. Shrinking may have helped amplify this Flavivirus that
of Earth’s ice cover (cryosphere) has implica- circulates among urban mosquitoes, birds, and
tions for water (agriculture, hydropower) and mammals. Analysis of weather patterns coincident
for albedo [reflectivity] that influences climate with a series of U.S. urban outbreaks of St. Louis
stability. encephalitis (SLE) (a disease with a similar life cycle)
The U.S. Institute of Medicine report of 1992 on and four recent large outbreaks of WNV revealed
emerging infectious diseases warned that conditions that drought was a common feature. Culex pipiens,
in the United States were ripe for the emergence of a the primary mosquito vector (carrier) for WNV,
new disease. What it did not foresee was that climate thrives in city storm drains and catch basins,
was to play a significant role in the emergence and especially in the organically rich water that forms
spread of two diseases in North America: the during drought and the accompanying warm tem-
hantavirus pulmonary syndrome in the Southwest peratures. Because the potential risks from pesticides
and the West Nile virus in New York City. for disease control must be weighed against the
health risks of the disease, an early warning system of
conditions conducive to amplification of the enzootic
5.1.1 Hantavirus Pulmonary Syndrome, U.S. cycle could help initiate timely preventive measures
Southwest, 1993 and potentially limit chemical interventions.
Prolonged drought in California and the U.S. south-
west from 1987 to 1992 reportedly reduced predators
of rodents: raptors (owls, eagles, prairie falcons,
6.1 Background on WNV
red-tailed hawks, and kestrels), coyotes, and
snakes. When drought yielded to intense rains in WNV entered the Western Hemisphere in 1999,
1993 (the year of the Mississippi floods), grass- possibly via migratory or imported birds from
hoppers and piñon nuts on which rodents feed Europe. Although the precise means of introduction
flourished. The effect was synergistic, boosting mice is not known, experience with a similar virus, SLE, as
populations more than 10-fold, leading to the well as the European outbreaks of WNV during the
emergence of a ‘‘new,’’ lethal, rodent-borne viral 1990s suggests that certain climatic conditions are
disease: the hantavirus pulmonary syndrome (HPS). conducive to outbreaks of this disease. Evidence
The virus may have already been present but suggests that mild winters, coupled with prolonged
dormant. Alterations in food supplies, predation droughts and heat waves, amplify WNV and SLE,
pressure, and habitat provoked by sequential ex- which cycle among urban mosquitoes (Culex pi-
tremes multiplied the rodent reservoir hosts and piens), birds, and humans.
amplified viral transmission. SLE and WNV are transmitted by mosquitoes to
Controlled experiments with rabbits demonstrate birds and other animals, with occasional spillover to
such synergies in population dynamics. Exclusion of humans. Culex pipiens typically breeds in organically
predators with protective cages doubles their popu- rich standing water in city drains and catch basins as
lations. With extra food, hare density triples. With well as unused pools and tires. During a drought,
both interventions, populations increase 11-fold. these pools become even richer in the organic
By summer’s end, predators apparently returned material that Culex needs to thrive. Excessive rainfall
(indicating retained ecosystem resilience) and the flushes the drains and dilutes the pools. Drought
rodent populations and disease outbreak abated. conditions may also lead to a decline in the number of
Subsequent episodes of HPS in the United States have mosquito predators, such as amphibians and dragon-
been limited, perhaps aided by early warnings. flies, and encourage birds to congregate around
However, HPS has appeared in Latin America, and shrinking water sites, where the virus can circulate
there is evidence of person-to-person transmission. more easily. In addition, high temperatures accelerate
388 Climate Change and Public Health: Emerging Infectious Diseases
the extrinsic incubation period (period of maturation) sewage system in which C. pipiens were breeding in
of viruses (and parasites) within mosquito carriers. abundance.
Thus, warm temperatures enhance the potential
for transmission and dissemination. Together, these 6.3.2 Russia, 1999
factors increase the possibility that infectious virus A large outbreak of WNV occurred in Russia in the
levels will build up in birds and mosquitoes living in summer of 1999 following a drought. Hospitals in
close proximity to human beings. the Volgograd region admitted 826 patients; 84 had
meningoencephalitis, of which 40 died.
(Health officials have also become convinced that The eastern part of the United States (where a cold,
WNV can be transmitted via organ transplant and snowy winter occurred in association with the North
blood transfusion.) Atlantic freshening and North Atlantic High along
Of greatest concern, however, WNV spread to 230 with continued warming of tropical waters) experi-
species of animals, including 138 species of birds and enced a relatively calm summer/fall in relation to
37 species of mosquitoes. Not all animals fall ill from WNV. (Both the Pacific and the Atlantic Oceans were
WNV, but the list of hosts and reservoirs includes in anomalous states beginning in the late 1990s. The
dogs, cats, squirrels, bats, chipmunks, skunks, rabbits, state of the Pacific created perfect conditions for
and reptiles. Raptors (e.g., owls and kestrels) have drought in many areas of the world.)
been particularly affected; WNV likely caused thou-
sands of birds of prey to die in Ohio and other states in
6.4 Public Health Implications
July 2002. Some zoo animals have died.
Note that the population impacts on wildlife and Multimonth drought, especially in spring and early
biodiversity have not been adequately evaluated. The summer, was found to be associated with urban SLE
impacts of the decline in birds of prey could ripple outbreaks from its initial appearance in 1933 through
through ecological systems and food chains and 1973 and with recent severe urban outbreaks of WNV
could contribute to the emergence of disease. in Europe and the United States. Each new outbreak
Declines in raptors could have dramatic conse- requires introduction or reintroduction of the virus,
quences for human health. These birds of prey are our primarily via birds or wildlife, so there have been
guardians because they prey on rodents and keep seasons without SLE outbreaks despite multimonth
their numbers in check. When rodent populations drought. Spread of WNV and sporadic cases may
explode—when floods follow droughts, forests are occur, even in the absence of conditions amplifying the
clear-cut, or diseases affect predators—their legions enzootic cycling. In Bayesian parlance, drought
can become prolific transporters of pathogens, increases the ‘‘prior probability’’ of a significant
including Lyme disease, leptospirosis, plague, hanta- outbreak once the virus becomes established in a
viruses and arenaviruses such as Lassa fever and region. Other factors, such as late summer rains that
Guaranito, Junin, Machupo, and Sabia, associated increase populations of bridge vectors, may affect
with severe hemorrhagic fevers in humans. transmission dynamics.
As of March 12, 2003, the Centers for Disease Con- Further investigation and modeling are needed
trol and Prevention reported the following for 2002: to determine the role of meteorological factors
and identify reservoirs, overwintering patterns,
Laboratory confirmed human cases nationally: 4156
and the susceptibility of different species associated
WNV-related deaths: 284
with WNV. The migration path of many eastern
Most deaths: Illinois (64), Michigan (51), Ohio (31),
U.S. birds extends from Canada across the Gulf
and Louisiana (25)
of Mexico to South America, and WNV has
There were also 14,045 equine cases in 38 states spread to Mexico, Central America, and the
reported to the U.S. Department of Agriculture Caribbean.
APHIS by state health officials as of November 26, Factors other than weather and climate contribute
2002. WNV has been associated with illness and to outbreaks of these two diseases. Antiquated urban
death in several other mammal species, including drainage systems leave more fetid pools in which
squirrel, wolf, and dog in Illinois and mountain goat mosquitoes can breed, abandoned tires and swim-
and sheep. The largest number of equine cases was ming pools are ideal breeding sites, and stagnant
reported in Nebraska. Because of the bird and rivers and streams do not adequately support healthy
mammal reservoirs for WNV, there is the potential fish populations to consume mosquito larvae. Such
for outbreaks in all eastern and Gulf States and into environmental vulnerabilities present opportunities
Canada in the future. for environmentally based public health interven-
tions following early warnings of conducive meteor-
6.3.6 United States, 2003 ological conditions.
In the summer of 2003, cases of WNV concentrated State plans to prevent the spread of and contain
in Colorado, the Dakotas, Nebraska, Texas, and WNV have three components:
Wyoming—areas that experienced prolonged spring
drought (and extensive summer wildfires) in associa- 1. Mosquito surveillance and monitoring of
tion with anomalous conditions in the Pacific Ocean. dead birds
390 Climate Change and Public Health: Emerging Infectious Diseases
2. Source (breeding site) reduction though larvi- warming in the North Atlantic have melted Arctic
ciding (Bacillus sphaericus and Altocid or metho- ice, plausibly contributing to a cold tongue from
prene) and neighborhood cleanups Labrador to Europe and enhancing the Labrador
3. Pesticide (synthetic pyrethrins) spraying, when Current that hugs the U.S. east coast. Such para-
deemed necessary. doxical cooling from warming and ice melting could
alter projections for climate, weather, and disease for
The information covering predisposing climatic northern Europe and the northeastern United States.
conditions and predictions of them may be most It is the instability of weather patterns that is of most
applicable for areas that have not yet experienced concern for public health and society.
WNV but lie in the flyway from Canada to the Gulf Winter is a blessing for public health in temperate
of Mexico. Projections of droughts (e.g., for north- zones, and deep cold snaps could freeze C. pipiens in
east Brazil during an El Niño event) could help focus New York City sewers, for example, reducing the risk
attention on these areas, enhancing surveillance of WNV during those cold winters. Thus, the greatest
efforts (including active bird surveillance), public threat of climate change lies not with year-to-year
communication, and environmentally friendly, public fluctuations but with the potential for a more
health interventions. They may also help set the stage significant abrupt change that would alter the life-
for earlier chemical interventions once circulating support systems underlying our overall health and
virus is detected. well-being.
Finally, in terms of the public perception and
concerns regarding the risks of chemical interven-
tions, understanding the links of WNV to climatic 8. CONCLUSION
factors and mobilizing public agencies, such as water
and sewage departments, to address a public health The resurgence of infectious diseases among humans,
threat may prove helpful in garnering public support wildlife, livestock, crops, forests, and marine life in
for the combined set of activities needed to protect the final quarter of the 20th century may be viewed
public health. as a primary symptom of global environmental and
The WNV may have changed because it took an social change. Moreover, contemporaneous changes
unusually high toll on birds in the United States. in greenhouse gas concentrations, ozone levels, the
Alternatively, North American birds were sensitive cryosphere, ocean temperatures, land use, and land
because they were immunologically naive. However, cover challenge the stability of our epoch, the
the unexpected outbreak of a mosquito-borne disease Holocene—a remarkably stable 10,000-year period
in New York City and rapid spread throughout the that followed the retreat of ice sheets from temperate
nation in 2002 also serve as a reminder of the zones. The impacts of deforestation and climatic
potential for exponential spread of pests and patho- volatility are a particularly potent combination
gens, and that pathogens evolving anywhere on the creating conditions conducive to disease emergence
globe—and the social and environmental conditions and spread. Given the rate of changes in local and
that contribute to these changes—can affect us all. global conditions, we must expect synergies and
new surprises.
Warming may herald some positive health out-
7. DISCONTINUITIES comes. High temperatures in some regions may
reduce snails, the intermediate hosts for schistoso-
Climate change may not prove to be a linear process. miasis. Winter mortality in the Northern Hemisphere
Polar ice is thinning and Greenland ice is retreating, from respiratory disease may decline. However, the
and since 1976 several small stepwise adjustments consequences of warming and wide swings in
appear to have reset the climate system. In 1976, weather are projected to overshadow the potential
Pacific Ocean temperatures warmed significantly; health benefits.
they warmed further in 1990 and cooled in 2000. The aggregate of air pollution from burning fossil
The intensity of ENSO has surpassed the intensity it fuels and felling forests provides a relentless desta-
had 130,000 years ago during the previous warm bilizing force on the earth’s heat budget. Examining
interglacial period. Cold upwelling in the Pacific the full life cycle of fossil fuels also exposes layers of
Ocean in 2000 could portend a multidecadal damages. Environmental damage from their mining,
correction that stores accumulating heat at inter- refining, and transport must be added to direct health
mediate ocean layers. Meanwhile, two decades of effects of air pollution and acid precipitation.
Climate Change and Public Health: Emerging Infectious Diseases 391
Returning CO2 to the atmosphere through their the global marketplace. International funds are also
combustion reverses the biological process by which needed to support common resources, such as
plants drew down atmospheric carbon and generated fisheries, and for vaccines and medications for
oxygen and stratospheric ozone, helping to cool and diseases lacking lucrative markets.
shield the planet sufficiently to support animal life. Human and ecological systems can heal after
time-limited assaults, and the climate system can also
be restabilized, but only if the tempo of destabilizing
9. NEXT STEPS factors is reduced. The Intergovernmental Panel on
Climate Change calculates that stabilizing atmo-
Solutions may be divided into three levels. First-order spheric concentrations of greenhouse gases requires a
solutions to the resurgence of infectious disease 60% reduction in emissions.
include improved surveillance and response capabil- Worldviews can also shift abruptly. Just as we may
ity, drug and vaccine development, and greater be underestimating the true costs of ‘‘business as
provision of clinical care and public health services. usual,’’ we may be vastly underestimating the eco-
Second is improved prediction. Integrating health nomic opportunities afforded by the energy transi-
surveillance into long-term terrestrial and marine tion. A distributed system of nonpolluting energy
monitoring programs—ecological epidemiology— sources can help reverse the mounting environmental
can benefit from advances in satellite imaging and assaults on public health and can provide the
climate forecasts that complement fieldwork. Health scaffolding on which to build clean, equitable, and
early warning systems based on the integrated healthy development in the 21st century.
mapping of conditions, consequences, and costs can
facilitate timely, environmentally friendly public
health interventions and inform policies. SEE ALSO THE
Anticipating the health risks posed by the extreme FOLLOWING ARTICLES
conditions facing the U.S. East Coast in the summer
of 1999 could have (a) enhanced mosquito surveil- Air Pollution, Health Effects of Climate Change
lance, (b) heightened sensitivity to bird mortalities and Energy, Overview Climate Change: Impact on
(that began in early August), and (c) allowed the Demand for Energy Climate Protection and
treatment of mosquito breeding sites, obviating Energy Policy Development and Energy, Overview
large-scale spraying of pesticides. Energy Efficiency and Climate Change Environ-
The third level is prevention, which rests on mental Injustices of Energy Facilities Gasoline
environmental and energy policies. Restoration of Additives and Public Health Greenhouse Gas
forests and wetlands, ‘‘nature’s sponges and kidneys,’’ Emissions from Energy Systems, Comparison and
is necessary to reduce vulnerabilities to climate and Overview
weather. Population stabilization is also necessary,
but World Bank data demonstrate that this is a
function of income distribution. Further Reading
Development underlies most aspects of health and Albritton, D. L., Allen, M. R., Baede, A. P. M., et al. (2001).
it is essential to develop clean energy sources. ‘‘IPCC Working Group I Summary for Policy Makers, Third
Assessment Report: Climate Change 2001: The Scientific
Providing basic public health infrastructure—sanita-
Basis.’’ Cambridge Univ. Press, Cambridge, U.K.
tion, housing, food, refrigeration, and cooking— Daszak, P., Cunningham, A. A., and Hyatt, A. D. (2000).
requires energy. Clean energy is needed to pump and Emerging infectious diseases of wildlife—Threats to biodiver-
purify water and desalinate water for irrigation from sity and human health. Science 287, 443–449.
the rising seas. Meeting energy needs with nonpol- Epstein, P. R. (1999). Climate and health. Science 285, 347–348.
luting sources can be the first step toward the Epstein, P. R., Diaz, H. F., Elias, S., Grabherr, G., Graham, N. E.,
Martens, W. J. M., Mosley-Thompson, E., and Susskind, E. J.
rational use of Earth’s finite resources and reduction (1998). Biological and physical signs of climate change: Focus
in the generation of wastes, the central components on mosquito-borne disease. Bull. Am. Meteorol. Soc. 78,
of sustainable development. 409–417.
Addressing all these levels will require resources. Harvell, C. D., Kim, K., Burkholder, J. M., Colwell, R. R.,
Just as funds for technology development were Epstein, P. R., Grimes, J., Hofmann, E. E., Lipp, E., Osterhaus,
A. D. M. E., Overstreet, R., Porter, J. W., Smith, G. W.,
necessary to settle the Montreal Protocol on ozone- and Vasta, G. (1999). Diseases in the ocean: Emerging
depleting chemicals, substantial financial incentives pathogens, climate links, and anthropogenic factors. Science
are needed to propel clean energy technologies into 285, 1505–1510.
392 Climate Change and Public Health: Emerging Infectious Diseases
Karl, T. R., and Trenbath, K. (2003). Modern climate change. National Research Council, National Academy of Sciences (2001).
Science 302, 1719–1723. ‘‘Abrupt Climate Change: Inevitable Surprises.’’ National
Levitus, S., Antonov, J. I., Boyer, T. P., and Stephens, C. (2000). Academy Press, Washington, DC.
Warming of the world ocean. Science 287, 2225–2229. Petit, J. R., Jouze, J., Raynaud, D., Barkov, N. I., Barnola, J. M.,
McCarthy, J. J., Canziani, O. F., Leary, N. A., Dokken, D. J., and Basile, I., Bender, M., Chapellaz, J., Davis, M., Delaygue, G.,
White, K. S. (eds.). (2001). ‘‘Climate Change 2001: Impacts, Delmotte, M., Kotlyakov, V. M., Legrand, M., Lipenkov, V. Y.,
Adaptation & Vulnerability Contribution of Working Group II Lorius, C., Peplin, L., Ritz, C., Saltzman, E., and Stievenard, M.
to the Third Assessment Report of the Intergovernmental (1999). Climate and atmospheric history of the past 420,000
Panel on Climate Change (IPCC).’’ Cambridge Univ. Press, years from the Vostok Ice Core, Antartica. Nature 399,
Cambridge, UK. 429–436.
McMichael, A. J., Haines, A., Slooff, R., and Kovats, S. (eds.). Rosenzweig, C., Iglesias, A., Yang, X. B., Epstein, P. R., and
(1996). ‘‘Climate Change and Human Health.’’ World Health Chivian, E. (2001). Climate change and extreme weather
Organization, World Meteorological Organization, and United events: Implications for food production, plant diseases, and
Nations Environmental Program, Geneva, Switzerland. pests. Global Change Hum. Health 2, 90–104.
Climate Change: Impact on the
Demand for Energy
TIMOTHY J. CONSIDINE
The Pennsylvania State University
University Park, Pennsylvania, United States
Glossary
cooling degree days This measure is the maximum of zero 1. IMPACT OF CLIMATE CHANGE
or the difference between the average daily temperature ON ENERGY DEMAND
at a given location and 651F. For example, if average
daily temperature is 851, there are 20 heating degree Establishing the impact of climate change on energy
days.
demand requires a measure of heating and cooling
elasticity The proportionate change in one variable in
requirements. In the United States, this measure is a
response to a proportionate change in a causal factor.
For example, an own-price elasticity of demand equal to degree day, which is defined in terms of an absolute
0.10 indicates that a 1% change in price reduces difference between average daily temperature and
consumption by 0.1%. 651F, which is an arbitrary benchmark for household
heating degree days This measure is the maximum of zero comfort. Heating degree days are incurred when
or the difference between 651F and the average daily outside temperatures are below 651F, generally during
temperature at a given location. For example, if average the winter heating season from October through
daily temperature is 351, there are 30 heating degree March. Cooling degree days occur when temperatures
days. exceed 651F, often during the summer cooling season
from April through September. Degree days are
Although the focus of many policy studies of climate intended to represent the latent demand for heating
change is on establishing the causal links between and air-conditioning services based on temperature
anthropogenic systems, emissions of greenhouse departures from the comfort level of 651F.
gases, and climate, the line of causation also runs Heating and cooling degree days are reported by
the other way. Short-term fluctuations in climate the National Oceanic and Atmospheric Administra-
conditions, particularly in the temperate zones on the tion at a weekly frequency for 50 cities throughout
planet, affect energy consumption. If the popular the United States. State, regional, and national
expectation that the climate will become warmer population weighted averages of heating and cooling
becomes a reality, we can expect winters and degree days are also reported and commonly used by
summers that are warmer than those of the past. the utility industry and energy commodity trading
Warmer summers induce people to use more air- community.
conditioning, which requires more electricity and Clearly, a higher number of degree days––heating,
greater consumption of fuels used to generate that cooling, or both––should be associated with greater
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 393
394 Climate Change: Impact on the Demand for Energy
fuel consumption. Estimating how energy consump- important element in understanding the global
tion rises for every degree day requires some form of carbon cycle. In addition, future climate change
model that links weather conditions to energy agreements may need to allow some variance in
consumption. There are two basic modeling ap- carbon emissions due to normal climate fluctuations.
proaches. One approach uses engineering models Many utilities and government agencies recognize
that estimate energy consumption by multiplying a the link between weather conditions and energy
utilization rate for an energy-consuming durable by a demand. Detecting the effects of climate trends on
fixed energy efficiency rate. For example, to compute weather conditions is not without controversy, and
the reduction in space heating energy from a warmer the following section explains some of the nuances of
winter, an engineering approach would involve detecting trends in heating and cooling degree days.
estimating the impact on the utilization rate and then Next, the formulation and construction of econo-
multiplying the fixed unit energy efficiency by this metric models of energy demand that incorporate
new utilization rate. The main advantage of this weather conditions are described in more detail.
approach is its high level of detail, although the Estimates of price, income, and weather elasticities
accuracy is often in doubt given the limited data from these models are described along with numer-
available to compute key parameters, such as utiliza- ical simulations of the impacts of climate change on
tion rates and unit energy efficiencies, particularly for U.S. energy demand. Finally, a discussion of the
older equipment. policy implications of the findings is presented.
Another approach develops statistical relationships
often specified by economists on the basis of
behavioral models that assume energy consumers, 2. RECENT CLIMATE TRENDS
such as households and businesses, maximize their
satisfaction conditional on heating and cooling degree Climatologists generally agree that there is accumu-
days, relative fuel prices, income or sales levels, and lating evidence that a warming trend has been
the technical characteristics of energy-consuming occurring since the mid-1960s. There are rather
durable equipment. Although this approach is more distinct seasonal and regional variations in the lower
abstract than engineering models, it captures the 48 states of the United States. Livezey and Smith
behavioral dimensions of energy demand. Econo- determined that the average national warming trend
metric models of energy demand are able to estimate has been 0.0151F per year. Since 1964, this implies
the separate effects of price, income, weather varia- that average annual temperature has increased by
tions, and other factors affecting energy demand. approximately one-half of one degree.
The sensitivities of energy demand to price, Nevertheless, there are some dissenting views,
weather, and other factors are expressed in terms of such as that of Balling, who argues that temperature
elasticities, defined as the percentage change in has not changed in any meaningful way since 1932.
energy consumption associated with a given percen- His analysis tests for linear trends in temperature and
tage change in one of these causal factors. The term finds no statistically significant trends in the data.
associated is used to convey that the relationship is Nonlinear trends, however, are possible and the
estimated based on a statistical model, which by evidence presented in Figs. 1 and 2 suggests that this
definition allows a random error that reflects a indeed is the case. The smooth lines are predicted
number of uncertainties stemming from the inherent temperatures from a simple nonlinear statistical
vagaries of human behavior. Such elasticities are a trend model in which degree days are specified as a
critical component in models of economic growth function of a constant, the time period, and the time
that are used to estimate the net social benefits of period squared. The hypothesis that these latter two
policies to mitigate or control greenhouse gas terms are individually or jointly zero could not be
emissions. If a warmer climate is likely and if this rejected. The probability levels, or the chances that
results in a net reduction in energy demand, then the this hypothesis is wrong, are zero for cooling degree
net social cost of greenhouse gas pollution would be days and slightly less than 2% for the heating degree
lower by the energy expenditure savings. Determin- day trend terms. Notice that the trend for cooling
ing the relevance and size of this potential effect has degree days is downward from 1932 to approxi-
broad implications for climate change policies. mately 1970 and then upward since then. Heating
Moreover, the feedback of climate change on energy degree days display the inverse pattern, increasing
demand also indirectly affects carbon emissions. during the early part of the sample but then
Over the long term, this feedback effect may be an decreasing during the 1980s and 1990s.
Climate Change: Impact on the Demand for Energy 395
5,500 peratures during the fall are actually lower for most
of the eastern and Midwest regions of the United
5,000 States. This finding suggests that studies linking
Heating degree days
relate energy consumption and these exogenous adopted. The first step determines the level of energy
factors. Moreover, this approach allows a consistent consumption in each sector, and the second deter-
representation of substitution possibilities among mines the mix of fuels to satisfy that total demand.
fuels. For instance, if the demand for natural gas In the first step, Considine specifies that aggregate
increases with an increase in fuel oil prices, suggest- energy demand is a simple log-linear function of real
ing that natural gas and fuel oil are substitutes, then energy price, income or output, fixed seasonal
the demand for fuel oil would increase with higher effects, heating and cooling degree days, and a time
prices for natural gas. This consistency between trend as a proxy for exogenous technological change.
demand equations is known as symmetry and follows This relationship is also dynamic so that shocks to
from the mathematical conditions associated with demand during one period affect predictions of
economic optimization. demand in future periods.
Another important property of demand systems is The second step, determining the fuel mix,
that if all fuel prices increase the same percentage, assumes that the fuels in each sector’s aggregate
then total energy expenditures would increase the energy price index are weakly separable from other
same amount and relative fuel use would not change. factors of production. This means that the marginal
This property, known as zero-degree homogeneity in rate of substitution between two fuels is independent
demand, essentially means that only relative prices of the rate at which aggregate energy substitutes with
matter in determining energy demand. other goods or factors of production. This specifica-
Given these considerations regarding the role of tion is reasonable because substitution possibilities
prices in determining energy demand, identifying the between energy and other factors of production are
effect of climate on energy demand requires mea- likely to be very limited over a month time span.
surement of two components of the climate signal: The combinations of fuels used in each sector are
the fixed seasonal effect and a random weather modeled using energy expenditure systems specified
shock. Fixed seasonal effects include the length of from a logistic function, which ensures adding-up
day and other fixed monthly effects and can be and positive cost shares. Considine and Mount show
represented by zero-one or dummy variables. For how to impose constraints consistent with economic
instance, household energy consumption in the theory. Given the nature of the model, however,
United States may have a January effect, increasing Considine imposes these conditions locally—either at
a fixed amount each year as day length or consumer a point with linear parameter restrictions or at each
habits change in fixed seasonal ways. Energy demand point in the sample using an iterative estimation
during other months of the year may have similar procedure. The results presented next impose these
fixed monthly or seasonal effects. The second effect, conditions at the mean cost shares, which simplifies
associated with random weather shocks, represents model simulation for policy analysis and forecasting.
that portion of energy consumption directly asso-
ciated with departures from normal temperatures.
One good measure for this effect is heating and
cooling degree day deviations from their 30-year 4. SENSITIVITY OF
means. The monthly deviation of degree days from ENERGY DEMAND TO
its corresponding monthly mean measures the extent TEMPERATURE CHANGES
to which temperature is above or below normal.
Therefore, for example, heating degree day devia- Here, the sensitivity of energy demand to climate is
tions 301 below normal would imply a proportio- measured two ways. The first method uses elasticities
nately larger increase in energy demand than heating that provide simple summary measures of how
degree day deviations 101 below normal. This departures from normal temperatures affect energy
approach is similar to the study of natural gas consumption. The second approach, reported in the
demand by Berndt and Watkins. following section, uses econometric simulation to
The demand models developed by Considine estimate how climate changes affect energy demand.
assume that monthly energy consumption depends The heating and cooling degree day elasticities of
on economic forces, technological factors, fixed energy demand by sector are shown in Table I. The
seasonal effects, and random weather shocks. Energy elasticities are interpreted as the percentage change in
demand systems are estimated for four sectors of the fuel consumption for a percentage change in heating
U.S. economy: residential, commercial, industrial, or cooling degree days. For instance, total U.S.
and electric utilities. A two-step modeling approach is residential natural gas consumption increases 0.33%
Climate Change: Impact on the Demand for Energy 397
To identify the effects of past climate trends on income, are the same in the two simulations.
historical energy consumption, two simulations are Consequently, the changes from the base simulation
required. The first simulation provides a baseline reported in Table II represent those changes in energy
using the 30-year means for heating and cooling demands associated with deviations of weather
degree days, which gives an estimate of what energy conditions from their 30-year means.
demand would have been under average climate As discussed previously, the climate in North
conditions. The second simulation uses actual degree America has been getting warmer since the early
days, which yields an estimate of predicted energy 1980s. Indeed, cumulative cooling degree days are
demand associated with actual weather. All other 2.2% higher than normal and heating degree days
exogenous variables, such as energy prices and are 1.65% lower. The impacts of these changes in
TABLE II
Historical Impacts of Weather on Energy Demand in Percentage Changes from Predictions Using Average Weather
Fuel consumption
Year Cooling degree days Electricity Natural gas Distillate Residual Coal Propane
Fuel consumption
Year Heating degree days Electricity Natural gas Distillate Residual Coal Propane
Percentage change
from the predictions using average and actual degree
days during the cooling and heating seasons. 20
There is an unambiguous, positive relationship
15
between heating degree days and energy demand
(Table II). With warmer winters, the demand for 10
energy declines. Notice the string of warm winters 5
during the late 1980s and early 1990s and the
associated reductions in energy consumption. For 0
example, the winters of 1990–1991 and 1991–1992 1 2 3 4 5 6 7 8
were approximately 8% warmer than average. As a Month
result, the consumption of natural gas was approxi- Electricity Natural gas Distillate oil Residual oil Coal
mately 3% lower than it would have been under FIGURE 3 Simulated effects of a 10% colder than normal
normal weather conditions. Distillate and residual winter on fuel consumption.
fuel oil use was almost 4% and more than 6% lower
than normal, respectively.
The effects of cooling degree days are more
ambiguous because some months of the cooling
18
season also contain heating degree days, which may
16
offset the effects associated with cooling degree days. Percentage change 14
Nevertheless, there are several years with warmer
12
than normal summers and slightly higher energy use.
10
During the entire period, energy demand under the
8
base simulation with actual weather is 0.2% lower
6
than that under the alternative simulation using the
4
30-year mean. This suggests that a warmer climate
2
would slightly lower energy consumption because
0
lower fuel use associated with reduced heating 1 2 4 5 6 7
3
requirements offsets higher fuel consumption to meet Month
increased cooling demands.
Electricity Natural gas Distillate oil Residual oil Coal
Simulating the effects of a 3-month shock to
heating and cooling degree days provides a more FIGURE 4 Simulated effects of a 10% warmer than normal
controlled experiment. First, consider the effects of a winter on fuel consumption.
colder than normal winter with heating degree days
10% more than the 30-year mean for 3 months. All coal and oil. Natural gas consumption increases
fuel demands increase (Fig. 3). Higher residential and slightly due primarily to higher consumption in the
commercial consumption is the principal reason for electric utility sectors. Carbon emissions increase
the approximately 7–10% increase in natural gas 1.5–3.7%.
consumption. In addition, electric utility fuel use,
particularly oil, increases due to the simulated 2–4%
increase in electricity consumption. The large 6. CONCLUSION
estimated elasticity of electric utility oil use with
respect to electricity generation accounts for most Overall, warmer climate conditions on balance
of the increase in residual fuel consumption. This slightly reduce U.S. energy demand. The estimated
result may reflect the practice of electric utilities to impact, however, is very small and pales in compar-
use oil-fired generators to service peak power ison to the 7% reduction from 1990 emission levels
demands. for the United States under the Kyoto Protocol.
The last simulation estimates the effects of a 3- Short-term variations in temperature can have size-
month, 10% increase in cooling degree days. The able impacts on energy demand. Petroleum con-
impacts on fuel demands and carbon emissions are sumption is particularly sensitive to temperature,
shown in Fig. 4. As expected, electricity demand primarily through the induced effect of weather
increases, leading to an increase in the demand for on electricity demand and the fuels in electric
400 Climate Change: Impact on the Demand for Energy
power generation. These short-term weather-related Berndt, E. R., and Watkins, G. C. (1977). Demand for natural gas:
variations in energy demand suggest that any future Residential and commercial markets in Ontario and British
Columbia. Can. J. Econ. 10, 97–111.
international agreements on carbon emissions trad- Considine, T. J. (1990). Symmetry constraints and variable returns
ing should have provisions that adjust compliance to scale in logit models. J. Business Econ. Statistics 8(3), 347–
rules based on the variance in energy consumption 353.
due to weather fluctuations. Considine, T. J. (2000). The impacts of weather variations on
energy demand and carbon emissions. Resource Energy Econ.
22, 295–312.
Considine, T. J., and Mount, T. D. (1984). The use of linear logit
SEE ALSO THE models for dynamic input demand systems. Rev. Econ. Statistics
66, 434–443.
FOLLOWING ARTICLES Enterline, S. (1999). The effect of weather and seasonal cycles on
the demand for electricity and natural gas, M.S. thesis,
Carbon Taxes and Climate Change Climate Change Department of Energy, Environmental, and Mineral Economics,
and Energy, Overview Climate Protection and Pennsylvania State University, University Park.
Energy Policy Energy Efficiency and Climate Hansen, J., Sato, M., Glascoe, J., and Ruedy, R. (1998). A
Change Modeling Energy Markets and Climate common sense climate index: Is climate changing noticeably?
Proc. Natl. Acad. Sci. USA 95, 4118–4120.
Change Policy Livezey, R.E., and Smith, T. (1999). Covariability of aspects of
North American climate with global sea surface temperatures
Further Reading on interannual and interdecadal timescales. J. Climate, January,
289–302.
Balling, R. C. (1999). Analysis of trends in United States degree Morris, M. (1999). The impact of temperature trends on short-
days, 1950–1995. http://www.greeningearthsociety.org/Arti- term energy demand. http://www.eia.doe.gov/emeu/steo/pub/
cles/1999/trends.htm. special/weather/temptrnd.html.
Climate Protection and
Energy Policy
WILLIAM R. MOOMAW
The Fletcher School of Law and Diplomacy, Tufts University
Medford, Massachusetts, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 401
402 Climate Protection and Energy Policy
social scientists, and technologists assemble under since the beginning of the industrial revolution is
the auspices of the United Nations-sponsored Inter- 1.46 W/m2. Methane and nitrous oxide additions
governmental Panel on Climate Change (IPCC). have provided relative radiative forcings of 0.48 and
These scientists spend 3 years reviewing all of the 0.15 W/m2, respectively. Other gases have indivi-
information on climate change and produce a dual radiative forcings of less than 0.1 W/m2. The
voluminous report following a public review by total radiative forcing of all greenhouse gases added
others in the scientific community and by govern- by human activity to the atmosphere is estimated to
ments. ‘‘Climate Change 2001’’ is 2665 pages long be 2.43 W/m2. This should be compared to the
and contains more than 10,000 references. Informa- 342 W/m2 that reaches the earth from the sun.
tion for this article is based on this report, the Hence, the greenhouse gases added by human
references in it, as well as recent studies to ensure activity are equivalent to turning up the sun’s power
accurate, up-to-date information. by an extra 0.7%, which is enough to cause the
Climate is defined as the 30- to 40-year average of global temperature to increase by the observed 0.61C
weather measurements, such as average seasonal and (1.11F).
annual temperature; day and night temperatures; Carbon dioxide is removed from the atmosphere
daily highs and lows; precipitation averages and by dissolving in the ocean, by green plants through
variability; drought frequency and intensity; wind photosynthesis, and through biogeological processes,
velocity and direction; humidity; solar intensity on such as coral reef and marine shell formation.
the ground and its variability due to cloudiness or Approximately half of the carbon dioxide released
pollution; and storm type, frequency, and intensity. today will remain in the atmosphere for a century,
Understanding the complex planetary processes and one-fourth may be present 200 years from now.
and their interaction requires the effort of a wide Some of the synthetic, industrial greenhouse gases
range of scientists from many disciplines. Solar have half-lives of hundreds, thousands, and, in at
astronomers carefully monitor the intensity of the least one case (carbon tetrafluoride), tens of thou-
sun’s radiation and its fluxuations. The current sands of years. These long residence times are
average rate at which solar energy strikes the earth effectively irreversible changes in the composition
is 342 watts per square meter (W/m2). It is found that of the atmosphere and in climate parameters on the
168 W/m2 reaches the earth’s surface mostly as timescale of human generations. This is why some
visible light: 67 W/m2 is absorbed directly by the argue that the continued release of greenhouse gases
atmosphere, 77 W/m2 is reflected by clouds, and is not sustainable since it can adversely affect future
30 W/m2 is reflected from the earth’s surface. generations. Even without complete information
A number of trace gases in the atmosphere are about the consequences of increasing greenhouse
transparent to the sun’s visible light but trap the gases for climate change, many invoke the precau-
radiant heat that the earth’s surface attempts to emit tionary principle and urge the world to move toward
back into space. The net effect is that instead of being reducing and eliminating them.
a frozen ball averaging 191C, Earth is a relatively The post-ice age period in which human civiliza-
comfortable 141C. This difference of 331C arises tion has evolved is known as the Holocene. It has
from the natural greenhouse effect. Human additions long been assumed that this represented an extended,
of greenhouse gases appear to have increased the stable, and generally warm climate period. Tempera-
temperature an additional 0.670.21C during the tures were slightly higher than those of today at the
20th century. The transmission of visible light from beginning of the Holocene and gradually declined
the sun and the trapping of radiant heat from the until recently. Measurements from Greenland have
earth by gases in the atmosphere occur in much the shown that the general changes were subject to
same way as the windows of a greenhouse or an sudden shifts in temperature on timescales of a
automobile raise the temperature by letting visible decade or a century. It is believed that these rapid
light in but trap outgoing radiant heat. The analogy is temperature changes occurred as the result of sudden
somewhat imperfect since glass also keeps the warm alterations in oceanic and atmospheric circulation.
inside air from mixing with the cooler outside air. Direct land and ocean instrumental temperature
The temperature rise at the earth’s surface is measurements began in 1861. These records show
directly proportional to a measure of heat trapping two periods of global temperature rise, from 1910 to
called radiative forcing. The units are watts per 1945 and from 1976 to the present. In between, from
square meter, as for the sun’s intensity. The radiative 1946 to 1975, there was little change in global
forcing from human additions of carbon dioxide average temperature, although some regions cooled
Climate Protection and Energy Policy 403
while others warmed. The total rise for land-based happen, he asked, if human activity were to double
measurements from 1861 to 2000 is estimated by the the concentration of carbon dioxide in the atmo-
IPCC to be 0.61C70.21C. The warming rate across sphere? His answer was approximately twice the
the entire earth’s surface during the two periods has upper limit of the range estimated by today’s best
been 0.151C per decade. Sea-surface temperatures climate models of 1.5–4.51C. This is called the
are increasing at approximately one-third this rate, climate sensitivity. The actual increase in tempera-
and it has been found that the heat content of the top ture depends on the amount of greenhouse gas
300 m of the ocean increased significantly during the released into the atmosphere. It is estimated that
second half of the 20th century. The lower atmo- this will amount to approximately a doubling of
sphere up to 8 km has also warmed, but at carbon dioxide equivalent from preindustrial levels
approximately one-third the land rate. Daily mini- some time before 2100.
mum temperatures are rising at 0.21C per decade, Systematic measurements of atmospheric compo-
approximately twice the rate of daily maximum sition begun in 1959 by Charles David Keeling in
temperatures. This has extended the frost-free season Hawaii have confirmed that carbon dioxide is indeed
in northern areas, and indeed satellite data confirm increasing along with the increase in fossil fuel
that total plant growth is increasing at latitudes consumption. Air trapped in glacial ice confirms that
above 501N. carbon dioxide in the atmosphere has risen one-third
There has been much discussion of whether the from 280 parts per million (ppm) in preindustrial
rise in the instrumental record during the 20th times to 373 ppm in 2002.
century is simply a return from a little ice age that Human activities are influencing climate in several
occurred between the 15th and 19th centuries to ways. The most direct is through the release of
conditions of a medieval warming period that greenhouse gases.
predated it. An analysis of surrogate measurements The greatest share of greenhouse gases comes
of temperature utilizing data from tree rings, coral from the combustion of fossil fuels, such as coal,
reefs, and ice cores that extends back 1000 years oil, and natural gas, which release carbon dioxide
clearly shows that the temperature rise of the 20th when burned. Coal releases nearly twice as much
century for the Northern Hemisphere lies outside the carbon dioxide as does natural gas for each unit of
variability of the period. In fact, the current rate of heat energy released. Oil releases an amount in
increase, 0.61C per century, reverses a downward between.
trend of 0.021C per century during the previous Methane released from coal mining constitutes the
900 years. The statistical analysis clearly shows that largest source of anthropogenic methane. Methane
there is less than a 5% probability that the recent releases during natural gas leaks during drilling and
temperature increase is due to random variability in transportation are also significant. Long-burning
the climate system. coal mine and peat fires also contribute significant
The IPCC concludes that the 20th century was the amounts of carbon dioxide, methane, and many air
warmest in the past 1000 years, and the 1990s were pollutants to the atmosphere.
the warmest decade in that period. The year 1998 Land clearance, deforestation, and forest fires
may have been the warmest single year, 0.71C above release carbon dioxide (23% of total human emis-
the 40-year average from 1961 to 1990 and nearly sions) and methane.
1.11C warmer than the projected average tempera- Land-use change alters the reflectivity or albedo of
ture extrapolated from the previous 900-year trend. the land. Deforestation in the northern forests
By the end of the 19th century, scientists had usually increases reflectivity by replacing dark ever-
identified the major greenhouse gases in the atmo- green trees with more white-reflecting snow. In the
sphere. In 1897, Svente Arhenius, a distinguished tropics, less solar energy is absorbed in most cases
Swedish chemist, carried out the first calculation of after forests are removed. Urbanization usually
the effect of greenhouse gases on the temperature of increases the absorption of solar energy. The net
the earth. His estimate, made without a computer or effect of land-use change is thought to offset
even a good calculator, was surprisingly close to warming by approximately 0.270.2 W/m2.
what we know today. Arhenius also performed a Combustion of fossil fuels and clearing of land
thought experiment in which he recognized that the also contribute dust, particulates, soot, and aerosol
industrial revolution was moving carbon from under droplets. These either reflect sunlight away from the
the ground in the form of coal and oil and putting it earth or absorb radiation. Some aerosols are also
into the atmosphere as carbon dioxide. What would believed to increase the amount of cloud cover.
404 Climate Protection and Energy Policy
Agriculture releases carbon dioxide through fossil of emissions, with growth rates ranging from 2.0%
fuel energy use and from the oxidation of soils. This for Africa to 6.1% for Asia. There is considerable
sector is the major producer of nitrous oxide from discussion among governments on responsibility for
the bacterial breakdown of nitrogen fertilizer. Rice past contributions of greenhouse gases and the future
culture and livestock are also major producers of potential for countries in which fossil fuel use is
methane. growing rapidly.
Industrial processes release a variety of green-
house gases into the atmosphere either during
manufacturing or through the use of products.
3. ENERGY STRATEGIES FOR
Air pollution that results in ozone and other gases
near the earth’s surface traps heat, whereas the ADDRESSING CLIMATE CHANGE
depletion of the stratospheric ozone in the upper
atmosphere allows more heat to escape to space. The An important insight from Amory Lovins is to
pollution near the earth’s surface is the larger effect. recognize that it is not energy we need but, rather,
The waste sector releases large quantities of the services that energy can supply in differing forms
methane from sewage and industrial wastewater, of heat and work. Hence, in designing technologies,
animal feedlots, and landfills. policies, and measures to reduce energy-related
greenhouse gases, one must consider not only the
present source of emissions and how to reduce them
but also alternative ways to deliver the desired energy
2. STRATEGIES FOR services.
ENERGY SOURCES A simple identity has been developed by Ehrlich
and Holdren and extended by Kaya that simplifies
The two primary heat-trapping gases that are this task:
associated with energy are carbon dioxide from CO2 ðtonsÞ ¼ ðpopulationÞ
fossil fuel combustion and methane leakages from
ðeconomic value=capitaÞ
natural gas production, transport, and use. Ground-
level ozone in smog is also an important secondary ðenergy use=economic valueÞ
pollutant from the energy sector that is a significant ðCO2 =energy usedÞ:
heat-trapping gas. As temperatures rise on sunny
days, chemical reactions in the atmosphere accelerate Since greenhouse gas reduction policies do not
to produce more ozone, which in turn traps address either population or wealth (economic value
additional heat. per capita), the major focus is on the last two factors.
In the following sections, the sources of energy- If one can either find a way to create large economic
related carbon dioxide are summarized by sector. It is value with little energy use (factor 3) or use an energy
customary to report only the carbon content of source that produces little CO2, then the total
carbon dioxide that represents 12/44 or 27.3% of the amount of CO2 will be small. Note that using no
mass of carbon dioxide. World total energy use and energy or using a zero CO2 energy technology drives
carbon dioxide increased rapidly between 1971 and the emissions to zero. Hence, strategies to control
1995. Energy use increased by 67% to 319 exajoules CO2 focus on technological choice, energy efficiency,
(1018 J), whereas carbon dioxide emissions from and the policies and practices that will promote
energy use increased 54% during this period to them.
5.5 gigatons of carbon (GtC) (109 metric tons). The The strategy for reducing emissions from the
annual average growth rate between 1990 and 1995 energy sector consists of five basic options:
was 0.7% for energy and 1.0% for carbon dioxide.
In 1995, industrial countries released 49% of carbon 1. Increase the efficiency of providing the energy
dioxide from energy, with an average annual growth service by finding a less energy-demanding technol-
rate of 0.6% per year. Countries with economies in ogy or practice.
transition (i.e., the former Soviet Union and those of 2. Provide the energy in a more efficient manner.
Eastern Europe) were well below their peak of 1990 3. Shift the technology to one that produces fewer
with just 16% of emissions, an increase of 18% since or zero greenhouse gases.
1971. Emissions were declining at a rate of 5.1% 4. Shift the fuel to one that produces lower or zero
annually. Developing countries accounted for 35% greenhouse gases.
Climate Protection and Energy Policy 405
5. Capture and store carbon dioxide and capture in spotlighting, and higher initial cost. The impress-
and burn methane for fuel. ive energy savings of compact fluorescent lamps may
be eclipsed by solid-state lighting, such as light-
In the following sections, we examine the oppor- emitting diodes. Because of their ability to be
tunities for reducing climate-altering greenhouse directed, it is possible to provide a solid-state reading
gases by economic sector utilizing these strategies. light that uses only 1 W to produce the same
In addition to being able to provide the appropriate illumination on a page as a 75-W incandescent.
energy services, alternative technologies and prac- Light-emitting diodes are replacing traffic lights,
tices must be economically affordable and socially producing brighter, easier to see signals with an
and politically acceptable. 85% reduction in electricity and a 10 times longer
life than incandescents.
It is estimated by the IPCC that there could be
4. ENERGY FOR BUILDINGS cost-effective savings in the building sector using
available technology that would lower carbon
Buildings use energy directly for heating and cooling dioxide emissions by 27% by 2010, 31% by 2020,
and indirectly through electricity for lighting, appli- and 52% by 2050. It is concluded that policies such
ances, office equipment, food storage and prepara- as improved building codes will need to be put into
tion, and motors in elevators, pumps, and ventilating place to achieve these cost-effective goals.
systems. Globally, buildings account for 34.4% of
energy and 31.5% of energy-related carbon dioxide
emissions. The IPCC found many examples of 5. ENERGY FOR INDUSTRY
opportunities for substantially reducing the energy
use and carbon dioxide emissions from buildings, The industrial sector is the largest user of energy
often at net negative cost. For example, in the United (41%) and releases the largest amount of energy-
States, new refrigerators use only one-fourth as much related carbon dioxide (42.5%) as well as other
electricity as they did in 1971. Improving windows, greenhouse gases. What is unusual in this sector is
insulation, and heat exchangers and reducing air and that for developed countries energy use has been
moisture leaks in the building envelope combined growing slowly at only 0.9% per year, whereas
with appropriate siting in an integrated building carbon dioxide releases from all of the Organisation
design have made it possible to lower the heating, for Economic Cooperation and Development indus-
cooling, and lighting requirements by an average of trial countries combined was 8.6% lower in 1995
40%, with demonstrated cases of 60–71% for than in 1971. Developing country emissions amount
residential and commercial buildings, respectively. to only 36.4% of total industrial carbon dioxide
The cost of achieving a 40% reduction is estimated to releases. Industrial emissions from countries with
be $3/GJ (109) saved in the United States compared to economies in transition are down from their peak in
an average cost for building energy of $14/GJ. 1990 by 28%. The major growth has come from
Because of the rapid growth of appliance purchases developing countries in Asia, where industrial carbon
in developing countries, there is enormous potential dioxide emissions now exceed those of the developed
for major savings in electricity use at much lower cost industrial countries. The IPCC estimates that there is
than building additional power plants. For example, the potential to reduce carbon dioxide emissions
China is the largest producer, consumer, and exporter through energy efficiency gains by 10–20% by 2010
of refrigerators and air conditioners. and by twice that amount by 2020. An additional
In the case of lighting, the shift from incandescent 10% reduction could come from more efficient use of
lamps, which still dominate because of their low materials, including recycling, by 2010 and three
initial cost and simplicity, to direct replacement times that amount by 2020.
compact fluorescent lamps lowers electricity use by a Major industrial facilities and refineries are
factor of four. Although the initial cost of compact beginning to build fossil-fueled combined heat and
fluorescent lamps is substantially higher than that of electric power facilities that substantially reduce
incandescant lamps, they last 10 times longer, carbon dioxide emissions by 40–50%. The largest
resulting in a life cycle cost saving of a factor of industrial combined heat and power facility in the
two or more. However, compact fluorescents have world is the 1000-MW gas-fired facility run by Dow
not achieved universal acceptance because of their Chemical Company in the United States. The paper
different color balance, less concentrated light for use industry of Scandnavia and North America produces
406 Climate Protection and Energy Policy
more than half of its steam and electricity from In addition to new engines, there is the potential
biomass waste, a renewable resource. for major weight reduction with alternative materi-
Energy required to produce 1 ton of iron or steel is als. A prototype composite vehicle using a fuel cell
actually less in some developing countries, such as has achieved fuel economy of 2.5 liters/100 km (100
Brazil or Korea, than it is the United Kingdom or the miles per gallon), but the cost of a production model
United States, but China and India remain substan- is uncertain. It is estimated by IPCC that the
tially less efficient. Clearly, choosing improved potential for carbon dioxide emission reductions
technology can make a major difference as nations from the transport sector is in the range of 10–30%
industrialize and as the economies in transition by 2010, with reductions of twice that amount
reindustrialize. With 75% of its energy being possible by 2020.
consumed in the industrial sector, it is important The major problem is that the amount of vehicle
that China is improving its energy/gross domestic kilometers traveled continues to increase and out-
product intensity by an estimated 4% per year. There pace any technological gains in efficiency. European
were even reports during the late 1990s that Chinese governments have kept fuel prices high through taxes
coal consumption and carbon dioxide emissions had on fuel and have negotiated a voluntary, improved
actually declined. Japan continues to have the most fuel economy standard with manufacturers. In
energy-efficient industrial sector in the world, and contrast, in the United States, the trend is toward
industries in countries such as the United States, larger, less fuel-efficient vehicles and the exploitation
Canada, and several European nations have tried to of loopholes that undermine the legal fuel economy
match Japanese levels in specific industries. standards.
The use of vehicle fuels derived from biomass could
also reduce net carbon dioxide emissions substantially.
Brazil has led the way with its extensive use of ethanol
6. ENERGY FOR TRANSPORTATION from the sugarcane industry to provide 40% of
vehicle fuel mostly through a large fraction blend
The transport sector consumes just 21.6% of global with gasoline. The Brazilian industry is the most
primary energy and produces 22.0% of fossil fuel efficient in the world, producing 10–12 times the
carbon dioxide. However, it is the fastest growing energy value of alcohol fuel as it comsumes in fossil
sector, with annual growth in carbon dioxide fuels. In contrast, the U.S. corn-based ehanol industry
emissions of 2.4% per year. The world automobile produces only approximately 1.3 times the energy
fleet has been growing at a rate of 4.5% per year and content of biomass ethanol as it comsumes in fossil
now exceeds 600 million light vehicles. Unfortu- fuels. Approximately 140 countries produce sugar-
nately, the gains in efficiency that characterized the cane. Josè Morera of CENBIO proposed that this
1980s and early 1990s have begun to reverse. could become the basis for a major transportation fuel
On the technology side, two Japanese manufac- export industry that would boost rural development
turers have had hybrid gasoline electric cars on the in poor tropical countries, provide transport fuel
market since 1997, approximately 5 years earlier than domestically, and lower balance of payments pro-
was anticipated by the IPCC report of 1996. These blems. Biodiesel from seed crops also has the potential
vehicles raise fuel economy by 50–100% relative to to lower net carbon dioxide emissions and improve air
similar, gasoline-powered cars and provide a sub- quality by providing a zero-sulfur fuel for trucks and
stantial clean air bonus as well without sacrificing buses. The cost of Brazilian ethanol in recent years has
performance. The second-generation hybrids intro- been slightly higher than the price of petroleum-based
duced in the fall of 2003 boast a 22% improvement in gasoline, but when oil prices rise it becomes cheaper.
fuel economy and a 30% decrease in emissions from The price of biodiesel is approximately twice as high
already low levels. Europe diesel autos comprise 40% as that of diesel fuel, but it is essentially a small-
of the market and provide fuel economy gains over volume, handcrafted product in the United States and
gasoline engines in the range of 30% or more. Fuel the price could decrease significantly in the future.
cell technology has also advanced rapidly: Several In addition to improving technological perfor-
manufacturers have announced the introduction of mance of vehicles, there is potential for alternative
fuel cell-powered vehicles by 2005, approximately transport systems that build on more effective land-
10–20 years earlier than was anticipated only use planning, and there are alternatives to transport-
recently. These innovations are expensive, and it ing people and goods. Low-energy, modern commu-
remains to be seen if the price targets can be met. nications technology can substitute for travel to
Climate Protection and Energy Policy 407
meetings and may be able to reduce travel for are being made to gasify the rest of the plant to run
entertainment and other activities. gas turbines for electric power generation. Energy
plantations can often utilize land that is unproduc-
tive for agricultural crops. The burning of biomass
7. ENERGY FOR AGRICULTURE releases about as much carbon dioxide per unit of
energy as does coal, but if energy crops are grown
Agriculture is responsible for only approximately 4% sustainably, the growing fuel crop absorbs as much
of energy-related carbon dioxide. Economies in carbon dioxide while growing as it will release when
transition are the heaviest users of fossil fuels in burned.
agriculture, followed by the developing countries of
east Asia and the industrial nations. Other develop-
ing countries use very little fossil fuels. Rapid growth 8. ENERGY FOR ELECTRIC POWER
rates of 10% or higher in China and Latin America
are offset by declines of 5% in economies in The electric power sector is heavily dependent on
transition for an annual global growth rate in carbon coal and is responsible globally for 2.1 GtC per year,
dioxide of only 0.6%. Agriculture, however, is which is 38.2% of global energy and 37.5% of
responsible for approximately 20% of global warm- global carbon dioxide energy-related emissions. The
ing because of heavy emissions of methane from rice emissions from this sector are incorporated into the
farming, livestock, and animal waste. Nitrous oxide buildings, industrial, transport, and agricultural
is released from agricultural lands by bacterial sectors in calculating their contributions.
denitrification of nitrogen fertilizer and the decom- In many ways, electric power offers the largest
position of animal waste, accounting for 65–80% of range of possible technological options for reducing
total human emissions of this gas. It is technically greenhouse gases. However, because of the rapid
feasible to lower emissions of methane and nitrous growth in electricity use, emission-reduction poten-
oxide from the agriculture sector by 10–12% by tial is estimated to be just 3–9% by 2010 and
2010 and by approximately twice that amount by possibly two to four times that by 2020.
2020. Efficient gas turbines have become the fossil fuel
Biogas (methane) from anaerobic manure and crop technology of choice since they achieve more than
residue decomposition has long been used in India 50% conversion efficiencies from heat to electricity,
and China for on-farm fuel production. Recently, this have very low initial capital costs, and produce
technique has been introduced in Europe and North relatively few air pollutants. Natural gas also
America as a substitute for natural gas and to assist in produces only approximately half the carbon dioxide
the management of animal waste and crop residues. emissions per unit of heat produced as does coal.
Significant additional quantities of both methane and Work is proceeding on coal gasification that could
carbon dioxide are associated with rapid rates of make use of this technology in an integrated fashion.
deforestation and land-use change to produce new Emissions from all fossil fuel power plants could be
agricultural lands in developing countries. An un- reduced by recovering a portion of the half to three-
known amount of soil carbon is also oxidized to fourths of the heat that is simply dumped into the
carbon dioxide, especially from peat soils when they environment by utilizing combined heat and power
are exposed to air. Nontilling methods and other land systems. Fuel cells and microturbines promise a
management techniques can simultaneously reduce revolution of highly efficient distributed power
these sources of greenhouse gases and lower emis- systems that could change electric power generation
sions from energy use. by providing both electricity and heat on site with
Agriculture can also produce energy crops such as significant reductions in transmission and distribu-
wood or sugar that can be burned directly or gasified tion losses.
or liquefied. Brazil has been at the forefront in Renewable energy also holds significant promise.
converting sugar into ethanol for transport fuel, with On a percentage basis, wind turbines represent the
the production of 10 units of energy for each unit of fastest growing energy source, growing at a rate of
fossil fuel input. For U.S. corn production of ethanol more than 25% per year during the late 1990s; by
for fuel, the conversion efficiency is only approxi- the end of 2002, wind accounted for approximately
mately 1.5. Brazilian industry representatives have 31 GW of installed power or 0.1% of installed
realized that sugar constitutes only approximately electric capacity worldwide. The distribution is very
one-third of the energy value of sugarcane and efforts uneven. Denmark currently meets 15% of its electric
408 Climate Protection and Energy Policy
needs from wind. Germany is the global leader, with reduce the release of methane, nitrous oxide, and
one-third of the world’s total wind power, followed other industrial gases by 75–100%.
by Spain and the United States. India leads the There are two alternative approaches for addres-
developing countries in part because of Danish sing climate change. The first is a gradualist
foreign assistance and investment. The potential for approach that adjusts around the edges of existing
wind is particularly great in North America, Africa, technologies to improve efficiency or involves rela-
and China and also in Russia and other economies in tively modest shifts in technology and fuels. This
transition, and it substantially exceeds the total approach can slow the rise of carbon dioxide and
current use of electricity worldwide. The direct global warming but cannot by itself halt it. Never-
conversion of solar energy to electricity represents a theless, it can effect significant reductions while
small fraction of annually added energy, but conver- awaiting major transformations of the energy sector.
sion efficiency continues to increase and costs In the 2001 IPCC analysis, it was estimated that
continue to decrease. Promising innovations such as sufficient technologies currently exist to reduce
solar roof tiles could enhance the potential for energy-related carbon dioxide by 15% during each
distributed roof-top power systems. of the first two decades of the 21st century at zero or
Burning or, even better, gasifying biomass would net negative cost. In other words, investing in these
also substantially reduce net carbon dioxide to the technologies would pay back in energy savings at
atmosphere since the carbon is returned to growing reasonable social discount rates. An additional
plants on a sustained basis. Wood and wood waste in reduction of 15% could be achieved at a cost of
the forest products industry and bagass from between zero and $100 per metric tonne of carbon—
sugarcane are among the leading biomass fuels used the equivalent of 25b per gallon of gasoline or 6b
for electricity and steam production. Geothermal per liter. Other practices, such as minimizing the use
systems also make significant contributions in of lighting and appliances (turning off the lights, TV,
Central America, the Philippines, the United States, computer, or copy machine, driving vehicles for
and Iceland. Hydropower continues to grow in many maximum fuel economy, etc.), can yield substantial
developing countries, including China, India, and additional reductions of 10–50%.
Brazil, but few major projects are under development The second strategy is to combine energy effi-
elsewhere. ciency of existing technologies with a concerted
A major effort has begun to explore the use of the effort to replace each existing technology with an
hydrogen from fossil fuels and biomass for fuel cells alternative that emits little or no carbon dioxide.
and gas turbines. The carbon dioxide produced when Such a strategy requires policies that shift the
hydrogen is removed could be sequestered in depleted replacement of existing technologies to very low- or
oil and gas fields, injected into underground aquifers, zero-emission technologies during the turnover of
or possibly injected into the deep ocean. This carbon capital stock or as new additional facilities are built.
dioxide storage option would greatly extend the use of For example, the light vehicle fleet is largely replaced
fossil fuels without adding to the atmospheric loading every 8–12 years in industrial countries. After a new
of carbon dioxide. The economic and technical efficient auto technology, such as gasoline– or diesel–
feasibility is being studied along with possible envi- electric hybrids or fuel cell vehicles, is introduced, it
ronmental consequences of carbon storage. might take a decade for it to penetrate the market
depending on the cost and policies encouraging or
mandating the shift. Hence, it might be possible to
essentially replace the entire light vehicle fleet in
9. ALTERNATIVE AND approximately 35 years. For lighting, the change to
INTEGRATED STRATEGIES compact fluorescent lighting and eventually to solid-
state lighting could occur within a shorter time of
To stabilize carbon dioxide concentrations at current approximately 10 years. Other end-use appliances
levels will require a reduction in annual emissions of such as office equipment are replaced on a 3- to
75–85%. To return atmospheric concentrations to 5-year cycle, whereas home appliances such as
preindustrial levels will require a shift to an energy refrigerators and washers can be replaced every 15
system that produces zero emissions. If, in addition, years with devices that are twice as efficient.
the goal is to fully stabilize atmospheric concentra- Electric power plants have an operational life-
tions of the other 40% of other greenhouse gases that time of 40–50 years, so it would probably take a
contribute to global warming, it will be necessary to century to replace them all with some combination of
Climate Protection and Energy Policy 409
zero-emitting renewable technologies (wind, solar, the realm of technological futurism. Costs are
biomass, and geothermal), fuel cells, combined heat unknown but are likely to be quite high. Although
and power, a new generation of nuclear power, or a such technologies may someday be a reality, waiting
comprehensive system of carbon dioxide capture and for these radical technological transformations when
storage technology. Transforming the electrical sys- more modest technological changes to reduce green-
tem to one of multiple, clean, distributed generators house gases are available in the short to midterm
utilizing a combination of smaller combined heat and does not appear to be a prudent strategy.
power turbines and fuel cells plus renewables could
reduce current electric power generation emissions in
half in less than 50 years. Such a distributed power
system could also be much more robust and less 10. IMPLICATIONS FOR
likely to be disrupted by accidents, storms, or THE FUTURE
sabotage by terrorists.
Buildings are less permanent than they appear. Reducing energy sector greenhouse gas emissions by
Low-cost commercial structures often have a lifetime the large amounts needed to restrain severe climate
of 25 years or less, as does some housing. Homes and disruption requires nothing short of a dramatic shift
office buildings typically exceed 50–75 years. How- in the delivery of energy services. Although there are
ever, these are upgraded several times during their advocates for different technologies, it appears that
lifetime, and the addition of new replacement there is no single option that can provide those
windows, improved insulation and moisture barriers, services in an acceptable manner at a cost that people
and advanced heating and cooling systems and are willing to pay. Since it is extremely difficult to
controls can substantially lower energy use by 25– pick winning future technology, it appears that a
50%. Building rooftops are also ideal locations for portfolio approach of multiple low- and zero-
solar hot water and photovoltaic electricity systems emission technologies is the most likely to succeed.
that can be either part of new construction or Improving the efficiency of end-use devices, including
retrofitted to existing structures. vehicles, appliances, motors, and lighting, can not
Hydrogen represents an energy carrier that can only reduce emissions using conventional fossil fuel
either be burned to provide heat or to fuel a gas energy supplies but also substantially lower the cost
turbine or it can react chemically in a fuel cell to and many environmental impacts. Doubling the
produce electricity directly. The advantage of hydro- efficiency of lighting and appliances reduces the cost
gen is that it produces only water as it releases of zero-emission electricity supply whether photo-
energy. It can be produced from water, fossil fuels, or voltaics, wind, fuel cells, or nuclear power plants
biomass or solid waste. Producing hydrogen from provide the electricity. If fossil fuels continue to be
any of these sources is very energy intensive. To utilized and carbon capture and storage is used,
achieve the benefits of zero carbon dioxide emissions improved efficiency will lower the amount of carbon
from hydrogen on a life cycle basis will require the dioxide that must be removed, transported, and
capture and storage of any carbon released when stored.
fossil fuels are the source. An advantage of obtaining Because of the large current investment in existing
hydrogen from biomass or organic solid waste is that capital stock of vehicles, buildings, appliances, and
if carbon capture and storage is used, there is a net industrial facilities, it is essential to ensure that each
removal of carbon dioxide from the atmosphere. generation of replacement technology provides sub-
Finally, there are high-tech, long-term future stantially lower emissions. Also, since fossil fuels
scenarios that grip the imagination of some. Carbon currently provide 85% of the world’s energy, there is
dioxide capture and storage will require not only a strong ‘‘lock-in’’ effect that is technological,
modifying all existing coal- and gas-burning power economic, and political. To shift course, major policy
plants, and many industrial facilities, but also an initiatives are needed that will require a combination
enormous infrastructure of pipes and storage loca- of regulations and economic incentives. Until the cost
tions. It will take at least half a century to implement of climate change and other environmental damage is
on a sufficient scale to make a major difference, but it included in the price of fossil fuels, it will be difficult
does allow the current fossil fuel infrastructure to to effect the revolution that is needed. In developing
remain largely intact. Hopes for commercially countries in which capital stock is just beginning to
available fusion power have been dashed numerous be accumulated, the opportunity exists to introduce
times, and it, like solar power satellites, remains in low and zero carbon dioxide-emitting technology
410 Climate Protection and Energy Policy
from the start of industrialization. Unfortunately, in and Energy, Overview Climate Change: Impact on
most cases, governments and industries in these the Demand for Energy Climate Change and Public
countries continue to opt for older, less efficient Health: Emerging Infectious Diseases Energy
energy technology that has a lower initial cost. Efficiency and Climate Change Greenhouse Gas
Companies and governments in industrial countries Emissions from Energy Systems, Comparison and
can best address this through a combination of Overview
technological sharing and investments. There are
many low-cost opportunities to provide energy
services to the people of developing countries with
zero or low carbon dioxide emissions. Since climate Further Reading
change is truly global, it is in everyone’s interest to American Council for an Energy Efficient Economy Web site. at
reduce emissions throughout the world. www.aceee.org.Fletcher School of Law and Diplomacy, Tufts
Since the shift to fossil fuels began in earnest more University, Multilaterals treaty Web site at http://www.fletch-
than 150 years ago, it may take a century or more to er.tufts.edu.
Hawkins, P., Lovins, A., and Lovins, H. (1999). ‘‘Natural
complete the next industrial revolution. A 2%
Capitalism: Creating the Next Industrial Revolution.’’ Little,
annual reduction in carbon dioxide and methane Brown, Boston.
emissions will lead to a net reduction in greenhouse Intergovernmental Panel on Climate Change (2001). ‘‘Climate
gases necessary to stabilize gas concentrations during Change 2001.’’ Cambridge Univ. Press, Cambridge, UK.
this century. It will require multiple policies and Intergovernmental Panel on Climate Change Web site at http://
measures designed to deliver energy services in new www.ipcc.ch.
Romm, J. J. (1999). ‘‘Cool Companies.’’ Island Press, Washington,
ways if the world is to meet this reduction and avoid DC.
a dangerous increase in carbon monoxide levels to Sawin, J. (2003). ‘‘Charting a New Energy Future State of the
550 ppm. World 2003.’’ Norton, New York.
Tata Energy Research Institute, India, Web site as http://
www.teriin.org.
Tufts Climate Initiative, Tufts University, Web site at www.tufts.
SEE ALSO THE edu.
FOLLOWING ARTICLES United Nations Development Program, United Nations Depart-
ment of Economic and Social Affairs, World Energy Council
Biomass: Impact on Carbon Cycle and Greenhouse (2000). ‘‘World Energy Assessment: Energy and the Challenge
of Sustainability.’’ United Nations Development Program,
Gas Emissions Carbon Capture and Storage from New York.
Fossil Fuel Use Carbon Sequestration, Terrestrial U.S. Environmental Protection Agency Energy Star Program Web
Carbon Taxes and Climate Change Climate Change site at http://www.energystar.gov.
Coal, Chemical and
Physical Properties
RICHARD G. LETT
U.S. Department of Energy, National Energy Technology Laboratory
Pittsburgh, Pennsylvania, United States
THOMAS C. RUPPEL
National Energy Technology Laboratory Site Support Contractor, Parsons
South Park, Pennsylvania, United States
Glossary 1. INTRODUCTION
anthracite High-rank coal, usually possessing a bright luster Coal is found widely distributed and occurs in seams
and uniform texture, that is high in carbon content.
layered between other sedimentary rocks. Owing to
aromatic carbon Carbon atoms in unsaturated six carbon
ring structures, exemplified by benzene, or in unsatu-
the diversity of the original organic debris and
rated poly-condensed ring structures. deposition environments and subsequent meta-
ash The solid (oxidized) residue remaining after coal is morphic processes, coal compositions and properties
subjected to specific combustion conditions. vary widely. Properties may vary considerably not
bituminous coal Hard black coal of intermediate rank. only from seam to seam but also with location within
coalification The complex process of chemical and physi- a given seam. Since coal is heterogeneous, distinc-
cal changes undergone by plant sediments to convert tions must be made between properties of some small
them to coal. size fraction of a coal of scientific interest and
fixed carbon The solid residue, other than ash, obtained by properties of representative bulk coal samples that
heating coal under standardized conditions. are used in commercial activities.
lignite/brown coal Nonfriable, low-rank coal, dark brown
The organic portion of coal is heterogeneous, but
to nearly black in appearance.
mineral matter The inorganic compounds or minerals
under microscopic examination certain regions can be
associated with a coal as opposed to the organic material. grouped by their physical form and reflectivity.
rank The stage of geologic maturity or degree of coalifica- Depending on appearance, these are usually placed
tion of a coal. into one of three general maceral groups: vitrinite,
volatile matter The material, less moisture, evolved by exinite (liptinite), or inertinite. Vitrinite is typically the
heating coal in the absence of air under rigidly most prevalent maceral in bituminous coals and
controlled conditions. originates largely from the metamorphosis of woody
tissue. Exinite is composed of resinous and other
hydrogen rich materials. Inertinite is the most aro-
Coal is a sedimentary rock composed primarily of matic maceral with properties similar to charcoal and
organic material, mineral matter, and water. It is has the highest carbon and lowest hydrogen content.
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 411
412 Coal, Chemical and Physical Properties
The properties of coals vary with the degree of which determines pyritic and sulfate sulfur and
geological maturity, a concept embodied in the use of calculates organic sulfur by difference, is often
the term coal rank. The rank of a coal is a qualitative performed in conjunction with the ultimate analysis.
indication of the geological maturity or degree of The proximate analysis is the simplest and most
coalification. Low-rank coals usually date from the common form of coal evaluation and constitutes the
Tertiary or Mesozoic age. The bituminous coals and basis of many coal purchasing and performance
anthracite are usually from the Carboniferous age. indices. It describes coal in terms of moisture,
Although it is convenient to view the coal maturation volatile matter, ash and fixed carbon, which is
process as progressing in the orderly sequence of peat calculated by difference. The moisture may be
to brown coal or lignite, to bituminous coal, and determined by establishing the loss in weight when
ultimately to anthracite, in actuality this is somewhat heated under rigidly controlled conditions on the as
of an oversimplification and the ultimate rank received sample and on an air-dried sample. For low-
depends on the severity of the transformation rank coals, particularly for classification purposes, an
conditions. The low-rank coals tend to be soft and equilibrium moisture may be determined by equili-
friable with a dull, earthy appearance and a high brating the moisture in a sample under standard
oxygen and moisture content. Higher rank coals are temperature and humidity conditions. The volatile
usually harder and stronger with a black vitreous matter represents the loss of weight, corrected for
luster. An increase in rank is attended by an increase moisture, when the coal sample is heated to 9501C in
in carbon and energy contents and a decrease in specified apparatus under standard conditions. Ash is
moisture and oxygen functionalities. the residue remaining after complete combustion of
the coal organic material and oxidation of the mineral
matter at a specified heating rate to a specified
2. COAL SAMPLING AND ANALYSIS maximum temperature (7001C to 7501C). Results
are conventionally presented on an as-received or
Standardized laboratory procedures for coal char- moisture-free basis. Typical results for a suite of U.S.
acterization and evaluation have been developed by coals of differing rank are shown in Table I.
the American Society for Testing and Materials The ultimate analysis expresses the composition of
(ASTM), the International Organization for Standar- coal in terms of the percentage of carbon, hydrogen,
dization (ISO), and the standardization bodies of nitrogen, sulfur, oxygen, and ash, regardless of their
other nations. Owing to the heterogeneity of coal, origin. Standard procedures are used for the deter-
these include specific procedures for collecting mination of carbon, hydrogen, nitrogen, sulfur, and
representative samples and sample preparation. ash, and oxygen is calculated by difference. Results
Two procedures, the proximate analysis (ASTM can be expressed on several bases, depending on the
D3172; ISO/CD 17246) and the ultimate analysis manner in which moisture, sulfur, and ash are
(ASTM D3176, ISO/CD 17247), deserve special treated. It is common to report the results on an as-
mention because of their wide use and applicability. received basis, a moisture-free basis, and on a
A sulfur forms analysis (ASTM D2492, ISO 157), moisture- and ash-free basis. One alternative is
TABLE I
Proximate Analyses of Selected Coal Samples U.S. Department of Energy Coal Sample Bank, Coal and Organic Petrology Laboratories,
The Pennsylvania State University.
TABLE II
Ultimate and Sulfur Forms Analyses of Selected Coal Sample U.S. Department of Energy Coal Sample Bank, Coal and Organic Petrology
Laboratories, The Pennsylvania State University.
illustrated by Table II, which presents the total sulfur The National Coal Board (NCB) coal classifica-
and sulfur forms analysis separately on a moisture- tion, last revised in 1964, is still used in the United
free basis. Carbon, hydrogen, nitrogen, and oxygen Kingdom and has many of the features of classifica-
may then be presented on a moisture- and mineral tion systems developed outside North America.
matter-free basis. Bituminous and anthracite coals are classified pri-
marily on the basis of volatile matter (dry, mineral
matter-free basis) and coking properties. The differ-
3. COAL CLASSIFICATION ent classes of coal are designated by a three-figure
numerical code. Lignites and brown coals are outside
Coals are classified to systematically represent and the range of the NCB classification scheme.
order their properties and to facilitate commercial An attempt by the Coal Committee of the
use. Many systems of classification exist as each Economic Commission for Europe to develop an
nation with domestic coal resources tended to develop international standard resulted in a rather elaborate
its own scheme for its particular applications. scheme for the International Classification of Hard
However, all coal classification schemes use a measure Coals by Type. Hard coal is defined as coal having a
of rank as one of the parameters to classify coal. No calorific value of more than 23.86 MJ/kg on a
single measured property or empirically determined moisture- and ash-free basis. This system classifies
characteristic is usually sufficient to classify coals. hard coals into nine classes (akin to rank) based on
The ASTM coal classification system (ASTM dry, ash-free volatile matter content and moisture,
D388) in Table III is used extensively in North ash-free calorific value. These classes are further
America and many other parts of the world. This divided into groups according to their caking proper-
classification is applicable to coals that are composed ties. The groups are divided into subgroups according
mainly of vitrinite. It divides coals into four classes— to their coking properties. A three-figure code number
lignite, subbituminous, bituminous, and anthracite— is then used to express the coal classification. The first
and differentiates groups within these classes. The figure indicates the class of the coal, the second figure
primary parameters used to classify coals are the the group, and the third figure the subgroup. A new
fixed carbon (dry, mineral matter-free basis) for the international coal classification standard is now being
higher rank coals and gross calorific value (moist, developed under the sponsorship of the International
mineral matter-free basis) for the lower rank coals. Organization for Standardization.
The agglomerating character is used to differentiate An International Standard for Classification of
between adjacent groups in certain classes. Brown Coals and Lignites (ISO 2950) was published
414 Coal, Chemical and Physical Properties
TABLE III
ASTM Classification of Coal by Rank (ASTM D388)a
Anthracitic
9
Meta-anthracite 98 — — 2 — — >
=
Anthracite 92 98 2 8 — — Nonagglomerating
>
;
Semianthracitec 86 92 8 14 — —
Bituminous
9
Low-volatile 78 86 14 22 — — >
>
>
>
bituminous coal >
>
>
>
Medium-volatile 69 78 22 31 — — >
>
>
>
>
>
bituminous coal >
=
High-volatile A 69 31 — 32.6d — Commonly
>
>
bituminous coal >
>
> agglomeratinge
>
>
High-volatile B — — — — 30.2d 32.6 >
>
>
>
>
bituminous coal >
>
>
;
High-volatile C — — — — 26.7 30.2
bituminous coal
24.4 26.7 Agglomeratinge
Subbituminous
9
Subbituminous A coal — — — — 24.4 26.7 >
>
>
>
Subbituminous B coal — — — — 22.1 24.4 >
>
>
>
>
>
Subbituminous C coal — — — — 19.3 22.1 >
=
Nonagglomerating
>
>
Lignitic >
>
>
>
>
>
Lignite A — — — — 14.7 19.3 >
>
>
;
Lignite B — — — — — 14.7
a
This classification dose not apply to certain coals, discussed in Section 1 of D388.
b
Moist refers to coal containing its natural inherent moisture but not including visible water on the surface of the coal.
c
If agglomerating, classify in low-volatile group of the bituminous class.
d
Coals having 69% or more fixed carbon on the dry, mineral-matter-free basis shall be classified according to fixed carbon, regardless of
gross calorific value.
e
It is recognized that there may be nonagglomerating varieties in these groups of the bituminous class, and that there are notable
exceptions in the high-volatile C bituminous group.
and evidence from other physical and chemical 4.2 Extractable Material
analyses, a prevailing view is that the coal matrix is
Coals contain a substantial amount of material that
basically a three-dimensionally cross-linked struc-
is not tightly bound to the insoluble organic matrix
ture. However, coals are not composed of regularly
and extractable by appropriate solvents at mild
repeating monomeric units, but a complex mixture
temperatures (o2001C) below the onset of signifi-
of structural entities. Adsorbed or embedded but not
cant thermal decomposition. Coal extracts vary
chemically bound in this matrix is potentially
extractable or volatile material of a wide range of considerably in yield and composition, depending
on the coal and its preparation, the solvent, and the
molecular structures and molecular weights. Further
extraction conditions. Specific solvents may extract
complications are introduced by the admixture of
as much as 10 to 20% of low- and middle-rank coals;
mineral matter to various degrees with the other coal
primary amines (pyridine) are particularly good
components.
extraction agents for bituminous coals. Extract yields
Coals have significant aromatic character, with the
fall rapidly with the high-rank coals; only a few
fraction of aromatic carbon increasing with coal
percent of a low volatile bituminous coal may be
rank from 0.4 to 0.5 for low-rank coals to 0.6 to 0.7
for middle rank bituminous coals to over 0.9 for extractable and even less of anthracite.
Pyridine extracts are a complex mixture of organic
anthracite. However, contrary to some evidence from
components with a broad distribution of molecular
early studies, more recent studies indicate the average
weights from a few hundred to more than a thousand
aromatic ring size in coals may be rather modest until
irrespective of the parent coal. These extracts are
the anthracite stage is approached. This information
much more amenable to many analysis techniques
suggests the condensed units in bituminous coals are
than the whole coal. Since they appear to have many
often no more than four rings with two- and three-
of the chemical compositional features of the solid
ring structures predominating. The aromatic units in
low-rank coals tend to be even smaller. These organic phase, extracts have often been studied to
provide insight into the possible nature of the
structures may be joined to hydroaromatic groups
chemical entities and functionalities that make up
and cross-linked by methylene, ether, or similar
the insoluble coal matrix. The material extracted
groups. Aliphatic substituents on these structures
initially or at low temperatures with poorer extrac-
are usually of short carbon length, predominately
tion agents is usually hydrogen rich and, particularly
methyl or ethyl.
for brown coals and lignites, often contains material
Low-rank coals are rich in oxygen functionalities,
derived from resins and waxes that maybe atypical of
particularly carboxylate, phenolic, carbonyl, and
furan groups or saturated ether groups alpha or beta the constitution of the coal as a whole.
to aromatic moieties. Much of the ion-exchangeable
hydrogen in the oxygen functionalities of low-rank
4.3 Moisture
coals is typically replaced by alkali or alkaline earth
cations, particularly calcium. With increasing coal The moisture content of coal is difficult to precisely
rank there is a general loss of organic oxygen content specify and control because it exists in several forms
with the remaining oxygen tending to be of the in coal, yet it is a parameter that is of great interest in
phenolic or furan type. determining commercial value and suitability for
Definitive information on the chemical forms many applications. The total (as-received) moisture
of nitrogen in coal is rather meager. Available of a coal sample is usually considered to be all of the
evidence indicates the nitrogen exists primarily in water that is not chemically combined (e.g., as water
pyrrolic or pyridinic structures with pyrrolic nitro- of hydration in minerals). This includes moisture on
gen being the most abundant. The fraction of the external surfaces of coal particles as well as water
pyridinic nitrogen appears to increase with increas- (inherent moisture) condensed in the pore structure
ing rank. of the coal. Standard coal analysis procedures are
The organic sulfur, particularly in higher rank often referenced to a moist coal basis (i.e., including
coals, is largely in heterocyclic structures. It is the moisture remaining in a coal sample after
predominately of the thiophenic type. There is bringing the sample to a standard condition before
indirect evidence for the presence of disulfides and analysis). Neither the total nor the air-dried moisture
aliphatic sulfides in some low-rank coals based contents from the proximate analysis of coal include
largely on the analysis of select samples of unusual water that is chemically combined or water asso-
coals of very high sulfur content. ciated with minerals. The bed moisture is the
416 Coal, Chemical and Physical Properties
moisture that exists as an integral part of the virgin these elements found in one small sample of a
coal seam and is approximately the amount of water bituminous coal from West Virginia. The most
a coal will hold when fully saturated at nearly 100% prevalent inorganically bound minor elements are
relative humidity. those associated with the dominant minerals. Interest
The natural bed moisture content of coals in the trace element content of coal stems largely
generally decreases with increasing coal rank. It can from their potential release, either in volatile form or
vary from less than 5% in higher rank anthracite and as fine particulate from coal use, and the resulting
bituminous coals to more that 40% in low-rank environmental impact. However, there is nothing
lignite and brown coals. In contrast to higher rank particularly toxicologically unique about the trace
coals, brown coals and lignites can lose water very element composition of most coals.
rapidly upon exposure to the atmosphere. Actual trace element emissions are somewhat
variable depending on coal source, combustion or
utilization process, and pollution abatement equip-
4.4 Mineral Matter
ment. Among the volatile elements considered most
The mineral matter in coal originates from several hazardous are Be, F, As, Se, Cd, Pb, and Hg. Power
sources including sedimentary material deposited with plants equipped with modern gas cleanup systems
the coal, minerals transported by water, and inherent efficiently prevent most of these elements from
material in the plant precursors. The majority of the reaching the atmosphere. An exception is mercury
mineral matter consists of minerals from one of four (Hg), where the majority may bypass electrostatic
groups: aluminosilicates (clays), carbonates, sulfides, emission controls. Although present at only levels of
and silica (quartz). The most common clays are the order of 0.1 mg/g in coals, owing to the huge
kaolinite, illite, and mixed-layer illite-montmorillo- tonnages of coal used by the power industry, coal use
nite. Pyrite is the dominant sulfide mineral in most is a significant factor in the total Hg being introduced
coals. Sulfates are found in varying amounts depend- into the environment by human activity. Develop-
ing on the extent of weathering. Likewise, small ment of practical control technology to capture and
amounts of elemental sulfur detected in some coals prevent the release of mercury is a high R&D
also appear to be the result of pyrite weathering. priority. In developing countries where coal is burned
There is a wide range of mineral compositions for the without emission controls or where briquettes may
carbonate minerals in coals depending on the origin. still be used for domestic heating, certain elements
Commonly found carbonate minerals are calcite, such as As and F may present localized problems.
siderite, dolomite, and ankerite. The amounts of Although considerable information exists pertain-
quartz are also dependent on the origin of the coals. A ing to the concentrations of trace elements in
multitude of accessory minerals can be identified at representative coals, it is much more difficult to
low concentrations indicative of the particular geolo- obtain direct information on the modes of occur-
gical environment of the coal seam. rence of trace elements. On a rather rudimentary
Owing to the difficulty of directly determining the level, elements are often classified by degree of
mineral matter content of coal, it is customary organic or inorganic association based on the
practice to estimate it by calculation using empirical analysis of fractions from physical separation proce-
relationships involving more readily determined dures. Such classifications may be highly misleading
properties. Often used is the Parr formula, or some and may be more a reflection of particle size rather
variation thereof, that relates the mineral matter to than chemical speciation. However, in most coals
the ash content determined by standard procedures many of the elements of potential environmental
with a correction for pyritic sulfur. concern including Co, Ni, Cu, Zn, As, Se, Mo, Cd,
Hg, and Pb tend to be primarily associated with the
sulfide (chalcophile) minerals.
4.5 Trace and Minor Elements
From the geochemical standpoint, the makeup of
coal mineral matter is similar to that of the earth’s
crust, and it contains most of the elements on the
5. PHYSICAL PROPERTIES
periodic table. Although minor and trace element
5.1 Porosity
concentrations vary considerably between coals and
from sample to sample, the elemental survey analysis The porosity of coal may be characterized by its pore
in Table IV illustrates the general level of most of volume and density, surface area, and pore size
Coal, Chemical and Physical Properties 417
TABLE IV
Semi-Quantitative Trace and Minor Element Survey of West Virginia (Ireland Mine) hvAb Coal
H
a
Concentrations (µg/g)
Li Be B C N O F
Fe =1.74% (atomic absorption)
1.5 INT 230 ≤60
Na Mg Al Si P S Cl
b b b b b
300 900 9500 22000 80 520
K Ca Sc Ti V Cr Mn Fe Co Ni Cu Zn Ga Ge As Se Br
b b b b
1000 800 INT 600 12 12 24 REF 3.2 22 7.6 21 4.6 5 7 0.4 18
Rb Sr Y Zr Nb Mo Tc Ru Rh Pd Ag Cd In Sn Sb Te I
14 90 3.9 15 5.1 1.1 ≤0.4 ≤0.2 ≤0.4 ≤0.1 ≤0.5 REF 1.2 0.7 ≤0.2 0.8
Cs Ba La Hf Ta W Re Os Ir Pt Au Hg Tl Pb Bi Po At
11 1.4 5.4 1.2 0.2 1 0.2 1.2 0.2 0.6 0.3 0.4 0.05
Th Pa U
1.9 0.6
aDetermined by spark source mass spectrometry on low-temperature ash renormalized to whole coal basis unless otherwise indicated. Volatile
elements such as halogens, S, and Sb are largely lost in ashing procedure.
b
Determined by X-ray fluorescence on whole coal.
Note. REF, reference; Fe is used as an internal reference; In and Re are added as additional low-concentration references; INT, intereference.
Source: National Energy Technology Laboratory unpublished data.
distribution. These can be determined by a variety of the difference between the particle density (mass of a
experimental techniques, however, the value ob- unit volume of the solid including pores and cracks)
tained is procedure and technique dependent. The and helium density, may comprise as much as 10 to
porosity of coal has great significance in coal mining, 20% of the coal volume. Total pore volumes derived
preparation, and utilization. The inherent moisture using CO2 densities tend to be even higher.
resides in these pores. In its natural state, the pore It is common practice to classify pores greater
structure in coal contains significant amounts of than 50 nm diameter as macropores, pores with
adsorbed methane that is both a mining hazard and diameters in the range 2 nm to 50 nm as mesopores
in some cases a potentially recoverable resource. The (transitional pores), and pores less than 2 nm as
ease of diffusion of methane is determined by the micropores. Conventionally, the physical adsorption
pore volume and pore size distribution. A proposed of gases or fluids is used to provide measurements of
strategy for mitigating greenhouse gas emissions by the pore size distribution of coals as well as a total
sequestration of CO2 in unmineable coal seams is pore volume. The pore size distribution of the macro-
also dependent on the porosity and adsorption and mesopores is often determined by mercury
capacity of the coal. porosimetry techniques. The micropore volume is
then often estimated as the difference between the
5.1.1 Pore Size pore volume calculated from helium or CO2 adsorp-
Coals are highly porous solids with pores that vary in tion data and the pore volume from mercury
size from cracks of micron dimensions to small voids, porosimetry. The porosity in low-rank coals (carbon
which are even closed to helium at room tempera- content o75%) is predominately due to macropores,
ture. The open pore volume of a coal, calculated as the porosity of high volatile bituminous coals
418 Coal, Chemical and Physical Properties
(carbon content 75 to 84%) is largely associated with 5.2 Optical and Spectral Properties
meso- and micropores, while the porosity of higher
5.2.1 Reflectance
rank coals such as low volatile bituminous and
The reflectance is the proportion of directly incident
anthracite is predominately due to micropores.
light, conventionally expressed as a percentage, that
is reflected from a plane polished surface, usually
5.1.2 Surface Area under oil-immersion, and under specified conditions
The internal surface area of coals is rather high and of illumination. The reflectance of coal is rather low
primarily located in the micropores. The most and is usually dominated by the vitrinite reflectance.
commonly used determination methods are based For coals of the same rank, the liptinite maceral
on gas adsorption; CO2 adsorption at 781C has group shows the lowest reflectance and the inertinite
been used extensively. Generally CO2 surface areas group the highest reflectance. There is a continuous
of coals are between 100 m2/g to 300 m2/g, with increase in vitrinite reflectance with carbon content
values near 200 m2/g being typical. and coal rank from less than 1% for low-rank coals
The measured surface area of coals, particularly to more than 4% for very high-rank coals. This is
lignites and brown coals, can be significantly affected usually ascribed to the growth of aromatic clusters
by sampling and sample preparation procedures. and greater structural ordering. Consequently, the
Implementation of gas adsorption procedures re- reflectance is widely used as an index of coal rank.
quires removal of the water present in micropores Procedures for polished specimens have been auto-
without changing the coal structure. Unless suitable mated and standardized (ASTM D2798, ISO 7404/1-
procedures are employed, the structure of low- 5) using polarized green light of wavelength 546 nm.
rank coals can shrink and be irreversibly altered From reflectance measurements in two different
upon drying. media, two additional optical constants, the refractive
index (n) and absorption (extinction) coefficient (k)
can be derived. For vitrinites, refractive indexes
5.1.3 Density
measured range from 1.68 for vitrinite of 58% carbon
The density of coal is usually determined by fluid
content to 2.02 for vitrinite of 96% carbon content.
displacement. Owing to the porous nature of coal
and interactions with the coal matrix, the measured
density depends upon the fluid employed. The true 5.2.2 Absorption Spectra
density is usually determined by helium displacement The ultraviolet and visible absorption is unspecific
with the assumption (not entirely valid) that helium and increases regularly from longer to shorter
will penetrate all of the pores without interacting wavelengths. This is consistent with the ultraviolet
chemically. The density of the organic phase usually and visible absorption being mainly due to electronic
lies between 1.3 g/cm3 to 1.4 g/cm3 for low-rank transitions in condensed aromatic systems. In con-
coals, has a shallow minimum at about 1.3 g/cm3 for trast, in the infrared region, several major diagnostic
mid-rank bituminous coals, and then increases absorption bands can be identified in the spectra of
rapidly with rank and carbon content to as high as properly prepared coal samples despite a relatively
1.7 g/cm3 for anthracite. Other fluids often used to high diffuse background. These bands can be
determine apparent densities are methanol and associated with vibrations involving various structur-
water. The methanol density is consistently higher al groups in the coal.
than the helium density. The water density is similar
to the helium density for many coals, but interpreta-
5.3 Thermal Properties
tion is complicated by the fact that water interacts
with oxygen functionalities present. It may also 5.3.1 Calorific Value
induce swelling, particularly in low-rank coals, The calorific value (heating value) is a direct
opening up porosity that may be closed to helium. indication of the energy available for the production
The particle density is conventionally determined by of steam and probably the most important parameter
mercury displacement. for determining the commercial usefulness of coal.
Most of the mineral constituents in coal have It is also used as a rank classification parameter,
densities about twice that of the organic phase. A particularly for low-rank coals. It is usually deter-
notable exception is pyrite which has a density of mined by the complete combustion of a speci-
about 5 g/cm3. These density differences are fied quantity of coal in standardized calorimetric
exploited in physical coal cleaning procedures. procedures (ASTM D5865; ISO 1928). The calorific
Coal, Chemical and Physical Properties 419
value of coal varies with rank in a manner that can and lignites often display brittleness only when the
be predicted from the changes in chemical composi- rates of stressing are extremely high. The strength of
tion. A typical value on a moist, mineral matter free coal specimens is commonly studied by means of a
basis for bituminous coal or anthracite is about compression test, because the results have direct
30 MJ/kg. Values for low-rank coals tend to be less, application to estimation of the load bearing
even on a moisture free basis, because of their higher capacities of pillars in coal mines. Measurement
oxygen content. results are dependent on the orientation of the
measurement to the bedding plane of the coal. In
5.3.2 Heat Capacity/Specific Heat common with many other rocks, bituminous and
The heat capacity of coal and its products is higher rank coals exhibit a stress-strain curve in
important in the design and development of any compression with an initial nonlinear portion asso-
process that includes the thermal processing of coal ciated with closure of cracks followed by an
and is also important for the complete understanding essentially linear elastic range. The breaking stress
of the fundamental properties of coal. It is usually decreases with increasing specimen size. A depen-
tabulated as the specific heat, that is, the dimension- dence of both compression and impact strength on
less ratio of the heat capacity of the material of rank has been noted with a minimum for coals with
interest to the heat capacity of water at 151C. The 88 to 90% carbon on a moisture- and ash-free basis.
specific heat of coal usually increases with its One of the most used parameters associated with
moisture content, carbon content, and volatile the mechanical properties of coal is Young’s mod-
matter content. The values for specific heats of ulus, a measure of the compressive or tensile strength
various coals typically fall into the general range of of the coal relative to the strain or deformation
0.25 to 0.35. They can be estimated using a semi- before fracture. Measurements of Young’s modulus
empirical relationship between the specific heat and in compression and in bending have been made for
the elemental analysis. bituminous coal and anthracite, the mean values
being about 3.4 109 Pa to 4.3 109 Pa, respec-
5.3.3 Thermal Conductivity tively. Measurement of the elastic properties of bulk
The thermal conductivity is useful in estimating the coals are closely concerned with the presence of
thermal gradients in coal combustion furnaces and cracks or flaws and these must be taken into account
coal conversion reactors. It is difficult to assign a in interpreting the results of stress-strain measure-
single value to the thermal conductivity of in place ments and derived elastic constants.
coal in a coal bed because in many cases the thermal
conductivity parallel to the bedding plane appears to 5.4.2 Grindability
be higher than the thermal conductivity perpendicu- The grindability of coal, or the ease with which it
lar to the bedding plane. The thermal conductivity of may be ground fine enough for use as a pulverized
anthracite is of the order of 0.2 W/(m. K) to 0.4 W/ fuel, is of considerable practical importance. It is a
(m. K), and the thermal conductivity of bituminous composite physical property usually evaluated by
coal is typically in the range 0.17 W/(m. K) to empirical tests; the Hardgrove grindability procedure
0.29 W/(m. K). The thermal conductivity of coal and index (ASTM D409, ISO 5074) is commonly
generally increases with an increase in apparent used. In general, the easier-to-grind coals are in the
density as well as with volatile matter content, ash medium- and low-volatile bituminous ranks. They
content, and temperature. are easier to grind than coal of the high volatile
However, it is pulverized coal that is of interest for bituminous, subbituminous, and anthracite ranks.
many applications. The thermal conductivity of High moisture contents, such as may be encountered
pulverized coal is lower than that of the correspond- in low-rank coals, lead to difficulty in grinding.
ing in place coal. For example, the thermal con-
ductivity of pulverized bituminous coal usually falls 5.4.3 Friability
in the range 0.11 W/(m. K) to 0.15 W/(m. K). The friability is another empirically evaluated
composite coal property of great significance in coal
mining and beneficiation. Standard tests (ASTM
5.4 Mechanical Properties
D440, ASTM D441) provide a measure of the
5.4.1 Strength and Elasticity tendency of coal toward breakage on handling.
At room temperature, bituminous and higher rank Low-rank coals with high moisture content tend to
coals behave as brittle solids, whereas brown coals be the least friable. The friability typically increases
420 Coal, Chemical and Physical Properties
with coal rank, reaching a maximum for low volatile Some of the associated mineral matter may be
bituminous coals and then decreasing for anthracite. ferromagnetic necessitating chemical removal before
measurements. Correction for the paramagnetic
contribution is possible by establishing the effect of
5.5 Electrical Properties
temperature, then extrapolating to infinite tempera-
5.5.1 Electrical Conductivity (Resistivity) ture where paramagnetism essentially vanishes.
The electrical conductivity of most coals is rather Magnetized susceptibilities of many demineralized
low. This parameter is usually expressed as its coals have been found to lie between 4 10 5 m3/
reciprocal, the resistivity or specific resistance. The kg and 5 10 5 m3/kg. The susceptability of one
resistivity decreases with increase in both rank and anthracite has been found to be 9.15 10 5 m3/kg
temperature. Dry bituminous coals have a specific and exhibited anisotropy parallel and perpendicular
resistance between 1010 and 1014 ohm cm at room to the bedding layers.
temperature and can be classed as semiconductors. Only a slight dependence of the true diamagnetic
There is a rapid decrease in resistivity as the carbon susceptibility of coals on carbon content has been
content of coals becomes greater than 87% owing demonstrated. The susceptibility can be related to the
to an increase in the three-dimensional ordering calculated sums of the atomic susceptibilities of the
of the carbon atoms that facilitates freer move- component elements, with modification for carbon in
ment of electrons from one region to another. various ring structures. From these results, estimates
Anthracites have a specific resistance between 1 of the average number of aromatic rings per
and 105 ohm cm, which is orientation dependent. structural unit can be made.
The moisture content of coals strongly affects
measurement results, since the specific resistance of 5.6.2 Magnetic Resonance
water is about 106 ohm cm. Stable free radicals or other paramagnetic species
containing unpaired electrons are present in all coals.
5.5.2 Dielectric Constant These free radicals will interact with applied
The dielectric constant is a measure of the electro- magnetic fields and can be studied by electron spin
static polarizability of the electrons in coal. It is resonance spectroscopy which measures the absorp-
strongly dependent on the water content and indeed tion of electromagnetic radiation, usually in the
has been used to estimate the water content of low- microwave region, by a material in an appropriately
rank coal. For carefully dried coal, the dielectric strong external magnetic field. The conventional
constant varies with coal rank. The value is electron spin resonance spectrum of coal consists of a
approximately 5 for lignite, drops to a minimum of single broad line without resolvable hyperfine struc-
approximately 3.5 for bituminous coal, and then ture, but information regarding the overall concen-
rises abruptly with increasing carbon content to a tration of free radicals and their general nature can
value of 5 for anthracite. Maxwell’s relation that still be derived. The free radical concentrations in
equates the dielectric constant of a non-polar coal increase approximately exponentially with
material to the square of the refractive index only increasing carbon content up to a carbon content
holds for coal at the minimum dielectric constant. of about 94%, after which a rapid decrease in the
The decrease in dielectric constant from lignite to number of free spins is observed. Typical free spin
bituminous coal may be attributed to the loss of concentrations range from 1 to 6 1018 g 1 for
polar functional groups. The increase in the dielectric lignites to 5.3 1019 g 1 for an anthracite. These
constant as the carbon content increases toward free radicals appear to be primarily associated with
anthracite has been attributed to the presence of the aromatic structures in the coal.
polarizable electrons in condensed aromatic systems Coals also are composed of many atomic nuclei
that increase in size with coal rank. (e.g., 1H and 13C) that have a nonzero nuclear spin
and the resulting nuclear magnetic moments will
also interact with applied magnetic fields and can
5.6 Magnetic Properties
be studied by nuclear magnetic resonance techni-
5.6.1 Magnetic Susceptibility ques employing radio frequency radiation. In parti-
The organic phase of coal is slightly diamagnetic— cular, 13C nuclear magnetic resonance has provided
that is, there is a net repulsion when placed in a a great deal of useful information on the chemical
magnetic field. There are also traces of paramagnet- types and environment of carbon atoms in solid
ism, at least partially due to stable free radicals. coals.
Coal, Chemical and Physical Properties 421
comprehensive national coal information database. The Center for Coal in Sustainable Development
The original goal was to obtain and characterize at (CCSD) also maintains a coal bank of 14 represen-
least one sample per coal bed from every geographic tative Australian coals that have been analyzed by
quadrangle (approximately 50 square miles) under- standard procedures and are available for research
lain by coal in the United States. The database, now purposes.
known as the National Coal Resources Data System,
is the largest publicly available database of its kind.
Readily accessible are comprehensive analyses of a SEE ALSO THE
subset of more than 13,000 samples of coal and FOLLOWING ARTICLES
associated rocks from every major coal-bearing basin
and coal bed in the United States. Also available from Clean Coal Technology Coal Conversion Coal,
the USGS is coal quality information on selected Fuel and Non-Fuel Uses Coal Industry, Energy
coals of the Former Soviet Union compiled in Policy in Coal Industry, History of Coal Mine
cooperation with the Vernadsky State Geologic Reclamation and Remediation Coal Mining, Design
Museum and the Russian Academy of Sciences. and Methods of Coal Mining in Appalachia,
The Premium Coal Sample Program implemented History of Coal Preparation Coal Resources,
at Argonne National Laboratory resulted in the Formation of Coal Storage and Transportation
availability of samples of eight highly uniform, Markets for Coal
premium (unexposed to oxygen) coals for laboratory
researchers investigating coal structure, properties, Further Reading
and behavior. The suite of coals include a lignite,
Argonne National Laboratory. ‘‘Users Handbook for the Argonne
subbituminous, high-volatile, medium-volatile, and
Premium Coal Sample Program.’’ Found at www.anl.gov.
low-volatile bituminous, as well as a liptinite-rich, an ASTM Committee D-5 on Coal and Coke (2003). Gaseous
inertinite-rich, and a coking coal. Associated with fuels, coal and coke.‘‘Annual Book of ASTM Standards,’’
this program is a comprehensive database of Vol. 05.06. American Society for Testing and Materials. West
information developed from these representative Conshohocken, PA.
coals and an extensive bibliography of published Berkowitz, N. (1985). ‘‘The chemistry of coal. Coal Science and
Technology, 7.’’ Elsevier, New York.
research carried out using them. The British Coal Utilization Research Association (BCURA) Coal
The Energy Institute at the Pennsylvania State Bank. Found at www.bcura.org.
University maintains the Penn State Coal Sample International Organization for Standardization (ISO). Technical
Bank and Database, which still has more than 1100 Committee 27, Subcommittee 5 (Solid Mineral Fuels). Found at
coal samples available for distribution. Particularly www.iso.ch.
NAS-NRC Committee on Chemistry of Coal (1963). ‘‘Chemistry
useful is the subset maintained as the Department of of Coal Utilization, Supplementary Volume’’ (H. H. Lowry,
Energy Coal Sample Bank and Database. This Ed.), Chapters 1–6. John Wiley & Sons, New York.
comprises a suite of 56 carefully sampled coals NAS-NRC Committee on Chemistry of Coal (1981). ‘‘Chemistry
stored in argon in foil/polyethylene laminate bags of Coal Utilization, Second Supplementary Volume’’ (M. A.
under refrigeration and an associated computer Elliott, Ed.), Chapters 1–8. John Wiley & Sons, New York.
National Research Council Committee (1945). ‘‘Chemistry of Coal
accessible database of analyses. Utilization’’ (H. H. Lowry, Ed.), Vol. 1. John Wiley & Sons,
The British Coal Utilization Research Association New York.
(BCURA) maintains a coal sample bank containing The Pennsylvania State University Energy Institute, Coal and
36 well-characterized coal samples ranging from Organic Petrology Laboratories, Penn State Coal Sample Bank
lignite to anthracite. These are primarily coals from and Database. Found at www.ems.psu.edu.
U.S. Geological Survey, National Resources Data System, U.S.
the United Kingdom, but also now include a number Coal Quality Database. Found at www.energy.er.usgs.gov.
of internationally traded, primarily power station van Krevelen, D. W. (1961). ‘‘Coal.’’ Reprinted 1981 as ‘‘Coal Science
coals. and Technology,’’ Vol. 3. Elsevier, Amsterdam, The Netherlands.
Coal Conversion
MICHAEL A. NOWAK
U.S. Department of Energy, National Energy Technology Laboratory
Pittsburgh, Pennsylvania, United States
ANTON DILO PAUL and RAMESHWAR D. SRIVASTAVA
Science Applications International Corporation, National Energy Technology
Laboratory Pittsburgh, Pennsylvania, United States
ADRIAN RADZIWON
Parsons, National Energy Technology Laboratory
South Park, Pennsylvania, United States
1. COMBUSTION
1. Combustion
2. Pyrolysis and Coking There are several technologies currently in use to
3. Gasification burn coal. Whichever technology is used, the basic
4. Liquefaction chemistry of combustion is the same. Although coal
is used in a wide range of processes, the vast majority
is simply burned to obtain heat. The majority of that
heat is used to produce steam for electric power
Glossary
production. The balance is used to provide process
gasification Partial oxidation of coal to produce a steam and steam for space heating. This is the case
mixture consisting primarily of carbon monoxide and worldwide, more so in the United States. The
hydrogen. following are the basic important reactions that
hydrogenation Chemical addition of hydrogen to an summarize the combustion process:
unsaturated molecule.
integrated gasification combined cycle A process that C þ O2 -CO2
integrates a combustion turbine fed by a coal gasifier H2 þ 1=2O2 -H2 O
and waste heat recovery to produce steam for a steam
turbine or process heat. S þ O2 -SO2
NOx Chemical shorthand for a mixture of oxides of N ðfuel-boundÞ þ O2 -NOx
nitrogen; the components of NOx are acid rain
N2 ðatmosphericÞ þ O2 -NOx
precursors and also participate in atmospheric ozone
chemistry. The first two reactions are important because they
SO2 Chemical shorthand for sulfur dioxide; SO2 is an acid account for nearly all the heat released in the
rain precursor.
combustion process. The last three are important
since they produce pollutants that must be controlled
if coal is to be burned in an environmentally
Chemical conversion of coal can be divided into acceptable manner. In addition to SO2 and NOx,
broad categories: combustion to provide process heat particulate matter is also a pollutant that needs to be
and steam and chemical conversion to liquid or controlled, with the current emphasis being on
gaseous fuels and chemicals. This article discusses the particles that are less than 2.5 mm in diameter.
combustion of coal for the purposes of making Particulate matter is readily controlled with electro-
electricity and the conversion of coal into solid, static precipitators or fabric filters. Development
gaseous, or liquid products that can be used in work continues to improve the performance of these
metallurgical processing or converted into finished devices and to allow them to operate at higher
fuels and chemicals. temperatures. Work is also being carried out on
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 425
426 Coal Conversion
production of a smokeless fuel (char) for domestic Process conditions also affect the product char. At
heating and cooking purposes. It was soon realized in temperatures higher than 13001C, the inorganic
the manufacture of char for fuel that the coal tar components of coal can be separated from the
fraction contained valuable chemical products that products as slag. Rapid heating, conducted in a
could be separated through refining. However, as reactive atmosphere, produces a char with higher
inexpensive petroleum appeared in the mid-1900s, porosity and reactivity. The use of finer coal particles,
interest in coal pyrolysis and its by-products faded. lower temperatures resulting in longer process times,
Coal pyrolysis processes are generally classified as and the complexities of using vacuum, pressure, or
low temperature (o7001C), medium temperature hydrogen all add to the cost of coal pyrolysis.
(700–9001C), or high temperature (49001C). Coal The uses of coal pyrolysis liquids can be divided
undergoes many physical and chemical changes when into two broad categories: (i) direct combustion,
heated gradually from ambient temperature to requiring little or no upgrading, and (ii) transporta-
approximately 10001C. Low-temperature changes tion fuels and chemical, requiring extensive upgrad-
include loss of physically sorbed water, loss of ing. Much attention with regard to low-temperature
oxygen, and carbon–carbon bond scission. At higher tar processing has been devoted to hydroprocessing
temperatures (375–7001C), thermal destruction of techniques, such as hydrotreating and hydrocrack-
the coal structure occurs, as reflected by the forma- ing, with the primary objectives of reducing viscosity,
tion of a variety of hydrocarbons, including methane, reducing polynuclear aromatics, and removing het-
other alkanes, polycyclic aromatics, phenols, and eroatoms (sulfur, nitrogen, and oxygen) to produce
nitrogen-containing compounds. In this temperature usable fuels and chemicals. The cost of hydrogen is
range, bituminous coals often soften and become the primary impediment to tar upgrading. The tar
plastic (thermoplastic) to varying degrees. At tem- fraction can be used as a source for chemicals, such
peratures between 600 and 8001C, the plastic mass as phenolics, road tars, preservatives, and carbon
undergoes repolymerization and forms semicoke binders, but these uses do not constitute a large
(solid coke containing significant volatile matter). enough market to support a major coal pyrolysis
At temperatures exceeding 6001C, semicoke hardens industry.
to form coke with the evolution of methane, Probably the most common application of coal
hydrogen, and traces of carbon oxides. Pyrolysis of pyrolysis is in the production of coke. The production
coal is essentially complete at approximately 10001C. of metals frequently requires the reduction of oxide-
During pyrolysis, the yield of gaseous and liquid containing ores, the most important being production
products can vary from 25 to 70% by weight, of iron from various iron oxide ores. Carbon in the
depending on a number of factors, including coal form of coke is often used as the reducing agent in a
type, pyrolysis atmosphere, heating rate, final pyr- blast furnace in the manufacture of pig iron and steel.
olysis temperature, and pressure. Although certain The blast furnace is basically a vertical tubular vessel
operating conditions may increase product yield, in which alternate layers of iron ore, coke, and
achieving these conditions may result in increased limestone are fed from the top. Coal cannot be fed
costs. Coal rank is the predominant factor in directly at the top of a blast furnace because it does
determining pyrolysis behavior. Higher rank coal, not have the structural strength to support the column
particularly high volatile A bituminous coals, pro- of iron ore and limestone in the furnace while
duce the highest yield of tar. However, higher rank maintaining sufficient porosity for the hot air blast
coals give products that tend to be more aromatic to pass upward through the furnace.
(i.e., they have a lower hydrogen:carbon ratio). Not all coals can produce coke that is suitable for
Other factors that can improve pyrolysis yields are use in a blast furnace. The property that distinguishes
lower pyrolysis temperatures, utilization of smaller coking coals is their caking ability. Various tests are
particle size coal, and reduced pressure or employing performed to identify suitable coal for conversion to
a reducing (i.e., hydrogen) atmosphere. A reducing coke through pyrolysis. Frequently, several coals are
atmosphere also improves the yield of liquid and blended together to achieve the necessary coal
lighter products. Heating rate also affects yield properties to produce a suitable coke. Commercial
distribution, with rapid heating providing a higher coke-making processes can be divided into two
liquid:gas ratio. Pyrolysis in the presence of other categories: nonrecovery coke making and by-product
gases, particularly steam, has been investigated and is coke making.
reported to improve liquid and gas yields, but little In nonrecovery coke plants, the volatile compo-
information is available. nents released during coke making are not recovered
Coal Conversion 429
but, rather, are burned to produce heat for the coke the oven. Some gas is trapped in the plastic mass,
oven and for auxiliary power production. One of the giving the coke its porous character. When coking is
earliest nonrecovery units was the beehive oven, complete, the incandescent coke mass is pushed from
which for many years produced most of the coke the oven and wet or dry quenched prior to being sent
used by the iron and steel industry. With these ovens, to the blast furnace. Modern coke ovens trap the
none of the by-products produced during coking emissions released during coke pushing and quench-
were recovered. Because of their low efficiency and ing so that air pollution is at a minimum.
pollution problems, beehive ovens are no longer in Gases evolving during coking are commonly
use in the United States. termed coke oven gas. In addition to hydrogen and
Nonrecovery coking takes place in large, rectan- methane, which constitute approximately 80 volume
gular chambers that are heated from the top by percent of typical coke oven gas, raw coke oven gas
radiant heat transfer and from the bottom by also contains nitrogen and oxides of carbon and
conduction through the floor. Primary air for the various contaminants, such as tar vapors, light oil
combustion of evolved volatiles is controlled and vapors (mainly benzene, toluene, and xylene),
introduced through several ports located above the naphthalene, ammonia, hydrogen sulfide, and hydro-
charge level. Combustion gases exit the chamber gen cyanide. The by-product plant removes these
through down comers in the oven walls and enter the contaminants so that the gas can be used as fuel. The
floor flue, thereby heating the floor of the oven. volatiles emitted during the coking process are
Combustion gases from all the chambers collect in a recovered as four major by-products: clean coke
common tunnel and exit via a stack that creates a oven gas, coal tar, ammonium sulfate, and light oil.
natural draft for the oven. To improve efficiency, a Several processes are available to clean coke oven gas
waste heat boiler is often added before the stack to and separate its constituents.
recover waste heat and generate steam for power In the past, many products valuable to industry
production. and agriculture were produced as by-products of
At the completion of the coking process, the doors coke production, but today most of these materials
of the chamber are opened, and a ram pushes the hot can be made more economically by other techniques.
coke (approximately 20001F) into a quench car, Therefore, the main emphasis of modern coke by-
where it is typically cooled by spraying it with water. product plants is to treat the coke oven gas
The coke is then screened and transported to the sufficiently so that it can be used as a clean,
blast furnace. environmentally friendly fuel. Coke oven gas is
The majority of coke produced in the United generally used in the coke plant or a nearby steel
States comes from by-product coke oven batteries. plant as a fuel.
By-product coke making consists of the following
operations: (i) Selected coals are blended, pulverized,
and oiled for bulk density control; (ii) the blended 3. GASIFICATION
coal is charged to a number of slot type ovens, each
oven sharing a common heating flue with the Coal was first gasified in England by William
adjacent oven; (iii) the coal is carbonized in a Murdock in 1792, and the world’s first coal gas
reducing atmosphere while evolved gases are col- company was chartered in England in 1812. Coal gas
lected and sent to the by-product plant for by- was first produced in the United States in 1816 in
product recovery; and (iv) the hot coke is discharged, Baltimore, and by 1850 more than 55 commercial
quenched, and shipped to the blast furnace. coal gasification plants in the United States were
After the coke oven is charged with coal, heat is generating gas for lighting and heating. During the
transferred from the heated brick walls to the coal late 1800s and early 1900s, a large number of coal
charge. In the temperature range of 375–4751C the gasifiers operated commercially in the United States
coal decomposes to form a plastic layer near the and Europe to produce industrial and residential fuel
walls. From 475 to 6001C, there is marked evolution gas.
of aromatic hydrocarbons and tar, followed by Most of the early gasifiers were moving bed units,
resolidification into semicoke. At 600–11001C, coke charged with sized coal and blown with steam and
stabilization occurs, characterized by contraction of air to generate ‘‘producer gas’’ (150 Btu/scf). Operat-
the coke mass, structural development of coke, and ing these moving bed gasifiers in a cyclic mode
final hydrogen evolution. As time progresses, the (blowing first with air to heat the coal, followed
plastic phase moves from the walls to the center of by contact with steam to produce ‘‘water gas’’)
430 Coal Conversion
increased the heating value of the product gas to reaction. Because coal chars are highly microporous,
300 Btu/scf. The heating value was further increased most of the gasification reactions take place inside
to approximately 500 Btu/scf by cofeeding oi1 with the char particles.
steam to produce ‘‘carbureted water gas,’’ which The reducing nature of the product gas causes
contained hydrocarbons in addition to H2 and CO. most heteroatoms (sulfur, nitrogen, and chlorine) to
An early gasification process, still in use today, was appear in reduced form as hydrogen sulfide, ammo-
that developed by Lurgi. nia, and hydrogen chloride. In most cases, these
Extensive process development was carried out in materials are scrubbed from the product gas before it
the United States in the late 1940s to mid-1950s, is burned or reacted. Ammonia and HCl are very
prompted by a concern that natural gas reserves were water soluble and easily removed by a water wash,
limited. Recent interest in coal gasification has been and several processes are available for removal of
driven by the potential of integrated gasification H2S. Typical gasifier raw gas has a composition of
combined cycle (IGCC) facilities to increase the 25–30% H2, 30–60% CO, 5–15% CO2, 2–30%
efficiency of power production while reducing H2O, and 0–5% CH4. Other components include
emissions. H2S, COS, NH3, N2, Ar, and HCN, depending on
The initial step in coal gasification involves the composition of the coal, the purity of the oxygen
grinding and/or pretreatment of the coal to put it used, and the operating conditions.
into a form suitable for injection into the gasifier. In Gasification processes can be classified into three
the gasifier, the coal is heated in the presence of a major types: moving bed (countercurrent flow),
reactive gas (air, oxygen, and steam), the nature of fluidized bed (back-mixed); and entrained-flow (not
which depends on the product desired. Reactions backmixed). Moving bed gasifiers consist of a
occurring during gasification of coal can be divided downward-moving bed of coal in contact with a
into three groups: pyrolysis reactions (thermal countercurrent flow of gas moving upward through
decomposition of the coal), gasification reactions the bed. As it moves down the bed, the coal
(gas–solid reactions), and gas–gas reactions. The undergoes the following processes: drying, devolati-
following are major reactions: lization, gasification, combustion, and ash cooling.
Moving bed gasifiers can be operated at atmospheric
Pyrolysis reaction or higher pressure with either air or oxygen as the
Cx Hy -ðx y=4ÞC þ y=4CH4 oxidant, with ash removed either dry or molten, and
Gas2solid reactions with or without stirrers to prevent agglomeration. At
C þ 1=2O2 -CO the top of the bed, the hot upward-flowing gases dry
the coal. As the coal moves down, its temperature
C þ O2 -CO2 increases until at approximately 315–4801C pyroly-
C þ H2 O-CO þ H2 sis occurs, generating gases, oils, and tars. As the
C þ CO2 -2CO resulting char moves further down the bed, it is
C þ 2H2 -CH4 gasified by reaction with steam, carbon dioxide, and
hydrogen to produce a mixture of carbon monoxide,
Gas2gas reactions hydrogen, methane, carbon dioxide, unreacted
CO þ H2 O-H2 þ CO2 steam, and a small amount of other gases. Below
CO þ 3H2 -CH4 þ H2 O this zone, char is combusted by reaction with
oxygen.
The first reaction that occurs is pyrolysis or The ratio of steam to oxygen in the gasifier
devolatilization. Depending on the type of gasifier, controls the temperature in the combustion zone. If
condensable hydrocarbons may be collected as a by- dry-bottom operation is desired, sufficient steam is
product or may be completely destroyed. Combus- added to offset the exothermic oxidation reactions
tion reactions are the fastest gasification reactions with endothermic steam–carbon reactions to stay
and are highly exothermic. Oxidation reactions below the ash fusion temperature. Slagging gasifiers
occur rapidly with essentially complete oxygen operate at a higher temperature, and ash is removed
utilization. The primary combustion products are in a molten state and then quenched in a water bath.
CO and CO2. The gas–solid reactions illustrate the Moving bed gasifiers require sized coal for proper
gasification of char by reaction with various gases. In operation, typically in a range 0.25–2 in.
addition to the carbon–steam reaction, steam under- In a fluidized bed gasifier, reactant gases are
goes a side reaction called the water gas shift introduced through a distributor at the bottom of
Coal Conversion 431
the bed at a velocity sufficient to suspend the feed This type of gasifier may be either single stage or two
particles. The result is a bed of highly mixed solids in stage. In general, high temperatures (650–9601C) are
intimate contact with the gas phase. The high degree used to achieve complete gasification of the coal in a
of mixing leads to a uniform temperature throughout mixture with steam and oxygen or air.
the bed and results in reaction rates that are typically Entrained-flow gasifiers can handle all coals,
higher than those experienced in moving bed including strongly caking coals, without pretreatment.
gasifiers. The high temperature of operation produces a gas free
Exit gas temperature for a fluidized bed gasifier is of methane, oils, and tar. In two-stage gasifiers, the
higher than that for a moving bed gasifier, resulting incoming coal is first entrained with reactant gases to
in further pyrolysis of intermediate hydrocarbon produce syngas and char; the resultant char is gasified
products so that the product gas contains a much further in a second stage, which may or may not be
lower concentration of tar/oil. Unconverted char and entrained. Because the more reactive incoming coal
ash are removed as dry solids. If strongly caking can be gasified at a lower temperature than the less
coals are used, pretreatment is required. Fluidized reactive char, staged operation achieves better overall
bed gasifiers can be operated at atmospheric or thermal efficiency without sacrificing higher through-
higher pressure. The fluidizing gas is a mixture of put. Entrained-flow gasifiers can be operated at
steam with either air or oxygen. atmospheric or higher pressure, and ash may be
In an entrained-flow gasifier (Fig. 2), a mixture of removed either dry or molten.
finely ground coal entrained in a reactant gas flows Many different gasifiers have been developed, at
through the reactor, with little or no backmixing. least through the demonstration stage, by a variety of
organizations, both public and private. However, not
Oxygen
all these gasifiers have achieved commercial success,
and improved processes now supercede some tech-
Coal
nologies that were widely used in the past. In 1999,
the Texaco, Shell, and Lurgi (dry ash) processes
Steam
accounted for more than 75% of the installed and
planned coal gasification capacity, with Texaco being
the leader with almost 40% of installed capacity.
High reliability, acceptable capital and operating
costs, and minimal environmental impact make coal
gasifiers attractive for utility applications. Numerous
studies confirm that gasifiers coupled with a gas
turbine/steam turbine combined cycle represent one
of the most promising technologies for future coal-
based power generation. IGCC technologies offer the
potential for high efficiencies with low pollutant
emissions. High efficiencies are achieved in IGCC
operation by combining efficient combustion tur-
bines with a steam turbine bottoming cycle.
A major goal of power production is minimal
Product
Quench gas
environmental impact. Since the product gas from
Water
IGCC systems is purified before combustion, burning
this clean fuel results in low pollutant emissions. Ash
leaving the system is usually in the form of molten
slag that is water quenched to form benign vitreous
material suitable for a variety of uses or for disposal
in a nonhazardous landfill. On balance, coal gasifica-
tion systems are environmentally superior to alter-
native coal utilization technologies and can meet
rigorous environmental standards for SO2, NOx, and
particulates. Also, because of their increased effi-
Black water
ciency, IGCC plants emit less CO2, the major
FIGURE 2 Configuration for Texaco coal gasification process. greenhouse gas, per unit of electricity generated.
432 Coal Conversion
Intimate contact between solid coal and solvent is Fischer–Tropsch reaction is basically a chain poly-
easier to achieve than that between coal and gaseous merization reaction followed by hydrogenation. The
hydrogen; therefore, in addition to serving as vehicle reactions are conducted at pressures ranging from
and solvent, the coal liquefaction solvent also serves 1 to 30 atm and at 200–3501C. The growth of the
as a hydrogen shuttle or donor solvent. After linear chains follows an Anderson–Schultz–Flory
transferring hydrogen to the coal, the hydrogen- (normal) distribution and can be described by the
depleted donor solvent reacts with the gaseous term a. When a ¼ 0, methane is the product. As a
hydrogen, regenerating itself. Processes can be approaches 1, the product becomes predominantly
designed so that they rely primarily on dissolution, high-molecular wax. Iron catalysts may be employed
use one-stage or two-stage hydrogenation with or when the gasification step produces a synthesis gas
without catalyst addition, and use various schemes with insufficient hydrogen because iron is known to
for recovery and regeneration of solvent. promote the water gas shift reaction, thus synthesiz-
If dissolution is the primary mechanism for ing additional hydrogen in situ.
converting coal, the product is really an ash-free The Fischer–Tropsch reaction is highly exother-
solid that, if desired, can undergo further processing. mic. The first commercial units used fixed bed shell
When hydrogenation schemes are employed, the and tube reactors. Because of the excess heat
resulting liquid products are rich in aromatic and produced, the diameter of the tubes is limited. Tube
olefinic materials, and after separation from mineral packing is also cumbersome. By using fluidized beds,
matter and unconverted coal they need to be tubes could be made larger and temperature control
upgraded to finished products through conventional still maintained. However, the fluidized bed requires
refinery operations such as distillation and hydro- a higher operating temperature (3401C) and deposi-
treating. The exact product slate will depend on the tion of products on the catalysts disrupts fluid bed
type of coal used, solvent employed, and specific operations. A newer concept, the slurry bubble
operating conditions. contact reactor (SBCR), uses finely divided catalyst
Indirect liquefaction is the production of fuels or dispersed in inert liquid while reactive gases are
chemicals from synthesis gas derived from coal. introduced from the bottom of the reactor. Heat
Synthesis gas is a mixture of hydrogen and carbon exchanger tubes provide temperature control. The
monoxide. A hydrogen:carbon monoxide ratio of SBCR offers high throughput and simplicity of
approximately 2:1 is required for hydrocarbon design. Sasol commissioned a commercial SBCR
production. The by-product is water. In coal lique- (2500 bbl/day) in 1993.
faction, the synthesis gas is produced by coal The resulting hydrocarbon products need to be
gasification. separated from oxygenated by-products and further
Franz Fischer and Hans Tropsch first reported the refined into finished fuels or petrochemical feed-
hydrogenation of carbon monoxide in 1925. By- stocks. When wax is a predominant product, the wax
products to the straight-chain hydrocarbons were a can be cracked to produce high-quality diesel fuels
mixture of alcohols, aldehydes, and acids. Nine and jet fuels. Because the gasification process allows
Fischer–Tropsch plants operated in Germany during for ready removal of contaminants from the synthesis
World War II. Japan also had Fischer–Tropsch plants gas product, the resulting Fischer–Tropsch products
during World War II. In 1953, South Africa, well have sulfur levels below the detection limits. Olefinic
endowed with coal resources but lacking significant products can be used in place of petrochemical
petroleum sources, began construction of a Fischer– feedstocks.
Tropsch plant at Sasolburg, near Johannesburg. The As suggested by the discussion on Fischer–Tropsch
plant is operated by the South African Coal Oil and synthesis, synthesis gas can also be converted to
Gas Corporation, commonly known as Sasol. In oxygenated liquids, including methanol, higher
1973, Sasol began construction of a second plant, alcohols, and ketones. In the presence of a catalyst,
called Sasol-2, at Secunda. Eventually, a third plant, often a zinc–chromium or copper–zinc catalyst,
Sasol-3, came online in 1989. No commercial synthesis gas can be converted to methanol. The
Fischer–Tropsch plants have been built since, coal conversion plant at Kingsport, Tennessee,
although there is considerable interest in manufac- combines coal gasification with methanol synthesis
turing fuels from synthesis gas obtained by the steam in a SBCR. Methanol can be used as a fuel or as a
reforming of methane. chemical feedstock. It can also be dehydrated and
The Fischer–Tropsch reaction occurs over a polymerized over a zeolite catalyst to produce
catalyst, typically iron or cobalt based. The gasoline-like products.
434 Coal Conversion
SEE ALSO THE tion’’ (M. A. Elliott, Ed.), 2nd Suppl. Vol., pp. 2071–2158.
Wiley, New York.
FOLLOWING ARTICLES Khan, M. R., and Kurata, T. (1985). ‘‘The feasibility of mild
gasification of coal: Research needs, Report No. DOE/METC-
Clean Coal Technology Coal, Chemical and 85/4019, NTRS/DE85013625.’’ Department of Energy, Wa-
Physical Properties Coal, Fuel and Non-Fuel Uses shington, DC.
Coal Industry, Energy Policy in Coal Industry,
Penner, S. S. (1987). Coal gasification: Direct applications
and synthesis of chemicals and fuels: A research needs
History of Coal Mine Reclamation and Remedia- assessment, Report No. NTIS-PR-360. Office of Energy
tion Coal Mining, Design and Methods of Coal Research, Washington, DC.
Mining in Appalachia, History of Coal Preparation Probstein, R. F., and Hicks, R. E. (1982). ‘‘Synthetic Fuels.’’
Coal Resources, Formation of Coal Storage and McGraw-Hill, New York.
Richardson, F. W. (1975). ‘‘Oil from Coal.’’ Noyes Data, Park
Transportation Markets for Coal Ridge, NJ.
Schobert, H. H. (1987). ‘‘Coal: The Energy Source of the Past and
Further Reading Future.’’ American Chemical Society, Washington, DC.
Seglin, L., and Bresler, S. A. (1981). Low-temperature
Alpert, S. B., and Wolk, R. H. (1981). Liquefaction processes. In pyrolysis technology. In ‘‘Chemistry of Coal Utilization’’
‘‘Chemistry of Coal Utilization’’ (M. A. Elliott, Ed.), 2nd Suppl. (M. A. Elliott, Ed.), 2nd Suppl. Vol., pp. 785–846. Wiley,
Vol., pp. 1919–1990. Wiley, New York. New York.
Bartok, W., and Sarofim, A. F. (eds.). (1993). ‘‘Fossil Fuel SFA Pacific (1993). Coal gasification guidebook: Status, applica-
Combustion—A Source Book.’’ Wiley, New York. tions and technologies, Research Project No. 2221-39. EPRI,
Bartok, W., Lyon, R. K., McIntyre, A. D., Ruth, L. A., and Palo Alto, CA.
Sommerlad, R. E. (1988). Combustors: Applications and design Singer, J. G. (ed.). (1991). ‘‘Combustion Fossil Power—A
considerations. Chem. Eng. Prog. 84, 54–71. Reference Book on Burning and Steam Generation.’’ Combus-
Berkowitz, N. (1979). ‘‘An Introduction to Coal Technology.’’ tion Engineering, Windsor, Ontario, Canada.
Academic Press, New York. Solomon, P.R., and Serio, M. A. (1987). Evaluation of coal
Brown, T., Smith, D., Hargis, R., and O’Dowd, W. (1999). pyrolysis kinetics. In ‘‘Fundamentals of Physical Chemistry of
Mercury measurement and its control: What we know, have Pulverized Coal Combustion’’ (J. Lahaye and G. Prado, Eds.).
learned, and need to further investigate. J. Air Waste Manage- Nijhoff, Zoetermeer.
ment Assoc. 49, 628–640. Stultz, S. C., and Kitto, J. B. (1992). ‘‘Steam—Its Generation and
Derbyshire, F. (1986). Coal liquefaction. In ‘‘Ullmann’s Encyclo- Use.’’ Babcock & Wilcox, Barberton, OH.
pedia of Industrial Chemistry,’’ Vol. A7. VCH, New York. U.S. Department of Energy (1989). ‘‘Coal liquefaction: A research
El Sawy, A., Gray, D., Talib, A., and Tomlinson, G. (1986). and development needs assessment, DOE Coal Liquefaction
A techno-economic assessment of recent advances in direct coal Research Needs (COLIRN) Panel Assessment Final Report, Vol
liquefaction, Sandia Contractor Report No. SAND 86–7103. 2, DOE/ER-0400.’’ U.S. Department of Energy, Washington,
Sandia National Laboratory, Albuquerque, NM. DC.
Elliott, M. A. (ed.). (1981). ‘‘Chemistry of Coal Utilization.’’ U.S. Department of Energy, Morgantown Energy Technology
Wiley–Interscience, New York. Center (1991). ‘‘Atmospheric Fluidized Bed Combustion—A
Gavalas, G. R. (1982). Coal pyrolysis. In ‘‘Coal Science and Technical Source Book,’’ Publication No. DOE/MC/1435-2544.
Technology,’’ Vol. 4. Elsevier, Amsterdam. U.S. Department of Energy, Morgantown Energy Technology
Howard, J. B. (1981). Fundamentals of coal pyrolysis and Center, Morgantown, WV.
hydropyrolysis. In ‘‘Chemistry of Coal Utilization’’ (M. A. U.S. Department of Energy, National Energy Technology Labora-
Elliott, Ed.), 2nd Suppl. Vol., pp. 665–784. Wiley, New York. tory (1987). ‘‘Clean Coal Technology Compendium.’’ U.S.
Juntgen, H., Klein, J., Knoblauch, K., Schroter, H., and Schulze, J. Department of Energy, National Energy Technology Labora-
(1981). Liquefaction processes. In ‘‘Chemistry of Coal Utiliza- tory, Pittsburgh, PA.
Coal, Fuel and Non-Fuel Uses
ANTON DILO PAUL
Science Applications International Corporation
Pittsburgh, Pennsylvania, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 435
436 Coal, Fuel and Non-Fuel Uses
than is produced by wood fuel. Using this principle, into the atmosphere. Such coke-making practices
the coal-fired pot-bellied stove made its appearance produce severe air pollution and are nonexistent
in almost every home and building during the 1800s today in the United States and other developed
and early 1900s. Coal stoves not only provided heat countries. The more common practice is to recover
for cooking, but also warmed the room in which they all emissions from a coke oven and distill them into
were situated. They were often hooked up to a hot- different fractions. These fractions contain many
water tank to provide running hot water as well as chemicals (including naphthalene, ammonia, metha-
steam for steam baths. nol, and benzene) that form the basis or feedstock for
many consumer products. Aspirin (acetylsalicylic
acid), road tar, creosote, fertilizers, and disinfectants
1.2 Coal Use during the
are a few examples of products traditionally manu-
Industrial Revolution
factured from coal. A comprehensive depiction of the
The Industrial Revolution of the 18th and 19th many products that can be produced from coal is
centuries greatly expanded the use of coal as a fuel to seen in the ‘‘coal tree,’’ which may be accessed on the
run the new industries, particularly for the manufac- Appalachian Blacksmiths’ Association web site at
ture of iron products. Prior to the Industrial Revolu- http://www.appaltree.net/aba/coalspecs.htm.
tion, wood charcoal, or char, was the source of heat
in industrial hearths. Wood char provided more heat
1.4 The Rise and Fall of ‘‘King’’ Coal
compared to wood, but even so, char hearths rarely
produced enough heat to melt iron. Instead, these The invention of the steam engine by James Watt in
hearths could only heat iron until it became the late 1700s greatly expanded the market for coal,
sufficiently malleable to be hammered into shapes, because it provided a method for converting the heat
yielding wrought-iron products. On the other hand, energy in coal into mechanical energy. The golden era
coal hearths provided enough heat to melt iron into of the railroads dawned in the early 1900s as coal-
its liquid form. Liquid iron could then be poured into fired steam locomotives and steam wagons quickly
special molds to manufacture cast-iron products—a replaced horse-drawn wagons and carriages. In the
faster way of producing iron goods. Coal hearths locomotive’s boiler, a coal fire heated water and
speeded operations in other heat-intensive industries, converted it to steam. The energy in the steam moved
such as the smelting of iron ore in a blast furnace or back and forth a piston that was attached to the
the production of steel from pig iron. Regions where locomotive’s wheels, providing motive power. Coal
coal and iron ore were present together, for example, fueled many forms of transport, from giant locomo-
South Wales in England, flourished during the tives that hauled goods and passengers hundreds of
Industrial Revolution because of the abundance of miles across cities, to steam wagons and streetcars that
both raw materials in one location. transported the same cargo across a few city blocks.
Compared with traveling on horseback or stagecoach,
train travel was comfortable and fast—passengers
1.3 Coke and Gas Production
relaxed in Pullman cars heated by pot-bellied stoves,
Another historic use of coal was for street lighting. dined on meals cooked over coal-fired stoves, and
Coal was heated in ovens with minimal air to produce traveled in fast trains pulled by steam locomotives.
‘‘town gas’’ or ‘‘manufactured gas.’’ The main Stationary coal-fired steam engines provided
components of town gas are carbon monoxide and mechanical power to drive factory machinery
hydrogen. The gas was piped throughout a town in through an elaborate system of pulleys. The avail-
underground pipes and burned in street lamps for ability of mechanical power led to the development
illumination. Town gas was common in many of machine tools that rapidly increased industrial
European cities, notably London, even up to the productivity. The construction industry boomed as
1950s. The residue from the production of town gas is steam shovels moved tons of earth for new buildings
coke, which is nearly pure carbon (except for the ash). and steamrollers smoothed bumpy roads into high-
Coke and the by-products of coke manufacture ways. The Panama Canal, the Hoover Dam, the
established an important role in the iron/steel and Empire States Building, and the first few U.S.
chemical manufacturing industry from 1850 to 1950. highways could not have been built during their
(For further discussion on this topic, see Section 4.1) time without these coal-fired machines.
Early coke-making processes used ‘‘beehive’’ From the reciprocating steam engine evolved the
ovens that vented unburnt volatile matter in coal steam turbine, in which steam impinges on the vanes
Coal, Fuel and Non-Fuel Uses 437
Baghouse or Scrubber
electrostatic
precipitator Stack
Flue gases
High-pressure
Boiler steam
Coal
pulverizer/feeder Steam Generator
turbine
Flue gas
desulfurization
Fly ash sludge
Electric
Bottom ash power
Coal pile
Coal combustion
products
FIGURE 2 Schematic diagram illustrating coal use for electric power generation.
TABLE I
U.S. Coal Consumption by End-Use Sector, 1996–2002a
Year Electric utilities Coke plants Other industrial Residential and commercial Other power products Total
coal is used for recreational or nostalgic reasons, the earth’s surface as acid rain. Acid rain is blamed
rather than for routine heating and cooking. Coal for killing fish in streams and lakes, damaging
stoves designed for this purpose are aesthetically buildings, and upsetting the ecological balance.
attractive and are engineered for efficient operation Flue gas from a coal plant’s stack contains tiny
with near-zero indoor air pollution. In contrast, coal particles of mineral matter (fly ash) and unburned
used for cooking and heating in developing countries carbon (soot). When fog and smoke are trapped
is burned in crude stoves with inadequate ventilation. beneath a cold air mass, they form smog, which can
With no chimneys or hoods to vent the smoke, sometimes be deadly. For example, two killer smogs
emissions inside homes can quickly reach levels that occurred in London, England in December of 1892
cause respiratory diseases. Even when stoves are and 1952, lasting 3–5 days and resulting in over
vented, smoke emissions significantly increase local 5000 deaths. Menon and co-workers studied climate
air pollution. In rural South Africa, for example, changes caused by coal fires; they found that soot
improperly designed or damaged stoves, coupled from these fires absorbs sunlight and heats the
with poor ventilation, produce high risks to health surrounding air, but blocks sunlight from reaching
and safety, including high levels of carbon monoxide. the ground. Heated air over a cool surface makes the
Robert Finkelman from the U.S. Geological Survey atmosphere unstable, creating heavy rainfall in some
has reported that over 3000 people in the Guizhou regions and droughts in others.
Province of southwest China suffer from severe Smog and air pollution from coal-fired plants are
arsenic poisoning. Coal from this region contains responsible for many health problems observed in
high levels of toxins, including arsenic, which people who live in highly industrialized areas.
accumulates in chili peppers and other foodstuffs Examples of highly industrialized areas include
that are dried over unvented coal stoves. Polycyclic regions of Poland, the Czech Republic, and Germany,
aromatic hydrocarbons, released during unvented comprising the Black Triangle, one of Europe’s most
coal combustion have also been cited as a primary heavily industrialized and polluted areas; England’s
cause for lung cancer. The World Bank, the World Black Country, a 19th century industrialized area
Health Organization, and the U.S. Geological Survey west and north of Birmingham; and in the United
are among the many organizations that are educating States, Pittsburgh, Pennsylvania, which supplied
developing and less developed nations about the most of the steel needed for World War II. Choking
dangers of unvented coal combustion. coal dust and toxic gas emissions from coke plants,
blast furnaces, and coal-fired electric power and
district heating plants once plagued the residents of
3. ENVIRONMENTAL ISSUES these areas with respiratory problems, heart disease,
and even hearing losses. Fortunately, most of the
ASSOCIATED WITH COAL USE coal-based heavy industries that polluted these areas
have been cleaned up using modern coal-burning and
3.1 Emissions from Coal Combustion
emission control technologies.
As discussed in the previous section, coal emissions
from poorly designed stoves are hazards to human
3.2 Mitigation of Coal
health. However, coal emissions from large furnaces
Combustion Emissions
are equally hazardous. From the time of the
industrial revolution until about the 1970s, little A combination of legislation and technology has
attention was paid to the air pollution created by helped clean up many of the world’s coal-burning
coal combustion. Meanwhile, coal-fired power plants. Both developed and developing countries
plants and industrial boilers spewed out tons of have adopted increasingly stringent environmental
gaseous and particulate pollutants into the atmo- regulations to govern emissions from coal-fired
sphere. During combustion, the small amounts of power plants. In the United States, all coal-fired
sulfur and nitrogen in coal combine with oxygen to power plants built after 1978 must be equipped with
form sulfur dioxide (SO2), sulfur trioxide (SO3), and postcombustion cleanup devices to capture pollu-
the oxides of nitrogen (NOx). If these gases are not tants before they escape into the atmosphere.
captured, they are released into the atmosphere Cyclones, baghouses, and electrostatic precipitators
through the power plant’s stack. They combine with filter out nearly 99% of the particulates. Flue gas
water vapor in the upper atmosphere to form scrubbers use a slurry of crushed limestone and water
droplets of sulfuric and nitric acids, which return to to absorb sulfur oxides from flue gas. The limestone
440 Coal, Fuel and Non-Fuel Uses
reacts with the sulfur dioxide to form calcium becomes costly when landfill space is limited. Some
sulfate, which may be used to produce wallboard. wastes, particularly biomass, are combustible, but
Staged combustion and low-NOx burners are used to their low energy density (compared with coal) limits
burn coal to minimize NOx formation. Another stra- their use as an electricity production fuel. Blending
tegy, selective catalytic reduction, reacts ammonia coal with these fuels provides an economical method
with NOx over a catalyst to produce nonpolluting to produce electric power, reduce waste, and decrease
nitrogen and water vapor. emissions. Most wood wastes, compared to coal,
Conventional coal-fired power plants capture contain less fuel nitrogen and burn at lower
pollutants from the flue gas after it leaves the boiler. temperatures. These characteristics lead to lower
Circulating fluidized bed (CFB) combustors capture NOx formation. In addition, wood contains minimal
most of the pollutants before they leave the furnace. sulfur (o0.1% by weight) and thus reduces the load
Crushed coal particles and limestone circulate inside on scrubbers and decreases scrubber waste.
the CFB combustor, suspended by an upward flow of Numerous electric utilities have demonstrated that
hot air. Sulfur oxides released during combustion are 1–8% of woody biomass can be blended with coal
absorbed by the limestone, forming calcium sulfate, with no operational problems. Higher blends may
which drops to the bottom of the boiler. The CFB also be used, but require burner and feed intake
combustor operates at a lower temperature (14001F) modifications as well as a separate feed system for
compared to pulverized coal (PC) boilers (27001F), the waste fuel. Cofiring in fluidized bed boilers may
which also helps reduce the formation of NOx. avoid some of these drawbacks, but the economics of
Precombustion coal cleaning is another strategy to cofiring are not yet sufficiently attractive to make it a
reduce sulfur emissions by cleaning the coal before it widespread practice.
arrives at the power plant. Sulfur in coal is present as
pyrite (FeS2), which is physically bound to the coal as
tiny mineral inclusions, and as ‘‘organic sulfur,’’ 4. CURRENT NON-FUEL USES
which is chemically bound to the carbon and other
atoms in coal. Pyrite is removed in a coal preparation
OF COAL
plant, where coal is crushed into particles less than
4.1 Coke Manufacture
2 inches in size and is washed in a variety of devices
that perform gravity-based separations. Clean coal Select coals are used to manufacture coke; the high
floats to the surface, whereas pyrite and other pure carbon content, porous structure, and high
mineral impurities sink. Additional cleaning may be resistance to crushing of coke have made it a
performed with flotation cells, which separate coal necessary material in the production of molten iron
from its impurities based on differences in surface (or hot metal, in iron/steel industry parlance). Coke
properties. Precombustion removal of organic sulfur also serves as a fuel in blast furnaces, as well as
can be accomplished only by chemical cleaning. So serving several nonfuel functions. In a typical blast
far, chemical cleaning has proved to be too costly, furnace, iron ore, coke, and other materials, includ-
thus flue gas scrubbers are often required to achieve ing sinter and fluxes, are loaded in layers. Air,
near-complete removal of sulfur pollutants. preheated to 9001C, is blasted through the bottom of
The tightening of environmental regulations is the furnace through nozzles called tuyeres. Oxygen
likely to continue throughout the world. In the in the air reacts with coke to form carbon monoxide
United States, for example, by December 2008, it is and generate heat. Carbon monoxide reduces iron
anticipated that coal-fired power plants will have to ore to hot metal, which flows downward and is
comply with maximum emission levels for mercury. tapped off at the bottom of the blast furnace. Coke
Emissions of mercury and other trace metals, such as provides physical support for the materials in a blast
selenium, are under increasing scrutiny because of furnace by maintaining sufficient permeability for the
suspected adverse effects on public health. upward flow of gases and the downward flow of hot
metal.
During the past century, the coke industry grew
3.3 Cofuel Applications
concurrently with the growth of the iron and steel
Coal is sometimes combusted with waste material as industry. Large integrated steel mills operated coke-
a combined waste reduction/electricity production making plants, blast furnaces, and basic oxygen
strategy. The disposal of waste from agriculture and furnaces that converted iron ore into steel. However,
forestry (biomass), municipalities, and hospitals coke manufacture is a highly polluting operation,
Coal, Fuel and Non-Fuel Uses 441
and coke cost is one of the major expenses of feedstock for many consumer products. In a coke
operating a blast furnace. Consequently, methods of plant, the volatile components emanating from coal
producing steel without coke are under development are collected as unpurified ‘‘foul’’ gas, which contains
and some are in operation today. The most straight- water vapor, tar, light oils, coal dust, heavy hydro-
forward approach is the recycling of steel using carbons, and complex carbon compounds. Conden-
electric arc furnaces (also known as minimills) that sable materials, such as tar, light oils, ammonia, and
melt and process scrap steel for reuse, thereby dis- naphthalene, are removed, recovered, and processed
pensing with the need for fresh steel. Direct reduced as chemical feedstocks. However, both the availabil-
iron (DRI) is another process that reduces coke need ity and the market for coke by-products are declining.
by directly reducing iron ore without the use of coke. The highly polluting nature of coke manufacture
Another process is the direct injection of granulated requires costly environmental controls to comply
coal into a blast furnace. Such a system is in with tightening environmental regulations, and some
operation at Bethlehem Steel’s Burns Harbor Plant steelmakers have found it more economical to close
in the United States as well as in other locations down their coke plants and import coke from
throughout the world. countries with less stringent environmental regula-
tions. Consequently, the availability of coking by-
products has diminished significantly in the United
4.2 Coal-Derived Solid Products
States and in Europe, thereby limiting the production
The most common solid product derived from coal is of liquids from coal. More importantly, products
activated carbon. This product is used as a filter from petroleum refining are a more cost-effective
medium for the purification of a wide range of method to obtain the various chemical feedstocks
products, such as bottled water, prepared foods, and that were formerly obtained from coal.
pharmaceuticals. Activated carbon plays an impor- Another liquid product from coal is obtained via
tant role in the treatment of contaminated ground the direct or indirect liquefaction of coal. In direct
water by absorbing toxic elements. Impregnated liquefaction, coal is heated under pressure with a
activated carbons are used for more complex separa- solvent and a catalyst to produce a liquid, which can
tions, such as the removal of radioactive isotopes, then be refined into other liquids, including trans-
poisonous gases, and chemical warfare agents. portation fuels (gasoline, diesel fuel, and jet fuel),
Activated carbon is produced from premium oxygenated fuel additives (methanol, ethers, and
coals, or a form of coal known as anthracite, but esters), and chemical feedstocks (such as olefins and
other materials, including coconut shells, palm- paraffin wax). With indirect liquefaction, coal is first
kernel shells, and corncobs, may also be used. Coal, gasified in the presence of oxygen and steam to
or other feed material, is first heated in a controlled generate a gas containing mostly carbon monoxide
atmosphere to produce a char, which is then and hydrogen (i.e., syngas). Next, syngas is cleaned
thermally or chemically activated to yield a highly of its impurities and converted into liquid fuels and
porous final product. Surface areas of activated chemical feedstocks.
carbons range from 500 to 1400 m2/g, with The conversion of coal into liquid products is not
macropores (40.1 mm in diameter) and micropores widely practiced on a commercial scale. For most
(0.001–0.1 mm in diameter). Macropores provide a countries, it is more economical at present to use
passageway into the particle’s interior, whereas crude oil to produce liquid fuels than to produce
micropores provide the large surface area for them from coal; hence, coal liquefaction does not
adsorption. The starting material and the activation constitute a large part of coal use today. The
process greatly influence the characteristics and exceptions are two commercial coal liquefaction
performance of the finished activated carbon. Coal, operations, namely, the Sasol Chemical Industries
for example, produces highly macroporous activated plant in South Africa and the Eastman Chemical
carbons and is the preferred base material for many plant in the United States, that use coal liquefaction
impregnated activated carbons. to produce high-value chemicals.
increasingly common over a wide spectrum of oxides. It is chemically similar, but not identical in its
applications, ranging from sports equipment to physical properties, to natural gypsum. Because of
engineered materials for fighter aircraft and space this, it has limited application as a raw material in
shuttles. In addition, carbon materials such as carbon the manufacture of wallboard. It has also found
fibers and carbon foams are finding new applications application as a soil conditioner and fertilizer. It has
and are becoming cost-effective alternatives to steel been stabilized with fly ash and used as roadbase
in automotive and aircraft components as well as in material in highway construction.
many other industries. Fly ash refers to the fine particles suspended in the
Starting feedstocks for carbon products are pre- flue gas that are captured by electrostatic precipita-
sently obtained as by-products from the oil-refining tors and baghouses. Fly ash can be used as a direct
industry and the manufacture of coke. These include replacement for Portland cement or as an additive in
impregnating pitches, mesophase pitches, needle the manufacture of cement. A challenge in the use of
cokes, and isotropic cokes. However, several pro- fly ash in cement manufacture is the presence of
cesses are under investigation to produce such unburned carbon, which is present in the fly ash of
materials directly from coal. Chemical solvents, most boilers that use staged combustion. Carbon
including N-methylpyrrolidone and dimethyl sulf- makes fly ash unusable as a cement additive because
oxide, are used to dissolve the carbon in coal. The it creates color problems and reduces concrete
resulting gel-like substance is filtered and separated durability under freeze and thaw conditions. Re-
from the mineral matter present in coal, after which search efforts are underway to remedy this problem.
it is hydrogenated and processed to produce binder Bottom ash is the coarse, hard, mineral residue
and impregnation pitches, anode and needle cokes, that falls to the bottom of the furnace. Bottom ash
fibers, foams, specialty graphites, and other carbon and fly ash have similar chemical compositions, but
products. The Consortium for Premium Carbon bottom ash is of larger size and lacks cementitious
Products from Coal (CPCPC) is one organization properties. It is used as an aggregate or filler material
that promotes work on the production of high-value in the construction industry. Another form of bottom
carbon products from coal. ash, produced by older, slagging combustors, is hard
and glassy and has found a market as a low-silica
blasting grit.
5. COAL COMBUSTION
BY-PRODUCTS 6. MODERN COAL PLANTS
Coal used in an electric power-producing application
Coal use today is no longer evocative of dirty power
generates several by-products, including fly ash,
plants with polluting black smoke billowing from
bottom ash, and flue gas desulfurization sludge. Coal
their smokestacks. Many of these plants have been
combustion products (CCPs) were historically con-
transformed through technology to operate more
sidered waste and were dumped in landfills. How-
efficiently and with significantly lower emissions.
ever, with the growing scarcity of landfill space,
Some fire coal with other waste materials and others
CCPs have found applications as low-cost additives
produce both electric power and heat. Cases of plant
in the manufacture of cement, roofing tiles, structural
retrofits and their new performance statistics are
fills, and fertilizers.
documented by various institutions, including the
CCPs contain mineral elements similar to those in
Energy Information Administration (http://
the earth’s crust, including silicon dioxide, aluminum
www.eia.doe.gov) and the World Coal Institute
oxide, iron oxide, calcium oxide, and trace amounts of
(http://www.wci-coal.com). The following examples
sulfur trioxide, sodium oxide, and potassium oxide.
highlight clean coal use throughout the world:
These elements can act as replacement for natural
materials and offer the environmental benefit of The Belle Vue power plant in Mauritius cofires
avoiding the need to mine additional natural resources. coal with bagasse to generate electricity in an
The three most widely used CCPs today are the residue environmentally clean fashion. Bagasse, the residue
from flue gas desulfurization (FGD), commonly after extracting juice from sugar cane, is available in
known as FGD sludge, fly ash, and bottom ash. large quantity in Mauritius. Instead of being a waste
Flue gas desulfurization residue is produced in flue product incurring disposal costs, bagasse is now
gas scrubbers by the reaction of lime with sulfur cofired with coal to produce electric power.
Coal, Fuel and Non-Fuel Uses 443
The Turów power plant located in Europe’s trast, coal use is expected to grow in Asia, especially
formerly polluted Black Triangle now operates as a in China and India. These countries have vast reserves
clean power plant using flue gas scrubbers, low-NOx of coal with limited access to other sources of energy,
burners, and electrostatic precipitators. creating a situation for increased coal use to fuel their
A coal-fired cogeneration plant in Northern rapidly growing industrial sector. China has also
Bohemia now provides clean electric power to the shown interest in coal liquefaction and is planning to
Skoda automobile production plant and steam for build their first direct coal liquefaction plant in the
district heating of the town of Mladá Boleslav. coal-rich province of Shanxi.
A 1970 coal plant in Ulan Bator, Mongolia was
refurbished in 1995 with higher efficiency boilers and
7.2 New Environmental Challenges
improved emission controls. The plant now provides
electric power and heat for district heating with In the quest for a cleaner, healthier world, there is
significantly lower pollution emissions and failure increasing pressure for a cleaner operation of coal-
rates compared to its pre-1995 operation. using operations. Tighter environmental regulations
The 35-year-old Northside Generating Station that require further reductions in the emissions of
in Jacksonville, Florida in the United States was SO2, NOx, air toxics, and fine particulates are likely
renovated under the U.S. Clean Coal Technology to be enacted over the next several years. Compliance
Program and is now ranked as the cleanest burning with these increasingly stringent restrictions on
coal power plant in the world. Using circulating emissions could be costly for coal users and lead to
fluidized bed combustors and additional pollution a reduced coal use. The most significant emerging
controls, the plant cuts down on emissions by nearly issue against coal use is climate change associated
98% and generates 2.5 times more electric power. with the production of greenhouse gases (GHGs).
The Mirant-Birchwood Power Plant Facility in Although still hotly debated, many scientists believe
Virginia in the United States produces 238 MW of GHGs are responsible for observed changes in the
electric power as well as process steam, which is used world’s climate. Coal-fired plants, along with oil and
to heat local greenhouses. In addition, it converts natural gas-fired power plants, will require signifi-
115,000 tons of flue gas scrubber ash into 167,000 cant reductions in CO2 emissions to mitigate the
tons of lightweight aggregate for use in the manu- impact of GHGs. The challenge to continued coal
facture of lightweight masonry blocks or lightweight use is the development of technologies that can
concrete. operate efficiently and economically within tighter
environmental regulations.
Coal gasification is a growing technology to use
coal with near-zero emission of pollutants. It also
7. THE FUTURE OF COAL USE provides the flexibility to generate a wide range of
products from coal, including electricity, gaseous and
7.1 Coal Use Trends
liquid fuels, chemicals, hydrogen, and steam. Coal (or
According to the U.S. Energy Information Adminis- any carbon-based feedstock) is reacted with steam at
tration, the world consumes around 5 billion short high temperatures and pressures under carefully
tons of coal annually, but coal use has been in a controlled conditions to partially oxidize the coal.
period of slow growth since the 1980s. This is largely The heat and pressure break apart chemical bonds in
because of growing environmental concerns, parti- coal’s molecular structure and form a gaseous
cularly in the developed countries. Coal used for mixture, not unlike the gas mixture generated by the
coke manufacture is expected to decline due to indirect liquefaction of coal (discussed earlier). The
advances in steel production technology, steel reuse hot gases are sent to a special filter that removes
via electric arc furnaces, and the replacement of steel nearly 99% of sulfur pollutants and GHGs. The clean,
by plastics and carbon composites. coal-derived gas is similar to natural gas and can be
Coal use is expected to decline in Europe and the used for electric power generation or converted to
former Soviet Union over the next 20 years, largely clean liquid fuels and chemical feedstocks. Pollutants
due to the growing use of natural gas. Other factors containing nitrogen and sulfur are processed into
contributing to reductions in coal use include grow- chemicals and fertilizers and residual solids are
ing environmental concerns and continuing pressure separated and sold as coal combustion products.
on member countries by the European Union to Coal gasification is a more efficient way to generate
reduce domestic coal production subsidies. In con- electricity compared to conventional coal-fired power
444 Coal, Fuel and Non-Fuel Uses
plants. Instead of burning coal in a boiler to produce A Vision 21/FutureGen plant will be nearly
steam that drives a steam turbine/generator, coal emissions free, and any waste generated would be
gasification uses a special cycle, an integrated sequestered and recycled into products. Plant oper-
gasification combined cycle (IGCC), whereby the ating efficiencies are expected to be greater than 60%
hot, high-pressure coal-derived gas is first used to for coal-based systems and 75% for natural gas-
power a gas turbine/generator. The exhaust from the based systems. Further details on the Vision 21/
turbine still contains sufficient heat to be sent to a FutureGen plant are available by browsing through
boiler to produce steam for a steam turbine/generator. the U.S. Department of Energy’s Web site at http://
This dual generation of electric power represents an www.fossil.energy.gov/.
increased extraction of heat from coal. An IGCC
plant operates with an efficiency of 45–55%, com-
pared to 33–35% for most conventional coal-fired
power plants. Higher efficiencies translate into better
SEE ALSO THE
economics and inherent reductions in GHGs. Pressur-
ized fluidized bed combustion (PFBC) boilers and FOLLOWING ARTICLES
IGCC will likely be used in future coal-fired power
plants. Acid Deposition and Energy Use Clean Coal
Technology Coal, Chemical and Physical Properties
Coal Conversion Coal Industry, Energy Policy in
7.3 The Vision 21/FutureGen Plan Coal Industry, History of Coal Mine Reclamation
Vision 21/FutureGen represents a new approach to and Remediation Coal Mining, Design and
coal use that is being developed by the U.S. Methods of Coal Preparation Coal Storage and
Department of Energy and private businesses. Unlike Transportation Cogeneration Greenhouse Gas
the single-fuel, single-product (usually electricity) Emissions from Energy Systems, Comparison and
plant, a Vision 21/FutureGen plant would produce Overview Markets for Coal
a range of products—electric power, liquid fuels,
chemical feedstocks, hydrogen, and industrial pro-
cess heat. It also would not be restricted to a single Further Reading
fuel, but could process a wide variety of fuels such as
Ashton, T. S. (1999). ‘‘The Industrial Revolution, 1760–1830.’’
coal, natural gas, biomass, petroleum coke, munici-
Oxford University Press, Oxford.
pal waste, or mixtures of these fuels. The Vision 21/ Bell, M.L., Davis, D.L. (2001). Reassessment of the lethal London
FutureGen concept envisions a suite of highly fog of 1952: Novel indicators of acute and chronic conse-
advanced technologies in modular form that can be quences of acute exposure to air pollution. Environ. Health
interconnected and customized to meet different Perspect. 109 (Suppl. 3), 389–394.
market requirements. Such modules include clean Finkelman, R.E., Skinner, H.C., Plumlee, G.S., Bunnell, J.E.,
(2001). Medical geology. Geotimes (Nov. 2001), pp. 20–23
combustion/gasification systems, advanced gas tur- Available at www.geotimes.org.
bines, fuel cells, and chemical synthesis technologies, Menon, S., Hansen, J., Nazarenko, L., and Luo, Y. (2002). Climate
coupled with the latest environmental control and effects of black carbon aerosols in China and India. Science
carbon dioxide sequestration technologies. 297, 2250–2253.
The Vision 21/FutureGen plant may use a fuel cell Paul, A.D., Maronde, C.P. (2000). The present state of the U.S.
coke industry. Proc. 8th Int. Energy Forum (ENERGEX 2000),
(instead of a turbine/generator) to convert coal into Las Vegas, pp. 88–93. Technomic Publ. Co., Lancaster,
electricity. The syngas produced from coal gasifica- Pennsylvania.
tion is processed via an advanced water–gas shift Plasynski, S., Hughes, E., Costello, R., and Tillman, D. (1999).
reactor to separate hydrogen, and the carbon ‘‘Biomass Co-firing: A New Look at Old Fuels for a Future
monoxide is converted to carbon dioxide and Mission.’’ Electric Power ’99, Baltimore, Maryland.
Wyzga, R.E., Rohr, A.C. (2002). Identifying the components of air
sequestered. The hydrogen is supplied to a fuel cell pollution/PM associated with health effects. In ‘‘Air Quality III,
to produce electric power in a clean and efficient Proceedings.’’ Energy and Environmental Research Center,
manner. University of North Dakota.
Coal Industry, Energy Policy in
RICHARD L. GORDON
The Pennsylvania State University
University Park, Pennsylvania, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 445
446 Coal Industry, Energy Policy in
The law established an Office of Surface Mining and other dangerous material. The number of
(OSM) in the Department of the Interior (DOI) and inspections increased greatly. In the early years,
created principles for guiding reclamation. OSM was many mines had daily inspections because of special
to supervise the development of state programs to problems or because they were so large that only
implement the law or, if a state chose not to develop daily visits sufficed to ensure that the required tasks
a program, regulate mines in that state. The law could be completed.
covered reclamation of both active and abandoned Simultaneously with the passage of the Act,
coal mines. Taxes were levied on surface and underground coal mining productivity began declin-
underground coal mines to finance reclamation of ing from a peak of 1.95 short tons per worker hour
abandoned mines. For operating mines, the law in 1969 to a low of 1.04 short tons in 1978. Then a
required the establishment of permitting systems reversal occurred so that by 2000, the level was up to
under which the right to mine was granted only when 4.17 short tons.
extensive data, including the mining and reclamation Much effort was devoted to determining the role
plans and information on the impacts of mining, of the Act in the initial productivity declines.
were submitted. Mine inspections were also manda- Evaluation was hindered by the standard problems
tory. The law had complex provisions prohibiting or of multiple, interrelated influences on which data
discouraging surface mining on certain types of land, were unavailable. In particular, the passage of the
such as ‘‘prime agricultural land.’’ Act coincided with (and perhaps was a major cause
Since this law produces benefits that are largely of) an influx of inexperienced miners. As a result of
difficult to quantify, impact studies are limited. the Act, more labor use in mines appears to have
Neither the impacts on the industry nor the benefits been necessary. The need to increase inspections
of control are accurately known. Eastern surface contributed to the need for new workers because
mining started declining at approximately the time experienced miners were recruited as inspectors. The
that the act was enacted, but surface mining growth effects that this had on mine productivity are unclear,
continued in the western United States, albeit at a but whatever they were, they have been substantially
markedly lower rate. The act was not the only force reversed.
at work and its effects are difficult to isolate.
3. AIR POLLUTION
2. HEALTH AND
SAFETY PRACTICE Concerns about air pollution from coal began with
widespread coal use. The initial and still relevant
The traditional concern on the production side is focus was on the visible effects of spewing soot
worker safety. After a severe mine disaster in 1968, (particulates) from coal. Coal has a substantial but
regulation was revised in the Coal Mine Health and variable particle content. At best, the content is much
Safety Act of 1969. Safety regulation was made more greater than that of oil or gas.
stringent and regulations of health effects were Coal contains a variety of other contaminants. The
added. Moreover, administration was transferred most notable is sulfur. Sulfur contents of coals are
from the U.S. Bureau of Mines of the DOI to a also widely variable, and the lowest sulfur coals may
newly created Mine Safety and Health and Safety have considerably less sulfur than many crude oils.
Administration, which was initially a part of the DOI During combustion, nitrogen oxides (NOx), carbon
but was transferred in 1977 to the Department of dioxide (CO2), and carbon monoxide form. In the
Labor. 20th century, the problem of largely invisible pollu-
Regulation has involved both setting rules for tion from SOx and NOx emerged, as did concern
operating mines and federal inspection of the mines. regarding smaller, invisible particulates. Recently,
The 1969 act both tightened the rules and increased attention has turned to CO2. It is the main green-
the frequency of inspection. New rules required that house gas suspected of contributing to increased
no mine work occur under unsupported roofs; temperatures in the atmosphere (global warming).
improved ventilation; use of curtains and watering Pollution control can be performed in several
to ensure reduction of ‘‘respirable dust’’ levels and ways. Naturally less polluting fuels can be used,
increase the flow of air to the ‘‘face’’ (i.e., where precombustion cleanup can be performed, and the
mining was occurring); and increases in the monitor- pollutants can be captured after combustion. How-
ing of mines to determine levels of methane, dust, ever, precombustion treatment is not an economically
Coal Industry, Energy Policy in 447
feasible option with coal. Available coal washing and Complex air pollution control programs have
sorting technologies can only modestly reduce parti- been developed. United States air pollution laws have
cle and sulfur content. resulted in multitiered regulations that are periodi-
More radical transformation is technically possi- cally tightened. The practice involves increasing the
ble but economically unattractive. Prior to the number of regulated pollutants. In the major cases, a
development of a natural gas distribution network, two-phased approach prevails. One set of rules
coal gasification provided the input for local gas determines air-quality objectives, and another con-
distribution systems. Other technologically estab- trols emissions from different sources.
lished possibilities are to produce a higher quality gas The overall goals specify the allowable concentra-
than obtained from the earlier gasifiers, synthesize tions in the atmosphere of the pollutants with which
petroleum products, or simply produce a liquid that the law is concerned. States must establish imple-
would compete successfully with oil and gas. All mentations plans (SIPs) to ensure that they meet
these processes would have the further benefit of these goals. Failure to do so results in a region being
facilitating the removal of pollutants. To date, the labeled a nonattainment area.
costs have proven too great to permit competition In addition, a federal court ordered that the
with crude oil and natural gas. Thus, emphasis is on preamble to the law that called for maintaining air
changing the type of fuel and postcombustion quality require ‘‘prevention of significant deteriora-
cleanup. Changing to oil and gas lessens particulate tion’’ (PSD) in areas in compliance with the rules.
and SOx emissions. Another approach to SOx is to Widespread failure to meet SIP goals and the
use lower sulfur coal. vagueness of the PSD mandate were treated in the
An alternative is to trap the particles and sulfur 1977 Clean Air Act amendments. The country was
before discharge into the air and deposit the trapped separated into nonattainment areas in which actions
wastes on nearby lands. The latter approach is must be taken to comply and PSD regions in which
widely used. Particulate control is invariably effected increases in pollution were to be limited to amounts
by postcombustion methods. Two standard methods specified by the law. Continued nonattainment
are available––a mechanical filter known as a bag resulted in further remedial legislation in 1990. This
house or devices called electrostatic precipitators that effectively divided the country into nonattainment
trap the particles by electrical charges. Particle areas legally obligated to come into compliance with
control techniques are long extant and have low the goals and PSD areas. Attaining compliance is
control costs. Thus, visible discharges are largely difficult, and the major amendments in 1977 and
eliminated. Little coal burning occurs in facilities too 1990 to the Clean Air Act contained extensive
small to control particulates. Even the best particu- provisions to stimulate compliance further.
late control devices, however, cannot capture all the Similarly, ever more complex rules have been
smallest particles, and many pre-1960 regulations developed to determine how major polluters should
did not require the greatest control that was limit pollution. Newer facilities have long been
physically possible. subjected to more severe new source performance
Sulfur oxide control proved more expensive and standards. The new source rules originally simply
more difficult to perfect than expected when control imposed stricter emission controls on new facilities.
rules were imposed. The wastes from these cleanup This was justified by the fact that the cost of
facilities can cause disposal problems. The reduction incorporating controls into a newly designed plant
in sulfur and particulate emission associated with a was less than that of adding controls to an old plant.
switch to oil or gas is associated with increases in The disincentives to adding and operating new plants
nitrogen oxides and unburnt hydrocarbons. were ignored. (An additional factor that became
Similarly, the lowest cost, low-sulfur coal in the controversial was precisely defining how much
United States is subbituminous from Wyoming, which refurbishment of an old facility was consistent with
has a higher ash content than eastern coal. Thus, maintaining its status as an existing plant.)
lowering sulfur by changing fuel may result in The initial rules resulted in considerable changes
increased particulate emissions. Some observers argue in the type of fuel used. Western coal was heavily
that the close association between particulate and SOx used in such producing states as Illinois and Indiana
emissions precludes definitive assignment of impacts. and in states such as Minnesota that previously relied
SOx may be blamed for effects that are actually caused on Illinois coal. Mainly in response to this change,
by the accompanying particulates, and coal-source the rules were changed in the 1977 Clean Air Act
shifting to fuel lower in SOx may be harmful. amendments to restrict how emissions were reduced.
448 Coal Industry, Energy Policy in
The amendments required use of best available fuel burning, became prominent in the late 1980s. It
control technology for preventing the discharge of is contended that emission of carbon dioxide into the
pollution. The available option was employing atmosphere will inevitably and undesirably raise
scrubbers, a cleanup technique that emphasizes atmospheric temperatures.
capture of pollutants between burning and discharge There is an enormous amount of literature on the
of waste up the smokestacks. Since some cleanup was effect of global warning and what it might mean.
necessary, the advantage of shifting to a cleaner fuel First, questions arise about the exact extent of
was diminished. warming that will occur. Second, uncertainties
Under the 1990 Clean Air Act amendments, a new prevail about the physical effects of this warming.
program targeted the reduction of emissions in the Third, numerous estimates have been made about the
most heavily polluting existing electric power plants. economic effects. Should the United States commit to
Reflecting a long-standing debate about ‘‘acid rain,’’ massive reductions in greenhouse gas emissions, it
the 1990 amendments instituted a complex program may result in severe problems for the coal industry.
for reducing sulfur and nitrogen oxide emissions Coal burning produces more greenhouse gas than the
from existing sources. use of other fuels.
This two-phased program initially imposed roll-
backs on the units (specifically named in the law) at
111 power plants that exceeded both a critical size 4. RENT SEEKING AND THE
and level of sulfur oxide emissions. By January 1, COAL INDUSTRY
2000, electric power plants were required to under-
take a 10 million ton reduction (from 1980 levels) of Another profound influence on the coal industry is
sulfur dioxide and a 2 million ton reduction in government policy toward the ownership and taxa-
nitrogen oxide emissions. The named plants had to tion of coal resources. Ownership and taxation are
undertake the reductions in the first phase of the not inherently linked but have become so in practice.
program. The law encouraged cheaper abatement by Ownership and taxation are alternative ways to
allowing the polluters opportunities to buy offsets to extract income. The sovereign can and has used its
their activities. The provisions thus involve a paradox. ownership, taxing, and regulatory authorities to
Congress first extended the command and control affect ownership, utilization, and disposition of the
approach by specifying limits on specific plants. Then resulting income. Disputes occur perennially.
a concession to market forces was added. An important consideration is that private and
The compliance choice for existing plants, in public owners can and do divide and separately sell
principle, is limited by the constraints on the plants mineral and surface rights. Some governments
that must make changes and the supply of lower reserve all mineral rights for the state. The U.S.
sulfur coals. Thus, boiler design may prevent the use government adopted a practice of retaining mineral
of some types of coal and result in loss of capacity rights to some lands it sold to private owners.
when other coals are used. At the time of enactment, Separate ownership of the land’s subsurface and the
those modeling the impacts debated the availability surface separates an indivisible property and guar-
and usability of low-sulfur coal from different states. antees conflicts. The subsurface cannot be exploited
Factors such as proximity to coal fields, railroads, without affecting the rights of the surface property
and waterways affect the ease of procurement from owner. Defining and, more critically, implementing
alternative suppliers. The nature of available receiv- an acceptable system of surface owner compensation
ing facilities is another influence. Some plants were are a major problem of government or private
built near coal mines to which they are connected by retention of mining rights. In particular, regulations
conveyer belts. Others are served by private rail lines strong enough to protect surface owners from misuse
and in one case a slurry pipeline. Some lack land to of sovereign power may constitute de facto privati-
add large new facilities. zation of the mineral rights to surface owners.
In practice, implementation involved fuel changes Starting with the 1920 Mineral Leasing Act,
rather than increased scrubber use. Wyoming coal Congress moved toward what was to prove a
was shipped farther than expected (e.g., Alabama standard policy of extending access on a rental rather
and Georgia). Emissions trading proved effective in than ownership basis. The 1920 act established
lowering compliance costs. leasing as the means of access to fossil fuels (oil, gas,
Global warming, an increase in temperature and coal) and fertilizer minerals. Periodic revisions of
produced by discharge of carbon dioxide from fossil the leasing act have tightened rules of access.
Coal Industry, Energy Policy in 449
The increase in federal environmental legislation or a lease in perpetuity with neither control over end
has also greatly influenced public land administra- use nor any ability to alter charges.
tion. One pervasive influence was the requirement in A lease bonus, a single payment made when the
the 1969 National Environmental Policy Act that the lease is implemented, is the quintessence of such a
federal government examine the environmental im- preset total payment. The bonus, by definition,
pacts of its major actions. The result was a thriving cannot be altered by any action of the firm, and no
adversarial process in the 1970s. Those opposed to subsequent decisions can be affected by having paid a
federal actions successfully delayed actions by bonus. In economic jargon, the bonus is a sunk cost.
challenges to the federal evaluation process. How- That fixed unalterable decision at the time of sale is
ever, this tactic subsequently became irrelevant with administratively feasible is demonstrated by the
regard to energy but apparently still affects may history of U.S. public land sales and by the millions
other government decisions. of outright sales that occur in the private sector.
In the case of land grants, competitive bidding to
pay a fixed sum before production begins would
5. THE SEARCH FOR capture rents. The maximum anyone would pay is
APPROPRIATE CHARGES the (present-discounted) value of the expected rents.
FOR LAND Vigorous competition would force payments of the
maximum.
Policymakers and economists have long debated the Rent transfers thus seem ideal for tax collectors.
method of charging for rights of access to those who The rents are excess profits that can be taxed without
extract minerals. The concerns focus on economic affecting output, and the transfers are seen as fair
rents—the extra profits of a superior resource. Many because the rents, in principle, provide rewards
alternative terms exist for this extra income, such as unnecessary to produce the effort.
excess profits, surplus, and windfalls. Whatever the In practice, deliberate decisions are universally
name, it consists of the differences between revenues made not to realize the potential for efficient transfer
and the social costs, including the necessity to earn of income. As economics textbooks routinely warn,
the required rate of return on investment. basing payments on output or its sale creates a
For a mineral deposit, there are rent-generating disincentive to produce. Since the severance taxes
advantages with a better location, higher quality used on minerals are sales taxes by another name and
material, easier mining conditions, and similar royalties have the same impacts, the analysis applies
attractive features. This applies more broadly to all to royalties and severance taxes. Funds that con-
natural resources. Thus, a charge on these rents sumers wanted to give producers are diverted to the
allows ‘‘the public’’ to share in the bounty of imposer of the tax. This revenue transfer discourages
naturally superior resources without distorting re- producers from acting. The amount ultimately
source allocation. Therefore, policies that transfer purchased by consumers declines because of these
rents to the public are often deemed desirable. disincentives. This is a violation of the central
However, a paradox prevails. The charges can be economic principle that every expansion of output
imposed using a classic textbook example of a that costs less than its value to consumers should
tax with no effects but, in practice, the charges occur. The technical language is that all outputs with
employ a method that follows an equally classic marginal costs (the cost of expanding output) less
textbook approach that clearly discourages desirable than price should be undertaken. Therefore, the
activity. charges imposed by federal land agencies, other
Economic analyses of rents concentrate on secur- governments throughout the world, and private
ing as much government revenue as possible without landlords differ greatly in practice from ideal rent
inefficiently reducing production. A transfer of rent taxes and take a form that eliminates the differences
has no effect on effort if the terms are independent of from reliance on established tax collection agencies.
any action of the payer. The relevant classic textbook Moreover, royalties and severance taxes also
case is a lump-sum charge, a payment that is a fixed create difficult collection problems and thus
amount that is not alterable by the buyer’s actions. increased administrative cost. Requiring more
The preferable approach is to impose a charge only payments means more compliance efforts by govern-
at the time of transfer of rights to avoid the ment and land users. DOI administration can and
temptation subsequently to impose distortionary has encountered efforts to conceal production.
charges. The arrangement may be an outright sale A percentage of revenue royalty can be difficult to
450 Coal Industry, Energy Policy in
administer because of lack of satisfactory data on vetoed the act, but the veto was overridden. The
market prices. Lump-sum payments eliminate the central components of the Act were that it (i)
expenses of monitoring. required competitive bidding on all leases; (ii)
The imposition of output-related charges is required the receipt of fair market value on all
justified by claiming that because of imperfect leases; and (iii) required a royalty of at least 12.5%
competition, the defects of linking the payments to of the selling price on all surface-mined coal, with the
activity are outweighed by the income gains. Secretary of the Interior given discretion to set a
A further complication is that U.S. fossil fuel lower rate on underground-mined coal.
leasing policy involves both bonus payments and Many ancillary provisions were provided, but a
royalties. The drain of royalties will lower the complete review is not critical here. The provision
amount of an initial payment. At a minimum, this that proved to have the greatest practical relevance
hinders the evaluation of the adequacy of bonus bids. was that requiring forfeiture of any lease that was
The residual after payment of royalties is necessarily not developed within 10 years (the due diligence
less than the present value of untaxed rent. It is a requirement). Such requirements are a response to
residual of a residual—namely, the rent. the output-retarding effects of heavy royalties. This
accepts the belief in lease limits criticized later in this
article. Such diligence requirements are either re-
dundant or harmful. In the most favorable circum-
6. THE CASE OF COAL stances, the requirement will leave the decision about
LEASING: AN OVERVIEW whether and when to operate unchanged. Cases can
arise in which it is more profitable to start too soon
The U.S. government owns many of the nation’s than to lose the lease. When surrender is preferable
most economically attractive coal resources. In to operating and occurs, no guarantee exists that
particular, it is the dominant owner of coal in such reoffer will occur before the optimal starting time.
western states as Wyoming, Montana, Colorado, Diligence requirements are also disincentives to
Utah, North Dakota, and New Mexico. Most U.S. arbitrage in bidding and to prevention of mining
coal output growth since 1970 has occurred in these when superior private uses exist. If lease lengths were
states. The coal leasing law and its administration unlimited, a leaseholder who believed that other uses
changed little from 1920 to 1971. Leases were freely were more profitable than mining could refrain
granted under the provisions of the 1920 Mineral forever from mining the land.
Leasing Act. The 1983 moratorium was inspired by charges
These policies allowed satisfaction of most desires that some lease auctions had failed to secure fair
for leases. Coal leasing proceeded modestly until the market value. The Commission on Fair Market Value
late 1960s, when it grew rapidly. At least retro- for Federal Coal Leasing was created to evaluate the
spectively, the 1960s leasing surge is explicable by charges and proposed solutions. Given that the
anticipation of the expansion of western output that problem was inadequate data to support the deci-
actually occurred. sions, the commission proposed devising more
Starting in the late 1960s, both the legislative and elaborate evaluation procedures. (The DOI could
administrative processes changed radically. Congress find only one public record of a sale of coal reserves,
passed a series of laws directly or indirectly affecting a defect that later critics, including the commission,
coal leasing. Federal coal policy became so polarized could not remedy.) These were created, but large-
that a hiatus in leasing has prevailed for most of the scale leasing never resumed. The reluctance to
period from 1971 to today. In 1971, the DOI became resume leasing occurred because the amount of coal
concerned about an acceleration of leasing without a already leased appeared sufficient to meet predicted
concomitant increase in output. The result is that consumption levels for several more decades.
coal leasing ceased from 1971 to 1981, resumed As noted previously, coal leasing ceased despite all
briefly in 1981, was stopped in 1983, and its the safeguards imposed. This suggests that land
resumption remained indefinite as of 2003. The management has become so controversy bound that
resumption in 1981 was the first test of 1976 even when stringent safeguards are in place, the
revisions in the laws governing coal leasing. Enforce- critics remain dissatisfied. Critics of the experience,
ment proved problematic. such as Nelson, Tarlock, and Gordon, argue that
The Coal Leasing Amendment Act of 1976 unrealistic expectations governed the adopted
radically altered coal leasing policy. President Ford processes.
Coal Industry, Energy Policy in 451
7. COAL PROTECTIONISM After World War II, initially it was widely believed
that coal was a mismanaged industry that could
Efforts to promote coal prevail but are problematic. thrive with the right management. It was believed
Two are prominent. Given the drawbacks of coal use, that a vigorous rebuilding program would restore the
persistent although not extensive efforts are made to coal industry to its former might. Britain and France
develop better ways to use coal. The term clean coal nationalized the coal industries. They operated on a
technology characterizes the desired results. Govern- break-even basis, which means rents subsidized
ments in many countries, most notably in Western outputs. The Germans and the Belgians preferred
Europe and Japan, have sought to prevent or limit the reliance on a heavily regulated and subsidized,
decline of uneconomic coal industries. largely privately owned coal industry.
The United States also protected coal from The Dutch had developed their coal industry early
imported oil but on a much smaller scale. Until the in the century as a nationalized venture. The Belgians
oil price increase of the 1970s, the United States recognized that the large number of small old mines
maintained oil import quotas. These were imposed in the south were beyond saving but seemingly had to
largely to support a domestic oil price program that be protected for political reasons.
state agencies had established in the 1930s. However, A turning point occurred in 1957. In the aftermath
proponents also recognized the benefits of such of the 1956 Suez Canal crisis, optimism about
controls to the coal industry. Nevertheless, one of European coal was eliminated. Middle East oil could
the first breaks in the policy was the 1969 change no longer be dismissed as a transitory energy source.
that effectively removed the restrictions on imports Conversely, the contention that sufficient effort
of residual fuel oil into the eastern United States, would make coal more competitive was demon-
which was the main competition for coal. strated to be false by the pervasive failure of massive
On a much more modest scale, the anthracite- revival efforts. Oil could be sold for less than coal for
producing region of Pennsylvania was represented in many decades. Following typical patterns of aid to
the U.S. Congress by two well-placed representatives distressed industries, the responses were programs to
who regularly secured government support for slow the retreat. Consolidation was proposed and
assistance programs. The most effective was the slowly effected.
requirement of export of anthracite for use by the Even the oil shocks of 1973–1974 and 1979–1980
U.S. military in Germany. Otherwise, the effort was failed to help. The situation for European coal was so
limited to studies. This culminated at the start of the bad that competition with higher oil prices was still
Carter administration. A commission was created not feasible. Moreover, ample supplies of cheaper
with the stated goal of significantly stimulating coal were available elsewhere. Even, as in coking
anthracite production. coal, when coal use was efficient, given the ample
However, the available options were unattractive. supplies available in the United States, it was cheaper
Charles Manula, a professor of mining engineering at to import. Thus, a policy allegedly designed to limit
The Pennsylvania State University, indicated that the dependence on unreliable supplies from the Middle
best prospect for increasing production was to East actually mostly harmed reliable suppliers from
expose and remove the coal left behind in abandoned first the United States and then, as the world coal
mines. Although the commission nominally sup- industry developed, Australia, South Africa, and
ported this proposal, it received no further support. Colombia.
The drawback was that the approach created much Major national differences caused each of the coal-
land disturbance to produce little more coal than the producing countries to adopt largely independent
output of one western strip mine. policies. The countries had important differences
Much more extensive and sustained programs regarding both goals and programs. The fervor of
prevailed in Western Europe and Japan. For more German devotion to coal and the willingness to impose
than 45 years, resistance to rapid rationalization of regulations were particularly intense. The Germans
the coal industry has distorted European energy erected an elaborate structure of defenses and were the
decision making. The difficulties started long before. most reluctant to contract. The critical factor in Britain
Among the problems caused by World War I was a was the ability of the mineworkers union successfully
disruption of European coal industries that worsened to make resistance politically untenable until the union
due to the effects of the Great Depression and World overreached in the Thatcher years.
War II. Europeans agonized about how to revive the The impact of the differences among countries is
industry. most clearly seen by comparing production trends.
452 Coal Industry, Energy Policy in
The Dutch discovered a gas field that could displace standard among Western European coal-assistance
coal and produce for export. In 1974, the Dutch programs.) The electricity tax paid for direct and
were the first to exit the coal industry. The main indirect costs of coal use but was ultimately banned
adjustment was that the coal mining company was by a German court. A long-term contract committing
made a participant in gas production. domestic electric utilities to buy preset, modestly
The French and the Belgians moved toward increasing tonnages in Germany at unfavorable
substantial but slow contraction. The French con- prices prevailed from the mid-1980s to 1995. A
traction continues; Belgian production ended in 1992. move to direct subsidies similar to those elsewhere
The preservation programs in France, Britain, Spain, was made in response to the court ruling and
and Belgium were largely ones of direct subsidies to resistance to renewing the coal purchase contract.
coal mines. (Japan took a similar approach.) Since the coal crisis, the Germans have periodi-
British aid was largely direct but reinforced with a cally set output goals presumably for many years. As
contract between the coal industry (originally the costs mount, a reduction is undertaken. The goals set
National Coal Board and then renamed British Coal in 1973 called for attainment in 1978 of 83 million
before privatization) and the former Central Electri- tonnes. The 1974 revision at the height of concern
city Generating Board. This contract yielded higher over the oil shocks called for 90 million in 1980;
prices than those of competing imports. Similarly, actual 1980 output was 94 million. A 1981 report
before its privatization, British Steel apparently also seemed to advocate maintaining output at approxi-
had a cozy relationship with British Coal. mately 90 million tonnes. A 1987 review called for a
During the Thatcher years, there was an impetus 15 million tonne decrease to 65 million by 1995. A
for radical reform. First, in 1984, the leader of the 1991 revision set goals of reducing output from
mineworkers union chose to implement a strike approximately 80 million tonnes in 1989 to 50 mil-
without an authorizing vote. The combination of lion tonnes by 2001 and 43 million tonnes by 2010.
incomplete support from the members and strong Dissenters on the advisory committee called for a cut
resistance by the Central Electricity Generating to 35–40 million tonnes. Output in 2002 was
Board resulted in defeat for the union. 27 million tonnes.
After the failure of the strike, a restrained move German aid averaged more than $100 per tonne
was made toward reducing assistance. British Steel starting in the 1990s. In contrast, nominal dollar
shifted to imported coal after it privatized in 1988. prices of coal delivered to Europe were approxi-
Electric power restructuring in 1990 led to radical mately $45 per tonne for coal for power plants and
reductions in utility purchase of British coal. The less than $60 per tonne for coal used to make coke
splitting of the Central Electric Generating Board into meeting iron-making requirements.
three companies, two of which are privatized fossil
fuel-using organizations, created pressures to alter
procurement practices. The new companies were 8. PROMOTING COAL
more aggressive about fuel procurement. The increase UTILIZATION TECHNOLOGY
in gas-using independent power producers added
competition for coal. In this changing climate, the As noted previously, in principle there are numerous
Major government effected privatization of coal. All ways to improve coal utilization, ranging from better
these factors accelerated the industry’s decline. Out- ways to employ solid coal to transforming the coal
put declined from 116 million tonnes in 1983, the into a different fuel. Programs to develop these
year before the strike, to 30 million tonnes in 2002. technologies have prevailed with variable vigor for
The Germans had the most complex and intract- many years. However, neither transformation tech-
able of the systems. Previously, support was financed nologies nor new ways to use coal have proved to be
by funds from general federal and state revenues, commercial successes.
revenues from a special tax on electricity consumers, The U.S. government has developed a series of
and forcing consumers to pay more than market programs in this area. In the early 1970s, the Office
prices. Aid was dispensed in several forms: direct of Coal Research was combined into the Energy
subsidies of specific current activities of the coal Research and Development Administration largely
industry, programs to promote the use of German composed of the research arm of the former Atomic
hard coal in coking and electricity generation, and Energy Commission. This, in turn, became the main
assumption of the cost burdens (mostly miner component of the Department of Energy. In 1979,
pensions) from past mining. (The last policy is the Carter administration decided to expand its
Coal Industry, Energy Policy in 453
energy initiatives and in particular to encourage be made. Given the climate of the time, estimates in
synthetic fuel development from coal. This policy states partial to NUGs incorrectly assumed substan-
was proposed even though research up to that point tial, steady increases in the cost of conventional
suggested that synthetic fuels from coal were not sources of power. Utilities became committed to
economical. A government-owned Synthetic Fuels contracts at higher prices than were justified by
Corporation was established, funded a few projects prevailing market conditions. Again imitating prior
including a large lignite gasification facility in North experience (with fuel procurement contracts), the
Dakota, and was abolished in the 1980s. What was move to the economically appropriate task of
left was a much smaller clean coal technology contract renegotiation is only slowly emerging.
program in the Department of Energy. Small plants had several features that made them
economically attractive. Their short lead time and low
capital investment characteristics made them more
9. ELECTRICITY REGULATION flexible in an era of low and uncertain growth than
AND COAL the traditional large plants, with their high unit and
total capital costs and long lead times. To the extent
Extensive, convoluted government involvement in that suppliers would assume the risk of these ventures,
the activities of electricity generation, transmission, they were even more attractive. NUGs provided an
and distribution existed long before the 1970s. increasing portion of capacity additions. At least part
However, the most profound effects on coal occurred of the industry saw independent generation and
with 1970s energy turmoil. The 1970s witnessed perhaps even the adoption of the proposal for totally
increasing prices in energy markets and policy independent generation as desirable.
changes. State regulators independently adopted Under prior law, almost all subsidiary–parent
measures to increase control over utilities and relationships were treated as public utility holding
responded to federal mandates to alter practice. companies and subject to stringent controls. Revi-
The initial response to frequent requests for rate sions enacted in 1992 exempted operations that were
increases necessitated by the changing economic incidental to the main activities of the firm. Thus, the
climate was multifaceted resistance. Denial of power-producing subsidiary of a gas pipeline, an
requests was supplemented by numerous forms of engineering firm, or even an electric company located
increased examination of realized and anticipated elsewhere in the country no longer would be subject
actions. Both major cost elements—construction and to stringent regulation.
fuel purchases—were scrutinized. Management The evidence suggests that from fairly modest
audits were also initiated. beginnings in the mid-1980s, additions of NUG
The mass of federal energy regulations during the capacity increased while utilities lowered their own
period from 1973 to 1992 had many elements that at additions. These relied heavily on gas turbines often
least potentially had significant direct or indirect linked to a conventional boiler that uses the waste
impacts on electric power. Two proved central. The heat this is called a combined cycle. Simultaneously,
1978 Public Utility Regulatory Policy Act required there was cessation of building of conventional large
states to consider many kinds of changes in regula- coal-fired plants.
tion. However, the only major response was to the In the 1990s, several states tried to deal with these
requirement to establish a mechanism to encourage problems by altering how they regulated electric
utilities to purchase power from nonutility genera- utilities. This generally involved deregulating whole-
tors (NUGs) deemed worthy, mainly those using sale transactions and lessening controls on rates to
renewable resources (other than traditional large final consumers. The details differed greatly among
hydroelectric facilities) and ‘‘cogeneration’’ (electri- states. One major difference related to ownership of
city production by industrial companies in the generation. At one extreme (New York, Maine, and
facilities providing energy to their operations). Massachusetts), divesting of all generation was
Utilities were to be required to purchase from these required. At the other extreme, some states (e.g.,
sources when they were cheaper or, in the jargon that Texas and Pennsylvania) made the sales voluntary.
was developed, when the avoided cost was lower. These requirements and voluntary actions in-
However, the states were granted considerable creased the role of at least nominally independent
discretion about how these costs would be estimated. producers. Both established electric utilities from
Given that the process involved choosing among other states and specialists in independent power
investment options, estimates of lifetime costs had to plants purchased the divested plants. Two forms of
454 Coal Industry, Energy Policy in
nominal independence were allowed. Several inde- he illustrated his point by showing that a classical
pendent power producers purchased integrated example of the need for government action, provi-
electric utilities and were allowed to treat the sion of lighthouses, was invalid. In England, light-
acquired generating plants as independent produc- houses were originally successfully privately
tion. Conversely, regulators agreed to treat new provided. The government stepped in only after the
generating subsidiaries of some established inte- private success. Coase’s implicit point is that too
grated utilities as independent producers. much stress is given problems of ensuring that all
The ability to sustain this pattern is doubtful. beneficiaries participate in private programs. The
Although gas-supply potential has been underesti- resulting inadequacy is still clearly preferable to
mated, it is unlikely that the gas industry can failing to secure any government aid and might even
economically serve its traditional markets plus a large be superior to a halfhearted government effort.
part of electricity generation and transportation. In A more critical issue is why governments so often
2002, the electric power industry consumed 29 quad- intervene when no clear publicness prevails. Key
rillion BTUs of coal and nuclear energy and 5.7 quad- examples relate to the mass of regulations affecting
rillion BTUs of natural gas. Total U.S. natural gas labor relations, such as coal mine health and safety
consumption was only 23 quadrillion BTUs. laws. The stated rationale is that the bargaining is
unfair and governments must intervene to offset this
defect. This may in some cases be a form of
10. NOTES ON THE publicness. An alternative view is that such policies
ECONOMICS OF REGULATION are simply examples of favoritism toward the
politically influential. The issue is why a supposedly
From an economic perspective, regulation is marred effective labor union could not have secured the
by a persistent tendency to adopt clumsy ways to benefits in the national negotiations it conducted.
attain goals. Often, the goals are disputed. The The resulting problem is establishing the desirabil-
concerns are based on the limits that economic ity of specific policies. First, the reality of a problem
analysis places on the role of government. Standard must be established. Second, it must be ascertained
economic theory employs the concept of market whether the impacts justify intervention. Finally, the
failure to delineate the reasons why government best way to attain the regulatory goals must be
action might be desirable. determined. The first area involves expertise in many
The critical concern is what economists call the disciplines because environmental impacts may affect
public-good-supply problem, provision of services human health, damage property, cause unsightliness,
whose existence makes them available to everyone. and alter climate. People outside these disciplines
Examples include national defense, police protection, must somehow evaluate the credibility of the often
and pollution control. As a vast literature indicates, tentative and conflicting claims that are made.
enormous problems arise in determining and effi- The next essential step of appraisal of the desir-
ciently satisfying the demands for such goods. ability of action involves the economic approach of
Prior to 1960, it was widely believed that causing cost–benefit analysis. The problem is standard in
an ‘‘externality,’’ an impact on others than the applied economics. The methodology is well estab-
decisionmaker, also inherently required intervention. lished; the data for implementation are severely
However, Ronald Coase published an enormously deficient. An analyst must associate values to the
influential article on the subject. He showed that side imperfect impact estimates developed in other disci-
effects could be and were privately corrected when plines and relate them to flawed estimates of com-
the number of affected parties was sufficiently small pliance costs. Thus, the actual estimates are uncertain.
to make negotiation feasible. It was only when the Economics also produces a preference for decen-
number of participants became too large that the tralized decision making. Economists have long
private solution broke down. Implicitly, impacts disparaged the presumption of politicians to decide
became a public good and their control an example what is preferable for others. Thus, among econo-
of the problem of public good provision. mists, the tendency toward detailed instructions that
As is rarely noted, Coase qualified his conclusions. characterizes environmental regulation is censured as
Throughout his writings on economic policy, Coase command and control regulation.
stressed that governments have limited capacity for The starting point of the argument is that
action. Therefore, it is unclear when it is preferable politicians have considerable difficulty determining
for the government to be the financer. In a follow-up, the proper overall goals of public policy and great
Coal Industry, Energy Policy in 455
problems determining the degree and nature of skeptical about this acquiescence. The standard
response to the goals. Therefore, if regulation is to economic arguments for intervention have little or
occur, governments should adopt systems in which no relevance. Briefly, most U.S. federal land use is by
broad goals are set and the maximum possible private individuals for ordinary commercial activ-
flexibility is given with regard to implementation. ities, such as grazing, forestry, and mineral extrac-
In particular, economists suggest two basic ap- tion. Thus, the usual reasons for preferring private
proaches: charges for damages or permits to damage. ownership prevail.
The underlying principle is that economically pollu- Another basic problem is that, as noted pre-
tion control is a commodity whose benefits and cost viously, while access charges in principle can be
vary with the amount of effort exerted. Thus, the levied without affecting production, the standard
standard economic technique of supply and demand practice is to adopt charge systems that discourage
analysis applies. An optimal level of control exists. production. The view that not to charge is to cause
At that level, the price that the public is willing to irreparable losses to the Treasury is overstated. Any
pay for that quantity of control attained has a value business established on public lands, its suppliers,
equal to the marginal cost of the control. Thus, as and its employees will pay their regular taxes. The
with all commodities, a market-clearing price is greater the efficiency of the firm, the more regular
associated with the optimum level of control. taxes will be paid. Thus, the normal tax system is at
This viewpoint simply formalizes realities behind least a partial corrective to the failure directly to
actual regulation. Total control is never attempted charge. It is unclear that this approach produces less
because of the high cost of perfection. Indeed, tax revenue than a royalty system.
perfection may be technologically impossible (an Moreover, the concept of rent transfer to govern-
infinite cost). Thus, denunciations of economic ment must coexist with a rival policy approach to
analyses as immoral are apparent denials of the rents––transfer to consumers. Although this objective
realities. What really seems to be involved is concern has not arisen for U.S. coal, it was a major
that the limits of knowledge will cause less stringent consideration with regard to European coal (and with
controls than are justified. regard to 1970s U.S. policy for oil and natural gas).
In any case, the key is the association of a price Another consideration is that the concept of optimal
with the market-clearing level of control. With lease timing is invalid. More precisely, you can sell too
sufficient information, both the market-clearing level late but never too soon. Market value is determined by
of control and the associated price are knowable. expected profits from optimal development. The
This forms the basis for the tax and marketable development schedule is determined by the trends in
permits basis for regulation. Under the tax system, the markets for the output of the resource. The value is
every polluter is charged a tax equal to the value of determined by the existence of the mineral, not its
efficient abatement. The permit system instead sets a ownership. The land sale or lease transfers control
total limit on pollution and allocates shares in that without altering mineral existence and value.
limit. In both systems, the affected parties decide Any private firm making a lease or purchase
how much and in what way to abate. before it is efficient to use the property will wait until
The previously noted problems of inadequate the socially most desirable exploitation date. Failure
information imply that charges, transferable rights, to realize this basic principle results in invalid
and command and control all will fail to attain concerns about adequate payments and calls to limit
the unknowable efficient level of control. To make leasing. It is possible only to lease too late. Resources
matters worse, the magnitude of the resulting may not be made available to a qualified operator
policy defects depends critically on the magnitude until after the most desirable time for exploitation.
of the error in the policy goals. Therefore, no Moreover, the case does not depend on perfect
a priori presumptions are possible about which markets. Delaying leasing cures no market failure.
policy fails least. At best, time is gained that might be used to
eliminate the failures.
Another problem is that politicians and critics of
11. REGULATION AND leasing impose unattainable standards of proof on
PUBLIC LAND the acceptance of offers of initial payments. Fears of
giveaways prevail. The intrinsic drawbacks of rent
Government land ownership is politically popular. taxation are aggravated by the insistence on detailed
However, the economists working on the subject are estimates of whether selling prices are sufficient.
456 Coal Industry, Energy Policy in
Concerns also exist about the feasibility of adminis- Coal Industry, History of Equity and Distribution
tering the system and ensuring public faith in the in Energy Policy Markets for Coal Natural Gas
integrity of the system. Industry, Energy Policy in Transportation and
In public land policy debates, leases or sales of Energy Policy
public land are conditional on payment of ‘‘fair
market value.’’ Fair market value more generally is
the legal term used to define the appropriate price to
be paid in the purchase and sale of property by Further Reading
government agencies. Its receipt is a perennial issue.
Coase, R. H. (1988). ‘‘The Firm, the Market and the Law.’’ Univ.
The term seems simply to mean what the asset would of Chicago Press, Chicago.
sell for in a competitive market. The U.S. govern- Ellerman, A. D., Joskow, P. L., Schmalensee, R., Montero, J-P., and
ment policy manual on valuation, ‘‘Uniform Apprai- Bailey, E. M. (2000). ‘‘Markets for Clean Air: The U.S. Acid
sal Standards for Federal Land Acquisitions,’’ implies Rain Program.’’ Cambridge Univ. Press, Cambridge, UK.
Gordon, R. L. (1988). Federal coal leasing: An analysis of the
such an interpretation, as does at least one Supreme
economic issues, Discussion Paper No. EM88-01. Resources for
Court decision. the Future, Energy and Materials Division, Washington, DC.
Economic principles indicate that vigorous com- Gordon, R. L. (2001). Don’t restructure electricity: Deregulate.
petition for leases will guarantee receipt of fair Cato J. 20(3), 327–358.
market value. For skeptics, some assurance such as McDonald, S. (1979). ‘‘The Leasing of Federal Lands for Fossil
price data may be needed. Although oil and gas Fuels Production.’’ Johns Hopkins Univ. Press for Resources for
the Future, Baltimore.
leasing continues because its long history produced Mueller, D. C. (2003). ‘‘Public Choice III.’’ Cambridge Univ. Press,
extensive information, the effort to establish compe- Cambridge, UK.
titive bidding for coal leases was undone by the Nelson, R. H. (1983). ‘‘The Making of Federal Coal Policy.’’ Duke
absence of data. Univ. Press, Durham, NC.
Parker, M. J. (2000). ‘‘Thatcherism and the Fall of Coal.’’ Oxford
Univ. Press for the Oxford Institute for Energy Studies, Oxford.
Samuelson, P. A. (1954). The pure theory of public expenditure.
12. CONCLUSION Rev. Econ. Statistics 36(4), 387–389. [Reprinted in Stiglitz, J. E.
(Ed.). (1966). ‘‘The Collected Papers of Paul A. Samuelson,’’
The prior discussion suggests the diverse and pro- Vol. 2, pp. 1223–1225. MIT Press, Cambridge; and Arrow, K.
found ways that regulation affects coal. Clearly, many J., and Scitovsky, T. (Eds.) (1969). ‘‘Readings in Welfare
questions arise about these actions and the available Economics,’’ pp. 179–182. Irwin, Homewood, IL]
Samuelson, P. A. (1969). Pure theory of public expenditures and
information is inadequate to resolve the concerns.
taxation. In ‘‘Public Economics’’ (Margolis, J., and Guitton, H.,
What is clear is the underlying belief that coal is such Eds.), pp. 98–123. St. Martins, New York. [Reprinted in
an unattractive fuel that its production and use must Merton, R. C. (1972). ‘‘Collected Scientific Papers of Paul A.
be tightly controlled. Thus, although the 1970s were Samuelson,’’ Vol. 3, pp. 492–517. MIT Press, Cambridge, MA]
years of advocacy of increased coal use, the 1990s Tarlock, A. D. (1985). The making of federal coal policy: Lessons
for public lands from a failed program, an essay and review.
saw advocacy of discouraging coal consumption.
Natural Resources J. 25, 349–371.
U.S. Commission on Fair Market Value Policy for Federal Coal
Leasing (1984). ‘‘Report of the Commission.’’ U.S. Government
SEE ALSO THE Printing Office, Washington, DC.
FOLLOWING ARTICLES U.S. Congress, Office of Technology Assessment (1984). ‘‘Acid
Rain and Transported Air Pollutants: Implications for Public
Policy.’’ U.S. Government Printing Office, Washington, DC.
Air Pollution from Energy Production and Use U.S. National Acid Precipitation Assessment Program (1991).
Clean Coal Technology Coal, Chemical and ‘‘Acidic Deposition: State of Science and Technology.’’ U.S.
Physical Properties Coal, Fuel and Non-Fuel Uses Government Printing Office, Washington, DC.
Coal Industry, History of
JAAK J. K. DAEMEN
University of Nevada
Reno, Nevada, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 457
458 Coal Industry, History of
society is intimately intertwined with the growth of earth fuel by inhabitants of Gaul near the Rhine
the coal industry. Developments driven by coal with a mouth, to heat their food and themselves. All
major impact on technological progress include the indications are that he describes the use of peat in
steam engine, the railroad, and the steamship, an area currently part of The Netherlands, where
dominant influences on the formation of modern peat still was used as a fuel nearly twenty centuries
society. For over a century, coal was the major energy later. Romans observed coal burning near St.
source for the world. Its relative contribution decli- Étienne, later a major French coal mining center.
ned over the second half of the 20th century. In The Romans carved jet, a hard black highly
absolute terms its contribution continues to increase. polishable brown coal, into jewelry. Jet was used
The environmental disadvantages of coal have as a gemstone in Central Europe no later than
been recognized for centuries. Efforts to reduce these 10000 bc.
disadvantages accelerated over the last third of the The recorded history of coal mining in India dates
20th century. Because coal remains the largest and from the late 18th century. Place and river names in
most readily available energy source, its use is likely the Bengal-Bihar region suggest that coal may have
to continue, if not increase, but will have to be been used, or at least that its presence was
supported by improved environmental control. recognized, in ancient times.
Coal use was rare, even in most parts of the world
where it was readily accessible in surface outcrops,
2. PRE- AND EARLY HISTORY until well into the second millennium, at which time
its use became widespread, be it on a small scale.
Where coal was mined and used initially is not clear. The Hopis mined coal at the southern edge of
Secondary sources vary as to when coal use may have Black Mesa, in northern Arizona, from about the
started in China, from as early as 1500 bc to as late 13th through the 17th century ad. Most was used for
as well after 1000 ad. It has been stated that a house fuel, some for firing pottery. Coal was mined
Chinese coal industry existed by 300 ad, that coal by a primitive form of strip mining, conceptually
then was used to heat buildings and to smelt metals, remarkably similar to modern strip mining. At least a
and that coal had become the leading fuel in China few underground outcrop mines were pursued
by the 1000s. Marco Polo reported its widespread beyond the edge of the last (deepest) strip, a practice
use in China in the 13th century. Coal may have been reminiscent of modern auger mining. Gob stowing
used by mammoth hunters in eastern central Europe. was used to prevent or control overburden collapse.
The Greeks knew coal, but as a geological
curiosity rather than as a useful mineral. Aristotle
mentions coal, and the context implies he refers to 3. MIDDLE AGE AND RENAISSANCE
‘‘mineral’’ or ‘‘earth’’ coal. Some mine historians
suggest he referred to brown coal, known in Greece Coal and iron ore formed the basis of the steel
and nearby areas. Theophrastus, Aristotle’s pupil and industry in Liège in present Belgium. Coal mining
collaborator, used the term anyraz(anthrax), root of rights were granted in Liège in 1195 (or 1198?) by
anthracite. Although Theophrastus reported its use the Prince Bishop. At about the same time, the
by smiths, the very brief note devoted to coal, Holyrood Abbey in Scotland was granted coal
compared to the many pages dealing with charcoal, mining rights. A typical medieval situation involved
suggest, as does archaeological evidence, that it was a abbeys or cloisters driving technology. In France, a
minor fuel. The term is used with ambiguous mean- 13th-century real estate document established prop-
ings, but at least one was that of a solid fossil fuel. erty limits defined by a coal quarry. The earliest
Theophrastus describes spontaneous combustion, still reliable written documentation in Germany appears
a problem for coal storage and transportation. to be a 1302 real estate transaction that included
Coal was used in South Wales during the Bronze rights to mine coal. The transaction covered land
Age. The Romans used coal in Britain, in multiple near Dortmund in the heart of the Ruhr.
locations, and in significant quantities. After the Coal use started before it was documented in
Romans left, no coal was used until well into the writing. Religious orders tended to keep and preserve
second millennium. Lignite and especially peat, written materials more reliably than others. It seems
geological precursors to coal, were used earlier and reasonable to postulate that coal use began no later
on a larger scale in northern and western Europe. than the 12th century in several West European
Pliny, in the first century ad, mentions the use of countries. Documented evidence remains anecdotal
Coal Industry, History of 459
for several more centuries but indicates that coal use comparison with the by this time highly developed
increased steadily from the 12th century on. England underground metal mining.
led in coal production until late in the 19th century. The earliest coal mining proceeded by simple strip
Contributing to this sustained leadership were that mining: the overburden was stripped off the coal and
wood (and hence charcoal) shortages developed the coal dug out. As the thickness of the overburden
earlier and more acutely there than in other countries, increased, underground mines were dug into the
there was ready access to shipping by water (sea and sides of hills, the development of drift mines. Mining
navigable rivers), and large coal deposits were present uphill, strongly preferred, allowed free water drai-
close to the surface. nage and facilitated coal haulage. Some workings in
By the 13th century, London imported significant down-dipping seams were drained by driving ex-
amounts of coal, primarily sea-coal, shipped from cavations below the mined seams.
Newcastle-upon-Tyne. The use of coal grew steadily, Shafts were sunk to deeper coal formations. When
even though it was controversial, for what now coal was reached, it was mined out around the shaft,
would be called environmental impact reasons. resulting in typical bell pits. Coal was carried out in
Smoke, soot, sulfurous odors, and health concerns baskets, on ladders, or pulled out on a rope. Where
made it undesirable. From the 13th century on, necessary, shafts were lined with timber.
ordinances were passed to control, reduce, or prevent In larger mines, once the coal was intersected by
its use. None of these succeeded, presumably because the shaft, ‘‘headings’’ were driven in several direc-
the only alternatives, wood and charcoal, had tions. From these, small coal faces were developed,
become too expensive, if available at all. Critical typically about 10 ft wide, usually at right angles
for the acceptance of coal was the development of from the heading, and pillars, blocks of coal, were
chimneys and improved fire places. By the early left in between these so-called bords, the mined-out
1600s, sea-coal was the general fuel in the city. sections. Pillar widths were selected to prevent roof,
The population of the city grew from 50,000 in 1500 pillar, and overburden failure, which could endanger
to more than 500,000 by 1700, the coal imported people and could lead to loss or abandonment of
from less than 10,000 tons per year to more than coal. Each working face was assigned to a hewer,
500,000 tons. who mined the coal, primarily with a pick. The
Early coal use was stimulated by industrial hewer first undercut the coal face: he cut a groove
applications: salt production (by brine evaporation), along the floor as deep as possible. He then broke out
lime burning (for cement for building construction), the overhanging coal with picks, wedges, and
metal working, brewing, and lesser uses. By the late hammers. Lump coal was hand loaded into baskets,
Middle Ages, Newcastle exported coal to Flanders, usually by the hewer’s helper. The baskets were
Holland, France, and Scotland. pushed, dragged, or carried to and sometimes up the
By the early 16th century, coal was mined in shaft. This haulage commonly was performed by
several regions in France. In Saint Étienne, long the women and children, usually the family of the hewer.
dominant coal producer, coal was the common The hewer operated as an independent contractor.
household fuel, and the city was surrounded by He was paid according to the amount of coal he and
metals and weapons manufacturing based on its coal. his family delivered to the surface. Once established
Legal and transportation constraints were major as a hewer, after multiple years of apprenticeship, the
factors in the slower development of coal on the hewer was among the elite of workers in his
European continent compared to England. In the community.
latter, surface ownership also gave subsurface coal In deeper or better equipped mines, the coal
ownership. In the former, the state owned subsurface baskets or corves were hoisted up the shaft using a
minerals. Notwithstanding royal incentives, France windlass, later horse-driven gins. These also were
found it difficult to promulgate coal development on used for hoisting water filled baskets or buckets, to
typically small real estate properties under complex dewater wet mines. By the end of the 17th century,
and frequently changing government regulations. shaft depths reached 90 ft, occasionally deeper.
Only late in the 17th century did domestic coal Encountering water to the extent of having to
become competitive with English coal in Paris, as a abandon pits became frequent. Improving methods
result both of the digging of new canals and of the to cope with water was a major preoccupation for
imposition of stiff tariffs on imported coal. Coal mine operators.
mining remained artisanal, with primitive exploita- Ventilation also posed major challenges. Larger
tion ‘‘technology’’ of shallow outcrops, notably in mines sank at least two shafts, primarily to facilitate
460 Coal Industry, History of
operations. It was recognized that this greatly Thomas Savery’s Miners Friend, patented in 1698,
improved air flow. On occasion shafts were sunk promised the use of steam for a mine dewatering
specifically to improve ventilation. During the 17th pump. Thomas Newcomen’s steam-driven pump
century, the use of fires, and sometimes chimneys, fulfilled the promise. The first Newcomen steam
was introduced to enhance air updraft by heating the pump, or ‘‘fire-engine’’ or ‘‘Invention to Raise Water
air at the bottom of one shaft. In ‘‘fiery’’ mines, by Fire,’’ was installed at a coal mine in 1712.
firemen, crawling along the floor, heavily dressed in Although expensive and extraordinarily inefficient by
wetted down cloths, ignited and exploded gas modern standards or even by comparison with Watt’s
accumulations with a lighted pole. This practice steam engine of 60 years later, 78 Newcomen engines
was well established in the Liège basin by the middle operated by 1733. The first Boulton and Watt engine,
of the 16th century. As mines grew deeper, and pro- based on Watt’s patent, was installed at a coal mine
duction increased, explosions became more frequent, in 1776. By the end of the century, Boulton and Watt
on occasion killing tens of people. engines also found increasing use for shaft hoisting.
In North America, coal was reported on Cape For most of the century, horse power had been the
Breton in 1672. Some coal was mined for the French dominant shaft hoisting method.
garrison on the island, some was shipped to New Underground haulage improved. Wheels were
England before 1700. Coal was found by Joliet, mounted on the baskets previously dragged as or
Marquette, and Father Hennepin, in 1673, along the on sledges. Planks were placed on the floor and were
Illinois river. It is possible that some was used at that replaced by wooden and eventually iron rails—
time by the Algonquins in this area. forerunners of the railroad. Horses replaced boys
for pulling, at least in those mines where haulage-
ways were large enough.
4. PRECURSORS TO THE Dewatering became practical to great depths.
Haulage improved greatly. Coping with explosive
INDUSTRIAL REVOLUTION gases proved difficult. Fires at shaft bottoms
The best sun we have is made of Newcastle coal. remained the dominant method to induce airflow.
—Horace Walpole, 1768 Numerous ingenious devices were invented to course
air along working faces, as air coursing was pursued
Whether or not one subscribes to the (controver- vigorously. But explosions remained a major and
sial) concept of a first industrial revolution, the use of highly visible hazard, resulting in an increasing cost
coal increased significantly from about the middle of in lives.
the 16th century. A prime cause was the shortage of The physical coal winning—hewer with pick—
firewood, acute in England, noticeable in France. In remained unchanged. Improvements in production
Britain coal production increased from less than were associated with better lay-outs of the workings.
3 million tons in 1700 to more than 15 million tons Most mines continued to operate the room and pillar
in 1800 (and then doubled again to more than method, leaving over half the coal behind. An
30 million tons per year by 1830). Driving were the exception was the development of the longwall
growing industrial uses of coal, in particular the method. Here, a single long face was mined out
technology that made possible the smelting and entirely. As the coal was mined, the roof was
forging of iron with coal. Steam power, developed supported with wooden props. The gob, the mined
to dewater mines, created a voracious demand for out area, was back-filled with small waste coal. This
coal. method allowed a nominal 100% recovery or
Land positions and legal statutes facilitated the extraction but resulted in surface subsidence. It
development of coal. The frequent closeness of iron now has become, in a highly mechanized form, the
ore, limestone, and coal deposits stimulated the iron dominant underground coal mining method in the
industry. Canals provided the essential low cost United States, Australia, and Europe.
water transportation for inland coal fields. Tram- The European continent lagged far behind Britain
ways and turnpikes fed canal transport and led to in all aspects of coal industry development: produc-
railroads and highways. tion, technology, transportation, use, and legal
Major technical advances were made in mining framework. By 1789, France produced somewhat
technologies: dewatering, haulage, and ventilation, more than 1 million tons per year, about one-tenth of
challenges to mining that continue to this day and that produced in Britain. The Anzin Coal Company,
presumably always will. formed after considerable government prodding to
Coal Industry, History of 461
try to increase coal production, mined 30% of all The reasons why Britain took the lead are
French coal. France now recognized the growing complex and involve all aspects of society. Readily
threat posed by British industrialization. accessible coal and iron ore in close proximity to
Although by 1800 some 158 coal mines operated each other was a major factor. Mine dewatering
in the Ruhr, production that year barely exceeded needs led to the development of the steam engine and
250,000 tons. The first steam engine at a coal mine in mine haulage to railroads, two core technologies of
the region became operational only in 1801. the Industrial Revolution.
In North America, wood remained widely avail- Belgium had coal and iron ore of good quality in
able at low cost, as well as water power in the more close proximity and the necessary navigable river
developed areas (e.g., New England). There was no system. In France and Germany, coal and iron ore
need to use coal, and little was used. Major deposits were far apart, and in France they were not of a
were discovered and would prove extremely signifi- quality that could be used for steel production until
cant later on. late in the century, when its metallurgy was under-
Coal was known to exist near Richmond, Virgi- stood. France and Germany lacked the water
nia, by 1701, and some was mined by 1750. Some transportation necessary for the development of a
was sold to Philadelphia, New York and Boston by heavy industry (Fig. 1). Steam locomotives and steam
1789. In 1742, coal was discovered in the Kanawha ships permanently altered travel and perceptions of
Valley, West Virginia. The Pocahontas seam, a major space and time. Both were major users of coal and
coal source for many decades, was mapped in required that coal be provided at refueling points all
Kentucky and West Virginia in 1750. An extensive around the world, starting worldwide coal trade and
description of coal along the Ohio River was made in transportation. For many decades, Britain dominated
1751. George Washington visited a coal mine on the this coal shipping and trading. Coal bunkering ports
Ohio River in 1770. Thomas Jefferson recorded coal were major way stations toward building the British
occurrences in the Appalachian mountains. Empire.
Steam converted the Mississippi into the commer-
cial artery it still is, although it is now diesel fueled.
5. INDUSTRIAL REVOLUTION Railroads opened up the Midwest, the West, and
later Canada. As the railroads expanded, so did the
coal mines feeding them. Anthracite built eastern
We may well call it black diamonds. Every basket is power Pennsylvania, bituminous coal built Pittsburgh.
and civilization. For coal is a portable climate. It carries the Coal gas and water gas dramatically, often
heat of the tropics to Labrador and the polar circle; and it is
traumatically, increased available lighting and chan-
the means of transporting itself whithersoever it is wanted.
—Emerson, Conduct of Life, 1860 ged living habits. Initially used in manufacturing
plants, to allow around the clock work, gas light
Coal fueled the Industrial Revolution, arguably the slowly conquered streets and homes and turned Paris
most important development in history. It trans- into the ‘‘city of light.’’
formed the world. While the term ‘‘Industrial Social, political, and cultural revolutions accom-
Revolution’’ is controversial, it remains helpful to panied the Industrial Revolution. Working and living
identify that period when fundamental changes conditions of the lower classes became a societal
developed in the basic economic structure, initially issue and concern and industrial societies accumu-
in Great Britain, shortly thereafter on the European lated the wealth needed to address such concerns.
and North American continents, and eventually Dickens, Marx, Engels, and many others identified
throughout much of the world. The transition to social problems and proposed solutions either within
the predominant use of fossil fuels, initially coal, was or outside the existing political structure.
a major aspect and driving force of industrialization. Coal mining was marked by difficult labor
In Britain, the Industrial Revolution usually is relations from the beginning and continues to be so
considered the period from about 1760 through in most parts of the world where it is a significant
about 1840. In Belgium it started about 1830; in economic activity. Responsibility of the government
France, the United States, and Germany it started in the social arena found its expression in multiple
within the following decades. Other West European studies and reports and numerous labor laws. A focal
countries followed well before the end of the 19th point was child and female labor. The age at which
century. Russia and Japan initiated their industrial children were allowed to start working underground
revolutions by the end of the century. was gradually raised. In Belgium, women miners were
462 Coal Industry, History of
FIGURE 1 The Coal Wagon. Théôdore Géricault (1821). Transportation cost always has been a major item in coal use.
Road haulage was and is extremely expensive. A significant advantage for early British industrial development was its ready
access to sea, river, and canal haulage of coal. Courtesy of the Fogg Art Museum, Harvard University Art Museums Bequest of
Grenville L. Winthrop. Gray Collection of Engravings Fund. r President and Fellows of Harvard College. Used with
permission.
more adamant and more successful in their opposi- early development of geology, its impact was less
tion to being banned from underground and worked than that of metal mining.
there legally until late in the 19th century (Fig. 2). During the 1840s, the leading British geologist
Although science and the scientific approach were Charles Lyell visited several coal mining areas in
well developed by this time, they had little influence North America. He proposed igneous activity com-
on the early technological developments. The lack of bined with structural disturbance as the mechanism
geological understanding made the search for deeper of formation of the anthracites in northeastern
coal uncertain and expensive. Geological sciences Pennsylvania, then the booming heart of the U.S.
grew rapidly toward the end of this period and Industrial Revolution. He used the creep of mine roof
would soon make major contributions to finding coal and floor as an analog for the slow large deforma-
and understanding the complexities of coal—even tions of rock formations.
though its origin and formation remained a matter of As in Britain, much early U.S. geological mapping
controversy for decades. While the official geological was for surveys for canals built during the beginning
community had little interaction with coal mining, of the U.S. Industrial Revolution. Because much of
William Smith, author of the first geological map of the initial geological mapping was utilitarian, in-
Britain, a masterpiece of geological mapping, was cluding looking for building stone and metal ore, at
involved in coal mines, although his prime engineer- the time when the coal industry was developing,
ing work was for canals, mainly coal shipping canals. finding and mapping coal was a major objective of
‘‘Strata Smith’’ was a founder of stratigraphy because early geologists. This included the First Geological
of his recognition of the possibility to use fossils to Survey of Pennsylvania, and the mapping of the
correlate strata. The first paper published by James upper Midwest by David Dale Owen, first state
Hutton, the founder of modern geology, was a coal geologist of Indiana.
classification. Hutton devised a method to allow Although the connection between coal and geol-
customs agents and shippers to agree on a coal ogy may seem obvious, and it was far less so then
classification to set customs fees. While Hutton than now, even less obvious might be relations
recognized the usefulness of the vast amount of between Industrial Revolution technology and fun-
geological information disclosed by coal mining, his damental geology. Yet Hutton, good friend of James
later interest was strictly scientific. He did present a Watt, was influenced by the modus operandi of
theory for coal formation based on metamorphosis the steam engine in his understanding of the uplifting
of plant materials. While coal mining influenced the of mountains.
Coal Industry, History of 463
FIGURE 2 The Bearers of Burden. Vincent Van Gogh (1881). The first bearer carries a safety lamp, suggesting she came
from underground, which still was legal in the Belgian Borinage coal mining region when Van Gogh worked there in the 1870s.
Collection Kröller-Müller Museum, Otterlo, The Netherlands. Photograph and reproduction permission courtesy of the
Kröller-Müller Foundation.
Among the members of the Oysters Club in namics, although the term was introduced only 25
Edinburgh that included James Watt and James years later by Lord Kelvin in his Account of Carnot’s
Hutton was Adam Smith. The Wealth of Nations Theory. From 1850 on there was considerable
addresses many strengths and weaknesses of the coal interaction between the development of the steam
industry, while laying the theoretical economic basis engine and of thermodynamics, as demonstrated by
for the free market economy that allowed it and the the involvement in both of Rankine, one of the
Industrial Revolution to thrive. Adam Smith identified Scottish engineers-scientists who drove the technolo-
the need for a coal deposit to be large enough to make gical developments of the Industrial Revolution.
its development economically feasible, the need for it
to be located in the right place (accessible to markets,
i.e., on good roads or water-carriage), and the need for 6. 19TH CENTURY
it to provide fuel cheaper than wood (i.e., to be price
competitive). Also, as Smith stated, ‘‘the most fertile The 19th century was the century of King Coal. Coal
coal-mine regulates the price of coals at all other mines production grew dramatically in most countries that
in its neighbourhood.’’ He discussed the appropriate became industrialized, and coal use grew in all of
purchase price and income of a coal mine and the them. While Britain continued to lead in coal
economic differences between coal and metal mines— production, the growth rate in the United States
in sum, the basics of mineral and fuel economics. was so fast that by the end of the century its
The French engineer-scientist Coulomb reported production exceeded Britain’s (Table I). In 1900, coal
on steam engines based on his observations during a exports accounted for 13.3% of total British export
trip to Britain and pushed French industrialists value. Coal trading was greatly liberated during the
toward the use of coal. It was recognized that steam first half of the century. Direct sales between coal
engines remained extremely inefficient. Scientific producers and consumers (e.g., gas producers)
investigations of the performance of the engines became legal. In this free and open domestic trading
evolved toward the science of thermodynamics. In environment coal flourished. Internationally, the
1824, Carnot published a theoretical analysis of the Empire encouraged and protected its domestic
heat engine, a founding publication of thermody- industry, supporting domestic production for export.
TABLE I
Annual Coal Production for Some Countries, in Millions of Tonnesa (Mt) per Year
Year World United States United Kingdom Belgium Germany France Japan China Australia South Africa Indonesia Polandc Russia/USSR/FSUd Colombia India
a
1 tonne ¼ 1000 kg ¼ 2204.6 lb ¼ 1.102 (short) tons
b
Production for pre–World War I territory, sum of hard coal and brown coal (lignite).
c
There are considerable differences in data, especially before 1920, depending on territory considered––that is, on how changed boundaries (one of which has intersected, in different ways, Upper Silesia, the
major coal producing area) affected coal production. Given is an exceedingly simplified summary of very approximate production data for the area currently (2003) Poland.
d
FSU ¼ Former Soviet Union (data from 1980 through 2000). Data from Coal Information (2001), ‘‘International Energy Agency,’’ Paris, France (2001); ‘‘Energy Information Adminstration,’’ U.S. Department
of Energy, Washington, D.C.; ‘‘Minerals Yearbook, U.S. Department of the Interior,’’ Washington, D.C., (1918), (1923), (1934), (1950); ‘‘Historical Statistics of the United States to 1957: A Statistical Abstract
Supplement,’’ Washington, D.C. (1960); B. R. Mitchell, ‘‘International Historical Statistics, Europe (1750–1988),’’ 3rd ed. Stockton Press, New York, NY (1992); B. R. Mitchell, ‘‘International Historical Statistics,
Africa, Asia & Oceania,’’ 2nd Rev. ed., Stockton Press, New York, NY (1995); K. Takahashi (1969), ‘‘The Rise and Development of Japan’s Modern Economy,’’ The Jiji Tsushinsha (The Jiji Press, Ltd.), Tokyo; A.
L. Dunham (1955), ‘‘The Industrial Revolution in France (1815–1848),’’ Exposition Press, New York; B. R. Mitchell (1962), ‘‘Abstract of British Historical Statistics,’’ Cambridge at the University Press; W. W.
Lockwood (1954), ‘‘The Economic Development of Japan,’’ Princeton University Press, Princeton, NJ; A. S. Milward and S. B. Saul (1973), ‘‘The Economic Development of Continental Europe,’’ Rowman and
Littlefield, Totowa, NJ; W. Ashworth (1975), ‘‘A Short History of the International Economy Since 1850,’’ Longman, London; M. Gillet (1973), ‘‘Les Charbonnages du Nord de la France au XIXe Siècle,’’ Mouton,
Paris; R. Church (1986), ‘‘The History of the British Coal Industry, Vol. 3 (1830–1913): Victorian Pre-eminence,’’ Clarendon Press, Oxford; V. Muthesius (1943), ‘‘Ruhrkohle (1893–1943),’’ Essener Verlagsanstalt,
Essen, Germany; B. R. V. Mitchell (1980), ‘‘European Historical Statistics (1750–1975),’’ Facts on File, New York; M. W. Flinn (1984), ‘‘The History of the British Coal Industry, Vol. 2 (1700–1830): The Industrial
Revolution,’’ Clarendon Press, Oxford; J. A. Hodgkins (1961), ‘‘Soviet Power,’’ Prentice-Hall, Englewood Cliffs, NJ; H. N. Eavenson (1935), ‘‘Coal Through the Ages,’’ AIME, New York; S. H. Schurr and B. C.
Netschert (1960), ‘‘Energy in the American Economy (1850–1975),’’ The Johns Hopkins Press, Baltimore; ‘‘A History of Technology,’’ T. I. Williams, Ed. (1978), Clarendon Press, Oxford; ‘‘COAL, British Mining
in Art (1680–1980),’’ Arts Council of Great Britain, London; T. Wright, Growth of the modern chinese coal industry, ‘‘Modern China,’’ Vol. 7, No. 3, July 1981, 317–350; R. L. Gordon (1970), ‘‘The Evolution of
Energy Policy in Western Europe,’’ Praeger, New York; J. S. Furnivall (1939) (1967), ‘‘Netherlands, India, A Study of Plural Economy,’’ Cambridge at the University Press; D. Kumar, Ed. (1983) ‘‘The Cambridge
Economic History of India,’’ Cambridge University Press; Z. Kalix, L. M. Fraser, and R. I. Rawson (1966), ‘‘Australian Mineral Industry: Production and Trade (1842–1964),’’ Bulletin No. 81, Bureau of Mineral
Resources, Geology and Geophysics, Commonwealth of Australia Canberra; P. Mathias and M. M. Postan, Eds., ‘‘The Cambridge Economic History of Europe,’’ Vol. VII, Part I, Cambridge University Press,
Cambridge (1978); N. J. G. Pounds, ‘‘The Spread of Mining in the Coal Basin of Upper Silesia and Southern Moravia,’’ Annals of the Association of American Geographers, Vol. 48, No. 2, 149–163 (1958). Most
data prior to 1900 must be considered as subject to large uncertainties and to significant differences between different sources.
Coal Industry, History of 465
Capital was needed to develop the mines—for who loaded the coal and installed timber. The miner
example, to sink shafts, construct surface and was paid on a piece rate and paid his helpers. The
underground operating plant (e.g., pumps, hoisting miner worked as an independent, with minimal
engines, fans), build loading, processing, and trans- supervision. Death and injury rates were high,
portation facilities. Coal mine ownership slowly predominantly from roof falls, not from the explo-
shifted from private and partnerships to stock-issuing sions that occurred all too often. By the end of the
public corporations. Employment in British coal century the fatality rate in U.S. coal mining
mining grew from about 60,000 to 80,000 in 1800 approached 1000 per year.
to nearly 800,000 in 1900. Over the course of the 19th century, numerous
In 1800, the United States produced barely over a safety lamps were developed, typically designed with
100,000 tons of soft coal and almost certainly much a protective wire mesh screen and glass to prevent the
less anthracite. Although many Pennsylvania anthra- flame from igniting an explosion. The Davy lamp is
cite outcrops were well known by then and were the most famous, although it was not the one most
within hauling distance from Philadelphia, Boston, widely used. Whether these lamps improved safety,
and New York City, no satisfactory method for burn- (i.e., reduced accidents) or whether they simply
ing anthracite had been developed. allowed miners to work in more gaseous (i.e., more
The American Industrial Revolution started dangerous) conditions remains controversial.
around 1820, in parallel with the growth of the Bituminous or soft coal mines operated with room
anthracite industry in northeastern Pennsylvania. and pillar mining, similar to the anthracite mines, but
Canals were built to provide transportation but were predominantly in flat or nearly flat beds—not the
soon superseded by railroads. Anthracite had been steeply dipping beds of the anthracite region. In
promoted and used somewhat as a domestic fuel late 1871, virtually all coal was still undercut by hand
in the 18th century. It did not become accepted until and shot with black powder. Coal preparation was
efficient fire grates became available, well into the almost nonexistent. Animal haulage was universal.
19th century, and until the price of wood fuel had Major efforts were started to mechanize coal
risen significantly, particularly in the large cities. mining. Cutter machines, designed to replace the
Following intense development of burning technolo- manual undercutting, were patented, but it took
gies, anthracite became the fuel of choice for public several more decades before they performed well and
buildings and was used in steam engines (stationary, became accepted. Late in the century, electric
e.g., for coal mine pumping, manufacturing, and locomotives were introduced. They quickly gained
mobile: locomotives and boats) and iron production. widespread acceptance, replacing animal haulage. In
The commercialization of improved and easier to use 1871, most mines that used artificial ventilation—
stoves made anthracite the home heating fuel of and many did not—used furnaces. By the end of the
choice for well over the next century. century, mechanical fans dominated. They were
Early mining of anthracite was easy, as it was driven by steam engines, as were the pumps that
exposed in many outcrops. Many small operators dewatered wet mines.
could start mining it with little or no capital, By the end of the century, a pattern of difficult
manpower, or knowledge required. Once under- labor relations was well established in coal fields
ground, the geological complexity of the intensely around the world. The first strike in the Pennsylvania
folded and faulted deposits required operating anthracite region took place in 1849. Labor actions
knowledge that led to consolidation in the industry. and organizations started in Scotland, England, and
The drift mines and shallow shaft mines (rarely Wales in the 18th century. Even though by the early
deeper than 30 ft) started in the 1810s were followed 19th century miners’ wages were substantially higher
in the 1830s by slope mines. Breast and pillar mining than those in manufacturing, the relentless demand
was common: coal pillars were left in between the for labor, driven by the rapidly increasing demand
breasts (faces, rooms) that were mined out. The for coal, facilitated the growth of labor movements,
pillars carried the weight of the overburden. Horses notwithstanding the dominant political power of the
and mules pulled cars running on rails. Black powder coal producers. The high fatality and injury rate gave
was used to shoot the coal (break out the coal). impetus to a labor emphasis on improving safety.
Wooden props (timber posts) provided safety by The 1892 first national miners strike in Britain
holding up the immediate roof. stopped work from July through November. Two
Contract mining was standard. Each miner men were killed in riots. In the 1890s the UMWA
worked a breast, assisted by one or two helpers (United Mine Workers of America) was trying to
466 Coal Industry, History of
organize. General strikes were called in 1894 and sulfur content and the behavior of the coal during and
1897. In 1898, an agreement was reached between after burning or coking).
the UMWA and the main operators in Illinois, Ohio, From 1800 to 1889, world production of coal
Indiana, and western Pennsylvania. Missing from increased from 11.6 to 485 million tons. In 1899,
this list are the anthracite region of northeastern coal provided 90.3% of the primary energy in the
Pennsylvania and West Virginia. United States. It was indeed the century of King Coal.
By the end of the century, coal had broadened its
consumption base. In 1900, the world produced
28 million tons of steel, the United States, 11.4 mil- 7. 20TH CENTURY
lion tons. Coking coal for steel had become a major
coal consumer. To improve steel quality, steel Well into the second half of the 20th century, coal
producers tightened specifications on coke and remained the world’s major primary energy source.
thereby on the source coal. Throughout most of the century, the relative
Coal gas was introduced early in the century, and importance of coal declined—that is, as a fraction
had become the major light source in both large and of total energy production coal decreased. World-
small cities by midcentury. Electric light was wide coal use increased steadily, but the major
introduced by the end of the century. Electric power production centers shifted. The coal industry chan-
generation became a major coal user only by the ged fundamentally.
middle of the 20th century, however. Both the Two world wars changed the world and the coal
conversion to gas light (from candles) and the later industry. During both wars most industrial countries
one to electric light (from gas) required adjustments pushed their steel production, and hence their coal
on the part of the users. For both changes a major production, as high as possible. Due to the wartime
complaint was the excessive brightness of the new destructions, both wars were followed by severe coal
lights. (Initially electric light bulbs for domestic use shortages. In response, coal-producing nations
were about 25 W.) pushed hard to increase coal production. In both
The heavy chemical industry received a major cases, the demand peak was reached quickly and
boost when it was discovered that coal tar, a waste subsided quickly. A large overcapacity developed on
by-product of coke and gas production, was an both occasions, resulting in steep drops in coal
excellent feedstock for chemicals, notably organic prices, in major production cutbacks, and in severe
dyes. Discovered in Britain, shortly after mid-century, social and business dislocations. After the second
Germany dominated the industry by the end of the world war, two major changes impacted coal: rail-
century and did so until the first world war. The roads converted from steam to diesel and heating of
industry became a textbook example of the applica- houses and buildings switched to fuel oil and natural
tion of research and development (R&D) for the gas. (Diesel replaced coal in shipping after World
advancement of science, technology, and industry. War I.) In the United States, railroads burned
An important step during the 19th century was the 110 million tons of coal in 1946, 2 million tons in
development of coal classifications. Coal is complex 1960. Retail deliveries, primarily for domestic and
and variable. It can be classified from many points of commercial building heating, dropped from 99 mil-
view. Geologically, coal classification is desirable to lion tons in 1946 to less than 9 million tons in 1972.
bring order in a chaotic confusion of materials One hundred fifty years of anthracite mining in
(macerals) with little resemblance to the mineralogy northeastern Pennsylvania was ending.
and petrography of other rocks. Chemical classifica- A remarkable aspect of the coal user industry is
tion is complicated by the fact that the material is a the growth in efficiency in using coal. Railroads
highly variable, heterogeneous mixture of complex reduced coal consumption per 1000 gross ton-miles
hydrocarbons. From the users and the producers point from 178 lbs in 1917 to 117 lbs in 1937. One kWh of
of view, the buyer and the seller, some agreement electrical power consumed 3.5 lbs of coal in 1917,
needs to be reached as to what is the quality of the 1.4 lbs in 1937. A ton of pig iron required 2,900 lbs
delivered and the received product. Depending on the of coking coal in 1936, down from 3500 lbs in 1917.
use, ‘‘quality’’ refers to many different factors. It Improvements in use efficiency continued until late
includes calorific value (i.e., how much heat it into the century. Coal consumption per kWh of
generates), moisture content, and chemical composi- electric power dropped from 3.2 lbs in 1920 to
tion (e.g., how much carbon or hydrogen it contains). 1.2 lbs in 1950, and to 0.8 lbs in the 1960s. After that
Impurities are particularly important (e.g., ash and efficiency decreased somewhat due to inefficiencies
Coal Industry, History of 467
required to comply with environmental regulations. bulk carrier ships reduced the cost of shipping coal
Super efficient steam generating and using technol- across oceans. While some international coal trading
ogies in the 1990s again improved efficiencies. Even existed for centuries (e.g., from Newcastle to Flan-
more dramatic was the efficiency improvement in ders, Paris, and Berlin and later from Britain to
steel production (i.e., the reduction in coal needed to Singapore, Cape Horn, and Peru), only during the
produce steel). Concurrent with the loss of tradi- second half of the 20th century did a competitive
tional markets came the growth in the use of coal for market develop in which overseas imports affect
generating electrical power, the basis for the steadily domestic production worldwide. Imports from the
increasing demand for coal over the later decades of United States contributed to coal mine closures in
the century and for the foreseeable future. Western Europe and Japan during the 1950s. Imports
Major shifts took place in worldwide production from Australia, South Africa, Canada, Poland, and the
patterns. Britain dropped from first place to a minor United States contributed to the demise of coal mining
producer. Early in the century, the United States in Japan, South Korea, and most of Western Europe.
became the largest coal producer in the world and Inland, unit trains haul coal at competitive cost
maintained that position except for a few years near over large distances: Wyoming coal competes in
the very end of the century when the People’s Midwestern and even East Coast utility markets. It
Republic of China became the largest producer. became feasible to haul Utah, Colorado, and Alberta
Most West European countries and Japan reached coking coal to West Coast ports and ship it to Japan
their peak production in the 1950s, after which their and South Korea.
production declined steeply. In the much later Coal mining reinvented itself over the 20th
industrialized eastern European countries, in Russia century. A coal hewer from 1800 would readily
(then the Soviet Union), and in South Korea, the peak recognize a coal production face of 1900. A coal
was reached much later, typically in the late 1980s. miner from 1900 would not have a clue as to what
In Australia, India, and South Africa, coal produc- was going on at a coal face in 2000.
tion increased over most of the century, with major The most obvious and highly visible change is the
growth in the last few decades. The large production move from underground to surface mining (Fig. 3).
growth in China shows a complex past, with major Large earthmoving equipment makes it possible to
disruptions during the 1940s (World War II) and the expose deeper coal seams by removing the over-
1960s (cultural revolution). The recent entries among burden. Although large-scale surface mining of coal
the top coal producers, Colombia and Indonesia, started early in the century, by 1940 only 50 million
grew primarily during the 1980s and 1990s. tons per year was surface mined, barely over 10% of
Worldwide production patterns have changed in the total U.S. production. Not until the 1970s did
response to major transportation developments. Large surface production surpass underground production.
FIGURE 3 Early mechanized surface coal mining. A 1920s vintage P&H shovel loading in a coal wagon pulled by three
horses. Photograph courtesy of P&H Mining Equipment, A Joy Global Inc. Company, Milwaukee, WI. Used with permission.
468 Coal Industry, History of
By 2000, two-thirds of U.S. coal production was Technological advances depend on equipment
surface mined. manufacturers. Surface mining equipment size peaked
Room and pillar mining dominated underground in the 1960s and 1970s. The largest mobile land-
U.S. coal mining until very late in the century. Early based machine ever built was the Captain, a Marion
mechanization included mechanical undercutting 6360 stripping shovel that weighed 15,000 tons. Big
and loading. Conventional mining, in which the coal Muskie, the largest dragline ever built, swung a
is drilled and blasted with explosives, decreased 220 cu yd bucket on a 310 ft boom. The demise of the
steadily over the second half of the century and was stripping shovel came about because coal seams
negligible by the end of the century. Continuous sufficiently close to the surface yet deep enough to
mining grew, from its introduction in the late 1940s warrant a stripping shovel were mined out. While the
(Fig. 4), until very late in the century, when it was stripping shovel was exceedingly productive and
overtaken by longwall mining (Fig. 5). Modern efficient, its large cost required that it operate in a
mechanized longwall mining, in which the coal is deposit that could guarantee a mine life of at least 10
broken out mechanically over the entire face, was to 20 years. Capital cost for a stripping shovel was
developed in Germany and Britain by the middle of markedly higher than for a dragline.
the century. Geological conditions made room and Large draglines shipped during the 1980s were
pillar mining impractical or even impossible in many mostly in the 60 to 80 cu yard bucket size range. A
European deposits. In the last two decades of the few larger machines (120 to 140 cu yd) were build in
century, American (and Australian) underground the 1990s. By the end of the century, the conven-
coal mines adopted longwalling, and greatly in- tional mine shovel reached a bucket size approaching
creased its productivity. In conjunction with the that of all but the largest stripping shovels ever built.
increased production arose a serious safety problem: Worldwide research was conducted in support of
coal is being mined so fast that methane gas is the coal industry. The U.S. Bureau of Mines was
liberated at a rate difficult to control safely with established in 1910 and abolished in 1996. Its
ventilation systems. mission changed, but it always conducted health
FIGURE 4 Early attempt at mechanized underground coal mining. The Jeffrey 34F Coal Cutter, or Konnerth miner,
introduced in the early 1950s. The machine was designed to mechanize in a combined unit the most demanding tasks of
manual coal mining: breaking and loading coal. Photograph and reproduction courtesy of Ohio Historical Society, Columbus,
OH. Used with permission.
Coal Industry, History of 469
FIGURE 5 A major, highly successful advance in mechanizing underground coal mining: replacing manual undercutting by
mechanical cutting. Jeffrey 24-B Longwall Cutter. Photograph and reproduction courtesy of Ohio Historical Society,
Columbus, OH. Used with permission.
and safety research. The Bureau tested electrical in a proliferation of classification methods. Early in
equipment for underground coal mines, permissible the century, when international coal trade was not
explosives, designed to minimize the chances of common and user quality specifications less compre-
initiating a gas or dust explosion, and improved hensive, national and regional classifications were
ground control. The Bureau produced educational developed. As international coal trade grew, over
materials for health and safety training. In 1941, the second half of the century the need arose
Congress authorized Bureau inspectors to enter for classification schemes that could be applied
mines. In 1947, approval was granted for a federal worldwide.
mine health and safety code. The 1969 Coal Mine In situ coal gasification has been demonstrated
Health and Safety Act removed the regulatory and could be developed if economics made it
authority from the Bureau, and transferred it to the attractive. Conceptually simple, a controlled burning
Mine Safety and Health Administration (MSHA). is started in a coal seam to produce gas containing
Organizations similar to the Bureau were estab- CO, H2, CH4, and higher order hydrocarbons. The
lished in most countries that produced coal. In complexity of the fuel, the variability of the deposits,
Britain, the Safety in Mines Research and Testing and the potential environmental impacts complicate
Board focused on explosions, electrical equipment, implementation.
and health, the latter particularly with regard to dust
control. In West Germany, the Steinkohlenbergbau- You can’t dig coal with bayonets.
verein was known for its authoritative work in —John L. Lewis, president, UMWA, 1956
ground control, especially for longwalls. CERCHAR
in France, INICHAR in Belgium, and CANMET in You can’t mine coal without machine guns.
Canada studied coal mine health and safety. In the —Richard B. Mellon, American industrialist
Soviet Union and the People’s Republic of China,
highly regarded institutes ran under the auspices of Difficult labor relations plagued coal mining
their respective National Academy of Science. through much of the century in most free economy
Over the course of the 20th century, the classifica- countries that mined coal. In many parts of the
tion of coal took on ever more importance, resulting world, coal miners formed the most militant labor
470 Coal Industry, History of
unions. The West Virginia mine wars, lasting for private companies controlled barely over 23% of the
most of the first three decades of the century, were world production. In the United States the largest
among the most prolonged, violent, and bitter labor producer, Peabody, mined 16% of U.S. coal, the
disputes in U.S. history. In Britain, the number of second largest one, Arch Coal, 11%. Coal remained
labor days lost to coal mine strikes far exceeded highly competitive, domestically and internationally.
comparative numbers for other industries. Intense
violent labor actions, frequently involving political
objectives, have recurred throughout much of the 8. THE FUTURE
century in Britain, France, Germany, Belgium,
Australia, Canada, and Japan. During the last few Coal resources are the largest known primary energy
decades of the century, strikes in Western Europe, resource. Supplies will last for centuries, even if use
Poland, Japan, and Canada were driven largely by grows at a moderate rate. Reserves are widely
mine closure issues. Strikes in Russia, the Ukraine, distributed in politically stable areas. The many uses
and Australia dealt primarily with living and work- of coal, from electrical power generation to the
ing conditions. Coal miners in Poland, Serbia, and production of gaseous or liquid fuels and the use as
Rumania were leaders, or at least followers, in strikes petrochemical feedstock, make it likely that this
with primarily political objectives. The last major versatile hydrocarbon will remain a major raw
strikes in Britain also had a strong political compo- material for the foreseeable future.
nent, although pit closure concerns were the root The mining and especially the use of coal will
cause. In the United States, the last two decades of become more complicated and hence the energy
the century were remarkably quiet on the labor front, produced more expensive. Coal mining, coal trans-
especially compared to the 1970s. portation, and coal burning have been subjected to
The structure of the coal mining industry changed ever more stringent regulations. This trend toward
significantly over the course of the 20th century. In tighter regulations will continue. A major environ-
the United States during the 1930s, many family- mental factor that will affect the future of coal is the
owned coal mining businesses were taken over by growing concern about global warming. While
corporations. Even so, the historical pattern of coal technologies such as CO2 capture and sequestration
mining by a large number of small producers are being researched, restrictions on CO2 releases
continued until late in the century. Production will add significantly to the cost of producing energy,
concentration remained low compared to other in particular electricity, from coal.
industries and showed an erratic pattern until late Predictions for the near future suggest a modest,
in the century. In 1950, the largest producer mined steady increase in coal production. The main
4.8% of the total, in 1970 11.4%, in 1980 7.2%. In competition in the next few decades will be from
1950, the largest eight producers mined 19.4% of the natural gas. Natural gas reserves have risen steadily
total; in 1970, 41%; in 1980, 29.5%. High prices over the past 30 years, in parallel with the increased
during the energy crisis of the 1970s facilitated entry demand and use, and hence the increased interest in
of small independents. The top 50 companies exploration for gas. Natural gas is preferred because
produced 45.2% of the total in 1950, 68.3% in it is richer in hydrogen, poorer in carbon, and hence
1970, 66.3% in 1980, confirming the significant the combustion products contain more steam rather
reduction of the small producers. than CO2. If, in the somewhat more distant future,
During the 1970s, oil and chemical companies the predictions of a reduction in supply of natural gas
took over a significant number of coal companies and oil were to come through—and for over a
because they believed widely made claims during that century such predictions have proved ‘‘premature’’—
decade of an impending depletion of oil and gas coal might once again become the dominant fossil
reserves. As the hydrocarbon glut of the 1980s and fuel. The rise in demand for electric power seems
1990s progressed, most of these coal subsidiaries likely to continue in most of the world to reach
were spun off and operated again as independent reasonable living standards and in the developed
coal producers. world for such needs as electric and fuel cell–driven
Toward the end of the century, there was vehicles and continued growth in computers and
significant consolidation of large coal producers, electronics in general.
domestically and internationally. Even so, the in- To make coal acceptable in the future, steps need
dustry remained characterized by a relatively large to be taken at all phases of the coal life cycle, from
number of major producers. In 2000, the 10 largest production through end use. A major focus in the
Coal Industry, History of 471
production cycle is minimizing methane release surprising to see coal reflected in cultural contexts.
associated with mining. Methane (CH4) is a green- Pervasive was the sense of progress associated with
house gas. It also is a main cause of coal mine industrial development, the perception of dreadful
explosions. Great strides have been made in capturing social problems associated with the industrial pro-
methane prior to and during mining. In gassy seams, gress, and the disintegration of an older world.
it now is collected as a fuel. In less gassy seams, Zola’s Germinal remains the major novel rooted
especially in less technologically sophisticated mines, in coal mining, a classic in which have been read
it remains uneconomical and impractical to control different, contradictory meanings from revolutionary
methane releases. Extensive research is in progress to to bourgeois conservative. D. H. Lawrence grew up
reduce methane releases caused by coal mining. in a coal mining town, and it and its collieries
Other environmental problems associated with pervade several of his masterpieces. Again, these
mining coal include acid mine drainage, burning of incorporate deep ambiguities with respect to coal
abandoned mines and waste piles, subsidence, spoil mining: admiration for the male camaraderie in the
pile stability issues, and mine site restoration and pits, the daily dealing with a hostile dangerous
reclamation. Technological remedies exist, but their environment, the solidarity in the mining community,
implementation may need societal decisions for and the stifling constraints of it all. Similar ambi-
regulatory requirements. guities are found in Orwell’s The Road to Wigan Pier
Coal preparation is critical for improving envir- and in the reactions to it. It was published by the Left
onmental acceptability of coal. Super clean coal Book Club. These publishers inserted an apologetic
preparation is feasible. Technically, virtually any introduction, justifying why they published this
impurity can be removed from coal, including book, frequently so critical of the left. The book
mercury, which has drawn a great deal of attention includes a widely quoted description of underground
over the last few years. Coal transportation, parti- mining practices in Britain in the 1930s, as well as
cularly in ocean going vessels, has modest environ- sympathetic descriptions of life in the mining
mental impacts, certainly compared to oil. communities—not deemed sufficiently negative by
Coal users carry the heaviest burden to assure that many on the left.
coal remains an acceptable fuel. Enormous progress Richard Llewellyn’s popular How Green Was My
has been made in reducing sulfur and nitrogen oxide Valley introduces a small coal mining community in
emissions. Capturing and sequestering CO2 will pose South Wales through a voluptuous description of rich
a major challenge to the producers of electric power. miner’s meals. (Orwell, as described in his personal
More efficient coal utilization contributes to the diary, published long after Wigan Pier, similarly was
reduction in power plant emissions. Modern power struck by the rich miners meals.)
plants run at efficiencies of about 37%. During the Lawrence’s descriptions of coal mine towns in the
1990s, power plants have come on stream that run at early 20th century gained wide distribution through
over 40%. It is likely that 50% can be achieved by films made of his works, several of which were
2010. Increasing efficiency from 37 to 50% reduces successful commercially. The critically acclaimed and
by one-third the coal burned to generate electricity commercially successful movie adaptation by John
and reduces by one-third gas (and other) emissions. Ford of How Green Was My Valley introduced a
Coal has been attacked for environmental reasons wide audience to a coal mining community in South
for over seven centuries. With ups and downs, its use Wales. While justifiably criticized as sentimental, the
has grown over those seven centuries because of its book and film offer a sympathetic view of a
desirable characteristics: low cost, wide availability, community that often has felt looked down upon,
ease of transport and use. It will be interesting to see examples of nostalgic flashback descriptions of
whether it can maintain its position as a major mining communities often found in the regional
energy source for another seven centuries or whether literature of mining districts.
more desirable alternatives will indeed be developed. Joseph Conrad, in his 1902 story ‘‘Youth,’’
fictionalized, although barely, the loss at sea, to
spontaneous combustion, of a barque hauling coal
9. COAL AND CULTURE from Newcastle to Bangkok. The self-ignition of
coal, particularly during long hauls, was a major
Given the pervasive influence of coal and in particular problem during the late 19th century and continues
of its uses on the fundamental transformations of to pose headaches for those who haul or store coal
societies, especially during the 19th century, it is not over extended periods of time. ‘‘Youth’’ shows that
472 Coal Industry, History of
Conrad, an experienced coal hauling sailor, was The Oxbow, Melrose’s Westward the Star of Empire
thoroughly familiar with spontaneous combustion. Takes Its Way, Bierstadt’s Donner Lake, and
Upton Sinclair, a leading American muckraker of especially George Inness’ The Lackawanna Valley,
the early 20th century, based King Coal on the long Henry’s The First Railway on the Mohawk and
and bitter 1913–1914 Colorado coal strikes. Neither Hudson Road, and Durand’s Progress. During the
a critical nor a commercial success (the sequel The 19th century, Currier & Ives’ prints popularized
Coal War was not published until over half a century progress and penetration of the wilderness thanks to
later and then decidedly for academic purposes), it the railroads and the steam engine. Walt Whitman’s
describes the recurring problem that has plagued coal Ode to a Locomotive summarized the widely held
forever: difficult labor relations. view that a continent was being conquered and
Van Gogh sketched and painted female coal opened up thanks to the railroad and its most visible
bearers during his stay in the Borinage, the heart of emblem, the locomotive’s steam.
early coal mining in Belgium. Also originating in the Nikolai Kasatkin, a leading Russian realist and
Borinage were the sculptures by Constantin Meunier, one of the Itinerants (peredvizhniki—wanderers,
including many of miners. The tour of his work travelers), lived several months in the Donetsk coal
through Eastern and Midwestern cities (1913–1914) basin at a time (late 1800s) when Russian coal
brought to the American public a visual art that production was increasing rapidly. One of his most
recognized the contribution, hardships, and strengths famous paintings, Miners Changing Shift (Fig. 6), is
of blue collar workers. often referenced but rarely reproduced. His Poor
More visible than coal mining, visual celebrations People Collecting Coal in an Abandoned Pit and
of the Industrial Revolution focused on the offspring Woman Miner, both far more lyrical than the subject
of coal mining and its customers, railroads and the might suggest, also are far more readily accessible.
steam locomotive. Among the better known ones is Closer to socialist realism is Deineka’s Before
Rain, Steam and Speed, by J. W. Turner, the painter Descending into the Mine. One of the better known
of the British industrial landscape, immortalized in Soviet railroad celebrations is Transport Returns to
Keelmen Heaving in Coals by Night, Coalbrookdale Normal by Boris Yakovlev.
by Night, and his paintings of steamships. Charles Sheeler and Edward Hopper continue the
The opening up of the American landscape and American tradition of painting railroads in land- and
space, or the intrusion into the landscape, was cityscapes. American primitive John Kane, born in
depicted by Cole’s 1843 River in the Catskills, his Scotland, includes coal barges on the river in his
FIGURE 6 Coal Miners: Shift Change. Nikolai A. Kasatkin (1895). Photograph and reproduction courtesy of Tretyakov
State Gallery, Moscow.
Coal Industry, History of 473
exuberant Monongahela River Valley and Industry’s Coal Mining, Design and Methods of Coal Mining
Increase. Probably the only one among these artists in Appalachia, History of Coal Resources, Forma-
who worked as a coal miner (‘‘the best work I knew tion of Electricity Use, History of Manufactured
and enjoyed’’), Kane published his autobiography Gas, History of Markets for Coal Natural Gas,
Sky Hooks, one of the sunnier recollections among History of Nuclear Power, History of Oil Industry,
the many written by people who grew up in mining History of
communities. More representative of the bleak
conditions during the 1930s may be Ben Shahn’s
sad and haunting Miners’ Wives. Further Reading
In France, Théodore Géricault painted the horse Berkowitz, N. (1997). ‘‘Fossil Hydrocarbons: Chemistry and
haulage of coal, common well into the 19th century, Technology.’’ Academic Press, San Diego, CA.
in Coal Wagon. Manet, Monet, Caillebotte, Seurat, Bryan, A. M., Sir. (1975). ‘‘The Evolution of Health and Safety in
Mines.’’ Ashire, London.
and Pissarro recorded their impressions of railroads, Gregory, C. E. (2001). ‘‘A Concise History of Mining.’’ A. A.
railroad stations, steamboats, and their impact on Balkema, Lisse, The Netherlands.
landscape and society. The responses ranged from Jones, A. V., and Tarkenter, R. P. (1992). ‘‘Electrical Technology in
reluctant acceptance, at best, by Pissarro, to the Mining: The Dawn of a New Age.’’ P. Peregrinus, London, in
enthusiastic celebrations by Monet of railroads, association with the Science Museum.
Peirce, W. S. (1996). ‘‘Economics of the Energy Industries.’’ 2nd ed.
steam engines, and in particular the Gare St. Lazare, Praeger, Westport, CT, London.
the first railroad station in France and Paris. Monet’s Pietrobono, J. T. (ed.). (1985). ‘‘Coal Mining: A PETEX Primer.’’
Men Unloading Coal, a rather darker picture than Petroleum Extension Service, The University of Texas at Austin,
most Monets, illustrates the manual unloading of Austin, TX, in cooperation with National Coal Association,
Washington, DC.
coal from river barges late in the 19th century.
Shepherd, R. (1993). ‘‘Ancient Mining.’’ Elsevier Applied Science,
London and New York.
Stefanko, R. (1983). ‘‘Coal Mining Technology.’’ Society of Mining
SEE ALSO THE Engineers of AIME, New York.
FOLLOWING ARTICLES Thesing, W. B. (ed.). (2000). ‘‘Caverns of Night: Coal Mines in
Art, Literature, and Film.’’ University of South Carolina Press,
Columbia, SC.
Coal, Chemical and Physical Properties Coal, Fuel Trinder, B. (ed.). (1992). ‘‘The Blackwell Encyclopedia of
and Non-Fuel Uses Coal Industry, Energy Policy in Industrial Archaeology.’’ Blackwell, Oxford, UK.
Coal Mine Reclamation
and Remediation
ROBERT L. P. KLEINMANN
National Energy Technology Laboratory
Pittsburgh, Pennsylvania, United States
large part to the efforts of the environmental activists regulations and to minimize adverse environmental
and the environmental regulations that they inspired, impacts; exceptions exist, however, and serve to
but it is also due, in part, to advances in technology inspire environmental activists and conservation
that have made cost-effective environmental progress groups to resist and reject mining wherever it is
possible. Such technology can be used to avoid and proposed. This societal tension serves as a backdrop
prevent, or to reclaim and remediate, environmental to the dynamics of issuing or rejecting mining permit
problems. applications.
1000
Concentration in mg/liters
100
10
0.1
sites in other states. Elsewhere in the world, acid they may appreciate the jobs brought to the area, find
drainage is often associated with coal mining, though their neighborhood forever changed (some would say
the extent of the problem varies with local geology, ruined). Local biota is of course affected as well.
site conditions, mining methods, etc. In the western There have been numerous court fights attempting to
United States, AMD is less likely to be a problem, end the practice of mountaintop removal, and it is
due in part to the lower concentrations of pyrite not yet clear how the issue will finally be resolved,
associated with the strata there and in part due to the but an interesting and so far unexplained finding that
fact that the climate is drier. In fact, the lack of elevated levels of selenium have been found down-
adequate precipitation can make reclamation diffi- stream of West Virginia mountaintop removal
cult, and also introduces the problem of sodic spoils. operations may turn out to be significant.
Such materials are exposed during mining and
contain elevated concentrations of sodium salts,
2.2 Underground Mines
which dissolve and add to the salinity of the soil
and the downstream waterways. Although underground mine operations are not as
Other environmental problems associated with visible as surface mining, their overall environmental
surface mines include fugitive dust (airborne particles impact can be greater than that of the typical surface
that blow away in the wind), ground vibrations and mine. A key environmental problem is subsidence.
noise associated with blasting, loss or conversion of Underground mines are large cavities in the rock, and
wildlife habitat, and loss of aesthetics (visual depending on the strength of the intervening strata,
resources). The first two are temporary problems, the depth of the mine, and the type of mining and
but the latter two can be temporary or permanent, roof support, the rock walls can fail, causing cracks
depending on the eventual land use. However, if an and land collapse at the surface. Typically, coal seams
area is viewed as important to the life cycle of an at depths greater than about 200 feet are extracted by
endangered species, permit denial is almost certain. underground mining methods rather than by surface
In contrast, mining companies sometimes take mining, with the exact depth principally based on the
advantage of land disturbance and reclamation to relative amount of coal and overburden. However,
enhance wildlife activity; for example, in the United before improved technology made surface mining so
States, an exception was granted to the AOC affordable, the trade-off occurred at much shallower
requirement to allow a mining company to establish depths; some abandoned underground mines are only
an appropriate habitat for a bird that was native to 35 feet below the land surface.
the area but declining in population. In longwall mines, the subsidence is induced as
The lack of aesthetics generally attributed to mining proceeds. Most of the subsidence occurs
mined and reclaimed land, though it varies with the within a few months after mining. Changes in surface
individual site, generally refers to the fact that mined elevation can be significant, affecting highways,
land is typically reclaimed in a bland and uniform waterways, etc., though mining beneath such fea-
manner. The lack of visual contrast, rather than the tures may be restricted. The extensive fractures and
actual disturbance, is what is noticed. This is one, of settling also disrupt aquifers, though deeper aquifers
many, objections that citizens often make about typically recover once the void spaces fill with water.
mountaintop removal, which is currently the most In many European countries, where mining is
controversial form of permitted surface mining, and centrally planned and directed, subsidence above
deserves to be specifically mentioned here. Moun- longwall mines is typically anticipated and planned
taintop removal, or mountaintop mining, is used in for (for example, in how buildings are constructed)
mountainous areas such as southern West Virginia to years ahead of time. Elsewhere, where mining
extract multiple seams of coal over large areas. The proceeds based on the decisions of mining companies
excess overburden is placed in what were previously and local and regional regulatory agencies, subsi-
valleys, with French drains constructed to handle the dence may be anticipated, but is rarely coordinated
intermittent stream flow that might have been there with other regional development activities. In con-
previously, though major drainage patterns are trast, more traditional room-and-pillar mining may
preserved. The original rugged ridge and valley resist subsidence for decades, failing only as pillars,
appearance of the land is converted to a more sedate left to support the overburden rock, erode and then
topography, creating usable flat land where before collapse. The lateral extent of the subsidence area
there was none, and typically reducing the hazard of may not be as great as above longwall mines, but
storm-related flooding; local inhabitants, although because the collapse is more localized, there is a
Coal Mine Reclamation and Remediation 479
greater risk of differential subsidence (for example, being pumped, the mine begins to flood and the
one corner of a house subsides more than the rest of water table rises. Thus, the volume of AMD that
the house, severely damaging or destroying it (Fig. 4). eventually discharges to the surface can be very great,
The ability to predict the extent of subsidence has completely overwhelming the buffering capacity of
improved over the past decade, but this is still a very the receiving waterways. If the coal seam is
inexact science. completely inundated, the large mine pool will
The effect of subsidence on streams and water- gradually improve in quality once all of the acid
ways can be subtle or profound. In the worst cases, salts are washed away, because inundated pyrite does
subsidence fractures reach the streambed and par- not continue to oxidize to a significant extent.
tially or totally drain the stream, diverting the water However, coal seams typically slope (or ‘‘dip’’); this
underground. Such fractures can be detected using may mean that only part of the seam is underwater,
terrain conductivity, and inexpensively sealed using and the rest is continually exposed to the atmosphere,
an appropriate grout, but until that is done, the creating an ideal acid-generating environment that
stream may go dry, and mining may be impeded or can continue to produce AMD for centuries.
even temporarily halted. Even where waterways are
not affected by subsidence fractures, the changes in
slope will cause profiles to change, causing erosion in 2.3 Refuse Piles
some areas and sediment deposition in others, and
Mined coal often contains other rock types (e.g.,
locally affecting stream biota.
shale and clay associated with the coal or lying
Depending on the coal seam and location, AMD
immediately above or below the coal seam) and
generation in underground mines can exceed that at
impurities (such as pyrite). Such coal is considered
surface mines. Because pyrite forms in a swampy
‘‘high ash,’’ because the impurities remain behind in
environment, coal seams often contain more pyrite
the ash after combustion. To improve the coal value,
than do the overlying strata. At a surface mine,
such coal is typically crushed and ‘‘cleaned’’ or
virtually all of the coal is removed, but in an
‘‘washed’’ in a preparation plant. This process
underground mine, significant amounts of coal
separates the coal from the waste material, which is
remain behind to provide roof support; if the coal
transported to a disposal area. This coal refuse is
is pyritic, it is problematic. In addition, alkalinity
typically very high in pyrite, low in alkalinity, and
that may be present in the overburden strata is not as
quite reactive because it has been crushed to a
exposed to dissolution as it is when it is disrupted by
relatively fine grain size. Today, there are strict
surface mining. Finally, an underground mine is
procedures on how the material must be compacted
essentially a void, and behaves like a well; water
and covered; even so, AMD is a common problem.
flows through the surrounding rock into the mine
Abandoned piles of prelegislation coal refuse, which
void. When mining ceases and the water is no longer
frequently lie in or near waterways, are problematic
(Fig. 5). Such piles can generate extremely acidic
mine drainage and sometimes catch on fire. However,
many of these old waste piles contain quite a bit of
coal, given the fact that coal cleaning procedures
were not always as efficient as they are nowadays.
Such piles can be converted into a resource, because
the material can be burned in a fluidized bed com-
bustion (FBC) unit.
FIGURE 5 A house damaged by subsidence caused by the FIGURE 6 Excavation and extinguishment of a burning coal
collapse of pillars in an abandoned underground mine.
refuse pile.
abandoned mines. Through the efforts of these enthu- old room-and-pillar operations commonly cluster,
siastic volunteers, Pennsylvania accomplishes much when subsidence begins in an area, state and OSM
more remediation than would be otherwise possible. emergency personnel are quickly mobilized. Typi-
cally, they attempt to backfill, inject, or stow,
hydraulically or pneumatically, as much solid mate-
3. LAND RECLAMATION rial into the mine void as possible, figuring that
reducing the void volume with fine solids (sand, fly
Under natural conditions, a landscape represents a ash, etc.) will both decrease the amount of sub-
balance of geomorphic processes; this dynamic sidence that will occur and reinforce pillars that
stability is disrupted by mining. In this context, might otherwise fail. However, because the mine
the goal of reclamation is the reestablishment of voids that they are injecting the material into are
the steady state. In the United States, regulations often flooded, it is sometimes difficult to ascertain if
tightly control the reclamation process at active these efforts make much of a difference. An alter-
operations, dictating the slope (AOC), the extent of native option pursued by many landowners in
revegetation, and the rate at which reclamation and undermined areas is government-subsidized subsi-
revegetation must proceed. Failure to comply results dence insurance. This insurance fund pays property
in loss of bond money and/or fines. Other countries damage after subsidence has occurred.
(e.g., Canada) have more flexibility built into their
regulatory structure. They consider the imposition of
AOC inappropriate at many sites—for example, in
areas where flat land would be desirable; enhanced 4. MINE WATER REMEDIATION
flexibility allows such aspects to be negotiated. In the
United States, exceptions can be granted by the Before the passage of regulations dictating mined
OSM, but are atypical. Instead, operators have land reclamation and mine water discharge stan-
learned to operate within the limits of the regulation. dards, streams and rivers down-gradient of mine sites
For example, they may choose to reduce erosion were often contaminated with high levels of sus-
potential on steep slopes by installing terraces and pended and dissolved solids. In the eastern United
manipulating infiltration rates. States, AMD was also a major problem. Nowadays,
When reclamation agencies are attempting to streams and rivers near active mine sites have much
reclaim derelict or abandoned operations, no attempt less of an impact. Sediment ponds are constructed to
is typically made to restore the land to AOC. Instead, collect suspended solids and if the mine water does
the primary intent is to remove potential hazards (e.g., not meet regulations, chemicals [typically lime,
extinguish potentially dangerous mine fires, seal mine Ca(OH)3] are added to neutralize acidity and
openings); secondarily, the intent is to bury acid- precipitate dissolved metals. Consequently, the re-
forming material, and, finally, to create a stable surface maining sources of contaminated water discharging
that will resist erosion with minimal maintenance. to streams and rivers in mined areas are generally
Funds for reclamation of abandoned sites are quite from abandoned or orphan mines. However, before
limited and represent a small fraction of what would moving on to water remediation at such sites, the
be necessary to reclaim all abandoned mine sites. techniques used to prevent, ameliorate, or remediate
Many abandoned sites have developed a natural, mine water problems at active operations need to be
if sometimes sparse, vegetative cover of volunteer addressed. As alluded to previously, a powerful tool
species. In addition, an unusual incentive has recently in preventing AMD is the permitting process.
developed that may encourage companies to reclaim Variation exists in how much certainty of AMD
abandoned sites that have not naturally revegetated. generation a regulatory agency requires before a
As pressure gradually grows on companies to lower permit is denied. In the United States, Pennsylvania is
carbon emissions, proposals have been made that the most conservative, and can legitimately boast
credit should be given for revegetating barren lands, that it has improved the accuracy of its permitting
because this would sequester carbon from the atmo- decisions from about 50% in the 1980s to 98%;
sphere. Arid deserts and barren abandoned mine sites however, it should be noted that this definition of
are the two most likely types of places for such an success is based on AMD generation at permitted
effort, if and when it becomes codified. operations (following reclamation) and does not
Another aspect of mined land remediation is include mine sites that had permits denied and might
subsidence control. Because subsidence events above not have produced AMD if allowed to operate.
482 Coal Mine Reclamation and Remediation
ecological benefits, though they may be significant, view), by minimizing the duration of impact, and by
have to be viewed as secondary. ensuring that regrading and revegetation proceeds as
Water that is acidic can be neutralized by the quickly as possible.
inexpensive addition of alkalinity. Several passive Finally, the issue of ultimate land use of the
methods have been developed, generally using lime- reclaimed land must be considered. Nowadays, this
stone and/or sulfate-reducing bacteria. Alkaline is actually addressed as part of the permitting
waste products (e.g., steel slag) have also been used. process. Some mine operators have successfully
Water quality, site considerations, and flow dictate created planned industrial sites, some have created
which approach is most cost-effective at a given highly productive farmland, but much of the mined
location. land is reclaimed for wildlife use. Costs for seed and
The realization that passive techniques can be plantings are relatively low, and plans are often
used to treat low to moderate flows of mine water coordinated with local conservation groups to
has made it possible for state reclamation agencies reclaim the land in an appropriate manner for
and local watershed associations to remediate mine wildlife use. To be effective in this regard, these
water at abandoned and orphan mines without a reclaimed lands must be physically connected to
long-term financial commitment for chemicals. other areas where such wildlife currently exists;
However, highly contaminated AMD or high flows isolated fragments of habitat will not serve the
still cannot be cost-effectively treated passively. But desired purpose of restoring wildlife use disrupted by
the technology is continuing to evolve. Semipas- mining activity and road construction. With regula-
sive techniques, such as windmills and various water- tory approval, ponds can be left in locations where
driven devices, are being used to add air or chemical they will serve migratory bird populations or provide
agents to mine water, extending and supplementing watering areas for permanent wildlife populations.
the capabilities of the passive treatment technologies.
Contaminated water in abandoned or orphan
underground mines represents the ultimate challenge SEE ALSO THE
because of the large volume of water that must be
FOLLOWING ARTICLES
treated. One option currently being explored in the
United States is whether or such mine pools can be
Coal, Chemical and Physical Properties Coal
used as cooling water for a power plant. Locating
Industry, Energy Policy in Coal Mining, Design
new power plants is becoming more difficult because
and Methods of Coal Mining in Appalachia,
of the water needed for cooling purposes. A large History of Coal Preparation Coal Storage and
mine pool could be a good resource for such an
Transportation Nuclear Power Plants, Decommis-
operation. The power plant would have to treat the
sioning of Uranium Mining: Environmental Impact
mine water chemically, but this cost could be
partially subsidized by the government, which would
otherwise have to treat the water chemically or allow Further Reading
the mine discharge to flow untreated into the local Berger, J. J. (1990). ‘‘Environmental Restoration.’’ Island Press,
streams and rivers. Washington, D.C.
Brady, K. B. C., Smith, M. W., and Schueck, J. (eds.). (1998).
‘‘Coal Mine Drainage Prediction and Pollution Prevention in
5. OTHER ENVIRONMENTAL Pennsylvania.’’ Pennsylvania Dept. of Environmental Protec-
tion, Harrisburg, Pennsylvania.
ASPECTS Brown, M., Barley, B., and Wood, H. (2002). ‘‘Minewater
Treatment.’’ IWA Publ., London, England.
The issue of aesthetics has already been introduced. Kleinmann, R. L. P. (ed.). (2000). ‘‘Prediction of Water Quality at
In many ways, it can be the most challenging Surface Coal Mines National Mine Land Reclamation Center.’’
West Virginia University, Morgantown, WV.
obstacle to popular acceptance of mining in an area, Marcus, J. J. (ed.). (1997). ‘‘Mining Environmental Handbook.’’
because, to many, anything less than complete Imperial College Press, London, England.
restoration of the land is unacceptable. However, PIRAMID Consortium. (2003). Engineering Guidelines for the
mine operators have learned to minimize the Passive Remediation of Acidic and/or Metalliferous Mine
aesthetic impact of mining by avoiding extremely Drainage and Similar Wastewaters, 151 pp., accessible at
http://www.piramid.info.
visible sites, by using screens (e.g., trees left in place Skousen, J., Rose, A., Geidel, G., Foreman, J., Evans, R., and
as a visual barrier or revegetated topsoil stockpiles Hellier, W. (1998). ‘‘Handbook of Technologies for Avoidance
placed in locations where they hide the mine pit from and Remediation of Acid Mine Drainage.’’ National Mine Land
484 Coal Mine Reclamation and Remediation
Reclamation Center, West Virginia University, Morgantown, Mine Drainage.’’ U.S. Department of Energy (CD available on
West Virginia. request), Pittsburgh, Pennsylvania.
Watzlaf, G. W., Schroeder, K. T., Kleinmann, R. L. P., Kairies, C. Younger, P. L., Banwart, S. S., and Hedin, R. S. (2002). ‘‘Mine
L., and Nairn, R. W. (2003). ‘‘The Passive Treatment of Coal Water.’’ Kluwer Academic Publ., London, England.
Coal Mining, Design and
Methods of
ANDREW P. SCHISSLER
The Pennsylvania State University
University Park, Pennsylvania United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 485
486 Coal Mining, Design and Methods of
Overburden consisting
of layers of rock, coal
Coal seam
FIGURE 1 Typical cross section of shale, siltstone, coal, FIGURE 2 Step 1 in the surface mining process, overburden
sandstone, and coal reserve. removal (in cross section).
Coal Mining, Design and Methods of 487
the cost of producing the coal. Underground mining dumped and regraded to replicate as much as possible
methods are employed when the amount of over- the original contour or slope of the hillside. Bulldo-
burden that would have to be removed by surface zers grade and smooth the overburden in preparation
mining methods is cost prohibitive (i.e., the strip for topsoil application. Topsoil is placed on the
ratio is beyond an economic limit). smoothed overburden and replanted with vegetation.
Surface mine design is determined by the stripping Contour stripping gets its name because the mining
ratio, the overall shape of the reserve from a plan operation follows the contour of where the coal
view, and the type of rock. Three main surface outcrop meanders along the hillside (Fig. 4).
methods are utilized, with each having the same The advantages of contour mining include the
common steps of overburden removal, coal seam ability to control strip ratio during the mining
removal, and reclamation. The three surface mining process. The strip ratio is controlled by the height
methods are contour stripping, area stripping, and of the triangle portion of overburden removed.
strip mining. Controlling the ratio allows the unit cost of produc-
tion to be largely controlled. The disadvantages of
contour mining include the difficulty of maintaining
2.1 Contour Stripping the stability of steep, reclaimed hillsides and the
limited width for effective operations on the coal
Coal seams and associated overburden can outcrop seam bench.
on the edges of hills and mountains. Figure 3 shows a
cross-section of a typical contour mine plan. Contour
surface mining takes advantage of the low strip ratio 2.2 Area Stripping
coal reserves adjacent to the outcrop. Contour mining Area stripping is a surface mining method that is
equipment includes a drill, loader, bulldozers, and usually employed in combination with strip mining.
trucks. The steps in contour mining begin with Area stripping utilizes truck and shovels to remove
drilling and blasting a triangle shaped portion of the overburden down to a predetermined depth in
overburden (in cross section) above the coal to be the layers of rock and coal. The strip mining method
mined. The fractured overburden is then loaded into continues to mine the overburden below the depth at
rubber-tired trucks. The loading equipment utilizes which the area was area-stripped. Draglines or
buckets such as front-end loaders, front-loading continuous excavators, which are used to strip the
shovels, and backhoes. The coal seam is now overburden from the lower seams, are large pieces of
uncovered and is loaded with the same type of equipment and require large, level areas from which
bucket-equipped machinery as loaded the overbur- to work. Draglines and continuous excavators have
den. Some coals require drilling and blasting as the dig depth limitations. Area stripping allows the
breakout force required to remove the coal without draglines and continuous excavators to operate
fragmentation by explosives is beyond the capabilities within their depth limitations. When area stripping
of the bucket-equipped machinery. Dumping the is used in combination with draglines and continuous
overburden into the pit begins reclamation. The excavators, area stripping is called prestripping. The
overburden is usually hauled around the active pit purpose of prestripping is to provide a flat surface for
where coal is being removed. The overburden is the dragline or excavator on which to set, move, and
operate. The depth of overburden rock removed by
area stripping is governed by dig depth capacity of
Hillside the equipment utilized for subsequent strip mining.
Overburden
Coal seam to be removed Coal seam
Outcrop
Coal outcrop
elevation
Pit in overburden Pit in coal Pit in reclamation
removal stage removal stage stage
FIGURE 3 Contour mine design, surface mining method (in
cross section). FIGURE 4 Contour mine design (in plan view).
488 Coal Mining, Design and Methods of
Usually, the prestripping mine plan is arranged in As the dragline or continuous excavator moves the
rectangular blocks of overburden to be removed that overburden to the adjacent empty pit where the coal
coincide with pits to be mined by stripping methods has been removed, the rock swells in volume. Earth
underneath the prestripping area (Fig. 5). or rock increases in volume, called the swell factor,
Area stripping application includes the removal of when the material is removed from its in situ or in-
overburden in reserves that are not conducive to strip ground state and placed into a pit or on the surface.
mining because the lack of rectangular areas (in The range diagram allows the mine planner to
plan). The machinery used for area stripping such as identify the equipment dump height required to keep
shovels, front-end loaders, and trucks allow for the displaced overburden (spoil) from crowding the
flexibility in the mine design layout. machinery and mining operations. In certain cases of
mining multiple coal seams from one pit, a coal seam
2.3 Strip Mining can provide the boundary between the prestrip and
strip elevations.
Strip mining is employed in coal reserves where the In a relatively new technique that originated in
overburden is removed in rectangular blocks in plan 1970s to early 1980s, explosives are used to move or
view called pits or strips. The pits are parallel and throw the overburden into the previous pit in a
adjacent to each other. Strip mining is fundamentally process called cast blasting. The difference in the
different from contour or area mining on how the quantity of explosives required to fragment rock in
overburden is displaced, called spoil handling. In place versus fragment and cast or throw the rock
contour or area stripping, the overburden is hauled across the active pit and into the previous pit is cost-
with different equipment than what digs or removes effective. Many surface strip mines use explosives to
the overburden. In strip mining, the overburden is move overburden in addition to the primary swing
mined and moved by the same equipment: draglines equipment (dragline or continuous excavator), dis-
or continuous excavators. The movement of over- placing up to 35% of the overburden by cast
burden in strip mining is called the casting process. blasting. When cast blasting is used, the dragline
The operating sequence for each pit includes may excavate from the spoil side of the pit, sitting on
drilling and blasting, followed by overburden cast- the leveled, blasted overburden.
ing, then coal removal. Some overlap exists in Surface mine design principles emanate from the
operational steps between pits. Draglines and con- operational characteristics of surface mining, which
tinuous excavators move or displace the overburden are drilling and blasting, spoil handling, coal
from the active pit to the previous pit that has had removal, and haulage. Except in a few circumstances,
the coal removed. overburden in surface mining requires the rock to be
The primary planning mechanism used in strip fractured by explosives to allow it to be excavated.
mining is the range diagram, which is a cross- The goal of drill and blast design is to optimize rock
sectional plan of the shape of the pit in various stages fracturing, which optimizes digging productivity.
of mining. The range diagram allows the dragline or Fracturing is optimized by using the correct amount
continuous excavator equipment characteristics of of explosive per cubic yard of overburden employed
dig depth, reach, and physical size to be placed on the in the drill hole spacing in plan view. The amount of
geologic dimensions of depth to seams (overburden), explosive in weight per cubic yard of overburden is
and depth between seams (interburden). By compar- called the powder factor. Drill and blast design is
ing machinery specifications with dimensional char-
acteristics of the geology, the mine designer can plan Centerline of rotation of
the pit width and dig depth (Fig. 6). Equipment dragline or continuous
reach excavator
Lower elevation of
Prestripping pits Surface prestripping Dig depth Pit width
Spoil
from Future pits
active Active
pit pit
Strip pits
Coal seam
Angle of repose Coal seam
FIGURE 6 Range diagram for the strip mining method (in
FIGURE 5 Prestrip surface mining method (in cross section). cross section).
Coal Mining, Design and Methods of 489
Production
panels
3
6
1
Main entries
S S
4 7
Conveyors
Main entries working face. They are hand loading and hydraulic
mining. Hand loading is using human-powered pick
Longwall panel 1
and shovels to remove and load coal from a face into
Longwall equipment set-up room haulage equipment. This method is not used in the
Longwall equipment pull-off room United States.
Hydraulic mining utilizes the force of water
sprayed under high pressure to extract coal. Hy-
Longwall panel 2 draulic mining utilizes continuous miners to mine
Conveyors entries to gain access to production panels. Once a
production panel is established, high-pressure water
cannons are used to break the coal off the face. The
Gate roads coal-water mixture falls into a metal sluice trough
that carries the coal to further haulage equipment,
usually conveyors. Production panels in a hydraulic
Access
mine are oriented to utilize gravity to carry the coal-
FIGURE 9 Longwall mine plan (plan view). water mixture away from the face and in the troughs.
Hand loading and hydraulic mining can be either
with the mains and submains, are mined with partial or full extraction depending on the extent of
continuous miners. Once the longwall extracts the pillar removal in the panels.
coal from the rectangular block, the equipment is
disassembled at the pull-off room and moved and
reassembled at the end of the next panel of coal in 3.7 In Situ Methods
the startup room (Fig. 9).
In situ methods extract the coal with no human
Access to a coal seam for the longwall mining
contact inside the coal seam, such as miners going
method is accomplished by outcrop access, shafts, or
underground to attend machinery. These methods
slopes. Gateroad systems can consist of one to five
include augering, highwall mining, and leaching or
entries. Figure 9 portrays an example mine plan
dissolving the coal by heat, pressure, or chemical
consisting of two longwall panels. The number of
means followed by capture of the media.
longwall panels contained within a mine plan is
Augering consists of extracting coal from an
determined by the shape of the reserve and by safety
outcrop by the repeated and parallel boring of holes
considerations. The larger the reserve, the more
into the seam. The machine, called an auger, is
longwall panels can be planned parallel to each
literally a large drill that bores 1.5 ft to 5 ft diameter
other. Longwall panels are sometimes grouped
holes up to 600 ft deep into the coal seam. Augering
together into subsets called districts. Longwall
sometimes occurs in tandem with the surface contour
districts within an overall mine plan are separated
mining method. Contour surface mining creates a flat
by large blocks of coal called barrier pillars. Barrier
bench on which to operate the auger.
pillars compartmentalize the reserve. A compart-
Highwall mining is similar to augering. Highwall
mentalized reserve allows worked out areas to be
mining bores rectangular holes into a coal seam from
sealed, which increases safety and efficiency with
an outcrop using a remote-controlled continuous
respect to handling water, gas, and material.
miner connected to an extensible conveyor, or
Longwall panels range in size (in plan view), from
haulage machine. Highwall mining also can work
500 ft wide by 2000 ft long to over 1200 ft wide by
in tandem with contour mining.
20,000 ft long. Size is determined by the reserve and
the availability of capital to buy equipment. Some
large underground mines have as much as 50
3.8 Underground Mine Design Parameters
longwall panels separated into six or more districts.
As introduced, underground mining methods fall
into two groups: full extraction and partial ex-
traction. Key mine design considerations for under-
3.6 Other Underground Methods
ground mining include roof control, ventilation,
Other underground methods still incorporate entries, seam pitch, extraction ratio, and industrial engi-
crosscuts, and pillars, but differ from previous neering as it pertains to maximizing safety and
methods by the method to extract the coal from the productivity.
492 Coal Mining, Design and Methods of
3.9 Roof Control been derived from actual mine case histories in all
coal producing regions of the world. Most of these
Roof control is defined as the systematic design and formulas have three primary variables to determine
installation of coal pillars and artificial structures to pillar strength: in situ coal strength, pillar height, and
support the roof, floor, and sides of entries to protect pillar width.
the miner from falling and propelled rock. Roof, For pillar design in the United States, the vertical
floor, and entry sides are subjected to three main stress, assumed to be 1.1 psi per foot of depth, plus
forces that cause instability and require that support other mining induced stresses caused by load transfer
be installed in underground coal mines. These forces would be compared against pillar strength. A pillar
are gravity, mining-induced forces, or forces derived size would be chosen that has a satisfactory safety
tectonics and mountain building. Gravity primarily factor. The safety factor is strength divided by load.
loads underground workings with vertical stress. The Each empirical method and mathematical stress
general rule for U.S. underground mining is that modeling approach has recommended design pillar
gravity stress equals 1.1 psi per ft of depth of safety factors. Pillar design needs to recognize the
overburden. This value is derived from an assumed variability of geology and the nonhomogeneous
weight of sedimentary rock that overlays coal seams nature of coal. Rock mechanics design for under-
of 158.4 lb per ft3. ground coal mines requires a thorough design
Mining-induced forces are caused by the transfer- analysis of the local site geology and the comparison
ence of overburden load from the void to pillars of mining conditions at neighboring mines. Civil
adjacent to the void’s perimeter. As the void increases engineering structures have more uniform design
in size during full extraction, the weight transferred to methodology because materials used in buildings,
the abutment pillars increases until the rock caves. In bridges, roads, and other structures are composed of
partial extraction mine design, the void area is limited homogeneous materials and the forces demanded on
to the spans across the entry roof. The roof rock in the a structure are more predictable.
entry remains stable. In full extraction mining, the The main fixture used for primary support in
caved rock is called gob or goaf, which is broken rock. underground coal mining is the roof bolt. A roof bolt
As the gob consolidates and forms the ability to is a steel rod from 0.5 in. to more than 1.5 in.
support weight, some load that was originally diameter and from 2 ft to over 10 ft long. Roof bolts
transferred to the pillars is reaccepted and transferred are installed on cycle, meaning that the bolts are
back to the gob. This process is called gob formation. installed after the entry or tunnel is excavated a
Tectonic forces in mining are caused by plate specific distance. This distance the entry is advanced
tectonics, regional mountain building forces, stress is called the depth-of-cut. The depth-of-cut of an
that resides in structural geology such as faults and entry, which ranges from 2 ft to over 40 ft, is
slips, and other natural geologic processes. The result determined by the ability of the roof rock to remain
of tectonic force and stress in underground coal in place before being bolted; that is, to be stable.
mining is increased stress in all directions, particularly Roof bolts are anchored in a hole drilled into the roof
in the horizontal plane, or the plane parallel to the by resin grout or by mechanical systems. Roof bolts
bedding (layers of rock). Coal mining can reactivate systems bind the layered roof rock together by
stresses along structural geologic features. The pri- forming a beam or by suspending the rock layers
mary coal mine design criteria for high horizontal from a zone of competent anchorage in the geologic
stress is that the long axis of a production panel cross section.
rectangle (in plan view) be oriented 15o to 45o off the Roof is also supported by what is called secondary
maximum horizontal stress. Other than high horizon- support. Secondary support is installed after the entry
tal stress, other forces from tectonic origin are difficult is advanced and after roof bolts are installed.
to incorporate into design because of the uncertainty Secondary support is generically called cribbing,
of the force’s magnitude, direction, and dynamics. which is named after wooden blocks stacked Lin-
The primary design criteria in roof control in coln-log style to form a vertical, free-standing
underground coal mining is to control the roof structure that is wedged between the roof and floor
overhead where miners work and to provide abut- of the entry. Other forms of cribbing or secondary
ment support in the form of pillars and blocks of coal support, in addition to wood blocks, include columns
on the edges of the excavation or void area. Pillars of cementaceous grout, steel structures, wooden posts,
are designed by empirical methods and by mathe- and wooden block structures (other than Lincoln-log
matical stress modeling. Empirical formulas have stacked). Secondary support is used to fortify the
Coal Mining, Design and Methods of 493
Return
Return
Return
Return
Intake
Intake
Intake
Intake
3.10 Ventilation
Ventilation, along with roof control, is critical to the
safe and efficient extract of coal in underground coal Conveyor
mining. Ventilation is necessary to provide air to all
areas of an underground coal mine, except those
areas that have been intentionally sealed, to dilute Single split Double split or fishtail
mine gases, dilute airborne dust, and provide fresh
FIGURE 10 Single-and double-split ventilation showing air
air for miners. A coal mine is ventilated by main flow (plan view).
mine fans located on the surface, which either push
air through the mine called a blowing system or pull
air through the mine called an exhausting system. before reaching the working faces. Intake air is fresh
Ventilated air moves through the mine in the entries air delivered to the working face that has not been
that comprise independent circuits of air called splits. used to ventilate other working faces where coal is
The main fan that pumps air though the mine is produced. Return air is air that has been used to
designed to deliver a minimum quantity of air to each ventilate the working face. Return air contains coal
area of the mine where miners and equipment extract dust and mine gases, particularly methane that has
the coal. The fan size and horsepower are designed to been liberated from the coal during production.
overcome friction losses that accumulate because of Sometimes two different airways cross at an entry
turbulent airflow against the rubbing surface of the and a crosscut. A ventilation control device called
entry roof, floor, and sides. The fan creates a pressure overcast or undercast separates the two different
differential that causes air to flow from areas of high types of air (i.e., intake and return).
pressure to areas of low pressure. Air pressure Figures 7, 9, and 10 illustrate the entries contain-
differential can also be created by atmospheric ing the conveyor. The entry containing the conveyor
variations caused by weather patterns and seasonal usually contains a minimum of airflow and is not
and daily temperature fluctuations. These pressure used to ventilate the working face. The airflow
variations can move air through mines, particularly velocity is lessened in this entry to keep coal dust
in abandoned mines or idled mines that are missing from becoming airborne.
mechanical ventilation devices (fans). This form of Some mines utilize conveyor air to ventilate the
ventilation is called natural ventilation. Ventilation working face. This practice occurs in longwall mines
design for mines with regard to the size of main fans with long panels. Long panels require parallel intake
must recognize natural ventilation. or return air splits to increase air quantity to the
Ventilation circuits within underground coal mines working face and minimize resistance.
can be a single split or a double split of air. Double Ventilation design for a coal mine is based
split is often called fishtail ventilation (Fig. 10). choosing a mine fan or fans, as in the case of a mine
As shown in Fig. 10, air movement is directed to with multiple access openings, that can overcome the
the working faces in the entries. The stoppings resistance to airflow and maintain the required air
shown are called ventilation control devices. Stop- quantity at the working faces. Mine resistance varies
pings are walls, usually constructed of cinder block with air quantity and obeys basic empirical laws that
and mortar, built in the crosscuts to separate air have friction factors based on measured data.
circuits or splits of air. Without the stoppings, air Increasing the number of parallel entries of the spilt
flow would short circuit and mix with other air reduces resistance in that split.
494 Coal Mining, Design and Methods of
3.11 Seam Pitch face of the entry, the process is in continuous mode.
The continuous miner has to stop mining frequently
Mines are designed to incorporate seam pitch. Rarely
to allow loaded shuttle cars to switch out with empty
are coal seams completely flat. Geologic processes of
shuttle cars, to advance the face ventilation system,
coal formation, deposition, and structure cause seams
and to allow roof bolts to be installed. These
to have pitch, which can vary from 0 degrees to
stoppages cause the face operations to be an overall
vertical. Partial- and-full extraction mining methods
batch process. Once the shuttle cars dump the coal
can efficiently handle up to approximately 10 degrees onto a conveyor belt, the material is continuously
of pitch. An underground mine plan is designed to take
transported outside to a stockpile. The coal is then
advantage of pitch when possible for water handling,
fed through a processing facility that crushes the coal
pumping, material haulage, and gas migration.
and removes impurities to customer specifications in
continuous processing. Underground coal mine de-
3.12 Extraction Ratio sign is optimized when the batch processes that occur
in underground mining are engineered to become
The extraction ratio is defined as the volume of coal
continuous processes. An example of an effort in this
mined divided by the total volume of coal within a area has been the introduction of continuous haulage
reserve. Coal is a nonrenewable resource. Once it is
equipment, which in certain conditions replace the
combusted to make steam for electrical power
shuttle car: a batch process.
generation, steel production, or other uses, all that
Mine surveying plays a key role in both surface and
remains is ash and gaseous substances. Maximizing
underground coal mining. Surveying is used to direct
the volume of coal mined from a given reserve is
the mining advancement as planned, to monitor
important for the overall energy cycle and to
performance giving feedback on issues of underground
minimize the cost of production. With the exception
extraction ratio and surface pit recovery, to define
of in situ mining systems, partial extraction under- overburden rehandle, and to perform checks against
ground coal mining methods range in extraction
weighed coal production for inventory control.
ratio from 20% to 50%, and full-extraction mining
methods have extraction ratios that range from 50%
to over 85%. Achieving a 100% volumetric extrac-
SEE ALSO THE
tion ratio is difficult for three reasons. First, pillars
that are necessary for roof support in the plan cannot FOLLOWING ARTICLES
be mined. Second, coal is sometimes left in place on
the floor or roof of an entry to improve the quality of Clean Coal Technology Coal, Chemical and Physical
the coal extracted. The immediate top or bottom Properties Coal Conversion Coal, Fuel and Non-
layer of a coal seam can have a greater content of Fuel Uses Coal Industry, Energy Policy in Coal
noncombustible material than the central portion of Industry, History of Coal Mine Reclamation and
the coal seam. Finally, underground coal mining Remediation Coal Mining in Appalachia, History of
Coal Preparation Coal Resources, Formation of
methods and machinery have a maximum practical
mining height of approximately 14.5 ft. Coal Storage and Transportation Markets for Coal
Surface mining methods cannot achieve 100% Oil and Natural Gas Drilling
extraction. Coal is damaged from drilling and
blasting and cannot be recovered. Also, overburden Further Reading
dilution in pit recovery operations reduces recovery. Hartman, H. L. (ed.). (1992). ‘‘SME Mining Engineering Hand-
book’’. 2nd ed. pp. 1298–1984. Society of Mining, Metallurgy,
and Exploration, Littleton, CO.
3.13 Industrial Engineering Hartman, H., and Mutmansky, J. (2002). ‘‘Introductory Mining
Engineering.’’ 2nd ed. John Wiley & Sons, Hoboken, NJ.
Underground coal mining, as in any producing Mark, C. (1990). ‘‘Pillar Design Methods for Longwall Mining.’’ U
enterprise, requires an infusion of industrial engi- S Bureau of Mines Information Circular 9247, Washington,
neering to maximize safety and productivity. Coal DC. pp. 1–53.
mine design practice has shown that safety and Peng, S. S. (1978). ‘‘Coal Mine Ground Control.’’ John Wiley &
productivity are mutually inclusive goals. Sons, New York.
Pfleider, E. P. (1972). ‘‘Surface Mining.’’ American Institute of
Underground mining methods are a mix of Mining Metallurgical and Petroleum Engineers, New York.
continuous and batch processes. For example, while Woodruff, S. D. (1966). ‘‘Methods of Working Coal And Metal
the continuous miner is extracting the coal from the Mines,’’ Volume 3. Pergamom Press, Oxford.
Coal Mining in Appalachia,
History of
GEOFFREY L. BUCKLEY
Ohio University
Athens, Ohio, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 495
496 Coal Mining in Appalachia, History of
2.2 The Decline of King Coal Pennsylvania. Nevertheless, coal mining has mana-
ged to remain viable in some portions of the
Several years in advance of the stock market crash of Appalachian region due in large part to controversial
1929, the coal industry in general and miners in mining techniques such as mountaintop removal.
particular felt the first tremors of the Great Depres-
sion. In Appalachia, overexpansion stimulated by
World War I, interstate competition with midwestern 3. BREAKING GROUND
states, and competition between ‘‘union’’ and ‘‘non-
union’’ mines led to market gluts, falling prices, Given the increase in demand for coal spurred on by
spiraling unemployment, and labor unrest. Although industrialization, the existence of coal so near to the
mining had weathered economic downturns in the Atlantic seaboard aroused early interest among local
past, most notably in the mid-1890s, nothing boosters, land speculators, foreign investors, and
compared with the depression that beset the industry others wishing to purchase mineral lands and mine
during the 1920s and 1930s. West Virginia, which them for profit. Before large-scale coal-mining
lost 33,000 coal jobs as production fell from 146 operations could commence, however, certain ob-
million tons in 1927 to 83.3 million tons in 1932, stacles had to be surmounted. First, coal lands had to
was hit particularly hard. be surveyed and evaluated, and the rights to the coal
In subsequent years, the rising popularity of new purchased or leased. Equally important, a reliable
energy sources—petroleum, natural gas, and electri- and cost-effective means of transporting the coal to
city—challenged coal’s dominance of the domestic eastern and Great Lakes markets, as well as to the
heating market. Although World War II provided a steel mills of the North and South, had to be financed
boost to the region’s coal-based economy, it was only and developed. As historian Crandall A. Shifflett has
temporary. When railroads completed the conversion pointed out: ‘‘All of the land and coal was worth-
from coal to diesel after the war, the industry lessy if it could not be gotten out of its mountain
received another blow, contributing further to the redoubts. There was no use to open mines if the coal
industry’s recent history of boom and bust. The coal could not be transported to distant markets.’’
operators’ response was to accelerate the process of
mechanization begun in earnest during the 1930s and
3.1 Railroads Usher in the
to opt for surface mining over underground mining
wherever feasible. Economic instability coupled with
Industrial Era
widespread utilization of new labor-saving machin- As early as the 1820s, coal mining had become an
ery, typified most noticeably by the introduction of important, albeit seasonal, activity in some remote
enormous electric-powered shovels to surface opera- locations. During the first decade of the 19th century,
tions, forced many miners and their families to leave for example, small quantities of coal, along with
the region altogether in the post-World War II era. lumber and a variety of agricultural goods, were sent
Since the 1960s, the only major growth market for down the Potomac River via flatboat to Georgetown.
coal has been to supply electric power producers and On arrival, the large rafts were dismantled and their
for export abroad. With respect to the former, coal crews walked home. Such trade could only take place
remains an important player. Today 52% of U.S. during the spring season when floodwaters raised the
electricity is generated by coal-fired plants. However, level of the river. Without significant investment in
increased production from western states starting in transportation improvements, it was clear that coal
the late 1950s, but gaining momentum especially could not be mined profitably on a large scale.
during the 1980s and 1990s, has further eroded Although coal and coke (fuel derived from coal)
Appalachia’s share of coal markets. Compliance with were slow to replace wood and charcoal in the
environmental laws since the 1970s, including the manufacture of iron prior to the Civil War, coal
Clean Air Act and its amendments, the Clean Water found an early use in blacksmith shops and as a
Act, and the Surface Mining Control and Reclama- domestic heating fuel. After about 1840, coal
tion Act (SMCRA), not to mention various state- gradually began to replace charcoal in the furnaces
level regulations, has also contributed to a rise in coal of the burgeoning iron industry. By this time, it was
production costs. By 1999, more than half of the coal also being recognized as an important source of
mined in the United States was coming from states power for steam engines. After the Civil War, it
located west of the Mississippi River, and far and would play an indispensable role in the manufacture
away the largest single producer was Wyoming, not of steel.
498 Coal Mining in Appalachia, History of
behavior, their power was pervasive. As Shifflett less inclined to quit their jobs, single- and two-family
reminds us, however, some miners’ families, espe- dwellings were far more common in the coalfields
cially the first generation to leave hardscrabble farms than were large boarding houses. A fourth feature
in rural Appalachia, may have favored life in the was that the company houses and other structures
company town, especially the more durably con- were usually laid out in a standard gridlike pattern,
structed ‘‘model’’ towns: ‘‘Contrary to the views that with long, narrow lots lined up along the railroad
the coal mines and company controlled towns led to tracks. Finally, there was an outward manifestation
social fragmentation, disaffection, and alienation of of socioeconomic stratification and segregation
the workforce, many miners and their families found according to racial and ethnic group expressed in
life in them to be a great improvement over the past. the landscape. With respect to the former, sharp
Miners viewed the company town, not in compar- distinctions could be found in the size and quality of
ison to some idyllic world of freedom, independence housing occupied by miners and company officials.
and harmony, but against the backdrop of small Regarding the latter, historian Ronald Lewis notes
farms on rocky hillsides of Tennessee, Kentucky, and that some companies sought a ‘‘judicious mix’’ of
Virginia, or a sharecropper’s life in the deep South whites, blacks, and immigrants as a means of
states.’’ maintaining order and fending off the advances of
Company towns in Appalachia generally shared union organizers. Thus it was not unusual to find
several distinguishing features (Fig. 3). First, the distinct ‘‘neighborhoods’’—an immigrant town, a
town bore the stamp of the company in every Negro town, and an ‘‘American’’ town—existing side
conceivable way. Everything in the town, from the by side in the same town, each with its own separate
houses and the company store to the schools, facilities and social and cultural life.
churches, hospitals, and the recreational facilities, if One of the most controversial features of the
such ‘‘frills’’ even existed, was provided by the typical coal mining town was the company store.
company. Second, housing generally conformed to Indeed, it represented both the best and worst of
a standard design. In general, one worker’s house company town life. Often doubling as a meeting hall,
was identical to the next with respect to style and lodge, and recreation facility, while also housing the
construction. A third trait was economy of construc- company offices, the store carried a great variety of
tion. Companies typically limited their investment in goods, including food and clothing, mining supplies,
towns because they knew they were not likely to tools, and durable household goods. It also served as
evolve into permanent settlements. Renting houses to an important informal gathering place for both
workers ensured that even a substantial investment miners and managers alike. Given the remote
in housing would be recovered quickly. Because location of many towns, the company store was
companies generally preferred to hire married men often the only commercial retail establishment to
with families over single men, believing they were which the mining population had regular access. In
some cases, coal companies prohibited the establish-
ment of other stores; in other cases, they penalized
miners for making purchases in neighboring towns.
Customer loyalty was achieved through the issuance
of company scrip. Paying wages at least partially in
scrip ensured that a portion of a worker’s paycheck
would be funneled back to the company. Although
company officials claimed that such an arrangement
protected families, critics have argued that compa-
nies charged higher prices in an attempt to keep the
cost of coal production down. It is not surprising,
then, that charges of debt peonage, coercion, price
gouging, and differential pricing were leveled at the
company store.
Some companies encouraged the planting of
vegetable and flower gardens to improve the appear-
FIGURE 3 Railroad station, Fleming, Kentucky, ca. November ance of towns and to supplement food supplies. With
1915. Reprinted from the Smithsonian Institution, National the men at work in the mines, primary responsibility
Museum of American History, with permission. for the planting and care of the gardens rested on the
Coal Mining in Appalachia, History of 501
shoulders of women and children. While they represented in a single company town. Although
contributed significantly to the miners’ larder, the some have argued that building churches and paying
gardens may have served another purpose. By ministers’ salaries allowed company officials to
encouraging miners to grow much of their own exercise even greater control over residents of the
food, company officials could justify paying lower company town, others, citing low attendance, have
wages. Such a strategy enabled companies located at downplayed the importance of religion in these
a considerable distance from major coal markets to communities.
keep the price of coal low and remain competitive Although some coal operators looked on their
with companies located nearer to centers of industry creations with a certain measure of pride, believing
and population. them superior to anything one might find in outlying
areas, living and working conditions, in fact, varied
considerably from one location to the next. The time
4.2 Culturally Diverse Communities and money an operator was willing to invest in the
Coal towns in Appalachia often exhibited a high development of a town depended on several factors,
degree of cultural diversity. During the first half of including the projected life of the mine, the number
the 19th century, immigrants to the minefields of houses that needed to be built, and the amount of
typically came from England, Wales, Scotland, capital the company had at its disposal. Towns
Ireland, and Germany. By the end of the century, constructed of durable materials and offering a range
large numbers were being recruited from southern of amenities were clearly meant to last. Ramshackle
and eastern Europe, a trend that continued well into housing, on the other hand, was a sure sign that a
the first two decades of the 20th century (Fig. 4). company’s investment in a mine site was limited.
When immigration from Europe plummeted during According to contemporary theories of corporate
the war years, the door was opened wide for large paternalism and welfare capitalism, well-built towns
numbers of African-Americans to enter the mines. equipped with electricity and indoor plumbing, and
Discouraged by low wages in the mines of northern offering a wide range of amenities, such as churches,
Alabama or in search of seasonal work when there recreation buildings, meeting halls, ballparks, and
was a lull in activities on the family farm, this group stores, attracted a more dependable and loyal breed
made up a significant proportion of the workforce in of miner—one who, in the end, would reject the
places such as southern West Virginia and eastern temptation to join a union. Because the company
Kentucky from approximately 1910 to the 1930s. maintained ownership of housing, the threat of
Cultural heterogeneity in the company town eviction was never far from the mind of the miner.
manifested itself in many and varied ways. It was In the years following the First World War, compa-
not uncommon to find safety instructions posted at nies fought off the advances of the unions by
the mine opening written in several languages. Nor equating union membership with communist sym-
was it uncommon to find a diversity of religions pathy or radicalism. Companies employing a high
number of foreign-born workers kept their work-
force in line by equating loyalty to the company with
patriotism and ‘‘Americanism.’’ Eager to prove they
were good American citizens and avoid persecution,
recent immigrants were often reluctant to participate
in union activities.
For the most part, coal miners during the 19th and
early 20th centuries worked side by side in a dark,
damp, and often dangerous environment, regardless
of their cultural or ethnic background (Fig. 5). Given
the stressful nature of their work and the dangers
FIGURE 4 Miners in front of Oakdale or Jumbo Mine No.
311, Ohio, 1887–1907. Reprinted from the Buhla Collection, they faced, it was absolutely essential that safety and
Ohio University, Archives and Special Collections, with permis- teamwork take precedence over all other matters in
sion. the mines. Dust and gas accumulations, roof falls,
502 Coal Mining in Appalachia, History of
to cut into profits, and unionization forced the cost of ventilation to prevent the buildup of mine gas. As
coal production to go up, the drive to mechanize mines expanded in size, miners had to walk greater
underground mining gained momentum. The logical distances to get to work, and problems with
starting point was to replace the hand-loading system ventilation and illumination arose. To facilitate the
with one that emphasized the use of mechanical movement of men, electric trolleys were introduced
loading machines. From the 1930s to the 1970s, to the mines. Dust and gas problems were alleviated
the introduction of mechanical loaders, cutting somewhat by the installation of mechanical fans.
machines, continuous miners, and longwall mining Meanwhile, illumination was improved when safety
changed forever the way coal would be mined. lamps and electric lights were substituted for candles.
Another aspect of mining transformed by mechan- While solving some problems, these and other
ization was in the area of haulage. During the pick solutions contributed to others. In the words of one
and hand-loading era, miners shoveled coal into authority on the matter, now workers could be
wagons and pushed them to the surface. Drift mines ‘‘crushed, run over, squeezed between cars, or
were generally constructed so that they pierced the electrocuted on contact with bare trolley wires.’’ In
hillside at a slight upward angle to allow for drainage addition, some of the new machinery generated
and to facilitate the transport of loaded cars to the sparks and produced tremendous amounts of igni-
tipple. As mines grew in size and the distance to the table coal dust.
tipple increased, companies turned to animal power
as the principal means of haulage. When larger coal
5.3 Health and Safety
cars came on the scene, mechanical and electrical
haulage, including conveyors, became increasingly Coal mining has always been and continues to be a
necessary. hazardous occupation. Indeed, fatalities and serious
From the vantage point of the coal operator, nonfatal injuries occur still. The risks miners face
mechanization offered several advantages. It allowed today, however, pale in comparison to the perils
for more easily loaded coal, reduced the need for miners faced prior to World War II. Accidents
explosives, and lowered timbering costs. Most resulting from roof falls, ignition of mine gas and
important, mechanization permitted greater amounts coal dust, the handling of mechanical haulage
of coal to be mined. Mechanization had its draw- equipment, and the operation of electric-powered
backs, however, at least from the perspective of the equipment of all types contributed to a high accident
miner, for the introduction of laborsaving equipment rate in the United States. Increased demand, fierce
greatly reduced the need for a large workforce. The competition, advanced technology, negligence on the
introduction of the mechanical coal-loading ma- part of miners, and a poorly trained immigrant
chine, for instance, reduced the need for coal miners workforce have all been blamed for the high accident
by approximately 30% industrywide between 1930 and fatality rates. Coal operators must share a
and 1950. According to Ronald Lewis, black miners portion of the blame as well. Opposed to unions
bore the brunt of layoffs during this period because and wary of burdensome safety regulations, operators
they were disproportionately employed as hand often stood in the way of meaningful safety reform.
loaders. The continuous miner, which combined Initially, enactment of mine safety legislation
cutting, drilling, blasting, and loading functions in rested with the states. In 1870, Pennsylvania passed
one machine, had a similar impact. After the the first substantive mine safety law. Over the next
introduction of the continuous miner, the number 25 years, several states passed mine inspection laws
of miners working in West Virginia was cut by more of their own. By the mid-20th century, 29 states had
than half between 1950 and 1960. The impact of mine safety laws on the books. Unfortunately, these
mechanization also shows up clearly in production laws were often poorly enforced. Although the U.S.
and employment figures for Ohio. Between 1950 and Bureau of Mines had been created in 1910, it was
1970, coal production in this state climbed steadily primarily an ‘‘information-gathering’’ agency.
despite a 90% decrease in the number of under- Authority to inspect underground mines was not
ground mines and an 83% decline in the size of the conferred until 1941. Enforcement powers were not
labor force. Starting in the 1970s, longwall mining granted until 1953. Continued high fatality rates
cut even further into employee rolls. eventually sparked an effort to pass comprehensive
Mechanization presented miners with other pro- federal legislation. Proponents of federal legislation
blems as well. In mining’s early days, miners walked had to wait until 1969 before such measures were
to and from the mine face and relied on natural enacted.
504 Coal Mining in Appalachia, History of
By far, the greatest number of deaths was caused bolting would, in time, reduce the frequency of these
by roof falls. Nevertheless, it was the ignition of accidents.
methane gas and coal dust that captured the attention
of the news media. Wherever miners used candles or
5.4 Coal Mine Unionism
open-flame safety lamps for illumination and black
powder to break coal from the face, and where the No history of coal mining in Appalachia would be
mine was deep, ‘‘gassy,’’ and poorly ventilated, complete without mentioning organized labor. Given
conditions were ripe for an explosion. During the the conditions that coal miners often had to work
10-year period from 1891 to 1900, 38 major under, it is not surprising that they were among the
explosions rocked American mines, resulting in first workers in the United States to organize. Given
1006 deaths. Some of the worst explosions occurred the power and control coal companies wielded
during the first decade of the 20th century, including throughout the better part of the 19th and early
the worst one in American history, the dreadful 20th centuries, it is also not surprising that coal
Monongah mine disaster. On December 6, 1907, 362 operators fought the unions at every turn. Propo-
miners employed by the Fairmont Coal Company of nents of corporate paternalism and welfare capital-
West Virginia were killed when the company’s No. 6 ism believed that company benevolence could
and No. 8 mines blew up. Previously, Andrew Roy effectively stave off the unions, but others believed
had noted that ‘‘more miners are annually killed that coercion and intimidation would more effec-
by explosions in West Virginia, man for man tively produce the desired results.
employed, or ton for ton mined, than in any coal Although coal mine unionism in Appalachia can
producing State in the Union or any nation in the be traced to the early 1840s, the modern era of
world.’’ It was clear that much needed to be done to unionism began in 1890 when two groups, the
improve mine safety in the United States. National Progressive Union of Miners and Mine
Discovering the cause of mine explosions was of Laborers and the National Assembly Number 135 of
paramount importance to officials at the fledgling Miners of the Knights of Labor, joined forces in
U.S. Bureau of Mines. Several causes were identified. Columbus, Ohio to form the United Mine Workers
First, as mines grew deeper, providing fresh air to of America (UMWA). After winning recognition
miners and dispersing mine gas became more of a from Central Competitive Field Operators in 1897,
challenge. Given that miners typically used candles the UMWA set out to stake a middle ground between
or open-flame safety lamps to light their way, this ineffectual ‘‘company’’ unions and more radical
was a particularly serious problem. There was also a unions, such as the National Miners Union. Under
preference on the part of the miners to use greater the able leadership of John Mitchell, the UMWA won
amounts of explosives to ‘‘shoot off the solid,’’ that strikes and concessions from the coal operators and
is, to blast without first undermining the coal. As built membership. Withdrawing from what they saw
with the open flame, explosives were another source as a temporary truce with union organizers during
of ignition. Finally, there was the widely held belief the war years, coal operators sought to roll back the
that coal dust alone could not set off an explosion. gains the UMWA had made during the first two
Disproving this belief was particularly important decades of the 20th century. Citing a 1917 U.S.
(one that Europeans had confirmed by a much earlier Supreme Court decision in which yellow-dog con-
date) given the increasing amounts of dust being tracts forbidding union membership were ruled legal,
produced by new mining machinery. The adoption of coal operators set out to reclaim lost ground. An
new technologies eventually reduced the risk of attempt by new union leader, John L. Lewis, to
explosion. Improved ventilation, electric cap lamps, organize the southern coalfields during the middle of
rock dusting, safer mining machinery, first-aid and the decade was crushed. With demand for coal down
mine rescue training, and passage of legislation and nonunion mines undercutting the cost of
permitting federal inspection of mines combined to production in union mines, UMWA membership
improve conditions considerably. Although the fre- plummeted during the 1920s.
quency of mine explosions diminished considerably The 1930s, and more specifically President Frank-
after the 1930s, the Farmington, West Virginia lin D. Roosevelt’s New Deal legislation, breathed
disaster of 1968, in which 78 miners were killed, new life into the beleaguered union. Passage of the
served as a reminder that mine explosions were still a National Industrial Recovery Act (1933), the Bitu-
potential threat. With respect to roof falls, more minous Coal Code, or ‘‘Appalachian Agreement’’
effective supervision, systematic timbering, and roof (1933), the National Labor Relations, or ‘‘Wagner,’’
Coal Mining in Appalachia, History of 505
Act (1935), and the first and second Bituminous Coal passed down to an increasingly smaller pool of
Conservation, or ‘‘Guffey,’’ acts (1936 and 1937) beneficiaries.
shifted the advantage to the unions once again.
Particularly important was the fact that the union
had finally won the right to be recognized as a SEE ALSO THE
collective bargaining agent. Among the union’s FOLLOWING ARTICLES
‘‘victories’’ at this time was approval of an 8-hour
workday, a 40-hour workweek, and higher wages. A Clean Coal Technology Coal, Chemical and
minimum work age of 17 was also set, ending, in Physical Properties Coal, Fuel and Non-Fuel Uses
theory at least, the industry’s long-standing practice Coal Industry, History of Coal Mine Reclamation
of utilizing child labor. In addition, miners were no and Remediation Coal Mining, Design and
longer forced to use company scrip, to shop only at Methods of Coal Storage and Transportation
the company store, or to rent a company house, all
mechanisms by which some companies attempted to
keep up with the rising cost of production. Further Reading
The gains of the 1930s and 1940s were replaced Armstead, R. (2002). ‘‘Black Days, Black Dust: The Memories of
by the uncertainties of the 1950s and 1960s. The an African American Coal Miner.’’ The University of Tennessee
terms of the Love–Lewis agreement, signed in 1950 Press, Knoxville.
Corbin, D. (1981). ‘‘Life, Work, and Rebellion in the Coal Fields:
by Bituminous Coal Operators Association president The Southern West Virginia Miners, 1880–1922.’’ University of
George Love and UMWA president Lewis, reflect the Illinois Press, Urbana.
ever-changing fortunes of the miners and their union. Crowell, D. (1995). ‘‘History of the Coal-Mining Industry in
Although the agreement provided a high wage and Ohio.’’ Department of Natural Resources, Division of Geolo-
gical Survey, Columbus, Ohio.
improved health benefits for miners, it prevented the
Drake, R. (2000). ‘‘A History of Appalachia.’’ The University Press
union from opposing any form of mechanization. of Kentucky, Lexington.
The adoption of new technologies, including augur- Eller, R. (1982). ‘‘Miners, Millhands, and Mountaineers: Indus-
ing and stripping, resulted in layoffs and a decline in trialization of the Appalachian South, 1880–1930.’’ The
membership. Although certain gains were made, e.g., University of Tennessee Press, Knoxville.
portal-to-portal pay, improved insurance and pen- Francaviglia, R. (1991). ‘‘Hard Places: Reading the Landscape of
America’s Historic Mining Districts.’’ University of Iowa Press,
sion benefits, and passage of black lung legislation, Iowa City.
the 1970s and 1980s saw many workers return to Gaventa, J. (1980). ‘‘Power and Powerlessness, Quiescence and
nonunion status. Rebellion in an Appalachian Valley.’’ University of Illinois Press,
Sometimes, relations between management and Urbana.
labor took a violent turn. Students of Appalachia Harvey, K. (1969). ‘‘The Best-Dressed Miners: Life and Labor in
the Maryland Coal Region, 1835–1910.’’ Cornell University,
know well the price that was paid in human life in Ithaca, New York.
places such as Matewan, West Virginia, ‘‘bloody’’ Hennen, J. (1996). ‘‘The Americanization of West Virginia:
Harlan County, and at Blair Mountain, where 3000 Creating a Modern Industrial State, 1916–1925.’’ University
UMWA marchers clashed on the battlefield with an Press of Kentucky, Lexington.
Lewis, R. (1987). ‘‘Black Coal Miners in America: Race, Class, and
army of West Virginia State Police, company mine
Community Conflict, 1780–1980.’’ University Press of Ken-
guards, and assorted others representing the interests tucky, Lexington.
of the coal operators. In more recent times, violence Roy, A. (1903). ‘‘A History of the Coal Miners of the United
has flared up in places such as Brookside, Kentucky. States: From the Development of the Mines to the Close of the
In 1969, charges of fraud and the murder of a Anthracite Strike of 1902 Including a Brief Sketch of British
UMWA presidential candidate tarnished the reputa- Miners.’’ J. L. Trauger Printing Co., Columbus, Ohio.
Salstrom, P. (1994). ‘‘Appalachia’s Path to Dependency: Rethink-
tion of the union. ing a Region’s Economic History, 1730–1940.’’ University Press
Although unions, the UMWA in particular, can of Kentucky, Lexington.
take justifiable pride in improving the lot of miners, Shifflett, C. (1991). ‘‘Coal Towns: Life, Work, and Culture in
some scholars have argued that the higher labor Company Towns of Southern Appalachia, 1880–1960.’’ The
costs associated with these victories ended up University of Tennessee Press, Knoxville.
Thomas, J. (1998). ‘‘An Appalachian New Deal: West Virginia in
increasing the cost of coal production and accelerating the Great Depression.’’ University Press of Kentucky, Lexington.
the move toward mechanization. Thus, an impressive Williams, J. (1976). ‘‘West Virginia and the Captains of Industry.’’
and hard-earned package of benefits was eventually West Virginia University Library, Morgantown.
Coal Preparation
PETER J. BETHELL
Bethell Processing Solutions LLC
Charleston, West Virginia, United States
GERALD H. LUTTRELL
Virginia Polytechnic Institute & State University
Blacksburg, Virginia, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 507
508 Coal Preparation
manufacture of metallurgical coke or generation of ing (Fig. 1). This sequence of operations, which is
petrochemicals. Some of the mineral impurities, such commonly called a circuit, will be repeated several
as pyrite, form gaseous pollutants when burned that times since the processes employed in modern plants
are potentially harmful to the environment. The each have a limited range of applicability in terms of
impurities may represent a significant portion of the particle size. Modern plants may include as many as
mined coal weight and, as a result, need to be four separate processing circuits for treating the
removed to minimize the cost of transporting the coarse (plus 50 mm), intermediate (50 1 mm), fine
coal to the customer. For these reasons, a tremendous (1 0.15 mm), and ultrafine (minus 0.15 mm) mate-
incentive exists for the removal of inorganic impu- rial. Although some commonalities exist, the selec-
rities prior to the downstream utilization of the tion of what number of circuits to use, which types
coal. Coal purchasing agreements commonly in- of unit operations to employ, and how they should
clude limitations on ash (mineral matter), sulfur, be configured are highly subjective and largely
and moisture. dependent on the inherent characteristics of the
coal feedstock.
1.2 Brief History
Little attention was given to coal preparation in the 2. COAL SIZING
early industrial years. Hand sorting of rock and
sizing by screening were the major methods of 2.1 Background
preparing mined coals for market. Most of the fine
(o0.5 mm) coal was either discarded or sold for very Run-of-mine coal produced by mechanized mining
low prices. More recently, increased emphasis has operations contains particles as small as fine powder
been placed on coal preparation because of the and as large as several hundred millimeters. Particles
depletion of higher quality reserves and increased too large to pass into the plant are crushed to an
levels of out-of-seam dilution resulting from mechan- appropriate upper size or rejected where insufficient
ized mining. Consumers in the steam (utility) and recoverable coal is present in the coarse size
metallurgical (coking) coal markets have also placed fractions. Rotary breakers, jaw crushers, roll
new demands on coal producers to provide consis- crushers, or sizers are used to achieve particle size
tent high-quality products. The combined influence reduction. Crushing may also improve the clean-
of these factors has made coal preparation far more ability of the coal by liberating impurities locked
important than it was in the past. There are within composite particles (called middlings) con-
estimated to be more than 2000 plants operating taining both organic and inorganic matter. The
worldwide with capacities ranging from as little as crushed material is then segregated into groups
100 ton per hour to more than several thousand ton having well-defined maximum and minimum sizes.
per hour. In terms of annual production, coal The sizing is achieved using various types of
preparation facilities produced just over 1.3 billion equipment including screens, sieves, and classifying
tons of the 3.5 billion tons of coal sold by the top 10 cyclones. Screens are typically employed for sizing
coal-producing countries in 1998. The United States coarser particles, while various combinations of fine
produced more than one-third of this tonnage (35%), coal sieves and classifying cyclones are used for sizing
followed by China (20%), South Africa (14%), and finer particles. Figure 2 shows the typical sizes of
Australia (13%). The average plant capacity in particles that can be produced by common types of
North America is approximately 750 ton per hour. industrial sizing equipment.
Raw coal
screens
Basket
Intermediate
centrifuges
Heavy
media
Sieve
cyclone
bends
Classifying
cyclones
Disc filter
Froth flotation
Ultrafine
FIGURE 1 Conceptual preparation plant flowsheet subdivided according to unit operation and particle size.
fractions for separation devices. In addition, screens of coal preparation. These units utilize an out-of-
are commonly employed for the recovery of heavy balance rotating mechanism to create a vibrating
media suspensions and the separation of water from motion to sort particles and to move material along
solid particles. The efficiency of the screening the screen surface (called a deck). The three common
operation is influenced by the material properties of versions of vibrating screens are the incline screen,
the feed and the operating and design characteristics horizontal screen, and banana screen. The operating
of the machine, particularly its size. characteristics of these units are compared in Table I.
An incline screen uses a combination of gravity flow
and machine movement to convey material along the
2.3 Types of Screens
screen by mounting the screen deck 15 to 20 degrees
Several types of screens are commonly used in coal from horizontal. Incline screens are available in
preparation. These include the grizzly, vibrating single-, double-, and triple-deck arrangements with
screens and high-frequency screens. A grizzly is a dimensions up to 3 m (10 ft) wide and 7.3 m (24 ft)
series of evenly spaced parallel bars that are long. For a horizontal screen, material is conveyed
positioned in the direction of material flow. This without the aid of gravity, thus a higher speed and
simple device is used only for gross sizing of very throw are required. These units may be as large as 3 m
coarse particles (450 mm) and is generally applied (10 ft) wide and 7.3 m (24 ft) long and are available in
only for the protection of equipment from large single-, double-, and triple-deck arrangements. Final-
oversized material. ly, banana screens are designed so that the slope of the
Vibrating screens are the most common equipment screen surface changes along the length of the unit
for sizing particles and are used in almost every aspect (Fig. 3). The slope at the feed end will typically be 30
510 Coal Preparation
Grizzly
Inclined screen
Horizontal screen
Banana screen
Sieve bend
Frequency sieves
Classifying cyclone
TABLE I
Typical Operating Characteristics of Vibrating Screens
Application Raw coal sizing scalping Raw coal sizing prewet drain Raw coal sizing deslime Dewatering fines
and rinse dewatering drain and rinse dewatering recovery
Incline (degrees) 15–25 Horizontal Variable Opposing
Motion Circular Linear Linear Linear
Speed (rpm) 750–800 930 930 1200
Throw 9.6–11.2 mm 11.2 mm (0.44 inch) 11.2 mm (0.44 inch) 6.4 mm (0.25 inch)
(0.38–0.44 inch)
Travel rate 0.5–0.6 m/s 0.2–0.23 m/s 0.9–1.0 m/s 0.13–0.18 m/s
(100–120 fpm) (40–45 fpm) (180–200 fpm) (25–35 fpm)
to 35 degrees, while the slope at the discharge end can since they offer increased capacity and lower capital
be 0 to 15 degrees. The steep initial slope enhances and operating costs compared to conventional hor-
the ability of fines to pass since the higher rate of izontal and inclined screens.
travel reduces the depth of the particle bed. The High-frequency screens are normally used for
shallower slope at the discharge end of the screen dewatering fine coal or refuse (Fig. 4). These screens
increases screening efficiency by slowing the travel are designed to retain feed slurry between two
rate and providing more opportunities for near-size opposing inclines. The screen motion transports
particles to pass. Commercial units are available with dewatered cake up a gradual slope to the discharge
dimensions exceeding 3.7 m (12 ft) wide and 7.3 m end of the screen. The screen vibrator, which may be
(24 ft) long in single- and double-deck arrangements. an unbalanced rotor or linear exciter, operates at a
Banana screens are becoming increasingly popular higher speed and with a shorter thrown than vibrating
Coal Preparation 511
HM bath
Coarse jig
Coarse HMC
WOC
Spirals
Fine HMC
Teeter bed
Froth flotation
U-shaped vessel that is open on one size and closed into media float to the surface of the vessel where
on the other (Fig. 9). Water is pulsed through the they are transported by the overflowing media to
particle bed atop the perforated plate by sequentially a collection screen. Waste rock, which is much
injecting and releasing air in and out of the enclosed denser, sinks to the bottom of the vessel where it
chamber. A batac jig is a variation of this design that is collected by a series of mechanical scrapers (called
uses an air chamber below the perforated plant to flights). The flights travel across the bottom of
trap air and create the pulsing action. Jig installations the vessel and eventually drag the waste rock over a
require specific conditions in order to be effective and discharge lip at one end of the separator. The unit is
are significantly less efficient than competitive heavy highly flexible, since the quality of the clean coal
media processes. As a result, the use of jigs for coal product can be readily adjusted by varying the
cleaning has declined rapidly. However, jigs can treat density of the media from 1.3 to 1.7 SG by
a wider size range than single heavy media processes controlling the amount of magnetite introduced
and provide an obvious advantage in applications into the suspension. Sharp separations are possible
where capital is limited. even in the presence of large amounts of middlings,
The most common process for upgrading coarse since SG can be controlled very precisely (as close
coal (412.5 mm) is the heavy media bath. A as 0.005 SG units in some cases) using online
common type of heavy media bath is the Daniels instrumentation. A wide variety of different
vessel (Fig. 10). This unit consists of a large open designs of heavy media baths exist, with the
vessel through which an aqueous suspension of major differences being the mechanisms used to
finely pulverized magnetite (SG ¼ 5.2) is circulated. discharge the clean coal and waste rock products.
The magnetite creates a suspension with an artifi- Common examples include heavy media cones,
cial density that is between that of pure coal drums, and several variations of deep and shallow
and pure rock. Lighter coal particles introduced baths. Drums, usually Wemco or Teska, are widely
Coal Preparation 515
TABLE II
Example of Coal Washability Data
Sink Float Weight (%) Ash (%) Weight (%) Ash (%) Weight (%) Ash (%)
100.0 47.8
1.30 (4.2)
(28.4) SG
15.6
1.40 (14.5)
SG
6.6
1.50 (22.8)
SG 2.2
1.60 (31.2)
Legend SG
1.70 2.1
Weight (39.6)
(Ash) SG
1.90 5.6
SG (62.5)
20.1
(87.5)
used in South Africa and to a certain extent in of contaminants such as ultrafine clay can be
Australia. This is where coals are difficult to wash prevented. Such a build increases the viscosity of
and very high efficiency levels are required. the circulating media and adversely impacts the
The primary disadvantage of a heavy media separation efficiency.
process is the ancillary equipment that must be Heavy media processes make use of a variety of
installed to support the operation of the separator instrumentation to monitor and control the perfor-
(Fig. 11). A typical circuit requires that the clean coal mance of the separator. In most cases, this consists of
and refuse products pass over drain-and-rinse screens a gamma (nuclear) density gauge or other device that
to wash the media from the surfaces of the products continuously monitors the specific gravity of the
and to dewater the particles. The media that is circulating media. Automated controls are used to
recovered from the drain section is circulated back to add water or magnetite so as to maintain a constant
the separator by means of a pump, while media from density in the circulating media.
the rinse section is diluted by spray water and must be
concentrated before being fed back to the separator.
3.4 Intermediate Coal Cleaning
Fortunately, magnetite is magnetic and can be readily
(12.5 1 mm)
recovered from a dilute suspension using magnetic
separators. A rotating drum magnetic separator is Heavy media cyclones, which were originally devel-
commonly used for this purpose (Fig. 12). These oped by the Dutch State Mines, are the most
devices are highly efficient and generally recover effective method for treating coal particles in the
499.9% of the magnetite to the magnetic product. size range between 1.0 and 12.5 mm. These high-
For cost reasons, losses of magnetite must be kept as capacity devices (Fig. 13) make use of the same basic
low as possible. Typical losses fall in the range of principle as heavy media baths—that is, an artificial
about 0.45 kg of magnetite loss per tonne (1 lb per media is used to separate low-density coal from
ton) of feed coal treated. A portion of the circulating high-density rock. In this case, however, the rate of
media from the drain section may also be diverted separation is greatly increased by the gravitational
(bled) to the magnetic separator so that the buildup effect created by passing media and coal through
516 Coal Preparation
Feed coal
Clean
coal
Refuse
FIGURE 10 Illustration of a heavy media bath. Courtesy of
Peters Equipment.
Raw
coal
rejected out the bottom. Lighter particles of coal
rise to the surface of the rotating media and are
carried with the bulk of the media flow out the top
of the cyclone. Major advantages of heavy media
Clean cyclones include a high separation efficiency, high
coal unit capacity, and ease of control. As with baths,
heavy media cyclones have the disadvantage of
higher costs associated with the ancillary operations
required to support the separator. Several different
configurations are used to feed heavy media
cyclones. These include gravity flow, pump fed,
Shales Middlings and wing tanks. Of these, the pump fed configura-
tion (Fig. 14) offers the greatest operational flex-
ibility. The circuit is similar in function to that
FIGURE 9 Illustration of a baum jig. Courtesy of Bateman.
employed by a heavy media bath.
Advances in cyclone technology and improved
one or more cyclones. Heavier particles of rock sink wear-resistant materials (ceramic linings) have al-
in the rotating media and are pushed toward the lowed the upper particle size limit to increase
wall of the cyclone where they are eventually in many applications to 60 to 75 mm. Massive
Coal Preparation 517
Feed
coal
Magnetic
separator
Raw coal
screen Heavy
media
bath
To other
circuits
Reject Clean
refuse coal
Dilute Heavy
media Over-dense
media media
sump sump
sump
increases in throughput capacity have also been the two circuit plant incorporating both baths
realized through the use of larger cyclones having and cyclones may be necessary since low density
diameters of 1.2 m and more. A single unit of separations are easy in baths but difficult in
this size is capable of treating more than 360 to cyclones.
410 tonnes per hour (400 to 450 tons per hour) of Another option for cleaning coarse coal is a large
feed coal. Unfortunately, increased diameter is coal dense media separator, known as a larcodem.
accompanied with poorer efficiency, particularly This unit was originally developed to handle coal
in the finer size fractions. The ability to increase feeds in the size range between 0.6 and 100 mm. The
both throughput and the upper particle size for device has the major advantage of being able to treat
cyclones makes it possible to eliminate the heavy in one process what was traditionally processed in
media bath in many new plants. This capability is two separate heavy media devices (heavy medium
particularly useful for those plant treating very bath and heavy medium cyclone). Larcodems can
friable coals containing minimal quantities of larger also clean far more efficiently what was previously
(450 mm) particles. The simplified circuitry also fed to jigging operations. Capital and operating costs
has significant benefits in terms of capital cost and for circuits incorporating Larcodems are consider-
ease of maintenance. For high reject or hard coals, ably less that would be the case for traditional heavy
significant advantages are still present for the bath/ medium designs. Despite these advantages, Larco-
cyclone circuit. This results from the reduced dems have not been widely used in the United States
necessity for crushing, reduced wear in the plant, due to lower fine coal cleaning efficiency and the
and improved total product moisture content. If ability of the new generation of cyclones to handle
low density separations are required (o1.4 SG), then similar top-size material.
518 Coal Preparation
Feed
Heavy
media
Raw coal cyclones
or deslime
screens
Raw coal or
fine coal
circuit
Heavy Dilute
media media
sump sump
Level
gauge
During operation, feed slurry is introduced to the secondary circuit, which is often 10 to 20% of the
top of the spiral and is permitted to flow by gravity size of the primary circuit, enables any misplaced
along the helical path to the bottom of the spiral. material from the primary circuit to be captured.
Particles in the flowing film are stratified due to the Circuits have been designed to use spirals in treating
combined effects of differential settling rates, cen- wider size ranges (e.g., 0.1 3.0 mm), but perfor-
trifugal forces, and particle-particle contacts. These mance has been poor and efficient spiral cleaning at
complex mechanisms force lighter coal particles to present would appear to be limited to the
the outer wall of the spiral, whereas heavier particles 0.15 1.5 mm size range. The main advantages of
are forced inward to the center of the spiral. The the spiral circuits are comparatively low capital and
segregated bands of heavy to light materials are operating costs coupled with ease of operation. A
collected at the bottom of the spiral. Adjustable major drawback of spiral circuitry is the inability to
diverters (called splitters) are used to control the make a low gravity separation since spirals normally
proportions of particles that report to the various cut in the 1.7 to 2.0 SG range. A consistent
products. A three-product split is usually produced, volumetric feed rate and minimum oversize
giving rise to three primary products containing (42 mm) and undersize (o0.1 mm) in spiral feed
clean coal product, middlings, and refuse. Because of are also essential requisites to good operation.
the low unit capacity 1.8 to 3.6 tonnes per hour (2 to Spirals have been successfully utilized in combina-
4 tons per hour), spirals are usually arranged in tion with water-only cyclones to improve the
groups fed by an overhead radial distributor. To save efficiency of separating fine coal. Latest spiral
space, several spirals (two or three) may be inter- technologies incorporate primary and secondary
twined along a single central axis. In practice, the cleaning in a single unit. Clean coal and middlings
middlings product should be retreated using a being produced in the upper section are reprocessed
secondary set of spirals to maximize efficiency. The in an extended spiral totaling seven turns.
520 Coal Preparation
Feed
Turn 1
Overflow
Turn 2
Turn 3
Fluidization water
Underflow
Turn 4 PID
Control
loop
spirals. The major unit disadvantage is the limited (o0.03 mm) is carried out ahead of some flotation
size range which can be efficiently treated (4:1 top circuits to minimize the carryover of this high ash
size to bottom size). material into the froth product. The ultrafine clay
slimes are typically removed using large numbers
of small diameter (15 mm or 6 inch) classifying
3.6 Ultrafine Coal Cleaning (o0.15 mm)
cyclones (Fig. 18).
The most widely accepted method for upgrading Most of the industrial installations of flotation
ultrafine coal is froth flotation. Froth flotation is make use of mechanical (conventional) flotation
a physicochemical process that separates particles machines. These machines consist of a series
based on differences in surface wettability. Flotation of agitated tanks (four to six cells) through
takes place by passing finely dispersed air bubbles which fine coal slurry is passed. The agitators
through an aqueous suspension of particles (Fig. 17). are used to ensure that larger particles are kept
A chemical reagent, called a frother, is normally in suspension and to disperse air that enters
added to promote the formation of small bubbles. down through the rotating shaft assembly. The
Typical addition rates are in the order of 0.05 to air is either injected into the cell using a blower
0.25 kg of reagent per tonne (0.1 to 0.5 lb per ton) or drawn into the cell by the negative pressure
of coal feed. Coal particles, which are naturally created by the rotating impeller. Most commercial
hydrophobic (dislike water), become selectively units are very similar, although some variations exist
attached to air bubbles and are carried to the surface in terms of cell geometry and impeller design.
of the pulp. These particles are collected from a Industrial flotation machines are now available with
coal-laden froth bed that forms atop the cell due individual cell volumes of 28.3 m3 (1000 ft3) or
to the frother addition. Most of the impurities more. Coal flotation is typically performed in a
that associate with coal are naturally hydrophilic single stage with no attempt to reprocess the
(like water) and remain suspended until they are dis- reject or concentrate streams. In some cases, parti-
charged as dilute slurry waste. Another chemical cularly where high clay concentrations are present,
additive, called a collector, may be added to improve advanced flotation processes such as column cells
the adhesion between air bubbles and coal parti- have been used with great success. Conventional
cles. Collectors are commonly hydrocarbon liquids flotation cells allow a small amount of clay slimes to
such as diesel fuel or fuel oil. In the United States, be recovered with the water that reports to the froth
flotation is typically performed on only the finest product. A column cell (Fig. 19) virtually eliminates
fractions of coal (o0.1 mm), although coarse parti- this problem by washing the clay slimes from the
cle flotation (o0.6 mm) is practiced in Australia froth using a countercurrent flow of wash water. This
where coal floatability is high and the contaminants feature allows columns to produce higher quality
in the process feed low. The removal of clay slimes concentrate coals at the same coal recovery.
Ambient air
Floatable specie
Screens
Vibratory centrifuge
Screen-scroll centrifuge
Fine screen-scroll
Screen-bowl centrifuge
processes have been developed, several of which called thickening. A thickener is simply a large tank
include some degree of surface pyrolysis to reduce in which particles (usually flocs) are allowed to settle,
the tendency of the coal to reabsorb water or to be thereby producing a clean overflow and a thickened
subject to spontaneous combustion. Briquetting is underflow (Fig. 25). Thickeners are typically fed
also utilized in several processes to deal with the fines dilute slurry (o5 to 10% solids) that is rejected
inevitably generated in the drying process. Advan- from the fine coal cleaning circuits. The clarified
tages of thermal drying include the ability to achieve water that overflows along the circumference of the
very low moistures and the potential to improve thickener is recovered and reused as process water.
other coal properties (e.g., coking). Disadvantages The thickened underflow, which typically contains
include high operating and capital costs, fugitive dust 20 to 35% solids, is transported to the center of the
emissions, and safety hazards associated with poten- thickener by a series of rotating rakes. The thickened
tial fires and explosions. sludge is typically pumped to an appropriate disposal
area or is further dewatered prior to disposal.
Chemical additives are usually introduced ahead of
4.4 Thickening
the thickener to promote the aggregation of ultrafine
The process of cleaning coal is a wet one, using large particles so that settling rates are increased. The pH
quantities of water (i.e., thousands of gallons per levels are also monitored and controlled.
minute). As a result, vast quantities of dirty (fine Conventional thickeners, which are typically 15 to
rock-laden) water are produced. Beneficiation pro- 60 m (50 to 200 ft) diameter, require constant
cesses require clean water. Consequently, dirty water monitoring to ensure that overflow clarity and
is processed, solids removed, and clean water underflow density is maintained and the rake
recycled for further use in the plant. This process is mechanism is not overloaded. A torque sensor on
Coal Preparation 525
5. MISCELLANEOUS
Trough
A state-of-the-art coal processing facility typically
uses a programmable logic controller (PLC) as the
heart of the plant control system. The PLC is a
computer based controller that acquires data (input)
representing the status of all the units and control Compartment into which
loops in the plant, makes decisions based on the data cake falls
input and programmed instructions, and sends data FIGURE 23 Illustration of a conventional disc filter. Courtesy
(output) to the plant units reflecting the decisions. of Peterson Filters.
526 Coal Preparation
Launder and
access walkway
Rake drive
Feed pipe or launder
Overflow launder
Overflow
outlet Liquid level
Feedwell
Tank Center
column
Rake arm/scrapers
Inputs include a wide variety of data such as the streams or at the coal loadouts where the pro-
electrical status of motor control circuits, operating/ duct streams are intercepted. These units can be
position status of moving equipment, electrical and used to monitor product quality, but more usually
mechanical faults, and operating status of control in the blending of coals of different qualities. This
loops (levels, temperatures, flow rates, pressure, etc.). is done to meet customer quality specifications. They
Field devices that provide input to the PLC include can use the principle of measuring the attenuation
electronic transmitters for levels, temperature, pres- of a beam of nuclear radiation as it passes through
sure, position, and flow rates. Nuclear devices are a process stream. There are also slurry ash ana-
used for determining online measurements for lyzers available, including one that uses submersible
specific gravity and solids content of slurry streams, probes and another than is similar to a nuclear
for mineral and elemental analysis of process density gauge.
streams, and for flow rates. Digital (microproces- Several commercial monitors are also available of
sor-based) equipment is becoming available that online determination of product moisture content.
provides faster communication, less hard wiring, The principle of measuring the attenuation of a beam
and more reliable data. Digital equipment is also of nuclear or microwave radiation as it passes
being used to replace standard motor control through a process stream is utilized in moisture
circuits, which provides better monitoring for those determination. Accuracy for the microwave analy-
circuits. Outputs include various instructions to field zers decreases as the variability in the size consists of
devices such a start/stop signals to motors, open/ the process stream increase.
close or position signals to process equipment
(valves, gates, etc.), and signals to the control loops
(valves, diverters, feeders, gates, etc.). Field devices
5.2 Waste Disposal
that translate PLC output instructions into control
actions include standard relay based or digital motor Coal washing processes produce large volumes of
control circuits; electric or electro-pneumatic actua- waste rock that must be discarded into refuse piles or
tors for valves, gates, and so on; and electronic or impoundments. Refuse piles are designed to receive
digital variable speed controllers for feeders, pumps, coarse particles of waste rock that can be easily
conveyors, and so on. dewatered. This material is relatively easy to handle
The PLC in conjunction with a full color graphical and can be transported by truck or belt haulage
interface (typically based on a personal computer) systems to the disposal area. In contrast, impound-
provides the operator with all relevant data concern- ments are designed to retain fine waste rock that is
ing the operation of the facility. The capabilities difficult to dewater. The waste is normally pumped
of the system includes real time monitoring and from a thickener to the impoundment as slurry
control. A major advantage of the PLC system in containing water, coal fines, silt, clay, and other fine
is the ability to modify the program quickly to mineral particulates. In most cases, the slurry is
change interlocks, startup/showdown procedures. retained behind a embankment (earthen dam) con-
Two other techniques being used to enhance mon- structed from compacted refuse material. The
itoring and control are fiber optics communica- impoundment is designed to have a volume that is
tions and radio frequency telemetry systems. The sufficiently large to ensure that fine particles settle by
use of fiber optics for data transmission over long gravity before the clear water at the surface is
distances provides faster communications and im- recycled back to the plant for reuse. In some cases,
munity to electrical (lightning) interference. Radio chemical additives may be used to promote settling
frequency telemetry (direct and satellite relay) and to control pH. Impoundments, like any body of
provides communications where it is impractical to water contained behind a dam, can pose a serious
install long runs of wires and conduits for remote environmental and safety risk if not properly
monitoring and control. constructed, monitored, and maintained. Potential
During the past decade major enhancements in problems include structural failures, seepage/piping,
online analysis of coals have occurred. A variety overtopping, acid drainage, and black water dis-
of ash analyzers are now commercially available charges. In the United States, strict engineering
for monitoring the quality of the clean coal pro- standards are mandated by government agencies to
ducts produced by a preparation plant. These regulate the design and operation of impoundments.
analyzers are typically mounted on a conveyor In some countries, combined refuse systems are
belt for the through-the-belt analysis of process employed in which both coarse and fine refuse are
528 Coal Preparation
1.1.2 Permian Period assessing coal mineability and its economics and in
A cooler climate and seasonal changes characterized selecting mining approaches. For example, in under-
this period. Except in China, deposition leading to ground mining, the weight and strength of the
formation of coal in the North declined. In the South, overlying material (‘‘roof’’) have a significant bearing
important deposits leading to bituminous coal were on the underground support structure needed for safe
laid down in South Africa and Australia. operation. Similarly, the ‘‘seat’’ rock on which a coal
bed lies may become unduly soft or sticky when wet
1.1.3 Cretaceous Period or excessively plastic when under pressure, causing
During this period, the climate was so mild that problems in mining operation.
vegetation grew even in the polar regions, leading to Under some geological conditions, peat-forming
the formation of coalfields there. A major shift in material accumulated at or close to the place of plant
vegetation occurred, namely, plants emerged with growth (autochthonous origin). Under different
seeds having protective coverings. Because of its conditions such as along beaches, along river
relatively young age, the coal of this period is of low streams, or when flooding occurs, plant material
rank. was moved to a different location, where it was
deposited (allochthonous origin) possibly on top of
1.1.4 Tertiary Period existing plants. Coals formed by the allochthonous
Deposition of plant materials continued during this mechanism are relatively rare and have less commer-
period. Ashes, willows, and maples were among the cial value because of their higher mineral contents.
common plants. The younger age of these deposits During peatification, lasting 10,000 to 15,000
led to lignite formation. years, biochemical activities predominated. Plants
A strong relationship is found between the rank of and partially decomposed plants were subjected to
coal and the geological age of plant deposition. For varying environments (e.g., flooding, drought), addi-
example, Texas lignite deposits are from the Tertiary tion of plants from other locations, and so on. The
Ecocene period, whereas subbituminous coal in the extent to which plants were buried under water had a
Big Horn basin and eastern Wyoming was formed large effect on the type of biochemical activity (e.g.,
during the Paleocene epoch and bituminous coal in anaerobic vs aerobic fermentation). Some geological
western Pennsylvania and eastern Ohio came from changes destroyed swamps and halted the formation
the Carboniferous period. However, age alone does and accumulation of peat. Long periods of drought
not determine the rank. For example, brown coal promoted aerobic action, leading to inferior coalfields.
and lignite found near Moscow, Russia, were formed The aerobic process, if it proceeds unimpeded,
from plant deposits of the Carboniferous period. destroys plant material completely. The anaerobic
However, the plants were not buried deeply. Thus, process leads to peat, and eventually to various ranks
the temperatures and pressures to which the plant of coal, depending on the prevailing geological
materials were subjected were not high enough to conditions. If lightning strikes during peatification,
form high-ranking coals. fires set by it lead to the formation of charcoal. The
charcoal may be incorporated in the coal to a
lithotype form of coal called fusain, also termed
1.2 Influence of Geology
mineral charcoal or mother-of-coal. An alternate
In spite of seeming abundance in various regions of theory for fusain formation also has a geological
the world, coal beds form only a very small basis: a drier environment is claimed to lead to the
percentage of the total thickness of the overall formation of fusain. Cannel coal is theorized to be
sedimentary deposits termed ‘‘coal measures’’ in formed in aerated water, which decomposes all but
coal-bearing areas. In a simplified description of coal the spores and pollen.
formation, there are two sequential processes: peat In stagnant water, the concentrations of acids
formation (peatification) by biological processes and increase as microbial activities proceed. These acids
conversion of peat to coal (coalification) by geologi- tend to kill bacteria and short-circuit peatification. In
cal processes. Geological activities also play an rushing water, this mechanism is less important
important role during the peatification phase. The because acids formed by microbial activities are
composition, thickness, hardness, and regularity of removed or diluted. Water itself acts as a shield
the strata both below and above coal beds are against attack by atmospheric oxygen. Thus, a
created by geological processes over millions of freshwater environment is most favorable for coal
years. These characteristics must be considered in formation.
Coal Resources, Formation of 531
Coalification primarily involves the cumulative The beds are then covered with additional plants or a
effects of temperature and pressure over millions of different type of sedimentation.
years. The sediment covering the peat provides the Geological stresses. These stresses induce fold-
pressure and insulation, and heat comes from the ing and sharp deformation and lead to specific
earth’s interior. (Temperature increases B4–81C each dislocation (‘‘faults’’). Such dislocations may range
100 m.) The change from bituminous coal to up to hundreds of feet vertically and thousands of
anthracite coal involves significantly higher pressure feet laterally.
(as in mountain building activity under tectonic plate
Throughout coalification, formative coal beds
movements) and higher temperatures than does the
are subjected to the action of ground waters. Most
formation of bituminous coal. Pressure affects the
of the mineral constituents in the coal bed, such as
physical properties of coal (e.g., hardness, strength,
pyretic material and gypsum, are brought in by
porosity). Higher temperatures can be the result of
ground water either as suspension or by ion
several factors: (1) relative proximity of the earth’s
exchange. During the bituminous coal stage, the
magma to formative coal seams, (2) close approach,
beds develop vertical or nearly vertical fractures that
or contact with, igneous intrusions/extrusions, (3)
are often filled with coatings of pyrite, calcite,
volcanic activity, and (4) depth of burial. Tectonic
kaolinite, or other minerals deposited by circulating
plate movement itself creates additional heat. Volca-
ground water. Similar deposition occurs during
nic activity near the peat or partially formed coal
peatification, but with a difference. Peat tends to be
can have a negative impact such as sulfur, mercury,
highly porous and acts as a filter. Secondly, living
and other environmentally undesirable mineral mat-
organisms within peat interact with dissolved miner-
ters being incorporated into the coal bed. Rapid
als such as sodium, potassium, and calcium to
coalification may lead to parts of coalfields to have
exchange ions.
natural coke.
The kinds of sediments surrounding the coals are
also important. For example, clays do not resist
1.3 Influence of Microbes
pressure well and deform relatively easily. Thus, a
peat deposit in contact with clays reflects the results Microbial activity leads to peat formation (peatifica-
of pressure more. Although rare, geological processes tion). Microbial activity continues for many years
introduce in some coal beds relatively narrow, even after the geochemical phase gets under way so
vertical, or steeply slanting veins of clay, sometimes long as pressure and temperature are not excessive.
partially pyritized. Microbial activity can be of fungal, aerobic, or
Several geological phenomena have an impact on anaerobic type. The first two need oxygen and cause
the coal bed placement underground: complete plant decay. If the plant is submerged in
water, anaerobic activity dominates. Decomposition
Partings. Partings are formed when plants of plant material by microbes can be classified as
buried in a swamp get covered with layers of mud, shown in Table I. For the formation of a commer-
silt, or clay material followed by additional plant cially viable product (coal), peatification or putrefac-
accumulation trapping nonplant materials in be- tion is required. Attacks of microbes, oxygen,
tween two coal seams. Often, the partings are not dissolved oxygen, enzymes, and water-borne chemi-
uniform and, instead, form a wedge shape that is cals cause degradation of plant material, forming
progressively thicker toward the source of deposited new organic macromolecules so that the original
material. Partings impair the mining procedures and, plant structure is not recognizable. Methane and
especially if pyritized, decrease the quality of the carbon dioxide are also generated under these
mineable coal. conditions, hence the term ‘‘marsh gas’’ for methane.
Concretions. Formations, perhaps several feet in Different parts of plant material have different
diameter, that impede mining operations are formed levels of resistance to microbial activities. Also, their
during the overlaying of nonplant material (lenticu- products have different levels of toxicity. For
lar masses composed of pyrite, calcite, or siderite or example, cellulose, a major constituent of cell walls,
their combinations). and protein are more susceptible to microbial attacks
Heterogeneity. During coal bed formation, than are plant constituents such as lignin, tanins,
valleys are formed by the downward erosion caused fats, waxes, and resins. Humic acids and other humic
by nearby streams, occasionally leading to exposure substances are important peatification products.
of existing coal beds during their formative stages. Woody material passes through a plastic gel-like
532 Coal Resources, Formation of
stage before solidifying to huminite and eventually 2.1.1 The Stopes–Heerlen System
vitrinite. Formation of other maceral structures, such The Stopes–Heerlen system has been codified by the
as liptinite and inertinite, is also the result of International Committee for Coal Petrology. In this
microbial activities. system, coal is classified either as hard coal or brown/
lignite coal on the basis of visual appearance. The
hard coals are further divided into banded/humic
2. FORMATION OF COAL
coals and saporpolic coal (nonbanded coal with large
concentrations of algae or spores). The coal types are
2.1 Petrology, Petrography,
further divided into four lithotypes based on visual
and Lithotypes
observation of features greater than 3 mm:
Careful visual examination of a coal sample shows *
Vitrain: bright, black, brittle
that it is layered; that is, it consists of bands of *
Clarain: semi-bright, black, finely stratified
different materials with distinct entities distinguish- *
Durain: dull, black–gray, black, hard, rough
able by optical characteristics. Coal petrology is the *
Fusain: charcoal-like, silky, black, fibrous, friable
study of the origin, composition, and technological
application of these materials, whereas coal petro- The lithotypes are further divided into micro-
graphy involves systematic quantification of their lithotypes, which must be at least 50 microns wide
amounts and characteristics by microscopic study. and contain at least 5% of the minor components.
Lithological characterization of coal pertains to (1) The combination of individual macerals in a
the structural aspects of the coal bed and (2) the coal particular coal sample identifies it and determines
texture obtained from the macro- and microscopic whether it is mono-, bi-, or trimaceral. Table II
observation of the coal. provides a list of the combinations of macerals found
The texture of the coal is determined by the type, in coal and the names of their resultant hybrids. The
grain, and distribution of its macro- and microscopic optical classification of brown and lignite coals has
components. Banded coals composed of relatively recently been standardized along lines similar to
coarse, highly lustrous vitrain lenses (6 mm or more those used for hard coals.
in thickness) are labeled as coarsely textured. As the
thickness narrows, the texture becomes fine-banded 2.1.2 Impact of Lithotype on Utilization Potential
and then microbanded. Coals with homogenous Lithotype descriptions are primarily used to char-
texture are rare and regarded as nonbanded or acterize coal beds in geological investigations. This
canneloid coals. The lithotype nomenclature is includes the study of lateral variabilities in thickness
often not suitable for lignite due to the presence of and structure. They are used as the principal basis for
plant pieces. coal resource and reserve determination, but not to
Some geologists consider coal to be a rock that has predict specific coal properties such as ash content
microscopically identifiable altered plant remains and and coal rank.
minerals. The altered plant remains are called mac- A wide range of petrographic applications have
erals, which are classified into three groups: vitrinite, been developed to assess coals for their specific use,
Coal Resources, Formation of 533
TABLE II
Characteristics of Hard Coal
Occurrence Reflectance
Group maceral Maceral Submaceral Maceral variety Cryptomaceral (percentage) class
Sources. Mehta, A. (Project Manager), (1986). ‘‘Effects of Coal Quality on Power Plant Performance and Costs,’’ Vol. 4: ‘‘Review of Coal
Science Fundamentals,’’ (EPRI CS-283). Electric Power Research Institute, Palo Alto, CA; Simon, J. A. Coal. In ‘‘Encyclopedia of Energy,’’
2nd ed. McGraw–Hill, New York; Vorres, K. S. Coal. In ‘‘Encyclopedia of Chemical Technology’’, (J. Kroschwitz, Ed.), 4th ed. John Wiley
and Sons, New York.
predict potential problems in their application, and be used to establish profiles for entire seams or coal
solve problems when they are encountered. Petro- basins. The vitrinite reflectance histogram can provide
graphic data are used for determination of seam a quantitative measure of the ease of coal burning.
correlations, geological history, and ease of coal A vital role is played by petrographic analyses of
oxidation as well as for measurements of rank, inter- various coals under consideration as potential feed
pretation of petroleum formation from coal deposits, material to form metallurgical coke. The coking
and prediction of coke properties. For example, behavior of the coal depends on the rank, maceral
constituents of seams can be measured over consider- constituents, and their relative proportions. Some-
able distances apart, and these measurements can then times, as many as eight different coals have to be
534 Coal Resources, Formation of
blended, maintaining a balance between ‘‘reactive’’ followed by decomposition of hemicellulose and then
and ‘‘inert’’ maceral constituents, to attain the decomposition of cellulose. Lignin is more resistant,
desired coking properties. Vitrinite has good plasti- specialty materials are even more so, and sporopol-
city and swelling properties and produces an lenin is the most resistant.
excellent coke, whereas inertinite is nearly inert and Brackish or saline water often contains enough
does not soften on heating. Exinite becomes ex- sulfur to support bacterial activities that lead to
tremely plastic and is nearly completely distilled as conversion of sulfate ions to hydrogen sulfide or
asphaltenes (tar). By carefully controlling the blends elemental sulfur. These two by-products, instead of
of coals based on their petrological compositions, escaping formative peat, may be incorporated into
behavior during carbonization can be controlled. preexisting pyrites or into the organic structures in
Petrographic analyses are also useful for the the peat.
evaluation of coals for liquefaction and gasification. As peatification proceeds, more plants may be
Bituminous and lower ranking coals that are rich in dumped on top of the previously buried plant
exinite and vitrinite macerals are desirable for material, compacting the peat-like material under-
liquefaction. Based on microscopic analysis of neath, squeezing out some of the trapped water, and
dispersed ‘‘coaly’’ materials in shales and other increasing its density. Degradation of cellulose under
sedimentary rocks, geologists can identify favorable bacterial attack opens up cell walls and helps to
areas for oil and gas exploration. disintegrate the large pieces of plant tissue. The
Extensive work has been carried out to correlate structure of coal itself changes drastically during this
elemental composition, functional forms in which phase, increasing carbon content from 50 to 60%.
elements are present, and physical properties of coal
with maceral forms and their proportions in the coal. 2.2.3 Geochemical Phase (Coalification)
The geochemical phase begins when sedimentation
2.2 Factors Influencing Formation of Coal such as silt, mud, sand, and clay is placed on top of
the peat or partially formed peat. The weight of the
The net result of peatification and coalification is
sedimentation compresses the peat and buries it
reduction in hydrogen, oxygen, and free moisture
deeper as more sedimentation is piled up.
and a corresponding increase in fixed carbon content
Transformation of peat into brown coal, lignite,
of the original plant material.
subbituminous, bituminous, and (finally) anthracite
is a sequential and irreversible process. The primary
2.2.1 Components of Plants
A perspective of the biochemical degradation leads to factors that determine coalification progress are
three plant components: temperature, pressure, and duration of coalification
to which peat is subjected. With a shorter time,
a. Structural components meant for the plant’s coalification does not proceed beyond the rank of
rigidity and form include cellulose (polymerized brown coal or lignite. Incomplete coalification
glucose), hemicellulose (polymerized xylose, or wood produces coal that has recognizable plant fragments.
sugar), lignin (polymerized n-propyl benzene), and Higher temperatures are critical for the metamor-
calcium pectate. phosis of peat to increasingly higher ranks of coal.
b. Stored food includes carbohydrates, starch, fats The coalification of brown coals and lignite occurs at
and oil, and proteins. Carbohydrates tend to decom- temperatures less than 1001C. These coals retain
pose earlier during peatification. much water and volatile matter and more of the
c. Specialty materials are meant to provide various functional groups of the original plant. Temperatures
services to the plant. These materials, functioning to in the range of 100 to 1501C yield bituminous coals
protect the plant, include resin, cutin (protection of through the loss of moisture, aliphatic and oxyge-
leaf surfaces), waxes (moisture retention), and nated groups, and hydrogen. In the process, there is a
sporopollenin (protective outer layer of spores and decrease in the pore structure and an increase in the
pollen). They are relatively resistant to biochemical carbon and heat content of the coal. Low- and
degradation. medium-volatile coals are produced by further
exposure to temperatures in the range of 150 to
2.2.2 Biochemical Phase (Peatification) 1801C. Anthracites are produced at temperatures
Although bacteria and fungi attack all parts of plants greater than 1801C, with further loss of hydrogen
simultaneously, the first ones to succumb are and organic functional groups. Loss of hydrogen
carbohydrates, starch, and calcium pectate. This is during this stage actually decreases slightly the
Coal Resources, Formation of 535
heating value of coal. Anthracite formation also tural features exist in any coal piece. These molecules
increases the fine pore structure of the coal. consist of planar fused ring clusters linked to nonpolar
Anomalous coal of higher ranking has been produced hydroaromatic structures. The overall structure is
during relatively short coalification periods when complex, irregular, and open. Entanglement between
peat is subjected to magma intruding near it. macromolecules occurs, as does cross-linking of
hydrogen-bonded species. These different molecular
2.3 Structure of Coal shapes and sizes in coal lead to irregularities in
packing and porosity in coal and make it amorphous.
Because coal is the result of the partial decay and In the extracted material of the coal, the average
deposition of vegetation, it consists mostly of organic molar mass is 1000 to 3000 for 5 to 50% fraction.
material. In addition, inorganic matter is incorpo- Unextractable coal contains even larger macromole-
rated in the coal bed, some of which becomes an cules. The magnetic resonance technique was applied
integral part of the organic material in coal. Coal to coals of various ranks to generate the intramole-
also contains free water (inherent moisture). The cular functional group data given in Table III.
percentage of inherent moisture ranges from 40 to The structure of vitrinites, the major maceral
50% in lignite to less than 5% in anthracite. Coal groups in bituminous and anthracite coals, has been
composition and structure vary substantially as the analyzed and found to have the following character-
rank changes from lignite to anthracite. As rank istics:
increases, fixed carbon increases and oxygen and
inherent moisture/volatile matter decrease. a. The organic molecules contain a number of
In general, rank and maceral composition are small aromatic clusters, with each typically having
viewed as substantially fixed for a particular coal- one to four fused benzene rings. The average number
field, certainly within a particular coal seam. The of clusters depends on the rank, increasing slowly up
structure of the coal seam/bed is itself highly to 90% fixed carbon and then rapidly for higher
irregular, depending on its geological history. Thus, carbon content. (Lignites typically have 0.60 aroma-
the height of the seam and its horizontal spread are ticity, whereas anthracite has 0.95.)
often unpredictable. b. The aromatic cluster linkage is, in part, by
hydroaromatic, alicyclic, and ring structures, which
also contain six carbons. On dehydrogenation, these
2.3.1 Bonding within a Macromolecule
ring structures can become part of the cluster
A variety of macromolecules with different molar through molecular rearrangement, increasing the
masses, proportions of functional groups, and struc- average cluster size.
TABLE III
Carbon Structural Distribution: Fraction of Carbon Type
Source. Vorres, K. S. Coal. In ‘‘Encyclopedia of Chemical Technology’’ (J. Kroschwitz, Ed.), 4th ed. John Wiley and Sons, New York.
536 Coal Resources, Formation of
c. Clusters can also form linkages employing short coke for iron smelting. For more than a century, it
groups such as methylene, ethylene, and ether supplied hundreds of chemical intermediates to
oxygen. prepare medicines, dyes, paints, and perfumes. These
d. A large fraction of hydrogen sites on the coal applications require different physical, chemical,
aromatic and hydroaromatic rings are substituted and other properties of coal.
by methyl or larger aliphatic groups. A number of classification systems have been
e. Oxygen is usually present in phenolic and developed to facilitate the production, sale, and use
ether groups, substituting for hydrogen on the of coal and to satisfy the needs of major stake-
aromatic ring. holders. They seek a systematic way by which to
f. In a small fraction of the aromatic and hydro- assess performance and economic value of coals in
aromatic rings, oxygen replaces carbon in the ring, particular applications and to facilitate assessing
making the ring heterocyclic. (Some of these rings are potential operational problems.
five-membered.)
g. Compared to oxygen in phenolic groups, a
3.1 The Ranks of Coal
lesser fraction of oxygen appears in the carbonyl
structure (quinone form on aromatic and ketone In the United States in 1938, the American Society
form on hydroaromatic rings). In both cases, oxygen for Testing and Materials (ASTM) adopted classifica-
is apparently hydrogen bonded to adjacent hydroxyl tion of coals ‘‘by rank’’ as a standard means of coal
groups. specifications (D388), parameters of which are
h. Nitrogen, which is less abundant in vitrinite provided in Table IV. Lower ranking coals are
than is oxygen, is usually present as a heteroatom in classified by their calorific values on a moisture-
a ring structure or as a nitrile. and mineral-free basis. Higher ranking coals are
i. Most of the sulfur, especially if its content specified in terms of percentage of fixed carbon
exceeds 2%, is in the form of inorganic material. (Z69%) or volatile matter (r31%) on a moisture-
Organic sulfur occurs in both aliphatic and aromatic and mineral-free basis. (‘‘Volatile matter’’ is defined
forms. Sulfide and disulfide groups are involved in by the ASTM D3175 procedure.) Many properties of
linking clusters. coal vary in a fairly regular way with rank. This
allows one to judge the properties of a particular coal
on the basis of its rank alone.
2.3.2 Bonding between Macromolecules Anthracite, bituminous, subbituminous, and lig-
Individual macromolecules in coal structure are nite are ranks of coal in descending order. Peat itself is
bonded to each other by a variety of forces and not considered coal. Less mature lignite is called
bonds to form a solid, three-dimensional coal brown coal. A further distinction is made within
structure. Aromatic clusters are linked by connecting bituminous and subbituminous coals on the basis of
bonds through oxygen, methylene or longer aliphatic volatile matters and agglomerating properties. Lignite
groups, or disulfide bridges. The proportions of the and subbituminous are low-ranking coals, whereas
various functional groups change with rank. Acid bituminous and anthracite are high-ranking coals.
groups decrease early in the rank progression and
other groups follow, leaving ether groups to act as 3.1.1 Descriptions of Coals by Their Ranks
cross-linking groups. Another type of linkage in-
volves hydrogen bonds that, for example, hold 3.1.1.1 Brown Coal Geologically least mature,
hydroxy and keto groups together in solids. brown coal has high moisture, sometimes more than
60%. On drying, it tends to disintegrate. Although
susceptible to spontaneous ignition, it has a low
3. DESCRIBING AND heating value (B3000 BTU/pound as mined).
CLASSIFYING COAL
3.1.1.2 Lignite Geologically not mature, with
Coal samples from around the world show differ- easily recognizable plant parts present, lignite has
ences in appearance and properties—soft, moist, and less than 75% carbon on a moisture- and ash-free
brownish; very hard, glossy, and black solid; or basis and moisture as high as 40 to 42%. Because of
numerous variations in between. Coal is primarily its high volatile matter, it ignites easily, but with a
used for electric power generation. Other coal uses smoky flame. It has a low heating value and tends to
include drilling fluids, briquettes, and formation of disintegrate on drying.
Coal Resources, Formation of 537
TABLE IV
Classification of Coals by Rank
Volatile matter
Fixed carbon (percentage)a (percentage)a Gross calorific value (kJ/kg)b
Z o Z o Z o Agglomerating character
Coal rank
Anthracite
Meta-anthracite 98 2 Nonagglomerating
Anthracite 92 98 2 8 Nonagglomerating
Semi-anthracitec 86 92 8 14 Nonagglomerating
Bituminous
Low volatile 78 86 14 22 Commonly agglomeratinge
Medium volatile 69 78 22 31 Commonly agglomeratinge
High volatile
A 69 31 32,500d Commonly agglomeratinge
d
B 30,200 32,500 Commonly agglomeratinge
C 26,700 30,200 Commonly agglomeratinge
24,400 26,700 Agglomerating
Subbituminous
A 24,400 26,700 Nonagglomerating
B 22,100 24,400 Nonagglomerating
C 19,300 22,100 Nonagglomerating
Lignite
A 14,600 19,300 Nonagglomerating
B 14,600 Nonagglomerating
Source. Vorres, K. S. Coal. In ‘‘Encyclopedia of Chemical Technology’’ (J. Kroschwitz, Ed.), 4th ed. John Wiley and Sons, New York.
a
Dry, mineral-matter-free basis.
b
Moist, mineral-matter-free basis (i.e., contains inherent moisture)
c
If agglomerating, classify in low-volatile group of the bituminous class.
d
Coals having 69% or more fixed carbon on the dry, mineral matter-free basis are classified according to fixed carbon, regardless of gross
calorific value.
e
There may be nonagglomerating varieties in the groups of bituminous class, and there are notable exceptions in high-volatile C
bituminous group.
3.1.1.3 Subbituminous Coal (‘‘Black Lignite’’) 3.1.1.5 Anthracite With very low volatile matter,
Geologically more mature, as manifested by sulfur, and moisture, anthracite burns with a hot
the absence of woody texture, subbituminous clean flame and no smoke or soot. Stable in storage,
coal has a tendency to disintegrate and sponta- it can be handled without forming dust. Hardest and
neously ignite like lignite, but it burns more densest of all the coal ranks, anthracite is jet black
cleanly. Since the 1970s, environmental concerns and has a high luster.
have increased interest in low-sulfur subbituminous Although not part of the standard ASTM classi-
coal. fication, some coals, with 25 to 50% ash by weight
on a dry basis, are termed ‘‘impure coal.’’ The
3.1.1.4 Bituminous Coal Bituminous coal is mineral matter is introduced during deposition,
black and often appears to be banded with alter- mostly as clay or as fine-grained detrital mineral
nating layers of glossy and dull black colors. It matter (bone coal) or later by secondary mineraliza-
has a higher heating value and lower moisture and tion (mineralized coal). Other deposits in which
volatile matters than does subbituminous coal. It mineral matter predominates, such as oil shale, coaly
has little tendency to disintegrate or ignite sponta- carbonaceous shale, and bituminous shale, are also
neously. not classified as coal.
538 Coal Resources, Formation of
3.2 The International Systems for coking (subgroup) parameters into a three-code
Coal Classification system, as shown in Table VI. The first digit indicates
the class or rank (higher digits for lower ranks).
Many countries have official national organizations Coals having less than 33% volatile matter are
that develop and maintain standards for analyzing divided into classes 1 to 5, and those with higher
coal and classification schemes that are used in the volatile matter are divided into classes 6 to 9. The
coal trade and compilation of coal resource and second digit is based on the caking properties such as
reserve data. In the United Kingdom, the British the Roga Index and the FSI. The third digit defines a
Standards Organization serves this purpose, as does subgroup based on coking properties.
the ASTM in the United States.
3.2.3 International Classification (Brown Coal
3.2.1 National Coal Board Classification for and Lignite)
British Coals These types of coals are defined as those having less
Proposed in 1946 by the Department of Scientific than 23,860 kJ/kg heating values. Their classification
and Industrial Research, this classification is based employs a four-digit code. The first two digits (class
on (1) volatile matter on a dry, mineral-free basis and parameter) are for total moisture content of freshly
(2) coking power, as measured by the Gray–King mined coal on an ash-free basis. The third and fourth
assay. Classification of lower ranking coals is based digits are defined by the tar yield on a dry, ash-
primarily on the Gray–King assay. Because this free basis.
classification is applied to coals having less than
10% ash, high-ash coals need to be first cleaned by
4. CONSTITUENTS OF COAL AND
methods such as a float–sink separation.
THEIR IMPACTS
3.2.2 International Classification (Hard Coal)
The rapid increase in the international coal commerce
4.1 Organic Components in Coal
since 1945 necessitated an international system of The functional groups within coal contain primarily
coal classification. In 1956, the Coal Committee of elements C, H, O, N, and S. The significant oxygen-
the European Economic Community agreed on a containing groups found in coals are carbonyl,
system designated as the International Classification hydroxyl, carboxylic acid, and methoxy. The nitro-
of Hard Coal by Type. Among the parameters gen-containing groups include aromatic nitriles,
considered are volatile matter and gross calorific pyridines, carbazoles, quinolines, and pyrroles. The
value on a moisture- and ash-free basis. Table V sulfur-containing groups are thiols, dialkyl and aryl-
provides various national classifications and their alkyl thioethers, thiophenes, and disulfide.
relationships to the classes of the international system. The relative amounts of various functional groups
In coal classification, most countries use volatile depend on coal rank and maceral type. In vitrinites of
matter as the primary criterion, with a secondary mature coals, the principal oxygen-containing func-
criterion being coking properties. Criteria employed tional groups are phenolic and conjugated carbonyls
by some countries are as follows: as in quinones. In exinites, oxygen is present in
functional groups such as ketones (unconjugated
*
Belgium: none
carbonyls).
*
Germany and The Netherlands: appearance of
The aromaticity of macromolecules in coal in-
coal button
creases with coal rank. Calculations based on several
*
France and Italy: Free Swelling Index (FSI)
coal models indicate that the number of aromatic
*
Poland: Roga Index
carbons per cluster varies from 9 for lignite to 20 for
*
United Kingdom: Gray–King assay
low-volatile bituminous coal, and the number of
The International Organization for Standardiza- attachments per cluster varies from 3 for lignite, to 4
tion (ISO) based in Geneva, Switzerland, formed a for low-volatile bituminous coal, to 5 for subbitu-
committee to develop international standards. These minous through medium-volatile bituminous coal.
standards, which incorporate both coal rank and
coal facies parameter, replaced the UN Economic
4.2 Inorganic Constituents in Coal
Commission of Europe’s classification for hard coal.
A three–digit classification of the international To determine inorganic constituents in coal, a variety
system combines rank (class), caking (group), and of instrumental techniques are available, including
TABLE V
The International System and Corresponding National Systems of Coal Classes
Source. Vorres, K. S. Coal. In ‘‘Encyclopedia of Chemical Technology’’ (J. Kroschwitz, Ed.), 4th ed. John Wiley and Sons, New York.
a
Calculated to standard moisture content.
b
To convert to BTU/pound from kJ/g, multiply by 430.2.
540 Coal Resources, Formation of
TABLE VII
Minerals Found in Coals
pyrite, marcasite, sphalerite, barite, certain clay and grinding. Ash, produced by mineral matters,
minerals (especially kaolinite), gypsum, carbonates, needs to be disposed of in an environmentally safe
and chlorides. They commonly precipitate from manner, adding to the power generation cost. High-
solutions as they percolate through the peat or along temperature ash discharge as a molten slag involves
joints and pores in the coal. Sometimes, they are substantial loss of sensible heat. Slagging and fouling
coarsely crystalline or in the shape of nodules. on boiler and superheater walls reduce heat transfer
efficiency, increase fan power requirements, and in
4.3.1 Impact of Mineral Matter on Coal Use extreme cases block passages in boilers. Major air
Mineral matters in coal cause major problems in pollution is caused by mineral matters such as sulfur
coal-fired power plants. Hard minerals cause erosion and mercury. Minerals in coal can behave as poisons
and wear of equipment during handling, crushing, for a variety of coal conversion processes. For
542 Coal Resources, Formation of
4.3.7 Environmental Impact sphere. Sulfur oxides and sulfurous and sulfuric acids
There are many ways by which coal use can are corrosive and harmful to the health of humans,
negatively affect the environment. Coal mining animals, and plants. Acid rains have caused defor-
involves blasting, dredging, and excavation that estation and damaged buildings and monuments.
leads to air pollution by particulate matter being To comply with increasingly stringent government
discharged into the atmosphere. Waste material regulations, power plants have had to resort to a
dumped in local streams contaminates them. Coal variety of actions. They include (1) switching from
dust explosions, mining accidents, and black lung coal to alternate fuels, (2) switching from high-sulfur
disease among miners are some of the major health, to low-sulfur coal, (3) blending coals, (4) beneficiat-
safety, and hazard issues of mining. During coal ing coal to lower its sulfur content, and (5)
transportation in open railroad cars, some coal desulfurizing flue gas. Low-sulfur subbituminous
particles fly off and spread over the land. coal from eastern Wyoming has come into high
The 1990 Amendments to the Clean Air Act demand to lower sulfur emissions.
(CAAA) cited 12 elements in the Hazardous Air
Pollutant List (P, Sb, As, Be, Cd, Cr, Co, Pb, Mn, Hg, 4.3.7.2 Mercury Pollution Mercury in flue gases
Ni, and Se), several of which are present in coal. Many can be present simultaneously as elemental mercury,
of the same elements (As, Be, Cd, Cr, Pb, Hg, and Se) oxidized mercury, and/or ‘‘particulate mercury,’’ the
appear in the U.S. Environmental Protection Agency’s form of which has not been determined by current
(EPA) list of potential pollutants in drinking water. methods. No reliable methods that can control
The EPA found that most coal wastes are not mercury regardless of its form are yet available. The
hazardous as defined by the Resources Conservation leading candidate is injection of activated carbon.
and Recovery Act. However, it reported the presence Currently, U.S. power plants are exempt from having
of groundwater contamination in the vicinity of to control mercury pollution resulting from their
waste disposal sites. At one site, nearby drinking operations. With the 2002 ‘‘Clear Skies’’ initiative,
water wells were contaminated with vanadium and the U.S. government proposed to reduce mercury
selenium. The release of selenium from coal combus- emissions from power plants by approximately 70%
tion wastes has caused extensive fish kills at two sites by 2018. The EPA is also separately considering
in North Carolina and at one site in Texas. Small mercury regulations under the CAAA. Thus, some
amounts of selenium can be potentially toxic to mercury emission regulations can be expected, but
livestock. Although coals in the Powder River Basin their timing and stringency are not known.
contain less than l ppm selenium, coal mining there
4.3.7.3 Radionuclides Pollution Less known is
releases selenium in sufficient quantity to exceed the
the fact that coal contains trace quantities of radio-
permissible groundwater selenium concentration
nuclides such as uranium, polonium, thorium, and
limit for livestock drinking water.
radium. They are removed by wet scrubbers and
In power plants, mineral matters are collected as
electrostatic precipitators, and they tend to concen-
bottom or fly ash. Sometimes, they are sluiced up for
trate in the ash that is disposed. The use of ash in
environmentally sound disposal. To collect fly ash,
building materials has led to radon problems in
electrostatic precipitators, bag houses, or cyclones
residential and commercial buildings in some cases.
are employed. Roughly 20 million tons of ash, or
Based on a U.S. Department of Energy’s (DOE)
25% of all particulate matter discharged into the air
comprehensive study showing emission values at or
from all sources, is generated each year. Much of the
below the crustal values of the earth, the EPA
ash is discarded as waste, is returned to the mines, or
concluded that levels of radionuclide emissions are
is dumped in the ocean. Ash has been used to make
not harmful to the ecosystem or humans and
concrete. It is also a potential raw material to make
exempted power plants from reporting them.
aluminum. Some ashes contain valuable quantities of
gallium, gold, and silver, making them attractive
revenue sources. 5. COMPOSITIONAL ANALYSIS AND
4.3.7.1 Sulfur Pollution Sulfates in coal, consti-
PROPERTIES OF COAL
tuting approximately 15% of the sulfur, are retained
5.1 Sampling Issues
as ash. Pyritic and organically bound sulfur is
combusted to form sulfur oxides, which in the Assessment of coal resources and their efficient use
absence of emission controls escape to the atmo- require knowing the coal properties in sufficient
544 Coal Resources, Formation of
detail. The sample must be representative and large decisions, and (3) evaluate the need for beneficiation
enough for all planned testing procedures and their and the like.
replications. To ensure integrity of the analyses, the
sample must be properly handled. The most widely
5.3 Ultimate Analysis (ASTM D3176)
accepted authority on sampling methods is U.S.
Geological Survey (USGS) bulletin 1111-B. The This is an elemental analysis limited to carbon,
procedures for taking a sample, reducing the particle hydrogen, sulfur, nitrogen, and oxygen. Carbon and
size of the sample, and separating a smaller portion hydrogen are measured by burning the coal and collec-
for later analysis are in ASTM procedures D2234, ting the resulting carbon dioxide and water (D3178).
D2013, and BS 1017. Because of increasingly stringent environmental
restrictions on SOx emissions, particular interest has
developed in the total sulfur part of the ultimate
5.2 Proximate Analysis (ASTM D3172)
analysis. Sulfur determination (the Eschka method)
In this analysis, a coal sample is gently heated at (D3177) is based on conversion of all types of sulfur
1051C in an inert atmosphere, and loss of weight is in the coal (e.g., pyrite, sulfates, sulfides, organically
attributed to ‘‘moisture’’ in the coal (D3173). bound sulfur) to sodium sulfate. A coal sample is
However, this loss is also due to the evolution of ignited with magnesium oxide and sodium carbo-
gaseous matter trapped in coal. nate. The resulting sodium sulfate is then converted
When loss of weight at 1051C stabilizes, coal is to water-insoluble barium sulfate, which is filtered,
further heated at 7501C, again under inert atmo- dried, and weighed. There are two additional sulfur
sphere. The loss in weight under these conditions is determination methods. In the bomb-washing meth-
assigned to volatile matter consisting of gases, od, sulfur is precipitated as barium sulfate from the
organic oil, and tar, which normally is not further oxygen bomb calorimeter washings. In the high-
analyzed (D3175). temperature combustion method, the sample is
In the last step of proximate analysis, the burned in a tube furnace and sulfur oxides are
remaining char is burned off, leaving behind ash collected and quantified by titration. Forms of sulfur
(D3175, D388). By subtraction of moisture, volatile are determined by the D2492 method.
matter, and ash masses from the original sample Nitrogen is usually determined by first liberating
mass, the fixed carbon mass is obtained (D3174). elemental nitrogen from the sample by the digestion
Although not part of the standard proximate method (Kjeldahl–Gunning), converting the elemen-
analysis, low-temperature oxidation of fixed carbon tal nitrogen catalytically to ammonia, and (finally)
(and organic combustible material) at 120 to 1501C titrating the resulting ammonia with acid (D3179).
using oxygen-rich plasma is employed to ensure that There are no relatively simple analytical methods
the original minerals remain essentially unaltered. for oxygen determination. The most commonly used
The resulting ash is then subjected to a wide range of method requires a neutron source such as a nuclear
analyses such as X-ray diffraction. reactor. Neutrons are bombarded on the sample to
Proximate analysis is easy and quick to per- convert oxygen into nitrogen-16, a very unstable
form and is of great practical value in making isotope of nitrogen. Nitrogen-16 decays rapidly by
empirical predictions of the coal combustion beha- emitting beta and gamma rays that are counted.
vior. The volatile matter/fixed carbon ratio pre- Because most laboratories do not have access to a
dicts how the coal will burn, that is, the flame neutron source, oxygen content is calculated by
characteristics and ease of ignition. Because high- subtracting the masses of other elements from the
rank coals contain less volatile matter than do mass of the sample (D3176).
low-rank coals, the former are more difficult to Chorine may also be included in the ultimate
ignite and have a shorter flame than do the analysis. It is determined by either the bomb calori-
latter. This makes low-rank coals more suited for meter or the Eschka method (D2361, D4208).
cyclone burners in which rapid intense combus-
tion leads to maximum carbon use and mini-
5.4 Heating Value or Calorific Value
mum smoke emissions. Ash data generated by
the proximate analysis allow engineers to predict The heating value of coal is measured by an adiabatic
the frequency and quantity of ash disposal. The calorimeter (D2015). The procedure gives the ‘‘gross
proximate analysis data can be used to (1) establish heating value.’’ The ‘‘net heating value’’ is based on
the ranks of coals, (2) aid in buying and selling the assumption that all of the water resulting from
Coal Resources, Formation of 545
combustion remains in vapor form (D407). The ranges from 1 10–3 to 2 10–3 cm2/s. At 8001C,
heating value of a coal determines the amount of coal these ranges increase to 1 to 2 W/(cm K) and (1–
a power plant needs. 5) 10–2 cm2/s, respectively. The increases are due to
radiation across pores and cracks at higher tempera-
tures. The thermal conductivity of coal is influenced
5.5 Other Chemical Analysis Methods by moisture content, the chemical and physical
Since the 1970s, environmental concerns have led to nature of the coal during reaction, and convective
increasingly restrictive levels of permissible emissions of and radiant heat transfer within the particle. Below
some of the trace elements in coal. A procedure has been 4001C, thermal conductivity of coal has been
adopted by USGS, outlined in Table VIII, to analyze measured in the range of (5–8) 10–4 cal/(cm s K).
trace mineral matters. MAS, ICP/AES, and ICP/MS The specific heat of coal is estimated to be in the
analyses are performed on ash produced at 5251C. range of 1 to 2 J/(g K) at 201C to 0.4 J/(g K) at
8001C. The specific heat is affected by the oxidation
of the coal.
5.6 Physical, Mechanical, and Other
Properties of Coal 5.6.2 Mechanical and Other Properties of Coal
These properties have a much more direct bearing on
5.6.1 Physical Properties the operations of power plants or other coal
Most of the physical properties of coal discussed here processing units.
depend on the coal orientation and history of the
piece of coal. Properties may vary from one coal
piece to another coming from the same seam or mine. 5.6.2.1 Density The true density of coal, which
The specific electrical conductivity of dry coal is in increases with carbon content or rank, is most
the semiconductor zone, 1010 to 1014 ohm.cm, accurately obtained by measuring helium displace-
increasing with rank and temperature. Moisture in ment. Values of 1.4 to 1.6 g/ml have been reported
coal also enhances conductivity. for greater than 85% carbon coal. The bulk density
The dielectric constant also varies with rank, with (D291), typically about 0.8 g/ml, depends on the
a minimum at about 88% carbon. Polar groups in void fraction. It affects coal’s storage, hauling
low-rank coal and higher electrical conductivity in requirements, and sizing for its conveyance.
high-rank coal contribute to their dielectric constants.
Magnetic susceptibility measurements indicate 5.6.2.2 Porosity Fine porosity of coal restricts the
that the organic part of coal is diamagnetic, with access of oxygen to the internal structure. This
traces of paramagnetic behavior resulting from the retards combustion rates and depresses burnout in
presence of free radicals or unpaired electrons. power plant boilers. Porosity is the result of the
Thermal conductivity and diffusivity of coal random arrangement of organic macromolecules
depend on pore and crack structure. Conductivity within coal. Total porosity of coal ranges from
ranges from 0.23 to 0.35 W/(cm K), and diffusivity 0.02 to 0.2%, with no apparent trends with carbon
TABLE VIII
Methods Employed by U.S. Geological Survey
Source. Stanton, R. W., and Finkelman, R. B. Coal quality. In ‘‘Energy Technology and the Environment’’ (A. Bisio and S. Boots, Eds.),
Vol. 1. John Wiley and Sons, New York.
546 Coal Resources, Formation of
content. Porosity is often subdivided into macropore coal and coal ash (D2795). Oxides of Si, Al, Fe, Ti,
(d ¼ 300A1), intermediate pores (d ¼ 12–300A1), and Ca, Mg, Na, K, and P are measured. Phosphorus
micropores (do12A1). Micropore volume appears to oxide has importance in the coke used in steelmaking
be low for low-rank coals and high for coals with processes. Two other ASTM methods for ash
carbon contents between 74 and 80% and greater composition based on atomic absorption are
than 90%. This is one reason why low-rank coals D3682 and D3683.
burn more easily. The ASTM ash analysis is widely used to predict
slagging and fouling. However, the way by which ash
5.6.2.3 Equilibrium Moisture Content Equili- is produced in the boiler is considerably different
brium or inherent moisture (D1412) is the moisture- from the way by which it is produced by the ASTM
holding capacity of coal at 301C in an atmosphere of procedure.
97% relative humidity. The organic reflux moisture
test (ISO R348) has been used to determine the 5.6.2.6 Free Swelling Index This index is deter-
residual moisture in the prepared sample. mined by quickly heating a coal in a nonrestraining
Total moisture or ‘‘as received’’ moisture is crucible (D720). The values are assigned from 0 to 9,
determined by a two-step procedure (D3302, with noncaking, nonswelling coals being assigned the
D3173) involving surface moisture measurement, value 0. The higher the FSI value, the greater the
reduction of gross sample, and determination of swelling property.
residual moisture. The FSI is not recommended for predicting coal
Higher total moisture leads to a lower heating behavior in a coke oven. The index is not deemed
value of the coal and lower flame temperature, and it important for pulverized coal-fired boilers. Some
lowers the plant efficiency. It also causes higher units (e.g., retort stokers) form coke in their normal
haulage costs per million BTUs and causes the power operation. For certain coals, the FSI values reduce
plant to purchase more coal. A number of processes while in storage, indicating coal deterioration and
have been patented to dry coal at the mine site before partial oxidation.
its shipment, but none of them has been commercia- Gray–King and ROGA tests, employed in Europe,
lized, due partly to excessive capital requirements. serve a function similar to that of the FSI test in the
United States.
5.6.2.4 Ash Fusibility (D1857) The ash fusibility
5.6.2.7 Washability A large part of mined coal is
test provides the ‘‘melting point’’ of ash. Although
cleaned to reduce its mineral contents before it is sold.
empirical, the procedure requires strict adherence to
Washability tests are performed to predict the
ensure reproducible results. Ash fusibility data are
effectiveness of coal cleaning. This is a float–sink test
critical to power plants because they are used to
in heavy liquids that generates various gravity
assess operational difficulties encountered in using
samples that are analyzed for their heating values,
the coal (e.g., slagging, loss of heat transfer rate,
ash and sulfur contents, and so on. Sometimes, efforts
frequency of boiler shutdown).
to lower ash content by washing are uneconomical.
Ash fusibility under oxidizing conditions tends to
be higher than that under reducing or neutral 5.6.2.8 Strength and Hardness These are impor-
conditions. In the procedure, the condition of the tant coal properties in mine stability and comminution.
starting cone of ash is reported as it undergoes Various tests are available to estimate coal’s compres-
several physical changes as temperature increases. sive and shearing strengths and hardness. On the Mohs
These include (1) initial (cone tip) deformation, (2) hardness scale, lignites range from 1 to 3, bituminous
softening (height/base ¼ 1.0), (3) hemispherical shape from 2.5 to 3.0, and anthracite from 3 to 4.
formation (height/base ¼ 0.5), and (4) fluid (puddle)
formation. 5.6.2.9 Grindability The Hardgrove Grindability
A related criterion, namely T250, the temperature Index (HGI) method is used to determine the relative
at which slag has a viscosity of 250 poise, depends on ease of coal pulverization in comparison with a series
base/acid and silica/alumina ratios. The lower the of standard coals (D409). The data can be used to
base/acid ratio and the higher the silica/alumina determine power and sizing of grinding equipment
ratio, the higher the T250 of the ash. and its expected wear rate. For low-rank coals,
subbituminous and lignite, the HGI is found to
5.6.2.5 Ash Analysis This term is applied to the depend on coal moisture, which decreases as grind-
analysis of the major elements commonly found in ing proceeds.
Coal Resources, Formation of 547
5.6.2.10 Friability The breaking of coal into dust soften and reach a fluid state on heating during
during handling, transporting, and pulverizing causes simulated coking stages.
explosion hazards, control of which requires special
sensors and control equipment. The most friable coal 5.6.2.15 Audibert Arni Dilatometer/Sole Heated
contains approximately 90% carbon. This point also Oven Determination The dilatometer measures the
corresponds to the maximum HGI and minimum contraction and expansion of coal during carboniza-
Vickers microhardness values. Charcoal-like fusain tion (ISO R349). The corresponding ASTM test is
tends to be soft and friable. called Sole Heated Oven Determination (D2014).
These data are important in predicting whether coke
5.6.2.11 Slaking Slaking causes coal disintegra-
can be removed during production without dama-
tion during storage due to coal drying. This is an
ging the equipment.
important phenomenon for lignite and subbitumi-
nous coals but not for high-rank coals, as lignite and
subbituminous coals have high moisture content. 5.6.2.16 Other ASTM Tests for Coal Table X
lists other ASTM tests that are relevant for coal
5.6.2.12 Spontaneous Ignition Temperature of a characterization.
coal pile builds up slowly if it is not turned over. This
triggers spontaneous ignition, which is a serious 6. FRONTIERS OF COAL RESEARCH
hazard requiring monitoring and preventive measures.
Coal particle size distribution and its oxygen content 6.1 Advanced Instrumental Methods
have a great influence on spontaneous ignition. Other
of Measurements
important factors include pyrite content, oxygen
circulation in the pile, moisture, and rank of coal. The advanced measurements listed here overcome
some of the limitations of the standard methods by
5.6.2.13 Coal Petrography/Vitrite Reflectance providing more detailed and accurate characteriza-
Test Extensive use has been made of vitrite tion of specific coal. These methods can be grouped
reflectance measurements (D2797, D2798) and into (1) composition, (2) combustion characteristics,
reflectograms along with the physical microscopic and (3) tests for improved correlations.
components (D2797, D2799) to assess coking coals.
Vitrinite reflectance limits data for various coal rank 6.1.1 Composition
classes are given in Table IX. Table XI lists some of the advanced methods
that have been used with some success, but much
5.6.2.14 Gieseler Plasticity Plasticity measure- work still needs to be done to ensure their reliability
ment (D2639) gives the coal’s tendency to fuse or and to assess the limits of their applicability. This is a
TABLE IX TABLE X
Vitrinite Reflectance Limits Taken in Oil versus Coal Rank Other ASTM Tests for Coal
Classes
ASTM Plant
Coal rank Maximum reflectance (percentage) Test method Parameters performance
TABLE XI
Advanced Coal Composition Measurements
Method Parameters
Sources. Mehta, A. (Project Manager). (1986). ‘‘Effects of Coal Quality on Power Plant Performance and Costs,’’ Vol. 3: ‘‘Review of Coal
Quality and Performance Diagnostics’’ (EPRI CS-4283). Electric Power Research Institute, Palo Alto, CA; Stanton,
R. W., and Finkelman, R. B. Coal quality. In ‘‘Energy Technology and the Environment’’ (A. Bisio and S. Boots, Eds.), Vol. 1. John
Wiley and Sons, New York.
dynamic area because new methods and applications instrumentation and highly skilled personnel to
are being developed continually. The methods operate.
are used to analyze microstructure, trace elements,
organic material structure, and mineral matter 6.1.2 Combustion Characteristics
composition and structure. They make it possible Although proximate analysis provides key coal data,
to characterize coal with more details and it provides no data on devolatalization and combus-
better accuracy. However, they require expensive tion characteristics. These data are provided by
Coal Resources, Formation of 549
thermogravimetric analyses. Four important meth- mineral carbonation for its sequestration. The United
ods needed to design boilers and assess performance States has not signed the International Climate
of existing boilers are the following: Change agreement (Kyoto Protocol). Nevertheless,
its government has undertaken a 10-year demonstra-
*
Burning profile (Babcock & Wilcox)
tion project, ‘‘FutureGen,’’ to create a coal-based
*
Volatile release profile (Babcock & Wilcox)
zero-emission power plant.
*
Thermogravimetric analysis of char (Combustion
Engineering)
*
Drop tube furnace system (Combustion 6.4 Computational Methods
Engineering)
In support of experimental research programs, much
work continues to be carried out in coal-related
6.1.3 Tests for Improved Correlations
Procedures have been developed to improve the computational methods, including the following:
correlation of coal properties with coal’s perfor- *
Constitutive laws of multiphase flow
mance in power plant systems. These include analysis *
Process simulation and modeling (e.g., black
of physical separation of pulverized coal (pulverizer liquor gasification, circulating and spouted beds,
wear and slagging), analysis of alkalies in coal ash spontaneous combustion, oxidative pyrolysis,
(fouling), sintering strength of fly ash (fouling), free coal–biomass co-firing, char gasification)
quartz index (pulverizer wear), and continuous coal *
Computational fluid dynamics in support of
grindability (pulverizer capacity). process design and optimization
*
Three-dimensional modeling of subsurface
6.2 Active Areas of Coal Research conditions (e.g., simulation of coal bed for
methane recovery)
Active coal research areas worldwide include the *
Engineering design models (e.g., hydroclone,
following: circulating fluidized bed, transport reactors)
*
Advances in pollution controls for NOx, SOx,
*
Modeling for pollution control (e.g., NOx
hazardous air pollutants (HAPs), and particulate formation)
matter
*
Development of economically viable mercury
emissions control technologies SEE ALSO THE
*
Advances in coal liquefaction and gasification FOLLOWING ARTICLES
*
Advances in power generation systems
*
Studies in greenhouse gases sequestration Clean Coal Technology Coal, Chemical and
*
Advanced studies to correlate physical structure, Physical Properties Coal Conversion Coal, Fuel
petrography, and properties and Non-Fuel Uses Coal Industry, Energy Policy in
Coal Industry, History of Coal Mine Reclamation
*
Advanced processing studies (e.g., management of
coal use by-products, coal chemicals, pyrolysis, and Remediation Coal Mining, Design and
and coal–oil–water interaction) Methods of Coal Mining in Appalachia, History
*
Studies of coal gasification fundamentals of Coal Preparation Coal Storage and Transporta-
tion Markets for Coal Oil and Natural Gal
Liquids: Global Magnitude and Distribution Peat
6.3 Carbon Sequestration Resources
Major activities are under way worldwide to find
economically viable means of sequestration of Further Reading
carbon dioxide, a major greenhouse gas. Although
Damberger, H. H. (1992). Coal. In ‘‘Encyclopedia of Science and
its emissions from fossil fuel power plants are only Technology,’’ 7th ed. McGraw–Hill, New York. [The following
approximately 39% of its total emissions in the subsections of this article have been excerpted with permission
United States (32% from coal-fired plants), seques- from McGraw–Hill: 1.2 (Influence of Geology) and 2.1
tration of these power plant emissions is the focus of (Petrology, Petrography, and Lithotypes).]
research and development and analysis because they Mehta, A. (Project Manager) (1986). ‘‘Effects of Coal Quality on
Power Plant Performance and Costs,’’ Vol. 3: ‘‘Review of Coal
are localized. CO2 use for enhanced resource Quality and Performance Diagnostics’’ (EPRI CS-4283). Elec-
recovery is being considered along with the use of tric Power Research Institute, Palo Alto, CA. [The following
underground saline formations, possibly oceans, and subsections of this article have been excerpted with permission
550 Coal Resources, Formation of
from EPRI: 5.6.2.4 (Ash Fusibility [D1857]), 5.6.2.16 (Other of Age), 2.2.1 (Components of Plants), 3.1.1 (Descriptions
ASTM Tests for Coal), and 6.1.2 (Combustion Characteris- of Coals by Their Ranks), 4.2 (Inorganic Constituents in Coal),
tics).] 4.3 (Minerals Mixed with Coal), 5.2 (Proximate
Mehta, A. (Project Manager) (1986). ‘‘Effects of Coal Quality Analysis [ASTM D3172]), and 5.3 (Ultimate Analysis [ASTM
on Power Plant Performance and Costs,’’ Vol. 4: ‘‘Review D3176]).]
of Coal Science Fundamentals’’ (EPRI CS-283). Electric Simon, J. A. (1981). Coal. In ‘‘Encyclopedia of Energy,’’ 2nd ed.
Power Research Institute, Palo Alto, CA. [The following McGraw–Hill, New York. [The following subsections of this
subsections of this article have been excerpted with permission article have been excerpted with permission from McGraw–
from EPRI: 2.1 (Petrology, Petrography, and Lithotypes), 2.2.3 Hill: 1.2 (Influence of Geology) and 4.3 (Minerals Mixed with
(Geochemical Phase [coalification]), and 4.3 (Minerals Mixed Coal).]
with Coal).] Stanton, R. W., and Finkelman, R. B. (1995). Coal quality. In
Perry, M. B. (Conference Chairman), and Ekmann, J. M. (Program ‘‘Energy Technology and the Environment’’ (A. Bisio and S.
Chairman). (2001). ‘‘Proceedings of the 11th International Boots, Eds.), vol. 1. John Wiley, New York. [The following
Conference on Coal Science.’’ San Francisco, CA. subsections of this article have been excerpted with permission
Savage, K. I. (1977). Coal: Properties and Statistics. In ‘‘Energy from John Wiley and Sons: 4.3.1 (Impact of Mineral Matter on
Technology Handbook’’ (D. M. Considine, Ed.). McGraw–Hill, Coal Use) and 4.3.7 (Environmental Impact).]
New York. [The following subsections of this article have been Vorres, K. S. (1992). Coal. In ‘‘Encyclopedia of Chemical
excerpted with permission from McGraw–Hill: 1.2 (Influence Technology’’ (J. Kroschwitz, Ed.), 4th ed. John Wiley, New
of Geology), 5.1 (Sampling Issues), 5.6.2.3 (Equilibrium York. [The following subsections of this article have been
Moisture Content), and 5.6.2.6 (Free Swelling Index).] excerpted with permission from John Wiley and Sons: 1.2
Schobert, H. H. (1987). ‘‘Coal: The Energy Source of the Past and (Influence of Geology), 2.1 (Petrology, Petrography, and Litho-
Future.’’ American Chemical Society, Columbus, OH. [The types), 2.3.1 (Bonding within a Macromolecule), 3.2 (The
following subsections of this article have been excerpted with International Systems for Coal Classification), and 5.6.1
permission from the American Chemical Society: 1.1 (Influence (Physical Properties).]
Coal Storage and Transportation
JAMES M. EKMANN and PATRICK H. LE
U.S. Department of Energy
Pittsburgh, Pennsylvania, United States
railcars are in service: the solid bottom gondola and 1.2 Transport by Barge and
the hopper car. Ship—Water Transport
A rotary dump system can handle gondola and
hopper cars, whereas the undertrack pit can handle The U.S. Great Lakes and inland waterway systems
only hopper cars with bottom-opening doors. are a very valuable asset for moving coal and other
The selection of the unloading method requires an commodities, as shown in Table II. In addition, the
evaluation of several trade-offs, such as the following: U.S. river network is connected to the Gulf Intra-
(1) gondola cars are the least expensive, need minimal coastal Waterway, allowing highly efficient barge and
maintenance, and can be completely unloaded with lake carrier services. The Great Lakes facilitate
minimum coal hang-up but do require an expensive shipments to the export market but have seasonal
rotary dumper with the capability to accurately limitations. The inland waterway system is charac-
position the cars; and (2) hoppers (or bottom-dump terized by open top barges and the size of the tow.
cars) are more expensive and require more main- The tow is a function of the width and depth of the
tenance than the gondolas, due to the gate mechanism, respective river and the configurations of its locks
but they can be unloaded more quickly on a relatively and dams.
inexpensive track hopper. In addition, hopper cars are
more difficult to unload under freezing conditions. 1.2.1 Barge Transportation—Loading
In addition to loading and unloading the coal, the and Unloading
issue of windage losses is frequently overlooked. Barge transportation offers a lower cost alternative
Windage losses, i.e., coal blown out by wind from to railways for the majority of power plants and coke
open-top cars, cause economic loss and environ- ovens that are located on inland waterways. In this
mental concern. One solution is a lid system, such as waterway system, 25,000 miles of navigable rivers,
a flip-top lid, to control windblown loss, reduce dust, lakes, and coastlines and a system of 192 locks and
and prevent additional moisture from penetrating the dams are ideal means for moving coal over long
coal, thus reducing the potential for freezing. Frozen distances. Consequently, barge transportation could
coal is a troublesome problem related to unloading be considered competitive because it requires less
coal because the exposed top surface, the size plates fuel, the infrastructure is already in place or needs
of the car, and the surfaces of the sloped hoppers only to be updated, and barges carry large loads. A
could be frozen. Several methods to thaw the cars are jumbo barge can carry an amount of coal equivalent
available, ranging from bonfires and oil-burning pans to 15 railcars or 58 truck loads.
to sophisticated sheds. Treating the car sides and In addition, barge transportation is a good
bottoms of the cars with oil can minimize freezing example of an intermodal carrier. With mines near
and ease the coal unloading process. a navigable waterway, several combinations are
In terms of loading systems, three types of possible: (1) for short distances, trucks or conveyors
trackage are commonly used for unit trains. These
are (1) the loop or balloon track, (2) the single track TABLE II
that is situated above and below the loading station,
U.S. Riverways
and (3) the parallel tracks that allow loading on both
tracks. The loading system consists of locomotive, Characteristics
car haul, tripper conveyor, and hydraulic ram. The
locomotive moves the cars in one pass under the * River network with portion highly navigable (depth of 9 ft or
loading station. The car-haul system moves two more)
* Connects with the Gulf Intracoastal Waterway
strings of cars in opposite directions on parallel * Spans the country from Pennsylvania and West Virginia to the
tracks under two loading stations. The tripper east and Minnesota and Wisconsin to the north
conveyor system moves two-way loading chutes over * Alabama and Florida on the Gulf Coast to the southeast
two stationary parallel strings of cars. The hydraulic * Louisiana and Texas on the Gulf coast to the southwest
ram system moves the cars into loading position, * Great Lakes allows heavy freight distribution
after the locomotive has been removed. — From Illinois, Wisconsin, and Minnesota to the west and to
Ohio, Pennsylvania, and New York to the east
In terms of unloading systems, there are two — Access for exports to Canada through the St. Lawrence
major types: the rotary dump and the undertrack pit. Seaway to overseas customers (Europe and Mediterranean
The rotary dump system handles the rollover type of region)
car (hopper or gondola design) and the undertrack
pit handles bottom-up cars. Source. Adapted from Lema (1990).
554 Coal Storage and Transportation
are used to transport coal to a barge terminal (for 5. The traveling-tripper system is the method used
instance, up to 10 miles for conveyors and 30 or to stockpile coal at large power plants; it is applied to
more miles for trucks, away from the mine); and (2) load barges. The barges are held stationary by a
for longer distances, railroads can be used to barge-mooring system. The traveling tripper (as a
transport coal to the river terminal (for instance, movable loading point), with a reversible traverse
over 100 miles away from the mine). shuttle belt and telescoping chutes, discharges coal in
However, the economics of barge transportation is the barges. This barge loading method can load eight
affected by the circuitry of the waterways, their barges at a time, four on each side.
nature, the weather, and market conditions. Barge
Regarding barge unloading, coal operators usually
size is subject to the size, number, and condition of
receive barge sizes and types that will accommodate
the locks. Low water levels and frozen rivers can halt
their barge unloading systems. Earlier, barge unload-
shipment. In shipment, coal competes with other
ing was performed using whirler-type cranes with
commodities to be transported and backhaul is a
clamshell buckets. Most barge coal is still unloaded
good solution to reduce coal rates.
by clamshell buckets that are mounted on either
To increase productivity, barge size has increased
stationary straight-line-type towers or on moving
from a standard 1000-ton capacity to the jumbo-
tower barge unloaders; in the latter case, the tower is
sized barge (9 ft draft) capable of carrying 1400 to
mounted on rails, it straddles the dock belt, and the
1800 tons. Usually, the jumbo-sized barge would
barges remain stationary.
carry 1800 tons, which enables the tow to move
approximately 72,000 tons of coal. This is compar-
able to the loading of five unit trains. Towboats have 1.2.2 Ocean Transport
pushed up to 48 jumbo barges on the Lower The U.S. export coal market has primarily been
Mississippi River where there are no locks, but 40 exporting coking coal for use in steel production
barges are more common. In other instances, 15 overseas, but the market for steam coal has devel-
jumbo barges (as maximum) are more common for a oped at a fast rate. Consequently, modern vessels and
single lock, such as the 1200 ft lock on the Ohio modern or upgraded docking facilities (e.g., larger
River. and faster processing capabilities) are needed.
In the United States, five categories of loading In addition, several possible schemes to transport
plants are used, depending on the loading require- steam coal from the mine to overseas markets have
ments. These categories are as follows: been considered. These schemes are based on
coupling ocean transport with pipeline or railroad
1. The simple dock, which is used only to a small transport and moving the coal in either dry or slurry
extent, mostly by small operators and for temporary form. The first scheme involves transportation from
facilities. It depends on a relatively stable water level. the mine to the preparation plant (size reduction,
The trucks dump directly into the barges or into a storage, and pumping), to the pipeline, and to the
fixed chute. ship, and from the ship to the pump station/pipeline
2. The stationary-chute system has declined in and to the dewatering plant/thermal drying and to
popularity; it is relatively economical and has the the end-use. The second scheme is similar to the first
same disadvantages as the simple dock system (sensi- scheme, except that the coal is dewaterized before
tive to water level fluctuations). being loaded into the ship and on the other shore the
3. The elevating-boom system is commonly used; coal is turned into slurry again before being shipped
it is very flexible and adjustable to variations in water through a pipeline. In the third scheme, the coal is
levels. It can handle high capacities. The common reduced in size and washed before it is loaded on the
features of this system found in most plants are the railway. The railroad brings the coal to a maritime
hinged boom, the pantograph trim chute, and the terminal, where on the other shore it is again
extensive dock area. transported by rail to a grinding plant and to the
4. The spar-barge system is suitable for rivers with end-use destination.
fluctuating levels. It has two essential components: Coal is exported from the United States through
the floating spar barge and the shuttle. The floating several major coal loading facilities located in
spar-barge (as floating dock) contains the loading Baltimore (Maryland), Philadelphia (Pennsylvania),
boom and the barge-positioning equipment. The Mobile (Alabama), Jersey City (New Jersey), Charles-
shuttle or retracting loading belt leads to the spar- ton (South Carolina), New Orleans (Louisiana),
barge. Newport News (Virginia), and Norfolk (Virginia).
Coal Storage and Transportation 555
The last two facilities have undergone extensive liquid pipelines are applicable to solid-carrying
modernization and new construction to satisfy the pipelines, only a few coal pipelines have been built:
increasing demands for export coal. Coal is now two in the United States (108 and 272 miles long)
shipped in modern vessels, such as Panamax vessels and one in the former Soviet Union (38 miles long).
(60,000 dwt [deadweight tonnage]) and Capesize Few coal pipelines have been built because several
carriers (200,000 dwt or greater). barriers exist, including long distances, high volumes
required, inadequate rail service, and long-term
commitment (20 years).
1.3 Truck Transport
Slurry pipe technology is not new:
For short distances, trucks play an important role in
transporting the coal (or coke to foundries) to a stop 1. There are conventional coal water slurries
station before the coal is shipped to its final (CWS) and coal water fuels (CWF). In the CWS
destination or to mine-mouth power plants. Due to case, pipelines ship coal at a ratio of approximately
routing flexibility and low capital investments, trucks 50:50 coal and water by weight in a turbulent flow.
can economically move coal approximately In addition to water, other types of fluids can be
100 miles (at most) one way in relatively small considered vehicle fluids, such as oil, liquid carbon
batches. Trucks are used predominantly for short- dioxide, or methanol. The carbon dioxide can be
distance hauls of 50 miles or less. The size of the used for enhanced oil recovery, after separation from
payload varies according to state gross vehicle weight coal. In the CWF case, fuels are a mixture of coal and
limitations; for instance, the payload is 20 to 40 tons water, flowing in a laminar regime, and dry coal
per truck east of the Mississippi River and 40 to weight varies from 60 to 75% depending on the coal
60 tons per truck west of the Mississippi River. type and on the stabilizing additives.
Basically, there are two types of off-highway trucks: 2. In the slurry preparation process, coal slurry
the rear-dump truck and the bottom-dump truck. In a suitable for transportation is produced by perform-
conventional rear-dump truck, the body is mounted on ing size reduction (crushing and grinding) and
the chassis and lifted up by means of a hydraulic hoist chemically treating (corrosion inhibition and thin-
system. The bottom-dump truck, as indicated by its ning) it, if needed, to improve the final characteristics
name, dumps material through the bottom and is not of the product. Two parameters are important for
well suited to hilly or rough-terrain operation. controlling the slurry: density and the product top
Rear-dump trucks have been tested in sizes up to size. The slurry concentration affects the friction loss
350 tons; however, 200 tons is considered a large of the pipeline and the critical velocity of the flow.
truck and 100 tons is viewed as a standard off- The top size is directly related to potential pipeline
highway truck. Typically, rear-dump trucks carry plugs caused by large settling particles (safety screens
approximately 25 to 50 tons. Bottom-dump trucks are used as countermeasures).
are normally in the range of 35 to 180 tons. 3. To be suitable for transportation, a compromise
Trucks of up to 85 tons are usually equipped with is made between pumpability and dewatering re-
diesel engines having power shift transmission and quirements. If particle size is fine, pumpability is
torque converters. In the range of 85 to 100 tons, the enhanced, but if particle size is too coarse, dewater-
diesel engine of these trucks could transmit power to ing at the destination is affected because the slurry
the drive wheels by either mechanical or electrical must be pumped at higher flow rates to maintain a
means. At 100 tons and over, the diesel engine drives suspension.
a generator that produces electricity for electric 4. To inhibit corrosion in the pipeline, chemical
traction motors that move the wheels. agents, such as sodium dichromate, are added to
form a film on the wall, or oxygen scavengers, such
as sodium sulfite, are added to prevent attack by
1.4 Transport by Slurry Pipelines
dissolved oxygen.
Pipelines carrying solids such as coal, iron concen- 5. A test loop is normally included in the system as
trate, and copper concentrate follow the same the final control. All slurry must pass through it before
process: (1) the solids are ground to a fine size, (2) entering the pipeline. Any increase above the specified
mixed with a liquid vehicle such as water, and (3) limits of pressure drop would indicate the formation
pumped through a buried steel pipeline. of a bed of fast-settling particles in the test loop.
Although advantages related to economics, the 6. For dewatering slurries, continuous vacuum
environment, and simplicity of operation for gas and filters and centrifuges are used. For the first U.S.
556 Coal Storage and Transportation
pipeline, dewatering was performed by thickening, rail–water transport is competitive, assuming that
vacuum filtration, and thermal drying. existing tracks are utilized.
7. Although the water requirements for coal slurry 2. The U.S. Department of the Interior conducted
pipelines are significant, they normally are at a study comparing costs based on the premise that 25
approximately 15% of the required power plant million tons of coal slurry was transported for 1000
makeup water; therefore, the slurry water is com- miles. It led to the following generalizations:
monly used as part of the makeup water in
Water transport is almost always the most
conventional practice.
inexpensive way to move coal; it usually involves
8. Some advanced transport modes have been
coupling it with another transport mode depending
considered based on pneumatic and container con-
on the distance between mine and riverway—rail,
cepts, e.g., capsules in pipelines. The capsules may be
pipeline, and trucks are possible.
rigid (cylinders or spheres of the cast material),
Truck transport is not competitive with rail or
semirigid (flexible container with the material in-
pipeline for high tonnage and long distances (e.g.,
side), or paste plugs (material mixed with a liquid not
more than 50 miles and 1 million tons per year).
miscible with the carrier liquid). These concepts have
Trucks are the preferable mode for short distances
not yet been developed for commercial application.
from mine mouth to a terminal (preparation plant or
en route to a final destination).
1.4.1 Commercial Projects of Coal
Slurry Pipelines 3. A U.S. Department of Energy-sponsored study
Consolidation Coal Company built the first major by Argonne National Laboratory, involving Williams
U.S. coal slurry pipeline from Cadiz, Ohio, to Technologies Inc., identified the potential for U.S.
Cleveland, Ohio. This 108-mile pipeline was success- coal exports to the Asian Pacific Basin. High inland
ful but was mothballed in 1963 after 6 years of transportation costs combined with a relatively low
operation. The second successful U.S. pipeline is the heating value of western coal had resulted in coal
273-mile-long Black Mesa pipeline built in 1970 in prices exceeding world market levels. In a portion of
Arizona. The pipeline has a 5 million ton/year this study, Williams considered how to lower the
capacity and transports pumped coal slurry (47% transportation costs of western coal to the Pacific
solids by weight) through an 18 in. pipe. The Black Basin. The first target is a price of less than $2.05 per
Mesa pipeline is available 99% of the time. After MBtu and the second target is $2.9 to $3.25
being ‘‘dewatered’’ by centrifuges, the coal cake from per MBtu. Four U.S. coal regions/states considered
the pipeline is used as fuel in two 750 MW power as sources were Four Corners, Utah, Powder River
plants in southern Nevada. Basin, and Alaska. For Four Corners and Utah, the
coal water slurry systems and the coal water fuel
1.5 Economics of Coal systems would go to Stockton, California, and Los
Transport Alternatives Angeles, California; for Powder River Basin, pipeline
delivery will go to Puget Sound. For Alaska, two
Cost comparisons of coal transport alternatives on
routes were evaluated: (1) from Nenana to Cook
identical bases are not available. Assuming the best
Inlet and (2) from Beluga to Tyonek Dock. The
conditions is not appropriate because transport costs
are strongly influenced by several factors, such as findings of the study indicated that Four Corners and
Utah, being close to existing ports, provide opportu-
terrain conditions, sunk cost elements (such as
nities for both conventional coal slurries and coal–
existing railway infrastructure), and inflation.
water fuels, whereas Powder River Basin offers
In the past, several studies have provided some
potential for coal–water fuels.
trends:
1. A study performed by Ebasco has indicated that In summary, railroads and slurry pipelines are
pipelines are most economical for long-distance and usually the choices for high tonnage and long
high-quantity applications. In this study, the different distances. Normally, railroad distances are longer
forms of transporting coal energy have been con- than pipeline distances; railroads outperform pipe-
sidered, e.g., by rail, pipeline, rail–barge combina- lines when no track must be built, but if new
tion, and extra high voltage power lines, the trackage is needed, pipelines are more economical. If
assumptions being transportation distances of 500– inflation is considered, the percentage of transport
1500 miles and power plant sizes of 1600–9000 MW. tariffs subject to inflation is higher for railroad than
If water transport is available, the combination of for pipeline.
Coal Storage and Transportation 557
by rotating hammers and further by grid breaker its calorific value. Therefore, there is a need to reduce
plates. Usually a high portion of fines is produced. A the moisture content by either dewatering or drying.
ring-type hammer mill (rings instead of hammers) Dewatering means mechanically separating water
would minimize the amount of fines in the product. from the coal and drying means separation by
4. The impactor impacts the coal, which is then thermally evaporating water.
projected against a hard surface or against other coal Table V outlines the different technologies used
particles. The rotor-type impact mill uses rotors to in the dewatering process or in the drying process
reduce the size of the material; the shattered material of coal.
rebounds in the rotor path repetitively until the
product is discharged from the bottom.
2.4 Arrangement of a Coal
The sizing process usually follows the crushing
process. The three major reasons for sizing the coal
Preparation Facility
are to separate coal into various sizes for marketing, Given all the above-mentioned techniques for pre-
to feed washing and dewatering units, and to recover paring the coal, it is useful to elaborate on the flow of
the solids used to control the specific gravity in these coal within a coal preparation facility through the
washing devices. Sizing of the coal is performed by following stages:
screening or classification.
The most common screening method includes 1. Size reduction of coal
bringing each particle against an opening or aperture 2. Sizing of the coal to match the proper feed sizes
where the particle will either pass through or be with the various types of coal-washing equipment
retained. Several screen configurations have been 3. Washing the coal
developed, such as the following: (1) the Dutch sieve 4. Dewatering the products
bend is a fixed screen with no moving parts and is 5. Recycling the process water (treatment/reuse)
situated at a level lower than the feed, (2) the Vor-Siv, 6. Blending the product streams into storage
developed in Poland, and (3) the loose-rod deck, 7. Loading out the marketable products
developed in the United States by Inland Steel Corp.,
Table VI gives an example of the flow of coal
which consists of steel rods set at a suitable pitch to
through a coal preparation facility and the equip-
create the screening aperture.
ment involved in the subprocesses.
Although most sizing of coal is performed with
screening devices, classifiers are also in use. Classi-
fication refers to achieving size separation by 3. STOCKPILES
exploiting different flow rates through a fluid. It
includes dry classification and wet classification. Dry 3.1 Stacking and Reclaiming of Stockpiles
classification uses air as the ambient fluid and
Coal pile management, an integral and vital element
involves higher fluid volumes and higher velocities
in the coal chain, is carried out at coal mines, coal
than those found in wet classification.
preparation plants, the transshipment sites for
export/import of coal, and end-user sites; end users
2.2 Cleaning Methods usually include power plants, iron and steel plants,
coking plants, and cement plants. Since these ‘‘stock-
Coal preparation has been evolving for more than a yards’’ tie up capital with no return on investment,
century and the core of most of the process the owners of these plants are interested in optimiz-
development work is in the area of separating the ing coal inventories to minimize this capital and
impurities from the coal, utilizing the physical addressing the issues of stockpiling of coals. The
difference in specific gravity between the coal and significant issues are stock size, stock pile turnover
the rock impurities. An overview of the different coal period, and availability of cheaper coals on the
cleaning systems is provided in Table IV. international market. All of these issues involve the
best strategy for blending coals with the accuracy
required by the customer and just-in-time delivery.
2.3 Coal Dewatering and Drying Systems
Coal pile management includes examining why
After the cleaning process, the coal retains a stockyards are used and how they are designed/
significant amount of moisture, which can have erected and operated in compliance with environ-
negative effects on its transport and handling and mental regulations.
Coal Storage and Transportation 559
TABLE IV
Coal Cleaning Systems
Source. Adapted from Sharpe (2002) and from Deurbrouck and Hucko (1981).
a
Studies on flotation reagents reported in 1973 and 1976.
With the mounting pressure imposed by economic to provide a uniform feedstock of the required
constraints associated with using smaller stockyards, quality by accurate blending of coals available on
blending various coals to the accuracy demanded the market.
by the customers, and addressing the just-in-time In the case of a power plant or a process indus-
concept, the main functions of the coal pile are try, stockpiling involves two important types of
very clearly defined: (1) to serve as a buffer capa- storage, namely, live and dead storage. Live storage
city to accommodate the differences between supply is defined as ‘‘coal within reach’’ that can be
and demand, thereby acting as a strategic stock retrieved by using available equipment or by gravity
against short- and long-term interruptions, and (2) flow. In contrast, dead storage would require using
560 Coal Storage and Transportation
TABLE V
Technologies for Dewatering of Drying Coal
Dewatering Screens * Dutch State Mines sieve bend is a stationary wedge bar screen with the bars oriented at
right angles and across the flow stream; advantageous feature is that the screen generally
does not blind
* Polish Vor-Siv is a stationary device to handle high volumes of solid in-water slurry; it
combines certain characteristics of cyclones, sieve bends, and cross-flow screens
* Conventional screens handle less flow volume than Vor-Siv per unit surface area
Cyclones * Normally processes a pulp with a low percentage of solids (5 to 20%) and produces a
relatively thick suspension by removing a portion of water; solids discharged at the
bottom, and water and slimes exit at the top of the unit
Centrifuges * Two main types available: solid bowl centrifuges and screen bowl centrifuges; there are
many variations of these two types
Filters * Most often used is the vacuum disk filter; for best performance, solids in the feed should
be coarse
* Occasionally used is the drum-type filter; able to operate under varying load resulting
from changes in feed rate
* Also done is heating the feed slurry (steam filtration) by covering a conventional vacuum
filter with a hood and applying steam under the hood to facilitate additional water
drainage from the filter cake
Emerging techniques * Shoe rotary press developed by Centre de Recherche Industrielle du Quebec
* Electro-acoustic apparatus developed by Battelle Columbus Laboratories
* Tube filter press developed by English China Clays Ltd.
* Membrane pressure filter developed by National Coal Board (England)
Thermal drying Direct drying * Before 1958, screen, vertical tray cascade, multilouvers, and suspension dryers dominated
the market of thermal drying
* After 1958, fluidized bed dryers gained rapid favor over the previous dryer techniques
* After 1967, there was a decline in the use of fluidized bed dryer due to increased costs
because of stricter emission regulations
Indirect drying * Eliminates the potential problem of excessive fines carryover of direct drying systems
* Based on contacting the coal with a heated surface; two designs: Torus (or Thermal Disk)
and Joy Holo-Flite (variation of a helicoid screw) with oil as heating medium
* Another concept (Bearce Dryer) is to heat metallic balls and mix the balls with the wet
coal as it travels down a sloping/rotating cylinder
Source. Adapted from Deurbrouck and Hucko (1981) and from Parek and Matoney (1991).
a secondary or an auxiliary means to reclaim this stockpiles on the ground, unless stringent environ-
coal. When a coal arrives at a power plant, a mental considerations require a roof over the stock-
decision is made either to add it to live storage pile, or enclosures. In this case, silos and bunkers are
or send it to long-term storage in the reserve the alternatives to open piles, but these methods
stockpile; reserve stockpiles ensure against disrup- would be more expensive and capacity-limited due to
tions of deliveries or are opportunities for taking the feasible size of the bunkers or silos.
advantage of low prices on the spot market. Buffer For an efficient management of the stockpiles,
stockpiles are sometimes available at power plants the stockyard layout would satisfy the following
and act as a buffer between live and reserve stock- requirements:
piles. Coals of a similar type can be stacked in the
pile, but different coal types/grades are normally 1. Optimize the land use (tons/acre) consistent with
stored separately. storage and environment constraints;
2. Maintain easy access to stored coal;
3. Maximize the load distance efficiency factor;
3.1.1 Features of Coal Stockpiles 4. Position coal such that stacking and reclaim-
Live and dead storage of large quantities of coal is ing rates can be achieved with the least
usually carried out by storing the coal in open effort;
Coal Storage and Transportation 561
TABLE VI
An Example of a Coal Preparation Plant
5. Attain the desired level of remote control of the 8. Maximize equipment capability and
equipment and the desired degree of automation reliability and minimize manpower
of the plant; requirements;
6. Meet the homogenization and blending 9. Provide a safe and dependable system
requirements if accuracy is requested; consistent with environmental regulations,
7. Maintain/improve the uniformity, integrity, and such as potential stock fires, dust emission,
quality of the stored coal; noise levels, and water drainage;
562 Coal Storage and Transportation
10. Minimize the overall costs (dollars per ton of 3.1.2 Methods of Stacking and Reclaiming
coal handled) in terms of operation and capital Coal Piles
costs.
3.1.2.1 Stacking Coal During stacking, a stock-
pile is built with layers of coal, creating a pile with a
Characteristics of the land location (in terms of triangular cross section; the layers may come from
size, shape, and load-bearing capacity) play an the same coal type or from different coal types. In
important role in defining the choice for the overall this stacking process, several issues need to be
storage system of an open pile. These will determine addressed adequately, such as the following:
the pile and height of the coal that can be stored.
Several measures must be considered in preparing 1. Minimize coal size segregation; the segregation
the ground for a new coal pile:
could lead to spontaneous combustion and could
contribute to flowslides;
1. The topsoil must be removed and a stabilizing 2. Avoid dropping coal from excessive heights,
layer of crushed rock or similar material be laid thereby lessening the formation of dust;
down; 3. Take into consideration coals that are more
2. Adequate site drainage must be in place; friable, that is, could lead to more formation of
3. Utility pipes and conduits should not be run fines that, when wet, could cause pluggage of
under the pipes; chutes.
4. Long stockpiles should have their narrow side
facing the prevailing winds to reduce dusting and Taking these issues into consideration, there are
oxidation. several main methods for stacking coal based on
different components and arrangements. These
In addition to the kidney-shaped stockpiles, the methods are further based on the capability of the
most commonly found shapes are the following: different types of stackers. The stacker runs on rails
laid along the total length of the bed. The capability
1. Longitudinal beds (or linear beds): the beds are
of the stacker will partly determine the ability to
located either side-by-side or end-on. For instance, in
switch from one stacking method to another. The
the case of two beds, one pile is stacked and the other
stacking equipment for longitudinal stockpiles is
is reclaimed.
designed to reflect the different amounts of flexibility,
2. Circular beds: they are used for environmental
the varying ability to blend/process the coal types,
reasons, requiring covering of the stockpiles; many
and the range of investments. To address these
small circular piles are preferred over a single large
features, there are several types of stackers: (1)
one for reducing the risk of a breakdown of the
stacker with rigid boom; (2) stacker with luffing
reclaimer system and for convenience of mainte-
boom; (3) stacker with rigid and retractable boom;
nance.
(4) stacker with luffing, rigid, and retractable boom;
In today’s business climate, the end user has no (5) stacker with slewing boom; (6) stacker with
plausible reason to invest in excessive coal piles. The luffing and slewing boom.
drawback of a circular bed is that it has only a In the cone shell method, a pile is formed by
limited storage capacity and cannot be increased stacking coal in a single cone from a fixed position.
once built. However, the circular beds eliminate the When this cone is full, the stacking system moves to a
nonstandard end cones that are formed in the linear new position to form a new cone against the shell of
beds; these end cones are not representative of all the previous cone. This method is not efficient for
layers in the stockpile; not reclaiming these end cones blending coals and is used in cases where homo-
could cause short-term grade variations when these genization is not required. The strata method stacks
ends are processed. But the linear beds can store the coal in horizontal layers and will create alternat-
more coal, provided that space is available. The ing layers when two or more coals are to be blended;
circular beds, which have limited pile capacity and each layer will extend from one end of the bed to the
short layer length, will have relatively smaller input other end and the whole bed should be completed
lot size but will have many different lots. Capital before reclaiming is performed from the end of the
operating and maintenance costs of circular beds are pile. The skewed chevron is the strata method with
less than those of linear beds, but the costs for civil the difference that the layers are inclined and
engineering work are higher for circular beds. reclaiming is carried out from the side of the bed.
Coal Storage and Transportation 563
The chevron, windrow, and chevron–windrow only for operation in the open (due to the counter-
systems are all intended to have coal reclaiming weight); it is deployed in stockyards with high
carried out from one end of the bed and they can throughput. Its homogenization/blending efficiency
achieve a high blending efficiency. The chevron is not good. The bucket wheel is often combined with
system is the simplest system since it requires only a stacker.
a stacker with one discharge point: the stacker 2. The gantry-type reclaimer may have multiple
moving along the central axis of the pile. The bucket wheels to improve the homogenization/
drawback is that segregation of material will lead blending efficiency.
to fine particles depositing in the central part of the 3. The drum-type reclaimer uses buckets attached
pile and coarse particles depositing on the surface to a long rotating drum to reclaim the coal across the
and at the bottom of the pile. The windrow and entire width of the pile, resulting in an improvement
chevron–windrow methods will require more expen- of the homogenization/blending efficiency.
sive stackers with a slewable boom allowing multiple 4. The bridge-type scraper is designed with a
discharge points; both of these methods minimize scraper chain to reclaim coal across the front face
particle segregation. The Chevcon method (contin- of the longitudinal pile. This reclaimer has a very
uous chevron) is a combination of the cone shell and good blending/homogenization efficiency, but it
chevron methods and utilizes a circular rather than a cannot jump over stockpiles (whereas side-face
linear bed. This circular bed has a round base with a reclaimers can).
ring-shaped pile where coal is stacked at one end and 5. The portal, semiportal, and cantilever scraper
reclaimed from the other end. systems reclaim coal from the side of the bed. As side-
face reclaimers, they are suitable for removing coal
with signs of imminent spontaneous combustion.
3.1.2.2 Coal Reclaiming The technology of
6. The portal bridge scraper combines the advan-
equipment for reclaiming coal has evolved from a
tages of the side- and front-face scraper reclaimers. A
discontinuous process originally to a continuous
special version has been developed to reclaim circular
process, with the emergence of bucket-wheel,
beds; this special version is based on a bridge-type
bridge-type, and portal scraper reclaimers.
scraper and a cantilever scraper reclaimer, both
In North America, the first bucket-wheel stacker
mounted on a central column.
reclaimer was installed in the Potomac Electric
7. Front-end loaders and bulldozers are used for
Power Plant at Chalk Point (Maryland) in 1963.
smaller stockpiles to stack and reclaim coals.
Prior to this reclaiming method, coal stockpiles at
8. The gravity reclaim is utilized in some stock-
large power plants relied on gravity systems that
piles. This system uses hoppers (located in a tunnel
moved coal on a belt conveyor in a tunnel beneath
below the stockpile) and feeders (to control the
the pile. The bucket-wheel stacker reclaimer that
discharge into the conveyors) to reclaim coal.
operates in the United States has two additional
Vibratory stockpile reclaimers would improve the
features not available in the early European version:
reclaiming process. The use of multiple hopper
(1) a movable counterweight instead of a fixed one
systems (allowing intersection of flow channels)
(safety hazard eliminated) and (2) complete automa-
would improve the reclaiming performance. Blend-
tion (labor-saving feature).
ing efficiency within the stockpile is poor.
These reclaimers have become popular and make
up approximately 90% of the total coal applications. In addition to the reclaimers, some other types of
The ability to perform homogenization/blending mobile handling equipment play a role in stacking/
efficiently varies from one type to another. They reclaiming coal at a smaller volume than the above-
reclaim different coal types stored in separate beds in mentioned reclaimers do. Front-end loaders and
a sequence as defined by the blending process bulldozers are used to compact the coal and to move
required to meet a customer’s expectations. This coal from reserve pile to live pile.
key feature is helpful at transshipment facilities
tasked with blending imported coals.
3.1.3 Bins and Silos
A description of the types of reclaimers in light of
Coal can be stored in silos or bunkers as an
their key features and functionality is given below:
alternative to open piles on the ground or in areas
1. The bucket-wheel recalimer is designed with a with enclosures. However, this method of storing
bucket wheel to reclaim the coal and operates from coal in silos or bunkers is more expensive and
the side of the bed. This type of reclaimer is suitable constrained by the feasible size of the units.
564 Coal Storage and Transportation
Silos and bunkers are either steel or concrete, mouth plants or power plants served by a single
usually have round cross sections, and can have supplier.
single or multiple outlet cones. An internal lining of
stainless steel is a big advantage when storing high-
3.2 Sampling, Analysis, and Auditing
sulfur coals to prevent corrosion. Regarding struc-
tural integrity of the foundations, loads should not With larger, more expensive shipments of various
be offset on the foundations when eccentrically compositions, coal must be sampled and analyzed
charging or eccentrically withdrawing coal from before storage for the following reasons:
these units.
1. Sampling is performed during loading opera-
A silo with a large diameter and a flat bottom will
tions at terminals or at power plants to ensure that
have multiple outlets. Bunkers with a height-to-
the coal meets the contract specification (penalty and
diameter ratio of 2:1 to 3:1, designed to be self-
bonus clauses related to coal properties).
cleaning, will have a cone bottom (with a suitable
2. Sampling leads to knowledge about the coal
angle, e.g., a suitable flow factor) and a single outlet.
consignment; this information allows the coal
These coal storage devices do offer unique benefits
operators to store coal in different piles—coals of
such as: (1) controlling the dust and moisture content
similar grade are stockpiled together and blending of
of the coal, (2) controlling runoff from rainwater,
different types of coal can be performed based on this
and (3) providing blending capacities by having
knowledge.
several units feeding a single reclaim conveyor.
3. Sampling during the reclamation process helps
evaluate changes in properties during the storage
3.1.4 Trends in Management of Coal Piles
period.
Traditionally, the coal stockyard for U.S. power
plants contained approximately one-fourth of the Given the above-mentioned reasons, a good
plant’s annual burn, such as the 90- to 120-day sampling technique is critical for obtaining a truly
storage level at several American Electric Power representative sample of the coal consignment and of
plants, but that level in the United States has declined paramount importance for the analysis of the coal.
to much lower coal inventories. In the United States, The usual procedure is to divide the sample into three
stockpile levels have decreased to a level of approxi- parts—one for the supplier, one for the customer, and
mately 50 days since mid-1993. one for independent analysis in case of a contract
In comparison, some power plants have even kept dispute.
7- to 10-day coal inventories when their plants
were located in the vicinity of their mines, such as 3.2.1 International Standards for Coal
the case of the South African Kendal mine-mouth Sampling Techniques
power plant. Coal is one of the most difficult materials to sample
With a just-in-time delivery system, some power because it has the tendency to segregate by size
plants have coal stockpiles of only 5–8 days, such as and mass. The ideal objective of a sampling would
those in the Netherlands or in U.S. centralized plants. be to have every particle size represented—ash
Relative to just-in-time delivery, the decision to buy content and heating value may be different for each
is driven more by demand than lower on-the-spot particle size.
coal prices. As such, the decision could be subject to Other factors in the sampling process are the use
increases in coal prices due to regional coal of analytical results, the availability of sampling
shortages. These shortages could affect several equipment, the quantity of the sample, and the
utilities drawing on the same pool of mines. required degree of precision according to standards
Consequently, before reducing its coal inventory, a (ASTM D2234).
power plant would need to carefully consider many Since biased results can be introduced into the
factors such as: (1) transport options (rail, barge, sampling procedure, certain precautions to reduce
truck, and ROM conveyor) in terms of reliability; (2) the sources of bias are used, such as: (1) selecting
number of supply sources; (3) backup sources, such the most suitable location for sampling purposes;
as other power plants; (4) reduced burn rate; and (5) (2) using sampling equipment that conforms to
delivery time for coal from supplier to the power necessary specifications; and (3) taking special
plant (in terms of days). precautions when performing specific sampling
Another trend in management of coal stockpiles procedures, such as sampling for total moisture
is outsourcing; this concept is suitable for mine- content or size.
Coal Storage and Transportation 565
Table VII gives an overview of the international 3.2.2 Sampling Systems and Bias Testing
standards on sampling and sampling procedures. Sampling in a stockpile in situ presents an enormous
These standards are applicable only for sampling challenge in terms of obtaining a representative
coal from moving streams. sample given the following:
In general, the standards specify the number and
weight of the increments to be taken for each 1. Since the coal is subject to weather/oxidation
sampling unit. The increment is defined as a small and to size segregation, its quality is always different
portion of the coal lot collected in a single operation at the various locations of the pile (top, sides, or in
of the sampling device; the higher the number of the middle).
increments, the greater the accuracy. A greater 2. With many additions of different coals to the
number of increments is recommended when sam- pile, the pile may contain coal zones that vary
pling blended coal. The individual increments can be markedly.
evenly spaced in time or in position, or randomly 3. Because sampling coal in the middle of the pile
spaced, and taken out of the entire lot. The is difficult, sampling from a moving stream during
increments are then combined in a gross sample; the stacking or reclaiming process is preferable;
the gross sample is then crushed and divided, however, if sampling of stockpiles in situ is necessary,
according to standard procedures, into samples for the sample should be taken by drilling or augering
the analysis. In the analysis part, standards differ in into the pile.
detail and often do not take into account the 4. Drill sampling and auger sampling have limited
characteristics of the coal being sampled. These coal applications. The drill sampling method is used to
characteristics would include particle size distribu- penetrate the full depth of the pile at each point
tion, density, particle shape of the coal, and the sampled and extract the whole column of coal.
distribution of the parameter of interest. Conse- However, this technique does not collect all of the
quently, sampling models have been developed to fine material at the bottom of the pile, because of the
supplement these standards. drill or auger design. Because this technique can
TABLE VII
International Standards on Sampling Coal from Moving Streams
Organizations Standards
American Society for Testing and * D2013 Preparation of samples for analysis
Materials (ASTM) * D2234 Collection of a gross sample
* D4702 Inspection of coal-sampling systems for conformance with current ASTM standards
* D4916 Mechanical auger sampling
Standards Australia (AS) * AS 4264.1 Coal and coke—Sampling; with Part 1 of sampliing procedures for higher rank coal
* AS 4264.3 Coal and coke—Sampling; with Part 3 of sampling procedures for lower rank coal
* AS 4264.4 Coal and coke—Sampling; with Part 4 of determination of precision and bias
British Standards Institution (BSI) * BS 1017: Part 1 as sampling of coal and coke; methods for sampling of coal revised to adopt ISO/
DIS 13909
International Organization for * ISO 1988 Hard coal—Sampling
Standardization (ISO) * ISO 5069/1 Brown coals and lignite—Principles of sampling; Part 1 of sampling for determination
of moisture content and general analysis
* ISO 9411-1 Solid mineral fuels—Mechanical sampling from moving streams; Part 1: Coal
* ISO/DIS 13909-1 Hard Coal and coke—Mechanical sampling; Part 1: General Introduction
* ISO/DIS 13909-2 Hard coal and coke—Mechanical sampling; Part 2 of coal—Mechanical
sampling from moving streams
* ISO/DIS 13909-3 Hard coal and coke—Mechanical sampling; Part 3 of coal—Mechanical
sampling from stationary lots
* ISO/DIS 13909-4 Hard coal and coke—Mechanical sampling; Part 4 of coal—preparation of test
samples
* ISO/DIS 13909-7 Hard coal and coke—Mechanical sampling; Part 7 of methods for determining
the precision of sampling
* ISO/DIS 13909-8 Hard coal and coke—Mechanical sampling; Part 8 of methods of testing for bias
break the particles, it is not recommended when moving conveyor (or belt) into the hopper. For the
collecting samples for size analysis and bulk density sake of accuracy, these devices need to be adjusted so
determination. that no coal fines are left on the belt.
2. Cross-stream (or falling-stream or cross-cut)
As mentioned above, standards specify the meth- cutter samplers collect a cross section of a freely
od and the number of increments to be collected. The falling stream of coal. The location of this sample
method of collection is particularly important in collection is typically a gap at a transfer point, such
terms of sampling location and tool. Standard scoop as between two conveyor belts.
tools allow every coal particle size to have an equal
All sampling systems should be checked for bias,
chance of being sampled; spades are inappropriate
because systematic errors may be introduced. These
and give a sample that is mainly fines. Regarding
systematic errors generally are caused by a loss or
sampling location, coal can be collected while it is
gain in the mass of increments during collection or by
transported on the belt conveyors or to and from the
cyclical variations of coal quality at time intervals
stockpile.
coinciding with systematic sampling time. Bias
The most accurate sampling method is the
testing is discussed in certain standards, such as
stopped-belt or reference method (a full cross section
ISO/DIS 13909 Part 8 for bias testing of mechanical
of the flow would be obtained). If stopping the belt is
samplers and in ASTM D4702 with guidelines for
impractical or uneconomical, sampling could be
inspecting cross-cut, sweep arm, and auger mechan-
done manually either from the moving belt or from
ical sampling systems.
a falling column of coal at a certain point. For high
tonnage rates, sampling should be done by mechan-
ical samplers. Some standards, such as BS 1017 and 3.2.3 On-line Analyzers
ISO 1988, stipulate that manual sampling should not Obtaining representative samples of coal from large
be exercised in cases where the nominal coal top size stockpiles is burdensome and time-consuming when
is above 63 mm or when the coal flow rate is greater laboratory analysis of these samples based on
than 100 tons per hour. standards is applied. The results do not reflect the
Mechanical samplers provide a representative variations in coal quality. Real-time information
sample that is difficult to attain with manual about these variations would help stockyard opera-
sampling. The advantage of mechanical samplers is tors manage their assets much more efficiently. In
that statistics of precision and bias are applicable. response to this problem, on-line analyzers have been
However, these mechanical samplers cannot be developed to continuously determine the coal quality
applied to all situations, such as sampling within a and in real time.
stockpile or at facilities with small tonnages. The Advantages of on-line analyzers over conventional
common characteristics of the mechanical samplers analyzers are obvious when it comes to the follow-
are as follows: (1) they provide a full cross-sectional ing: (1) determination of coal quality in real time,
representation instead of a partial cross-sectional thereby allowing the performance of trend and
sample, (2) their design and operation are covered in variability analyses; (2) simplification of sampling
various standards, (3) their functionality is to avoid requirements in the context of large coal quantities to
separation of the various coal densities and/or sizes be analyzed; and (3) determination of coal quality in
by minimizing disturbances of the coal, (4) they tons per hour instead of grams per day.
require sufficient capacity of coal to perform On the downside, on-line analyzers are expensive
sampling without any loss or spillage, (5) they because they are too site-specific and application-
require material to flow freely through all stages of specific. Their performance is related strongly to the
the sampling system without clogging or losing initial installation, calibration, maintenance, and
material, and finally (6) the standards specify the application environment. Analysis of coals beyond
design and the number of increments to be collected the initial calibration will not produce the same
and the size of the cutter opening (typically three accuracy. Calibration drifts over time result in the
times the coal top size) and its speed. need for recalibration of the analyzer.
In terms of categories, these mechanical samplers International standards (such as ISO CD 15239,
are divided into two types: ASTM, and AS 1038.24) do not provide particular
test methods because of the multitude of on-line
1. Cross-belt samplers (sweep arm or hammer analyzers and their interaction with sampling/analy-
samplers) sweep a cross section of the coal on the sis systems. On-line analyzers have gradually reached
Coal Storage and Transportation 567
the level of precision and reliability to be used in precisely how many tons of coal are in the stockpile,
several commercial applications: one can write off coal used more quickly and/or can
reduce inventories that are too large and thereby
1. Monitoring the incoming coal to determine
achieve significant savings.
whether it meets specified requirements, as is done at
Both the book inventory and the measured
the Herdrina plant in South Africa;
inventory are subject to measurement errors.
2. Sorting and segregating coal into different
Whereas inventory is subject to errors coming from
stockpiles (as is done at the Rotowaro coal handling
volume and density measurements, several sources
facility in New Zealand);
of errors are associated with the book inventory:
3. Blending coal from different stockpiles to meet
(1) weight errors associated with the stockpile;
customer requirements (the Rotowaro coal handling
(2) unaccounted changes in coal moisture in the
facility);
stockpile; (3) losses due to spontaneous combus-
4. Monitoring coal during reclamation to check
tion; (4) losses due to runoff and wind erosion; and
for the desired specifications.
(5) losses due to contamination of the coal at the base
On-line analyzers available on the market have of the pile in contact with the underlying strata.
been developed based on various technologies, such Because stockpiles have various shapes and sizes,
as: (1) electromagnetic principles, (2) X-ray fluores- measurements must be used to determine volume.
cence, and (3) capacitance/conductance methods. Both ground and aerial surveys are used to determine
Table VIII lists the application areas for these on- volume.
line analyzers based on the principle of operation. In an aerial survey using a photogramme-
All of these on-line coal analysis techniques are try method, two independent photogrammetrists
capable of meeting ASTM measurement standards using the same photograph on stockpiles between
for a predetermined range of coals. Table IX gives an 50,000 and 500,000 tons can obtain accuracies
overview of the four main on-line measurement of 75%.
techniques that are in use. For ground surveys, an electro-optical distance
ranging system has been developed. It uses a
theodolite (based on a laser) for distance measure-
3.2.4 Stockpile Audits ment. The theodolite applies numerous point mea-
Coal pile management also involves coal stock surements to provide three-dimensional information
audits; the intent is to adjust the book inventory. In about the surface of the pile. Using density contour
this task, the stockpile tonnage (calculated by information, specialized computer software com-
measurements of volume and density), as the putes the mass of the stockpile.
measured inventory, is to be reconciled with the For density determination, the methods used
book inventory. would include volume displacement procedures and
In the book inventory, recorded weights of coal nuclear surface and depth density determination.
going in and out of the stockpile are documented. Among these methods, a nuclear depth density gauge
Consequently, accurate weighting systems are is probably the most dominant method, although the
important to gain better control over the stockpile procedures have not yet been standardized. The
and eliminate overpayment; it is recommended that gauges take horizontal and vertical density measure-
the systems are properly situated, installed, main- ments at different locations and depths within the
tained, and regularly calibrated. By knowing more pile. However, these gauges require calibration for
TABLE VIII
Applications Areas for On-line Analyzers
Prompt gamma neutron activation analysis S, Btu, Ash, H, C, Si, Fe, N, Cl, Al, Ti, Ca Californium-252
Gamma-energy transmission Ash Barium-133, cesium-137, americium-241
Gamma-energy backscatter Ash Americium-241
Microwave energy attenuation Moisture Microwave generator
TABLE IX
Overview of Four Main On-line Measurement Techniques
each type of coal and therefore encounter problems the stored coal and could render the coal less valuable
when measuring a stockpile with different types of for its intended use. Assessing the effects of weath-
coals. In addition, their accuracy depends on ering and atmospheric oxidation of the stored coal
penetrating the coal without disturbing the in situ would mean examining the following key factors: (1)
density and they are expensive to acquire. heating value losses, (2) handling related to coal
moisture content, (3) coal cleaning (coal flotation),
(4) combustion behavior, and (5) coking behavior.
3.3 Coal Deterioration
3.3.1 Heating Value Losses
During storage in open stockpiles, most coals are Oxidation can reduce the heating value of coal. Coal
subject to weathering and atmospheric oxidation; is affected by several factors, such as the character-
these processes alter the properties and structure of istics (composition, rank, and particle size) of the
Coal Storage and Transportation 569
stored coal, the storage conditions (temperature and avoiding flat tops for the piles; (3) compacting the
moisture content in the stockpile, storage time, surface and the side slopes of the stockpile to
location in the depth of the pile, and ventilation enhance runoff; (4) developing a good strategy for
pattern through the pile), and the climatic conditions. efficient drainage; and (5) reducing the moisture
The oxidation rate is coal-type-dependent. Low-rank content of the incoming coal to the maximum level
coals are more susceptible to weathering and atmo- practical at coal preparation plants.
spheric oxidation than high-rank coals. Smaller Other practices include adjusting the equipment to
particles, given their increased surface area, tend to handle wet coal by inserting plastic liners in the
oxidize more rapidly than larger particles. The chutes and by using intermittent air blasts and
heating value of the coal decreases with an increase vibrators. Chemicals should not be added since they
in ash content. Also, the temperature and moisture rarely can be applied in sufficient quantities and
content in the stockpile affect the rate of coal mixed well enough to be effective. In addition, these
oxidation and hence the heating value. In a stockpile, chemical treatments affect the end-use behavior of
the heating value losses decrease with depth; these the coal.
losses are highest at the surface of the pile where coal
comes in intimate contact with the atmosphere. Local 3.3.3 Coal Cleaning—Flotation
hot spots can lower the heating value, due to the Coal cleaning processes, such as flotation, are
airflow through the pile. Compacted coal piles have negatively impacted by weatherized or oxidized coal.
less heating value losses than uncompacted piles. No method for efficiently cleaning the coal has been
Climatic conditions cause coal to lose or gain found.
moisture. Climatic factors, such as solar intensity Acidic oxidation products on the surface of the
and rainfall frequency, cause heating value losses. coal have dissolved in the process water and lowered
Coal with ice formation on the surface can reduce the the pH. Consequently, this has led to a reduction in
oxidation rate. flotation recovery and equipment wear. In response,
wear-resistant material has been used for surfaces
3.3.2 Coal Handling—Coal Moisture Content exposed to these adverse elements and magnesium
The performance of the coal handling equipment is hydroxide is added to raise the pH of the process
strongly affected by the moisture content of the coal. water. Blending the oxidized coal (up to 20%) with
In open stockpiles, weather conditions (heavy rain- fresh coal to dilute these adverse effects has been
fall or freezing) can increase the coal moisture practiced.
content or freeze the coal so that equipment failures Another adverse effect of the oxidation process
occur in belt conveyors, chutes, and bins. In hot and is that oxidation causes a change in the wettability
dry climates, through moisture loss by evaporation, of coal that consequently affects the surface-based
the stored coal becomes more friable and dustiness separation processes (flotation and oil agglomeration).
increases. A high percentage of fines in combination The performance of these separation processes
with high moisture content can lead to a high decreases with the storage time. As remedies to
potential for pluggage. In all these cases, weathering improve the performance of these coals, several
and oxidation increase the friability of the coals and measures have been carried out:
the production of more fines.
1. neutralizing these adverse acidic oxidation
Several practices at the stockyard should be
products with alkalis;
avoided. Others are beneficial to control the coal
2. using surface conditioners (or collectors);
moisture content of the pile. The practices that lead
3. using cationic collectors (amines);
to increased moisture content and that should be
4. using low-concentration electrolytes (iron
avoided are the following: (1) creating large stock
chlorides);
piles with little, if any, runoff; (2) allowing ‘‘pond-
5. grinding the stored coal to 28-mesh (standard
ing’’ on the surface of the pile; (3) moving coal
flotation size) before subjecting it to flotation;
through low areas with standing water during the
6. washing the stored coal with water to remove the
reclaiming process; and (4) having pile levels lower
dissolved metal ions prior to the flotation process.
than groundwater levels.
The practices that are beneficial to controlling the
coal moisture content include the following: (1) 3.3.4 Impact on Combustion Behavior
stacking the pile with a maximum height over the Coal stockpiles stored in the open for a long period
smallest area, consistent with stable side slopes; (2) of time undergo changes that affect their combustion
570 Coal Storage and Transportation
behavior and consequently affect boiler operations. (in piles of 50–60 tons) were stored without grinding
The NOx emission levels, carbon burnout, and (unlike the blend) and were exposed to weathering
slagging behavior could be impacted by changes in for a period of 5 to 6 months. With mild weathering
swelling index, maceral composition, and chlorine. conditions, results based on the test parameters of
Moisture increase in the stored coal would have the free swelling index, Gieseler maximum fluidity,
significant consequences in the boiler plant in terms and Audibert-Arnu dilation demonstrate that there
of the ability to handle the coal, mill capacity, and was no significant change in free swelling index for
boiler efficiency. the blend for each of the four coals, except for one
In addition to lowering the heating value of the coal after 138 days, and the Gieseler maximum
stored coal, atmospheric oxidation of the coal causes fluidity factor (as the most sensitive indicator for loss
a delay in devolatization, leading to a change in coal of thermoplastic properties and oxidation) decreases
reactivity. Stored coals with high free swelling index over time for the blend and the four coals.
(FSI) have shown a significant loss in the FSI value Another result of the study was that weathering/
and hence a loss in reactivity. A decrease in FSI and oxidation does not necessary lead to deterioration of
reactivity also means the appearance of oxidized coke quality. Mild weathering and oxidation can
vitrine, which is found to produce compact char help produce a coke of improved quality in high-
structures requiring long combustion times. volatility and high-fluidity coals and in some
The loss-on-ignition (LOI) directly related to char medium-volatility coals.
burnout increases significantly when weathered coals Other studies indicated that the free swelling
are fired. Any increase of unburned carbon in the fly index generally is not sensitive to slight-to-moderate
ash, as the consequence of LOI, would affect the sale weathering, although there are exceptions. Studies
of the fly ash. To ensure a satisfactory burnout of the also suggest that moderate caking coals (FSI between
char, a longer residence time in the furnace burning 3 and 5) are more prone to lose their caking
zone is needed. properties than coals with higher FSIs.
In general, to minimize the above-mentioned With the increased trend to use pulverized coal
negative effects on the performance of the boiler injection into the tuyeres of steel blast furnaces and
(power plant), several measures have been put into to blend coals, coke use has declined. Because
practice: (1) modifying the plant operating para- coke strength and reactivity are especially important,
meters; (2) blending the oxidized coals with unox- steel works are very interested in having the right
idized coals; and (3) minimizing the storage time of coke blend.
sensitive coals.
3.4 Spontaneous Coal Combustion
3.3.5 Coking of Coal
Weathering and oxidation have several negative Spontaneous coal combustion is an important con-
effects on the coking of coal: (1) reduction in coke cern due to its effect on safety, the environment,
stability; (2) issues of coal bulk density (related to economics, and coal handling. Economic losses occur
particle size distribution and moisture content); (3) because of fires in the coal pile and subsequent
reduced coke production; (4) overheated charges; (5) unsuitability of the coal for its intended use. Even if
carbon deposits; (6) oven damage, such as to coke spontaneous combustion does not happen in coal
oven walls; (7) generation of fines; (8) increased coke piles, fires can occur later in confined spaces, such as
reactivity; and; (9) decreased coking rate. on ships or in railroad cars. Ship fires, such as those
Bulk density decreases with decreases in particle reported on coal shipments from New Orleans,
size distribution and increases with additional Louisiana, to the Far East in 1993, have led to the
moisture over 8%. To produce a good metallurgical practice of not loading coal at temperatures greater
coke, two properties are important: good thermo- than 1041F (401C).
plastic and caking properties. Deterioration of these Although coal producers cannot always control
properties due to weathering/oxidation of the coal in the factors that govern spontaneous combustion,
open stockpiles would affect coke production. they can control management of the coal piles.
Alvarez et al. presented the influence of natural The tendency of coal to heat spontaneously in
weathering on coal in two papers in 1995 and 1996. storage is related to its tendency to oxidize. This
The study was performed on a typical blend of 13 oxidation process is closely related to the rank of the
different coals in a 100-ton open stockpile in Spain coal (the higher the rank, the less potential for
during a 1-year period. Four of the component coals oxidization), the size of the coal in the pile, the
Coal Storage and Transportation 571
stacking method, the temperature at which the 3.4.1 The Five Stages of Spontaneous Combustion
coal is stored, the external heat additions, the Although opinion differs on the exact mechanism of
amount/size of pyrite present in the coal, the oxidation, the process of oxidation occurs in five
moisture content, and the storage conditions (in steps:
terms of oxidation heat release and heat dissipation
1. Coal starts to oxidize slowly until a temperature
by ventilation).
of approximately 1201F is reached.
In lower rank coals, the amount of carbon is low
2. The coal–oxygen reaction rate increases at an
and the amount of oxygen is high. In the higher
increasing rate and the coal temperature
rank coals, the reverse is true. Hydrogen remains
increases until the temperature reaches 212 to
relatively constant. Sulfur in the coal is present in the
2801F.
form of iron-free sulfur, organic sulfur, pyrite, and
3. At approximately 2801F, carbon dioxide and
sulfate in various percentages, ranging from less
most of the water are given off.
than 0.5 to 8%.
4. The liberated carbon dioxide increases rapidly
Spontaneous combustion is the result of oxidation
until a temperature of 4501F is attained;
of the coal when heat generated by complex chemical
at this stage, spontaneous combustion may
reactions exceeds the rate of heat dissipation. Of the
occur.
coal types, subbituminous coals and lignite require
5. At 6601F, the coal ignites and burns vigorously.
special handling to prevent spontaneous combustion.
The lower the rank of the coal, the more easily it can For pyrite, the chemical reaction of FeS2 with
absorb oxygen. In addition, the low-rank coals are water and oxygen leads to the formation of iron
higher in moisture, oxygen content, and volatile sulfate (FeSO4) and sulfuric acid (H2SO4) and is an
matter, all of which contribute to rapid oxidation. exothermic reaction. In an open pile, pyrite, through
Also, coal can gain or lose moisture during its transformation to bulkier materials, is sometimes
storage. When dried or partially dried coal absorbs responsible for causing slacking and forming fines.
moisture, heat is generated (heat of wetting) and the Consequently, coal operators are reluctant to store
temperature of the coal can increase significantly if high-sulfur coals for extended periods of time, but
this heat is not removed. Consequently, spraying coals with low sulfur content are no guarantee for
water to extinguish fires in coal piles is not the safe storage either.
solution, but instead chemical dust suppressants
could be used.
3.4.2 Safe Storage of Coal through Prevention
Other factors that can contribute to coal oxida-
Coal producers and users must know the self-heating
tion are coal porosity, particle size, segregation
propensity of stored coals. Practices for long-term
during stockpile construction, and mineral content
storage include the following:
and composition. A more porous coal is more
susceptible to oxidation because of the larger number 1. The storage area should be dry and on solid
of exposed areas. The effects of particle size are ground or sloped to allow good drainage of any
linked to coal porosity; a decrease in the particle size pockets of water.
provides a greater surface, and hence a higher 2. The area should be cleared of any debris and
oxidation effect. combustible materials with low-ignition tempera-
Regarding particle size segregation, differently tures, such as wood, oil-soaked rags, paper, and
sized coals should not be stacked. During construc- chemicals.
tion of the pile, size segregation can occur in conical 3. The area should be void of any buried steam
piles when there is a range of particle sizes; the outer lines, sewer lines, hot water lines, and other heat
area of the pile contains large-size particles and the sources—stockpiles should not be added to on hot,
middle of the pile has fine particles. This will lead to sunny days.
a so-called ‘‘chimney effect,’’ whereby air passes up 4. The formation of conical piles should be
freely from the outer to the inner areas of the pile, avoided because larger pieces tend to roll away,
creating the potential for heat production. In terms creating a chimney effect for the fines situated at the
of mineral content and composition of the coal, some center; for conical piles, removal should occur
mineral elements can accelerate the spontaneous according to the principle of ‘‘first-in, first-out.’’
heating process. Pyrite, sodium, and potassium (in 5. The windrow method is preferred over the
the form of organic salts) can act as catalysts for chevron method for stacking coals that are prone to
spontaneous combustion. spontaneous combustion.
572 Coal Storage and Transportation
6. Air must be able to circulate freely in the pile or Water is generally not recommended for extin-
the pile must be packed in 1 ft layers or less to ensure guishing fires in coal piles. Dry ice (solid carbon
the absence of air circulation (either restrict the entry dioxide) has been used successfully to control
of oxygen into the pile or provide adequate ventila- spontaneous coal combustion in an enclosed or
tion to remove the generated heat). covered area. However, dry ice is not recommended
7. Upright structural supports in or adjacent to the in an open area because wind would disperse it.
storage piles could create chimney effects.
8. Particle-size segregation should be avoided.
3.5 Dust Emissions
9. Stoker-sized coals may be treated with oil before
storage to slow the absorption of oxygen and moisture. Fugitive dust emissions are considered monetary
Road tar, asphalt, coal tar, and various surfactant dust- losses and pose environmental problems in the areas
control binders have been used as a seal; among these, surrounding a stockyard. Coal dust poses health risks
asphalt is unsatisfactory in some applications. and damages equipment. Environment regulations
10. Seals of compacted fine coal may be used to are becoming more stringent regarding emissions of
minimize the undesirable formation of fines if the particulates such as PM10 and PM2.5.
coal has a tendency to slack. Chemical inhibitors Dust emissions can be caused by wind erosion in a
have been used to reduce the reactivity of coal; these coal pile and stacking and reclaiming operations of
inhibitors include phenol, aniline, ammonium chlor- coal piles.
ide, sodium nitrate, sodium chloride, calcium carbo- The magnitude of these coal dust emissions
nates, and borates. depends on the following: (1) the coal characteristics
11. Good access should be available around the (moisture content, particle shape, and particle size
perimeter of the pile to allow the removal of hot spots. distribution); (2) the stockpile arrangement (layout
and construction); and (3) the local climatic condi-
tions (wind velocity, sun, and rainfall).
3.4.3 Detection and Control
From these above-mentioned factors, the moisture
Early detection of conditions that cause spontaneous
content of the coal plays an important role in
combustion is critical for safe storage of the coal and
defining the level of dust generated. This dust
elimination of conditions, such as subsurface voids,
emission potential is viewed as severe when the
that can endanger operators. The cost and effort to
surface moisture of the coal lies between 0 and 4%,
monitor stockpiles are generally small compared to
mild if it is between 4 and 8%, and low at 8% or
the value of the coal piles. Spontaneous combustion
above. In addition to this moisture factor, the volume
is often detected visually by smoke or steam coming
of fines is another factor affecting dust emission.
out of the pile or by the melting of ice or snow at
Small-size coal piles with a high volume of fines will
certain locations in the pile. In hot weather, a hot
produce higher dust emission levels than coal piles
area is identified by the lighter color of dry coal
with larger particles; coal particles greater than 1 mm
surfaces due to the escaping heat, a situation that
in size are not likely to become airborne. The next
requires immediate action. To detect/monitor the
factor affecting wind-borne dust emission is the
coal self-heating process, two means are available:
particle size distribution (which is related to the
(1) temperature measurements, through metal rods,
friability of the coal). Low-rank coals are generally
thermocouples, and infrared detectors; and (2) gas
more friable and consequently more prone to
analysis, such as monitoring the carbon dioxide,
generate dust. Very high rank coals are also
hydrocarbon, and hydrogen concentrations emitted.
susceptible to dust emission.
Once self-heating is under way, two basic control
Regarding the stockpile arrangement and its
options are available:
layout, an appropriate selection of the stacking and
the reclaiming method, when combined with a series
1. Removing the hot coal and using it immediately; of control measures, can help lower dust emissions.
if it is too hot for the transport equipment, it
should be cooled first. 3.5.1 Methods for Dust Emission Control
2. Removing the hot coal, cooling it by spreading and Monitoring
into thin layers, and repiling and recompacting it; Several methods are available to address dust
the coal can be left overnight to cool or can be suppression: (1) wind control (stockpile layout and
sprayed with water. However, wet coal is difficult construction with fences/berms); (2) wet suppression
to handle. systems (water, chemical wetting agents, and foams);
Coal Storage and Transportation 573
(3) chemicals binders and agglomerating agents; (4) drawbacks, such as short-lived effect, reduced heat-
sealants (chemicals or vegetation); and (5) stockpile ing value of the coal with excessive water content
enclosure (complete or partial). (compromising contract moisture specification), and
Table X gives an overview of the applicability of accelerated surface weathering of the coal (the coal
these dust control methods. breaks down). Also, as a consequence, handling of
These dust control methods are applied during wet coal and water runoff must be taken into
stacking and reclaiming of coal and applicable to consideration.
active and inactive (long-term) storage piles. In the 2. Wetting agents are added to reduce the amount
stacking process, controlling the size and the particle of water used; they reduce the surface tension of
distribution of the stock piles is important. Conical water to enable fine water droplets and to enable the
piles are subject to particle segregation; minimizing ability of water to wet the coal. The concentration of
the drop height by fitting appropriate stacking chutes wetting agents ranges from 0.05 to 2% in spray
can decrease particle fragmentation and conse- water. A substantial number of wetting agents is
quently reduce dust emissions. Among reclaiming offered on the market, but the appropriateness of the
systems, gravity reclamation (through bottom reclai- wetting agent to a certain type of coal must be
mers underneath the pile) typically generates the least established in laboratory or field tests and needs to
dust, but safety precautions must be exercised due to satisfy environmental requirements (biodegradability
fire and explosion hazards related to dust generation. and aqueous toxicity).
The orientation of the stockpiles can help mini- 3. Foams are produced from water, air, and a
mize the dust emission level. This orientation can foaming agent. If properly applied, they are better at
include presenting the smallest surface area (narrow- controlling the moisture content of coal than water
est side) of the piles to the prevailing wind (wind or a wetting agent.
direction according to climatic conditions), taking 4. Agglomerating agents (also called binders) bind
advantage of any natural shelters, or setting berms the particles to one another or to larger particles;
and fences. In addition to acting as wind breaks, they include oils, oil products (such as asphalt),
berms (earth embankments) would also reduce noise lignins, resins and polymer-based products. Oil and
pollution and diminish the visual adverse impact of oil products are suitable when freezing problems are
the piles on the landscape. Fences, if erected upwind, encountered. Safety (fire) and environmental issues
can reduce the wind speed and turbulence; if placed (groundwater) need to be considered; polysulfides
downwind, they can prevent dust transport but can may be toxic to aquatic organisms. The binders that
also create dead zones where dust can be deposited claim to be nontoxic are Dustcoat series and
before being redispersed. Coalgard (oil emulsion).
5. Sealants, as crusting or coating agents, are
3.5.2 Dust Suppressants sprayed over the stockpile with a water cannon to
Several dust control and suppressing agents are form a water-insoluble crust. This method is suitable
available for use on coal piles, including water, only for long-term stockpiles and requires regular
wetting agents, foams, binders, agglomerating inspection; reapplication of the crusting agent is
agents, and chemicals. These agents are as follows: necessary once the surface of the pile is broken for
1. Water is the simplest, cheapest method in the reclaiming. The crusting agents include polymer-
short-tem, but not always the most effective. Water based products (polyvinyl acetates, acrylics, and
cannons are used to wet the coal. There are many latex), resins, lignosulfonates, lignins, waste oils,
TABLE X
Applicability of Dust Control Methods
Stacking X X
Reclaiming X X
Active piles X X X X
Long-term piles X X
and bitumens. Lignins and waste oil have draw- the presence of the neutralizing elements in the coal.
backs in terms of water solubility and heavy metal Thus, bituminous coals produce runoff that is acidic;
contamination. Other novel approaches as sealant subbituminous coals produce neutral to alkaline
solutions are applications of grass or fly ash to runoff.
the pile.
6. A complete or partial enclosure of piles is a
3.6.2 Runoff Collection
solution to limit dust formation. Circular stockpiles
Site evaluation and site preparation are necessary
are cheaper to cover than longitudinal piles. Safety
steps to limit soil contamination caused by runoff.
measures would include ventilation to inhibit fire and
The potential site is evaluated in terms of its soil
explosion (dusts and methane). In addition, provi-
characteristics, bedrock structure, drainage patterns,
sion of ample openings to allow access for moveable
and climatic conditions (precipitation records and
handling equipment should be considered.
potential flooding). Site preparation would involve
Monitoring of dust levels around a stockyard not compacting the soil, layout, and the construction of
only helps determine the effectiveness of dust control drainage ditches around the perimeter of the piles;
practices, but also helps to confirm that ambient air the ground of the piles would be slightly sloped
quality standards have been satisfied. toward the drainage ditches and sloped away from
A successful monitoring of coal dust would the reclaiming area. The drainage system is designed
require adequate measurement points (taking into to collect the runoff, collect rainwater from the entire
consideration the direction of the prevailing wind), stockyard, and handle the storm water. Several ways
knowledge of the meteorological conditions (wind to prevent runoff and groundwater contamination
speed, temperature, humidity, and rainfall), and coal- include the installation of an impenetrable layer
handling operations. Although instrumentation to under the stockpile by using the following: (1) a
measure dust concentration or dust deposition is plastic liner with compacted sand as the protected
available, particulate measurements are generally layer (Ashdod coal terminal, Israel); (2) a reinforced
known to be difficult to standardize. polypropylene membrane layer with fly ash/bottom
ash mixed with an activator as the protective layer
(Morgantown, West Virginia, Generating Station);
3.6 Runoff and Flowslides and (3) an impermeable membrane protected by a
cement-treated base overlain by rejected waste coal
3.6.1 Coal Pile Runoff
as the protective barrier (Los Angeles, California,
In light of more stringent environmental regulations,
Export Terminal).
rising costs of water management, and disposal of
waste products, stockyard operators are encouraged
to incorporate systems that will address runoff and 3.6.3 Runoff Treatment
flowslide of coal piles. For recovery of the coal fines, coal pile runoff is
Coal pile runoff occurs when water seeps through directed to settling ponds located close to the corners
the pile or runs off the ground surface. Several of the stockyard and away from the stacking and
elements could generate this runoff: rain, snow, piles reclaiming areas. Another alternative would be to
left to drain to meet moisture content requirements, install presettling ponds ahead of the settling ponds
and underground streams beneath the pile. so that the bulk of the fines would be recovered in the
The amount of rainfall has the greatest impact on primary ponds. This would reduce the amount of
the amount of runoff; soil permeability under the pile fines collected in the settling ponds, leading to a less
also has an impact but to a lesser extent. Factors frequent cleanup of these ponds. Different types of
influencing the coal pile runoff include the following: coal produce different types of runoff. In certain
the composition and size distribution of the coal; the effluents (runoff), additives are used to remove the
drainage patterns in terms of contact time between suspended solids and to modify the pH. Examples of
coal and infiltrating water; and the amount of water these additives are alum (added to the runoff of the
seeping through the pile. Powder River Basin [PRB] subbituminous coal at the
In general, runoff is characterized by high levels of U.S. St. Clair Power Plant) and cationic polymer
solids in suspension, a variable pH, and heavy metal flocculant (added to the runoff at Bolsover Works,
content. The composition of this effluent can vary United Kingdom). In addition, filter presses, other
widely. Acidic leachates show high levels of many mechanical equipment, and chemical processes for
metals. The pH of these leachates also depends on wastewater treatment may be involved. Bioremedia-
Coal Storage and Transportation 575
tion techniques can be applied to produce biode- personnel; if a coal slide occurs, it should be
gradable by-products and recover metals. cleaned up and restacked.
3. Reclaiming the coal from the toe of the pile by
3.6.4 Coal Pile Flowslides front-end loaders should be avoided because of
Instability in coal piles results from two types of the hazard; as coal dries out and adhesion
slope failure: shallow slipping and deep-seated between particles becomes weaker, the unstable
sliding, which is the type that causes flowslides. sides of the pile may collapse.
In the first case, wetting of the surface layer can To control flowslides, experience has shown that:
lead to erosion gullies and to shallow slipping with
small flows depositing saturated coal at the toe of the 1. Controlling the moisture content of the pile can
slope. In the second case, deep-seated sliding causes a decrease the risk of flowsliding.
major flowslide within a short time. The stockpile 2. Compacting the entire coal pile, or selected areas
shows a flat final slope and a temporary steep scarp of it, can reduce the tendency for the saturated
that subsequently slumps back to the angle of repose. coal to suddenly lose strength and to flow.
This slope failure results in economic loss associated 3. Building drainage slopes can facilitate surface
with cleanup costs, loss of production, damage to runoff.
equipment, and danger to personnel. Significant 4. Constructing the pile with an appropriate profile
conditions that could lead to flowslides include the and top facilitates runoff (with convex
following: longitudinal profile and no flat-topped center, or
slightly concave cross-sectional profile, or slightly
1. Saturation of the stockpile base due to the crowned top for compacted piles).
infiltration of heavy rainfall, leading to the 5. Sealing the coal pile is useful in heavy rain areas
potential of a deep-seated slip; but is not practical for working piles.
2. Redistribution of moisture within the coal at 6. Enclosing the pile keeps the coal dry but is an
placement (there is a threshold moisture content expensive option and not applicable at coal
below which no saturated zone develops); blending terminals.
3. Loosely stacked coal (prone to structural 7. Draining the stockpile toe is beneficial for
instability); preventing minor instabilities that could lead to
4. Particle size distribution (migration of fine coal an overall failure.
particles under the influence of water flow causes
local water saturation and reduction in shear
strength).
4. HANDLING COAL AT THE
Failures can happen with relatively fresh coal END-USE SITE
(placed within the previous 2 weeks), and a sig-
nificant coal pile height increases the risk of collapse. 4.1 Pneumatic Transport of Solids
Ideally, strategies to prevent and control flowslides
would mean modifying the stacking method and the Pneumatic transport of particles occurs in almost all
overall stockpile installation, but in reality opera- industrial applications that involve powder and
tional and other factors may preclude major mod- granular materials. The purpose of pneumatic trans-
ifications to the existing operations. Consequently, a port is to protect the products from the environment
more practical approach is to adopt safety precau- and protect the environment from the products.
tions and adjust the height of the stockpiles as Although this is not an energy-efficient method of
prevention measures: transport because it requires power to provide the
motive air or gas, it is easy and convenient to put into
1. Excluding pedestrians and mobile equipment operation.
from stockpiles thought to be prone to flowslides Five components are included in a pneumatic
or from coal piles with modified characteristics, system: conveying line, air/gas mover, feeder, collec-
particularly in the week after heavy rain or tor, and controls.
placement of wet coal. Pneumatic systems are broken down into three
2. Minimizing stockpile height during the rainy classifications: pressure system, vacuum system, and
season; in case of busy shipping schedules and pressure/vacuum system. Their modes of transport
heavy rain, access roads should be closed to are categorized as dilute, strand (two-phase), or
576 Coal Storage and Transportation
dense phase and take into account the characteristics fuel-handling system is key to the successful opera-
of the particles in terms of the following: tion of these handling systems. Slurries are solid–
liquid mixtures. By definition, slurries should contain
1. Material size and size distribution;
sufficient liquid to wet the surface of every particle,
2. Particle shape;
small and large. Therefore, particle size and the
3. Overall force balance of the particle/gas system,
relative density between solids and liquids are
taking into account the acceleration, the drag forces,
important and highlight four types of slurry flow
the gravity, and the electrostatic forces; terminal
regimes: homogenous; heterogeneous; saltation; and
velocity is usually the characterizing term for
moving bed.
particles—the higher the terminal velocity value,
These flow regimes are investigated in laboratory-
the greater the size and/or density of the particle;
scale and pilot-scale rheological tests to elucidate
4. The pressure drop and the energy loss for
slurry behavior, e.g., its viscosity under certain flow
operational costs; the pressure loss calculations
conditions. In these tests, various geometries and
would take into account the voidage, the particle
instruments can be used to measure the rheological
velocity, and the friction factors;
properties of the slurry. These properties are expressed
5. Acceleration of the flow at several locations of
in terms of shear stress (force/area), shear rate, or
the pneumatic system (bend or connection, outlet or
strain rate (velocity/distance). Equations or charts are
inlet);
developed to distinguish between Newtonian and non-
6. Saltation (deposition of particles at the bottom
Newtonian fluids. Virtually all slurries display non-
surface of the pipe);
Newtonian behavior and are represented commonly
7. Pickup velocity, defined as the feed point of the
by shear stress characteristics, such as velocity
solids and the velocity required to pick up particles
gradient curves (pseudo-plastic, plastic, Newtonian,
from the bottom of the pipe;
and dilatant curves). The Bingham plastic is the most
8. Compressibility, which is of paramount impor-
common curve; it is actually characterized by a
tance for long distances and high-pressure systems;
straight line with an intercept on the shear stress axis.
9. Bends, creating significant pressure loss for
This helps in designing the handling systems and the
systems with several bends and a relatively short
operating parameter ranges. For heterogeneous slur-
length (o300 ft);
ries, the design of this type of transport is based almost
10. A dense phase that includes all types of flow,
entirely on correlations developed from experience.
except dilute-phase flow (a lightly loaded flow); and
Pipelines are used to transport slurries over long
11. Choking conditions (in a vertical direction).
distances and these slurries must be stable enough to
withstand the demands of transport, readily separ-
4.2 Pneumatic Transport of Coal able after reaching their destination, and cost-
Three different types of air movers are commonly competitive with other forms of transport.
used for pneumatic transport: fans, blowers, and For pipelines, operating at lower velocities would
compressors. The fans are the most inexpensive result in less pressure loss per length of pipe (smaller
movers, the blowers are the workhorse of pneumatic pumps) and greater pipeline lifetime (less erosion).
transport, and the compressors are used for pressure The minimum operating velocity is the lowest
ratios over 2:1. velocity at which all the particles stay in suspension.
When any of these movers are used in coal-fired As expected, for a given particle size distribution,
steam power plants, primary air fans are used to the greater the solids loading, the more difficult it is
supply air to the mills. There are many varieties of to pump the slurry. However, adding wood pulp
feeders, such as rotary feeders with different design fibers to the slurry has considerably reduced the drag
variations (rotor, blades, and casing), gate lock because of changes in the turbulent flow regimes. For
feeders in pressurized systems, and screw feeders. In instance, in aqueous slurries of 20% coal with and
addition, filters and cyclones are available for without wood pulp fibers flowing at 15 and 60 ft/s,
separating, dividing, or redirecting the flow. the drag has been reduced up to 30% over this range
of velocities by the addition of 0.8% fibers.
4.3 Transport Properties of Slurries or In addition to the type of drag-reducing additives
Wet Solids that help increase the solid loading in the slurry (to
70% solids with additives, compared to 55% solids
Understanding and accurately predicting the flow without additives), there are other additives that will
behavior of solid–liquid mixtures through the slurry help to retard particle settling. These can increase the
Coal Storage and Transportation 577
shelf-life of the slurry from a few days to several an insight into the impact of the coal on the
months. power station performance. In conventional steam
power plants, coal slurry technology has been
commercialized. One example is the 273-mile Black
4.4 Slurry Transport of Coal
Mesa coal pipeline that provides all the fuel
A particle size must be created to transport coal requirements (approximately 5 million tons/year) to
slurry, requiring a balance between pumping and two 750 MW generating units in southern Nevada.
dewatering characteristics. If the slurry is too fine, In pressurized fluidized bed combustion, coal and
the pumpability is good but the process of separating sorbent (usually lime or limestone) are injected into a
water from solids could be difficult. If the slurry is fluidized bed as a water-mixed paste using concrete
too coarse, it is not homogenous and higher pumping pumps or pneumatically as a dry suspension via lock
power is needed. In short, two parameters need to be hoppers. In the first case, the coal could be crushed
controlled: the density of the slurry and the top by roll crushers to a certain size distribution, such as
particle size. The first parameter, in terms of slurry a top size of 6 mm, and the sorbent could be crushed
concentration, has an important impact on friction through hammer mills to a certain top size, such as
loss and the critical velocity of the slurry. The second 3 mm. After that, the coal and sorbent are mixed to
parameter prevents pluggage of pipelines by control- form a pumpable slurry. Optimizing the paste
ling the coal particles. In addition, corrosion moisture content at 20–30% is an acceptable
inhibitors, such as sodium dichromate, will protect compromise relative to boiler efficiency. At the Tidd
the pipe wall, and other additives, such as sodium Plant in Brilliant, Ohio, for example, the coal paste
sulfite, will act as oxygen scavengers. had a nominal value of 25% weight water.
In commercial pipelines, a so-called critical con- Regarding atmospheric circulating fluidized bed
centration range exists where the slurry provides combustion, coal slurry represents a preferable
maximum support for the particles without an solution when using low-grade coals and coal wastes.
untenably high critical velocity (for the pumping Three options are available: a dilute slurry (440%
stations). At the destination, the objective is to remove water), a dense slurry (o40% water), or a nominally
the water and recover the solids with minimum dry material (E12% water). Coal slurry has also
moisture content by using centrifuges or filters. been used in integrated gasification combined cycles,
Coal slurries find applications in power genera- such as at the Wabash power station and at the
tion. The IEA Coal Research report of 1993 gives Tampa Electric Company’s Polk power station.
TABLE XI
Example of Coal Storage Requirements at a Coal-Fired Power Plant
Coal
Heat to turbine 4591 106 kJ/h 4591 106 kJ/h 4591 106 kJ/h 4591 106 kJ/h
Boiler efficiency 83.5% 86.2% 88.5% 90.5%
Coal heat input 5499 106 kJ/h 5326 106 kJ/h 5185 106 kJ/h 5073 106 kJ/h
Coal HHV 14.135 MJ/kg 19.771 MJ/kg 26.284 MJ/kg 33.285 MJ/kg
Coal flow rate 429 tons/h 297 tons/h 217 tons/h 168 tons/h
Design storage requirements, tons
Bunker (12 h) 5148 3564 2604 2016
Live (10 days) 102,960 71,280 52,080 40,320
Dead (90 days) 926,640 641,520 468,720 362,880
Storage time for eastern bituminous plant designa
Bunker 4.7 h 6.8 h 9.3 h 12.0 h
Live 3.9 days 5.7 days 7.7 days 10.0 days
Dead 35 days 51 days 69 days 902 days
5. STORING COAL AT THE at full load. The length of time for each storage type
END-USE SITE is as follows: 12 h for in-plant storage in bunkers, 10
days for live storage, and more than 90 days for
5.1 Safe Storage of Crushed Coal reserve storage. These time periods are usually set by
the operating procedures of the plant (power station
Crushed coal storage can be divided into two types: capacity, heat rate, and coal heating value) and by
live storage (e.g., active storage with a short other constraints (e.g., stocking strategies). If the
residence time) and dead storage (e.g., reserve actual heating value of the coal changes and if the
storage). A common practice is to directly transfer steam generator is expected to operate at a certain
part of a shipment to live storage and divert the fixed heat input, the storage capacity and the
remainder to reserve storage. quantities delivered to the plant must increase. As a
Usually, the storage components are sized to a result, silos or bunkers represent an important link to
certain capacity equivalent to a fixed period of firing provide an interrupted coal flow to the pulverizers.
Typically at coal-fired power plants, a number of
round silos with conical bottoms are stationed on
TABLE XII each side of the boiler (steam generator).
Silos and bunkers are constructed of either
Preferred Range of Coal Properties for Mills
concrete or steel and are generally round. Loading
Mill type and unloading of coal from the silo are carefully
controlled to prevent dangerous offset loading on the
Low Medium High foundations. The coal is supplied to the mills and
Properties speed speed speed
pulverized continuously and a mixture of pulverized
Maximum capacity 100 tons/h 100 tons/h 30 tons/h coal/air is pneumatically transported to the burners.
Turndown 4 :1 4 :1 5 :1 A single mill can supply several burners (tangentially
Coal feed top size 25 mm 35 mm 32 mm fired systems and wall-fired systems). Table XI gives
Coal moisture 0–10% 0–20% 0–15% an example of coal storage requirements at a coal-
Coal mineral matter 1–50% 1–30% 1–15% fired power plant in the 1980s.
Coal quartz content 0–10% 0–3% 0–1%
Coal fibre content 0–1% 0–10% 0–15%
5.2 Milling of Pulverized Coal
Hardgrove grindability index 30–50, 80 40–60 60–100
Coal reactivity Low Medium Medium At the mill, fine grinding of coal involves pro-
ducing coal particle sizes such that 70% or more are
Source. Adapted from Sligar (1985). finer than 75 mm (200-mesh) to ensure complete
TABLE XIII
Impact of Coal Properties on Mill Performance
Drying * Moisture affects primary air requirements and power consumption of mills
* Volatile matter affects the susceptibility to mill fires
* Total moisture causes a 3% throughput for a 1% moisture increase for low-speed mill; a 1.5%
throughput for 1% moisture increase above 12% moisture for medium-speed mill
Mill throughput * Total moisture (see above)
* 1% throughput for 1-unit reduction in HGIa for both mill types (caution when using HGI for coal blend
behavior)
* Raw coal top size: 3% throughput for 5 mm increase in top size for low-speed mill; no loss in throughput
below 60 mm top size for medium-speed mill
* Pulverized fuel size distribution: reduction of fraction going through o75 mm mesh screen by 0.35% for a
1% increase in throughput for low-speed mill; reduction by 0.9% for a 1% increase in throughput for
medium-speed mill
Wear * Mineral matter and size distribution influence the operation and maintenance of both types of mills
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Cogeneration
DOUG HINRICHS
Clean Energy Consultant
Silver Springs, Maryland, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 581
582 Cogeneration
utilities are actively pursuing new cogeneration decade, with additional growth targeted by the
projects as part of their business strategy. PURPA government.
has played a critical role in moving cogeneration into
the marketplace by addressing many barriers that
were present in the early 1980s. 2. TECHNICAL
During the 1990s, approximately 9500 miles of CHARACTERIZATION
new high-voltage transmission lines were constructed
(an approximately 7% increase)—short of the 2.1 Efficiency Gains
need—which represented a new opportunity for
efficient distributed generation (DG) and cogenera- According to the U.S. Combined Heat and Power
tion use. The U.S. Department of Energy (DOE) Association, cogeneration technologies produce both
estimates that more than 390 GW of new generating electricity and steam from a single fuel at a facility
capacity will be needed by 2020 to meet growing located near the consumer. These efficient systems
U.S. energy demand and offset power lost from recover heat that normally would be wasted in an
retired power plants. However, obtaining approval electricity generator, and they save the fuel that
for construction of new transmission lines and would otherwise be used to produce heat or steam in
acquiring right-of-ways is very difficult. a separate unit.
According to Tom Casten, founder of Trigen and Cogeneration offers dramatic advantages in effi-
currently chairman and CEO of Private Power, ‘‘The ciency and much lower air pollution than conven-
public simply detests new transmission lines, and no tional technologies (Fig. 1). A wide variety of
one wants them in their back yard. Most recent U.S. cogeneration technologies generate electricity and
power problems were caused by lack of adequate meet thermal energy needs (direct heat, hot water,
transmission and distribution (T&D), and nobody steam, and process heating and/or cooling) simulta-
close to the industry believes enough new transmis- neously at the point of use. Cogeneration can result
sion can be built.’’ Distributed cogeneration systems in system efficiencies of 70–90%, compared with the
require no new construction of T&D lines. Tom national average of 30% efficiency for conventional
Casten cites industry forecasts that estimate that the electricity plants and perhaps 50% for conventional
United States will need 137,000 MW of new capacity thermal applications.
by 2010. According to Casten, meeting this demand The environmental benefits of cogeneration are
will require $84 billion for new power plants and apparent. Cogeneration systems in the United States:
$220 billion for new T&D, for a total of $304 bil-
lion. Meeting the same demand with DG will require
$168 billion for new plants but $0 for T&D. Casten
notes, ‘‘A distributed energy future would save $136
billion of capital investment and reduce the cost of Conventional
new power by about 3b/kW.’’ generation
Losses
(95)
Decrease energy use by approximately 1.3 By using recuperators that capture and return waste
trillion Btus/year. exhaust heat, existing microturbine systems can
Reduce NOx emissions by 0.4 million tons/year. reach 25–30% cycle efficiency. The incorporation
Reduce sulfur dioxide (SO2) emissions by more of advanced materials, such as ceramics and thermal
than 0.9 million tons/year. barrier coatings, could further improve their effi-
Prevent the release of more than 35 million ciency by enabling a significant increase in engine
metric tons of carbon equivalent into the atmosphere. operating temperature.
Microturbines offer many advantages over other
technologies for small-scale power generation, in-
2.2 Technology Advances
cluding the ability to provide reliable backup power,
Nearly all U.S. buildings and industries use thermal power for remote locations, and ‘‘peak shave.’’ Other
energy from boilers for space heating, hot water, advantages include less maintenance and longer
steam systems, and direct process heating applica- lifetimes because of a small number of moving parts,
tions. Most cogeneration systems installed in the compact size, lighter weight, greater efficiency, lower
United States are used for industrial applications, but emissions, and quicker starting. Microturbines also
there is increasing usage by U.S. commercial and offer opportunities to use waste fuels such as landfill
institutional building owners and district energy gas.
systems worldwide. Newer thermally activated tech- Second, gas-fired reciprocating engines are the
nology applications include recycling waste heat for fastest selling, least expensive distributed generation
cooling and humidity control, which has significant technology in the world. Commercially available
energy and economic potential. natural gas versions of the engine produce power
Recent advances in technology have resulted in from 0.5 kW to 10 MW, have efficiencies between 37
the development of a range of efficient and versatile and 40%, and can operate down to NOx levels of 1 g
systems for industrial and other applications. Im- per horsepower-hour. When properly treated, these
provements in electricity generation technologies, rugged engines can run on fuel generated by waste
particularly advanced combustion turbines and en- treatment (methane) and other biofuels. By using
gines, have allowed for new configurations that recuperators that capture and return waste exhaust
reduce size but increase output. Distributed, on-site heat, reciprocating engines can also be used in
power generation technologies, such as microtur- cogeneration systems in buildings to achieve en-
bines, reciprocating engines, industrial turbines, and ergy-efficiency levels approaching 80%.
fuel cells, are becoming more effective at generating Gas-fired reciprocating engines offer many ad-
electricity and producing recoverable thermal energy. vantages over other technologies for small-scale
Recovered heat from these generation technolo- power generation, including the ability to provide
gies can be used to power thermally activated highly reliable, inexpensive backup power; provide
technologies, control humidity with desiccant dehu- power for remote locations; and generate on-site
midifiers, and heat buildings with steam or hot water power during peak periods when utility charges are
in cogeneration systems. highest.
Reciprocating engines require fuel, air, compres-
sion, and a combustion source to function. Depend-
2.3 Prime Movers
ing on the ignition source, they generally are
Prime movers generate electricity and heat, or classified into two categories: spark-ignited engines,
electric and thermal energy. They include several typically fueled by gasoline or natural gas, and
technologies. First, microturbine generator units are compression-ignited engines, typically fueled by
composed of a compressor, combustor, turbine, diesel oil.
alternator, recuperator, and generator. In a simple Third, tremendous efficiency strides with regard to
cycle turbine (without a recuperator), compressed air industrial gas turbines have been made in recent
is mixed with fuel and burned under constant years. Combustion turbines are a class of electricity-
pressure conditions. The resulting hot gas is allowed generation devices that produce high-temperature,
to expand through a turbine to perform work. high-pressure gas to induce shaft rotation by
Recuperated units use a heat exchanger (recup- impingement of the gas on a series of specially
erator or regenerator) that recovers some of the heat designed blades. Industrial gas turbines are used in
from the turbine exhaust and transfers it to the many industrial and commercial applications ran-
incoming air stream for combustion in the turbine. ging from 1 to 20 MW.
Cogeneration 585
Because gas turbines are compact, lightweight, that of the local utility and does not have a peak or
quick starting, and simple to operate, they are used demand charge associated with it.
widely in industry, universities and colleges, hospi- Fourth, fuel cells were discovered in 1839 when
tals, and commercial buildings to produce electricity, scientist William Grove accidentally let a hydrolysis
heat, or steam. In such cases, simple cycle gas experiment run backwards. He was surprised to
turbines convert a portion of input energy from the learn that electron flows were created when hydro-
fuel to electricity and use the remaining energy, gen and oxygen combined. NASA made this technol-
normally rejected to the atmosphere, to produce ogy well-known with its use in space shuttles.
heat. This waste heat may be used to power a Fuel cells consist of two electrodes (cathode and
separate turbine by creating steam. The attached anode) around an electrolyte. The generation process
steam turbine may generate electricity or power a involves introducing hydrogen to one side of the fuel
mechanical load. This is referred to as a combined cell (the anode), where it breaks apart into protons
cycle combustion turbine since two separate pro- and electrons. The electrode conducts protons but
cesses or cycles are derived from one fuel input to the not electrons. The protons then flow through while
primary turbine. the electrons travel through the external circuit and
These reliable distributed generation technologies provide electrical power. The electrons and protons
are becoming the mainstay of peak shaving equip- are reunited at the other end of the fuel cell (the
ment. When needed, this equipment can be started cathode). When combined with oxygen from the air,
immediately and can quickly generate full capacity. fuel cells produce water and heat in a process that is
The waste heat generated by the turbine can be practically silent, nearly emission free, and involves
used to generate steam in a heat recovery steam no moving parts.
generator (HRSG), which can power a steam turbine, Fuel cells are categorized by the kind of electrolyte
heat living space, or generate cooling using steam- they use. Electrolyte types used in the building sector
driven chillers. The advantages of these types of include phosphoric acid, molten carbonate, solid
systems are inexpensive electrical power and better oxide, and proton exchange membrane. High-tem-
reliability since the user may be independent from the perature molten carbonate and solid oxide fuel cells
grid. These systems can be started even if the grid has are undergoing full-scale demonstration with some
failed. existing applications. Manufacturers are actively
Advanced materials, such as ceramics, composites, pursuing this technology for widespread, general use
and thermal barrier coatings, are some of the key in commercial buildings, homes, and transportation.
enabling technologies under development to improve Although price and performance data on recipro-
the efficiency of distributed generation technologies. cating engines and turbines are fairly well estab-
Efficiency gains can be achieved with materials such lished, data for fuel cells are based on a limited
as ceramics, which allow a significant increase in number of demonstration projects. As a result,
engine operating temperature. The increased operat- comparisons of price and performance should be
ing temperature also lowers greenhouse gas and NOx interpreted with caution.
emissions. The price and performance of engines, turbines,
Two successful applications of HRSG systems are and fuel cells are summarized in Table I.
at Princeton University and the Massachusetts Finally, concentrating solar electric generators
Institute of Technology (MIT). Each school deploys concentrate solar power during the high solar
a gas turbine for electrical generation to meet the radiation periods onto tubes of water (or oil) to
majority of the campus’s needs. The exhaust heat make usable steam, which can then be used to make
from these turbines drives an HRSG. The steam from electricity in a steam generator or to power a chiller.
the HRSG provides heating for campus living spaces Some concentrating solar electric generators use a
and cooling through steam-driven chillers. Fre- hybrid renewable/fossil fuel system to diversify their
quently, summer peak-time operation of electrical energy source.
chillers is expensive. Producing steam on-site enables California’s Mojave Desert is home to the world’s
the use of steam-driven chillers. Operating steam- largest concentrating solar power facility. The Solar
driven chillers acts to peak shave the user’s high Electric Generating System plants have a combined
demand operations, thus saving money. The electri- capacity of 354 MW and are configured as hybrids.
city generated by the gas turbine may also be used to The nine hybrid plants generate more than 75% of
operate conventional electric chillers. Since the user the total power output from the sun, with natural gas
generates this electricity, the price may be lower than providing the balance.
586 Cogeneration
TABLE I
Cost and Performance of Distributed Generation Technologies for Cogeneration Systemsa
a
Source. Resource Dynamics Corporation (2002).
b
Cost varies significantly based on siting and interconnection requirements as well as unit size and configuration.
c
Assuming cogeneration.
2.4 Thermally Activated Technologies off to a condenser. The cooled water vapor then
passes through an expansion valve, where the
Thermally activated technologies (TATs) take advan- pressure reduces. The low-pressure water vapor then
tage of the waste heat from prime movers. There are enters an evaporator, where ambient heat is added
several types of TATs. from a load and the actual cooling takes place. The
First, absorption chillers provide cooling to heated, low-pressure vapor returns to the absorber,
buildings by using heat. This seemingly paradoxical where it recombines with the lithium bromide and
but highly efficient technology is most cost-effective becomes a low-pressure liquid. This low-pressure
in large facilities with significant heat loads. Absorp- solution is pumped to a higher pressure and into the
tion chillers not only use less energy than conven- generator to repeat the process.
tional equipment but also cool buildings without the Absorption chiller systems are classified by single-,
use of ozone-depleting chlorofluorocarbons. double-, or triple-stage effects, which indicate the
Unlike conventional electric chillers, which use number of generators in the given system. The
mechanical energy in a vapor compression process to greater the number of stages, the higher the overall
provide refrigeration, absorption chillers primarily efficiency. Double-effect absorption chillers typically
use heat energy with limited mechanical energy for have a higher initial cost, but a significantly lower
pumping. These chillers can be powered by natural energy cost, than single-effect chillers, resulting in a
gas, steam, or waste heat. lower net present worth. Triple-effect systems are
An absorption chiller transfers thermal energy underdevelopment.
from the heat source to the heat sink through an Chillers employ cogeneration thermal output
absorbent fluid and a refrigerant. The absorption during cooling periods when heating uses are limited
chiller accomplishes its refrigerative effect by absorb- to domestic hot water loads or zonal heating, which
ing and then releasing water vapor into and out of a may be small in many building types. These units
lithium bromide solution. The process begins as heat involve a complex cycle of absorbing heat from the
is applied at the generator and water vapor is driven cogeneration system to create chilled water. The
Cogeneration 587
waste heat from the cogeneration system is used to agent to remove water from the air being used
boil a solution of refrigerant/absorbent. Most sys- to condition building space. Desiccants can work
tems use water and lithium bromide for the working in concert with chillers or conventional air-condi-
solution. The absorption chiller then captures the tioning systems to significantly increase energy
refrigerant vapor from the boiling process and uses system efficiency by allowing chillers to cool low-
the energy in this fluid to chill water after a series of moisture air. Desiccants can run off the waste heat
condensing, evaporating, and absorbing steps are from distributed generation technologies, with sys-
performed. This process is essentially a thermal tem efficiency approaching 80% in cogeneration
compressor, which replaces the electrical compressor mode.
in a conventional electric chiller. In so doing, the The desiccant process involves exposing the
electrical requirements are significantly reduced, re- desiccant material (e.g., silica gel, activated alumina,
quiring electricity only to drive the pumps that circulate lithium chloride salt, and molecular sieves) to a high
the solution by single-effect chillers (Table II). relative humidity air stream—allowing it to attract
Second, engine-driven chillers (EDCs) are essen- and retain some of the water vapor—and then to a
tially conventional chillers driven by an engine lower relative humidity air stream, which draws the
instead of an electric motor. They employ the same retained moisture from the desiccant. In some
thermodynamic cycle and compressor technology as applications, desiccants can reduce cooling loads
electric chillers but use a gas-fired reciprocating and peak demand by as much as 50%, with
engine to drive the compressor. As a result, EDCs can significant cost savings.
provide cooling economically where gas rates are In stand-alone operations, a solid (dry) desiccant
relatively low and electric rates are high. EDCs also removes moisture from the air; a heat exchanger and
offer better variable-speed performance, which yields evaporative cooler then chill the air. A desiccant
improved partial load efficiencies (Table III). dehumidifier wheel, composed of lightweight honey-
Third, desiccant dehumidifiers use thermal energy comb or corrugated matrix material, dries the air as
to dehumidify and to some extent control the indoor the wheel rotates through the supply air before
air quality of building space. With the recent push reaching the building. Once the desiccant material
toward building humidity control, manufacturers of reaches its saturation point, heat must be added or
desiccant dehumidification systems have developed the material must be replaced to regenerate the
new packages designed to treat building ventilating moisture-absorbing capability. Natural gas, waste
air efficiently. A desiccant dehumidifier uses a drying heat, or solar energy can be used to dry moisture that
TABLE II
Cost and Performance of Single-Effect, Indirect-Fired Absorption Chillersa
Tons Cost ($/ton) Electric use (kW/ton) Thermal input (Mbtu/ton) Maintenance cost ($/ton annual)
a
Source. Resource Dynamics Corporation (2002).
TABLE III
Cost and Performance of Engine-Driven Chillersa
Tons Cost ($/ton) Electric use (kW/ton) Thermal input (Mbtu/ton) Maintenance cost ($/ton annual)
a
Source. Resource Dynamics Corporation (2002).
588 Cogeneration
TABLE IV
Cost and Performance of Desiccant Dehumidification Systemsa
a
Source. Resource Dynamics Corporation (2002).
Cogeneration 589
facility may be more attractive and less problematic Thousands of boilers provide process steam to a
to the local electric utility in terms of projected load broad range of small industrial U.S. manufacturing
loss. plants. These boilers offer a large potential for
Addressing the need for distributed energy systems adding new electricity generation between 50 kW
to interconnect to the electric utility grid, and to and 25 MW by either modifying boiler systems to
obtain supplemental and backup power, is critical to add electricity generation (e.g., repowering existing
the success of cogeneration projects throughout the boilers with a combustion turbine) or replacing the
United States. Including multiple, dispersed generat- existing boiler with a new cogeneration system.
ing and cogeneration units throughout the grid is a Small manufacturers represent an important growth
relatively new concept—one that has to be incorpo- segment during the next decade.
rated into the existing technical, regulatory, and Various industrial markets, including petrochem-
institutional framework. ical, food products, bioproducts, and biotech, rank
Some utilities are considering investing in the as the highest priority markets for future industry
cogeneration value proposition to not only help them growth. The petrochemical market is the largest
meet air quality objectives in their service territories cogeneration market sector nationally, representing
but also to respond to customer service demands. approximately 40% of existing cogeneration capa-
Some utilities understand that cogeneration systems city. Bulk chemicals are in economic decline domes-
can significantly lower power plant, offer affordable tically. Some sectors of the chemicals industry are
incremental power costs, help optimize natural gas continuing to experience significant growth, includ-
resources, hold gas costs down, and may open the ing pharmaceuticals, specialty chemicals, and bio-
door to new thermal energy business. products including ethanol and biofeedstocks.
Also, if regulators do not permit, or if utilities Food products manufacturing is a fast growing
disincent, cogeneration competition on an intercon- and stable market with demonstrated opportunity
nected basis, end users will be forced to install the for cogeneration. The ACEEE has identified food
on-site systems on an ‘‘islanded’’ basis, leaving products as one of the most geographically dispersed
electric utilities out of the energy business. Now is industry groups, with a significant presence in almost
an opportune time for utilities to embrace cogenera- all states. In contrast to wood products and bulk
tion as part of a national energy security campaign chemicals industries, which are in economic decline
and as part of their own strategic business plans. domestically, the food products industry is among
the fastest growing industry groups.
The growing biotech industry has overtaken the
3.2 Industrial
computer and semiconductor industry as a leader in
Cogeneration has been most successful in large projected economic growth. Both sectors have
industrial applications that require large amounts similar power reliability and thermal management
of steam, but it is also well suited to use in hospitals, needs. The biotech market has not experienced the
laundries, and health clubs. Since 1980, approxi- same slowdown that has been seen in the computer-
mately 50,000 MW of cogeneration capacity has related markets.
been built in the United States.
Cogeneration in the large to medium industrial
3.3 District Energy
market is typically found in the process industries,
such as petroleum refining, pulp and paper, and District energy systems are a growing market for
chemicals. These systems have installed electricity cogeneration because these systems significantly
capacities 425 MW (often hundreds of megawatts) expand the amount of thermal loads potentially
and steam generation rates measured in hundreds of served by cogeneration. District energy also has a
thousands of pounds of steam per hour. This sector major added benefit of reducing the requirement for
represents the largest share of the current installed size and capital investment in production equipment
cogeneration capacity in the United States and is due to the diversity of consumer loads. These systems
the segment with the greatest potential for short-term also tend to use larger and more efficient equipment
growth. Some facilities of this type are merchant and can take advantage of such things as thermal
power plants using combined cycle configurations. energy storage that are not economically effective on
They are owned by an independent power producer a small scale. Additionally, district energy systems
that seeks an industrial customer for its waste stream aggregate thermal loads, enabling more cost-effective
and sells excess electricity on the wholesale market. cogeneration. District energy systems may be installed
590 Cogeneration
at large, multibuilding sites, such as universities, IDEA also notes that many colleges and univer-
hospitals, and government complexes. District energy sities conduct critical research and therefore need
systems can also serve as merchant thermal systems reliable power to avoid losing months or years of
providing heating (and often cooling) to multiple research and to assure students and the community
buildings in urban areas. that test animals are being properly cared for.
According to the International District Energy Cogeneration could provide both power reliability
Association (IDEA), there are three primary markets and space conditioning.
for district energy: colleges and universities, down- Major urban centers are also a very promising
towns, and airports. The college and university market for adding cogeneration to existing district
market seems to be the most promising due to energy systems. Many district energy steam plants
several factors. Colleges and universities are instal- were originally cogeneration facilities that generated
ling cogeneration in response to campus load both power and steam when owned by the local
growth, asset replacement of aging boiler capacity, electric utility. There is a growing need for local grid
and the favorable economics from fuel efficiency support in light of utility divestiture of generating
improvements with cogeneration. capacity coupled with solid market growth in
Frequently, large campuses centralize heating downtown district energy systems.
and cooling and have large electrical loads. Many Airports represent another promising opportunity;
options are available for satisfying this electrical, these facilities are often in NOx nonattainment areas
heating, and cooling demand. A common way is and face significant emissions pressure from both
to size a boiler for the entire campus’s heating regulators and the community. With large space
load. Large facilities may be able to negotiate conditioning and electrical load with long hours of
attractive fuel contracts that lower heating costs operation, airports are often well suited to add
and may choose to oversize the boiler, enabling the cogeneration to their district energy systems.
use of excess steam to power a steam turbine for
electrical generation or a steam-driven chiller. This
3.4 Federal Government
cheap, on-site secondary power source (steam) may
make the generation of electricity or cooling less The federal government is the largest energy con-
expensive than conventional methods such as sumer in the United States, with new mandates to
purchasing from the grid and using conventional meet increased demand, reduce peak operating costs,
electric chillers. enhance energy security, and improve the reliability
The University of North Carolina at Chapel Hill, of electric power generation through DG and
the University of Texas at Austin, and Cornell cogeneration. The Federal Energy Management
University represent examples of this situation. In Program was created to reduce government costs
each case, the universities have large boilers making by advancing energy efficiency, water conservation,
steam for a variety of uses. Each campus ties the and the use of solar and other renewable energies.
boilers to a steam turbine and the campus’s heating Executive Order 13123, ‘‘Greening the Government
system. The steam turbine generates electricity for through Efficient Energy Management,: specifies that
campus use, reducing the dependency on the local federal facilities shall use combined cooling, heat,
grid and saving operating dollars for the campus. and power systems when lifecycle costs indicate that
This cheap electricity may also be used to operate energy reduction goals will be achieved. This market
electric chillers for cooling, further reducing cooling sector resembles the district energy sector, although
costs. The remainder of the steam is used for heating the two sectors have different drivers and budgetary
of domestic water and all the campus’s office, pressures.
classroom, and dormitory spaces. Steam generated According to the ACEEE, the largest cogeneration
by the boilers may also be used by steam-driven potential at federal facilities has been identified
chillers for cooling campus living space. at military facilities, many of which are managed
IDEA reports that college and university markets by various agencies within the Department of
have significant pressures for ‘‘greening the campus,’’ Defense.
especially in the Northeast. Princeton, MIT, Rutgers,
and the New Jersey Higher Education Partnership
3.5 Commercial/Institutional
for Sustainability are exemplary, but there are other
promising college and university examples through- The United States consumed more than 94 quad-
out the country. rillion Btus of energy in 2000. Of this total,
Cogeneration 591
In some cases, cogeneration projects would be able A promising development that the U.S. Environ-
to proceed if the interconnection procedures for mental Protection Agency (EPA) is sponsoring is
generators were standardized through a process of ‘‘demand response’’ run by regional transmission
law making or rule making with the state simplifying, organizations. End users can bid back to the grid
or at least setting, a recognized standard for the pool to reduce their electricity use by using on-site
process. Both Texas and California have developed power or energy efficiency at set rates.
state-level interconnection standards (CEC 2001 and
Texas 2000). These standards represent a compromise
between utilities and generators. Although the guide-
4.3 Time-of-Use Pricing
lines differ in some specifics and main motivation, Time-of-use pricing is a rate structure intended to
both create a relatively rapid and standard procedure encourage customers to shift their energy use away
for all generators seeking to connect to the grid. from peak hours when wholesale electricity prices
The Texas Public Utility Regulatory Act of 1999 are highest. Real-time pricing can be readily used in
granted all utility customers access to DG. On large commercial and industrial facilities to manage
February 4, 1999, the Texas Public Utility Commis- thermal loads, making cogeneration more cost-
sion (PUCT) adopted interconnection standards effective. Chilled water and ice thermal energy
(PUCT 1999). PUCT continued to investigate DG storage, for example, are effective means to shift
and in May 2002 published a guidebook to load to off-peak periods.
interconnection in the state.
California’s decision to expedite the streamlining
of interconnection procedures resulted from their 5. U.S. FEDERAL
well-publicized energy problems in 2000 and 2001. GOVERNMENT SUPPORT
Although there are many reasons why California had
to resort to rolling blackouts, increasing DG is a way The U.S. federal government is supporting cogenera-
to remove pressure from the grid and reduce the tion at the highest administration levels as well as
likelihood that the event will be repeated. through various agency programs and association
The California Energy Commission (CEC) com- support.
pleted a state DG plan (CEC 2002), which included a
plan for creating standardized guidelines for inter-
connection to the grid. In 2002, the CEC’s Rule 21 5.1 Administration
Interconnection Working Group completed this Released in May 2001, the Bush administration’s
guideline. Soon thereafter, the California Public National Energy Plan recognized the important role
Utilities Commission adopted the standards. Indivi- that cogeneration can play in meeting national energy
dual utility versions of the interconnection standards objectives and maintaining comfort and safety of
can be found at www.energy.ca.gov. commercial and office buildings. Section 3–5 states:
the NOx emissions, one-third of the mercury emis- increased implementation. The initiative supports a
sions, and one-third of the CO2 emissions, a leading range of activities, including regional, national, and
greenhouse gas. These emissions contribute to serious international meetings; industry dialogues; and de-
environmental problems, including global climate velopment of educational materials.
change, acid rain, haze, acidification of waterways, The DOE is also helping manufacturers work
and eutrophication of critical estuaries. They also together to integrate their individual cogeneration
contribute to numerous health problems, such as components into easier to use packages and to make
chronic bronchitis and aggravation of asthma, plug-and-play packages more readily available in the
particularly in children. commercial and industrial marketplace. On August
The EPA understands that resolving these pro- 8, 2001, Energy Secretary Abraham announced
blems must start with pollution prevention, which awards to seven industry teams for research, devel-
equates to using fewer energy resources to produce opment, and testing of first-generation packaged
goods and services. The National Energy Plan cooling, heating, and power systems.
includes four specific recommendations to promote Integrated energy systems (IES) is a new approach
efficient cogeneration, three of which were directed to integrating all types of energy technologies into a
to the EPA for action: building’s energy system, including DG, cogeneration,
HVAC, doors, windows, distribution systems, con-
1. Promote cogeneration through flexible envir- trols, insulation, building materials, lighting, and other
onmental permitting. building equipment. The link between building design
2. Issue guidance to encourage development of and energy use is key to IES. As a DOE National User
highly efficient and low-emitting cogeneration Facility, Oak Ridge National Laboratory (ORNL)
through shortened lead times and greater certainty. provides manufacturers access to the user facility to
3. Promote the use of cogeneration at abandoned help them evaluate and optimize the performance of
industrial or commercial sites known as brownfields. IES and develop IES certification protocols.
The IES test center at the University of Maryland
As a follow-up to these recommendations, the is designed to show building owners and managers
EPA joined with 18 Fortune 500 companies, city and how to save energy without sacrificing comfort in
state governments, and nonprofits in February 2002 their buildings. The center is testing various cogen-
in Washington, DC, to announce the EPA Combined eration systems in an office building on campus. Phil
Heat and Power Partnership. Cogeneration advances Fairchild, program manager for Cooling, Heating,
cogeneration as a more efficient, clean, and reliable and Power for ORNL, explains,
alternative to conventional electricity generation.
As another follow-up to the National Energy Plan, What we’re trying to do at the test center is to put together
the EPA is continuing work on a guidance document different pieces of equipment, use recoverable energy, and
that clarifies how source determinations should be in doing so, understand the science of integration so that we
can assist or better advise manufacturers about how to
made for district energy and cogeneration projects
integrate the equipment in the future. If we reach our goals,
under the New Source Review and Title V permitting manufacturers will have a better incentive, in terms of
regulations. The EPA intends for this guidance to efficiency gains, to offer packaged or modular systems to
help permitting officials and project developers the commercial building sector.
streamline the development and permitting of these
projects nationwide. The DOE is supporting a series of regional CHP
Through multiple programs, the DOE and its application centers to provide application assistance,
network of national laboratories have been working technology information, and education to architects
with manufacturers, end users, and other govern- and engineering companies, energy services compa-
ment offices to support increased use of cogeneration nies, and building owners in eight states. The
technologies. Midwest CHP application center was the first,
established in March 2001 as a partnership between
the DOE, the University of Illinois at Chicago’s
5.3 U.S. Department of Energy
Energy Resources Center, the Gas Technology
The DOE’s Office of Distributed Energy Resources Institute, and ORNL. The center’s educational
coordinates the CHP Initiative to raise awareness of material includes a Web site, accredited training
the energy, economic, and environmental benefits of classes, engineering tool kits, case studies, and
cogeneration and highlight barriers that limit its application screening tools.
594 Cogeneration
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 595
596 Combustion and Thermochemistry
Fuel
Heat Furnace
Solid, liquid, combustor
or gas fuel Heat boiler
Control
Mixing Ignition Pollutants
techniques
Oxygen
Chemical Reactors
Gasification species
Catalyst
Plasma
Flame instability
work. Figure 1 shows a flow diagram of typical natural gas, methane, and propane. The oxidant
combustion processes. is mostly oxygen but may include F2O, F2O2, NF3,
Advanced measurement/control devices have been ClF3, ClF3, ClO3F, O3, and N2F4 in some rocket
traditionally used as tools for analysis of combustion applications. The fuel and the oxidant can also
systems. The analysis can lead to lower energy use be formed as a monopropellant in rocket applica-
and lower pollutant emissions by a system. In recent tions. Catalysts are sometimes used to enhance com-
years, the computational analyses, including compu- bustion.
ter models of kinetics and fluid dynamics, have been Inert species are not directly involved in the
used as an added tool for combustion analysis. The combustion process, but at high temperatures these
focus here is to assess the overall process of analyzing species can be dissociated or ionized. These species
a combustion system. include the nitrogen in the air and the ash in coal.
A computational combustion analysis starts with Major combustion products include CO2 and H2O.
the identification of the participating elements and Because these species can emit and absolve radiation
their thermochemical properties and relations. This energy, they are regarded as greenhouse gases that
is followed by derivation of the governing equations are related to the global warming issue. Many
and development of the required phenomenological intermediate species, such as OH, CO, CH, are
models, including turbulent mixing, droplet evapora- present during combustion. Combustion products
tion, particle devolatization, radiation heat transfer, also include some minor species, i.e., NOx, SOx,
and interfacial interactions. Then, the governing unburnt hydrocarbons (UHCs), and soot. These
equations are solved numerically on a computer. species are regarded as pollutants. NOx and SOx
The results are validated with experimental data. are believed to cause acid rain, UHCs play a role in
Thus, the validated computer code can be used to smog, and soot chemicals, including polynuclear
evaluate the combustion system and to control aromatics, may be carcinogenic.
combustion products. In a combustion reaction, there can be so many
combustion elements that it is impossible to ana-
lyze them all. Therefore, many combustion elements
are lumped into one category for the convenience
2. COMBUSTION ELEMENTS of analysis. For example, coal consists of thousands
of hydrocarbons, but in most coal combustion
The elements (or species) involved in a combustion analyses, the hydrocarbons are grouped into four
process include reactants, inert and intermediate categories: moisture, volatiles, char, and ash. The
species, products, and catalysts. Reactants generally moisture is water, the volatiles represent all of
include a fuel and an oxidant. Fuel can be in solid, the hydrocarbons that can be vaporized during
liquid, or gas phase. Solid fuels include coal and combustion, the char includes all hydrocarbons
biomass. Liquid fuels include hydrogen, gasoline, that cannot be vaporized, and the ash is inert
diesel, kerosene, and jet fuels. Gas fuels include material, mostly metals.
Combustion and Thermochemistry 597
In the reaction, the ni values on the reactant side and 3.2 Chemical Equilibrium
nj values on the product side are called the stoichio- At constant temperature and pressure, a combustion
metric coefficients. The coefficients can be on a molar reaction such as Reaction (1) will reach an equili-
or a mass basis. On a molar basis, the unit is moles; brium state. The equilibrium constant Kp is defined as
on a mass basis, the unit is kilograms. Y nj Y nij
A computational combustion analysis calculates Kp ¼ Pj = Pi ð2Þ
the heat, work, and/or species generated from a j¼p i¼r
combustion process, which includes the combustion in which the Pi values are partial pressures of the
reaction, fluid dynamics, and heat transfer. Thermo- reactants (r) and products (p). The equilibrium
dynamic and chemical (thermochemical) properties constants of many combustion reactions have been
of the combustion elements are needed to calculate determined and are tabulated in most combustion
the heat, work, and species. The thermochemical textbooks.
properties most often used in a combustion analysis A combustion process generally consists of many
include temperature, pressure, density, enthalpy, reactions. The equilibrium species concentrations
specific heat, viscosity, diffusivity, thermal conduc- can be calculated from the equilibrium constants
tivity, Gibbs free energy, molecular weight, species and the initial species concentrations. Bittker and
concentration, heat of combustion, latent heat, and Scullin developed a general chemical kinetics com-
equilibrium constant. puter (GCKP) program to perform equilibrium
calculations of hydrogen/air combustion and many
other combustion processes.
3.1 Equations of State
The thermochemical properties of a combustion
3.3 Adiabatic Flame Temperature
species can be obtained by direct measurements or
theoretical calculation. These properties are not all Combustion of a fuel produces heat. When all of the
independent. Thermodynamic properties of a com- heat is used to heat the products, without heat
bustion species are generally functions of tempera- transfer from external sources, the final temperature
ture and pressure. In most practical applications, is called the adiabatic flame temperature. The
these properties can be expressed in terms of temperature can be determined by balancing the
temperature only. Sometimes, even constant property heat of combustion, the heat of dissociation, and the
values are used. Most properties of a combustion total enthalpy of the combustion products. At a
species have been determined and tabulated in tables combustion temperature higher than 2000 K, a small
and other references produced by the joint inter- portion of the combustion products CO2 and H2O
agency (Army, Navy, NASA, and Air Force) commit- dissociates into intermediate species, such as CO, O,
tee, JANNAF (formerly JANAF, before NASA was and OH, and the dissociation uses up a significant
included). Properties of a mixture are determined by amount of the heat of combustion. Thus, the energy
adding the properties of its components according to balance equation needs to be solved in conjunction
their concentrations. The partial pressure of a with the equilibrium calculation to obtain an
component is defined as the total pressure times its adiabatic flame temperature. Assuming the initial
molar concentration. temperature and pressure are under standard condi-
Other than direct measurement, the thermochemi- tions, the adiabatic flame temperature of a methane/
cal properties of members of a grouped (‘‘lumped’’) air mixture is about 2200 K. Chang and Rhee
combustion element (or species) can be obtained by developed a set of empirical formulations that can
adding the properties of its major constituents be used to estimate adiabatic flame temperature of
according to their proportion. For example, a fuel lean fuel/air mixtures. The adiabatic flame tempera-
composed of 90% methane (CH4) and 10% ethane ture is an important thermochemical property in a
598 Combustion and Thermochemistry
combustion analysis because it is the upper bound of rate needs to be calculated from combustion kinetics,
the temperature. radiation heat flux needs to be solved from a radiative
transport equation, and the last term needs to be
determined from an interfacial interactions model.
4. HYDRODYNAMICS AND MIXING
4.2 Turbulent Mixing
A fuel and an oxidant must mix to react. The mixing
process is a part of flow dynamics. Gas phase mixing Diffusive flames, commonly used in a furnace or a
is mainly due to turbulence; liquid injection in combustor, are mostly turbulent. Turbulence is under-
droplet sprays is commonly used to enhance the stood to be the small eddies that enhance mixing and
mixing between liquid droplets and gas, and some combustion, but understanding the physics of the
solid fuels are pulverized to increase the mixing turbulence is still far from complete. An enclosure
between the particles and gas. type of the ke turbulence model is commonly used
for combustion analysis. The model expresses the
turbulent viscosity mt in terms of two turbulent
4.1 Governing Equations parameters, kinetic energy k and dissipation rate e,
Combustion generates heat, work, and product me ¼ m þ mt ¼ m þ Cm rk2 =e;
species. In a computational combustion analysis,
in which Cm is an empirical constant.
heat is calculated from the temperature and velocity;
Lauder and Spalding proposed two additional
work is calculated from pressure and density; and the
transport equations to solve for these two turbulent
species are calculated from concentrations and
parameters. Turbulent diffusivities for the enthalpy
velocities. The governing equations of these proper-
and species equations are also expressed in terms of
ties are derived from fundamental thermodynamic,
the turbulent viscosity with a scaling factor. In a
hydrodynamic, and chemistry principles. The deriva-
multiphase flow, solid particles or liquid droplets
tion can be on a fixed mass basis or a control volume
tend to inhibit eddy motion and reduce turbulent
basis. In the following discussion, a control volume
diffusion and the adjustment of the turbulent
approach is used.
viscosity is needed. In addition, statistical turbulence
The principles of mass, species, and momentum
models are used to describe the turbulence mixing
conservation are used to determine pressure, con-
effects. In this approach, probability density func-
centration, and velocity. The first law of thermo-
tions are chosen to represent the fluctuation of the
dynamics (or conservation of energy) is used to
flow properties. Large eddy and direct numerical
determine temperature. The equation of state is used
simulations have been introduced with the hope of
to determine density. In deriving the governing
improving the description of turbulent flow.
equations, many derived properties are created. For
example, enthalpy is used in the energy equation and
specific heat is used in the caloric equations of state. 4.3 Liquid Spray and
Equation (3) is a typical energy equation derived on a Droplet Vaporization
Cartesian coordinate system:
Liquid fuel can be burned in pools or sprays. The
X 3
@ m @h burning processes start with the vaporization of the
rui h þ e ¼ Scomb þ Srad þ Sint ; ð3Þ liquid fuel. Next, the fuel vapor is mixed with
i¼1
@xi sh @xi
oxygen. Finally, the combustion reaction takes place.
in which xi is a coordinate, r is density, ui is velocity The pool burning is mostly fire. Because of limited
components, h is enthalpy, me is effective viscosity, sh contact area, the mixing of fuel vapor and oxygen is
is a turbulent scale factor for the enthalpy, Scomb is the poor. Therefore, combustion is mostly fuel rich and a
combustion heat release rate, Srad is net radiation heat lot of smoke is produced. A fuel injector breaks up
flux, and Sint is heat transfer from the liquid or solid the liquid into tiny droplets and the high pressure
phase. Effective diffusivity is used in the momentum, makes droplets penetrate deep into the gas flow.
energy, and species equations. It is the sum of both Empirical models have been developed to describe the
laminar and turbulent diffusivities. The source terms droplet size and number distributions off the tip of an
of the governing equations need to be determined injector. The penetration enhances the mixing of the
from various models. In the energy equation (3), there fuel and the oxygen and the high ratio of surface area
are three source terms. The combustion heat release to volume speeds up the evaporation process.
Combustion and Thermochemistry 599
Liquid fuel vaporizes in two modes. At low engine combustion is autoignition and gasoline
temperature, vaporization occurs due to the diffusion engine combustion is ignited by a spark. At an
of mass. At a temperature higher than the boiling ignition temperature, the combustion reactions gen-
point, the liquid boils and the vaporization rate is erate heat and the heat is lost to the surroundings by
controlled by the heat transfer rate from the conduction, convection, and radiation heat transfer.
surroundings to the liquid. In most combustion If the heat generation is larger than the heat loss, the
systems, the heat transfer is convective. Empirical combustion reactions are sustained.
correlations have been developed to calculate the There are mixture ratios of fuel and oxidant that
interfacial heat transfer rate from other flow proper- the combustion will not sustain after the ignition
ties, such as, velocity, conductivity, and viscosity. source is removed. For premixed laminar flame,
Liquid droplets are generally treated in a Lagran- there exist flammability limits that are frequently
gian or an Eulerian approach. The Lagrangian defined as percentage fuel by volume in the mixture.
approach takes one droplet at a time. It traces the The lower limit is the leanest mixture that will allow
motion of a single droplet in the flow and takes the steady flame, and the upper limit represents the
average effect of all the droplets. Zhou and Yao also richest mixture. Flammability limits in both air and
included the group effects on the spray dynamics. oxygen are found in the literature. For example,
The Eulerian approach treats a group of droplets as a the lower flammability limit of methane is about 5%
continuum. Governing equations are derived for by volume.
each droplet group for solving the flow field.
5.2 Combustion Reactions
4.4 Devolatization of Solid Fuel
Assume that fuel is a hydrocarbon CmH4n. The
Pulverized coal is used in many utility boilers. Due to combustion of the fuel and oxygen is shown in
the small particle size, pulverized coal can be Eq. (4):
transported pneumatically. Coal particles contain k
four major components: moisture, volatiles, char, Cm H4n þ ðm þ nÞO2 - mCO2 þ 2nH2 O: ð4Þ
and ash. When heated, the moisture is dried and the
volatiles are devolatized. The volatile vapor mixes The extent of reaction, x, is defined as the molar
with oxygen and the mixture burns. The char left on concentration of the consumed fuel. For each mole of
the particles is burned with oxygen when contacted. x consumed, the sum (m þ n) moles of oxygen is
The drying and devolatilization processes are con- consumed and m moles of CO2 and 2n moles of H2O
trolled by the heat transfer from the gas to the are produced. The reaction rate dx/dt of the
particles. Similar to the liquid vaporization, the heat combustion reaction can be expressed in an Arrhe-
transfer is convective. Empirical correlations are used nius formulation:
to determine the interfacial heat transfer rate. Similar dx d 1 d
Lagrangian and Eulerian approaches can be applied ¼ ½Cm H4n ¼ ½O2
dt dt m þ n dt
for particles.
1 d 1 d
¼ ½CO2 ¼ ½H2 O; ð5aÞ
m dt 2n dt
5. CHEMICAL REACTIONS dx
¼ k30 expðE=RTÞ½Cm H4n ½O2 ðmþnÞ ; ð5bÞ
dt
The mixture of fuel and oxidant is burned in
chemical reactions. A combustion reaction is the in which [ ] represents molar concentration of a
effective collisions of reactants (and catalyst), break- species, t is reaction time, k0 is a preexponential
ing the chemical bonds of the reactants, forming the constant, E is an activation energy, and R is the
products, and releasing heat. Three types of reactions universal gas constant. The preexponential constant
are significant in a combustion analysis: ignition, and the activation energy are empirical constants
heat release, and pollutant formation. extracted from experimental data. Thus, the species
consumption/generation rates can be obtained from
Eqs. (5a) and (5b) and the heat release rate becomes
5.1 Ignition and Flammability
dqcomb =dt ¼ ðdx=dtÞHo ; ð6Þ
Fuel and oxidant can be self-ignited (autoignition) or
by an external heat source. For example, diesel in which Ho is the heat of combustion.
600 Combustion and Thermochemistry
20 mm, and the CO2 species has six bands, at 2.0, major species flow calculation. Free from the
2.7, 4.3, 9.4, 10.4, and 15 mm. A wideband model interactions of the pressure and velocity fluctuations,
was introduced to calculate total band absorptance the calculation of the partially decoupled subspecies
of these species. For each band, species concentra- transport equations becomes very stable numerically.
tions, pressure, and temperature are used to deter- Chang and colleagues developed an advanced
mine a set of semiempirical parameters: the methodology to solve the radiative transfer equation
integrated band intensity, the bandwidth parameter, (RTE) in a Cartesian coordinate system. The
and the line width parameter. A semiempirical methodology guarantees the integrity of the energy
correlation is then used to calculate the total band balance between emitting and absorbing powers. The
absorptance from these parameters. RTE solution routine divides the radiation heat flux
into many bands of wavelength. The blackbody
radiation function can be discretized in the wave-
6.2 Soot Radiation Model
length domain by using a closed form solution. For
If the scattering is negligible, the Rayleigh-limit each wavelength band, a calculation is performed to
expression of the soot volume absorptance ksl can balance the emitted and absorbed energy. For each
be used: node in the computational fluid dynamics (CFD) grid
36n2 kðp=lÞfv system, energy emitted is calculated. This emitted
ksl ¼ : ð9Þ energy is then traced along the optical paths of all
½n2 ð1 þ k2 Þ þ 22 þ 4n4 k2
angles. The energy absorbed in every node (including
Soot volume absorptance is proportional to the soot the wall surface node) is calculated and added to the
volume fraction fv and inversely proportional to the absorption energy of the initial node.
wavelength. The optical refraction indices, n and k,
are weak functions of wavelength that can be derived
from classical electromagnetic theory.
7.2 Kinetics Calculations
Many schemes have been proposed for the number of
equations and reaction rates that may be used to
7. TOOLS FOR simulate combustion reactions. One of examples is
COMBUSTION ANALYSIS the GCKP program developed at the National
Aeronautics and Space Administration (NASA).
Measurement and testing have long been the ways to Another example is the CHEMKIN program, a
analyze and evaluate combustion systems. However, widely used general-purpose package for solving
computational software has now become an addi- chemical kinetics problems. CHEMKIN was devel-
tional tool for combustion analysis. oped at Sandia National Labs and provides a flexible
and powerful tool for incorporating complex chemi-
cal kinetics into simulations of fluid dynamics. The
7.1 Computational Fluid Dynamics
latest version includes capabilities for treating multi-
Combustion flow calculations adopt a control fluid plasma systems that are not in thermal
volume approach to convert the governing equations equilibrium. These features allow researchers to
to algebraic equations on a staggered, discretized describe chemistry systems that are characterized
grid system. The algebraic equations are solved by more than one temperature, in which reactions
iteratively with proper boundary conditions. Exit may depend on temperatures associated with differ-
flow conditions have a strong impact on the ent species; i.e., reactions may be driven by collisions
convergence of the calculation. Because most flows with electrons, ions, or charge-neutral species.
are not fully developed, the exit flow conditions that Both thermodynamic and kinetic databases are
satisfy global mass balance appear to improve needed for the kinetics calculations. The GRI-Mech
numerical convergence the most. combustion model is a widely used database of
The major species flow calculation uses Patankar’s detailed chemical kinetic data. The latest version is
SIMPLER computational scheme to solve the pres- an optimized mechanism designed to model natural
sure-linked momentum equations. A major species gas combustion, including NO formation and reburn
flow calculation is considered to have converged if chemistry, containing 325 reactions and 53 species. It
the local and global mass balances are smaller than a provides sound basic kinetics and also furnishes the
set of predetermined criteria. The subspecies flow is best combined modeling predictability of basic
solved using the flow properties calculated from the combustion properties.
602 Combustion and Thermochemistry
analyses to convert combustion processes for cleaner Glassman, I. (1977). ‘‘Combustion.’’ Academic Press, San Diego.
and more efficient energy production. Kee, R. J., Rupley, F. M., Meeks, E., and Miller, J. A. (1996).
‘‘CHEMKIN-III: A Fortran Chemical Kinetics Package for the
Analysis of Gasphase Chemical and Plasma Kinetics,’’ Rep.
SAND96-8216. Sandia National Laboratories, Livermore, CA.
SEE ALSO THE Lauder, B. E., and Spalding, D. B. (1974). The numerical
FOLLOWING ARTICLES computation of turbulent flows. Comput. Meth. Appl. Mech.
Eng. 3, 269–289.
Acid Deposition and Energy Use Greenhouse Gas Patankar, S. V. (1980). ‘‘Numerical Heat Transfer and Fluid Flow.’’
Hemisphere, Washington, D.C.
Emissions from Energy Systems, Comparison and
Pitz, W. J., and Westbrokk, C. K. (1986). Chemical kinetics of the
Overview Heat Transfer Temperature and Its high pressure oxidation of n-butane and its relation to engine
Measurement knock. Combust. Flame 63, 113–133.
Smith, G. P., Golden, D. M., Frenklach, M., Moriarty, N. W.,
Further Reading Eiteneer, B., Goldenberg, M., Bowman, C. T., Hanson, R. K.,
Song, S., Gardiner, W. C., Jr., Lissianski, V. V., and Qin, Z.
Bittker, D. A., and Scullin, V. J. (1972). ‘‘General Chemical
(2002). GRI-Mech 3.0. Available on the Internet at http://
Kinetics Computer Program for Static and Flow Reactions, with
www.me.berkeley.edu/.
Application to Combustion and Shock-tube Kinetics,’’ NASA
Stull, D. R., and Prophet, H. (1971). ‘‘JANAF Thermochemical
TN D-6586. NASA, Washington, D.C.
Chang, S. L., and Rhee, K. T. (1983). Adiabatic flame temperature Tables,’’ 2nd ed., NSRDS-NBS 37. U.S. Dept. of Commerce,
estimates of lean fuel/air mixtures. Combust. Sci. Technol. 35, National Reference Standard Data System-National Bureau of
203–206. Standards, Washington, D.C.
Chang, S. L., Golchert, B., and Petrick, M. (2000). Numerical Turns, S. R. (2000). ‘‘An Introduction to Combustion: Concepts
analysis of CFD-coupled radiation heat transfer in a glass and Applications.’’ McGraw Hill, New York.
furnace, No. 12084. Proc. 34th Natl. Heat Transfer Conf., Zhou, Q., and Yao, S. C. (1992). Group modeling of impacting
Pittsburgh, Pennsylvania. spray dynamics. Int. J. Heat Mass Transfer 35, 121–129.
Commercial Sector and
Energy Use
J. MICHAEL MACDONALD
Oak Ridge National Laboratory
Oak Ridge, Tennessee, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 605
606 Commercial Sector and Energy Use
include. The energy use breakout of national sectors; national energy use in buildings is often
economies related to buildings typically covers tracked within the major sectors, categorized as
residential and commercial buildings; where com- industrial, transportation, and ‘‘other,’’ with residen-
mercial buildings are typically all buildings that are tial and commercial buildings aggregated and ac-
not residential, industrial, or agricultural. Sometimes counting for most of the energy use in this ‘‘other’’
this broader grouping of commercial buildings is sector. Thus some quick checks on world total energy
separated further into institutional and commercial, consumption are useful. The units used to sum world
or governmental and commercial. Thus the commer- energy use are not easily comprehended by most
cial sector consists of buildings used by businesses or people, so the important knowledge to retain is the
other organizations to provide workspace or gather- relative values. Total world energy consumption in
ing space or offer services. The sector includes service the year 2000 was about 395 quads (1 1015 Btu),
businesses, such as shops and stores, hotels and or about 420 EJ (exajoules). Fuel processing, non-
motels, restaurants, and hospitals, as well as a wide energy use of fuels, and other losses reduce the total
range of facilities that would not be considered final energy consumption in the major energy-using
commercial in a traditional economic sense, such as sectors to about 270 quads (280 EJ).
public schools, specialized governmental facilities, Because the importance of energy use in the
and religious organizations. Many other types of industrial and building sectors can be misunderstood
buildings are also included. if losses associated with generation and distribution
The wide range of building uses is one factor of electricity are not included, comparisons that
contributing to the complexity of the commercial show both totals are useful. The estimated sectoral
sector. In the United States, a major national survey of breakouts (Table II), without accounting for elec-
commercial buildings, examining an extensive set of tricity losses, are 87 quads for industry, 71 quads for
their characteristics and their energy use, is conducted transport, and 109 quads for ‘‘other,’’ which is
every 4 years. The latest available survey, for 1999, primarily residential and commercial buildings.
includes in the detailed microdata over 40 different Adding approximate electricity losses (Table II)
types of building uses that can categorize commercial brings the totals to 122 quads for industry, 73 quads
buildings (Table I). Commercial buildings in the for transport, and 156 quads for ‘‘other,’’ for a total
United States, where perhaps the most specialized of about 350 quads, or 370 EJ.
services and enterprise management exist, are esti- For the world overall in the year 2000, commer-
mated to number 4–5 million, with a total gross floor cial sector energy use is approximately 30% of the
area of over 6 billion m2 (over 65 billion ft2). The ‘‘other’’ energy use, which amounts to a little over 30
approximate breakout of commercial buildings (Ta- quads (35 EJ) when electricity losses are not in-
ble I), showing the range of building uses, the number cluded. This energy use represents about 12% of the
of buildings, and total floor area estimates, provides approximately 270 quads of total final energy
an informative starting point for understanding the consumption for the world. When electricity losses
commercial sector in the United States and elsewhere. are included, commercial sector energy use is about
Although comparison of these estimates with other, 45 quads (50 EJ).
more detailed estimates for subsectors, such as Although commercial sector energy use is only
schools, would show some discrepancy in estimates, 12% of the world total, as economies develop,
the scope and size of the commercial sector are well energy use in this sector tends to rise relative to other
illustrated. For even the least developed countries, the sectors and is one of the most difficult to reduce, due
same general range of facilities that comprise the to complexities of systems, building ownership, and
commercial sector will exist, although the aggregate building uses. The rise in energy use relative to other
size relative to other sectors typically is smaller. sectors appears to result from the need for increas-
ingly sophisticated facilities to handle activities in
this sector as national economies advance, as well as
2. MAGNITUDE AND from a concurrent rise in income within the sector
SIGNIFICANCE OF COMMERCIAL relative to the cost of facilities.
ENERGY USE The history of the commercial sector relative
to the residential sector in the United States provides
The amount of energy consumed in the commercial an example of this pattern of change. Specialization
sector often must be estimated as a fraction of energy in services and enterprise management grew sig-
use in the combined residential and commercial nificantly in the United States throughout the last
Commercial Sector and Energy Use 607
TABLE I
U.S. Commercial Buildings, 1999; Approximate Breakout
Floor area Floor area
(billions) (billions)
No. of buildings No. of buildings
Building use (thousands) (m2) (ft2) Building use (thousands) (m2) (ft2)
15.00
by building energy experts, and even many nonex-
10.00 Commercial
perts, without using any real standards. To judge how
67%
well a specific building is doing, however, energy
5.00
50% performance measurement should involve a compar-
0.00 ison of building energy use to some type of standard,
1940 1950 1960 1970 1980 1990 2000 2010 which in the past has typically been the energy use of
FIGURE 1 Comparison of commercial sector and residential other, similar buildings. The challenge over the years
energy use in the United States from 1960 to 2000; the ratio of has been to determine a true standard for comparison
commercial to residential energy use grew from 50 to 83%. and to determine what a ‘‘similar’’ building is. Because
Electricity losses are included. the historical methods of comparison had known
limitations, building energy experts developed their
and use less energy, as compared to those in own sense of what constitutes an energy-efficient
metropolitan areas; over 80% of commercial sector building. This expert sense is based on experience with
energy use is in metropolitan areas. similar buildings, the types of activities within specific
buildings, and any history of achieving reductions in
energy use in comparable buildings. This expert
3. MEASURING ENERGY knowledge has gaps and is not easily transferable,
PERFORMANCE because it is usually based on several years of
experience concerning expected patterns of energy
Interest in rating the real-life energy performance of use for different buildings and impacts of schedules,
buildings has increased in recent years, and the real- uses, geographic location, and system configurations.
life efficiency performance rating of buildings is This expert knowledge is used to ‘‘adjust’’ the measure
important for any sustainable energy future. The of the performance of a commercial building to
ability to compare the energy performance of one provide a more informed measure of performance.
commercial building with that of another is impor- However, this knowledge is ad hoc, with multiple
tant for determination of national and international practitioners probably arriving at differing assess-
energy efficiency because comparison allows mean- ments of the same building. In the end, the result is
ingful measurements of potential relative improve- essentially a subjective expert opinion, albeit possibly
ments. This ability also may allow different classes of a very good one, but also possibly not.
buildings to be analyzed together (e.g., offices and Five generic classes of building energy data
hospitals). analysis methods have been identified as useful in
The European Union has been examining require- measuring the energy performance of commercial
ments for improving the energy performance of buildings:
residential and commercial buildings, because a large
1. Annual total energy and energy intensity
potential improvement in energy performance has
comparisons.
been determined to exist. Among the requirements
2. Linear regression and end-use component
examined is the establishment of a general frame-
models.
work for a common methodology for calculating the
3. Multiple regression models.
integrated energy performance of buildings.
4. Building simulation programs.
The United States Environmental Protection
5. Dynamic thermal performance models.
Agency (EPA) has established an empirical energy
performance rating system for some commercial All of these analytical approaches can be used to
building types, the Energy Star rating system, where- develop building energy performance measurement
by a normalized energy performance rating scale is methods, but the most effective current approach in
developed. The energy use of a specific building is use today, based on results achieved, involves the
normalized based on the factors in the method, and third approach, multiple regression models. When
the normalized energy is compared to the perfor- calculating commercial building energy performance
mance rating scale. Buildings scoring in the top 25% using multiple regression models, the effects of many
on the scale have energy performance level that factors can be modeled, potentially factoring out
Commercial Sector and Energy Use 609
influences such as the number of people in a building or index, EUI) is the total energy used divided by the
or occupant density. The Energy Star rating system total floor area. It would also be possible to examine
develops its performance rating scales using multiple annual energy or energy intensities for individual
regression models. fuels.
The limitations of the other methods include their The strength of the total energy and energy
inability to cover wide ranges of buildings without an intensity comparisons is their ease of use and
inordinate amount of data. Some of the other widespread familiarity. However, knowledge is lack-
methods require large volumes of data to develop ing regarding causes of variation that have been
empirical results. In the following discussion of observed and the relative impacts of factors such as
performance rating systems, both simple annual total schedules, functional uses, and density of use on the
energy intensity comparisons (Method 1 above) and energy performance. This general approach to rating
multiple regression method information will be commercial building energy performance is of inter-
addressed; the first is useful both as an example est for quick comparison of one building’s energy use
and as a well-understood quantity, whereas multiple from one year to another or quick comparisons of
regression analysis illustrates the current state-of-the- many buildings, but information to adjust for at least
art methodology. some of the wide variation typically observed across
a data set with many buildings is lacking.
In cases in which a performance rating system is
4. PERFORMANCE desired for a specific type of building in a relatively
RATING SYSTEMS homogeneous climate region, rating scales based on
total energy or energy intensity by floor area have
Many people confuse building simulation and energy some practicality. In the Czech Republic, ‘‘labels’’ of
audits or energy assessments with energy perfor- actual, measured energy performance (energy inten-
mance ratings. Energy performance ratings are less sity) have been studied, tested, and are now required
detailed and provide much less information regard- for apartment buildings. The European Union is
ing potential causes of specific energy performance. likely to require energy performance certificates for
Instead, what is provided is a true indication of buildings by the year 2010. These certificates may
overall energy performance relative to similar build- have to be renewed every 5 years. With reasonably
ings. Highly technical assessments, including cali- small ranges of climatic differences, certificates for
brated simulations, are a tremendous tool for specific types of buildings based on simple energy
diagnosing root causes of specific building energy intensity values can be a moderately reasonable
performance. But these approaches typically provide approach to an energy performance rating system.
only very limited information about performance However, even with a common building type and
relative to other buildings or relative to any ranking common climate, there are other variations in key
scale based on performance of similar buildings, and factors that should typically be considered. The basic
their complexity makes them impractical for exten- annual energy intensity accounts for floor area,
sive use in rating performance. which has been found to be the most important
Performance rating can be done many ways. The factor to use in normalizing energy use. If multiple
EPA Energy Star rating system for buildings uses a climates must be considered, adjustments for climatic
percentile rating scale of 1 to 100 for a particular variation, such as normalization for heating degree-
building type, with a rating of 75 or greater required days and cooling degree-days, should be included in
to qualify for an Energy Star label. The energy an energy performance rating system.
performance rating of 1 to 100 can be obtained Beyond floor area and climate, there will typically
simply by using the rating tool. The rating scale is be variations in other important factors based on
developed from a regression analysis of energy use building use, e.g., hospitals and offices will have
versus key characteristics of the class of buildings different normalization factors. Decisions on such
against which energy use is to be normalized. A factors can be, and at times are, arbitrary. Also,
simple and straightforward way of quantifying and differing policy perspectives can strongly influence
comparing building energy performance is accom- consideration of what parameters should be evalu-
plished by using the annual total energy and energy ated for normalization of energy performance.
intensity data. Annual total energy is the sum of the Rating systems of the more sophisticated, multifactor
energy content of all fuel used by the building in one type typically consist of parameters for normali-
year. Energy intensity (also called energy use intensity zation of energy use, a normalization equation or
610 Commercial Sector and Energy Use
calculation method, and a normalized distribution of Rating system analyses for specific types of
energy use. The normalized distribution is typically buildings in the United States have found that about
matched to some scale, often a percentile scale of 1 to 90% or more of the variation in energy use in a
100, to allow a simplified rating result to be specific building type can be normalized based on
obtained. After the energy use of a building is reasonable factors. As an example, for offices, in
normalized for the factors in the method, the addition to floor area, climate, fraction of building
normalized result is compared to the rating scale to heated or cooled, worker density, personal computer
determine a rating. density, and hours of operation shown in the generic
A generic rating system developed for the entire model (Table III), the number of floors was also a
commercial sector in the United States included factor found to be important for normalization.
normalization factors (Table III) that adjusted for Additional examples of the extensive information on
floor area, climate, amount of building cooled and the Energy Star rating system for specific building
heated, worker density, personal computer density, types can be found on the Energy Star Web site
extent of food service and education/training facil- (www.energystar.gov).
ities, hours open, and average adjustments for Another factor that might be considered important
specific types of building space uses. These factors for energy performance rating systems is the unit
were found to account for over 70% of the variation price of energy in a particular location. The energy
in energy use in the entire combined U.S. commercial unit price is significant; analyses comparing all-
sector, with its wide range of building types. The electric buildings with those that are not indicate an
percentile scale for this particular rating system important statistical difference between the energy
(Fig. 2) was based on the building energy use index use distributions of these two categories, suggesting
that included electricity losses. that they should not be treated as equivalent unless
some adjustment is made for the difference. Study
has shown that this disparity between all-electric
TABLE III
buildings and other buildings can be accounted for
Normalization Factors in a Generic Energy Performance Rating fairly well by including electricity losses in total
System for All U.S. Commercial Buildings
energy use as a surrogate for the typical energy unit
Floor area (ft2) price differential and other factors related to remote
Annual cooling degree days (base 65oF) efficiency losses. But the average unit price of energy
Annual heating degree days (base 65oF) also appears to adjust fairly well for these differences
Floor area cooled is less than 25% (yes or no) between all-electric and other buildings, as well as
Floor area cooled is 50 to 75% (yes or no) introducing an adjustment for the local economic
Floor area cooled is 75 to 100% (yes or no) incentive to be efficient.
Floor area heated is 75 to 100% (yes or no) Building energy performance rating systems are
Personal computers per 1000 ft2 important tools that offer reasonably quick building
Workers per 1000 ft2 energy performance assessment without rigorous
Food seats per 1000 ft2
Educational seats per 1000 ft2 100
Hours per week open
Fraction of area that is laboratory 80
Fraction of area that is nonrefrigerated warehouse
Fraction of area that is food sales (grocery) 60
Rating
Energy Agency and from some major nations. The of energy markets, technological development, en-
commercial sector, as defined here, is often called by vironmental issues, and regulatory development as
other names, such as ‘‘general’’ or ‘‘tertiary,’’ they interrelate with commercial sector energy
indicating the ‘‘everything else’’ nature of the sector, demand. Input to this model is quite extensive, and
including all buildings other than residential, indus- in addition to the sectoral energy data includes
trial, or agricultural. building lifetime estimates, economic information
As an example of data for a nation with one of such as demand elasticities for building services and
the most specialized commercial sectors in the world, market forecasts for certain types of equipment,
the United States collects extensive energy data for distributed electricity generation/cogeneration sys-
this sector, including consumption by fuel type, tem data, energy equipment market data, historical
prices by fuel type, and expenditures by fuel type energy use data, and short-term energy use projec-
for the overall sector. The special sampling survey tions from another model. The primary output of the
of 5000 to 6000 buildings that is conducted every modeling process is a forecast of commercial sector
4 years provides detail on the annual consumption energy consumption by fuel type, end use, building
of each fuel and extensive characteristics data, type, census division, and year. The module also
allowing additional extensive analyses to be per- provides forecasts of the following parameters for
formed and supporting national modeling of energy each of the forecast years:
use in this sector.
Energy data provide a historical record and are *
Construction of new commercial floor space by
used to forecast trends into the future. Several building type and census division.
organizations model world energy use, although *
Surviving commercial floor space by building
often not with the commercial sector separated. type, year of construction, and census division.
Many individual nations also track historical energy *
Equipment market shares by technology, end use,
use and forecast future energy use. The National fuel, building type, and census division.
Energy Modeling System (NEMS), used in the United *
Distributed generation and cogeneration of
States for energy use forecasts and other analyses, electricity and fuels used.
provides an example of an extensive sectoral and *
Consumption of fuels to provide district services.
national modeling system. The NEMS Commercial *
Nonbuilding consumption of fuels in the
Sector Demand Module is a simulation tool based on commercial sector.
economic and engineering relationships; it models *
Average efficiency of equipment mix by end use
commercial sector energy demands, with breakout and fuel type.
detail at the geographic level of nine census divisions,
using 11 distinct categories of commercial buildings. The NEMS Commercial Module interacts with and
Projections of future energy use involve selections requires input from other modules in NEMS. This
of equipment for the major fuels of electricity, relationship of the Commercial Module to other
natural gas, and distillate fuel, and for the major components of NEMS is depicted schematically in
services of space heating, space cooling, water Fig. 4. Not shown are the other sectoral modules and
heating, ventilation, cooking, refrigeration, and the central controlling module in NEMS that
lighting. The equipment choices are made based on integrates and reconciles national level results for
an algorithm that uses life-cycle cost minimiza- all sectors.
tion constrained by factors related to commercial In contrast to such extensive sectoral models that
sector consumer behavior and time preference pre- are used to provide forecasts of energy use, the
miums. The algorithm also models demand for the energy performance rating systems presented pre-
minor fuels of residual oil, liquefied petroleum gas, viously provide another type of model for the
coal, motor gasoline, and kerosene. The use of commercial sector; they allow additional under-
renewable fuel sources (wood, municipal solid waste, standing of current energy use and the influence of
and solar energy) is also modeled. Decisions regard- certain operating parameters of buildings. The type
ing the use of distributed generation and cogenera- of information and the understanding of the com-
tion technologies are performed using a separate mercial sector generated by different modeling
cash-flow algorithm. approaches differ in perspective and ability to
The NEMS Commercial Module generates mid- understand potential for improvements in energy
term (20- to 30-year) forecasts of commercial sector efficiency. Effects of these differing perspectives are
energy demand. The model facilitates policy analysis presented next.
Commercial Sector and Energy Use 613
Electricity
market
module
Electricity dema
Electricity price
DSM programs
Equipment shares
generation
Nonutility
nd
Natural gas
Macroeconomic transmission
Flo & distribution
activity module ors e
pac pric module
rat e; in gas
es ter u ral
e st Nat
and
gas dem
Natural
Pe
tro
Pe
e leu
tro
ric m
lp
leu
pr
od
oa
m
C
nd uc
pr
tp
ma
od
ric
es
uc
de
td
al
em
Global data
Co
an
structure Petroleum
ds
Coal market
market
module
module
FIGURE 4 Relationship of the commercial sector and other National Energy Modeling System modules. DSM, demand-
side management.
7. SECTORAL VIEWS FORMED tendency to limit certain types of change can be seen
BY MODELS in this modeling approach. In addition, although the
model provides a breakout of energy according to
Energy models such as NEMS can be called end uses such as heating, cooling, lighting, and seven
economic-engineering models. Such models use en- other uses (Table IV), data on the impacts of the
gineering data and analysis results to feed into and density of workers or occupants, schedule of opera-
partially interact with an economic model of tions, and density of personal computers in buildings
commercial sector changes and demand for energy. are not modeled and are not known. To forecast total
Because changes in the efficiency of buildings and the energy use, this type of normalization of energy is not
energy use patterns of buildings tend to take many required, because it represents a different way of
years to evolve, such economic-engineering models looking at the sector, and normalized energy is not
often do a good job of representing the energy use of the desired output.
a large group of buildings, including the entire Economic-engineering models are also capable of
commercial sector in a country. These models can forecasting impacts of new energy technologies and
also forecast the end uses of energy in buildings more efficient operations on energy use, but new
(Table IV) and are usually good at doing so. energy technologies and impacts of those technolo-
Although NEMS forecasts about a 50% increase gies on new buildings are more capably modeled in
in U.S. commercial sector energy use between the NEMS than are improvements in operations, which
years 2001 and 2025, the energy intensity of these must typically be treated as changes in annual energy
buildings remains almost constant over this forecast intensity. Unfortunately, this characteristic means
period. This information indicates that growth in that impacts of improvements in energy system
commercial sector energy use is attributed almost operations are not understood and cannot be
exclusively to growth in floor area, and that any estimated well with this modeling approach.
efficiency improvements are modeled as offset by Detailed engineering simulation models such as
growth in end uses of energy not affected by the DOE-2, Energy Plus, and BLAST, which have the
efficiency improvements. Clearly, with little change capabilities to model energy use in commercial
in annual energy intensity over a 25-year period, a buildings, also have difficulty modeling improvements
614 Commercial Sector and Energy Use
TABLE IV
NEMS Commercial Sector Energy End-Use Baseline and Forecasta
Year
in energy system operations, because the simulation energy use for the sector, whereby adjustments for a
routines are all set up to model systems and few key factors known to cause variation in energy
components that work correctly. Simulating improve- use in commercial buildings, together with perfor-
ments in operations often requires knowing the mance rating values, could allow analysis and pursuit
answer first, and then tricking the simulation program of scenarios of improvement toward higher efficiency
into calculating the correct results. Again, the ratings. Advances in modeling such as these could be
limitations of the models influence decisions about important for the future, if the percentage increase in
appropriate energy efficiency improvements for build- commercial sector energy use in advancing econo-
ings. Limitations in ability to model impacts of mies becomes a challenge for world energy efficiency
operational improvements on energy efficiency lead and climate impacts.
to a view of the commercial sector that essentially
ignores the potential of such improvements. A
problem with this situation is that policy officials 8. DRIVING TOWARD
typically also do not receive information on the ENERGY EFFICIENCY
potential of operational improvements and lack an
understanding of the importance of improving As the need for energy efficiency becomes more
operations in commercial buildings. Because improve- pronounced, the drive toward efficiency in the
ments in operations represent about half of the commercial sector will be impeded by its compli-
potential energy savings that could be achieved in cated mix of building sizes and uses, the complicated
the commercial sector, acceptable means of modeling systems often used in commercial buildings, and the
impacts and potential efficiency benefits would be relative lack of understanding of operations factors
helpful. Until acceptable means of modeling are impacting energy use and how to achieve efficiency.
developed, the benefits of operational improvements In the United States, commercial energy use has
must continue to be determined empirically. increased from 10 to 17% or more of national energy
Improved understanding of commercial sector use between the years 1960 and 2000. A significant
energy use, and the potential of operational improve- reason for this increase is the low cost of energy
ments for saving energy in commercial buildings, relative to the other costs of conducting business, but
would result from the ability to model the effects of the difficulty in understanding energy systems and
operational improvements on forecasts of energy use energy use in commercial buildings is also an
in the commercial sector. Improved understanding of important contributing factor. Policy officials often
the potential for energy efficiency improvements have difficulty understanding discussions of the
appears possible through modeling of normalized needs for improvements in commercial buildings.
Commercial Sector and Energy Use 615
As economies advance and commercial sector energy Increased energy efficiency in the commercial
use begins to grow relative to other sectors, an sector is an important piece of the national effi-
improved understanding of methods of measuring ciency strategy in advanced economies, in which the
commercial energy performance, and the means of priority for efficiency must be increased. Complex-
achieving efficiency improvements in this sector, will ities in commercial buildings have made progress in
be important in any drive toward efficiency. energy efficiency for this sector less than desirable in
One warning sign of the need to increase under- notable cases. Fortunately, methods and know-
standing of energy performance is an increase in the ledge needed to increase success in this sector have
use of air conditioning in commercial buildings. begun to be developed, and better solutions can be
When air conditioning use increases, energy system offered in the near future to help increase energy
complexity and indoor space quality issues also efficiency in the commercial sectors of countries
increase significantly. If air conditioning use is where the need is pressing.
increasing, any proposal for increased efficiency that
relies heavily on thermal insulation should be treated
warily, because insulation optimization becomes 9. FUTURE ENERGY
more difficult, and other system complexities tend PERFORMANCE AND USE
to become much more important.
A warning should be given overall for energy Current forecasts call for solid growth in world
standards for buildings, as they currently exist energy use over the next 20 years, potentially
around the world, because, despite the existence increasing 60% above current use. With the forces
and use of these standards for many years, the effect in place to keep energy use patterns the same, a safe,
of standards has been only moderate in most cases. conservative assumption would be that the commer-
The shortcoming of existing standards is that they cial sector will contribute about 12% to final total
rely too heavily on simulation of expected perfor- energy consumption in the year 2020. If world
mance, without conducting true empirical studies to energy use grows to 600 quads, or 630 EJ, by the
verify the effectiveness of what the standards achieve. year 2020, and total final consumption in the energy-
One major reason such empirical studies have been using sectors is about 400 quads, or 420 EJ, final
conducted in only limited and mostly ineffective consumption in the commercial sector, at 12%,
fashion is that an empirical method of measuring would be about 50 quads/yr (or about 50 EJ),
energy performance of commercial buildings, without electricity losses included. This energy use
although still adjusting for legitimate building use would be two-thirds more than the energy use in the
differences, has only recently been established in year 2000.
concept, only for certain building types, and not with Without significant changes in energy perfor-
the stated intent of being a performance standard mance of commercial buildings, this scenario of
(Energy Star label for buildings). Interestingly, 50 quads of commercial energy use in the year
however, if such energy performance standards 2020 is likely to occur, absent major world upheaval.
existed, energy standards currently in use, with their If important progress on improving the energy
typically complicated requirements, would not ne- performance of commercial buildings in the ad-
cessarily be needed any longer as standards. vanced economies can be made, potentially a
Use of energy performance certificates may be reduction of 2–4 quads or more in commercial sector
necessary to overcome the difficulty users, occupants, worldwide use in 2020 (a 4–8% reduction) could
code and policy officials, and owners have in under- be achieved. Such an achievement would require
standing commercial energy use and performance. that energy performance certifications become the
Without certification of energy performance, the norm, that operational standards increase signifi-
complexity of systems and uses makes understanding cantly, and that 25–40% of buildings in the advanced
energy performance by anyone other than an expert, economies see significant improvements in their
and even by some experts, difficult. However, without performance.
increased understanding of the most appropriate Methods for certifying the energy performance of
means to normalize energy use for legitimate differ- commercial buildings have been developed to the
ences in building function and use, energy perfor- conceptual and practical applications stages. How-
mance certificates may offer an unsatisfactory ever, these methods are in their infancy. Energy
solution, due to inequities that will be obvious to policy and research attention to the commercial
many, if reasonable normalizations are not applied. sector have been lacking relative to the growth
616 Commercial Sector and Energy Use
Glossary
complex system A system that allows one to discern many 1. INTRODUCTION
subsystems, depending entirely on how one chooses to
interact with the system.
dissipative systems All natural systems of interest for
The revolution entailed by complex systems theory is
sustainability (e.g., complex biogeochemical cycles on finally forcing many scientists to acknowledge that it
this planet, ecological systems, human systems when is impossible to have a unique substantive represen-
analyzed at different levels of organization and scales tation of the reality. Different observers with various
beyond the molecular one); self-organizing open sys- ‘‘scale-dependent’’ measuring schemes and goals
tems, away from thermodynamic equilibrium. (e.g., humans using either a microscope, the naked
epistemological complexity Complexity that is in play eye, or a telescope for different purposes) will
every time the interests of the observer (the goal of the perceive different aspects of a particular ontological
mapping) are affecting what the observer sees (the entity. These different views do reflect the special
formalization of a scientific problem and the resulting relation established between the observer and the
model).
components of the entity observed. This predicament
hierarchical systems Systems that are analyzable into
successive sets of subsystems; when alternative methods
gets worse when dealing with hierarchically orga-
of description exist for the same system. nized adaptive systems. These systems are, in fact,
hierarchy theory A theory of the observer’s role in any organized on different levels (e.g., cells, organs,
formal study of complex systems. individual humans, households, communities, coun-
scale The relation between the perception of a given entity tries). This implies that their identity is associated
and its representation. with the ability to express various patterns simulta-
neously on different scales. This implies that when
doing energy analysis on these systems, wholes,
The purpose of this article is to examine key parts, and their contexts require the parallel use of
epistemological issues that must be addressed by nonequivalent descriptive domains. That is, the
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 617
618 Complex Systems and Energy
definitions of parts, wholes, and contexts referring to perceive and represent nested hierarchical systems
different levels are not reducible to each other. To operating across scales. Nonequivalent observers
make things more difficult for modelers, dissipative with different goals will provide logically indepen-
systems are becoming in time, meaning that their dent definitions of the relevant attributes to be
identities change in time. Their hierarchical nature considered in the model. This implies the impossi-
entails that the pace of evolution of the identities of bility of having a substantive and agreed-on definition
the parts will be different from that of the identity of of what should be considered the ‘‘most useful’’
the whole. narrative to be adopted when constructing the model.
The disciplinary field of energy analysis seems to This new paradigm associated with complexity,
have ignored the epistemological challenge posed to which is rocking the reductionist building, is the
the analysts by the fact that energy assessments must offspring of a big epistemological revolution started
be a result of different perceptions and representa- during the first half of 19th century by classical
tions of the reality that cannot be reduced to each thermodynamics (e.g., by the works of Carnot and
other. This problem is particularly serious considering Clausius) and continued during the second half of the
that hierarchically organized adaptive systems, by 20th century by nonequilibrium thermodynamics
definition, are operating across multiple scales. Not (e.g., by the works of Schroedinger and Prigogine).
only do the energetic descriptions have to be based on Both revolutions used the concept of ‘‘entropy’’ as a
the use of nonequivalent descriptive domains, but banner. The equilibrium thermodynamics repre-
they also have to be updated in time. Thus, scientists sented a first bifurcation from mechanistic episte-
dealing with the sustainability of complex dissipative mology by introducing new concepts such as
systems adapting in time must be able to (1) irreversibility and symmetry breaking when describ-
individuate relevant causal relations and relevant ing real-world processes. Then, the introduction of
scales in their modeling efforts, (2) use different the new nonequilibrium paradigm implied a final
selections of variables for representing changes in departure from reductionist epistemology in that it
relevant attributes, and (3) continuously check the implies the uncomfortable acknowledgment that
validity of these selections. scientists can work only with system-dependent and
The main epistemological implication of studying context-dependent definitions of entities. Put differ-
systems organized across hierarchical levels and ently, food is a ‘‘high-quality’’ energy input for
scales is that there is a virtual infinite universe of humans but not for cars. Saying that 1 kg of rice
possible ways of perceiving and representing them. has an ‘‘energy content’’ of a given amount of
For example, there is virtually an infinite number of megajoules can be misleading because this ‘‘energy
possible combinations of views of a human that can input’’ is not an available energy input for driving a
be generated when looking at him or her using car that is out of gasoline. In the same way, the
microscopes, ultrasound scanners, X-ray machines, definition of what should be considered ‘‘useful
blood tests, conventional cameras, radars, and energy’’ depends on the goals of the system that is
telescopes simultaneously. Any formal representa- expected to operate within a given associative
tion—the information space used to make models in context. For example, fish are expected to operate
terms of variables and formal systems of inference— under the water to get their food, whereas birds
must be finite and closed. This represents a huge cannot fly to catch prey below the ground.
challenge for scientists. Classical thermodynamics first, and nonequili-
The main message of the new scientific paradigm brium thermodynamics later on, gave a fatal blow
entailed by complexity can be expressed using two to the mechanist epistemology of Newtonian times,
crucial points. When dealing with the sustainability introducing brand-new concepts such as disorder,
of complex adaptive systems, first, scientists must information, entropy, and negentropy. However, we
accept dealing with an unavoidable nonreducibility of cannot replace the hole left by the collapse of
models defined on different scales and reflecting Newtonian mechanistic epistemology just by using
different selections of relevant attributes. This implies these concepts, as if they were ‘‘substantive’’ concepts
acknowledging the impossibility of reaching an that are definable in a strictly physical sense as well
uncontested agreement on a substantive and unique as context independent. For example, the concept of
description of the reality that can be assumed to be ‘‘negative entropy’’ is not a substantive concept.
the ‘‘right’’ one. Second, scientists must accept dealing Rather, it is a ‘‘construction’’ (an artifact) associated
with incommensurability among the priorities used with the given identity of a dissipative system that is
by nonequivalent observers when deciding how to perceived and represented as operating at a given
Complex Systems and Energy 619
point in space and time. Therefore, the concept of maximization of a single parameter (e.g., efficiency,
negative entropy reflects the perception and repre- power, rate of supply of negentropy) or on the basis
sentation of the ‘‘quality’’ of both energy inputs and of the application of a set of given rules written in
energy transformations that are associated with a protocols to a given simplified model of the reality.
particular pattern of dissipation (or typology of The wisdom of Carnot, well before the complexity
metabolism). But this quality assessment is valid only revolution, led him to similar conclusions in 1824
for the specific dissipative system considered that is that can be found in the closing paragraph of his
assumed to operate within a given associative Reflections on the Motive Power of Fire, and on
context or an admissible environment. These can Machines Fitted to Develop That Power:
seem to be trivial observations, but they are directly
linked to a crucial statement we want to make in this We should not expect ever to utilize in practice all the
article. It is not possible to characterize, using a motive power of combustibles. The attempts made to attain
this result would be far more harmful than useful if they
‘‘substantive formalism,’’ qualitative aspects of en- caused other important considerations to be neglected. The
ergy forms, and this is applicable to all conceivable economy of the combustible is only one of the conditions to
dissipative systems operating in the reality. That is, it be fulfilled in heat-engines. In many cases it is only
is impossible to define a ‘‘quality index’’ that is valid secondary. It should often give precedence to safety, to
in relation to all of the conceivable scales and when strength, to the durability of the engine, to the small space
which it must occupy, to small cost of installation, etc. To
considering all of the conceivable attributes that know how to appreciate in each case, at their true value, the
could be relevant for energy analysis. Conventional considerations of convenience and economy which may
variables used in mechanics can be relevant attributes present themselves; to know how to discern the more
to define the stability of a dissipative process, but important of those which are only secondary; to balance
them properly against each other in order to attain the best
there are situations in which unconventional attri-
results by the simplest means; such should be the leading
butes, such as smell and color, can become crucial characteristics of the man called to direct, to co-ordinate
observable qualities (e.g., in ecology in relation to the the labours of his fellow men, to make them co-operate
admissibility of the expected associative context). towards a useful end, whatsoever it may be.
This is the norm rather than the exception for
complex adaptive systems. In this case, it is not
always easy to quantify the relevance of these 2. THE ENERGETICS OF HUMAN
attributes in terms of an energy quality index.
LABOR: AN EPISTEMOLOGICAL
To make things more challenging, we must bear in
mind the fact that not only the observed system but ANALYSIS OF THE FAILURE
also the observer is becoming something else in time. OF CONVENTIONAL
That is, an observer with different goals, experiences, ENERGY ANALYSIS
fears, and knowledge will never perceive and
represent energy forms, energy transformations, Attempts to apply energy analysis to human systems
and a relative set of ‘‘indexes of quality’’ in the same have a long history. Pioneering work was done by,
way as did a previous one. among others, Podolinsky, Jevons, Ostwald, Lotka,
The consequences of this fact deserve attention. White, and Cottrel. However, it was not until the
This entails that, on the one hand, various concepts 1970s that energy analysis became a fashionable
derived from thermodynamic analysis used to gen- scientific exercise, probably due to the oil crisis
erate energy indexes of quality (e.g., output/input surging during that period. During the 1970s, energy
energy ratios, exergy-based indexes, entropy-related input/output analysis was widely applied to farming
concepts, embodied assessments associated with systems and national economies and was applied
energy flows) do carry a powerful metaphorical more generally to describe the interaction of humans
message. On the other hand, like all metaphors, they with their environment by Odum, Georgescu-Roe-
always require a semantic check before their use. gen, and Pimentel, among others. At the IFISA
That is, concepts such as efficiency, efficacy, and workshop of 1974, the term ‘‘energy analysis’’ (as
other quality indexes are very useful in a discussion opposed to ‘‘energy accounting’’) was officially
about sustainability issues. The problem is that they coined. The second energy crisis during the 1980s
cannot and should not be used to provide normative was echoed by the appearance of a new wave of
indications about how to deal with a sustainability interesting work by biophysical researchers and a
predicament in an algorithmic way. That is, policies second elaboration of their own original work by the
cannot be chosen or evaluated on the basis of the ‘‘old guard.’’ However, quite remarkably, after less
620 Complex Systems and Energy
energy converters’’ (e.g., to compare human workers whole system) refers to a representation of events on
to light bulbs or economic sectors). This is especially a given hierarchical level (the interface n/n þ 1) that
true when these systems are operating on multiple is different from the hierarchical level used to
tasks. Obviously, this is reflected in an impossibility describe and represent (assess indexes of efficiency
to define a standard experimental setting to measure of) the conversion of the energy input into useful
such a value for nonequivalent systems. Moreover, energy (the interface n1/n).
power level (e.g., 1000 horsepower of a tractor vs 0.1 4. Work done by the flow of applied power, that
horsepower of a human worker) does not map onto is, what is achieved by the physical effort generated
either energy input flows (how much energy is by the converter. Work is another very elusive quality
consumed by the converter over a given period of that requires a lot of assumptions to be measured and
time used as a reference [e.g., 1 year]) or how much quantified in biophysical terms. The only relevant
applied power is delivered (how much useful energy issue here is that this represents a big problem
has been generated by a converter over a given period regarding energy analysis. Even if assessments 3 and
of time used as reference [e.g., 1 year]). In fact, these 4 use the same measurement unit (e.g., megajoules),
two different pieces of information depend on how they are different in terms of the relevant observable
many hours the tractor or human worker has worked qualities of the system. That is, assessment 3 (applied
during the reference period and how wisely the power) and assessment 4 (work done) not only do
tractor or human worker has been operating. This is not coincide in numerical terms but also require
reflected by the need to introduce a third piece of different definitions of descriptive domain. In fact,
information to the analysis. the same amount of applied power can imply
3. Flow of applied power generated by the differences in achievement due to differences in
conversion. The numerical mapping of this quality design of technology and know-how when using it.
clearly depends heavily on the previous choices about The problem is that it is impossible to find a
how to define and measure power levels and power ‘‘context-independent quality factor’’ that can be
supply. In fact, an assessment of the flow of applied used to explain these differences in substantive terms.
power represents the formalization of the semantic
concept of ‘‘useful energy.’’ Therefore, this is the The overview provided in Fig. 1 should already
measured flow of energy generated by a given make clear to those familiar with epistemological
converter (e.g., an engine) that is used to fulfill a implications of hierarchy theory that practical
specified task (e.g., water pumped out of the well). procedures used to generate numerical assessments
To make things more difficult, the definition of within a linear input/output framework cannot
usefulness of such a task can be given only when escape the unavoidable ambiguity and arbitrariness
considering the hierarchical level of the whole system implied by the hierarchical nature of complex
to which the converter belongs (e.g., if the water is systems. A linear characterization of input/output
needed to do something by the owner of the pump). using the four assessments discussed so far requires
Put differently, such a task must be defined as the simultaneous use of at least two nonequivalent
‘‘useful’’ by an observer operating at a hierarchical and nonreducible descriptive domains. Therefore, a
level higher than the level at which the converter is few of these four assessments are logically indepen-
transforming energy input into useful energy. What is dent, and this opens the door to an unavoidable
produced by the work of a tractor has a value that is degree of arbitrariness in the problem structuring
generated by the interaction of the farm with a larger (root definitions of the system). Any definition or
context (e.g., the selling of products on the market). assessment of energy flows, as input and/or output,
That is, the definition of ‘‘usefulness’’ refers to the will in fact depend on an arbitrary choice made by
interaction of the whole system—the farm, which is the analyst about what should be considered the
seen as a black box (to which the converter belongs focal level n, that is, what should be considered as a
as a component) with its context. Therefore, the converter, what should be considered as an energy
assessment of the quality of ‘‘usefulness’’ requires a carrier, what should be considered as the whole
descriptive domain different from that used to system to which the converter belongs, and what has
represent the conversion at the level of the converter to be included and excluded in the characterization
(gasoline into motive power in the engine). This of the environment when checking the admissibility
introduces a first major epistemological complica- of boundary conditions and the usefulness of work
tion: the definition of usefulness of a given task done. A linear representation in energy analysis
(based on the return that this task implies for the forces the analyst to decide ‘‘from scratch,’’ in a
622 Complex Systems and Energy
situation of total arbitrariness, on the set of formal reciprocal conditioning. Obviously, a different choice
identities adopted in the model to represent energy of hierarchical level considered as the focal level
flows and conversions using the finite set of variables (e.g., the worker’s household) requires adopting a
used to describe changes in the various elements of different system of accounting for input and output.
interest. This choice of a set of formal identities for
representing energy carriers, converters, and the
black box—the finite set of characteristics related 3. THE PROBLEMATICS RELATED
to the definition of an admissible environment—is TO FORMAL DEFINITIONS OF
then translated into the selection of the set of
ENERGY, WORK, AND POWER
epistemic categories (variables) that will be used in
the formal model. It is at this point that the capital
IN PHYSICS AND THEIR
sin of the assumption of linear representation APPLICABILITY TO
becomes evident. No matter how smart the analyst ENERGY ANALYSIS
may be, any assessment of energy input (the
embodied energy of the input) or energy output In the previous case study, we have actually dealt the
(what has been achieved by the work done) will be problematics related to formal definitions of energy,
unavoidably biased by the arbitrary preanalytical power, and work when dealing with an energetic
choice of root definitions. In terms of hierarchy assessment of human labor. Because this is a point
theory, we can describe this fact as follows. carrying quite heavy epistemological implications,
The unavoidable preliminary triadic filtering we would like to elaborate a bit more on it. To be
needed to obtain a meaningful representation of the able to calculate substantive indexes of performance
reality is at the basis of this impasse. For this filtering, based on concepts such as efficiency (maximization
we have to select (1) the interface between the focal of an output/input ratio) and efficacy (maximization
level n and the lower level n1 to represent the of an indicator of achievement in relation to an
structural organization of the system and (2) the input) within energy analysis, we should be able to
interface between the focal level n and higher level define, first, three basic concepts—‘‘energy,’’ ‘‘work,’’
n þ 1 to represent the relational functions of the and ‘‘power’’—in substantive terms. That is, we
system. Ignoring this fact simply leads to a list of should be able to agree on definitions that are
disorganized nonequivalent and nonreducible assess- independent of the special context and settings in
ments of the same concepts. A self-explanatory which these three concepts are used. However, if we
example of this standard impasse in the field of energy try to do that, we are getting into an even more
analysis is given in Table I, which reports an example difficult situation.
of several nonequivalent assessments of the energetic
equivalent of 1 h of labor found in the literature.
3.1 Energy
That is, every time we choose a particular
hierarchical level of analysis for assessing an energy Much of the innate indeterminacy of energy analysis,
flow (e.g., an individual worker over a day), we are especially when applied to complex systems, has its
also selecting a space–time scale at which we will roots in the problematic definition of energy in
describe the process of energy conversion (e.g., over a physics. As Feynman and colleagues pointed out in
day, over a year, over the entire life). This, in turn, 1963, we have no knowledge of what energy is, and
implies a nonequivalent definition of the context or energy is an abstract thing in that it does not tell us
environment and of the lower level where structural the mechanism or the reasons for the various
components are defined. Human workers can be seen formulas. In practice, energy is perceived and
as individuals operating over a 1-h time horizon described in a large number of different forms:
where muscles are the converters, or they can be seen gravitational energy, kinetic energy, heat energy,
as citizens of developed countries where machines elastic energy, electrical energy, chemical energy,
are the converters. The definitions of identities of radiant energy, nuclear energy, mass energy, and so
these elements must be compatible with the identity on. A general definition of energy, without getting
of energy carriers such that individuals eat food, into specific context and space–time scale-dependent
whereas developed countries eat fossil energy. This settings, is necessarily limited to a vague expression
implies that, whatever we choose as a model, the such as ‘‘the potential to induce physical transforma-
various identities of energy carriers, parts, whole, tions.’’ Note that the classical definition of energy in
and environment have to make sense in their conventional physics textbooks, ‘‘the potential to do
Complex Systems and Energy 623
TABLE I
Nonequivalent Assessments of Energy Requirement for 1 h of Human Labor
Source. From Giampietro, M. (2003). ‘‘Multi-Scale Integrated Analysis of Agroecosystems.’’ CRC Press, Boca Raton, FL. Used with
permission.
a
The nine methods considered are (1) only extra metabolic energy due to the actual work (total energy consumption minus metabolic
rate) in 1 h; (2) total metabolic energy spent during actual work (including metabolic rate) in 1 h; (3) metabolic energy spent in a typical work
day divided by the hours worked in that day; (4) metabolic energy spent in 1 year divided by the hours worked in that year. (5) Same as
method 4 but applied at hierarchical level of household; (6) same as method 4 but applied at the level of society; (7) besides food energy, also
including exosomatic energy spent in food system per year divided by the hours of work in that year (7a at household level, 7b at society
level); (8) total exosomatic energy consumed by society in 1 year divided by the hours of work delivered in that society in that year; and (9)
assessing the megajoules of solar energy equivalent of the amount of fossil energy assessed with method 8.
b
The ‘‘systems delivering work’’ considered are typical adult man (Man), typical adult woman (Woman), average adult (Adult), typical
household, and an entire society. Definitions of ‘‘typical’’ are arbitrary and serve only to exemplify methods of calculation.
c
Food energy input is approximated by the metabolic energy requirement. Given the nature of the diet and food losses during
consumption, this flow can be translated into food energy consumption. Considering also postharvest food losses and preharvest crop losses,
it can then be translated into different requirements of food (energy) production.
d
We report here an assessment referring only to fossil energy input.
e
Other energy forms, acting now or in the past, that are (were) relevant for the current stabilization of the described system even if
operating on space–time scales not detected by the actual definition of identity for the system.
f
Based on a basal metabolic rate for adult men of BMR ¼ 0.0485 W þ 3.67 MJ/day (W ¼ weight ¼ 70 kg) ¼ 7.065 MJ/day ¼ 0.294 MJ/h.
Physical activity factor for moderate occupational work (classified as moderate) 2.7 BMR. Average daily physical activity factor
1.78 BMR (moderate occupational work). Occupational workload: 8 h/day considering work days only; 5 h/day average workload over the
entire year, including weekends, holidays, and absence.
g
Based on a basal metabolic rate for adult women of BMR ¼ 0.0364 W þ 3.47 (W ¼ weight ¼ 55 kg) ¼ 5.472 MJ/day ¼ 0.228 MJ/h.
Physical activity factor for moderate occupational work 2.2 BMR. Average daily physical activity factor (based on moderate occupational
work) 1.64 BMR. Occupational workload: 8 h/day considering work days only; 5 h/days average work load over the entire year, including
weekends, holidays, and absence.
h
Assuming a 50% gender ratio.
i
A typical household is arbitrarily assumed to consist of one adult male (70 kg, moderate occupational activity), one adult female (55 kg,
moderate occupational activity), and two children (male of 12 years and female of 9 years).
j
This assessment refers to the United States. In 1993, the food energy requirement was 910,000 TJ/year and the work supply was
215 billion h.
k
Assuming 10 MJ of fossil energy spent in the food system per 1 MJ of food consumed.
l
Assuming a total primary energy supply in 1993 in the United States (including the energy sector) of 85 million TJ divided by a work
supply of 215 billion h.
m
Assuming a transformity ratio for fossil energy of 50 million EMJ/joule.
624 Complex Systems and Energy
work,’’ refers to the concept of ‘‘free energy’’ or at the interface level n/n þ 1). This standard predica-
‘‘exergy,’’ and this is another potential source of ment applies to all real complex systems and
confusion. Both of these concepts require a previous especially to human societies.
formal definition of work and a clear definition of
operational settings to be applied.
3.3 Power
The concept of power is related to ‘‘the time rate of
3.2 Work
an energy transfer’’ or, when adopting the theoretical
The similar ambiguous definition of energy is also formalization based on elementary mechanics, to
found when dealing with a general definition of ‘‘the time rate at which work is being done.’’
work, a definition applicable to any specific space– Obviously, this definition cannot be applied without
time scale-dependent settings. The classical definition a previous valid and formal mapping of the ‘‘transfer
found in dictionaries refers to the ideal world of of energy’’ in the form of a numerical indicator or of
elementary mechanics: ‘‘work is performed only ‘‘doing the work.’’ At this point, it should be obvious
when a force is exerted on a body while the body that the introduction of this ‘‘new’’ concept, based on
moves at the same time in such a way that the force the previous ones, does not get us out of the
has a component in the direction of the motion.’’ predicament experienced so far. Any formal defini-
Others express work in terms of ‘‘equivalent to tion of power will run into the same epistemological
heat,’’ as is done in thermodynamics: ‘‘the work impasse discussed for the previous two concepts
performed by a system during a cyclic transforma- given that it depends on the availability of a valid
tion is equal to the heat absorbed by the system.’’ definition of them in the first place.
This calorimetric equivalence offers the possibility to It should be noted, however, that the concept of
express assessments of work in the same unit as power introduces an important new qualitative
energy, that is, in joules. However, the elaborate aspect—a new attribute required to characterize the
description of work in elementary mechanics and the energy transformation—not present in the previous
calorimetric equivalence derived from classical ther- two concepts. Whereas the concepts of energy and
modynamics are of little use in real-life situations. work, as defined in physics, refer to quantitative
Very often, to characterize the performance of assessment of energy without taking into account the
various types of work, we need inherently qualitative time required for the conversion process under
characteristics that are impossible to quantify in analysis, the concept of power is, by definition,
terms of ‘‘heat equivalent.’’ For example, the work of related to the rate at which events happen. This
a director of an orchestra standing on a podium introduces a qualitative dimension that can be related
cannot be described using the previously given either to degree of organization of the dissipative
definition of elementary mechanics, nor can it be system or to the size of the system performing the
measured in terms of heat. An accounting of the conversion of energy in relation to the processes that
joules related to how much the director sweats guarantee the stability of boundary conditions in the
during the execution of a musical score will not tell environment. To deliver power at a certain rate, a
anything about the quality of his or her performance. system must have two complementing but distinct
‘‘Sweating’’ and ‘‘directing well’’ do not map onto relevant features. First, it must have an ‘‘adequate
each other. Indeed, it is virtually impossible to organized structure’’ to match the given task. In other
provide a physical formula or general model defining words, it must have the capability of doing work at a
the quality (or value) of a given task (what has been given rate. For example, an individual human cannot
achieved after having fulfilled a useful task) in process and convert into power 100,000 kcal of food
numerical terms from within a descriptive domain in a day. Second, it must have the capability of
useful in representing energy transformations based securing a sufficient supply of energy input for doing
on a definition of identity for energy carriers and the task. For example, to gain an advantage from the
energy converters. In fact, formal measurements power of 100 soldiers for 1 year, we must be able to
leading to energetic assessments refer to transforma- supply them with enough food. In short, ‘‘gasoline
tions occurring at a lower level (e.g., how much heat without a car’’ (the first feature) or ‘‘a car without
has been generated by muscles at the interface level gasoline’’ (the second feature) is of no use.
n/n1), whereas an assessment of performance (e.g., This is the point that exposes the inadequacy of
how much the direction has been appreciated by the the conventional output/input approach. In hier-
public) refers to interactions and feedback occurring archically organized adaptive systems, it is not
Complex Systems and Energy 625
thinkable to have an assessment of energy flows level, that is, characterization of the autocatalytic
without properly addressing the set of relevant loop from within (on interface between level n1
characteristics of the process of transformation that and level n) in relation to their ability, validated in
are level and scale dependent in their perception and the past, to fulfill a given set of tasks, define/are
representation. The analyst must address the exis- defined by the compatibility of the identities of
tence of expected differences in the perception and the whole system in relation to its interaction with
representation of concepts such as energy, power, and the larger context, that is, characterization of the
work done on different hierarchical levels and autocatalytic loop from outside (on the interface
associated with the multiscale identity of the between level n and level n þ 1). This compati-
dissipative system in the first place. This means that bility can be associated with the determination of
the three theoretical concepts—energy, work, and the set of useful tasks in relation to the availability
power—must be simultaneously defined and applied in the environment of the required flow of input
within such a representation in relation to the and sink capacity for wastes.
particular typology of dissipative system (engines of
cars are different from muscles in humans). When using these two set of relations and
At this point, if we accept the option of using identities, which depend on each other for their
nonequivalent descriptive domains in parallel, we definitions, simultaneously, we can link nonequiva-
can establish a reciprocal entailment on the defini- lent characterizations of energy transformations
tions of identity of the various elements (converter, across scales (Fig. 2).
whole system, energy carriers, and environment) to
characterize the set of energy transformations re-
quired to stabilize the metabolism of a dissipative Bridge 1: conversion rates represented on different
system. levels must be compatible with each other. This
In this case, we have two couples of self- implies a constraint of compatibility between the
entailment among identities: definition of identity of the set of converters
defined at level n1 (triadic reading: n2/n1/n)
Self-Entailment 1: The identities adopted for the and the definition of the set of tasks for the whole
various converters (on interface level n and level defined at level n þ 1 (triadic reading: n1/n/
n1) referring to the power level of the converter n þ 1). This constraint addresses the ability of the
define/are defined by the identities adopted for various converters to generate ‘‘useful energy’’ (the
the energy carriers (on interface level n1 and right energy form applied in the specified setting)
level n2). at a given rate that must be admissible for the
Self-Entailment 2: The identities of the set of energy various tasks. This bridge deals with qualitative
forms considered to be useful energy on the focal aspects of energy conversions.
Heat waste ?
FIGURE 2 Hierarchical levels that should be considered when studying autocatalytic loops of energy forms. From
Giampietro, M. (2003). ‘‘Multi-Scale Integrated Analysis of Agroecosystems.’’ CRC Press, Boca Raton, FL. Used with
permission.
626 Complex Systems and Energy
Bridge 2: The flow of energy input from the environ- useful in the past by those living inside the system.
ment and the sink capacity of the environment That is, the established set of useful tasks was able to
must be enough to cope with the rate of meta- sustain a network of activities compatible with
bolism implied by the identity of the black box. boundary conditions (ceteris paribus at work).
This implies a constraint of compatibility bet- However, this definition of usefulness for these tasks
ween the size of the converters defined at level (what is perceived as good at level n according to
n1 (triadic reading: n2/n1/n) and the rela- favorable boundary conditions at level n þ 1) has
tive supply of energy carriers and sink capacity nothing to do with the ability or effect of these tasks
related to processes occurring at level n þ 1. in relation to the stabilization of boundary condi-
The set of identities of the input (from tions in the future. For example, producing a given
the environment to the converters) and output crop that provided an abundant profit last year does
(from the converters to the environment) is not necessarily imply that the same activity will
referring to a representation of events belonging remain so useful next year. Existing favorable
to level n2. In fact, these energy carriers will boundary conditions at level n þ 1 require the
interact with internal elements of the converters stability of the processes occurring at level n þ 2
to generate the flow of useful energy and will be (e.g., the demand for that crop remains high in the
turned out into waste by the process of face of a limited supply, natural resources such as
conversions. However, the availability of an nutrients, water, soil, and pollinating bees will
adequate supply of energy carriers and of an remain available for the next year). This is informa-
adequate sink capacity is related to the existence tion we do not know, and cannot know enough
of processes occurring in the environment that about, in advance. This implies that analyses of
are needed to maintain favorable conditions at ‘‘efficiency’’ and ‘‘efficacy’’ are based on data
level n þ 1. Differently put, the ability to maintain referring to characterizations and representations
favorable conditions in the face of a given level relative to identities defined only on the four levels
of dissipation can be defined only by considering n2, n1, n, and n þ 1 (on the ceteris paribus
level n þ 1 as the focal one (triadic reading: hypothesis and reflecting what has been validated in
n/n þ 1/n þ 2). the past). Because of this, they are not very useful in
studying coevolutionary trajectory of dissipative
This means that when dealing with quantitative systems. In fact, they (1) do not address the full set
and qualitative aspects of energy transformations of relevant processes determining the stability of
over an autocatalytic loop of energy forms, we have favorable boundary conditions (they miss a certain
to bridge at least five hierarchical levels (from level number of relevant processes occurring at level
n2 to level n þ 2). n þ 2) and (2) deal only with qualitative aspects
Unfortunately, by definition, the environment (intensive variables referring to an old set of
(processes determining the interface between levels identities) but not quantitative aspects such as the
n þ 1 and n þ 2) is something we do not know relative size of components (how big is the require-
enough about. Otherwise, it will become part of the ment of the whole dissipative system—an extensive
modeled system. This means that when dealing with variable assessing the size of the box from the
the stability of ‘‘favorable boundary conditions,’’ we inside—in relation to the unknown processes that
can only hope that they will remain the way they for stabilize the identity of its environment at level
as long as possible. On the other hand, the existence n þ 2). As observed earlier, the processes that are
of favorable boundary conditions is a must for stabilizing the identity of the environment are not
dissipative systems. That is, the environment is and known by definition. This is why, when dealing with
must generally be assumed to be an ‘‘admissible coevolution, we have to address the issue of
environment’’ in all technical assessments of energy ‘‘emergence.’’ That is, we should expect the appear-
transformations. ance of new relevant attributes (requiring the
Therefore, the existence of favorable boundary introduction of new epistemic categories in the
conditions’’ (interface level n þ 1/n þ 2) is an as- model, that is, new relevant qualities of the system
sumption that is not directly related to a definition of so far ignored) to be considered as soon as the
usefulness of the tasks (interface level n/n þ 1) in dissipative system (e.g., human society) discovers
relation to the issue of sustainability. The existing or learns new relevant information about those
definition of the set of useful tasks at level n simply processes occurring at level n þ 2 that were not
reflects the fact that these tasks were perceived as known before.
Complex Systems and Energy 627
Third, dST translates into a required compatibility, other hand, an autocatalytic loop of different energy
in quantitative and qualitative terms, of the overall forms can be used to study the forced congruence
interaction of the black box with the environment across levels of some of the characteristics of the
according to the particular selection of mapping of autocatalytic loop defined on different descriptive
the two energy forms. Whenever dSTo0, the system domains (Fig. 3).
can expand its domain of activity, either by growing In Fig. 3A, we resume the key features of the
in size (generating more of the same pattern, so to energetic analysis of dissipative systems. In particu-
speak) – or by moving to another dissipative pattern lar, we provide a different perspective on the
(developing emergent properties). On the contrary, discussion related to the representation of hierarchi-
whenever dST40, the system has to reduce its cally organized dissipative systems (Fig. 1). That is,
activity. It can remain alive, at least for a while, by the network represented in Fig. 2 can be represented
sacrificing a part of its activities. In this case, a by dividing the components described at level n1
certain level of redundancy can be burned, providing into two compartments: (1) those that do not
a temporary buffer, to get through critical moments interact directly with the environment (aggregated
and cyclic perturbations (disappearance of expected in the compartment labeled ‘‘indirect’’ in Fig. 3A)
favorable conditions). and (2) those that interact directly with the
As noted earlier, it is not possible to obtain a environment by gathering environmental inputs
simultaneous check in formal terms—and in a and providing those useful tasks aimed at such a
substantive way—of the relation among the three gathering (aggregated in the compartment labeled
dSs defined on different descriptive domains. On the ‘‘direct’’ in Fig. 3A). Thanks to the existence of
A
Level n+1 Level n+2
Level n
Level n−1
1
Favorable
boundary
2 3 Processes
conditions
stabilizing
Indirect Direct admissible
environment
Level n−1
1
B
Ratio between the
Internal supply flows of two
energy forms
1 An energy form
Spent on
able to map the size
overhead
of environmental
An energy form processes
able to map the size
of activity of the
α δ
system as a whole
and within the system
β
γ Technical coefficients
Spent in the 2 Usefulness of tasks
indirect Requirement of investment
3
components Level n −1
interaction
FIGURE 3 Congruence across levels of characteristics of the autocatalytic loop defined over nonequivalent descriptive
domains. From Giampietro, M. (2003). ‘‘Multi-Scale Integrated Analysis of Agroecosystems.’’ CRC Press, Boca Raton, FL.
Used with permission.
Complex Systems and Energy 629
favorable conditions (perceived at level n þ 1), the distribution of the total available supply of energy
whole system (at level n) can receive an adequate carriers (indicated on the upper part of the vertical
supply of required input. This input can then be axis) among the three flows of internal consumption.
expressed in an energy form that is used as reference The angle a refers to the fraction of the total supply
to assess how this total input is then invested over that is invested in overhead. The angle b refers to the
the lower level compartment. Therefore, we can fraction of the total supply that is spent on the
expect that this total input will be dissipated within operation of internal components. The value of the
the black box in three flows (indicated by the three lower part of the vertical axis at this point refers to
arrows in Fig. 3A): a given overhead (1) for the the amount of primary energy (the mapping related
functioning of the whole, (2) for the operation of the to the internal perception of energy form) that is
compartment labeled ‘‘indirect,’’ and (3) for the invested in the direct interaction with the environ-
operation of the compartment labeled ‘‘direct.’’ The ment. The two angles on the right (g and d) refer to a
favorable conditions perceived at level n þ 1, which characterization of the interaction of the system with
make possible the stability of the environmental the environment.
input consumed by the whole system, in turn are The selection of mapping (what set of variables
stabilized due to the existence of some favorable have to be used in such a representation) must fulfill
gradient generated elsewhere (level n þ 2), and this is the double task of making it possible to relate the
not accounted for in the analysis. This available perception and representation of relevant character-
gradient can be exploited thanks to the tasks istics of what is going on inside the black box to
performed by the components belonging to the characteristics that are relevant to studying the
direct compartment (energy transformations occur- stability of the environment. That is, this choice
ring at level n1). The return between the energy does not have the goal of establishing a direct link
input made available to the whole system (at level n) between a model studying the dynamics inside
per unit of useful energy invested by the direct the black box and models studying relevant
compartment into the interaction with the environ- dynamics in the environment. To reiterate, this is
ment will determine the strength of the autocatalytic simply not possible. This analytical tool simply
loop of energy generated at level n1 by the makes it possible to establish bridges among none-
exploitation of a given energy resource. This quivalent representations of the identity of parts
integrated use of representations of energy transfor- and wholes.
mation across levels is at the basis of a new approach An example of three impredicative loop analyses
that can be used to describe the sustainability is presented in Fig. 4. These formalizations reflect
of complex adaptive systems that base their identity three logically independent ways of looking at an
on metabolic processes. In particular, three very autocatalytic loop of energy forms according to the
useful concepts are (1) a mosaic effect across scheme presented in Fig. 3. It is very important to
hierarchical levels, (2) impredicative loop analysis, note that these three formalizations cannot be
and (3) narratives capable of surfing in complex directly linked to each other because they are con-
time. These concepts are required to provide structed using logically independent perceptions and
coherent representation of identities of energy forms characterizations. However, they share a meta-model
generating an autocatalytic loop over five contig- used for the semantic problem structuring that made
uous hierarchical levels (from level n2 to level it possible to tailor in the formalization (when
n þ 2). These three concepts can be used to struc- putting numerical assessment in it) according to the
ture the information space in a way that makes it system considered.
possible to perform a series of congruence checks on
the selected representation of the autocatalytic loop
of energy forms. 5. CONCLUSION
An example of this congruence check is shown in
Fig. 3. It is possible to establish a relation among the The existence of both multiple levels of organization
representation of parts, whole, and interaction with in the investigated system and different useful
the environment across scales using a four-angle perspectives for looking at the reality entails the use
figure that combines intensive and extensive vari- of multiscale analysis when dealing with the sustain-
ables used to represent and bridge the characteriza- ability of dissipative systems organized in nested
tion of metabolic processes across levels. The two hierarchies. This translates into a severe epistemo-
angles on the left side (a and b) refer to the logical challenge for energy analysis. Innovative
630 Complex Systems and Energy
r
Total human activity + R C
> 65 ea e +
HA
J EM
d car ion Le Age /da
y SA =1
HA
h/
< 16 R
ea l t 876,000 h/year ve st y p O 315 Gh 2.3
rh ona pula
0
O (S SA =8
00
e s l o ruc .c (S .3 MJ
Ov per po f a tu .
0,
A MJ /h
62
+ g cti re /h
p in vit
ee rk y Spain 1976
Sl nwo
N o Fossil
256,000 h/year Ecuador
330,000 MJ/year energy
Available 1996
Required
human
food energy HA PS 2620 PJ
TET
9.0 Gh 1976
activity
14 Gh 4240 PJ
15 Work
O ,0
8 d/h
o
Le ff-fa 00 f fo
isu rm h/ J oTechnical coefficients: 1.5 Spain
re w ye M
)= 1996
or ar 3.4 * Technology in production EM +1
k 98,000 h/year EM
1 kg grain/h of labor R
1750 PJ OET
PS R (S .8
=
=1
Acceptable Required work 2 h chores p.c. day 13 PS
level of 0 = )
+1
for food 25
services
Lifestyle: M 0 2390 PJ
* Level of consumption Level of J/h M
J/ ET
Diet China = 250 kg grain/year h ( SO
capitalization ET PS Fraction of intermediate
of the economy consumption
Terrestrial
n
ts
ira
Gross primary W
an
sp
of d
ate
a
pl
re
productivity Ph r
ism e
ol erh
sy nsp B
ab Ov
ro
es tio
t
Au
is n
et
α δ
Net primary Solar energy spent
productivity
β in evapotranspiration Terrestrial ecosystem: Photosynthesis hypercycle
γ B #1 external: Solar energy for evapotranspiration
#2 internal: Chemical bonds in gross primary productivity
Fraction of heterotrophs Turnover time of biomass
in total biomass Pace of nutrient cycling
(linked to the shape of the Standing
biomass
Spain and Ecuador: Exosomatic hypercycle
Eltonian pyramid)
C #1 external: Fossil energy
Biodiversity #2 internal: Human activity
FIGURE 4 Autocatalytic loop of energy forms. From Giampietro, M. (2003). ‘‘Multi-Scale Integrated Analysis of
Agroecosystems.’’ CRC Press, Boca Raton, FL. Used with permission.
analytical methodologies can be developed taking stability of the relation between investment and
advantage of principles derived from complex system return, about the future admissibility of the environ-
theory and nonequilibrium thermodynamics. How- ment on level n þ 2, about the relevance of the
ever, this innovative approach requires accepting two selected set of attributes) guarantees that such a
negative side effects. representation is affected by uncertainty. Both the
First, the same autocatalytic loop can be repre- observer and the observed system are becoming
sented in different legitimate ways (by choosing ‘‘ceteris are never paribus’’ when coming to the
different combinations of formal identities). That is, representation of the evolution in time of autocata-
there is no such thing as the ‘‘right model’’ when lytic loops. The concept of entropy, in this case,
dealing with an analysis of the sustainability of an translates into a sort of ‘‘yin yang’’ predicament for
autocatalytic loop of energy. Rather, all models are the analysis of complex adaptive systems. The more a
incomplete. Analysts have the role of helping in the dissipative system is successful in defending and
societal discussion about how to select narratives and imposing its identity on the environment, the sooner
models that are useful. it will be forced to change it.
Second, there is an unavoidable degree of ignor- In short, any representation in energy terms of the
ance associated with any formal representation of predicament of sustainability for a complex dissipa-
an autocatalytic loop of energy forms. In fact, the tive system is (1) just one of many possible alter-
very set of assumptions that make it possible to natives and (2) unavoidably affected by uncertainty,
represent the system as viable (e.g., about the future ignorance, and certain obsolescence.
Complex Systems and Energy 631
SEE ALSO THE May, and S. Levin, Eds.), pp. 140–156. Princeton University
Press, Princeton, NJ.
FOLLOWING ARTICLES Pimentel, D., and Pimentel, M. (eds.). (1996). ‘‘Food, Energy, and
Society,’’ 2nd ed. University of Colorado Press, Niwot.
Human Energetics Input–Output Analysis Multi- Prigogine, I. (1978). ‘‘From Being to Becoming.’’ W. H. Freeman,
criteria Analysis of Energy Thermodynamics, Laws San Francisco.
Prigogine, I., and Stengers, I. (1981). ‘‘Order out of Chaos.’’
of Work, Power, and Energy Bantam Books, New York.
Schneider, E. D., and Kay, J. J. (1994). Life as a manifestation of
Further Reading the second law of thermodynamics. Math. Comp. Modelling
19, 25–48.
Allen, T. F. H., and Starr, T. B. (1982). ‘‘Hierarchy.’’ University of Smil, V. (1991). ‘‘General Energetics: Energy in the Biosphere.’’
Chicago Press, Chicago. John Wiley, New York.
Giampietro, M. (2003). ‘‘Multi-Scale Integrated Analysis of Rosen, R. (2000). ‘‘Essays on Life Itself.’’ Columbia University
Agroecosystems.’’ CRC Press, Boca Raton, FL. Press, New York.
Hall, C. A. S., Cleveland, C. J., and Kaufmann, R. (1986). ‘‘Energy Rotmans, J., and Rothman, D. S. (eds.). (2003). ‘‘Scaling Issues
and Resource Quality.’’ John Wiley, New York. in Integrated Assessment.’’ Swets & Zeitlinger, Lissen, Nether-
Herendeen, R. A. (1998). ‘‘Ecological Numeracy: Quantitative lands.
Analysis of Environmental Issues.’’ John Wiley, New York. Salthe, S. N. (1985). ‘‘Evolving Hierarchical Systems: Their
Odum, H. T. (1996). ‘‘Environmental Accounting: Energy and Structure and Representation.’’ Columbia University Press,
Decision Making.’’ John Wiley, New York. New York.
O’Neill, R. V. (1989). Perspectives in hierarchy and scale. In Schrödinger, E. (1967). ‘‘What Is Life?’’ Cambridge University
‘‘Perspectives in Ecological Theory’’ (J. Roughgarden, R. M. Press, Cambridge, UK.
Computer Modeling of Renewable
Power Systems
PETER LILIENTHAL
U.S. Department of Energy, National Renewable Energy Laboratory
Golden, Colorado, United States
THOMAS LAMBERT
Mistaya Engineering, Inc.
Calgary, Alberta, Canada
PAUL GILMAN
U.S. Department of Energy, National Renewable Energy Laboratory
Golden, Colorado, United States
This article deals with the modeling of solar, wind, day), and d is the declination, given by
small hydro, and biomass power systems suitable for
284 þ n
small-scale (less than 1 MW) electric power genera- d ¼ 23:45 sin 360
365
tion, both stand-alone and grid-connected. The focus
will be on long-term performance and economic Integrating the extraterrestrial radiation over 1 hour
modeling rather than dynamic modeling, which is gives the energy per unit area received over that hour.
concerned with short-term system stability and Integrating from sunrise to sunset gives the energy
response. The material is structured to first address per unit area received daily. Summing this daily total
the modeling of each of the renewable resources, for each day of the month gives the monthly total.
then the renewable technologies, then the power Atmospheric scattering and absorption reduce the
systems in which resources and technologies may be amount of solar radiation striking Earth’s surface to
combined with each other and with more conven- some fraction of the extraterrestrial radiation. This
tional power sources. In the final section, there is a fraction, called the clearness index, varies stochasti-
description of the types of models currently avail- cally in time, due principally to the fluctuating
able, and examples of each. amount of water vapor and water droplets contained
in the atmosphere. The equation for the clearness
2. RENEWABLE RESOURCE index is as follows:
MODELING kt ¼ G=Go
where G is the radiation incident on a horizontal plane
Characteristics of the renewable resources influence
on the surface of Earth and Go is the radiation incident
the behavior and economics of renewable power
on a horizontal plane at the top of the atmosphere.
systems. Resource modeling is therefore a critical
Atmospheric scattering affects the character as well as
element of system modeling. In this section, the focus
the amount of surface radiation. Under very clear
is on those aspects of each renewable resource that are
conditions, the global radiation may be as much as
important for modeling renewable power systems.
80% beam radiation and only 20% diffuse radiation.
Under very cloudy conditions, the global radiation
2.1 Solar Resource
may be almost 100% diffuse radiation. Duffie and
Solar power technologies convert solar radiation into Beckman provide correlations that relate this diffuse
electricity. The goal of solar resource modeling is to fraction to the clearness index. The diffuse fraction is
estimate the amount of solar radiation available for of interest to modelers for two reasons. First, the effect
conversion at some location, and how that amount of surface orientation differs for beam and diffuse
varies over time. Four factors determine the amount radiation, because beam radiation emanates only from
of radiation striking a plane on Earth’s surface: the the direction of the sun whereas diffuse radiation
amount of extraterrestrial radiation, the fraction of emanates from all parts of the sky. Second, some solar
that radiation being transmitted through the atmo- conversion devices (those that focus the sun’s rays) can
sphere, the orientation of the plane, and shading of only make use of beam radiation.
the plane by nearby objects such as buildings or Researchers have developed several algorithms for
mountains. calculating the beam and diffuse radiation striking a
Extraterrestrial radiation varies in an entirely surface with a particular slope (the angle between the
predictable fashion as Earth rotates on its axis and surface and the horizontal) and azimuth (the direc-
revolves around the sun. For any time between tion toward which the surface faces), as well as
sunrise and sunset, the following equation gives the means of accounting for shading from nearby objects
solar radiation incident on a horizontal plane at the (details can be found in the book by Duffie and
top of the atmosphere: Beckman, Solar Engineering of Thermal Processes).
360n Most measured solar resource data are reported as
Go ¼ Gsc 1 þ 0:033 cos global radiation on a horizontal surface, averaged for
365
each hour, day, or month of the year. Models can use
ðcos f cos d cos o þ sin f sin dÞ
the above-mentioned algorithms to calculate the
where Gsc is the solar constant (normally taken as corresponding clearness indices, resolve the global
1367 W/m2), n is the day of the year, f is the latitude radiation into its beam and diffuse components, and
(north positive), o is the hour angle (zero at solar calculate the radiation striking a particular surface.
noon, increasing at 151 per hour throughout the The National Aeronautics and Space Administration
Computer Modeling of Renewable Power Systems 635
(NASA) Surface Solar Energy Web site provides where v is the wind speed, c is the scale parameter (in
satellite-measured monthly average radiation values the same units as v), and k is the dimensionless shape
for any location worldwide at a 11 resolution. factor. The following equation relates the two
Numerous other sources provide monthly or hourly parameters c and k to the mean wind speed:
data for more limited areas at higher spatial
1
resolution. Several authors, including Mora-López v% ¼ cG þ1
k
and Sidrach-de-Cardona, have proposed algorithms
for the generation of synthetic hourly radiation data where G is the gamma function. The Rayleigh
from monthly averages. distribution is a special case of the Weibull distribu-
tion, with k ¼ 2. The Weibull distribution provides a
convenient way to characterize the wind resource,
2.2 Wind Resource
because a mean wind speed and a Weibull k factor
Wind turbines convert the kinetic energy of the wind are sufficient to quantify the energy potential. Figure
into electricity. The goal of wind resource modeling 1 shows the Weibull probability distribution function
is to describe the statistical properties of the wind at for a mean wind speed of 6 m/s and three values of
a particular location in order to estimate the amount the shape factor k. Lower values of k correspond to
of power a wind turbine would produce over time at broader distributions. Weibull distributions fitted to
that location. The wind power density, or power per measured wind data typically have k values between
unit area, depends on the air density r and the wind 1.0 and 3.0. Stevens and Smulders have determined
speed v according to the following equation: several methods for fitting a Weibull distribution to
measured data (see Fig. 1).
P=A ¼ ð1=2Þrv3
The wind speed tends to increase with height
The air density depends on pressure and temperature above ground, an important factor when using wind
according to the ideal gas law. Air pressure varies measurements taken at one height to estimate the
with elevation above sea level, but does not vary production of a wind turbine at a different height.
significantly in time. Temperature does vary signifi- Modelers typically assume that the wind speed’s
cantly with time at many locations, but because wind increase with height follows either a logarithmic
power density varies with the cube of the wind speed, profile or a power law profile. The logarithmic
the most significant factor in the variation of wind profile is given by
power with time is the fluctuating wind speed. vðz1 Þ lnðz1 =z0 Þ
Driven by complex large-scale atmospheric circu- ¼
vðz2 Þ lnðz2 =z0 Þ
lation patterns and local topographic influences,
wind speeds at a particular location typically exhibit where v(z1) and v(z2) are the wind speeds at heights
seasonal, daily, and short-term fluctuations. Short- z1 and z2, and the parameter z0 is the surface
term fluctuations (on the order of minutes or roughness length. The power law profile is given by
seconds) can affect a wind turbine’s structural loads a
vðz1 Þ z1
and power quality, but they do not significantly ¼
affect long-term production or economics. The vðz2 Þ z2
seasonal and daily patterns of wind speed are more
difficult to predict than are those of solar radiation,
because the wind speed is not driven by any well- 0.20
k=3
defined phenomenon comparable to the solar extra- 0.16
terrestrial radiation. Accurate determination of k=2
seasonal and daily patterns typically requires anem- 0.12
ometer measurements spanning months or years.
f(v )
0.08
A defining characteristic of a wind regime is its k=1
long-term distribution of wind speeds. Long-term 0.04
wind speed observations typically conform well to
the two-parameter Weibull distribution, the prob- 0.00
0 5 10 15 20
ability distribution function of which is given by
v (m/s)
kvk1 v k
f ðvÞ ¼ exp FIGURE 1 The Weibull distribution with a mean wind speed of
c c c 6 m/s and three values of k.
636 Computer Modeling of Renewable Power Systems
where a is the power law exponent. Manwell, 10 m3/s about 13% of the time. Flow duration curves
McGowan, and Rogers have provided guidance on can be created using long-term flow measurements or
the selection of surface roughness length and the synthesized based on precipitation data within the
power law exponent, as well as a more complete catchment basin. Because most small hydro systems
examination of wind resource modeling. do not incorporate storage, the critical value is the
firm flow, usually defined as the flow rate available
95 or 100% of the time. Designers typically size
2.3 Hydro Resource hydro systems based on the firm flow, or some
Hydropower systems convert the energy of flowing portion thereof. The Web site www.microhydropo-
water into electricity, usually by diverting a portion wer.net contains information on many aspects of
of a watercourse through a penstock (also called a small hydro systems, including guidance on the
pressure pipe) to a turbine. Hydro resource modeling measurement of head and flow.
aims to estimate the amount of power that a
hydropower system could extract from a particular
watercourse. 2.4 Biomass Resource
The ability of falling water to produce power Biomass power systems produce electricity from the
depends on the flow rate and the head (the vertical chemical energy contained in organic matter. Many
distance through which it falls) according to the different types of biomass are suitable for power
following equation: production, including wood waste, agricultural
P ¼ rghQ _ residue, animal waste, and energy crops. The goal
of biomass resource modeling is to quantify the
where r is the density of water, g is the gravitational availability, price, and physical properties of the
acceleration, h is the head, and Q _ is the flow rate.
feedstock.
Therefore the head (which is determined by local Three factors distinguish the modeling of the
topography) and the available flow rate define the biomass resource from that of the other renewable
hydro resource at any particular location. The flow resources. First, the amount of available biomass
rate often varies seasonally and may in some cases depends largely on human action, because the feed-
vary according to the time of day, although it stock must be harvested, transported, and, in the case
generally does not display the intermittency inherent of dedicated energy crops, even sowed. So, although
to the solar and wind resources. Modelers sometimes the gross amount of biomass depends on natural
characterize a watercourse’s flow rate by computing factors such as growing season and rainfall, the
its flow duration curve, an example of which appears intermittency and unpredictability that characterize
in Fig. 2. This example shows that the flow rate the other renewable resources do not apply to the
exceeds 5 m3/s about 37% of the time, and exceeds biomass resource. Second, the biomass feedstock is
often easily stored, further reducing intermittency and
increasing flexibility. Third, the feedstock is often
25 converted to a liquid or gaseous fuel, which can be
stored and transported. As a result of these factors,
20 biomass resource modeling typically focuses not on
availability, but rather on the properties of the
Flow rate (m3/s )
5 3. COMPONENT MODELING
The characteristics of renewable technologies rele-
0 vant to their modeling are briefly outlined here.
0 20 40 60 80 100
Because renewable power systems often include some
Perc ent of time ex c eeded form of backup power to compensate for the
FIGURE 2 Sample flow duration curve. intermittent nature of the renewable resources,
Computer Modeling of Renewable Power Systems 637
fossil-fueled generators, energy storage devices, and equation for module efficiency:
grid connection are also covered here. Z ¼ Zref þ mðTc Tref Þ
where T c is the module temperature, Tref is the
3.1 Photovoltaic Modules reference temperature, Zref is the module efficiency at
Photovoltaic (PV) modules convert solar radiation the reference temperature, and m is the efficiency
directly to direct current (DC) electricity, with sizes temperature coefficient. The efficiency temperature
ranging from a few watts to hundreds of kilowatts. coefficient is a property of the module and is typically
The output current of a photovoltaic module a negative number. From the efficiency, a modeler
increases linearly with increasing incident global can calculate the power output of a photovoltaic
radiation, and decreases linearly with increasing module using the following equation:
module temperature. At any fixed temperature and P ¼ ZGT A
radiation value, current (and hence power) varies
nonlinearly with voltage, as shown in Fig. 3. where Z is the efficiency, GT is the global (total) solar
The peak of the power curve in Fig. 3 is called the radiation incident on the surface of the module, and
maximum power point. The voltage corresponding A is the area of the module.
to the maximum power point varies with radiation The life-cycle cost of a photovoltaic subsystem
and temperature. If the photovoltaic module is is dominated by initial capital cost. The lack of
directly connected to a DC load (or a battery bank), moving parts (with the rare exception of tracking
then the voltage it experiences will often not systems) results in long lifetimes and near-zero
correspond to the maximum power point, and operation and maintenance costs. Economic models
performance will suffer. A maximum power point of photovoltaic modules commonly assume 20- to
tracker is a solid-state device that decouples the 30-year lifetimes and neglect operation and main-
module from the load and controls the module tenance costs altogether.
voltage so that it always corresponds to the
maximum power point, thereby improving perfor- 3.2 Wind Turbines
mance. The complexity of modeling the power
output from photovoltaic modules depends on the Wind turbines generate alternating or direct current
presence of the maximum power point tracker. In the (AC or DC) power, in sizes ranging from a few watts
absence of a maximum power point tracker, the to several megawatts. Each wind turbine has a
modeler must account for the effects of radiation, characteristic power curve that describes its power
temperature, and voltage. Duffie and Beckman have output as a function of the wind speed at its hub
provided algorithms to do so. A maximum power height. Figure 4 shows an example. Power curves
point tracker eliminates the nonlinear dependence on typically display a cut-in wind speed below which the
voltage and allows the modeler to use the following output is zero, then a section wherein the output
varies roughly with the cube of the wind speed, then
a section wherein the output peaks and declines due
3 60
70
60
Po wer (W)
2 40
Cur r en t (A )
50
Cut-in wind speed
40
1 20 30
20
0 0 10
0 5 10 15 Vmp 20 0
Vo l tag e (V) 0 5 10 15 20 25
Wind speed (m/s)
FIGURE 3 Current and power versus voltage for a typical
photovoltaic module. FIGURE 4 A wind turbine power curve.
638 Computer Modeling of Renewable Power Systems
to limitations designed into the turbine. The power as the Pelton, Turgo, or crossflow, but some low-
curve describes turbine performance at a reference head applications use reaction turbines such as the
air density, typically corresponding to standard Francis, propeller, or Kaplan. Figure 5 shows typical
temperature and pressure. For a turbine operating efficiency curves. Although the impulse turbines
at a different air density, the modeler can calculate its exhibit near-constant efficiencies throughout their
power output using the following equation: operating range, the reaction turbines (excluding the
P ¼ Ppc ðr=rref Þ Kaplan) are much less efficient at lower flow rates.
The Kaplan turbine, an adjustable-blade propeller
where Ppc is the power output predicted by the turbine, exhibits an efficiency curve similar to that of
power curve, r is the actual air density, and rref is the the impulse turbines (see Fig. 5).
reference air density. Because the wind turbine Friction and turbulence in the penstock cause a
output is so nonlinear with wind speed, and the reduction in the water pressure upstream of the
wind speed is so variable, a modeler must exercise turbine. This pressure loss can be expressed as a head
care when estimating the output of a wind turbine loss. The effective head can then be calculated by
over long periods. The direct use of annual, monthly, subtracting this head loss from the available head
or even daily average wind speeds causes unaccep- (the vertical drop from the penstock inlet to the
tably large inaccuracies. Time series data can be used turbine). Modelers can calculate the head loss using
directly only if its averaging interval is 1 hour or less. the standard techniques of fluid mechanics (Darcy
For longer term averages, the modeler must consider friction factor, Moody diagram) or estimate it using
the frequency distribution of wind speeds. rules of thumb.
Initial capital costs (including installation) dom- Small hydro systems rarely incorporate storage
inate the life-cycle cost of wind turbines, but reservoirs, because the economic and ecological costs
maintenance costs do occur. Economic models of of reservoirs often exceed their value in compensat-
wind turbines often assume a 15- to 25-year lifetime ing for variation in the flow rate and adding a
and an annual operation and maintenance cost of measure of control. Most run-of-river systems (ones
1–3% of capital cost. that do not incorporate storage) have no means of
restricting the flow rate though the turbine, so the
flow rate in the preceding equation is simply equal to
3.3 Small Hydropower Systems
the flow through the penstock, which cannot exceed
Small hydropower systems generate AC or DC the stream flow.
electricity from flowing water. The following equa- Like photovoltaic modules and wind turbines,
tion gives the output power of a hydropower system: small hydro systems have high initial costs and low
_
P ¼ Zturb Zgen rgheff Q operating costs. The capital cost of a hydro system,
which includes the cost of the required civil works
where P is the output power in watts, Zturb is the plus that of the turbine and related machinery,
efficiency with which the hydro turbine converts
water power into shaft power, Zgen is the efficiency
with which the generator converts shaft power into 100
electrical power, r is the density of water in kg/m3, g 90 Pelton
Propeller
due to turbulence and friction) in meters, and Q _ is 60
the volumetric flow rate through the turbine in m3/s. 50 Francis
the battery per year, and then refer to the battery billing period). Both may vary according to season,
lifetime curve (cycles to failure versus depth of time of day, quantity, or other factors. Some utilities
discharge) to calculate the resulting years of lifetime. allow the sale of excess electricity back to the grid,
Downing and Socie have proposed two algorithms usually at the utility’s avoided cost or according to a
for counting cycles. The effect of temperature on the net metering scheme whereby the customer pays for
storage capacity, charge/discharge capacity, and net monthly or annual consumption. Utilities may
internal resistance may be significant for certain also assess an interconnection charge (a one-time fee
modeling applications. Perez has offered insight into for connecting a power system to the grid) or standby
this and other aspects of battery performance. charges (monthly or annual fees for providing
backup power).
3.7 AC/DC Converters
Renewable power systems commonly comprise a
mixture of AC and DC loads and components, and 4. SYSTEM MODELING
hence require AC/DC conversion. Solid-state inver-
ters and rectifiers typically perform this conversion, Several characteristics of renewable power technol-
although some systems use rotary converters. For ogies combine to complicate the process of designing
technoeconomic modeling, the important perfor- renewable power systems. The principal virtue of
mance characteristics of a conversion device are its renewable power sources, that they do not require
maximum capacity and its efficiency. Another fossil fuel, makes them suitable for many remote and
characteristic important for modeling an inverter is off-grid applications. Such ‘‘stand-alone’’ systems
whether it can operate in parallel with an AC require careful design because of the need to balance
generator; those that cannot are sometimes called electrical supply and demand. Models can help by
‘‘switched inverters.’’ simulating the performance of a system to determine
Sukamongkol et al. have proposed that the power its viability, robustness, and stability.
flow through solid-state inverters may be modeled by The intermittent and seasonal nature of renewable
the following equation: resources often makes it necessary (or at least
PO ¼ aðPI bÞ advantageous) to combine renewable power sources
with each other, with conventional power sources
where PO is the output power, PI is the input power, such as diesel generators, and with energy storage
and a and b are constants. The value of b, often technologies such as batteries. Hence renewable
called the ‘‘standing losses,’’ is small compared to the power systems frequently comprise several dissimilar
capacity of the inverter. Many models therefore components, often both AC and DC. Models can
ignore standing losses and assume a constant inverter help both in simulating the complex behavior of a
efficiency. The same treatment applies to rectifiers. composite system and in evaluating the many
Solid-state inverters typically exhibit efficiencies near different possible combinations of component types
or above 90%, with rectifier efficiencies slightly and sizes.
lower. Rotary converters typically have slightly lower Renewable power sources typically have high
efficiencies, compared to solid-state converters. capital costs and low operating costs, in contrast to
most conventional (fossil-fueled) power sources. Any
fair comparison of the relative economics of conven-
3.8 Grid Connection
tional and renewable sources of energy must
Distributed generation systems supply electricity to therefore consider operating costs in addition to
grid-connected energy consumers and either store the initial capital costs. This requires more sophisticated
excess or sell it back to the utility. Such systems may economic modeling than may be necessary when
also supply heat, in which case they are called simply choosing between conventional power
cogeneration or combined heat and power (CHP) sources.
systems. The utility rate structure (or tariff structure) The design of renewable power systems involves
often determines the economic viability of distrib- many variables, some inherently uncertain. Compu-
uted generation systems. This rate structure typically ter models can help the system designer take this
consists of an energy charge (on the number of uncertainty into consideration. A model may, for
kilowatt-hours purchased per billing period) and a example, allow a designer to assess the technical and
demand charge (on the peak demand within the economic implications of an increase in fuel price,
642 Computer Modeling of Renewable Power Systems
growth in electric demand, or an inaccurate estimate constraints may limit such parameters as fuel usage,
of wind speed. emissions, or generator run time.
The optimal system design varies widely, depend-
ing on the magnitude and character of the electric
4.1 Temporal Variability
demand, the quality of the renewable resources, and
Renewable power systems experience two kinds of several economic factors. Relevant economic factors
temporal variability. Seasonal or long-term variabil- may include component costs, fuel price, interest
ity results from the cyclic annual pattern of the rate, and, in the case of grid-connected systems, the
renewable resources. Short-term variability, which utility rate structure. Models allow the designer to
applies in particular to systems comprising solar or explore the many different possible system config-
wind power, results from the hour-to-hour, even urations in search of the optimum. Some models
second-to-second, intermittency in the solar radia- perform the optimization procedure by simulating
tion, wind speed, and electric load. Both types of multiple different system configurations and compar-
variability influence power system design. ing them based on user-specified criteria. Others
The seasonal variability of resources often makes simply simulate one system at a time, in which case
it impossible to rely on a single renewable power the designer can perform the optimization process
source year-round without backup power from a manually.
fuel-fired generator or utility grid. If stream flow
declines sharply during the winter, for example, a
4.3 System Operation and Control
diesel generator may be needed to supplement the
output of the hydro turbine for part of the year. The For some renewable power systems, the designer
degree to which different resources complement each must also consider the method of operation. A small
other also affects the optimal combination of power photovoltaic/battery or wind/battery system needs no
sources. For example, a combination of wind and complicated control logic, other than appropriate
solar power will more likely be optimal if wind constraints on battery charging and discharging. The
speeds peak during the winter (so that increased system simply charges the battery with excess
wind power output makes up for decreased solar renewable power and discharges the battery when
power output) than if they peak during the summer. necessary. Similarly straightforward control logic
Short-term variability has wide-ranging implica- would apply to a grid-connected photovoltaic system
tions for system design and operation. It is the or a low-penetration wind/diesel system in which the
principal factor in determining the optimal amount diesel always operates and the wind power simply
of energy storage, and an important consideration saves fuel. But a high-penetration wind/diesel system,
when sizing dump loads (which manage excess in which the wind power may occasionally exceed
renewable power) and AC/DC converters. Short- the electric load, needs control logic to determine if
term variability also plays a role in the control of and when the diesel can safely shut down without
backup generators, which must modulate their out- risking a loss of load. Spinning reserve is an
put in response to fluctuations in the renewable important consideration in such decision-making.
output and electric demand. The manner in which the controller makes dispatch
decisions can affect both the economics and the
optimal design of the power system.
4.2 Component Selection and Sizing
Control strategies are also important for any
A power system designer must choose which power system comprising more than one dispatchable
sources the system should comprise, decide whether power source. A stand-alone power system that
to include energy storage, and select an appropriate includes both a generator and a battery bank is one
size for each system component. This process of example. Two common control strategies for such a
selecting the best system configuration from a long system are load following and cycle charging. Under
list of possibilities is an optimization problem well the load-following strategy, whenever the generator
suited to computer modeling. The objective is operates, it produces only enough power to serve the
typically to minimize the cost of energy or the total load (surplus renewable power charges the batteries).
system cost, subject to any number of constraints. Under the cycle-charging strategy, whenever the
For stand-alone systems, the principal constraint is generator operates, it produces excess power to
normally that the system must supply some fraction charge the battery bank. Barley and Winn have
of the annual electric demand, often 100%. Other presented a thorough analysis of these two strategies
Computer Modeling of Renewable Power Systems 643
and their variations, and proposed a design chart to The present value of a sequence of equal annual
help select the better of the two, depending on the cash flows is equal to the annual cash flow divided
configuration and economics of the system. by the capital recovery factor (CRF). This factor is
Other examples of systems comprising more than given by
one dispatchable power source include a stand-alone CRF ¼ ið1 þ iÞN =½ð1 þ iÞN 1
Economics frequently figure prominently in system Regardless of how carefully a designer models the
design. Even when nonmonetary factors are in- cost and performance of a power system, uncertainty
volved, economic figures of merit can help in in key inputs invariably causes actual and modeled
selecting among design options. To account properly results to differ. In a wind/diesel system for example,
for both initial capital costs and recurring operating if the actual average wind speed turns out to be lower
costs, economic models should consider the time than the estimate used during modeling, the system
value of money. One approach is to calculate the will likely consume more fuel than predicted, hence
present value of all cash flows (annual fuel payments, the life-cycle cost will be greater than predicted.
maintenance costs, grid power costs, component Similarly, an underestimate of the diesel fuel price
replacement costs, etc.) that occur within the project over the project lifetime will also result in an
lifetime. This yields the system’s total life-cycle cost. underestimate of life-cycle cost.
An equivalent approach is to annualize all one-time A modeler can take this uncertainty into con-
costs and add them to the recurring annual costs to sideration by performing multiple simulations under
calculate the system’s total annualized cost. This different input assumptions. For example, the mode-
number divided by the total energy delivered ler could analyze the system cost and performance
annually to the load yields the levelized cost of using several different values of fuel price to establish
energy. For system retrofits, when an investment in the sensitivity of key outputs to that input. The
renewable energy results in future cost savings, the results of such a sensitivity analysis are often plotted
payback period and internal rate of return are also as a spider graph such as the one shown in Fig. 8.
useful figures of merit. This example shows how the cost of energy varies
When calculating life-cycle cost it is helpful to with changes in particular input variables. The
make use of two economic concepts, the present modeler calculated the cost of energy assuming five
value of a future cash flow and the present value of a different values of fuel price: a best estimate, plus
sequence of equal annual cash flows. The present two values above and two values below that best
value of a cash flow occurring N years in the future is estimate. The modeler did the same for two more
found by multiplying by the present worth factor input variables, the average wind speed and the
(PWF), given by average solar radiation. The graph shows that the
cost of energy increases with increasing fuel price,
PWF ¼ 1=ð1 þ iÞN and decreases with increasing wind speed or solar
radiation. Changes in wind speed have a more
where i is the annual discount rate. Inflation can be dramatic effect on the cost of energy than do changes
factored out by using the real annual discount rate, in solar radiation.
given by For a more formal treatment of uncertainty, a
i ¼ ði0 f Þ=ð1 þ f Þ modeler can make use of the techniques of decision
analysis, a field devoted to decision-making in the
where i0 is the nominal interest rate and f is the presence of uncertainty. The canonical decision
inflation rate. analysis approach is to assign probabilities to multiple
644 Computer Modeling of Renewable Power Systems
comprising diesel generators, a statistical model may battery systems. RETScreen, created by Natural
assume that the generator’s fuel consumption is Resources Canada, can simulate these systems as
linear with power output, meaning the generator’s well as grid-connected wind, low-penetration wind/
efficiency is constant. Although greatly simplifying diesel, and small hydro systems.
system modeling, this assumption neglects the fact
that generators are much less efficient at low loads, a
5.2 Time Series Models
fact that has important implications for the control
and economics of the system. Their reduced accuracy The premise of time series modeling is that by
means that statistical models often cannot reliably simulating system performance at a sufficiently fine
model the behavior of complex systems such as high- temporal resolution, the effects of short-term varia-
penetration wind/diesel systems. In such systems, bility can be modeled directly. Time series models
details for which a simplified model cannot account typically perform annual simulations using a 1-hour
may have a substantial impact on both performance time step, and assume that the time-dependent
and economics. variables (electric load and renewable resources)
Statistical models also tend to allow less flexibility remain constant within that time step. Shorter time
in the configuration of the system. Because of their steps lead to improved accuracy but increased
inability to simulate complicated systems, for exam- computation time. That, along with the difficulty of
ple, statistical models typically allow a designer to obtaining higher resolution resource and load data,
simulate at most one renewable power source and explains why most models use a 1-hour time step.
one dispatchable generator. They typically cannot At the core of time series modeling is the energy
analyze systems comprising multiple renewable balance performed each time step. In this energy
power sources, multiple generators, or other ad- balance, the model calculates the available renewable
vanced features such as cogeneration. An additional power, compares it to the electric load, and simulates
drawback of statistical models is that despite using how the system would deal with any surplus or
fewer and generally simpler inputs, a small number deficit. In the case of insufficient renewable power,
of their inputs can be difficult to understand and to the model may draw power from the grid, dispatch
estimate. A statistical model may, for example, one or more generators, or discharge the battery
require the user to specify the degree to which the bank to avoid unmet load. In the case of an
electric load correlates with the solar radiation, or oversupply of renewable power, the model may sell
the fraction of the wind turbine output that will have power to the grid, charge the battery bank, serve an
to be dumped as excess. Time series models require optional load, or dissipate the excess power in a
neither of these inputs; the solar and load correlation dump load. When making such dispatch decisions,
is unnecessary because the model has access to the time series models typically refer to some preset
hourly solar and load data, and a time series operating strategy, and many models allow the
simulation can determine the wind turbine’s excess comparison of several different strategies so that
energy fraction. the user can determine which is optimal for a
In summary, statistical models offer simplicity and particular application.
speed at the cost of accuracy and flexibility. They are The division of the year into many short intervals
suitable for prefeasibility analyses of many types of allows time series models to simulate even complex
renewable power systems. In fact, certain uncompli- systems accurately. As a result, time series models
cated systems (such as PV/battery or grid-connected allow the modeler to simulate a wide variety of
PV) may require no further modeling. However, in system types, sometimes comprising multiple renew-
the design of more complex systems, particularly able power sources, multiple generators, battery
those requiring sophisticated control strategies or storage, and grid connection. With this flexibility, a
careful balancing of electrical supply and demand, modeler can evaluate many more design options than
statistical modeling should be supplemented with is possible with a statistical model.
time series modeling. Hourly simulations require hourly load and
Several statistical models for renewable power resource data. The limited availability of such data
system design are currently available and may be can hinder the use of time series models, although
accessed on the Internet. PVSYST, created by the several algorithms exist for synthesizing hourly load,
University of Geneva, can simulate PV/battery and solar radiation, and wind speed data from more
grid-connected PV systems. Orion Energy’s NSol! readily available monthly or annual average data.
can simulate these systems as well as PV/generator/ Virtually all time series models, for example, allow
646 Computer Modeling of Renewable Power Systems
Manwell, J. F., McGowan, J. G., and Rogers, A. L. (2002). ‘‘Wind Skarstein, O., and Uhlen, K. (1989). Diesel considerations with
Energy Explained.’’ Wiley, New York. respect to long-term diesel saving in wind/diesel plants. Wind
McKendry, P. (2002). Energy production from biomass (Part 1): Engineer. 13, 72–87.
Overview of biomass. Bioresource Technol. 83, 37–46. Spiers, D. J., and Rasinkoski, A. A. (1996). Limits to battery lifetime
McKendry, P. (2002). Energy production from biomass (Part 2): in photovoltaic applications. Solar Energy 58, 147–154.
Conversion technologies. Bioresource Technol. 83, 47–54. Stevens, M. J. M., and Smulders, P. T. (1979). The estimation
Mora-López, L. L., and Sidrach-de-Cardona, M. (1998). Multi- of the parameters of the Weibull wind speed distribution
plicative ARMA models to generate hourly series of global for wind energy utilization purposes. Wind Engineer. 3,
irradiation. Solar Energy 63, 283–291. 132–145.
Paish, O. (2002). Small hydro power: Technology and current Sukamongkol, Y., Chungpaibulpatana, S., and Ongsakul, W.
status. Renew. Sustain. Energy Rev. 6, 537–556. (2002). A simulation model for predicting the performance of
Perez, R. (1993). Lead-acid battery state of charge vs. voltage. a solar photovoltaic system with alternating current loads.
Home Power 36, 66–69. Renewable Energy 27, 237–258.
Conservation Measures for
Energy, History of
JOHN H. GIBBONS and HOLLY L. GWIN
Resource Strategies
The Plains, Virginia, United States
Glossary
end-use efficiency Substituting technological sophistica- 1. INTRODUCTION
tion for energy consumption through (1) obtaining
higher efficiency in energy production and utilization Just as beauty is in the eye of the beholder, energy
and (2) accommodating behavior to maximize personal conservation means different things to different
welfare in response to changing prices of competing people. Concerned about deforestation in Pennsylva-
goods and services.
nia, Benjamin Franklin took heed of his own advice
energy conservation The wise and thoughtful use of
(‘‘a penny saved is a penny earned’’) by inventing the
energy; changing technology and policy to reduce the
demand for energy without corresponding reductions in Franklin stove. In his Account of the New Invented
living standards. Fireplaces, published in 1744, Franklin said ‘‘As
energy intensity The amount of energy consumed to therefore so much of the comfort and conveniency of
produce a given economic product or service; often our lives for great a part of the year depend on this
measured as the ratio of the energy consumption (E) of article of fire; since fuel is become so expensive, and
a society to its economic output (gross domestic (as the country is more clear’d and settle’d) will of
product, GDP), measured in dollars of constant course grow scarcer and dearer; any new proposals
purchasing power (the E/GDP ratio). for saving the wood, and for lessening the charge and
energy services The ‘‘ends,’’ or amenities, to which energy is augmenting the benefit of fire, by some particular
the ‘‘means,’’ e.g., space conditioning, lighting, transpor-
method of making and managing it, may at least be
tation, communication, and industrial processes.
thought worth consideration.’’ The Franklin stove
externalities The environmental, national security, human
health, and other social costs of providing energy dramatically improved the efficiency of space heat-
services. ing. In Franklin’s time, however, others viewed
least-cost strategy A strategy for providing individual and energy consumption as a signal of economic progress
institutional energy consumers with all of the energy and activity. This view was epitomized by company
services, or amenities, they require or want at the least letterheads picturing a factory with chimneys
possible cost. It includes the internal economic costs of proudly billowing clouds of smoke!
energy services (fuel, capital, and other operating costs) Viewed as a matter of how much energy it takes to
as well as external costs. run an economy—often referred to as a society’s
energy intensity—energy conservation has been with
The history of energy conservation reflects the us since the middle of the 20th century. Between
influence of technology and policy on moderating 1949 and 2000, the amount of energy required to
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 649
650 Conservation Measures for Energy, History of
produce a (1996 constant) dollar of economic output the investment trade-off between an increment of
fell 49%. Much of this improvement occurred by the supply versus an increment of conservation.
combined effects of improved technology (including
increased use of higher quality fuels in new
technologies, such as high-efficiency gas turbines) 2. DECADE OF CRISIS: 1970s
and perceptions of higher energy costs after the oil
shocks of the 1970s, when energy intensity began to Events of the late 1960s highlighted many of the
fall at an average rate of 2% per year. (Fig. 1). external costs of energy production and consump-
Although largely oblivious to long-term improve- tion. Many of the worsening problems of air and
ments in energy intensity, consumers undoubtedly felt water pollution were directly attributable to energy
the oil shocks, and came to equate energy conserva- use. The growth in the power of the Organization of
tion with waiting in long lines to purchase gasoline. the Petroleum Exporting Countries (OPEC) and
For many people, even to the present day, energy increasing tensions in the Middle East contributed
conservation connotes curtailment or denial of the to a growing wariness of import dependence. High
services energy provides, e.g., turning down the heat projected electric demand growth exacerbated wor-
on a cold winter’s day, turning off the lights, or ries not only about coal and the environment, but
driving lighter cars at slower speeds. This viewpoint also about the sheer amount of capital investment
came into sharp focus one night during the 1973 oil that was implied. Gas curtailments began to show up
embargo, when one author (Gibbons), director of the along with spot shortages of heating oil and gasoline.
newly established Federal Office of Energy Conserva- And, surprising to many in the energy field, there
tion, fielded a call from an irate Texan who were growing doubts about the nuclear option.
proclaimed that ‘‘America didn’t conserve its way
to greatness; it produced its way to greatness!’’
2.1 Rethinking Energy Demand
For purposes of this article, we accept and adapt
the term ‘‘wise and thoughtful use’’ for energy Those forces converged to trigger work on improved
conservation. This term implies that, when techni- and alternative energy sources as well as on the
cally feasible and economically sound, a society will dynamics and technologies of demand. Public sup-
use technology and/or adopt social policy to reduce port for analysis of conservation strategies came at
energy demand in providing energy services. It also first not from the ‘‘energy agencies’’ but from the
implies that society’s effort to bring energy supply National Science Foundation (NSF). In 1970, Oak
and energy demand into balance will take into full Ridge National Laboratory (ORNL) researchers
account the total costs involved. Market prices for (who were well-sensitized to the vexing problems
energy are generally less than its total social cost due of coal and fission) seized on the opportunity
to various production subsidies and nonmarket costs, provided by the NSF to investigate demand dynamics
or externalities, such as environmental impacts and and technologies. The owner/operator of ORNL, the
security requirements. This approach has been Atomic Energy Commission (AEC), was not keen on
labeled a ‘‘least-total cost’’ strategy for optimizing the idea but accepted the new direction for research
as ‘‘work for others’’!
It quickly became apparent that despite declining
25 energy prices in previous years, energy efficiency had
been slowly improving. Technology relevant to
20
1000 Btu per 1996$
2000
1974, California
authorizes energy efficiency standards
1800 1972, first
oil price shocks
1977, first California
1600 standards take effect
1400
1200 Average 1980 model had 1986, average UEC when first
kWh/year
19.6 cubic feet of capacity and U.S. standard is negotiated (1974 kWh)
used 1278 kWh per year
1000
Average 1961 model 1990, first U.S. standard
had approximately 12 takes effect (976 kWh)
800 cubic feet of capacity
and used 1015 kWh
per year In 1993, a typical model had
600 20.1 cubic feet of capacity, featured more
through-the-door services such as
ice and water, and used 48% less
400 energy than the 1980 models. The 1993 2001, second update
updated U.S. standard was 686 kWh of U.S. standard (476 kWh)
200
0
1960 1965 1970 1975 1980 1985 1990 1995 2000 2005
Year
FIGURE 2 Changes in energy demand of refrigerators in the United States since 1961. UEC, unit energy consumption
(kWh/year). From the Lawrence Berkeley National Laboratory.
The environmental concerns of the 1960s A Time to Choose: America’s Energy Future, a
prompted the first serious efforts to project future group of scenarios commissioned by the Ford
energy demand. Scenario analyses, prepared by many Foundation and published in 1974, became notable,
different authors throughout the 1970s, produced a and controversial, for its ‘‘zero energy growth’’
wide range of estimates, helping to shape a diverse (ZEG) scenario. This ZEG scenario clearly was
range of views on the importance of conservation. meant to show that energy growth could technically
Eleven forecasts of consumption made during the be decoupled from economic growth. ZEG called for
1970s turned out to be remarkably consistent but a leveling off in energy demand at about 100 quads
ludicrously high, even for 1985 (ranging from 88 to per year shortly after 1985. In addition to those
116 quads—the actual number was 75 quads). Prior economically feasible measures taken by 1985,
to the oil embargo of 1973, most projections of U.S. reduced demand would be effected by means of
energy consumption for the year 2000 fell in the energy consumption taxes and other constraints on
range of 130–175 quads. The actual number turned use. Taxes would increase the price of fuels so that
out to be about 100 quads. Some of the difference substitution of energy-saving capital investments
can be attributed to lower than anticipated economic could be made economical while simultaneously
growth, but the dominant difference is due to the encouraging shifts to less energy-intensive services.
unexpected role of conservation. A Time to Choose also included a ‘‘technical fix’’
Limits to Growth, published in 1972, was the scenario that estimated 1985 consumption at 91
first analysis to capture the public’s attention. This quads by coupling a microeconomic model with
computerized extrapolation of then-current con- analysis of the engineering potential for conservation
sumption trends described a disastrous disjunc- as a response to increased energy price and govern-
ture of the growth curves of population and food ment policies. In 1976, Amory Lovins published a far
supply and of resource use, including energy, and more controversial and attention-grabbing scenario
pollution. One scenario climaxed in a collapse called ‘‘Energy Strategy: The Road Not Taken’’ in the
mode, the sudden and drastic decline in the human journal Foreign Affairs. Lovins advocated a ‘‘soft
population as a consequence of famine and environ- energy path’’ based on three components: (1) greatly
mental poisoning. This apocryphal report correctly increased efficiency in the use of energy, (2)
made the point that exponential growth in finite rapid deployment of ‘‘soft’’ technologies (diverse,
systems is unsustainable, but its macroeco- decentralized, renewable energy sources), and (3) the
nomic model failed because it did not consider transitional use of fossil fuels. His assertion that the
responses to resource prices or advances in tech- ‘‘road less traveled’’ could bring America to greatly
nologies. reduced energy demand (less than 50 quads per
652 Conservation Measures for Energy, History of
year in 2025) is both venerated and despised to OPEC (dominated by Arab oil producers) retaliated
this day. with an oil embargo on the United States and a 70%
These private sector analyses competed with oil price increase on West European allies of the
scenarios developed or commissioned by government United States. Homeowners were asked to turn down
agencies for the attention of energy policy makers their thermostats and gas stations were requested to
throughout the 1970s. Guidelines for Growth of the limit sales to 10 gallons per customer. Illumination
Electric Power Industry, produced by the Federal and speed limits were lowered, and the traffic law
Power Commission (FPC) in 1970, was a classic allowing a right turn on a red light came into use.
study of energy demand based largely on an Gasoline lines, conspiracy theories, and recession
extrapolation of past trends. The FPC had credibility followed in rapid succession. As Adlai Stevenson once
because of its 1964 success in predicting 1970 observed, ‘‘Americans never seem to see the hand-
electricity demand, but its forecast of a doubling of writing on the wall until their backs are up against it.’’
energy demand from 1970 to 1990 was dramatically We perceived the wall behind our backs and
far from the mark. The Atomic Energy Commission responded accordingly—for a brief spell. American
made more accurate estimates in The Nation’s humor also surfaced. Some wonderful cartoons
Energy Future, published in 1973, but it mistakenly depicted innovative ways to save energy—for exam-
forecast U.S. independence from imported oil by ple, by sleeping with a chicken, which has a normal
1980—no doubt caused or at least influenced by body temperature of 1071F, and public interest high-
President Nixon, who was determined to achieve way signs appeared proclaiming ‘‘Don’t be fuelish!’’
energy independence before the end of his term. OPEC lifted the embargo in 1974, but political
In 1975, the U.S. National Academy of Sciences unrest in the Middle East again precipitated a major
established a Committee on Nuclear and Alternative oil price increase in 1979. When anti-Western Islamic
Energy Strategies (CONAES). The CONAES Panel fundamentalists gained control of Iran, oil produc-
on Demand and Conservation published a path- tion in that nation dropped off dramatically and U.S.
breaking paper in the journal Science in 1978: ‘‘U.S. crude oil prices tripled. These price increases also led
Energy Demand: Some Low Energy Futures.’’ The to skyrocketing inflation and recession, and re-
CONAES scenarios not only incorporated different kindled interest in energy efficiency.
assumptions for gross domestic product (GDP) and
population growth, but also, for the first time,
2.3 Policy Responses
incorporated varied assumptions about energy prices.
The lowest CONAES estimate, based on a 4% annual The need to curtail energy consumption in response
real price increase coupled with strong nonmarket to U.S. vulnerability to oil supply disruptions
conservation incentives and regulations, came in at dominated energy policy in the 1970s. In the summer
only 58 quads for 2010. The highest estimate, based of 1973, President Nixon, anticipating possible
on a 2% annual real price increase coupled with a shortages of heating oil in the coming winter, and
rapidly growing economy, came in at 136 quads for summer gasoline shortfalls, established the Office of
2010. This study clearly illustrated the importance in Energy Conservation to coordinate efforts to cut
scenario analysis of assumptions about everything energy consumption in federal agencies by about
from income, labor force, and the rate of household 5%, raise public attention to the need for increased
formation, to worker productivity, energy productiv- efficiency, encourage private industry to give greater
ity, energy price, income, and energy substitutability attention to saving energy, and devote more federal
in scenario analysis. It also highlighted the impor- research and development to efficiency. After the first
tance of capital stock turnover in energy futures, in oil shock, President Nixon urged voluntary rationing
that the largest technical opportunities for increased and pushed for a commitment to U.S. energy
efficiency derive from new stock, where state-of-the- independence by 1985. President Carter emphasized
art technology can be most effectively employed. The the importance of conservation in the effort to
CONAES project had a major influence on all of the achieve energy independence, but appeared to equate
energy modeling work that followed. conservation with wearing a sweater in a chilly
White House. Early actions by our political leaders
certainly contributed to a negative association of
2.2 Oil Shocks
conservation with sacrifice. But they also contributed
In October 1973, the United States helped Israel beat to an atmosphere conducive to serious public and
back the Yom Kippur invasion by Egypt and Syria. private sector actions to incorporate efficient end-use
Conservation Measures for Energy, History of 653
technologies in the U.S. economy. Congress enacted 5. Investment in both energy supply and utiliza-
legislation to create standards for Corporate Average tion research and development is an appropriate
Fuel Economy (CAFE) and building energy perfor- activity for both the public and private sectors,
mance. They also created a cabinet-level Department because costs and benefits accrue to both sectors.
of Energy (DOE) by merging the functions of 6. There are other, generally more productive,
preexisting agencies scattered throughout govern- ways (for example, assistance with insulation or
ment. In response to an analysis by the congressional lighting retrofits, fuel funds, or even refundable tax
Office of Technology Assessment, Congress explicitly credits) to assist underprivileged citizens with their
included energy conservation in the DOE’s new energy needs, rather than subsidizing energy’s price
mandate. to them.
7. In a world characterized by tightly integrated
economies, we need to increase our cognizance of
3. DECADE OF NO- AND world energy resource conditions and needs with
LOW-COST OPTIONS: 1980s special regard for international security as well as
concern for the special needs of poor nations.
The combination of the oil price shocks with By the mid-1980s, the national energy situation
increasing public concern about the environmental had begun to reflect some of these ideas. CAFE
consequences of energy use prompted policy makers standards reached their peak (27.5 miles per gallon)
to take a serious look at policy tools for decreasing in 1985. Congress created the Strategic Petroleum
energy demand growth during the 1980s. Faced with Reserve (SPR) to respond to energy supply emergen-
higher oil prices, industrial and commercial oil cies. Oil and gas price deregulation was virtually
consumers also sought out cost-effective investments complete, but that was only the first step in
in energy conservation during this decade. A plethora internalizing the costs of energy consumption.
of no- and low-cost options were ripe for the picking, Energy prices still did not reflect the manifold
and progressive industries did just that, with great environmental costs of production and use, the costs
success at the bottom line. of defending Middle East oil production and ship-
ping lanes, the costs of purchasing and storing oil to
3.1 Policy Tools meet emergencies, or the impacts of U.S. competition
for scarce oil resources on developing nations. As the
At the beginning of the 1980s, energy analysts price of imported oil decreased, U.S. policy makers
converged on a set of principles for a comprehensive were lulled into complacency about the nation’s
energy policy that had conservation at its core. These energy strategy. A dearth of energy research and
principles included the following ideas: development expenditures symbolized this declining
interest. Before the end of the decade, however,
1. Consider the production and use of energy as
means to certain ends, not as goals in and of Congress passed the National Appliance Energy
Conservation Act, which authorized higher appli-
themselves. Remember always that, given time and
ance efficiency standards and efficiency labeling that
the capital for adjustment, energy is a largely
have significantly impacted the market for energy-
substitutable input in the provision of most goods
efficient appliances.
and services.
2. Application of technical ingenuity and institu-
tional innovation can greatly facilitate energy options.
3. Energy decisions, like other investment deci-
3.2 Private Sector Activities
sions, should be made using clear signals of Immediately following the oil shocks, private sector
comparative total long-run costs, marginal costs, efforts to save energy focused on changing patterns
and cost trends. of energy use within the existing infrastructure, such
4. It is important to correct distorted or inade- as lowering thermostats. Most actions involved
quate market signals with policy instruments; other- investments in technology, however—either retrofits
wise, external costs can be ignored and resources can of existing technology, such as insulating existing
be squandered. This correction includes internalizing homes, or new investments in technology, such as
in energy price and/or regulation, to the extent energy-efficient new construction or autos with
possible, the national security, human health, and improved mileage. Later in the 1980s, energy
environmental costs attributable to energy. efficiency gains accrued as incidental benefits to
654 Conservation Measures for Energy, History of
other, much larger investments aimed at improving efficiency cut the nation’s annual energy bill by
competitiveness of U.S. products in world markets. $160 billion.
All in all, energy efficiency investments in the 2. Oil and gas price controls are counterproduc-
1970s and the 1980s turned out to be generally easier tive. Price increases of the 1970s and 1980s sparked
and much more cost-effective than finding new operating changes, technology improvements, and
sources of energy. Nongovernmental institutions other conservation actions throughout the United
helped to keep the conservation ball of progress States.
rolling, especially in the residential and commercial 3. Technological ingenuity can substitute for
sectors, with information to increase awareness of energy. A quiet revolution in technology transformed
cost-effective conservation opportunities, rebates, energy use. Numerous efficient products and
and prizes. In the first decade after the oil shocks, processes—appliances, lighting products, building
industry cut energy requirements per unit of output techniques, automobiles, motor drives, and manu-
by over 30%. Households cut energy use by 20% facturing techniques—were developed and commer-
and owners and operators of commercial buildings cialized by private companies. Energy productivity
cut energy use per square foot by more than 10%. rose as more efficient equipment and processes
Transportation energy efficiency steadily improved as were incorporated into buildings, vehicles, and
CAFE requirements slowly increased fleet average factory stock.
mileage. However, political maneuvering by car 4. Complementary policies work best. The most
companies resulted in excepting ‘‘light trucks,’’ effective policies and programs helped overcome
including sport utility vehicles (SUVs), from the barriers to greater investment in conservation—
mileage requirements for passenger cars. This has barriers such as the lack of awareness and low
resulted in a major slow down of improvement in priority among consumers; lack of investment
fleet performance. capital; reluctance among some manufacturers to
Some surprising partnerships formed to promote conduct research and to innovate; subsidies for
energy efficiency. For example, the Natural Re- energy production; and the problem of split
sources Defense Council designed a Golden Carrot incentives, exemplified by the building owner or
Award to encourage production of a superefficient landlord who does not pay the utility bills but
refrigerator. In response, 24 major utilities pooled does make decisions on insulation and appliance
their resources to create the $30 million prize. efficiency.
Whirlpool won the competition and collected its 5. The private sector is the primary vehicle for
winnings after manufacturing and selling at least delivering efficiency improvements, but government–
250,000 units that were at least 25% more efficient industry cooperation is essential.
than the 1993 efficiency standard required. By the
end of the 1980s, energy efficiency improvements Many activists advocated adoption of a new
lost momentum. One reason was the decline in oil national goal for energy intensity in order to regain
prices: corrected for inflation, the average price of momentum toward a secure energy future. The
gasoline in 1987 was half that in 1980. Natural gas United States achieved a 2.7% annual rate of
and electricity prices also fell, and the price-driven reduction in energy intensity between 1976 and
impetus for consumers and businesses to conserve 1986. The DOE was predicting, however, that U.S.
was diminished. energy intensity would decline at less than 1% per
year through the rest of the 20th century. This is the
rate of improvement now widely assumed as part of
3.3 Lessons from Experience ‘‘business as usual.’’ Recognizing that economic
By the end of the decade, conservation advocates structural change had also influenced this rapid
were urging policy makers to take several lessons improvement and that many of the least expensive
from the experiences of 1970 and 1980s: investments in efficiency had already been made, the
present authors and others, including the American
1. First and foremost, that energy conservation Council for an Energy Efficient Economy, none-
worked. Nothing contributed more to the improved theless recommended a goal of reducing the energy
American energy situation than energy efficiency. By intensity of the U.S. economy by at least 2.5% per
the late 1980s, the United States used little more year into the 21st century. For the United States, even
energy than in 1973, yet it produced 40% more with an apparently disinterested Administration, it is
goods and services. According to one estimate, now proposed that energy intensity over the next
Conservation Measures for Energy, History of 655
decade be improved by 18% (roughly the average capable of getting 80 miles per gallon. All three cars
yearly gain over the past two decades). employ some form of hybrid technology that
combines a gasoline- or diesel-powered engine with
an electric motor to increase fuel economy. The three
major automakers also confirmed their commitment
4. DECADE OF to move PNGV technology out of the lab and onto
GLOBALIZATION: 1990s the road by putting vehicles with significant im-
provements in fuel economy into volume production
The United States went to war for oil at the and into dealers’ showrooms. Work continues on
beginning of the 1990s. Oil prices initially spiraled technologies that might contribute to the full
upward, temporarily reinvigorating interest in con- achievement of goals for the 2004 prototype.
servation investments. That interest dwindled as In 1999, the President’s Committee of Advisors
quickly as prices fell. Still, after an inauspicious on Science and Technology (PCAST) issued recom-
beginning, during the economic boom of the late mendations for improving international cooperation
1990s, with major investments in new capital stocks, on energy conservation. Reflecting a growing na-
energy intensity dropped at an average rate of over tional consensus, they reported that efficient energy
2% per year. use helps satisfy basic human needs and powers
The role of carbon emissions in global climate economic development. The industrialized world
change began to dominate the debate over energy in depends on massive energy flows to power factories,
the 1990s. Although U.S. total energy consumption fuel transport, and heat, cool, and light homes, and
far outstripped any other country’s, consumption must grapple with the environmental and security
was projected to grow at much higher rates in the dilemmas these uses cause. These energy services are
developing countries, and U.S. policy makers shifted fundamental to a modern economy. In contrast,
their attention to U.S. participation in international many developing-country households are not yet
cooperation on energy innovation. In 1993, the U.S. heated or cooled. Some 2 billion people do not
government and the U.S. automobile industry forged yet have access to electric lighting or refrigeration.
an unprecedented alliance under the leadership of The Chinese enjoy less than one-tenth as much
President Clinton and Vice President Gore. The commercial energy per person as do Americans,
partnership included seven federal agencies, 19 and Indians use less than one-thirtieth as much.
federal laboratories, and more than 300 automotive Raising energy use of the world population to
suppliers and universities and the United States only half that of today’s average American would
Council for Automotive Research, the precompeti- nearly triple world energy demand. Such growth
tive research arm of Ford, DaimlerChrysler, and in per capita energy use coupled with an increase
General Motors. The Partnership for a New Gen- by over 50% in world population over the next
eration of Vehicles (PNGV) supported research and half-century and no improvement in energy effi-
development of technologies to achieve the pro- ciency would together increase global energy use
gram’s three research goals: (1) to significantly more than four times. Using conventional technol-
improve international competitiveness in automotive ogies, energy use of this magnitude would generate
manufacturing by upgrading manufacturing technol- almost unimaginable demands on energy resources,
ogy; (2) to apply commercially viable innovations capital, and environmental resources—air, water,
resulting from ongoing research to conventional and land.
vehicles, especially technologies that improve fuel Energy-efficient technologies can cost-effectively
efficiency and reduce emissions; and (3) to develop moderate those energy supply demands. For exam-
advanced technologies for midsized vehicles that ple, investments in currently available technologies
deliver up to triple the fuel efficiency of today’s cars for efficient electric power use could reduce initial
(equivalent to 80 miles per gallon), without sacrifi- capital costs by 10%, life-cycle costs by 24%, and
cing affordability, performance, or safety. The electricity use by nearly 50%, compared to the
research plan and the program’s progress were current mix of technologies in use. Modest invest-
peer-reviewed annually by the National Research ments in efficient end-use technologies lead to larger
Council. PNGV made extraordinary progress toward reductions in the need for capital-intensive electricity
achieving its aggressive technical goals. In March generation plants. Conversely, when unnecessary
2000, PNGV unveiled three concept cars demon- power plants and mines are built, less money is
strating the technical feasibility of creating cars available for factories, schools, and health care.
656 Conservation Measures for Energy, History of
Consumption (Mtce)
1.5
that energy needs be satisfied effectively. Incorporat-
ing energy efficiency measures as economies develop 2000
Intensity 1
can help hold energy demand growth to manageable
levels, while reducing total costs, dependence on 1000 Actual consumption
0.5
foreign sources of energy, and impacts on the
environment. Ironically, energy is most often wasted 0
0
where it is most precious. Developing and transition 1965 1975 1985 1995
economies, such as in China, the world’s second
largest energy consumer, use much more energy to FIGURE 3 Energy intensity and consumption in China. Mtce,
produce a ton of industrial material compared to Million tons of coal equivalent. From Advanced International
Studies Unit, Battelle Pacific Northwest National Laboratory.
modern market economies. Developing-nation inef-
ficiency reflects both market distortions and under-
development. Decades of energy subsidies and 140
Transportation
market distortions in developing and transition Industrial 119.8
120 Commercial
economies have exacerbated energy waste. Energy Residential 110.5
106.5
110.3
99.5 97.0
efficiency requires a technically sophisticated society. 100 94.0
84.2
Every society in the world, including the United
80
Quads
States, has at one time encouraged energy inefficiency
by controlling energy prices, erecting utility mono- 60
polies, subsidizing loans for power plant develop-
40
ment, and ignoring environmental pollution. Many
nations, including the United States, continue these 20
wasteful practices. These subsidies and market
0
distortions can seriously delay technological ad-
v
90
U
97
od
od
Ad
Ad
vances, even by decades, compared to best practice. BA
BA
19
19
M
10
20
10
20
10
20
The worldwide shift to more open, competitive
20
20
20
20
20
20
markets may reduce some of the distortions on the
FIGURE 4 Primary energy consumption by sector. BAU,
supply side, but will do little to change the inherent Business-as-usual model, compared to moderate (Mod) and
market barriers on the demand side. advanced (Adv) conservation models. From Interlaboratory Work-
China, India, Brazil, Russia, and other developing ing Group (2000).
and transition economies are building homes and
factories with outdated technology, which will be
used for many decades. In cold northern China and growth; indeed, by employing cost-effective energy-
Western Siberia, for example, apartments are built efficient technologies, funds are freed for investment
with low thermal integrity and leaky windows and in other critical development needs. Energy efficiency
are equipped with appliances half as efficient as those can thus be a significant contributor to social and
available in the United States. Developing nations economic development.
thus tend to build in excessive energy costs, lock out
environmental protection, and diminish their own
development potential. There are important excep- 5. DECADES AHEAD
tions. Progress can be both rapid and significant.
Over recent decades, China has, through energy- Energy projections indicate differences in U.S. energy
sector reform and pursuit of least-cost paths via demand in 2020 between the high and low scenarios
energy efficiency opportunities, made unprecedented of approximately 25 quads (Fig. 4). The difference
progress in energy intensity reduction, faster than between these scenarios is substantially due to
any developing nation in history. China has held differing assumptions about development and de-
energy demand growth to half of its rate of overall ployment of energy-efficient technologies. The differ-
economic growth over the past two decades (Fig. 3). ences also reflect the plausible range of key
This example demonstrates that economic develop- consumption-driving factors that, operating over 20
ment can proceed while restraining energy demand years, can have a profound influence. These factors
Conservation Measures for Energy, History of 657
include economic growth rate and the (rising) advocated energy conservation as a moral impera-
urgency to cut emissions of greenhouse gases in tive, but delivering his speech while wearing a
order to slow global climate change. sweater and sitting by an open fire connoted sacrifice
and denial of comfort. Worse yet, President Reagan
referred to conservation as being hot in summer and
5.1 Cultural Barriers to Conservation
cold in winter! In the short run, curtailment is about
Sadly, there remains a persistent struggle between all anyone can do, but if we stop there, we lose by far
advocates of energy supply and conservation advo- the most impressive opportunities. After the shocks
cates. On the supply side, the energy industry is of the 1970s subsided, attention shifted to the more
massive and concentrated, wielding great political substantial but also more challenging task of captur-
influence (e.g., obtaining tax subsidies, allowing ing longer term opportunities.
unhealthy levels of environmental emissions). On 2. Time lags. The largest opportunities for energy
the conservation side, the relevant industry is conservation derive from incorporating more effi-
diffusely spread over the entire economy, and energy cient technologies into new capital investments (e.g.,
efficiency is seldom the primary concern. Further- cars, buildings, appliances, and industrial plants).
more, decisions regarding the energy efficiency of These logically accrue at a rate that reflects
appliances (e.g., heating, ventilation and air-condi- depreciation of existing capital stock, ranging from
tioning systems and refrigerators) are frequently years to many decades. Just as for the case of major
made (e.g., by developers, not consumers) on the transitions in energy systems, the major opportu-
basis of minimum first cost rather than life-cycle cost, nities for conservation inherently require decades to
thus generally favoring lower efficiency. be fully achieved.
Two streams of progress over the past 50 years 3. Discount rates. With a few exceptions, capital
have combined to accentuate the attention given to purchase decisions tend to favor minimum first cost,
energy conservation. First, steady and ubiquitous rather than minimum life-cycle cost. Generally, the
advances in technology (such as computers and minimum first-cost model corresponds to the least
various special materials) have enabled remarkable energy-efficient model. Thus the ‘‘least-cost’’ solution
improvements (lower cost, higher efficiency) in is typically not taken by most consumers and this
productivity, including energy. Second, there has slows the rate at which efficiency is gained.
been a growing awareness of major direct and
indirect externalities associated with energy produc-
5.2 Remaining Potential for Conservation
tion and conversion. Although such externalities
of Energy Resources
(e.g., health, ecological stress, climate change, and
air and water pollution) are now widely recognized, Liquid fuels, so attractive because they can be stored
they still are not generally incorporated into national and transported with relative ease, loom as a global
economic accounts. Instead, various standards, challenge because the main supply (petroleum) is
regulations, and policies have been developed or very unevenly distributed geographically and is often
proposed to reflect the external costs by acting as a concentrated in insecure locations. Technologies for
‘‘shadow price,’’ in order to level the playing field of petroleum conservation are steadily improving, from
price signals. elegant, new methods of exploration and production
Despite its profound impacts, the conservation to highly efficient combustion in motors and
revolution has resulted in only a fraction of its turbines. Thus the petroleum resource base, although
ultimate potential. Here are some of the reasons: headed for depletion in this century, can be stretched
(conserved) by a variety of technologies. Advances in
1. Lack of leadership. Whereas an energy con- high-temperature and low-corrosion materials now
sumer can make short-term adjustments to save enable a variety of combustion turbines that can be
energy (driving slower, driving fewer miles and employed to generate electricity with 60% or better
traveling less, adjusting the thermostat, or turning thermodynamic efficiency—double the best-practice
off lights), these mostly have the unpopular effect several decades ago.
(other than saving money) of curtailing the very Probably the greatest challenge for liquid fuel
energy services that we seek. Sadly, such heroic short- conservation for the future is in the transportation
term curtailment measures are too often posed as the sector. Technology, the auto industry, public policies,
essence of conservation rather than emergency and consumer preference all play important roles.
measures. On national television, President Carter The industry is most profitable in making large,
658 Conservation Measures for Energy, History of
heavy and powerful cars and SUVs; consumers in the hand, fuel cells give an opportunity to bypass
United States presently have a love affair with the Carnot. Success in this area could effectively enable
image of power, ruggedness, and convenience with a doubling of the useful work out of a unit of energy
little regard for efficiency. And the record shows that compared to an internal combustion engine, and
U.S. public policy is to keep fuel price below total with basically no environmental emissions. Success
cost. Advances in automotive efficiency such as beckons but will require many technical advances in
hybrid-electric/advanced diesel and fuel cells could special materials and also in providing an acceptable
help alleviate the situation. For example, over the primary energy source—probably hydrogen—all at a
past decade, work on streamlining, electrical power much lower production cost than now. The artifi-
control systems, high-compression/direct-injection cially low current price of gasoline constitutes a
engines, electric drive trains, etc. has resulted in the serious barrier to market entry of the new technol-
recent market entry of hybrid cars that are very ogies.
popular and have about 50% better mileage; in Human ingenuity in the form of technological
addition, rapid advances in fuel cell technology innovation will continue to provide new options to
promise within a decade or so more conservation society. Energy conservation, which derives from
as well as lower environmental emissions. However, sophisticated and elegant technologies, has every
there seems to be little reason to hope for major gains chance to continue paying big dividends to techno-
in efficiency without major increases in fuel price or logically capable societies. Conservation enables
its equivalent shadow price (performance regulation humanity to receive more ‘‘goods’’ along with fewer
such as CAFE). ‘‘bads.’’ But most things have limits. Ultimately, we
Electricity generation is getting very efficient and must recognize the folly of trying to follow an
the technologies that use electricity are also advan- exponential path of population growth and resource
cing. The world is still electrifying at a rapid pace. consumption in its present form. We must equip
Electricity can now be generated from diverse energy ourselves with new tools, including conservation,
sources and with diverse sizes of generators. Source and move with dispatch on a journey toward
diversity means inherent resilience of the system and sustainability in the 21st century. There is little time
capability for disaggregated generation means that to spare.
‘‘waste heat’’ from generators can be more readily
utilized (cogeneration). Electricity is such a high-
quality and versatile energy form that it is likely it
SEE ALSO THE
will continue to increase in market share. Thus
further advances in the efficiency of conversion and FOLLOWING ARTICLES
use of electricity should find ready markets.
Alternative Transportation Fuels: Contemporary
The historic succession of energy sources over the
Case Studies Economics of Energy Efficiency
past 150 years has led to progressively higher
Energy Efficiency, Taxonomic Overview Internal
hydrogen-to-carbon (H/C) ratios for the fuels (e.g.,
Combustion Engine Vehicles International Com-
coal, followed by oil, followed by natural gas). Global
parisons of Energy End Use: Benefits and Risks
climate protection argues that we need to move with
Obstacles to Energy Efficiency Oil Crises, Histor-
dispatch toward even higher H/C ratios in the coming
decades. This implies a combination of removal ical Perspective OPEC Market Behavior: 1973–
2003 Passenger Demand for Travel and Energy Use
(sequestering) of carbon from combustion releases,
Transportation and Energy, Overview
increased carbon recycle (e.g., renewable fuels from
biomass), direct use of solar energy, and increased use
of nuclear energy. Under this scenario, hydrogen Further Reading
becomes the most likely candidate for the derived
Chandler, W. (2000). ‘‘Energy and Environment in the Transition
fuel. This underscores the promise of high-efficiency Economies.’’ Westview Press, Boulder and Oxford.
fuel cells for energy conversion to electricity. Chandler, W., Geller, H., and Ledbetter, M. (1988). ‘‘Energy
The amount of conservation achieved through Efficiency: A New Agenda.’’ GW Press, Springfield, Virginia.
advancing technology has been outstanding over the Demand and Conservation Panel of the Committee on Nuclear
past half-century. Many more gains are possible, but and Alternative Energy Systems. (1978). U.S. Energy Demand:
Some Low Energy Futures(14 April 1978). Science 200,
we can also discern limits dictated by limits imposed 142–152.
by natural law. Carnot’s thermodynamic rule for Gibbons, J. (1997). ‘‘This Gifted Age: Science and Technology at
efficiency of heat engines is one limit. On the other the Millennium.’’ AIP Press, Woodbury, New York.
Conservation Measures for Energy, History of 659
Gibbons, J., and Chandler, W. (1981). ‘‘Energy: The Conservation President’s Committee of Advisors on Science and Technology.
Revolution.’’ Plenum Press, New York and London. (1999). ‘‘Powerful Partnerships: The Federal Role in Interna-
Gibbons, J., Blair, P., and Gwin, H. (1989). Strategies for energy tional Cooperation on Energy Innovation.’’ Office of Science
use. Sci. Am. 261, 136–143. and Technology Policy, Washington, D.C.
Interlaboratory Working Group. (2000). ‘‘Scenarios for a Clean Sant, R. (1979). ‘‘The Least-Cost Energy Strategy: Minimizing
Energy Future.’’ Oak Ridge National Laboratory and Lawrence Consumer Costs through Competition.’’ Carnegie-Mellon Uni-
National Laboratory, Oak Ridge, Tennessee, and Berkeley, versity Press, Pittsburgh, Pennsylvania.
California. U.S. Congress, Office of Technology Assessment. (2004). ‘‘OTA
President’s Committee of Advisors on Science and Technology. Legacy’’ (includes reports on Conservation). U.S. Govt. Printing
(1997). ‘‘Federal Energy Research and Development for the Office, Washington, D.C. See also http://www.wws.princeton.
Challenges of the 21st Century.’’ Office of Science and edu/ota/.
Technology Policy, Washington, D.C.
Conservation of Energy Concept,
History of
ELIZABETH GARBER
State University of New York at Stony Brook
Stony Brook, New York, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 661
662 Conservation of Energy Concept, History of
particle was its size multiplied by the square of its He also did some elegant experiments in which
velocity. Although Descartes modeled his philoso- hollow metal balls were filled with clay to investigate
phical method on geometry, very little mathematics collisions of ‘‘soft’’ bodies. The results only fueled
was contained within it. It was left to later debates about the conditions over which measure of
generations to put his philosophy of nature into force was appropriate, mv or 12mv2 :
mathematical form. s’Gravesande began his experiment to prove
One of the most successful was Isaac Newton, Newton’s theories were correct, but the experiments
who began as a follower of Descartes and ended as seemed to Cartesians to support their point of view.
his scientific and philosophical rival. In his explora- Despite this evidence, s’Gravesande remained a
tions of Descartes’s system, Newton became dissa- Newtonian; for him, 12mv2 remained a number of
tisfied with Cartesian explanations of cohesion and no physical significance. Mathematicians in these
other phenomena. He eventually accepted the reality debates over force included Madame de Chatelet,
of the concept of ‘‘force,’’ banned by Descartes as who published a French translation of Newton’s
‘‘occult,’’ as acting on micro and macro levels. Principia just 2 years after she had published
Newton’s universe was as empty as Descartes’s was Institutiones to spread Leibniz’s ideas among French
full, and God was necessary to keep His vast creation mathematicians. The subject of vis viva became a
going. In such a universe, conservation laws and part of ongoing debates in the salons and Paris
collisions were not of central importance. Yet New- Academie des Sciences over Newtonian or Cartesian
ton introduced a measure of force, momentum, that natural philosophy and the accompanying politics of
became part of the debates on conservation laws in each of those institutions.
mechanics. Nothing was resolved, and mathematicians even-
One of the first entries in this debate was that of tually moved on to other problems. They were
the Cartesian Christian Huyghens, who examined inclined to use whatever physical principles seemed
circular motion and the collisions of perfectly ‘‘hard’’ the most appropriate in their quest to develop the
(perfectly elastic) bodies. He demonstrated that in calculus using mechanical problems of increasing
such collisions, the sum of the magnitude of the sophistication. Mechanics, or problems within it,
bodies multiplied by the square of the velocity was a became the instrument to display mathematical
constant. However, for Huyghens, this expression expertise and brilliance rather than explorations into
was mathematically significant but not physically physical problems. A perfect illustration of this is the
significant. work of Jean Louis Lagrange. By considering a four-
This pattern was repeated as 18th century con- dimensional space and using calculus, Lagrange
tinental mathematicians debated the measure of reduced solid and fluid dynamics to algebra. He
force and the quantities conserved in collisions. began with the fundamental axiom of virtual velocity
Gottfried Leibniz argued that Descartes’s measure for mass particles,
of force was insufficient. According to Leibniz, a
body dropped a certain distance acquired just enough X d~
v X
m . d~
r¼ ~
F . d~
r;
force to return to its original position, and this was a dt
truer measure of force. Descartes had confused
motive force with quantity of motion. Force should where m is mass, v is velocity, d~ r is virtual
be measured by the effect it can produce, not by the displacement, and ~
F is the applied force acting on a
velocity that a body can impress on another. In particle. Lagrange then introduced generalized co-
perfectly hard body collisions ‘‘vis viva,’’ living force ordinates, q1yqn, and generated the equations,
ð12 mv2 Þ was conserved. Central to subsequent
debates were the experimental results of Giovanni
@T d @T @F
Poleni and Wilhelm s’Gravesande, who measured the ¼ 0;
depths of the indentations left by metal balls dropped @qi dt @ q’ i @qi
at different speeds into clay targets. If balls of
different masses but the same size were dropped, the where T is the vis viva and F is a function. Thus, he
indentations remained the same. Lighter balls left the succeeded in making rational mechanics as abstract,
same indentations if they were dropped from heights general, and algebraic as possible. No diagrams,
proportional to 1/masses. s’Gravesande’s experi- geometry, or mechanical reasoning graced the pages
ments also showed that the force of a body in of his text. It consisted ‘‘only of algebraic opera-
motion was proportional to v2, that is, to its vis viva. tions.’’
Conservation of Energy Concept, History of 663
2. CALORIC THEORY AND the maximum motive power, and in principle, this
HEAT ENGINES could be applied to any heat engine.
Sadi Carnot used the same approach as his father
and other French engineers in analyzing machines by
During the 18th century, French engineers developed looking at infinitesimal changes. In this case, the
entirely different, yet mathematical, approaches to temperatures of the heat source and sink differed
mechanics. Mathematicians had used problems on only slightly from that of the working substance.
the construction of bridges, the construction of Carnot examined the changes in temperature and
pillars, and the design of ships to explore the pressure of the working substance in a complete cycle
calculus. The education of French engineers began of the engine, again a familiar approach in French
to include some calculus to solve engineering engineering. Initially, the body is in contact with the
problems, especially in those schools of engineering heat source, and its piston rises and its volume
within branches of the military. Here they developed expands at a constant temperature. It is then
an independent approach to the understanding of removed from this source, and the expansion
structures and the operations of machines. continues without any heat input and the tempera-
Out of this tradition emerged Lazare Carnot, ture of the working substance decreases to that of the
whose 1783 treatise on the efficiency of machines heat sink. Placed in contact with the cooler body, the
also began with the principle of virtual velocities. gas is compressed at constant temperature and then
From this, he developed a relationship among the is removed and further compressed until the cycle is
moment of activity, force multiplied by distance closed and the working substance attains the
(work), and vis viva. He concluded that to get the temperature of the heat source. The Carnot cycle is
maximum ‘‘effect’’ from the cycles of a machine, it then complete. However, Carnot’s analysis of its
was necessary to avoid inelastic impact in the operation was in terms of caloric theory. In the first
working of its parts. During the 1820s, his son Sadi operation, the caloric is removed from the heat
turned the same analytical approach toward the new source to the working substance, and motive power
‘‘machine’’ that was revolutionizing the economy of is produced as the caloric attains the temperature of
Great Britain, the steam engine. As Carnot noted, the heat sink. Equilibrium is restored as the caloric
removing this source of power would ‘‘ruin her again reaches the temperature of the heat source.
prosperity’’ and ‘‘annihilate that colossal power.’’ By Using the incomplete image of a waterfall used to
this time, steam engines had been used in Britain for drive machinery, the caloric is conserved. It has fallen
more than a century as pumps for mines. More from one temperature to a lower one, and in this fall
recently, through the development by James Watt of we can extract motive power just as we do from the
the separable condenser and a governor, the steam gravitational fall of water.
engine became a new driving force for machinery. By The caloric theory of heat was accepted across
the 1830s, the use of steam power and associated Europe by the latter part of the 18th century.
machinery was integrated into American and British Experimental research into heat occupied many
cultures as a measure of the ‘‘civilized’’ states of chemists across Europe and had an important place
societies. in the development of the reformed chemistry of
Carnot wanted to establish the conditions under Antoine Lavoisier. ‘‘Airs’’ (gases) were also the object
which maximum work could be produced by a heat of avid research throughout Europe by many
engine. He stripped the heat engine down to its chemists from before the flight of the Montgolfier
essential elements and operations. Through a series brothers in 1784 through the first third of the 19th
of examples, he demonstrated that successive expan- century. Caloric theory drew these two strands of
sions and contractions from heating and cooling— research together. During the 1780s, Lavoisier had
not heat alone—produced the motive power. Steam measured the specific heats of a number of sub-
was not unique; any substance that expanded and stances with Pierre Simon de Laplace. These experi-
contracted could be a source of power. Gases ments were aspects of Lavoisier’s research on airs
generally afforded the most expansion and contrac- and heat. In another series of such experiments,
tion on heating and cooling. Carnot thought of Lavoisier studied digestion and animal heat. Using an
heating and then cooling as the ‘‘reestablishment of ice calorimeter, he demonstrated that respiration was
equilibrium’’ in caloric and the substance of heat as a slow form of combustion and predicted heat
the source of motive power. Therefore, he began to outputs that agreed with his experimental results.
search for the general conditions that would produce Both Lavoisier and Laplace believed that heat was a
664 Conservation of Energy Concept, History of
material substance that manifested itself in two remained valid even as their physical explanation
forms: free caloric (detected by thermometers) and changed during the 1850s.
latent caloric. Laplace and Simon Poisson developed The works of both Carnot and Clapyeron sank
caloric theory mathematically by assuming that the into oblivion. Carnot died young and tragically in an
caloric, Q, in a gas was a function Q ¼ f(P, r, T), asylum, but his oblivion was partially political. His
where P is the pressure, T is the temperature, and r is father, Lazare, had enthusiastically embraced the
the density of the gas. Manipulating the partial French Revolution, was important in its early wars,
differential equations in a theory of adiabatic and rose to prominence in Napoleon’s regime. He
compression, this general equation led to relation- remained loyal to Napoleon until the end and died in
ships in accord with known experimental results exile. The Carnot name (except that of his brother, a
such as the ratio of the specific heats of gases. Caloric prominent politician), was politically tainted even
was connected to the notion of work through into the 1830s. And however useful caloric might be
Laplace’s theory. Free heat was vis viva, combined for engineers, among scientists the caloric theory
(latent) heat was the loss of vis viva, and heat held less interest during this decade. They extended
released was an increase in vis viva. Caloric theory the wave theory of light to heat, and through it they
was sophisticated and was taught at the Ecole explained other scientifically pressing problems such
Polytechnique when Sadi Carnot was a student, as the conduction and radiation of heat.
although toward the end of his short life he rejected it So deep was Carnot’s oblivion that in 1845
to explore the idea that heat was the motion of William Thomson, a young ambitious Scottish
particles. academic, could find no copies of his treatise in
Carnot used the latest experimental results on the Paris. Thomson had recently graduated Second
properties of gases to demonstrate his contentions Wrangler and first Smith’s Prizeman from Cambridge
and then discussed the limitations of heat engine University and was actively seeking the empty chair
design at the time. He concluded that because of in natural philosophy at Glasgow University. The
gases’ great expansion and contraction with heating Glasgow that Thomson grew up in was Presbyterian
and cooling, and because of the need for large and was the center of heavy industry (especially
differences in temperature to gain the most motive shipbuilding) and chemical engineering in Great
power, gases were the only feasible working sub- Britain. Although his father was a distinguished
stances for heat engines. He used current research on professor of mathematics at Glasgow, the younger
gases to demonstrate that any gas might be used. Thomson needed the support of the rest of the
Although Carnot’s small treatise, Reflections on faculty and of the town representatives to ensure his
the Motive Power of Heat, received a good review election. He had to cultivate the image of the
from the Revue Encyclopedique, only one engineer- practical experimenter rather than flaunt his math-
ing professor at the Ecole Polytechnique developed ematical abilities, hence Thomson’s sojourn at the
Carnot’s ideas. Emile Clapyeron gave geometrical laboratory of Henri Victor Regnault, well known for
and analytical expression to Carnot’s analysis, his empirical studies of steam engines. These were
creating the first pressure–volume (PV) diagram of the circumstances that led Thomson to search out
a Carnot cycle. In his analysis, this cycle was reduced Carnot’s work. Undaunted, Thomson made full use
to an infinitesimally small parallelogram for the case of Clapyeron’s publications in a series of papers
pursued by Carnot. Again using the results from (published in 1847 and 1850) extending Clapyeron’s
work on the properties of gases, Clapyeron obtained analysis. In his first paper he postulated an absolute
an expression for the ‘‘maximum quantity of action’’ zero of temperature implied by Clapyeron’s analysis
developed in a cycle from the area within the and put forward the notion of an absolute scale of
parallelogram of the heat cycle for a perfect gas heat temperature. Both emerged from the mathematical
engine. Again, the analytical expressions were in forms independent of their physical interpretation.
terms of general expressions for heat, Q ¼ Q(P, V, T), Thomson’s brother, James, noted that one of the
P ¼ P(V, T), and V ¼ V(P, T). In the concluding results of Clapyeron’s work was that the freezing
paragraphs of his memoir, Clapyeron described the point of water decreased with an increase in pressure.
mechanical work available from his heat engine in William Thomson confirmed this through experi-
terms of the vis viva the caloric developed in its ments done at Glasgow. The position of caloric
passage from the boiler to the condenser of the theory seemed to be becoming firmer once again.
engine. Many of his expressions were independent of However, in the middle of this theoretical and
any particular theory of the nature of heat and experimental triumph, Thomson went to the 1847
Conservation of Energy Concept, History of 665
annual meeting of the British Association for the 1850 did Thomson concede that heat was conver-
Advancement of Science (BAAS), where he heard a tible into work after he read Rudoph Julius
paper given by James Joule on experiments whose Emmanuel Clausius’s papers and those of William
results contradicted caloric theory. McQuorne Rankine on heat. He then reinterpreted
some parts of his caloric papers that depended on
heat as a substance in terms of the interconversion of
heat and work. Also, he rederived and reinterpreted
3. EQUIVALENCE OF HEAT his expression for the maximum amount of work
AND WORK that could be extracted from the cycle of a perfect
heat engine and other results and then gave his
Joule was the son of a very successful brewer in version of the second law of thermodynamics.
Manchester, England. He was educated privately and
with ambitions to spend his life in science. His first
papers dealt with ‘‘electromagnetic engines,’’ and in 4. CONSERVATION OF ENERGY
the course of his experiments he focused on what we
now call Joulean heating in wires carrying electric Others had come to conclusions similar to those of
currents. This drew attention to the production of Joule before Thomson. One of the most notable was
heat in both physical and chemical processes. From Hermann von Helmholtz. Trained as a physician
his experiments and a developing theory, he con- while studying as much mathematics and physics as
cluded that an electric generator enables one to possible, his doctoral dissertation was a thorough
convert mechanical power into heat through the microscopic study of the nervous systems of inverte-
electric currents induced into it. Joule also implied brates. His mentor was Hermann Mueller, who
that an electromagnetic ‘‘engine’’ producing mechan- (along with Helmholtz’s fellow students) was deter-
ical power would also convert heat into mechanical mined to erase vitalism from physiology. Their goal
power. By 1843, he presented his first paper to the was to make physiology an exact experimental
British Association for the Advancement of Science science and to base its explanatory structures in
(BAAS) on the ‘‘mechanical value of heat.’’ Joule physics and chemistry. Helmholtz managed to con-
believed that only the Creator could destroy or create tinue his physiological research while a physician in
and that the great agents of nature, such as the Prussian army, where he was dependent on his
electricity, magnetism, and heat, were indestructible army postings and his early research on fermentation
yet transformable into each other. As his experiments and putrefaction was cut short by the lack of
progressed, he elaborated his mechanical theory of facilities. He turned to a study of animal heat and
nature. Important to observers, and to Thomson, the heat generated by muscular action and found that
was Joule’s idea that mechanical work and electricity during contraction chemical changes occurred in
could be converted into heat and that the ratio working muscles that also generated heat. In the
between mechanical work and heat could be midst of this research, Helmholtz published ‘‘On the
measured. In a series of papers on the mechanical Conservation of Force.’’ This paper displayed the
equivalent of heat presented annually to BAAS and extent of his mechanical vision of life and his
politely received, Joule labored alone until the stark commitment to a Kantian foundation for his physics.
reactions of Thomson in 1847. Some scientists could Central forces bound together the mass points of his
not believe Joule’s contentions because they were theory of matter. These commitments resurfaced
based on such small temperature changes. Presum- during the 1880s with his work on the principle of
ably, their thermometers were not that accurate. least action.
However, Thomson understood that Joule was With considerable pressure brought to bear on the
challenging caloric theory head on. Until 1850, ministry of education and the Prussian military,
Thomson continued publishing papers within a Helmholtz was released from his army obligations
caloric framework and an account of Carnot’s and entered German academic life. He never
theory. He had finally located a copy of the treatise. practiced medicine again, yet his research over the
Clearly, he began to doubt its validity, noting that subsequent two decades began with questions in
more work on the experimental foundations of the physiology that expanded into studies on sound,
theory were ‘‘urgent,’’ especially claims that heat was hearing, and vision. His work on nerve impulses in
a substance. It took Joule 3 years to convince 1848 developed into a study of electrical pulses and
Thomson of the correctness of his insight. Only in then into a study of the problem of induction before
666 Conservation of Energy Concept, History of
growing into a critical overview of the state of the experimental results across the sciences to illustrate
theory of electricity during the 1870s. the plausibility of his contentions.
The closeness of Helmholtz’s work in physics and Helmholtz had difficulty in getting these specula-
physiology is evident in his paper on the conserva- tions into print. They eventually appeared as a
tion of force. He had actually stated the principle pamphlet. The thrust of the speculations went against
earlier (in 1845) in a paper reviewing the work of prevailing standards in the emerging field of physics.
Humphry Davy and Antoine Lavoisier on animal German physicists had rejected grand speculative
heat. He concluded that if one accepts the ‘‘motion visions of nature and its operations for precision
theory of heat,’’ mechanical, electrical, and chemical work in the laboratory, from which they assumed
forces not only were equivalent but also could be theoretical images would emerge. The model of this
transformed one into each other. This assumption new approach was Wilhelm Weber. In Weber’s case,
bound together results already known from chem- precise, painstaking numerical results, analyzed in
istry, electricity, and electromagnetism. The struc- detail for possible sources of error, led to a center-of-
ture of this review formed the outline of Helmholtz’s force model that explained the range of electrical
1847 paper. He added a theory of matter that he phenomena he had researched experimentally. Neu-
believed demonstrated the universality of the prin- mann was known for his careful experiments on
ciple of conservation. Helmholtz began in metaphy- crystals and their optical properties. Helmholtz
sical principles from which he extracted specific presented his mechanical model before his analysis
physical results. In his model, force was either of the experimental work of others that ranged across
attractive or repulsive. Change in a closed system disciplinary boundaries. This approach also dissolved
was measured by changes in vis viva expressed as the recently hard-won academic and specialist desig-
changes in the ‘‘intensity of the force,’’ that is, the nation of physics in German academia.
potential of the forces Rthat acted between the Helmholtz was not the only German claimant to
R
particles, 12mv21 12mv22 ¼ r jdr; where m is the the ‘‘discovery’’ of the principle of conservation of
mass of the particle, whose velocity changes from v1 energy. After his graduation in 1840, Julius Robert
to v2, and f is the intensity of the force, whose Mayer, a physician, became a doctor on a ship bound
measure is constructed by looking at changes in v2. for the East Indies. Mayer noted the deeper color of
Because both velocities and forces were functions of venous blood in the tropics compared with that in
the coordinates, Helmholtz expressed these last Northern Europe. He interpreted this as more oxygen
changes as 12 mdðv2 Þ ¼ Xdx þ Ydy þ Zdz; where in the blood, with the body using less oxygen in the
X ¼ ðx=rÞf: He demonstrated that for central forces, tropics because it required less heat. He speculated
vis viva was conserved and, thus, so was the that muscular force, heat, and the chemical oxidation
intensity of the force. He then expanded the of food in the body were interconvertible forces. They
argument to a closed system of such forces. The were not permanent but were transformable into each
unifying concept in the paper was ‘‘tensional force’’ other. On his return, Mayer learned physics to
and its intensity f. This allowed Helmholtz to demonstrate the truth of this conviction and then
extend his argument to electricity to obtain the set about to calculate the mechanical value of a unit
‘‘force equivalent’’ of electrical processes. In this of heat. To do this, he looked at the works on the
case, the change in vis viva of two charges
R 2 1 moving thermal properties of gases and took the difference
2
from
RR distance r to R apart was 1 2mdðv Þ ¼ between the two principal specific heats as the
r jdr; where he identified f with Gauss’s amount of heat required to expand the gas against
potential function, to which Helmholtz gave physi- atmospheric pressure. This heat was transformed into
cal meaning. However, he did not give this entity a work, and from this he computed the conversion
new name. He was reinterpreting physically a well- factor between heat and work. Further memoirs
known approach used when mathematizing a followed, extending his use of available experimental
physical problem. Unlike mathematicians, Helm- results from the chemistry and physics of gases.
holtz drew important physical conclusions from his Mayer even included the solar system. He argued that
equations, including the Joulean heating effect. He meteorites falling under gravity built up enormous
also included Franz Neumann’s work on electrical amounts of mechanical force that yielded consider-
induction in his conceptual net. Helmholtz used able amounts of heat on impact. This could account
examples from chemistry and electricity to argue for the sun’s seemingly inexhaustible supply of heat.
that heat was a measure of the vis viva of thermal Mayer also encountered difficulties in publishing
motions, not a substance. He used a broad range of his work. His first paper of 1842, ‘‘Remarks on the
Conservation of Energy Concept, History of 667
Clausius, and Helmholtz had extended its reach into Weber’s action-at-a-distance approach as being
electrostatics, thermoelectricity, the theory of elec- incompatible with the conservation of energy. In
tromagnetism, and current electricity. During the 1870, Helmholtz began a systematic critique of
1860s, one of the more important applications of this Weber’s electrical theory and repeated Maxwell’s
new approach was the establishment of an absolute judgment that he located in Weber’s use of velocity-
system of electrical units. Again this involved dependent forces. Helmholtz had first stated this
national prestige given that the Germans already criticism in his 1847 paper on the conservation of
had their own system based on the measurements of force, and it became a starting point for alternative
Weber. The BAAS committee included Thomson, approaches to electromagnetism among German
James Clerk Maxwell, and the young electrical physicists. These included Neumann and Bernard
engineer Fleming Jenkin. Maxwell and Jenkin Riemann, who developed the notion of a retarded
measured resistance in absolute (mechanical) units potential. By 1870, this criticism undermined the
and deduced the others from there. validity of his work and Weber was forced to answer.
So far, what existed were disparate statements and He demonstrated that, indeed, his theory was com-
uses for energy, none of which shared a common patible with conservation of energy.
language or set of meanings. Thomson and Tait Clausius was the first to try to develop an
created that language for energy in their 1868 expression for the laws of thermodynamics in terms
textbook on mechanics, A Treatise on Natural of the motions of the molecules of gases. His models
Philosophy. The text was directed to the needs of were mechanical, whereas the later ones of Maxwell
their many engineering students. During the 19th and Ludwig Boltzmann were statistical. Maxwell
century, numerous new technical terms were coined, became more interested in the properties of gases,
many of which derived from ancient Greek, and such as viscosity, heat conduction, and diffusion,
energy was no exception. Derived from the Greek relating them to statistical expressions of energy and
word energeia, energy was commonly used for people other molecular properties. Boltzmann developed a
who demonstrated a high level of mental or physical statistical expression for the first and second laws of
activity. Also, it expressed activity or working, a thermodynamics. During the late 19th century,
vigorous mode of expression in writing or speech, a thermodynamics itself was subject to great mathe-
natural power, or the capacity to display some power. matical manipulation, which in some hands became
More technically, Thomson and Tait used energy as so remote from physics that it once again became
the foundation of their 1868 text. They claimed that mathematics.
dynamics was contained in the ‘‘law of energy’’ that By the time of Maxwell’s death in 1879, the
included a term for the energy lost through friction. conservation of energy had become a principle by
They introduced and defined kinetic and potential which physical theories were judged and developed.
energy and even claimed that conservation of energy This was particularly true in Great Britain, where
was hidden in the work of Newton. William ‘‘energy physics’’ propelled the theoretical work of
Whewell grumbled about the book’s philosophical most physicists. Much of this work, such as that of
foundations, but it was translated into German as Oliver Lodge, was directed toward the development
well as being widely used in Great Britain. of Maxwell’s electromagnetism, although the work
Conservation of energy was becoming the founda- was expressed as mechanical models. Lodge also
tion for teaching physics as well as for new drew up a classification of energy in its varied
approaches in research in the physical sciences. physical forms, from the level of atoms to that of
Thomson considered that conservation of energy the ether. He also used an economic image for energy,
justified a purely mechanical vision of nature and equating it with ‘‘capital.’’ He extolled John Henry
tried to reduce all phenomena, including electro- Poynting’s reworking of Maxwell’s Treatise in 1884
magnetic phenomena, to purely mechanical terms. In and saw it as a new form of the law of conservation
his early papers in electromagnetism, Maxwell used of energy. In his treatment of the energy of the
conservation of energy in constructing and analyzing electromagnetic field, Poynting studied the paths
mechanical models as mechanical analogues to energy took through the ether. He investigated the
electrical and magnetic phenomena. He then aban- rate at which energy entered into a region of space,
doned this mechanical scaffolding and established his where it was stored in the field or dissipated as heat,
results on general energetic grounds, including his and found that they depended only on the value of the
electromagnetic theory of light. In defense of his electric and magnetic forces at the boundaries of the
approach to electromagnetism, Maxwell criticized space. This work was duplicated by Oliver Heaviside,
Conservation of Energy Concept, History of 669
who then set about reworking Maxwell’s equations through the quantum revolution was not as smooth.
into their still familiar form. The focus was now In 1923, Niels Bohr expressed doubts about its
firmly on the ‘‘energetics’’ of the electromagnetic field. validity in the cases of the interaction of radiation
The emphasis on energy stored in the ether and matter. This was after Arthur Holly Compton
separated British interpretations of Maxwell’s work explained the increase in the wavelengths of scattered
from those on the continent, including that of X rays using the conservation of energy and
Heinrich Hertz. However, energy in the German momentum but treating the X rays as particles. The
context became the foundation for a new philosophy focus of Compton’s research, the interaction of
of and approach to the physical sciences, energetics. radiation and atoms, was shared with many groups,
Initiated by Ernst Mach, energetics found its most including that around Bohr in Copenhagen, Denmark.
ardent scientific advocate in Wilhelm Ostwald. The Bohr did not accept Einstein’s particle theory of light,
scientific outcome of Ostwald’s work was the even with the evidence of the Compton effect. By
development of physical chemistry. Yet his dismissal using the idea of ‘‘virtual oscillators’’ that carried no
of atoms led to clashes with Boltzmann, and during momentum or energy, Bohr, H. A. Kramers, and John
the 1890s his pronouncements drew the criticism of Slater (BKS) hoped to maintain a wave theory of the
Max Planck. Planck had, since his dissertation interaction of radiation and matter. To do so, they had
during the 1860s, explored the meaning of entropy, to abandon the idea of causality, the connection
carefully avoiding atoms and molecules. He was between events in distant atoms, and the conservation
forced into Boltzmann’s camp in his research on of energy and momentum in individual interactions.
black body radiation, essentially a problem of the Struggling with the meanings of the ‘‘BKS theory’’
thermodynamics of electromagnetic radiation. became crucial in the development of Werner Karl
Planck was not alone in understanding the impor- Heisenberg’s formulation of quantum mechanics.
tance of the problem; however, other theorists were However, the BKS theory was bitterly opposed by
tracking the energy, whereas Planck followed the Einstein as well as by Wolfgang Pauli, who, after a
entropy changes in the radiation. brief flirtation with the theory, demonstrated its
impossibility using relativistic arguments.
Conservation laws were reinstated at the center of
physical theory. Conservation of energy became the
6. ENERGY IN 20TH criterion for abandoning otherwise promising theo-
CENTURY PHYSICS retical approaches during the late 1920s and early
1930s in quantum field and nuclear theory. In the
As an editor of the prestigious journal Annalen der latter case, Pauli posited the existence of a mass-less
Physik, Planck encouraged the early work of Albert particle, the neutrino, to explain beta decay. The
Einstein, not only his papers in statistical mechanics neutrino remained elusive until the experiments of
but also those on the theory of special relativity. Ray Cowan and Fred Reines during the 1950s.
Planck then published his own papers on relativistic Conservation of energy also governed the analysis of
thermodynamics, even before Einstein’s 1907 paper the collisions of nuclear particles and the identifica-
on the loss of energy of a radiating body. Two years tion of new ones, whether from cosmic rays,
before this, Einstein had investigated the dependence scattering, or particle decay experiments. Relativistic
of the inertia of body on its energy content. In this considerations were important in understanding the
case, the mass of the body in the moving system mass defects of nuclei throughout the atomic table.
decreased by E/c2, where E is the energy emitted as a The difference between the measured masses and
plane wave and c is the velocity of light. Einstein those calculated from the sum of the masses of their
concluded that ‘‘the mass of a body is a measure of its constituent particles was explained as the mass
energy content.’’ Einstein constructed his relativistic equivalence of the energy necessary to bind those
thermodynamics of 1907 largely on the foundation components together.
of Planck’spwork and reached
ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
ffi the conclusion that
dQ ¼ dQ0 ð1 v2 =c2 Þ; where dQ is the heat
supplied to the moving system, dQ0 is that for the 7. ENERGY CONSERVATION
system at rest, and v is the velocity of the moving BEYOND PHYSICS
system to that at rest.
Thus, the law of conservation of energy was Beyond physics, conservation of energy became a
integrated into relativity theory. However, its passage foundation for other sciences, including chemistry
670 Conservation of Energy Concept, History of
and meteorology, although in this case the second and considering the work output the equivalent of
law of thermodynamics was more powerful in this energy. Conservation of energy was necessary in
explaining vertical meteorological phenomena. In understanding the dynamics of the human body.
the natural sciences, the most dramatic demonstra- Frankland also showed that the energy the body
tion of the conservation of energy’s usefulness was in derived from protein equaled the difference between
the study of animal heat and human digestion. The the total heat of combustion and the heat of
production of heat as synonymous with life can be combustion of the urea expelled, with the urea being
seen in the aphorisms of Hippocrates during the fifth the pathway for the body to rid itself of the nitrogen
century bce. In Galen’s physiology, developed during in proteins. Thus, conservation of energy entered the
the second century ad, the source of bodily heat was realm of nutrition, biophysics, and biochemistry. In
the heart. Heat was carried in the arterial system later experimental studies, W. O Atwater measured,
throughout the body, where it was dissipated by a whole body calorimeter, that the heat given off
through the lungs and the extremities. Aspects of by the human body equaled the heat released by the
Galen’s physiology remained in William Harvey’s metabolism of the food within it. Even when the
explanation of the function of the heart. Yet Harvey’s complexities of the pathways of amino acids and
experiments, published in 1628 as Anatomical other sources of nitrogen were understood, along
Experiments on the Motion of the Heart and Blood with their routes through the digestive system,
in Animals, demonstrated the circulation of the conservation of energy remained the foundation for
blood and the pumping action of the heart. This interpreting increasingly complex results.
mechanical function of the heart became part of Thus, conservation of energy has proved to be
Descartes’s mechanical philosophy that changed crucial for analyzing the results of experiments
debates over the source of heat in the body. Was it across—and in some cases beyond—the scientific
generated in the heart or from friction as the blood spectrum. There have even been experiments—so far
flowed through the vessels of the body? Harvey’s unsuccessful—aimed at measuring the mass of the
argument that the lungs dissipated the heat from the soul on its departure from the body.
body fitted into this mechanical vision of the body.
During the 18th century, Descartes’s mechanistic
vision of the body was replaced by vitalism based on
chemical experiments. This was the vitalism that
SEE ALSO THE
Helmholtz sought to root out from medicine during FOLLOWING ARTICLES
the 1840s. The experiments were those performed on
‘‘airs’’ consumed and expended by plants that Heat Transfer Mechanical Energy Storage of
vitiated or revived the atmosphere. Combined with Energy, Overview Thermodynamic Sciences,
these experiments were others showing that combus- History of Thermodynamics, Laws of Work,
tion and respiration made the atmosphere less able to Power, and Energy
sustain life, usually of birds and small mammals.
After the introduction of Lavoisier’s reform of
Further Reading
chemical nomenclature, which also carried with it a
new theory of chemistry and chemical reactions, Adas, M. (1989). ‘‘Machines as the Measure of Man.’’ Cornell
experiments on animal chemistry became more University Press, Ithaca, NY.
Caneva, K. L. (1993). ‘‘Robert Mayer and the Conservation of
quantitative and lay within his new theoretical Energy.’’ Princeton University Press, Princeton, NJ.
framework. Treadmill studies by Edward Smith in Cardwell, D. (1971). ‘‘From Watt to Clausius.’’ Cornell University
1857 demonstrated that muscles derived energy, Press, Ithaca, NY.
measured by heat output, from foods not containing Carpenter, K. J. (1994). ‘‘Protein and Energy: The Study of
nitrogen. However, Justus Leibig’s idea that bodily Changing Ideas in Nutrition.’’ Cambridge University Press,
Cambridge, UK.
energy derived from muscle degradation was not Cassidy, D. (1991). ‘‘Uncertainty: The Life and Times of Werner
easily deposed. It took the mountain-climbing Heisenberg.’’ W. H. Freeman, San Francisco.
experiments of Adolph Fick and Johannes Wislicenus Cooper, N. G., and Geoffrey, W. B. (eds.). (1988). ‘‘Particle
in 1866 and the analysis of them by Edward Physics: A Los Alamos Primer.’’ Cambridge University Press,
Frankland to finally displace Leibig’s theory. Frank- Cambridge, UK.
Einstein, A. (1905). Does the inertia of a body depend upon its
land pointed out that Fick and Wislicenus’s results energy content? In ‘‘The Collected Papers of Albert Einstein’’
could be interpreted by looking at the energy (A. Beck Trans, Ed.), vol. 2, Princeton University Press,
involved in combustion in a unit of muscle tissue Princeton, NJ.
Conservation of Energy Concept, History of 671
Einstein, A. (1907). On the relativity principle and the conclusions Smith, C. (1998). ‘‘The Science of Energy: A Cultural History of
drawn from it. In ‘‘The Collected Papers of Albert Einstein’’ Energy Physics in Victorian Britain.’’ University of Chicago
(A. Beck Trans, Ed.), vol. 2, Princeton University Press, Press, Chicago.
Princeton, NJ. Smith, C., and Norton Wise, M. (1989). ‘‘Energy and Empire:
Everitt, C. W. F. (1975). ‘‘James Clerk Maxwell: Physicist and A Biographical Study of Lord Kelvin.’’ Cambridge University
Natural Philosopher.’’ Scribner, New York. Press, Cambridge, UK.
Helmholtz, H. (1853). On the conservation of force. In ‘‘Scientific
Memoirs’’ (J. Tyndall and W. Francis, Eds.). Taylor & Francis,
London. (Original work published 1847.)
Conservation of Energy, Overview
GORDON J. AUBRECHT II
The Ohio State University
Columbus, Ohio, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 673
674 Conservation of Energy, Overview
of energy have the same ease of use, even though it is gravitational force on the fork, otherwise known as
always possible to transform one into another. High- the fork’s weight), the work the person does
quality energy is the most versatile, and thermal opposing F to pick the fork up is
energy the least versatile. Energy conservation in Z r2
ordinary speech refers to preservation of resources Fddr:
r1
the provision of energy resources more efficiently or
at lower cost. Many opportunities still exist for If the fork were to fall off the table onto the floor, we
reducing costs by raising efficiencies, by encouraging would expect that work to reappear somehow (as
cooperation so that waste is minimized, and by some other form of energy, perhaps). It has the
rethinking traditional designs. The transportation potential to reappear if the fork is put into a position
and agricultural systems may have the best prospects to fall, and so this energy is known as gravitational
for increasing energy efficiency. potential energy.
In general, there are many types of potential
energy; the general potential energy of a particle is
defined as
1. ENERGY PRELIMINARIES Z r2
Uðr2 Þ Uðr1 Þ ¼ Fddr:
Energy is defined as the capacity to do work, but as a r1
practical matter, energy is difficult to measure with a
Potential energy may only be defined for a
machine (but it is easy to calculate). Work is defined
conservative force. For a conservative force F, this
by the differential relation
integral is independent of the path and can be
dW ¼ Fddr; expressed in terms of the end points only; here these
are the starting and ending positions r1 and r2. It
where dr is an infinitesimal displacement of the
should be clear from the definition of potential energy
massive object subject to the force F. If the force is
that only differences in potential energy matter.
constant, we find that the work done in displacing
Energy in science is measured in the International
the object by Dr is
System of Units as the product of the units of force and
DW ¼ FdDr ¼ FjDrjcos y; distance (newtons times meters); this energy unit is
where y is the angle between F and Dr. In many texts, given the special name joule (1 J ¼ 1 N m), but many
this relation is simplified to read other energy units exist. The most common are the
British thermal unit (1 Btu ¼ 1055 J), the kilowatt-hour
DW ¼ Fjj d ¼ Fdjj ; (3.6 106 J ¼ 3.6 MJ), and the kilocalorie [food cal-
where Fjj is the component of the force along the orie] (1 kcal ¼ 4186 J). The quadrillion Btu (‘‘quad’’) is
displacement direction, d is the total distance often used to describe American energy use. In 2001,
traveled, and djj is the displacement component this was 98.5 quads (1.04 1020 J, or 104 EJ).
along the direction of the force. A key to under- We may recognize two uses of the phrase energy
standing energy is to recognize that different forms of conservation. One use is scientific and refers to the
energy may be transformed into other forms of physical principle taught in school and essential to
energy. In some cases, the work that has to be done contemporary understanding of nature; this is
against a force to move an object from one particular discussed in Section 2. A background in thermal
point A to another particular point B is the same, no physics, which bridges the two uses of the word, is
matter what way the work is done. The work does, sketched in Section 3. The other use of the word
of course, depend on which points are used as end refers to the preservation or wise use of energy
points, but not on the path traversed between them. resources and is discussed in detail in Section 4.
In such a case, the force is called conservative. The
gravitational force is an example of a conservative
force. For such a conservative force, work may be 2. THE PHYSICAL PRINCIPLE OF
done against the force to move a massive object from ENERGY CONSERVATION
one position to another. This work represents the
change in energy of the massive object. For example, The impetus for the principle of energy conservation
a person may pick up an object that is on the floor originally is the observation that in simple systems on
(such as a fork) and put it on a table. If the external Earth, one may define an energy of position (the
force on the object is F (in this case, F would be the gravitational potential energy) and connect it to
Conservation of Energy, Overview 675
another form of energy, kinetic energy. For a simple discussing conservation laws. In the early 20th
mechanical system with no friction, using Newton’s century, Albert Einstein worked to understand such
second law (F ¼ ma), we recast the work as relations in the context of electromagnetism and
Z r2 Z r2 Z r2 extended it beyond electromagnetism to more gen-
Fddr ¼ maddr ¼ m addr eral physical situations. Einstein created two the-
r1 r1 r1
Z t2 Z t2 ories, the special theory of relativity (1905) regarding
dr transformation among inertial reference frames, and
¼m ad dt ¼ m advdt
t1 dt t1 the general theory of relativity (1915), which allowed
Z v2
1 1 extension of special relativity to accelerated (non-
¼m vddv ¼ mv22 mv12 :
v1 2 2 inertial) reference frames.
In special relativity, in an inertial frame of
The quantity T ¼ 12 mv2 is called the kinetic energy (it reference an energy-momentum four-vector pm con-
represents energy associated with the motion of a sisting of a time component (E/c) and spatial
massive object). With this nomenclature, we find momentum components px, py, and pz, may be
from the definition of potential energy that defined that satisfies pmpm ¼ m2c2, which is an
Uðr2 Þ Uðr1 Þ ¼ ½T2 T1 ; expression of energy conservation in special relativity
(written in more conventional notation as
and rewriting slightly, we obtain E2p2c2 ¼ m2c4). That is, the fact that the vector
T2 þ Uðr2 Þ ¼ T1 þ Uðr1 Þ: product of two four-vectors is invariant leads to
conservation of energy. In special relativity, there is a
Note that the quantity on the left refers only to special frame of reference for massive objects known
position 2, while that on the right refers only to as the rest frame; in that frame p ¼ 0, so the
position 1. Since 1 and 2 were completely unspeci- relativistic energy equation is E ¼ mc2, a rather
fied, this equation states a general result: in such a widely known result. All massive objects have energy
simple system, the quantity T þ U must be a constant by virtue of possessing mass, known as mass-energy.
(or conserved). This is referred to as conservation of The relativistic energy relation E2 ¼ p2c2 þ m2c4
mechanical energy (and of course, ‘‘conservative may be recast as E ¼ gmc2 for massive objects (and,
force’’ is a retrodiction that follows from the of course, as E ¼ pc for massless objects), where
observation of conservation of mechanical energy). the relativistic momentum is p ¼ gmv and g ¼
More generally, the total potential energy is the h 2 i1=2
1 vc . In this case, the kinetic energy is T ¼
sum of all the potential energies possible in a given
situation. There is no new physics in the principle of (g1)mc2 because T plus mass-energy (mc2) must be
conservation of mechanical energy. Everything fol- equal to total energy E.
lows from Newton’s laws (refer back to the In general relativity, the connection to the Noether
introduction of kinetic energy and potential energy). theorem is clearer, as one defines a so-called stress-
It was natural to physicists to expand this idea by energy tensor, Tmn. The stress-energy tensor describes
including every possible form of energy and to momentum flow across space-time boundaries. The
believe that the total amount of energy in a closed flow (technically, flux) of the stress-energy tensor
system is conserved. As a consequence of work by the across space-time boundaries may be calculated in a
German mathematical physicist Emmy Noether, it covariant reference frame and the covariant derivative
became clear that each conservation law (such as that of the stress-energy tensor turns out to be zero. This
of energy or momentum) is connected to a symmetry means that energy is conserved in general relativity.
of the universe. The law of conservation of momen- There is no proof of the principle of conservation
tum is connected to translation invariance, the law of of energy, but there has never so far been disproof,
conservation of energy to temporal invariance. This and so it is accepted. It is a bedrock of modern
means, respectively, that moving an experiment in a physics. In physics, as in other sciences, there is no
reference frame and repeating it when prepared possibility of proof, only of disproof. The cycle of
identically has no effect of the observed relations model (hypothesis), prediction, experimental inves-
among physical quantities, and that doing an tigation, and evaluation leads to no new information
experiment prepared identically at different times if the experimental result is in accord with the
should produce identical results. prediction. However, if there is disagreement be-
From these observations it is clear that relations tween prediction and experiment, the model must be
among reference frames are essential to consider if replaced. Over the historical course of science, faulty
676 Conservation of Energy, Overview
3.1 Thermal Energy FIGURE 1 (A) A box being pulled along the ground. (B) A free
body diagram showing all forces acting.
To help clarify the issues involved, let us consider a
simple system: a box resting on flat ground to which
a rope is attached. The rope is pulled by a person so energy. That is, the speed can be constant because the
that the force on the box is constant. Anyone who horizontal components of the two forces add to zero.
has actually done such an experiment (a class that So where has all the work done gone? It has
contains virtually the whole human population of apparently disappeared from the mechanical energy.
Earth) knows that, contrary to the assertion that the In fact, the work is still there, but thermal energy, the
kinetic energy increases, it is often the case that the random motion of the atoms in the box has increased
speed of the box is constant (the kinetic energy is at the expense of the work done. In Fig. 2, an energy
constant). bar chart representation shows what has happened:
What is missing is consideration of the friction The thermal energy of the system has increased.
between the box and the ground. Figure 1 shows the Thermal energy is a new form of energy that must
situation. In Fig. 1A, the rope’s force on the box be considered in working with conservation of energy.
(caused by the person pulling the rope) is shown and In fact, the consideration of thermal energy was first
the box is moving along the ground. However, many codified by the physicist Sadi Carnot in the early part
forces that act on the box are not shown. Figure 1B of the 19th century. We might call the 19th century
shows the free body diagram for the box, including the century of thermal energy because of the work of
all the forces that act. The box has weight, W, which other giants of thermal physics such as Boltzmann,
must be included. The ground pushes directly Clausius, Joule, Kelvin, Maxwell, Planck, and many
upward to prevent the box from falling through the others who created the science of thermodynamics.
surface with a force Fground on box and exerts a
frictional force f on the box; and, of course, a force
is exerted by the person on the rope, and hence the
3.2 Thermodynamics: The Zeroth Law
rope exerts a force on the box, F.
The presence of the frictional force is what is Systems involving measurements of temperature or
responsible for the lack of change in the kinetic exchanges of thermal energy are thermal systems.
Conservation of Energy, Overview 677
1800
Work
input
energy
Gravitational
potential
energy
Other forms
of energy
Thermal
energy
energy
Gravitational
potential
energy
Other forms
of energy
Thermal
energy
Kinetic
Kinetic
FIGURE 2 An energy bar chart representation of the change in energy of the box because energy is brought into the box
system from outside by the rope.
Thermal systems are characterized by their tempera- In science, the arbitrariness of the Celsius scale
tures. Temperature is determined by the mean of the makes it less useful in communication. Lord Kelvin
random motions of the atoms making up a material. devised a temperature scale, known as the absolute
A device that measures temperature is known as a temperature or the Kelvin temperature scale, that
thermometer. Temperatures are measured by assign- begins with the lowest temperature possible in the
ing numbers to systems we designate as cold or hot universe as 0 K (absolute zero) and has a temperature
and by using the idea of thermal equilibrium. of 273.15 K at the triple point of water (the
If a spoon from the drawer is put into a pot of temperature at which ice, water, and water vapor
boiling water, thermal energy will flow from hot are in thermal equilibrium). With this definition, the
water to cooler spoon. Thermal energy is exchanged kelvin interval is the same as the degree Celsius
between the water and the spoon, but eventually the (1 K ¼ 11C).
spoon and water do not exchange any more energy.
Thermal equilibrium is the state in which there is no
net interchange of thermal energy between bodies. 3.3 Thermodynamics: The First Law
The spoon comes to thermal equilibrium with the In the 18th century, steam engines began to contribute
boiling water. mechanical energy to replace human labor. Carnot
Temperatures are measured by allowing the began to study various engines that operate, as steam
thermometer and the system to come to thermal engines do, between two different temperatures. In a
equilibrium. Two bodies are said to be in a state of steam engine, burning fuel boils water to make steam,
thermal equilibrium if there is no net interchange of which pushes a piston, turning the steam’s thermal
thermal energy between those bodies when they are energy to mechanical energy. That mechanical energy
brought into thermal contact. The measurement of can be used in a machine. In early steam engines, the
the temperature of the thermometer therefore also spent steam was vented to the air, the piston retracted,
gives a measurement of the temperature of the system. and the cycle began again (modern steam engines
The most common temperature scale used on work slightly differently). The spent steam’s thermal
Earth, and often used in science, is the Celsius scale. energy was released from the system.
It sets the zero temperature at the freezing point of The word ‘‘heat’’ refers to energy in transit
water and sets 1001C at the boiling point of water at between bodies at two different temperatures. It is
sea level under standard conditions. The choice of one of the most misused words in physics. Heat is not
the boiling end point is arbitrary scientifically. As a separate form of energy, but an artifact of the
virtually everyone living in the temperate regions of transfer of thermal energy to a body. There is no heat
Earth knows from personal experience, there are content to a body, as was first shown in 1798 in an
temperatures below zero using this scale. A brisk day experiment carried out by the American inventor
might have a temperature around 101C, and a very Benjamin Thompson (1753–1814), also known as
hot day a temperature around 401C. Human body Count Rumford. As the person in charge of making
temperature is 371C. Comfortable room temperature cannon for the king of Bavaria, he was able to bore
is about 201C. channels for the shot in cannon; there was need for
678 Conservation of Energy, Overview
cooling water as long as the boring proceeded. There thermal energy is exhausted at the low temperature.
was no end to the amount of heat being transferred. This cycle is known as the Carnot cycle. By studying
Any thermal engine operates between two tem- this special Carnot cycle, which was the most
peratures. It is useful to think of the original steam at efficient cycle that could possibly exist between the
the higher temperature and the air at the lower two temperatures, Carnot could find the maximum
temperature as temperature reservoirs, or large possible efficiency in terms of the absolute tempera-
‘‘containers’’ of thermal energy, so large that taking tures of the reservoirs for a heat engine operating
some or adding some leaves the system unchanged. A between these two temperatures.
thermal engine runs through a cycle in which thermal The second law of thermodynamics, originally
energy is taken in at the high temperature reservoir, conceived by Rudolf Clausius, is the statement that
work is done, and thermal energy is exhausted at the any real thermal engine is less efficient than the
low temperature reservoir. Carnot cycle. (There are many other formulations of
Of course, energy is conserved in this cycle. The the second law.) The Carnot efficiency is found to be
energy the system takes in from the high temperature
Maximum possible efficiency
is equal to the sum of the work done by the system
and the energy the system exhausts to the low TH TL
of a heat engine ¼ :
temperature reservoir. As applied to thermody- TH
namics, the principle of conservation of energy is
Again, because of the need to exhaust thermal energy
known as the first law of thermodynamics. From the
at the low temperature, the efficiency of even the
first law of thermodynamics, no machine is possible
ideal Carnot engine is restricted. For example,
that could create energy from nothing.
suppose that a heat engine (an electric generator)
operates between a high temperature of 5001C and a
3.4 Thermodynamics: The Second Law low temperature of 201C (room temperature). The
maximum possible efficiency of operation is
We define the efficiency of any energy transformation
as Maximum possible efficiency of a heat engine
energy output 773:15 K 293:15 K
Efficiency ¼ ; ¼
energy input 773:15 K
for a machine that produces work from other forms ¼ 0:621ð62:1%Þ:
of energy, this relation would be
work output
Efficiency ¼ :
energy input A B C D
Real electric generators average about 33% effi- lives, in having life be as comfortable and convenient
ciency, much lower than the maximum possible as possible.
(Carnot) efficiency. Energy conservation here refers to the provision of
the same level of goods or services with a smaller
drain than at present on stored energy resources. In
3.5 Quality and Second-Law Efficiency their common perceptions about conservation, those
It may be seen from the above that when transform- people who are wary of conservation efforts are both
wrong and right. They are wrong because people
ing thermal energy into other forms of energy, the
who conserve energy are not sacrificing or doing
amount available is not the total energy available,
without but are benefiting from increased efficiency
but is smaller. However, if work is done by an agent,
or reduced costs. However, they are right because
all the work is available; if electrical energy is
this reorientation may have a cost in personal
available, all of it may be transformed directly into
convenience since it may involve additional time,
other, usable, forms of energy. Thermal energy is said
thought, or change in habits.
to be low-quality energy because of its limitations in
the conversion process, while work and electrical In the following, we discuss possibilities for
‘‘energy conservation’’ with the understanding that,
energy are high-quality energy.
physically, energy is always conserved as discussed in
Thermal energy may be used directly in space
Section 2; we are discussing here reduction of waste
heating and in cooking, but if we want to run a
and increase of efficiency of the economic and
motor with it, not all the thermal energy would be
physical system. The reliance on thermal systems
available to us. It would make sense to use forms of
for transforming energy makes the second-law
energy (if available) that could deliver all their energy
efficiency a good measure of the efficacy of a
to the motor. Conversely, if we want to increase the
temperature of a room, it is silly to use high-quality proposed conservation measure. The following ex-
amples show how it has been or may in the future be
energy to do it.
possible to provide the same services at reduced
While the equation for efficiency is found using
monetary and energy cost.
the first law of thermodynamics, the American
Physical Society study ‘‘Efficient Uses of Energy’’
points out that the second law of thermodynamics, 4.1 Space Conditioning
which shows that the Carnot engine operating
Space heating and cooling are responsible for a
between two temperatures is the most efficient,
allows us to compare the actual efficiency to the considerable amount of energy use. In the United
theoretical maximum efficiency for producing a States in 1993, 4.3 1017 J of electricity, representing
1.3 1018 J of thermal energy, 3.9 1018 J of thermal
given amount of work; this is called the second-law
energy from natural gas, and 1.3 1018 J of thermal
efficiency for the system. For real thermal systems,
energy from kerosene, fuel oil, and liquefied petro-
the second-law efficiency measures how much room
leum gas (a total of 6.5 1018 J ¼ 6.5 EJ of thermal
for improvement remains.
energy) was used for residential space heating.
Another 1.50 EJ was used for residential air con-
ditioning, of which 18% (0.26 EJ) was used for room
4. ENERGY CONSERVATION AS air conditioners. This represents over 8% of national
PRESERVATION OF RESOURCES energy use. Commercial buildings in the United States
in 1995 used 8.3 EJ of thermal energy as electricity,
Often exhortations to conserve energy or other 2.1 EJ of thermal energy from natural gas, and
resources such as land or water are heard. Many 0.25 EJ of thermal energy from fuel oil, a total of
people view the probable effect of the requested 10.6 EJ of thermal energy, roughly 10% of national
conservation measures in their daily lives as having energy use. The great majority of energy use is for
to ‘‘do without’’ something desirable. Conservation space conditioning (4.1 EJ) and lighting (3.3 EJ).
might represent ‘‘personal virtue’’ through sacrifice; it In the aftermath of the 1973 energy crisis, many
involves paying a personal price. It may represent the buildings were built with more attention paid to
religious idea of stewardship. Alternatively, they may energy-conserving features, resulting in a lowered
see these measures as making their lives more energy use per area, but this impetus was lost with a
complicated in a world that already seems full of return to cheap oil in the 1980s and 1990s, and in
intimidating tasks. They are interested in living their early 1990s commercial buildings were built to use
680 Conservation of Energy, Overview
one-third more energy per square meter than average with evacuated spaces, or smart window coatings
1980s buildings. that can act as an insulating shade. Aerogel-based
Clearly, with over 10% of United States energy insulating materials may also contribute to future
use committed to space conditioning, systematic energy savings in buildings, as they already have for
savings could have a great impact. Savings are appliances.
available from installation of replacement glazing, Air conditioners have become more efficient over
increased insulation, and replacement of antiquated the years since the 1970s energy crisis. The state of
heating and cooling systems. California has led the way by mandating increasingly
Active and passive solar energy systems have been efficient room and home air conditioning units, and
used for millennia to achieve space conditioning at the federal government has followed. The rollback of
little or no cost, and these methods continue to hold Clinton administration seasonal energy efficiency
promise of reduced reliance on fossil fuels and ratio (SEER) regulations by the incoming Bush
uranium. Passive systems are characterized by con- administration (which may have been illegal, since
struction methods that allow people to cool rooms the rules had been published in the Federal Register)
during the day and heat by night through thermal was a setback to this trend. The payback time for the
storage—for instance, in masonry walls—of energy increased cost of a SEER-13 unit over a SEER-12
from the sun. Use of surrounding vegetation to help unit is a little over 1 year. Fortunately, because it has
maintain house temperature has been common since such a large population, California’s energy-effi-
humans began building shelters. Natural ventilation ciency regulations tend to drag the rest of the nation
systems are also passive in nature. Active solar along despite federal foot-dragging, and even the
systems use some fossil energy to pump fluids, but rolled-back SEER targets are far above the average
the main input is free energy from the sun. SEER of 5 to 6 in 1994. The efficiency regulation
Heat pumps, especially groundwater-based heat might actually be looked at as an antipoverty
pumps, use a heat engine in a clever way. Ground- regulation, because the least-efficient units (having
water is about the same temperature the year around, the lowest purchase price) are bought by landlords,
and in the winter it is much warmer than the ambient while the typically lower-income tenants must pay
air in colder climates, while in summer it is much the electric bills. Wealthier Americans tend to buy the
cooler than the ambient air. In winter, the heat pump higher-SEER units because they themselves pay their
is run by taking in thermal energy at the groundwater electricity bills.
low-temperature reservoir, doing work on it, and
exhausting the thermal energy plus the work at the
high-temperature reservoir (the room). Only the
4.2 District Heating
extra energy (the work input) must be supplied by
fossil fuels. The advantage of this system is that the In many European cities and some older American
user pays only for the work done, and the extra cities, electric utilities use the waste heat from the
energy used to heat the space is the ‘‘free’’ thermal boilers or heat exchangers to keep buildings warm in
energy in groundwater or the atmosphere. In the cooler months of the year. Hot water is circulated
summer, the heat pump works backward, taking through pipes through nearby buildings, and cooler
thermal energy from the high-temperature reservoir water returns to the utility. This is known as district
(the room), doing work, and exhausting thermal heating because an entire region can be served by this
energy to the low-temperature reservoir (the ground- system. In the United States, 5.6 1017 J (0.56 EJ) of
water). Commercial freestanding heat pumps use the energy was distributed as district heating in 1995.
atmosphere as the reservoir and can be substantially Savings are possible because of economy of scale
less efficient than groundwater-based heat pumps. (one central heating system instead of many indivi-
In cold weather, much ambient thermal energy is dual systems), the reduced maintenance per unit of
transferred out of buildings, where it is desirable to output characteristic of a larger system, and because
keep it, to the outside through walls and windows. In the waste heat would have to be disposed of by other
warm weather, ambient thermal energy is transferred means were it not used for this useful purpose.
from outside to inside, where it is undesriable, again District heating is only feasible when there is a large
through the walls and windows. Advanced technol- but compact region having a relatively large popula-
ogy can contribute to reduced fossil energy use tion density through at least part of the day. This is
through design of various types of windows—low more characteristic of European and Asian condi-
emissivity coatings, double- or triple-glazed windows tions than American or African ones.
Conservation of Energy, Overview 681
boosters inside the dishwashers and by use of less In Europe, automobiles are generally smaller than
water per cycle. in the United States because of the higher energy
Computers have been increasingly used in many prices consumers pay for gasoline and diesel fuel
households and businesses. The use of flat screens for (because of the high local taxes). Smaller cars use less
televisions and computer monitors saves consider- material to manufacture and, because the weight is
able energy compared to the CRTs typically used, smaller, cost less to run. Many drivers in the United
which is why they were originally introduced for the States are reluctant to purchase small cars because
notebook computers, which must often run from they are concerned about safety (this is apparently
batteries. The sleep mode of computers and compu- partly responsible for the boom in sport utility
ter peripherals uses much less energy than would be vehicle, or SUV, sales). Ironically, though people in
used if the computers were fully ‘‘awake.’’ SUVs are less likely to be killed or injured in a direct
Some years ago, appliances had to ‘‘warm up’’ front, back, or side collision, the overall death rate is
before they came fully on. Consumers disliked this higher in SUVs than in smaller cars because of the
wait time, and manufacturers of televisions, radios, large number of fatalities in rollover accidents, which
and other appliances began to manufacture instant have a relatively high probability of occurrence.
response units. Consumers liked the feature, but American cars are much lighter than in the 1970s,
didn’t realize the hidden costs. The units are turned a direct result of the first energy crisis. A conventional
on all the time and collectively use between 10% and suburban car gets a mileage around 30 mi/gal. It is
25% of the electricity used in households. Such clear that the weight of most cars could be reduced
devices have been called energy vampires. The further. A countervailing trend is for more and more
problem may be limited to developed countries, but SUVs and pickup trucks to be sold. These vehicles
the cost is not a necessary one. Electronic transfor- weigh more than normal cars and as a result get
mer use would substantially decrease this drain, and worse mileage. By 2000, fewer than half of all
they already are used in countries where mandated vehicles purchased for personal transportation in the
by law (they cost only 0 to 20 cents more per unit, United States were ordinary automobiles. A large
but are not installed voluntarily by cost-conscious SUV might get a mileage of just 17 mi/gal, while a
manufacturers). Computers use much more than the small pickup gets 25 mi/gal. The reason for the better
10 W or so used by VCRs and TVs in their sleep car mileage is legislative—Congress adopted Corpo-
mode, though, of course, the power is much lower rate Average Fuel Economy (CAFE) standards after
than when the computer is awake. the first energy crisis to force manufacturers to raise
mileage, and it worked. The rise in SUVs and pickups
have pleased the manufacturers because these vehicles
4.5 Transportation
were not covered by the CAFE standards. In addition,
Automobile engines have a Carnot efficiency of the low average energy prices of the late 1990s lulled
around 60% but are about 25% efficient in practice. drivers into expecting cheap imported oil would
As long as the internal combustion (Otto) engine continue to be available. Political pressure for
continues to be used, large increases in efficiency are increasing CAFE standards abated, and car mileage
unlikely, but sizable incremental savings are still stagnated. As a result, the fleet average for American
available. Alternatives include electric vehicles and vehicles experienced a decrease in mileage. The
fuel cell vehicles. The transportation sector is lowest fleet average mileage was achieved about
important because transportation accounts for 27% 1989. Even imported cars’ mileage has slipped. On
of total United States energy use. Most of the energy the basis of history, only legislative mandate will be
used for transportation is petroleum based. That successful in increasing mileage in the absence of
means that importing countries depend on the external threats such as giant leaps in world oil prices.
exporting countries’ good faith and on their con- Before the 1970s, most American cars were rear-
tinued willingness to supply oil at a relatively cheap wheel drive; now most are front-wheel drive, which is
price. While the United States pays some of the more energy efficient. Most modern automobile
highest prices for oil, both because domestic oil is engines are more efficient overhead cam engines.
more expensive than imported oil and because the However, much more energy could be saved by
average transportation cost is large, the price of continuing to pursue ways to decrease drag, and the
gasoline at the pump is among the lowest in the installation of advanced automatic transmissions that
world. This is mainly due to the difference in tax are controlled electronically. Other measures, some
structures among countries. partly introduced include improved fuel injection
Conservation of Energy, Overview 683
systems, improved tires, improved lubricants, and as Otto engines. (Very small fuel cells are being used
reduced engine friction. All these measures are good as an alternative to battery packs in some electronic
conservation measures because they come at no or devices.)
low cost (low cost means short payback times). The fuel cell option suffers from a lack of an
California’s quest for less-polluting cars led to infrastructure to supply the hydrogen to vehicles and
designation of quotas for lower-emission vehicles. the problem of how to carry sufficient hydrogen.
Many ideas for automobiles that run on electricity or Hydrogen is a dilute gas, and it has a very much
energy stored in high-tech epoxy-based flywheels smaller amount of energy per volume than liquid
have been proposed. The high hopes California had fuels. Possible solutions to the storage problem range
for so-called zero-emission vehicles were apparently from mixing hydrogen into borides to pressured
unwarranted, and few total electric vehicles have tanks to storage as hydrides in metal containers.
been designed or produced. There have been However, many questions still surround the storage
difficulties with battery design (conventional lead- question. Alternatively, methanol (a liquid) can be
acid automobile batteries weigh quite a lot). The chemically transformed to produce hydrogen, and
nickel-metal hydride battery is the apparent technol- this may be a more probable choice for the short
ogy of choice for electric vehicles. In addition, term. The disadvantage is the presence of carbon
battery-powered cars do not perform well at low dioxide in the exhaust stream.
ambient temperatures, so these cars are not common
outside the southwest. Another strike against bat-
tery-powered cars is the lack of charging infrastruc-
4.6 Industry
ture. And such vehicles are not really zero emission,
because gas, oil, or coal must be burned to produce Together, commercial and industrial energy uses total
the electricity used to recharge the batteries. 54.3 EJ, of which 41 EJ is industrial energy use.
California’s quest has had the effect of boosting Industry was hardest hit by rising energy prices in the
prospects for low-emission vehicles that are hybrid aftermath of the energy crises and had the largest
(combined gasoline engines and electric systems that incentive to reform. Indeed, the industrial sector has
work together). Hybrid features that save fuel saved a considerable amount of energy since then
include automatic shutdown of the engine at stops (Fig. 4 shows how the industrial sector energy use
and regenerative braking (converting the work done breaks down). Work has been done on design of
in braking into energy stored in the battery). In variable-speed motors and control mechanisms for
hybrids, the gasoline engine runs only at or near peak machines used in industrial processes. Motors are
efficiency, and excess energy recharges the batteries. much more efficient than those of a generation ago.
Since the fuel is conventional and the electric system Compressors are especially important to consider, as
recharges in use, there is no need for a special many heavy industries use compressors for many
infrastructure as is the case with pure electrics. different purposes.
Honda introduced the first commercial hybrid, the Many industries have the same opportunity as
Insight, followed quickly by Toyota with the Prius. commercial business for reduction in energy use in
Honda has begun to sell Civic hybrid models. offices—installation of newer, more efficient HVAC
Fuel cells, which are devices that combine fuel systems, replacement of ballasts for fluorescent
(ideally hydrogen) with oxygen from the air without lighting, or installation of compact fluorescents in
combustion, are expected to supply automobiles place of incandescents, and so on. Industries often
with energy in the near future. If the hydrogen were buy their electricity on a ‘‘interruptible’’ basis,
produced by electrolysis using solar energy, such a meaning that the utility can cut them off if demand
vehicle really would involve zero emission (outside from other users is high; the industry gets conces-
the water made from combining hydrogen and sional electricity rates in return. The processes can be
oxygen). Fuel cells have been used in the past for designed to result in ‘‘load leveling’’ for the utility’s
transportation, but usually liquid metal fuel cells in demand. For example, the industry can use high
buses because of the relatively high temperature of demand when the utility’s other customers are near
operation (300 to 12001C). The development of low- the low point of demand; this helps the utility by
temperature proton-exchange membrane fuel cells increasing base load slightly (base load is cheapest).
have led the auto manufacturers to engineering Many energy management control systems have been
development. These are typically 50% efficient at designed that automatically shuffle load on and off in
transforming fuel to energy, about twice as efficient response to external conditions.
684 Conservation of Energy, Overview
Agriculture 4%
Metals-based Mining 9%
durables 8%
Glass 1% Food 5%
Aluminum 2%
Cement 2% Paper 8%
Steel 6%
While much work has been done, opportunities practically all other companies can benefit. Experi-
remain for reducing industrial process energy use. In ences such as this and the success of the independent
a 1992 study concerning reduction of carbon dioxide companies colocated in Kalundborg, Denmark, in
emissions by the United States, a National Academy exchanging materials to mutual benefit have led
expert panel identified billions of dollars in savings people to speak of a new field of study they call
that would result from changing processes and industrial ecology. There is a hope that bringing
materials with the aim of lowering carbon emissions attention to these possibilities will result in grea-
(i.e., negative real cost), even in as mature an ter savings and efficiencies in the future and that
economy as was current in the United States at that companies can learn from the best practices of
time. Few of its recommendations have been other companies.
adopted, mostly, it seems because of the attitude The science of chemical catalysis, originally
that we have not done it that way in the past (in strongest in the petroleum industry, has spread to
other words, another case of inertia holding back other industrial sectors. Catalysts are chemicals that
rational change). increase reaction rates without being themselves
Opportunities remain, especially in mining tech- consumed in the process. Increases in reaction rates
nology, metals refining and working, and chemicals at low temperatures saves the application of thermal
(large subsectors from Fig. 4). In steel processing, hot energy to raise the temperature (as reaction rates
rolling of metals is being replaced by direct casting generally increase with temperature).
and rerolling in small hot strip mills as needed. Scrap Glassmaking is an industry that uses a lot of
to be melted can be preheated using furnace waste energy per kilogram of output because of the
heat, reducing overall energy use. More than 50 such necessity of melting the constituents of glass (or
energy-saving measures have been identified in the melting glass when it is recycled). New refactory
steel industry alone. materials have reduced energy use in the glass
Dow Chemical has been a leader in making waste industry at no cost.
streams into resource streams for other parts of The agricultural industry is one area where
the company or for other companies. This benefits penetration of ideas is slow; more energy conserva-
society both by reducing waste emissions and tion measures need to be implemented. Individual
reducing the impact of obtaining the resource. Dow farmers are rugged individualists and apt to think in
has experienced economic returns over 100% on many instances that any change is for the worse. One
some programs. If such a well-managed com- promising avenue is for a combination of chemical
pany can find such opportunities, it is clear that and agricultural industry to grow chemical feedstocks
Conservation of Energy, Overview 685
and to achieve ways to grow plastics in the field. For utility monopolies in the late 1800s, industrial
this to be entirely successful, negative attitudes held producers were not allowed to sell their energy
by the general public toward genetic manipulation offsite. Given the obvious advantage (two gains for
may have to be abandoned. the price of one), restrictions were first loosened after
the energy crises of the 1970s and 1980s, and then
vanished altogether. Cogeneration has become more
4.7 The Utility Industry
widespread since the 1980s. The utility typically
Utilities are large-scale users of fossil fuels. In 2000, signs a purchase agreement with the cogenerator
utilities used 42.6 EJ of mostly fossil energy, 41% of with a contracted rate schedule. The sale of
total U.S. energy use. Because they use so much electricity contributes to the seller’s bottom line.
energy, there is a built-in incentive to adopt the most The same dynamic is at work on the much smaller
energy-efficient equipment possible. While the aver- scale of the individual electric utility customer in
age 33% efficiency in transforming thermal energy the question of whether states have ‘‘net metering’’
into electrical energy seems small, it is far improved laws. Cogeneration can occur at the scale of an
from the original generators in the industry a century individual home. Customers who install solar energy
ago. Progress has generally been incremental, but the generators but remain connected to the grid for
advent of integrated gas combined cycle power backup in states without net metering can decrease
plants (known as IGCC plants) in the late 1980s their electricity costs by using ‘‘home-generated’’
and 1990s has boosted output efficiency substan- electricity in place of buying, but they cannot sell any
tially. Some combined cycle plants are operating near excess back (the utility gets it for free). In states with
60% efficiency, not far from the Carnot cycle limit. net metering, the excess electricity is bought by the
Gas turbine generators now use aircraft turbines utility (albeit at a lower rate than the customer
almost unmodified and are much higher in efficiency usually pays for electricity), in some cases leading to
than previous gas-fired turbines. reverse bills—utility payments to customers for
One way for the utility to save money is to even energy sold back that exceed the value of energy
out its demand, as referred to briefly earlier. It is to sold to the customer.
the utility’s benefit to assure that as much energy sold
as possible is base load, the cheapest energy the
utility can generate. The smaller the demand for SEE ALSO THE
high-cost peak energy, the better off the utility is. FOLLOWING ARTICLES
Therefore, utilities offer preferential rates to indus-
trial users who are willing to have their electricity Cogeneration
Conservation Measures for Energy,
shut off or radically decreased when demand spikes History of
District Heating and Cooling
Mechan-
from other users. This is known as load leveling. ical Energy
Storage of Energy, Overview
Even individual users can sign up for interruptible Thermodynamic Sciences, History of
Thermody-
rates if they are willing to allow the utilities to shut namics, Laws of
Work, Power, and Energy
them (or their largest appliances such as air condi-
tioners or water heaters) down as needed. Electronic Further Reading
devices can be installed that give the utility control
over whether the individual interruptible appliances Carnahan, W., Ford, K. W., Prosperetti, A., Rochlin, G. I.,
Rosenfeld, A., Ross, M., Rothberg, J., Seidel, G., and Socolow,
are on or off. The homeowner or business owner R. H. (eds.). (1975). ‘‘Efficient Use of Energy: The APS studies
agrees to allow the utility to shut them off as needed on the Technical Aspects of the More Efficient Use of Energy.’’
when demand for electricity is high. American Institute of Physics, New York.
Department of Energy (1995). ‘‘Buildings and Energy in the
1980s.’’ U.S. Government Printing Office, Washington, DC.
4.8 Cogeneration and Net Metering Department of Energy (1995). ‘‘Household Energy Consumption
and Expenditures, 1993.’’ U.S. Government Printing Office,
By cogeneration, we mean generation of electricity as Washington, DC.
an incidental outcome of industrial production. For Department of Energy (1997). ‘‘1995 Commercial Buildings
example, the paper industry uses a great deal of hot Energy Consumption Survey.’’ U.S. Government Printing
water, and produces the hot water in boilers. It could Office, Washington, DC.
Department of Energy (2001). ‘‘Annual Energy Review, 2000.’’
use the steam produced to run turbines and generate U.S. Government Printing Office, Washington, DC.
electricity. In the early days of electricity distribution, Interlaboratory Working Group (2000). ‘‘Scenarios for a Clean
this occurred regularly, but with the formation of Energy Future.’’ Oak Ridge National Laboratory, Oak Ridge,
686 Conservation of Energy, Overview
TN, ORNL/CON-476, Lawrence Berkeley National Labora- Policy Development Group.’’ U.S. Government Printing Office,
tory, Berkeley, CA, LBNL-44029, and National Renewable Washington, DC.
Energy Laboratory, Golden, CO, NREL/TP-620-29379. Panel on Policy Implications of Greenhouse Warming (Evans, D. J.,
International Energy Agency (2001). ‘‘Things That Go Blip in the Adams, R. M., Carrer, G. F., Cooper, R. N., Frosch, R. A., Lee, T.
Night: Standby Power and How to Limit It.’’ Organization for H., Mathews, J. T., Nordhaus, W. D., Orians, G. H., Schneider,
Economic Cooperation and Development, Paris. S. H., Strong, M., Tickell, C., Tschinkel, V. J., and Waggoner, P.
National Energy Policy Development Group (Cheney, R., Powell, E.), National Academy of Sciences (1992). ‘‘Policy Implications
C. L., O’Neill, P., Norton, G., Veneman, A. M., Evans, D. L., of Greenhouse Warming: Mitigation, Adaptation, and the
Mineta, N. Y., Abraham, S., Allbaugh, J. M., Whitman, C. T., Science Base.’’ National Academy Press, Washington, DC.
Bolten, J. B., Daniels, M. E., Lindsey, L. B., and Barrales, R.) Van Heuvelen, A., and Zou, X. (2001). Multiple representations of
(2001). ‘‘National Energy Policy: Report of the National Energy work-energy processes. Am. J. Phys. 69, 184–194.
Consumption, Energy, and
the Environment
SIMON GUY
University of Newcastle
Newcastle Upon Tyne, United Kingdom
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 687
688 Consumption, Energy, and the Environment
knowledge about buildings and how they perform in per standard unit. As Chadderton makes clear, the
order to identify promising solutions to the problem link to economics is explicit:
of energy inefficiency. The critical issue here is the
definition of ‘‘better knowledge’’ about building An energy audit of an existing building or a new
development is carried out in a similar manner to a
performance and the subsequent identification of
financial audit but it is not money that is accounted. All
problems and solutions within a scientific, or techno- energy use is monitored and regular statements are
economic, paradigm. As with other branches of prepared showing final uses, costs and energy quantities
physical science, the reactions of materials and other consumed per unit of production or per square metre of
inanimate objects are the legitimate interests of the floor area as appropriate. Weather data are used to assess
the performance of heating systems. Monthly intervals
building scientist. Like problems of rain penetration,
between audits are most practical for building use, and in
fire safety, or structural soundness, the issue of addition an annual statement can be incorporated into a
energy efficiency in buildings becomes defined as a company’s accounts.
technical problem amenable to scientific methods —D. V. Chadderton, 1991
and solutions. The belief is that proved technical
This model of rational action suggests that financial
solutions are transferable and readily applicable to and energy consumption-related decisions are compar-
other technically similar situations. Consequently,
able, and that business and domestic users alike are
the research agenda of building science is geared
self-interested, knowledgeable, and economically cal-
toward the scientific resolution of what are taken to
culative when considering energy measures. Lutzenhi-
be physical problems. Energy is no different. As
ser illustrates this in regard to business users in
Loren Lutzenhiser points out, to date, energy
particular who, skilled at marginal cost and future
management strategies have ‘‘focused almost entirely
calculations, would ‘‘only seem to need to see the
on the physical characteristics of buildings and
potential competitive economic advantage of innova-
appliances.’’ Vast sums of money have been, and tion to move towards energy efficiency.’’ Following a
continue to be, invested in scientific research to
similar logic, the development of a visible market for
identify and fulfill (at least experimentally) the
energy efficiency would, in turn, encourage domestic
technical potential for energy savings in buildings.
consumers to minimize their costs by substituting more
efficient ways of satisfying needs for energy services
such as heating, cooling, or water heating. Here, the
2. THEORIES OF
methodological presumption of building science, that
TECHNICAL CHANGE with careful monitoring and scientific control it is
possible to reproduce the technical achievements of the
Acknowledgment that an actual improvement in laboratory universally, is mirrored by an economic
buildings has not always matched growth in knowl-
logic that promises that technological potential will be
edge has led to the realization that building scientists
fulfilled in any market situation that demonstrates a
must appreciate the contribution of the life sciences.
‘‘static, intertemporal, and intergenerational Pareto
Here, the most natural fit has proved to be between
optimality.’’ Put simply, the view is that economically
building science and economic theory. Economists
rational actors, replete with the necessary technical
reinterpret social processes in terms of a market
and economic information, will consistently put
arena that neatly divides the world into separate, but science into practice. As Hinchliffe puts it, ‘‘a rational,
interlinked, domains of knowledge and action. A profit maximising man is visualised at work, at home
world of perfect information, on the one hand, and a
and at play,’’ whereas ‘‘the engineering model tends to
definable logic of (utility-maximizing) rationality, on
picture humans as optimally utilising technologies
the other hand, are posited. This confidence in the
after the fashion of their creators.’’ This epistemolo-
capacity of individual decision makers to quantify
gical coalition of building science and economics has
the benefits of energy efficiency economically is
led, internationally, to a prescriptive view of techno-
central to the technoeconomic view of technology
logical diffusion based on the twin technical and
transfer. The ability of building users literally to economic logics of proved, replicable, science and
count the costs of energy consumption will ulti- idealized consumer behavior. As Lutzenhiser suggests,
mately lead to more rational energy use. This
approach has found eloquent expression in the field As a result, a physical–technical–economic model (PTEM)
of energy economics, and the use of energy audits of consumption dominates energy analysis, particularly in
that enable the new user to cope with the complex energy demand forecasting and policy planning. The
conversion equations and calculation of energy costs behaviour of the human ‘occupants’ of buildings is seen
Consumption, Energy, and the Environment 689
as secondary to building thermodynamics and technology thus enhancing, rather than destroying, planetary
efficiencies in the PTEM, which assumes ‘typical’ consumer ecosystems and plant and animal species, including
patterns of hardware ownership and use. ourselves.’’ When such motivation arises, we are in a
—L. Lutzenhiser, 1993
position to solve the remaining barriers to the
The technoeconomic view of energy efficiency solution and to the implementation of environmen-
suggests that if technical knowledge is rigorously tal problems. The vocabulary of solution and
tested and demonstrably proved, and if ‘‘market implementation contains similarly individualized
forces’’ are not ‘‘disturbed,’’ then consumption terms: ‘‘inadequacy of knowledge,’’ ‘‘technological
choices should be taken rationally, with the ‘‘right complacency,’’ ‘‘economic denial or complacency,’’
decisions being taken by millions of individual ‘‘social morality/resistance/leadership,’’ and ‘‘politi-
consumers, both at home and in their place of cal cynicism/ideology.’’ Within this model of techni-
work.’’ The role of policymakers is clear, ‘‘to set the cal change, individuals are consistently the linchpins
background conditions and prices such that con- of effective energy-saving action. Changes in the
sumers will take decisions which are both in their level of the energy demand of the built environment
own and the national interest.’’ is seen as a process involving ‘‘thousands’’ of
individual judgments by property owners and other
decision makers. The technical, organizational, and
3. BARRIERS TO commercial complexity of energy-related decision-
ENERGY EFFICIENCY making is here replaced by an image of autonomous
actors, each free to commit themselves to a more
This way of seeing technical change is not merely a sustainable urban future. As Nigel Howard has
matter of the attitudes or perceptions of individual argued, ‘‘there are lots of decision-takers. There are
policymakers. Rather, it provides an organizational lots of people who have to be influenced, right from
logic or operating principle on which energy research government to local authorities, developers, de-
and policy proceeds. This epistemic view represents a signers, material producers, professional and trade
specific social organization of technical development bodies. They all have a role to play. And what we
and diffusion. The outcome of this view in policy have to do is try and influence all of them.’’ This way
terms is that human and financial resources are, of seeing energy views more or less ‘‘rational’’
almost exclusively, committed to demonstrating individuals as both the solution to and the cause of
continually the technical efficacy of energy-efficient energy-related environmental problems. Bewildered
innovation through regulation, the provision of by the apparent irrationality of the social world,
information about technical means to reduce energy government, commercial, and voluntary interests in
consumption, and the development of best practice energy efficiency have all committed to a technoe-
demonstration schemes. That policymakers, indus- conomic view of technology transfer, whereby
try, and nongovernmental organizations all find established, proved, scientific knowledge is impeded
consensus in this model of technological diffusion is by lack of information and/or by other nontechnical
perhaps not surprising, given its strikingly familiarity barriers. As Kersty Hobson puts it, ‘‘the drive to
in the wider world of environmental policy debates. provide individuals with information, either to
Stephen Trudgill has, approvingly, formalized the ‘create’ responsibility or to affect consumption,
technoeconomic way of seeing innovation in his underpins the choice of national policy mechanisms
formulation of the Acknowledgment, Knowledge, used to forward sustainable consumption issues.’’
Technology, Economic, Social, Political (AKTESP) We are faced here with a self-sustaining, mutually
barriers to the resolution of environmental pro- reinforcing package of beliefs spinning between the
blems. Trudgill presents an image of technological realms of technology and policy without really
innovation as a path from ignorance to enlight- belonging to either. Each element of the pervasive
enment, with the evils of social, political, and bundle, the transferability of technical knowledge,
economic reality cast as unpredictable obstacles to the individualistic theory of technical change, the
an otherwise assured technical utopia. Critically, the sequential logic of research and development, and
key to overcoming AKTESP barriers is almost the implicit distinction between the social and the
always located within individual motivations. As technical, feeds into the next, creating a web of belief
Trudgill puts it, ‘‘motivation for tackling a problem strong enough to encapsulate technical researchers
comes from our moral obligation and our self- and their project officers and elastic enough to span
interest in enhancing the resource base and its life— countries and continents.
690 Consumption, Energy, and the Environment
4. LEAPING THE BARRIERS little room in this model to view technical innova-
tions and social processes as interrelated, or to assess
By defining what is acceptable as evidence, certain how energy-efficient choices may be embedded in the
privileged methods also act to exclude other sorts of data. mundane routines of domestic life and commercial
It is in this way that certain questions remain unmasked, practice.
and certain types of evidence are ignored or dismissed as
The technoeconomic way of seeing energy effi-
invalid.
—M. Leach and R. Mearns, 1995 ciency can be contrasted with an alternative view, the
sociotechnical, which has questioned what Michael
Leach and Mearns’ observations highlight how Mulkay has termed the ‘‘standard view of science,’’ a
wide acceptance of the technoeconomic view of view that exists, already formed, outside society. In
technology transfer has hitherto marginalized ex- its place, a broad church of sociologists have
planations of technical innovation concerned with presented a revised image of science as a ‘‘socio-
the social shaping of technical change. As Thomas cultural phenomenon’’ that questions the ‘‘authority
Hilmo suggests, the notion of barriers suggests that of science,’’ locates ‘‘knowledge-claims in their social
‘‘problems are absolute’’ and that ‘‘some actors context,’’ and identifies the ‘‘relationship between
[scientists] know the truth about a problem,’’ such contexts and wider economic and political
whereas ‘‘other actors [nonscientists] do not and processes.’’ This approach to understanding science
obstruct the solutions in different ways.’’ Hence, the and technical change can be characterized by a series
role of social scientist is in turn reduced to that of of questions. Volti asks, for example, ‘‘What
market researchers, typically undertaking attitudinal accounts for the emergence of particular technolo-
surveys designed to identify the human barriers to gies? Why do they appear when they do? What sort
good energy practice that the promotional cam- of forces generate them? How is the choice of
paigns are designed to overcome. This research has technology exercised?’’ Rather than analyze the
typically been described as exploring the behavioral process of technical change internally, in terms of
or human dimensions of energy efficiency. While developments within the technology, or by reference
drawing on diverse intellectual sources from eco- to the ideas of famous scientists, inventors, and
nomic sociology to environmental psychology, such entrepreneurs, such research is interested in discover-
research shares a view of energy efficiency as the ing to what extent, and how, does the kind of society
product of a slow cascade of more or less rational we live in affect the kind of technology we produce.
individual choices. Although Stern and Aronson Or, as McKenzie and Wajcman ask, ‘‘What role does
usefully identify five archetypes of energy user (the society play in how the refrigerator got its hum, in
‘‘investor,’’ ‘‘consumer,’’ ‘‘member of a social group,’’ why the light bulb is the way it is, in why nuclear
‘‘expressor of personal values,’’ and ‘‘avoider of missiles are designed the way they are?’’
problems’’), their narrow focus on the attitudes and Questioning the notion that technological change
motivations of individual energy consumers tends to has its own logic, this way of seeing technical change
isolate and atomize the decision-making process. recognizes the wider social contexts within which
Little is heard in this research about the consumption design solutions emerge and patterns of consumption
practices of organizations, or the role of the evolve. Rather than viewing science and technology
organizational actors and groups that actually de- as asocial, nonpolitical, expert, and progressive,
sign, finance, and develop buildings. As Janda points innovation is viewed by Andrew Webster as a
out, although this approach ‘‘usefully delineates ‘‘contested terrain, an arena where differences of
differences in individuals’ attitudes, human dimen- opinion and division appear.’’ In relation to analysis
sions research does not reveal where these differences of energy problems, such research avoids individual-
originate, how they develop, or if they can be ist explanations of technological innovation (the
changed.’’ Attitudes and decisions are always shaped rational energy consumer), rejects any form of
and framed within wider social processes. Abstrac- technological determinism (technical innovation as
tion of the opinions and outlook of energy con- handmaiden to an energy-efficient economy), and,
sumers, and of design and development actors from critically, refuses to distinguish prematurely between
the contexts of production and consumption, tends technical, social, economic, and political aspects of
to isolate and freeze what are always contingent energy use. As Thomas Hughes has graphically
practices. This narrow, behavioral view of technical illustrated, in exploring the development of the
change fails to recognize the routine complexities of American electricity system, ‘‘sociological, techno-
energy-related decision making. In particular, there is scientific and economic analyses are permanently
Consumption, Energy, and the Environment 691
woven together in seamless web.’’ In this world directly with ‘‘the social contexts of individual
without seams, social groups and institutions are action.’’ As Lutzenhiser points out,
considered, alongside technological artifacts, as
While the physical–technical–economic model assumes
actors who actively fashion their world according consumption to be relatively homogenous and efficiency
to their own particular logic of social action. This to be driven by price, the empirical evidence points towards
sociotechnical analysis of energy use replaces tech- variation, non-economic motives, and the social contexts of
noeconomic descriptions of universal barriers to consumption. Economics can supply normative guides
energy-efficient innovation (apathy, ignorance, lack regarding when investments would be economically desir-
able, but it tells us little about how persons actually make
of financial interest), with analysis of the ways in economic decisions.
which the changing social organization of energy- —L. Lutzenhiser, 1993
related choices structures opportunities for more
efficient energy use. Both Lutzenhiser and Wilhite draw attention to
There are complementary methodological issues the social nature of energy consumption and the
at stake here. Bridging the theoretical gap between social dynamics of change as a form of ‘‘social load.’’
the social and technical features of energy use These social loads have peaks that drive the
demands a more qualitative research agenda. Rather dimensioning of peak energy loads. Wilhite provides
than solely relying on positivist research tools examples from his anthropological research into
such as surveys, opinion polls, and statistical lighting use in Norway. Here, home lighting is
analysis, undertaking sociotechnical research means designed not simply to provide a sufficient degree
attempting to peer over the shoulder of the actors of brightness to support basic human activity, but
making energy-related decisions by following actors rather to provide a ‘‘cozy aesthetic.’’ A dark house
through their professional and personal routines. In was described by Wilhite’s respondents as a ‘‘sad
this way, research into energy efficiency finds itself house.’’ Extra lighting fittings are always fitted and
on what Michel Callon has termed a new terrain: utilized to make sure guests feel cozy, and for social
that of ‘‘society in the making.’’ This refocuses visits on a winter evening, lights are left on in every
analysis away from pure energy questions to a wider room to provide a welcoming glow as guests arrive.
set of debates about design conventions, investment This, of course, means the use of extra energy. In his
analysis, development costs, space utilization, and study sample, Wilhite discovered an average of 11.5
market value. Idealized notions of a rational energy lights per living room. This social peak ‘‘drives the
user or best technical practice make little sense here. dimensioning of the material and energy system
Instead, the social and the technical form a network behind lighting, which based on a straightforward
of associations that serve to frame the meaning of provision of lumens would be far smaller.’’ As
energy efficiency, thereby encouraging or delimiting Wilhite argues elsewhere, ‘‘the things we use energy
opportunities for innovation over time and space, to achieve—a comfortable home, suitable lighting,
and between organizational settings. clean clothes, tasty food—have also been assumed in
models of consumption to be generic and physically
determined.’’ Wilhite goes on to argue that there is an
5. CONTEXTS OF ‘‘urgent need for the development of a more robust
CONSUMPTION theory of consumption, one which incorporates
social relations and cultural context, as well as
A significant amount of academic work has been perspectives on individual agency and social change.’’
undertaken in an attempt to put energy use into its
social context. Social psychologists and sociologists
have emphasized the importance of seeing energy 6. SOCIOTECHNICAL
problems and solutions in terms of ‘‘social systems THEORIES OF CHANGE
rather than single causes,’’ the need to design energy
systems for ‘‘adaptability as an alternative to detailed In Table I, the two broad positions outlined so far are
planning,’’ and, as Stern and Aronson argue, to treat contrasted. The effect of these analytical assumptions
energy policies and programs as forms of ‘‘social is cumulative, with a technoeconomic or socio-
experiment.’’ Reviewing this work, Lutzenhiser technical view of buildings as an artifact leading
found ‘‘a consensus in the literature’’ that to under- correspondingly to a particular way of viewing
stand the sociotechnical complexity of energy-saving energy-efficient design, energy-saving action, techni-
action, policymakers must be concerned more cal innovation, or market failure. Commitment to
692 Consumption, Energy, and the Environment
TABLE I
Ways of Viewing Energy Efficiency in Buildings
Perspective
Buildings Materially similar, physical structures Material product of competing social practices
Energy-efficient design Replicable technical solutions Outcome of conflicting sociocommercial
priorities
Energy-saving action Individual, rational decision-making in a social Socially structured, collective choices
vacuum
Technological innovation Series of isolated technical choices by ‘‘key’’ Technical change embedded within wider
decision makers sociotechnical processes
Market failure Existence of social barriers Lack of perceived sociocommercial viability
Image of energy consumers More or less rational Creative, multirational, and strategic
Role of social science research Evaluation of technical potential and the Identification of context-specific opportunities
detection of environmental attitudes and for technological innovation
nontechnical barriers
Energy policy Provision of information, granting of Forging of context-specific communities of
subsidies, and setting of regulations interest and promotion of socially viable
pathways of innovation
either a predictable linear or socially shaped diffu- way, technologies and technological practices are as
sion pathway for energy-efficient technologies frames Bijker and Law have illustrated, ‘‘built in a process of
the contribution of social science research to under- social construction and negotiation,’’ a process
standing innovation and the direction of energy driven by the shifting social, political, and commer-
policy-making. cial interests of those actors linked to technological
These competing ways of seeing energy consump- artifacts of design and use. Although the complexity
tion raise a number of research dilemmas. Commit- of buildings differs from the individual technologies
ment to a technoeconomic or sociotechnical often studied within sociological studies of science
perspective on innovation focuses attention on and technology, we can nevertheless develop a
different actors (key decision makers vs. relevant similar analytical approach. Thus, to understand
social groups), different practices (technical design buildings we must trace the characteristics of the
vs. development strategies), and different processes ‘‘actor world’’ that ‘‘shapes and supports’’ their
(technological diffusion vs. social and commercial production. Adopting this perspective would mean
change). We are seemingly faced with a series of relating the form, design, and specification of
choices over how we conceptualize the problem of buildings to the social processes that underpin their
energy consumption in buildings. As Groak suggests, development. So, although two identical buildings,
we can view buildings in terms of their physical standing side by side, may well appear physically and
attributes, as ‘‘essentially static objects’’ formed in a materially similar, investigation of their respective
relatively standardized manner from an assembly of modes of production and consumption may reveal
interconnecting construction materials. Seen this profoundly different design rationales, which in turn
way, buildings appear remarkably similar. Irrespec- might help explain variations in energy performance.
tive of geographical location, ownership patterns, or This stress on the social organization of design is
operational function, the technical character of at odds with the technoeconomic perspective that
building form appears comparatively homogeneous. emphasizes how a repertory of well-tried technical
Alternatively, we could view buildings as material solutions provides reliable precedents for designers.
products of competing social practices. This would Here, new technical challenges are seen as solvable
suggest a different analytical approach. For sociolo- by shifts in design emphasis, mirroring the march of
gists such as Bruno Latour, understanding ‘‘what scientific progress. Although the form and specifica-
machines are’’ is the same task as understanding tion of buildings may well vary spatially with climate
‘‘who the people are’’ that shape their use. Seen this and culture, the objective is always viewed as the
Consumption, Energy, and the Environment 693
same, i.e., the provision of the universal needs, are shaped by the existence of a more or less socially
shelter and comfort. Technical design is viewed as a favorable context. For a variety of reasons, con-
process of adaptation and modification to suit sumers may be unable or prefer not to use particular
changing physical circumstances. Emphasizing the technologies, or may even use technologies in
social logic of design raises a different set of unpredictable ways not envisaged in the original
questions. Rather than supporting a linear model of design. To understand this social structuring of
innovation, studies in the sociology of technical technical choice, Ruth Schwartz Cowan, in her
change have revealed the multidirectionality of the history of home heating and cooking systems in
technical design process. Rather than one preor- America, treats the consumer ‘‘as a person embedded
dained process of change, we are faced with in a network of social relations that limits and
competing pathways of innovation. Typically, Pinch controls the technological choices that she or he is
and Bijker describe the development process of a capable of making.’’ For Cowan, consumers come in
technological artifact as ‘‘an alternation of variation ‘‘many different shapes and sizes,’’ and operate in a
and selection.’’ For example, Wiebe Bijker’s study of variety of social contexts. Her analysis of the
the development of fluorescent lighting points to a introduction of cast iron stoves to replace open
range of innovation pathways that could not be hearth fires for cooking traces the interconnections
resolved by appeals to technical superiority. Instead, between stove producers and merchants, fuels
a standoff between lighting manufacturers (who suppliers and merchants, and their networks of
supported a high-efficiency daylight fluorescent influence through production, wholesale, retail, and
lamp) and electric utility companies (who, worried household domains over both urban and rural
about the effect on electricity sales, supported an consumers. This emphasis on the embedding of the
energy-intensive tint-lighting fluorescent) led to the decision maker within wider social networks focuses
introduction of a third design alternative, the high- analytical attention on the ‘‘place and time at which
intensity daylight fluorescent lamp, which combined the consumer makes choices between competing
efficiency with a high light output, thereby main- technologies.’’ This allows Cowan to unpack the
taining electricity demand. Bijker’s study illustrates ‘‘elements’’ more ‘‘determinant of choices’’ and the
how a socially optimal design was established from a technical pathways that ‘‘seemed wise to pursue’’ or
range of technically feasible possibilities through a that appeared ‘‘too dangerous to contemplate.’’ As
process of compromise between competing social Cowan points out, ‘‘today’s ‘mistake’ may have been
interests. In doing so, he highlights the ‘‘interpreta- yesterday’s ‘rational’ choice.’’ Drawing on this
tive flexibility’’ of design. We might similarly ask approach, a sociotechnical perspective on energy
how rival energy-efficient designs are valued by efficiency might identify the multiple rationalities
different members of the design and development shaping innovation and how these relate to the
process and how this process of contestation and contrasting ‘‘universe of choice’’ in which design and
compromise frames the resulting design strategies. development actors operate.
In approaching these questions, we might begin to If we begin to accept that the nature and direction
draw attention to the idealism surrounding the of technical change are subject to interpretative
technoeconomic image of enlightened, rational in- flexibility, underpinned by multiple rationalities of
dividuals motivated by a growing stock of technical context-specific choice, then we would also have to
knowledge. Although these more, or sometimes less, begin to alter our understanding of the process of
knowledgeable individuals are placed in a hierarchy technological innovation. As we have seen, the
of influence—from the key decision makers, de- technoeconomic perspective views technical change
signers, and top managers, to technicians and lower as following an almost preordained pattern of
management, to domestic consumers—their social, design, development, and diffusion. By contrast, a
spatial, or temporal situation appears of marginal sociotechnical analysis would explore why particular
importance. From a sociotechnical perspective, the technical solutions emerged at a certain time and in a
relationship between individual and context is particular place. For example, in studying the
emphasized and made fluid. Particular technical electrification of cities, David Nye illustrates how
choices are viewed as expressive of the prevailing the emergence of street lighting was less connected to
social, political, and commercial pressures operating the rational technical ordering of urban space, and
within spatially and temporally contingent contexts. more intimately linked to the need of utility
Here, technical choices are not considered to be companies to increase load and to the commercial
solely determined by knowledge or motivation, but instincts of shopkeepers keen to attract business. Nye
694 Consumption, Energy, and the Environment
suggests that ‘‘shopkeepers understood lighting as a disenfranchised from the design process.’’ Herein lies
weapon in the struggle to define the business center a key distinction. Rather than assume the intrinsic
of the city dramatizing one sector at the expense of marketability of technically proved innovations, a
others.’’ Framed this way, ‘‘electric lighting could sociotechnical approach would assess the socio-
easily be sold as a commercial investment to increase commercial viability of the artifact in varying social
the competitiveness of a business.’’ As a result, the contexts. Instead of explaining market failure in
subsequent spread of street lighting was accelerated terms of ubiquitous and timeless barriers, a socio-
as ‘‘electrification of one street quickly forced other technical analysis would seek to explain market
commercial areas to follow suit or else lose most of success or failure in situationally specific situations.
their evening customers.’’ Following this lead, a Some contexts may favor innovation, others may
sociotechnical analysis of energy efficiency would ask not. Mapping what Bijker terms the ‘‘technical
what roles were played by architects, developers, frames’’ of ‘‘socially relevant actors’’ is vital here,
governments, investors, manufacturers, retailers, and for, as Cowan points out, any one of those ‘‘groups or
consumers in fashioning innovation in building individuals acting within the context of their group
design and use. This approach would mean widening identityymay be responsible for the success or
the nature of analytical inquiry away from explicit failure of a given artefact.’’
decisions about energy efficiency studied in isolation,
to an examination of the embedding of energy-
related choices in the manufacture, distribution, and 7. CONCLUSION:
retailing of the technologies, and the commercial RETHINKING ENERGY
processes framing building design and development. CONSUMPTION
Finally, asking different questions about the
process of technical innovation may provide a
different understanding of the market success or The understanding of present and future energy use
failure of proved energy-saving technologies. Instead depends upon understanding how conventions and prac-
tices evolve over time and within and between cultures.
of characterizing nontechnical barriers as both
—Hal Wilhite, 2003
universal and timeless in nature, a sociotechnical
approach would explore the degree to which the The aim of this new agenda is not to produce
marketability of technical innovation can be identi- abstract social theory. Instead, a growing number of
fied as a socially, and temporally, contingent process. social scientists are striving to articulate a new role for
For example, Gail Cooper highlights how the social science in research and policy debates about
seemingly pervasive nature of air-conditioning sys- energy consumption and environmental change. These
tems in the United States masks a more contested researchers are exploring the heterogeneous and
story about the emergence of heating, cooling, and contested nature of consumption practices that shape
ventilating technologies. She shows how attempts by energy use. Rather than simply assuming that people
engineers to promote the most ‘‘technically rational use energy, they are analyzing how energy intersects
design,’’ which demanded sealed buildings and with everyday life through diverse and cultural
passive use, was resisted by what engineers saw as inscribed practices such as heating and cooling,
‘‘irrational users’’ who preferred mobile, plug-in air- cooking, lighting, washing, working, and entertaining.
conditioning systems that, although less efficient, To achieve this, they are drawing on methods and
provided greater flexibility and active control. As theories beyond science and economics, including
Cooper suggests, ‘‘the engineering culture that sociology, anthropology, geography, psychology, and
characterised the custom-design industry did not cultural studies, and are learning lessons from
produce the best technology, neither did the market consumption debates beyond energy and the environ-
forces that dominated the mass production industry.’’ ment, including fashion, food, and shopping.
The result is localized compromises that reflect the The scope of this research agenda takes us far
‘‘seesawing power relations surrounding the devel- beyond the technoeconomic analysis of energy
opment of air-conditioning.’’ In particular, Cooper’s consumption, which tends to be dedicated to
study underlines the contrasting image of the energy identifying the potential scope and scale of energy
consumer underpinning the technoeconomic and performance improvements in different building
sociotechnical views. Put simply, the techno- types and in different building sectors, and to the
economic ‘‘irrational user’’ is translated in the socio- setting of technically feasible CO2 abatement targets.
technical literature into a ‘‘guerrilla fighter of those It also suggests a role for social scientists much
Consumption, Energy, and the Environment 695
deeper than the forms of market research, evaluating Groak, S. (1992). ‘‘The Idea of Building: Thought and Action in
the attitudes of what are taken to be key decision the Design and Production of Buildings.’’ E & FN Spon,
London.
makers toward energy that typify research on human Guy, S., Marvin, S., and Moss, T. (2001). ‘‘Urban Infrastructure in
behavior and attitudes. In developing a sociotechnical Transition: Networks, Buildings, Plans.’’ Earthscan, London.
approach to energy consumption, the concern is more Hilmo, T. (1990). Review of barriers to a better environment.
with identifying context-specific opportunities for Geografiska 72B, 124.
inserting technically proved technologies into appro- Hinchliffe, S. (1995). Missing culture: Energy efficiency and lost
causes. Energy Policy 23(1), 93–95.
priate social practices. But rather than being led by Hobson, K. (2002). Competing discourses of sustainable con-
calculations of technical potential, the task is to seek sumption: Does the ‘rationalisation of lifestyles’ make sense?
to identify how specific social, spatial, and temporal Environ. Politics 11(2), 95–120.
configurations of energy consumption encourage, or Howard, N. (1994). Materials and energy flows. In ‘‘Cities,
mitigate against, effective energy-saving action. The Sustainability and the Construction Industry,’’ pp. 11–14.
Engineering and Physical Science Research Council, Swindon.
result is stories about the circumstances in which
Hughes, T. P. (1983). ‘‘Networks of Power: Electrification in
energy efficiency and conservation practices do or do Western Society, 1880–1930.’’ Johns Hopkins Univ. Press,
not flourish. This focus takes us far from the world of Baltimore.
building science and the paradigmatic certainties of Janda, K. (1998). ‘‘Building Change: Effects of Professional
the technoeconomic perspective, and instead reveals Culture and Organisational Context on Adopting Energy
Efficiency in Buildings.’’ Unpublished Ph.D. thesis, University
the construction of energy knowledge in varying
of California, Berkeley.
social worlds and reflects the contested nature of Latour, B. (1987). ‘‘Science in Action.’’ Milton Keynes: Open
energy consumption practices. University Press, Philadelphia.
Leach, M., and Mearns, R. (1995). ‘‘The Lie of the Land:
Challenging Received Wisdom in African Environmental
Change and Policy.’’ James Currey, London.
SEE ALSO THE Lutzenhiser, L. (1993). Social and behavioural aspects of energy
use. Annu. Rev. Energy Environ. 18, 247–289.
FOLLOWING ARTICLES Lutzenhiser, L. (1994). Innovation and organizational networks:
Barriers to energy efficiency in the US housing industry. Energy
Conservation of Energy, Overview Economics of Policy 22(10), 867–876.
Energy Efficiency Energy Efficiency and Climate McKenzie, D., and Wajcman, J. (1985). ‘‘The Social Shaping of
Technology.’’ Milton Keynes: Open Univ. Press, Philadelphia.
Change Energy Efficiency, Taxonomic Overview
Mulkay, M. (1979). ‘‘Science and the Sociology of Knowledge.’’
Obstacles to Energy Efficiency Technology Innova- George Allen and Unwin, London.
tion and Energy Vehicles and Their Powerplants: Nye, D. E. (1998). ‘‘Consuming Power: A Social History of
Energy Use and Efficiency American Energies.’’ MIT Press, Cambridge, Massachusetts.
Pinch, T., and Bijker, W. T. (1989). The social construction of facts
and artefacts: Or how the sociology of science and the sociology
of technology might benefit each other. In ‘‘The Social
Further Reading Construction of Technological Systems’’ (W. E. Bijker, T. P.
Bijker, W. E. (1995). Sociohistorical technology studies. In ‘‘Hand- Hughes, and T. Pinch, Eds.), pp. 17–50. MIT Press, Cambridge,
book of Science and Technology Studies’’ (S. Jasanoff et al., Massachusetts.
Eds.), pp. 229–256. MIT Press, Cambridge, Massachusetts. Schipper, L. (1987). Energy conservation policies in the OECD:
Bijker, W. E., and Law, J. (eds.). (1992). ‘‘Shaping Technology/ Did they make a difference? Energy Policy, December, 538–
Building Society.’’ MIT Press, Cambridge, Massachusetts. 548.
Bijker, W. E., Hughes, T. P., and Pinch, T. (eds.). (1987). ‘‘The Stern, P. C., and Aronson, E. (eds.). (1984). ‘‘Energy Use: The
Social Construction of Technological Systems.’’ MIT Press, Human Dimension.’’ W. H. Freeman, New York.
Cambridge, Massachusetts. Trudgill, S. (1990). ‘‘Barriers to a Better Environment.’’ Belhaven
Callon, M. (1987). Society in the making: The study of technology Press, London.
as a tool for sociological analysis. In ‘‘The Social Construction Volti, R. (1992). ‘‘Society and Technological Change.’’ St. Martins
of Technological Systems’’ (W. E. Bijker, T. P. Hughes, and T. Press, New York.
Pinch, Eds.), pp. 83–103. MIT Press, Cambridge, Massachusetts. Webster, A. (1991). ‘‘Science, Technology and Society.’’ Macmil-
Chadderton, D. V. (1991). ‘‘Building Services Engineering.’’ E & lan, London.
FN Spon, London. Wilhite, H. (1997). ‘‘Cultural Aspects of Consumption.’’ Paper
Cooper, G. (1998). ‘‘Air Conditioning America: Engineers and the (unpublished manuscript) presented at the ESF-TERM work-
Controlled Environment 1900–1960.’’ Johns Hopkins Univ. shop on Consumption, Everyday Life and Sustainability,
Press, Baltimore. Lancaster University, Lancaster, U.K.
Cowan, R. S. (1987). How the refrigerator got its hum. In ‘‘The Wilhite, H. (2003). What can energy efficiency policy learn from
Social Shaping of Technology’’ (D. McKenzie and J. Wajcman, thinking about sex? In ‘‘Proceedings of European Council for an
Eds.), pp. 202–218. Milton Keynes: Open Univ. Press, Energy-Efficient Economy (ECEEE),’’ pp. 331–341. ECEEE,
Philadelphia. Paris.
696 Consumption, Energy, and the Environment
Wilhite, H., and Lutzenhiser, L. (1998). Social loading More about Individual Behaviour but How Much Do We
and sustainable consumption. Adv. Consumer Res. 26, Really Know about Demand?’’ Proceedings of the American
281–287. Council for an Energy-Efficient Economy (ACEEE) 2000
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‘‘Twenty Years of Energy Demand Management: We Know Washington, D.C.
Conversion of Energy: People
and Animals
VACLAV SMIL
University of Manitoba
Winnipeg, Manitoba, Canada
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 697
698 Conversion of Energy: People and Animals
liver, and brain are the metabolically most active mately 50%; adult growth efficiencies are up to 35%
organs; in humans, these four organs account for lower. Regarding the conversion of chemical energy
slightly more than one-half of adult BMR. of food and feed to kinetic energy of working
Max Kleiber pioneered the systematic study of muscles, it has been known since the late 19th
mammalian BMR during the 1930s, and in 1961 he century that its peak efficiency is slightly more than
concluded that dependence of this rate (expressed in 20%.
watts) on total body weight (mass in kilograms) is The first fairly accurate estimates of animate
best expressed as 3.4 m0.75 (the exponent would be power were made in 1699 when Guillaume Amon-
0.67 if BMR were a direct function of body surface tons studied the effort of French glass polishers. In
area). Kleiber’s famous mouse-to-elephant line be- 1782, James Watt calculated that a mill horse works
came one of the most important and best known at a rate of 32,400 foot-pounds per minute, and the
generalizations in bioenergetics (Fig. 2). Closer ex- next year he rounded this figure to 33,000 foot-
amination of available BMRs shows slightly different pounds, making 1 horsepower equivalent to
slopes for several mammalian orders, and individual 745.7 W. By 1800, it was known, correctly, that the
outliers illustrate genetic peculiarities and environ- power of useful human labor ranges from less than
mental adaptation. For example, cattle have a 70 to slightly more than 100 W for most steadily
relatively high BMR, requiring more feed per unit working adults. This means that when working at
of body weight gain than would be expected based 75 W, 10 men were needed to equal the power of a
on their mass, whereas the relatively low BMR of good horse for tasks in which either of these animate
pigs makes them efficient converters of feed to meat prime movers could be used.
and fat. Various explanations of the three-fourths
slopes have been offered in the biological literature,
but the definitive solution remains elusive. 2. HUMAN ENERGETICS
In order to obtain total energy requirements,
BMRs must be increased by energy needs for growth Healthy people fed balanced diets can convert
and activity. Conversion efficiency of growth de- chemical energy in the three basic classes of nutrients
pends on the share of newly stored proteins (which with high efficiency: 99% for carbohydrates, 95%
are always more costly to synthesize than lipids) and for lipids, and 92% for proteins (however, more than
on age (efficiencies range from more than 40% 20% of dietary protein is lost daily through urine).
during postnatal growth to well below 10% for With the exception of people engaged in very heavy
mature adults). In humans, the average food energy work or in strenuous and prolonged exercise, most of
need is approximately 21 kJ/g of new body mass in the digested energy is used to satisfy the basic
infants, equal to a conversion efficiency of approxi- metabolic needs. Much BMR and REE data have
been acquired mostly by measuring oxygen con-
sumption, which can be easily converted into energy
104 equivalents: One liter of O2 equals 21.l kJ/g of starch,
Elephant 19.6 kJ/g of lipids, and 19.3 kJ/g of protein.
103 The relationship between BMR and body size can
Basal metabolic rate (W)
2000
Males
widespread use, and two convenient methods allow
30−60 nonintrusive measurement of energy expenditures.
Males The first, developed in the mid-1950s, has been
10−18
used in humans since the mid-1980s: It monitors
1500
exponential losses of the doubly labeled water
(marked with stable heavy isotopes of 2H and 18O)
BMR (kcal/day)
Males Females
3−10 30−60
drunk by subjects during a period of 1 to 2 weeks.
1000 When the two heavy isotopes are washed out of the
body and replaced with dominant 1H and 16O, loss
of deuterium is a measure of water flux and the
elimination of 18O indicates not only the water loss
500 Males
0−3 but also the flux of CO2, a key final product of
metabolism, in the expired air. The difference
between the washout rates of the two isotopes can
0 be used to determine energy expenditure over a
0 10 20 30 40 50 60 70 80 90
period of time by using standard indirect calorimetric
Body weight (kg) calculations. The other technique involves continu-
ous monitoring of heart rate and its conversion to
FIGURE 3 Linear predictions of basal metabolic rate (BMR) energy expenditure by using calibrations predeter-
based on equations recommended by FAO/WHO/UNU.
mined by a laboratory respirometry.
FIGURE 4 Men powering large treadwheels depicted in Agricola’s famous ‘‘De re Metallica’’ (1556).
Activities requiring moderate (up to five times the 20% it amounts to 80–100 W of useful work.
REE), and sometimes even heavy (up to seven times Untrained individuals have a metabolic scope (the
the REE), exertion are now common only in multiple of their BMR) no higher than 10; for active
traditional farming (ploughing with animals, hand individuals and laborers habituated to hard work,
weeding, and cleaning of irrigation canals are metabolic scope is higher than 15, and for elite
particularly taxing), forestry, and fishing. From the endurance athletes (none being better than Nordic
consensus meeting organized by the FAO, the World skiers and African long-distance runners) the peak
Health Organization, and the United Nations Uni- aerobic power can be 25 times their BMR or more
versity PALs of 1.55 for males and 1.56 for females than 2 kW. Among all mammals, only canids have
were determined to be the average daily energy higher metabolic scopes. Limits of human perfor-
requirements of adults whose occupations require mance are variable. In total energy terms, peak
light exertions; PALs of 1.64 for females and 1.78 for aerobic capacities are l.5–3.5 MJ for healthy adults,
males engaged in moderately demanding work and higher than 10 MJ for good athletes, and peak at an
1.82 for females and 2.1 for males with jobs astonishing 45 MJ. Both glycogen and fat are the
demanding heavy exertions were chosen. substrates of oxidative metabolism, with lipids
A great deal of experimental work has been contributing up to 70% during prolonged activities.
performed to determine the limits of human perfor- Overall energy conversion efficiency of aerobic
mance. Tiny amount of ATP stored in muscles metabolism is 16–20%, whereas anaerobic conver-
(5 mmol/kg of wet tissue) can be converted to just sion is less efficient (10–13%). The most efficient,
4.2 kJ, enough to energize contractions for less than albeit clearly demeaning and stressful, way of using
1 s of maximal effort. Replenishment through the people as prime movers in preindustrial societies was
breakdown of phosphocreatine can add a total of to put them inside (or outside of) treadwheels (Fig. 4).
17–38 kJ, enough to support a few seconds of Their operation deployed the body’s largest back and
intensive exertion. Maximum metabolic power leg muscles to do tasks ranging from lifting loads at
achievable in such ephemeral outbursts is large— construction sites and harbors to operating textile
3.5–8.5 kW for a typical Western man and as much machinery. The most efficient use of humans as
as 12.5 kW for a trained individual. Longer exer- modern prime movers is in cycling. Bursts of 1 kW are
tions, lasting 30 s to 3 min, can be energized by possible for a few seconds while pedaling, and rates
muscular glycogen. Maximum power of this anae- of 300–400 W can be sustained for up to 10 min.
robic glycolysis is 1.8–3.3 kW for average men. All
prolonged efforts are powered primarily by aerobic
metabolism, with higher energy demands requiring 4. WORKING ANIMALS
linear increases in pulmonary ventilation.
Healthy adults tolerate many hours of work at Domesticated animals, mainly bovines (cattle and
40–50% of their maximum aerobic capacity. This water buffalo) and equines (horses, ponies, mules,
translates into 400–500 W for most adult men, and and donkeys), have been the most powerful and
with typical kinetic efficiencies of approximately highly versatile providers of draft power since the
702 Conversion of Energy: People and Animals
Draft (kg)
600 50
(particularly in forestry operations), several Eurasian
Power (W)
circumpolar cultures relied on reindeer as pack
40
animals, and in preindustrial Europe dogs turned
spits over kitchen fires or pulled small carts or 400
Oxen
Water
buffaloes 30
wheelbarrows. In the Western world, the use of draft
animals continued for several decades after the
20
introduction of internal combustion engines and 200
electric motors at the end of the 19th century, and Donkeys
Fitted, and later also padded, collar harnesses to Europe from China during the 17th century, and
provided a desirably low traction angle and allowed cast iron shares were replaced with smooth, curved
for the deployment of powerful breast and shoulder steel ploughshares by the mid-19th century during
muscles without any restriction on the animal’s the rise of the modern steel industry. Horses then
breathing (Fig. 7). Its precursor was first documented became the principal energizers of the world’s largest
in China in the 5th century of the CE, and an extension of arable land that took place on the plains
improved version spread to Europe just before the and prairies of North America, pampas of Argentina,
end of the first millennium. Another important and grasslands of Australia and southern Russia
innovation in harnessing was swingletrees attached during the latter half of the 19th and the first half of
to traces in order to equalize the strain resulting from the 20th century.
uneven pulling: Their use made it possible to harness The heaviest horse breeds—French Percherons,
an even or odd number of animals. Iron horseshoes English Shires, and German Rheinlanders—could
prevented excessive wear of hooves and they also work briefly at rates of more than 2 kW (approxi-
improved traction. mately 3 horsepower), and they could steadily deliver
However, collars and horseshoes alone could not 800–1000 W. Feed requirements of these animals
guarantee the widespread use of horses: Only larger were high, but their net energy benefit was indis-
and better fed horses proved to be superior draft putable: A horse eating 4 kg of oats per day
animals. The body mass, and hence power, of preempted cultivation of food grain that would have
European draft horses began to increase only after fed approximately 6 adults, but its power could
the working stock benefited from several centuries of supplant that of at least 10 strong men. Larger and
breeding heavy war animals needed to carry armored better fed horses also provided essential traction
knights. However, these more powerful horses during the initial stages of industrialization, power-
needed at least some cereal or legume grains, not ing road and canal transport, turning whims in
just grasses fed to weaker animals and cattle. mining, and performing tasks in food processing and
Production of concentrate feed required intensifica- in numerous manufactures. In most of these tasks,
tion of farming in order to provide yields high they were displaced by steam engines before the mid-
enough for both people and animals. Agricultural 19th century, but even as the railways were taking
intensification was a slow process, and it first began over long-distance transport, horse-drawn carts,
in northwestern Europe during the late 18th century. trucks, and streetcars continued to move people
Even larger horses were taxed when pulling and goods in all rapidly growing cities of the late
wooden ploughs, whose heavy soles, wheels, and 19th century. Only the diffusion of internal combus-
moldboards generated enormous friction, particu- tion engines and electric motors ended the use of
larly in wet soils. Moreover, the absence of a smooth, horses as urban prime movers.
curved fitting between the share and the flat mold- However, in fieldwork, horses remained important
board caused constant clogging by compressed soil well into the 20th century. Obviously, their largest
and weeds. Iron moldboard ploughs were introduced numbers were supported where abundant farmland
made it easy to produce the requisite feed. The total
number of farm horses (and mules) peaked at 21
Hame million animals in 1919 in the United States, when at
Back band least 20% of the country’s farmland was needed to
cultivate their feed. Subsequent mass adoption of
Bit tractors and self-propelled field machines was in-
Rein evitable: Even small tractor engines could replace at
least 10 horses and needed no farmland for support.
The U.S. Department of Agriculture discontinued its
Collar
count of draft animals in 1960, when approximately
Belly band Trace 3 million working horses were still left on American
farms. However, in China, the total number of draft
horses continued to increase even after 1980, when
the country began its economic modernization.
Horses, as well as water buffaloes, yaks, camels,
and donkeys, remain important draft and pack
FIGURE 7 Basic parts of the collar harness. animals in parts of Asia and Africa.
Conversion of Energy: People and Animals 705
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 707
708 Corporate Environmental Strategy
This massive set of changes in corporate behavior Instead, CES is an evolving practitioner concept
was first motivated by the need to extinguish both that is defined by corporate practice and function
legal and public liabilities of the major multinationals, and has been implemented directly by thousands of
after the tragic accident at Bhopal and the highly companies since Bhopal.
visible oil spill of the Exxon Valdez. Later in the 21st There are at least three competing forms of CES.
century, CES took on a more ‘‘proactive’’ or ‘‘sustain- These are as follows: grudging compliance by
able value creation’’ thrust, as described in this article. companies with regulatory requirements while seek-
Classic post-Bhopal examples of CES include the ing to turn a profit; going beyond regulations and
following: standards while developing products that have
market value and demand but are also environmen-
1. Honda’s and Toyota’s development of the
tally sound; a mix of the first two––namely, the
hybrid powertrain automobile that uses an electric
combination of willing compliance with innovation
battery recharged by braking and the conventional
in the market.
combustion engine.
Whereas most leadership councils felt in practice
2. British Petroleum’s (BP’s) and Shell’s invest-
that the third mix was the best, some firms pursued
ments in solar power and their ‘‘beyond petroleum’’
the purity of the first two strategies into the new
campaigns of the late 20th century.
century. Then, market pressures, after the Enron and
3. A range of high-efficiency appliances from
WorldCom scandals, encouraged the attention of
Whirlpool and Electrolux that go beyond regulatory
corporate leaders on governance reforms and Sar-
requirements.
banes Oxley laws upgrading management systems,
By 2003, CES was a visible and stated corporate corporate reporting, and the overall transparency of
strategy and management goal for many multi- modern corporate reporting.
national corporations. Some suggest that CES During the first decade of the 21st century, these
became a stated mantra of the Fortune 500; others corporate reforms became attached to CES in
believe it was spotty in the top companies across the complex and still to be studied ways.
globe. In either case, CES began to have clout in Many attempts were made in the l990s and the
leadership councils and began to tie together energy new century to differentiate the essential or shared
conservation, materials savings in product design, ingredients of CES, but most firms found that ‘‘one
and the classical environmental regulatory elements. size does not fit all,’’ as CES applications range
The core innovations in CES in the last decade of widely from the mining and extractive industries
the 20th century occurred in the heavy industries, (where the cost of energy is the focus), to automotive
such as petroleum refining, where firms such as Shell and petrochemical firms (where efficiency is often the
and BP competed on lessening their environmental key), to consumer-based firms (where firms such as
footprint to attract new partners and new investment Avon, Coca Cola, and Nike began to compete on
capital. elements of corporate social responsibility that are
CES also spilled rapidly into the chemical in- based on environmental strategies). As a result, what
dustry, where firms such as DuPont, Celanese AG, is shared is the approach, some tools and metrics,
and Dow offered new products, such as water-based and general direction. Yet there is tremendous
emulsions. variance in results.
For example, CES has become a rallying term that
often appears all too inclusive. In fact, sometimes
CES seems, in sloppy parlance, a surrogate for classic
2. BEYOND COMPLIANCE business strategy and simply another way to make
INITIATIVES money by serving changing customer expectations.
Some view it as a tool to measure emerging issues,
Competition in domestic and international markets where Intel or Hewlett Packard may use CES tools to
and legal requirements led to the rapid development track how their core customers are looking at new
of CES in the late l990s. The approaches signified by environmental risks in the metals and plastics used in
this concept are not academic in nature and were not, computer and information technology systems.
on the whole, developed by academia, which in the Some corporations view CES as a tool for new
l990s spent much of its intellectual energy developing product positioning, so that Rohm and Haas and
concepts in sustainable development, industrial Celanese AG are building emulsions plants in Asia
ecology, and alternative energy. that bypass the usual environmental legacy questions
Corporate Environmental Strategy 709
from traditional manufacturing of adhesives. Others enhance its needs for rapid cycle time reductions, and
see CES as a pathway whereby a firm can achieve marketing-based firms such as Nike and Proctor &
near-term shareholder value through corporate re- Gamble set up CES goals for reasons of basic product
sponsibility. differentiation. In the end, CES began as a means of
It is precisely because of this significant variance improving corporate bottom lines through cost
of results that the history and the readiness of firms containment and new product opportunity programs.
to use the term CES have been at best checkered since If one were to estimate the degree of penetration
Bhopal. of CES into corporate boardrooms, it kept its stigma
as being an added cost, or what some have referred
to as a ‘‘bag on the side of corporate strategy,’’ for
many years after Bhopal. Although the diligent and
3. MAKING THE BUSINESS CASE deliberate attempt to lessen a firm’s environmental
FOR SUSTAINABLE DEVELOPMENT liabilities is a prime force behind CES, the relentless
thirst for profit has proven a more reliable and less
By 2003, a number of advantages to CES were being distracting guide in the new thinking regarding CES.
investigated and documented by the management The list of four key elements and goals of CES can be
consulting profession and by groups such as the thought of as the turning point from the old century
Global Environmental Management Initiative thinking into the new century, where the pressures
(GEMI) and the Conference Board. These advan- for sustainable product mixes and policies became
tages serve to explain why a firm would invest in far more palpable.
efforts to move it beyond basic legal compliance with A firm can achieve CES by a sequence of related
all laws. efforts, including the following:
Competitive advantages gained by environmental
1. Make environmental management a business
strategies include the following:
issue that complements the overall business strategy.
1. Margin improvement––seeking cost savings at 2. Change environmental communication within
every stage of the product life cycle through more the company to use traditional business terms that
efficient use of labor, energy, and material resources. reflect business logic and priorities.
2. Rapid cycle time––reducing time to market by 3. Adopt metrics to measure the real costs and
considering environmental issues as part of the business benefits of the environmental management
concurrent engineering process during the early program.
stages of design. 4. Embed environmental management into opera-
3. Market access––developing global products tions, similar to the successful design-for-environ-
that are environmentally ‘‘preferable’’ and meet mental models (here, environmental footprint
international ecolabeling standards in Europe, Japan, reduction elements are entered into the equation at
and other regions. the product design stage).
4. Product differentiation––introducing distinctive 5. Radically change the job descriptions and
environmental benefits, such as energy efficiency or compensation of environmental managers––and line
ease of disassembly, that may sway a purchase managers––to reflect the realities of doing business.
decision.
Others answered the question of how a firm
CES is the blend of classical environmental
would begin to move beyond compliance by pointing
regulatory compliance matters with these new
to the cost and administrative inconvenience of
strategic dimensions and elements. CES, at its best,
penalties and fines. The classic and more vivid
is an integral input in the creation of business
example is the demise of Union Carbide, and its
strategy, product selection, and a corporation’s
eventual purchase by Dow, after Bhopal, a tragic
public affairs and reporting under Sarbanes Oxley,
accident that killed over 2700 people in Bhopal,
and related laws of disclosure both before the U.S.
India. Lessons from Union Carbide for practitioners
Securities and Exchange Commission and before the
of improving environmental management systems,
investment community.
under the rubric of CES, include this summary of
From l985 to 2003, different firms excelled in
Union Carbide’s major changes after Bhopal:
these four highlighted attributes: margin improve-
ment, rapid cycle time, product differentiation, and 1. An intricate classification scheme of standards,
market access. Intel was motivated to pursue CES to regulations, and audits, which allows executives more
710 Corporate Environmental Strategy
insight into the firm’s liabilities, priorities, and high- ronmental problem, but instead taking a more strate-
risk areas. Technical staff functions of regulatory gic approach; and finally, the regulatory remedy, which
compliance can then be linked to the legal depart- moves beyond simple regulatory compliance to a level
ment’s liability containment measures and strategies. of strategy that allows a company to stay ahead.
2. A large database of audit findings statistically Some feel that without law there would be no
amenable to analysis. From this corporate base, corporate environmentalism, and yet there are those
executives from different divisions compete for that stood at the forefront of an issue, pushing it to
capital resources on more exact terms. Its size and become law. These leaders from industry, academia,
consistency make it a management tool of consider- government, and the environmental movement are
able consequence. leading CES more than the law is, and for a company
3. A systematic monitoring and control program, to find success through CES, it must stay well ahead
more reliable than the traditional environmental, with those leaders, not lagging behind with the laws.
health, and safety systems. For instance, Union The law is functional and offers a glimpse at a
Carbide’s worldwide computer program prioritizes company’s next step, but this is not strategy.
risk at its 1200 facilities worldwide and assists senior The money remedy does not translate, as some
management with its growth or phase-down plans. might believe, to throwing money away, the way
4. New management tools, based on the audit some companies have done. It is about information
system, provide quality assurance and executive management, including audit information, environ-
reassurance that the company’s environmental prac- mental liability and insurance information, product
tices do not violate the law or threaten human health selection, announcement, and positioning informa-
or the environment. Nationwide, more than 200 tion, stockholder and stakeholder information, new
executives have served jail time for environmental and international market information, regulatory
crimes. This executive assurance program––devel- and government liaison information, technical in-
oped for Union Carbide by A. D. Little––helps senior formation, legal information, and strategic and
management feel ‘‘in touch’’ with the firm’s liabilities, financial information. Without the full integration
compliance issues, and long-term viability. of these nine types of information, the amount of
money invested in them will not matter.
Other recognized drivers in corporate behavior for
Finally, there is the regulatory remedy, which can
corporate environmental strategy included Superfund
be seen in companies who have begun mass
Authorization and Reform Act (SARA) Title III, which
disclosure measures to create corporate transparency,
put public pressure on companies by requiring dis-
well beyond simple regulatory compliance. Strategy
closures on chemical stockpiles, warehouses, and such,
here allows leaders to stay ahead of environmental
and the Chemical Manufacturers Association’s respon-
issues and avoid the old way of constantly cleaning
sible care initiative, which outlined a code of behavior.
up past mistakes; both company executives and the
The disruption caused by the Union Carbide
public are able to see the company’s liabilities and
accident spurred the above regulations and conduct
assets more easily. This also creates an environment
codes throughout the industry. The public lost faith
of corporate trust for the public.
in the industry and the negative opinion polls
These three remedies together can create a
increased. Corporate environmental strategy is, in
strategic advantage for companies willing to make
part, a response to the negative public image and
the effort of changing ‘‘business as usual.’’ Table I
public concerns about environmental, health, and
outlines a list of five elements of success in shifting
safety performance.
corporate culture.
Table I was based on a survey by the author’s firm
of over l50 companies of the Fortune 500. Whereas
4. RELATING CORPORATE the five corporate change elements noted above are
ENVIRONMENTAL STRATEGY TO quite inclusive, and extend well beyond what lawyers
CORPORATE CHANGE INITIATIVES or engineers in a firm would normally consider
environmental management, they do capture the
There are several options that, ultimately, must be ‘‘strategic’’ or management and leadership council
integrated when attempting to realize a change in feel of CES in practice.
corporate culture: the legal remedy, which is necessary Without a doubt, the actual benefits of CES are
to spur on the slow movers; the money remedy, which most often kept quite confidential, as they are close
does not mean blindly throwing money at an envi- enough to the heart of a corporation’s business
Corporate Environmental Strategy 711
strategy, when they are functional and not based on disciplines that run a firm. As a result, CES functions
public relations, that they are kept close to the chest are often perceived as being of secondary or tertiary
of the leading executives in a firm. This makes it importance in many firms.
difficult for scholars in the field to do much in their
diagnostics except case studies and retrospective
summaries of these elements of success. 6. RELATING CES TO PRODUCT
INNOVATION AND STRATEGY
In the pursuit of superior cars, electronic products,
5. HOW CES FITS INTO A NORMAL
and computing, several leading multinational cor-
CORPORATE STRUCTURE porations began in the last quarter of the 20th
century to tie CES to their product strategy. Leaders
After Bhopal and the Exxon Valdez spill, it became such as Toyota and Honda are classic examples in the
clear that environmental management was not automotive industry, as are Shell and BP in the
sufficiently integrated into normal business func- petroleum sector.
tions, reviews, and organizations. A l991 survey, seen Those firms that had successfully integrated CES
in Fig. 1, revealed some interested gaps. What the into their normal business functions by the new
study indicated, as it was replicated for different century shared a common set of attributes. These
firms over subsequent years, is that there is no attributes are described below as ‘‘generic’’ elements
natural or ultimate home for CES in an organization. of allowing CES to be elevated within a corporate
Depending on the firm, it might be centered in the setting, as they often depend on organizational
legal, risk reduction, or regulatory divisions of a firm. dynamics or a unique set of executive interests and
But consistently, most firms feel there is a wall needs. These organizational elements of CES involve
between these CES functions and the financial ‘‘action plans’’ or goals, such as the following:
TABLE I 1. A role for strategic recognition including
Elements of Success in Shifting Corporate Culture mission statements and performance reviews.
2. A role for changes in staff, title, and functions
1. Role for strategic recognition: where chief environmental officers and their staff
Including mission statements and performance reviews become more visible and respected in corporate
2. Role for changes in staff: organizations.
Title and function 3. Adaptations in conventional management
3. Adaptations in conventional management tools: tools, such as audits or return-on-investment equa-
Such as audits or return-on-investment equations tions.
4. Increasing role for external strategies: 4. An increasing role for external strategies, such
Such as community relations and voluntary disclosure as community relations and voluntary disclosure
5. The unexpected role for strategic alliances efforts.
5. In some of the more curious and interesting
developments, CES also involved the unexpected role
of strategic alliances, where past enemies meet.
President
to change the game. In a small set of successful Figure 2 sums up these evolving links between CES
corporations, this involved the integration of ‘‘new and product development.
rules’’ with the ever-changing game of strategy, When multinational firms such as Toyota, Honda,
product positioning, and product reformulation. Electrolux, and Whirlpool began making claims
Evidence of such ‘‘radical’’ or ‘‘incremental’’ changes before the investment community that their efforts
became hotly debated with GEMI companies, for in corporate environmental strategy were paying off,
example. In the new century, GEMI extended its the new emphasis on linking CES to product
sunset clause and allowed its continued existence in development and differentiation began to be in vogue.
order to provide a range of companies with these
stated requirements in their membership rules.
GEMI companies must reach toward corporate 8. SOCIAL RESPONSE
environmental strategy:
PRODUCT DEVELOPMENT
*
By sharpening existing tools and measurement Historians of business know that vogue is an element
systems to help managers refine and enhance their of consequence, as evidenced by the passion for Six
environmental performance; Sigma tools that General Electric brought to firms as
*
By popularizing to the press and the public the different as 3M, Dow, and Celanese AG. This new
belief that corporations have a role in the search product-based vogue for CES enabled a more rapid
for environmental excellence, both domestically embrace of CES in select companies, as illustrated in
and internationally; Fig. 3.
*
By explaining how knowledge from certain ‘‘Social response’’ (i.e., incorporating the sustain-
business sectors can be shared, coordinated, and ability dimension) product development means that
then adapted across different industrial sectors instead of manufacturing products solely in response
and nations;
*
By asserting boldly that environmental strategy
involves more than regulatory compliance. Price
most product development models Variable
engage only price and technical performance A
(engineering matrices)
Technical Performance
7. THE NEW URGENCY FOR CES however, since Bhopal, some firms include
a third dimension (variable) in their
Variable
B
AFTER CLIMATE CHANGE product calculations
new efforts have begun to add an elevated level of FIGURE 2 Social response product development.
urgency to corporate environmental strategy.
Whereas the Bhopal and Valdez tragedies may
s
have precipitated the birth of CES, global environ- ple
xam
mental concerns, such as water shortages in China, ge
gin
er
the energy crisis and electricity grid problems in the em
rm
northeastern United States, and especially the com- ar
-te • Cargill Dow’s
Significant and compelling Ne venture with
plexities surrounding the economic impacts and costs polylactide through
• Toyota’s pursuit of hybrid raw materials sourcing
of climate change, have begun to add a new turn-of- powertrains
• DuPont Canada’s
the-century urgency to the debates over CES. Early and recognized • Coordinates head of sales,
customer solution in
law and manufacturers in a
By 2003, CES began to help firms link price, • CIBA’s market in guiding coalition automotive finishes
bireactive dyes • Involves strategic alliances
technical performance, and social response product with GM and supplies to
• DuPont’s solution
dyed nylon
• Electrolux’s “Green
development. In other words, conventional business Range” products through improve efficiency of SUVs
• HP’s e-inclusion
R&D and new metrics through 2010
tools focusing on competitive price and product • Lifts the knowledge floor strategies to bridge
• BP’s highly publicized past battles over CAFE and developing world’s
strategies, in some instances, began to notice the pursuit of solar and Clean Air medical and resource
needs through
appeal of shaping or reformulating products relative hydrogen product lines
adapted IT systems
to external energy and environmental threats, such as (1.2B of 82B firm)
limitations in water supply, spiking energy costs, or FIGURE 3 Defining social response product development
climate change and other carbon-related challenges. through select examples.
Corporate Environmental Strategy 713
to consumer preferences as discerned and measured preferences, thereby boosting sales and profits. The
by price and technical performance through market winning firm will fashion a corporate strategy that
research methodologies, companies restructure their drives automobile emissions to near zero while
operations to actively shape market desires by simultaneously providing high levels of performance,
creating new products such as Toyota’s and Honda’s safety, and comfort.
hybrid cars. The model of social response product development
Although such efforts are logically supported by as a CES strategy is built on four dimensions, like the
new manufacturing, quality control, and resource structure of a house: knowledge depth––the ever-
management techniques, what is new is that they growing basement; knowledge durability––the ex-
bridge the gap between traditional expectations of panding sides; knowledge dependence––the ceiling of
performance, safety, and environmental responsibility. use; knowledge floors––the ground base. The break-
Such expanded product development models allow a through at Toyota was recognizing that new technol-
more sustainable value creation at present and ogies mean that a new knowledge floor can be laid,
through the coming decades. Social response product one that makes it possible to meet all consumer
development also allows product differentiation in expectations of performance, safety, and environment
mature product lines in a fashion that attracts new (fuel efficiency, emissions, resource efficiency, alter-
capital and new forms of partnering. Examples here native fuels) without the tradeoffs previously required.
include Toyota, BP, Shell, and DuPont. A sustainable Toyota and Honda have used a new form of CES
value approach, based on this kind of product to change the rules of the game by leveraging their
differentiation and development, supports all other knowledge depth to introduce superior new cars,
actions in the company. Examples of social response such as the four-door, five-passenger Prius. The Prius
approaches include the following: achieves fuel efficiency rates of 55 miles per
gallon (mpg), twice the regulated corporate average
*
From 1996 to 2001, Anheuser-Busch established a fleet requirement. The move to hybrid cars––those
multiyear annual ‘‘Pledge and Promise’’ staff and that can run on multiple fuels, most commonly,
stakeholder retreat to award eco-innovation gasoline and electricity––will be understood as truly
teams. The retreat includes presidents and chief exceptional when the realization sinks in how
executive officers of key Anheuser-Busch absolutely ordinary it will make the hundreds of
stakeholder groups as external judges to select top millions of cars now littering the current knowledge
five sustainable value leaders each year. floor. This floor––containing everything from gas-
*
From 1998 to 2002, British Petroleum established a guzzling sport utility vehicles and commercial trucks
multiyear technical task force to identify, select, and to Europe’s newest smart cars that are still dependent
finance sustainable value product lines and plans. on the 100-year-old combustion engine––has been
permanently superseded.
Social response product development shapes how
Some firsts of the Toyota Prius include the
executives approach their task of accomplishing
following:
seemingly disparate goals. In chemicals, in high-
performance plastics, and in new markets for cars
1. The Prius has been designed to be recycled.
and computers, social response product development
Although this is most relevant to Japanese and
delivers both resource efficiency and customer-
European consumers, it does highlight how for-
demanded performance. As an example of social
ward-thinking Toyota has become. The amount of
response product development being used as a CES
waste avoided through this redesign is staggering,
strategy, Toyota’s search for a superior automobile is
separating Toyota from General Motors, Ford, and
explored.
DaimlerChrysler.
2. At 2003 gas prices, the average North Amer-
ican would save at least $1/day, or a total exceeding
9. CASE EXAMPLE OF CES $360, at the pump by driving a Prius rather than a
IN PRACTICE typical compact sedan.
3. Consumers will enjoy the convenience of
In this new century, there is considerable pressure on driving 600 miles between fill-ups.
the top six automakers to reduce their environmental 4. The American version of the Prius has a battery
footprint. The automaker that wins the race to build pack with 20% more power than the Japanese
and sell the superior car will shape consumer equivalent, yet weighs 20% less.
714 Corporate Environmental Strategy
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 715
716 Cost–Benefit Analysis Applied to Energy
3. RATIONALE FOR COST–BENEFIT will not reflect the true cost to society of generating it.
ANALYSIS APPLIED TO ENERGY In this case, more energy will be generated and more
of the environmental asset depleted than is in the best
The need for CBA applied to energy results from the interest of society. When a cost is imposed on those
existence of market failure. If there were no market other than the person or business that produces the
failure and all energy suppliers were privately owned, cost, this is known as an external cost. Of course,
there would be no need for CBAs of energy projects many energy projects will reduce such externalities,
and policies. If market signals were appropriate, such as through renewable energy sources and
those activities and projects that are in the best improved heating and insulation systems.
interests of society would be implemented automati- When assessing the social efficiency of energy
cally and financial analyses by firms would simply activities using CBA, it is necessary to include these
replace any need for CBAs. However, the market does externalities and other wider societal impacts. How-
not work perfectly. Market failure necessitates CBA ever, because by definition such costs and benefits are
of energy projects, policies, and activities as a result not traded in markets, there is no price to reflect their
of the existence of externalities, the associated need value. This provides the basis for the tools of
for environmental policy instruments, state owner- environmental valuation.
ship of energy generation and supply, assessment of
sustainability, and ‘‘green’’ national accounting.
3.2 Calibration of Environmental
Policy Instruments
3.1 Energy Externalities
Unless some mechanism is found to internalize these
One of the most significant areas of environmental externalities, they will cause a misuse of society’s
concern today relates to the environmental impacts scarce resources. This provides the basis for govern-
of energy generation from fossil fuels, particularly ment intervention in the market. The notion of exter-
acidification precursors, greenhouse gases, and loca- nalities was addressed by economists as far back as
lized air quality impacts. Much of these emissions the 1930s. Pollution was seen as the consequence of
result from power generation and the transport an absence of prices for scarce environmental
sector. These environmental impacts occur at local, resources and so the prescription for solving the
national, regional, and global levels. problem was to introduce a set of surrogate prices
The environment can be defined as those parts of using environmental (Pigouvian) taxes and charges.
our physical and psychological endowment that we A large literature has developed on these so-called
somehow share, which are ‘‘open access.’’ An market-based instruments. One of the more con-
economic analysis shows that it is precisely this troversial concepts in environmental economics is
shared nature of many environmental endowments that there is an optimal level of pollution. Pollution
that threatens their quality and character. In a market is usually the by-product of a useful activity, such
system, goods are allocated by the price mechanism. as the production of goods and services; in other
In a free market, the price of a good is determined by words, it is an input into the production process.
the demand for, and supply of, the good. Price is Reducing pollution usually involves a cost in terms
therefore a reflection of society’s willingness to pay of output forgone and/or the cost of the technical
for, or the valuation it places on, the good in process of abatement. Therefore, there is a trade-off
question. However, the shared nature of many between the environmental improvement and the
environmental assets, such as air, the atmosphere, costs of pollution reduction. The optimal level of
and water resources, means that they are not owned pollution occurs where the benefit of another unit
and so do not have a price. When goods are seen as of abatement (the marginal benefit) equals the
free they are overused. Thus, the market fails to (marginal) cost, with the (marginal) cost being higher
protect environmental assets adequately. after that point. In the case of an extremely
This failure of the market can be best demon- hazardous pollutant, the optimal level of pollution
strated with a simple example: If a power plant will be zero or close to it, but in most cases the
produces SO2 emissions resulting in acid rain, which optimal level of pollution will be positive. CBA
causes forest damage and damage to buildings, in a provides the tools to assess these trade-offs. In reality,
free market these costs will not be reflected in the cost few economic instruments are actually based on such
of power generation. Thus, the price of the energy valuations. Research on so-called target setting using
718 Cost–Benefit Analysis Applied to Energy
environmental valuation is still in a preliminary between their welfare ex post and ex ante. Most
stage. However, it could be used to assess the optimal policies and investments leave somebody worse off
level of an energy tax. and thus most would fail to meet the Pareto criterion.
Frequently in CBA, the Kaldor–Hicks test is used.
This test embodies the potential compensation
3.3 State Ownership of Energy principle. Kaldor categorized an action as efficient
Generation and Supply/State Support of if those who gain from the action could compensate
Energy Efficiency Initiatives the losers and still be better off. Hicks framed the
In some countries, energy supply companies are question slightly differently and labeled the action
owned by the state. In some cases, the original efficient if the potential losers from the action could
rationale for such ownership was that no private compensate the potential beneficiaries of the action
company would bear the large fixed costs of for not initiating the action. In both cases, the action
developing an energy supply system. In addition, it is an improvement regardless of whether the com-
is sometimes suggested that state companies can pensation is actually paid. Thus, if the CBA shows
perform as natural monopolies and thereby exploit the project to result in a welfare improvement under
economies of scale while producing at minimum the Kaldor–Hicks test, this is essentially a potential
average cost and subsidizing energy for certain Pareto improvement since there is the potential, in
sections of society. CBA has a role to play in theory, to pay compensation to the losers such that
assessing the merits of such state initiatives and is nobody would be worse off. This will be the case as
particularly relevant when assessing the merits of long as the benefits of the project outweigh the costs
government intervention to improve energy effi- (i.e., the benefit:cost ratio is greater than 1).
ciency, for example, by subsidizing wind power or Whether or not this potential payment is enough
a domestic energy efficiency program. to show that a project is good for society has been the
matter of much debate. Some authors have suggested
that despite the shortcomings of the Kaldor–Hicks
3.4 Sustainability Assessment and Green criterion, it is often useful to measure the effects of a
National Accounting change in the total value of output independently of
the distribution of output; however, in judging the
CBA is useful in assessing sustainability; that is, what
social efficiency of a project, equity aspects should
is the value of our resource stock, how is it being
also be considered. A two-part test may be used in
depleted, and is man-made capital that is replacing it
of equal value? Green accounting adjusts traditional which a project or policy is put to the Kaldor–Hicks
test and then tested to determine if it improves (or at
measures of economic performance such as gross
least does not disimprove) the distribution of income.
national product to reflect environmental damage
Approaches that consider questions of equity there-
and the depletion of resources. In relation to energy,
fore allow the possibility of acceptance of a project
CBA may be used to assess the social costs and
or policy that returns a negative figure for the sum of
benefits of depleting energy resources such as fossil
individual welfare changes if the gains from income
fuels.
distribution outweigh these losses. However, when
considering equity the difficulty is in the assignment
of weights to individual welfare changes. Considera-
4. COST–BENEFIT METHODOLOGY tion of equity issues and distributional consequences
are particularly relevant in the case of projects that
4.1 Welfare Criterion
affect the price of energy and/or health. Energy price
In using CBA to assess the costs and benefits of a increases may be regressive unless poverty-proofing
project or policy to society, it is first necessary to measures are put in place because energy is a
define the social efficiency criterion. The most necessity and therefore requires a larger proportion
frequently used criterion in microeconomic theory of the budget of less well-off people. On the other
is Pareto optimality. Using this criterion, a project hand, improvements in domestic energy efficiency
would be deemed to pass a CBA if it made at least may bring significant health and comfort benefits to
one person better off without making anybody else the elderly, who in some countries have been shown
worse off. For an investment to pass the Pareto to be more likely to live in energy-inefficient homes
optimality test, compensation must be paid to those and therefore more likely to be subject to winter
bearing the costs so as to leave them indifferent morbidity and mortality.
Cost–Benefit Analysis Applied to Energy 719
company and/or estimates must be made regarding 4.6 Valuing Changes in Energy Use
how price would decline should such a piece of
When calculating the benefits of reductions in energy
technology be widely adopted, for example, in a
use, the price of energy may be used to value such
national domestic energy efficiency retrofit.
savings. However, it may be necessary to shadow
The approach to valuing labor is worth detailing.
price such savings. If the state supplies energy, an
In reports purporting to be CBAs, labor or ‘‘employ-
assessment must be made of whether there is any form
ment’’ is sometimes treated as a benefit rather than a
cost. Labor is an input into a project and, therefore, a of subsidy involved; if so, this should be removed.
Where there is monopoly power in the energy market,
cost even though it may have some additional
either locally or, for example, through the mono-
benefits such as community stability, as discussed
polistic behavior of the Organization of Petroleum
later. However, that cost may be less than the market
Exporting Countries, the price of energy is unlikely to
wage would suggest. If labor markets clear, the
reflect the true cost to society of its generation.
shadow price of labor will equal the market wage.
Energy supply is considered so essential that a
Any increase in employment in one sector of the
premium may be placed on its supply from domestic
economy will merely reduce the availability of labor
to another sector. This is likely to be the case when sources if this reduces the risk of supply interruption.
Most countries have assessed the importance of such
the jobs are highly skilled and/or there is a shortage
supply, and this information may be used to assess
of such skills. However, for a country with a high
any premium that should be applied. If the increase in
unemployment rate, it could be argued that an
supply that would be generated by the energy project
increase in the demand for labor in one sector of
under consideration is marginal to the total supply in
the economy will not necessarily displace a job in
a country, it is unlikely that such a premium would be
another sector; that is, there may be employment
significant.
additionality whereby if the new job is filled by a
person who was previously unemployed, a very low In an ex ante analysis, a sensitivity analysis should
be undertaken for alternative scenarios regarding the
cost (not zero, unless it is considered that the
possible future changes in energy prices. These are
unemployed’s spare time is totally unproductive) in
difficult to predict because there are a number of
terms of output forgone is imposed on society. In this
offsetting effects. Possible deflationary pressures
case, the shadow price of labor would be close to
include the development of more energy-efficient
zero. It has been the practice of some government
machinery and technology, improved availability
CBAs to assume a shadow price of labor of zero.
(and therefore reduced prices) of non-fossil fuel
However, this is against the international practice of
setting the shadow price of labor at most a fraction energy sources and systems, and any change in the
regulation of the energy sector. Possible inflationary
below the market wage. For example, in Canada, the
pressures include rapid economic growth and a
shadow wage is usually 95% of the market wage,
consequent increased demand for energy, the exercis-
and in the United Kingdom they are usually
ing of market power in oil production, future scarcity
considered equal. In many energy projects, specia-
of fossil fuels, and the introduction of carbon taxes
lized skills are required and so a shadow wage close
and/or tradable permits in light of the Kyoto
to the market wage will usually be appropriate.
Protocol. However, if the price of energy is inflated
However, in some household energy efficiency
improvement schemes, long-term unemployed people by a carbon tax/emissions-trading system set to
reflect the external costs of energy use, it is important
have been trained how to fit various sorts of
to avoid summing external costs estimated by the
insulation, for example. In this example, a case
techniques described later with the energy savings
could be made for using a lower shadow wage rate.
using this price because if the price already reflects
A related value that should be considered is
the external effects, it would be inappropriate to
whether an energy project may contribute to com-
include them a second time.
munity stability. For example, would the provision of
a new power plant in a rural area provide jobs such
that depopulation of that area would halt? This value
4.7 Externalities
is not the value of the job per se. Rather, it is the
added value of a job being in a particular place. These Shadow prices adjust for one form of market failure.
values are difficult to assess but are real. For example, However, a CBA must also take into account the
it is often observed that employees will be willing to potential existence of externalities and public goods,
accept lower salaries to live in their hometown. as explained previously. The consideration of such
Cost–Benefit Analysis Applied to Energy 721
overall value of the marketed good. Such techniques telephone, or mail), and then construct a question-
include the following: naire containing:
Hedonic pricing method: The value of a house A detailed description of the good being valued
depends, in part, on its surrounding environment. and the hypothetical circumstance in which it is
This method examines the determinants of the made available to the respondent.
house’s value and then isolates the effect that the Questions that elicit the respondents’ willingness
environmental feature (e.g., a nearby park) has on to pay for the good being valued: open ended (How
the house. This is used as an estimate of the value of much would you pay?), bidding (Will you pay x, if
the environmental asset in question. not, will you pay xy), payment card (Which of
Travel cost method: The value of the park can be these amounts would you choose?), and binary
estimated by the willingness to pay to attend the park choice (If it costs x, would you pay it? Yes/no).
in terms of costs of travel and entrance to the park. Questions about the respondents’ characteristics
Production function approaches: These value a (e.g., age, education, and income), their preferences
decrease (increase) in environmental quality as a relevant to the good being valued (e.g., how
result of some activity by the loss of (addition to) the concerned or interested are they in the environment),
value of production due to that activity. For example, and their use of the good.
the cost of acid rain resulting from pollution from
fossil fuel-based power plants might be measured by The mean or median willingness to pay from the
the lost output of timber from forests (dose–response sample of households surveyed can be multiplied up
functions), the cost of restoring the damage to to the population level to give a total valuation.
buildings (replacement cost), or the cost of defensive
expenditures.
5.3 Valuing Environmental Damage and
The production function approaches may seem
Improvements from Energy Projects
more applicable to estimating externalities of energy
generation, but the hedonic pricing method and The most significant environmental effects of energy
travel cost method may be used to estimate the value projects that are included in CBAs tend to be the
of an amenity such as a forest park. This value could contribution of such projects to global warming from
then be used to calculate the cost of damage to the changes in CO2 emissions and acid rain resulting
park from air pollution. from the production of NOx and SO2. In addition,
many energy projects have implications for the
5.2.2 Stated Preference Methods production of particulate matter that may have
Direct valuation methods ask people in a survey to consequences for human health and visibility.
place a value on the environmental asset in question The impacts of climate change are as follows:
by rating (contingent valuation), ranking (contingent storm and flood damage (increased in some regions,
ranking), or choosing trade-offs between various such as the Caribbean and Pacific, but not others),
policy alternatives (choice procedures). These direct increased mortality and morbidity, effects on small
methods via questionnaires are the only approaches islands (sea levels rise due to heating water and
that can estimate existence value. The best known melting ice caps), increasing salinity of estuaries,
and most controversial of these methods is con- damage to freshwater aquifers, and effects on
tingent valuation. agriculture and forestry. It is estimated that a
The contingent valuation method (CVM) collects substantial portion of the existing forested area of
information on preferences by asking households the world will undergo major changes.
how much they are willing to pay for some change in There are three approaches to placing a monetary
the provision of an environmental good or the value on the benefits of greenhouse gas reductions.
minimum compensation they would require if the The damage-avoided approach values 1 ton of
change were not carried out. Since the mid- to late carbon not emitted by the cost of the damage that
1980 s, this method has become the most widely used would have been done by global warming in the
approach for valuing public goods and there has event that it had been emitted. The offset approach
been an explosion in the number of CV studies. measures the value of not emitting 1 ton of carbon
The CVM approach is to choose a representative using one method compared to the next cheapest
sample, choose an interview technique (face-to-face, alternative method. The avoided cost of compliance
Cost–Benefit Analysis Applied to Energy 723
approach measures the 1 ton of saved carbon by the estimates, whereas in others the most significant
avoided cost of compliance with a global/regional health effects result from particulate matter emis-
CO2 emissions reduction agreement. A variety of sions. Finally, the damage caused by 1 ton of most air
estimates have been produced regarding the benefits pollutants (excluding CO2) will vary depending on
of reducing CO2, including studies by the United the geographical origin of the emission. However,
Nations Intergovernmental Panel for Climate most estimates are derived from an exercise known
Change. as benefits transfer.
Several major research projects have endeavored
to place monetary values on all the environmental
5.4 Benefits Transfer
effects related to energy. Two EU-funded projects,
one on the external costs of power generation To reduce costs and where there is no alternative
(ExternE) and the other on European environmental procedure, it is standard practice in CBAs to apply
priorities, are very useful sources of information on existing monetary valuation studies outside of the
such values. site context in which they were originally under-
The ExternE project used an ‘‘impact pathway’’ taken. This is known as benefits transfer. There are a
methodology. Under this methodology, the fuel cycle, number of rules when using this method, the most
or life cycle of the fossil fuel used for generation, is obvious being that the contexts of the studies should
first divided into stages, such as extraction, transport, be very similar. In addition, appropriate statistical
combustion, and waste disposal. The environmental techniques should be used, including meta-analyses
burdens imposed at each stage and the likely impact of best practice studies; the studies should have
of these burdens on the environment and the public similar population characteristics; and property
are isolated. The impacts are then valued using a rights should be similarly distributed. The method
variety of economic valuation methods, such as is most accurate when the impacts are not affected by
contingent valuation, direct cost of damage, or cost local characteristics (e.g., income and population
of mitigation. These costs are then normalized to give size). The most comprehensive studies of energy
a cost per unit energy output and a value per ton of a externalities referred to previously involve significant
pollutant reduced. benefits transfer.
The ‘‘priorities’’ project endeavors to derive values
for various environmental externalities suitable for
5.5 Valuing Mortality and Morbidity
use in a European context. The impacts of SO2 on
acute mortality, morbidity, materials, and the ferti- Placing monetary values on life and death is perhaps
lization effect are all included; however, some the most controversial area of economics. There are
impacts are omitted, such as forest damage, adverse two major approaches for carrying out this task. The
effects on ecosystems and cultural heritage, and the first values life directly through livelihood. This is
dampening effect that SO2 has on global warming. known as the human capital method and is the oldest
The main areas of uncertainty relate to the value of and most easily applied. It equates the value of life of
mortality. NOx emissions are dealt with under two an individual as the present value of future lost
headings, acidification and tropospheric ozone. The output of the individual, which is usually estimated
fertilization effect of NOx is examined under using income. However, it is important to note the
acidification. For damage to health and crops, the substantial drawbacks of this approach. Most
effects of NOx on tropospheric ozone are used. obvious, it values livelihood rather than life per se.
Again, the bias is toward underestimation because It is quite improbable that there would be a 1:1
damage caused to forests, biodiversity, non-crop relationship between individuals’ earnings and their
vegetation, and materials is excluded. demand for risk reduction. In other words, the
Care should be taken when using unit damage human capital approach makes no reference to how
values such as those in the studies mentioned humans value risks to their own lives. One of the
previously. First, the confidence intervals are large most glaring flaws of this approach, however, is the
(and should always be quoted in a CBA). In addition, fact that it places a zero value on the retired
there is confusion about which emissions cause population and those who do not ‘‘produce’’
which adverse effects. For this reason, it is very easy marketed output (e.g., those who work in the home).
to double count when using estimates derived from The appropriate way of valuing reductions in
different studies. For example, in some studies mortality is not to value a life per se but rather to
negative health effects are included in SO2 damage value people’s willingness to pay for a reduction in
724 Cost–Benefit Analysis Applied to Energy
the risk of mortality. These data derive primarily ever, care must be taken when the population(s)
from one of three study formats: the wage risk model whose welfare is being assessed has a high income
(also known as the hedonic wage model), the avertive variance. Poor people will be willing to pay less, all
behavior method, and the contingent valuation else being equal, simply because of their budget
method. Although space does not permit a detailed constraint. In addition, because the values and
explanation of these methods, the general approach market prices used in a CBA of an energy project
is to value a small reduction in risk and then translate or policy are in part a product of the existing income
this into the equivalent of a life saved. This is the distribution, if that distribution changes, prices will
value of a statistical life (VSL). change, and so will market and nonmarket values.
There has been controversy regarding this ap- Second, distributional effects tend to be ignored in
proach in relation to the estimation of the costs of CBAs and yet energy policies often have very
power generation. The VSL estimates would be different consequences for different socioeconomic
expected to be considerably lower for a developing groups. Because energy is a necessity, energy effi-
country because the willingness of people to pay to ciency schemes may benefit those on lower incomes
reduce risk of death is partially dependent on more than average. However, without poverty-
income. Thus, the VSL used for a developing country proofing measures, energy taxes will comprise a
(e.g., for deaths from coal mining) would be expected much higher proportion of their income than
to be lower than the VSL used for a developed area average. Third, not all support attempts to place
(e.g., for deaths from air emissions in Europe by the monetary values on environmental assets, and the
burning of such coal). It is notable that the ExternE value of the statistical life concept is particularly
project steered clear of controversy by using the same controversial. Some find it unpalatable to consider
VSL for each area. that the environment might be traded with other
The value of morbidity may be assessed using a goods and services let alone ‘‘lives.’’ In addition, as in
cost of illness approach. In the case of air pollution all public policy or human actions, the environmen-
from energy generation, this would be the sum of the tal values used are by definition anthropocentric.
cost, both public and private, of hospital stays and Finally, the environmental valuation methods are
drugs for the treatment of associated illnesses. More limited in their ability to assess values. Many
positively, the health benefits of improving domestic environmental outcomes assessed by natural scien-
energy efficiency would be the associated avoided tists are subject to large confidence intervals even
costs of illnesses. Other costs avoided by wider before economists endeavor to value them. Also, the
society include the loss of productivity from those valuation methods vary in their ability to assess
who are ill and unable to work. The avoided cost to environmental values. Economists have identified a
the individual beyond drugs and hospitalization number of criteria by which environmental valuation
direct costs (if any) is more difficult to calculate. methods should be evaluated: validity (the degree to
One approach is to estimate individuals’ willingness which it measures the total economic value of a
to pay to avoid ‘‘restricted-activity days.’’ The change in the environment), reliability (the extent to
priorities study referred to previously contains such which the variability in nonmarket values is due to
estimates. random sources), applicability (assesses where the
techniques are best applied), and cost (the practi-
cality and viability of carrying out the valuation
study). In general, revealed preference methods (e.g.,
6. FURTHER ISSUES IN THE productivity loss and replacement cost) are widely
APPLICATION OF COST–BENEFIT accepted valuation methods that provide valid and
ANALYSIS TO ENERGY often reliable estimates of use values. However, they
are limited in that they only provide estimates of use
When undertaking or evaluating a CBA of an energy values, and it is often difficult to find suitable and
project, there are a number of additional issues that reliable links between market goods and environ-
must be considered. The tool is not without its mental amenities. The estimated values are often
controversies. These arise because of its use of money sensitive with respect to modeling assumptions,
as the common unit of measurement. First, assessing reducing their reliability in such cases. In general,
welfare changes using willingness to pay and/or however, revealed preference methods are applicable
willingness to accept is perfectly valid in theory if one for valuation of policies that primarily affect use
believes that income is distributed optimally. How- values and can provide very reliable results. Stated
Cost–Benefit Analysis Applied to Energy 725
preference methods such as contingent valuation are income, and the like during the time period of
capable of measuring both use and nonuse (exis- assessment.
tence/passive-use) values. They are applicable to a
larger array of environmental issues than are
revealed preference methods, and they are often the
only applicable methods for benefit estimation. SEE ALSO THE
However, they do have a number of limitations and FOLLOWING ARTICLES
may be subject to a number of biases.
There are some simple rules for using cost–benefit Decomposition Analysis Applied to Energy Ecolo-
techniques. Simpler environmental valuation meth- gical Risk Assessment Applied to Energy Develop-
ods should be used where possible (e.g., produc- ment Energy Development on Public Land in the
tion function approaches) while recognizing these United States Environmental Change and Energy
are primarily of interest when the policy chan- Equity and Distribution in Energy Policy External
ges will mainly influence use values. A high degree Costs of Energy Green Accounting and Energy
of reliability in stated preference methods may Value Theory and Energy
be achieved by adhering to sound principles for
survey and questionnaire design and if the method
is applied to suitable environmental goods. The Further Reading
methods work best for familiar environmental goods Clinch, J. P., and Healy, J. D. (2001). Cost–benefit analysis of
and for salient environmental issues. The methods domestic energy efficiency. Energy Policy 29(2), 113–124.
are likely to be least reliable where the environmen- Commission of the European Communities—DG Environment
(2003). European environmental priorities Web site: An
tal good being valued is complex (e.g., in the case integrated economic and environmental assessment. Available
of biodiversity). at europa.eu.int/comm/environment. ExternE Web site: http://
Finally, in CBAs of energy initiatives, it is externe.jrc.es.
important to note that the estimates of values are Hanley, N., and Spash, C. (1993). ‘‘Cost–Benefit Analysis and the
made at the margin. The plausibility of the techni- Environment.’’ Elgar, Aldershot, UK.
Layard, R., and Glaister, S. (eds.). ‘‘Cost–Benefit Analysis,’’ 2nd ed.
ques described depends in part on the fact that most Cambridge Univ. Press, Cambridge, UK.
things remain the same, with the implicit assumption Zerbe, R., and Dively, D. (1994). ‘‘Benefit Cost Analysis in Theory
that there is no paradigm shift in values, power, and Practice.’’ HarperCollins, New York.
Crude Oil Releases to the
Environment: Natural Fate
and Remediation Options
ROGER C. PRINCE
ExxonMobil Research and Engineering Company
Annandale, New Jersey, United States
RICHARD R. LESSARD
ExxonMobil Research and Engineering Company
Fairfax, Virginia, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 727
728 Crude Oil Releases to the Environment: Natural Fate and Remediation Options
and also inhibit the formation of troublesome tar up, but the obvious approach of simply sucking up
balls and minimize the amount of oil that reaches the oil from the environment is rarely simple or
the shore. complete. This article addresses the natural fate of oil
*
If oil is on a shoreline, the addition of fertilizers to in the environment and how understanding the
provide necessary ancillary nutrients for the underlying processes allows intervention to safely
degrading microorganisms will stimulate oil stimulate them and thereby minimize the environ-
biodegradation. mental impact of spills.
*
If oil is in surface soil, adding fertilizers and tilling
the soil will provide both the nutrients and the air
needed to stimulate biodegradation. 2. COMPOSITION OF CRUDE
*
If soluble hydrocarbons are in an underground OILS AND REFINED PRODUCTS
water plume, adding a source of oxygen, whether
as a gas or a soluble or slow-release peroxides, 2.1 Origins
will stimulate aerobic biodegradation.
Crude oils are natural products, the result of the
Together, these approaches exemplify modern envir- burial and alteration of biomass from the distant
onmentally responsible remediation activities: work- past. The alteration processes are known as diagen-
ing with natural processes to stimulate them with- esis and catagenesis. The initial process of diagenesis
out causing any additional adverse environmental typically occurs at temperatures at which microbes
impact. partially degrade the biomass and results in dehydra-
tion, condensation, cyclization, and polymerization
of the biomass. Subsequent burial under more
1. INTRODUCTION sediments, and thus at higher temperatures and
pressures, allows catagenesis to complete the trans-
Crude oils have been a part of the biosphere for formation of the biomass to fossil fuel by thermal
millennia, and human use extends back thousands of cracking and decarboxylation.
years. Early uses included hafting stone axes to It is generally accepted that most petroleum
handles, use as an embalming agent, and use as a reserves are derived from aquatic algae, albeit some-
medical nostrum. In the Bible, Genesis implies that times with some terrestrial material, whereas the
bitumen was used as the mortar for the Tower of great coal reserves of the world arose from deposits
Babel. It also seems likely that several religions of higher plants, typically in nonmarine environ-
started near natural gas seeps, either as eternal flames ments. The generation of oil and gas invariably
or as sources of hallucinogenic vapors. However, occurs at significant depth and under great pressure,
these were very minor uses, and it is only in the past which forcibly expels the oil and gas from the initial
century and a half that oil has come to play a truly source rock. Commercially valuable reservoirs are
central role in our lives. Terrestrial seeps were the formed if the migrating oil becomes trapped in a
first locations to be drilled when oil production geological structure so that the oil and gas can
began in earnest in the 19th century, such as the 1859 accumulate. Most petroleum reservoirs are found in
Drake well in Pennsylvania. Today, oil is recovered sandstones, siltstones, and carbonates with porosities
from all over the world, except the Antarctic, and of 5–30%. The traps are never completely full of oil,
from great depths, including coastal margins such as and there is always some water, usually containing
offshore West Africa and South America. The scale substantial amounts of inorganic salts (brine), under-
of oil production is staggering; global use is on the lying the oil. Typical commercial oils originated from
order of 1012 U.S. gallons per year (3.25 109 biomass that was produced on the order of 100
tonnes or 3.8 1012 liters/year), and much of it is million years ago, although the oldest commercially
transported thousands of miles before it is used. For valuable oils are from Ordovician biomass (486
example, the United States imported 350,000 tonnes million years ago), whereas others are as young as the
of oil per day from the Middle East alone in 1999. late Tertiary (a few million years ago).
Unfortunately, despite the best efforts of the oil
industry, some (a relatively small fraction) of this
2.2 Hydrocarbons
material has been spilled at production and refinery
facilities and from pipelines and vessels. Such spills Crude oils and refined products are very complex
generate enormous public pressure for speedy clean- mixtures of molecules, both hydrocarbons and
Crude Oil Releases to the Environment: Natural Fate and Remediation Options 729
compounds containing other elements, such as sulfur, molecules with up to four aromatic rings; one series
oxygen, and nitrogen. The hydrocarbons, containing contains just six-membered rings and their alkylated
only hydrogen and carbon, are the best studied and derivatives—benzene (one ring), naphthalene (two
understood, and they can be divided into broad rings), phenanthrene (three rings), chrysene (four
classes based on their overall chemical properties. rings), etc. Another series includes one five-mem-
The hydrogen to carbon ratio of crude oils is between bered ring in addition to the six-membered ones—
1.5 and 2.0; the organic molecules are thus princi- fluorene (three rings), fluoranthene (four rings), etc.
pally saturated molecules (i.e., the predominant form Because of the operational definition based on
of carbon is -CH2-). The convention in the oil chromatography, sulfur aromatic heterocycles, such
industry is to call linear alkanes paraffins and cyclic as thiophenes, benzothiophenes, and dibenzothio-
alkanes naphthenes. There are also significant phenes, are included in the aromatic category.
amounts of aromatic carbon in all crude oils and Indoles and carbazoles, usually the most abundant
polar molecules containing the heteroatoms oxygen, nitrogen-containing species, and the less abundant
nitrogen, and sulfur. These latter molecules can be basic nitrogen species such as quinolines are also
fractionated by column chromatography, and the included in the aromatic category. Alkylated aro-
fractions have a variety of names, including resins matic species are usually more abundant than their
and asphaltenes. In their classic 1984 book ‘‘Petro- parent compounds, with mono-, di-, and trimethyl
leum Formation and Occurrence,’’ Tissot and Welte derivatives usually being most abundant. Never-
state that the average composition of 527 crude oils theless, the median aromatic structure probably has
is 58.2% saturates, 28.6% aromatics, and 14.2% one or two methyl substituents together with a long-
polar compounds, although the absolute values vary chain alkyl substituent.
widely in different oils. On average, there is rough
parity between paraffins, naphthenes, and aromatics.
2.3 Nonhydrocarbons
The paraffins include the linear alkanes from
methane to waxes with up to 80 carbons. Linear The polar molecules of crude oils are the most
alkanes typically make up 10–20% of a crude oil, difficult to characterize because they are often
although their content can range from essentially unamenable to gas chromatography, the usual
undetectable to as high as 35% depending on source method of choice for the molecular characterization
and reservoir conditions. There are also branched of petroleum. All are thought to contain hetero-
alkanes, usually most abundant in the C6–C8 range. atoms, such as nitrogen, oxygen, and/or sulfur, and
Two branched alkanes found in almost all crude oils, the category includes the porphyrins (usually nickel
pristane (C19H40) and phytane (C20H42), are mole- or vanadium species) and naphthenic acids. Some of
cular relics of the phytol chains of chlorophylls and these molecules have molecular weights in the
perhaps other biomolecules in the original biomass thousands or higher, and many are suspended in
that gave rise to the oil. the oil rather than dissolved in it. The polar fraction
The naphthenes include simple compounds such of the oil contains the majority of the color centers in
as cyclopentane, cyclohexane, and decalin, together crude oil, and in isolation these materials are difficult
with their alkylated congeners. Tissot and Welte state to distinguish from recent biological residues, such as
that the average composition of the naphthene humic and fulvic acids.
fraction of 299 crude oils is 54.9% one- and two-
ring naphthenes, 20.4% tricyclic naphthenes, and
2.4 Oil Classification
24.0% tetra- and pentacyclic naphthenes. These
latter molecules are molecular relics of membrane Oils are classified by several criteria, but among the
components of the original biomass, and they are most important is the specific gravity. The oil
very useful fingerprints of individual oils. industry uses a unit known as API (American
The aromatic molecules in crude oils range from Petroleum Institute) gravity, which is defined as
benzene to three- and four-ring structures, with [141.5/(specific gravity)] 131.5 and expressed in
traces of even larger ring systems. Because of the degrees. Thus, water has an API gravity of 101, and
separation procedures used in the characterization of denser fluids have lower API gravities. Less dense
crude oils, any molecule containing at least one fluids (e.g., most hydrocarbons) have API gravities
aromatic ring is included in the ‘‘aromatic’’ fraction, 4101. For convenience, oils with API gravities 4401
regardless of the presence of saturated rings and alkyl are said to be light oils, whereas those with API
substituents. Crude oils typically contain aromatic gravities o171 are said to be heavy (Table I). Light
730 Crude Oil Releases to the Environment: Natural Fate and Remediation Options
TABLE I TABLE II
Conversion Table for a Medium Crude Oil Number of Carbon Atoms in the Majority of Compounds in
Refined Products
1 tonne 308 U.S. gallons
7.33 barrels Product Approximate carbon range
858 liters
Aviation gasoline C4–C8
Regular gasoline C4–C10
JP4 jet fuel C5–C11
oils have higher proportions of small molecules; JP8 jet fuel C8–C15
heavy oils are rich in larger molecules. Viscosity is Kerosene C9–C16
inversely proportional to API gravity, but it is also Diesel No. 1 C9–C17
dependent on the physical state of the polar Diesel No. 2 C9–C20
compounds and longer alkanes in the oil, and it is Bunker C C8–C10, C15–C50
highly dependent on temperature. Hydraulic oil C18–C36
Automatic transmission fluid C19–C36
2.5 Refined Products
Crude oil is transported in the largest volumes, both
in pipelines and in tankers, but refined products are TABLE III
also transported long distances, particularly in National Research Council’s Estimates of Annual Input of Oil to
pipelines. Refining starts with distillation, and the the Sea
simplest distinction of the various refined products
Source North America, tonnes World, tonnes
can be related to this process. The most volatile
liquid product is aviation gasoline, followed by Seeps 160,000 600,000
automobile gasoline, jet fuels, diesel and heating Consumers 90,000 480,000
oils, and the heavy oils that are used for fueling ships Spills 12,100 160,000
and some electrical generation. All ships contain Extraction 3,000 38,000
large volumes of heavy fuel oil, often called Bunker Total 260,000 1,300,000
C, that is barely liquid at ambient temperatures and
must be kept warm to be pumped into engines.
Most of the molecules in gasoline have 4–10 previously, these have proved useful sources for
carbons (Table II), most in diesel fuel have 9–20, and humankind. Some seeps are relatively small, and the
heavy fuel oils typically have very few molecules with oil affects only a very small area. This was true for
less than 15 carbon atoms except for some added as a the seeps that gave rise to ‘‘perpetual flames’’ in Iraq
diluent to achieve the appropriate viscosity. It is and bitumen reserves in eastern North America.
important to recognize that fuels are not sold by their However, some are vast and have given rise to huge
composition but by their properties, such as octane, asphalt lakes and tarpits. The La Brea tarpits in Los
cetane, or viscosity, and there are many chemical Angeles are well-known, not least for the impressive
mixtures that meet these requirements. The chemical bones from tigers that unwittingly became en-
composition of fuels with the same name can thus be trapped, and the large asphalt lakes in Trinidad
very different, even though all meet their specifica- (140 acres) were once exploited to deliver asphalt for
tions. The lightest products (i.e., those with the lowest paving in Newark, New Jersey. Clearly, a major
boiling points, such as gasolines and diesels) are almost determinant of the environmental impact is the scale
entirely hydrocarbons, whereas the heavy fuel oils are of the release. Table III shows 2002 estimates of the
enriched in the polar constituents such as asphaltenes; scale of oil releases into the sea both in the United
this is reflected in the color of the products. States and throughout the world.
sources is approximately 1.3 million tonnes, with spilled 476,000 tonnes of crude oil before it could be
almost 50% coming from natural seeps. For exam- controlled.
ple, natural seeps in the Gulf of Mexico release an Total U.S. liquid petroleum pipelines include a
estimated 140,000 tonnes of oil per year into the sea, total of 114,000 miles of crude oil pipelines and
those offshore Southern California release 20,000 86,500 miles of pipeline for refined products, which
tonnes per year, and those offshore Alaska release together transport two-thirds of all U.S. petroleum.
40,000 tonnes. Pipeline leaks, often caused by excavation errors,
lead to annual spills of approximately 19,500 tonnes,
and again there has been a substantial improvement
3.2 Municipal Runoff
in safety during the past few decades. Because of the
The National Research Council estimates that physical barriers around most pipeline spills, they are
releases due to the consumption of crude oil, usually contained, and most spilled oil is collected
principally municipal runoff but also including spills with pumps. Unfortunately, this is not always the
from nontanker ships, recreational uses, and atmo- case; in 1997, an underwater pipeline released 940
spheric deposition, are the second largest input of oil tonnes of south Louisiana crude oil into Lake Barre
into the world’s oceans, far dwarfing that from in Louisiana. The spill affected 1750 ha with a light
catastrophic tanker spills. Again, the sheer scale of sheen, but only 0.1 ha of marsh died back. Much of
oil use is staggering; it is estimated that just the input the oil evaporated, some pooled oil at the edges of
of lubricating oil from two-stroke engine use in the some marshes was recovered, and the lightly oiled
U.S. coastal seas is 5300 tonnes per year. areas appeared to be clean within 2 months.
4. NATURAL FATE OF OIL IN on the ground, where they are biodegraded. Some
THE ENVIRONMENT biodegradation may even take place on water
droplets in the atmosphere because there are many
The description of the various inputs of oil into our bacteria in the air.
environment, mainly from natural seeps and muni-
cipal runoff, makes it clear that oil has been part of 4.3 Dissolution
the biosphere for millennia. However, we are not
overwhelmed by it. This is because a variety of A few hydrocarbons are sufficiently soluble in water
natural processes contribute to its removal, the most that they ‘‘wash out’’ of floating surface or under-
important of which is biodegradation. Crude oils and ground spills into the water phase. This phenomenon
refined products provide an excellent source of is usually only significant for the BTEX compounds
carbon and energy to organisms, principally micro- (benzene, toluene, ethylbenzene, and the xylenes)
organisms, able to exploit it. These organisms are and oxygenated compounds such as methyl-tertiar-
responsible for the consumption of most of the ybutylether. Such compounds have the tendency to
hydrocarbons that get into the biosphere and that are wash out from floating spills, whether on surface
not collected or burnt. Nevertheless, this process is water or on the water table underground. This
relatively slow, and several physical processes typi- phenomenon is of particular concern underground
cally act on spilled oil before it is eventually because the soluble compounds have the potential to
biodegraded. migrate and contaminate wells and surface water.
Fortunately, they are biodegradable under both
aerobic and anaerobic conditions.
4.1 Flotation and Spreading
Almost all oils in commerce float; thus, they spread 4.4 Dispersion
rapidly if the spill is on water. This has the effect of Although oils do not dissolve in water, they can
providing a dramatically larger surface area for disperse. Wave action breaks up floating slicks and
evaporation and dissolution, and eventually the may disperse the oil so finely that it is readily
floating layer becomes subject to physical disruption biodegraded. This is what happened to most of the
by waves. A few very heavy oils, such as that spilled 85,000 tonnes of oil lost in the 1993 spill off the
in the Delaware River from the Presidente Rivera in Shetland Islands from the Braer. Adding chemical
1989, are sufficiently dense that they form almost dispersants to encourage this process is an important
solid lumps that submerge in fresh water. They do oil-spill response tool. If the oil is merely broken into
not usually sink, however, and can be collected by large globs, however, these can coalesce and form tar
subsurface nets. balls that can drift for thousands of miles before
eventually beaching. It is not unusual for tar balls to
accumulate other debris during their travels or even
4.2 Evaporation
to be colonized by barnacles.
Small hydrocarbons are very volatile, and molecules
smaller than those with approximately 15 carbons
4.5 Emulsification
typically evaporate quite readily if a spill is on the
surface. This can be effectively complete in a matter Many oils will form very stable water-in-oil emul-
of days, although underground spills do not typically sions, particularly after they have weathered suffi-
evaporate very rapidly. Spills are not the only source ciently to form a critical concentration of asphaltenes
of volatile hydrocarbons in the atmosphere; trees that can stabilize such emulsions. This can multiply
liberate vast quantities of isoprene and other the mass of the original oil by up to five times,
terpenes. Whatever the source, some interact with increasing the recovery and disposal burden. Water-
reactive nitrogen oxides in the presence of light and in-oil emulsions can achieve extremely high viscos-
in high enough concentrations can contribute to ities, making relatively light oils behave more like
photochemical smogs, The Blue Mountains got their heavy fuel oils. This can slow the evaporative and
name from this natural phenomenon long before the dissolution processes so that if the emulsions are
onset of the petroleum era. Eventually, most volatile broken, the released oil’s properties are more similar
compounds, and the reaction products of photo- to those of the original material than if emulsification
chemical oxidations, are ‘‘rained out’’ and deposited had not occurred.
Crude Oil Releases to the Environment: Natural Fate and Remediation Options 733
4.6 Physical Interactions with Sediments combustible, and sometimes shipwrecks catch on fire
(e.g., the 144,000-tonne spill from the Haven near
The formation of long-lived ‘‘pavements’’ is a poorly
Genoa in 1991) or are deliberately ignited (e.g., the
understood phenomenon that can have a significant
1360 tonnes of fuel oil on board the New Carissa
effect on the persistence of oil in the environment. At
offshore Oregon in 1999). A major problem is that
high enough concentrations, crude oils and heavy
the oil has to maintain a high temperature to
refined products such as bunker fuels interact with
continue burning, and heat transfer to water under-
sand and gravel so that the oil becomes completely neath a slick usually extinguishes any fire as the slick
saturated with sediment and vice versa. Even quite
thins. Burning spilled oil thus usually requires
liquid oils and fine sediments can form pavements
containment within fireproof booms, but if successful
that mimic commercial asphalt, and when this occurs
it can be very effective; combustion of 490% has
the inner oil is essentially entombed and protected
been reported in several trials. Burning may be
from biodegradation. It can then last for years
particularly useful in ice-infested waters, in which
without significant weathering, as happened in Tierra
skimming is very difficult and the ice can act as an
del Fuego following the 1974 spill of 50,000 tonnes
effective boom. The residue, although viscous, is not
of oil and fuel from the Metula. Spill response efforts very different from oil that weathers without heat,
aim to minimize and prevent the formation of these
and there is only a small increase in pyrogenic
pavements.
compounds in the residue. Burning oil, however, can
At the microscale, however, the interaction of oil
generate a large amount of black smoke. The smoke
with fine sediments is proving to be an important
is very low in residual hydrocarbon, but may, in
natural process that removes oil from oiled shor-
certain circumstances, present a potential health
elines. Fine particles become associated with droplets
concern due to fine particulate matter. If burning
of oil and effectively disperse into the water column,
occurs away from population centers, the potential
where biodegradation occurs quite rapidly. The scale for environmental and health impacts of the smoke is
and importance of this phenomenon have only been
minimal.
recognized during approximately the past decade.
4.9 Biodegradation
4.7 Photooxidation
Photooxidation by sunlight is very effective at 4.1.1 Aerobic
oxidizing three-, four-, and five-ring aromatics in Biodegradation is the ultimate fate of hydrocarbons
floating slicks and stranded oil. The molecules are released into the environment, although it is some-
not completely destroyed, but they seem to be times a slow process. Biodegradation under aerobic
polymerized and incorporated into the resin and conditions has been studied for at least a century, and
polar fractions of the oil, where they are probably no the variety of organisms able to consume hydro-
longer bioavailable. Photooxidation of the surface of carbons and the diverse pathways and enzymes used
pavements and tar balls may contribute to their in the process are well understood. More than 60
longevity. Photooxidation seems to have far less of an genera of bacteria and 95 genera of fungi have been
effect on the saturated components of oil. described that catalyze this process, along with a few
Photooxidation is an important phenomenon not species of archaea and algae. These organisms share
because it removes large volumes of oil from the the ability to insert one or two of the oxygen atoms
environment but because it removes the molecules of of diatomic O2 into a hydrocarbon molecule, thereby
most toxicological concern. Crude oils and heavy activating it and making it accessible to the central
fuels contain trace amounts of potentially carcino- metabolism of the organism. The oxygenated hydro-
genic polycyclic aromatic hydrocarbons such as carbon then serves as a source of reductant for the
benzo[a]pyrene. Fortunately, these are among the growth of the organism, and much more oxygen is
most susceptible to photooxidation, and they are required as the terminal oxidant.
readily destroyed if an oil is exposed to sunlight. Almost all hydrocarbons that have been studied
have been shown to be biodegraded in the presence
of oxygen. The small aromatics (benzene and the
4.8 Combustion
substituted benzenes) and alkanes are most readily
The natural ignition of gaseous seeps is still a source consumed, followed by the larger alkanes and the
of wonder whenever it occurs. All hydrocarbons are two- and three-ring aromatics and their alkylated
734 Crude Oil Releases to the Environment: Natural Fate and Remediation Options
derivatives. The branched alkanes are slightly more anaerobic environments. In the absence of oxygen,
resistant, but they are still readily degraded. The something else must be added to the hydrocarbon to
biodegradation of alkylated three- and four-ring initiate its metabolism, and at least two pathways
aromatics is slower, and some of the four- and five- have been identified. One adds a molecule of
ring saturated compounds, the hopanes and steranes, fumarate to the hydrocarbon, whereas the other
are among the most resistant. Indeed, they are so seems to add a molecule of carbon dioxide. The
resistant that they can serve as conserved internal anaerobic biodegradation of small hydrocarbons,
markers in the oil, and their concentration in the especially the BTEXs, which are of most concern if
residual oil increases as biodegradation proceeds. they leak from storage tanks, is becoming quite well
They remain as ‘‘fingerprints’’ of the initial composi- understood.
tion of the oil until the very last stages of An important feature of crude oils and refined
biodegradation. products is that although they are a rich source of
Estimates for the total biodegradability of the carbon and energy for microbes able to consume
hydrocarbon fraction of different crude oils range them, they are almost uniquely unbalanced foods.
from 70 to 97%. Less is known about the Microbes typically have a carbon:nitrogen:pho-
biodegradability of the resins, asphaltenes, and other sphorus ratio of approximately 100:10:1, but oil
polar species in crude oils, and the larger ones are not contains no significant amounts of either nitrogen or
thought to be very susceptible to the process. phosphorus. Oil-degrading microbes must therefore
Fortunately, these compounds lack ‘‘oiliness,’’ are obtain these elements in useful forms from elsewhere
friable in small quantities, and are essentially in the environment, and if there is a significant
biologically inert. Indeed, they are essentially indis- amount of hydrocarbon it is likely that the growth of
tinguishable from other relatively inert biomass in the degrading organisms will be limited by the supply
the environment, such as the humic and fulvic acids of these nutrients.
that make up the organic fraction of soils and
sediments and are so essential for plant growth.
Aerobic oil-degrading microorganisms are ubiqui- 5. RESPONSES TO SPILLS
tous, having been found in all natural environments
in which they have been diligently pursued. Indeed, The first response to a spill is to stop any further
aerobic hydrocarbon-degrading organisms are the release and to contain and pick up as much as
foundations of the extensive ecosystems that exploit possible. On land, this is relatively simple, albeit
marine oil seeps, which often include large multi- time-consuming and expensive. Indeed, most of the
cellular organisms that feed on the hydrocarbon- ‘‘oil lakes’’ left in Kuwait from the Gulf War are still
oxidizing microbes. Oil seeps may even serve as the awaiting treatment. At sea and on lakes and rivers,
primary food sources for some fisheries, such as those however, any collection requires corralling the oil
of Atlantic Canada. with booms to stop it from spreading.
4.1.2 Anaerobic
5.1 Booms, Skimming, and Combustion
For some time, it has been known that hydrocarbons
are also biodegraded under anaerobic conditions. Many different types of boom are available; some are
The hydrocarbon still acts as a reductant, and in the inflatable, and others are rigid. Some are designed to
absence of oxygen something else must serve as a withstand ocean waves, and others are designed to
terminal electron acceptor. Sulfate (reduced to work in sheltered harbors. Often, booms are used to
sulfide), nitrate (reduced to nitrogen), chlorate keep oil out of particularly sensitive areas, such as
(reduced to chloride), ferric and manganic ions fish hatcheries and marshes. Others are designed to
(reduced to ferrous and manganous ions), and be towed to ‘‘sweep up’’ oil, and still others are fire
carbon dioxide (reduced to methane) have all been resistant and designed to allow the oil within the
shown to be effective oxidants for hydrocarbon boom to be ignited.
degradation, at least in mixed cultures of organisms. Once the oil has been corralled, it has to be
Only a few genera of anaerobic bacteria that can collected. This is done with skimmers, which remove
catalyze these reactions have been identified, but this oil while accumulating as little water as possible.
undoubtedly is just the tip of the iceberg and There are many different designs; mops, moving
probably more an indication of the difficulty of belts, and floating suction devices are all used. Each
isolating these organisms than of their scarcity in is best suited for a particular type of oil and may be
Crude Oil Releases to the Environment: Natural Fate and Remediation Options 735
ineffective against other oils, but all attempt to bioremediation, these can be divided into two
collect the oil without collecting much water or complementary strategies. While oil is afloat at sea,
debris. the surface area available for microbial attack limits
Igniting oil in fireproof booms is not a trivial its biodegradation. Adding dispersants to disperse
matter, and special igniters are usually required. the oil into the water, and dramatically increase the
surface area for microbial colonization, is an
important option. In contrast, the biodegradation
5.2 Physical Removal
of oil remaining on a shoreline is likely limited by the
If oil reaches a sandy shoreline, it can often be supply of other necessary microbial nutrients, such as
collected with scrapers and bulldozers. This was very biologically available nitrogen and phosphorus, and
effective following the 1996 spill of 72,000 tonnes of carefully adding fertilizers is a very useful option.
crude oil from the Sea Empress off the south coast
of Wales. Sometimes, manual removal by teams of 5.3.1 Dispersants
workers with shovels is appropriate, as in the case Dispersants are concentrated solutions of surfactants
of the 2002 spill from the Prestige off the coast of that can be applied from the air or from ships
Spain. If the shoreline is inappropriate for heavy equipped with spray booms or fire hoses. Typical
equipment—such as the shorelines of Prince William application rates are approximately 5% of the oil
Sound, Alaska, affected by the spill from the Exxon volume, so quite large stockpiles are required, and
Valdez—the oil can be flushed back into the water, indeed are available, in central depots. The disper-
corralled within booms, and collected with skim- sants need to be added fairly soon after a spill, but
mers. Recent developments include special surfactant there is usually a window of several days during
products that help lift oil from the shoreline while which they are effective. Even mild wave energy
allowing its retention within booms for subsequent disperses the oil very effectively into the water
skimming, thus allowing more oil to be released with column, and it has been demonstrated that this
cooler flushing. In the United Kingdom, it is substantially increases the rate of biodegradation.
permissible to use dispersants for this purpose in Some dispersants also include molecules that actively
certain circumstances, provided that they have passed stimulate oil biodegradation either by providing
the required approval protocols. In North America, limiting nutrients or by adding preferred substrates.
use of dispersants on shores is not permitted, and so a Dispersion also minimizes the beaching of spilled
new generation of products have been developed that oils. Dispersants were used very effectively following
loosen the oils for removal by water stream without the 1996 spill of 72,000 tonnes of a relatively light
the unwanted effect of oil being dispersed into the crude oil from the Sea Empress off the south coast
near-shore water column. These products are spe- of Wales.
cially formulated with amounts of surfactants suffi-
cient to wet the surface but insufficient to foster 5.3.2 Fertilizers
dispersion. Some of these products have been Heavily oiled sites that have been washed or
successfully used on spills in Canada and the United otherwise physically treated to remove the bulk of
States. Their main objective is to allow weathered the oil always retain some residual oil, and this is an
oils to be removed by washing without having to use ideal target for bioremediation through the addition
heated water, which could have detrimental side of fertilizers. Lightly oiled beaches may also provide
effects on biological communities. excellent opportunities for use of this technology
without pretreatment. Aerobic oil-degrading mi-
crobes are ubiquitous, but their abundance is
5.3 Bioremediation
usually limited by the availability of oil. An oil spill
Although the physical removal of small near-shore removes this limitation, and there is invariably a
spills can usually be carried out quite effectively and ‘‘bloom’’ of oil-degrading microbes, both in terres-
completely, this is rarely possible with large spills at trial and in aquatic environments. Their growth
sea. Even when physical collection or combustion are becomes limited by the availability of something
fairly effective, there is almost always some oil that else. In marine environments, this is usually nitro-
escapes capture. As discussed previously, the ultimate gen, and although a few oil-degrading microorgan-
fate of this residual oil is biodegradation, and there isms are able to fix atmospheric nitrogen, most have
are several environmentally responsible ways of to await the arrival of low levels of nitrogen with
stimulating this process. Colloquially known as every tide. Carefully applying fertilizers to partially
736 Crude Oil Releases to the Environment: Natural Fate and Remediation Options
overcome this limitation can substantially increase tion may cause more environmental impact than the
the rate of biodegradation with no adverse environ- spill, such as attempts to remove small amounts of oil
mental impact. Slow-release and oleophilic fertili- from marshes. Other situations in which such an
zers (designed to adhere to the oil) seem most approach can be appropriate include underground
effective, and they were used with significant success spills, in which soluble hydrocarbons enter the
following the 1989 spill from the Exxon Valdez in groundwater. Usually, these are degraded in situ,
Alaska. The oleophilic fertilizer was applied with and if the source is plugged the contaminants may be
airless sprayers, and the granular slow-release degraded before the plume intercepts any sensitive
fertilizer was applied with agricultural ‘‘whirligigs.’’ receptor. In such a case, it may be best to rely on the
Careful monitoring revealed no adverse environ- natural biodegradation process rather than attempt
mental impacts from this approach and a stimula- to stimulate it. Clearly, it is important to have a
tion of the rate of oil biodegradation of between realistic understanding of the natural processes that
two- and fivefold. In other words, although the will remediate the spill before natural attenuation is
technique did not make the oil disappear overnight, accepted as the appropriate response.
it sufficiently stimulated a process predicted to take Together, these approaches exemplify modern
a decade so that it occurred in a couple of years. environmentally responsible remediation activ-
Since then, bioremediation has been used on a ities—working with natural processes to stimulate
limited site as part of the cleanup of the 1996 Sea them without causing any additional adverse envir-
Empress spill and has been demonstrated on experi- onmental impact.
mental spills in marine or brackish environments on
the Delaware Bay, a Texas wetland, a fine-sand beach
in England, mangroves in Australia, and an Arctic SEE ALSO THE
shoreline in Spitsbergen. Experience suggests that FOLLOWING ARTICLES
fertilizer should be added to maintain soluble
nitrogen at approximately 100 mM in the interstitial
Acid Deposition and Energy Use Crude Oil Spills,
water of the oiled sediment, and this may require
Environmental Impact of Ecosystems and Energy:
reapplication every few weeks. Such a level of
History and Overview Hazardous Waste from
fertilizer nutrients does not seem to cause any
Fossil Fuels Occupational Health Risks in Crude
adverse environmental impact but stimulates the rate
Oil and Natural Gas Extraction Oil Pipelines
of oil biodegradation severalfold.
Petroleum System: Natures’s Distribution System for
Fertilizers have also been used with success at Oil and Gas Public Reaction to Offshore Oil
many terrestrial spill sites after the bulk of the spilled
Tanker Transportation
oil has been collected. Often, biodegradation at
terrestrial sites is also limited by the availability of
oxygen, and this can be ameliorated by tilling of Further Reading
surface soils or by the addition of oxygen as air or Canadian Coast Guard (1995). ‘‘Oil Spill Response Field Guide.’’
dissolved or slow-release peroxides for subsurface Canadian Coast Guard, Ottawa.
plumes. One approach suspends slow-release per- Fingas, M. (2000). ‘‘The Basics of Oil Spill Cleanup.’’ 2nd ed. CRC
Press, Boca Raton, FL.
oxides in a series of wells that intercept flowing
National Research Council (1989). ‘‘Using Oil Spill Dispersants in
groundwater plumes; others sparge air into similar the Sea.’’ National Academy Press, Washington, DC.
wells. National Research Council (1993). ‘‘In Situ Bioremediation. When
Does It Work?’’ National Academy Press, Washington, DC.
5.3.3 Natural Attenuation National Research Council (2002). ‘‘Oil in the Sea III: Inputs,
Biodegradation is such an effective environmental Fates and Effects.’’ National Academy Press, Washington, DC.
Ornitz, B. E., and Champ, M. A. (2002). ‘‘Oil Spills First
process that in some cases it can be relied on to clean Principles.’’ Elsevier, New York.
an oil spill without further human intervention. Tissot, B. P., and Welte, D. H. (1984). ‘‘Petroleum Formation and
Sometimes this is necessary because human interven- Occurrence.’’ Springer-Verlag, Berlin.
Crude Oil Spills, Environmental
Impact of
STANISLAV PATIN
Russian Federal Research Institute of Fisheries and Oceanography
Moscow, Russia
Glossary
The largest percentage of accidental oil input into the
assessment An orderly process of gathering information
about a system and determining the significance and sea is associated with oil transportation by tankers
causes of any observed changes following a stress on the and pipelines (about 70%), whereas the contribution
system. of drilling and production activities is minimal (less
benthos The region at the sea bottom and the complex of than 1%). Large and catastrophic spills belong to
living organisms and their specific assemblages that the category of relatively rare events and their
inhabit the bottom substrates. frequency in recent decades has decreased percept-
biota The totality of all forms and species of living ibly. Yet, such episodes can pose serious ecological
organisms within a given area or habitat. risk and result in long-term environmental distur-
disturbance A chemical or physical process (including bances. Because oil spills are under particularly close
stresses), often caused by humans, that may or may not
scrutiny by environmentalists and strongly shape
lead to a response in a biological system, at the organ-
public opinion toward offshore oil development,
ismic, population, or community level.
ecotoxicology A discipline aimed at studying adverse they deserve special consideration.
effects of chemicals on biological and ecological
systems.
hazards Combinations of properties and characteristics of
a material, process, object, or situation that are able to
1. CRUDE OIL SPILLS:
harm and cause environmental, economic, or any other CHARACTERISTICS, CAUSES,
kind of damage. AND STATISTICS
littoral A nearshore ecological zone influenced by periodic
tidal processes. Accidents and associated oil spills have been and
pelagial An offshore ecological zone located in open continue to be inevitable events at all phases of oil
waters and inhabited by water-column organisms.
and gas field development. On land, oil spills are
plankton The microscopic and near-microscopic plants
(phytoplankton) and animals (zooplankton) that pas-
usually localized and thus their impact can be
sively drift in the water column or near the sea surface. eliminated relatively easily. In contrast, marine oil
response to stress The physiological, biochemical, repro- spills may result in oil pollution over large areas and
ductive, and other adaptive reactions, induced by stress, present serious environmental hazards. A wealth of
of a single organism or a whole assemblage (environ- statistical data on accidental oil spills has been
mental impact). accumulated over several decades of hydrocarbon
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 737
738 Crude Oil Spills, Environmental Impact of
production on the continental shelves of many ations (see Fig. 1), tanker-related accidents remain
countries. Some of these data are presented in one of the major sources of ecological risk. The list of
Fig. 1 and Tables I and II. These data as well as very large oil spills (tens of thousands of tons each),
other corresponding materials demonstrate a number long as it is, may become even longer at any time.
of points: The probability of an accident involving a crude oil
spill from an oil tanker is usually estimated as a
Overall (with the exception of catastrophic spills
function of the covered transport distance. According
that occurred during the Persian Gulf War in 1991),
to one such estimate, based on many years of
there is a trend toward lower volumes of oil spills
statistical data, the probability of an accident with
during all maritime operations, as compared to the
more than 160 tons of oil spilled is 5.3 10 7 per
late 1970s.
kilometer of the tanker’s route. Similar estimates can
Particularly large oil losses result from acciden-
also be derived based on the total amount of
tal spills during tanker shipments, whereas the
transported oil.
contribution of offshore drilling and production
According to a classification by the International
activities is minimal and the losses associated with
Tanker Owners Pollution Federation (ITOPF), oil
oil storage and pipeline transportation occupy an
spills are categorized into three size groups:
intermediate position.
small (less than 7 tons), intermediate (7–700 tons),
Small and quickly eliminated oil spills are the
and large (over 700 tons). Information is now
most usual types of spills; because they occur
available on more than 10,000 spills, the vast
frequently, they have the potential to create ‘‘stable’’
majority of which (over 80%) are less than 7 tons.
(long-term) oil contamination in areas of intense
Analysis of causes of intermediate spills from 1974
offshore oil production and transportation.
to 2000 indicates that 35% of such spills occurred
Catastrophic spills (releasing more than 30,000
during routine operations (mainly oil loading/
tons of oil) occur at a rate of zero to several inci-
unloading). Accidents such as grounding and colli-
dents per year, yet these spills are responsible for
sions gave rise to 42% of spills in this size cate-
the highly uneven distribution of anthropogenic
gory. The major cause of large spills relates to
input of crude oil into the sea and for its overall
accidents (83%), with grounding and collisions
volume.
alone making up 64%. The probability of cata-
At least half of the oil produced offshore is strophic blowouts and large spills (more than
transported by more than 6000 tankers. In spite of 1000 tons) during drilling and production opera-
the clear tendency toward accident-free tanker oper- tions is rather small (one accident per 10,000 wells).
700
400
Sea Empress
300 72,000 tonnes
Erika
200 20,000 tonnes
100
0
1970 1972 1974 1976 1978 1980 1982 19841986 1988 1990 1992 1994 1996 1998 2000
Year
FIGURE 1 Quantities of oil spilled as a result of tanker incidents. Data from the International Tanker Owners Pollution
Federation.
Crude Oil Spills, Environmental Impact of 739
TABLE I
Oil Spills Associated with Different Types of Offshore Activities in 1997a
TABLE II
Selected Major Oil Spills and Accidental Releases
Tankers, terminals, installations, Persian Gulf 1991 Kuwait; off coast of Persian Gulf and in Up to 1,000,000
War events Saudi Arabia
Exploratory well Ixtoc I 1979 Mexico; Gulf of Mexico, Bahia del 480,000
Campeche
Tanker Atlantic Empress 1979 Off Tobago, West Indies 287,000
Platform No. 3 well (Nowruz) 1983 Iran; Persian Gulf, Nowruz Field 270,000
Tanker ABT Summer 1991 Open water; 1300 km off Angola 260,000
Tanker Castillo de Bellver 1983 South Africa; 64 km off Saldanha Bay 252,000
Tanker Amoco Cadiz 1978 France; off Brittany 223,000
Tanker Haven 1991 Italy; port of Genoa 144,000
Tanker Odyssey 1988 Canada; 1175 km off Nova Scotia 132,000
Tanker Torrey Canyon 1967 United Kingdom; Scilly Isles 130,000
Pipeline, Kharyaga-Usinsk 1994 Russia; Usinsk 104,000
Tanker Braer 1993 United Kingdom; Shetland Islands 85,000
Tanker Aegean Sea 1992 Spain; La Coruna harbor port 74,000
Tanker Sea Empress 1996 United Kingdom; Mill Bay, Milford Haven 72,000
harbor port
Tanker Prestige 2002 Spain; over 200 km off Spanish coast 70,000
Tanker Exxon Valdez 1989 United States; Alaska, Prince William Sound 37,000
Over 30 years of offshore oil operations, only a 800 tons and worldwide oil losses of about 50,000
few such episodes have occurred, primarily in the tons/year. Regional estimates may, of course, vary
early 1970s. widely, depending on the local conditions. Acciden-
To date, more than 100,000 km of subsea tal spills may be caused by many factors, including
pipelines have been laid worldwide for transporting pipe corrosion, mechanical damage due to tectonic
oil and other hydrocarbons. According to different shifts, and impact by ship anchors. Pipelines become
estimates, the probability of a pipeline accident less prone to accidents as their diameter increases,
accompanied by a spill is anywhere between 10 4 but in all cases the probability of damage and
and 10 3 spills/km/year. The data summarized in ecological risk increases with aging of seabed
Table I suggest that the probability of pipeline pipelines. In general, pipelines are considered to be
accidents can be estimated at about 6.3 10 4 the safest way to accomplish hydrocarbon transport
spills/km/year, with an average spill size of about at sea and on land.
740 Crude Oil Spills, Environmental Impact of
4
105 .............................................................. standardization of the EIA procedure. At the same
3 Zone of
104 .............................................................. acute time, the general outlines of this procedure, including
2 toxicity
103 the contents and sequence of its stages, have already
102
1 Zone of sublethal effects taken final shape in many countries.
101
Zone of reversible effects Any system for assessing the state of environ-
Zone of no observed mental and human impacts has to be accompanied
1 ..............................................................
effect concentrations
by a number of selected scales (classifications) for
ranking spatial and temporal parameters of impact,
FIGURE 4 Approximate zones of biological effects and ranges as well as for specific evaluation of environmental
of typical concentrations of oil hydrocarbons (mainly aromatic) in hazards and risks. One of such classification used
seawater (top) and bottom sediments (bottom). Zones: 1, pelagic
areas (open waters); 2, coastal and littoral areas; 3, estuaries, bays, here is shown in Table III. Certainly, any scales and
and other shallow semiclosed areas; 4, areas of local pollution, relative estimates of this kind will inevitably be
including oil spills. circumstantial, but there is no other way to render
the results of EIA more specific or objective.
Otherwise, we are doomed to ineffective attempts
bottom sediments. These ranges can be roughly to describe highly complex multifactorial natural
considered as the limits of maximum permissible systems with an endless number of direct and
(safe) concentrations of oil hydrocarbons dissolved in feedback relations (most often the nonlinear ones).
seawater and accumulated in bottom sediments, This would leave plenty of room for subjective
respectively. interpretations and uncertain estimates without any
742 Crude Oil Spills, Environmental Impact of
TABLE III
Impact Scales and Gradation of Oil Spill Ecological Hazards and Consequences in Marine Environments
Impact Definition
Spatial scale
Point Area under impact is less than 100 m2
Local Area under impact ranges from 100 m2 to 1 km2
Confined Area under impact ranges within 1–100 km2
Subregional Area under impact is more than 100 km2
Regional Area under impact spreads over shelf region
Temporal scale
Short term From several minutes to several days
Temporary From several days to one season
Long term From one season to 1 year
Chronic More than 1 year
Reversibility of changes
Reversible (acute stress) Disturbances in the state of environment and stresses in biota that can be eliminated naturally or artificially
within the time span of several days to one season
Slightly reversible Disturbances in the state of environment and stresses in biota that can be eliminated naturally or artificially
within the time span of one season to 3 years
Irreversible (chronic stress) Disturbances in the state of environment and stresses in biota that exist longer than 3 years
General assessments
Insignificant Changes in the state of environment and biota are absent or not discernible against the background of
natural variability
Slight Observed disturbances in the environment and short-term reversible stresses in biota (below minimum
reaction threshold–0.1% of natural population reactions) are possible
Moderate Disturbances in the environment and stresses in biota are observed without signs of degradation and loss of a
system capacity for recovery; changes up to 1% of natural population reactions are possible
Severe Stable structural and functional disturbances in biota communities (up to 10% of natural population and
community parameters) are observed
Catastrophic Irreversible and stable structural and functional degradation of a system is evident; disturbances in
ecosystem parameters are more than 50% of statistical norm
assurance that the ultimate objectives of the EIA will hazardous, involves influx of the oil onto the shore,
be attained at all. its accumulation in sediments along the coast, and
subsequent long-term ecological disturbances both in
the littoral (intertidal) areas and on the shore. Such
3.2 Oil Spill Types and Scenarios
situations should certainly be treated as chronic
From the environmental point of view, distinction stresses. The two scenarios often develop simulta-
should be made between two basic types (scenarios) neously, especially when an accidental oil spill occurs
of oil spills. One scenario includes spills that occur in within a marine coastal zone not far from the
open waters, without having the oil contact the shoreline.
shoreline and/or bottom sediments (pelagic scenar- According to available statistics, a majority of
ios). In this case, under the influence of wind, accidents and accompanying oil spills take place in
currents, and other hydrodynamic processes, the oil coastal waters. In such cases, the likelihood of oil
slicks are quickly (within a few hours or days) contact with the shoreline depends on many factors,
transformed and dispersed atop and under the sea including oil spill characteristics (volume and type of
surface. The dispersed and emulsified oil undergoes oil spilled, distance from the coast, etc.) and local
active biodegradation, its toxicity significantly de- oceanographic and meteorological conditions, parti-
creases, and biological systems display attributes of cularly velocity and direction of winds and currents.
acute (short-term) stress. The other type of spill, In most accidents, the probability of an oil slick
unfortunately more common and potentially more migration toward the coast and contact with the
Crude Oil Spills, Environmental Impact of 743
shoreline is quite high (up to 50%), and the length of 3.3.2 Impact on Fish
the coastal line impacted by oil can reach tens and Conclusions about the absence of any persistent
even hundreds of kilometers. The conceptual scheme long-term changes at the population level in plank-
of developing biological effects and consequences of tonic biota after pelagic oil spills are fully valid in
an oil spill under acute and chronic stresses is relation to fish populations. Due to oil localization
presented in Fig. 5. Depending on the duration, level, within the surface layer of seawater, the mortality of
and scale of oil contamination, a wide range of water column organisms, including pelagic fish, is
effects may occur both in the water column and in practically excluded. Fish mass mortality has never
littoral sediments—from behavioral responses of been observed even after catastrophic oil spills in the
organisms at the initial phases of the spill up to open sea. Available publications on the subject
long-term populational disturbances under chronic suggest that adult fish are capable of detecting and
impact in the littoral zone. avoiding zones of heavy oil pollution.
An adverse impact of oil spills on fish is most
likely to be observed in the shallow coastal areas of
3.3 Pelagic Scenarios (Oil Does Not
the sea where the water dynamics are slow. Fish
Contact Shoreline and Bottom Sediments)
in early life stages are known to be more vulnerable
Ecological effects of oil spills in the open sea are to oil, compared to adults, and, therefore, some
mainly associated with short-term oil pollution of the younger fish may be killed by exposure to high
surface water layers, where organisms such as concentrations of toxic components of crude oil.
plankton, nekton (mainly fishes), marine birds, and However, calculations and direct observations in-
mammals may be affected when the situation is one dicate that such losses could not be reliably detected
of acute oil stress. Pelagic scenarios involve the against the natural background of high and variable
formation of oil slicks in which total oil concentra- mortality at embryonic and postembryonic stages of
tion ranges from 1 to 10 mg/liter in the surface fish development.
seawater layers, at a depth of several meters. At
horizons deeper than 10 m, oil contamination usually 3.3.3 Impact on Birds and Mammals
does not exceed background levels. After several Sea birds and mammals are among the most
days (sometimes weeks), surface slicks on open vulnerable components of marine ecosystems in
water are usually dispersed and eliminated under relation to oil pollution. Even short-term contact
the influence of the processes and factors reflected with spilled oil affects the insulating functions of
in Fig. 2. hairy or feathery coats and results in quick death.
744 Crude Oil Spills, Environmental Impact of
Studies of mass mortality (by tens of thousands 3.4 Littoral Scenarios (Oil Contacts
of individuals) of birds and mammals after oil spills Shoreline and Bottom Sediments)
in coastal waters (even without oil contacting
the shoreline) have been described in numerous When spilled oil reaches the shoreline, the major
publications. processes of oil accumulation, transport, and trans-
The exact consequences of such spills depend formation occur in the littoral zone exposed to wind-
primarily on the population traits of different induced waves, storms, surf, currents, and tides. The
species. Abundant populations with a high repro- width of this zone may vary within tens of meters. Its
ductive potential are the least susceptible to popula- potential self-cleaning capacity depends, first of all,
tion stresses. At the same time, adverse impacts on the geomorphology of the shoreline and char-
for the less abundant species with longer life spans acteristics of near-shore sediments and shore deposits
are usually more serious and protracted. Of parti- (composition, fineness, etc.), as well as on the energy
cular importance are the distribution and congrega- of wave and tidal processes. Numerous observations
tion patterns of birds and mammals. Even a small in different parts of the world indicate that oil
oil spill may severely affect a large number of persistence and, consequently, its adverse impact
birds or sea mammals that form compact colonies sharply increase from open rocky shores to sheltered
within a small area. In assessing such impacts, one gravel and pebble coasts (Table IV).
must take into consideration the effect of natural Some examples and characteristics of potential
factors, particularly natural mortality caused by ecological impacts of oil spills in the littoral zone
extreme weather conditions, lack of food, epizootic and adjoining shallow (several meters deep) sub-
diseases, etc. Most data suggest that populations littoral habitats are given in Table V. These assess-
of marine birds and mammals are able to return ments are based on the analysis of nearshore spill
to their natural level (optimal for given condi- situations and describe biological effects resulting
tions) within several years (seasons) after the oil from oil pollution of both littoral sediments and
spill impact. seawater. Typically in such cases, local transforma-
tions of species population structures in littoral
3.3.4 General Assessment communities result in the predominance of more
Using the scales and ratings in Table III, typical oil resistant species (e.g., some polychaetes) and rapid
spill impacts in pelagic scenarios can be assessed as elimination of sensitive ones (especially crustaceans,
varying from local to confined and from short term such as amphipods, and marine birds and mam-
to temporary. Potential ecological hazards and mals). The time of return to environmental quality
biological effects in the form of acute stress for the and community structure may vary widely, from
marine pelagic biota can be assessed as predomi- a month to several years, depending on the exact
nantly reversible and varying from insignificant to combination of different natural and anthropogenic
moderate. factors.
TABLE IV
Classification of Shorelines Based on Their Potential Oil Spill Recovery Capabilities
High (type I) Open rocky shoreline As a result of wave and surf action, oil is removed
within several weeks; there is no need to clean
inshore habitats
Medium (type II) Accumulative coasts with fine-sand beaches Oil does not usually penetrate deeply into fine,
compact sand and can be removed by
mechanical means; oil contamination persists for
several months
Low (type III) Abrasive coasts with coarse sand, pebble, and Oil rapidly penetrates into deeper layers (up to 1 m)
gravel stretches and can persist for years
Very low (type IV) Sheltered coasts with boulder, gravel, and pebble Favorable conditions for rapid accumulation and
material; wetlands (marshes, mangroves) slow degradation of oil; tars and asphalt crusts
can be formed
Crude Oil Spills, Environmental Impact of 745
TABLE V
Potential Biological Effects of Oil Spills in the Littoral (Intertidal) Zone
Shoreline typea Recovery capacity Waterb (mg/liter) Bottom (mg/kg) Characteristic biological effects
2
I High o0.1 o10 Mortality among the more sensitive species
within the first days of contact; sublethal
effects; primary structural changes in
communities; recovery time, up to a
month
II Medium 0.1–1.0 102–103 Elimination of crustaceans (especially
amphipods), predominance of
polychaetes; decreasing biomass and
structural changes in communities;
recovery time, up to half a year
III Low 1–10 103–104 Mass mortality among the more sensitive
species (crustaceans and bivalves);
steadily decreasing biomass and poorer
species diversity; recovery time, up to a
year
IV Very low 410 4104 Mass mortality among most species;
pronounced declined biomass,
abundance, and species diversity; recovery
time, more than a year
a
See classification in Table IV.
b
Dissolved and emulsified forms of oil.
There are numerous records of oil spills in coastal The list of this kind of accident in coastal areas is
and littoral areas in many marine regions, as well as rather long. All these situations, unlike the purely
hundreds of publications with detailed descriptions pelagic spills (oil does not contact shoreline and
of associated environmental impacts. Besides the bottom sediments), have two major phases, inter-
well-known catastrophic accident involving the pretable as acute and chronic stresses. Acute stress
tanker Exxon Valdez in the nearshore area of Alaska usually occurs within the first few days (sometimes
in 1989, a number of similar events have been weeks) and may result in mortality of the oil-
documented, including oil spills in the coastal waters impacted organisms (especially birds and mammals).
of the United States, France, United Kingdom, and Chronic stress lasts for several months, seasons, or
Spain, among other countries (see Table II). One of even years and manifests mainly as adaptive
the largest oil spills occurred in February 1996 when modifications of benthic communities in response
the tanker Sea Empress ran aground within a to the long-term oil contamination of littoral and
kilometer of the South Wales shore and 72,000 tons coastal (inshore) sediments. In a majority of cases
of crude oil were released. Despite favorable weather (excluding heavy oil pollution during very large
conditions (only 5–7% of the spilled oil reached the catastrophic spills), these modifications do not
shore) and effective clean-up operations, the accident exceed critical population levels and do not result
resulted in heavy pollution of 200 km long the in irreversible changes in structure and function of
coastline and littoral zone. About 7000 oily birds benthic populations.
were collected on the shore alone. At the same time,
no mass mortality of commercial fish, crustaceans, or 3.4.1 General Assessment
shellfish was recorded. The time of environmental In terms of ratings and definitions in Table III,
recovery in different locations was quite variable typical oil spill impacts in littoral scenarios can
(from several months to a year and more), depending be assessed as varying from local to subregional
on adopted criteria and specific conditions within the and from temporary to chronic. Environmen-
affected littoral zone. tal hazards and biological effects in the form of
746 Crude Oil Spills, Environmental Impact of
chronic stress for the marine biota (mainly for taste (tainting), and oil contamination of fishing
benthic organisms) can be assessed as predomi- gear. The most serious economic losses for fisheries
nantly slightly reversible and varying from slight result from the limitations (bans, closures) imposed
to severe. on fishing following oil spills in impacted coastal
areas. Commercial fishermen are deprived of their
livelihood unless they are able to exploit alternative
stocks. Naturally, the exact nature and extent of
4. IMPACTS ON LIVING such losses may vary widely, depending on a
RESOURCES AND FISHERIES combination of diverse factors, such as oil spill size,
time of year, and weather conditions. In some cases,
Until recently, there has been no direct evidence of during the catastrophic accident involving the
any detectable impact of oil spills on the stock and tanker Exxon Valdez near Alaskan shores in the
biomass of commercial species. This conclusion is spring of 1989, for example, the losses to local
supported by a number of special studies, including fisheries were estimated at hundreds millions of
those conducted in the situations of catastrophic dollars. This amount was eventually paid by court
accidents. Results of modeling and calculations of decisions in the United States as compensation for
potential losses of commercial fish and invertebrates the restriction on fishing because of heavy oil
during oil spills lead to similar conclusion. Most pollution. Significant losses are known to have been
estimates indicate that losses of commercial species sustained by aquaculturists, as was the case with
during spills, even in the most pessimistic scenarios, many farms specializing in growing fish and shell-
usually do not exceed hundreds/thousands tons of fish during oil spills near British shores in 1993 and
biomass and cannot be reliably distinguished against 1996. Similar events occurred in the winter of 2002
the background of extremely high population varia- due to catastrophic oil pollution of the Atlantic
bility (mainly due to environmental changes, natural coasts of Spain and Portugal after an incident
mortality, and fishing). involving the tanker Prestige caused release of
Of particular concern is the possibility of the 70,000 tons of heavy fuel oil.
negative impact of oil spills on the anadromous fish Another rather common yet poorly controlled
(primarily, salmons) during their spawning migra- type of damage to fisheries inflicted by oil spills is
tion shoreward. In this regard, it should be associated with accumulation of petroleum hydro-
remembered that in the open sea, the oil concentra- carbons (especially light aromatic compounds) in
tion beneath the oil slick decreases sharply with marine organisms. This does not usually lead to
depth, approaching background values at horizons intoxication of the organisms but results in an oily
of 5 to 10 m. Detailed studies conducted during a odor and taste, which inevitably means deterioration
number of years after oil spills near the shores of of marketable qualities of marine products and
Alaska and in other salmon breeding regions have corresponding economic losses.
shown that all basic parameters of commercial Legal and regulatory mechanisms of compensa-
populations (abundance, structure, reproduction, tion for losses sustained by the fishing sector as a
migration, stock, and catches) remain within the result of oil spills are yet to be fully elaborated,
natural ranges. Thus, there is a reasonable con- although two special international conventions are
sensus that negative effects of oil spills on marine already in effect: the International Convention on
living resources in terms of their population para- Civil Liability for Oil Pollution Damage (Brussels,
meters are negligible and could not be practically 1969) and the International Convention on the
detected due to the enormous natural variability Establishment of an International Fund for Com-
and dynamics of marine populations and commu- pensation for Oil Pollution Damage (London, 1971;
nities. This conclusion does not mean, however, that amended by the 1992 Protocol). These conven-
oil spills do not exert any adverse impact on tions, administered by member states of the United
fisheries and the entire fishing industry. Numerous Nations, set forth a number of measures and pro-
studies have shown that the actual economic losses visions for paying compensations to countries in
to fisheries occur as a result of temporary restric- cases of accidental oil spills within the bounds of
tions on fishing activities, interference with aqua- their continental shelf. In the context of the con-
culture (i.e., growing and reproduction of marine ventions, fishery closures are expected to minimize
organisms in marine farms) routines, loss of market- or prevent economic damage that might other-
able values of commercial species due to petroleum wise occur.
Crude Oil Spills, Environmental Impact of 747
5. OIL SPILL RESPONSE AND 3. Chemical methods for dispersing surface oil
PREVENTION STRATEGIES slicks, aimed at accelerating oil degradation by
natural factors.
Public concern and anxiety about oil spills in the sea 4. Microbiological methods for enhancing oil
have been clearly augmented since the Torry Canyon degradation, usually applied in combination with
tanker accident off the southwest coast of the United mechanical and chemical methods.
Kingdom in March 1967, when 130,000 tons of
spilled oil caused heavy pollution of the French and The great variety of means and methods are quite
British shores, with serious ecological and fisheries relevant, taking into account the enormous variation
consequences. This accident was followed by a in emergency situations as well as the extremely
number of similar catastrophic episodes (see Table complex behavior of crude oil in marine environ-
II). These events produced an acute public reaction ments. In the field, a combination of diverse methods
and clearly elucidated a need for developing effective is commonly used, with preference for mechanical
prevention and response strategies for appropriate means of oil containment and removal. Chemical
reactions in such situations. Since the time of these and microbiological methods are applied predomi-
spills, an impressive technical, political, and legal nantly in addition to the mechanical operations.
experience in managing the problem has been There are two situations when oil spill response
acquired in many countries and on the international and clean-up operations are not justified. First,
level, mainly through the International Maritime oil spills in the open sea in areas with active surface
Organization. In 1990, the International Convention water mass hydrodynamics, at great depths, and
on Oil Pollution Preparedness, Response, and Co- far from any shoreline need not be mitigated. As
operation was adopted by a number of countries. already noted, in such situations, oil slicks are
The convention provided the framework for coordi- relatively rapidly (usually within several days)
nation of the national and international efforts to dispersed without any significant damage to water
create special funds, centers, technical means, and column organisms and pelagic ecosystems. Second,
methods for dealing with the consequences of oil shorelines are classified according to their vulner-
spills in coastal areas. In practically all nearshore ability to oil spills. As was shown in Table IV, along
countries, specialized oil spill response centers and open rocky shorelines, oil can be quickly dispersed
services have been established. Additionally, any and eliminated as a result of favorable natural
offshore oil project is required to develop ‘‘action processes (i.e., strong wave, tide, and wind activ-
emergency plans.’’ In many countries, national plans ities). It is quite evident that in these situations
on preparedness and responses to oil spill accidents human intervention may be senseless. Unfortunately,
have been developed and appropriate legal rules, such situations are the exception rather than the rule.
norms, and regulations are enforced. The littoral scenarios, with oil entering and accumu-
An idea about the scope of economical losses and lating in shallow coastal zones with low-energy
costs of oil spills may be derived from the Exxon hydrodynamic processes, are more usual. In these
Valdez incident in 1989; the clean-up operations cases, the necessity of cleaning operations is quite
were conducted during 2 years with about 10,000 evident.
people participating, and response costs totaled Clearly, the techniques and means for alleviating
approximately $2.8 billion (total costs exceeded $9 the impacts of oil spills describe herein represent only
billion). In the aftermath of this incident, the U.S. a few of the armamentarium of contemporary oil
Congress adopted the 1990 Oil Pollution Act, which spill response and prevention strategies. These
expanded the oil spill prevention, preparedness, and strategies have been implemented worldwide and
response responsibilities of both the federal govern- represent the development of regional systems of
ment and industry. accident monitoring and reporting and coastal
The wide spectrum of contemporary techniques sensitivity analysis and mapping, involving adoption
for oil spill response and clean-up operations may be of detailed plans for dealing with emergencies and
divided into four major groups: production of databanks and information systems
for assisting spill response management. In some
1. Mechanical means (booms, skimmers, etc.) for countries (e.g., the United Kingdom), integrated
collection and removal of oil from both the sea booming strategy plans (employing anchored oil-
surface and inshore habitats. blocking booms) are being developed for protection
2. Burning of spilled oil at the site. of environmentally sensitive areas.
748 Crude Oil Spills, Environmental Impact of
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 749
750 Cultural Evolution and Energy
by Robert Boyd and Peter J. Richarson, Charles J. the relationship between energy and human society.
Lumsden and Edward O. Wilson, and William H. The first treats energy as a resource that is controlled
Durham. by human beings to secure their survival and
The notion that energy was relevant to under- adaptation, i.e., to sustain their life. Seen in this
standing the social process was early described by way, the environment is full of energy resources—
Herbert Spencer in his First Principles (1863): ‘‘Based biota (including human beings), fossil fuels, water
as the life of a society is on animal and vegetal and solar radiation, subnuclear sources, etc.—that
products, and dependent as these are on the light and human beings harness and control to work for them.
heat of the Sun, it follows that the changes wrought by Somewhat problematic in this picture is human
men as socially organized, are effects of forces having labor, because individuals control their own labor
a common originyWhatever takes place in a society and may control the labor of others. Thus, when
results either from the undirected physical energies referring to the energy per capita expended by a
around, from these energies as directed by men, or society in a contemporary industrial nation, we are
from the energies of the men themselves.’’ Following usually talking about nonhuman expenditure, but
this assessment, the connectedness of energy and when dealing with preindustrial societies and parti-
cultural evolution was primarily pursued by scholars cularly in hunting and gathering societies, human
with interests other than cultural evolution. By the labor is the major energy source. Two phases emerge
early 20th century, it had been seriously discussed by from this situation: (1) energy (including one’s own
Wilhelm Ostwald, Patrick Geddes, and Frederick energy) as controlled by individual human beings
Soddy, to be followed by Alfred Lotka, T. N. Carver, and (2) energy as controlled by society, usually by
and Lewis Mumford. In 1943, anthropologist Leslie some agent for the collectivity. In complex societies
White proposed it as a tool for social analysis. It was (i.e., with two or more levels of social integration),
then explored in more detail by sociologist Fred leaders or authorities decide how energy resources,
Cottrell, ecologist Howard Odum, economists Nico- both nonhuman and human collectivities, are to be
las Georgescu-Roegen and Herman Daly, anthropol- used. This perspective readily separates human
ogist Richard N. Adams, and, recently, sociologists energy expenditure as an agential process that
Eugene A. Rosa and Gary E. Machlis. In the latter controls and is impacted by on-going energy-based
part of 20th century, world events produced an oil events.
crisis and with it an explosion of interest in the In the holistic perspective, human beings and the
political economy of energy in society. society and the environment relevant to them are a
continuing and fluctuating field of multiple energy
flows. Within this field, there are islands or sectors of
2. ENERGY AS A CONCEPTUAL potential energy (materials, fuels, stored goods) held
TOOL FOR SOCIAL ANALYSIS in equilibrium, the energy of which may be released
for human use when an appropriate technology is
Because energy is dissipated when anything happens, applied. There are also dissipative structures (see
it is a substantive process that provides a common later) wherein human labor is seen as merely one part
denominator for all activities, human and nonhu- of the flow, as simply one more energy resource. In
man. The second law of thermodynamics defines the this perspective, the triggers (see later) that release
irreversibility (and therefore in an important sense, potential energy are energy flows. This perspective
directionality) of the model and thus is a measure for allows us to see social processes in terms of a series of
everything that happens. Energy can be thought of as principles, laws, and working hypotheses deri-
a material cause of everything, but in an instru- ved from the physical and biological sciences. If
mental, or agential, sense energy causes nothing; it sociocultural evolution is merely one facet of gen-
merely requires that all events evolve so as to reduce eral biological evolution, then these concepts and
the capacity to do work that may be available in the principles should be equally applicable to social
system. This provides a measure for the analysis of evolution.
human history, one that is culture free and value free
and uncolored by political or moral concerns. This
permits comparison among all historically known 3. DYNAMICS OF ENERGY FLOW
societies of any culture.
Although not always explicit, two perspectives— There are a number of energetic processes useful for
the agential and holistic—have been used to describe understanding sociocultural evolution.
Cultural Evolution and Energy 751
3.1 Laws of Thermodynamics such models are not intended to explain the specifics
of historical cases. Rather, they provide a model of
The basic dynamics of energy are described in the
structural dynamics—in this case, the presence of
first and second laws of thermodynamics, which
fluctuations inherent in dissipative systems, which,
require no elaboration here. The fact that energy is
when energy flow is increased, may cause the
dissipated makes it unidirectional and measurable.
structure to become more complex. This happens at
What has happened can never be repeated—no
critical points where the expansion forces new
matter how much new events may appear to structures to emerge, or the system will fragment or
duplicate history. The presence of historical simila-
collapse. Such dynamics characterize Carneiro’s
rities is a challenge to find out why and how they
1970 theory of the emergence of the state. The
came to be.
model cannot predict the cultural details of how it
occurs—things that depend on specific historical
antecedents.
3.2 Equilibrium and Dissipative Structures
Although it was recognized that energy was central
3.3 Energy Maximization
to the social process, Ilya Prigogine’s 1947 formula-
tion of the thermodynamics of nonequilibrium Treating society as a dissipative process allows us to
structures provided a key concept—the dissipative map sociological cases on the energy model and
structure—for treating human beings and human permits the measurement of the energy dynamics at
societies as dissipative energy forms within a field of work. With this, there are some energy principles
both equilibrium and dissipative structures. Equili- that become useful. One of the earliest of these was
brium structures are energy forms in relative Alfred Lotka’s 1922 principle of energy maximiza-
equilibrium, in which no exchange of matter or tion: ‘‘In every instance considered, natural selection
energy is, for the moment, taking place with the will so operate as to increase the total flux through
environment. Dissipative structures are open energy the system, so long as there is presented an unutilized
systems that constantly incorporate energy and residue of matter and available energy.’’ It is not
matter as inputs and dissipate them as output. The difficult to find illustrations of this, but wars are an
form they take is dissipation. They are characterized obvious case. Cavalry dominates over foot soldiers,
by fluctuations that are essentially indeterministic firearms dominate over the bow, nuclear bombs
when seen in a microscopic field, but, with the dominate over gunpowder. In more general terms,
operation of natural selection, may contribute to one indication that natural selection favors societies
directionality over longer courses of time. with the greatest dissipation of energy may be seen in
As adapted from Prigogine’s model the dissipative the reality that societies that have survived and
structure provides a remarkably accurate representa- flourished into the present day, dominating compe-
tion of how living bodies and societies operate. It titors, are precisely those that have dissipated the
combines the inputs of matter and energy but the most energy. The society or species that monopolizes
output also involves the discarding of waste materi- resources leaves none for others. The second clause
als that may impact and change other energy flows. of Lotka’s statement, however, states that when
Particularly significant are impacts that release energy is not available, maximization cannot take
potential energy of equilibrium structures and that place. This may result from the exhaustion of
divert or modify other dissipative processes. To use resources (the path to the ‘‘the limits of growth’’)
dissipative structure with sociological models re- but may also be due to the presence of boundary
quires only that we find the energy values associated conditions or technological inadequacies that pre-
with the reality being represented. vent access or expansion.
One criticism of dissipative structures as an
analytical model for human societies is that it was
3.4 Minimum Dissipation
‘‘a nice analogy, yet while it can explain certain
qualitative changes in a system by showing how Boundaries to energy systems are critical because they
order emerges from fluctuations, it cannot account may be imposed from the outside, or they may be
for complex cultural systems with their interdepen- created by society. This points to a second proposi-
dent subsystems, which influence self-organization. tion, the Prigogine–Waime principle of minimum
And it cannot explain the new structure after a phase dissipation: ‘‘When given boundary conditions pre-
of instability.’’ The point is not well taken because vent the system from reaching thermodynamic
752 Cultural Evolution and Energy
equilibrium (i.e., zero entropy production) the system they attempt to shift to more dependable sources—
settles down in the state of ‘least dissipation’.’’ This e.g., energy derived directly from solar radiation,
states the conditions under which maximization will river or tidal waters, wind, or hydrogen—none has as
not take place. Adult human life is a fluctuating yet made a marked shift in that direction. In most
steady state, a homeostatic system, in which internal industrial countries, such concerns are marginalized
controls maintain a level of energy use that does not by commercial and political interests that promote a
exceed the available and anticipated rate or amount policy of continual expansion of dependency on
of input. Boundaries may be imposed by disastrous traditional sources. Everywhere, however, the Prigo-
droughts, floods, and plagues, or gradually but gine–Waime principle operates as available energy
consistently, such as by endemic diseases or endemic resources decline.
warfare. Boundaries are often imposed by society
through controlling life, such as infanticide, careful
3.5 Trigger-Flow Ratio
birth spacing practices, and putting the elderly to
death. Steady-state societies are those that have found Energy enters society principally as solar energy but
ways of controlling the consumption of energy so as also as moving water or wind and in equilibrium or
to survive on the energy available. quasiequilibrium forms, as potential energy—food-
Another way that the principle operates may be stuffs, minerals, forest products, etc. The release of
seen in the splitting off of part of a society when it is potential energy is literally triggered and then,
growing too large for comfort. Thus, grow- depending on the technology, controlled as it
ing hunting bands and agricultural villages, reaching dissipates into lower grades and entropy, or leaves
a certain population size, will hive off, forming new as a residue of material artifacts and waste. Because
bands or settlements. New boundaries are created triggers and subsequent controls require energy to
because the old boundaries prove inappropriate for operate, it is generally expected that the ratio of their
survival. In this way, societies follow the mini- energy cost to the amount of energy flow dissipated
mum dissipation principle because the amount of should be low. Consistent failure to achieve this can
energy flow is kept to some minimum within the lead to the trigger energy exhausting the energy
society; but they may succeed in doing this only by available to the system.
creating other societies with boundaries to separate Energy triggers are parts of a larger process,
them from the old. sometimes seen as an investment of energy. It has
Classic cases have been the peasant philosophy of been proposed that this energy investment is a useful
the ‘‘limited good,’’ a pattern of social control analytical tool, and as such has been referred to
whereby those who try to surpass others in some variously as embedded energy or, as by Howard
endeavor—and thereby stretch the exploitation of Odem, as emergy. The relationship of this investment
available resources—are condemned and punished to the energy it causes to be released is seen as a net
by their fellows and restrained from excelling. Some energy gain. Odum argued that an increase in the ratio
highland New Guinea societies sponsor periodic pig of embedded energy to the energy released constitutes
feasts, as described by Roy Rappaport: ‘‘The opera- an increase in energy quality. The utility of this concept
tion of ritualyhelps to maintain an undegraded of energy quality is problematic because, as Joseph A.
environment, limits fighting to frequencies which do Tainter and colleagues have noted, ‘‘Energy quality in
not endanger the existence of the regional popula- a human system varies with context, as it may also in
tion, adjusts man–land ratios, facilitates trade, [and] other living systems.’’ Yasar Demirel prefers to see
distributes local surpluses of pig throughout the quality as ‘‘the ability of energy to be converted into
regional populationy.’’ Socially controlling for mechanical work under conditions determined by the
minimum dissipation is usually achieved in societies natural environment.’’ Emergy and embedded energy
only after hard experiences with the consequences of are not easy to apply to real situations because they
exceeding energy resources. imply an infinite series of antecedent inputs; in fossil
The advent of capitalism and industrial exploita- fuels alone they include ‘‘the energy that previously
tion of the fossil energy resources, when coupled went into the organism from which these fuels
with an era of rapid population expansion, has originate as well as the energy from the chemical and
generally obscured the implications of the Prigogine– geological processes that transformed dead organisms
Waime principle. Contemporary industrial societies into coal, gas, or petroleum.’’ The importance of net
have sought to expand energy use rather than to limit energy lies in economic analyses of the more immedi-
it. Although societies differ in the degree to which ate energy costs.
Cultural Evolution and Energy 753
Because food is everywhere required by human However, because other energy resources were also
beings, changes in its dynamics reveal much about the used, the output/input gain was somewhat less
course of cultural evolution. History has seen four (column E). With the introduction of work animals,
major kinds of trigger technologies to produce food, the input of nonhuman energy increases (column C).
all of which require human input: (1) human power In general, however, the use of draft animals adds to
in hunting and gathering, (2) cultivation based solely the trigger costs and provides relatively less yield
on human energy, (3) cultivation using work animals, than can be gained by human beings alone (compare
and (4) industrialized agriculture. The ratio of trigger the Mexican production in Table I); the advantage
energy costs to resulting dissipation changes mark- lies in the saving in time it allows. Industrialization
edly in these different phases. brings a major increase in yield over human energy
Minimally, trigger costs must involve human inputs (Table I, column F). With respect to total
beings, but other energy sources are also required trigger costs, however, industrialization reduces the
(tools, fuel, etc.). Table I orders data comparing net energy gain to a level below that of the !Kung,
societies at various levels of energy consumption in and much below that of any all the subsistence
terms of the relative amounts of human and nonhu- agriculturalists (column E). In some cases, when the
man energy used in food procurement. Early human caloric yield is not the object of the cultivation—as
beings, like contemporary hunters and gatherers, with spinach and brussels sprouts—there is a clear
depended almost wholly on their own human energy, net energy loss in the production (column E). Human
as illustrated by the !Kung bushmen (Table I, column activity continues to be important in industrial
C). !Kung gatherers’ energy output was almost four situations. Comparing Japanese and U.S. rice pro-
times as much as their food energy input (Table I, duction shows that human activity yields greater
column F). The development of cultivation increased efficiency in industrial situations. The Japanese farm
this gain from 11 to 24 times as much (column F). requires much more human labor (column C), but
TABLE I
Trigger Energy Cost and Released Flow under Different Food Production Regimesa
A B C D E F
has a higher total net yield compared to the much former does not refer to changes in physical space
more energy-expensive U.S. production (column E). but rather in complexity of structure. He argues that
Although high-energy production is costly in kilo- it is really an ‘‘entropy analogue.’’ It is not a process
calories, it saves time. Pimentel and Pimentel for which reversibility is highly improbable because
calculate that the energy required to till a hectare complex states may have a low or high probability of
of land by human power alone requires 200,000 kcal becoming more or less complex. The identity has,
in 400 hr; with oxen, energy input increases to nevertheless, been found useful by various scholars.
E300,000 kcal in 65 hr; with a 6-hp tractor, it Daniel R. Brooks and E. O. Wiley propose a
increases to E440,000 in 25 hr; with a 50-hp tractor, formulation of biological evolution whereby ‘‘the
it increases to E550,000 in 4 hr. Time, of course, strictly thermodynamic entropy of the organismyin-
may be critical to survival. creases along with the informational entropy, since
Comparable changes took place in the other areas increasing structural complexity requires increasing
in the Industrial Revolution. Whereas human labor energy to maintain the steady state.’’ Sociologist
in fossil-fueled industry at first expanded, the fossil Kenneth D. Bailey tends to put aside thermodynamic
fuels gradually displaced human labor in most of the questions and elaborates a macrotheory of society
production process. Adams showed that in Great that focuses on entropy in terms of the probabilities
Britain, for example, the human population in of order and variation.
agriculture and industry grew to over 30% of the Students of cultural evolution have not generally
total in 1860, then declined by 1990 to well below taken up the challenge of the entropy formulations,
20%. In Japan, between 1920 and 1990, it also although Jeremy Rifkin, in a popular account, traced
declined, from 36% to, again, below 20%. All the increasing use of energy as being inextricably
countries that have become significantly industria- interrelated with the creation of disorder, chaos, and
lized have experienced this decline. However, waste over the course of human history. The
although human energy used in triggers has declined, apparent preference of scholars for the analytic
total energy costs have increased profoundly, draw- utility of energy over entropy may be because the
ing on what was thought to be an unlimited materials of social evolution and history are more
availability of fossil and gravitational energy. In easily measurable in terms of the former than the
industrial society, the energy cost of triggers grew not latter.
only through the accessibility of fossil fuels, but
through the emergence of a vast complex system of
linked triggers, comprising commercial, industrial, 4. ENERGY IN EVOLUTION OF
governmental, and societal organizations. Even
where consumption is relatively low, the ever-
HUMAN SOCIETY
increasing need for energy is a serious challenge to
4.1 Culture and Evolution
the future of industrial societies.
Sociocultural evolution is a part of the evolution of
life, a process that has been best formulated in
3.6 Entropy and Energy
Darwinian terms. Although some discussions differ-
Some scholars of energy and society have found entiate biological and social evolution, in fact, the
entropy to be useful for societal analyses. Particularly individual and the social setting are necessarily
influential was Nicholas Georgescu-Roegen’s work in complementary parts of a single process. Human life
economics, directly arguing the implications of the is generated in the biology of individuals, but it
second law of thermodynamics against more classical survives and reproduces by virtue of the aggregate
views of the inevitably progressive dynamics of the activities and interactions that take place as a part of
market. The focus on entropy in the biological and societies. Whereas all living forms are in some way
social sciences, however, took wings when Claude complex, social complexity is best understood as the
Shannon and Warren Weaver used the term to compounding of successive levels of integration, of
characterize the statistical patterns in information which the individual is one. Thus, no matter the
processes, because they conformed to Ludwig Boltz- complexity of a human cell, an individual, a family, a
mann’s algebraic formula for thermodynamic entropy. band, or a nation, this complexity is compounded by
Scholars differ in their acceptance of the appro- requiring additional interrelationships—and hence
priateness of identifying the informational process organization—among the aggregated components,
with thermodynamics. Jeffrey Wicken argues that the thereby creating new levels of integration.
Cultural Evolution and Energy 755
Human society grows by increasing energy flow. tems. The other is the harnessing of additional energy
This is done first by biological expansion of the from the environment, allowing more opportunities
population. Natural selection has favored those that to tap the flow through its successive stages of
organized in order to reproduce, thus creating dissipation. The Australian aborigines set savanna
societies—what Spencer called the superorganism. fires that release an immense amount of energy but
It is the evolution of human superorganisms that we exercise no further control over it. There is no
call social or cultural evolution. The Darwinian successive system of triggers. In contrast, the fire in a
processes of reproduction, variation, and natural steam locomotive converts water to steam that
selection concern individuals, but societies exist to pushes a piston, that directly turns the wheels, that
propagate individuals and continue to survive while travels along tracks and pulls a number of railway
individuals die. Human society is a facet of natural cars, etc. The detonation of a nuclear bomb requires
selection in that it organizes people to reproduce the the careful arrangement of a chain of trigger actions
human species. before the explosion emerges.
To a degree unmatched by other species, human
beings control a vast range of extrasomatic energy
4.2 Population Growth
forms that are captured, gathered, cultivated, and
mined from the environment and other societies. The most important dynamic process in sociocultural
This extraction of energy is a cost to the environment evolution is population expansion, a thing that, in
caused by the emergence and evolution of human itself, entails a proportionally greater extraction of
society. It may also be seen as a coevolution in which nutritional energy from the environment. That
the human component differentially promotes and energy, however, is then further consumed by human
inhibits the evolution of many other species. Culture activity that further promotes human life.
consists of the mental models people make to deal Population pressure is central to Robert L.
with the external world, and the behavioral and Carneiro’s circumscription theory and to Marvin
material forms that correspond to these representa- Harris’ depletion theory of cultural evolution; it is
tions. People use these mental models to manipulate also at the core of Esther Boserup’s concern with
the external world, to control external energy forms. technological change. As such, it risks being tauto-
In actual historical fact, the models may be the basis logical; but it need not be. Circumscription theory
for creating controls, or the model may be created to proposes that an expanding population pressing
describe a control that has been discovered to work; against an unyielding environment produces changes
in any event, the external controls and their models in social organization. Harris’s depletion theory
develop in an interactive process. Mental models holds that societies inevitably deplete their environ-
trigger energy flows. When we speak of the evolution ment and must, therefore, intensify their production
of culture, we are speaking of both the change in the to retain their living standard. The problem is that
mental models and the changes in energy forms that the evidence for the population pressure and for
correspond to these models. Given that both are depletion lies in the fact that the social organization
involved, the term ‘‘cultural evolution’’ has been used changes. To avoid the tautology, the problems
to refer to two phases of changing human behavior: entailed by this pressure may be specified. The
(1) the process whereby human beings adapt their amount of energy flow is central to both processes.
mental models and social and cultural behavior to In both hunter-gatherer and agricultural societies,
deal with challenges to their survival, and (2) the changes in population density or in level of food
process whereby mental models, societies, and production threaten the availability of energy inputs
cultures become more complex as they adapt to deal to the society. Land:human ratio reduction and/or
with challenges to their survival. environmental depletion will reduce food availability
Some treatments of cultural evolution see the first to the point that social survival is threatened. The
as adaptation and prefer to see the increasing same argument applies in defense of Boserup’s
complexity in terms of more complicated or com- thesis that farming intensified because of declining
pounded social organizations, or in more compli- production. Specifying the connectivity avoids the
cated technology that allows for the control of tautological by showing how social organiza-
greater sequences of energy. The relationship be- tion changes due a demonstrable need to improve
tween energy and cultural evolution lies in two the food supply.
phases of the process. One is the construction of ever A response to such pressure in simple societies is
longer and more complex linked trigger-flow sys- that the society fragments, allowing the separate
756 Cultural Evolution and Energy
segments to hive off in the search for other lands. earlier phases, the argument fails to deal with the
Another response is that the society reaches out for contradictory cases among contemporary states.
other resources by warfare or trade, using local
resources, such as mineral or aquatic resources, to
4.3 Stages of Sociocultural Evolution
trade for the inputs needed. Where no other
possibility is available—or at least known within Anthropologists have long used stages of sociocultur-
the society’s cultural repertory—members may turn al evolution to characterize classes of societies in
to warfare. This in itself, especially in complex evolution. Although various sequences and scales of
societies, requires additional expenditures of energy. complexity have been proposed, no systematic effort
Wars may fail or may succeed in eliminating the has been made to relate them to the level of energy
enemy and in taking their land and resources without use. In the 19th century, Morgan, Tylor, Spencer, and
producing major changes in social complexity Karl Marx all proposed sequences that were generally
beyond those necessary for war. However, if they progressive and argued to constitute some kind of an
capture the other society and control its production, ‘‘advance.’’ In the past century, Childe, Cottrell,
then the emergence of political subordination, Service, and Morton Fried have made such proposi-
slavery, etc. requires a new level of integration, i.e., tions. The formulation of stages, however, has
greater complexity. It is only in the last case that new consistently reflected an author’s particular interests,
external sources of energy are incorporated, and it is and some of the proposals were not made with energy
there that the society becomes more complex. in mind. Karl Marx proposed stages concerning
Although there is good reason to believe that modes of production (tribal, ancient, feudal, and
population pressure and density led to social expan- capitalist) but he evinced no interest in thermody-
sion and intensification in the preindustrial eras of namic issues. His follower, Friedrich Engels, was
human history, the emergence of states decisively more explicit; for him to consider energy in econom-
changed the dynamics. States often want to hold a ics was ‘‘nothing but nonsense.’’
territory, regardless of whether it has any immediate The concern for technology early appeared in
productive use, and also to hold territories that may Morgan’s sequence of savagery, barbarism, and
be important for production, but may be sparsely civilization, whereby the transition between the first
inhabited. States therefore may occupy vast terri- two was specifically based on domestication, and
tories that have little relevance to the immediate therefore with energy consumption and technology.
needs of their population. Given high levels of The criteria for a civilization referred not to energy
economic control and the relative ease of interna- changes but to the appearance of cities and the
tional migration, relatively small states may feel population densities that were thereby implied.
population pressures that are continually eased by Energy conversion technology implicitly came to
emigration, both temporary and permanent. Urbani- include control of human energy by the state. On this
zation, begun with the appearance of advanced basis, Childe proposed two major revolutions in
agricultural systems, continued to be a central part prehistory. The first was the Neolithic Revolution
of the solution under the state. The consequence of that specifically increased food production. The
these differences is that even though hunting bands second was the Urban Revolution that was based
combine low energy consumption with low popula- on the invention of the plow, but its major
tion density, there are some states that have low manifestation was the emergence of cities based on
energy consumption—such as Haiti, Rwanda, and the large economic surpluses. The sequence sug-
Bangladesh—that have very high population density; gested in 1971 by Service—bands, tribes, chiefdoms,
and there are states with high-level energy consump- and state—shifted the concern from a technology to
tion—Australia, Canada and the Iceland—with very the relative complexity of social organization.
low densities. Such differences would not be possible Evolutionary stages have been useful as sequences
in early (i.e., low energy consumption) phases of of kinds of societies reflecting differences in, among
sociocultural evolution. other things, energy consumption. Otherwise, the
R. B. Graeber has proposed a mathematical theory interest shown by social anthropologists in energy
of cultural evolution, relating population, territorial has been related to interests in ecology from an
area, societal numbers, density, and mean societal ethnographic perspective. Actual measurements have
size. He concludes that density and mean societal size been forthcoming in a few field studies, such as those
are ‘‘indicators of the cultural-evolutionary state by Roy A. Rappaport in New Guinea, W. B. Kemp
attained by a population.’’ Although suggestive for among Eskimo, Pertti Pelto with the Skolt Lapps,
Cultural Evolution and Energy 757
and Richard Lee and L. J. Marshall with the !Kung In defining sociocultural complexity, it helps to
Bushmen. differentiate the social from the cultural. It is useful
Contemporary treatments of the stages of cultural to see social complexity as the creation or differ-
evolution have dispensed with the notions of entiation of social relationships in new configura-
progress or advance that were inherent in 19th and tions. Most importantly, sociocultural complexity
early 20th century versions. However, there have refers to the creation of new levels of social
been few major formulations that take into account integration, hence to stratification, centralization,
the potential exhaustion of energy resources for the inequality, and emergence of hierarchy. Service’s four
species as a whole and the consequent potential stages outlined a succession of compounding orga-
decline that it implies. Tainter has explored the nizations. Cultural complexity, however, refers to the
process of decline and collapse of specific societies heterogeneity and multiplicity of culture, i.e., mean-
and civilizations, but, given the dominant role of ing systems and the corresponding material and
historical contingencies, there is little basis for behavioral forms—as in technology (communication,
predicting just how cultural devolution will emerge. engineering), social organization (voluntary associa-
There is reason to suspect, however, that although tions, networking), and mental models (intellectual
the societies and cultures became more complex with and symbolic systems) allowing for mathematics and
increases in energy, the internal dynamics of complex astronomy, to suggest just a few. A number of scales
organizations will lead to decreasing returns in the of complexity have been proposed for simpler
future. Moreover, the social life of the species has societies. One by Carneiro proposed the relevance
evolved as innumerable separate societies, and these of over 600 traits in 72 societies and another by
will each continue to trace their own course. George Peter Murdock and Catarina Provost was
based on 10 traits in 180 societies; the two scales
correlate highly. Henri J. M. Claessen and Pieter van
4.4 Energy and Complexity
de Velde have proposed a specific model of evolution
No matter how heuristically useful stages of growth as a complex interaction.
have been in ordering materials, they tend to imply The salience of comparative energy consumption
an unwarranted punctuated quality to the course of has been clearly related to social complexity in the
cultural evolution. In fact, the process has been much study of contemporary societies at the national level.
more gradual, fluctuating over time and space, and Somewhat contrary concerns for energy shortages on
the central quality that reflects change in energy flow the one hand, and environmental damage on the
is the change in complexity. other, have stimulated a concern over the past four
In 1943, Leslie White formulated the first specific decades for the relation between levels of energy
proposition relating energy consumption to cultural consumption and various aspects of living. The
evolution: interests here differ from those concerning the stages
‘‘Culture develops when the amount of energy of cultural evolution, not merely because they are
harnessed by man per capita per year is increased; or contemporary and deal with nation states, but
as the efficiency of the technological means of putting because they are motivated by the concern for the
this energy to work is increased; or, as both factors survival of society in the short and long terms. At this
are simultaneously increased.’’ Although it has level, there is little doubt that there is a relationship
recently been claimed that ‘‘the thermodynamic between various measures of quality of living and
conception of culture has suffused cultural evolu- energy consumption. In 1970, Boserup divided 130
tionism,’’ there is little work in the anthropological nation-states evenly into five groups based on
literature to support this. Whereas the domestication technology and demonstrated the consistent differ-
of plants and animals was accompanied by increases ence in some indices of development and welfare. The
in population, fluctuating increases in energy con- first group had an average per capita energy
sumption, and imperial expansions over the past consumption of 50, the third had 445, and the fifth
5000 years, the exponential per capita growth of had 4910. The corresponding life expectancies were
both population and energy flow most markedly 41, 55, and 72 years. The percentage of the popu-
began with the Industrial Revolution. Boserup lation that was literate was 12, 46, and 98%,
calculates that in 1500 ad the population density in respectively. However, in a much-cited 1965 study,
Europe was still under 8 persons/km2, and by 1750 it Ali Bulent Cambel reported that in countries with
was still below 16 persons/km2; by 1900 it had over $1500 per capita, the energy consumption varied
reached averages as high as 128 persons/km2. widely from below 50 to over 175 Btu per capita.
758 Cultural Evolution and Energy
In relating the amount of energy used by a society human civilizations of the past 50,000 years. The so-
to its complexity, there are a number of conditioning called devolution would, among other things, be the
factors. First, in both the agential and holistic evolution of cultures that would be formally different
perspectives, the control of energy must distinguish from their predecessors, but necessarily simpler in
between controls that merely release energy but do the diversity of traits and relationships.
not further control it; and controls that not only
release but can limit or amplify the flow, its direction,
4.5 Partitioning of Energy
and its impact, i.e., modulate the flow. In the first
case, the energy is totally an output, a degrading that A facet of energy flow analysis that can help clarify
removes it from the society, such as setting an the nature of society is how it is differentially
uncontrolled fire, detonating a bomb, or pushing a partitioned among different internal functions and
person off a cliff; the impacts are randomized. In the external relations. The way that energy is channeled
second, the available energy is kept within control of and how this changes throw light on what is taking
the society, and the impacts are controlled, such as place in the structure of the society. For example, the
the adjustment of the level of electric current, the proportion of the total energy flow involved in
ability of a court to vary a prison sentence, or of a feeding the society seems remarkably similar in both
farmer to decide when to plant a crop. The Australian simple and complex industrial societies. John A.
aborigines who set extensive range fires to clear out Whitehead compared two Australian aboriginal
savanna litter have no control over its dissipation. bands with the population in the United States.
According to one estimate, such fires may release up Whereas the aboriginal bands used 20–30% of their
to 500 million kcal of biomass energy a year—six energy resources for food gathering, in the United
times that used by the average American on a per States, household plus commercial (which included
capita basis—but the fires and the dissipation cannot more than food) consumption was estimated at 27%.
be controlled. Joel Darmstadter and colleagues found in eight Euro-
Second, the increase of societal complexity de- American countries that the household–commercial
pends not merely on the total energy released, nor sector constituted between 24 and 32% of the
even that for which there is control over the output, and 19% in Japan. This suggests that there
dissipation, but whether the controlled energy is is a consistent relationship between the nutrition
effective in the self-reproduction of the society. In requirements of the human beings and the economic
terms of comparative societal evaluation, this is process that surrounds them, irrespective of the
technically more difficult to ascertain. One has to energy level of the society.
judge whether ceremonial structures and perfor- In contrast, some differences appear in human
mances dedicated to appeasing a rain god are in fact energy partitioning as the total energy flow increases.
more cost-effective than the construction of an In comparing a series of nations in the past 150
irrigation system, or at what point the energetic years, Adams found that the proportion of the
costs of imperial expansion cease to be productive population engaged in productive activities—i.e.,
for the society’s reproduction. Returning to White’s agriculture and industry—was as high as 40% in
proposition, a revised version might be as follows: the 19th century, but then dropped, often below 20%
the evolution of sociocultural complexity varies by the end of the 20th century. This was true of both
directly with the amount of energy controlled per highly industrialized countries as well as much of the
capita per year and with the efficiency of the Third World that increasingly received the industrial
technological means of putting this energy to work produce of advanced countries. In contrast, the
in behalf of societal reproduction. population engaged in administration and commerce
Although there are cases in which culture appears was everywhere between 2 and 4% in the early
to be devolving and to be returning to some earlier censuses, but then rose to as high as 20%, varying
form, in fact such a return simply does not happen. If directly with the increase in nonhuman energy. The
there were a vast and gradual decline of energy expansion of this regulatory sector of the population
available for consumption, it would require cultural was systematically more marked in the countries
simplification and reduction in complexity, but this with high levels of energy consumption.
would require new adaptations. But there would be Changes in the partitioning of energy consump-
no strict reversion to the social and cultural forms tion were fundamental in the evolution of the
that emerged during the expansive phases of the capacity for culture. Leslie C. Aiello and Jonathan
species over the past few million years, or of the C. K. Wells write that ‘‘the emergence of Homo is
Cultural Evolution and Energy 759
characterized byyan absolute increase, to greater For some, the question of energy shortages was
body size [and] a shift in relative requirements of less critical than a preoccupation with the damage
different organs, with increased energy diverted to done to the environment by the impacts of increasing
brain metabolism at the expense of gut tissuey.’’ energy expenditure. Concern for this was evinced in
The nutrition patterns changed profoundly as the the 19th century by George Perkins Marsh and
range of the human diet allowed greater territorial Alexander Ivanovich Voikof; more recently, Rachel
range, and digestive efficiency increased and the Carson’s Silent Spring (1962) helped trigger the
relative amount of energy required decreased. This environmental movement in the United States. The
decreasing proportion of energy dedicated to food remainder of the 20th century saw the expansion of
processing was accompanied by an increase in the environmental politics and studies concerned with
size of the brain and the relative amount of energy the destruction of natural resources over much of the
contributing to it. The increased efficiency of food world. Besides the exhaustion of nonrenewable
processing was thus related to an increase in diet energy resources, another major concern has been
quality, which is consistent with the observation that the effect of excessive combustion of fossil fuels on
primates with higher diet quality have higher levels the atmosphere, global warming, and related dete-
of social activity. rioration of the ecology of the planet. The chemical
These changes occurred relatively rapidly as the and material pollution of oceans, lakes, and the air
hominid brain from Australopithecus to Homo was coupled with the deposition of millions of tons
sapiens grew at a rate almost three times that which of waste over the earth’s surface. In all this, the role
characterized ungulates and carnivores in general. of increasing energy use was fundamental, both in
Part of this growth was increase in human brain size, the despoiling of resources and in polluting the
and more particularly the appearance of fissures that environment. The central question is shifting from
Harry J. Jerison argued allowed ‘‘the evolutionary simply how to get more energy to how to reduce
building of integrated neural circuits through which consumption.
diverse sensory information could be used to create The concern with the availability of energy
increasing complex mental images.’’ This suggests resources in the nations consuming high levels of
that the ability to create models of reality—an energy, especially the United States, replays the
important component in culture—existed 50 millions problems of circumscription and depletion in earlier
years ago. The energetic dimension of this change human societies. The concern has dominated both
was reflected in the changing partitioning of energy economic and political policy and action to a degree
use between the brain and the gut. Today, according that is seldom explored to the fullest. Availability has
to Marcus E. Raichle and Debra A. Gusnard, the directly affected the development of environmental
brain represents 2% of body weight, but accounts for concerns in areas of potential oil exploitation, pitting
20% of calorie consumption by the body. those concerned for the long-term environmental and
human sustainability issues against those interested
in the monetary yield of exploiting as many resources
4.6 The Limits of Growth
as fast as possible and controlling resources in other
Although the conveniences made possible by increas- parts of the world. The response of the United States
ing energy use and intensifying consumption were to the terrorist attacks of 2001 was not unlike those
viewed as human progress by some, the vulnerability postulated for early societies facing threats to their
it implied was also recognized. Soddy early devoted a resources created by population growth and compe-
number of works to this aspect of contemporary titive societies.
societies, arguing that energy could be a limiting
factor in social growth. He recognized that the shift
from renewable agricultural resources to an increas- 5. CONCLUDING NOTE
ing dependence on coal and, later, petroleum posed
serious problems for advanced societies. Lotka’s Spencer recognized the importance of energetic
proposition on the maximization of energy in living processes to the evolution of culture and society in
systems carefully specified that the dynamics of his formulation of the modern concept of evolution
greater energy flows exercising dominance over lesser in the 19th century. It was formally articulated in
flow could take place only ‘‘so long as there is 1943 by Leslie White, and interest since that time has
presented an unutilized residue of matter and been limited mainly to archaeologists, who have
available energy.’’ found in it a useful basis for comparing societies and
760 Cultural Evolution and Energy
for modeling the activities of prehistoric societies, Sustainable Development: Basic Concepts and Ap-
and to a few ethnologists working in technologically plication to Energy War and Energy
limited societies. Independently an understanding of
nonequilibrium thermodynamic systems was opened
in mid-20th century by the work of Prigogine, Further Reading
yielding the model of the dissipative structure. This
Adams, R. N. (1988). ‘‘The Eighth Day: Social Evolution as the
has provided the basis for the mapping of social
Self Organization of Energy.’’ University of Texas Press, Austin.
processes onto energetic dynamics, a potential as yet Boserup, E. (1981). ‘‘Population and Technological Change.’’
little explored. The importance of energy to the University of Chicago Press, Chicago.
organization of society and to its future has become a Carneiro, R. L. (2003). ‘‘Evolutionism in Cultural Anthropology.’’
matter of major concern to contemporary nations Westview Press, Boulder, Colorado.
because of their increasing demand for energy, and Claessen, H. J. M., van de Velde, P., and Smith, M. E. (1985).
‘‘Development and Decline, The Evolution of Sociopolitical
by environmentalists and globally conscious politi- Organization.’’ Bergin & Garvey Publ., South Hadley, Massa-
cians and economists in their concern for ecological chusetts.
survival and the planet’s ability to support human Darmstadter, J., Dunkerley, J., and Alterman, J. (1977). ‘‘How
life. What may seem to be an arcane interest in the Industrial Societies Use Energy.’’ Johns Hopkins University
role of energy in cultural evolution is directly related Press, Baltimore.
Khalil, E. L., and Boulding, K. E. (eds.). (1996). ‘‘Evolution, Order
to the imperative concern for the survival of human and Complexity.’’ Routledge, London and New York.
society. Lenski, G., and Lenski, J. (1996). ‘‘Human Societies.’’ Fifth Ed.
McGraw-Hill, New York.
Pimentel, D., and Pimentel, M. (eds.). (1996). ‘‘Food, Energy
and Society,’’ Rev Ed. Niwot, University of Colorado Press,
SEE ALSO THE Colorado.
FOLLOWING ARTICLES Prigogine, I., and Stengers, I. (1984). ‘‘Order out of Chaos.’’
Bantam Books, New York.
Development and Energy, Overview Early Indus- Rosa, E. A., and Machlis, G. E. (1988). Energetic theories of
trial World, Energy Flow in Earth’s Energy Balance society: An evaluative review. Sociol. Inquiry 53, 152–178.
Global Energy Use: Status and Trends Oil Crises,
Sanderson, S. K. (1990). ‘‘Social Evolutionism.’’ Blackwell, Cam-
bridge and Oxford.
Historical Perspective Population Growth and White, L. (1959). ‘‘The Evolution of Culture.’’ McGraw-Hill,
Energy Sociopolitical Collapse, Energy and New York.
Decomposition Analysis Applied
to Energy D
B. W. ANG
National University of Singapore
Singapore
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 761
762 Decomposition Analysis Applied to Energy
numerous decomposition techniques have been where the summation is taken over the n sectors. The
proposed. aggregate energy intensity is expressed in terms of
Information obtained through decomposition production share and sectoral energy intensity.
analysis has direct policy implications. The composi- Suppose the aggregate energy intensity varies from
tion of industrial activity is effectively beyond the I0 in Year 0 to IT in Year T. Such a change may be
control of the energy policymaker except through expressed in two ways, Dtot ¼ IT =I0 and DItot ¼
indirect measures such as energy pricing. On the IT I0 ; respectively a ratio and a difference. Accord-
other hand, many measures can be taken to influence ingly, decomposition may be conducted either multi-
sectoral energy intensity change, such as taxation, plicatively or additively, respectively expressed in
regulatory standards, financial incentives, and infor- the forms
mation programs. The ability to accurately quantify Dtot ¼ IT =I0 ¼ Dstr Dint
the relative contributions of structural change
DItot ¼ IT I0 ¼ DIstr þ DIint ;
and energy intensity change provides insight into
trends in industrial use of energy. The success or where Dstr and DIstr denote the impact of structural
failure of national energy conservation programs change, and Dint and DIint denote the impact of
may be evaluated. The decomposition results also sectoral intensity change. In the multiplicative case,
provide a basis for forecasting future energy require- all the terms are given in indices, whereas in the
ments and for evaluating appropriate courses of additive case all the terms, including the aggregate
action. being decomposed, have the same unit of measurement.
Decomposition Analysis Applied to Energy 763
The Laspeyres index approach follows the Laspeyres Since in practice only discrete data are available, the
price and quantity indices by isolating the impact of a weight function has to be explicitly defined in actual
variable by letting that specific variable change while application. Two of the weight functions that have
holding the other variables at their respective base been proposed in energy decomposition analysis are
year values (in this case, Year 0). The formulae for described next.
multiplicative decomposition are The first is the arithmetic mean of the weights for
X X
Dstr ¼ Si;T Ii;0 = Si;0 Ii;0 Year 0 and Year T, where
i i
( )
X X X
Dint ¼ Si;0 Ii;T = Si;0 Ii;0 Dstr ¼ exp oi;T þ oi;0 =2 ln Si;T =Si;0
i i i
( )
Drsd ¼ Dtot =ðDstr Dint Þ: X
Dint ¼ exp oi;T þ oi;0 =2 ln Ii;T =Ii;0 :
In additive decomposition, the formulae are i
X X
DIstr ¼ Si;T Ii;0 Si;0 Ii;0 Like the Laspeyres index approach, the approach
i i
X X does not give perfect decomposition, and we can
DIint ¼ Si;0 Ii;T Si;0 Ii;0 write Dtot ¼ Dstr Dint Drsd : The additive version can
i i be derived in the same manner, and the relevant
DIrsd ¼ DItot DIstr DIint : formulae are
X
The Laspeyres index approach does not give perfect DIstr ¼ Ei;T =YT þ Ei;0 =Y0 =2 ln Si;T =Si;0
decomposition. The residual terms Drsd and DIstr X
i
denote the part that is left unexplained. Decomposi- DIint ¼ Ei;T =YT þ Ei;0 =Y0 =2 ln Ii;T =Ii;0 :
tion is considered perfect if Drsd ¼ 1 and DIstr ¼ 0: i
These are also target values of the residual terms for
The decomposition is also not perfect, and we have
evaluating the performance of a decomposition
DItot ¼ DIstr þ DIint þ DIrsd :
technique.
The second and more refined weight function is
given by the logarithmic mean of the weights for
2.3 Divisia Index Approach Year 0 and Year T. The corresponding formulae are
( )
The Divisia index is an integral index number. In this X L Ei;T =YT; Ei;0 =Y0
Dstr ¼ exp ln Si;T =Si;0
approach, first the theorem
P of instantaneous growth LðIT ; I0 Þ
i
rate is applied to It ¼ i Si;t Ii;t ; which gives ( )
X X L Ei;T =YT; Ei;0 =Y0
d lnðIT =dtÞ ¼ oi d ln Si;t =dt þ d ln Ii;t =dt ; Dint ¼ exp ln Ii;T =Ii;0
i i
LðIT ; I0 Þ
X
where oi ¼ Ei;t =Et is the sector share of DIstr ¼ L Ei;T =YT ; Ei;0 =Y0 ln Si;T =Si;0
energy consumption and is known as the weight i
X
for sector i in the summation. Integrating over time DIint ¼ L Ei;T =YT ; Ei;0 =Y0 ln Si;T =Si;0 ;
from 0 to T, i
Z TX
where the function Lða; bÞ is the logarithmic mean of
lnðIT =I0 Þ ¼ oi d ln Si;t =dt
0 i two positive numbers a and b given by
Z T X Lða; bÞ ¼ ða bÞ=ðln a ln bÞ; for aab
þ oi d ln Ii;t =dt ;
0 i
¼ a; for a ¼ b
Taking the exponential, the previous equation The advantage of the logarithmic mean weight
can be expressed in the multiplicative form Dtot ¼ function is that perfect decomposition is ensured. It
764 Decomposition Analysis Applied to Energy
can be proven that the residual term does not exist TABLE I
(i.e., Drsd ¼ 1 and DIstr ¼ 0). An Illustrative Example (Arbitrary Units)
Year 0 Year T
2.4 An Example
E0 Y0 S0 I0 ET YT ST IT
Table I shows a hypothetical case in which industry
comprises two sectors. The sectoral energy intensity Sector 1 30 10 0.2 3.0 80 40 0.5 2.0
decreases from Year 0 to Year T for both sectors. In Sector 2 20 40 0.8 0.5 16 40 0.5 0.4
percentage terms, it decreases by 33% in sector 1 and Industry 50 50 1.0 1.0 96 80 1.0 1.2
by 20% in sector 2. By examining the sectoral data,
one would conclude that at the given sectoral level,
there are significant improvements in energy effi-
ciency. At the industrywide level, however, the TABLE II
aggregate energy intensity increases by 20%. This Decomposition Results Obtained Using the Data in Table I
apparent contradiction arises because of structural
change. Sector 1, the more energy intensive of the Divisia approach
two sectors, expands substantially in production
Laspeyres Arithmetic Logarithmic
level and its production share increases from 20 to
approach mean mean
50%. The achievements in energy conservation,
assuming that conservation measures have been Multiplicative
successfully implemented within sectors 1 and 2, Dtot 1.2000 1.2000 1.2000
are therefore not reflected in the industrywide Dstr 1.7500 1.6879 1.6996
aggregate indicator. Dint 0.7200 0.7020 0.7060
Application of appropriate decomposition techni- Drsd 0.9524 1.0127 1a
ques to give the impacts of structural change and Additive
energy intensity change helps to resolve the previous DItot 0.2000 0.2000 0.2000
apparent contradiction. The decomposition results DIstr 0.7500 0.5920 0.5819
obtained using the Laspeyres index method and the DIint 0.2800 0.3913 0.3819
two Divisia index methods are summarized in Table DIrsd 0.2700 0.0007 0a
II. Based on the results for the logarithmic mean a
Perfect decomposition.
Divisia method, we conclude that in multiplicative
decomposition, the contribution of structural change
increases by 70%, whereas that of sectoral energy
change decreases by 29%, resulting in a net 20% 3. METHODOLOGY AND
increase in the aggregate energy intensity as ob- RELATED ISSUES
served. In the case of additive decomposition,
structural change accounts for an increase by 0.58 The methodological development of energy decom-
units, whereas sectoral energy intensity change position analysis since the late 1970s may be divided
accounts for a decrease by 0.38 units, leading to into three phases: the introduction phase (prior to
a net increase in the aggregate energy intensity of 1985), the consolidation phase (1985–1995), and the
0.20 units. further refinement phase (after 1995). It is a multi-
It may be seen that the impacts of structural faceted subject, and the advances have been made
change and energy intensity change can be due to the collective effort of researchers and analysts
conveniently estimated and the relative contribu- with backgrounds varying from science to mathe-
tions identified. In actual application, where matics, engineering, and economics.
very fine data are available, the number of sectors
can be as many as a few hundred. The decomposi- 3.1 The Introduction Phase
tion results obtained are method dependent, as
(Prior to 1985)
shown in Table II, and the choice of an appropriate
technique is often an application issue. The metho- The techniques proposed prior to the mid-1980s are
dology has been applied to study problems intuitive and straightforward. Typically, the impact
with more than two factors and in many energy- of structural change was singled out by computing
related areas. the hypothetical aggregate energy intensity that
Decomposition Analysis Applied to Energy 765
would have been in a target year had sectoral energy adaptive weighting parametric Divisia index
intensities remained unchanged at their respective method, was the most sophisticated decomposition
values in a base year. The difference between this technique. It was later adopted by some researchers
hypothetical target year aggregate energy intensity and analysts.
and the observed base year aggregate energy intensity
is taken as the impact of structural change. The
3.3 Further Refinement Phase (after 1995)
difference between the observed aggregate energy
intensity and the hypothetical aggregate energy Until the mid-1990s, all the proposed energy
intensity, both of the target year, is taken as the decomposition techniques left an unexplained resi-
impact of sectoral energy change. These techniques dual term. Studies found that in some situations the
were first proposed by researchers to study trends of residual term could be large, especially for the
industrial use of energy in the United Kingdom and Laspeyres index approach. This issue became a
the United States in approximately 1980. No concern because if a large part of the change in the
reference was made to index numbers in these aggregate is left unexplained, the interpretation of
studies, which means that the techniques were decomposition results would become difficult if not
developed independent of index number theory. impossible, and the objective of decomposition
However, it was later found that these techniques analysis would be defeated.
were very similar to the Laspeyres index in concept. Researchers began to search for more refined
Methodologically, it is appropriate to refer to them decomposition techniques, and the first perfect
as the Laspeyres index approach or the Laspeyres decomposition technique for energy decomposition
index-related decomposition approach. analysis was proposed in 1997. This technique is
similar to the logarithmic mean Divisia index
method. In addition to having the property of perfect
3.2 The Consolidation Phase (1985–1995)
decomposition, the logarithmic mean Divisia index
In this phase, several new techniques were proposed, methods are also superior to the arithmetic mean
with the realization that the Laspeyres index concept Divisia method in that they can handle data with
need not be the only one that could be adopted. The zero values. After the application of decomposition
arithmetic mean Divisia index method was proposed analysis was extended to include the effect of fuel
in 1987 as an alternative to the Laspeyres index mix in the early 1990s, the existence of zero values in
method. At approximately the same time, as an the data set became a problem for some decomposi-
extension to the Laspeyres index formula that assigns tion techniques. Zero values will appear in the data
the total weight to the base year, methods with equal set when an energy source, such as nuclear energy or
weight assigned to Year 0 and Year T were natural gas, begins or ceases to be used in a sector in
formulated. This modification leads to formulae that the study period.
possess the symmetry property. In the Laspeyres index approach, the residual
In the early 1990s, attempts were made to terms, such as those shown in Table II, are known to
consolidate the fast growing number of methods researchers to consist of interactions among the
into a unified decomposition framework. A notable factors considered in decomposition. A scheme to
development was the introduction in 1992 of two distribute the interaction terms, whereby perfect
general parametric Divisia index methods that allow decomposition is achieved, was proposed in 1998.
an infinite number of decomposition methods to be It has been referred to as the refined Laspeyres index
specified. In these two methods, the weights for Year method because it may be considered a refinement
0 and Year T are treated as variables whose values to the Laspeyres approach. In 2002, researchers
are explicitly defined. By choosing the weights introduced the Shapley decomposition, a perfect
appropriately, many earlier methods, including those decomposition technique that has long been used in
based on the Laspeyres index approach and the cost-allocation problems, to energy decomposition
Divisia index approach, can be shown to be special analysis. It has been determined that the refined
cases of these two general methods. Alternatively, the Laspeyres index technique introduced in 1998 and
weights can be determined in an adaptive manner the Shapley decomposition technique are exactly
based on energy consumption and output growth the same. Several other techniques that give
patterns in the data set. In chaining decomposition, perfect decomposition have been reported, includ-
the weights would be updated automatically over ing one that uses the concept of the Fisher ideal
time. By the mid-1990s, this technique, called the index.
766 Decomposition Analysis Applied to Energy
3.4 Other Methodological Issues the two years in the analysis without considering the
data of all the intervening years. In contrast, decom-
In addition to method formulation, the following position on a chaining basis involves yearly decom-
methodological issues are relevant to the application position using the data of every two consecutive years
of decomposition analysis: multiplicative decomposi- starting from year 0 and ending at year T, with the
tion versus additive decomposition, disaggregation decomposition results computed on a cumulative
level of the data, and decomposition on a chaining basis over time. Chaining decomposition has also
basis versus a nonchaining basis. Each of these issues been referred to as time-series decomposition and
is briefly described. rolling base year decomposition. In nonchaining
For a given data set, the analyst may use either the decomposition, the year-to-year evolution of factors
multiplicative scheme or the additive decomposition over time between year 0 and year T is not considered.
scheme, and generally only one will be chosen by the It has been shown that there is less variation between
analyst. The decomposition formulae for the two the results given by different decomposition techni-
schemes are different, as are the numerical results ques when decomposition is performed on a chaining
obtained. However, the main conclusions are gen- basis. This consistency, which arises because decom-
erally the same. As previously mentioned, the position is ‘‘path dependent,’’ is a distinct advantage.
numerical results of the estimated effects are given As such, the chaining procedure should be preferred
in indices in multiplicative decomposition, but they when time-series data are available. However, non-
are given in a physical unit in additive decomposi- chaining decomposition is the only choice in some
tion. Preference of the analyst and ease of result situations, such as in studies that involve a very large
interpretation are the main considerations in the number of sectors for which energy and production
choice between the two decomposition schemes. data are not collected annually.
Methodologically, the logarithmic mean Divisia
index method has an advantage over other methods
3.5 Further Remarks
because the results obtained from the multiplicative
and the additive schemes are linked by a very simple The methodological development of energy decom-
and straightforward formula. This unique property position analysis has also been driven by the need of
allows the estimate of an effect given by one of the energy researchers to study an increasingly wider
two schemes to be readily converted to that of the range of problems. In the simplest form and with
other, and the choice between the multiplicative and only two factors, many decomposition techniques
additive schemes made by the analyst before decom- have a strong affinity with index numbers (i.e.,
position becomes inconsequential. product mix and energy intensity as equivalent to
The disaggregation level of the data defines the commodity quantity and price on an aggregate
level or degree of structural change to be estimated. In commodity value in economics). However, the
the case of energy use in industry, past decomposition problems studied after 1990 seldom have two
studies used levels varying from 2 sectors, which is factors. A typical decomposition problem on en-
the minimum, to approximately 500 sectors. The ergy-related national carbon dioxide (CO2) emis-
choice of disaggregation level dictates the results since sions, for instance, involves five factors—total energy
structural change and energy efficiency change are demand per unit of gross domestic product (GDP),
dependent on the level chosen. Hence, result inter- per capita GDP, population, energy demand by fuel
pretation must be done with reference to the level type, and the CO2 emission coefficient by fuel type.
defined and generalization should be avoided. A fine There is a good collection of decomposition
level of sector disaggregation is normally preferred. techniques that can cater to almost every possible
For instance, energy efficiency change is often taken decomposition situation or suit the varied needs of the
as the inverse of the estimated energy intensity analyst. Each of these techniques has its strengths and
change. Derived in this manner, a good estimate of weaknesses. Perfect decomposition has been widely
the real energy efficiency change requires that accepted as a very desirable property of a decomposi-
industry be broken down into a sufficiently large tion technique in energy analysis. In some situations,
number of sectors. The quality of the estimate especially in cross-country decomposition, some of the
improves as the number of sectors increase. techniques that do not give perfect decomposition
When year 0 and year T are not consecutive years could have a residual term many times larger than the
but two points in time separated by 1 year or more, estimated main effects. In addition, there are techni-
nonchaining decomposition simply uses the data of ques that fail when the data set contains zero values or
Decomposition Analysis Applied to Energy 767
negative values. Some techniques, such as those based analysis were made to study energy use in the economy
on the Divisia index, have the advantage of ease of as a whole, in energy-consuming sectors other than
formulation and use, whereas others, including those industry, and in the energy supply sector. In the case of
based on the Laspeyres index, have complex formulae national energy demand, the aggregate to be decom-
when more than three factors are considered. posed is generally energy use per unit of GDP,
In general, whether a specific technique is applic- commonly known as the energy-output ratio in the
able or the ‘‘best’’ among all depends on the energy literature, where energy use covers all sectors of
following: (i) the properties of the technique, which the economy and structural change refers to changes in
are related to the index number with which the GDP product mix. However, such studies often have
technique is associated with; (ii) ease of under- difficulty matching energy consumption with econom-
standing and use; (iii) the problem being analyzed, ic output. This is due to the fact that energy uses in
such as whether it is a temporal or cross-country some sectors, such as private transportation and
problem; and (iv) the data structure, such as whether residential, have no direct match with output sectors/
zero or negative values exist in the data set. A good activities in the GDP, and as such some adjustments to
understanding of the strengths and weaknesses of the sector definition and data are often needed.
various decomposition techniques would allow Regarding energy consumption in major sectors
analysts to make sound judgments as to which other than industry, studies have been performed on
technique to use. These issues are addressed in some energy use in passenger transportation and in freight
publications. transportation. For passenger transportation, aggre-
gate energy use per passenger-kilometer has been
decomposed to give the impacts of transportation
4. APPLICATION AND modal mix and modal energy intensity given by
RELATED ISSUES modal energy requirement per passenger-kilometer.
Similarly, for freight transportation, aggregate energy
The origin of energy decomposition analysis is closely use per tonne-kilometer of freight moved has been
linked to the study of energy use in industry. Not decomposed. For residential energy use, decomposi-
surprisingly, this application area accounted for most tion has been conducted to quantify the impact of
of the publications on the subject until 1990. Since changes in the mix of residential energy services
then, the application of decomposition analysis has consumed. For electricity production, aggregate
expanded greatly in scope. The main reasons are the generation efficiency has been decomposed to give
growing concern about the environment and the the impacts of generation mix and the generation
increased emphasis on sustainable development glob- efficiency of each fuel type.
ally. Moreover, decomposition analysis can be con-
veniently adopted as long as structural change can be
4.2 Energy-Related Gas Emissions
meaningfully defined and data are available at the
chosen disaggregation level. Indeed, its simplicity and Since the early 1990s, due to the growing concern
flexibility opens up many possible application areas. about global warming and air pollution, an increas-
Some of these, such as the development of national ing number of studies on the decomposition of
energy efficiency indicators to monitor national energy energy-induced emissions of CO2 have been per-
efficiency trends, are unique to index decomposition formed. The extension of the methodology presented
analysis as a decomposition methodology. In terms of in Section 2 to decompose an aggregate CO2
application by country, decomposition analysis has indicator is fairly straightforward. Assume that the
been adopted to study energy and energy-related ratio of industrial energy-related CO2 emissions to
issues in a large number of countries, including all industrial output is the aggregate of interest. A
major industrialized countries, most Eastern European declining trend for the indicator is generally pre-
countries including Russia, and many developing ferred, and the motivation is to study the underlying
countries. The following sections focus on develop- factors contributing to changes in the aggregate. This
ments in several key application areas. would normally be formulated as a four-factor
problem with the following factors: industrial output
structure change, sectoral energy intensity change,
4.1 Energy
sectoral fuel share change, and fuel CO2 emission
With the successful application to study trends of coefficient change. Similar decomposition procedures
energy use in industry, extensions to decomposition have been applied to study energy-related CO2
768 Decomposition Analysis Applied to Energy
emissions for the economy as a whole, other major methodology, including the use of physical indicators
energy-consuming sectors, and the energy supply to measure output or activity level, have allowed the
sector. Although the focus among researchers and development and use of more meaningful and robust
analysts has been on CO2 emissions, some studies energy efficiency indicators or indices. A related
have dealt with emissions of other gases, such as methodological framework that would more accu-
sulfur dioxide and nitrogen oxides. The number of rately track trends in energy efficiency has been
decomposition studies dealing with energy-related gas developed by many countries and international
emissions equaled that of studies on energy demand organizations, including the Energy Efficiency and
by the late 1990s and exceeded the latter in 2000. Conservation Authority of New Zealand, the U.S.
Department of Energy, the Office of Energy Efficiency
of Canada, the International Energy Agency, and the
4.3 Material Flows and Dematerialization European Project and Database on Energy Efficiency
Indicators.
Another extension of decomposition analysis is the
study of the use of materials in an economy. The
materials of interest to researchers include a wide range 4.5 Cross-Country Comparisons
of metals and nonmetallic minerals, timber, paper,
Cross-country comparisons involve the quantification
water, cotton, etc. The list also includes oil, coal, and
of factors contributing to differences in an aggregate,
natural gas, which are treated as materials rather than
such as aggregate energy intensity or the ratio of
energy sources. The aggregate of interest would be the
energy-related CO2 emissions to GDP, between two
consumption of a material divided by GDP or some
countries. The factors considered are similar to those
other meaningful output measure. In material flows
in the study of changes in the indicator over time in a
studies, dematerialization refers to the absolute or
country. In decomposition analysis, the data for the
relative reduction in the quantity of material to serve
two countries are taken to be the same as those for
economic functions, and its concept is similar to
two different years in a single-country study. Such
reduction of aggregate energy intensity. The technique
studies have been carried out for a number of
of energy decomposition analysis can be easily
countries. Studies have also compared CO2 emissions
extended to material decomposition analysis to study
between world regions, such as between North
trends of material use. Indeed, a number of such studies
America and the developing world. For the factors
have been performed, and it has been found that
considered, because the variations tend to be larger
decomposition analysis is a useful means of analyzing
between two countries/regions than between two
the development of the materials basis of an economy.
years for a country, the decomposition tends to give a
large residual term if nonperfect decomposition
techniques are applied. In general, the use of a perfect
4.4 National Energy Efficiency
decomposition technique is recommended for cross-
Trend Monitoring
country decomposition analysis.
Increasingly more countries see the need to have
appropriate national energy efficiency indicators or
indices to measure national energy efficiency trends 5. CONCLUSION
and progress toward national energy efficiency
targets. The energy efficiency indicators may be The methodology development and application of
defined at the national level or at the sectoral level index decomposition analysis have been driven by
of energy consumption, such as industrial, transpor- energy researchers since the 1970s, immediately after
tation, commercial, and residential. Here, the pri- the 1973 and 1974 world oil crisis. In the case of the
mary focus of decomposition analysis is not to study basic two-factor decomposition problems, the tool
the impact of structural change. Rather, it is the has a strong affinity with index number problems.
elimination of the impacts of structural change and Nevertheless, over the years, energy researchers and
other factors from changes in an aggregate such as the analysts have continuously refined and extended the
ratio of national energy consumption to GDP, methodology for the unique situations and require-
whereby the impact of energy intensity change ments in the energy field. As a result, decomposition
computed is sufficiently refined to be taken as analysis has reached a reasonable level of sophistica-
inversely proportional to real energy efficiency tion and its usefulness in energy studies has been
change. Advances in the decomposition analysis firmly established.
Decomposition Analysis Applied to Energy 769
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 771
772 Depletion and Valuation of Energy Resources
were early simple machines that magnified human of the total tonnage entering British ports in the
and animal power considerably. Watermills and 1750s was timber, and fir imports grew 700% from
windmills arrived and showed what could be 1752 to 1792. France also experienced rapid
accomplished with new energy sources captured by increases in fuel wood prices over this latter period.
machines and new types of power output—namely, The prevailing ‘‘high’’ price in 1700 should, of
steady and continuous rather than episodic. But it course, spur the search for substitute energy sources.
was the arrival of steam engines (heat machines) that Importation is one form of substitution and coal
revolutionized the concept of usable power. The development would be another. Given flooding
concept of transporting goods and people changed problems with new coal deposits, an investment in
dramatically and powering a factory was freed from reasonable-quality pumps was a low-risk strategy.
ties to watermills and windmills. The deposits were known to exist and the demand
for coal seemed certain. The Saverys and Newco-
mens rose to the occasion. This is a possible
explanation for the invention and introduction of
1. DEPLETION PRESSURE steam pumps after 1700. It shifts the emphasis from
spontaneous invention to profit-driven invention and
It is easy to make the case that depletion pressures innovation. A wood supply crisis is the ultimate
induced invention and innovation in energy use. impetus in this scenario. Current or anticipated fuel
Since at least the time of Great Britain’s Elizabeth I, scarcity raises fuel costs and induces a search for
say 1600, conservation of forests for future fuel and substitutes. Coal is the obvious substitute but mine-
timber supply was prominent on the public agenda. draining looms up as a serious constraint on coal
In the early 1700s, English iron production was using production—hence, the pressure to invent and to
up approximately 1100 km2 of forest annually. The make use of steam pumps. Cheap coal transformed
notion that forest depletion drove the development the British economy. In 1969, Landes estimated coal
of British coal fields is a popular one. But causality is consumption in Great Britain at 11 million tons in
tricky here — did the arrival of cheap coal lead to a 1800, 22 million tons in 1830, and 100 million tons
liquidation of remaining forests or did the depletion in 1870. The British appear to have been sensitive to
of forests induce innovation in coal supply? This energy use over the long run. The Domesday Book,
really has no ready answer. Fuel scarcity apparently published in 1086, records over 5000 water-wheels
led to the importation of iron by England in the mid- in use in England—one mill for every 50 households.
18th century. Around 1775, coal became viable in Attractive in this scenario is the low-risk nature of
smelting iron and England’s importing ceased. investment in pumping activity. The coal was there,
Coinciding with the coalification of the British the demand was there, and one simply had to keep
economy was the development of the steam engine, the water level in the mines low. Recall that a
first as a water pump and later as a source of power Newcomen engine was part of a multistory structure
in factories, such as cotton mills. Jevons (1865, p. and thus represented a serious outlay. However, the
113) opined that ‘‘there can be no doubt that an technology had been proven in small-scale engines
urgent need was felt at the beginning of the 17th and the minerals were there for the taking. The
century for a more powerful means of draining second watershed moment in the history of steam
mines.’’ Savery’s steam pump was operating in 1698 power, associated with James Watt, was its develop-
and Smeaton made Newcomen’s engine, with a ment for powering whole factories. It can be argued
piston, sufficiently efficient to be commercially that it was the depletion of good watermill sites, well
viable. In 1775, the new steam engine of James Watt documented for the Birmingham region by Pelham in
was developed. 1963, that spurred invention. Richard Arkwright’s
Given the documented concern in Great Britain invention of the cotton-spinning machine and mill
about timber supply, say, before 1700, one should and James Watt’s invention of the improved steam
observe a rise in the price of wood for fuel, house- engine compete in the literature on the industrial
building, and ship-building at some point. The year revolution for the label, ‘‘the key events.’’ Spinning
1700 seems like a reasonable year to select as having mills required a power source and water-wheels were
recorded an increase in wood price. Firewood prices the standard at the time. But convenient sites for
grew three times faster than the general price level in water-wheels had mostly been taken up by the 1770s.
England between 1500 and 1630 and the 17th The price of those sites would have exhibited a
century was one of ‘‘energy crisis.’’ Over one-half significant rise in, say, 1775, the year Watt was
Depletion and Valuation of Energy Resources 773
granted his special patent for his engine with a The appropriate aggregate production function to
separate condenser, an engine vastly more efficient consider for an economy takes the form of output
than the Newcomen type. The climate was right for flow, Q ¼ F[N, K, E(KE, R)], where E( ) is power
invention in the power supply field. Depletion of derived from an energy flow R, say, oil, and capital
good water-wheel sites drove up their prices and the equipment, KE, K is other capital, and N is labor
resulting umbrella of profitability made invention in services. Before 1800, KE was windmills and water-
this area attractive. At approximately this time, wheels for the most part and R was wind and water
serious research of water-wheels was undertaken by flow. In the 21st century, food is cooked in and on
Smeaton with a view, of course, to obtain more electric stoves rather than in hearths, light is
power from the waterflow. Obviously, a profit-driven provided by electric units rather than candles or
view of events is not the only plausible one, but there lanterns, and heat is provided by furnaces and
is no doubt that profits accrued to Watt and his distribution devices rather than by fires, fireplaces,
partner, Boulton. and stoves. E(KE, R) is dramatically different even
Coal and oil compete as bulk fuels in many parts though basic houses are similar in concept and shape
of the world for powering electricity-generating and eating styles and habits are not hugely different.
plants but steam engines for motive power have been What would the world be like with steam power but
displaced by gasoline, diesel, and electric engines in no electricity? There was an interval of approxi-
most areas of the world. Steam locomotives were mately 75 years during which this state existed.
common in industrialized countries as late as the Steam power was decisive in liberating people from
1950s. This is the classic case of a low-cost, clean much heavy labor. Steam power could drive hoists,
energy source (e.g., a diesel engine for a locomotive) diggers, and pumps. It could also power tractors,
being substituted for a dirtier and, presumably, higher locomotives, and even automobiles. Factories could
cost source. The conspicuous aspect of energy use is be well mechanized with steam engines. In 1969,
the capital goods that come with the energy flow. For Landes suggested that the 4 million hp of installed
example, wind is the energy source and the mill steam engines in Britain in 1870 was equivalent to 80
transforms the energy flow into usable power in, for million men, allowing for rest, or 12 million horses.
example, grinding wheat. Similarly, the rushing A worker with steam power was like a boss with, say,
stream is the energy source and the wheel and mount 16 healthy workers at his bidding. In 1994, Smil
are the capital goods that allow for the production of estimated that a worker can put out 800 kJ net per
usable power. What Savery, Newcomen, Watt, and hour. From this, he inferred that the Roman empire’s
others did was to invent a capital good that turned a 85,000 km of trunk roads required 20,000 workers,
heat flow into usable power. The role of the inventor full time, working 600 years for construction and
is to envisage a capital good, a machine, that allows maintenance. The gain in bulk power production
for the transformation of an energy flow into a power from the use of electric motors rather than steam
flow. From this perspective, it is difficult to conceive motors seems marginal when history is viewed on a
of an energy supply crisis. One looks forward to large time-scale. Electricity rather created new
larger and better machines harnessing old energy activities such as listening to the radio, watching
flows better and new flows well. An oil supply crisis television, and talking on the telephone. These are
in the early years of the 21st century would translate large gains in the range of consumer goods,
into a transportation cost crisis but not an end-of- essentially new attractive commodities, but they are
civilization crisis. Approximately one-fifth of electri- on a different order from innovations relieving
city in the United States was generated with humans of great and steady physical exertion.
petroleum in 1970. In 2002, that figure is one one- Electric stoves and washers have undeniably made
hundredth. Coal burning produces approximately housework easier, and air-conditioning (room cool-
one-third more carbon dioxide than oil burning and ing) has the lessened the discomfort of labor for
approximately twice as much as the burning of many as well as altered the geographical distribution
natural gas, per unit of heat. Transportation fuel can of settlement.
be synthesized from coal and methane, but only at With regard to personal travel, steam power might
relatively high costs, given today’s technology. The have been revolutionary enough. Steamships were
Germans used the Fischer-Tropsch process to produce quite different from sailing ships and trains were
gasoline from coal during World War II and the quite different from stagecoaches. Steam-powered
search for a catalyst to produce gasoline from automobiles and trucks are technically feasible. The
methane is under way. internal combustion engine, drawing on gasoline and
774 Depletion and Valuation of Energy Resources
diesel fuel, is not a crucial technology, though steam And reflecting on his father’s analogy of high energy
power for vehicles was quickly displaced. Steam prices being like a tax, Jevons recommended accu-
power revolutionized the concept of daily work and mulating alternative forms of capital to compensate
of personal travel. Huge numbers of people ceased to future generations for their shrunken coal capital. A
be beasts of burden. Huge numbers of people were standard modern view has the current rent in oil
able to visit relatively distant places quite rapidly. price, a reflection of the profit or rent derivable from
Diets changed significantly when new foods could be currently discovered new deposits. Hotelling theory
transported from distant growing places. Crucial to sees current oil price as a reflection of (1) how long
modernization, however, was the substitution of current stocks will carry society until users are forced
machine power for human and animal power, which to switch to substitute sources and (2) what price
steam engines effected, and the spread of reasonable those substitute sources will ‘‘come in at.’’ It was then
living standards to low-income families. Steam the value of remaining stocks that held current price
power brought about this latter effect only indirectly, up, rather than pressure from currently steadily
by making mass production techniques widespread. worsening qualities. As Nordhaus has made clear,
Mechanization brought down the prices of many in Hotelling’s theory of depletion or ‘‘resource rent,’’
goods (e.g., cotton) but displaced workers in the current price turns crucially on the cost of supply
handicraft, labor-intensive sectors. Wages rose in from the future substitute source (the backstop) and
Great Britain some 50 years after the industrial on the interval that current stock will continue to
revolution was well rooted. Machine-intensive pro- provide for demand. See Fig. 1 for an illustration of
duction relieves workers of much grinding physical Hotelling theory.
exertion but usually eliminates many traditional jobs r is the interest rate in the market and Hotelling’s
as well. A large virtue of market-oriented (capitalis- approach is often referred to as the r percent theory
tic) development is that entrepreneurs create and of resource rent because profit-maximizing extrac-
often invent new jobs for the workers displaced by tion by competitive suppliers implies that rent rises
mechanization. Wages and living standards have over time at r percent. Hence, the quantity sequence
risen, particularly with a decline in family size. in an equilibrium extraction program is the one
displaying rent rising at r percent per period. Current
rent (price minus current unit extraction cost) turns
2. DEPLETION ECONOMICS out to be simply discounted terminal rent, with this
latter term being defined by the unit cost of energy
Though in 1914 Gray first formalized the idea that from the backstop or substitute source. To say that
impending natural stock (say, oil) scarcity would the price of oil is high today could mean that
show up in current price as a rent, a ‘‘surplus’’ above remaining stock is not abundant and substitutes will
extraction cost, Hotelling presented the idea most
clearly in 1931. A royalty charged by an owner of a
deposit to a user of the deposit is, in fact, ‘‘Hotelling
rent.’’ Thus, the idea of ‘‘depletion’’ being a
component of current mineral price is ancient. Backstop price
Competing, however, with the Gray–Hotelling theory
$ per ton
be available at high prices (Hotelling theory) or that for some reason. It is these fairly sudden contractions
future supplies will come from lower quality, high- in current production that cause current prices to
cost deposits (Jevons theory). These two theories jump up and ‘‘create’’ extra rent. The first large jump
have been brought together in one model in a simple was in the fall of 1973. Another occurred in 1979,
version by Herfindahl (see Fig. 2) and in a more with the collapse of the Palhevi monarchy in Iran,
complicated version in 1977 by Levhari and Leviatan and a large drop in price occurred over mid-1985 to
and many others. The Herfindahl version has scarcity mid-1986. Here the argument is that discipline
or depletion rent rising at r percent and, although among a cartel of oil suppliers broke down and
unit extraction costs are constant, then jumping world supply increased fairly quickly.
down as the next deposit or source is switched to. Price changes are largely driven by changes in
For the case of many deposits, Fig. 2 depicts a current production flow or supply and current
combination of intervals with rising rent linked by production is a complicated function of parameters,
jumps down in rent. Quality decline causes rent to including estimated remaining stock or cumulative
jump down. The Hotelling or depletion effect moves supply. Hotelling theory is an intertemporal theory of
counter to the quality-decline effect. Thus, even in discounted profit maximization by competitive pro-
this simple world of no uncertainty or oligopoly in ducers that links current production to remaining
supply, one cannot be accurate in saying that stock, extraction costs, demand conditions, and
exhaustibility is showing up in current price move- backstop price. It makes precise the exhaustibility
ment as an increasing rent or depletion effect (Fig. 2). effect or depletion in current resource price. Hotelling
Hotelling provided a systematic theory of how theory obtains a ‘‘depletion effect’’ in current price
depletion would show up in current price and how relatively simply in part because it makes use of the
finiteness of the stock would show up in the pace of traditional assumption of perfect foresight by profit-
stock drawdown. In the simplest terms, exhaust- maximizing agents. Economic theory relies on this
ibility is represented by a wedge between current unit assumption because it becomes an essential compo-
cost and price. Thus, if world oil stocks were nent of intertemporal profit maximization. The real
dwindling rapidly, one would expect oil prices to world is, of course, replete with events that are very
be high, well above unit extraction costs. And in fact, difficult to anticipate, such as wars, government
episodes of high world oil prices have been observed regime switches, and technical changes. For example,
in recent decades, times when average world oil research suggests that oil may be generated deep in
prices were well above unit extraction costs. Such the earth by unexpected geothermal processes. Un-
wedges are labeled ‘‘rents’’ in standard economics certainty makes simple calculation of a depletion
and, with something like oil, the wedge might be effect in current price a dubious course.
referred to as scarcity rent or Hotelling rent. The In its original form, Hotelling theory abstracted
world demand schedule does not shift in these from uncertainty completely. And Hotelling did not
episodes but current extracted output does shift back take up quality variation in current deposits or
stocks. This has, fact, led many observers to argue
Backstop that Hotelling theory is fundamentally flawed as an
price explanation of rent or price paths for, say, oil. Also,
Hotelling did not address oligopoly in supply and
such market structures have been considered to be
Price Unit crucial in explaining oil price movements in recent
$ per ton
extraction
cost 3 decades. In the face of those well-known difficulties
in arriving at a theory of oil price determination, in
Unit
extraction 1985 Miller and Upton tested ‘‘Hotelling’s valuation
cost 2
principle’’ for a sample of oil-producing companies
Unit
extraction whose shares were being traded on the New York
cost 1
Stock Exchange. Employing heroic simplifying as-
to t1 t2 T sumptions, they derived an equation to estimate in a
Time sequence of straightforward steps and fitted their
equation to the data, with positive results. It seems
FIGURE 2 Nordhaus (Herfindahl) model. A three-source,
linked Hotelling model. Low-cost supplies are exhausted first. undeniable that extraction to maximize discounted
Rent rises r% except at source switch. Rent jumps down across profit is the reasonable maintained hypothesis and in
source switch. Intervals of source use are endogenous. a sense Miller and Upton confirm this position. But
776 Depletion and Valuation of Energy Resources
profit maximization by an extractive firm in an endogenous length, a coal era, a uranium era, and
oligopoly setting, for instance, yields a quite different then the fusion power era with constant unit cost
extraction program than that for a firm in a into the indefinite future. A critic can easily dismiss
competitive setting. Miller and Upton provide weak this investigation as computer-aided, crystal-ball
evidence in favor of competitive extractive behavior gazing. However, the Nordhaus model was subjected
by oil extraction companies. Implicit in their work is to sensitivity testing at low cost, and the empirical
an argument that Hotelling rent is positive and output appeared to be fairly robust. Central to this is,
present in the price of oil. However, the plausible of course, discounting. Events beyond 30 years
‘‘crowding’’ of such rent by stock quality decline register little today, given discounting. Hence, fusion
cannot be evaluated from their analysis. In 1990, power costs largely fade out in the current price of
Adelman argued that current oil rent reflects the energy, as do many other parameters of the model. It
marginal cost of discovering new supply and most remains, nonetheless, a very good framework for
rent earned by producers is a Ricardian rent, one organizing one’s thinking about the future of energy.
attributable to a quality advantage possessed by When the oil runs out, modern life does not end, just
current suppliers lucky enough to be currently the curious era of abundant, low-cost energy,
working a low-cost deposit. especially for personal transportation.
Consider the reality of a backstop source of Nordhaus’s ‘‘simulation’’ yielded a current price
energy. Suppose the world does have a 20-year (1973) of energy somewhat below the observed
supply of ‘‘cheap’’ oil available, as Deffeyes suggested market price. He inferred that this occurred because
in 2001. (The Edison Electric Institute estimates that his model was ‘‘competitive,’’ a priori, whereas the
proven reserves of oil will last 37 years, those of real world contained much oligopoly in energy
natural gas will last 61 years, and those of coal will production—hence, an obvious need to refine the
last 211 years.) In 2001, Kaufmann and Cleveland computer formulation. However, the introduction of
presented a careful, empirically based critique of oligopoly to extraction models is tricky, if only for
Hubbert’s bell-shaped supply schedule. Why is a reasons of incorporating the dynamic consistency of
foreseeable energy supply crisis not showing up in agents’ strategies. There must be no obvious possi-
markets today? The answer appears to be that bilities for profit-taking simply by reneging on one’s
backstop supplies are fairly abundant, in the form ‘‘original’’ strategy selected at time zero. To rule out
of large deposits of coal, natural gas, tar sands oil, such possibilities for profits, problems must be
shale oil, and uranium. None of these supplies is as analyzed and solved backward, from tail to head,
attractive and as low-cost as oil but it would not be and this turns out to be much more complicated
complicated to power a modern economy with a than, for example, Nordhaus’s essentially competi-
combination of these energy feedstocks. Directly tive formulation. There is an important lesson here.
difficult would be fuel for transportation, given If one believes that current energy prices reflect
current engine technology and driving habits. What- noncompetitive behavior among suppliers, which
ever transpires with long-term oil supplies, the era of seems most reasonable, then quantifying such capi-
low-cost individualistic transportation will likely talizations is known to be difficult. One can rule out
end. The century 1920–2020 may well go down in simple explanations for current energy price levels.
history as the curious low-cost, automobile period, The combination of Hotelling theory and backstop
an era of individuals dashing about the surface of theory indicates that traditional supply and demand
continents in big cocoons of steel on expensive analysis is an inadequate way to think about current
roadways, while seriously polluting the atmosphere. energy price formation. The addition of oligopoly
In 1974, Nordhaus brought his combination of considerations complicates an already complicated
Hotelling and backstop economics together in an process of current price determination.
ingenious empirical exercise. Given a backstop In the simplest case of current price shift, as for,
supply price and a sequence of world demands for say, October 1973, suppliers revise estimates of
energy into the distant future, and given world stocks remaining stock downward and current price jumps
of oil, coal, and uranium and unit extraction costs, up. ‘‘Mediating’’ this price shift is a process of agents
he let his computer solve for the Hotelling transition discounting back from ‘‘the terminal date’’ to the
path from his base period, 1973, to the era of present, discounting along a Hotelling extraction
constant cost fusion power. Naturally, stocks with path. Current quantity extracted jumps down and
lower unit extraction costs provide energy early on. current price jumps up. If demand is inelastic in the
See Fig. 2. Thus, one observes an oil supply era of region, aggregate revenue will jump up. Thus, the
Depletion and Valuation of Energy Resources 777
motivation to raise current price could be for reasons Inventors can have foresight. They need a process or
of revenue. With some coordination of quantities in, invention that brings in a competitive supply of
say, a cartel, the current price jump may be an energy when the oil runs out. In 2003, Mann argued
oligopoly or cartel phenomenon rather than an that recent low oil prices have slowed innovation in
outcome of stock size revision. Somewhat analogous the alternative energy sector.
is a revision by suppliers of the anticipated backstop Interesting models in which the substitute supply
supply price. A revision of expectations upward is, in fact, invented or perfected today in the public
would lead to a current price jump upward and vice sector in order to force current oil suppliers to lower
versa. A price drop occurred briefly when University current prices have been developed. The invention is
of Utah researchers announced ‘‘cold fusion.’’ And annouced and mothballed until the oil is exhausted.
the popular interpretation of the large drop in world In such a scenario, it is not high prices today that
oil prices during 1985–1986 is that cartel discipline speed up invention, rather it is the anticipation of the
broke down Organization of Petroleum Exporting high prices in the future that induces inventors to
Countries (OPEC) and key members raised their perfect the substitute today.
outputs above their quota levels.
It is undeniable that the current interaction of the
world supply curve for oil and the world demand
curve yield the current price. At issue is how 3. THE SCARCITY OF CLEAN
depletion rent and oligopoly rent are capitalized in ENERGY SUPPLIES
the current costs of production, costs that determine
the characteristics of the effective supply schedule. In Attention has shifted from energy sources with low
the mid-1970s, reasonable observers debated cost, per se, to sources that can provide energy
whether the 1973 jump in world oil price was the cleanly, at low costs. Smog in Los Angeles seems to
result of production restraint by OPEC, an oligopoly have spurred policymakers to move toward designs
effect, or a reckoning that future oil stocks would be for a future with cleaner air and with low-emission
rather smaller than had been anticipated. In any case, vehicles, homes, and factories. Eighty-five percent of
current production was cut back and world prices world energy supply is currently derived from fossil
leapt up. A popular view of the poor performance of fuels and 1% is renewable (excluding hydropower).
the U.S. economy in the later 1970s was that it had The recent DICE model of global warming of
to accommodate unanticipated supply-side shocks in Nordhaus and Boyer has unlimited energy produced
the energy sector. The notion of cost-push inflation at constant unit extraction cost from hydrocarbons
became popular and an extensive literature emerged but energy production contributes directly to an
on this issue. atmospheric temperature increase, via carbon diox-
Since impending exhaustibility is predicted to ide emissions. The temperature increase shows up in
manifest itself in currently high price, which is explicit current economic damage. This is a large
reflecting a large scarcity rent, a standard view is departure from the Hotelling view because Nordhaus
that the current and anticipated high prices should and Boyer have no stock size limitation for, say, oil.
induce a search for substitute supply. How tight is Price, inclusive of an atmospheric degradation charge
this link between, say, rising current oil price and a (a Pigovian tax on energy use), rises along the
spurt of invention to develop an alternative supply? industry demand schedules because, essentially, of
It was argued above that this link is relevant for the increasing scarcity of moderate atmospheric
explaining two of the most significant events in temperatures. It is ‘‘moderate temperature’’ that is
human history—the effect of timber scarcity in Great being ‘‘depleted’’ in this view and a ‘‘depletion
Britain on the timing and intensity of the invention of charge’’ in the form of a marginal damage term (a
mine-draining machinery (the steam engine) and the carbon tax) is required for full cost pricing of energy.
effect of watermill site scarcity on the timing and A world without carbon taxes is, of course, one of
intensity of invention in steam engine efficiency ‘‘low’’ energy prices, one in which the atmosphere is
(Watt’s separate condenser). It may be the anticipated a carbon sink, with carbon dioxide dumped in at
high price rather than the current actual high price zero charge. User fees for dumping? ‘‘If U.S.
per se that induces inventors to perform, to come up consumers pay $1 billion a year, would that be
with substitute supply. Simply anticipating that, say, enough to cover the problem? How about $10
oil will be exhausted soon while current price is not billion? The level of economic damage that might
yet high may be sufficient to get invention going. be inflicted by greenhouse gas abatement is so
778 Depletion and Valuation of Energy Resources
uncertain that even the Kyoto treaty on global should be incorporated into current price. The
warming y says not a word about what the ‘‘right’’ depletion effect on the clean environment becomes
level of emissions should be.’’ (Mann, 2002, p. 38) In a component (a pollution tax) in current full price.
2002, Sarmiento and Gruber reported that atmo- The hope is that full pricing of energy will signal to
spheric carbon dioxide levels have increased by more users how best to use energy currently and will signal
than 30% since the industrial revolution (the mid- to suppliers the potential profitability of innovating
18th century). in the energy supply process.
A formal statement of the world energy industry
along Nordhaus–Boyer lines looks much like the
Hotelling variant of Levhari and Leviatan amended
to incorporate a continuous quality decline of the oil
SEE ALSO THE
stock. Aggregate benefits (the area under the industry FOLLOWING ARTICLES
demand schedule) from current energy use, q, are
B(q). Temperature interval, T, above ‘‘normal,’’ Coal Industry, History of Economics of Energy
increases with q in dT/dt ¼ aq. Energy users (every- Supply Innovation and Energy Prices Modeling
one) suffer current economic damage, D(T). Thus, Energy Supply and Demand: A Comparison of
the only way to stop the full cost price of energy from Approaches Oil and Natural Gas Liquids: Global
rising is to switch to a source that does not drive up Magnitude and Distribution Petroleum Property
global temperatures. Here, the current price is Valuation Prices of Energy, History of Transitions
[dB(q)]/(dt) and the carbon tax in price is the in Energy Use Value Theory and Energy Wood
discounted sum of marginal damages from tempera- Energy, History of
ture increments. (A constant unit extraction cost
changes the formulation very little.) This price needs Further Reading
the right Pigovian tax on carbon emissions, a
dumping fee, to be the full market price for energy. Adelman, M. A. (1990). Mineral depletion with special reference
to petroleum. Rev. Econ. Statist 72, 1–10.
Will the current, dirty, energy-generating technol- Deffeyes, K. (2001). ‘‘The View from Hubbert’s Peak.’’ Princeton
ogies be invented around? Would they be invented University Press, Princeton NJ.
around if current energy prices were higher? Mann Gray, L. C. (1914). Rent under the assumption of exhaustibility.
thinks so. How abundant will fuel cells, solar Q. J. Econ. 28, 466–489.
Hotelling, H. (1931). The economics of exhaustible resources.
generation installations, ‘‘pebble bed’’ nuclear reac-
J. Polit. Econ. 39, 135–179.
tors, windmill farms, synthetic fuels, and more Jevons, H. S. (1915, reprint 1969). ‘‘The British Coal Trade.’’
sophisticated electric power transmission grids be A. M. Kelley, New York.
20 years from now? Are carbon taxes and attendant Jevons, W. S. (1865, reprint 1968). ‘‘The Coal Question: An
high current energy prices the best prescription for a Inquiry Concerning the Progress of the Nation and the Probable
cleaner energy future? Many policymakers have not Exhaustion of Our Coal-mines,’’ 3rd ed. A. M. Kelley, New
York.
espoused this approach, particularly in the United Kaufmann, R. K., and Cleveland, C. J. (2001). Oil production in
States and Canada. the lower 48 states: Economic, geological, and institutional
determinants. Energy J. 22, 27–49.
Landes, D. S. (1969). ‘‘The Unbound Prometheus.’’ Cambridge
University Press, Cambridge, MA.
4. SUMMARY Levhari, D., and Leviatan, D. (1977). Notes on Hotelling’s
economics of exhaustible resources. Can. J. Econ. 10, 177–192.
Depletion theory is the attempt to explain price Mann, C. C. (2002). Getting over oil. Technol. Rev. January/
formation for commodities such as oil, those with February, 33–38.
current flows being drawn from finite stocks. Price Miller, M., and Upton, C. (1985). A test of the Hotelling valuation
rises above unit extraction cost because of a principle. J. Polit. Econ 93, 1–25.
Nordhaus, W. (1974). The allocation of energy resources.
depletion effect and one analyzes the nature of this Brookings Papers Econ. Activ. 3, 529–570.
effect in order to try to predict future price paths. Nordhaus, W. D., and Boyer, J. (2002). ‘‘Warming the World:
Until recently, attention was focused on how the Economic Models of Global Warming.’’ MIT Press, Cambridge
progressive scarcity of an oil stock was translating MA.
into the current high price for oil in use. In the past Pelham, R. A. (1963). The water-power crisis in Birmingham in the
eighteenth century. Univ. Birmingham Hist. J., 23–57.
decade, attention has shifted from how the limitation Pomeranz, K. (2002). ‘‘The Great Divergence: Europe, China and
on future supply is showing up in, say, oil price to the Making of the Modern World Economy.’’ Princeton
how the effects of pollution from fossil fuel burning University Press, Princeton NJ.
Depletion and Valuation of Energy Resources 779
Rae, J., and Volti, R. (2001). ‘‘The Engineer in History,’’ Revised Thomas, B. (1980). Towards an energy interpretation of the
ed. Peter Lang, New York. industrial revolution. Atlantic Econ. J. 3, 1–15.
Sarmiento, J. L., and Gruber, N. (2002). Sinks for anthropogenic United Nations. (2002). ‘‘North America’s Environment: A Thirty
carbon. Phys. Today 55, 30–36. Year State of the Environment and Policy Retrospective.’’
Smil, V. (1994). ‘‘Energy in World History.’’ Westview Press, United Nations, New York.
Boulder, CO.
Derivatives, Energy
VINCENT KAMINSKI
Reliant Resources, Inc.
Houston, Texas, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 781
782 Derivatives, Energy
can be derived from the spot commodity price, Futures are forward contracts traded on an
interest rate, and the storage cost, using the so-called organized exchange that provides credit guarantees
arbitrage principle. Specifically, the forward price (F) of counterparty performance, provides trading infra-
is equal to the spot price (S) adjusted for the financing structure (typically an open outcry system or screen
and storage cost (r – annualized interest rate, s – unit trading), and provides the definition of a standardized
storage cost), or F ¼ S*(1 þ r þ s)(Tt) where Tt contract. Credit protection is provided by margining
represents the life of the contract (t is today’s date, and by the capital contributed by the exchange
T is the delivery date, and both are measured in members and ultimately their credit. At inception,
years). The logic behind this equation is based on the each counterparty posts the so-called initial margin
arbitrage argument that defines the upper and lower that is followed by the so-called maintenance margin
bounds on the forward price; one can prove that both deposited if the original margin is eroded by losses on
bounds are equal giving the unique forward price. the contract. The practice of marking to market the
The buyer of the forward contract can lock in the contract and providing (receiving) additional margin
economic outcome of the transaction by borrowing is the most important difference between the futures
funds at rate r, buying the commodity at spot (S) and and forward contracts. The most important ex-
storing the commodity and taking a short position in changes offering energy contracts (crude, natural
the forward contract (selling). At contract expiration, gas, heating oil, gasoline, and electricity) are the New
the transaction is reversed: the commodity is York Mercantile Exchange (NYMEX), International
delivered into the forward contract at price F and Petroleum Exchange (IPE) in London, Nordpool in
the financing and storage costs are recovered. The Norway. The Intercontinental Exchange offers many
arbitrageurs will engage in such transactions, as long energy-related contracts but should be treated more
as F4S*(1 þ r þ s)(Tt). Alternatively, the lower as a trading platform, not as an organized exchange.
bound can be established by recognizing that one Under some fairly restrictive conditions, the
can borrow the commodity, sell it in the spot market, futures and forwards have the same value. Potential
and invest the funds at rate r, taking a long position differences arise from the practice of margining the
in the forward contract. This argument breaks down contract that results in stochastic financing cost (one
often in the case of commodity-related forward has to borrow/invest the funds paid/received) and
contracts for two reasons. Some energy commodities from the differences in default risk. An organized
may be unstorable (like electricity) or the supply of exchange offers more layers of credit protection than
storage may be limited at times. In some cases, the bilateral arrangements. In practice, the differences
existing market framework does not allow for between futures and forwards have been found to be
shorting of the underlying physical commodity, rather small in most empirical studies. The energy
eliminating one of the arbitrage bounds. industry typically ignores this distinction in routine
Given that both the storage cost and interest rate transactions.
are positive, the arbitrage argument implies that the The distinction between the forward and futures
forward price is always greater than the spot price contracts has become more ambiguous in many
and that the forward price curve (a collection of markets. The practice of requiring and posting
forward prices for different contract horizons) is an periodically collateral to provide guarantee of per-
increasing function of time to expiration (the curve is formance under a bilateral forward contract, which
always in contango). In reality, forward price curves has become a standard practice in the United States
for many commodities, including natural gas and and many other countries, has obliterated one major
crude, are often backwardated (the forward prices in difference between forwards and futures. Classical
front of the curve exceed the prices in the back). This forwards, unlike futures, did not trigger cash flows
arises from the fact that for many market participants before contract maturity.
holding physical commodity has a higher value than
controlling a forward contract. The stream of benefits
that accrue to the owner of physical commodity is 3. ENERGY COMMODITY SWAPS
called a convenience yield. Assuming that the
convenience yield can be stated per unit of commod- Swaps can be looked at as a basket of forwards that
ity, d, the full cost-of-carry formula for an energy has to be executed as one contract (no cherry picking
forward contract is given by the following equation: is allowed). In the general sense, a swap is the
exchange of two streams of cash flows: one of them is
F ¼ S ð1 þ r þ s dÞðTtÞ : based on a fixed (predetermined) price and the
Derivatives, Energy 783
second on a floating (variable) price. At inception, procedures. Through the rest of this article, we are
the fixed price is determined by finding the fixed price assuming that the underlying is a forward or a
that makes the fixed and floating legs of the swap futures contract. Most options transacted in the
equal. The fixed leg is equal to the sum of the energy markets are plain vanilla European calls and
periodically exchanged volumes of the underlying puts. Certain features of energy markets created the
commodity multiplied by the fixed price, discounted need for more specialized structures, addressing
back to the starting date. The floating leg is equal to specialized needs of commercial hedgers, with
the sum of the volumes multiplied by the floating complicated payoff definitions. Most popular op-
price, discounted back to the starting date. The tions with complex payoff definitions and many
floating price is obtained from the forward price practical applications are Asian and spread options.
curve, a collection of forward prices for contracts Asian options are defined in terms of an average
with different maturities. In other words, the fixed price. The payoff of an Asian option at maturity is
price of the swap is derived from the following defined as max (avg (F)-K, 0) for a call option and
equality: max (K-avg (F), 0) for a put option, where F stands
Xn
Ff vt Xn
Ft vt for the forward price of the underlying and K for
t ¼ t; ð1Þ the strike price. The term avg (F) corresponds to
t¼1 ð1 þ rt Þ t¼1 ð1 þ rt Þ the average price calculated over a predefined time
where Ff denotes the fixed price of the swap, Ft – the window. The rationale for Asian options arises in
floating price, r the applicable discount rate, and vt – most energy markets from the fear of price manip-
periodic deliverable volumes. ulation on or near option expiration date, given
In practice, a swap may be physical or financial. A relatively low trading volumes and the relative ease
sale of an energy commodity at a fixed price, with to affect the price through targeted buying or selling.
deliveries distributed over time, is referred to and Averaging mitigates this risk, reducing the impact of
priced as a swap. A swap may be a purely financial any single day price on the option payoff. In many
transaction, with one counterparty sending periodi- cases, the exposures facing commercial energy
cally to another the check for the fixed-floating price hedgers are defined in terms of average prices. For
difference (multiplied by the underlying volume), example, an electric utility buying natural gas as a
with the direction of the cash flow dependent on the fuel is exposed to an average cost over time, given its
sign of the difference. ability to pass on its average costs to the end users.
Asian options tend to be cheaper than corresponding
European options, as price averaging reduces price
4. OPTIONS volatility, an important input to the option pricing
models (discussed later).
An option is a contract that gives the holder the right, Spread options are defined in terms of a price
but not the obligation, to buy (sell) a financial difference. The payoff of a call spread option is
instrument or commodity (the underlying) at a defined as max (F1-F2-K, 0) and the payoff of the put
predetermined price (a strike or exercise price, as max (K-F1-F2, 0). The price difference may
usually denoted by K), by or on certain day. The correspond to the location spread (for example, the
option to buy is referred to as a call, the option to sell difference between Brent crude produced in the
as a put. An option that can be exercised only at North Sea and West Texas Intermediate, WTI) or
maturity is known as a European option, an option time difference (calendar spread between price of
that can be exercised at any point during its entire natural gas corresponding to December natural gas
lifetime is known as an American option. In the case and July natural gas contracts with delivery at Henry
of an energy-related option, the underlying is an Hub location in Louisiana). Quality spread corre-
energy commodity or another energy derivative (a sponds to the price difference of different grades of
forward, a swap, a futures contract, or even another the same commodity (for example, sweet and sour
option). Some popular energy options are defined in crude oil). The rationale for spread options arises
terms of a number of several different commodity from the exposures that many commercial operations
prices (have multiple underlying commodities or face in the energy markets: exposures to price
instruments). differentials as opposed to exposures to a single price
Most energy options traded in bilateral transac- level. A refinery is exposed to the spread between the
tions have a forward contract as the underlying and composite price of the basket of refined products and
this has important implications for the valuation the price of crude. A power plant is exposed to the
784 Derivatives, Energy
difference between price of electricity and the price of and buyers (especially utilities and local distribution
fuel. An oil company buying gasoline in Europe and companies) are exposed to both uncertain prices and
shipping it to the United States faces combined quantities. This risk is addressed through the so-
location and calendar spread risks when the cargo is called swing option that has a number of unique
in transit. characteristics. It is typically structured as a forward
The importance of price differential related start option: the strike price is set equal to the market
exposures created specialized terminology describing price of the underlying on some future date. In the
different types of spreads. The difference between the U.S. natural gas markets, this price is typically equal
price of heating oil and the price of crude is referred to the first of the month price for base load deliveries
to as a heat spread; the difference between the price over the entire calendar month, published by one of
of gasoline and crude in referred to as the gas crack the industry newsletters (like, for example, Inside
spread. The difference between natural gas prices at FERC Natural Gas Market Report). Some swing
one of many trading hubs in the United States and options use a strike price that is fixed in a bilateral
the price at Henry Hub (the delivery point for the contract. The holder of the option is entitled to buy
NYMEX natural gas futures contracts) is routinely the commodity at the strike price n times over the
referred to as basis in the U.S. natural gas markets (in defined period (typically one calendar month) within
more general sense, basis denotes price difference). certain volumetric limits, referred to as a minimum
The difference between price of electricity and the and maximum daily quantity. The option definition
price of natural gas is known as the spark spread. In may be complicated further by ratchets that allow
the case of the spark spread, the price of natural gas, the holder to reduce or increase the purchased
denominated typically in $/MMBTU, has to be volumes in certain increments. The contract may
converted into $/MWh. This is accomplished in provide also for minimum and maximum takes over
practice by multiplying natural gas price by the heat certain time periods (for example, months, quarters,
rate (MMBTU/MWh) that corresponds to the and years) and for penalties if the periodic bounds
thermal efficiency of a specific (or notional) power are exceeded. The swing options are popular in the
plant (the energy input required to produce one U.S. natural gas and electricity markets as a form of
MWh of electricity). protection against a jump in prices combined with an
Spread options are used to value many transac- increase in consumption requirements. Pricing such
tions in the energy markets. One example is the options is quite complicated due to the need to keep
contract for transmission, known as a firm or fixed track of both types of optionality (with respect to
transmission right (FTR). The FTR protects a price and volume).
provider of electricity against basis risk. This type Basket options are defined as contracts on a
of exposure happens when a supplier offers delivery composite commodity like, for example, a package
at one point but owns generation at another point in of natural gas and crude oil. The price of the under-
a power pool. If no transmission capacity is available lying in this case is a (weighted) sum of prices of
between these two points (i.e., congestion develops commodities included in the basket. Such options
on the transmission grid), the prices at two locations are typically used by producers who have exposure
may decouple and the supplier may be unable to to multiple commodity prices and want to hedge
deliver into his contractual obligation. The supplier the overall exposure, as the price fluctuations of
would have to buy electricity at the point where his the basket components may be mutually offset-
or her load is located, running the risk that he will ting, providing a natural hedge. The value of a
incur a loss. To hedge against this risk he may buy basket option, like the value of a spread option, is
FTRs offered by many power pools through special heavily influenced by the correlations between basket
auctions. An FTR contract may be structured as a components.
swap or an option. A swap pays the difference
between the two locational prices and allows lock-in
the economic outcome of the original power supply
transaction, irrespective of the potential congestion. 5. MAIN ENERGY
An FTR contract that is structured like an option DERIVATIVES MARKETS
may be priced as a spread option.
A special type of energy related option was An alternative classification of energy derivatives is
invented to offer protection against combination of based on the market at which they are transacted.
volumetric and price risks. Many energy producers The most transparent and liquid markets are those
Derivatives, Energy 785
TABLE I
NYMEX Energy Futures
Natural gas 10,000 MMBTUs Henry Hub, LA Yes Delivery, ADP, EFP
Light sweet crude oil 1000 barrels Cushing, OK Yes Delivery, ADP, EFP
Heating oil 1000 barrels New York Harbor Yes Delivery, ADP, EFP
Unleaded gasoline 1000 barrels New York Harbor Yes Delivery, ADP, EFP
Brent oil 1000 barrels Yes Financial
Central Appalachian coal 1550 tons Ohio River, Big Sandy River No Delivery, EFP
PJM electricity 40 MW on peak per day, No Financial
19 to 23 days a month
786 Derivatives, Energy
electricity may be acquired at a lower price from the Other frequent uses of the real options technology
market and sell in the market fuel purchased for the are natural gas storage facilities and pipelines. A
generation plants. In most cases, the provider assumes natural gas storage facility can be looked at as a
the volumetric risk associated with demand fluctua- portfolio of calendar spread options. A pipeline
tions (due to weather changes) and load growth due to transportation contract can be valued as a portfolio
economic and demographic changes, within certain of basis (locational spread) options.
predetermined bounds. The classification of options depending on the
Derivatives embedded in physical assets such as underlying commodity is quite straightforward. One
power plants or natural gas storage facilities are the possible classification is based on the physical
subject of the so-called real options, the term that commodity or commodities to which the option is
describes the application of the technology developed related. One can talk about options on crude, natural
for financial markets to the analysis of investment gas, and so on. If the option is written on a specific
decisions. For example, a gas-fired natural gas power energy-related instrument, the options are referred to
plant can be looked at as a strip of spark spread as options on forward, futures, other options
options. The underlying assumption is that the power (compound options), and swaps (swaptions).
plant is dispatched if the spark spread, as defined
previously, exceeds variable marginal cost. This
approach is very effective but should be used with 7. VALUATION OF
caution. Valuation of a power plant with a life ENERGY-RELATED OPTIONS
extending over many years requires many inputs for
which market information is not directly available. Valuation of energy-related options offers many
For example, one has to provide information about challenges due to a number of complications in their
forward price curves for natural gas and electricity definition and market behavior of the underlyings
for as many as 20 years, assumptions regarding price and is an area of very intensive research efforts in a
volatility and correlations between price returns for number of academic centers and many energy com-
both commodities. panies. European options on forwards and futures
In many cases, there are no markets extending are valued using the so-called Black formula that
that far into the future, and this means that one has represents a version of the well known Black-Scholes
to substitute forecasts for what is supposed to be formula for pricing options on stocks that don’t pay
market derived inputs. A more serious shortcoming dividends. The call price c is given by
of this method is that a power plants operations are
subject to many physical and regulatory constraints c ¼ erðTtÞ ðFNðd1 Þ KNðd2 ÞÞ;
that are difficult to accommodate in the option
and the put p price is given by
pricing model. For example, one has to recognize
constraints related to planned and forced outages, p ¼ erðTtÞ ðKNðd2 Þ FNðd1 ÞÞ;
startup and shutdown costs, emission constraints
that limit the total number of hours that a plant may where
operate in a year, and the restriction on the number
F s2
of starts (due to provisions in maintenance and ln þ ðT tÞ pffiffiffiffiffiffiffiffiffiffiffiffi
K 2
service contracts). Incorporation of such restrictions d1 ¼ pffiffiffiffiffiffiffiffiffiffiffiffi ; d2 ¼ d1 s T t:
increases the dimensionality of the problem and s Tt
greatly increases the computational resources re- In these formulas, F stands for the forward price as
quired to come up with realistic valuation. of the time of valuation (t), K represents the strike
In spite of the shortcomings, the real options price. The expiration date is given by T. Both t and T
approach represents a much better alternative to the are measured in years (1 year is equal to 1, 1 month
standard discounted cash flow approach, tradition- to 1/12, etc.) and therefore Tt is equal to the
ally used in making investment decisions under remaining life of the option. The risk-free interest
uncertainty. The traditional discounted cash flow rate is given by r and the expression exp(r(Tt)) is
approach can only address uncertainty through a discount factor. The critical input to the formulas is
comparisons of a limited number of scenarios that s, or the volatility coefficient. Volatility, unlike other
may not capture the entire range of possible future inputs, is not directly observable and represents the
states of the world and may sometimes represent most critical assumption in the option pricing
wishful thinking of the decision makers. process. In practice, it is based on the insights
Derivatives, Energy 787
obtained from historical estimates or is inferred from Monte Carlo simulations and binomial (or more
market prices of traded options. In the first case, complicated) trees (see Table II). The Monte Carlo
volatility is estimated as the standard deviation of the approach is based on repetitive simulations of price
logarithmic price returns (natural logs of the price trajectories and calculating option payoffs at expira-
ratios, defined as price P in period t divided by price tion. The payoffs are then averaged and discounted
P in period t1). Volatility is quoted by convention back to the current date. This approach is very
as an annualized number. Annualization is accom- flexible and allows for quick implementation. The
plished by multiplying the standard deviation of shortcoming of this approach is that it requires
price returns by the factor that depends on the price significant computational resources and may be time
data frequency. In the case of monthly data, the intensive. It is more appropriate for path-dependent
factor is the square root of 12. In the case of weekly options (for example, Asian options) where the
data, the annualization factor is the square root of payoff depends not only on the terminal price but
52. In the case of daily prices, one uses by convention also on the trajectory along which this price was
the square root of 250 (or 260)—an approximate reached. In general, a Monte Carlo approach is not
number of trading days in a year. In some energy suitable for American options valuation; though
markets, trading continues on Saturdays (Western some numerical techniques address this problem.
power markets in the United States) or over the The binomial tree technique is well suited for
weekend. In such cases, one should use the appro- pricing American options and may be described as a
priate number of trading days in a year. structured simulation. The technique is based on the
For other energy options, there are typically no assumption that a price at any point in time may
closed form valuation formulas and one must evolve only into two other states (this explains the
use different approximation formulas or numerical use of the term binomial), up or down from the
solutions. The most widely used approaches are starting level, with probabilities and the magnitudes
TABLE II
Option Valuation Using a Binomial Tree
Time 1 2 3 4 5
89.06561
0
79.35276
0
70.69912 70.69912
0 0
62.98919 62.98919
0.786522 0
56.12005 56.12005 56.12005
2.58979 1.499718 0
50 50 50
5.22672 4.237387 2.859618
44.54736 44.54736 44.54736
7.658791 6.743557 5.452637
39.68935 39.68935
10.82827 10.31065
35.36112 35.36112
14.63888 14.63888
31.50489
18.49511
28.0692
21.9308
788 Derivatives, Energy
of changes can be calibrated from the standard killing it (exercising it immediately) and therefore the
option pricing assumptions (including the volatility last calculation gives the value of the option at the
assumption). Specifically, probability of the up move node (3,2).
is given by The Black formula is based on the assumption that
1d the price of the underlying commodity follows the
p¼ ; stochastic process known as Geometric Brownian
ud
Motion. Under this process, the instantaneous price
and the probability of the down move is given by return (dF/F) is given by the following formula:
q ¼ 1p. The price level in the up move is given by dF ¼ mFdt þ sFdZ; ð2Þ
uF, where F is the
pffiffiffiffiprice level and the u multiplier is
given by u ¼ es Dt : The down move price level is where m stand for the so-called drift (instantaneous
given by dF, where d is given by d ¼ 1/u. The term Dt rate of return) and dz is the so-called Wiener variable
corresponds to the length of the time step and is (dz ¼ eOdt, where e is drawn from the standard
chosen by the modeler depending on the computa- normal distribution). In case the underlying is a
tion time and required precision requirements. The forward contract, the drift is equal to zero. This can
time step determines how dense is the tree (how be explained by the fact that entering into a forward
many nodes it has for a given contract duration). contract has zero cost. A nonzero drift implies that
Parameters u, d, and p allow for constructing the tree the expected return is nonzero, and this implies that
describing possible evolution of the price from the one would enter into a transaction with an expected
current level till maturity. Options can be priced loss or gain and no cost. In the first case, the market
through the process of backward induction by participants would bid down the price by shorting it;
calculating the payoff of the option at terminal in the second case (gain) they would bid the price up
nodes (it is either zero or a difference between the till the potential gain disappeared.
terminal price and the strike price) and moving back The challenge of pricing energy derivatives is that
in tree. At each node, (t, i), where t corresponds to the prices in many commodity markets do not follow
the time step, i to the node level counted from the this process. Energy commodity prices display beha-
bottom of the tree, the value of the option is given by vior that is characterized by seasonality, the tendency
the comparison of the payoff of the option if it is to gap due to shocks that affect either the demand or
immediately exercised with the expected value one supply side, and also they cannot be modeled without
obtains from keeping the option alive. This expected paying attention to production costs. The research in
value is equal to the probability weighted values at the area of energy option valuation evolves around
two nodes connecting to the given node at time t þ 1, development of new models that are based on
discounted back over the length of one time step. alternative stochastic assumptions regarding price
The example that follows shows a tree developed evolution. Two examples of such processes are a
for a put option with a life of 5 months using five mean reversion process and a jump-diffusion process.
time steps. This means that the length of one time Mean reversion process recognizes the fact that prices
step is 1/12 or 0.08333. The starting price is 50, the gravitate toward the levels determined by the cost of
strike price K is 50, and the volatility is assumed to production. The simplest form of the mean reversion
be 0.4 or 40%. The probability p of the up move at process is given by the so-called Ornstein-Uhlenbeck
each node is equal to 0.471165. The risk free interest process:
rate is 10% and this translates into a 1-month dF ¼ aðm FÞdt þ sdz; ð3Þ
discount factor of 0.991701. For example, the value
of the option at the node (3, 2), where the price where a (40) denotes the speed of mean reversion
level is equal to 44.554736, is equal to 6.743557. and the m denotes the mean price level toward which
This value is calculated as follows: the immedi- the price gravitates. If the price drops below the mean
ate exercise of the option gives the option holder level, the difference mF is positive and given the
5044.54736 ¼ 5.452 (it’s a put option). Keeping speed reversion that is positive, the deterministic part
the option alive gives the holder 6.743557 that is of the Eq. (3) will be positive as well. This will help to
calculated as probability weighted average of the bring the price back to the mean level. Of course, the
option values at the nodes (4,3) and (4,2), discounted stochastic part (sdz) may reinforce or counter the
back one period. To be exact, 6.743557 ¼ contribution of the deterministic part. If the price F is
0.991701 (0.471165 2.859618 þ (10.471165) above the mean level, the mean reversion part of the
10.31065). Keeping the option alive is better than process will act to bring it down. It is important to
Derivatives, Energy 789
notice that the volatility parameter has a different price return data and used in option valuation
interpretation than the volatility parameter in the models based on numerical techniques. The jump
Geometric Brownian Motion process. The price diffusion approach, although very popular, suffers
change on the left-hand side of Eq. (3) is measured from many shortcomings. The parameter estimates
in dollars per commodity unit. The Wiener variable may be unstable and it takes a long time for the
dz is dimensionless and, therefore, s is measured in results of the jump to taper off, contrary to many
the same monetary units as dP. Volatility s in the empirical observations that show a quick return to
Eq. (2) is unitless. more normal price levels following a jump.
The propensity of energy pieces to jump reflects Mean reversion and jump diffusion are just two
one of the structural features of the energy markets. fairly elementary examples of the efforts under way
The price at any location is likely to jump (gap) due to come up with better valuation techniques for
to sudden changes in supply or demand conditions energy options that recognize the unique features of
that cannot be addressed due to the rigidities of the energy markets.
physical infrastructure (inflexible transmission or
transportation grid, limited deliverability from and
into storage). The modeling approach to this SEE ALSO THE
problem is a combination of a diffusion process FOLLOWING ARTICLES
(Geometric Brownian Motion or Ornstein-Uhlen-
beck, for example) and a jump process. One example Business Cycles and Energy Prices Energy Futures
is the Poisson process combined with the Geometric and Options Energy Services Industry Investment
Brownian motion: in Fossil Fuels Industries Oil Price Volatility Stock
dF ¼ mFdt þ sFdz þ ðJ 1ÞFdq; ð4Þ Markets and Energy Prices Trade in Energy and
Energy Services
where the variable dq assumes two possible values,
1 if a jump occurs, 0 if it does not. It is assumed that
Further Reading
the jump occurs with the probability ldt, where dt is
the time step and l is known as the intensity of the Eydeland, A., and Wolyniec, K. (2002). ‘‘Energy and Power Risk
Management: New Developments in Modeling, Pricing and
process. J is the dimension of the jump. If the jump
Hedging.’’ John Wiley, New York.
happens and J is equal to 0.8, then the forward price Fusaro, P. C. (1998). ‘‘Energy Risk Management: Hedging
F drops immediately by 20%, in addition to changes Strategies and Instruments for the International Energy
resulting from the diffusion part of the Eq. (4). When Markets.’’ McGraw-Hill, New York.
a jump occurs, it is typically assumed to follow a log- ‘‘Managing Energy Price Risk’’ (1999). Risk Books, London.
normal distribution (ln(J)BN(g,d)), where g denotes Pilipovic, D. (1997). ‘‘Energy Risk: Valuing and Managing Energy
Derivatives.’’ McGraw-Hill, New York.
the mean of the natural logarithm of the jump and d Ronn, E. (ed.). (2002). ‘‘Real Options and Energy Management:
its standard deviation. The jump diffusion process Using Options Methodology to Enhance Capital Budgeting
parameters may be estimated from the historical Decisions.’’ Risk Books, London.
Desalination and Energy Use
JOHN B. TONNER and JODIE TONNER
Water Consultants International
Mequon, Wisconsin, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 791
792 Desalination and Energy Use
Saline water P1 T1 P2 T1
Treatment feed
High-grade Low-grade
energy Desalination
process energy
FIGURE 1 The desalination process. FIGURE 3 To achieve desalination, pure water from the vapor
space above the seawater must be transported to the freshwater
chamber.
water or oil can also be utilized. In general, all these each kilogram of steam will release heat of con-
processes incorporate a maximum operating tem- densation, which is equal to the heat of vaporization,
perature limited to between 70 and 1151C to avoid and thus a four-effect system would produce 1 kg of
scale and corrosion associated with the solutions. condensate and 4 kg of distillate for every kilogram
This is known as the top brine temperature (TBT), of heating steam utilized.
which as a design parameter varies within the There are, however, many irreversibilities and
specified range due to slight differences in the other losses within these processes but the basic
configuration of the respective processes. This means concept of Rillieux’s First Principle is substantially
that these processes can be heated by any energy correct and requires a 0.8–0.88 correction factor to
source that is a few degrees warmer than the TBT; be applied. This means that a four-effect MED system
however, some processes utilize significantly higher will typically yield a GOR of between 3.2 and 3.5.
enthalpy streams. MED systems have been designed and successfully
operated with GORs ranging from 0.8 to approxi-
mately 10. Higher GOR designs invariably incorpo-
3.1 MED
rate larger heat transfer areas, which then increases
MED is one of the oldest desalination methods and capital costs. The justification of higher capital costs
the simplest process with which to explain the can be made only with energy values that are
principle of gained output ratio (GOR). GOR is a appropriate or where greater demand for water
measure of how much thermal energy is consumed in suitably impacts the economics. The trade-off
a desalination process. The simplest definition is as between capital cost (CAPEX) and operating cost
follows: (OPEX) is shown diagrammatically in Fig. 6, where
How many kilograms of distilled water are it can be seen that a minimum will exist, which is
produced per kilogram of steam consumed? Ob- project-specific, based on prevailing energy values
viously, the same value for GOR is obtained when and interest rates.
U.S. customary units of pounds are used. Typically, low-GOR applications include those
Typically, the value of GOR ranges from 1 to where low-grade, low-value energy is abundant;
10 kg (H2O)/kg (steam). Lower values are typical of examples include refineries and methanol facilities
applications where there is a high availability of low in arid locations where a traditional source of water
thermal energy. Higher values, even up to 18, have is not available and a GOR of 3–4 is common.
been associated with situations where local energy Higher GOR applications include production of
values are very high, when the local value or need for distilled water for municipal supplies in areas with
water is high or a combination of both. high-energy values such as the Caribbean Islands,
A single-effect distiller, as shown in Fig. 4, where a GOR of closer to 10 is common.
operates with a GOR of 1 if there are no thermo- Important additional points to note about the
dynamic losses. In the absence of losses, each MED process are as follows:
kilogram of steam that condenses in the effect will
Each effect has an unavoidable BPE loss.
release sufficient heat of condensation to evaporate
Practical restrictions on TBT mean that utilizing
an equal quantity of vapor from the seawater, which
too many effects in order to achieve high GORs is
then condenses in the condenser. This further
assumes that the heat transfer area is infinite and
there is a negligible temperature difference. Each
kilogram of steam is therefore returned to the boiler
Vent
as condensate and a kilogram of distilled water has Condenser
been produced for other uses. Seawater
Effect
In the late 1800s, it was first noticed that this
single-step process could be repeated with a gain in
production, and therefore efficiency, for each effect Motive steam
added. This became known as Rillieux’s First Brine blowdown
Principle: ‘‘In a multi-effect, one pound of steam Condensate
Distillate Distillate
applied to the apparatus will evaporate as many
pounds of water as there are bodies in the set.’’ This Cooling water
can be explained by examining the MED system out
depicted in Fig. 5. Once again, if losses are neglected, FIGURE 4 A single-effect distiller.
794 Desalination and Energy Use
Ejector
Vent
Inter- After-
condenser condenser
Motive steam
Condenser
Brine blowdown
Brine Brine
Distillate Distillate Distillate Distillate Distillate
Cooling water
out
FIGURE 5 Multiple-effect distillation system.
Ejector
Vent
Inter- After-
condenser condenser
Thermo-compressor Motive steam
Condenser
Seawater
1st 2nd 3rd 4th
Effect Effect Effect Effect
N is the number of effects. The important point to produced daily on a global basis. The process was
note is that each kilogram of steam entering the first commercialized during the 1960s based on compet-
effect is a combination of live steam and recycled low- ing Scottish and U.S. patented technology. MSF is a
pressure process vapor. The net result is that when classic forced circulation process wherein seawater is
utilizing medium-pressure steam, it is possible to preheated by the condensation of the vapor, which
achieve a GOR of over 8 with only four effects. has been flashed from hot seawater. A once-through
The addition of a thermocompression device adds MSF process is shown in Fig. 8.
approximately 1% to the CAPEX of a basic MED The relationship between the number of stages
unit, yet the efficiency can be doubled. In cases where and the GOR is complex and also depends on the
the steam is produced from waste gases, or where orientation of the tubes. For long tube designs where
there is little commercial value difference between the tubes and flashing brine are always counter-
medium- and low-pressure steam, the use of TVC has current, the number of stages, N, is typically 4 times
grown tremendously. Using medium-pressure steam, the GOR. For cross-tube designs where there can be
it has been possible to achieve GORs of over 15. multiple tube passes within each stage and the flow
Such high GOR values also mean that less heat must through the tubes is perpendicular to the flashing
be rejected from the system via cooling water, which brine, N is typically 2.5–3 times the GOR.
can be an important consideration in many projects The once-through configuration is found mostly
(for environmental or permit reasons). on marine distillation applications or similar appli-
The most common method for large-scale desalting cations that are relatively low capacity and low
of seawater had been the MSF process, which GOR. A typical plant of this design will have a GOR
typically was combined with power production and of 3 and a capacity of 1000 tons/day. Pumping power
utilized turbine extraction steam at 5 bar. Higher heat is typically 5–6 kWh per ton of distilled water. The
transfer coefficients, lower pumping pressures (and U.S. nuclear carrier fleet utilizes this technology
therefore lighter mechanical design requirements), and primarily to provide high-quality feedwater for the
greater design flexibility mean that TVC designs are steam catapult launch-assist systems.
producing the same amount of water from this 5 bar The most common MSF plants utilize cross-tube
steam but at lower CAPEX and OPEX than MSF. For configurations in brine recycle flow schemes, shown
distillation units in the range of 1000–25,000 ton/day in Fig. 9, and have unit production capacities of up
capacity, the TVC process is beginning to dominate. to 55,000 tons/day. Many of these large systems are
provided in the countries of the Gulf Cooperation
Council, in Saudi Arabia, the location of the largest
3.3 MSF
desalination facility at Al Jubail, and in the United
The MSF process is the most prevalent method of Arab Emirates, the location of the largest units at
desalting seawater based on the volume of freshwater Al Taweelah.
796 Desalination and Energy Use
High-
pressure
Steam Seawater
steam
Vent
Heater brine
Vacuum Pretreatment
system chemicals
Evaporator vessels
First Last
stage stage
Pretreated seawater
170 − 194° F
Interstage
Distillate orifice (typ.) Interstage
Blowdown Distillate
Condensate Brine orifice (typ.)
FIGURE 8 A once-through multistage flash process.
The typical GOR for these large units ranges from When a membrane is installed between saline
7.7 to 9.0. All MSF plants are designed with water and fresh water, the natural flow will be
electrically driven pumps but past practices included toward the saline solution. The application of
steam turbine drivers for the larger pumps. Exhaust pressure to the saline side can stop this process, with
steam from the turbines was then condensed in the the point of no flow being called the osmotic
brine heater, providing much of the MSF process pressure. If a pressure above the osmotic pressure is
heating. Such steam turbine drives have been applied to the saline side, then the flow reverses and
replaced by electric motors not for efficiency reasons fresh water can be produced. The basic RO flow
but for ease of use, simplicity, and operational diagram is shown in Fig. 10.
flexibility. Typical pumping power for MSF units is Osmotic pressure is a colligative property of the
3.7–4.5 kWh per ton of distilled water. solution and generally increases as the concentration
of dissolved ions increases. This means that as an RO
system produces fresh water, known as the permeate,
3.4 RO
the salinity of the saline side increases, resulting in an
The RO process takes advantage of semipermeable increase in osmotic pressure. For a practical process,
properties of certain materials that allow solvents to the RO system must be configured so that the
pass through the material but impeding the passage average pressure along the membrane surface is
of dissolved ions. The most commonly treated suitably higher than the osmotic pressure, resulting
solvent is water. The semipermeable material can in a net driving force for the process.
be configured in many ways but the most common is The osmotic pressure of typical municipal water is
to roll flat sheets around a central pipe to create what on the order of 0.33 bar, which is why faucet-
is known as a membrane element. Even though mounted RO units can operate using the pressure of
membranes are available for performing very fine the municipal supply (typically 2 bar). The osmotic
filtration, RO is not to be confused with filtration, pressure of standard seawater is approximately 23
which removes only material that is suspended bar and seawater reverse osmosis (SWRO) systems
within the fluid. typically operate such that the concentrated brine is
Desalination and Energy Use 797
Medium- Low-
Seawater pressure pressure
steam steam
G Vent
F E
Vacuum
system
Heat recovery
stages Brine
heater
First
Last stage
stage
Heat rejection
stages
Deaerator
Interstage
brine orifice (typ.)
Interstage
Recirculation distillate orifice (typ.)
Brine pretreatment
chemicals
A D
C
Distillate B Condensate
Cooling water
Brine out
blowdown
FIGURE 9 Brine recycle flow schemes.
almost two times the inlet concentration (which Energy recovery devices are installed in the brine
would be known as 50% recovery). This results in stream to recapture the energy, as represented in
the brine having an osmotic pressure of approxi- Fig. 11. The most common devices are reaction
mately 45 bar. To achieve a practical economic turbines; often a reverse running pump; impulse
driving force, the systems operate at 65–70 bar. This turbines; normally a Pelton wheel; and pressure or
is close to the maximum mechanical pressure that the work exchangers––these devices rely on proprietary
membranes can bear and the concentration is near methods of transferring pressure energy directly to
the limits of solubility for certain salts. There are the inlet feed stream.
limited efforts in the marketplace to achieve higher The state of the art for SWRO energy consump-
concentrations, which would permit yields of more tion is approximately 2.0 kWh per ton of permeate
permeate than current recovery rates, which are produced; however, the average is closer to 2.75 kWh
approximately 45%. per ton of permeate produced.
Energy consumption for the process shown in Less saline water sources have much lower
Fig. 10 is typically 6.5 kWh per ton of permeate, osmotic pressures and generally can be concentrated
which is unacceptable. The relatively large volume of to 80–90% recovery before solubility limits are
high-pressure brine contains too much energy to be reached. The nature of these surface and subsurface
simply dissipated by the concentrate control valve. natural waters is such that they are highly variable
798 Desalination and Energy Use
Permeate
Pretreatment
chemicals
Drawback/flush
tank
High-pressure
pump
Filter
Reverse osmosis
Reject Permeator modules
Concentrate control
valve
Seawater
FIGURE 10 Reverse osmosis flow diagram.
Permeate
Pretreatment
chemicals
Drawback/flush
tank
High-pressure
pump
Filter
Reverse osmosis
Reject permeator modules
Energy recovery
turbine
Seawater
FIGURE 11 Energy recovery devices installed in the brine stream.
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 801
802 Development and Energy, Overview
7,000
6,000 Belgium
Australia
Moldova
Brazil
1,000 China
Costa Rica
Morocco
0
0 5,000 10,000 15,000 20,000 25,000 30,000 35,000
GNP/per capita (US$ 1997 PPP)
FIGURE 2 Energy use versus GNP. Reproduced from World Bank (1999).
TABLE I 120
Gigajoules per year/household
For low-income households, firewood (usually a amount of additional energy required to provide
noncommercial energy source) is the dominant fuel. energy services depends on the efficiencies with
At higher income, firewood is replaced by commer- which the energy is produced, delivered, and used.
cial fuels and electricity, which offer much greater Energy intensity often depends on a country’s stage
convenience, energy efficiency, and cleanliness. In of development. In Organization for Economic
most of Africa and India, dung and agricultural Cooperation and Development (OECD) countries,
residues are used in lieu of firewood. which enjoy abundant energy services, growth in
energy demand is less tightly linked to economic
productivity than it was in the past (Fig. 4).
3. ENERGY INTENSITY The evolution of the energy intensity (I ¼ E/GDP)
over time reflects the combined effects of structural
Another reason for the lack of a linear relationship changes in the economy (built into the GDP) and
between energy and GDP per capita is that the changes in the mix of energy sources and the
804 Development and Energy, Overview
toe/US$1,000
0.4 Industrialized
2.5 0.3
Index 1971 = 1.0
Energy/GDP countries
0.3
0.2
2.0 0.2
0.1 Developing
countries
0.0
1.5 0.1 1965 1970 1975 1980 1985 1990 1995 2000
GDP Energy Year
1.0 0.0
1971 1976 1981 1986 1991 1996
FIGURE 4 GDP and primary energy consumption in OECD FIGURE 5 Energy intensity. Reproduced from Mielnik and
countries, 1971–1996. Reproduced from the International Energy Goldemberg (2000).
Agency (1999).
efficiency of energy use [built into the primary energy 4. HUMAN DEVELOPMENT INDEX
consumed (E)].
Although admittedly a very rough indicator, Since a clear correlation between energy and income
energy intensity has some attractive features: is difficult to establish, one is tempted to search for
Whereas E and GDP per capita vary by more than other correlations between energy consumption and
one order of magnitude between developing and social indicators such as infant mortality, illiteracy,
developed countries, energy intensity does not and fertility (Fig. 6). It is clear from Fig. 6 that energy
change by more than a factor of two. This is due in use has many effects on major social issues, resulting
part to common characteristics of the energy systems in a relationship that is not necessarily casual between
of industrialized and developing countries in the the parameters represented but there is strong
‘‘modern’’ sector of the economy and in part to the covariance. Such behavior encouraged analysts to
fact that in industrialized countries energy-intensive develop an indicator that would not only include
activities, such as jet travel, are increasingly off- GDP per capita but also take into account longevity
setting efficiency gains in basic industries. and literacy. The Human Development Index (HDI),
Energy intensity (considering only commercial developed by the United Nations Development
energy sources) declined in OECD countries during Program in 2001, is one way of measuring how well
the period 1971–1991 at a rate of approximately countries are meeting not just the economic but also
1.4% per year. The main reasons for this movement the social needs of their people—that is, their quality
were efficiency improvements, structural change, of life. The HDI is calculated on the basis of a simple
and fuel substitution. However, in the developing average of longevity, knowledge, and standard of
countries the pattern has been more varied. One living. Longevity is measured by life expectancy,
study indicates that during the period 1971–1992 knowledge is measured by a combination of adult
the energy intensity of developing and industria- literacy (two-thirds weight) and mean years of
lized countries was converging to a common pat- schooling (one-third weight), and standard of living
tern of energy use. For each country, energy intensity is measured by purchasing power, based on real GDP
was obtained as the ratio of commercial energy use per capita adjusted for the local cost of living (PPP).
to GDP converted in terms of purchasing power The HDI measures performance by expressing a
parity (PPP). The path of energy intensity of a value between 0 (poorest performance) and 1 (ideal
country was given by the yearly sequence of energy performance). HDI can be presented as a function of
intensity data during the period 1971–1994. The commercial energy consumption for a large number
same procedure was followed to derive the energy of countries in tons of oil equivalent (toe) (Fig. 7).
intensity paths for a set of 18 industrialized Table II lists the characteristics of a few countries,
countries and for 1 of 23 developing countries. their HDI values, and HDI rank.
The energy intensity data for each of these subsets An analysis of Table II indicates the importance of
were given by the ratio of total commercial energy factors besides GDP per capita in determining the
use to total PPP-converted GDP for each group HDI rank of different countries. For example, Russia
of countries for each year during the period 1971– and Brazil have approximately the same GDP per
1994 (Fig. 5). capita but adult literacy in Russia (99.5%) is much
Development and Energy, Overview 805
Illiteracy (percentage
200 100
of adult population)
150 80
60
100
40
50 20
0 0
0 3 6 9 12 15 0 3 6 9 12 15
Energy use (tonnes of Energy use (tonnes of
oil equipment per capita) oil equipment per capita)
80
Total fertility rate
Life expectancy
7
70
6
5 60
4 50
3
2 40
1 30
0 3 6 9 12 15 0 3 6 9 12 15
Energy use (tonnes of Energy use (tonnes of
oil equipment per capita) oil equipment per capita)
FIGURE 6 Commercial energy use and infant mortality rate, illiteracy, life expectancy at birth, and total fertility rate.
Reproduced from United Nations Development Program, United Nations Department of Economic and Social Affairs, and
World Energy Council (2000).
0.8
HDI
0.6
Industrialized
0.4
Developing
0.2
0
0 2 4 6 8 10 12 14
toe/capita
FIGURE 7 Human development index (HDI) and energy use by country. Reproduced from the World Bank (1999) and
United Nations Development Program (1998).
TABLE II
Human Development (HDI) Index for Some Countriesa
1 TABLE III
Transition "Inelastic" Region II
Region δ(HDI)/δE --> low Jobs in Energy Productiona
0.8 Large increases of energy
consumption --> marginal
improvements of HDI Sector Jobs (person-years), TWh
Value of HDI
0.6
"Elastic" Region I
δ(HDI)/δE --> high Petroleum 260
0.4
Small inputs of energy --> large Offshore oil 265
improvements of HDI
0.2 Natural gas 250
Coal 370
0 Nuclear 75
0 1000 2000 3000 4000 5000 6000 7000 Wood energy 1000
Per capita energy consumption (koe/capita) Hydro 250
FIGURE 8 HDI versus per capita energy consumption. Minihydro 120
Reproduced from Reddy (2002). Wind 918
Photovoltaics 7600
Ethanol (from sugarcane) 4000
higher than that in Brazil (84.9%), which ranks the
a
former 55 compared to 69 for Brazil. Sri Lanka and Data from Goldemberg (2003).
China have a GDP per capita that is approximately
the same as that of Morocco but the life expectancy
and adult literacy of the former are much higher, Some of these estimates are shown in Table III. These
which give Sri Lanka a ranking of 81, China 87, and data include jobs involved in operating the generat-
Morocco 112. ing stations, excluding the jobs involved in producing
It is apparent from Fig. 7 that for an energy and commissioning the equipment. The very large
consumption more than 1 toe/capita/year, the HDI is number of jobs generated by the truly decentralized
higher than 0.8 and essentially constant for all options, which are photovoltaics and ethanol from
countries. Therefore, 1 toe/capita/year seems to be sugarcane, is striking.
the minimum energy needed to guarantee an Photovoltaics energy is usually generated (and
acceptable level of living as measured by the HDI, used) in small modules of 100 W and the generation
despite many variations in consumption patterns and of 1 TWh typically requires 10 million modules to be
lifestyles across countries. installed and maintained. Ethanol production from
The relationship between HDI and energy has sugarcane in Brazil involves agricultural production
several important implications. The relationship can using approximately 4 million ha and industrial
be considered to consist of two regions (Fig. 8). In production in sugar–alcohol distilleries, accounting
region I, the elastic region, – the slope d (HDI)/d (E) for the large number of jobs directly related to the
of the HDI vs E curve is high. In region II, the production of energy.
inelastic region, the slope d (HDI)/d (E) of the HDI vs There are also some rough estimates of the
E curve is low. Even large inputs of energy (large number of jobs generated by energy conservation.
improvements of energy services) result in only A study performed in Sacramento, California,
marginal improvements in HDI; that is, the HDI– showed that saving enough energy to operate at less
energy (benefit–cost) ratio is very low. In region I, than 100-MW power plant capacity requires 39 jobs
enhanced energy services lead directly to improve- compared with 15–20 jobs required to operate at the
ment. Thus, the implication of the elastic and same amount of capacity at a modern coal or gas-
inelastic regions is that in the elastic region increased fired power plant.
energy services guarantee direct improvement of
HDI, whereas improvement of HDI via income
depends on the uses of the income. 6. CONCLUSIONS
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 809
810 Diet, Energy, and Greenhouse Gas Emissions
more energy demanding by a factor of 29 when the hydropower results in low emissions, as does nuclear
two products were compared on a weight basis. power production.
Today, when climate change has emerged as The purpose of this article is to provide an
perhaps the most controversial global environmental overview of current research about energy, green-
issue, the question of dietary change as a mitigation house gas emissions, and dietary change. The
strategy has partly resurfaced. This is because energy approach is product oriented with a life cycle
use and greenhouse gas emissions from the current perspective, meaning that individual products are
food system are substantial. Energy use in the food considered ‘‘from cradle to grave.’’
system typically amounts to 12 to 20% of the total The article begins with some recent results from
energy consumed in developed countries. Current calculations of the environmental impacts over the
anthropogenic emissions of carbon dioxide (CO2) life cycle for food products and diets. Several studies
are primarily the result of the consumption of energy conducted in Europe and the United States provide
from fossil fuels, the main energy source in the sufficient basis for an informed discussion about the
developed parts of the world. Another 10 to 30% of potential for change. In the subsequent section, some
the current total anthropogenic emissions of CO2 are recent trends in global food consumption are
estimated to be caused by land-use conversion, partly reviewed for their environmental implications, and
related to production of cash crops. In addition, the the trend toward vegetarianism is evaluated. Some
agricultural sector is a large source of emissions of lessons from research about policy instruments and
methane and nitrous oxides. It accounts for half of dietary change are discussed with a focus on
the global anthropogenic emissions of methane information and its efficiency. Finally, conclusions
through rice farming and rearing of ruminants, of relevance for further mitigation efforts are drawn.
whereas 70% of the global anthropogenic emissions
of nitrous oxide come from agricultural soils, cattle,
and feedlots.
In looking more closely at where energy is used in 2. CALCULATIONS OF
the food system, one finds that a surprisingly large ENERGY-EFFICIENT AND
amount is used by the consumer. For the United LOW-POLLUTION DIETS
States, a review of several studies showed that home
preparation contributed between 23 and 30% of the Investigating possibilities for low-impact diets in-
total, figures comparable to processing, which con- volves analyzing the resource use and emissions of
tributed 24 to 37%. For Sweden, a recent survey the numerous individual food products that consti-
showed that household energy use for cooking and tute a diet throughout the life cycle. Several attempts
storing food was 28% of the total, whereas proces- have been made to this end, and as a result broad
sing contributed 25% (Fig. 1). A different pattern patterns of dietary recommendations can be de-
may emerge when looking at emissions of carbon tected. Based on several studies, a diet with less meat
dioxide (Fig. 1). Here, the system for electricity and cheese, more in-season vegetables, more locally
production may alter the energy pattern. For Sweden produced and fresh foods, better use of products, and
and some other Nordic countries, extensive use of more use of products from the ‘‘wild’’ could be
recommended. The results from some of these studies
are discussed in what follows, as are the methods
100
90
used for computing the environmental impacts.
80 A team of Dutch researchers used a combination
70 of life cycle assessment (LCA) and input/output
Agriculture
Percentage
results from these calculations were that greenhouse energy inputs if food is cooked in small portions),
gas emissions during the life cycle of rice are nearly another is the remarkably high energy inputs for
five times the emissions during pastry life cycles and certain fish-harvesting techniques, and a third is
that tomatoes emit four times as much greenhouse the impacts from food losses on total energy inputs
gases as do green beans. The reasons for these in food life cycles. Examples of daily total life
differences relate to the paddy field cultivation cycle energy inputs for diets with similar dietary
methods for rice and the fact that tomatoes are energy were calculated, and the result was that
usually cultivated in fossil fuel-heated greenhouses. energy inputs could vary by a factor of 3. Table I
Regarding the food consumption emission profile of shows meal components for two meals with high
a Dutch household, methane emissions came mainly and low energy inputs but with the same amount of
from products originating from cattle farming and dietary energy.
dairy production. Enteric fermentation by ruminants In a study of six food products for which LCA was
explains much of this. The dietary recommendations used, detailed calculations of greenhouse gas emis-
made by these authors included substituting meat sions confirmed the large differences between some
and cheese with eggs, nuts, or certain vegetable products of animal origin and some of vegetable
products and shifting from greenhouse-cultivated origin. In this study, emissions of greenhouse gases
vegetables to those grown in the open. per kilogram of ready-to-eat beef were 135 times
In the United States, two researchers used IOA to higher than the emissions per kilogram of ready-to-
calculate greenhouse gas emissions for 44 food eat potato (Table II). There are several explanations
products sold in the country. Their results were for the high emissions for beef: enteric fermentation
expressed as amount of emissions per dollar and causing emission of methane, energy use during
were combined with household expenditures to animal feed production, and transportation of food
calculate total household emissions. Regarding diet- ingredients. The reasons for lower emissions for pork
ary change, the authors’ proposal was to lower the and chicken are partly related to the digestive
expenditure on meat and poultry in favor of systems of pigs and poultry but are also due to the
expenditure on vegetable products such as pasta. fact that they are much more efficient feed converters
This was because the emissions intensity of beef and than cattle.
pork was 166 g per U.S. dollar, whereas the same
intensity for pasta was only 75 g per U.S. dollar.
Lowering meat consumption was also considered to
TABLE I
be of major importance when all activities of the
Meal Components, Dietary Energy, and Life Cycle Energy Inputs
household were assessed for greenhouse gas emis-
for Two Different Dinners: High and Low
sions and other environmental pollutants.
A Swedish researcher investigated energy use over Megajoules
the life cycle for food supplied in Sweden using a life Meal Megajoules life cycle
cycle inventory approach. The study covered 150 component Kilograms dietary energy inputs
food items, and results were expressed as megajoules Dinner: High
per kilogram of product. The advantage of this Beef 0.13 0.80 9.4
approach is that results can easily be combined with Rice 0.15 0.68 1.1
dietary information and that the level of detail in the Tomatoes, 0.070 0.06 4.6
environmental calculations is high. Among the greenhouse
results from this study are that energy use per Wine 0.30 0.98 4.2
kilogram of ready-to-eat food can vary from 2 to Total 0.65 2.51 19
220 MJ/kg, that is, by a factor of more than 100.
The highest values were found for certain kinds of Dinner: Low
fish and seafood. A multitude of factors determine Chicken 0.13 0.81 4.37
the level of energy inputs, and they relate to animal Potatoes 0.20 0.61 0.91
or vegetable origin, degree of processing, choice of Carrot 0.13 0.21 0.50
processing and preparation technology, and trans- Water, tap 0.15 0.23 0.0
portation distance. The study confirmed several Oil 0.02 0.74 0.30
earlier findings about environmentally efficient diets Total 0.60 2.61 6.1
while adding some new perspectives. One is the role
of food preparation (which can add substantial Source. Carlsson-Kanyama et al. (2003).
812 Diet, Energy, and Greenhouse Gas Emissions
TABLE II 120
Emission of Greenhouse Gases per Kilogram Ready-to-Eat Food 100
for Six Food Products Supplied in Sweden
When David and Marcia Pimentel revised their for choosing these products was that the life cycle-
book, Food, Energy, and Society, in 1996, they related levels of energy inputs and greenhouse gas
concluded, emissions are commonly substantially different.
Starchy roots and pulses are expected to have much
One practical way to increase food supplies with minimal lower impacts than do meat and fish, whereas
increase in fossil energy inputs is for the world population
sweeteners are interesting because they represent
as a whole to consume more plant foods. This diet
modification would reduce energy expenditures and reduce food products with considerable production-related
food supplies, because less food suitable for human energy inputs but with little or disputed nutritional
consumption would be fed to livestock. value. Wheat is grown mainly in the Northern
Hemisphere but is increasingly replacing traditional
As described previously, a number of studies have starch-rich crops, such as cassava and millet, in the
certainly shown this to be true, although detailed developing parts of the world. Although wheat is
calculations of energy use and greenhouse gas not a very energy-demanding food item compared
emissions over the life cycle of different kinds of with meat and fish, it requires higher life cycle
meat show that there are large differences between, energy inputs than do some domestic starchy crops
for example, chicken and beef. This opens the scope due to long transportation distances and intensive
for discussing the role of meat in a more environ- cultivation methods.
mentally efficient diet as well as for questioning the Figure 2 shows that the consumption of the
role of certain kinds of fish and vegetables and the selected food products in the developing parts of
total amount of food consumed. the world is still quite different from that in the
How can food consumption patterns be influ- developed world. This is particularly evident when it
enced, what are the current food trends, and what is comes to meat consumption and sweeteners, with the
the role of information for disseminating environ- 2000 levels per capita in the developed world
mental knowledge about diets? The next section exceeding those in the developing world by a factor
contains a review of some significant elements in of between 2 and 3. Figure 2 also shows that the
current food trends and their implications for energy most notable changes in the developed world during
use and greenhouse gas emissions. the past three decades were a 25% decrease in the
consumption of pulses and an 18% increase in the
consumption of meat. In the developing world, the
3. TRENDS IN DIETS changes were even more spectacular in that the
consumption of meat and fish more than doubled
From the statistics databases provided by the Food and the consumption of wheat and sweeteners
and Agricultural Organization (FAO), it is possible increased by approximately 50%.
to provide some global figures on dietary trends of The environmental implications of these dietary
interest for the environmental impacts in the food changes can only be interpreted as negative with
system. Figure 2 shows some developments with respect to the prospects for lowering energy use and
respect to this using starchy roots, wheat, pulses, greenhouse gas emissions. Whether or not actual
meat, fish, and sweeteners as examples. The rationale emissions have increased depends on the magnitude
Diet, Energy, and Greenhouse Gas Emissions 813
MJ energy inputs
and sauces
counteracted the negative environmental impacts of 15,000 Meat
and fish
dietary change.
Dairy
Along with the negative dietary changes experi- 10,000 Products
enced on a global scale, certain trends in the Vegetables
5,000 and fruit
developing parts of the world (e.g., vegetarianism)
Bread and
hold some promise for more efficient diets in an 0 cereal
affluent environment. Vegetarianism is not a new
Women,
high
Women,
low
Men,
high
Men,
low
phenomenon in Western societies but has become a
mainstream feature in several countries. According
to the International Vegetarian Union (IVU), there is FIGURE 3 Life cycle energy inputs for the annual food
a vegetarian subculture in nearly every European consumption of average men and women in Sweden. The ranges
country today. It is becoming increasingly common indicate possible levels with various food choices.
to have vegetarian options in nonvegetarian restau-
rants as an alternative for those who do not adhere to
a vegetarian diet on an everyday basis. No statistics fish may constitute about a third of the total. The
exist on how many vegetarians there are globally, but meat and fish part of the diets in other countries may
estimates from several European countries show the contribute differently, and if the greenhouse gas
highest percentages in the United Kingdom, Ger- emissions profile becomes available, it could also
many, and Switzerland (B8–9% of these popula- alter this conclusion to some extent.
tions) and much lower percentages in Spain, Norway, Having reviewed current trends and commented
and France (B2% of these populations). on those with potential for environmental efficiency,
The main reasons for choosing a vegetarian diet we now turn to the issue of how policy could be used
are commonly better health and nutrition as well as to influence diets so as to decrease energy inputs and
animal welfare considerations. The potential for greenhouse emissions from the food system. First, it
environmental efficiency has been less investigated, is important to remember that experiences from
and when it is claimed it is mostly mentioned as a large-scale campaigns for environmentally friendly
way in which to avoid excessive use of agricultural diets are lacking and that the few results that can be
land. Recent findings about energy inputs and drawn on come from isolated and relatively small
greenhouse gas emissions during the life cycle of research projects. In this context, it is also interesting
food products provide a new tool for evaluating the to note that the Intergovernmental Panel on Climate
effects of vegetarianism. A problem with such an Change (IPCC) does not mention dietary change
evaluation is that the dietary recommendations for among the mitigation potentials in its recent report
vegetarians are only exclusive. They describe what about mitigation. Unfortunately, the same ‘‘blind-
not to eat but do not prescribe any alternatives. So, ness’’ toward dietary change as a possible environ-
meat may be replaced by a very energy-efficient mental measure is not uncommon in policy
alternative, such as legumes, but also by other less documents. This article does not speculate on the
efficient alternatives, such as vegetables grown in reasons for this but rather concentrates on the results
greenhouses and fruits transported by airplane. of some research in which information was used as a
However, the trend toward vegetarianism should be policy instrument.
considered as an environmentally promising one
provided that the alternatives to animal food
products are chosen among those vegetable products 4. POLICY INSTRUMENTS FOR
with moderate life cycle-based resource demands. DIETARY CHANGE
When discussing potential environmental gains from
a vegetarian diet, it is important to know that the How to make everyday behavior more environmen-
environmental impacts from meat in an ordinary diet tally friendly has been on the agenda for nearly a
might not be dominant. One example of this is half-century, and much has been learned. Both
shown in Fig. 3, where the life cycle-based energy external and internal barriers must be overcome.
inputs for typical diets in Sweden are displayed. The There has been an optimistic belief in the use of
figure shows that the energy inputs from meat and information in the hope of fostering environmentally
814 Diet, Energy, and Greenhouse Gas Emissions
sound behavior among members of the general other instrument pushing the behavior in the same
public. However, it has been found that there is no direction. For example, separate lanes for cars and
automatic link between knowing and doing. Norms, bicycles are followed by traffic rules regulating where
values, feelings, and consumption opportunities have the two kinds of vehicles may be driven.
been shown to be a vital part of the picture. From this knowledge, it is obvious that informa-
However, there are several policy tools, in addi- tion will be more efficient if it is combined with other
tion to information, that can be used for changing policy instruments. As an example, if households are
everyday behavior, and they differ in influence and given life cycle-based environmental information
effect (Table III). about their diets and food choices, the chances that
Four groups of policy instruments can be identi- they will lower environmental impacts of their diets
fied—information, economic instruments, adminis- increase if (1) there are tax subsidies for low-
trative instruments, and physical improvements— polluting food products (economic instrument), (2)
and they are often used in various combinations to the sale of food products with very high environ-
increase efficiency. mental impacts is prohibited (administrative instru-
Information can be mediated in several ways. ment), and (3) a steady and diverse supply of low-
When conveying environmental information about polluting food products is available in nearby shops
products, written information in pamphlets and and restaurants (physical improvement).
advertisements is often used, as is product labeling. Having reviewed the various policy instruments
The common denominator for all of these ways is and how they can be integrated, this article now
that they should attract attention. The receiver of presents some results from research where the
information is supposed to notice and benefit from potential or actual impacts of environmental infor-
the new arguments voluntarily. mation given to households have been tested. In both
Economic instruments include taxing, pricing, and of these examples, scientific methods were used for
refund schemes. Besides increasing the costs for evaluation.
pollution and providing economic benefits for
environmentally friendly consumption, these instru-
4.1 Negative versus Positive Labels
ments inspire polluters to reflect over changes in
behavior or use of technology and to make plans for A team of environmental psychologists tested the
behavioral change to minimize the costs for polluting impact of negative versus positive ecolabels on
the environment. Economic instruments function as consumer behavior. The background was that all
catalysts for changes in the future. ecolabels today signal a positive outcome, for
Administrative instruments have an immediate example, ‘‘Choose this product; it is better for the
effect on all of the actors they are intended to affect environment than the average product.’’ Another
from an announced date. The success depends largely strategy would be to signal a negative outcome with
on the negative sanctions with which those with the purpose of making consumers avoid a product. A
deviant behavior are punished. Examples include laboratory test was carried out on 40 students in
fines, imprisonment, and prohibition of trade. Sweden who were asked to choose between products
Physical improvements, such as construction of labeled with a three-level ecolabel inspired by traffic
waste depositories and bicycle lanes, are intended lights: red, green, and yellow. The red label was
to facilitate a new pattern of behavior. Such defined as much worse in terms of environmental
improvements are very often combined with some consequences than the average, the green label was
defined as much better than the average, and the
yellow label was defined as average. All participants
were asked to rate the importance attached to
TABLE III environmental consequences when purchasing every-
Policy Instruments, Influence on Actors, and Effects day commodities. The results showed that those who
attached high importance to environmental conse-
Instrument Influence Effect quences when purchasing everyday commodities
Information Voluntary Slow were most strongly affected by ecolabels of any
Economic instruments Catalytic Short range kind. The results also showed that those who
Administrative instruments Immediate, forcing Middle range attached little importance to environmental conse-
Physical improvements Reminding, repeating Change habits quences when purchasing everyday commodities
were unaffected by any kind of label. However,
Diet, Energy, and Greenhouse Gas Emissions 815
Policymakers should recognize and support such Carlsson-Kanyama, A., Pipping Ekström, M., and Shanahan, H.
trends for successful mitigation. (2002). Urban Households and Consumption-Related Resource
Use (URRU): Case studies of changing food habits in Sweden.
In ‘‘Changes in the Other End of the Chain’’ (Butjin et al., Eds.).
Shaker Publishing, Maastricht, Netherlands.
SEE ALSO THE Carlsson-Kanyama, A., Pipping Ekström, M., and Shanahan, H.
FOLLOWING ARTICLES (2003). Food and life cycle energy inputs: Consequences of diet
and ways to increase efficiency. Ecol. Econ. 44, 293–307.
Grankvist, G., Dahlstrand, U., and Biel, A. (2002). The impact of
Development and Energy, Overview Global Mate- environmental labelling on consumer preference: Negative
rial Cycles and Energy Greenhouse Gas Abatement: versus positive labels. In ‘‘Determinants of Choice of Eco-
Controversies in Cost Assessment Greenhouse Gas Labelled Products’’ (G. Grankvist, doctoral thesis). Department
Emissions, Alternative Scenarios of Greenhouse of Psychology, Göteborg University, Sweden.
Jungbluth, N., Tietje, O., and Scholz, R. W. (2000). Food
Gas Emissions from Energy Systems, Comparison purchases: Impacts from consumers’ point of view investigated
and Overview Input–Output Analysis Life Cycle with a modular LCA. Intl. J. Life Cycle Assessment 5(3),
Assessment and Energy Systems Suburbanization 134–142.
and Energy Kramer, K. J., Moll, H. C., Nonhebel, S., and Wilting, H. C.
(1999). Greenhouse gas emissions related to Dutch food
consumption. Energy Policy 27, 203–216.
Further Reading Linden, A-L., and Carlsson-Kanyama, A. (2003). Environmentally
Borgström, G. (1972). ‘‘The Hungry Planet: The Modern World at friendly behavior and local support systems: Lessons from a
metropolitan area. Local Environ. 8, 291–301.
the Edge of Famine.’’ Collier Books, New York.
Brower, M., and Leon, W. (1999). ‘‘The Consumer’s Guide to Pimentel, D., and Pimentel, M. (eds.). (1996). ‘‘Food, Energy, and
Effective Environmental Choices: Practical Advice from the Society,’’ rev. ed. University Press of Colorado, Boulder.
Union of Concerned Scientists.’’ Three Rivers Press,
New York.
Discount Rates and Energy
Efficiency Gap
RICHARD B. HOWARTH
Dartmouth College
Hanover, New Hampshire, United States
1. INTRODUCTION
1. Introduction
2. The Hidden Costs Argument The logic behind discounting is linked to people’s
3. High Discount Rates? observed behavior in financial markets. Suppose, for
4. Imperfect Information and Bounded Rationality example, that an investor would receive an r percent
rate of return on standard financial instruments such
as corporate stocks. If the investor was well informed
and rational, then he or she would be willing to pay
Glossary no more than B/(1 þ r)t dollars in the present for an
bounded rationality The notion that people behave in a asset that he or she could resell to obtain B dollars t
manner that is nearly but not fully optimal with respect years in the future; otherwise, the investor would be
to their goals as their available information and better off investing his or her money at the market
cognitive limitations will allow. rate of return. In this example, economists say that r
discount rate The rate at which someone prefers present measures the discount rate or time value of money
over future benefits in a multiperiod model.
(i.e., the rate of return that people demand on each
efficiency gap The difference between the actual level of
investment in energy efficiency and the higher level that
unit of investment). Based on typical rates of return
would be cost beneficial from the consumer’s stand- in the private sector, analysts commonly use ‘‘real’’
point. (i.e., inflation-adjusted) discount rates on the order
imperfect information This refers to a situation in which of 6% per year in evaluating projects with average
an individual makes decisions without full knowledge degrees of risk.
of costs and benefits. More generally, consider a project that would
yield a stream of costs and benefits Ct and Bt in years
t ¼ 0, 1,y, T. In this formulation, year 0 represents
the present, whereas the project yields impacts that
Investments in enhanced energy efficiency typically
extend a total of T years into the future. Then the
involve a trade-off between short-term costs and
project is considered financially attractive if its net
long-term benefits. Consider, for example, a home
present value (NPV), calculated according to the
insulation project that would generate energy savings
formula
of $130 per year during a 30-year expected life span.
If the project required an initial investment of $900, X
T
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 817
818 Discount Rates and Energy Efficiency Gap
NPV ¼ 900 þ 130/1.06 þ 130/1.062 þ y þ 130/1.0630 intangible costs that are not easily measured. The
¼ $889. Although this example is purely illustrative, failure to include such hidden costs introduces a
it signals an important fact about real-world invest- potential bias or source of error in financial analysis.
ments in energy efficiency: In many cases, energy- Consider the case of compact fluorescent light
efficient technologies are cost-effective in the sense bulbs mentioned previously. Although this technol-
that they generate positive net benefits when ogy yields well-documented direct cost savings, it
evaluated using conventional discount rates. involves two types of hidden costs that are well
Empirical work on a broad range of energy use recognized in the literature. First, compact fluores-
technologies, however, points to an important paradox cent bulbs tend to be bigger and bulkier than the
that is known as the energy efficiency gap. Replacing conventional incandescents that they replace.
incandescent light bulbs with compact fluorescents, for Although progress has been made in addressing this
example, typically reduces electricity use by 75% problem since this technology was first mass mar-
while generating simultaneous cost savings. In a keted in the 1990s, the fact remains that compact
similar vein, a study by the U.S. National Academy fluorescents do not work well with certain lighting
of Sciences found that the fuel economy of passenger fixtures. Second, compact fluorescents produce a
vehicles could be increased by as much as 33% for different light spectrum than incandescent light
automobiles and 47% for light trucks (pickups, bulbs. Some people find their light to be ‘‘cold’’ and
minivans, and sport utility vehicles) by implement- aesthetically inferior. Although these costs are
ing cost-effective design options that leave vehicle size difficult to measure in financial terms, they legiti-
and performance unchanged. On an economywide mately affect people’s willingness to adopt this
basis, the Intergovernmental Panel on Climate Change technology.
estimates that the energy use of advanced industria- A second example is provided by the case of
lized nations could be reduced by up to 30% through automobile fuel economy. In the United States, the
the full adoption of cost-effective technologies. How- energy efficiency of new vehicles is regulated under
ever, households and businesses have shown little the Corporate Average Fuel Economy (CAFE)
enthusiasm for energy-efficient technologies, so market standards that were introduced in response to the
decisions seem insufficient to realize this potential. Arab oil embargo of 1973. Although these standards
Three interpretations of the efficiency gap have have been effective in reducing fuel consumption,
been set forth in the literature: some analysts argue that car manufacturers achieved
increased fuel economy by reducing the size and
1. Energy-efficient technologies have ‘‘hidden
weight of new vehicles. Since (all else being equal)
costs’’ that are overlooked by conventional financial
the crashworthiness of vehicles is inversely propor-
analysis.
tional to their size and weight, authors such as
2. Households and businesses use unusually high
Crandall and Graham argue a case can be made that
discount rates in decisions concerning energy effi-
the CAFE standards have compromised safety,
ciency.
increasing highway fatalities by up to 3900 persons
3. The adoption of cost-effective, energy-efficient
per year. This impact, of course, is not reflected in
technologies is impeded by issues of imperfect
standard engineering studies of the economic costs of
information, ‘‘bounded rationality,’’ or structural
improved fuel economy, although it clearly is
anomalies in markets for energy-using equipment.
relevant to the purchase decisions of car buyers. To
be fair, it is important to note that the energy savings
The remainder of this article discusses these potential identified by the U.S. National Academy of
themes. Sciences attempted to control carefully for this effect.
However, safety considerations trump fuel economy
in the eyes of many consumers.
In general, examples such as compact fluorescent
2. THE HIDDEN COSTS ARGUMENT light bulbs and vehicle fuel economy suggest that the
hidden costs issue is a real-world phenomenon with
Studies of the costs and benefits of energy-efficient significant implications for consumer decisions.
technologies typically employ an engineering ap- Nonetheless, it is important to consider at least two
proach that accounts for purchase price, operations caveats that cast doubt on the generality of this
and maintenance costs, and anticipated energy reasoning. First, certain energy efficiency measures
savings. However, energy use technologies can have yield intangible benefits that are typically overlooked
Discount Rates and Energy Efficiency Gap 819
in conventional cost calculations. Weather stripping assets such as corporate stocks, in contrast, pay
a leaky building shell, for example, yields direct cost average real returns of 6% or more on a long-term
savings through reduced energy use. In addition, it basis. The high returns paid by stocks constitute a
improves the comfort of building occupants by risk premium that rewards investors for accepting the
reducing drafts and hence the subjective sense that fluctuations associated with financial markets.
a building is cold. In a similar vein, the use of day If households and businesses were well informed
lighting in passive solar building technologies can and rational, then economic theory suggests that they
substantially enhance a building’s aesthetic appeal, would discount the benefits of energy-efficient
although this benefit is difficult to reduce to simple technologies at a rate equal to the market return
economic terms. available on investments with similar risk. In general,
Second, there are many technologies for which the volatility of energy prices implies that the benefits
changes in equipment characteristics yield energy of energy efficiency are uncertain. On the other hand,
savings without altering the quality of energy services investments in energy efficiency reduce people’s
provided to end users. In refrigerators, for example, vulnerability to large swings in energy prices. In this
the use of energy-efficient motors and compressors sense, energy efficiency measures have ambiguous
leads to pure energy savings through technical effects on the overall financial risk faced by house-
measures that have no observable effect on the holds and businesses. In practical analysis, it is
equipment’s size, functionality, or performance. common to assume that investments in energy
Similarly, programming computers to enter a ‘‘sleep efficiency have risk characteristics similar to those
state’’ during periods of nonuse generates substantial associated with typical private sector investments. In
energy savings without reducing the benefits of this theoretical terms, this assumption favors the use of a
technology. 6% discount rate.
The bottom line is that energy analysts should be Despite this body of theory, empirical studies have
aware of and sensitive to issues of comfort, found that people behave as if they discounted
convenience, and safety. In some instances, hidden benefits of energy-efficient technologies at an annual
costs can provide good reasons not to adopt a rate far in excess of 6% per year. An early study by
technology that yields apparent cost savings. On the Hausman, for example, suggested that people dis-
other hand, there is no good evidence that hidden counted the energy savings provided by air condi-
costs explain the overall empirical magnitude of the tioners at a 25% annual rate. Later studies
efficiency gap. summarized by Train and Ruderman et al. pointed
to the existence of implicit discount rates ranging
from 25% to 300% for refrigerators, heating and
3. HIGH DISCOUNT RATES? cooling systems, building shell improvements, and a
variety of other technologies. These studies employ
As explained previously, the discount rate reflects the sophisticated econometric and/or engineering–eco-
rate at which people are willing to exchange present nomic models to gauge the rate of time preference at
and future economic benefits. According to standard which people’s actual technology choices could be
economic reasoning, discount rates are revealed by considered economically rational. As noted by
people’s observed behavior in markets for savings Howarth and Sanstad, the fact that people reject
and investment. A homeowner who takes out a loan efficiency technologies that yield high rates of return
at a 4% real (inflation-adjusted) interest rate, for suggests that actual behavior may diverge from the
example, reveals a willingness to pay back $3.24 30 assumption of perfect rationality.
years from the present to obtain just $1 dollar today. Analysts such as Hassett and Metcalf have
Similarly, a worker who invests $1 in a mutual fund attempted to explain this anomaly by arguing that
would expect to receive $10.06 upon retiring three improvements in the state of technology over time
decades in the future given an 8% annual return. can provide a reason to defer investing in technol-
Economists generally agree that market rates of ogies that are apparently cost-effective in the short
return reveal people’s discount rates. It is important term. The reason is that purchasing an item such as a
to note, however, that different types of financial fuel-efficient car implicitly raises the cost of buying
assets yield different rates of return. In particular, safe an even more efficient vehicle a few years later. To
investments, such as money market funds, certificates better understand this point, consider the case of a
of deposit, and short-term government bonds, yield mid-1990s computer user weighing the merits of
real returns on the order of just 1% per year. Risky purchasing an upgraded machine. For a cost of
820 Discount Rates and Energy Efficiency Gap
$2000, the user could step up from a good system to purchase decision, and (ii) energy costs are typically
a very good system with enhanced speed and only a small fraction of the total cost of equipment
performance. Alternatively, the user could defer the ownership. Hence, buyers emphasize factors such as
purchase for 1 or 2 years and expect to buy a far a refrigerator’s features and aesthetics, a vehicle’s
better machine for an equal or lower price. Hassett acceleration, and a home’s location and architecture
and Metcalf reasoned that this type of behavior without fine-tuning their decisions to optimize
could explain the high discount rates revealed in energy efficiency.
markets for investments in energy efficiency. The problem of imperfect information is linked to
According to this perspective, the benefits of the concept of adverse selection in information
waiting imply that the early adoption of energy- economics. As Akerlof showed in his seminal
efficient technologies may have a type of hidden cost ‘‘markets for lemons’’ article, low-quality products
(or option value) that is sometimes ignored in naive can crowd out high-quality products in markets in
technology cost studies. An empirical analysis by which product quality is not easily observed by
Sanstad et al., however, suggests that the magnitude consumers. In the case of the efficiency gap, the
of this effect is too small to have much impact on inference is that poorly informed buyers would pass
decisions about energy efficiency given anticipated up opportunities to purchase technologies that would
developments in energy prices and the pace of simultaneously save energy and produce net econom-
technological change. This line of reasoning there- ic benefits.
fore appears not to explain why technologies that Issues of imperfect information have been par-
yield positive discounted net benefits or (equiva- tially addressed through measures such as advertising
lently) attractive rates of return are often passed up campaigns and energy labeling for appliances,
in markets for energy-using equipment. vehicles, and (in recent years) new homes. According
to Robinson, these efforts have typically met with
limited success. One reason is that from a psycho-
4. IMPERFECT INFORMATION AND logical perspective, human beings do not have the
BOUNDED RATIONALITY cognitive capabilities required to make perfectly
informed, rational decisions in complex, real-world
The preceding arguments attempt to explain the settings. Instead, Kempton and Layne argue that
paradoxes surrounding discount rates and the people are boundedly rational, using simple but
efficiency gap in terms of the workings of what cognitively efficient rules of thumb to make decisions
Sutherland terms normal or economically efficient in environments that are too complex to be fully
markets. An alternative explanation offered by understood. The literature on this subject suggests
Stanstad and Howarth focuses on market barriers that people aim to achieve goals such as cost
or market failures that impeded the adoption of cost- minimization but in practice make decisions and
effective, energy-efficient technologies. In broad are flawed and (in many cases) systematically biased.
terms, at least two sources of market failure are In cases in which consumer decision making is
emphasized in this context: imperfect information marked by imperfect information and/or bounded
and bounded rationality. rationality, targeted policy interventions can often
Behavioral studies have established that house- facilitate the adoption of cost-effective, energy-
holds and businesses are often poorly informed about efficient technologies. Under the U.S. Appliance
the technical characteristics of energy-using equip- Efficiency Standards, for example, equipment man-
ment. In summarizing this literature, Stern argues ufacturers must meet minimum performance stan-
that people’s knowledge of opportunities to save dards that are explicitly based on the criterion of
energy is ‘‘not only incomplete, but systematically cost-effectiveness. Studies by McMahon et al. and
incorrect. Generally speaking, people tend to over- Geller suggest that these standards alone will yield 24
estimate the amounts of energy used by and that may exajoules of energy and $46 billion between 1990
be saved in technologies that are visible and that and 2015. These standards are set in a process of
must be activated each time they are used.’’ At a information exchange and rule making that involves
cognitive level, many people do not focus on energy a relatively small number of technology experts in
trade-offs in making decisions about purchasing government and industry. Through this process,
goods, such as appliances, new cars, or even a home. technologies are optimized in a manner that does
This holds true because (i) the energy requirements of not occur through the engagement of buyers and
most goods are not vividly observable prior to a sellers in the unregulated marketplace.
Discount Rates and Energy Efficiency Gap 821
A second policy that has facilitated the adoption Obstacles to Energy Efficiency Vehicles and Their
of cost-effective, energy-efficient technologies is the Powerplants: Energy Use and Efficiency
Green Lights program of the U.S. Environmental
Protection Agency (EPA). Under Green Lights, the
EPA provides technology assistance and public
recognition for businesses and nonprofit organiza- Further Reading
tions that voluntarily agree to implement energy- Akerlof, G. (1970). The market for lemons: Quality uncertainty
efficient lighting technologies that yield net cost and the market mechanism. Q. J. Econ. 89, 488–500.
savings without negative impacts on energy services. Crandall, R. W., and Graham, J. D. (1989). The effect of fuel
In its first 5 years of operation, EPA estimates that economy standards on automobile safety. J. Law Econ. 32,
97–118.
this program achieved $7.4 billion kWh of electricity DeCanio, S. J. (1998). The efficiency paradox: Bureaucratic and
savings that remained unexploited prior to its organizational barriers to profitable energy-saving investments.
implementation in 1991. According to DeCanio, Energy Policy 26, 441–454.
the typical investment carried out under Green Lights Geller, H. (1997). National appliance efficiency standards in the
USA: Cost-effective federal regulations. Energy Buildings 26,
yielded a 45% annual rate of return. This example
101–109.
illustrates how market barriers and the efficiency gap Hassett, K. A., and Metcalf, G. (1993). Energy conservation
can affect the production sector of the economy as investment: Do consumers discount the future correctly?
well as how voluntary cooperation between govern- Energy Policy 21, 710–716.
ment and the private sector can facilitate improved Hausman, J. A. (1979). Individual discount rates and the purchase
market performance. and utilization of energy-using durables. Bell J. Econ. 10,
33–54.
Of course, programs and policies can have Howarth, R. B., and Sanstad, A. H. (1995). Discount rates and
administrative costs that should be carefully con- energy efficiency. Contemp. Econ. Policy 13, 101–109.
sidered in evaluating their net economic benefits. Intergovernmental Panel on Climate Change (1996). ‘‘Climate
These costs are small for the U.S. Appliance Change 1995: Economic and Social Dimensions of Climate
Efficiency Standards and Green Lights but are quite Change.’’ Cambridge Univ. Press, New York.
Interlaboratory Working Group (2000). ‘‘Scenarios for a Clean
substantial in certain situations. Joskow and Marron, Energy Future.’’ Oak Ridge National Laboratory, Oak Ridge,
for example, found that administrative costs are a TN.
major component of the total cost of reducing Joskow, P. L., and Marron, D. B. (1992). What does a negawatt
residential electricity use through utility-sponsored really cost? Evidence from utility conservation programs
Energy J. 13(4), 41–74.
demand-side management programs. In addition,
Kempton, W., and Layne, L. (1994). The consumer’s energy
regulations that depart from the goal of cost- analysis environment. Energy Policy 22, 857–866.
effectiveness can have unintended negative impacts McMahon, J. E., Berman, D., Chan, P., Chan, T., Koomey, J.,
on product characteristics and consumer choice. This Levine, M. D., and Stoft, S. (1990). Impacts of U.S. appliance
issue is illustrated by the possible increase in highway energy performance standards on consumers, manufacturers,
fatalities caused by the CAFE standards imposed on electric utilities, and the environment. In ‘‘ACEEE Summer
Study on Energy Efficiency in Buildings,’’ pp. 7.107–7.116.
new vehicles in the 1970s. American Council for an Energy Efficient Economy, Washing-
Nonetheless, the empirical literature on the ton, D.C.
efficiency gap suggests that there is ample scope to Robinson, J. B. (1991). The proof of the pudding: Making energy
improve energy efficiency through well-designed efficiency work. Energy Policy 7, 631–645.
policy interventions. In this context, using the net Ruderman, H., Levine, M. D., and McMahon, J. E. (1987). The
behavior of the market for energy efficiency in residential
present value criterion and conventional discounting appliances including heating and cooling equipment. Energy J.
procedures provides a mechanism to identify pro- 8, 101–124.
grams and policies that would enhance consumer Sanstad, A. H., and Howarth, R. B. (1994). Normal markets,
welfare and economic efficiency, provided that all of market imperfections, and energy efficiency. Energy Policy 22,
the relevant costs and benefits are taken into account. 811–818.
Sanstad, A. H., Blumstein, C., and Stoft, S. E. (1995). How high
are options values in energy-efficiency investments? Energy
Policy 23, 739–743.
SEE ALSO THE Stern, P. C. (1986). Blind spots in policy analysis: What economics
FOLLOWING ARTICLES doesn’t say about energy use. J. Policy Anal. Management 5,
200–227.
Sutherland, R. J. (1991). Market barriers to energy-efficiency
Cost–Benefit Analysis Applied to Energy Econom- investments. Energy J. 12, 15–34.
ics of Energy Efficiency Energy Efficiency, Taxo- Train, K. (1985). Discount rates in consumers’ energy-related
nomic Overview Industrial Energy Efficiency decisions: A review of the literature. Energy 10, 1243–1253.
822 Discount Rates and Energy Efficiency Gap
U.S. Environmental Protection Agency (1997). ‘‘Building on Our U.S. National Academy of Sciences (2002). ‘‘Effectiveness
Success: Green Lights and Energy Star Buildings 1996 Year in and Impact of Corporate Average Fuel Economy
Review.’’ U.S. Environmental Protection Agency, Office of Air (CAFE) Standards.’’ National Academy Press, Washington,
and Radiation, Washington, DC. DC.
Distributed Energy, Overview
NEIL STRACHAN
Pew Center on Global Climate Change
Arlington, Virginia, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 823
824 Distributed Energy, Overview
serving Wall Street and the surrounding city blocks electricity utilities, coalescing around the dominant
was distributed power. This paradigm was continued generation design of the steam turbine. Smaller
over the next 20 years with schemes in the United systems were either absorbed or shut down.
States and across the world serving limited urban This centralized paradigm led to the developments
areas with small-scale direct current (DC) systems. of larger and larger generating plants as economies of
Also popular were installations serving individual scale were pursued to raise total electricity system
factories and supplying electricity and heat in efficiencies and reduce costs. The size of the largest
combined heat and power (CHP) applications. One generating units jumped from 80 MWe in 1920, to
large drawback of using DC was the large losses from 600 MWe in 1960, to 1400 MWe in 1980. In order to
this low-voltage system when transmitting power finance these enormous capital investments in gen-
over distance. An alternative system based on eration and related transmission, utility monopolies
alternating current (AC) was promoted by a number relied on guaranteed revenue streams from predeter-
of competitors, including George Westinghouse. AC mined electricity prices to their ‘‘locked-in’’ customer
systems had the advantage when serving larger and base. Other advantages of this system included
more spread-out service areas, as the voltage could be reliability due to the integrated nature of the
stepped up using a transformer to minimize losses. electricity network and reductions of local air
The superiority of the AC system was ensured when, pollution near population centers as generation took
in the late 1880s, Nikola Tesla invented the three- place in remote areas. In addition, large-scale nuclear
phase AC arrangement, which simplified the number power stations were well suited to this paradigm as
and size of wires, and in 1893 when the universal they required the enormous initial investment and
system, a series of technical standards, allowed the guaranteed investment recovery promised by the
interconnection of AC and DC systems and users. centralized electricity network paradigm.
With technology facilitating AC systems, a significant The turning point of the return to DE came with
financial impetus for larger, more centralized systems the oil shocks of the 1970s and the drive toward
was the requirement for consistently high-load factors higher efficiencies. Despite economies of scale, overall
on the electricity network. Large amounts of electricity electricity system efficiencies were restricted to 30–
cannot be stored, thus requiring that demand meets 33% of input energy. A major reason for this was the
supply at all times. Economical use of the transmission inability to capture the large amounts of waste heat
and generation capacity thus requires that a diverse during the electricity production process and hence
customer base maintain electricity demand through the renewed efforts were made toward technological and
days and seasons. A combination of residential, regulatory arrangements to allow distributed CHP
commercial, and industrial applications enables the facilities with overall efficiencies of greater than 80%.
demand profile to be smoothed out as much as possible The most impressive technological development was
and this generally requires a large service area. in high-efficiency combined-cycle turbines (CCGT)
Another stimulus of larger electricity networks using natural gas. This technology became the mode
was the availability of energy inputs. Hydroelectric of generation of choice, capturing most incremental
power and coal mines for electricity generation are capacity growth in most markets. Progress on smaller
usually located some distance from population and DE technologies (see Section 5) included significant
industrial centers. Either the fuel source was trans- cost, reliability, and emissions improvements of
ported to distributed power plants (an impossibility engines, microturbines, fuel cells, and photovoltaics
in the case of hydroelectricity sites) or electricity was (PV). In parallel, and especially in the past 10 years,
transmitted at high voltages. there have been developments in control and mon-
An additional driving force of the centralized itoring technologies. The telecommunications revolu-
electricity network was the rise of natural mono- tion has enabled cheap, real-time operation and
polies. Although the institutional structure of emer- integration of small-scale power technologies.
ging systems was very different, ranging from private Institutional progress has centered around the
companies to state-owned enterprises, competition in drive to restructure electricity markets, from mono-
electricity generation was viewed as infeasible due to polies (often publicly owned) to a competitive
the prohibitive costs of laying competing wires and generation market in which market participants are
the institutional difficulties (at that time) of being free to choose technology type and their customer
able to verify and charge for use of an electricity base. The motivations for this shift were to lower
network by different firms and organizations. By the power costs and improve customer choice and also to
1930s, industrialized countries had set up large raise revenues in the case of state-owned enterprises.
826 Distributed Energy, Overview
A major consequence of this market restructuring with an aggregate capacity of 168 GW. This con-
was the increase in volatility and the resultant stitutes 19.7% of the total U.S. installed capacity,
uncertainty in recovering investment costs. Firms although the definitions in this database include
were less and less willing to commit huge sums in back-up and energy units, remote-application small-
centralized plants with repayment occurring over scale technologies, and a range of larger CHP units.
decades. The average size of a new generating unit in Better documented market penetration totals and
the United States declined from 200 MWe in the mid- rates can be given for some countries and DE
1980s, to 100 MW in 1992, and to 21 MWe in 1998. technologies to elucidate the current and potential
This is approximately equivalent to the average unit global DE market size. The Netherlands has the
sizes in the years 1915–1920. largest market percentage of DE technologies in the
Additional incentives have stemmed from chan- world. During the 1980s and 1990s, this was
ging public pressures. It has become increasingly primarily in the form of natural gas-fired engines of
difficult to build additions to electricity networks, less than 2 MWe each in size. By the end of the 1990s,
especially near population centers. In addition, the this DE technology was found in over 5000 installa-
demand for very reliable and higher quality power tions with 1500 MWe of installed capacity. This
has emerged, spurred by the rapid penetration of represents over 6% of the total national capacity.
electronic appliances and industrial processes that are The Dutch DE units are primarily operated as
extremely sensitive to supply disruptions or degrada- base-load, CHP applications. If larger gas turbine
tions. Finally, other energy delivery infrastructures, units are also considered as DE, then the total DE
especially the natural gas system, have emerged to capacity rises to 7500 MWe or 30% of national
compete with electricity transmission. Energy must be capacity. Other DE technologies, including micro-
moved from source to demand, but where the turbines, fuel cells, and Stirling engines, are being
conversion to electricity is carried out, and at what introduced as relative costs, emission characteristics,
scale, will be part of the emerging paradigm to come. reliability, and power quality considerations are
This is particularly relevant to developing countries traded off in different applications.
where it may or may not be optimal to construct a The range of typical DE applications in the
capital-intensive centralized electricity network. Netherlands is given in Fig. 1. The largest sector
was commercial horticulture, with greenhouses
providing an ideal DE–CHP application with de-
4. DE MARKET STATUS mands for heat as well as electricity for artificial
lighting. The Netherlands has many DE units in
It is extremely difficult, or even impossible, to provide various commercial building sectors, including hos-
values for the total installed capacity of DE technol- pitals, industry, multiresidential complexes, indus-
ogies and resources. This is due to the range of trial sites, and sewage operation facilities, where they
technologies, their varying levels of use in different can also utilize waste gases.
countries, and ambiguity over what constitutes a DE Other countries, including the United Kingdom,
application as unit sizes become larger and units are Germany, Japan, and the United States, have also
sited further from demand centers. In addition, some seen considerable penetration of internal combustion
of the most promising technologies, including fuel (IC) engines as a DE resource. These can be either
cells, photovoltaics, and microturbines, either are just diesel engines, which are often used for back-up and
entering commercialization or are used only in niche emergency power (as is common in the United States),
applications. The relative rate of technological pro- or gas engines, which are used in CHP applications
gress and the regulatory structure of energy markets and can replace the need for an on-site heat boiler
will determine to what degree and how quickly DE plant, and, depending on the regulatory structure and
will penetrate the mainstream market. In addition, buy-back tariffs, can provide electricity back to the
fuel constraints, stemming from the availability of grid. Figure 2 details the numbers and capacity of
natural gas, hydrogen, or other fuel networks, and total worldwide sales of engines that are 1 to 5 MWe
the available renewable energy resource may limit each in size, showing both the growth in overall sales
some of the spread of DE technology. and the trend toward gas-fired base-load DE units.
An example of DE installed capacity from the very Finally, regarding a nonfossil DE technology,
broadest definition is the DE database of Resources Fig. 3 charts the shipments of PV units in the United
Dynamics Corporation, which as of 2003 lists DE States. The largest sectors have traditionally been in
capacity in the United States at 10.7 million DE units applications that are incorporated into buildings to
Distributed Energy, Overview 827
800
700
500 Industry
400 Health
100
0
<1985
1985
1986
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998*
1999*
2000**
Year
FIGURE 1 Gas IC DG (distributed generation; equivalent to distributed energy) installations by sector in the Netherlands.
Years marked with an asterisk are provisional data; those marked with two asterisks are supply firms’ market estimates. From
Central Bureau of Statistics (1998). ‘‘Decentralized Energy Statistics of the Netherlands.’’ Voorborg/Herleen, The Netherlands;
and Cogen Nederland (1999). ‘‘Nederland Cogeneration Statistical Information.’’ Driebergen, The Netherlands.
90,000
80,000
70,000
60,000 Transportation
50,000 Buildings
40,000 Communications
10,000
0
89
90
91
92
93
94
95
96
97
98
99
00
19
19
19
19
19
19
19
19
19
19
19
20
Year
FIGURE 3 U.S. photovoltaic shipments. From Energy Information Administration (2001), Renewable Energy Annual,
Table 10, U.S. Department of Energy, Washington, DC.
TABLE I
Qualitative Strengths and Weaknesses of DE Technologies
Reciprocating Low capital cost Fuel flexibility High air pollutant Noisy
engines emissions
High reliability Quick startup Frequent maintenance Thermal output at low
temperatures
Established technology
Gas turbines Proven reliability and Low capital cost Reduced efficiencies at Sensitivity to ambient
availability part load conditions
(temperature, altitude)
Established technology High-temperature steam Required maintenance
Larger sizes available
Microturbines Compact size Lightweight Low electricity Sensitivity to
efficiencies temperature, altitude
Low emissions Can utilize waste fuels
Fuel cells High electrical Low emissions High capital costs Fuel infrastructure
efficiencies constraint
Quiet Modular Reforming natural gas
Operates well at part High reliability
load
Synergy with vehicle
power trains
Stirling engines Low noise and Low emissions High capital costs Low electrical efficiency
vibrationless
operation
Low maintenance and Multifuel capability, Durability unresolved
high reliability including solar power
Long life
PV Low maintenance No emissions High capital costs Intermittency
Free fuel By-products of
manufacture and
disposal
Wind Low maintenance No emissions High capital costs Variable power output
Free fuel Visual impact
TABLE II
Quantitative Technical Comparison of DE Technologies
Gas Diesel Gas Micro MCFC PAFC PEMFC SOFC Stirling engine PV Wind
Note. MCFC, molten carbonate fuel cell; PAFC, phosphoric acid fuel cell; PEMFC, proton-exchange membrane fuel cell; SDFC, solid oxide fuel cell.
830 Distributed Energy, Overview
derived from automobile engines. These engines are stage of commercial development. Their development
fired by either natural gas or diesel and use spark has come from the design of small, very high speed
ignition or compression ignition depending on the turbines (with compressors on the same shaft) rotating
compression ratio used. A typical energy balance is up to 100,000 rpm. Additional scaling down of com-
electricity, 26–39% (this range is due to type, size, ponents, particularly nozzles and burners, has been
and operation of engine); useful heat, 46–60%; achieved. The marketed size range is 30–500 kWe.
losses (radiation from engine and exhaust, lubrica- Microturbines use regeneration, with resultant
tion, gearbox, generator), 10–20%. lowered exhaust gas temperatures (B3001C). The
Power production engines are typically less than unit is air-cooled. Maintenance requirements are
1 MWe and have become the most common DE tech- reduced due to the elimination of an oil-based
nology for both standby and peaking applications and lubricating system in favor of air bearings and
are increasing in use as base-load combined heat and because the microturbines have no gearbox. Effi-
power units. Engines have low capital costs and high ciencies are a few percentage points less than those of
reliability, although they require a regular maintenance conventional gas turbines, due primarily to lower
and overhaul schedule. Regular maintenance is essen- operating temperatures.
tial for good performance and ranges from weekly oil
changes to major overhauls after 25,000–40,000 h of
5.4 Fuel Cells
operation. Heat recovery is from the engine jacket and
cylinder head cooling water and from the hot engine Fuel cells convert chemical energy directly into
exhaust, resulting in hot water at 80–1201C. A electrochemical work without going through an
combination of combustion modifications and the use intermediate thermal conversion. Thus, the second
of catalytic converters has greatly reduced local air law of thermodynamics does not apply, they are not
pollutant emissions, although in this regard engines are limited by Carnot’s theorem, and, therefore, they
still inferior to other DE technologies. offer the potential of very high electrical efficiencies.
In a fuel cell, the fuel (H2) and the oxidizer (O2) are
supplied continuously (unlike in a battery). A
5.2 Gas Turbines
dynamic equilibrium is maintained, with the hydro-
Derived from aero-applications, power generation gen being oxidized to water with electrons going
with gas turbines is commonplace, with an extensive around an external wire to provide useful electrical
installed capacity and sizes ranging from 500 kWe to work. A major limitation of fuel cells is that direct
Z50 MWe. Low maintenance costs and high-grade efficient oxidation of natural gas (CH4) is not yet
heat recovery have made gas turbines a favorite in possible. Therefore, a reformer is used to convert
industrial DE applications. CH4 to H2, with resulting losses in overall efficiency
The unit has a turbine and compressor on the same and creation of CO2 as a by-product.
shaft and compressed combustion products at high There are four main types of fuel cells in
temperature drive the turbine. Compressor losses and development. Fuel cells can either use additional
materials restrictions inhibit the upper temperature of heat for the reformer or their own waste heat. They
the cycle and thus constrain efficiency. Hot exhaust are compared in Table III.
gases are used to preheat incoming air (regeneration). Fuel cells have many admirable qualities for power
The remaining thermal energy of these exhaust gases production including a high potential efficiency, no
can be reclaimed as waste to heat a boiler. A typical loss in performance when operating at partial load,
energy balance is as follows: electricity, 30%; high- ultralow emissions, and quiet operation. Their high
grade heat, 50%; stack losses, 14.5%; other losses, capital costs are a major barrier to development.
6.5%. Turbines are classified as temperature-limited
cycles and increases in efficiency continue to occur
5.5 Stirling Engines
through materials developments and cooling technol-
ogies to allow the turbine to run at higher maximum Stirling engines are an external combustion engine,
temperatures. where the fuel source is burned outside the engine
cylinder. This energy source drives a sealed inert
working fluid, usually either helium or hydrogen,
5.3 Microturbines
which moves between a hot chamber and a cold
Microturbines follow the same cycle as conventional chamber. Stirling engines can be very small in scale
gas turbines, although they are at a less developed (as little as 1 kWe), which in combination with very
Distributed Energy, Overview 831
TABLE III
Categorization of Major Fuel Cell Types
low maintenance, low noise, and low emissions Considerable attention is also being given to fully
makes them ideal for residential CHP applications. building-integrated PV cells, where the PV cells are
Another advantage of Stirling engines is that they can an alternative to other construction materials. A
utilize almost any fuel, including direct solar energy. principal drawback of PV cells is their reliance on an
However, significant challenges remain in reducing intermittent power source.
the high capital costs and overcoming remaining
technical barriers, primarily related to durability.
5.7 Wind Turbines
Wind-based power generation may or may not be a
5.6 Photovoltaics
DE technology, depending on whether it is located
PV cells, or solar cells, convert sunlight directly into near the demand source or at a remote wind farm.
electricity. PV cells are assembled into flat plate Generally, wind turbines are located in areas with
systems that can be mounted on rooftops or other good winds and have annual capacity factors ranging
sunny areas. They generate electricity with no from 20 to over 40%. The typical life span of a wind
moving parts, operate quietly with no emissions, turbine is 20 years. Maintenance is required at 6-
and require little maintenance. An individual photo- month intervals.
voltaic cell will typically produce between 1 and 2 W. A wind turbine with fan blades is placed at the top
To increase the power output, several cells are of a tall tower. The tower is tall in order to harness
interconnected to form a module. Photovoltaic the wind at a greater velocity and to be free of
systems are available in the form of small rooftop turbulence caused by interference from obstacles
residential systems (less than 10 kWe), medium-sized such as trees, hills, and buildings. As the turbine
systems in the range of 10 to 100 kWe, and larger rotates in the wind, a generator produces electrical
systems greater than 100 kWe connected to utility power. A single wind turbine can range in size from a
distribution feeders. few kilowatts for residential applications to greater
Two semiconductor layers in the solar cell create than 5 MW.
the electron current. Materials, such as silicon, are Drawbacks of wind power include high capital
suitable for making these semiconducting layers and costs and reliance on an intermittent resource.
each has benefits and drawbacks for different
applications. In addition to the semiconducting
5.8 Energy Storage
materials, solar cells consist of two metallic grids
or electrical contacts. One is placed above the Energy storage technologies produce no net energy but
semiconducting material and the other is placed can provide electric power over short periods of time.
below it. The top grid or contact collects electrons The principal storage options include the following.
from the semiconductor and transfers them to the
external load. The back contact layer is connected to 5.8.1 Battery Storage
complete the electrical circuit. The standard battery used in energy storage applica-
Commercially available PV modules convert sun- tions is the lead–acid battery. A lead–acid battery
light into energy with approximately 5 to 15% reaction is reversible, allowing the battery to be
efficiency. Efforts are under way to improve photo- reused. There are also some advanced sodium–sulfur,
voltaic cell efficiencies as well as reduce capital costs. zinc–bromine, and lithium–air batteries that are
832 Distributed Energy, Overview
nearing commercial readiness. Batteries suffer from specific limitations (e.g., intermittency) and to boost
limited storage capacity and environmental concerns primary performance characteristics (e.g., electrical
over their manufacture and disposal processes. efficiency). Several examples of hybrid systems
include the following:
5.8.2 Flywheel
A flywheel is an electromechanical device that *
Solid oxide fuel cell (SOFC) combined with a gas
couples a motor generator with a rotating mass to turbine or microturbine;
store energy for short durations. Conventional *
Stirling engine combined with a solar dish;
flywheels are ‘‘charged’’ and ‘‘discharged’’ via an *
Wind turbines with battery storage and diesel
integral motor/generator. The motor/generator draws backup generators;
power provided by the grid to spin the rotor of the *
Engines combined with energy storage devices
flywheel. Traditional flywheel rotors are usually such as flywheels.
constructed of steel and are limited to a spin rate of
a few thousand revolutions per minute and hence The SOFC/gas turbine hybrid system can provide
offer limited storage capacity. electrical conversion efficiencies of 60 to 70%,
through a combined cycle where the waste heat from
5.8.3 Superconducting Magnetic Energy Storage the fuel cell reaction drives a secondary microturbine.
Superconducting magnetic energy storage (SMES) Stirling engine/solar dish hybrid systems can also run
systems store energy in the field of a large magnetic on other fuel sources during periods without sunlight.
coil with DC flowing. It can be converted back to AC Wind turbines can be used in combination with
electric current as needed. Low-temperature SMES energy storage and some type of backup generation
cooled by liquid helium is commercially available. (e.g., an IC engine) to provide a steady power supply
High-temperature SMES cooled by liquid nitrogen is to remote locations not connected to the grid. Energy
still in the development stage and may become a storage devices such as flywheels are being combined
viable commercial energy storage source in the with IC engines and microturbines to provide a
future. SMES systems are large and generally used reliable backup power supply. The energy storage
for short durations, such as utility switching events. device provides ride-through capability to enable the
backup power supply to get started. In this way,
5.8.4 Supercapacitor electricity users can have an interruption-free backup
Supercapacitors (also known as ultracapacitors) are power supply.
DC energy sources and must be interfaced to the
electric grid with a static power conditioner. Small
supercapacitors are commercially available to extend 6. ECONOMIC CHARACTERISTICS
battery life in electronic equipment, but large super-
OF DE
capacitors are still in development.
6.1 DE Technology Comparison
5.8.5 Compressed Air Energy Storage
Compressed air energy storage uses pressurized air as Table IV details the major cost parameters of DE
the energy storage medium. An electric motor-driven technologies. These values are intended only to be
compressor is used to pressurize the storage reservoir illustrative due to the site-specific and application-
using off-peak energy and air is released from the specific factors that alter individual plant costs.
reservoir through a turbine during peak hours to Installed cost covers the capital price of the unit plus
produce energy. Ideal locations for large compressed implementation costs to connect the unit to its
air energy storage reservoirs are aquifers, conven- electric load and integrate it with its fuel infrastruc-
tional mines in hard rock, and hydraulically mined ture, the electricity network, and, if required, the
salt caverns. Air can be stored in pressurized tanks heating system of the building. Operation and
for small systems. maintenance (O&M) costs cover regular mainte-
nance and scheduled overhauls. Fuel costs are based
on typical U.S. prices for industrial customers and do
5.9 Hybrid Systems
not include any additional mark-up from distribution
A combination of various DE technologies or to commercial or residential sites.
inclusion of energy storage options (including bat- As Table IV shows, the more mature DE technol-
teries and flywheels) has been proposed to overcome ogies, engines, gas turbines, and wind turbines, have
Distributed Energy, Overview 833
grid reinforcement, standby power, meeting peak electricity that flows down their wires, are most likely
demands, remote sites, and hedging against fuel to view DE as a threat to their core business.
volatility. Interconnection charges are imposed on the DE
The use of DE in areas where it is difficult or user to connect a unit to the electricity network for
expensive to upgrade the distribution network can both emergency and backup power and to allow
alleviate bottlenecks in the system and enable greater export of DE-generated electricity back to the grid.
system capacity and reliability. For grid reinforcement The general small size of DE schemes makes
benefits to occur, utilities should know, at a mini- individual assessments impractical and cost-prohibi-
mum, when, where, and how much electricity will be tive and a number of countries have, or are
exported to the grid. The use of DG for network developing, protocols for simple and equitable
management is much improved if utilities also have interconnection of DE. Buy-back tariffs (or prices
some measure of control over DG resources. DE can for electricity export) are the price paid to the DE
also be used for peak shaving to meet demands for user for electricity sold back to the grid. The fair
electricity at times of highest usage. This can be price for this electricity will depend on where the DE
particularly cost-effective using low-capital-cost DE unit is located in the distribution network, how
technologies, such as engines. Other DE technologies much electricity is exported, when it is exported
can be used in remote areas where it is not (especially in reference to peak demand times), and
economically feasible to extend the distribution whether electricity exports are guaranteed. Figure 4
network. Historically, this has been the application illustrates the range in electricity buy-back tariffs in
where renewable DE technologies have been em- the Netherlands and United Kingdom. Larger
ployed, despite their high capital costs. Finally, as DE volumes for longer periods of time are valued more
technologies have a range of fuel sources, including highly. The overall difference between the two
natural gas, waste gases, oil, and renewable fuels, countries is a result of the level of cooperation with
they can contribute in a portfolio of supply technol- the incumbent utilities and their willingness to use
ogies to hedge against volatility in fuel costs. DE as an integral part of their generation and
As DE capacity increases in the electricity sector, a distribution portfolios. An extension of buy-back
range of issues related to costs imposed on the wider tariffs is net-metering, where a DE user can reverse
electricity sector become more prominent. If, as in the flow of electricity from the grid to offset
many developing countries, the national electricity electricity purchases at other times. A flat rate for
grid is only in its infancy, then a system based on DE net-metering unfairly imposes costs on the electricity
and alternate fuel delivery options is perfectly utility, whereas flexible net-metering tariffs depen-
feasible and will offer distinct characteristics in terms dent on time, place, and level of guarantee have
of environmental, economic, and reliability perfor- much to recommend them.
mance. However, in all developed nations, a national Wider cost issues for electricity networks include
electricity network that has been designed to move stranded assets, where a capital-intensive generation
large amounts of power from remote generation sites and distribution plant is not utilized and hence does
to meet a diverse set of demand loads is already in not recover its investment. This can also occur if
place. Incorporating DE into this system necessitates
consideration of interconnection, buy-back (or ex-
port) tariffs, net-metering, stranded investment costs, 100%
and impacts of changing demands. 90%
% of industrial grid tariff
80%
A general theme in the relationship between DE Gas turbine;
70% 25 MWe,
and the electricity network is that DE users should 8700 h/year
60%
compensate the utility for any costs imposed on the 50% Gas turbine;
5 MWe,
centralized network, but also be rewarded for any 40% 6000 h/year
benefits the use of DE gives to the network. 30% Gas IC engine;
Experience has shown that coordination between 20% 500 kWe,
3000 h/year
users, utilities, regulators, and technology vendors is 10%
essential for optimal use and recompense of DE to be 0%
achieved. Specific regulatory structure will dictate Netherlands UK
whether utilities can be direct partners in DE projects. FIGURE 4 Electricity buy-back tariffs for DE technologies.
Utilities constrained by a cost plus revenue arrange- From Cogen Europe (1995), The Barriers to CHP in Europe, SAVE
ment, where their income is driven by the amount of Program of the European Commission, Brussels, Belgium.
Distributed Energy, Overview 835
capacity must be kept available to meet energy units are the average of the installed capacity base or
demands from DE unit failure. As electricity markets only of new units.
have been liberalized in many countries, recompense Table V gives the latest controlled technology,
for stranded investments has been a dominant feature efficiencies, and controlled emission rates of a range
of the regulatory debate. Finally, as DE capacity of DE technologies, as well as for a centralized coal
grows, it will affect the demand profile of the area steam turbine plant, combined cycle gas turbines
the electricity network serves. If the DE units (CCGT), and an on-site heat boiler plant. For
primarily meet base-load demand, the remaining calibration to alternative units, 1 lb/MWh is approxi-
load will become more variable and hence more mately equivalent to 0.45 g/kWh and approximately
expensive to service with a conventional centralized equivalent (for NOx only) to 22 ppm.
generation portfolio. Table V shows that some DE technologies (fuel
cells, Stirling engines, PV, and wind turbines) have
very low levels of global and local air pollutants.
7. ENVIRONMENTAL Diesel engines and coal steam turbines are the most
CHARACTERISTICS OF DE polluting distributed and centralized technologies,
respectively. Although CCGT is a much cleaner
DE technologies exhibit a range of emission char- centralized technology, once emissions from heat
acteristics. Carbon dioxide (CO2) and sulfur dioxide boilers are factored in, even gas engines are
(SO2) emissions depend only on the carbon or sulfur equivalent in emission rates for CO2, SO2, NOx,
content of the fuel and the efficiency of generation and particulate matter (PM10). Engine emissions of
and supply. Local pollutants including nitrogen carbon monoxide (CO) and unburned hydrocarbons
oxides (NOx) also depend on the specifics of the (HC) remain a significant problem.
combustion or generation process. The relative Comparing emission rates is only a first step in
environmental performance of DE depends on what evaluating the environmental impact of DE
centralized electricity technology and fuel they are technologies. It is also important to note that
competing against and whether the DE technology is emissions will occur closer to population centers,
being used for electricity only or CHP applications. If and hence increase the health impacts of local air
it is a DE–CHP application, then the emissions from pollutants, and may also happen at specific times
the heat boiler plant must also be factored in. Higher when environmental loading is at its peak. An
relative DE efficiencies are also aided by the example of this would be significant levels of diesel
avoidance of electricity distribution losses. Further engine use in urbanized areas during hot summer
issues in comparing environmental characteristics of afternoons when ozone (O3) formation is at its peak.
technologies include what control technologies are Thus, the specific health and environmental im-
assumed to be fitted and whether the comparison pacts of significant DE use require atmospheric
TABLE V
Emission Characteristics of DE and Power/Heat Technologies (lbs/MWh)a
Reciprocating gas engine Ignition timing and SCR 1394 0.08 1.11 4.01 0.03 1.20 0
Reciprocating diesel engine Ignition timing and SCR 1639 2.95 4.75 6.24 0.80 3.68 0
Gas turbine Staged combustion 1406 0.08 0.67 0.68 0.10 0.98 0
Microturbine SCR 1617 0.09 0.45 1.05 0.09 0.31 0
Fuel cell (phosphoric acid fuel cell) None 1064 0.06 0.03 0 0 0 0
PV None 0 0 0 0 0 0 0
Stirling engine None 1617 0.09 0.1 0 0 0 0
Wind None 0 0 0 0 0 0 0
Combined-cycle gas turbine Staged combustion 980 0.06 0.47 0.17 0.10 0.12 0
Coal steam turbine Low NOx burners, FGD and SCR 2345 13.71 4.13 0.17 0.31 0.12 0.0038
Gas heat boiler Low NOx burners 449 0.03 0.49 1.05 0.09 0.11 0
a
Divide by 2.2 to convert to g/kWh.
SCR, selective catalytic reduction; FGD, flue gas desulfurization.
836 Distributed Energy, Overview
modeling. As many DE technologies have thus emergency or stand-by generation for DE units. This
far been ‘‘under the radar’’ in regulatory efforts for imposes costs on the electricity grid (see Section 6.2)
air pollution, such detailed analysis will be as the utility must maintain spare generation and
paramount. distribution capacity to meet a potential additional
Finally, it should be noted that there are non- load from a DE outage event. However, this
emission environmental issues that ensure that all DE disadvantage is avoided if a cluster of DE units can
technologies have some environmental concerns to provide emergency power without the grid. Taking
be addressed. Noise pollution, particularly near this paradigm one step further, a DE cluster can act
workplaces and residences, is a concern (see Table as a source of emergency or stand-by generation to
II for uncontrolled noise levels of DE technologies). the grid, especially in times of peak demand when
Even renewable DE technologies with no noise or air generation costs or distribution bottleneck issues are
pollution consequences need to address concerns of utmost concern.
over hazardous materials during manufacture and A final reliability issue is the comparison between
disposal (PV and batteries) or visual impacts (wind the electricity network and the fuel distribution
turbines). (primarily natural gas) that DE units would depend
on. This is discussed below in the context of
robustness.
8. OTHER CHARACTERISTICS
OF DE
8.2 Robustness
8.1 Reliability The robustness of an energy generation and distribu-
tion network has received considerable attention for
Reliability considerations for DE can be divided
its performance under conditions of conflict, whether
into plant and system impacts. At the plant level,
in terms of war or terrorist events. A system based on
high levels of availability of DE units are achieved
DE would do little to alleviate dependence on oil
through remote monitoring and real-time control. As
imports, which is primarily related to transportation.
there can be a large number of DE units, reliability
On an individual generation unit basis, the small size
can be ensured for scheduled maintenance and
and low profile of DE units make them a less
unscheduled outages by transferring the electri-
important target. Although DE can be powered by a
city load to the remaining DE units. Building or
range of renewable, waste, and fossil fuels, the
process management systems can turn off nonessen-
reliance on a natural gas infrastructure has been
tial loads if required. Energy storage devices can also
debated and compared to the system robustness of
be used to maintain supply for short periods.
the electricity network. Table VI details some of the
Finally, the dual-fuel capabilities of many DE
advantages and disadvantages of a natural gas DE
technologies or the use of different DE units at the
network.
same location can ensure supply in the case of fuel
disruptions.
In comparing DE reliability to a centralized
8.3 Power Quality
electricity network, it should be noted that the
existing electricity grid is extremely reliable, operat- Evolving demands for high-quality electricity in a
ing in excess of 99.9% availability. The majority of range of sensitive industrial processes and informa-
outage events in the centralized network are due to tion technologies has refocused attention on the need
accidents and climatic events in the transmission and for extremely high-quality power. DE technologies
especially distribution system. DE offers a route to can help respond to this demand in a number of
bypass these outages. In addition, in countries such ways. The use of DE technologies can avoid move-
as India, where widespread theft of electric power ment of electricity where the majority of power
from the distribution network, and hence reduced quality problems, especially voltage sags, occur.
reliability, is commonplace, DE can offer an alter- Energy storage devices are a DE resource that is
native. often used to provide uninterrupted power supply
The comparison, and possible coordination, be- either as a support to the power grid during periods
tween DE and the electricity network depends on of very short term instability or as a bridge to allow
which generation source is the back-up. Tradition- stand-by DE technologies to begin operation and
ally, the electricity grid has been employed as ramp up to meet the required load.
Distributed Energy, Overview 837
TABLE VI
Potential Robustness Advantages and Disadvantages of DE Systems
Increased number and smaller size of When one generator is damaged, a much smaller Harder to physically protect individual
DE generators proportion of the generating capacity is generation sites
unavailable
Greater use of natural gas May replace nuclear facilities More prone to risks of foreign supply
interruptions (pipelines and LNG)
Decreased reliance on electricity The electricity T&D system is harder to protect Unless DE units are arranged in clusters to
transmission and distribution than generators; having generation close to the back up one another, may still have to
load reduces the reliance on the vulnerable deal with electricity grid outage effects
transmission system
Increased reliance on natural gas Underground natural gas T&D systems (which Long-distance over-ground natural gas
transmission and distribution would be needed anyway for on-site heat-only pipelines are very difficult to protect
plants) are generally underground and therefore and are vulnerable to attack (with
better protected than electrical T&D lines explosives or high-powered rifles)
T&D real-time operational Gas pipelines do not have the same strict real-time
advantages operational problems as electric power grids; in
electric power grids, a disturbance to one part of
the grid can result in cascading failures that
knock out power to a much wider area than the
original disturbance
Fuel substitutability and storage A natural gas DE system can have greater A centralized electricity network can also
robustness through dual fuel technologies and build in a diverse supply portfolio
local storage facilities for gas and/or other fuel
suitable for use in ICE DE units
As there are a range of customer types, each recovery, acoustic enclosure, and control interface
requiring, and willing to pay for, a range of power and can be installed at a site and connected to the
quality levels, those users requiring extremely high electricity and heating systems in 1 or 2 days.
quality power (e.g., information technology firms) In addition to improving investment under price
have been investigating the concept of microgrids, uncertainty, modular capacity extensions can more
where a range of DE technologies, along with energy easily follow increments in demand growth, alleviat-
storage options, are geared to provide very high ing shortages in generation capacity. Adding further
quality power in a designated geographical area. DE value, the geographical flexibility of modular DE
microgrids could be based on DC power if required capacity allows it to alleviate bottlenecks in the
for sensitive electronic equipment. distribution capacity. Finally, mobile DE units can be
quickly moved to meet peak demand periods or
moved on a seasonal basis to meet climate-driven
8.4 Modularity
high-demand periods.
A final characteristic of DE technologies is that they
represent modular or increment investment and
capacity additions, especially in comparison to large
centralized power plants. This feature has been even 9. FUTURE ROLE OF DE
more advantageous following the liberalization of
many nations’ electricity industries and the resultant The traditional policy driving forces for DE, and
increase in electricity price uncertainty. The ending of indeed for all energy supply and distribution options,
the monopoly systems where investment revenues have been the lowest economic cost and security of
were guaranteed to be recovered has placed a supply. Increasingly, motives for evolving policies
premium on projects with a shorter, less expensive will also be concerns over global and local environ-
construction period. Many factory-made and – mental issues, reliability, robustness, and quality of
assembled DE units come packaged with heat electricity supply, and integration with energy infra-
838 Distributed Energy, Overview
structures, notably electricity, natural gas, and any supply. For those customers who have very strict
future hydrogen infrastructure. requirements for reliable and high-quality power, DE
Along with continuing technical developments in technologies can either supplement the grid or be used
DE technologies, cost reductions will be largely in microgrids to meet specialized demands. The use of
delivered by economies of scale in production, DE can hedge against both supply and price
geographical economies of scale, and the processes uncertainties, particularly in view of the modularity
of learning by doing and learning by using as DE of capital investments required for DE.
penetrates the market. Regulatory developments, Significant expansion of DE capacity may impose
especially facilitating flexible ownership and opera- greater strain, increased price levels, and greater
tional arrangements, will be necessary if these cost price volatility on the natural gas network. It may
reductions are to be realized. also change seasonal demand profiles as more
Any new regulatory design will have to accom- summer electricity is generated and may require
modate and value the impacts of a widespread rethinking of natural gas storage requirement and
penetration of DE technologies on existing infra- locations. Finally, DE may or may not be integral or
structures and especially electricity generation and compatible with the growing use of hydrogen. If
distribution utilities. Utilities need to be fairly hydrogen is created at central facilities (for example,
compensated for costs incurred for interconnection, using fossil fuels and carbon sequestration), the
ensuring emergency supply, altered demand profiles, energy distribution carrier could be electricity, taking
and possible stranding of investments in generation advantage of economies of scale in plants, or
and distribution equipment. These costs need to be hydrogen, taking advantage of economies of scale
transparent and standardized, as the introduction of in DE unit production and higher efficiencies with
DE can be incorporated to reduce peak requirements, CHP DE units. If the transportation sector moves to
defray distributional capacity expansions, and meet a hydrogen system with a distribution pipeline to
the range of daily and seasonal demands at lowest fueling stations, this is likely to support hydrogen-
cost. Regulatory decisions over the ownership, fueled stationary DE applications.
technical protocols, market structure, and liability Finally, DE technologies and their associated infra-
aspects of the electricity industry will all affect structure impacts and ownership arrangements poten-
whether and how DE is incorporated into the tially represent a very different paradigm than the
electricity paradigm. norm of centralized electricity generation and distribu-
A diverse range of DE technologies, including tion with on-site heat provision. These two paradigms
renewable DE and multifuel DE units such as have advantages and disadvantages, but in countries
microturbines and Stirling engines, can help con- that already have a developed energy infrastructure,
tribute to the diversity and hence the security of any widespread move toward DE will entail significant
energy supplies. However, if the great majority of DE transitional concerns over a period of decades due to
units are fired on natural gas, this could exacerbate the long life of electricity-related equipment.
price volatility and upward price pressure on natural
gas supplies, particularly in North America.
Renewable DE and CHP DE technologies have the SEE ALSO THE
potential to significantly reduce emissions of CO2 FOLLOWING ARTICLES
and thus may be a major tool in any concerted drive
to limit and reduce greenhouse gas emissions.
Electricity, Environmental Impacts of Electricity
Although most DE technologies emit very low levels
Use, History of Electric Power Reform: Social and
of SO2, only some (fuel cells, microturbines, Stirling
Environmental Issues
engines, PV) have very low levels of a variety of local
air pollutants. Given the distributional location of
DE near population centers, all local air pollution Further Reading
impacts need to be fully assessed and further Ackermann, T., Andersson, G., and Soder, L. (2001). Distributed
controlled if necessary. In addition, any doubts of generation: A definition. Electric Power Systems Res. 57,
affected local populations need to be understood and 195–204.
addressed. Borbely, A., and Kreider, J. F. (eds.). (2001). ‘‘Distributed
Generation: The Power Paradigm for the New Millennium.’’
Evolving demands for high reliability, high robust- CRC Press, Boca Raton, FL.
ness, and high quality in liberalized electricity markets Cowart, R. (2001). ‘‘Distributed Resources and Electric System
will likely result in customers specifying criteria of Reliability.’’ The Regulatory Assistance Project. Gardiner, ME.
Distributed Energy, Overview 839
Dunn, S. (2000). ‘‘Micropower: The Next Electrical Era,’’ World- Patterson, W. (2000). ‘‘Transforming Electricity.’’ Earthscan,
Watch Institute Paper 51. WorldWatch Institute, Washington, London.
DC. Smeers, Y., and Yatchew, A. (eds.). (1998). Distributed resources:
Feinstein, C., Orans, R., and Chapel, S. (1997). The distributed Toward a new paradigm of the electricity business. Energy J.,
utility: A new electric utility planning and pricing paradigm. Special Issue.
Annu. Rev. Energy Environ. 22, 155–185. Strachan, N., and Farrell, A. (2002). ‘‘Emissions from Distributed
Gas Research Institute. (1999). ‘‘The Role of Distributed Generation in Generation,’’ Carnegie Mellon Electricity Industry Center
Competitive Energy Markets.’’ Gas Research Institute, Chicago, IL. Working Paper 02–04. Carnegie Mellon Electricity Industry
Laurie, R. (2001). Distributed generation: Reaching the market Center, Pittsburgh, PA.
just in time. Electric. J., 87–94. Strachan, N., and Dowlatabadi, H. (2002). Distributed generation
Meyers, E., and Hu, M. G. (2001). Clean distributed generation: and distribution utilities. Energy Policy 30, 649–661.
Policy options to promote clean air and reliability. Electric. J., Willis, H. L., and Scott, W. (2000). ‘‘Distributed Power Genera-
89–98. tion: Planning and Evaluation.’’ Dekker, New York.
Morgan, M. G., and Zerriffi, H. (2002). The regulatory environ- Zerriffi, H., Dowlatabadi, H., and Strachan, N. (2002). Electricity
ment for small independent micro-grid companies. Electric. J., and conflict: Advantages of a distributed system. Electric. J. 15,
52–57. 55–65.
District Heating and Cooling
SVEN WERNER
Chalmers University of Technology
Gothenburg, Sweden
2. MARKET PENETRATION
The fundamental idea of district heating is to
use local fuel or heat resources that would other- Citywide district heating systems exist in Helsinki,
wise be wasted to satisfy local customer heat Stockholm, Copenhagen, Berlin, Munich, Hamburg,
demands by using a heat distribution network of Paris, Prague, Moscow, Kiev, Warsaw, and other
pipes as a local marketplace. This idea contains large cities. Many systems supply a downtown
the three obligatory elements of a competitive district (such as in New York, San Francisco,
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 841
842 District Heating and Cooling
Minneapolis, St. Paul, Seattle, Philadelphia, and water was partly distributed using drilled tree trunks
other cities) or a university, military base, hospital as distribution pipes.
complex, or an industrial area. In Europe, an early district heating system was
Total annual heat turnover is approximately 11 EJ built in Dresden in 1900, although it was not a
in several thousand district heating systems operating commercial project. The main purpose was to reduce
throughout the world. The amount of heat delivered the fire risk in 11 royal and public buildings
corresponds to 3.5% of the total global final energy containing invaluable art treasures. A more commer-
consumption (1999). The market penetration for cial project was initiated by Fernheizwerk Hamburg
district heating in various countries is presented in Gmbh for the city of Hamburg in 1921. According to
Table I which is based on international energy Abraham Margolis, the company chief engineer, the
statistics. However, many countries have undeve- driving force for the project was the high cost of fuel
loped or no routines for gathering statistical in- after World War I. The Hamburg system was
formation from district heating systems. This is followed by systems in Kiel in 1922, Leipzig in
valid for the United States, Great Britain, France, 1925, and Berlin in 1927. Outside Germany, district
China, and some other countries. An independent heating systems were started in Copenhagen in 1925,
analysis estimated the total annual heat deliveries Paris in 1930, Utrecht in 1927, Zürich in 1933, and
from all district heating systems in the United States Stockholm and Helsinki in 1953. Reykjavik, Iceland,
to be more than 1000 PJ. Hence, the real-world started a geothermal district heating system in 1930,
market penetration is probably higher than that which today supplies almost all the 160,000 inhabi-
presented in Table I. tants with heat for space heating and domestic hot
Fulfilling heat demands for space heating and water (10 PJ during 2000).
domestic hot water preparation for residential, In Russia, a general utilization of cogeneration
public, and commercial sectors constitutes the and district heating was outlined in the electrification
majority of deliveries. Among the Organization for plan in 1920 in order to reduce future fuel demand.
Economic Cooperation and Development (OECD) The first heat was delivered in St. Petersburg in 1924.
countries, district heating has a strong, almost Teploset Mosenergo was established in 1931 to
dominating, market position in Denmark, Finland, manage heat distribution in Moscow, although the
Sweden, Poland, and the Czech Republic. Among heat deliveries had begun in 1928. This department
non-OECD countries, district heating has a strong of Mosenergo delivered 268 PJ during 2000 and an
market position in Russia, Belarus, Romania, and the additional 70–80 PJ was supplied by Mosteploener-
three Baltic states. go, another local distributor. Together, these compa-
nies constitute the most extensive district heating
system in the world. The second largest is the St.
3. HISTORY OF DISTRICT HEATING Petersburg system.
TABLE I
Heat Flows through District Heating Systems for Various Countries and Regions in 1999a
domestic cold water, the open connection method is in high feed water demands in the distribution
used, whereas when a heat exchanger is employed, network.
the closed connection method is used. The open The most typical part of a district heating system
connection method occurs is used in Russia, resulting is the citywide distribution network of pipes buried
844 District Heating and Cooling
in the ground under streets, pavement, and park up to 20–30% can occur in areas with low linear
lawns or installed in building basements. Water is heat densities. Also, the distribution cost depends on
normally used as the heat carrier in heat distribution the linear heat density. The cost is low beyond 20–
networks. Steam is completely or partly used in 30 GJ/m but increases very quickly below 6–8 GJ/m.
systems that were installed before approximately The district heating system is operated using
1940 and for high-temperature industrial heat control equipment at four independent levels. Two
demands. of these are located in the buildings connected and
The water temperature in the forward pipes varies two are managed by the district heating operator.
between 70 and 1501C, with an annual average of The first level is the heat demand control by
80–901C. The higher temperature is used at extreme thermostatic valves at the radiators and mixing
low outdoor temperature, whereas the lower tem- valves for domestic hot water. The second level is
perature is used during the summer to enable in the customer substations. The heat transfer is
domestic hot water preparation. The temperature of controlled by valves that adjust the flow of district
the return water varies between 35 and 701C, with an heating water. One valve is used for each connected
annual average of 45–601C. However, return tem- customer system. The third level is the control of the
peratures of 30–351C may be obtained in the future. pressure difference between the supply and return
The current high return temperatures depend on pipes in the network, which is accomplished by
malfunctions in substations, short-circuited radiator adjusting the speed of the distribution pumps. This
systems in customer buildings, and short-circuits control level allows for all customer substations to
between forward and return pipes in the distribution receive heat since this pressure difference is the
networks. The lower the return temperature, the driving force for the flow to circulate through the
more heat can be transported in the network. customer substations. The final level is the control of
The pipes are constructed so that they accommo- the supply temperature by adjusting the capacity in
date thermal expansion and avoid outer corrosion. the heat-generation facilities.
Construction methods for pipes buried in the ground These levels of control result in an efficient
have varied throughout the years. In the early days of demand-oriented district heating system. The district
district heating, double steel pipes were insulated heating operator can never deliver more heat than
with mineral wool and laid in a common concrete the customers request. However, the first three levels
square box duct. This early generation of distribution are often not available in Russian and Eastern
pipes were expensive to build but were reliable if the European systems. This situation creates a produc-
ducts were well ventilated and well drained. Today, tion-oriented system in which it is difficult to
the most common method is to use prefabricated properly allocating the flow in the network, resulting
steel pipes with polyethylene casing and insulated in both low and high indoor temperatures in the
with polyurethane foam. This method has the buildings connected. When these systems are rehabi-
advantages of low distribution cost, low heat losses, litated, the first step is to install at least control at the
and high reliability. During the past 30 years, plastic second and third levels.
pipes have been developed as heat carrier pipes. With
respect to limitations in pressure and possible long-
term temperatures, the new generation of district 5. CUSTOMER RELATIONS
heating pipes are mostly used in secondary distribu-
tion networks separated from the primary distribu- The customers usually pay for the heat received
tion networks by heat exchangers. according to a heat rate, which normally consists of
The heat loss in the distribution network depends one fixed portion related to the capacity needed and
on the thermal resistance in the pipe insulation, the one variable portion related to the amount of heat
pipe size, the supply and return temperatures, and bought. Sometimes, a water volume portion is also
the linear heat density. The latter is the heat sold used in order to promote low return temperatures
annually divided by the route length of double pipes from the customer substations. The capacity portion
in the network. Typical values for linear heat is based on either the maximum heat load or the
densities are 15–25 GJ/m for whole networks, more maximum water flow capacity. The amount of heat
than 40 GJ/m in concentrated downtown and com- sold to the customer is recorded by integrating the
mercial areas, and less than 5 GJ/m in blocks with product of water flow and the temperature difference
single-family houses. Typical heat loss in whole between the supply and return pipes. A heat meter in
networks is 5–10% of heat generated in plants, but each customer substation measures the district
District Heating and Cooling 845
heating water flow, the supply temperature, and the heating systems. Hence, deregulation of district
return temperature. These three measurements are heating systems cannot easily be implemented.
integrated with media constants to derive an
accumulating heat volume in gigajoules or megawatt
hours by the heat meter. 6. ENERGY SUPPLY
The point of delivery varies from system to
system. If the customer owns the substation, the The base load heat-generation capacity in a district
point of delivery is before the substation; otherwise, heating system must have a strong correlation with
it is after the substation. Sometimes the customer the five strategic resources discussed previously:
pays a connection fee. cogeneration, refuse incineration, industrial waste
The pricing principle for the heat rate varies. heat, geothermal heat, and fuels difficult to manage.
Municipal district heating systems generally have Internationally, the strongest driving force for district
lower prices, reflecting lower returns of capital heating is the simultaneous generation of electricity
investments. Privately owned systems often price and heat in cogeneration plants. Base load capacities
the district heat according to the available alternative are associated with low operating costs and high
for the customer, usually the price of light fuel oil or capital investment costs.
natural gas with a discount in order to keep the Conventional fossil fuels dominate the fuel supply
customer. In some countries, the price levels in for cogeneration, but the use of biomass is increasing
district heating systems are supervised or approved in some countries. One example is the newly built
by national or regional regulatory authorities. biomass cogeneration plant in Eskilstuna, Sweden,
Typical prices for district heat deliveries were $6– which meets the majority of heat demand of a city
13/GJ in OECD countries in 1999 and 2000. An with 65,000 inhabitants. Another example is the new
exception was the geothermal system in Reykjavik, biomass cogeneration plant for the St. Paul system.
which sold heat for only $4/GJ. Typical prices in In general, cogeneration plants use more carbon lean
Eastern Europe were $3–7/GJ, except in Russia, fuels than conventional thermal power stations since
where world market energy prices are not allowed natural gas, renewables, and waste are more
due to a low ability to pay market prices. Heat was common fuels than coal and oil. It is also possible
sold from the Moscow system for approximately $1/ to recover heat from nuclear power stations, but this
GJ. All these prices are lower than or equal to those is employed to a very limited extent due to long
from local boilers using fossil fuels with different distances between nuclear reactors and heat demands
national energy taxes, such as carbon dioxide taxes. in cities, loss of some electricity generation, fear of
The lower prices in countries in Eastern Europe strong dependence on one large heat source, and lack
and the former USSR just cover the operating costs. of trust in nuclear technology in some countries.
The returns of capital investments made in the Waste incineration is an acceptable treatment
former planned economies are currently kept low method compared to landfill for the burnable
by the national regulatory authorities since the industrial and municipal waste stream. This waste
average ability to pay for heating is low in the remains after separation of streams for hazardous
population. waste, recycling, and biological waste treatment.
Requests for deregulation of district heating Normally, this waste stream from a city comprises
systems, allowing third-party access, have been put only approximately 5–15% of the design capacity in
forward from customers and competitors, for exam- a mature district heating system with a high local
ple, in New York. The requests are for the deregula- market penetration. However, 10% of the design
tion processes of telecommunication, aviation, capacity corresponds to approximately 30% of the
railway, gas, and electricity markets. These markets annual heat generation. Within the European Union,
are large, international, and mature with many up to 50% of municipal waste is allocated for
market actors. The goal of deregulation of these incineration. Denmark, Switzerland, and Sweden
markets is an effective price determination with incinerate the highest percentages of waste.
many sellers and buyers in each market. However, Many industrial processes release heat at a
district heating systems are normally small local temperature higher than 1001C either in flue gases
markets, which are often immature, with low market or in cooling water. This heat can be directed to a
penetration. One operator can easily supply a town district heating system by using heat-recovery boilers
of 150,000 inhabitants with heat from one site; thus, or heat exchangers. In Gothenburg, the district
more operators are not needed in many district heating system receives useful waste heat from two
846 District Heating and Cooling
oil refineries, comprising 30% of the annual heat The frequency distribution for the outdoor tem-
demand in the system. Revenues from the heat sale peratures determine the limit of capacity utilization in
cover a major portion of staffing, operating, and a district heating system. The annual average capacity
maintenance costs for the refineries. This heat factor is 25–50% for extreme inland and maritime
recovery gives them a competitive advantage over climate locations. The capacity factor is defined as the
other oil refineries in Europe. actual heat generation divided by the heat generation
Geothermal heat is a natural energy source for that is possible. This situation occurs since less heating
heating in the same manner that wind, hydro, and is required during autumn and spring compared to
solar power are natural renewable energy sources for winter, and no heating is needed during summer.
power generation. However, this resource is not
available everywhere since it is restricted to areas
with the appropriate geophysical conditions. There 7. ENVIRONMENTAL IMPACT
are geothermal district heating systems in Iceland,
the United States, France, China, Japan, Turkey, High contents of dust, sulfur dioxide (SO2), and
Poland, Hungary, and some other countries. How- nitrogen oxides (NOx) in urban areas were among
ever, the total heat delivery worldwide is low, the first pollution problems to be identified. District
estimated to be approximately 30 PJ/year, where heating improved the urban air quality in many
one-third is supplied in the Reykjavik system. towns since local heat boilers were replaced and high
Biomass is an example of a fuel that is normally chimneys for heat-generation plants were required.
difficult to manage for conventional heating. Regard- Acidification from SO2 and NOx is a major
ing transport, fuel feeding into boilers, and environ- problem in many regions. District heating systems
mental impact, these types of fuel are easier to handle provide a centralized and cheap way to eliminate
in one central boiler than in several small boilers. these emissions by separation, use of fuels with low
Biomass fuels can be obtained from agricultural sulfur content, have higher conversion efficiencies,
sources or from the forest industry. Wood waste can and have higher combustion quality, resulting in
be delivered as raw chips or refined as small pellets or lower NOx emissions.
powder from forest companies or sawmills. In the Global warming due to the greenhouse gases is a
early 1990s, the Cree Nation of Ouje-Bougoumou problem more difficult to solve than the problems of
determined that a biomass district heating system urban air quality and acidification. In this respect,
would be an enormously positive tool in contributing district heating can be considered the fifth possibility
to the development of the community’s future for carbon dioxide emission reduction, after deposi-
financial base. This aboriginal community, located tion, lowering final energy demands, higher conver-
1000 km north of Montreal, Canada, uses wood sion efficiencies, and fuel substitution. District
waste from a nearby sawmill for their two biomass heating uses mainly waste heat from other processes,
boilers, which are connected to the district heating replacing the use of fossil fuels for heating buildings.
system. Importing fuel oil to this village was It is estimated that in 1998, all cogeneration
considered a less favorable option. plants and district heating systems throughout the
Peak and backup capacity plants complement the world reduced carbon dioxide emissions by 900
base load capacity plant in a district heating system. Mtons. This corresponds to approximately 4% of
These plants are needed to meet customer heat service all carbon dioxide emitted from fuel combus-
demands at extremely low outdoor temperatures and tion. Hence, district heating systems can play an
when the regular heat source is temporarily unavail- important role in the mitigation of carbon dioxide
able. These plants are normally associated with high emissions.
operating costs and low capital investment costs.
The optimal heat-generation cost is obtained by
choosing the base load capacity so that its marginal 8. DISTRICT COOLING
capacity will have the same annual total cost as peak
load capacity for the same operating hours. The District cooling systems distribute chilled water to
typical optimal base load capacity is approximately supply air-conditioning or process cooling. Cities
half the nominal system design capacity based on the with major downtown or commercial districts with
local design outdoor temperature. The base half of district cooling systems include Stockholm, Ham-
the capacity represents approximately 90% of the burg, Paris, Tokyo, Chicago, Minneapolis, St. Paul,
volume of heat generated. New Orleans, and Houston. The first major district
District Heating and Cooling 847
cooling system was employed in Hartford, Connecti- These two associations can be integrated into a
cut, in 1962. Other systems were built in the 1960s trigeneration plant, in which power generation is
and 1970s. District cooling experienced a renais- integrated with the generation of both cold and heat.
sance during the 1990s, when many countries First, a cogeneration unit can generate electricity and
demanded the termination of the use of CFC due to heat. These products are then used for feeding a
ozone depletion. District cooling systems are much compression chiller or a absorption chiller.
smaller than district heating systems. Annual cold There is an operation optimization benefit for
generation is approximately 1 or 2 PJ in the largest district cooling. Cold generation can be optimized by
district cooling systems. using different generation technologies to meet
The distribution network is similar to that of a various cooling demands. The base load demand
district heating system, with one supply pipe and one can be met by an absorption chiller if low-cost heat is
return pipe. Cold water is circulated instead of warm available. Next-generation units in merit order
water. The supply temperature is normally 6 or 71C, include a compression chiller with heat recovery
but an ice mixture of 01C is sometimes used. and a similar chiller without heat recovery. Extreme
Customers heat the chilled water in the supply pipe peak load can be met by a cold storage.
by cooling air supplied to a building or a industrial Major advantages of district cooling systems are
process. The typical temperature in the return pipe is reduced grid power demand by supplying cooling
12–171C. The water is again chilled when it energy through the district cooling system rather
circulates through the cold-generation plant. District than through the local power grid, shifting power
cooling systems are never used citywide. The low demand to off-peak periods through cold energy
temperature difference makes district cooling dis- storage, and the use of free cooling. Advantages for
tribution expensive, so district cooling networks can customers with district cooling are the requirement
only be built in areas with high cooling demand for less space for cooling equipment inside the
densities, such as downtowns and commercial areas. building, less operation and maintenance costs, and
Cold generation can be accomplished by central less electricity cost. The subscribed cooling capacity
compression or absorption chillers. Free cooling with can also be adjusted to the actual measured customer
deep, cold lake or seawater can also be used, as is the cooling demand. The customer does not have to buy
case in Toronto and Stockholm. However, this is only an expensive oversized chiller.
possible in areas with cold winters, which annually
create cold reservoirs for summer use. Since the
diurnal variation of the cooling demand is large at 9. CONCLUSIONS
peak load, a significant portion of the peak demand
can be met by cold energy storage capacity with a District heating significantly increases the overall
cold water storage tank or an ice storage facility. energy system efficiency since the heat supply is
Two major associations exist between district coordinated with generation of electricity, refuse
heating and district cooling systems. The evaporator incineration, or industrial processes. It is also
of a heat pump can be used for cold generation in a possible to use geothermal heat sources or biomass
district cooling system and the condenser can fuels such as wood waste. Demand for commercial
simultaneously generate heat in a district heating fossil fuels for heating is reduced, resulting in lower
system. One part of bought electricity will then carbon dioxide emissions.
create two parts of sellable cold and three parts of District heating also benefits from economy of
sellable heat, giving a higher return of the heat pump scale. This is especially valid with regard to distribu-
investment. The other association is the possible use tion since the cost of pipes is proportional to pipe
of low-cost district heat for operation of local size, whereas transmission capacity increases with
absorption chillers in connection with customer the square of the pipe size. Also, the investment cost
cooling demands. In this way, citywide deliveries of for heat-generation capacity decreases with size. The
cooling can be accomplished without installing a variation in heat demand is also lower, especially
citywide district cooling system. This variant is with respect to the demand for domestic hot water
sometimes called warm district cooling, in contrast preparation. However, these advantages are not
to cold district cooling, which refers to ordinary sufficient to motivate centralized use of conventional
district cooling systems. District heating systems fossil fuels in district heating systems. At least one of
using this warm variant are employed in Gothen- the five strategic resources must be used to develop a
burg, Mannheim, New York, and Seoul. competitive district heating system. When using
848 District Heating and Cooling
more than one of the strategic resources, an internal SEE ALSO THE
competition is created within the system, which will FOLLOWING ARTICLES
increase the competitiveness of the system.
A district heating system becomes more competi- Biomass for Renewable Energy and Fuels Cogen-
tive when the advantages of higher overall system eration Commercial Sector and Energy Use
efficiency and lower environmental impact are priced Geothermal Direct Use Urbanization and Energy
by the heat market. Hence, district heating is highly Waste-to-Energy Technology
competitive when fuel prices are high and when low
environmental impact is appreciated. Many coun-
tries use fiscal taxes for fossil fuels and are also
introducing carbon dioxide taxes for fuels. Interna- Further Reading
tional, regional, and national carbon dioxide trading Euroheat & Power (1999). ‘‘District Cooling Handbook,’’ 2nd ed.
schemes have also been discussed. All these measures Euroheat & Power, Brussels.
increase the long-term competitiveness of district Euroheat & Power (2001). ‘‘District Heat in Europe, Country by
heating systems. Country—2001 Survey.’’ Euroheat & Power, Brussels.
Although district heating has many advantages, European Institute of Environmental Energy (1997). ‘‘District
Heating Handbook.’’ European Institute of Environmental
the method is still unknown in many communities, Energy, Herning, Denmark. [Available in Chinese, English,
whereas it is taken for granted in other communities. Estonian, German, Latvian, Lithuanian, Polish, and Russian]
Since district heating reduces the operating costs of Frederiksen, S.,Werner, S. (1993). Fjärrvärme—Teori, Teknik och
heating buildings due to capital investment in central Funktion’’ (‘‘District Heating—Theory, Technology, and Func-
heat-generation facilities and distribution pipes, the tion’’). Studentlitteratur, Lund. [In Swedish].
Gochenour, C. (2001). ‘‘District energy trends, issues, and
local view of long-term investments in urban infra- opportunities, Technical Paper No 493.’’ World Bank, Wa-
structure is very important. Historically, district shington, DC.
heating systems have been built in communities in Hakansson, K. (1986). ‘‘Handbuch der Fernwärmepraxis,’’ 3rd ed.
which district heating has been considered part of the Vulkan Verlag, Essen. [In German].
urban infrastructure, along with roads, bridges, International District Heating Association (currently the Interna-
tional District Energy Association) (1983). ‘‘District Heating
water supply, and electricity distribution. The current Handbook,’’ 4th ed. International District Heating Association.
strong market penetration of district heating in some Westborough, MA.
countries in Europe can be explained by this view. Sokolov, E. J. (1982). ‘‘Teplofikazija i Teplovye Seti’’ (‘‘Cogenera-
The municipal electrical and technical departments tion and District Heating Networks’’), 5th ed. Energoizdat,
Moscow. [In Russian].
became the district heating entrepreneurs in Finland,
Werner, S. (1999). ‘‘50 Years of District Heating in Sweden.’’
Sweden, Denmark, Germany, and Austria since by Swedish District Heating Association, Stockholm.
tradition they were responsible for the urban Westin, P., and Lagergren, F. (2002). Re-regulating district heating
infrastructure. in Sweden. Energy Policy 30, 583–596.
Early Industrial World, Energy
Flow in E
RICHARD D. PERIMAN
Rocky Mountain Research Station, USDA Forest Service
Albuquerque, New Mexico, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 849
850 Early Industrial World, Energy Flow in
production, processing, and manufacture, with po- created dependency on labor based in the country-
pulations based primarily in rural villages. A range of side. Substantial migrations of people to cities, and
processed goods were essential to farms and house- the spread of industry to the countryside, provided
holds, although restricted incomes reduced purchas- opportunities to escape the restrictions of guilds.
ing power. Solar energy, water, regional fuels, and the Providing enough farm produce for cities required
ebb and flow of the seasons dictated the energy of increasing agricultural output and value per acre and
labor expenditure in workers’ lives. introducing new crops. By the dawn of the 18th
There was little capital accumulation or techno- century, the industrial and commercial sectors of the
logical progress during the widespread population British economy contributed at least one-third of the
destruction of the Black Death in medieval Britain gross national product.
and Europe. In Italy, Spain, France, and Poland,
agricultural output per worker diminished, and
nonagricultural employment tended to be based in 2. COMPETITION FOR
rural areas, corresponding with only minor increases ENERGY RESOURCES
in urban populations. The subsequent recovery of
populations after the plague led to the growth of For millennia, the Mediterranean had been the center
urbanization, and local and national government of international trade, with trade routes among
structures increased their control of energy resources. Europe, Africa, and Asia. After the plague during
The Netherlands, Belgium, and England were the 15th and 16th centuries, Mediterranean net-
distinguished from the rest of Europe by the works of international trade with Europe declined.
interrelated factors of rising agricultural productiv- European nation-states were not powerful enough to
ity, high wages, and urbanization. At the end of the govern beyond their transient borders, and inade-
medieval period, rural industry and urban economies quate local resources could not support population
expanded. Despite rates of population growth growth. This led to each state employing protective
exceeding those elsewhere in Europe, economic measures to stimulate domestic industrial produc-
development offset population growth, wages were tion, self-sufficiency, and competition for resources.
increased or maintained. During the 16th and 17th centuries, these policies
By 1750, Britain had the highest portion of were formalized, extended, and consolidated, se-
population growth in cities, and agricultural output verely limiting the growth of trade.
per worker surpassed Belgian and Dutch levels. The high costs of inland transportation and
Urban and rural nonagricultural populations grew restrictive national practices inhibited trade oppor-
more rapidly in England than anywhere else in tunities and led to an economic crisis. As trading
Europe. The share of the workforce in agriculture opportunities ceased to expand after the plague’s
dropped by nearly half, while the trend of providing decimations, the need for new sources of revenue
real wages rose. provided the impetus to search far afield for
The wool and cotton textile industry was the first resources. With the diminishing extent of accessible
widespread manufacturing enterprise in Britain. When markets, Europeans explored the Atlantic, Africa,
farm laborers began producing piecework for cash, the Caribbean, and the Americas, where raw
the social and labor organization of agrarian econo- resources and cheap commodity production offered
mies changed dramatically. Labor–market interactions immense opportunities for trade expansion. During
and productivity growth in agriculture required a the 15th century, the Portuguese established trading
degree of labor mobility that was incompatible with posts along the west coast region of Africa, produced
previous agricultural economic models such as serf- sugar on slave-worked plantations, and traded gold.
dom. England’s division between landlords and tenant The advent of the Atlantic world trading system
farmers caused reorganization to occur through and its abundant resources extended the production
reductions in farm employment, enclosure, and farm and consumption frontier of Western Europe. Be-
amalgamation. In Europe, where landowners/occu- cause available transportation of goods was slow and
piers were more prevalent, farm amalgamation and expensive, unit cost of production in the Americas
enclosure were disruptive to productivity and institu- had to be sufficiently low for commodities to bear the
tional change was less profitable. cost of trans-Atlantic transportation. Large-scale
Rural industrialization was a response to popula- production in the Americas increasingly depended
tion growth combined with increased urban demands on coerced labor. Indigenous peoples of the Americas
for farm products, and sustained urbanization were forced into slavery to mine silver in the Spanish
Early Industrial World, Energy Flow in 851
colonies and provision Europeans. Native American from participation in the slave-based Atlantic world
land was appropriated, and populations were deci- economy. Newly acquired gold and silver from the
mated by an unwelcome import, Old World diseases. Americas bolstered weak European economies. Im-
Colonizers obtained vast quantities of acreage, ported textiles from England were welcomed in the
becoming land rich beyond the limits of European Americas, with these sustained sales creating employ-
caste and class systems. The average population ment in England’s manufacturing regions and stimu-
density in the Americas was less than one person per lating population growth and changes in agrarian
square mile during the 17th century. social structures. Combined with export demands,
As indigenous peoples in the colonies suffered this created a ripe environment for transforming the
disease, displacement, and slavery, the production of organization and technology of manufacturing in
commodities for Atlantic commerce became more domestic and export industries. This international
dependent on slaves from Africa. Labor costs on economic energy propelled the technological indus-
plantations throughout the Caribbean and the trial revolution.
Americas were below subsistence costs, enabling The transition of intensified industrialization
large levels of production and maximum exploitation depended on improvements in transportation sys-
of human energy resources. From Barbados to the tems to provide dispersion networks of fuels and raw
Carolinas and the Mississippi delta, a major source materials. With the advent of the Victorian empire,
of power were the thousands of enslaved Africans improvements in the infrastructure of transportation
and Native Americans as well as indentured servants (e.g., roads, canals, shipping) spread. The construc-
from England, Scotland, and Ireland. Plantations tion of railroad systems in Britain, Europe, Asia,
prospered due to the high value of cotton in the Russia, Africa, and the Americas connected, amalga-
world market and by producing coffee, sugar, cocoa, mated, and exploited energy resources in most
tobacco, and rum. As these export commodities regions of the world, creating an engine of economic
increased in volume, prices fell in Europe, with the dynamism that itself was a product of mechanized
commodities becoming commonly consumed goods industry.
rather than rarified luxuries. The production of raw
materials for mass markets contributed greatly to the
development and economic homogenization of in- 3. WOOD ENERGY
dustry and energy exploitation.
England combined naval power and commercial Woodlands have been an essential resource for
development to secure choice Atlantic territories and constructing homes, vehicles, ships, furniture, tools,
create advantageous treaties to control the colonies’ and machines as well as for providing heat for
resources. The majority of commodity shares, households and cooking. Poor management of
production, and trade of the slave-based economy woodlands caused low productivity, and as timber
of the Atlantic world trading system were primarily stands became more remote, logging and transport-
British controlled. ing timber became less economical. During the 13th
The estimated percentage share of these commod- century in England, lime kilns devoured hundreds of
ities produced by enslaved Africans and indentured ancient oaks in Wellington Forest. By the 1540s, the
servants in the Americas was 50 to 80%. Between salt industry was forced to search far afield for the
1650 and 1850, the slave-based economy of the wood used in its processing furnaces. British navel
Atlantic system transformed international trade, power judged this shortage to be a national security
transformed European and British economics, and threat. Authorities attempted to impose stiff fines for
spurred technological innovation. Slavery failed as timber poaching and forbade bakers, brewers, and
an energy source due to the socioeconomic upheavals tile makers from purchasing boatloads of wood.
that eventually prevented and censured its expansion Severe timber shortages reached national crisis
as well as the fact that it could not compete with proportions in Britain, impelling the import of
developing sources of industrial energy such as steam expensive timber from the Baltic and North America.
power. Slave labor, rather than free labor, failed as a Native turf, peat, reeds, gorse, and other plant fuels
socioeconomic source of power. simply could not provide adequate supplementation.
In per capita terms, the exposure of England’s The climate did not cooperate. Between around 1450
economy and society to the development of the and 1850, winters became unusually long and harsh,
Atlantic world market was greater than that of any the Thames river froze, and diseases and cold
other country, although Europe profited immensely increased in their killing power. Populations suffered
852 Early Industrial World, Energy Flow in
as low birth rates could not keep up with expanding the blades. This system was housed in a vertical
death rates. adobe tunnel with flues to catch the wind (similar to
In Scotland, woodlands were carefully managed a revolving door). The concept of harnessing wind
during the early medieval period, and native oak energy via windmills reached Britain and Europe by
supplied the needs of developing burghs. Norse 1137, where it underwent significant changes, with
incursions pushed populations inland, allowing horizontal (rather than vertical) shafts and horizontal
woodland regeneration in coastal areas. During the rotation. A form of solar energy, climate-dependent
15th century, the quality and quantity of native oak wind power has been unreliable and difficult to
dwindled, and alternative sources (e.g., imported oak, accumulate and store.
conifers) were increasingly exploited. France had Roman aqueducts provided a system of fast-
abundant internal supplies of timber, so there was no flowing water to watermills. By the 1st century
need to invest time, money, and politico–military bce, Romans used an efficient horizontal axis where
resources in obtaining timber from elsewhere. the waterwheel converted rotary motion around a
By the close of the 17th century, industry and horizontal axis into motion around a vertical axis;
manufacturing devoured more than a third of all the water passed under the wheel, and kinetic water
fuel burned in Britain. The textile industry’s immense energy turned the wheel. Draft animals and water-
scale made it a leading consumer of fuels, although power were harnessed to turn millstones. Rudimen-
fuel cost was not a major constituent in manufactur- tary primitive watermills used vertical axes, with
ing textiles, dyeing, calendaring, and bleaching. millstones mounted directly to waterwheel shafts. In
Energy consumption by industries increased in local mountainous regions, water was channeled through
and national terms because industry was not a chute into the wheel. Although power output was
uniformly distributed, and this exacerbated and minimal (B300 W), this type of watermill was used
caused severe local and regional scarcity. Local needs in Europe until the late medieval period.
concerning brewing, baking, smithing, potting, and During the late 18th and early 19th centuries,
lime processing had survived on whatever fuel was waterwheel efficiency was improved. English engi-
available. High temperatures were required to brew neer John Smeaton, expanding on the systems of
ale and beer and to process salt and sugar. The early Roman waterwheels, found that more energy
construction industry depended on kilns and fur- was generated when water was delivered to the top
naces for the production of bricks, tiles, glass, firing of the wheel via a chute. An overshot waterwheel
pottery, and burning lime. Smelting and working used both kinetic and potential water energy and was
metals, and refining the base compounds of alum, capable of harnessing 63% more potential energy
copperas, saltpeter, and starch, were expensive than was the undershot. The growing demand for
processes. energy intensified use of the waterwheel. While
Even when located within extensive woodlands, toiling in the gold mines of California during the
levels of consumption by iron forges, glass factories, 1870s, a British mining engineer, Lester Pelton,
and lime kilns led to shortages. Fuel needs grew discovered that a waterwheel could be made more
voraciously as industries expanded in scale and powerful if high-pressure jets of water were directed
became more centralized and urbanized. There was into hemispherical cups placed around its circumfer-
a fine balance between fuel needs in communities and ence. This waterwheel design, generating 500 horse-
industrial demands. Urban centers consisting of large power (hp), was used 20 years later in the sodden
concentrations of consumers inherently tended to mines of Alaska.
outgrow the capacity of adjacent woodland fuel
supplies. Transport costs commensurately inflated as
supply lines were extended. 5. THE TRANSITION TO
COAL ENERGY
4. WIND AND WATER ENERGY Coal had been widely harvested and exploited as an
energy source for thousands of years. In Asia, coal
Windmills were developed in Persia by the 9th provided little illumination but plenty of heat.
century bce. This technological innovation was Romans in Britain found that stones from black
spurred by the need to mill corn in areas lacking outcrops were flammable, and Roman soldiers and
consistent water supplies. Early windmills used an blacksmiths used this coal to provide heat. During
upright shaft, rather than a horizontal one, to hold the 13th and 14th centuries, a multitude of industries
Early Industrial World, Energy Flow in 853
became dependent on a regular supply of coal. In salt During the 1790s, French engineer Philippe Lebon
production, coal was used to heat enormous pans of distilled gas from heated wood and concluded that it
sea water. If woodlands had not been devoted nearly could provide warmth, conveniently light interiors
exclusively to the production of timber, their yield with gas in glass globes (fuel distributed via small
could not have met the fuel value generated by that pipes within walls), and inflate balloons. Gregory
produced by coal mines. It took an annual yield from Watt, son of inventor James Watt, journeyed to
2 acres of well-managed woodlands to equal the heat France to investigate these experiments. In Cornwall,
energy of a ton of coal. Timber became more scarce England, William Murdock lit a house with gas
and expensive to procure during the Tudor and generated from coal. Concerned with commercial
Stuart periods. Consequently, the processes of salt possibilities, he experimented with coal of varying
boiling, ironworking, brewing, baking, textile man- qualities, different types of burners, and devices that
ufacturing, and lime burning adopted coal, rather could store enough gas to make portable light. In
than wood, as a readily available and economical 1798, he returned to the foundry in Soho, England,
fuel source. where he illuminated the main building with coal gas
Confronted by the unrelenting scarcity and high using cast-iron retorts.
price of timber, manufacturers in fuel-intensive By 1816, London had 26 miles of gas mains, and
industries were further prompted to restrain costs soon there were three rival gas companies. With
and enhance profits by switching to coal. The the availability of kerosene and gas light, the
problems caused by burning coal in processes whale oil industry futilely attempted to compete.
previously dependent on wood (e.g., producing glass, The advent of gas light enabled Victorian readers
bricks, tiles, pottery, alum, copperas, saltpeter, and to become increasingly literate. During the 1860s,
paper; smelting lead, tin, and copper; refining soap gas utilities spread in England and Europe, while
and sugar) swelled the demand for progressive the eastern United States and Canada adopted
technology. Increased energy efficiency in industrial gas lighting for streets. At the turn of the 20th
processes stimulated competition, innovation, and century, coal gas cooking and radiant heat to warm
the emergence of fuel economies. Urbanization homes from gas fires became more common. The
expanded, and the availability of inexpensive coal gas industry was determined to increase efficiency
enabled agriculture to supplant arboriculture. in all of these domestic and industrial heating
During the late 17th century, British coal mining functions.
employed 12,000 to 15,000 people, from miners to Massive petroleum and gas industries resulted
those involved in the transportation and distribution from the need for improved lighting during the
of coal to the consumer. During this period, coal prices industrial revolution. Although oil lamps had im-
remained virtually constant and were not dependent proved, the illuminating capabilities of vegetable and
on revolutionary changes in structure or technology, animal oils were limited. Gas light was superior but
and mine shaft depth did not increase dramatically was restricted to urban areas. Gas oil, consisting of
(safe ventilation of deep pits did not occur until the the fraction intermediate between kerosene and
19th century). Conservatively estimated, coal produc- lubricants, was inexpensive and less dangerous than
tion increased 370% between 1650 and 1680, petroleum and also provided a convenient means of
creating an environment in which profound industrial enriching the coal gas.
advances in mining and trade occurred. At the turn of the 20th century, when the
The substantial expansion of the textile industry automobile industry was still rudimentary, crude
was accommodated within preexisting systems of petroleum and rubber remained insignificant, while
production, relying on traditional procedures, artisan coal gas reached its zenith of full technological
workshops, and piecework arrangements. Advances development as an energy source. Versatile and
were built on the potential that had existed in inexpensive kerosene continued to provide illuminat-
preindustrial economies, while labor and finance, ing energy in much of the world, while gas and
marketing, transportation, and distribution evolved. electricity competed in urban centers. As an illumi-
Industrial enterprises incorporated factories, ware- nant, gas light began to lose momentum, while
houses, forges, mills, and furnaces, and small electrical power grew enormously.
collieries produced thousands of tons of coal per The turning point for the British coal industry, and
year. By 1750, the British population had nearly a defining moment of the industrial revolution, came
doubled, and urbanization and industrialization with the innovation of the steam engine. It was used
continued to amalgamate. in processing both coal and metals, and by the close
854 Early Industrial World, Energy Flow in
of the 18th century more than 15 million tons of coal by pouring cold water onto the outer surface. This
were produced annually. created a partial vacuum. When the vessel was
connected with another pipe with water at a lower
level, atmospheric pressure forced the water up.
6. STEAM POWER Savery’s engine pumped water for large buildings and
waterwheels, but its maximum lift was inadequate
In the 6th century bce, Greek philosophers described for mine drainage.
the universal elements as consisting of air, earth, fire, Thomas Newcomen, an inventor and blacksmith,
and water. It was established that water displaced air adopted Papin’s cylinder and piston and built his
and that steam condensed back to liquid and could own version of the steam pump, replacing costly
rotate wheels. During the 17th century, the physical horse-drawn pump engines. Newcomen’s direct
nature of the atmosphere was explored in qualitative experience with drainage problems in Cornish tin
rather than quantitative terms; water and other mines led to his construction of an efficient engine
liquids entering vacuous space was attributed to using atmospheric pressure rather than high-pressure
nature abhorring a vacuum. The persistent problem steam. The Newcomen system had a boiler produce
of mine drainage inspired understanding of atmo- steam at atmospheric pressure within a cylinder,
spheric pressure, leading to the earliest steam where a pump rod hung from a beam so as to apply
engines. weight to drive a piston. When the cylinder was full
When engineers failed to drain excess water from of steam and closed by a valve, a jet of cold water
Italian mines during the 1600s, Galileo was enlisted. condensed the steam and atmospheric pressure
In 1644, his pupil, Evangelista, found that atmo- forced the pump rod to push the piston down.
spheric pressure was equal to that of a column of Generating approximately 5 hp, this engine was a
mercury 30 inches high, corresponding to a column success in draining coal mines, lifting 10 gallons of
of water 30 feet high, and that atmospheric pressure water 153 feet through a series of pumps. Its primary
falls with increasing altitude. Torricelli postulated users were coal mine proprietors who ran their
that a method of repeatedly creating a vacuum would engines on low-grade coal.
enable atmospheric pressure to be a source of power With improved control of mine flooding, the
and could be used in mine drainage. Steam at l001C depth of mines and the coal industry grew exponen-
equals sea-level atmospheric pressure and so can tially. Use of the steam engine spread throughout
raise water 30 feet. Tremendous pressure can be Europe and to the American colonies. Newcomen’s
generated by superheating water to create high- design was so reliable that even as other fuel
pressure steam; at 2001C, pressure is 15 times greater technologies were developed, the last engine of this
than at l001C, lifting water 450 feet. type worked for more than a century in Yorkshire,
The first steam engines were termed atmospheric England, without serious breakdown (it was finally
engines. In 1680, Christian Huygens, a Dutch dismantled in 1934). Steam power was also used to
scientist, designed a system where gunpowder pump water for waterwheels in cotton mills,
exploding in a cylinder created hot gases that were accommodating the growing energy needs of textile
expelled through relief valves. On cooling, the valves manufacture as well as a multitude of other
closed and a partial vacuum existed within the industries.
cylinder. The gunpowder gas occupied a smaller Between 1769 and 1776, James Watt discovered
volume than when heated; thus, atmosphere pressure that energy was lost in the process of cooling and
drove a piston in the cylinder. In 1690, Huygens’s reheating the Newcomen engine. The addition of a
assistant, Denis Papin, found that 1 volume of water separate condenser cylinder permitted a steady
yields 1300 volumes of steam. A vacuum could be injection of steam into the first cylinder without
achieved by converting steam back into water via having to continuously reheat it. In 1774, Watt and
condensation, propelling a piston up and down in a Matthew Boulton, an English manufacturer in Soho,
cylinder. became partners, providing Watt with skilled en-
Prolific inventor Thomas Savery improved on this gineers and workers.
in 1698, designing a steam pump using heat to raise An impediment to steam engine design was the
water, generating approximately 1 hp. Steam from a shortage of precise cylinders; imprecise boring
boiler passed through a valve-fitted pipe into a vessel allowed steam to escape between the cylinder walls
full of water, expelling the water up through a second and piston. John Wilkinson designed a mill for
pipe. When steam filled the vessel, it was condensed boring iron cannons that was capable of making
Early Industrial World, Energy Flow in 855
precise cylinders for any purpose. His blast furnaces, United States, Robert Fulton used a Boulton and
with air from Watt’s engine, produced consistent Watt engine to operate a commercial steamer, and
cylinders. Using this newfound precision in cylinder during the 1840s the U.S. Navy adapted this
construction, the rotative Watt engine extracted four propulsion system in military craft, locating the
times as much energy, a minimum of 10 hp, from engine below the waterline for protection.
coal as the Newcomen model. By the turn of the 19th In 1801, Trevithick built his first steam carriage
century, Watt’s and Boulton’s Soho factory had (later driving one wildly through the streets of
produced hundreds of engines powering industrial London). He combined the steam locomotive with
machinery. railways, demonstrating its usefulness in conveying
Improvements in steam technology continued to heavy goods and passengers. Rails had already been
be made during the 19th century. In 1802, a Cornish constructed for horses to tow carriages and coal carts
mining engineer, Richard Trevithick, built a small more efficiently than on unreliable roads. The
pumping engine with a cylinder 7 inches in diameter, development of railway passenger services was a
a cast-iron boiler 1.5 inches thick, and steam crucial formative factor in the phenomenon of the
pressure of 145 pounds per square inch—10 times industrial revolution. Horsepower was replaced by
atmospheric pressure. Two years later, Trevithick the more powerful steam engine. By 1830, George
built 50 stationary engines and the first successful Stephenson developed a locomotive railway line
railway locomotive. By 1844, high-pressure steam between Liverpool and Manchester without the need
engines averaged 68 million foot pounds per bushel for stationary steam engines or horses in steep areas
of coal, compared with 6 million foot pounds to supplement power. Railroad carriages were finally
capacity for the Newcomen engine. When Watt’s capable of hauling tons of coal and hundreds of
engine was combined with Trevithick’s design, a passengers. Britain exported locomotives to Europe
pressure of up to 150 pounds per square inch was and America, where railway systems were rapidly
achieved, referred to as ‘‘compounding.’’ Trevithick’s established. Rail speeds exceeding 60 miles per hour
steam engine eliminated the huge rocking beam of were common, and engine efficiency increased,
Watt’s design and became the new standard, suited to requiring only 23 pounds of coal per mile, although
factories with limited space. His engines were countries with abundant forests, such as the United
unrivaled and remained in a variety of industrial States and Canada, still used wood fuel. Improved
purposes, including pumping, iron works, corn materials and methods of manufacture, as well as the
grinding, and sugar milling, until the end of the steam turbine, resulted in higher power/weight ratios
19th century. and increased fuel economy. During the 1880s,
industrial steam power transformed networks of
world communication, extending and unifying inter-
7. STEAM ENGINES national economic systems.
AND TRANSPORTATION
Havana was used to caulk ships. By the 15th and standardized and redesigned as the gold leaf electro-
16th centuries, there was an international trade in scope. Benjamin Franklin identified the electrical
petroleum. discharge of lightning, leading to the invention of the
Distillation of crude oil revealed that its deriva- lightning conductor. In Italy, Allesandro Volta, a
tives were suitable in axle grease, paints and natural scientist, found that electricity was derived
varnishes, dressing leather, lamp fuel, and mineral when alternate metal plates of silver or copper and
turpentine. A pliable caulking for ships was made by zinc contacted each other within a solution. The
thinning pitch thinned with turpentine, and hot importance of this discovery was that it provided a
asphalt pitch and powdered rock were used in source of continuous electric current. The original
flooring and steps. During the 19th century, asphalt voltaic energy battery gave stimulus to the experi-
mixed with mineral oil was used in pavements and mental study of electricity. In a matter of months,
roads, and oil cloth and linoleum became popular laboratories produced electric batteries, converting
and inexpensive household items. the energy released in chemical reactions.
During the early 19th century, deep exploratory In 1820, Danish physicist H. C. Oersted described
drilling for water and salt required sufficiently hard the magnetic field surrounding a conductor carrying
drills and mechanical power. Steam engines provided an electric current. The relationship between the
the energy, and the development of derricks aided in strength of a magnetic field and its electric current
the manipulation of rapid-drilling machines. Pro- established that a continuous conductor in a mag-
specting for oil ceased to be dependent on surface netic field causes electric currents to flow. From
seepages when hollow drills enabled drill samples to 1834, rotating coil generators were made commer-
be removed, revealing the structure of underground cially in London. The earliest generators produced
formations. The compositions of crude oil varied; alternating currents. Converting alternating energy
thus, methods of oil refinery were important. During into direct electric currents was resolved via a
the 1860s, the United States had a steady supply of mechanical commutator and rectangular coils that
10 million barrels of petroleum annually. By 1901, rotated in a magnetic field. Maximum voltage in
Russian crude oil output reached 11 million tons, each coil was generated in succession, alleviating the
and petroleum-fueled railways connected world irregularities at a given speed of rotation providing
markets. constant voltage.
Kerosene was distilled from petroleum with By 1825, electromagnets were used as an alter-
sulfuric acid and lime, providing inexpensive and native to permanent magnets by the founder of the
plentiful fuel for lamplight. Although gasoline first English electrical journal, William Sturgeon.
remained a worthless and inflammable by-product Electromagnets possessed enough residual magnet-
of the industry, oil derivatives provided lubricants ism in their iron cores to provide the necessary
that became increasingly necessary with innovations magnetic field to start output from an electric
in vehicles and machinery, and heavy machine oils generator. The electric generator became a self-
were used on railways. contained machine that needed only to be rotated
to produce electrical energy. The application of a
steam engine to rotate the armature generated
9. ELECTRICAL POWER enough electricity to supply arc lamps for light-
houses, bringing large-scale use of electricity a step
In early Greece, it was found that the elektron closer.
(amber), when rubbed, acquired the power of An armature using a continuous winding of
attracting low-density materials. The widespread copper wire increased the possibilities of using arc
use of electricity for heat, light, and power depended lamps for lighting streets. Arc lamps developed after
on the development of mechanical methods of the discovery that a spark struck between two pieces
generation. During the 17th and 18th centuries, static of carbon creates brilliant light. Inventors Thomas A.
electricity was found to be distinct from electric Edison and Sir Joseph Swan developed filament
currents. Electricity could be positive or negative as lamps for domestic use during the 1870s, and an
charged bodies repelled or attracted each other, incandescent filament lamp used an electric current
distinguishing conductors from nonconductors. to heat its conductor.
In 1754, John Canton devised an instrument to The growing needs of industrial light required
measure electricity based on the repulsion of like- electric power generators to be substantial in size. In
charged pith suspended by threads, and this was later New York, Edison’s electric-generating station was in
Early Industrial World, Energy Flow in 857
operation in 1882. Electric storage batteries were mechanized growth and economic fuel use created
used for lighting railway carriages and propelling the momentum of energy exploitation and technolo-
vehicles. gical innovation, and socioeconomic systems became
At Niagara Falls during the 1890s, George known as the industrial revolution. Transportation
Westinghouse developed the first large-scale hydro- systems connected a myriad of worldwide energy
electric installation, with a capacity of 200,000 hp. sources, and improved communication expedited the
Hydroelectric generators demanded a considerable process of efficient global fuel exploitation and
capital outlay for successful operation, so coal-fired industry. Global commerce and fuel exploitation
steam engines lingered as a favored energy source at decisively affected the flow of materials via world-
the end of the 19th century. During the late 1800s, wide transportation and trade systems. As technolo-
the electricity industry expanded, output per electric gical innovations were applied to harvesting energy
power stations tripled, and coal consumption per and the subsequent momentum of labor mechaniza-
unit of electricity fell by nearly half. tion, production uniformity and the quantity of fuel
Conductors consisting of concentric copper tubes used in mass processing vast quantities of goods
were used with alternating currents because copper coalesced into an enormous worldwide energy flow.
had a lower electrostatic capacity and the concentric
cable had no inductive effect on neighboring
telegraph, telephone, or other electrical installations. SEE ALSO THE
The electric telegraph required a reliable battery cell FOLLOWING ARTICLES
to provide constant voltage that was capable of
prolonged output. Attendant construction needs for Coal Industry, History of Electricity Use, History of
telegraph poles required the production of enormous Energy in the History and Philosophy of Science
quantities of timber, porcelain insulators, and rubber Technology Innovation and Energy Thermody-
insulation for cables. namic Sciences, History of Transitions in Energy
Local electrical generation evolved into large Use Wind Energy, History of Wood Energy,
centralized distribution utilities, and surplus electri- History of World History and Energy
city was sold to local consumers. In 1889, the
London Electricity Supply Corporation’s power
station provided high voltage by operating four
10,000-hp steam engines to fuel 10,000-volt alter- Further Reading
nators. The economic advantages of central power Cotterell, B., and Kamminga, J. (1990). ‘‘Mechanics of Pre-
stations to generate electricity at high voltages for Industrial Technology.’’ Cambridge University Press, Cam-
serving large areas brought new practical and bridge, UK.
economic problems of distribution and, thus, further Crone, A., and Mills, C. M. (2002). Seeing the wood and the trees:
innovations. By the end of the 19th century, under- Dendrochronological studies in Scotland. Antiquity 76, 788–
794.
ground distribution systems of electricity had color- Derry, T. K., and Williams, T. I. (1960). ‘‘A Short History of
coded cables. Each strand was identified in this Technology from the Earliest Times to a.d. 1900.’’ Oxford
manner, a major consideration given that the University Press, Oxford, UK.
electrical network beneath city streets increased in Fields, G. (1999). City systems, urban history, and economic
complexity. modernity: Urbanization and the Transition from agrarian to
industrial society. Berkeley Planning J. 13, 102–128.
Freese, B. (2003). ‘‘Coal: A Human History.’’ Perseus Publishing,
Cambridge, MA.
10. ENERGY FLOW AND Harman, P., and Mitton, S. (eds.). (2002). ‘‘Cambridge Scientific
INDUSTRIAL MOMENTUM Minds.’’ Cambridge University Press, Cambridge, UK.
Harrison, R., Gillespie, M., and Peuramaki-Brown, M. (eds.).
(2002). ‘‘Eureka: The Archaeology of Innovation and Science—
During the early industrial period, increases in scale Proceedings of the Twenty-Ninth Annual Conference of the
and diversity of manufacturing and trade corre- Archaeological Association of the University of Calgary.’’
sponded with a shortage of readily available con- Archaeological Association of the University of Calgary,
sistent energy, and this pressure induced Alberta, Canada.
developments in fuel technology industries. Compe- Hatcher, J. (1993). ‘‘The History of the British Coal Industry,’’ vol.
1: ‘‘Before 1700: Towards the Age of Coal.’’ Clarendon,
tition for dwindling resources spurred the expansion Oxford, UK.
of international trade and exploration, and fuel Licht, W. (1995). ‘‘Industrializing America: The Nineteenth
efficiency became more crucial. The fusion between Century.’’ Johns Hopkins University Press, Baltimore, MD.
858 Early Industrial World, Energy Flow in
Nef, J. (1964). ‘‘The Conquest of the Material World: Collected Wallerstein, I. (1980). ‘‘The Modern World-System II: Mercanti-
Essays.’’ Chicago University Press, Chicago. lism an the Consolidation of the European World-Economy
Theibault, J. (1998). Town and countryside, and the proto- 1600–1750.’’ Academic Press, San Diego.
industrialization in early modern Europe. J. Interdisc. Hist. 29, Wallerstein, I. (1989). ‘‘The Modern World-System III: The Second
263–272. Era of Great Expansion of the Capitalist World-Economy
Toynbee, A. (1956). ‘‘The Industrial Revolution.’’ Beacon, Boston. 1730–1840s.’’ Academic Press, San Diego.
Wallerstein, I. (1974). ‘‘The Modern World-System I: Capitalist Zell, M. (1994). ‘‘Industry in the Countryside: Wealden Society in
Agriculture and the Origins of the European World-Economy in the Sixteenth Century.’’ Cambridge University Press, Cam-
the Sixteenth Century.’’ Academic Press, San Diego. bridge, UK.
Earth’s Energy Balance
KEVIN E. TRENBERTH
National Center for Atmospheric Research
Boulder, Colorado, United States
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 859
860 Earth’s Energy Balance
urban heat island The region of warm air over built-up earth’s surface area (4pa2, where a is the mean
cities associated with the presence of city structures, radius) to that of the cross section (pa2).
roads, etc. The earth system can be altered by effects or
influences from outside the planet usually regarded
The distribution of solar radiation absorbed on Earth as ‘‘externally’’ imposed. Most important are the sun
is very uneven and largely determined by the and its output, the earth’s rotation rate, the sun–earth
geometry of the sun–earth orbit and its variations. geometry and the slowly changing orbit, the physical
This incoming radiant energy is transformed into makeup of the earth system such as the distribution
various forms (internal heat, potential energy, latent of land and ocean, the geographic features on the
energy, and kinetic energy) moved around in various land, the ocean bottom topography and basin
ways primarily by the atmosphere and oceans; stored configurations, and the mass and basic composition
and sequestered in the ocean, land, and ice compo- of the atmosphere and ocean. These components
nents of the climate system; and ultimately radiated affect the absorption and reflection of radiation, the
back to space as infrared radiation. The requirement storage of energy, and the movement of energy, all of
for an equilibrium climate mandates a balance which determine the mean climate, which may vary
between the incoming and outgoing radiation and due to natural causes.
further mandates that the flows of energy are On timescales of tens of thousands of years, the
systematic. These drive the weather systems in the earth’s orbit slowly changes, the shape of the orbit is
atmosphere and the currents in the ocean, and they altered, the tilt changes, and the earth precesses on its
fundamentally determine the climate. They can be axis like a rotating top, all of which combine to alter
perturbed, causing climate change. This article the annual distribution of solar radiation received on
examines the processes involved and follows the the earth. Similarly, a change in the average net
flows, storage, and release of energy. radiation at the top of the atmosphere due to
perturbations in the incident solar radiation from
the changes internal to the sun or the emergent
1. THE EARTH AND infrared radiation from changes in atmospheric
CLIMATE SYSTEM composition leads to a change in heating. Changes
in atmospheric composition arise from natural events
Our planet orbits the sun at an average distance of such as erupting volcanoes, which can create a cloud
1.50 1011 m once per year. It receives from the sun of debris that blocks the sun. They may also arise
an average radiation of 1368 W m 2 at this distance, from human activities such as the burning of fossil
and this value is referred to as the total solar fuels, which creates visible particulate pollution and
irradiance. It used to be called the ‘‘solar constant’’ carbon dioxide, a greenhouse gas. The greatest
even though it does vary by small amounts with the variations in the composition of the atmosphere
sunspot cycle and related changes on the sun. The involve water in various phases, such as water vapor,
earth’s shape is similar to that of an oblate spheroid, clouds of liquid water, ice-crystal clouds, and hail,
with an average radius of 6371 km. It rotates on an and these affect the radiative balance of the earth.
axis with a tilt relative to the ecliptic plane of 23.51 The climate system has several internal interactive
around the sun once per year in a slightly elliptical components. The atmosphere does not have very
orbit that brings the earth closest to the sun on much heat capacity but is very important—the most
January 3 (called perihelion). Due to the shape of the volatile component of the climate system with wind
earth, incoming solar radiation varies enormously speeds in the jet stream often exceeding 50 m s 1—in
with latitude. Moreover, tilt of the axis and the moving heat and energy around. The oceans have
rotation of the earth around the sun give rise to the enormous heat capacity and, being fluid, can also
seasons, as the Northern Hemisphere points more move heat and energy around in important ways.
toward the sun in June and the Southern Hemisphere Ocean currents may be 41 m s 1 in strong currents
points toward the sun in late December. The earth such as the Gulf Stream, but are more typically a few
also turns on its axis once per day, resulting in the centimeters per second at the surface. Other major
day–night cycle (Fig. 1). A consequence of the earth’s components of the climate system include sea ice, the
roughly spherical shape and the rotation is that the land and its features [including the vegetation, albedo
average energy in the form of solar radiation received (reflective character), biomass, and ecosystems], snow
at the top of the earth’s atmosphere is the total solar cover, land ice (including the semipermanent ice
irradiance divided by 4, which is the ratio of the sheets of Antarctica and Greenland, and glaciers),
Earth’s Energy Balance 861
FIGURE 1 The incoming solar radiation (right) illuminates only part of the earth, whereas the outgoing long-wave
radiation is distributed more evenly. On an annual mean basis, the result is an excess of absorbed solar radiation over the
outgoing long-wave radiation in the tropics, whereas there is a deficit at middle to high latitudes (left) so that there is a
requirement for a poleward heat transport in each hemisphere (arrows) by the atmosphere and the oceans. The radiation
distribution results in warm conditions in the tropics but cold at high latitudes, and the temperature contrast results in a broad
band of westerlies in the extratropics of each hemisphere in which there is an embedded jet stream (ribbon arrows) at
approximately 10 km above the earth’s surface. The flow of the jet stream over the different underlying surface (ocean, land,
and mountains) produces waves in the atmosphere and geographic spatial structure to climate. [The excess of net radiation at
the equator is 68 W m 2 and the deficit peaks at 100 W m 2 at the South Pole and 125 W m 2 at the North Pole. From
Trenberth et al. (1996).
and rivers, lakes, and surface and subsurface water. that of a black body at the temperature of the sun of
Their role in energy storage and the energy balance of approximately 6000 K. The sun’s emissions peak at a
the earth is discussed later. wavelength of approximately 0.6 mm and much of
Changes in any of the climate system components, this energy is in the visible part of the electromag-
whether internal and thus a part of the system or netic spectrum, although some extends beyond the
from external forcings, cause the climate to vary or red into the infrared and some extends beyond the
to change. Thus, climate can vary because of violet into the ultraviolet. As noted earlier, because of
alterations in the internal exchanges of energy or in the roughly spherical shape of the earth, at any one
the internal dynamics of the climate system. An time half the earth is in night (Fig. 1) and the average
example is El Niño–Southern Oscillation (ENSO) amount of energy incident on a level surface outside
events, which arise from natural coupled interactions the atmosphere is one-fourth of the total solar
between the atmosphere and the ocean centered in irradiance or 342 W m 2. Approximately 31% of
the tropical Pacific. Such interactions are also this energy is scattered or reflected back to space by
discussed later from the standpoint of energy. molecules, tiny airborne particles (known as aero-
sols), and clouds in the atmosphere or by the earth’s
surface, which leaves approximately 235 W m 2 on
2. THE GLOBAL average to warm the earth’s surface and atmosphere
ENERGY BALANCE (Fig. 2).
To balance the incoming energy, the earth must
The incoming energy to the earth system is in the radiate on average the same amount of energy back
form of solar radiation and roughly corresponds to to space (Fig. 2). The amount of thermal radiation
862 Earth’s Energy Balance
FIGURE 2 The earth’s radiation balance. The net incoming solar radiation of 342 W m 2 is partially reflected by clouds and
the atmosphere or at the surface, but 49% is absorbed by the surface. Some of this heat is returned to the atmosphere as
sensible heating and most as evapotranspiration that is realized as latent heat in precipitation. The rest is radiated as thermal
infrared radiation and most of this is absorbed by the atmosphere and reemitted both up and down, producing a greenhouse
effect, since the radiation lost to space comes from cloud tops and parts of the atmosphere much colder than the surface. From
Kiehl and Trenberth (1997).
emitted by a warm surface depends on its tempera- sphere; this is the radiation from areas where there
ture and on how absorbing it is. For a completely are no clouds and which is present in the part of the
absorbing surface to emit 235 W m 2 of thermal spectrum known as the atmospheric ‘‘window’’
radiation, it would have a temperature of approxi- (Fig. 2). The bulk of the radiation, however, is
mately 191C (254 K). Therefore, the emitted intercepted and reemitted both up and down. The
thermal radiation occurs at approximately 10 mm, emissions to space occur either from the tops of
which is in the infrared part of the electromagnetic clouds at different atmospheric levels (which are
radiation spectrum. Near 4 mm, radiation from both almost always colder than the surface) or by gases
the sun and the earth is very small, and hence there is present in the atmosphere that absorb and emit
a separation of wavelengths that has led to the solar infrared radiation. Most of the atmosphere consists
radiation being referred to as short-wave radiation of nitrogen and oxygen (99% of dry air), which are
and the outgoing terrestrial radiation as long-wave transparent to infrared radiation. It is the water
radiation. Note that 191C is much colder than the vapor, which varies in amount from 0 to approxi-
conditions that actually exist near the earth’s surface, mately 3%, carbon dioxide, and some other minor
where the annual average global mean temperature is gases present in the atmosphere in much smaller
approximately 141C. However, because the tempera- quantities that absorb some of the thermal radiation
ture in the lower atmosphere (troposphere) decreases leaving the surface and reemit radiation from much
quite rapidly with height, a temperature of 191C is higher and colder levels out to space. These
reached typically at an altitude of 5 km above the radiatively active gases are known as greenhouse
surface in midlatitudes. This provides a clue about gases because they act as a partial blanket for the
the role of the atmosphere in making the surface thermal radiation from the surface and enable it to be
climate hospitable. substantially warmer than it would otherwise be,
analogous to the effects of a greenhouse. Note that
while a real greenhouse does work this way, the main
2.1 The Greenhouse Effect
heat retention in a greenhouse actually comes
Some of the infrared radiation leaving the atmo- through protection from the wind. In the current
sphere originates near the earth’s surface and is climate, water vapor is estimated to account for
transmitted relatively unimpeded through the atmo- approximately 60% of the greenhouse effect, carbon
Earth’s Energy Balance 863
3. REGIONAL PATTERNS
FIGURE 3 Maps of the annual mean absorbed solar radiation,
The annual mean absorbed solar radiation (ASR) and outgoing long-wave radiation, and net radiation at the top of the
atmosphere during the period between April 1985 and February
outgoing long-wave radiation (OLR) are shown in
1989, when the Earth Radiation Budget Experiment was under
Fig. 3. Most of the atmosphere is relatively transpar- way. From Trenberth and Stepaniak (2003).
ent to solar radiation, with the most notable
exception being clouds. At the surface, snow and
ice have a high albedo and consequently absorb little the net radiation (Fig. 3). In particular, the high
incoming radiation. Therefore, the main departures convective clouds are bright and reflect solar radia-
in the ASR from what would be expected simply tion but are also cold and hence reduce OLR. The
from the sun–earth geometry are the signatures of main remaining signature of clouds in the net
persistent clouds. Bright clouds occur over Indonesia radiation from Earth is seen from the low stratocu-
and Malaysia, across the Pacific near 101N, and over mulus cloud decks that persist above cold ocean
the Amazon in the southern summer, contributing to waters, most notably off the west coasts of California
the relatively low values in these locations, whereas and Peru. Such clouds are also bright, but because
dark oceanic cloud-free regions along and south of they have low tops they radiate at temperatures close
the equator in the Pacific and Atlantic and in the to those at the surface, resulting in a cooling of the
subtropical anticyclones absorb most solar radiation. planet. Note that the Sahara desert has a high OLR,
The OLR, as noted previously, is greatly influ- consistent with dry, cloud-free, and warm conditions,
enced by water vapor and clouds but is generally but it is also bright and reflects solar radiation, and it
more uniform with latitude than ASR in Fig. 3. stands out as a region of net radiation deficit.
Nevertheless, the signature of high-top and therefore For the earth, on an annual mean basis there is an
cold clouds is strongly evident in the OLR. Similarly, excess of solar over outgoing long-wave radiation in
the dry, cloud-free regions are where the most surface the tropics and a deficit at mid- to high latitudes
radiation escapes to space. There is a remarkable (Fig. 1) that set up an equator-to-pole temperature
cancellation between much of the effects of clouds on gradient. These result, along with the earth’s rotation,
864 Earth’s Energy Balance
in a broad band of westerlies and a jet stream in each is absorbed into sensible energy. On the surface of
hemisphere in the troposphere. Embedded within the land, the heat may be manifested as increases in
midlatitude westerlies are large-scale weather systems temperature or as increases in evaporation, and the
that, along with the ocean, act to transport heat partitioning depends on the available moisture and
polewards to achieve an overall energy balance. nature of vegetative ground cover. Increased evapora-
tion adds moisture to the atmosphere, and this is
often referred to as latent energy because it is realized
4. THE ATMOSPHERE as latent heating when the moisture is condensed in
subsequent precipitation. Increases in temperature
In the atmosphere, phenomena and events are loosely increase the internal energy of the atmosphere, which
classified into the realms of ‘‘weather’’ and ‘‘climate.’’ also causes it to expand. Consequently, it changes the
Climate is usually defined as average weather and altitude of the air and increases the potential energy.
thus is thought of as the prevailing weather, which Therefore, there is a close relationship between
includes not just average conditions but also the internal and potential energy in the atmosphere,
range of variations. Climate involves variations in which are combined into the concept of enthalpy or
which the atmosphere is influenced by and interacts sensible heat. Once air starts to move, usually because
with other parts of the climate system and the temperature gradients give rise to pressure gradients
external forcings. The large fluctuations in the that in turn cause wind, some energy is converted into
atmosphere from hour to hour or day to day kinetic energy. The sum of the internal, potential,
constitute the weather but occur as part of much kinetic, and latent energies is a constant in the
larger scale organized weather systems that arise absence of a transfer of heat. However, the possibi-
mainly from atmospheric instabilities driven by lities for conversions among all these forms of
heating patterns from the sun. atmospheric energy are a key part of what provides
Much of the incoming solar radiation penetrates the richness of atmospheric phenomena.
through the relatively transparent atmosphere to In terms of poleward transport of energy, the main
reach the surface, and so the atmosphere is mostly transports at middle and higher latitudes occur in the
heated from below. The decreasing density of air form of sensible heat and potential energy, which are
with altitude also means that air expands as it rises, often combined as dry static energy, whereas at low
and consequently it cools. In the troposphere, this to middle latitudes, latent energy also plays a major
means that temperatures generally decrease with role. In the tropics, much of the movement of energy
height, and warming from below causes convection occurs through large-scale overturning of the atmo-
that transports heat upwards. Convection gives rise sphere. The classic examples are the monsoon
to the clouds and thunderstorms, driven by solar circulations and the Hadley circulation. At low
heating at the earth’s surface that produces buoyant levels, the moisture in the atmosphere is transported
thermals that rise, expand and cool, and produce toward areas where it is forced to rise and hence
rain and cloud. cool, resulting in strong latent heating that drives the
Another example is the cyclones (low-pressure upward branch of the overturning cells and consti-
areas or systems) and anticyclones (high-pressure tutes the monsoon rains. In the subtropics, the
systems) and their associated cold and warm fronts, downward branch of the circulation suppresses
which arise from the equator-to-pole temperature clouds and is very dry as the ‘‘freeze-dried air’’ from
differences and distribution of heating (Fig. 1). The aloft slowly descends, and the air warms as it
atmosphere attempts to reduce these temperature descends and expands. Hence, in these regions the
gradients by producing these weather systems, which surface can radiate to space without much inter-
have, in the Northern Hemisphere, southerly winds ference from clouds and water vapor greenhouse
to carry warm air polewards and cold northerly effects. This is what happens over the Sahara.
winds to reduce temperatures in lower latitudes. In However, another key part of the cooling in the
the Southern Hemisphere, it is the southerlies that subtropics that drives the monsoons is the link to
are cold and the northerly winds are warm. These midlatitude weather systems. The latter transport
weather systems migrate, develop, evolve, mature, both sensible and latent heat polewards in the
and decay over periods of days to weeks and cyclones and anticyclones and hence cool the
constitute a form of atmospheric turbulence. subtropics while warming the higher latitudes.
Energy in the atmosphere comes in several forms. Thus, the atmosphere is primarily responsible for
The incoming radiant energy is transformed when it the energy transports (Fig. 1) that compensate for the
Earth’s Energy Balance 865
2
by a return flow over and beneath the ground
through river and stream flows and subsurface
0 ground water flow. Consequently, precipitation over
Ocean land exceeds evapotranspiration by this same
−2 amount (37). The average precipitation rate over
Atmosphere
the oceans exceeds that over land by 72% (allowing
−4
also for the differences in areas). It has been
−6 estimated that, on average, more than 80% of the
80 60 40 20 0 20 40 60 80
moisture precipitated out comes from locations more
°S Latitude °N
than 1000 km distant, highlighting the important
FIGURE 4 Poleward heat transports by the atmosphere and role of the winds in moving moisture.
ocean and the total transport. From Trenberth and Caron (2001).
Additionally, the ocean thermohaline circulation, vior of land ecosystems can be greatly influenced by
which is the circulation driven by changes in changes in atmospheric composition and climate.
seawater density arising from temperature (thermal) The availability of surface water and the use of the
or salt (haline) effects, allows water from the surface sun’s energy in photosynthesis and transpiration in
to be carried into the deep ocean, where it is isolated plants influence the uptake of carbon dioxide from
from atmospheric influence and hence it may the atmosphere as plants transform the carbon and
sequester heat for periods of 1000 years or more. water into usable food. Changes in vegetation alter
The main energy transports in the ocean are those how much sunlight is reflected and how rough the
of heat associated with overturning circulations as surface is in creating drag on the winds, and the land
cold waters flow equatorwards at some depth while surface and its ecosystems play an important role in
the return flow is warmer near the surface. There is a the carbon cycle and fluxes of water vapor and other
small poleward heat transport by gyre circulations trace gases.
whereby western boundary currents, such as the Gulf
Stream in the north Atlantic or the Kuroshio in the
north Pacific, move warm waters polewards while 8. ICE
part of the return flow is of colder currents in the
eastern oceans. However, a major part of the Gulf Major ice sheets, such as those over Antarctica and
Stream return flow is at depth, and the most Greenland, have a large heat capacity but, like land,
pronounced thermohaline circulation is in the the penetration of heat occurs primarily through
Atlantic Ocean. In contrast, the Pacific Ocean is conduction so that the mass involved in changes
fresher and features shallower circulations. A key from year to year is small. Temperature profiles can
reason for the differences lies in salinity. Because be taken directly from bore holes into ice and it is
there is a net atmospheric water vapor transport in estimated that terrestrial heat flow is 51 mW/m2. On
the tropical easterly trade winds from the Atlantic to century timescales, however, the ice sheet heat
the Pacific across the central American isthmus, the capacity becomes important. Unlike land, the ice
north Atlantic is much saltier than the north Pacific. can melt, which has major consequences through
changes in sea level on longer timescales.
Sea ice is an active component of the climate
7. THE LAND system that is important because it has a high albedo.
A warming that reduces sea ice, reduces the albedo
The heat penetration into land is limited and slow, as and hence enhances the absorption of solar radiation,
it occurs mainly through conduction, except where amplifying the original warming. This is known as
water plays a role. Temperature profiles taken from the ice albedo feedback effect. Sea ice varies greatly
bore holes into land or ice caps provide a coarse in areal extent with the seasons, but only at higher
estimate of temperatures in years long past. Conse- latitudes. In the Arctic, where sea ice is confined by
quently, surface air temperature changes over land the surrounding continents, mean sea ice thickness is
occur much faster and are much larger than those 3 or 4 m deep and multiyear ice can be present.
over the oceans for the same heating, and because Around Antarctica, the sea ice is unimpeded and
we live on land, this directly affects human activities. spreads out extensively but, as a result, the mean
The land surface encompasses an enormous variety thickness is typically 1 or 2 m.
of topographical features and soils, differing slopes
(which influence runoff and radiation received), and
water capacity. The highly heterogeneous vegetative 9. THE ROLE OF
cover is a mixture of natural and managed ecosys- HEAT STORAGE
tems that vary on very small spatial scales. Changes
in soil moisture affect the disposition of heat at the The different components of the climate system
surface and whether it results in increases in air contribute on different timescales to climate varia-
temperature or increased evaporation of moisture. tions and change. The atmosphere and oceans are
The latter is complicated by the presence of plants, fluid systems and can move heat through convection
which can act to pump moisture out of the root zone and advection in which the heat is carried by the
into the leaves, where it can be released into the currents, whether small-scale short-lived eddies or
atmosphere as the plants participate in photosynth- large-scale atmospheric jet streams or ocean currents.
esis; this process is called transpiration. The beha- Changes in phase of water, from ice to liquid to
Earth’s Energy Balance 867
water vapor, affect the storage of heat. However, Generally, the observed variability of tempera-
even ignoring these complexities, many facets of the tures over land is a factor of two to six greater than
climate are determined simply by the heat capacity of that over the oceans. At high latitudes over land in
the different components of the climate system. The winter, there is often a strong surface temperature
total heat capacity considers the mass involved as inversion. In this situation, the temperature increases
well as its capacity for holding heat, as measured by with altitude because of the cold land surface, and it
the specific heat of each substance. makes for a very stable layer of air that can trap
The atmosphere does not have much capability pollutants. The strength of an inversion is very
to store heat. The heat capacity of the global sensitive to the amount of stirring in the atmosphere.
atmosphere corresponds to that of only 3.2 m of Such wintertime inversions are greatly affected by
the ocean. However, the depth of ocean actively human activities; for instance, an urban heat island
involved in climate is much greater. The specific heat effect exceeding 101C has been observed during
of dry land is approximately a factor of 412 less than strong surface inversion conditions in Fairbanks,
that of seawater (for moist land the factor is Alaska. Strong surface temperature inversions over
probably closer to 2). Moreover, heat penetration midlatitude continents also occur in winter. In
into land is limited and only approximately the top contrast, over the oceans, surface fluxes of heat into
2 m typically plays an active role (as a depth for most the atmosphere keep the air temperature within a
of the variations on annual timescales). Accordingly, narrow range. Thus, it is not surprising that over
land plays a much smaller role in the storage of heat land, month-to-month persistence in surface tem-
and in providing a memory for the climate system. perature anomalies is greatest near bodies of water.
Similarly, the ice sheets and glaciers do not play Consequently, for a given heating perturbation, the
a strong role, whereas sea ice is important where it response over land should be much greater than that
forms. over the oceans; the atmospheric winds are the
The seasonal variations in heating penetrate into reason why the observed factor is only in the two to
the ocean through a combination of radiation, six range.
convective overturning (in which cooled surface Another example is the contrast between the
waters sink while warmer, more buoyant waters Northern Hemisphere (NH) (60.7% water) and
below rise), and mechanical stirring by winds through Southern Hemisphere (SH) (80.9% water) mean
what is called the ‘‘mixed layer’’ and on average annual cycle of surface temperature. The amplitude
involve approximately 90 m of ocean. The thermal of the 12-month cycle between 40 and 601 latitude
inertia of the 90-m layer would add a delay of ranges from o31C in the SH to B121C in the NH.
approximately 6 years to the temperature response to Similarly, in midlatitudes, the average lag in tem-
an instantaneous change. This value corresponds to perature response relative to the sun for the annual
an exponential time constant in which there is a 63% cycle is 33 days in the NH versus 44 days in the SH,
response toward a new equilibrium value following again reflecting the difference in thermal inertia.
an abrupt change. Thus, the actual change is gradual.
The total ocean, however, with a mean depth of
approximately 3800 m, if rapidly mixed would add a 10. ATMOSPHERE–OCEAN
delay of 230 years to the response. Mixing is not a INTERACTION: EL NIÑO
rapid process for most of the ocean, so in reality the
response depends on the rate of ventilation of water The climate system becomes more involved as the
between the mixed upper layers of the ocean and the components interact. A striking example is a
deeper, more isolated layers through the thermocline phenomenon that would not occur without interac-
(region of temperature gradient). Such mixing is not tions between the atmosphere and ocean, El Niño,
well-known and varies greatly geographically. An which consists of a warming of the surface waters of
overall estimate of the delay in surface temperature the tropical Pacific Ocean. It takes place from the
response caused by the oceans is 10–100 years. The International Dateline to the west coast of South
slowest response should be in high latitudes, where America and results in changes in the local and
deep mixing and convection occur, and the fastest regional ecology. Historically, El Niños have oc-
response is expected in the tropics. Consequently, the curred approximately every 3–7 years and alternated
oceans are a great moderating effect on climate with the opposite phases of below average tempera-
variations, especially changes such as those involved tures in the tropical Pacific, called La Niña. In the
with the annual cycle of the seasons. atmosphere, a pattern of change called the Southern
868 Earth’s Energy Balance
Oscillation is closely linked with these ocean changes soaked up and stored during the day and released at
so that scientists refer to the total phenomenon as night, moderating nighttime temperatures and con-
ENSO. El Niño is the warm phase of ENSO and La tributing to an urban heat island. Space heating also
Niña is the cold phase. contributes to this effect. Urbanization changes also
El Niño develops as a coupled ocean–atmosphere affect runoff of water, leading to drier conditions
phenomenon, and the amount of warm water in the unless compensated by water usage and irrigation,
tropics is redistributed and depleted during El Niño which can cool the area. However, these influences,
and restored during La Niña. There is often a mini although real changes in climate, are quite local.
global warming following an El Niño as a conse- Widespread irrigation on farms can have more
quence of heat from the ocean affecting the atmo- regional effects.
spheric circulation and changing temperatures Combustion of fossil fuels not only generates heat
throughout the world. Consequently, interannual but also generates particulate pollution (e.g., soot
variations occur in the energy balance of the and smoke) as well as gaseous pollution that can
combined atmosphere–ocean system and are mani- become particulates (e.g., sulfur dioxide and nitrogen
fested as important changes in weather regimes and dioxide, which get oxidized to form tiny sulfate and
climate throughout the world. nitrate particles). Other gases are also formed in
burning, such as carbon dioxide; thus, the composi-
tion of the atmosphere is changing. Several other
11. ANTHROPOGENIC gases, notably methane, nitrous oxide, the chloro-
CLIMATE CHANGE fluorocarbons (CFCs), and tropospheric ozone, are
also observed to have increased due to human
11.1 Human Influences activities (especially from biomass burning, landfills,
rice paddies, agriculture, animal husbandry, fossil
Climate can vary for many reasons, and in particular, fuel use, leaky fuel lines, and industry), and these are
human activities can lead to changes in several ways. all greenhouse gases. However, the observed de-
However, to place human influences in perspective, it creases in lower stratospheric ozone since the 1970s,
is worthwhile to compare the output from a power caused principally by human-introduced CFCs and
plant with that from the sun. The largest power halons, contribute to a small cooling.
plants that exist are on the order of 1000 MW, and
these service human needs for electricity in appli-
11.2 The Enhanced Greenhouse Effect
ances and heating that use power in units of
kilowatts. Figure 2 shows that the energy received The amount of carbon dioxide in the atmosphere has
at the top of the atmosphere is 342 W m 2 on an increased by more than 30% in the past two
annual mean basis averaged over the globe. This is centuries since the beginning of the industrial
equivalent to 175 PW, although only approximately revolution, an increase that is known to be in part
120 PW is absorbed. One petawatt is 1 billion MW due to combustion of fossil fuels and the removal of
or 1 million huge power plants. Consequently, it is forests. Most of this increase has occurred since
easily recognized that human generation of heat is World War II. Because carbon dioxide is recycled
only a tiny fraction of the energy available from the through the atmosphere many times before it is
sun. This also highlights the fact that the main way in finally removed, it has a long lifetime exceeding 100
which human activities can compete with nature is if years. Thus, emissions lead to a buildup in concen-
they somehow interfere with the natural flow of trations in the atmosphere. In the absence of
energy from the sun, through the climate system, and controls, it is projected that the rate of increase in
back out to space. carbon dioxide may accelerate and concentrations
There have been major changes in land use during could double from pre-industrial values within
the past two centuries. Conversion of forest to approximately the next 60 years.
cropland, in particular, has led to a higher albedo If the amount of carbon dioxide in the atmosphere
in places such as the eastern and central United States were suddenly doubled, with other things remaining
and changes in evapotranspiration, both of which the same, the outgoing long-wave radiation would be
have probably cooled the region in summer by reduced by approximately 4 W m 2 and instead
perhaps 11C and in autumn by more than 21C, trapped in the atmosphere, resulting in an enhanced
although global effects are less clear. In cities, the greenhouse effect. To restore the radiative balance,
building of ‘‘concrete jungles’’ allows heat to be the atmosphere must warm up and, in the absence of
Earth’s Energy Balance 869
other changes, the warming at the surface and eliminates the cloud deck and leads to further sea
throughout the troposphere would be approximately surface warming through solar radiation.
1.21C. In reality, many other factors will change, and
various feedbacks come into play, so that the best
estimate of the average global warming for doubled 11.3 Effects of Aerosols
carbon dioxide is 2.51C. In other words, the net
Aerosols occur in the atmosphere from natural
effect of the feedbacks is positive and approximately causes; for instance, they are blown off the surface
doubles the response otherwise expected.
of deserts or dry regions. As a result of the eruption
Increased heating therefore increases global mean
of Mt. Pinatubo in the Philippines in June 1991,
temperatures and also enhances evaporation of
considerable amounts of aerosol were added to the
surface moisture. It follows that naturally occurring
stratosphere that, for approximately 2 years, scat-
droughts are likely to be exacerbated by enhanced
tered solar radiation leading to a loss of radiation
drying. After the land is dry, all the solar radiation
and a cooling at the surface.
goes into increasing temperature, causing heat
As noted previously, human activities also affect
waves. Temperature increases signify that the the amount of aerosol in the atmosphere. The main
water-holding capacity of the atmosphere increases
direct effect of aerosols, such as sulfate particles, is
and, with enhanced evaporation, the atmospheric
the scattering of some solar radiation back to space,
moisture increases, as is currently observed in
which tends to cool the earth’s surface. Aerosols can
many areas. The presence of increased moisture in
also influence the radiation budget by directly
the atmosphere implies stronger moisture flow
absorbing solar radiation, leading to local heating
converging into all precipitating weather systems,
of the atmosphere, and, to a lesser extent, by
whether they are thunderstorms, extratropical rain,
absorbing and emitting thermal radiation. A further
or snow storms. This leads to the expectation of influence of aerosols is that many of them act as
enhanced rainfall or snowfall events, which are also
nuclei on which cloud droplets condense. A changed
observed to be happening. Globally, there must be
concentration therefore affects the number and size
an increase in precipitation to balance the enhanced
of droplets in a cloud and hence alters the reflection
evaporation and hence there is an enhanced hydro-
and the absorption of solar radiation by the cloud.
logical cycle.
Because man-made aerosols typically remain in
The main positive feedback comes from water
the atmosphere for only a few days before they are
vapor. As the amount of water vapor in the atmo-
washed out by precipitation, they tend to be
sphere increases as the earth warms, and because concentrated near their sources, such as industrial
water vapor is an important greenhouse gas, it
regions, adding complexity to climate change
amplifies the warming. However, increases in clouds
because they can help mask, at least temporarily,
may act either to amplify the warming through the
any global warming arising from increased green-
greenhouse effect of clouds or reduce it by the
house gases.
increase in albedo; which effect dominates depends
on the height and type of clouds and varies greatly
with geographic location and time of year. Decreases
in sea ice and snow cover, which have high albedo, 12. OBSERVED AND
decrease the radiation reflected back to space and PROJECTED TEMPERATURES
thus produce warming, which may further decrease
the sea ice and snow cover, known as ice albedo Changes in climate have occurred in the distant
feedback. However, increased open water may lead past as the distribution of continents and their
to more evaporation and atmospheric water vapor, landscapes have changed, as the so-called Milanko-
thereby increasing fog and low clouds, offsetting the vitch changes in the orbit of the earth and the earth’s
change in surface albedo. tilt relative to the ecliptic plane have varied the
Other, more complicated feedbacks may involve insolation received on earth, and as the composition
the atmosphere and ocean. For example, cold waters of the atmosphere has changed, all through natural
off the western coasts of continents (such as processes. Recent evidence obtained from ice cores
California or Peru) encourage development of drilled through the Greenland ice sheet indicates that
extensive low stratocumulus cloud decks that block changes in climate may often have been quite rapid
the sun and this helps keep the ocean cold. A and major and not associated with any known
warming of the waters, such as during El Niño, external forces.
870 Earth’s Energy Balance
Encyclopedia of Energy, Volume 1. r 2004 Elsevier Inc. All rights reserved. 871
872 Easter Island: Resource Depletion and Collapse
1. THE MYSTERY OF theory was that of Eric von Daniken, who wrote a
EASTER ISLAND best-selling book (Chariots of the Gods) and produced
a popular 1970s television series, which proposed that
1.1 Early European Contact the statues had been built by extraterrestrials.
These imaginative explanations have been dis-
First European contact with Easter Island occurred placed by scientific evidence, including carbon dating
on Easter Day of 1722, when three Dutch ships of core samples taken from Easter Island and a
under the command of Jacob Rogaveen stopped for a genetic study of skeletal remains on Easter Island.
1-day visit at the very isolated South Pacific island, This evidence has allowed the development of a
just over 3000 km west of Chile. The visitors rather different understanding of Easter Island’s past.
observed a small, treeless island populated by what This understanding, based on resource depletion and
they thought were about 3000 islanders and, to their collapse, explains both the statues and the decline of
surprise, by a large number of giant statues. The the Easter Island civilization.
outside world had no previous knowledge of Easter
Island and the islanders apparently had no awareness
of the outside world. The visit must have been a 2. FIRST DISCOVERY AND
shock to the Easter Islanders, but no systematic EARLY HISTORY
account of their reaction survives and no further
contact with Europeans occurred until 1770, when a 2.1 The Virgin Forest
Spanish vessel made a brief stop.
The first systematic study of Easter Island dates Although there is some uncertainty about dates, it now
from the 1774 visit of James Cook. At least one seems that Easter Island was first discovered by a small
member of Cook’s crew could understand the group of Polynesians sometime between 400 and 700
Polynesian dialect spoken by the Easter Islanders. ad. The striking surprise that emerged from analysis
This allowed Cook to infer that the Easter Island of core samples is that Easter Island was at this time
population was in fact Polynesian. In addition, Cook covered by a dense forest of Jubaea chilensis (the
learned that the islanders believed that the statues Chilean wine palm). This particular palm is a large,
had been built and moved to their then-current slow-growing tree that grows in temperate climates.
locations by some supernatural force. Certainly the
islanders of 1774 had no concept of how to carve or
move the statues. Cook estimated that the island’s 2.2 The Easter Island Economy
population was about 2000, which would have been Following first discovery of Easter Island, the new
insufficient to move the statues using any technology inhabitants developed an economy based on the wine
available on the island. palm. Harvested trees were the raw material for
canoes that could be used for fishing, leading to an
early diet that depended very heavily on fish,
1.2 Explanations of the Moai
gradually supplemented from other sources, includ-
The mystery of how the statues came into existence ing yams grown on deforested sections of the island,
remained a topic of increasingly fanciful speculation and domestic fowl. The population grew steadily and
from Cook’s day forward. Among the more striking the civilization grew more sophisticated, allowing a
theories advanced to explain the mystery include Thor substantial diversion of labor into ceremonial and
Heyerdahl’s view that the statues had been built by an other nonsubsistence activity. However, as time
advanced South American civilization that had dis- progressed, the forest stock gradually diminished.
covered and colonized Easter Island before somehow At first, liberation of forested land for agricultural
being displaced by a less advanced Polynesian society. uses, for dwelling space, and for other purposes
In an effort to support his theory, Heyerdahl under- would have been seen as a benefit. The rate of forest
took a famous voyage to Easter Island, in a reed boat decline was slow. In a typical lifetime (somewhere
named the Kon Tiki, starting from off the coast of between 30 and 40 years for those who survived
Chile. An alternative and even more exotic theory was early childhood), it would have been hard to notice a
that Easter Island was the remnant of the hypothesized dramatic change in the forest cover because the stock
archipelago civilization of ‘‘Mu’’ that, similar in would not have declined by more than about 5 or
concept to Atlantis, had sunk beneath the ocean due 6% over a 30- to 40-year period, until relatively near
to geological events. Perhaps the most remarkable the end of viable forest.
Easter Island: Resource Depletion and Collapse 873
overshooting. The mitigating factors were not 5.2 Modeling the Renewable
present, in that little technological progress occurred Resource Stock
and the level of income was never high enough for
a demographic transition to be relevant. In addition, The economy and ecology of Easter Island were
the Easter Island economy did suffer from heavy relatively simple, but obtaining a tractable mathe-
reliance on a renewable resource that very likely matical representation still requires significant ab-
was characterized by open-access problems or straction and approximation. At a minimum, it is
at least by incomplete property rights. However, necessary to model the behavior of two ‘‘stocks’’ or
Malthusian overshooting cannot be the whole ‘‘state variables’’: the forest stock and the population.
story, for most Polynesian societies did not experi- In fact, it is an oversimplification to focus just on the
ence the boom-and-bust pattern exhibited by forest stock. Even in the absence of the forest stock,
Easter Island, even though these societies were grass, shrubs, and certain vegetables could be grown
similar to the Easter Island culture in most impor- and this biomass was sufficient to support a
tant respects. Thus, for example, islands such as diminished but significant population. Rather than
Tahiti and New Zealand’s North Island appeared to introduce a third ‘‘stock’’ representing other biomass,
be in something approaching a long-run steady state it is simpler to aggregate the renewable resource base
at the time of first European contact. Therefore, there growing on the land into a single resource stock,
must be more to the story than simple Malthusian denoted as S. For simplicity, sometimes just the term
overshooting. ‘‘forest’’ is used, but it should be kept in mind that
other components of the flora biomass are also
relevant.
5. A PREDATOR–PREY SYSTEM
WITH UNFORTUNATE 5.3 Logistic Growth
PARAMETER VALUES
The starting point for describing the evolution of a
renewable resource stock is the logistic growth
5.1 Easter Island as a
function. Using t to denote time, a simple logistic
Predator–Prey System
growth function has the form G(t) ¼ rS(1S=K). The
As reported in 1998 by Brander and Taylor, the variable r is the intrinsic growth rate and K is the
understanding of Easter Island can be greatly environmental carrying capacity, or maximum pos-
advanced by using formal mathematical analysis. sible size of the resource stock. G(t) is the growth
The formal description provided here relies on that rate defined in biomass units and G/S is the
analysis. One key point is that the Easter Island proportional growth rate (i.e., a number such as
economy can be viewed as a ‘‘predator–prey’’ system. 0.1 or 10%). If the forest stock S reaches a level
The forest resource can be considered as the prey and equal to carrying capacity K; then G ¼ 0 and no
the Easter Islanders as the predators. One important further growth occurs. Similarly, if there is no forest
aspect of even relatively simple predator–prey stock, then S ¼ 0 and no growth occurs. If the forest
systems is that small to moderate changes in one or stock is small relative to carrying capacity (but
more key parameters can give rise to major positive), then S/K is negligible and G ¼ rS: In this
qualitative changes in the dynamic pattern of case, proportional growth G/S approaches r: Thus,
population growth and decline. In particular, de- we can think of r as the proportional growth rate in
pending on parameter values, it is possible for a given the absence of congestion effects. As the forest stock
model structure to give rise to smooth, or ‘‘mono- increases, there is congestion (competition for space,
tonic,’’ movement toward a steady state or, alter- rainfall, sunlight, etc.), with the result that the
natively, to a boom-and-bust cycle. One possible proportional growth rate tends to decline. However,
behavior is long-run stability of the type apparently the base to which that growth rate is applied
observed in Tahiti. Another possible behavior is the increases as S increases. Therefore, the absolute
rise and fall that characterizes Easter Island. More growth rate in biomass units increases with S up to a
broadly, it is quite possible that the same general critical point beyond which the congestion effect
model might describe a variety of Polynesian dominates the increasing base effect and the absolute
societies, with plausible variations in parameter growth rate declines. A logistic growth function is
values giving rise to the observed differences in illustrated in Fig. 1. It is clear from Fig. 1 that the
demographic and economic experience. maximum sustainable yield occurs at the maximum
Easter Island: Resource Depletion and Collapse 875
Eq. (2) should allow a reasonable approximation to The environmental carrying capacity and the
actual events. initial forest stock are taken to be the same. Of
course, the size of this stock can be normalized to any
value. For scaling purposes, it is convenient if the
5.7 A Dynamic System resource stock is normalized to be of approximately
Equations (1) and (2) form an interdependent the same magnitude as the maximum population, so
dynamic system similar to the Lotka–Volterra pre- we assume the initial resource stock (and environ-
dator–prey model. Equation (1) shows the evolution mental carrying capacity) is 12,000 biomass units.
of prey (the forest stock) and has the key property The initial population probably arrived in one or a
that the prey tends to diminish more quickly when few large ocean-going canoes that had traveled a
there are more predators (humans). Equation (2) considerable distance in search of new land. Take the
shows the evolution of the predator and has the founding population to be 40, although it makes very
property that the predator increases more rapidly little difference if the founding population were
when prey are more numerous. Figure 2 illustrates taken to be twice or three times as large or, for that
the relationship between the principal ‘‘stocks’’ and matter, if it were smaller. The net fertility rate, n; is
‘‘flows’’ in the model using a formal flow diagram. the proportional (or percentage) rate of growth in the
It is possible to examine the properties of this absence of the resource stock. In the simulation,
model analytically. Solutions for steady states can be discrete periods of 10 years will be used. Using a
determined and the dynamic path leading from any value of 0.1 for n indicates that, without the
initial conditions can be characterized. Depending on biomass in place, the population would tend to
parameter values, three steady states are possible, decline at a rate of 10% per decade. Parameters a
one with no humans and the forest at environmental and b reflect particular underlying economic condi-
carrying capacity, one with no humans and no tions related to harvesting technology and to the
resource stock, and one ‘‘interior’’ steady state with preferences of the Easter Islanders. Because Eqs. (1)
positive stocks of humans and forest biomass. The and (2) are being used as the starting points for the
dynamic evolution of the model can be either formal analysis here, parameters a and b could be
monotonic or cyclical, once again depending on viewed as essentially arbitrary parameters that we
parameter values. choose appropriately to ‘‘fit’’ the model to the
experience of Easter Island. However, Eqs. (1) and
(2) can be derived from more fundamental economic
5.8 Simulation of Easter Island structures that suggest plausible magnitudes for a
Perhaps the most revealing method of analysis of this and b: A plausible magnitude for a is 4 105 and a
dynamic system is through simulation. It is possible plausible magnitude for b is 1.6 104.
to estimate plausible values for the parameters in The key parameter of interest is the intrinsic
Eqs. (1) and (2) and simulate the evolution of Easter growth rate, r: As it happens, Jubaea chilensis is a
Island. The necessary parameters are a; b; n; r; and well-known species. It prefers temperate climate and
environmental carrying capacity K: It is also neces- grows slowly, normally requiring 40 to 60 years from
sary to specify the size P(0) of the initial founding first planting to the time it bears its first fruit. An
population. intrinsic growth rate on the order of 4% per decade
would be plausible. The Easter Island flora biomass
consisted of more than just J. chilensis, but the forest
Forest growth Harvesting was by far the most important part of the resource
stock, so 4% (or 0.04) is used in the base case
Forest stock simulation for Easter Island.
To obtain simulations for Easter Island, Eqs. (1)
and (2) are converted to discrete format. Thus, the
two simulated equations are as follows:
Mortality
Births
Stþ1 ¼ St þ rSt ð1 St=KÞ aSt Pt ; ð1AÞ
Human
population
Ptþ1 ¼ nPt þ bPt St : ð2AÞ
The units of time are decades and the model is run
FIGURE 2 A flow diagram of stocks and flows. for about 1200 years. The results are shown in Fig. 3.
Easter Island: Resource Depletion and Collapse 877
14000 45000
35000
10000
Forest Stock
30000 Population
8000
25000
6000
20000
4000 15000
10000
2000
5000
0
00
00
00
00
00
00
00
00
0
0
0
0
0
0
50
60
70
80
90
10
11
12
13
14
15
16
17
1000
1100
1200
1300
1400
1500
1600
1700
500
600
700
800
900
Year
FIGURE 3 Easter Island simulation.
Time
FIGURE 4 A fast-growing resource.
As can be seen in Fig. 3, this relatively simply model
tracks the known facts about Easter Island quite parameter. Most of Polynesia did have palm forests.
well. If it is assumed that first colonization occurred However, the palms growing on other islands grew
in 500 ad, then peak population occurs in the 14th much faster than the Chilean wine palm. The two
century at just over 10,000. From there, the most common large palms are the Cocos (coconut
population decreases and is down to a little over palm) and the Pritchardia (Fijian fan palm). These
4000 by the time of first European contact in palms reach the fruit-growing stage after 7 to 10
1722––a little high relative to actual estimates, but years (much less than the 40- to 60-year period for
quite close. The resource stock is down to less than the wine palm) and would have an intrinsic growth
half its initial level by 1400 ad. On the actual Easter rate on the order of 35% per decade (rather than
Island, this was about the time the wine palm forest 4%). The resulting simulation is shown in Fig. 4,
completely disappeared, so for this to be accurate it which illustrates a dynamic pattern strikingly differ-
would need to be the case that the flora biomass in ent from that of Fig. 3. No boom-and-bust pattern is
the absence of the palm forest was about half of the discernible. In fact, there is a very slight cycle that
biomass with the forest. This is certainly high, would not disappear entirely unless the intrinsic
because the original palm forest had far more than growth rate exceeded 71% per decade, but, even at
twice the biomass of whatever shrubs, grass, and 35%, the very gentle cycle would be much too
other vegetation was left after the forest was gone. damped to be evident to archaeologists and the
Still, the general qualitative pattern shown in Fig. 3 is approach to steady state is virtually monotonic. The
a reasonable representation of the Easter Island forest stock declines smoothly to a new steady state
experience. that would correspond to having some standing
A particularly interesting variation of this simula- forest in steady state. Low intrinsic growth rates, on
tion arises from making one change in a model the other hand, produce sharp cyclical fluctuations.
878 Easter Island: Resource Depletion and Collapse
Therefore, in the predator–prey model described of control was very difficult to impose and maintain
here, an island with a slow-growing resource base in Polynesian and in most other societies.
will exhibit overshooting and collapse. An otherwise In addition to the property rights problem, there
identical island with a more rapidly growing resource was also a significant intertemporal market failure
base will exhibit a near-monotonic adjustment of problem. Specifically, no one who planted or
population and resource stocks toward steady-state nurtured a young wine palm could expect to make
values. This fact alone can explain the sharp personal use of that tree in his or lifetime, because
difference in experience between Easter Island and life expectancy was short relative to the time taken
other Polynesian islands. for trees to reach maturity. Even the planter’s
There are 12 so-called mystery islands in Polynesia children would be unlikely to benefit from the such
that had been settled by Polynesians but were activity. It would be the generation of one’s grand-
unoccupied at the time of first European contact. children who would benefit from current planting
All these islands but one had relatively small carrying activity. Thus, the incentives to undertake invest-
capacities. Applying our model, we see that if K ments in planting and growing were weak. In
(carrying capacity) is too small, then there is no modern societies, someone who plants a stand of
interior steady state, implying that a colonizing trees can sell the stand at any time to someone else
population might arrive and expand but would willing to hold the tree lot for some period of
eventually be driven to extinction. time––secure in the knowledge that it can be sold to
still another person in the future. This mechanism of
overlapping ownership connected through markets
6. THE ROLE OF PROPERTY allows, in effect, future generations to ‘‘pay’’ for
RIGHTS AND OPEN ACCESS current investments. This is necessary for economic
efficiency. However, in the Easter Island context,
A presumption underlying the analysis here is that there would be no such markets. Thus, there would
property rights were incomplete, perhaps not to the be a ‘‘market failure’’ leading to under investment in
point of full open access, but at least to the point planting and growing trees. In primitive societies,
where it was hard to prevent increased harvesting as social norms often take the place of market transac-
the population increased. Specifically, in Eq. (1) tions in enforcing particular economic investments,
harvesting is assumed to be increasing with popula- but social norms are highly unreliable. In the Easter
tion size for any given stock. This need not be the Island case, it is quite possible that the statue-carving
case if property rights are complete, because an norm dominated any conservation norms and
efficient owner or manager of the resource would worsened rather than mitigated the overharvesting
restrict access beyond some optimal point. problem.
It is unlikely that Easter Island was characterized
by complete open access, but it is very likely that
property rights were incomplete in the sense that 7. AFTERMATH
different competing harvesters probably had access
to some common part of the forest. Incomplete It is useful to consider the history of Easter Island
property rights give rise to market failure, with the after the 18th century. The story is a very sad one––
result that overharvesting occurs. In other words, the much worse than the endogenous boom-and-bust
individual incentives faced by individual harvesters cycle that had already occurred on Easter Island.
(or by small kinship groups) would lead to over- From the time of James Cook in the late 18th century
harvesting from the collective point of view. As through the mid-19th century, conditions on Easter
shown in Fig. 4, even with incomplete property Island gradually improved and the population
rights, it is still possible to have monotonic adjust- increased gradually. Population was reliably esti-
ment to a steady state if parameter values are mated at something exceeding 3000 in 1862. In 1862
suitable. However, it would be even better if the and 1863, slave traders from the Spanish community
society could enforce strict property rights. If a in Peru invaded the island and took about one-third
dictator or ‘‘social planner’’ could impose strict of the islanders as slaves. Most of these slaves died of
property rights, that person could, for example, set smallpox and other infectious diseases within a few
harvesting at the level of maximum sustainable yield years. A few returned to Easter Island, inadvertently
and keep harvesting at that level independent of causing a smallpox epidemic that killed most of the
population size. However, by all accounts, that level remaining Islanders.
Easter Island: Resource Depletion and Collapse 879
By 1877, the population reached its low point of in the rise and fall of many civilizations. The truly
111. Some of the deaths would have been due to unique feature of Easter Island was its isolation,
causes other than smallpox, but, even allowing for which prevented migration as a response to resource
these other causes, these numbers imply that the death degradation. In other parts of the world, overshoot-
rate from smallpox exceeded 90% of the base ing population and resource degradation have led to
population––probably the highest death rate ever substantial out-migration that mitigated, but did not
observed from an infectious disease invading a eliminate, the population losses and the cultural
population of significant size. Although this has losses associated with the boom-and-bust cycle. The
nothing to do with the pattern of resource overuse lesson here is that resource management is very
and collapse, it illustrates an important force in human difficult, especially in conditions approaching open
history: the devastating effect that a new infectious access, and overshooting is a genuine concern. This
disease can have on a long-isolated population. applies to the modern world just as it did to Easter
From 1877, the population gradually increased Island. Thus, for example, major fisheries, major
through natural increase, immigration from other wildlife resources, and major forest resources around
Polynesian islands (especially Tahiti), and immigra- the world have been significantly compromised
tion from the South American mainland. In 1888, the already. It is quite possible that various populations
island was annexed by Chile, which maintains around the world, especially in areas with high
possession of the island at present. Population on population growth, such as Africa and parts of the
the island has risen to something approaching 3000 Middle East, are on an overshooting trajectory.
and is devoted primarily to agriculture and to Another lesson to be drawn from Easter Island
tourism. There is some mild tension between the concerns the danger of making simple linear projec-
predominantly Polynesian traditional or indigenous tions based on a short time series. If an Easter
peoples and the South American population in Easter Islander had, in the year 1300, extrapolated trends in
Island, but, on the whole, Easter Island is a peaceful population and real income based on the previous
and pleasant island that has become a major tourist few centuries, that person would have failed to
destination of particular interest to ‘‘cultural tour- anticipate the ‘‘turning point’’ in population and real
ists’’ who wish to see the now carefully maintained income that was coming. It is a characteristic of
and protected moai. resource systems and predator–prey systems more
broadly that cyclical patterns are common.
Even the two centuries of remarkable economic
8. LESSONS OF performance that have occurred in the time since
EASTER ISLAND Malthus should not encourage complacency about
avoiding future Malthusian adjustment, especially if
Some observers like to see Easter Island as a major renewable resource stocks (fish, forests, and
metaphor for the modern world. However, it is soil) continue to decline. The world’s current
important to be aware of the differences. The first population growth rate is about 1.3% per year,
point, as has been emphasized already, is that significantly lower than its peak of 2.2% (reached in
societies of the Easter Island type do not necessarily 1963), but still high by historical standards. Current
have a dramatic decline. In the case of Easter Island, population growth rates imply a population doubling
the civilization was ‘‘unlucky’’ to be on an island in just over 50 years. Current resource stocks, even if
where the main resource was very slow growing. If degradation could be slowed or halted, would have a
the resource had been faster growing, then the boom- hard time supporting such a population at anything
and-bust cycle probably would have been avoided, as like current levels of real income, even adjusting for
it was in most of Polynesia. Therefore, even if Earth likely technological improvements over the next
as a whole could be viewed as Easter Island writ 50 years. A subsequent doubling in the latter half
large, there would no presumption about any of the 21st century would seem completely infeasible.
inevitability of the imminent decline and fall of Therefore, it seems that population growth will have
modern civilization. to fall dramatically from current levels over the next
On the other hand, Easter Island should not be 100 years. Whether this is achieved through a benign
viewed as an isolated case. As modern archaeology demographic transition or through the more unplea-
has made increasing use of sophisticated scientific sant Malthusian mechanisms of disease, famine, and
methods, it has become increasingly clear that violent conflict is still very much an open question at
resource degradation has played an important role this stage.
880 Easter Island: Resource Depletion and Collapse
SEE ALSO THE Brander, J. A., and Taylor, M. S. (1998). The simple economics of
Easter Island: A Ricardo–Malthus model of renewable resource
FOLLOWING ARTICLES use. Am. Econ. Rev. 88(1), 119–138.
Clark, C. W. (1990). ‘‘Mathematical Bioeconomics, The Optimal
Biomass Resource Assessment Depletion and Management of Renewable Resources.’’ 2nd ed. Wiley, New
Valuation of Energy Resources Ecological Foot- York.
Dark, K. R. (1995). ‘‘Theoretical Archaeology.’’ Cornell University
prints and Energy Ecological Risk Assessment Press, Ithaca, N.Y.
Applied to Energy Development Ecosystem Health: Lotka, A. J. (1925). ‘‘Elements of Physical Biology.’’ Williams &
Energy Indicators Population Growth and Energy Wilkins, Baltimore.
Sociopolitical Collapse, Energy and Malthus, T. R. (1798). ‘‘An Essay on the Theory of Population.’’
Oxford University Press, Oxford.
Ostrum, E. (1990). ‘‘Governing the Commons, The Evolution of
Further Reading Institutions for Collective Action.’’ Cambridge University Press,
Cambridge.
Bahn, P., and Flenley, J. (1992). ‘‘Easter Island, Earth Island.’’ von Daniken, E. (1970). ‘‘Chariots of the Gods? Unsolved
Thames and Hudson, London. Mysteries of the Past.’’ Putnam, New York.