Applied Energy 255 (2019) 113522

Contents lists available at ScienceDirect

Applied Energy
journal homepage: www.elsevier.com/locate/apenergy

Thermochromic smart window technologies for building application: A T

review
Marina Aburasa,b,c, , Veronica Soebartoa, Terence Williamsona, Runqi Liangc,
⁎

Heike Ebendorff-Heidepriemb, Yupeng Wuc,

⁎

a
School of Architecture and Built Environment, University of Adelaide, Adelaide, South Australia 5005, Australia
b
Institute for Photonics and Advanced Sensing and School of Physical Sciences, University of Adelaide, Adelaide, South Australia 5005, Australia
c
Department of Architecture and Built Environment, Faculty of Engineering, The University of Nottingham, University Park, Nottingham NG7 2RD, UK

HIGHLIGHTS

• Introducing smart window technologies and thermochromic glazing.

• Materials developed for use as thermochromic glazing.
• Simulation tools used for performance evaluation.
• Evaluation of building energy saving through experiments and simulation.

ARTICLE INFO ABSTRACT

Keywords: Thermochromic window technologies promise pioneering architectural windows with energy-saving capabilities
Building performance through the intelligent regulation of indoor solar irradiation and modulation of window optical properties in
Smart windows response to real-time temperature. Thermochromic glazing has been thoroughly advanced from a materials
Thermochromic perspective, with many kinds of thermochromic coating techniques developed thus far, however, a far smaller
Visual comfort
body of work exists to investigate how these kinds of glazing would perform within buildings. This paper pre-
Daylight
Energy efficiency
sents a systematic review of these thermochromic films, coatings and glazings that have been used to analyse
primarily energy saving capability in buildings, using computer simulation as well as full-scale models. Research
from 2009 to 2019 was obtained from architecture and engineering databases, identifying window types
modelled, energy savings found, and comfort analyses conducted. Thermochromic windows were reported to
have the potential to save heating and cooling energy demand from 5.0 to 84.7%, in comparison to plain glass
and dependent on climatic conditions. Differences in energy saving capability were analysed based on location
and glazing type. Thermochromic window energy performance was found to vary significantly between different
cities using the same film type (up to 73.4%), but far less so between different films types used in the same city
(up to 21.6%). Few studies were shown to have explored thermochromic windows from a visual and thermal
comfort performance perspective. This paper highlights areas of guidance for future studies of thermochromic
glazing for energy-efficient building applications to better forecast energy saving performance of thermochromic
windows for real building application.

1. Introduction
Modern day high-rise buildings’ envelopes have embedded within
them approximately 25% of the overall project cost [1]. Glazed units
are an essential part of buildings’ envelopes and glazed roof composi-
tions, providing views, natural light and solar heat into a building’s
interior space [2]. In comparison with other building components, the
thermal performance of glazed units is far poorer, and about 50% of the
total energy consumption within buildings occurs through heat loss or
gain via their windows, with this gain or loss increasing significantly
over the last decades [3], due to an increasing preference of fully-glazed
buildings. Though the thermal conductivity of glass is of the same order

⁎
Corresponding authors at: Department of Architecture and Built Environment, Faculty of Engineering, The University of Nottingham, University Park, Nottingham
NG7 2RD, UK.
E-mail addresses: marina.aburas@gmail.com (M. Aburas), yupeng.wu@nottingham.ac.uk (Y. Wu).

https://doi.org/10.1016/j.apenergy.2019.113522
Received 2 April 2019; Received in revised form 25 June 2019; Accepted 9 July 2019
0306-2619/ © 2019 Published by Elsevier Ltd.
M. Aburas, et al.
Nomenclature
TC thermochromic
Tvis visible transmittance
αs solar absorptivity
ε emissivity
Tc transition temperature
SI Smart Index
ESE Energy Saving Equivalent
NFRC National Fenestration Rating Council
COP Coefficient of Performance
of magnitude as that of brick or concrete [4,5], the relative thickness of
windows to walls in buildings results in a much larger temperature
gradient for windows than for walls, and hence a much larger amount
of heat transfer. As a result of the significance glazed units play in al-
tering the energy demand of buildings, improving their performance is
central to and has attracted much attention within the building energy
saving technology area [2,6].
In high-rise internal load dominated buildings, that is buildings with
a high number of occupants and internal loads from lighting and
equipment, the critical problem is minimizing solar heat gain during
cooling required seasons [7]. This is because the building already
generates internal heat, thus solar heat gain is, more often than not,
undesired [8]. Numerous strategies and technologies exist to reduce
heat gains and losses [9]. Using shading devices is an effective solution
to reduce the solar radiation entering the building, which can in turn
reduce the need for cooling [10]. When solar heat gain is useful,
however, such as in winter, having shading devices may be undesirable
as these devices minimize solar heat gain unless they are designed
appropriately to allow solar radiation to enter the building. In addition
to this, cleaning and maintenance of these devices tends to be costlier
than simply using glazing alone for a building façade [11].
Recently, a number of innovative fenestrations for building appli-
cations have arisen [12], and one which holds particular promise and
has seen an increase in research activity worldwide, is the field of
chromogenic, switchable materials for smart windows. Smart switch-
able windows are characterised by their ability to transmit and reflect
light intelligently and can consequently minimize both heat gain and
loss through the building envelope [13]. These kinds of glass are cap-
able of responding to their external environment adaptively in a way
that regulates internal conditions [14]. Strategies of this type of glazing
include gasochromic, electrochromic, photochromic and thermo-
chromic glazing technologies. The prior two types can be classified as
active smart glazing technologies, and they benefit from the ability of
being controllable by an occupant with the ability to accommodate for
their needs. The latter two types are categorised as passive smart
glazing technologies, which are able to respond to varying environ-
mental conditions in real-time, without the need for extra power to
operate [15,16]. Thermochromic (TC) windows are a type of passive
smart window which respond to the intensity of heat by tinting the
window. Thermochromic windows have historically had their limita-
tions, including low visible transmittance, high transition temperature
and limited solar modulation capability [17], but research in this area
has continued in an effort to overcome these limitations [18] and place
thermochromic windows on the market [19]. The advantage of ther-
mochromic windows over other types of innovative fenestration are
numerous. They can be used as a passive design strategy to maintain
visible light transmittance whilst modulating NIR transmittance [18],
are easy to manufacture, with only a single layer coating required in
comparison to multiple for electrochromic windows [20,21], and are
relatively low in cost in comparison with their more complex smart
window system counterparts [22]. By way of illustration, it was found
that the cost (sans frame) of insulated glass unit (IGU) installation
2
Applied Energy 255 (2019) 113522
COPh Coefficient of Performance, heating
ρs Solar Reflectance
Tlum Luminous Transmittance
τs Solar Transmittance
ΔTsol Solar Modulation
SHGC Solar Heat Gain Coefficient
ESI Energy Saving Index
WWR Window-to-wall Ratio
IGDB International Glazing Database
COPc Coefficient of Performance, cooling
UDI Useful Daylight Illuminance
averages to $657/m2 for electrochromic as opposed to $431/m2 for
thermochromic windows1 [23]. Studies have been conducted to analyse
the energy performance of thermochromic glazing, including using
computer simulations as well as building unit field tests. These studies
have shown that thermochromic glazings can contribute significantly to
energy savings [24], where cooling energy consumption with ideal TC
glass can decrease by 81.7% compared to clear glazing, and by 70.5%
compared to Low-E glazing [25]. Simultaneously, TC windows have
been shown to provide and maintain a more thermally and visually
comfortable indoor environment [26], where it was found that a TC
glazing system demonstrates 5% reduction of uncomfortable interior
conditions, operative temperature > 26 °C, in comparison to the same
building with a double glazed window system [27], and that a TC
window can increase the desired annual daylight hours within the
useful daylight illuminance (UDI) range of 500–2000 lux, of up to
27.42% for the region nearest the window [28,29].
This review systematically investigates published papers associated
with building studies of thermochromic glazing, and will consist of
three sections: (1) an overview of thermochromic window materials
development and relevant software used for the analysis of these win-
dows in buildings, (2) an in-depth literature review of the studies in-
vestigating the impact of thermochromic windows on the building en-
ergy use, and (3) a discussion of the data contained within the studies.
Future works in the area will also be discussed. To the best of the au-
thors’ knowledge, there has not been a comprehensive review of
building studies that predict energy use in buildings with thermo-
chromic windows. This review follows a systematic literature review
methodology and highlights the variations between the results of the
studies, critically reviewing the material to allow the opportunity for
enhancement of future building simulation studies of thermochromic
smart windows.
2. Thermochromic windows
2.1. Thermochromic window development
Energy-efficient glass windows have been steadily developed over
the years and as a result there has been rapid development of ther-
mochromic glazing techniques that promise next-generation archi-
tectural windows with energy saving characteristics [18]. State-of-the-
art coatings tend to be vanadium oxide (VO2) based [30–32]. VO2 is an
inorganic compound and its thermochromism was first reported in
1959 [33]. Across a critical transition temperature (Tc), VO2 undergoes
a structural transformation from a semiconducting to a metallic state.
These states are referred to as “light” and “dark” states, respectively,
since the former is relatively transparent to infrared radiation while the
latter is absorptive (or opaque) to such radiation [34]. What makes this
material feasible is that this process is highly reversible. Furthermore,
linked to its electrical conductivity as a function of temperature, the
1
In currency of USD as last reported in 2014
M. Aburas, et al.
conductivity of thermochromic glazing varies by several orders of
magnitude and at a temperature that is not too far from room tem-
perature in comparison to other potential metal-based compounds,
making it convenient for smart building applications [35].
There are many coating and laminating technologies that have been
developed for thermochromic glass. Presently, the technological solu-
tion with the most potential is to apply thermochromic materials di-
rectly in plastic film of Polyvinyl Butyral (PVB). Such an approach has
already been implemented in the manufacture of laminated safety and
acoustic glass allowing simple integration into a manufacturing pro-
cedure [36]. However, VO2 films can and have been prepared by var-
ious other techniques including: chemical vapour deposition (CVD),
pulsed laser deposition (PVD), sputtering deposition, and sol–gel pro-
cess [37]. This variety in techniques results in coatings with a diverse
range of colours, shapes, sizes and switching potentials. Nano- and
microscale morphology engineering approaches have also successfully
enhanced the thermochromic performance of these devices [18,38–44].
2.2. Current thermochromic smart windows
There have been rapid developments of thermochromic coatings
since their first release, with several research groups worldwide
forming to contribute to further development of VO2 coatings and to
overcome their shortcomings. Traditionally, TC glazing has been
manufactured from pure VO2-based coatings, for which Tlum and ΔTsol
are two optical parameters of interest. The values of these parameters
will depend largely upon the thickness, structure and stoichiometry of
the thin films. A central aim of the manufacturing process is to optimize
the natural trade-off between these two parameters. There are various
surface engineering strategies to manufacture thermochromic windows
including pore-forming, multilayer construction, periodical patterned
methods and hybridization. Many materials with nano- or micro-
structures have also been selected to add anti-reflective coatings (e.g.
silica, titania, zirconia and zinc oxide) using bottom-up (layer-by-layer
assembly) or top-down (based on etching and lithography) approaches
[37,45–47]. Whilst historical limitations, such as a high switching
temperature, excessive opacity of the dark state, and limited solar
modulation, have been addressed, current limitations that remain in-
clude difficulties in dealing simultaneously with the following issues:
(1) reduction of the brownish-yellow colour that VO2 typically
Fig. 1. Produced from data within Cui et al. (2018) [18].
3
Applied Energy 255 (2019) 113522
demonstrates due to its strong absorption [48], (2) increasing the sta-
bility of the material for longer use [18], and (3) determining a cost-
efficient process for large-scale production [49].
The most recent work on the subject has been summarised in Fig. 1
in terms of visible transmissivity vs solar transmissivity of various
thermochromic coatings. It can be seen that VO2-based thermochromic
nanocomposites have the highest visible and solar transmissivity,
whereas the multi-layered structures have the lowest solar transmis-
sivity. The idea for thermochromic nanocomposites was first developed
by Li et al. (2010), who demonstrated through calculations based on
effective medium theory (EMT) that a system composed of well-dis-
persed VO2 nanoparticles in a dielectric host has advantages over
continuous thin films [18,50]. Multi-layered films with anti-reflection
coatings are seen to produce high luminous transmittances, but lack in
modulation capabilities, whereas VO2 nanoparticles can overcome this
by improving Tlum in the nanocomposite layer, as well as simulta-
neously increasing ΔTsol [31].
Experimental investigations and theoretical simulations have been
used to predict the energy saving performance of thermochromic win-
dows [22]. The experimental method involves a physical model room
designed and set up as a test room. Building simulations use compu-
tational methods to simulate the effect of thermochromic coating ap-
plication. This review covers both, although the number of simulation
studies far outweigh that of physical room setups.
3. Optical film data
3.1. Building models’ spectra
The optical properties of thermochromic glazings are dependent on
the spectral characteristics (i.e. transmittance, reflectance and absor-
bance) of the base material [51]. The spectra used within the building
simulation models can be split in two kinds: experimental (real) and
theoretical (ideal). When experimental values are used, the authors use
the values of true thermochromic coatings, the corresponding proper-
ties of which can be found within Table 2. When theoretical values are
used, the authors highlight these with a grey shade film on the diagrams
within the final column of Table 3.
M. Aburas, et al. Applied Energy 255 (2019) 113522

Table 1
‘Spectral properties of perfect windows’ put forth by Long and Ye (2014) [53].

Solar spectrum Long-wave thermal radiation (λ > 2.5 μm)

Season Spectral properties Visible light (0.4–0.7 μm) λ < 0.4 or 0.7 < λ < 2.5 μm Outdoor Indoor

Summer Spectral transmittance 100% 0% 0% 100%

Spectral reflectance 0% 100% 100% 0%
Spectral absorptivity 0% 0% 0% 0%

Winter Spectral transmittance 100% 100% 100% 0%

Spectral reflectance 0% 0% 0% 0%
Spectral absorptivity 0% 0% 0% 0%

3.1.1. Theoretical spectra
Saeli et al. (2010) conducted the first simulation study to theoreti-
cally use ideal spectra. The study indicated that performance can be
optimized by having a large change in optical properties in near IR as
well as a low transition temperature to maximise the amount of time a
coating spends in its metallic state [52]. Ye et al. (2012) found by
conducting another theoretical thermochromic window study that
regulating the emissivity of the window (ε = 0.1–1) yields a greater
energy-saving potential than that of regulating the solar transmissivity,
with high window emissivity enhancing the effect of radiation cooling
and reducing the cooling load in summer and low emissivity of the
window decreasing the heat loss to the outside [34]. Ye et al. (2012)
also found that optimized phase transition temperature of the ideal
near-infrared solar spectrum regulating window simulated for Haerbin,
Beijing, Shanghai, Guangzhou and Kunming in summer and winter is
between 16 and 21 °C [34]. Another study by Long and Ye (2014) found
that the energy-efficient performance is improved with the increase in
the solar modulation ability and decrease in the solar absorption var-
iation [53]. These theoretical coatings are shown with a grey layer in
the diagrams of Table 3 and the coating spectra used are specified in
Table 2 and Fig. 2 below. The labels represent the glazing or coating
state as described within each of the corresponding papers; i.e. on a
spectrum from hot to cold corresponding to dark to clear and on and off
respectively. The perfect spectra are the theoretical data; the work of

Fig. 2. Theoretical data presented in the literature where (a) is from Hoffman et al. [54] (b) from Warwick et al. [55–58] and (c) from Saeli et al. [52].

4
 Table 2
Building simulation inputs (Experimental).

TC film Energy studies Given film name(s) Deposition/Thickness/Notes Material composition τc (°C) τs αs ρs ε τvis SHGC U-Value
M. Aburas, et al.

[60] [52,61–63] TC 1 (VO2) Cold Atmospheric Pressure Chemical − 59.0 0.78 − − 0.825 − − −
TC 1 (VO2) Hot Vapour Deposition (APCVD)/ − 0.74 − − 0.795 − − −
TC 2 (VO2 + gold) Cold 30–2000 nm 40 mg HAuCl4 43.0 0.56 − − 0.8 − − −
TC 2 (VO2 + gold) Hot 0.48 − − 0.752 − − −
TC 3 (VO2 + TOAB) Cold 1.00–0.12 g TOAB 38.5 0.61 − − 0.827 − − −
TC 3 (VO2 + TOAB) Hot 0.51 − − 0.789 − − −
TC 4 (VO2 + gold + TOAB) Cold 40 mg HAuCl4 45.5 0.77 − − 0.828 − − −
TC 4 (VO2 + gold + TOAB) Hot 1.00–0.12 g TOAB 0.49 − − 0.797 − − −
[59] Single VO2 Glass Cold VO2 + TOAB 38.5 0.426 − − 0.827 − − −
Single VO2 Glass Hot 0.350 − − 0.789 − −
[34] Sample 1 Cold − 30.0 0.37 0.30 − 0.84 − − −
Sample 1 Hot 0.31 0.48 − 0.57 − −
[25,28,34,52,64–66] Sample 2 Cold (/VO2 Glazing C Hot/VO2-c/WV_t38 Hot) − 38.5 0.46 0.31 0.23 0.83 0.610 − −
Sample 2 Hot (/VO2 Glazing C Cold/VO2-c/WV_t38 Cold) 0.38 0.41 0.21 0.79 0.51 − −

[23] [23,67] TC2 0.03 cm thick layer 0.0076 cm 0.1 m (TBA)2NiI4/0.11 m 4- 24 − − − − 0.216 0.311 2.556
poly(ester terephthalate) (3-PhPr)Pyr, 0.3 m TBAI/ 34 − − − − 0.183 0.289 2.556
separator, “HB3/75 Glow 2- 0.005 m Ph3P/0.07 m 48 − − − − 0.123 0.244 2.556
sided” From Southwall TMOLP/1 wt% Tinuvin® 405/ 62 − − − − 0.058 0.192 2.556
Technologies Inc. of Palo Alto, in Butvar® B-90 75 − − − − 0.025 0.163 2.556
TC3 Calif. 24 − − − − 0.181 0.234 2.191
34 − − − − 0.154 0.217 2.191
48 − − − − 0.104 0.184 2.191
62 − − − − 0.049 0.146 2.191
75 − − − − 0.021 0.125 2.191

5
[68] [25,28,64–66,68] Glazing with VO2 film Semiconductor state (/VO2 Glazing A VO2 41.3 0.440 0.482 0.078 0.880 0.435 − −
Hot/WV_t41 Hot)
Glazing with VO2 film Metal state (/VO2 Glazing A Cold/ PET film/100 nm 0.355 0.590 0.055 0.880 0.421 − −
WV_t41 Cold)
[69] Glazing with VO2 film Semiconductor state 0.440 0.450 0.110 0.880 − − −
Glazing with VO2 film Metal state 0.355 0.535 0.110 0.880 − − −
[56,70] Single Glazing Cold Using Shanghai Ceramics − 0.438 0.46 0.102 0.88 0.434 − 5.8
Single Glazing Hot 0.353 0.576 0.071 0.88 0.420 − 5.8
Double Glazing Cold 0.341 0.544 0.115 − 0.382 − 3.0
Double Glazing Hot 0.274 0.646 0.080 − 0.369 − 3.0

[71] [25,64,65] VO2 Glazing B Hot VO2-b From Mlyuka et al. (2009) − 30.0 0.37 0.30 0.33 0.84 − − −
VO2 Glazing B Cold VO2-b 0.31 0.48 0.21 0.57 − − −

[72] [28,66,73] WV_t20 Hot From Blackman et al. (2009) − 20 0.44 0.38 0.18 0.84 0.39 − −
WV_t20 Cold 0.39 0.42 0.20 0.84 0.39 − −
[31] NWV_t40 Hot From Li (2013) Nanothermochromic spherical 40 0.69 0.26 0.05 0.84 0.63 − −
NWV_t40 Cold calculation 0.57 0.37 0.06 0.84 0.6 − −

[74] [28,66] WV_t40 Hot From Zhou et al. (2012) − 40 0.412 0.521 0.067 0.84 0.394 − −
WV_t40 Cold 0.288 0.63 0.082 0.84 0.346

(continued on next page)

Applied Energy 255 (2019) 113522
M. Aburas, et al. Applied Energy 255 (2019) 113522

U-Value designing the perfect spectrum for maximum energy saving and comfort
per region would allow a material engineer a clearer performance
target.
−
−
−
−
−
−
SHGC

3.1.2. Experimental spectra

−
−
−
−
−
−
Experimental spectra used within the building modelling are shown
0.464
0.465
0.352
0.282
0.395
0.465
in Table 2. When grouped together in this way, it becomes clear that the
τvis

work conducted is limited to that by several authors from specific

groups, which means that the sheer number of spectra being analysed
0.17

does not equate to that of the number of works that have been pub-
ε

0.644
0.527
0.253
0.313
0.224
0.151

lished in the area – i.e. the same spectra have been used for more than
one study. As can be seen in Table 2, the results can be grouped into
ρs

several original modelling analyses. This is the first time that the
spectra have been compared alongside one another in this way and a
−
−
−
−
−
−
αs

spectral comparison put together for their corresponding building si-

0.397
0.357
0.352
0.227
0.359
0.357

mulation studies which are shown in Table 2. For the most part, the
τs

transmittance varies between 0.288 and 0.78. The wealth of material

τc (°C)

types available [18] is not well reflected within the building simulation
−

studies, which means that the numerous types of thermochromic

coatings which have been developed to date are not fully visible within
2
VO(acac)2 and 2%O /98%N

the body of work that discusses their actual energy saving capabilities
in the built environment (Fig. 4).
onto FTO coated glass
Material composition

3.1.3. Comparison between theoretical and experimental spectra

What the theoretical data will lend to building application in com-
substrates

parison to experimental is more energy efficient results, naturally, using

theoretical data, as can be seen in Table 1. To maximize the solar ra-
diation entering the indoor space, the transmittance of the thin film
would be 100% in the cold state [59], however, the transmittance and
Deposition/Thickness/Notes

reflectance of the tables are set at extreme limits, where 100% is very
different from a practically attainable condition. These theoretical
EACVD 130 ± 10 nm

studies provide a baseline in the scenario where it is difficult or not

possible to manufacture the glass, or where a more general picture of
the situation is desired e.g. for optimisation analyses. However, while
these values give strictly an upper and lower limit for design, they re-
main physically unachievable from a material and manufacturing per-
spective. The theoretical data provides an idealised picture of an op-
timal coating (i.e. one that would limit solar heat gain when the
perimeter zone is in cooling mode and admit solar heat gain when it is
in heating mode [54]). While researchers in materials engineering
should develop materials with this reference in mind, building design
and construction engineers should focus instead on the experimental
findings on energy performance and lifetimes of such coatings when
considering the implementation of thermochromic windows into
buildings and building simulations.

4. Energy saving performance and building simulation studies

Given film name(s)

Building performance simulation can be used to predict energy use

* Data extracted from Figure 5 of [75] using OPTICS.

and savings (from reduced heating, cooling or electrical lighting) which

A (below Tt)
A (above Tt)

C (below Tt)
B (below Tt)

C (above Tt)
B (above Tt)

may occur from the implementation of various building technologies

[76–78], in this case the use of thermochromic windows. In addition to
this, comprehensive simulation programs enable various other ex-
ternalities that would occur from the installation of these particular
types of glazing to be examined, such as daylighting levels and glare in
a room or building, and occupant’s thermal comfort levels in a space.
Energy studies

The simulation models rely entirely on the accuracy of the simulation

input, in particular, on the spectral data assumed for the thermo-
chromic glass. This paper will critically review how thermochromic
[75]

glazing has been modelled in various building simulation studies.

Table 2 (continued)

A web-based search of the literature was conducted covering the

scientific Architecture and Engineering databases of Web of Science,
Scopus, Science Direct and Google Scholar. The search criteria were
limited to papers containing the words “Building” AND “Simulation”
TC film

[75]*

AND “Thermochromic”. As the combined concept of thermochromic

glazing and building simulation is relatively new, the search resulted in

6
M. Aburas, et al.
studies all within the past decade. The search results were then filtered
manually for papers containing a building model and that create or
refer to a thermochromic building performance simulation model. From
this search, it can be shown that the analysis of the building energy
saving capabilities of TCs began 10 years ago, with the first of these
models run in 2009 [61]. The studies published peaked in 2014, where
9 number of papers on the subject were published, dropping steadily in
numbers per year ever since.
In comparison, a search of “Thermochromic” AND “Windows” re-
turned results that investigate the development of thermochromic
windows, showing that this was first accomplished in 1987 [79], where
Babulanam et al. (1987) produced VO2 film by reactive e-beam eva-
poration followed by a post-treatment annealing. Since then, many
authors in the field have investigated different strategies for TC glazing
development. Jin et al. (2002) explored VO2-based thermochromic
films with TiO2 anti-reflective coating [80,81]. Gao et al. (2012) pre-
pared VO2-SiO2 core-shell nanocrystals, integrating them into a poly-
urethane (PU) matrix to produce flexible thermochromic foils
[30,82,83]. Granqvist et al. (2016) focused on VO2-based thin films and
nanocomposite exploration [17,84–87]. Zhu et al. (2017) look at hy-
bridizing VO2 with other thermochromic materials, such as ionic liquid-
based complexes [88,89]. Various other techniques for the production
of TC windows have been considered [90–100], including the most
recent work (2019) [101–103]. This ongoing interest in the develop-
ment of TC windows with enhanced properties points toward an ever-
increasing body of literature in thermochromic material research. As
the set of data on TC windows continues to grow, so does the dis-
crepancy between theoretical and practical performance of thermo-
chromic window implementation.
4.1. Simulation tools and approaches
The simulation tools that were used in previous studies are collated
and discussed in depth below. Fig. 3 shows the distribution of use of
each software in the analysed studies, and the sections to follow delve
into how the thermochromic window modules are modelled in each of
these software.
4.1.1. EnergyPlus™
In the late 1990s the capabilities of two existing US software
packages DOE-2 as well as Basic Local Alignment Search Tool (BLAST)
were combined to create the open-source whole building energy model
EnergyPlus, making it a feasible tool for the evaluation of the perfor-
mance of TC windows through simulation [104]. For each time step,
EnergyPlus determines the temperature of the glazing by solving a heat
balance on its surface; the resulting glazing temperature is then used to
determine the optical properties of the thermochromic layer for the
following time step [27]. Various versions of this software have been
used. The earliest models used the electrochromic module, which was
available to mimic the effect of the thermochromic windows in the on
and off states [52,61–63]. This has since been updated and the newer
7% 3%
35% 55%
EnergyPlus BuildingEnergy TRNSYS16 ESP-r
Fig. 3. Variation of building simulation tools used within the literature.
7
Applied Energy 255 (2019) 113522
version includes a correct analysis of thermochromics with the cap-
ability of analysing varying transition temperatures [23,57]. It should
be noted that, although specified within the literature as somewhat
synonymous, a film and coating are modelled differently within En-
ergyPlus. Importing thermochromic data into EnergyPlus is achieved
via two other programs developed by Lawrence Berkeley National La-
boratory (LBNL). First, spectral data is uploaded into the Optics pro-
gram and this spectral data is then imported into the WINDOW program
for the specific scenario required [105]. EnergyPlus can then be used to
perform calculations of electricity consumption, heating and cooling
demand, as well as visual and thermal comfort.
4.1.1.1. Optics. Optics is a software designed for working with the
optical data of glass and glazing layers. The software is integrated with
the International Glazing Database (IGDB) and allows the user to
upload spectral data and associated optical properties of coated and
uncoated glazings, laminates and applied films [106].
4.1.1.2. Window. WINDOW is a software designed to calculate total
window thermal performance indices, such as U-value, Solar Heat Gain
Coefficient (SHGC) and visible transmittances of glazed window
compositions including window frames. It provides a heat transfer
analysis method with the updated rating procedure developed by the
National Fenestration Rating Council (NFRC), in line with the ISO
15099 standard [107].
4.1.2. BuildingEnergy
BuildingEnergy was developed through a non-steady-state heat
transfer model, validated via ANSI/ASHRAE Standard 140-2004
(Standard Method of Test for the Evaluation of Building Energy
Analysis Computer Programs) as well as through a series of experiments
[22]. This software divides the building envelope, indoor and outdoor
air into multiple nodes, for each of which the energy conservation
equation is based on the implicit difference method; all the equations
for the nodes in the temperature field form a matrix and the tempera-
ture field can be determined by solving the matrix via the Gauss–Seidel
iteration method. In the software, the solar absorption of the VO2
glazing is obtained by the multiplication of the solar radiation received
on the glazing (VO2 film plus substrate) by the glazing's solar absorp-
tivity [68].
4.1.3. TRNSYS
Transient System Simulation Modelling Tool (TRNSYS) is a gra-
phical software environment used to simulate transient systems [108].
The load calculation method that the software TRNSYS utilizes is the
room heat balance method [59]. The main difference between this
software and EnergyPlus is that in TRNSYS the film’s optical parameters
can only be set as constants within the software, which does not reflect
the phase transition process of a VO2 film and this relationship between
the film temperature and film optical parameters must be constructed
as an embedded application to this software [25].
4.1.4. ESP-r
The Environment System Performance – research (ESP-r) program,
developed at the University of Strathclyde, Glasgow, Scotland, is a
whole building energy simulation program used for the integrated
modelling of building energy performance, heat and moisture flow,
light, and electrical power flows at user specified spatial and temporal
resolution [109]. The software models thermochromic glazing systems
by dynamically adjusting their optical properties, using a linear func-
tion during run-time based on the calculated node temperature of the
glass. ESP-r assumes linear optical property changes with glass tem-
perature variations and is therefore close to the actual outputs from
WINDOW 7.2–LBNL [67].
 Table 3
Simulation studies for thermochromic glazing in building applications and associated parameters.
Ref. Author/Year Software Objectives
[61] Saeli et al. (2009) Energy Plus™ Use of gold nanoparticles and
TOAB combinations within a
VO2 matrix coated via. CVD
deposition techniques
[52] & [62] Saeli et al. (2010) Energy Plus™ Building simulation used to
predict the savings made by TC
glazing coatings, with the
performance of ideal TC
coatings considered
[63] Binions (2012) Energy Plus™ Exploring the use of TC
coatings in architectural
glazing
[34] Ye et al. (2012) BuildingEnergy Developed a series of indexes
8
to estimate if thermochromic
material could be energy-
efficient
[59] Xu et al. (2012) TRNSYS16 Plain glass, Low-e glass and
thermochromic glass types
modelled for simulation for
heating and cooling energy
consumption
[23] Lee et al. (2013) Energy Plus™ A detailed investigation of the
field performance of large-area
polymer thermochromic
laminated windows
Findings & Contribution Dimensions Occupancy/HVAC/ventilation Diagrams
M. Aburas, et al.
– The gold nanoparticles led to change in Single room simulated 8:00 till 18:00, 5 days a week/
film colour from yellow/brown to a 6 × 5 × 3 m, South-facing 19–26 °C/0.025 m3/s
variety of greens and blues. window, 25% and 100% glazed
– TOAB unexpectedly found to alter
growth of the film causing Tt reduction
– 12% total energy improvement over
clear-clear system found in Palermo
with 25% glazing wall, and 40% in
Roma for a 100% glazing wall
– Can reduce energy demand compared
to clear double-glazing glass system by
10% used in warmer climates, as a
result of a combination of heat mirror
and absorbing behaviour
– Emissivity of films found high in both
cold and hot states suggesting
technology is not suitable for cooler
climates and will increase the rate at
which a window loses heat to the
surrounding environment
– Ideal spectra models show that
absorbing is as important as heat
mirror behaviour
– For various climatic locations in China, Single room simulated 20–27 °C, 200 W heat source/n = 1 −
regulating emissivity yields greater 4 × 3.3 × 2.8 m, South-facing time/h
energy-saving than regulating solar window, 1.5 × 1.5 m
transmissivity
– Tt of the ideal NIR solar spectrum
regulating window found to be
16–21 °C
– Most energy saving for double glazing Single room simulated 8:00 till 18:00, 5 days a week/
is achieved when VO2 films are 6 × 5 × 3 m, South-facing 19–26 °C, 120 W/m2 cooling and 90 W/
deposited on the inside surface of the window, 25% and 100% glazed m2 heating power/0.025 m3/s
outer pane (84.7% energy saving to
plain glass)
– Theoretically found that the most
effective way of energy saving is with
solar transmittance = 100%,
VLT = 100%, IR and UV light
transmission rate = 0 in hot state, Tt is
lower (20 °C) and ε is as high as
possible
– Savings of 4–43% compared to 12 floors, 1.5 aspect ratio, 8.1 W/m2 equipment power load/
ASHRAE 90.1–2004 Standard 3.96 m floor-to-floor height, 0.00051 m3/s m2
prescriptive window 2.74 m floor-to-ceiling height
– Suggests that, as the glass temperature
is not the same as the ambient air
temperature, the critical switching
temperature should be building and
climate-dependant
(continued on next page)
Applied Energy 255 (2019) 113522
 Table 3 (continued)

Ref. Author/Year Software Objectives Findings & Contribution Dimensions Occupancy/HVAC/ventilation Diagrams

3
M. Aburas, et al.

[57] Warwick et al. Energy Plus™ Examines effect of TC Tt and
(2013) hysteresis width on energy
demand
[68] Ye et al. (2013) BuildingEnergy Investigated the performance
of typical VO2 glazing applied
in an office room setting
[69] Ye et al. (2014) BuildingEnergy Presents concepts of energy
saving equivalent (ESE) and
energy saving index (ESI) to
evaluate the performance of
new materials and components
in passive buildings
Results indicated that a low transition
temperature (20 °C) and hysteresis width
(0 °C) in a warm climate can reduce energy
demand up to 54% in comparison with
standard double glazing in the climates
analysed
Found that 10.2–19.9% cumulative cooling
load could be reduced in comparison to
standard clear glazing and that the use of
the VO2 glazing could save ∼9.4%
electricity consumption
ESI used to evaluate the performance of a
thermochromic window in passive
residential buildings in China, finding the
VO2 glazing to be “energy-saving” in
summer, yet “energy-wasting” in winter,
due to its low solar transmittance
Single room simulated 8:00 till 18:00/19–26 °C/0.025 m /s
6 × 5 × 3 m, placed so axis of
each wall is perpendicular to
one the orientations of N/S/W/
E
Single low-mass room Cooled to 26 °C/1.0 ACH when space is −
simulated, 2.9 × 1.8 × 1.8 m, cooling and 10.0 ACH at all other times
with single window size
1.65 × 1.65 m, oriented N/S/
E/W
Single room simulated 23 °C, electric power, COPc = 2.7 in
4 × 3.3 × 2.8 m, South-facing Guangzhou and 2.3 in Beijing and
window, 1.5 × 1.5 m Shanghai, COPh = 1.9 in Shanghai and
5.4 in Beijing

[53]& Long and Ye BuildingEnergy A theoretical study to define For a particular Tt, solar modulation ability Single room simulated 20–27 °C, COPc = 2.3 and
(2014) “smartness” based on energy and solar absorption variation dominate 4 × 3.3 × 2.8 m, South-facing COPh = 1.9/
performance energy performance. Energy-efficient window, 1.5 × 1.5 m n = 1 time/h
performance is improved with increase of
the solar modulation ability and decrease
of solar absorption variation
[65] ESI index used to analyse effect Solar tans should be as low as possible (by Single room simulated Electric power used −
of VO2 glazing properties on increasing solar reflectance) to avoid heat 4 × 3.3 × 2.8 m, South-facing

9
passive application
[70] Long et al. (2014) BuildingEnergy VO2 and Phase Change
Materials (PCM), two energy-
efficient materials, assessed
together for the first time
[54] Hoffmann et al. Energy Plus™ Studied a series of hypothetical
(2014) TC windows with different
transition temperatures to find
the optimised thermochromic
characteristics
[67] Kokogiannakis ESP-r Investigates the energy
et al. (2014) requirements for heating and
cooling when using a TC
glazing system on a highly
glazed office building.
gain caused by the heat flux from the window, 1.5 × 1.5 m
window to the indoor air in metallic state
and vice-versa in semiconducting state
Performance demonstrated in a full-scale Single room simulated 23 °C, COP = 2.3 −
lightweight passive room showed that both 6 × 5 × 3 m, South-facing
the sole application of VO2 as well as the window, 25% and 100% glazed
joint application of VO2 and PCM were a
poor choice in cold regions due to negative
ESI during heating period
– Found to be that a Tt of 14–20 °C 12-story, 48 m high building Weekdays 9:00 till 17:00/21 °C
yielded significant annual HVAC and rectangular floor plate 73 m
lighting perimeter zone energy savings, (N–S) × 49 m (E–W), window-
particularly for facades of large-area to-exterior-wall ratio from 0 to
windows in hot climate (Houston) 0.60
– This outperformed even the highly
insulating window with interior shade
on both west and south facades
– Comparisons made with the respective 16 floors, total floor area Set-points configured uniquely for each −
performance of two heat mirror units approx. 45,650 m2, 66% of the climate/Weekdays from 9:00 till 13:00
and a clear triple glazed window external surface area covered and 14:00 till 18:00/0.5 ACH acreage
– Found TC glazing could significantly by windows
reduce cooling loads in hot climates by
approx. 30% in comparison with the
other glazing systems, however they
have negative impact in cold climates,
where the use of heat mirror glazing
systems could offer the highest energy
savings
(continued on next page)
Applied Energy 255 (2019) 113522
 Table 3 (continued)

Ref. Author/Year Software Objectives Findings & Contribution Dimensions Occupancy/HVAC/ventilation Diagrams

3
M. Aburas, et al.

[58] Warwick et al. Energy Plus™ Studied the relationship Found TC glazing with the lowest Single room simulated 8:00 till 18:00/19–26 °C/0.025 m /s
(2014) between transition transition temp. and sharpest hysteresis 6 × 5 × 3 m, South-facing
temperature and theoretical gradient could reduce 51% energy demand window, 100% glazed
hysteresis gradients in comparison to standard clear glazing

[64] Ye and Long BuildingEnergy Concept of Smart Index (SI) E represents the cumulative cooling load of Single room simulated 1.0 ACH when space is cooling and −
(2014) presented a room with VO2 glazing over a cooling 4 × 3.3 × 2.8 m, South-facing 10.0 ACH at all other times
period, Tc,1 < Tc,2 window, 1.5 × 1.5 m
ETc,2 ETc,1
SI = × 100%
ETc,2
[65] Long and Ye BuildingEnergy ESI index used to analyse effect Solar tans should be as low as possible (by Single room simulated Electric power used −
(2014) of VO2 glazing properties on increasing solar reflectance) to avoid heat 4 × 3.3 × 2.8 m, South-facing
passive application gain caused by the heat flux from the window, 1.5 × 1.5 m
window to the indoor air in metallic state
and vice-versa in semiconducting state
[56] Warwick et al. Energy Plus™ Idealised thermochromic Suggesting energy savings of greater than Single room simulated 8:00 till 18:00/19–26 °C/0.025 m3/s
(2015) spectra used to simulate effect 50% compared to standard double-glazing 6 × 5 × 3 m, 99% glazed
of simultaneous variations in are obtainable under ideal conditions in a façade, orientated with each
thermochromic transition hot climate where thermochromic wall perpendicular to either N/
width and gradient on building transition occurs at low temp. with narrow S/E/W and external wall South
energy demand hysteresis and sharp gradient facing

[113] Zheng et al. Energy Plus™ Thermochromic system using – At the temperature lower than 25 °C, it Single room simulated 18–26 °C −
(2015) thermochromic dye BW 100 presents yellow. Its colour changes 6×5×3 m
with a transition temperature from yellow to white when heated

10
of 25 °C
[25] Yang et al. (2015) TRNSYS 16 A new model is developed to
obtain building energy using a
gradual change process of VO2
optical properties and different
types of existing VO2 films
tested
[114] Long et al. (2015) BuildingEnergy Optimizing capacity for
regulation of solar radiation as
well as improving thermal
insulation performance
investigated
[73] Liang et al. Energy Plus™ Building energy simulations
(2015) carried out with practical
developed TC windows for
various climatic conditions
above Tt
– Simulation results show the sample
with 5 wt% BW 100 and 10 wt% TiO2
to perform best
– Unexpectedly, level of energy Single room simulated, 19–26 °C, 120 W/m2 cooling and 90 W/
consumption was found to increase 2.9 × 1.8 × 1.8 m, window size m2 heating power/10 times/h
with film phase Tt decreasing in the 1.65 × 1.65 m installed on
heating period Southern wall
– Energy-saving effects could be
effectively improved with a shortened
interval of the phase transition process
– Cooling energy consumptions found to
decrease for ideal TC glass by at most
81.7% and 70.5% compared to clear
and Low-E glazing, respectively
– Hypothetical window results indicate Single room simulated Cooled to 26 °C, indoor temp. from 20 Single and double glazed
an extremely low U-value may be 4 × 3.3 × 2.8 m, South-facing to 28 °C/1.0 ACH when space is cooling thermochromic units
favourable for energy efficiency window, 1.5 × 1.5 m and 10.0 ACH at all other times modelled
dependent on set point of the indoor
temp being lower than 23 °C
– Low U-value however has worse
energy performance than window with
an appropriate SHGC, highlighting the
effect of regulating the solar radiation
TC windows reduce illuminance below a Single room simulated 9:00 till 17:00 on weekdays/21–24 °C
comfortable range, therefore increasing the 6 × 5 × 3 m, with Southern
use of indoor artificial light, however, window and WWR of 60%
reducing the appearance of glare

(continued on next page)

Applied Energy 255 (2019) 113522
 Table 3 (continued)

Ref. Author/Year Software Objectives Findings & Contribution Dimensions Occupancy/HVAC/ventilation Diagrams
M. Aburas, et al.

[55] & [75] Warwick et al. Energy Plus™ Fabrication and energy – Best TC materials with a narrow sharp Single room simulated 8:00 till 18:00 Mon-Fri/19–26 °C/
(2016) modelling of EAAPCVD films hysteresis and low Tt, resulting in 6 × 5 × 3 m, 99% glazed 0.025 m3/s
increase in energy saving from 30% to façade, orientated with each
45% in comparison to clear glass wall perpendicular to either N/
systems. S/E/W and external wall South
– Coatings could have additional energy facing
benefit, particularly in warm climates,
by up to 50% in comparison to double
glazing. This arises from a combination
of TC & absorbing behaviour
[22] Long and Ye BuildingEnergy Book chapter combines Future chromic windows found to have Single room simulated Varies based on study being discussed −
(2016) previous work conducted by potential to be more efficient via. selective 4 × 3.3 × 2.8 m, South-facing within the chapter
authors regulation of spectral properties and/or window, 1.5 × 1.5 m
their combination with other window
technologies available
[27] Costanzo et al. Energy Plus™ 8.1 Application of TC windows to Showed that energy saving with Existing upper floor office of 9:00 till −18:00 during −
(2016) an existing office building thermochromics could range from 5 to 25% building in Italy with basement weekdays/20–26 °C/0.3 h−1
and flat roof
[115] Ah-Nieme et al. Energy Plus™ Sensitivity analysis used, Results showed order of sensitivity to be: Single room simulated 8:00 till 17:00 on weekdays/24 °C, Single layer 6 mm glazing
(2017) considering uncertainties of Size of glazing area, building orientation, 6 × 5 × 3 m. Varied input 150 W/person electric equipment load/ with thermochromic
the parameters, dynamic climate conditions then thermo-optical variables. 20 m3/h properties
daylighting and thermal properties
building simulation
[116] Long et al. (2017) BuildingEnergy Concept of dynamic – Energy performance of the dual- Single room simulated 26 °C indoor air temp −
management via VO2 based intelligent windows found to surpass 4 × 3.3 × 2.8 m, South-facing
windows for both solar traditional TC or low-e windows window, 1.5 × 1.5 m

11
radiation and long-wave – Dual-intelligent window reduced
thermal radiation discussed cooling energy prediction by 21.7%, in
comparison with traditional TC
window
[28] & [66] Liang et al. Energy Plus™ Various types of TCs tested for – Lower Tt not essential, both energy and Single room simulated 9:00 till 17:00 on weekdays/21 °C
(2018) energy & daylight assessment daylighting performance improved by 6 × 5 × 3 m, with Southern
TC windows, but mostly depends on window and WWR of 60%
climatic conditions and window sizes
– Adjusting visible or NIR transmittance
found more effective in improving
daylighting and energy performance
than reducing Tt
Applied Energy 255 (2019) 113522
M. Aburas, et al.
4.2. Simulation studies of thermochromic glazing
Each study has been examined for modelling objectives, climates
used, room dimensions, occupancy settings, HVAC and ventilation
settings, thermochromic glazing type and assembly, and the study’s
findings. This information is summarised in Table 3. A visual re-
presentation of the glazing composition has been constructed in the
final column of the table. This information includes glazing thickness,
air gap width, gas fill type and type of thermochromic coating mod-
elled. An in-depth description of each of the TC films depicted in the
diagrams of Table 3 (final column) has been shown in Table 2. Any data
not found in the diagram is due to it not having been specified within
the relevant study. More than one diagram per study represents the
multiple glazing types investigated by that study.
It was revealed that the buildings modelled were broadly split in
two categories, commercial (office) and residential, and that the dis-
tinctions between the two definitions were user defined; however, the
specification of commercial as opposed to residential varied largely
between authors. The earlier studies were found to model the building
using a pre-TC module of EnergyPlus (version 3.0.0), by switching
between the hot and cold states of the thermochromic window using the
shading control feature, which can “replace” glazing elements in a
window, dependent upon environment conditions or set control criteria
[52]. Studies post-2010 use the EnergyPlus module which determines
the temperature of the glazing to govern the optical properties of the
thermochromic layer for the following time step. Most of the studies
were found to be for south facing windows in cities in the northern
hemisphere obtaining maximum solar gain and focused on energy
analysis. The consensus seems to be that thermochromic windows are
found to be most suitable for warm rather than cold climates, as this
allows more time to be spent in the dark, or “on” state. Some studies
brought about the concepts of Smart Index (SI) and Energy Saving
Index (ESI) to analyse the effect of VO2 glazing properties on passive
application, finding solar transmittance should be as low as possible (by
increasing solar reflectance) to avoid heat gain caused by the heat flux
from the window to the indoor air in metallic state and vice-versa in
semiconducting state [64,65]. In addition to energy saving, the more
recent studies began to delve into daylight and occupant comfort
parameters [66,110].
4.2.1. Performance indicators
There are several performance indicators that exist to categorise the
performance of windows. The most fundamental of these would be the
window’s optical properties, summarised in Table 1 for the TCs, as these
are intricately linked to other performance indicators. One of the key
objectives when seeking to improve the energy efficiency in buildings is
the reduction of air-conditioning energy consumption [111]. Heating,
ventilation and air conditioning (HVAC) can have a large impact on the
direction of heat flow and ultimately the energy-saving capability of the
windows. In addition to the physical properties of the materials, the
thermal and energy performance of buildings may be influenced by
several architectural features including building orientation, equipment
installed, lighting used, ventilation, and shading devices [112]. Com-
fort-related indicators include thermal and visual comfort. Simulations
of thermal comfort performance help determine whether environmental
control strategies are sufficient to ensure occupants’ thermal comfort,
while visual comfort simulations involve analysis of daylighting, illu-
minance and glare. Daylight illuminance levels in a zone will depend on
many factors including sky condition, sun position, window location,
size, and glass transmittance, shading devices and reflectance of interior
surfaces. The modelled room geometry and number of zones will affect
the amount of daylight coming into a building and ultimately the light
scattering properties within the space. Building, as well as comfort,
requirements will vary based on building type. Outlined within Table 4
12
Applied Energy 255 (2019) 113522
are the performance indicators referred to within the studies reviewed.
In addition to this, the climates modelled for each study can also be
found, arranged by their Köppen climate classifications.
4.3. Building test units
Outdoor test cells are an appropriate measure for glazing dynamic
performance evaluation [117]. Outdoor tests were conducted in the
USA (Denver [118] and California [23]) and China (Hefei); in-
dependently finding that the film temperature can be much higher than
the indoor temperature due to intense solar irradiation and high ab-
sorptivity. Lee et al. (2013) conducted field test measurements that
enabled characterization of switching as a function of incident solar
irradiance and outdoor air temperature, illustrating how radiation in-
fluences glass temperature and thus effectively lowers the critical
switching temperature of thermochromic devices [23].
Long et al. (2015) state that although the transition temperature of
41.3 °C seems high in comparison to the indoor temperature of 26 °C,
the film temperature can be much higher than the indoor temperature
due to intense solar irradiation and high absorptivity. It is described
that each day, the film’s temperature varies with the varying weather
conditions, leading to slightly different states of the VO2. Considering
that this phase transition process occurs within a range of temperatures
rather than at a particular temperature, it is stated that the seemingly
high transition temperature is actually suitable for residential applica-
tions [68,114]. This concept would need to be studied further. Xu et al.
(2012) stated that heating energy is increased in comparison to clear
glass or single low-e glass, in the colder climate zones of Shenyang and
Xi’an, due to the fact that the transition temperature of real intelligent
glass (68–28 °C) is too high transitioning from the cold state [59]. Xu
et al. (2012) suggested that a transition temperature at room tem-
perature is desired. Liang et al. (2018) found via simulation, however,
that a low transition temperature (i.e. 20 °C) is not essential for building
energy conservation, and that, instead, a larger modulation of solar
transmittance is more desirable for most of the climatic conditions
studied. The study found that, although the glazing analysed had a
lower transition temperature (Tc = 20 °C), a low Tc would result in
increased tinted hours, blocking more solar heat from entering the
building. Furthermore, the restricted modulation of solar transmittance
for this Tc, with ΔTsol changing from 44% to 39% with temperature
rising over transition temperature, resulted in neither significant re-
duction of cooling energy on hot days nor a large increase of heating
consumption on cold days [28].
Though the simulations are generally varied for different climates
worldwide, it should be noted that the large-scale experimental tests set
up were conducted in only two locations, simply due to the location of
the building and test equipment. The conditions considered, and hence
the results achieved, can thus only be extrapolated as far as that cli-
matic condition is concerned. A detailed investigation of the field per-
formance of large-area polymer thermochromic laminated windows in
a full-scale testbed office was conducted in California by Lee et al. [23].
The interlayer film was found to exhibit thermochromism through a
ligand exchange process, which produced a change in solar absorption
primarily in the visible range. Field test measurements allowed the
characterization of switching as a function of outdoor air temperature
and incident solar irradiance. This demonstrated how solar radiation
influences glass temperature, effectively lowering the critical switching
temperature of thermochromic glazing while maintaining transparent,
undistorted views through the material. The film chosen had a
switching temperature range and centre-of-glass properties of
Tsol = 0.12–0.03 and Tvis = 0.28–0.03 for a glass temperature range of
24–75 °C. This work suggests that, as the glass temperature is not the
same as the ambient air temperature, the critical switching temperature
should be building and it is climate-dependent [23].
 Table 4
Simulation studies for thermochromic glazing in building applications and associated comfort incorporated parameters.

Saeli et al. Saeli et al. Binions Ye et al. Xu et al. Lee et al. Warwick Ye et al. Ye et al. Long and Ye (2014)
M. Aburas, et al.

(2009) (2010) (2012) (2012) (2012) (2013) et al. (2013) (2013) (2014)

Performance Thermal Comfort ✓

indicators Visual Comfort
Daylight & Glare ✓

Building Residential ✓ ✓ ✓ ✓
classifica- Commercial ✓ ✓ ✓ ✓ ✓ ✓ ✓
tion Nanotech
Shading

Building A Saint-Denia
locations Chennai
modelled Weipa

Townsville

B Cairo ✓ ✓ ✓
Abu Dhabi
Turpan

Köppen C Palermo ✓ ✓ ✓
Climate Rome ✓ ✓ ✓
Classifica- Milan ✓ ✓ ✓
tion Paris ✓ ✓ ✓
London ✓ ✓ ✓ ✓

13
Milan ✓ ✓ ✓
Pairs ✓ ✓ ✓
Shanghai ✓ ✓ ✓ ✓
Xi’an ✓
Dali ✓
Houston ✓
Guangzhou ✓ ✓ ✓
Berlin
Hangzhou
Haikou ✓
Kunming ✓
Catania
Milan

D Moscow ✓ ✓ ✓
Helsinki ✓ ✓ ✓ ✓
Haerbin ✓
Beijing ✓ ✓
Shenyang ✓
Chicago ✓
Hailar

Long et al. Hoffmann Kokogiannakis Warwick Ye and Long Long and Ye Warwick Zheng et al. Yang et al.
(2014) et al. (2014) et al. (2014) et al. (2014) (2014) (2014) et al. (2015) (2015) (2015)

Performance Thermal Comfort ✓ ✓

indicators Visual Comfort
Daylight & Glare ✓
Applied Energy 255 (2019) 113522

(continued on next page)

 Table 4 (continued)

Long et al. Hoffmann Kokogiannakis Warwick Ye and Long Long and Ye Warwick Zheng et al. Yang et al.
(2014) et al. (2014) et al. (2014) et al. (2014) (2014) (2014) et al. (2015) (2015) (2015)
M. Aburas, et al.

Building Residential ✓ ✓ ✓ ✓
classifica- Commercial ✓ ✓ ✓ ✓ ✓ ✓
tion Nanotech
Shading

Building A Saint-Denia
locations Chennai
modelled Weipa

Townsville

B Cairo
Abu Dhabi ✓
Turpan ✓

Köppen C Palermo ✓ ✓
Climate Rome
Classifica- Milan
tion Paris
London ✓ ✓
Milan
Pairs
Shanghai ✓
Xi’an
Dali

14
Houston ✓
Guangzhou ✓ ✓ ✓ ✓
Berlin ✓
Hangzhou ✓
Haikou ✓
Kunming ✓ ✓
Catania
Milan

D Moscow
Helsinki ✓ ✓
Haerbin ✓
Beijing ✓ ✓
Shenyang
Chicago ✓
Hailar ✓

Long et al. Liang et al. Warwick Warwick Long and Ye Costanzo Ah-Nieme Long et al. Liang
(2015) (2015) et al. (2016) et al. (2016) (2016) et al. (2016) et al. (2017) (2017) et al.
(2018)

Performance Thermal Comfort ✓ ✓

indicators Visual Comfort ✓ ✓ ✓
Daylight & Glare ✓ ✓ ✓

Building Residential ✓ ✓
classifica- Commercial ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
tion Nanotech ✓
Shading
Applied Energy 255 (2019) 113522

(continued on next page)

 Table 4 (continued)

Long et al. Liang et al. Warwick Warwick Long and Ye Costanzo Ah-Nieme Long et al. Liang
(2015) (2015) et al. (2016) et al. (2016) (2016) et al. (2016) et al. (2017) (2017) et al.
M. Aburas, et al.

(2018)

Building A Saint-Denia ✓
locations Chennai ✓
modelled Weipa ✓

Townsville ✓

B Cairo ✓ ✓
Abu Dhabi
Turpan

Köppen C Palermo
Climate Rome
Classifica- Milan
tion Paris
London ✓ ✓
Milan
Pairs ✓ ✓
Shanghai ✓
Xi’an
Dali
Houston
Guangzhou ✓ ✓ ✓ ✓
Berlin
Hangzhou ✓

15
Haikou
Kunming ✓
Catania ✓
Milan ✓

D Moscow ✓
Helsinki ✓
Haerbin ✓ ✓
Beijing ✓ ✓ ✓
Shenyang
Chicago
Hailar ✓
Applied Energy 255 (2019) 113522
M. Aburas, et al.
5. Discussion and recommendations
5.1. Building type
The buildings modelled in the computer simulation studies were
broadly split in two categories, commercial (office) and residential. The
distinctions between the two definitions were user defined. There was
more consistency between the definitions of commercial, with regards
to the building standards which were used, though there was no clear
distinction made between occupancy or lighting schedules for com-
mercial as opposed to residential thermochromic studies made by the
works investigated within this review. This distinction would allow a
better reflection of the type of building for which thermochromic
windows are best suited. If accurate energy demand is to be obtained
for domestic building, occupancy behaviour will need to be included
[119]. Generally, domestic buildings are less occupied during the
daytime, which means that less heating, cooling and lighting is required
in comparison to commercial buildings, conceivably rendering do-
mestic buildings less affected by thermochromic windows as, de-
pending on the heat gain through the windows, the amount of heat
stored in the room will vary. Domestic buildings are also occupied at
differing times of the day, so the hours whereby occupants are home
and require the windows will further differ, and although this effect has
been studied for other types of active smart windows, such as electro-
chromic windows [120,121], the effect of thermochromic windows as a
‘passive’ window device combined with varying occupancy demands
remains unknown.
5.2. Geometry and daylighting performance
In both commercial and residential scenarios, a single cell room was
the dominant type of building scenario modelled. This is an issue be-
cause multiple zones will alter light scattering properties within the
building, as side-lit office spaces for example generally exhibit bright
perimeter zones and steep light cut off [122]. In buildings in which
second row offices require substantial daylighting, then a façade with a
higher transmittance glazing would be required [123]. Thermochromic
glazings, as opposed to standard double glazing, have not been con-
sidered in this regard and therefore the quantification of the effect of
this dynamic glazing on daylighting in open office spaces, as opposed to
single cell offices, remains largely unidentified. Previous research has
looked at modelling daylight performance of a single room’s thermo-
chromic glazing, where Liang et al. (2018) explored the effects of
thermochromic windows on indoor daylight, heating and cooling per-
formance by simulating a typical office room with five different ther-
mochromic glazing types simulated under five different climatic con-
ditions in China, representative of different climate zones [28]. The
results showed that all the studied thermochromic windows led to
building energy savings of up to 19.9% in comparison to a standard
double glazing, as well as 15.5% better daylighting performance in
comparison to a standard double glazing, where better daylighting
performance was defined as an increase of the desired range of illu-
mination, falling within UDI500-2000 lux. This was deduced with regards
to the sensor data closest to the window, which was most largely af-
fected by the thermochromic window type used in comparison to a
sensor which was further away from the window and influenced more
heavily by the electric lighting conditions of the room. This indicates
the need to further investigate thermochromic windows with regards to
their daylighting modification capability.
5.3. Climate and orientation
Deep, in comparison to narrow, south-oriented rooms have been
shown to have difficulties in reaching sufficient daylight levels without
overheating [124], and the extent to which thermochromic windows
would help or hinder this remains unstudied. In modelling the building,
16
Applied Energy 255 (2019) 113522
each author specified individual wall types, sizes, etc., which makes a
comparison of results between the studies problematic, as it must be
noted that building requirements and regulations will in reality vary
between climatic and geographic locations. Long et al. (2015) stated
that due to Saeli et al. (2010) having stated that the VO2 glazing is
inappropriate for cold climates, the room which was studied was as-
sumed to be in a city with a hot climate. The city of Guangzhou, China,
located at 23°N latitude and 113°E longitude was therefore used which
has a cooling period from May 13th to October 17th [114]. The ma-
jority of the studies were found to be for south facing windows in cities
in the northern hemisphere, as opposed to north facing windows for
cities in the southern hemisphere. Only one of the studies analysed the
use of thermochromic glazing in a southern hemisphere location, which
was Townsville [115]. Nevertheless, the findings can still be applied
based on similar climate condition, so long as the latitude for daylight
are similar [125].
5.4. Comfort parameters and performance indicators
Building occupant comfort parameters have also been investigated,
as can be seen in Table 4. It was found that although there was an
abundance of studies carried out for energy analysis
[28,52,56,58,61,62,65,116,126], there was far less so for visual com-
fort [23,27,28,54,110,115], and even less for thermal comfort analysis
[27,53,69,70,115]. In terms of visual comfort, Liang et al. (2018)
looked at appropriate window size for using TC windows under dif-
ferent climatic conditions and found that, in comparison to double
glazing, all the TC windows achieved an increase in desired annual
daylight hours within UDI500-2000 lux in the region near the window,
however in the region further away from the window, the desired lux is
significantly reduced by the TC windows due to lower visible trans-
mittances, with this reduction increasing with the increase of solar al-
titudes [28]. Thermal comfort, assessed by looking into internal room
temperatures and the simplifying assumption that the building not be
mechanically heated nor cooled, has not been analysed to any length by
any of the authors, receiving only passing mentions. Only Costanzo
et al. (2016), who analysed the percentage of hours in summer with
uncomfortable thermal conditions (with an operational tempera-
ture > 26 °C) has studied this issue in some detail [27]. As also noted in
Table 4, only one type of nanothermochromic glazing was analysed, by
Liang et al. (2018). Although one of the aforementioned studies, by
Hoffmann et al. (2014), incorporated shading devices using indoor,
light grey fabric roller shade operated according to a variety of control
algorithms to compare this performance against TCs [54], none of the
studies looked at combining TC windows with shading devices to work
out the performance of this combined effect.
5.5. Energy assessment
To determine the application of thermochromic materials as energy
efficient building window components, studies of their energy perfor-
mance have been conducted. The consensus seems to be that thermo-
chromic windows are found to be most suitable for warm to hot rather
than cold climates, as this allows more time to be spent in their dark, or
“on” state. This concept was agreed upon by Saeli et al. (2009), who
further found that the use of gold metal nanoparticles can significantly
reduce the energy demand of a building compared to plain, static glass
approaches [61] as the presence of a gold layer on VO2 films will sig-
nificantly reduce resistance per square in addition to the critical tem-
perature and material transmittance [127].
Warwick et al. (2013) then examined the effect of the thermo-
chromic transition hysteresis width on energy demand, finding that a
low transition temperature and hysteresis width in a warm climate can
reduce energy demand up to 54% in comparison with standard double
glazing [57]. Various other percentage savings were stated
[27,58,67,68,75], however caution must be followed when making
M. Aburas, et al. Applied Energy 255 (2019) 113522

comparisons, as each study uses specific room conditions, HVAC set- peak cooling load of the refrigeration equipment would decrease by
point temperatures and glazing sizes, which means the results cannot 5.1%, meaning that refrigeration equipment with a lower load capacity
always be inferred beyond the specified conditions with certainty. As could be incorporated [68]. As can be seen in Table 3, however, the
can be seen in Table 3, the set-point temperatures used varied greatly, layering type and position of the thermochromic glazing was also found
yet these values affect when the thermochromic glazing is going to to be modelled inconsistently, and in some other scenarios, not speci-
switch, or the switch temperature to be achieved. Some references do fied at all. This renders the results open to change with an equal
point out the coefficient of performance (COP) of the systems used, for comparison, as the glazing contributes largely to the overall window
heating and/or cooling, which helps to better put the system used into and therefore building performance. Long et al. (2014) found that, in
perspective, as cooling and heating consumption can be transformed comparison to a passive room, Energy Saving Index (ESI) increases with
into electric power by dividing by the COP [53]. an increase in the thermal emissivity [65]. Further, Liang et al. (2018)
Xu et al. (2012) further found that the highest energy saving overall found that higher solar absorptance could increase thermochromic
for double glazing could be obtained when VO2 films are deposited on layer temperatures, improving glazing tinting capability, but this may
the inside surface of the outer pane (84.7% energy saving in compar- increase window heat gains in the form of secondary heat gains and
ison with white glass), but heating energy consumption was found to be further induce cooling energy consumption on hot days [28].
the highest [59]. Ye et al. (2013) found that during the cooling period Although it is mentioned by some authors that the thermochromic
of a year, VO2 glazing's application in a residential room could save glazing is compared against a reference scenario, this does not elim-
21.7 kWh annual electricity consumption in comparison to ordinary inate the fact that these temperature variations are highly significant
glazing (when excluding the effect of associated lighting electricity for temperature control setting, which can have a large impact on the
consumption). A further benefit from the applied VO2 glazing was that direction of heat flow and ultimately the energy-saving capability of
Annual heating and cooling (kWh/m2)

140 Cairo
Palermo
120
Rome
100 Milan
Paris
80
London
60 Moscow
Helsinki
40 Guangzhou
20 Haikou
Dali
0 Shanghai
VO2 (25% glazed) VO2 + Gold (25% glazed) VO2 +TOAB (25% glazed) VO2 + Gold +TOAB (25% Intelligent 1 (layer 2) (25% Intelligent 2 (layer 3) (25% Vo2 Glazing (≈ 25% glazing)
glazed) glazed) glazed) Shenyang
Xi'an

(a)
140
Annual heating and cooling (kWh/m2)

120 London
Harbin
100
Beijing
80
Guangzhou
60
Kumming
40 Shanghai
20 Hangzhou
0 Chicago
Houston

(b)

Cairo
140
Palermo
Annual heating and cooling (kWh/m2)

120 Rome
Milan
100 Paris
London
80 Moscow
Helsinki
60
Guangzhou
Haikou
40
Dali
20 Shanghai
Shenyang
0 Xi'an
VO2 (100% VO2 + Gold (100% VO2 +TOAB VO2 + Gold Intelligent 1 (layer Intelligent 2 (layerTC3 (100% glazed) Vo2 Glazing (≈ EACVD_A (99% EACVD_B (99% EACVD_C (99%
glazed) glazed) (100% glazed) +TOAB (100% 2) (100% glazed) 3) (100% glazed) 25% glazing) glazed) glazed) glazed) Chicago
glazed) Houston
(c)

Fig. 4. The annual energy consumption for (a), (d) 25%, (b), (e) 60–66% and (c), (f) 99–100% glazing, where the top three are arranged by coating type used and
bottom three arranged by city modelled.

17
M. Aburas, et al. Applied Energy 255 (2019) 113522

VO2 (25% glazed)

140
Annual heating and cooling (kWh/m2)

VO2 + Gold (25% glazed)

120
VO2 +TOAB (25% glazed)
100

80 VO2 + Gold +TOAB (25% glaze

60 Intelligent 1 (layer 2) (25%

glazed)
40 Intelligent 2 (layer 3) (25%
glazed)
20
Vo2 Glazing (≈ 25% glazing)
0

(d)

140 VO2_t38 (60% WWR)

Annual heating and cooling (kWh/m2)

120 Thermochromic_Tt48 (66% glazed)

100 TC2 (60% glazed)

VO2_t41 (60% WWR)

80
WV_t40 (60% WWR)
60
NVO2_t40 (60% WWR)
40
A (VO2 nanoparticles) (60% WWR)
20
B (W-doped VO2) (60% WWR)
0
WV_t20 (60% glazed)
London Harbin Beijing Guangzhou Kumming Shanghai Hangzhou Chicago Houston
VO2_t41 (60% glazed)

(e) WV_t20 (60% glazed)

140 VO2 (100% glazed)

Annual heating and cooling (kWh/m2)

120 VO2 + Gold (100% glazed)

VO2 +TOAB (100% glazed)

100
VO2 + Gold +TOAB (100% glazed)
80
Intelligent 1 (layer 2) (100%
60 glazed)
Intelligent 2 (layer 3) (100%
40 glazed)
TC3 (100% glazed)
20
EACVD_A (99% glazed)

0 EACVD_B (99% glazed)

Cairo Palermo Rome Milan Paris London Moscow Helsinki Haikou Dali Shanghai Shenyang Xi'an Chicago Houston
EACVD_C (99% glazed)

(f)

Fig. 4. (continued)

these thermochromic windows. Fig. 4 shows a visual representation of 6. Conclusion

the energy consumption in terms of annual heating and cooling in kWh/
m2 found by the various studies. Each study refers back to a different In this survey, papers regarding building studies of thermochromic
thermochromic glazing or film type which can be found in Table 2. This glazing published over the span of a decade, from 2009 to 2019 in-
collates the studies for south facing windows in cities in the northern clusive, were collated. These papers were thoroughly reviewed on the
hemisphere obtaining maximum solar gain. Fig. 4(a)–(c) show that the building application of thermochromic windows. Various individual as
percentage of glazing follows a predictable trend, that the higher the well as integrated computer simulation tools were employed for the
percentage of glazing or window-to-wall ratio, the higher the annual study of energy savings and lighting in the building prototypes mod-
heating and cooling energy consumption. Window-to-floor area com- elled. Experimental outdoor tests were also conducted for the glazing
parison was however not made. In Fig. 4(d)–(f) it can be seen that, dynamic performance evaluation of thermochromic glazing.
despite the film type used, there are minimal fluctuations in terms of To the best of the authors’ knowledge, there has not yet been such a
energy saving capability with different films types used in the same comprehensive review of the types of films, coatings and glazings used
city. A maximum change of 31 kWh/m2 annually (21.61%) is reported in published energy studies of VO2 windows for building application
for Dali between Intelligent 1 vs Intelligent 2 TC window types, seen in purposes and this is the first time that a spectral comparison has been
Fig. 4(f), where Intelligent 1 film is placed on the inner surface of the put together for these building simulation studies. The main deductions
outer glass pane and Intelligent 2 on the outer surface of the inner glass made from this study, which we hope will guide future work in to
pane. In comparison, when arranging the data by city modelled, a thermochromic window systems, include:
105.21 kWh/m2 annual difference (73.35%) in energy saving capability
was found between Intelligent 1 glazing modelled in Dali as opposed to 1. The number of thermochromic windows types analysed was limited
Haikou, demonstrated in Fig. 4(c). This implies that the city in which to eight original experimental sources. Many studies use the same
the thermochromic windows are located has a greater influence over film types as each other, which is beneficial for comparative pur-
their annual energy saving performance than the type of thermo- poses, but which leaves a large body of coating work available from
chromic windows modelled to date. within the material science literature unanalyzed from a building

18
M. Aburas, et al.
energy saving perspective.
2. A single cell room is the dominant type being modelled, despite the
fact that a multitude of zones will alter light scattering properties
within the building.
3. There is no clear distinction between the occupancy or lighting
schedules in the commercial versus residential thermochromic stu-
dies. This distinction would allow a better reflection of the type of
building for which thermochromic windows are best suited.
4. Layering type and position of the thermochromic glazing is incon-
sistent, and in some studies, not specified. The HVAC use settings
are also inconsistent. Overall this renders the results open to change
with an equal comparison, as the glazing contributes largely to the
overall window and therefore building performance.
5. Outdoor tests were conducted in two locations, both of which found
that the film temperature can be much higher than the indoor
temperature due to intense solar irradiation and high absorptivity.
This could have significant implications for building simulation and
will require further investigation.
In conclusion, there are significant parameters and considerations
which have not been consistent within the thermochromic building
models to date, and there are opportunities available to further explore
the effect of various types of thermochromic smart window technolo-
gies from a building application perspective. A study in progress by the
authors will delve into the impact of more recent advancements, in-
cluding those in nanothermochromic technology, with application to
building performance simulation. This research should positively aid
and provide guidance for researchers and energy managers looking to
research or invest in thermochromic glazing for building prototypes.
Acknowledgements
This work was supported by an Interdisciplinary Research Funding
(IRF) Grant provided by the University of Adelaide and the
International Collaboration Fund by the University of Nottingham.
Marina Aburas is studying for a Dual PhD Degree at the University of
Adelaide and The University of Nottingham and is funded by a Research
Training Program Scholarship (formerly APA) from The University of
Adelaide. Heike Ebendorff-Heidepriem acknowledges support from the
Optofab node of the Australian National Fabrication Facility utilizing
Commonwealth and South Australian State Government.
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