Journal of Cleaner Production 145 (2017) 277e293

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Journal of Cleaner Production

journal homepage: www.elsevier.com/locate/jclepro

Adopting PDCA (Plan-Do-Check-Act) cycle for energy optimization in

energy-intensive SMEs
Anupama Prashar
Management Development Institute, Gurgaon, India

a r t i c l e i n f o a b s t r a c t

Article history: Globally, small and medium-sized enterprises (SMEs) constitute a significant industrial segment. How-
Received 12 June 2016 ever, their energy-efficiency potential has remained largely untapped due to several barriers. The pre-
Received in revised form vailing approaches on energy optimization in the energy-intensive SMEs are focused on the
8 January 2017
technological improvements at the operational level and lack a strategic approach. This study developed
Accepted 11 January 2017
an energy management system (EnMS) for SMEs by integrating technical and managerial energy saving
Available online 16 January 2017
activities (ESAs), suggested in energy management literature. The proposed EnMS adopted a PDCA (Plan-
Do-Check-Act) process approach for consistent energy efficiency and cleaner production. For the vali-
Keywords:
Small and medium-sized enterprises (SMEs)
dation of the proposed EnMS, a case of small-sized Indian paper mill was selected. The case exhibited the
Energy optimization ramp of continuous improvement in the energy efficiency at the mill by illustrating two PDCA cycles.
PDCA cycle Step I (Plan) involved creating energy management roles with management support, energy auditing,
Paper machine identifying energy-saving opportunities and developing action plan; step II (Do) was about creating
Vacuum distribution communication, awareness and motivation before the implementation of the action plan; step III (Check)
Energy-saving activities involved periodic monitoring, analysis and reporting of the energy key performance indicators (KPIs),
and benchmarking enterprise energy performance. The case analysis showed a 35% reduction in specific
energy consumption (SEC) of one of the Paper Machine's (PM) vacuum system by the implementation of
ESAs for vacuum optimization, generating an annual energy-saving of 0.3 GJ/t. In step IV, the subsequent
PDCA cycle was triggered by the biannual management review for exploring the new energy saving
opportunities at the enterprise. The next improvement cycle targeted at steam and condensate system
optimization in another PM resulted in an additional energy cost saving of USD 26,900.
© 2017 Elsevier Ltd. All rights reserved.

1. Introduction management systems (EnMS) (Thollander and Ottosson, 2010);

Since 770 AD, when the first paper was hand-made and printed,
papermaking has evolved into a highly mechanized and energy-
intensive industry. Today, not only is the industry characterized
by highly energy and water intensive operations, it also confronts
the challenges of rising costs and significant environmental impact
(Laurijssen et al., 2012). Globally, papermaking industry is the
fourth largest industrial user of energy (IEA, 2015a). Realizing the
immensity of these environmental and energy challenges, the pa-
per mills, worldwide, have been adopting energy efficient and
cleaner production systems for sustainable production (Avşar and
Demirer, 2008).
Currently, three approaches to improving energy efficiency are
prevalent among the paper mills: energy optimization using energy
E-mail address: anupama.prashar@mdi.ac.in.
application of energy efficient technologies (Yannopoulos et al.,
2015); and implementation of energy policies (Thollander et al.,
2007; Worrell and Price, 2001). For the optimization of energy
usage in paper mills, mostly an ‘energy audit’ is conducted to
monitor mill's energy consumption (Kong et al., 2013). This infor-
mation is used for modeling optimization algorithms for efficient
energy usage in the paper machines (PMs), the prime energy
consumers in paper mill (Huang and Mujumdar, 1993); integrating
papermaking processes (Ji et al., 2012); developing cogeneration
(combined heat and power) systems (Marshman et al., 2010); and
evaluating alternative energy sources & technologies (Kong et al.,
2016; Fleiter et al., 2012). Therefore, improvement of operational
efficiency has, so far, been the aim of prevailing energy optimiza-
tion approaches, with the exception of a few cases where the
strategic dimension of energy management was addressed (Posch
et al., 2015).
According to the Energy Conservation (Amendment) Act, 2010,

http://dx.doi.org/10.1016/j.jclepro.2017.01.068
0959-6526/© 2017 Elsevier Ltd. All rights reserved.
278 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293
India's papermaking industry is one of most energy-intensive in-
dustries including aluminum, fertilizer, iron & steel, cement, and
chemical industries, in the country (Sharma et al., 2016; IEA,
2015b). Interestingly, the industry is dominated (90% share) by
small (installed capacity up to 16,500 tonnes/annum or t/a), and
medium scale (16,500 to 33,000 t/a) mills (CPPRI, 2015). These
small and medium-sized enterprises (SMEs) use agriculture resi-
dues (such as wheat straw or bagasse) and/or waste paper as raw
material for the production of industrial grade paper (CPPRI, 2015).
However, a limited production capacity of these SMEs had made
adoption of energy efficient and cleaner production technologies
unfavorable, thus, distancing them from the international stan-
dards for environment and energy management (Nagesha and
Balachandra, 2006). In fact, with obsolete technology, equipment,
and management practices, papermaking has been one of the
highest pollution causing Indian industries (TERI, 2015/16). No
doubt, the Indian papermaking industry holds great potential for
the creation of cleaner and energy efficient production systems.
Considering their poor energy efficiency and low adoption rates
for energy-saving measures, the energy-intensive SMEs urgently
need a pragmatic yet systematic roadmap for continuous
improvement in energy efficiency. To date, most energy-related
research in SMEs is concentrated on either exploring the barriers
(Trianni and Cagno, 2012) or drivers (Cagno and Trianni, 2013) to
energy efficiency; or developing quantitative model-based energy
optimization approaches (Klugman et al., 2009). A handful of
studies (specific cases) have adopted a process approach towards
energy optimization (adopting an ‘Energy Management System’ or
‘EnMS’) in the SMEs (Kannan and Boie, 2003). Although, the in-
ternational EnMS standards (ISO 50001:2011) (ISO, 2011) serves as
a good implementation support, the penetration of these standards
in the SMEs had been very limited so far (merely 7345 ISO 50001
certified sites worldwide as of May, 2015) (IEA, 2015b).
In that direction, this study attempts to bridge the research gap
by conceptualizing a PDCA (Plan-Do-Check-Act) process approach
(Deming, 2000; Shewhart, 1931, 1939) towards energy optimization
(EnMS) for industrial applications in the energy-intensive SMEs.
The proposed EnMS integrates the energy-saving activities (ESAs)
(Suk et al., 2013) described all across the energy management
literature, at both technological and managerial levels in the PDCA
(Plan-Do-Check-Act) cyclic model. The dynamic PDCA process
approach was employed because of its proven versatility in driving
incremental changes for continuous improvement of the systems,
processes and operational activities in an enterprise (Owens, 2006;
Johnson, 2002). For validating the proposed system, a case study of
small-size paper mill in India was selected. The study demonstrated
the achievement of continual energy optimization through the
implementation of integrated EnMS in the paper mill.
2. Literature review
The energy management literature comprising energy man-
agement guides, EnMS or energy optimization approaches, specific
cases, and academic articles, has been reviewed from two angles.
First, to explore the energy optimization approaches applicable to
the SMEs operating in papermaking and other similar industries;
and secondly, to derive the predominant themes of ESAs in the
energy-intensive SMEs.
2.1. Energy optimization or EnMS approaches
Majority of the existing energy optimization approaches for
papermaking were quantitative models or simulations for
improving energy efficiency of the paper machines (PMs); inte-
grating processes; or creating cogeneration systems. For instance, Ji
et al. (2012) developed a quantitative model for process integration
to determine optimum operating conditions for lower energy cost.
They illustrated the modeling approach for analyzing the material
and energy balances of the evaporation plant and digester in a
paper mill. In a study of PMs, Afshar et al. (2012) employed
sequential modeling to examine the effects of vacuum in the
forming section on the thermal energy consumption in the drying
section. Many specific cases on paper mills adopted process inte-
gration techniques such as pinch analysis, water network analysis,
and system closure for improving energy efficiency, reducing ef-
fluents and minimizing waste (Turon et al., 2005; Shafiei et al.,
2004). Studies aimed at the design of cogeneration facilities for
economic improvement in the paper mills utilized both heuristic
and non-heuristic energy optimization approaches (Marshman
et al., 2010).
Apart from papermaking, energy literature also comprised en-
ergy optimization approaches for other energy-intensive industries
such as foundry (Mardan and Klahr, 2012), cement (García-Gusano
et al., 2015), and steel (Larsson and Dahl, 2003). In a comprehensive
review of the surface irrigation simulation models, Valipour et al.
(2015) highlighted the application of four different mathematical
models (full hydrodynamic, zero inertia, kinematic wave and vol-
ume balance) for improving the efficiency of water usage in
different irrigation methods. In another study on irrigation sys-
tems, Khasraghi et al. (2015) employed a software package known
as SIRMOD (surface irrigation simulation, evaluation and design) to
predict the surface irrigation conditions using different irrigation
methods. Similar studies discussed the application of irrigation
system design software for appropriate pressure control adjust-
ment in a sprinkle and trickle irrigation system (Valipour, 2012).
2.2. Energy-saving activities (ESAs) for SMEs
This section of the review involved categorization of broad ESA
themes recommended in the energy literature into four steps of
PDCA model: Planning (prepare and strategize); Doing (implement
and operationalize); Checking (monitor and evaluate); and Acting
(ensure continual improvement.
2.2.1. Planning (prepare and strategize)
From planning perspective, ESAs were similar across the energy
management literature. Energy guides for SMEs including Energy
Star (2013) and CarbonTrust (2011) highlighted the vitality of se-
nior management commitment, creation of energy management
roles, and initial review of enterprise's energy performance for
initiating the EnMS in the SMEs. Additionally, SEI (2008) recom-
mended the definition of energy performance indicators, setting of
improvement targets, benchmarking of energy performance and
development of action plan as the other energy planning practices
for SMEs.
Literature established a strong empirical link between a firm's
organizational structure and its ability to use energy efficiently
(Martin et al., 2012). Therefore, an energy manager, who develops
an action plan, identifies resources for energy-saving programs, and
evaluates & implements energy efficiency measures, is a key
stakeholder in the process (Ates and Durakbasa, 2012). Although,
SMEs find it difficult to create a dedicated energy manager position
(Kannan and Boie, 2003); their problem can be tackled by making
energy manager a part-time role, handled by the ‘production or
facilities manager’ (CarbonTrust, 2011).
Literature also brought to light the importance of energy audits
by way of specific case illustrations (Klugman et al., 2009) and
empirical surveys on SMEs in both developing and developed
countries (Cagno and Trianni, 2013). Bunse et al. (2011) highlighted
the need for diverse energy-related key performance indicators
 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293
(KPIs) such as physical, economic, thermodynamic and hybrid KPIs
because of the variety and complexity of different industrial pro-
cesses. Additionally, the literature presents process-based bench-
marking (Ke et al., 2013) employing specific energy consumption
(SEC) and energy intensity index (Stawicki et al., 2010) as an
effective tool for setting energy performance targets. This was also
validated through empirical studies.
For result-orientation, a strategic action plan for achieving
energy-specific targets is one of the key elements of EnMS imple-
mentation (Peterson and Belt, 2009). Additionally, it is also critical
to economically evaluate the potential ESAs, considering both en-
ergy and non-energy benefits including pollution prevention and
waste reduction (Pye and McKane, 2000) using criteria such as pay-
off for a span of three years or less (Thollander and Ottosson, 2010).
2.2.2. Doing (implement and operationalize)
For a successful EnMS implementation in SMEs, it is vital to
spread energy conservation awareness, train/educate people at all
levels, keep the staff motivated, have the internal communication
channels open, and appropriately track and document the process,
guidelines and progress of ESA implementation (CarbonTrust,
2011).
Results of empirical studies on energy-intensive SMEs also
highlighted top management support, awareness of energy-
conservation, and internal trainings as the internal factors influ-
encing enterprise-wide participation in ESAs. For instance, Liu et al.
(2012), in a study on Chinese SMEs, established that energy effi-
ciency improvement is closely related to the employees' learning
capacity for practicing ESAs. At the sectorial level, economic in-
centives, such as financial subsidies, boost the involvement of SMEs
in the EnMS implementation (Suk et al., 2013). Addressing the
element of internal communication in EnMS, Peterson and Belt
(2009) emphasized that enterprise culture plays a vital role in the
choice of communication tools including memos, monthly news-
letters and meetings, and internal websites. However, it was also
noted that 45% of Danish enterprises communicate the energy-
related information by means of passive channels such as notice
boards (Christoffersen et al., 2006).
2.3. Checking (monitor and evaluate)
Energy guides reinforced the need for periodic monitoring,
analysis and reporting of energy KPIs (Energy Star, 2013). A con-
stant analysis of data on energy indicators allows the decision
makers to judge the performance of current ESAs and identify new
energy-saving opportunities (Bunse et al., 2011). However, Dobes
(2013) argued that, quite often, even organizations with advanced
management systems do not monitor energy efficiency at the
process level. Based on the case studies of Czech companies, they
showed that accurate feedback of energy efficiency performance
makes people accountable for implementing the efficiency mea-
sures. On the other hand, inaccurate allocation of energy costs
discourages energy management activities in the SMEs (Thollander
and Ottosson, 2010). The authors suggested sub-metering at the
facility level for better monitoring and accurate energy cost allo-
cations. Emphasizing the significance of energy performance
reporting, Abdelaziz et al. (2011) highlighted that periodic report-
ing of energy usage and related energy costs to senior management
ensures a performance-related feedback loop.
2.4. Acting (ensure continual improvement)
Most of the energy management literature reiterated the need
for management reviews and follow-up audits for periodic identi-
fication (ensuring continuous improvement) of potential energy
279
optimization opportunities (Energy Star, 2013). For the regular re-
view of energy usage and thus, continuous identification of energy-
saving opportunities, application of internal energy audits and
management reviews is instrumental (Shen et al., 2012). In German
bakery case, Kannan and Boie (2013) demonstrated the energy
audit process in the bakery, ensuring a 6.5% reduction in the energy
usage. Furthermore, depending upon the scale of implementation,
the enterprise can choose the appropriate auditing process, which
either could be a preliminary audit (walk-through audit), a general
audit, or a detailed audit (Abdelaziz et al., 2011).
The review indicated that the ESAs differ in terms of their
completeness and depth across the energy management literature.
Although, most energy guides provide detailed description of the
energy management practices, specific cases and empirical studies
reveal that SMEs are not conducting the same activities as pre-
scribed in the guides (Table 1). Most importantly, no guide or study
explored how to imbibe energy management into the everyday
activities of SMEs.
3. Methodology
The methodology adopted to conceptualize an EnMS for the
energy-intensive SMEs was hypothetical-deductive (Gill and
Johnson, 2002). The hypothesis formulated for this study was -
“energy management in SMEs can be supported by the proposed
EnMS”. For conceptualizing the EnMS, a systematic review of
literature on the ESAs was employed as the research method
(Denyer and Tranfield, 2009). The review explored the predomi-
nant themes of energy management practices in the SMEs oper-
ating across developing and developed countries. Later, the themes
were integrated with the four-step PDCA cycle to create the EnMS
(Fig. 1). The proposed EnMS was then validated via a case from an
Indian small-scale paper mill (Yin, 1994). Since, only a few docu-
mented cases exist on systematic energy management in SMEs
(Prosanto et al., 2008; Kannan and Boie, 2003), a single case study
design was found appropriate for describing the EnMS imple-
mentation process (Yin, 1994). Despite the limitations of the study
by its design, it is fair to assume that the study is representative of
the papermaking industry. In fact, the case is revelatory of the
energy management practices at energy-intensive SMEs.
4. Illustrative case
This section describes the deployment of the proposed PDCA
based EnMS in a small-sized Indian paper mill. The case exhibited
the ramp of continuous improvement in the energy efficiency at the
mill by illustrating two PDCA cycles. The paper mill was producing
11,000e12,000 tpa of paperboard from non-deinked pulp, which, in
turn, was made from recycled fiber (RCF). The mill had four PMs
and it employed 200 employees. The total energy consumption
(including steam and power) of the mill was 69.5 Gigajoule per
tonne or GJ/t, which was much higher, according to the energy
consumption norms for RCF based mills in India (CPPRI 2015). The
energy cost at the mill accounted for almost 18% of its total running
cost. Driven by the immense cost pressures and inability to comply
with environmental norms, the owner of the mill initiated an
energy-saving program. In order to evaluate the proposed EnMS
and, simultaneously, support energy-saving program of the enter-
prise, the proposed energy management framework was deployed
at the mill. The results of implementation are discussed in the
following sub-sections.
4.1. First PDCA cycle: plan (prepare and strategize)
The EnMS implementation at the mill was set out with the
280 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293

Table 1
Mapping of ESAs in SMEs (ESAs in practice indicated by empirical studies and cases on SMEs).

Energy-saving activities Minimum requirements for ESAs in practice indicated by empirical

establishing and operating an EnMS studies and cases on SMEs
as per energy guides

SEI, CarbonTrust, Energy Star, Liu et al., Suk et al., Kannan and Boie,
2008 2011 2013 2012 2013 2003

PLAN
Ensure management commitment C C C C C

Create energy management roles C C C B

Understand current energy use (energy audit) C C C C C C

Establish energy strategy/policy C C C C B

Define energy performance indicators B C C B C

Benchmark energy performance B C B

Create action plan prioritizing ESAs C C C B C

Evaluate technical and economic feasibility of ESAs B C C B B

DO
Effective Internal communication C C C B

Staff motivation (rewards) B C C C C B

Trainings on energy-saving C C B C C B
Documentation and record control C C B B B B
CHECK
Monitor and analyze key performance indicators B C C B

Periodic reporting of energy performance C C B C

ACT
Regular (annual) energy audits and management review for identification of new B C C C
energy-saving opportunities

C considered; partially considered; B not considered.

initiation activities of gaining management commitment and
establishing energy management function.
4.1.1. Ensure top management commitment and create energy
management roles
A firm commitment of the top management was indispensable
for the success of EnMS implementation at the mill (Blass et al.,
2014). At this stage, decision on the location of energy manage-
ment function in the mill's organization structure was critical for its
overall integration with mill's processes (Martin et al., 2012). In the
past, energy-saving was treated as a technical activity and the
maintenance division at the mill, coordinated it on the need basis.
In order to recognize it as a managerial activity, the mill owner
agreed to introduce ‘Energy Management’ as a formal function in
the organization structure (Energy Star, 2013). The responsibility of
energy management was brought under Production Manager, to
facilitate communication with management and to help in ESA
implementation demanding production system modifications
(Fig. 2). Considering the resource constraints, the mill supervisor (a
technically qualified person) was assigned an additional charge of
the ‘Energy Coordinator’ for assisting the Production Manager in
identifying energy-saving opportunities, developing action plan
and monitoring progress. The energy coordinator supervised a
team (designated as ‘Energy Team’) of four part-time members
from the departments of administration, quality, maintenance, and
purchase for collection and documentation of energy consumption
data in their respective departments.
4.1.2. Energy auditing
To understand the current energy usage patterns and identify
the potential energy-saving opportunities (energy projects) at the
mill, the energy team conducted an ‘Energy Audit’ (Shen et al.,
2012) between August 1, 2015 and October 31, 2015, employing
the methodology prescribed by Bureau of energy efficiency (BEE), a
statutory agency for energy conservation operating under Ministry
of Power, Government of India (GOI) (BEE, 2010). Mill's energy bills,
meter readings (for electricity, steam, compressed air, and water
metering systems) site drawings, discussion with mill operators,
and field measurements were used as data sources.
Considering the fact that PMs were the major energy consumers
in the paper mill, TAPPI (The Technical Association of the Pulp and
Paper Industry) TIP (Technical Information Paper) 0404-63 (TAPPI,
2011) was used for benchmarking energy performance among
similar PMs (Reese, 2012). Specific Energy Consumption or SEC (the
ratio between total energy used and total paper produced) was
used as the KPI (Stawicki et al., 2010).
The audit revealed that energy cost in the mill was USD 104/t of
paperboard which was approximately 18% of the cost of production
(USD 585.7/t). The total SEC of the RCF based mill was 30.12 GJ/t of
paperboard produced (out of which 7.55 GJ/t was internally
generated and rest was purchased) including thermal energy (fuel
and steam) SEC of 24.77 GJ/t, and electricity SEC of 1487 kW-h/
tonne (kWh/t). The electricity SEC of 4 PM at the mill varied from
646 to 937 kWh/t, which was much higher than the international
benchmark from 150 to 500 kWh/t for the paperboard. Further, the
specific steam consumption of these PMs ranged from 6.72 to
7.84 t/t against TAPPI's standard of 3.75 t/t (Reese, 2012). The team
identified some of the obvious PM energy saving opportunities
(low-hanging fruits) for further investigation as a part of the audit
(Table 2).
Regarding the vacuum system opportunities, the audit revealed
that PM4 had high energy consumption of its vacuum system
(246 kWh/t), against an internal benchmark of 143 kWh/t (based on
the SEC trend for all PMs) (Fig. 3). Therefore, the team selected
 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293
Fig. 1. Integrated energy management system for SMEs.
vacuum system optimization of PM4 as the first energy project and
set a project target of 30% reduction in energy consumption of the
vacuum system of PM4.
4.1.3. Identification of ESAs and development of action plan
In order to explore the potential ESAs in PM4, the team prepared
a schematic diagram of the vacuum distribution (Fig. 4).
PM4 used five vacuum pumps for dewatering the paper stock. In
the wire section, these pumps maintained varying vacuum levels
across the wire (vacuum) boxes and couch rolls to remove bulk of
water. Then, the suction press used vacuum to transfer the paper
stock from the wire section to the press section. In the pressing
section, two Uhle boxes extracted the contaminations accumulated
by the pressed paper stock.
The team brainstormed and categorized the potential causes of
high SEC of the vacuum system in PM4 (Fig. 5).
Having analyzed the potential causes, the team identified the
following ESAs to optimize the vacuum system.
4.1.3.1. ESA1: Improve efficiency of vacuum pumps. The average
vacuum pump efficiency during the audit period was less than 50%
(Table 3).
To improve the efficiency of vacuum pumps, the team planned
281
some vacuum system modifications.
4.1.3.2. ESA2: Right connection of application points and pumps.
The connection of the vacuum pumps with vacuum application
points was incorrect leading to inappropriate vacuum levels at
these points (Table 4).
To meet the specified vacuum levels, the team planned to
optimize the vacuum distribution by working on the combinations
of pumps and application points in PM4.
4.1.3.3. ESA3: Redesign the pre-separator and after-separator system
of the vacuum pumps. In the pre-separator system, the absence of a
water level control loop of water extraction pump was leading to a
vacuum leakage from the pump delivery. Further, the height of loop
(7 m) was adding to the energy consumption of the vacuum pump
due to high discharge losses (Fig. 6). Similarly, in the after-separator
system, the vent height (10m) was leading to a high level of back-
pressure (Fig. 7).
After identifying the relevant ESAs, a detailed action plan was
prepared to ensure their systematic implementation. It was pre-
pared by the energy manager based on the opinions of the mill
owner, the managers, and the employees responsible for the
implementation of ESAs. The plan established the energy saving
282 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293

Fig. 2. Organization structure with energy management function at the mill.

Table 2
Energy saving opportunities.

Energy-saving opportunity/Energy projects Objective

Vacuum system opportunities
Steam and condensate system opportunities
Press optimization
Water use reduction
Heat recovery opportunities
Optimize vacuum system requirements for dewatering the paper stock.
Improve steam and condensate system efficiency in steam distribution, and condensate removal in the dryer section
Optimize water removal in the press section
Reduce the consumption of water in papermaking
Increase the amount of recovered heat from mill's effluents

Fig. 3. SEC of PMs and their vacuum systems.

targets, performance indicators, appropriate ESAs, implementation (Table 5). This plan acted as a living document that was regularly
timeframes and persons responsible (Peterson and Belt, 2009) updated to reflect the changing priorities of the ESA
 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293
Fig. 4. Schematic diagram of vacuum distribution.
implementation (Energy Star, 2013).
4.2. Do (implement and operationalize)
Before ESA implementation, the energy team worked on
building competence, awareness and communication for ensuring
successful EnMS deployment and its sustainability. Documentation
of core elements of the EnMS was developed for system mainte-
nance (SEI, 2008).
4.2.1. Building competence, communication and awareness
An internal communication was drafted to inform the em-
ployees of the progress in the implementation of ESAs and to
encourage them to share suggestions on energy improvement. This
plan drafted by the energy team included a multi-channel
dissemination of energy information among key stakeholders
(Table 6).
It was imperative that employees implementing the action plan
have the right skills and competencies (SEI, 2008). In the mill, the
divisional representatives in the energy team trained people in
their respective division. Training scope varied with attendees' job
function; for instance, general energy awareness training was
conducted for all mill employees; and an energy data monitoring
and analysis training was conducted for the maintenance and
administrative staff (Table 7).
283
4.2.2. Implementation of ESAs
After building enterprise-wide competence, communication,
and awareness, the team implemented the action plan. Except for
ESA 3 (redesign of pre and post separator), the rest of the activities
(ESA 1, 2 & 4) were low cost, and thus, were implemented first.
Given below are the modifications done by virtue of ESA
implementation:
ESA1: PM4 had five vacuum pumps operating at 44% to 60%
efficiency. To improve the vacuum efficiency, the team made some
system modifications:
 Corrected axial play of all vacuum pumps (maximum limit of
2e2.5 mm specified in the PM design)
 Provided orifices at the vacuum pumps and sealing water line to
control the flow of water.
 Did complete overhauling of all vacuum pumps.
ESA2: As the actual vacuum levels at vacuum application points
in PM4 were not as per the specifications (as per TAPPI guidelines),
actions taken were:
 Applications requiring same vacuum level were grouped
together (flat boxes & uhle boxes both at 250 mm Hg connected
with vacuum pump 1).
 Rotation frequency (rpm) of vacuum pumps increased to bring
up their capacity (rpm of vacuum pump1 proposed to increase
from 400 to 500).
284 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293

Fig. 5. Cause and effect diagram for higher SEC at PM4 vacuum system.

Table 3
Vacuum pump efficiency.

Pump Number Designed Shut off vacuum level (mm Hg) Actual Shut off vacuum level (mm Hg) Efficiency (%)

Vacuum pump 1 450 200 44.4

Vacuum pump 2 500 220 44.0
Vacuum pump 3 550 250 45.4
Vacuum pump 4 500 270 54.0
Vacuum pump 5 500 300 60.0

Table 4
Vacuum levels at application points.

Vacuum application points Vacuum level (mm Hg) Connected vacuum pump number

TAPPI guidelines Actual

Wire Boxes 254 180 2

Couch roll 508 270 3
Suction press 508 280 4
Uhle boxes 254 250e320 5

ESA3: A modified pre-separation and after-separation system
was installed (Fig. 8). Modifications involved were:
 Removal of high rise loop from pre-separators
 Installation of pre-separator at barometric height to confirm
total water removal without the need of an extraction pump.
 Removal of vent line and common header from the after-sepa-
rator’s discharge.
 Increase the size of after-separator's vent and water discharge
pipe-line.
ESA4: The piping layout was simplified after removing multiple
connections and matching the pipe-sizes with those of the inlet
and outlet nozzles (Fig. 9).
The team maintained a record of actual cost and time of
implementation of each of the ESAs, which was later documented
in the energy-saving register (Table 9). A detailed description of
team learnings during the implementation process was also
documented.
4.2.3. Documentation
Documentation of the key elements of an EnMS serves as a
permanent reference to the implementation and maintenance of
the system (CarbonTrust, 2011). In case of the mill, the energy
management team set up a system of identification, storage,
retrieval and retention of EnMS documents in form of an ‘Energy
Management Manual’. This manual was a systematic compilation of
the EnMS documents such as energy audit report, organization
 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293
Fig. 6. Pre-separator system.
structure with respect to energy management (current position
holders), energy training schedules, and details of energy projects
(completed and on-going) (Table 8). To keep the manual up-to-
date, the documents were reviewed, revised and approved on a
regular basis. The current released version of the manual was made
available to all divisional managers for reference.
4.3. Check (monitoring and evaluation)
Periodic monitoring and evaluation of energy performance in-
dicators is critical to the success of EnMS (Bunse et al., 2011). For the
mill, the energy manager maintained an energy-saving register for
recording the performance of implemented ESAs against their
saving potential (Table 9). A periodic monitoring process was
introduced, ensuring a monthly reporting of the facility-wide en-
ergy consumption, and daily monitoring of energy consumption
and weekly analysis of SEC for major energy consumers (vacuum
pumps and system).
Review reports indicated improved vacuum levels at various
application points of PM4 (Fig. 10).
The implementation of ESAs resulted in a 35% reduction in SEC
of vacuum system producing an energy-saving of 3323 GJ/t (USD
64,610 @ USD 0.07/kWh) with an investment of USD 7070 (Fig. 11).
4.4. Act (ensure continuous improvement)
A periodic review of suitability and effectiveness of EnMS by the
senior management is crucial for the continuous improvement of
energy efficiency (Abdelaziz et al., 2011). In the case of the paper
mill, a biannual management audit, driven by the mill owner and
285
the production manager, was proposed to assess the current state
of EnMS. Its scope included evaluating the progress of ESA imple-
mentation, energy KPIs, and energy-saving targets. Apart from
assessing the current state of EnMS, the review was also expected
to identify new energy-saving projects, thereby (possibly) trig-
gering the next PDCA improvement cycle. Therefore, based on the
review results, the action plan was revised to ensure the effec-
tiveness of EnMS in meeting the evolving energy needs of the
enterprise.
After the success of first PDCA cycle, the other energy saving
opportunities (Table 2) were examined during the next biannual
audit. This triggered the next improvement cycle for the optimi-
zation of steam consumption in the dryer section of the PMs
(Fig. 12).
The internal audit indicated that SEC of steam and condensate
system in the PMs at the mill was ranging from 6.69 to 7.84 tonne of
steam per tonne of paper produced (t/t), which was substantially
higher than the international benchmark (3.15 t/t) (Reese, 2012). At
7.84 t/t, the steam consumption for PM1 was the highest (Fig. 13).
With management's approval, the energy team started identi-
fying ESAs to optimize the steam and condensate system. The next
section briefly describes the next PDCA cycle for energy optimiza-
tion at the mill.
4.4.1. Second PDCA cycle for steam system optimization
Based on the analysis of steam flow in PM1 (Fig. 14), the team
brainstormed the potential causes of high specific steam con-
sumption in PM1 (Fig. 15).
Upon testing the potential causes of high SEC, the ESAs, role &
responsibilities, the timeframe, and the estimated costs and savings
286 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293

Fig. 7. After-separator system.

Table 5
Action plan for vacuum system optimization.

Energy-saving opportunity Vacuum system optimization of PM4

Target
Performance indicator
Required investment
Value of savings
Energy-saving activities
Time frame
Division & person responsible 1. Production & Energy Team
Provision of expenditures
Loss of work/production
To reduce the energy consumption for vacuum system of PM4 by 30% in three months (SeptembereNovember, 2015)
Specific Energy Consumption or SEC (energy consumption per tonne of paper produced measured in GJ/t)
USD 7,070
USD 64,610
1. Modifications in the vacuum pump
2. Operational changes in the vacuum distribution
3. Modification in the design of the pre-separator and after-separator system
4. Modification of piping layout and the size of pipeline
1. Until September, 2015
2. Until October, 2015
3. Until October, 2015
4. Until November, 2015
2. Maintenance & Energy Team
3. Maintenance & Energy Team
4. Production & Energy Team
- Low-cost ESAs (redesign of pre and after-separator system and removal of the vent line) financed from the maintenance budget, and
- High cost ESAs (installation of modified piping design and layout) funded by the mill owner
No

were documented into the action plan (Table 10).
The selected ESAs were implemented while driving the neces-
sary internal communication, awareness and competence ramp-up
by using the established system. The energy management register
recorded a 15.5% reduction in steam consumption from 7.84 t/t
(December 2015) to 6.64 t/t (March 2016) for PM1. This resulted in a
cost saving of USD 26,900 @ USD 7.65/t of steam.
Thus, the case illustrated continuous improvement cycles of
PDCA based integrated EnMS for reaching closer to the goal of
energy efficiency and cleaner production in the SMEs.
5. Discussion
Review of energy literature (Table 1) revealed that SMEs do not
 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293 287

Table 6
Internal communication plan.

Purpose Audience(s) Messages Channels Methods

To ensure management commitment Executive Implementation of ESAs is reducing cost pressures due to One-to-one monthly Energy reports,
and financial support management (mill rising energy prices, and facilitating in legal compliance.
meetings, and program summary
owner) presentations
To build support in creating energy- Key managers and EnMS implementation can help divisions in achieving their Bimonthly meetings, Program
saving opportunities for expanding their divisions goals. presentations summary,
EnMS replication plan
To encourage participation by Mill employees Energy efficient practices can enhance productivity and Regular briefings videos, posters,
demonstrating energy-savings improve working conditions. memos, circulars

Table 7
Energy training schedule.

Purpose/Content Instructor (Representative from Energy Team) Target audience Duration (h)

EnMS Awareness Training In-charge (Administration)  All mill personnel 2

 Benefits of energy efficiency for the environment, and the company  Divisional managers
 Impact of individual activities on energy consumption  Energy management team
 Standards and regulations for energy management
 Energy saving targets and objectives
 Tasks, responsibilities and competencies required for energy management
Energy Audit Training: In-charge (Production)  Divisional managers 4
 Energy fundamentals  Energy management team
 Monitoring energy use
 Heating and consumption
ESA identification and implementation training In-charge (Maintenance)  Divisional managers 4
 Measures of energy conservation  Maintenance staff
 Evaluation of energy scorecards of paper machines  Energy management team
 Identification of energy-saving options
 ESA Implementation

Fig. 8. Modified pre-separator and after-separator system.

effectively follow the ESAs prescribed by energy guides and energy
management standards owing to the scarcity of resources and
willingness and therefore, witness high energy costs. With the aim
to help SMEs overcome these barriers, the present study concep-
tualized a comprehensive yet easy to implement EnMS by orga-
nizing the ESAs, which are critical to energy intensive SMEs, into a
proven four-step PDCA cycle of continuous improvement. Such a
system is important to close the energy efficiency gaps in SMEs by
linking energy-saving targets to strategy, establishing re-
sponsibility and accountability, and setting performance indicators
for periodic reporting of the energy performance of the enterprise.
Fig. 1 shows the EnMS conceptualized by integrating technical and
288 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293

Fig. 9. Modified piping layout.

Table 8
List of EnMS documents compiled in energy management manual.

EnMS Document Necessary records

Energy audit report Audit procedure, energy KPIs, benchmarks, schematic diagrams illustrating energy flows, process maps, audit results, list of
significant energy consumers
Action plan Energy-saving opportunities, corrective or preventive measures, role & responsibilities, timeframe, budget
Energy projects Energy objectives & targets, project boundaries, timeline
ESA Implementation status report Actions taken for ESA implementation, Team learning
Organization structure (with reference Names of current position holders (energy manager, energy coordinator, energy management team), duties of job holders
to EnMS)
Communication plan Purpose, channels and methods of internal communication
Competence/training/awareness Training need identification, training schedule, list of participants, duration
Management review Review procedure, frequency, review report, new energy-saving opportunities

Table 9
Energy-saving register

ESAs Energy Saving (GJ) Investment (USD) Final Impact Timeline

Estimated Actual Estimated Actual Estimated Actual Planned Actual

Piping layout and pipe-line size modification 2117 2115 4430 4500 41,159 41,124 2015-09-25 2015-09-30
Pre and after separator system design modification 1037 1,055 2,310 2,245 20,160 20,516 2015-09-30 2015-10-03
Operational changes in vacuum distribution 82 82 173 175 1,586 1599 2015-10-02 2015-10-05
Vacuum pump modifications 70 70 156 150 1355 1371 2015-10-04 2015-10-05
Total energy saved 3323 GJ/t
USD 64,610 @ USD 0.07/kWh

managerial ESAs into a four-step PDCA cycle.
The proposed energy management framework intended not
only to encourage the implementation of ESAs in SMEs but also to
continuously maintain them, unlike in the past when they got
neglected in the absence of a feedback loop and the resource
constraints. Unlike the energy guides (Energy Star, 2013;
CarbonTrust, 2011), which promoted the best energy manage-
ment practices across small, medium and large enterprises, the
proposed framework aimed at building the key elements (such as
creation of energy management roles, definition and monitoring of
KPIs and periodic review of energy performance) crucial of the
success for an energy management program meant for SMEs.
Further, in contrast to the standalone energy efficiency technolo-
gies or quantitative modeling based energy optimization
techniques, the framework offered a strategic approach to energy
management for energy-intensive enterprises, and, thus, ensured
executive management commitment right from the very
beginning.
The effectiveness of the proposed EnMS got validated when the
mill under study recorded a 35% reduction in SEC of vacuum system
(Figs. 10 and 11) after ESA implementation, which translated into an
annual energy-saving of 3323 GJ/t. Additionally, a follow-up cycle
of improvement (Fig. 12) not only demonstrated a ramp of
continuous improvement (15.5% reduction in steam consumption,
and a cost saving of USD 26,900) but also reinforced the very
premise that a strategic approach of ESA implementation is more
effective than arbitrarily following standalone energy efficiency
technologies and techniques. The illustration of substantial energy-
 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293 289

Fig. 10. Vacuum levels at application points (before and after implementation of ESAs).

savings by way of two cycles is more likely build confidence among

Fig. 11. Reduction in SEC of vacuum system of PM.
the target audience in adopting the proposed EnMS.
In sum, the study illustrated that in the SMEs for which energy
as the major part of the total cost, energy-saving efforts needed to
be integrated with the strategic management for continuous opti-
mization of energy consumption. Although the framework, in
general, is applicable for the energy management of SMEs oper-
ating in other energy-intensive industries as well (such as
foundries, cement, and textile), the nature of energy-saving op-
portunities and associated ESAs are bound to be different. In fact, as
illustrated in the case, the ESAs could be different for two different
cycles of improvement in the same enterprise. Nonetheless, for
enterprises similar to paper mills, emerging energy-efficient tech-
nologies (Hasanbeigi and Price, 2012) and quantitative modeling
based process and heat integration techniques (Marshman et al.,
2010) also offered significant energy-saving opportunities to be
integrated into the PDCA process approach for continuous reduc-
tion in energy consumption.

Fig. 12. PDCA ramp of continuous improvement.

290 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293

Fig. 13. Steam consumption of paper machines (t/t of paper produced).

Fig. 14. Schematic diagram of steam flow in PM1.

6. Conclusion to energy optimization in the energy-intensive SMEs are prescrip-

tive in nature, and lack a strategic orientation towards energy
The review of literature revealed that the prevailing approaches management (Posch et al., 2015). To fill this gap, this study
 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293 291

Fig. 15. Cause and effect diagram for higher SEC of steam system at PM1.

Table 10
Action plan for steam and condensate system optimization

Energy-saving opportunity Steam and condensate system optimization of PM1

Target To reduce the SEC of the steam system of PM1 by 15% in three months
(JanuaryeMarch, 2016)
Performance indicator Specific Steam Consumption
(measured in t/t)
Required investment USD 6970
Value of savings USD 26,900
Energy-saving activities 1. Replace the stationary siphons in all dryers with high-speed shoe type rotating siphons (for reducing condensate accumulate in the
dryers)
2. Replace leaking traps (for minimizing steam wastage due to leakages)
3. Regular inspection of rotary joint seal (for minimizing steam wastage due to ineffective insulation)
4. Installation of steam trap based system (for reducing flash steam loss)
Time frame 1. Until January, 2016
2. Until February, 2016
3. Until February, 2016
4. Until March, 2016
Division & person 1. Maintenance & Energy team
responsible 2. Maintenance & Energy team
3. Production & Energy team
4. Maintenance & Energy team
Provision of expenditures Low-cost ESAs financed from the maintenance budget and high cost ESAs funded by the mill owner
Loss of work/production No

conceptualized a cyclic (PDCA) process based EnMS for the SMEs by
integrating ESAs recommended in the energy literature. The pro-
posed framework encouraged a continuous investigation of
energy-saving opportunities and associated ESAs, thus, enabling a
process based approach towards energy optimization. The paper
mill case illustrated the successful deployment of the framework
while building a ramp of successive improvement cycles through
energy-saving projects. It was found that the mill achieved signif-
icant reduction in the energy consumption of vacuum distribution,
and steam and condensate system of PMs after the completion of
two PDCA cycles.
In terms of research implications for practitioners in industry,
the energy literature review represented a beneficial knowledge
base for exploring the energy optimization approaches and
emerging energy efficiency technologies to improve their energy
management. Additionally, the study offered a generic framework
for energy management, applicable to various industries in varied
contexts. Although the nature of ESAs would vary for different in-
dustries, the framework illustrated the linkage of energy issues
with strategic management for continuous reduction of energy
costs. Practitioners in the pulp and paper industry should explore
the possibility, and impacts of integrating the emerging energy-
efficient technologies for identifying energy-saving opportunities
with the proposed framework. Application of some of the emerging
292 A. Prashar / Journal of Cleaner Production 145 (2017) 277e293
forming technologies such as Aq-vane (Soderberg, 2006), high
consistency forming (Martin et al., 2000b) and dry-sheet forming
(Xu et al., 2010) offers energy saving opportunities in dewatering,
vacuum and drying system in the PM. Additionally, use of high
efficiency drying technologies such as Gas-fired dryers
(Chudnovsky, 2011), Boost dryer (Karner and Herzog, 2008), Con-
debelt dryer (Martin et al., 2000a), and microwave drying tech-
nology (Sander et al., 2003) in place of traditional steam-heated
dryers enhance the performance of dryer system in a PM.
Future research is also suggested on adoption of Process Inte-
gration (PI) methodologies (known as Pinch Analysis or Heat
integration) for process design for enhancing mill efficiency and
making processes cleaner and sustainable (El-Halwagi, 1997; Dunn
and Bush, 2001). Employment of hybrid methods combining pinch
analysis and mathematical programming should be explored for
heat integration of chemical processes in paper mills (Manan et al.,
2009). SMEs should also explore the possibility of using byproduct
utilization technologies such as integrated biorefineries, for
increased profitability and overall energy efficiency (Moshkelani
et al., 2015).
For academics, this study unlocked some interesting opportu-
nities for future research in the field of energy management, spe-
cifically in the context of SMEs. The existing studies in this field
were dominated by technical perspective and ignored examination
of specific mechanisms for achieving energy-related objectives
through strategy implementation. Therefore, the strategic dimen-
sion of energy management should be a key focus area in the future
research. It could also be noted that the existing studies are largely
conceptual in nature, and lack empirical evidences for supporting
causal relationships. In that direction, future research should
consider broader set of research methods for exploring the impact
of energy management practices on the economic performance.
Enterprise-level longitudinal studies should be considered for
studying the long-term effects of ESAs on environmental and eco-
nomic performance of the enterprise.
Finally, since the present study validated the proposed EnMS
based on a single case of an energy-intensive SME, the further
research should naturally attempt to increase the validity of the
framework. As such, more case studies of energy-intensive enter-
prises, particularly multiple case studies with cross-case analyses
will help identify the obstacles in establishing a strategic orienta-
tion to energy management in the SMEs.
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